CHAPTER 9: An Intellectual History of Inalienable Rights Theory
Introduction
The earlier intimations of the de facto theory of inalienability have not descended to modern times as a coherent theory. We must try, as a task of intellectual archeology, to reassemble the scattered remains of earlier insights. In searching the rubble of intellectual history for the notion of inalienable rights, we are looking for intimations of theory, not declarations. Often political and legal theorists will declare that certain rights are or should be inalienable without offering any theory to justify the declaration. Often the phrase "inalienable rights" is used simply to mean rights which are considered very important or fundamental. Such assertions are, by themselves, of little interest in an intellectual history of inalienable rights theory.
Ethical arguments are not just expressions of subjective taste such as whether or not one likes anchovies. There are factual components which can often be the heart of the controversy. For instance, an ethical condemnation of a person for doing X involves both the normative judgment that X is wrong as well as the factual judgment that the person in fact did X.
The de facto inalienability argument sketched above has an important factual component. A right based on one's personhood (the status of being a person) is inalienable even with consent because the fact of personhood is not thereby changed. We search for the intrusion of this factual element in our historical survey of inalienable rights theory.
Stoic Antecedents
Our history begins with a watershed in the development of political and ethical thought, the break of the Stoic School away from the world-view of Aristotle. As always, the matter can be best illustrated by considering the question of slavery. For Aristotle, slavery was based on "fact"; some people were "talking instruments" —marked for slavery "from the hour of their birth." Treating them as slaves was no more inappropriate for Aristotle than treating a donkey as an animal. The Stoics held the radically different view that no one was a slave by their nature; slavery was an external condition juxtaposed to the internal freedom of the soul. Instead of the inequality between the citizens of the city-state and the barbarians outside, the Stoics saw a fundamental equality of all men in the City of the World. All men were equal because all participated in Reason.
It would be a mistake to read the full doctrine of inalienable rights back into Stoic thought; only some antecedents can be found. A principal ingredient in the analysis of inalienability presented here is the substantive contradiction between a slave's legal status as a non-person and the slave's factual status as a person.
In summary, then, slavery has always embodied a fundamental contradiction arising from the ultimately impossible attempt to define and treat men as objects. [Davis 1975, p. 82]
An appreciation of this contradiction can be found in various forms in the thought of the Stoics.
Chrysippus challenged Aristotle's notion that some people were slaves by nature. By virtue of their rational and social nature, Cicero saw all men as equal under the jus naturale. Sabine found in the Stoics an anticipation of the Kantian theme to treat all humans as persons rather than as things.
Even if he were a slave he would not be, as Aristotle had said, a living tool, but more nearly as Chrysippus had said, a wage-earner for life. Or, as Kant rephrased the old ideal eighteen centuries later, a man must be treated as an end and not as a means. The astonishing fact is that Chrysippus and Cicero are closer to Kant than they are to Aristotle. [Sabine 1958, p. 165]
Seneca further developed the idea of external bondage and internal freedom of the soul.
It is a mistake to imagine that slavery pervades a man's whole being; the better part of him is exempt from it: the body indeed is subjected and in the power of a master, but the mind is independent, and indeed is so free and wild, that it cannot be restrained even by this prison of the body, wherein it is confined. [Seneca, De beneficiis, III, 20, quoted in Cassirer 1963, 103]
In spite of the legal role of the slave as an instrument employed by another person, the mind of the slave is sui juris.
The Reformation and the Inalienable Freedom of Conscience
One of the golden threads running through the history of inalienable rights theory is the de facto inalienability argument applied to the freedom of thought and judgment or, in the religious context, to the freedom of conscience. In the spirit of the example of the criminous employee, an individual's powers of judgment cannot in fact be short-circuited and alienated so that his or her decisions and beliefs are determined by an external authority. At best (or rather, at worst), a person can only make his or her own decisions by always accepting the judgments of another.
An early anticipation of this version of the de facto inalienability argument can be found in the Stoic doctrine that while the body of the slave was in chains, the slave's mind or soul was sui juris., e.g., Seneca's doctrine that only the body is enslaved and that the "inner part cannot be delivered into bondage" [quoted in Davis 1966, 77]. This theme was emphasized by Martin Luther and became a basic tenet of the Reformation. Secular authorities who try to compel belief can only secure external conformity.
Besides, the blind, wretched folk do not see how utterly hopeless and impossible a thing they are attempting. For no matter how much they fret and fume, they cannot do more than make people obey them by word or deed; the heart they cannot constrain, though they wear themselves out trying. For the proverb is true, "Thoughts are free." Why then would they constrain people to believe from the heart, when they see that it is impossible? [Luther 1942, 316]
Luther was explicit about the de facto element; it was "impossible" to "constrain people to believe from the heart."
Furthermore, every man is responsible for his own faith, and he must see it for himself that he believes rightly. As little as another can go to hell or heaven for me, so little can he believe or disbelieve for me; and as little as he can open or shut heaven or hell for me, so little can he drive me to faith or unbelief. Since, then, belief or unbelief is a matter of every one's conscience, and since this is no lessening of the secular power, the latter should be content and attend to its own affairs and permit men to believe one thing or another, as they are able and willing, and constrain no one by force. [Luther 1942, 316]
Spinoza captured the inalienability aspects of the argument. In modern times, inalienability has often been interpreted to mean simply that a right was basic or could not be alienated without consent. But Spinoza interpreted inalienability to mean "even with consent." Consent cannot transfer away the mind's sui juris capacity.
However, we have shown already … that no man's mind can possibly lie wholly at the disposition of another, for no one can willingly transfer his natural right of free reason and judgment, or be compelled so to do. For this reason government which attempts to control minds is accounted tyrannical, and it is considered an abuse of sovereignty and a usurpation of the rights of subjects, to seek to prescribe what shall be accepted as true, or rejected as false, or what opinions should actuate men in their worship of God. All these questions fall within a man's natural right, which he cannot abdicate even with consent. [Spinoza 1951, 257]
Some people are willing to take the opinion of an authority as sufficient evidence to make their decision—but that is still their decision.
