The Key to Wisdom
Nicholas Maxwell
University College London
Section 1 of "Arguing for Wisdom in the University: An Intellectual Autobiography", Philosophia, vol 40, no. 4, 2012.
Nearly forty years ago I discovered a profoundly significant idea - or so I believe. Since then, I have expounded and developed the idea in six books[1] and countless articles published in academic journals and other books.[2] I have talked about the idea in universities and at conferences all over the UK, in Europe, the USA and Canada. And yet, alas, despite all this effort, few indeed are those who have even heard of the idea. I have not even managed to communicate the idea to my fellow philosophers.
What did I discover? Quite simply: the key to wisdom. For over two and a half thousand years, philosophy (which means "love of wisdom") has sought in vain to discover how humanity might learn to become wise - how we might learn to create an enlightened world. For the ancient Greek philosophers, Socrates, Plato and the rest, discovering how to become wise was the fundamental task for philosophy. In the modern period, this central, ancient quest has been laid somewhat to rest, not because it is no longer thought important, but rather because the quest is seen as unattainable. The record of savagery and horror of the last century is so extreme and terrible that the search for wisdom, more important than ever, has come to seem hopeless, a quixotic fantasy. Nevertheless, it is this ancient, fundamental problem, lying at the heart of philosophy, at the heart, indeed, of all of thought, morality, politics and life, that I have solved. Or so I believe.
When I say I have discovered the key to wisdom, I should say, more precisely, that I have discovered the methodological key to wisdom. Or perhaps, more modestly, I should say that I have discovered that science contains, locked up in its astounding success in acquiring knowledge and understanding of the universe, the methodological key to wisdom. I have discovered a recipe for creating a kind of organized inquiry rationally designed and devoted to helping humanity learn wisdom, learn to create a more enlightened world.
What we have is a long tradition of inquiry - extraordinarily successful in its own terms - devoted to acquiring knowledge and technological know-how. It is this that has created the modern world, or at least made it possible. But scientific knowledge and technological know-how are ambiguous blessings, as more and more people, these days, are beginning to recognize. They do not guarantee happiness. Scientific knowledge and technological know-how enormously increase our power to act. In endless ways, this vast increase in our power to act has been used for the public good - in health, agriculture, transport, communications, and countless other ways. But equally, this enhanced power to act can be used to cause human harm, whether unintentionally, as in environmental damage (at least initially), or intentionally, as in war. It is hardly too much to say that all our current global problems have come about because of science and technology. The appalling destructiveness of modern warfare and terrorism, vast inequalities in wealth and standards of living between first and third worlds, rapid population growth, environmental damage - destruction of tropical rain forests, rapid extinction of species, global warming, pollution of sea, earth and air, depletion of finite natural resources - all only exist today because of modern science and technology. Science and technology lead to modern industry and agriculture, to modern medicine and hygiene, and thus in turn to population growth, to modern armaments, conventional, chemical, biological and nuclear, to destruction of natural habitats, extinction of species, pollution, and to immense inequalities of wealth across the globe.
Science without wisdom, we might say, is a menace. It is the crisis behind all the others. When we lacked our modern, terrifying powers to act, before the advent of science, lack of wisdom did not matter too much: we were bereft of the power to inflict too much damage on ourselves and the planet. Now that we have modern science, and the unprecedented powers to act that it has bequeathed to us, wisdom has become, not a private luxury, but a public necessity. If we do not rapidly learn to become wiser, we are doomed to repeat in the 21st century all the disasters and horrors of the 20th: the horrifyingly destructive wars, the dislocation and death of millions, the degradation of the world we live in. Only this time round it may all be much worse, as the population goes up, the planet becomes ever more crowded, oil and other resources vital to our way of life run out, weapons of mass destruction become more and more widely available for use, and deserts and desolation spread.
The ancient quest for wisdom has become a matter of desperate urgency. It is hardly too much to say that the future of the world is at stake. But how can such a quest possibly meet with success? Wisdom, surely, is not something that we can learn and teach, as a part of our normal education, in schools and universities?
This is my great discovery! Wisdom can be learnt and taught in schools and universities. It must be so learnt and taught. Wisdom is indeed the proper fundamental objective for the whole of the academic enterprise: to help humanity learn how to nurture and create a wiser world.
But how do we go about creating a kind of education, research and scholarship that really will help us learn wisdom? Would not any such attempt destroy what is of value in what we have at present, and just produce hot air, hypocrisy, vanity and nonsense? Or worse, dogma and religious fundamentalism? What, in any case, is wisdom? Is not all this just an abstract philosophical fantasy?
The answer, as I have already said, lies locked away in what may seem a highly improbably place: science! This will seem especially improbable to many of those most aware of environmental issues, and most suspicious of the role of modern science and technology in modern life. How can science contain the methodological key to wisdom when it is precisely this science that is behind so many of our current troubles? But a crucial point must be noted. Modern scientific and technological research has met with absolutely astonishing, unprecedented success, as long as this success is interpreted narrowly, in terms of the production of expert knowledge and technological know-how. Doubts may be expressed about whether humanity as a whole has made progress towards well being or happiness during the last century or so. But there can be no serious doubt whatsoever that science has made staggering intellectual progress in increasing expert knowledge and know-how, during such a period. It is this astonishing intellectual progress that makes science such a powerful but double-edged tool, for good and for bad.
At once the question arises: Can we learn from the incredible intellectual progress of science how to achieve progress in other fields of human endeavour? Is scientific progress exportable, as it were, to other areas of life? More precisely, can the progress-achieving methods of science be generalized so that they become fruitful for other worthwhile, problematic human endeavours, in particular the supremely worthwhile, supremely problematic endeavour of creating a good and wise world?
My great idea - that this can indeed be done - is not entirely new (as I was to learn after making my discovery). It goes back to the 18th century Enlightenment. This was indeed the key idea of the Enlightenment, especially the French Enlightenment: to learn from scientific progress how to achieve social progress towards an enlightened world. And the philosophes of the Enlightenment, men such as Voltaire, Diderot and Condorcet, did what they could to put this magnificent, profound idea into practice in their lives. They fought dictatorial power, superstition, and injustice with weapons no more lethal than those of argument and wit. They gave their support to the virtues of tolerance, openness to doubt, readiness to learn from criticism and from experience. Courageously and energetically they laboured to promote reason and enlightenment in personal and social life.
Unfortunately, in developing the Enlightenment idea intellectually, the philosophes blundered. They botched the job. They developed the Enlightenment idea in a profoundly defective form, and it is this immensely influential, defective version of the idea, inherited from the 18th century, which may be called the "traditional" Enlightenment, that is built into early 21st century institutions of inquiry. Our current traditions and institutions of learning, when judged from the standpoint of helping us learn how to become more enlightened, are defective and irrational in a wholesale and structural way, and it is this which, in the long term, sabotages our efforts to create a more civilized world, and prevents us from avoiding the kind of horrors we have been exposed to during the last century.
The task before us is thus not that of creating a kind of inquiry devoted to improving wisdom out of the blue, as it were, with nothing to guide us except two and a half thousand years of failed philosophical discussion. Rather, the task is the much more straightforward, practical and well-defined one of correcting the structural blunders built into academic inquiry inherited from the Enlightenment. We already have a kind of academic inquiry designed to help us learn wisdom. The problem is that the design is lousy. It is, as I have said, a botched job. It is like a piece of engineering that kills people because of faulty design - a bridge that collapses, or an aeroplane that falls out of the sky. A quite specific task lies before us: to diagnose the blunders we have inherited from the Enlightenment, and put them right.
So here, briefly, is the diagnosis. The philosophes of the 18th century assumed, understandably enough, that the proper way to implement the Enlightenment programme was to develop social science alongside natural science. Francis Bacon had already stressed the importance of improving knowledge of the natural world in order to achieve social progress. The philosophes generalized this, holding that it is just as important to improve knowledge of the social world. Thus the philosophes set about creating the social sciences: history, anthropology, political economy, psychology, sociology.
This had an immense impact. Throughout the 19th century the diverse social sciences were developed, often by non-academics, in accordance with the Enlightenment idea. Gradually, universities took notice of these developments until, by the mid 20th century, all the diverse branches of the social sciences, as conceived of by the Enlightenment, were built into the institutional structure of universities as recognized academic disciplines.
The outcome is what we have today, knowledge-inquiry as we may call it, a kind of inquiry devoted in the first instance to the pursuit of knowledge.
But, from the standpoint of creating a kind of inquiry designed to help humanity learn how to become enlightened and civilized, which was the original idea, all this amounts to a series of monumental blunders.
In order to implement properly the basic Enlightenment idea of learning from scientific progress how to achieve social progress towards a civilized world, it is essential to get the following three things right.
1. The progress-achieving methods of science need to be correctly identified.
2. These methods need to be correctly generalized so that they become fruitfully
applicable to any worthwhile, problematic human endeavour, whatever the aims
may be, and not just applicable to the one endeavour of acquiring knowledge.
3. The correctly generalized progress-achieving methods then need to be exploited
correctly in the great human endeavour of trying to make social progress towards
an enlightened, civilized world.
Unfortunately, the philosophes of the Enlightenment got all three points wrong. They failed to capture correctly the progress-achieving methods of natural science; they failed to generalize these methods properly; and, most disastrously of all, they failed to apply them properly so that humanity might learn how to become civilized by rational means. Instead of seeking to apply the progress-achieving methods of science, after having been appropriately generalized, to the task of creating a better world, the philosophes applied scientific method to the task of creating social science. Instead of trying to make social progress towards an enlightened world, they set about making scientific progress in knowledge of social phenomena. That the philosophes made these blunders in the 18th century is forgivable; what is unforgivable is that these blunders still remain unrecognized and uncorrected today, over two centuries later. Instead of correcting the blunders, we have allowed our institutions of learning to be shaped by them as they have developed throughout the 19th and 20th centuries, so that now the blunders are an all-pervasive feature of our world.
The Enlightenment, and what it led to, has long been criticized, by the Romantic movement, by what Isaiah Berlin has called 'the counter-Enlightenment', and more recently by the Frankfurt school, by postmodernists and others. But these standard objections are, from my point of view, entirely missing the point. In particular, my idea is the very opposite of all those anti-rationalist, romantic and postmodernist views which object to the way the Enlightenment gives far too great an importance to natural science and to scientific rationality. My discovery is that what is wrong with the traditional Enlightenment, and the kind of academic inquiry we now possess derived from it - knowledge-inquiry - is not too much 'scientific rationality' but, on the contrary, not enough. It is the glaring, wholesale irrationality of contemporary academic inquiry, when judged from the standpoint of helping humanity learn how to become more civilized, that is the problem.
But, the cry will go up, wisdom has nothing to do with reason. And reason has nothing to do with wisdom. On the contrary! It is just such an item of conventional 'wisdom' that my great idea turns on its head. Once both reason and wisdom have been rightly understood, and the irrationality of academic inquiry as it exists at present has been appreciated, it becomes obvious that it is precisely reason that we need to put into practice in our personal, social, institutional and global lives if our lives, at all these levels, are to become imbued with a bit more wisdom. We need, in short, a new, more rigorous kind of inquiry which has, as its basic task, to seek and promote wisdom. We may call this new kind of inquiry wisdom-inquiry.
But what is wisdom? This is how I define it in From Knowledge to Wisdom, a book published some years ago now, in 1984, in which I set out my 'great idea' in some detail:
"[wisdom is] the desire, the active endeavour, and the capacity to discover and achieve what is desirable and of value in life, both for oneself and for others. Wisdom includes knowledge and understanding but goes beyond them in also including: the desire and active striving for what is of value, the ability to see what is of value, actually and potentially, in the circumstances of life, the ability to experience value,
the capacity to use and develop knowledge, technology and understanding as needed for the realization of value. Wisdom, like knowledge, can be conceived of, not only personal terms, but also in institutional or social terms. We can thus interpret [wisdom-inquiry] as asserting: the basic task of rational inquiry is to help us develop wiser ways of living, wiser institutions, customs and social relations, a wiser
world." (From Knowledge to Wisdom, p. 66.)
What, then, are the three blunders of the Enlightenment, still built into the intellectual/institutional structure of academia?
First, the philosophes failed to capture correctly the progress-achieving methods of natural science. From D'Alembert in the 18th century to Karl Popper in the 20th, the widely held view, amongst both scientists and philosophers, has been (and continues to be) that science proceeds by assessing theories impartially in the light of evidence, no permanent assumption being accepted by science about the universe independently of evidence. Preference may be given to simple, unified or explanatory theories, but not in such a way that nature herself is, in effect, assumed to be simple, unified or comprehensible.
This orthodox view, which I call standard empiricism is, however, untenable. If taken literally, it would instantly bring science to a standstill. For, given any accepted fundamental theory of physics, T, Newtonian theory say, or quantum theory, endlessly many empirically more successful rivals can be concocted which agree with T about observed phenomena but disagree arbitrarily about some unobserved phenomena, and successfully predict phenomena, in an ad hoc way, that T makes false predictions about, or no predictions. Physics would be drowned in an ocean of such empirically more successful rival theories.
In practice, these rivals are excluded because they are disastrously disunified. Two
considerations govern acceptance of theories in physics: empirical success and unity. In demanding unity, we demand of a fundamental physical theory that it ascribes the same dynamical laws to the phenomena to which the theory applies. But in persistently accepting unified theories, to the extent of rejecting disunified rivals that are just as, or even more, empirically successful, physics makes a big persistent assumption about the universe. The universe is such that all disunified theories are false. It has some kind of unified dynamic structure. It is physically comprehensible in the sense that explanations for phenomena exist to be discovered.
But this untestable (and thus metaphysical) assumption that the universe is physically comprehensible is profoundly problematic. Science is obliged to assume, but does not know, that the universe is comprehensible. Much less does it know that the universe is comprehensible in this or that way. A glance at the history of physics reveals that ideas have changed dramatically over time. In the 17th century there was the idea that the universe consists of corpuscles, minute billiard balls, which interact only by contact. This gave way to the idea that the universe consists of point-particles surrounded by rigid, spherically symmetrical fields of force, which in turn gave way to the idea that there is one unified self-interacting field, varying smoothly throughout space and time. Nowadays we have the idea that everything is made up of minute quantum strings embedded in ten or eleven dimensions of space-time. Some kind of assumption along these lines must be made but, given the historical record, and given that any such assumption concerns the ultimate nature of the universe, that of which we are most ignorant, it is only reasonable to conclude that it is almost bound to be false.
The way to overcome this fundamental dilemma inherent in the scientific enterprise is to construe physics as making a hierarchy of metaphysical assumptions concerning the comprehensibility and knowability of the universe, these assumptions asserting less and less as one goes up the hierarchy, and thus becoming more and more likely to be true, and more nearly such that their truth is required for science, or the pursuit of knowledge, to be possible at all. In this way a framework of relatively insubstantial, unproblematic, fixed assumptions and associated methods is created within which much more substantial and problematic assumptions and associated methods can be changed, and indeed improved, as scientific knowledge improves. Put another way, a framework of relatively unspecific, unproblematic, fixed aims and methods is created within which much more specific and problematic aims and methods evolve as scientific knowledge evolves. There is positive feedback between improving knowledge, and improving aims-and-methods, improving knowledge-about-how-to-improve-knowledge. This is the nub of scientific rationality, the methodological key to the unprecedented success of science. Science adapts its nature to what it discovers about the nature of the universe.
This hierarchical conception of physics, which I call aim-oriented empiricism, can readily be generalized to take into account problematic assumptions associated with the aims of science having to with values, and the social uses or applications of science. It can be generalized so as to apply to the different branches of natural science. Different sciences have different specific aims, and so different specific methods although, throughout natural science there is the common meta-methodology of aim-oriented empiricism.
So much for the first blunder of the traditional Enlightenment, and how to put it right.[3]
Second, having failed to identify the methods of science correctly, the philosophes naturally failed to generalize these methods properly. They failed to appreciate that the idea of representing the problematic aims (and associated methods) of science in the form of a hierarchy can be generalized and applied fruitfully to other worthwhile enterprises besides science. Many other enterprises have problematic aims - problematic because aims conflict, and because what we seek may be unrealizable, undesirable, or both. Such enterprises, with problematic aims, would benefit from employing a hierarchical methodology, generalized from that of science, thus making it possible to improve aims and methods as the enterprise proceeds. There is the hope that, as a result of exploiting in life methods generalized from those employed with such success in science, some of the astonishing success of science might be exported into other worthwhile human endeavours, with problematic aims quite different from those of science.
Third, and most disastrously of all, the philosophes failed completely to try to apply such generalized, hierarchical progress-achieving methods to the immense, and profoundly problematic enterprise of making social progress towards an enlightened, wise world. The aim of such an enterprise is notoriously problematic. For all sorts of reasons, what constitutes a good world, an enlightened, wise or civilized world, attainable and genuinely desirable, must be inherently and permanently problematic. Here, above all, it is essential to employ the generalized version of the hierarchical, progress-achieving methods of science, designed specifically to facilitate progress when basic aims are problematic. It is just this that the philosophes failed to do. Instead of applying the hierarchical methodology to social life, the philosophes sought to apply a seriously defective conception of scientific method to social science, to the task of making progress towards, not a better world, but to better knowledge of social phenomena. And this ancient blunder, developed throughout the 19th century by J.S. Mill, Karl Marx and many others, and built into academia in the early 20th century with the creation of the diverse branches of the social sciences in universities all over the world, is still built into the institutional and intellectual structure of academia today, inherent in the current character of social science.
Properly implemented, in short, the Enlightenment idea of learning from scientific progress how to achieve social progress towards an enlightened world would involve developing social inquiry, not primarily as social science, but rather as social methodology, or social philosophy. A basic task would be to get into personal and social life, and into other institutions besides that of science - into government, industry, agriculture, commerce, the media, law, education, international relations - hierarchical, progress-achieving methods (designed to improve problematic aims) arrived at by generalizing the methods of science. A basic task for academic inquiry as a whole would be to help humanity learn how to resolve its conflicts and problems of living in more just, cooperatively rational ways than at present. The fundamental intellectual and humanitarian aim of inquiry would be to help humanity acquire wisdom - wisdom being, as I have already indicated, the capacity to realize (apprehend and create) what is of value in life, for oneself and others.
One outcome of getting into social and institutional life the kind of aim-evolving, hierarchical methodology indicated above, generalized from science, is that it becomes possible for us to develop and assess rival philosophies of life as a part of social life, somewhat as theories are developed and assessed within science. Such a hierarchical methodology provides a framework within which competing views about what our aims and methods in life should be - competing religious, political and moral views - may be cooperatively assessed and tested against broadly agreed, unspecific aims (high up in the hierarchy of aims) and the experience of personal and social life. There is the possibility of cooperatively and progressively improving such philosophies of life (views about what is of value in life and how it is to be achieved) much as theories are cooperatively and progressively improved in science.
Wisdom-inquiry, because of its greater rigour, has intellectual standards that are, in important respects, different from those of knowledge-inquiry. Whereas knowledge-inquiry demands that emotions and desires, values, human ideals and aspirations, philosophies of life be excluded from the intellectual domain of inquiry, wisdom-inquiry requires that they be included. In order to discover what is of value in life it is essential that we attend to our feelings and desires. But not everything we desire is desirable, and not everything that feels good is good. Feelings, desires and values need to be subjected to critical scrutiny. And of course feelings, desires and values must not be permitted to influence judgements of factual truth and falsity.
Wisdom-inquiry embodies a synthesis of traditional Rationalism and Romanticism. It includes elements from both, and it improves on both. It incorporates Romantic ideals of integrity, having to do with motivational and emotional honesty, honesty about desires and aims; and at the same time it incorporates traditional Rationalist ideals of integrity, having to do with respect for objective fact, knowledge, and valid argument. Traditional Rationalism takes its inspiration from science and method; Romanticism takes its inspiration from art, from imagination, and from passion. Wisdom-inquiry holds art to have a fundamental rational role in inquiry, in revealing what is of value, and unmasking false values; but science, too, is of fundamental importance. What we need, for wisdom, is an interplay of sceptical rationality and emotion, an interplay of mind and heart, so that we may develop mindful hearts and heartfelt minds (as I put it in my first book What's Wrong With Science?). It is time we healed the great rift in our culture, so graphically depicted by C. P. Snow.
The revolution we require - intellectual, institutional and cultural - if it ever comes about, will be comparable in its long-term impact to that of the Renaissance, the scientific revolution, or the Enlightenment. The outcome will be traditions and institutions of learning rationally designed to help us realize what is of value in life. There are a few scattered signs that this intellectual revolution, from knowledge to wisdom, is already under way. It will need, however, much wider cooperative support - from scientists, scholars, students, research councils, university administrators, vice chancellors, teachers, the media and the general public - if it is to become anything more than what it is at present, a fragmentary and often impotent movement of protest and opposition, often at odds with itself, exercising little influence on the main body of academic work. I can hardly imagine any more important work for anyone associated with academia than, in teaching, learning and research, to help promote this revolution.
Notes
[1] What's Wrong With Science? (Bran's Head Books, 1976), From Knowledge to Wisdom (Blackwell, 1984; 2nd edition, Pentire Press, 2007), The Comprehensibility of the Universe (Oxford University Press, 1998, paperback 2003), and The Human World in the Physical Universe: Consciousness, Free Will and Evolution (Rowman and Littlefield, 2001), Is Science Neurotic? (Imperial College Press, 2004), Cutting God in Half - And Putting the Pieces Together Again (Pentire Press, 2010). For critical discussion see L. McHenry, ed., Science and the Pursuit of Wisdom: Studies in the Philosophy of Nicholas Maxwell (Ontos Verlag, 2009).
[2] See, for example, "Science, Reason, Knowledge and Wisdom: A Critique of Specialism", Inquiry 23, 1980, pp. 19-81; "What Kind of Inquiry Can Best Help Us Create a Good World?", Science, Technology and Human Values 17, 1992, pp. 205-227; "What the Task of Creating Civilization has to Learn from the Success of Modern Science: Towards a New Enlightenment", Reflections on Higher Education 4, 1992, pp. 139-157; "Can Humanity Learn to Become Civilized? The Crisis of Science without Civilization", Journal of Applied Philosophy 17, 2000, pp. 29-44; "A new conception of science", Physics World 13, no. 8, 2000, pp. 17-18; "From Knowledge to Wisdom: The Need for an Academic Revolution", London Review of Education, 5, 2007, pp. 97-115, reprinted in. R. Barnett and N. Maxwell, eds., Wisdom in the University (Routledge, 2008, pp. 1-19) "Do We Need a Scientific Revolution?", Journal of Biological Physics and Chemistry, vol. 8, no. 3, September 2008, pp. 95-105. All my articles are available online here .
[3] For further details see my The Comprehensibility of the Universe: A New Conception of Science, Oxford University Press, 1998; Is Science Neurotic?, Imperial College Press, 2004; and From Knowledge to Wisdom, especially chs. 5, 9, and 2nd ed., ch. 14.
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Idea to Save the World
(From the Preface to the 2nd edition of What's Wrong With Science?, published in Sublime, Issue 17, 2009, pp. 90-93.)
Here is an idea that just might save the world. It is that science, properly understood, provides us with the methodological key to the salvation of humanity.
A version of this idea can be found buried in the works of Karl Popper. Famously, Popper argued that science cannot verify theories, but can only refute them. This sounds very negative, but actually it is not, for science succeeds in making such astonishing progress by subjecting its theories to sustained, ferocious attempted falsification. Every time a scientific theory is refuted by experiment or observation, scientists are forced to try to think up something better, and it is this, according to Popper, which drives science forward.
Popper went on to generalize this falsificationist conception of scientific method to form a notion of rationality, critical rationalism, applicable to all aspects of human life. Falsification becomes the more general idea of criticism. Just as scientists make progress by subjecting their theories to sustained attempted empirical falsification, so too all of us, whatever we may be doing, can best hope to achieve progress by subjecting relevant ideas to sustained, severe criticism. By subjecting our attempts at solving our problems to criticism, we give ourselves the best hope of discovering (when relevant) that our attempted solutions are inadequate or fail, and we are thus compelled to try to think up something better. By means of judicious use of criticism, in personal, social and political life, we may be able to achieve, in life, progressive success somewhat like the progressive success achieved by science. We can, in this way, in short, learn from scientific progress how to make personal and social progress in life. Science, as I have said, provides the methodological key to our salvation.
I discovered Karl Popper's work when I was a graduate student doing philosophy at Manchester University, in the early 1960s. As an undergraduate, I was appalled at the triviality, the sterility, of so-called "Oxford philosophy". This turned its back on all the immense and agonizing problems of the real world - the mysteries and grandeur of the universe, the wonder of our life on earth, the dreadful toll of human suffering - and instead busied itself with the trite activity of analysing the meaning of words. Then I discovered Popper, and breathed a sigh of relief. Here was a philosopher who, with exemplary intellectual integrity and passion, concerned himself with the profound problems of human existence, and had extraordinarily original and fruitful things to say about them. The problems that had tormented me had in essence, I felt, already been solved.
But then it dawned on me that Popper had failed to solve his fundamental problem - the problem of understanding how science makes progress. In one respect, Popper's conception of science is highly unorthodox: all scientific knowledge is conjectural; theories are falsified but cannot be verified. But in other respects, Popper's conception of science is highly orthodox. For Popper, as for most scientists and philosophers, the basic aim of science is knowledge of truth, the basic method being to assess theories with respect to evidence, nothing being accepted as a part of scientific knowledge independently of evidence. This orthodox view - which I came to call standard empiricism - is, I realised, false. Physicists only ever accept theories that are unified - theories that depict the same laws applying to the range of phenomena to which the theory applies. Endlessly many empirically more successful disunified rivals can always be concocted, but these are always ignored. This means, I realised, that science does make a big, permanent, and highly problematic assumption about the nature of the universe independently of empirical considerations and even, in a sense, in violation of empirical considerations - namely, that the universe is such that all grossly disunified theories are false. Without some such presupposition as this, the whole empirical method of science breaks down.
It occurred to me that Popper, along with most scientists and philosophers, had misidentified the basic aim of science. This is not truth per se. It is rather truth presupposed to be unified, presupposed to be explanatory or comprehensible (unified theories being explanatory). Inherent in the aim of science there is the metaphysical - that is, untestable - assumption that there is some kind of underlying unity in nature. The universe is, in some way, physically comprehensible.
But this assumption is profoundly problematic. We do not know that the universe is comprehensible. This is a conjecture. Even if it is comprehensible, almost certainly it is not comprehensible in the way science presupposes it is today. For good Popperian reasons, this metaphysical assumption must be made explicit within science and subjected to sustained criticism, as an integral part of science, in an attempt to improve it.
The outcome is a new conception of science, and a new kind of science, which I called aim-oriented empiricism. This subjects the aims, and associated methods, of science to sustained critical scrutiny, the aims and methods of science evolving with evolving knowledge. Philosophy of science (the study of the aims and methods of science) becomes an integral, vital part of science itself. And science becomes much more like natural philosophy in the time of Newton, a synthesis of science, methodology, epistemology, metaphysics and philosophy.
The aim of seeking explanatory truth is however a special case of a more general aim, that of seeking valuable truth. And this is sought in order that it be used by people to enrich their lives. In other words, in addition to metaphysical assumptions inherent in the aims of science there are value assumptions, and political assumptions, assumptions about how science should be used in life. These are, if anything, even more problematic than metaphysical assumptions. Here, too, assumptions need to be made explicit and critically assessed, as an integral part of science, in an attempt to improve them.
Released from the crippling constraints of standard empiricism, science would burst out into a wonderful new life, realising its full potential, responding fully both to our sense of wonder and to human suffering, becoming both more rigorous and of greater human value.
And then, in a flash of inspiration, I had my great idea. I could tread a path parallel to Popper's. Just as Popper had generalized falsificationism to form critical rationalism, so I could generalise my aim-oriented empiricist conception of scientific method to form an aim-oriented conception of rationality, potentially fruitfully applicable to all that we do, to all spheres of human life. But the great difference would be this. I would be starting out from a conception of science - of scientific method - that enormously improves on Popper's notion. In generalizing this, to form a general idea of progress-achieving rationality, I would be creating an idea of immense power and fruitfulness.
I knew already that the line of argument developed by Popper, from falsificationism to critical rationalism, was of profound importance for our whole culture and social order, and had far-reaching implications and application for science, art and art criticism, literature, music, academic inquiry quite generally, politics, law, morality, economics, psychoanalytic theory, evolution, education, history - for almost all aspects of human life and culture. The analogous line of argument I was developing, from aim-oriented empiricism to aim-oriented rationalism, would have even more fruitful implications and applications for all these fields, starting as it did from a much improved initial conception of the progress-achieving methods of science.
The key point is extremely simple. It is not just in science that aims are profoundly problematic. This is true in life as well. Above all, it is true of the aim of creating a good world - an aim inherently problematic for all sorts of more or less obvious reasons. It is not just in science that problematic aims are misconstrued or "repressed"; this happens all too often in life too, both at the level of individuals, and at the institutional or social level as well. We urgently need to build into our scientific institutions and activities the aims-and-methods-improving methods of aim-oriented empiricism, so that scientific aims and methods improve as our scientific knowledge and understanding improve. Likewise, and even more urgently, we need to build into all our other institutions, into the fabric of our personal and social lives, the aims-and-methods-improving methods of aim-oriented rationality, so that we may improve our personal, social and global aims and methods as we live.
One outcome of the 20th century is a widespread and deep-seated cynicism concerning the capacity of humanity to make real progress towards a genuinely civilized, good world. Utopian ideals and programmes, whether of the far left or right, that have promised heaven on earth, have led to horrors. Stalin's and Hitler's grandiose plans led to the murder of millions. Even saner, more modest, more humane and rational political programmes, based on democratic socialism, liberalism, or free markets and capitalism, seem to have failed us. Thanks largely to modern science and technology, many of us today enjoy far richer, healthier and longer lives than our grandparents or great grandparents, or those who came before. Nevertheless the modern world is confronted by grave global problems: the lethal character of modern war, the spread and threat of armaments, conventional, chemical, biological and nuclear, rapid population growth, severe poverty of millions in Africa, Asia and elsewhere, destruction of tropical rain forests and other natural habitats, rapid extinction of species, annihilation of languages and cultures. And over everything hangs the menace of climate change, threatening to intensify all the other problems (apart, perhaps, from population growth).
All these grave global problems are the almost inevitable outcome of the successful exploitation of science and technology plus the failure to build aim-oriented rationality into the fabric of our personal, social and institutional lives. Modern science and technology make modern industry and agriculture possible, which in turn make possible population growth, modern armaments and war, destruction of natural habitats and extinction of species, and global warming. Modern science and technology, in other words, make it possible for us to achieve the goals of more people, more industry and agriculture, more wealth, longer lives, more development, housing and roads, more travel, more cars and aeroplanes, more energy production and use, more and more lethal armaments (for defence only of course!). These things seem inherently desirable and, in many ways, are highly desirable. But our successes in achieving these ends also bring about global warming, war, vast inequalities across the globe, destruction of habitats and extinction of species. All our current global problems are the almost inevitable outcome of our long-term failure to put aim-oriented rationality into practice in life, so that we actively seek to discover problems associated with our long-term aims, actively explore ways in which problematic aims can be modified in less problematic directions, and at the same time develop the social, the political, economic and industrial muscle able to change what we do, how we live, so that our aims become less problematic, less destructive in both the short and long term. We have failed even to appreciate the fundamental need to improve aims and methods as the decades go by. Conventional ideas about rationality are all about means, not about ends, and are not designed to help us improve our ends as we proceed. Implementing aim-oriented rationality is essential if we are to survive in the long term. To repeat, the idea spelled out in this book, if taken seriously, just might save the world.
Einstein put his finger on what is wrong when he said "Perfection of means and confusion of goals seems, to my opinion, to characterize our age." This outcome is inevitable if we restrict rationality to means, and fail to demand that rationality - the authentic article - must quite essentially include the sustained critical scrutiny of ends.
Scientists, and academics more generally, have a heavy burden of responsibility for allowing our present impending state of crisis to develop. Putting aim-oriented rationality into practice in life can be painful, difficult and counter-intuitive. It involves calling into question some of our most cherished aspirations and ideals. We have to learn how to live in aim-oriented rationalistic ways. And here, academic inquiry ought to have taken a lead. The primary task of our schools and universities, indeed, ought to have been, over the decades, to help us learn how to improve aims and methods as we live. Not only has academia failed miserably to take up this task, or even see it as necessary or desirable. Even worse, perhaps, academia has failed itself to put aim-oriented rationality into practice. Science has met with such astonishing success because it has put something like aim-oriented empiricism into scientific practice - but this has been obscured and obstructed by the conviction of scientists that science ought to proceed in accordance with standard empiricism - with its fixed aim and fixed methods. Science has achieved success despite, and not because of, general allegiance of scientists to standard empiricism.
The pursuit of scientific knowledge dissociated from a more fundamental concern to help humanity improve aims and methods in life is, as we have seen, a recipe for disaster. This is the crisis behind all the others. We are in deep trouble. We can no longer afford to blunder blindly on our way. We must strive to peer into the future and steer a course less doomed to disaster. Humanity must learn to take intelligent and humane responsibility for the unfolding of history.
Life of Value
by Nicholas Maxwell
Published in L. McHenry (ed) Science and the Pursuit of Wisdom: Studies in the Philosophy of Nicholas Maxwell (Ontos Verlag, Frankfurt, February 2009)
The Urgent Need for an Intellectual Revolution
Two Fundamental Problems
Autobiographical Remarks
What Kind of Inquiry Can Best Help Life of Value to Flourish?
How is Life of Value Possible in the Physical Universe?
Connections Between the Two Problems
References
Selected Publications of N. Maxwell
Notes
The Urgent Need for an Intellectual Revolution
For much of my working life (from 1972 onwards) I have argued, in and out of print, that we need to bring about a revolution in the aims and methods of science - and of academic inquiry more generally. Instead of giving priority to the search for knowledge, academia needs to devote itself to seeking and promoting wisdom by rational means, wisdom being the capacity to realize what is of value in life, for oneself and others, wisdom thus including knowledge, understanding and technological know-how, but much else besides. A basic task ought to be to help humanity learn how to create a better world.
Acquiring scientific knowledge dissociated from a more basic concern for wisdom, as we do at present, is dangerously and damagingly irrational.
Natural science has been extraordinarily successful in increasing knowledge. This has been of great benefit to humanity. But new knowledge and technological know-how increase our power to act which, without wisdom, may cause human suffering and death as well as human benefit. All our modern global problems have arisen in this way: global warming, the lethal character of modern war and terrorism, threats posed by modern armaments (conventional, chemical, biological and nuclear), vast inequalities of wealth and power round the globe, rapid increase in population, destruction of tropical rain forests and other natural habitats, rapid extinction of species, even the AIDS epidemic (AIDS being spread by modern travel). All these distinctively modern crises have been made possible by modern science dissociated from the rational pursuit of wisdom. If we are to avoid in this century the horrors of the last one - wars, death camps, dictatorships, poverty, environmental damage - we urgently need to learn how to acquire more wisdom, which in turn means that our institutions of learning become effectively, rationally, devoted to that end.
The revolution we need would change every branch and aspect of academic inquiry. A basic intellectual task of academic inquiry would be to articulate our problems of living (personal, social and global) and propose and critically assess possible solutions, possible actions, policies, political programmes, philosophies of life. This would be the task of social inquiry and the humanities. Tackling problems of knowledge would be secondary. Social inquiry would be at the heart of the academic enterprise, intellectually more fundamental than natural science. On a rather more long-term basis, social inquiry would be concerned to help humanity build cooperatively rational methods of problem-solving into the fabric of social and political life, so that we may gradually acquire the capacity to resolve our conflicts and problems of living in more cooperatively rational ways than at present. Natural science would change to include three domains of discussion: evidence, theory, and aims - the latter including discussion of metaphysics, values and politics. Pursued for its own sake, science would be more like natural philosophy, intermingling science, metaphysics and philosophy as in the time of Newton. Academic inquiry as a whole would become a kind of people's civil service, doing openly for the public what actual civil services are supposed to do in secret for governments. Academia would actively seek to educate the public by means of discussion and debate, and would not just study the public. Above all academia, internationally, would be devoted to helping humanity learn what we need to do in response to the impending crisis of global warming. The intellectual/institutional revolution, from knowledge to wisdom, that I have been arguing for, has dramatic consequences both for the internal structure and organization of academia, and for its relationship with the rest of the social world.
These changes are not arbitrary. They all come from demanding that academia cure its current structural irrationality, so that reason - the authentic article - may be devoted to promoting human welfare.
The upshot is a new kind of inquiry - wisdom-inquiry - of which natural science forms an integral part. Wisdom-inquiry puts into the hands of humanity, for the first time, an instrument of learning rationally designed to help us realize what is of most value to us as we live - rationally designed to help us make progress towards a good world.
Wisdom-inquiry is the solution to the profoundly important, fundamental, but much neglected philosophical problem: What kind of inquiry can best help humanity learn how to make progress towards a civilized world?
Two Fundamental Problems
Even though this is where the main effort of my working life lies, it does not sum up everything I have sought to do. Many years ago I came to the conclusion that all my work, and much of my teaching, have been concerned, in one way or another, with two fundamental, inter-related problems.
Problem 1 : How can we understand our human world, embedded as it is within the physical universe, in such a way that justice is done both to the richness, meaning and value of human life on the one hand, and to what modern science tells us about the physical universe on the other hand?
Problem 2 : What ought to be the overall aims and methods of science, and of academic inquiry more generally, granted that the basic task is to help humanity achieve what is of value - a wiser, more civilized world - by cooperatively rational means (it being assumed that knowledge and understanding can be of value in themselves and form a part of civilized life)?
Both problems have played a central role in the history of thought. The first problem begins with Democritus; aspects of the problem can be found in the writings of Galileo, Kepler, Boyle, Newton; it is central to the work of Descartes, Locke, Berkeley, Hume, Kant and, in more recent times, has been of concern to such diverse thinkers as Whitehead, Russell, Stebbing, Popper, Dennett, Nagel and Searle. The second problem (appropriately interpreted) occupies a central place in the thought of Socrates, Plato and Aristotle; it is basic to the work of Francis Bacon, Descartes, Locke; it has a fundamental role to play in Enlightenment thought of the 18th century; and that aspect of the problem that has to do with the pursuit of knowledge has continued to play a central role in philosophy and philosophy of science down to the present.
The first problem includes the mind/body problem, the problem of free will and determinism, and the problem of the relationship between facts and values; it includes problems concerning the relationship between perceptual and physical properties, and problems concerning the relationship between different branches of the sciences, from physics via biology to psychology. It involves problems concerning the interpretation of the neurosciences, Darwinian theory, and modern physical theory, especially quantum theory; and it involves questions concerning scientific realism, scientific essentialism and instrumentalism. Work that I have done on this problem includes: my MA thesis, my first three papers (published in 1966 and 1968), a series of papers on quantum theory, parts of What's Wrong With Science? (1976), "Methodological Problems of Neuroscience" (1985), chapter 10 of From Knowledge to Wisdom, and part 2 of "Induction and Scientific Realism". Especially significant are: "Physics and Common Sense" (1966), chapter 10 of From Knowledge to Wisdom (1984), and "The Mind-Body Problem and Explanatory Dualism" (2000). The various strands of this long-standing research were brought together in my book The Human World in the Physical Universe: Consciousness, Free Will and Evolution 2001)..
The second problem includes standard epistemological and methodological problems about scientific progress, the rationality of science, the aims and methods of natural and social science. But it goes beyond these standard issues in embracing the whole of academic inquiry - the humanities, technological research and education in addition to natural and social science - and in raising the question of how inquiry, in this broad sense, can best help people realize what is genuinely of value in life. It is very definitely not assumed that the proper intellectual aim of inquiry is knowledge. My published work on this problem began with "A Critique of Popper's Views on Scientific Method" (1972), and "The Rationality of Science" (1974). The first full statement of the argument for the need for a revolution, from knowledge to wisdom, is to be found in my first book What's Wrong With Science? (1976); it is restated, in a much more detailed and careful way in From Knowledge to Wisdom (1984), and it receives a more up to date restatement in Is Science Neurotic? (2004). A detailed statement of the first part of the argument concerning natural science is to be found in The Comprehensibility of the Universe (1998). I have also published numerous papers spelling out various aspects of the argument over the years: three examples are: "Science, Reason, Knowledge and Wisdom: A Critique of Specialism" (1980), "What Kind of Inquiry Can Best Help Us Create a Good World?" (1992), and "Can Humanity Learn to become Civilized? The Crisis of Science without Civilization" (2000).
In what follows I shall call the first problem the "Human World/Physical Universe Problem" (HWPhU problem), and the second the "wisdom-inquiry problem".
These two problems are, of course, interconnected in many ways (a point I shall return to below). The first concerns how it is possible for life of value to exist in the physical universe. The second presumes that the first has been solved and seeks to discover what kind of inquiry can best help life of value to flourish in the physical universe. Taken together, they ought, but are not, to be regarded as the fundamental problems of philosophy, embracing as they do, not just epistemology, philosophy of science and metaphysics, but also moral and political philosophy.
They may be regarded as two aspects of an even more fundamental problem: How can life of value best flourish in the real world? This is indeed, in my view, the proper basic problem, not just for philosophy, but for all of science and scholarship. It is our fundamental problem in life, practical, theoretical and conceptual, personal, social and global. Certainly all my own work has been directed towards contributing towards improving our solutions of this fundamental problem.
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Autobiographical Remarks
How did I come to be preoccupied - or obsessed - with the above two problems? It goes back to my childhood.
From a young age (and probably in common with most other young children) I passionately wanted to understand. I can remember wondering, as a four-year old, how space ends. I came to the conclusion that it must end with an enormous wall. Then the awful thought occurred: What is behind the wall? I had discovered a fundamental problem of cosmology. At the same age I invented a theory as to why the sky is blue. It is blue because air is very slightly blue. I told my father about my idea, and was outraged when he seemed unconvinced. When I was six I discovered the problem of perception. I knew that when we see, light enters our eyes. This must mean, I suddenly realized, that this room I see must be inside my head. But that is absurd: How can it possibly be inside my head? At about the same time I discovered an argument for the existence of atoms. People, animals, plants are all of a characteristic size. There must therefore, I felt rather than thought, be something in the constitution of things which makes it possible for these things to determine what size to be. Ultimately matter must be made up of atoms, of a definite size, to make it possible for familiar things to fix their size.
My parents, somewhat amused by my passion to understand, gave me a book for children about science for my eighth birthday. I discovered that it is theoretical physics which seeks to understand the ultimate nature of the universe. My task in life was clear: I would become a theoretical physicist, discover the secret of the universe (the secret of life as I then thought it to be), and reveal it to everyone. At the age of ten I devoured Penguin Science News 2, devoted to nuclear physics and the bomb. I was fascinated and appalled. I was horrified that nuclear tests might create a hydrogen bomb out of the heavy hydrogen in the oceans, exploding the earth and everyone on it, including me. But what enthralled me was the mystery, the utter strangeness, of the universe revealed by physics, solid matter mostly empty space, velocity causing lengths to shrink and clocks to go slow, space-time not flat but curved, particles no more than waves of probability, the real world so utterly different from how we ordinarily experience it to be. To live and die and never know what sort of universe this really is struck me as the ultimate catastrophe, almost equivalent to not living at all. Nothing, nothing must divert me from the task of discovering the secret of the universe, the secret of life.
None of this, by the way, should be taken to mean that I was fiercely precocious. Not at all. In those far off days in England, 11 year olds had to take an exam which decided whether they could go on to grammar school or not. Failure more or less condemned you to leaving school without academic qualifications (unless your parents could pay for your education). I failed this crucial exam, not once, but twice! My problem was that, though not especially bright, I was insanely, pathologically intellectually ambitious.
Then, with adolescence, I began to feel it was far more important to understand people than the universe, the way to do that being via the novel. Instead of reading Jeans, Eddington, and Fred Hoyle, I plunged into the worlds of Dostoevsky, Kafka, Stendhal, Chekhov, D. H. Lawrence, Virginia Woolf and Flaubert. My real education began. I would become a novelist and dare to reveal dark secrets of the human heart no one before had dared utter. I would depict worlds with such intense imaginative power that they would seem more real than reality itself
But the educational system had stamped me science rather than humanities. Off I went to University College London to study mathematics. Earlier, I had read Eddington, and he had persuaded me that physics is really mathematics, the ultimate nature of the universe being mathematical in character. I thought I would find mathematics easy, and I would be able to devote myself to writing novels. But I was miserable, I didn't know what to write about, and I never discovered how to fabricate in order to tell the truth. And mathematics seemed both hollow and very difficult. It did not seem to be about anything - apart, that is, from analysis, which I found fascinating because it seemed to probe the foundations. I passed all my exams but, abruptly, in my second year, my grant was stopped because I had not attended enough lectures.
So I did my National Service, and became a Sergeant in the Educational Corps. And then I went to Manchester University to do Philosophy. I had failed miserably as a physicist, and as a novelist, but I was interested in philosophical problems, so I would do that for three years, and then join the grey shuffle of ordinary, uncreative life (as I then saw it).
I found I knew how to do philosophy. In our first week, Professor Arthur Prior (logician and moral philosopher) set us, as an essay subject, "Do we see stars?". When Prior gave me my essay back, he told me that he had set the subject for an open essay competition, and my essay included all the points made in the essays of the competition, but no single essay had managed to include all of mine. For my next essay, Prior asked me to read a paper in the current issue of Mind on McTaggart on time. I read it, decided the author was mistaken, and said so in my essay. "Yes, I think you're right" Prior said as he handed back my essay. I was pleased: here I was, apparently, at the coal face of philosophical research, holding my own with the philosophical professionals.
Another triumph - which I only saw as a triumph some years later - came towards the end of my first year. I had to write an essay on the mind/body problem for Arthur Prior's seminar. I went for long walks in Whitworth Park (near Manchester University) in an agony of thought, and came to the conclusion that we do not ordinarily know enough about our inner experiences to know that they are not brain processes. In perception we see, not what is inside our heads, but what we ordinarily suppose we see, the world around us. After I had read out my essay in the seminar, Prior asked, rather sharply, what I had been reading. "Nothing", I replied. "I went for walks in Whitworth Park and thought about the problem". Prior, from New Zealand, and a friend of J. J. C. Smart, must have been somewhat startled to discover that a first year undergraduate had rediscovered for himself some of the key points made earlier in print by U. T. Place (1956) and Smart (1959).
But by the end of the academic year I had made myself utterly miserable, struggling hopelessly with the tangled brambles of impossible philosophical problems, locked in a nightmare of contradictory intellectual impulses. When the summer vacation came, I took a job in a factory, and in the evenings began to keep a diary, noting down my thoughts and feelings. The outcome was a series of psychic explosions which tore me apart and changed the rest of my life.
I decided that my earlier desire to be a great theoretical physicist and master the universe, and my desire to be a great novelist and master of human life, were both, when pushed to the limit of absurdity, manifestations of the desire to become God. Not only was this absurd; it was undesirable. Far more desirable was to be something that, up to then, had seemed too insignificant to deserve any consideration at all: myself. This long-neglected, fragile, worthless scrap of almost nothing now seemed to me to be, for me, the most precious thing in existence, something holy and sacrosanct. But what was it? What was I? I had no idea. Having ignored myself, in some sense, for so long, in my striving to become acquainted with, identified with, some profoundly significant otherness (ultimate physical reality, ultimate human reality), my self had become a stranger to me. It felt like a young plant, fragile from neglect and lack of nourishment, needing attention and care to grow and flourish.
When we are born, I wrote in the diary, we do not know how to distinguish "me" from "not me": there is just things happening. But then we do discover how to make the distinction, and we discover we are tiny and vulnerable in a vast, strange, and sometimes terrifying world. We falsely half remember the earlier state as a time when we were "everything", and our life project, in one way or another, becomes to return to this earlier, God-like state. One strategy is to try to convert the "not me" into "me", by conquering it, knowing and understanding it, acquiring power over it, or even literally trying to swallow it. Another standard strategy is to do just the opposite: shrink the "me" until it disappears, and there is only "everything". This is the strategy of the mystic who seeks mystical union with God; it is the strategy of the humble, and of those who commit suicide.
But both these conventional and absurd strategies rest on a mistaken view about the nature of the "me", the nature of personal identity. Our identity is not what is inside us. What lies within us is just as mysterious as what lies without us. Our identity exists in the interplay between what lies within and without. If the distinction between "me" and "not me" is depicted as a circle on a surface, the "me" is not, as we ordinarily assume, what lies within the circle; it is rather the line of the circle itself. We should not, ludicrously, try to increase the circle until, in the limit, everything is incorporated within it; nor should we, almost equally ludicrously, try to decrease the circle until it becomes a dot and disappears and there is just "everything": instead, we should "relax the muscles of identity" (as I wrote in my diary) so that the line of the circle becomes permeable, and there can be an easy interplay between what lies within and without, and we become our authentic selves, without striving to expand until, in the limit, we become everything, or shrink until we become nothing (and there is only everything).
My earlier projects to know and understand the nature of the universe by means of physics, and to know and understand humanity by means of literature, now seemed variants of the strategy to expand and expand the circle of identity. Pushed to the limits of absurdity, it was as if my ultimate aspiration had been to become God. But an infinitely more worthwhile goal lay before me, up till now neglected as worthless: to become myself. "The riddle of the universe" I wrote "is the riddle of our desires". The fundamental question of philosophy is not "How do I acquire knowledge?" but rather "What do I want? How should I live?".
These ideas, which now seem to me somewhat absurd, exaggerated and dubious at best, were for me, at the time, the stuff of my life; they were experienced and lived. Before these "revelations", I had half believed in Descartes' picture of the self being the mind, linked to the brain but utterly different from anything physical, the whole experienced world being locked away within the prison of one's skull. This picture was shattered. What was within was just as much a mystery as what lay without: "I" was the region of interplay between these two mysteries. I became whatever I saw or experienced, my self being created and dying many times during the day. In one of his letters, John Keats spoke of becoming the bird he saw pecking on a path. That was how it now was with me. I would be whatever I experienced: seeing a blade of grass, I became that blade of grass; talking with a friend, I became that "talking with the friend". For six weeks it was as if I was high on some hallucinatory drug: visions of exhilarating and terrifying intensity came before breakfast, and throughout the day. I had become a prophet, and my prophecy was: be your own prophet, discover for yourself your own true self, what you really desire in life.
In the end I found having a great message for the world such a contradiction that I finally hit upon the idea: there are only stories or myths. One is that of science; another is that of personal experience. Not till I read Karl Popper did I free myself of this nonsense - still so fashionable in some quarters.
I vowed that when I got back to Manchester University in the autumn, I would tell the Philosophy Department about my earth-shaking discoveries of the summer - especially, that philosophy should be about how to live, and not about how to acquire knowledge. I found I could not even open my mouth. Ecstasy gave way to persistent black despair.
I knew I had discovered something of profound importance. But what exactly? In my misery, I felt my miraculous discovery had been mislaid. I laboured to rediscover what I had lost. And very slowly, over a period of some ten to twenty years, I did rediscover and further develop my initial, slightly mad ideas. For those six weeks of ecstasy and terror are the key to all my subsequent work. What I have done since is to recoup, develop, elaborate and apply the stark, crude ideas I lived with such intensity that summer.
Looking back now, I would say that the key discovery was that "the riddle of the universe is the riddle of our desires" - or, in other words, that our aims, in science and in life, are profoundly problematic. Tied in with this was the idea that philosophy should be about how to live, not about how to acquire knowledge - and certainly not about solving conceptual problems. I generalized this, later, to become the idea that all of inquiry, and not just philosophy, should be about how to live - our fundamental problems being problems of living rather than problems of knowledge. Tied in with all this, too, was the discovery that the world as we experience it is as objectively real as the world revealed by theoretical physics.
