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OUP CORRECTED PROOF – FINAL, 09/10/2018, SPi
Ontology, Modality,
and Mind
Themes from the Metaphysics
of E. J. Lowe
edited by
Alexander Carruth, Sophie Gibb,
and John Heil
1
OUP CORRECTED PROOF – FINAL, 09/10/2018, SPi
3
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OUP CORRECTED PROOF – FINAL, 09/10/2018, SPi
Contents
Introduction1
John Heil
1. Metaphysics as the Science of Essence 14
E. J. Lowe
List of Figures
List of Contributors
x List of Contributors
Introduction
John Heil
1. E. J. Lowe
This volume is dedicated to the memory of E. J. Lowe, late Professor of Philosophy
at Durham University.1 It has fallen to me to say something about Lowe’s philosophical
work. Before setting out to do so, I cannot forbear a comment on the man.
Jonathan Lowe was a vital and ongoing influence on the philosophical develop-
ment of many. His departing the scene, like the departure of David Lewis, C. B. Martin,
J. J. C. Smart, and David Armstrong has contributed to a progressive thinning of the
ranks in serious ontology. Contemporary metaphysics more and more reflects social
trends in which a few are elevated to the status of stars, sometimes on the strength of
cleverness and an ability to game the system without making any sort of substantive
contribution likely to withstand the crucible of shifting trends—philosophical coun-
terparts of hedge fund managers. Lowe, in contrast, was the real deal. His modesty
and natural reticence masked a powerful and fearless intellect immune to the vicissi-
tudes of philosophical fashion.
Lowe combined an instinct for the big picture with an analytical temperament that
equipped him to master the details: a foxy hedgehog. He was a sensitive reader of his-
tory prepared to learn from earlier philosophers—most especially Aristotle and
Locke—and not simply invoke them as argumentative props. Like the best philo-
sophers, he led by example. I recall his masterful soliloquies during the fourth week of
a six-week NEH Summer Seminar I directed in June and July 2009, in which he mes-
merized a roomful of young philosophers lucky enough to observe a master craftsman
at work.
In the summer of 2013 I directed another NEH Seminar. Lowe was scheduled to
attend, and in fact I had built the seminar around the expectation that he would be our
first visitor and set the tone for everything that followed. Tragically it never happened.
By May of 2013, he had become too ill to travel abroad. He died on 5 January of the
following year.
1
The author is grateful to A. D. Carruth, S. C. Gibb, and Matthew Tugby for comments on an earlier
draft of this chapter.
OUP CORRECTED PROOF – FINAL, 09/12/2018, SPi
2 John Heil
Jonathan Lowe was a peerless philosopher, colleague, teacher, husband, and father—
a man whose absence is keenly felt by many. In my own case, not a day goes by when
I haven’t wished that I could sound him out on a particular topic or argument. Now
I wonder what he would make of my description of his views that follows.
introduction 3
4 John Heil
Substantial Non-Substantial
Universals Characterized By Universals
(Kinds) (Attributes)
Before saying what Lowe’s universals are, however, it is worth noting another point
on which Lowe and Armstrong differ. Armstrong’s universals correspond to proper-
ties, Lowe’s non-substantial universals, attributes. Armstrong has no place for substan-
tial universals. For Armstrong a kind—horsehood, say—is not a distinct ontological
category but something closer to a collection of universals definitive of instances of the
kind—properties any horse must possess.
As noted earlier, Armstrong’s basic entities are states of affairs: particular substances’
instantiating universals. God does not create particular substances—‘thin particulars’—
and universals, then assemble them into states of affairs. If God wants to create a universal
or a substance, God must create a particular state of affairs: the ‘victory of particularity’.
States of affairs are non-mereological composites. Universals and particular substances
are alike abstractions, ‘aspects’ of states of affairs. Every state of affairs has dual aspects:
a particular aspect and a universal aspect.
Lowe’s conception of universals and his reasons for thinking that universals—both
substantial and non-substantial universals—must have instances are very different.
