Locke

Chapter One

The Quintessential Modern Philosopher

Locke’s significance

Of all modern philosophers, John Locke has had the profoundest influence on the world we live in, and most embodies its guiding principles. Other modern philosophers might have been greater philosophers, by whatever standards we are to judge philosophical greatness. Perhaps a Descartes, Hume, or Kant excelled Locke in originality, in depth and breadth of philosophical vision, or even in just getting things right. One could certainly make that case. But no other thinker has been more representative of paradigmatically modern attitudes toward science, politics, and religion, or more directly responsible for shaping those attitudes. Descartes is usually called the father of modern philosophy, and with good reason, but Locke, more than any other philosopher, has a claim to being the father of modernity in general. If we want to understand ourselves, we need to understand him, for our world is to a very great extent a Lockean world.

Modern Westerners do not put much stock in authority or tradition as a source of moral or theoretical guidance, tending instead to regard empirical science as the paradigm of knowledge and rationality. Yet they are, at the same time, inclined to be doubtful that very much in the way of strict knowledge (if that entails certainty) is really possible, even in science. All of these attitudes have their roots in Locke, and find their classic philosophical expression in his Essay Concerning Human Understanding. Modern Westerners also tend to combine a very high regard for the freedom of all human beings to practice whatever religion they see fit with a deep skepticism about the objective defensibility of most particular religious dogmas. These too are very Lockean attitudes, and Locke’s Letter Concerning Toleration did more to propagate them than perhaps any other book.

In no other country are these attitudes more prevalent than in that most Lockean of nations, the United States of America. There too the rhetoric of liberty, whether political, economic, or religious, rings loudest, as does (in some quarters anyway) the theme that a free society rests on the recognition of a divine Lawgiver to whom all people and governments are ultimately answerable. Here perhaps is where Locke’s influence on the modern world has been most profound. For the defense of the rights of the individual against the power of the state was the great theme of Locke’s Second Treatise of Government; and whatever his ambivalence about the theological details on which various religious traditions disagree, he was adamant about the general proposition that those rights have a theological foundation – albeit in a distinctly modern, Enlightenment-style theology with which his medieval predecessors would not have been entirely comfortable. For Locke, whether or not reason can settle disputes between various sects over fine points of doctrine, it can at least reveal to us that there is a God, that that God has granted us certain rights, and that these rights put severe constraints on the ambitions and power of human governments. Prominent among these rights in Locke’s account are the rights to private property and, more generally, to the fruits of one’s labor, so that the Lockean understanding of rights has always been associated as much with the defense of the modern free market economy as it has with limited government and religious liberty. Through the English political tradition and the impact it has had on the former colonies of the British Empire, and especially through the American founding fathers and the nation they created, all of these ideas were to have a profound impact on the history of the last three centuries.

That this impact is as great today as it ever was is evident from the history of the post-9/11 world. In defending recent American foreign policy, and in particular his administration’s commitment to spreading political, religious, and economic freedom around the globe, U. S. president George W. Bush has said repeatedly that freedom is the almighty God’s gift to each man and woman in this world. Some commentators have been prone to dismiss such sentiments as either an unsophisticated throwback to less Enlightened pre-modern times or mere political boilerplate. This is a mistake, and not a small one. In fact, the president’s words reflect (whether knowingly or not) the Lockeanism that has frequently underlain American thinking about political matters, and for that very reason they reflect the most influential and sophisticated political theory of the Enlightenment era. Many today, including many intellectuals of a religious bent, still sympathize with this Lockean view of the relationship between politics and theology. Of course, many others find it troubling; certainly the president’s rhetoric has been controversial. But whatever one’s opinion of these ideas, it is crucial that one properly understand them, and thus that one understand Locke’s rationale for approaching questions of political philosophy in the manner he did.

