ANARCH,

STATE,AND
UTOPIA
ROBERT NOZICK
BLACKWEll
U~ UK Lombtidt U5A
Material quoted from Lawrence Krader, Formation of the State, 1968, pp. 21-22,
reprinted by permission of Prentice-Hall Inc., Englewood Clifs, New Jersey.
Excerpts from A Theoy of Justice by John Rawls are reprinted by permission of the
publishers, Cambridge, Mass: The Belknap Press of Harvard University Press and
Oxford: The Clarendon Press, and are copyright 1971
by the President and Fellows of Harvard College.
Copyright 1974 by Basic Books, Inc.
Reprinted 1980, 1984, 1986, 1988, 1990, 1991, 1992, 1993,
1995, 1996, 1997, 1998, 1999
Blackwell Publishers Ltd
108 Cowley Road, Oxford, OX4 IJF, UK
All rights reserved. Except for the quotation of short passages for the purposes of criticism and
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in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without the prior permission of the publishers.
ISBN 0-631-19780-X
Printed in Great Britain by T J Intenational Ltd, Padstow, Conwall
This book is printed on acid-free paper
CONTENTS
Prclacc
Ackno!cdymcnts
PART I
State-of Nature Theory, or How to Back
into a State without Realy Tying
1 . hy Statc-ol-Paturc Jhcory!
POLITICAL PHILOSOPHY q
EXPLANATORY POLITICAL THEORY 6
2. Jhc Statc ol Paturc
PROTECTIVE ASSOCIATIONS I2
THE DOMINANT PROTECTIVE ASSOCIATION
INVISIBLE-HAND EXPLANATIONS I8
IS THE OMINANT PROTECTIVE ASSOCIATION
A STATE? 22
3. Mora! Constrants and thc Statc
THE MINIMAL STATE AND THE ULTRAMINIMAL
STATE 26
I
MORAL CONSTRAINTS AND MORAL GOALS 28
WHY SIDE CONSTRAINTS? D
LIBERTARIAN CONSTRAINTS
CONSTRAINTS AND ANIMALS
THE EXPERIENCE MACHINE 42
UNDERDETERMINATION OF MORAL
THEORY q
WHAT ARE CONSTRAINTS BASED UPON?
THE INDIVIDUALIST ANARCHIST I
N
IX
XV
3
10
26
VI
4. Prohbton, Compcnsaton, and Ksk
INDEPENDENTS AND THE DOMINANT PROTECTIVE
AGENCY q
PROHIBITION AND COMPENSATION
WHY EVER PROHIBIT? o
RETRIBUTIVE AND DETERRENCE THEORIES OF
PUNISHMENT
DIVIDING THE BENEFITS OF EXCHANGE
FEAR AND PROHIBITION
WHY NOT ALWAYS PROHIBIT? 1
RISK
THE PRINCIPLE OF COMPENSATION
PRODUCTIVE EXCHANGE
5. Jhc Statc
PROHIBITING PRIVATE ENFORCEMENT OF
JUSTICE oo
"THE PRINCIPLE OF FAIRNESS" C
PROCEDURAL RIGHTS
HOW MAY THE DOMINANT AGENCY ACT?
THE DE FACTO MONOPOLY 1Co
PROTECTING OTHERS
THE STATE 11
11C
THE INVISIBLE-HAND EXPLANATION OF THE
STATE 11o
6. urthcr Consdcratons on thc Argumcnt
lor thc Statc
STOPPING THE PROCESS? 12C
PREEMPTIVE ATTACK 12
BEHAVIOR IN THE PROCESS 1C
LEGITIMACY 1
THE RIGHT OF ALL TO PUNISH 1
PREVENTIVE RESTRAINT
1C1
PART I I
Beyond the Minimal State?
7. Ostrbutvc )ustcc
LC1l . 1C
THE ENTITLEMENT THEORY
HISTORICAL PRINCIPLES AND END-RESULT
PRINCIPLES
PATTERNING
1
1
Contcnts
54
88
120
149
Contcnts
HOW LIBERTY UPSETS PATTERNS
SEN'S ARGUMENT 1q
1C
REDISTRIBUTION AND PROPERTY RIGHTS
LOCKE'S THEORY OF ACQUISITION
THE PROVISO 1o
LC1l ll:
RAWLS' THEORY
SOCIAL COOPERATION !o
1q
TERMS OF COOPERATION AND THE DIFFERENCE
PRINCIPLE
THE ORIGINAL POSITION AND END-RESULT
PRINCIPLES
MACRO AND MICRO 2Cq
NATURAL ASSETS AND ARBITRARINESS 21
8.
THE POSITIVE ARGUMENT 21
THE NEGATIVE ARGUMENT 22q
COLLECTIVE ASSETS 22o
Lqua! ty, Lnvy, Lxp!otaton, Ltc.
EQUALITY 22
EQUALITY OF OPPORTUNITY 2
SELF-ESTEEM AND ENVY 2
MEANINGFUL WORK 2q
WORKERS' CONTROL
MARXIAN EXPLOITATION
VOLUNTARY EXCHANGE
PHILANTHROPY 2
HAVING A SAY OVER WHAT AFFECTS YOU
THE NONNEUTRAL STATE 21
HOW REDISTRIBUTION OPERATES 2q
9. Ocmoktcss
CONSISTENCY AND PARALLEL EXAMPLES
THE MORE-THAN-MINIMAL STATE DERIVED
HYPOTHETICAL HISTORIES 22
PART I I I
Utopia
10. A ramcwork lor Ltopa
THE MODEL 2
THE MODEL PROJECTED ONTO OUR WORLD
THE FRAMEWORK
DESIGN DEVICES AND FILTER DEVICES
2
2oC
12
NII
232
276
297
NIII
THE FRAMEWORK AS UTOPIAN COMMON
GROUND 1
COMMUNITY AND NATION 2C
COMMUNITIES WHICH CHANGE 2
TOTAL COMMUNITIES 2
UTOPIAN MEANS AND ENDS 2
HOW UTOPIA WORKS OUT 1
UTOPIA AND THE MINIMAL STATE
Potcs
bb!ography
ndcx
Contcnts
335
355
361
PREFACE
IPOVOLALS havc rghts, and thcrc arc thngs no pcrson or
group may do to thcm (thout vo!atng thcr rghts). So strong
and lar-rcachng arc thcsc rghts that thcy rasc thc qucston ol
hat, l anythng, thc statc and ts olhca!s may do. Mo much
room do ndvdua! rghts !cavc lor thc statc! Jhc naturc ol thc
statc, ts !cgtmatc lunctons and ts just hcatons , l any, s thc
ccntra! conccrn ol ths book, a dc and dvcrsc varcty ol topcs
ntcrtnc n thc coursc olour nvcstgaton.
Cur man conc!usons about thc statc arc that a mnma! statc,
!mtcd to thc narro lunctons olprotccton aganst lorcc, thclt,
lraud, cnlorccmcnt olcontracts , and so on, s justhcd, that any
morc cxtcnsvc statc !! vo!atc pcrsons rghts not to bc lorccd to
do ccrtan thngs , and s unjust hcd, and that thc mnma! statc s
nsprng as c!! as rght. Jo notcorthy mp!catons arc that
thc statc may not usc ts cocrcvc apparatus lor thc purposc olgct-
tng somc ctzcns to ad othcrs , or n ordcr to prohbtactvtcs to
pcop!c lor thcrown good or protccton.
Ocsptc thc lactthat t s on!y cocrcvc routcs toard thcscgoa!s
that arc cxc!udcd, h!c vo!untary oncs rcmar, many pcrsons !!
rcjcct our conc!usons nstant!y, knong thcy don` t want to bc-
!cvc anythng so apparcnt!y ca!!ous toard thc nccds and sullcrng
olothcrs . kno that rcacton, t as mnc hcn hrst bcgan to
consdcr such vcs. th rc!uctancc, lound mysc!l bccomng
convnccd ol (as thcy arc no oltcn ca!!cd) !bcrtaran vcs, duc
to varous consdcratons and argumcnts . Jhs book contans !tt!c
cvdcncc olmy car! cr rc!uctancc. nstcad, t contans many olthc
consdcratons and argumcnts , hch prcscnt as lorcclu!!y 8
can. Jhcrcby, run thc rsk olollcndng doub!y. lor thc poston
Y
Preface
cxpoundcd, and lor thc lact that ! producc rcasons to support ths
poston.
My car! cr rc!uctancc s not prcscnt n ths vo!umc, bccausc t
has dsappcarcd. Cvcr tmc, ! havc yrovn accustomcd to thcvcvs
and thcr conscqucnccs , and ! nov scc thc po! tca! rca!m throuyh
thcm (Shou!d ! say that thcy cnab!c mc to scc throuyh thc po-
!tca! rca!m') Sncc many ol thc pcop!c vho takc a sm!ar pos-
ton arc narrov and ryd, and h!!cd, paradoxca!!y, vth rcscnt-
mcnt at othcr lrccr vays ol bcny, my nov havny natura!
rcsponscs vhch ht thc thcory puts mc n somc bad company. ! do
not vc!comc thc lact that most pcop!c ! knov and rcspcct dsayrcc
vth mc, havny outyrovn thc not vho!!y admrab!c p!casurc ol
rrtatny or dumbloundn pcop!c by producny strony rcasons to
support postons thcy ds!kc or cvcn dctcst .
! vrtc n thc modc olmuch contcmporary ph!osophca! vork
n cpstcmo!oyy or mctaphyscs . thcrc arc c!aboratc aryumcnts,
c!ams rcbuttcd by un!kc!y countcrcxamp!cs , surprsny thcscs,
puzz!cs, abstract structura! condtons , cha!!cnycs to hnd anothcr
thcory vhch hts a spcchcd ranyc ol cascs, start!ny conc!usons,
and so on. Jhouyh ths makcs lor ntc!!cctua! ntcrcst and cxctc-
mcnt (! hopc), somc may lcc! that thc truth about cthcsandpo!t-
ca! ph!osophy stooscrous and mportant tobcobtancd bysuch
`hashy too!s. Pcvcrthc!css, t may bc that corrcctncss n cthcs s
not lound n vhat vc natura!!y thnk.
A codhcaton olthc rcccvcd vcv or an cxp!caton olacccptcd
prncp!cs nccd not usc c!aboratc aryumcnts. !t s thouyht to bc an
objccton to othcr vcvs mcrc!y to pont out that thcy conhct
vth thc vcv vhch rcadcrs vsh anyvay to acccpt. but a vcv
vhch dllcrs lrom thc rcadcrs cannot aryuc lor tsc!l mcrc!y by
pontny out that thc rcccvcd vcv conhcts vth itl !nstcad, t
v!! havc to subjcct thc rcccvcd vcv to thc yrcatcst ntc!!cctua!
tcstny and stran, va countcraryumcnts, scrutny ol ts prcsup-
postons, and prcscntaton ola ranyc ol possb!c stuatons vhcrc
cvcn ts proponcnts arc uncomlortab!c vth ts conscqucnccs.
Lvcn thc rcadcr unconvnccd by my aryumcnts shou!d hnd that,
n thc proccss olmantanny and supportny hs vcv, hc has c!ar-
hcd and dccpcncd t. Morcovcr, ! ! kc to thnk, ntc!!cctua! hon-
csty dcmands that, occasonaI!y at !cast , vc yo out olour vay to
conlront strony aryumcnts opposcd to our vcvs . Mov c!scarc vc
Preface
to protcct oursc!vcs lrom contnuny n crror' !t sccms on!y lar to
rcmnd thc rcadcr that ntc!!cctua! honcsty has ts danycrs, aryu-
mcnts rcad pcrhaps at hrst n curous lascnaton may comc to con-
vncc and cvcn to sccm natura! and ntutvc. Cn!y thc rclusa! to
!stcn yuarantccs onc ayanst bcny cnsnarcd by thc truth.
Jhccontcnts olths vo!umc arc ts partcu!ar aryumcnts, st!! , !
can ndcatc lurthcr vhat s to comc. Sncc ! bcyn v th a strony
lormu!aton ol ndvdua! ryhts , ! trcat scrous!y thc anarchst
c!am that n thc coursc olmantanny ts monopo!y on thc usc

ol
lorcc and protcctny cvcryonc vthn a tcrrtory, thc statc must
vo!atc ndvdua!s ryhts and hcncc s ntrnsca!!y mmora! .
Ayanst ths c!am, ! aryuc that a statc vou!d arsc lrom anarchy
(as rcprcscntcd by Lockc s statc ol naturc) cvcn thouyh no onc n-
tcndcd ths or trcd to brny t about, by aproccss vhch nccd not
vo!atc anyoncs ryhts . Pursuny ths ccntra! aryumcnt ol Part
!cads throuyh a dvcrsty ol ssucs, thcsc nc!udc vhy mora! vcvs
nvo!vc sdc constrants on acton rathcr than mcrc!y bcny yoa!-
drcctcd, thc trcatmcnt ol anma!s, vhy t s so satslyny to cx-
p!an comp!catcd pattcrns as arsny by proccsscs n vhch no onc
ntcnds thcm, thc rcasons vhy somc actons arc prohbtcd rathcr
than a!!ovcd provdcd compnsaton s pad to thcr vctms, thc
noncxstcncc ol thc dctcrrcncc thcory olpunshmcnt, ssucs about
prohbtny rsky actons , Mcrbcrt Mart` s so-ca!Icd 'prncp!c ol
larncss, prccmptvc attack, and prcvcntvc dctcnton. Jhcsc
ssucs and othcrs arc brouyht to bcar n nvcstyatny thc naturc
and mora! !cytmacy.olthc statc and olanarchy.
Part j usthcs thc mnma! statc, Part contcnds that no morc
cxtcnsvc statc can bc justhcd. procccd by aryuny that a dvcr-
sty ol rcasons vhch purport to justly a morc cxtcnsvc statc,
don t. Ayanst thc c!am that such a statc s j ust hcd n ordcr to
achcvc or producc dstrbutvc j ustcc amony ts ctzcns , ! dc-
vc!op a thcory ol j ustcc (thc cntt!cmcnt thcory) vhch docs not
rcqurc any morc cxtcnsvc statc, and usc thc apparatus ol ths
thcory to dsscct and crtczc othcr thcorcs oldstrbutvc j ustcc
vhch do cnvsayc a morc cxtcnsvc statc, locusny cspcca!!y on
thc rcccnt povcrlu! thcory ol)ohn Kav!s. Cthcrrcasonsthat somc
myht thnk j ust| a morc cxtcnsvc statc arc crtczcd, nc!udny
cqua!ty, cnvy, vorkcrs contro! , andMarxan thcorcs olcxp!ota-
ton. (Kcadcrs vho hnd Part ! dlhcu!t shou!d hnd Part ! cascr ,
7I1
Preface
th Chaptcr 8 cascr than Chaptcr 7.) Part c!oscs th a hypo-
thctca! dcscrpton ol ho a morc cxtcnsvc statc myht arsc, a
ta!c dcsyncd to makc such a statc qutc unattractvc. Lvcn l thc
mnma! statc s thc unquc!y j usth ab!c onc, t may sccm pa!c and
uncxctny, hard!y somcthny to nsprc onc or to prcscnt a yoa!
orth hyhtny lor. Jo asscss ths, turn to that prccmncnt!y
nsprny tradton ol soca! thouyht, utopan thcory, and aryuc
that hat can bc savcd lrom ths tradton s prccsc!y thc structurc
ol thc mnma! statc. Jhc aryumcnt nvo!vcs a comparson ol dl-
lcrcnt mcthods ol shapny a soccty, dcsyn dcvccs and h!tcr dc-
vccs, and thc prcscntaton ola modc! hch nvtcs app!caton ol
thc mathcmatca! cconomst`s noton ol thc corc olan cconomy.
My cmphass upon thc conc!usons hch dvcryc lrom hat
most rcadcrs bc!cvc may ms!cad onc nto thnkny ths book s
somc sort olpo!tca! tract. t s not, t s a ph!osophca! cxp!ora-
ton ol ssucs, many lascnatny n thcr on ryht , hch arsc
and ntcrconncct hcn c consdcr ndvdua! ryhts and thc statc.
Jhc ord `cxp!oraton s appropratc!y choscn. Cnc vc about
ho to rtc a ph!osophy book ho!ds that an author shou!d thnk
throuyh a!! ol thc dcta!s ol thc vc hc prcscnts, and ts prob-
!cms, po!shny and rchnny hs vc to prcscnt to thc or!d a
hnshcd, comp!ctc, and c!cyant ho!c. Jhs s not my vc. At
any ratc, bc!cvc that thcrc a!so s a p!acc and a luncton n our
onyony ntc!!cctua! !lc lor a lcss comp!ctc ork, contanny un-
hnshcd prcscntatons, conjccturcs , opcn qucstons and prob!cms ,
!cads, sdc conncctons, as c!! as a man !nc olaryumcnt. Jhcrc
s room lor ords on sub|ccts othcr than !ast ords.
ndccd, thc usua! manncr olprcscntny ph!osophca! ork puz-
z!cs mc. orks ol ph!osophy arc rttcn as thouyh thcr authors
bc!cvc thcm to bc thc abso!utc!y hna! ord on thcr subjcct. but
t s not, surc!y, that cach ph!osophcr thnks that hc hna!!y, thank
Lod, has lound thc truth and bu!t an mprcynab!c lortrcss around
t. c arc a!! actua!!y much morc modcst than that . or yood
rcason. Mavny thouyht !ony and hard abut thc vc hc pro-
poscs, a ph!osophcr has a rcasonab!y yood dca abut ts cak
ponts, thc p!accs hcrc yrcat ntc!!cctua! cyht s p!accd upon
somcthny pcrhaps too lray!c to bcar t , thc p!accs hcrc thc
unravc!!ny ol thc vc myht bcyn, thc unprobcd assumptons
hc lcc!s uncosy about.
Preface
7111
Cnc lorm olph!osophca! actvty lcc!s !kc pushny and shov-
ny thnys to ht nto somc hxcd pcrmctcr ol spcchcd shapc. A!!
thosc thnys arc !yny out thcrc, and thcy must bc ht n. You push
and shovc thc matcra! nto thc ryd arca ycttny t nto thc
boundary on onc sdc, and t bu!ycs out on anothcr. You run
around and prcss n thc protrudny bu!yc, producny yct anothcr
n anothcr p!acc. So you push and shovc and c!p ollcorncrs lrom
thc thnys so thcy!! htand you prcss n unt! hna!!y a!most cvcry-
thny sts unstab!y morc or !css n thcrc, hat docsnt ycts hcavcd
far aay so that t on` t bc notccd. (Cl coursc, t s not a!! that
crudc . Jhcrcs a!so thc coaxny and cajo!ny. And thc body Ln-
y!sh. ) Quickly, you hnd an any!c lrom hch t !ooks !kc an cxact
ht and takc a snapshot, at a last shuttcr spccd bclorc somcthny
c!sc bu!ycs out too notccab!y. Jhcn, back to thc darkroom to
touch up thc rcnts, rps, and tcars n thc labrc olthc pcrmctcr.
A!! that rcmans s to pub!sh thc photoyraph as a rcprcscntaton
ol cxact!y ho thnys arc, and to notc ho nothny hts propcr!y
nto any othcr shapc.
Po ph!osophcr says. `Jhcrcs hcrc startcd, hcrcs hcrc
cndcd up, thc major cakncss n my ork s that cnt lrom
thcrc to hcrc, n partcu!ar, hcrc arc thc most notab!c dstortons,
pushnys, shovnys, mau!nys, youynys , strctchnys, and chp-
pnys that commttcd durny thc trp, not to mcnton thc thnys
thron aay and ynorcd, and a!! thosc avcrtnys olyazc. `
Jhc rctccncc ol ph!osophcrs about thc cakncsscs thcy pcr-
ccvc n thcr on vcs s not, 1 thnk, smp!y a qucston ol
ph!osophca! honcsty and ntcyrty, thouyh t is that or at !cast
bccomcs that hcn brouyht to conscousncss Jhc rctccncc s con-
ncctcd th ph!osophcrs purposcs n lormu!atny vcs. hy do
thcy strvc to lorcc cvcrythny nto that onc hxcd pcrmctcr' hy
not anothcr pcrmctcr, or, morc radca!!y, hy not !cavc thnys
hcrc thcy arc' hat docs havny cvcrythny thn a pcrmctcr
do lor us' hy do c ant t so' (hat docs t shc!d us lrom')
rom thcsc dccp (and lryhtcnny) qucstons , 1 hopc not to bc ab!c
to manayc to avcrt my yazc n luturc ork.
Mocvcr, my rcason lor mcntonny thcsc ssucs hcrc s not that
1 lccl thcy pcrtan morc strony!y to ths ork than to othcr ph!o-
sophca! rtnys. hat say n ths book s , 1 thnk, corrcct .
Jhs s not my ay oltakny t back. Kathcr, 1 proposc to yvc t
71N
rcIacc
aII to you. thc doubts and orrcs and unccrtantcs as cII as thc
bcIcls, convctons, and aryumcnts.
At thosc partcuIar ponts n my aryumcnts, transtons, as-
sumptons, and so lorth, hcrc ! lccI thc stran, ! try to commcnt
or at Icast to dra thc rcadcr`s attcnton tohat makcs mc uncasy.
!n advancc, t s possbIc to vocc somcycncraI thcorctcaIorrcs.
Jhs book docs not prcscnt a prccsc thcory ol thc moraI bass ol
ndvduaI ryhts, t docs not contan a prccsc statcmcnt and j us-
thcaton ola thcory olrctrbutvc punshmcnt, or a prccsc statc-
mcnt ol thc prncpIcs ol thc trparttc thcory oldstrbutvc j us-
tcc t prcscnts. Much ol hat ! say rcsts upon or uscs ycncraI
lcaturcs that ! bcIcvc such thcorcs ouId havc crc thcy orkcd
out . ! ouId Ikc to rtc on thcsc topcs n thc luturc. !l! do, no
doubt thc rcsuItny thcory II dllcr lromhat ! no cxpcct t to
bc, and ths ouId rcqurc somc modhcatons n thc supcrstruc-
turc crcctcd hcrc. !t ouId bc looIsh to cxpcct that ! shaII com-
pIctc thcsc lundamcntaI tasks satslactorIy, as t ouId bc to
rcman sIcnt untI thcy arc donc. Pcrhaps ths cssay II stmuIatc
othcrs to hcIp.
ACKNOWLEDGMENTS
ninc chaptcrs ol ths cssay crc rttcn durn
I g I-I gz , hIc ! as a cIIo at thc Ccntcr lor Advanccd
Study n thc bchavoraI Sccnccs at PaIo AIto, a mnmaIIy struc-
turcdacadcmc nsttutonbordcrnyonndvduaIstanarchy. !am
vcry yratcluI to thc Ccntcr and ts stall lor provdny an cnvron-
mcnt so conducvc to ycttny thnys donc. Chaptcr I c as prc-
scntcd n a symposum on `Ltopa and Ltopansm` at a mcctny
ol thc Lastcrn Ovson olthc Amcrcan PhIosophcaI Assocaton
n I g6g, somc ponts lrom that dcIvcrcd addrcss appcar scattcrcd
n thc othcr chaptcrs. Jhc hoIc manuscrpt as rcrttcn durny
thc summcr ol I g .
barbara Pozck`s obcctons to somc ol thc postons dclcndcd
hcrc hcIpcd mc to sharpcn my vcs, n addton shc hcIpd cnor-
mousIyn nnumcrabIc othcrays . Cvcr scvcraI ycars , ! havc bcnc-
htcd lrom MchacI aIzcr`s commcnts , qucstons , and countcr
aryumcnts as ! trcd out on hm dcas on somc topcs olths cssay.
! havc rcccvcd dctaIcd and vcry hcIphI rttcn commcnts
on thc hoIc manuscrpt rttcn at thc Ccntcr lrom W. V
Qunc, Ocrck Parh t, and LIbcrt Marman, on Chaptcr lrom
)ohn KaIs and rank MchcIman, and on an carIcr dralt olPart !
lrom AIan Ocrshotz. ! aIso havc bcnchtcd lrom a dscusson
th KonaId Oorkn on ho compctny protcctvc aycnccs
ouId(n`t)ork, and lrom suyycstonsby burton Orcbcn. Varous
staycs ol varous portons ol ths manuscrpt crc rcad and ds-
cusscd, ovcr thc ycars , at mcctnys ol thc Soccty lor LthcaI and
LcyaI PhIosophy (SLL), thc rcyuIar dscussons th ts mcmbcrs
havc bccn a sourcc olntcIIcctuaI stmuIaton and pIcasurc. !t as
a Iony convcrsaton about sxycarsayothMurray Kothbard that
stmuIatcd my ntcrcst n ndvduaIst anarch1st thcory. Lvcn
7N
7NI AcknowIcdgmcnts
Ionycr ayo, aryumcnts th brucc LoIdbcry Icd mc to takc Ibcr-
taran vcs scrousIy cnouyh to ant to rclutc thcm, and so to
pursuc thc subjcct hrthcr. Jhc rcsuIt s bclorc thc rcadcr.
