Steven Forde: Locke, Science, and Politics. Cambridge: Cambridge University Press, 2013.
Originally published in Interpretation: A Journal of Political Philosophy. Volume 41, Number 2, Fall 2014. Republished with permission.
During his lifetime, Leo Strauss enjoyed conversations and correspondence with several philosophic friends who disagreed sharply but intelligently with him. It is nonetheless fair to say that the intelligent scholarly responses to his work—apart from those by men and women who have modeled their work on his own—remain rare. While Strauss has never lacked scholarly critics of serious and even well-nigh deadly intent, they have inclined toward polemics.
How refreshing and instructive to read Professor Forde’s book, which strikes me as exactly the sort of non-Straussian scholarly work that Straussians (and every other stripe of political-philosophy scholar) can study with pleasure. He writes in a good cause, bringing clarity to the writings of John Locke, that philosopher of supreme discretion and even indirection.
By “non-Straussian,” I mean that Forde departs from the main line of Strauss’s account of Locke, namely, that Locke presented himself as a respectable, Christian writer along the lines of “the judicious” Richard Hooker, but in fact took his philosophic bearings from the decidedly un-Christian Thomas Hobbes. Forde dissents, arguing that although Locke considered himself both a philosopher engaged in the modern-scientific project of Francis Bacon—as was Hobbes—and a literary defender of that project, he rejected Hobbesian materialism and founded his version of natural right on a version of divine right—not, to be sure, the divine right of kings, but rather a natural right divine in origin. Further, Locke’s ‘god’ endowed rights to humanity as a whole, not simply or even primarily to individuals; Forde thus challenges or at least qualifies what has come to be called Lockean individualism—a rubric that Strauss, and not only Strauss, endorsed. Forde also dissents from Strauss’s interpretive approach to Locke. He does not regard Locke as a writer with an esoteric teaching protected by an exoteric shell; he contends that Locke’s argument, though convoluted, can be discovered by allowing for different emphases in his different books. Just as Locke contends that the human mind classifies most of the things it encounters according to the use it wants to make of them, so did Locke present his teaching somewhat differently in different books, depending on the purpose he intended each book to serve. Locke’s true teaching is not so much secret or disguised as elaborately nuanced.
In his introduction, Forde identifies as “the foundation” of Locke’s philosophy not individual rights, but natural law “that exists, and can only exist, as divine command” (1). Nature consists of atoms in motion, as Locke’s friend, the chemist Robert Boyle, had maintained, and as Aristotle and the Scholastics, who took their bearings from Aristotle, had denied. Aristotelians understood nature not as a concatenation of atoms, and perhaps not primarily as material at all, but as formal and teleological—to be understood as “ordered into species or kinds” (4), each aiming at a telos or purpose. Locke follows his new-science colleagues by saying that species or forms do not exist in nature at all, but “are pure products of the mind” (5). Applying this claim to human beings, Locke argues that natural right must be completely revised to conform with the epistemology of the new science. The Is/Ought problem, so memorably identified by David Hume, already preoccupies Locke, who offers an answer to it. But his answer cannot be found in its entirety in any one of Locke’s books, which collectively form a sort of network or system, each making its own indispensable contribution to the whole.
Forde’s four substantive chapters address the scientific foundations of Locke’s doctrine, its moral dimensions, its political dimensions, and his teaching on education, respectively. He begins with the Essay concerning Human Understanding. “Locke will essentially wipe away all the traditional forms of knowledge, including moral knowledge”; “the new original of knowledge” will, “perhaps above all,” promise “results that will be useful to mankind (14-15, italics added). In so doing, Locke follows the lead of Francis Bacon, whose empiricism and experimentalism yield “only probable knowledge,” not certainty. But mere probability will not suffice, “in Locke’s own view, for morality,” and “empirical investigation, in any case can never yield moral insight” (17). Before showing how Locke meets this dilemma, Forde steps back to describe the thought of Locke’s relevant antecedents.
Aristotle “had confronted arguments similar to those later made by Baconian empiricists, weighted them, and rejected them” (19). He, too, propounded an “approach to knowledge [that] was resolutely empirical at its root,” an approach deriving from “Socrates’ turn away from airy abstractions to a more common-sense approach to reality, as reflected in ordinary human speech” (19). The empirical matter in question was speech, which leads quickly to consideration of the noun—that is, to ideas or forms, “the patterns or templates for the concrete objects we encounter in experience” (19). The Socratic/Platonic answer to Heraclitus’s claim that all is flux is that all could not be flux because we detect relatively stable entities all around us, entities that moreover can be seen to fall into identifiable kinds or species. “It makes sense to call these patterns ‘forms,’ to reflect the empirical, even visual, roots of the theory” (19). To know nature is to know the forms in which it manifests itself. In distinction to Plato’s Socrates, but not simply in contradiction of him, Aristotle maintained that although “the particulars are prior” to the forms, the forms “have independent being”; although the forms we see in the particulars exist only in those particulars, they serve as causes of the particulars—causes independent of material causes (21-22). Without an appreciation of form, one “cannot account for the order of nature, or for the fact that there is qualitative as well as quantitative change” observable in it (22-23). In particular, one cannot account for the capacity of what we now call organic beings to grow towards aa form, to perfect themselves, to move towards a telos. Things or substances “are compounded of form and matter,” both (24), with form the same in each individual within a species and matter the source of individuation. To know, “we must always begin with sense experience,” but then “get beyond it or behind it, to a grasp of the forms and permanent realities that will alone allow us to understand the world” (25). As the senses receive sensations that detect objects, the mind receives the forms that permit us to understand those objects.
