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Wednesday, March 3, 2021

Rationalism

From Wikipedia, the free encyclopedia

In philosophy, rationalism is the epistemological view that "regards reason as the chief source and test of knowledge" or "any view appealing to reason as a source of knowledge or justification". More formally, rationalism is defined as a methodology or a theory "in which the criterion of the truth is not sensory but intellectual and deductive".

In an old controversy, rationalism was opposed to empiricism, where the rationalists believed that reality has an intrinsically logical structure. Because of this, the rationalists argued that certain truths exist and that the intellect can directly grasp these truths. That is to say, rationalists asserted that certain rational principles exist in logic, mathematics, ethics, and metaphysics that are so fundamentally true that denying them causes one to fall into contradiction. The rationalists had such a high confidence in reason that empirical proof and physical evidence were regarded as unnecessary to ascertain certain truths – in other words, "there are significant ways in which our concepts and knowledge are gained independently of sense experience".

Different degrees of emphasis on this method or theory lead to a range of rationalist standpoints, from the moderate position "that reason has precedence over other ways of acquiring knowledge" to the more extreme position that reason is "the unique path to knowledge". Given a pre-modern understanding of reason, rationalism is identical to philosophy, the Socratic life of inquiry, or the zetetic (skeptical) clear interpretation of authority (open to the underlying or essential cause of things as they appear to our sense of certainty). In recent decades, Leo Strauss sought to revive "Classical Political Rationalism" as a discipline that understands the task of reasoning, not as foundational, but as maieutic.

In the 17th-century Dutch Republic, the rise of early modern rationalism – as a highly systematic school of philosophy in its own right for the first time in history – exerted an immense and profound influence on modern Western thought in general, with the birth of two influential rationalistic philosophical systems of Descartes (who spent most of his adult life and wrote all his major work in the United Provinces of the Netherlands) and Spinoza–namely Cartesianism and Spinozism. It was the 17th-century arch-rationalists like Descartes, Spinoza and Leibniz who have given the "Age of Reason" its name and place in history.

In politics, rationalism, since the Enlightenment, historically emphasized a "politics of reason" centered upon rational choice, utilitarianism, secularism, and irreligion – the latter aspect's antitheism was later softened by the adoption of pluralistic reasoning methods practicable regardless of religious or irreligious ideology. In this regard, the philosopher John Cottingham noted how rationalism, a methodology, became socially conflated with atheism, a worldview:

In the past, particularly in the 17th and 18th centuries, the term 'rationalist' was often used to refer to free thinkers of an anti-clerical and anti-religious outlook, and for a time the word acquired a distinctly pejorative force (thus in 1670 Sanderson spoke disparagingly of 'a mere rationalist, that is to say in plain English an atheist of the late edition...'). The use of the label 'rationalist' to characterize a world outlook which has no place for the supernatural is becoming less popular today; terms like 'humanist' or 'materialist' seem largely to have taken its place. But the old usage still survives.

Philosophical usage

Rationalism is often contrasted with empiricism. Taken very broadly, these views are not mutually exclusive, since a philosopher can be both rationalist and empiricist. Taken to extremes, the empiricist view holds that all ideas come to us a posteriori, that is to say, through experience; either through the external senses or through such inner sensations as pain and gratification. The empiricist essentially believes that knowledge is based on or derived directly from experience. The rationalist believes we come to knowledge a priori – through the use of logic – and is thus independent of sensory experience. In other words, as Galen Strawson once wrote, "you can see that it is true just lying on your couch. You don't have to get up off your couch and go outside and examine the way things are in the physical world. You don't have to do any science." Between both philosophies, the issue at hand is the fundamental source of human knowledge and the proper techniques for verifying what we think we know. Whereas both philosophies are under the umbrella of epistemology, their argument lies in the understanding of the warrant, which is under the wider epistemic umbrella of the theory of justification.

Theory of justification

The theory of justification is the part of epistemology that attempts to understand the justification of propositions and beliefs. Epistemologists are concerned with various epistemic features of belief, which include the ideas of justification, warrant, rationality, and probability. Of these four terms, the term that has been most widely used and discussed by the early 21st century is "warrant". Loosely speaking, justification is the reason that someone (probably) holds a belief.

If A makes a claim and then B casts doubt on it, A's next move would normally be to provide justification for the claim. The precise method one uses to provide justification is where the lines are drawn between rationalism and empiricism (among other philosophical views). Much of the debate in these fields are focused on analyzing the nature of knowledge and how it relates to connected notions such as truth, belief, and justification.

Thesis of rationalism

At its core, rationalism consists of three basic claims. For people to consider themselves rationalists, they must adopt at least one of these three claims: the intuition/deduction thesis, the innate knowledge thesis, or the innate concept thesis. In addition, a rationalist can choose to adopt the claim of Indispensability of Reason and or the claim of Superiority of Reason, although one can be a rationalist without adopting either thesis.

The intuition/deduction thesis

Rationale: "Some propositions in a particular subject area, S, are knowable by us by intuition alone; still others are knowable by being deduced from intuited propositions."

Generally speaking, intuition is a priori knowledge or experiential belief characterized by its immediacy; a form of rational insight. We simply "see" something in such a way as to give us a warranted belief. Beyond that, the nature of intuition is hotly debated.

In the same way, generally speaking, deduction is the process of reasoning from one or more general premises to reach a logically certain conclusion. Using valid arguments, we can deduce from intuited premises.

For example, when we combine both concepts, we can intuit that the number three is prime and that it is greater than two. We then deduce from this knowledge that there is a prime number greater than two. Thus, it can be said that intuition and deduction combined to provide us with a priori knowledge – we gained this knowledge independently of sense experience.

