Political Theory: Liberalism, Legitimacy, and the State of Nature, and John Locke

Introduction to Political Theory and its Subfields

Political science is composed of several distinct subfields that focus on different aspects of governance and power. Australian politics is dedicated to the study of the political landscape, institutions, and behaviors specifically within Australia. Comparative politics involves the systematic comparison of different political systems from around the globe to identify patterns, differences, and similarities. International Relations focuses on the study of relations between various countries and the roles played by international institutions. Political theory serves as the fourth major subfield, focusing on the examination of fundamental political ideas and the historical record of political thought throughout human history.

Defining Political Theory: Descriptive and Normative Approaches

Political theory is defined as the study of the fundamental ideas and moral commitments associated with politics, as well as the historical record of political thought. Within this discipline, there are two primary conceptual categories that define how political ideas are approached. Descriptive political theory focuses on describing and analyzing key political ideas and how they function in reality. Concepts under this category include power, ideology, law, sovereignty, and "the people." This approach is fundamentally concerned with the mechanics of how politics works.

In contrast, normative political theory is concerned with advocating for specific moral ideas within the political sphere. It addresses concepts such as justice, fairness, right, and merit. The primary focus of normative political theory is not on the current state of affairs, but rather on how politics should work from a moral or ethical perspective.

Historical Timeline of Western Political Thought

The history of Western political thought is generally divided into four major eras. The Ancient period spans from $500\text{ BC}$ to $500\text{ AD}$ and is primarily characterized by Greek and Roman thought. The Medieval period follows from $500\text{ AD}$ to $1532$, during which Christian political thought dominated. The Modern era began in $1532$ and continued until $1950$. Finally, the Contemporary era of political thought is categorized as starting in $1950$ and continuing through to the present day.

Major Modern Developments in Political Theory

Four significant developments define the modern political landscape: state sovereignty, capitalism, democracy, and liberalism. State sovereignty refers to a world organization where territory is divided into exclusive areas, each possessing a political authority that is supreme within its own borders. This concept finds its origin in the $1648$ Treaty of Westphalia. Capitalism is an economic system characterized by the private ownership of the means of production, where production is guided and income is distributed through market operations. Its origins trace back to the $17\text{th}$ century in England, the $18\text{th}$ century in France and the United States, and the $19\text{th}$ century in Germany.

Democracy is defined by political authority and governance that is established and legitimized through universal suffrage, specifically marked by the rise of representative democracy over direct democracy. Its origins are linked to the American Revolution in $1776$ and the French Revolution in $1789$. Liberalism is a political doctrine that prioritizes the protection and enhancement of individual freedom as the central goal and problem of politics. It emerged as a distinct doctrine in the $19\text{th}$ century across France, Great Britain, the United States, and Germany. Modern liberal democracy is often understood as the intersection of liberalism and democracy.

The History and Etymology of Liberalism

Liberalism is a relatively recent political ideology in terms of its nomenclature. The term was first used in $1812$ in Spain and became commonplace across Europe and North America by the $1820\text{s}$. The etymological roots of the word are found in the Latin terms "Liber," meaning free and generous, and "Liberalis," which refers to what is befitting of a freeborn person. Historically, the Oxford English Dictionary notes that in $12\text{th}$-century Old French, terminal "liberal" meant free in giving, generous, benevolent, or magnanimous. By approximately $c1200$, it referred to studies, arts, or professions suitable for a free or noble person.

Historically, the concept of being "liberal" evolved through different stages. For the Ancients, it meant being generous to society through one's talents, money, and life. In the Christian Middle Ages, liberalism was associated with the virtue of charity. In the early modern period, it transitioned into being generous toward the public good. As noted by the scholar Rosenblatt, by the mid-seventeenth century, Europeans had regarded liberality as a necessary virtue for over $2000$ years, forming a long-standing liberal tradition.

Nineteenth-Century Liberalism and its Institutions

The central question of $19\text{th}$-century liberalism was how modern subjects could remain free and generous individuals (liberal) in the face of powerful new social forces like capitalism and democracy. Democracy was viewed both as a political threat (in the form of extremism and the tyranny of the majority) and a psychological threat (the fear that culture would be reduced to the lowest common denominator). Consequently, the main institutions of liberalism were created as a counter-majoritarian reaction against democracy. These institutions include individual rights, the division of powers, the rule of law, judicial neutrality and independence, judicial review, and protections for tolerance and pluralism. Progressive taxation was also developed in this era as a response to the forces of capitalism. Ultimately, liberalism is a $19\text{th}$-century doctrine with ancient roots, aimed at taming modern social and political forces to protect individual freedom.

The Five Strands of Liberalism

Liberalism is categorized into five distinct strands, each with its own key ideas, institutions, and representative authors.

The first strand is Liberalism as Restrained Government Power. This strand focuses on limiting state power through institutions like the rule of law, the division of powers, and individual rights. Key authors include John Locke, the American founding fathers, Isaiah Berlin, and Judith Shklar.