I have said that that rationale is a sophisticated one, but that does not mean that it is unproblematic. Probably the majority of contemporary philosophers would no longer endorse its theological basis, though there are still some who would. Even aside from the question of religious foundations, though, there are significant tensions in the Lockean political project, and they are, by no means coincidentally, some of the very same ones that beset us in contemporary political life: tensions between a modern scientific vision of mankind and a recognition of human dignity and human rights; between a minimalist and empirically-oriented theory of knowledge and ambitious and controversial moral and metaphysical claims about the nature of persons; and between individual liberty of thought and action and the prerequisites of a stable, free, and just society. Whether these tensions can be resolved is not just a question of interest to scholars of Locke’s philosophy; it is of great consequence to all of us.

There are well-known problems too with the more technical aspects of Locke’s philosophy, namely the epistemological and metaphysical theses with which he sought to provide a philosophical foundation for modern science. Those who value modern science or, more generally, sympathize with the general spirit of Locke’s theory of knowledge – empiricist, individualist, anti-authoritarian – need to consider whether something like his way of grounding these things can ultimately be defended. In the intellectual realm as much as in the political realm, Locke’s theme was freedom, but a freedom exercised within definite moral and rational constraints. It is important to determine whether Locke’s conception of freedom, in either the intellectual or the political sense, ultimately coheres with the constraints he wanted to put on it – and if not, then which element, the freedom or the constraints, ought to be abandoned.

As we will see in the chapters to follow, many of the difficult questions raised by Locke’s project derive from his peculiar position in the history of thought. Locke straddles the medieval and post-modern worlds, the age of faith and the age of skepticism and secularism. Locke and his fellow early modern philosophers rejected many elements of the medieval worldview, but maintained others, even if sometimes in an altered form. What we have inherited from these philosophers includes both their rejection of some of these elements and their retention of others, though contemporary thinkers are inclined to reject even more aspects of the medieval inheritance than the early modern ones did. Some crucial questions we will need to consider are whether Locke can consistently reject those aspects of the medieval worldview that he does reject while maintaining the positive claims he wants to defend – and also whether we contemporary Westerners can consistently keep those aspects of our Lockean and medieval inheritances that we like while rejecting those we would rather do without.

Properly to understand Locke’s philosophy will in any event require understanding the medieval Scholastic tradition he was reacting against, as well as the philosophical and scientific context of the early modern period that formed the milieu in which he thought and wrote. The next chapter will sketch out this intellectual background, and succeeding chapters will explore the development of Locke’s thought in his three most important works, namely the Essay, the Second Treatise, and the Letter Concerning Toleration already mentioned. The final chapter will assess Locke’s ultimate significance and continuing relevance for the contemporary world.

Locke’s life and character

First, though, a brief look at Locke’s life is in order, for the events of that life are by no means irrelevant to an understanding of his work. He was born to Puritan parents of modest means, near Bristol in England, in 1632, the year Galileo published his Dialogue Concerning the Two Chief World Systems. In 1652 he began study at Christ Church, Oxford, where he quickly grew dissatisfied with the still-reigning medieval Aristotelianism he was taught; he would later become acquainted with the works of contemporary thinkers like Rene Descartes (1596–1650) and Pierre Gassendi (1592–1655). After graduating, he pursued what was to become a lifelong interest in modern medicine, and also began a friendship with the chemist Robert Boyle (1627–91), one of the great scientists of the age. The Puritan influence, and especially the influence of modern philosophy and modern science, would dramatically shape the philosophical positions Locke was to develop through the course of his life.

In 1666, Locke met Anthony Ashley Cooper, who was later to become the first Earl of Shaftesbury, and began what would be perhaps the most important association of his career. Locke would join Shaftesbury’s household in London as his advisor and personal physician, and directed a medical operation which saved Shaftesbury’s life. Their friendship was to bring Locke into the center of the political controversies of the day, especially after Shaftesbury began actively opposing the policies of Charles II. The trouble this caused Shaftesbury may have contributed to Locke’s decision in 1675 to leave England for France, where for three and a half years he consorted with some of the leading intellectuals of the day.