Empiricists such as David Hume have been willing to accept this thesis for describing the relationships among our own concepts. In this sense, empiricists argue that we are allowed to intuit and deduce truths from knowledge that has been obtained a posteriori.

By injecting different subjects into the Intuition/Deduction thesis, we are able to generate different arguments. Most rationalists agree mathematics is knowable by applying the intuition and deduction. Some go further to include ethical truths into the category of things knowable by intuition and deduction. Furthermore, some rationalists also claim metaphysics is knowable in this thesis.

In addition to different subjects, rationalists sometimes vary the strength of their claims by adjusting their understanding of the warrant. Some rationalists understand warranted beliefs to be beyond even the slightest doubt; others are more conservative and understand the warrant to be belief beyond a reasonable doubt.

Rationalists also have different understanding and claims involving the connection between intuition and truth. Some rationalists claim that intuition is infallible and that anything we intuit to be true is as such. More contemporary rationalists accept that intuition is not always a source of certain knowledge – thus allowing for the possibility of a deceiver who might cause the rationalist to intuit a false proposition in the same way a third party could cause the rationalist to have perceptions of nonexistent objects.

Naturally, the more subjects the rationalists claim to be knowable by the Intuition/Deduction thesis, the more certain they are of their warranted beliefs, and the more strictly they adhere to the infallibility of intuition, the more controversial their truths or claims and the more radical their rationalism.

To argue in favor of this thesis, Gottfried Wilhelm Leibniz, a prominent German philosopher, says, "The senses, although they are necessary for all our actual knowledge, are not sufficient to give us the whole of it, since the senses never give anything but instances, that is to say particular or individual truths. Now all the instances which confirm a general truth, however numerous they may be, are not sufficient to establish the universal necessity of this same truth, for it does not follow that what happened before will happen in the same way again. … From which it appears that necessary truths, such as we find in pure mathematics, and particularly in arithmetic and geometry, must have principles whose proof does not depend on instances, nor consequently on the testimony of the senses, although without the senses it would never have occurred to us to think of them…"

The innate knowledge thesis

Rationale: "We have knowledge of some truths in a particular subject area, S, as part of our rational nature."

The Innate Knowledge thesis is similar to the Intuition/Deduction thesis in the regard that both theses claim knowledge is gained a priori. The two theses go their separate ways when describing how that knowledge is gained. As the name, and the rationale, suggests, the Innate Knowledge thesis claims knowledge is simply part of our rational nature. Experiences can trigger a process that allows this knowledge to come into our consciousness, but the experiences don't provide us with the knowledge itself. The knowledge has been with us since the beginning and the experience simply brought into focus, in the same way a photographer can bring the background of a picture into focus by changing the aperture of the lens. The background was always there, just not in focus.

This thesis targets a problem with the nature of inquiry originally postulated by Plato in Meno. Here, Plato asks about inquiry; how do we gain knowledge of a theorem in geometry? We inquire into the matter. Yet, knowledge by inquiry seems impossible. In other words, "If we already have the knowledge, there is no place for inquiry. If we lack the knowledge, we don't know what we are seeking and cannot recognize it when we find it. Either way we cannot gain knowledge of the theorem by inquiry. Yet, we do know some theorems." The Innate Knowledge thesis offers a solution to this paradox. By claiming that knowledge is already with us, either consciously or unconsciously, a rationalist claims we don't really "learn" things in the traditional usage of the word, but rather that we simply bring to light what we already know.

The innate concept thesis

Rationale: "We have some of the concepts we employ in a particular subject area, S, as part of our rational nature."

Similar to the Innate Knowledge thesis, the Innate Concept thesis suggests that some concepts are simply part of our rational nature. These concepts are a priori in nature and sense experience is irrelevant to determining the nature of these concepts (though, sense experience can help bring the concepts to our conscious mind).

Some philosophers, such as John Locke (who is considered one of the most influential thinkers of the Enlightenment and an empiricist) argue that the Innate Knowledge thesis and the Innate Concept thesis are the same. Other philosophers, such as Peter Carruthers, argue that the two theses are distinct from one another. As with the other theses covered under the umbrella of rationalism, the more types and greater number of concepts a philosopher claims to be innate, the more controversial and radical their position; "the more a concept seems removed from experience and the mental operations we can perform on experience the more plausibly it may be claimed to be innate. Since we do not experience perfect triangles but do experience pains, our concept of the former is a more promising candidate for being innate than our concept of the latter.

In his book, Meditations on First Philosophy, René Descartes postulates three classifications for our ideas when he says, "Among my ideas, some appear to be innate, some to be adventitious, and others to have been invented by me. My understanding of what a thing is, what truth is, and what thought is, seems to derive simply from my own nature. But my hearing a noise, as I do now, or seeing the sun, or feeling the fire, comes from things which are located outside me, or so I have hitherto judged. Lastly, sirens, hippogriffs and the like are my own invention."

Adventitious ideas are those concepts that we gain through sense experiences, ideas such as the sensation of heat, because they originate from outside sources; transmitting their own likeness rather than something else and something you simply cannot will away. Ideas invented by us, such as those found in mythology, legends, and fairy tales are created by us from other ideas we possess. Lastly, innate ideas, such as our ideas of perfection, are those ideas we have as a result of mental processes that are beyond what experience can directly or indirectly provide.

Gottfried Wilhelm Leibniz defends the idea of innate concepts by suggesting the mind plays a role in determining the nature of concepts, to explain this, he likens the mind to a block of marble in the New Essays on Human Understanding, "This is why I have taken as an illustration a block of veined marble, rather than a wholly uniform block or blank tablets, that is to say what is called tabula rasa in the language of the philosophers. For if the soul were like those blank tablets, truths would be in us in the same way as the figure of Hercules is in a block of marble, when the marble is completely indifferent whether it receives this or some other figure. But if there were veins in the stone which marked out the figure of Hercules rather than other figures, this stone would be more determined thereto, and Hercules would be as it were in some manner innate in it, although labour would be needed to uncover the veins, and to clear them by polishing, and by cutting away what prevents them from appearing. It is in this way that ideas and truths are innate in us, like natural inclinations and dispositions, natural habits or potentialities, and not like activities, although these potentialities are always accompanied by some activities which correspond to them, though they are often imperceptible."

