Thursday, March 4, 2010

On the Theory of Socratic Dialogue

Introduction

The German philosopher Leonard Nelson (1882 -1927), a follower of Kant’s ideas and a proponent of the Enlightenment, developed a method of teaching and learning to philosophise, which he called Socratic, and which later became known as Socratic Dialogue (SD). He used it as a pedagogic method in the seminars at the University of Goettingen, where he taught philosophy and mathematics. Subsequently he came to practise it with workers and other members of political organizations as well as at school. The tradition was taken on by his disciple Gustav Heckmann, professor in Hannover. nowadays a number of NGOs in some west European countries as well as all over the world are practicing it in a multitude of institutional settings. It is not an exaggeration to say that SD has become a widespread philosophical movement.

Here I am not going to compare Nelson’s version of SD with the original method of Socrates, or to fully reconstruct Nelson’s account of it. My task, as I see it for the purposes of our conference, is to present the current ways of practicing SD in educational (in the very broad sense of the word) contexts. I’ll try to define dialogue as a specific philosophical genre, and to show its basic aims and logic as I see them.

I became acquainted with SD about 6 years ago, and since then have attended several 3-days or shorter dialogues either as a participant or as an observer. without systematic training in the method, I ventured to use elements of it in my teaching at the university, e.g. answering the question “What is knowledge?”, and both the students and I feel that it has been a success. Another resource is a book in English containing essential materials on history and current practices in SD. It appeared in 2004 and is entitled Enquiring Minds. Socratic Dialogue in Education, edited by R. Saran and B. Neisser, published by Trentham Books. I find it invaluable for those who seek clear theoretical and practical instructions into the potentials of SD.

1. General description of the dialogue

We are speaking here of an oral form of communication between a number of people who are engaged in exploring a certain problem. Usually the main purpose of the dialogue is identified (and Nelson himself does so) as to let people acquire genuine philosophical experience. What exactly makes such a communication a dialogue, a philosophical one, and a Socratic one? And is the experience of philosophising to be regarded only as an end or as a goal in itself? The obvious answer, sanctioned by the millennia of philosophical activity, is “no”; therefore I’ll try to show what other – let’s call them sub-goals – of SD are being pursued by it.

1.1. “Dialogue”: in it a group of people (in SD - usually limited to 15, nearer 10 is preferable) interact via questions and answers in pursuit of a common goal. What makes this activity a dialogue is the exchange of thoughts on the basis of equal rights and obligations of the participants to follow the course of the thinking process, may be sometimes silently. The common goal converts the mere group of people into a community. The thought exchange creates a common space where people can meet. It is not a space occupied by a single person who confesses her own views on a given matter, nor a universal space from which everything can be seen clearly. Further on, the dialogue sets a common time - neither the biographical one of a single speaker, nor an eternal one in which universal truths dwell.

1.2. “Philosophy”: the nature of group activity in SD is talking as thinking. there are, however, different kinds of thinking. I find relevant to SD I’ll the distinction between contemplation and deliberation made by Aristotle. In Nicomachean Ethics, Book VI, Ch. I, 1139a, he says:

Let us call one of these [parts of the soul] the scientific part, and the other the rationally calculating part; for deliberating is the same as rationally calculating and no one deliberates about what cannot be otherwise.

(Similar statements can be found in EN 1111b26, 1112b15, 1177a17, 1177b1, Met. XII 7 1072b13-30).

In contemplation we seek knowledge about what is so and so, and cannot be otherwise, e.g. the laws of nature. In deliberation we think about what to do or not to do where things allow for change by human effort, e.g. where to go for dinner. Successful contemplation results in conclusion, successful deliberation – in decision. Contemplation is theoretical, deliberation – practical. Philosophical dialogue is a reflective practice that can be devoted either to contemplation or to deliberation, or to a certain combination of both. It is not just thinking about thinking, which is too abstract a definition of reflection; it is either deliberation of how we (do, must or must not) contemplate, or contemplation of how we (do, must or must not) deliberate.

1.3. “Socratic”: Socratic philosophical dialogue might be defined as contemplation of (past and finished) deliberations. It is contemplative thinking about deliberative thinking employed in some past practical situation, a deliberation that has led to a decision for a certain action. Through contemplation of the process of deliberation SD seeks to improve the latter, so that in some future situations it works better. This is practical wisdom which is impossible without theoretical one. SD is a unique liaison between theoretical and practical philosophy. Doing it, people think how to learn to think better, and in thinking how to learn, people learn how to think.

This is what makes the thinking in SD philosophical. thinking, however, is a process with content. The content of Socratic philosophical thinking is about what is guiding us in our everyday life. It is about our values, habits, preferences, customs and intuitions that structure our behaviour. We are dependent on our understanding of those values – of friendship, success, loyalty, freedom, etc.

Our understanding functions through shortcuts called concepts. Our value concepts are controversial by their very nature, and therefore they may be called truly philosophical. It is absurd to say that there is “the right notion of friendship” or “the true definition of the meaning of life”. Thus philosophy in SD depends both on method (thinking about thinking) and on content (thinking about value concepts).

So far, by specifying what is dialogical, Socratic and philosophical in SD, I have set some limits to the questions suitable for dealing with by the Socratic Method. A list of sample questions and topics is given in Appendix 2.

2. Diachronic Structure of SD – phases of the dialogue and the logic of the story

2.1. Setting the stage, time and rules. A SD is announced and a group of people gather to discuss a question that interests them, often because they have asked themselves that question previously concerning particular situations encountered in their past, and likely to happen again in the future. A person trained in guiding discussions is authorised to see that the story is being “written” according to the cannons of the genre and goes by and large in a “grammatically” correct way (here I mean grammar as the structure of the dialogue). The “grammatical” rules are being handed out either in advance or described at the beginning of the dialogue. Arrangements for report writing are made, parameters of meta-dialogue (see § 3.6. below) are introduced and examples told by participants are collected.

2.2. The question of interest is being explored on the basis of a particular example. The group or the facilitator chooses the example, applying certain criteria. The person who gave it becomes the example-giver (voluntarily) and makes a detailed description of the example helped by the questions and requests for particulars and clarifications by the other participants. The chosen example is being written up.