Physics and literature, the two passions of my youth, each hitherto making nonsense of the other, suddenly achieved a kind of problematic synthesis in the idea that our human world and the physical universe co-exist with equal reality. My struggles with physics and literature, instead of being just abject failures, became something like apprentice work for the task in hand: to bring my discovery, whatever it might be, out into the clear light of day. The roots of the human world/physical universe problem lay, for me, deep in my childhood, deep in my being.
After obtaining my degree in 1963, I decided I would devote two years to trying to capture what I had discovered, in the summer of 1961, in an MA thesis. My initial idea was to argue that there are only different stories, different myths, it being vital not to take any one story, such as that of science or common sense, too seriously. My tutor, Ted Dawson, persuaded me to restrict my attention to just two "stories", or cosmological views, that of physics and common sense.
I discovered Karl Popper, and was immensely impressed. One passage in particular made an impact:-
"The belief of a liberal - the belief in the possibility of a rule of law, of equal justice, of fundamental rights, and a free society - can easily survive the recognition that judges are not omniscient and may make mistakes about facts and that, in practice, absolute justice is hardly ever realized in any particular case. But this belief in the possibility of a rule of law, of justice, and of freedom, can hardly survive the acceptance of an epistemology which teaches that there are no objective facts; not merely in this particular case, but in any other case: and that the judge cannot have made a factual mistake because he can no more be wrong about the facts than he can be right" (Popper, 1963, 5).
I found this moral argument for factual realism convincing. It made clear that to abandon the notion of factual truth is shameful, and potentially disastrous. I converted my initial idea that physics and common sense are rival, equally valid stories about the nature of reality into the very different idea that they specify different aspects of reality. My task then became to pin down precisely what aspects, and how they are inter-related.
I discovered J.J.C. Smart's Philosophy and Scientific Realism, which impressed me with its clarity, simplicity and comprehensiveness - and its freedom from any hint of awful Oxford conceptual analysis. My thesis became a criticism of Smart's radical version of physicalism ("everything is made up exclusively of fundamental physical entities"). I expounded and defended a view that I have called experiential physicalism (it might be called naive realist physicalism ). Physics seeks to specify only that aspect of the world which determines (perhaps probabilistically) how events unfold in time. Colours, sounds, smells, as experienced by us, exist objectively in the world, in addition to, and not reducible to, physical properties. Our inner experiences are brain processes. These have experiential features not reducible, even in principle, to physics. Understanding a person as a person is distinct from, and cannot be reduced to, scientific understanding.
The overall argument of the thesis was summarized in my first published paper 'Physics and Common Sense' (1966). Two further papers spelled out more detailed points: 'Can there be Necessary Connections Between Successive Events?' (1968), (which specifies precisely what aspect of the world it is that physics seeks to describe, and refutes Hume on causation), and 'Understanding Sensations' (1968), (which spells out the "two aspect" version of the brain process theory I defend).
With the completion of my MA thesis (in 1965), and the publication of these three papers, I had completed the kernel of my solution to the problem of how it is possible for the world as we experience it to exist embedded in the physical universe, although I continued to develop further aspects of this proposed solution over the years. I expected these three papers, when published, to provoke a philosophical uproar. That they were passed over in almost complete silence left me bitterly disappointed.[Note 1] I came to the conclusion that publishing papers had nothing to do with communicating ideas or results, and had everything to do with promoting academic careers. For a time, I stopped publishing altogether.
Then, a year or two later, I made what I can only regard as the most important discovery of my life. Having solved the problem of how it is possible for life of value to exist in the physical universe, I was abruptly confronted with the discovery that academic inquiry must be radically transformed if it is to be rationally designed to help life of value to flourish in the physical universe.
In the next section I give an account of this discovery. In the section after, I summarize the details of my proposed solution to the first problem - the problem of how life of value is possible in the physical universe. I conclude with some remarks about interconnections between the two contributions. (In what follows, numbers in square brackets like this [1] refer to the corresponding items in the selected bibliography of my publications.)
What Kind of Inquiry Can Best Help Life of Value to Flourish?
A year or two after the publication of my first three papers - around 1970 - I began to wonder whether Popper really had solved the problems of induction and demarcation or, more fundamentally, the problem of exhibiting science as a rational endeavour. I came to the conclusion he had not. Popper, like almost all scientists and philosophers of science, took it for granted that the basic intellectual aim of science is to acquire knowledge of factual truth, nothing being persistently presupposed about the truth independently of evidence. But this seriously misrepresents the real aim of science. Physics persistently only accepts unified theories even though endlessly many even more empirically successful disunified rivals can always easily be concocted. This means physics makes a persistent metaphysical assumption: the universe is such that no disunified theory is true. Or, in other words: the universe is more or less physically comprehensible (only unified theories being explanatory, or depicting a physically comprehensible range of phenomena). The aim of physics is not truth per se, but rather truth presupposed to be physically comprehensible.
Popper had, in short, failed quite fundamentally to solve the problem of the rationality of science. He had failed to acknowledge the real, profoundly problematic aim of science. A new conception of science, and a new kind of science, were required which acknowledged with greater honesty the real, highly problematic aim of science of seeking explanatory truth, and which sought to improve this problematic aim as an integral part of scientific research. In order to facilitate this, the metaphysical presuppositions of science concerning the comprehensibility and knowability of the universe, need to be represented as a hierarchy of assumptions (and associated methods), the assumptions asserting less, and thus being more likely to be true, as one ascends the hierarchy. In this way, a framework of relatively unproblematic assumptions and associated methods (aims and methods), high up in the hierarchy, is created within which much more substantial and problematic assumptions and methods can be critically assessed and improved. This new conception of science, emerging from my criticism of Popper, which I called aim-oriented empiricism, was first spelled out in 1974 in [8].
Then, walking home one evening from work, it occurred to me (and I can remember the precise spot near Grays Inn Rd. where this thought occurred) that, taking aim-oriented empiricism as my starting point, I could tread a path parallel to that taken by Popper. Beginning with his view of science of falsificationism, Popper had generalized this to form a new conception of rationality, critical rationalism, which he had then used to make profound contributions to political philosophy and philosophy more generally, to ideas about the social sciences, to education, to a wide range of issues concerning civilization, culture, the open society. I had no doubt whatsoever of the immense importance of this line of argument of Popper, from falsificationism to critical rationalism and all the riches of his The Poverty of Historicism, Conjectures and Refutations, and above all The Open Society and Its Enemies.
But now I had a far better starting point than Popper's. Instead of his seriously defective falsificationism, I could begin with my superior aim-oriented empiricism. I could then tread a parallel path to Popper's, generalizing aim-oriented empiricism to become a new conception of rationality, aim-oriented rationality, which stresses that whenever aims are problematic, as they so often are in life and politics (and not just in science), we need to represent our aims in the form of a hierarchy so that we may improve our aims, and associated methods, as we act, as we live. And I had rediscovered my insight of the summer of 1961 - "our aims are profoundly problematic" - but in a far more powerful and general form. I now had available a heuristic scaffolding guiding the construction of my thesis and argument. All I had to do was tread a path parallel to Popper's, but because of my much improved starting point, my path would lead to much improved results.
I spelled it all out in a manuscript entitled The Aims of Science. A succession of editors at Macmillans got excited about the work, but after some four years, a new editor rejected it. Then a friend introduced me to an amateur publisher. Because of the deadline he set me, I wrote my first book, What's Wrong With Science?, in just three weeks. Most of it takes the form of a debate between a Philosopher and a Scientist. The Philosopher argues passionately that science misrepresents its profoundly problematic aims, and thus betrays both reason and humanity. Science needs to acknowledge problematic assumptions concerning metaphysics, values and politics inherent in the aims of science, so that these assumptions can be critically assessed and improved. The upshot is a new kind of science, and a new kind of academic inquiry more generally, which does better justice to both the intellectual and the practical aspects of inquiry.
But my "from knowledge to wisdom" argument only received its full, detailed statement eight years later with the publication of From Knowledge to Wisdom in the Orwellian year of 1984. In this book I distinguish two kinds of inquiry which I shall call here knowledge-inquiry and wisdom-inquiry. Both hold that a basic social or humanitarian aim of inquiry is to help promote human welfare, enhance the quality of human life, whether by intellectual or practical means.
Knowledge-inquiry, however, holds that the proper way for science, and for inquiry more generally, to pursue this social aim is, in the first, instance, to pursue the quite distinct intellectual aim of acquiring knowledge. First, knowledge is to be acquired; once acquired, it can be applied to helping solve social problems. Knowledge-inquiry restricts what can enter the intellectual domain of inquiry, in lectures and publications: a contribution must be a potential contribution to knowledge, or must contribute to the assessment of such contributions. Problems of knowledge can be discussed, but not problems of living. Proposals for action, political programmes, religious ideas, values, expressions of feelings and desires are all excluded from the intellectual domain of inquiry. This is done so that genuine, objective knowledge of fact may be acquired, and inquiry may be of genuine value to humanity. At the core of knowledge-inquiry there is a conception of science: standard empiricism. This is even more restrictive: in order to get into science, a potential contribution to knowledge must be empirically testable. The basic intellectual aim of science is taken to be knowledge of factual truth (nothing being presupposed about the truth), the basic method being to assess theories with respect to evidence only, nothing being permanently assumed about the universe independently of evidence. According to standard empiricism and knowledge-inquiry, disciplines are partially ordered in terms of how fundamental they are. At the most fundamental level, there is logic and mathematics; then theoretical physics, phenomenological physics and applications of physics such as astrophysics; chemistry, biology, ethnology; and then psychology and the other social sciences, with humanities such as philosophy and cultural studies as the least fundamental of all: see [18, ch. 2]..
Knowledge-inquiry, I argue, exercises a profound influence over almost every aspect of academic work, and is overwhelmingly the dominant conception of inquiry. Knowledge-inquiry is still almost universally accepted as the only rationalist conception of inquiry, nearly one quarter of a century after the publication of From Knowledge to Wisdom in 1984. Some academics, working in such fields as cultural studies, history of science and so-called Continental philosophy, reject both knowledge-inquiry and the whole idea of rational inquiry, influenced by doctrines such as Romanticism, the Counter-Enlightenment (as Isaiah Berlin has called it), postmodernism and social constructivism. But this is very much a dissident, minority view: almost all current academic work proceeds officially in accordance with the edicts of knowledge-inquiry: see [18, ch. 6].
Despite this, knowledge-inquiry is damagingly irrational, especially when judged from the standpoint of being a kind of inquiry designed to help enhance the quality of human life [18, ch. 3]. The successful scientific pursuit of knowledge and technological know-how dissociated from the more fundamental pursuit of wisdom is, I argue, behind all our current global crises, from global warming, the menace of modern armaments, the lethal character of modern warfare, to the destruction of tropical rainforests, rapid extinction of species, and pollution of earth, sea and air. For the sake of the future of humanity, and for the sake of inquiry itself, we urgently need to correct the damaging irrationality of knowledge-inquiry, thus creating a new kind of inquiry rationally designed to help humanity learn how to create a better world. This new kind of inquiry is what I call "wisdom-inquiry".
What do I mean by "rationality"? No more than what is required. The term "rationality", as used here, appeals to the idea that there is some, no doubt rather ill-defined, set of meta-methods, strategies or rules which, if implemented, give us our best chances of solving our problems, realizing our aims. These meta-methods of reason assume there is much that we can already do, and help us marshal these actions, these already-solved problems, so as to give us the best chance of solving new problems. Rational methods do not dictate what we should do, and do not guarantee success: see [18, pp. 67-70].
There are two arguments designed to establish the profound structural irrationality of knowledge-inquiry, the second deepening the first. The first appeals to methods of rational problem-solving [18, ch. 4], the second - presupposing and building on the first - to methods of rational aim pursuing when aims are problematic [18. ch. 5].
Four elementary rules of rational problem-solving are:-
(1) Articulate and seek to improve the articulation of the basic problem(s) to be solved.
(2) Propose and critically assess alternative possible solutions.
(3) When necessary, break up the basic problem to be solved into a number of specialized problems - preliminary, simpler, analogous, subordinate problems - (to be tackled in accordance with rules (1) and (2)), in an attempt to work gradually toward a solution to the basic problem to be solved.
(4) Inter-connect attempts to solve the basic problem and specialized problems, so that basic problem solving may guide, and be guided by, specialized problem solving. [Note 2]
Knowledge-inquiry, we shall see, violates three of these four elementary rules of reason.
Two preliminary points. First, granted that academic inquiry has, as its fundamental aim, to help promote human welfare by intellectual and educational means, then the problems that inquiry fundamentally ought to try to help solve are problems of living, problems of action. From the standpoint of achieving what is of value in life, it is what we do, or refrain from doing, that ultimately matters. Even where new knowledge and technological know-how are relevant to the achievement of what is of value - as it is in medicine or agriculture, for example - it is always what this new knowledge or technological know-how enables us to do that matters. Second, in order to achieve what is of value in life more successfully than we do at present, we need to discover how to resolve conflicts and problems of living in more cooperatively rational ways than we do at present. There is a spectrum of ways in which conflicts can be resolved, from murder or all out war at the violent end of the spectrum, via enslavement, threat of murder or war, threats of a less extreme kind, manipulation, bargaining, voting, to cooperative rationality at the other end of the spectrum, those involved seeking, by rational means, to arrive at that course of action which does the best justice to the interests of all those involved. A basic task for a kind of academic inquiry that seeks to help promote human welfare must be to discover how conflict resolution can be moved away from the violent end of the spectrum towards the cooperatively rational end.
If inquiry put the above four rules of rational problem-solving into practice, in seeking to help promote human welfare, then it would, as a matter of absolute intellectual priority:
(1*) Articulate and seek to improve the articulation of those personal, social and global problems of living we need to solve to achieve what is of value in life (a better world).
(2*) Propose and critically assess alternative possible solutions - possible and actual cooperative actions (policies, political programmes, philosophies of life), to be assessed from the standpoint of their capacity, if implemented, to help realize what is of value in life.
Knowledge-inquiry encourages rational exploration of problems of knowledge but bans exploration of problems of living from the intellectual domain of inquiry. (Factual claims to knowledge enter the intellectual domain, but not expressions of human feelings, desires, aspirations and values, not proposals for action.) Knowledge-inquiry thus violates the two most fundamental rules of rational problem-solving conceivable (granted inquiry has the aim of helping to promote human welfare by intellectual means). (1*) and (2*) do get put into practice on the fringes of academia, as it exists at present, in departments devoted to such matters as peace, policy, the environment, politics and economics. But they are not intellectually fundamental, at the core of the whole academic enterprise.
Knowledge-inquiry succeeds in implementing rule (3) to splendid effect - hence the vast tree-like structure of specialized disciplines and specialized problem-solving of academia today. But, having failed to implement (1) and (2), knowledge-inquiry cannot implement (4) either. Knowledge-inquiry is so seriously irrational it violates three of the four most elementary rules of reason in a wholesale, structural manner.
This structural irrationality is no mere formal matter. It has had, and continues to have, profoundly damaging consequences. The successful pursuit of scientific knowledge and technological know-how dissociated from a more fundamental concern with problems of living, dissociated from implementation of (1*) and (2*) in other words, as required by knowledge-inquiry, has had all sorts of beneficial consequences, but has also made possible all our current global problems, such as those indicated above. Modern science and technology make possible modern armaments and the lethal character of modern warfare; they make possible modern agriculture and industry, modern medicine and hygiene, and rapid population growth, which in turn are responsible for global warming, the destruction of natural habitats and extinction of species, and the pollution of the environment. All this is to be expected. Science and technology enhance our power act, but not our power to act wisely. If academia implemented (1*) and (2*) at a fundamental level, this would not of course guarantee that humanity would learn to resolve its problems in wiser, more cooperatively rational ways, but academia would at least be rationally designed to help humanity learn this vital lesson. Knowledge-inquiry, bereft of (1*) and (2*), is a recipe for disaster.
Failure to implement (4) has adverse consequences as well. It means that the aims, the priorities of scientific and technological research cannot be related to and influenced by sustained discussion of what our most important problems of living are, and what we need to do about them. As a result, the priorities of specialized research are likely to be influenced, not by human need, but by commercial and military pressures, and the needs of narrow specialized research interests themselves. Modern science exhibits just such tendencies.
Wisdom-inquiry (first version) emerges when knowledge-inquiry is modified just sufficiently to implement all four rules of rational problem-solving, (1) to (4). Some of the consequences of this are as follows. The intellectually central and fundamental task of wisdom-inquiry is to articulate, and improve the articulation of, those personal, social and global problems of living that need to be solved if people are to realize what is of value in life, and to propose and critically assess possible and actual actions (policies, political programmes, philosophies of life) from their capacity to help realize what is of value. This task is undertaken by social inquiry and the humanities, intellectually more fundamental than natural science. Emerging out of, and feeding back into, this intellectually fundamental activity, the natural, and technological sciences tackle secondary problems of knowledge, understanding and know-how, in accordance with rules (3) and (4). Social inquiry and humanities also, of course, seek to acquire relevant knowledge and understanding of the human world, as a secondary concern, in accordance with rules (3) and (4). The formal sciences, mathematics, statistics and logic, do not acquire knowledge of anything actual at all, but rather develop abstract problem-solving methods, applicable to as wide a range of circumstances as possible. Computer science and artificial intelligence straddle technology, biology, psychology and formal science. In the end, what really matters is the thinking that goes on as an integral part of personal, social and global life, guiding action. A basic task of academia is to promote the cooperative rationality of this socially active thinking. Academia is a specialized part of the social world, and needs to interact with the rest of the social world in accordance with rules (3) and (4).
The outcome of ensuring that academic inquiry puts all four rules, (1) to (4), into practice (in seeking to help promote human welfare by intellectual means) is that almost all aspects and departments of academia are changed, some quite radically.
It may be asked: If academia really is as grossly and damagingly irrational as the above argument would seem to indicate, when and how did this come about? My answer is that it came about as a result of the botched, defective implementation of what may be called "The Enlightenment Programme" of learning from scientific progress how to achieve social progress towards an enlightened world. The philosophes of the French Enlightenment - Voltaire, Diderot, Condorcet and the rest - thought that this programme involved developing social science alongside natural science. This idea was further developed throughout the 19 th century by figures as diverse as Marx and Mill, and was implemented in the early 20 th century with the creation of departments of social science. The outcome was what I have been criticizing, knowledge-inquiry.
In order to implement the Enlightenment Programme properly, the following three points need to be got right:-
1. The progress-achieving methods of science need to be correctly identified.
2. These methods need to be correctly generalized so that they become fruitfully applicable to any human endeavour, whatever the aims may be, and not just applicable to the endeavour of improving knowledge.
3. The correctly generalized progress-achieving methods then need to be exploited correctly in the great human endeavour of trying to make social progress towards an enlightened, wise, civilized world.
Unfortunately, the philosophes of the Enlightenment got all three points wrong. And as a result these blunders, undetected and uncorrected, are built into the intellectual-institutional structure of academia as it exists today. I now spell out what these blunders are, and what needs to be done to remove them. This constitutes my second argument for the urgent need to transform knowledge-inquiry into wisdom-inquiry [18, ch. 5].
First, the philosophes failed to capture correctly the progress-achieving methods of natural science. From D'Alembert in the 18 th century to Popper in the 20 th, the widely held view, amongst both scientists and philosophers, has been (and continues to be) that science proceeds by assessing theories impartially in the light of evidence, no permanent assumption being accepted by science about the universe independently of evidence. But this standard empiricist view is untenable. If taken literally, it would instantly bring science to a standstill. For, given any accepted theory of physics, T, Newtonian theory say, or quantum theory, endlessly many empirically more successful rivals can be concocted which agree with T about observed phenomena but disagree arbitrarily about some unobserved phenomena. Physics would be drowned in an ocean of such empirically more successful rival theories.
In practice, these rivals are excluded because they are disastrously disunified. Two considerations govern acceptance of theories in physics: empirical success and unity. But in persistently accepting unified theories, to the extent of rejecting disunified rivals that are just as, or even more, empirically successful, physics makes a big persistent assumption about the universe. The universe is such that all disunified theories are false. It has some kind of unified dynamic structure. It is physically comprehensible in the sense that explanations for phenomena exist to be discovered.
But this untestable (and thus metaphysical) assumption that the universe is physically comprehensible is profoundly problematic. Science is obliged to assume, but does not know, that the universe is comprehensible. Much less does it know that the universe is comprehensible in this or that way. A glance at the history of physics reveals that ideas have changed dramatically over time. In the 17 th century there was the idea that the universe consists of corpuscles, minute billiard balls, which interact only by contact. This gave way to the idea that the universe consists of point-particles surrounded by rigid, spherically symmetrical fields of force, which in turn gave way to the idea that there is one unified self-interacting field, varying smoothly throughout space and time. Nowadays we have the idea that everything is made up of minute quantum strings embedded in ten or eleven dimensions of space-time. Some kind of assumption along these lines must be made but, given the historical record, and given that any such assumption concerns the ultimate nature of the universe, that of which we are most ignorant, it is only reasonable to conclude that it is almost bound to be false.
The way to overcome this fundamental dilemma inherent in the scientific enterprise - as I have already indicated - is to construe physics as making a hierarchy of metaphysical assumptions concerning the comprehensibility and knowability of the universe, these assumptions becoming progressively less substantial and thus more likely to be true, and also more nearly such that their truth is required for science, or the pursuit of knowledge, to be possible at all, as one ascends the hierarchy: see figure 2. In this way a framework of relatively insubstantial, unproblematic, fixed assumptions and associated methods is created within which much more substantial and problematic assumptions and associated methods can be critically assessed, changed, and indeed improved ( partly in the light of the relative empirical success and failure of associated scientific research programmes). Put another way, a framework of relatively unspecific, unproblematic, fixed aims and methods is created within which much more specific and problematic aims and methods evolve as scientific knowledge evolves. (A basic aim of science is to discover in what precise way the universe is comprehensible, this aim evolving as assumptions about comprehensibility evolve.) Science adapts its nature to what it finds out about the universe There is something like positive feedback between improving knowledge, and improving aims-and-methods, improving knowledge-about-how-to-improve-knowledge - the nub of scientific rationality, and the methodological key to the unprecedented success of modern science [Note 3] [8], [11], [18, chs. 5 and 9], [41], [65], [68], [81, ch. 14].
But it is not just that there are unacknowledged, highly problematic metaphysical assumptions inherent in the aims of science; there are, in addition, unacknowledged, problematic assumptions concerning values, and politics (the human use of science). Science does not just seek explanatory truth; more generally, it seeks important truth, and this is sought so that it will be used, in one way or another, ideally to contribute to the quality of human life. These evaluative and political assumptions implicit in the aims of science are, if anything, even more profoundly problematic than the metaphysical assumptions. Here, too, problematic aims need to be represented in the form of a hierarchy, aims becoming less specific and problematic as one goes up the hierarchy, to facilitate the critical assessment and improvement of aims (and associated methods). Philosophy of science - the study of aims and methods of science - becomes a vital, integral part of science itself [18 ch. 5], [65, ch. 2].
So much for the first blunder of the traditional Enlightenment, and how to put it right.
Second, having failed to identify the methods of science correctly, the philosophes naturally failed to generalize these methods properly. They failed to appreciate that the idea of representing the problematic aims (and associated methods) of science in the form of a hierarchy can be generalized and applied fruitfully to other worthwhile enterprises besides science. Many other enterprises have problematic aims - problematic because aims conflict, and because what we seek may be unrealizable, undesirable, or both. Such enterprises, with problematic aims, would benefit from employing a hierarchical methodology, generalized from that of science, thus making it possible to improve aims and methods as the enterprise proceeds. There is the hope that, as a result of exploiting in life methods generalized from those employed with such success in science, some of the astonishing success of science might be exported into other worthwhile human endeavours, with problematic aims quite different from those of science.
Third, and most disastrously of all, the philosophes failed completely to try to apply such generalized, hierarchical progress-achieving methods to the immense, and profoundly problematic enterprise of making social progress towards an enlightened, wise world. The aim of such an enterprise is notoriously problematic. For all sorts of reasons, what constitutes a good world, an enlightened, wise or civilized world, attainable and genuinely desirable, must be inherently and permanently problematic. [Note 4] Here, above all, it is essential to employ the generalized version of the hierarchical, progress-achieving methods of science, designed specifically to facilitate progress when basic aims are problematic: see Figure 3. It is just this that the philosophes failed to do. Instead of applying the hierarchical methodology to social life, the philosophes sought to apply a seriously defective conception of scientific method to social science, to the task of making progress towards, not a better world, but to better knowledge of social phenomena. And this ancient blunder is still built into the institutional and intellectual structure of academia today, inherent in the current character of social science [18, ch. 5; 62; 65, ch. 3 and 4].
Properly implemented, in short, the Enlightenment idea of learning from scientific progress how to achieve social progress towards an enlightened world would involve developing social inquiry, not as social science, but as social methodology, or social philosophy . A basic task would be to get into personal and social life, and into other institutions besides that of science - into government, industry, agriculture, commerce, the media, law, education, international relations - hierarchical, progress-achieving methods (designed to improve problematic aims) arrived at by generalizing the methods of science. A basic task for academic inquiry as a whole would be to help humanity learn how to resolve its conflicts and problems of living in more just, cooperatively rational ways than at present. This task would be intellectually more fundamental than the scientific task of acquiring knowledge. Academia would have just sufficient power (but no more) to retain its independence from government, industry, the press, public opinion, and other centres of power and influence in the social world. It would seek to learn from, educate, and argue with the great social world beyond, but would not dictate. Academic thought would be pursued as a specialized, subordinate part of what is really important and fundamental: the thinking that goes on, individually, socially and institutionally, in the social world, guiding individual, social and institutional actions and life.
Instead of the intellectual and humanitarian aims of science being distinct, as for knowledge-inquiry, these aims become one and the same: to help humanity acquire wisdom - wisdom being the capacity to realize (apprehend and create) what is of value in life, for oneself and others, wisdom thus including knowledge and technological know-how but much else besides.
One outcome of getting into social and institutional life the kind of aim-evolving, hierarchical methodology indicated above, generalized from science, is that it becomes possible for us to develop and assess rival philosophies of life as a part of social life, somewhat as theories are developed and assessed within science. Such a hierarchical methodology provides a framework within which competing views about what our aims and methods in life should be - competing religious, political and moral views - may be cooperatively assessed and tested against broadly agreed, unspecific aims (high up in the hierarchy of aims) and the experience of personal and social life. There is the possibility of cooperatively and progressively improving such philosophies of life (views about what is of value in life and how it is to be achieved) much as theories are cooperatively and progressively improved in science. In science, ideally, theories are critically assessed with respect to each other, with respect to metaphysical ideas concerning the comprehensibility of the universe, and with respect to experience (observational and experimental results). In a somewhat analogous way, diverse philosophies of life may be critically assessed with respect to each other, with respect to relatively uncontroversial, agreed ideas about aims and what is of value, and with respect to experience - what we do, achieve, fail to achieve, enjoy and suffer - the aim being to improve philosophies of life (and more specific philosophies of more specific enterprises within life such as government, education or art) so that they offer greater help with the realization of what is of value in life. This hierarchical methodology is especially relevant to the task of resolving conflicts about aims and ideals, as it helps disentangle agreement (high up in the hierarchy) and disagreement (more likely to be low down in the hierarchy).
Wisdom-inquiry, because of its greater rigour, has intellectual standards that are, in important respects, different from those of knowledge-inquiry. Whereas knowledge-inquiry demands that emotions and desires, values, human ideals and aspirations, philosophies of life be excluded from the intellectual domain of inquiry, wisdom-inquiry requires that they be included. In order to discover what is of value in life it is essential that we attend to our feelings and desires. But not everything we desire is desirable, and not everything that feels good is good. Feelings, desires and values need to be subjected to critical scrutiny. And of course feelings, desires and values must not be permitted to influence judgements of factual truth and falsity. Wisdom-inquiry embodies a synthesis of traditional rationalism and romanticism. It includes elements from both, and it improves on both. It incorporates romantic ideals of integrity, having to do with motivational and emotional honesty, honesty about desires and aims; and at the same time it incorporates traditional rationalist ideals of integrity, having to do with respect for objective fact, knowledge, and valid argument. Traditional rationalism takes its inspiration from science and method; romanticism takes its inspiration from art, from imagination, and from passion. Wisdom-inquiry holds art to have a fundamental rational role in inquiry, in revealing what is of value, and unmasking false values; but science, too, is of fundamental importance. What we need, for wisdom, is an interplay of sceptical rationality and emotion, an interplay of mind and heart, so that we may develop mindful hearts and heartfelt minds. Wisdom-inquiry promises to heal the great rift in our culture, so graphically depicted by Snow (1986).
All in all, if the Enlightenment revolution had been carried through properly, the three steps indicated above being correctly implemented, the outcome would have been a kind of academic inquiry very different from what we have at present, inquiry devoted primarily to the intellectual aim of acquiring knowledge [18, ch. 5 and 7], [65, ch. 3 and 4].
A number of objections may be made to these two arguments designed to establish that knowledge-inquiry urgently needs to be transformed into wisdom-inquiry.
It may be objected that these arguments assume that a basic aim of science, of inquiry, is to help promote human welfare, knowledge being a means to that end. But this assumption may be challenged. The proper basic aim of science (or of inquiry), it may be held, is to acquire knowledge, whether this benefits humanity or not. Once this is acknowledged, the two arguments above collapse.
I have three replies. First, even if it is conceded that the proper aim of science is just knowledge, this does not tell against the decisive point that the scientific aim of acquiring knowledge makes implicit, problematic assumptions concerning metaphysics, values and politics. The idea that science seeks truth dissociated from assumptions concerning metaphysics, values and politics (the human use of science) is untenable. Once this point is acknowledged, it becomes clear that science is more rigorous intellectually if it subjects assumptions concerning metaphysics, values and politics to sustained criticism, in an attempt to improve them. Science pursued in this manner cannot be regarded as seeking knowledge dissociated from all considerations of its human value and use. Second, once it is acknowledged that problematic assumptions concerning values and politics are, inevitably, inherent in the aims and priorities of research, it becomes a matter of vital importance that academia has available intellectual/institutional means progressively to improve these assumptions. Wisdom-inquiry provides these means, whereas knowledge-inquiry does not. Finally, one may well hold that it is immoral to defend the view that science should restrict itself to seeking knowledge irrespective of its human value. There are three points to note. First, substantial public funds are devoted to supporting science in the expectation that science will benefit humanity. Given this, how can it be morally justifiable to defend a conception of science (a) which holds that any human value science has is purely incidental, and (b) which is damagingly irrational when judged from the standpoint of human value? Second, science in any case has a massive impact on society. Do not scientists have a prime responsibility to ensure that science is pursued in such a way that this impact is as good as possible? This means science should be pursued within the framework of wisdom-inquiry. Third, humanity is in deep trouble, and urgently needs to learn how to manage its affairs more wisely. It must be immoral to oppose a kind of academic inquiry rationally designed to help humanity learn this vital lesson.
Another objection that may be made to the whole argument is that it cannot be correct to hold that social inquiry is intellectually more fundamental than natural science. Before problems of living can be tackled, relevant knowledge must first be acquired. I have decisively refuted this orthodox view [18, pp. 171-181]. Simply in order to know what is relevant, we have to have some preliminary idea about what to do in response to a problem of living. More fundamentally, action, and the capacity to act, is more fundamental than propositional knowledge. Knowing how, to use Ryle's terms, comes before knowing that.
Finally, it may be objected that wisdom-inquiry may do better justice to the practical aspects of inquiry, but does not do justice to the intellectual or cultural aspects of inquiry - inquiry pursued for its own sake. My reply here, is that wisdom-inquiry does better justice to both aspects of inquiry, "pure" and "applied".
From the standpoint of the intellectual or cultural aspect of inquiry, what really matters is the desire that people have to see, to know, to understand, the passionate curiosity that individuals have about aspects of the world, and the knowledge and understanding that people acquire and share as a result of actively following up their curiosity. An important
task for academic thought in universities is to encourage non-professional thought to flourish outside universities. As Einstein once remarked "Knowledge exists in two forms - lifeless, stored in books, and alive in the consciousness of men. The second form of existence is after all the essential one; the first, indispensable as it may be, occupies only an inferior position." (Einstein, 1973, p. 80).
Wisdom-inquiry is designed to promote all this in a number of ways. It does so as a result of holding thought, at its most fundamental, to be the personal thinking we engage in as we live. It does so by recognizing that acquiring knowledge and understanding involves articulating and solving personal problems that one encounters in seeking to know and understand. It does so by recognizing that passion, emotion and desire, have a rational role to play in inquiry, disinterested research being a myth. Again, as Einstein has put it "The most beautiful experience we can have is the mysterious. It is the fundamental emotion which stands at the cradle of true art and true science. Whoever does not know it and can no longer wonder, no longer marvel, is as good as dead, and his eyes are dimmed." (Einstein, 1973, p. 11).
Knowledge-inquiry, by contrast, all too often fails to nourish "the holy curiosity of inquiry" (Einstein, 1949, p. 17), and may even crush it out altogether. Knowledge-inquiry gives no rational role to emotion and desire; passionate curiosity, a sense of mystery, of wonder, have no place, officially, within the rational pursuit of knowledge. The intellectual domain becomes impersonal and split off from personal feelings and desires; it is difficult for "holy curiosity" to flourish in such circumstances. Knowledge-inquiry hardly encourages the view that inquiry at its most fundamental is the thinking that goes on as a part of life; on the contrary, it upholds the idea that fundamental research is highly esoteric, conducted by physicists in contexts remote from ordinary life. Even though the aim of inquiry may, officially, be human knowledge, the personal and social dimension of this is all too easily lost sight of, and progress in knowledge is conceived of in impersonal terms, stored lifelessly in books and journals. Rare is it for popular books on science to take seriously the task of exploring the fundamental problems of a science in as accessible, non-technical and intellectually responsible a way as possible.[Note 5] Such work is not highly regarded by knowledge-inquiry, as it does not contribute to "expert knowledge". The failure of knowledge-inquiry to take seriously the highly problematic nature of the aims of inquiry leads to insensitivity as to what aims are being pursued, to a kind of institutional hypocrisy. Officially, knowledge is being sought "for its own sake", but actually the goal may be immortality, fame, the flourishing of one's career or research group, as the existence of bitter priority disputes in science indicates. Education suffers. Science students are taught a mass of established scientific knowledge, but may not be informed of the problems which gave rise to this knowledge, the problems which scientists grappled with in creating the knowledge. Even more rarely are students encouraged themselves to grapple with such problems. And rare, too, is it for students to be encouraged to articulate their own problems of understanding that must, inevitably arise in absorbing all this information, or to articulate their instinctive criticisms of the received body of knowledge. All this tends to reduce education to a kind of intellectual indoctrination, and serves to kill "holy curiosity".
[Note 6]
Officially, courses in universities divide up into those that are vocational, like engineering, medicine and law, and those that are purely educational, like physics, philosophy or history. What is not noticed, again through insensitivity to problematic aims, is that the supposedly purely educational are actually vocational as well: the student is being trained to be an academic physicist, philosopher or historian, even though only a minute percentage of the students will go on to become academics. Real education, which must be open-ended, and without any pre-determined goal, rarely exists in universities, and yet few notice. (These considerations are developed further in [11], [18], and [65]).
In order to enhance our understanding of persons as beings of value, potentially and actually, we need to understand them empathically, by putting ourselves imaginatively into their shoes, and experiencing, in imagination, what they feel, think, desire, fear, plan, see, love and hate. For wisdom-inquiry, this kind of empathic understanding is rational and intellectually fundamental. Articulating problems of living, and proposing and assessing possible solutions is, we have seen, the fundamental intellectual activity of wisdom-inquiry. But it is just this that we need to do to acquire empathic understanding. Social inquiry, in tackling problems of living, is also promoting empathic understanding of people. Empathic understanding is essential to wisdom. Elsewhere I have argued, indeed, that empathic understanding plays an essential role in the evolution of consciousness. It is required for cooperative action, and even for science. (For a fuller exposition of such an account of empathic understanding see [18, pp. 171-189 and ch. 10]; and [51, chs. 5-7 and 9].
Granted knowledge-inquiry, on the other hand, empathic understanding hardly satisfies basic requirements for being an intellectually legitimate kind of explanation and understanding [18, pp. 183-185]. It has the status merely of "folk psychology", on a par with "folk physics".
For my responses to further objections, see [18, ch. 8], [65, pp. 121-147], and [81, ch. 13].
After the publication of [18] in 1984, I published a number of summaries of the argument, striving always to put the argument over in as fresh, lucid and convincing a way as possible: for the best of these short expositions, see [26], [45], [59], [62], [67], and [71].
In 1998 I published The Comprehensibility of the Universe [41], which spells out in some detail the argument for aim-oriented empiricism, and considers implications of the view for theoretical physics. I argue that aim-oriented empiricism solves a range of fundamental problems in the philosophy of science which cannot be solved within the framework of standard empiricism, including the problem of induction, the problem of verisimilitude, and the problem of simplicity, or unity, of theory. The latter problem is one that I had wracked my brains over ever since 1972, when aim-oriented empiricism first occurred to me. I only began to solve the problem when I appreciated that simplicity, or unity, refers, not to the axiomatic structure or form of a theory, but to its content, to what the theory says about the world. For unity, we require that a theory asserts precisely the same for all the phenomena to which the theory applies. Given that a theory makes somewhat different assertions about different ranges of phenomena, degrees of disunity can arise depending on how different, how seriously different, these different assertions are. For details see [41, chs. 3 and 4], [65, appendix, section 2], and [81, ch. 14].
My exposition and defence of aim-oriented empiricism and wisdom-inquiry is further elaborated in [65] and [81, chs. 6, 12 - 14].
How is Life of Value Possible in the Physical Universe? ( The Human World/Physical Universe Problem)
I turn now to spelling out what I have done in connection with my first problem - the problem of how it is possible for there to be life of value (the human world as we experience it) embedded in the physical universe. I summarize what I have done in 37 numbered points.
1. We should seek to solve the most severe version of the problem. No attempt should be made to make the problem less severe by espousing anti-realist interpretations of physics, behaviourist views about inner experiences, or subjectivist views about what is of value [51, p. 6].
2. The problem is generated by physicalism - the doctrine that the world is made up entirely of fundamental physical entities interacting in accordance with some unified pattern of physical law. Physicalism may be false, but in what follows physicalism is assumed to be true, and the task is to see whether justice can be done to what seems to be most characteristic and of value in our human world granted the truth of physicalism [1], [18, ch. 10], [51, pp. 5-6].
3. An early and massively influential attempted solution is Cartesian dualism. Granted Cartesian dualism, the HWPhU problem tends to reduce to two problems: (1) what is the relationship between mind and brain? (2) How can mind influence the brain - required for free will? Even philosophers who reject Cartesian dualism tend to concentrate attention on these two problems. It is vital, however, to return to, and give priority to, the more general, more fundamental HWPhU problem - the problem which Cartesian dualism fails to solve. (1) and (2) need to be put into the broader, more fundamental context of the HWPhU problem [18, pp. 260-4], [51, p. 5 and p. 97]
4. This needs to be done because the solutions to (1) and (2) require it. Thus, in order to solve the mind/brain problem we need, initially, to turn our backs on the mental and consider very carefully the nature of the physical. Furthermore, we need to take seriously that non-physical, perceptual properties, such as colours, exist objectively in the world. Such considerations arise naturally within the context of the HWPhU problem, but do not within the context of the mind/brain problem. The brain-process theory of inner experiences that emerges has a major impact on how the problem of free will is conceived [18, pp. 260-4], [51, p. 97, pp. 141-2 and 155-6].
5. The crucial step that one needs to take in order to solve the HWPhU problem is to recognize that physics seeks only to provide the means (in principle) for a complete description of the world of a very special type. A complete physical description of the world would not, in other words, be a complete description. The silence of physics about experiential, human and evaluative features of things - such as perceptual properties of things external to us, inner experiences, the meaningful and evaluative, provides no grounds whatsoever for holding that such things do not exist - just as long as it can be shown that these are the kind of features of things physics does not seek to describe [1], [2], [3], [18], [51, ch. 5].
6. Physics is concerned only with what may be called the causally efficacious aspect of things. Given any isolated system, physics seeks only to describe that aspect of it which determines necessarily (but possibly only probabilistically) subsequent states of the system when described in the same terms. All non-causally efficacious features of things, such as experiential and value-laden features, will receive no mention whatsoever by the complete physical description, although physical correlates of these features will be described [1], [2], [3], [18, ch. 10], [51, ch. 5]..
7. More specifically, a basic aim of theoretical physics is to discover a theory, T, which is true, unified, applicable in principle to all phenomena, and such that, given any isolated system, S, it provides the means for a true description of the state of S at any instant such that this description implies true descriptions of subsequent states of the system, couched in the same terms.[Note 7] This requires that T is true when interpreted "essentialistically", as attributing necessitating properties to fundamental physical entities (or the fundamental physical entity). T provides the means for a complete or comprehensive description of the world in two senses. First, T applies to any isolated system. Second, T refers to everything that needs to be referred to in order to carry out the predictive task just indicated. But this does not mean that the predictive description, couched in the terms of T, describe all that there is. If the isolated system in question includes a person who perceives colours, sounds and smells, has inner experiences, thinks thoughts and utters or writes meaningful sentences, then none of this will be included in the predictive description provided by T (although physical correlates of these things will be included) just as long as this omission does not interfere with the predictive task indicated above [1], [2], [3], [18, ch. 10], [44], [51, ch. 5].
8. A key element of this proposal is that theoretical physics seeks to characterize "necessitating properties" of fundamental physical entities, and does not just specify laws or regularities in phenomena. It requires a thoroughly anti-Humean account of causation. It requires that necessary connections between successive states of affairs are possible - a point I argued for in my MA thesis and second published paper [2]. It also requires, not just scientific realism but, rather more strongly, scientific essentialism. In order to be ultimately acceptable, physical theories must be amenable to essentialistic interpretation. This in turn requires that a fully micro-realist, essentialist version of quantum theory needs to be developed - something I have sought to supply with my work on "propensiton" quantum theory. Essentialistic probabilism is, I argue, the key to making sense of the quantum domain. I put forward such a version of quantum theory: it is fundamentally probabilistic, fully micro-realistic, able to recover all the empirical success of orthodox quantum theory, and yet empirically distinct from that theory for experiments not yet performed. For conjectural essentialism see [2], [41, pp. 141-155]. For essentialistic quantum theory see [10], [15], [20], [23], [28], [35], [41, ch. 7], [64].
9. Recognizing clearly what it is physics aims to do - so that a complete physical description of the world would not be a complete description - solves a fundamental mystery about consciousness and the experiential. In seeking to understand consciousness, we may invoke the best mode of understanding available, namely scientific understanding. But when we do this, and explore what goes on inside our heads scientifically, we learn much about such things as neurons, synaptic junctions, exchange of sodium and potassium ions and so on, but never seem to encounter anything remotely like a thought, a feeling, an inner sensation, a moment of conscious awareness, as we experience these things. Before the gaze of science, consciousness seems to evaporate; it seems to become a profound mystery, utterly resistant to scientific explanation and understanding. But once we have grasped the above account of what physics, and all of natural science in principle reducible to physics, aims to achieve, it is clear that the fact that the scientific account of what goes inside our heads tells us nothing about consciousness as we experience it does not mean consciousness is inherently and profoundly mysterious. It just means that the experiential aspect of what goes on inside our heads is of no interest to physics because no reference needs to be made to it to complete the predictive task of physics. Consciousness and the experiential evade physical explanation, not because they are inherently mysterious, but because they are, from the standpoint of physics, entirely without interest, irrelevant to the task in hand [3], [18, pp. 261-7], [44], [51, ch. 5]. .
10. But might not it be possible for physics to describe experiential aspects of things? A simple argument establishes that the answer is "no". In order to know what sort of property redness as we perceive it is, one must oneself have at some stage in one's life have perceived red things, or at least experienced the visual sensation of redness. Simply in order to know what "roses are red" means (where "red" refers to the perceptual property), one must oneself have had the visual sensation of redness - which we may take to mean that one has had occur in one's brain a particular kind of brain process. A person colour-blind, or blind, from birth, cannot know what redness is. But such a person is not thereby debarred from understanding all of physics, just as well as any sighted person. Such a person is not debarred from understanding everything implied by physics - which means no purely physical description can imply "This is red", where "red" is understood to refer to the experiential or perceptual property. (The colour-blind person can understand everything implied by physics, but cannot understand "This is red"; hence "This is red" cannot be implied by physics.) Not only does physics not need to refer to redness; it cannot do so. This argument does not establish that redness exists, it just establishes that the silence of physics about redness - and endless other experiential and value-laden features of things - provides no grounds whatsoever for supposing that such features do not really exist [0], [1], [3], [18, 262-3], [44], [51, ch. 5]. [Note 8]
11. Might not postulates be added to the true physical theory of everything, T, linking physical and experiential features, so that a new theory, T*, is arrived at, genuinely complete and comprehensive, capable of predicting and explaining experiential features in additional to physical features, unlike T? Such a theory, T*, would be so horrendously complex and ad hoc that, even though predictive, it would not be explanatory. Each correlating postulate would be horrendously complex. Given the complexities of colour vision, it is clear that the postulate specifying physical correlates of the perceptual property "red" would be almost inconceivably complex. And given what may be presumed to be the complexity and variety of brain processes that correlate with the visual experience of redness, we may assume that the postulate specifying physical correlates of the visual experience of redness would also be extraordinarily complex. Furthermore, when one takes into account the great number and variety of non-physical experiential and personalistic features of things, actual and potential, associated with human beings, other sentient animals and beings, actual and possible, it becomes clear that individual postulates would be vast numbers of additional postulates associated with T*, each one of which would be incredibly complex. T* would be so complex and ad hoc as to be entirely non-explanatory. Here, in other words, is the explanation as to why physics eschews all reference to the experiential: physics must do this in order to develop the powerfully explanatory theories that it does develop. Physics fails to explain the experiential, not because the experiential is inherently mysterious and inexplicable, but rather because e xcluding all reference to the experiential is the price that must be paid to have the astonishingly explanatory theories of physics that we do have. [18, pp. 263-4], [44, pp. 64-5], [51, pp.119-121] .
12. Two rival theories of perception need to be distinguished, which may be called internalism and externalism. According to internalism, what we directly perceive, what we directly know about in perception, is our inner experiences: knowledge of external objects is inferred, somewhat shakily, from our immediate knowledge of our inner experiences. According to externalism, it is exactly the other way round. What we directly perceive, what we directly know about in perception, is what we ordinarily assume we perceive, objects external to us, tables, trees and houses; our knowledge of our inner sensory experiences is inferred, somewhat shakily, from our immediate knowledge of objects external to us.
13. Physicalism may seem to imply internalism, for at least two reasons. First, the silence of physics about perceptual properties may be taken to mean that they do not exist, and hence externalism cannot be correct because what we ordinarily assume we know about objects external to us in perception is almost entirely false. Second, physicalism applied to perception may seem to imply internalism, because it implies that a complex chain of processes links the external object to our perceptual experience of it: light is reflected from the object, enters our eyes, activates cells in our retina which cause neurons of the optic nerve to fire, which in turn cause vast numbers of neurons in the brain to fire, eventually leading to the experience of seeing the external object. What we really know about is the last event in this chain of events, namely the inner perceptual experience. From that we infer (shakily) our knowledge about the external object [1, pp. 300-1], [51, pp. 75-6] .
14. Both arguments are invalid. The first has already been shown to be invalid. The second is invalid because the existence of the chain of events provides no grounds whatsoever for holding that what we directly see and really know about in perception is the last event in the chain of events associated with perception. What we directly perceive is what we primarily know about in perception, and that, we may argue, is what we ordinarily assume we know about in perception, external perceived objects (when we are not suffering from illusions or hallucinations). That a chain of events exists between the perceived object and our brain does not mean that what we directly perceive is the last event in the chain. On the contrary, we do not perceive our inner experiences at all. Our knowledge of our inner perceptual experiences is derived from our more direct, primary knowledge of perceived objects external to us. If I have the experience of seeing a red rose, what I know about this experience is merely: something is going on inside me which is the sort of thing that goes on when I see a red rose [1], [3], [44], [51, pp. 98-100]. .
15. We may adopt the view, in short, that colours, sounds and other perceptual qualities are real, objective properties of things in the world around us, and we know about these qualities as a result, and only as a result, of perceiving these things. Objectivism about perceptual qualities, and externalism, are linked together, just as subjectivism about perceptual qualities, and internalism, are linked together [1], [3], [18. pp. 251-2], [44], [51, pp. 97-121] .
16. But can it really be the case that colours (and other perceptual qualities) are objective? In one sense of objective, yes, in another sense, no. If by objective we mean "really existing in the external world", then what the above arguments have shown is that we have every reason to believe colours are objective, and no reason to believe that they are not. But if by objective, we mean capable of being known about whatever your sense organs and brain may be like, then the answer must be no, colours are not objective. In order to see and know about colours, as we non-colour-blind humans perceive them, you must have the physiology of a non-colour-blind human being. Aliens, with brains so different from ours that brain processes that are colour experiences cannot occur in them, cannot know what red, blue, green, as experienced by us, are. In this second sense, colours are subjective, not objective. Colours are, I argue, objective in the first sense, subjective in the second sense. They exist out there in the world, but can only be known about by beings sufficiently like ourselves [1, 310-1], [44, pp. 56-7], [51, pp. 34-7 and 112-9] .
17. The transition from internalism to externalism has dramatic consequences for the mind/brain problem. Internalism implies that we directly "see" and know about our inner experiences. But these inner perceptual experiences - of red roses, green trees and blue skies - are clearly utterly different from all processes going on in the brain (firing of neurons, etc.). Internalism all but forces us to adopt some version of dualism which postulates mental entities or processes utterly distinct from neurological or physical processes going on in the brain. All this is changed profoundly the moment externalism is adopted. For, according to externalism, we simply do not ordinarily know enough about our inner experiences to exclude the possibility that these inner experiences are brain processes. Given the known intimate connections between inner experiences and brain processes, the obvious conjecture to adopt, once externalism is accepted, is that our inner experiences are brain processes - or "head processes" as they may be called, to adopt neutral terminology between the physical and the experiential [1], [3], [18, pp. 259-64], [51, pp. 97-103, 112-9] .
18. Head processes, it may be held, have two aspects: physical and experiential. The experiential aspect of a head process is what one learns about when a sufficiently similar head process occurs in one's own brain. This is what the experiential aspect of a head process is - this and no more [1], [3], [51, pp. 117-9] .
19. A complete physical description of a conscious brain would be entirely silent about consciousness, about the experiential aspects of the physical processes going on in the brain, for exactly the same reason as a complete physical description of a tree would be silent about the greenness of its leaves: experiential features of brain processes, and perceptual features of leaves, are entirely without interest to physics. No reference to them is needed for the predictive task of physics to proceed, and no reference can be made if physical theory is to be explanatory [1], [3], [18, pp. 261-4], [44], [51, ch. 5]. .
20. This is a version of the identity thesis. It requires that Kripke's (very weak) arguments concerning contingent identity with rigid designators are invalid [51, appendix 3 ] .
21. This two-aspect version of the identity thesis has dramatic consequences for the free will/physicalism problem. It means that mental processes, such as decisions to act, can play a crucial causal role in the production of the intended action because these mental processes are also physical processes occurring in the brain. The Cartesian nightmare as to how the mind can influence the brain disappears because the mind is the brain [51, pp. 141-2] .