The other two theses

The three aforementioned theses of Intuition/Deduction, Innate Knowledge, and Innate Concept are the cornerstones of rationalism. To be considered a rationalist, one must adopt at least one of those three claims. The following two theses are traditionally adopted by rationalists, but they aren't essential to the rationalist's position.

The indispensability of reason thesis has the following rationale, "The knowledge we gain in subject area, S, by intuition and deduction, as well as the ideas and instances of knowledge in S that are innate to us, could not have been gained by us through sense experience." In short, this thesis claims that experience cannot provide what we gain from reason.

The superiority of reason thesis has the following rationale, '"The knowledge we gain in subject area S by intuition and deduction or have innately is superior to any knowledge gained by sense experience". In other words, this thesis claims reason is superior to experience as a source for knowledge.

In addition to the following claims, rationalists often adopt similar stances on other aspects of philosophy. Most rationalists reject skepticism for the areas of knowledge they claim are knowable a priori. Naturally, when you claim some truths are innately known to us, one must reject skepticism in relation to those truths. Especially for rationalists who adopt the Intuition/Deduction thesis, the idea of epistemic foundationalism tends to crop up. This is the view that we know some truths without basing our belief in them on any others and that we then use this foundational knowledge to know more truths.

Background

Rationalism — as an appeal to human reason as a way of obtaining knowledge — has a philosophical history dating from antiquity. The analytical nature of much of philosophical enquiry, the awareness of apparently a priori domains of knowledge such as mathematics, combined with the emphasis of obtaining knowledge through the use of rational faculties (commonly rejecting, for example, direct revelation) have made rationalist themes very prevalent in the history of philosophy.

Since the Enlightenment, rationalism is usually associated with the introduction of mathematical methods into philosophy as seen in the works of Descartes, Leibniz, and Spinoza. This is commonly called continental rationalism, because it was predominant in the continental schools of Europe, whereas in Britain empiricism dominated.

Even then, the distinction between rationalists and empiricists was drawn at a later period and would not have been recognized by the philosophers involved. Also, the distinction between the two philosophies is not as clear-cut as is sometimes suggested; for example, Descartes and Locke have similar views about the nature of human ideas.

Proponents of some varieties of rationalism argue that, starting with foundational basic principles, like the axioms of geometry, one could deductively derive the rest of all possible knowledge. Notable philosophers who held this view most clearly were Baruch Spinoza and Gottfried Leibniz, whose attempts to grapple with the epistemological and metaphysical problems raised by Descartes led to a development of the fundamental approach of rationalism. Both Spinoza and Leibniz asserted that, in principle, all knowledge, including scientific knowledge, could be gained through the use of reason alone, though they both observed that this was not possible in practice for human beings except in specific areas such as mathematics. On the other hand, Leibniz admitted in his book Monadology that "we are all mere Empirics in three fourths of our actions."

History

Rationalist philosophy in Western antiquity

Detail of Pythagoras with a tablet of ratios, numbers sacred to the Pythagoreans, from The School of Athens by Raphael. Vatican Palace, Vatican City.

Although rationalism in its modern form post-dates antiquity, philosophers from this time laid down the foundations of rationalism. In particular, the understanding that we may be aware of knowledge available only through the use of rational thought.

Pythagoras (570–495 BCE)

Pythagoras was one of the first Western philosophers to stress rationalist insight. He is often revered as a great mathematician, mystic and scientist, but he is best known for the Pythagorean theorem, which bears his name, and for discovering the mathematical relationship between the length of strings on lute and the pitches of the notes. Pythagoras "believed these harmonies reflected the ultimate nature of reality. He summed up the implied metaphysical rationalism in the words "All is number". It is probable that he had caught the rationalist's vision, later seen by Galileo (1564–1642), of a world governed throughout by mathematically formulable laws". It has been said that he was the first man to call himself a philosopher, or lover of wisdom.

Plato (427–347 BCE)

Plato held rational insight to a very high standard, as is seen in his works such as Meno and The Republic. He taught on the Theory of Forms (or the Theory of Ideas) which asserts that the highest and most fundamental kind of reality is not the material world of change known to us through sensation, but rather the abstract, non-material (but substantial) world of forms (or ideas). For Plato, these forms were accessible only to reason and not to sense. In fact, it is said that Plato admired reason, especially in geometry, so highly that he had the phrase "Let no one ignorant of geometry enter" inscribed over the door to his academy.

Aristotle (384–322 BCE)

Aristotle's main contribution to rationalist thinking was the use of syllogistic logic and its use in argument. Aristotle defines syllogism as "a discourse in which certain (specific) things having been supposed, something different from the things supposed results of necessity because these things are so." Despite this very general definition, Aristotle limits himself to categorical syllogisms which consist of three categorical propositions in his work Prior Analytics. These included categorical modal syllogisms.

Middle Ages

Ibn Sina Portrait on Silver Vase.

Although the three great Greek philosophers disagreed with one another on specific points, they all agreed that rational thought could bring to light knowledge that was self-evident – information that humans otherwise could not know without the use of reason. After Aristotle's death, Western rationalistic thought was generally characterized by its application to theology, such as in the works of Augustine, the Islamic philosopher Avicenna (Ibn Sina), Averroes (Ibn Rushd), and Jewish philosopher and theologian Maimonides. One notable event in the Western timeline was the philosophy of Thomas Aquinas who attempted to merge Greek rationalism and Christian revelation in the thirteenth-century.

