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The Liberal Ontos

Subjectivity and Raison D’état in Liberal Democracies

“You either accept the Enlightenment and remain within the tradition of its rationalism …or else you criticise the Enlightenment and then try to escape from its principles of rationality.”

Foucault “What is the Enlightenment?” 1984, p43

Intro

In What is the Enlightenment (1984) Michel Foucault refuses what he calls “the blackmail of the Enlightenment”: he refuses to be “for” or “against” it. One of Foucault’s main objects of study was to understand the techniques and disciplines utilized by modern governments and their role in the creation of the modern individual. His aim was to expose the relation between the subject and subjectivity and between power and knowledge. As he saw modernity as the product of the Enlightenment, and as he deeply disagreed with modern governmental disciplinary techniques, Foucault set out to understand how the Enlightenment produced such coercive modern institutions. He sought to do this without condoning the disciplinary techniques of modernity as inevitable products of the Enlightenment, but at the same time without refuting the Enlightenment’s tradition as a whole. Refusing the blackmail of the Enlightenment would require embarking on a “historical ontology of the self”, a genealogy of subjectivity which would reveal the relation between the individual, understood as an autonomous agent, and the state, the governor of subjects through liberal-democratic rationalities.

Nowhere else does Foucault address this problem more concisely than in his lectures on Governmentality. It is here that he discusses the raison d’état of the early liberalism of the seventeenth and eighteenth centuries and that of modern liberal mass democracies. Foucault’s studies expose the pivotal power relationship between governmental rationalities and individual subjectivity, and traces how this relationship changes from its birth during the Enlightenment to contemporary expressions of neo-liberalism.

What Foucault’s work allows us to address are the political rationalities on which early and modern liberalism rest. This, in turn, enables us to challenge the symbolic framework within which we exercise our rights, liberties and democratic agency as free and autonomous citizens. What does it mean to be in liberal democracies? This is the central question of the “historical ontology of ourselves”. Answering it requires exposing one of liberalism’s most explosive tensions: namely, that between its alleged neutrality in regards to conceptions of the “common good” and its imposition of an abstract and universal understanding of the self. Studies in governmentality allow us to clearly see that liberalism is not in fact value-neutral but rests on strong and well founded epistemological and ontological assumptions. Exposing the violence embedded in these assumptions is the main object of this enquiry.

The first part of the essay will analyse Foucault’s understanding of early and modern liberal political rationalities, delving into the differences between the principle of sovereignty as opposed to scientific knowledge. The second part will demonstrate how liberalism has presented itself through history as the ideology based on the tenets of negative liberty and limited government. This will be then contrasted with the particular ontological assumptions liberal government attributes to its democratic citizens. In turn, this will enable us to challenge the symbolic framework with which we come to understand ourselves as free and autonomous agents, thereby exposing the tension between liberalism’s alleged value-neutrality and its imposition of a particular form of subjectivity. I will conclude with a brief discussion of contemporary liberal subjectivity occurring in neo-liberalism.

Liberal Raison D’état

In his lecture Governmentality (1991), Foucault traces a distinctive change regarding social policy in the transition from early to modern liberalism. Early liberalism – that based on theorists such as Grotius, Hobbes, Pufendorf or Locke – grounded the legitimacy of government on the principle of sovereignty. Eighteenth century liberal political rationality is based on the concepts of popular sovereignty, limited government, the social contract, natural rights and the rule of law. Moreover, the subject over which the government rules has a distinct identity. Early liberal subjectivity conceives of the individual as a rational being who is constituted prior to society: a transcendental self, equal to all others in the eyes of God, with inalienable natural rights and liberties. As such, governing citizens required minimum state intervention and the codification of clear demarcations between the state and civil society as well as between the public and the private. In short, law and its juridical apparatus are the sole legitimate instruments through which the state could govern its subjects (Foucault 1991, p95)

However, Foucault points out that beginning in the eighteenth century the exponential growth of population and the expansion of commerce begin to morph the way government firstly relates to its citizens and secondly comes to conceive of them. As governing over large populations becomes increasingly difficult, scientific knowledge comes to the aid of the state, providing it with averages, statistics, surveys and studies which generalize and calculate virtually every conceivable characteristic of society with the aim of efficientizing and simplifying the art of government. Foucault suggests that this type of knowledge, garnered through the developing fields of the social sciences such as anthropology, sociology, psychology and economics, eventually came to supplant the rule of law as a more efficient technique of governing. It was not enough to threaten citizens with harsh penalties for breaking the law. Subjects could be made to conform to laws not through deterrent, but by following the suggestions of the social sciences which produced “truths” and “norms”. This expert knowledge pontificated, to citizens and governments alike, how populations should behave “normally”. Therefore norms garnered through authoritative and scientific sources provided statistics, averages and means to which the population would synchronize itself in order firstly to ensure domestic tranquillity and secondly to actually improve itself (Foucault 1980, p105).