I admit that the judgment can be biassed in many ways, and to an almost incredible degree, so that while exempt from direct external control it may be so dependent on another man's words, that it may fitly be said to be ruled by him; but although this influence is carried to great lengths, it has never gone so far as to invalidate the statement, that each man's understanding is his own, and that brains are as diverse as palates. [Spinoza 1951, 257]
This argument would later be developed [see below] by Francis Hutcheson of the Scottish Enlightenment—who in turn influenced Thomas Jefferson and the inalienable rights doctrine expressed in the American Declaration of Independence.
Inalienable Rights and the French Enlightenment
Montesquieu
Inalienable rights theory developed in opposition to the non-democratic alienist liberal tradition that founded slavery on some form of contract and erected autocracy on a real or implied pactum subjectionis. Modern antislavery thought had its roots in Montesquieu who cited and argued against the three justifications of slavery in Roman law: (1) voluntary self-enslavement, (2) prisoners of war, and (3) slave parentage. While proslavery writers found traces of contract in the rationale based on war captives and slave parentage, the first rationale of a voluntary contract is most relevant to the development of inalienable rights theory. Montesquieu tried to develop an argument that such a contract was invalid.
Neither is it true that a freeman can sell himself. Sale implies a price; now, when a person sells himself, his whole substance immediately devolves to this master; the master, therefore, in that case, gives nothing, and the slave receives nothing. … If liberty may be rated with respect to the buyer, it is beyond all price to the seller. The civil law, which authorizes a division of goods among men, can not be thought to rank among such goods a part of the men who were to make this division. The same law annuls all iniquitous contracts; surely then it affords redress in a contract where the grievance is most enormous. [Montesquieu 1912, Bk. XV, Chap. II, 283-284]
The important point is that Montesquieu argued for the invalidity of the self-sale contract so that the right to freedom would be inalienable. Philmore notes that Blackstone uses a similar argument and then shows the inadequacies in the argument.
This quid pro quo argument is, at best, a shallow legalism (and, at worst, just a special plea). The quid pro quo in the warrantee contract is a lifetime guarantee of food, clothing, and shelter (or equivalent money income) in return for the lifetime right to one's labor services. [Philmore 1982, 49]
Rousseau
In The Social Contract, Rousseau repeats Montesquieu's argument. "For him who renounces everything no indemnity is possible." [1950, 9] This is fine rhetoric, but Rousseau admits that "a man who becomes the slave of another does not give himself; he sells himself, at the least for his subsistence…" [1950, 8]
In the earlier Discourse on the Origin of Inequality, Rousseau hints at the de facto inalienability argument and even appeals to the example of the criminous slave.
Puffendorf says that we may divest ourselves of our liberty in favour of other men, just as we transfer our property from one to another by contracts and agreements. But this seems a very weak argument. For in the first place, the property I alienate becomes quite foreign to me, nor can I suffer from the abuse of it; but it very dearly concerns me that my liberty should not be abused, and I cannot without incurring the guilt of the crimes I may be compelled to commit, expose myself to become an instrument of crime. [1950, 258-259]
This form of the de facto inalienability argument is echoed in The Social Contract.
To renounce liberty is to renounce being a man, to surrender the rights of humanity and even its duties. … Such a renunciation is incompatible with man's nature; to remove all liberty from his will is to remove all morality from his acts. [1950, 9]
Garry Wills notes that Burlamaqui [1747] develops a similar argument that "one can never alien one's power to act morally, since that would give one's master the ability to deny response to humane duty" [Wills 1979, 216].
The Encyclopedia
Denis Diderot's Encyclopedia (published between 1751 and 1772) was the summa of the French Enlightenment. The article entitled "Esclavage" appeared in an early volume, and it restated the superficial antislavery arguments of Montesquieu. However, in 1765 in the article "Traite des Negres" signed by Chevalier de Jaucourt, there appeared what David Brion Davis has termed
one of the earliest and most lucid applications to slavery of the natural rights philosophy, [which] succeeds in stating a basic principle which was to guide the more radical abolitionists of the nineteenth century. [1966, 416]
De Jaucourt makes the far-reaching statement that: "Men and their liberty are not objects of commerce; they can be neither bought nor sold nor paid for at any price." He then continues:
There is not, therefore, a single one of these unfortunate people regarded only as slaves who does not have the right to be declared free, since he has never lost his freedom, which he could not lose and which his prince, his father, and any person whatsoever in the world had not the power to dispose of. Consequently the sale that has been completed is invalid in itself. This Negro does not divest himself and can never divest himself of his natural right; he carries it everywhere with him, and he can demand everywhere that he be allowed to enjoy it. It is, therefore, patent inhumanity on the part of judges in free countries where he is transported, not to emancipate him immediately by declaring him free, since he is their fellow man, having a soul like them. [Gendzier 1967, 230]
After the publication of The Problem of Slavery in Western Culture, Davis discovered "that de Jaucourt had merely copied someone else's words" [1971, 583]. The author was a Scotsman so Davis concludes; "It is clearly a mistake to attribute this radical antislavery position to the rationalism or secular humanitarianism of the French Enlightenment" [Ibid., 586].
