CLASSICS IN POLITICAL PHILOSOPHY
34. Emma Goldman — Anarchism (from “What I Believe”)
35. John Dewey — Society as Voluntary Associations (from Reconstruction in Philosophy)
36. John Maynard Keynes — Capitalism and Collective Action (from “The End of Laissez-Faire”)
37. United Nations General Assembly — Universal Declaration of Human Rights
38. H.L.A. Hart — Are there any Natural Rights? (from “Are there any Natural Rights”)
39. John Rawls — Justice as Fairness (from “Justice as Fairness”)
40. Barak Obama — Just Wars and Steps Towards Peace (from Nobel Peace Prize Acceptance Speech)
Born into a Jewish family in Russia, Emma Goldman (1869–1940) immigrated to the United States at age 16 and moved in with her sister in Rochester New York. After a failed marriage that lasted a year, she moved to New York City at age 20, met her life-long companion Alexander Berkman, and the two became active with political anarchist groups.
“What I believe” has many times been the target of hack writers. Such blood-curdling and incoherent stories have been circulated about me, it is no wonder that the average human being has palpitation of the heart at the very mention of the name Emma Goldman. It is too bad that we no longer live in the times when witches were burned at the stake or tortured to drive the evil spirit out of them. For, indeed, Emma Goldman is a witch! True, she does not eat little children, but she does many worse things. She manufactures bombs and gambles in crowned heads. B-r-r-r!
Such is the impression the public has of myself and my beliefs. It is therefore very much to the credit of The World that it gives its readers at least an opportunity to learn what my beliefs really are.
The student of the history of progressive thought is well aware that every idea in its early stages has been misrepresented, and the adherents of such ideas have been maligned and persecuted. One need not go back two thousand years to the time when those who believed in the gospel of Jesus were thrown into the arena or hunted into dungeons to realize how little great beliefs or earnest believers are understood. The history of progress is written in the blood of men and women who have dared to espouse an unpopular cause, as, for instance, the black man’s right to his body, or woman’s right to her soul. If, then, from time immemorial, the New has met with opposition and condemnation, why should my beliefs be exempt from a crown of thorns?
“What I believe” is a process rather than a finality. Finalities are for gods and governments, not for the human intellect. While it may be true that Herbert Spencer’s formulation of liberty is the most important on the subject, as a political basis of society, yet life is something more than formulas. In the battle for freedom, as Ibsen has so well pointed out, it is the struggle for, not so much the attainment of, liberty, that develops all that is strongest, sturdiest and finest in human character.
Anarchism is not only a process, however, that marches on with “sombre steps,” coloring all that is positive and constructive in organic development. It is a conspicuous protest of the most militant type. It is so absolutely uncompromising, insisting and permeating a force as to overcome the most stubborn assault and to withstand the criticism of those who really constitute the last trumpets of a decaying age.
Anarchists are by no means passive spectators in the theatre of social development; on the contrary, they have some very positive notions as regards aims and methods.
That I may make myself as clear as possible without using too much space, permit me to adopt the topical mode of treatment of “What I Believe”:
1. AS TO PROPERTY
“Property” means dominion over things and the denial to others of the use of those things. So long as production was not equal to the normal demand, institutional property may have had some raison d’être. One has only to consult economics, however, to know that the productivity of labor within the last few decades has increased so tremendously as to exceed normal demand a hundred-fold, and to make property not only a hindrance to human well-being, but an obstacle, a deadly barrier, to all progress. It is the private dominion over things that condemns millions of people to be mere nonentities, living corpses without originality or power of initiative, human machines of flesh and blood, who pile up mountains of wealth for others and pay for it with a gray, dull and wretched existence for themselves. I believe that there can be no real wealth, social wealth, so long as it rests on human lives—young lives, old lives and lives in the making.
It is conceded by all radical thinkers that the fundamental cause of this terrible state of affairs is (1) that man must sell his labor; (2) that his inclination and judgment are subordinated to the will of a master.
Anarchism is the only philosophy that can and will do away with this humiliating and degrading situation. It differs from all other theories inasmuch as it points out that man’s development, his physical well-being, his latent qualities and innate disposition alone must determine the character and conditions of his work. Similarly will one’s physical and mental appreciations and his soul cravings decide how much he shall consume. To make this a reality will, I believe, be possible only in a society based on voluntary co-operation of productive groups, communities and societies loosely federated together, eventually developing into a free communism, actuated by a solidarity of interests. There can be no freedom in the large sense of the word, no harmonious development, so long as mercenary and commercial considerations play an important part in the determination of personal conduct.
2. AS TO GOVERNMENT
I believe government, organized authority, or the State is necessary only to maintain or protect property and monopoly. It has proven efficient in that function only. As a promoter of individual liberty, human well-being and social harmony, which alone constitute real order, government stands condemned by all the great men of the world.
I therefore believe, with my fellow-Anarchists, that the statutory regulations, legislative enactments, constitutional provisions, are invasive. They never yet induced man to do anything he could and would not do by virtue of his intellect or temperament, nor prevented anything that man was impelled to do by the same dictates. Millet’s pictorial description of “The Man with the Hoe,” Meunier’s masterpieces of the miners that have aided in lifting labor from its degrading position, Gorki’s descriptions of the underworld, Ibsen’s psychological analysis of human life, could never have been induced by government any more than the spirit which impels a man to save a drowning child or a crippled woman from a burning building has ever been called into operation by statutory regulations or the policeman’s club. I believe—indeed, I know—that whatever is fine and beautiful in the human expresses and asserts itself in spite of government, and not because of it.
The Anarchists are therefore justified in assuming that Anarchism—the absence of government—will insure the widest and greatest scope for unhampered human development, the cornerstone of true social progress and harmony.
As to the stereotyped argument that government acts as a check on crime and vice, even the makers of law no longer believe it. This country spends millions of dollars for the maintenance of her “criminals” behind prison bars, yet crime is on the increase. Surely this state of affairs is not owing to an insufficiency of laws! Ninety per cent of all crimes are property crimes, which have their root in our economic iniquities. So long as these latter continue to exist we might convert every lamp-post into a gibbet without having the least effect on the crime in our midst. Crimes resulting from heredity can certainly never be cured by law. Surely we are learning even to-day that such crimes can effectively be treated only by the best modern medical methods at our command, and, above all, by the spirit of a deeper sense of fellowship, kindness and understanding.
3. AS TO MILITARISM
I should not treat of this subject separately, since it belongs to the paraphernalia of government, if it were not for the fact that those who are most vigorously opposed to my beliefs on the ground that the latter stand for force are the advocates of militarism.
The fact is that Anarchists are the only true advocates of peace, the only people who call a halt to the growing tendency of militarism, which is fast making of this erstwhile free country an imperialistic and despotic power.
The military spirit is the most merciless, heartless and brutal in existence. It fosters an institution for which there is not even a pretense of justification. The soldier, to quote Tolstoi, is a professional man-killer. He does not kill for the love of it, like a savage, or in a passion, like a homicide. He is a cold-blooded, mechanical, obedient tool of his military superiors. He is ready to cut throats or scuttle a ship at the command of his ranking officer, without knowing or, perhaps, caring how, why or wherefore. I am supported in this contention by no less a military light than Gen. Funston. I quote from the latter’s communication to the New York Evening Post of June 30, dealing with the case of Private William Buwalda, which caused such a stir all through the Northwest. “The first duty of an officer or enlisted man,” says our noble warrior, “is unquestioning obedience and loyalty to the government to which he has sworn allegiance; it makes no difference whether he approves of that government or not.”
How can we harmonize the principle of “unquestioning obedience” with the principle of “life, liberty and the pursuit of happiness”? The deadly power of militarism has never before been so effectually demonstrated in this country as in the recent condemnation by court-martial of William Buwalda, of San Francisco, Company A, Engineers, to five years in military prison. Here was a man who had a record of fifteen years of continuous service. “His character and conduct were unimpeachable,” we are told by Gen. Funston, who, in consideration of it, reduced Buwalda’s sentence to three years. Yet the man is thrown suddenly out of the army, dishonored, robbed of his chances of a pension and sent to prison. What was his crime? Just listen, ye free-born Americans! William Buwalda attended a public meeting, and after the lecture he shook hands with the speaker. Gen. Funston, in his letter to the Post, to which I have already referred above, asserts that Buwalda’s action was a “great military offense, infinitely worse than desertion.” In another public statement, which the General made in Portland, Ore., he said that “Buwalda’s was a serious crime, equal to treason.”
It is quite true that the meeting had been arranged by Anarchists. Had the Socialists issued the call, Gen. Funston informs us, there would have been no objection to Buwalda’s presence. Indeed, the General says, “I would not have the slightest hesitancy about attending a Socialist meeting myself.” But to attend an Anarchist meeting with Emma Goldman as speaker—could there be anything more “treasonable”?
For this horrible crime a man, a free-born American citizen, who has given this country the best fifteen years of his life, and whose character and conduct during that time were “unimpeachable,” is now languishing in a prison, dishonored, disgraced and robbed of a livelihood.
Can there be anything more destructive of the true genius of liberty than the spirit that made Buwalda’s sentence possible—the spirit of unquestioning obedience? Is it for this that the American people have in the last few years sacrificed four hundred million dollars and their hearts’ blood?
I believe that militarism—a standing army and navy in any country—is indicative of the decay of liberty and of the destruction of all that is best and finest in our nation. The steadily growing clamor for more battleships and an increased army on the ground that these guarantee us peace is as absurd as the argument that the peaceful man is he who goes well armed.
The same lack of consistency is displayed by those peace pretenders who oppose Anarchism because it supposedly teaches violence, and who would yet be delighted over the possibility of the American nation soon being able to hurl dynamite bombs upon defenseless enemies from flying machines.
I believe that militarism will cease when the liberty-loving spirits of the world say to their masters: “Go and do your own killing. We have sacrificed ourselves and our loved ones long enough fighting your battles. In return you have made parasites and criminals of us in times of peace and brutalized us in times of war. You have separated us from our brothers and have made of the world a human slaughterhouse. No, we will not do your killing or fight for the country that you have stolen from us.”
Oh, I believe with all my heart that human brotherhood and solidarity will clear the horizon from the terrible red streak of war and destruction.
4. AS TO FREE SPEECH AND PRESS
The Buwalda case is only one phase of the larger question of free speech, free press and the right of free assembly.
Many good people imagine that the principles of free speech or press can be exercised properly and with safety within the limits of constitutional guarantees. That is the only excuse, it seems to me, for the terrible apathy and indifference to the onslaught upon free speech and press that we have witnessed in this county within the last few months.
I believe that free speech and press mean that I may say and write what I please. This right, when regulated by constitutional provisions, legislative enactments, almighty decisions of the Postmaster General or the policeman’s club, becomes a farce. I am well aware that I will be warned of consequences if we remove the chains from speech and press. I believe, however, that the cure of consequences resulting from the unlimited exercise of expression is to allow more expression.
Mental shackles have never yet stemmed the tide of progress, whereas premature social explosions have only too often been brought about through a wave of repression.
Will our governors never learn that countries like England, Holland, Norway, Sweden and Denmark, with the largest freedom of expression, have been freest from “consequences”? Whereas Russia, Spain, Italy, France and, alas! even America, have raised these “consequences” to the most pressing political factor. Ours is supposed to be a country ruled by the majority, yet every policeman who is not vested with power by the majority can break up a meeting, drag the lecturer off the platform and club the audience out of the hall in true Russian fashion. The Postmaster General, who is not an elective officer, has the power to suppress publications and confiscate mail. From his decision there is no more appeal than from that of the Russian Czar. Truly, I believe we need a new Declaration of Independence. Is there no modern Jefferson or Adams?
5. AS TO THE CHURCH
At the recent convention of the political remnants of a once revolutionary idea it was voted that religion and vote getting have nothing to do with each other. Why should they? “So long as man is willing to delegate to the devil the care of his soul, he might, with the same consistency, delegate to the politician the care of his rights. That religion is a private affair has long been settled by the Bis-Marxian Socialists of Germany. Our American Marxians, poor of blood and originality, must needs go to Germany for their wisdom. That wisdom has served as a capital whip to lash the several millions of people into the well-disciplined army of Socialism. It might do the same here. For goodness’ sake, let’s not offend respectability, let’s not hurt the religious feelings of the people.
Religion is a superstition that originated in man’s mental inability to solve natural phenomena. The Church is an organized institution that has always been a stumbling block to progress.
Organized churchism has stripped religion of its naïveté and primitiveness. It has turned religion into a nightmare that oppresses the human soul and holds the mind in bondage. “The Dominion of Darkness,” as the last true Christian, Leo Tolstoi, calls the Church, has been a foe of human development and free thought, and as such it has no place in the life of a truly free people.
6. AS TO MARRIAGE AND LOVE
I believe these are probably the most tabooed subjects in this country. It is almost impossible to talk about them without scandalizing the cherished propriety of a lot of good folk. No wonder so much ignorance prevails relative to these questions. Nothing short of an open, frank, and intelligent discussion will purify the air from the hysterical, sentimental rubbish that is shrouding these vital subjects, vital to individual as well as social well-being.
Marriage and love are not synonymous; on the contrary, they are often antagonistic to each other. I am aware of the fact that some marriages are actuated by love, but the narrow, material confines of marriage, as it is, speedily crush the tender flower of affection.
Marriage is an institution which furnishes the State and Church with a tremendous revenue and the means of prying into that phase of life which refined people have long considered their own, their very own most sacred affair. Love is that most powerful factor of human relationship which from time immemorial has defied all man-made laws and broken through the iron bars of conventions in Church and morality. Marriage is often an economic arrangement purely, furnishing the woman with a life-long life insurance policy and the man with a perpetuator of his kind or a pretty toy. That is, marriage, or the training thereto, prepares the woman for the life of a parasite, a dependent, helpless servant, while it furnishes the man the right of a chattel mortgage over a human life.
How can such a condition of affairs have anything in common with love?—with the element that would forego all the wealth of money and power and live in its own world of untrammeled human expression? But this is not the age of romanticism, of Romeo and Juliet, Faust and Marguerite, of moonlight ecstasies, of flowers and songs. Ours is a practical age. Our first consideration is an income. So much the worse for us if we have reached the era when the soul’s highest flights are to be checked. No race can develop without the love element.
But if two people are to worship at the shrine of love, what is to become of the golden calf, marriage? “It is the only security for the woman, for the child, the family, the State.” But it is no security to love; and without love no true home can or does exist. Without love no child should be born; without love no true woman can be related to a man. The fear that love is not sufficient material safety for the child is out of date. I believe when woman signs her own emancipation, her first declaration of independence will consist in admiring and loving a man for the qualities of his heart and mind and not for the quantities in his pocket. The second declaration will be that she has the right to follow that love without let or hindrance from the outside world. The third and most important declaration will be the absolute right to free motherhood.
In such a mother and an equally free father rests the safety of the child. They have the strength, the sturdiness, the harmony to create an atmosphere wherein alone the human plant can grow into an exquisite flower.
7. AS TO ACTS OF VIOLENCE
And now I have come to that point in my beliefs about which the greatest misunderstanding prevails in the minds of the American public. “Well, come, now, don’t you propagate violence, the killing of crowned heads and Presidents?” Who says that I do? Have you heard me, has any one heard me? Has anyone seen it printed in our literature? No, but the papers say so, everybody says so; consequently it must be so. Oh, for the accuracy and logic of the dear public!
I believe that Anarchism is the only philosophy of peace, the only theory of the social relationship that values human life above everything else. I know that some Anarchists have committed acts of violence, but it is the terrible economic inequality and great political injustice that prompt such acts, not Anarchism. Every institution to-day rests on violence; our very atmosphere is saturated with it. So long as such a state exists we might as well strive to stop the rush of Niagara as hope to do away with violence. I have already stated that countries with some measure of freedom of expression have had few or no acts of violence. What is the moral? Simply this: No act committed by an Anarchist has been for personal gain, aggrandizement or profit, but rather a conscious protest against some repressive, arbitrary, tyrannical measure from above.
President Carnot, of France, was killed by Caserio in response to Carnot’s refusal to commute the death sentence of Vaillant, for whose life the entire literary, scientific and humanitarian world of France had pleaded.
Bresci went to Italy on his own money, earned in the silk weaving mills of Paterson, to call King Humbert to the bar of justice for his order to shoot defenseless women and children during a bread riot. Angelino executed Prime Minister Canovas for the latter’s resurrection of the Spanish inquisition at Montjuich Prison. Alexander Berkman attempted the life of Henry C. Frick during the Homestead strike only because of his intense sympathy for the eleven strikers killed by Pinkertons and for the widows and orphans evicted by Frick from their wretched little homes that were owned by Mr. Carnegie.
Every one of these men not only made his reasons known to the world in spoken or written statements, showing the cause that led to his act, proving that the unbearable economic and political pressure, the suffering and despair of their fellow-men, women and children prompted the acts, and not the philosophy of Anarchism. They came openly, frankly and ready to stand the consequences, ready to give their own lives.
