Published in Proceedings of the Aristotelian Society, 1956-7. Transcribed into hypertext by Andrew Chrucky, August 23, 2004.
A PLEA FOR EXCUSESJohn Austin
The subject of this paper, Excuses, is one not to be treated, but only to be introduced, within such limits. It is, or might be, the name of a whole branch, even a ramiculated branch, of philosophy, or at least of one fashion of philosophy. I shall try, therefore, first to state what the subject is, why it is worth studying, and how it may be studied, all this at a regrettably lofty level: and then I shall illustrate, in more congenial but desultory detail, some of the methods to be used, together with their limitations, and some of the unexpected results to be expected and lessons to be learned. Much, of course, of the amusement, and of the instruction, comes in drawing the coverts of the microglot, in hounding down the minutiae, and to this I can do no more here than incite you. But I owe it to the subject to say, that it has long afforded me what philosophy is so often thought, and made, barren of -- the fun of discovery, the pleasures of co-operation, and the satisfaction of reaching agreement.
What, then, is the subject? I am here using the word 'excuses' for a title, but it would be unwise to freeze too fast to this one noun and its partner verb: indeed for some time I used to use 'extenuation' instead. Still, on the whole 'excuses' is probably the most central and embracing term in the field, although this includes others of importance -- 'plea', 'defence', 'justification', and so on. When, then, do we 'excuse' conduct, our own or somebody else's? When are 'excuses' proffered?
In general, the situation is one where someone is accused of having done something, or (if that will keep it any cleaner) where someone is said to have done something which is bad, wrong, inept, unwelcome, or in some other of the numerous possible ways untoward. Thereupon he, or someone on his behalf, will try to defend his conduct or to get him out of it.
One way of going about this is to admit flatly that he, X, did do that very thing, A, but to argue that it was a good thing, or the right or sensible thing, or a permissible thing to do, either in general or at least in the special circumstances of the occasion. To take this line is to justify the action, to give reason for doing it: not to say, to brazen it out, to glory in it, or the like.
A different way of going about it is to admit that it wasn't a good thing to have done, but to argue that it is not quite fair or correct to say baldly 'X did A'. We may say it isn't fair just to say X did it; perhaps he was under somebody's influence, or was nudged. Or, it isn't fair to say baldly he did A; it may have been partly accidental, or an unintentional slip. Or, it isn't fair to say he did simply A -- he was really doing something quite different and A was only incidental, or he was looking at the whole thing quite differently. Naturally these arguments can be combined or overlap or run into each other.
In the one defence, briefly, we accept responsibility but deny that it was bad: in the other, we admit that it was bad but don't accept full, or even any, responsibility.
By and large, justifications can be kept distinct from excuses, and I shall not be so anxious to talk about them because they have enjoyed more than their fair share of philosophical attention.. But the two certainly can be confused, and can seem to go very near to each other, even if they do not perhaps actually do so. You dropped the tea-tray: Certainly, but an emotional storm was about to break out: or, Yes, but there was a wasp. In each case the defence, very soundly, insists on a fuller description of the event in its context; but the first is a justification, the second an excuse. Again, if the objection is to the use of such a dyslogistic verb as 'murdered', this may be on the ground that the killing was done in battle (justification) or on the ground that it was only accidental if reckless (excuse). It is arguable that we do not use the terms justification and excuse as carefully as we might; a miscellany of even less clear terms, such as 'extenuation', 'palliation', 'mitigation', hovers uneasily between partial justification and partial excuse; and when we plead, say, provocation, there is genuine uncertainty or ambiguity as to what we mean -- is he partly responsible, because he roused a violent impulse or passion in me, so that it wasn't truly or merely me acting 'of my own accord' (excuse)? Or is it rather that, he having done me such injury, I was entitled to retaliate (justification)? Such doubts merely make it the more urgent to clear up the usage of these various terms. But that the defences I have for convenience labelled 'justification' and 'excuse' are in principle distinct can scarcely be doubted.
This then is the sort of situation we have to consider under 'excuses'. I will only further point out how very wide a field it covers. We have, of course, to bring in the opposite numbers of excuses -- the expressions that aggravate, such as 'deliberately', 'on purpose', and so on, if only for the reason that an excuse often takes the form of a rebuttal of one of these. But we have also to bring in a large number of expressions which at first blush look not so much like excuses as like accusations -- 'clumsiness.', 'tactlessness', 'thoughtlessness', and the like. Because it has always to be remembered that few excuses get us out of it completely: the average excuse, in a poor situation, gets us only out of the fire into the frying pan -- but still, of course, any frying pan in a fire. If I have broken your dish or your romance, maybe the best defence I can find will be clumsiness.
Why, if this is what 'excuses' are, should we trouble to investigate them? It might be thought reason enough that their production has always bulked so large among human activities. But to moral philosophy in particular a study of them will contribute in special ways, both positively towards the development of a cautious, latter-day version of conduct, and negatively towards the correction of older and hastier theories.
In ethics we study, I suppose, the good and the bad, the right and the wrong, and this must be for the most part in some connexion with conduct or the doing of actions. Yet before we consider what actions are good or bad, right or wrong, it is proper to consider first what is meant by, and what not, and what is included under, and what not, the expression 'doing an action' or 'doing something'. These are expressions still too little examined on their own account and merits, just as the general notion of 'saying something' is still too lightly passed over in logic. There is indeed a vague and comforting idea in the background that, after all, in the last analysis, doing an action must come down to the making of physical movements with parts of the body; but this is about as true as that saying something must, in the last analysis, come down to making movements of the tongue.
The beginning of sense, not to say wisdom, is to realize that doing an action', as used in philosophy,1 is a highly abstract expression -- it is a stand-in used in the place of any (or almost any?) verb with a personal subject, in the same sort of way that 'thing' is a stand-in for any (or when we remember, almost any) noun substantive, and 'quality' a stand-in for the adjective. Nobody, to be sure, relies on such dummies quite implicitly quite indefinitely. Yet notoriously it is possible to arrive at, or to derive the idea for, an over-simplified metaphysics from the obsession with 'things' and their 'qualities'. In a similar way, less commonly recognized even in these semi-sophisticated times, we fall for the myth of the verb. We treat the expression 'doing an action' no longer as a stand-in for a verb with a personal subject, as which it has no doubt some uses, and might have more if the range of verbs were not left unspecified, but as a self-explanatory, ground-level description, one which brings adequately into the open the essential features of everything that conies, by simple inspection, under it. We scarcely notice even the most patent exceptions or difficulties (is to think something, or to say something, or to try to do something, to do an action?), any more than we fret, in the ivresse des grandes profondeurs, as to whether flames are things or events. So we come easily to think of our behaviour over any time, and of a life as a whole, as consisting in doing now action A, next action B, then action C, and so on, just as elsewhere we come to think of the world as consisting of this, that and the other substance or material thing, each with its properties. All 'actions' are, as actions (meaning what?), equal, composing a quarrel with striking a match, winning a war with sneezing: worse still, we assimilate them one and all to the supposedly most obvious and easy cases, such as posting letters or moving fingers, just as we assimilate all 'things' to horses or beds.