Classical rationalism

Early modern rationalism has its roots in the 17th-century Dutch Republic, with some notable intellectual representatives like Hugo Grotius, René Descartes, and Baruch Spinoza.

René Descartes (1596–1650)

Descartes was the first of the modern rationalists and has been dubbed the 'Father of Modern Philosophy.' Much subsequent Western philosophy is a response to his writings, which are studied closely to this day.

Descartes thought that only knowledge of eternal truths – including the truths of mathematics, and the epistemological and metaphysical foundations of the sciences – could be attained by reason alone; other knowledge, the knowledge of physics, required experience of the world, aided by the scientific method. He also argued that although dreams appear as real as sense experience, these dreams cannot provide persons with knowledge. Also, since conscious sense experience can be the cause of illusions, then sense experience itself can be doubtable. As a result, Descartes deduced that a rational pursuit of truth should doubt every belief about sensory reality. He elaborated these beliefs in such works as Discourse on the Method, Meditations on First Philosophy, and Principles of Philosophy. Descartes developed a method to attain truths according to which nothing that cannot be recognised by the intellect (or reason) can be classified as knowledge. These truths are gained "without any sensory experience," according to Descartes. Truths that are attained by reason are broken down into elements that intuition can grasp, which, through a purely deductive process, will result in clear truths about reality.

Descartes therefore argued, as a result of his method, that reason alone determined knowledge, and that this could be done independently of the senses. For instance, his famous dictum, cogito ergo sum or "I think, therefore I am", is a conclusion reached a priori i.e., prior to any kind of experience on the matter. The simple meaning is that doubting one's existence, in and of itself, proves that an "I" exists to do the thinking. In other words, doubting one's own doubting is absurd. This was, for Descartes, an irrefutable principle upon which to ground all forms of other knowledge. Descartes posited a metaphysical dualism, distinguishing between the substances of the human body ("res extensa") and the mind or soul ("res cogitans"). This crucial distinction would be left unresolved and lead to what is known as the mind-body problem, since the two substances in the Cartesian system are independent of each other and irreducible.

Baruch Spinoza (1632–1677)

In spite of his early death, Spinoza exerted a profound influence on philosophy in the Age of Reason. He is often considered one of three most remarkable rationalists of modern Western thought, along with Descartes and Leibniz.

The philosophy of Baruch Spinoza is a systematic, logical, rational philosophy developed in seventeenth-century Europe. Spinoza's philosophy is a system of ideas constructed upon basic building blocks with an internal consistency with which he tried to answer life's major questions and in which he proposed that "God exists only philosophically." He was heavily influenced by Descartes, Euclid and Thomas Hobbes, as well as theologians in the Jewish philosophical tradition such as Maimonides. But his work was in many respects a departure from the Judeo-Christian tradition. Many of Spinoza's ideas continue to vex thinkers today and many of his principles, particularly regarding the emotions, have implications for modern approaches to psychology. To this day, many important thinkers have found Spinoza's "geometrical method" difficult to comprehend: Goethe admitted that he found this concept confusing. His magnum opus, Ethics, contains unresolved obscurities and has a forbidding mathematical structure modeled on Euclid's geometry. Spinoza's philosophy attracted believers such as Albert Einstein and much intellectual attention.

Gottfried Leibniz (1646–1716)

Leibniz was the last major figure of seventeenth-century rationalism who contributed heavily to other fields such as metaphysics, epistemology, logic, mathematics, physics, jurisprudence, and the philosophy of religion; he is also considered to be one of the last "universal geniuses". He did not develop his system, however, independently of these advances. Leibniz rejected Cartesian dualism and denied the existence of a material world. In Leibniz's view there are infinitely many simple substances, which he called "monads" (which he derived directly from Proclus).

Leibniz developed his theory of monads in response to both Descartes and Spinoza, because the rejection of their visions forced him to arrive at his own solution. Monads are the fundamental unit of reality, according to Leibniz, constituting both inanimate and animate objects. These units of reality represent the universe, though they are not subject to the laws of causality or space (which he called "well-founded phenomena"). Leibniz, therefore, introduced his principle of pre-established harmony to account for apparent causality in the world.

Immanuel Kant (1724–1804)

Kant is one of the central figures of modern philosophy, and set the terms by which all subsequent thinkers have had to grapple. He argued that human perception structures natural laws, and that reason is the source of morality. His thought continues to hold a major influence in contemporary thought, especially in fields such as metaphysics, epistemology, ethics, political philosophy, and aesthetics.

Kant named his brand of epistemology "Transcendental Idealism", and he first laid out these views in his famous work The Critique of Pure Reason. In it he argued that there were fundamental problems with both rationalist and empiricist dogma. To the rationalists he argued, broadly, that pure reason is flawed when it goes beyond its limits and claims to know those things that are necessarily beyond the realm of every possible experience: the existence of God, free will, and the immortality of the human soul. Kant referred to these objects as "The Thing in Itself" and goes on to argue that their status as objects beyond all possible experience by definition means we cannot know them. To the empiricist he argued that while it is correct that experience is fundamentally necessary for human knowledge, reason is necessary for processing that experience into coherent thought. He therefore concludes that both reason and experience are necessary for human knowledge. In the same way, Kant also argued that it was wrong to regard thought as mere analysis. "In Kant's views, a priori concepts do exist, but if they are to lead to the amplification of knowledge, they must be brought into relation with empirical data".

