Marginalization of Morgan's Canon and Emergent Evolution (1894-1951)

Paul F. Ballantyne, Ph.D.
pballan@comnet.ca


There has been renewed interest (since Costall, 1993) in the story of how Lloyd Morgan's (1894) methodological canon (regarding the proper interpretation of evidence about the animal mind) "backfired" in early 20th century animal psychology. A variety of opinions and related commentary on that topic, for instance, can be found at: Thomas, 2001. C. Lloyd Morgan (1852–1936), however, in a long series of interrelated works --including: An Introduction to Comparative Psychology (2nd Rev. ed., 1903); Emergent Evolution (1923 & 31); Life, Mind, and Spirit (1926); Mind at the Crossways (1929); The Animal Mind (1930); Animal Conduct (1930); and Emergence of Novelty (1933)-- managed to sketch out an emergent evolutionary approach to comparative psychology in the wider sense of that term. This wider project of Morgan's has received inadequate historical treatment because it is so poorly understood even by historians of psychology.

The present paper argues that not only American 'behaviorist' trends; but also the British 'Hormic Psychology' of McDougall; and then North American operationist trends in general-experimental psychology constituted successive disciplinary counter-forces to both Morgan's Canon and his views on emergent evolution. These were the varied disciplinary trends which combined forces to marginalize (i.e., treat as insignificant) Morgan's wider project of comparative psychology.

Morgan's comparative methodology and empirical methods

The manifest historical significance of Morgan's An Introduction to Comparative Psychology (1894) is that it helped establish animal research as a subdiscipline of early 20th century general-experimental psychology (Wozniak, 1993). The less obvious significance, however, is that in contradiction to both Darwin (1871; 1872) and Romanes (1882), Morgan doubted that psychological processes could be followed uninterruptedly throughout the animal series. That is, although comparative animal psychology had been brought into being by the continuity view of mental evolution (see also Tolman, 1987a), Morgan (1894) held that the discipline should also be prepared to recognize various discontinuities in cross-species mental abilities. His disciplinary aim from the beginning, at least in part, was to expose the inherent logical paradox of holding to the strict mental continuity view:

"Those evolutionists who accept this [continuity] assumption as valid are logically bound to believe either (1) that all forms of animal life from the amoeba upwards have all the faculties of man, only reduced in degree and range... or (2) that in the higher forms of life the introduction of the higher faculties has been effected by some means other than that of natural evolution [i.e., divine providence]" (Morgan, 1894; p. 58).

With regard to empirical methods, Morgan's classic (1894, 1903) texts made use of introspective, anecdotal, observational, and experimental forms of evidence but carefully argued (as did James) that the proper starting point of all psychological inquiry is introspection of the individual adult human mind. Morgan did recognize, however, that when studying 'other minds than our own' (including animal minds), this introspective sort of evidence needs to be augmented by both naturalistic observation and experimental methods.

Morgan's belief in the primacy of introspection is reflected in the order of the chapters of his 1894 text. The chapter on Memory, for instance, is followed by a second chapter on Memory in Animals. Similarly, the chapter on Perception of Relations is followed by one called Do animals perceive relations?; and the chapter on Conceptual Thought is followed by Do Animals Reason?; etc. In other words, Morgan's chosen methodological starting point is with human experience, and this is to be followed in turn with careful analysis of animal evidence (anecdotal and otherwise). This was a reversal of the order used by both Darwin and Romanes, and, on its own indicates Morgan's digression from the pure continuity view of mental evolution. Furthermore, as we will see, this early implied difference in methodology (i.e., the proper starting place for psychological analysis) becomes wholly explicit by the time of Morgan's Animal Mind (1930).

Morgan's Methodological Canon

In 1894, this difference was initially manifested in Morgan's famous, but much misunderstood methodological canon. Ostensibly, to remedy the dangerous methodological problem of crude anthropomorphism (i.e., the uncritical attribution of human abilities to animals) Morgan made the following statement:

"In no case may we interpret an action as the outcome of the exercise of a higher psychical faculty, if it can be interpreted as the outcome of the exercise of one which stands lower in the psychological scale" (Morgan, 1894, p. 53).