Some of this fits the Biblical account of Adam, charged by God with the task of naming—that is to say, classifying—the objects in the Garden of Eden in accordance with their “kinds.” On the basis of this and other congruities between Scripture and Aristotelianism, Thomas Aquinas achieved his impressive synthesis of the two lines of thought. Although the Bible precludes the Aristotelian claim that the cosmos is eternal, it does allow for the existence of forms, now understood as “creations of God, or more precisely…part of the divine mind or essence” (27). God also implanted in His highest creation, man, both the capacity to do good—syndaresis—and the capacity to fail, willfully and therefore culpably. “Aquinas follows Aristotle and Plato in holding that the forms or species are real entities—all three are ‘realists’ as modern philosophical terminology has it,” considering species or kinds as “templates according to which nature is organized” (28). Led by William of Ockham, the realists’ opponents, the ‘nominalists,’ maintain that forms have no status ‘out there’; they “are concepts by which we organize our experience,” with “no existence outside of our minds” (28). Our only way to perceive the world outside our minds is sense perception of particular objects; therefore, Aristotelian/Thomistic formal causation is unnecessary to understanding nature. If nature is in fact directed by a final cause, Ockham accepts this “only as an article of faith,” not as a result of “natural reason” (30). What replaces the forms for Ockham is the divine will, a will unconstrained by forms, templates; to think otherwise, as Aquinas does, amounts to a sort of sacrilege—the theological equivalent of a restraining order on God’s freedom. “True knowledge such as God has, is knowledge of reach and every particular, in its particularity”—of every sparrow that falls, of every hair on every head (31). The human resort to universals betrays the weakness of our minds, their finitude; while in our feebleness we need such concepts, they do not convey reality as God created it.
This leads Ockham to distinguish between God’s ordinate power and God’s absolute power. “God’s absolute power consists in the fact that he was free to create the world in radically different ways”; but once He decided upon creating this world He manifested his “ordinate” power, “remaining within the ambit of this created order” (33). This is why Ockham himself relies on species (although as mere concepts) to describe the world as God has established it. The world “remains somewhat conditional,” dependent on God’s continued will to keep it the way it is (33). Jewish and Christian faith entails our acknowledgment of this dependency. Moral law is the same way: “In this creation…God has condemned adultery and murder, and commanded love of himself,” but in some other creation He might not have done so. We need divine revelation of His moral law for that reason, inasmuch as we cannot know God’s reason or reasons for setting it down the way He did. However, in considering God’s creation as “grounded in God’s ordinate power,” we may “arrive at some understanding of moral law,” as indeed Aristotle had done, unaided by Scripture (34).
Nominalism will look quite different if God disappears. Forde offers an illuminating account of the background of Locke’s thought in the Baconian project. Bacon took over the nominalists’ empiricism but, “unlike them, indeed in complete opposition to their spirit…conceived a sweeping plan for the mastery of nature by human power, rooted in a new empirical science” (37). The regularities seen in nature derive not from forms but from matter itself, motion, and the laws of matter and motion. Intellectual intuition or noesis supplemented by logical deduction from supposed noetic insights will get us nowhere; empirical observation of particulars, aided by the inductive logic of experiment—torturing nature to reveal her secrets, in Bacon’s phrase—will obtain the only knowledge of nature we can have, which turns out to be enough for the project of mastery. We need to torture nature because nature consists fundamentally of atoms ; not only is an atomistic nature too complex to understand adequately by noetic apprehension of forms (as Ockham understood), but atoms themselves (unlike hairs) are too small to see. Both our minds and our senses are inadequate to understand nature, unaided by the method of torture. to the obvious question—Why are there atoms in the first place?—Bacon replies, simply, that’s the way it is; it is “one of the follies of the human mind to seek an explanation beyond this, a ‘why'” (42). One might as well ask a theologian why God exists. In any philosophic or theological system, there must be some ‘given.’ For Bacon, atoms are as far back as we can get.
Because matter is always in motion, so are forms. What we call kinds or species are the shapes in which atoms now manifest themselves. As in Ockham, natural reality consists of two levels: ordinary or regular, mechanical nature—”nature in its species and activities as we find them today”—and “metaphysical,” nature’s “fundamental and universal laws which constitute forms” (44). God has disappeared from the picture. We will know that we know nature insofar as we can control it; this, not noesis and not divine revelation, is the new source of intellectual certainty for human beings, insofar as we can reach certainty. Such a project will “require the labor of many hands, and many minds” (45)—hence the formation of the Royal Society in England in 1660, the institutionalization of the Baconian project.
