Can Empirical Natural Rights be viewed as metanormative principles?

 

Prior to attempting to answer the question posed above I briefly outline the concept of individual rights as metanormative principles - as discussed by Douglas Rasmussen and Douglas Den Uyl - and consider the alternative approach that John Hasnas has adopted in his discussion of empirical natural rights.

Rights as metanormative principles

In their book, Norms of Liberty (published in 2005) Douglas Rasmussen and Douglas Den Uyl note that a rule qualifies as metanormative if it “seeks not to guide individual conduct in moral activity, but rather to regulate conduct so that conditions might be obtained where moral action can take place”. (p. 34) They argue that, as metanormative principles, individual rights solve a problem that is uniquely social, political, and legal. They describe the problem as follows:

“How do we allow for the possibility that individuals might flourish in different ways (in different communities and cultures) without creating inherent moral conflict in the overall structure of the social/political context—that is the structure that is provided by the political/legal order? How do we find a political/legal order that will in principle not require that the human flourishing of any person or group be given structural preference over others? How do we protect the possibility that each may flourish while at the same time provide principles that regulate the conduct of all?” (p. 78)

Recognition of individual rights solves the problem because it protects individual self-direction and enables individuals to flourish in different ways, provided they do not interfere with the rights of others.

The “instrumental moral value” of empirical natural rights

I was prompted to ask myself the question posed above as I was re-reading part of John Hasnas’s book, Common Law Liberalism (2024).

As I noted in an earlier essay published here, Hasnas offers an alternative conception of natural rights – empirical natural rights (ENR) – that evolve in the state of nature. He then proceeds to argue that ENR form a good approximation to individual rights as propounded John Locke.

Hasnas claims that he “can offer no argument that empirical natural rights have any intrinsic moral value.” He then goes on to argue that ENR have “instrumental moral value regardless of the moral theory and general approach to ethics one adopts”:

“This is because empirical natural rights facilitate peaceful human interaction and peace is an important, if not pre-eminent moral value in virtually all moral theories.” (p. 150)

Hasnas then proceeds to discuss why peaceful human interaction is necessary for the realization of deontological, consequentialist, and Aristotelian moral theories.

I think I can understand why Hasnas has adopted that approach. If you want moral theorists from a variety of different traditions to see merit in a new concept that you espouse, it is helpful to be able to argue that the concept is in harmony with their traditions.

However, it would be preferable, it seems to me, to be able to argue that recognition of ENR provides the metanormative conditions that enable moral conduct to take place, and that individual rights over-ride other moral claims.

Would Hasnas have grounds for concern that Kantians and Utilitarians might reject ENR as a metanormative concept?

My first thought was that their reactions might depend on how the metanormative principle was stated. Kantians and Utilitarians would have no obvious grounds to object to ENR being recognized as metanormative principles on the grounds that they protect individual self-direction and enable individuals to “to use their knowledge for their purposes”, provided they do not interfere with the rights of others.

The quoted words are from the Friedrich Hayek quote in the epigraph. (Law, Legislation and Liberty, Vol. 1, p. 55.) It seems to me that use of one’s knowledge for one’s purposes comes close to the idea that human flourishing is best understood as “the exercise of one’s own practical wisdom.” As far as I can see, ENR are identical to the “rules of just conduct” referred to by Hayek.

Nevertheless, I think it is preferable to acknowledge the activity of flourishing explicitly because that is the best way to describe the human telos.

Would Kantians and Utilitarians object to a metanormative principle which recognizes that people seek to flourish in different ways?

I asked Chat GPT whether a person who subscribes to Kantian deontology would have grounds to object to my observation that they use their own practical wisdom to flourish. Here is part of her reply:

“They could argue that flourishing may occur as a byproduct of acting morally, but it is not the guiding principle. True moral worth arises when actions are performed out of respect for the moral law, not for the sake of achieving personal flourishing.”

When I think about it, I don’t think many Neo-Aristotelians would claim personal flourishing as their motive for acting with integrity toward others, even though they would view such behaviour as integral to their flourishing. People pursue the goods of a flourishing human because they perceive them to be good. The activity of flourishing is not about doing things that might raise one’s score in an imaginary index of individual flourishing.

From my reading, I don’t think many Utilitarians would raise strong objections to being told that they are seeking to flourish. At one point in On Liberty, J. S. Mill refers to “the judicious utilitarianism of Aristotle”, so it seems unlikely that he would have raised objections. Referring specifically to arguments for individual rights to be given an Aristotelian grounding, Leland Yeager suggests: “Such ‘Aristotelian’ arguments diverge from utilitarianism less in substance than in rhetoric.” (Leland B Yeager, Ethics as Social Science (Cheltenham: Edward Elgar, 2001) p. 222.

Conclusion

In discussing the normative significance of his concept of empirical natural rights (ENR) John Hasnas suggests that because they facilitate “peaceful human interaction” they have “instrumental moral value regardless of the moral theory and general approach to ethics one adopts.” I suggest that it would be preferable to be able to argue that recognition of ENR provides the metanormative conditions that enable moral conduct to take place, and that individual rights override other moral claims.

In exploring whether Kantians and Utilitarians might object to an argument for ENR to be viewed as metanormative principles I first suggested that they could have no objection to them being justified in Hayekian terms - recognizing that ENR protect individual self-direction and enable individuals to “to use their knowledge for their purposes”, provided they do not interfere with the rights of others.

It is possible that some Kantians and Utilitarians might object to a metanormative justification of ENR being framed in terms of allowing for “the possibility that individuals might flourish in different ways” on the grounds that they don’t recognize flourishing as a prime motivation for moral conduct. However, Neo-Aristotelians also pursue the goods of a flourishing human because they perceive them to be good rather than to raise their score in some imaginary index of personal flourishing.

 It seems to me that it would be very difficult for anyone who supports individual rights to object to them being viewed as metanormative principles. It would be almost as difficult to object to them being justified on the grounds that, among other things, they enable individuals to flourish in different ways.