2.3. Participants analyse the example by questioning the reasons for the actions and attitudes of people in the example, by judging the discovered ones and/or by hypothesizing different reasons. Agreed reasons are further examined as instantiations of norms and values that underpinned the actions of people in the example. Participants determine points of agreement in the analysis. Those points are written up.

2.4. General questions, problems and principles are abstracted from the concrete example. This is what Nelson called regressive abstraction: going back from the contextually described particular situation to the reasons and principles behind it. Those reasons are supposedly grounded in norms and values, so the next step is to test the ethical validity of the latter on the basis of the former. Participants identify which abstractions they can agree with, and which remain as points of dissent. Shared views are being formulated and written up. This is how the story ends.

3. Synchronic structure – protagonist’s roles and the logic of enquiry.

3.1. Reliance on personal experience

SD theory claims that the personal experience of the participants plays a crucial role in the dialogue. It is essential for keeping the discussion close to the practical needs of the participants. But what is the practical need for philosophising? As Socrates himself saw it, philosophical еnquiry must dig under the surface of our everyday stereotypes of behaviour in order to reveal our ultimate goals in life, i.e. the values that guide us, and by an appeal to which we justify or excuse our actions. What do we call courage, prudence, justice, beauty? If all of us have their own peculiar and unique understanding of them, the life in a community would be impossible. So somewhere deep beneath the seeming differences must lie a common conception of those values. In order to discover it we must reflect on our personal experience and eliminate the things that obscure our view: social status, gender features, age, origin, language differences, and the like. The same attitude has been adopted by 20th century phenomenology, L. Nelson being one of the founders of one of its various types. In phenomenology we must turn to “the things themselves”, to their essence obscured by the influences of tradition, authorities of various kinds, theoretical commitments, cultural conventions, personal idiosyncrasies, etc. What remains after bracketing all these, is the pure phenomenon (hence phenomenology), and there is nothing beyond it – so it is also the essence, the eidos (the original, the model) of the thing we are studying. This clarifies further Nelson’s regressive abstraction – starting from the concrete and arriving at the universal. Precisely the universal was what Socrates sought to discover as common knowledge, i.e. the basis for shared values and collective activity.

So SD enquiry is looking for better understanding of our own commitments and their conceptual fundament.

Thus it might be said that the first sub-goal of SD is the discovery of norms and values at work in a certain community (thus using and fostering theoretical wisdom) [1].

3.2. Enquiring into the truth

The need for objectivity has always accompanied good philosophy; and what could be more objective than the truth? SD adopts a strong commitment to truth as one of the goals of inquiry. As yet, it might seem unclear what theory of truth underlies SD (see D. Krohn, Theory and practice of Socratic Dialogue, in: Enquiring Minds, pp. 21 -22). I would venture to say that different truth theories underlie the different stages of enquiry. Where a practical decision is to be made, the consensus theory plays a dominant role; where empirical facts are to be assessed, correspondence of statement and fact becomes crucial; and where speculation is needed in order to outline a vision about goals and outcomes, coherence and logical consistency comes to the fore. In so far as the final outcome of the SD is a judgement about values at work and their validity, the leading theory must be the consensus one.

Next, the question arises about what kind of truth is envisaged?

Nowadays we witness extreme relativism about truth, just to mention some post-modernistic views or the popular conception of Richard Rorty. Moreover, even contemporary science does not speak exclusively of objectivity and truth, but often of inter-subjective validity instead. It is not surprising that philosophy too has reconsidered and revised its demands for (especially absolute) truth, and proceeds from truths common to small communities, to more general ones accepted in a wider context. However, no universal truths are to be sought, if universal means context independent.

How intensively we seek the truth depends strongly on how deep is our desire to know it. When we put some question to the world, we outline a path that seems to lead somewhere, and supposedly we are willing to follow that path. So it is important for the question to be our own, to be of deep interest. In the tradition of SD the participants take a significant role in the choice of the dialogue topic. Looking backwards to Socrates, he sometimes elicits the question from the situation in which his interlocutor happens to be; sometimes the question is already “in the air” in one or other form. However, when the participants in SD have their own questions on the agenda, it is a kind of warrant that the discussion will not die out before the question is answered in a satisfactory way.

So the second sub-goal of SD is (passionately) tracking the truth in the above qualified sense (thus seeking theoretical wisdom) [2].

3.3. Interpersonal understanding and ethics of enquiry

The SD methodology is extremely suitable for team-building, because it aims at deeper and better interpersonal understanding. This is partly due to its theoretical background – the Nelsonian version of phenomenology: pure phenomena are supposedly universal for all people. However, there is another theory on the level of the synchronic structure that concerns the transfer of meaning in the dialogue.

Transfer of meaning is essential in any kind of communication, but the philosophical dialogue is a special case. It tries to approximate the ideal communicative situation. That is why so many philosophers in the past century have tried to specify its enabling conditions.

SD could be viewed as an exemplification of such a communicative situation, in which the so called “maxims” of communication, formulated by the Oxford philosopher H. P. Grice, are at work. They all fall under the constitutive principle of meaning exchange called the Cooperative principle. It states: Our talk exchanges do not normally consist of a succession of disconnected remarks, and would not be rational if they did. Each participant recognises in them a common purpose, or at least a mutually accepted direction. This purpose or direction may be fairly definite (as in SD) or quite indefinite (as in everyday conversations). But at each stage some possible conversational moves would be excluded as unsuitable (H. P. Grice. Logic and Conversation, 1975. in: A. P. Martinich, The Philosophy of Language, Oxford University Press 1996, p. 156.) The specific maxims are:

1. Quantity: make your contribution as informative as is required for the current purposes of the exchange.

2. Quality: Do not say what you believe to be false or lacks adequate evidence.

3. Relation: Be relevant.

4. Manner: Avoid obscurity of expression and ambiguity. Be brief and orderly.

You may recognise in these maxims the rules of SD. they also imply that particular thinking skills are to be exercised in order to follow the maxims. reasoning in a community creates conditions for manifesting the variety of thinking skills available to the community as a whole. This is one of the major advantages of philosophical dialogue in general. Human beings exceed in intelligence all other species precisely by being able to use the resources of the whole community through language. When one participant uses skills for generalisation, another – of exemplification, a third – of tracing consequences, a fourth – of discovering hidden assumptions, all participants have the opportunity for trying to apply - by imitation and modeling – skills used by the others. Thus each participant is enabled to enrich their own repertoire of thinking skills. On the other hand, the group as a whole comes into possession of a wide variety of skills, so that very difficult questions can be handled with the thinking powers of the community. The so called synergic effect occurs.