22. Even though the experiential cannot be understood scientifically (for perfectly understandable reasons), it can be understood personalistically - a distinct kind of explanation and understanding as fundamental, in its own way, as scientific understanding. I understand another personalistically if I can, in imagination, see, feel, experience, desire, fear, believe what the other person sees, feels, etc. I must experience, in imagination, what the other person desires and fears, what he seeks, what he sees as his problems, and what actions he considers taking to solve these problems [18, pp. 174-189, 264-73], [51, pp. 103-112] .
23. Granted knowledge-inquiry, personalistic explanations do not qualify as genuine explanations; they reduce to "folk psychology" to be replaced by authentic explanations when psychology and neuroscience has advanced sufficiently to provide them. Granted the more rigorous wisdom-inquiry, however, personalistic explanations are intellectually fundamental, being associated with the intellectually fundamental tasks of articulating problems of living, and proposing and critically assessing possible solutions. [18, pp. 183-9], [51, pp. 109-110] .
24. Viewed from a scientific perspective, the experiential domain (consciousness, mental features of brain processes, perceptual qualities) seems utterly mysterious and inexplicable because it seems inherently beyond the scope of scientific explanation and understanding. This inherent apparent scientific inexplicability of consciousness and the experiential is, I claim, close to the nub of the mind/brain problem and, more generally, the HWPhU problem. The viewpoint sketched here - experiential physicalism - solves this part of the problem by (a) explaining why it is that science cannot explain the mental, the experiential (points 9 and 10 above), and (b) demonstrating that consciousness, the experiential, can be genuinely explained and understood by means of intellectually authentic personalistic explanation and understanding. That part of the experiential that we can ourselves experience is, potentially, fully intelligible and understandable personalistically to us. But point (b) only goes through if the arguments for wisdom-inquiry are valid. Granted knowledge-inquiry, personalistic explanation is merely folk psychology; its explanations are intellectually spurious and illusory. But grant wisdom-inquiry instead, and personalistic explanation becomes intellectually genuine, an authentic mode of explanation that cannot be eliminated or replaced. The experiential can indeed be genuinely understood by its means. Here is one way in which my proposed solution to the "wisdom-inquiry problem" has a major impact on my proposed solution to the mind/brain problem and the more general H WPhU problem [18, pp. 261-73], [51, chs. 5 and 7].
25. Personalistic understanding can be of intrinsic value; it makes possible friendship, intimacy and love; it enables us to become acquainted with what is of value in the lives of others. Unlike good scientific explanation, personalistic explanation does not provide reliable prediction, and is thus not a reliable tool for manipulating people. Instead, it is essential for cooperation [18, pp. 185-9], . [51, pp. 108-9,
26. Personalistic understanding is essential for science. In seeking to acquire personalistic understanding of another, we may have two rather different motives: we may want to understand the person, or we may want to improve our knowledge and understanding of the world, and we seek to discover what the other person believes about the world because we hope this will contribute to our own knowledge. Science is the outcome of a multitude of such acts of personalistic understandings between scientists, with the personal dimension largely suppressed. Communication by means of language, meaningful sentences, propositions, and thus theories too, presuppose and are an elaboration of personalistic understanding [18, pp. 188-9, 264-7], [51, pp. 110-111] .
27 . Grice showed that human communication involves multi-layered interactions and acts of mutual understanding. This can be understood as evolving, layer by layer, from elementary, one-layered, accidental animal communication [51, pp. 189-90] .
28 . A basic task for neuroscience is to discover what the neurological correlates of consciousness are - how, that is, personalistic and neurological (i.e. scientific) accounts of what goes on inside our beads are correlated. This task must appeal to both scientific and personalistic modes of explanation. The personalistic cannot be reduced to the neurological (i.e. the scientific) [51, ch. 8] .
29 . A basic first step is to locate consciousness in the brain - i.e. to identify neurological processes that are conscious processes (as opposed to neurological processes that support, that are necessary for but are not identical to, conscious processes). I conjecture that consciousness is to be identified with neurological processes occurring in the mid brain (the limbic system) together with whatever neurological processes happen to be in strong two-way interaction with the mid brain. This hypothesis - a modification of a hypothesis put forward by Penfield (1938, 1958, 19750) , McKay ((1966, 1987) and Crick (1984) , can do justice to the key function of animal consciousness: to guide the animal in its changing environment so that it acts in such ways conducive to survival and reproductive success. In the case of humans, the hypothesis can do justice both to the persistence, the continuity, of consciousness, and to its immense variability and variety of content, involving as it does perception, imagination, emotion, desire, thought, and volition - the initiation and control of action [51, ch. 8]. .
30 . Why are brain processes and sensations correlated in the way that they are? No one has been able to think of even a possible explanation. My proposal is this. Our sensations - of sight, sound, smell, touch - are isolated, widely separated, minute patches in a vast, smoothly varying, multidimensional space of all possible sensations. The points of this space can be put together in only one way so as to preserve experiential "smoothness", so that as one moves through the space, sensations vary smoothly, like a sound, of fixed timbre and loudness varying smoothly as the pitch is continuously varied. This smoothly varying space of all possible sensations can only be correlated with smoothly varying, functionally described brain processes in one way (so as to preserve smoothness in both experienced sensation and corresponding functionally described brain process. It is this unique matching which provides the explanation for the fact that the sensations we experience are correlated in the specific way that they are with corresponding neurological processes occurring in our brain. Any other correlations would violate the unique smoothness-preserving mapping from the space of all possible sensations to the space of all possible sensory brain processes [51, pp. 126-9], [77]. .
31 . Human beings (and other sentient animals) are intelligible simultaneously in two ways: personalistically and physically. I propose a compatibilist solution the free will/ physicalism problem, the nub of which claims that, for free will, we require that freedom-ascribing personalistic explanations of human actions are both true and compatible with physical explanations (counterfactuals implied by these two kinds of explanation all being true). That this kind of double comprehensibility exists is possible but almost miraculous. Compatibilism, in order to be acceptable, must provide an explanation for this apparent miracle [51, ch. 7] .
32 . In order to do this, a third kind of explanation needs to be invoked: purposive explanation. This is applicable to any goal-pursuing entity, whether sentient or not, and explains actions as being designed to realize goals of the entity in question in the given environment. It is applicable to all living things, to thermostats, guided missiles and robots. The atom of purposiveness is the feedback mechanism [18, pp. 268-9], [51, pp. 130-31] .
33. Darwinian theory needs to be interpreted in such a way that it helps explain how and why purposive life has evolved and proliferated (and should not be interpreted as explaining apparent purposiveness away). Darwin is an exemplary philosopher, in that he helps to solve a fundamental problem in an extraordinarily fruitful way. This was first sketched as "the generalized Darwinian research programme in [18, pp. 269-275], and elaborated in [51, ch. 7] . See also [18, pp. 174-81] and [19].
34 . Reinterpretation of Darwinian theory is required in order that the theory should help explain the existence, the evolution, of sentience and consciousness. This reinterpretation emphasizes that the mechanisms of evolution themselves evolve as evolution proceeds, gradually acquiring purposive and personalistic aspects, via unconscious animal breeding (offspring, sexual, and prey and predator selection), and cultural evolution (based on individual learning and imitation). I have proposed a number of key stages in the evolution of sentience and consciousness, from active and motivational control to the emergence of imagination, personalistic understanding and language [51, ch. 7] .
35 . Human evolution has created fundamental new problems of living: discovery of death; dramatic changes in environment and way of life; clash of control systems (conscious and long-term); science without wisdom [51, pp. 190-92] . See, too, [18, pp. 193-5].
36 . I defend the view that what is of value exists objectively as a part of the fabric of the human world, and rebut metaphysical, moral and epistemological objections to this thesis of value-realism. What is of value, I conjecture, is living life lovingly - or what comes into existence when we live life lovingly [18, ch. 10], [51, ch. 2].
37 . I put forward an argument for the reality of free will. First, wisdom, construed as the ca pacity to realize what is of value in life (for oneself and others) is a stronger notion than free will, in that it implies but is not implied by free will. Second, what poses a threat to the reality of wisdom or free will is the picture of the universe that emerges from modern natural science (physicalism). But if science, as construed by aim-oriented empiricism, is broadly correct, then we have achieved something of undeniable and great value: we have immensely enhanced our knowledge and understanding of the world. Thus, that which threatens to annihilate free will actually demonstrates its reality. Either modern science is broadly correct, in which case free will exists, or it is not, in which case the threat to free will disappears [18, pp. 273-4]. See, too, [51, ch. 6].
Connections Between the Two Problems
That there is a connection between the two problems is immediately obvious. The problem "What kind of inquiry can best help life of value to flourish in the physical universe?" hardly arises unless there is a solution to the problem "How is life of value possible in the physical universe?". But this connection is even tighter than one might at first suppose. Aim-oriented empiricism, it will be remembered, is the conception of science at the core of wisdom-inquiry; it is the first step of the second argument in support of wisdom-inquiry. But, according to aim-oriented empiricism, physicalism is a basic tenet of (conjectural) scientific knowledge. It is more secure, indeed, than any accepted physical theory, such as Newtonian theory, quantum theory or general relativity. For theories which clash with physicalism too severely are rejected, whatever their empirical success might be; and even accepted theories are held to be false, whatever their empirical success, because they clash with physicalism. (Science might, one day, reject physicalism, but this would constitute a major revolution comparable to the one that initiated modern science.)
Thus, the argument for wisdom-inquiry has the paradoxical consequence that, in establishing physicalism as a rather secure item of scientific knowledge, it calls into question the very possibility of there being life of value in the world at all. Clearly, a solution to the HWPhU problem is required if the argument for wisdom-inquiry is to have any coherence whatsoever. The solution I propose to the HWPhU problem, just indicated, makes viable the arguments I have sketched in support of wisdom-inquiry.
A second connection has to do with the problem of simplicity or unity, and the meaning of physicalism. A great success of aim-oriented empiricism (integral to wisdom-inquiry) is that it solves a long-standing problem in the philosophy of science which baffled even Einstein (1970, pp. 21-23): what does it mean to say of a theory that it is unified? My proposed solution leads one to distinguish eight different kinds of unity, which in turn correspond to eight different versions of physicalism. A flood of light is thrown on what physicalism can mean, and hence on what creates the HWPhU problem in the first place: see [41, chs. 3 and 4; 65, appendix, section 2; 81, ch. 14]
A third connection concerns personalistic explanation and "double comprehensibility". A basic feature of experiential physicalism (the solution I propose to the HWPhU problem) is that it holds that sentient beings things are comprehensible in two very different ways: physically, and personalistically. Granted knowledge-inquiry, however, personalistic explanation hardly qualifies as an intellectually legitimate mode of explanation in its own right. It amounts to little more than "folk psychology", to be replaced by something better when psychology advances. Reject knowledge-inquiry, and accept wisdom-inquiry in its place, and the situation is transformed: personalistic explanation becomes intellectually uneliminatable, and certainly not reducible to scientific explanation. Indeed, scientific explanations can only exist because scientists can acquire implicit personalistic understanding of each other. That wisdom-inquiry enormously enhances the intellectual status of personalistic explanation, in this way, enormously strengthens experiential physicalism, considered as a possible solution to the mind/brain problem, the HWPhU problem as I remarked in point 24 above), and enhances the force and plausibility of the proposed compatibilist solution to the free will/physicalism problem, which depends on personalistic explanation being an authentic mode of explanation in an essential way [51, ch. 6]..
One feature of experiential physicalism is value realism. This may be regarded as giving support to wisdom-inquiry, even though the latter does not depend on value realism.
Finally, wisdom-inquiry and experiential physicalism combine in strongly implying that aims are bound to be, at some point, profoundly problematic, the task of improving aims also being profoundly problematic. Granted physicalism, it is, in any case, little short of a miracle that there exists anything capable of pursuing aims at all, let alone sentient or conscious beings able to pursue aims of value. In considering, at a fundamental level, the nature of the problems that confront us in seeking to realize what is of value in life, we need to take into account the manner in which we, and all purposive things, have come to exist in the physical universe. We need, in short, to consider the implications of Darwinian theory, appropriately interpreted.
One immediate implication is that human learning is a development of animal learning. Just as animal leaning is, fundamentally, learning how to live (how to act in pursuit of survival and reproductive success), so too human learning is, fundamentally, learning how to live, how to act. This is, of course, central to wisdom-inquiry. One big difference is that, whereas animals have a given basic aim set by evolution, we humans do not. Our task is to transform the basic aim we have inherited from evolution - survival and reproductive success - into the realization of what is of value, which includes, but goes beyond, mere survival and reproduction. At once a number of points deserve to be made.
First, nothing in evolution equips us to transform the basic aim of survival and reproduction into the aim of realizing what is of value. Evolution designs things capable of pursuing survival and reproduction in an immense variety of ways, but leaves this basic aim fixed. This should alert us, immediately, to the likelihood that we will find it very difficult indeed to transform aims inherited from our evolutionary past into the aim of realizing what is of value. The machinery of aim-oriented rationality, designed specifically to help us do this, is likely to be urgently needed. As it is, aim-oriented rationality has yet to enter public consciousness, despite my thirty years' campaign on its behalf. Our plight is dire indeed. We have not yet appreciated just how fundamentally important and difficult it is progressively to improve our aims in life, personal, social, and institutional - and thus how vital to put in place intellectual/social structures designed to help us do this.
Second, taking into account our evolutionary past and manner of creation, it is all too likely that humanity will misconstrue and misrepresent what its aims are, in an all-pervasive fashion. Darwinian theory is a relatively recent discovery - when put into the context of human history and pre-history. The idea that Darwinian theory is relevant to thought about how we should live and tackle our problems of living is even more recent. Until very recently, in short, a Darwinian understanding of what our basic aims are in life has not been available to us. Aims have been interpreted and understood in all sorts of other terms, religious, cultural, social, personal. Misrepresentation of aims will have been endemic from the outset of the possibility of misrepresentation, with the beginnings of culture. All this massively reinforces the first point: the machinery of aim-oriented rationality is likely to be urgently needed to help us become more honest about what our aims really are, as a first step towards discovering how our aims can be improved.
Third, our psyches were designed to enable us to pursue survival and reproduction successfully while living in hunting and gathering groups of about 150 to 200 people. Change the conditions of life, and this same psyche may produce actions thoroughly deranged from the standpoint of survival and reproduction. But billions of people living in crowded cities today do indeed live in a world very different from that of hunting and gathering people. This in itself poses problems for the pursuit of survival and reproduction, let alone what is of value in life.
Fourth, and closely connected with this last point, culture makes it possible to interpret evolutionary aims in new, and sometimes newly disastrous, ways. Survival and reproduction, for example, given culture, may receive many diverse interpretations, many thoroughly deranged and leading to deranged pursuits. Thus, given religion, survival may be interpreted to be survival after death: the suicide terrorist may be driven, in part, by the urge to survive. Once again, an evolutionary perspective throws into sharp relief the fundamental importance of employing aim-oriented rationality to help us develop our aims in worthwhile directions.
Fifth, humanity, perhaps uniquely among living things, is confronted by the discovery of the inevitability of death. The pursuit of survival is, for each one of us, ultimately doomed. Much of our culture has sought to deny this grim truth. Given that the urge to survive is such a fundamental part of our makeup, the temptations to deny death, in all sorts of ways, will be immense. Once again we see just how important aim-oriented rationality must be. Death ensures that our life aims become, at some point, horribly problematic. We need aim-oriented rationality to help us solve these death-generated problems concerning our aims, insofar as they can be solved, and to help us avoid the temptations of denial and delusion.
Finally, humanity, again uniquely, seeks to plan consciously its way of life, a task for which consciousness was not designed by evolution. Consciousness in mammals, it is reasonable to hold, has the task of deciding, from moment to moment, or at intervals of minutes at the most, what is to be done. It does not plan the way of life. But human beings, as a result of the development of imagination, personalistic understanding and culture, can consciously act in a vastly expanded arena, taking in thousands of miles and decades into the future. This will, almost inevitably, lead to a clash between the system of hormones and so on which once controlled our way of life, and our conscious minds. Furthermore, consciousness will not have been equipped by evolution to take on the task of planning the way of life. Once again, aim-oriented rationality will be needed to help resolve conflicts that arise as a result of our evolutionary past.
In short, put human life into the context of experiential physicalism, and Darwinism appropriately interpreted, and it becomes abundantly clear that aim-oriented rationality and wisdom-inquiry need to be built, urgently, into our culture, into our human world. A human world which has had the good sense to take wisdom-inquiry seriously would have the capacity to improve aims as a part of life, and would thus be able to make progress towards a better world. A world without wisdom-inquiry will continue to blunder, I fear, from disaster to disaster, the disasters becoming more serious as our powers to cause havoc become greater and more widely distributed.
References
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Armstrong, D. (1978) A Theory of Universals, Cambridge University Press, Cambridge.
Armstrong, D. (1983) What is a Law of Nature?, Cambridge University Press, Cambridge.
Berlin , I. (1980) Concepts and Categories , Oxford University Press, Oxford.
Crick, F. (1984) 'Function of the thalamic reticular complex: The searchlight hypothesis', Proceedings of the NationalAcademy of Sciences USA 81, pp. 4586-4590.
Dretske, F. (1977) 'Laws of Nature', Philosophy of Science 44, pp. 248-68.
Einstein, A., (1970) 'Autobiographical Remarks', in P. A. Schilpp. (ed.) Albert Einstein: Philosopher-Scientist, Open Court , La Salle, Illinois, pp. 3-94.
Einstein, A. (1973) Ideas and Opinions, Souvenir Press, London (first published 1954).
Jackson , F. (1986) 'What Mary Didn't Know', Journal of Philosophy 3, pp. 291-95.
MacKay, D. M. (1966) 'Cerebral Organization and the Conscious Control of Action", in Eccles (1966), pp. 422-45 and 312-3.
MacKay, D. M. (1987) 'Divided Brains, Divided Minds?' in C. Blakemore and S. Greenfield (eds.) Mindwaves, Blackwell, Oxford, pp. 5-16.
Nagel, T. (1974) 'What Is It Like to Be a Bat?', The Philosophical Review 83, pp. 435-50.
Penfield, W. (1938) 'The cerebral cortex in man. 1. The cerebral cortex and consciousness', Arch. Neurol. andPsychiat. 40, pp. 417-442.
Penfield, W. (1958) The Excitable Cortex in Conscious Man, Liverpool University Press, Loverpool.
Penfield, W. (1975) The Mystery of the Mind, Princeton University Press, Princeton.
Penrose, R. (2004) The Road to Reality, Jonathan Cape, London.
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Popper, K.R. (1959) The Logic of Scientific Discovery, Hutchinson, London (first published 1934).
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Popper, K.R. (1969) The Open Society and its Enemies, Routledge & Kegan Paul, London (first published 1945).
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Tooley, M. (1977) 'The Nature of Law', Canadian Journal of Philosophy 7, pp. 667-98.
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Selected Publications of N. Maxwell
0. Physics and Common Sense: A Critique of Physicalism, MA thesis, Joule Library,
Manchester University, 1965.
1. Physics and Common Sense, British Journal for the Philosophy of Science 16, 1966,
pp. 295-311.
2. Can there be Necessary Connections between Successive Events?, British Journal for
the Philosophy of Science 19, 1968, pp. 1-25 (reprinted in The Justification of Induction, edited by R. Swinburne, Oxford University Press, London, 1974, pp. 149- 74.
3. Understanding Sensations, Australasian Journal of Philosophy 46, 1968, pp. 127-46
4. A Critique of Popper's Views of Scientific Method, Philosophy of Science 39, 1972,
pp. 131-52 (reprinted in Popper: Critical Assessments of Leading Philosophers, Vol. II, Part 3, edited by Anthony O'Hear, Routledge, London, pp. 463-87).
5. A New Look at the Quantum Mechanical Problem of Measurement, American Journal of Physics 40, 1972, pp. 1431-5.
6. Alpha Particle Emission and the Orthodox Interpretation of Quantum Mechanics, Physics Letters 43A, 1973, pp. 29-30.
7. The Problem of Measurement - Real or Imaginary?, American Journal of Physics 41, 1973, pp. 1022-5.
8. The Rationality of Scientific Discovery, Philosophy of Science 41, 1974, pp. 123-53 and 247-95..
9. Does the Minimal Statistical Interpretation of Quantum Mechanics Resolve the Measurement Problem?, Methodology and Science 8, 1975, pp. 84-101.
10. Towards a Micro Realistic Version of Quantum Mechanics, Foundations of Physics 6, 1976, pp. 275-92 and 661-76.
11. What's Wrong With Science? Towards a People's Rational Science of Delight and Compassion, 1976, Bran's Head Books, Frome, England.
12. Articulating the Aims of Science, Nature 265, 6 January, 1977, p. 2.
13. Induction, Simplicity and Scientific Progress, Scientia 114, 1979, pp. 629-53.
14. Science, Reason, Knowledge and Wisdom: A Critique of Specialism, Inquiry 23, pp. 19-81.
15. Instead of Particles and Fields: A Micro Realistic Quantum "Smearon" Theory, Foundations of Physics 12, 1982, pp. 607-31.
16. From Knowledge to Wisdom, The Ethical Record, Vol. 88, No. 1, January 1983, p. 10.
17. From Knowledge to Wisdom: Guiding Choices in Scientific Research, Bulletin of Science, Technology and Society 4, 1984, pp. 316-34.
18. From Knowledge to Wisdom: A Revolution in the Aims and Methods of Science, 1984, Basil Blackwell, Oxford.
19. Methodological Problems of Neuroscience, in Models of the Visual Cortex, 1985,
edited by D. Rose and V.G. Dobson, John Wiley and Sons, Chichester, pp. 11-21.
20. Are Probabilism and Special Relativity Incompatible?, Philosophy of Science 52, 1985, pp. 23-43.
21. The Fate of the Enlightenment: Reply to Kekes, Inquiry 29, 1986, pp. 79-82.
22. Wanted: a new way of thinking, New Scientist, 14 May 1987, p. 63.
23. Quantum Propensiton Theory: A Testable Resolution of the Wave/Particle Dilemma, British Journal for the Philosophy of Science 39, 1988, pp. 1-50.
24. Are Probabilism and Special Relativity Compatible?, Philosophy of Science 55, 1988,
pp. 640-5.
25. How Can We Build a Better World? In Einheit der Wissenschaften: Internationales Kolloquium der Akademie der Wissenschaften zu Berlin, 25-27 June 1990. J. Mittelstrass (editor). (Berlin and New York: Walter de Gruyter.) pp. 388-427
26. What Kind of Inquiry Can Best Help Us Create a Good World?, Science, Technology and Human Values 17, 1992, pp. 205-27.
27. What the Task of Creating Civilization has to Learn from the Success of Modern Science: Towards a New Enlightenment, Reflections on Higher Education 4, 1992, pp. 47-69.
28. Does Orthodox Quantum Theory Undermine, or Support, Scientific Realism?, The Philosophical Quarterly 43, 1993, pp. 139-57.
29. Can Academic Inquiry help Humanity become Civilized?, Philosophy Today 13, May 993, pp. 1-3.
30. Beyond Fapp: Three Approaches to Improving Orthodox Quantum Theory and An Experimental Test, in Bell's Theorem and the Foundations of Modern Physics, edited by A. van der Merwe, F. Selleri and G. Tarozzi, World Scientific, pp. 362-70.
31. Induction and Scientific Realism: Einstein versus van Fraassen, British Journal for the Philosophy of Science 44, 1993, pp. 61-79, 81-101 and 275-305.
32. Science for Civilization, The Ethical Record 98, 1993, pp. 12-17.
33. On Relativity Theory and Openness of the Future: A Reply, Philosophy of Science 60, 1993, pp. 341-8.
34. Towards a New Enlightenment: What the task of Creating Civilization has to learn from the Success of Modern Science, in Academic Community: Discourse or Discord?, edited by R. Barnett, Jessica Kingsley, pp. 86-105.
35. Particle Creation as the Quantum Condition for Probabilistic Events to Occur, Physics Letters A 187, 1994, pp. 351-5.
36. The Evolution of Consciousness, The Ethical Record, Vol. 100, No. 4, April 1995, pp. 16-19.
37. A Philosopher Struggles to Understand Quantum Theory: Particle Creation and Wavepacket Reduction, in Fundamental Problems in Quantum Physics, edited by M. Ferrero and A. van der Merwe, Kluwer Academic, pp. 205-14.
38. Are there Objective Values?, The Ethical Record, vol. 101, No. 4, April 1996.
39. Science and the environment: A new enlightenment, Science and Public Affairs, Spring 1997, pp. 50-56.
40. Must Science Make Cosmological Assumptions if it is to be Rational?, in The Philosophy of Science: Proceedings of the Irish Philosophical Society Spring
Conference, edited by T. Kelly, Irish Philosophical Society, Maynooth, 1997, pp. 98- 146.
41. The Comprehensibility of the Universe: A New Conception of Science, Oxford University Press, Oxford, 1998 (paperback edition, 2003).
42. Is the Universe Comprehensible?, The Ethical Record, vol. 192, No. 3, March 1998, pp. 3-6.
43. Has Science Established that the Universe is Comprehensible?, Cogito 13, 1999, pp. 139-145.
44. The Mind-Body Problem and Explanatory Dualism, Philosophy 75, 2000, pp. 49-71.
45. Can Humanity Learn to become Civilized? The Crisis of Science without Civilization, Journal of Applied Philosophy 17, 2000, pp. 29-44.
46. Observation, meaning and theory, Times Higher Education Supplement, no. 1,427, 17 March, p. 30.
47. A new conception of science, Physics World 13, No. 8, 2000, pp. 17-18.
48. Are There Objective Values?, The Dalhousie Review 79, No. 3, (Autumn 1999), pp. 301-17.
49. Weinert's Review of 'The Comprehensibility of the Universe', Philosophy 76, 2001, pp. 297-303.
50. Wisdom and curiosity? I remember them well, The Times Higher Education Supplement, No. 1,488, 25 May 2001, p. 14.
51. The Human World in the Physical Universe: Consciousness, Free Will and Evolution, Rowman and Littlefield, Lanham, Maryland, 2001.
52. Can Humanity Learn to Create a Better World? The Crisis of Science without Wisdom, in The Moral Universe, edited by Tom Bentley and Daniel Stedman Jones, Demos Collection 16, 2001, pp. 149-156.
53. Cutting God in Half, Philosophy Now 35, March/April 2002, pp. 22-5.
54. Science and meaning: why physics can coexist with consciousness, The Philosophers' Magazine 18, Spring 2002, pp. 15-16.
55. Is Science Neurotic? Metaphilosophy 33, no. 3, April 2002, pp. 259-299.
56. Karl Raimund Popper, in British Philosophers, 1800-2000, edited by P. Dematteis, P. Fosl and L. McHenry, Bruccoli Clark Layman, Columbia, 2002, pp. 176-94.
57. The Need for a Revolution in the Philosophy of Science, Journal for General Philosophy of Science 33, 2002, pp. 381-408.
58. Three Philosophical Problems about Consciousness, Ethical Record 107, No. 4, May
2002, pp. 3-11.
59. Two Great Problems of Learning, Teaching in Higher Education 8, January 2003, pp. 129-34.
60. Science, Knowledge, Wisdom and the Public Good, Scientists for Global Responsibility Newsletter 26, February 2003, pp. 7-9.
61. Art as Its Own Interpretation, in Interpretation and Its Objects: Studies in the Philosophy of Michael Krausz edited by Andreea Ruvoi, Rodopi, Amsterdam, pp. 269-83.
62. Do Philosophers Love Wisdom, The Philosophers' Magazine, Issue 22, 2nd quarter, 2003, pp. 22-24.
63. In Defence of Seeking Wisdom, Metaphilosophy 35, October 2004, pp. 733-743.
64. Does Probabilism Solve the Great Quantum Mystery?, Theoria vol. 19/3, no. 51, pp. 321-36.
65. Is Science Neurotic?, 2004, Imperial College Press, London.
66. Science versus Realization of Value, Not Determinism versus Choice, Journal of
Consciousness Studies vol. 12, no. 1, pp. 53-8.
67. A Revolution for Science and the Humanities: From Knowledge to Wisdom, Dialogue and Universalism, vol. XV, no. 1-2, 2005, pp. 29-57.
68. Popper, Kuhn, Lakatos and Aim-Oriented Empiricism, Philosophia 32, nos. 1-4, 2005, pp. 181-239.
69. Is Science Neurotic?, Philosophy Now, Issue 51, June/July 2005, pp. 30-3.
70. Science under Attack, The Philosopher's Magazine, Issue 31, 3rd Quarter 2005, pp. 37-41.
71. Philosophy Seminars for Five-Year-Olds, Learning for Democracy, Vol. 1, No. 2, 2005, pp. 71-77 (reprinted in Gifted Education International, Vol. 22, No. 2/3, pp. 122-7).
72. Special Relativity, Time, Probabilism and Ultimate Reality, in The Ontology of Spacetime, edited by D. Dieks, Elsevier, B. V., 2006, pp. 229-45.
73. Learning to Live a Life of Value, in Living a Life of Value, edited by J. Merchey, Values of the Wise Press, 2006, pp. 383-95.
74. Practical Certainty and Cosmological Conjectures, in Is there Certain Knowledge?, ed. Michael Rahnfeld, Leipziger Universitätsverlag, 2006.
75. The Enlightenment Programme and Karl Popper, in Karl Popper: A Centenary Assessment. Volume 1: Life and Times, Values in a World of Facts, ed. I. Jarview, K. Milford and D. Miller, chapter 11, Ashgate, London, 2006, pp. 177-90.
76. Knowledge to Wisdom: We Need a Revolution, Philosophia 34, 2006, pp. 377-8.
77. Three Problems about Consciousness and their Possible Resolution, PMS WIPS 005 Nov 15, 2006,
78. Can the World Learn Wisdom?, Solidarity, Sustainability, and Non-Violence, vol. 3, no. 4, April 2007.
79. A Priori Conjectural Knowledge in Physics, in New Perspectives on A Priori Knowledge and Naturalism, edited by Michael Shaffer and Michael Veber, Open Court, La Salle, Illinois, 2007.
80. Popper's Paradoxical Pursuit of Natural Philosophy, in Cambridge Companion to Popper, edited by Jeremy Shearmur and Geoffrey Stokes, Cambridge University Press, Cambridge, 2007.
81. From Knowledge to Wisdom: A Revolution for Science and the Humanities, Pentire Press, London, 2007 (second edition of [18]).
82. The Enlightenment, Popper and Einstein, in Knowledge and Wisdom: Advances in Multiple Criteria Decision Making and Human Systems Management, Y. Shi et al., eds., IOS Press, 2007, pp. 131-148.
83. From Knowledge to Wisdom: The Need for an Academic Revolution, London Review of Education, vol. 5, no. 2, 2007, pp. 97-115.
84. The Disastrous War against Terrorism: Violence versus Enlightenment, in Terrorism Issues, edited by Albert W. Merkidze, Nova Science Publishers, New York, 2007.
85. Do We Need a Scientific Revolution?, Journal for Biological Physics and Chemistry, vol. 8 no. 3, September 2008.
Notes
1. Some of the content of these papers did receive considerable attention as a result of subsequent publications by others: see Nagel (1974), Jackson (1986), Dretske (19770, Tooley (1977), Armstrong (1978, 1983). However, these subsequent publications missed the most important points that I was concerned to make. Dretske, Tooley, and Armstrong, in particular, fail to explain how laws can be both necessary and empirical, which is just what my account of 1968 [2] succeeded in doing. (The empirical content of an essentialistic theory lies in its existential claims; the laws are all necessary analytically, and hence not empirical.) [Back to Text]
2. Rules (1) and (2) may be regarded as encapsulating Popper's critical rationalism, arrived at by generalizing his falsificationist philosophy of science. Popper was too vehemently opposed to specialization to consider rules (3) and (4), which recognize the value of specialization and effectively deal with its dangers. [Back to Text]
3. Natural science has made such astonishing progress in improving knowledge and understanding of nature because it has put something like the hierarchical methodology, indicated here, into scientific practice. Officially, however, scientists continue to hold the standard empiricist view that no untestable metaphysical theses concerning the comprehensibility and knowability of the universe are accepted as a part of scientific knowledge. In [65, ch.2] I argue that science would be even more successful, in a number of ways, if scientists adopted and explicitly implemented the hierarchical methodology indicated here. [Back to Text]
4. There are a number of ways of highlighting the inherently problematic character of the aim of creating civilization. People have very different ideas as to what does constitute civilization. Most views about what constitutes Utopia, an ideally civilized society, have been unrealizable and profoundly undesirable. People's interests, values and ideals clash. Even values that, one may hold, ought to be a part of civilization may clash. Thus freedom and equality, even though inter-related, may nevertheless clash. It would be an odd notion of individual freedom which held that freedom was for some, and not for others; and yet if equality is pursued too singlemindedly this will undermine individual freedom, and will even undermine equality, in that a privileged class will be required to enforce equality on the rest, as in the old Soviet Union. A basic aim of legislation for civilization, we may well hold, ought to be increase freedom by restricting it: this brings out the inherently problematic, paradoxical character of the aim of achieving civilization. One thinker who has stressed the inherently problematic, contradictory character of the idea of civilization is Isaiah Berlin: see, for example, Berlin (1980, pp. 74-79). Berlin thought the problem could not be solved; I, on the contrary, hold that the hierarchical methodology indicated here provides us with the means to learn how to improve our solution to it in real life.
5. A recent, remarkable exception is Penrose (2004). [Back to Text]
6. I might add that the hierarchical conception of science indicated here does better justice to the scientific quest for understanding than does orthodox standard empiricist views: see [41, chs. 4 and 8] and [65, ch. 2]. [Back to Text]
7. This characterization of the aim of theoretical physics needs to be improved in various ways to take into account such things as probabilism, the non-existence of isolated systems, field theory, special and general relativity and quantum theory. I here ignore these complications, as they do not affect the basic point being made concerning the inherent incompleteness of even a complete physics. [Back to Text]
8. This is the argument, first spelled out by me in 1966 [1] and 1968 [3] which, wrenched out of context, received a great deal of subsequent attention as a result of subsequent publications of Nagel (1974) and Jackson (1986). Closely related theses of experiential physicalism have not, unfortunately, received a similar degree of attention. I still hope that, one day, philosophers might come to consider, not just this argument, but the thesis of, and arguments for, experiential physicalism as a whole.
From Knowledge to Wisdom: The Need for an Academic Revolution
Nicholas Maxwell
(Emeritus Reader at University College London)
(Published in R. Barnett and N. Maxwell, eds., Wisdom in the University, Routledge 2008. See also London Review of Education, 5, 2007, pp. 97-115.)
Things fall apart; the centre cannot hold;
Mere anarchy is loosed upon the world,
The blood-dimmed tide is loosed, and everywhere
The ceremony of innocence is drowned;
The best lack all conviction, while the worst
Are full of passionate intensity.
William Butler Yeats
Abstract
At present the basic intellectual aim of academic inquiry is to improve knowledge. Much of the structure, the whole character, of academic inquiry, in universities all over the world, is shaped by the adoption of this as the basic intellectual aim. But, judged from the standpoint of making a contribution to human welfare, academic inquiry of this type is damagingly irrational. Three of four of the most elementary rules of rational problem-solving are violated. A revolution in the aims and methods of academic inquiry is needed so that the basic aim becomes to promote wisdom, conceived of as the capacity to realize what is of value, for oneself and others, thus including knowledge and technological know-how, but much else besides. This urgently needed revolution would affect every branch and aspect of the academic enterprise.
1. Introduction
The world today is beset with problems. Most serious of all, perhaps, there is the impending problem of global warming. There is the problem of the progressive destruction of tropical rain forests and other natural habitats, with its concomitant devastating extinction of species. There is the problem of war, over 100 million people having died in countless wars in the 20th century (which compares unfavourably with the 12 million or so killed in wars during the 19th century). There is the arms trade, the massive stockpiling of armaments, even by poor countries, and the ever-present threat of their use by terrorists or in war, whether the arms be conventional, chemical, biological or nuclear. There is the sustained and profound injustice of immense differences of wealth across the globe, the industrially advanced first world of North America, Europe and elsewhere experiencing unprecedented wealth while something like three quarters of humanity live in conditions of poverty in the developing world, hungry, unemployed, without proper housing, health care, education, or even access to safe water. There is the long-standing problem of the rapid growth of the world's population, especially pronounced in the poorest parts of the world, and adversely affecting efforts at development. And there is the horror of the AIDS epidemic, again far more terrible in the poorest parts of the world, devastating millions of lives, destroying families, and crippling economies.
And, in addition to these stark global crises, there are problems of a more diffuse, intangible character, signs of a general cultural or spiritual malaise. There is the phenomenon of political apathy: the problems of humanity seem so immense, so remorseless, so utterly beyond human control, and each one of us, a mere individual, seems wholly impotent before the juggernaut of history. The new global economy can seem like a monster out of control, with human beings having to adapt their lives to its demands, rather than gaining support from it. There is the phenomenon of the trivialization of culture, as a result, perhaps, of technological innovation such as TV and the internet. Once, people created and participated in their own live music, theatre, art, poetry. Now this is pumped into our homes and into our ears by our technology, a mass-produced culture for mass consumption; we have become passive consumers, and the product becomes ever more trivial in content. And finally, there is the phenomenon of the rise of religious and political fanaticism and terrorism opposed, it can seem, either in a faint-hearted and self-doubting way, or brutally by war and the suspension of justice, apparently confirming Yeats's lines "The best lack all conviction, while the worst are full of passionate intensity".
2. From Knowledge to Wisdom
What can be done in response to global problems such as these? There are a multitude of things that can be done, and are being done, in varying degrees, with varying amounts of success. Here, I wish to concentrate on just one thing that could be done, which would go to the heart of the above global problems, and to the heart of our apparent current incapacity to respond adequately to these problems.
We need to bring about a wholesale, structural revolution in the aims and methods, the entire intellectual and institutional character of academic inquiry. At present academic inquiry is devoted to acquiring knowledge. The idea is to acquire knowledge, and then apply it to help solve social problems. This needs to change, so that the basic aim becomes to seek and promote wisdom - wisdom being understood to be the capacity to realize what is of value in life for oneself and others (and thus including knowledge, know-how and understanding). Instead of devoting itself primarily to solving problems of knowledge, academic inquiry needs to give intellectual priority to the task of discovering possible solutions to problems of living.
The social sciences need to become social philosophy, or social methodology, devoted to promoting more cooperatively rational solving of conflicts and problems of living in the world. Social inquiry, so pursued, would be intellectually more fundamental than natural science. The natural sciences need to recognize three domains of discussion: evidence, theories, and aims. Problems concerning research aims need to be discussed by both scientists and non-scientists alike, involving as they do questions concerning social priorities and values. Philosophy needs to become the sustained rational exploration of our most fundamental problems of understanding; it also needs to take up the task of discovering how we may improve our personal, institutional and global aims and methods in life, so that what is of value in life may be realized more successfully. Education needs to change so that problems of living become more fundamental than problems of knowledge, the basic aim of education being to learn how to acquire wisdom in life. Academic inquiry as a whole needs to become somewhat like a people's civil service, having just sufficient power to retain its independence and integrity, doing for people, openly, what civil services are supposed to do, in secret, for governments. These and many other changes, affecting every branch and aspect of academic inquiry, all result from replacing the aim to acquire knowledge by the aim to promote wisdom by cooperatively rational means. (see Maxwell, N., 1976, 1984, 2004)
3. The Crisis of Science without Wisdom
It may seem surprising that I should suggest that changing the aims and methods of academic inquiry would help us tackle the above global problems. It is, however, of decisive importance to appreciate that all the above global problems have arisen because of a massive increase in scientific knowledge and technology without a concomitant increase in global wisdom. Degradation of the environment due to industrialization and modern agriculture, global warming, the horrific number of people killed in war, the arms trade and the stockpiling of modern armaments, the immense differences in the wealth of populations across the globe, rapid population growth: all these have been made possible by the rapid growth of science and technology since the birth of modern science in the 17th century. Modern science and technology are even implicated in the rapid spread of AIDS in the last few decades. It is possible that, in Africa, AIDS has been spread in part by contaminated needles used in inoculation programmes; and globally, AIDS has spread so rapidly because of travel made possible by modern technology. And the more intangible global problems indicated above may also have come about, in part, as a result of the rapid growth of modern science and technology.
That the rapid growth of scientific knowledge and technological know-how should have these kinds of consequence is all but inevitable. Scientific and technological progress massively increase our power to act: in the absence of wisdom, this will have beneficial consequences, but will also have harmful ones, whether intended, as in war, or unforeseen and unintended (initially at least), as in environmental degradation. As long as we lacked modern science, lack of wisdom did not matter too much: our power to wreak havoc on the planet and each other was limited. Now that our power to act has been so massively enhanced by modern science and technology, global wisdom has become, not a luxury, but a necessity.
The crisis of our times, in short - the crisis behind all the others - is the crisis of science without wisdom. Having a kind of academic inquiry that is, by and large, restricted to acquiring knowledge can only serve to intensify this crisis. Changing the nature of science, and of academic inquiry more generally, is the key intellectual and institutional change that we need to make in order to come to grips with our global problems - above all, the global problem behind all the others, the crisis of ever-increasing technological power in the absence of wisdom. We urgently need a new kind of academic inquiry that gives intellectual priority to promoting the growth of global wisdom.
4. The Damaging Irrationality of Knowledge-Inquiry
There are those who simply blame scientific rationality for our problems. Scientific rationality needs to be restrained, it is argued, by intuition and tradition, by morality or religion, by socialism, or by insights acquired from the arts or humanities: (see Marcuse, 1964; Laing, 1965; Roszak, 1973; Berman, 1981; Schwartz, 1987; Feyerabend, 1978, 1987; Appleyard, 1992). But this kind of response profoundly misses the point. What we are suffering from is not too much reason, but not enough. Scientific rationality, so-called, is actually a species of damaging irrationality masquerading as rationality. Academic inquiry as it mostly exists at present, devoted to the growth of knowledge and technological know-how - knowledge-inquiry I shall call it (Maxwell, 1984, chapters 2 and 6) - is actually profoundly irrational when judged from the standpoint of contributing to human welfare. Judged from this all-important standpoint, knowledge-inquiry violates three of the four most elementary, uncontroversial rules of reason that one can conceive of (to be indicated in a moment). And that knowledge-inquiry is grossly irrational in this way has everything to do with its tendency to generate the kind of global problems considered above. Instead of false simulacra of reason, what we so urgently need is authentic reason devoted to the growth of wisdom.
Knowledge-inquiry demands that a sharp split be made between the social or humanitarian aims of inquiry and the intellectual aim. The intellectual aim is to acquire knowledge of truth, nothing being presupposed about the truth. Only those considerations may enter into the intellectual domain of inquiry relevant to the determination of truth - claims to knowledge, results of observation and experiment, arguments designed to establish truth or falsity. Feelings and desires, values, ideals, political and religious views, expressions of hopes and fears, cries of pain, articulation of problems of living: all these must be ruthlessly excluded from the intellectual domain of inquiry as having no relevance to the pursuit of knowledge - although of course inquiry can seek to develop factual knowledge about these things, within psychology, sociology or anthropology. Within natural science, an even more severe censorship system operates: an idea, in order to enter into the intellectual domain of science, must be an empirically testable claim to factual knowledge.
The basic idea of knowledge-inquiry, then, is this. First, knowledge is to be acquired; then it can be applied to help solve social problems. For this to work, authentic objective knowledge must be acquired. Almost paradoxically, human values and aspirations must be excluded from the intellectual domain of inquiry so that genuine factual knowledge is acquired and inquiry can be of genuine human value, and can be capable of helping us realize our human aspirations.[1]
This is the conception of inquiry which, I claim, violates reason in a wholesale, structural and damaging manner.
But what do I mean by "reason"? As I use the term here, rationality appeals to the idea that there are general methods, rules or strategies which, if put into practice, give us our best chance, other things being equal, of solving our problems, realizing our aims. Rationality is an aid to success, but does not guarantee success, and does not determine what needs to be done.
Four elementary rules of reason, alluded to above, are:
(1) Articulate and seek to improve the articulation of the basic problem(s) to be solved.
(2) Propose and critically assess alternative possible solutions.
(3) When necessary, break up the basic problem to be solved into a number of specialized problems - preliminary, simpler, analogous, subordinate problems - (to be tackled in accordance with rules (1) and (2)), in an attempt to work gradually toward a solution to the basic problem to be solved.
(4) Inter-connect attempts to solve the basic problem and specialized problems, so that basic problem solving may guide, and be guided by, specialized problem solving.
No enterprise which persistently violates (1) to (4) can be judged rational. If academic inquiry is to contribute to the aim of promoting human welfare, the quality of human life, by intellectual means, in a rational way, in a way that gives the best chances of success, then (1) to (4) must be built into the whole institutional/intellectual structure of academic inquiry.
In order to see that current academic inquiry, devoted primarily to the pursuit of knowledge, does indeed violate three of the above four rules of reason (when viewed from the standpoint of contributing to human welfare), two preliminary points need to be noted about the nature of the problems that academic inquiry ought to be trying to help solve.
First, granted that academic inquiry has, as its fundamental aim, to help promote human welfare by intellectual and educational means,[2] then the problems that inquiry fundamentally ought to try to help solve are problems of living, problems of action. From the standpoint of achieving what is of value in life, it is what we do, or refrain from doing, that ultimately matters. Even where new knowledge and technological know-how are relevant to the achievement of what is of value - as it is in medicine or agriculture, for example - it is always what this new knowledge or technological know-how enables us to do that matters. All the global problems discussed above require, for their resolution, not merely new knowledge, but rather new policies, new institutions, new ways of living. Scientific knowledge, and associated technological know-how have, if anything, as we have seen, contributed to the creation of these problems in the first place. Thus problems of living - problems of poverty, ill-health, injustice, deprivation - are solved by what we do, or refrain from doing; they are not solved by the mere provision of some item of knowledge (except when a problem of living is a problem of knowledge).
Second, in order to achieve what is of value in life more successfully than we do at present, we need to discover how to resolve conflicts and problems of living in more cooperatively rational ways than we do at present. There is a spectrum of ways in which conflicts can be resolved, from murder or all out war at the violent end of the spectrum, via enslavement, threat of murder or war, threats of a less extreme kind, manipulation, bargaining, voting, to cooperative rationality at the other end of the spectrum, those involved seeking, by rational means, to arrive at that course of action which does the best justice to the interests of all those involved. A basic task for a kind of academic inquiry that seeks to help promote human welfare must be to discover how conflict resolution can be moved away from the violent end of the spectrum towards the cooperatively rational end.
Granted all this, and granted that the above four rules of reason are put into practice then, at the most fundamental level, academic inquiry needs to:
(1) Articulate, and seek to improve the articulation of, personal, social and global problems of living that need to be solved if the quality of human life is to be enhanced (including those indicated above);
(2) Propose and critically assess alternative possible solutions - alternative possible actions, policies, political programmes, legislative proposals, ideologies, philosophies of life.
In addition, of course, academic inquiry must:
(3) Break up the basic problems of living into subordinate, specialized problems - in particular, specialized problems of knowledge and technology.
(4) Inter-connect basic and specialized problem solving.
Academic inquiry as it mostly exists at present can be regarded as putting (3) into practice to splendid effect. The intricate maze of specialized disciplines devoted to improving knowledge and technological know-how that go to make up current academic inquiry is the result. But, disastrously, what we have at present, academic inquiry devoted primarily to improving knowledge, fails to put (1), (2) and (4) into practice. In pursuing knowledge, academic inquiry may articulate problems of knowledge, and propose and critically assess possible solutions, possible claims to knowledge - factual theses, observational and experimental results, theories. But, as we have seen, problems of knowledge are not (in general) problems of living; and solutions to problems of knowledge are not (in general) solutions to problems of living. Insofar as academia does at present put (1) and (2) into practice, in departments of social science and policy studies, it does so only at the periphery, and not as its central, fundamental intellectual task.
In short, academic inquiry devoted primarily to the pursuit of knowledge, when construed as having the basic humanitarian aim of helping to enhance the quality of human life by intellectual means, fails to put the two most elementary rules of reason into practice (rules (1) and (2)). Academic inquiry fails to do (at a fundamental level) what it most needs to do, namely (1) articulate problems of living, and (2) propose and critically assess possible solutions. And furthermore, as a result of failing to explore the basic problems that need to be solved, academic inquiry cannot put the fourth rule of rational problem solving into practice either, namely (4) inter-connect basic and specialized problem solving. As I have remarked, three of the four most elementary rules of rational problem solving are violated. (For a more detailed development of this argument see Maxwell, 1980, 1984, 2004.)
This gross structural irrationality of contemporary academic inquiry, of knowledge-inquiry, is no mere formal matter. It has profoundly damaging consequences for humanity. As I have pointed out above, granted that our aim is to contribute to human welfare by intellectual means, the basic problems we need to discover how to solve are problems of living, problems of action, not problems of knowledge. In failing to give intellectual priority to problems of living, knowledge-inquiry fails to tackle what most needs to be tackled in order to contribute to human welfare. In devoting itself to acquiring knowledge in a way that is unrelated to sustained concern about what humanity's most urgent problems are, as a result of failing to put (1) and (2) into practice, and thus failing to put (4) into practice as well, the danger is that scientific and technological research will respond to the interests of the powerful and the wealthy, rather than to the interests of the poor, of those most in need. Scientists, officially seeking knowledge of truth per se, have no official grounds for objecting if those who fund research - governments and industry - decide that the truth to be sought will reflect their interests, rather than the interests of the world's poor. And priorities of scientific research, globally, do indeed reflect the interests of the first world, rather than those of the third world.[3]
Knowledge and technology successfully pursued in a way that is not rationally subordinated to the tackling of more fundamental problems of living, through the failure to put (1), (2) and (4) into practice, is bound to lead to the kind of global problems discussed above, problems that arise as a result of newly acquired powers to act being divorced from the ability to act wisely. The creation of our current global problems, and our inability to respond adequately to these problems, has much to do, in other words, with the long-standing, rarely noticed, structural irrationality of our institutions and traditions of learning, devoted as they are to acquiring knowledge dissociated from learning how to tackle our problems of living in more cooperatively rational ways. Knowledge-inquiry, because of its irrationality, is designed to intensify, not help solve, our current global problems.[4]
5. Wisdom-Inquiry
Inquiry devoted primarily to the pursuit of knowledge is, then, grossly and damagingly irrational when judged from the standpoint of contributing to human welfare by intellectual means. At once the question arises: What would a kind of inquiry be like that is devoted, in a genuinely rational way, to promoting human welfare by intellectual means? I shall call such a hypothetical kind of inquiry wisdom-inquiry, to stand in contrast to knowledge-inquiry.
As a first step at characterizing wisdom-inquiry, we may take knowledge-inquiry (at its best) and modify it just sufficiently to ensure that all four elementary rules of rational problem-solving, indicated above, are built into its intellectual and institutional structure: see Figure 1.
The primary change that needs to be made is to ensure that academic inquiry implements rules (1) and (2). It becomes the fundamental task of social inquiry and the humanities (1) to articulate, and seek to improve the articulation of, our problems of living, and (2) to propose and critically assess possible solutions, from the standpoint of their practicality and desirability. In particular, social inquiry has the task of discovering how conflicts may be resolved in less violent, more cooperatively
Figure 1: Wisdom-Inquiry Implementing Problem-Solving Rationality
(Please enlarge to view)
rational ways. It also has the task ofpromoting such tackling of problems of living in the social world beyond academe. Social inquiry is, thus, not primarily social science, nor, primarily, concerned to acquire knowledge of the social world; its primary task is to promote more cooperatively rational tackling of problems of living in the social world. Pursued in this way, social inquiry is intellectually more fundamental than the natural and technological sciences, which tackle subordinate problems of knowledge, understanding and technology, in accordance with rule (3). In Figure 1, implementation of rule (3) is represented by the specialized problem solving of the natural, technological and formal sciences, and more specialized aspects of social inquiry and the humanities. Rule (4) is represented by the two-way arrows linking fundamental and specialized problem solving, each influencing the other.
