In order to understand Locke, we must begin with his epistemology as
put forth in his An Essay Concerning Human Understanding
(1690), a work that took him 20 years to complete. The underpinning
philosophical foundations of Locke's political thought are found in
this work in which he discusses the nature of the world as it is known
to us and the ways whereby we come to know it. Locke set out to
inquire into the nature, origin, sources, certainty, and extent (or
limits) of human knowledge. In this essay, Locke's interest centers on
the nature of reality, God, and the grounds of our knowledge of them.
Locke agrees with
Descartes' cogito that the existence of the self is implied in
every state of consciousness. The notion that "I think, therefore, I
am" implies the prior certainty of consciousness (i.e., that
consciousness precedes consciousness of objects). What both mean to
say is that every idea of which a person is conscious is an
affirmation of his existence as the subject of that experience.
Although consciousness is an axiom, it is not the primary one that the
above inversion appears to make it. The irreducible foundational axiom
is that there must first be something that exists of which a person
can be aware. It would have been better if Locke had written that
consciousness, the second axiom, is the faculty of perceiving that
which exists. There must first be something. If nothing exists, then
there is nothing about which to be conscious.
Expressing humility about
what men are capable of knowing, Locke states that our knowledge
extends no further than our ideas. He teaches that our knowledge is
bounded and that some things exceed the mind's comprehension.
According to Locke, knowledge is restricted to ideas, no ideas are
innate, and ideas originate from sense experience. The mind is
tabula rasa (blank sheet) until a person experiences the external
world. Without experience, nothing is written on the "tablets" of the
mind. Being originally blank, the human mind gains knowledge through
the use of the five senses and a process of reflection. It is data
from the external world that triggers the operations of the mind.
A notable exponent of
empiricism, Locke attacks Descartes' doctrine of innate ideas and
ridicules the view that ideas can be antecedent to experience. Ideas
produced by sensations are in the mind and are indications in us of an
external reality. A sensation is the product of a man's experience
with the external world. Locke makes sensations (like tall, brown, and
solid) prior to percepts. He says that the mind brings the sensations
together to form the percept "tree." Attributes, rather than entities,
are thus primary for Locke. Locke explains that when we observe an
object ideas enter our minds single file and that ideas of different
qualities of an object enter through different senses.
Sensations tell us about
things and processes in the external world. Locke says that ideas are
caused by the real world but they do not permit us to see that world
as it is in itself. External experiences, called sensations, give us
ideas of supposed external objects. He explains that we know ideas but
we really do not know objects or things-in-themselves. What is known
by one's mind is not the thing-in-itself but rather the representation
of the thing that the mind was able to assemble. Holding a
representationalist theory of perception, Locke contends that the mind
perceives ideas and ideas are caused by and represent the objects that
cause them. He states that consciousness is the perception of what
passes in a man's own mind and what the mind grasps is not reality but
ideas of reality. It follows that we are aware of the idea that is
between consciousness and existence.
Locke speaks of all the
objects of understanding (i.e., the ideas) as being in the mind. He
uses the term, idea, so vaguely and broadly that it includes, at
various times, sensations, percepts, representations, images,
concepts, and notions. Locke explains that there are innate faculties
through which the mind perceives, remembers, and combines ideas that
come to it from without. He says the mind is also capable of desiring,
deliberating, and willing. Our faculties of knowing are thus innate
although our ideas are not. The processes which transform the material
provided by the senses into knowledge are activities of the mind which
themselves cannot be reduced to ideas. These mental activities are the
source of a new class of ideas. These are ideas of an internal reality
– ideas about the activity of our minds which are the product of
reflection. Ideas of reflection involve perceiving, thinking,
believing, reasoning, knowing, doubting, willing, and so on.
In Locke's theory of
knowledge, which is limited to mental content, it is impossible to
prove the actual existence of supposed objects. Locke admits the
existence of substances but claims they are unknowable. By asserting
that phenomena alone are knowable, he distanced the realm of the known
with the realm of the knower. Locke's theory of knowledge is isolated
from reality and unable to break through the phenomenalism in which it
is encompassed to reach metaphysical data. For example, Locke refers
to and uses the principle of causality while denying its validity
because it exists in the real world of real objects and beings outside
of one's mind. We could say that Locke is an empirical phenomenalist.