Noteworthy, we have to differentiate between thinking in a community and groupthink. The latter is a mode of thought whereby individuals intentionally conform to what they perceive to be the consensus of the group. Groupthink may cause the group to make bad or irrational judgements (or decisions) which each member might individually consider to be unwise. Hence it is essential for SD to avoid groupthink, and this is ensured by the facilitator, the metadialogue, and the attentiveness of participants themselves.

The third sub-goal of SD might be identified as increasing the communicative intelligence of the participants as well as their thinking skills (thus fostering practical wisdom) [3].

3.4. Reaching consensus. Rule N 1 for facilitators (as well as phase 3 of SD) explicitly insists that consensus about norms and values is the ultimate outcome to be achieved. How strict is this requirement, and how is consensus to be understood in this context? For instance, consensus is a key concept in the philosophical school of pragmatism. There consensus is a truth criterion: for pragmatism the truth is what the whole community of researchers would accept in the long run, provided that the enquiry takes a long enough time. As Ch. S. Peirce says, the truth is the fate of a proposition; so we might say that consensus is the fate of the dialogue. However, contemporary notions of consensus are slightly different. One possible explication is this. consensus is a general agreement among the members of a given community, each of which exercises some discretion in judgement, decision making and follow-up action. Achieving consensus requires serious treatment of every stakeholder’s considered opinion. Consensus should involve collaboration rather than compromise. If consensus is being sought for in a purely instrumental way the result may be a simple trading—we'll sacrifice this if you'll sacrifice that. Genuine consensus typically requires more focus on developing the relationships among participants, so that they work together to achieve agreements based on willing consent. After all, it is possible in principle for everyone to agree but be mistaken.

In contemporary practice of SD, sometimes it is enough to achieve a greater clarification of the views that participants have about the matter at issue. Sometimes the outcome is just the outlining of different perspectives. And only sometimes merging of perspectives into one unified view is reached. In some institutional contexts it seems justified for SD to insist on reaching full consensus in order to justify SD’s practical applicability concerning ethical and political issues connected with decision making. in educational settings, however, SD often ends up without an explicit consensus, and this is to be theoretically assimilated, as in some recent publications (Rethinking Dialogue – Philosophy and Systems Intelligence, Sebastian Slotte, http://www.systemsintelligence.tkk.fi/slotte1.pdf).

The fourth sub-goal of SD is moving towards consensus (thus seeking practical wisdom) [4].

3.5. The role of the facilitator

The SD methodology adopts a content-neutral role of the facilitator. Especially in education, this is a very important strategy for fostering independent thinking. As Nelson contends, all the questions and answers are to come from the students (L. Nelson. The Socratic Method, in: Enquiring Minds, p. 142). the teacher is by all means an authority for the students, therefore in the classroom the danger of indoctrination is the greatest, if the teacher in the role of the facilitator allows herself to express her own views on the matter. The students take it to be the truth itself, and further inquiry becomes blocked.

The fifth sub-goal of SD is to foster thinking and deciding for oneself (thus seeking a union between theoretical and practical wisdom) [5].

3.6. Meta-dialogue

Meta-dialogue is the method for self-reflection of the dialogical community. It might be described as deliberation of how the contemplation is going and is to proceed further. In the meta-dialogue the rules of dialogue and matters of group dynamics are being discussed. Meta-dialogue may be started at any point of the dialogue in response to a request by any participant or by the facilitator, provided the need for it is well justified. My experience, very similarly to that of our German and English colleagues who are working in schools, shows that it might prove felicitous to start the lesson with a meta-dialogue in order “to clear up questions of organisation and problems of understanding” (R. Saran and B. Neisser, Socratic Dialogue in teaching ethics and philosophy: organisational issues. In: Enquiring Minds, p. 33).

Meta-dialogue is also a space for evaluation of the content dialogue. To my knowledge there is not a systematically developed framework for evaluation of SD. Some models are in use, however. They either distinguish evaluations by the participants, or assess the dialogue phases. The quality of analysis, participation, atmosphere, and the like are being mentioned in such evaluations.

the sixth sub-goal of SD is fostering philosophical wisdom, which distinguishes between practical and theoretical ones but is able to borrow from both in an appropriate way [6].

Conclusion

Philosophical experience acquired during SD is not only a matter of fascination prompted by a communicative situation different from many everyday strategic, manipulative and otherwise unsatisfactory dealings. It serves another clear-cut end of personal transformation: pushing forward the limits of freedom, independent thinking and self-enlightenment. Both facilitators and participants have the right to make use of SD to this end, and the responsibility to contribute to its achievement.

Socratic Dialogue as Collegial Reasoning by Stan Van Hooft

Introduction

There has been a great deal of work in the last few years in which philosophers have sought to make their expertise as philosophers available to the world of business and of the professions. The most notable example would be bioethics but business, policing, social work, nursing, and the public sector are just some of the other areas to which philosophy has sought to make itself relevant in recent times.

With due allowance for many exceptions, it would be true to say that the predominant way in which philosophy has sought to contribute to these fields is by seeking to research, discover, and apply principles of one kind or another. Once again, the best illustration comes from bioethics in which the four principles of respect for autonomy, nonmaleficence, beneficence and justice are the backbone of the approach to ethical dilemmas that have been taught in most schools and applied in most clinics. Textbooks in other fields of applied ethics are similarly based upon the strategy of defining and then applying principles to practice. "Principlism" in ethics seems to be the paradigm position in the field of applied philosophy.

One consequence of this is that, insofar as they are in the profession of defining and clarifying principles, philosophers can claim expertise which they can then apply to various professional fields as paid consultants. The relationship between the philosopher and the professional becomes one of expert to client and the professional is placed into the role of one who does not know what he needs to know in order to make the ethically sound decisions that a situation might call for, while the philosopher is the one who has the expertise and who offers guidance. While most philosophical practitioners will be sensitive to their own lack of knowledge in relation to the profession to which they are being asked to contribute and will be suitably humble, the assumptions that the paradigm brings with it, places them into a situation where they are seen as an expert. It follows from this that the practical knowledge of the client-professional is devalued and often ignored. As a result, the gap between theory and practice is as difficult to bridge in the principlist paradigm as it ever was.