PART
I
State-f Nature Theor)
or How to Back into a State
without Realy rying
CHAPTER
1
Why State-of-Nature
Theory?
I thc statc dd not cxst wouId t bc ncccssary to nvcnt t!
ouId onc bc needed, and wouId t havc to bc invented Jhcsc
qucstons arsc lor poItcaI phIosophy and lor a thcory cxpIanng
poItcaI phcnomcna and arc answcrcd by nvcstgatng thc statc
ol naturc, ` to usc thc tcrmnoIogy oltradtonaI poItcaI thcory.
Jhc justhcaton lor rcsusctatng ths archac noton wouId havc to
bc thc lruthIncss , ntcrcst, and lar-rcachng mpIcatons ol thc
thcory that rcsuIts . or thc (Icss trustng) rcadcrs who dcsrc somc
assurancc n advancc, ths chaptcr dscusscs rcasons why t s m-
portant to pursuc statc-ol-naturc thcory, rcasons lor thnkng that
thcory wouId bc a lrutluI onc. Jhcsc rcasons ncccssarIyarc somc-
whatabstractand mctathcorctcaI. Jhc bcst rcon s thcdcvcIopcd
thcory tscIl.
9
State-oj-Nature Theoy
POLI TI CAL P HI LOSO PHY
Jhc hndamcntaI qucston ol poItcaI phIosophy, onc that prc-
ccdcs qucstons about ho thc statc shouId bc oryanzcd, s
hcthcr thcrc shouId bc any statc at aII. hy not havc anarchy!
Sncc anarchst thcory, ltcnabIc, undcrcuts thc hoIc subjcct ol
litital phIosophy, t s appropratc to bcyn poI tcaI phIosophy
th an cxamnaton ol ts major thcorctcaI aItcrnatvc. Jhosc
ho consdcr anarchsm not an unattractvc doctrnc II thnk t
possbIc that poI tcaI phIosophy ends hcrc as cII . Cthcrs mpa-
tcntIyII aat hat s to comc altcrards. Yct, as c shaII scc,
archsts and anarchsts aIkc, thosc ho sprny ynycrIy lrom thc
startny pontascIIasthosc rcIuctantIy aryucd aay lrom t, can
ayrcc that bcynnny thc subjcct olpoItcaI phIosophy th statc-
ol-naturc thcory has an exlanateq purposc. (Such a purposc s ab-
scnt hcn cpstcmoIoyy s bcyun th an attcmpt to rclutc thc
skcptc . )
hch anarchc stuaton shouId c nvcstyatc to anscr thc
qucston olhy not anarchy! Pcrhaps thc onc that ouId cxst l
thc actuaI poItcaI stuaton ddn` t, hIc no othcr possbIc poIt-
caI onc dd. but apart lrom thc yratutous assumpton that cvcry-
onc cvcryhcrc ouId bc n thc samc nonstatc boat and thc cnor-
mous unmanaycabIty olpursuny that countcrlactuaI to arrvc at
a partcuIar stuaton, that stuaton ouId Iack lundamcntaI thco-
rctcaI ntcrcst. Jo bc surc, l that nonstatc stuaton crc sul-
hccntIy aluI , thcrc ouId bc a rcason to rclran lrom dsman-
tIny or dcstroyny a partcuIar statc and rcpIacny t th nonc,
no.
t ouId bc morc promsny to locus upon a hndamcntaI ab-
stract dcscrpton that ouId cncompass aII stuatons ol ntcrcst,
ncIudny 'hcrc c ouId no bc l. ` crc ths dcscrpton
aluI cnouyh, thc statcouId comc out as a prclcrrcd aItcrnatvc,
vccd as allcctonatcIy as a trp to thc dcntst . Such aluI dc-
scrptons rarcIy convncc, and not mcrcIy bccausc thcy laI to
chccr. Jhc subjccts olpsycho!oyy and socoIoyy arc lar too lccbIc
to support ycncraIzny so pcssmstcaIIy across aII socctcs and
pcrsons, cspccaIIy sncc thc aryumcnt dcpcnds upon net makny
sutb pcssmstc assumptons about ho thc state opcratcs. Cl
hy 5tatc-oI-Paturc Jhcory! 5
coursc, pcopIc kno somcthny olho actuaI statcs havc opcratcd,
and thcy dllcr n thcr vcs . Lvcn thc cnormous mportancc ol
thc chocc bctccn thc statc and anarchy, cauton myht suyycst
onc usc thc 'mnmax` crtcron, and locus upn a pcssmstc cs-
tmatc olthc nonstatc stuaton. thc statcouId bc comparcdth
thc most pcssmstcaIIy dcscrbcd Mobbcsan statc olnaturc. but
n usny thc mnmax crtcron, ths Mobbcsan stuaton shouId
bc comparcd th thc most pcssmstcaIIy dcscrbcd possbIc
statc, ncIudny/uture oncs. Such a comparson, surcIy, thc orst
statc ol naturc ouId n. Jhosc ho vc thc statc as an abom-
naton II not hnd mnmax vcry compcIIny, cspccaIIy sncc t
sccms onc couId aIays brny back thc statc l that camc to sccm
dcsrabIc. Jhc `maxmax` crtcron, on thc othcr hand, ouId
procccd on thc most optmstc assumptons about ho thnys
ouId ork out--odn, l you Ikc that sort ol thny. but
mprudcnt optmsm aIso Iacks convcton. !ndccd, no proposcd
dccson crtcron lor chocc undcr unccrtanty carrcs convcton
hcrc, nor docs maxmzny cxpcctcd utIty on thc bass ol such
lraI probabItcs.
Morc to thcpont, cspccaIIy lor dccdny hatyoaIsoncshouId
try to achcvc, ouId bc to locus upon a nonstatc stuaton n
hch pcopIc ycncraIIy satsly moraI constrants and ycncraIIy act
as thcy ouyht . Such an assumpton is notIdIy optmstc, tdocs
not assumc that aII pcopIc act cxactIy as thcy shouId. Yct ths
statc-ol-naturc stuaton s thc bcst anarchc stuaton onc rcason-
abIycouId hopc lor. Mcncc nvcstyatny ts naturc anddclccts s ol
crucaI mportancc to dccdny hcthcr thcrc shouId bc a statc
rathcr than anarchy. !lonc couId sho that thc statc ouId bc su-
pcror cvcn to ths most lavorcstuaton olanarchy, thc bcst that
rcaIstcaIIy can bc hopcd lor, or ouId arsc by a proccss nvoIvny
no moraIIy mpcrmssbIc stcps, or ouId bc an mprovcmcnt lt
arosc, ths ouId provdc a ratonaIc lor thc statc's cxstcncc, t
ouId j ustly thc statc.
Jhs nvcstyaton II rasc thc qucston olhcthcr aII thc ac-
" This contrasts with a theory that presents a state's arising from a state of
nature by a natural and inevitable process of dtItrI0rdII0u. rather d medical
theory presents aging or dying. Such a theory would not "justify" the state,
though it might resign us to its existence.
State-oj-Nature Theoy
tons pcrsons must do to sct up and opcratc a statc arc thcmscIvcs
moraIIy pcrmssbIc. Somc anarchsts havccIamcd not mcrcIy that
wc wouId bc bcttcr ollwthout astatc, but that any statc ncccssar-
Iy voIatcs pcopIc`s moraI rghts and hcncc s ntrnscaIIy m-
moraI . Cur startng pont thcn, though nonpoItcaI , s by ntcn-
ton lar lrom nonmoraI . MoraI phIosophy scts thc background lor,
and boundarcs ol, poItcaI phIosophy. hat pcrsons may and
may not do to onc anothcr Imts what thcy may do through thc
apparatus ol a statc, or do to cstabIsh such an apparatus. Jhc
moraI prohbtons t s pcrmssbIc to cnlorcc arc thc sourcc ol
whatcvcr Icgtmacy thc statc`s lundamcntaI cocrcvc powcr has.
(undamcntaI cocrcvc powcr s powcr not rcstng upon any con-
scnt olthc prson to whom t s appIcd. ) Jhs provdcs a prmary
arcna olstatc actvty, pcrhaps thc onIy Icgtmatc arcna. urthcr-
morc, to thc cxtcnt moraI phIosophy s uncIcar and gvcs rsc to
dsagrccmcnts n pcopIc`s moraI udgmcnts , t aIso scts probIcms
whch onc mght thnk couId bc appropratcIy handIcd n thc po-
ItcaI arcna.
E XPLANATORY POLI TI CAL THEORY
n addton to ts mportancc lor poItcaI phIosophy, thc nvcs-
tgaton olths statc olnaturc aIso wII scrvc cxpIanatorypurposcs.
Jhc possbIc ways ol undcrstandng thc poItcaI rcaIm arc as
loIIows. (r) to luIIy cxpIan t n tcrms ol thc nonpoItcaI, (z) to
vcw t as cmcrgng lrom thc nonpoItcaI but rrcducbIc to t, a
modc olorganzaton olnonpoItcaI lactors undcrstandabIc onIy n
tcrms olnovcIpoItcaI prncpIcs, or()to vcw t as a compIctcIy
autonomous rcaIm. Sncc onIy thc hrst promscs luII undcr-
standng ol thc whoIc poItcaI rcaIm, ' t stands as thc most dc-
srabIc thcorctcaI aItcrnatvc, to bcabandoncd onIy lknown to b
mpossbIc. Lct us caII ths most dcsrabIc and compIctc knd ol
cxpIanaton ola rcaIm a/undmental cxpIanaton olthc rcaIm.
JocxpIan lundamcntaIIythcpoItcaI n tcrms olthc nonpoIt-
caI, onc mght start cthcrwth a nonpoItcaI stuaton, showng
how and why a poItcaI onc Iatcr wouId arsc out olt, or wth a
hy 5tatc-oI-Paturc Jhcory: 7
poItcaI stuaton that s dcscrbcd nonpoItcaIIy, dcrvng ts po-
ItcaI lcaturcs lrom ts nonpoItcaI dcscrpton. Jhs Iattcr dcrva-
ton cthcr wII dcntly thc poItcaI lcaturcs wth thosc lcaturcs
nonpoItcaIIy dcscrbcd, or wII usc sccnthc Iaws to conncct ds-
tnct lcaturcs. Lxccpt pcrhaps lor ths Iast modc, thc IIumnaton
olthc cxpIanaton wII varydrcctIy wth thc ndcpcndcnt gIow ol
thc nonpoItcaI startng pont (bc t stuaton or dcscrpton) and
wth thc dstancc, rcaI or apparcnt, ol thc startng pont lrom ts
poItcaI rcsuIt. Jhc morc hndamcntaI thc startng pont (thc
morc t pcks out basc, mportant, and ncscapabIc lcaturcs olthc
human stuaton) and thc Icss cIosc t s or sccms to ts rcsuIt (thc
Icss poItcaI or statcIkc t Iooks), thc bcttcr. t wouId not ncrcasc
undcrstandng to rcach thc statc lrom an arbtrary and othcrwsc
unmportant startng pont, obvousIy adaccnt to t lrom thc
start. hcrcas dscovcrng that poItcaI lcaturcs and rcIatons
wcrc rcducbIc to, or dcntcaI wth, ostcnsbIy vcry dllcrcnt non-
poItcaI oncs wouId bc an cxctng rcsuIt. crc thcsc lcaturcs lun-
damcntaI , thc poItcaI rcaIm wouId bc hrmIy and dccpIy bascd.
So lar arc wc lrom such a major thcorctcaI advancc that prudcncc
aIonc wouId rccommcnd that wc pursuc thc aItcrnatvc olshowng
how apoItcaI stuaton wouId arsc out ola nonpoItcaI onc, that
s , that wc bcgn a lundamcntaI exlanater) account wth what s
lamIar wthn poItcaI phIosophy as statc-ol-naturc thcory.
A thcory ola statc olnaturc that bcgns wth hndamcntaI gcn-
craI dcscrptons olmoraIIy pcrmssbIc and mpcrmssbIc actons ,
and oldccpIy bascd rcasons why somc pcrsons nany soccty wouId
voIatc thcsc moraI constrants, and gocs on to dcscrbc how astatc
wouId arsc lrom that statc ol naturc wII scrvc our cxpIanatory
purposcs, even i/neattualstate ever arese tbat wa) McmpcI has ds-
cusscd thc noton ol a potcntaI cxpIanaton, whch ntutvcIy
(and roughIy) s what wouId bc thc corrcct cxpIanaton lcvcry-
thng mcntoncd n t wcrc truc and opcratcd. Lct us say that a
law-de/ttive potcntaI cxpIanaton s a potcntaI cxpIanaton wth a
laIsc IawIkc statcmcnt and that a/att-de/ttive potcntaI cxpIana-
ton s apotcntaI cxpIanaton wth a laIsc antcccdcnt condton. A
potcntaI cxpIanaton that cxpIans aphcnomcnon as thc rcsuIt ola
proccss P wII bc dclcctvc (cvcn though t s ncthcr Iaw-dclcctvc
nor lact-dclcctvc) l somc proccss _ othcr than P produccd thc
8 State-o/-Nature Theoy
phcnomcnon, though P was capabIc ot dong t. Mad ths othcr
proccss _ not produccd t, thcn P wouId havc. Lct us caII a po-
tcntaI cxpIanaton that taIs n ths way actuaIIy to cxpIan thc
phcnomcnon aretess-m/ttiw potcntaI cxpIanaton.
A/undamental potcntaI cxpIanaton (an cxpIanaton that wouId
cxpIan thc whoIc rcaIm undcr consdcraton wcrc t thc actuaI cx-
pIanaton) carrcs mportant cxpIanatory IIumnaton cvcn t t s
net thc corrcct cxpIanaton. Jo scc how, nprncpIc, awbelermlm
couId tundamcntaIIy bc cxpIancd grcatIy ncrcascs our undcr-
standngotthc rcaIm.t t sdthcuIt to say morc wthout cxamn-
ng typcs otcascs, ndccd, wthout cxamnng partcuIar cascs, but
ths wc cannot do hcrc. act-dctcctvc tundamcntaI potcntaI cx-
pIanatons, tthcr taIsc ntaI condtons `couId havc bccn truc, `
wII carry grcat IIumnaton, cvcn wIdIy taIsc ntaI condtons
wII IIumnatc, somctmcs vcry grcatIy. Law-dctcctvc hndamcn-
taI potcntaI cxpIanatons may IIumnatc thc naturcota rcaIm aI-
most as wcII as thc corrcct cxpIanatons , cspccaIIy t thc `Iaws`
togcthcr torm an ntcrcstng and ntcgratcd thcory. And proccss-
dctcctvc hndamcntaI potcntaI cxpIanatons (whch arc ncthcr
Iaw-dctcctvc nor tact-dctcctvc) ht our cxpIanatory bII and pur-
poscs aImost pcrtcctIy. Jhcsc thngs couId not b sad as strongIy,
tat aII , about nonhndamcntaI cxpIanaton.
Statc-ot-naturc cxpIanatons otthc poItcaI rcaImaretundamcn-
taI potcntaI cxpIanatons ot ths rcaIm and pack cxpIanatory
Or, perhaps yet another process R would have if Q hadn't, though had R
not produced the phenomenon, then P would have, or . . .. So the footnoted
sentence should read: P would have produced the phenomenon had no memer
of [Q, R, . .. J done so. We ignore here the complication that what would
prevent Q from producing the phenomenon might also prevent P from doing
so.
t This claim needs to be qualiied. It will not increse our understanding of
a realm to be told s a otential explanation what we know to be false: that by
doing a certain dance, ghosts or witches or goblins made the realm that way. It
is plausible to think that an explanation of a realm must present an underlying
mechanism yielding the realm. (Or do something else equally productive of un
derstanding. ) But to say this u not to state precisely the deep conditions an un
derlying mechanism must satisy to explain a realm. The precise qualiication of
the claim in the text awaits advances in the theory of explanation. Yet other dif
iculties call for such advances; see Jaegwon Kim, "Causation, Nomic Subsump
tion, and the Concept of Event," The Jonal f Philosoph
y
, 7 0, no. 8 (April 26,
1 97 3), 21 7 -236.
Why State-of-Nature Theory?
9
punch and IIumnaton, cvcn t ncorrcct. c Icarn much by
sccng how thc statc couId havc arscn, cvcn t t ddn` t arsc that
way. tt ddn` t arsc that way, wc aIso wouId Icarn much by dc-
tcrmnng why t ddn` t, by tryng to cxpIan why thc partcuIar
bt otthc rcaI worId that dvcrgcs trom thc statc-ot-naturc modcI
s as t s.
Sncc consdcratons both otpoItcaI phIosophy and otcxpIana-
tory poItcaI thcory convcrgc upon Lockc` s statc ot naturc, wc
shaII bcgn wth that. Morc accuratcIy, wc shaII bcgn wth nd-
vduaIs n somcthng suthccntIy smIar to Lockc` s statc otnaturc
so that many ot thc othcrwsc mportant dttcrcnccs may bc g-
norcd hcrc. CnIy whcn somc dvcrgcncc bctwccn our conccpton
and Lockc`s s rcIcvant to elitital phIosophy, to our argumcnt
about thc statc, wII t bc mcntoncd. Jhc compIctcIy accuratc
statcmcnt ot thc moraI background, ncIudng thc prccsc statc-
mcnt otthc moraI thcory and ts undcrIyng bass, wouId rcqurc a
tuII-scaIc prcscntaton and s a task tor anothcr tmc . (A Itctmc!)
Jhat task s so crucaI, thc gap Ictt wthout ts accompIshmcnt so
yawnng, that t s onIy a mnor comtort to notc that wc hcrc arc
toIIowng thc rcspcctabIc tradton ot Lockc, who docs not pro-
vdc anythng rcmotcIy rcscmbIng a satstactory cxpIanaton ot
thc status and bass ot thc Iaw ot naturc n hs SetendTreatise.
CHAPTER
2
The State of Nature
IPOVOLALS n Lockc`s statc olnaturc arc n `astatc olpcr-
lcct lrccdom to ordcr thcr actons and dsposc olthcr posscssons
and pcrsons as thcy thnk ht, wthn thc bounds olthc Iaw olna-
turc, wthout askng Icavc or dcpcndcnoy upon thc wII ol any
othcr man` (scct. q).
'
Jhc bounds olthc Iaw olnaturc rcqurc that
`no onc ought to harm anothcr n hs Ilc, hcaIth, Ibcrty, o

pos-
scssons` (scct. 6). Somc pcrsons transgrcss thcsc bounds, `nvad-
ng othcrs` rghts and . . . dong hurt to onc anothcr, ` and n
rcsponsc pcopIc may dclcnd thcmscIvcs or othcrs aganst such
nvadcrs olrghts (chap. ). Jhc n urcd party and hs agcnts may
rccovcr lrom thc ohcndcr `so much as may makc satslacton lor
thc harm hc has sullcrcd` (scct. I o), `cvcryonc has a rght to
punsh thc transgrcssors olthat Iaw to such adcgrcc as may hndcr
ts voIaton` (scct. ), cach pcrson may, and may onIy `rctrbutc
to [a crmnaI| so larascaIm rcason and consccncc dctatc, what s
proportonatc to hs transgrcsson, whch s so much as may scrvc
lor rcparaton and rcstrant` (scct. 8).
Jhcrc arc `nconvcncnccs olthc statc olnaturc` lor whch, says
Lockc, `casIy grant that cvI govcrnmcnt s thc propcr rcmcdy`
(scct. I ). Jo undcrstand prccscIy what cvI govcrnmcnt rcmc-
dcs, wc must do morc than rcpcat Lockc`s Ist ol thc nconvc-
ncnccs ol thc statc ol naturc. c aIso must consdcr what ar-
rangcmcnts mght bc madc wthn a statc olnaturc to dcaI wth
IO
The State of Nature 1 1
thcsc inconvcncnccs-to avoid thcm or to makc thcm Icss IkcIy
to arsc or to makc thcm Icss scrious on thc occasions whcn thcy do
arsc. CnIy altcr thc luII rcsourccs ol thc statc ol naturc arc
brought into pIay, namcIy aII thosc voIuntary arrangcmcnts and
agrccmcnts pcrsons might rcach acting within thcir rights , and
onIy altcr thc cllccts ol thcsc arc cstmatcd, wiII wc bc n a pos-
tion to scc how scrous arc thc nconvcncnccs that yct rcman to
bc rcmcdicd by thc statc, and to cstmatc whcthcr thc rcmcdy s
worsc than thc discasc.
n astatc ol naturc, thc undcrstood naturaI Iaw may not provdc
lorcvcry contingcncy n apropcrlashon (scc scctons I g and I 6o
whcrc Lockc makcs ths pont about IcgaI systcms , but contrast
sccton I zq), and mcn who judgc n thcr own casc wII aIways
gvc thcmscIvcs thc bcncht olthc doubt and assumc that thcy arc
n thc right. Jhcy wII ovcrcstmatc thc amount ol harm or dam-
agc thcy havc sullcrcd, and passons wII Icad thcm to attcmpt to
punsh othcrs morc than proportonatcIy and to cxact cxccssvc
compcnsaton (sccts . I , I zq, I z ). Jhus prvatc and pcrsonaI cn-
lorccmcnt ol onc`s rghts (ncIudng thosc rghts that arc voIatcd
whcn onc s cxccssvcIy punshcd) Icads to lcuds , to an cndIcss
scrcs ol acts ol rctaIaton and cxactons ol compnsaton. And
thcrc is no hrm way to settle such a dsputc, toendt and to havc
both partcs know t s cndcd. Lvcn lonc partysa)s hc`II stop hs
. Proudhon has given us a description of the :tate': domestic "inconve
niences. " "To e OVERNED is to e watched, insected, spied uon, di
rected, law-driven, numbered, regulated, enolled, indoctrinated, peached at,
controlled, checked, estimated, valued, censured, commanded, by creatures
who have neither the right nor the wisdom nor the virtue to do so. To be GOV
ERNED is to be at every oeration, at every transaction noted, registered,
counted, taxed, stamped, measured, numbered, ssessed, licensed, authorized,
admonished, prevented, forbidden, reformed, corrected, punished. It is, under
pretext of public utility, and in the name of the general interest, to be placed
under contribution, drilled, leeced, exploited, monoolized, extorted from,
squeezed, hoaxed, robbed; then, at the slightest resistance, the irst word of
complaint, to e repressed, ined, viliied, harrased, hunted down, abused,
clubbed, disarmed, bound, choked, imprisoned, judged, condemned, shot,
deported, sacriiced, sold, etrayed; and to crown all , mocked, ridiculed, de
rided, outraged, dishonored. That is government; that is its justice; that is
its morality." P. J. Proudhon, Genoa/ |dea e/ tbe Rev/utien in tbe Nineteentb
Centu, trans. John Beverly Robinson (ondon: Freedom Press, 19 23) , pp.
29 3-29 4 , with some alterations from Benjamin Tucker's translation in |n:tmd e/
a 8eek (New York, 189 3), p. 26.
1 2
State-oj-Nature Theoy
acts ot rctaIaton, thc othcr can rcst sccurc onIy thc knows thc
hrst stII docs not tccI cnttIcd to gan rccompcnsc or to cxact rctr-
bur on, and thcrctorc cnttIcd to try whcn a promsng occason
prcscnts tscIl. Any mcthod a sngIc ndvduaI mght usc n an at-
tcmpt rrcvocabIy to bnd hmscIt nto cndng hs part n a tcud
wouId ottcr nsuthccnt assurancc to thc othcr party, tact agrcc-
mcnts to stop aIso wouId bc unstabIc. Such tccIngs otbcng mu-
tuaIIy wrongcd can occur cvcn wth thc cIcarcst rght and wth
jont agrccmcnt on thc tacts otcach pcrson` s conduct, aII thc morc
s thcrc opportunty tor such rctaIatory battIc whcn thc tacts or
thc rghts arc to somc cxtcnt uncIcar. AIso, n a statc otnaturc a
pcrson may Iack thc powcr to cntorcc hs rghts, hc may bc unabIc
to punsh orcxactcompcnsaton trom a strongcr advcrsary who has
voIatcd thcm (sccts. I z , I z6).
PROTE CTI VE AS S OCI ATI ONS
Mow mght onc dcaI wth thcsc troubIcs wthn a statc otnaturc!