If we are to continue to use this expression in sober philosophy, we need to ask such questions as: Is to sneeze to do an action? Or is to breathe, or to see, or to checkmate, or each one of countless others? In short, for what range of verbs, as used on what occasions, is 'doing an action' a stand-in? What have they in common, and what do those excluded severally lack? Again we need to ask how we decide what is the correct name for 'the' action that somebody did -- and what, indeed, are the rules for the use of 'the' action, 'an' action, 'one' action, a 'part' or 'phase' of an action and the like. Further, we need to realize that even the 'simplest' named actions are not so simple -- certainly are not the mere makings of physical movements, and to ask what more, then, comes in (intentions? conventions?) and what does not (motives?), and what is the detail of the complicated internal machinery we use in 'acting' -- the receipt of intelligence, the appreciation of the situation, the invocation of principles, the planning, the control of execution and the rest.
In two main ways the study of excuses can throw light on these fundamental matters. First, to examine excuses is to examine cases where there has been some abnormality or failure: and as so often, the abnormal will throw light on the normal, will help us to penetrate the blinding veil of ease and obviousness that hides the mechanisms of the natural successful act. It rapidly becomes plain that the breakdowns signalized by the various excuses are of radically different kinds, affecting different parts or stages of the machinery, which the excuses consequently pick out and sort out for us. Further, it emerges that not every slip-up occurs in connexion with everything that could be called an 'action', that not every excuse is apt with every verb -- far indeed from it: and this provides us with one means of introducing some classification into the vast miscellany of 'actions'. If we classify them according to the particular selection of breakdowns to which each is liable, this should assign them their places in some family group or groups of actions, or in some model of the machinery of acting.
In this sort of way, the philosophical study of conduct can get off to a positive fresh start. But by the way, and more negatively, a number of traditional cruces or mistakes in this field can be resolved or removed. First among these comes the problem of Freedom. While it has been the tradition to present this as the 'positive' term requiring elucidation, there is little doubt that to say we acted 'freely' (in the philosopher's use, which is only faintly related to the everyday use) is to say only that we acted not un-freely, in one or another of the many heterogeneous ways of so acting (under duress, or what not). Like 'real', 'free' is only used to rule out the suggestion of some or all of its recognized antitheses. As 'truth' is not a name for a characteristic of assertions, so 'freedom' is not a name for a chracteristic of actions, but the name of a dimension in which actions are assessed. In examining all the ways in which each action may not be 'free', i.e. the cases in which it will not do to say simply 'X did A', we may hope to dispose of the problem of Freedom. Aristotle has often been chidden for talking about excuses or pleas and overlooking 'the real problem': in my own case, it was when I began to see the injustice of this charge that I first became interested in excuses.
There is much to be said for the view that, philosophical tradition apart, Responsibility would be a better candidate for the role here assigned to Freedom. If ordinary language is to be our guide, it is to evade responsibility, or full responsibility, that we most often make excuses, and I have used the word myself in this way above. But in fact 'responsibility' too seems not really apt in all cases: I do not exactly evade responsibility when I plead clumsiness or tactlessness, nor, often, when I plead that I only did it unwillingly or reluctantly, and still less if I plead that I had in the circumstances no choice: here I was constrained and have an excuse (or justification), yet may accept responsibility. It may be, then, that at least two key terms, Freedom and Responsibility, are needed: the relation between them is not clear, and it may be hoped that the investigation of excuses will contribute towards its clarification.2
So much, then, for ways in which the study of excuses may throw light on ethics. But there are also reasons why it is an attractive subject methodologically, at least if we are to proceed from 'ordinary language', that is, by examining what we should say when, and so why and what we should mean by it. Perhaps this method, at least as one philosophical method, scarcely requires justification at present -- too evidently, there is gold in them thar hills: more opportune would be a warning about the care and thoroughness needed if it is not to fall into disrepute. I will, however, justify it very briefly.
First, words are our tools, and, as a minimum, we should use clean tools: we should know what we mean and what we do not, and we must forearm ourselves against the traps that language sets us. Secondly, words are not (except in their own little corner) facts or things: we need therefore to prise them the world, to hold them apart from and against it, so that we can realize their inadequacies and arbitrariness, and can relook at the world without blinkers. Thirdly, and more hopefully, our common stock of words embodies all the distinctions men have found worth drawing, and the connexions they have found worth marking, in the lifetimes of many generations: these surely are likely to be more numerous, more sound, since they have stood up to the long test of the survival of the fittest, and more subtle, at least in all ordinary and reasonably practical matters, than any that you or I are likely to think up in our arm-chairs of an afternoon -- the most favoured alternative method.
In view of the prevalence of the slogan 'ordinary language', and of such names as 'linguistic' or 'analytic' philosophy or 'the analysis of language', one thing needs specially emphasizing to counter misunderstandings. When we examine what we should say when, what words we should use in what situations, we are looking again not merely at words (or 'meanings', whatever they may be) but also at the realities we use the words to talk about: we are using a sharpened awareness of words to sharpen our perception of, though not as the final arbiter of, the phenomena. For this reason I think it might be better to use, for this way of doing philosophy, some less misleading name than those given above -- for instance, 'linguistic phenomenology', only that is rather a mouthful.