Thus, a defining feature of modern liberalism is that it increasingly grounds its legitimacy in socio-scientific knowledge rather than in the juridical apparatus (Ashenden 2010, p62). It does not govern through the limited architecture of “rights and duties of citizens” but rather guides its population towards efficiency and self-improvement, so that citizens may exercise their inalienable freedoms in a disciplined fashion (Dean 1999, p175). The modern liberal subject is now conceived not only as a static bearer of rights and liberties but as someone who conforms to normal and reasonable codes of conduct. The patterns of behaviour he or she is supposed to follow are not derived from transcendental notions such as “the state of nature” or “natural rights”, but from what scientific knowledge has calculated to be normal, healthy, balanced and productive (Foucault 1984, 74).

Foucault asserts that advanced liberal democracies govern their subjects through a “demonic” mix of the early and modern political rationalities of liberalism. Today’s Western governments exercise their power firstly on the legitimacy of the concept of popular sovereignty and secondly through the techniques of disciplines offered by the sciences (Foucault 1980, p106). This is the theoretical context, as presented by Foucault, in which I wanted to place liberalism. Now I would like to analyse how liberalism presents itself as a coherent and unified ideology through time, and how is it that it has come to be the dominant political rationality.

Limited Government

From its earliest inceptions, liberalism presents itself as the theory of limited government. But why limited government? This is because it perceives as dangerous and potentially destructive any notion of the common good which could jeopardize the natural liberties of individuals. Government is limited in the sense that its primary purpose is restricted to the protection of the self-regulating sphere of civil society (Hindess 1996, p67). For example, early liberal theorists saw the wars of religion that had ravished Europe as factions of fanatics engaging in mass slaughter to impose an alleged divine order. The social unrest generated by religious strife destroyed and taxed property, inhibited progress and, more importantly, was bad for business. It is the imposition of a unitary notion of what is “right”, “divine” or “good” which liberalism sees as potentially dangerous and conducive to civil strife. Its emphasis on religious toleration embodies one of its earliest rejections of totalizing world-views and a move towards a neutral position in regards of what is “good”.

This is evident in Hobbes’s criticism of Christianity (directed primarily at the Pope and Scottish Presbyterians alike) in books III and IV of Leviathan, in which he states that religious strife was responsible for civil war and social unrest in the commonwealth. For the sake of stability and the preservation of life, Hobbes concludes that the sovereign should control the sphere of public worship in order to avert sectarian violence waged in the name of spiritual convictions. Privately, anyone could believe what they wished, as Hobbes fully embraced Parliament’s principle of Independency, that is, religious toleration (Tuck 1996, p.xliii). Similarly, Locke in A Letter Concerning Toleration describes toleration firstly as a basic Christian value and secondly as an inalienable right (Tully 1993, p.57). But these early liberal theorists were not solely opposed to the imposition of totalizing religious orders but also of political ones. In Hobbes and Republican Liberty (2008) Quentin Skinner gives a detailed description of Hobbes’s rejection of civic-republican as well as classical notions of freedom. Hobbes believed that republican intentions of instituting popular sovereignty on Aristotelian assumptions were just as responsible for civil strife as religious factions were (Skinner 2008, p.75). In the same way, Locke’s Two Treatises are an attack on the illegitimacy of the divine right of kings, as his specific aim was that of delegitimizing authoritarian and absolutist claims to sovereignty (Dunn 1969, p67). Hence the stress on a limited form of government, with the main purpose of averting totalizing claims (be them religious, absolutist or civic republican) which can potentially deprive the inalienable and natural rights of freedom and self-government pertaining to individuals in civil society.

We can therefore see that liberal hallmarks such as representative forms of democracy, checks and balances, bicameralism and the separation of powers are all instituted with the aim of protecting the otherwise self-regulating sphere of civil society from a potentially coercive government. A brief look at James Madison’s Federalist X will reveal a plan for an architecture of government with the specific aim of diffusing the fiery passions of the “tyranny of the majority” and of violent factions (Madison 1987, p125). From Mill, to Berlin, to Rawls, liberalism offers a negative understanding of liberty whose main purpose is that of assuring neutrality and averting the encroachment of any dangerous conception of the common good (positive liberty) which could spiral out of control and into totalitarianism (Berlin 1969, p152). As such, liberalism has emerged victorious in modern history: it has achieved religious toleration, abolished the divine right of kings, survived the nationalisms and totalitarianisms of the First and Second World War and defeated the Soviet Union in the last great ideological duel of the twentieth century. Moreover it has done so by not imposing any apparent form of subjectivity on its citizens: liberalism perceives of individuals as self-determined subjects with inalienable rights and liberties. It rejects any particularised ontological grounding of the individual, limiting itself to the protection of a self-regulating and interest-motivated civil society within which individuals can perceive themselves as they see fit (Burchell 1999, p133).

