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Studies in History and Philosophy of Science 49 (2015) 48e57

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Studies in History and Philosophy of Science


journal homepage: www.elsevier.com/locate/shpsa

Narrative and evidence. How can case studies from the history
of science support claims in the philosophy of science?
Katherina Kinzel
Department of Philosophy, University of Vienna, Universittsstrae 7, 1010 Vienna, Austria

a r t i c l e i n f o a b s t r a c t

Article history: A common method for warranting the historical adequacy of philosophical claims is that of relying on
Received 17 September 2014 historical case studies. This paper addresses the question as to what evidential support historical case
Received in revised form studies can provide to philosophical claims and doctrines. It argues that in order to assess the evidential
27 November 2014
functions of historical case studies, we rst need to understand the methodology involved in producing
Available online
them. To this end, an account of historical reconstruction that emphasizes the narrative character of
historical accounts and the theory-laden character of historical facts is introduced. The main conclusion
Keywords:
of this paper is that historical case studies are able to provide philosophical claims with some evidential
HPS;
Confrontation model;
support, but that, due to theory-ladenness, their evidential import is restricted.
Historical case studies; 2014 Elsevier Ltd. All rights reserved.
Historical evidence;
Narrative;
Theory-ladenness

When citing this paper, please use the full journal title Studies in History and Philosophy of Science

1. Introduction evidence. Case studies of historical developments in elds such


as quantum mechanics (Cushing, 1994) and hereditary theory
It is widely accepted that philosophical conceptions of scientic (Stanford, 2006) exemplify the (transient) underdetermination of
knowledge and practice need to be adequate to the historical record scientic theories. Social constructivists have heavily relied on case
of science. A common method for warranting the historical ade- studies as well. Attempting to demonstrate to skeptics that even the
quacy of philosophical claims and doctrines is that of relying on so-called hard sciences are amenable to sociological analysis, they
historical case studies. Often, and in a wide variety of philosophical have presented social explanations of the emergence of the stan-
areas, reconstructions of selected episodes from the history of the dard model of particle physics (Pickering, 1984), of the early
sciences are supposed to exemplify conceptual points or provide searches for high uxes of gravitational radiation (Collins, 1985), of
philosophical doctrines with evidential support. the detection of solar neutrinos (Pinch, 1986), and of Millikans oil
For example, defenders of various types of scientic realism drop experiments (Barnes, Bloor, & Henry, 1996). At present, case
have claimed the historical record to agree with their philosophical studies continue to play a role in the philosophical exploration of
agendas. The historical fates of the luminiferous ether (Hardin & more restricted issues, such as the workings of scientic modeling
Rosenberg, 1982; Kitcher, 1993; Psillos, 1999; Worrall, 1994), the practices, the robustness of scientic results, scientic concept
caloric theory of heat (Psillos, 1999) and phlogiston theory formation, visualization in science, and so on.
(Ladyman, 2011) were taken to support realists claims about the In most of these areas, historical case studies have been taken to
continuity of reference or about the preservation of approximately provide philosophical claims with independent evidence. They are
true theoretical constituents across theoretical ruptures. Yet anti- sometimes even thought to settle philosophical conicts, since they
realism too has claimed to be supported by the historical seem to allow for an assessment of which philosophical doctrine
agrees most with the historical facts. And yet, the idea that history
provides the philosophy of science with unproblematic evidence in
E-mail address: katherina.kinzel@univie.ac.at. the form of case studies has an air of navet. Problems arise with

http://dx.doi.org/10.1016/j.shpsa.2014.12.001
0039-3681/ 2014 Elsevier Ltd. All rights reserved.
K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57 49