One can go further. According to this view, the thinking that we engage in as we live, in seeking to realize what is of value to us, is intellectually more fundamental than the whole of academic inquiry (which has, as its basic purpose, to help cooperatively rational thinking and problem solving in life to flourish). Academic thought emerges as a kind of specialization of personal and social thinking in life, the result of implementing rule (3); this means there needs to be a two-way interplay of ideas, arguments and experiences between the social world and academia, in accordance with rule (4). This is represented, in figure 1, by the two-way arrows linking academic inquiry and the social world.[5]
The natural and technological sciences need to recognize three domains of discussion: evidence, theory, and aims. Discussion of aims seeks to identify that highly problematic region of overlap between that which is discoverable, and that which it is of value to discover. Discussion of what it is of value to discover interacts with social inquiry, in accordance with rule (4).
It may be asked: but if academic inquiry today really does suffer from the wholesale structural irrationality just indicated, when and how did this come about? I turn now to a consideration of that question. The answer leads to an improved version of wisdom-inquiry, and to a new argument in support of my claim that wisdom-inquiry, potentially, is more rigorous and of greater human value, than knowledge-inquiry.
6. The Traditional Enlightenment
The irrationality of contemporary academic inquiry has its roots in blunders made by the philosophes of the 18th century Enlightenment.
A basic idea of the Enlightenment, perhaps the basic idea, was to try to learn from scientific progress how to go about making social progress towards an enlightened world. The philosophes, Voltaire, Diderot, Condorcet and others, did what they could to put this immensely important idea into practice, in their lives. They fought dictatorial power, superstition, and injustice with weapons no more lethal than those of argument and wit. They gave their support to the virtues of tolerance, openness to doubt, readiness to learn from criticism and from experience. Courageously and energetically they laboured to promote rationality in personal and social life (Gay, 1973).
Unfortunately, in developing the Enlightenment idea intellectually, the philosophes blundered. They thought the task was to develop the social sciences alongside the natural sciences. I shall call this the traditional Enlightenment Programme. It was developed throughout the 19th century, by Comte, Marx, Mill and others, and built into the institutional structure of universities during the 20th century, with the creation of departments of social science (see Aron, 1968, 1970; Farganis, 1993, Introduction; Hayek, 1979). Knowledge-inquiry, as we have it today, by and large, is the result, both natural science and social inquiry being devoted, in the first instance, to the pursuit of knowledge.
But, from the standpoint of creating a kind of inquiry designed to help humanity learn how to become civilized, all this amounts to a series of monumental blunders. These blunders are at the root of the damaging irrationality of current academic inquiry.
7. The New Enlightenment
In order to implement properly the basic Enlightenment idea of learning from scientific progress how to achieve social progress towards a civilized world, it is essential to get the following three steps right.
1. The progress-achieving methods of science need to be correctly identified.
2. These methods need to be correctly generalized so that they become fruitfully
applicable to any human endeavour, whatever the aims may be, and not just applicable
to the endeavour of improving knowledge.
3. The correctly generalized progress-achieving methods then need to be exploited
correctly in the great human endeavour of trying to make social progress towards an
enlightened, wise, civilized world.
Unfortunately, the philosophes of the Enlightenment got all three points wrong. And as a result these blunders, undetected and uncorrected, are built into the intellectual-institutional structure of academia as it exists today.[6]
First, the philosophes failed to capture correctly the progress-achieving methods of natural science. From D'Alembert in the 18th century to Popper in the 20th (Popper, 1963), the widely held view, amongst both scientists and philosophers, has been (and continues to be) that science proceeds by assessing theories impartially in the light of evidence, no permanent assumption being accepted by science about the universe independently of evidence. But this standard empiricist view is untenable. If taken literally, it would instantly bring science to a standstill. For, given any accepted theory of physics, T, Newtonian theory say, or quantum theory, endlessly many empirically more successful rivals can be concocted which agree with T about observed phenomena but disagree arbitrarily about some unobserved phenomena. Physics would be drowned in an ocean of such empirically more successful rival theories.
In practice, these rivals are excluded because they are disastrously disunified. Two considerations govern acceptance of theories in physics: empirical success and unity. But in persistently accepting unified theories, to the extent of rejecting disunified rivals that are just as, or even more, empirically successful, physics makes a big persistent assumption about the universe. The universe is such that all disunified theories are false. It has some kind of unified dynamic structure. It is physically comprehensible in the sense that explanations for phenomena exist to be discovered.
But this untestable (and thus metaphysical) assumption that the universe is comprehensible is profoundly problematic. Science is obliged to assume, but does not know, that the universe is comprehensible. Much less does it know that the universe is comprehensible in this or that way. A glance at the history of physics reveals that ideas have changed dramatically over time. In the 17th century there was the idea that the universe consists of corpuscles, minute billiard balls, which interact only by contact. This gave way to the idea that the universe consists of point-particles surrounded by rigid, spherically symmetrical fields of force, which in turn gave way to the idea that there is one unified self-interacting field, varying smoothly throughout space and time. Nowadays we have the idea that everything is made up of minute quantum strings embedded in ten or eleven dimensions of space-time. Some kind of assumption along these lines must be made but, given the historical record, and given that any such assumption concerns the ultimate nature of the universe, that of which we are most ignorant, it is only reasonable to conclude that it is almost bound to be false.
The way to overcome this fundamental dilemma inherent in the scientific enterprise is to construe physics as making a hierarchy of metaphysical assumptions concerning the comprehensibility and knowability of the universe, these assumptions asserting less and less as one goes up the hierarchy, and thus becoming more and more likely to be true: see figure 2. In this way a framework of relatively insubstantial, unproblematic, fixed assumptions and associated methods is created within which much more substantial and problematic assumptions and associated methods can be changed, and indeed improved, as scientific knowledge improves. Put another way, a framework of relatively unspecific, unproblematic, fixed aims and methods is created within which much more specific and problematic aims and methods evolve as scientific knowledge evolves. (A basic aim of science is to discover in what precise way the universe is comprehensible, this aim evolving as assumptions about comprehensibility evolve.) There is positive feedback between improving knowledge, and improving aims-and-methods, improving knowledge-about-how-to-improve-knowledge. This is the nub of scientific rationality,
the methodological key to the unprecedented success of science.[7] Science adapts its nature to what it discovers about the nature of the universe (see Maxwell, 1974, 1976, 1984, 1998, 2004, 2005).
So much for the first blunder of the traditional Enlightenment, and how to put it right.
Second, having failed to identify the methods of science correctly, the philosophes naturally failed to generalize these methods properly. They failed to appreciate that the idea of representing the problematic aims (and associated methods) of science in the form of a hierarchy can be generalized and applied fruitfully to other worthwhile enterprises besides science. Many other enterprises have problematic aims - problematic because aims conflict, and because what we seek may be unrealizable, undesirable, or both. Such enterprises, with problematic aims, would benefit from employing a hierarchical methodology, generalized from that of science, thus making it possible to improve aims and methods as the enterprise proceeds. There is the hope that, as a result of exploiting in life methods generalized from those employed with such success in science, some of the astonishing success of science might be exported into other worthwhile human endeavours, with problematic aims quite different from those of science.
Third, and most disastrously of all, the philosophes failed completely to try to apply such generalized, hierarchical progress-achieving methods to the immense, and profoundly problematic enterprise of making social progress towards an enlightened,
Figure 2: Hierarchical Conception of Science
wise world. The aim of such an enterprise is notoriously problematic. For all sorts of reasons, what constitutes a good world, an enlightened, wise or civilized world, attainable and genuinely desirable, must be inherently and permanently problematic.[8] Here, above all, it is essential to employ the generalized version of the hierarchical, progress-achieving methods of science, designed specifically to facilitate progress when basic aims are problematic: see Figure 3. It is just this that the philosophes failed to do. Instead of applying the hierarchical methodology to social life, the philosophes sought to apply a seriously defective conception of scientific method to social science, to the task of making progress towards, not a better world, but to better knowledge of social phenomena. And this ancient blunder is still built into the institutional and intellectual structure of academia today, inherent in the current character of social science (Maxwell, 1984, 2007, chapters 3, 6 and 7).
Properly implemented, in short, the Enlightenment idea of learning from scientific progress how to achieve social progress towards an enlightened world would involve developing social inquiry, not as social science, but as social methodology, or social philosophy. A basic task would be to get into personal and social life, and into other institutions besides that of science - into government, industry, agriculture, commerce, the media, law, education, international relations - hierarchical, progress-achieving methods (designed to improve problematic aims) arrived at by generalizing the methods of science. A basic task for academic inquiry as a whole would be to help humanity learn how to resolve its conflicts and problems of living in more just, cooperatively rational ways than at present. This task would be intellectually more fundamental than the scientific task of acquiring knowledge. Social inquiry would be intellectually more fundamental than physics. As I have already remarked, academia would be a kind of people's civil service, doing openly for the public what actual civil services are supposed to do in secret for governments. Academia would have just sufficient power (but no more) to retain its independence from government, industry, the press, public opinion, and other centres of power and influence in the social world. It would seek to learn from, educate, and argue with the great social world beyond, but would not dictate. Academic thought would be pursued as a specialized, subordinate part of what is really important and fundamental: the thinking that goes on, individually, socially and institutionally, in the social world, guiding individual, social and institutional actions and life. The fundamental intellectual and humanitarian aim of inquiry would be to help humanity acquire wisdom - wisdom being the capacity to realize (apprehend and create) what is of value in life, for oneself and others, wisdom thus including knowledge and technological know-how but much else besides.
One outcome of getting into social and institutional life the kind of aim-evolving, hierarchical methodology indicated above, generalized from science, is that it becomes possible for us to develop and assess rival philosophies of life as a part of social life, somewhat as theories are developed and assessed within science. Such a hierarchical methodology provides a framework within which competing views about what our aims and methods in life should be - competing religious, political and moral views - may be cooperatively assessed and tested against broadly agreed, unspecific aims (high up in the hierarchy of aims) and the experience of personal and social life. There is the possibility of cooperatively and progressively improving such philosophies of life (views about what is of value in life and how it is to be achieved) much as theories are cooperatively and progressively improved in science. In science, ideally, theories are critically assessed with respect to each other, with respect to metaphysical ideas concerning the comprehensibility of the universe, and with respect to experience (observational and experimental results). In a somewhat analogous way, diverse philosophies of life may be critically assessed with respect to each other, with respect to relatively uncontroversial, agreed ideas about aims and what is of value, and with respect to experience - what we do, achieve, fail to achieve, enjoy and suffer - the aim being to improve philosophies of life (and more specific philosophies of more specific enterprises within life such as government, education or art) so that they offer greater help with the realization of what is of value in life. This hierarchical methodology is especially relevant to the task of resolving conflicts about aims and ideals, as it helps disentangle agreement (high up in the hierarchy) and disagreement (more likely to be low down in the hierarchy).
Wisdom-inquiry, because of its greater rigour, has intellectual standards that are, in important respects, different from those of knowledge-inquiry. Whereas knowledge-inquiry demands that emotions and desires, values, human ideals and aspirations, philosophies of life be excluded from the intellectual domain of inquiry, wisdom-inquiry requires that they be included. In order to discover what is of value in life it is essential that we attend to our feelings and desires. But not everything we desire is desirable, and not everything that feels good is good. Feelings, desires and values need to be subjected to critical scrutiny. And of course feelings, desires and values must not be permitted to influence judgements of factual truth and falsity. Wisdom-inquiry embodies a synthesis of traditional rationalism and romanticism. It includes elements from both, and it improves on both. It incorporates romantic ideals of integrity, having to do with motivational and emotional honesty, honesty about desires and aims; and at the same time
it incorporates traditional rationalist ideals of integrity, having to do with respect for objective fact, knowledge, and valid argument. Traditional rationalism takes its inspiration from science and method; romanticism takes its inspiration from art, from imagination, and from passion. Wisdom-inquiry holds art to have a fundamental rational role in inquiry, in revealing what is of value, and unmasking false values; but science, too, is of fundamental importance. What we need, for wisdom, is an interplay of sceptical rationality and emotion, an interplay of mind and heart, so that we may develop mindful hearts and heartfelt minds. It is time we healed the great rift in our culture, so graphically depicted by Snow (1986).
All in all, if the Enlightenment revolution had been carried through properly, the three steps indicated above being correctly implemented, the outcome would have been a kind of academic inquiry very different from what we have at present, inquiry devoted primarily to the intellectual aim of acquiring knowledge.
8. Cultural Implications of Wisdom-Inquiry
Wisdom-inquiry does not just do better justice to the social or practical dimension of inquiry than knowledge-inquiry; it does better justice to the "intellectual" or "cultural" aspects as well.
From the standpoint of the intellectual or cultural aspect of inquiry, what really matters is the desire that people have to see, to know, to understand, the passionate curiosity that individuals have about aspects of the world, and the knowledge and understanding that people acquire and share as a result of actively following up their curiosity. An important task for
Figure 3: Hierarchical Social Methodology Generalized from Science
academic thought in universities is to encourage non-professional thought to flourish outside universities. As Einstein once remarked "Knowledge exists in two forms - lifeless, stored in books, and alive in the consciousness of men. The second form of existence is after all the essential one; the first, indispensable as it may be, occupies only an inferior position." (Einstein, 1973, p. 80).
Wisdom-inquiry is designed to promote all this in a number of ways. It does so as a result of holding thought, at its most fundamental, to be the personal thinking we engage in as we live. It does so by recognizing that acquiring knowledge and understanding involves articulating and solving personal problems that one encounters in seeking to know and understand. It does so by recognizing that passion, emotion and desire, have a rational role to play in inquiry, disinterested research being a myth. Again, as Einstein has put it "The most beautiful experience we can have is the mysterious. It is the fundamental emotion which stands at the cradle of true art and true science. Whoever does not know it and can no longer wonder, no longer marvel, is as good as dead, and his eyes are dimmed." (Einstein, 1973, p. 11).
Knowledge-inquiry, by contrast, all too often fails to nourish "the holy curiosity of inquiry" (Einstein, 1949, p. 17), and may even crush it out altogether. Knowledge-inquiry gives no rational role to emotion and desire; passionate curiosity, a sense of mystery, of wonder, have no place, officially, within the rational pursuit of knowledge. The intellectual domain becomes impersonal and split off from personal feelings and desires; it is difficult for "holy curiosity" to flourish in such circumstances. Knowledge-inquiry hardly encourages the view that inquiry at its most fundamental is the thinking that goes on as a part of life; on the contrary, it upholds the idea that fundamental research is highly esoteric, conducted by physicists in contexts remote from ordinary life. Even though the aim of inquiry may, officially, be human knowledge, the personal and social dimension of this is all too easily lost sight of, and progress in knowledge is conceived of in impersonal terms, stored lifelessly in books and journals. Rare is it for popular books on science to take seriously the task of exploring the fundamental problems of a science in as accessible, non-technical and intellectually responsible a way as possible.[9] Such work is not highly regarded by knowledge-inquiry, as it does not contribute to "expert knowledge". The failure of knowledge-inquiry to take seriously the highly problematic nature of the aims of inquiry leads to insensitivity as to what aims are being pursued, to a kind of institutional hypocrisy. Officially, knowledge is being sought "for its own sake", but actually the goal may be immortality, fame, the flourishing of one's career or research group, as the existence of bitter priority disputes in science indicates. Education suffers. Science students are taught a mass of established scientific knowledge, but may not be informed of the problems which gave rise to this knowledge, the problems which scientists grappled with in creating the knowledge. Even more rarely are students encouraged themselves to grapple with such problems. And rare, too, is it for students to be encouraged to articulate their own problems of understanding that must, inevitably arise in absorbing all this information, or to articulate their instinctive criticisms of the received body of knowledge. All this tends to reduce education to a kind of intellectual indoctrination, and serves to kill "holy curiosity".[10] Officially, courses in universities divide up into those that are vocational, like engineering, medicine and law, and those that are purely educational, like physics, philosophy or history. What is not noticed, again through insensitivity to problematic aims, is that the supposedly purely educational are actually vocational as well: the student is being trained to be an academic physicist, philosopher or historian, even though only a minute percentage of the students will go on to become academics. Real education, which must be open-ended, and without any pre-determined goal, rarely exists in universities, and yet few notice. (These considerations are developed further in Maxwell, 1976, 1984 and 2004.)
In order to enhance our understanding of persons as beings of value, potentially and actually, we need to understand them empathetically, by putting ourselves imaginatively into their shoes, and experiencing, in imagination, what they feel, think, desire, fear, plan, see, love and hate. For wisdom-inquiry, this kind of empathic understanding is rational and intellectually fundamental. Articulating problems of living, and proposing and assessing possible solutions is, we have seen, the fundamental intellectual activity of wisdom-inquiry. But it is just this that we need to do to acquire empathic understanding. Social inquiry, in tackling problems of living, is also promoting empathic understanding of people. Empathic understanding is essential to wisdom. Elsewhere I have argued, indeed, that empathic understanding plays an essential role in the evolution of consciousness. It is required for cooperative action, and even for science. (For a fuller exposition of such an account of empathic understanding see Maxwell, 1984, pp. 171-189 and chapter 10; and 2001, chapters 5-7 and 9).
Granted knowledge-inquiry, on the other hand, empathic understanding hardly satisfies basic requirements for being an intellectually legitimate kind of explanation and understanding (Maxwell, 1984, pp. 183-185). It has the status merely of "folk psychology", on a par with "folk physics".
9. Conclusion
Humanity is in deep trouble. We urgently need to learn how to make progress towards a wiser, more civilized world. This in turn requires that we possess traditions and institutions of learning rationally designed - well designed - to help us achieve this end. It is just this that we do not have at present. What we have instead is natural science and, more broadly, inquiry devoted to acquiring knowledge. Judged from the standpoint of helping us create a better world, knowledge-inquiry of this type is dangerously and damagingly irrational. We need to bring about a major intellectual and institutional revolution in the aims and methods of inquiry, from knowledge-inquiry to wisdom-inquiry. Almost every branch and aspect of academic inquiry needs to change.
A basic intellectual task of academic inquiry would be to articulate our problems of living (personal, social and global) and propose and critically assess possible solutions, possible actions. This would be the task of social inquiry and the humanities. Tackling problems of knowledge would be secondary. Social inquiry would be at the heart of the academic enterprise, intellectually more fundamental than natural science. On a rather more long-term basis, social inquiry would be concerned to help humanity build hierarchical methods of problem-solving into the fabric of social and political life so that we may gradually acquire the capacity to resolve our conflicts and problems of living in more cooperatively rational ways than at present. Natural science would change to include three domains of discussion: evidence, theory, and aims - the latter including discussion of metaphysics, values and politics. Academia would actively seek to educate the public by means of discussion and debate, and would not just study the public.
This revolution - intellectual, institutional and cultural - if it ever comes about, would be comparable in its long-term impact to that of the Renaissance, the scientific revolution, or the Enlightenment. The outcome would be traditions and institutions of learning rationally designed to help us acquire wisdom. There are a few scattered signs that this intellectual revolution, from knowledge to wisdom, is already under way. It will need, however, much wider cooperative support - from scientists, scholars, students, research councils, university administrators, vice chancellors, teachers, the media and the general public - if it is to become anything more than what it is at present, a fragmentary and often impotent movement of protest and opposition, often at odds with itself, exercising little influence on the main body of academic work. I can hardly imagine any more important work for anyone associated with academia than, in teaching, learning and research, to help promote this revolution.
Notes
[1] For a much more detailed exposition of knowledge-inquiry, or "the philosophy of knowledge", see Maxwell (1984, chapter 2). For evidence that knowledge-inquiry prevails in academia, see Maxwell (1984, chapter 6; 2000; 2007, chapter 6). I do not claim that everything in academia accords with the edicts of knowledge-inquiry. My claim is, rather, that this is the only candidate for rational inquiry in the public arena; it is the dominant view, exercising an all-pervasive influence over academe. Work that does not conform to its edicts has to struggle to survive.
[2] This assumption may be challenged. Does not academic inquiry seek knowledge for its own sake - it may be asked - whether it helps promote human welfare or not? Later on, I will argue that the conception of inquiry I am arguing for, wisdom-inquiry, does better justice than knowledge-inquiry to both aspects of inquiry, pure and applied. The basic aim of inquiry, according to wisdom-inquiry, is to help us realize what is of value in life, "realize" meaning both "apprehend" and "make real". "Realize" thus accommodates both aspects of inquiry, "pure" research or "knowledge pursued for its own sake" on the one hand, and technological or "mission-oriented" research on the other - both, ideally, seeking to contribute to what is of value in human life. Wisdom-inquiry, like sight, is there to help us find our way around. And like sight, wisdom-inquiry is of value to us in two ways: for its intrinsic value, and for practical purposes. The first is almost more precious than the second.
[3] Funds devoted, in the USA, UK and some other wealthy countries, to military research are especially disturbing: see Langley (2005) and Smith (2003).
[4] See Maxwell (1984, chapter 3) for a much more detailed discussion of the damaging social repercussions of knowledge-inquiry.
[5] This two-way interaction between science and society is emphasized by Nowotny et al. (2001).
[6] The blunders of the philosophes are not entirely undetected. Karl Popper, in his first four works, makes substantial improvements to the traditional Enlightenment programme (although Popper does not himself present his work in this fashion). Popper first improves traditional conceptions of the progress-achieving methods of science (Popper, 1959). This conception, falsificationism, is then generalized to become critical rationalism. This is then applied to social, political and philosophical problems (Popper, 1961, 1962, 1963). The version of the Enlightenment programme about to be outlined here can be regarded as a radical improvement of Popper's version: see Maxwell (2004, chapter 3).
[7] Natural science has made such astonishing progress in improving knowledge and understanding of nature because it has put something like the hierarchical methodology, indicated here, into scientific practice. Officially, however, scientists continue to hold the standard empiricist view that no untestable metaphysical theses concerning the comprehensibility and knowability of the universe are accepted as a part of scientific knowledge. As I have argued elsewhere (Maxwell, 2004, chapter 2), science would be even more successful, in a number of ways, if scientists adopted and explicitly implemented the hierarchical methodology indicated here.
[8] There are a number of ways of highlighting the inherently problematic character of the aim of creating civilization. People have very different ideas as to what does constitute civilization. Most views about what constitutes Utopia, an ideally civilized society, have been unrealizable and profoundly undesirable. People's interests, values and ideals clash. Even values that, one may hold, ought to be a part of civilization may clash. Thus freedom and equality, even though inter-related, may nevertheless clash. It would be an odd notion of individual freedom which held that freedom was for some, and not for others; and yet if equality is pursued too singlemindedly this will undermine individual freedom, and will even undermine equality, in that a privileged class will be required to enforce equality on the rest, as in the old Soviet Union. A basic aim of legislation for civilization, we may well hold, ought to be increase freedom by restricting it: this brings out the inherently problematic, paradoxical character of the aim of achieving civilization. One thinker who has stressed the inherently problematic, contradictory character of the idea of civilization is Isaiah Berlin; see, for example, Berlin (1980, pp. 74-79). Berlin thought the problem could not be solved; I, on the contrary, hold that the hierarchical methodology indicated here provides us with the means to learn how to improve our solution to it in real life.
[9] A recent, remarkable exception is Penrose (2004).
[10] I might add that the hierarchical conception of science indicated here does better justice to the scientific quest for understanding than does orthodox standard empiricist views: see Maxwell (1998, chapters 4 and 8; 2004, chapter 2).
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Do We Need a Scientific Revolution?
(Published in the Journal of Biological Physics and Chemistry, vol. 8, no. 3, September 2008)
Nicholas Maxwell
(Emeritus Reader in Philosophy of Science at University College London)
Abstract
Many see modern science as having serious defects, intellectual, social, moral. Few see this as having anything to do with the philosophy of science. I argue that many diverse ills of modern science are a consequence of the fact that the scientific community has long accepted, and sought to implement, a bad philosophy of science, which I call standard empiricism. This holds that the basic intellectual aim is truth, the basic method being impartial assessment of claims to knowledge with respect to evidence. Standard empiricism is, however, untenable. Furthermore, the attempt to put it into scientific practice has many damaging consequences for science. The scientific community urgently needs to bring about a revolution in both the conception of science, and science itself. It needs to be acknowledged that the actual aims of science make metaphysical, value and political assumptions and are, as a result, deeply problematic. Science needs to try to improve its aims and methods as it proceeds. Standard empiricism needs to be rejected, and the more rigorous philosophy of science of aim-oriented empiricism needs to be adopted and explicitly implemented in scientific practice instead. The outcome would be the emergence of a new kind of science, of greater value in both intellectual and humanitarian terms.
I
Science suffers, in many different ways, from a bad philosophy of science. This philosophy holds that the proper basic intellectual aim of science is to acquire knowledge of truth, the basic method being to assess claims to knowledge impartially with respect to evidence. Considerations of simplicity, unity or explanatory power may legitimately influence choice of theory, but not in such a way that nature herself, or the phenomena, are presupposed to be simple, unified or comprehensible. No permanent thesis about the world can be accepted as a part of scientific knowledge independent of evidence. Furthermore, values have no role to play within the intellectual domain of science. A basic humanitarian aim of science may be to help promote human welfare, but science seeks this by, in the first instance, pursuing the intellectual aim of acquiring knowledge in a way which is sharply dissociated from all consideration of human welfare and suffering.
This view, which I shall call standard empiricism (SE) is generally taken for granted by the scientific community. Scientists do what they can to ensure science conforms to the view. As a result, it exercises a widespread influence over science itself. It influences such things as the way aims and priorities of research are discussed and chosen, criteria for publication of scientific results, criteria for acceptance of results, the intellectual content of science, science education, the relationship between science and the public, science and other disciplines, even scientific careers, awards and prizes.[1]
II
SE is, however, untenable, as the following simple argument demonstrates. Physics only ever accepts theories that are (more or less) unified, even though endlessly many empirically more successful disunified rivals can always be concocted. Such a theory, T (Newtonian theory, quantum theory, general relativity or the standard model), almost always faces some empirical difficulties, and is thus, on the face of it, refuted (by phenomena A). There are phenomena, B, which come within the scope of the theory but which cannot be predicted because the equations of the theory cannot (as yet) be solved. And there are other phenomena (C) that fall outside the scope of the theory altogether. We can now artificially concoct a disunified, "patchwork quilt" rival, T*, which asserts that everything occurs as T predicts except for phenomena A, B and C: here T* asserts, in a grossly ad hoc way, that the phenomena occur in accordance with empirically established laws, LA, LB and LC.
Even though T* is more successful empirically than T, it and all analogous rival theories are, quite correctly, ignored by physics because they are all horribly disunified. They postulate different laws for different phenomena, and are just assumed to be false. But this means physics makes a big, implicit assumption about the universe: it is such that all such "patchwork quilt" theories are false. untenable.[2]2
If physicists only ever accepted theories that postulate atoms even though empirically more successful rival theories are available that postulate other entities such as fields, it would surely be quite clear: physicists implicitly assume that the universe is such that all theories that postulate entities other than atoms are false. Just the same holds in connection with unified theories. That physicists only ever accept unified theories even though empirically more successful rival theories are available that are disunified means that physics implicitly assumes that the universe is such that all disunified theories are false.
But SE holds that no permanent thesis about the world can be accepted as a part of scientific knowledge independent of evidence (let alone against the evidence). That physics does accept permanently (if implicitly) that there is some kind of underlying unity in nature thus suffices to refute SE. SE is, in short, untenable.[2] Physics makes a big implicit assumption about the nature of the universe, upheld independently of empirical considerations - even, in a certain sense, in violation of such considerations: the universe possesses some kind of underlying dynamic unity, to the extent at least that it is such that all disunified physical theories are false. This is a secure tenet of scientific knowledge, to the extent that empirically successful theories that clash with it are not even considered for acceptance.
III
This substantial, influential but implicit assumption is however highly problematic. What exactly does the assumption amount to? What basis can there be for accepting it as a part of scientific knowledge?
In order to answer the first question, it is necessary to know how to distinguish unified from disunified physical theories. This has long been a fundamental unsolved problem in the philosophy of science. It is a problem in part because any theory can be formulated in many different ways, some unified, some highly disunified. Even Einstein recognized the problem but confessed he did not know how to solve it.[3]
The key to solving the problem is to attend, not to the theory itself, but to what it asserts about the universe, to its content in other words. A physical theory is unified if what it asserts - the content of the dynamical laws it specifies - are precisely the same throughout the range of possible phenomena to which the theory applies. A theory that specifies N different sets of laws for N ranges of possible phenomena, the laws of any one region being different from the laws of all the other regions, is disunified to degree N. For unity we require N = 1. This way of assessing the degree of unity of a theory is unaffected by changes of formulation. As long as different formulations all have the same content, the degree of unity will remain the same.
There is now a refinement. Sets of laws can differ in different ways, to different extents, in more or less substantial ways. Laws may differ in regions of space and time; or in ranges of other variables such as mass or relative velocity. Or a theory may, like the so-called standard model (the quantum field theory of fundamental forces and particles) postulate two or more different forces, or two or more kinds of fundamental particles (with different charges, masses or other properties). Such a theory is disunified because in one range of possible phenomena to which the theory applies, one kind of force operates, or one kind of particle exists, and in another range a different force operates, or a different particle exists, there thus being different laws in different ranges of possible phenomena. In addition to degrees of disunity there are, in short, different kinds of disunity, some more severe than others, depending on how different sets of laws are in different regions of phenomena. Elsewhere I have argued that eight different kinds of disunity can be distinguished.[4]
The requirement that physics only accepts unified theories faces a further complication. In some cases, presented with a theory disunified to degree N = 3, let us say, we can restore unity of theory in an entirely artificial way by splitting the one disunified theory into three unified theories. In order to exclude this ruse, we need to formulate the requirement concerning unity in such a way that it applies to all fundamental dynamical theories (and to phenomenological laws when no theory exists). Physicists in effect demand of an acceptable new fundamental theory that it is such that it decreases both the kind (i.e. the severity) and the degree of the disunity of the totality of fundamental physical theory when it replaces predecessor theories or laws. A new theory must, in short, increase the unity of all fundamental physical theory, in addition to being sufficiently empirically successful, in order to be accepted as an addition to theoretical scientific knowledge. Seriously disunified theories are not considered, whatever their empirical success might be, because they do not enhance overall theoretical unity.
It is this persistent, implicit demand for increased theoretical unity that commits physics to a persistent, substantial assumption about the nature of the universe.
IV
But what should this assumption be? Should physics assume, boldly, that the universe is such that the yet-to-be-discovered true physical "theory of everything" is fully unified (in the sense explicated above)? Or should physics assume, more modestly, that the universe is such that the true theory of everything is at least more unified than the current totality of fundamental physical theory (new, empirically successful but disunified theories being rejected because they clash with this assumption)?
Some such assumption must be made if the empirical method of science is to work at all - since otherwise physics would be drowned in an ocean of empirically successful but grossly disunified theories, and scientific progress would come to an end. Whatever assumption is made, it is almost bound to be false. We do not know that the universe is unified. Even if it is, almost certainly it is not unified in the way current theoretical knowledge in physics suggests it is.
Contradictory considerations govern choice of assumption. The more specific and substantial we make the assumption, the greater the help we will receive with developing new physical theories - as long as the assumption is correct. On the other hand, the more specific and substantial the assumption is, the greater the chance, other things being equal, that it is false.
In order to resolve this dilemma, and give ourselves the best chances of learning, making progress, eliminating error, and improving our ideas, we need to see science as making, not one assumption, but a hierarchy of assumptions, these assumptions becoming less and less specific and substantial as one goes up the hierarchy, and thus more and more likely to be true, and more nearly such that their truth is required for science, or the pursuit of knowledge, to be possible at all: see figure 1. At the top there is the thesis that the universe is such that we can acquire some knowledge of our local circumstances. This is not an assumption we need ever reject since, if it is false, we cannot acquire knowledge whatever we assume. As we descend the hierarchy, assumptions become increasingly substantial, increasingly likely to be false and in need of revision. At level 5 there is the thesis that the universe is comprehensible in some way or other, there being some one kind of explanation for everything that occurs. At level 4 there is the thesis that the universe is physically comprehensible - it being such, in other words, that the true theory of everything is unified. (To say that a physical theory is unified is equivalent to saying that it is explanatory and, if it is a theory of everything, that the universe it depicts is physically comprehensible.) At level 3 there is the thesis that the universe is physically comprehensible in some more or less specific way. Ideas, here, have changed dramatically over the centuries. Once there was the idea that everything is made up of corpuscles that interact by contact; then the idea that everything is made up of point-particles that interact by means of a force at a distance; then the idea that there is a unified field; nowadays there is the idea that everything is made up of quantum strings. At level 2 there is current accepted fundamental physical theory, at present the standard model and general relativity, and at level 1 there is the mass of established empirical data.
Associated with each thesis there is a methodological rule (represented by dotted lines in the diagram) which asserts: accept that thesis one down in the hierarchy which, as far as possible (a) is compatible with the thesis above and (b) best accords with, and best promotes, empirically successful theories at level 2.
The thesis at level 7 is almost certainly true, the currently accepted thesis at level 3 almost certainly false. As we descend the hierarchy, we move at some point from truth to falsity. The whole idea of the hierarchy is to concentrate criticism and revision where it is most likely to be needed, low down in the hierarchy. A framework of relatively stable, unproblematic assumptions and associated methods is created (high up in the hierarchy) within which much
Figure 1: Aim-Oriented Empiricism
(Please enlarge to view)
more specific, problematic assumptions and associated methods (low down in the hierarchy) can be critically assessed, revised and developed so as to give maximum help with the task of improving theoretical and empirical knowledge at levels 2 and 1. In short, according to this view, as we improve our empirical knowledge, we improve assumptions and associated methods at levels 3, and perhaps 4: we improve our knowledge-about-how-to-improve knowledge. There can be something like positive feedback between improving knowledge, and improving knowledge-about-how-to-improve-knowledge. Science adapts its nature to what it finds out about the universe.
Another way of putting the matter is to say that the basic intellectual aim of science is not truth per se (as standard empiricism holds) but rather truth presupposed to be explanatory - explanatory truth, in other words. Because this aim is profoundly problematic, it is important that it is represented in the form of a hierarchy of aims and associated methods - metaphysical assumptions implicit in these aims becoming increasingly insubstantial as one ascends the hierarchy, and thus increasingly likely to be true - a framework of relatively unproblematic aims and methods thus being created within which more specific and problematic aims and methods can be critically assessed and improved, as science proceeds. This way of putting the matter is important because it makes it possible to generalize scientific methodology, so conceived, so that it becomes fruitfully applicable to worthwhile human endeavours with problematic aims other than science, a point I will take up below.
Natural science puts something close to this hierarchical view into practice, but in a way that is constrained and handicapped by general allegiance to standard empiricism (SE), and it is this which damages science in a variety of ways, as we shall now see.
V
How then does general acceptance and attempted implementation of SE damage science? How would acceptance and explicit implementation instead of the hierarchical view I have just outlined, which elsewhere I have called "aim-oriented empiricism" (AOE),[5] benefit science? Here are eight ways in which the move from SE to AOE would be beneficial.
1. AOE provides a more rigorous conception of science. An elementary requirement for rigour is that assumptions that are substantial, influential, problematic and implicit need to be made explicit so that they can be criticized, alternatives formulated and considered, in the hope of eliminating error and improving such assumptions. SE fails this requirement for rigour in failing to acknowledge the substantial, influential and problematic metaphysical (i.e. untestable) assumption that - at the very least - the universe is such that all disunified theories are false. AOE, by contrast, not only acknowledges such an assumption but, in addition, provides a framework within which what is most problematic can be subjected to severe, sustained criticism and attempted improvement, so as to help promote scientific progress. The hierarchy of assumptions of AOE might almost be construed as the outcome of repeated applications of the above requirement of rigour.
A sign of the greater rigour of AOE over SE is provided by the fact that three fundamental problems in the philosophy of science, which cannot be solved granted SE, are solved within the framework of AOE. These are (1) the problem of what it means to say of a physical theory that it is unified (discussed above in section III), (2) the problem of what it can mean to hold that science makes progress if it proceeds from one false theory to another (the problem of verisimilitude) and, most serious of all, (3) the problem of induction. Elsewhere I have shown that these problems, unsolvable granted SE, can be solved within the framework of AOE.[6]
2. The greater rigour of AOE is no mere formal matter. It makes explicit the "positive feedback" feature of scientific method - the way in which methods for improving knowledge can themselves be improved, as science progresses, within a framework of persisting assumptions and meta-methods. Every scientist would agree that "positive feedback" of this type is an essential feature of scientific method at the empirical level. New knowledge leads to the development of new instruments, new experimental tools and techniques, which in turn may massively accelerate the acquisition of new knowledge. That something similar can go on at the theoretical level has not been properly acknowledged or understood, because of general acceptance of SE. For, whereas AOE stresses that methods (associated with lower level assumptions) improve as science progresses, SE specifies a fixed aim and fixed methods. Assumptions and associated methods of science have improved over the centuries (or we would still be stuck with pre-Galilean, Aristotelian science), but it has come about in an implicit, almost furtive fashion, retarded by general allegiance to SE.[7]
3. In stressing the vital, "positive feedback" interplay between methods and theories, AOE does far better justice to scientific practice than does SE. This aspect of AOE physics is especially apparent in Einstein's development of special and general relativity, and in the role of symmetry principles in modern physics.[8] Special relativity is a physical theory; it is a thesis about the nature of space and time (space-time is Minkowskian); and it is a methodological principle (an acceptable physical theory must be Lorentz invariant). AOE holds that methodological principles of this type may need to be revised or rejected - and just this happened, of course with the advent of general relativity (which asserts that space-time, in the presence of mass or energy, is curved and not flat). The principle of equivalence, associated with general relativity, has a status and role somewhat similar to that of Lorentz invariance of special relativity - as do gauge invariance and supersymmetry, associated with the standard model and string theory respectively.
4. So far AOE has been discussed as if relevant only to theoretical physics. But other branches of natural science have problematic aims too - in that aims make problematic assumptions about the world (assumptions usually taken from some more fundamental science). This is true, for example, of cosmology, chemistry, molecular biology, geology, ethology, neuroscience. Here too, in accordance with the basic idea of AOE, problematic aims need to be represented in the form of a hierarchy, aims becoming less problematic as one goes up the hierarchy, a framework of relatively unproblematic aims and methods being created in this way within which much more specific and problematic aims and associated methods may be criticized, alternatives being developed and assessed. The hierarchical, meta-methodological structure of AOE is relevant to all of natural science, and to all specialized disciplines within natural science, and not just to theoretical physics. SE, with its fixed aim for science, and its fixed methods, fails to do justice to any of this.[9]
5. In moving from SE to AOE there is a profound enhancement in the scope of scientific knowledge and understanding. Granted SE, scientific knowledge consists of (1) empirical results, and (2) accepted laws and theories. By contrast, granted AOE, scientific knowledge consists, in addition to (1) and (2), the level 4 thesis that (3) the universe is physically comprehensible (i.e. is such that the true theory of everything is unified) - a thesis I shall call physicalism.
Granted SE, physicalism cannot be a part of scientific knowledge because, being metaphysical, it can be neither verified nor falsified empirically, and most certainly has not predicted empirical phenomena, and thus achieved empirical success (which is what a theory must do, according to SE, if it is to become a part of scientific knowledge). Granted AOE, however, physicalism emerges as an especially secure part of theoretical scientific knowledge since all physical theories that clash with it too severely are rejected, or not even considered, however empirically successful they might be if considered.
All scientific knowledge is conjectural in character, as Karl Popper tirelessly argued.[10] This applies to physicalism too, of course. For all we can know for certain, physicalism may be false - as may be our best current theories of physics, the standard model and general relativity. (Physicalism implies, indeed, that these theories are false.) What arguments in support of AOE reveal, however, is that physicalism is a more secure part of (conjectural) theoretical scientific knowledge than our best current theories - and is certainly as much a part of current knowledge as these theories.[11]
According to AOE, then, and in sharp contrast to SE, science already provides us with (conjectural) knowledge about the ultimate nature of the universe: it is physically comprehensible. Some kind of physical entity, some sort of field, exists everywhere, unchanging, and determines (perhaps probabilistically) the way everything that changes does change.
This represents, not just an enormous increase in the scope, the content, of scientific knowledge; it is an increase that is of profound significance for humanity. Physicalism threatens the value of human life. If it is true, how can there be free will? How can there be consciousness? What becomes of everything that physicalism seems to leave out, the whole world of human experience, meaning and value? The transition from SE to AOE serves to highlight just how fundamental and intellectually urgent these problems are (in that they are engendered by scientific knowledge, and not merely by speculative metaphysics).[12]
6. AOE places far greater emphasis on the importance of the search for explanation and understanding in science than does SE. For a new theory to be accepted, granted SE, what really matters is that the theory is empirically successful. Considerations of simplicity, unity, explanatory character, may play a role as well, but as SE fails to explicate clearly what these non-empirical considerations are, and why they should be relevant, their influence is not nearly as important as empirical considerations. The move to AOE changes this situation dramatically. What the demand for unity means becomes quite clear. Why it is a legitimate, rational demand is also clear. And this demand for unity is so central to science that it persistently over-rides empirical considerations, as we have seen. This happens all the time in scientific practice, in defiance of SE, when empirically successful, disunified theories are ignored. And AOE provides a rationale for permitting unity or explanatoriness to over-ride empirical considerations. The quest to explain and understand becomes central to science, granted AOE, in a way which is not the case, granted SE.
That AOE does far better justice to the search for explanation and understanding in science than SE is strikingly borne out by the case of orthodox quantum theory (OQT). Those who developed OQT (Heisenberg, Bohr, Born and others) despaired of solving the quantum wave/particle dilemma (required for understanding) and, as a result, developed OQT, not as a theory about quantum systems per se, but rather as a theory about the results of performing measurements on such systems. The extraordinary empirical success of OQT led to its general acceptance, even though it fails to provide real explanation and understanding of quantum phenomena.
Viewed from the perspective of AOE, all this looks very different. Because OQT is a theory about the results of performing measurements on quantum systems (and not a theory about quantum systems per se), OQT is composed of a quantum part, and some part of classical physics for a treatment of measurement. OQT is, in other words, unacceptably disunified (being made of incompatible components). If AOE had been generally accepted when OQT was being developed, OQT might have been tolerated as an empirically successful theoretical scheme, but it would not have been regarded as an acceptable theory, precisely because of its gross disunity, its failure to provide explanation and understanding of the quantum domain. It is no accident, incidentally, that Einstein vehemently opposed OQT; he held a view close to AOE.
General acceptance of AOE in the 1920s would have led to recognition of the scientific importance of curing the unity defects of OQT, and developing a more acceptable version of quantum theory. As a result, we might today have such a version of the theory - something we still do not have, eighty years later! Here is a graphic example of the way acceptance of SE can damage the content of science.[13]
7. Granted SE, there is no such thing as a rational method for the discovery of fundamental new theories. The only guidelines available are existing theories, but new theories almost invariably contradict predecessor theories. By contrast, AOE does provide science with a rational method of discovery - even though fallible and non-mechanical. In order to develop new fundamental physical theories (the hardest kind of case to consider), physicists need to resolve clashes between existing fundamental theories, and between these theories and metaphysical ideas at levels 3, and 4. Something like this method was employed by Einstein in discovering special and general relativity, and somewhat similar methods were employed by Yang, Mills, Weinberg, Salam, Gell-Mann and others in discovering elements of the standard model.[14] As I have already remarked, science puts something like AOE into practice, but in an awkward, furtive, retarded way, handicapped by allegiance to SE.
8. The transition from SE to AOE would have fruitful implications for science education, and for public understanding and appreciation of science. The intellectual content of science, shaped by allegiance to SE, consists of theory and evidence. Metaphysics, philosophy, epistemology, questions about the meaning and value of human life must all be ruthlessly excluded from science, according to SE, to preserve its rationality, its intellectual integrity. The intellectual content of science, understood in this SE way, tends to be technical, esoteric, unintelligible and unappealing to many pupils, students and members of the public. There is the danger that science is reduced to being merely the highly technical enterprise of predicting more and more phenomena more and more accurately.
Science would be very different if shaped by allegiance to AOE. The metaphysical thesis of physicalism would be acknowledged to be a central, fundamental tenet of scientific knowledge. This is a thesis everyone can understand, unlike scientific theories like the standard model or general relativity. Methodological, epistemological and philosophical questions would be acknowledged to be an integral part of AOE science. Science becomes much more like natural philosophy, what it was for Galileo and his successors, before it became malformed by SE. The quest to understand becomes much more important, as we have seen. Science education (whether involving children, students or members of the public) would need to include discussion of ultimate scientific/ philosophical questions that we can all understand and appreciate. What kind of universe is this? Does science really tell us that physicalism is true? If it is true, what becomes of consciousness, free will, the meaning and value of human life? Instead of being primarily the technical, esoteric, unintelligible affair engendered by SE, AOE science becomes a dramatic, exhilarating and even alarming quest and adventure, "the greatest spiritual adventure of mankind" as Popper has called it, open to all, intelligible at the most fundamental level to all. Science would become again what it should be, somewhat like music, technical and professional in some respects but fundamentally open for all to enjoy and participate in, a vital part of culture and not something shielded from it.[15]
VI
In the next two sections I discuss two generalizations of AOE. The first, discussed in this section, has to do with AOE applied to science. The second, discussed in the next section, has to do with AOE applied to all worthwhile endeavours with problematic aims other than science.
So far I have argued that the basic aim of science is not truth per se, but rather explanatory truth. But this latter is a part of a more general aim of science of seeking valuable truth - of value either because of its intrinsic or intellectual value (of value because it enables us to explain and understand or because of its inherent interest), or because it enables us to achieve other goals of value - health, communications, travel, prosperity, etc. - by means of technology, or in other ways.
In order for a result to be accepted for publication in a scientific journal, let alone accepted as a part of scientific knowledge, it is not enough that the result be new and sufficiently well established. It must, in addition, be judged to be of sufficient interest, significance or importance. Values, of one kind or another, thus play a decisive role in deciding what enters, and what is excluded from, the body of scientific knowledge. A science which accumulated a vast store of knowledge about facts all irredeemably trivial and useless would not be judged to be making splendid progress; it would, quite correctly, be held to be stagnant and decadent. It is desirable that science should seek valuable truth. And that values, of one kind or another, should influence the aims of research is inevitable. Infinitely many facts about the world are all around us, awaiting potential scientific investigation: inevitably decisions about what is important will influence what is, and what is not, studied.
Values influence the aims and content of science in a way quite different from the influence of metaphysical assumptions, discussed above in sections II to IV. Values do not, or ought not to, influence decisions about truth and falsity; rather, inevitably and quite properly, as I have said, they influence decisions about whether a result is sufficiently significant to enter the body of scientific knowledge, or even be published.
If metaphysical assumptions implicit in the aim of seeking explanatory truth are problematic, then it must be said that value assumptions, inherent in the aim of seeking valuable truth are, if anything, even more problematic. Of value to whom? When? In what way? How is one to decide between the very different values of science pursued for its own sake - for example, for the sake of explanation and understanding - and science pursued for the sake of achieving other aims of value - health, prosperity, etc.?
The argument here is exactly the same as before. If science is to stand any chance of pursuing aims that are both scientifically achievable and of value to achieve it is vital that possible and actual, highly problematic, aims be explicitly articulated as an integral part of science, so that they can be criticized, alternatives being developed and considered. Conjectures about (1) what is scientifically discoverable, and (2) what it would be of value to discover, need to be articulated and scrutinized in an attempt to discovery that highly problematic region of overlap of (1) and (2), the scientifically discoverable that is genuinely of value. Such conjectures concerning actual and possible aims need to be discussed in journals and forums open to scientists and non-scientists alike.
All this is encouraged by the generalized version of AOE which recognizes that a basic aim of science is valuable truth. SE, however, holds that the aim of science is truth as such, and denies that values have any role to play within the intellectual domain of science. Instead of recognizing the vital need to have three domains of scientific discussion, (1) evidence, (2) theory, and (3) aims, SE recognizes only the first two. And as a result of the profound influence that SE has long exercised over science, institutional means for the sustained imaginative and critical discussion of research aims and priorities have not been developed. Such matters are decided by grant giving bodies, committees, individual scientists, leaders of research groups.[16]
The outcome that one would expect of this SE failure to promote sustained discussion of problematic aims is that the priorities of research come to reflect, not the noblest and best interests of humanity - such as help for the poor and those who suffer, the search for understanding - but rather the interests of those who pay for science, the wealthy and powerful, and the interests of scientists themselves, including such non-intellectual matters as careers and status.
Such is indeed the case. Much scientific and technological research is devoted to the interests of wealthy countries and not to the interests of the billion or so who live in abject poverty. Medical research is devoted primarily to the diseases of the wealthy, not the poor. And there is the scandal of military research. In the UK, 30% of the budget for research and development is spent on the military. In the USA it is 50%.[17] In our world, fraught with gross inequalities, injustices, conflict and war, one may well wonder whether this expenditure is in the best interests of humanity. Striking, too, is the general silence about the matter, the failure of the scientific community to speak up about it. Whereas AOE insists that it is the professional duty of the scientific community to discuss and publicize these matters, SE implies that this lies beyond the scientist's brief, which has to do, exclusively, with the acquisition of value-neutral knowledge.
The problematic aims of science require further elaboration. The aim of seeking valuable truth needs to be regarded as a means to the realization of a farther social, or humanitarian aim: to make knowledge of valuable truth available to be used by people in their lives to enrich the quality of life, either culturally or intellectually, by enhancing personal knowledge and understanding of aspects of the world, or practically, to achieve other goals of value (health, prosperity, etc.). Inevitably scientific results are used to transform society. Science ought to do what it can to ensure that results are used for the benefit of all, and not in ways which are harmful. To this extent, science has a moral, a social, even a political, goal.
But this political or humanitarian goal is, if anything, even more problematic than the aims already discussed. Here, as before, it is vital that science promotes open, imaginative and critical discussion of actual and possible human uses of science, and relevant political policies and programmes, in an attempt to ensure that uses and policies of genuine benefit to humanity will be adopted. This is encouraged, indeed demanded, by AOE, but SE holds that it has nothing to do with science whatsoever.
Once again, because of the influence of SE, science has not developed institutional means for open, sustained, imaginative and critical discussion of the humanitarian aim of science to help enhance the quality of human life (by intellectual, technological and educational means). And as a result, as is to be expected, the impact of science on society has not always been of the best.
Modern science has, of course, been of immense benefit to humanity in countless ways. The modern world is inconceivable without it. But there is an underside to the blessings of science. They are not, to begin with, equably distributed throughout the world. Some billion people, as I have already mentioned, live in abject poverty, not much benefited by science. Science has made possible rapid population growth, modern agriculture and industry which in turn have led to pollution of earth, sea and air, destruction of natural habitats such as tropical rain forests, and rapid extinction of species. Science has made it possible for modern warfare to acquire its lethal character, and has led to the threats posed by modern armaments, conventional, chemical, biological and nuclear. Science has even played a role in engendering the AIDS crisis (AIDS being spread by modern methods of travel). And over everything hangs the menace of global warming, with its attendant threats of drought, storms floods, and death, threatening to intensify other crises (global warming being the outcome of population growth, modern industry and travel, all made possible by science).
