Non Dubito Essays in the Self-as-an-End Tradition
← 一百零八种人生 ← Great Lives
一百零八种人生 · 080 / 108 · 我们怎样知道
Great Lives · 080 / 108 · How We Know

波普尔:把方向翻过来的人

Popper: The Man Who Reversed the Direction

Han Qin (秦汉)

一、那把火钳

1946年10月25日。剑桥,国王学院。道德科学俱乐部。

波普尔被邀请来作报告。维特根斯坦在场,罗素也在。这后来成了二十世纪哲学史上最著名的一个房间。

他们争论:有没有真正的哲学问题,还是那些问题最终可以化解为语言的混乱。后来流传的回忆里,出现了一根火钳。它怎样被拿起,何时被放下,哪句话说在谁离开之前,在场的人也没有留下一个完全一致的版本。

我们不必替那一夜补出一个确定的胜负。

但火钳留下的形象,很像读波普尔时会遇见的一股力量。他跟维也纳学圈争论,跟库恩争论,也跟费耶阿本德争论。你刚觉得一个答案站稳了,他已经伸手去碰它最不稳的地方。

他为什么这么好斗?

因为他反复问一件事:你说你的理论解释了经验世界。那么,什么样的结果会让你承认,它可能错了?

如果无论发生什么,你都有办法把它变成自己的胜利,那么世界到底还能怎样回答你?

这句话听起来像常识。但当它真正朝着自己相信的东西转过来,才知道它有多难。

二、维也纳,那个他不属于的圈子

波普尔1902年出生在维也纳。他长大的时候,弗洛伊德在那里,维特根斯坦从那里来,马赫的影响还在空气中。

1920年代,维也纳学圈形成。石里克,卡尔纳普,纽拉特。他们追问一个命题怎样获得意义,经验怎样与语言相接。这不是一群永远说同一句话的人;逻辑、数学、验证与确证,在他们内部也不断引起讨论。

但有一种要求很鲜明:不能只凭说得庄严,就让一句话免于说明自己与经验有什么关系。

上一篇孔德留下的门槛,到了这里,又进入了语言内部。波普尔跟这个圈子很近,却不是成员。他觉得,检验科学理论这件事,不能靠不断搜集赞成票。

所有天鹅都是白的。

你见过一千只白天鹅,一万只白天鹅。能不能说这句话已经被证明?不能。下一只还没来。所有地方、所有时间,也没有被你看完。

但一只黑天鹅,足以与“所有”相冲突。

逻辑上的不对称就在这里。再多白天鹅,也封不住那个“所有”;一个成立的反例,却能使它站不住。

真正做研究时,黑天鹅还不能只凭一句报告游进来。那是不是天鹅?颜色有没有看错?别人能不能复查?检验要靠观察,观察也要接受检验。波普尔并没有把仪器和辅助假设从世界上抹掉。

可方向已经变了。一个科学理论的重要之处,不只在于有多少材料支持它,也在于它把自己暴露给了怎样的失败。

1934年秋,《研究的逻辑》出版,扉页标着1935年。后来英文版名为《科学发现的逻辑》。那只黑天鹅,已经游到了门口。

三、猜想在前

上一篇的路,从安排知识走向了检查安排。波普尔把另一件事推到前面:不要只问你的理论能解释什么,先问它排除了什么。

你不可能毫无问题地观察。观察什么?记录什么?忽略什么?这些选择已经带着一个方向。孔德也知道理论与观察相互需要;波普尔的锋利,不在于第一个发现人会先有想法,而在于让想法主动寻找自己可能出错的地方。

科学从问题和猜想向前走。你提出一个大胆的假说,尚未验证,可能是错的。然后设计检验,找它最经不起碰的地方。没有倒,不等于永远不会倒;真的遇见冲突,也还要查清,是理论出了问题,还是仪器、条件或判断出了问题。

这就是“猜想与反驳”。

猜想在前,检验在后。这里的先后,是工作的次序,不是给猜想发一张“独立于经验”的先验知识证书。猜想里可能带着多年实验、学过的数学和前人的难题。

但提出问题的人重新握住了方向盘。事实不是自动从座椅下面长出一个司机。司机也不能因为握住方向盘,就命令路面按自己的愿望转弯。

大胆,不是随便说错话。一个理论说得越具体,排除的可能越明确,现实越有机会使它难堪。一个无论发生什么都不会受伤的说法,也许只是没有冒过险。

波普尔回顾1919年的日食观测时,被爱因斯坦理论承担的风险打动。关键不只是光弯不弯,而是偏折量与理论预期怎样相对。那个预期可能与可靠的观测冲突。理论不是等世界走来鼓掌。