The second strand is Liberalism as Free Markets and Economic Interactions. This approach emphasizes achieving freedom and prosperity through economic activity. Its key institutions are freedom of contract and open markets. Major figures include thinkers of the Scottish Enlightenment such as David Hume and Adam Smith, as well as proponents of libertarianism and neoliberalism.

The third strand is Liberalism as Human Progress. The core idea is to provide freedom and support for individuals to become the best versions of themselves, thereby improving humankind. Key institutions include schools, universities, and cultural industries like museums and a free press. Representative authors include Mary Wollstonecraft, Georg Wilhelm Friedrich Hegel, and John Stuart Mill.

The fourth strand is Liberalism as Equality and State-Regulated Welfare. This strand asserts that the liberal state must guarantee equality of opportunity for all citizens. Key institutions include progressive taxation and social services like public hospitals and schools. Important authors include John Rawls, the "liberal egalitarians," and Thomas Piketty.

The fifth strand is Liberalism as Pluralism and Tolerance. It holds that the liberal state should not be based on a single thick conception of "the good life." Key institutions include freedom of speech, freedom of opinion, immigration, and internationalism. Key authors include John Milton, John Locke, Voltaire, and various multi-cultural liberals.

John Locke on Legitimacy and Political Power

John Locke ($1632-1702$) is a foundational figure in liberal thought, particularly concerning the concept of legitimacy. Legitimacy is defined as the recognition of the right to govern; it involves the justification of political power and the reasons for obedience to it. Locke’s "Second Treatise of Government" addresses the problem that political power is essentially and inevitably coercive. He argues that political power can only be justified if those subject to it have reason to endorse it from their own perspective. In Locke's framework, political power is legitimate only if it secures the consent of the governed.

Locke's work was written during the political context of the Exclusion Crisis ($1678-81$). While the "Two Treatises" were written in $1678$, they were not published until $1690$. Intellectually, Locke was writing a polemic against Sir Robert Filmer ($1588-1653$), the author of "Patriarcha, or the Natural Power of Kings." Filmer defended the divine right of kings, arguing that the King’s absolute power comes from God alone. Locke’s "Second Treatise" was written as an alternative foundation for government based on reason and consent rather than divine right.

The State of Nature in Political Theory

The State of Nature (SoN) is a conceptual tool used to explore hypothetical pre-social conditions where individuals exist without organized government. Different thinkers hold varying views of human nature and the resulting condition of the SoN. Thomas Hobbes viewed it as chaotic and violent; Jean-Jacques Rousseau saw it as simple, happy, and harmonious; and John Locke described it as a state of freedom and equality.

Locke defines the State of Nature as "men living together according to reason, without a common superior on earth, with authority to judge between them" ($§19$). This state exists when there is no shared temporal authority on earth to adjudicate disputes and when people live according to reason. Consequently, the SoN is not a political society (since there is no common judge), and it is not necessarily a state of war (as long as people follow reason and the law of nature).

Locke identifies three types of the State of Nature:

1. Pre-political or "primitive" societies.
2. Situations involving absolute sovereigns, who remain in a state of nature relative to their subjects because there is no independent authority to judge between them.
3. Relations between sovereign states in international relations, where no global superior exists.

The Defects of the State of Nature and the Commonwealth

According to Locke, the State of Nature is a state of perfect freedom for men to order their actions and dispose of their persons and possessions within the bounds of the law of nature, without depending on the will of others ($§4$). It is a state of equality because freedom is universal, and harmony is maintained by the law of nature which limits freedom. However, the enjoyment of these rights is uncertain and constantly exposed to invasion by others. Locke notes that because most men are not strict observers of equity and justice, property—defined as life, liberty, and possessions—is unsecure in the SoN ($§123$).

The SoN has three primary defects that drive men to join political society or a "Commonwealth" (CW):

1. The lack of an established, settled, known law received by common consent as the standard of right and wrong ($§124$). The CW remedies this by providing a Legislature.
2. The lack of a known and indifferent judge with authority to determine differences according to established law ($§125$). The CW remedies this by providing a Judiciary.
3. The lack of power to back and support a sentence when it is right and to ensure its execution ($§126$). The CW remedies this by providing an Executive.

The Preservation of Property and the Principle of Consent

The fundamental purpose of men uniting into commonwealths and putting themselves under government is the preservation of their property, which is often lacking in the state of nature ($§124$). The transition from the State of Nature under natural law to the Commonwealth under civil or political law is governed by the principle of consent. The foundational formula for Locke is:

$\text{Government} = \text{Consent of the Governed}$

In this context, consent is not defined as a consensus on every passing issue. Instead, it is a reasonable faith that the trust placed in the government to preserve one's property—life, liberty, and possessions—is being honored ($§99$). The State of Nature provides the basic principle of the Commonwealth (the preservation of property), while the Commonwealth provides the institutional remedies (legislature, executive, and judiciary) to the inherent defects of human limitation in the state of nature, such as impartial judgment, enforcement power, and full knowledge of the law of nature.