The “Doubling” of Liberal Ontology

So we must ask now how the previous exposition of liberalism as proposed by Foucault can serve as a basis for a profound critique of the symbolic framework within which liberalism conceives of its subjects and within which citizens perceive of themselves. As I have shown, Foucault asserts that there are two distinct political rationalities working within liberalism: one based on the seventeenth century concept of sovereignty and the other, more modern, on socio-scientific knowledge which provides the government with the necessary expertise (and legitimacy) with which to govern. This in turn engenders a doubling of liberal subjectivity: the individual is simultaneously a bearer of rights and liberties as well as a subject to be studied, disciplined and made to improve him/herself. It is towards a critique of this doubling of liberal subjectivity to which we must turn now.

Liberal subjectivity engendered by the concept of sovereignty conceives of the individual as a rights bearing entity which is constituted prior to society. Most of the social contract theorists perceive the individual as possessing certain a priori characteristics which are not the product of political arrangements or social articulations but which are transcendental values granted by God. James Tully points out that the state of nature is an abstract condition: a “quasi transcendental speech situation” from which we derive an understanding of the self as being free and equal (Tully 1995 p64). Michael Sandel asserts that the Kantian notion of the universal self claims transcendence because it is constituted and imagined prior to the social, economic and political conditions in which an individual is born. “The antecedent unity of the self means that the subject, however heavily conditioned by his surroundings, is always, irreducibly, prior to his values and ends, and never fully constituted by them” (Sandel 1982, p22). This specific ontological articulation allows liberalism to claim a neutral stance. Contrarily, say, to an Aristotelian understanding of the self as the zoon politicon which can fulfil its telos solely through political participation, liberalism refracts the constitution of subjectivity to a higher and universal level of abstraction. In such a way, natural rights are prior to any other value, conception of the good, culture or religion. This allows thinkers such as Rawls (1993, p10) to articulate a theory of political liberalism as based on the priority of the right over the good: a theory which is perfectly compatible with liberalism’s fundamental mandate – limited government.

On the other hand, Foucault shows how liberal subjectivity changes once modern governments begin to act on individuals on the basis of evidence garnered through the social sciences. The conception of the transcendental self which defined early liberalism is now complemented by an understanding of the self as expounded by anthropology, psychology and sociology. These new typologies of knowledge produce what Foucault calls norms. On the basis of empirical evidence, presented in the form of statistics, calculations and percentages, governments formulate policies which enforce correct codes of conduct and particular patterns of behaviour which are deemed to be “normal” (Rose 1989, p6). For example, scientific studies suggesting a healthy diet or daily exercise are examples of norms which point to specific forms of behaviour meant to efficientize, help and improve individuals. As suggested by Rose (1989, p4), this knowledge shapes subjectivity: individuals see the “ideal self” as someone with a healthy diet and which exercises regularly and aspire to achieve that status.

In this sense, scientific knowledge is not an imposition of the government, but is rather a suggestion of a way to improve oneself. We must always bear in mind that liberalism views society as a self-regulating sphere on which it has no right to intrude, let alone dictate what to eat or when to exercise. Norms, therefore play the pivotal role of guiding and channelling the behaviour and interests of individuals in a productive and disciplined fashion. At the same time these codes of behaviour entail the need for the individual to synchronize his or her person to them: hence the link between subjectivity and norms. But how are norms created? Norms are averages. For example, the idea of the “average man” is a norm. It is derived through statistical information which tells us what the average man’s height is, how much he should weigh, how old he is and what kind of income he has. Mitchell Dean (1999, p171) refers to norms as “counter-factual and self referential”: they refer to us, but are pure abstractions. The “average man” does not exist: he is an arithmetic construct and blind calculation of what a man should look and behave like. This is the profound critique to modern liberal ontology which Foucault allows us to make. Therefore, we can see a doubling in the abstraction of the self as present by liberalism: the individual is at once a transcendental being deriving his or her rights from the abstract condition of the state of nature, as well as the product of blind statistics pointing to non-existent stereotypes.