The form of thinking which principlism brings with it is deductive. Principles are seen as general statements from which particular decision are to be drawn by a process of deduction. In its extreme form, principlism proposes universal norms from which particular action decisions are to be drawn in the light of particular circumstances, while in more applied forms the principles that play the role of major premises in practical syllogisms might be guidelines for a particular organisation or codes of ethics for a particular profession. In either case, the course of action to be embarked upon or the decision to be made in particular circumstances is an application of the general rule to that specific circumstance. While a certain amount of skill or practical wisdom in understanding the exigencies of the situation is required, the major skill that such a decision procedure calls for is that of clear thinking and the avoidance of inconsistencies.

But principlism is under threat today. Many people are recognising that philosophers' debates about principles and their bases seem to be intractable. We will all have to wait a very long time before we resolve the issue of whether the basis of ethical norms is the principle of utility or the pure exercise of reason directing a good will. Philosophers seem not to have resolved the question of whether caring or justice are the fundamental considerations in health care. Philosophers who advise managers of private enterprises are still not agreed as to whether the primary values in business are profit or social responsibility. Moreover, more positively, many moral theorists have come to see that virtue is as important an ethical concept as principle and have gone on to explore the range of character traits that are requisite for the making of sound decisions in a range of applied fields. Foremost among these virtues is practical wisdom or, as Aristotle called it, phronesis. This is the virtue that allows an agent to discern the most ethically salient features of a situation and the appropriate course of action for which it calls. In Aristotle's conception such a virtue does not depend upon a theoretically based knowledge of principles. One key idea in virtue ethics is that decisions are made with reference to the particular. General knowledge, including knowledge of principles or the human good, is generally tacit in the practical life of a virtuous person.

And yet the new stress on virtue theory can leave us uneasy. If all we can do to ensure that ethically sound decisions are made is to rely upon the personal virtue of decision makers, then what guarantee can be offered that good will result? Evil is often done by persons who think themselves virtuous and consider that they are acting on their own best lights. If principles are too general and uncertain a guide, and if personal virtue is too idiosyncratic, what basis can there be for responsible and ethical decision making? Today I want to explore the notion that group decisions or collegial decisions can have this quality and I want to explore a particular format for making such decisions: namely, that of Socratic Dialogue.

Group decisions

I had occasion recently to visit the Palliative care unit at the Monash Medical Centre as the guest of Professor Michael Ashby, its director. I was invited to participate in the ward rounds on a particular morning and to attend the preceding meeting in which treatment decisions and prognoses were discussed. I was struck by something that professionals in the field would have taken for granted: namely, that all the decisions were taken collegially. Moreover, the group that was making the decisions consisted not only of medical officers of various levels of standing ranging from a professor of palliative care to a trainee intern, but also nurses, social workers and counsellors. This group did the ward round together and discussed each case together in the preliminary meeting. Whatever the degree of practical wisdom each professional might have brought to that decision making process from their own professional background, the collective wisdom of that group was clearly greater than the sum of its parts. Perhaps it is only to a philosopher accustomed to working in solitary confinement in a private study that this observation should not be obvious, but however that may be, it triggers an interesting line of inquiry. What is it about groups that often make collegial decisions superior to individual ones? And what forms of collegial decision making ensure that group decisions or group thinking processes conduce to good results? It may be that what the philosopher can contribute to applied ethics is a form that will ensure such an outcome.

It would seem that the virtue of group decision making arises from its being drawn from the best of the particular perspectives of its participants and combined by the structure of the group discussion into the making of sound decisions and the achieving of sound insights. As opposed to the individualist picture of most traditional philosophy where the solitary scholar sits and muses and things of deep significance and universal application, group decisions on the part of professionals combines their individual qualities of practical wisdom with a group dynamic which, at its best, ensures sound reasoning and ethical decision making.

Socratic Dialogue

Today, I would like to propose one form of such collegial reasoning and decision making: namely, that of Socratic Dialogue. Based on the ideas of German philosopher Leonard Nelson (1882-1927) and his pupil Gustav Heckmann (1898-1996), and developed by the Philosophical-Political Academy in Germany, the Society for the Furtherance of Critical Philosophy in the UK, and by Jos Kessels and the Dutch Association for Philosophical Practice, Socratic Dialogue is a powerful method for doing philosophy in a group.

I participated in my first Socratic Dialogue while on study leave in the Netherlands in 1991 and have attended a series of training seminars in the Netherlands during 1998. I have facilitated Socratic Dialogues in Melbourne with tertiary and secondary students and with groups drawn from the general public.

While the Socratic Dialogue derives its name from Socrates, it is not an imitation of a Platonic dialogue and it is not simply a teaching strategy using questions and answers. It uses the technical strategy of 'regressive abstraction' and develops a syllogistic structure of thought as a method of rigorous inquiry into the ideas, concepts and values that we hold. The Socratic Dialogue is a cooperative investigation into the assumptions which underlie our everyday actions and judgements and the tacit knowledge that we bring to bear in our decision making.

A Socratic Dialogue is a collective attempt to find the answer to a fundamental question. The question is the centre of the dialogue. Although these questions are general in their nature, they are not discussed with reference to philosophical theory. Rather, the question is applied to a concrete experience of one or more of the participants that is accessible to all other participants. Systematic reflection upon this experience is accompanied by a search for shared judgements and reasons.

The dialogue aims at consensus. It is not a simple or easy task to achieve consensus. Effort, discipline and perseverance are required. Everyone's thoughts need to be clarified in such a manner that participants understand each other fully. The discourse moves slowly and systematically, so that all participants gain insight into the substance of the dialogue. Participants can also engage in metadialogue, which is about the process and strategies of the dialogue.

Each Socratic Dialogue focuses on one topic. Examples of suitable topics include:
· What is of fundamental importance in life?
· What can we know?
· What is human dignity?
· Are there any fundamental human rights?
· What is the significance of death to the living?
· What is interpersonal love?
· What do we understand by 'Education'?
· What (in a caring profession) is 'caring'?

