Article contents
What's So Different about a Counterfactual?
Published online by Cambridge University Press: 13 June 2011
Abstract
The author contends that the difference between so-called factual and counterfactual arguments is greatly exaggerated; it is one of degree, not of kind. Both arguments ultimately rest on the quality of their assumptions, the chain of logic linking causes to outcomes, and their consistency with available evidence. He critiques two recent historical works that make extensive use of counterfactuals and finds them seriously deficient in method and argument. He then reviews the criteria for counterfactual experimentation proposed by social scientists who have addressed this problem and finds many of their criteria unrealistic and overly restrictive. The methods of counterfactual experimentation need to be commensurate with the purposes for which it is used. The author discusses three uses for counterfactual arguments and thought experiments and proposes eight criteria appropriate to plausible-world counterfactuals.
- Type
- Review Article
- Information
- Copyright
- Copyright © Trustees of Princeton University 2000
References
1 The Iliad of Homer, trans. Lattimore, Richard (Chicago: University of Chicago Press, 1951), bk. 2, lines 135–210.Google Scholar
2 There are numerous examples from physics. On using information from nonevents to test nuclear weapons, see Penrose, R., Shadows of the Mind: A Search for the Missing Science of Consciousness (Oxford: Oxford University Press, 1994)Google Scholar; and Elitzur, A. C. and Vaidman, L., “Quantum-Mechanical Interaction-Free Measurement,” Foundations of Physics 23, no. 7 (1993), 987–97.CrossRefGoogle Scholar On using interaction-free measurements with a test particle to determine the presence of an object, see Kwiat, G. et al., “Interaction Free Measurements,” Physics Review Letters 74, no. 12 (June 12, 1995), 4763–66.CrossRefGoogle Scholar And on counterfactual computation, see Mitchison, Graeme and Josza, Richard, “Counterfactual Computation,” Quantum-Ph/9907007 (July 2, 1999).Google Scholar
3 Electoral studies are a case in point. See Raymond E. Wolfinger and Benjamin Highton, “Can More Efficient Purging Boost Turnout” (Paper presented at the annual meeting of the American Political Science Association, New York, 1994); Teixeira, Ruy A., The Disappearing American Voter (Washington, D.C.: Brookings Institution, 1992)Google Scholar; Rosenstone, Steven J. and Hansen, John Mark, Mobilization, Participation, and Democracy in America (New York: Macmillan, 1993)Google Scholar; Timpone, Richard J., “Past History Reverses: Counterfactuals and the Impact of Registration Reform on Participation and Representation” (Manuscript, 1999).Google Scholar
4 According to A. J. P. Taylor, “A historian should never deal in speculation about what did not happen.” See Taylor, , The Struggle for the Mastery in Europe, 1848–1918 (London: Oxford University Press, 1954)Google Scholar; Carr, E. H., What Is History? (London: Macmillan, 1961), 127Google Scholar; Thompson, E. P., The Poverty of Theory and Other Essays (New York: Monthly Review Press, 1978), 300.Google Scholar M. M. Postan writes: “The might-have beens of history are not a profitable subject of discussion”; quoted in Gould, J. D., “Hypothetical History,” Economic History Review, 2d ser., 22 (August 1969), 195–207.CrossRefGoogle Scholar See also Fischer, David Hackett, Historians' Fallacies (New York: Harper Colophon Books, 1970), 15–21Google Scholar; McClelland, Peter, Causal Explanation and Model-Building in History, Economics, and the New Economic History (Ithaca, N.Y.: Cornell University Press, 1975).Google Scholar
5 Private communication to the author.
6 New York Times, November 27, 1999, A1.
7 Khong, Yuen Foong, “Confronting Hitler and Its Consequences,” in Tetlock, Philip E. and Belkin, Aaron, eds., Counterfactual Thought Experiments in World Politics: Logical, Methodological, and Psychological Perspectives (Princeton: Princeton University Press, 1996).Google Scholar
8 Richard Ned Lebow and Janice Gross Stein, “Back to the Past: Counterfactuals and the Cuban Missile Crisis,” in Tetlock and Belkin (fn. 7).
