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CHAPTER 2 E THICAL F RAMEWORKS Learning Objectives At the end of this chapter you will be able to : 1. Explain why multiple frameworks have developed for understanding the world instead of one unified theory . 2. Describe the key points of ethical frameworks including deontology, utilitarianism, virtue ethics, and communitarianism . 3. Contrast the traditions described within each of the four frameworks and articulate how these different developments within the frameworks enable a wider breadth of application . 4. Use the contemporary frameworks of responsibility ethics, feminist ethics, and the capabilities approach to critique the classical frameworks . 5. Formulate the key ethical tensions within a story by drawing on the conceptual resources of the ethical frameworks . 2.1 INTRODUCTION What does it mean to “do ethics”? On a surface level, it’s easy: ethics is figuring out how to live well. But what does that mean? In trying to assess something another person has done or something that you might do, what is most important? Is it the intention behind an action or the consequences that come from that action? Is it necessary to know something about the character of a person before we
can determine whether or not that person has acted morally? Is it important also to consider a person’s religious commitments? What about societal laws and our responsibilities as citizens? It is widely believed that ethics is only about decision making. But ethics also involves evaluation and description, and there are better and worse ways to do that. This chapter provides you with many different resources and processes for ethical reasoning. It is meant to broaden your ideas about what counts as ethics. By taking the time to learn about and think with various frameworks for “doing ethics,” you will discover that the work of ethics begins long before you answer a question and even before you ask the question: it begins when you start to describe the world in which the question arises. How do you identify an ethical problem? What language should be used to describe that problem? What, if anything, are we solving when we address an ethical conundrum? Are we trying to determine whether an action is forbidden or permitted? Or are we looking for principles so that we can determine how to act in the future? Perhaps all of these things; perhaps none of them. In this chapter, you will become acquainted with several ethical frameworks. We use the language of “frameworks” rather than “theories” (which you are likely to encounter in other contexts) for a few different reasons. First, the word “theory” may seem to be detached from “real life” or from “practice.” Whereas some ethical theories are intentionally abstract, they are intelligible only as far as they relate to actual experience. Second, the theories that we do discuss in this chapter are the product of ongoing conversations about the good life, about what kinds of actions are permitted and which are not, and about how we justify our actions. “Framework” is a broader term. It captures the way a particular ethical lens is grounded by particular ideas about how to live, act, see, respond, and describe. Each framework described in this chapter begins from different ideas about what is most important when it comes to ethics. Although there is some overlap, each framework has a different way of conceiving what it means to be ethical and uses different vocabulary to describe and evaluate ethical problems. Each will, therefore, yield different answers to questions like the ones above. By becoming familiar with these various frameworks,
you will gain a broader perspective on the ethical challenges that you will encounter in your profession and a wider range of strategies for addressing them. Within each framework we identify at least two different traditions. Some of these frameworks correspond to well-known ethical theories, as they are often packaged up for easy digestion. If you do your ethics research on the internet, you can find many resources that will tell you that there is one simple formula for being a deontologist and another one for being a utilitarian. But it is important to remember that these theories do not exist out of time; they have a history. They were categorized as theories merely as a way to organize ideas and to indicate certain patterns found within different intellectual traditions and communities. (We return to this point again below: see section 2.1.2.) They were labeled this way only after long conversations over time about what ethics are, how to evaluate values, and what it means to live a good life. Simplistic formulas aren’t just a misrepresentation of a long and complex history; they also fail to capture why those conversations happened, and why they were so complex. Ethics as a subject of study and mode of analysis goes beyond the academic field of philosophy. Especially in recent years, historians, psychologists, anthropologists, and even neurobiologists have made ethics a focus of research. Ethical theories can help us identify, describe, and analyze those perennial problems in ethics that we identified in the last chapter. Some ethical theories attempt to clarify and define principles in such a way that they can seem rather abstract, almost like formal logic. But most ethical theories draw upon a range of ideas and arguments, while also striving for coherency and consistency. When it comes to “doing ethics,” you as an individual do not have to start from scratch. We all are capable of analyzing a situation and discussing which aspects of that situation matter the most and using our imagination to think about how we might act or what we might think if we found ourselves in a similar situation. In this way we are all already “doing ethics,” insofar as we make choices and live our lives (or try to) as we think we should. The various frameworks presented here will likely feel familiar or intuitive to you, at least in parts. In addition to supplying you with new approaches and perspectives, learning about ethical frameworks can help
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you become clearer or more consistent in the kinds of ethical reflection that you were already doing. 2.1.1 M ULTIPLE F RAMEWORKS The frameworks discussed at length in this chapter are deontology , virtue ethics , communitarianism , and utilitarianism . In addition, we offer a fifth section that briefly describes several contemporary developments in ethics. Each of these contemporary developments builds on some aspects of the prior four frameworks, while rejecting or revising other aspects. Each of the four frameworks offers a different orientation toward the task of ethics. Stated briefly, deontology emphasizes moral obligation and prescribes or describes moral principles that govern action. Virtue ethics centers on human character as the locus of moral activity and pays special attention to how we develop and exercise good qualities. Communitarianism focuses on the interdependent nature of human life and examines how that interdependence shapes our possibilities for well-being and self-realization. Utilitarianism prioritizes the greatest happiness for the greatest number of people and therefore focuses on the outcomes of actions. The thing that none of these frameworks offers is a single specific answer to any given problem. What unifies a given framework is not the answers it gives but rather are the terms on which disagreements take place and the kinds of methods and criteria that matter. Learning about a framework does not mean that you will be able to identify “the communitarian point of view” on a given situation or to determine that a certain kind of action is “good according to virtue ethics,” simply because these kinds of unified positions do not exist . You will, however, be able to recognize a utilitarian (or deontological, or other framework-based) argument by paying attention to the methods and criteria that shape how that argument is being made. To underscore the breadth and variety of each framework and acquaint you with how they operate in practice, we include a brief discussion of two or more traditions within each framework. The traditions within a given framework share many of the same basic assumptions and ideas with each other, but they interpret core principles differently or take different approaches to applying the methods of that framework. Learning
about and comparing these traditions should help clarify that there is no set of authoritative teachings that must be maintained in order to claim a given framework or to understand its logic. Under each framework you will also find a section called “Modalities for Judgment.” These sections describe the patterns of thought and methods that characterize each framework. Ethical theories—and more broadly, ethical frameworks—operate with the presupposition that human life is complicated and that conflicts will be inevitable. In order to reconcile that complicated reality with their ideas about how to live well, people have reflected on and developed principles and conceptual tools for negotiating between conflicting interests and obligations. These are the modalities of judgment. We use the term “modality” to indicate that all ethical frameworks provide an orientation for determining which kinds of actions are ethical and which are not. A strong ethical framework is one that is flexible enough to address a wide range of ethical problems and can be mobilized in a variety of contexts. It is important to see that the process of describing and reasoning through ethical problems can and should be distinguished from the conclusions that you reach. Just as a single ethical framework can admit many different and even conflicting judgments about the same problem, it is possible for two different frameworks to come to the same conclusion about what should be done. Similarly, two people using two different ethical frameworks might arrive at similar conclusions. These modalities for judgment are not explicit formulas or algorithms. We invite you to see them instead as lenses to evaluate the challenging problems that come with developments in technology. Each ethical framework rests on certain metaphysical presuppositions, some of which we will identify and discuss below. Briefly speaking, metaphysics refers to our understanding of how the world works and the nature of reality, including what human beings are and are for. Even (or perhaps especially) when we are not aware of them, our metaphysical commitments shape the way we understand and approach ethics. Some of the frameworks and traditions in this chapter are grounded in metaphysical beliefs that may be unfamiliar to you. In order to make those frameworks and traditions easier to understand on their own terms, we have supplied some information about their metaphysical backgrounds.
Finally, we have chosen these particular frameworks because of their explanatory power, which is to say that they have the ability to capture a wide range of human actions and visions for the moral life. But in the end, no single moral framework can account for every kind of action or way of life, even if it seeks to do so. Each has been criticized over the years for missing some crucial element of ethical understanding and decision making. Each also takes certain things for granted and makes certain limiting assumptions about human life, even though it may purport to be universal (Oyěwùmí 1997). It is through comparing and contrasting these different perspectives that we begin to see the strengths and weaknesses of each approach and gain a clearer picture of when and how they can be helpful to us. 2.1.2 L IMITED F RAMES The descriptions of ethical frameworks below are not meant to be exhaustive. While we both provide some context and history as well as identify main traditions within each framework, we cannot do full justice to the centuries of development, dialogue, and debate that has shaped these frameworks. The goal is to present some of the most important features of these frameworks so that you can think within them or at least with them. Just as our treatment of these particular frameworks is limited, so too is our list of frameworks. We aim in this chapter to correct for the exclusively western focus of most ethics curricula today and to familiarize you with some recent developments in ethics that are particularly valuable for thinking about technology. Nonetheless, much of this textbook remains grounded in Anglo-American ethics, reflecting the biases of the academic discipline of ethics. Additionally, we have largely bypassed talking about ethics from a specifically religious perspective. For many, the moral life is inseparable from religious beliefs and practices. Although we acknowledge throughout the religious grounding and teachings that inspire some of the traditions we discuss in this chapter, we have not made much space to unpack or analyze the religious concerns and ideas that underlie specific patterns and judgments.
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It is also important to note that the frameworks and traditions that we discuss in this chapter still generate debate. This is in part why we introduce at least two different traditions within each of the frameworks. In reality, there are many traditions within each of these frameworks—more than we can include here—but having at least a few helps illuminate the different ways that the core concepts and mechanics of the framework can operate in practice. We include some pointers for additional reading in each of the sections for those who are interested. 2.1.3 H OW TO R EAD T HIS C HAPTER As you learn about these different approaches to ethics, you will likely discover similarities to your own existing beliefs, feelings, or habits of thought. You will also probably encounter approaches that are difficult to understand or maybe even offensive insofar as they conflict with your own values. Sometimes it is in learning what we disagree with that we get clearer insight into what we really value. And sometimes we find that what we value is not the same as what others value (Clarke 2010). That’s OK, too. It is entirely possible to learn about an ethical system without adopting it as your own philosophy! We encourage you to learn about these less intuitive approaches to ethics in the same way that you would learn a programming language or other specific skill that does not appeal to you: as an architecture of reasoning that is useful and appealing to others and that therefore helps to explain/interpret some things that you may encounter. Each of these frameworks can offer you resources for your own perception and reasoning even if you don’t embrace them completely. It can also help you understand the reasoning of others, which is useful when you want to persuade them or understand why they have reached different conclusions from yours. As mentioned in chapter 1, this book is not a guide or manual for how to do ethics. This point is worth repeating because the very notion that we can apply ethical theories to concrete situations is contestable (see MacIntyre 2013). The practical work of ethics is not about applying the rules of morality to social, corporate, or institutionalized subject matter in order to yield specific results. Nor is ethical thinking solely or even primarily about applying self-interpreting rules and laws to concrete
situations in life. Even within deontology—an ethical framework that is known to emphasize laws and rules—things are never this easy. Human life is much more complex, and the task of ethics is for each of us to live the best life that we can. That task is complicated and challenging enough that most people decide, after some reflection, that they will take all the help they can get. 2.2 DEONTOLOGY Deontology as an approach to ethics is best characterized by its focus on duties , rights , and moral obligations . Its two main presuppositions are that ethical evaluation primarily concerns the rightness or wrongness of actions and that ethical reasoning should help determine what we ought to do. 2.2.1 O VERVIEW OF D EONTOLOGY The word “deontology” comes from the Greek word deon , meaning duty, obligation, or “that which is binding,” and -ology , indicating a particular branch of knowledge. Deontology has existed in various forms. One of the most famous is associated with the eighteenth-century German philosopher Immanuel Kant. Kant’s moral philosophy has been so influential that people sometimes refer to “Kantianism” as though it is its own ethical theory, similar to—although distinct from—deontology. Below we discuss Kantianism as an important development of an older tradition in which moral principles are said to be obtainable through human reason. Despite its many variations, deontology does have some defining characteristics. Most notably, deontology emphasizes the rightness or wrongness of an action by reference to certain action-guiding principles. Depending on the context, these principles can be described as laws, rules, maxims, imperatives, or commands. Whatever the terms used, these principles are said to place certain constraints on human action. These constraints apply—or at the very least must be seriously considered—even in situations in which the consequences of an action are understood to be desirable or good. Because deontology bears a minor resemblance to the simplistic, black-and-white thinking that many people associate with ethics, this
complex and nuanced framework is frequently misunderstood in three specific ways. The first misunderstanding is that deontology is simple: you figure out what the law is, and then you do what it tells you to do or avoid doing what it does not permit you to do. For many people, this is what ethics is all about: adhering to basic rules and laws. But the demands of duty are complex, and balancing those many demands requires careful reflection, not just blind adherence. The second misunderstanding is that because it is difficult to honor one’s many duties at the same time, you can therefore pick and choose which laws to follow as a matter of individual choice or preference (or perhaps a matter of avoiding the least desirable punishments). But simply acting on preferences and regarding those preferences as if they are binding laws is not an accurate description of deontology. In fact, this kind of picking and choosing has more in common with moral relativism than it does with any of the ethical frameworks that we discuss in this chapter. A moral relativist is someone who believes that all moral judgments are based on individual viewpoints and that no one viewpoint ought to be privileged above any other—save that person’s own, because most moral relativists are critical of anyone who disagrees with their position on the matter (Midgley 1991). The third misunderstanding is that because deontology considers intention to be important, it therefore does not consider consequences to be important at all. The problem with this description of deontology is that it presents only a partial picture. It may help us understand the points of emphasis within a deontological framework, but it is a characterization that obscures deontology’s many specificities and variations. Most forms of deontology acknowledge the ethical significance of the consequences and context of moral actions and choices (Rawls 1999, especially p. 26), even though they emphasize principles, laws, rules, and obligations that guide human action and decision making. Where these duties and moral obligations come from, and how they relate to each other, depend on the form or style of the deontology in question. Unlike the simplistic and piecemeal approaches described above, deontology offers an approach to ethics that is morally practicable without abandoning the seriousness of moral laws. Deontology presumes that moral obligations are a real part of human life and cannot be dispensed with
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because they are inconvenient, even while it recognizes that honoring all of one’s moral obligations is rarely a straightforward task. For a deontologist, the task of ethics is not to choose which obligations to follow but rather to consider all one’s moral obligations in order to determine how to live and to act in light of all of them, especially in situations that put (or seem to put) these obligations in tension with one another. Although deontology requires us to take account of all of the rules, laws, and duties that bind us, this does not mean that deontologists consider every single rule, law, or duty to be equally binding. For instance, both jaywalking and manslaughter are against the law in the United States, but very few people would be willing to argue that these two laws are equally meaningful or significant. However, most of the time the distinctions are more subtle, and even in situations in which people have acknowledged that a particular code of laws has legitimacy, it is not always easy to figure out what those laws and duties require of us at any given moment. Deontology does not demand that we follow the law regardless of circumstances—that wouldn’t make any sense, because nothing in our lives ever happens apart from specific circumstances. Rather, the task of deontology is to understand how best to honor one’s duties within those circumstances. The laws proscribed and enforced by the government are one kind of rule, but of course they are not the only kind. Some rules or duties may be particular to a community, such as religious dietary laws, and others may apply only to a subgroup within a community, such as doctors’ obligation to provide medical care in moments of need. (For more on profession-specific obligations—specifically those for programmers and technology developers —see chapter 6.) Different communities may have different ideas about which parts of human life must be guided by these rules and which parts are free of moral obligation. It should come as no surprise that much of our lives is governed by rules, laws, and principles of actions. Many human actions and behaviors are explainable as following rules or laws, often without giving them much thought, such as walking on sidewalks instead of in the street or going to the end of the line at your favorite hot dog stand. There are also various rules of etiquette that we acknowledge, follow, and sometimes knowingly break, though for most deontologists these more day-to-day kinds of rules are not necessarily morally significant. Although it is easy to presuppose
that rules and laws are burdens, especially in cultures in which freedom is highly valued, these less-significant rules make many aspects of our shared lives easier to negotiate and harmonize. Rules can even provide satisfactions of their own: after all, rules are what makes it possible to play many kinds of games and sports together. A law, rule or duty will matter only if it is rooted in an authority that is recognized as legitimate. Not all deontologists recognize the same authorities, or even the same kinds of authority. Often, deontologists will specifically reject a law they take to be illegitimate—such as a state law that prohibits carrying weapons or criminalizes political protest—precisely because another system or authority they take to be more legitimate points them in a different direction. Also, deontologists can share a commitment to a particular law or duty, such as respecting the property of others or a prohibition against murder, but have different explanations for what makes that duty authoritative. 2.2.2 D EONTIC F ORMS OF A UTHORITY AND T RADITIONS In order to highlight the variation within deontology as a framework for thinking about ethics, below we introduce three different traditions that are deontological in their orientation. Each of them appeals to a particular kind of authority to justify and legitimate moral obligations and duties. The first tradition appeals to a “social contract,” and therefore the authority of the law is grounded in a political claim about what it means to live together in a society under reasonable principles that can be applied to all. The next tradition grounds the authority of moral obligations and constraints on the existence of a god or gods, to whom duty is owed and who determine human beings’ duties to others. Finally, we consider a tradition of deontology that insists that the basic principles of morality are to be derived from human reason. The feature that unifies all three of these traditions and warrants, describing them as deontological, is not a particular authority, duty, or even rule-governed action but is rather the belief that there is a difference between right and wrong and that this difference is supported by an authoritative claim about how we ought to act toward others and, in some cases, toward ourselves.