In diagnosing the true nature of our social disease I cannot condemn those who, through no fault of their own, are suffering from a wide-spread malady.
I do not believe that these acts can, or ever have been intended to, bring about the social reconstruction. That can only be done, first, by a broad and wide education as to man’s place in society and his proper relation to his fellows; and, second, through example. By example I mean the actual living of a truth once recognized, not the mere theorizing of its life element. Lastly, and the most powerful weapon, is the conscious, intelligent, organized, economic protest of the masses through direct action and the general strike.
The general contention that Anarchists are opposed to organization, and hence stand for chaos, is absolutely groundless. True, we do not believe in the compulsory, arbitrary side of organization that would compel people of antagonistic tastes and interests into a body and hold them there by coercion. Organization as the result of natural blending of common interests, brought about through voluntary adhesion, Anarchists do not only not oppose, but believe in as the only possible basis of social life.
It is the harmony of organic growth which produces variety of color and form—the complete whole we admire in the flower. Analogously will the organized activity of free human beings endowed with the spirit of solidarity result in the perfection of social harmony—which is Anarchism. Indeed, only Anarchism makes non-authoritarian organization a reality, since it abolishes the existing antagonism between individuals and classes.
Source: Emma Goldman, “What I Believe,” New York World, July 19, 1908.
Questions for Review
Questions for Analysis
SOCIETY AS VOLUNTARY ASSOCIATIONS
How can philosophic change seriously affect social philosophy? As far as fundamentals are concerned, every view and combination appears to have been formulated already. Society is composed of individuals: this obvious and basic fact no philosophy, whatever its pretensions to novelty, can question or alter. Hence these three alternatives: Society must exist for the sake of individuals; or individuals must have their ends and ways of living set for them by society; or else society and individuals are correlative, organic, to one another, society requiring the service and subordination of individuals and at the same time existing to serve them. Beyond these three views, none seems to be logically conceivable. Moreover, while each of the three types includes many subspecies and variations within itself, yet the changes seem to have been so thoroughly rung that at most only minor variations are now possible.
Especially would it seem true that the “organic” conception meets all the objections to the extreme individualistic and extreme socialistic theories, avoiding the errors alike of Plato and Bentham. Just because society is composed of individuals, it would seem that individuals and the associative relations that hold them together must be of coequal importance. Without strong and competent individuals, the bonds and ties that form society have nothing to lay hold on. Apart from associations with one another, individuals are isolated from one another and fade and wither; or are opposed to one another and their conflicts injure individual development. Law, state, church, family, friendship, industrial association, these and other institutions and arrangements are necessary in order that individuals may grow and find their specific capacities and functions. Without their aid and support human life is, as Hobbes said, brutish, solitary, nasty.
We plunge into the heart of the matter, by asserting that these various theories suffer from a common defect. They are all committed to the logic of general notions under which specific situations are to be brought. What we want light upon is this or that group of individuals, this or that concrete human being, this or that special institution or social arrangement. For such a logic of inquiry, the traditionally accepted logic substitutes discussion of the meaning of concepts and their dialectical relationship to one another. The discussion goes on in terms of the state, the individual; the nature of institutions as such, society in general.
We need guidance in dealing with particular perplexities in domestic life, and are met by dissertations on the Family or by assertions of the sacredness of individual Personality. We want to know about the worth of the institution of private property as it operates under given conditions of definite time and place. We meet with the reply of Proudhon that property generally is theft, or with that of Hegel that the realization of will is the end of all institutions, and that private ownership as the expression of mastery of personality over physical nature is a necessary element in such realization. Both answers may have a certain suggestiveness in connection with specific situations. But the conceptions are not proffered for what they may be worth in connection with special historic phenomena. They are general answers supposed to have a universal meaning that covers and dominates all particulars. Hence they do not assist inquiry. They close it. They are not instrumentalities to be employed and tested in clarifying concrete social difficulties. They are ready-made principles to be imposed upon particulars in order to determine their nature. They tell us about the state when we want to know about some state. But the implication is that what is said about the state applies to any state that we happen to wish to know about.
In transferring the issue from concrete situations to definitions and conceptual deductions, the effect, especially of the organic theory, is to supply the apparatus for intellectual justification of the established order. Those most interested in practical social progress and the emancipation of groups from oppression have turned a cold shoulder to the organic theory. The effect, if not the intention, of German idealism as applied in social philosophy was to provide a bulwark for the maintenance of the political status quo against the tide of radical ideas coming from revolutionary France. Although Hegel asserted in explicit form that the end of states and institutions is to further the realization of the freedom of all, his effect was to consecrate the Prussian State and to enshrine bureaucratic absolutism. Was this apologetic tendency accidental, or did it spring from something in the logic of the notions that were employed?
Surely the latter. If we talk about the state and the individual, rather than about this or that political organization and this or that group of needy and suffering human beings, the tendency is to throw the glamor and prestige, the meaning and value attached to the general notion, over the concrete situation and thereby to cover up the defects of the latter and disguise the need of serious reforms. The meanings which are found in the general notions are injected into the particulars that come under them. Quite properly so if we once grant the logic of rigid universals under which the concrete cases have to be subsumed in order to be understood and explained.
Again, the tendency of the organic point of view is to minimize the significance of specific conflicts. Since the individual and the state or social institution are but two sides of the same reality, since they are already reconciled in principle and conception, the conflict in any particular case can be but apparent. Since in theory the individual and the state are reciprocally necessary and helpful to one another, why pay much attention to the fact that in this state a whole group of individuals are suffering from oppressive conditions? In “reality” their interests cannot be in conflict with those of the state to which they belong; the opposition is only superficial and casual. Capital and labor cannot “really” conflict because each is an organic necessity to the other, and both to the organized community as a whole. There cannot “really” be any sex-problem because men and women are indispensable both to one another and to the state. In his day, Aristotle could easily employ the logic of general concepts superior to individuals to show that the institution of slavery was in the interests both of the state and of the slave class. Even if the intention is not to justify the existing order the effect is to divert attention from special situations. Rationalistic logic formerly made men careless in observation of the concrete in physical philosophy. It now operates to depress and retard observation in specific social phenomena. The social philosopher, dwelling in the region of his concepts, “solves” problems by showing the relationship of ideas, instead of helping men solve problems in the concrete by supplying them hypotheses to be used and tested in projects of reform.
Meanwhile, of course, the concrete troubles and evils remain. They are not magically waived out of existence because in theory society is organic. The region of concrete difficulties, where the assistance of intelligent method for tentative plans for experimentation is urgently needed, is precisely where intelligence fails to operate. In this region of the specific and concrete, men are thrown back upon the crudest empiricism, upon short-sighted opportunism and the matching of brute forces. In theory, the particulars are all neatly disposed of; they come under their appropriate heading and category; they are labeled and go into an orderly pigeon-hole in a systematic filing cabinet, labeled political science or sociology. But in empirical fact they remain as perplexing, confused and unorganized as they were before. So they are dealt with not by even an endeavor at scientific method but by blind rule of thumb, citation of precedents, considerations of immediate advantage, smoothing things over, use of coercive force and the clash of personal ambitions. The world still survives; it has therefore got on somehow:—so much cannot be denied. The method of trial and error and competition of selfishnesses has somehow wrought out many improvements. But social theory nevertheless exists as an idle luxury rather than as a guiding method of inquiry and planning. In the question of methods concerned with reconstruction of special situations rather than in any refinements in the general concepts of institution, individuality, state, freedom, law, order, progress, etc., lies the true impact of philosophical reconstruction.
Consider the conception of the individual self. The individualistic school of England and France in the eighteenth and nineteenth centuries was empirical in intent. It based its individualism, philosophically speaking, upon the belief that individuals are alone real, that classes and organizations are secondary and derived. They are artificial, while individuals are natural. In what way then can individualism be said to come under the animadversions that have been passed To say the defect was that this school overlooked those connections with other persons which are a part of the constitution of every individual is true as far as it goes; but unfortunately it rarely goes beyond the point of just that wholesale justification of institutions which has been criticized.
The real difficulty is that the individual is regarded as something given, something already there. Consequently, he can only be something to be catered to, something whose pleasures are to be magnified and possessions multiplied. When the individual is taken as something given already, anything that can be done to him or for him it can only be by way of external impressions and belongings: sensations of pleasure and pain, comforts, securities. Now it is true that social arrangements, laws, institutions are made for man, rather than that man is made for them; that they are means and agencies of human welfare and progress. But they are not means for obtaining something for individuals, not even happiness. They are means of creating individuals. Only in the physical sense of physical bodies that to the senses are separate is individuality an original datum. Individuality in a social and moral sense is something to be wrought out. It means initiative, inventiveness, varied resourcefulness, assumption of responsibility in choice of belief and conduct. These are not gifts, but achievements. As achievements, they are not absolute but relative to the use that is to be made of them. And this use varies with the environment.
The import of this conception comes out in considering the fortunes of the idea of self-interest. All members of the empirical school emphasized this idea. It was the sole motive of mankind. Virtue was to be attained by making benevolent action profitable to the individual; social arrangements were to be reformed so that egoism and altruistic consideration of others would be identified. Moralists of the opposite school were not backward in pointing out the evils of any theory that reduced both morals and political science to means of calculating self-interest. Consequently they threw the whole idea of interest overboard as obnoxious to morals. The effect of this reaction was to strengthen the cause of authority and political obscurantism. When the play of interest is eliminated, what remains? What concrete moving forces can be found? Those who identified the self with something ready-made and its interest with acquisition of pleasure and profit took the most effective means possible to reinstate the logic of abstract conceptions of law, justice, sovereignty, freedom, etc.—all of those vague general ideas that for all their seeming rigidity can be manipulated by any clever politician to cover up his designs and to make the worse seem the better cause. Interests are specific and dynamic; they are the natural terms of any concrete social thinking. But they are damned beyond recovery when they are identified with the things of a petty selfishness. They can be employed as vital terms only when the self is seen to be in process, and interest to be a name for whatever is concerned in furthering its movement.
The same logic applies to the old dispute of whether reform should start with the individual or with institutions. When the self is regarded as something complete within itself, then it is readily argued that only internal moralistic changes are of importance in general reform. Institutional changes are said to be merely external. They may add conveniences and comforts to life, but they cannot effect moral improvements. The result is to throw the burden for social improvement upon freewill in its most impossible form. Moreover, social and economic passivity are encouraged. Individuals are led to concentrate in moral introspection upon their own vices and virtues, and to neglect the character of the environment. Morals withdraw from active concern with detailed economic and political conditions. Let us perfect ourselves within, and in due season changes in society will come of themselves is the teaching. And while saints are engaged in introspection, burly sinners run the world. But when self-hood is perceived to be an active process it is also seen that social modifications are the only means of the creation of changed personalities. Institutions are viewed in their educative effect:—with reference to the types of individuals they foster. The interest in individual moral improvement and the social interest in objective reform of economic and political conditions are identified. And inquiry into the meaning of social arrangements gets definite point and direction. We are led to ask what the specific stimulating, fostering and nurturing power of each specific social arrangement may be. The old-time separation between politics and morals is abolished at its root.
Consequently we cannot be satisfied with the general statement that society and the state is organic to the individual. The question is one of specific causations. Just what response does this social arrangement, political or economic, evoke, and what effect does it have upon the disposition of those who engage in it? Does it release capacity? If so, how widely? Among a few, with a corresponding depression in others, or in an extensive and equitable way? Is the capacity which is set free also directed in some coherent way, so that it becomes a power, or its manifestation spasmodic and capricious? Since responses are of an indefinite diversity of kind, these inquiries have to be detailed specific. Are men’s senses rendered more delicately sensitive and appreciative, or are they blunted and dulled by this and that form of social organization? Are their minds trained so that the hands are more deft and cunning? Is curiosity awakened or blunted? What is its quality: is it merely esthetic, dwelling on the forms and surfaces of things or is it also an intellectual searching into their meaning? Such questions as these (as well as the more obvious ones about the qualities conventionally labeled moral), become the starting-points of inquiries about every institution of the community when it is recognized that individuality is not originally given but is created under the influences of associated life. Like utilitarianism, the theory subjects every form of organization to continual scrutiny and criticism. But instead of leading us to ask what it does in the way of causing pains and pleasures to individuals already in existence, it inquires what is done to release specific capacities and co-ordinate them into working powers. What sort of individuals are created?
The waste of mental energy due to conducting discussion of social affairs in terms of conceptual generalities is astonishing. How far would the biologist and the physician progress if when the subject of respiration is under consideration, discussion confined itself to bandying back and forth the concepts of organ and organism: —If for example one school thought respiration could be known and understood by insisting upon the fact that it occurs in an individual body and therefore is an “individual” phenomenon, while an opposite school insisted that it is simply one function in organic interaction with others and can be known or understood therefore only by reference to other functions taken in an equally general or wholesale way? Each proposition is equally true and equally futile. What is needed is specific inquiries into a multitude of specific structures and interactions. Not only does the solemn reiteration of categories of individual and organic or social whole not further these definite and detailed inquiries, but it checks them. It detains thought within pompous and sonorous generalities wherein controversy is as inevitable as it is incapable of solution. It is true enough that if cells were not in vital interaction with one another, they could neither conflict nor co-operate. But the fact of the existence of an “organic” social group, instead of answering any questions merely marks the fact that questions exist: Just what conflicts and what co-operations occur, and what are their specific causes and consequences? But because of the persistence within social philosophy of the order of ideas that has been expelled from natural philosophy, even sociologists take conflict or co-operation as general categories upon which to base their science, and condescend to empirical facts only for illustrations. As a rule, their chief “problem” is a purely dialectical one, covered up by a thick quilt of empirical anthropological and historical citations: How do individuals unite to form society? How are individuals socially controlled? And the problem is justly called dialectical because it springs from antecedent conceptions of “individual” and “social.”
Just as “individual” is not one thing, but is a blanket term for the immense variety of specific reactions, habits, dispositions and powers of human nature that are evoked, and confirmed under the influences of associated life, so with the term “social.” Society is one word, but infinitely many things. It covers all the ways in which by associating together men share their experiences, and build up common interests and aims; street gangs, schools for burglary, clans, social cliques, trades unions, joint stock corporations, villages and international alliances. The new method takes effect in substituting inquiry into these specific, changing and relative facts (relative to problems and purposes, not metaphysically relative) for solemn manipulation of general notions.
Strangely enough, the current conception of the state is a case in point. For one direct influence of the classic order of fixed species arranged in hierarchical order is the attempt of German political philosophy in the nineteenth century to enumerate a definite number of institutions, each having its own essential and immutable meaning; to arrange them in an order of “evolution” which corresponds with the dignity and rank of the respective meanings. The National State was placed at the top as the consummation and culmination, and also the basis of all other institutions.
Hegel is a striking example of this industry, but he is far from the only one. Many who have bitterly quarreled with him, have only differed as to the details of the “evolution” or as to the particular meaning to be attributed as essential Begriff to some one of the enumerated institutions. The quarrel has been bitter only because the underlying premises were the same. Particularly have many schools of thought, varying even more widely in respect to method and conclusion, agreed upon the final consummating position of the state. They may not go as far as Hegel in making the sole meaning of history to be the evolution of National Territorial States, each of which embodies more than the prior form of the essential meaning or conception of the State and consequently displaces it, until we arrive at that triumph of historical evolution, the Prussian State. But they do not question the unique and supreme position of the State in the social hierarchy. Indeed that conception has hardened into unquestionable dogma under the title of sovereignty.
There can be no doubt of the tremendously important role played by the modern territorial national state. The formation of these states has been the centre of modern political history. France, Great Britain, Spain were the first peoples to attain nationalistic organization, but in the nineteenth century their example was followed by Japan, Germany and Italy, to say nothing of a large number of smaller states, Greece, Servia, Bulgaria, etc. As everybody knows, one of the most important phases of the recent world war was the struggle to complete the nationalistic movement, resulting in the erection of Bohemia, Poland, etc., into independent states, and the accession of Armenia, Palestine, etc., to the rank of candidates.
The struggle for the supremacy of the State over other forms of organization was directed against the power of minor districts, provinces, principalities, against the dispersion of power among feudal lords as well as, in some countries, against the pretensions of an ecclesiastic potentate. The “State” represents the conspicuous culmination of the great movement of social integration and consolidation taking place in the last few centuries, tremendously accelerated by the concentrating and combining forces of steam and electricity. Naturally, inevitably, the students of political science have been preoccupied with this great historic phenomenon, and their intellectual activities have been directed to its systematic formulation. Because the contemporary progressive movement was to establish the unified state against the inertia of minor social units and against the ambitions of rivals for power, political theory developed the dogma of the sovereignty of the national state, internally and externally.