他拿弗洛伊德、阿德勒的一些解释作对照:一种行为可以证明理论,完全相反的行为也能证明同一理论。那么,究竟什么事情会使它遇到麻烦?这是波普尔的批评,不是说人的内心从此不值得研究。

他也批评某些马克思主义者在预测落空之后,不断补上新的解释。危险不在于修订本身。换掉一个坏仪器,补入一个可独立检验的条件,都可能使研究更好。危险在于,每一个补丁都只有一种用途:不准这个理论输。

“无论怎样,我都对。”

世界还在那里,却已经失去了回答的机会。

四、他画的那条线

波普尔画了一条线。线这边是经验科学。线那边不是。

这条线叫划界标准。一个经验理论必须允许可能的观察结果与它冲突,才真的把自己交给了检验。

注意,他说的不是“不可证伪的就是废话”。这是科学划界,不是意义划界。形而上学可以有价值,可以启发研究。伦理和美学不必先变成物理学,才有说话的资格。

波普尔本人比“只认检验”这句口号宽得多。他后来的“世界三”里有故事、音乐、艺术,也有数学问题和科学理论。它们由人创造,却能长出创造者没有预想到的问题。1978年,他还修正了自己此前关于自然选择理论可检验性的判断。他没有只要求别人改。

但口号比这些细节跑得快。

只要有人把“不是科学”接成“不值得认真听”,线就开始变成墙。讨论一首诗怎样使人看见自己的处境,对方只问:你能证伪它吗?如果不能,就收回发言资格。

诗根本没有申请做一项物理假说,却被叫去参加物理学考试。

这时,上一篇的水泥又回来了。材料更薄,更精密,像环氧树脂。它不必堵住所有缝隙,只要把别的工作会经过的出口封住。

灌进去的不是波普尔原来那条线。是我们拿着线,替所有人圈出来的辖域。

你可以检验一个说法。你不能因此占有所有说法应该怎样发生的权利。

五、他自己的缝隙

但还有一个问题,没有因为检验的方向变清楚就消失。

猜想是怎么来的?

波普尔说:先把思想怎样发生,与思想提出之后怎样检验,分开。《科学发现的逻辑》主要处理后者。这是明确研究范围,不等于宣布前者毫无价值。

可是本系列的路,恰恰要继续往那里走。

纸上已经有一个猜想,我们可以拿来批评。纸还是空白的时候呢?一个人为什么会在这里停住,为什么觉得那个别人没在意的地方值得再看一次?

爱因斯坦少年时追着光束想,后来又问自由下落的人会怎样经验自己的重量。不同问题,不同阶段。那些思想实验没有从世界外面掉下来。它们长在已经学过的物理与始终不肯消失的困难之间。

麦克林托克的“对有机体的感觉”,也不是先有一阵灵感,再去补几次观察。她在田间和显微镜前花过多年。熟悉得足够深,一个微小的差别才会使她停下来。别人看过了,她还在看。

一个念头怎样来到,不能替代接受它的理由。但不能替代,不等于可以从认识的故事里删掉。

库恩让我们看科学家每天实际怎样工作。他们大部分时间不是拆掉整个理论,而是在共同框架里解题。波普尔也承认这种工作存在;他们争论的是,这样的安稳应当被多大程度地当作理想,以及批评从哪里重新进入。

费耶阿本德把问题推得更远:那些声称没有例外的方法,真能装下科学史吗?“怎么都行”带着挑衅,但不是说任何答案都一样好。一个方法若只能承认自己已经预料到的进步,新东西从哪里进来?

波普尔跟他们争论。争论没有使检验失效,却让检验之外、检验之前那些不容易写成规则的工作,越来越难被略过。

这就是这里的缝隙。不是找到一个反例便宣布波普尔输了。是他替我们照亮了一段路,光照到的边缘,也把下一段路显了出来。

六、他和孔德

上一篇,孔德想替知识安排一种成熟的形式。这一篇,波普尔要求已经形成的理论,仍把可能失败的门开着。

一个在问:怎样才算成熟的知识?一个在问:你的知识怎样承受被纠正?