Lct us bcgn wth thc Iast. n a statc otnaturc an ndvduaI may
hmscIt cntorcc hs rghts , dctcnd hmscIt cxact compcnsaton,
and punsh (oratIcast try hs bcst todoso). Cthcrs may j on wth
hm n hs dctcnsc, at hscaII. Jhcy may jon wthhm to rcpuIsc
an attackcr or to go attcr an aggrcssor bccausc thcyarcpubIc spr-
tcd, or bccausc thcy arc hs trcnds, or bccausc hc has hcIpcd thcm
n thc past, or bccausc thcy wsh hm to hcIp thcm n thc hturc,
or n cxchangc tor somcthng. Lroups ot ndvduaIs may torm
mutuaI-protccton assocatons. aII wII answcr thc caII ot any
mcmbcr tor dctcnsc or tor thc cntorccmcnt oths rghts . n unon
thcrc s strcngth. Jwo nconvcncnccs attcnd such smpIc mutuaI-
protccton assocatons. ( I ) cvcryonc s aIways on caII to scrvc a
protcctvc tuncton (and how shaII t bc dccdcd who shaII answcr
thc caII tor thosc protcctvc tunctons that do not rcqurc thc scr-
vccs otaII mcmbcrs!), and (z) any mcmbcr may caII out hs asso-
catcs by sayng hs rghts arc bcng, or havc bccn, voIatcd. Pro-
tcctvc assocatons wII not want to bc at thc bcck and caII otthcr
cantankcrous or paranod mcmbcrs , not to mcnton thosc ot thcr
mcmbcrs who mght attcmpt , undcr thc gusc ot scIt-dctcnsc, to
The State of Nature
usc thc assocaton to voIatc thc rghts otothcrs . OthcuItcs wII
aIso arsc t two dttcrcnt mcmbcrs ot thc samc assocaton arc n
dsputc, cach caIIng upon hs tcIIow mcmbcrs to comc to hs ad.
A mutuaI-protccton assocaton mght attcmpt to dcaI wth
conhct among ts own mcmbcrs by a poIcy ot nonntcrvcnton.
but ths poIcy wouId brng dscord wthn thc assocaton and
mght Icad to thc tormaton ot subgroups who mght hght among
thcmscIvcs and thus causc thc brcakup otthc assocaton. Jhs poI-
cy wouId aIso cncouragc potcntaI aggrcssors to jon as many mu-
tuaI-protccton assocatons as possbIc n ordcr to gan mmunty
trom rctaIatoryor dctcnsvc acton, thus pIacng agrcat burdcn on
thc adcquacy otthc ntaI scrccnng proccdurc ot thc assocaton.
Jhus protcctvc assocatons (aImost aII otthosc that wII survvc
whch pcopIc wII jon)wII not toIIow a poIcy otnonntcrvcnton,
thcy wIIusc somc proccdurc to dctcrmnc how toact whcn somc
mcmbcrs cIam that othcr mcmbcrs havc voIatcd thcr rghts.
Many arbtrary proccdurcs can bc magncd (tor cxampIc, act on
thc sdc ot that mcmbcr who compIans hrst), but most pcrsons
wII want to jon assocatons that toIIow somc proccdurc to hnd
out whch cIamant s corrcct. hcn a mcmbcr ot thc assocaton
s n conhct wth nonmcmbcrs, thc assocaton aIso wII want to
dctcrmnc n somc tashon who s n thc rght, t onIy to avod
constant and costIy nvoIvcmcnt n cach mcmbcr`s quarrcIs ,
whcthcr just or unjust. Jhc nconvcncncc ot cvcryonc`s bcng on
caII, whatcvcr thcr actvty at thc momcnt or ncInatons or com-
paratvc advantagc, can bc handIcd n thc usuaI manncr by dv-
son ot Iabor and cxchangc. Somc pcopIc wII bc bired to pcrtorm
protcctvc tunctons , and somc cntrcprcncurs wIIgo nto thc bus-
ncss ot scIIng protcctvc scrvccs . Ottcrcnt sorts ot protcctvc
poIccs wouId bc ottcrcd, at dttcrcnt prccs, tor thosc who may
dcsrc morc cxtcnsvc or cIaboratc protccton.
An ndvduaI mght makc morc partcuIar arrangcmcnts or
commtmcnts short otturnng ovcr to a prvatc protcctvc agcncy
aII tunctons ot dctccton, apprchcnson, j udcaI dctcrmnaton ot
guIt, punshmcnt , and cxacton ot compcnsaton. MndtuI ot thc
dangcrs ot bcng thc judgc n hs own casc, hc mght turn thc
dccson as to whcthcr hc has ndccd bccn wrongcd, and to what
cxtcnt, to somc othcr ncutraI or Icss nvoIvcd party. n ordcr tor
thc occurrcncc ot thc socaI cttcct ot justcc`s bcng sccn to bc
State-oj-Nature Theoy
donc, such a party wouId havc to bc gcncraIIy rcspcctcd and
thought to bc ncutraI and uprght . both partcs to a dsputc may
so attcmpt to salcguard thcmscIvcs aganst thc appcarancc olpar-
taIty, and both mght cvcn agrcc upon thc same pcrson as thc
judgc bctwccn thcm, and agrcc to abdc by hs dccson. (Cr thcrc
mght bc a spcc hcd proccss through whch onc olthc partcs ds-
satshcd wth thc dccson couId appaI t. ) but, lor obvous rca-
sons , thcrc wII bc strong tcndcnccs lor thc abovc-mcntoncd
lunctons to convcrgc n thc samc agcnt or agcncy.
PcopIcsomctmcsnowdotakcthcrdsputcsoutsdcolthcstatc`s
IcgaI systcm to othcr j udgcs or courts thcy havc choscn, lor cx-
ampIc, to rcIgous courts . laII partcs to adsputc hnd somc ac-
tvtcs olthc statc or ts IcgaI systcm so rcpcIIcnt that thcy want
nothng to do wth t, thcy mght agrcc to lorms olarbtraton or
j udgmcnt outsdc thc apparatus olthc statc. PcopIc tcnd to lorgct
thc possbItcs ol actng ndcpcndcntIy ol thc statc. (SmIarIy,
pcrsons who wanttobc patcrnaIstcaIIy rcguIatcd lorgct thc poss-
bItcs olcontractng nto partcuIar Imtatons on thcr own bc-
havor or appontng a gvcn patcrnaIstc supcrvsory board ovcr
thcmscIvcs. nstcad, thcy swaIIow thc cxact pattcrn olrcstrctons
a IcgsIaturc happcns to pass. s thcrc rcaIIy somconc who, scarch-
ng lor a group ol wsc and scnstvc pcrsons to rcguIatc hm lor
hs own good, wouId choosc that group ol pcopIc who consttutc
thc mcmbcrshp ol both houscs ol Congrcss!) Ovcrsc lorms ol
j udcaI adj udcaton, dllcrng lrom thc partcuIar packagc thc
statc provdcs, ccrtanIy couId bc dcvcIopcd. Por do thc costs ol
dcvcIopng and choosng thcsc account lor pcopIc`s usc olthc statc
lorm. or t wouId bc casy to havc a Iargc numbcr ol prcsct
packagcs whch partcs couId scIcct. PrcsumabIy what drvcs pco-
pIc to usc thc statc`s systcm olj ustcc s thc ssuc oluItmatc cn-
lorccmcnt. CnIy thc statc can cnlorcc a judgmcnt aganst thc wII
oloncolthcpartcs. or thc statcdocs notallew anyonc cIsc tocn-
lorcc anothcr systcm`s judgmcnt. So n any dsputc n whch both
partcs cannot agrcc upon a mcthod ol scttIcmcnt, or n any ds-
putc n whch onc party docs not trust anothcr to abdc by thc
dccson (l thc othcr contracts to lorlct somcthng ol cnormous
vaIuc lhc docsn` t abdc by thc dccson, by what agcncy s tbat
contract to bc cnlorccd!), thc partcs who wsh thcr cIams put
nto cllcct wII havc no rccoursc pcrmttcd by thc statc`s IcgaI sys-
Jhc btatc of Paturc
tcm othcr than to usc that vcry IcgaI systcm. Jhs may prcscnt
pcrsons grcatIy opposcd to a gvcn statc systcm wth partcuIarIy
pognant and panhI choccs. (l thc statc` s IcgaI systcm cnlorccs
thc rcsuIts ol ccrtan arbtraton proccdurcs, pcopIc may comc to
agrccsupposng thcy abdc by ths agrccmcnt-wthout any ac-
tuaI drcct contact wthwhat thcy pcrccvc to bc olhccrs or nsttu-
tons olthc statc. but thshoIdsaswcII lthcy sgnacontract that
s cnlorccd onIy by thc statc. )
II protcctvc agcnccsrequire that thcr cIcnts rcnouncc cxcr-
csng thcr rght olprvatc rctaIaton lthcy havc bccn wrongcd
by noncIcnts ol thc agcncy! Such rctaIaton may wcII Icad to
countcrrctaIaton by anothcr agcncy or ndvduaI , and a protcc-
tvc agcncy wouId not wshattbat late stage to gct drawn nto thc
mcssy allar by havng to dclcnd ts cIcnt aganst thc countcr-
rctaIaton. Protcctvc agcnccs wouId rclusc to protcct aganst
countcrrctaIaton unIcss thcy had hrstgvcnpcrmsson lor thcrc-
taIaton. (Jhough mght thcy not mcrcIy chargc much morc lor
thc morc cxtcnsvc protccton poIcy that provdcs such covcragc!)
Jhc protcctvc agcnccs nccd not cvcn rcqurc that as part olhs
agrccmcnt wth thc agcncy, a cIcnt rcnouncc, by contract, hs
rght olprvatc cnlorccmcnt olj ustcc aganst tsetbn tlients. Jhc
agcncy nccd onIy rchsc a cIcnt C, who prvatcIy cnlorccs hs
rghts aganst othcr cIcnts, any protccton aganst countcrrctaIa-
ton upon hm by thcsc othcr cIcnts. Jhs s smIar to what
occurs lC acts aganst a noncIcnt. Jhc addtonaI lact thatC acts
upon a cIcnt olthc agcncy mcans that thc agcncy wII act toward
C as t wouId toward any noncIcnt who prvatcIy cnlorccd hs
rghts upon any onc olts cIcnts (scc Chaptcr ). Jhs rcduccs n-
tra-agcncy prvatc cnlorccmcnt olrghts to mnuscuIc IcvcIs.
THE DOMI NANT PROTECTI VE AS S OCI ATI ON
ntaIIy, scvcraI dllcrcnt protcctvc assocatons or compancs wII
ollcr thcrscrvccs n thc samc gcographcaI arca. hat wII occur
whcn thcrc s a conhct bctwccn cIcnts ol dllcrcnt agcnccs!
JhngsarcrcIatvcIy smpIc lthcagcnccs rcach thcsamc dccson
about thc dsposton ol thc casc. (Jhough cach mght want to
: State-of-Nature Theoy
cxact thc pcnaIty. ) but whut happcns l thcy rcach dllcrcnt dcc-
sons as to thc mcrts ol thc casc, and onc agcncy attcmpts to
protcct ts cIcnt whIc thc othcr s attcmptng to punsh hm or
makc hm pay compnsaton! CnIy thrcc possbItcs arc worth
consdcrng.
1 . n such stuatons thc totccs ot thc two agcnccs do battlc. Lnc ot
thc agcnccs aIways wns such battIcs. bncc thc cIcnts ot thc Iosng
agcncy atc II ptotcctcd n conhcts wth cIcnts ot thc wnnng
agcncy, thcy Icavc thct agcncy to do busncss wth thc wnnct.
2 . Lnc agcncy has ts powct ccntctcd n onc gcogtaphcaI atca, thc
othct n anothct . Lach wns thc battIcs tought cIosc to ts ccntct ot
powct, wth somc gtadcnt bcng cstabIshcd. ' coplc who dcaI
wth onc agcncy but Ivc undct thc powct ot thc othct cthct movc
cIosct to thct own agcncy`s homc hcadguattcts ot shtt thct pa-
ttonagc to thc othct ptotcctvc agcncy. (Jhc botdct s about as
conhcttuI as onc bctwccn statcs. )
n ncthcr ol thcsc two cascs docs thcrc rcman vcry much gco-
graphcaI ntcrspcrsaI . CnIy onc protcctvc agcncy opcratcs ovcr a
gvcn gcographcaI arca.
\. Jhc two agcnccs hght cvcnIy and ottcn. Jhcy wn and Iosc aOut
cguaIly, and thct ntctspctscd mcmbcts havc ttcgucnt dcalngs and
dsputcs wth cach othct . Lt pcthaps wthout hghtng ot attct onIy
a tcw sktmshcs thc agcnccs tcaIzc that such battIng wII occut
contnuaIly n thc abscncc ot ptcvcntvc mcasutcs. n any casc, to
avod ttcgucnt, costIy, and wastcmI battlcs thc two agcnccs, Qt-
haps thtough thct cxccutvcs , agtcc to tcsoIvc QacctuIly thosc
cascs aOut whch thcy tcach dtktng udgmcnts. Jhcy agtcc to sct
up, and abdc by thc dccsons ot, somc thtd udgc ot coutt to
whch thcy can tutn whcn thct tcsQctvc udgmcnts dttct . (Lt
thcy mght cstablsh tuIcs dctctmnng whch agcncy has utsdc-
ton undct whch ctcumstanccs . ) Jhus cmctgcs a systcm ot ap-
Qals coutts and agtccd upon tulcs about utsdcton and thc con-
hct ot Iaws. Jhough dttctcnt agcnccs oQtatc, thctc s onc unhcd
tcdctaI udcal systcm ot whch thcy aII atc componcnts.
n cach olthcsc cascs, aImost aII thc prsons n a gcographcaI
arca arc undcr somc common systcm that udgcs bctwccn thcr
comptng cIams anden/erto thcr rghts. Cut olanarchy, prcsscd
by spontancous groupngs, mutuaI-protccton assocatons, dv-
son ol Iabor, markct prcssurcs, cconomcs ol scaIc, and ratonaI
Jhc btatc ot Patutc
scIl-ntcrcst thcrc arscs somcthng vcry much rcscmbIng a mn-
maI statc or a group ol gcographcaIIy dstnct mnmaI statcs .
hy s ths markct dllcrcnt lrom aII othcr markcts! hy wouId a
vrtuaI monopoIy arsc n ths markct wthout thc govcrnmcnt n-
tcrvcnton that cIscwhcrc crcatcs and mantans t! " Jhc worth ol
thc product purchascd, protccton aganst othcrs , s relative: t
dcpcnds upon how strong thc othcrs arc. Yct unIkc othcr goods
that arc comparatvcIy cvaIuatcd, maxmaI compctng protcctvc
scrvccs cannot cocxst, thc naturc ol thc scrvcc brngs dllcrcnt
agcnccs not onIy nto compctton lor customcrs` patronagc, but
aIso nto voIcnt conhct wth cach othcr. AIso, sncc thc worth ol
thc Icss than maxmaI product dccIncs dsproportonatcIy wth thc
numbcr who purchasc thc maxmaI product, customcrs wII not
stabIy scttIc lor thc Icsscr good, and compctng compancs arc
caught n a dccInng spraI . Mcncc thc thrcc possbItcs wc havc
Istcd.
Cur story abovc assumcs that cach ol thc agcnccs attcmpts n
good lath to act wthn thc Imts olLockc`s Iaw olnaturc.' "
but
onc `protcctvc assocaton` mght aggrcss aganst othcr pcrsons.
KcIatvc to Lockc` s Iaw ol naturc, t wouId bc an outIaw agcncy.
hat actuaI countcrwcghts wouId thcrc bc to ts powcr! (hat
actuaI countcrwcghts arc thcrc to thc powcr ol a statc!) Cthcr
agcnccs mght untc to act aganst t. PcopIc mght rclusc to dcaI
wth thc outIaw agcncy`s cIcnts , boycottng thcm to rcducc thc
probabIty ol thc agcncy`s ntcrvcnng n thcr own allars . Jhs
mght makc t morc dlhcuIt lor thc outIaw agcncy to gct cIcnts,
butths boycott wII sccman cllcctvc tooI onIyon vcry optmstc
assumptons aboutwhatcannotbc kcpt sccrct, and aboutthc costs
to an ndvduaI olpartaI boycott as comparcd to thc bcnchts ol
rcccvng thc morc cxtcnsvc covcragc ollcrcd by an `outIaw`
agcncy. lthc `outIaw` agcncy smpIy s aneen aggrcssor, pIIag-
ng, pIundcrng, and cxtortng undcr no pIausbIc cIam oljustcc,
t wIIhavc ahardcr tmcthanstatcs . orthcstatc` scIamto Icgt-
macy nduccs ts ctzcns to bcIcvc thcy havc somc duty to obcy
ts cdcts , pay ts taxcs , hght ts battIcs , and so on, and so somc
pcrsons coopcratc wth t voIuntarIy. An opcnIy aggrcssvc agcncy
couId not dcpcnd upon, and wouId not rcccvc, any such voIuntary
coopcraton, sncc pcrsons wouId vcw thcmscIvcs smpIy as ts
vctms rathcr than as ts ctzcns .
11
1 8
State-oj-Nature Theoy
I NVI S I BLE-HAND E XPLANATI ONS
Hew, i/ at all, dees a deminant retettive assetiatien din /rem tbe
state as Lockc wrong n magnng a compact ncccssary to cs-
tabIsh cvI soccty! As hc was wrong n thnkng (sccts. q6, q} ,
c) that an `agrccmcnt, ` or `mutuaI conscnt, ` was nccdcd to cs-
tabIsh thc ` nvcnton otmoncy. ` thna bartcr systcm, thcrc s
grcat nconvcncncc and cost to scarchng tor somconc who has
what you want and wants what you havc, cvcn at a markctpIacc,
whch, wc shouId notc, nccdn` t bccomc a markctpIacc by cvcry-
onc`s cxprcssIy agrccng to dcaI thcrc. PcopIc wII cxchangc thcr
goods tor somcthng thcy know to bc morc gcncraIIy wantcd than
what thcy havc. or t wII bc morc IkcIy that thcy can cxchangc
ths Ir what thcy want. or thc samc rcasons othcrs wII bc morc
wIIng to takc n cxchangc ths morc gcncraIIy dcsrcd thng.
Jhus pcrsons wII convcrgc n cxchangcs on thc morc markctabIc
goods, bcng wIIng to cxchangc thcr goods tor thcm, thc morc
wIIng, thc morc thcy know othcrs who arc aIso wIIng to do so,
n a mutuaIIy rcntorcng proccss. (Jhs proccss wII bc rcntorccd
and hastcncd by mddIcmcn scckng to proht n tacItatng
cxchangcs, who thcmscIvcs wII ottcn hnd t most cxpcdcnt to
ottcr morc markctabIc goods n cxchangc. ) or obvous rcasons,
thc goods thcy convcrgc on, va thcr ndvduaI dccsons, wII
havc ccrtan propcrtcs. ntaI ndcpcndcnt vaIuc (cIsc thcy
wouIdn`t bcgn as morc markctabIc), physcaIIy cndurng, non-
pcrshabIc, dvsbIc, portabIc, and so torth. Po cxprcss agrccmcnt
and no socaI contract hxng a mcdum otcxchangc s ncccssary.
I 2
Jhcrc s a ccrtan IovcIy quaIty to cxpIanatons ot ths sort.
Jhcy show how somc ovcraII pattcrn or dcsgn, whch onc wouId
havc thoughthadto bc produccd by an ndvduaI`sorgroup`ssuc-
ccsstuI attcmpt to rcaIzc thc pattcrn, nstcad was produccd and
mantancd by a proccss that n no way had thc ovcraII pattcrn or
dcsgn `n mnd. `Attcr Adam Smth, wc shaII caII such cxpIana-
tonsinvisille-bandexlanatiens. (Lvcry ndvduaI ntcnds onIy hs
own gan, and hc s n ths, as n so many othcr cascs, Icd by an
nvsbIc hand to promotc an cnd whch was no part oths ntcn-
ton."j Jhc spccaIIy satstyng quaIty ot nvsbIc-hand cxpIana-
tons (a quaIty hopc s posscsscd by ths book`s account ot thc
Jhc btatc of Paturc 1 9
statc) s partaIIy cxpIancd by ts connccton wth thc noton ot
tundamcntaI cxpIanaton adumbratcd n Chaptcr . undamcntaI
cxpIanatons ot a rcaIm arc cxpIanatons ot thc rcaIm n othcr
tcrms, thcy makc no usc otany ot thc notons otthc rcaIm. CnIy
va such cxpIanatons can wc cxpIan and hcncc undcrstand cvcry-
thngabut a rcaIm, thc IcssourcxpIanatons uscnotonsconsttut-
ng what s to bc cxpIancd, thc morc (teteris arilus) wc undcr-
stand. Consdcr now compIcatcd pattcrns whch onc wouId havc
thought couId arsc onIy through ntcIIgcnt dcsgn, onIy through
somc attcmpt to rcaIzc thc pattcrn. Cnc mght attcmpt straght-
torwardIy to cxpIan such pattcrns n tcrms otthc dcsrcs , wants,
bcIcts, and so on, ot ndvduaIs , drcctcd toward rcaIzng thc
pattcrn. but wthn such cxpIanatons wII appcar dcscrptons ot
thc pattcrn, atlmst witbin quetatien marks, as objccts ot bcIctand
dcsrc. Jhc cxpIanaton tscItwII say that somc ndvduaIs dcsrc
to brng about somcthng wth (somcot) thc pattcrn-tcaturcs, that
somc ndvduaIs bcIcvc that thc onIy (or thc bcst, or thc . . . , )
way to brng about thc rcaIzaton ot thc pattcrn tcaturcs s to
. . . , and soon. nvsbIc-handcxpIanatons mnmzcthc usc ot
notons consttutng thc phcnomcna to bc cxpIancd, n contrast to
thc straghttorward cxpIanatons, thcy don` t cxpIan compIcatcd
pattcrns by ncIudng thc hII-bIown pattcrn-notons as objccts ot
pcopIc`s dcsrcs or bcIcts. nvsbIc-hand cxpIanatons otphcnom-
cna thus ycId grcatcr undcrstandng than do cxpIanatons otthcm
as brought about by dcsgn as thc objcct otpcopIc`s ntcntons. t
thcrctorc s no surprsc that thcy arc morc satstyng.
An nvsbIc-hand cxpIanaton cxpIans what Iooks to bc thc
product ot somconc`s ntcntonaI dcsgn, as not bcng brought
about by anyonc`s ntcntons. c mght caII thceesite sort otcx-
pIanaton a `hddcn-hand cxpIanaton. ` A hddcn-hand cxpIana-
ton cxpIans what Iooks to bc mcrcIy a dsconncctcd sct ot tacts
that (ccrtanIy) s not thc product ot ntcntonaI dcsgn, as thc
product ot an ndvduaI`s or group`s ntcntonaI dcsgn(s). Somc
pcrsons aIso hnd such cxpIanatons sats|ng, as s cvdcnccd by
thc popuIarty otconspracy thcorcs.
Somconc mght soprzccach typc otcxpIanaton, nvsbIc hand
and hddcn hand, that hc mght attcmpt thc Ssyphcan task ot
cxpIanng cach purportcd nondcsgncd or concdcntaI sct ot so-
Iatcd tacts as thc product ot ntcntonaI dcsgn,andcach purportcd
zO
State-oj-Nature Theoy
product oldcsgn 8 a nondcsgncd sct ol lacts! t wouId bc qutc
IovcIy to contnuc ths tcraton lor a bt, cvcn through onIy onc
compIctc cycIc.
Sncc ohcr no cxpIct account ol nvsbIc-hand cxpIana-
tons , ' and sncc thc noton pIays a roIc n what loIIows, mcn-
ton somc cxampIcs to gvc thc rcadcr a cIcarcr dca ol what wc
havc n mnd whcn spcakng ol ths typc ol cxpIanaton. (Lx-
ampIcs gvcn to IIustratc thc typc olcxpIanaton nccd not bc ter-
rett cxpIanatons. )
: .
z .
\

4

.
7 .
8.

: O.
LxpIanatons wthn cvoIutonary thcory (va random mutaton,
naturaI scIccton, gcnctc drh, and so on) ot trats ot organsms
and popuIatons. (jamcs Lrow and Motoo hmura survcy mathc-
matcaI tormuIatons n An Introduction to Population Genetics Theoy
(Pcw York. arQr Kow, 1 7O).
LxpIanatons wthn ccoIogy ot thc rcguIaton ot anmaI popuIa-
ttons. (5c Lawrcncc bIobodkn, Growth and Regulation 0/ Animal
Populations [Pcw York. oIt, Knchart nston, : | tor a
survcy. )
Jhomas bchcIIng`s cxpIanatory modcI Amrican Economic Review,
May : , pp. 4884\) showng how cxtrcmc rcsdcntaI scg-
rcgaton pattcrns arc producbIc by ndvduaIs who do not dcsrc
ths but want, tor cxampIc, to Ivc n ncghborhoods pcrccnt ot
whosc popuIaton s n thcr own group, and who swtch thcr
pIacc ot rcsdcncc to achcvc thcr goaI .