As the work of integration and consolidation reaches its climax, the question arises, however, whether the national state, once it is firmly established and no longer struggling against strong foes, is not just an instrumentality for promoting and protecting other and more voluntary forms of association, rather than a supreme end in itself. Two actual phenomena may be pointed to in support of an affirmative answer. Along with the development of the larger, more inclusive and more unified organization of the state has gone the emancipation of individuals from restrictions and servitudes previously imposed by custom and class status. But the individuals freed from external and coercive bonds have not remained isolated. Social molecules have at once recombined in new associations and organizations. Compulsory associations have been replaced by voluntary ones; rigid organizations by those more amenable to human choice and purposes—more directly changeable at will. What upon one side looks like a movement toward individualism, turns out to be really a movement toward multiplying all kinds and varieties of associations: Political parties, industrial corporations, scientific and artistic organizations, trade unions, churches, schools, clubs and societies without number, for the cultivation of every conceivable interest that men have in common. As they develop in number and importance, the state tends to become more and more a regulator and adjuster among them; defining the limits of their actions, preventing and settling conflicts.
Its “supremacy” approximates that of the conductor of an orchestra, who makes no music himself but who harmonizes the activities of those who in producing it are doing the thing intrinsically worthwhile. The state remains highly important—but its importance consists more and more in its power to foster and coordinate the activities of voluntary groupings. Only nominally is it in any modern community the end for the sake of which all the other societies and organizations exist. Groupings for promoting the diversity of goods that men share have become the real social units. They occupy the place which traditional theory has claimed either for mere isolated individuals or for the supreme and single political organization. Pluralism is well ordained in present political practice and demands a modification of hierarchical and monistic theory. Every combination of human forces that adds its own contribution of value to life has for that reason its own unique and ultimate worth. It cannot be degraded into a means to glorify the State. One reason for the increased demoralization of war is that it forces the State into an abnormally supreme position.
The other concrete fact is the opposition between the claim of independent sovereignty in behalf of the territorial national state and the growth of international and what have well been called trans-national interests. The weal and woe of any modern state is bound up with that of others. Weakness, disorder, false principles on the part of any state are not confined within its boundaries. They spread and infect other states. The same is true of economic, artistic and scientific advances. Moreover the voluntary associations just spoken of do not coincide with political boundaries. Associations of mathematicians, chemists, astronomers; business corporations, labor organizations, churches are trans-national because the interests they represent are worldwide. In such ways as these, internationalism is not an aspiration but a fact, not a sentimental ideal but a force. Yet these interests are cut across and thrown out of gear by the traditional doctrine of exclusive national sovereignty. It is the vogue of this doctrine, or dogma, that presents the strongest barrier to the effective formation of an international mind which alone agrees with the moving forces of present-day labor, commerce, science, art and religion.
Society, as was said, is many associations not a single organization. Society means association; coming together in joint intercourse and action for the better realization of any form of experience which is augmented and confirmed by being shared. Hence there are as many associations as there are goods which are enhanced by being mutually communicated and participated in. And these are literally indefinite in number. Indeed, capacity to endure publicity and communication is the test by which it is decided whether a pretended good is genuine or spurious. Moralists have always insisted upon the fact that good is universal, objective, not just private, particular. But too often, like Plato, they have been content with a metaphysical universality or, like Kant, with a logical universality. Communication, sharing, joint participation are the only actual ways of universalizing the moral law and end. We insisted at the last hour upon the unique character of every intrinsic good. But the counterpart of this proposition is that the situation in which a good is consciously realized is not one of transient sensations or private appetites but one of sharing and communication—public, social. Even the hermit communes with gods or spirits; even misery loves company; and the most extreme selfishness includes a band of followers or some partner to share in the attained good. Universalization means socialization, the extension of the area and range of those who share in a good.
The increasing acknowledgment that goods exist and endure only through being communicated and that association is the means of conjoint sharing lies back of the modern sense of humanity and democracy. It is the saving salt in altruism and philanthropy, which without this factor degenerate into moral condescension and moral interference, taking the form of trying to regulate the affairs of others under the guise of doing them good or of conferring upon them some right as if it were a gift of charity. It follows that organization is never an end in itself. It is a means of promoting association, of multiplying effective points of contact between persons, directing their intercourse into the modes of greatest fruitfulness.
The tendency to treat organization as an end in itself is responsible for all the exaggerated theories in which individuals are subordinated to some institution to which is given the noble name of society. Society is the process of associating in such ways that experiences, ideas, emotions, values are transmitted and made common. To this active process, both the individual and the institutionally organized may truly be said to be subordinate. The individual is subordinate because except in and through communication of experience from and to others, he remains dumb, merely sentient, a brute animal. Only in association with fellows does he become a conscious centre of experience. Organization, which is what traditional theory has generally meant by the term Society or State, is also subordinate because it becomes static, rigid, institutionalized whenever it is not employed to facilitate and enrich the contacts of human beings with one another.
The long-time controversy between rights and duties, law and freedom is another version of the strife between the Individual and Society as fixed concepts. Freedom for an individual means growth, ready change when modification is required.
It signifies an active process, that of release of capacity from whatever hems it in. But since society can develop only as new resources are put at its disposal, it is absurd to suppose that freedom has positive significance for individuality but negative meaning for social interests. Society is strong, forceful, stable against accident only when all its members can function to the limit of their capacity. Such functioning cannot be achieved without allowing a leeway of experimentation beyond the limits of established and sanctioned custom. A certain amount of overt confusion and irregularity is likely to accompany the granting of the margin of liberty without which capacity cannot find itself. But socially as well as scientifically the great thing is not to avoid mistakes but to have them take place under conditions such that they can be utilized to increase intelligence in the future.
If British liberal social philosophy tended, true to the spirit of its atomistic empiricism, to make freedom and the exercise of rights ends in themselves, the remedy is not to be found in recourse to a philosophy of fixed obligations and authoritative law such as characterized German political thinking. The latter, as events have demonstrated, is dangerous because of its implicit menace to the free self-determination of other social groups. But it is also weak internally when put to the final test. In its hostility to the free experimentation and power of choice of the individual in determining social affairs, it limits the capacity of many or most individuals to share effectively in social operations, and thereby deprives society of the full contribution of all its members. The best guarantee of collective efficiency and power is liberation and use of the diversity of individual capacities in initiative, planning, foresight, vigor and endurance. Personality must be educated, personality cannot be educated by confining its operations to technical and specialized things, or to the less important relationships of life. Full education comes only when there is a responsible share on the part of each person, in proportion to capacity, in shaping the aims and policies of the social groups to which he belongs. This fact fixes the significance of democracy. It cannot be conceived as a sectarian or racial thing nor as a consecration of some form of government which has already attained constitutional sanction. It is but a name for the fact that human nature is developed only when its elements take part in directing things which are common, things for the sake of which men and women form groups—families, industrial companies, governments, churches, scientific associations and so on. The principle holds as much of one form of association, say in industry and commerce, as it does in government. The identification of democracy with political democracy which is responsible for most of its failures is, however, based upon the traditional ideas which make the individual and the state ready-made entities in themselves.
As the new ideas find adequate expression in social life, they will be absorbed into a moral background, and will the ideas and beliefs themselves be deepened and be unconsciously transmitted and sustained. They will color the imagination and temper the desires and affections. They will not form a set of ideas to be expounded, reasoned out and argumentatively supported, but will be a spontaneous way of envisaging life. Then they will take on religious value. The religious spirit will be revivified because it will be in harmony with men’s unquestioned scientific beliefs and their ordinary day-by-day social activities. It will not be obliged to lead a timid, half-concealed and half-apologetic life because tied to scientific ideas and social creeds that are continuously eaten into and broken down. But especially will the ideas and beliefs themselves be deepened and intensified because spontaneously fed by emotion and translated into imaginative vision and fine art, while they are now maintained by more or less conscious effort, by deliberate reflection, by taking thought. They are technical and abstract just because they are not as yet carried as matter of course by imagination and feelings.
We began by pointing out that European philosophy arose when intellectual methods and scientific results moved away from social traditions which had consolidated and embodied the fruits of spontaneous desire and fancy. It was pointed out that philosophy had ever since had the problem of adjusting the dry, thin and meager scientific standpoint with the obstinately persisting body of warm and abounding imaginative beliefs. Conceptions of possibility, progress, free movement and infinitely diversified opportunity have been suggested by modern science. But until they have displaced from imagination the heritage of the immutable and the once-for-all ordered and systematized, the ideas of mechanism and matter will lie like a dead weight upon the emotions, paralyzing religion and distorting art. When the liberation of capacity no longer seems a menace to organization and established institutions, something that cannot be avoided practically and yet something that is a threat to conservation of the most precious values of the past, when the liberating of human capacity operates as a socially creative force, art will not be a luxury, a stranger to the daily occupations of making a living. Making a living economically speaking, will be at one with making a life that is worth living. And when the emotional force, the mystic force one might say, of communication, of the miracle of shared life and shared experience is spontaneously felt, the hardness and crudeness of contemporary life will be bathed in the light that never was on land or sea.
Poetry, art, religion are precious things. They cannot be maintained by lingering in the past and futilely wishing to restore what the movement of events in science, industry and politics has destroyed. They are an out-flowering of thought and desires that unconsciously converge into a disposition of imagination as a result of thousands and thousands of daily episodes and contact. They cannot be willed into existence or coerced into being. The wind of the spirit bloweth where it listeth and the kingdom of God in such things does not come with observation. But while it is impossible to retain and recover by deliberate volition old sources of religion and art that have been discredited, it is possible to expedite the development of the vital sources of a religion and art that are yet to be. Not indeed by action directly aimed at their production, but by substituting faith in the active tendencies of the day for dread and dislike of them, and by the courage of intelligence to follow whither social and scientific changes direct us. We are weak today in ideal matters because intelligence is divorced from aspiration. The bare force of circumstance compels us onwards in the daily detail of our beliefs and acts, but our deeper thoughts and desires turn backwards. When philosophy shall have co-operated with the course of events and made clear and coherent the meaning of the daily detail, science and emotion will interpenetrate, practice and imagination will embrace. Poetry and religious feeling will be the unforced flowers of life. To further this articulation and revelation of the meanings of the current course of events is the task and problem of philosophy in days of transition.
Source: John Dewey, Reconstruction in Philosophy (1920), Ch. 8.
Questions for Review
Questions for Analysis
CAPITALISM AND COLLECTIVE ACTION
John Maynard Keynes
Born in Cambridge, England, John Maynard Keynes (1883-1946) was one of the leading economists of the twentieth-century, and originator of Keynesian economics, which was the dominant school of economics for several decades. His view, which appears in his most important work, The General Theory of Employment, Interest and Money (1935–36), is that governments should actively manage the economy through public projects, taxation, and fiscal policy. In times of depression or recession, when the forces of supply and demand fail to produce full employment, the government should temporarily go into debt by creating public work projects, rather than attempting to balance its budget. The selections below are from his essay “The End of Laissez-Faire” (1926), in which he criticizes unrestrained capitalism and recommends steps for government intervention in the economy. Laisses-faire, literally “let it be”, is the economic notion governments should not interfere in the market, and instead allow market forces shape of the economy. Keynes argues that the notion of laisses-faire never emerged from rigorous economic theory, but instead from a mythology perpetuated by popular writers of the nineteenth-century when this theory flourished. Not even Adam Smith’s theory of the invisible hand is a full-fledged endorsement of laisses-faire. Under close examination, he argues, it is evident that laissez-faire and its unrestrained pursuit of profit harms society in key economic areas. To break free of the laissez-faire trend, he suggests two major changes: (1) the creation of semi-autonomous bodies that seek the public good, and (2) the separation of public social services from private individual services.
I: HISTORICAL ORIGIN OF LAISSEZ-FAIRE
The disposition towards public affairs, which we conveniently sum up as individualism and laissez-faire, drew its sustenance from many different rivulets of thought and springs of feeling. For more than a hundred years our philosophers ruled us because, by a miracle, they nearly all agreed or seem to agree on this one thing. We do not dance even yet to a new tune. But a change is in the air. We hear but indistinctly what were once the clearest and most distinguishable voices which have ever instructed political mankind. The orchestra of diverse instruments, the chorus of articulate sound, is receding at last into the distance.
Emphasis on Individual Liberty
At the end of the seventeenth century the divine right of monarchs gave place to natural liberty and to the compact, and the divine right of the church to the principle of toleration, and to the view that a church is “a voluntary society of men”, coming together, in a way which is “absolutely free and spontaneous” (Locke, A Letter Concerning Toleration). Fifty years later the divine origin and absolute voice of duty gave place to the calculations of utility. In the hands of Locke and Hume these doctrines founded Individualism. The compact presumed rights in the individual; the new ethics, being no more than a scientific study of the consequences of rational self-love, placed the individual at the center. “The sole trouble Virtue demands”, said Hume, “is that of just Calculation, and a steady preference of the greater Happiness.” (An Enquiry Concerning the Principles of Morals, section 9).
These ideas accorded with the practical notions of conservatives and of lawyers. They furnished a satisfactory intellectual foundation to the rights of property and to the liberty of the individual in possession to do what he liked with himself and with his own. This was one of the contributions of the eighteenth century to the air we still breathe.
The purpose of promoting the individual was to depose the monarch and the church; the effect—through the new ethical significance attributed to contract—was to buttress property and prescriptions. But it was not long before the claims of society raised themselves anew against the individual. Paley and Bentham accepted utilitarian hedonism from the hands of Hume and his predecessors, but enlarged it into social utility.
Emphasis on Equality and Public Good
Rousseau took the Social Contract from Locke and drew out of it the General Will. In each case the transition was made by virtue of the new emphasis laid on equality. “Locke applies his Social Contract to modify the natural equality of mankind, so far as that phrase implies equality of property or even of privilege, in consideration of general security. In Rousseau’s version equality is not only the starting-point but the goal.” (Leslie Stephen, English Thought in the Eighteenth Century, II, 192).
Paley and Bentham reached the same destination, but by different routes. Paley avoided an egoistic conclusion to his hedonism by a God from the machine. “Virtue”, he says, “is the doing good to mankind, in obedience to the will of God, and for the sake of everlasting happiness’—in this way bringing I and others to a parity. Bentham reached the same result by pure reason. There is no rational ground, he argued, for preferring the happiness of one individual, even oneself, to that of any other. Hence the greatest happiness of the greatest number is the sole rational object of conduct—taking utility from Hume, but forgetting that sage man’s corollary: “Tis not contrary to reason to prefer the destruction of the whole world to the scratching of my finger.” ‘Tis not contrary to reason for me to choose my total ruin to prevent the least uneasiness of an Indian, or person totally unknown to me ... Reason is and ought only to be the slave of the passions, and can never pretend to any other office than to serve and obey them.’
Rousseau derived equality from the state of nature, Paley from the will of God, Bentham from a mathematical law of indifference. Equality and altruism had thus entered political philosophy, and from Rousseau and Bentham sprang both democracy and utilitarian socialism.
This is the second current—sprang from long-dead controversies, and carried on its way by long-exploded sophistries—which still permeates our atmosphere of thought but it did not drive out the former current. It mixed with it. The early nineteenth century performed the miraculous union. It harmonized the conservative individualism of Locke, Hume, Johnson, and Burke with the socialism and democratic egalitarianism of Rousseau, Paley, Bentham, and Godwin.
Laissez-faire Harmony between Private Advantage and Public Good
Nevertheless, that age would have been hard put to it to achieve this harmony of opposites if it had not been for the economists, who sprang into prominence just at the right moment. The idea of a divine harmony between private advantage and the public good is already apparent in Paley. But it was the economists who gave the notion a good scientific basis. Suppose that by the working of natural laws individuals pursuing their own interests with enlightenment in condition of freedom always tend to promote the general interest at the same time! Our philosophical difficulties are resolved-at least for the practical man, who can then concentrate his efforts on securing the necessary conditions of freedom. To the philosophical doctrine that the government has no right to interfere, and the divine that it has no need to interfere, there is added a scientific proof that its interference is inexpedient. This is the third current of thought, just discoverable in Adam Smith, who was ready in the main to allow the public good to rest on “the natural effort of every individual to better his own condition”, but not fully and self-consciously developed until the nineteenth century begins. The principle of laissez-faire had arrived to harmonize individualism and socialism, and to make at one Hume’s egoism with the greatest good of the greatest number. The political philosopher could retire in favor of the business man—for the latter could attain the philosopher’s summum bonum [i.e., highest good] by just pursuing his own private profit.
Yet some other ingredients were needed to complete the pudding. First the corruption and incompetence of eighteenth-century government, many legacies of which survived into the nineteenth. The individualism of the political philosophers pointed to laissez-faire. The divine or scientific harmony (as the case might be) between private interest and public advantage pointed to laissez-faire. But above all, the ineptitude of public administrators strongly prejudiced the practical man in favor of laissez-faire—a sentiment which has by no means disappeared. Almost everything which the State did in the eighteenth century in excess of its minimum functions was, or seemed, injurious or unsuccessful.
On the other hand, material progress between 1750 and 1850 came from individual initiative, and owed almost nothing to the directive influence of organized society as a whole. Thus practical experience reinforced a priori reasonings. The philosophers and the economists told us that for sundry deep reasons unfettered private enterprise would promote the greatest good of the whole. What could suit the business man better? And could a practical observer, looking about him, deny that the blessings of improvement which distinguished the age he lived in were traceable to the activities of individuals “on the make”?