For Lowe a universal is an abstraction from a particular. Locke characterized abstrac-
tion as ‘partial consideration’. Think of Socrates’s being pale. You can consider Socrates
without considering his paleness, and you can consider Socrates’s paleness without
considering Socrates. (If this seems odd, imagine considering the color of a color
chip in a paint store without considering the chip itself or its shape.) This gets you
to Socrates’s paleness, a mode. Now consider just the paleness, abstract from its being
Socrates’s paleness. When you do this, when you abstract from its particularity, you
have arrived at a universal, something that could have many instances.5
5
I discuss this conception of universals and a related conception advanced by D. C. Williams in my
contribution to this volume.
OUP CORRECTED PROOF – FINAL, 09/12/2018, SPi
introduction 5
The same reasoning applies to Socrates himself and his kind—humanness. You can
consider the individual substance, Socrates, and you can consider Socrates as a human
being abstracting from his particularity.
If universals are abstractions in this sense, it is clear why they must have instances.
Just as Socrates’s paleness requires Socrates, so paleness, the universal, requires some
paleness or other. Socrates’s paleness depends ‘rigidly’ on Socrates, paleness, the uni-
versal, depends ‘non-rigidly’ on there being some particular paleness or other.
On this conception of universals, a universal is not a general entity, not an entity
capable of being wholly present in distinct spatio-temporal locations at once, and cer-
tainly not a resident of a Platonic heaven. Universals are a species of abstract entity,
where an abstract entity is understood, not as being transcendent, outside spacetime,
but as being dependent for its identity on its instances. Substantial universals depend
on individual substances, non-substantial universals depend on modes. Lowe’s real-
ism, then, is, like that of D. C. Williams, a species of what Keith Campbell calls ‘painless
realism’ (Campbell 1990).
Before moving on, two points require emphasis. First, universals are in no sense
language- or mind-dependent. Although abstraction—Locke’s ‘partial consideration’—
is a mental operation, abstraction merely reveals what is there to be abstracted. A par-
ticular electron has a particular charge. If the electron is an individual substance, its
charge is a mode, one way the electron is. In considering that mode, in considering
that way independently of the electron, you are considering a way many things, many
electrons are. More generally, two individual substances are ‘the same’ way, they
‘share’ a characteristic, if they are exactly similar in some respect, where the ‘respects’
are modes.
Second, this conception of universals differs from a conception embraced by some
trope theorists who identify universals with classes or collections of exactly resembling
tropes. For Lowe a universal is what it is for an individual substance to be a particular
way, what it is for an electron, for instance, to have a particular charge. And this is
something many electrons have in common.
6
See Lowe 2008a, 2012a, 2012b, 2012d. Kit Fine’s work on essences has sparked a vast and growing
literature on the topic; see, for instance, Fine 1982, 1994 and many subsequent papers.
OUP CORRECTED PROOF – FINAL, 09/12/2018, SPi
6 John Heil
Thus conceived, essences are not entities, not constituents of ‘hylomorphic compounds’
as Aristotelians suppose, nor are they microconstitutions or hidden structures of the
kind favored by ‘scientific essentialists’. It might turn out that the essence of something,
water, for instance, is to have a particular kind of microconstitution—what it is to be
water is to be constituted by H2O—but it would be a category mistake to identify this
microconstitution with water’s essence. (For reasons to doubt that it is essential to
water that it be constituted by H2O, see Lowe 2008a.) In any case, were essences entities,
they themselves would have to have essences, and those essences have essences, and a
regress would ensue.
Associated with an essence is a ‘real definition’, a specification of what it is to be an
entity of a particular kind, what it is to be a horse, or a statue, or an electron, or more
generally, what it is to be a substance, a mode, or a universal. A grasp of essence is,
Lowe believes, required to ‘think comprehendingly’ about a given kind of entity or a
particular entity of a given kind. Thus to ‘think comprehendingly’ about a statue, you
must have a grasp of what it is to be a statue. If you know what it is to be a statue, then
you know the identity and persistence conditions for statues. You know, for instance,
what kinds of change a statue could and could not undergo. A statue could be damaged
and repaired, some of its matter replaced, but a statue could not survive a dramatic
change in shape or a dispersal of its parts.
Modal truths about entities—what is or is not possible for a given entity, for instance—
stem from essences of the entities in question. You know what could or couldn’t be true
of an electron if you know what it is to be an electron. Part of what it is to be an electron
is to possess a negative charge, and it is of the essence of negative charges that they
empower entities so charged to repel similarly charged entities and attract positively
charged entities.