Inalienable Rights in Scottish and English Enlightenment Thought
George Wallace
The author of the radical antislavery doctrine used by de Jaucourt was an obscure Scottish jurist, George Wallace (or Wallis). Wallace asserted that: "Men and their liberty are not in commercio; they are not either saleable or purchaseable." He then continues:
For these reasons, every one of those unfortunate men, who are pretended to be slaves, has a right to be declared free, for he never lost his liberty; he could not lose it; his prince had no power to dispose of him. Of course, the sale was ipso jure void. This right he carries about with him, and is entitled every where to get it declared. As soon, therefore, as he comes into a country, in which the judges are not forgetful of their own humanity, it is their duty to remember that he is a man, and to declare him to be free. [Wallace 1760, 95-96]
Wallace's statement illustrates the interplay between de facto and de jure elements, an interplay that is central to understanding the de facto inalienability argument. When he declares that the slave has "never lost his liberty; he could not lose it," that refers to the slave's de facto retention of his free will and decision-making capacity (as recognized, for example, in the example of the criminous slave). Yet the law can declare a slave purchase contract as valid, and take a slave's obedience as fulfilling the contract to be a chattel. Since the slaves remain a de facto human agents in the de jure role of a thing, they are only "pretended to be slaves" by the legal authorities (at least until the slaves commit crimes).
Rousseau also caught some of the same interplay between the de facto and de jure aspects of the institution of slavery.
As then, to establish slavery, it was necessary to do violence to nature, so, in order to perpetuate such a right, nature would have to be changed. Jurists who have gravely determined that the child of a slave comes into the world a slave, have decided, in other words, that a man shall come into the world not a man. [1950, 259]
Wallace's inalienability argument has been echoed by the modern Kantian philosopher, George Schrader. Other people by their existence make a demand on us to acknowledge and treat them as persons rather than as things.
This is a demand, incidentally, which no man can forfeit by his own volition. No man can, for example, by selling himself as a slave make himself not to be a person. [Schrader 1960, 64]
As Wallace noted, there is an element of pretense in the relationship since the slaves remain de facto persons.
The relationship of master and slave which assumes this to be possible is founded upon a double deception. The slave fools himself no less than he fools the master; both fool themselves as well as each other. A man remains a man no matter what his condition in the world. He may not demand in any verbal way that he be treated as a man; in fact, he may even recommend that his humanity be disregarded. But the fact that he continues to exist as a man entails that his claim upon us as a human subject has not been removed. … [N]o man can actually make himself or another to be merely a slave; he can only make play the role of a slave. It is not difficult to exhibit the deception and bad faith involved in such a relationship. [Schrader 1960, 64]
It is the analogous pretense, deception, bad faith, and fraud that is involved in the modern contract to rent rather than own other human beings.
Reformation Influences in 16th and 17th Century British Thought
The full recognition of the inalienable right to liberty of conscience was the result of the Reformation. Luther and Calvin were hardly democrats themselves; they supported the suppression of the anabaptist movements and the peasants' revolts of their day. "Modern Democracy is the child of the Reformation, not of the Reformers." [Gooch 1959, 7] The democratic promise of the Reformation was slowly revealed as it developed in political opposition (unlike Luther and Calvin) as by John Knox and George Buchanan in Scotland or in France by Languet or whoever was the author of the Huguenot tract Vindiciae contra tyrannos.
A multitude of religious and secular groups including the Puritans, Independents or Congregationalists, Levellers, and Quakers developed the democratic impulse in England during the 17th century. In the Putney Debates, the Levellers foreshadowed many of the principles of modern democratic theory and even the current debates about worker ownership—such as the issue of whether the franchise in a state or in a firm should be based on property rights or on personal rights.
Ernst Cassirer has nicely summarized the democratic heritage of 17th century thought using a general form of the de facto inalienability argument.
There is, at least, one right that cannot be ceded or abandoned: the right to personality. Arguing upon this principle the most influential writers on politics in the seventeenth century rejected the conclusions drawn by Hobbes. They charged the great logician with a contradiction in terms. If a man could give up his personality he would cease being a moral being. He would become a lifeless thing—and how could such a thing obligate itself—how could it make a promise or enter into a social contract? This fundamental right, the right to personality, includes in a sense all the others. … There is no pactum subjectionis, no act of submission by which man can give up the state of free agent and enslave himself. For by such an act of renunciation he would give up that very character which constitutes his nature and essence: he would lose his humanity. [Cassirer 1963, 175]
For a clearcut statement of the de facto inalienability argument, e.g,, as applied to liberty of conscience, and for the background to Wallace's radical antislavery doctrine, we turn to the Scottish Enlightenment in the early 18th century.
Francis Hutcheson and Thomas Jefferson
Who was the proximate source of the de facto inalienability argument in the Scottish Enlightenment? Much evidence points to Francis Hutcheson, a teacher of Adam Smith and one of the leading moral philosophers of the Scottish Enlightenment.
Hutcheson is important for another reason. The Declaration of Independence is one of the highpoints in the praxis of the inalienable rights tradition.
We hold these truths to be self-evident, That all men are created equal, that they are endowed by their creator with certain unalienable rights; that among these are life, liberty & the pursuit of happiness … .
The conventional scholarly view has been that "Jefferson copied Locke" [Becker 1958, 79]. But as we have seen, Locke had no serious theory of inalienability, and he in fact condoned a limited voluntary contract for slavery which he nicely called "Drudgery."
In Garry Wills' important study, Inventing America, he reinvented Jeffersonian scholarship concerning the intellectual roots of the Declaration of Independence. Wills convincingly argued that the Lockean influence was more indirect and even to some extent resisted by Jefferson, while Hutcheson's influence was central and pervasive. Of direct interest here, "Jefferson took his division of rights into alienable and unalienable from Hutcheson, who made the distinction popular and important" [Wills 1979, 213]. Despite some ambiguity, Hutcheson was "one of the prime sources of antislavery thought" [Davis 1975, 263] and he used a version of the de facto inalienability argument so he may well have contributed to the radical doctrine developed by Wallace.