Thus the ground was fertile for a doctrine that, whether on divine, natural, or scientific grounds, state action should be narrowly confined and economic life left, unregulated so far as may be, to the skill and good sense of individual citizens actuated by the admirable motive of trying to get on in the world.
Laissez-Faire Confirmed by Evolution
By the time that the influence of Paley and his like was waning, the innovations of Darwin were shaking the foundations of belief. Nothing could seem more opposed than the old doctrine and the new—the doctrine which looked on the world as the work of the divine watchmaker and the doctrine which seemed to draw all things out of Chance, Chaos, and Old Time. But at this one point the new ideas bolstered up the old. The economists were teaching that wealth, commerce, and machinery were the children of free competition—that free competition built London. But the Darwinians could go one better than that—free competition had built man. The human eye was no longer the demonstration of design, miraculously contriving all things for the best; it was the supreme achievement of chance, operating under conditions of free competition and laissez-faire. The principle of the survival of the fittest could be regarded as a vast generalization of the Ricardian economics. Socialist interferences became, in the light of this grander synthesis, not merely inexpedient, but impious, as calculated to retard the onward movement of the mighty process by which we ourselves had risen like Aphrodite out of the primeval slime of ocean.
Therefore I trace the peculiar unity of the everyday political philosophy of the nineteenth century to the success with which it harmonized diversified and warring schools and united all good things to a single end. Hume and Paley, Burke and Rousseau, Godwin and Malthus, Cobbett and Huskisson, Bentham and Coleridge, Darwin and the Bishop of Oxford, were all, it was discovered, preaching practically the same thing—individualism and laissez-faire. This was the Church of England and those her apostles, whilst the company of the economists were there to prove that the least deviation into impiety involved financial ruin.
These reasons and this atmosphere are the explanations, we know it or not—and most of us in these degenerate days are largely ignorant in the matter—why we feel such a strong bias in favor of laissez-faire, and why state action to regulate the value of money, or the course of investment, or the population, provokes such passionate suspicions in many upright breasts. We have not read these authors; we should consider their arguments preposterous if they were to fall into our hands. Nevertheless we should not, I fancy, think as we do, if Hobbes, Locke, Hume, Rousseau, Paley, Adam Smith, Bentham, and Miss Martineau had not thought and written as they did. A study of the history of opinion is a necessary preliminary to the emancipation of the mind. I do not know which makes a man more conservative—to know nothing but the present, or nothing but the past.
II: ORIGIN OF THE PHRASE “LAISSEZ-FAIRE
Laissez-Faire in French Economics
I have said that it was the economists who furnished the scientific by which the practical man could solve the contradiction between egoism and socialism which emerged out of the philosophizing of the eighteenth century and the decay of revealed religion. But having said this for shortness’ sake, I hasten to qualify it. This is what the economists are supposed to have said. No such doctrine is really to be found in the writings of the greatest authorities. It is what the popularizers and the vulgarizers said. It is what the Utilitarians, who admitted Hume’s egoism and Bentham’s egalitarianism at the same time, were driven to believe in, if they were to effect a synthesis.
The language of the economists lent itself to the laissez-faire interpretation. But the popularity of the doctrine must be laid at the door of the political philosophers of the day, whom it happened to suit, rather than of the political economists.
The maxim laissez-nous faire is traditionally attributed to the merchant Legendre addressing Colbert some time towards the end of the seventeenth century.
(‘Que faut-il faire pour vous aider?” asked Colbert. “Nous laisser faire” answered Legendre).
But there is no doubt the first writer to use the phrase, and to use it in clear association with the doctrine, is the Marquis d’Argenson about 1751.
The Marquis was the first man to wax passionate on the economic advantages of governments leaving trade alone. To govern better, he said, one must govern less.
The true cause of the decline of our manufactures, he declared, is the protection we have given to them.
“Leave them be, that should be the motto of every public authority, according to which the world is civilized..... A detestable principle that which would not wish us to grow except by lowering our neighbors! There is nothing but mischief and malignity of heart in those satisfied with that principle, and interest is opposed to it. Leave them be, damn it! Leave them be!”
Here we have the economic doctrine of laissez-faire, with its most fervent expression in free trade, fully clothed. The phrases and the idea must have passed current in Paris from that time on. But they were slow to establish themselves in literature; and the tradition associating with them the physiocrats, and particularly de Gournay and Quesnay, finds little support in the writings of this school, though they were, of course, proponents of the essential harmony of social and individual interests. The phrase laissez-faire is not to be found in the works of Adam Smith, of Ricardo, or of Malthus. Even the idea is not present in a dogmatic form in any of these authors. Adam Smith, of course, was a Free Trader and an opponent of many eighteenth-century restrictions on trade. But his attitude towards the Navigation Acts and the usury laws shows that he was not dogmatic. Even his famous passage about “the invisible hand” reflects the philosophy which we associate with Paley rather than the economic dogma of laissez-faire. As Sidgwick and Cliff Leslie have pointed out, Adam Smith’s advocacy of the “obvious and simple system of natural liberty” is derived from his theistic and optimistic view of the order of the world as set forth in his Theory of Moral Sentiments, rather than any proposition of political economy proper. (Sidgwick, Principles of Political Economy, p. 20).
Laissez-Faire in Franklin, Bentham, Marcet
The phrase laissez-faire was, I think, first brought into popular usage in England by a well-known passage of Dr Franklin’s. (Bentham uses the expression “laissez-nous faire’—Works, p. 440). It is not, indeed, until we come to the later works of Bentham—who was not an economist at all—that we discover the rule of laissez-faire, in the shape in which our grandfathers knew it, adapted into the service of the Utilitarian philosophy. For example in A Manual of Political Economy, (written in 1793, a chapter published in the Bibliothèque Britannique in 1798, and the whole first printed in Bowring’s edition of this Works—1843) he writes: “The general rule is that nothing ought to be done or attempted by government; the motto or watchword of government, on these occasions, ought to be—Be quiet ... The request which agriculture, manufacturers, and commerce present to governments is as modest and reasonable as that which Diogenes made to Alexander: Stand out of my sunshine.’
From this time on it was the political campaign for free trade, the influence of the so-called Manchester School and of the Benthamite Utilitarians, the utterances of secondary economic authorities and the education stories of Miss Martineau and Mrs Marcet, that fixed laissez-faire in the popular mind as the practical conclusion of orthodox political economy—with this great difference, that the Malthusian view of population having been accepted in the meantime by this same school of thought, the optimistic laissez-faire of the last half of the eighteenth century gives place to the pessimistic laissez-faire of the last half of the nineteenth century.
In Mrs Marcet’s Conversations on Political Economy (1817), Caroline stands out as long as she can in favor of controlling the expenditure of the rich. But by page 418 she has to admit defeat:
Caroline. The more I learn upon this subject, the more I feel convinced that the interests of nations, as well as those of individuals, so far from being opposed to each other, are in the most perfect unison.
Mrs. B. Liberal and enlarged views will always lead to similar conclusions, and teach us to cherish sentiments of universal benevolence towards each other; hence the superiority of science over mere practical knowledge.
Laissez-Faire in Whately and Bastiat
By 1850 the Easy Lessons for the Use of Young People, by Archbishop Whately, which the Society for Promoting Christian Knowledge was distributing wholesale, do not admit even of those doubts which Mrs. B. allowed Caroline occasionally to entertain. “More harm than good is likely to be done” the little book concludes, “by almost any interference of Government with men’s money transactions, whether letting and leasing, or buying and selling of any kind.” True liberty is “that every man should be left free to dispose of his own property, his own time, and strength, and skill, in whatever way he himself may think fit, provided he does no wrong to his neighbors’.
In short, the dogma had got hold of the educational machine; it had become a copybook maxim. The political philosophy, which the seventeenth and eighteenth centuries had forged in order to throw down kings and prelates, had been made milk for babes, and had literally entered the nursery.
Finally, in the works of Bastiat we reach the most extravagant and rhapsodical expression of the political economist’s religion. In his Harmonies Économiques,
I undertake [he says] to demonstrate the Harmony of those laws of Providence which govern human society. What makes these laws harmonious and not discordant is, that all principles, all motives, all springs of action, all interests, co-operate towards a grand final result ... And that result is, the indefinite approximation of all classes towards a level, which is always rising; in other words, the equalization of individuals in the general amelioration.
And when, like other priests, he drafts his Credo, it runs as follows:
I believe that He who has arranged the material universe has not withheld His regard from the arrangements of the social world. I believe that He has combined and caused to move in harmony free agents as well as inert molecules ... I believe that the invincible social tendency is a constant approximation of men towards a common moral, intellectual, and physical level, with at the same time, a progressive and indefinite elevation of that level. I believe that all that is necessary to the gradual and peaceful development of humanity is that its tendencies should not be disturbed, nor have the liberty of their movements destroyed.
Nineteenth-Century Attacks on Laissez-Faire
From the time of John Stuart Mill, economists of authority have been in strong reaction against all such ideas. “Scarcely a single English economist of repute”, as Professor Cannan has expressed it, “will join in a frontal attack upon Socialism in general,” though, as he also adds, “nearly every economist, whether of repute or not, is always ready to pick holes in most socialistic proposals’. (Theories of Production and Distribution, p. 494). Economists no longer have any link with the theological or political philosophies out of which the dogma of social harmony was born, and their scientific analysis leads them to no such conclusions.
Cairnes, in the introductory lecture on “Political Economy and Laissez-faire”, which he delivered at University College, London, in 1870, was perhaps the first orthodox economist to deliver a frontal attack upon laissez-faire in general. “The maxim of laissez-faire”, he declared, “has no scientific basis whatever, but is at best a mere handy rule of practice.”
This, for fifty years past, has been the view of all leading economists. Some of the most important work of Alfred Marshall—to take one instance—was directed to the elucidation of the leading cases in which private interest and social interest are not harmonious. Nevertheless, the guarded and undogmatic attitude of the best economists has not prevailed against the general opinion that an individualistic laissez-faire is both what they ought to teach and what in fact they do teach.
Economists, like other scientists, have chosen the hypothesis from which they set out, and which they offer to beginners because it is the simplest, and not because it is the nearest to the facts. Partly for this reason, but partly, I admit, because they have been biased by the traditions of the subject, they have begun by assuming a state of affairs where the ideal distribution of productive resources can be brought about through individuals acting independently by the method of trial and error in such a way that those individuals who move in the right direction will destroy by competition those who move in the wrong direction. This implies that there must be no mercy or protection for those who embark their capital or their labor in the wrong direction. It is a method of bringing the most successful profit-makers to the top by a ruthless struggle for survival, which selects the most efficient by the bankruptcy of the less efficient. It does not count the cost of the struggle, but looks only to the benefits of the final result which are assumed to be permanent. The object of life being to crop the leaves off the branches up to the greatest possible height, the likeliest way of achieving this end is to leave the giraffes with the longest necks to starve out those whose necks are shorter.
Corresponding to this method of attaining the ideal distribution of the instruments of production between different purposes, there is a similar assumption as to how to attain the distribution of what is available for consumption. In the first place, each individual will discover what amongst the possible objects of consumption he wants most by the method of trial and error “at the margin”, and in this way not only will each consumer come to distribute his consumption most advantageously, but each object of consumption will find its way into the mouth of the consumer whose relish for it is greatest compared with that of the others, because that consumer will outbid the rest. Thus, if only we leave the giraffes to themselves, (1) the maximum quantity of leaves will be cropped because the giraffes with the longest necks will, by dint of starving out the others, get nearest to the trees; (2) each giraffe will make for the leaves which he finds most succulent amongst those in reach; and (3) the giraffes whose relish for a given leaf is greatest will crane most to reach it. In this way more and juicier leaves will be swallowed, and each individual leaf will reach the throat which thinks it deserves most effort.
This assumption, however, of conditions where unhindered natural selection leads to progress, is only one of the two provisional assumptions which, taken as literal truth, have become the twin buttresses of laissez-faire. The other one is the efficacy, and indeed the necessity, of the opportunity for unlimited private money-making as an incentive to maximum effort. Profit accrues, under laissez-faire, to the individual who, whether by skill or good fortune, is found with his productive resources in the right place at the right time. A system which allows the skillful or fortunate individual to reap the whole fruits of this conjuncture evidently offers an immense incentive to the practice of the art of being in the right place at the right time. Thus one of the most powerful of human motives, namely the love of money, is harnessed to the task of distributing economic resources in the way best calculated to increase wealth.
The parallelism between economic laissez-faire and Darwinianism, already briefly noted, is now seen, as Herbert Spencer was foremost to recognize, to be very close indeed. Darwin invoked sexual love, acting through sexual selection, as an adjutant to natural selection by competition, to direct evolution along lines which should be desirable as well as effective, so the individualist invokes the love of money, acting through the pursuit of profit, as an adjutant to natural selection, to bring about the production on the greatest possible scale of what is most strongly desired as measured by exchange value.
The beauty and the simplicity of such a theory are so great that it is easy to forget that it follows not from the actual facts, but from an incomplete hypothesis introduced for the sake of simplicity. Apart from other objections to be mentioned later, the conclusion that individuals acting independently for their own advantage will produce the greatest aggregate of wealth, depends on a variety of unreal assumptions to the effect that the processes of production and consumption are in no way organic, that there exists a sufficient foreknowledge of conditions and requirements, and that there are adequate opportunities of obtaining this foreknowledge. For economists generally reserve for a later stage of their argument the complications which arise—(1) when the efficient units of production are large relatively to the units of consumption, (2) when overhead costs or joint costs are present, (3) when internal economies tend to the aggregation of production, (4) when the time required for adjustments is long, (5) when ignorance prevails over knowledge and (6) when monopolies and combinations interfere with equality in bargaining—they reserve, that is to say, for a later stage their analysis of the actual facts. Moreover, many of those who recognize that the simplified hypothesis does not accurately correspond to fact conclude nevertheless that it does “represent what is “natural” and therefore ideal. They regard the simplified hypothesis as health, and the further complications as disease.
Yet besides this question of fact there are other considerations, familiar enough, which rightly bring into the calculation the cost and character of the competitive struggle itself, and the tendency for wealth to be distributed where it is not appreciated most. If we have the welfare of the giraffes at heart, we must not overlook the sufferings of the shorter necks who are starved out, or the sweet leaves which fall to the ground and are trampled underfoot in the struggle, or the overfeeding of the long-necked ones, or the evil look of anxiety or struggling greediness which overcasts the mild faces of the herd.
But the principles of laissez-faire have had other allies besides economic textbooks. It must be admitted that they have been confirmed in the minds of sound thinkers and the reasonable public by the poor quality of the opponent proposals—protectionism on one hand, and Marxian socialism on the other. Yet these doctrines are both characterized, not only or chiefly by their infringing the general presumption in favor of laissez-faire, but by mere logical fallacy. Both are examples of poor thinking, of inability to analyze a process and follow it out to its conclusion. The arguments against them, though reinforced by the principle of laissez-faire, do not strictly require it. Of the two, protectionism is at least plausible, and the forces making for its popularity are nothing to wonder at. But Marxian socialism must always remain a portent to the historians of opinion—how a doctrine so illogical and so dull can have exercised so powerful and enduring an influence over the minds of men and, through them, the events of history. At any rate, the obvious scientific deficiencies of these two schools greatly contributed to the prestige and authority of nineteenth-century laissez-faire.
Nor has the most notable divergence into centralized social action on a great scale—the conduct of the late war—encouraged reformers or dispelled old-fashioned prejudices. There is much to be said, it is true, on both sides. War experience in the organization of socialized production has left some near observers optimistically anxious to repeat it in peace conditions. War socialism unquestionably achieved a production of wealth on a scale far greater than we ever knew in peace, for though the goods and services delivered were destined for immediate and fruitless extinction, none the less they were wealth. Nevertheless, the dissipation of effort was also prodigious, and the atmosphere of waste and not counting the cost was disgusting to any thrifty or provident spirit.
Finally, individualism and laissez-faire could not, in spite of their deep roots in the political and moral philosophies of the late eighteenth and early nineteenth centuries, have secured their lasting hold over the conduct of public affairs, if it had not been for their conformity with the needs and wishes of the business world of the day. They gave full scope to our erstwhile heroes, the great business men. “At least one-half of the best ability in the Western world,” Marshall used to say, “is engaged in business.” A great part of “the higher imagination” of the age was thus employed. It was on the activities of these men that our hopes of progress were centered.
