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Reference and Scientific Realism
Reference and Scientific Realism
265
266 Studies in History and Philosophy of Science
maintaining that theory change does not imply meaning change, and that there
are conditions sufficient for meaning retention that do not require the
retention of any particular hypothesis. There are several reasons why this line
of criticism is unavailing.
Most blatant is that it makes a major concession unnecessarily in allowing
that HR follows from MV. To the contrary, there are a number of possibilities
for comparative theory evaluation consistent with MV. The limitation MV
imposes depends on the degree to which it impoverishes joint metalanguages
for the theories compared. The possibilities are thus delineated by types of
scientific terms which, used independently of disconfirmable hypotheses, are
exempt from MV.
Allowing purely formal concepts to be expressed in the metalanguage, we
get, minimally, formal standards of acceptability whose application depends
only on the internal semantics of the theories. Let T be an inconsistent theory
each of whose propositions is individually acceptable. Despite MV, the
semantics of T can be sufficiently stable to enable proponents of T’s
propositions to recognize the inconsistency and pronounce T less acceptable
than an alternative theory whose consistency they take on authority in
ignorance of its semantics.
Allowing evaluative concepts such as ‘experimental adequacy’,
‘experimental anomaly’, and ‘ad hotness’ into the metalanguage permits
objective judgments of relative methodological and epistemic culpability. It
also permits judgments of relative inconsistency, in a methodological sense of
‘inconsistency’, meaning the extent to which methodological constraints are
violated in achieving formal consistency. It is in this sense that such terms as
‘inconsistent’, ‘contradictory’, and ‘irreconcilable’ are normally used in
evaluations of theories by scientists.
The assumption that MV implies HR might be defended by alleging that
these modes of comparison fail to identify theories relatively acceptable in the
desirable sense of relatively approximating the truth, but pertain at most to
some weaker notion of progress that an historical relativist can endorse. A
standard of acceptability adequate for Scientific Realism (SR) must pertain to
crucial experimentation, and this MV disallows. This view has certainly
influenced those opponents of HR who have concentrated their criticisms on
MV.
One of its difficulties is that it ignores the historical fact that in some
paradigm cases of progressive theory change the competing theories were not,
during the period of transition, subject to crucial experimentation. This may
happen because both theories face serious experimental difficulties so that on
experimental grounds neither is acceptable, yet one must be selected as
providing the more promising direction for further research. This occurred in
the case of Fresnel’s and Stokes’s ether theories which was decided on the basis
Reference and Scientific Realism 267
that none are believed to be in a certain room, but it may well affect the
meaning of ‘rose’ that there are believed to be yellow ones. If it is learned that
roses do not naturally occur in yellow - some were sprayed the wrong color
paint in preparation for a floral exhibit in Chicago once, and they have since
been selectively sprayed to cover the error - that changes the meaning of
‘rose’. Even if justified by objective evidence, a change in such general beliefs
may change meanings. Certainly it changes the statements made to convey
meanings.
MV reflects the idea that a scientific term represents a certain concept and
that only if concepts are identical do the terms representing them have the
same meaning. Assuming that beliefs are mental states, if there can be latent or
unconscious mental states, it is then natural, short of Platonism, to hold that a
term must represent different concepts for scientists who use the term to
express different beliefs. If meanings are mental, neither logical nor epistemic
relations among hypotheses can provide sufficient conditions for meaning
retention. The imposition of such conditions simply begs the question against
MV.
Any plausibility accruing to MV from this picture of meaning depends on
regarding meaning changes as partial. Only under the implausible suppositions
that meanings are determined exhaustively by beliefs and that no belief
whatever which a term is used to express survives theory change, would the
change in meaning of the term be complete on this picture. Proponents of HR
appear to believe that any meaning change carries relativistic implications. But
partial meaning change has figured in theories adverse to HR. Carnap did not
imagine his theory of partial interpretation to interfere with theory
comparison. Perhaps this is because once a theoretical term was introduced by
a reduction sentence, additional reduction sentences only added meaning; the
theory did not provide for meaning loss. Thus the term still meant what it had
meant, only more. But if meanings are reidentifiable through changes of
addition, they are reidentifiable through changes of loss; the term still means
what it did, only less.