Not long after Locke’s return to England, Shaftesbury was again embroiled in controversy related to his opposition to Charles, who had dissolved Parliament after it attempted to pass a law blocking Charles’ Catholic brother James from succeeding him on the throne and reestablishing Catholic control over England. Shaftesbury was involved in a movement to put the Protestant Duke of Monmouth on the throne instead, and his activities led to imprisonment in the Tower of London and, eventually, exile to Holland, where he died in 1683. Associated as he was with Shaftesbury, Locke’s position in England soon became precarious, and he fled to Holland himself soon after Shaftesbury did. These events clearly had an impact on the development of Locke’s political philosophy, not only where his opposition to absolute power and defense of individual rights and resistance to tyranny were concerned, but also on his conception of religious toleration, which granted a very wide range of latitude for religious dissent but is also generally understood to have excluded Catholics from the right to toleration.

Locke again returned to England in 1689, after the Glorious Revolution succeeded in enthroning the Protestant monarchs William and Mary. It was not long before the three major works – the Essay Concerning Human Understanding, Two Treatises of Government, and A Letter Concerning Toleration – were published, though Locke had been working on them for years. Only with the Essay did Locke publicly acknowledge authorship, however, reluctant as he apparently was in the still delicate political climate of the immediate post-revolutionary period to be too blatantly associated with ideas as radical as those expressed in the Letter and Two Treatises. Nevertheless, he was active in politics for most of the remainder of his life, and was made Commissioner for Appeals and a Commissioner for Trade, the latter position involving him in the affairs of England’s colonies.

In 1691 Locke moved to Essex and spent many years thereafter in the household of Sir Francis and Lady Masham, the latter of whom had long been a friend of Locke’s, and was the daughter of the eminent Cambridge Platonist Ralph Cudworth (1617–88). He published several further works, including a Second and Third Letter for Toleration (in 1691 and 1692 respectively), Some Thoughts on Education (1693), and The Reasonableness of Christianity (1695). The last of these works evinces Locke’s tendency toward a minimalist theology, advocating as it does a simplified conception of the essence of Christianity. The Essay too had evinced unconventional theological views, and their soundness was challenged by Edward Stillingfleet, the Bishop of Worcester, with whom Locke engaged in an ongoing public dispute. But there were more friendly intellectual exchanges too in his later years, for instance with the likes of the scientist William Molyneux, as well as with Isaac Newton, with whom Locke shared interests not only in science but also theology and biblical studies. Indeed, Locke’s final years were devoted to writing a commentary on the epistles of St. Paul.

Locke died in 1704. He never married, nor, as far as we know, did he father any children. He was also, as we have seen, frequently on the move. He did, however, have many lasting friendships, and as has been mentioned, he found in some of them a means of supporting himself. All of this enabled him to live fairly comfortably and in a manner that provided him much leisure to think and write. His religious convictions were deep, idiosyncratic, unsentimental, decidedly Protestant, and staunchly anti-Catholic. He was somewhat introverted and of a highly sensitive temperament, but not given to excessive emotion or frivolity. He was extremely careful with his money, and known to be generous to poor people who were simply down on their luck, but contemptuous of those who were shiftless and dissolute. To live, he once said, is to be where and with whom one likes. It seems fair to say that the kind of independence which Locke defended so vigorously in the intellectual and political realms found a parallel in the independence with which he preferred to live his own life – an autonomy in thought and action exercised with a sober religiosity, moderation, and reasonableness.

FURTHER READING

General introductions to Locke’s philosophy include John W. Yolton, Locke: An Introduction (Oxford: Blackwell, 1985), Nicholas Jolley, Locke: his Philosophical Thought (New York: Oxford University Press, 1999), Garrett Thomson, On Locke (Belmont, CA: Wadsworth, 2001), John Dunn, Locke: A Very Short Introduction (Oxford: Oxford University Press, 2003), and E. J. Lowe, Locke (London: Routledge, 2005). Vere Chappell, ed., The Cambridge Companion to Locke (Cambridge: Cambridge University Press, 1994) is a useful collection of essays introducing various aspects of Locke’s thought. John W. Yolton, A Locke Dictionary (Oxford: Blackwell, 1993) contains short articles on all the main concepts in Locke’s philosophy. C. B. Martin and D. M. Armstrong, eds., Locke and Berkeley: A Collection of Critical Essays (Garden City, NY: Anchor Books, 1968) is an older anthology, but still useful. Maurice Cranston, John Locke: A Biography (London: Longman, 1957) is the standard work on Locke’s life. The statement from Locke cited above is quoted on p. 10 of Thomson’s book.