In professional contexts a group may have a preliminary meeting with the facilitator in order to define a topic most relevant to its own concerns. Some sample topics from Jos Kessels' 1997 book, “Socrates op de markt” include:
· What degree of flexibility can you require from your workers?
· Can we, as an organisation take a position in social-political debates?
· When is corporate expansion desirable?
· How can we align individual goals with the goals of the organisation?
· For what kind of wellbeing of others are we responsible?
· What is it to be pragmatic?
· Where are the limits of tolerance?
· Is it important to oblige people to retrain in the context of organisational change?
· To what extent are we responsible for the consequences of our actions?
· When does uncertainty become positive?
· When should be, as a bank, refuse credit?
· When does our flexibility jeopardise our integrity?
· What are the limits of trust between competitors?

Although the practice in Europe is mostly to run dialogues over a weekend or even a week, a useful dialogue can be conducted in one day or over several evenings. Dialogue groups should be no larger than ten and no smaller than six.

The most obvious outcome from participating in a Socratic Dialogue is deeper insight into the topic that was discussed. By drawing upon the experiences and insights of the group, an understanding can be achieved which is deeper and more authentically one's own than is usually gained from more theoretical approaches. Apart from the pleasure of conceptual understanding for its own sake, such insight can also be of importance in reflecting upon one's own life and values.

Moreover, the value of the Socratic Dialogue arises as much from its processes as from its outcomes. The painstaking process of inquiry which it engenders develops one's skills in intellectual discussion and broadens one's experience of human life. It is an experience of what philosophy at its best can be. This is an especially valuable experience for students of philosophy at all levels, as well as for anyone with an interest in philosophy.

In a professional or corporate context, Socratic Dialogue can be of value to individuals in that it leads to reflection upon professional experience and goals and the consolidation of commitment, and it can be of value to both public sector and private sector organisations in that it can lead to a finer definition of institutional missions and to the enhancement of professional collegiality. The exploration of ethical dilemmas in professional contexts is another area in which Socratic Dialogue is especially effective.

An example

In order to see how a Socratic Dialogue works let us discuss one which I conducted recently on the question, 'What is Human Dignity?'

How might philosophers typically approach such a question? They would turn to theory and seek to clarify what it offers. For example, they might discuss what it means to suggest that all people are made in the image of God, or they might explore what Kant meant when he said that we should never treat one another as means to our ends. But in a Socratic Dialogue, after the question is posed, the first move is to ask participants for examples from their own lives which seem to them to illustrate the theme. One is then chosen for further exploration. The following example, offered by a teacher called Lynn, was selected:

I gave a student (in an unruly class) a detention. This student had been one of the better students in the class but I had felt the need to assert my authority as a teacher by making an example of this more malleable student. When he lost his temper and swore at me I talked with him outside the classroom, sitting on the floor together. (This last was a risky action and a departure from what was required of the teacher's role. It was a personal gesture but made me vulnerable.) We resolved the situation (withdrawal of the detention and arrangement for the student to see the school counsellor) despite the setting. There was a mutual recognition of dignity.

The strategy of the Socratic Dialogue is to allow everyone to know the example well enough in order to allow them to see it as a case of human dignity from the inside, as it were; as if they were all wearing Lynne's shoes. There is, therefore, a lot of factual questioning about what actually happened before the group turns to an exploration of how what happens illustrates human dignity. In answer to the question: How does the example illustrate the theme? the following was offered:
A1 -- Lynn took the student's concerns seriously
A2 -- For the first time, Lynn saw the student as vulnerable.

It was observed that the question of what human dignity was in the example could be answered from three perspectives: that of the boy, that of the teacher, and that of the dignity proper to the situation as a whole. But the rules of the Socratic Dialogue insist that the focus be on the point of view of the example giver since it is this which is immediately available to the group. Further, the group needs to explore the intuition of the example giver that the example illustrates human dignity.

Accordingly, the group proposed the following:
A3 -- For both teacher and student, dignity consisted in the opportunity to situate themselves in (or create) a context that permitted them to define themselves.

And this led the group to ask:
Q1 -- Does human dignity depend on one's potential as a human being? In discussing this point, the group suggested that despite any degradation or immorality, and despite illnesses that reduce dignity like Alzheimers, everyone seems to have a fundamental level of human dignity. This raised such questions as:
Q2 -- Is human dignity a priori or innate?
Q3 -- Is 'dignity' a moral category?

While discussing this, one participant distinguished a descriptive use of the term from an evaluative use (including aesthetic evaluations where speaking of someone with dignity is like saying that they are graceful) and a moral use, where we accord moral approval to someone when we say of them that they have dignity. Later on in the discussion it was also suggested that saying of someone that they have dignity has a different moral meaning: namely, that others ought to treat that person fairly. On this reading, to have dignity is to be the object of certain moral obligations.

Gradually as the group strove for consensus as to what human dignity at this most basic level was, it arrived at:
A4 -- Human dignity is the need to be considered an equal.

As with all of the suggested answers the proposal is tested against the example. Does it make sense of Lynn's experience and of the experience of all participants imagining themselves in Lynn's shoes? It was also explored further as to its moral implications: that human dignity is a demand on others to treat me in certain ways. The dialogue had to finish at this point before further ideas could be explored because time had run out.

Logical structure

What we see in this very truncated description of the dialogue is a movement from the particular to the general. As opposed to a general statement or principle, the dialogue begins with a concrete example and moves to a general statement which is constantly referred back to the example. This is called 'regressive abstraction'. Its logical structure is as follows:

step one -- The example is offered as one in which teacher and student treat each other with dignity.

step two -- Inquiry into the example reveals that Lynn responded to the student's need to be treated as an equal.

Conclusion -- Human dignity is the need to be considered an equal.

This conclusion is derived from the inquiry by a process of abstracting from the concreteness of the example so as to uncover the assumptions about dignity which are contained in it. It is called regressive because the group works back, as it were, from the concrete example to the general answer to its opening question.

That this process has a valid logical structure can be seen when we notice that it takes the form of an inverted syllogism. If we rearrange the steps of the discussion, we find that the logical structure can be turned into a traditional syllogism as follows:

Major premise: Human dignity is the need to be considered an equal.