Contemporary rationalism

Rationalism has become a rarer label tout court of philosophers today; rather many different kinds of specialised rationalisms are identified. For example, Robert Brandom has appropriated the terms "rationalist expressivism" and "rationalist pragmatism" as labels for aspects of his programme in Articulating Reasons, and identified "linguistic rationalism", the claim that the contents of propositions "are essentially what can serve as both premises and conclusions of inferences", as a key thesis of Wilfred Sellars.

Criticism

Rationalism was criticized by American psychologist William James for being out of touch with reality. James also criticized rationalism for representing the universe as a closed system, which contrasts to his view that the universe is an open system.

Proletariat

From Wikipedia, the free encyclopedia

The proletariat (/ˌprlɪˈtɛəriət/ from Latin proletarius 'producing offspring') are the social class of wage-earners, those members of a society whose only possession of significant economic value is their labour power (their capacity to work). A member of such a class is a proletarian.

Marxist philosophy considers the proletariat to be exploited under capitalism, forced to accept meager wages in return for operating the means of production, which belong to the class of business owners, the bourgeoisie. Marx claimed that this oppression gives the proletariat common economic and political interests that transcend national boundaries, impelling them to unite and take over power from the capitalist class, and eventually to create a communist society free from class distinctions.

Roman Republic and Empire

The proletarii constituted a social class of Roman citizens who owned little or no property. The name presumably originated with the census, which Roman authorities conducted every five years to produce a register of citizens and their property, which determined their military duties and voting privileges. Those who owned 11,000 assēs or less fell below the lowest category for military service, and their children—prōlēs (offspring)—were listed instead of property; hence the name proletarius (producer of offspring). Roman citizen-soldiers paid for their own horses and arms, and fought without payment for the commonwealth, but the only military contribution of a proletarius was his children, the future Roman citizens who could colonize conquered territories. Officially, propertyless citizens were called capite censi because they were "persons registered not as to their property...but simply as to their existence as living individuals, primarily as heads (caput) of a family."

Although included in the Comitia Centuriata (Centuriate Assembly), proletarii were the lowest class, largely deprived of voting rights. Late Roman historians such as Livy vaguely described the Comitia Centuriata as a popular assembly of early Rome composed of centuriae, voting units representing classes of citizens according to wealth. This assembly, which usually met on the Campus Martius to discuss public policy, designated the military duties of Roman citizens. One of the reconstructions of the Comitia Centuriata features 18 centuriae of cavalry, and 170 centuriae of infantry divided into five classes by wealth, plus 5 centuriae of support personnel called adsidui, one of which represented the proletarii. In battle, the cavalry brought their horses and arms, the top infantry class full arms and armor, the next two classes less, the fourth class only spears, the fifth slings, while the assisting adsidui held no weapons. In voting, the cavalry and top infantry class were enough to decide an issue; as voting started at the top, issues were usually decided before the lower classes voted.

After the Second Punic War in 201 BC, the Jugurthine War and various conflicts in Macedonia and Asia reduced the number of Roman family farmers, and the Republic experienced a shortage of propertied citizen soldiers. The Marian reforms of 107 BC extended military eligibility to the urban poor, and henceforth the proletarii, as paid soldiers, became the backbone of the army, which later served as the decisive force in the fall of the Republic and the establishment of the Empire.

Modern use

In the early 19th century, many Western European liberal scholars — who dealt with social sciences and economics — pointed out the socio-economic similarities of the modern rapidly growing industrial worker class and the classic proletarians. One of the earliest analogies can be found in the 1807 paper of French philosopher and political scientist Hugues Felicité Robert de Lamennais. Later it was translated to English with the title "Modern Slavery".

Swiss liberal economist and historian Jean Charles Léonard de Sismondi was the first to apply the proletariat term to the working class created under capitalism, and whose writings were frequently cited by Karl Marx. Marx most likely encountered the term while studying the works of Sismondi. 

Marxist theory

Marx, who studied Roman law at the Friedrich Wilhelm University of Berlin, used the term proletariat in his socio-political theory (Marxism) to describe a progressive working class untainted by private property and capable of revolutionary action to topple capitalism and abolish social classes, leading society to ever higher levels of prosperity and justice.

Marx defined the proletariat as the social class having no significant ownership of the means of production (factories, machines, land, mines, buildings, vehicles) and whose only means of subsistence is to sell their labor power for a wage or salary. Proletarians are wage-workers, while some (though not Marx himself) distinguish salaried workers as the salariat.

A 1911 Industrial Worker publication advocating industrial unionism based on a critique of capitalism. The proletariat "work for all" and "feed all".

Marxist theory only vaguely defines the borders between the proletariat and adjacent social classes. In the socially superior, less progressive direction are the lower petty bourgeoisie, such as small shopkeepers, who rely primarily on self-employment at an income comparable to an ordinary wage. Intermediate positions are possible, where wage-labor for an employer combines with self-employment. In another direction, the lumpenproletariat or "rag-proletariat", which Marx considers a retrograde class, live in the informal economy outside of legal employment: the poorest outcasts of society such as beggars, tricksters, entertainers, buskers, criminals and prostitutes. Socialist parties have often argued over whether they should organize and represent all the lower classes, or only the wage-earning proletariat.

According to Marxism, capitalism is based on the exploitation of the proletariat by the bourgeoisie: the workers, who own no means of production, must use the property of others to produce goods and services and to earn their living. Workers cannot rent the means of production (e.g. a factory or department store) to produce on their own account; rather, capitalists hire workers, and the goods or services produced become the property of the capitalist, who sells them at market.

Part of the net selling price pays the workers' wages (variable costs); a second part renews the means of production (constant costs, capital investment); while the third part is consumed by the capitalist class, split between the capitalist's personal profit and fees to other owners (rents, taxes, interest on loans, etc.). The struggle over the first part (wage rates) puts the proletariat and bourgeoisie into irreconcilable conflict, as market competition pushes wages inexorably to the minimum necessary for the workers to survive and continue working. The second part, called capitalized surplus value, is used to renew or increase the means of production (capital), either in quantity or quality. The second and third parts are known as surplus value, the difference between the wealth the proletariat produce and the wealth they consume.