In Hutcheson's An Inquiry into the Original of Our Ideas of Beauty and Virtue [1725], he first distinguished between alienable and inalienable rights. The de facto inalienability argument is developed in Hutcheson's influential A System of Moral Philosophy (1755).
Our rights are either alienable, or unalienable. The former are known by these two characters jointly, that the translation of them to others can be made effectually, and that some interest of society, or individuals consistently with it, may frequently require such translations. Thus our right to our goods and labours is naturally alienable. But where either the translation cannot be made with any effect, or where no good in human life requires it, the right is unalienable, and cannot be justly claimed by any other but the person originally possessing it. [1755, 261]
Hutcheson appeals to the de facto inalienability argument in addition to utility. He contrasts de facto alienable goods where "the translation of them to others can be made effectually" with factually inalienable faculties where "the translation cannot be made with any effect."
Hutcheson goes on to show how the "right of private judgment" or "liberty of conscience" is inalienable.
Thus no man can really change his sentiments, judgments, and inward affections, at the pleasure of another; nor can it tend to any good to make him profess what is contrary to his heart. The right of private judgment is therefore unalienable. [ibid., 261-262].
Hutcheson pinpoints the factual nontransferability of private decision-making power. In the case of the criminous employee, we saw how the employee ultimately makes the decisions himself in spite of what is commanded by the employer. Short of coercion, an individual's faculty of judgment cannot in fact be short circuited by a secular or religious authority.
A like natural right every intelligent being has about his own opinions, speculative or practical, to judge according to the evidence that appears to him. This right appears from the very constitution of the rational mind which can assent or dissent solely according to the evidence presented, and naturally desires knowledge. The same considerations shew this right to be unalienable: it cannot be subjected to the will of another: tho' where there is a previous judgment formed concerning the superior wisdom of another, or his infallibility, the opinion of this other, to a weak mind, may become sufficient evidence. [1755, 295]
Echoing Spinoza, Hutcheson notes that accepting the judgment of an authority claiming "infallibility" is only another way for a "weak mind" to make a judgment. A religious vow of obedience by a layperson, priest, monk, or nun can no more short-circuit an individual's facility of judgment and decision-making than can a slavery contract, an employment contract, or a military oath (be it German, Japanese, or American).
As a linguistic sidelight, the final draft of the Declaration of Independence used the word "unalienable" while Jefferson's draft used "inalienable" which has become the modern usage.
Normal English usage of Jefferson's time—e.g., in the work of Francis Hutcheson—was "unalienable" rights. This is what either Congress or the broadside's printer substituted for Jefferson's "inalienable." Jefferson may have had French usage (e.g., by Burlamaqui) in mind, or the Latin root. [Wills 1979, 370-371]
Richard Price
In this survey of inalienable rights theory, we are searching for the factual element of the de facto inalienability argument. Staughton Lynd in his excellent study Intellectual Origins of American Radicalism has highlighted precisely this feature in Hutcheson's thought and in the work of the Dissenters such as Richard Price.
When rights were termed "unalienable" in this sense, it did not mean that they could not be transferred without consent, but that their nature made them untransferrable.
This was a proposition peculiarly congenial to Dissenting radicalism. For it freedom of conscience was inseparable from moral agency. [1969, 45]
Richard Price (1723-1791), a dissenting Presbyterian minister from Wales, was a well-rounded thinker with contributions in moral philosophy, political theory, economics, and mathematics in addition to more religious endeavors. With the outbreak of the American Revolution, Price courageously published a work, Observations on the Nature of Civil Liberty, which sided with the Americans' claim
that Great Britain is attempting to rob them of that liberty to which every member of society and all civil communities have a natural and unalienable title. [1771, Part I, reprinted in Peach 1979, 67]
This and later works by Price earned him the respect and admiration of the American revolutionaries. Tom Paine in The Rights of Man launched his famous attack on Burke's Reflections on the Revolution in France by noting that "a great part of [Burke's] work is taken up with abusing Dr. Price (one of the best-hearted men that lives)…" [reprinted in Dishman 1971, 167].
Price build his political theory on
that principle of spontaneity or self-determination which constitutes us agents or which gives us a command over our actions, rendering them properly ours, and not effects of the operation of any foreign cause. [1776, Part I, sec. I, reprinted in Peach 1979, 67-68]
Price divides liberty into its physical, moral, religious, and civil components but "there is one general idea that runs through them all, I mean the idea of self-direction, or self-government" [in Peach 1979, 68]. Any contract pretending to transfer the right of a people's self-determination to another state would be non-binding.
Neither can any state acquire such an authority over other states in virtue of any compacts or cessions. This is a case in which compacts are not binding. Civil liberty is, in this respect, on the same footing with religious liberty. As no people can lawfully surrender their religious liberty by giving up their right of judging for themselves in religion, or by allowing any human beings to prescribe to them what faith they shall embrace, or what mode of worship they shall practise, so neither can any civil societies lawfully surrender their civil liberty by giving up to any extraneous jurisdiction their power of legislating for themselves and disposing their property. [Ibid., 78-79]
Price's tract naturally raised a furor of opposition so in 1777, he wrote Additional Observations on the Nature and Value of Civil Liberty to clarify his positions and answer his critics. Again the different types of liberty were squarely grounded on
the general idea of self-government. The liberty of men as agents is that power of self-determination which all agents, as such, possess. Their liberty as moral agents is their power of self-government in their moral conduct. Their liberty as religious agents is their power of self-government in religion. And their liberty as members of communities associated for the purposes of civil government is their power of self-government in all their civil concerns. [Price 1777, Part I, sec. I, reprinted in Peach 1979, 136]
In earlier chapters, we noted that there are two opposing natural rights traditions, the alienist and the inalienist traditions. Lynd points out that Price contributed directly and indirectly to the American debates over slavery in the late eighteenth and nineteenth centuries.