regard to how episodes are chosen for analysis, how we can infer that the eld of history is vast and complex, defending a general
from a limited number of historical cases to a general philosophical philosophical interpretation of scientic knowledge on the basis of
claim, what constitutes a historical fact, whether and how historical a small set of historical cases is objectionable. The cases may have
reconstructions are informed by philosophical commitments, what been selected simply because they accord with the philosophical
type of evidence they offer exactly if so informed, and how to deal picture defended, while other historical episodes that would be
with the existence of plural, conicting case studies. harder to reconcile it with have been ignored. Thomas Nickles
This paper addresses some of these questions. It seeks to clarify warns that history is similar to Bible exegesis: if one looks long and
what evidential functions historical case studies can play in the hard enough, one can nd an isolated instance that conrms or
context of philosophical debates. It argues that in order to assess disconrms almost any claim (Nickles, 1995, p. 141). On the basis of
case study evidence, we rst need to understand the methodology similar considerations, Joseph Pitt detects a dilemma in the philo-
involved in producing historical case studies. It therefore presents sophical use of historical case studies:
an account of the historiography of science that emphasizes the
On the one hand, if the case is selected because it exemplies
narrative character of historical accounts and the theory-laden
the philosophical point being articulated, then it is not clear that
character of historical facts. The main conclusion of this paper is
the philosophical claims have been supported, because it could
that historical case studies are able to provide philosophical claims
be argued that the historical data was manipulated to t the
with some evidential support, but that, due to theory-ladenness,
point. On the other hand, if one starts with a case study, it is not
their evidential import is restricted.
clear where to go from there e for it is unreasonable to gener-
The paper has ve parts. In the rst part I discuss some recent
alize from one case or even two or three. (Pitt, 2001, p. 373)
contributions to HPS methodology, most importantly Jutta Schick-
ores criticism of the so-called confrontation model. I argue that The dilemma between topedown manipulation and bottomeup
while the confrontation model is indeed as problematic as insignicance leads Pitt to claim that even the best historical case
Schickore suggests, the intuition that historical case studies provide studies cannot do any philosophical work. At worst, case studies
evidence to philosophical claims need not be equally misguided. may lure us into agreement by giving the false impression that
The second part presents a narratological account of historical case history is on our side (Pitt, 2001, p. 373). Case study evidence,
studies and explores the ways in which historiography is a according to Pitt, is not evidence at all. If we seek to retain the
constructive endeavor. The third part explains in which sense his- common practice of supporting philosophical views with historical
torical facts are theory-laden. The fourth part distinguishes be- case studies, it seems we ought to nd a way to avoid this harsh
tween different evidential functions that historical case studies judgment. We ought to show that Pitt is wrong.
may be said to fulll: providing novel information, forcing belief Jutta Schickore develops a criticism of Pitts dilemma in the
revision, conrming philosophical claims, and adjudicating be- context of her discussion of the confrontation model of HPS
tween conicting philosophical views. Having distinguished be- (Schickore, 2011, p. 468). The confrontation model consists of a set
tween these four evidential functions, in the fth part I offer an of assumptions about the relations between historical research and
analysis of how case studies can support philosophical claims philosophical analysis that became dominant when the project of
despite being theory-laden. I argue that case studies do provide naturalizing philosophy of science began to ourish. In the model
some degree of empirical conrmation despite being laden with
accounts of past scientic episodes function like empirical data
theoretical assumptions, but that their evidential import is limited.
for the construction of scientic theories. They are the starting
They can fulll some, but not all of the evidential functions
point for generalizations about science or the basis for tests of
distinguished. In particular, they fall short of adjudicating between
general theories of science. (Schickore, 2011, p. 468)
conicting philosophical doctrines.
Before I begin my discussion, I need to add a word on the focus The model is thus structured by the opposition between general
of this paper. First, this paper is not about the relations between the and particulardthe philosophy of science formulating general
history and the philosophy of science in general, nor about the claims on the one hand, the history of science providing evidence
many different roles that historical arguments may possibly play in about particular cases on the other. Moreover, it assumes that
the philosophy of science. There exist various forms in which his- philosophical hypotheses and historical evidence are produced
torical research and material may inform and become relevant to independently of each other, and envisions their relation as a post
the philosophy of science. Yet in this paper, I restrict my discussion hoc confrontation.
to a specic genre of historical writing, namely case studies. Although the model usually remains implicit, structuring the
Second, my arguments concern the use of case studies for the rhetoric that surrounds the evidential uses of case studies, there
empirical justication of philosophical claims. There exist other exist some examples that illustrate the model in a particularly clear
uses of case studies worthy of discussion, heuristic, hermeneutic manner. One such example is Arthur Donovans, Rachel and Larry
and illustrative uses for example. In this paper, I do not put a strong Laudans Scrutinizing Science project (L. Laudan, 1989; R. Laudan, L.
focus on such non-evidential uses. I am primarily concerned with Laudan, & Donovan, 1988; for critical discussion see Nickles, 1986;
empirical justication, and with whether historical case studies can Radder, 1997). The project seeks to test existing theories of sci-
provide it. ence against the historical record. Each contribution to the volume
confronts the empirical claims that are entailed in a specic phil-
2. Historical evidence and the confrontation model osophical account of scientic change with a historical case study.
The methodology is hypothetico-deductivist, with philosophy
The intuition behind philosophical use of case studies is often presenting the hypotheses and history the tests.
inductivist. More than merely exemplifying philosophical theses, Another variant of the confrontation model can be found in
the use of case studies conveys the expectation that there will be debates on scientic realism. Putting forward his famous attack on
more cases similar to the one described, and that therefore the the no-miracles argument, Laudan presents a list of past scientic
actual episode under study reveals some general or at least typical theories that were empirically successful at the time but turned out
features of the scientic endeavor. to be either non-referring or false. He makes this list into the basis
Unfortunately, this makes philosophical uses of historical case of a pessimistic projection about the epistemic status of current and
studies vulnerable to a version of the problem of induction. Given future scientic theories. But while he claims that the list could be
50 K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57