9 Winter, , The Great War and the British People (London: Macmillan, 1986), 76–83.Google Scholar
10 Kagan, , The Outbreak of the Peloponnesian War (Ithaca, N.Y.: Cornell University Press, 1969), 203–342.Google Scholar
11 Lebow, and Stein, , We All Lost the Cold War (Princeton: Princeton University Press, 1994).Google Scholar
12 Elvin, , The Pattern of the Chinese Past: A Social and Economic Interpretation (Stanford, Calif.: Stanford University Press, 1973).Google Scholar
13 See George Breslauer and Richard Ned Lebow, “Leadership and the End of the Cold War: A Counterfactual Thought Experiment,” in Richard Herrmann and Richard Ned Lebow, eds., Learning from the Cold War (forthcoming). The authors identify leaders other than Gorbachev, Reagan, and Bush who might have come to power in the Soviet Union and the United States and play out the resulting interaction. They find that different strategies or tactics by either superpower or their allies could have speeded up, slowed down, altered, or derailed the process of accommodation that led to the end of the cold war in 1990–91.
14 Carr, , Socialism in One Country, 1924–1926 (New York: Macmillan, 1958–1964), 1:151.CrossRefGoogle Scholar
15 Lebow and Stein (fn. 11) review this argument and the new evidence (chap. 4).
16 Searle, John R., The Construction of Social Reality (New York: Free Press, 1995).Google Scholar
17 Davidson, Donald and Hintikka, Jaakko, eds., Words and Objection: Essays on the Work of W. V. Quine (Dordrecht: D. Reidel, 1969).Google Scholar
18 Tetlock, Philip E., “Close-Call Counterfactuals and Belief System Defense: I Was Not Almost Wrong but I Was Almost Right,” Journal of Personality and Social Psychology 75 (September 1998), 639–52.CrossRefGoogle Scholar
19 On conjunctional causality, see Ragin, Charles C., The Comparative Method: Moving beyond Qualitative and Quantitative Strategies (Berkeley: University of California Press, 1987).Google Scholar
20 Tetlock, and Lebow, , “Poking Counterfactual Holes in Covering Laws: Alternative Histories of the Cuban Missile Crisis” (Manuscript, Mershon Center, Ohio State University, April 2000)Google Scholar; on second-order counterfactuals, see Tetlock (fn. 18).
21 William Wohlforth reviews this literature and criticizes realists for explaining ex post facto what none of them had predicted ex ante; see Wohlforth, , “New Evidence on Moscow's Cold War: Ambiguity in Search of Theory,” Diplomatic History 21 (Spring 1997).CrossRefGoogle Scholar
22 Weber, Steven, “Prediction and the Middle East Peace Process,” Security Studies 6 (Summer 1997), 196.CrossRefGoogle Scholar
23 This point is also made by Philip E. Tetlock and Aaron Belkin, “Counterfactual Thought Experiments in World Politics: Logical, Methodological, and Psychological Perspectives,” in Tetlock, and Belkin, (fn. 7), 15–16.Google Scholar
24 Fischoff, Baruch, “Hindsight Is Not Equal to Foresight: The Effect of Outcome Knowledge on Judgment under Uncertainty,” Journal of Experimental Psychology: Human Perception and Performance 1, no. 2 (1975), 288–99Google Scholar; Hawkins, S. A. and Hastie, R., “Hindsight: Biased Judgments of Past Events after the Outcomes Are Known,” Psychological Bulletin 107, no. 3 (1990), 311–27.CrossRefGoogle Scholar The tendency was earlier referred to as “retrospective determinism” in comparative-historical studies by Bendix, Reinhard, Nation-Building and Citizenship (New York: Wiley, 1964).Google Scholar
25 Ross, L. et al., “Social Explanation and Social Expectation: Effects of Real and Hypothetical Explanations on Subjective Likelihood,” Journal of Personality and Social Psychology 35 (November 1977), 817–29.CrossRefGoogle Scholar
26 The first of these experiments, involving alternative outcomes for the Cuban missile crisis, is described in Tetlock and Lebow (fn. 20).
27 Waltz, Kenneth N., Theory of International Politics (Reading, Mass.: Addison-Wesley, 1979)Google Scholar; Gaddis, John Lewis, The Long Peace: Inquiries into the History of the Cold War Era (New York: Oxford University Press, 1987)Google Scholar; Gilpin, Robert, War and Change in World Politics (New York: Cambridge University Press, 1981), 232–33CrossRefGoogle Scholar; Keohane, Robert O., After Hegemony (Princeton: Princeton University Press, 1984)Google Scholar; Snidai, Duncan, “The Limits of Hegemonic Stability Theory,” International Organization 39 (Autumn 1985).Google Scholar
28 Robyn M. Dawes, “Counterfactual Inferences as Instances of Statistical Inferences,” in Tetlock, and Belkin, (fn. 7), 301–8.Google Scholar Strictly speaking it does not follow that if x then y; therefore, if not-x, then not-y, because factors other than x may also cause y.