Lcrtan opcrant-condtonng cxpIanatons ot varous compIcatcd
pattcrns ot bchavor.
Kchard crrnstcn`s dscusson ot thc gcnctc tactors n a soccry`s
pattcrn ot cIass strathcaton (I. Q. in the Meritocracy, AtIantc
MonthIy rcss, : 7\).
scussons ot how cconomc caIcuIaton s accompIshcd n mar-
kcts. (bcc Ludwg von Mscs, Socialism, art , Human Action,
Lhaptcrs
4, 7. )
Mcrocconomc cxpIanatons ot thc cttccts ot outsdc ntcrvcnton
n a markct, and ot thc cstabIshmcnt and naturc ot thc ncw
cguIbra.
janc jacobs` cxpIanaton ot what makcs somc parts ot ctcs satc n
The Death and Lfe 0/ Great Amrican Cities (Pcw York. Kandom
ousc, : : ).
Jhc Austran thcory ot thc tradc cycIc.
harI cutsch and IIam Madow` s obscrvaton that n an organ-
zaton wth a Iargc numbcr ot mportant dccsons (whch can Iatcr
bc cvaIuatcd tor corrcctncss) to bc madc among tcw aItcrnatvcs , t
Iargc numbcrs ot pcopIc havc a chancc to say whch way thc
Jhc btatc ot Paturc z :
dccson shouId bc madc, a numbcr ot Qrsons wII gan rcputa-
tons as sagc advscrs, cvcn t aII randomIy dccdc what advcc to
ottcr. (`Potc on thc ApQarancc ot sdom n Largc burcaucratc
Lrganzatons, Behavioral Science, january : : , pp. 7z78. )
. Jhc pattcrns arsng through thc oQraton ot a modhcaton ot
rcdcrck rcy`s mod hcaton ot thc ctcr rncpIc. pcopIc havc
rscn thrcc IcvcIs bcyond thcr IcvcI ot ncompctcncc by thc tmc
thcr ncompctcncc s dctcctcd.
: z . Kobcrta ohIstcttcr`s cxpIanaton (Parl Harbor: Warning and De
cision [btantord. btantord \nvcrsty rcss, : z|), contra thc
`conspracy thcorsts , ot why thc \ntcd btatcs ddn`t act on thc
cvdcncc t posscsscd ndcatng a japancsc attack torthcomng on
carI arbor.
: \. Jhat cxpIanaton ot `thc ntcIIcctuaI prccmncncc ot thc jcws
that tocuscs on thc grcat numbcr ot thc most ntcIIgcnt maIc
LathoIcs who, tor ccnturcs, had no chIdrcn, n contrast to thc
cncouragcmcnt gvcn rabbs to marry and rcproducc.
: 4. Jhc thcory ot how pubIc goods arcn`t suppIcd soIcIy by ndvd-
uaI acton.
: . Armcn AIchan`s pontng to a dttcrcnt nvsbIc hand (n our Iatcr
tcrmnoIogy, a hItcr) than docs Adam bmth (`\nccrtanty, Lvo-
Iuton, and Lconomc Jhcory, Jounal 0/ Political Economy, : O,
pp. z :z z : ).
: . . A. ayck`s cxpIanaton ot how socaI coopcraton utIzcs morc
knowIcdgc than any ndvduaI posscsscs, through pcopIc ad|ust-
ng thcr actvtcs on thc bass ot how othcr pcopIc`s smIarIy ad-
ustcd actvtcs attcct thcr IocaI stuatons and through toIIowng
cxampIcs thcy arc prcscntcd wth, and thcrcby crcatcs ncw nsttu-
tonaI torms, gcncraI modcs ot bchavor, and so on (The Constitu
tion 0/Lierty, chap. z).
A rcwardng rcscarch actvty wouId bc to cataIog thc dllcrcnt
modcs (and combnatons) ol nvsbIc-hand cxpIanatons , spccly-
ng whch typcs ol nvisbIc-hand cxpIanatons can cxpIan whch
typcs ol pattcrns . c can mcnton hcrc two typcs ol nvsbIc-
hand proccsscs by whch a pattcrn F can bc produccd. hItcrng
proccsscs and cquIbrum proccsscs . Jhrough hItcrng proccsscs
can pass onIy thngs httngF, bccausc proccsscs or structurcs hItcr
out aII non-F` s, n cquIbrum proccsscs cach componcnt part
rcsponds or adjusts to `IocaI` condtons, wth cach adjustmcnt
changng thc IocaI cnvronmcntolothcrscIosc by, so that thc sum
ol thc rppIcs ol thc IocaI adjustmcnts consttutcs or rcaIzcs F.
(Somc proccsscs ol such rppIng IocaI adj ustmcnts don` t comc to
zz State-oj-Nature Theoy
an cquIbrum pattcrn, not cvcn a movng onc. ) Jhcrc arc dt-
tcrcnt ways an cquIbrum proccss can hcIp mantan a pattcrn,
and thcrc aIso mght bc a hItcr that cImnatcs dcvatons trom thc
pattcrn that arc too grcat to bc brought back by thc ntcrnaI
cquIbratng mcchansms . Pcrhaps thc most cIcgant torm otcx-
pIanaton ot ths sort nvoIvcs two cquIbrum proccsscs, cach n-
tcrnaIIy mantanng ts pattcrn nthc taccotsmaII dcvatons , and
cach bcng a hItcr to cImnatc thc Iargc dcvatons occurrng n
thcothcr.
c mght notc n passng that thc noton othItcrng proccsscs
cnabIcs us to undcrstand onc way n whch thc poston n thc ph-
Iosophy ot thc socaI sccnccs known as mcthodoIogcaI ndvd-
uaIsm mght go wrong. tthcrc s a hItcr that hItcrs out (dc-
stroys) aII non-F _` s, thcn thc cxpIanaton otwhy aII _` s arc I` s
(ht thc pattcrn F) wII rctcr to ths hItcr. or cach partcuIar _,
thcrc may bca partcuIar cxpIanaton otwhyit sF, how t camc
to bcF, what mantans tas F. but thc cxpIanaton otwhy aII_`s
arcF wII not bc thc conuncton ot thcsc ndvduaI cxpIanatons,
cvcnthoughthcscarc aII thc_` sthcrcarc, tor that s part otwhat
s to bc cxpIancd. Jhc cxpIanaton wII rctcr to thc hItcr. Jo
makc ths cIcar, wc mght magnc that wc havc ne cxpIanaton ot
why thc ndvduaI_` sarc F` s. t ust s an uItmatc statstcaI Iaw
(so tar as wc can tcII at any ratc) that somc _` s arc F; wc cvcn
mght bc unabIc to dscovcr any stabIc statstcaI rcguIarty at aII.
n ths casc wc wouId know why aII _` s arc F`s (and know thcrc
arc _` s, and prhaps cvcn know why thcrc arc _` s) wthout know-
ng otany _, why t s F' Jhc mcthodoIogcaI ndvduaIst po-
ston rcqurcs that thcrc bc no basc (unrcduccd) socaI hI-
tcrng proccsscs .
I S THE DOMI NANT P ROTECTI VE
AS S OCI ATI ON A S TATE?
Mavc wc provdcd an nvsbIc-hand cxpIanaton ot thc statc!
Jhcrc arcatIcast two ways nwhch thc schcmcotprvatc protcc-
tvc assocatons mght bc thought to dttcr trom a mnmaI statc,
mght taI to satsty a mnmaI conccpton ota statc. ( r ) t appcars
Jhc btatc ot Paturc
to aIIow somc pcopIc to cntorcc thcr own rghts, and (z) t ap-
pcars not to protcct aII ndvduaIs wthn ts doman. rtcrs n
thc tradton ot Max cbcr ' * trcat havng a monopoIy on thc
usc ottorcc n a gcographcaI arca, a monopoIy ncompatbIc wth
prvatc cntorccmcnt otrghts, ascrucaI to thccxstcnccota statc.
As MarshaII Lohcn ponts out nanunpubIshcdcssay, astatcmay
cxst wthoutattual/ monopoIzng thc usc ottorcc t has not au-
thorzcd othcrs to usc, wthn thc boundarcs ota statc thcrc may
cxst groups such as thc Maha, thc KKK, htc Ltzcns Loun-
cIs, strkng unonsts, and cathcrmcn that aIso usc torcc.
Claiming such a monopoIy s not suthccnt (teu cIamcd t you
wouId not bccomc thc statc), nor s bcng ts soIc cIamant a ncccs-
sary condton. Por nccd cvcryonc grant thc Icgtmacy ot thc
statc`s cIam to such monopoIy, cthcr bccausc as pachsts thcy
thnk no onc has thc rght to usc torcc, or bccausc as rcvoIu-
tonarcs thcy bcIcvc that a gvcn statc Iacks ths rght , or bc-
causc thcy bcIcvc thcy arc cnttIcd to on n and hcIp out no mat-
tcr what thc statc says. ormuIatng suthccnt condtons tor thc
cxstcncc ot thc statc thus turns out to bc a dthcuIt and mcssy
task.'
or our purposcs hcrc wc nccd tocus onIy upon a ncccssary con-
dton that thc systcm otprvatcprotcctvc agcnccs (or any com-
poncnt agcncy wthn t) apparcntIy docs not satsty. A statc
cIams a monopoIy on dccdng who may usc torcc whcn, t says
that onIy t may dccdc who may usc torcc and undcr what cond-
tons, t rcscrvcs to tscIt thc soIc rght to pass on thc Icgtmacy
and pcrmssbIty ot any usc ot torcc wthn ts boundarcs, hr-
thcrmorc t cIams thc rght to punsh aII thosc who voIatc ts
cIamcd monopoIy. Jhc monopoIy may bc voIatcd n two ways.
(r) a prson may usctorcc though unauthorzcd by thc statc to do
so, or(z) though not thcmscIvcs usng torcc agroup orpcrson may
sct thcmscIvcs up as an aItcrnatvc authorty (and pcrhaps cvcn
cIam to bc thc soIc Icgtmatc onc) to dccdc whcn and by whom
thc usc ot torcc s propcr and Icgtmatc. t s uncIcar whcthcr a
statc must cIam thc rght to punsh thc sccond sort ot voIator,
and doubttuI whcthcr any statc actuaIIy wouId rctran trom pun-
shng a sgnhcant group ot thcm wthn ts boundarcs. gIdc
ovcr thc ssuc otwhat sort ot may, ` 'Icgtmacy, ` and pcrms-
sbIty` s n qucston. MoraI pcrmssbIty sn` t a mattcr ot
z4 State-ol-Nature Theoy
dccson, and thc statc nccd not bc so cgomanacaI as to cIam thc
soIc rght to dccdc moraI qucstons. Jo spcak ol IcgaI prms-
sbIty wouId rcqurc, to avod crcuIarty, that an account ol a
IcgaI systcm bc ollcrcd that docsn` t usc thc noton olthc statc.
c may procccd, lor our purposcs, by sayng that a ncccssary
condton lor thc cxstcncc ola statc s that t (somc pcrson or or-
ganzaton)announcc that, to thc bcst olts abIty (takng nto ac-
count costs oldong so, thc lcasbIty, thc morc mportant aItcr-
natvc thngs t shouId bc dong, and so lorth), t wII punsh
cvcryonc whom t dscovcrs to havc uscd lorcc wthout ts cxprcss
pcrmsson. (Jhs pcrmsson may bc a partcuIar pcrmsson or
may bc grantcd vasomcgcncraI rcguIaton or authorzaton. ) Jhs
stII won` t qutc do. thc statc may rcscrvc thc rght to lorgvc
somconc, exest/atte, n ordcr to punsh thcy may havc not onIy
to dscovcr thc unauthorzcd` uscollorcc but aIsoprovc va accr-
tan spcchcd proccdurc olproolthat toccurrcd, and so lorth. but
tcnabIcs us to procccd. Jhcprotcctvc agcnccs , tsccms, do not
makc such an announccmcnt, cthcr ndvduaIIy or coIIcctvcIy.
Nerds itseem merah legitimte/ertbem te de se. So thc systcm ol
prvatc protcctvc assocatons, lthcy pcrlorm no moraIIy IIcgt-
matcacton, appars to Iack any monopoIycIcmcnt and so appars
not to consttutcorcontan astatc. Jo cxamnc thcqucston olthc
monopoIy cIcmcnt, wc shaII havc to consdcr thc stuaton olsomc
group ol pcrsons (or somc onc pcrson) Ivng wthn a systcm ol
prvatc protcctvc agcnccs who rchsc to j on any protcctvc soc-
cty, who nsst on udgng lor thcmscIvcs whcthcr thcr rghts
havc bccn voIatcd, and (lthcy so udgc) on pcrsonaIIy cnlorcng
thcr rghts by punshng andlor cxactngcompcnsaton lrom thosc
who nlrngcd thcm.
Jhc sccond rcason lor thnkng thc systcm dcscrbcd s not a
statc s that, undcr t (apart lrom spIIovcr cllccts) onIy thosc pay-
ng lor protccton gct protcctcd, hrthcrmorc, dllcrng dcgrccs ol
protccton may bc purchascd. LxtcrnaI cconomcs agan to thc
sdc, noonc pays lor thc protccton olothcrs cxccpt as thcy choosc
to, no onc s rcqurcd to purchasc or contrbutc to thc purchasng
ol protccton lor othcrs . Protccton and cnlorccmcnt ol pcopIc`s
rghts s trcatcd as an cconomc good to bc provdcd by thc mar-
kct, as arc othcr mportantgoods such as lood and cIothng. Mow-
cvcr, undcr thc usuaI conccpton ol a statc, cach pcrson Ivng
Jhc btatc of Paturc
wthn (or cvcn somctmcs travcIng outsdc) ts gcographicaI
boundarcs gcts (or at Icast , s cnttIcd to gct) ts protccton.
LnIcss somc prvatc party donatcd sulhccnt lunds to covcr thc
costs ol such protccton (to pay lor dctcctvcs , poIcc to brng
crmnaIs nto custody, courts , and prsons), or unIcss thc statc
lound somc scrvcc t couId chargc lor that wouId covcr thcsc
costs, onc wouId cxpcct that a statc whch ollcrcd protccton so
broadIy wouId bc rcdstrbutvc. t wouId bc a statc n whch somc
pcrsons pad morc so that othcrs couId bc protcctcd. And ndccd
thc most mnmaI statc scrousIy dscusscd by thc manstrcam ol
poItcaI thcorsts, thc nght-watchman statc ol cIasscaI IbcraI
thcory, appcars to bc rcdstrbutvc n ths lashon. Yct how can a
protccton agcncy, a busncss, chargc somc to provdc ts product
to othcrs ! ' (c gnorc thngs Ikc somc partaIIy payng lor
othcrs bccausc t s too costIy lor thc agcncy to rchnc ts cIasshca-
ton ol, and chargcs to, customcrs to mrror thc costs ol thc scr-
vccs to thcm. )
Jhus t appcars that thc domnant protcctvc agcncy n a tcrr-
tory not onIy Iacks thc rcqustc monopoIy ovcr thc usc ol lorcc,
but aIso laIs to provdc protccton lor aII n ts tcrrtory, and so
thc domnant agcncy appcars to laII short ol bcng a statc. but
thcsc appcaranccs arc dcccptvc.
" I have heard it suggested that the state could inance itself by running a
lottery. But since it would have no right to forbid private entrepreneurs ftom
doing the same, why think the state will have any more success in attracting
customers in this than in any other competitive business?
CHAPT ER
3
Moral Constraints
and the State
THE MI NI MAL S TATE AND THE
ULTRA MI NI MA L STATE
LE nght-watchman statc olcIasscaI IbcraI thcory, Im-
tcd to thc hnctons olprotcctng aII ts ctzcns aganst voIcncc,
thclt, and lraud, and to thc cnlorccmcnt olcontracts , and so on,
appcars to bc rcdstrbutvc.' c can magnc at Icast onc socaI
arrangcmcnt ntcrmcdatc bctwccn thc schcmc ol prvatc protcc-
tvc assocatons and thc nght-watchman statc. Sncc thc nght-
watchman statc s oltcn caIIcd a mnmaI statc, wc shaII caII ths
othcr arrangcmcnt thc ultraminimal state. An uItramnmaI statc
mantans amonopoIy ovcraII usc ollorcc cxccpt that ncccssary n
mmcdatc scIl-dclcnsc, and so cxcIudcs prvatc (oragcncy) rctaIa-
ton lor wrong and cxacton olcompcnsaton, but t provdcs pro-
tccton and cnlorccmcnt scrvccs enl to thosc who purchasc ts
protccton and cnlorccmcnt poIccs. PcopIc who don`t buy a pro-
tccton contract lrom thc monopoIydon` tgct protcctcd. Jhc mn-
maI(nght-watchman) statc s cquvaIcnt tothc uItramnmaI statc
cononcd wth a (cIcarIy rcdstrbutvc) rcdmancsquc vouchcr
26
MoraI Lonstratnts and thc btatc z7
pIan, hnanccd lrom tax rcvcnucs . Lndcr ths pIan aII pcopIc, or
somc (lor cxampIc, thosc n nccd), arc gvcn tax-lundcd vouchcrs
that can bc uscd onIylor thcr purchasc olaprotccton poIcy lrom
thc uItramnmaI statc.
Sncc thc nght-watchmanstatcappars rcdstrbutvc to thccx-
tcnt that t compcIs somc pcopIc to pay lor thc protccton ol
othcrs , ts proponcnts must cxpIan why ths rcdstrbutvc hnc-
ton ol thc statc s unquc. lsomc rcdstrbuton s Icgtmatc n
ordcr to protcct cvcryonc, why s rcdstrbuton not Icgtmatc lor
othcr attractvc and dcsrabIc purposcs as wcII ! hat ratonaIc
spcchcaIIy scIccts protcctvc scrvccs as thc soIc subcct olIcgt-
matc rcdstrbutvc actvtcs! A ratonaIc, oncc lound, may show
that ths provson olprotcctvc scrvccs s net rcdstrbutvc. Morc
prccscIy, thc tcrm `rcdstrbutvc` appIcs to typs olrmsens lor
an arrangcmcnt, rathcr than to an arrangcmcnt tscIl. c mght
cIIptcaIIy caII an arrangcmcnt `rcdstrbutvc` lts maor (onIy
possbIc)supportng rcasons arc thcmscIvcs rcdstrbutvc. (`Patcr-
naIstc` lunctons smIarIy. ) ndng compcIIng nonrcdstrbu-
tvc rcasons wouId causc us to dropths IabcI. hcthcr wc say an
nsttuton that takcs moncy lrom somc and gvcs t to othcrs s rc-
dstrbutvc wII dcpcnd upon wb wc thnk t docs so. Kcturnng
stoIcn moncy or compcnsatng lor voIatons olrghts arcnet rcds-
trbutvc rcasons. havc spokcn untI now olthc nght-watchman
statc`saearing to bc rcdstrbutvc, to Icavc opcn thc possbIty
that nonrcdstrbutvc typs ol rcasons mght bc lound to ustly
thc provson ol protcctvc scrvccs lor somc by othcrs ( cxpIorc
somc such rcasons n Lhaptcrs 4 and 5 olPart . )
A proponcnt ol thc uItramnmaI statc may sccm to occupy an
nconsstcnt poston, cvcn though hc avods thc qucston olwhat
makcs protccton unqucIy sutabIc lor rcdstrbutvc provson.
LrcatIy conccrncd to protcct rghts aganst voIaton, hc makcs
ths thc soIc Icgtmatc luncton ol thc statc, and hc protcsts that
aII othcr lunctons arc IIcgtmatc bccausc thcy thcmscIvcs nvoIvc
thc voIaton ol rghts. Sncc hc accords paramount pIacc to thc
< Milton Friedman, Caita/i:m and Freedem (Chicago: University of Chicago
Press, 1 962), chap. 6. Friedman's school vouchers, of course, allow a choice
about who is to supply the product, and so differ from the protection vouchers
imagined here.
State-oj-Nature Theoy
protccton and nonvoIaton ol rghts, how can hc support thc uI-
tramnmaI statc, whchwouId sccm to Icavc somc pcrsons` rghts
unprotcctcdor IIprotcctcd! Mow can hcsupport thsintbename e/
thc nonvoIaton olrghts !
MORAL CONS TRAI NTS AND MORAL GOALS
Jhs qucston assumcs that a moraI conccrn can luncton onIy as
a moraIgeal, as an cnd statc lor somc actvtcs to achcvc as thcr
rcsuIt . t may, ndccd, sccm to bc a ncccssary truth that rght, `
ought, ` shouId, ` and so on, arc to bc cxpIancd n tcrms ol
what s , or s ntcndcd to bc, productvc olthc grcatcstgood, wth
aII goaIs buIt nto thc good. Jhus t s ohcn thought that what
s wrong wth utItaransm (whch is olths lorm) s ts too nar-
row conccpton olgood. LtItaransm docsn` t, t s sad, propcrIy
takc rghts and thcr nonvoIaton nto account, t nstcad Icavcs
thcm a dcrvatvc status. Many olthc countcrcxampIccascs to utI-
tariansm ht undcr ths objccton, lor cxampIc, punshng an n-
noccnt man to savc a ncghborhood lrom a vcngcluI rampagc.
but a thcory may ncIudc n a prmary way thc nonvoIaton ol
rghts , yctncIudc t nthcwrongpIacc andthcwrong manncr. or
supposc somc condton about mnmzng thc totaI (wcghtcd)
amount olvoIatons olrghts s buIt nto thc dcsrabIc cnd statc
to bc achcvcd. c thcn wouId havc somcthng Ikc a utItar-
ansm ol rghts`, voIatons ol rghts (to bc minimized) mcrcIy
wouId rcpIacc thc totaI happncss as thc rcIcvant cnd statc n thc
utItaran structurc. (Potc thatwc do not hoId thc nonvoIaton ol
our rghts as our soIc grcatcst good or cvcn rank t hrst Icx-
cographcaIIy to cxcIudc tradc-ohs, lthcrc s somc dcsrabIc so-
ccty wc wouId choosc to nhabt cvcn though n t somc rghts
olours somctmcs arc voIatcd, rathcr than movc to a dcscrt s-
Iand whcrc wc couId survvc aIonc. ) Jhs stII wouId rcqurc us to
voIatc somconc` s rghts whcn dong so mnmzcs thc totaI
(wcghtcd) amount olthc voIaton olrghts n thc soccty or cx-
ampIc, voIatng somconc`s rghts mght dccct othcrs lrom tbeir
ntcndcd acton olgravcIy voIatng rghts, or mght rcmovc thcr
motvc lor dong so, ormght dvcrt thcr atrcnton, and so on. A
Moral Constraints and the State
mob rampagng through a part oltown kIIng and burnng will
voIatc thc rghts ol thosc Ivng thcrc Jhcrclorc, somconc mght
try to justly hs punshng anothcr be knows to bc nnoccnt ol a
crmc that cnragcd a mob, on thc grounds that punshng ths n-
noccnt pcrson wouId hcIp to avod cvcn grcatcr voIatons olrghts
by othcrs , and so wouId Icad to a mnmum wcghtcd scorc lor
rghts voIatons n thc soccty.
n contrast to ncorporatng rghts nto thc cnd statc to bc
achcvcd, onc mght pIacc thcm as sdc constrants upon thc ac-
tons to bc donc. don t voIatc constrants C Jhc rghts ol othcrs
dctcrmnc thc constrants upon your actons. (A geal-dire:ted vcw
wth constrants addcd wouId bc. among thosc acts avaIabIc to
you that don` tvoIatc constrants C, act so as to maxmzc goaI G.
Mcrc, thc rghts olothcrs wouId constran your goaI-drcctcd bc-
havor. do not mcan to mpIy that thc corrcct moraI vcw n-
cIudcs mandatory goaIs that must bc pursucd, cvcn wthn thc
constrants . ) Jhs vcw dllcrs lrom onc that trcs to buId thc sdc
constrantsCinte thc goaI G. Jhc sdc-constrant vcw lorbds you
to voIatc thcsc moraI constrants n thc pursut ol your goaIs,
whcrcas thc vcw whosc objcctvc s to mnmzc thc voIaton ol
thcsc rghts aIIows you to voIatc thc rghts (thc constrants)
ordcr to Icsscn thcr totaI voIaton n thc soccty.
.. Unfortunately, too few models of the structure of moral views have been
seciied heretofore, though there are surely other interesting structures. Hence
an argument for a side-constraint structure that consists largely in arguing
against an end-state maximization structure is inconclusive, for these alterna
tives are not exhaustive. (On page 46 we descrie a view which its neither struc
ture happily. ) An array of structures must be precisely formulated and inves
tigated; perhaps some novel structure then will seem most appropriate.