AOE, recognizing the profoundly problematic character of the humanitarian scientific aim of helping to enhance the quality of human life, would anticipate problems such as these, and would require scientists and non-scientists alike to develop both scientific research and political policies designed to alleviate them. SE, by contrast, places all this outside the domain of science, and makes it no part of the professional task of the scientist to come to grips with such issues, as scientist. General acceptance of SE has thus played a role in allowing these crises to develop.
An important part of the humanitarian aim of science is the intellectual or educational one of enabling non-scientist to use science so as to enhance their personal knowledge and understanding of, and curiosity about, the world around them. Here too science must be judged to be only partially successful. Billions of people alive today are ignorant of even the most elementary aspects of the scientific picture of the world, and may well have a hostile attitude towards science. Acceptance of SE, rather than AOE, has contributed to this failure, partly in excluding the scientific picture of the world as an item of scientific knowledge, partly in down-playing the importance of public involvement with science by means of discussion and debate.[18]
VII
Science is of value in three ways: (1) intellectually, in enhancing knowledge, understanding and curiosity, (2) practically, via technology and in other ways, and (3) methodologically, as a quite extraordinarily successful example of learning, of making progress, which may well have fruitful implications for all sorts of other worthwhile human endeavours that struggle to meet with success, and make progress. All three are deeply problematic. (1) and (2) are, of course, well known, but (3) is nowadays almost universally overlooked, ignored and unused.
(3) involves generalizing the progress-achieving methods of science so that they become fruitfully applicable to other worthwhile pursuits. But to do this successfully it is vital to adopt AOE, and not SE, as one's conception of the progress-achieving methods of science. For it is not just in science that aims are problematic; in life, too, aims can be profoundly problematic. This is especially true of the humanitarian, political aim to create a better world. SE, generalized so as to apply to this and other pursuits, provides no help with improving
Figure 2: Implementing Generalization of Aim-Oriented Empiricism in Pursuit of Civilization (Please enlarge to view)
problematic aims. AOE, generalized, by contrast, is specifically designed to help us improve problematic aims as we act. General acceptance of SE has had the effect of crippling this third, methodological use of science. This may well be the most damaging consequence of the failure of the scientific community to adopt AOE and repudiate SE.
The basic idea of (3) goes back at least to the French Enlightenment. The philosophes,
Voltaire, Diderot, Condorcet and others, had the idea of learning from scientific progress how to make social progress towards an enlightened world. But in developing this idea, they blundered, and it was, unfortunately, their botched version of the idea that was taken up and subsequently built into the institutional structure of academia. It is from this that we still suffer today.
In order to put (3) - the Enlightenment idea - successfully into practice, three steps need to be got right:-
(a) The progress-achieving methods of science need to be correctly characterized.
(b) These methods need to be correctly generalized, so that they become fruitfully applicable to worthwhile human pursuits other than science (especially to those with problematic aims) - government, the pursuit of justice, prosperity, security, art, happiness, love.
(c) These generalized, progress-achieving methods then need to be embedded into the fabric of society and our lives, into institutions associated with government, the law, the economy, etc., and above all into efforts to create a just, peaceful, sustainable, democratic, liberal, prosperous, civilized world.
The philosophes got all three steps, (a), (b) and (c), wrong. They (a) took inductivism, a crude version of SE, for granted, which (c) they applied, not to social life, but rather to the task of creating social science. This was developed throughout the 19th century, and built into academia in the early 20th century with the creation of departments of economics, anthropology, sociology, political science, psychology. The outcome is what we still have today, academia devoted primarily to the pursuit of knowledge.
But all this is a damaging mistake. Step (a) requires that we adopt AOE, not SE. Step (b) requires that AOE is generalized: whenever worthwhile but problematic aims are pursued, a hierarchy of aims (and associated methods) needs to be created, aims becoming increasingly unspecific and unproblematic as one goes up the hierarchy, in this way a framework of relatively unproblematic aims and methods being developed within which much more specific, problematic and controversial aims and methods can be improved as we act. Step (c) requires that this hierarchical meta-methodology be adopted and implemented by social life, by institutions other than science - especially by those whose basic aims are problematic. The aim of creating a better world is, for all sorts of reasons, profoundly problematic. Here, above all, the generalized version of AOE must be adopted and implemented. (See figure 2 for a cartoon version of what is required.)
Social inquiry, on this view, is not, in the first instance, social science, or the pursuit of knowledge at all; rather it is social methodology, or social philosophy, concerned to help humanity tackle its immense problems of living in more cooperatively rational ways than at present, and seeking to build into social life progress-achieving methods arrived at by generalizing AOE - the progress-achieving methods of natural science.
If the basic Enlightenment idea had been properly developed in this way, in the 18th and 19th centuries, we might have learned how to avoid some of the horrors of the 20th century, and some of the crises that now beset us, partly as a result of the pursuit of SE science. For humanity would have had in its hands (what we still do not have today) institutions of inquiry rationally designed and devoted to help us make progress towards a genuinely civilized world.[19]
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VIII
Many see modern science as having serious defects, intellectual, social, moral. Few see this as having anything to do with the philosophy of science. I have argued that many diverse ills of modern science are a consequence of the fact that the scientific community has long accepted, and sought to implement, a bad philosophy of science, namely standard empiricism. The scientific community urgently needs to bring about a revolution in both the conception of science, and science itself. Standard empiricism needs to be rejected, and the more rigorous philosophy of science of aim-oriented empiricism needs to be adopted and explicitly implemented in scientific practice instead. The outcome would be the emergence of a new kind of science, of greater value in both intellectual and humanitarian terms.
Val di Bottoli, Tuscany, July 2008
Notes
[1] For a more detailed exposition of SE, see Maxwell (2007), pp. 32-51. For grounds for holding scientists do, by and large, accept SE, see Maxwell (1998, pp. 38-45; 2007, pp. 145-156; 2004, pp. 5-6, note 5).
[2] For more detailed refutations of SE, see Maxwell (1998, ch. 2; 2004, ch.1; 2005; 2007, ch. 9).
3]Einstein (1982, pp. 21-25).
[4] Maxwell (1998, pp. 89-93; 2004, appendix, section 2; 2007, ch. 14, section 2).
[5] A version of AOE was first expounded and defended in Maxwell (1974). For subsequent elaborations see Maxwell (1976a; 1984; 1998; 2004; 2005; 2007, ch. 14).
[6] Maxwell (2007), ch. 14.
[7] According to AOE, the philosophy of science, conceived of as being about the aims and methods of science, has an important, influential role to play within science, as an integral part of science itself. Most contemporary academic philosophy of science unfortunately takes versions of SE for granted and thereby condemns itself to being worse than useless. According to SE, science has a fixed aim and fixed methods: the philosophy of science cannot itself be a part of science since it does not consist of empirically testable ideas. SE philosophy of science, instead of performing the useful task of demolishing SE and arguing for its replacement, tries to justify SE, and of course fails. Furthermore, SE philosophy of science is obliged to interpret itself as a meta-discipline, seeking to clarify what the aims and methods of science are, but not in any way affecting science itself. In thus dissociating the philosophy of science from science itself, the discipline serves to undermine the very thing it claims to be seeking to understand, namely the rationality of science. This requires, as we have seen, that the philosophy of science is an integral, influential part of science itself, and not a distinct meta-discipline.
[8] See Maxwell (1993; 1998, pp. 123-140).
[9] See Maxwell (2004), pp. 41-47.
[10] Popper (1959; 1963).
[11] See Maxwell (1998, ch. 5; 2007, ch. 14, section 6).
[12] For my own attempt at solving these fundamental problems see Maxwell (1984, ch. 10; 2001).
[13] Over many years I have attempted to develop a version of quantum theory that solves the wave/particle problem and is testably distinct from OQT: see Maxwell (1972; 1976b; 1982; 1994; 1998, ch. 7; 2008a). The key idea is that the quantum domain is fundamentally probabilistic, the condition for probabilistic transitions to occur being that new particles, bound systems or stationary states are created as a result of inelastic collisions. Somewhat similar ideas, different in detail, have been put forward by Ghirardi et al (1986) and Penrose (1986).
[14] See Maxwell (1993; 1998, pp. 123-140 and 219-223; 2004, pp. 34-39.)
[15] I have sought to get this idea across in Maxwell (1976a; 2004, pp. 47-51; 2008b.)
[16] Recently, attempts have been made to create institutional means for the discussion of aims to which non-scientists can contribute, for example by the Royal Society, and by the E.S.R.C. Science in Society Programme, in the UK.
[17] See Langley (2005).
[18] The argument of this section is spelled out in much greater detail in Maxwell (1976a; 1984; 2004; 2007; 2008b). I should add that in recent years natural science has moved somewhat in the direction I have argued for (but independently of my work), as a result of growing awareness by scientists of environmental problems, especially global warming: see Maxwell (2007, chs. 11 and 12).
[19] The argument sketched in this section was first spelled out in some detail in Maxwell (1976a). A much fuller exposition is to be found in Maxwell (1984; see also 2004; 2007). More information about my work is available at www.nick-maxwell.demon.co.uk.
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References
Einstein, A. 1982, Autobiographical Notes, in Albert Einstein: Philosopher-Scientist, ed.,
P.A. Schilpp, Open Court, La Salle, Il., pp. 3-94.
Ghirardi, G. C., Rimini, A. and Weber, T., 1986, Unified dynamics for microscopic and
macroscopic systems, Physical Review D, 34, pp. 470-91.
Langley, C., 2005, Soldiers in the Laboratory, Scientists for Global Responsibility, Folkstone.
Maxwell, N., 1972, A New Look at the Quantum Mechanical Problem of Measurement,
American Journal of Physics 40, pp. 1431-5.
______, 1974, The Rationality of Scientific Discovery, Philosophy of Science 41, pp. 123-53
and 247-295.
______, 1976a, What's Wrong With Science?, Bran's Head Books, Hayes.
______, 1976b, Towards a Micro Realistic Version of Quantum Mechanics, Foundations of
Physics 6, pp. 275-92 and 661-676.
______, 1982, Instead of Particles and Fields: A Micro Realistic Quantum "Smearon" Theory,
Foundations of Physics 12, pp. 607-31.
______, 1984, From Knowledge to Wisdom, Blackwell, Oxford.
______, 1993, Induction and Scientific Realism: Einstein versus van Frassen. Part Three:
Einstein, Aim-Oriented Empiricism and the Discovery of Special and General Relativity,
British Journal for the Philosophy of Science 44, pp. 275-305.
______, 1994, Particle Creation as the Quantum Condition for Probabilistic Events to Occur,
Physics Letters A 187, pp. 351-355.
______, 1998, The Comprehensibility of the Universe, Oxford University Press, Oxford.
______, 2001, The Human World in the Physical Universe: Consciousness, Free Will and
Evolution, Rowman and Littlefield, Lanham, Maryland.
______, 2004, Is Science Neurotic?, Imperial College Press, London.
______, 2005, Popper, Kuhn, Lakatos and Aim-Oriented Empiricism, Philosophia 32, nos.
1-4, pp. 181-239.
______, 2007, From Knowledge to Wisdom (2nd ed., revised and enlarged, Pentire Press,
London).
______, 2008a, Is the Quantum World Composed of Propensitons?, in Probabilities, Causes
and Propensities in Physics, ed. M. Suárez, Synthese Library, 2008.
______, 2008b, Popper's Paradoxical Pursuit of Natural Philosophy, in Cambridge
Companion to Popper, ed. J. Shearmur and G. Stokes, Cambridge University Press,
Cambridge.
Penrose, R., 1986, Gravity and State Reduction, in Quantum Concepts of Space and
Time, ed. R. Penrose and C. J. Isham, Oxford University Press, Oxford, pp. 129-146.
Popper, K., 1959, The Logic of Scientific Discovery, Hutchinson, London.
______, 1963, Conjectures and Refutations, Routledge and Kegan Paul, London.
Are Universities undergoing an Intellectual Revolution
(Oxford Magazine, no. 290, 21 June 2009, pp. 13-16)
For over 30 years I have argued, in and out of print that, for both intellectual and humanitarian reasons, we urgently need a revolution in the aims and methods of academic inquiry. Now I find the revolution is underway - entirely independent of my own efforts to promote it.
My claim is that instead of giving priority to the search for knowledge, academia needs to devote itself to seeking and promoting wisdom by rational means, wisdom being the capacity to realize what is of value in life, for oneself and others. Wisdom thus includes knowledge but much else besides. A basic task of academia would be to help humanity learn how to create a better world.
Acquiring scientific knowledge dissociated from a more basic concern for wisdom, as we do at present, is dangerously and damagingly irrational.
Natural science has been extraordinarily successful in increasing knowledge. This has been of great benefit to humanity. But new knowledge and technological know-how increase our power to act which, without wisdom, may cause human suffering and death as well as human benefit. Just this has occurred. Indeed all our modern global problems have arisen in this way: global warming, the lethal character of modern war and terrorism, vast inequalities of wealth and power round the globe, rapid increase in population, rapid extinction of other species, even the aids epidemic (aids being spread by modern travel). All these have been made possible by modern science - especially science dissociated from a more fundamental rational pursuit of wisdom.
If we are to avoid in this century the horrors of the last one - wars, death camps, dictatorships, poverty, environmental damage - we urgently need to learn how to acquire more wisdom, which in turn means that our institutions of learning become devoted to that end.
The revolution we need would change every branch and aspect of academic inquiry. A basic intellectual task of academic inquiry would be to articulate our problems of living (personal, social and global) and propose and critically assess possible solutions, possible actions. This would be the task of social inquiry and the humanities. Tackling problems of knowledge would be secondary. Social inquiry would be at the heart of the academic enterprise, intellectually more fundamental than natural science. On a rather more long-term basis, social inquiry would be concerned to help humanity build cooperatively rational methods of problem-solving into the fabric of social and political life, so that we may gradually acquire the capacity to resolve our conflicts and problems of living in more cooperatively rational ways than at present. Natural science would change to include three domains of discussion: evidence, theory, and aims - the latter including discussion of metaphysics, values and politics. Academic inquiry as a whole would become a kind of people's civil service, doing openly for the public what actual civil services are supposed to do in secret for governments. Academia would actively seek to educate the public by means of discussion and debate, and would not just study the public. Academia would have just sufficient power to retain its independence from government, industry, the media, public opinion, but no more.
These changes are not arbitrary. They all come, I have argued, from demanding that academia cure its current structural irrationality, so that reason - the authentic article - may be devoted to promoting human welfare.[1]
My efforts to start up a campaign to transform academia so that it becomes an educational resource to help humanity learn how to create a better world have not met with much success. I am not aware of any discipline, or any department in any university, that has changed in any way as a result of my work. Few are the academics who have even heard of my work. Even philosophers seem to be, by and large, ignorant of it, or indifferent to it - especially disappointing in view of the fact that the argument for the intellectual revolution is profoundly philosophical in character. And not just the argument: the outcome, the new conception of inquiry I argue for - wisdom-inquiry as it may be called - is, I claim, quintessentially philosophical in that it is the solution to a profoundly significant philosophical problem, namely: What kind of inquiry can best help us make progress towards a civilized world?
Viewed from another perspective, however, my call for a revolution, for the implementation of wisdom-inquiry, has been astonishingly successful. During the last ten to twenty years, all sorts of changes have taken place in academia that amount to putting aspects of wisdom-inquiry into practice - even if in complete ignorance of my work. In what follows I concentrate on universities in the UK.
Perhaps the most significant steps towards wisdom-inquiry that have taken place during the last twenty years are the creation of departments, institutions and research centres concerned with social policy, with problems of environmental degradation, climate change, poverty, injustice and war, and with such matters as medical ethics and community health. For example, a number of departments and research centres concerned in one way or another with policy issues have been created at my own university of University College London during the last 20 years.
At Cambridge University, there is a more interesting development. One can see the first hints of the institutional structure of wisdom-inquiry being superimposed upon the existing structure of knowledge-inquiry (as inquiry organized around the pursuit of knowledge may be called). As I have indicated, wisdom-inquiry puts the intellectual tackling of problems of living at the heart of academic inquiry, this activity being conducted in such a way that it both influences, and is influenced by, more specialized research. Knowledge-inquiry, by contrast, organizes intellectual activity into the conventional departments of knowledge: physics, chemistry, biology, history and the rest, in turn subdivided, again and again, into ever more narrow, specialized research disciplines. But this knowledge-inquiry structure of ever more specialized research is hopelessly inappropriate when it comes to tackling our major problems of living. In order to tackle environmental problems, for example, in a rational and effective way, specialized research into a multitude of different fields, from geology, engineering and economics to climate science, biology, architecture and metallurgy, needs to be connected to, and coordinated with, the different aspects of environmental problems. The sheer urgency of environmental problems has, it seems, forced Cambridge University to create the beginnings of wisdom-inquiry organization to deal with the issue. The "Cambridge Environmental Initiative" (CEI), launched in December 2004, distinguishes seven fields associated with environmental problems: conservation, climate change, energy, society, water waste built environment and industry, natural hazards, society, and technology, and under these headings, coordinates some 102 research groups working on specialized aspects of environmental issues in some 25 different (knowledge-inquiry) departments. The CEI holds seminars, workshops and public lectures to put specialized research workers in diverse fields in touch with one another, and to inform the public. There is also a CEI newsletter.
A similar coordinating, interdisciplinary initiative exists at Oxford University. This is the School of Geography and the Environment, founded in 2005 under another name. This is made up of five research "clusters", two previously established research centres, the Environmental Change Institute (founded in 1991) and the Transport Studies Institute, and three inter-departmental research programmes, the African Environments Programme the Oxford Centre for Water Research, and the Oxford branch of the Tyndall Centre (see below). The School has links with other such research centres, for example the UK Climate Impact Programme and the UK Energy Research Centre.
At Oxford University there is also the James Martin 21st Century School, founded in 2005 to "formulate new concepts, policies and technologies that will make the future a better place to be". It is made up of fifteen Institutes devoted to research that ranges from ageing, armed conflict, cancer therapy and carbon reduction to nanoscience, oceans, science innovation and society, the future of the mind, and the future of humanity. At Oxford there is also the Smith School of Enterprise and the Environment, founded in 2008 to help government and industry tackle the challenges of the 21st century, especially those associated with climate change.
Somewhat similar developments have taken place recently at my own university, University College London. Not only are there 141 research institutes and centres at UCL, some only recently founded, many interdisciplinary in character, devoted to such themes as ageing, cancer, cities, culture, public policy, the environment, global health, governance, migration, neuroscience, and security. In addition, very recently, the attempt has been made to organize research at UCL around a few broad themes that include: global health, sustainable cities, intercultural interactions, and human wellbeing. This is being done so that UCL may all the better contribute to solving the immense global problems that confront humanity.
All these developments, surely echoed in many universities all over the world, can be regarded as first steps towards implementing wisdom-inquiry.
Equally impressive is the John Tyndall Centre for Climate Change Research, founded by 28 scientists from 10 different universities or institutions in 2000. It is based in six British universities, has links with six others, and is funded by three research councils, NERC, EPSRC and ESRC (environment, engineering and social economic research). It "brings together scientists, economists, engineers and social scientists, who together are working to develop sustainable responses to climate change through trans-disciplinary research and dialogue on both a national and international level - not just within the research community, but also with business leaders, policy advisors, the media and the public in general". All this is strikingly in accordance with basic features of wisdom-inquiry.[2] We have here, perhaps, the real beginnings of wisdom-inquiry being put into academic practice.
A similar organization, modelled on the Tyndall Centre, is the UK Energy Research Centre (UKERC), launched in 2004, and also funded by the three research councils, NERC, EPSRC and ESRC. Its mission is to be a "centre of research, and source of authoritative information and leadership, on sustainable energy systems". It coordinates research in some twelve British universities or research institutions. UKERC has created the National Energy Research Network (NERN), which seeks to link up the entire energy community, including people from academia, government, NGOs and business.
Another possible indication of a modest step towards wisdom-inquiry is the growth of peace studies and conflict resolution research. In Britain, the Peace Studies Department at Bradford University has "quadrupled in size" since 1984 (Professor Paul Rogers, personal communication), and is now the largest university department in this field in the world. INCORE, an International Conflict Research project, was established in 1993 at the University of Ulster, in Northern Ireland, in conjunction with the United Nations University. It develops conflict resolution strategies, and aims to influence policymakers and others involved in conflict resolution. Like the newly created environmental institutions just considered, it is highly interdisciplinary in character, in that it coordinates work done in history, policy studies, politics, international affairs, sociology, geography, architecture, communications, and social work as well as in peace and conflict studies. The Oxford Research Group, established in 1982, is an independent think tank which "seeks to develop effective methods whereby people can bring about positive change on issues of national and international security by non-violent means". It has links with a number of universities in Britain. Peace studies have also grown during the period we are considering at Sussex University, Kings College London, Leeds University, Coventry University and London Metropolitan University. Centres in the field in Britain created since 1984 include: the Centre for Peace and Reconciliation Studies at Warwick University founded in 1999, the Desmond Tutu Centre for War and Peace, established in 2004 at Liverpool Hope University; the Praxis Centre at Leeds Metropolitan University, launched in 2004; the Crime and Conflict Centre at Middlesex University; and the International Boundaries Research Unit, founded in 1989 at Durham University.[3]
Additional indications of a general movement towards aspects of wisdom-inquiry are the following. Demos, a British independent think tank has, in recent years, convened conferences on the need for more public participation in discussion about aims and priorities of scientific research, and greater openness of science to the public.[4] This has been taken up by The Royal Society which, in 2004, published a report on potential benefits and hazards of nanotechnology produced by a group consisting of both scientists and non-scientists. The Royal Society has also created a "Science in Society Programme" in 2000, with the aims of promoting "dialogue with society", of involving "society positively in influencing and sharing responsibility for policy on scientific matters", and of embracing "a culture of openness in decision-making" which takes into account "the values and attitudes of the public". A similar initiative is the "science in society" research programme funded by the Economic and Social Research Council which has, in the Autumn of 2007, come up with six booklets reporting on various aspects of the relationship between science and society. Many scientists now appreciate that non-scientists ought to contribute to discussion concerning science policy. There is a growing awareness among scientists and others of the role that values play in science policy, and the importance of subjecting medical and other scientific research to ethical assessment. That universities are becoming increasingly concerned about these issues is indicated by
the creation, in recent years, of many departments of "science, technology and society", in the UK, the USA and elsewhere, the intention being that these departments will concern themselves with interactions between science and society.
Even though academia is not organized in such a way as to give intellectual priority to helping humanity tackle its current global problems, academics do nevertheless publish books that tackle these issues, for experts and non-experts alike. For example, in recent years many books have been published on global warming and what to do about it.
Here are a few further scattered hints that the revolution, from knowledge to wisdom, may be underway - as yet unrecognized and unorganized. In recent years, research in psychology into the nature of wisdom has flourished, in the USA, Canada, Germany and elsewhere.[5] Emerging out of this, and associated in part with Robert Sternberg, there is, in the USA, a "teaching for wisdom" initiative, the idea being that, whatever else is taught - science, history or mathematics - the teaching should be conducted in such a way that wisdom is also acquired.[6] There is the Arete Initiative at Chicago University which has "launched a $2 million research programme on the nature and benefits of wisdom". There are two initiatives that I have been involved with personally. The first is a new international group of over 200 scholars and educationalists called Friends of Wisdom, "an association of people sympathetic to the idea that academic inquiry should help humanity acquire more wisdom by rational means". The second is a special issue of the journal London Review of Education; of which I was guest editor, devoted to the theme "wisdom in the university". This duly appeared in June 2007 (vol. 5, no.2). It contains seven articles on various aspects of the basic theme. Rather strikingly, another academic journal brought out a special issue on a similar theme in the same month. The April-June 2007 issue of Social Epistemology is devoted to the theme "wisdom in management" (vol. 21, no. 2). On the 5th December 2007, History and Policy was launched, a new initiative that seeks to bring together historians, politicians and the media, and "works for better public policy through an understanding of history".
Out of curiosity, on 18 May 2009, I consulted Google to see whether it gives any indications of the revolution that may be underway. Here are the number of web pages that came up for various relevant topics: "Environmental Studies" 9,910,000; "Development Studies" 7,210,000; "Peace Studies" 529,000; "Policy Studies" 2,160,000; "Science, Technology and Society" 297,000; "Wisdom Studies" 5,510; "From Knowledge to Wisdom" 18,100; "Wisdom-Inquiry" 625. These figures do not, perhaps, in themselves tell us very much. There is probably a great deal of repetition - and Google gives us no idea of the intellectual quality of the departments or studies that are being referred to. One of the items that comes up in Google is Copthorne Macdonald's "Wisdom Page" - a compilation of "various on-line texts concerning wisdom, references to books about wisdom, information about organizations that promote wisdom", and including a bibliography of more than 800 works on wisdom prepared by Richard Trowbridge.
None of these developments quite amounts to advocating or implementing wisdom-inquiry (apart from the two I am associated with). One has to remember that "wisdom studies" is not the same thing as "wisdom-inquiry". The new environmental research organizations, and the new emphasis on policy studies of various kinds, do not in themselves add up to wisdom-inquiry. In order to put wisdom-inquiry fully into academic practice, it would be essential for social inquiry and the humanities to give far greater emphasis to the task of helping humanity learn how to tackle its immense global problems in more cooperatively rational ways than at present. The imaginative and critical exploration of problems of living would need to proceed at the heart of academia, in such a way that it influences science policy, and is in turn influenced by the results of scientific and technological research. Academia would need to give much more emphasis to the task of public education by means of discussion and debate. Our only hope of tackling global problems of climate change, poverty, war and terrorism humanely and effectively is to tackle them democratically. But democratic governments are not likely to be all that much more enlightened than their electorates. This in turn means that electorates of democracies must have a good understanding of what our global problems are, and what needs to be done about them. Without that there is little hope of humanity making progress towards a better world. A vital task for universities is to help educate the public about what we need to do to avoid - at the least - the worst of future possible disasters. Wisdom-inquiry would undertake such a task of public education to an extent that is far beyond anything attempted or imagined by academics today. There is still a long way to go before we have what we so urgently need, a kind of academic inquiry rationally devoted to helping humanity learn how to create a better world. A university system that did that would need, for example, to create a shadow government, creating policies and possible legislation, imaginatively and critically, free of the shackles actual governments suffer from because of all sorts of pressures, honourable and dishonourable. As far as I know, there is not at present even a hint of an awareness that such an institution needs to be created within academia.
Nevertheless, the developments I have indicated can be regarded as signs that there is a growing awareness of the need for our universities to change so as to help individuals learn how to realize what is genuinely of value in life - and help humanity learn how to tackle its immense global problems in wiser, more cooperatively rational ways than we seem to be doing at present. My calls for this intellectual and institutional revolution may have been entirely in vain. But what I have been calling for, all these years, is perhaps, at last, beginning to happen, entirely independent of my ineffective shouting on the sidelines. If so, it is happening with agonizing slowness, in a dreadfully muddled and piecemeal way. It urgently needs academics and non-academics to wake up to what is going on - or what needs to go on - to help give direction, coherence and a rationale to this nascent revolution from knowledge to wisdom.
Notes
[1] This argument was first spelled out in my What's Wrong With Science? (Bran's Head Books, Frome, 1976), and in much greater detail in my From Knowledge to Wisdom (Basil Blackwell, Oxford, 1984); second edition, revised throughout, with a new introduction and three new chapters (Pentire Press, London, 2007). See also my "What Kind of Inquiry Can Best Help Us Create a Good World?", Science, Technology and Human Values 17, 1992, 205-27; "Can Humanity Learn to become Civilized? The Crisis of Science without Civilization", Journal of Applied Philosophy 17, 2000, 29-44; Is Science Neurotic? (Imperial College Press, London, 2004); "From Knowledge to Wisdom: The Need for an Academic Revolution", London Review of Education, 5, 2007, 97-115 (reprinted in R. Barnett and N. Maxwell, eds., Wisdom in the University (Routledge, London, 2008, pp. 1-19, pbk. 2009); "Do We Need a Scientific Revolution?", Journal for Biological Physics and Chemistry, 8, 2008, 95-105; and McHenry, L., ed., Science and the Pursuit of Wisdom (Frankfurt, Ontos Verlag, Frankfurt, 2009).
[2] Tyndall Centre, ed., Truly Useful, (UK, Tyndall Centre).
[3] For an account of the birth and growth of peace studies in universities see Rogers, P. F. "Peace Studies" in A. Collins, ed., Contemporary Security Studies (Oxford University Press, 2006, Ch. 3).
[4] See Wilsdon, J. and R. Willis, See-through Science (Demos, London, 2004).
[5] See, for example, Sternberg, R. J., ed., Wisdom: Its Nature Origins and Development (Cambridge University Press, 1990).
[6] See Sternberg, R. J. et al., "Teaching for wisdom: what matters is not just what students know, but how they use it", London Review of Education, 5, 2007, 143-158.
Popper, Kuhn, Lakatos and Aim-Oriented Empiricism
Nicholas Maxwell
Philosophia, Vol. 32, 2005, pp. 181-239.
1 Introduction
2 Karl Popper
3 Refutation of Bare Falsificationism
4 Refutation of Dressed Falsificationism
5 From Falsificationism to Aim-Oriented Empiricism
6 Aim-Oriented Empiricism an Improvement over Falsificationism
7 Thomas Kuhn
8 Imre Lakatos
References
Notes
Abstract
In this paper I argue that aim-oriented empiricism (AOE), a conception of natural science that I have defended at some length elsewhere[1], is a kind of synthesis of the views of Popper, Kuhn and Lakatos, but is also an improvement over the views of all three. Whereas Popper's falsificationism protects metaphysical assumptions implicitly made by science from criticism, AOE exposes all such assumptions to sustained criticism, and furthermore focuses criticism on those assumptions most likely to need revision if science is to make progress. Even though AOE is, in this way, more Popperian than Popper, it is also, in some respects, more like the views of Kuhn and Lakatos than falsificationism is. AOE is able, however, to solve problems which Kuhn's and Lakatos's views cannot solve.
1 Introduction
In this paper I argue that aim-oriented empiricism (AOE), a conception of natural science that I have spelled out and defended at some length elsewhere, is a kind of synthesis of the views of Popper, Kuhn and Lakatos, but is also an improvement over the views of all three.
AOE stems from the observation that theoretical physics persistently accepts unified theories, even though endlessly many empirically more successful, but seriously disunified, ad hoc rivals can always be concocted. This persistent preference for and acceptance of unified theories, even against empirical considerations, means that physics makes a persistent untestable (metaphysical) assumption about the universe: the universe is such that no seriously disunified, ad hoc theory is true. Intellectual rigour demands that this substantial, influential, highly problematic and implicit assumption be made explicit, as a part of theoretical scientific knowledge, so that it can be critically assessed, so that alternative versions can be considered, in the hope that this will lead to an improved version of the assumption being developed and accepted. Physics is more rigorous when this implicit assumption is made explicit even though there is no justification for holding the assumption to be true. Indeed, it is above all when there is no such justification, and the assumption is substantial, influential, highly problematic, and all too likely to be false, that it becomes especially important to implement the above requirement for rigour, and make the implicit (and probably false) assumption explicit.
Once it is conceded that physics does persistently assume that the universe is such that all seriously disunified theories are false, two fundamental problems immediately arise. What precisely ought this assumption to be interpreted to be asserting about the universe? Granted that the assumption is a pure conjecture, substantial and influential but bereft of any kind of justification, and thus all too likely in its current form to be false, how can rival versions of the assumption be rationally assessed, so that what is accepted by physics is improved?
AOE is designed to solve, or help solve, these two problems. The basic idea is that we need to see physics (and science more generally) as making not one, but a hierarchy of assumptions concerning the unity, comprehensibility and knowability of the universe, the assumptions becoming less and less substantial as one goes up the hierarchy, and thus becoming more and more likely to be true: see diagram. The idea is that in this way we separate out what is most likely to be true, and not in need of revision, at and near the top of the hierarchy, from what is most likely to be false, and most in need of criticism and revision, near the bottom of the hierarchy. Evidence, at level 1, and assumptions high up in the hierarchy, are rather firmly accepted, as being most likely to be true (although still open to revision): this is then used
Figure 1: Aim-Oriented Empiricism
(Please enlarge to view)
to criticize, and to try to improve, theses at levels 2 and 3 (and perhaps 4), where falsity is most likely to be located.
At the top there is the relatively insubstantial assumption that the universe is such that we can acquire some knowledge of our local circumstances. If this assumption is false, we will not be able to acquire knowledge whatever we assume. We are justified in accepting this assumption permanently as a part of our knowledge, even though we have no grounds for holding it to be true. As we descend the hierarchy, the assumptions become increasingly substantial and thus increasingly likely to be false. At level 5 there is the rather substantial assumption that the universe is comprehensible in some way or other, the universe being such that there is just one kind of explanation for all phenomena. At level 4 there is the more specific, and thus more substantial assumption that the universe is physically comprehensible, it being such that there is some yet-to-be-discovered, true, unified "theory of everything". At level 3 there is the even more specific, and thus even more substantial assumption that the universe is physically comprehensible in a more or less specific way, suggested by current accepted fundamental physical theories. Examples of assumptions made at this level, taken from the history of physics, include the following. The universe is made up of rigid corpuscles that interact by contact; it is made up of point-atoms that interact at a distance by means of rigid, spherically-symmetrical forces; it is made up of a unified field; it is made up of a unified quantum field; it is made up of quantum strings. Given the historical record of dramatically changing ideas at this level, and given the relatively highly specific and substantial character of successive assumptions made at this level, we can be reasonably confident that the best assumption available at any stage in the development of physics at this level will be false, and will need future revision. At level 2 there are the accepted fundamental theories of physics, currently general relativity and the standard model. Here, if anything, we can be even more confident that current theories are false, despite their immense empirical success. This confidence comes partly from the vast empirical content of these theories, and partly from the historical record. The greater the content of a proposition the more likely it is to be false; the fundamental theories of physics, general relativity and the standard model have such vast empirical content that this in itself almost guarantees falsity. And the historical record backs this up; Kepler's laws of planetary motion, and Galileo's laws of terrestrial motion are corrected by Newtonian theory, which is in turn corrected by special and general relativity; classical physics is corrected by quantum theory, in turn corrected by relativistic quantum theory, quantum field theory and the standard model. Each new theory in physics reveals that predecessors are false. Indeed, if the level 4 assumption of AOE is correct, then all current physical theories are false, since this assumption asserts that the true physical theory of everything is unified, and the totality of current fundamental physical theory, general relativity plus the standard model, is notoriously disunified.
Finally, at level 1 there are accepted empirical data, low level, corroborated, empirical laws.
In order to be acceptable, an assumption at any level from 6 to 3 must (as far as possible) be compatible with, and a special case of, the assumption above in the hierarchy; at the same time it must be (or promise to be) empirically fruitful in the sense that successive accepted physical theories increasingly successfully accord with (or exemplify) the assumption. At level 2, those physical theories are accepted which are sufficiently (a) empirically successful and (b) in accord with the best available assumption at level 3 (or level 4). Corresponding to each assumption, at any level from 7 to 3, there is a methodological principle, represented by sloping dotted lines in the diagram, requiring that theses lower down in the hierarchy are compatible with the given assumption.
When theoretical physics has completed its central task, and the true theory of everything, T, has been discovered, then T will (in principle) successfully predict all empirical phenomena at level 1, and will entail the assumption at level 3, which will in turn entail the assumption at level 4, and so on up the hierarchy. As it is, physics has not completed its task, T has not (yet) been discovered, and we are ignorant of the nature of the universe. This ignorance is reflected in clashes between theses at different levels of AOE. There are clashes between levels 1 and 2, 2 and 3, and 3 and 4. The attempt to resolve these clashes drives physics forward.
In seeking to resolve these clashes between levels, influences can go in both directions. Thus, given a clash between levels 1 and 2, this may lead to the modification, or replacement of the relevant theory at level 2; but, on the other hand, it may lead to the discovery that the relevant experimental result is not correct for any of a number of possible reasons, and needs to be modified. In general, however, such a clash leads to the rejection of the level 2 theory rather than the level 1 experimental result; the latter are held onto more firmly than the former, in part because experimental results have vastly less empirical content than theories, in part because of our confidence in the results of observation and direct experimental manipulation (especially after expert critical examination). Again, given a clash between levels 2 and 3, this may lead to the rejection of the relevant level 2 theory (because it is disunified, ad hoc, at odds with the current metaphysics of physics); but, on the other hand, it may lead to the rejection of the level 3 assumption and the adoption, instead, of a new assumption (as has happened a number of times in the history of physics, as we have seen). The rejection of the current level 3 assumption is likely to take place if the level 2 theory, which clashes with it, is highly successful empirically, and furthermore has the effect of increasing unity in the totality of fundamental physical theory overall, so that clashes between levels 2 and 4 are decreased. In general, however, clashes between levels 2 and 3 are resolved by the rejection or modification of theories at level 2 rather than the assumption at level 3, in part because of the vastly greater empirical content of level 2 theories, in part because of the empirical fruitfulness of the level 3 assumption (in the sense indicated above).
It is conceivable that the clash between level 2 theories and the level 4 assumption might lead to the revision of the latter rather than the former. This happened when Galileo rejected the then current level 4 assumption of Aristotelianism, and replaced it with the idea that "the book of nature is written in the language of mathematics" (an early precursor of our current level 4 assumption). The whole idea of AOE is, however, that as we go up the hierarchy of assumptions we are increasingly unlikely to encounter error, and the need for revision. The higher up we go, the more firmly assumptions are upheld, the more resistance there is to modification.
AOE is put forward as a framework which makes explicit metaphysical assumptions implicit in the manner in which physical theories are accepted and rejected, and which, at the same time, facilitates the critical assessment and improvement of these assumptions with the improvement of knowledge, criticism being concentrated where it is most needed, low down in the hierarchy. Within a framework of relatively insubstantial, unproblematic and permanent assumptions and methods (high up in the hierarchy), much more substantial, problematic assumptions and associated methods (low down in the hierarchy) can be revised and improved with improving theoretical knowledge. There is something like positive feedback between improving knowledge and improving (low-level) assumptions and methods - that is, knowledge-about-how-to-improve-knowledge. Science adapts its nature, its assumptions and methods, to what it discovers about the nature of the universe. This, I suggest, is the nub of scientific rationality, and the methodological key to the great success of modern science.
The above is intended to be an introductory account of AOE; further clarifications and details will emerge below when I come to expound AOE again during the course of arguing that the position can be construed to be a kind of synthesis of, and improvement over, the views of Popper, Kuhn and Lakatos.
In what follows I begin with Karl Popper, and argue that AOE can be seen to emerge as a result of modifying Popper's falsificationism[2] to remove defects inherent in that position. AOE does not, however, break with the spirit of Popper's work; far from committing the Popperian sin of "justificationism", AOE is even more Popperian than Popper, in that it is a conception of science which exposes more to effective criticism than falsificationism does. Falsificationism, in comparison, shields substantial, influential and problematic scientific assumptions from criticism within science. Whereas falsificationism fails to solve what may be called the "methodological" problem of induction, AOE successfully solves the problem. And, associated with that success, AOE also solves the problem of what it means to assert of a physical theory that it is "simple", "explanatory" or "unified", a problem which falsificationism fails to solve.
The conception of science expounded by Thomas Kuhn in his The Structure of Scientific Revolutions (1970) shares important elements with Popper's falsificationism. The big difference is that whereas Kuhn holds that "normal science" is an important, healthy and entirely rational (indeed, the most rational) part of science, Popper regards normal science as "dogmatic", the result of bad education and "indoctrination", something that is "a danger to science and, indeed, to our civilization" (Popper, 1970, p. 53). It is the apparent persistent dogmatism of normal science - the persistent retention of the current paradigm in the teeth of ostensible empirical refutations - that is so irrational, so unscientific, when viewed from a falsificationist perspective. AOE, however, though subjecting scientific assumptions to even greater critical scrutiny than Popper's falsificationism, turns out to have features which are, in some respects, closer to Kuhn than to Popper. For, according to AOE, substantial and influential metaphysical assumptions are persistently accepted as a part of scientific knowledge in a way which seems much closer to the way paradigms are accepted, according to Kuhn, during normal science, than to the way falsifiable theories are to be treated in science, according to Popper. AOE depicts science as, quite properly, proceeding in a way that is reminiscent, in important respects, of Kuhn's normal science, something that is anathema to Popper's falsificationism. At the same time, AOE is free of some of the serious defects inherent in Kuhn's conception of science. Even though AOE science mimics some aspects of Kuhnian normal science, it nevertheless entirely lacks the harmful dogmatism of this kind of science, and avoids problems that arise from Kuhn's insistence that successive paradigms are "incommensurable".
Imre Lakatos's "methodology of scientific research programmes"[3] was invented, specifically, to do justice both to Popper's insistence on the fundamental importance of subjecting scientific theories to persistent, ruthless attempted empirical refutation, and to Kuhn's insistence on the importance of preserving accepted paradigms from refutation, scientists, not paradigms, being under test when ostensible refutations arise. It is, like AOE, a kind synthesis of the ideas of Popper and Kuhn. Just as AOE incorporates elements of Popper and Kuhn, so too it incorporates elements of Lakatos's research programme methodology. At the same time, AOE is an improvement over Lakatos's view; it solves problems which Lakatos's view is unable to solve. Whereas Lakatos's view provides no means for the assessment of "hard cores" (Lakatos's "paradigms") other than by means of the empirical success and failure of the research programmes to which they give rise, AOE specifies a way in which "hard cores" (or their equivalent) can be rationally, but fallibly assessed, independent of the kind of empirical considerations to which Lakatos is restricted. This has important implications for the question of whether or not there is a rational method of discovery. It also has important implications for the strength of scientific method. For Lakatos, notoriously, scientific method could only decide which of two competing research programmes was the better long after the event, when one had proved to be vastly superior, empirically, to the other. "The owl of Minerva flies at dusk", as Lakatos put it, echoing Hegel. AOE provides a much more decisive methodology than Lakatos's, one which is able to deliver verdicts when they are needed, and not long after the event.
It may be thought that yet another critique of Popper, Kuhn and Lakatos is unnecessary, given the flood of literature that has appeared on the subject in the last 30 years or so: for an excellent recent survey article see Nola and Sankey (2000). My reply to this objection comes in two parts.
First, nowhere in this large body of critical literature can one find the particular line of criticism developed in the present paper. This line of criticism is, furthermore, especially fundamental and insightful in that it reveals, as other criticisms do not, what needs to be done radically to improve the views of Popper, Kuhn and Lakatos. Second, the improved view, namely AOE, that emerges from the criticism to be expounded here, has been entirely overlooked by the body of literature discussing and criticizing Popper, Kuhn and Lakatos. This is the decisive point. It is not enough merely to show that the views of Popper, Kuhn and Lakatos are defective. What really matters is to develop a view that overcomes these defects. That is what I set out to do here.
It is also true that, during the last 30 years, a substantial body of work has emerged on scientific method quite generally. I have in mind such publications as Holton (1973), Feyerabend (1978), Glymour (1980), van Fraassen (1980), Laudan (1984), Watkins (1984), Hooker (1987), Hull (1988), Howson and Urbach (1993), Kitcher (1993), Musgrave (1993), Dupré (1995), McAllister (1996), Cartwright (1999). In none of these works does one find the criticism of Popper, Kuhn and Lakatos, expressed below, or the synthesis, namely AOE, which emerges from this criticism. Furthermore, the methodological views developed in the works just cited all fall to the line of criticism deployed against Popper, Kuhn and Lakatos in the present paper. There is no space to develop this last point here: it is however spelled out in Maxwell (1998, ch. 2). One implication, then, of the present paper is that philosophy of science took a wrong turning around 1974 when it failed to take up the line of argument of this paper, an early version of which is to be found in Maxwell (1974).
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2 Karl Popper
As everyone knows, Popper held that science proceeds by putting forward empirically falsifiable conjectures which are then subjected to severe attempts at falsification by means of observation and experiment. Scientific theories cannot be verified by experience, but they can be falsified. Once a theory is falsified, scientists have the task of developing a potentially better theory, even more falsifiable than its predecessor, at least as ostensibly empirically successful as its predecessor, and such that it is corroborated where its predecessor was falsified. In order to be accepted (tentatively) as a part of conjectural scientific knowledge a theory must (at least) be empirically falsifiable. Non falsifiable, metaphysical theses are meaningful, and may influence the direction of scientific research. There can even be what Popper has called "metaphysical research programmes" programmes of research "indispensable for science, although their character is that of metaphysical or speculative physics rather than of scientific physics ... more in the nature of myths, or of dreams, than of science" (Popper, 1982, p. 165). For Popper, metaphysical (that is, unfalsifiable) theses cannot be a part of (conjectural) scientific knowledge; such theses cannot help determine what is accepted and rejected as (conjectural) scientific knowledge, but they can influence ideas, choice of research aims and problems, in the context of scientific discovery. For further details see Popper (1959, 1963, 1983).
Popper defended two distinct versions of falsificationism which, echoing terminology of Maxwell (1998), I shall call bare and dressed falsificationism. According to bare falsificationism, defended in Popper (1959), only empirical considerations, and such things as the falsifiability of theories and degrees of falsifiability, decide what is to be accepted and rejected in science. According to dressed falsificationism, a new theory, in order to be acceptable, "should proceed from some simple, new, and powerful, unifying idea about some connection or relation (such as gravitational attraction) between hitherto unconnected things (such as planets and apples) or facts (such as inertial and gravitational mass) or new "theoretical entities" (such as field and particles)" (Popper, 1963, p. 241). This "requirement of simplicity" (as Popper calls it) is in addition to anything specified in Popper (1959). In his (1959), Popper does, it is true, demand of a theory that it should be as simple as possible, but Popper there identifies degree of simplicity of a theory with degree of falsifiability. (There is a second, related notion, but Popper makes it clear that if the two clash it is the falsifiability notion, just indicated, which takes priority: see page 130). Thus, in his (1959), in requiring of an acceptable theory that it should be as simple as possible, Popper is demanding no more than that it should be as falsifiable as possible. But Popper's "requirement of simplicity" of his (1963) is wholly in addition to falsifiability. A theory of high falsifiability may not "proceed from some simple, new, and powerful unifying idea", and vice versa. We thus have two versions of falsificationism before us: bare falsificationism of Popper's (1959), and dressed falsificationism of (1963, chapter 10), with the new "requirement of simplicity" added onto the (1959) doctrine.
I now give my argument for holding that neither doctrine is tenable. My argument is not that Popper fails to show how theories can be verified, or rendered probable; nor is my argument that Popper fails to show how scientific theories can be falsified, in that falsification requires the verification of a low-level falsifying hypothesis (which, according to Popper, is not possible).[4] There is nothing "justificationist", in other words, about my criticism. It amounts simply to this. Bare falsificationism fails dramatically to do justice to the way theories are selected in science (entirely independently of any question of verification, justification or falsification). Dressed falsificationism does better justice to scientific practice, but commits science to making substantial, influential and problematic assumptions that remain implicit, and cannot adequately be made explicit within science. Science pursued in accordance with dressed falsificationism is irrational, in other words, because it fails to implement the elementary, and quasi-Popperian, requirement for rationality that "assumptions that are substantial, influential, problematic and implicit need to be made explicit, so that they can be critically assessed and so that alternatives may be put forward and considered, in the hope that such assumptions can be improved" (Maxwell, 1998, p. 21). Dressed falsificationism fails, in other words, for good Popperian reasons: it fails to expose substantial, influential, problematic assumptions to criticism within science.
3 Refutation of Bare Falsificationism
Here, then, in a little more detail, is my refutation of bare falsificationism. Given any accepted physical theory, at any stage in the development of physics, however empirically successful (however highly corroborated) Newtonian theory, say, or classical electrodynamics, quantum theory, general relativity, quantum electrodynamics, chromodynamics or the standard model there will always be endlessly many rival falsifiable theories that can easily be formulated which will fit the available data just as well as the accepted theory. Taking Newtonian theory (NT) as an example of an accepted theory, here are two examples of rival theories. NT*: "Everything occurs as NT asserts, until the first second of 2100, when an inverse cube law of gravitation will abruptly hold". NT**: "Everything occurs as NT asserts, except for systems consisting of gold spheres, each having a mass of 1,000 tons, interacting with each other gravitationally in outer space, in a vacuum, within a spherical region of 10 miles: for these systems, Newton's law of gravitation is repulsive, not attractive". (For further examples and discussion, see Maxwell, 1998, pp. 47 54). It is easy to see that there are infinitely many such rivals to NT, just as empirically successful (at the moment) as NT. The predictions of NT may be represented as points in a multi dimensional space, each point corresponding to some specific kind of system (there being infinitely many points). NT has only been verified (corroborated) for a minute region of this space. In order to concoct a (grossly ad hoc) rival to NT, just as empirically successful as NT, all we need do is identify some region in this space that includes no prediction of NT that has been verified, and then modify the laws of NT arbitrarily, for just that identified region.
The crucial question now is this: on what basis does bare falsificationism reject all these falsifiable but unfalsified rival theories? According to bare falsificationism, T2 is to be accepted in preference to T1 if T1 has been falsified, T2 has greater empirical content (is more falsifiable) than T1, T2 successfully predicts all that T1 successfully predicts, T2 successfully predicts the phenomena that falsified T1, and T2 successfully predicts new phenomena not predicted by T1 (see Popper, 1959, pp. 81 84 and elsewhere). Given NT, it is a simple matter to concoct rival theories, of the above type, that satisfy all the above bare falsificationist requirements for being more acceptable than NT. Most accepted physical theories yield empirical predictions that clash with experiments, and thus are ostensibly falsified. We can always concoct new theories, in the way just indicated, doctored to yield the "correct" predictions. We can add on independently testable auxiliary postulates, thus ensuring that the new theory has greater empirical content than the old one. And no doubt this excess content will be corroborated. For details of how this can be done see Maxwell (1998, pp. 52-54). Such theories are, of course, grossly ad hoc, grossly "aberrant" as I have called them; but they satisfy Popper's (1959) requirements for being better theories than accepted physical theories.
It is worth noting that such "better" theories need not be quite as wildly ad hoc as the ones indicated above; sometimes such theories are actually put forward in the scientific literature, and yet are not taken seriously, even by their authors, let alone by the rest of the scientific community. An example is an ad hoc version of NT put forward by Maurice Levy in 1890, which combined in an ad hoc way two distinct modifications of Newton's law of gravitation, one based on the way Weber had proposed Coulomb's law should be modified, the other based on the way Riemann had proposed Coulomb's law should be modified: for details see North (1965). By 1890, NT had been refuted by observation of the precession of the perihelion of the orbit of Mercury; attempts to salvage NT by postulating an additional planet, Vulcan, had failed. Levy's theory successfully predicted all the success of NT, and in addition successfully predicted the observed orbit of Mercury, just that which refuted NT; in addition, of course, it made predictions different from NT for further Sun Mercury type systems not yet observed. Despite this, Levy's theory was not taken seriously for a moment, not even by Levy himself. How can bare falsificationism recommend rejection of such ad hoc versions of NT when they satisfy all the requirements of bare falsificationism for being more acceptable theories? No adequate answer is forthcoming, and it is this which spells the downfall of bare falsificationism (as Popper may himself have realized when he put forward dressed falsificationism in his (1963), chapter 10).
Note, again, that this criticism of Popper has nothing justificational about it whatsoever: it simply points to the drastic failure of bare falsificationism to do justice to what actually goes on in physics.