Then it turned out to make considerable difference whether one said slavery was wrong because every man has a natural right to the possession of his own body, or because every man has a natural right freely to determine his own destiny. The first kind of right was alienable: thus Locke neatly derived slavery from capture in war, whereby a man forfeited his labor to the conqueror who might lawfully have killed him; and thus Dred Scott was judged permanently to have given up his freedom. But the second kind of right, what Price called "that power of self-determination which all agents, as such, possess," was inalienable as long man remained man. Like the mind's quest for religious truth from which it was derived, self-determination was not a claim to ownership which might be both acquired and surrendered, but an inextricable aspect of the activity of being human. [Lynd 1969, 56-57]
Lynd precisely summarized Price's statement of the de facto inalienability argument as the heart of the inalienist tradition of natural rights theory.
Inalienability in German Idealism
Immanuel Kant
Immanuel Kant acknowledged that "every man has inalienable rights which he cannot give up even if he would..." [1974, 72].
Nor can a man living in the legal framework of a community be stripped of this quality by anything save his own crime. He can never lose it, neither by contract nor by acts of war (occupatio bellica), for no legal act, neither his own nor another's, can terminate his proprietary rights in himself. [1974, 61]
But why? The explanation might be based on Kant's notion of proprietary right derived from intentional possession by one's will.
[O]wning is a matter of a human will taking possession; it therefore already excludes slavery as a possible form of property: persons cannot be owned... .
[W]hat defeats the appropriation of a person is that he is necessarily occupied by his own will. [Ryan 1982, 57]
This theme was even more central to Hegel's treatment of property and inalienability.
Georg Hegel
According to some modern Hegel scholarship, principally the work of David MacGregor [1984], Hegel developed a version of the labor theory of property, and it was central to his social philosophy. It is appropriate that Hegel should develop treatments of both the labor theory of property and the de facto inalienability argument since both theories are part of the same conceptual whole. Hegel's integrated development will be sketched here.
The entire theory presented in this book is based on the differentiation between persons and things. For instance, a voluntary contract is inherently invalid if it puts a person, temporarily or permanently, in the legal role of a thing. In the employment contract, the legal machinery for hiring or renting a thing is applied to persons. The actions of persons are legally treated as transferable commodities like the services of things. This mentality has become part of the fabric of our economic civilization, although it is most obvious to our dulled sensitivities in such fashionable fields as "human capital theory" or "human resource management."
How are human actions relevantly and fundamentally different from the services of things? The answer can be expressed in different vocabularies depending on the purpose at hand. To differentiate mental activity and machine computation, the notions of intentionality and semantics (as opposed to syntax) are appropriate [see Searle 1983]. In law and in economics, the notion of responsibility differentiates human actions or labor from the services of things.
For Hegel, the differentiating characteristic of human action was ideality.
Ideality refers to theoretical and practical activity, the effort through which men and women create their ideas and translate them into concrete reality. The notion of ... ideality is best illustrated by a relation familiar to everyone: work. …
Work is a social relationship—a collective enterprise—whereby nature is subordinated and made a means to the diverse ends of men and women. Precisely because labour transforms natural objects into instruments and expressions of human will, work is also a chief aspect of the transcendental, creative quality of consciousness. [MacGregor 1984, 13]
Intentional human action intervenes in a natural causal chain to create a certain difference, and the action is responsible for the difference it makes. The action initiated the causal sequence that leads to the contemplated result.
Human thought and purposive activity—ideality—constitute the energy which links subject and object of labour into the unity of the product. … What this means is that thought as the design or purpose of the human subject is brought into reality as a product of labour through the machine- or tool-assisted activity of the worker on the object of that activity. Hegel makes this concept of human thinking activity the programmatic basis of his whole philosophy … [ MacGregor 1984, 90]
The embodying of one's will in things through purposive human activity or labor is the basis of appropriation.
A person has as his substantive end the right of putting his will into any and every thing and thereby making it his, because it has no such end in itself and derives its destiny and soul from his will. This is the absolute right of appropriation which man has over all 'things'. [Hegel 1967, ¤44]
Property is actualized will.
But I as free will am an object to myself in what I possess and thereby also for the first time am an actual will. and this is the aspect which constitutes the category of property, the true and right factor in possession. [Ibid., ¤45]
In spite of what strikes modern ears as abstruse metaphysical jargon, Hegel is developing a version of the labor theory of property.
If property originates as the embodiment of will (i.e., the fruits of labor), then certain things are not eligible for appropriation since they already embody another human will.
Since property is the embodiment of personality, my inward idea and will that something is to be mine is not enough to make it my property; to secure this end occupancy is requisite. … The fact that a thing of which I can take possession if a res nullius is … a self-explanatory negative condition of occupancy …. [Ibid., ¤51]
In becoming a person, an individual in effect takes possession of himself or herself, and thus becomes ineligible for appropriation by others.
It is only through the development of his own body and mind, essentially through his self-consciousness's apprehension of itself as free, that he takes possession of himself and becomes his own property and no one else's. [Ibid., ¤57]
Although Hegel waivered in applying the argument to all people, it provided the fundamental argument against slavery.
The alleged justification of slavery … depend[s] on regarding man as a natural entity pure and simple, as an existent not in conformity with its concept …. The argument for the absolute injustice of slavery, on the other hand, adheres to the concept of man as mind, as something inherently free. [Ibid., Remark to ¤57]
This anti-slavery argument provides more than just a critique of involuntary slavery. To voluntarily alienate something, we must be able to withdraw our will from it—to in fact vacate it and turn it over to the use of another person (like the services of a van).
The reason I can alienate my property is that it is mine only in so far as I put my will into it. Hence I may abandon (derelinquere) as a res nullius anything that I have or yield it to the will of another and so into his possession, provided always that the thing in question is a thing external by nature. [Ibid., ¤65]
But alienation clearly cannot be applied to one's own person-ality.