It is important to note that these traditions are not mutually exclusive. Thus, there is nothing preventing a deontologist from arguing that moral obligations can be grounded by all three forms of authority discussed in the following sections. These traditions were selected because in many ways they are defined by which authority they deem most important with regard to morally binding principles and norms. Political Authority Political authority comes from an organized human society. There are many forms of political authority, which vary with political systems. Authority is distinct from power, which in this context means the ability to materially enforce rules and punishment, irrespective of legitimacy. Most political systems and leaders claim to operate from a position of legitimate authority, serving the interests of the people, even if in practice they operate from a position of power. An example of a deontological tradition grounded in political authority is contractarianism. Contractarianism begins from the presupposition that human beings are primarily, if not solely, driven by self- interest, and therefore the best strategy for deciding which institutions, principles, and social rules can legitimately place constraints on our otherwise selfish actions is first to find the ones on which all would agree. Hence, the need for a contract. In other words, ethical principles and norms require us to sometimes act in ways that we would prefer not to act but are justified on the grounds that it is better to cooperate than to be constantly at odds with each other. Agreement among individuals has normative importance. Contractarianism grew out of an older tradition known as social contract theory, which dates to Thomas Hobbes in the early seventeenth century (Cudd and Eftekhari 2018). Hobbes insisted that humans are driven solely by their own self-interest but because they are too fragile and weak to live on their own, it is necessary to be part of a society in which individuals sacrifice some of their freedom and agree to be governed by a sovereign authority in which disputes and self-interest can be mitigated appropriately (Hobbes [1668] 1992). Although starting from the same basic premise— that human beings are primarily driven by their own self-interest— contractarianism, as it has been more recently formulated, focuses less on the giving up of rights and powers to a government authority and more on
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what “reasonable” people would decide and execute judgment under democratic rule. Divine Authority Divine authority is authority from God or gods. If a set of laws is understood to have been given or revealed by a divine figure, then those laws gain their legitimacy from the existence and power of that God or gods. Different religious traditions have different ideas about how humans gain knowledge of these laws. In some traditions, these laws are said to be contained in holy books or sacred writings. In other cases, divine law is considered to be received through prophecy or through authoritative leaders. The ethical weight of an action might also be interpreted as gaining its authority from a God or gods without necessarily using the language of law. Divine command theory is one form of deontology that derives its authority from God. Broadly speaking, divine command theory holds that moral obligations consist of obedience to God. Under divine command theory, an action is obligatory because God or the gods command it and it is impermissible if God or gods forbid it. If that action is neither obligatory nor forbidden, it is considered to be a permissible action (Quinn 2006). Although the notion of god-given laws is conceptually straightforward, there is an interesting philosophical problem at their core: did god(s) give this law because it is right, or is the law right because it comes from god(s)? This is sometimes referred to as the Euthyphro problem, referring to a dialogue written by Plato in which Socrates asks, “Is the pious loved by the gods because it is pious, or is it pious because it is loved by the gods? ” (Plato, Euthyphro 10a1–3). Most divine command traditions do not have a settled answer to this question, and it is a topic of ongoing philosophical and religious debate. Sidebar: Obligations and Prohibitions Deontology includes both obligations and prohibitions. Obligations (sometimes called “positive laws”) are things that you should do and that require active effort on the part of the agent. By contrast, prohibitions (sometimes called “negative laws”) forbid certain kinds of
actions: they are obeyed not by undertaking a specific action, but by refraining from acting in a way that has been described as wrong. Both obligations and prohibitions can be found in the Ten Commandments, which is one of the most well-known sets of laws based on divine authority. In the story recounted in the five books of Moses, which are sacred text for Judaism, Christianity and Islam, the Ten Commandments are given to God by Moses. There are versions in Exodus and Deuteronomy that are similar but not identical, and some of the same laws are also repeated in Leviticus. In fact, the “canonical” sets differ somewhat among the three religions and among the different translations. Obligations and prohibitions might seem like opposites in the abstract, but in practice there is a great deal of overlap. Consider these two laws, both of which appear in both versions of the Ten Commandments: 4) Remember the Sabbath day to keep it holy. 6) Thou shalt not murder. (Exodus 20:3–4 KJV) The first of these laws is clearly an obligation, and the second one is clearly a prohibition. But on closer inspection, the obligations can be seen to have some prohibitions built in, and the prohibition might well require some specific positive actions. Honoring the Sabbath is an obligation. Fulfilling this obligation is not something that just happens on its own; a Jew, Christian, or Muslim who is following this law has to do specific things in order to make it happen. But those specific things include actively avoiding some activities that one does on ordinary days, as part of a larger obligation to become more aware of the sacredness of life. The second law, forbidding murder, is a prohibition. Much of the time, it can be followed simply by avoiding the forbidden action. But for someone who finds themself in a position to kill another person, it might require active effort to refrain, especially if they are very angry or otherwise motivated to kill that person. In a situation like that—when, arguably, the prohibition against killing matters the most—abiding by
that prohibition is likely to require some active, positive effort and not just passive avoidance. The Authority of Human Reason The notion that human beings have an inherent moral compass that allows them to discern the difference between right and wrong is an ancient idea that became especially popular during the European intellectual movement known as the Enlightenment (more on this below). Over the centuries, theologians and philosophers have linked this belief in the human’s inherent capacity to judge between right and wrong to religious dispositions and creation stories. In the book of Genesis, for example, the first humans are said to know the difference between right and wrong. Thomas Aquinas, a Christian philosopher and theologian, argued that the very first principle of practical reasoning (i.e., ethical reflection on human action) is quite simple: avoid evil and do the good (Aquinas Summa Theologica I–II, 94, 2; see Aquinas 1948). Aquinas insisted that all human beings know this basic principle and therefore can discern the difference between right and wrong. While Aquinas appealed to a divine authority to support this claim, he also linked this capacity to the human’s ability to grasp the laws that govern and order the universe (i.e., natural laws). Natural law theory as a tradition has also been articulated in less religious and metaphysical terms. As one theorist explains: Natural law theory accepts that law can be considered and spoken of both as a sheer social fact of power and practice, and as a set of reasons for action that can be and often are sound as reasons and therefore normative for reasonable people addressed by them. This dual character of positive law is presupposed by the well-known slogan “Unjust laws are not laws.” (Finnis 2020) Natural law theorists do not hold that ethics is simply a matter of sensing the difference between right and wrong, nor do they claim that deciding what to do in particular situations is easy. In fact, most natural law theorists are careful to point out that acting morally is very difficult and that it requires a certain amount of sacrifice. Even more, they tend to emphasize that even in those cases in which we know what the right choice is, we
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often fail to act in ways that are right and just. For someone with the outlook of Aquinas, this shows that natural reason needs to be supplemented and guided by religious texts and teaching. For secular theorists, this means that discerning what is right and wrong is never a private enterprise but must be worked out in a social context in which people deliberate about the ends that are worth pursuing. 2.2.3 K ANTIAN D EONTOLOGY The notion that the universe is ordered by laws that can be apprehended by human reason was an especially popular belief in the eighteenth century, when Immanuel Kant was developing his philosophy. Kant’s moral philosophy is similar to Aquinas’s in that Kant believed that human beings are able to discern the difference between right and wrong. However, Kant was also writing at a time when people were becoming increasingly critical of claims that depended on religious authority, whether in the context of politics, of science, or of morality. And therefore Kant, as many other enlightenment thinkers, rejected the idea that any code of law handed down in a religious tradition or promulgated by the state can successfully address the full breadth and complexity of right and wrong. Kant acknowledged that external laws often aligned with the moral law in basic ways and that many (or even most) people require such externally given laws to remind them of their fundamental duties to others. He also believed that external laws can be valuable both as constraints on our behavior and as guidelines for our moral understanding. However, Kant insisted that human reason is the most important guide to making moral choices. Because Kant remains one of the most influential figures in moral philosophy and because he is frequently described as a deontologist, it is worth explaining his approach to ethics in a little more detail. Kant’s version of deontology is uniquely universalist in scope. It starts from the assumption that all human beings are free and rational and that they are familiar with both the experience of being moved by desire and the experience of being moved by the feeling of duty or moral obligation. In response to this baseline assumption, Kant offers an account of what must necessarily be true in order for us to make sense of this universal experience of moral duty. He understood himself to be offering a
“metaphysics of morals,” in which he aimed to articulate the universal pattern of reasoning behind a moral judgment (Kant 1996). According to Kant, the unity and intelligibility of the moral law is something all rational beings can grasp. The moral law therefore must be perfect, and perfectly consistent, in a manner similar to the order of nature. This means in practice that whereas all our particular duties to individuals, coworkers, family, and friends are important, they are conditional and therefore cannot describe the basic sense of duty that applies in every circumstance. For Kant, only those actions that are unconditional have moral value. So what kind of actions are these? For Kant, an action performed in accordance with a law or set of laws does not necessarily mean that action has moral worth. Kant strongly believed that people should learn to think for themselves and never blindly follow any one law or set of laws. And even when following an external law is in order, that does not necessarily endow it with moral worth. In order for an action to have moral worth, it must be an action that you, the agent, recognize as right. But just as importantly, it must be binding for all rational agents. Otherwise it would be, again, conditional. Only actions that meet both of these criteria have moral worth. According to Kant, our capacity to act on such a law is the only indication that we are truly free agents. Contrary to popular opinion, freedom is not about acting on whatever desires and impulses one might have in a particular moment, nor is it following a rule to avoid punishment or condemnation. True freedom, Kant maintained, is the freedom to act according to a law that you can both apply to yourself and universally legislate for all. A law such as this is what Kant calls a categorical imperative, by which he means a law that is unconditionally and universally valid. His first formulation of this law is as follows: Act only in accordance with that maxim through which you can at the same time will that it become a universal law . (Kant 1996, 73) Let’s consider what this means in more general terms. Kant’s understanding of morality requires us to evaluate an action using criteria identified by internal reasoning processes, rather than criteria drawn from outside legal codes and cultural norms. Before acting, a moral agent must
always ask herself: “If I act in such a way, is this something I can legislate for myself and all other rational agents? Is it something I can continue to follow and expect others to do the same? ” Lying is a classic example of an action that might seem justifiable in a particular instance but cannot be justified as a general practice. If you tell a lie, can you honestly and consistently legislate that action? Can you coherently argue that it makes sense, morally speaking, for everyone to be able to lie whenever it is convenient for them? If not, then clearly lying is unethical, and therefore, a person shouldn’t lie under any circumstances. Kant’s categorical imperative, as he formulates it initially, is intentionally abstract. It is meant to capture something very basic about the experience of moral obligation. But he also offers a formulation that speaks more to how we are to treat others. His second formulation of the categorical imperative reads: Act that you use humanity, whether in your own person or in the person of any other, always at the same time as an end, never merely as a means . (Kant 1996, 80) This second formulation of the categorical imperative is derived from an additional claim that because the human being is a rational creature and therefore are capable of acting freely, all human beings should be treated with respect and dignity. Whenever we treat another person merely as a means to achieve some particular end, we are not only disrespecting that person: we are disrespecting all humanity, including ourselves. 2.2.4 P RINCIPLES IN P RACTICE It might seem at first that all deontologists—or at least those who acknowledge the same authority behind moral principles or laws—would agree with one another about what the right action is in any given situation. But in practice, those who approach ethics from within a deontological framework—yes, even Kantians—disagree all the time. Although they may share the same general idea about the status of “the law” as the source of ethics and the only guide to ethical action, disagreement often arises around the meaning of that particular law and/or how it should be applied. Furthermore, most people recognize more than one system of law, even if
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they think that one (or more) of those systems is more important or that one system or code of law is limited in some way. This introduces a difficult question: what is the right way to resolve an issue when different laws seem to prescribe conflicting solutions? When a person is duty-bound by more than one set of laws—for example, religious laws and laws of the state— how do they decide how to navigate conflicts between them or decide when one should take precedence over the other? What kinds of punishments are warranted by different kinds of violations? These are difficult questions to answer, but rather than providing decisive answers, most deontological traditions instead offer additional guidelines, suggestions, and even rules about how to proceed when conflicts and tensions arise. 2.2.5 M ODALITIES FOR J UDGMENT It is rarely possible to satisfy every single duty, or to satisfy them equally well, because circumstances often create tensions between our various duties. This is largely because regardless of their authority, deontology grounds its rules and laws in relationships. When our duties to different people pull us in different directions, or when a given duty relationship is multidimensional (such as a parent’s relationship to their child or a person’s relationship to their spouse), it is sometimes impossible to honor every duty, or every dimension of one’s duty. When these conflicts of duty arise—as they inevitably do—a moral agent is forced to make judgments about which duties should be prioritized over the others. For deontologists, these priority judgments cannot simply be a matter of personal preference—after all, the whole point of a duty is that it’s binding, even when it’s inconvenient or unpleasant. When balancing competing duties, a deontologist must consider the following two concerns. How Fundamental Is It? Which duty is most fundamental ? Of the many duties competing for your attention and action, which ones are the most important to who you are and your role in the world? In a situation that compels a person to choose between protecting a stranger and protecting their child, nearly every deontologist would argue that it’s right and appropriate to protect the child,
not because the agent has no duties at all to the stranger but because parents have particular duties toward their children. But this determination might be more complicated if the agent is an expert or professional (such as a doctor or a firefighter) who is trained to respond to the crisis at hand, because many such experts and professionals believe that their expertise imposes a specific obligation to use their skills and training to help others when possible, or have even signed onto a professional code that requires them to do so. Even if that parent still protects their child instead of the stranger, they may feel more keenly that they have failed in their duty to the other person. How Relevant Is It? Which duty is most relevant to the situation in question? When you are making a decision about a specific situation, it is often the case that some of your many duties are more pressing than others because of the particular circumstances. Imagine a soldier in a combat situation whose platoon-mate is injured in pursuit of the enemy. Should this soldier stop and assist her injured comrade, or complete the mission and kill the enemy? Both of these duties are important, but which is more relevant? The answer will depend on a number of very specific factors: how badly injured is her comrade? Is anyone else available to help him? How likely is it that there will be another chance to kill this enemy? It is worth remembering that for a civilian who is not bound to fight the enemy (and might even carry a strong prohibition against killing other people), this tension would be very different. Both soldier and civilian have a duty to help another person who is injured and in need, but the soldier has other duties that the civilian does not, and those duties might be more relevant than helping the wounded. These two criteria enable a deontologist to balance the basic obligations that shape their life (the fundamental) against the particular demands of specific circumstances (the relevant). When a deontologist deprioritizes a specific duty—for example, if the soldier above drops her pursuit of the enemy to assist her platoon-mate—that person is neither rejecting nor ignoring that one duty; rather, they are determining that the best way to honor the full range of their duties requires them to prioritize other duties over that one in this particular moment.
Sidebar: Prioritizing the Right over the Good Unlike some other approaches to ethics, it is frequently said that deontology is not organized around the question of what is good, but rather it is primarily concerned with what is “right.” A system organized around “right” may initially seem more constricting than a system organized around goodness, because right/wrong is a binary system and goodness is not. But deontology actually allows for more freedom than goodness- based systems. A system concerned with goodness can encompass anything: any person, deed, or object can be evaluated in terms of how good it is compared to other things. When goodness is the metric for ethics, it’s (almost) always possible to get better, and being good requires that one constantly try to become better. A system of right and wrong, by contrast, leaves room for actions and experiences that are outside the bounds of ethical evaluation—that is, they are neither right nor wrong, and people can pursue those actions or not purely according to their preferences. 2.2.6 S TRENGTHS AND W EAKNESSES OF D EONTOLOGY: I T’S N OT A LL ABOUT R ULES One of deontology’s strengths is that it insists upon the notion that there is a difference between the rightness and wrongness of action, and it does so by appealing to factors that do not automatically depend on the way the outcome of that action is received. In this way, deontology preserves the integrity of ethical action: our choices have value, regardless of whether other people recognize that value. At its worst, deontological thinking can enable fanaticism, leading people to believe they are justified in punishing others for doing things they take to be wrong. At its best, deontology can afford people the moral courage to stand against the majority, even when there is no obvious reward for doing so. Another common criticism of deontology is that it does not focus enough on the consequences of action. Although it is true that deontology prioritizes human actions and intentions, as suggested above, most forms of deontology not only address but seriously consider the consequences and
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context of decisions and actions. Yet because of its emphasis on principles (laws, rules, and codes), deontology on its own seems to capture only a small portion of what it means to do ethics. And even more than that, it seems to operate as though the ethical life is a judicious process backed by a particular type of authority. In the mid-twentieth century, Elizabeth Anscombe offered a powerful argument against the legalistic language that was then dominant in moral discourse, arguing that without religious backing, such language makes very little sense and that therefore, unless we want to impose its religious significance upon everyone who wants to weigh in on matters of ethics, we ought to abandon it altogether. In her words: The concepts of obligation and duty— moral obligation and moral duty, that is to say—and of what is morally right and wrong, and of the moral sense of “ought,” ought to be jettisoned if this is psychologically possible; because they are survivals, or derivatives from survivals, from an earlier conception of ethics which no longer generally survives, and are only harmful without it. (Anscombe 1958, 1) Those forms of deontology that claim to ground the authority of moral principles and norms in human reason rather than divine decree have also been criticized. Kantian deontology in particular is frequently criticized for being overly rigorous and impractical. As noted, Kant insists that an action has no moral worth if it is not done out of duty. This means that, for instance, when someone donates to a charity and finds that the act brings them joy, and they decide to donate again and again, according to Kantian standards, this action has no moral worth. It is for reasons like this that people sometimes call Kant a moral purist or rigorist (Cohen 2014). Kant claims that a truly moral act is motivated by respect for the moral law and free from any other particular inclinations or desires. But human experience tells us that most of us act for a variety of reasons, and desire and emotion cannot easily be cast aside in order to evaluate the moral worth of particular actions—whether our own or someone else’s. But perhaps the most important issue that arises within a deontological framework concerns what to do when conflicting duties arise. Although we have described some of the ways deontology handles conflicts
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and inconsistencies, the fact remains that the principles and rules that guide human conduct are not always easy to follow nor are the choices between them always clear. Quite often, the complexity of our lives and circumstances makes it impossible to abide by all of the rules and duties that bind us, no matter what we do. The impossibility of choosing a perfect course does not mean that deontology has failed or that those rules or duties cease to be binding. Instead, these clashes of duty should be seen as the reason deontology is valuable: it furnishes us with a way of thinking, perceiving, and living that enables us to realistically navigate difficult choices about the things that matter most. That said, there are other ethical frameworks to consider and other points of emphasis to consider as well. Sidebar: The Challenges of Deontology and Artificial Intelligence For most deontologists, the right or wrong decision must always be a choice; otherwise, one cannot take responsibility for it. The agent may feel a strong sense of obligation, or the call to duty might be strong, but in order for responsibility to exist there must be a choice, and the agent must have the capacity to choose differently. Defining deontology becomes complicated when we start thinking about automated agents, which are programmed to do certain tasks and which learn new things according to programs that have been written by humans. Are automated entities exercising responsibility in the deontological sense? Could this be on the horizon? Deontology focuses on duties and obligations. What kinds of entities have duties and obligations? Typically, when we reference duties, rights, and obligations, we have in mind other people. But what are our duties with respect to other living creatures? And what about future generations? These are the types of questions deontology has traditionally asked. But new issues arise when we consider human beings’ relation to intelligent machines. What does a robot owe to a human? What does a human owe to a robot? What kind of demand can an artificial being make on human life, and how would that demand be justified? What these questions point to is a certain ambiguity about the nature of the relationship between humans and intelligent machines. If
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robots cannot have relationships with others, then what is at stake when we delegate a moral decision to a robot? There is a growing body of work in computer science and related fields called machine ethics (i.e., programming or teaching machines how to act ethically) (Christian 2020; Dubber et al. 2020; Lin et al. 2017; Pereira and Lopes 2020; Wallach and Asaro 2020). Work in this area typically takes one of two main forms. In the bottom-up approach, systems or agents are given examples of proper behavior and attempt to abstract from those what to do in particular situations. In the top-down approach, systems or agents are given a set of rules in some formal, logical language and are expected to incorporate these rules into the actions that they decide to take. An important stream of research in this area focuses on harnessing the creativity of complex machine learning methods while still enforcing that the agents make decisions in line with outside constraints or rules (Rossi and Mattei 2019). There has been a lot of press coverage of work in this area related to teaching autonomous cars how to act by surveying millions of people all over the world (Bonnefon et al. 2016). One key question for us is, do machines even have ethics? Whereas they can have rules or patterns of behavior, who or what is held responsible for the decisions they make? Consider self-driving cars. They are trained by being given “traces” of human drivers as well as a set of rules to follow. They observe human drivers obeying traffic laws, avoiding obstacles, stopping for errant pedestrians, and other actions. If an autonomous vehicle stops for a pedestrian, a moose, or a flock of ducklings in the road, can it be said to be acting ethically? Note that moose are large, and that hitting one can do significant damage to a vehicle and possibly the occupants of the vehicle as well as to the moose. Does it make it less ethical (or less of an ethical concern) to stop for a moose than for a smaller animal? Does the vehicle’s decision to stop for the ducklings come from a respect for life or from a societal consensus to not injure cute animals? Story Point: “Dolly,” by Elizabeth Bear “She’s a machine. Where’s she going to get a jury of her peers?