It may be objected that ad hoc rivals to NT of the kind just considered are so silly, so crackpot, that they do not deserve to be taken seriously within physics.[5] This is of course correct. The crucial point, however, is that bare falsificationism ought to be able to deliver this verdict, and this it singularly fails to do. Bare falsificationism actually declares of appropriately concocted ad hoc rivals to NT that these are better, more acceptable than NT.
But can a criticism of Popper that appeals to such silly, crackpot theories be taken seriously? I have two replies to this question. First, not all the ad hoc or aberrant variants are entirely silly. Levy's theory is perhaps an example. There are degrees of ad hocness, from the utterly crackpot and absurd, to a degree of ad hocness, so slight, so questionable, in comparison, that the issue of whether the theory really is ad hoc or not may be hotly disputed by physicists themselves. (Such disputes arise especially during scientific revolutions.) This is an important point which will have a bearing on the argument of the next section. Second, it is, I submit, the very silliness of these crackpot theories that makes the above criticism of Popper so serious. If bare falsificationism favoured T1 over T2, while most scientists favoured T2 over T1, even though admitting that T1 is nevertheless a good theory, almost as acceptable as T2, bare falsificationism would not be in such trouble. What is lethal for bare falsificationism is that it declares T1 to be better than T2 in circumstances where scientists themselves (and all of us) can see that T2 is vastly superior to T1, T1 being grossly ad hoc, aberrant, wholly crackpot and silly. Bare falsificationism favours theories that receive, and deserve, instant rejection: there could scarcely be a more decisive falsification of falsificationism than that.
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4 Refutation of Dressed Falsificationism
Having argued that Popper's (1959) bare falsificationism is untenable, I turn my attention now to Popper's (1963, chapter 10) doctrine of dressed falsificationism. As I have mentioned, this adds onto the (1959) doctrine Popper's new "requirement of simplicity (Popper, 1963, p. 241): see section 2 above.
As long as there is no serious ambiguity as to what proceeding "from some simple, new, and powerful, unifying idea" means, it is at once clear that the new doctrine is able to exclude from science all the empirically successful but ad hoc, aberrant, crackpot, silly theories, of the kind discussed above. They do not proceed "from some simple...unifying idea", and are to be rejected on that account, whatever their empirical success may be, even if this empirical success is greater than accepted scientific theories.
However, adopting Popper's new "principle of simplicity" as a basic methodological principle of science has the effect of permanently excluding from science all ad hoc theories that fail to satisfy the principle, however empirically successful such theories might be if considered. This amounts to assuming permanently that the universe is such that no ad hoc theory, that fails to satisfy Popper's principle of simplicity, is true. It amounts to accepting, as a permanent item of scientific knowledge, the substantial metaphysical thesis that the universe is non ad hoc, in the sense that no theory that fails to satisfy Popper's principle of simplicity is true, however empirically successful it might turn out to be if considered. But this, of course, clashes with Popper's criterion of demarcation: that no unfalsifiable, metaphysical thesis is to be accepted as a part of scientific knowledge. If the demarcation principle is upheld, then the metaphysical thesis just indicated, asserting that the universe is non ad hoc, remains implicit in the permanent adoption of Popper's principle of simplicity as a basic methodological principle of science. (And this is the way Popper himself seems to have conceived the matter: he says of metaphysical research programmes that they are "often held unconsciously", and "are implicit in the theories and in the attitudes and judgements of the scientists": (Popper, 1982, p. 161).) But in leaving the metaphysical thesis of non ad hocness implicit in the methodological principle of simplicity, science violates an elementary requirement for rationality, already mentioned, according to which "assumptions that are substantial, influential, problematic and implicit need to be made explicit, so that they can be critically assessed and so that alternatives may be put forward and considered, in the hope that such assumptions can be improved" (Maxwell, 1998, p. 21). The non ad hoc metaphysical assumption may, after all, be false. We may need to adopt a modified version of the assumption. It may be essential for the progress of science that this assumption is modified. Just this turns out to be the case, given certain formulations of the assumption, as we shall see below. In leaving the non ad hoc metaphysical assumption implicit in the adoption of the methodological principle of simplicity, dressed falsificationism protects this substantial, influential and highly problematic assumption from criticism, from the active consideration of alternatives.[6]
Dressed falsificationism fails, in other words, for good Popperian reasons: it is either inconsistent (in that the untestable, metaphysical thesis that the universe is non-ad hoc is held to be a part of conjectural scientific knowledge, in conflict with the principle of demarcation), or it irrationally protects an implicit, substantial assumption from explicit criticism within the intellectual domain of science.
Here again, it should be noted, there is nothing justificationist about this criticism of Popper's dressed falsificationism. On the contrary, what the argument shows is that dressed falsificationism protects a substantial, influential, problematic but implicit assumption from criticism within science: Popper's doctrine fails for the good Popperian reason of restricting criticism.
It may be objected that adopting Popper's methodological principle of simplicity does not commit science to making a substantial metaphysical assumption about the universe namely, that it is such that no falsifiable theory, however empirically successful, which fails to satisfy the principle, is true. But I do not see how such an objection can be valid. Suppose, instead of adopting Popper's principle, science adopted the principle: in order to be acceptable, a new physical theory must postulate that the universe is made up of atoms. This methodological principle is upheld in such a way that even though theories are available which postulate fields rather than atoms, and which are much more empirically successful than any atomic theory, nevertheless these rival field theories are all excluded from science. Would it not be clear that science, in adopting and implementing the methodological principle of atomicity in this way, is making the assumption that the universe is made up of atoms, whether this is acknowledged or not? How can this be denied? Just the same holds if science adopts and implements Popper's methodological principle of simplicity.
Popper might have tried to wriggle out of accepting this conclusion by pointing to the fact that he only declared that a new theory, in order to be acceptable, "should" proceed from some simple, unifying idea. It is desirable, but not essential, that new theories should satisfy this principle. The principle is relevant to the context of discovery, perhaps, but not to the context of acceptance and rejection. (It is a heuristic principle, not a methodological one.) But if Popper's doctrine is interpreted in this way, it immediately fails to overcome the objections spelled out in section 3 above. Either falsificationism adopts Popper's principle of simplicity as a methodological principle, or it does not. If it does, it encounters the objections just indicated; if it does not, it encounters the objections of section 3.
5 From Falsificationism to Aim-Oriented Empiricism
The conclusion to be drawn from the argument so far is that science is more rational, more intellectually rigorous, if it makes explicit, as a criticizable tenet of (conjectural) scientific knowledge, that substantial, influential and problematic metaphysical thesis which is implicit in the way physics persistently rejects ad hoc theories, however empirically successful they may be. At once two important new problems leap to our attention. What, precisely, does this metaphysical thesis assert? And on what grounds is it to be (conjecturally) accepted as a part of scientific knowledge? The conception of science which I uphold as a radical improvement over Popper's falsificationism, namely aim oriented empiricism (AOE), is put forward as the solution to these two problems. I now expound AOE (in a little more detail than the introductory exposition of section 1) and indicate how it solves the two problems just mentioned; I indicate further how it solves the methodological problem of induction and the related problem of simplicity, and then consider possible objections.
As far as the first of the above two problems is concerned, a wide range of metaphysical theses are available. As I indicated in section 3 above, ad hoc theories range from the utterly crackpot and silly, to theories that are only somewhat lacking in simplicity or unity. At one extreme, we might adopt a metaphysical thesis that excludes only utterly silly theories; at the other extreme, we might adopt the thesis that the universe is physically comprehensible in the sense that it has a unified dynamic structure, some yet to be discovered unified physical "theory of everything" being true a thesis that I shall call "physicalism". We might even adopt some specific version of physicalism, which asserts that the underlying physical unity is of a specific type: it is made up of a unified field perhaps, or a quantum field, or empty topologically complex curved space time, or a quantum string field. Other things being equal, the more specific the thesis (and thus the more it excludes) so the more likely it is to be false, whereas the more unspecific it is so the more likely it is to be true.
As far as the second of the above two problems is concerned, there are four considerations that we can appeal to, three wholly Popperian in spirit if not in the letter of Popperian doctrine.
(1) If some metaphysical thesis, M, is implicit in some scientific methodological practice, then science is more rigorous if M is made explicit, since this facilitates criticism of it, the consideration of alternatives.
(2) A metaphysical thesis may be such that its truth is a necessary condition for it to be possible for us to acquire knowledge: if so, accepting the thesis can only help, and cannot undermine, the pursuit of knowledge of truth.
(3) Given two rival metaphysical theses, M1 and M2, it may be the case that M1 supports an empirical scientific research programme that has apparently met with far greater empirical success than any rival empirical research programme based on M2: in this case we may favour M1 over M2, at least until M2, or some third thesis, M3, shows signs of supporting an even more empirically progressive research programme.
(4) M1 may be preferred to M2 on the grounds that it gives greater promise of supporting an empirically progressive research programme.
The arguments of sections 3 and 4 have established that physics must accept (conjecturally) some kind of metaphysical thesis of non ad hocness, if crackpot theories are to be excluded: it makes sense to adopt that thesis which seems to be the most fruitful in promoting scientific progress. (To say that M1 "supports" an empirically successful research programme is to say that the programme develops a succession of theories, each empirically more successful than its predecessors, in a Popperian sense, and each being closer to exemplifying, to being a precise, testable instantiation of, M1 than its predecessors.)
Two difficulties arise, however, when one attempts to use (2) and (3) to select the best available metaphysical thesis from the infinitely many options available. First, as far as (2) is concerned, any thesis sufficiently substantial to exclude empirically successful crackpot theories from science is such that acquisition of knowledge might still be possible even if the thesis is false. On the other hand, any thesis such that its truth is necessary for knowledge to be acquired is much too insubstantial to exclude crackpot theories. Second, as far as (3) is concerned, given any metaphysical thesis, M, that supports a non crackpot empirically progressive scientific research programme, we can mimic this with a crackpot M* that supports a crackpot empirically progressive research programme, with a series of crackpot theories, T1*, T2*, ..., these theories becoming progressively more and more empirically successful, and closer and closer to exemplifying M*.
These two difficulties can be overcome, however, if physics is construed as adopting a hierarchy of metaphysical conjectures concerning the comprehensibility and knowability of the universe, these conjectures becoming more and more insubstantial as one ascends the hierarchy, more and more likely to be true: see diagram. At level 7 there is the thesis that the universe is such that we can continue to acquire knowledge of our local circumstances, sufficient to make life possible. At level 6 there is the more substantial thesis that there is some rationally discoverable thesis about the nature of the universe which, if accepted, makes it possible progressively to improve methods for the improvement of knowledge. "Rationally discoverable", here, means at least that the thesis is not an arbitrary choice from infinitely many analogous theses. At level 5 we have the even more substantial thesis that the universe is comprehensible in some way or other, whether physically or in some other way. This thesis asserts that the universe is such that there is something (God, tribe of gods, cosmic goal, physical entity, cosmic programme or whatever), which exists everywhere in an unchanging form and which, in some sense, determines or is responsible for everything that changes (all change and diversity in the world in principle being explicable and understandable in terms of the underlying unchanging something). A universe of this type deserves to be called "comprehensible" because it is such that everything that occurs, all change and diversity, can in principle be explained and understood as being the outcome of the operations of the one underlying something, present throughout all phenomena. At level 4 we have the still more substantial thesis that the universe is physically comprehensible in some way or other (a thesis I shall call physicalism[7] ). This asserts that the universe is made up one unified self-interacting physical entity (or one kind of entity), all change and diversity being in principle explicable in terms of this entity. What this amounts to is that the universe is such that some yet-to-be-discovered unified physical theory of everything is true. At level 3, we have an even more substantial thesis, the best, currently available specific idea as to how the universe is physically comprehensible. This asserts that everything is made of some specific kind of physical entity: corpuscle, point-particle, classical field, quantum field, convoluted space-time, string, or whatever. Because the thesis at this level is so specific, it is almost bound to be false (even if the universe is physically comprehensible in some way or other). Here, ideas evolve with evolving knowledge. At level 2, we have our best fundamental physical theories, currently general relativity and the so-called standard model, and at level 1 we have empirical data (low level experimental laws).
The thesis at the top of the hierarchy, at level 7, is such that, if it is false, knowledge cannot be acquired whatever is assumed. This thesis is, quite properly, accepted as a permanent part of scientific knowledge, in accordance with (2) above, since accepting it can only help, and cannot hinder, the acquisition of knowledge whatever the universe is like.
I have two arguments (appealing to (4) above) for the acceptance of the thesis of meta-knowability, at level 6.
(i) Granted that there is some kind of general feature of the universe which makes it possible to acquire knowledge of our local environment (as guaranteed by the thesis at level 7), it is reasonable to suppose that we do not know all that there is to be known about what the nature of this general feature is. It is reasonable to suppose, in other words, that we can improve our knowledge about the nature of this general feature, thus improving methods for the improvement of knowledge. Not to suppose this is to assume, arrogantly, that we already know all that there is to be known about how to acquire new knowledge. Granted that learning is possible (as guaranteed by the level 7 thesis), it is reasonable to suppose that, as we learn more about the world, we will learn more about how to learn. Granted the level 7 thesis, in other words, meta-knowability is a reasonable conjecture.
(ii) Meta-knowability is too good a possibility, from the standpoint of the growth of knowledge, not to be accepted initially, the idea only being reluctantly abandoned if all attempts at improving methods for the improvement of knowledge fail.
These two arguments for accepting meta-knowability are, admittedly, weak. It is crucial, however, that these two arguments make no appeal to the success of science, for a reason that will become apparent in a moment.
The thesis that the universe is comprehensible, at level 5 is accepted because no rival thesis, at that level, has been so fruitful in leading to empirically progressive research programmes. It is hardly an exaggeration to say that all empirically successful research programmes into natural phenomena have been organized around the search for explanatory theories, of one kind or another. Aberrant rivals to the thesis of comprehensibility, which might be construed as supporting aberrant empirically successful research programmes, are rejected because of incompatibility with the thesis of meta-knowability at level 6. Such rival ideas are not "rationally discoverable" in that each constitutes an arbitrary choice from infinitely many equivalent rivals.
Physicalism at level 4 is accepted because it is by far the most empirically fruitful thesis at that level that is compatible with the thesis of comprehensibility, at level 5.
Since the scientific revolution of the 17th century, all new fundamental physical theories have enhanced overall unity of theoretical physics. Thus Newtonian theory (NT) unifies Galileo's laws of terrestrial motion and Kepler's laws of planetary motion (and much else besides). Maxwellian classical electrodynamics, (CEM), unifies electricity, magnetism and light (plus radio, infra red, ultra violet, X and gamma rays). Special relativity (SR) brings greater unity to CEM (in revealing that the way one divides up the electromagnetic field into the electric and magnetic fields depends on one's reference frame). SR is also a step towards unifying NT and CEM in that it transforms space and time so as to make CEM satisfy a basic principle fundamental to NT, namely the (restricted) principle of relativity. SR also brings about a unification of matter and energy, via the most famous equation of modern physics, E = mc2, and partially unifies space and time into Minkowskian space-time. General relativity (GR) unifies space-time and gravitation, in that, according to GR, gravitation is no more than an effect of the curvature of space-time. Quantum theory (QM) and atomic theory unify a mass of phenomena having to do with the structure and properties of matter, and the way matter interacts with light. Quantum electrodynamics unifies QM, CEM and SR. Quantum electroweak theory unifies (partially) electromagnetism and the weak force. Quantum chromodynamics brings unity to hadron physics (via quarks) and brings unity to the eight kinds of gluon of the strong force. The standard model unifies to a considerable extent all known phenomena associated with fundamental particles and the forces between them (apart from gravitation). The theory unifies to some extent its two component quantum field theories in that both are locally gauge invariant (the symmetry group being U(1)XSU(2)XSU(3)). String theory, or M-theory, holds out the hope of unifying all phenomena. All these theories have been accepted because they progressively (a) increase the overall unity of theoretical physics and (b) increase the predictive power of physical theory, (a) being as important as (b). Physicalism is the key, persisting thesis of the entire research programme of theoretical physics since Galileo, and no obvious rival thesis, at that level of generality, can be substituted for physicalism in this research programme.
It may be asked: But how can this succession of theories reinforce physicalism when the totality of physical theory has always, up till now, clashed with physicalism? The answer: If physicalism is true, then all physical theories that only unify a restricted range of phenomena, must be false. Granted the truth of physicalism, and granted that theoretical physics advances by putting forward theories of limited but ever increasing empirical scope, then it follows that physics will advance from one false theory to another (as it has done: see point 7 of section 6 below), all theories being false until a unified theory of everything is achieved (which just might be true). The successful pursuit of physicalism requires progressive increase in both empirical scope and unity of the totality of fundamental physical theory. It is just this which the history of physics, from Galileo to today, exemplifies - thus demonstrating the unique fruitfulness of physicalism.
At level 3 that metaphysical thesis is accepted which is the best specific version of physicalism available, that seems to do the best justice to the evolution of physical theory. Two considerations govern acceptance of testable fundamental dynamical physical theories. Such a theory must be such that (i) it, together with all other accepted fundamental physical theories, exemplifies, or is a special case of, the best available metaphysical blueprint (at level 3), and physicalism (at level 4) to a sufficiently good extent, and (ii) it is sufficiently successful empirically (where empirical success is to be understood, roughly, in a Popperian sense).
How does this hierarchical view of AOE overcome the problems and difficulties, indicated above, that confront any view which holds that science makes just one, possibly composite metaphysical assumption, at just one level? Given the one-thesis view, it must remain entirely uncertain as to what the one thesis should be. If it is relatively contentful and precise, more or less equivalent to the current level 3 thesis of AOE, then it is all too likely that this is false, and will need to be replaced in the future. If it is relatively contentless and imprecise, equivalent to theses at levels 7 or 6, this will not be sufficiently precise to exclude empirically successful but grossly ad hoc, aberrant theories. Even the level 4 thesis of physicalism is both too contentful and precise, and not contentful and precise enough. Physicalism may be false, and may need to be revised. At the same time, physicalism lacks the potential heuristic power to suggest good new fundamental theories which the more precise and contentful theses at level 3 possess. All these difficulties are avoided by the hierarchical view of AOE, just because of the hierarchy of assumptions, graded from the relatively contentless, imprecise and permanent at the top, to the relatively contentful, precise and impermanent (but methodologically and heuristically fruitful) at the bottom.
Any one-thesis view faces the even more serious problem of how this one thesis is to be critically assessed, revised, and improved. The hierarchical view of AOE overcomes this problem by providing severe constraints on what is to be revised, and how this revision is to proceed. In the first instance, and only in quite exceptional circumstances, only the current level 3 thesis can be revised. This revision must
proceed, however, within constraints provided by the level 4 thesis of physicalism, on the one hand, and accepted, empirically successful level 2 theories, on the other hand. In a really exceptional situation, scientific progress might require the revision of the level 4 thesis of physicalism, but this too would proceed within the constraints of the thesis at level 5, and empirically successful theories at level 2, or empirically progressive research programmes at levels 2 and 3. The great merit of AOE is that it separates out what is most likely to be true from what is most likely to be false in the metaphysical assumptions of physics, and employs the former to assess critically, and to constrain, theses that fall into the latter category. It concentrates criticism and innovation where it is most likely to promote scientific progress.
Finally, any one-thesis view cannot, as we have seen, simultaneously call upon principles (1) to (4) to justify acceptance of the single thesis, whatever it may be. The hierarchical view of AOE is able to do just that. It can appeal to different principles, (1) to (4) above, to justify[8] (to provide a rationale for) acceptance of the different theses at the different levels of the hierarchy of AOE. Thus acceptance of the thesis at level 7 is justified by an appeal to (2); acceptance of theses at levels 3 to 5 are accepted as a result of (a) an appeal to (3), and (b) compatibility with the thesis above in the hierarchy. The thesis at level 6 is accepted as a result of an appeal to (4). Aberrant rivals to theses accepted at levels 3 to 5 (which might be construed to support aberrant, rival empirically progressive research programmes) are excluded on the grounds that these clash with the thesis at level (6). For further details of how AOE overcomes the two difficulties indicated above, and for further details of the view itself, see Maxwell (1998, chapter 5, and elsewhere).
It may be objected that AOE suffers from vicious circularity, in that acceptance of physical theories is justified by (in part) an appeal to physicalism, the acceptance of which is justified, in turn, by the empirical success of physical theory. My reply to this objection is that the level 6 thesis of meta-knowability asserts that the universe is such that this kind of circular methodology, there being positive feedback between metaphysics, methods, and empirically successful theories, is just what we need to employ in order to improve our knowledge. The thesis of meta-knowability, if true, justifies implementation of AOE. This response is only valid, of course, if reasons for accepting the level 6 thesis of meta-knowability do not themselves appeal to the success of science (which would just reintroduce vicious circularity at a higher level). As I made clear above, the two arguments given for accepting meta-knowability make no appeal to the success of science whatsoever.[9]
A basic idea of AOE is to channel or direct criticism so that it is as fruitful as possible, from the standpoint of aiding progress in knowledge. The function of criticism within science is to promote scientific progress. When criticism demonstrably cannot help promote scientific progress, it becomes irrational (the idea behind (2) above). In an attempt to make criticism as fruitful as possible, we need to try to direct it at targets which are the most fruitful, the most productive, to criticize (from the standpoint of the growth of knowledge). This is the basic idea behind the hierarchy of AOE. Conjectures at all levels remain open to criticism. But, as we ascend the hierarchy, conjectures are less and less likely to be false; it is less and less likely that criticism, here, will help promote scientific knowledge. The best currently available level 3 conjecture is almost bound to be false: the history of physics reveals, at this level, as I have indicated above, that a number of different conjectures have been adopted and rejected in turn. Here, criticism, the activity of developing alternatives (compatible with physicalism) is likely to be immensely fruitful for progress in theoretical physics. Indeed, in Maxwell (1998, pp. 78 89, 159 163 and especially 217 223), I argue that this provides physics with a rational, though fallible and non mechanical method for the discovery of new fundamental physical theories, a method invented and exploited by Einstein in discovering special and general relativity (Maxwell, 1993, pp. 275-305 ), something which Popper has argued is not possible: see Popper (1959, pp. 31 32). Criticizing physicalism, at level 4, may also be fruitful for physics, but (the conjecture of AOE is) that this is not as likely to be as fruitful as criticism at level 3. (Elsewhere I have suggested an alternative to physicalism: see Maxwell, 2005, pp. 198-205.) And, as we ascend the hierarchy (so AOE conjectures), criticism becomes progressively less and less likely to be fruitful. Against that, it must be admitted that the higher in the hierarchy we need to modify our ideas, so the more dramatic the intellectual revolution that this would bring about. If physicalism is rejected altogether, and some quite different version of the level 5 conjecture of comprehensibility is adopted instead, the whole character of natural science would change dramatically; physics, as we know it, might even cease to exist.
The biggest change, in moving from falsificationism to AOE, has to do with the role of metaphysics in science, and the scope of scientific knowledge. According to falsificationism, untestable metaphysical theses may influence scientific research in the context of discovery, and may even lead to metaphysical research programmes; they cannot, however, be a part of scientific knowledge itself. But according to AOE, the metaphysical theses at levels 3 to 7 are all a part of current (conjectural) scientific knowledge. In particular, physicalism is. According to AOE, it is a part of current scientific knowledge that the universe is physically comprehensible - certainly not the case granted falsificationism.
Another important change has to do with the relationship between science and the philosophy of science. Falsificationism places the study of scientific method, the philosophy of science, outside science itself, in accordance with Popper's demarcation principle. AOE, by contrast, makes scientific method and the philosophy of science an integral part of science itself. The activity of tackling problems inherent in the aims of science, at a variety of levels, and of developing new possible aims and methods, new possible more specific or less specific philosophies of science (views about what the aims and methods of science ought to be) is, according to AOE, a vital research activity of science itself. But this is also philosophy of science, being carried on within the framework of AOE.[10]
AOE differs in many other important ways from Popper's falsificationism, whether bare or dressed (see Maxwell, 1998). Nevertheless the impulse, the intellectual aspirations and values, behind the hierarchical view of AOE are, as I have tried to indicate, thoroughly Popperian in character and spirit. The whole idea is to turn implicit assumptions into explicit conjectures in such a way that criticism may be directed at what most needs to be criticized from the standpoint of aiding progress in knowledge, so that conjectures may be developed and adopted that are the most fruitful in promoting scientific progress, at the same time no substantial conjecture, implicit or explicit, being held immune from critical scrutiny.
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6 Aim-Oriented Empiricism an Improvement over Falsificationism
AOE is also, in a number of ways, a considerable improvement over Popper's falsificationism.
1. Consistency. Bare falsificationism fails dramatically to do justice to scientific practice, and is an inherently unworkable methodology, in any case. (In what follows I shall mostly ignore bare falsificationism as obviously untenable, and concentrate on comparing dressed falsificationism and AOE.) Dressed falsificationism does better justice to scientific practice, but at the cost of consistency; persistent rejection of empirically successful theories that do not "proceed from some simple...unifying idea" commits science to accepting a metaphysical thesis of simplicity as a part of scientific knowledge (though this is not recognized); this contradicts Popper's demarcation principle. AOE is free of such lethal defects.
2. Criticism. Pursuing physics in accordance with dressed falsificationism protects the implicit metaphysical thesis of simplicity from criticism within science itself, just because this thesis is metaphysical (and therefore not a part of science) and implicit (and therefore not available for sustained, explicit critical scrutiny). AOE, by contrast, is specifically designed to provide a framework of metaphysical assumptions and corresponding methodological rules within which level 3 metaphysical blueprints may be developed, and critically assessed, within science.
3. Rigour. Science pursued in accordance with AOE is more rigorous than science pursued in accordance with falsificationism. An elementary, but important requirement for rigour is that assumptions that are substantial, influential, problematic and implicit need to be made explicit so that they can be criticized, and so that alternatives can be considered. If the attempt is made to do science in accordance with falsificationism, bare or dressed, one substantial, influential and problematic assumption must remain implicit (as we have just seen), namely the metaphysical assumption that nature behaves as if simple or unified, no ad hoc theory being true. This is implicit in the adoption of the simplicity methodological principle of dressed falsificationism. AOE, by contrast, makes this implicit assumption explicit, and provides a framework within which rival versions can be proposed and critically assessed.
4. Simplicity. Falsificationism fails to say what the simplicity of a theory is. Bare falsificationism provides an account of simplicity in terms of falsifiability, but we have already seen that this account is untenable. Popper's (1963) "requirement of simplicity" appeals to a conception of simplicity or unity that is wholly in addition to falsifiability, but does not explain what the simplicity or unity of a theory is. It fails to explain how the simplicity of a theory can possibly be methodologically or epistemologically significant when a simple theory can always be made complex by a suitable change of terminology, and vice versa. Popper himself recognized the inadequacy of his simplicity requirement when he called it "a bit vague", said that "it seems difficult to formulate it very clearly", and acknowledged that it threatened to involve one in infinite regress (Popper, 1963, p. 241). By contrast, AOE solves the problems of explaining what the simplicity or unity of a theory is without difficulty. The totality of fundamental physical theory, T, is unified to the extent that its content exemplifies physicalism. The more the content of T departs from exemplifying physicalism, the more disunified T is.[11] Because what matters is content, not form, the way T is formulated is irrelevant to this way of assessing simplicity or unity. Falsificationism cannot avail itself of this way of assessing unity because it involves acknowledging that physicalism is a basic tenet of scientific knowledge, something which falsificationism denies. Within AOE, there is a second way in which the unity of T may be assessed: in terms of the extent to which the content of T exemplifies the best available level 3 metaphysical blueprint. This second conception of simplicity or unity evolves with the evolution of level 3 ideas. As we improve our ideas about how the universe is unified, with the advance of knowledge in theoretical physics, so non-empirical methods for selecting theories on the basis of simplicity or unity improve as well.
Thus current symmetry principles of modern physics, such as Lorentz invariance and gauge invariance, which guide acceptance of theory, are an advance over simplicity criteria upheld by Newton. This account of simplicity can be extended to individual theories in two ways. First, we may treat an individual theory as a candidate theory of everything. Second, given two individual theories, T1 and T2, and given the rest of fundamental theory, T, T1 is simpler than T2 iff T + T1 is simpler than T + T2, where the latter is assessed in one or other of the ways indicated above.[12]
It may be objected that this proposed solution to the problem of simplicity is circular: the unity of level 2 theory is explicated in terms of the unity of level 4 physicalism. But this objection is not valid. In order to solve the problem, it is not necessary to explicate what "simplicity" or "unity" mean; rather, what needs to be done is to show how theories can be partially ordered with respect to "simplicity" or "unity" in a way that does not depend on formulation. This is achieved by partially ordering theories in terms of how well their content exemplifies the content of physicalism, so that, roughly, the more the content of a theory violates the symmetries associated with the content of physicalism, the less unity it has. As long as physicalism is a meaningful thesis, and provides a formulation-independent way of partially ordering theories in the way indicated, this suffices to solve the problem. That physicalism embodies intuitive ideas of "unity" is a bonus. For a more detailed rebuttal of this objection, see Maxwell (1998, pp. 118-123; 2005, pp. 160-174).
5. Scientific Method. Dressed falsificationism acknowledge (correctly) that two considerations govern selection of theory in science, namely considerations that have to do with (a) evidence, and (b) simplicity. But because it cannot solve the problem of what simplicity is, dressed falsificationism cannot, with any precision, specify what methods are involved when theories are selected on the basis of simplicity. Nor can the view do justice to the way in which the methods of physics evolve with evolving knowledge, especially methods that assert that acceptable theories must satisfy this or that symmetry. In other words, falsificationism fails to solve what may be called the "methodological" problem of induction, the problem of specifying, merely, what the methods are that are employed by science in accepting and rejecting theories (leaving aside the further problem of justifying these methods given that the aim is to acquire knowledge). AOE, by contrast, solves the problem of simplicity, and thus can specify precisely what methods are involved when theories are selected on the basis of simplicity. Furthermore, AOE can do justice to evolving criteria of simplicity (as we have just seen), and hence evolving methods. According to AOE, the totality of fundamental physical theory, T, can be assessed with respect to how well its content exemplifies (i) the relatively fixed level 4 thesis of physicalism, or (ii) the evolving, best available level 3 thesis. Whereas (i) constitute fixed criteria of simplicity or unity (as long as physicalism is not modified), (ii) constitute evolving criteria, criteria of unity that improve with improving knowledge.
6. Evolving Aims and Methods. A point, briefly alluded to in 4 and 5 above, deserves further emphasis. As physics has evolved, from Newton's time to today, non-empirical methods, determining what theories will be accepted and rejected, have evolved as well. Newton, in his Principia, formulated four rules of reasoning, three of which are concerned with simplicity (Newton, 1962, vol 2, pp. 398-400). Principles that have been proposed since include: invariance with respect to position, orientation, time, uniform velocity, charge conjugation, parity, time-reversal; principles of conservation of mass, momentum, angular momentum, energy, charge; Lorentz invariance; Mach's principle, the principle of equivalence; principles of gauge invariance, global and local; supersymmetry; duality principles; the principle that different kinds of particle should be reduced to one kind, and different kinds of force should be reduced to one kind; the principle that space-time on the one hand, and particles-and-forces on the other, should be unified. All of these principles can be interpreted as methodological rules which specify requirements theories must meet in order to be accepted. They can also be interpreted as physical principles, making substantial assertions about such things as space, time, matter, force. Some, such as conservation of mass, parity, and charge conjugation, have been shown to be false; others, such as Mach's principle, have never been generally accepted; still others, such as supersymmetry, remain speculative.
Principles such as these, which can be interpreted either as physical assertions or as methodological principles, which are made explicit, developed, revised and, on occasions, rejected or refuted, are hard to account for within the framework of falsificationism. It is especially difficult, within this framework, to account for principles which (a) have a quasi a priori role in specifying requirements theories must satisfy in order to be accepted, but which at the same time (b) make substantial physical assertions about the nature of the universe. AOE, on the other hand, predicts the existence of such principles, with just the features that have been indicated. Accepted principles are components of the currently accepted level 3 blueprint. As the accepted blueprint evolves, these principles, interpreted either as physical or methodological principles, evolve as well. Indeed, according to AOE, these principles, and associated blueprints, do not just evolve; they are improved with improving theoretical knowledge. AOE provides a more or less fixed framework of relatively unproblematic assumptions and associated methods (at level 4 or above) within which highly problematic level 3 assumptions and associated methods may be improved in the light of the empirical success and failure of rival research programmes (which adopt rival level 3 assumptions and associated methods).
This can be reformulated in terms of aims and methods of physics. A basic aim of theoretical physics is to discover the true theory of everything. This aim can be characterized in a range of ways, depending on how broadly or narrowly "theory of everything" is construed, what degree of unity such a theory must have in order to be a theory at all, and thus how much metaphysics is built into, or is presupposed by, the aim so characterized. The aim might be construed in such a way that no more than the truth of the thesis at level 7, or at level 6, is presupposed. Or, more specifically, the truth of the thesis at level 5 might be presupposed, or even more specifically, the truth of physicalism at level 4; or a range of increasingly specific blueprints at level 3 might be presupposed. Corresponding to these increasingly specific aims there are increasingly restrictive methods. As the aim becomes more specific, so it becomes more problematic, in that the presupposed metaphysics becomes increasingly likely to be false, which would make the corresponding aim unrealisable. AOE can thus be construed as providing a kind of nested framework of aims and methods, the aims becoming, as one goes down the hierarchy, increasingly problematic, and vulnerable to being unrealisable in principle, because the presupposed metaphysics is false. Within the framework of relatively unspecific, unproblematic, permanent aims and methods (high up in the hierarchy) much more specific, problematic, fallible aims and methods (low down in the hierarchy) can be revised and improved in the light of improving knowledge. There is, as I have already in effect said, something like positive feedback between improving scientific knowledge and improving aims and methods. As knowledge improves, knowledge-about-how-to-improve-knowledge improves as well. This capacity of science to adapt itself - its aims and methods (its philosophy of science) - to what it finds out about the universe is, according to AOE, the methodological key to the astonishing progressive success of science. Falsificationism, with its fixed aim and fixed methods, is quite unable to do justice to this positive feedback, meta-methodological feature of science, this capacity of science to learn about learning as it proceeds.
7. Verisimilitude. The so-called problem of verisimilitude arises because physics usually proceeds from one false theory to another, thus rendering obscure what it can mean to say that science makes progress. Popper (1963, chapter 10 and Addenda) tried to solve this problem within the framework of falsificationism but, as Miller (1974) and Tichy (1974) have shown, this attempted solution does not work. Not only does falsificationism fail to specify properly the methods that make progress in theoretical physics possible; it fails even to say what progress in theoretical physics means.
AOE solves the problem without difficulty. First, the fact that physics does proceed from one false theory to another, far from undermining physicalism, and hence AOE as well, is just the way theoretical physics must proceed, granted physicalism (as I have already indicated). For, granted physicalism, any theory, T*, which captures precisely how phenomena evolve in some restricted domain, must be generalizable to cover all phenomena. If T* cannot be so generalized then, granted physicalism, it cannot be precisely true. In so far as physics proceeds by developing theories which apply to restricted, but successively increasing, domains of phenomena, it is bound (granted physicalism) to proceed by proposing one false theory after another.
Second, AOE solves the problem of what it can mean to say that theories, T0, ... TN, get successively closer and closer to the true theory-of-everything, T, as follows. For this we require that TN can be "approximately derived" from T (but not vice versa), TN-1 can be "approximately derived" from TN (but not vice versa), and so on down to T0 being "approximately derivable" from T1 (but not vice versa).
The key notion of "approximate derivation" can be indicated by considering a particular example, the "approximate derivation" of Kepler's law that planets move in ellipses around the sun (K) from Newtonian theory (NT).
The "derivation" is done in three steps. First, NT is restricted to N body systems interacting by gravitation alone within some definite volume, no two bodies being closer than some given distance r. Second, keeping the mass of one object constant, we consider the paths followed by the other bodies as their masses tend to zero. According to NT, in the limit, these paths are precisely those specified by K for planets. In this way we recover the form of K from NT. Third, we reinterpret this "derived" version of K so that it is now taken to apply to systems like that of our solar system. (It is of course this third step of reinterpretation that introduces error: mutual gravitational attraction between planets, and between planets and the sun, ensure that the paths of planets, with masses greater than zero, must diverge, however slightly, from precise Keplerian orbits.)
Quite generally, we can say that Tr-1 is "approximately derivable" from Tr if and only if a theory empirically equivalent to Tr-1 can be extracted from Tr by taking finitely many steps of the above type, involving (a) restricting the range of application of a theory, (b) allowing some combination of variables of a theory to tend to zero, and (c) reinterpreting a theory so that it applies to a wider range of phenomena.
This solution to the problem of what progress in theoretical physics means requires AOE to be presupposed; it does not work if falsificationism is presupposed. This is because the solution requires one to assume (a) that the universe is such that a yet-to-be-discovered, true theory of everything, T, exists, and (b) current theoretical knowledge can be approximately derived from T. Both assumptions, (a) and (b), are justified granted AOE; neither assumption is justifiable granted falsificationism.[13]
8. Discovery of New Fundamental Theories. Given falsificationism, the discovery of new fundamental physical theories that turn out, subsequently, to meet with great empirical success, is inexplicable. (One thinks here of Newton's discovery of his mechanical theory and theory of gravitation, Maxwell's discovery of classical electromagnetism, Einstein's discovery of the special and general theories of relativity, Bohr's discovery of "old" quantum theory, Heisenberg's and Schrödinger's discovery of "new" quantum theory, Dirac's discovery of the relativistic quantum theory of the electron and, in more recent times, the discovery of quantum electrodynamics, the electroweak theory, quantum chromodynamics and the standard model.) Granted that a new theory is required to explain a range of phenomena, there are, on the face of it, infinitely many possibilities. In the absence of rational guidance towards good conjectures, it would seem to be infinitely improbable that anyone should, in a finite time, be able to come up with a theory that successfully predicts new phenomena. The only guidance that falsificationism can provide is to think up new theories that "proceed from some simple, new, and powerful, unifying idea", in accordance with Popper's (1963) requirement of simplicity, but this is so vague and ambiguous as to be almost useless. Famously, Popper explicitly denied that a rational method of discovery is possible at all: see Popper (1959, p. 31). But if discovery is not rational, it becomes miraculous that good new theories are ever discovered. Scientific progress becomes all but inexplicable.
AOE, by contrast, provides physics with a rational, if fallible and non-mechanical, method for the discovery of new fundamental physical theories. This method involves modifying the current best level 3 blueprint so that:
(a) the new blueprint exemplifies physicalism better than its predecessor;
(b) the new blueprint promises, when made sufficiently precise to become a testable theory, to unify clashes between predecessor theories;
(c) the new theory promises to exemplify the new blueprint better than the predecessor theories exemplify the predecessor blueprint.
(a), (b) and (c) provide means for assessing how good an idea for a new theory is which do not involve empirical testing (which is brought in once the new theory has been formulated). The level 4 thesis of physicalism provides continuity between the state of knowledge before the discovery of the new theory, and the state of knowledge after this discovery. Modifying the current level 3 blueprint ensures that the new theory will be incompatible with its predecessors; it will postulate new kinds of entities, forces, space-time structure, and will exhibit new symmetries. In other words, because of the hierarchical structure of AOE, there is (across revolutions) both continuity (at level 4) and discontinuity (at levels 2 and 3), something that is not possible given falsificationism. AOE provides physics with specific non-empirical tasks to perform, specific non-empirical problems to be solved, and non-empirical methods for the assessment of ideas for new theories, all of which adds up to a rational, if fallible, method of discovery. It all stems from recognizing that physicalism is a part of current scientific knowledge. The discovery of new fundamental physical theories ceases to be inexplicable. None of this is possible granted falsificationism.[14]
The fact that AOE is able to provide a rational method of discovery, while falsificationism is not, is due to the greater rigour of AOE (a point mentioned in 3 above). AOE has greater rigour because AOE acknowledges, while falsificationism denies, metaphysical assumptions implicit in persistent scientific preference for simple, explanatory theories. It is precisely the explicit acknowledgement of these metaphysical assumptions which makes the rational method of discovery of AOE possible.
9. Diversity of Scientific Method. One striking feature of natural science, often commented on, is that different branches of the natural sciences have somewhat different methods. Experimental and observational methods, and methods or principles employed in constructing and assessing theories, vary as one moves from theoretical to phenomenological physics, from physics to chemistry, from astronomy to biology, from geology to ethology. Falsificationism can hardly do justice to this striking diversity of method within the natural sciences. Popper, indeed, tends to argue that there is unity of method, not only in natural science, but across the whole of science, including social science as well: see Popper (1961). AOE, by contrast, predicts diversity of method throughout natural science, overlaid by unity of method at a meta-methodological level. AOE can do justice to the diversity of methods to be found in diverse sciences, without underlying unity and rationality being sacrificed.
It is important to appreciate, first, that different branches of the natural sciences are not isolated from one another: they form an interconnected whole, from theoretical physics to molecular biology, neurology and the study of animal behaviour. Different branches of natural science, even different branches of a single science such as physics, chemistry or biology, have, at some level of specificity, different aims, and hence different methods. But at some level of generality all these branches of natural science have a common aim, and therefore common methods: to improve knowledge and understanding of the natural world. All (more or less explicitly) put AOE into practice, but because different scientific specialities have different specific aims, at the lower end of the hierarchy of methods different specialities have somewhat different methods, even though some more general methods are common to all the sciences. Furthermore, all natural sciences apart from theoretical physics presuppose and use results from other scientific specialities, as when chemistry presupposes atomic theory and quantum theory, and biology presupposes chemistry. The results of one science become a part of the presuppositions of another, implicit in the aims of the other science (equivalent to the level 3 blueprint of physics, or the level 4 thesis of physicalism). This further enhances unity throughout diversity, and helps explain the need for diversity of method.
But in order to exhibit the rationality of the diversity of method in natural science, apparent in the evolution of methods of a single science, and apparent as one moves, at a given time, from one scientific speciality to another, it is essential to adopt the meta-methodological, hierarchical standpoint of AOE, which alone enables one to depict methodological unity (high up in the hierarchy) throughout methodological diversity (low down in the hierarchy). Falsificationism, lacking this hierarchical structure, cannot begin to do justice to this key feature of scientific method, diversity at one level, unity at another; nor can it begin to do justice to the rational need for this feature of scientific method.
There is a further, important point. Any new conception of science which improves our understanding of science ought to enable us to improve scientific practice. It would be very odd if our ability to do science well were wholly divorced from our understanding of what we are doing. A test for a new theory of scientific method ought to be, then, that it improves scientific practice, and does not merely accurately depict current practice. AOE passes this test. In providing a framework for the articulation and scrutiny of level 3 metaphysical blueprints, as an integral part of science itself, thus providing a rational means for the development of new non-empirical methods, new symmetry principles, and new theories, AOE advocates, in effect, that current practice in theoretical physics be modified. AOE makes explicit what is at present only implicit. And more generally, in depicting scientific method in a hierarchical, meta-methodological fashion, AOE has implications for method throughout the natural sciences, and not just for theoretical physics.
In case it should seem miraculous that science has made progress without AOE being generally understood and accepted, I should add that good science has always put something close to AOE into practice in an implicit, somewhat covert way, and it is this which has made progress possible.
7 Thomas Kuhn
As I remarked in section 1 above, the main difference between Kuhn's (1962, 1970) picture of science and Popper's is that, whereas Kuhn stresses that, within normal science, paradigms are dogmatically protected from refutation, from criticism, Popper holds that theories must always be subjected to severe attempted refutation. AOE is even more Popperian than Popper's falsificationism, in that AOE exposes to criticism assumptions that falsificationism denies, and thus shields from criticism. One might think, therefore, that AOE would differ even more from Kuhn's picture of science than falsificationism does.
It is therefore rather surprising that exactly the opposite is the case. In some important respects, AOE is closer to Kuhn than to Popper.
The picture of science that emerges from Kuhn (1970) may be summarized like this. There are three stages to consider. First, there is a pre-scientific stage: the discipline is split into a number of competing schools of thought which give different answers to fundamental questions. There is debate about fundamental questions between the schools, but no overall progress, and no science.
Second, the ideas of one such school begin to meet with empirical success; these ideas become a "paradigm", and the pre-scientific school becomes normal science (competing schools withering away). Within normal science, no attempt is made to refute the paradigm (roughly, the basic theory of the science); indeed, the paradigm may be accepted even though there are well known apparent refutations. When the paradigm fails to predict some phenomenon, it is not the paradigm, but the skill of the scientist, that is put to the test. The task of the normal scientist is to solve puzzles, rather than problems. The paradigm specifies what is to count as a solution, specifies what methods are to be employed in order to obtain the solution, and guarantees that the solution exists: these are all characteristics of puzzles rather than open-ended problems. The task is gradually to extend the range of application of the paradigm to new phenomena, textbook successes being taken as models of how to proceed. Methods devolve from paradigms.
Third, the paradigm begins to accumulate serious failures of prediction; these resist all attempts at resolution, and some scientists lose faith in the capacity of the paradigm to overcome these "anomalies". A new paradigm is proposed, which does resolve these recalcitrant anomalies, but which may not, initially, successfully predict all that the old paradigm predicted. Empirical considerations do not declare that the new paradigm is, unequivocally, better than the old. Normal science gives way to a period of revolutionary science. Scientists again debate fundamentals, arguments for and against the rival paradigms often presupposing what they seek to establish. Rationality breaks down. If the revolution is successful, the new paradigm wins out, and becomes the basis for a new phase of normal science. Many old scientists do not accept the new paradigm; they die holding onto their convictions.
Kuhn argues that the dogmatic attitude inherent in normal science is necessary if science is to make progress. Applying a paradigm to new phenomena, or to old phenomena with increasing accuracy, is often extremely difficult. If every failure was interpreted as a failure of the paradigm, rather than of the scientist, paradigms would be rejected before their full range of successful application had been discovered. By refusing to reject a paradigm until the limits of its successes have been reached, scientists put themselves into a much better position to develop and apply a new paradigm. For reasons such as these, normal science, despite being ostensibly designed to discover only the expected, is actually uniquely effective in disclosing novelty. Popper (1970), in criticizing Kuhn on normal science, ignored these arguments in support of the necessity of normal science for scientific progress.
AOE holds that much scientific work ought indeed to resemble Kuhn's normal science, in part for reasons just indicated. But there are even more important considerations. According to AOE, and in sharp contrast with falsificationism, theoretical physics accepts a level 3 metaphysical blueprint, which exercises a powerful constraint on what kind of new theories physicists can try to develop, consider or accept. The blueprint has a role reminiscent, in some respects, of Kuhn's paradigm, and theoretical physics, working within the constraints of the blueprint, its non-empirical methods set by the blueprint, has some features of Kuhn's normal science.
Furthermore, according to AOE, other branches of natural science less fundamental than theoretical physics invariably presuppose relevant parts of more fundamental branches. Thus chemistry presupposes relevant parts of atomic theory and quantum theory; biology relevant parts of chemistry; astronomy relevant parts of physics. Such presuppositions of a science have a role, for that science, that is analogous to the role that the current level 3 blueprint, or the level 4 thesis of physicalism, has for theoretical physics. The presuppositions act as a powerful constraint on theorizing within the science. They set non-empirical methods for that science. Such presuppositions have a role, in other words, which is similar, in important respects, to Kuhn's paradigms. Viewed from an AOE perspective, one can readily see how and why much of science is Kuhnian puzzle-solving rather than Popperian problem-solving.
There are also, it must be emphasized, major differences between Kuhn and AOE. The chief difference is that, according to AOE, science has a paradigm for paradigms - to put it in Kuhnian terms. In order to be acceptable, level 3 blueprints must exemplify the level 4 thesis of physicalism (which in turn must exemplify the level 5 thesis of comprehensibility and so on, up to level 7). This means that, as long as physicalism continues to be accepted as the best available level 4 thesis for science, metaphysical blueprints can be assessed in a quasi non-empirical way, in terms of how well they accord with physicalism. Natural science is, according to AOE, one sustained, gigantic chunk of normal science, with physicalism as its paradigm. In this respect, AOE is more Kuhnian than Kuhn (in addition to being more Popperian than Popper!).
Like falsificationism, Kuhn's picture of science is hardly tenable. In the first place, it does not fit scientific practice very well. Normal science undoubtedly exists, as even Popper recognized; it may well be that most scientific activity has the character of Kuhn's normal science. But even when a discipline seems most like normal science, almost always there are a few scientists actively engaged in developing alternatives to the reigning paradigm. And on occasions, it is from the work of these few that a new paradigm, and a new phase of normal science springs, often in a way that is quite different from Kuhn's account. It is not obvious that accumulation of anomalies, resulting in a crisis in biology, led to Darwin's theory of evolution. Quantum theory did not emerge, initially, from a crisis in classical physics. Planck's work around 1900 on black body radiation engendered the quantum revolution. It is true that classical physics, applied to a so-called black body emitting electromagnetic radiation, made a drastically incorrect prediction, but no one, not even Planck, thought that this posed a serious problem for classical physics. The fallacious prediction of classical physics was dubbed "the ultra-violet catastrophe"; but this phrase was coined by Ehrenfest, after the quantum revolution was under way, around 1912, as propaganda for the new theory. It was Einstein who first recognized that Planck's work spelled the downfall of classical physics; but general recognition of this only came later, probably with Bohr's quantum theory of the atom, around 1913. Again, Einstein's general theory of relativity emerged, not because Newton's theory had accumulated anomalies and was in a state of crisis, but because it contradicted special relativity. Einstein sought a theory of gravitation compatible with special relativity, and it was this that led him to general relativity. These three revolutions, resulting in Darwinian theory, quantum theory and general relativity, are among the biggest and most important in the history of science; and yet they do not fit Kuhn's pattern.
Failure to fit scientific practice in detail does not, however, provide decisive grounds for rejecting a normative account of scientific method. One can always reply that the account specifies how science ought to proceed, not how it has in fact proceeded. Much more serious are the objections of principle to Kuhn's account. Kuhn, like Popper, provides no account of the creation of new paradigms. And given Kuhn's insistence that a new paradigm, after a successful revolution, is incommensurable with its pre-revolutionary predecessor, it would seem impossible to provide rational (if fallible) procedures for the creation of good new paradigms while maintaining consistency with the rest of Kuhn's views. Kuhn does allow that non-empirical criteria, or values, such as consistency and simplicity, are employed by science permanently (and therefore, presumably, across revolutions) to assess theories or paradigms; but Kuhn also emphasizes that these criteria are flexible, and open to different interpretations (Kuhn, 1970, p. 155; 1977, ch. 13). There is no account of what simplicity is, and no advance over Popper's "requirement of simplicity". Furthermore, Kuhn's appeal to simplicity faces the same difficulty we have seem arising in connection with Popper's appeal to simplicity. If "simplicity" is interpreted in such a way that it has real content, and is capable of excluding "complex" or disunified and aberrant theories or paradigms from science, then its permanent employment by science commits science to a permanent metaphysical assumption that persists through revolutions, something Kuhn explicitly rejects (and could not, in any case, provide a rationale for). If "simplicity" is interpreted sufficiently loosely and flexibly to ensure that no such metaphysical thesis is involved, invoking simplicity must fail to exclude complex, disunified, aberrant paradigms from science. Any Kuhnian requirement of simplicity, in short, must either be incompatible with the rest of Kuhn's views, or toothless and without content. Either way, Kuhn has no consistent method for excluding complex, aberrant paradigms from consideration. It should be noted that Kuhn is emphatic that no sense can be made of the idea that there is progress in knowledge across revolutions, the new paradigm being better, closer to the truth, than the old one: see Kuhn (1970, chapter XIII). But this is a disaster for Kuhn's whole view. Why engage in normal science if the end result is the rejection of all that has been achieved, all the progress in knowledge of that period of normal science being sacrificed when the science adopts a new paradigm? Kuhn's arguments for the progressive character of normal science, indicated above, are all defeated.
