This article was published in Dialogue, vol. XXXII (1993), pp. 527-540. Getting from P to Q: Valid Inferences and Heuristics [Note 1] NORMAN SWARTZ Simon Fraser University Epistemologists have known for two-and-a-half centuries that there are serious difficulties surrounding nondemonstrative inference. The best-known problem, 'the' problem of induction, was first diagnosed by Hume (1739) in the Treatise. In our own century, several more problems were added, e.g., by Hempel (1945) – the paradox of the ravens – and by Goodman (1955) – the 'new', or exacerbated, problem of induction. But an even greater blow lay ahead: within the decade after Goodman's problem appeared, Gettier (1963) was to publish his famous challenge to the traditional analysis of knowledge which, again, underscored how problematic inductive inferences are. These much-discussed problems, having been thrust into the spotlight, have contributed to the belief that the role of demonstrative inference in the acquisition of knowledge is, in contrast, relatively free of problems: that if one comes to believe by having inferred with deductive validity from a known proposition , then may – without any particular concern – be regarded as being known as well. What I will try to do here is to show that there is a problem with demonstrative inference which is every bit as grave as any of those historically associated with nondemonstrative inference. If I am right, then it may be that the perennial crisis in epistemology stems not from problems inherent in nondemonstrative inference but in the very concept of inference itself. The concept of inference, in spite of its familiarity and commonness, remains one of the most recalcitrant in the philosopher's inventory. About inference, very little can be said which is simple and true. At the outset I would want to say that inferring is an activity that humans beings (and likely many other organisms) perform. [Note 2] But even such a simple and direct claim – viz. that inferring is an activity – has been challenged. D.G. Brown, attending to the peculiar grammar of the verb "infer", and in noting that there is no (nonparadoxical) continuous tense, e.g. "I am inferring", argues that inferring is not an activity (Brown 1955b, pp. 351-5). Moreover, he argues elsewhere, inference is not an act or an action either: For there to be action, there must be something one could decide not to do. ... When I know that p, from which it in fact follows that q, and I consider and understand the suggestion that q, either I see that it follows or I do not. ... I find that I infer or that I do not. (Brown 1955a, pp. 140-1). The emphasis here is on the words "see" (meaning, presumably, "understand") and "find". One sees (not decides) that q follows; one finds that one has inferred, but one does not resolve or decide to infer. Just how murky the notion of inference is may also be seen by noting that there is nothing within philosophy which might properly be called a theory of inference, let alone the 'standard' or received theory. [Note 3] And thus, after at least a century of debate, we find philosophers – like Todd and Sterelny (Sterelny 1990) – continuing to argue whether there is an inferential step between 'raw' sensation and 'conscious' perception. But how are we to settle such debates without having tried to fathom what sort of thing inferring amounts to? Surely inferring is something that persons do. Yet Brown's worries are well-taken: inferring is not something we choose to do, nor is it something that seems to take much time (unlike [his example] arguing, or [my example] constructing a multistep proof in quantification theory). If we are to regard inferring as an activity, in some ways it is more like digesting a meal or maintaining a constant internal body temperature than it is like selecting among a variety of possible purchases by weighing up their relative merits, i.e. it is not something we choose to do. And inferring is more like believing that one has two arms than it is like reciting a poem, in that it is not something which seems to take any appreciable time. Nevertheless, in spite of the significant differences between paradigm cases of acting on the one hand and inferring on the other, we still need a term for characterizing persons' making of inferences. And so, since it is so well established, I will persist in calling inferences "acts" or "activities" (bearing in mind the stretching of these terms involved in so doing). Allowing that inferences may, with some license, be regarded as acts, we can often in practice date such acts, saying, for example, that a person, Sylvia, yesterday at 2:03 pm, after observing that the mail box had not been emptied as scheduled some three hours earlier of its contents, had inferred that a threatened postal strike had occurred. And we may appraise such acts on logical grounds, saying for example, that Sylvia's inference was warranted by her data, more specifically, that it was inductively valid. But logic texts, too, which usually have no concern with the activities of any specific human beings whatever, often invoke the concept of inference. The difference is that in logic texts the 'inferences' which are referred-to are not acts; at least they are not the acts or activities of any particular person. If the inferences exhibited in the exercises in logic textbooks are to be regarded as acts at all, then they are 'depersonalized', idealized or abstracted acts: they are the sorts of things which might be performed by any person whatever (or, more exactly, by idealized persons – rational, adult, and intelligent). My concern here has little to do with the kinds of inferences discussed in logic texts; my concern here is principally with those inferences which are bona fide cases of someone's (or something's) activity – not with inference in the abstract, but with inference in the flesh (literally inside the flesh). A certain distortion, or at least a simplifying assumption, is required here. We shall pretend that acts of inference in some sense 'take' (move) one from one statement (or belief) to another. [Note 4] Such an account is incomplete. For it ignores the likelihood that we would want to broaden our analysis of inference to allow that one may make inferences not only from statements or beliefs, i.e. truth-value bearers, but from such things as concepts, open-statements, axiom-schemata, etc. I must gloss over such niceties simply in order to get on with the problem at hand: probing the role of inference in the acquisition of propositional knowledge. [Note 5] Let's turn, then, to the role of inference in knowledge-acquisition. I will proceed dialectically, from a seemingly straightforward example through a succession of more problematic ones. We begin by noting a need for an account of experiential knowledge which provides for the possibility of 'mixed-bag' inferences, inferences which proceed from premise-sets containing both a priori and a posteriori knowledge. For example, both intuitively and in the Kantian tradition, we will want to count the following as an instance of experiential knowledge.