extended ad nauseam (L. Laudan, 1981, p. 33), realists typically But what should we say about the evidential functions of case
deny that successful but false theories are very common in the studies? While Schickore gives us an account of what makes case
history of science. They attempt to reduce the inductive base of studies philosophically signicant, her proposal shifts the focus
Laudans challenge by arguing that only predictively successful away from the problem of historical evidence. In her hermeneutic-
theories of mature sciences are at issue (Boyd, 1984; Worrall, 1994, historicist proposal, historical inquiry does not even serve to pro-
p. 335) and they seek to reconcile the remaining mature and suc- vide philosophical views with evidential support. Rather, history
cessful theories on the list with the realist picture of truth preser- serves to further our understanding of present scientic concepts.
vation (Psillos, 1999, pp. 115e145). The underlying assumption is A similar turn away from the problem of historical conrmation
that philosophical positions stand or fall by whether they provide can be observed in Hasok Changs proposal for integrating history
valid generalizations of the historical record of science. and philosophy of science. Chang suggests to think of the historye
It is fairly obvious that Pitts dilemma too is based on the as- philosophy relation not as a relation between the particular and the
sumptions of the confrontation model. Because philosophical general, but rather as a relation between the concrete and the ab-
claims and historical reconstructions are supposed to be indepen- stract. He notes that any analysis of concrete historical episodes
dent, any philosophical guidance in the selection and interpretation depends on abstract ideas and concepts. When extracting abstract
of the historical material is suspect of illegitimate manipulation. insights from a historical case, we are therefore not inductively
Because philosophical claims are assumed to be general while generalizing from the case. Rather we articulate our concepts and
historical cases are particular, a single case study is philosophically ideas. According to Chang, historical research can turn into a pro-
insignicant. ductive resource for philosophical thinking. [H]istorians can
One way to avoid this dilemma is to abandon the model it is actively engage in the creation of new philosophical ideas through
based on. But where exactly does the confrontation model go their concrete investigations (.) History writing can be a very
wrong? For Schickore, the problem lies with the analogy with sci- effective method of philosophical discovery. (Chang, 2012, p. 111)
ence. [T]he confrontation model (.) portrays philosophical anal- Chang puts a strong emphasis on the productive heuristic role of
ysis as akin to the practice of natural science, as a practice of the historiography of science. The question as to whether and how
constructing a general theory, producing data, and confronting the historical research can provide empirical conrmation to philo-
theory with the data (Schickore, 2011, p. 471). In this way, it ne- sophical claims is pushed into the background.
glects that philosophical analyses of science are dependent on Pace Schickore and Chang, we may not wish to give up the idea
hermeneutic acts of interpreting, clarifying and explicating scien- that history serves evidential functions. In the past, evidential uses
tic concepts and arguments (Schickore, 2011, p. 471).1 of case studies played an important role in correcting for the
Consequently, Schickores alternative proposal for HPS is her- idealized images of science that have been conjured up by armchair
meneutical. Schickore presents her approach as a continuation of philosophers. Philosophys contact with actual scientic practices
earlier contributions to the debates on the marriage between the was not only retained because case studies offer hermeneutical
history and the philosophy of science. According to her, in re- understanding or heuristic guidance in the articulation of concepts.
ections by Peter Achinstein (1974), Ernan McMullin (1974), and It was also retained because the production and use of case studies
Richard Burian (1977) looms a hermeneutic alternative to the was motivated by a norm of historical adequacy: a philosophical
confrontation model. This alternative conceives of the analysis of claim that is historically plausible is better warranted than a philo-
science as a project in which historical and philosophical research sophical claim that is not. And in order to be historically plausible,
are not clearly distinct: the historical case is approached on the philosophical concepts need to do justice to the complex and changing
basis of initial interpretative concepts, but these concepts, in turn, realities of science that are revealed by historical case studies. Trying
are modied in response to the ndings that they enable to make sense of this norm, the confrontation model ended up with
(Schickore, 2011, pp. 471e473). Schickores proposal is also histor- an oversimplied and misleading account of the relations between
icist, in that it is based on the maxim that understanding something the history and the philosophy of science. But let us not throw the
depends on understanding how it came about. The philosophical baby out with the bath water. Historical case studies might provide
value of historical case studies thus lies in their contributing to a some kind of evidence for philosophical claims even if the
hermeneutic history of the present. By providing an under- confrontation model is misguided.
standing of how present scientic concepts, norms and practices Before I proceed to developing my own account of the evidential
emerged historically, case studies retain philosophys contact to functions of historical case studies, I want to return to the question
actual science (Schickore, 2011, pp. 461e462, 474).2 as to what exactly is problematic about the confrontation model.
My diagnosis of the main problems of the model leads in a natural
way to two desiderata for a better account of the role of historical
1
One may add that the confrontation model is oversimplied for natural science evidence.
too. It neglects the role of lower level theorizing and model building in science and As explained above, Schickore suspects the analogy with sci-
therefore misses that not all scientic theory is general in the way the model as- entic theory production and evidence gathering to be the source
sumes. It also downplays the complexities of theoryeevidence relations in the
of the problem. I do not fully agree with this assessment. I believe
sciences that have been explored in debates on underdetermination, theory-
ladenness, and the experimental creation of phenomena. I will come back to this the blame is to be put not on the analogy with science, but rather on
point in my own assessment of the weaknesses of the confrontation model. an oversimplied idea of historical evidence on the one hand, and
2
Another alternative to the confrontation model has been outlined by Hans an outdated concept of theory conrmation on the other. In both
Radder (1997). Radder discusses Ian Hackings conception of styles of reasoning and respects, the failures of the confrontation model reveal a deep irony
Nickles reconstructionist interpretation of the development of science as prom-
in philosophers dealings with historical research.
ising strategies for combining historical and philosophical perspectives. Unlike
Schickore, he stresses the relative autonomy of philosophy from history and the First, the confrontation model reduces the historiography of
generalist character of philosophical theorizing. On his view, theoretical philosophy science to an empirical record of facts about past science. Historical
aims to make sense of non-local patterns in the historical development of science, evidence is treated as if it were unproblematically available. In this
i.e. patterns that are not (or not necessarily) universal but still posess a broader way, the confrontation model drastically underestimates the
historical signicance (Radder, 1997, p. 649). In this paper I cannot go into the
question as to how general and autonomous philosophical theorizing ought to
methodological and theoretical investments historians and phi-
be. But let me note that, like Radder, I believe that philosophical analysis and losophers of science need to make when writing case studies. It
historical research are both strongly interdependent and partly autonomous. renders invisible the interpretative efforts involved in retracing the
K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57 51