Challenging the Symbolic Framework

Foucault’s work allows us to point out where liberalism is at its most hypocritical. While claiming to be the only ideology capable of ensuring individual autonomy without imposing conceptions of the common good on its society, it also makes very specific assumptions on the nature of the individual, of how civil society behaves, and on the relation between government and population. By exposing the assumptions that liberalism rests on, in its early and modern articulations, we finally see that both natural law and empirically determined norms are firmly grounded in the realm of abstraction and not in alleged objectivity. Far from receding from the realm of the metaphysical, liberalism ascends to a new level of abstraction, manufacturing universals which inform and construct the modern self. It is behind the “neutral” conceptualizations of the self that we find liberalism’s hidden violence: in a globalized world, the vast majority of the population finds it very difficult to conceptualize of the self as being constituted by transcendental rights and having to behave in rational (read Western) ways. The post-modern point worth making here is that individuals all over the world can equally identify themselves in ethnic, nationalistic, gender, religious, class or cultural terms, and not universal liberal ones. The imposition of liberal forms of subjectivity which the west has unleashed on the world (often with the most sincere and benevolent intentions) nonetheless have had devastating consequences: from socio-political marginalization of minorities to “Operation Enduring Freedom.”

Not only must we be weary of the imposition of early forms of liberal subjectivity, but we must also be critical of the modern manufacturing of norms. Although it claims neutrality in regards to any conceptions of the good, the production of norms is not a mere exercise of blind scientific calculations, but the creation of statements which suggest the “right” way to behave and think. Ashenden points out that norms work on the normal-abnormal polarity, where “normal” inevitably points to what is “good” and abnormal to what is “bad”. Behind the veil of socio-scientific objectivity norms make profound normative statements (Ashenden 2010, p72). These, in turn, are based on very specific Eurocentric assertions which state that the individual behaves according to his or her interest-motivated choice. Norms are built upon a thoroughly capitalist conception of civil society in which individuals interact and are motivated by rational choice: a sphere which spontaneously regulates itself thanks to Adam Smith’s “invisible hand” (Burchell 1991, p134). Hence the normative and value-laden charge of norms suggests “right”, “correct” and ultimately “good” patterns of behaviour which are however inextricably enmeshed within western capitalist conceptions of the individual, of society and of government.

Conclusion

Two conclusions follow from our discussion. Firstly, an analysis of Foucault’s understanding of liberal political rationalities and subjectivities enable us to challenge the symbolic framework within which we exercise our freedoms. This is one of the key challenges of our times: instead of hiding behind a “veil of ignorance” and procedures ensuring neutrality, liberalism should bear full responsibility for the exclusions and violence it commits in the name of its very enlightened principles. The West’s problematic approaches to multiculturalism, the troubled relations with the Middle East and a grave democratic deficit are problems which can be traced back to the adoption of a symbolic framework which rests heavily on abstract and universal notions which are faltering in today’s globalized world. It is high time that liberalism recognizes that it too, as much as civic republicans, Marxists or Islamic fundamentalists, is promoting, imposing and exporting a conception of the “common good”. Perhaps the very ideology championing negative liberty should heed the warnings of Isaiah Berlin.

The second conclusion we derive from our argument is that Foucault’s work points towards a new terrain of contestation. This novel battlefield is located within the institutions where norms and socio-scientific knowledge are produced. If, according to Foucault, socio-scientific knowledge informs and sustains our very subjectivity, then such knowledge must be criticised and contested for the sake of the very definition of the self. Moreover, as neo-liberalism increasingly devolves, decentralizes and privatizes norm-creating institutions (think lower and higher education, hospitals, insane asylums, the armed forces, jails) citizens lose the scant democratic control they have on the production of normalising knowledge, thereby forfeiting any participation in the production of ontological discourse and abandoning it to the vagrancies of the fee-market.

Bibliography

Ashenden, S. 2010, “Legality, Legitimacy and the Circumstances of Sociology” in Tarnhill and Ashenden, S. Eds., Legality, Legitimacy: Normative and Sociological Approaches, Nomos, Baden Baden

Berlin, I. 1969 Four Essays on Liberty, Oxford University Press

Burchell, M. 199, “Peculiar Interests: Civil Society and Governing the System of “Natural Liberty” in Burchell, M., Gordon, C., Miller, P. Eds., The Foucault Effect, University of Chicago Press, Chicago

Dean, M. 1999, “Normalizing Democracy: Foucault and Habermas on Democracy, Liberalism and Law” in Ashenden, S., Owen, eds. Foucault Contra Habermas, Sage, London

Dunn, J. 1969, The Political Thought of John Locke, Cambridge University Press, Cambridge

Foucault, M. 1980 “Two Lectures” in Gordon, C. ed., Power/Knowledge, Harvester Press, Essex