Clearly Alexa's conclusion must be regarded as experiential knowledge: knowing that there is a regular polygon in one's visual field is quintessentially empirical knowledge, and being knowable empirically (i.e. being knowable only by experience) implies being knowable experientially. [Note 6] To accommodate such cases, one will need a definition of "experiential knowledge" (at least roughly) along these lines:
The requirement that one's evidential base must be known is, I confess, too strong. In courts of law, for example, some of the evidence may be false, indeed the evidence produced may be inconsistent. And yet the preponderance of evidence may point to a particular verdict. Such cases suggest that inferential knowledge is possible even in cases of inconsistent data (evidence). I must let this point, too, pass. Happily, in recent years some other writers, e.g. Rescher (1976), have been exploring techniques for reasoning from inconsistent data. There is nothing particularly novel or idiosyncratic about the offered definition. The problems I am about to review do not arise solely with the stated definition; they are present, if only indistinctly and implicitly, in virtually any such definition evolving out of similar philosophical intuitions about the nature of inferential knowledge. At first, the proffered definition seems to work. At least it succeeds in properly categorizing the 'mixed-bag' case which prompted it. Specifically, it identifies Alexa's inferring that there is a regular polygon in her visual field as being a case of experiential knowledge. Unfortunately, not all is in order. Consider the following inference.
[bonny] Bonny comes to believe, as a result of her inferring from her experiential knowledge that it is raining, that is a nonrepeating decimal.One may protest that there is some sense in which this is a 'crazy' or 'bizarre' or even 'pathological' inference to make. But suppose Bonny makes it anyway. (Perhaps she is disposed to draw this particular conclusion from virtually any premise whatever, and in fact does so ten to twenty times a day, from a great variety of premises. No matter. She makes the inference, odd though it may be.) Now the trouble is that, according to the definition given of "knowable experientially", Bonny knows experientially that is a nonrepeating decimal. This is so because (1) the inference proceeds from a statement (viz. that it is raining) known experientially, and (2) the inference is valid. It is valid because it satisfies one of the sufficient conditions for being a valid inference. In particular, the definition of "valid inference" has it that
The standard (semantic) definition of "deductive validity" states
Bonny's inference satisfies this standard (semantic) account of deductive validity. (We will look at proof-theoretic accounts of validity shortly.) Inasmuch as her conclusion is necessarily true, that conclusion cannot be false. Thus it is impossible for her inference to have a true premise and a false conclusion. Her inference is valid (in particular, deductively valid). And hence – according to the definition of "knowable experientially" – she has knowledge and that knowledge is experiential. But even worse is in store.
If the Goldbach Conjecture is true, then, again – according to the definition offered of "experiential knowledge" – Cathy knows that it is true. [Note 8] This is not to say that her inference constitutes a proof. To count as a proof within mathematics, each step of the inference must be stipulated and each step (ideally) must be accompanied by a warrant, i.e. by mentioning an accepted inference rule which sanctions that step. [Note 9] Our concern, however, is not whether Cathy's inference is a proof. Our concern is whether Cathy knows the Goldbach Conjecture (to be true). According to our definition, she does (provided only that the Goldbach Conjecture is true). But clearly Cathy does not know whether the Goldbach Conjecture is true. Even if it is true, she still does not know it. Inferring the Conjecture in one fell swoop from her knowledge that the piano is out of tune cannot, on any reasonable account of inferential knowledge, be regarded as a bona fide case of knowledge. In general there is nothing, in principle, fallacious in inferences which proceed from experientially known truths (whether contingent or noncontingent) to necessary truths. Although many persons have thought that such inferences are always fallacious, their worries often stem from their confusing universality with necessity. The following argument may not constitute a mathematical proof; but as an argument conferring knowledge, by perfectly acceptable standards, it succeeds.