The issue of whether a side-constraint view can be put in the form of the
goal-without-side-constraint view is a tricky one. One might think, for ex
ample, that each erson could distinguish in his goal etween bi: violating
rights and someone else's doing it. Give the former ininite (negative) weight in
his goal, and no amount of stopping others from violating rights can outweigh
his violating someone' s rights. In addition to a component of a goal receiving
ininite weight, indexical expressions also apear, for example, 'm doing some
thing. " A careful statement delimiting "constraint views" would exclude these
gimmicky ways of transforming side constraints into the form of an end-state
view as suficient to constitute a view d end state. Mathematical methods of
transforming a constrained minimization problem into a sequence of uncon
strained minimizations of an auxiliary function are presented in Anthony Fiacco
and Garth McCormick, Nen/inear Pwgramming. Sequentia/ 0ncen:trained Minimi-
State-o-Nature Theoy
Jhc cIam that thcproponcnt olthc uItramnmaI statc s ncon-
sstcnt, wc now can scc, assumcs that hc s a utItaran ol
rghts. ` t assumcs that hs goaI s , lor cxampIc, to mnmzc thc
wcghtcd amount olthc voIaton olrghts n thc soccty, and that
hc shouId pursuc ths goaI cvcn through mcans that thcmscIvcs v-
oIatc pcopIc`s rghts. nstcad, hc may pIacc thc nonvoIaton ol
rghts as a constrant upon acton, rathcr than (or n addton to)
buIdng t nto thc cnd statc to bc rcaIzcd. Jhc poston hcId by
ths proponcnt olthc uItramnmaI statc wII bc a consstcnt onc l
hs conccpton olrghts hoIds that your bcng/erted to contrbutc
to anothcr`s wcIlarc voIatcs your rghts , whcrcas somconc cIsc`s
not provdng you wth thngs you nccd grcatIy, ncIudng thngs
csscntaI to thc protccton ol your rghts, docs not itseq voIatc
your rghts , cvcn though t avods makng t morc dlhcuIt lor
somconc cIsc to voIatc thcm. (Jhat conccpton wII bc consstcnt
provdcd t docs not construc thc monopoIy cIcmcnt ol thc uI-
tramnmaI statcas tscIla voIaton olrghts. ) Jhat t s a conss-
tcntpostondocsnot , olcoursc, showthatts an acccptabIc onc.
WHY S I DE CONS TRAI NTS ?
sn`t t irratienal to acccpt a sdc constrant C, rathcr than a vcw
that drccts mnmzng thc voIatons olC (Jhc Iattcrvcw trcats
C as acondton rathcr than aconstrant. ) lnonvoIaton olC s so
mportant, shouIdn` t that bc thc goaI ! Mow can a conccrn lor thc
nonvoIaton olC Icad to thc rclusaI to voIatc C cvcn whcn ths
wouId prcvcnt othcr morc cxtcnsvc voIatons olC hat s thc
ratonaIc lor pIacng thc nonvoIaton olrghts as a sdc constrant
uponacton nstcad olncIudng tsoIcIyasagoaIolonc`s actons!
Sdc constrants upon acton rchcct thc undcrIyng Kantan
zation Techniques (New York: Wiley, 1 968). The book is interesting oth for its
methods and for their limitations in illuminating our area of concern; note the
way in which the enalty functions include the constraints, the variation in
weights of enalty functions (sec. 7. 1 ) , and so on.
The question of whether these side constraints are absolute, or whether they
may e violated in order to avoid catastrophic moral horror, and if the latter,
what the resulting structure might look like, is one hoe largely to avoid.
Moral Constraints and the State
prncpIc that ndvduaIs arc cnds and not mcrcIy mcans, thcy
may not bc sacr hccd or uscd lor thc achcvng ol othcr cnds
wthout thcr conscnt. ndvduaIs arc nvoIabIc. Morc shouId bc
sad to IIumnatc ths taIk ol cnds and mcans. Consdcr a prmc
cxampIc ola mcans , a tooI . Jhcrc s no sdc constrant on how wc
may usc a tooI , othcr than thc moraI constrants on how wc may
usc t upon othcrs . Jhcrc arc proccdurcs to bc loIIowcd to prcscrvc
t lor luturc usc ('don`t Icavc t out n thc ran`), and thcrc arc
morc and Icss clhccnt ways ol usng t. but thcrc s no Imt on
what wc may do to t to bcst achcvc our goaIs. Pow magnc that
thcrc was an ovcrrdcabIc constrant C on somc tooI`s usc. or cx-
ampIc, thc tooI mght havc bccn Icnt to you onIy on thc condton
that C not bc voIatcd unIcss thc gan lrom dong so was abovc a
ccrtan spcchcd amount, or unIcss t was ncccssary to achcvc a
ccrtan spcchcd goaI . Mcrc thc obcct s not temletel your tooI ,
lor usc accordng to your wsh or whm. but t s a tooI ncvcrthc-
Icss, cvcn wth rcgard to thc ovcrrdcabIc constrant. l wc add
constrants on ts usc that may not bc ovcrrddcn, thcn thc obcct
may not bc uscd as a tooIin tbese was. ln tbese resetts, t s not a
tooI at aII . Can onc add cnough constrants so that an obcct can-
not bc uscd as a tooI at aII , nan rcspcct!
Canbchavor toward apcrson bcconstrancd so that hc s notto
bc uscd lor any cnd cxccpt as hc chooscs! Jhs s an mpossbIy
strngcnt condton lt rcqurcs cvcryonc who provdcs us wth a
good to approvc postvcIy olcvcry usc to whchwc wsh to put t.
Lvcn thc rcqurcmcnt that hcmcrcIy shouId notobcct toany usc
wc pIan wouId scrousIy curtaI bIatcraI cxchangc, not to mcnton
scqucnccs ol such cxchangcs . t s sulhccnt that thc othcr party
stands to gan cnough lrom thc cxchangc so that hc s wIIng to
go through wth t, cvcn though hc obccts to onc or morc olthc
uscs to whch you shaII put thc good. Lndcr such condtons , thc
othcr party s not bcng uscd soIcIy as a mcans , n that rcspct.
Anothcr party, howcvcr, who wouId not choosc to ntcract wth
you lhc kncwolthcuscs to whch youintendto puths actons or
good, is bcng uscd as a mcans, cvcn l hc rcccvcs cnough to
choosc (n hs gnorancc) to ntcract wth you. ('AII aIong, you
wcrc ust using mc` can bc sad by somconc who chosc to ntcract
onIy bccausc hc was gnorant olanothcr`s goaIs and ol thc uscs to
whch hc hmscIl wouId bc put . ) s t moraIIy ncumbcnt upon
State-oj-Nature Theoy
somconc to rcvcaI hs ntcndcd uscs olan ntcracton lhc has good
rcason to bcIcvc thc othcr wouId rclusc to ntcract lhc kncw! s
hcusing thc othcr pcrson, lhcdocs not rcvcaI ths! And what ol
thc cascs whcrc thc othcr docs not choosc to bc olusc at aII ! n
gcttng pIcasurc lrom sccng an attractvc pcrson goby, docs onc
usc thc othcr soIcIy as a mcans! Oocs somconc so usc an objcct
olscxuaI lantascs! Jhcsc and rcIatcd qucstons rasc vcry ntcrcst-
ng ssucs lor moraI phIosophy, but not , thnk, lor poItcaI
phIosophy.
PoItcaI phIosophy s conccrncd onIy wth tertain ways that
pcrsons may not usc othcrs, prmarIy, physcaIIy aggrcssng
aganst thcm. A spcchc sdc constrant uponacton toward othcrs
cxprcsscs thc lact that othcrs may not bc uscd n thc spcc hc ways
thc sdc constrant cxcIudcs. Sdc constrants cxprcss thc n-
voIabIty olothcrs, n thc ways thcy spccly. Jhcsc modcs oln-
voIabIty arc cxprcsscd by thc loIIowng njuncton. 'Oon` t usc
pcopIc n spcchcd ways. ` An cnd-statc vcw, on thc othcr hand,
wouId cxprcss thc vcw that pcopIc arc cnds and not mcrcIy mcans
(l t chooscs to cxprcss ths vcw at aII), by a dllcrcnt njuncton.
'Mnmzc thcusc n spcchcd ways olpcrsons as mcans. ` oIIow-
ng ths prcccpt tscIl may nvoIvc usng somconc as a mcans n
oncolthc ways spcchcd. Mad Kant hcId thsvcw, hcwouId havc
gvcn thc sccond lormuIa olthc catcgorcaI mpcratvc as , 'So act
as to mnmzc thc usc ol humanty smpIy as a mcans, ` rathcr
than thc onc hc actuaIIy uscd. 'Act n such a way that you aIways
trcat humanty, whcthcr n your own pcrson or n thc pcrson ol
any othcr, ncvcr smpIy as a mcans , but aIways at thc samc tmc as
an cnd. ` *
Sdc constrants cxprcss thc nvoIabIty ol othcr pcrsons. but
why may not onc voIatcpcrsons lor thc grcatcr socaI good! nd-
vduaIIy, wc cach somctmcschoosc to undcrgosomcpan or sacr-
hcc lor a grcatcr bcncht or to avod a grcatcr harm. wc go to thc
dcntst to avod worsc sullcrng Iatcr, wc do somc unpIcasant work
lor ts rcsuIts, somc pcrsons dct to mprovc thcr hcaIth or Iooks,
somc savc moncy to support thcmscIvcs whcn thcy arc oIdcr. n
cach casc, somc cost s bornc lor thc sakc ol thc grcatcr ovcraII
good. hy not, similarl, hoId that somc pcrsons havc to bcar
somc costs that bcncht othcr pcrsons morc, lor thc sakc ol thc
ovcraII socaI good! but thcrc s no setial entit wth a good that
MoraI Lonstratnts and thc btatc
9 9
undcrgocs somc sacr hcc lor ts own good. Jhcrc arc onIy ndvd-
uaI pcopIc, dllcrcnt ndvduaI pcopIc, wth thcr own ndvduaI
Ivcs. Lsng onc olthcsc pcopIc lor thc bcncht olothcrs , uscs hm
and bcnchts thc othcrs. Pothng morc hat happcns s that
somcthng s donc to hm lor thc sakc olothcrs . JaIk olan ovcraII
socaI good covcrs ths up. (ntcntonaIIy!) Jo usc a pcrson n ths
way docs not sulhccntIy rcspcct and takc account olthc lact that
hc s a scparatc pcrson, that hs s thc onIy Ilc hc has. He docs
not gct somc ovcrbaIancng good lrom hs sacrhcc, and no onc s
cnttIcd to lorcc ths upon hm-Icast olaII a statc or govcrnmcnt
that cIams hs aIIcgancc (as othcr ndvduaIs do not) and that
thcrclorc scrupuIousIy must bc neutral bctwccn ts ctzcns
L I B E RTARI AN CONS TRA I NTS
Jhc moraI sdc constrants upon what wc may do, cIam, rchcct
thc lact ol our scparatc cxstcnccs. Jhcy rchcct thc lact that no
moraI baIancng act can takc pIacc among us , thcrc s no moraI
outwcghng olonc olour Ivcs by othcrs so as to Icad to a grcatcr
ovcraII setial good. Jhcrc s no justhcd sacrhcc ol somc olus lor
othcrs . Jhs root dca, namcIy, that thcrc arc dllcrcnt ndvduaIs
wth scparatc Ivcs and so no onc may bc sacrhccd lor othcrs, un-
dcrIcs thc cxstcncc ol moraI sdc constrants , but t aIso, bc-
Icvc, Icads to a Ibcrtaran sdc constrant that prohbts aggrcs-
son aganst anothcr.
Jhc strongcr thc lorcc ol an cnd-statc maxmzng vcw, thc
morc powcrluI must bc thc root dca capabIc ol rcsstng t that
undcrIcs thc cxstcncc ol moraI sdc constrants . Mcncc thc morc
scrousIy must bc takcn thc cxstcncc ol dstnct ndvduaIs who
arc not rcsourccs lor othcrs . An undcrIyng noton sulhccntIy
powcrluI to support moraI sdc constrants aganst thc powcrluI
ntutvc lorcc ol thc cnd-statc maxmzng vcw wII sulhcc to
dcrvc a Ibrtaran constrant on aggrcsson aganst anothcr. Any-
onc who rcjccts tbat artitular sdc constrant has thrcc aItcrna-
tvcs. ( I ) hc must rcjcctall sdc constrants, (z)hc mustproducc a
dllcrcnt cxpIanaton olwhy thcrc arc moraI sdc constrants rathcr
than smpIy a goaI-drcctcd maxmzng structurc, an cxpIanaton
54 State-oj-Nature Theoy
that docsn` t tscIl cntaI thc Ibcrtaran sdc constrant, or () hc
must acccpt thc strongIy put root dca about thc scparatcncss ol
ndvduaIs and yct cIam that ntatngaggrcsson aganstanothcr
s compatbIc wth ths root dca. Jhus wc havc a promsng
skctch olan argumcntlrom moraI lorm to moraIcontcnt. thc lorm
ol moraIty ncIudcs F (moraI s dc constrants), thc bcst cxpIana-
ton ol moraIty`s bcng F s (a strong statcmcnt ol thc ds-
tnctncss ol ndvduaIs), and lrom loIIows a partcuIar moraI
contcnt, namcIy, thc Ibcrtaran constrant. Jhc partcuIar moraI
contcnt gottcn by ths argumcnt, whch locuscs upon thc lact that
thcrc arc dstnct ndvduaIs cach wth hs ewn Ilc to Icad, wII
not bc thc/u!! Ibcrtaran constrant. t wII prohbt sacrhcng
onc pcrson to bcncht anothcr. urthcr stcps wouId bc nccdcd to
rcach a prohbton on patcrnaIstc aggrcsson. usng or thrcatcn-
ng lorcc lor thc bcncht olthc pcrson aganst whom t s wcIdcd.
or ths, onc must locus upon thc lact that thcrc arc dstnct nd-
vduaIs, cach wth hs own Ilcte!md.
A nonaggrcsson prncpIc s oltcn hcId to bc an appropratc
prncpIc to govcrn rcIatons among natons. hat dllcrcncc s
thcrc supposcd to bc bctwccn sovcrcgn ndvduaIs and sovcrcgn
natons that makcs aggrcsson pcrmssbIc among ndvduaIs!
hy may ndvduaIs ontIy, through thcr govcrnmcnt, do to
somconcwhatnonatonmay do to anothcr! lanythng, thcrcs a
strongcr casc lor nonaggrcsson among ndvduaIs, unIkc natons ,
thcy do not contan as parts ndvduaIs that othcrs IcgtmatcIy
mght ntcrvcnc to protcct or dclcnd.
shaII not pursuc hcrc thc dctaIs ol a prncpIc that prohbts
physcaI aggrcsson, cxccpt to notc that t docs not prohbt thc
usc ollorcc n dclcnsc aganst anothcr party who s a thrcat, cvcn
though hc s nnoccnt and dcscrvcs no rctrbuton. An innetent
tbrmt s somconc who nnoccntIy s acausaI agcnt n aproccss such
that hc wouId bc an aggrcssor had hc choscn to bccomc such an
agcnt. l somconc pcks up a thrd party and throws hm at you
down at thc bottom ola dccp wcII, thc thrd party s nnoccnt and
a thrcat, had hc choscn to Iaunch hmscIlat you n that tracctory
hc wouId bc an aggrcssor. Lvcn though thc laIIng pcrson wouId
survvc hs laII onto you, may you usc yourray gun to dsntcgratc
thc laIIng body bclorc t crushcs and kIIs you! Lbcrtaran proh-
btons arc usuaIIy lormuIatcd so as to lorbd usng voIcncc on n-
MoraI Lonstrants and thc btatc 55
noccnt pcrsons. but nnoccnt thrcats, thnk, arc anothcr mattcr
to whch dllcrcnt prncpIcs must appI y. ' Jhus, a luII thcory n
ths arca aIso must lormuIatc thc dierent constrants on rcsponsc
to nnoccnt thrcats. urthcr compIcatons conccrn innetent sbie!ds
e/ tbrmts, thosc nnoccnt pcrsons who thcmscIvcs arc nonthrcats
but who arc so s tuatcd that thcy wII bc damagcd by thc onIy
mcans avaIabIc lor stoppng thc thrcat. nnoccnt pcrsons strappcd
onto thc lront ol thc tanks ol aggrcssors so that thc tanks cannot
bc ht wthout aIso httng thcm arc nnoccnt shcIds ol thrcats.
(Somc uscs ol lorcc on pcopIc to gct at an aggrcssor do not act
upon nnoccnt shcIds ol thrcats, lor cxampIc, an aggrcssor` s n-
noccnt chId who s torturcd n ordcr to gct thc aggrcssor to stop
wasn`t sbie!ding thc parcnt. ) May onc knowngIy nurc nnoccnt
shcIds! l/ onc may attack an aggrcssor and n urc an nnoccnt
shcId, may thc nnoccnt shcId hght back n scIl-dclcnsc (suppos-
ng that hc cannot movc aganstor hght thc aggrcssor)! Oo wcgct
two pcrsons battIng cach othcr n scIl-dclcnsc! SmIarIy, lyou
usc lorcc aganst an nnoccnt thrcat to you, do you thcrcby bccomc
an nnoccnt thrcat to hm, so that hc may now usthabIy uscadd-
tonaI lorcc aganst you(supposng that hccandoths, yct cannot
prcvcnt hs orgnaI thrcatcnngncss)! tptoc around thcsc ncrcd-
bIy dlhcuIt ssucs hcrc, mcrcIy notng that a vcw that says t
makcs nonaggrcsson ccntraI must rcsoIvc thcm cxpIctIy at somc
pont.
CONS TRAI NTS AND ANI MALS
c can IIumnatc thc status and mpIcatons olmoraI sdc con-
strants by consdcrng Ivng bcngs lor whom such strngcnt

sdc
constrants (or any at aII) usuaIIy arc not consdcrcd appropratc.
namcIy, nonhuman anmaIs. Arcthcrc any Imts to what wc may
do to anmaIs! Mavc anmaIs thc moraI status olmcrc el)etts Oo
somc purposcs laI to cnttIc us to mposc grcat costs on anmaIs!
hat cnttIcs us to usc thcm at aII!
AnmaIs count lor somcthng. Somc hghcr anmaIs , at Icast,
ought to bc gvcn somc wcght n pcopIc` s dcIbratons about
what to do. t s dlhcuIt toreie ths. (t s aIso dlhcuIt to provc
State-oj-Nature Theoy
that pcopIc count lor somcthng! ) c hrst shaII adducc partuuIar
cxampIcs, and thcn argumcnts . l you lcIt Ikc snappng your
hngcrs , pcrhaps to thc bcat olsomc musc, and you kncw that by
somc strangc causaI connccton your snappng your hngcrs wouId
causc t o, ooo contcntcd, unowncd cows to dc altcr grcat pan and
sullcrng, or cvcn panIcssIy and nstantancousIy, wouId t bc pcr-
lcctIy aII rght to snap your hngcrs ! s thcrc somc rcason why t
wouId bc moraIIy wrong to do so!
Somc say pcopIc shouId not do so bccausc such acts brutaIzc
thcm and makcthcmmorcIkcIy to takc thc Ivcs olersens, soIcIy
lor pIcasurc. Jhcsc acts that arc moraIIy unobj cctonabIc n thcm-
scIvcs, thcy say, havc an undcsrabIc moraI spIIovcr. (Jhngs thcn
wouId bc dllcrcnt lthcrc wcrc no possbIty olsuch spIIovcr
lor cxampIc, lor thc pcrson who knows hmscIlto bc thc Iast pcr-
son on carth. ) but whysbeuld thcrc bc such a spIIovcr! lt s , n
tscIl, pcrlcctIy aII rght to do anythng at aII to anmaIs lor any
rcason whatsocvcr, thcn provdcd a pcrson rcaIzcs thc cIcar Inc
bctwccn anmaIs and pcrsons and kccps t nmndashcacts , why
shouId kIIng anmaIs tcnd to brutaIzc hm and makc hm morc
IkcIyto harm or kII pcrsons! Oo butchcrs commt morc murdcrs!
(Jhan othcr pcrsons who havc knvcs around!) l cnoy httng a
bascbaII squarcIy wth a bat, docs ths sgnhcantIy ncrcasc thc
dangcr olmy dong thc samc to somconc`s hcad! Am not capabIc
olundcrstandng thatpcopIc dllcr lrom bascbaIIs, and docsn` tths
undcrstandng stop thc spIIovcr! hy shouId thngs bc dllcrcnt
n thc casc ol anmaIs! Jo bc surc, t s an cmprcaI qucston
whcthcr spIIovcrdocs takc pIacc or not, but thcrcisa puzzIcas to
why t shouId, at Icast among rcadcrs olths cssay, sophstcatcd
pcopIc who arc capabIc ol drawng dstnctons and dllcrcntaIIy
actng upon thcm.
lsomc anmaIs count lorsomcthng, whch anmaIs count, how
much do thcy count, and how can ths bc dctcrmncd! Supposc (as
bcIcvc thc cvdcncc supports) thateating anmaIs s not ncccssary
r bealtb and s not Icss cxpcnsvc than aItcrnatc cquaIIy hcaIthy
dcts avaIabIc to pcopIc n thc Lntcd Statcs. Jhc gan, thcn,
lrom thc catng olanmaIs s pIcasurcs ol thc paIatc, gustatory
dcIghts, varcd tastcs. wouId not cIam that thcsc arc not truIy
pIcasant, dcIghtluI , and ntcrcstng. Jhc qucston s. do thcy, or
rathcr docs thc margnaI addton n thcm gancd by catng an-
MoraI Lonstrants and thc btatc
9
maIs rathcr than onIy nonanmaIs, eutueigb thc moraI wcght to bc
gvcn to anmaIs` Ivcs and pan! Lvcn that anmaIs arc to count
lorsemetbing. s thcextra gan obtancd by catng thcm rathcr than
nonanmaI products grcatcr than thcmoraI cost! Mov mght thcsc
qucstons bc dccdcd!
c mght try Iookng at comparabIc cascs , cxtcndng whatcvcr
j udgmcnts wc makc on thosc cascs to thc onc bclorc us. or cx-
ampIc, wc mght Iook at thc casc olhuntng, whcrc assumc that
t`s not aII rght to hunt and kII anmaIs mcrcIy lor thc lun ol t.
s huntng a spccaI casc, bccausc ts el)e:t and what provdcs thc
lun s thc chasng and mamng and dcath ol anmaIs! Supposc
thcn that cnjoy swngng a bascbaII bat. t happcns that n lront
olthc onIy pIacc to swing tstandsacow. Swngng thc batunlor-
tunatcIy wouId nvoIvc smashng thc cow`s hcad. but wouIdn`t
gct lun lrom dong tbat, thc pIcasurc comcs lrom cxcrcsng my
muscIcs, swngng wcII, and so on. t` s unlortunatc that as a sdc
cllcct (not a mcans) ol my dong ths, thc anmaI` s skuII gcts
smashcd. Jo bc surc, couId lorcgo swngng thc bat, and nstcad
bcnd down and touch my tocs or do somc othcr cxcrcsc. but ths
wouIdn` t bc as cnj oyabIc as swngng thc bat, won` t gct as much
lun, pIcasurc, or dcIght out olt. So thc qucston s. wouId t bc
aII rght lor mc to swng thc bat n ordcr to gct thcextra pIcasurc
olswngng t as comparcd to thc bcst avaIabIc aItcrnatvc actvty
that docs not nvoIvc harmng thc anmaI! Supposc that t s not
mcrcIy a qucston ol lorcgong today` s spccaI pIcasurcs ol bat
swngng, supposc that cach day thc samc stuaton arscs wth a
dllcrcnt anmaI. s thcrc somc prncpIc that wouId aIIow kIIng
and catng anmaIs lor thc addtonaI pIcasurc ths brngs, yct
wouId not aIIow swngng thc bat lor thc cxtrapIcasurc t brngs!
hat couId that prncpIc bc Ikc! (s ths a bcttcr paraIIcI to cat-
ng mcat! Jhc anmaI s kIIcd to gct a bonc out olwhch to makc
thc bcst sort ol bat to usc, bats madc out olothcr matcraI don`t
gvc qutc thc samc pIcasurc. s t aII rght to kII thc anmaI to
obtan thc extra pIcasurc that usng a bat madc out ol ts bonc
wouId brng! ouId t bc moraIIy morc pcrmssbIc lyou couId
hrc somconc to do thc kIIng lor you!)