Using, then, such a method, it is plainly preferable to investigate a field where ordinary language is rich and subtle, as it is in the pressingly practical matter of Excuses, but certainly is not in the matter, say, of Time. At the same time we should prefer a field which is not too much trodden into bogs or tracks by traditional philosophy, for in that case even 'ordinary' language will often have become infected with the jargon of extinct theories, and our own prejudices too, as the upholders or imbibers of theoretical views, will be too readily, and often insensibly, engaged. Here too, Excuses form an admirable topic; we can discuss at least clumsiness, or absence of mind, or inconsiderateness, even spontaneousness, without remembering what Kant thought, and so progress by degrees even to discussing deliberation without for once remembering Aristotle or self-control without Plato. Granted that our subject is, as already claimed for it, neighbouring, analogous or germane in some way to some notorious centre of philosophical trouble, then, with these two further requirements satisfied, we should be certain of what we are after: a good site for field work in philosophy. Here at last we should be able to unfreeze, to loosen up and get going on agreeing about discoveries, however small, and on agreeing about how to reach agreement.3 How much it is to be wished that similar field work will soon be undertaken in, say, aesthetics; if only we could forget for a while about the beautiful and get down instead to the dainty and the dumpy.
There are, I know, or are supposed to be, snags in 'linguistic' philosophy, which those not very familiar with it find, sometimes not without glee or relief, daunting. But with snags, as with nettles, the thing to do is to grasp them -- and to climb above them. I will mention two in particular, over which the study of excuses may help to encourage us. The first is the snag of Loose (or Divergent or Alternative) Usage; and the second the crux of the Last Word. Do we all say the same, and only the same, things in the same situations? Don't usages differ? And, Why should what we all ordinarily say be the only or the best or final way of putting it? Why should it even be true?
Well, people's usages do vary, and we do talk loosely, and we do say different things apparently indifferently. But first, not nearly as much as one would think. When we come down to cases, it transpires in the very great majority that what we had thought was our wanting to say different things of and in the same situation was really not so -- we had simply imagined the situation slightly differently: which is all too easy to do, because of course no situation (and we are dealing with imagined situations) is ever 'completely' described. The more we imagine the situation in detail, with a background of story -- and it is worth employing the most idiosyncratic or, sometimes, boring means to stimulate and to discipline our wretched imaginations -- the less we find we disagree about what we should say. Nevertheless, sometimes we do ultimately disagree: sometimes we must allow a usage to be, though appalling, yet actual; sometimes we should genuinely use either or both of two different descriptions. But why should this daunt us? All that is happening is entirely explicable. If our usages disagree, then you use 'X' where I use 'Y', or more probably (and more intriguingly) your conceptual system is different from mine, though very likely it is at least equally consistent and serviceable: in short, we can find why we disagree -- you choose to classify in one way, I in another. If the usage is loose, we can understand the temptation that leads to it, and the distinctions that it blurs: there are 'alternative' descriptions, then the situation can be described or can be 'structured' in two ways, or perhaps it is one where, for current purposes, the two alternatives come down to the same. A disagreement as to what we should say is not to be shied off, but to be pounced upon: for the explanation of it can hardly fail to be illuminating. If we light on an electron that rotates the wrong way, that is a discovery, a portent to be followed up, not a reason for chucking physics: and by the same token, a genuinely loose or eccentric talker is a rare specimen to be prized.
As practice in learning to handle this bogey, in learning the essential rubrics, we could scarcely hope for a more promising exercise than the study of excuses. Here, surely, is just the sort of situation where people will say 'almost anything', because they are so flurried, or so anxious to get off. 'It was a mistake', 'It was an accident' -- how readily these can appear indifferent, and even be used together. Yet, a story or two, and everybody will not merely agree that they are completely different, but even discover for himself what the difference is and what each means.4
Then, for the Last Word. Certainly ordinary language has no claim to be the last word, if there is such a thing. It embodies, indeed, something better than the metaphysics of the Stone Age, namely, as was said, the inherited experience and acumen of many generations of men. But then, that acumen has been concentrated primarily upon the practical business of life. If a distinction works well for practical purposes in ordinary life (no mean feat, for even ordinary life is full of hard cases), then there is sure to be something in it, it will not mark nothing: yet this is likely enough to be not the best way of arranging things if our interests are more extensive or intellectual than the ordinary. And again, that experience has been derived only from the sources available to ordinary men throughout most of civilized history: it has not been fed from the resources of the microscope and its successors. And it must be added too, that superstition and error and fantasy of all kinds do become incorporated in ordinary language and even sometimes stand up to the survival test (only, when they do, why should we not detect it?). Certainly, then, ordinary language is not the last word: in principle it can everywhere be supplemented and improved upon and superseded. Only remember, it is the first word.5
For this problem too the field of Excuses is a fruitful one. Here is matter both contentious and practically important for everybody, so that ordinary language is on its toes: yet also, on its back it has long had a bigger flea to bite it, in the shape of the Law, and both again have lately attracted the attentions of yet another, and at least a healthily growing, flea, in the shape of psychology. In the law a constant stream of actual cases, more novel and more tortuous than the mere imagination could contrive, are brought up for decision -- that is, formullae for docketing them must somehow be found. Hence it is necessary first to be careful with, but also to be brutal with, to torture, to fake and to override, ordinary language: we cannot here evade or forget the whole affair. (In ordinary life we dismiss the puzzles that crop up about time, but we cannot do that indefinitely in physics.) Psychology likewise produces novel cases, but it also produces new methods for bringing phenomena under observation and study: moreover, unlike the law, it has an unbiased interest in the totality of them and is impressed for decision. Hence its own special and constant need to supplement, to revise and to supersede the classifications of both ordinary life and the law. We have, then, ample material for practice in learning to handle the bogey of the Last Word, however it should be handled.
Suppose, then, that we set out to investigate excuses, what are the methods and resources initially available? Our object is to imagine the varieties of situation in which we make excuses, and to examine the expressions used in making them. If we have a lively imagination, together perhaps with an ample experience of dereliction, we shall go far, only we need system: I do not know how many of you keep a list of the kinds of fool you make of yourselves. It is advisable to use systematic aids, of which there would appear to be three at least. I list them here in order of availability to the layman.
First we may use the dictionary -- quite a concise one will do, but the use must be thorough. Two methods suggest themselves, both a little tedious, but repaying. One is to read the book through, listing all the words that seem relevant; this does not take as long as many suppose. The other is to start with a widish selection of obviously relevant terms, and to consult the dictionary under each: it will be found that, in the explanations of the various meanings of each, a surprising number of other terms occur, which are germane though of course not often synonymous. We then look up each of these, bringing in more for our bag from the 'definitions' given in each case; and when we have continued for a little, it will generally be found that the family circle begins to close, until ultimately it is complete and we come only upon repetitions. This method has the advantage of grouping the terms into convenient clusters -- but of course a good deal will depend upon the comprehensiveness of our initial selection.