reasoning processes and knowledge practices that past scientists draw on the narratological tradition for similar purposes, using its
engaged in, and the constructive efforts required when trying to insights to complicate the notion of historical evidence.
render intelligible the dynamics of scientic change. In short, it The main premise of narratology is the idea that historical
neglects that engaging in historical research raises specic meth- representation takes a narrative form. The constructive act of his-
odological demands. It is ironic, if not outright absurd, that people toriography is seen to consist of endowing past events with a
whose profession it is to reect on the complex methodologies of narrative structure. Historical events are rendered intelligible by
the natural sciencesdphilosophers of sciencedshould be blind to being embedded in meaningful stories. Moreover, what type of
methodological questions arising in the discipline of history. story is being told determines what information the historical ac-
Second, the confrontation model depends on outdated count can convey. Put in a nutshell, history is storytelling, and
conception of theory conrmation. While philosophical debates on stories convey knowledge.
the Duhem-Quine thesis, the theory-ladenness of observation, In his reections on the narrative principles that underwrite
underdetermination, tacit knowledge, the experimental creation of historical discourse, Hayden White (1973) develops some of the tools
phenomena, and so on, reveal theory conrmation in science to be that allow us to account for the narrativization of historical events
a highly intricate issue, philosophers of science tend to fall back on and processes in case studies in the history of science. In particular,
nave inductivist and nave falsicationist intuitions when it comes three features of narrativization identied by White can serve to
to their own use of historical case studies. Again it seems deeply understand how case studies actively (re)construct the historical
ironic that philosophers have failed to apply the lessons about the facts that they talk aboutdselection, emphasis, and emplotment.3
conrmation of knowledge claims that they themselves generated Selection. White observes that unlike past reality, a narrative has
to their own practices of empirical justication. a beginning, a middle and an end. In order to build a historical
To conclude, the problem with the confrontation model is not so account, the innite series of historical events (the chronicle) has to
much that those who implicitly or explicitly adhere to it treat the be molded into a story that characterizes these events in terms of
relations between history and philosophy of science too much like inaugural motifs, transitional phases and endpoints (White, 1973, p.
theoryeevidence relations in the natural sciences. The problem is 5). This is particularly salient in case study history which is usually
that they fail to appreciate that the history of science, and its role in concerned with local, temporally restricted episodes. The identi-
philosophical contexts, is just as complex and philosophically cation of a case or episode depends on selecting from the innite
demanding as are theoryeevidence relations in the sciences. web of historical processes a denite set of events that occur within
This diagnosis provides us with two general desiderata for a nite time-span.
thinking about the evidential relations between historical case Emphasis. However, a historical narrative does not only select
studies and the philosophy of science. First, we need a more rened some historical events while excluding others. To some events it
concept of historical evidence that acknowledges the methodo- attaches a central signicance for the progress and resolution of the
logical efforts involved in historical reconstruction. And second, we story, while other events receive only a subordinate status. Events
need a more rened account of theory conrmation. To pave the are thus arranged into a hierarchy of signicance (White, 1973, p.
way to such an account, in the following I present a view of the 7), as they are assigned different functions in the story (see also
historiography of science that emphasizes the constructive efforts White, 1978, pp. 54e55).
involved in devising plausible narratives about historical episodes Emplotment. White emphasizes that the way in which events are
and that highlights the theory-laden character of historical facts. emplotteddwhat precise story is being tolddhas consequences for
the information and meaning that a historical narrative brings
3. A narratological account of historical case studies across. The same historical episode can be reconstructed as a trag-
edy, a romance, a comedy or a satire (or, if we leave the strict pa-
If historical case studies provide evidence in the context of the rameters of Whites genre taxonomy behind, as any other story
philosophy of science, they do so because they offer factual type), and depending on the mode of emplotment, different aspects
knowledge about the past. But the historical fact is not simply of the episode under study will be brought to light, and different
found. Historical events and processes have to be reconstructed philosophical and moral conclusions will attach themselves to the
from available sources, meaningful connections between historical historical events (White, 1978, pp. 46e48, 1984, pp. 42e45). The
events have to be identied, an episode or case needs to be isolated, closure of the narrative is particularly important for conveying
the appropriate context for that episode must be identied, and so philosophical signicance. When the story reaches its resolution,
on. The historical fact is not a simple given, but rather the outcome the questions that were raised at the beginning are answered, and
of a complex and partly constructive methodological process. the expectations built up throughout the narrative are either satis-
The constructive dimension of historiography has long been ed or disappointed. In this way, an episode of the past is experi-
emphasized in the narratological tradition within the philosophy of enced as a more or less coherent, self-contained and meaningful
history (Ankersmit, 1983; Barthes, 1981; Carr, 1991; Ricoeur, 1980; whole that carries a moral or ideological signicance (White, 1980,
White, 1973). Yet, narratological debates did not make a huge pp. 23e25). This aspect is also particularly important for case study
impact on the historiography of science, let alone HPS (notable history, since narrative closure endows case studies with unity.4
exceptions are Christie, 1993; Clark, 1995; Feldhay, 1994). Recently,
Jouni-Matti Kuukkanen (2012) called for a narrativist turn in the
historiography of science. According to Kuukkanen, historians of
3
science, partly due to the inuence of sociological and anthropo- I will not reproduce Whites conception of narrative in detail. Whites account
has some deeply problematic features, among them the rigid and ahistorical
logical empiricism in science studies, have neglected their own role
character of his structuralist taxonomy of styles of historical writing, and his
as active constructers of historical narratives about past science. anything-goes relativism. My use of Whites concepts in this paper is pragmatic and
Instead, they have espoused an uncritical Rankean realism unsystematic. It is based on the idea that we can utilize some of the central insights
towards their own representational activity (Kuukkanen, 2012, of the narratological tradition for our purposes without thereby buying into the
more dubious features of Whites account.
p. 342). According to Kuukkanen, narratology could fulll a self- 4
For detailed analyses of how the narrative structures of particular works in the
critical role for the historiography of science and encourage historiography of science endow historical events with meaning and thus convey
debate about the epistemic standing of historiographical writing specic philosophical conclusions, see Feldhay (1994), Clark (1995) and Kinzel (in
outside the realist mold (Kuukkanen, 2012, pp. 358e363). I will press).
52 K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57