Addendum

I have been thinking further about the question of whether there are reasons for anyone to object to a metanormative principle which recognizes that humans seek to flourish. It seems to me that to do that one would need to reject a description of human life that recognizes that it has inherent potentiality. For example:

“Humans, like all living things are teleological beings and have an inherent potentiality for their mature state – which is to say, they have what could be broadly called natural inclinations or desires to engage in activities that constitute their completion or fulfillment. They have a natural desire for their good.” (Douglas Den Uyl and Douglas Rasmussen, The Perfectionist Turn, p 237)

That observation owes a lot to Aristotle but is it not still consistent with what we know about humans from the findings of biology, neurology, and psychology?

Second Addendum

This is what ended up in the first draft of the article I am writing:

The idea that it is natural for humans to seek to flourish should not be controversial.[1] It follows from a description of human life that recognizes that “like all living things … [humans] have what could be broadly called natural inclinations or desires to engage in activities that constitute their completion or fulfillment.”[2] Nevertheless, it may be worth adding that recognition of individual rights as a metanormative principle also protects the choices of those who wish to follow the directions of religious leaders rather than to be self-directed, and even of those who are motivated to behave in ways that might detract from their individual flourishing - provided they do not interfere with the rights of others.

---

[1] I raise the issue because Hasnas seems to imply that Kantians and Utilitarians might have reason to object to the concept of flourishing because it is associated with Aristotelian moral theory. He argues that peace is consistent with deontological moral standards and makes the realization of the ends of consequentialist moral theory more likely, as well as well as being necessary for human flourishing. See: Common Law Liberalism, p. 150.

[2] Douglas Den Uyl and Douglas Rasmussen, The Perfectionist Turn (Edinburgh: Edinburgh University Press, 2016), p. 237. The authors note that knowing that a particular activity is good for you will not necessarily provide you with a reason or motivation to engage in it.

Should Libertarians be Attempting to Influence Culture: A Discussion with Winton Bates and Chris Matthew Sciabarra (III)

 

In this third instalment of our collaboration, we move on to consider more specifically how libertarians should respond to some illiberal tendencies in the cultures of the liberal democracies. The discussion focuses particularly on university culture.   

Before moving into that discussion, however, it is appropriate to outline some points from earlier editions of our collaboration to help readers to see where we are coming from.

First instalment

In raising the question of whether libertarians should be attempting to influence culture, Winton mentioned that he is reconsidering his objections to J. S. Mill’s view that the sanctions imposed by “prevailing opinion and feeling” were akin to tyranny. He suggested that the only reason he could think of why libertarians should not be attempting to influence culture was the difficulty they would have in agreeing on the kinds of cultural change they would like to promote.

In his response, Chris discussed the changes in the libertarian movement that had occurred since he first encountered it in the late 1970s. He noted that “thin libertarians”, who argued that freedom does not require anything more than robust defence of the nonaggression principle, had ended up endorsing paleoconservative values opposed to a cosmopolitan social framework. He suggested that although that approach is fundamentally opposed to liberal values, it is an acknowledgement that some kind of cultural matrix is necessary to nourish the freedom project.

Chris summed up his response to the question by suggesting that libertarians should be focused on exploring the role of culture in shaping political and social outcomes.

One of the points raised in comments on our first instalment is that there is a difference between saying libertarianism qua political philosophy should attempt to change culture and saying that a libertarian concerned in advancing libertarianism should attempt to change culture. One commentator suggested that libertarians should “work as individuals, and in concert with others, to build a freedom-friendly culture of moral and virtuous people who strive to create a good life, to flourish, and to be happy.”

Second instalment

Winton opened the discussion by raising the question of whether Enlightenment humanist values are still broadly supported by public opinion. He observed that support for reason and reality seemed to have diminished with increasing disrespect for truth in narratives of conservative populists as well as radical progressives who are seeking political power. He noted his support for attempts to understand power relations in society.

Chris explained his Tri-level Model of Power Relations, which was first derived from his reconstruction of Ayn Rand’s analyses of social problems in Ayn Rand: The Russian Radical. The Tri-level Model illustrates the importance of paying attention to interactions between personal, cultural, and structural factors (political and economic structures, institutions and processes). An exclusive focus on any one of these levels of analysis overlooks the importance of factors associated with other levels in determining the ability of individuals to flourish. Individual flourishing is affected by cultural and structural factors as well as by the individual’s values and habits.

Chris’s contribution highlighted the potential for personal ethical and psycho-epistemological practices to affect the dominant cultural institutions. It also highlighted the potential for cultural practices to undermine (or reinforce) the humanism and cosmopolitanism that supports personal flourishing and liberty.

Winton Bates’s views on university culture

The sources of illiberal tendencies in universities differ from those that concerned J. S. Mill when he wrote the sentence quoted in the epigraph at the beginning of this article. Mill suggested that “dogmatic religion, dogmatic morality, and dogmatic philosophy” needed to “be rooted out” of the universities. Mill’s main target seems to have been the Church of England.

A modern libertarian who is concerned about illiberal tendencies in universities is likely to have in mind different sources of dogmatism – for example, action by students and staff to silence voices that are opposed to prevailing campus orthodoxies. The common element is interference with the free exchange of ideas that is indispensable to the search for truth.  

The context in which Mill was writing about universities is relevant to the broader question of what attitude libertarians should adopt toward illiberal tendencies in culture. Mill was concerned that growth in the power of public opinion would cause “the individual” to become lost in the crowd. He hoped that the universities would be able to foster “great minds” who would have a positive impact on public opinion.

There is arguably more reason for libertarians to be concerned about illiberal tendencies in educational organisations than in social media and other economic and social activities that influence public opinion. When a social media firm interferes with freedom of expression, self-correcting forces are likely to be activated eventually as people perceive themselves to be adversely affected and shift their support to competing social media firms. Similarly, self-correcting forces are likely to be activated if a community group subjects a media firm to a boycott, if members of other community groups consider such action to be unfair.