Men of this class (Marshall wrote in The Social Possibilities of Economic Chivalry, Economic Journal, XVII, 1907—9) live in constantly shifting visions, fashioned in their own brains, of various routes to their desired end; of the difficulties which Nature will oppose to them on each route, and of the contrivances by which they hope to get the better of her opposition. This imagination gains little credit with the people, because it is not allowed to run riot; its strength is disciplined by a stronger will; and its highest glory is to have attained great ends by means so simple that no one will know, and none but experts will even guess, how a dozen other expedients, each suggesting as much brilliancy to the hasty observer, were set aside in favor of it. The imagination of such a man is employed, like that of the master chess-player, in forecasting the obstacles which may be opposed to the successful issue of his far-reaching projects, and constantly rejecting brilliant suggestions because he has pictured to himself the counter-strokes to them. His strong nervous force is at the opposite extreme of human nature from that nervous irresponsibility which conceives hasty Utopian schemes, and which is rather to be compared to the bold facility of a weak player, who will speedily solve the most difficult chess problem by taking on himself to move the black men as well as the white.
This is a fine picture of the great captain of industry, the master-individualist, who serves us in serving himself, just, as any other artist does. Yet this one, in his turn, is becoming a tarnished idol. We grow more doubtful whether it is he who will lead us into paradise by the hand.
These many elements have contributed to the current intellectual bias, the mental make-up, the orthodoxy of the day. The compelling force of many of the original reasons has disappeared but, as usual, the vitality of the conclusions outlasts them. To suggest social action for the public good to the City of London is like discussing the Origin of Species with a bishop sixty years ago. The first reaction is not intellectual, but moral. An orthodoxy is in question, and the more persuasive the arguments the graver the offence. Nevertheless, venturing into the den of the lethargic monster, at any rate I have traced his claims and pedigree so as to show that he has ruled over us rather by hereditary right than by personal merit.
IV. A MODERATE PLANNING ALTERNATIVE TO LAISSEZ-FAIRE
Fallacies of Laissez-Faire
Let us clear from the ground the metaphysical or general principles upon which, from time to time, laissez-faire has been founded. It is not true that individuals possess a prescriptive “natural liberty” in their economic activities. There is no “compact” conferring perpetual rights on those who Have or on those who Acquire. The world is not so governed from above that private and social interest always coincide. It is not so managed here below that in practice they coincide. It is not a correct deduction from the principles of economics that enlightened self-interest always operates in the public interest. Nor is it true that self-interest generally is enlightened; more often individuals acting separately to promote their own ends are too ignorant or too weak to attain even these. Experience does not show that individuals, when they make up a social unit, are always less clear-sighted than when they act separately.
We cannot therefore settle on abstract grounds, but must handle on its merits in detail what Burke termed “one of the finest problems in legislation, namely, to determine what the State ought to take upon itself to direct by the public wisdom, and what it ought to leave, with as little interference as possible, to individual exertion.” (Quoted by McCulloch in his Principles of Political Economy). We have to discriminate between what Bentham, in his forgotten but useful nomenclature, used to term Agenda and Non-Agenda, and to do this without Bentham’s prior presumption that interference is, at the same time, “generally needless” and “generally pernicious.” (Bentham’s Manual of Political Economy, published posthumously, in Bowring’s edition—1843). Perhaps the chief task of economists at this hour is to distinguish afresh the Agenda of government [i.e., matters pertaining to society and the state] from the Non-Agenda [i.e., matters pertaining to individual activity]; and the companion task of politics is to devise forms of government within a democracy which shall be capable of accomplishing the Agenda. I will illustrate what I have in mind by two examples.
(1) I believe that in many cases the ideal size for the unit of control and organization lies somewhere between the individual and the modern State. I suggest, therefore, that progress lies in the growth and the recognition of semi-autonomous bodies within the State—bodies whose criterion of action within their own field is solely the public good as they understand it, and from whose deliberations motives of private advantage are excluded, though some place it may still be necessary to leave, until the ambit of men’s altruism grows wider, to the separate advantage of particular groups, classes, or faculties—bodies which in the ordinary course of affairs are mainly autonomous within their prescribed limitations, but are subject in the last resort to the sovereignty of the democracy expressed through Parliament.
I propose a return, it may be said, towards medieval conceptions of separate autonomies. But, in England at any rate, corporations are a mode of government which has never ceased to be important and is sympathetic to our institutions. It is easy to give examples, from what already exists, of separate autonomies which have attained or are approaching the mode I designate—the universities, the Bank of England, the Port of London Authority, even perhaps the railway companies. In Germany there are doubtless analogous instances.
But more interesting than these is the trend of joint stock institutions, when they have reached a certain age and size, to approximate to the status of public corporations rather than that of individualistic private enterprise. One of the most interesting and unnoticed developments of recent decades has been the tendency of big enterprise to socialize itself. A point arrives in the growth of a big institution—particularly a big railway or big public utility enterprise, but also a big bank or a big insurance company—at which the owners of the capital, i.e. its shareholders, are almost entirely dissociated from the management, with the result that the direct personal interest of the latter in the making of great profit becomes quite secondary. When this stage is reached, the general stability and reputation of the institution are the more considered by the management than the maximum of profit for the shareholders. The shareholders must be satisfied by conventionally adequate dividends; but once this is secured, the direct interest of the management often consists in avoiding criticism from the public and from the customers of the concern. This is particularly the case if their great size or semi-monopolistic position renders them conspicuous in the public eye and vulnerable to public attack. The extreme instance, perhaps, of this tendency in the case of an institution, theoretically the unrestricted property of private persons, is the Bank of England. It is almost true to say that there is no class of persons in the kingdom of whom the Governor of the Bank of England thinks less when he decides on his policy than of his shareholders. Their rights, in excess of their conventional dividend, have already sunk to the neighborhood of zero. But the same thing is partly true of many other big institutions. They are, as time goes on, socializing themselves.
Not that this is unmixed gain. The same causes promote conservatism and a waning of enterprise. In fact, we already have in these cases many of the faults as well as the advantages of State Socialism. Nevertheless, we see here, I think, a natural line of evolution. The battle of Socialism against unlimited private profit is being won in detail hour by hour. In these particular fields—it remains acute elsewhere—this is no longer the pressing problem. There is, for instance, no so-called important political question so really unimportant, so irrelevant to the reorganization of the economic life of Great Britain, as the nationalization of the railways.
It is true that many big undertakings, particularly public utility enterprises and other business requiring a large fixed capital, still need to be semi-socialized. But we must keep our minds flexible regarding the forms of this semi-socialism. We must take full advantage of the natural tendencies of the day, and we must probably prefer semi-autonomous corporations to organs of the central government for which ministers of State are directly responsible.
I criticize doctrinaire State Socialism, not because it seeks to engage men’s altruistic impulses in the service of society, or because it departs from laissez-faire, or because it takes away from man’s natural liberty to make a million, or because it has courage for bold experiments. All these things I applaud. I criticize it because it misses the significance of what is actually happening; because it is, in fact, little better than a dusty survival of a plan to meet the problems of fifty years ago, based on a misunderstanding of what someone said a hundred years ago. Nineteenth-century State Socialism sprang from Bentham, free competition, etc., and is in some respects a clearer, in some respects a more muddled version of just the same philosophy as underlies nineteenth-century individualism. Both equally laid all their stress on freedom, the one negatively to avoid limitations on existing freedom, the other positively to destroy natural or acquired monopolies. They are different reactions to the same intellectual atmosphere.
(2) I come next to a criterion of Agenda [i.e., matters pertaining to the state, rather than the individual] which is particularly relevant to what it is urgent and desirable to do in the near future. We must aim at separating those services which are technically social from those which are technically individual. The most important Agenda of the State relate not to those activities which private individuals are already fulfilling, but to those functions which fall outside the sphere of the individual, to those decisions which are made by no one if the State does not make them. The important thing for government is not to do things which individuals are doing already, and to do them a little better or a little worse; but to do those things which at present are not done at all.
It is not within the scope of my purpose on this occasion to develop practical policies. I limit myself, therefore, to naming some instances of what I mean from amongst those problems about which I happen to have thought most.
Many of the greatest economic evils of our time are the fruits of risk, uncertainty, and ignorance. It is because particular individuals, fortunate in situation or in abilities, are able to take advantage of uncertainty and ignorance, and also because for the same reason big business is often a lottery, that great inequalities of wealth come about; and these same factors are also the cause of the unemployment of labor, or the disappointment of reasonable business expectations, and of the impairment of efficiency and production. Yet the cure lies outside the operations of individuals; it may even be to the interest of individuals to aggravate the disease. I believe that the cure for these things is partly to be sought in the deliberate control of the currency and of credit by a central institution, and partly in the collection and dissemination on a great scale of data relating to the business situation, including the full publicity, by law if necessary, of all business facts which it is useful to know. These measures would involve society in exercising directive intelligence through some appropriate organ of action over many of the inner intricacies of private business, yet it would leave private initiative and enterprise unhindered. Even if these measures prove insufficient, nevertheless, they will furnish us with better knowledge than we have now for taking the next step.
My second example relates to savings and investment. I believe that some coordinated act of intelligent judgement is required as to the scale on which it is desirable that the community as a whole should save, the scale on which these savings should go abroad in the form of foreign investments, and whether the present organization of the investment market distributes savings along the most nationally productive channels. I do not think that these matters should be left entirely to the chances of private judgement and private profits, as they are at present.
My third example concerns population. The time has already come when each country needs a considered national policy about what size of population, whether larger or smaller than at present or the same, is most expedient. And having settled this policy, we must take steps to carry it into operation. The time may arrive a little later when the community as a whole must pay attention to the innate quality as well as to the mere numbers of its future members.
These reflections have been directed towards possible improvements in the technique of modern capitalism by the agency of collective action. There is nothing in them which is seriously incompatible with what seems to me to be the essential characteristic of capitalism, namely the dependence upon an intense appeal to the money-making and money-loving instincts of individuals as the main motive force of the economic machine. Nor must I, so near to my end, stray towards other fields. Nevertheless, I may do well to remind you, in conclusion, that the fiercest contests and the most deeply felt divisions of opinion are likely to be waged in the coming years not round technical questions, where the arguments on either side are mainly economic, but round those which, for want of better words, may be called psychological or, perhaps, moral.
In Europe, or at least in some parts of Europe—but not, I think, in the United States of America—there is a latent reaction, somewhat widespread, against basing society to the extent that we do upon fostering, encouraging, and protecting the money-motives of individuals. A preference for arranging our affairs in such a way as to appeal to the money-motive as little as possible, rather than as much as possible, need not be entirely a priori, but may be based on the comparison of experiences. Different persons, according to their choice of profession, find the money-motive playing a large or a small part in their daily lives, and historians can tell us about other phases of social organization in which this motive has played a much smaller part than it does now. Most religions and most philosophies deprecate, to say the least of it, a way of life mainly influenced by considerations of personal money profit. On the other hand, most men today reject ascetic notions and do not doubt the real advantages of wealth. Moreover, it seems obvious to them that one cannot do without the money-motive, and that, apart from certain admitted abuses, it does its job well. In the result the average man averts his attention from the problem, and has no clear idea what he really thinks and feels about the whole confounded matter.
Confusion of thought and feeling leads to confusion of speech. Many people, who are really objecting to capitalism as a way of life, argue as though they were objecting to it on the ground of its inefficiency in attaining its own objects. Contrariwise, devotees of capitalism are often unduly conservative, and reject reforms in its technique, which might really strengthen and preserve it, for fear that they may prove to be first steps away from capitalism itself. Nevertheless, a time may be coming when we shall get clearer than at present as to when we are talking about capitalism as an efficient or inefficient technique, and when we are talking about it as desirable or objectionable in itself. For my part I think that capitalism, wisely managed, can probably be made more efficient for attaining economic ends than any alternative system yet in sight, but that in itself it is in many ways extremely objectionable. Our problem is to work out a social organization which shall be as efficient as possible without offending our notions of a satisfactory way of life.
The next step forward must come, not from political agitation or premature experiments, but from thought. We need by an effort of the mind to elucidate our own feelings. At present our sympathy and our judgement are liable to be on different sides, which is a painful and paralyzing state of mind. In the field of action reformers will not be successful until they can steadily pursue a clear and definite object with their intellects and their feelings in tune. There is no party in the world at present which appears to me to be pursuing right aims by right methods. Material poverty provides the incentive to change precisely in situations where there is very little margin for experiments. Material prosperity removes the incentive just when it might be safe to take a chance. Europe lacks the means, America the will, to make a move. We need a new set of convictions which spring naturally from a candid examination of our own inner feelings in relation to the outside facts.
Source: John Maynard Keynes, “The End of Laissez-Faire” (1926)
Questions for Review
Questions for Analysis
UNIVERSAL DECLARATION OF HUMAN RIGHTS
United Nations General Assembly
Just as in the 18th century, rights theory today continues to have practical political applications. The most important example of this is The Universal Declaration of Human Rights, presented below, which the General Assembly of the United Nations adopted on December 10, 1948. Whereas 18th century rights theorists focused on the uncreated or natural aspect of rights, thereby terming them “natural rights,” the Universal Declaration focuses on our particular status as humans, thereby terming them “human rights.” Many elements of the Universal Declaration draw on classic concepts, such as the equality of people, the inalienable nature of rights, and the fact that these rights cut across all political boundaries. However, the Universal Declaration also departs from 18th century models. Unlike the 18th century discussions, which articulated only a few foundational rights, the Universal Declaration lists dozens of rights. Along with rights to “life, liberty and the security of person,” all humans also have specific rights against enslavement, torture, arbitrary arrest, and exile. We have a cluster of rights regarding due process in prosecution, such as the presumption of innocence. We have a series of liberty rights involving the right to movement, to marry, to have a family, to divorce, to freedom of thought, and to religion practice. There are political rights to participate in “genuine elections” and cultural rights to develop one’s personality. Economic rights include the right to work, to favorable pay, to join trade unions, and to paid holidays. We also have welfare rights to social security, to health care, to special assistance for childcare, and to free education. Although few if any countries today adequately endorse all of these rights, the Universal Declaration sees these as a “common standard of achievement for all peoples and all nations.”
Preamble. Whereas recognition of the inherent dignity and of the equal and inalienable rights of all members of the human family is the foundation of freedom, justice and peace in the world,
Whereas disregard and contempt for human rights have resulted in barbarous acts which have outraged the conscience of mankind, and the advent of a world in which human beings shall enjoy freedom of speech and belief and freedom from fear and want has been proclaimed as the highest aspiration of the common people,
Whereas it is essential, if man is not to be compelled to have recourse, as a last resort, to rebellion against tyranny and oppression, that human rights should be protected by the rule of law,
Whereas it is essential to promote the development of friendly relations between nations,
Whereas the peoples of the United Nations have in the Charter reaffirmed their faith in fundamental human rights, in the dignity and worth of the human person and in the equal rights of men and women and have determined to promote social progress and better standards of life in larger freedom,
Whereas Member States have pledged themselves to achieve, in co-operation with the United Nations, the promotion of universal respect for and observance of human rights and fundamental freedoms,
Whereas a common understanding of these rights and freedoms is of the greatest importance for the full realization of this pledge,
The General Assembly
Proclaims this Universal Declaration of Human Rights as a common standard of achievement for all peoples and all nations, to the end that every individual and every organ of society, keeping this Declaration constantly in mind, shall strive by teaching and education to promote respect for these rights and freedoms and by progressive measures, national and international, to secure their universal and effective recognition and observance, both among the peoples of Member States themselves and among the peoples of territories under their jurisdiction.
Article 1. All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood.
Article 2. Everyone is entitled to all the rights and freedoms set forth in this Declaration, without distinction of any kind, such as race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status.
Furthermore, no distinction shall be made on the basis of the political, jurisdictional or international status of the country or territory to which a person belongs, whether it be independent, trust, non-self-governing or under any other limitation of sovereignty.
Article 3. Everyone has the right to life, liberty and the security of person.
Article 4. No one shall be held in slavery or servitude; slavery and the slave trade shall be prohibited in all their forms.
Article 5. No one shall be subjected to torture or to cruel, inhuman or degrading treatment or punishment.
Article 6. Everyone has the right to recognition everywhere as a person before the law.
Article 7. All are equal before the law and are entitled without any discrimination to equal protection against any discrimination in violation of this Declaration and against any incitement to such discrimination.
Article 8. Everyone has the right to an effective remedy by the competent national tribunals for acts violating the fundamental rights granted him by the constitution or by law.
Article 9. No one shall be subjected to arbitrary arrest, detention or exile.
Article 10. Everyone is entitled in full equality to a fair, and public hearing by an independent and impartial tribunal, in the determination of his rights and obligations and of any criminal charge against him.
Article 11. 1. Everyone charged with a penal offence has the right to be presumed innocent until proven guilty according to law in a public trial at which he has had all the guarantees necessary for his defence. 2. No one shall be held guilty of any penal offence on account of any act or omission which did not constitute a penal offence, under national or international law, at the time when it was committed. Nor shall a heavier penalty be imposed than the one that was applicable at the time the penal offence was committed.
Article 12. No one shall be subjected to arbitrary interference with his privacy, family, home or correspondence, nor to attacks upon his honor and reputation. Everyone has the right to the protection of the law against such interference or attacks.
Article 13. 1. Everyone has the right to freedom of movement and residence within the borders of each State. 2. Everyone has the right to leave any country, including his own, and to return to his country.