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Can an android be a person, or could it become one? What obligations would its potential personhood impose on us? And how can those obligations be made visible to people or governments that assume they are only objects? These are the questions that Detective Roz Kirkbride and her partner Peter King end up wrestling with as they try to solve the murder of Clive Steele, who has been disemboweled by his new advanced-prototype home companion Dolly. “Dolly,” the story, offers a compelling window into how the framework of deontology can help us define and negotiate ethical conflicts. And the conundrum of Dolly herself illustrates both how our definitions and descriptions create the conditions for ethical analysis that follows. In so doing, it offers a way to understand how deontology gives us the resources to reevaluate baseline definitions and thus the duties and obligations that follow from them. 2.3 VIRTUE ETHICS Virtue ethics is an approach to ethics organized around the idea of human flourishing and human excellence. Its basic assumption is that all human beings share some basic qualities of character, though we vary widely in how much we excel at those qualities and how we express them, and each of us gets better (or worse) at them according to our experiences. It further assumes that human beings are concerned with how to live the good life and that ethics is a subset of what it means to live a full and happy life. 2.3.1 O VERVIEW OF V IRTUE E THICS Unlike deontology and other approaches to ethics, where the focus is primarily on actions and intentions, virtue ethics focuses on the whole person: the qualities of character that they have and the patterns of living that issue from and reveal those qualities. That pattern of being is called a habitus . By cultivating excellence in a range of basic human capacities, called the virtues , a person likewise builds their capacity for a fulfilling life, because exercising these virtues is what enables them to live in alignment with their goals and desires (Hursthouse and Pettigrove 2016). For this reason, it is virtuous people who live happy and fulfilling lives (that is, who flourish ): not because they are rewarded or deemed worthy by some
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external judge but because the practice of virtue helps them build and sustain a satisfying and rewarding life. Nobody is born virtuous. In fact, it’s not really possible to be virtuous until you are an adult, or at least old enough to maintain the practice of virtue from your own habitus, rather than because some external force like a parent or teacher imposes it on you (Hursthouse and Pettigrove 2016). This does not mean that we are born vicious. Rather, virtue is developed over time, by emulating exemplary people and by cultivating good habits (Vallor 2016). Parents, teachers, and culture play major roles in shaping a person’s habitus, especially while the person is young. Virtuousness is also not a one-time achievement, at any age. For one thing, virtue is complex: it is possible to excel in some virtues while being weak or inconsistent in others. In fact, most of us are like that (Athanassoulis 2000). Even more importantly, our capacity for any given virtue is not fixed: although a person’s habitus cannot change overnight, it can always shift by small degrees, and those small shifts can eventually add up to significant changes. It’s always possible—though never easy—to develop your capacity for a given virtue. It’s also possible to lose the capacity for a given virtue over time. Similar to physical muscles, virtues like courage or generosity grow stronger if you exercise them regularly, and they weaken if you don’t use them (Annas 2011). In other words, the exercise of virtue is not based simply on a theoretical understanding of the right thing to do, but through ongoing practice (Vallor 2016). Like deontology, virtue ethics is deeply concerned with the interior lives of individuals and why we do the things we do. In contrast to deontology, however, virtue ethics emphasizes the importance of actions as an indicator of a person’s character . Although any one individual action may be hard to interpret (or may even be misleading), the long-term pattern of a person’s actions across multiple contexts will reveal their character by indicating how well, to what degree, and in what ways they exercise those basic human capacities that are the virtues. Virtue ethics is a goal-driven framework for thinking about ethics. It aims toward the creation of good outcomes and of happy, flourishing people. From within a virtue ethics framework, these two goals are impossible to separate: a good society is good because it makes it possible for people to flourish and develop human excellence.
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2.3.2 W HAT A RE V IRTUES? Virtues are the basic building blocks of human character; they are fundamental qualities like kindness, playfulness, or self-respect. Virtues are not qualities that only some people possess; rather, a virtue is the capacity to exercise that quality . According to virtue ethics, every person is endowed with the same basic library of virtues, and the potential to excel in any of these virtues is part of our basic makeup. Therefore, what differentiates us from one another is not whether or not we possess a given virtue, but rather the degree to which we have developed (or our parents and teachers have developed in us) the ability to exercise that virtue. Within a virtue ethics framework, a chronic liar would be understood as being very deficient in honesty rather than lacking honesty entirely. Given the right conditions and a genuine desire on that person’s part to become more honest, they could over time develop a greater capacity for honesty. Virtues are revealed not through single actions but rather through patterns of action. For example, a single act of benevolence is not enough to know that a person is meaningfully kind or generous, because any number of external causes and internal motivations might have prompted that one benevolent action. It is only when a person shows benevolence in a range of circumstances that one can be confident that they have a well-developed capacity for benevolence (Sreenivasan, 2002). In the words of Rosalind Hursthouse, virtues “go all the way down”; having a well-developed capacity for a given virtue means that you will “notice, expect, value, feel, desire, choose, act, and react in certain characteristic ways” (Hursthouse and Pettigrove 2016). Thinking about human character in terms of virtues—that is, in terms of a common library of basic capacities—is useful in several ways. First, it helps us think comparatively about the differences between people (or even different versions of ourselves), because those differences can be understood as different ways of inhabiting or expressing the same basic qualities. Second, it provides us with a framework for thinking about how multiple aspects of a person’s character work in combination to shape how that person will act in a given moment. And finally, it equips us to think about how our environments can impact our character, by encouraging or
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reinforcing the exercise of some virtues and creating barriers to the exercise of others. 2.3.3 C ONFUCIAN V IRTUE E THICS The predominant form of virtue ethics in East Asia comes from the teachings of the ancient Chinese philosopher Confucius (Latinized from Kongzi , or “Master Kong”). He was inspired by a desire to return to what he saw as the excellence of the earlier Zhou Dynasty social system in contrast to the turmoil of his own time (the late fifth century BCE). Over time after his death, his disciples compiled quotes attributed to him into the Analects (Legge [1861] 2017) and expanded the Confucian canon with other classics, such as the Mencius and the Doctrine of the Mean . In early Imperial China, Confucianism competed with other emerging ideologies known as the “Hundred Schools of Thought,” including the heavy-handed Legalism of the short-lived Qin Dynasty (221–206 BCE) and the more libertarian Daoism of the early Han Dynasty (206 BCE–220 CE), to eventually become a principal guiding force for Han governance. The later neo-Confucian renaissance, emerging as a secularist response to the prevailing Buddhist and Daoist spirituality during the Song Dynasty (906– 1279 CE), solidified Confucianism’s place in the core of Chinese philosophy up to the modern era (Yao 2000). In the Confucian tradition, our interpersonal bonds are a fundamental part of what makes us people; the project of growing as a person is one of developing mutual care and respect in our relationships as parent/child, teacher/student, friend/friend, and so on (Santiago 2008; Wong 2020). Though we are each given unique circumstances based on the family, nation, and other groups we are born into, we are all basically the same by nature at birth, and it is habituation that differentiates us ( Analects 17.2). Confucius’s disciple Mencius posits that this nature includes the “seeds” that may eventually grow into the core virtues of ren (often translated as “benevolence”), yi (“righteousness”), li (“propriety”), and zhi (“wisdom”) (Yu 2013). An important tool for cultivating virtues in Confucianism is mindful exercise of social rituals (Wong 2020). Consider the practices of offering a handshake or bow to a business partner, reciting vows at a Western
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Christian wedding, holding a funeral when someone dies, and taking off one’s shoes before entering an Islamic mosque or a Hindu temple. Rather than intended to be enacted mechanistically, these rituals are meant to help the performer get into a mind-set of respect: for their colleague, for their marital commitment, for the deceased, or for the divine. This idea is central to how Confucius believed a society should be governed; although people might be coerced to behave well through the threat of punishment, a gentler route of teaching them to be virtuous through a system of meaningful rituals would promote flourishing as well as order. 2.3.4 A RISTOTELIAN V IRTUE E THICS In European and American philosophy, the prevailing form of virtue ethics can be traced to ancient Greece. Its foundational text is Aristotle’s Nicomachean Ethics , which was written around roughly 340 BCE, during the so-called Golden Age. The first sustained treatise on ethics produced in classical-era Greece, it remained very influential on Greek and Roman thought over the next several hundred years. Like most other Greek language works, the Nicomachean Ethics was not widely known in Latin- speaking Europe during much of the Middle Ages. But it remained popular in the Islamic world in Arabic translation and was “rediscovered” by Christian Europe during the twelfth century along with several of Aristotle’s works in other disciplines (such as formal logic, biology, and political theory), thanks in part to its preservation in Arabic. Within a few decades, the Nicomachean Ethics became the Western world’s definitive account of human nature and how to live well. In the thirteenth and fourteenth centuries, Aristotle was the single most important ancient thinker among Jewish, Christian, and Muslim thinkers, who referred to him in their writings simply as “the Philosopher” and who worked in various ways to harmonize the Nicomachean Ethics with their respective beliefs and practices. Aristotle’s goal in the Nicomachean Ethics is to ascertain what things a human being needs to do in order to achieve deep happiness and satisfaction with life—to flourish. He concludes that we need a rational understanding of what things make us happy and how those things can be acquired and kept. But he also argues that an understanding of general
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principles is not enough; we need particular qualities of character both to help us recognize the things that will make us happy and to ensure that we are able to pursue them effectively. These virtues exist in all of us in potential, and cultivating them will help us flourish. The Nicomachean Ethics lists 11 moral virtues that must be developed through habituation . Later proponents of Aristotelianism have revised and adapted this list in various ways, either to integrate Aristotelianism with another specific system of thought (such as Islam) or to help it better match the world as they saw it. Some of the virtues that consistently feature across different Aristotelian traditions are courage, generosity, friendliness, temperance, and concern for justice. In order to flourish, one must also have a well-developed sense of practical wisdom , or the understanding of how best to act in a given situation. For Aristotle, acting in a manner that appears virtuous is not sufficient evidence that a person is virtuous. Rather, that person must either be acting out of deep inclinations of their character or because they know that those actions are good and have chosen them for that reason (Aristotle, Nicomachean Ethics 2.4/1105a16–1105b20). 2.3.5 A PPETITES, D ESIRES, AND V IRTUOUSNESS Because virtue ethics is concerned with the whole life of the moral agent, it considers more than our actions and intentions. It also considers our basic physical appetites like hunger and fear, and our emotional or psychological desires. The fact that these appetites and desires are a basic part of human nature means that they are fundamentally good for humans, and necessary for us to flourish. Of course, any of these appetites can be damaging to a person if they are indulged to excess or at the expense of other good things (Schwitzgebel 2007). But suppressing the appetites entirely is just as damaging to a person as allowing them to expand out of control. That is why virtue ethics insists on the importance of learning to regulate appetites and desires and to exercise them in moderation. But not all ways of regulating desires and appetites are the same, even though they might look the same from the outside. Most of us are familiar with the experience of turning down something that we want—a piece of cake, or the answer key to tomorrow’s big exam—because we know that we
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will be better off without it, in one way or another. This forcible restraining of one’s own appetites or desires is called continence . A person can cultivate their capacity for continence in the same way that they can cultivate virtues. But continence is not itself a virtue, because it requires us to suppress our desires and appetites. A different and better way to ensure that you exercise your appetites and desires appropriately is to train yourself into wanting to do what is right. This alignment of desires with right action appears in the Aristotelian tradition as the virtue of temperance , that is, having appetites that are attuned with what is right, and in the Confucian tradition by a state of being that can be called wholeheartedness , in which one does not feel internal resistance or conflict but is genuinely and joyfully committed to a course of action or way of being. If you have ever been really excited to work on a class project or found yourself saying no to dessert because you feel pleasantly full after a good meal, then you have an idea of what these things refer to. Continence has much more in common with temperance and wholeheartedness than it does with various forms of bad living, such as vice (that is, the extreme states of being that virtues avoid) or being ruled by one’s appetites. Very broadly speaking, for there is a great deal of disagreement among thinkers and sages, the Confucian tradition raises serious concerns about relying on continence, worrying that it could lead a person to become more concerned with the outward appearance of virtue rather than true virtuousness (Angle 2013). The Aristotelian tradition, broadly speaking, is more positive, celebrating continence as the exercise of the rational part over the nonrational and perceiving it of one’s progress toward temperance (Aristotle, Nicomachean Ethics 1.13, 1102b26–28; Scarre 2013; Stohr 2003). But across traditions, there is widespread agreement that true virtue requires more than continence: it requires that a person truly want to do what is right and best. This isn’t just because calibrating your desires with your judgment means that you will reliably do the right thing, although that’s also true; it’s because doing so is what will make you happy. And that, after all, is what flourishing is: living a satisfying and fulfilling life. 2.3.6 H ABITUATION: D EVELOPING V IRTUE
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Every culture educates its children into its own ideas about what virtues are important and how those virtues are expressed and recognized. This education can come in the form of intentionally crafted lessons, or in simple immersion in the daily workings of that culture. This cultural training, in all its official and unofficial forms, is known as habituation . As a person grows to adulthood, his patterns of thought and action— all of which are influenced by his home culture(s), even if they are a reaction against it—become more entrenched until they seem like the “normal” way of being for him. This normal way of being is called a habitus , or interlocking set of habits that are what feels right or natural for him. To have a habitus does not mean that one doesn’t understand that there are other ways to live in the world or that those other ways can be ethically valid. It is simply to have habits of one’s own. A large part of a person’s habitus comes from doing the things that seem “normal” in their country, in their community, in their family, and among their friends. In general, people are far more aware of those aspects of their habitus that set them apart from their friends, family or neighbors. This is because the similarities are often understood to be “normal,” or “just how people are,” to the point that people do not notice them at all. According to virtue ethics, and possibly according to your own experience as well, new habits—whether virtuous or vicious—are hard to cultivate, and old habits are hard to break. But though it is not easy, it is possible. Through steady, deliberate choice on the part of the agent, or steady exposure to a new set of circumstances, an agent can gradually become habituated to a new pattern or set of patterns. In this way, people can (and do) become more or less virtuous over time. Most people never become perfect in any virtue, let alone in all of them. For this reason, it is better to think of virtue as a spectrum rather than as a binary. You can become more courageous than you were before without being perfect at it, or less generous than you were while still retaining some generosity. Although habitus makes it easy to keep doing what we are doing already, it is always possible to cultivate greater virtue, or to let a virtue lapse. To put it another way, virtues are not a pass/fail system—you’re almost always somewhere between perfectly virtuous and perfectly vicious —and your grade is never final.