Lowe characterizes metaphysics as the ‘science of essence’. God aside, essence, he
thinks, ‘precedes existence’, at least in the sense that, before you could know whether an
entity of a particular kind exists, you must at least know what it is to be an entity of that
kind. This does not mean that you must know everything about entities of the kind in
question. To discover new species of fish, an ichthyologist must know what it is to be a
fish. Once located, empirical study can reveal unexpected characteristics of a new
species. Physicists unsure of the existence of black holes knew what they were looking
for, even though some characteristics of black holes awaited subsequent empirical
investigation.
Essences provide a basis for distinguishing objects’ essential properties from their
‘accidental’ properties. An essential property of an object ‘flows’ from the essence of
the object in the sense that the object could not continue to exist as an object of that
kind were it to lack that property. You could think of an essential property as a prop-
erty an object must have if the object is to satisfy a given real definition. An accidental
property is one an object could lack while remaining an object of that kind. Socrates’s
rationality is essential to his humanity, but Socrates’s paleness is not, although Socrates
is both rational and pale.
OUP CORRECTED PROOF – FINAL, 09/12/2018, SPi
introduction 7
5. Subjects of Experience
I conclude my sketch of Lowe’s philosophical contributions with an account of
‘non-Cartesian substance dualism’.7 Imagine that minds—or better, following Descartes,
selves—were individual substances distinguishable from, but dependent on, the
material substances in which they were embodied. Lowe distinguishes selves from
their bodies in the way you might distinguish a statue from the lump of bronze that
makes it up. A self has a body, a complex material substance, on which it depends for
its existence. When you identify yourself, you are identifying a substance that has,
and depends on, a body, but which is not identical with that body. Nor are you to be
identified with any part of your body (your brain, for instance). At this point the
statue analogy breaks down. Although the self shares some properties with the body,
a self is not made up of the body or the body’s parts as a statue is, at a particular time,
made up of a portion of bronze.
Bodies and selves have very different essences, very different identity and persist-
ence conditions, so you are not identical with your body. Similar considerations lead to
the conclusion that you are not identical with any part of your body, your brain, for
instance. Your body is a complex biological substance that includes complex sub-
stances as parts. Your brain is one of these substantial parts. Your brain could exist
when you do not. Further, you have a particular height and mass. These you share with
your body, not with your brain and not with any other part of your body.
One important difference between your body and you is that, unlike your body, you
are a simple substance, one that lacks parts that are themselves substances. For con-
sider: what would parts of you be? If you grant that the self is not the body or a part of
the body, then parts of the body could not be parts of the self, unless the self has, in
addition, other, non-bodily parts. But, again, what might these parts be? There are no
obvious candidates.
Might the self be said to have psychological parts? Minds could be thought to include
distinct ‘faculties’, for instance. You have various sensory faculties as well as a faculty
for memory, and a faculty of imagination. Might these faculties be regarded as parts of
you? Whatever the faculties are, they are not substances in their own right, entities
7
See Lowe 1996, 2003, 2010, 2012c. Much of the discussion to follow is based on Heil 2004, ch. 4.
OUP CORRECTED PROOF – FINAL, 09/12/2018, SPi
8 John Heil
capable of existence independently of the self in the way parts of a body—a brain or a
heart, for instance—are capable of existing independently of the body of which they
are parts. Mental faculties are something like capacities, modes dependent on the
substances they modify.
So the self is a simple substance distinct from the body and from any substantial
part of the body. What characteristics do selves possess? You—the self that is you—
possesses some characteristics only derivatively. Your having a nose, for instance,
stems from your having a body that has a nose. But you also have a particular height
and mass. These characteristics are, in addition to being characteristics of your body,
characteristics of you, your self. This is the point at which Lowe and Descartes part
company. According to Descartes, selves, but not bodies, possess mental characteris-
tics; bodies, but not selves, possess physical characteristics. For Lowe, a self can have
physical as well as mental characteristics.
