The Authority Theory of Promises
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The Authority Theory of Promises Item Type text; Electronic Dissertation Authors Habib, Allen Nabil Publisher The University of Arizona. Rights Copyright © is held by the author. Digital access to this material is made possible by the University Libraries, University of Arizona. Further transmission, reproduction or presentation (such as public display or performance) of protected items is prohibited except with permission of the author. Download date 28/09/2021 03:16:04 Link to Item http://hdl.handle.net/10150/195954 THE AUTHORITY THEORY OF PROMISES by Allen Nabil Habib A Dissertation Submitted to the Faculty of the DEPARTMENT OF PHILOSOPHY In Partial Fulfillment of the Requirements for the Degree of DOCTOR OF PHILOSOPHY In the Graduate College THE UNIVERSITY OF ARIZONA 2006 2 THE UNIVERSITY OF ARIZONA GRADUATE COLLEGE As members of the Dissertation Committee, we certify that we have read the dissertation prepared by Allen Nabil Habib entitled The Authority Theory of Promises and recommend that it be accepted as fulfilling the dissertation requirement for the Degree of Doctor of Philosophy _______________________________________________________________________ Date: October 23, 2006 Professor Thomas Christiano _______________________________________________________________________ Date: October 23, 2006 Professor David Schmidtz _______________________________________________________________________ Date: October 23, 2006 Professor Houston Smit Final approval and acceptance of this dissertation is contingent upon the candidate’s submission of the final copies of the dissertation to the Graduate College. I hereby certify that I have read this dissertation prepared under my direction and recommend that it be accepted as fulfilling the dissertation requirement. ________________________________________________ Date: October 23, 2006 Dissertation Director: Professor Thomas Christiano 3 STATEMENT BY AUTHOR This dissertation has been submitted in partial fulfillment of requirements for an advanced degree at the University of Arizona and is deposited in the University Library to be made available to borrowers under rules of the Library. Brief quotations from this dissertation are allowable without special permission, provided that accurate acknowledgment of source is made. Requests for permission for extended quotation from or reproduction of this manuscript in whole or in part may be granted by the head of the major department or the Dean of the Graduate College when in his or her judgment the proposed use of the material is in the interests of scholarship. In all other instances, however, permission must be obtained from the author. SIGNED: Allen Nabil Habib 4 TABLE OF CONTENTS ABSTRACT……………………………………………………………………….. 6 CHAPTER ONE: PROMISES AND PROMISSORY OBLIGATIONS…………..8 1.1 Introduction …………………………………………………………………8 1.2 The Paradigm Promise ……………………………………………………11 1.3 Discursive Obligations …………………………………………………….18 1.4 Theories of Promissory Obligation ……………………………………….20 1.4.1 The Coordinative Facility of Promises ………………………………21 1.5 The Natural Law View ……………………………………………………26 1.6 After the Natural Law, Prudentialism, Conventionalism and Expectationalism …………………………………………………………..29 1.7 Summary of Following Chapters …………………………………………35 CHAPTER TWO: PROMISES TO THE SELF………………………………….37 2.1 Introduction ……………………………………………………………….37 2.2 Promises to the Self ……………………………………………………….38 2.3 Vows, Pledges and Oaths ……………………………………………….…40 2.4 Vows ………………………………………………………………………..43 2.4.1 Wedding Vows ………………………………………………………..44 2.4.2 Promisee Conditions …………………………………………………48 2.4.3 Wedding Vows as Promises to Others ………………………………52 2.4.4 Wedding Vows as Promises to the Spouse ………………………….57 2.4.5 Wedding Vows as Promises to the Self ……………………………...61 2.4.6 Vows of Rectification …………………………………………………66 2.4.7 Vows of Rectification as Promises to Others ………………………..68 2.4.8 Vows of Rectification as Promises to the Self ……………………….71 2.5 Pledges ……………………………………………………………………...74 2.5.1 Pledges of Comportment as Promises to Others ……………………76 2.6 Oaths ……………………………………………………………………….79 2.6.1 Oaths as Promises to Others …………………………………………84 2.6.2 Oaths as Promises to the Self ………………………………………..90 2.7 Expressivism ……………………………………………………………….94 2.8 Self Promises and the Promisee Release Condition ……………………..102 5 TABLE OF CONTENTS-CONTINUED CHAPTER THREE: PRUDENTIALISM, CONVENTIONALISM AND EXPECTATIONALISM………………………………………………………….114 3.1 Introduction ………………………………………………………………..114 3.2 Hobbes and Prudentialism ………………………………………………..115 3.2.1 Hobbesian Promises ………………………………………………….116 3.2.2 Hobbesian Obligations ………………………………………………..119 3.2.3 Hobbesian Promissory Obligations ………………………………….121 3.2.4 The Hobbesian Sovereign …………………………………………….122 