Since MV does not imply HR and is not, on suitable interpretation,
intrinsically implausible, there is the problem of accounting for its status in the
debate over HR. MV was found implausible and selected for criticism by
opponents of HR because they thought it does imply HR. So the question is why
both sides thought this. Although the answer is complex for the relativists,
their inference was fairly direct: theories determine the meanings of terms used
to report evidence, and thereby, the criteria of their own acceptability. For
opponents of HR the answer is simple, but the inference indirect. If
hypotheses of different theories employ terms with different meanings, these
hypotheses cannot be contradictory. If they are not contradictory, the
adoption of a new theory is not the rejection of its predecessor, so that theory
Reference and Scientific Real&n 269
facts about the referent itself, rather than about any concept or description of
it, determine the reference. The causal connection has two parts. The first
links the referent with the experience by which reference to it was initially
fixed, whether ostensively or descriptively. The second links the term’s
inaugural referential usage with subsequent ones. Thus, term t is used to refer
to r if r is the same (type of) thing that caused whatever experience served
intially to fix the reference of t, and if the use of t is causally linked to that
initial referential use. A necessary condition for r to be the referent, then, is
that it have the essential properties of the original referent. RV is certainly
false on this theory since changes in beliefs about r whether or not
accompanied by changes in the meaning of r do not affect the conditions for
reference.
Philosophers who take the Fregian of the two alternative9 are really doing
HR a disservice. HR should be credited minimally with having issued a
legitimate challenge to provide an acceptable analysis of theory change on
which RVis false. That is, while not refuting SR, HR or the arguments for it
show SR to stand in need of a certain kind of defense. The Fregian alternative
offers none. R V might be true even if MV is false; indeed, according to KP or
a version of it which Putnam acknowledges to be possible if not preferable, r
may have distinct referents without having distinct meanings and without these
referents being objects of different beliefs.
But the Fregian alternative is inadeqate even to show the invalidity of the
inference from MV to R V. From the fact that some terms different in meaning
are the same in reference, it does not follow that a term can change in meaning
without changing in reference. For Frege, intension determines extension. And
while different intensions can determine the same extension, a change of
intension is likely to effect extension. A change of a term’s intension, or of
what Frege would consider the intersubjective part of meaning, amounts on
his theory to a change in the criterion for something’s qualifying as the term’s
referent - that is, in the characterization or ‘manner of designation’ (definite
descriptions in Frege’s examples) associated with the term as its ‘sense’, and
satisfaction of which qualifies something as the referent. Frege’s observation
that distinct senses can have common application is no basis for supposing
reference to survive such change. For the point of Frege’s observation is that a
difference in the senses conveyed by the terms of an identity statement renders
the statement informative. Once the statement’s truth is discovered either
sense can be used indifferently to determine the referent. Meaning change
without change of reference then amounts to abandoning what continues to be
a correct and referentially adequate characterization of the referent.
Moreover, a criterion which determines reference is also, for Frege, a criterion
??wch a philosopher is Israel Scheffler. See Science and Subjectivity (New York: Bobbs-Merrill,
1967), especially pp. 57 - 62.
Reference and Scientific Real&m 271
There was no need to suppose that charge, even if particulate, would always
occur in the same amount; indeed, just the opposite was suggested by analogy
to material atoms: different quantities of charge were associated with different
atoms and these quantities were fixed rather than subdividable to some
common unit. It is at least highly dubious that initial reference to electrons can
be traced as far back as atomistic theories of electricity.
What is required for a term to have credibility as a referential term, to
function, that is, as at least purportedly referential in normal usage? Certainly
neither belief in the existence of the referent nor acceptance of a theory in
which the term is given a grammatically referential role is required. But more
than surface grammar is required. The term ‘interest’ in ‘John has an interest
in the outcome’, or ‘The outcome serves John’s interests’, is not purportedly
referential; the meaning is that the outcome might or does help John.’ And the
more required is not provided simply by causal linkage of the initial use of
the term with observation. There must be some conception of the sort of thing
the term is intended to refer to whether or not that is the sort of thing it does
refer to. This conception cannot be totally arbitrary. Insofar as it lacks
plausibility or justification, the intention actually to use the term referentially,
rather than as a convenient fiction, say, is suspect. The conception must be
clear enough that if very different things turn out to be causally linked to the
same sort of observation, it determines which of these, if any, is the intended
referent. Reference cannot be so ambiguous that we might have to end up
saying that in its initial referential use a term referred to all of a number of
different things, some of which were not involved in producing the
observation that fixed the reference and are unlike what did produce that
observation. If it really were true that science recognizes fundamentally
different kinds of mass rather than different measures of mass, a convenient
one and a correct one, then we might have to question whether Newton could
have been referring to mass.