Locke’s friend Robert Boyle became a charter member of the Society, and remained one of its most distinguished. Aristotelianism does not—the new scientists maintain that it cannot—tell us “how exactly…form exert[s] its influence” over matter (51). How does the form of the oak actually cause the acorn “to develop properly” (52)? Boyle defends atomism by claiming that the “corpuscles” or atoms can cause forms to exist because they differ in their “texture”—that is, in their size and shape. Form derives from the texture of the corpuscles that combine to make the object; “when an object changes color, or becomes liquid, this is not the supervention of a new Aristotelian form, but merely a change in the body,” a rearrangement of the corpuscles. Crucially, the sizes and shapes of material corpuscles are not Aristotelian forms but “modes of matter”: “modifications of a single underlying material or stuff” with “purely physical or material variations.” “There is no such thing as a change in kind in Boyle’s material nature” (57). Boyle calls nature a “cosmical mechanism” or “great automaton,” with no mind or purpose of its own. Any purpose it has it owes entirely to God. The teleological nature of the Scholastics ‘”verges on pantheism,” and thus on impiety, by making nature “a subaltern deity, carrying out God’s plan” (60).
Two problems arise. First, there is the matter of gravity, which “seems little better than the neo-Aristotelian ‘appetite to fall'” as an explanation for how it is that things do fall when “gravity” is present. To say that a horse is a horse because of its horseness may not help us much, but neither does saying that things fall because it’s grave around here. Forde observes that this problem remains unsolved for modern scientists to this day. Second, there is the persistent problem of accounting for species in terms of corpuscular “modes of matter.” How do atoms get to be differentiated in size and shape? Here Boyle makes an un-Baconian move, bringing God back. “Boyle makes God the first mover” (62)—again, in the manner of Ockham, distinguishing between the ordinary operations of nature and its origin. This frees science from the charge of impiety while freeing scientists to concentrate their minds on the mechanisms of nature as we now experience it. Whereas Bacon accounted for species by a process of natural selection, Boyle simply contends that “in the beginning God created the ‘seeds’ from which the species sprang” (63), imposing the modes upon matter. “An unbaptized Epicurean,” Forde notes, “might accuse Boyle…of taking the easy way out” (64). Be this as it may, Boyle carefully shifts scientific terminology away from speaking of the nature of a thing and toward speaking “of a thing’s ‘constitution’ or ‘individual mechanism'” (66). This causes a further problem, however, when the scientist considers such phenomena as natural disasters or defective specimens or “monsters.” If the existence of these calamities requires us to question the Scholastics’ teleology (does nature really produce nothing in vain?), then do they not also pose questions for Boyle’s providentialism? “Boyle mentions this difficulty, only to say that dealing with it is not part of his present topic. It never seems to have been part of his topic” (67). True to his eschewal of exotericism, Forde suggests that Boyle might argue that calamities arise because the divinely ordered sees or corpuscles “operate from the ground up, as it were,” not through divine supervision, and that this accounts for imperfections and occasional mishaps (68). Locke would propose a more radical solution.
Locke has yet another difficulty to address: the origin of morality. “The theory of forms allowed morality to be built into nature, so to speak, by the same means that the species were built into nature” (69). Subtract the forms as independent causes, and where does that leave morality? Boyle “simply relies on the presumptive validity of Christian morality and the Christian revelation.” “This is the point at which Locke ceased to be guided by him” (70).
Forde turns to Locke’s “moral epistemology” in his second chapter. In the Essay concerning Human Understanding, Locke argues that “there are no species, in the sense of a class of things brought into being according to a pattern, each of which shares certain ‘essential’ traits by virtue of being a number of that species”; “monsters” are as natural as any other specimen of a putative kind. Species are useful concepts “of our own devising,” but particulars are the only beings that actually exist (73). Neither biological science nor moral science can regard man as a real being—an essence or template to which individual specimens may be compared. Our concepts or categories, including man, depend (in the Baconian way) “on the purposes for which we are making the distinction” between the thing we are thinking about and all the other things we perceive. Analogously, our moral principles are “mixed modes,” “concepts that are not grounded in nature, but, like species concepts…constructs of the mind” more or less useful to whatever our purposes may be (74). Locke posits no innate moral ideas—no syndaresis with or without God. “Locke’s almost macabre fascination with the barbarism that human beings, and indeed entire cultures, have displayed puts a point” on this claim (74-75).
The human mind begins as a tabula rasa, or better, a camera obscura: “a dark room, into which light can enter only through the portals of sense” (75). Without innate ideas and with no way of transcending these sense impressions or “ideas” in the direction of forms, the mind receives only the most elementary signals from outside itself—”hard,” “white,” and so on. “Our entire mental universe, including ideas seemingly far beyond experience, is constructed in camera, as it were, using elements acquired only from (internal and external) experience.” Thus Locke’s empiricism actually maintains that we cannot really know the empeiria directly; “we begin with sensory information, but we do not know how objects stimulate the senses, nor how the senses transmit their reports to our minds.” In this, Locke concurs with both Descartes and Hobbes; “the anti-Aristotelianism of this approach is complete” (76). This does not generate skepticism for Locke because “it is not reasonable, or even psychologically possible, to deny” the existence of external reality (77). Epistemological sensualism comes to its own rescue, one might say. “To one who argues all is a dream, Locke asks derisively whether he would rather dream of being in a dire, or actually be in it.” This does not of course commit Locke to claiming that every sensory report accurately reflects external reality. Locke explains sensory error by first distinguishing between “primary” and “secondary” qualities. Primary qualities—solidity, extension, shape—come to us infallibly through our senses; “our senses reveal to us attributes that really do inhere in objects” (78). Secondary qualities—color, smell, taste—are not intrinsic to the object perceived by vary with our own senses; one person might perceive colors differently than another, for example. Hence the wise monition not to dispute matters of taste. Thus far, Locke follows Boyle.