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2.3.7 H OW THE V IRTUES W ORK IN T ANDEM Virtues do not exist in isolation from one another or from the rest of our character; they are our character, operating in complex combinations in everything that we do (Chen 2015). This is not because virtue ethics considers every single action to be moral in the narrow sense, but because plenty of qualities that are not obviously moral, such as physical prowess or technical knowledge, can also be understood as virtues, even though Aristotle did not consider them to be such (Putman 1997; Stalnaker 2010). By thinking about each virtue as one element of an interrelated whole, it can become easier to see how virtues that are not obviously moral, like technical skill or physical strength, can also have moral significance (Putman 1997). Imagine, for example, that a friend of yours is organizing a fundraiser for a charitable cause that you also support, and this friend asks you to donate your time to build a website to manage fundraising for the event. In donating your time, you are exercising the recognizably moral virtue of generosity. But you will need more than generosity to build a site that is appealing, easy to find, and easy to navigate: you will also need programming and human-computer interaction skills, as well as knowledge about handling charitable donations, Paypal and credit card accounts, and perhaps the logistics of relevant tax law. These are technical skills that could be used for many purposes: you could get paid for these same skills by your employer (which is reasonable and responsible, but not particularly generous) or you could donate them to build a website to steal credit card numbers. Being good at designing webpages does not make you generous, but it does make your generosity more effective in this situation. It’s also the case that both your generosity and your skill in web design will be more valuable if you are practiced at them. However, note that a very skilled and practiced designer who said yes would be exercising less generosity than a novice designer who did—after all, the experienced designer can fulfill her pledge with a lot less time and hassle. Likewise, a person who is unused to being generous may agree to build the website but is far less likely to follow through in putting in the time and energy required to build and maintain a successful and appealing site. 2.3.8 M ODALITIES FOR J UDGMENT
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Because virtue ethics takes a character-based approach to the world, it cannot and does not aim to offer principles or formulae that can be equally well applied by any person. Instead, it focuses on ways in which a person can draw on the resources of their character to attend to the particularity of specific situations (which, after all, are the only kind of situations we ever experience). Of course, a person of underdeveloped virtues will find these modalities much less useful than a person of good character. Likewise, a person of excellent character is far less likely to need to use these modalities consciously, as they will emerge organically from that person’s habitus. Because our character—including our ability to make use of the following modalities—creates the conditions for how we perceive, interpret and act, a virtue ethicist might say that any given decision is 95% made by the time you realize that you have to make it. Therefore, the best way to engage in good decision making, according to virtue ethics, is to cultivate those capacities that you want to be able to bring to bear in deciding and acting, by building good habits and modeling yourself after exemplary people. Practical Wisdom The key to acting well in virtue ethics is practical wisdom , or the ability to judge what the best action would be in any given situation. Practical wisdom is conceptualized differently by different virtue ethics traditions, but it is central to all of them. A person with a well-developed sense of practical wisdom will be able to perceive and understand the precise nature of what is going on in a specific set of circumstances and will likewise understand what kind of response that moment requires (Vallor 2016). This understanding and response necessarily combines perceptual acuity with the desire to do what is good; a person who delivers cutting insults at exactly the moment when they will hurt most might be said to be clever or perceptive in ways that partially resemble practical wisdom, but such a person is not practically wise (Clarke 2010; Yu 1998). In keeping with virtue ethics’ character-based approach to living well, practical wisdom is itself a virtue, which an individual must develop over time. Practical wisdom can be developed only through experience. For this reason, children and teenagers cannot yet possess practical wisdom and
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shouldn’t be expected to. If this distinction seems unfair to you, consider the difference in how we might evaluate a well-intentioned teenager who disregards a friend’s statement that they hate surprise parties and throws one for the friend anyway, as opposed to a well-intentioned adult who does the same (Hursthouse and Pettigrove 2016). It’s not hard to imagine the teenager being genuinely surprised and distressed to learn that their friend’s preferences do not match their own, because teenagers have had less exposure to a wide variety of people with different temperaments and preferences. We as observers might have known the party would backfire, but this does not necessarily lead us to doubt the good intentions of the teenaged party planner. By contrast, the party-throwing adult has had many more years of interacting with others, and thus has had more time to develop the perception and judgment that could help them distinguish between another person’s genuinely felt dislike of surprise parties and their self-effacing concern that they are causing fuss for their friends. Whether or not we doubt the sincerity of the adult party-planner’s good intentions, we are more likely to think of them as at fault for the hurt they cause. Though neither the teenager nor the adult has exercised practical wisdom in deciding to plan the party, it is likely only the adult whose actions will make us think “they should have known better.” Practical wisdom is culturally specific, in multiple ways. Firstly, a person who excels in practical wisdom will always be informed by their own culture and time period’s specific ideas of what constitutes flourishing (Vallor 2016). Secondly, a given action or way of being will not elicit the same response across time and place—for example, what seems appropriately friendly in one setting might come across as cold or distant in another—and being attuned to that local variation is part of what practical wisdom entails. Therefore, it must by definition be calibrated to the specifics of its setting. Practical wisdom guides the exercise of other virtues, but it cannot replace them. Imagine, for example, that you and a friend are having an argument and that you both have gotten very angry. Then your friend says something that makes you understand the whole situation differently. If you have a well-developed sense of practical wisdom, you might be able to perceive how your friend’s comment offers an opportunity to de-escalate the argument and make peace. But unless you are also disposed to let go of
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your anger—or at least capable of controlling it—you might not be able to make good use of that opportunity, even though your practical wisdom tells you that it would be a good idea. Finding the Mean As you have probably already noticed, virtue ethics is organized around the idea of moderation. Acting virtuously requires finding the middle path between excess and deficiency ( Nicomachean Ethics , Book II.7 p. 25; Analects 15:3). It also requires that we pay attention to the specifics of a situation, because different situations require different responses: the right amount of courage (or cheerfulness, or honesty) for one occasion might be excessive for a different one (Lunyu, cited in Xia 2020). This point of perfect balance between extremes is known in the Confucian tradition as “the doctrine of the mean” ( Zhongyong , cited in Plaks 1999) and in the Aristotelian tradition as “the golden mean.” To understand how a virtue could be exercised excessively, imagine a soldier who is considering a risky solo strike attack to provide cover for the other soldiers in his unit. Carrying out such an attack would be brave, regardless of circumstances. But in some situations, it might be too brave— in other words, reckless. A hot-blooded soldier who is immune to fear can make things worse by rushing in even when there is no advantage to be gained or when she is not sufficiently skilled to succeed. The most virtuous soldier, therefore—the one who possesses not only courage and skill, but also sufficient practical wisdom to pay attention to the mean—is the one who is unafraid to fight when it will be helpful, but not so eager that he fails to think about tactics. Aiming for the mean can give you a concrete method for imagining what excessive or deficient responses would look like and enable you to come up with a better course of action in order to avoid those extremes. But realistically, achieving the mean also requires a well-developed faculty of practical wisdom. And doing the right thing also requires you to have developed all the relevant virtues to the degree that the situation requires, so that you are able to go beyond just having the right idea about what a good response would be.
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Sidebar: Aristotelian Virtues as a Mean between Vices In the Nicomachean Ethics , Aristotle describes the moral virtues as existing at an intermediate point between two extremes of vice. (Aristotle 2.8) The following table lays out some of the moral virtues described in the Nicomachean Ethics , along with the vices that represent an excessive or deficient exercise of that same quality. Presenting them grouped together in this way should make clearer what “finding the mean” looks like in practice. This virtue is the midpoint between this excess and this deficiency courage recklessness cowardice friendliness flattery and fawning crankiness temperance overindulgence lack of appreciation for pleasures generosity careless overspending stinginess It’s worth noting that the precisely suitable degree of exercising a given virtue (known in the Aristotelian tradition as the golden mean ) will not be the mathematical center point between the two extremes and will vary from situation to situation. For this reason, one’s exercise of virtue needs to be guided by practical wisdom . 2.3.9 S TRENGTHS AND W EAKNESSES OF V IRTUE E THICS: F LOURISHING I S E ASY ( O NCE Y OU’RE T HERE) A person is said to be truly virtuous only if they find it easy to be virtuous: they are wholehearted in their desire to do what is right, and they do not require continence or external pressure to continue in virtuous habits. Connecting virtue to flourishing in this way—to a person’s felt desire to act virtuously—may seem counterintuitive at first glance. Isn’t it more courageous to be brave when an action one must take is extremely
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dangerous (e.g., rescuing a child by running into a burning building), or more impressively generous for a very poor person to donate money to a disaster relief organization after a major flood? These are indeed two examples of exceptional virtue, in which the agents are being virtuous under conditions of extreme external pressure. Both of them are exercising their respective virtues (courage and charity) in spite of the risks it poses to them, in a way that suggests that they truly excel at those respective virtues (Foot 1978). But if a person finds it difficult to be virtuous because it does not match their internal desires and values—in other words, because they don’t entirely want to be—then that difficulty reflects the limits of their wholehearted commitment to that virtue (Foot 1978; Tiwald 2018). In comparison to the two people in the paragraph above, imagine a person who speaks up in a meeting despite being nervous, or who donates money to disaster relief even though she dislikes giving money away. In both cases, these actions are difficult because of insufficient virtue (courage or generosity) on the part of the actor. That is not to say that these actions aren’t good! In addition to the contributions they are making, both of these people are controlling their less virtuous impulses, and possibly building new habits. Both of these people might be on that path to greater virtuousness if these actions represent part of an overall shift in habitus. The timid speaker may find it easier to talk next time, and the resentful donor may donate again because it made her feel good the first time. But it’s impossible to know whether either of those things will happen on the basis of only those first, single actions. The actions a person undertakes to shift their habitus are best understood in the long term: in six months, or six years, each of these people may have become more virtuous than they were before, by cultivating new habits (or shaking off old ones). Being truly virtuous also requires maintaining those virtues across interactions with different people; for instance, a truly generous person finds it easy to help strangers as well as friends and family. But virtue ethics does not necessarily emphasize universality in the same way as some other ethical frameworks. It comes naturally to many people to feel the most concern for the people closest to them. In fact, in the Confucian tradition, familial love is the root of all other love and it is reasonable to give greater moral priority to these relationships (with filial piety being one of the most
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important virtues); to become a generally moral person is to take your circle of care for those closest to you and expand it outwards to encompass others (Curzer 2018; Yu 2007; Zhu 2002). While virtue ethics’ attunement to local norms is one of its strengths, this same quality is often criticized as a weakness. Because the virtues celebrated by one community are sometimes very different from the virtues celebrated by another, virtue ethics does not furnish a good foundation for universal principles, including a universal principle of justice. Virtue ethics has also been criticized for conceiving of the good life in a way that makes it difficult, if not impossible, for people with some disabilities or neurodivergencies to meet its criteria for human excellence. In particular, Furey (2017) has argued that virtue ethics is a problematic fit for engineering ethics in particular, because Aristotle’s picture of flourishing presupposes a model of the human mind with strong capacities for emotionally engaged and intuitionistic decision making, and those capacities don’t come as naturally to many people on the autism spectrum, a population particularly heavily represented in engineering. Sidebar: Understanding Virtue Ethics through Role-Playing Games One potentially useful way to think about the cultivation of virtues is role-playing games (RPGs), in which it is necessary to build your character’s skills slowly over time in accordance with your goals for the character. Although skill building in RPGs is not always presented as having a specifically moral dimension, the underlying mechanics can be helpful for thinking about virtue ethics. When you start out playing a game like Baldur’s Gate , Fallout , or Mass Effect , you have an array of skills, but you’re not very good at any of them yet. If you want to get better at climbing or communication or spell-casting, then you have to practice. As you practice, your ability level improves. This practice is not so different from habituation, the building-up or cultivation of a certain virtue through practice. It’s also not so different from practicing a sport or a musical instrument. Moreover, the best way to solve any given problem is not going to be the same for every player. Some challenges are simply impossible for lower-level players who have not yet built up their skills to the
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necessary point. Other challenges will have different solutions. How do you get past a locked door? Your answer will depend on whether your character is a magician or a thief. In an RPG, the mage and the mercenary will be able to address a given challenge differently because of their different skill sets, but the way the player perceives the problem is likely to be consistent. In the real world, the differences between the mercenary and the mage will go deeper: what seems possible or reasonable to the mercenary (defeat a guard in combat, break through a door) will seem imprudent or impossible to the mage, whereas the mage’s solution (unlock the door with magic) will seem fanciful or impossible to the fighter. Each character’s habits of thinking will be shaped by their past habits, and by the virtues or skills that have in their experience been relevant to making important decisions. Of course, in real life you don’t usually have the choice to put a challenging situation on hold and come back when you have leveled up: you have to face it when it confronts you. That’s why it is important not to put off cultivating your capacity for virtue until later. You might have to fight the dragon tomorrow. Story Point: “The Gambler,” by Paolo Bacigalupi I try to protest. “But you hired me to write the important stories. The stories about politics and the government, to continue the traditions of the old newspapers. I remember what you said when you hired me.” “Yeah, well.” She looks away. “I was thinking more about a good scandal.” “The checkerspot is a scandal. That butterfly is now gone.” She sighs. “No, it’s not a scandal. It’s just a depressing story. No one reads a depressing story, at least, not more than once. And no one subscribes to a depressing byline feed.” How can we be the version of ourselves that we want to be, even in times of crisis or under pressure from the outside world? And how can we
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influence the world around us for the better when the world doesn’t necessarily want to be influenced in those ways? These universal questions take on particular sharpness for Ong, a Laotian refugee who works as a journalist for a major American media company. Ong writes articles about the issues he considers most important, such as climate change and the fallout of government mismanagement. But such articles don’t align very well with the reading habits of the American public, who instead give their clicks to product reviews and celebrity scandals. “The Gambler” offers us several high-stakes moments, but among the various characters in the story —Marty Mackley, the master of infotainment; Janice, Ong’s results- oriented boss; Kulaap, who balances her Laotian and American identities in a way Ong cannot quite understand; and of course Ong himself—there is no consensus on what kind of response those high-stakes moments call for. Indeed, there is not even consensus on what really counts as a high-stakes moment in the first place: each character has different judgments about the lines between “real news,” distractions, and depressing stories. But as “The Gambler” illustrates, our choices in those moments are rooted in the longer arc of our character. 2.4 COMMUNITARIANISM Communitarianism is an approach to ethics organized around self- realization in the context of interdependence . Its basic assumption is that human beings exist in a state of mutual reliance on one another (Masolo 2010; Smith-Morris 2020). Although this interdependence includes material goods like shelter and safety, the more significant dimension of our interdependence concerns the many social, spiritual, and psychological goods that can only come from relationships with others. Because we are interdependent, everybody benefits from investing in the common good , or the well-being of the community as a whole (Masolo 2010; Wiredu 1992a). 2.4.1 O VERVIEW OF C OMMUNITARIANISM Instead of conceiving of communities as collections of individuals who have decided to make common cause, communitarianism posits that communities exist prior to any individual born and raised within them
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(Menkiti 1984). By furnishing the language, values and relationships that form the basis of an individual’s experience, a community is necessarily foundational to understanding the character, goals, and potential of any individual within it. Furthermore, because of our interdependence, that individual’s self-realization —that is, the fulfillment of the individual’s potential and aims for themself—can take place only in a community setting, because relationships with others are essential to the structure and development of the self and because they create the context that makes an individual’s aims significant (Gyekye 1997, Masolo 2010). The idea of community that underwrites communitarianism does not include every single kind of community that exists. Rather, it refers to the kind of community in which a person might be said to have grown up. It requires not only shared interests and values among members but a sustained mutual commitment and a developed sense of what it means to live in common (Coetzee 2003; Gyekye 1992). There are many communities that have some of these qualities, but not all of them. You will likely find that the communitarian framework is helpful in reflecting on how these communities work, but that focusing on one such community to the exclusion of others will give you only a piecemeal picture of the lives of its members. While communitarian ethics does not presume any one community structure or set of norms, it does presume that communities exist and that they have structure and norms of some kind that they recognize and claim as their own. It further posits that any person can and must be understood as being formed by a community (or perhaps more than one). Being formed in this way means that an individual shares in the social meanings of their communities, and that their understanding of themselves and of the value of their goals is grounded in those shared social meanings (Masolo 2010; Smith-Morris 2020). This is not to deny that there are people who conduct their lives without strong social ties or a sense of shared commitment to others. But according to the baseline premises of communitarianism, any person who lives in isolation from a community of shared values and ideals —“an abstract dangling personality,” to use Polycarp Ikuenobe’s striking phrase—will not be able to achieve self-realization (Ikuenobe 2006). Although it does not presume any specific moral or social norms, communitarianism does make some general assumptions about how