Such cxampIcs and qucstons mght hcIp somconc to scc what
sorc ol Inc be wshcs to draw, what sort ol poston hc wshcs to
takc. Jhcy lacc, howcvcr, thc usuaI Imtatons ol consstcncy
State-of Nature Theoy
argumcnts, thcy do not say, oncc a conct s shown, whch vcw
to changc. Altcr laIng to dcvsc a prncpIc to dstngush swng-
ng thc bat lrom kIIng and catng an anmaI, you mght dccdc
that t` s rcaIIy aII rght , ahcr aII, to swng thc bat. urthcrmorc,
such appcaI to smIar cascs docs not grcatIy hcIp us to assgn
prccsc moraI wcght to dllcrcnt sorts ol anmaIs. (c lurthcr
dscuss thc dlhcuItcs n lorcng a moraI concIuson by appcaI to
cxampIcs n Chaptcr g. )
My purposc hcrc nprcscntng thcsc cxampIcs s to pursuc thc
noton ol moraI sdc constrants, not thc ssuc ol catng anma!s.
Jhough shouIdsaythat n my vcw thc cxtra bcnchts Amcrcans
today can gan lrom catng anmaIs do net j ustly dong t. So wc
shouIdn` t. Cnc ubqutous argumcnt, not unconncctcd wth sdc
constrants , dcscrvcs mcnton. bccausc pcopIc cat anmaIs, thcy
rascmorcthanothcrwscwouId cxstwthoutthspractcc. Jocxst
lor a whIc s bcttcr than ncvcr to cxst at aII. So (thc argumcnt
concIudcs) thc anmaIs arc bcttcr oll bcausc wc havc thc prac-
tcc ol catng thcm. Jhough ths s not our objcct, lortunatcIy t
turns out that wc rcaIIy, aII aIong, bcncht thcm' (ltastcs changcd
and pcopIc no Iongcr lound t cnj oyabIc to cat anmaIs, shouId
thosc conccrncd wth thc wcIlarc ol anmaIs stccI thcmscIvcs to
an unpIcasant task and contnuc catng thcm!) trust shaII not
bc msundcrstood as sayng that anmaIs arc to bc gvcn thc samc
moraI wcght as pcopIc l notc that thc paraIIcI argumcnt about
pcoIc wouId not Iook vcry convncng. c can magnc that pop-
uIation probIcms Icad cvcry coupIc or group to Imt thcr chIdrcn
to somc numbcr hxcd n advancc. A gvcn coupIc, havng rcachcd
thc numbcr, proposcs to havc an addtonaI chId and dsposc olt
at thc agc olthrcc (or twcnty-thrcc) by sacrhcng tor usng t lor
somc gastronomc purposc. n j usthcaton, thcy notc that thc
chId wII not cxst at aII lths s not aIIowcd, and surcIy t s bct-
tcr lor t to cxst lor somc numbr olycars. Mowcvcr, oncc a pcr-
son cxsts, not cvcrythng compatbIc wth hs ovcraII cxstcncc
bcng a nct pIus can bc donc, cvcn by thosc who crcatcd hm. An
cxstng rson has cIams, cvcn aganst thosc whosc purposc n
crcating him was to voIatc thosc cIams. t wouId bc worthwhIc
to pursuc moraI objcctons to a systcm that pcrmts parcnts to do
anythng w

hosc pcrmssbIty s ncccssary lor thcr choosng to

havc thc chiId, that aIso Icavcs thc chId bcttcrohthan l t hadn`t
Moral Lonstratnts and thc btatc 39
bccn born. (Smc wII thnk thc onIy objcctons arsc trom dt-
hcuItcs n accuratcIy admnstcrng thc prmsson. ) Cncc thcy
cxst, anmaIs too may havc cIams to ccrtan trcatmcnt. Jhcsc
cIams may wcII carry Icss wcght than thosc ol pcopIc. but thc
tact that somc anmaIs wcrc brought nto cxstcncc onIy bccausc
somconc wantcd to do somcthng that wouId voIatc onc olthcsc
cIams docs not show that thc cIam docsn` t cxst at aII.
Consdcr thc toIIowng (too mnmaI) poston about thc trcat-
mcnt olanmaIs. So that wc can casIy rchr to t, Ict us IabcI ths
poston utItaransm tor anmaIs, Kantansm lor pcopIc. ` t
says. ( I ) maxmzc thc totaI happncss ol aII Ivng bcngs,
(z) pIacc strngcnt sdc constrants on what onc may do to human
bcngs. Muman bcngs may not bc uscd or sacrhccd tor thc bcnc-
ht ol othcrs, anmaIs may bc uscd or sacrhccd lor thc bcncht ol
othcr pcopIc or anmaIs enl thosc bcnchts arc grcatcr than thc
Ioss nhctcd. (Jhs ncxact statcmcnt ot thc utItaran poston s
cIosc cnough lor our purposcs, and t can bc handIcd morc casIy
ndscusson. ) Cnc may procccd onIy lthc totaI utItaran bcncht
s grcatcr than thc utItaran Ioss nhctcd on thc anmaIs. Jhs
utItaran vcw counts anmaIs as much as normaI utItaransm
docs pcrsons. oIIowng CrwcII, wc mght summarzc ths vcw
as. allanimals are equal lutsemeare mere equal tban etbers. (Ponc
may bc sacrhccd cxccpt lor a grcatcr totaI bcncht, but prsons
may not bc sacrhccd at aII, or onIy undcr lar morc strngcnt con-
dtons, and ncvcr lor thc bcncht olnonhuman anmaIs. mcan ( I )
abovc mcrcIy to cxcIudc sacr hccs whch do not mcct thc utItar-
an standard, not to mandatc a utItaran goaI . c shaII caII ths
poston ncgatvc utItaransm. )
c can now drcct argumcnts lor anmaIs countng lor somc-
thng to hoIdcrs oldhcrcntvcws. Jo thc `Kantan` moraI phIos-
ophcr who mposcs strngcnt sdc constrants on whatmaybc donc
to a pcrson, wc can say.
You hoId utItaransm nadcguatc bccausc t aIIows an ndvduaI to bc
sacrhccd U and tor anothcr, and so torth, thcrcby ncgIcctng thc strn-
gcnt Imtatons on how onc IcgtmatcIy may bhavc toward Qrsons.
but could thcrc bc anythng moraIIy ntcrmcdatc bctwccn pcrsons and
stoncs, somcthng wthout such strngcnt Imtatons on ts trcatmcnt,
yct not to bc trcatcd mcrcIy as an obcct! Lnc wouId cxpcct that by sub-
tractng or dmnshng somc tcaturcs ot Qrsons, wc wouId gct ths n-
State-oj-Nature Theoy
tcrmcdatc sort ot bcng. (Lr pcrhaps bcngs ot ntcrmcdatc moraI
status arc gottcn by subtractng somc ot our charactcrstcs and addng
othcrs vcry dttcrcnt trom ours . )
IausbIy, anmaIs arc thc ntcrmcdatc bcngs, and utItaransm s
thc ntcrmcdatc poston. c may comc at thc gucston trom a sIghtIy
dttcrcnt angIc. \tItaransm assumcs both that happncss s aII that
mattcrs moraIIy and that aII bcngs arc ntcrchangcabIc. Jhs conunc-
ton docs not hoId truc ot prsons. but sn`t (ncgatvc) utItaransm
truc ot whatcvcr bcngs thc conuncton docs hoId tor, and docsn`t t
hoId tor anmaIs!
Jo thc utItaran wc may say.
t onIy thc cxpcrcnccs ot pIcasurc, pan, happncss, and so on (and thc
capacty tor thcsc cxpcrcnccs) arc moraIIy rcIcvant, thcn anmaIs must
bc countcd n moraI caIcuIatons to thc cxtcnt thcy do havc thcsc capac-
tcs and cxprcnccs. orm a matrx whcrc thc rows rcprcscnt aItcrnatvc
poIccs or actons, thc coIumns rcprcscnt dhcrcnt ndvduaI organsms,
and cach cntry rcprcscnts thc utIty (nct pIcasurc, happncss) thc poIcy
wII Icad to tor thc organsm. Jhc utItaran thcory cvaIuatcs cach poIcy
by thc sum ot thc cntrcs n ts row and drccts us to pcrtorm an acton
or adopt a poIcy whosc sum s maxmaI . Lach coIumn s wcghtcd
cguaIIy and co un tcd oncc, bc t that ot a pcrson or a nonhuman anmaI.
Jhough thc structurc ot thc vcw trcats thcm cguaIIy, anmaIs mght bc
Icss mportant n thc dccsons bccausc ot tacts about thcm. t anmaIs
havc Icss capacty tor pIcasurc, pan, happncss than humans do, thc ma-
trx cntrcs n anmaIs` coIumns wII bc Iowcr gcncraIIy than thosc n
pcopIc` s coIumns. n ths casc, thcy wII bc Icss mportant tactors n thc
uItmatc dccsons to bc madc.
A utItaran wouId hnd t dlhcuIt to dcny anmaIs ths knd ol
cquaI consdcraton. Cn what grounds couId hc consstcntIy ds-
tngushpcrsons` happncss lrom thatolanmaIs , tocountonIythc
lormcr! Lvcn lcxpcrcnccs don` tgct cntcrcd n thcutIty matrx
unIcss thcy arc abovc a ccrtan thrcshoId, surcIyseme anmaI cx-
pcrcnccs arcgrcatcr than somc pcopIc`s cxpcrcnccs that thc utI-
taran wshcs to count. (Comparc an anmaI`s bcng burncd aIvc
unancsthctzcd wth a pcrson`s mId annoyancc. ) bcntham, wc
may notc,dees count anmaIs` happncss cquaIIy n j ustthc way wc
havc cxpIancd."
Lndcr utItaransm lor anmaIs , Kantansm lor pcopIc, ` an-
maIs wII bc uscd lor thc gan olothcr anmaIs and pcrsons , but
pcrsons wII ncvcr bc uscd (harmcd, sacrhccd) aganst thcr wII ,
lor thc gan olanmaIs. Pothng may bc nhctcd upon pcrsons lor
MoraI Lonstrants and thc btatc
thc sakc olanmaIs. (ncIudng pcnaItcs lor voIatng Iaws aganst
crucIty to anmaIs!) s ths an acccptabIc conscqucncc! Can`t onc
savc t o, oooanmaIs lrom cxcrucatng sullcrng by nhctng somc
sIght dscomlort on a prson who dd not causc thc anmaIs` sul-
lcrng! Cnc may lccI thc sdc constrant s not absoIutc whcn t s
eele who can bc savcd lrom cxcrucatng sullcrng. So pcrhaps thc
sdc contrant aIso rcIaxcs , though not as much, whcn anmaIs`
sullcrng s at stakc. Jhc thoroughgong utItaran (lor anmaIs
and lor pcopIc, combncd n onc group) gocs hrthcr and hoIds
that, tetois arilus, wc may nhct somc sullcrng on a pcrson to
avod a (sIghtIy) grcatcr sullcrng ol an anmaI . Jhs pcrmssvc
prncpIc sccms to mc to bc unacccptabIy strong, cvcn whcn thc
purposc s to avod grcatcr sullcrng to aersen!
LtItaran thcory s cmbarrasscd by thc possbIty ol utIty
monstcrs whogct cnormousIygrcatcr gans nutItylrom anysac-
rhcc ol othcrs than thcsc othcrs Iosc. or, unacccptabIy, thc
thcory sccms to rcqurc that wc aII bc sacrhccd n thc monstcr`s
maw, nordcr to ncrcasc totaI utIty. SmIarIy lpcopIc arc utI-
ty dcvourcrs wth rcspcct to anmaIs, aIwaysgcttng grcatIycoun-
tcrbaIancng utIty lrom cach sacrhcc olan anmaI, wc may lccI
that utItaransm lor anmaIs, Kantansm lor pcopIc, ` n
rcqurng (or aIIowng) that aImost aIways anmaIs bc sacrhccd,
makcs anmaIs too subordnatc to pcrsons.
Sncc t counts onIy thc happncss and sullcrng ol anmaIs,
wouId thc utItaran vcw hoId t aII rght to kII anmaIs pan-
IcssIy! ouId t bc aII rght, on thc utItaran vcw, to kIIeele
panIcssIy, n thc nght, provdcd onc ddn` t hrst announcc t!
LtItaransm s notorousIy ncpt wthdccsons whcrc thc numlo
olprsons s at ssuc. (n ths arca, t mustbc conccdcd, cptncss s
hard to comc by. ) Maxmzng thc totaI happncss rcqurcs con-
tnung to add pcrsons so Iong as thcr nct utIty s postvc and s
sulhccnt to countcrbaIancc thc Ioss n utIty thcrprcscncc n thc
worId causcs othcrs . Maxmzng thc avcragc utIty aIIows a pcr-
son to kII cvcryonc cIsc l that wouId makc hm ccstatc, and so
happcr than avcragc. (Oon`t say hc shouIdn` t bccausc altcr hs
dcath thc avcragc wouId drop Iowcr than l hc ddn` t kII aII thc
othcrs. ) s t aII rght to kII somconc provdcd you mmcdatcIy
substtutcanothcr (by havng a chId or, n sccncc-hcton lashon,
by crcatng a luII-grown pcrson) who wII bc as happy as thc rcst
4
2 State-oj-Nature Theoy
ot thc Itc ot thc pcrson you kIIcd! Ahcr aII, thcrc wouId bc no
nct dmnuton n totaI utIty, orcvcn any changc n ts prohIc ot
dstrbuton. Oo wc torbd murdcr onIy to prcvcnt tccIngs ot
we on thc part ot potcntaI vctms! (And how docs a utItaran
cxpIan what t s thcy`rc worrcd about, and wouId hc rcaIIy basc
a poIcy on what hc must hoId to bc an rratonaI tcar!)LIcarIy, a
utItaran nccds to suppIcmcnt hs vcw to handIc such ssucs,
pcrhps hc wII hnd that thc suppIcmcntary thcory bccomcs thc
man onc, rcIcgatng utItaran consdcratons to a corncr.
but sn`t utItaransm at Icast adcquatc tor anmaIs! thnk
not. but tnot onIy thc anmaIs` tcIt cxpcrcnccsarcrcIcvant, what
cIsc s! Mcrc a tangIc ot qucstons arscs. Mow much docs an
anmaI` s Itc havc to bc rcspctcd oncc t`s aIvc, and how can wc
dccdc ths!MustoncaIso ntroduccsomcnotonota nondcgradcd
cxstcncc! ouId t bc aII rght to usc gcnctc-cngnccrng tcch-
nqucs to brccd naturaI sIavcs who wouId bc contcntcd wth thcr
Iots! PaturaI anmaI sIavcs! as that thc domcstcaton ot an-
maIs! Lvcn tor anmaIs, utItaransm won`tdoas thc whoIc story,
but thc thckct otqucstons daunts us.
THE E XP E RI E NCE MACHI NE
Jhcrc arc aIso substantaI puzzIcs whcn wc ask what mattcrs othcr
than howeele's cxprcnccs tccI 'trom thc nsdc. ` Supposc thcrc
wcrc an cxpcrcncc machnc that wouId gvc you any cxpcrcncc
you dcsrcd. Supcrdupcr ncuropsychoIogsts couId stmuIatc your
bran so that you wouId thnk and tccI you wcrc wrtng a grcat
novcI, or makng a trcnd, or rcadng an ntcrcstng book. AII thc
tmc you wouId bc hoatng n a tank, wth cIcctrodcs attachcd to
your bran. ShouId you pIug nto ths machnc tor Itc, prcpro-
grammng yourItc` scxpcrcnccs ! tyouarc worrcd about mssng
out on dcsrabIc cxprcnccs , wc can supposc that busncss cn-
tcrprscs havc rcscarchcd thoroughIy thc Ivcs otmanyothcrs . You
can pck and choosc trom thcr Iargc Ibrary or smorgasbord ot
such cxpcrcnccs, scIcctngyourItc` scxpcrcnccs tor, say, thc ncxt
two ycars. Attcr two ycars havc passcd, you wII havc tcn mnutcs
or tcn hours out otthc tank, to scIcct thc cxpcrcnccs otyour next
Moral Lonstratnts md thc 5tatc
43
two ycars. Ct coursc, whIc n thc tank you won`t know that
you`rc thcrc, you`II thnk t` s aII actuaIIy happcnng. Cthcrs can
aIso pIug n to havc thc cxpcrcnccs thcy want, so thcrc`s no nccd
to stay unpIuggcd to scrvc thcm. (gnorc probIcms such as who
wII scrvcc thc machncs tcvcryonc pIugs n. ) ouId you pIug
n!batelse tanmtterte us, etbertbanbmeurlivo/el/remtmin-
side Por shouId you rctran bccausc ot thc tcw momcnts ot
dstrcss bctwccn thc momcnt you`vc dccdcd and thc momcnt
you`rc pIuggcd. hat`s a tcw momcnts otdstrcss comparcd to a
Itctmc ot bIss (t that` s what you choosc), and why tccI any
dstrcss at aII tyour dccsonis thc bcst onc!
hat docs mattcr to us n addton to our cxprcnccs! rst,
wc want to de ccrtan thngs , and not ust havc thc cxprcncc ot
dong thcm. n thc casc ot ccrtan cxprcnccs, t s onIy bccausc
hrst wc want to do thc actons that wc want thc cxprcnccs ot
dong thcm or thnkngwc`vcdonc thcm. (butw do wc want to
do thc actvtcs rathcr than mcrcIy to cxprcncc thcm!)A sccond
rcason tor not pIuggng n s that wc want tole a ccrtan way, to
bc a ccrtan sort otpcrson. Somconc hoatng n a tank s an ndc-
tcrmnatc bIob. Jhcrc s noanswcr to thc qucston otwhat a pr-
son s Ikc who has Iong bccn n thc tank. s hc couragcous, knd,
ntcIIgcnt, wtty, Iovng! t`s not mcrcIy that t` s dthcuIt to tcII,
thcrc`s no way hc s. PIuggng nto thc machnc s a knd ot
sucdc. t wII sccm to somc, trappd by a pcturc, that nothng
about what wcarc Ikc can mattcrcxccpt as tgcts rchcctcd nour
cxpcrcnccs . but shouId t bc surprsng that whatweare s mpor-
tant to us! hy shouId wc bc conccrncd onIy wth how our tmc
s hIIcd, but not wth what wc arc!
JhrdIy, pIuggng nto an cxpcrcncc machnc Imts us to a
man-madc rcaIty, to a worId no dccpcr or morc mportant than
that whch pcopIc can construct.` Jhcrc s noattual contact wth
any dccpcr rcaIty, though thc cxpcrcncc ot t can bc smuIatcd.
Manypcrsons dcsrc to Icavc thcmscIvcs opcn to such contact and
to a pIumbng otdccpcr sgnhcancc. Jhs cIarhcs thc ntcnsty
. Traditional religious views differ on the eint of contact with a transcen
dent reality. Some say that COntct yields eternal bliss or Nirvana, but they have
not distinguishd this suficiently from merely a u long run on the experience
machine. Others think it is intrinsically desirable to do the will of a higher
44
State-oj-Nature Thoy
ot thc conhct ovcr psychoactvc drugs , whch somc vcw as mcrc
IocaI cxpcrcncc machncs, and othcrs vcw as avcnucs to a dccpcr
rcaIty, what somc vcw as cquvaIcnt to surrcndcr to thc cxpcr-
cncc machnc, othcrs vcw as toIIowng onc ot thc rcasons net to
surrcndcr!
c Icn that somcthng mattcrs to us naddton to cxprcncc
by magnng an cxprcncc machnc and thcn rcaIzng that wc
wouId not usc t. c can contnuc to magnc a scqucncc ot
machncs cach dcsgncd to hII Iacks suggcstcd tor thc carIcr ma-
chncs . or cxampIc, sncc thc cxpcrcncc machnc docsn` t mcct
our dcsrc to le a ccrtan way, magnc a transtormaton machnc
whchtranstorms us nto whatcvcr sort otpcrson wc`d Ikc to bc
(compatbIc wth our stayng us). SurcIy onc wouId not usc thc
transtormaton machnc to bccomc as onc wouId wsh, and thcrc-
upon pIug nto thc cxpcrcncc machnc! So somcthng mattcrs n
addton to onc`s cxprcnccs and what onc s Ikc. Por s thc
rcason mcrcIy that onc`s cxpcrcnccs arc unconncctcd wth what
onc s Ikc. or thc cxprcncc machnc mght bc Imtcd to pro-
vdc onIy cxpcrcnccs possbIc to thc sort otpcrson pIuggcd n. s
tthatwcwanttomakc adhcrcnccnthc worId! Lonsdcrthcn thc
rcsuIt machnc, whchproduccs n thcworId any rcsuIt you wouId
producc and njccts your vcctor nput nto any jont actvty. c
shaII not pursuc hcrc thc tascnatng dctaIs ot thcsc or othcr
machncs . hat s most dsturbng about thcm s thcr Ivng ot
our Ivcs tor us. s t msgudcd to scarch torartitular addtonaI
bng whch crcatcd us all, though prcsumably no onc would thnk ths Iwc
dscovcrcd wchadbccn crcatcd asan obcctoIamuscmcnt bysomcsuprpowcr-
ml chld Irom anothcr galaxy or dmcnson. 5tll othcrs magnc an cvcntual
mcrgng wth a hghcr rcalty, lcavng unclcar ts dcsrablty, or whcrc that
mcrgng lcavcsu1.
" bmc wouldn`t usc thc transIormaton machnc at all, t sccms lkc cbmt-
ing. but thc onc-tmc usc oI thc transIormaton machnc would not rcmovc all
challcngcs, thcrc would stll bcobstaclcsIor thc ncw us to ovcrcomc, ancw pla-
tcau Irom whch to strvc cvcn hghcr. And s ths platcau any thc lcss carncd or
dcscrvcd than that provdcd by gcnctc cndowmcnt and carly chldhood cn-
vronmcnt! but Ithc transIormaton machnc could b uscd ndchntcly oItcn,
so that wccould accomplsh anythng by pushng a button to transIorm our-
sclvcs nto somconc who could do t cly, thcrc would rcman no lmts wc
need to stran aganst or try to transccnd. ould thcrc bc anythng lch te de'
Lo somc thcologcal vcws placc Lod outsdc oI tmc bccausc an omnsccnt
omnpotcntbcng couldn't hll up hs days!
Moral Lonstratnts and thc btatc
45
hnctons bcyond thc compctcncc otmachncs to do tor us! Pcr-
haps what wc dcsrc s to Ivc (an actvc vcrb) ourscIvcs, n contact
wth rcaIty. (And ths , machncs cannot do /er us. ) thout
cIaboratng on thc mpIcatons ot ths , whch bcIcvc conncct
surprsngIy wth ssucs about trcc wII and causaI accounts ot
knowIcdgc, wc nccd mcrcIy notc thc ntrcacy otthc qucston ot
what mattcrs/reeh othcr thcn thcr cxprcnccs. LntIonc hnds
a satstactory answcr, and dctcrmncs that thsanswcr docs notalse
appIy to anmaIs , onc cannot rcasonabIy cIam that onIy thc tcIt
cxpcrcnccs otanmaIs Imt what wc may do to thcm.
UNDE RDE TE RMI NATI ON OF MORAL THE ORY
hat about pcrsons dstngushcs thcm trom anmaIs, so that
strngcnt constrants appIy to how pcrsons may bc trcatcd, yct not
to how anmaIs may bc trcatcd! ' ' LouId bcngs trom anothcr
gaIaxy stand tous as t s usuaIIy thought wc do to anmaIs , and t
so, wouId thcy bc j usthcd n trcatng us as mcans a Ia utItar-
ansm! Arc organsms arrangcd on somc asccndng scaIc, so that
any may bc sacrhccd or causcd to suttcr to achcvc a grcatcr totaI
bcncht tor thosc not Iowcron thc scaIc! Such an cItst hcrarch-
caI vcw wouId dstngush thrcc moraI statuscs (tormng an ntcr-
vaI partton ot thc scaIc).
Status . Jhc bctng may not bc sacrthccd, harmcd, and so on, tor any
othcr organtsm`s sakc.
Status Z. Jhc bctng may bc sacrthccd, harmcd, and so on, onIy tor thc
sakc ot bctngs htghcr on thc scaIc, but not tor thc sakc ot bctngs at thc
samc IcvcI.
c pass ovcr thc dIhcultcs abut dccdngubere on thc scalc to placc an
organsm, and about partcular ntcrspccs comprsons. Mow s t to bc dc-
cdcd whcrc on thc scalc a spccs gocs! s an organsm, I dcIcctvc, to bc
placcd at ts spcccs lcvcl! s t an anomaly that t mght bc mpcrmssblc to
trcat two currcntly dcntcal organsms smlarly (thcy mght cvcn bc dcntcal
n Iuturc and past capactcs as wcll), bccausc onc s a normal mcmbcr oI onc
spcccs and thc othcr s a subnormal mcmbcr oI a spccs hghcr on thc scalc!