Marxists argue that new wealth is created through labor applied to natural resources. The commodities that proletarians produce and capitalists sell are valued not for their usefulness, but for the amount of labor embodied in them: for example, air is essential but requires no labor to produce, and is therefore free; while a diamond is much less useful, but requires hundreds of hours of mining and cutting, and is therefore expensive. The same goes for the workers' labor power: it is valued not for the amount of wealth it produces, but for the amount of labor necessary to keep the workers fed, housed, sufficiently trained, and able to raise children as new workers. On the other hand, capitalists earn their wealth not as a function of their personal labor, which may even be null, but by the juridical relation of their property to the means of production (e.g. owning a factory or farmland).

Marx argued that the proletariat would inevitably displace the capitalist system with the dictatorship of the proletariat, abolishing the social relationships underpinning the class system and then developing into a communist society in which "the free development of each is the condition for the free development of all".

Proletarian culture

Marx argued that each social class had its characteristic culture and politics. The socialist states stemming from the Russian Revolution championed an official version of proletarian culture.

This was quite different from the working-class culture of capitalist countries, which tend to experience "prole drift" (proletarian drift), in which everything inexorably becomes commonplace and commodified by means of mass production, mass selling, mass communication and mass education. Examples include best-seller lists, films, and music made to appeal to the masses, and shopping malls.

 

Sharecropping

From Wikipedia, the free encyclopedia
An FSA photo of a cropper family chopping the weeds from cotton near White Plains, in Georgia, US (1941)

Sharecropping is a legal arrangement with regard to agricultural land in which a landowner allows a tenant to use the land in return for a share of the crops produced on that land.

Sharecropping has a long history and there are a wide range of different situations and types of agreements that have used a form of the system. Some are governed by tradition, and others by law. The Italian mezzadria, the French métayage, the Catalan masoveria, the Castilian mediero, the Slavic połowcy and izdolshchina, and the Islamic system of muzara‘a (المزارعة), are examples of legal systems that have supported sharecropping.

Overview

Sharecropping has benefits and costs for both the owners and the tenant. In it, the landowner encourages the cropper to remain on the land, solving the harvest rush problem. Since the cropper pays in shares or portions of his harvest, owners and croppers both share the risks and benefits of harvests being large or small and of prices being high or low. Because both parties benefit from larger harvests, tenants have an incentive to work harder and invest in better methods than, for example, in a slave plantation system. However, by dividing the working force into many individual workers, large farms do not benefit from economies of scale. On the whole, sharecropping has been shown not to be as economically productive as the gang agriculture of slave plantations, though less efficient than modern agricultural techniques.

In the U.S., "tenant" farmers owned their own mules and equipment, and "sharecroppers" did not. Thus sharecroppers were poorer and of lower status. Sharecropping occurred extensively in Scotland, Ireland and colonial Africa, and came into wide use in the Southern United States during the Reconstruction era (1865–1877). The South had been devastated by war – planters had ample land but little money for wages or taxes. At the same time, most of the former slaves could provide labor but had no money or land – they rejected the kind of gang labor that typified slavery. A solution was the sharecropping system focused on cotton, which was the only crop that could generate cash for the croppers, landowners, merchants and the tax collector. Poor white farmers who previously had done little cotton farming needed cash as well and became sharecroppers.

Jeffery Paige made a distinction between centralized sharecropping found on cotton plantations and the decentralized sharecropping with other crops. The former is characterized by political conservatism and long lasting tenure. Tenants are tied to the landlord through the plantation store. This form of tenure tends to be replaced by paid salaries as markets penetrate. Decentralized sharecropping involves virtually no role for the landlord: plots are scattered, peasants manage their own labor and the landowners do not manufacture the crops. This form of tenure becomes more common when markets penetrate.

Use of the sharecropper system has also been identified in England (as the practice of "farming to halves"). It is still used in many rural poor areas of the world today, notably in Pakistan and India.

Although there is a perception that sharecropping was exploitative, "evidence from around the world suggests that sharecropping is often a way for differently endowed enterprises to pool resources to mutual benefit, overcoming credit restraints and helping to manage risk." According to Dr. Hunter, "a few acres to the cottage would make the labourers too independent."

Sharecropping can have more than a passing similarity to serfdom or indenture, particularly where associated with large debts at a plantation store that effectively ties down the workers and their family to the land. It has therefore been seen as an issue of land reform in contexts such as the Mexican Revolution. However, Nyambara states that Eurocentric historiographical devices such as 'feudalism' or 'slavery' often qualified by weak prefixes like 'semi-' or 'quasi-' are not helpful in understanding the antecedents and functions of sharecropping in Africa.

Sharecropping agreements can, however, be made fairly, as a form of tenant farming or sharefarming that has a variable rental payment, paid in arrears. There are three different types of contracts.

  1. Workers can rent plots of land from the owner for a certain sum and keep the whole crop.
  2. Workers work on the land and earn a fixed wage from the land owner but keep some of the crop.
  3. No money changes hands but the worker and land owner each keep a share of the crop.

It also gave sharecroppers a vested interest in the land, incentivizing hard work and care. American plantations were, however, wary of this interest, as they felt that would lead to African Americans demanding rights of partnership. Many black laborers denied the unilateral authority that landowners hoped to achieve, further complicating relations between landowners and sharecroppers.

Landlords opt for sharecropping to avoid the administrative costs and shirking that occurs on plantations and haciendas. It is preferred to cash tenancy because cash tenants take all the risks, and any harvest failure will hurt them and not the landlord. Therefore, they tend to demand lower rents than sharecroppers.