A further complexity arises in Locke’s distinction between “simple” and “complex” ideas or sense perceptions. Simple ideas, such as yellow, white, hot, cold, soft, hard, bitter, sweet, “merely signify that some external quality is having the effect in question on our senses” (79). Complex ideas, however, are “compounded of simple ideas” and therefore involve the mind in the active arrangement of the impressions it has received. From the simple ideas of brown, hard, rough, and cylindrical, our mind forms the complex idea, tree trunk. Such “bundles of qualities do appear together regularly in our experience; there really are tree trunks,” but “we must not imagine that we will ever have fully adequate ideas of them”—only ideas more or less adequate “to our purposes” (79-80). Our minds “create” them, assembling them out of preexisting materials, calling certain sorts of order out of our perceptions without every fully knowing if we’ve got it right. As we now say, the mind ‘abstracts from’ sensory experience to construct its concepts. To “know” is not to perceive a formal template but “to say that we have grasped something of the different modes in which matter may exist, and the regularities observed by matter in those modes” (82). This is not (yet) ‘postmodernism’ or a form of conventionalism; we are indeed perceiving something, or some things that are out there. We are not creating ex nihilo. And of course reason remains unchallenged; the sense impression white is not the sense impression black. There is no whiteblack in Locke’s world any more than there is in Plato’s or Aristotle’s or Aquinas’s. We may, without contradiction, define man as a rational animal, a political animal, or a featherless biped, but we cannot run it together with donkey—at least, in any non-metaphorical way (85). On the other hand, these species concepts remain only concepts; “those brought under a single species name often differ more among themselves than they do from individuals nominally of another species,” as the example of monstrosities shows (86).
If so, how does Locke found a morality on any of this? [1] Some of the complex “ideas” assembled from the simple ones are what Locke calls “modes.” Unlike the other kind of complex idea, exemplified by the tree trunk, modes are at three removes from physical reality; the tree trunk is our mental abstraction from a number of simple ideas or sense impressions. A mode refers not to any physical object—they are not ideas of things; “they carry no implication that they correspond to real objects” (87). When forming a simple mode, the mind “conceptualizes modifications of a single idea.” For example, the mind takes the simple idea of motion and modifies it to conceive of sliding, rolling, rising. It takes the simple idea of thought and conceives of memory and contemplation; the simple ideas of pleasure and pain “include live, hatred, joy, sorrow, hope, fear, and many others.” “None of these notions is innate; they are all the product of mind working on the simple ideas of sense.” Mixed modes are “more complex versions of the same mental abstraction and combination,” a combination of two or more simple modes. Wrestling and fencing serve as Locke’s examples: “complex forms of physical activity, the parts of which have no natural connection to one another, whose unity exists only in the term and the mental concept describing it,” concepts “constitut[ing] the activity as a whole” (88). The mixed mode gives the constituent parts “a meaning they do not possess inherently.” Most such activities “exist by convention and not by nature” (89).
“All moral concepts are mixed modes” (88). “Murder” consists of a set of acts that have no intrinsic moral significance; the “moral meaning” of such acts as murder and rape, rescue and liberation, “is given to them, or imposed upon them, only by the application by mind of the moral code.” “After all, has not the line between killing and ‘murder’ been drawn very differently at different times and places?” “Locke draws attention to the immense power that would accrue to one who succeeded in defining or redefining mixed modes for a culture or civilization. It is past doubt that he aspires to play this role himself, with his new understanding of natural law, natural rights, limited government, religious toleration, and the like” (89). One is reminded of Machiavelli’s musings on such great lawgivers as Moses and Romulus, which are not unrelated to his project of mastering Fortuna, a project itself somewhat reminiscent of Bacon’s conquest of nature. But I digress.
Having refused the Aristotelian/Scholastic “leap” from “the empirical world to the realm of forms” (90), Locke also refuses the Cartesian claim that our ideas are innate. He agrees that mathematical ideas are certain, but only because they refer strictly to relations among abstractions and have no empirical content. But—here is the novelty he introduces—this also applies to moral ideas. Far from producing moral relativism, the purely abstract character of moral mixed modes gives the mind the possibility of attaining “ironclad certainty” about them (92). Mathematics and morality are the mental realms of certainty, even as science is the mental realm of empiricism and therefore of nothing more than probability. “Euclid’s geometrical proofs are paradigms of demonstrative knowledge,” but so, Locke writes, is the existence of God—”the only being external to ourselves of whose existence we can be absolutely certain.” Further, God’s commands, the laws of morality, are as non-empirical as God is. If the laws of morality had empirical content, if they were linked in any way to physical nature, “they could not be absolute,” they could not be commands at all (93). Morality would indeed look more like what Aristotle said it was, a matter of prudential reasoning aimed at securing the good—that is, the best possible fulfillment of the natural form of a human being, family, or political community. In recommending Cicero’s De officiis as a moral handbook, Locke does not endorse the ontological foundation of Cicero’s moral philosophy; he endorses the abstract, universal validity of his ideas as abstractions, as “mixed modes” of thought.