And thc problcms oI ntraspccs ntcrpcrsonal comparsons palc bcIorc thosc oI
ntcrspccs comparsons.
State-a-Nature Theoy
Status 3: Jhc bctng may bc sacrtbccd, harmcd, and b on, kr thc sakc
ot othcr bctngs at thc samc or htghcr IcvcIs on thc scaIc.
lanmaIs occupy status 3 and wc occupy status I , what occupcs
status z ! Pcrhapswe occupy status z ! s tmoraIIy lorbddcn to usc
popIc as mcans lor thc bcncht olothcrs, or s t onIy lorbddcn to
usc thcm lor thc sakc olothcreele, that s , lor bcngs at thcsamc
IcvcI! " Oo ordnary vcws ncIudc thc possbIty ol morc than
onc sgnhcant moraI dvdc (Ikc that bctwccn pcrsons and an-
maIs), and migbt ene teme en tbe etber sid e/ buman leings Somc
thcoIogcaI vcws hoId that Lod s prmttcdto sacrhcc popIc lor
hs own purposcs. c aIso mght magnc pcopIc cncountcrng
bcngs lrom anothcr pIanct who travcrsc n thcr chIdhood what-
cvcr stagcs` ol moraI dcvcIopmcnt our dcvcIopmcntaI psychoIo-
gsts can dcntly. Jhcsc bcngs cIam that thcy aII contnuc on
through lourtccn lurthcr scqucntaI stagcs, cach bcng ncccssary to
cntcr thc ncxt onc. Mowcvcr, thcy cannot cxpIan to us (prmtvc
as wc arc) thc contcnt and modcs olrconng olthcsc Iatcr stagcs .
Jhcsc bcngs cIam that wc may bc sacrhccd lor thcr wcII-bcng,
or at Icast n ordcr to prcscrvc thcr hghcr capactcs. Jhcy say
that thcy scc thc truth olths now that thcyarc n thcr moraI ma-
turty, though thcy ddn`t as chIdrcn at what s our hghcst IcvcI
olmoraI dcvcIopmcnt. (Astory Ikc ths, pcrhaps, rcmnds us that
a scqucncc ol dcvcIopmcntaI stagcs, cach a prccondton lor thc
ncxt, may altcr somc pont dctcroratc rathcr than progrcss. t
wouId bc no rccommcndaton olscnIty to pont out that n ordcr
to rcach t onc must havc pscd hrst through othcr stagcs. ) Oo
" bomcwouldsaythathcrc wc havc a tclcologcal vcwgvnghumanbcngs
nhntc worth rclatvc to othcr human bcngs. but a tclcologcal thcory that
mmzcs total valuc wll not prohbt thc sacrhcc oIsomc poplc Ior thc sakc
oI othcr pcoplc. bacrhcng somc Ior othcrs wouldn`t producc a nct gan, but
thcrc wouldn`t bc a nct loss cthcr. bncc a tclcologcal thcory that gvcs cach
pcrson`s lIc cqual wcght cxcludcs only alowcrng oItotal valuc (to rcqurc that
cach act producc again n total valuc would cxcludc ncutral acts), tueu/d a/|eu
thc sacrhcc oI onc pcrson Ior anothcr. thout gmmcky dcvccs smlar to
thosc mcntoncd carlcr, Ior cxamplc, usng ndcxcal cxprcssons n thc nh-
ntcly wcghtcd goals, orgvngsomcgoals (rcprcscntng thcconstrants) an n-
hntcwcghtoIa bigbo ordcr oInhnty than othcrs (cvcn ths won`t qutc do,
and thc dctals arc vcrymcssy), vcws cmbodyng a status 2 do not sccm to bc
rcprcscntablc d tclcologcal. hs llustratcs our carlcr rcmark that tclcolog-
cal` and sdc constrant` do not cxhaust thc possblc structurcs Ior a moral
vcw.
NOral LOnstrants and thc btatc
47
our moraI vcws pcrmt our sacrhcc lor thc sakc ol thcsc bcngs`
hghcrcapactcs , ncIudng thcr moraI oncs! Jhs dccson s not
casIy dscntangIcd lrom thc cpstcmoIogcaIcllccts olcontcmpIat-
ng thc cxstcncc ol such moraI authortcs who dllcr lrom us,
whIcwc admt that, bcng laIIbIc, wc maybc wrong. (A smIar
cllcct wouId obtan cvcn lwc happcncd not to know whch vcw
olthc mattcr thcsc othcr bcngs actuaIIy hcId. )
bcngs who occupy thc ntcrmcdatc status z wII bc sacr-
hccabIc, butnetlorthcsakc olbcngsat thcsamcorIowcrIcvcIs. l
thcy ncvcr cncountcr or know olor allcct bcngs hghcr n thc h-
crarchy, thcn tbe wII occupy thc hghcst IcvcI lor cvcry stuaton
thcy actuaIIy cncountcr and dcIbcratc ovcr. t wII bc as l an
alselute sdc constrant prohbts thcr bcng sacrhccd lor any pur-
posc. Jwo vcry dllcrcnt moraI thcorcs, thc cItst hcrarchcaI
thcory pIacng pcopIc n status z and thc absoIutc-sdc-constrant
thcory, ycId cxactIy thc samc moraI udgmcnts lor thc stuatons
pcopIc actuaIIy havc laccd and account cquaIIy wcII lor (aImost) aII
olthc moraI udgmcnts wc havc madc. (AImost aII, ` bccausc wc
makc udgmcnts about hypothctcaI stuatons , and thcsc may
ncIudc somc nvoIvng supcrbcngs` lrom anothcr pIanct. ) Jhs
s not thc phIosophcr`s vson oltwo aItcrnatvc thcorcs account-
ng cquaIIy wcII lor aII ol thcessille data. Por s t mcrcIy thc
cIam that by varous gmmcks a sdc-constrant vcw can bc put
nto thc lorm ol a maxmzng vcw. Kathcr, thc two aItcrnatvc
thcorcs account lor aII olthc actuaI data, thc data about cascs wc
havc cncountcrcd hcrctolorc, yct thcy dvcrgc sgnhcantIy lor ccr-
tan othcr hypothctcaI stuatons.
t wouId not bc surprsng l wc lound t dlhcuIt to dccdc
whch thcory to bcIcvc. or wc havc not bccn obIgcd to thnk
about thcsc stuatons, thcy arc not thc stuatons that shapcd our
vcws . Yct thc ssucs do not conccrn mcrcIy whcthcr supcror
bcngs may sacrhcc us lor thcr sakcs . Jhcy aIso conccrn what we
ought to do. or lthcrc arc othcr such bcngs, thc cItst hcrar-
chcaI vcw docs net coIIapsc nto thc 'Kantan` sdc-constrant
vcw, as lar aswe arc conccrncd. A pcrson may not sacrhcc onc ol
hs lcIIows lor hs own bcncht or that ol anothcr ol hs lcIIows,
butmay hc sacrhcc onc olhs lcIIows lor thc bcncht olthc hghcr
bngs! (c aIso wII bc ntcrcstcd n thc qucston olwhcthcr thc
hghcr bcngs may sacrhcc us lor thcr own bcncht. )
State-oj-Nature Theoy
WHAT ARE CONSTRAI NTS BAS ED UPON?
Such qucstons do not prcss upon us as practcaI probIcms (yct!),
but thcy lorcc ustoconsdcr lundamcntaI ssucs about thc lounda-
tons olour moraI vcws. hrst, s our moraI vcw a sdc-constrant
vcw, or a vcw ol a morc compIcatcd hcrarchcaI structurc, and
sccond, n vrtuc ol prccscIy what charactcrstcs ol pcrsons arc
thcrc moraI constrants on how thcy may trcat cach othcr or bc
trcatcd! c aIso want to undcrstandwb thcsc charactcrstcs con-
ncct wth thcsc constrants . (And, pcrhaps , wc want thcsc charac-
tcrstcs not to bc had by anmaIs, or not had by thcm n as hgh a
dcgrcc. ) t wouId appcar that a pcrson`s charactcrstcs , by vrtuc
ol whch othcrs arc constrancd n thcr trcatmcnt ol hm, must
thcmscIvcs bc vaIuabIc charactcrstcs. Mow cIsc arc wc to undcr-
stand why somcthng so vaIuabIc cmcrgcs lrom thcm! (Jhs natu-
raI assumpton s worth lurthcr scrutny. )
Jhc tradtonaI proposaIs lor thc mportant ndvduatng char-
actcrstc conncctcd wth moraI constrants arc thc loIIowng. scn-
tcnt and scIl-conscous, ratonaI (capabIc ol usng abstract con-
ccpts, not tcd to rcsponscs to mmcdatc stmuI), posscssng lrcc
wII , bcng a moraI agcnt capabIc olgudng ts bchavor by moraI
prncpIcs and capabIc ol cngagng n mutuaI Imtaton ol con-
duct, havng a souI. Lct us gnorc qucstons about how thcsc no-
tons arc prccscIy to bc undcrstood, and whcthcr thc charactcr-
stcs arc posscsscd, and posscsscd unqucIy, by man, and nstcad
scck thcr connccton wth moraI constrants on othcrs . Lca9ng
asdc thc Iast on thc Ist , cach olthcm sccms nsulhccnt to lorgc
thc rcqustc connccton. hy s thc lact that a bcng s vcry
smart or lorcsghtluI or has an . Q. abovc a ccrtan thrcshoId a
rcason to Imt spccaIIy how wc trcat t! ouId bcngs cvcn morc
ntcIIgcnt than wc havc thc rght not to Imt thcmscIvcs wth
rcgard to us! Cr, what s thc sgnhcancc olanypurportcd crucaI
thrcshoId! la bcng s capabIc olchoosng autonomousIy among
aItcrnatvcs, s thcrc somc rcason to let it do so! Arc autonomous
choccs ntrnscaIIy good! la bcng couId makc onIy oncc an au-
tonomous chocc, say bctwccn havors olcc crcam on a partcuIar
occason, and wouId lorgct mmcdatcIy ahcrwards , wouId thcrc
MoraI Lonstratnts and thc btatc
4
bc strong rcasons to aIIow t to choosc! Jhat a bcng can agrcc
wth othcrs to mutuaI ruIc-govcrncd Imtatons on conduct shows
that t tan obscrvc Imts . but t docs not show whch Imts
shouId bc obscrvcd toward t (no abstanng lrom murdcrng
t`!), or why any Imts shouId bc obscrvcd at aII .
An ntcrvcnng varabIc M s nccdcd lor whch thc Istcd trats
arc ndvduaIIy ncccssary, obas ontIy sulhccnt (at Icast wc
shouId bc abIc to scc what nccds to bc addcd to obtan M) , and
whch has a pcrspcuous and convncng connccton to moraI con-
strants on bchavor toward somconc wth M. AIso, n thc Ight ol
M, wc shouId bc n a poston to scc why othcrs havcconccntratcd
on thc trats olratonaIty, lrcc wII , and moraI agcncy. Jhs wII
bc cascr lthcsc trats arc not mcrcIy ncccssary condtons lor M
but aIso arc mportant componcnts olM or mportant mcans toM.
but havcn` twc bccn unlar ntrcatng ratonaIty, lrcc wII, and
moraI agcncy ndvduaIIy and scparatcIy! n conuncton, don`t
thcy add up to somcthng whosc sgnhcancc s cIcar. a bcng abIc
to lormuIatc Iong-tcrm pIans lor ts Ilc, abIc to consdcr and
dccdc on thc bass ol abstract prncpIcs or consdcratons t lor-
muIatcs to tscIland hcncc not mcrcIy thc pIaythng olmmcdatc
stmuI , a bcng that Imts ts own bchavor n accordancc wth
somc prncpIcs or pcturc t has olwhat an appropratc Ilc s lor
tscIl and othcrs, and so on. Mowcvcr, ths cxcccds thc thrcc
Istcd trats. c can dstngush thcorctcaIIy bctwccn Iong-tcrm
pIannng and an ovcraII conccpton ola Ilc that gudcs partcuIar
dccsons, and thc thrcc trats that arc thcr bass. or a bcng
couIdposscss thcsc thrcc trats and yct aIso havc buIt nto t somc
partcuIar barrcr that prcvcnts t lrom opratng n tcrms ol an
ovcraII conccpton ol ts Ilc and what t s to add up to. S Ict us
add, as an addtonaI lcaturc, thc abIty to rcyuIatc and gudc ts
Ilc n accordancc wth somc ovcraII conccpton t chooscs to ac-
ccpt . Such an ovcraII conccpton, and knowng how wc arc dong
n tcrms ol t, s mportant to thc knd olgoaIs wc lormuIatc lor
ourscIvcs and thc knd ol bcngs wc arc. Jhnk how dhcrcnt wc
wouId bc (and how dhcrcntIy t wouId bc Icgtmatc to trcat us) l
wc aII wcrc amncsacs , lorgcttng cach cvcnng wc sIcpt thc
happcnngs ol thc prcccdng day. Lvcn l by accdcnt somconc
wcrc to pck up cach day whcrc hc Iclt ollthc prcvous day, Ivng
5O State-oj-Nature Theoy
n accordancc wth a cohcrcnt conccpton an awarc ndvduaI
mght havc choscn, hc stII wouId not bc Icadng thc othcr`s sort
ol Ilc. Ms Ilc wouId paraIIcI thc othcr Ilc, but t wouId not bc
ntcgratcd n thc samc way.
hat s thc moraI mportancc olths addtonaI abIty to lorm
a pcturc olonc`s whoIc Ilc (or at Icast olsgnhcant chunks olt)
and to act n tcrms ol somc ovcraII conccpton ol thc Ilc onc
wshcs to Icad! hy not ntcrlcrc wth somconc cIsc`s shapng ol
hs own Ilc! (And what olthosc not actvcIy shapng thcr Ivcs,
but drhngwth thc lorccs thatpIay upon thcm!)Cnc mght notc
that anyonc mght comc up wth thc pattcrn ol Ilc you wouId
wsh to adopt. Sncc onc cannot prcdct n advancc that somconc
won` t, t s nyourscIl-ntcrcst to aIIow anothcr to pursuc hs con-
ccpton olhs Ilc as hc sccs t, you may Icarn (to cmuIatc or avod
or modly) lrom hs cxampIc. Jhs prudcntaI argumcnt sccms
nsulhccnt.
conccturc that thc answcr s conncctcd wth that cIusvc and
dlh cuIt noton. thc mcanng olIlc. A prson`s shapng hs Ilc n
accordanccwth somc ovcraII pIan s hs way olgvng mcanng to
hs Ilc, onIy a bcng wth thc capacty to soshapc hs Ilc can havc
or strvc lor mcannghI Ilc. but cvcn supposng that wc couId
cIaboratc and cIar| ths noton satslactorIy, wc wouId lacc many
dlhcuItqucstons . s thccapactyso toshapca Ilc tscIlthccapac-
ty to havc (or strvc lor!)a Ilc wthmcanng, or s somcthng cIsc
rcqurcd! (or cthcs, mght thc contcnt olthc attrbutc olhavng
a souI smpIy bc that thc bcng strvcs, or s capabIcolstrvng, to
gvc mcanng to ts Ilc!) hy arc thcrc constrants on how wc
may trcat bcngs shapng thcr Ivcs! Arc ccrtan modcs oltrcat-
mcnt ncompatbIc wth thcr havng mcannghI Ivcs! And cvcn
lso, why not dcstroy mcannghI Ivcs! Cr, why not rcpIacc 'hap-
pncss` wth 'mcannghIncss` wthn utItaran thcory, and max-
mzc thc totaI 'mcannghIncss` scorc olthcprsonsolthc worId!
Crdocsthcnotonolthc mcannghIncss ola Ilc cntcr nto cthcs
n a dllcrcnt lashon! Jhs noton, wc shouId notc, has thc rght
'lccI` as somcthng that mght hcIp to brdgc an 's-ought` gap,
t appropratcIy sccms to straddIc thc two. Suppsc, lor cxampIc,
that onc couId show that l a pcrson actcd n ccrtan ways hs
Ilc wouId bc mcanngIcss . ouId ths bc a hypothctcaI or
MoraI Lonstratnts and thc btatc
5 :
a catcgorcaI mpcratvc! ouId onc nccd to answcr thc hrthcr
qucston. but why shouIdn` t my Ilc bc mcanngIcss! Cr, sup-
posc that actng n a ccrtan way toward othcrs was tscIla way ol
grantng that onc`s own Ilc (and thosc vcry actons) was mcanng-
Icss. Mghtn`t ths, rcscmbIng a pragmatc contradcton, Icad at
Icast to a status z concIuson olsdc constrants n bchavor to aII
othcr human bcngs! hopc to grappIc wth thcsc and rcIatcd
ssucs on anothcr occason.
THE I NDI VI DUALI S T ANARCHI ST
c havc survcycd thc mportant ssucs undcrIyng thc vcw that
moraI sdc constrants Imt how pcopIc may bchavc to cach othcr,
and wc may rcturn now to thc prvatc protccton schcmc. A sys-
tcm ol prvatc protccton, cvcn whcn onc protcctvc agcncy s
domnant n a gcographcaI tcrrtory, appars to laII short ol a
statc. t apparcntIy docs not provdc protccton lor cvcryonc n ts
tcrrtory, as docs a statc, and t apparcntIy docs not psscss or
cIam thc sort ol monopoIy ovcr thc usc ol lorcc ncccssary to a
statc. n our carIcr tcrmnoIogy, t apparcntIy docs not consttutc
a mnmaI statc, and t apparcntIy docs not cvcn consttutc an uI-
tramnmaI statc.
Jhcscvcryways n whch thcdomnantprotcctvc agcncy or as-
socaton n a tcrrtory apparcntIy laIIs short ol bcng a statc pro-
vdc thc locus olthc ndvduaIst anarchst`scompIantagaimt thc
statc. or hc hoIds that whcn thc statc monopoIzcs thc usc ol
lorcc n a tcrrtory and punshcs othcrs who voIatc ts monopoIy,
and whcn thc statc provdcs protccton lor cvcryonc by lorcng
somc to purchasc protccton lor othcrs , t voIatcs moraI sdc con-
strants on how ndvduaIs may bc trcatcd. Mcncc, hc concIudcs,
thc statc tscIls ntrnscaIIy mmoraI . Jhcstatcgrants that undcr
somc crcumstanccs t s Icgtmatc to punsh pcrsons who voIatc
thc rghts olothcrs , lor t tscIldocs so. Mow thcn docs t arrogatc
to tscIl thc rght to lorbd prvatc cxacton ol ustcc by othcr
nonaggrcssvc ndvduaIs whosc rghts havc bccn voIatcd! bat
rght docs thc prvatc cxactcr ol ustcc voIatc that s not voIatcd
State-oj-Nature Theoy
aIso by thc statc whcn t punshcs! hcn a group olpcrsons con-
sttutc thcmscIvcs as thc statc and bcgn to punsh, and/erlid
etbers/remdeing likewise, s thcrc somc rght thcsc othcrs wouId v-
oIatc that thcy thcmscIvcs do not! by what rght, thcn, can thc
statc and ts olhcaIs cIam a unquc rght (a prvIcgc) wth rcgard
to lorcc and cnlorcc ths monopoIy! lthc prvatc cxactcr olustcc
voIatcs no onc`s rghts , thcn punshng hm lor hs actons (ac-
tons statc olhcaIs aIso pcrlorm) voIatcs hs rghts and hcncc vo-
Iatcs moraI sdc constrants. MonopoIzng thc usc ol lorcc thcn,
on ths vcw, s tscIl mmoraI , as s rcdstrbuton through thc
compuIsory tax apparatus olthcstatc. PcacchI ndvduaIs mnd-
ng thcr own busncss arc not voIatng thc rghts ol othcrs. t
docs not consttutc a voIaton olsomconc` s rghts to rclran lrom
purchasng somcthng lor hm (that you havc not cntcrcd spcch-
caIIy nto an obIgaton to buy). Mcncc, so thc argumcnt con-
tnucs, whcn thc statc thrcatcns somconc wth punshmcnt l hc
docs not contrbutc to thcprotccton olanothcr, t voIatcs (and ts
olhcaIs voIatc) hs rghts . n thrcatcnng hm wth somcthng
that wouId bc a voIaton olhs rghts ldonc by aprvatc ctzcn,
thcyvoIatc moraI constrants.
Jo gct to somcthng rccognzabIc as a statc wc must show ( I )
how an uItramnmaI statc arscs out ol thc systcm olprvatc pro-
tcctvc assocatons, and (z) how thc uItramnmaI statc s trans-
lormcd nto thc mnmaI statc, how t gvcs rsc to that 'rcdstr-
buton` lor thc gcncraI provson ol protcctvc scrvccs that
consttutcs tas thc mnmaI statc. Jo show that thc mnmaI statc
s moraIIy Icgtmatc, to show t s not mmoraI tscIl, wc must
show aIso that thcsc transtons n ( t ) and (z) mtb arc moraIIy Ic-
gtmatc. n thc rcst olPart olths work wc show how cach ol
thcsc transtons occurs and s moraIIy pcrmssbIc. c arguc that
thc hrst transton, lrom a systcm olprvatc protcctvc agcnccs to
an uItramnmaI statc, wII occur by an nvsbIc-hand proccss n a
moraIIy pcrmssbIc way thatvoIatcs no onc`srghts. SccondIy, wc
arguc that thc transton lrom an uItramnmaI statc to a mnmaI
statc moraIIy must occur. t wouId bc moraIIy mpcrmssbIc lor
pcrsons to mantan thc monopoIy n thc uItramnmaI statc wth-
out provdng protcctvc scrvccs lor aII , cvcn lths rcqurcs spc-
chc 'rcdstrbuton. ` Jhc opcrators ol thc uItramnmaI statc arc
moraIIy obIgatcd to producc thc mnmaI statc. Jhc rcmandcr ol
Moral Lonstratnts and thc btatc
5 3
Part , thcn, attcmpts to justly thc mnmaI statc. nPart , wc
arguc that no statc mere powcrluI or cxtcnsvc than thc mnmaI
statc s Icgtmatc or j usthabIc, hcncc that Part usthcs aII that
can bc usth cd. n Part , wc arguc that thc concIusonolPart
s not an unhappy onc, that n addton to bcng unqucIy rght,
thc mnmaI statc s not unnsprng.