Self-correcting mechanisms seem to be more muted in educational organisations. When their actions prevent invited speakers from being heard, students rarely face consequences that might deter such behaviour in the future. Students who have been seeking to silence opposing voices on campuses in recent months are following in the footsteps of students who adopted similar tactics with equal passion a few decades ago. Whether or not they intend it, their dogmatism in insisting that opposing voices should not be heard is placing at risk the culture of free exchange of ideas that should characterize university education.

Libertarians are not alone in having reasons to support the free exchange of ideas in universities. Anyone who has an interest in the search for truth has reason to support free exchange of ideas.

However, there are at least three good reasons why libertarians should be taking a leading role in seeking to restore the culture of universities as bastions for the free exchange of ideas.

First, the personal values held by many libertarians emphasize the importance of behaving with integrity towards other people. That entails recognizing links between individual flourishing and freedom of expression. Individuals are more likely to flourish academically if the free exchange of ideas and search for truth is emphasized in the prevailing cultures of universities.

Second, it is doubtful whether the legal order can continue to protect free speech if freedom of expression is severely restricted within universities, whether by government or by the activities of university authorities, staff, and students. A legal order protecting free speech depends ultimately on public opinion that values free speech, which, in turn, requires intellectual support.

Third, if staff and students do not take action to restore the culture of universities, it is likely that governments will intervene. Some libertarians might consider government intervention to be appropriate in that context, but it could provide a precept for government intervention that limits the autonomy of universities and poses a threat to freedom of speech.

Chris Matthew Sciabarra comments:

In asking “Should Libertarians be Attempting to Influence Culture?”, this dialogue has focused important attention on the role of culture in affecting social change.

In our last instalment detailing my Tri-Level Model of Power Relations, I highlighted Level 2, which brings to the foreground of our analysis the role of cultural traditions, institutions, and practices in helping to sustain the existing social system. I wrote:

How does culture perpetuate existing social conditions? This is achieved through linguistic, educational, and ideological means, among others. Distortions in language—through the use of anti-concepts, for example—will tend to undermine rational discourse, while serving the needs of the powerful. Certain educational institutions and pedagogical practices will tend to undermine autonomy, perpetuate conformity, inculcate obedience to authority, and subvert the development of critical thinking. Stultifying, rigid, intolerant, racist, sexist, or tribalist ideologies or belief systems (including dogmatic religious beliefs) will tend to foster exclusionary “thinking within a square.” Such cultural practices can undermine those humanist, cosmopolitan characteristics consistent with the development of human freedom and personal flourishing.

On Level 2, then, the role of educational institutions and pedagogical practices is of paramount importance. It must be remembered that this is a dialectical framework of analysis—one that preserves the larger context within which such institutions and practices are situated. Hence, it is important to consider not only how political and economic structures tend to perpetuate a certain constellation of such institutions and practices—but also its reciprocal implication: how a certain constellation of educational institutions and pedagogical practices tends to perpetuate the political and economic order.

It is beyond the scope of this brief exchange to examine the nature of these interactions. Suffice it to say, as Winton points out, there are illiberal tendencies in university life that have quelled the free spirit of discussion, silencing voices of dissent and shoring up campus orthodoxies. But this attack on dissent also has the effect of bolstering larger social, political, and economic orthodoxies.

There are virtually no educational institutions that are free of political strictures, guidelines, or subsidies of one sort or another. This isn’t an issue of “public” versus “private” universities. The line between the ‘public’ and the ‘private’ has all but disappeared and the power of the purse has had an unmistakable impact on the ways in which universities function. In these instances, the “self-correcting forces” that Winton ascribes to social media often give way to imposed “corrections” from the top-down. The culture war between left-wing “woke warriors” and right-wing “anti-woke crusaders” has resulted in an explosive political battlefield in which state actors attempt to impose changes to educational practices, whether through restrictions on the curriculum or the hiring and firing of university personnel. As Winton points out, this is precisely the kind of government intervention that must ultimately undermine free expression.

Sadly, even with its self-correcting forces, not even social media is immune to this kind of political gamesmanship, given evidence of government interference in the dissemination of information and the use of certain platforms for the promotion of ideas that are antithetical to liberal, cosmopolitan values. While libertarians should indeed be taking a leading role in nourishing the free exchange of ideas in university life, we should also be vigilant in exposing and opposing those ideas at war with human freedom and personal flourishing. Preserving and extending a liberal cultural atmosphere that allows for vigorous intellectual engagement is therefore the surest way to make transparent the illiberal ideas among us.

How important is resilience to individual flourishing?

 

Everyone knows that resilience is important in coping with misfortune. However, it may be more important than I had thought.

My attention was grabbed recently by a newspaper article discussing a study suggesting that people with higher levels of resilience may live up to 10 years longer. The study was discussed in an article (possibly gated) by Lucy Dean in the Australian Financial Review (8 Sept, 2024) which also draws on an interview with Justine Gatt, director of the Centre for Wellbeing, Resilience and Recovery at UNSW and Neuroscience Research Australia.

The Longevity Study

The findings of the study by Aijie Zhang et al were published in an article entitled ‘Association between psychological resilience and all-cause mortality in the Health and Retirement Study’, in BMJ Mental Health (2024;27:e301064).

The study was based on the experience of 10,569 U.S. adults aged ≥50 (mean chronological age  67 years ) in the Health and Retirement Study (2006–2008). Mortality outcomes were determined using records up to May 2021.  During that period, 3,489 all-cause deaths were recorded.

The questionnaire used to measure resilience covered qualities such as perseverance, calmness, a sense of purpose, self-reliance and the recognition that certain experiences must be faced alone.

After adjusting for potential confounding factors, the researchers observed a decrease in the risk of death by 38% in the quartile with higher psychological resilience scores, compared with the group with the lowest scores.