The concepts of selection, emphasis and emplotment help to systematic or even consistent theoretical framework. Quite often, a
explicate what the constructive dimension of historiography con- historical account is guided by a set of incoherent, rough and ready
sists in. They are also useful for identifying the ways in which assumptions about past events and their signicance.
historical accounts in general, and case studies in particular, are An example for theory-guidance in the history of science can be
theory-laden. found in Geoffrey Cantors and Steven Shapins competing re-
constructions of 19th-century Edinburgh phrenology (Cantor,
4. Theory-ladenness in historiography 1975a; Shapin, 1975). Taking phrenologist and anti-phrenologist
worldviews to be incommensurable, Cantor puts a strong
Introducing the concept of theory-ladenness allows one to emphasis on the theological, philosophical and methodological
conceptualize the historical conrmation of philosophical claims in issues that were at stake in the debate. Shapin selects and em-
analogy to the theory-laden conrmation of theoretical claims in phasizes rather different features of the episode. Defending a so-
science. Exploring this analogy, David Hull observes that [h]istory ciological perspective, he situates the phrenological debates in the
of science cannot be written from no perspective whatsoever. context of the social transformations of 19th-century Edinburgh
(Hull, 1992, p. 472) He argues that the beliefs and assumptions that society, includes information about the class afliation of phre-
inuence historiography are usually implicit and do not take the nologists and anti-phrenologists, and stresses the connections be-
form of systematic theories of history. And because of their implicit tween political and scientic ideas. In their respective historical
and half-formulated character, their inuence on the data that narratives, the two authors make different theory-guided selec-
are gathered are likely to be even more pervasive and elusive than tions of historical events, they include different types of informa-
the parallel situation in science. (Hull, 1992, p. 471) Nevertheless, tion, and emphasize different aspects of the scientic controversy
Hull believes that even theory-laden historical facts can challenge they study (Further examples for the theory-laden selection of
philosophical theories and in this sense can provide a limited de- historical events are discussed in Kinzel, in press).
gree of evidential support. Theory-ladenness. However, the constructive dimension of his-
I fully agree with this general conclusion. However, Hull does toriography is not restricted to selection and emphasizing. The
not explicate his views on theory-ladenness in great detail. I go historical fact is an outcome of a constructive process on a more
beyond his analysis in two respects. First, in this section I offer a fundamental level. Historical events are not simply found, but have
more detailed account of the nature of theory-ladenness in histo- to be inferred from the available sources. And the inferential and
riography. I discuss the different ways in which theoretical as- interpretative processes that enable historians to identify facts,
sumptions can structure historical reconstructions. My discussion events and their interrelations are informed by theoretical as-
is informed by the narratological insights into the constructive sumptions. Hence, historiography is not only theory-guided, but
dimension of historiography discussed above. Second, in the sec- theory-laden in the sense that historical events are partly consti-
tions to follow I distinguish between four different evidential tuted by theory.
functions that historical case studies may be said to fulll. On this The theory-laden construction of historical events proceeds in
basis I identify the challenges that arise for evidential uses of his- two directions: bottom-up, from the sources to the events; and top-
torical case studies, arguing that theory-ladenness impedes some down, from the narratives to the events. In the bottom-up infer-
but not all of their evidential functions. ential processes that lead from the sources to the events, theoretical
What is the nature of theory-ladenness in historiography? In the assumptions enter already when it comes to determining which
philosophy of science, the theme of theory-ladenness has originally sources are considered relevant and reliable. But perhaps more
been introduced with respect to observation or perception importantly, once this is determined, the sources are then related to
(Feyerabend, 1975; Hanson, 1958; Kuhn, 1962). However, it has since each other, compared and interpreted, such that past events, ac-
been stressed that various aspects of the scientic process may be tions and meanings can be inferred from them. And these infer-
affected by distinct forms of theory-ladenness. The production of ential processes are structured by prior theoretical assumptions.
data, the evaluation and interpretation of the evidence, scientists Deriving historical events, actions, arguments, historical actors
attention and memory, and the processes of scientic communi- beliefs and value judgments from the available sources is a theory-
cation may all be subject to different forms of theory-ladenness laden process.
(Brewer & Lambert, 2001). Discussing the role of theoretical as- The top-down identication of historical events is also laden
sumptions in scientic experimentation, Michael Heidelberger with theoretical assumptions. As Paul Roth observes, events may
introduces a useful distinction between theory-ladenness and be sliced thick or thin, a glance may be identied as an isolated
theory-guidance. While theory-ladenness proper occurs when event or as an instance in an event. What the unit-event is depends
experimental observation is interpreted in the light of a theory, such on the telling of it (Roth, 1988, p. 9). Since some theoretical as-
that the meaning of an observational term is determined by theory sumptions are built into the narrative structure of a historical ac-
(Heidelberger, 2003, pp. 140e141, 145), the concept of theory- count, the fact that the precise story that is being told is constitutive
guidance refers to how the disposition to make a particular for what historical facts and events are identied is a phenomenon
observation depends on the theoretical background of the observer of theory-ladenness. The processes of emplotment that I have
(Heidelberger, 2003, p. 144). The distinction is between which ob- described above are processes of the theory-laden identication of
servations are being made (theory-guidance) and what the obser- historical facts and events.
vations made mean (theory-ladenness). Equivalents to theory- As an example, consider controversies over the Scientic Revo-
guidance and theory-ladenness can be found also in historiography. lution. Whether one can identify a massive rupture in 17th- and
Theory-guidance. We can speak of theory-guidance in histori- 18th-century knowledge practices that deserves to be called a
ography when the selection of a historical episode and of the rele- revolution depends on our concept of revolutionary processes in
vant historical events is informed by theoretical concepts, or when science (a useful discussion is given by Porter, 1986): what types of
prior theoretical and methodological assumptions structure the discontinuity mark a revolutionary change, how rapid and profound
emphasizing of historical events, and the resulting hierarchy of do the transformations have to be, how much debate and resistance
signicance. As Hull has pointed out, the relevant assumptions is required, and so forth? Theoretical presuppositions regarding
do not have to take the form of explicit theoretical commitments, these and related questions, in turn, structure and constrain the
but may remain implicit. Moreover, they do not have to build a narratives that historians tell about 17th- and 18th-century science.
K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57 53