方向翻过来了。不是从绝对被动变成绝对主动,而是从不断寻找确认,转向主动承担反驳的风险。

这一大步,应当留下。

但“怎么检查一个理论”,不能自己扩张成“人怎样认识世界”的全部。来路、训练、注意、直觉,甚至问题为什么值得问,还在检验程序外面要求解释。

波普尔没有把这些东西统统赶出去。他也讨论开放社会,讨论一个制度怎样容纳批评,怎样更换掌权者而不必先流血。门不只开在论文上,也开在人共同生活的地方。

因此,我们不是要把他重新画成一个孔德。真正要追问的是:承认边界之外有东西以后,能不能再走过去一点,看那些东西怎样参与了边界之内的工作?

不是检验完了,才另外赏给直觉一张旁听证。也许当你学会怎样检验的时候,有些还说不出的判断,已经在帮助你看,帮助你选,帮助你知道哪个问题不能放过。

人不是等判断全部说清楚了才开始认识。

人也不是一项等待淘汰的假说。一个命题失败,不会连同提出它的人一起取消。对理论严厉,和不给人留下位置,是两件事。

七、他在本乐章的位置

孔德,波普尔,然后往前走。

先问知识的门槛,再问理论怎样面对反驳,最后继续问:能被明说、被检验的知识,靠什么样的认识活动才来到这里?

这是本乐章的三步。不是三个人互相取代的历史,也不是最后一位比前面两位更有资格做人。是我们读着他们,问题一步一步变了。

狄拉克在下一篇带着方程来。方程是可以检验的,但他为什么在还没有新证据的时候,愿意跟着这个结构走?美怎样参与了那一步?

屈原带着诗来。波普尔的思想里并非没有诗的位置。可给诗一个位置,和听见诗怎样使一个人认识自己的处境,仍不是同一件事。

费希特把认知者带进问题。麦克林托克让一双熟练的眼睛停在别人略过的地方。他们不需要共同反对波普尔,才值得我们继续读。

一直到波兰尼,线索才收回来:你说不出来的东西,不一定是知识的残渣。你说得出来的那些,往往已经依靠着不能被逐项写尽的判断和本领。

从规定什么算知识,到让知识接受反驳,再到追问知识脚下的地基。

三步。每一步走过以后,前一步仍然在那里。地基不能替代检验,检验也不能代替一个人全部的认识生活。

波普尔替这条路打开了一扇很重要的门。我们从门里走过去,不必把门拆掉。

八、桥头

让波普尔也来到桥头。

他的步子很快。他不是走的,是冲的。他手里没拿火钳,但整个人像一根火钳——硬的,热的,随时准备碰一碰你以为已经稳了的地方。

他一上来就看见孔德。孔德在那里摊着日历。波普尔扫了一眼。

“假如后来再来一个弗洛伊德,你的日历会不会重排?”

孔德没有回答。他的手还按着纸边。

波普尔转身,对桥上的人说:“猜想在前。检验在后。别只把世界愿意赞同你的部分拿来。也给它一个说不的机会。”

有人笑了。可能是休谟。康德在远处站着,没有替他们宣布争论已经结束。

波普尔找了一个位置。他站在孔德旁边,面朝不同的方向。一个低头整理已经有的格子,一个还在看什么会从下一页走来。

夜深了。桥上安静下来。波普尔还站着。他在等。不是非要有人证明他错了才安心,而是不愿把可能指出错误的人关在门外。

远处传来了什么声音。不是一句已经写好的主张。更像一首诗。或者有人在推敲一个方程。或者一种对有机体的感觉,还没来得及找到合适的话。

波普尔听到了。他皱了皱眉。

那些声音从缝隙里来。不是都来申请“科学”这个名字,也不是都愿意站在线外。他知道那里有东西。

他还没有问下一句。

先让那个人把话说完。

注释

火钳事件的后出回忆在言语和动作次序上不一致,本文不裁定胜负。《研究的逻辑》1934年秋出版、扉页标1935年;英文版为1959年。1919年日食在文中属于波普尔后来的回顾,不是他的现场观测记录。