Locke's notion of ideas
as intermediary and representational ultimately became for Kant the
phenomenal world. Locke's view led to the skepticism of Hume and
Kant's two-world dualism. Locke unintentionally opened the door and
paved the way for Kant's epistemological dualism which constituted an
all-out attack on the mind's ability to know reality.
According to Locke, there
are two types of experience (sensation and reflection) and ideas are
either simple or complex. Simple ideas are obtained from sense
experience and through reflection the mind can combine simple ideas
into complex ones. Reflection tells us about the operations of our own
minds. We cannot have the experience of reflection until we have
already had the experience of sensation. Simple ideas comprise the
source of the raw materials out of which our knowledge is constructed.
Complex ideas are built by the mind as a compound of simple ideas. The
mind is able to bring ideas together, combine them, and abstract from
them.
Both sensation and
reflection can produce simple ideas. For sensation, simple ideas are
referred to as sensible qualities and can be divided into primary and
secondary ones. According to Locke, primary qualities really do exist
in the objects themselves and secondary qualities produce ideas that
have no counterpart in the objects. He distinguishes between the
primary qualities, which are objective, and the secondary qualities
which are subjective. Primary or mathematically determinable qualities
of an object actually exist in the world and secondary qualities do
not exist in objects as they exist in ideas. Primary qualities include
solidity, extension, figure, motion or rest, and number. Examples of
secondary qualities are colors, sounds, tastes, odors, and so on.
Locke sees these qualities as attributes as stuck into a substratum
which he calls "something I know not what." The substratum is a
substance in which qualities are said to subsist. Of course, we know
that this view is wrong and that an entity is simply the sum of all of
its attributes.
Complex ideas are said to
be either ideas of substances or ideas of modes. Substances are
independent existences such as God, angels, human beings, animals,
plants, and constructed things. Mixed modes are dependent existences
such as moral and mathematical ideas and the languages of religion,
politics, and culture. Locke explains that ideas of substances are
compounded from simple ideas but which are intended to represent real
objects rather than abstractions. These ideas of substances name the
objects of our concern as the underlying realities that support the
qualities known to us through sensations. Locke says that these ideas
of substances are real because they are combinations of simple ideas
as really co-existing and united in things outside of us. On the other
hand, mixed modes refer to abstract ideas that have no counterpart in
external reality and have only a purely intellectual existence. Mixed
modes include ideas put together at the pleasure of the mind. Examples
of mixed modes are ideas of justice, obligation, liberty, and so on.
Locke explains that mixed modes are identical with archetypes within
our own minds and created by our minds out of simple ideas.
In a similar manner,
Locke goes on to complete his classification of ideas with ideas of
relation. Locke explains that knowledge involves relations and
relations are the work of the mind. He gives the example of the notion
of moral relations arising from the idea of God compounded with ideas
of pleasure and pain. He explains that from the constant association
of pleasure and pain with our actions we recognize rules of behavior
that specify what is good and bad. Locke will later go on to determine
rights from the relations that exist between God and man.
According to Locke, we
know that we exist with the highest degree of certainty and we know
that God exists with the second highest degree of certainty. The
notion of God is an idea of substance constructed from simple ideas
such as existence, knowledge, duration, pleasure, pain, happiness,
power, and infinity. The idea of God is deduced from a person's
intuitive knowledge that he exists as a conscious human being and that
something greater must have caused him. By inference, he has the idea
of an eternal, most knowing, most powerful, being of pure
consciousness. The idea of God as creator, the first efficient cause
of everything that exists, leads Locke to the conclusion that God is
the legislator of the rules of behavior. Locke's notion of the moral
good is inextricably tied to the idea of a God who is greatly
concerned with our happiness. He says that through our reason we can
discover the moral rules that conform to God's law. Although we cannot
know the mind and reasons of God or the ultimate why and wherefore of
things, we can understand the how of things as revealed in the
processes of the world.