Rivka Feldhay gives a detailed analysis of how the theoretical and falsication. The reference to Duhem reminds us that ndings that
ideological presuppositions that are embodied in the historical clash with theoretical expectations do not disconrm any isolated
narratives told by Eduard Jan Dijksterhuis, Alexandre Koyr, and theoretical hypothesis, and hence that there is some exibility
Frances Yates determine which patterns and driving forces they are regarding which assumptions we end up modifying and how we do
able to identify in the Scientic Revolution (Feldhay, 1994). What so (Duhem, 1954, pp. 185, 216e217). But modify them we must.
type of event the Scientic Revolution is depends on the theory- Forcing us to revise our beliefs is another evidential function that
laden telling of it. case study research may play.
We are now better equipped to reconsider the question as to Conrmation. The most common expectation regarding case
how historical case studies can provide evidence in the philosophy study evidence, however, is that it in some sense conrms a
of science. To summarize my main claims, case studies support philosophical view. While there are many different accounts of
philosophical doctrines on the basis that they provide factual theory conrmation on the market (Hypothetico-deductivism,
knowledge. However, the historical fact is not a simple given. It is Corroborationism, Bayesianism, and others), the common intui-
the result of complex constructive processes. These processes tion is that the available evidence makes the belief in question
involve theory-guidance, because the selection and emphasizing of more justied, better warranted, more plausible, more acceptable,
historical events in a narrative is shaped by (explicit or implicit) or more likely to be true, than it would be if the corresponding
theoretical and methodological commitments. They also involve evidence were not available. Conrming a philosophical claim in
theory-ladenness. First, because historical events are reconstructed the sense of raising its credibility and probability is usually
from the sources in inferential maneuvers that rely on prior theo- considered the central evidential function of case studies in the
retical assumptions. And second, because the identication of his- philosophy of science.
torical events depends on how they are emplotted, that is on which Adjudicating. Finally, the strongest sense in which a case study
precise story is told about them. may provide evidence is as an arbiter in a philosophical contro-
That historical events are constructed in the manner described versy. The idea is that history is an independent and neutral ground
does neither automatically imply that they are no real facts of for assessing competing philosophical views and that historical
history, nor that case studies cannot provide the philosophy of case studies can therefore be used for settling philosophical con-
science with evidential support. It means, however, that phenom- icts. Much like a crucial experiment in science, a case study may
ena of theory-ladenness complicate the empirical conrmation of be taken to conrm one philosophical doctrine while falsifying a
philosophical claims and doctrines. In the next two sections of my rival position. In this way, a case study may provide the philosophy
paper, I address this problem. of science with evidence that adjudicates between conicting
philosophical views.
5. The evidential functions of historical case studies Having distinguished between these four different evidential
functions of historical case studies, we can now turn to the question
When philosophers claim that case studies provide their views whether some of these functions are impeded by the theory-guided
and doctrines with empirical evidence, it is not always clear what is and theory-laden character of historical facts.
at stake. Sometimes, the claim is that we can learn something
specic from the episode in question that we would not have 6. Limited evidential support
known otherwise. Sometimes, the suggestion is that the case
makes the philosophical view in question more plausible than it In this section, I explore the nature of the challenges that arise
would be without the historical evidence. And sometimes it is from the theory-laden character of historical evidence. I argue that
claimed that the historical evidence adjudicates between conict- historical case studies are able to provide philosophical claims with
ing philosophical views. In order to arrive at a more nuanced ac- some types of evidential support, but that, due to theory-ladenness,
count of empirical conrmation by case studies, we rst need to their evidential import is limited. Case studies can fulll some but
distinguish more clearly between these various evidential roles not all of the four evidential functions described above.
that case studies can play. I believe we can discern at least four First, theory-ladenness does not seem to undercut the possi-
different evidential functions that we may wish historical case bility of gaining new knowledge from a case study. In the narra-
studies to fulll in the context of the philosophy of sciencednov- tological account of historiography, the picture of what historical
elty, recalcitrance, conrmation and adjudicating. facts and historical knowledge consist of has become somewhat
Novelty. One function of historical case studies is that they more complicated. But even if historical accounts are not just re-
provide us with new, previously unknown and perhaps surprising cords of given facts, but theory-laden narrative constructions, they
information. New information about the precise historical dy- can tell us something about the historical world that we did not
namics of an episode of scientic change, new insights into the know before. In his response to Pitt, Richard Burian emphasizes the
structure of a scientic debate, new knowledge about the reasons capability of case studies to produce ndings that cannot be gotten
and causes that motivated a certain scientic decision, and so on. from more abstract armchair philosophical work. (Burian, 2001,
Providing us with new knowledge is perhaps the weakest sense in p. 388). And he stresses that in order to be epistemically useful, case
which case studies can be evidential. studies do not have to be philosophically innocent (Burian, 2001,
Recalcitrance. A somewhat stronger claim is that engaging in p. 388). Put differently, the evidential function of providing novel
case study research can force us to revise our beliefs. The herme- knowledge is not necessarily curtailed by theory-ladenness.
neutical process of historical reconstruction described by Schickore The second function that I identied abovedrecalcitrancedis
is such that initial assumptions are revised and modied in the more controversial. The problem is familiar from debates on
process of historical reconstruction (Schickore, 2011, p. 472). But theory-ladenness in science. Theory-ladenness is often thought to
belief revision only becomes necessary when the historical material bias the empirical evidence that is used to test a theory towards
resists being interpreted in terms of the initial judgments and that same theory. It thus immunizes the tested theory against
preconceptions. It is the recalcitrant character of the historical disconrming evidence, such that a circular structure of self-
material that enables us to learn from history in the sense of having conrmation results: If a theory determines its own empirical
to revise our beliefs. The concepts of recalcitrance and belief revi- basis it is hard to see how, if ever, there could arise any conict
sion are, of course, Duhemian surrogates for the notion of between theory and evidence (Carrier, 1989, p. 406).
54 K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57