Clearly, there are other, wholly a priori, routes to the identical conclusion (see any of a great number of twentieth-century texts in the foundations of arithmetic). It is certainly not my purpose to argue that one must learn truths of arithmetic experientially, only that it is possible to learn some in this manner. Recall, too, that children in grammar school are taught arithmetic in precisely the fashion just described. The experiential route to arithmetical truths must have some positive merit. And there must be something wrong with philosophical arguments which would attempt to prove that the kind of learning which in fact occurs in elementary schools is logically impossible. In short, there is nothing in principle barring one's knowing the truth of (not the necessity of) some necessary truths (e.g. simple ones of arithmetic) by inferring those truths from premises, one or more of which is known experientially. [Notes 11,12] And yet, Cathy's inference to the Goldbach Conjecture from her knowledge that the piano is out of tune strikes us as not yielding knowledge even if we are prepared to allow the cogency of the latterly examined inference, viz. the one arising from observations about sets of physical objects to the conclusion that two plus two equals four. Let's back up just a bit. Cathy's inference – from her experiential knowledge that the piano is out of tune to her conclusion that every even number greater than two is the sum of two primes – satisfies the definition for "experiential knowledge". And yet our strongest intuitions (I am assuming, of course, that your intuitions in this matter are in concert with my own) tell us that Cathy does not know her conclusion (is true). Her conclusion is not a case of experiential knowledge. Where does the trouble arise? It arises, I would like to stress, not in any peculiarity in inferring necessary truths from contingent ones, but – again – in the very obscurity of the notion of inference itself. For notice that what is truly puzzling about Cathy's inference would have persisted even if her inference had proceeded from a set of statements known a priori. For the following inference, as well, produces the same troubling results.
Again, we would want to insist that such an inference does not confer knowledge. And yet, just like Cathy's inference, which proceeded from a premise-set known experientially, this latter inference apparently satisfies a sufficient condition for one's conclusion being known: the premise-set is known, and the inference is deductively valid. Clearly, for an inference to be regarded as conferring knowledge it must do more than satisfy a semantic definition of correctness. Such semantic definitions attend only to the 'endpoints', as it were, of the inference, in particular to the modal (or probabilistic) features of the relation between premises and conclusion. Such definitions neglect the route by which the inferrer 'gets from' the premises to the conclusion. But how are we to make a repair? What sorts of features, beyond semantic (or probabilistic) ones, do we want to require for an inference to confer knowledge? To be perfectly frank, I do not know the answer to this latter question. But what I can, and will, do is review a number of suggestions which do not work, and then offer some ideas as to where a solution might eventually lie. I think the most tempting move to make is to insist that there be a causal connection between believing (or entertaining) the premises and subsequently coming to believe (or entertain) the conclusion. But the trouble with this approach is that it merely postpones, and does not solve, the problem. Ex hypothesi there is a causal connection between Bonny's knowing that it is raining and her subsequently coming to believe that is a nonrepeating decimal; and likewise, between Cathy's knowing that the piano is out of tune and her subsequently believing that every even number greater than two is the sum of two primes. (What is being hypothesized is no more physically impossible than that the smell of chestnuts roasting may cause someone to recall a pleasant childhood Christmas.) The trouble is that in Bonny's and Cathy's cases, the causal connection is misbehaved: it ought not to have been made. But that it 'ought not to have existed' does not make an actual inference 'go away'. The judgment that an actual causal connection 'ought not to have existed' (ought not to have been made) introduces evaluative principles which are no part of a recounting of a causal sequence. These latter principles are logical or quasi-logical (methodological or epistemological) ones whose validity (or warrant) lies outside of psychology or neuro-physiology. [Note 13] Perhaps the second most tempting move to make is to try to insist, then, on the kind of rigor displayed in logic textbooks, that is, to invoke a proof-theoretic concept of validity: "What we require for an inference to confer knowledge is that each step of the inference be sanctioned by a rule of inference." There are a variety of ways to interpret this latter suggestion. The first is that the inference must accord with valid rules of inference; the second is that the rules of inference must be known to the inferrer. Let's pursue the former suggestion for a moment. Which rules of inference should we suppose that the inference must accord with: rules of standard logic, or, perhaps, rules of a relevance logic? It might be supposed that the problems discussed above are unique to standard logic, being – as it were – the counterparts for inference of the well-known 'paradoxes' of (strict) implication, and are, therefore, eliminable by taking recourse to a relevance logic. But, as it turns out, it does not matter whether one is operating with a standard logic or a relevance logic. (We will examine the case of a relevance logic, but the argument is generalizable and obviously has a counterpart for the case of standard logic as well.) In adopting a relevance logic, the number of such problematic cases may be (somewhat) reduced, but not to zero. For relevance logics have their own versions of these very problems. In a relevance logic, there will be a set of inference rules, IRL. Certain inferences will be sanctioned by these rules. Some of the 'proofs' in a relevance logic, just as in standard logic, will be very difficult, having many steps, and will try the best efforts of the finest logicians. Suppose one of the proofs is particularly renowned; we will call it "". begins with the premise set, {}, and ends with the conclusion, . Each step of the proof is sanctioned by an inference rule in IRL. When is first published, the members of the College of Relevance Logicians are stunned: the proof is so difficult they marvel that any mere mortal could have constructed it.