可证伪性是科学划界标准,不是意义标准;实际检验涉及基本陈述、仪器与辅助假设。他关于世界三的讨论容纳艺术与故事,1978年文章也修正了自然选择的可检验性判断。孔德同样承认理论与观察相互需要。本文的树脂比喻针对标准被越界使用,不是对全部波普尔思想的判词。

第八节的对话与会面为文学想象。猜想先于某次检验不等于康德意义上的先验。汤川秀树与庄子的具体影响关系没有在本篇建立,故不据此解释粒子理论的诞生。人物之间的呼应属于作者的读法,不把人当作待淘汰的错误。

I. The Poker

October 25, 1946. King’s College, Cambridge. The Moral Sciences Club.

Popper has been invited to give a talk. Wittgenstein is there. Russell is there. The room will become one of the most famous in twentieth-century philosophy.

They argue about whether genuine philosophical problems exist, or whether those problems can ultimately be dissolved as confusions of language. In later recollections, a fireplace poker appears. How it was lifted, when it was put down, which remark preceded whose departure: the witnesses did not leave one entirely consistent sequence.

We need not supply the evening with a conclusive winner.

But the poker leaves an image rather like a force encountered in Popper’s writing. He argues with the Vienna Circle, with Kuhn, with Feyerabend. Just when you feel an answer has settled, he reaches for its least stable part.

Why so combative?

Because he keeps asking: you say your theory explains the empirical world. What result would make you admit that it might be wrong?

If whatever happens can become another victory, how can the world answer you at all?

It sounds like common sense. Turn the question toward something you believe, and discover how difficult it is.

II. Vienna, and the Circle He Didn’t Join

Popper was born in Vienna in 1902. Freud was there. Wittgenstein came from there. Mach’s influence was still in the air.

In the 1920s, the Vienna Circle formed. Schlick, Carnap, Neurath. They asked how propositions acquire meaning and how experience connects with language. This was not a group forever repeating one sentence. Logic, mathematics, verification and confirmation provoked arguments and revisions within it.

But one demand was conspicuous: solemnity alone cannot exempt a statement from explaining its connection to experience.

The threshold left by Comte in the previous essay was entering language itself. Popper was close to this circle without being a member. He thought that testing scientific theories could not mean endlessly collecting votes in their favour.

All swans are white.

You have seen a thousand white swans, ten thousand. Have you proved the claim? No. The next swan has not arrived. You have not inspected every place and time.

But one black swan conflicts with all.

There is the logical asymmetry. No number of white swans seals that word. An established counterexample can overturn it.

In actual research, the black swan cannot swim into the record on somebody’s assertion alone. Is it a swan? Was the colour correctly observed? Can others check? Testing requires observation; observation must also face scrutiny. Popper did not make instruments and auxiliary assumptions disappear.

Still, the direction has changed. What matters about a scientific theory is not merely how much supports it, but the kinds of failure to which it exposes itself.

In autumn 1934, Logik der Forschung appeared with 1935 on its title page. The later English edition became The Logic of Scientific Discovery. The black swan had reached the door.

III. Conjecture First

The previous essay moved from arranging knowledge toward questioning the arrangement. Popper brings something else forward: ask not only what a theory explains, but what it excludes.

You cannot observe without a question. Observe what? Record what? Ignore what? Those choices already have a direction. Comte too understood the mutual need of theory and observation. Popper’s sharpness does not lie in being the first to notice that people have ideas before looking. He asks an idea actively to seek where it might be wrong.

Science advances through problems and conjectures. Propose a bold hypothesis: untested, possibly mistaken. Design a test at its vulnerable point. Surviving is not a guarantee of surviving forever. A conflict, when it comes, still requires investigation: theory, instrument, conditions, judgment — where has something gone wrong?

Conjectures and refutations.

Conjecture first, test after. A sequence of work, not a certificate of a priori knowledge independent of experience. Years of experiments, learned mathematics and inherited difficulties may live inside the conjecture.

But the person asking has hold of the steering wheel again. Facts do not spontaneously grow a driver beneath the seat. Nor can the driver command the road to turn merely by holding the wheel.