Morgan's "canon," as this statement came to be known, assumed that both higher and lower forms of mental abilities exist and that the terms used to describe these are not interchangeable. It should also be noted that although Morgan's canon was directed principally against anthropomorphic excess, it applies equally well against the reductionist excesses of figures such as E.L. Thorndike, Jacques Loeb, or John B. Watson. As it happened, the anti-reductionist implication of the canon was not well received or followed at that time. Thorndike (1898) for instance, whose "animal intelligence" research utilized various experimental puzzle box situations, wholeheartedly ignored the anti-reductive aspect of Morgan's canon by interpreting the results as if these creatures were nothing more than mechanical automata. Thorndike's denigrative position regarding animal intellect (see Thorndike, 1911) eventually provoked the following whimsical retort from popular culture:

When Morgan realized the canon was being misused as a rhetorical device to advocate such reductionism (rather than as a general methodological caution), he introduced the following qualification into the second edition of his An Introduction to Comparative Psychology (1903):

"To this, however, it should be added, lest the range of the principle be misunderstood, that the canon by no means excludes the interpretation of a particular activity in terms of the higher processes, if we already have independent evidence of the occurrence of these higher processes in the animal under observation" (Morgan, 1903, p. 59).

As early as 1909, Morgan was also pleading with British psychologists (who were in the grips of the Eugenics movement), to adopt a 'natural history of experience' in the "wider" sense of Lewes, Robertson, and Baldwin. All three of those figures had argued for a nonreductive view of human psychological abilities (Blitz, 1992).

While the so-called historiographical "rehabilitation of the canon" has been underway for some time now, Morgan's emergent evolutionist position (which was the highest expression of his attempt to place the study of mind back into such a "wider" natural history) is seldom mentioned in more than passing terms even within contemporary history of psychology textbooks.

Skinner's cooption of Morgan's canon

Part of the reason for the contemporary underestimation of Morgan wider project may be due to the residual disciplinary echoes of the once pervasive influence of B.F. Skinner. In the introductory chapter of his much read Behavior of Organisms (1938), Skinner claimed that (subsequent to Darwin) the antimentalism of the behaviorist camp came about by two steps: (1) Morgan's law of parsimony which "dispensed with" the need to refer to mental abilities in animals; and (2) Watson's efforts to "reestablish Darwin's desired continuity without hypothesizing mind anywhere" (Skinner, 1938, p. 4).

While it is hardly now necessary to mention that Skinner's first claim is a complete misrepresentation, it is also instructive to note that Watson (unlike Skinner) never appealed to the authority of Morgan as an origin of his own antimentalist position. In fact, Watson takes a rather different tact in both his Psychology (1919) and Behaviorism (1924). He passingly refers to Morgan's disciplinary role in establishing the possibility of animal experiments and ignores the rest (Watson, 1924a, p. 218).

Contrary to what Skinner would have us believe Morgan, by appealing to simplicity in the explanation of animal behavior, was simultaneously invoking a specific nonreductive theory of mental evolution. As Costall points out:

"His point was that there were good evolutionary reasons for expecting to find different grades of mentality across different species, and the [emergent] theory of mental evolution depended on evidence of such differences" (Costall, 1993, p. 117).

Morgan's various clarifications

Given that his early methodological canon was both ignored and misused, it is not surprising that Morgan eventually turned toward explicitly outlining the philosophical and methodological basis for postulating both lower and higher forms of psychological processes. That is, by the time of his Emergent Evolution (1923), Morgan's language on the issue of evolutionary continuity and discontinuity was becoming wholly explicit:

"Emergent evolution.... does not interpret the higher in terms of the lower only; for that would imply denial of the emergence of those new modes of natural relatedness which characterize the higher and make it what it is. Nor does it interpret the lower in terms of the higher" (Morgan, 1923, pp. 297-298).

In particular, his Animal Conduct (1930) was designed specifically to be as clear as possible to the reader on these points. Here, Morgan explicitly distinguishes between three "grades" or "levels of mentality" which he labeled: 'percipient, perceptive, and reflective.'

"Now my belief is that some animals are percipient only; some are not percipient only but are perceptive also; and some, perhaps only a few, are not perceptive and percipient only but incipiently reflective also" (Morgan, 1930, p. 42).

Morgan also makes a point of distancing his own position from that of the behaviorist:

"It is, I presume, sufficiently clear that, in the interpretation I offer, mental relations are taken into account as in some valid sense effective in rendering the behavior such as we observe it to be. Here many thinkers do not agree. An influential school of 'behaviorists' roundly deny that mental relations, if such there be, are in any sense or in any manner effective... My message is that one may speak of mental relations as effective no less 'scientifically' than... physical relations..." (Morgan, 1930, p. 72).

In order to address the numerous queries he had received regarding how his emergent evolutionary position might be brought into relation with the empirical aspects of general psychology, Morgan also wrote one further text:The Emergence of Novelty (1933). This book is made up of a series of penetrating question-and-answer formats arranged in chapters called: Mechanism and Organism; Emergence of Mind; Learning, Meaning, and Memory; Association and Conditioning;The Genesis of Thought; and The Emergence of Value.