Article 14. 1. Everyone has the right to seek and to enjoy in other countries asylum from persecution. 2. This right may not be invoked in the case of prosecutions genuinely arising from non-political crimes or from acts contrary to the purposes and principles of the United Nations.
Article 15. 1. Everyone has the right to a nationality. 2. No one shall be arbitrarily deprived of his nationality nor denied the right to change his nationality.
Article 16. 1. Men and women of full age, without any limitation due to race, nationality or religion, have the right to marry and to found a family. They are entitled to equal rights as to marriage, during marriage and at its dissolution. 2. Marriage shall be entered into only with the free and full consent of the intending spouses. 3. The family is the natural and fundamental group unit of society and is entitled to protection by society and the State.
Article 17. 1. Everyone has the right to own property alone as well as in association with others. 2. No one shall be arbitrarily deprived of his property.
Article 18. Everyone has the right to freedom of thought, conscience and religion; this right includes freedom to change his religion or belief, and freedom, either alone or in community with others and in public or private, to manifest his religion or belief in teaching, practice, worship and observance.
Article 19. Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers.
Article 20. 1. Everyone has the right to freedom of peaceful assembly and association. 2. No one may be compelled to belong to an association.
Article 21. 1. Everyone has the right to take part in the government of his country, directly or through freely chosen representatives. 2. Everyone has the right of equal access to public service in his country. 3. The will of the people shall be the basis of the authority of government; this will shall be expressed in periodic and genuine elections which shall be by universal and equal suffrage and shall be held by secret vote or by equivalent free voting procedures.
Article 22. Everyone, as a member of society, has the right to social security and is entitled to realization, through national effort and international co-operation and in accordance with the organization and resources of each State, of the economic, social and cultural rights indispensable for his dignity and the free development of his personality.
Article 23. 1. Everyone has the right to work, to free choice of employment, to just and favourable conditions of work and to protection against unemployment. 2. Everyone, without any discrimination, has the right to equal pay for equal work. 3. Everyone who works has the right to just and favourable remuneration ensuring for himself and his family an existence worthy of human dignity, and supplemented, if necessary, by other means of social protection. 4. Everyone has the right to form and to join trade unions for the protection of his interests.
Article 24. Everyone has the right to rest and leisure, including reasonable limitation of working hours and periodic holidays with pay.
Article 25. 1. Everyone has the right to a standard of living adequate for the health and well-being of himself and of his family, including food, clothing, housing and medical care and necessary social services, and the right to security in the event of unemployment, sickness, disability, widowhood, old age or other lack of livelihood in circumstances beyond his control. 2. Motherhood and childhood are entitled to special care and assistance. All children, whether born in or out of wedlock, shall enjoy the same social protection.
Article 26. 1. Everyone has the right to education. Education shall be free, at least in the elementary and fundamental stages. Elementary education shall be compulsory. Technical and professional education shall be made generally available and higher education shall be equally accessible to all on the basis of merit. 2. Education shall be directed to the full development of the human personality and to the strengthening of respect for human rights and fundamental freedoms. It shall promote understanding, tolerance and friendship among all nations, racial or religious groups, and shall further the activities of the United Nations for the maintenance of peace. 3. Parents have a prior right to choose the kind of education that shall be given to their children.
Article 27. 1. Everyone has the right freely to participate in the cultural life of the community, to enjoy the arts and to share in scientific advancement and its benefits. 2. Everyone has the right to the protection of the moral and material interests resulting from any scientific, literary or artistic production of which he is the author.
Article 28. Everyone is entitled to a social and international order in which the rights and freedoms set forth in this Declaration can be fully realized.
Article 29. 1. Everyone has duties to the community in which alone the free and full development of his personality is possible. 2. In the exercise of his rights and freedoms, everyone shall be subject only to such limitations as are determined by law solely for the purpose of securing due recognition and respect for the rights and freedoms of others and of meeting the just requirements of morality, public order and the general welfare in a democratic society. 3. These rights and freedoms may in no case be exercised contrary to the purposes and principles of the United Nations.
Article 30. Nothing in this Declaration may be interpreted as implying for any State, group or person any right to engage in any activity or to perform any act aimed at the destruction of any of the rights and freedoms set forth herein.
Source: General Assembly of the United Nations, Universal Declaration of Human Rights (1948).
Questions for Review
1. What are some of the due process rights listed in articles 6-11?
2. What are some of the liberty rights listed in articles 16-20?
3. What are some of the economic and vocational rights listed in articles 22-25?
Questions for Analysis
1. A standard distinction in political philosophy is that between natural rights and legal rights (where the former are not created by governments but the latter are). Are the rights listed in the Universal Declaration intended to be natural rights or legal rights? Discuss, with particular attention to the Preamble.
2. Are there rights included in the Universal Declaration that should be removed, and are there others that are missing and should be added? Explain.
3. Article 18 discusses freedom of thought, conscience and religion. The human rights organization Amnesty International has attempted to get the United Nations to expand article 18 to include a specific acknowledgement of pacifism as a choice, that is, the right to refuse to kill others. Should this be included?
4. Article 23 states that “Everyone has the right to form and to join trade unions for the protection of his interests.” Do you agree that this is a universal human right? Explain.
5. Article 24 states that “Everyone has the right to rest and leisure, including reasonable limitation of working hours and periodic holidays with pay.” Do you agree that this is a universal human right? Explain.
6. Discuss the three features of education rights in article 26, and indicate whether you agree with the goal of those rights.
ARE THERE ANY NATURAL RIGHTS?
I shall advance the thesis that if there are any moral rights at all, it follows that there is at least one natural right, the equal right of all men to be free. By saying that there is this right, I mean that in the absence of certain special conditions which are consistent with the right being an equal right, any adult human being capable of choice (1) has the right to forbearance on the part of all others from the use of coercion or restraint against him save to hinder coercion or restraint and (2) is at liberty to do (i.e., is under no obligation to abstain from) any action which is not one coercing or restraining or designed to injure other persons.
I have two reasons for describing the equal right of all men to be free as a natural right; both of them were always emphasized by the classical theorists of natural rights. (1) This right is one which all men have if they are capable of choice; they have it qua men and not only if they are members of some society or stand in some special relation to each other. (2) This right is not created or conferred by men’s voluntary action; other moral rights are. Of course, it is quite obvious that my thesis is not as ambitious as the traditional theories of natural rights; for although on my view all men are equally entitled to be free in the sense explained, no man has an absolute or unconditional right to do or not to do any particular thing or to be treated in any particular way; coercion or restraint of any action may be justified in special conditions consistently with the general principle. So my argument will not show that men have any right (save the equal right of all to be free) which is “absolute,” “indefeasible,” or “imprescriptible.” This may for many reduce the importance of my contention, but I think that the principle that all men have an equal right to be free, meager as it may seem, is probably all that the political philosophers of the liberal tradition need have claimed to support any program of action even if they have claimed more. But my contention that there is this one natural right may appear unsatisfying in another respect; it is only the conditional assertion that if there are any moral rights then there must be this one natural right. Perhaps few would now deny, as some have, that there are moral rights; for the point of that denial was usually to object to some philosophical claim as to the “ontological status” of rights, and this objection is now expressed not as a denial that there are any moral rights but as a denial of some assumed logical similarity between sentences used to assert the existence of rights and other kinds of sentences. But it is still important to remember that there may be codes of conduct quite properly termed moral codes (though we can of course say they are “imperfect”) which do not employ the notion of a right, and there is nothing contradictory or otherwise absurd in a code or morality consisting wholly of prescriptions or in a code which prescribed only what should be done for the realization of happiness or some ideal of personal perfection.4 Human actions in such systems would be evaluated or criticized as compliances with prescriptions or as good or bad, right or wrong, wise or foolish, fitting or unfitting, but no one in such a system would have, exercise, or claim rights, or violate or infringe them. So those who lived by such systems could not of course be committed to the recognition of the equal right of all to be free; nor, I think (and this is one respect in which the notion of a right differs from other moral notions), could any parallel argument be constructed to show that, from the bare fact that actions were recognized as ones which ought or ought not to be done, as right, wrong, good or bad, it followed that some specific kind of conduct fell under these categories.
(A) Lawyers have for their own purposes carried the dissection of the notion of a legal right some distance, and some of their results I are of value in the elucidation of statements of the form “X has a right to . . .” outside legal contexts. There is of course no simple identification to be made between moral and legal rights, but there is an intimate connection between the two, and this itself is one feature which distinguishes a moral right from other fundamental moral concepts. It is not merely that as a matter of fact men speak of their moral rights mainly when advocating their incorporation in a legal system, but that the concept of a right belongs to that branch of morality which is specifically concerned to determine when one person’s freedom may be limited by another’s 6 and so to determine what actions may appropriately be made the subject of coercive legal rules. The words “droit,” “diritto,” and “Recht,” used by continental jurists, have no simple English translation and seem to English jurists to hover uncertainly between law and morals, but they do in fact mark off an area of morality (the morality of law) which has special characteristics. It is occupied by the concepts of justice, fairness, rights, and obligation (if this last is not used as it is by many moral philosophers as an obscuring general label to cover every action that morally we ought to do or forbear from doing). The most important common characteristic of this group of moral concepts is that there is no incongruity, but a special congruity in the use of force or the threat of force to secure that what is just or fair or someone’s right to have done shall in fact be done; for it is in just these circumstances that coercion of another human being is legitimate. Kant, in the Rechtslehre, discusses the obligations which arise in this branch of morality under the title of official juris, “which do not require that respect for duty shall be of itself the determining principle of the will,” and contrasts them with official virtutis, which have no moral worth unless done for the sake of the moral principle. His point is, I think, that we must distinguish from the rest of morality those principles regulating the proper distribution of human freedom which alone make it morally legitimate for one human being to determine by his choice how another should act; and a certain specific moral value is secured (to be distinguished from moral virtue in which the good will is manifested) if human relationships are conducted in accordance with these principles even though coercion has to be used to secure this, for only if these principles are regarded will freedom be distributed among human beings as it should be. And it is I think a very important feature of a moral right that the possessor of it is conceived as having a moral justification for limiting the freedom of another and that he has this justification not because the action he is entitled to require of another has some moral quality but simply because in the circumstances a certain distribution of human freedom will be maintained if he by his choice is allowed to determine how that other shall act. that having a justification for demanding that a person shall or shall not do some action is a necessary though not a sufficient condition for justifying coercion.
(B) I can best exhibit this feature of a moral right by reconsidering the question whether moral rights and “duties” 7 are correlative. The contention that they are means, presumably, that every statement of the form “X has a right to . . entails and is entailed by “Y has a duty (not) to . . .,” and at this stage we must not assume that the values of the namevariables “X” and “Y” must be different persons. Now there is certainly one sense of “a right” (which I have already mentioned) such that it does not follow from X’s having a right that X or someone else has any duty. Jurists have isolated rights in this sense and have referred to them as “liberties” just to distinguish them from rights in the centrally important sense of “right” which has “duty” as a correlative. The former sense of “right” is needed to describe those areas of social life where competition is at least morally unobjectionable. Two people walking along both see a ten-dollar bill in the road twenty yards away, and there is no clue as to the owner. Neither of the two are under a “duty” to allow the other to pick it up; each has in this sense a right to pick it up. Of course there may be many things which each has a “duty” not to do in the course of the race to the spot-neither may kill or wound the other-and corresponding to these “duties” there are rights to forbearances. The moral propriety of all economic competition implies this minimum sense of “a right” in which to say that “X has a right to” means merely that X is under no “duty” not to. Hobbes saw that the expression “a right” could have this sense but he was wrong if he thought that there is no sense in which it does follow from X’s having a right that Y has a duty or at any rate an obligation.
(C) More important for our purpose is the question whether for all moral “duties” there are correlative moral rights, because those who have given an affirmative answer to this question have usually assumed without adequate scrutiny that to have a right is simply to be capable of benefiting by the performance of a “duty”; whereas in fact this is not a sufficient condition (and probably not a necessary condition) of having a right. Thus animals and babies who stand to benefit by our performance of our “duty” not to ill-treat them are said therefore to have rights to proper treatment. The full consequence of this reasoning is not usually followed out; most have shrunk from saying that we have rights against ourselves because we stand to benefit from our performance of our “duty” to keep ourselves alive or develop our talents. But the moral situation which arises from a promise (where the legal-sounding terminology of rights and obligations is most appropriate) illustrates most clearly that the notion of having a right and that of benefiting by the performance of a “duty” are not identical. X promises Y in return for some favor that he will look after Y’s aged mother in his absence. Rights arise out of this transaction, but it is surely Y to whom the promise has been made and not his mother who has or possesses these rights. Certainly Y’s mother is a person concerning whom X has an obligation and a person who will benefit by its performance, but the person to whom he has an obligation to look after her is Y. This is something due to or owed to Y, so it is Y, not his mother, whose right X will disregard and to whom X will have done wrong if he fails to keep his promise, though the mother may be physically injured. And it is Y who has a moral claim upon X, is entitled to have his mother looked after, and who can waive the claim and release Y from the obligation. Y is, in other words, morally in a position to determine by his choice how X shall act and in this way to limit X’s freedom of choice; and it is this fact, not the fact that he stands to benefit, that makes it appropriate to say that he has a right. Of course often the person to whom a promise has been made will be the only person who stands to benefit by its performance, but this does not justify the identification of “having a right” with “benefiting by the performance of a duty.” It is important for the whole logic of rights that, while the person who stands to benefit by the performance of a duty is discovered by considering what will happen if the duty is not performed, the person who has a right (to whom performance is owed or due) is discovered by examining the transaction or antecedent situation or relations of the parties out of which the “duty” arises. These considerations should incline us not to extend to animals and babies whom it is wrong to ill-treat the notion of a right to proper treatment, for the moral situation can be simply and adequately described here by saying that it is wrong or that we ought not to ill-treat them or, in the philosopher’s generalized sense of “duty,” that we have a duty not to ill-treat them.8 If common usage sanctions talk of the rights of animals or babies it makes an idle use of the expression “a right,” which will confuse the situation with other different moral situations where the expression “a right” has a specific force and cannot be replaced by the other moral expressions which I have mentioned. Perhaps some clarity on this matter is to be gained by considering the force of the preposition “to” in the expression “having a duty to Y” or “being under an obligation to Y” (where “Y” is the name of a person); for it is significantly different from the meaning of “to” in “doing something to Y” or “doing harm to Y,” where it indicates the person affected by some action. In the first pair of expressions, “to” obviously does not have this force, but indicates the person to whom the person morally bound is bound. This is an intelligible development of the figure of a bond (vinculumjuris: obligate); the precise figure is not that of two persons bound by a chain, but of one person bound, the other end of the chain lying in the hands of another to use if he chooses. So it appears absurd to speak of having duties or owing obligations to ourselves-of course we may have “duties” not to do harm to ourselves, but what could be meant (once the distinction between these different meanings of “to” has been grasped) by insisting that we have duties or obligations to ourselves not to do harm to ourselves?
(D) The essential connection between the notion of a right and the justified limitation of one person’s freedom by another may be thrown into relief if we consider codes of behavior which do not purport to confer rights but only to prescribe what shall be done. Most natural law thinkers down to Hooker conceived of natural law in this way: there were natural duties compliance with which would certainly benefit man-things to be done to achieve man’s natural end-but not natural rights. And there are of course many types of codes of behavior which only prescribe what is to be done, e.g., those regulating certain ceremonies. It would be absurd to regard these codes as conferring rights, but illuminating to contrast them with rules of games, which often create rights, though not, of course, moral rights. But even a code which is plainly a moral code need not establish rights; the Decalogue is perhaps the most important example. Of course, quite apart from heavenly rewards human beings stand to benefit by general obedience to the Ten Commandments: disobedience is wrong and will certainly harm individuals. But it would be a surprising interpretation of them that treated them as conferring rights. In such an interpretation obedience to the Ten Commandments would have to be conceived as due to or owed to individuals, not merely to God, and disobedience not merely as wrong but as a wrong to (as well as harm to) individuals. The Commandments would cease to read like penal statutes designed only to rule out certain types of behavior and would have to be thought of as rules placed at the disposal of individuals and regulating the extent to which they may demand certain behavior from others. Rights are typically conceived of as possessed or owned by or belonging to individuals, and these expressions reflect the conception of moral rules as not only prescribing conduct but as forming a kind of moral property of individuals to which they are as individuals entitled; only when rules are conceived in this way can we speak of rights and wrongs as well as right and wrong actions.
So far I have sought to establish that to have a right entails having a moral justification for limiting the freedom of another person and for determining how he should act; it is now important to see that the moral justification must be of a special kind if it is to constitute a right, and this will emerge most clearly from an examination of the circumstances in which rights are asserted with the typical expression “I have a right to ... .” It is I think the case that this form of words is used in two main types of situations: (A) when the claimant has some special justification for interference with another’s freedom which other persons do not have (“I have a right to be paid what you promised for my services”); (B) when the claimant is concerned to resist or object to some interference by another person as having no justification (“I have a right to say what I think”).