Boldness is not casual error. The more definite a theory’s exclusions, the more opportunity reality has to embarrass it. A claim that nothing can injure may simply never have taken a risk.

Looking back at the eclipse observations of 1919, Popper was struck by the risk Einstein’s theory carried. The issue was not merely whether light bent, but how the amount of deflection compared with the prediction. Reliable observations could conflict with that prediction. Theory was not waiting for the world to applaud.

He contrasted certain interpretations by Freud and Adler: one behaviour confirms the theory, and its opposite confirms the same theory. What could give it trouble? That was Popper’s criticism, not a declaration that inner life no longer deserved investigation.

He also criticized some Marxists for continually revising explanations when predictions failed. Revision itself is not the offence. Replacing a faulty instrument or adding an independently testable condition may improve research. The danger is a patch with only one purpose: this theory must never lose.

“Whatever happens, I am right.”

The world is still there. It has lost its chance to answer.

IV. The Line He Drew

Popper draws a line. On this side, empirical science. On the other, not science.

The line is a criterion of demarcation. An empirical theory must allow possible observational results to conflict with it if it is genuinely to expose itself to testing.

Notice what this does not say: the unfalsifiable is not thereby nonsense. Demarcation is not a criterion of meaning. Metaphysical ideas can matter and stimulate research. Ethics and aesthetics need not become physics to earn permission to speak.

Popper himself is broader than the slogan “only tests count.” His later World 3 includes stories, music and art, alongside mathematical problems and scientific theories: human creations that generate questions their creators did not foresee. In 1978 he also revised his earlier assessment of the testability of natural selection. Revision was not only something he demanded of others.

But slogans travel faster than qualifications.

Let someone attach “therefore not worth hearing” to “not science,” and the line begins becoming a wall. You discuss how a poem makes a predicament visible. The response is: can you falsify it? If not, your right to speak is withdrawn.

The poem never applied to be a physical hypothesis. It has been sent to sit a physics examination.

Here the previous essay’s grout returns. A thinner, more precise material, like epoxy resin. It need not seal every crack, only the exits through which other kinds of work would pass.

What is poured in is not Popper’s original distinction. It is the jurisdiction we claim over everyone by wielding it.

You may test a statement. That does not give you possession of all the ways statements ought to come into being.

V. His Own Cracks

Another question has not disappeared merely because the direction of testing is clearer.

Where do conjectures come from?

Popper distinguishes the occurrence of a thought from its logical examination once proposed. The Logic of Scientific Discovery chiefly concerns the latter. Defining a field of inquiry does not declare everything outside it worthless.

But the road of this series continues precisely toward that outside.

Once a conjecture is on paper, we can criticize it. What about the blank sheet? Why does someone stop here? Why does a detail others passed over seem worth another look?

As a young man Einstein imagines chasing a light beam. Later he asks how a freely falling person would experience their weight. Different questions, different stages. The thought experiments did not fall from outside the world. They grew between physics already learned and difficulties that would not go away.

McClintock’s feeling for the organism was not a burst of inspiration followed by a few observations added afterwards. She spent years in the field and at the microscope. Familiarity ran deep enough for a small difference to stop her. Others had looked. She was still looking.

How a thought arrives cannot replace reasons for accepting it. But not replacing them does not make its arrival dispensable from the story of knowing.

Kuhn asks us to look at scientists’ ordinary work. Most of the time they are not tearing down an entire theory; they are solving puzzles within a shared framework. Popper also acknowledges that work. They dispute how far its stability should become an ideal, and where criticism enters again.

Feyerabend presses further. Can methods claiming no exceptions really contain the history of science? “Anything goes” is provocative, not a claim that every answer is equally good. If a method recognizes only advances it has already anticipated, how does something new enter?

Popper argues with them. The arguments do not abolish testing. They make the work around and before tests, the work not easily written into rules, increasingly difficult to overlook.

That is the crack here. Not a counterexample allowing us to announce that Popper has lost. He lights a stretch of road; the edge of the light also reveals the next stretch.

VI. Popper and Comte

In the previous essay, Comte wanted to arrange a mature form for knowledge. Here, Popper requires an established theory to keep the door to possible failure open.

One asks what mature knowledge is. The other asks how your knowledge can bear correction.

The direction reverses. Not from absolute passivity to absolute initiative, but from accumulating confirmation toward actively risking refutation.