3.2.5 Critiques ……………………………………………………………….126 3.2.6 Hobbes and Promises to the Self ……………………………………..130 3.3 Rawls and Conventionalism ………………………………………………132 3.3.1 Rawls and Promises to the Self ………………………………………135 3.4 Scanlon and Expectationalism ……………………………………………142 3.5 Summary …………………………………………………………………...150 CHAPTER FOUR: THE AUTHORITY THEORY OF PROMISES……………154 4.1 Promises as Reflexive Commands ………………………………………..154 4.2 Practical Authority: Executive and Command ………………………….158 4.3 Reflexive Command Authority ……………………………………………161 4.4 The Rescinding Problem …………………………………………………..168 4.4.1 Second-Order Authority ………………………………………………170 4.4.2 The Transfer of Second Order Authority ……………………………173 4.5 Arguments for Promises as Reflexive Commands ……………………….179 4.5.1 The Argument from Executive Authority ……………………………179 4.5.2 The Argument from Shared Features ………………………………..182 4.5.3 The Argument from Discursive Obligations …………………………185 4.5.4 The Argument from Exclusionary Reasons ………………………….186 4.6 Benefits of the Authority View …………………………………………….192 4.6.1 Prudential Theories ……………………………………………………193 4.6.2 Other Problems for Prudential Theories …………………………….194 4.6.3 Conventionalism ……………………………………………………….200 4.6.4 Other Problems for Conventionalism ………………………………..202 4.6.5 Expectationalism ………………………………………………………210 4.6.6 Other Problems for Expectationalism ……………………………….211 4.7 Summary ……………………………………………………………………216 REFERENCES……………………………………………………………………219 6 ABSTRACT The primary aim of the dissertation is to introduce a new theory of promissory obligation, the authority theory. The authority theory holds that promises are obligatory because they are commands we give ourselves, as authorities over ourselves. I motivate the theory by arguing that traditional views of promising can’t explain promises we make to ourselves. In the first chapter I introduce and detail the notion of a promissory obligation. I briefly recount some of the history of the Western philosophical views of promissory obligations, focusing on the Natural Law tradition from the Stoics, through the Roman and Medieval writers, into the 17th Century. In the second chapter, I introduce the notion of a promise to the self. I argue that vows, oaths and pledges are best explained as self promises. I then counter two important objections to self promises: That self promises can’t be obligatory because the promiser can release herself from the promise; and that such instances of putative promise are best explained as expressions of acknowledgement of prior obligations. In the third chapter I offer arguments that the current crop of theories of promising are unable to account for self promises. I categorize three modern approaches to promising: prudentialism, which grounds promissory obligation in the potential harm a promise-breaker might suffer for his transgression; expectationalism, which grounds the obligation in the expectations that promises raise in promisees, and conventionalism, 7 which grounds the obligation in the convention of promising. I argue that none of these approaches can accommodate promises to the self, and that a new approach is indicated. In the final chapter I introduce the new theory. I explain how it is that we have the authority to issue commands to ourselves, and I argue for the probity of such self commands by reference to the existence of such reflexive authority in other venues, most notably in the armed forces. I also list the advantages the authority theory has over its competition, apart from its ability to explain self promises. I conclude by outlining a future research project in examining the meta-ethical implications of reflexive authority. 8 CHAPTER ONE PROMISES AND PROMISSORY OBLIGATIONS 1.1- Introduction Few moral judgments are more intuitively obvious, and more widely shared, than that promises ought to be kept. In part, it is this fixed place in the intuitive and social realms that makes promises so interesting to philosophers, as well as a host of social scientists and other theorists.1 In philosophy, promises are of interest to a variety of different thinkers, and for different reasons. The primary body of work is in ethical theory, and this is so because promises are commonly taken to impose moral obligations. Thus an explanation of how such obligations attach, and how they function, is necessary for a complete moral theory. The result is a body of literature that spans the ages, and a bibliography that includes most of the important ethical traditions and thinkers in the western canon. Just as a sample, commentary on the source and nature of promissory obligations is put forward: 1 For an anthropological survey that could serve as a starting point to work on promises in other fields, see Man, The Promising Primate, by Peter Wilson (Yale:1983). 9 in the Ancient