What accounts for the distinction between physical characteristics you have and
those you have only by virtue of having a body that has them? If the self is simple, then
it can possess only characteristics capable of possession by a simple substance. Having
two arms is possible only for a complex substance. You have two arms only deriva-
tively, only by virtue of having a body that has two arms. In contrast, being a particular
height or having a particular mass does not imply substantial complexity, so these are
characteristics you could be said to possess non-derivatively.8
In addition to possessing a range of physical characteristics, selves possess mental
characteristics. Your thoughts and feelings belong, not to your body, or to a part of
your body (your brain), but to you. More generally, selves, but not their bodies, possess
mental characteristics—or perhaps your body ‘possesses’ them only derivatively, only
by virtue of your possessing them.
Because selves, on a view of this kind, are not regarded as immaterial substances, the
Cartesian problem of causal interaction between selves and physical substances does
not arise. Still, we are bound to wonder how a self, which is not identical with a body or
with any part of a body, could act so as to mobilize a body. You decide to take a stroll
and subsequently move your body in a characteristic manner. How is this possible?
The causal precursors of your strolling apparently include only bodily events and vari-
ous external causes of bodily events.
Lowe argues that the model of causation in play in discussions of mental causation is
inappropriate. A Cartesian imagines selves initiating causal sequences in the brain and
thereby bringing about bodily motions. One worry about such a view is that it appar-
ently violates principles central to physics such as the conservation of mass–energy
and the idea that the physical universe is ‘causally closed’. Perhaps such a worry is, in
the end, merely the manifestation of a prejudice or, more charitably, a well-confirmed
but fallible presumption that could be undermined by empirical evidence. Until such
evidence turns up, however, we should do well to remain suspicious of those who
8
One assumption here is that a simple object could be extended. Thanks to Matthew Tugby.
OUP CORRECTED PROOF – FINAL, 09/12/2018, SPi
introduction 9
would deny closure solely in order to preserve a favored thesis. What is required, Lowe
thinks, is a way of understanding mind–body causal interaction that is at least consist-
ent with our best physical theories as they now stand.
Lowe argues that there is, in any case, a more telling difficulty for the Cartesian
model. Consider your decision to take a stroll, and your right leg’s subsequently mov-
ing as a consequence of that decision. A Cartesian supposes that your decision, a men-
tal event, initiates a causal chain that eventually issues in your right leg’s moving, a
bodily event. This picture is captured in Figure 0.2 (M1 is your deciding to stroll, a
mental event; B1 is your right leg’s moving, a physical event; E1 and E2, intervening
physical events in your nervous system; t0 is the time of the decision; and t1, the time at
which your right leg moves).
The Cartesian picture, Lowe thinks, incorporates a distortion. Imagine tracing the
causal chain leading backwards from the muscle contractions involved in the motion
of your right leg. That chain presumably goes back to events in your brain, but it goes
back beyond these to earlier events, and eventually to events occurring prior to your
birth. Further, and more significantly, when the causal chain culminating in B1 is
traced back, it quickly becomes entangled in endless other causal chains issuing in a
variety of quite distinct bodily motions, as depicted in Figure 0.3.
Here, B1 is your right leg’s moving, and B2 and B3, are distinct bodily motions. B2
might be your left arm’s moving as you greet a passing acquaintance, and B3 might be
a non-voluntary motion of an eyelid. The branching causal chains should be taken to
extend up the page indefinitely into the past.
Now, although your decision to stroll is presumed to be responsible for B1, and not
for B2 and B3, the causal histories of these bodily events are inextricably entangled.
Prior to t0, there is no identifiable event sequence causally responsible for B1, but not
for B2 or B3. It is hard to see where in the complex web of causal relations occurring
in your nervous system a mental event might initiate B1.
Lowe advocates the replacement of the Cartesian model of mental causation with
something like a model reminiscent of one proposed by Kant. The self affects the phys-
ical universe, although not by initiating or selectively intervening in causal chains.
Indeed, in one important respect—and excluding events such as the decay of a radium
atom—nothing in the universe initiates a causal chain. Rather, to put it somewhat mys-
teriously, the self makes it the case that the universe contains a pattern of causal
sequences issuing in a particular kind of bodily motion. A mental event (your deciding
to stroll, for instance) brings about a physical event (your right leg’s moving in a par-
ticular way), not by instigating a sequence of events that culminates in your right leg’s
so moving, but by bringing it about that a particular kind of causal pattern exists.
t0 t1
M1 E1 E2 B1