The authors note that their findings are consistent with studies that have shown a significant positive correlation between life goals and self-rated health, with life goals moderating the relationship between self-rated health and mortality. Maintaining a positive self-perception of ageing has a positive effect on functional health, and optimism independently protects against all-cause mortality. Other studies demonstrate that individuals with poor social relationships have an increased risk of death.

The Compass Wellbeing Scale

Justine Gatt leads a project which aims to identify the underlying markers of wellbeing and to improve understanding of the underlying mechanisms that contribute towards resilience to stress and adversity.

In this project, mental wellbeing is measured using the 26-item COMPAS‑W Wellbeing Scale which provides a ​“composite” measure of wellbeing; that is, a measure of both subjective (hedonia) and psychological wellbeing.

The COMPAS‑W scale encompasses measures of composure, own-worth, mastery, positivity, achievement and satisfaction. The existence of a relationship between the Compass scale and resilience is based on the view that factors associated with resilience, include:

• The capacity to make realistic plans and take steps to carry them out
• A positive view of yourself and confidence in your strengths and abilities
• Skills in communication and problem solving
• The capacity to manage strong feelings and impulses
• A feeling that you are a master of your environment and in control
• A general positive outlook on your life and satisfaction with everything you have achieved

Justine Gatt argues these are skills that people can learn and develop for themselves. 

The research on resilience is ongoing, but the qualities encompassed in the Compass scale are obviously worth fostering.

Why has "Norms of Liberty" made a lasting impression on me?

 

Norms of Liberty is a work of political philosophy written by Douglas B Rasmussen and Douglas J Den Uyl, and published in 2005.

The blurb on Amazon provides a good description of what the book is about:

“How can we establish a political/legal order that in principle does not require the human flourishing of any person or group to be given structured preference over that of any other? Addressing this question as the central problem of political philosophy, Norms of Liberty offers a new conceptual foundation for political liberalism that takes protecting liberty, understood in terms of individual negative rights, as the primary aim of the political/legal order.” 

Rasmussen and Den Uyl argue for construing individual rights as metanormative principles. These principles establish the political/ legal conditions under which full moral conduct can take place.

The authors distinguish metanormative principles from normative principles that provide guidance for moral conduct within the ambit of normative ethics. This crucial distinction allows them to develop liberalism as a metanormative theory rather than as a guide for moral conduct.

The authors show that the moral universe can support liberalism without either being minimized or requiring morality to be grounded in sentiment or contracts. Rather, liberalism can be supported, and many of its internal tensions avoided, with an ethical framework of Aristotelian inspiration―one that understands human flourishing to be an objective, inclusive, individualized, agent-relative, social, and self-directed activity.

Readers who are looking for a more expansive synopsis should read Ed Younkins’s essay, ‘Rasmussen and Den Uyl’s Trilogy of Freedom and Flourishing’, published on The Savvy Street.

Some explanation of the authors’ use of the term ‘liberalism’ might be helpful at this point. As well as defending classical liberalism and libertarianism, the authors seek to defend other types of political liberalism (as the term is used in the United States) which still subscribe to some of the tenets of classical liberalism e.g. that people should be free to pursue their own conceptions of the good life.   

My purpose here is not to review the book but to explain why the book has made a lasting impression on me. First, I will explain why I thought the book made an important contribution when I first read it in 2007. Then, I will explain why I still think the book provides the most appropriate framework in which to consider the rights of individuals.

My initial impression

Rasmussen and Den Uyl advanced their argument for construing individual rights as metanormative principles in large part as a response to communitarian and conservative critics who claimed that liberalism had undermined its own principles.

I had read some communitarian literature prior to reading Norms of Liberty but I was more concerned about the threat to individual rights posed by people who wanted to make happiness a goal of national economic policy. The people concerned wanted to use survey data on average life satisfaction to monitor achievement of that goal. I was concerned that responses to life satisfaction surveys don’t give appropriate weight to everything that is important to people and that using such surveys to pursue a national happiness goal would interfere with individual choice. (I wrote an article about such matters in 2004. It can be found here.)

I read Norms of Liberty at a time when I was ready to move beyond utilitarianism. The welfare economics that I had been imbued with decades earlier seemed to imply that it would be good for governments to adopt aggregate welfare as an over-arching policy goal if only it was possible to measure individual utility in a manner suitable to be aggregated (or averaged) in some way. However, after some economists began to claim that life satisfaction surveys provided a way to do that, the potential conflict with individual liberty could not be ignored. It seemed wrong for liberty to be viewed as just an element in an individual’s utility function. But how could one avoid viewing liberty in that way if the sole goal of individuals is to maximize utility functions?

The answer that Norms of Liberty provided to me was that I needed to step aside from a framework in which all goals of individuals could be summarised neatly in terms of maximizing a nebulous concept referred to as “utility”. I needed to think more broadly in terms of individual flourishing as a multidimensional process. Liberty is integral to individual flourishing because individual flourishing is an inherently self-directed process.

I began blogging soon after reading Norms of Liberty. Some of my initial posts reflect the favourable impression the book had on me soon after I had read it. For example:  What does flourishing mean? , and Is Freedom and necessary condition for human flourishing?

 Later views

Over the years, I have discussed many different things on this blog.  Blogging has been a learning process. I cannot claim that the views I have expressed have always been philosophically coherent.  

Nevertheless, I claim a degree of consistency in advocating for a political/legal order which protects the possibility of individual self-direction, and ensures that the flourishing of any person or group is not given structural preference over any other. I also claim consistent optimism about the potential for the vast majority of individuals to flourish – with help from family and friends – if governments protect their natural rights and refrain from interfering with the manner of their flourishing. (I don’t deny that government assistance has helped some people to flourish but I observe that government assistance is often offered in a manner that encourages people to languish.)

Those ideas are also themes of my book, Freedom, Progress, and Human Flourishing, as well as being reflected in many of the essays on this blog.