Foucault, M. 1984, “Truth and Power” in Rabinow, P. Ed. The Foucault Reader, Penguin, London

Foucault, M. 1984,What is the Enlightenment” in Rabinow, P. Ed. The Foucault Reader, Penguin, London

Foucault, M. 1991, “Governmentality” in Burchell, M., Gordon, C., Miller, P., The Foucault Effect, University of Chicago Press, Chicago

Hindess, B., 1996, “Liberalism Socialism and Democracy: Variations on a Governmental Theme” in Barry, Osborne, Rose, eds. Foucault and Political Reason, UCL Press, London

Madison, Hamilton, Jay. 1987 The Federalist Papers, Penguin, London

Rawls, J 1993. Political Liberalism. Columbia University press, New York

Rose, N. 1989 Governing the Soul: The Shaping of the Private Self. Free Association Press, London

Sandel, M.  J. 1982, Liberalism and the Limits of Justice. Cambridge University Press, Cambridge

Skinner, Q. 2008 Hobbes and Republican Liberty, Cambridge University Press, Cambridge

Tuck, R. “Introduction” in Hobbes, T. 1996 Leviathan, Cambridge University Press, Cambridge

Tully, J. 1993, An approach to political philosophy: Locke in contexts, Cambridge University Press, Cambridge

Tully, J. 1995 Strange Multiplicity: Constitutionalism in an Age of Diversity, Cambridge University Press, Cambridge

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Filed under democracy, Democratic Theory, John Locke, Liberty, Michel Foucault, Negative Liberty, Neo-liberalism, political philosophy, political theory, Thomas Hobbes

In Defence of Limited Government

Can we best understand Locke’s Second Treatise as a defence of secular rights and property or as an essentially Calvinist call for men and government to do their duty to God?

Intro

Much of the debate regarding the true meaning of Locke’s Second Treatise has revolved around the pivotal chapter five: Of Property. On one hand, some scholars assert that it serves as an apology to individual wealth accumulation thereby marking the genesis of the liberal capitalist order; on the other hand, some assert that Locke’s theory of property cannot be understood outside of the theological context in which it was written. Both sides of the argument present valid points, however adopting only one of them would be incorrect as a complete understanding of Locke’s Second Treatise of Government, and a specific understanding of chapter five, requires a detailed contextualisation of John Locke the man and his work.

This paper will argue that the Second Treatise is indeed a defence of secular rights and property. However, the particular way in which Locke justifies and legitimizes both his theory of property and his conception of limited government is grounded in a theological understanding of the duty of men and civil society to follow divine will as prescribed by natural law. This means that we cannot begin to speculate on the possible meanings of the Second Treatise without recognizing the theological context in which Locke was working, living and writing. In other words, Locke could not propose any theory of secular rights or property without grounding it on a solid religious base.

Debate regarding the true understanding of the Second Treatise was inflamed by C.B. Macpherson’s work The Political Theory of Possessive Individualism (1962) in which he asserted that Locke’s intention was to provide a moral justification for unlimited individual wealth accumulation. For Macpherson, Locke was not merely sowing the seeds of what would eventually blossom into modern capitalism, but was actually presenting an apology for an existing capitalist order complete with wage relationships and class exploitation. Macpherson’s argument is complemented by Leo Strauss’s essay in Natural Right and History (1953) in which he states that Locke’s theory is guided by the principle of self-preservation (as was Hobbes’s) and that it ultimately accounts to a protection of property and life.

On the other side of the argument, we find James Tully (1980, 1993), John Dunn (1969, 1984) and Jeremy Waldron (2002) arguing for a theological understanding of Locke’s theory. These authors, particularly Dunn, endeavour to show that it is not possible to recover Locke’s original meaning without recognizing the normative theological vocabulary of the late 1600s (Tully 1993, p99). Moreover, a complete understanding requires the recognition of three factors that shaped Locke’s thought: the Exclusion Bill crisis, the centrality of the theory of limited government and natural law as prescribed by divine will.

The first two sections of the essay will explore the interpretation of Locke’s theory by both Macpherson and Strauss. They will specifically analyse firstly Macpherson’s idea of the transcendence of natural law and secondly Strauss’s assertion that Locke does not in fact base natural law in God. The third part of the essay will begin by offering a historical contextualisation of Locke, while the subsequent sections will critique Macpherson and Strauss’s ideas through an analysis firstly of Locke’s understanding of limited government and secondly of natural law. In the concluding remarks, it will be suggested that Macpherson’s thesis can be generally accepted solely if it recognizes that Locke’s intent in the Second Treatise was in fact not to justify the claims of a nascent bourgeois class, but to provide a theory of limited government which genuinely based its assumptions on natural law and the duty of men and governments to God.