29 Fearon, “Causes and Counterfactuals in Social Science: Exploring an Analogy between Cellular Automata and Historical Processes,” in Tetlock and Belkin (fn. 7).
30 See, for example, George, Alexander L. and Smoke, Richard, Deterrence in American Foreign Policy: Theory and Practice (New York: Columbia University Press, 1974)Google Scholar; George, Alexander L. and Simmons, William E., eds., The Limits of Coercive Diplomacy (Boulder, Colo.: Westview, 1994)Google Scholar; Hopf, Ted, Peripheral Visions: Deterrence Theory and American Foreign Policy, 1965–1990 (Ann Arbor: University of Michigan Press, 1994)Google Scholar; Jervis, Robert and Snyder, Jack, eds., Dominoes and Bandwagons: Strategic Beliefs and Great Power Competition in the Eurasian Rimland (New York: Oxford University Press, 1991)Google Scholar; Risse-Kappen, Thomas, Cooperation among Democracies: The European Influence on U.S. Foreign Policy (Princeton: Princeton University Press, 1995).Google Scholar
31 Cusack, Thomas R. and Stoll, Richard J., Exploring Realpolitik: Probing International Relations Theory with Computer Simulation (Boulder, Colo.: Lynne Rienner, 1990).Google Scholar Their evaluation was based on earlier work by Stuart A. Bremer and Mihalka, Michale, “Machiavelli in Machina: Or Politics among Hexagons,” in Deutsch, Karl W., ed., Problems of Modeling (Boston: Ballinger, 1977).Google Scholar
32 Cederman, “Rerunning History: Counterfactual Simulation in World Politics,” in Tetlock and Belkin (fn. 7).
33 Fearon (fn. 29).
34 George W. Breslauer discusses this literature in Breslauer, “Counterfactual Reasoning in Western Studies of Soviet Politics and Foreign Relations,” in Tetlock and Belkin (fn. 7).
35 Mueller, John, Retreat from Doomsday: The Obsolescence of Major War (New York: Basic Books, 1989).Google Scholar And see the debate on this subject between Mueller, “The Essential Irrelevance of Nuclear Weapons: Stability in the Postwar World,” and Jervis, Robert, “The Political Effects of Nuclear Weapons: A Comment,” both in International Security 13 (Fall 1988).CrossRefGoogle Scholar
36 For a strong statement of the former position with regard to historical analogies, see Khong, Yuen Foong, Analogies at War: Korea, Munich, Dien Bien Phu, and the Vietnam Decisions of 1965 (Princeton: Princeton University Press, 1992).Google Scholar
37 Richard Ned Lebow, “Contingency, Catalysts and System Change,” Political Science Quarterly (forthcoming).
38 Elster, Jon, Logic and Society: Contradictions and Possible Worlds (New York: John Wiley, 1978)Google Scholar; Hawthorn, G., Plausible Worlds: Possibility and Understanding in History and the Social Sciences (New York: Cambridge University Press, 1991), 31–60.CrossRefGoogle Scholar
39 The term “miracle counterfactual” was coined by Fearon (fn. 29), 60.
40 Tetlock, and Belkin, (fn. 23), 14.Google Scholar
41 Dehio, Ludwig, The Precarious Balance: Four Centuries of the European Power Struggle (New York: Knopf, 1995).Google Scholar Dehio argues that competition among many independent units produced “fertile friction” among Greek city-states and in modern Europe.
42 Newton reasoned that the energy reaching us from an individual star is E/∧2, where r is the distance of the star, and E is the average energy radiated by each star, and if the density (d) of stars in the universe is constant, the number of stars would be r∧3. The total energy produced by these stars would grow in a linear fashion with r, and rise to infinity in an infinite universe—neither we nor the earth would exist. Hence, the density of stars must decrease or the universe must be finite.
43 Bohmer, Carol and Ray, Marilyn, “Effects of Different Dispute Resolution Mechanisms on Women and Children after Divorce,” Family Law Quarterly 28, no. 2 (1994).Google Scholar
44 Rhode, Deborah, Speaking of Sex: The Denial of Gender Inequality (Cambridge: Harvard University Press, 1997), 184.Google Scholar
45 Fearon, James D., “Counterfactuals and Hypothesis Testing in Political Science,” World Politics 43 (January 1991)CrossRefGoogle Scholar; Tetlock and Belkin (fn. 7). I do not review the latter volume because I am coauthor of one of its chapters.