While re-reading Norms of Liberty a few days ago, I was struck by its relevance to recent political developments in many of the countries often referred to as western liberal democracies. When I first read the book, I had the impression that groups who sought to have their modes of flourishing given structural preference over others lacked the political power to implement their policies. At that time, the main threat to individual self-direction seemed to come from well-meaning paternalists who wanted to use the coercive powers of the state to make people happy.

More recently, it seems to me that some groups are increasingly seeking to use the coercive powers of the state to have their modes of flourishing given structural preference over others. I don’t see this tendency as being confined to any one religious or political group, although some are more prone than others to advocate restrictions on liberty.

One development that seems to me to be of particular concern is the increasing prevalence of the idea that freedom of speech should be restricted to protect people from being offended by what others may say about their ethnicity, religious views etc. If the legal system gives people greater incentives to take offence at what others say, it is reasonable to predict an increase in the extent to which people take offence, leading to demands for further restriction of freedom of speech. Threats of violence should be prohibited because they are incompatible with peaceful coexistence. Beyond that, however, restriction of freedom of speech is a slippery slope that is likely to increase, rather than lessen, conflict between different community groups.

Conclusion

My purpose in writing this essay has been to explain why Norms of Liberty, by Douglas Rasmussen and Douglas Den Uyl, has made a lasting impression on me.

At the time I first read Norms of Liberty, in 2007, I was particularly concerned about threats to liberty posed by the proposals of some utilitarians who want to make happiness a goal of national economic policy and to use survey measures of average life satisfaction to monitor achievement of that goal. I was concerned that average life satisfaction doesn’t adequately account for liberty. That provided the context in which I was ready to step aside from the idea that all the goals of individuals could be summarized in terms of utility maximization. It made more sense to think of individual flourishing as a multidimensional process which is largely self-directed and to think of liberty as the metanormative principle that protects the possibility of individual self-direction.

I still think the best defence of liberty is to view it as the means of protecting the possibility of individual self-direction, and ensuring that the flourishing of any person or group is not given structural preference over any other. While re-reading Norms of Liberty it struck me that since the book was written, groups seeking to have their modes of flourishing given structural preference over others have come to pose an increasing threat to liberty in the western liberal democracies. Peaceful coexistence among different groups is likely to break down if norms of liberty are not adequately defended.

Can utopian thinking be dialectical?

 

This illustration of the fictional island of Utopia was apparently in the first edition of Thomas More’s book, Utopia, published in 1516. The word utopia was coined by More to mean ‘no place’ or ‘nowhere’, but More suggested that it could also have the same meaning as eutopia, meaning good place or happy place.

Modern dictionaries, such as Mirium-Webster and Cambridge, hedge their bets.  They define utopia as “a place of ideal perfection” or “a perfect society in which people work well with each other and are happy” and also as “an impractical scheme”, or “an imaginary or infinitely remote place”.

Examples of different usage

Both uses of the word occur in some of the books I have read recently. For example, in Marx, Hayek, and Utopia, Chris Sciabarra clearly takes utopia to mean “no place”, when he writes: “In this book, I explore the distinction between the possible and the impossible – between the radical and utopian – through a comparative analysis of the works of Karl Marx and F. A. Hayek.” Sciabarra suggests that for both Marx and Hayek, “Utopians internalize an abstract, exaggerated sense of human possibility, aiming to create new social formations based upon a pretense of knowledge”. Sciabarra notes:

“Despite their differences, both Marx and Hayek embrace a profoundly anti-utopian mode of inquiry. Marx identified this method as dialectics.”

Sciabarra views dialectics as “contextual analysis of systems across time”. (I have discussed application of the concept to problem definition in the preceding essay on this blog.)

An example of the use of utopia to denote a good place is in Fred Miller’s book, Nature, Justice and Rights in Aristotle’s Politics. Miller writes:

“Aristotelian politics has two poles: one is ‘ideal’ or ‘Utopian’, concerned with identifying the best constitution consistent with human nature and with resources that can be expected to be available under the most favourable circumstances or, failing that, the best constitution attainable by a Greek polis; the other pole is ‘mundane’ or ‘empirical’, concerned with maintaining and preserving actually existing political systems.” (186)

Miller recognizes that in attempting to identify the best constitution, Aristotle is posed with the problem of the disparity between his ideal of a community composed of individuals qualified for and disposed to a life of ethical virtue, and the actual characteristics of community members. Nevertheless, Miller argues that “the study of the best constitution will provide guidance to the practical politician concerned with establishing or reforming a constitution in less fortunate or diverse circumstances”. (190)

Although Miller doesn’t mention dialectics, my impression from reading his subsequent chapter, “The Best Constitution”, is that Aristotle’s discussion of ideal constitutions was dialectical. His discussion of the prerequisites for an ideal constitution is preceded by a study of actual constitutions. He also considers factors such as the minimum and maximum level of population required for the polis to be self-sufficient for the good life of citizens.

Apologia

 A few years ago, I wrote a post on this blog entitled, ‘What purpose is served by utopian thinking?’. In that post I suggested that anyone who considers the nature and characteristics of an ideal society is engaged in utopian thinking.

The post contrasts an anti-utopian view and a utopian view. The anti-utopian view is that it is a waste of time to consider whether public policy is consistent with principles that should apply in an ideal society because outcomes are determined by power struggles.

 I suggested that the best way to challenge the arguments of those anti-utopians was to present some defensible utopian views:

1. Since human flourishing is an inherently self-directed activity undertaken by individuals, an ideal society must recognize that individuals have the right to flourish in the manner of their own choosing provided they do not interfere with the similar rights of others.
2. The flourishing of individuals depends on their ability to follow personal values, visions and aspirations that make their lives meaningful. Some of the most basic personal values of individuals – including respect for the lives, property, and liberty of others - are widely shared by people throughout the world.  
3. Progress toward an ideal society occurs when individuals have greater opportunities to meet their aspirations.