The advantages of sharecropping in other situations include enabling access for women to arable land where ownership rights are vested only in men.

Disadvantages

The practice was harmful to tenants with many cases of high interest rates, unpredictable harvests, and unscrupulous landlords and merchants often keeping tenant farm families severely indebted. The debt was often compounded year on year leaving the cropper vulnerable to intimidation and shortchanging. Nevertheless, it appeared to be inevitable, with no serious alternative unless the croppers left agriculture.

A new system of credit, the crop lien, became closely associated with sharecropping. Under this system, a planter or merchant extended a line of credit to the sharecropper while taking the year's crop as collateral. The sharecropper could then draw food and supplies all year long. When the crop was harvested, the planter or merchants who held the lien sold the harvest for the sharecropper and settled the debt.

Regions

Africa

In settler colonies of colonial Africa, sharecropping was a feature of the agricultural life. White farmers, who owned most of the land, were frequently unable to work the whole of their farm for lack of capital. They, therefore, had African farmers to work the excess on a sharecropping basis. In South Africa the 1913 Natives' Land Act outlawed the ownership of land by Africans in areas designated for white ownership and effectively reduced the status of most sharecroppers to tenant farmers and then to farm laborers. In the 1960s, generous subsidies to white farmers meant that most farmers could afford to work their entire farms, and sharecropping faded out.

The arrangement has reappeared in other African countries in modern times, including Ghana and Zimbabwe.

United States

Sharecroppers on the roadside after eviction (1936)

Sharecropping became widespread in the South as a response to economic upheaval caused by the end of slavery during and after Reconstruction. Sharecropping was a way for poor farmers, both white and black, to earn a living from land owned by someone else. The landowner provided land, housing, tools and seed, and perhaps a mule, and a local merchant provided food and supplies on credit. At harvest time, the sharecropper received a share of the crop (from one-third to one-half, with the landowner taking the rest). The cropper used his share to pay off his debt to the merchant.

The system started with Black farmers when large plantations were subdivided. By the 1880s, white farmers also became sharecroppers. The system was distinct from that of the tenant farmer, who rented the land, provided his own tools and mule, and received half the crop. Landowners provided more supervision to sharecroppers, and less or none to tenant farmers. Sharecropping in the United States probably originated in the Natchez District, roughly centered in Adams County, Mississippi with its county seat, Natchez.

Sharecroppers worked a section of the plantation independently, usually growing cotton, tobacco, rice, sugar, and other cash crops, and receiving half of the parcel's output. Sharecroppers also often received their farming tools and all other goods from the landowner they were contracted with. Landowners dictated decisions relating to the crop mix, and sharecroppers were often in agreements to sell their portion of the crop back to the landowner, thus being subjected to manipulated prices. In addition to this, landowners, threatening to not renew the lease at the end of the growing season, were able to apply pressure to their tenants. Sharecropping often proved economically problematic, as the landowners held significant economic control.

Although the sharecropping system was primarily a post-Civil War development, it did exist in antebellum Mississippi, especially in the northeastern part of the state, an area with few slaves or plantations, and most likely existed in Tennessee. Sharecropping, along with tenant farming, was a dominant form in the cotton South from the 1870s to the 1950s, among both blacks and whites.

An early 20th century Texas sharecropper's home diorama at the Audie Murphy American Cotton Museum, in Greenville, Texas 2015

Following the Civil War of the United States, the South lay in ruins. Plantations and other lands throughout the South were seized by the federal government, and thousands of former slaves, known as freedmen, found themselves free, yet without means to support their families. The situation was made more complex due to General William T. Sherman's Special Field Orders No. 15, which in January 1865, announced he would temporarily grant newly freed families 40 acres of land on the islands and coastal regions of Georgia. This policy was also referred to as Forty Acres and a Mule. Many believed that this policy would be extended to all former slaves and their families as repayment for their treatment at the end of the war.

An alternative path was selected and enforced. In the summer of 1865, President Andrew Johnson, as one of the first acts of Reconstruction, instead ordered all land under federal control be returned to the owners from whom it had been seized. This meant that plantation and land owners in the South regained their land but lacked a labor force. The resulting arrangement which addressed this situation was sharecropping.

In Reconstruction-era United States, sharecropping was one of few options for penniless freedmen to support themselves and their families. Other solutions included the crop-lien system (where the farmer was extended credit for seed and other supplies by the merchant), a rent labor system (where the former slave rents his land but keeps his entire crop), and the wage system (worker earns a fixed wage, but keeps none of their crop). Sharecropping was by far the most economically efficient, as it provided incentives for workers to produce a bigger harvest. It was a stage beyond simple hired labor because the sharecropper had an annual contract. During Reconstruction, the federal Freedmen's Bureau ordered the arrangements and wrote and enforced the contracts.

After the Civil War, plantation owners had to borrow money to farm, at around 15 percent interest. The indebtedness of cotton planters increased through the early 1940s, and the average plantation fell into bankruptcy about every 20 years. It is against this backdrop that the wealthiest owners maintained their concentrated ownership of the land.

Cotton sharecroppers, Hale County, Alabama, 1936
 
A sharecropper family in Walker County, Alabama (c. 1937)
 
Sharecropper's cabin displayed at Louisiana State Cotton Museum in Lake Providence, Louisiana (2013 photo)
 
Inside living room/bedroom combination of sharecroppers in Lake Providence
 
The commissary or company store for sharecroppers at Lake Providence as it appeared in the 19th century
 
Sharecroppers' chapel at Cotton Museum in Lake Providence

Croppers were assigned a plot of land to work, and in exchange owed the owner a share of the crop at the end of the season, usually one half. The owner provided the tools and farm animals. Farmers who owned their own mule and plow were at a higher stage, and were called tenant farmers: They paid the landowner less, usually only a third of each crop. In both cases, the farmer kept the produce of gardens.