46 See fn. 35 for Mueller and the follow-up debate on nuclear weapons between Mueller and Jervis.
47 Turner, Henry Ashby Jr, Geissel des Jahrhunderts: Hitler and seine Hinterlassenschaft (Berlin: Siedler, 1989)Google Scholar; Parker, Geoffrey, The Grand Strategy of Philip II (New Haven: Yale University Press, 1998a), 129–34Google Scholar; idem, “The Repulse of the English Fireships,” in Cowley, Robert, ed., What If? (New York: G. P. Putnam's Sons, 1998b).Google Scholar
48 Weber, , “Objective Possibility and Adequate Causation in Historical Explanation,” in The Methodology of the Social Sciences (1905; Glencoe, Ill.: Free Press of Glencoe, 1949).Google Scholar
49 A similarly restrictive definition is offered by Nash, P., “The Use of Counterfactuals in History: A Look at the Literature,” SHAFR Newsletter (March 1991).Google Scholar
50 Taylor, A. J. P., The Origins of the Second World War (London: Hamish Hamilton, 1961).Google Scholar
51 Stern, Fritz, “Bethmann Hollweg and the War: The Limits of Responsibility,” in Stern, Fritz and Krieger, Leonard, eds., The Responsibility of Power: Historical Essays in Honor of Hajo Holborn (Garden City, N.Y.: Doubleday, 1967)Google Scholar; Jarausch, Konrad J., “The Illusion of Limited War: Chancellor Bethmann Hollweg's Calculated Risk, July 1914,” Central European History 2, no. 1 (1969)Google Scholar; idem, The Enigmatic Chancellor: Bethmann Hollweg and the Hubris of Imperial Germany (New Haven: Yale University Press, 1973); Erdmann, Karl Dietrich, “War Guilt 1914 Reconsidered: A Balance of New Research,” in Koch, H. W., ed., The Origins of the First World War, 2d ed. (Oxford: Oxford University Press, 1984)Google Scholar; Mommsen, Wolfgang J., Das Zeitalter des Imperialismus (Frankfurt.: Fischer Bucherei, 1969)Google Scholar; idem, “Domestic Factors in German Foreign Policy before 1914,” Central European History 6, no. 1 (1972); Hilgruber, Andreas, “Riezlers Theorie des kalkulieren Risikos und Bethmann Hollwegs politische Konzeption in der Julikrise 1914,” Historische Zeitschrift 202 (April 1966)Google Scholar; Zechlin, Egmont, Krieg und Kriegrisiko: Zur deutschen Politik im Ersten Weltkrieg (Düsseldorf: Droste, 1979)Google Scholar; Kaiser, David, “Germany and the Origins of the First World War,” Journal of Modern History 55 (December 1983)CrossRefGoogle Scholar; Strandmann, Hartmut Pogge von, “Germany and the Coming of War,” in Evans, R. J. and Strandmann, Hartmut Pogge von, The Coming of the First World War (Oxford: Oxford University Press, 1988)Google Scholar; Herwig, Holger H., The First World War: Germany and Austria-Hungary, 1914–1918 (London: Arnold, 1998)Google Scholar, chap. 1; Röhl, John C. G., “Germany,” in Keith Wilson, ed., Decisions for War, 1914 (New York: St. Martin's Press, 1995).Google Scholar On Austria, see Williamson, Samuel R. Jr, “Influence, Power, and the Policy Process: The Case of Franz Ferdinand,” Historical Journal 17, no. 2 (1974)Google Scholar; idem, “The Origins of World War I,” Journal of Interdisciplinary History 18 (Spring 1988); idem, Austria-Hungary and the Coming of the First World War (London: Macmillan, 1990); and R. J. Evans, “The Habsburg Monarchy and the Coming of War,” in Evans and Pogge von Strandmann, eds., The Coming of the First World War.
52 Riezler, , Tagebücher, Aufsätze, Dokumente: Eingeleidet und hrsg. Von Karl Dietrich Erdmann (Göttingen: Vandenhoeck & Ruprecht, 1972)Google Scholar; Koch (fn. 51), introduction.