I think my argument was defensible in terms of the way I defined utopian thinking, but it would have been preferable to have adopted a more dialectical approach. My main point should have been that it is not necessary to choose between a world of power struggles and an unattainable world in which human nature has been transformed. We are more likely to improve opportunities for human flourishing if we approach public policy issues with a view to both (a) upholding ideals that ought to apply and (b) the real-world constraints that should not be overlooked.

By the way, I still think that much of the thinking that went into “Freedom, Progress, and Human Flourishing” was utopian, in terms of the way I defined that term. I think it is also true that there is a great deal of dialectical thinking in that book.

Conclusions

In considering whether utopian thinking can be dialectical it is important to be clear what we mean by utopian thinking. Under one definition, utopian thinking is out of this world. Under the alternative, anyone who considers what principles would apply in a good society is engaged in utopian thinking.

Chris Sciabarra adopts the first definition, and accordingly views utopian thinking as opposed to context-keeping and hence opposed to dialectical thinking.

Fred Miller adopts the second definition in his description of Aristotle’s somewhat dialectical discussion of an ideal constitution.

 I draw two conclusions:

1. People who claim to be opposed to utopian thinking don’t necessarily consider ideals and principles to be irrelevant to consideration of public policy issues.
2. People who defend utopian thinking may nevertheless be mindful of the need to consider real world context in considering public policy issues.

Addendum

I would like to draw attention to a response entitled 'Hayek, Bates, and Utopia', that Chris Sciabarra has posted on Notablog. In his response Chris mentions his excellent article, co-authored with Ryan Neugebauer, entitled 'Therapy for Radicals'. He also notes that Friedrich Hayek saw an important and honorable role for the notion of “utopia" in providing political inspiration. 

Is it helpful to adopt a dialectical approach to problem definition?

 

When you think of dialectical approaches the idea that may come to mind is thesis, anti-thesis, and synthesis. As suggested in the sentence quoted above, I am viewing dialectical approaches more broadly in this essay. Before discussing the meaning of dialectics, however, it might be helpful for me to outline why I think problem definition is a topic worth considering.

Importance of problem definition

Fundamental values are clearly at stake in public discussion of some issues (e.g. abortion, the death penalty, assisted dying). 

Most people tend to agree about policy goals when it is not obvious that fundamental issues are at stake. For example, when people are discussing climate change, they tend to agree that exposure to extreme weather events has undesirable consequences for human flourishing. Similarly, when health services are discussed, people tend to agree that illness is undesirable; when education is discussed they tend to agree that literacy and numeracy are desirable; and when poverty is discussed, they tend to agree that it would be desirable for all humans to have the wherewithal to maintain a minimum standard of living.   

However, when a participant in public discussion proposes a remedial strategy, those who disagree often claim that the proposed strategy is built on an implausible view of the nature of the problem being addressed. Much public discussion is about questions such as: Is there really a problem? Is the problem one that individuals are normally expected to manage by themselves, or is some kind of collective action usually considered appropriate? What plausible explanations have been offered as to the causes of the problem?  Should we be thinking about how to tackle the causes of the problem or about how to alleviate symptoms? Which potential remedial strategies should be the focus of our attention? Discussion often focuses on the validity of research findings and other information offered to answer such questions.

Relevance of dialectics

I am adopting here the definition of dialectics proposed by Chris Sciabarra, in his book Total Freedom: Toward a Dialectical Libertarianism:

“Dialectics is an orientation toward contextual analysis of the systemic and dynamic relations of components within a totality.” (173)

Sciabarra explains that “a totality” “is not simply an undifferentiated or all-encompassing whole”. He suggests it could be a two-person dialogue, an economy, or a social system. I will take the “totality” to encompass everything that can be shown to be relevant to the topic under discussion. If a dialectical approach to problem definition is adopted, the meaning of totality would be a matter for consideration in any specific context.

Sciabarra emphasizes that dialectics “is a thinking style that emphasizes contextual analysis of systems across time”. In a dialectical approach, “the aspects of a totality are understood systemically – that is, according to their spatial, or synchronic, interconnections – and dynamically – that is, according to their temporal, or diachronic, interconnections”.

Sciabarra offers his definition of dialectics after considering the use of dialectics from Aristotle to Hegel, and, after Hegel, by Marx, Hayek, Rand and others.

The question I have posed above - of whether it is helpful to adopt a dialectical approach to problem definition in public discussion - is not discussed explicitly in Total Freedom. However, that context seems to me to be one in which dialects has potential to be more helpful than alternative approaches.

In this essay I refer to some issues that have recently been the focus of public discussion to illustrate how a dialectical approach to problem definition would differ from the range of other methodological orientations. I focus on the four broad orientations that Sciabarra has identified: strict atomism, strict organicism, dualism, and monism.

Strict atomism

Strict atomists look at the world as if each aspect of it is separable from every other aspect. A recent Australian example of such an approach is the decision of the government of New South Wales (NSW) to build homes for “essential” workers in Sydney. The rationale given is: “NSW would grind to a halt without nurses, paramedics, teachers, police officers and firefighters, but many can’t afford a place to live in Sydney, close to where they work”. The announcement acknowledges existence of a more general housing affordability issue in Sydney but the government’s approach to dealing with that issue is clearly atomistic.

A dialectical approach would address a range of questions including whether anything is preventing the labour market from functioning flexibly to remunerate “essential” workers sufficiently to ensure that sufficient numbers are available to meet demand for their services in Sydney, and whether government regulation (e.g. zoning regulation) has been discouraging construction of sufficient affordable housing.

Strict organicism

Strict organicism relies on an illusory synoptic vantage point and views all relationships encompassed within the topic under discussion as constituents of a holistic principle at work. I see examples of strict organicism in recent discussion in Australia of the murder of women by their current or former male partners. Some people have suggested that this is a cultural problem which requires a fundamental change in men’s attitudes towards women. For example, Senator David Pocock stated: "we have a huge cultural issue" that needs to be "tackled". "This is going to take far more than some extra funding. This is a fundamental shift in the way that we treat women in this country.”