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communities work. The first is that they are enduring and have patterns, processes, and structures that exist prior to the individuals who are formed by them (Menkiti 1984; Smith-Morris 2020). The second is that their shared wisdom is carried to a large extent by elders, who are not merely the older members of the community but are those who have excelled in the forms of living that the community values, particularly in sympathetic awareness of the needs of others (Masolo 2010; Menkiti 1984; Smith-Morris 2020). Both of these assumptions are more broadly and transparently applicable to people who spend most of their lives in one place, a pattern of life that is increasingly uncommon. Nonetheless, when you use the lens of communitarianism to think about your own life, you will likely find that you belong to some communities that match this description, even if your life does not take place entirely within them. In order to grasp why the communitarian framework presumes interdependence, it’s helpful to understand the role that community plays in a person’s self-realization. Even though you as an individual can decide what kind of person you want to be and what achievements are important to you, you (like everyone else) rely on others in order to become that person and achieve those goals, in three distinct but interrelated ways. The first way is that others in your community furnish you with many kinds of support in your work and development, from material goods (like food and public roads) to emotional and psychological goods (like love and conversation). The second way is that achieving your goals for yourself, whether in practical accomplishments or in character, rarely feels satisfying or even real unless somebody else recognizes and affirms what you have achieved or become (Gbadegesin 1991; Presbey 2002). Shared social rituals like weddings, coming-of-age ceremonies, and graduations are easily visible examples of how a community marks an individual’s achievement or growth. But even small ordinary gestures of recognition like a professional title are often important for helping someone feel that their achievements are real and valuable. The third way individuals depend on their community for self- realization is rooted in the fact that communities exist prior to individuals and supply the shared social meanings that individuals use to think about their lives (Smith-Morris 2020). Imagine, for example, that you have grown up in a community where most people want to be professional athletes, but
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you are more interested in becoming a doctor. Although you may think that this goal sets you apart from your community, the specific shape of your goal is still shaped by your community. Every society has medical practitioners of some kind, and different communities have very different ideas about the social role that medical practitioners play. These varying expectations occur not only because the nature and rigor of medical training varies widely but because different communities have different degrees of trust in what the doctors they know claim to do (or whether they will do what they claim). Even if your desire to be a doctor is unusual in your community, your specific ideas about being a doctor will reflect your own community’s understanding of what doctors are like and what makes that a valuable goal. For these reasons, your self-realization needs to be understood in the context of your community. Your community also shares in your attainments, whether it is achieving a concrete goal or becoming an excellent person (Ikuenobe 2006). Not only has the community helped to support you along the way, but the fact that you aimed for and achieved that goal is understood as a sign that the community has successfully raised and educated you to carry on the community’s values and practices (Menkiti 1984). This does not mean that every single community you have belonged to plays an equal role in your development and your successes, but it does mean that these things can be traced back to a community that has been important to you. 2.4.2 S OURCES OF C OMMUNITARIAN E THICS The form of communitarianism discussed here is rooted in indigenous philosophy, traditions and lived community practices. This type of communitarianism is challenging to represent here, for several reasons. It’s important to discuss those reasons here, because they may already be influencing the way you are thinking about this framework. The first difficulty has to do with the challenge of retrieving sources of indigenous thought. Communitarianism was a common form of life in many parts of the world prior to the era of European colonization which began in the fifteenth century CE, including the lands that now comprise Australia, sub-Saharan Africa, much of North America, and parts of
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Southeast Asia. The societies in these regions were transformed, often violently, when their homelands were “discovered” and settled by European explorers, who largely treated these societies’ lands (and sometimes the people themselves) as a source of wealth for their home countries. During these violent upheavals, large swaths of these indigenous communities’ knowledge and tradition were eradicated. Some strands of knowledge and tradition were preserved in the minds and memories of survivors but in decontextualized forms that were different from those of prior generations. Our contemporary knowledge of those past ways of life is indelibly shaped, and limited, by that destructive history. In addition to this very practical challenge, there is also a conceptual challenge. European nations justified their colonial project by claiming that the peoples they conquered were lesser forms of humans—or not even human at all—because they were not “rational” in the same way (Ani 2013; Biakolo 2003). The idea that humanness depends on rationality can be traced to ancient Greece and, indeed, was used by Aristotle and other Greek philosophers to denigrate some non-Greek peoples (Biakolo 2003). But the specific form of rationality that mattered to the Europeans of the fifteenth and sixteenth centuries was the newly developed principles of “scientific reasoning” (Naudé 2019). Because the worldviews and thought patterns of the indigenous societies that they encountered did not mesh with their own recently developed ideas about universal reason, the colonizers (along with observers in their home countries) concluded that these communities were incapable of higher-level thought, or at least had not developed it yet (Biakolo 2003; Nicholas 2018). Although it is easy to look back and see the error and hubris of that judgment, its legacy continues to shape how non- European peoples and their knowledge traditions are perceived today— including in the field of ethics, which (like many academic disciplines) is only just beginning to reckon with how some of its standards and practices continue to make it inhospitable to non-European traditions of knowledge (Ani 2013; Hallen and Sodipo 1997; Outlaw 1987; Oyěwùmí 1997; Serequeberhan 2003; Wiredu 1992b; see also Wiredu 2009). Many of the indigenous communitarian societies mentioned above continue into the present, adapting the core practices of communitarian ethics to the institutional structures of the settler states that now control their homelands (Smith-Morris 2020). For both practical reasons and
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because of ingrained philosophical biases, these communities’ frameworks and traditions are rarely given the same philosophical credence as writings from the European traditions. Yet indigenous communitarianism significantly enriches our conceptual vocabulary for doing ethics. Although these various indigenous communitarian traditions have many points of overlap among them, limitations of space make it impossible to discuss commonalities in a way that can truthfully represent them all. Therefore, the remainder of this unit focuses specifically on the communitarianism of sub-Saharan Africa, which is internally diverse but also coheres around a handful of core ideas and themes. Among these shared ideas is a particularly well-developed conceptual apparatus for communally based self-realization. The communitarian framework presented here cannot be, and does not aim to be, a direct representation of what precolonial Africa was “really like.” Instead, it offers an overview of the philosophical efforts by African scholars to theorize, systematize and reflect on those aspects of noncolonized African culture that endure, or those elements of precolonial Africa that can be recovered. It should be noted that communitarian philosophy and practices have also emerged in the culture and thought of Europe and America (Masolo 2010). Political philosophers Michael Sandel and Michael Walzer and philosopher/theologian Alisdair MacIntyre have each argued for the merit and moral urgency of a turn to communitarianism, responding to and drawing from the Euro-American tradition (MacIntyre 2013; Sandel 2010; Walzer 1990). As these thinkers all note, communitarianism is deeply at odds with the structure of the modern western capitalist state. Nonetheless, several communitarian movements have developed. One of the most widespread of these is the Catholic Worker Movement, which began in the United States in the early 1930s as a means to bring about a “society in which it will be easier to be good” (Cornell 2006). Initially just a newspaper, this movement soon expanded to include both independent houses and cooperative farms. The Catholic Worker Movement now has over 100 houses and farms in several countries that feed the needy and house communal workers and continues to stand against exploitation and inequality (Forest 2010). Another well-known example is the kibbutz movement. A kibbutz is a form of communal living first established in 1910
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at Dgania in Palestine. The founding ideals of the kibbutz movement combined an agrarian communitarianism with the Zionist goal of claiming land for the Jewish people. Kibbutzim (to use the Hebrew plural) were founded on a purely egalitarian regime of total equality of the members in both work and claim on resources. This communalism extended even to child-rearing; all children on the kibbutz were raised communally in a separate “children’s house” (Shpancer 2011). Although kibbutzim remain a small share of Israel’s culture and economy, many have shifted their practices and community structure to more closely resemble Israel’s wider capitalist society. Although most remain collectivist agrarian communities, some have become for-profit enterprises (Sivak 2020). Many, but not all, modern kibbutzim have differentiated between the management of the economy on one hand and the community on the other, leading to less egalitarian wages but a commitment for caring for all members of the community (Rubinstein 2007). 2.4.3 P ERSON, C OMMUNITY, AND W ORLD: S UB- S AHARAN M ETAPHYSICS The concepts of community and of human self-realization are easier to understand with a basic understanding of how traditional sub-Saharan cultures conceptualize the composition of the world at large. According to most traditional sub-Saharan metaphysics, the entire world is an interdependent and harmonious system. The boundaries between different kinds of living things, between mind and body, between the living and the dead, and between the natural and spirit world are all gradations of difference rather than absolute divides, and treating them as categorically separate—as Western metaphysics does—prevents one from understanding them as they actually are (Ramose 2003; Tangwa 2005; Wiredu 1992b). This sense of the world as a harmonious unity informs nearly every aspect of how sub-Saharan communitarianism is structured. A striking example can be seen in the way the death of a community elder is understood. Although the deceased elder is acknowledged to be biologically dead, they are understood as still present in the community, insofar as their words and character are remembered (Ikuenobe 2006; Masolo 2010; Okolo
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1992; Ramose 2003). While their presence is felt in this way, the elder is still a person within their community. Only when their name is no longer remembered by anyone living does the elder join the category of ancestors, a de-individualized collective of wise and beloved persons who have gone beyond material existence (Menkiti 1984). Furthermore, just as the world at large is understood to be an ordered and harmonious whole, most African communitarianism likewise understand human individuals to be, themselves, each a community of many self-elements (Gbadegesin 1991; Neequaye 2020; Ogbonnaya 1994). This principle of organization helps underscore why self-realization must take place in the context of a community. Because everything that exists is by its nature part of an interconnected and interdependent whole, realizing your purpose in the world must necessarily include acknowledging that you are part of that system of interconnection. Sidebar: The Role of Religion in Sub-Saharan Communitarian Thought It is easy—but also wrong—to assume that the metaphysical outlook described above is intrinsically “religious” in a way that is not true of the prevailing metaphysical views of the contemporary West (Oladipo 2003). The relationship between religion and metaphysics is very complicated, and it is entirely possible (and very common) for a person to hold metaphysical beliefs that are rooted in a religion they don’t practice or even know very much about, because those beliefs have shaped their community and culture in ways that are not obviously religious. Therefore, although communitarianism is not intrinsically more “religious” than the other frameworks in this book, it is important to understand that there are some major differences between the traditional religions of Africa and the religions that have been foundational to contemporary Europe and America. For this reason, we are giving a brief background on sub-Saharan-African traditions— which, like the Abrahamic traditions, have vital and significant differences but nonetheless share some important assumptions about the world.
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In discussing the three classically Western canonical frameworks that we have looked at, we noted that each is compatible with a religious or theistic worldview but can also be adhered to without any belief in God or any religious commitments. Whereas this is true in general, it is worth noting that discussions of “religion” in the context of Euro-American ethics almost always mean the Abrahamic traditions: Judaism, Christianity, and Islam. Although these three religions are not interchangeable, they share many common beliefs about both human nature and divine nature. Those shared beliefs serve as a metaphysical baseline for most people raised in communities where Abrahamic religions are the norm—even people who reject the religions themselves or do not believe in God. Indeed, they are so widespread that it can be hard to notice. But these religions differ sharply from the indigenous religions of sub-Saharan Africa. The indigenous traditions of sub-Saharan Africa begin with very different metaphysical assumptions. One major difference concerns the role of the divine in human knowledge: how much humans know about the divine or spiritual world, and how they know it. Unlike the religions of sub-Saharan Africa, the Abrahamic religions are all revealed religions : that is, they are based on teachings and insights that were directly revealed to human beings by God. Though most Jews, Christians and Muslims cannot claim to have received a direct revelation themselves, they nonetheless practice a religion based on teachings that are understood to have been directly revealed to others. The religions of sub-Saharan Africa, by contrast, are not revealed religions. Though divinities and spirits exist, they do not communicate with humans in the same way. Because of this, they are not a direct source of rules or teachings. Rather, rules and teachings are understood to come from the community’s own wisdom and knowledge of the world, which includes spirits (Gyekye 1987). The second major difference, following from the first, concerns the relationship between the spiritual realm and morality. One of the philosophical problems with revealed religions—especially when God is understood to be an enforcer—is that people can easily end up doing the morally right thing to avoid punishment, rather than because it is morally right. Therefore, in European contexts, many thinkers argue that
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genuine humanism, a commitment to the value and significance of humans and human life, is not compatible with religious belief. This tension does not arise in sub-Saharan African traditions, because the gods are not keepers of morality. Furthermore, the spirit world that people enter after they die is not entirely distinct from the community of the biologically living: ancestors remain a part of the human community, not as gods but as cherished and respected people (Ikuenobe 2006; Wiredu 1992a). 2.4.4 S ELF- R EALIZATION IN S UB- S AHARAN C OMMUNITARIANISM Although there are variations across traditions and communities, there are significant commonalities in the idea of self-realization as it is found across sub-Saharan Africa (Tangwa 2000; Wiredu 2009). The language used to describe the achievement of this self-realization is nearly always rendered in English as “becoming a person.” This conception of personhood does have a descriptive element that captures the basic biological and metaphysical features that are intrinsic to all persons; only someone with these features is capable of attaining personhood in the normative sense (Ikuenobe 2006). But sub-Saharan communitarianism is focused mainly on the normative aspect of personhood, the realizing of a person’s potential for excellence and humanity as a participant in their community (Gbadegesin 1991; Gyekye 1987; Ikuenobe 2006, Menkiti 2005; Wiredu 2009). Achieving and maintaining self-realization is necessarily a long-term project, because it involves absorbing values and taking on and upholding adult responsibilities (Ikuenobe 2006; Menkiti 1984). Self-realization is not, cannot be, something that an individual accomplishes by herself. It is part of a community effort, and it is validated by recognition from the community. The values are those of the community, as is the responsibility of imparting them, although this responsibility is shared with the individual in taking them on and in living accordingly (Kaphagawani 2005; Menkiti 1984; Presbey 2002; Wiredu 2003). The achievement is likewise shared with the community, insofar as the successful development of a person is understood to be a communal project
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that involves education, nurture, and role models (Hallen 2005; Ikuenobe 2006; Masolo 2010). The achievement of self-realization is often celebrated, and frequently brought about, by a ritual of training or process of being inducted into community knowledge (Masolo 2010). Furthermore, complete self- realization involves claiming specific social roles, such as parent or elder, which impart specific social responsibilities to other individuals and to the community as a whole. Like the language of being a person, these social roles are not biologically descriptive: you are not a mother or a father just because you contributed biological material to a child, but because you love and provide for that child (Masolo 2010). Sidebar: Agent-Centered vs. Patient-Centered Personhood As you will see in chapter 4, using the concept of personhood to refer to a distinctively human way of being valuable is not unique to sub- Saharan Africa. Indeed, ethical description and reflection of any kind almost always involves some working notion of personhood, even if that notion is not consciously held. But for this very reason, it is essential to distinguish the sub-Saharan conception of personhood from the conception that most frequently appears in English-language work in ethics (Behrens 2011). As noted above, the sub-Saharan concept of personhood is focused on how someone can and should conduct themself; in other words, it is agent-centered . Living in this way means honoring obligations to others, but the focus is on the individual upholding the duties rather than the entities to whom they are owed (Molefe 2020; Tangwa 2000). By contrast, a patient-centered approach to ethics means that the focus is on the rights and protections of individual persons. In the United States, particularly in the context of bioethics and medical ethics, the emphasis is often on the patient as a holder of rights. The logical extension of patient-centered reasoning is that moral agents should honor the moral patient’s rights, but the focus remains on the patient rather than the agent. 2.4.5 U BUNTU
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Ubuntu refers to a crucial human quality that is central to communitarianism of southern and eastern Africa. (Gade 2011) The word “ubuntu” comes from a family of Bantu languages spoken in southern Africa and has close equivalents in several other languages across the southern half of the continent (Idoniboye-Obu and Whetho 2013). The word first appeared in writing in the mid-nineteenth century, but the principle has been transmitted through oral traditions for centuries, in the form of proverbs, myths, riddles and other narratives (Gade 2011; Kamwangamalu 1999). In the past several decades, ubuntu has been taken up by thinkers and politicians in South Africa and Zimbabwe, in an attempt to articulate a distinctly African political philosophy of humane justice. In this same timeframe, it has also become popular among theologians and philosophers from English-speaking countries who aspire to a more global approach to ethics. On account of these two movements, the ubuntu tradition has gained broad name recognition, but it has become increasingly ill defined the more widely it has circulated (Gade 2011; Idoniboye-Obu and Whetho 2013). Even when one focuses on indigenous sources, ubuntu is notoriously difficult to define because it is understood to encompass so many interrelated aspects and ways of being (Idoniboye-Obu and Whetho 2013; Kamwangamalu 1999). In essence, to live with ubuntu means to engage in the process of becoming and being human: to attend to and embrace the interdependence of human existence, in the broader context of an interdependent and harmonious universe. (Mkhize 2008) Ubuntu has been described not only as a quality of character but as an ethic, an orientation, a standard of judgment, and a mode of being (Gade 2011; Idoniboye-Obu and Whetho 2013; Mkhize 2008; Munkaya and Motlhabi 2009). And indeed, the claims that ubuntu makes on a person are so comprehensive that all of these descriptions are potentially useful. Because ubuntu is a human quality rather than an abstract principle, it is not enough to believe in the values of ubuntu. Rather, it requires continuous engagement with the ever-changing world around us, and particularly the active, ongoing affirmation of the humanity of those around us (Chimuka 2001). This affirmation extends not only to one’s immediate community, but also to strangers and outsiders (Munkaya and Motlhabi 2009). Because a person living in accordance with ubuntu “cannot look on the suffering of another and remain unaffected” (Mkhize 2008) in a thriving