Working the dictionary, it is interesting to find that a high percentage of the terms connected with excuses prove to be adverbs, a type of word which has not enjoyed so large a share of the philosophical limelight as the noun, substantive or adjective, and the verb: this is natural because, as was said, the tenor of so many excuses is that I did it but only in a way, not just flatly like that -- i.e. the verb needs modifying. Besides adverbs, however, there are other words of all kinds, including numerous abstract nouns, 'misconception,' 'accident', 'purpose', and the like, and a few verbs too, which often hold key positions for the grouping of excuses into classes at a high level ('couldn't help', 'didn't mean to', 'didn't realize', or again 'intend', and 'attempt'). In connexion with the nouns another neglected class of words is prominent, namely, prepositions. Not merely does it matter considerably which preposition, often of several, is being used with a given substantive, but further the prepositions deserve study on their own account. For the question suggests itself, Why are the nouns in one, group governed by 'under', in another by 'on', in yet another by 'by' or 'through' or 'from' or 'for' or 'with', and so on? It will be disappointing if there prove to be no good reasons for such groupings.
Our second source-book will naturally be the law. This will provide us with an immense miscellany of untoward cases, and also with a useful list of recognized pleas, together with a good deal of acute analysis of both. No one who tries this resource will long be in doubt, I think, that the common law, and in particular the law of tort, is the richest storehouse; crime and tract contribute some special additions of their own, but tort is altogether more comprehensive and more flexible. But even here, and still more with so old and hardened a branch of the law as crime, much caution is needed with the arguments of counsel and the dicta or decisions of judges: acute though these are, it has always to be remembered that, in legal cases --
For such reasons as these, obviously closely connected and stemming from the nature and function of the law, practising lawyers and jurists are by no means so careful as they might be to give to our ordinary expressions their ordinary meanings and applications. There is special pleading and evasion, stretching and strait-jacketing, besides the invention of technical terms, or technical senses for common terms. Nevertheless, it is a perpetual and salutary surprise to discover how much is to be learned from the law; and it is to be added that if a distinction drawn is a sound one, even though not yet recognized in law, a lawyer can be relied upon to take note of it, for it may be dangerous not to -- if he does not, his opponent may.
- there is the overriding requirement that a decision be reached, and a relatively black or white decision -- guilty or not guilty -- for the plaintiff or for the defendant;
- there is the general requirement that the charge or action and the pleadings be brought under one or another of the heads and procedures that have come in the course of history to be accepted by the Courts. These, though fairly numerous, are still few and stereotyped in comparison with the accusations and defences of daily life. Moreover contentions of many kinds are beneath the law, as too trivial, or outside it, as too purely moral -- for example, inconsiderateness;
- there is the general requirement that we argue from and abide by precedents. The value of this in the law is unquestionable, but it can certainly lead to distortions of ordinary beliefs and expressions.
Finally, the third, source-book is psychology, with which I include such studies as anthropology and animal behaviour. Here I speak with even more trepidation than about the Law. But this at least is clear, that some varieties of behaviour, some ways of acting or explanations of the doing of actions, are here noticed and. classified which have not been observed or named by ordinary men and hallowed by ordinary language, though perhaps they often might have been so if they had been of more practical importance. There is real danger in contempt for the 'jargon' of psychology, at least when it sets out to supplement, and at least sometimes when it sets out to supplant, the language of ordinary life.
With these sources, and with the aid of the imagination, it will go hard if we cannot arrive at the meanings of large numbers of expressions and at the understanding and classification of large numbers of 'actions'. Then we shall comprehend clearly much that, before, we only made use of ad hoc. Definition, I would add, explanatory definition, should stand high among our aims: it is not enough to show how clever we are by showing how obscure everything is. Clarity, too, I know, has been said to be not enough: but perhaps it will be time to go into that when we are within measurable distance of achieving clarity on some matter.
So much for the cackle. It remains to make a few remarks, not, I am afraid, in any very coherent order, about the types of significant result to be obtained and the more general lessons to be learned from the study of Excuses.
1. No modification without aberration. When it is stated that X did A, there is a temptation to suppose that given some, indeed perhaps any, expression modifying the verb we shall be entitled to insert either it or its opposite or negation in our statement: that is, we shall be entitled to ask, typically, 'Did X do A Mly or not Mly?' (e.g. 'Did X murder Y voluntarily or involuntarily?'), and to answer one or the other. Or as a minimum it is supposed that if X did A there must be at least one modifying expression that we could, justifiably and informatively, insert with the verb. In the great majority of cases of the use of the great majority of verbs ('murder' perhaps is not one of the majority) such suppositions are quite unjustified. The natural economy of language dictates that for the standard case covered by any normal verb -- not, perhaps, a verb of omen such as 'murder', but a verb like 'eat' or 'kick' or 'croquet' -- no modifying expression is required or even permissible. Only uf we do the action named in some special way or circumstances, different from those in which such an act is naturally done (and of course both the normal and the abnormal differ according to what verb in particular is in question) is a modifying expression called for, or even in order. I sit in my chair, in the usual way -- I am not in a daze or influenced by threats or the like: here, it will not do to say either that I sat in it intentionally or that I did not sit in it intentionally,6 nor yet that I sat in it automatically or from habit or what you will. It is bedtime, I am alone, I yawn: but I do not yawn involuntarily (or voluntarily!), nor yet deliberately. To yawn in any such peculiar way is just not to just yawn.