However, defining the problem as one that requires further improvements in men’s attitudes toward women tends to overlook the potential for other remedial action that is likely to be more effective in protecting the women whose lives are at greatest risk.

A dialectic approach would recognize that many of the men who kill their partners have known histories of violence. Research by Kate Fitz-Gibbon et al based on sentencing remarks by judges indicates that few intimate femicides occur without the offender having prior interaction with the criminal justice system.  This suggests the existence of effective intervention points that are not dependent on bringing about cultural change.

Dualism and Monism

 Sciabarra considers dualism and monism under the same heading. “Dualism is an orientation towards analysis by separation of a system’s components into two spheres”. “Monism is an orientation towards analysis of a system’s components as manifestations of a single factor”. Monists often embrace the dichotomies defined by dualists, while advocating a one-sided monistic resolution.

The mind-body dichotomy is a classic example of dualism. Another is the division of the social world into two spheres – the state and civil society (including the market). Sciabarra notes that dualist statists and dualist anarchists perceive these two spheres as fundamentally opposed and propose to resolve the conflict between them via monistic absorption of one sphere by the other. One side proposes a statist solution whereas the other proposes a civil society solution.

The debate about climate change provides examples of dualism and monism. For example, consider differences of opinion about CO2. On one side of the debate, many people argue that CO2 is polluting the atmosphere and causing adverse climate change. Their opponents argue that increased concentrations of CO2 in the atmosphere have had beneficial impacts on crop yields and the growth of forests. A dialectic approach would recognise that those views are not necessarily in conflict. A central issue is at what CO2 concentration the adverse impacts are likely to exceed beneficial impacts.

Dualism and monism are also evident in the broader debate about action to reduce CO2 emissions. On the one side, some people consider the idea that CO2 emissions influence the climate as a hoax perpetrated by statists to gain greater control over the lives of ordinary people. On the other side, some people claim that the world is heading for disaster if urgent action is not taken to reduce emissions.

A dialectic approach would emphasize the importance of keeping context in mind when considering such issues.

Let us first consider an individual who wants to come to an informed view on whether extreme views of climate alarmists or sceptics should, or should not, be dismissed as implausible. That individual could be expected to spend many hours sifting through available scientific evidence. They might conclude, as I have, that projections of climate change models endorsed by the IPCC are more plausible than the views of climate alarmists and sceptics. On the other hand, they may come to different conclusions, as have some of my friends who seem to be fairly intelligent.

Now, let us consider the appropriate policy response of the Australian government in the light of two facts: Australian greenhouse gas emissions contribute just over 1 percent of global emissions, and on a per capita basis, Australia’s emissions are among the highest in the world. That context has considerable relevance in considering an appropriate policy response:

Climate alarmists should be encouraged to understand that even if Australia’s emissions went to net zero tomorrow, that would have an insignificant direct impact on global greenhouse gas emissions and would certainly not prevent the global calamity that they fear. A policy of rapid reduction in emissions may offer Australia the worst of all worlds – high cost of transition to a low emissions economy accompanied by high cost of adaptation to climate change.

Climate sceptics should be encouraged to understand that international sanctions may be imposed on Australia if this country is seen to be unduly slow in taking action to reduce emission levels.

 Conclusions

 In this essay I have considered whether a dialectical approach is relevant to problem definition in public discussion. I have adopted Chris Sciabarra’s view of dialectics as a thinking style that emphasizes contextual analysis of systems across time.

The examples of problem definition that I have considered – housing for “essential” workers in Sydney, murder of women by their current or former male partners, and the debate about climate change – support the view that a dialectical approach is preferable to strict atomism, strict organicism, dualism and monism.

It could be claimed that context-keeping is something that people who are skilled in problem definition do as a matter of course without declaring that they are adopting a dialectical approach. I have some sympathy with that claim but I note that I have had no difficulty finding examples where people who might be expected to have some skills in problem definition have adopted approaches that can be described as strict atomism, strict organicism, dualism and monism.

Some people need reminding about the importance of context-keeping.

Can discourse ethics help us to assess ideas about justice?

This essay focuses mainly on the discourse ethics of Jürgen Habermas.

Habermas, who will be 95 years old tomorrow, developed a theory of communicative rationality based on the argument that all speech has an inherent goal of mutual understanding and that humans possess the communicative competence to bring about such understanding.

Habermas is a public intellectual, but I haven’t followed his contributions to discussion of topical issues closely enough to judge whether they exemplify the discourse ethics that he advocates. My main reason for interest in Habermas’s discourse ethics is the apparent influence he has had on other philosophers, including Hilary Putnam and Amartya Sen.

In this essay I briefly outline the principles of Habermas’s discourse ethics, the ideological background and motive for his focus on communication, and similarities and differences between his communication ethics and those of Michael Polanyi and Ayn Rand, before briefly discussing whether his discourse ethics offers a normative basis to assess ideas about justice.

Principles

Habermas’s two principles of discourse ethics relate to the philosophical justification of a moral standpoint. The first concerns consensus (or possible consensus):

Only those norms can claim to be valid that meet (or could meet) with the approval of all in their capacity as participants in a practical discourse.

The second is a generalizability rule, or principle of universalization:

All affected can accept the consequences and the side effects its general observance can be anticipated to have for the satisfaction of everyone’s interests (and these consequences are preferred to those of known alternative possibilities).  

(For references, please see the entry on Habermas in the Stanford Encyclopedia of Philosophy.)