Normally, initial reference is disambiguated by some account
of the nature of the linkage, of how the observation fixing the
reference is produced by the referent. If this account turns out to be far from
true, the success of our initial reference depends on it not turning out that
various different things could have produced that initial observation. If I think
the sound I hear is made by a sad kitten for which I subsequently use the name
‘Tristesse’, as in ‘Tristesse is probably lost’, and that sound turns out to have
been made by a vacuum cleaner with a dirty motor, ‘Tristesse’ does not then
refer to a vacuum cleaner. If I think the object I see is an intra-Mercurial
planet for which I subsequently use the name ‘Vulcan’, as in ‘The gravitational
attraction of Vulcan accounts for the discrepancy in the precession of
‘Compare R. Barrett, ‘Referential Indeterminacy: A response to Professor Putnam’,
Conceptual Change (note 4) p. 224.
Reference and Scientific Realism 273
Mercury’s perihelion’, and that object turns out to be a sunspot, ‘Vulcan’ does
not then refer to a sunspot.g The reference of ‘heat’ is alleged to have been
fixed by the experience of feeling hot, and ‘heat’ is alleged to refer to whatever
in fact causes feeling hot, however unanticipated or at variance with
expectations that cause turns out to be. Perhaps; but there is an implicit
assumption that ‘what in fact causes this way of feeling’ is unambiguous. If
importantly different physical conditions turn out to cause this way of feeling
under circumstances similar to those in which the term was introduced, then
‘heat’ does not refer to the one which happened on that occasion to cause this
way of feeling. In the absence of an account of how the feeling is caused which
discriminates among the possible causes, the reference of ‘heat’ was simply not
fixed by the experience.
It may be that none of the atomistic theories of electricity prior to Lorentz’s
succeeded in fixing the reference of those of their terms which we retroactively
credit with reference to electrons. There is an inclination now to call any
atomistic theory of electricity an ‘electron theory’, although Lorentz’s was the
first theory actually so called. The reason for extending this appellation is to
locate the Lorentz theory within an established tradition which had competed
with the tradition of continuous theories that, by Lorentz’s time, had eclipsed
it. Thus credit is given to Lorentz’s historical precursors, something which
Lorentz himself took care to do, although in quite different terminology.‘0
Perhaps this reason is good enough, although the Lorentz theory is equally in
the continuous tradition, a fact which merely appears less noteworthy since
that was the going tradition at the time. But even if justified, calling pre-
Lorentzian theories ‘electron theories’ may be misleading.
For example, Weber’s attempt to unify electrodynamics with electrostatics,
that is, Faraday’s laws with Ampere’s, might be considered the first electron
theory. It is rather difficult for a post-Lorentzian commentator to interpret the
formalism of the theory without referring to electrons.” Yet nothing in the
formalism requires an atomistic analysis of electric fluids, and Weber himself
regarded such an analysis as a convenience for calculation in particular
applications, not as a realistic theory of the nature of the fluid.‘2 If the theory
is interpreted as reducing electric currents to the motions of discrete particles,
*‘Vulcan’ was introduced on the basis of such an observation and was intended to be the name
of a newly discovered planet, not a hypothetical one.
‘OH. A. Lorentz, ‘La Thtorie Electromagnetique de Maxwell et son Application aux Corps
Mouvants’, Archs nkerl. Sri., 25 (1892). 432 -433.
“See the references to Weber’s theory in E. T. Whittaker, A Htitory of the Theories of Aether
and Electricity, (Dublin: Dublin University Press, 1910) and A. G’Rahilly, EIectrokagnetic
Theory (New York: Dover, 1%5). O’Rahilly is particularly interested in crediting Weber with as
much-of the modern view of electricity as possible. _
“See K. L. Caneva, ‘From Galvanism to Electrodynamics: The Transformation of German
Physics and its Social Context’, Historical Studies in the PhysicaI Sciences, 9, R. McCormmach
and L. Pyenson (eds.) (Baltimore: Johns Hopkins, 1978). pp, 99- 101.
214 Studies in History and Philosophy of Science
others, for which coreference is plausible. Perhaps the fact that an early theory
lends itself to such reconstruction in the light of later knowledge is sufficient
basis for retroactive reference. But it is not sufficient basis for crediting that
theory with having determined initial reference.