Perhaps the most serious objection to Kuhn's picture of science is the obvious basic unintelligence of its prescriptions for scientific research. Suppose we have the task of crossing on foot difficult terrain, containing ravines, cliffs, rivers, swamps, thickets. Kuhn's view, applied to this task, would be as follows. After debate about which route to follow (pre-science), one particular route is chosen and then followed with head down, no further consideration being given to changing the route (normal science). Eventually, this leads to an impasse: one comes face to face with an unclimbable cliff, or finds oneself waist deep in a swamp, and in danger of drowning (crisis). Finding oneself in these dire circumstances, a new route is taken (new paradigm), and again, with head down, this new route is blindly followed (normal science) until, again, one finds oneself unable to proceed, about to drown in a river, or tumble into a ravine.
This is clearly a stupid way to proceed. It would be rather more intelligent if, as one tackles immediate problems of wading through this stream, climbing down this scree (puzzle-solving of normal science), one looks ahead, whenever possible, and reconsiders, in the light of the terrain that has been crossed, what adjustments one needs to make to the route one has opted to follow. Exactly the same point holds for science. There can be division of labour. Even if a majority of scientists tackle the multitude of puzzles that go to make up normal scientific research, taking the current theory, or paradigm, for granted, there ought also to be some scientists who are concerned to look ahead, consider more fundamental problems, explore alternatives to the current paradigm. In this way new paradigms may be developed before science plunges deep into crisis. And just this does go on in scientific practice, as I have already indicated in the brief discussion of the work of Darwin and Einstein (and somewhat less convincingly, Planck). Another example of a new, revolutionary theory or paradigm being proposed in the absence of crisis is Wegener's advocacy of the movement of continents, anticipating the plate tectonic revolution by decades. Science is, in practice, more intelligent than Kuhn allows.
In sharp contrast to Kuhn, AOE does not merely stress the importance of "looking ahead", of trying to develop new theories, new paradigms before science has plunged into crisis; even more important, AOE provides a framework for theoretical physics (and therefore, in a sense, for the whole of natural science) within which ideas for fundamental new theories may be developed and assessed.
According to Kuhn, successful revolutions mark radical discontinuities in the advancement of science, to the extent, indeed, that old and new paradigms are "incommensurable" (i.e. so different that they cannot be compared). This Kuhnian view is most likely to be correct when applied to revolutions in fundamental theoretical physics, where radical discontinuity seems most marked. But it is precisely here that Kuhn's claim turns out to be seriously inadequate. As I have already emphasized, all revolutions in theoretical physics, despite their diversity in other respects, reveal one common theme: they are all gigantic steps in unification. From Newton, via Maxwell, Einstein, Bohr, Schrödinger and Dirac, to Salam, Weinberg and Gell-Mann, all new revolutionary theories in physics bring greater unity to physics. (And Darwinian theory, one might add, brings a kind of unity to the whole of biology.) The very phenomenon that Kuhn holds to mark discontinuity, namely revolution, actually also reveals continuity - continuity of the search for, and the successful discovery of, underlying theoretical unity.
This aspect of natural science, to which Kuhn fails entirely to do justice, is especially emphasized by AOE. According to AOE, revolutions in theoretical physics mark discontinuity at the level of theory, at level 2, and even discontinuity at level 3, but continuity at level 4. Physicalism, which asserts that underlying dynamic unity exists in nature, persists through revolutions - or, at least, has persisted through all revolutions in physics since Galileo. In order to make rational sense of natural science, we need to interpret the whole enterprise as seeking to turn physicalism, the assertion of underlying dynamic unity in nature, into a precise, unified, testable, physical "theory of everything". That, in a sentence, is what AOE asserts. Physicalism, according to AOE, despite its metaphysical (untestable) character, is the most secure item of theoretical knowledge in science; it is the most fruitful idea that science has come up with, at that level in the hierarchy of assumptions.
Because of its recognition that, despite the discontinuity of revolutions at levels 2 and 3, there is the continuity of the persistence of physicalism at level 4 (and of other theses at levels higher up in the hierarchy), AOE is able to resolve problems concerning the discovery and assessment of paradigms which Kuhn's view is quite unable to solve. Both fundamental physical theories, and level 3 blueprints, can be partially ordered with respect to how well they exemplify physicalism, entirely independent of ordinary empirical assessment. Assessing progress through revolution poses no problem for AOE. As we have seen, AOE solves the problem of verisimilitude.
I have already mentioned that AOE does not merely describe scientific practice; it carries implications as to how scientific practice can be improved. One such implication concerns scientific revolutions. Kuhn (1970) gives a brilliant description of the way, during a scientific revolution, there is a breakdown of rationality, competing arguments for the rival paradigms being circular, each presupposing what is being argued for. This is a feature of actual science. Scientists do not know how to assess competing theories objectively, when empirical considerations are inconclusive. But all this can be seen to be a direct consequence of trying to do science without persisting metaphysical assumptions concerning the comprehensibility of the universe, there thus being nothing available to constrain acceptance of theories when empirical considerations are inconclusive. Consider Kuhn's breakdown of rationality. A substantial revolution will involve, not just two rival paradigms or theories, T1 and T2, but two rival blueprints, B1 lurking behind T1, and B2 lurking behind B2. Granted B1, T1 is far more acceptable than T2, but the reverse granted B2. But B1 and B2, being untestable, metaphysical theses, are not explicitly discussable, and objectively assessable, within science: so they are more or less repressed, excluded from discussion. Nevertheless, scientists do think in terms of B1 and B2. Kuhn's Gestalt switch, involved in switching allegiance from T1 to T2, can be pin-pointed as the act of abandoning the old blueprint and adopting the new one. Non-empirical arguments in favour of T1 or T2 can only take the form of an appeal to B1 or B2, in however a muffled a way (due to the point that blueprints are not open to explicit discussion). Such arguments will be circular, and entirely unconvincing to the opposition, in just the way described by Kuhn. Accept B1, and T1 becomes the only possible choice; accept B2 and T2 is the only choice. Each side in the dispute is convinced that the other side is wrong, even incoherent. What needs to be done, and cannot be done, of course, is to discuss the relative merits of B1 and B2. Just this can be done, granted AOE. T1, B1, T2 and B2 can all be assessed from the standpoint of adequacy in exemplifying physicalism. When the scientific community adopts AOE, the Kuhnian irrationality of revolutions will disappear from science.
It may be asked: How is it possible for AOE to be both more Popperian than Popper, and more Kuhnian than Kuhn? The answer is that AOE is more Popperian that Popper in making explicit, and so criticizable, metaphysical theses which falsificationism denies, and thus leaves implicit and uncriticizable within science. But AOE is also more Popperian than Popper in insisting we need to exploit criticism critically, so that it furthers, and does not sabotage, the growth of knowledge. Criticism needs to be marshalled and directed at that part of our conjectural knowledge which it is, we conjecture, the most fruitful to criticize. This means directing critical fire at level 2 theories and level 3 blueprints, it being less likely, though still possible, that criticism of the level 4 thesis of physicalism will aid the growth of empirical knowledge. Physicalism has played an extraordinarily fruitful role in the advancement of scientific knowledge; it should not be abandoned unless an even more apparently fruitful idea is forthcoming, or unless the empirical and explanatory success that physicalism appears to have engendered turns out to be illusory. It is this persistence of physicalism, for good Popperian reasons, which gives to theoretical physics, and indeed to the whole of natural science, something of the character of Kuhn's normal science, with physicalism as its quasi-permanent "paradigm".
8 Imre Lakatos
Lakatos sought to reconcile the very different views of science held by Popper and Kuhn. According to Kuhn, far from seeking falsifications of the best available theory, as Popper held, scientists protect the accepted theory, or "paradigm", from refutation for most of the time, the task being to fit recalcitrant phenomena into the framework of the paradigm. Only when refutations become overwhelming, does crisis set in; a new paradigm is sought for and found, a revolution occurs, and scientists return to doing "normal science", to the task of reconciling recalcitrant phenomena with the new paradigm. Lakatos sought to reconcile Popper and Kuhn by arguing that science consists of competing fragments of Kuhnian normal science, or "research programmes", to be assessed, eventually, in terms of their relative empirical success and failure. Instead of research programmes running in series, one after the other, as Kuhn thought, research programmes run in parallel, in competition, this doing justice to Popper's demand that there should be competition between theories (a point emphasized especially by Feyerabend).[15] Lakatos became so impressed with the Kuhnian point that theories always face refutations, the empirical successes of a theory being a far more important guide to scientific progress than refutation, that he finally came to the conclusion that Popper's philosophy of science was untenable.
AOE has a number of features in common with Lakatos's methodology of scientific research programmes. AOE makes extensive use of the notion of scientific research programme. Like Lakatos's view, AOE exploits the idea that such research programmes can, sometimes, be compared with respect to how empirically progressive they are. AOE, again like Lakatos's view, sees the whole of science as a gigantic scientific research programme. And like Lakatos's view, AOE can be construed as synthesizing Popper's and Kuhn's views.
But there are also striking differences. There are differences in the way scientific research programmes are conceived, especially research programmes in fundamental physics. For Lakatos, main components of a research programme are the "hard core" (corresponding to Kuhn's "paradigm"), and the "protective belt" of "auxiliary hypotheses", which facilitate the application of the hard core to empirical phenomena. The main business of a research programme is to develop the protective belt, thus extending, and making more accurate, the empirical predictions of the hard core. The hard core is a testable theory rendered metaphysical by the methodological decision not to allow it to be refuted, refutations being directed at the protective belt rather than the hard core.
According to AOE, by contrast, the metaphysical kernel of a research programme is not a testable theory but rather a thesis that is genuinely metaphysical (i.e. more or less unspecific, and usually untestable) - a thesis such as the corpuscular hypothesis, Boscovich's point-atom blueprint, Einstein's unified field blueprint, and so on. The basic aim of the programme is to turn the relatively unspecific blueprint into a precise, testable (and true) physical theory. The research programme thus consists of a succession of theories, T1, T2,...Tn, which can be compared, not only with respect to empirical success, but also with respect to how adequately each theory encapsulates, or exemplifies, the blueprint of the programme. (The latter is not possible within a Lakatosian programme.) Whereas a Lakatosian programme has a fixed basic theory (or hard core), and seeks to improve auxiliary hypotheses (the protective belt), an AOE programme strives to capture the blueprint more and more adequately by means of testable physical theories.
Both Lakatos's view and AOE permit one to see natural science as one gigantic research programme, but how this programme is construed is very different. For Lakatos "science as a whole can be regarded as a huge research programme with Popper's supreme heuristic rule: 'devise conjectures with more empirical content than their predecessors'" (1970, p. 132). The huge research programme of natural science has, for Lakatos, no hard core; to this extent, Lakatos's view is a variant of Popper's.[16] According to AOE, however, if natural science is viewed as one gigantic research programme, then it does have something like a hard core. First, there is physicalism at level 4, a metaphysical but nevertheless substantial thesis about the nature of the universe. And then there is the current blueprint at level 3, an even more substantial metaphysical thesis about the nature of the universe. These provide severe constraints on what theories are acceptable that are not straightforwardly empirical,[17] something that is not possible given the views of Popper or Lakatos[18] (or even Kuhn).
Lakatos and AOE have very different motivations for taking scientific research programmes so seriously. For Lakatos, the motivation comes from appreciating that a scientific theory, T, cannot be decisively refuted at an instant, as it were, partly because auxiliary hypotheses can always be invented to salvage T from a refutation, partly because early applications of a new theory, such as Newton's, may make simplifying assumptions which may well lead to false predictions (the fault lying with the simplifying, auxiliary hypotheses rather than the basic theory). Only by looking at a series of theories, a given T1 (the hard core) plus changing auxiliary hypotheses (the protective belt), and comparing this with a rival series based on a different hard core, T2, and comparing the extent to which the two series are empirically progressive or degenerating, can one assess the relative empirical merits of T1 and T2. For AOE, the situation is very different. A research programme in theoretical physics consists of a blueprint, B, and a succession of theories, T1, T2...Tn (each equivalent to a Lakatosian hard core), successive attempts to capture B as a testable theory. If T1, T2...Tn are increasingly empirically successful (in a roughly Popperian sense) and also increasingly successful at capturing B, then this means that B is empirically fruitful. A rival blueprint, B*, might be such that the series T1, T2...Tn moves further and further away from B*: this would mean that B* is empirically sterile. A major part of the point of research programmes, for AOE, is to assess the relative empirical fruitfulness of rival metaphysical theses, at levels 3 and 4 (and above, if necessary). Though mostly untestable, nevertheless metaphysical theses can be assessed in a quasi-empirical way, in terms of the empirical progressiveness or degeneracy of the research programmes with which they are associated (or can be regarded as being associated).[19] This is, according to AOE, a key feature of scientific method, one which makes scientific progress possible. It makes it possible for improving theoretical knowledge to lead to a reassessment of what is the best available blueprint, which in turn leads to a reassessment of the best available non-empirical methodological rules, such as symmetry principles. In other words, it makes it possible for there to be positive feedback between improving knowledge and improving aims-and-methods (improving knowledge-about-how-to-improve-knowledge), a vital feature of scientific rationality according to AOE.
The differences indicated enable AOE to overcome problems which Lakatos's view cannot solve. Lakatos insists that there is no such thing as instant rationality: however apparently decisive the refutation of a theory may be, it is always possible to salvage it from refutation in a content increasing way by the invention of an appropriate auxiliary hypothesis. It is this consideration which leads Lakatos to argue that only series of theories, competing research programmes, can be assessed rationally, in terms of relative empirical progressiveness. But in practice in science there do seem to be instant refutations. A famous example is the refutation of parity. This is a symmetry which declares, roughly, that if a process can occur, then so can its mirror image. This was decisively refuted by Wu et al. (1957), by means of an experiment which showed that electrons were emitted in a preferential direction from cobalt nuclei undergoing radioactive decay in a magnetic field. Parity conservation implied that this would not occur. Strictly speaking, it was not parity conservation on its own that was refuted, but parity plus quantum theory plus the theory of weak interactions plus the theory of nuclear structure plus a highly theoretical description of the experiment. One would think there was plenty of scope, here, for auxiliary hypotheses to be invented to salvage parity from refutation. No such hypothesis was forthcoming; the refutation of parity conservation was accepted immediately by the physics community, despite strong resistance to accepting such a conclusion (because of the implausibility of supposing that nature distinguishes between left-handedness and right-handedness at the level of fundamental physical theory). Allan Franklin, who has produced what is probably the best account of the downfall of parity conservation, has put the matter like this: "It is fair to say that as soon as any physicist saw the experimental result they were convinced that parity was not conserved in the weak interactions" (Franklin, 1990, p. 66).[20] Scientific practice seems almost to refute Lakatos's view.
But it does not refute AOE. According to Lakatos, in the end only empirical considerations, plus considerations of empirical content, restrict choice of theory; few restrictions are placed on how a body of theory may be modified to salvage it from refutation. AOE places much more severe restrictions on choice of theory. In addition to those that it has in common with Lakatos's view, AOE demands of a fundamental physical theory that it, together with other such theories, exemplifies physicalism, to a sufficient degree. This makes it very much more difficult to modify a body of theory so as to salvage it from refutation. Instant refutation is not surprising, granted AOE.
Lakatos's view requires that science consists of competing research programmes. Unquestionably, the history of science reveals that competing research programmes have, on occasions existed. But it is not clear that all science has this character, as Lakatos's view would seem to require. After Heisenberg and Schrödinger had developed quantum theory in the mid 1920's, there continued to be debate about how the new theory should be interpreted, and whether the new theory, interpreted along the orthodox lines advocated by Bohr, Heisenberg and others, was ultimately acceptable. But there was nothing like a competing research programme. Viewed from the perspective of AOE, all this makes perfect sense. There were indeed serious grounds for regarding the new theory as unsatisfactory (see Maxwell, 1998, chapter 7). But the new theory had achieved such striking successes, it was rational to conjecture that progress lay in developing the new theory, applying it to new phenomena, reconciling it with special relativity - in doing something like Kuhnian normal science, in other words - rather than in trying to develop a rival theory, a rival research programme. (To say this is not to say that serious attention should not have been given to the theoretical defects of orthodox quantum theory.) Not only does the history of science fail to reveal that there are always competing research programmes; whenever a new theory arrives on the scene that meets with extraordinary empirical success and no refutation, no good rationale may exist for inventing a rival research programme. (As we have seen, unlike Popper's falsificationism and Lakatos's research programme view, AOE holds that something like Kuhn's normal science may well be rational, as long as it is accompanied by some sustained tackling of problems associated with the currently accepted blueprint. This may, eventually, but not immediately, lead to the development of a new fundamental theory, a new research programme.)
There are other, much more decisive ways in which AOE is an improvement over Lakatos's view. Lakatos's methodology of research programmes inherits a number of unsolved problems from its two sources, Popper and Kuhn. Like Popper and Kuhn, Lakatos has no solution to the problem of what the simplicity, unity or explanatory character of a theory, or hard core, is; AOE, as I have indicated briefly above, solves the problem without difficulty. In failing to say what simplicity is, Lakatos also fails to articulate with any precision that part of scientific method concerned with simplicity; AOE faces no difficulty here either. Like Popper and Kuhn, Lakatos can say nothing useful about how new theories, new hard cores, are created or discovered; AOE, as a result of including levels 3 and 4 within the domain of scientific knowledge, is able to specify a rational, if fallible and non-mechanical, method for the creation of new theories, even new fundamental theories of physics. Finally, Lakatos's view fails to solve the problem of verisimilitude, a problem which can be readily solved granted AOE.
Popper, Kuhn and Lakatos, despite their differences, have one big failure in common (the source of almost all the others). All three take for granted that:
(A) In science no untestable but nevertheless substantial thesis about the world can be accepted as a part of scientific knowledge in such a firm way that theories which clash with it, even if highly successful empirically, are nevertheless rejected.
Popper accepts (A) in that, for him, untestable theses are metaphysical, and therefore not a part of scientific knowledge. Kuhn holds it, because, for Kuhn, nothing theoretical survives a revolution. Kuhn's acceptance of (A) is also apparent in his whole treatment of revolutions: precisely because Kuhn accepts (A), Kuhn cannot invoke anything like the level 4 thesis of physicalism to assess rival paradigms during a revolution, when empirical considerations are inconclusive. The Kuhnian irrationality of revolutions is a consequence of scientists accepting (A); and in so far as Kuhn thinks this irrationality is inevitable, Kuhn accepts (A) as well.
A case could be made out for saying that Lakatos came near to rejecting (A) in arguing for the need for science to adopt a conjectural metaphysical inductive principle which, if true, would more or less guarantee that Popperian, or rather Lakatosian, methods deliver authentic theoretical knowledge.
But Lakatos here missed the fundamental point, central to AOE, and highly Popperian in spirit, that our current methods are all too likely to be more or less the wrong methods to adopt, the metaphysics implicit in these methods being false, there thus being a vital need, for scientific progress, to make the metaphysics explicit so that it can be criticized, so that alternatives can be developed and considered, leading to improved metaphysics and methods, this in turn requiring the development of a hierarchy of metaphysical theses to form a framework of relatively unproblematic theses within which more specific problematic theses may be developed and assessed.
Interestingly enough, Lakatos himself was aware of this deficiency in his "plea to Popper for a whiff of 'inductivism'" (1978, p. 159). Discussing his proposal that one should appeal to a metaphysical inductive principle as a conjecture as a part of the solution to the problem of induction, Lakatos says:
"Alas, a solution is interesting only if it is embedded in, or leads to, a major research programme; if it creates new problems - and solutions - in turn. But this would be the case only if such an inductive principle could be sufficiently richly formulated so that one may, say criticize our scientific game from its point of view. My inductive principle tries to explain why we 'play' the game of science. But it does so in an ad hoc, not in a 'fact-correcting (or, if you wish, 'basic value judgment correcting') way" (Lakatos, 1978, p. 164).
Lakatos highlights, here, the difference between his own position and that of AOE. The (revisable) AOE thesis of physicalism is indeed "sufficiently richly formulated so that one may...criticize our scientific game from its point of view". AOE not only offers a new research programme for the philosophy of science; it modifies the research programme of science, one modification being that the philosophy of science becomes an integral part of science itself. The passage above makes me wonder whether Lakatos might not have gone on to develop or endorse AOE if he had lived.
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Notes
[1]. The version of AOE defended here is a simplification and improvement of the version expounded in Maxwell (1998), in turn an improvement of versions of the view expounded in Maxwell (1972, 1974, 1979, 1984, 1993 and 1997). For summaries of (1998) see Maxwell (1999, 2000, 2002a, 2002b).
[2]. See Popper (1959, 1963, 1983)
[3]. See Lakatos (1970, 1978).
[4]. For Popper's replies to such criticisms: see Popper (1972), chapter 1; (1974), sections II and III; and (1983), Introduction and chapter 1.
[5]. Popper discusses such "silly" rival theories in Popper (1983, pp. 67-71). He argues that they deserve to be rejected on the grounds that they create more problems than they solve, problems of explanation. This is a relevant consideration granted dressed falsificationism, but not granted bare falsificationism. He also argues that it does not matter if such "silly" theories become potential rivals, since it can be left to scientists themselves to criticize them. But what this ignores is that it is precisely Popper's methodology which should be providing guidelines for such criticism. Far from condemning such a "silly" theory as worthy of rejecting, bare falsificationism holds such a theory to be better than the accepted theory (if it has greater empirical content, is not falsified where the accepted theory appears to be, and some of the excess content of the "silly" theory is corroborated). Popper fails to appreciate that it his methodology, not he himself, which needs to declare that silly theories are indeed "silly". The fact that his methodology declares these silly theories to be highly acceptable is a devastating indictment of his methodology. To argue that these silly theories, refuting instances of his methodology, do not matter and can be discounted, is all too close to a scientist arguing that evidence, that refutes his theory, should be discounted, something which Popper resoundingly condemns. The falsificationist stricture that scientists should not discount falsifying instances, ought to apply to methodologists as well!
[6]. In fact even the methodological rules of bare falsificationism are such that persistent application of these rules commits one to making implicit metaphysical assumptions (which may be false). Bare falsificationism, as formulated by Popper, requires of an acceptable theory that it is strictly universal in that it makes no reference to any specific time, place or object. This makes it impossible for science to discover that the laws of nature just are different within specific space-time regions, or that there is a specific object with unique dynamical properties. There is no scope, within bare falsificationism, for the rejection of these metaphysical theses, even though circumstances could conceivably arise such that progress in knowledge would require this. (AOE, by contrast, allows for this remote possibility: that which is dogmatically upheld by bare falsificationism becomes criticizable granted AOE.) Popper recognizes that the methodological rule requiring any theory to be strictly universal does have a metaphysical counterpart (1959, sections 11 and 79), but fails to appreciate how damaging this is for falsificationism.
[7]. Smart (1963) has used the term 'physicalism' to stand for the view that the world is made up entirely of physical entities of the kind postulated by fundamental physical theories - electrons, quarks and so on. As I am using the term, 'physicalism' stands for the very much stronger doctrine that the universe is physically comprehensible, that it is such that some yet-to-be-discovered, unified "theory of everything" is true.
[8]. This talk of "justifying" may seem thoroughly unPopperian in character, but it is not. What is at issue is not the justification of the truth, or probable truth, of some thesis, but only the justification of accepting the thesis (granted our aim is truth). Within Popper's falsificationism, there is just such a "justification" for accepting highly falsifiable (and unfalsified) theories: such theories, being most vulnerable to falsification, facilitate the discovery of error, and thus give the most hope of progress (towards truth). Acceptance of such theories is justified (according to falsificationism) because it promotes error detection and progress.
[9]. For a more detailed rebuttal of this objection see Maxwell (2005, pp. 207-210).
[10]. In holding that metaphysical theses and philosophies of science are an integral part of science itself, AOE implies that Popper's principle of demarcation (Popper, 1963, chapter 11) is to be rejected. Popper's demarcation proposal, apart from being untenable, is in any case too simplistic, in that it reduces to one a number of distinct demarcation issues. Popper rolls into one the distinct tasks of demarcating (a) good from bad science, (b) science from non-science, (c) science from pseudo-science, (d) rational from irrational inquiry, (e) knowledge from mere speculation, (f) knowledge from dogma (or superstition, or prejudice, or popular belief), (g) the empirical from the metaphysical, and (h) factual truth from non-factual (analytic) truth. (a) to (d) involve demarcating between disciplines, whereas (e) to (h) involve demarcating between propositions.
[11]. Dynamical theories are partially ordered with respect to the extent that they exemplify physicalism, with respect to their degree of unity, in other words. For further details see Maxwell (1998, chapter 4).
[12]. For a very much more detailed exposition of this solution of the problem of simplicity, together with an account of the way in which great unifying theories of physics illustrate the solution, see Maxwell (1998, chapters 3 and 4). See also Maxwell (2005, pp. 160-174).
[13]. It may be objected that if T is assumed to be the true unified theory of everything, no meaning can be given to the idea that theoretical physics is making progress, by means of a succession of false theories, to a more or less disunified theory of everything. But T does not need to be assumed to be unified; all that is required is that T is such that the notion of "partial derivation" from T makes sense. For further discussion of the inability of any standard empiricist view such as falsificationism to solve the problem of verisimilitude, and the ability to AOE to solve the problem, see Maxwell (1998, pp. 70-72, 211-217 and 226-227).
[14]. For further discussion of the method of discovery provided by AOE see Maxwell (1974, Part II; (1993, Part III); and (1998, pp. 159-163 and 219-223).
[15]. See Lakatos (1970, 1978). For Feyerabend's argument that severe testing requires the development of rival theories see Feyerabend (1965).
[16]. Granted Lakatos's overall view, the research programme of science cannot have a hard core, for then, in order to ensure Popperian severe testing, there would need to be a rival research programme with a rival hard core - and that would mean the original research programme was not the whole of science. Actually, Lakatos is not quite consistent here; after the sentence quoted in the text, Lakatos goes on "Such methodological rules may be formulated, as Popper has pointed out, as metaphysical principles. For instance, the universal anti-conventionalist rule against exception-barring may be stated as the metaphysical principle: 'Nature does not allow exceptions'" (1970, p. 132). That this admission is damaging for Popper's bare falsificationism was pointed out in footnote 6; it is equally damaging for Lakatos's version of Popperianism.
[17]. I say "not straightforwardly empirical" because both physicalism and the best available blueprint are themselves accepted on the grounds that they support a more empirically progressive research programme than any rival theses. Long-term empirical considerations influence choice of theses at levels 3 and 4, while at the same time these theses can lead to the rejection of potentially empirically successful theories that clash too severely with them (i.e. are too severely ad hoc).
[18]. The Popperian and Lakatosian demand that theories be strictly universal places weak but rigid constraints on what theories are acceptable; the demand of AOE that theories accord, as far as possible, with physicalism and the best available blueprint, places strong, but flexible and revisable constraints on what theories are acceptable. For further discussion see Maxwell (1998, pp. 89-102, chapter 4, and 223-227.)
[19]. For further details and discussion, see Maxwell (1998, pp. 172-180).
[20]. For an account of the discovery of parity non-conservation, and of the decisive character of the experiments refuting parity conservation, see Franklin (1990, pp. 63-6 and 151-2). See also Franklin (1986).
Philosophy Seminars for Five Year Olds
(Learning for Democracy, Vol. 1, No. 2, 2005, pp. 71-77. Reprinted in Gifted Education International, Vol. 22, No. 2/3, 2007, pp.122-7)
For Harry
All of us, I believe, are extraordinarily active and creative intellectually when we are very young. Somehow, in the first few years of life, we acquire an identity, a consciousness of self; we discover, or create, a whole view of the world, a cosmology; and we learn to understand speech, and to speak ourselves. And we achieve all this without any formal education whatsoever. Compared with these mighty intellectual achievements of our childhood, the heights of adult artistic and scientific achievement all but pale into insignificance. It is reasonable to suppose that there is a biological, a neurological, basis for our extraordinary capacity to learn when we are very young. It probably has to do with the fact that our brains are still growing during the first few years of life. It is striking that there are things that can only be learnt during this time. If we have not had the opportunity to learn to speak by the age of twelve, we will never really learn to speak. Lightning calculators all begin to acquire their extraordinary arithmetical skills when very young. Some things, it seems, become too difficult for us to learn as we grow older. In our early childhood we are forced, by our situation, to be creative philosophers and metaphysicians, preoccupied by fundamental issues. One has only to think of the endless questioning of young children to appreciate something of their insatiable hunger to know, to understand.
The tragedy is that formal education so rarely helps us to recognize and to develop our early profound intellectual experiences and achievements. Instead of encouraging our instinctive curiosity to develop into adulthood, all too often education unintentionally stifles and crushes it out of existence.
Academic inquiry ought to be the outcome of all our efforts to discover what is of value in existence and to share our discoveries with others. At its most important and fundamental, inquiry is the thinking we engage in as we live, as we strive to realize what is of value to us in our life. All of us ought both to contribute to, and to learn from, inter-personal public inquiry. This two-way traffic of teaching and learning ought to start at the outset, when we first attend school. Young children, at school, need to be encouraged to tell each other about their discoveries, their experiences, their thoughts and problems. The teacher needs to encourage both speaking and listening. Such a class or seminar, devoted to the co-operative, imaginative and rational exploration of problems encountered in life, ought to form a standard - even a central and fundamental - part of all education, science and scholarship, from primary school to university.
If this were the case, then we might all discover how to use science and scholarship so as to develop our own thinking - and living. Telling others of our problems and ideas - and listening to others tell of theirs - would help us to discover and to value our own thinking. It is all too easy to dismiss our most serious and original thinking - those moments of bafflement, surmise and wonder - as mere wordless feeling, irredeemably private, signifying little. This is especially the case in childhood. Unarticulated, our thinking is liable to become neglected, stagnant, forgotten. If it is to flourish it is vital that we develop and constantly practise the difficult art of putting what we feel and think into public words. An education that gave an intellectually fundamental role to the development of this art would not only stimulate the growth of personal thinking, it would also enable us to discover vital inter-connections between our personal thinking and public scientific and scholarly thought. Academic education would be not an imposition but an invitation to participate from the outset.
I do not want to exaggerate. Education of this person-centred, participatory kind already exists, to some extent, in both the arts and the sciences. Teachers of literature, drama and the other arts appreciate that art serves, as it were, a double purpose. As we enhance our understanding and appreciation of literature, so too, incidentally, we may enhance our understanding of ourselves and of others. By exploring, in novels and plays, imaginary people living imaginary lives, we can achieve a freedom to explore aspects of ourselves without the embarrassment or torture of public self-exposure. Furthermore, in order to improve our understanding of literature it is important that we try our hand at writing, which can enhance our powers of self-expression and our self-understanding. Analogous remarks can be made about drama, art, music, dance. And again, in science education at its best, it is appreciated that it is not just scientific results that need to be taught, but also, and perhaps most fundamentally, scientific problems. It has long been appreciated that in order to understand science it is essential to do it.
What is missing in all this is an appreciation of the central and unifying role of philosophy in all of education - philosophy pursued as the co-operative, imaginative and rational exploration of fundamental problems of living. Philosophy pursued in this way would effortlessly bridge the gulf between science and art, science and the humanities. All other parts of the curriculum - the physical and biological sciences, mathematics, geography, history, politics, literature, theatre, religion, etc. - could quite naturally and understandably emerge out of, and feed back into, the central, unifying enterprise of philosophy pursued as the open, rational exploration of fundamental problems. The very problem of how to unify all the diverse aspects of the world into a coherent, understandable whole could itself be recognized and discussed. The world we live in is a more or less inter-connected whole: it is not experienced as being split up into physics, chemistry, biology, history, literature, religion, and so on. Setting out to improve children's knowledge and understanding of the world in specialized, dissociated fragments, without any indication as to how the fragments fit together or, worse, without even an indication of the existence of the problem, is in itself an appallingly anti-rational and alienating thing to do. It amounts to the imposition of a sort of intellectual schizophrenia. It sets up a barrier between personal thinking and departmentalized academic thought, resulting in mutual distrust rather than mutual enhancement between these two kinds of thought. In important respects, academic learning cannot promote - it can only sabotage - coherent, rational thought about problems of living in this one, real, inter-connected world.
Failure to teach philosophy to five-year-olds, as a central, unifying part of the curriculum, is the result of mistaken assumptions about both children and philosophy.
Philosophy, it is assumed, is too difficult and esoteric a subject to be taught to five-year-olds. Only adults can come to grips with such an advanced discipline. In fact it is, if anything, the other way round. Above all, it is young children who are compelled, by their situation, to be highly active and creative philosophers, daily concerned with fundamental problems about the nature of life and the world. Most adults have long ago settled in their minds, in one way or another, fundamental questions about the nature of life and the world. It is particular, detailed, and specialized problems that preoccupy adult minds. The mere fact that most adult teachers neither recognize, nor feel any discomfort concerning, the profound philosophical disorder of the curriculum they daily administer to children is itself a blatant indication of the unphilosophical character of the adult mind. Philosophy, one might say, is instinctively and naturally a concern of childhood, and only rather rarely and artificially still a matter of concern in adult life.
This in turn, of course, makes it difficult for adults to teach philosophy properly. The main mistake would be to teach philosophy as another academic subject, as a body of recognized problems, proposed solutions and debates. The pupil would be expected to learn this up. This would, of course, miss the point entirely.[1] For what is needed is, in a sense, not the teaching of anything at all, but rather the encouraging of children themselves to engage in the activity of articulating and scrutinizing problems and their possible solutions. Furthermore, it would be vital to do this in an honest and open-ended way, there being no prohibitions on what problems can be discussed, what solutions considered. The nature of the universe, war, sex, death, power, money, politics, fame, pop stars, parents, school, work, marriage, the meaning of life, evolution, God, failure, drugs, love, suffering, happiness: whatever it is that the children find fascinating or disturbing, and want to discuss, deserves to be discussed. Where there are no known or no agreed answers, the teacher must acknowledge this. The teacher must readily acknowledge his or her own ignorance or uncertainties. The main task of the teacher will be to try to ensure that the children speak one at a time, that everyone gets to speak, and that those who are not speaking, listen. The teacher will also, of course, try to establish a spirit of generosity towards the ideas of others, while at the same time encouraging criticism and argument. The main object of the seminar is to enable children to discover for themselves the value of co-operative, imaginative, rational problem-solving by taking part in it themselves. Only good, experienced teachers could hope to make a success of the philosophy seminar run along these lines.
The purpose of the seminar is not to promote mere debate. Argument is to be used as an aid to exploration and discovery: it is not to be used merely to trounce opponents or to win converts - as an excuse, that is, for intellectual duelling or bullying. The seminar must not be conducted in such a way that it amounts to overt or disguised indoctrination in some creed - however correct or noble the creed may be judged to be. Insofar as a creed is implicit in the seminar, it might be put like this: it is proper and desirable for people to resolve problems and conflicts in co-operative, imaginative and rational ways. This creed is itself open to discussion and critical assessment - along with all other political, religious, moral, economic, social and philosophical doctrines. The problem of how to distinguish co-operative discussion from indoctrination deserves itself to be discussed when it arises. Again, the seminar is not group therapy. Its primary aim is not to solve the participants' urgent practical, personal problems (although it may occasionally and incidentally help to do this). Problems can be imagined and do not need to be lived. Ideas can be aired as possibilities, and do not need to be believed. Accounts of personal experience are welcomed when relevant to the discussion, but are not expected or demanded. The aim of the seminar is to explore possibilities, and not to reach decision about actions. Unanimity does not need to be sought.
It is nothing less than an educational scandal that seminars of this type are not a standard part of school and university life, available to everyone from the age of five years upwards. However, it is not just that there has been a general failure to organize all education around such a philosophy seminar. Worse still, there has been, and still is, a general failure even to see the vital need to do this. The very idea of the philosophy seminar for five-year-olds, as indicated here, has generally not been entertained. A major reason for this is that the proper purpose and character of philosophy, and of academic inquiry more generally, has long been, and still is, radically misunderstood, especially by academics themselves.
Academic inquiry is widely taken to have as its proper, basic intellectual task the improvement of expert, specialized knowledge and technological know-how. As long as academic inquiry is pursued and organized with this basic task in mind, the philosophy seminar, as depicted above, can scarcely form a normal, let alone a central, part of university work. Non-expert, non-specialized discussion of our problems of living - however imaginative, rational, co-operative and potentially fruitful - cannot contribute to the acquisition of expert, specialized knowledge. Groups devoted to such discussion may amount to worthy debating societies, group therapy sessions or Quaker prayer meetings: they cannot constitute standard academic seminars.
The fault here lies with the orthodox conception of academic inquiry. It is an intellectual and human disaster. When judged from the standpoint of improving specialized knowledge, orthodox academic inquiry must, it is true, be judged to be, on the whole, both rational and extraordinarily successful. But when judged from the more important and fundamental standpoint of improving human welfare, enhancing the quality of human life, academic inquiry must be judged to be grossly irrational and unsuccessful. In order substantially to improve the quality of human life on earth we need, amongst other things, to get rid of war, the threat of war, armaments whether nuclear, biological, chemical or conventional, the extreme poverty of the third world, tyranny, exploitation and enslavement. Humanity needs to discover how to resolve its local and global conflicts and problems of living in more co-operatively rational ways. But co-operative action requires co-operative discussion. If academic inquiry is to devote itself, rationally and successfully, to promoting human welfare, then it must give priority to providing such co-operative discussion; it must, as a matter of absolute intellectual priority, (a) articulate our problems of living and (b) propose and critically assess alternative possible solutions, possible co-operative actions. Problems of knowledge must be tackled in a subordinate way, scientific and technological research emerging out of and feeding back into the more fundamental concern with problems of living.
Contemporary academic inquiry, in giving priority to problems of knowledge over problems of living, fails to do what it most needs to do: create and promote a tradition of thinking devoted to resolving human conflicts and problems in co-operatively rational ways. In the absence of a general capacity to act co-operatively, the mere provision of knowledge and technological know-how can do as much harm as good, as the twentieth-century record of science and war, and the nuclear arms race, so horrifyingly exemplifies.
We urgently need, in brief, a new, more intellectually rigorous and humanly desirable kind of academic inquiry, one which gives priority to helping us realize what is of value in life, individually, locally and globally. This new kind of inquiry gives intellectual priority to personal and social (or global) problems of living (rather than problems of knowledge) and endeavours to help us discover how to act, to live, in progressively more co-operatively rational ways, so that we achieve what is genuinely of value to us in the circumstances of our lives. The basic aim is to promote personal and social wisdom in life - wisdom being defined as the capacity to realize what is of value, for ourselves and others. Wisdom, so defined, includes, but goes beyond, knowledge and technological know-how. Given the existence of such a tradition of inquiry in the world, there is a real chance that humanity might learn how to make steady and substantial progress towards a generally happier state of affairs than that which we endure at present.
Once the academic community wakes up to the desperately urgent need to transform the academic enterprise in this way, so that its basic task becomes to promote not only knowledge but also personal and social wisdom in life, it will at once become blindingly obvious that the philosophy seminar, more or less as described above, does indeed need to be put at the heart of all inquiry and education, from primary school to university. Unfortunately, the academic community, despite being devoted to reason and innovation, is in many ways extremely conservative and highly resistant to change, especially when it comes to changing the overall aims and methods of inquiry. I am especially aware of this, having argued for some thirty years for the urgent need to change academic inquiry from knowledge to wisdom: so far I have seen few signs of change (see Maxwell, 1976, 1980, 1984, 2000, 2004). If we wait for the scientists, scholars and university administrators to wake up to what needs to be done, we may have to wait for ever. What we can do, and need to do, is begin with the five-year-olds. Professors may be past it, but five-year-olds are not.
The above was written long ago, in 1986, in complete ignorance of the philosophy for children movement. I then discovered Gareth Matthews' delightful little book Philosophy for the Young Child (1980), and as a result I laid aside this plea for philosophy for five-years-olds on the assumption that the matter was already satisfactorily in hand. Since then, philosophy for children has become a world-wide movement, and it might seem that this essay is redundant. This is not the case, for at least two reasons.
First, the philosophy for children movement seems to take for granted a thoroughly orthodox, analytic conception of philosophy, according to which philosophy is one discipline alongside others, concerned with puzzle solving and conceptual analysis. Given this conception of philosophy, it is difficult to see why philosophy should occupy a central and fundamental role in the curriculum. What is lacking is an awareness of the need to bring about a revolution in the aims and methods of academic inquiry as a whole, including philosophy and education, so that the basic aim becomes to acquire and promote wisdom, problems of living being put at the heart of the academic enterprise. Once one becomes aware of the need to bring about this revolution, it becomes clear that the philosophy seminar, along the lines I have indicated, ought to be central to all of education. The philosophy for children movement would, in my view, become more credible and cogent were it to join forces with the effort to transform inquiry as whole so that it takes up its proper task of promoting wisdom by rational means. Only within a genuinely rational kind of inquiry devoted to promoting wisdom can the philosophy seminar, as I have described it, come to have its proper place and role.
Second, in England the national curriculum all but prohibits the philosophy seminar as I have depicted it. Group discussion, listening and speaking, and problem solving are, it is true, all encouraged, and citizenship and personal, social and health education are included. Furthermore, the curriculum for primary education may well be sufficiently flexible to permit something like the philosophy seminar to take place in individual schools. But there is, in the national curriculum, no hint that group discussion might feed into other parts of the curriculum, into science, history or English. And when it comes to secondary education, the curriculum seems to be so rigidly constructed that it seems impossible that the philosophy seminar could get elbow room, let alone influence the rest of the curriculum.
We need to bring about a revolution in the national curriculum here in England, and we need a world-wide revolution in education and academia, so that the philosophy seminar comes to play a central role, for five- to ninety-five-year olds.
NOTE
[1] This mistake is evident in current A-level philosophy syllabuses.
Back to text
REFERENCES
MATTHEWS, G. (1980) Philosophy for the Young Child. Harvard, MA: Harvard University Press.
MAXWELL, N. (1976) What's Wrong with Science. Frome, UK: Bran's Head Books.
MAXWELL, N. (1980) Science, reason, knowledge and wisdom: a critique of specialism. Inquiry, 23 (1), pp. 19-81.
MAXWELL, N. (1984) From Knowledge to Wisdom. Oxford, UK: Blackwell.
MAXWELL, N. (2000) Can humanity learn to become civilized? Journal of Applied Philosophy, 17 (1), pp. 29-44.
MAXWELL, N. (2004) Is Science Neurotic? London: Imperial College Press.
Disastrous War against Terrorism
Nicholas Maxwell
University College London
Chapter 3 of Terrorism Issues: Threat Assessment , Consequences and Prevention, ed. Albert W. Merkidze, Nova Science Publishers, New York, 2007, pp. 111-133.
Abstract
Introduction
Eight Principles
1. Comply with International Law
2. Combat Terrorism as Police Operation
3. Do Not Undermine Civil Liberties
4. Use Diplomacy and Intelligence
5. Resolve Conflicts that Fuel Terrorism
6. Combat Terrorism so as not to Promote It
7. Strengthen Treatises that Curtail Spread of Terrorist Materials
8. Do Not Commit Acts of Terrorism
Global Problems
Need for Public Education
The Pursuit of Knowledge
Correcting Blunders of the Enlightenment
Conclusion
References
Notes
Abstract
In combating international terrorism, it is important to observe some basic principles, such as that international law must be complied with, care should be taken that one does not proceed in such a way that future terrorists are recruited, and one does not oneself become a terrorist. Unfortunately, the war on terrorism, conducted by President Bush, Prime Minister Blair and others since 9/11 in 2001, has violated all of these basic principles. The outcome has been disastrous. In what follows, I take eight such principles in turn, and indicate how they have been violated, and how and why this has had adverse consequences. I then put the problem of terrorism into the context of other, and in some cases more serious global problems such as global warming, nuclear proliferation, war and the threat of war, and raise the question of how humanity can learn to tackle these problems more effectively and intelligently than they are being tackled at present. If these problems are to be tackled democratically, a majority of people in democratic countries need to understand what the problems are and what needs to be done about them. This, in turn, requires a major programme of public education. I conclude by putting forward a proposal as to how this can be brought about.
Introduction
Terrorism is likely to be with us for quite some time. And the chances are that, as time passes, it will become increasingly dangerous. There is always the dreadful possibility that terrorists will get hold of biological or nuclear material that enables them to start an epidemic, or explode an atomic bomb - or at least a conventional bomb laced with radioactive material. The present President of the Royal Society in Britain, Professor Martin Rees, is so worried by these possibilities that he thinks that this might be our final century (Rees, 2003).
Given all this, and given the spate of terrorist attacks both before and after 9/11, it is a matter of major importance that the liberal, democratic nations of the world collaborate in combating terrorism in as effective and intelligent a way as possible, and in a way which does as little damage as possible to those traditions and institutions of civilization we have managed so far to create and maintain. It is no good defeating terrorism in such a way that we destroy along the way the very thing we seek to preserve, what is best in our whole way of life.
If we are to combat terrorism in this effective and intelligent manner, there are certain basic principles which must be observed. They include the following:-
1. International law must be complied with. 2. Terrorism must be combated as a police operation, not a war.
3. Civil liberties must not be undermined.
4. Nations suspected of harbouring or supporting terrorists must be engaged with both by means of diplomacy, and in such a way that intelligence is sought by stealth.
5. If terrorists' acts are motivated by long-standing conflict - as in the Palestine/Israeli conflict - every effort should be made by the international community of nations to resolve the conflict that fuels the terrorism.
6. As far as possible, terrorism must not be combated in such a way as to recruit terrorists.
7. International treatises designed to curtail the spread of terrorist materials must be maintained and strengthened.
8. Democratic nations combating terrorism must exercise care that, in combating terrorism, they do not thereby act as terrorists.
Unfortunately, the war on terrorism, conducted by President Bush, Prime Minister Blair and others since 9/11 in 2001, has violated all of these principles, 1 to 8. The outcome has been disastrous. In what follows, I take these eight principles in turn, and indicate how they have been violated, and how and why this has had adverse consequences. I then put the problem of terrorism into the context of other, and in some cases more serious global problems such as global warming, nuclear proliferation, war and the threat of war, and raise the question of how humanity can learn to tackle these problems more effectively and intelligently than they are being tackled at present. If these problems are to be tackled democratically, a majority of people in democratic countries need to understand what the problems are and what needs to be done about them. This, in turn, requires a major programme of public education. I conclude by putting forward a proposal as to how this can be brought about.
Initially, I take terrorism to be the murdering or injuring of people for the sake of political ends. Any doubts there might be about this brief definition will not be relevant for what I have to say initially. Only when we come to the eighth principle, and the question of whether democratic nations perform terrorist actions, will it be necessary to consider more carefully what we should mean by terrorism.
There are three basic reasons why, in combating terrorism, the above eight principles should be observed. Elementary moral principles relevant to national and international politics should not be violated; we should not undermine our traditions and institutions of civil rights, freedom and democracy under the mistaken idea that this is required to combat terrorism successfully; and we should not proceed in such a way that we cause more and more people to take up terrorism, thus exacerbating the very thing we seek to diminish. We go against one or other - or in some cases all three - of these points in failing to comply with each of the above eight principles. Let us, then, consider the eight principles in turn.
Eight Principles
1. International law must be complied with
According to the UN charter, the circumstances in which nations can use force legally against other nations is limited to self-defence and collective action authorized by the Security Council. Does this mean that the Afghanistan and Iraq wars, initiated by the US, UK and others in response to 9/11, were legal according to international law?
The Afghanistan war is widely taken to have been legally justified. Resolution 1368 of the UN Security Council, taken on the 12 September 2001 (the day after 9/11) "Calls on all states to work together urgently to bring to justice the perpetrators, organizers and sponsors of these terrorist attacks and stresses that those responsible for aiding, supporting or harbouring the perpetrators, organizers and sponsors of these acts will be held accountable". This was taken to justify legally the subsequent Afghanistan war. And it is true there was UN involvement in the subsequent occupation. Resolution 1378 of the 14 November 2001, condemns "the Taliban for allowing Afghanistan to be used as a base for the export of terrorism by the al-Qaeda network" and "Affirms that the United Nations should play a central role in supporting the efforts of the Afghan people to establish urgently … a new and transitional administration". There is, however, no Security Council resolution explicitly endorsing the war. The presumption was, nevertheless, that the war had UN approval on the grounds that the US had been attacked, and was justified in defending itself.
But Afghanistan did not perform an act of aggression against the US. The Taliban government refused to release bin Laden on the grounds that he would not receive a fair trial - very reasonable, unfortunately, given the behaviour of Bush's administration. Would the UN Security Council have backed war with Afghanistan if bin Laden's target had been France rather than the US - if the Louvre, perhaps, had been demolished, with a similar death toll? Or was the war deemed legal because the US is the world's superpower? How big an act of terrorism does it have to be for this to make legal a war against a country which harbours the terrorists? At the time of writing, Hillary Clinton has declared that if a terrorist attack occurred in the US her policy would be to attack those responsible. It seems all too likely that the Democrats, when they get into the White House, will continue Bush's policy in this respect. But it seems to me thoroughly reprehensible that criminal acts of individuals, which are not acts of war by states, should be regarded by the Security Council - and thus by international law - as providing grounds for a "war of self-defence". That seems to stretch "self-defence" way beyond what must have been originally intended, and was only allowed because of the US's superpower status.
In my view, then, even if understood to be sanctioned by the Security Council, the Afghanistan war ought to have been declared illegal, an act of criminal international aggression.
The Iraq war of 2003 is quite different. It is clear that neither of the two conditions for war to be legal were met. Iraq was not attacking any other nation - most certainly not the US or UK. The US and UK governments did their utmost in an attempt to convince the rest of the world that an illegal nuclear research programme was underway in Iraq, and that Saddam Hussein possessed "weapons of mass destruction", but the only evidence produced in support of these claims turned out to be fraudulent. There were no grounds for holding there was some kind of link between Saddam Hussein and bin Laden. On the contrary, they were bitterly opposed to each other. All grounds for holding Saddam Hussein had either the intent or the means to attack other nations (let alone the US or UK) turned out to be fake.
George Bush was quite content to attack Iraq without any attempt to get the backing of the UN, but it was recognized that this would create difficulties for Tony Blair, and so the attempt was made to persuade the Security Council to back the impending war. This attempt failed, although the UK government insisted, against the facts, that it had all the UN resolutions needed to justify legally the war.
There is no serious doubt whatsoever: in going to war against Iraq in 2003, the US, UK and other nations involved acted in violation of international law. Saddam Hussein was a monster, and his regime was monstrous. But our only hope for a more democratic, peaceful and just planet is through the observance, strengthening and enhancing of international law; it cannot be achieved by international acts which violate it - that is, by what are, essentially, criminal international actions.
The idea that Bush's actions were essentially well-intentioned, in that he sought to replace a brutal dictatorship by a democracy, hardly stands up to examination. There are a number of other brutal dictatorships in the world which do not receive similar attention. It is hard not to believe that in the case of Iraq, the crucial additional factor was oil. Perhaps Bush really did believe his own rhetoric when he declared that democracy in Iraq would be a beacon for democracy in the Middle East. If so, democracy was desirable, for Bush, because - so it was believed - it would be associated with favourable trading arrangements in oil.
The lies peddled by Bush and Blair in the lead-up to the Iraq war do not exactly encourage one to think the war was pursued with noble intentions. At one stage, 82% of Americans believed Saddam Hussein was linked to bin Laden and 9/11, a misconception Bush did nothing to discourage.[1] In fact, on the 22 nd September 2002, Bush declared "You can't distinguish between al-Qaeda and Saddam when it comes to war on terror".