The sharecropper purchased seed, tools, and fertilizer, as well as food and clothing, on credit from a local merchant, or sometimes from a plantation store. At harvest time, the cropper would harvest the whole crop and sell it to the merchant who had extended credit. Purchases and the landowner's share were deducted and the cropper kept the difference—or added to his debt.

Though the arrangement protected sharecroppers from the negative effects of a bad crop, many sharecroppers (both black and white) remained quite poor. Arrangements typically left a third of the crop to the sharecropper.

By the early 1930s, there were 5.5 million white tenants, sharecroppers, and mixed cropping/laborers in the United States; and 3 million blacks. In Tennessee, whites made up two thirds or more of the sharecroppers. In Mississippi, by 1900, 36% of all white farmers were tenants or sharecroppers, while 85% of black farmers were. In Georgia, fewer than 16,000 farms were operated by black owners in 1910, while, at the same time, African Americans managed 106,738 farms as tenants.

Sharecropping continued to be a significant institution in Tennessee agriculture for more than 60 years after the Civil War, peaking in importance in the early 1930s, when sharecroppers operated approximately one-third of all farm units in the state.

The situation of landless farmers who challenged the system in the rural South as late as 1941 has been described thus: "he is at once a target subject of ridicule and vitriolic denunciation; he may even be waylaid by hooded or unhooded leaders of the community, some of whom may be public officials. If a white man persists in 'causing trouble', the night riders may pay him a visit, or the officials may haul him into court; if he is a Negro, a mob may hunt him down."

Sharecroppers formed unions in the 1930s, beginning in Tallapoosa County, Alabama in 1931, and Arkansas in 1934. Membership in the Southern Tenant Farmers Union included both blacks and poor whites. As leadership strengthened, meetings became more successful, and protest became more vigorous, landlords responded with a wave of terror.

Sharecroppers' strikes in Arkansas and the Missouri Bootheel, the 1939 Missouri Sharecroppers' Strike, were documented in the film Oh Freedom After While. The plight of a sharecropper was addressed in the song Sharecropper's Blues recorded by Charlie Barnet and His Orchestra with vocals by Kay Starr (Decca 24264) in 1944. It was rerecorded and released by Capitol with Starr being backed by the David Beckham Ork" (Capitol Americana 40051). Decca then reissued the Barnet/Star recording.

In the 1930s and 1940s, increasing mechanization virtually brought the institution of sharecropping to an end in the United States. The sharecropping system in the U.S. increased during the Great Depression with the creation of tenant farmers following the failure of many small farms throughout the Dustbowl. Traditional sharecropping declined after mechanization of farm work became economical in the mid-20th century. As a result, many sharecroppers were forced off the farms, and migrated to cities to work in factories, or become migrant workers in the Western United States during World War II.

Sharecropping agreements

Typically, a sharecropping agreement would specify the party that was expected to cover certain expenses, like seed, fertilizer, weed control, irrigation district assessments, and fuel. Sometimes the sharecropper covered those costs, but they expected a larger share of the crop in return. The agreement would also indicate whether the sharecropper would use his own equipment to raise the crops or use the landlord's equipment. The agreement would also indicate whether the landlord would pick up his share of the crop in the field or whether the sharecropper would deliver it and where it would be delivered.

For example, a landowner may have a sharecropper farming an irrigated hayfield. The sharecropper uses his own equipment and covers all costs of fuel and fertilizer. The landowner pays the irrigation district assessments and does the irrigating himself. The sharecropper cuts and bales the hay and delivers onethird of the baled hay to the landlord's feedlot. The sharecropper might also leave the landlord's share of the baled hay in the field, where the landlord would fetch it when he wanted hay.

Another arrangement could have the sharecropper delivering the landlord's share of the product to market, and the landlord would get his share in the form of the sale proceeds. In that case, the agreement should indicate the timing of the delivery to market, which can have a significant effect on the ultimate price of some crops. The market timing decision should probably be decided shortly before harvest so that the landlord has more complete information about the area's harvest to determine whether the crop will earn more money immediately after harvest, or it should be stored until the price rises. Market timing can entail storage costs and losses to spoilage for some crops as well.

Economic theories of share tenancy

The theory of share tenancy was long dominated by Alfred Marshall's famous footnote in Book VI, Chapter X.14 of Principles where he illustrated the inefficiency of agricultural share-contracting. Steven N.S. Cheung (1969), challenged this view, showing that with sufficient competition and in the absence of transaction costs, share tenancy will be equivalent to competitive labor markets and therefore efficient.

He also showed that in the presence of transaction costs, share-contracting may be preferred to either wage contracts or rent contracts—due to the mitigation of labor shirking and the provision of risk sharing. Joseph Stiglitz (1974, 1988), suggested that if share tenancy is only a labor contract, then it is only pairwise-efficient and that land-to-the-tiller reform would improve social efficiency by removing the necessity for labor contracts in the first place.

Reid (1973), Murrel (1983), Roumasset (1995) and Allen and Lueck (2004) provided transaction cost theories of share-contracting, wherein tenancy is more of a partnership than a labor contract and both landlord and tenant provide multiple inputs. It has also been argued that the sharecropping institution can be explained by factors such as informational asymmetry (Hallagan, 1978; Allen, 1982; Muthoo, 1998), moral hazard (Reid, 1976; Eswaran and Kotwal, 1985; Ghatak and Pandey, 2000), intertemporal discounting (Roy and Serfes, 2001), price fluctuations (Sen, 2011) or limited liability (Shetty, 1988; Basu, 1992; Sengupta, 1997; Ray and Singh, 2001).

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