Agent Causation and Frankfurt-Type Examples

In his article, “Alternate Possibilities and Moral Responsibility,” Harry Frankfurt presents his argument that the principle of alternate possibilities is false. This principle, simply put, states that for a person to be held accountable (morally responsible) for an action, they must have been able to do otherwise. This seems to hold in the event that a person is coerced into an action, or that that action was the only one available to them, or that they were in some other way “forced” into that action. However, Frankfurt presents what has come to be known, appropriately, as a “Frankfurt-type” example, in which he seems to demonstrate that a person should at the same time be held morally responsible while being unable to do otherwise. Frankfurt, being a compatibilist, wishes to show that determinism and free will can coexist. But what happens to the principle of alternative possibilities if we are not compatibilists? What if we are instead proponents of agent causation? Does Frankfurt’s example still hold? It is my contention that while Frankfurt does indeed prove that the law of alternative possibilities is not logically necessary, an agent-causation view of free will creates problems for Frankfurt’s example.

Let us first examine Frankfurt’s example and what it shows before altering it to fit our purposes. In the most appropriate iteration of his Jones case, Frankfurt has a certain unsavory character named Black hiding in the background, waiting to intervene in Jones’s life if Jones does not do as Black desires. Once Jones begins to seem as if he will perform a certain action that Black is opposed to, then Black will intervene in whatever way necessary to bring it about that Jones does as Black desires. The way in which Black intervenes is not important; it could be anything from magic to neurosurgery. Whatever the method, the success of the intervention is guaranteed. When the fateful choice is made, though, Jones instead decides on his own to choose that outcome which Black desires, and therefore Black does not intervene at all. This example is supposed to show that Jones is morally responsible for his action because he performed it based on his own choices, though at the same time he could not have done otherwise because of the Black’s intervening in the event that Jones seems as if he will choose differently.

This example obviously demonstrates that it is logically conceivable that there can be a case in which a person is morally responsible and yet at the same time unable to do otherwise. Let us set aside the problem of how Black determines when Jones will decide on a certain action and simply take it for granted that Jones does indeed decide on his own to do as Black wishes. We can very easily conceive of such a situation’s coherence, and thus the point that Frankfurt is trying to prove becomes logically possible. All it takes is conception.

Let us now consider an alternate example, one in which a formulation of agent causation comes into the picture. Let it also be the case that the agent is immaterial, for example a soul. Black desires that Jones performs a certain action, and will do whatever it takes to make certain that the desired action does indeed come about. At the moment of choice, Black prepares to intervene if necessary, but Jones decides on his own initiative to do as Black wishes, and so Black does not do anything. The example seems, on the surface, to be exactly the same.

But let us look more closely at the moment of choice. At that moment, Jones-as-Agent deliberates on the options and comes to a decision based, in part, on his character as it exists. In the agent’s consideration, there are alternative possibilities, each of which is decided against in favor of the one the agent does in fact choose. As such, the agent assents to be held accountable to the choice it makes, from the very fact that it makes a positive choice against other actions. Zooming out a bit, though, we find that in fact Black stands ready to force the choice upon the agent in some inexorable manner.

If the agent does not become aware that Black is prepared to intervene, then the choice-making process runs as described above, in which the agent makes a positive choice against alternative possibilities and for others. But if the agent is in fact aware of Black’s plan, then the ability to make a positive assent toward a certain choice and against others is removed. The agent must, as it were, simply carry out the action as if scripted. And even if the agent still decides to perform the action Black wishes, that decision is impacted by the fact that its options are limited to that one action. What does the agent assent to? It conceives of itself as only having one option (let us say that Black will intervene in the case that the agent also decides to refrain from acting). The possibility of choice is gone. Whether the agent would have decided on its own to carry out the action Black wished is irrelevant at this point. Its hand is forced, and it cannot assent or refrain, only act in the specific manner proscribed. There can be no moral responsibility here. In short, the example fails if the agent becomes aware of the intervention. One must at least believe there to be other options for moral responsibility to be given.

But we can go even further. It is not clear whether something can compel an immaterial agent in any other way than intellectually, in the manner of some sort of threat. If that is the case, then the agent has no choice but to be aware of the intervention. As a result, given an immaterial agent such as a soul, it seems as if we must inevitably conclude that the Frankfurt-type example fails.

What if we modify the example to include some sort of self-forming action or character-defining decision such as those which Kane proposes? Let us say that Black is far more dedicated than we thought, and that rather than waiting until the moment the act takes place Black arranges that during Jones’s youth he is presented with certain choices that form in Jones a certain character which is more likely to decide in a certain instance in the way Black wishes. Let us assume that Black succeeds in shaping in Jones a certain character which is likely to choose to act in the way Black wants. However, as an added precaution, Black also plans to watch Jones and intervene at the moment of choice if necessary. As it turns out, Jones does in fact act according to Black’s wishes, and so Black does not intervene at that moment.

Is Black still controlling Jones’s decisions? Jones-as-Agent is in fact acting according to his character, but that character has been formed by Black’s machinations. The agent, it appears, is still being controlled. But because he is acting in accordance with his character, is Jones morally responsible? It appears to me that while in the previous example there is no moral responsibility, because there is no possibility of choice with the knowledge of compulsion, in this example Jones is at least partially morally culpable.

While the responsibility is mitigated, because Jones makes the decision on his own, he should be held partially accountable. Despite the fact that Black has formed Jones’s character, the agent still assents to the choice and as such must be held responsible to some degree. If Jones were to find out that Black had formed his character in the past, it would then be up to Jones whether to follow his character, which would mean that he would be following Black’s conditioning, or to act outside of his character. Would acting outside his character in this instance be considered free, because it is not under Black’s control?

Now let us assume that Jones is not only aware of Black’s character-forming actions in the past, but is also aware that Black plans to intervene at the moment of decision, in order to force Jones to act. In this instance, Jones loses moral responsibility as stated above because he cannot assent to the particular choice over other choices. Not only this, though, but Jones is actually not able to assent to following his own character. If he follows his character and acts on his own as Black wishes, he is not fully free; if he does not follow his character Black intervenes and forces the choice. Either way, Jones is not free. In the previous example Jones did not have moral responsibility. In this one, he does not have alternative possibilities.

To conclude, while Frankfurt showed in his example that moral responsibility and alternative possibilities are not logically necessarily connected, it seems as if the example only holds if we do not accept agent causation. The principle of alternative possibilities still holds true in an incompatibilist universe.



Works Cited

Frankfurt, Harry. “Alternate Possibilities and Moral Responsibility.” The Journal of Philosophy, Vol. 66, No. 23. (Dec. 4, 1969), pp. 829-839.