Minor premise: The example is offered as one in which teacher and student treat each other with dignity.

Conclusion: In the example Lynn treated (or should treat) the student as an equal.

With this reconstruction we see that the general answer to the initial question operates as a hidden major premise while the example is the minor premise. From this it follows that the example should contain treating the other as an equal. The major premise is the tacit sense of what human dignity is in general while the example applies this to the particular. A principlist approach would correspond to this form of the traditional syllogism and would yield the practical imperative which I have signalled with the word 'should' in the conclusion.

But in the Socratic dialogue the order of discovery went in the opposite direction. The minor premise was offered as the example. This was then explored so that the conclusion of the syllogism: that Lynn treated the student as an equal, was discerned, and then, when everyone in the discussion felt that they could understand why Lynn did this and how it illustrated what human dignity was, they came to see that human dignity is the need to be considered an equal. This is the general conclusion which answers the question derived by regressive abstraction from consideration of the example. The process is logically valid because it accords with the structure of the syllogism, albeit in inverted form.

However, it must not be thought that the conclusion is binding across all examples. Were the group to have chosen a different example, it might have concluded that dignity consists in a certain form of inalienable decorum which no humiliation, insult, or decadence can destroy. In this sense, Socratic Dialogue, in depending on the particularity of real life examples generates a range of answers to general questions which have a validity specific to those examples. Perhaps this reflects the fact that our most profound general concepts are far from univocal.

If we look more closely at the structure of the Socratic Dialogue we will find that it is somewhat more complex than an inverted traditional syllogism. It has been illustrated by Jos Kessels as an hourglass, with “Judgement” alongside the narrowest part of the hourglass.

Question -- What is human dignity?

Example -- The Incident

Judgement -- I treated the student as an equal

Rules -- Treat everyone equally

Policy/Principles -- Human dignity is the need to be considered equal.

Although this diagram shows the logical structure of the dialogue, there is no suggestion that participants need be aware of this or that the facilitator should impose this structure. On the contrary, the structure will obtain if the rules of the dialogue are adhered to. These rules are the following:

Procedures

The Socratic Dialogue normally uses the following procedures:
1. A well formulated, general question, or a statement, is set by the facilitator (sometimes in consultation with participants) before the discourse commences.
2. The first step is to collect concrete examples experienced by participants in which the given topic plays a key role.
3. One example is chosen by the group which will usually be the basis of the analysis and argumentation throughout the dialogue.
4. Crucial statements made by participants are written down on a flip chart or board, so that all can have an overview and be clear about the sequence of the discourse.

Criteria for suitable examples
1. The example has been derived from the participant's own experience; hypothetical or 'generalised' examples ('quite often it happens to me that . . . ') are not suitable.
2. Examples should not be very complicated ones; simple ones are often the best. Where a sequence of events has been presented, it would be best for the group to concentrate on one aspect of one event.
3. The example has to be relevant for the topic of the dialogue and of interest to the other participants. Furthermore, all participants must be able to put themselves into the shoes of the person giving the example.
4. The example should deal with an experience that has already come to an end. If the participant is still immersed in the experience it is not suitable. For example, if decisions are still to be taken, there is a risk that group members might be judgmental or offer advice; and if there is still an emotional involvement, the discussion might re-open emotional wounds.
5. The participant giving the example has to be willing to present it fully and provide all the relevant actual information and answer questions so that the other participants are able to understand the example and its relevance to the central question.
6. Positive examples: i.e., examples that affirm the question or statements are preferred.

Rules for Participants

1. Each participant's contribution is based upon what s/he has experienced, not upon what s/he has read or heard.
2. The thinking and questioning is honest. This means that all and only genuine doubts about what has been said should be expressed.
3. It is the responsibility of all participants to express their thoughts as clearly and concisely as possible, so that everyone is able to build on the ideas contributed by others earlier in the dialogue.
4. Participants should not concentrate exclusively on their own thoughts but should make every effort to understand those of other participants. To assist with this, the facilitator may ask one participant to express in their own words what another participant has said.
5. Anyone who has lost sight of the question or of the thread of the discussion should seek the help of others to clarify where the group stands.
6. Abstract statements should be grounded in concrete experience or in the example which is central to the discussion in order to illuminate such statements.
7. Inquiry into relevant questions continues as long as participants either hold conflicting views or have not yet reached clarity.
8. It is important and rewarding to participate in the whole of a dialogue even if there is disagreement. No one should leave early or cease participating before consensus is reached.

Metadialogue

It is permissible at any time within the dialogue for the facilitator or for any participant to call a kind of 'time out' in order to direct the attention of the group to any problems that may have arisen. It may be that a participant has lost track of the discussion, is unable to understand what others are saying, or feels excluded. Or it may be that one or more participants have become upset with the way the dialogue has developed. Or it may be that the group has lost its way and needs to review the structure or content of the dialogue. Or the group may want to discuss the strategies it is using to seek a consensus on the question.

Whatever the reason, a discussion about the dialogue, or a 'metadialogue', can be called for at any time. If it is thought appropriate, someone from the group other than the facilitator may be asked to chair the metadialogue.

The group should not return to the content dialogue until all the difficulties that led to the calling of a metadialogue have been resolved or until strategies for proceeding with the content dialogue have been formulated.

Wider applications

Up to now, the Socratic Dialogues that I have conducted have been in the context of student groups or the Adult Education community. As a result the topics have been of a general philosophical nature. However, as the list of topics given by Jos Kessels shows, there is no reason why topics should not arise in the context of professional, industrial, or private enterprise contexts. All organisations, whether private or public, have missions which may need articulating or encapsulate values which are implicit in practice. By exploring actual examples from life as lived in these organisations, these values and goals can be made explicit. Disagreements on policy are often based upon implicit disagreements on values. Policy discussions are not always based on the question of what should be done, but often on implicit questions of what values should be pursued or what matters are ultimately important. Socratic Dialogue is a uniquely powerful means of uncovering these deeper levels of policy. It has this power because it is not based on abstract principles but on the inherent practical wisdom of each of the participants, be they managers, doctors, teachers or students. It is this concreteness and specificity which ensures that Socratic Dialogue can never retreat back into the ivory tower of philosophical abstraction. In this context the philosopher is not an expert but, like Socrates himself, a midwife allowing the deeper convictions and practical wisdom of ordinary people into the light of day.