Chapter Two

Locke in Context

The Scholastic tradition

The modern period in philosophy begins roughly in the seventeenth century, with precursors in the Renaissance and Reformation eras. Early modern philosophy is defined more than anything else by its rejection of the fundamental metaphysical and methodological assumptions of the medieval Scholastic tradition. This is no less true of Locke’s work than it is of the work of Descartes or Thomas Hobbes (1588–1679); indeed, Locke’s Essay simply cannot properly be understood without a basic grasp of the Scholastic concepts and methods he is attacking.

Scholasticism was the philosophical tradition associated with the schools or universities of the late Middle Ages. It would be far too crude to speak of it as if it comprised a single unified system of doctrine that was universally accepted in all of Europe throughout the medieval period, though this caricature is common. In fact there was a great diversity of opinion. But there were nevertheless several themes deriving mainly from Aristotelianism that came eventually to predominate. Aristotle (384–322 BC), of course, was with Plato (429–347 BC) one of the two greatest thinkers of ancient Greece. Various developments of Plato’s thought, such as the version associated with St. Augustine (AD 354–430), dominated Western philosophy until about the twelfth century, when Aristotle’s works, many of which had for centuries been unavailable to scholars in Western Europe, were translated into Latin from the versions preserved in the Islamic world. The impact made by these newly accessible writings was enormous. Aristotle, who had been as much a scientist as he was a philosopher, had put together a system of thought unparalleled in scope and power, and many came to regard his views as the first word, and indeed perhaps the last word, on the subjects with which he dealt. So great was his influence that eventually he supplanted Plato and other philosophers of antiquity in prestige, and came to be referred to simply as the Philosopher. The contributions of other thinkers were often regarded as having validity mainly to the extent to which they could be incorporated into a broadly Aristotelian worldview; and the task of reconciling Aristotelianism with the Christian theological doctrine that then prevailed became a pressing one. St. Thomas Aquinas (1225–74) was more responsible than anyone else for carrying out this synthesis of Aristotle both with the lasting contributions of other philosophers and with Christianity. Thomism, as St. Thomas’s system is known, was accordingly one of the most important influences on the late Scholastic philosophers against whom thinkers like Descartes and Locke were reacting. It will be worthwhile, then, as a prolegomenon to our study of Locke, to examine some of the key ideas of Aquinas and the other Scholastics.

Perhaps the most crucial philosophical concept of the classical tradition that the Scholastics inherited from Plato and Aristotle is the concept of form. The form of a thing is its organizational structure, something irreducible to the sum of its parts, which gives it its distinctive properties and capacities. Even if a computer and a television set are composed of the same sorts of materials – plastic, steel, glass, etc. – they are different sorts of thing and perform different functions because those materials are organized in different ways. Form is not reducible to a mere configuration of physical parts, though. Consider the form of a triangle. No triangle existing in nature perfectly exemplifies triangularity, because any such triangle – whether drawn on a chalkboard, printed in a book, or whatever – is going to have certain flaws, such as the lack of perfectly straight sides. It is also going to have certain features, such as being of a certain specific size or color, which have nothing to do with the form of a triangle per se: even if any given triangle is going to be either red, or green, or black, or whatever, and is going to have a base of such-and-such a length, there is nothing about triangularity as such that requires any particular color or size. So triangularity is not identifiable with any physical feature of any particular triangle.

Another reason the form of a triangle cannot be identified with anything material is that there are certain truths about triangles, such as that their angles add up to 180 degrees, that are necessary truths in the sense that they could not possibly have been otherwise. Had things gone differently, you might have decided to read another book instead of this one, but no matter how different the world might have been, the angles of a triangle would never have added up to anything other than 180 degrees. But if the truth that the angles of a triangle must add up to 180 degrees is a necessary one, something true come what may, then it is true whether or not any particular physical triangles actually exist. And thus it cannot be a truth about something material. For the same reason, though, it cannot be about something existing only in the mind. The angles of a triangle add up to 180 degrees whether we want them to or not; this is something we discover, not something we invent, and it would remain true forever even if every human being were to