Therefore those goods, or rather substantive characteristics, which constitute my own private personality and the universal essence of my self-consciousness are inalienable and my right to them is imprescriptible. [Ibid., ¤66]
An individual cannot in fact vacate and transfer that responsible agency which makes one a person.
The right to what is in essence inalienable is imprescriptible, since the act whereby I take possession of my personality, of my substantive essence, and make myself a responsible being, capable of possessing rights and with a moral and religious life, takes away from these characteristics of mine just that externality which alone made them capable of passing into the possession of someone else. When I have thus annulled their externality, I cannot lose them through lapse of time or from any other reason drawn from my prior consent or willingness to alienate them. [Ibid., Remark to ¤66]
This is, to our knowledge, one of the clearest statement of the de facto inalienability argument in the history of Western philosophy.
In the application of the de facto inalienability argument, Hegel showed himself to be a man of his time. The divergence between a philosopher's personal convictions and his arguments is perhaps too little studied. Convictions can diverge from arguments in both directions. Rational arguments can fall far short of strongly held convictions [e.g.,Marx], and philosophers of timid conviction can fail to trace out the full implications of their own arguments.
Hegel's theory went much farther than his convictions (or social mileau) would allow; he had to downplay the implications. Having taken possession of one's responsible capabilities and thus taken away "that externality which alone made them capable of passing into the possession of someone else," a person cannot alienate them for eight hours a day any more than for a lifetime. The de facto inalienability argument applies as well to the employment contract as to the lifetime labor contract. Yet Hegel hardly wanted to present a structural critique the institution of wage labor (far deeper than Marx's later exploitation theory) so Hegel quickly added some metaphysical doubletalk in an attempt to defuse the argument.
Single products of my particular physical and mental skill and of my power to act I can alienate to someone else and I can give him the use of my abilities for a restricted period, because, on the strength of this restriction, my abilities acquire an external relation to the totality and universality of my being. …
The relation here between myself and the exercise of my abilities is the same as that between the substance of a thing and its use… . It is only when use is restricted that a distinction between use and substance arises. So here, the use of my powers differs from my powers and therefore from myself, only in so far as it is quantitatively restricted. Force is the totality of its manifestations, substance of its accidents, the universal of its particulars. [Ibid., ¤67]
In case the purpose of Hegel's remarks was not clear, one of the original editors added an explanation culled from Hegel's lectures: "The distinction here explained is that between a slave and a modern domestic servant or day-labourer." [Hegel 1967, 241]
Some Modern Developments
Inalienability: An Achilles' Heel of Law-and-Economics
We traced, in an earlier chapter, the intellectual history of the non-democratic alienist wing of liberal thought. In modern times, that wing has re-emerged dressed in the garb of neoclassical economics as the new field of "Law-and-Economics" (L&E). The mathematical formalism and intellectual prestige of modern economics has given L&E tremendous momentum. It takes a theory to kill a theory, and legal scholars have had no comparable theory to stem the invasion of efficiency-based economic arguments into jurisprudence. Like "syphilis in Hawaii," L&E has sweep through the law schools of America—creating much resentment but meeting no antidote.
There is an antidote—democratic theory, the labor theory of property, and the de facto theory of inalienability—to name some of the ingredients in the cure. But the cure is worse that the disease for those legal scholars who see no fraud in the contract to rent human beings, who see no theft in the employer's appropriation of the whole product, and who see no flaw in the alienation of the "private" right of self-determination in the employment contract. Thus the battle staggers on—the one side pressing forward to conquer new territory, the other side holding back unable or unwilling to take the measures necessary to halt the invasion.
Our purpose in this section is to record some of the thrusts and parries concerning "inalienability" in this controversy surrounding Law-and-Economics.
It is useful to distinguish between L&E as an insightful analysis of some legal phenomena, and L&E as a comprehensive efficiency-based approach to jurisprudence. The former more modest approach could be called "soft L&E" while the latter (represented by Judge Richard Posner) is "hard-L&E." The issue of inalienability, better than any other issue, reveals the intellectual hubris in "hard Law-and-Economics," i.e., L&E taken as a complete approach to jurisprudence. Efficiency arguments (applied to institutionally-defined acts) and inalienability arguments are like oil and water; they do not mix [see "Voluntary Acts between Knowledgable Consenting Adults" in the next chapter for a deeper analysis]. If there are two or more willing parties for an institutional transaction without externalities, then efficiency demands that the transaction be permitted.
There are, however, certain voluntary transactions between consenting adults which are outlawed. These prohibitions are an intellectual embarrassment to anyone who takes Law-and-Economics as a new jurisprudence—rather than an informative analysis of a limited range of legal transactions. Leaving aside Posner's market for babies [Landes and Posner 1978] since it directly involves third parties (the babies), standard examples are voluntary self-enslavement contracts or contracts to sell personal or political rights such as voting rights.
Efficiency seems to require that future-dated labor be just as alienable as current labor. A contract to sell all one's future labor "rump and stump" (up to retirement) would be modern civilized form of the old self-enslavement contract. Yet that is currently outlawed. Thus the crown jewel of neoclassical economics (including Law-and-Economics), the (first) Fundamental Theorem of Welfare Economics ("A competitive equilibrium is allocatively efficient"), must assume that the legal system has been "modified to permit individuals to sell or mortgage their persons" [Christ 1975, 334].
Efficiency similarly requires that personal and political rights be alienable.