Notes:

1. Paper read at the 5th National Conference on Reasoning and Decision Making held at Charles Sturt University - Riverina, December 2-5, 1998.

2. Leonard Nelson, 'The Socratic Method' in his Socratic Method and Critical Philosophy, translated by Thomas K. Brown III, New Haven, Yale University Press, 1940.

3. For an interesting discussion, see Dries Boele, 'The "Benefits" of a Socratic Dialogue, Or: Which Results Can We Promise?', Inquiry: Critical Thinking Across the Disciplines, Spring, 1997. Vol. XVII, no 3, pp. 48-70.

4. Jos Kessels, Socrates op de Markt: Filosofie in Bedrijf, Amsterdam, Boom, 1997, p 142.

Associate Professor Stan van Hooft

School of Social and International Studies – Philosophy

Faculty of Arts

Deakin University

221 Burwood Highway

Burwood, Vic 3125

AUSTRALIA

E – Mail: stanvh@deakin.edu.au

This article appeared in Practical Philosophy 2.2 July 1999, to whom copyright is acknowledged.

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The Foundations of Value, Part I - Logical Issues: Justification (quid facti), First Principles, and Socratic Method


The Foundations of Value, Part I

Logical Issues: Justification (quid facti),
First Principles, and Socratic Method

after Plato, Aristotle, Hume, Kant, Fries, & Nelson


If you wish to justify your beliefs, you give reasons for them. You say that you believe proposition Z because of reason Y. Willingness to give reasons all by itself may be calledrationality -- as long as the reasons are relevant. You may also wish, however, to justify proposition(s) Y. So you cite proposition(s) X as the reason for believing proposition(s) Y. Aristotle noticed two things about this procedure. First, we must be able to describe how Y provides a reason for Z and X provides a reason for Y. Logic is just the description of how X implies Y and Z, or that Y and Z are logical consequences of X. Logic can prove Y and Z on the basis of X, but it cannot prove X without further reasons (premises), e.g. propositions U, V, or W. Logic alone can only secure the truth of its conclusions if the premises are true. Thus, it remains an inconvenient but unquestionable truth of logic that one can be perfectly logical and yet, with false premises, never say anything true.

If we continue to give reasons for reasons, from Z to Y, to X, to W, to V, to U, this is called the Regress of Reasons. Aristotle's second point, then, was just that the regress of reasons cannot be an infinite regress. If there is no end to our reasons for reasons, then nothing would ever be proven. We would just get tired of giving reasons, with nothing established any more securely than when we started. If there is to be no infinite regress, Aristotle realized, there must be propositions that do not need, for whatever reason, to be proven. Such propositions he called the first principles (archai, principia) of demonstration. Since principium -- from princeps, which is from primus andcapio, "to take" -- already means "first" (primus), "first principles" is a redundant expression. This has happened because "principle" has come to mean a rule, perhaps a very basic rule, but not necessarily a first principle in the logical sense. Such a drift of meaning already had occurred in Mediaeval Latin, so that we get principia expanded into principia prima.

How we would know first principles to be true, how we can verify or justify them, if they cannot be proven -- the modern terminology is that they must be "non-inferentially" justified -- is the Problem of First Principles. Aristotle decided that first principles are self-evident, which means that we can know intuitively that they are true just by understanding them (by noûs, "mind"). This was widely believed to be the case for many centuries, especially since it seemed to fit perfectly the best example of a deductive system based on first principles: geometry, where all the theorems are ultimately derived from a small set of axioms. In other areas, however, self-evident first principles didn't seem to work very well. Ultimately, Hume and Kant decided that most first principles are not self-evident. Hume thought this meant that we couldn't really even know them to be true, although we had to assume that they were. Kant thought that we could know them to be true, even though they couldn't be proven and were not self-evident.

Kant said that such propositions were "synthetic a priori." "Synthetic" means that they can be denied without contradiction, i.e. they do not contradict themselves or anything else that is true. Now that is called "axiomatic independence." "A priori" means that they are known to be true independent of experience. Although there is not much agreement on whether Kant explained this successfully, Leonard Nelson (1882-1927), following a suggestion in Kant, later thought that there were really two questions involved: 1) the actual justification, what Kant called the quid juris, or matter of right, which we can set aside for the moment; and 2) the question of whether the first principles are simply there, i.e. whether we use them -- something never doubted by Hume and called the quid facti, or matter of fact, by Kant. Nelson understood that this could lead to a theory of knowledge much like Plato's. In recent philosophy, virtual nihilists (perhaps "non-cognitivists" is the polite expression) like Richard Rorty solve the Problem of First Principles by saying that we simply get tired of giving reasons. In a way this is true, or, more like it, we simply run out of ideas (rather quickly), but this does not solve any of the logical or epistemological issues of justification.

Aristotle had hoped that first principles could be discovered through induction. An inductive inference is the generalization that results from counting individual objects or events. The Problem of Induction is the realization that we can never know how many individuals or events we need to count before we arejustified in making the generalization. Francis Bacon believed that empirical science uses induction, and his views influenced everyone's view of science until this century. But Bacon couldn't answer the objection that induction never proves anything. Nor could anybody else, and Hume twisted the knife in the wound.

In The Logic of Scientific Discovery Karl Popper shattered the conundra of induction and the verification of first principles by just dismissing them. Induction never had proven anything. Even Aristotle understood that, but it finally wasn't until Hume that the point was really driven home -- although even modern partisans of Hume don't seem to understand the result. Aristotle's problem of verifying first principles was resolved by Popper with the observation that deductive arguments can go in two directions: ponendo ponens, "affirming by affirming," ormodus ponens, "the affirming mode": if P implies Q, and P is true, then Q is true. This held out the mirage of verification, since all we have to do to secure things is somehow get P. But a deductive argument can also use tollendo tollens, "denying by denying," or modus tollens, "the denying mode": if P implies Q, and Q is not true, then P is not true. This means that premises can be falsified even if they cannot be verified. If we cannot somehow get P, we might simply be able to ascertain that Q is wrong, especially when P is a general statement and Q its application to some individual.