Possessive Individualism

For C.B. Macpherson, Locke’s sole purpose in the Second Treatise was to provide a moral justification for unlimited wealth appropriation (1962, p198). “The great and chief end therefore, of Mens uniting into Commonwealths, and putting themselves under Government, is the Preservation of their Property” (Second Treatise -ST from now on-, §124). From this statement, Macpherson begins to construct a critique of Locke’s theory which involves the movement of property rights from the state of nature into civil society. This occurs in two steps: firstly by basing property rights on natural law, and secondly by removing the limitations of natural law from property accumulation. “The Law Man was under, was rather for appropriating. God Commanded, and his Wants forced him to labour. That was his Property which could not be taken from him where-ever he had fixed it.” (ST, §35) Locke shows that it is natural law and God’s will which commands mankind to labour. When a person mixes his/her labour with the objects of the world (which is given as a gift by God in common to all mankind) that act of labour confers an exclusive right on the object taken out of the commons. However, Locke puts a very specific limitation on the extent of appropriation, the famous “proviso”, where he states that men can appropriate in so much that there is enough left for other men to meet their basic sustenance (ST, §36). The other limitation Locke imposes on property appropriation is what Macpherson calls the “spoilage limitation” (1962, p204), where men may appropriate as long as the objects they appropriate do not spoil, rot or perish (ST, §46). This is what Macpherson’s refers to as Locke’s first step: the grounding of property rights in natural law.

It is the second movement that Locke performs which Macpherson sees as problematic: the transcendence of the limitations set out by natural law. Macpherson presents us with the three limitations, these being the spoilage limitation, the “proviso” (as long as there is enough left for others) and the labour limitation (only by mixing one’s labour with an object can one appropriate it). It is through the removal of these limitations that Macpherson sees Locke as justifying unlimited property accumulation and where we witness a “transition from the limited right to the unlimited right” (1962, p203). According to Macpherson, it is the introduction of money in the state of nature which allows for the limitations to be transcended, when men “had agreed that a little piece of yellow Metal, which would keep without wasting or decay, should be worth a great piece of Flesh, or a whole heap of Corn.” (ST, §37) In this way, if money cannot perish because it is made out of metal, the spoilage limitation does not apply, thereby sanctioning the unlimited accumulation of money (Macpherson 1962, p208). In addition, the introduction of money implies the possibility to sell one’s labour. This means that the “proviso” does not apply: one can appropriate all he/she wants without leaving enough for others because the others can work for a wage now that money has been introduced (1962, p214).

Macpherson thus states that Locke’s state of nature is an ambiguous one. At first, it seems as if it is one which implies the respect of both the will of God and of fellow human beings. Yet, the introduction of money transforms the state of nature into a race towards unfettered property accumulation (1962, p243). Moreover, embedded within the state of nature is the alienation of one’s labour (through wage relationships) and consequently class exploitation. Macpherson asserts that Locke could not have been oblivious to the class differentiation in his society, and it is only fitting that he would reproduce them in his conceptualization of the state of nature (1962, p231). The state of nature therefore has two different sets of rights, one for the propertied and one for the property-less. Thus when men enter in civil society, the sole purpose of forming a government is to protect the property rights of the wealthy (1962, p248), which brings us back to the afore mentioned quote from which Macpherson begins his critique: “The great and chief end therefore, of Mens uniting into Commonwealths, and putting themselves under Government, is the Preservation of their Property.”

Self Preservation

According to Leo Strauss (1953), Locke did not make natural law dependent on the will of God. Locke’s humans, when obeying natural law, are not acting in consonance with the precepts set out by divine will but in truth are following their inherent drive towards self preservation. For Strauss, there is no way that Locke’s definition of human reason could ever allow men to know the true will of God. Thus, the guiding principles of human reason were principles simply the aversion to pain and the propensity towards happiness. “The law of nature is nothing other than the sum of the dictates of reason in regard to men’s “mutual security” or to the “peace and safety” of mankind.” (Strauss 1953, p228)

Similarly to Macpherson, Strauss goes on to demonstrate that Locke‘s theory allows for the transcendence of the limits of natural law. Regarding the “proviso”, Strauss asserts the drive towards self preservation simply cannot allow leaving enough for others as this could potentially jeopardize one’s life (1953, p237). He then goes on to show that with the introduction of moneyed relationships Locke performs the “emancipation of acquisitiveness” which effectively liberates man firstly from the limitations of natural law and secondly from any kind of social responsibility (1953, p249) “Man is effectively liberated from the bounds of nature and there within the individual is emancipated from those social bonds which antedate all consent of compact, by the emancipation of his productive acquisitiveness, which is necessarily, if accidentally, beneficent and hence susceptible of becoming the strongest social bond” (1953, p249). Strauss concludes that man enters in civil society not only to protect his life, liberty and estates (this corresponds to the principle of self preservation) but actually to enlarge his possessions (this corresponding to the pursuit of happiness) (1953, p245).