Perhaps the case for a pre-Lorentzian initial reference to electrons is
stronger for those whose ideas could be based on cathode ray observations and
electrochemistry as well as on the laws of Faraday and Ampere. Helmholtz’s
analysis of Faraday’s law in light of refined observations is said to have been
highly influential on behalf of electroatomism. But Helmholtz’s actual
position is only that it would be inconsistent in view of Faraday’s law to
maintain atomism in chemistry without recognizing it in electricity. Helmholtz
explicitly declines to propound any specific hypothesis as to the nature of
electricity. He denies that Faraday’s results or their electrochemical
corroborations require such an hypothesis and commends Faraday’s restraint
in refraining from such speculation,” Schuster explained the failure of Tait
and Goldstein to observe a Doppler effect for cathode rays by supposing that
the light is emitted by slow molecules struck by fast particles composing the
rays. But Schuster later denied that this explanation constituted
electroatomism or that he had even imagined the possibility of independent
atoms of electricity. His actual proposal had been that the ray particles are
negatively charged fragments of gas molecules repelled by the cathode.15
My contention is that the first credible reference to electrons, and, in
particular, the first credible use of ‘electron’ as a referential term were
achieved by the Lorentz theory, and that the referential credibility of ‘electron’
in that theory did not result from postulating electrons as causes of
unexplained or problematic empirical phenomena, as earlier theories had
postulated an atomistic structure for electricity as the cause of the
proportionality of the rate of decomposition to current strength in electrolysis.
Indeed, the outstanding problematic phenomenon initially confronting the
Lorentz theory was the Michelson-Morley result, which the theory could not
at first explain but subsequently incorporated without reference to electrons.
Only in 1904 do electrons become involved in the explanation of null results,
and the null results most directly at issue then were later ones challenging the
adequacy of this incorporation.
The Lorentz theory achieved reference to electrons, rather, on the basis of
the theoretical role it ascribes to them of providing a mechanism for the
production of such electrical and optical phenomena as were already
systematized by Maxwell’s equations or independently accounted for on the
electromagnetic theory of light. This theoretical role was definitive on a
“H. V. Helmholtz, ‘On the Modern Development of Faraday’s Conception of Electricity’, J.
Chem. Sot., 39 (1881) 282 - 283. 290.
IsA. Schuster, The Progress of Physics during 33 years, 1875 - 1908 (Cambridge: Cambridge
University Press, 191l), p. 59.
276 Studies in History and Philosophy of Science
zSA. Einstein, ‘On a Heuristic Point of View about the Creation and Conversion of Light’, D.
ter Haar, The b/d Quantum Theory (Oxford: Pergamon Press, 1967), pp. 91 - 92.
“See J. C. Maxwell. A Treatise on Electricity and Magnetism (Oxford: Oxford University
Press, 1892), vol. 1, pp. 380-381.
‘“For analysis of this type of model and its role in theory construction see J. Leplin, ‘The Role of
Models in Theory Construction’, forthcoming in the Proceedings of the First Annual Guy A.
Leonard Conference in Philosophy, University of Nevada, Reno, 1978.
Reference and Scien tlfic Realkm 279
“The problems most important to Einstein in the context of the quantum theory are common to
both the Lorentz and Maxwell theories. Thus although the Lorentz theory introduces electrons, it
fails to provide an adequate basis for understanding their structure; that is, the stability of the
electron requires the introduction of nonelectrical forces. Einstein’s treatment of the Maxwell and
Lorentz theories as constituting a common system of electrodynamics is most explicit in the first of
his 1909 papers in Phys. Z., 10, 185. For development of this point, see M. J. Klein,
‘Thermodynamics in Einstein’s Thought’, science, 157 (3788) (1967), 513-514.
Reference and ScientificRealism 281
is at most a possible world, not a possible planet. But if all this were so, our
travelers would certainly be using ‘water’ to refer to stuff that on up is not
water. Returning to Earth they might remark upon the ‘water’: ‘Visit
Twinearth, the people speak English and you can drink the water!‘. Thereby
the reference is successfully transmitted. ‘Water’ as used on Earth then refers
both to water and to the stuff on Twinearth. Being so like Earth, Twinearth
has low priority for a scientific expedition, and more cultural missions
disseminate this usage before scientists arrive years later to discover that either
the Twinearth stuff is not water or is a different kind of water.