All of this raises hard questions about how much such abstractions relate to the world, very much including the world of human relations that morality governs. On some level, morality must engage practice. To better understand Locke on this point, Forde considers the writings of Locke’s contemporary Samuel Pufendorf, whose works Locke recommended in Some Thoughts Concerning Education. What Boyle did with “modes” in the realm of physical science, Pufendorf did in moral philosophy. Certain modes, Pufendorf teaches, “added to physical things or motions, by intelligent beings,” direct us and “secure a certain orderliness and decorum in civilized life” (98). Such modes are not descriptions, as in physical science, but prescriptions, commands, precisely knowable. “Aristotle correctly identified certainty with sciences that proceed deductively from axioms, but incorrectly identified ethics or morality as a field incapable of such precision,” precisely because he founded his morality on human nature and not on modes (100). In Pufendorf, as in the Bible, “all morality takes the form of law, a binding rule that serves as the measure of right and wrong” (100); such law is “the free creation of God, who could have ordained that law differently” (101). God is “the only agent with the capacity, and the authority, to impose moral modes upon humanity in a universally valid way”; this authority comes “not from his overwhelming power, as Hobbes had supposed,” or “from his superior perfection, as Cicero had supposed,” but from human consent or else by some “special service” done by God to human beings. This special service was the act of creation, which put human beings in God’s debt. The relation between moral law and reality runs from God to man; God gave us not only the commands He reveals in His Bible but also the rest of His Creation. We can “devise ways” of “achiev[ing] the goals of peace and civilization” that God has given us by thinking about our experience. Such “empirical observation” gives us “signposts” that point beyond “the empirical realm” that we observe; “nature is an indication of the law God has imposed on us” (103). This is how moral law can nonetheless be described as “natural” law; although modern science has revealed “material nature” to be “morally vacuous,” God must have made our nature such that these signposts are consistent with His moral law. In other words, like Ockham, Pufendorf distinguishes God’s “absolute” power from His “ordinate” power. God could have done things differently, but having done things the way He did, what He did serves as a moral guide for human beings. “Natural reason is sufficient to the task of discovering the moral law” (104), although those favored with having received God’s revelation will be greatly aided in that discovery.
“Locke embraced Pufendorf’s approach to morals in its fundamentals”—morality as one of the mixed modes, the modes of “creations of intellect, which superimposes them on the material world,” an object of “a demonstrative science.” “The resulting theory, as both Pufendorf and Locke emphasize, cannot dispense with divine legislation.” Here Forde dissents from Strauss, Pangle, and Zuckert, who regard “Locke’s appeals to God” as “a rhetorical ploy, cover for a completely secular moral and political theory” (105). “It is only through divine legislation…that Locke can combine his very prominent account of moral concepts as ‘arbitrary’ fixed modes, with his equally prominent account of the moral law as ‘the eternal law and nature of things'” (108). Nonetheless, Forde almost immediately asks, “What is the flawless moral demonstration that the theory of moral modes promises us?” and observes that “notoriously, Locke never provided this demonstration” (108). One might also wonder what Locke means by “divine.”
Man is subject to moral law. By “man” Locke here means a creature, both corporeal and rational. We need say no more because for this particular purpose, the consideration of morality, other features we might include in the concept man (his featherlessness, for example) are irrelevant. But if man is corporeal as well as rational, how can we relate the empirical fact of corporeality to rationality in order to give a coherent account of a law relating the one aspect of man to the other? Forde mentions that in the Essay concerning Human Understanding, Locke addresses this problem in two chapters: “Of Power” (2.21) and “Of Identity” (2.27). There, Locke identifies three senses in which “we speak of a human being”: person, man, and substance. “Substance” is the human being as a material object among others; “man” refers to its shape or form; “person”—the only one of moral significance—means, in Locke’s words, a “thinking intelligent being” with “reason and reflection.” This “self”—which need not be an immortal “soul”—has “consciousness,” without which it could have no moral responsibility, inasmuch as “no one may be held responsible for acts which he is not conscious of having performed” (112). (“It is easy to see how [this rule] applies to the doctrine of original sin,” Forde notes, “as [Locke] does not point out” [113]). “The critical divide between man and beast is not reason per se; it is rather the ability to abstract, to create general terms, and mentally to manipulate those terms” (113). To explain the existence of such a composite being, Locke has recourse to a version of the argument from design. Because “the mechanism of nature, as the new science has uncovered it, is incapable of producing a conscious, ‘cogitative’ being,” “any such beings must therefore be the workmanship of God.” Forde doubts that this proof carries much water; even if it convinced us of God’s existence, it would not prove His (its?) eternality, omnipotence, perfect wisdom, or perfect goodness, “as moral demonstration requires” (115). “At any rate, Locke proceeds with his philosophical project as though it has foundation enough to support it” (116). A cool customer, that Locke.