Contextualising Locke

Macpherson and Strauss present us with a Hobbesian Locke (if indeed his natural law is guided by the principle of self preservation) whose aim in the Second Treatise is to articulate a theory of moral justification for unlimited capitalist accumulation and the legitimization of class exploitation. Such a harsh explanation of Locke was met with much resistance by professors John Dunn (1969, 1984), James Tully (1980, 1993) and Peter Laslett (1988). The argument against the theory of possessive individualism hinges on the contextualisation of both Locke as a man and of his work. Dunn (1969, 1984) suggests that it is impossible to recover the meaning of the Second Treatise without looking at three important factors: the Exclusion Bill crisis, Filmer’s Patriarcha, and the theological vocabulary of natural law. For all three mentioned scholars, there can be no assumption of Locke’s intent without recognizing the political and religious backdrop in which he was writing. For James Tully (and indeed for Cambridge scholars such as Austin and Skinner attempting to recuperate the illocutionary force of an author’s writings): “Understanding, as opposed to explanation, turns on recovering the meaning the author intended to convey by reading the text in light of the available conventions and assumptions, and so of coming to understand it in these terms” (Tully 1993, p99).

The Exclusion Bill Crisis and Sir Robert Filmer

As it became apparent in the late 1670s that King Charles II would be succeeded by his brother James Duke of York, it was feared that the new King, a Catholic, would re-institute pontifical authority and force Catholicism on the English people. The Earl of Shaftesbury (Locke’s employer) led the Whig Party in drafting the Exclusion Bill, a piece of legislation aimed at excluding James II from becoming king (Dunn, 1969 p44). The stage was thus set for the advent of an absolute monarch without concern for religious toleration or parliamentary legitimacy. It is within this context and within this historical moment that Locke was writing the Second Treatise (Laslett 1988, p54) thereby articulating a theory of limited government and the right to revolution with the specific purpose of delegitimizing absolute monarchy. The Exclusion Bill crisis is the first fact that we must recognize for our understanding of the Second Treatise.

Within this political crisis, Locke faced a formidable adversary, Sir Robert Filmer, the author of Patriarcha, a book arguing in favour of the divine right of kings and in direct support of James II. If Locke was going to publish any theory of limited government aimed at curbing arbitrary absolute power he would first have to disprove Filmer’s thesis (Tully 1980, p95). However, proving Filmer wrong was no easy feat. Patriarcha’s basic assumption stated that God gave the world specifically to Adam who would rightfully own it and who would have dominion over it and his own posterity. Seeing that monarchs rule in the stead of God on earth, Adamic rule transferred solely to kings. Filmer’s thesis accounted ultimately to a scriptural justification of the divine right of kings (Dunn 1980, p35). Moreover, it gave a clear and simple justification of the theory of property: the world and all the things in it, including people, belong to the monarch, and the regulation of property can only derive from the king’s positive laws (Tully 1980, p96). Other natural right theorists such as Grotius, had found it difficult to reconcile common property with private property. Filmer did not, as absolute authority over all property simply pertained to the king as sanctioned by God Almighty (Dunn 1969, p65; Tully 1993 p110).

The Theory of Limited Government

Locke’s aim in the First Treatise therefore accounts to a scriptural rejection of Filmer’s assumption that God gave the world particularly to Adam and more generally to males (Locke summarises this succinctly in the very beginning of the Second Treatise: “It is impossible that the Rulers now on Earth, should make any benefit, or derive any the least shadow of Authority from that, which is held to be the Fountain of all Power, Adam’s Private Dominion and Paternal Jurisdiction”). According to Jeremy Waldron (2002) the First Treatise is Locke’s attempt to demonstrate that God gave the world to all in common as a gift and that all men are created equal. Waldron suggests that Locke’s work is essentially a “defence of the proposition that humans are, basically, one another’s equals” (2002, p15). Thus he was not solely fighting Filmer on scriptural basis, but had consciously understood that a theory of equality necessarily required a theological basis.