One answer to this difculty is the independence argument, concepts and ways of thinking that philosophers may not come
that is, the claim that theory-ladenness is not problematic as long up with from their entirely abstract work. (Chang, 2012, pp.
as the ladening theory and the tested theory are independent of 121e122)
each other (Kosso, 1989, 1992, pp. 159e176). Alison Wylie argues
Changs reections show that a historical episode cannot only prove
the case for archeology. She shows that the security and indepen-
recalcitrant with respect to previously held philosophical as-
dence of the middle-range theories involved in the construction of
sumptions. Because case studies provide novel knowledge they can
archeological evidence allows this same evidence to act as a
also serve as a guide to how the initial assumptions should be
constraint on interpretation (Wylie, 2000). Given that indepen-
modied and revised. Beyond being heuristically useful, case
dence arguments are fruitful in the case of archeology, they may be
studies fulll important evidential functions by constraining the
relevant for the historiography of science as well. However, there
processes of belief revision.
are difculties when it comes to carving out the notion of inde-
How about conrmation? In order to answer the question
pendencedespecially in the context of HPS, where the question is
whether case study evidence can conrm philosophical views, it
not under which conditions different scientic theories can be said
makes sense to briey return to Pitts dilemma. The two horns of
to be truly independent of each other, but under which conditions
the dilemma were, on the one hand, top-down manipulation, the
different philosophical assumptions are independent. While I do
charge that the historical evidence may have been manipulated to
not deny that some version of the independence argument may be
t the philosophical point, and on the other hand, bottom-up
relevant for thinking about the ways in which historical narratives
insignicance, the problem that one cannot generalize from an
can provide evidence despite being philosophically informed, I nd
isolated case.
it hard to come up with a general account of what makes various
I hope my discussion of narrativity and theory-ladenness shows
philosophical claims truly independent of each other.
that the rst horn of Pitts dilemma is not as problematic as it ap-
A more straightforward strategy for dealing with problems of
pears at rst sight. The selection and reconstruction of a historical
theory-ladenness is to question whether theory-ladenness neces-
episode on the basis of philosophical assumptions does not
sarily implies a circular structure of justication (Franklin et al.,
constitute a case of illegitimate manipulation, but rather a case of
1989; Hudson, 1994). After all, it is not clear why theory-laden
theory-guidance and theory-ladenness. As I have just argued, it also
evidence cannot prove recalcitrant. Even on the assumption that
does not prevent a case study from providing new knowledge or
a theory helps to produce, select, structure and interpret evidence,
from forcing us to revise our beliefs. To the degree that we can learn
this does not necessarily imply that the result of this process will
from a case study, both in the sense of gaining new information and
always conrm the theory. Theory-ladenness may be a pertinent
in the sense of modifying our previously held assumptions, case
feature of scientic practice, but it does not seem to preclude the
studies can be philosophically signicant. I believe that for these
emergence of recalcitrant evidence. Hence, it does not preclude the
reasons, they also provide some degree of conrmation to philo-
possibility of one having to modify theoretical assumptions by
sophical views. A philosophical doctrine that has sought out contact
recourse to the evidence.5
with history and has produced historical case studies that corre-
I think the situation is similar when it comes to the historiog-
spond to its preferred picture of science has, at least ideally, incor-
raphy of science (see also Hull, 1992, pp. 471e472). Even if historical
porated new knowledge and gone through a process of revision. It is
reconstructions are dependent on theoretical assumptions, this
thus richer and more rened that a philosophical doctrine that has
does not guarantee that the result of the constructive process will
not produced any historical case studies, and should therefore
necessarily agree with the initial assumptions. Sometimes, we will
be considered more justied, better warranted, more plausible.
have to revise some of our initial judgments and conceptions in the
Because case studies fulll the evidential functions of novelty and
process of historical reconstruction, just as Schickore describes.
recalcitrance, they can also fulll a function of conrmation.
There may be plural ways in which we might successfully modify
However, the conrmation that case studies provide is usually
historical narratives in order to account for recalcitrant evidence,
limited. The reason for this is expressed in the second horn of Pitts
but this does not mean that our initial theoretical commitments are
dilemma. As long as philosophical views are conceived of as general
immune to revision. Despite theory-ladenness, case studies can
characterizations of the nature of science, there will always be
force us to revise our beliefs.
room for skepticism about whether sufcient historical support for
The evidential functions of novelty and recalcitrance prove
such views can be assembled. But not all philosophical claims take
particularly powerful in combination. This can be illustrated by
the form of general theories of science. As Burian notes, case studies
reference to Changs approach to integrating historical and philo-
cannot support universal methodologies of science or general
sophical analysis. As noted above, Chang believes that historical
theories of what the essence of science consists in. However, they
research can become a resource for philosophical thinking:
allow for limited generalizations about the local or regional stan-
We start with an existing philosophical framework, and nd dards of scientic enquiry (Burian, 2001, pp. 399e400). The degree
historiographical puzzles, namely episodes that are difcult to to which a case study conrms a philosophical claim thus depends
describe and understand. In attempts to nd an apposite on the precise formulation of that claimdon how generalist the
description of these episodes, historians can generate new philosophical aspirations are, on how well the philosophical doc-
trine in question can deal with local historical variations, and so
forth. This means that case studies do offer empirical support and
5
Robert Hudson argues that difculties for theory testing arise not from theory-
conrmation to philosophical views, but the exact degree of
ladenness, but from the Duhem-Quine problem. According to him, what corrupts conrmation depends on the philosophical view in question.
the constraining power of the evidence is not the presence of background theories, Finally, let us turn to the adjudicating role of historical case
but rather the fact that experimenters always have an option to question an studies. In order to settle philosophical disputes, historical case
auxiliary, background hypothesis when confronted with a disquieting empirical
studies would have to provide a type of evidence that can serve as a
result (Hudson, 1994, p. 606). I am not entirely convinced that theory-ladenness is
never to blame. Even if theory-ladenness is harmless most of the time, there may neutral arbiter in a philosophical conict. However, theory-
remain some genuinely troublesome cases in which it does lead to a circular ladenness is usually thought to curtail the possibility of deciding
structure of self-conrmation. Like Harold Brown (1993) I believe that the precise between different theories on the basis of neutral, theory-
relations between theory and evidence and the possible difculties for theory
independent evidence. Kuhn and Feyerabend formulated their
testing must be determined on a case-by-case basis.
K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57 55