2. Limitation of application. Expressions modifying verbs, typically adverbs, have limited ranges of application. That is, given any adverb of excuse, such as 'unwittingly' or 'spontaneously' or 'impulsively', it will not be found that it makes good sense to attach it to any and every verb of 'action' in any and every context: indeed, it will often apply only to a comparatively narrow range of such verbs. Something in the lad's upturned face appealed to him, he threw a brick at it -- 'spontaneously'? The interest then is to discover why some actions can be excused in a particular way but not others, particularly perhaps the latter.7 This will largely elucidate the meaning of the excuse, and at the same time will illuminate the characteristics typical of the group of 'actions' it picks out: very often too it will throw light on some detail of the machinery of 'action' in general (see 4), or on our standards of acceptable conduct (see 5). It is specially important in the case of some of the terms most favoured by philosophers or jurists to realize that at least in ordinary speech (disregarding back-seepage of jargon) they are not used so universally or so dichotomistically. For example, take 'voluntarily' and 'involuntarily': we may join the army or make a gift voluntarily, we may hiccough or make a small gesture involuntarily, and the more we consider further actions which we might naturally be said to do in either of these ways,, the more circumscribed and unlike each other do the two classes become, until we even doubt whether there is any verb with which both adverbs are equally in place. Perhaps there are some such; but at least sometimes when we may think we have found one it is an illusion, an apparent exception that really does prove the rule. I can perhaps 'break a cup' voluntarily, if that is done, say, as an act of self-impoverishment: and I can perhaps break another involuntarily, if say, I make an involuntary movement which breaks it. Here, plainly, the two acts described each as 'breaking a cup' are really very different, and the one is similar to acts typical of the 'voluntary' class, the other to acts typical of the 'involuntary' class.
3. The importance of Negations and Opposites. 'Voluntarily' and 'involuntarily', then, are not opposed in the obvious sort of way that they are made to be in philosophy or jurisprudence. The 'opposite', or rather 'opposites', of 'voluntarily' might be 'under constraint' of some sort, duress or obligation or influence:8 the opposite of'involuntarily' might be 'deliberately' or 'on purpose' or the like. Such divergences in opposites indicate that 'voluntarily' and 'involuntarily', in spite of their apparent connexion, are fish from very different kettles. In general, it will pay us to take nothing for granted or as obvious about negations and opposites. It does not pay to assume that a word must have an opposite, or one opposite, whether it is a 'positive' word like 'wilfully' or a 'negative' word like 'inadvertently'. Rather, we should be asking ourselves such questions as why there is no use for the adverb 'advertently'. For above all it will not do to assume that the 'positive' word must be around to wear the trousers; commonly enough the 'negative' (looking) word marks the (positive) abnormality, while the 'positive' word, if it exists, merely serves to rule out the suggestion of that abnormality. It is natural enough, in view of what was said in (1) above, for the 'positive' word not to be found at all in some cases. I do an act A1 (say, crush a snail) inadvertently if, in the course of executing by means of movements of my bodily parts some other act A2 (say, in walking down the public path) I fail to exercise such meticulous supervision over the courses of those movements as would have been needed to ensure that they did not bring about the untoward event (here, the impact on the snail).9 By claiming that A1 was inadvertent we place it, where we imply it belongs, on this special level, in a class of incidental happenings which must occur in the doing of any physical act. To lift the act out of this class, we need and possess the expression 'not . . . inadvertently': 'advertently', if used for this purpose, would suggest that, if the act was not done inadvertently, then it must have been done noticing what I was doing, which is far from necessarily the case (e.g. if I did it absent-mindedly), or at least that there is something in common to the ways of doing all acts not done inadvertently, which is not the case. Again, there is no use for 'advertently' at the same level as 'inadvertently': in passing the butter I do not knock over the cream-jug, though I do (inadvertently) knock over the teacup -- yet I do not by-pass the cream-jug advertently: for at this level, below supervision in detail, anything that we do is, if you like, inadvertent, though we only call it so, and indeed only call it something we have done, if there is something untoward about it.
A further point of interest in studying so-called 'negative' terms is the manner of their formation. Why are the words in one group formed with un- or in-, those in another with -less ('aimless', 'reckless', 'heedless', &c), and those in another with mis- ('mistake', 'misconception', 'misjudgement', &c.)? Why carelessly but inattentively? Perhaps care and attention, so often linked, are rather different. Here are remunerative exercises.
4. The machinery of action. Not merely do adverbial expressions pick out classes of actions, they also pick out the internal detail of the machinery of doing actions, or the departments into which the business of doing actions is organized. There is for example the stage at which we have actually to carry out some action upon which we embark -- perhaps we have to make certain bodily movements or to make a speech. In the course of actually doing these things (getting weaving) we have to pay (some) attention to what we are doing and to take (some) care to guard against (likely) dangers: we may need to use judgement or tact: we must exercise sufficient control over our bodily parts: and so on. Inattention, carelessness, errors of judgement, tactlessness, clumsiness, all these and others are ills (with attendant excuses) which affect one specific stage in the machinery of action, the executive stage, the stage where we muff it. But there are many other departments in the business too, each of which is to be traced and mapped through its cluster of appropriate verbs and adverbs. Obviously there are departments of intelligence and planning, of decision and resolve, and so on: but I shall mention one in particular, too often overlooked, where troubles and excuses abound. It happens to us, in military life, to be in receipt of excellent intelligence, to be also in self-conscious possession of excellent principles (the five golden rules for winning victories), and yet to hit upon a plan of action which leads to disaster. One way in which this can happen is through failure at the stage of appreciation of the situation, that is at the stage where we are required to cast our excellent intelligence into such a form, under such heads and with such weights attached, that our equally excellent principles can be brought to bear on it properly, in a way to yield the right answer.10 So too in real, or rather civilian, life, in moral or practical affairs, we can know the facts and yet look at them mistakenly or perversely, or not fully realize or appreciate something, or even be under a total misconception. Many expressions of excuse indicate failure at this particularly tricky stage: even thoughtlessness, inconsiderateness, lack of imagination, are perhaps less matters of failure in intelligence or planning than might be supposed, and more matters of failure to appreciate the situation. A course of E. M. Forster and we see things differently: yet perhaps we know no more and are no cleverer.
5. Standards of the unacceptable. It is characteristic of excuses to be 'unacceptable': given, I suppose, almost any excuse, there will be cases of such a kind or of such gravity that 'we will not accept' it. It is interesting to detect the standards and codes we thus invoke. The extent of the supervision we exercise over the execution of any act can never be quite unlimited, and usually is expected to fall within fairly definite limits ('due care and attention') in the case of acts of some general kind, though of course we set very different limits in different cases. We may plead that we trod on the snail inadvertently: but not on a baby -- you ought to look where you are putting your great feet. Of course it was (really), if you like, inadvertence: that word constitutes a plea, which is not going to be allowed, because of standards. And if you try it on, you will be subscribing to such dreadful standards that your last state will be worse than your first. Or again, we set different standards, and will accept different excuses, in the case of acts which are rule-governed, like spelling, and which we are expected absolutely to get right, from those we set and accept for less stereotyped actions: a wrong spelling may be a slip, but hardly an accident, a winged beater may be an accident, but hardly a slip.