(A) Special rights. When rights arise out of special transactions between individuals or out of some special relationship in which they stand to each other, both the persons who have the right and those who have the corresponding obligation are limited to the parties to the special transaction or relationship. I call such rights special rights to distinguish them from those moral rights which are thought of as rights against (i.e., as imposing obligations upon) 11 everyone, such as those that are asserted when some unjustified interference is made or threatened as in (B) above.
(i) The most obvious cases of special rights are those that arise from promises. By promising to do or not to do something, we voluntarily incur obligations and create or confer rights on those to whom we promise; we alter the existing moral independence of the parties’ freedom of choice in relation to some action and create a new moral relationship between them, so that it becomes morally legitimate for the person to whom the promise is given to determine how the promisor shall act. The promisee has a temporary authority or sovereignty in relation to some specific matter over the other’s will which we express by saying that the promisor is under an obligation to the promisee to do what he has promised. To some philosophers the notion that moral phenomena-rights and duties or obligations-can be brought into existence by the voluntary action of individuals has appeared utterly mysterious; but this I think has been so because they have not clearly seen how special the moral notions of a right and an obligation are, nor how peculiarly they are connected with the distribution of freedom of choice; it would indeed be mysterious if we could make actions morally good or bad by voluntary choice. The simplest case of promising illustrates two points characteristic of all special rights: (i) the right and obligation arise not because the promised action has itself any particular moral quality, but just because of the voluntary transaction between the parties; (2) the identity of the parties concerned is vital—only this person (the promisee) has the moral justification for determining how the promisor shall act. It is his right; only in relation to him is the promisor’s freedom of choice diminished, so that if he chooses to release the promisor no one else can complain.
(ii) But a promise is not the only kind of transaction whereby rights are conferred. They may be accorded by a person consenting or authorizing another to interfere in matters which but for this consent or authorization he would be free to determine for himself. If I consent to your taking precautions for my health or happiness or authorize you to look after my interests, then you have a right which others have not, and I cannot complain of your interference if it is within the sphere of your authority. This is what is meant by a person surrendering his rights to another; and again the typical characteristics of a right are present in this situation: the person authorized has the right to interfere not because of its intrinsic character but because these persons have stood in this relationship. No one else (not similarly authorized) has any right to interfere in theory even if the person authorized does not exercise his right.
(iii) Special rights are not only those created by the deliberate choice of the party on whom the obligation falls, as they are when they are accorded or spring from promises, and not all obligations to other persons are deliberately incurred, though I think it is true of all special rights that they arise from previous voluntary actions. A third very important source of special rights and obligations which we recognize in many spheres of life is what may be termed mutuality of restrictions, and I think political obligation is intelligible only if we see what precisely this is and how it differs from the other right-creating transactions (consent, promising) to which philosophers have assimilated it. In its bare schematic outline it is this: when a number of persons conduct any joint enterprise according to rules and thus restrict their liberty, those who have submitted to these restrictions when required have a right to a similar submission from those who have benefited by their submission. The rules may provide that officials should have authority to enforce obedience and make further rules, and this will create a structure of legal rights and duties, but the moral obligation to obey the rules in such circumstances is due to the co-operating members of the society, and they have the correlative moral right to obedience. In social situations of this sort (of which political society is the most complex example) the obligation to obey the rules is something distinct from whatever other moral reasons there may be for obedience in terms of good consequences (e.g., the prevention of suffering); the obligation is due to the cooperating members of the society as such and not because they are human beings on whom it would be wrong to inflict suffering. The utilitarian explanation of political obligation fails to take account of this feature of the situation both in its simple version that the obligation exists because and only if the direct consequences of a particular act of disobedience are worse than obedience, and also in its more sophisticated version that the obligation exists even when this is not so, if disobedience increases the probability that the law in question or other laws will be disobeyed on other occasions when the direct consequences of obedience are better than those of disobedience.
Of course to say that there is such a moral obligation upon those who have benefited by the submission of other members of society to restrictive rules to obey these rules in their turn does not entail either that this is the only kind of moral reason for obedience or that there can be no cases where disobedience will be morally justified. There is no contradiction or other impropriety in saying “I have an obligation to do X, someone has a right to ask me to, but I now see I ought not to do it.” It will in painful situations sometimes be the lesser of two moral evils to disregard what really are people’s rights and not perform our obligations to them. This seems to me particularly obvious from the case of promises: I may promise to do something and thereby incur an obligation just because that is one way in which obligations (to be distinguished from other forms of moral reasons for acting) are created; reflection may show that it would in the circumstances be wrong to keep this promise because of the suffering it might cause, and we can express this by saying “I ought not to do it though I have an obligation to him to do it” just because the italicized expressions are not synonyms but come from different dimensions of morality. The attempt to explain this situation by saying that our real obligation here is to avoid the suffering and that there is only a prima facie obligation to keep the promise seems to me to confuse two quite different kinds of moral reason, and in practice such a terminology obscures the precise character of what is at stake when “for some greater good” we infringe people’s rights or do not perform our obligations to them.
The social-contract theorists rightly fastened on the fact that the obligation to obey the law is not merely a special case of benevolence (direct or indirect), but something which arises between members of a particular political society out of their mutual relationship. Their mistake was to identify this right-creating situation of mutual restrictions with the paradigm case of promising; there are of course important similarities, and these are just the points which all special rights have in common, viz., that they arise out of special relationships between human beings and not out of the character of the action to be done or its effects.
(iv) There remains a type of situation which may be thought of as creating rights and obligations: where the parties have a special natural relationship, as in the case of parent and child. The parent’s moral right to obedience from his child would I suppose now be thought to terminate when the child reaches the age “of discretion,” but the case is worth mentioning because some political philosophies have had recourse to analogies with this case as an explanation of political obligation, and also because even this case has some of the features we have distinguished in special rights, viz., the right arises out of the special relationship of the parties (though it is in this case a natural relationship) and not out of the character of the actions to the performance of which there is a right.
(v) To be distinguished from special rights, of course, are special liberties, where, exceptionally, one person is exempted from obligations to which most are subject but does not thereby acquire a right to which there is a correlative obligation. If you catch me reading your brother’s diary, you say, “You have no right to read it.” I say, “I have a right to read it-your brother said I might unless he told me not to, and he has not told me not to.” Here I have been specially licensed by your brother who had a right to require me not to read his diary, so I am exempted from the moral obligation not to read it, but your brother is under no obligation to let me go on reading it. Cases where rights, not liberties, are accorded to manage or interfere with another person’s affairs are those where the license is not revocable at will by the person according the right.
(B) General rights. In contrast with special rights, which constitute a justification peculiar to the holder of the right for interfering with another’s freedom, are general rights, which are asserted defensively, when some unjustified interference is anticipated or threatened, in order to point out that the interference is unjustified. “I have the right to say what I think.” “I have the right to worship as I please.” Such rights share two important characteristics with special rights. (i) To have them is to have a moral justification for determining how another shall act, viz., that he shall not interfere. (2) The moral justification does not arise from the character of the particular action to the performance of which the claimant has a right; what justifies the claim is simply-there being no special relation between him and those who are threatening to interfere to justify that interference-that this is a particular exemplification of the equal right to be free. But there are of course striking differences between such defensive general rights and special rights. (1) General rights do not arise out of any special relationship or transaction between men. (2) They are not rights which are peculiar to those who have them but are rights which all men capable of choice have in the absence of those special conditions which give rise to special rights. (3) General rights have as correlatives obligations not to interfere to which everyone else is subject and not merely the parties to some special relationship or transaction, though of course they will often be asserted when some particular persons threaten to interfere as a moral objection to that interference. To assert a general right is to claim in relation to some particular action the equal right of all men to be free in the absence of any of those special conditions which constitute a special right to limit another’s freedom; to assert a special right is to assert in relation to some particular action a right constituted by such special conditions to limit another’s freedom. The assertion of general rights directly invokes the principle that all men equally have the right to be free; the assertion of a special right (as I attempt to show in Section III) invokes it indirectly.
It is, I hope, clear that unless it is recognized that interference with another’s freedom requires a moral justification the notion of a right could have no place in morals; for to assert a right is to assert that there is such a justification. The characteristic function in moral discourse of those sentences in which the meaning of the expression “a right” is to be found—“I have a right to . . .” “You have no right to . . . ,” “What right have you to . . .?” -- is to bring to bear on interferences with another’s freedom, or on claims to interfere, a type of moral evaluation or criticism specially appropriate to interference with freedom and characteristically different from the moral criticism of actions made with the use of expressions like “right,” “wrong,” “good,” and “bad.” And this is only one of many different types of moral ground for saying “You ought . . .” or “You ought not... .” The use of the expression “What right have you to ...?” shows this more clearly, perhaps, than the others; for we use it, just at the point where interference is actual or threatened, to call for the moral title of the person addressed to interfere; and we do this often without any suggestion at all that what he proposes to do is otherwise wrong and sometimes with the implication that the same interference on the part of another person would be unobjectionable.
But though our use in moral discourse of “a right” does presuppose the recognition that interference with another’s freedom requires a moral justification, this would not itself suffice to establish, except in a sense easily trivialized, that in the recognition of moral rights there is implied the recognition that all men have a right to equal freedom; for unless there is some restriction inherent in the meaning of “a right” on the type of moral justification for interference which can constitute a right, the principle could be made wholly vacuous. It would, for example, be possible to adopt the principle and then assert that some characteristic or behavior of some human beings (that they are improvident, or atheists, or Jews, or Negroes) constitutes a moral justification for interfering with their freedom; any differences between men could, so far as my argument has yet gone, be treated as a moral justification for interference and so constitute a right, so that the equal right of all men to be free would be compatible with gross inequality. It may well be that the expression “moral” itself imports some restriction on what can constitute a moral justification for interference which would avoid this consequence, but I cannot myself yet show that this is so. It is, on the other hand, clear to me that the moral justification for interference which is to constitute a right to interfere (as distinct from merely making it morally good or desirable to interfere) is restricted to certain special conditions and that this is inherent in the meaning of “a right” (unless this is used so loosely that it could be replaced by the other moral expressions mentioned). Claims to interfere with another’s freedom based on the general character of the activities interfered with (e.g., the folly or cruelty of “native” practices) or the general character of the parties (“We are Germans; they are Jews”) even when well founded are not matters of moral right or obligation. Submission in such cases even where proper is not due to or owed to the individuals who interfere; it would be equally proper whoever of the same class of persons interfered. Hence other elements in our moral vocabulary suffice to describe this case, and it is confusing here to talk of rights. We saw in Section II that the types of justification for interference involved in special rights was independent of the character of the action to the performance of which there was a right but depended upon certain previous transactions and relations between individuals (such as promises, consent, authorization, submission to mutual restrictions). Two questions here suggest themselves: (i) On what intelligible principle could these bare forms of promising, consenting, submission to mutual restrictions, be either necessary or sufficient, irrespective of their content, to justify interference with another’s freedom? (2) What characteristics have these types of transaction or relationship in common? The answer to both these questions is I think this: If we justify interference on such grounds as we give when we claim a moral right, we are in fact indirectly invoking as our justification the principle that all men have an equal right to be free. For we are in fact saying in the case of promises and consents or authorizations that this claim to interfere with another’s freedom is justified because he has, in exercise of his equal right to be free, freely chosen to create this claim; and in the case of mutual restrictions we are in fact saying that this claim to interfere with another’s freedom is justified because it is fair; and it is fair because only so will there be an equal distribution of restrictions and so of freedom among this group of men. So in the case of special rights as well as of general rights recognition of them implies the recognition of the equal right of all men to be free.
Source: H.L.A. Hart, “Are There Any Natural Rights?”, The Philosophical Review, Vol. 64, 1955, pp. 175-191
Questions for Review
Questions for Analysis
JUSTICE AS FAIRNESS
American philosopher John Rawls (1921–2002) was a professor of political philosophy at Harvard University, and is most remembered for his landmark book A Theory of Justice (1971). He presents there a social contract theory whereby negotiators arrive at basic principles of justice. There are two main parts to his theory. First is the initial contract situation, which he calls the “original position.” This involves a hypothetical community of rational and self-interested people who assume to be ignorant about their actual position in society, particularly how rich or powerful they are. They step behind a “veil of ignorance” as Rawls calls it, which assures that they and their neighbors will not create rules which gives them special benefits. These negotiators are not trying to start a brand new social system, but instead only aim to reform their current system. The second part of Rawls’s theory involves the specific principles of justice that these negotiators will arrive at. Since the initial negotiating situation is fair, the principles of justice themselves will reflect that fairness. There are two such fair principles of justice. First, each person will have an equal right to the most extensive basic liberties compatible with similar liberty for others. This establishes a base-level of equality for everyone; that is, behind the veil of ignorance, it is reasonable to stipulate that everyone should be equal. The second principle sets the rules for any social and economic inequalities that might arise in society. They must (a) be reasonably expected to be to everyone’s advantage, and (b) be attached to positions open to all under conditions of fair equality of opportunity. For example, there might be some benefit that we all receive by allowing some jobs to pay more money, such as with physicians or scientists. However, these jobs must be won in a fair competition. The following selections are from Rawls’s article “Justice as Fairness” (1958), which is where he first laid out his theory.
DIFFERENT NOTIONS OF JUSTICE
1. It might seem at first sight that the concepts of justice and fairness are the same, and that there is no reason to distinguish them, or to say that one is more fundamental than the other. I think that this impression is mistaken. In this paper I wish to show that the fundamental idea in the concept of justice is fairness; and I wish to offer an analysis of the concept of justice from this point of view. To bring out the force of this claim, and the analysis based upon it, I shall then argue that it is this aspect of justice for which utilitarianism, in its classical form, is unable to account, but which is expressed, even if misleadingly, by the idea of the social contract.
To start with I shall develop a particular conception of justice by stating and commenting upon two principles which specify it, and by considering the circumstances and conditions under which they may be thought to arise. The principles defining this conception, and the conception itself, are, of course, familiar. It may be possible, however, by using the notion of fairness as a framework, to assemble and to look at them in a new way. Before stating this conception, however, the following preliminary matters should be kept in mind.
Throughout I consider justice only as a virtue of social institutions, or what I shall call practices. The principles of justice are regarded as formulating restrictions as to how practices may define positions and offices, and assign thereto powers and liabilities, rights and duties. Justice as a virtue of particular actions or of persons I do not take up at all. It is important to distinguish these various subjects of justice, since the meaning of the concept varies according to whether it is applied to practices, particular actions, or persons. These meanings are, indeed, connected, but they are not identical. I shall confine my discussion to the sense of justice as applied to practices, since this sense is the basic one. Once it is understood, the other senses should go quite easily.
Justice is to be understood in its customary sense as representing but one of the many virtues of social institutions, for these may be antiquated, inefficient, degrading, or any number of other things, without being unjust. Justice is not to be confused with an all-inclusive vision of a good society; it is only one part of any such conception. It is important, for example, to distinguish that sense of equality which is an aspect of the concept of justice from that sense of equality which belongs to a more comprehensive social ideal. There may well be inequalities which one concedes are just, or at least not unjust, but which, nevertheless, one wishes, on other grounds, to do away with. I shall focus attention, then, on the usual sense of justice in which it is essentially the elimination of arbitrary distinctions and the establishment, within the structure of a practice, of a proper balance between competing claims.
Finally, there is no need to consider the principles discussed below as the principles of justice. For the moment it is sufficient that they are typical of a family of principles normally associated with the concept of justice. The way in which the principles of this family resemble one another, as shown by the background against which they may be thought to arise, will be made clear by the whole of the subsequent argument.
TWO PRINCIPLES OF JUSTICE
Two Principles Stated
2. The conception of justice which I want to develop may be stated in the form of two principles as follows: first, each person participating in a practice, or affected by it, has an equal right to the most extensive liberty compatible with a like liberty for all; and second, inequalities are arbitrary unless it is reasonable to expect that they will work out for everyone’s advantage, and provided the positions and offices to which they attach, or from which they may be gained, are open to all. These principles express justice as a complex of three ideas: liberty, equality, and reward for services contributing to the common good.
The term “person” is to be construed variously depending on the circumstances. On some occasions it will mean human individuals, but in others it may refer to nations, provinces, business firms, churches, teams, and so on. The principles of justice apply in all these instances, although there is a certain logical priority to the case of human individuals. As I shall use the term “person,” it will be ambiguous in the manner indicated.
The first principle holds, of course, only if other things are equal: that is, while there must always be a justification for departing from the initial position of equal liberty (which is defined by the pattern of rights and duties, powers and liabilities, established by a practice), and the burden of proof is placed on him who would depart from it, nevertheless, there can be, and often there is, a justification for doing so. Now, that similar particular cases, as defined by a practice, should be treated similarly as they arise, is part of the very concept of a practice; it is involved in the notion of an activity in accordance with rules. The first principle expresses an analogous conception, but as applied to the structure of practices themselves. It holds, for example, that there is a presumption against the distinctions and classifications made by legal systems and other practices to the extent that they infringe on the original and equal liberty of the persons participating in them. The second principle defines how this presumption may be rebutted.