Perhaps the clearest example is the vote in a democratic polity. The modern democratic ethic excludes property qualifications, obvious or disguised, for the suffrage. Votes are not transferable; buying or selling them is illegal, and the secret ballot makes such contracts unenforceable. In some countries, indeed, citizens are penalized simply for not voting. Any good second year graduate student in economics could write a short examination paper proving that voluntary transactions in votes would increase the welfare of the sellers as well as the buyers. [Tobin 1970, 454]
What is an advocate of hard-L&E to do? Intellectual consistency would require arguing for permitting voluntary self-enslavement contracts or contracts to alienate political rights—following the admirable example of Harvard's Professor Robert Nozick. But discretion seems to be the better part of intellectual valor. L&E enthusiasts are willing to accept the flimsiest arguments against vote-selling or slavery contracts in order to push these skeletons back into the closet.
The modern L&E literature on inalienability begins with Calabresi and Melamed's seminal article "Property Rules, Liability Rules, and Inalienability: One View of the Cathedral" [1983 (orig. 1972)]. Representing an only "semi-hard-L&E" position, Calabresi and Melamed want to argue against contracts to sell oneself into slavery. Yet the best argument they can find is that moralistic third parties will be unhappy at the knowledge of such transactions.
If Taney is allowed to sell himself into slavery, or to take undue risks of becoming penniless, or to sell a kidney, Marshall may be harmed, simply because Marshall is a sensitive man who is made unhappy by seeing slaves, paupers, or persons who die because they have sold a kidney. [64]
The state could leave Marshall free to bribe Taney not to do it, but there might be other similar "Marshalls" who would freeload (i.e., not come forward with their share of the bribe) so that market solution would be suboptimal. Or the state could require Taney and his master to compensate the Marshalls for their unhappiness but, as with any subjective externalities, it is difficult to find an "acceptable objective measurement." In addition, pseudo-Marshall freeloaders could feign moralistic adversion to slavery to share in the compensation.
The state must, therefore, either ignore the external costs to Marshall, or if it judges them great enough, forbid the transaction that gave rise to them by making Taney's freedom inalienable. [64]
Such Law-and-Economics arguments make for amusing intellectual exercises, but one must question whether Calabresi, Melamed, or anyone else really thinks such reasons account for the invalidity of self-enslavement contracts.
The whole argument can be repeated for any subjective external effects. People of impeccable taste (Marshall) take great umbrage at pink plastic flamingos in other people's front yards (Taney's). It is not the plastic flamingos themselves that create the externality, but their unsightliness. Invisible plastic flamingos would be alright. Similarly, it is the knowledge of the slavery contract that spreads outward, like smoke, to cause the externality. Perhaps the optimal solution is to allow the efficiency-enhancing slavery contracts but to outlaw the "indecent exposure" of such contracts to the public.
Moreover, it is hard to believe that plastic flamingos are allowed and slavery contracts are disallowed simply because of the relative magnitude in the two cases of the Marshalls' unhappiness in some subjective utilitarian metric. In a society where people were more tolerate of slavery such as the antebellum American South, should voluntary slavery contracts have been allowed (as they indeed were in antebellum times)?
Our purpose is not to criticize L&E arguments based on social cost and benefit analysis. The criticism is only of such arguments applied to basic inalienable rights involved in slavery contracts or selling political votes. There is a wide range of alienability restrictions with pragmatic rationales based on social cost analysis. For instance, there is no question that game birds or water drawn from a western river are bona fide transferable commodities (unlike human responsibility or decision-making). But the sale of these commodities might well be restricted or prohibited to prevent the over-exploitation of common resource pools.
Susan Rose-Ackerman picked up the inalienability theme from Calabresi-Melamed and applied it to property rights [1985]. She developed a useful taxonomy of various kinds of inalienability and noted that many entitlements are associated with functional roles. We previously noted that if a right is associated with a functional role, then the right would not be alienable. Those who qualify do not have to "buy" the right, and those who "bought" the right might not have the qualifying role. That is not an inalienability argument since it does not determine why the right should be assigned to a functional role in the first place instead of being an alienable property right. An inalienability argument would have to answer that prior question.
Rose-Ackerman presented many of the pragmatic arguments used in L&E (e.g., common pool problems, imperfect information, free rider problems, and prisoner dilemma situations) to support restrictions on the transfer of certain otherwise transferable commodities. However, our focus is only on inalienability arguments applied to "inalienable rights." Here she notes that political vote-selling would be incompatible with the ideals of citizenship in a modern democracy. That is not an effective argument given the long and venerable tradition of non-democratic liberalism that viewed the right of self-determination as being quite alienable and given that our present economic system is based on voluntarily alienating that right in the workplace.
Rose-Ackerman's paper was answered by the Chicago legal theorist, Richard Epstein, who felt she was overly restrictive [1985]. Epstein addresses but ultimately fails to answer one of the embarrassing questions facing hard-L&E. How can L&E plausibly account for the almost complete freedom in buying and selling voting corporate shares and also account for the complete prohibition on buying and selling political votes?
Epstein sets aside the argument that political vote-selling would allow the rich to exploit the poor. He notes that vote-selling was prohibited even when the property franchise prevented the poor from voting at all.
In addition, it is difficult to see why exploitation should occur. Between a buyer and seller of votes there is no obvious externality, and no reason why the poor vote holder could not command a fairly attractive sum for the vote in question, especially when rival factions are bidding for control. [989]
Epstein develops his own somewhat bizarre argument against vote-selling based on a rather strained analogy between an oilman's exploitation of a common oil pool and a political official's access to the public treasury. With vote-selling, takeover artists could heavily leverage their acquisition of votes and then, once in office, supposedly raid the common pool of public monies to pay off the debts.
If vote selling were fully legal, there would be no reason to limit sales to ones for hard cash, for individuals could make (secured) promises to make payments from the public treasury after election. Vote buyers would finance their purchases out of the pockets of third parties. Prohibiting the sale of votes is thus a low-cost way of preventing these extreme forms of abuse. [987-988]
It is difficult to understand this argument since no one has suggested the hypothetical repeal of the laws against the theft of public monies. Moreover, Epstein is making these arguments not in 1885 but in 1985 when political campaigns without vote-selling are still multi-million dollar extravaganzas. There seems to be little historical basis for the notion that the prohibition of vote-selling will stop politicians from trying to raid the public purse anyway. That's why there are already laws against officials paying their campaign debts with "payments from the public treasury after election."