Does Erica, as a result, know ? It seems unreasonable to believe so. But yet the conclusion can – in principle – be shown to accord with IRL, and thus it is valid (without our invoking the standard [semantic] definition of "validity"). The problem thus persists. What about the latter suggestion? Can the difficulties be removed by insisting that the inferences are to be regarded as knowledge-conferring only if they are made in accord with inference rules known to the inferrer? Such a suggestion has merely to pass one's lips before one sees fatal objections. Young children make inferences. And they often come to know (the truth of) statements as a result. [Note 14] If, however, we were to insist that only inferences which accord with inference rules known to the inferrer confer knowledge, then inferential knowledge would be impossible for children: they do not know any inference rules. [Note 15] It is counterproductive to insist that only inferences which accord with inference rules known to the inferrer are capable of conferring knowledge. Insisting on such a solution would, at a stroke, eliminate a great deal, if not most, of what we take ourselves to know. (Remember: the proposal that there simply be a valid rule sanctioning the inference is not a viable solution; it is in fact the very source of the problem.)
But if it is too strong a condition to demand that the inferrer
This fourth suggestion is considerably weaker, and hence more plausible, but in the end no more acceptable. Generations of mathematicians labored at arithmetic, coming to believe many truths which emerged as conclusions of proofs that were – by modern standards – of decidedly suspect rigor (again see note 9). All sorts of moves were made which nowadays seem questionable and in need of further justification. But does this mean that they did not know (the truth) of their conclusions? That verdict is too severe. In many cases, they did know. Their conclusions were not just 'lucky guesses'. Nor were they merely 'educated opinions'. [Note 16] The same lesson may be learned outside of mathematics, and possibly with greater clarity. In our ordinary day to day living in the world, many of our inferences which seem to us perfectly compelling (and some of which are undoubtedly deductively valid) do not proceed in accord with any known inference rules. Many of the inferences which we make daily, in a flash, in a twinkling of an eye, are so complex that when we come to try to analyze them, they defy canonization; even less are they able to have their validity demonstrated by anyone's citing known inference rules with which they accord. A great many formal logic textbooks perpetrate and perpetuate a myth: that ordinary inference exhibits the logic of the examples (so carefully chosen) in the textbooks. No one who has taught informal logic – and experienced the frustration of students who crave rules but whose yearning cannot be satisfied by the instructor – can have the least doubt about this. We learn to make valid inferences, neither by learning rules nor by testing our inferences against the opinions of experts in rules – but by hard knocks and by apprenticeship. Many of us have been beguiled by our collective success in creating logic textbooks for our students. Particularly since the 1930s, with the development of so-called 'Natural Deduction', many have come to believe that the formal arguments of these textbooks portray our psychological operations, if not quite perfectly, then at least normatively. But to the extent that we believe this, to that extent we have been playing at empirical science in a Rationalist manner, more specifically, we have been trying to do psychology in an a priori fashion. What are human inferences really like? Having studied and taught for so long what we assume inference ought to be viz. like the arguments of the textbooks), some of us have neglected to ask ourselves how persons actually reason from data (evidence / premises) to conclusions. How often do we ever stop to ask our students how they reasoned to a mistaken conclusion? Recently, I tried this exercise myself. In my introductory class, I asked my students to tell me shortly (1) whether they had ever before seen the question I was about to pose them; (2) what their first response was when they thought they had the answer; and (3) as best as they could, how they arrived at that answer or the reasons which prompted that answer. The question was adapted from one appearing in A.G. Latcha's How Do You Figure It?: Modern Mental Exercises in Logic and Reasoning (1970, p. 19). (Ironically, the puzzle as posed in Latcha's book is unwittingly subtly self-contradictory. [Note 17] When I posed the puzzle to my students, I repaired the question so that it was self-consistent.)