6. Combination, dissociation and complication. A belief in opposites and dichotomies encourages, among other things, a blindness to the combinations and dissociations of adverbs that are possible, even to such obvious facts as that we can act at once on impulse and intentionally, or that we can do an action intentionally yet for all that not deliberately, still less on purpose. We walk along the cliff, and I feel a sudden impulse to push you over, which I promptly do: I acted on impulse, yet I certainly intended to push you over, and may even have devised a little ruse to achieve it: yet even then I did not act deliberately, for I did not (stop to) ask myself whether to do it or not.
It is worth bearing in mind, too, the general rule that we must not expect to find simple labels for complicated cases. If a mistake results in an accident, it will not do to ask whether 'it' was an accident or a mistake, or to demand some briefer description of 'it'. Here the natural economy of language operates: if the words already available for simple cases suffice in combination to describe a complicated case, there will be need for special reasons before a special new word is invented for the complication. Besides, however well-equipped our language, it can never be forearmed against all possible cases that may arise and call for description: fact is richer than diction.
7. Regina v. Finney. Often the complexity and difficulty of a case is considerable. I will quote the case of Regina v. Finney:11Shrewsbury Assizes. 1874. 12 Cox 625.
Prisoner was indicted for the manslaughter of Thomas Watkins.
The Prisoner was an attendant at a lunatic asylum. Being in charge of a lunatic, who was bathing, he turned on hot water into the bath, and thereby scalded him to death. The facts appeared to be truly set forth in the statement of the prisoner made before the committing magistrate, as follows: 'I had bathed Watkins, and had loosed the bath out. I intended putting in a clean bath, and asked Watkins if he would get out. At this time my attention was drawn to the next bath by the new attendant, who was asking me a question; and my attention was taken from the bath where Watkins was. I put my hand down to turn water on in the bath where Thomas Watkins was. I did not intend to turn the hot water, and I made a mistake in the tap. I did not know what I had done until I heard Thomas Watkins shout out; and I did not find my mistake out till I saw the steam from the water. You cannot get water in this bath when they are drawing water at the other bath; but at other times it shoots out like a water gun when the other baths are not in use. . . .'
[It was proved that the lunatic had such possession of his faculties as would enable him to understand what was said to him, and to get out of the bath.)
A. Young (for Prisoner). The death resulted from accident. There was no such culpable negligence on the part of the prisoner as will support this indictment. A culpable mistake, or some degree of culpable negligence, causing death, will not support a charge of manslaughter; unless the negligence be so gross as to be reckless. (R. v. Noakes.)
Lush, J. To render a person liable for neglect of duty there must be such a degree of culpability as to amount to gross negligence on his part. If you accept the prisoner's own statement, you find no such amount of negligence as would come within this definition. It is not every little trip or mistake that will make a man so liable. It was the duty of the attendant not to let hot water into the bath while the patient was therein. According to the prisoner's own account, he did not believe that he was letting the hot water in while the deceased remained there. The lunatic was, we have heard, a man capable of getting out by himself and of understanding what was said to him. He was told to get out. A new attendant who had come on this day, was at an adjoining bath and he took off the prisoner's attention. Now, if the prisoner, knowing that the man was in the bath, had turned on the tap, and turned on the hot instead of the cold water, I should have said there was gross negligence; for he ought to have looked to see. But from his own account he had told the deceased to get out, and thought he had got out. If you think that indicates gross carelessness, then you should find the prisoner guilty of manslaughter. But if you think it inadvertence not amounting to culpability -- i.e., what is properly termed an accident -- then the prisoner is not liable.
Verdict, Not guilty.
In this case there are two morals that I will point:
The learned judge's concluding direction is a paradigm of these faults.12 Finney, by contrast, stands out as an evident master of the Queen's English. He is explicit as to each of his acts and states, mental and physical: he uses different, and the correct, adverbs in connexion with each: and he makes no attempt to boil down.
- Both counsel and judge make very free use of a large number of terms of excuse, using several as though they were, and even stating them to be, indifferent or equivalent when they are not, and presenting as alternatives those that are not.
- It is constantly difficult to be sure what act it is that counsel or judge is suggesting might be qualified by what expression of excuse.
8. Small distinctions, and big too. It should go without saying that terms of excuse are not equivalent, and that it matters which we use: we need to distinguish inadvertence not merely from (save the mark) such things as mistake and accident, but from such nearer neighbours as, say, aberration and absence of mind. By imagining cases with vividness and fullness we should be able to decide in which precise terms to describe, say, Miss Plimsoll's action in writing, so carefully, 'DAIRY' on her fine new book: we should be able to distinguish between sheer, mere, pure, and simple mistake or inadvertence. Yet unfortunately, at least when in the grip of thought, we fail not merely at these stiffer hurdles. We equate even -- I have seen it done -- -'inadvertently' with 'automatically': as though to say I trod on your toe inadvertently means to say I trod on it automatically. Or we collapse succumbing to temptation into losing control of ourselves -- a bad patch, this, for telescoping.13
All this is not so much a lesson from the study of excuses as the very object of it.
9. The exact phrase and its place in the sentence. It is not enough, either, to attend simply to the 'key' word: notice must also be taken of the full and exact form of the expression used. In considering mistakes, we have to consider seriatim 'by mistake , 'owing to a mistake', 'mistakenly', 'it was a mistake to', 'to make a mistake in or over or about', 'to be mistaken about', and so on: in considering purpose, we have to consider 'on', 'with the', 'for the', &c, besides 'purposeful', 'purposeless', and the like. These varying expressions may function quite differently -- and usually do, or why should we burden ourselves with more than one of them?
Care must be taken too to observe the precise position of an adverbial expression in the sentence. This should of course indicate what verb it is being used to modify: but more than that, the position can also affect the sense of the expression, i.e. the way in which it modifies that verb. Compare, for example:a1 He clumsily trod on the snail.Here, in a1 and a2 we describe his treading on the creature at all as a piece of clumsiness, incidental, we imply, to his performance of some other action: but with b1 and b2 to tread on it is, very likely, his aim or policy, what we criticize is his execution of the feat.14 Many adverbs, though far from all (not, for example, 'purposely') are used in these two typically different ways.
a2 Clumsily he trod on the snail.
b1 He trod clumsily on the snail.
b2 He trod on the snail clumsily.