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ubuntu community, all challenges are met both communally and cooperatively (Munkaya and Motlhab 2009). There are differences within different branches of the ubuntu tradition about whether or not humans have distinct metaphysical status or dignity that set them apart from other creatures (Chimuka 2001; Mkhize 2008), but the fact of being human means that has one particular obligations to other members of the human community. 2.4.6 Y ORÙBÁ C OMMUNITARIANISM Yorùbá communitarianism is a tradition based in the region of western Africa that is now Nigeria, along with neighboring parts of Togo and Benin. Although the societies in this region operated under a variety of political structures, nearly all of them were grounded in communitarianism. Yorùbá communitarianism is noteworthy because of its distinctive and well-documented epistemology (that is, its conception of knowledge.) Instead of using vision as the metaphorical basis for understanding, Yorùbá communitarianism instead takes hearing to be the foundation of how understanding works (Oyěwùmí 1997). This approach to knowledge emphasizes the relational nature of knowledge; whereas the underlying model of learning-as-seeing invites us to imagine the thing we are learning as wholly passive under our gaze, learning-as-hearing gives the thing learned about an active role in the perceiver’s learning and emphasizes the interaction and exchange between them. This epistemological approach also underscores the relational, rather than biological, nature of social roles and relationships, because an individual’s physical appearance is not taken to be a significant indicator of who they are (Oyěwùmí 1997). As a consequence of its conceptual rootedness in hearing, Yorùbá communitarianism draws a sharp distinction between firsthand knowledge, which an individual has seen and understood for herself, and all other kinds. The language used to describe second-hand knowledge—whether it is learned from a book, from tradition, or from a friend’s story over lunch—is best translated as “agreeing to what one hears” (Hallen and Sodipo 1997). While this conceptualization of knowledge might at first sound radically individualist, it in fact underscores the extent to which community members depend on one another to know and to understand. Furthermore, it
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calls attention to the importance of relationships in shaping how information and knowledge is exchanged: an individual who is known to be conscientious and trustworthy will have a greater voice in shaping the community’s shared understanding of a situation. For these reasons, being an observant witness to one’s own experiences, being reliably thoughtful and measured in understanding those experiences, and being careful and precise in communicating them to others are all important elements of a good character in Yorùbá communitarianism (Hallen 2005). 2.4.7 I S THE C OMMUNITY AN I NTRINSIC G OOD OR AN I NSTRUMENTAL O NE? There is no question that community is essential to achieving personhood in sub-Saharan ethics. Simply put, there is no way to achieve self-realization apart from a community. What is sometimes less clear, however, is the exact role that communities play in securing an individual’s self-realization, philosophically speaking. Is the community an end in itself, the necessary basis of self-realization? Or is it a means to an end, a necessary path rather than a destination? (Metz 2011). Earlier studies of sub-Saharan communitarianism—perhaps aimed at drawing the sharpest possible contrast with western liberal individualism (Oyowe 2013)—all agreed that community was the center of sub-Saharan value systems and that the value of the individual person is fundamentally constituted by the community and conferred upon them by community recognition (Menkiti 1984). In recent years, however, many scholars have argued that, while individuals need community in order to achieve well- being and self-realization, the true goal of sub-Saharan communitarianism is to create good for all of the individuals in it. 2.4.8 M ODALITIES FOR J UDGMENT Sub-Saharan communitarianism is not unique in understanding ethics to be about how to live well with others. But the communitarian framework is distinctive in the way that it positions us to understand individuals and their development in terms of their communities. This distinctive community focus is reflected in its modalities for judgment, which can be formulated as a series of principles that are relational and community-oriented, grounded
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in the authority of shared humanity and in the reality of our social nature. This principle-based form of ethical reasoning bears some similarity to deontology (recall in particular that deontology centers on duties to others.) But the community-oriented, relational aspect of communitarianism contrasts with an orientation, for many deontological theories, toward an autonomous rational subject. The Consensus Principle The principle of consensus urges us to find common ground with others who have a stake in a given issue. This principle is rooted in both the knowledge theory and the social organization of communitarianism. As we saw above in the Yorùbá tradition specifically, communitarianism considers the tasks of knowing and understanding to be cooperative by necessity. Similarly, Edward Wamala writes of one of the Bantu kingdoms in Uganda, “Nobody has a monopoly on knowledge; everybody is in need of the knowledge and opinions of others” (Wamala 2005, 438). Because communitarianism presumes a strong model of collective participation, it becomes possible to overcome the limits of our individual knowledge by working together to understand and decide. It should be noted that this principle does not assume uniformity of opinion. In fact, it assumes the opposite—if everyone agreed, there would be no need for further discussion. Furthermore, the principle of consensus does not require a community member to surrender to the will of the group. Rather, it demands that each community member participate in the group’s deliberations. Although this principle might at first strike you as irrelevant to at least some kinds of ethical quandaries, further reflection from within the communitarian framework will likely reveal that many problems that seem at first to be yours alone can, in fact, be understood as shared with others in your life—even if it’s only because of their relationship with you. The Principle of Building Community This principle directs us to nurture a sense of common cause and belonging with others in our community. Because people exist in a state of mutual dependence, we all benefit when those necessary ties are strengthened by feelings of solidarity, trust, and belonging. In other words, it is easier to be
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happy about helping others and to set aside your personal desires in order to help another if you feel a sense of shared identity or community with those others and if you trust that they will help you. Honoring this principle can be as simple as making time for conversation with others. It can also require more significant acts of mutual aid. It can even be helpful to create new structures of mutual dependence, such as a study group, to help strengthen your own and others’ commitment to helping and being helped by others (Masolo 2010). The Principle of Peace/Rehabilitation According to this principle, an individual should always try, within reasonable measure, to repair relationships with others (Mangena 2015). This principle grows from the understanding that self-realization requires that one have good relationships whenever possible. Maintaining good relationships with others is, therefore, partly an act of self-interest—but characteristically so for communitarianism, because pursuing one’s own interest aligns with the good of the whole. A further dimension of this principle is the importance of restorative justice , a form of justice that centers on making restitution to victims rather than punishing wrongdoers. This principle depends on the cooperation of everyone involved, including the willing participation of those harmed, and often involves other community members as advisors and mediators (Mangena 2015). Honoring this principle means making an effort to rehabilitate wrongdoers, whenever it can be done without being unjust to those who have been wronged. This principle leaves open the possibility of cutting ties with a relentless wrongdoer; good relationships, after all, must be mutual. But insofar as it is possible for an individual to better themself and the other individual by remaining connected, one should seek to do so (Molefe 2020; Wiredu 2009). 2.4.9 S TRENGTHS AND W EAKNESSES OF C OMMUNITARIANISM: T ENSIONS WITH THE L IBERAL T RADITION Communitarianism is sometimes perceived as radically opposed to the ideals of individualism that shape Western capitalist nations, requiring the individual both to sacrifice their own well-being for the sake of the group or
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to surrender their power of judgment to the group. Both of these misunderstandings are rooted in the notion that a community is monolithic and unchanging rather than a shared baseline of relationships and understandings between different individuals (Gyekye 1987). They also significantly exaggerate the differences between communitarianism and its alternatives. Although it is true that communitarianism places more community- oriented demands on individuals than is necessarily the case in the other frameworks in this chapter (though each of them includes more communally oriented traditions), these demands are, broadly speaking, similar to the constraints those frameworks place on a moral agent. Each of those frameworks offers resources to help the moral actor balance the well- being of others against her own well-being. Communitarianism is distinctive in that it understands those constraints in terms of relational commitments to others and shared values, and emphasizes the ways in which an individual can pursue her own good through the common good. But it is not unique in holding the moral agent responsible for the well- being of others (Masolo 2010; Molefe 2020). Although communitarianism posits the existence of a common good that is of meaningful benefit to everyone in the community, critics have argued that it makes the individual “a mere means to society’s welfare” (Tshivhase 2011). In particular, communitarianism’s focus on self- realization is sometimes criticized as stifling or coercive to the individual. Because self-realization is calibrated to community norms and requires an individual to succeed according to collectively recognized categories of achievement, it can create conformity or punish those who are unwilling or unable to acquiesce to social expectations (Presbey 2002). This description of communitarianism has been disputed on the grounds that it ignores the individualism and competitive spirit that can develop in the context of mutual belonging and shared norms (Wariboko 2020). Communitarianism has also been criticized for preserving unjust power imbalances. Because of elders’ high social standing in communitarian societies even after their biological deaths, sub-Saharan communitarianism is sometimes said to promote an “epistemological monopoly of the old over the young” (Kaphagawani 2006). Furthermore, many of the attainments of personhood are easier to achieve if you are
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wealthy and of high social standing, and especially if you are male. Since self-realization relies on recognition from within one’s group, it is structured in a way that offers fewer rewards to those with private, less visible social roles. If self-realization is equated in some way with community standing, then lower standing in the community becomes its own confirmation of being less worthy (Oyowe 2013). This has led some of sub-Saharan communitarianism’s fiercest critics to conclude that the sub- Saharan paradigm of self-realization is fundamentally incompatible with the idea that all persons are morally equal (Oyowe 2013) and that communities organized around this form of self-realization are irreparably unjust. Story Point: “The Regression Test,” by Wole Talabi I’m not sure if A. I.s can believe anything and I’m not supposed to ask her questions about such things, but that’s what the human control is for, right? To ask questions that the other A. I.s would never think to ask, to force this electronic extrapolation of my mother into untested territory and see if the simulated thought matrix holds up or breaks down. “Don’t tell me what you think. Tell me what you believe.” What are the things about us that make us distinctly ourselves? Can a self continue to exist, once its care relationships and community are gone? These questions are, in some respects, very literal in “The Regression Test.” Titilope, our narrator, participates in the titular test by cross-examining an AI copy of her long-deceased mother Olusola—or “memrionic,” as these AI copies are called—in order to determine whether it still reflects the person her mother was. What can a human know about a memrionically preserved person that the memrionic itself cannot? “The Regression Test” directs our attention away from the what and toward the how: how the menrionic’s memories and reasoning do and don’t reflect the ways of Olusola’s knowing and being and her relationships with and within their community, and how Titilope herself continues to know and relate to the beloved and complicated person who was so important to her, even though that person is gone. 2.5 UTILITARIANISM
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Utilitarianism is an approach to ethics organized around the idea of happiness. Like virtue ethics, utilitarianism is an outcome-based approach to ethics that assumes that human beings are motivated by the desire to be happy. Building on the basic assumption that humans are motivated by happiness , utilitarians argue that when it comes to determining how we should act, we should first and foremost consider what kinds of actions bring about the most happiness for the greatest number of people. This is known as the principle of utility or the greatest happiness principle . 2.5.1 O VERVIEW OF U TILITARIANISM Maximizing happiness sounds great, but in order to make that happen, it’s necessary to have a definition of happiness that works for everyone who is impacted. So, what is happiness? One of the most well-known proponents of utilitarianism, John Stuart Mill, supplied a definition of happiness within his own definition of utilitarianism, defining it as follows: The creed which accepts as the foundation of morals, Utility, or the Greatest Happiness Principle, holds that actions are right in proportion as they tend to promote happiness, wrong as they tend to produce the reverse of happiness. By happiness is intended pleasure, and the absence of pain; by unhappiness, pain and the privation of pleasure. (Mill 2002, 239) What Mill was suggesting is that pleasure and pain are what matter in measuring happiness. Happiness here refers to a state of mind that can be determined on the basis of how people interpret their experiences or how they assess the amount of pleasure found in a person or community. Later philosophers have debated what exactly counts as pleasure, whether the concept of pleasure alone is enough to describe the intrinsic value that should be maximized, and what the critical value is otherwise (Feldman 1997), but all utilitarians agree that there is some form of basic good that should be promoted as much as possible. Utilitarianism is a form of consequentialism, which is a category of ethical theories that focuses primarily or solely on consequences in determining the moral worth of an action. (Virtue ethics is also technically consequentialist because it is focused on outcomes, though its focus on
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character means it is not often categorized that way.) However, the choice to focus on consequences still leaves open a major question: whose consequences should be considered? Should we strive to create positive outcomes for everyone, or just for a chosen few? Different forms of consequentialism answer this question differently. According to ethical egoism, each person should prioritize their own well-being over others’. According to ethical altruism, each person should improve others’ well- being without regard to their own. In contrast to both of these, utilitarianism requires that everyone’s well-being counts equally; as such, the individual ought to reason about their own happiness in the same way that they ought to reason about the well-being of others. This mode of reasoning is sometimes referred to as “agent-neutral” (Parfit 1984, 27) because the agent does not put herself in a special category. Everyone, no matter their position in life, counts as one. One of the strengths of utilitarianism is that it strives to be universal, and it does so because, in principle, it presupposes that all individuals are of equal worth. This is called the principle of equality. No one person’s happiness is more important than another’s. Those who advocate for a utilitarian framework, historically, have also been deeply concerned with the freedom of the individual and the creation of a just social structure in which individuals can pursue happiness without fear. Utilitarianism is an incredibly influential theory with broad appeal because of its apparent objectivity and concern for equality. We say “apparent” because achieving complete objectivity is impossible when making value determinations. It may be the case that the central formula of utilitarianism is purely impartial in its abstract form, before key parameters are assigned. But it is impossible to apply the calculation until the parameters have been determined, and therefore determining those parameters necessarily involves making important moral judgments. Imagine, for example, that you work for a college preparatory program for high school students and that you are in charge of awarding full scholarships to a small number of admitted students, on utilitarian principles. What parameters should be used to determine who should get the scholarships? Do you select the students whose academic work is strongest, the ones who seem most likely to benefit from the prep course, or the ones whose financial need is greatest? If you decide to use a
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combination of these three (and possibly other worthy parameters), how do you determine an appropriate balance between them, and how do you implement that balance? And once you have decided what kind of parameters you will use, how do you measure them in a way that can be meaningfully compared among all the students? Keep in mind that even numerically objective metrics like grade point average or household income are not necessarily good proxies for the things you are trying to measure and compare: different high schools have different academic standards and opportunities, and a family’s annual income doesn’t capture important aspects of their financial reality, such as meeting ongoing medical expenses. As even this brief and simplified example shows, utilitarian decision making always requires the moral agent to make value judgments along the way, even though those value judgments are aimed at achieving a just and impartial outcome. If you hear someone calling utilitarianism “objective,” it’s because they are ignoring (or have not noticed) that crucial part of the utilitarian process. To get a group of reasoners to agree on the merits of utilitarianism’s central formula is, by itself, significant: it means that the group has agreed that the consequences of voluntary actions is what matters in ethics, and that the best way to reach agreement about how to act lies in assessing what brings about the most happiness for the most people. And even then, reasoners who share these presuppositions may still disagree sharply with one another about foundational ethical ideas (for example, what counts as pleasure and pain?), to the point that they cannot find common ground. As with the other ethical frameworks, the principles of utilitarianism constitute a common language, but this doesn’t mean that all the people speaking this language are saying the same thing. 2.5.2 C LASSICAL U TILITARIANISM Because John Stuart Mill ([1859] 2002) and Jeremy Bentham ([1789] 1996) are generally understood to be the first thinkers to develop systematic accounts of utilitarianism; they are sometimes referred to as classical utilitarians. Mill and Bentham—both nineteenth-century British philosophers—developed theories of ethics that could then be used to critically assess and inform law and social policy (Driver 2014).
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Many early utilitarian thinkers thought of ethics as a science, in the sense of being a systematic study that pertains to knowledge. But even though they adopted an approach to ethics that was similar to other human sciences like psychology or sociology, they understood their field of study to involve a different kind of critical practice. Whereas other fields use empirical evidence of human actions to describe what human behavior is like more generally, ethics examines empirical evidence in order to understand norms of action: what “ought” to be the case, or what is “right.” Henry Sidgwick (Sidgwick [1874] 1981), another important early utilitarian thinker who defended and built upon the ideas of Mill and Bentham, considered the study of ethics to be similar to that of politics: politics was, in his view, a science that deals with how communities ought to be structured and what is right for society as a whole. Ethics, to Sidgwick, is also aimed at evaluating what is right, although instead of focusing on communities, it considers the voluntary actions of individuals. Because it defines the good in terms of pleasure and pain, classical utilitarianism is sometimes associated with what is known as ethical hedonism. The concept of hedonism (from hēdonē , the Greek word for “pleasure”) is sometimes defined as excessive self-indulgence and the pursuit of pleasure and is understood to be negative. However, in the context of ethical theory, hedonism is simply the belief that pleasure is the highest good and proper aim of human life, and that all the basic goods of human life can be understood as forms of pleasure. Though ethical hedonism goes at least as far back as ancient Greece, classical utilitarianism and its successors are relatively recent compared to the other traditions we examine in this chapter. Utilitarianism, as an ethical framework, developed mostly in England growing out of the developments in the eighteenth- and nineteenth-century European intellectual tradition, including a belief in the possibility of objectivity and a commitment to empiricism. Because this same intellectual tradition still serves as a baseline for many people in the English-speaking world and in other places influenced by English culture, utilitarianism can appear as if it makes no metaphysical assumptions at all. In fact, it would be more accurate to say that utilitarianism rests on the same assumptions about knowledge and action that many of us in the English-speaking world still take for granted.