53 See, for example, Sean Lynn-Jones, M., “Détente and Deterrence: Anglo-German Relations, 1911–1914,” International Security 11 (Fall 1986).CrossRefGoogle Scholar German scholarship is very skeptical about such claims. Karl Dietrich Erdmann, “War Guilt 1914 Reconsidered: A Balance of New Research,” in Koch (fn. 51); Zechlin (fn. 51); Jarausch (fn. 51, 1973), 167, 170.
54 Lebow, Richard Ned, “What If Mozart Had Died at Your Age?” (Manuscript, Mershon Center, Ohio State University, April 2000).Google Scholar
55 For this criticism of Mueller, see Cederman, (fn. 32), 253, 255.Google Scholar
56 Tetlock, , “”Distinguishing Frivolous from Serious Counterfactuals” (Manuscript, 1999).Google Scholar
57 Parker, (fn. 47, 1998a), 281–96.Google Scholar
58 See Maruyama, M., “The Second Cybernetics: Deviation-Amplifying Mutual Causal Processes,” American Scientist 51, no. 2 (1963).Google Scholar
Maruyama contends that the very essence of the “butterfly effect” is that it cannot be discovered. He offers the example of a city built on the American plains because the first white settler awoke on an especially beautiful morning and took it as a sign to put down his stakes here rather than somewhere else. The coincidence of weather and intent was unpredictable and would be invisible as a cause to researchers a century later attempting to discover why the city grew up where it did.
59 Fearon, (fn. 29), 50.Google Scholar
60 Dawes, “Counterfactual Inferences as Instances of Statistical Inferences,” in Tetlock and Belkin (fn. 7)
61 Edgar Kiser and Margaret Levi, “Using Counterfactuals in Historical Analysis: Theories of Revolution,” in Tetlock and Belkin (fn. 7).
62 Elster, (fn. 38), 184–85.Google Scholar
63 Weber, , “Counterfactuals, Past and Future,” in Tetlock and Belkin (fn. 7), 278, 272.Google Scholar
64 Elster (fn. 38); Kiser and Levi (fn. 61); and Tetlock and Belkin (fn. 23) also believe this is a reasonable standard for judging the plausibility of counterfactuals; Tetlock and Belkin acknowledge that “we should expect disagreement about what counts as well-established theory in world politics” (p. 27).
65 Breslauer (fn. 34), 73; Bernstein, Steven et al., “G-d Gave Physics All the Easy Problems: Adapting Social Science to an Unpredictable World,” European Journal of International Relations 6 (January 2000).CrossRefGoogle Scholar
66 Weber, (fn. 63), 271.Google Scholar
67 Breslauer (fn. 34); Richard K. Herrmann and Michael P. Fischerkeller, “Counterfactual Reasoning in Motivational Analysis: U.S. Policy toward Iran,” in Tetlock and Belkin (fn. 7); Tetlock, and Belkin, (fn. 23), 27.Google Scholar
68 Herrmann, and Fischerkeller, (fn. 67), 146–47.Google Scholar
69 Lebow, Richard Ned and Stein, Janice Gross, “Deterrence: The Elusive Dependent Variable,” World Politics 42 (April 1990)CrossRefGoogle Scholar; and idem, When Does Deterrence Succeed and How Do We Know? (Ottawa: Canadian Institute for International Peace and Security, 1990).
70 Fearon (fn. 29) acknowledges the utility of miracle counterfacruals but not the contradiction between their use and his requirement that counterfactuals be deduced from theories (pp. 60–65).
71 Fearon, (fn. 29), 54.Google Scholar
72 Lebow (fn. 37).
73 Weber, (fn. 63), 270.Google Scholar
74 Tetlock, and Belkin, (fn. 23), 16–32Google Scholar; Tetlock (fn. 56); Lebow, and Stein, (fn. 8), 146–47.Google Scholar
75 Hawthorn (fn. 38), 31–60.
76 McNeill, William H., Plagues and People (Garden City, N.Y.: Doubleday, 1976), 239–40Google Scholar, 254.
77 Fogel, , Railroads and American Economic Growth: Essays in Econometric History (Baltimore: Johns Hopkins University Press, 1964).Google Scholar
78 Elster, (fn. 38), 204–8Google Scholar; Tetlock, and Belkin, (fn. 23), 22–23.Google Scholar
79 Weber (fn. 48).
80 Friedrich Engels suggested something similar. History was a “parallelogram of forces.” If one person shook his arms to move one corner of the parallelogram, it affected parts of the figure far away and far removed from intentions of the actor. Evans, Richard J., In Defense of History (New York: Norton, 1999), 118.Google Scholar
- 78
- Cited by