One example is rather indicative of Morgan's extremely realistic demeanor regarding the likely reception of this work by the larger psychological community. In addressing a query regarding whether or not the term biological 'significance' should be used when discussing animals whereas the term 'meaning' should be used when discussing human beings, Morgan sides definitively with those who answer in the affirmative. But he also added that: "like many another suggestion it has fallen pretty flat" (Morgan, 1933, p. 98).

On the Chilly General Psychological Reception

It is likely that part of the reason that Morgan's wider project was not taken seriously in North American psychological circles was his emphatic extension of emergence to the realm of the spiritual. His (1923) work, in particular, suggested that since material processes are dynamic they must be inherently active, and that activeness has to 'come from somewhere.' Thus, appears, he argues, the need for a deity which is "supplemental" to natural processes; as "an immanent Activity, the ultimate Source of those phenomena which are interpreted under evolutionary naturalism" (Morgan, 1923, p. 309). His own extension of this position first appeared in Life, Mind, and Spirit (1926) which places Morgan at least one foot in the metaphysical tradition of the 19th century 'spiritual evolutionists' such as Alfred Wallace, St. George Mivart, and the roughly contemporaneous spiritual aestheticist Samuel Alexander --whom Morgan clearly credits as a fundamental source (see also R. Richards, 1987; Blitz, 1992).

The invited lectures at St. Andrews College, upon which the (1923 and 1926) texts were based, may have been received quite well in Britain but the contemporary American psychology scene (whether in its academic, animal, or applied manifestations) was quite different. In America, there had already been a long struggle in psychology to remain a distinctly secular endeavor. This had begun with William James at Harvard when he established psychology in America as a secular teaching profession by intentionally and publicly displacing the theologically-minded philosopher Francis Bowen --whose moral philosophy approach had considered psychological themes merely as a means to promote thought on moral and ethical issues (Feinstein, 1984; Watson & Evans, 1991, Chapt 17: American Psychology Before James). At its base the functional psychology tradition (while open to exploring the social usefulness of religious and ethical themes), was not disposed to accept any sort of theism into their distinctly naturalistic ontology. Hence, potential American allies like James, Dewey, J.R. Angell, and H. Carr were lost to Morgan.

McDougall's critique

This issue of deity was also repugnant to at least one potential British general psychological ally. William McDougall, in Modern Materialism and Emergent Evolution (1929), for example, attacks Morgan for including a de-anthropmorphized deity in his account of mental evolution at the expense of an adequate treatment of contemporary biological debate:

"If we turn to Lloyd Morgan's Emergent Evolution, we find no mention of Darwin or of Lamarck, of variation, mutation, or selection. He frankly asks: What makes emergents emerge? And his answer is: The directive activity of God" (McDougall, 1929, p. 152).

Despite the differences on this point, however, the similarity between McDougall's hormic psychology and emergent evolution are overwhelming. Both positions recognize final causality in the physical and chemical realms, and also some form of teleology (goal-directedness) in the biological, psychological, and social realms.

"The emergent theory.... asserts, the causal efficacy of psychic events and... fulfills all the requirements of the psychologist who cannot blind himself to the reality of goal-seeking Behavior and purposive activity... And it is a theory now in excellent standing, sponsored by such outstanding thinkers as S. Alexander, L. T. Hobhouse, Lloyd Morgan, H. S. Jennings, R. B. Perry, W. M. Wheeler" (McDougall, 1930, p. 7).

Despite this endorsement, McDougall seems to have had considerable difficulty understanding the dialectical logical core of emergent evolutionary naturalism. In particular, the fact that emergent evolution recognizes both a continuity and discontinuity between: (1) organic and inorganic evolution; (2) the mental and nonmental; and (3) animal and human mentality, seems inimical to McDougall's use of exclusionary (either/or) logical categories. For McDougall (who classes all "neo-Darwinian" positions as mechanistic) emergent evolution harbors a "crypto-mechanism" and is "the result of an attempt to find some middle path between mechanism and teleology" (1929, p. 156). Having made this spurious either/or judgment, McDougall asks (rather flippantly) "whether this hybrid concept is not destined, like many hybrids, to be sterile... (1929, p. 156).

In his contribution to the high-profile Murchison text Psychologies of 1930, McDougall reiterates his main accusation that emergentism harbors a crypto-mechanism. That is, it suggests "that a conjunction of purely mechanistic events can result in the emergence of teleological events" (McDougall, 1930, p. 15). In failing to do justice to the transformative role of the biological, social, and societal levels (as outlined by Morgan), McDougall seriously misrepresents the emergent evolutionary account to a potentially receptive North American audience. What a shame!