However, if the world was given to men in common, and if men are all equal, how could private property be possible? It is here that Chapter V On Property becomes pivotal. With the theory of property Locke is able to move men from “that State of perfect Equality” (ST, §7) where “God gave the World to Adam and his Posterity in common” (ST, §25), through one in which the individual has the right of self ownership over himself and his property, and ultimately into civil society where he is finally able to propose a doctrine of limited government. “It is through the theory of property that men can proceed from the abstract world of liberty and equality based on their relationship with God and natural law, to the concrete world of political liberty guaranteed by political arrangements” (Laslett 1988, p103). In Locke’s political theory, individual political freedom cannot be justified without the prior institution of private property rights. Moreover, Locke’s general use of the term property seems to encapsulate this point: “Lives, Liberties and Estates, which I call by the general name, Property” (ST, §123). Locke could not separate political freedom from economic freedom as he used the concept of Property to define them both; and he needed this concept ultimately to ground his theory of limited government, natural rights and majority rule in individual freedom rather than in absolute despotic rule (Dunn 1969, p67). In the light of the Exclusion Bill crisis, Locke’s ultimate goal was to propose a theory of limited government and the right to revolution, not, as Professor Macpherson has it, to provide a moral justification for class exploitation.

The Theological Vocabulary of Natural Law

The arguments Locke used to justify the political theory of the Second Treatise required a theological understanding of natural law, as he ultimately needed the supreme authority of God as a starting point if he was to firstly disprove Filmer’s thesis and secondly convince the political audience of his time. For Dunn (1969, p88), Locke wrote within a thoroughly theological backdrop in which man and all the creatures of the world where part of a divine plan created and ordered by God: a “great chain of being” in which some creatures had power over others as willed by God. The order that God had set for the rational functioning of the world was expressed through natural law. For James Tully (1980, p36) Locke’s God was the ultimate maker of the divine order. It followed that mankind, as his product, was thoroughly dependent on him. It is through the use of reason than humans could discover the natural laws that God has set; these being the duty of the preservation of mankind, the laws governing the acquisition of property and the rights accruing from these. “Reason, which was the Voice of God in him, could not but teach him and assure him, that pursuing that natural inclination he had to preserve his being, he followed the Will of his Maker” (First Treatise, §86). By demonstrating the dependency of man’s duties and rights on the will of God, Tully is able to disprove Strauss’s claim that man is driven by subjective egotistic self-preservation: “The point of grounding morality in Man’s relationship to God, and thus making him morally dependent on God’s objective will, is to repudiate this subjectivism” (Tully 1980, p47). Tully shows that there was simply no other natural law vocabulary, other than the theological one, available to Locke to justify all of his theory on (Tully 1993 p100). Locke’s teleology therefore does not entail, as Macpherson and Strauss suggest, the pursuit of unlimited wealth nor the principle of self preservation. For Tully, Locke’s teleology is the finding and obeying of natural law which is our duty to God (1993, p46).

Conclusion

From this analysis it is clear that a thorough understanding of Locke’s Second Treatise necessarily requires recognition of the political and religious context he was writing in. Only after can we proceed to speculate on what the text represents and means, and only after is it possible to accept Macpherson’s and Strauss’s criticisms to Locke. Yes, Locke was indeed a member of a rising Bourgeois class (Macpherson 1962, p261), and yes his theory does perform Strauss’s “emancipation of acquisitiveness”. However, this was not Locke’s intent. It has been demonstrated that Locke wanted to propose a theory of limited government aimed at countering the despotic and absolutist rule of James II. His motivations were indeed economic as he did fear arbitrary taxation; however these are not the sole motivations spurring Locke to write the Second Treatise. Locke was equally (if not more) concerned with the issues of political liberalism, individual rights, and toleration. Above all he was concerned with justifying his politics within a theological context as he genuinely believed in the God-given fact of the equality of mankind (Waldron 2002, p15).

In conclusion it is not possible to posit a dichotomy of interpretation for Locke’s Second Treatise as being either a defence of secular rights and property or a Calvinist call for men and government to do their duty to God. The former is dependent on the later. Both views are thoroughly enmeshed, and mutually supportive at a logical, political and more importantly theological level.

Bibliography

Dunn, J. 1969, The Political Thought of John Locke, Cambridge University Press, Cambridge

Dunn, J. 1980, Locke, Oxford University Press, Oxford

Locke, J. 1988, Two Treatises of Government ed. Peter Laslett, Cambridge University Press, Cambridge

Macpherson, C.B. 1962, The Political Theory of Possessive Individualism: Hobbes to Locke, Oxford University Press, Oxford

Strauss, L. 1953, Natural Right and History, Chicago University Press, Chicago

Tully, J. 1980, A discourse on property: John Locke and his adversaries, Cambridge University Press, Cambridge

Tully, J. 1993, An approach to political philosophy: Locke in contexts, Cambridge University Press, Cambridge

Waldron, J. 2002, God, Locke and Equality, Cambridge University Press, Cambridge

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