Ideological background and motive

The context in which Habermas developed his ideas about communication has been explained by Chris Sciabarra in Marx, Hayek, and Utopia. Sciabarra explains Habermas’s project as an outgrowth of the Frankfurt school, which “attempted to recapture the dialectical method of Marx, while maintaining a Marxist faith in the human triumph over unintended consequences” (Chapter 7)

Friedrich Hayek argued that any attempt by an individual or group of individuals to produce social change would inevitably have unintended consequences. Hayek argued that achievement of Karl Marx’s historical projection of a communist utopia would require a different kind of species capable of total knowledge of the consequences of their actions, rather than humans who are only capable of partial knowledge.

Sciabarra presents Habermas’s ideas about communication as a reconstruction of Marx’s project to focus on empirical conditions under which people could engage in practical, transformative social action. Habermas’s ideal society is one based on non-exploitative social relations. He views all social systems as networks of communicative actions, and argues that the institutions of power depend on and perpetuate a distorted form of social communication.

Habermas argues that if people could master ideal speech they would move towards the goals of truth, freedom and justice. One of the important characteristics of ideal speech is that the speaker must want to express his intentions truthfully so that the hearer can believe in (or trust) the utterance of the speaker. Participants learn to trust one another and share value orientations when speech is free from deception and other forms of communicative distortion. Habermas suggests that social consensus will emerge as people achieve communicative competence. (My intention is to convey the gist of Habermas’s argument without distorting it but my account has all the limitations of a summary of a summary.)

Comparison with Polanyi and Rand

Michael Polanyi was a polymath whose understanding of the importance of tacit knowledge was largely endorsed by Hayek. Sciabarra presents a quote from Polanyi which suggests that his position on communication differs little from that of Habermas. Both emphasised the importance of trust in communication and the potential for shared values to emerge from dialogue. However, Sciabarra also notes a crucial difference between them. While Habermas argued that the tacit component of dialogue could be fully articulated, Polanyi held that this was not possible.

Habermas argues that depth hermeneutics, a form of psychoanalysis, could make explicit the tacit causal connections that take place in an individual’s subconscious, overcoming blocks to consciousness, and enabling a reintegration to occur. One goal of this process is intersubjectivity – enabling participants in discussions to exchange roles with one another in expressing their needs and interests.

Sciabarra discusses the similarity and differences between Ayn Rand’s communication ethics and those of Habermas in Ayn Rand: The Russian Radical. Rand recognized that honesty is an essential component of rational human relations and fully understood the exploitive nature of strategic forms of communication. Rand’s followers emphasize that self-deception is distortive of an individual’s efficacy and communicative competence.

Sciabarra suggests that an “emphasis on communicative truthfulness, self-awareness, and “de-repression” is as crucial to the Randian project as it is to Habermasian discourse theory”. (293) He suggests that “she sustained a belief in a conflict-free society of individuals united by their common love for the same values” (355). However, Rand’s values differed from those of Habermas: She “would have vehemently rejected Habermas’s emphasis on “intersubjectivity” and the social consensus of norms”. (291)

Relevance to ideas about justice

If we are seeking to reach agreement with others it seems obvious that we should seek to understand the basis for their points of view. For example, if a person is engaged in a discussion with his or her spouse about who should cook dinner, agreement is more likely if each party understands why the other might or might not want to cook on a particular day.

In the example I have just given, both parties have a strong incentive to reach agreement to enable a harmonious relationship to continue. It is also possible to think of contexts at a societal level where people have a strong incentive to reach agreement and are willing to set aside differences in current interests in making collective decisions. James Buchanan and Gordon Tulloch suggested that when individuals are considering constitutional rules that they expect to be in place for a long time, they may be able to set aside current interests because they are uncertain about what their interests will be in any of the long chain of collective choices made according to those rules. (The Calculus of Consent) I wonder if Habermas would approve if the participants in a constitutional convention agreed to rules protecting individual rights to property ownership.

This brings me to a fundamental problem with Habermas’s generalizability rule. Douglas Rasmussen pointed this out. (‘Political legitimacy and discourse ethics’, International Philosophical Quarterly, March 1992) According to Habermas, the “moral point of view” requires one to consider the satisfaction of one’s own needs and interests from an impersonal point of view – from a point of view which treats the fact that some needs and interests are uniquely yours as being of no consequence. Rasmussen points out that this so called “moral point of view” is not compatible with the moral reasoning of real people in real situations:

“One cannot even recognize his own life as his and his own reasoning as his very own if in order to play the moral game one must forgo all special attachments to ends that are uniquely one’s own.” (30)

Rasmussen concludes by noting that values associated with modernity, including recognition of the inherent worth of the individual human being, are inconsistent with Habermas’s “moral view”:

“Such a modern view, then, does not call for theoretical attempts to paper over the real and legitimate differences among the values and projects of individuals by attempting artificially to induce consensus through a generalizability of interests rule or by appealing to the so called “moral point of view”. Rather, it requires that one accept the moral propriety of pluralism and individualism, and from this starting point attempt the difficult task of constructing a theory of justice.” (34)

Conclusions

Jürgen Habermas has proposed that principles of discourse ethics can provide a normative basis to assess ideas about justice.

Habermas developed his principles of discourse ethics while reconstructing Marx’s project. He envisaged that the potential for “ideal speech” could enable a social consensus to emerge for movement towards the goals of truth, freedom, and justice.

Habermas’s discourse ethics is similar in some respects to the views of communication ethics advocated by Michael Polanyi and Ayn Rand. However, unlike Polanyi, Habermas argued that the tacit component of dialogue could be fully articulated. Unlike Rand, Habermas argued for intersubjectivity, which amounts to adoption of an impersonal point of view.

There is a fundamental problem in applying Habermas’s principles of discourse ethics to assess ideas about justice. Habermas’s generalizability rule seeks to artificially induce consensus by papering over legitimate differences among values held by individuals. 

Addendum

Readers may also be interested in Chris Sciabarra's discussion of possible libertarian applications of Habermas's view in a section on "Dialogical Models" in libertarian thought, in Chapter 9 of "Total Freedom". That section surveys various thinkers in Austrian and libertarian traditions.