McDougall's own peculiar position (that 'no emergence occurs in physical or chemical nature, but only in biological and psychological existence'), and his equally obstinate advocacy of Lamarckian inheritance of acquired characteristics, certainly made his own brand of psychology no more palatable to the American general psychological mainstream of the 1930s. Environmentalism, was at that time, becoming all the rage.

Such an audience did not listen to McDougall's more prescient warning that the psychophysical parallelism of the behaviorist school is "leading psychology... into a blind alley" (1930, p. 8), and they likely paid even less attention to the seemingly petty metaphysical squabbles between "hormic" and "emergentist" views of mental evolution.

In order to do justice to Morgan's disciplinary intent and awareness of his audience, however, two points must be mentioned. First of all, the role of the supplemental de-anthropomorphized deity was merely one of a prime-mover (i.e., an initial cause which provided the dynamic activeness of physical matter). McDougall therefore, while technically correct that a crypto-mechanism was one aspect at work in Morgan's ontology, overstated the case. Secondly, on the more positive side, Morgan (1923) explicitly attempted to allay the anti-metaphysical fears of the wider psychological community by suggesting that a theoretical shift toward emergent naturalism, would avoid both reductive and theological discourse because "the advent of novelty of any kind is loyally... accepted wherever it is found without invoking any extra-natural Power..." (Morgan, 1923, p. 2). In short, Morgan's disciplinary intent was to present a more sophisticated evolutionary methodology upon which future scientific analysis (and specifically psychological analysis) could be based.

Consistency vs. the intellectual double-life

Aside from the above theological or logical/categorical concerns, one of the most important reasons for the lack of American general psychological reception to the emergent evolutionary approach may be that Morgan did not live the sort of intellectual double-life characteristic of morre popular North American figures such as R. S. Woodworth, H. Carr, or the early Gordon Allport. These younger figures knew how to utilize the 'numbers game' for their own rhetorical or institutional purposes. Morgan on the other hand, being of an older philosophical generation either did not, or like James and Dewey would not partake in such a discursive device.

The case of Robert Woodworth should suffice to provide the relevant contrast. Woodworth, when theorizing about the historical course of psychology could be quite functional and dynamic, but when carrying out experiments, or discussing the same, he was the progenitor of much narrow thinking regarding experimental methodology (see Winston, 1990, 1996). Psychological experiments, in particular, were portrayed as ahistorical devices by which the "controversies between the schools can be (happily) left aside..." (Woodworth, 1938; p. 3).

The historiographical object lesson regarding Morgan's emergent evolutionary account of comparative psychology might be that: "a system of psychology (no matter how logically flawless) which is not explicitly extended and elaborated into a practical program of empirical research is doomed to the disciplinary fate of extinction (and subsequent rediscovery) the moment the main protagonist of that system passes away (i.e., Morgan 1852-1936)." At the very least, this is precisely the fate which befell Morgan's "emergent evolutionary" approach to psychology per se.

The dawn of operationism

Back in 1933, the era of faith in schools or systems of psychology was already drawing to an end. In North America, more eclectic, or outright operationist research was just coming into style (see Boring, 1930, 1933; Griffith, 1932; Boring et. al., 1945). The two major historically oriented training vehicles for depression era psychologists provide evidence of this shift in emphasis. Woodworth's Contemporary Schools of Psychology (1931) advocates a 'middle of the road' psychology and Heidbreder's Seven Psychologies (1933) suggests (along Logical Positivist lines) that psychology has enough theory and must collect more data if it is ever to become a real science.

Under the influence of the Logical positivist ideal of 'value neutral' science, interest in tackling the larger problems of psychological methodology were constantly pushed to the background while the sorting out of smaller-scale empirically defined questions (i.e., operationism) were moved to the foreground.

"For psychology is a science that has not yet made its great discovery. It has found nothing that does for it what the atomic theory has done for chemistry, the principle of organic evolution for biology, the laws of motion for physics. Nothing that gives it a unifying principle has yet been discovered or recognized.... It has had flashes of perception, it holds a handful of clues, but it has not yet achieved a synthesis or an insight that is compelling as well as plausible. And no one does psychology a good turn by pretending that the situation is otherwise" (Heidbreder, 1933, p. 426).