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2.5.3 P REFERENCE U TILITARIANISM Preference utilitarianism is typically associated with the work of British philosopher R. M. Hare (1981), who was strongly influenced by Kant as well as by classical utilitarianism. Hare arrived at his theory through trying to answer a meta-ethical question: What kind of statement is a moral statement? In Hare’s view, moral statements are prescriptive , expressing a commitment to a certain course of action (e.g., it would be logically inconsistent for a person to sincerely say “I ought not to lie” and then to lie). He further argued, following Kant, that they are also universalizable (e.g., a moral claim of “I ought to lie to you” in a given situation also implies “you ought to lie to me” if all the relevant details of the situation were the same but I was in your position and you were in mine, mentally as well as physically). The combination of prescriptiveness and universalizability led Hare to a standard for evaluating moral statements: To claim that we ought to do something, we must be willing to make the same claim from the perspectives of everyone affected. This, Hare argued, leads to a utilitarian decision procedure in which we weigh these individuals’ perspectives against one another. By considering what each stakeholder would have chosen based on their personal desires and values, this procedure treats preference satisfaction as the primary good. Promoting pleasure is still important to a preference utilitarian. If we assume that, all else being the same, a person would rather have more pleasure than less pleasure by definition, then pleasure falls under the category of a person’s immediate preferences: their present wishes for their present self, and their future wishes for their future self. But preference utilitarianism also emphasizes the importance of a person’s present wishes for their future self. To understand how these are meaningfully different, consider the tale of the epic hero Ulysses (also called Odysseus), who survived the deathly song of the Sirens while sailing home after war. The Sirens’ enthralling song would turn a person suicidally irrational as long as they heard it, but it was also said to contain divine wisdom. Ulysses wished to hear the song but didn’t want to die in the process. He therefore ordered his crew to plug their own ears and tie him to the mast, and to ignore any orders to untie him until they had made it safely past the Sirens. As predicted, the influence of the song gave Ulysses a desperate desire to leap
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overboard, and he began to demand his release. But his crew followed his previous orders to leave him bound—they sacrificed the preferences he developed while enthralled in order to fulfill the preferences that he had expressed beforehand. This tale lends the name to present-day psychiatric Ulysses contracts . Suppose that a patient is receiving treatment for a condition. The patient wants their future self to complete the course of treatment but anticipates that a relapse might cause their future self to try quitting treatment early. A Ulysses contract would allow the current preference for continuing treatment to override the future preference for stopping (Spellecy 2003). Another category considered in preference utilitarianism is external preferences , preferences about things outside of the preference-holder’s experience. For instance, suppose I prefer for my friends not to gossip about me. Such gossip could make me suffer directly if I find out about it, or indirectly if it causes people to treat me worse. But it is possible for my preference to be violated without affecting my experience at all; for example, a friend slanders me in my absence to someone I will never meet. Likewise, people often have wishes for what will happen to their body and possessions after they die, even though they will not be around to witness the outcome. Preference utilitarianism gives these wishes direct moral weight. One of the most influential applications of preference utilitarianism is Singer’s work on bioethics (1994). Classical utilitarianism struggles to accommodate the fact that people tend to view murder, even painlessly killing a miserable person or sacrificing one person to benefit several other people, as almost always immoral. For Singer, beings who are capable of thinking about their own future state, such as adult humans and other great apes, usually have a very strong preference to keep living; a general guideline against killing them is useful because doing so would typically violate their preferences so severely that the violation would outweigh anything that would be gained from the act. 2.5.4 V OLUNTARY A CTION All four frameworks acknowledge the difference between voluntary and involuntary actions, but deontology and utilitarianism both treat voluntary
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action as much more morally significant. Yet utilitarianism is particularly geared toward releasing moral actors from responsibility for involuntary actions. To understand what voluntary action is, consider the following. Imagine that you are skiing down a mountain and suddenly hit a bump and tumble to the ground. You are not badly hurt, so you begin to get up. Then another skier notices you but cannot stop. In order to avoid running into you, the skier quickly steers away from your direction, failing to notice a tree nearby. That skier hits the tree and is knocked unconscious. When they awake they have no memory of who they are, and are forever changed by the experience. In such a situation, who is to blame for the other skier’s accident? The simple answer to this question, according to utilitarian logic, is that although you were technically the cause for the other person’s injury, you did nothing wrong. You did not choose to fall, nor did you choose to distract the other skier and cause them to become injured. Now, there is always the possibility that you acted in an unethical way; for example, you might have failed to wait long enough before heading down the mountain, or if you were an amateur you might have been trying to impress your friends by going down a slope that was beyond your ability. But even then, the utilitarian might argue that when you—and the person you caused to fall —decided to go skiing that day, you both accepted certain risks that come with skiing in a public environment. By this reasoning, although it is unfortunate, and even tragic, that a person was injured as a result of your fall, you are not morally to blame. At first, it might seem like this approach to ethics is limited because it focuses solely on an individual actor and the results of particular decisions without considering how society affects decision making. Isn’t it the case, one might point out, that in many ways society determines the kinds of choices we make and what is acceptable and what isn’t? After all, who is to say that skiing is an acceptable risk to take? What about drinking heavily? What about participating in a clinical trial? What about selling stolen goods on Craigslist? What about buying stolen goods on Craigslist? What about attending a contentious protest? You may find it confusing that an ethical framework organized around consequences would be so concerned with what a moral actor has chosen (or not chosen) to do. But this focus on voluntary vs. involuntary
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action makes more sense in light of how utilitarianism conceptualizes human beings, and what makes it possible for us to be moral at all. Utilitarianism presumes that human beings are capable, not only of reasoning about how to live and act but also of communicating their reasoning process to others. These capacities are what make it possible for us to talk as a society about why some actions are justified and others are not (and, as such, make the judicial process possible.) For more on this see chapter 4, where we discuss Locke and his notion of personal identity. 2.5.5 M ODALITIES FOR J UDGMENT The central formula for utilitarianism, known as the principle of utility, is often presented as a universal, objective standard that can be used to determine the moral worth of human action. But as we have seen above, it is always necessary to make some basic value determinations first. The key parameters in utilitarianism can be understood when we ask the following: Who comprises the group whose well-being is under consideration? After all, everyone who is part of the calculation may not actually benefit from a given utilitarian decision. There are usually some, and often many, in this group who will pay a price to contribute to the overall net good of everyone considered. What is the value, or cluster of values, that is being used to define good/happiness/utility? For example, in classical utilitarianism, pleasure is the most important factor in considering happiness. But what counts as pleasure, and what happens when different people experience different sorts of utility from the same kinds of actions or objects? When is the measure of success being taken? The calculation of consequences often looks different depending on whether you are looking ahead six weeks, or six months, or six years, or six decades. There is no easy way to decide what the “right” answers are for these categories in a universal sense, although there are almost always better and worse answers under particular conditions. Disagreements, therefore, cannot simply be a matter of miscalculating the consequences. When it
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comes to evaluating actions, people often have different points at which they begin their analysis with different ideas about who, what, and when. The “Who” There are two questions here. One is the question of who fits in, and the other is the question of whether it is appropriate to consider everyone as equal to one another. Here are some concrete examples of situations in which the “who” is contested: Factory farming : Who matters, and how much? Consumers, who want to spend less, or want a particular variety or quality? Vendors and ranchers, who provide the meat? Processing plant workers, who often suffer from the hazardous conditions typical to meat processing plants? Stock animals, who become the meat? Organ donation : Who matters, and how much? How should the cost to the person donating an organ be weighed against the benefit to the person receiving it? What sort of incentives are fair or appropriate to offer to donors? How will the possibility of an organ transplant change the family dynamics of a person who needs one, given that family members are often the best matches? A shift in organ donation policy doesn’t just affect patients and doctors. It also affects family members and friends of patients. Furthermore, it affects people who are ill and are considering treatment, or who might be eligible for treatment only under certain conditions. An analysis that looks only at actual patients could be wildly skewed by failing to consider potential patients (Purtill 2018). Traffic and surveillance cameras : Who should be watched with traffic cameras? Who is being protected? What is the cost of protecting them, and who bears it? Cameras are becoming more common in public, private, and semiprivate workplaces and spaces. Cameras can potentially reduce the number of traffic accidents by catching more speeders (Vincent 2018); however, these same tools make it easier for governments, as well as other organizations and entities, to surveil. In each of these examples, there are people who will argue that the other side has no moral standing: that the well-being of animals is less
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important than that of humans, or that people who are caught breaking the law are less entitled to its protections. Where utilitarians are likely to differ, however, is in the degree of importance that they assign to the significance of the welfare of these entities as compared to a person. For instance, according to some preference utilitarians like Singer (1994), fetuses and many animals lack the ability to think about the future and therefore have preferences only about their immediate experience, so decisions about killing them are less weighty than decisions about killing adult humans with a host of wishes about their own future lives. The point, however, is that the situation may shift dramatically when we consider whose well-being is being considered and why. Most decisions affect far more people than it might first appear. The “What” Even when you consider one person in isolation, it is difficult to pin down what constitutes maximizing their happiness when you consider all the different kinds of things that might count. For instance, consider the satisfaction of finally getting a challenging program to compile, run, and produce useful output; the joy of reading a clear and well-presented explanation; or the pleasure of playing a well-crafted and engaging game. Most utilitarians would agree that these are all ethically positive experiences, but how do we value them in comparison to each other. For example, how many hours of gaming is it worth to finish your final project? Can these two things be meaningfully compared at all? The question of comparability was a point of disagreement between the founding figures of utilitarianism. Mill contended that “higher” pleasures such as poetry are intrinsically different and more worthwhile than “lower” pleasures like eating, whereas his predecessor Bentham made no such distinction, treating pleasure solely as a matter of quantity rather than quality. Preference utilitarians leave it up to the individual affected to choose what they value most. The “When” The question of timing is especially important when we are trying to determine how suffering is measured against utility. To what extent should
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we accept suffering now if it will create greater happiness later on? What about immediate happiness in exchange for later suffering? Consequences of an action can reach far into the future, and consequences farther into the future become harder to predict. To deal with this, people have a bias toward placing greater importance on the consequences that come sooner, a phenomenon that economists call discounting . Discounting is also invoked on purpose in sequential-decision- making artificial intelligence (AI), to make it computationally possible for an agent to reason about an infinitely long future. But prioritizing sooner outcomes can cause trouble when there is a large difference between the short-term and long-term impacts. In the case of climate change, for example, its future effects could be drastic and damaging, but this knowledge rarely impacts individual, corporate, or societal decision making to a degree that is proportionate to the damage that we know it will do. 2.5.6 C ALCULATING G OOD O UTCOMES Once we have a clear theory about what values matter and for whom, it is still challenging to put the theory into practice. To make a decision with the best possible consequences, we have to calculate what those consequences are. The complexity of filtering through many options that could affect many people in many ways, plus our cognitive biases and the limited amount of information available to us, make the calculation process difficult and inevitably imperfect. If everyone attempted a thorough calculation every time they acted, it would leave them with little time to go about their lives, and they would often calculate poorly ; the end result would not be “the greatest good for the greatest number” at all! Fortunately, utilitarianism does not require that each person individually try to be an ideal utilitarian decision maker; in fact, it can acknowledge the value of rule following. Unlike in deontology, the rules in utilitarianism are “rules of thumb” rather than fundamental moral laws, bypassing the sometimes necessary but laborious and error-prone calculation process by presenting courses of action that tend to produce a good outcome much of the time. Utilitarian perspectives differ on the level at which most of our evaluations should take place. They exist on a spectrum from act
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utilitarianism , which evaluates each action on its individual consequences, to rule utilitarianism , which posits that we should follow rules chosen to bring about the greatest overall good. Hare’s account (1981) famously calls for a “two-level” model of moral evaluation: We should rely on general, intuitive principles for most everyday decision making and deploy critical reasoning to analyze the specifics of a situation in which special circumstances occur, such as a conflict between intuitive principles. 2.5.7 S TRENGTHS AND W EAKNESSES OF U TILITARIANISM: D OES E VERYONE R EALLY C OUNT AS O NE? Sometimes, the questions of “who? ” and “how much? ” are inseparable. For example, if you are at war, are you obligated to consider the citizens of the opposing country in your calculations? How should you weigh their well-being, compared to that of your fellow citizens? But even if we stick within our own society, should people who are exceptionally beloved or talented matter more than “ordinary” people? Most utilitarians would agree that some people do deserve special consideration but might disagree about the reasons for such considerations. Consider, for instance, the proposition that people with special talents are in a better position to contribute to overall well-being. Do these people deserve special consideration? That is, should we value the life of a virtuoso musician, a promising medical researcher, or a record-breaking athlete more than the life of an ordinary person? This approach involves broadening the scope of “the greatest number” to include all present and future people who might be affected by the public contributions these individuals make. For many utilitarians, this is a compelling reason to argue that not every individual should be counted exactly the same. The other reason offered for prioritizing some people over others is relational—that is, it concerns the individual reasoner’s personal relationship to those who are affected by the decision. Is it acceptable to privilege people in your own group? The principle of equality demands that we answer “no” to this question. And yet the answer gets more complicated when you consider the details. Should family members and close friends matter the same as strangers? What about people who share your worldview and who probably seem to you to have a more honest and accurate
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understanding of reality? Should you show preference for people to whom you are financially bound—bosses, employers, clients, or stockholders? If not, how can one get the necessary distance to weigh them appropriately? Giving some individuals special consideration softens the purely agent-neutral approach found in more strictly egalitarian forms of utilitarianism. It bears some similarity to the deontological notion of particular duties or obligations. Sidebar: Utilitarianism and Machine Learning Although artificial intelligence seems to be progressing quickly, we are still some distance away (long or short, depending on whom you listen to) from fully automated self-driving cars and self-conscious artificial agents. Nonetheless, people are already asking questions and developing protocols for building ethics into artificial intelligence (Yu et al. 2018). Now that we know something about utilitarianism, let us consider the question: Can a machine be taught utilitarianism? As we have seen, utilitarianism is based on maximizing some form of welfare, whether promoting pleasure and preventing suffering in classical utilitarianism, or fulfilling a wider variety of desires in preference utilitarianism. Aside from the question of whether a robot itself can have interests that should be taken into account, is it possible to program a robot to reason about furthering humans’ interests? Is it possible to equip a robot with a utilitarian framework for decision making? One of the major issues that arises when this is attempted concerns the fact that decision-making frameworks must rely on models. This means that programmers must know something about ethical dilemmas and also about what kinds of actions count as ethical. In order to identify cases in which ethical dilemmas arise, moral perception is needed. Before we can program moral perception into artificial beings, we need to consider the limits of human perception. For instance, imagine that you are walking down the street and you see a man attack an old woman, grab her purse, and shove her to the ground. You witness this act and feel bad for the old woman but now the man is running
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toward you. What do you do? Are you responsible for risking your own safety and trying to stop this man? Minimally, should you call for help? Now imagine a futuristic version of the scenario where a robot is in the same situation and has the capacity to either (1) taze or somehow injure the robber or (2) set off a siren for the police. Is the robot morally responsible to act in a certain way? When we consider the human agent in the situation, it seems necessary to take into account the risks involved if that person were to try and stop the robber using physical violence. The robot’s integrity might be at stake—in other words, it might be injured or harmed in some way—but does it have a concern for its own well-being? If it was built to have concern for its well-being, should that well-being be considered over the loss of property for the old woman? Note that these are not new questions and are famously addressed in I, Robot by Isaac Asimov (Asimov 1950). Whenever we describe ethical dilemmas, we almost always fit in information that might be irrelevant to a robot. Does it matter that the victim was an “old woman”? What if the victim was a younger, athletic- looking person? Would you feel the same obligation to act? Or would the siren be sufficient? What if it was an old woman stealing the wallet out of a young man’s suit coat? Should the robot injure the old woman, or set off a siren? Before machines can make moral decisions we need to be clear about all the factors that we as human beings might consider when we are making an ethical judgment. Is there some way to come to agreement about, for instance, which kind of people require assistance and which kind of people can fend for themselves? Are we willing to let a machine make these judgments, or alternatively, simplify them into rule-of-thumb principles and program those principles into a machine? Who is responsible when that machine makes a choice that society deems unethical? Would it be the programmer? Or the company that pays and directs the work of the programmer? If it is the company’s responsibility, can we evaluate the company as an ethical agent? Or are we pushing the question of ethics to the legal sphere? Insofar as a programmer is voluntarily programming machines to behave in certain ways, and insofar as those behaviors hurt others, couldn’t we hold the individual programmer (or team) morally responsible? What about the
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company? Lots of groups are looking at questions like these; for example, refer to the survey of Fjeld et al. (2020). Story Point: “Message in a Bottle,” by Nalo Hopkinson “This fucking project better have been worth it.” “Message in a Bottle” follows the main character, Greg, in his quest to understand value and gain success as an artist. The story communicates the risks and challenges of utilitarianism: the difficulty of reasoning impartially about what is valuable, or how best to distribute that valuable thing; the very real trade-offs that come with trying to encompass everyone (whatever “everyone” means) in one’s determinations about who deserves value or recognition; and the challenge of conceptualizing value in an enduring way, as a future-oriented form of ethical reasoning demands. 2.6 CONTEMPORARY DEVELOPMENTS IN ETHICS The four frameworks discussed above have endured and remained influential, in large part, because of their explanatory power: they equip us to perceive and make sense of the world even through a variety of changing conditions and circumstances. Yet in the past 75–100 years, these frameworks have come under considerable criticism by people who perceive them to be significantly inadequate, or even actively harmful. In some cases, these critics point to long-standing failures of these frameworks that have only recently gained traction in public discourse. In other cases, critics of the traditional frameworks argue that the dramatic technological shifts of the last century have created the need for new ways to understand how to live and act well in our transformed and still-transforming world. This section briefly introduces three of these new approaches to ethics that have emerged in the past 75 years. These new approaches all draw on the older traditions described above, as well as critiquing them. 2.6.1 R ESPONSIBILITY E THICS
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All ethical frameworks are grounded in some account of what human beings are and what kinds of action we are capable of. Deontology and utilitarianism in particular lend themselves to understanding human beings primarily as actors, whether as knowers, doers, creators, or lawmakers. In contrast to these more action-centered approaches, responsibility ethics is an approach to ethical reasoning that begins with the notion that human beings are not only or even primarily acting beings but are beings that are constantly reacting—responding—to powers, forces, and events that are beyond our control. The scale and scope of moral action therefore cannot be confined to individuals as intentional actors. In fact, as responsibility theorists point out, the emphasis on human action, along with the attitude of optimism that it breeds with respect to human power and potentiality, has amounted to humans acting in unrestrained ways in the world, without sufficient attention to the wider system of forces, events and beings of which we are a part. This attitude has led to limitless industrialization and production of resources that is now putting the future of humanity at risk. But though the future we have created for ourselves is bleak, it is not cause for despair; rather, it’s a starting point for thinking about how we can act responsibly in a complex and interconnected world. Responsibility ethics is an approach that developed in religious ethics in the wake of the Holocaust, the systematic murder of nearly 11 million people by the Third Reich (primarily Jews, but also Catholics, LGBTQ people, Romani, and political dissidents of all stripes) during World War II. In the years after the war, Christian and Jewish thinkers alike concluded that new approaches were needed to reckon with the previously unthinkable scope and scale of that event. They observed that such efficient, bureaucratized slaughter was possible only because of recent technological developments, which made both the transportation and killing more efficient and which enabled both soldiers and civil servants to play a role in the killings without having to confront their own actions directly. A few decades later, German Jewish philosopher Hans Jonas turned the core insights of responsibility ethics toward the issue of environmental degradation, arguing that humankind’s reckless exploitation and destruction of the natural world was similarly both life-threatening and morally disastrous (Jonas 1984).
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Responsibility ethics contends that the major Western approaches to ethics—deontology, virtue ethics and utilitarianism—are not sufficiently attuned to how large, complex, and interdependent the world is. These other approaches, according to responsibility ethics, understand cause and effect in a narrow and limited way. In some cases, the limitation is about focusing only on one’s community or one’s immediate environment; in other cases, it’s about focusing on a specific sphere of concern (such as economics or health) and excluding other interrelated spheres from consideration. But either kind of limitation necessarily simplifies the problems we perceive. And when our formulation of a problem is too simple and too narrow, it is impossible to act in a truly responsible way. Because of the complexity of the systems we inhabit, we rarely know the full scope of our actions. In this way, responsibility ethics offers a particularly sharp critique of utilitarianism—not because its aims are bad but because the idea that we could meaningfully anticipate the outcomes of our actions is, according to its premises, both naive and unrealistic. The framework of responsibility ethics could, in principle, be useful at any moment in history. But its concerns are made more urgent by recent developments in technology, both by increasing our ability to act and by making it even harder for us to perceive or understand the scope of the impact that our actions have. Technologies of all kinds extend our ability to act in the world, whether by protecting our bodies, making it easier for us to accomplish certain tasks, or amplifying the effects of the actions we take. In particular, the rapid pace of technological development in the last 150 years has dramatically extended our ability to impact the world, both as individual actors and as societies. This expansion of our ability to act has far outpaced our ability to adapt to an appropriate understanding of our own power. Even if we were already good at understanding the impacts of our actions, and even if we already took seriously the task of understanding the full scope of impact our actions have, it would be difficult to adjust to the changes. But in fact we haven’t done a great job of paying attention in the past. Some of the concerns of responsibility ethics are made more urgent by informational and computing technologies in particular because these technologies make it easy to put ourselves at a remove from the impacts of our actions, or even from the fact that we ourselves are the ones doing it.