That large step should remain.

But “how to examine a theory” cannot expand by itself into the whole of “how people know the world.” Origins, training, attention, intuition, even why a question is worth asking, still require explanation beyond the procedure of testing.

Popper does not simply expel them. He also discusses an open society, institutions that can accommodate criticism, rulers who can be replaced without first shedding blood. Doors open not only in papers, but in common life.

We are not trying to draw another Comte in his place. The question is: having acknowledged that something exists beyond a boundary, can we go farther and see how it participates in the work within?

Perhaps intuition is not merely issued a visitor’s pass after the tests are over. As you learn how to test, judgments you cannot yet fully articulate may already be helping you look, choose, recognize the question you cannot leave alone.

People do not wait until all their judgments are explicit before they begin to know.

Nor is a person a hypothesis awaiting elimination. A failed proposition does not cancel its author’s standing as a person. Severity toward theories and refusing people a place are different things.

VII. His Place in This Movement

Comte, Popper, then onward.

First, the threshold of knowledge. Then, how a theory faces refutation. Then the further question: through what activities of knowing does articulable, testable knowledge arrive here at all?

Three steps in this movement. Not a history in which one man replaces another, nor a ranking in which the last has a greater claim to personhood. Reading them, our question changes step by step.

Dirac brings an equation in the next essay. It can be tested. But why, before the new evidence arrived, was he willing to follow this structure? What part did beauty play in that step?

Qu Yuan brings a poem. Poetry is not absent from Popper’s thought. But giving poetry a place and hearing how a poem lets someone know their predicament remain different acts.

Fichte brings the knower into the question. McClintock brings a practised eye to something others overlooked. They need not unite against Popper to deserve our continued reading.

With Polanyi the thread comes back: what you cannot articulate need not be knowledge’s residue. What you can say often already depends on judgments and skills that no itemized account exhausts.

From specifying what counts as knowledge, through exposing it to refutation, to asking what lies beneath its feet.

Three steps. After each one, the previous step remains. Foundations do not replace tests. Tests do not replace a person’s whole life of knowing.

Popper opens an important door on this road. We can walk through without tearing it down.

VIII. The Bridgehead

Let Popper arrive at the bridge too.

He moves fast. Not walking — charging. No poker in his hands, but his whole person resembles one: hard, hot, ready to touch the place you thought was settled.

He sees Comte immediately, spreading his calendar on the railing. Popper glances at it.

“If another Freud arrives later, will you rearrange the calendar?”

Comte does not answer. His hand stays at the paper’s edge.

Popper turns toward the others. “Conjecture first. Test afterwards. Don’t bring only the parts of the world willing to agree with you. Give it a chance to say no.”

Someone laughs. Possibly Hume. Kant stands at a distance without announcing that the argument is settled.

Popper finds a place beside Comte, facing another direction. One looks down, arranging the squares already there. The other watches for what may come from the next page.

Night deepens. The bridge grows quiet. Popper is still standing. Waiting. Not because somebody must prove him wrong before he can rest, but because he will not shut out whoever might point to an error.

A sound comes from far away. Not a proposition already written down. More like a poem. Or someone working through an equation. Or a feeling for an organism that has not yet found the words.

Popper hears it. He frowns.

The sounds come from the cracks. Not all are applying for the name science. Not all are content to remain outside the line. He knows something is there.

He has not asked the next question yet.

First, let the person finish speaking.

Notes

Later accounts of the poker incident disagree about the sequence of words and gestures; this essay declares no winner. Logik der Forschung appeared in autumn 1934 with 1935 on its title page; the English edition followed in 1959. The eclipse of 1919 enters through Popper’s later recollection, not his own observing record.

Falsifiability demarcates empirical science; it is not a criterion of meaning. Testing involves basic statements, instruments and auxiliary assumptions. World 3 includes art and stories; the 1978 paper revises his assessment of natural selection’s testability. Comte also recognized the mutual need for theory and observation. Resin names the overextension of a criterion, not a verdict on Popper’s entire philosophy.

Section VIII invents the meeting and dialogue. Coming before a test does not establish the Kantian a priori. No specific influence of Zhuangzi on Yukawa’s particle theory is established here. The encounters express the author’s reading; a person is not an error to be discarded.