This antisystematic climate is precisely what forced Woodworth to be entirely apologetic about any 'systematic bias' in his Experimental Psychology (1938):

"It would be quite inappropriate to make a general experimental psychology the vehicle for expounding a system. It may be true, as has been said, that the present author represents the functional school of psychology, in the broadest sense of the word. Psychology does seem to be a study of the functioning of the organism in its environment. This seems so much a matter of course to me that probably it underlies the discussion of many topics. I would warn the reader especially against a probable theoretical bias in the chapters on Conditioned Response, Maze Learning, Perception of Color, and Problem Solving. Study of these topics has served to clarify my own systematic view, but any explicit presentation of this view must wait for another occasion" (Woodworth, 1938, p. v).

This theoretically neutered textbook --along with its successor edited by S.S. Stevens, 1951-- would, through various editions, remain a major training vehicle for experimentally oriented psychologists right up into the mid-1970s. Within this extended antisystematic intellectual environment, the theme of 'exactly how a general emergent evolutionary understanding of mental evolution might be brought into line with the wealth of confusing (and seemingly contradictory) empirical evidence' was first pushed aside and subsequently buried by successive layers of theoretically noncommittal experimental psychology for more than sixty years.

Given our present historiograhical perspective on this matter, however, it should be stated outright that general-experimental psychology and the emergent evolution methodology are by no means necessarily orthogonal endeavors. After all, it was always Morgan's belief (along with his mentor Huxley) that "evolution is a generalized account of what actually happens [throughout the realm of scientific subject matter] and not an explanation thereof" (1933, p. 10). In other words, within psychology, the particular view of mental evolution one holds necessarily guides both the collection and interpretation of empirical evidence; it does not however, replace the need to collect data. While two notable contributors to the Handbook of Experimental Psychology (1951) recognized this commensurability between emergent evolutionary theory and empirical practice (see Carmichael; Nissen in that volume), they were far from representative of the views of that or subsequent periods.

Despite the initial North American resistance toward the insights of emergent evolutionary analysis, many of the theoretical positions Morgan put forward are commensurable with the those of James, Dewey, Vygotsky, Leontiev, Werner, Bruner, J.J. Gibson, and others. This might be part of the reason why the theme of how some of the theoretical tools Morgan used were (and still might be) incorporated into psychological research practice is now becoming the matter of lively interest (at least among historians of science).

Concluding Remarks

While it was Romanes (1888) who first began to refer to "qualitative" and "quantitative" change in mental evolutionary stages, it was Morgan's Emergent Evolution (1923/31) that provided the first inklings of an important methodological argument --that once culture appeared, evolution itself was transformed into a qualitatively different kind of process (i.e., as distinct from merely biological or social evolutionary processes). Although the doctrine of emergent evolution as put forward by C. L. Morgan (1923; 1926, 1929, 1933) was accompanied by a "supplementary" postulation of a de-anthropomorphized deity (as the source of energetic movement of matter), Alex Novikoff (1945) later put forward a secular "Integrative Levels" form of the doctrine.

Emergent naturalism in either form maintains that transmutations (and transformations) of matter must be in some sense discontinuous with what existed before (i.e., such transmutations are more than simple reshuffling of fundamental units). The development of matter is seen as "continuous because it is never-ending, and as discontinuous because it passes through a series of different levels of organization--physical, chemical, biological, [psychological] and sociological" (Novikoff, 1945, p. 209). As matter evolved, new properties arose with each new qualitative leap. The higher levels, although dependent upon the prior ones, are not entirely explicable on their terms, since they contain properties not before seen in the lower levels. The fact that novel qualities arise at each new level necessitates the production or presence of new laws, which, in conjunction with the old laws, govern those novel qualities.

Within psychology, emergent evolutionary analysis is the primary means by which the phylogenetic, ontogenetic, and social-historical aspects of general psychological subject matter can be both distinguished and studied in their concrete empirical relations. The long-standing individualistic organismic focus of contemporary general psychology has to be replaced with the more inclusive distinction between the biological, social, and societal aspects of our subject matter. This one conceptual shift will allow general psychology to go beyond the standard dissatisfying descriptive account of modified organismic functions (via individual adjustments, adaptation, or interactions) and to move toward a more satisfying explanatory account of collective transformation of organismic functions into distinctly human faculties (via the active appropriation of culture). Elsewhere (see Ballantyne, 1995; Ballantyne, 2002) I have elaborated at length on how such a "transformative" (emergent evolutionary) methodology can used to resolve theoretical debates between competing empirically-based research projects in specific areas of psychological subject matter (such as personality and ability testing) and thereby open up new vistas for empirical research and practice.

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Posted: December, 19, 2003


Paul F. Ballantyne, Ph.D.
pballan@comnet.ca