Popper says that this is a form of Kantianism, and in fact it is rather like what Immanuel Kant says in the Critique of Pure Reason at A646-647 under "The Regulative Employment of the Ideas of Pure Reason." Popper also says that it is conformable to the Friesian variety of Kantianism, since Jakob Fries (1773-1843) and Nelson, returning to a consideration of the original problem in Aristotle, stoutly maintained that first principles cannot be logically proven/inferred. This explains many peculiarities in the history of science and is, indeed, the "logic of scientific discovery," although people like Thomas Kuhn have muddied the waters with other issues (some of them legitimate, some not) -- in The Structure of Scientific Revolutions.

In relation to Popper's understanding of the logic of scientific discovery, the point of interest is how Socratic Method uses falsification. The form of Socratic discourse is that the interlocutor cites belief X (e.g. Euthyphro, that the pious is what is loved by gods, or Meletus, one of the accusers of Socrates in the Apology, that Socrates is an atheist). Socrates then asks if the interlocutor also happens to believe Y (e.g. Euthyphro, that the gods fight among themselves). With assent, Socrates then leads the interlocutor through to agreement that Y implies not-X (e.g. the pious is both loved and hated by the gods). The interlocutor then must decide whether he prefers X or Y. That doesn't verify or prove anything, but one or the other is falsified: just as in science a falsifying observation may be itself rejected instead of the theory it discredits. Although Y often has more prima facie credibility, the heat of the argument is liable to lead the interlocutor into rejecting Y for the sake of maintaining their argument for X (though, with Euthyphro, Socrates does not agree with either premise). Socrates then, of course, finds belief Z, which also implies not-X. After enough of that, X starts looking pretty bad; and the bystanders and readers, at least, are in no doubt about the outcome of the examination.

The logical structure evident in Socratic Method was already being used in the form of Indirect Proof or the reductio ad absurdum argument in mathematics and elsewhere. In this, the contradiction of what is to be proven is assumed. It is then shown that this implies a contradiction with other assumptions or definitions in the matter. Logically, according to the Law of Clavius[(-P > P) > P], this establishes the truth of what is to be proven. Classic examples of Indirect Proof are the arguments discovered by the Greeks that there is no largest prime number and the square root of 2 is an irrational number.

Why it was always possible for Socrates to find another belief that would imply not-X is a good question. Plato had thought that true first principles [note] were unavoidable. We use them always, even though we usually don't realize it and even when we may even think that we aren't. Whenever Socrates questioned people, he had always been able to maneuver them into contradictions. Plato decided that this happened because Socrates could always find the way to bring out the conflict between everyone's false beliefs and the true principles that they inevitably employed somewhere. With a contradiction, however, which side is true and which is false, or whether maybe both sides are false, is an open question. Thus, Plato conceived of Socratic Method as the way to discover the truth on the principle that a completely consistent system of belief is possible only for the true first principles. Otherwise false beliefs would create contradictions with the unavoidable true principles. As Hume said, whatever our philosophical doubts, we leave the room by the door and not by the window -- the same Hume who ruled out, not just miracles, but also free will and chance because he thought they all violated the same principle of causality that he so famously doubted. Nelson suspected that consequently, while Socratic Method did not really justify the first principles, it did provide a way to discover them. In a practical sense, that may be just as good as justification, and we can even say that Hume did more or less that very thing. It does always give Socrates, and us, a way to pursue the inquiry when we seem to reach an impasse.

Socratic Method thus shares the logic of falsification with Popper's philosophy of science and thereby avoids the pitfalls that Aristotle encountered after he formulated the theory of deduction and faced the problem of first principles and of induction. Both Socrates and Popper are left in a certain condition of ignorance because the weeding process of falsification never leaves us with a final and absolute truth: we always may discover some inconsistency (or some observation) that will require us to sort things out again. Our ignorance, however, may be of a peculiar kind. We may actually know something that is true, but the limitation will be in our understanding of it. Galileo was in a position toknow that the sun was a star, but his understanding of what a star was still was most rudimentary. Isaac Newton had a theory of gravity that still works just fine for moderate velocities and masses -- the force of gravity still declines as the square of the distance -- but Einstein provided a deeper theory that encompassed and explained more. When it comes to matters of value that scientific method cannot touch, Plato had a theory of Recollection to explain our access to knowledge apart from experience, and his theory was actually true in the sense that we do have access to knowledge apart from experience; but Immanuel Kant ultimately provides a much deeper, more subtle, and less metaphysically speculative theory that does the same thing.

Plato's own (reductio) argument against Protagoras's relativism brings out this point. It is that relativism itself uses the very principle of absolute truth that it explicitly rejects. Relativism cannot even make its own claim without holding thatit is above the relativity that it postulates. But if relativism is not absolute, then it allows its opposite, namely absolutism. Relativism could be true only if it were relatively relative, and that is not a denial of absolutes. Subjectivism has the same problem. If there is no knowledge (objectivity), how can we know that? If there is no objective truth, that would be an objective truth. So if subjectivism were true, clearly we couldn't know it, we would just have our subjective impression that no one would need to pay any attention to.

Be careful whenever a philosopher (like Hegel) begins talking about "reason" -- just as when Mr. Spock used to say in Star Trek, "Logic dictates." Logic doesn't dictate very much, and we must be very careful what someone means by "reason" when they begin invoking it. As you have seen, logic requires premises, and it ultimately cannot prove those premises. If "reason" means logic, it really only means consistency; but in principle, there could be an infinite number of consistent logical systems. Since Hume thinks that all first principles are established by sentiment, he properly asserts that, "Reason is and ought to be the slave of the passions." Other philosophers (Aristotle, Plato, Kant) may mean more by "reason" than consistency, but we must be clear exactly how that differs from logical consistency.

What would make the principles revealed by Socratic Method true is a deeper issue that will be considering in the following essay, "The Foundations of Value, Part II, Epistemological Issues: Justification (quid juris) and Non-Intuitive Immediate Knowledge."


The Reasoning of Sherlock Holmes

Epistemology

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The Foundations of Value, Part I, Note


Plato also used the term archê, like Aristotle, but didn't define it in terms of logic and the regress of reasons. In Plato's day logic didn't exist yet, so it wasn't until Aristotle that the regress of reasons could even be described.

Archê in Greek philosophy had originally been used to mean the elements.

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