Eight students reported that they had seen the puzzle before. I have eliminated their responses from the tally (although not one of them got the right answer). The remaining 95 responses are categorized in Table 1.
Of the 66 students who offered an answer, 37 (i.e. 56%) offered the same (wrong) answer: "Day 19". No student, either among the ones listed or in the group whose answers were eliminated, gave the correct answer: "During the 20th day". [Note 18] I had expected that no student would give the correct answer. But what had motivated the exercise was my wanting to examine the reasoning lying behind the wrong responses. Typical explanations among those who gave the overwhelmingly most frequent answer ("day 19") read: "If the tree loses twice as many leaves per day, then it loses half as many each previous day. So if it loses all its leaves by day 20, it must have lost at least half the day before, day 19." Or, "If on the 20th day, all the leaves are gone, then one half of that number must have been lost the day before. Thus ½ of the leaves are lost by day 19." The reasoning is, of course, fallacious. But the wonder of it is that so many persons reason in the identical, fallacious matter. There are, I suppose, an infinite number of ways to reason fallaciously. But evidence such as this suggests that there are common patterns of inference – even in cases of fallacious reasoning. To be sure, the evidence produced by this little lapse into empirical research is not the stuff articles are made of in professional journals in psychology or cognitive science. There is much to criticize in the design protocol, and I shall not pretend otherwise. My data are meant only to be illustrative and suggestive. Data such as I have just reported fit well a theory that a number of cognitive scientists and researchers in artificial intelligence have been urging in recent years: that human beings reason, not so much in accord with valid inference rules of the sort identified and sanctioned by formal logicians, but rather in accord with perceived similarities with former cases and rules of thumb, so-called 'heuristics' (see e.g. Langley et al. 1987). The reasoning my students used to produce and justify their answer "day 19" is the sort of reasoning which can be used successfully in some (deceptively similar) cases. For example, that reasoning would work if applied to this sort of case: "A silo is filled with grain over a twenty-hour period. At the end of each hour after the first, the total amount of grain in the silo is twice that present at the end of the previous hour. When is the silo half filled?" The answer to this latter question is: "at the end of the 19th hour." [Note 19] I think it not hard to understand how one could see similarities between the two cases and fail to see relevant differences. The crucial issue is this: "Suppose a person were to use in this latter case (filling the silo) much the same sort of reasoning used by the majority of persons in the previous instance (the defoliation of the tree). In this latter case, the person would arrive at the right answer. Would we, knowing nothing of her/his reasoning, think anything but that s/he knows the right answer?" I think we would be inclined to say that the person does know the answer. But if so, then knowledge can proceed from inferences drawn in accord with logically invalid heuristics. Even if we were to learn of the logically fallacious heuristic involved, inasmuch as that heuristic gives the right answer for this case, we would probably still, I think, want to say that the person does know the right answer. If, and I want to underline that this is a big if, human reasoning does not typically proceed by taking account of valid rules of inference, but instead issues from our perceiving (real or apparent) similarities with previous cases i.e. causally, using heuristics – rules of thumb of proven application to a variety of cases but not enjoying universal application or logical necessity – then we may, and perhaps should, want to rethink our analysis of 'inferential knowledge'. It may well be that the conceptual ingredients needed to reconstruct our actual concept of knowledge have less to do with valid inference than we have hitherto supposed. We may need to broaden our historical, normative, model of knowledge by asking ourselves both how persons actually go about acquiring knowledge and what we are prepared to recognize as being genuine cases of knowledge. Doubtless some philosophers are altogether too prone to answer this latter question a priori and with a normative fervor. It may well be that what we and, in particular, the vast majority of human beings who are not philosophers or persons trained in the niceties of formal logic, take to be knowledge includes a very great deal of that which results from inferences which proceed causally in accord with heuristics. (This is just a sketch. I need not share your heuristic in order to believe that your inference gives you knowledge. Perhaps I need only assume that you have some such heuristic.) But if anything like this is so, if, that is, the very concept (of knowledge) that we are trying to analyze allows for 'heuristic inference', then, as philosophers, we have gone pretty much as far as we can go. To give a proper analysis of the conditions under which someone can come to know as a result of having inferred from will require a conjoint effort of philosophy and cognitive psychology. Neither discipline is going to be able to produce this reconstruction on its own.
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