With respect to free
will, Locke explains that the mind has the power to suspend the
execution and satisfaction of its desires and is free to consider,
examine, and weigh them alongside others. Men can voluntarily control
their thinking. They can choose to employ or to withhold their
conceptual faculty. Locke says that people are able to control their
passions. Because men can exercise their freedom by thinking about the
consequences of their actions and then deciding what to do, they can
be held morally and legally responsible for their actions. Locke views
each person as a free moral agent who possesses sufficient reason to
guide and order his own life.
Political and Ethical Theory |
Locke's First Treatise of Government was a polemical work
refuting the doctrine of the Divine and Absolute Right of Kings that
was supported by Sir Robert Filmer. Locke systematically attacks
Filmer's thesis that royal power is similar to parental authority,
that is predicated upon, and descended from, the power of the first
king, Adam.
Locke's The Second
Treatise of Government contains the key elements in Locke's
political theory including the state of nature, natural law, natural
rights, social contract, government consent and the right of property
ownership. It is in this work that Locke explains that the function of
legitimate civil government is to preserve the rights of life,
liberty, health, and property of citizens and to prosecute and punish
those who violate the rights of others. The Second Treatise is
by far Locke's most influential work.
For Locke, the state of
nature is not Hobbes' "war of all against all." Unlike Hobbes, Locke
does not equate the state of nature and the state of war. Locke refers
to the original state of nature as the great natural community of
mankind. This state of nature is a state of freedom where men are able
to order their actions and dispose of their possessions as they see
fit. He maintained the original state of nature was generally pleasant
and characterized by reason and tolerance. In this prepolitical
society men are free, independent, and the equal of every other human
being. The state of nature is one of peace, good will, mutual
assistance, and preservation in which all power and jurisdiction is
reciprocal. In this state, there is no natural superior or inferior
and a man must protect himself and his own the best he can. Natural
freedom derives from natural equality.
Locke explains that men
in the state of nature know the moral law through reason and that the
state of liberty is not a state of license. He says that the natural
liberty of man is to have only the law of nature for his rule. The
state of nature is not devoid of law. Everything that is ever right or
wrong is so eternally. A person's freedom and actions are regulated by
natural law which obliges everyone. Reason teaches all mankind that,
being all-equal and independent, no one ought to harm another in his
life, health, liberty, or possessions. Nature makes every man an
executioner of the law with authority to punish wrongdoers. Locke says
that everyone is bound to preserve himself and that natural man, being
social, ought to preserve the rest of mankind. The law of nature needs
an executor. Because there are aggressors, even in the state of
nature, this executive power is given to every man who has the right
and obligation to restrain offenders and to protect the innocent. In
the state of nature, everyone has the executive power of the law of
nature and is obliged to preserve himself and to preserve all mankind.
An aggressor is to be treated as an individual unfit to associate with
human beings and as a threat to all mankind. Despite the presence of
aggressors, we can safely say that Locke's state of nature is not
nearly as violent as Hobbes'. In Locke's state of nature, a sometimes
precarious peace prevails.
The state of nature
involves men living together according to reason without a common
superior with authority to judge among them. In the state of nature
there is an absence of a common judge and the absence of any law
except the law of nature. A state of peace exists when men live
together and there is no use of force without right. The state of war
involves the use of force without right, justice, or authority. In
civil society there exists a common judge with authority to enforce
civil laws. Both in the state of nature and in civil society sometimes
a state of peace may dominate and at other times a state of war may
prevail. Whenever force is instituted, a state of war exists. They can
occur in either the state of nature or in civil society.
The state of nature
involves the state of war because of the passionate nature of man.
According to Locke, the moral law, the law of God, is always valid but
it is not always kept. Natural justice exists even if the state does
not exist. Moral rights and duties are intrinsic and prior to positive
law. Positive laws add nothing to the ethical nature of conduct but
simply provides a mechanism for effective enforcement. The moral rules
established by God are valid whether observed by government or not.
Locke says that men recognize that the laws of nature constitute moral
obligations for them.
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