Some Inequalities Permitted
The second principle defines what sorts of inequalities are permissible; it specifies how the presumption laid down by the first principle may be put aside. Now by inequalities it is best to understand not any differences between offices and positions, but differences in the benefits and burdens attached to them either directly or indirectly, such as prestige and wealth, or liability to taxation and compulsory services. Players in a game do not protest against there being different positions, such as batter, pitcher, catcher, and the like, nor to there being various privileges and powers as specified by the rules; nor do the citizens of a country object to there being the different offices of government such as president, senator, governor, judge, and so on, each with their special rights and duties. It is not differences of this kind that are normally thought of as inequalities, but differences in the resulting distribution established by a practice, or made possible by it, of the things men strive to attain or avoid. Thus they may complain about the pattern of honors and rewards set up by a practice (e.g., the privileges and salaries of government officials) or they may object to the distribution of power and wealth which results from the various ways in which men avail themselves of the opportunities allowed by it (e.g., the concentration of wealth which may develop in a free price system allowing large entrepreneurial or speculative gains).
It should be noted that the second principle holds that an inequality is allowed only if there is reason to believe that the practice with the inequality, or resulting in it, will work for the advantage of every party engaging in it. Here it is important to stress that every party must gain from the inequality. Since the principle applies to practices, it implies that the representative man in every office or position defined by a practice, when he views it as a going concern, must find it reasonable to prefer his condition and prospects with the inequality to what they would be under the practice without it. The principle excludes, therefore, the justification of inequalities on the grounds that the disadvantages of those in one position are outweighed by the greater advantages of those in another position. This rather simple restriction is the main modification I wish to make in the utilitarian principle as usually understood. When coupled with the notion of a practice, it is a restriction of consequence, and one which some utilitarians, e.g., Hume and Mill, have used in their discussions of justice without realizing apparently its significance, or at least without calling attention to it. Why it is a significant modification of principle, changing one’s conception of justice entirely, the whole of my argument will show.
Further, it is also necessary that the various offices to which special benefits or burdens attach are open to all. It may be, for example, to the common advantage, as just defined, to attach special benefits to certain offices. Perhaps by doing so the requisite talent can be attracted to them and encouraged to give its best efforts. But any offices having special benefits must be won in a fair competition in which contestants are judged on their merits. If some offices were not open, those excluded would normally be justified in feeling unjustly treated, even if they benefited from the greater efforts of those who were allowed to compete for them. Now if one can assume that offices are open, it is necessary only to consider the design of practices themselves and how they jointly, as a system, work together. It will be a mistake to focus attention on the varying relative positions of particular persons, who may be known to us by their proper names, and to require that each such change, as a once for all transaction viewed in isolation, must be in itself just. It is the system of practices which is to be judged, and judged from a general point of view: unless one is prepared to criticize it from the standpoint of a representative man holding some particular office, one has no complaint against it.
THE ORIGINAL POSITION
Rationality, Mutual Self-Interest, Similar Needs
3. Given these principles one might try to derive them from a priori principles of reason, or claim that they were known by intuition. These are familiar enough steps and, at least in the case of the first principle, might be made with some success. Usually, however, such arguments, made at this point, are unconvincing. They are not likely to lead to an understanding of the basis of the principles of justice, not at least as principles of justice. I wish, therefore, to look at the principles in a different way.
Imagine a society of persons amongst whom a certain system of practices is already well established. Now suppose that by and large they are mutually self-interested; their allegiance to their established practices is normally founded on the prospect of self-advantage. One need not assume that, in all senses of the term “person,” the persons in this society are mutually self-interested. If the characterization as mutually self-interested applies when the line of division is the family, it may still be true that members of families are bound by ties of sentiment and affection and willingly acknowledge duties in contradiction to self-interest. Mutual self-interestedness in the relations between families, nations, churches, and the like, is commonly associated with intense loyalty and devotion on the part of individual members. Therefore, one can form a more realistic conception of this society if one thinks of it as consisting of mutually self-interested families, or some other association. Further, it is not necessary to suppose that these persons are mutually self-interested under all circumstances, but only in the usual situations in which they participate in their common practices.
Now suppose also that these persons are rational: they know their own interests more or less accurately; they are capable of tracing out the likely consequences of adopting one practice rather than another; they are capable of adhering to a course of action once they have decided upon it; they can resist present temptations and the enticements of immediate gain; and the bare knowledge or perception of the difference between their condition and that of others is not, within certain limits and in itself, a source of great dissatisfaction. Only the last point adds anything to the usual definition of rationality. This definition should allow, I think, for the idea that a rational man would not be greatly downcast from knowing, or seeing, that others are in a better position than himself, unless he thought their being so was the result of injustice, or the consequence of letting chance work itself out for no useful common purpose, and so on. So if these persons strike us as unpleasantly egoistic, they are at least free in some degree from the fault of envy.
Finally, assume that these persons have roughly similar needs and interests, or needs and interests in various ways complementary, so that fruitful cooperation amongst them is possible; and suppose that they are sufficiently equal in power and ability to guarantee that in normal circumstances none is able to dominate the others.
This condition (as well as the others) may seem excessively vague; but in view of the conception of justice to which the argument leads, there seems no reason for making it more exact here.
Impartiality Regarding one’s Actual Advantage
Since these persons are conceived as engaging in their common practices, which are already established, there is no question of our supposing them to come together to deliberate as to how they will set these practices up for the first time. Yet we can imagine that from time to time they discuss with one another whether any of them has a legitimate complaint against their established institutions. Such discussions are perfectly natural in any normal society. Now suppose that they have settled on doing this in the following way. They first try to arrive at the principles by which complaints, and so practices themselves, are to be judged. Their procedure for this is to let each person propose the principles upon which he wishes his complaints to be tried with the understanding that, if acknowledged, the complaints of others will be similarly tried, and that no complaints will be heard at all until everyone is roughly of one mind as to how complaints are to be judged. They each understand further that the principles proposed and acknowledged on this occasion are binding on future occasions. Thus each will be wary of proposing a principle which would give him a peculiar advantage, in his present circumstances, supposing it to be accepted. Each person knows that he will be bound by it in future circumstances the peculiarities of which cannot be known, and which might well be such that the principle is then to his disadvantage. The idea is that everyone should be required to make in advance a firm commitment, which others also may reasonably be expected to make, and that no one be given the opportunity to tailor the canons of a legitimate complaint to fit his own special conditions, and then to discard them when they no longer suit his purpose. Hence each person will propose principles of a general kind which will, to a large degree, gain their sense from the various applications to be made of them, the particular circumstances of which being as yet unknown. These principles will express the conditions in accordance with which each is the least unwilling to have his interests limited in the design of practices, given the competing interests of the others, on the supposition that the interests of others will be limited likewise. The restrictions which would so arise might be thought of as those a person would keep in mind if he were designing a practice in which his enemy were to assign him his place.
The two main parts of this conjectural account have a definite significance. The character and respective situations of the parties reflect the typical circumstances in which questions of justice arise. The procedure whereby principles are proposed and acknowledged represents constraints, analogous to those of having a morality, whereby rational and mutually self-interested persons are brought to act reasonably. Thus the first part reflects the fact that questions of justice arise when conflicting claims are made upon the design of a practice and where it is taken for granted that each person will insist, as far as possible, on what he considers his rights. It is typical of cases of justice to involve persons who are pressing on one another their claims, between which a fair balance or equilibrium must be found. On the other hand, as expressed by the second part, having a morality must at least imply the acknowledgment of principles as impartially applying to one’s own conduct as well as to another’s, and moreover principles which may constitute a constraint, or limitation, upon the pursuit of one’s own interests. There are, of course, other aspects of having a morality: the acknowledgment of moral principles must show itself in accepting a reference to them as reasons for limiting one’s claims, in acknowledging the burden of providing a special explanation, or excuse, when one acts contrary to them, or else in showing shame and remorse and a desire to make amends, and so on. It is sufficient to remark here that having a morality is analogous to having made a firm commitment in advance; for one must acknowledge the principles of morality even when to one’s disadvantage. A man whose moral judgments always coincided with his interests could be suspected of having no morality at all.
Motives to Accept Inequalities
Thus the two parts of the foregoing account are intended to mirror the kinds of circumstances in which questions of justice arise and the constraints which having a morality would impose upon persons so situated. In this way one can see how the acceptance of the principles of justice might come about, for given all these conditions as described, it would be natural if the two principles of justice were to be acknowledged. Since there is no way for anyone to win special advantages for himself, each might consider it reasonable to acknowledge equality as an initial principle. There is, however, no reason why they should regard this position as final; for if there are inequalities which satisfy the second principle, the immediate gain which equality would allow can be considered as intelligently invested in view of its future return. If, as is quite likely, these inequalities work as incentives to draw out better efforts, the members of this society may look upon them as concessions to human nature: they, like us, may think that people ideally should want to serve one another. But as they are mutually self-interested, their acceptance of these inequalities is merely the acceptance of the relations in which they actually stand, and a recognition of the motives which lead them to engage in their common practices. They have no title to complain of one another. And so provided that the conditions of the principle are met, there is no reason why they should not allow such inequalities. Indeed, it would be short-sighted of them to do so, and could result, in most cases, only from their being dejected by the bare knowledge, or perception, that others are better situated. Each person will, however, insist on an advantage to himself, and so on a common advantage, for none is willing to sacrifice anything for the others.
These remarks are not offered as a proof that persons so conceived and circumstanced would settle on the two principles, but only to show that these principles could have such a background, and so can be viewed as those principles which mutually self-interested and rational persons, when similarly situated and required to make in advance a firm commitment, could acknowledge as restrictions governing the assignment of rights and duties in their common practices, and thereby accept as limiting their rights against one another. The principles of justice may, then, be regarded as those principles which arise when the constraints of having a morality are imposed upon parties in the typical circumstances of justice.
SEVERAL ASSUMPTIONS AVOIDED
4. These ideas are, of course, connected with a familiar way of thinking about justice which goes back at least to the Greek Sophists, and which regards the acceptance of the principles of justice as a compromise between persons of roughly equal power who would enforce their will on each other if they could, but who, in view of the equality of forces amongst them and for the sake of their own peace and security, acknowledge certain forms of conduct insofar as prudence seems to require. Justice is thought of as a pact between rational egoists the stability of which is dependent on a balance of power and a similarity of circumstances. While the previous account is connected with this tradition, and with its most recent variant, the theory of games, it differs from it in several important respects which, to forestall misinterpretations, I will set out here.
First, I wish to use the previous conjectural account of the background of justice as a way of analyzing the concept. I do not want, therefore, to be interpreted as assuming a general theory of human motivation: when I suppose that the parties are mutually self-interested, and are not willing to have their (substantial) interests sacrificed to others, I am referring to their conduct and motives as they are taken for granted in cases where questions of justice ordinarily arise. Justice is the virtue of practices where there are assumed to be competing interests and conflicting claims, and where it is supposed that persons will press their rights on each other. That persons are mutually self-interested in certain situations and for certain purposes is what gives rise to the question of justice in practices covering those circumstances. Amongst an association of saints, if such a community could really exist, the disputes about justice could hardly occur; for they would all work selflessly together for one end, the glory of God as defined by their common religion, and reference to this end would settle every question of right. The justice of practices does not come up until there are several different parties (whether we think of these as individuals, associations, or nations and so on, is irrelevant) who do press their claims on one another, and who do regard themselves as representatives of interests which deserve to be considered. Thus the previous account involves no general theory of human motivation. Its intent is simply to incorporate into the conception of justice the relations of men to one another which set the stage for questions of justice. It makes no difference how wide or general these relations are, as this matter does not bear on the analysis of the concept.
Again, in contrast to the various conceptions of the social contract, the several parties do not establish any particular society or practice; they do not covenant to obey a particular sovereign body or to accept a given constitution. Nor do they, as in the theory of games (in certain respects a marvelously sophisticated development of this tradition), decide on individual strategies adjusted to their respective circumstances in the game. What the parties do is to jointly acknowledge certain principles of appraisal relating to their common practices either as already established or merely proposed. They accede to standards of judgment, not to a given practice; they do not make any specific agreement, or bargain, or adopt a particular strategy. The subject of their acknowledgment is, therefore, very general indeed; it is simply the acknowledgment of certain principles of judgment, fulfilling certain general conditions, to be used in criticizing the arrangement of their common affairs. The relations of mutual self-interest between the parties who are similarly circumstanced mirror the conditions under which questions of justice arise, and the procedure by which the principles of judgment are proposed and acknowledged reflects the constraints of having a morality. Each aspect, then, of the preceding hypothetical account serves the purpose of bringing out a feature of the notion of justice. One could, if one liked, view the principles of justice as the “solution” of this highest order “game” of adopting, subject to the procedure described, principles of argument for all coming particular “games” whose peculiarities one can in no way foresee. But this comparison, while no doubt helpful, must not obscure the fact that this highest order “game” is of a special sort. Its significance is that its various pieces represent aspects of the concept of justice.
Regarding Coming together for the First Time
Finally, I do not, of course, conceive the several parties as necessarily coming together to establish their common practices for the first time. Some institutions may, indeed, be set up de novo; but I have framed the preceding account so that it will apply when the full complement of social institutions already exists and represents the result of a long period of development. Nor is the account in any way fictitious. In any society where people reflect on their institutions they will have an idea of what principles of justice would be acknowledged under the conditions described, and there will be occasions when questions of justice are actually discussed in this way. Therefore if their practices do not accord with these principles, this will affect the quality of their social relations. For in this case there will be some recognized situations wherein the parties are mutually aware that one of them is being forced to accept what the other would concede is unjust. The foregoing analysis may then be thought of as representing the actual quality of relations between persons as defined by practices accepted as just. In such practices the parties will acknowledge the principles on which it is constructed, and the general recognition of this fact shows itself in the absence of resentment and in the sense of being justly treated. Thus one common objection to the theory of the social contract, its apparently historical and fictitious character, is avoided.
5. That the principles of justice may be regarded as arising in the manner described illustrates an important fact about them. Not only does it bring out the idea that justice is a primitive moral notion in that it arises once the concept of morality is imposed on mutually self-interested agents similarly circumstanced, but it emphasizes that, fundamental to justice, is the concept of fairness which relates to right dealing between persons who are cooperating with or competing against one another, as when one speaks of fair games, fair competition, and fair bargains. The question of fairness arises when free persons, who have no authority over one another, are engaging in a joint activity and amongst themselves settling or acknowledging the rules which define it and which determine the respective shares in its benefits and burdens. A practice will strike the parties as fair if none feels that, by participating in it, they or any of the others are taken advantage of, or forced to give in to claims which they do not regard as legitimate. This implies that each has a conception of legitimate claims which he thinks it reasonable for others as well as himself to acknowledge. If one thinks of the principles of justice as arising in the manner described, then they do define this sort of conception. A practice is just or fair, then, when it satisfies the principles which those who participate in it could propose to one another for mutual acceptance under the aforementioned circumstances. Persons engaged in a just, or fair, practice can face one another openly and support their respective positions, should they appear questionable, by reference to principles which it is reasonable to expect each to accept.
It is this notion of the possibility of mutual acknowledgment of principles by free persons who have no authority over one another which makes the concept of fairness fundamental to justice. Only if such acknowledgment is possible can there be true community between persons in their common practices; otherwise their relations will appear to them as founded to some extent on force. If, in ordinary speech, fairness applies more particularly to practices in which there is a choice whether to engage or not (e.g., in games, business competition), and justice to practices in which there is no choice (e.g., in slavery), the element of necessity does not render the conception of mutual acknowledgment inapplicable, although it may make it much more urgent to change unjust than unfair institutions. For one activity in which one can always engage is that of proposing and acknowledging principles to one another supposing each to be similarly circumstanced; and to judge practices by the principles so arrived at is to apply the standard of fairness to them. . . .
Source: John Rawls, “Justice as Fairness,” Philosophical Review, Vol. 67, 1958, pp. 164-194.
Questions for Review
1. Rawls states that his conception of justice is restricted here to only social institutions or “practices”, and not people. Explain what he means.
2. What are Rawls’s two principles of justice, and what do they mean?
3. In what ways are people “rational” in original position?
4. Rawls states that his theory does not assume any particular theory of human motivation. Explain his point.
5. In what way is justice a matter of “fairness”?
Questions for Analysis
1. Rawls states that “The second principle [of justice] defines what sorts of inequalities are permissible; it specifies how the presumption laid down by the first principle may be put aside.” Explain.
2. Regarding his second principle of justice, Rawls states that “every party must gain from the inequality.” Explain what this means and discuss whether this is realistic.
3. Describe Rawls’s view of how people are “rational” in the original position, and discuss whether it is realistic.
4. Rawls believes that the notion of “fairness” regarding the just distribution of wealth is similar to the notion of fairness in fair games, fair competition, and fair bargains. Explain what he means and discuss whether he is correct.