Here again, it is difficult to believe that L&E enthusiasts take these as serious arguments against political vote-selling or slavery contracts. They seem more like suggestions on the order of "Let's just accept this argument against vote-selling or voluntary slavery so we can move on to less embarrassing topics where L&E reasoning is more plausible."
Aside from the tellingly weak L&E arguments about inalienable rights, most of the modern literature on the topic has been unremarkable. For instance, the only recent book-length philosophical treatise on inalienable rights [Meyers 1985] shows no awareness of the classical de facto inalienability arguments as in Hutcheson [in spite of Wills 1979], Richard Price [in spite of Lynd 1969], or even Hegel.
A Modern Use of the De Facto Inalienability Argument
The de facto theory of inalienable rights is not hidden. The "intuition pump" of the criminous employee is an example of de facto inalienability that is "intuitively obvious to the most casual observer." It is the full implications for the "employment contract" itself that are rarely understood; the de facto responsible actions of an ordinary employee are just as de facto non-transferable as the actions of the criminal.
The recent work of the legal scholar Randy Barnett on contractual remedies and inalienable rights [1986] provides an excellent modern illustration of the (partial) use of the de facto inalienability argument.
Traditional legal theory affords the remedy of monetary damages for the breach of a contract. Except in very limited circumstances, the courts will not enforce the specific performance of a breached contract. Professor Barnett argues that the restrictions against enforcing specific performance should apply only to labor contracts, and that other breached contracts should be specifically enforced by the courts. The interesting point is that Professor Barnett uses the de facto inalienability argument to exclude specific performance of labor contracts because labor is de facto non-transferable!
One of the roots of the de facto inalienability argument was the Enlightenment critique of the voluntary slavery contract. Barnett quotes Rousseau ("Such a renunciation is incompatible with man's nature") to buttress his assertion that there
would appear to be something morally defective about a theory that failed to hold a competent person responsible for his actions simply because that person had consented to shift responsibility to another. [187]
It is not clear if Professor Barnett realizes the implications for the employment contract in the employment firm wherein the employees consent to shift legal or de jure responsibility for the results of their actions to the company.
Professor Barnett does clearly see that human actions are not de facto transferable. We can only agree to co-operate with others; we cannot transfer or alienate the de facto control over our voluntary actions.
If rights are enforceable claims to control resources in the world and contracts are enforceable transfers of these rights, it is reasonable to conclude that a right to control a resource cannot be transferred where the control of the resource itself cannot in fact be transferred. Suppose that A consented to transfer partial or complete control of his body to B. Absent some physiological change in A (caused, perhaps, by voluntarily and knowingly ingesting some special drug or undergoing psychosurgery) there is no way for such a commitment to be carried out. [188]
Professor Barnett also correctly contrasts this de facto inalienability of intentional human actions with the de facto transferability of bona fide commodities.
What is my house or car could equally well be your house or car. But bodies are different from other kinds of things. What is my body cannot in any literal sense be made your body. Because there is no obstacle to transferring control of a house or car (of the sort that is unavoidably presented when one attempts to transfer control over one's body), there is no obstacle to transferring the right to control a house or car. But if control cannot be transferred, then it is hard to see how a right to control can be transferred. [189]
Professor Barnett's admirable rendition of the classical de facto inalienability arguments is only slightly marred by his apparent inclusion of the independent contractor (IC) as "selling services" like the employee. However in spite of that misleading language about "selling services," the independent contractor does not sell the control of his or her actions. That is precisely the point of the traditional "control test" used to differentiate independent contractors from servants. The IC is a self-employed business-person who produces, appropriates, and sells an intangible product, an effect, a job. The IC retains decision-making control over the execution of the work process and has the legal responsibility for the end result. Since the relationship does not purport to transfer that responsibility or decision-making, the contract between a genuine independent contractor and the customer does not run afoul of the de facto inalienability theory.
Professor Barnett correctly concludes that "the services of the employees cannot be the subject of a valid contract because such services consist of the employees' exercise of their inalienable rights" [199]. But he apparently interprets this to mean only that if the contract is breached, then the employee would only be liable for money damages. The courts should not try to enforce specific performance since labor is non-transferable.
We previously observed how Hegel's use of the de facto inalienability contract against the voluntary slavery contract carried Hegel further than he wanted. Hegel resorted to some transparent doubletalk to avoid applying the critique to the employment contract. Professor Barnett is in a similar quandary. The conclusion to Barnett's argument seems to be stronger than he is willing to draw. If labor is really de facto non-transferable as he has so forcefully argued, then the conclusion is that the contract to legally transfer labor is invalid from the outset—not just that the contract should not be specifically enforced when it is "breached."
The contract to legally transfer labor never is fulfilled by the de facto transfer of labor. An employee can at most co-operate together with a working employer. This de facto responsible cooperation—which earns the criminous employee a trip to jail—is interpreted as "fulfilling" the contract to legally transfer labor (when no crime is involved). It is only the withholding of this responsible cooperation that is interpreted as "breaching" the employment contract.
Professor Barnett has in fact splendidly restated the de facto inalienability analysis which shows the inherently fraudulent and invalid nature of the institution of renting or hiring human beings. The whole machinery of a contract to legally transfer the right to temporarily control the use of a rented entity cannot in fact be applied when the entity is a responsible person. To legally validate such a labor contract and to interpret responsible co-operation as "fulfilling" the contract to transfer labor is only to perpetrate a fraud on an institutional scale.