In addition to moral responsibility, consciousness also entails “self-concern.” Locke posits “no strict dualism between body and soul”; “our bodies are part of our conscious ‘selves.'” Appetites, pleasure and pain stem from our bodies, but like other manifestations of the corporeal they point to “god”—in this case serving as “dispensations of divine wisdom that spur us to perfect ourselves” but which also can “lead us astray” (117). Moral reasoning empowers us to judge and bridle the appetites, guiding us to “true and proper happiness” (118). This mental self-direction is what we mean by our freedom. Unlike Hobbes, Locke regards will and appetite as distinct, because the will can act “in defiance of appetite”; “the essence of moral volition in Locke is the control of appetite by reason.” This sounds much like Aristotle, with this difference: Although in Locke as in Aristotle “happiness is reason’s goal,” for Locke happiness “is compounded of pleasure and pain”; for Aristotle, pleasure and pain amount to what we might now call ‘indicators’ of happiness, not happiness itself. [2] “Locke sounds quite like Hobbes…when he says that we call ‘good’ what causes us pleasure, ‘evil’ what causes us pain, and that these are different for different individuals” (119). But Locke departs from Hobbes, who puts morality to the service of self-preservation, “the one appetite universally shared” (120). Locke instead looks to the longer term, encouraging us to live with a view to future as well as immediate pleasure and pain. The drunkard allows present pleasure—or at least the relief of present unease—to overcome his knowledge that his overindulgence will ruin his health, causing him pain and even death. Happiness is pleasure, in Locke—his psychology does not make it possible to “foresak[e] appetite for reason”—but pleasure must be understood reasonably, as a sort of lifelong coordination and discipline of the appetites and of their satisfaction (120-121). To be maximized over a lifetime, our pleasures must be calibrated. Locke significantly broadens Hobbesianism.
But does he abandon it? Strauss and his followers deny that he does. Forde regards Locke’s morality as too closely associated with a non-corporeal moral law, and too far beyond the pursuit of self-preservation, to qualify as Hobbesian at its core. Although Locke “concur[s] with the Hobbesian dictum, that the human appetites are neither good nor evil in themselves, until they know a law to judge them”—in this, both philosophers hew closer to the book of Genesis than to Aristotle—Locke “differs with Hobbes on the nature, and perhaps the source, of that law” (123). Locke lists three kinds of law: divine, civil, and reputational—the second of these being what we think of as human legislation, the third being the informal “law” set by public opinion. Although the Questions concerning the Law of Nature and the Essay on Civil Government make much of a “natural law,” “natural law, in the old sense of a law ingrained or embedded in nature, cannot exist for Locke,” any more than it can for Ockham or Pufendorf; what we call natural law is really divine law promulgated by “the light of nature” (124). But, Forde argues, this does not signal a shift from moral law to “individual natural right” 9126), despite the language of the Essay. “Locke nowhere says that he, or anyone, has a ‘right’ to pursue happiness as he sees fit. He, and we, have not so much a right to pursue happiness as a duty to pursue happiness aright”—a duty we can only find in the moral law; “the priority of law to right separates Locke’s philosophy from that of Hobbes” (127). At the same time, although Locke holds up happiness as the human summum bonum, he is no Aristotelian because Aristotelians vainly sought the purpose of human life in human nature rather than on “its true ground, which stems fro mixed modes not devised by nature” but by “divine intelligence” quite “outside of material nature” (132). This teaching also distinguishes Locke from Immanuel Kant, who likewise rejected nature as a moral standard but at the same time rejected happiness as the moral purpose of human life (133). Kant retains the moral law while rejecting eudaimonism, replacing it (and Locke’s “god”) with the categorical imperative, a sort of rule of pure reason.
Forde’s third chapter elaborates on Locke’s understanding of moral law and spells out some of its social and political implications. Far from commanding any narrow self-regard, Locke insists on the importance of “civility,” a virtue praised by a Catholic writer he esteemed, Pierre Nicole. But although for Nicole civility rests squarely upon Christian charity, for Locke things are not so simple. He begins with his version of natural law; “the only comprehensive explanation” of which he places in chapter 2 of the Essay on Civil Government. the natural law, divine in origin, prescribes not “only my own preservation” (as in Hobbes) but “preservation of all mankind.” This law enjoins me “not to harm others” or even myself, and thus serves “the common human good” while reflecting the bedrock “equality” of human beings, no one of whom may be sacrificed for the pleasure of another, and who may only be harmed if he threatens to harm me or other persons (139). This makes self-preservation first of all a duty prescribed by law; the right derives from the duty, and the duty derives “from the common good of mankind rather than the primacy of the individual per se” (140). This principle—the duty to preserve humanity itself—is “the key to understanding much” in Locke’s thought (141). Locke goes so far as to insist that each individual may “punish violations of the natural law on behalf of mankind, whether he is directly affected by the violation or not” (143).