10. The style of performance. With some adverbs the distinction between the two senses referred to in the last paragraph is carried a stage further. 'He ate his soup deliberately' may mean, like 'He deliberately ate his soup', that his eating his soup was a deliberate act, one perhaps that he thought would annoy somebody, as it would more commonly if he deliberately ate my soup, and which he decided to do: but it will often mean that he went through the performance of eating his soup in a noteworthy manner or style -- pause after each mouthful, careful choice of point of entry for the spoon, sucking of moustaches, and so on. That is, it will mean that he ate with deliberation rather than after deliberation. The style of the performance, slow and unhurried, is understandably called 'deliberate' because each movement has the typical look of a deliberate act: but it is scarcely being said that the making of each motion is a deliberate act or that he is 'literally' deliberating. This case, then, is more extreme than that of'clumsily', which does in both uses describe literally a manner of performing.
It is worth watching out for this secondary use when scrutinizing any particular adverbial expression: when it definitely does not exist, the reason is worth inquiring into. Sometimes it is very hard to be sure whether it does exist or does not: it does, one would think, with 'carelessly', it does not with 'inadvertently', but docs it or does it not with 'absent-mindedly' or 'aimlessly'? In some cases a word akin to but distinct from the primary adverb is used for this special role of describing a style of performance: we use 'purposefully' in this way, but never 'purposely'.
11. What modifies what? The judge in Regina v. Finney does not make clear what event is being excused in what way. 'If you think that indicates gross carelessness, then. . . . But if you think it inadvertence not amounting to culpability -- i.e. what is properly called an accident -- then. . . .' Apparently he means that Finney may have turned on the hot tap inadvertently:15 does mean also that the tap may have been turned accidentally, or rather that Watkins may have been scalded and killed accidentally? And was the carelessness in turning the tap or in thinking Watkins had got out? Many disputes as to what excuse we should properly use arise because we will not trouble to state explicitly what is being excused.
To do so is all the more vital because it is in principle always open to us, along various lines, to describe or refer to 'what I did' in so many different ways. This is altogether too large a theme to elaborate here. Apart from the more general and obvious problems of the use of 'tendentious' descriptive terms, there are many special problems in the particular case of 'actions'. Should we say, are we saying, that he took her money, or that he robbed her? That he knocked a ball into a hole, or that he sank a putt? That he said 'Done', or that he accepted an offer? How far, that is, are motives, intentions and conventions to be part of the description of actions? And more especially here, what is an or one or the action? For we can generally split up what might be named as one action in several distinct ways, into different stretches or phases or stages. Stages have already been mentioned: we can dismantle the machinery of the act, and describe (and excuse) separately the intelligence, the appreciation, the planning, the decision, the execution and so forth. Phases are rather different: we can say that he painted a picture or fought a campaign, or else we can say that first he laid on this stroke of paint and then that, first he fought this action and then that. Stretches are different again: a single term descriptive of what he did may be made to cover either a smaller or a larger stretch of events, those excluded by the narrower description being then called 'consequences' or 'results' or 'effects' or the like of his act. So here we can describe Finney's act either as turning on the hot tap, which he did by mistake, with the result that Watkins was scalded, or as scalding Watkins, which he did not do by mistake.
It is very evident that the problems of excuses and those of the different descriptions of actions are throughout bound up with each other.
12. Trailing clouds of etymology. It is these considerations that bring us up so forcibly against some of the most difficult words in the whole story of Excuses, such words as 'result', 'effect', and 'consequence', or again as 'intention', 'purpose', and 'motive'. I will mention two points of method which are, experience has convinced me, indispensable aids at these levels.
One is that a word never -- well, hardly ever -- shakes off its etymology and its formation. In spite of all changes in and extensions of and additions to its meanings, and indeed rather pervading and governing these, there will still persist the old idea. In an accident something befalls: by mistake you take the wrong one: in error you stray: when you act deliberately you act after weighing it up (not after thinking out ways and means). It is worth asking ourselves whether we know the etymology of 'result' or of 'spontaneously', and worth remembering that 'unwillingly' and 'involuntarily' come from very different sources.
And the second point is connected with this. Going back into the history of a word, very often into Latin, we come back pretty commonly to pictures or models of how things happen or are done. These models may be fairly sophisticated and recent, as is perhaps the case with 'motive' or 'impulse', but one of the commonest and most primitive types of model is one which is apt to baffle us through its very naturalness and simplicity. We take some very simple action, like shoving a stone, usually as done by and viewed by oneself, and use this, with the features distinguishable in it, as our model in terms of which to talk about other actions and events: and we continue to do so, scarcely realizing it, even when these other actions are pretty remote and perhaps much more interesting to us in their own right than the acts originally used in constructing the model ever were, and even when the model is really distorting the facts rather than helping us to observe them. In primitive cases we may get to see clearly the differences between, say, 'results', 'effects', and 'consequences', and yet discover that these differences are no longer clear, and the terms themselves no longer of real service to us, in the more complicated cases where we had been bandying them about most freely. A model must be recognized for what it is. 'Causing', I suppose, was a notion taken from a man's own experience of doing simple actions, and by primitive man every event was construed in terms ot this model: every event has a cause, that is, every event is an action done by somebody -- if not by a man, then by a quasi-man, a spirit. When, later, events which are not actions are realized to be such, we still say that they must be 'caused', and the word snares us: we are struggling to ascribe to it a new, unanthropomorphic meaning, yet constantly, in searching for its analysis, we unearth and incorporate the lineaments of the ancient model. As happened even to Hume, and consequently to Kant. Examining such a word historically, we may well find that it has been extended to cases that have by now too tenuous a relation to the model case, that it is a source of confusion and superstition.
There is too another danger in words that invoke models, half-forgotten or not. It must be remembered that there is no necessity whatsoever that the various models used in creating our vocabulary, primitive or recent, should all fit together neatly as parts into one single, total model or scheme of, for instance, the doing of actions. It is possible, and indeed highly likely, that our assortment of models will include some, or many, that are overlapping, conflicting, or more generally simply disparate.16
13. In spite of the wide and acute observation of the phenomena of action embodied in ordinary speech, modern scientists have been able, it seems to me, to reveal its inadequacy at numerous points, if only because they have had access to more comprehensive data and have studied them with more catholic and dispassionate interest than the ordinary man, or even the lawyer, has had occasion to do. I will conclude with two examples.