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This enhanced ability to act at a distance is playing out at multiple levels of society. Many of these new developments would be classified and celebrated as advances, though through the lens of responsibility ethics it becomes clear that they also include great risks. Tele-medicine enables doctors to “see” patients at a distance and even perform remote surgeries; surveillance technology and weaponized drones have allowed military personnel and their contractors to distance themselves from the carnage of war. In order to cope with this burden of responsibility, and the difficulty of being responsible under these circumstances, responsibility ethics offers several core principles and strategies. The first is accountability to all life. This accountability can be clarified by breaking it into two dimensions: responsibility for our actions, and responsibility to living beings and to the environment. Another key strategy, proposed by philosopher Hans Jonas, is the “heuristics of fear,” a strategy of thought that might be described as a more pessimistic form of utilitarianism. The heuristics of fear requires that, when confronted with a choice, we assume that the worst of all possible future scenarios is what will come about as a result of whatever it is we do. Anticipating these bad outcomes, Jonas argues, will prompt us to be cautious. By choosing our course of action based on the bleakest possible scenario, we deliberately choose to not to take full advantage of our own power to change the world. We also accept responsibility for trying to make the world better, instead of assuming that it will fix itself for us. Story Point: “Codename: Delphi,” by Linda Nagata It was a kid. The battle AI estimated a male, fourteen years old. It didn’t matter. The boy was targeting Valdez and that made him the enemy. “Take the shot.” Karin sits behind a desk all day, but her work is life-or-death: she is a handler for soldiers in battle, keeping track of battlefield data and advising them accordingly. Karin is responsible for keeping her soldiers alive, and often that responsibility involves making sure they kill their enemies and destroy their resources. Both Karin and her soldiers maintain a tight focus
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on immediate goals and concerns. They do not even make reference to the larger war, much less debate the merits of its purpose or the ethical complexities of fighting an enemy that has far fewer technological and defensive resources. The soldiers don’t have time for these questions—and neither, notably, does Karin, who is physically safe and distant but emotionally and experientially close. By taking us through one harrowing shift with Karin, “Codename: Delphi” not only calls our attention to some of the ways that technology extends our ability to act; it also sheds light on how and why it is so difficult to take that extended power seriously, and why it is urgent that we do so. 2.6.2 F EMINIST E THICS As we have shown, the major ethical traditions have all been criticized for preserving and replicating power imbalances. The structures that shape our world were, by and large, imagined and implemented by the people who already had leisure, resources, and social power. As a result, the voices and perspectives of the least powerful and cared-for in society have largely been excluded from how they were created and applied. Though all the frameworks described above all seek to protect (and even elevate) those less powerful members of society, their notions of how to accomplish this are still mostly limited to how powerful people think about it; the perspectives and insights of the less powerful themselves are largely excluded. This limitation, critics argue, makes these frameworks insufficient to combat “the pattern, widespread across cultures and history, that distributes power asymmetrically to favor men over women, creating and maintaining social institutions and practices that systematically put men’s interests and preoccupations ahead of women’s” (Lindemann 2019, 10). Feminist ethics is an approach to ethics that aims to repair the ramifications of this long-term exclusion by focusing on the lives, experiences, and concerns of women and other disempowered persons. It frequently centers emotional ties and empathy, not only as goods in themselves but also as sources (often unacknowledged by traditional Western ethics) for our reasoning about others (Gilligan 1993; Held 2014). Rather than offering a single unified theory of ethics, feminist ethics offers “a way of doing ethics” (Lindemann 2019) shaped by “the needs of those
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one cares for in relational contexts” rather than by “abstract, universal principles” (Norlock 2019). In focusing on societal patterns of power and disempowerment, feminist ethics seeks to correct for imbalances that it perceives in the traditional Western frameworks. These imbalances include focusing on isolated autonomous actors, at the expense of recognizing our interdependence and the constraints that shape our choices (Jaggar 1992; Lindemann 2019); emphasizing public issues at the expense of private ones (Noddings 1984); and treating abstract versions of a given problem as more real than specific instances (McLaren 2011). This focus on the public and the abstract, feminist ethicists contend, works to obscure the realm of private and interpersonal experience and by extension trivializes any insights or modes of reasoning that emerge from taking that realm seriously (Jaggar 1992; McLaren 2011; Noddings 1984). For instance, consider a variant of the dilemma originally posited by Lawrence Kohlberg and developed by Carol Gilligan (Gilligan 1993). In the original, a man steals a drug that his wife needs to survive. Kohlberg argues that one can look at this as an issue of the man’s virtues, for instance, or his duties to the law and to his wife. Gilligan, taking a feminist ethics lens, argues that it is just as important to look at the systems of oppression that deny his family insurance that would cover the cost of her care (by relegating them to working as Uber drivers or university adjunct instructors, for example) and at the environment in which they live, and how her ill health has led to their poverty, which in turn creates the conditions for poor health. Because of its attention to care relationships in the context of systemic power imbalances, feminist ethics is especially useful for understanding how different forms of systemic oppressions interact and reinforce one another. Although early feminist ethics tended to focus solely on women’s disempowerment, later waves have expanded to encompass LGBTQIA + people, Black and indigenous people of color, and other minoritized communities as within their sphere of concern. Overviews with many references can be found in Norlock (2019) and Lindemann (2019). The relational structure of feminist care ethics can help illuminate dimensions of human experience that are often overlooked by the classical Western frameworks. One example of a concept made visible by feminist ethics is emotional labor (Hochschild [1983] 2012). This term, coined by
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sociologist Arlie Russell Hochschild, describes jobs that require the worker to express or suppress specific emotions, such as the warmth and friendliness that is often expected of service workers in the United States, regardless of how they are being treated. Although almost any kind of paid work requires labor of some kind, emotional labor jobs are distinctive because those workers are hired for, and evaluated by, their ability to “manage and produce a feeling” when relating to others (Beck 2018). Fields that require significant emotional labor, such as childcare and customer service, typically have a large percentage of female employees; workers in these same fields often struggle for professional credibility, on the grounds that their emotional labor is not recognized as work (Fairchild and Mikuska 2021; Kruml and Geddes 2000). Although every ethical framework deals extensively with the importance of managing one’s own emotions, none of the traditional Western frameworks pay attention to the dynamics or demands of care work in the manner that feminist ethics enables us to do. This oversight not only obscures an important dimension of human social relationships but creates the conditions for emotional labor to continue to be undervalued. Another type of labor or work made visible through feminist ethics is invisible work. The traditional concept of work is those activities that we “have to do” as part of our paid work. The discussion of invisible work originally began with the observation that work typically associated with women, especially in the home, is unpaid and many times not recognized as work (Daniels 1987). The underlying idea is that many things can affect how and what we count as work, and often work that happens in private and/or is largely done by women or minorities has historically not been counted as work. This type of devaluing is clearly illustrated, for instance, in the way national gross domestic product (GDP) is computed: if a parent stays home and provides child care, this is not reflected in GDP. However, if the parent obtains a job and then pays someone to provide child care, then both the income from the outside job and the payment to the child-care provider are tracked as part of GDP (Glynn 2019). As we discuss in chapter 3, this is one example of how we choose to report data is a value-laden proces. The concept of invisible work has been expanded in recent years to address the process by which some work is made invisible for particular
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reasons, such as outsourcing or contracting to reduce the number of official employees (Crain et al. 2019). Feminist ethicists have provided important perspectives on technological developments and their interaction with larger societal structures. Examples include feminist responses to the misogyny and other biases in the gaming culture, and the #GamerGate backlash; ethicists have engaged with both the gaming culture (“geek masculinity”) and the backlash (Braithwaite 2016); a general response to online harassment and violence (Puente et al. 2019), and the ethics of digital vigilantism (“digilantism”) (Jane 2016). This list focuses on online culture; others have analyzed the culture of computer science and computer technology (e.g., Schinzel 2018) or computer research ethics (e.g., Toombs et al. 2017) from a feminist viewpoint. Others have looked at the many issues entangled with fairness, accountability, transparency, and the like (see, e.g., Gebru 2020). Story Point: “Today I Am Paul,” by Martin L. Shoemaker Today I was Susan, Paul’s wife; but then, to my surprise, Susan arrived for a visit. She hasn’t been here in months. In her last visit, her stress levels had been dangerously high. My empathy net doesn’t allow me to judge human behavior, only to understand it at a surface level. I know that Paul and Anna disapprove of how Susan treats Mildred, so when I am them, I disapprove as well; but when I am Susan, I understand. She is frustrated because she can never tell how Mildred will react. She is cautious because she doesn’t want to upset Mildred, and she doesn’t know what will upset her. And most of all, she is afraid. Mildred, an elderly woman with dementia, spends her days being cared for by a highly advanced care android. Because the android is able to physically and emotionally emulate people, Mildred does not realize that the android exists; she believes that people she knows and loves are visiting her every day. The android’s presence spares Mildred’s son, granddaughter, and daughter-in-law some of the worries and responsibilities they might otherwise have borne. But it also makes it harder for them to stay connected to Mildred or to provide care for her in ways that they want to or that they
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might find beneficial or comforting despite its challenges. Mildred’s own situation—and the situation of the family who chose it for her—raises vital questions about care relationships: what counts as care, what we gain by giving it, and what is at stake when we decide to outsource it to programmed entities. 2.6.3 T HE C APABILITY A PPROACH Capability is an approach to ethics that was derived and adapted from a broader normative framework used across many fields. It aims to create the conditions for people to fulfill their potential, not by celebrating freedom in the abstract but by paying attention to the practical conditions of people’s lives—the actual freedoms, resources and opportunities that are available to them. Accordingly, it evaluates both individual actions and broader social policies in terms of how they support people’s capabilities and thus their functionings : that is, the resources that they draw on (capabilities) in order to do and to be in the ways that matter to them (functionings). The Capability Approach (CA) was first introduced by the economist Amartya Sen in the 1980s, in response to trends in political theory and the international policy that (Sen argued) were narrowly focused on economic growth at the expense of human well-being. All forms of this versatile framework are rooted in a political vision of real, feasible human freedom, in which people have the opportunities to live and act in ways that they themselves value. CA has been developed as an ethical framework by the philosopher Martha Nussbaum and others, but it is frequently used in economics and political science and has been especially influential in the field of international development (Torrente and Gould 2018, 596). Like utilitarianism, CA is consequentialist and pragmatic, and it relies on factual, empirical data. But unlike utilitarianism, CA is concerned primarily with creating the potential for good outcomes. This focus on potentiality means that it is able to take seriously an individual’s actions, their ability to choose, the importance of their own individual goals and preferences, and the circumstances that shape and constrain their lives. Rather than focusing primarily on individual agents acting in pursuit of the good, CA focuses on the development and organization of society. And rather than insisting on the possibility of free action localized in the human
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individual, it emphasizes the conditions that make it possible to expand the capacities for action itself. Instead of simply valuing freedom in the abstract sense, CA examines people’s real opportunities to do and be what they have reason to value. Capabilities are the resources that individuals have. Those resources include material goods such as money or property, shelter, and food, but they also include intangibles like health and access to education, transportation, and other intangible resources. Although Sen did not think there is or should be a list of core capabilities, Nussbaum’s adaptation of CA has proposed a list of what she calls basic capabilities , which emphasizes human dignity (Nussbaum 1997; Sen 2005). The 10 basic capabilities are being able to live a normal lifespan; having good health; maintaining bodily integrity; being able to use the senses, imagination, and thought; having emotions and emotional attachments; possessing practical reason to form a conception of the good; having social affiliations that are meaningful and respectful; expressing concern for other species; being able to play; and having control over one’s material and political environment (see Nussbaum 2000, 33, paraphrased from Jacobs 2020). Furthermore, Nussbaum explicitly stresses the importance of both the internal and external conditions, distinguishing between internal capabilities and combined capabilities. Internal capabilities are “the characteristics of a person (personality traits, intellectual and emotional capacities, states of bodily fitness and health, internalized learning, skills of perception and movement)” (Nussbaum 2011, 21). Combined capabilities are thus the internal capabilities in combination with the relevant external conditions. Whether a particular person has a particular capability depends both on the state of the person and on the barriers that they encounter. Barriers could include availability of resources—money, food and water, electricity, material goods, and jobs—or accessibility. For instance, someone might live in a time and place in which jobs or leisure activities might be available, but because of transportation issues or a lack of internet access, those things are not meaningfully available to that person. The example of the bicycle is frequently referenced to illustrate this point (Sen [1985] 1999). For one person, a bicycle could enable them to get to a job or leisure activities, which greatly increases their options. But for someone unable to ride the bicycle, it does not. The imperative that comes out of this is not to
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stop providing bicycles, but rather to consider the individual’s situation and their ability to make use of the bicycle. In some cases, capabilities are best supported when the political state does not intervene in people’s lives. In other cases, supporting people’s capabilities requires social or political policies to make sure that capabilities are available to all. Consider, for example, wheelchair-accessible public spaces (Nussbaum 2006). Simply supplying someone who cannot walk with a wheelchair is insufficient if they are excluded from political participation by inaccessible voting places, rallies, or courts. While museums and movie theaters may provide capabilities of play and leisure, a lack of ramps or elevators limits some people’s ability to transform these capabilities into functionings. Though CA is concerned with both the individual and the context in which that individual is situated, it was originally developed to address governmental, institutional, and society-level choices more than individual choices. It therefore helps us address big-picture questions about technological development, and for that reason it is worth considering. For individual decision making, CA is often paired with a political theory of justice or with another ethical framework, typically virtue ethics. Story Point: “Welcome to Your Authentic Indian Experience™,” by Rebecca Roanhorse “So,” White Wolf says, “tell me about yourself.” You look around the bar for familiar faces. Are you really going to do this? Tell a Tourist about your life? Your real life? A little voice in your head whispers that maybe this isn’t so smart. Boss could find out and get mad. DarAnne could make fun of you. Besides, White Wolf will want a cool story, something real authentic, and all you have is an aging three- bedroom ranch and a student loan. But he’s looking at you, friendly interest, and nobody looks at you like that much anymore, not even Theresa. So you talk. Jesse Turnblatt doesn’t have a lot going for him. He doesn’t have close friends or strong community ties, and he’s terrified that his wife is
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going to leave him. The only thing in Jesse’s life that’s going well is his job at Sedona Sweats virtual reality (VR) company, where he works as a Spirit Guide, offering American Indian–themed VR Experiences for Tourists seeking spiritual transformation. Jesse draws on movie stereotypes rather than his own heritage in crafting these “authentic” Indian experiences, and the Tourists love him for it. When Jesse does meet a Tourist who wants an Experience closer to Jesse’s own lived reality, Jesse’s life begins to unravel. Authentic Indian Experience raises many difficult questions about who gets to be “authentic” (and who gets to decide what authenticity means), but it also challenges us to recognize all the barriers in Jesse’s life—material, social, cultural, and political—that constrain his capabilities and limit his ability to be the person he wants to be. 2.7 CONCLUDING REMARKS: THE IMPORTANCE OF MULTIPLE FRAMEWORKS In this chapter we have shown that ethical frameworks are not a set of fixed rules to be memorized but rather are a variety of interpretive lenses that can furnish us with criteria for ethical description and reasoning, so that we can both judge value for ourselves and understand the viewpoints of others. The ethical frameworks that we have discussed—deontology, utilitarianism, virtue ethics, communitarianism, responsibility, feminist ethics, and capabilities—are all conceptually rich and dynamic approaches to ethics; each of them can support many kinds of inquiry and many kinds of normative positions. We have encouraged you to view ethics as a resource to describe and reason through issues, and to remember that the framework, viewpoint, and process, can be separate both from your own ideology and from the conclusions you reach. Each framework answers the question “What is at stake? ” differently, because each framework takes up the work of ethics from a different starting point: duties, happiness, living well, the social nature of the self, the world around us, social patterns and equity, or the concrete freedoms available. In chapter 3 we build on what we have learned here and turn our attention to some of the fundamental units of modern communication and computing technologies: data and information. We examine one way of
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understanding the difference between data, information, knowledge, and wisdom, and how our understanding of these concepts can provide a valuable window into issues around the design, development, deployment, and use of information and communications technologies. REFLECTION QUESTIONS 1. What are the three ways in which people commonly misunderstand deontology? What are the shortcomings with each of these misunderstandings? 2. Consider an ethical quandary in your own life, or something you’ve read about recently in the news, which you can describe in terms of competing duties. What aspects of the situation could help you determine which duties are the most fundamental? What aspects of the situation could help you determine which duties are most relevant? 3. Recall our example in section 2.5 about deciding who should get a scholarship. Reflect on a time that you were either a part of or subject to a decision that required trading off various goods and measures. What were the measures? What was included and what wasn’t? Were all these measures meaningful or comparable? 4. One of the central challenges for utilitarian thinkers is breadth: including everyone who should be part of the “who,” including all of the relevant kinds of good (and harm) in the “what,” and thinking of the long-term consequences as well as the near-term ones . a. Why do you think this is difficult? Give a specific scenario where changing the “who” can lead to a vastly different calculus for outcomes . b. Are there any ways for utilitarians to get better at including everything and everyone that should be part of their calculations? 5. Think of a situation—professional, personal, or societal—that could have been better handled by those involved if they had given more weight to long-term consequences, as opposed to short-term ones. Why,
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specifically, do you think the long-term consequences were ignored or undervalued? What, realistically, could have helped the decision makers to consider or understand the long-term effects of their choices? 6. Think of a habit you have tried to adopt (or tried to break). What about it was easy, and why? What about it was difficult, and why? What personal qualities helped you succeed in (or prevented you from) altering your habit? 7. How do goals differ from virtues? Can you list some of your goals, and the virtues that could support you in working toward those goals? 8. Think of someone you admire. What virtues do you think they strive for, and why? Do you think that they are usually successful in their attempts to live according to those virtues? How do they handle their failures to live up to their (apparently) chosen virtues? 9. The term “digital divide” is used in this book and in the media to call attention to the fact that not everyone has access to reliable and modern information and communication technologies including computers, smartphones, and even the internet. Analyze how one or more of the following aspects of modern society that you take for granted can happen via these technologies: registering for classes, paying your friends for dinner, applying for a job, or figuring out how to get from your home to a new location. How would being on the other side of the digital divide change what you are able to do? What would be easier? What would be harder? 10. Think of a community that has been important for your personal development. What values do you hold, or patterns of behavior do you have, that were instilled in you by that community? How did they come to be part of your own identity? 11. What goals of self-realization do you have for yourself? What are the community contexts in which those goals are meaningful? 12. Compare two traditions encompassed in a single framework. What are the similarities? What are the differences?
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13. What is a contemporary issue in technology that is not well addressed by the four major frameworks discussed in the chapter? How could one or more of the three contemporary responses help us describe and address that issue? BACKGROUND REFERENCES AND ADDITIONAL READING Bewaji, John Ayotunde Isola. 2004. Ethics and morality in Yorùbá culture. In A Companion to African Philosophy , edited by Kwasi Wiredu, 396–403. Blackwell. Cohen, Alix. 2014. Introduction. In Kant on Emotion and Value , 1–10. Palgrave Macmillan. Friedman, Marilyn. 1993. What Are Friends For? Feminist Perspectives on Personal Relationships and Moral Theory . Cornell University Press. Frye, Marilyn. 1983. The Politics of Reality: Essays in Feminist Theory . Crossing Press. Fulmer, Russell. 2019. Artificial intelligence and counseling: Four levels of implementation. Theory & Psychology 29, no. 6: 807–819. Gotlib, Anna. Feminist ethics and narrative ethics. In The Internet Encyclopedia of Philosophy. https://iep.utm.edu/fem-e-n/ . Hochschild, Arlie Russell. [1983] 2012. The Managed Heart . University of California Press. Lindemann, Hilde. 2019. An Invitation to Feminist Ethics . Oxford University Press. National Science Foundation, Division of Science Resources Studies. 2019. Women, Minorities, and Persons with Disabilities in Science and Engineering . National Science Foundation. Nussbaum, Martha C. 2003. Capabilities as fundamental entitlements: Sen and social justice. Feminist Economics 9, no. 2/3: 33–59. Oosterlaken, Ilse. 2015. Human capabilities in design for values: A capability approach of “design for values.” In Handbook of Ethics, Values,
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