What Forde calls the “communal” character of Lockean natural law manifests itself also in his treatment of the family. The “mutual and reciprocal obligations” of parents and children come not from any social contract “but directly from the laws of nature” (144). Children, for the most part lacking in reason, lack the full moral status of persons; they have no rights that do not derive from parental duty. Forde acutely observes that Locke takes the Genesis command “Be fruitful and multiply” to mean something rather more extensive than Scripture appears to suggest: a general command not only to generate more human beings but to improve the arts and sciences and “conveniences of life.” “This god might be dubbed ‘nature’s god,’ and Locke makes clear, even in the First Treatise—his critique of Robert Filmer’s divine-right based defense of monarchism—”that he is not relying exclusively, or even primarily, on Scripture to discern his intent.” Locke calls reason “the voice of God in” man; “this is true Locke pointedly informs us, whether God ever literally spoke to anyone on this subject or not”—revelation, “in this matter at least,” being “redundant, or perhaps even subject to correction by reason” (146). Forde also observes that “the chapter on family in the [Essay on Civil Government] relies more prominently upon God as legislator than does most of the rest of the work,” that the conventional and limited character of the larger civil society leads him to allow “the figure of the divine legislator to recede into the background” (145). It might be added that this move serves at least two functions: first, it keeps “god”—even the god discerned primarily by reason not revelation—at some remove from politics, where claims about divinity can work against the preservation of mankind by fomenting wars of religion and persecution in God’s name; second, it addresses the problem of the mighty Leviathan, the modern state, empowered to wage war and enforce laws in accordance with the systematic laws of modern science, including the technologies invented under the auspices of that science, but which, by that very power, may threaten the lives and liberties it is intended (by Hobbes most especially) to preserve. In the Lockean state, religious men will tolerate one another and all will be ruled by consent, understood as rational assent.
Similarly, the natural law prohibits spoilage—wasting the natural goods provided to all—and requires charity. Locke’s account of property in chapter 5 of the Essay on Civil Government serves as the locus for those who regard Locke as the most influential philosopher of modern individualism, and Forde agrees that individual rights come to the forefront here. We may accumulate property without limit and have a duty merely to refrain from plundering the possessions of others; we need offer no charity to the needy This contradicts the teaching of the First Treatise, however, which not only enjoins us to exercise charity but gives the needy title to the excess property of others, without even the duty to repay their benefactors at some later time (149-150). The contradiction disappears, however, when one notices that the right to property derives from the right of men to self-preservation; Locke employs the plural form because natural goods originally belong to mankind in common. Private property comes later. “A purely individualist theory would not likely begin this way” (151), inasmuch as the individual property right “is not an absolutely original or fundamental right” but instead arises in order to preserve mankind (151-152). Even our ownership of ourselves stops at the right to kill ourselves—a clear signal that human beings are above all “the property of God” (153). Our property rights, on Forde’s reading, are therefore only use-rights, “absolute within the human sphere, but not absolute simply.” Forde maintains that such an interpretation of individual rights better accounts for the apparent contradictions in Locke’s several writings that the Straussian exotericism/esotericism interpretation does (155).
Forde argues that Locke follows not Hobbes but, to some degree, Aquinas, Grotius, and Pufendorf in these matters, particularly with respect to the existence of common property at the origins of human life and the authorization of private property “by a principle of the common good” derived from the original condition (162). But Locke “makes [private] property more fundamental than it is for his predecessors,” inasmuch as “natural and divine law” established it, not human consent or convention; in a well-known passage, Locke describes how human beings “mixed their labor” with natural objects, thereby not merely acquiring them but acquiring a right to them, by don’t of that effort (163). Further, the state of nature was a state of scarcity—”the original provision was necessarily inadequate”—so human beings needed private property not merely for “social progress, but for human survival” (174). In a fascinating teaching derived partly from Scripture, Locke claims that “God, when he gave the World in common to all Mankind, commanded Man also to labour” (175). (In Genesis, God does indeed do those two things, but at different times and in different circumstances—one before and one after the humans sinned.) The standard set by the common good remains, but the right of the individual is unalienable—as it is not for Grotius or Pufendorf. As Forde puts it, “God is aware of basic economic principles. He is aware that if the love of money is the root of many evils, it is also the source of general good. In all its honest forms, therefore, he smiles on this love. He knows that the pursuit of one’s own interest is not the expression of a corrupt or fallen nature, but a benign, indeed useful attribute” (176). Accordingly, while the First Treatise recommends charity, the Second Treatise or Essay on Civil Government makes justice a matter of protecting property, broadly defined to include natural rights. he “does not provide us with any systematic account of how ‘justice’ and ‘charity’ relate to one another” (184). “Many Christians of Locke’s day, and for ages past, would be surprised to learn that the biblical injunction ‘be fruitful and multiply’ signifies, among other things, God’s approval of the limitless acquisition of wealth”—with, to be sure, a concomitant moral if not political duty to share the wealth acquired. Locke’s advocacy of religious toleration as a duty (“the chief characteristical mark of the true church”) must have been similarly surprising, Forde ventures to say (196). This underlines the importance of the one “who defines the mixed modes by which others live” and who thereby “sets the moral horizon for them” (197).
The “twin foundational principles” of that horizon are, first, that “personal happiness is the necessary and proper motive of all human beings” and, second, that “the preservation of mankind as a whole imposes moral duties on all” (198). Given the possibility that these imperatives might conflict, Locke “minimiz[es] the demands of duty,” “building politics (and economics) on the broad common ground between private and public interest” (199). To smooth any rough edges that may remain, Locke turns to the education of leading citizens in Some Thoughts concerning Education, the topic of Forde’s final chapter.