All this depends on a certain mistake being made and a certain ignorance
sustained. So long as Earthmen do not know that the Twinearth stuff is not
water they can perfectly well use ‘water’ to refer to it. This ignorance need not
be universal, or, rather, planetary. Having taken tricorder readings I can still
successfully use ‘water’ to refer to the Twinearth stuff in speaking to you if
you believe it to be water, or if you believe that I believe that you believe it is
water. One way to formulate this is to introduce another term such as
‘denotes’ and say that a term need not refer to what it denotes. Its denotation
depends only on its initial reference. Its reference depends on epistemic
features of the context of its use. SR requires the survival of reference, not
denotation. We can rationally accept r2 = r, without even knowing what s
denotes in T, . r2 = r, is grounded on similarity of the epistemic situations of T,
and T2 with respect to E, while their dissimilarities account for T,‘s
unacceptable hypotheses as to the properties of r,.
In the story it is the reference of ‘water’ that changes while the properties
that determine the reference are stable. Let us invert this: there is water on
Twinearth but it does not look or taste like water and there is no suspicion that
it is at all like water chemically. On the contrary, it is hypothesized to be XYZ
and various XYZ-type microscopic properties are ascribed to it. These
ascriptions are tested, and of course they are empirically confirmed because if
XYZ has HzO-type macroscopic properties H20 will naturally have XYZ-type
macroscopic properties. So we have a situation like T,‘s justifiable ascription
of the wrong properties to r,. The moral about reference is the same. T,‘s
reference to r2 does not require that T, ascribe the right properties to rl,
provided the epistemic situation justifies the mistake. Proponents of T2 can
accept r2 = r, while rejecting T, if they have information supporting r2 = r,
that explains the mistake. And they have it in E’s confirmation of T,.
The account I offer is not supposed to be a necessary or sufficient condition
for coreference, but a justification for assuming coreference in an important
class of cases. Whether or not this is an adequate justification may depend on
additional features of particular cases. It is not, in general, adequate where the
TC-terms are distinct. But this justification is, I think, central to the general
problem of assessing coreference through theory change. For it is applicable
284 Studies in History and Philosophy of Science
indirectly to cases of kinds other than that assumed in its formulation. Most
important among these are cases of contemporaneous, competing theories
where neither theory’s use of a TC-term is causally explained by that term’s
use in the other. If coreference in such a case is not based on the retention by
each theory of hypotheses of a common, background theory, it will depend on
these theories being proposed as alternative replacements of an earlier theory
whose empirical successes will have to be accounted for by its successor.
Less important are cases of exclusive theories which do not actually function
as alternatives for the scientific community. If the theories have no direct
historical connection, one not replacing the other but replacing a theory which
replaces . . . a theory which replaces the other, then coreference again is
derivative from the conditions I have given. That is, there is not a general
criterion of coreference for such theories which compares them directly. A
popular presumption to the contrary generates various puzzles about reference
by raising such questions as ‘Was Democratus referring to atoms or to
molecules?’ and ‘Was Newton referring to atoms or to elementary particles?‘.
Such questions are, I think, inconsequential for SR. The difficulty in
answering them is the difficulty of filling in the intervening theory. It is not a
difficulty of stipulating in general how far wrong a conception can be and yet
be a conception of the right thing. SR does not require accuracy of description
as such, but predictive success and explanatory power of descriptions by which
their accuracy is supported. And it is not a difficulty in applying experimental
standards before science was experimental. SR entitles us to apply the
standards of current science because it is the referential credibility of accepted
theory that is at issue. If theories and standards were to change so radically
that science ceased to be empirical, then SR would be false. Experimental
standards provide a basis for crediting a theory with reference to, say, atoms
even if the conception of atoms on that theory is as different from the present
conception as it is from the conception of an earlier theory that we do not
credit with reference to atoms. Lorentz’s conception of the electron may be
further from Dirac’s than from the earliest atomistic conception of electricity.
But the intervention of the Zeeman Effect, among other empirical results,
enables us to recognize coreference for the Lorentz and Dirac theories.
This case for the centrality of my account of coreference is relatively
speculative. My basic argument is that available theories of reference do not
meet the challenge HR poses for SR because, apart from internal weaknesses,
they are inapplicable to TC-terms which are the important cases for SR. I have
therefore proposed a basis for assessing coreference for these terms. This basis
applies even under conditions of meaning variance. Thus it is independent of
attacks on HR which rely on inconclusive criticisms of MV.z8
“1 wish to thank the National Endowment for the Humanities for support of research.