Observation of animal behaviour shows that regularly, when an animal is embarked on some recognizable pattern of behaviour but meets in the course of it with an insuperable obstacle, it will betake itself to energetic, but quite unrelated, activity of some wild kind, such as standing on its head. This phenomenon is called 'displacement behaviour' and is well identifiable. If now, in the light of this, we look back at ordinary human life, we see that displacement behaviour bulks quite large in it: yet we have apparently no word, or at least no clear and simple word, for it. If, when thwarted, we stand on our heads or wiggle our toes, then we are not exactly just standing on our heads, don't you know, in the ordinary way, yet is there any convenient adverbial expression we can insert to do the trick? 'In desperation'?
Take, again, 'compulsive' behaviour, however exactly psychologists define it, compulsive, washing for example. There are of course hints in ordinary speech that we do things in this way -- 'just feel I have to', 'shouldn't feel comfortable unless I did', and the like: but there is no adverbial expression satisfactorily pre-empted for it, as 'compulsively' is. This is understandable enough, since compulsive behaviour, like displacement behaviour, is not in general going to be of great practical importance.
Here I leave and commend the subject to you.
1 This use has little to do with the more down-to-earth occurrences of 'action' in ordinary speech.
2 Another well-flogged horse in these same stakes is Blame. At least two things seem confused together under this term. Sometimes when I blame X for doing A, say for breaking the vase, it is a question simply or mainly of my disapproval of A, breaking the vase, which unquestionably X did: but sometimes it is, rather, a question simply or mainly of how far I think X responsible for A, which unquestionably was bad. Hence if somebody says he blames me for something, I may answer by giving a justification, so that he will cease to disapprove of what I did, or else by giving an excuse, so that he will cease to hold me, at least entirely and in every way, responsible for doing it.
3 All of which was seen and claimed by Socrates, when he first betook himself to the way of Words.
4 You have a donkey, so have I, and they graze in the same field. The day comes when I conceive a dislike for mine. I go to shoot it, draw a bead on it, fire: the brute falls in its tracks. I inspect the victim, and find to my horror that it is your donkey. I appear on your doorstep with the remains and say -- what? 'I say, old sport, I'm awfully sorry, &c, I've shot your donkey by accident'? Or 'by mistake'? Then again, I go to shoot my donkey as before, draw a bead on it, fire -- but as I do so, the beasts move, and to my horror yours falls. Again the scene on the doorstep -- what do I say? 'By mistake'? Or 'by accident'?
5 And forget, for once and for a while, that other curious question 'Is it true?' May we?
6 Caveat or hedge: of course we can say 'I did not sit in it "intentionally"' as a way simply of repudiating the suggestion that I sat in it intentionally.
7 For we are sometimes not so good at observing what we can't say as what we can, yet the first is pretty regularly the more revealing.
8 But remember, when I sign a cheque in the normal way, I do not do so either 'voluntarily' or 'under constraint'.
9 Or analogously: I do an act A1 (say, divulge my age, or imply you are a liar), inadvertently if, in the course of executing by the use of some medium of communication some other act A2 (say, reminiscing about my war service) to exercise such meticulous supervision over the choice and arrangement of the signs as would have been needed to ensure that. . . . It is interesting to note how such adverbs lead parallel lives, one in connexion with physical actions ('doing') and the other in connexion with acts of communication ('saying'), or sometimes also in connexion with acts of 'thinking' ('inadvertently assumed').
10 We know all about how to do quadratics: we know all the needful facts about pipes, cisterns, hours and plumbers: yet we reach the answer '3-3/4 men'. We have failed to cast our facts correctly into mathematical form.
11 A somewhat distressing favourite in the class that Hart used to conduct with me in the years soon after the war. The italics are mine.
12 Not but what he probably manages to convey his meaning somehow or other. Judges seem to acquire a knack of conveying meaning, and even carrying conviction, through the use of a pithy Anglo-Saxon which sometimes has literally no meaning at all. Wishing to distinguish the case of shooting at a post in the belief that it was an enemy, as not an 'attempt', from the case of picking an empty pocket in the belief that money was in it, which is an 'attempt', the judge explains that in shooting at the post 'the man is never on the thing at all'.
13 Plato, I suppose, and after him Aristotle, fastened this confusion upon us, as bad in its day and way as the later, grotesque, confusion of moral weakness with weakness of will. I am very partial to ice cream, and a bombe is served divided into segments corresponding one to one with the persons at High Table: I am tempted to help myself to two segments and do so, thus succumbing to temptation and even conceivably (but why necessarily?) going against my principles. But do I lose control of myself? Do I raven, do I snatch the morsels from the dish and wolf them down, impervious to the consternation of my colleagues? Not a bit of it. We often succumb to temptation with calm and even with finesse.
14 As a matter of fact, most of these examples can be understood the other way, especially if we allow ourselves inflexions of the voice, or commas, or contexts. a2 might be a poetic inversion for b2: b1, perhaps with commas round the 'clumsily', might be used for a1: and so on. Still, the two senses are clearly enough distinguishable.
15 What Finney says is different: he says he 'made a mistake in the tap'. This is the basic use of 'mistake', where we simply, and not necessarily accountably, take the wrong one. Finney here attempts to account for his mistake, by saying that his attention was distracted. But suppose the order is 'Right turn' and I turn left: no doubt the sergeant will insinuate that my attention was distracted, or that I cannot distinguish my right from my left -- but it was not and I can, this was a simple, pure mistake. As often happens. Neither I nor the sergeant will suggest that there was any accident, or any inadvertence either. If Finney had turned the hot tap inadvertently, then it would have been knocked, say, in reaching for the cold tap: a different story.
16 This is by way of a general warning in philosophy. It seems to be too readily assumed that if we can only discover the true meanings of each of a cluster of key terms, usually historic terms, that we use in some particular field (as, for example, 'right', 'good' and the rest in morals), then it must without question transpire that each will fit into place in some single, interlocking, consistent, conceptual scheme. Not only is there no reason to assume this, but all historical probability is against it, especially in the case of a language derived from such various civilizations as ours is. We may cheerfully use, and with weight, terms which are not so much head-on incompatible as simply disparate, which just do not fit in or even on. Just as we cheerfully subscribe to, or have the grace to be torn between, simply disparate ideals -- why must there be a conceivable amalgam, the Good Life for Man?