The Thoughts makes obedience to the moral law more likely by upholding the “rational control of the appetites”—what Locke himself calls “the art of stifling [one’s] desires”—as “the essence of virtue” (201). Because infants and small children have yet to acquire that art, parents need to bring them to it. He does not foolishly suppose that this can be accomplished by simple instruction; the way to the head is through the heart—specifically, the part of the heart that desires esteem and dreads disgrace. As Hobbes sees, children love dominion, but esteem and disgrace, appealing to the spirited element of the child’s self, can be used to tame this dangerous propensity to tyranny. The road to the rule of reason runs through “pre-rational habituation” (203). Part of early childhood education will consist of a kindly catechism, holding up the thought of a liberal benevolent God Who seems not to punish the wicked. Indeed, “the word ‘sin’ appears nowhere in this work” (206 n.9). “This simple creed, of course, has nothing that is distinctively Christian” (205). Exceptionally naughty children will be punished by having something of their own taken from them, but most children will respond powerfully to social rewards and punishments. These can be deployed to teach charity, too, particularly by parental compensation of their child when he exhibits liberal and charitable behavior, thus “ensuring that their children always profit by being liberal” (208). This should not be viewed too cynically; Locke is confident that children will soon find pleasure in liberality itself, after which the training wheels of compensation may be removed. “Locke believes that a true liberality, and a true regard for others, will emerge from his education” (209).
True liberality culminates in civility. Civility for Locke means a stance between the selfless love commended in the Gospels and the sort of teaching popularized in the twentieth century by the American writer Dale Carnegie, who taught that an other-regarding attitude pays off. Lockean civility combines the ‘no harm’ principle of justice with toleration and considerateness. Our “pleasure cannot be had unless [our] benevolence is heartfelt”; at the same time, the moral law does aim at pleasure (218). Locke endorses “what could almost be described as an extension of the self to share in the pleasure of others” (219). Although Forde does not say so, this expansion of pleasure to some degree links the individual to the original “god”-ordained condition of commonly held rights, including property rights. Forde emphasizes that Locke understands happiness differently than Aristotle does. In Aristotle, happiness means the full exercise of virtue; “Aristotle famously identified beauty or nobility as the heart of morality, as well as the motive for moral action, but this is not, and cannot be, Locke’s view,” which stays within the bounds of pleasure and pain, reward and punishment (220). What is more, Aristotle grounds his claims about happiness on his “analysis of human nature,” which has a hierarchy; “although Locke’s virtue is also based upon a rational screening of the appetites, and is also designed to lead to happiness, Locke makes no equivalent arguments to bolster his claim” (220). His “epistemological foundations make…an [Aristotelian] appeal to human nature impossible”; appetites are better or worse “only in comparison to a rule”—a “mixed mode”—”imposed from without” (221). This mixed mode, ordained by “god,” rests first of all upon the equality of human beings as human; but again, “human” cannot mean a species in the Aristotelian sense because no such thing can be apprehended noetically, according to Locke’s understanding of human understanding.
Forde concludes with an engaging discussion of the relationship between Locke’s thought and that of Benjamin Franklin, “Locke’s great American disciple” (222). He shows how Franklin adapted Locke’s teachings—most particularly his teachings on education—to American conditions. Whereas Locke’s education centers on the task of inculcating civility in the young gentleman—scion of the English/European gentry class—Franklin writes in a much more egalitarian social and political regime, one in which most children will be educated in public schools, not at home by fathers and private tutors. “It is Franklin who systematically undertakes to educate the poor to industry” (226-227); Franklin also takes a somewhat more lax view of moral self-discipline, and he writes as if more skeptical that human beings can be brought to unselfish charitableness, no matter how carefully habituated they may be. But in his esteem for civility and for works of public service, Franklin joins hands with the philosopher. “Liberalism, as these two authors see it, does not confine itself to a narrow and merely economic understanding of individual self-interest, but opens up to a broader field off sociable human fulfillment” (242).
Strauss’s response to Forde’s criticisms can be at least partly conceived, inasmuch as Strauss himself is fully aware of at least some key points Forde advances, as seen in the section on Locke in Natural Right and History and the chapter on Locke in What Is Political Philosophy? [3]. Scholars influenced by Strauss who have published on Locke—Michael Zuckert, Thomas L. Pangle, Peter Myers, Thomas G. West, and others—may well proffer their own responses. What might also prove instructive would be a study of Locke modeled on Catherine Zuckert’s study of the Platonic dialogues [4], consisting of exegeses of all the key texts showing the relations among them. Such a difficult and massive undertaking would be the work of many years. In the meantime, the serious study of Locke continues to accelerate, especially in the United States and England, where his political as well as his philosophic importance endures.
Notes
- Additionally, remaining on the ‘epistemological’ level, one might wonder why, or at least how, the mind tends to assemble sense impressions into concepts. Locke might have recourse to Boyle’s differently shaped and sized corpuscular “givens” as an explanation of brain function.
- Aristotle: Nicomachean Ethics 1.5, 7; 2.3; 7.11-13.
- Leo Strauss: Natural Right and History (Chicago: University of Chicago Press, 1953), 202-251; “Locke’s Doctrine of Natural Law,” in What Is Political Philosophy? (Westport: Greenwood, 1973), 197-220.
- Catherine Zuckert: Plato’s Philosophers: The Coherence of the Dialogues (Chicago: University of Chicago Press, 2009).
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