But it is above all the way the Iraq campaign was pursued, both during and after immediate hostilities in the Spring of 2003, that makes the idea of good intentions seem so absurd. US soldiers stood by while massive looting took place after initial hostilities had ceased. Vast sums of money were squandered in Iraq - much of it Iraq's own oil funds - corruption being rife. Initially, little was done to establish security, law and order, in and around Baghdad. It should have been obvious to the invading armies, before the war, that there would be a severe security problem after hostilities had ceased, because of long-standing enmity between the Sunni and Shia populations. Saddam Hussein had used Sunni henchmen to persecute and subjugate the Shia population. Many Shia felt hatred towards the Sunni as a result, and the Sunni Iraqis had good cause to fear the revenge of the Shia majority. The occupying US forces acted as if they knew nothing of this history; they acted as if Sunni and Shia alike would feel nothing but gratitude towards them for invading their country and deposing Saddam Hussein.
Not only has there been a disastrous failure to establish even a minimal level of security. There has also been a miserable failure to establish elementary services at a basic level: electricity, water, health, equipment in hospitals. This has been due, partly to corruption, partly to the lack of security and, more recently, because of the exodus from Iraq of professionals and others who are no longer prepared to endure the danger and misery of life in Iraq. Many others, no doubt, would leave if they could.
The whole campaign to bring democracy to Iraq has been a disaster. Hundreds of thousands of Iraqis have lost their lives, and hundreds of thousands more have been crippled. Few Iraqis, even four years after the war, think life in Iraq is better now than how it was under Saddam Hussein. The daily death toll has got worse and worse as time has passed. Prospects for the future look grim.
Allied to the ignorance and stupidity of the US administration in Iraq after the war, there is the sheer brutality of the occupation, the apparent indifference to the killing of civilians at check points, and during hunts for insurgents, like that carried out in Fallujah. A recent Pentagon report revealed that "Approximately 10 per cent of soldiers and marines report mistreating non-combatants (damaged/destroyed Iraqi property when not necessary or hit/kicked a non-combatant when not necessary)". More than a third of soldiers thought torture should be allowed to save the life of a fellow soldier.[2] Even worse, in a number of well-documented cases, US troops have fired on and killed civilians in Iraq since initial hostilities in 2003 came to an end, no one in the US military being brought to account. Well over one hundred thousand Iraqis have been killed during and since the war up to the time of writing.[3] And prospects for the future look grim. When the US pulls out, it seems quite likely that Iraq will descend into all-out civil war between Sunni and Shia. Iran, no doubt, will come to the aid of the Shia, the Sunni will be defeated, and a Shia Iran-Iraq axis will be established.
The outcome of the war has been the very opposite of what Bush must have hoped for. It has enormously strengthened Iran in the Middle East. It has unleashed terrorism of almost unparalleled ferocity. The streets of Baghdad have become training grounds for future terrorists who will, no doubt, move on to the UK and the US. It has enormously strengthened the cause of al-Qaeda. And the unspeakable brutality and illegality of the war and the occupation - their sheer criminality - have enraged a proportion of Muslim youth all over the world and will no doubt inspire many to attempt to perform future acts of terrorism in revenge. Bush's "war against terrorism" has served here, as in other ways, to create the very thing that is, ostensibly, being fought to be defeated.
It would be wrong, of course, to blame all this on the illegality of the war. Even if the UN had given the war its seal of approval, and the war had achieved some kind of official, if somewhat spurious legality, all the above disasters might well have ensued. On the other hand, we may take the view that, on this occasion, the UN got it right, the Iraq war was an illegal act of aggression, and there were, on this occasion at least, very good reasons for not going to war.
The other way the "war against terrorism" has violated international law has to do with the treatment of prisoners, and the suspension of the Geneva Convention. Prisoners in Guantanamo Bay have been held by the US for years without being charged, subjected to treatment that is widely regarded as amounting to torture, without resort to the law, in a kind of "legal black hole". These prisoners are classified as "enemy combatants", neither prisoners of war, nor subject to ordinary civil legal processes and safeguards. Treatment of prisoners at Abu Ghraib also clearly violated the Geneva Convention, and there have been accusations of torture sanctioned and aided by the US in prisons elsewhere in the world, victims being transported by means of the secret process of "rendition". Not only is all this a moral and legal outrage; it serves, again, to inspire some Muslim youth to join the war against the infidels, and become terrorists.
2. Terrorism must be combated as a police operation, not a war
President Bush declared "war on terrorism" in an address to the nation on the very night of the 9/11 atrocity. Even if "war" had been used metaphorically, as in "war on drugs", this declaration would have been a serious blunder from the standpoint of combating Al-Qaeda effectively. Like all terrorists, bin Laden and his associates see themselves as soldiers in a war, not as criminals. To have this confirmed by the President of the US enormously enhances the prestige of al-Qaeda, and is a great aid to recruitment. To suggest that the US must be put on a war footing to combat al-Qaeda gives a vastly over-estimated impression of the strength and danger of the opposition. It suggests that al-Qaeda is on a par with the military might of the US, which is of course absurd.
What was required to combat al-Qaeda effectively was a combination of diplomacy with relevant and potentially friendly nations such as Pakistan, gathering of good intelligence, and police work. The rhetoric of war raises public expectations of battles, very different from the quiet, behind-the scenes work needed to combat terrorism effectively.
But Bush, in declaring "war on terrorism", meant war to be understood in a way much stronger than the metaphorical. The declaration justified the announcement of a "state of emergency". And it led to literal war, first in Afghanistan, and then, even more disastrously, in Iraq. As I have already mentioned, the American people were encouraged to believe that Saddam Hussein was behind the 9/11 attack. In fact Saddam Hussein and bin Laden were mortal enemies. Iraq had had nothing to do with 9/11. Not only has the Iraq war been a disaster for the hundreds of thousands who have died during it, and subsequently, and the vastly greater number who have been injured, or who have lost loved ones, but it has had the effect of generating terrorism in occupied Iraq to a quite unprecedented extent. As I have already remarked, the embattled streets of Baghdad are training grounds for future terrorists in the US, UK and elsewhere.
Immediately after 9/11 there was a world-wide upsurge of sympathy and support for the US. The subsequent pre-emptive wars have had the effect of transforming this sympathy into hostility and fear. Not only does this help recruit terrorists; it undermines the kind of international cooperation required to combat international terrorism successfully.
3. Civil liberties must not be undermined
It is tempting to think that the threat of terrorism means that certain civil liberties must be suspended. But such measures are inherently undesirable, in that they undermine what every liberal democracy should strive to maintain and strengthen. It is as if, not content with suffering the damage the terrorists do to us, we decide to take the matter into our own hands, and ourselves do further damage to ourselves. Such measures also have the effect of signalling to the terrorist that they are having a major impact, and may thus encourage further acts of terrorism. And finally, if suspending elements of civil liberties means weakening due process of law, so that suspects can be held without trial, or convicted without a proper trial, this may well result in the innocent being imprisoned or convicted, and may incite further terrorism.
Civil liberties have been curtailed in various ways in response to 9/11 in both the US and the UK. Thus in the UK, after 9/11, the Government introduced indefinite detention without charge of foreign nationals. This was replaced by the control order regime which allows government ministers to impose sweeping restrictions on individual freedoms on the basis of secret intelligence and suspicion. Pre-charge detention has been increased from 14 days to 28 days, with further extensions threatened. Legislation has been passed curtailing free speech and the right to demonstrate, and enhancing police powers to detain and search.
4. Nations suspected of harbouring or supporting terrorists must be engaged with both by means of diplomacy, and in such a way that intelligence is sought by stealth
For many years, Gaddafi of Libya was suspected of supporting terrorists and attempting to develop the nuclear bomb. Pressure and negotiations eventually led Gaddafi to renounce both. Such strategies can meet with success.
Similar strategies need to be adopted in connection with Iran and Syria. But, until very recently (at the time of writing), President Bush has refused to negotiate with either. Instead, there has been threat, not spoken but not denied, that nuclear installations in Iran will be bombed if enrichment of uranium does not cease. Threatening Iran with war, or a bombing campaign, has the effect of strengthening the position of the more hardline and fanatical groups in the country, and at the same time undermining those of a more liberal stance who support negotiations. Once again, the outcome may be the very opposite of what is intended.
Exactly the same considerations apply to countries suspected of harbouring or supporting terrorist groups. The best hope of dealing successfully with such support lies in negotiation and secret intelligence gathering, and not in refusal to negotiate, withdrawal of diplomatic relations, name calling and veiled threats of military action.
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5. If terrorists' acts are motivated by long-standing conflict - as in the Palestine/Israeli conflict - every effort should be made by the international community of nations to resolve the conflict that fuels the terrorism
Reacting to terrorist atrocities - by curtailing civil liberties, or by giving in to terrorist demands - has the adverse consequence that it leads the terrorists to believe they are having an impact and are meeting with success, and may, as a result, give encouragement and resolve to the terrorists, and help promote recruitment. On the other hand, if serious injustices exist, the fact that terrorists demand an end to them should not be used as an excuse to do nothing to put a stop to them, on the grounds that action would amount to giving in to terrorist demands. Such inaction amounts to allowing terrorists to dictate policy in a negative sense: the mere fact that terrorists make a demand means that nothing can be done, even when something should be done, out of fear this will amount to giving in to the demands of terrorists.
It is possible that this negative influence of terrorism may have played a role in the long conflict in northern Ireland. British governments may have been reluctant to address the legitimate complaints of Catholics out of fear that this would amount to giving in to the demands of the IRA.
And it is conceivable that something similar may have been at work in connection with the long-standing Israel/Palestine conflict. Al-Qaeda demands justice for the Palestinians. If the US takes determined action to procure such justice, this may seem too close to giving in to the demands of al-Qaeda.
The conflict has gone on for so long that it may seem unresolvable. But determined action by the US and the UN could, over time, bring the conflict to an end. What is required is deployment of sufficient peace-keeping troops deployed between Israel, the Gaza strip and the West Bank, pressure on Israel to withdraw from land occupied after the 1967 war, pressure on both sides to acknowledge each other's right to exist as independent states, and to end hostilities. Pressure on Israel would have to take the form of the US threatening to curtail the immense annual budget Israel receives from the US - the budget actually being decreased if mere threats have no effect. It is often said that the Jewish lobby in the US is so powerful it would never permit such policies to be adopted. It is hardly so powerful that it could prevent a President in power from initiating and pursuing policies of this kind. At most it might prevent a President who pursued such policies having a second term. On the other hand, even if assessed in the wholly cynical terms of leaving one's mark on history, it might be deemed more worthwhile to be instrumental in bringing the Israel/ Palestine conflict to an end, than not to do this and be re-elected for a second term.
It seems likely that the current treatment of Palestinians by Israel, the US and Europe does much - along with the continuing hostilities in Afghanistan and Iraq - to aid recruitment to Islamic terrorist groups. And it is possible that fear of being thought to be giving in to the demands of bin Laden and al-Qaeda may be one of the factors deterring action to bring the conflict to an end. In this connection, Louise Richardson in her excellent book What Terrorists Want (Richardson, 2006), makes a point of decisive importance. In combating terrorism, it is essential to take into account, and to distinguish, the terrorists themselves, and the community that is sympathetic to the political aims of the terrorists. In combating terrorism, one goal should be to isolate the terrorists from their sympathetic community (since it is from that community that the terrorists will gain support and recruits). If the community has legitimate grievances, doing something about those grievances may well have the consequence that the community in question cools its sympathy for the terrorists, which in turn may lead eventually to the collapse of the terrorist groups.
All this is highly relevant to the Israel/Palestine conflict. There can be no doubt that the treatment of the Palestinians over the decades has outraged many members of the world-wide Islamic community. Indeed, one does not have to be a member of that community to be outraged. Al-Qaeda terrorists have made it quite clear that one motive for their terrorist action is to highlight the injustice suffered by the Palestinians. Bringing the Israel/Palestinian conflict to an end is overwhelmingly desirable for the sake of the Israeli and Palestinian people. But it is also desirable as one of the measures needed to defeat al-Qaeda in the long term.
6. As far as possible, terrorism must not be combated in such a way as to recruit terrorists
Some necessary police operations, however sensitively conducted, may have the effect of antagonizing some of those affected, and may prompt them to join the ranks of the terrorists. This can hardly be avoided. Nevertheless every effort should be made to drive a wedge between terrorist groups and potential sympathizers. Above all, terrorism must not be combated in such a way as actually to drive sympathizers into the arms of the terrorists.
This is plain common sense, and yet it has been violated again and again by Bush's and Blair's "war on terrorism", as we have already seen. The most dreadful example is the Iraq war. Saddam Hussein had nothing to do with 9/11. Bin Laden was bitterly opposed to the secular Saddam Hussein. War with Iraq had nothing to do with combating Islamic terrorism. The outcome has been an unleashing of terrorism in Iraq itself of almost unprecedented ferocity. This is very likely to spread to other countries in the future. The war itself, and above all the brutal subsequent occupation and its multiple failures, are calculated to provoke al-Qaeda sympathizers all over the world to become active terrorists. The scandal of the treatment of prisoners, in Iraq, Guantanamo Bay and elsewhere will have had the same effect. Engaging in war, as in Afghanistan and Iraq, mistreating prisoners, and supporting Russia in its ruthless actions in Chechnya, far from combating terrorism, amounts to the exact opposite. It is inflaming terrorism. Bin Laden's hopes for 9/11 were, no doubt, to provoke a massive over-reaction from Bush which would, in turn, cause Islamic youth everywhere to take up jihad. Bush obliged.
A cynic might wonder whether Bush, after he had got over the initial shock of 9/11, did not welcome this new "war on terrorism". It provided his presidency with a mission. He quickly became a hero in the eyes of his countrymen. It put new powers into his hands. And it made it possible to do what he had wanted to do all along - go to war with Iraq and depose Saddam Hussein. The armed might of the US, which might have come to look somewhat excessive - even to Americans - after the collapse of the Soviet Union, suddenly had a new rationale, a new enemy: the terrifying menace of international terrorism.
7. International treatises designed to curtail spread of terrorist materials must be maintained and strengthened
Far from strengthening international treaties, the US tends, unfortunately, to take the view that, as the world's only superpower, it is above compliance with such treaties. As one commentator has put it recently " Of the total number of active treaties (550), the US has ratified only 160 (29%). President Bush has reversed US backing of six pacts: the Kyoto Protocol on Climate Change, Nuclear Non-proliferation Treaty, Biological and Toxin Weapons Convention, Landmine Treaty, Anti-Ballistic Missile Treaty, and nullified Clinton's signature related to the International Criminal Court. Only Somalia and the US have not ratified the Convention on the Rights of the Child!" (Irish, 2005).
Two international treaties are of particular relevance to our present concerns: the Nuclear Non-proliferation Treaty, and the Biological and Toxin Weapons Convention. The idea behind the Nuclear Non-proliferation Treaty, when it was signed in 1970, was that non-nuclear nations would refrain from acquiring nuclear weapons if the nuclear powers moved towards nuclear disarmament. Neither the US nor the UK has shown the slightest sign of taking seriously their part of the bargain. In the meantime, India, Pakistan and North Korea have acquired nuclear weapons, and it seems likely that Iran is working towards joining the nuclear club as well. As for US support for the Biological and Toxin Weapons Convention, during the 1980's the US sent Anthrax and other biological agents to Saddam Hussein in clear contravention of the Convention (Holland, 2004).
8. Democratic nations combating terrorism must exercise care that, in combating terrorism, they do not thereby act as terrorists
It may seem outrageous to suggest that the US or UK could stoop so low as to engage in terrorist acts themselves. But if we take terrorism to be the murdering - the unjustifiable killing - of people for the sake of political ends, then it must be acknowledged that the US has, again and again in recent times, performed terrorist actions - aided and abetted, on occasions, by the UK. The Iraq war may indeed be regarded as a monumental act of terrorism - the 2003 war itself, and the occupation afterwards. Hundreds of thousands of Iraqis have been killed, far more than the three thousand who died in the twin towers as a result of 9/11. The US military is directly responsible for a substantial percentage of these deaths. Many were civilians. Repeatedly over the years of occupation, US soldiers have killed civilians, at check points, during house searches, or in response to demonstrations. How does this differ from terrorism? It is, admittedly, a democratic state that has carried out these atrocities, not an anonymous group of fanatics, but that does not weaken the crime involved. It could be objected that the intentions of the US in going to war with Iraq, and occupying the country afterwards, were noble (to topple Saddam Hussein), and quite different from those of real terrorists. But some terrorists may have noble goals: that does not make them any the less terrorists. Terrorism has to do with the means taken - terror - not the character of the aim (except that it is in some way political). And in any case, as we have seen, it is dubious that President Bush's motives in going to war with Iraq were all that noble. It might be objected, again, that the US does not deliberately target civilians. Deliberately targeting civilians is - it may be argued - the defining characteristic of terrorism. But first, this is not what terrorism is ordinarily taken to mean, and certainly not by the US and UK governments. Those who kill soldiers in Iraq are deemed to be terrorists. Five men were arrested in New Jersey, US, on the 7 th May 2007, and charged with conspiracy to murder US soldiers (Guardian, 2007). That these men evidently planned to attack an army base and kill soldiers, and not civilians, will not be deemed sufficient to release them from the charge of terrorism. Second, the excuse that civilians are not deliberately targeted only has force if every effort is made not to kill civilians in a legitimate military operation. This cannot be said of many US military operations in Iraq. One example is the attack on Fallujah in the Spring of 2004. The highly respected "Iraq Body Count" has concluded that, of the 800 deaths of Iraqis reported in connection with the attack on Fallujah by the US, somewhere between 572 and 616 were civilians, with over 300 of these being women and children. There have been all too many reports of civilians being killed by US soldiers in Iraq in circumstances which make it impossible to say every effort was made to avoid the deaths.
Apparent terrorist actions performed by the US did not begin with the Iraq or Afghanistan wars. In 1986, the US bombed Libya's capital Tripoli, killing at least a hundred people. This was in retaliation for a terrorist bomb in Berlin, which killed two American servicemen. Britain colluded in the attack in allowing the planes involved to take off from military bases in the UK. Similar operations have been conducted by the US, over the years, in Pakistan, Iraq and elsewhere. For a list of such operations conducted from 1945 to the present and a brief description of each, see Blum (2006, chapter 17).
The US has also sponsored terrorism enacted by others, as when it has supported the Contras in Nicaragua, the mujahideen in Afghanistan, and groups trying to overthrow Castro in Cuba and Allende in Chile.
Global Problems
To sum up. The current "war on terrorism" violates all eight of the principles, enunciated above. This has had disastrous consequences,[4] and is likely to have further disastrous consequences for decades into the future. The task of combating, or containing, terrorism urgently needs to be transformed so that all eight principles are implemented.
But how is this to happen? It might help if a Democrat is elected to be the next President of the US, but it seems unlikely, given the historical record, that this would suffice to bring about the radical change in foreign policy that is needed, whoever is elected. It is not as if President Bush's administration can be held solely responsible for what has happened, with Blair being charged with some additional responsibility. Both Bush and Blair were re-elected after the 2003 Iraq war, and long after the character of the "war on terrorism" had become all too apparent. What is required, evidently, is a much more widely dispersed understanding, among the electorates of the democratic nations of the world, of how terrorism can be tackled, or contained, intelligently and effectively, in such a way that international law is observed, civil liberties are not undermined, and without resort to terrorist actions. But how is this to be brought about?
Before I attempt to answer this key question, I would like first to put the problem of international terrorism into the context of other urgent global problems. There is the problem of war in general, over 100 million people having died in countless wars in the 20th century (which compares unfavourably with the 12 million or so killed in wars during the 19th century). There is the arms trade, the massive stockpiling of armaments, even by poor countries, and the ever-present threat of their use in war, whether the arms be conventional, chemical, biological or nuclear. There is the sustained and profound injustice of immense differences of wealth across the globe, the industrially advanced first world of North America, Europe and elsewhere experiencing unprecedented wealth while something like three quarters of humanity live in conditions of poverty in the developing world, hungry, unemployed, without proper housing, health care, education, or even access to safe water. There is the long-standing problem of the rapid growth of the world's population, especially pronounced in the poorest parts of the world, and adversely affecting efforts at development. There is the problem of the progressive destruction of tropical rain forests and other natural habitats, with its concomitant devastating extinction of species. And there is the horror of the AIDS epidemic, again far more terrible in the poorest parts of the world, devastating millions of lives, destroying families, and crippling economies. And most serious of all, perhaps, there is the problem of global warming.
Most of these problems are interlinked with one another, in complex ways. Global warming may lead, as a result of drought, floods, or rising sea levels, to populations becoming displaced which, in turn, is likely to lead to terrorism and war. The arms trade, the stockpiling of weapons, clearly has implications for war and terrorism. On the other hand, the decision to make "the war on terrorism" the number one issue may have, and may have already had, the effect of distracting attention away from even more serious problems, such as global warming.
The Need for Public Education
It is now, in my view, of decisive importance to appreciate the following elementary points concerning these interlinked global problems. If we are to tackle these problems effectively, humanely and democratically, then it is essential that the electorates of the democracies of the world have a good understanding of what these problems are, and what we need to do to solve them. That in turn requires that people are educated about what the problems are, and what we need to do to solve them. And that in turn requires that our institutions of learning - our schools and universities - are rationally devoted to this fundamental task, to the task of educating the public about what our problems of living are and what we need to do about them, especially our immense, intractable, apparently impersonal global problems, including the problem of international terrorism.
There is, I believe, no evading the conclusion of this elementary argument. We cannot hope to resolve the world's problem undemocratically. It would be foolish or even, perhaps,, suicidal to put our trust in enlightened unelected political leaders. Even if we had elected leaders and governments with the best possible will and understanding in the world, they would still be constrained, in their actions, by what electorates would tolerate. As it is, we do not have leaders and democratic governments with the best possible good will and understanding, and nor are we likely to have them in the future. If our governments are to pursue more intelligent and humane policies, powerful democratic pressure must be put on them to do so. It must be made abundantly clear that a sizeable majority of the electorate demand such policies from their governments, so much so that governments which do not oblige will be kicked out of office at the next election. Electorates must be adept at seeing through the deceptions of governments, so that governments cannot get away with pursuing one set of policies while convincing most of the electorate that quite different policies are being implemented. All this requires education - education about what our problems are and what we need to do to solve them, and education about the realities, constraints, and deceptions, of government.
There is, quite simply, no alternative. If humanity is to tackle its immense problems effectively and humanely, it is essential that humanity has a good understanding of what the problems are, and what needs to be done to resolve them. And this in turn requires that our public institutions of learning - our schools and universities - are rationally devoted to achieving this fundamental goal. This point applies just as much to the problem of international terrorism as it does to global warming, population increase or rapid extinction of species.
The Pursuit of Knowledge
One immediate response may be that schools and universities are already devoting considerable energy to educating the public about these matters. I believe this to be true. It is nevertheless the case that the primary official intellectual aim of academic inquiry is not to help humanity learn how to solve its global problems, make progress towards a better world. It is rather to acquire knowledge and technological know-how. Or rather, the idea is that the primary way in which academia can help humanity make progress towards a better world is, in the first instance, to acquire knowledge. First, knowledge is to be acquired; then it can be applied to help solve social problems. And furthermore, in order to be of benefit to humanity, academia must ensure that authentic, objective, reliable knowledge is acquired. This means that the pursuit of knowledge must be sharply dissociated from all social, humanitarian or political goals. If social, political and evaluative considerations are not excluded from science, the danger is - so it is held - that the pursuit of knowledge will degenerate into mere propaganda or ideology, science will be corrupted intellectually, and will cease to be of value to humanity. In order to make a contribution of value to humanity, paradoxically, science must eschew all considerations concerning what is of human value. And this means universities do not, and cannot, devote themselves primarily to educating the public about what our global problems are, and what we need to do to solve them. Academia must restrict itself, in the first instance at least, to solving problems of knowledge, so that knowledge that is acquired can, subsequently, be used to help solve social problems of living.
Elsewhere, I have expounded and criticized this immensely influential view as the philosophy of knowledge, or knowledge-inquiry (see Maxwell, 1984, 1992, 2000, 2004). There can be no doubt whatsoever that the scientific pursuit of knowledge has, over the centuries, helped transform the human condition, and has brought immense benefits to our whole way of life. The modern world is quite simply inconceivable without modern science.
Nevertheless, the pursuit of knowledge dissociated from a more fundamental concern with problems of living - with our global problems - as demanded by knowledge-inquiry, despite the benefits that have resulted, has also had profoundly damaging consequences. It has resulted in all our current global problems, including the lethal character of modern terrorism.
Modern science and technology vastly increase our power to act. This, as I have said, has a multitude of beneficial consequences. But also, not surprisingly, it can have bad consequences as well, either intentionally, in war and terrorism, or unintentionally (initially at least) when modern industry and agriculture lead to global warming, destruction of natural habitats and extinction of species. Modern science and technology make possible hygiene and modern medicine, the rapid growth in the human population, modern industry and agriculture, modern armaments; these, in turn, make possible the lethal character of modern war and terrorism, destruction of natural habitats, global warming, and all our other current global problems. Even the AIDS epidemic has emerged in this way, AIDS being spread by modern methods of travel.
In short, not only does the current devotion of academia to the pursuit of knowledge and technological know-how prevent universities from taking their primary task to be to educate the public about what our global problems are, and what we need to do about them. Even worse, this immensely successful pursuit of knowledge dissociated from a more fundamental concern with global problems of living is actually implicated in the creation of our current global problems.
It is even worse than this. In a perfectly reasonable sense of "cause", our global problems have been caused by modern science and technology.
At once the objection may be made that it is not science that is the cause of our global problems, but rather the things that we do, made possible by science and technology. This is obviously correct. But it is also correct to say that scientific and technological progress is the cause. The meaning of "cause" is ambiguous. By "the cause" of event E we may mean something like "the most obvious observable events preceding E that figure in the common sense explanation for the occurrence of E". In this sense, human actions (made possible by science) are the cause of such things as people being killed in war, destruction of tropical rain forests. On the other hand, by the "cause" of E we may mean "that prior change in the environment of E which led to the occurrence of E, and without which E would not have occurred". If we put the 20th century into the context of human history, then it is entirely correct to say that, in this sense, scientific-and-technological progress is the cause of our distinctive current global disasters: what has changed, what is new, is scientific knowledge, not human nature. (Give a group of chimpanzees rifles and teach them how to use them and in one sense, of course, the cause of the subsequent demise of the group would be the actions of the chimpanzees. But in another obvious sense, the cause would be the sudden availability and use of rifles - the new, lethal technology.) Yet again, from the standpoint of theoretical physics, "the cause" of E might be interpreted to mean something like "the physical state of affairs prior to E, throughout a sufficiently large spatial region surrounding the place where E occurs". In this third sense, the sun continuing to shine is as much a part of the cause of war and pollution as human action or human science and technology.
In short, if by the cause of an event we mean that prior change which led to that event occurring, then it is the advent of modern science and technology that has caused all our current global crises. It is not that people became greedier or more wicked in the 19th and 20th centuries; nor is it that the new economic system of capitalism is responsible, as some historians and economists would have us believe. The crucial factor is the creation and immense success of modern science and technology. This has led to modern medicine and hygiene, to population growth, to modern agriculture and industry, to world wide travel (which spreads diseases such as AIDS), to global warming, and to the destructive might of the technology of modern war and terrorism, conventional, chemical, biological, nuclear.
9/11 is a striking case in point. There is nothing exclusively modern about terrorism itself, any more than there is about war: terrorism goes back at least to Biblical times. But what is distinctively modern is the scale of the threat, and its impact. Those responsible for 9/11 used nothing more high-tech than knives, but they were able to exploit modern technology so as vastly to increase the enormity of their action, and the scale of its impact. They exploited aeroplanes with which to do the deed, and relied on television and modern communications to spread news and images of what they had done round the world instantly, as the horror unfolded. It was modern technology which made the immediate global impact of 9/11 possible.
Before the advent of modern science and technology, lack of wisdom - lack of the capacity to resolve our problems of living intelligently and humanely - did not matter too much. We lacked the power to do too much damage to ourselves, or to the planet (although some damage we did do). But now that we (or some of us) possess unprecedented powers, thanks to modern science, lack of wisdom has become a menace. Humanity urgently needs to learn how to solve its problems more intelligently and humanely than it has done up to the present, and for that, as I have said, we urgently need to develop public institutions of learning rationally designed and devoted to achieving this goal.
But how is this to be done? Who could get academics to agree to transform the whole academic enterprise in the way that is, it seems, required? What guidelines could there be for creating a kind of inquiry rationally devoted to promoting wisdom? Might not the whole endeavour be a disaster, in that the only outcome would be the undermining of the objectivity, the intellectual integrity, of science, and thus its human value? Is it not an absurd over-reaction to cry for the transformation of academia so that the public may be better educated about the problems of the world? Is it not hopelessly utopian to think, in any case, that it is possible for humanity to learn wisdom?
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Correcting the Blunders of the Enlightenment
A perfectly acceptable answer to these questions stares us in the face. And yet it is one that almost everyone overlooks. Modern science has met with astonishing success in improving our knowledge of the natural world. It is this very success, as we have seen, that is the cause of our current problems. But instead of merely blaming science for our troubles, as some are inclined to do, we need, rather, to try to learn from the success of science. We need to learn from the manner in which science makes progress towards greater knowledge how we can make social progress towards a better, wiser world.
This is not a new idea. It goes back to the Enlightenment of the 18 th century, especially the French Enlightenment. Voltaire, Diderot, Condorcet and the other philosophes of the Enlightenment had the profoundly important idea that it might be possible to learn from scientific progress how to achieve social progress towards an enlightened world. They did not just have the idea: they did everything they could to put the idea into practice in their lives. They fought dictatorial power, superstition, and injustice with weapons no more lethal than those of argument and wit. They gave their support to the virtues of tolerance, openness to doubt, readiness to learn from criticism and from experience. Courageously and energetically they laboured to promote reason and enlightenment in personal and social life. And in doing so they created, in a sense, the modern world, with all its glories and disasters.
The philosophes of the Enlightenment had their hearts in the right place. But in developing the basic Enlightenment idea intellectually the philosophes, unfortunately, blundered. They botched the job. And it is this that we are suffering from today. The philosophers thought that the proper way to implement the Enlightenment Programme of learning from scientific progress how to achieve social progress towards an enlightened world is to develop the social sciences alongside the natural sciences. If it is important to acquire knowledge of natural phenomena to better the lot of mankind, as Francis Bacon had insisted, then (so, in effect, the philosophes thought) it must be even more important to acquire knowledge of social phenomena. First, knowledge must be acquired; then it can be applied to help solve social problems. They thus set about creating and developing the social sciences: economics, psychology, anthropology, history, sociology, political science.
This traditional version of the Enlightenment Programme, despite being damagingly defective, was immensely influential. It was developed throughout the 19 th century, by men such as Saint-Simon, Comte, Marx, Mill and many others, and was built into the intellectual-institutional structure of academic inquiry in the first part of the 20 th century with the creation of departments of the social sciences in universities all over the world.
Academic inquiry today, devoted primarily to the pursuit of knowledge and technological know-how, is the outcome of two past revolutions: the scientific revolution of the 16 th and 17 th centuries which led to the development of modern natural science, and the later profoundly important but very seriously defective Enlightenment revolution. It is this situation which calls for the urgent need to bring about a third revolution to put right the structural defects we have inherited from the Enlightenment.
But what, it may be asked, is wrong with the traditional Enlightenment Programme?
Almost everything. In order to implement properly the basic Enlightenment idea of learning from scientific progress how to achieve social progress towards a civilized world, it is essential to get the following three things right.
1. The progress-achieving methods of science need to be correctly identified.
2. These methods need to be correctly generalized so that they become fruitfully applicable to any worthwhile, problematic human endeavour, whatever the aims may be, and not just applicable to the one endeavour of acquiring knowledge.
3. The correctly generalized progress-achieving methods then need to be exploited correctly in the great human endeavour of trying to make social progress towards an enlightened, wise world.
Unfortunately, the philosophes of the Enlightenment got all three points wrong. And as a result these blunders, undetected and uncorrected, are built into the intellectual-institutional structure of academia as it exists today. Academia today is, in other words, the outcome of a botched attempt to learn from scientific progress how to make social progress towards a better world.
First, the philosophes failed to capture correctly the progress-achieving methods of natural science. From D'Alembert in the 18 th century to Popper in the 20 th, the widely held view, amongst both scientists and philosophers, has been (and continues to be) that science proceeds by assessing theories impartially in the light of evidence, no permanent assumption being accepted by science about the universe independently of evidence. But this standard empiricist view is untenable. If taken literally, it would instantly bring science to a standstill. For, given any accepted scientific theory, T, Newtonian theory say, or quantum theory, endlessly many rivals can be concocted which agree with T about observed phenomena but disagree arbitrarily about some unobserved phenomena. Science would be drowned in an ocean of such empirically successful rival theories if empirical considerations alone determined which theories are accepted, which rejected.
In practice, these rivals are excluded because they are disastrously disunified. Two considerations govern acceptance of theories in science: empirical success and unity. But in persistently accepting unified theories, to the extent of rejecting disunified rivals that are just as, or even more, empirically successful, science makes a big persistent assumption about the universe. Science assumes that the universe is such that all disunified theories are false. The universe has some kind of unified dynamic structure. It is physically comprehensible in the sense that explanations for phenomena exist to be discovered.
But this untestable (and thus metaphysical) assumption that the universe is comprehensible is profoundly problematic. How can we possibly know that the universe is comprehensible? Science is obliged to assume, but does not know, that the universe is comprehensible. Much less does it know that the universe is comprehensible in this or that way. A glance at the history of physics reveals that ideas about how the universe may be comprehensible have changed dramatically over time. In the 17 th century there was the idea that the universe consists of corpuscles, minute billiard balls, which interact only by contact. This gave way to the idea that the universe consists of point-particles surrounded by rigid, spherically symmetrical fields of force, which in turn gave way to the idea that there is one unified self-interacting field, varying smoothly throughout space and time. Nowadays we have the idea that everything is made up of minute quantum strings embedded in ten or eleven dimensions of space-time. Some kind of assumption along these lines must be made but, given the historical record, and given that any such assumption concerns the ultimate nature of the universe, that of which we are most ignorant, it is only reasonable to conclude that it is almost bound to be false.
The way to overcome this fundamental dilemma, inherent in the scientific enterprise, is to construe science as making a hierarchy of metaphysical assumptions concerning the comprehensibility and knowability of the universe, these assumptions asserting less and less as one goes up the hierarchy, and thus becoming more and more likely to be true. In this way a framework of relatively insubstantial, unproblematic, fixed assumptions and associated methods is created within which much more substantial and problematic assumptions and associated methods can be changed, and indeed improved, as scientific knowledge improves. Put another way, a framework of relatively unspecific, unproblematic, fixed aims and methods is created within which much more specific and problematic aims and methods evolve as scientific knowledge evolves. (A basic aim of science is to discover in what precise way the universe is comprehensible, this aim evolving as assumptions about comprehensibility evolve.) There is positive feedback between improving knowledge, and improving aims-and-methods, improving knowledge-about-how-to-improve-knowledge. This is the nub of scientific rationality, the methodological key to the unprecedented success of science. Science adapts its nature to what it discovers about the nature of the universe. For a detailed exposition and defence of this hierarchical, aim-oriented empiricist conception of science see Maxwell (1998; 2001, chapter 3 and appendix 3; and 2004, chapter 1 and 2 and appendix; 2007, chapter 14).
So much for the first blunder of the Enlightenment.
Second, having failed to identify the methods of science correctly, the philosophes naturally failed to generalize these methods properly. They failed to appreciate that the idea of representing the problematic aims (and associated methods) of science in the form of a hierarchy can be generalized and applied fruitfully to other worthwhile enterprises besides science. Many other enterprises have problematic aims; these would benefit from employing a hierarchical methodology, generalized from that of science, thus making it possible to improve aims and methods as the enterprise proceeds. There is the hope that, in this way, some of the astonishing success of science might be exported into other worthwhile human endeavours, with aims quite different from those of science.
Third, and most disastrously of all, the philosophes failed completely to try to apply such generalized progress-achieving methods to the immense, and profoundly problematic enterprise of making social progress towards an enlightened, wise world. The aim of such an enterprise is notoriously problematic. For all sorts of reasons, what constitutes a good world, an enlightened, wise or civilized world, attainable and genuinely desirable, must be inherently and permanently problematic. Here, above all, it is essential to employ the generalized version of the hierarchical, progress-achieving methods of science, designed specifically to facilitate progress when basic aims are problematic.
Properly implemented, in short, the Enlightenment idea of learning from scientific progress how to achieve social progress towards an enlightened world would involve developing social inquiry as social methodology, or social philosophy, not primarily as social science. A basic task would be to get into personal and social life, and into other institutions besides that of science - into government, industry, agriculture, commerce, the media, law, education, international relations - hierarchical, progress-achieving methods (designed to improve problematic aims) arrived at by generalizing the methods of science. A basic task for academic inquiry as a whole would be to help humanity learn how to resolve its conflicts and problems of living in more just, cooperatively rational ways than at present. This task would be intellectually more fundamental than the scientific task of acquiring knowledge. Social inquiry would be intellectually more fundamental than physics. Academia would be a kind of people's civil service, doing openly for the public what actual civil services are supposed to do in secret for governments. Academia would have just sufficient power (but no more) to retain its independence from government, industry, the press, public opinion, and other centres of power and influence in the social world. It would seek to learn from, educate, and argue with the great social world beyond, but would not dictate. Academic thought would be pursued as a specialized, subordinate part of what is really important and fundamental: the thinking that goes on, individually, socially and institutionally, in the social world, guiding individual, social and institutional actions and life. The fundamental intellectual and humanitarian aim of inquiry would be to help humanity acquire wisdom - wisdom being the capacity to realize (apprehend and create) what is of value in life, for oneself and others, wisdom thus including knowledge and technological know-how but much else besides.
One important consequence flows from the point that the basic aim of inquiry would be to help us discover what is of value, namely that our feelings and desires would have a vital rational role to play within the intellectual domain of inquiry. If we are to discover for ourselves what is of value, then we must attend to our feelings and desires. But not everything that feels good is good, and not everything that we desire is desirable. Rationality requires that feelings and desires take fact, knowledge and logic into account, just as it requires that priorities for scientific research take feelings and desires into account. In insisting on this kind of interplay between feelings and desires on the one hand, knowledge and understanding on the other, the conception of inquiry that we are considering resolves the conflict between Rationalism and Romanticism, and helps us to acquire what we need if we are to contribute to building civilization: mindful hearts and heartfelt minds.
Another outcome of getting into social and institutional life the kind of aim-evolving, hierarchical methodology indicated above, generalized from science, is that it becomes possible for us to develop and assess rival philosophies of life as a part of social life, somewhat as theories are developed and assessed within science. Such a hierarchical methodology
"provides a framework within which diverse philosophies of value - diverse religions, political and moral views - may be cooperatively assessed and tested against the experience of personal and social life. There is the possibility of cooperatively and progressively improving such philosophies of life (views about what is of value in life and how it is to be achieved) much as theories are cooperatively and progressively improved in science. In science diverse universal theories are critically assessed with respect to each other, and with respect to experience (observational and experimental results). In a somewhat analogous way, diverse philosophies of life may be critically assessed with respect to each other, and with respect to experience - what we do, achieve, fail to achieve, enjoy and suffer - the aim being so to improve philosophies of life (and more specific philosophies of more specific enterprises within life such as government, education or art) that they offer greater help with the realization of value in life" (Maxwell, 1984, p. 254).
All in all, if the Enlightenment revolution had been carried through properly, the three steps indicated above being correctly implemented, the outcome would have been a kind of academic inquiry very different from what we have at present. We would possess what we so urgently need, and at present so dangerously and destructively lack, institutions of learning well-designed from the standpoint of helping us create a better, a wiser world.
We have travelled far from our initial topic, the disastrous "war on terrorism". And yet, the transformation in our instruments of public learning that I have (briefly) argued for, are highly relevant to our capacity to deal effectively and humanely with terrorism. What our initial discussion of the eight principles that need to be observed in combating terrorism revealed is that, again and again, the current "war on terrorism" is achieving the very opposite of what was intended. Terrorism is being actively promoted, even implemented, not contained and curtailed. The aim of combating terrorism, like so many other aims in life, is inherently problematic. If we do not proceed intelligently, learning from past mistakes, it is all too likely that we will achieve the very opposite of what we seek. Hence the fundamental importance of a kind academic inquiry, a kind of learning, which emphasizes the need to subject problematic aims to sustained criticism and improvement.
It would be absurd, of course, to argue that we need to transform academia so that we can learn how to combat terrorism intelligently. That is not what I have argued. Rather, my claim is that international terrorism is one of a number of global problems that confront us and that, if we are to tackle these problems intelligently, humanely and democratically (as we must do), people quite generally must have a much better understanding of what these problems are, and what needs to be done about them, than they do at present, this in turn requiring a kind of inquiry rationally designed to promote such public education about our problems, this in turn requiring a revolution in our schools and universities. Learning how to tackle terrorism more intelligently would be a beneficiary along with learning how to tackle more intelligently our other global problems.
I must emphasize, however, that the reasons for the revolution in the aims and methods of inquiry that I have indicated are not only humanitarian. There are also absolutely decisive intellectual reasons. The kind of inquiry that would emerge - wisdom-inquiry as I have called it - would be both more rigorous intellectually, and of greater human value, than what we have at present. The revolution is needed in the interests both of the intellectual and the practical aspects of inquiry.
But will it happen? I first spelled out the argument over thirty years ago (Maxwell, 1976). It was spelled out again, in very much greater detail, in my second book (Maxwell, 1984). This received many excellent reviews, in particular a glowing review from Christopher Longuet-Higgins in Nature, who remarked, during the course of his review, " Maxwell is advocating nothing less than a revolution (based on reason, not on religious or Marxist doctrine) in our intellectual goals and methods of inquiry ... There are altogether too many symptoms of malaise in our science-based society for Nicholas Maxwell's diagnosis to be ignored" (Longuet-Higgins, 1984). Unfortunately it has been ignored. With agonizing slowness, in a wholly piecemeal and confused fashion, some changes have taken place in science, and in academia more generally, that are somewhat in the direction that I have argued for, but in complete ignorance of my argument (and often masked by other changes that take things in the opposite direction): see Maxwell (2007, chapters 6 and 12); see, also, Iredale (2007). Academia is supposed to be about innovation but, when it comes to the rules of the game, dogmatic conservatism tends to take over. It is difficult, too, to arouse public interest in the current damaging irrationality of academia. In the popular mind, "academic" is almost synonymous with "irrelevant" or "pointless". That judgement is part of the problem.
On the other hand, the revolution that we need might be compared in significance to the Renaissance, to the scientific revolution, or to the 18 th century Enlightenment. Intellectual revolutions as profound and far-reaching as these do not happen overnight. Thirty years of inaction, when the matter is viewed in that light, is perhaps not such a long time interval.
But the question that haunts me is this: Given the state of the world today, given the enormity of the problems that face us, can humanity afford to put off any longer creating institutions of learning rationally designed to help us discover how to tackle our problems in wiser, more cooperatively rational ways?
Conclusion
In the meantime, all is not lost. Louise Richardson's What Terrorists Want seems to me exactly the kind of work that academics today should be writing: intelligent, informative, wise, highly readable and well-written, it provides genuine insight into the motives and character of terrorism, and comes up with sensible proposals as to how the problem should be tackled. It is clearly intended to contribute to public education. It is an exemplary contribution to wisdom-inquiry.
Here, to conclude, is a summary of the changes that need to be made to science, and to academic inquiry more generally, to put right the blunders we have inherited from the Enlightenment, thus creating a kind of inquiry rationally designed to help humanity learn how to create a better world.
1. There needs to be a change in the basic intellectual aim of inquiry, from the growth of knowledge to the growth of wisdom - wisdom being taken to be the capacity to realize what is of value in life, for oneself and others, and thus including knowledge, understanding and technological know-how.
2. There needs to be a change in the nature of academic problems, so that problems of living are included, as well as problems of knowledge. Furthermore, problems of living need to be treated as intellectually more fundamental than problems of knowledge.
3. There needs to be a change in the nature of academic ideas, so that proposals for action are included as well as claims to knowledge. Furthermore, proposals for action need to be treated as intellectually more fundamental than claims to knowledge.
4. There needs to be a change in what constitutes intellectual progress, so that progress-in-ideas-relevant-to-achieving-a-more-civilized-world is included as well as progress in knowledge, the former being indeed intellectually fundamental.
5. There needs to be a change in the idea as to where inquiry, at its most fundamental, is located. It is not esoteric theoretical physics, but rather the thinking we engage in as we seek to achieve what is of value in life.
6. There needs to be a dramatic change in the nature of social inquiry (reflecting points 1 to 5). Economics, politics, sociology, and so on, are not, fundamentally, sciences, and do not, fundamentally, have the task of improving knowledge about social phenomena. Instead, their task is threefold. First, it is to articulate problems of living, and propose and critically assess possible solutions, possible actions or policies, from the standpoint of their capacity, if implemented, to promote wiser ways of living. Second, it is to promote such cooperatively rational tackling of problems of living throughout the social world. And third, at a more basic and long-term level, it is to help build the hierarchical structure of aims and methods of aim-oriented rationality into personal, institutional and global life, thus creating frameworks within which progressive improvement of personal and social life aims-and-methods becomes possible. These three tasks are undertaken in order to promote cooperative tackling of problems of living - but also in order to enhance empathic or "personalistic" understanding between people as something of value in its own right. Acquiring knowledge of social phenomena is a subordinate activity, engaged in to facilitate the above three fundamental pursuits.
7. Natural science needs to change, so that it includes at least three levels of discussion: evidence, theory, and research aims. Discussion of aims needs to bring together scientific, metaphysical and evaluative consideration in an attempt to discover the most desirable and realizable research aims.
8. There needs to be a dramatic change in the relationship between social inquiry and natural science, so that social inquiry becomes intellectually more fundamental from the standpoint of tackling problems of living, promoting wisdom.
9. The way in which academic inquiry as a whole is related to the rest of the human world needs to change dramatically. Instead of being intellectually dissociated from the rest of society, academic inquiry needs to be communicating with, learning from, teaching and arguing with the rest of society - in such a way as to promote cooperative rationality and social wisdom. Academia needs to have just sufficient power to retain its independence from the pressures of government, industry, the military, and public opinion, but no more. Academia becomes a kind of civil service for the public, doing openly and independently what actual civil services are supposed to do in secret for governments.
10. There needs to be a change in the role that political and religious ideas, works of art, expressions of feelings, desires and values have within rational inquiry. Instead of being excluded, they need to be explicitly included and critically assessed, as possible indications and revelations of what is of value, and as unmasking of fraudulent values in satire and parody, vital ingredients of wisdom.
11. There need to be changes in education so that, for example, seminars devoted to the cooperative, imaginative and critical discussion of problems of living are at the heart of all education from five-year-olds onwards. Politics, which cannot be taught by knowledge-inquiry, becomes central to wisdom-inquiry, political creeds and actions being subjected to imaginative and critical scrutiny.
12. There need to be changes in the aims, priorities and character of pure science and scholarship, so that it is the curiosity, the seeing and searching, the knowing and understanding of individual persons that ultimately matters, the more impersonal, esoteric, purely intellectual aspects of science and scholarship being means to this end. Social inquiry needs to give intellectual priority to helping empathic understanding between people to flourish (as indicated in 6 above).
13. There need to be changes in the way mathematics is understood, pursued and taught. Mathematics is not a branch of knowledge at all. Rather, it is concerned to explore problematic possibilities, and to develop, systematize and unify problem-solving methods.
14. Literature needs to be put close to the heart of rational inquiry, in that it explores imaginatively our most profound problems of living and aids personalistic understanding in life by enhancing our ability to enter imaginatively into the problems and lives of others.
15. Philosophy needs to change so that it ceases to be just another specialized discipline and becomes instead that aspect of inquiry as a whole that is concerned with our most general and fundamental problems - those problems that cut across all disciplinary boundaries. Philosophy needs to become again what it was for Socrates: the attempt to devote reason to the growth of wisdom in life.
This is the revolution we need to bring about in our traditions and institutions of learning, if they are to be properly and rationally designed to help us learn how to make progress towards a wiser world.
References
Blum, W. (2006). Rogue State. London: Zed Books.
Chomsky, N. (2007). Failed States. London: Penguin.
Curtis, M. (2003). Web of Deceit. London: Vintage.
The Guardian, UK. (9 th May 2007). 'Jihad DVD find foiled terror plot, says FBI'.
Hiro, D. (2005). Secrets and Lies. London: Politico's.
Holland, G. (2004). 'Biological and Toxin Weapons Convention and Iraq: A report for Parliament on the British Government's response to the US supply of biological materials to Iraq'. School of Social Sciences and Cultural Studies, University of Sussex. Online.
Iredale, M. (2007). 'From knowledge-inquiry to wisdom-inquiry: is the revolution under way?', London Review of Education, July 2007.
Irish , D. (2005). ' Routes not Taken / Roles not Played (for peace and democracy)', North Country Peace Builder , vol. 56, no. 2. Online.
Longuet-Higgins, C. (1984). 'For goodness sake', Nature, vol. 312, 15 November 1984, p. 204.
Maxwell, N. (1976). What's Wrong With Science?. Frome, UK: Bran's Head Books.
________ (1984). From Knowledge to Wisdom. Oxford: Blackwell.
________ (1992). 'What Kind of Inquiry Can Best Help Us Create a Good World?'.Science, Technology and Human Values 17, pp. 205-27.
________ (2000). 'Can Humanity Learn to become Civilized? The Crisis of Science without Civilization, Journal of AppliedPhilosophy 17, pp. 29-44.
________ (2001). The Human World in the Physical Universe: Consciousness, Free Will and Evolution. Lanham: Rowman and Littlefield.
________ (2004). Is Science Neurotic?. London: Imperial College Press.
________ (2007). From Knowledge to Wisdom: A Revolution for Science and the Humanities. Second enlarged edition, London: Pentire Press.
Richardson, L. (2006). What Terrorists Want. London: John Murray.
Rees, M. (2003). Our Final Century . London: Arrow Books.
Roberts, L. et al. (29 th October 2004). 'Mortality before and after the 2003 invasion of Iraq: cluster sample survey', The Lancet. Online.
Washington Post (6 th September 2003). 'Saddam Hussein and the Sept. 11 Attacks'.
Notes
[1] Washington Post poll, 'Saddam Hussein and the Sept. 11 Attacks', September 6, 2003. [Return to text]
[2] 'Iraq war strain leads troops to abuse civilians, survey shows', The Guardian, 5 th May, 2007. [Return to text]
[3] Roberts et al. (2004) estimate, in a famous article published in The Lancet, that about 100,000 Iraqis died as a result of the war and occupation during the period 19 March 2003 to September 2004. This estimate excludes those who died in Fallujah. Iraq Body Count (www.iraqbodycount.net) held, on 13th May 2007, that the number of civilians reported killed as a result of the military intervention was between 63, 373 and 69,418. That the maximum figure, here is, for a longer period of time, considerably lower than The Lancet estimate makes sense once one appreciates that most deaths go unreported in Iraq. [Return to text]
[4] I have here given only a brief sketch of the disastrous current "war on terrorism". For much more detailed accounts, see Richardson (2006), Blum (2006), Chomsky (2007), Hiro (2005), Curtis (2003).