views of theory-ladenness largely by reference to scenarios in And they are seldom neutral with regards to the questions at stake in
which theory choice is difcult (Feyerabend, 1975; Kuhn, 1962). The conicts between different historical reconstructions.
idea is that two rival theories may each produce a corresponding For example, Cantor criticizes Shapins historical reconstruction
body of theory-laden evidence. Even when each theory is forced to on the basis of reections about the methodology of historical
incorporate recalcitrant evidence and, as a result, introduces explanation. He chides Shapin for failing to provide an adequate
serious modications to its claims, the evidence does not constitute translational theory linking the social and the cognitive realms
a neutral ground on which to adjudicate between the rivals. While (Cantor, 1975b, p. 247). According to Cantor, it remains unclear how
evidence may turn out to be recalcitrant despite being theory- Shapin can explain belief systems in terms of social structure and
laden, this does not imply that it can neutrally decide between social conict, given that the cognitive and social realm are of a
conicting theories. different nature. Moreover, social inuences on science, although
The corresponding situation in historiography is that of alter- being relevant, can only give a partial, not a complete account of the
native theory-laden narrativizations of the same historical epi- content and development of scientic belief systems (Cantor,
sodes that encapsulate rival philosophical conclusions. In situations 1975b, pp. 155e156). Cantor is using the methodological criteria
in which one and the same case is reconstructed from competing of explanatory power and explanatory completeness to settle the
philosophical viewpoints, the historical evidence cannot settle the conict between the two rival historical reconstructions. It seems
philosophical conict in question. In these situations, historical the issue can be decided with the help of these criteria.
case studies cannot adjudicate between conicting philosophical And yet, the situation is a great deal more complex. In particular,
views. the concepts of explanatory power and explanatory completeness
We could perhaps avoid this conclusion if there were to exist a as understood by Cantor are not neutral between the rival con-
generally agreed upon and neutral procedure for deciding between ceptions of science that inform the conicting case studies. First, a
conicting narratives of the same events. If there were criteria for sociologist like Shapin may not accept the assumption that the
the evaluation of historical case studies that were neutral with cognitive and social realm are of a truly different nature and that a
regards to the philosophical issues at stake and that could therefore good explanation would therefore have to provide a mediating link
be accepted by anyone participating in the debate, historical evi- between the two. Indeed, much of Shapins paper is devoted to
dence could perhaps still be used to settle philosophical conicts. illuminating the social and political meanings of phrenological and
Alas, such neutral criteria are hard to nd. The problem takes the anti-phrenological beliefs. For Shapin, the concepts and arguments
form of a dilemma. On the one hand, there do indeed exist neutral of the phrenologists and their critics have an inherent social sig-
criteria for the evaluation of historical case studies. But these nicance. They are not separated from social issues in the rst place
criteria are too weak to settle all historiographical conicts. On the (Shapin, 1975, pp. 221e222; Shapins general stance on the inter-
other hand, there exist stronger methodological criteria that can nalismeexternalism problem is detailed in Shapin, 1992). In
settle most conicts. But these criteria are usually not neutral. I have pressing Shapin to offer a translational theory that mediates be-
given a more detailed account of this dilemma elsewhere (Kinzel, in tween the social and the cognitive, Cantor is assuming one of the
press). In the following, I will briey recapitulate my ndings. points at issuednamely that the social and the scientic are of a
There do exist some basic evaluation criteria that are neutral fundamentally different nature. Second, the criterion of explana-
with regards to philosophical conicts. Whether one is a scientic tory completeness that Cantor applies when arguing that Shapins
realist, anti-realist, social constructivist, pluralist, or what have you, sociological reconstruction does not offer the full story of the his-
usually does not matter for whether one believes a historical ac- torical happenings is not neutral either. This becomes particularly
count to be internally consistent and based on a sufciently broad obvious when considering that Shapin too mobilizes this criterion
range of reliable sources. Criteria such as internal consistency, when criticizing Cantor. According to him, Cantors reconstruction
source-reliability, range and variance of the sources can be used to is incomplete, because it avoids the social dimension of the phre-
adjudicate between conicting historical reconstructions in a nology debates (Shapin, 1975, pp. 219e220). What is a complete
neutral manner. However, these neutral criteria are weak in that explanation and what is not depends a lot on ones theoretical
they are easy to meet. It is often possible for two (or more) con- preferences.
icting accounts of the same events to be both (or all) internally The example illustrates that the methodological criteria for
consistent and based on a sufciently broad range of source ma- what constitutes a good and complete explanation are not always
terial. The basic and neutral evaluation criteria cannot adjudicate neutral with regards to the issues at stake in a historiographical
between such rival reconstructions. conict. Put differently, these criteria themselves are theory-laden.
As an example, take Cantors and Shapins rival reconstructions This is, I believe, a general point about the methodological criteria
of the Edinburgh phrenology debates. Both historians cover a broad of historical evaluation. The resulting dilemma is that neutral
range of sourcesdpublications, lectures, private corre- criteria are weak, while strong criteria are often theory-laden and
spondencedwhich they examine with great care and rigor. Both therefore not neutral. Because of this dilemma, history does not
present internally consistent narratives that are rmly rooted in the provide the neutral ground for adjudicating between different
empirical material. As far as criteria concerning internal consis- philosophical positions. Historical case studies typically cannot
tency and the use of empirical sources are concerned, both re- settle philosophical conicts.
constructions are acceptable. The basic and neutral evaluation The upshot of my argument is as follows. Historical re-
criteria are too weak to settle the conict. constructions do provide some types of evidence in the context of
Now, there do exist evaluation criteria that are stronger than the the philosophy of sciencedin particular, they produce novel
basic ones. They are usually of a methodological character: has the knowledge, force belief revision and to some degree conrm phil-
historical episode been adequately contextualized, has the true osophical claims, making each claim individually stronger than it
meaning of a historical text been restored, have anachronisms and would have been without the related historical support. However,
present-centered backwards projections been avoided, have the because historical accounts are theory-laden constructions, they
right causal factors been identied, and so forth? Considerations fall short of constituting neutral arbiters in philosophical conicts.
such as these can usually decide between conicting reconstructions We may learn from historical case studies and they can be put to a
of the same episode. Yet, contextualization, interpretation, present- variety of legitimate evidential uses. However, settling philosoph-
centeredness, and explanatory power are highly contested issues. ical conicts is not one of them.
56 K. Kinzel / Studies in History and Philosophy of Science 49 (2015) 48e57

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Kinzel K., Pluralism in historiography. A case study of case studies, In: Sauer T. and
Scholl R., (Eds.), The philosophy of historical case studies, Springer; Dordrecht,
For valuable discussions relating to the problem of historical (in press).
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without illusions. New York, Oxford: Oxford University Press.
am grateful to Martin Kusch, Hasok Chang, Elisabeth Nemeth, Hans Kosso, P. (1989). Science and objectivity. The Journal of Philosophy, 68, 245-257.
Radder and an anonymous reviewer. Research leading up to this http://www.jstor.org/stable/2027109
paper was made possible by grants from the Austrian Science Kosso, P. (1992). Reading the book of nature. An introduction to the philosophy of
science. Cambridge: Cambridge University Press.
Foundation (Project title: Contingency, Inevitability and Relativism Kuhn, T. S. (1962). The structure of scientic revolutions (3rd ed.). Chicago, London:
in the History and Philosophy of Science, Grant no.: P25069-G18) University of Chicago Press.
and the European Research Council (Project title: The Emergence Kuukkanen, J. (2012). The missing narrativist turn in the historiography of science.
History and Theory, 51, 340-363. http://dx.doi.org/10.1111/j.1468-
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