CHAPTER
4
Prohibition, Compensation,
and Risk
I NDEPENDENTS AND THE DOMI NANT
PROTECTI VE AGE NCY
LLJ us supposcthat ntcrspcrscd among a Iargc groupotpcr-
sons who dcaI th onc protcctvc agcncy Ivcs somc mnuscuIc
group who do not. Jhcsc tcw ndcpcndcnts (pcrhaps cvcn onIy
onc) ontIy or ndvduaIIy cntorcc thcr own rghts aganst onc
a.d aII , ncIudng cIcnts otthc agcncy. Jhs stuatonmght havc
arscn tnatvc Amcrcans had not bccn torccd ottthcr Iand and t
somc had rchscd to athIatc wth thc surroundng soccty ot thc
scttIcrs. Lockc hcId that no onc may bc torccd to cntcr cvI soc-
cty, somcmayabstanand stay nthc Ibcrty otthc statcotnaturc,
cvcn tmost choosc to cntcr ( g). '
Mow mght thc protccttvc assocaton and ts mcmbcrs dcaI
wth thsr Jhcy mght try to soIatc thcmscIvcstrom thc ndcpn-
dcnts n thcr mdst by torbddng anyonc prmsson to cntcr
thcr propcrty who hadn`t agrccd to torgo cxcrcsng rghts otrc-
taIaton and punshmcnt. Jhc gcographcaI tcrrtory covcrcd by
thc protcctvc assocaton thcn mght rcscmbIc a sIcc ot Swss
54
rOhtOn, LOmpnsatOn, and Ksk
55
chccsc, wth ntcrnaI as wcII as cxtcrnaI boundarcs. but ths
wouId Icavc acutc probIcms ot rcIatons wth ndcpcndcnts who
had dcvccs cnabIng thcm to rctaIatc across thc boundarcs, or
who had hcIcoptcrs to travcI drcctIy to wrongdocrs wthout trcs-
pass upn anyonc cIsc`s Iand, and so on.
nstcad ot(or n addton to) attcmpts at gcographcaIIy soIat-
ng ndcpcndcnts, onc mght punsh thcm tor thcr mscntorcc-
mcnts ot thcr rghts otrctaIaton, punshmcnt, and cxacton ot
compnsaton. An ndcpcndcnt wouId b aIIowcd to procccd to cn-
torcc hs rghts as hc sccs thcm and as hc sccs thc tacts othsstua-
ton, ahcrwards thc mcmbcrs ot thc protcctvc assocaton wouId
chcck to scc whcthcr hc had actcd wrongIy or ovcractcd. tand
onIy thc had donc so, wouId thcy punsh hm or cxact compcnsa-
ton trom hm.
but thc vctm otthc ndcpcndcnt`swronghI and unjustrctaIa-
ton may b not onIy damagcd but scrousIy nj urcd and prhaps
hc possblty oI surroundng an ndvdual prcscnts a dIhculty Ior a
lbrtaran thcory that contcmplatcs prvatc owncrshp oIall roads and strccts,
wth no publc ways oI acccss. A pcrson mght trap anothcr by purchng thc
land around hm, lcavng no way to lcavc wthout trcsps. t won`t do to say
that an ndvdual shouldn't go to or bc naplaccwthout havng acqurcd Irom
adaccnt owncrs thc rght to ps through and cxt. Lvcn Iwc lcavc dc qucs-
tons about thc dcsrablty oIa systcm that allows somconc who h ncglcctcd
to purchc cxt rghts to bc trappcd n a snglc placc, though hc h donc no
punshablc wrong, by a malcous and wcalthy cncmy (prhaps thc prcsdcnt oI
thc corpraton that owns all thc local rcgular thoroughIarcs), thcrc rcmans thc
qucton oI 'cxt to whcrc!` hatcvcr provsons hc h madc, yonc can bc
surroundcd by cncmcs who cast thcr ncts wdcly cnough. hc adcquacy oI
lbrt thcory cannot dcpcnd upon tcchnologcal dcvccs bcng avalablc,
such hclcoptcrsablc to lhstraght upabvc thc hcghtoIprvatcarspacc n
ordcr to transprt hm away wthout trcspass. c handlc ths ssuc by thc
provso on transIcrs and cxchangcs n Lhaptcr 7.
t Lckngothcravcnucs oIrcdrcss, onc may trcspass on anothcr`s landto gct
what onc s duc Irom hm orto gvc hm what hc dcsrvcs, pmvdcd that hc rc-
mscs to Qy or to makchmsclIclyavalablc mrpunshmcnt. b dos not vo-
latcA`s propcrty rghts n hs wallct by touchng t, or by opnng ts scal IA
rcIusc to do so, n thc coursc oIcxtractng moncy A owcs hm yct rcmscs to
pay or transIcr ovcr, A must Qy what hc owcs, IA rcmscs to placc t n b`s
posscson, a mcans to mantanng hs rghts, b may do thngs hc othcrwsc
would not bc cnttlcd to do. hus thc qualty oIPorta`s rconng s strancd
n holdng that 5hylock s cnttlcd to takc cxactly onc pound oIhcsh but not to
shcd H dmp oIAntono`s bloo s thc qualry oIhcr mcrcy shc coopratcs
n rcqurng that to savc hs lIc 5hylock must convcrt to Lhrstanty and
dsposc oI hs proprty n a way hatcIul to hm.
State-oj-Nature Theoy
cvcn kIIcd. Must onc wat to act untI attcrwards! SurcIy thcrc
wouId bc somc probabIty ot thc ndcpcndcnt`s mscntorcng hs
rghts, whch s hgh cnough (though Icss than unty) to ustty
thc protcctvc assocaton n stoppng hm untI t dctcrmncs
whcthcr hs rghts ndccd wcrc voIatcd by ts cIcnt. ouIdn`t
ths bc a Icgtmatc way to dctcnd thcr cIcnts! on`t pcopIc
choosc to do busncss onIy wth agcnccs that ottcr thcr cIcnts
protccton, by announcngthcywII punsh anyoncwhopunshcsa
cIcnt wthout hrst usng somc partcuIar sort otproccdurc to cs-
tabIsh hs rght to do ths, ndcpcndcntIy otwhcthcr t turns out
that hc teuldhavc cstabIshcd ths rght! s t not wthn a pcrson`s
rghts to announcc that hc wII not aIIow hmscItto bc punshcd
wthout ts hrst bcng estallisbed that hc has wrongcd somconc!
May hc not appont a protcctvc assocaton as hs agcnt to makc
and carry out ths announccmcnt and to ovcrscc any proccss uscd
to try to cstabIsh hs guIt! (s anyonc known so to Iack thccapac-
ty to harm anothcr, that othcrs wouId cxcIudc hm trom thc scopc
ot ths announccmcnt!) but supposc an ndcpcndcnt, n thc pro-
ccss otcxactng punshmcnt, tcIIs thc protcctvc agcncy to gct out
oths way, on thc grounds that thc agcncy`s cIcnt dcscrvcs pun-
shmcnt, that hc (thc ndcpcndcnt) has a rght to punsh hm, that
hc s not voIatng anyonc`s rghts , and that t`s not hs tauIt tthc
protcctvc agcncy docsn` tknew ths. Must thc agcncy thcn abstan
trom ntcrvcnng! Cn thc samc grounds may thc ndcpcndcnt
dcmand that thc prson hmscIt rctran trom dctcndng hmscIt
aganst thc nh ctonotpunshmcnt! And tthc protcctvc agcncy
trcs to punsh an ndcpcndcnt who punshcd a cIcnt, ndcpcn-
dcntIy otwhcthcr thcr cIcntdid voIatc thc ndcpcndcnt`s rghts ,
sn` t thc ndcpcndcnt wthn hs rghts to dctcnd hmscItaganst
thc agcncy! Jo answcr thcsc qucstons and hcncc to dccdc how a
domnant protcctvc agcncy may act toward ndcpcndcnts, wc
must nvcstgatc thcmoraIstatus wthn astatcotnaturc otprocc-
duraI rghts and ot prohbtons upon rsky actvtcs, and aIso
what knowIcdgc s prcsumcd by prncpIcs abut thc cxcrcsc ot
rghts, ncIudngcspccaIIy rghts tocntorcc othcr rghts. Jo thcsc
ssucs , dmcuIt oncs tor thc naturaI-rghts tradton, wc now turn.
rohtbttton, Lompnsatton, and Ktsk
57
P ROHI BI TI ON AND COMPE NS ATI ON
A Inc (or hypcr-pIanc) crcumscrbcs an arca n moraI spacc
around an ndvduaI. Lockc hoIds that ths Inc s dctcrmncd by
an ndvduaI` s naturaI rghts, whch Imt thc acton ot othcrs .
Pon-Lockcans vcw othcr consdcratons as scttng thc poston
and contour otthc Inc. * nany casc thc toIIowng qucston arscs.
Are etbers /erlidden te er/ attiens tbat transgress tm leund er
entreatb uen tbe tirtumstriled area, er are tbe ermitted te eqerm
sutb attiensrevided tbat tbe tememate tbeeren wbese leundr bas
leen tressed LnravcIIng ths qucston wII occupy us tor much ot
ths chaptcr. Lct us say that a systcm torbds an acton to a pcrson
t t mposcs (s gcarcd to mposc) somc pcnaIty upon hm tor
dong thc act, n addton to cxactng compnsaton trom hm tor
thc act` svctms . Somcthng tuIIy compcnsatcs apcrson tora Ioss
tand onIy tt makcs hm no worsc ottthan hc othcrwsc wouId
havc bccn, tcompcnsatcs pcrsonX torpcrson Y`s actonA tX s
no worsc ott rcccvng t, Y havng donc A, than X wouId havc
bccn wthout rcccvng t tYhad not doncA. (n thc tcrmnoIogy
otcconomsts, somcthng compcnsatcsX tor Y's act trcccvng t
IcavcsX onat Icastas hgh anndttcrcncc curvc as hc wouId havc
bccn on, wthout t, had Y not so actcd. ) ' ShamcIcssIy, gnorc
gcncraI probIcms about thccountcrtactuaI as wcIIott(onas hghan
ndhcrcncc curvc) as X wouId havc bccn t Y's acton hadn`t oc-
currcd. ` aIso gnorcpartcuIardth cuItcs,torcxampIc, tX'spos-
ton was dctcroratng (or mprovng) at thc tmc, s thc bascInc
torcompcnsaton whcrc hc was hcadng orwhcrc hc was thcn! Arc
thngschangcdtX'spostonwouIdhavcworscncdanywaythc ncxt
day! but onc qucston must bc dscusscd. Oocs thc compcnsaton
to X tor Y` s actons takc nto accountX` sbcst rcsponsc to thcsc ac-
tons, or not! tX rcspondcd by rcarrangnghs othcractvtcs and
This sufficient condition for prohibiting or forbidding an action is not a
necessary one. An action may be forbidden without there being any provision
for its victims to be fully or at all comensated. Our purposes here do not
require a general account of forbidding and prohibiting.
f ben is a erson to be indifferent between the two situations-the time at
which compensation is paid (which would encourage boundary crossing, since
time heals wounds), or the time of the original ace?
State-oj-Nature Theoy
asscts to Imt hs Iosscs (or t hc madc pror provson to Imt
thcm), shouId ths bcncht Y by Icsscnng thc compcnsaton hc
must pay! AItcrnatvcIy, tX makcs no attcmpt to rcarrangc hs
actvtcs to copc wthwhatY hasdonc, must Y compcnsatcX tor
thc hII damagcX suttcrs! Such bchavor onX`s part may sccm r-
ratonaI , but tY s rcqurcd to compcnsatc X tor hs hII actuaI
Ioss n such cascs, thcn X wII not bc madc worsc ott by hs own
noncopng, nonadaptvc bchavor. tso rcqurcd, Y mght Iowcr
thc amount otcompcnsaton hc must pay by payngX to rcspond
adaptvcIy and so to Imt Iosscs. c shaII tcntatvcIy adopt an-
othcr vcw ot compcnsaton, onc whch prcsumcs rcasonabIc prc-
cautons and adjustng actvtcs by X. Jhcsc actvtcs wouId
pIacc X (gvcn Y`s acts) on a ccrtan ndhcrcncc curvc 1; Y s
rcqurcd to rascX abovc hs actuaI poston by an amount cquaI
to thc dttcrcncc bctwccn hs poston on 1 and hs orgnaI pos-
ton. Y compcnsatcs X tor how much worsc ott Y`s acton wouId
havc madc a rcasonabIy prudcntIy actng X. (Jhs compcnsaton
structurc uscs mcasurcmcnt otutIty on an ntcrvaI scaIc. )
WHY E VE R PROHI BI T?
A pcrson may choosc to do hmscIt, shaII supposc, thc thngs
that wouId mpngc across hs boundarcs whcn donc wthout hs
conscnt by anothcr. (Somc ot thcsc thngs may bc mpossbIc tor
hm to do to hmscIt. ) AIso, hc may gvc anothcr pcrmsson to do
thcsc thngs to hm (ncIudng thngs mpossbIc tor hm to do to
hmscIt). VoIuntary conscnt opcns thc bordcr torcrossngs. Lockc,
otcoursc, wouId hoId that thcrc arc thngs othcrs may not do to
you by your pcrmsson, namcIy, thosc thngs you havc no rght to
do to yourscIl. Lockc wouId hoId that your gvng your pcrms-
son cannot makc ( moraIIy pcrmssbIc tor anothcr to kII you,
bccausc youhavc norghttocommtsucdc. My nonpatcrnaIstc
poston hoIds that somconc may choosc (or pcrmt anothcr) to do
to hmscItantbing, unIcss hc has acqurcd an obIgaton to somc
thrd party not to do or aIIow t. Jhs shouId causc no dthcuIty
tor thc rcmandcr ot ths chaptcr. Lct thosc who dsagrcc magnc
roh ton, Lompnsaton, and Ksk
59
our dscusson to bc Imtcd to thosc actons about whch (thcy
admt) thc poston docs hoId, and wc can procccd aIong togcthcr,
havng tactorcd out that dvsvc and, tor mmcdatc purposcs , r-
rcIcvant ssuc.
Jwo contrastng qucstons dcImt ourprcscntconccrn.
. hy s any acton cvcr prohbtcd, rathcr than alIowcd, provdcd
ts vctms arc compnsatcd!
z . hy not prohbt aII crossngs ot thc moraI boundary that thc party
mpngcd upon dd not hrst conscnt to! hy cvcr prmt anyonc to
cross anothcr`s boundary wthout pror conscnt!
Cur hrst qucston s too broad. or a systcm aIIowng acts A
provdcd compnsaton s pad must prohbt at Icast thc ont act
otdongA and rctusng topaycompnsaton. Jo narrow thc ssuc,
Ict us supposc thcrc cxst casy mcans to coIIcct asscsscd compnsa-
ton. ' Compcnsaton s casIy coIIcctcd, oncc t s known who owcs
t. but thosc who cross anothcr`s protcctcd boundary somctmcs
cscapc wthout rcvcaIng thcr dcntty. McrcIy to rcqurc (upon
dctccton, apprchcnson, and dctcrmnaton otguIt)compcnsaton
ot thc vctm mght bc nsuthccnt to dctcr somconc trom an ac-
ton. hy wouIdn` t hc attcmpt contnuaIIy to gct away wth t, to
gan wthout payng compcnsaton! Jruc, t apprchcndcd and
j udgcd guIty, hc wouId bc rcqurcd to pay thc costs otdctcctng,
apprchcndng, and tryng hm, pcrhaps thcsc possbIc addtonaI
costs wouId bc suthccntIy grcat to dctcr hm. but thcy mght not
bc. So onc mght bc Icd to prohbt dong ccrtan acts wthout
payngcompnsaton, and to mpsc pcnaItcs upon thosc who rc-
tusc to pay compcnsaton or who taI to dcnt| thcmscIvcs as thc
crosscrs otccrtan boundarcs.
RETRI B UTI VE AND DETERRENCE THE ORI E S
OF P UNI S HME NT
A pcrson`s opton otcrossng a boundary s consttutcd by a( t -)
chancc otgan G trom thc act, whcrc s thc probabIty hc s
apprchcndcd, combncd wth thc probabIty ot payng varous
60 State-o-Nature Theoy
costs otthc act. Jhcsc costs arc hrst, thc compnsaton to thc vc-
tm ovcr and abovc rcturnng whatcvcr transtcrabIc thng may bc
Ich trom thc II-gottcngans, whch wc shaIIIabcIC. n addton,
sncc any nonrcmovabIc bcncht trom carryng out thc act (tor cx-
ampIc, pIcasurc ovcr tond mcmorcs) aIso wII bc cxactIy countcr-
baIanccdsoas to Icavc nonc ncr, wc may gnorct n what toIIows.
Cthcr costs arc thc psychoIogcaI , socaI , and cmotonaI costs ot
bcng apprchcndcd, pIaccd on traI , and soon (caII thcmD); and
thc hnancaI costs (caII thcm L) ot thc proccsscs ot apprchcnson
and traI whch hc must pay sncc thcy wcrc produccd by hs at-
tcmpt to cvadc payngcompcnsaton. Prospccts tor dctcrrcncc Iook
dm tthc cxpcctcd costs ot a boundary crossng arc Icss than ts
cxpctcd gan, that s, t^ (C+D +L) s Icss than ( t )^ G.
(PcvcrthcIcss , a prson may rctran trom a boundary crossng bc-
causc hc has somcthng bcttcr to do, an opton avaIabIc to hm
wth cvcn hghcr cxpcctcd utIty. ) t apprchcnson s mpcrtcct,
though ncxpcnsvc, addtonaI pcnaItcs may bc nccdcd to dctcr
crmcs. (Attcmpts to cvadc payng compcnsaton thcn wouId bc
madc prohbtcd acts. )
Such consdcratons posc dthcuItcs tor rctrbutvc thcorcs that
sct, on rctrbutvc grounds , an ulimit to thc pcnaIty that may
bc nhctcd upon a pcrson. Lct us supposc (on such thcorcs) that
R, thc rctrbuton dcscrvcd, cquaIsr ^H, whcrcH s a mcasurc ot
thc scrousncss ot thc harm ot thc act , and r (rangng bctwccn
O and t ncIusvc) ndcatcs thc pcrson`s dcgrcc ot rcsponsbIty
tor H. (c pass ovcr thc dcIcatc ssuc otwhcthcr H rcprcscnts
thc harm ntcndcd or thc harm donc or somc tuncton otboth ot
thcsc, orwhcthcrthsvarcswth thc typcotcasc. ) hcn othcrs
wII know that r= t , thcy wII bcIcvc that R=H. A prson
dccdng whcthcr to prtorm somc harmhI acton thcn taccs a
probabIty (t ) ot gan G, and a probabIty ot payng out
(C+D +L +R) . LsuaIIy (though not aIways) thc gan trom a
boundary crossng s cIosc to thc Ioss or harm t nhcts on thc
othcr party, R wII bc somcwhcrc n thc ncghborhood otG. but
c also pass ovcr whcthcr thcrctrbuton ncludcs a componcnt rcprcscnt-
ng thc ugc1 oI thc act t rcsponds to. hosc rctrbutvc thcorcs that hold
thcpunshmcnt somchow shouldmtcb thc crmcIaccadlcmma. cthcr punsh-
mcnt Ials to match thc wrongncss oIthc crmcandsodocsn't rctrbutc mlly, or
t matchcs thc wrongncss oIthc crmc and so s unusthcd.
rohtbttton, Lompnsatton, and Ktsk 61
whcn s smaII , orR s, ^ (C+D +L+R) may bc Icss than
( t -P) ^ G, ohcn Icavng no dctcrrcncc.
Kctrbutvc thcory sccms to aIIow taIurcs otdctcrrcncc. Octcr-
rcncc thcorsts (though thcy wouIdn` t choosc to) wouId bc n a
pston to gIoat at rctrbutvsts` squrmng ovcr ths, t thcy
thcmscIvcs posscsscd anothcr thcory. but 'thc pcnaIty tor acrmc
shouId bc thc mnmaI onc ncccssary to dctcr commsson ot t`
provdcsne gudancc untI wc`rc toIdbewmutb commsson ott s
to bc dctcrrcd. t aII commsson s to bc dctcrrcd, so that thc
crmc s cImnatcd, thc pnaIty wII bc sct unacccptabIy hgh. t
onIy onc nstancc ot thc crmc s to bc dctcrrcd, so that thcrc s
mcrcIy Icss ot thc crmc than thcrc wouId bc wth no pcnaIty at
aII , thc pcnaIty wII bc unacccptabIy Iow and wII Icad to aImost
zoe dctcrrcncc. hcrc n bctwccn s thc goaI and pnaIty to bc
sct ! Octcrrcncc thcorsts ot thc utItaran sort wouId suggcst
(somcthng Ikc) scttng thcpcnaItyPtora crmc at thc Icastpont
whcrcany pnaIty tor thc crmc grcatcr than P wouId Icadto morc
addtonaI unhappncss nhctcd n punshmcnt than wouId bc
savcd to thc (potcntaI) vctms otthc crmcs dctcrrcd by thc add-
tonaI ncrcmcnt n punshmcnt.
Jhs utItaran suggcston cquatcs thc unhappncss thc crm-
naI` s punshmcntcauscs hm wth thc unhappncss a crmc causcs
ts vctm. t gvcs thcsc two unhappncsscs thc samc wcght n
caIcuIatng a socaI optmum. So thc utItaran wouId rctusc to
rasc thc pcnaIty tor acrmc, cvcn though thc grcatcr pcnaIty(wcII
bcIow any rctrbutvc uppcr Imt) wouId dctcr morc crmcs , so
Iong as t ncrcascs thc unhappncss otthosc pcnaIzcd morc, cvcn
sIghtIy, than t dmnshcs thc unhappncss otthosc t savcs trom
bcng vctmzcd by thc crmc, and ot thosc t dctcrs and savcs
trom punshmcnt. (II thc utItaran at Icast aIways scIcct, bc-
twccn two amounts ot pnaIty that cquaIIy maxmzc thc totaI
happncss , thc opton that mnmzcs thc unhappncss ot thc vc-
Kccall thatC + D + E + R mcasurcs thc agcnt`slossas comparcd to hs n-
tal pston, not as comparcd to hspostonahcrganng Irom thc othcr party
by nhctng damagc upn hm. c gnorc hcrc thc qucston oI whcthcr thc
cost mpscd shouldn`t b C + D + zE + R, wth thc seond E dcscrvcd Ior at-
tcmptng to mpsc a cost oI Irutlcss scarch upn thc apparatus oI dctccton
and apprchcnson, orrathcr whcthcr thcR nC + D + E + R shouldn`t also con-
tan ths sccond E as a componcnt.
State-oj-Nature Thoy
tms!)Constructng countcrcxampIcs to ths bzarrc vcw s Ictt as
an cxcrcsc tor thc rcadcr. LtItaran dctcrrcncc 'thcory` couId
avod ths conscqucncc, t sccms , onIy by gvng Icsscr wcght to
thcpunshcd party`s unhappncss. CncwouId supposc that consd-
cratons ot dcscrt, whch dctcrrcncc thcorsts had thought avod-
abIc t not ncohcrcnt, wouId pIay a roIc hcrc, onc wouId suppsc
ths tonc wcrcn`t bcwIdcrcd at how to procccd, cvcn usng such
consdcratons, n assgnng thc propcr` wcght to dhcrcnt pr-
sons` (un)happncss. Jhc rctrbutvc thcorst, on thc othcr hand,
don't havc to say that a tcIon`s happncss s Icss mportant than
hs vctm`s. or thc rctrbutvst docs not vcw dctcrmnng thc
propcr punshmcnt as a task otwcghng and wcghtng and aIIo-
catng happncss at aII .
c can conncct thc rctrbutvc tramcwork wth somc ssucs
about scIt-dctcnsc. Accordng to thc rctrbutvc thcory, thc pun-
shmcnt dcscrvcd sr^H, whcrcH s thc amount otharm (donc
or ntcndcd) and r s thc pcrson`s dcgrcc ot rcspnsbIty tor
brngng aboutH. c shaII assumc that thc cxpctcd vaIuc otthc
harm to bc vstcd upn a vctm cquaIs H (whch taIs to hoId
onIy tthc pcrson`s ntcntons taI to ht hs obcctvc stuaton). A
ruIc ot proportonaIty thcn scts an uppcr Imt on thc dctcnsvc
harm whch may bc nhctcd n scIt-dctcnsc on thc docr otH. t
makcs thc uppr magntudc ot thc prmssbIc dctcnsvc harm
somc hncton]otH, whch varcs drcctIy wthH (thc grcatcrH
s , thc grcatcr s ](H) ), and such that ](H) H. (Cr at Icast, on
any vcw, ](H) H. ) Potcc that ths ruIc otproprtonaIty docs
not mcnton thc dcgrcc otrcsponsbIty r, t appIcs whcthcr or
not thc docr s rcsponsbIc tor thc harm hc wII causc. n ths rc-
spcct t dhcrs trom a ruIc ot proportonaIty whch makcs thc
uppcr Imt otscIt-dctcnsc a hncton ot r^H. Jhc Iattcr sort ot
c should notc thc ntcrcstng possblty that contcmporary govcrnmcnts
mght makc pnaltcs (n addton to compcnsaton) monctary, and usc thcm to
hnancc varous govcrnmcnt actvtc. Pcrhaps somc rcsourccs lch to spcnd
would bc ycldcd by thc rctrbutvc pnaltcs n addton to compnsaton, and
by thc cxtra pnaltcs nccdcd to dctcr bccausc oIlcssthanccrtan apprchcnson.
5ncc thc vctmsoIthccrmcs oI thosc poplc apprchcndcd arc mlly compn-
satcd, t s not clcar that thc rcmanng mnds (cspcally thosc ycldcd by
applcaton oIthcrctrbutvc thcory) must go toward compnsatng thc vctms
oI uncaught crmnals. Prcsumably a protcctvc socaton would usc such
mnds to rcducc thcprccoIts scrvccs.
rohtbttton, Lompnsatton, and Ktsk
ruIc ycIds our udgmcnt that, aII othcr thngs bcng cquaI , onc
may usc mre torcc n scIt-dctcnsc aganst somconc whosc r s
grcatcr than zcro. Jhc structurc wc prcscnt hcrc can ycId ths
as toIIows . Cnc may, n dccndng oncscIt, drawagainst thc pun-
shmcnt thc attackcr dcscrvcs (whch s r^ H). S thc uppr Im-
t otwhat onc may usc n scIt-dctcnsc aganst a docr otharm H
s](H)+ r^ H. hcn an amount A n addton to](H) s cx-
pndcd n scIt-dctcnsc, thc punshmcnt whch Iatcr may bc n-
hctcd s rcduccd by that amount and bccomcs f ^HA. hcn
r" o, ](H)+ r^ H rcduccs to](H). naIIy, thcrc wII bc somc
spcchcaton ot a ruIc ot ncccssty whch rcqurcs onc not to usc
morc n scIt-dctcnsc than s ncccssary to rcpcI thc attack. twhat
s ncccssary s morc than](H)+ r^H, thcrc wII bc a duty to
rctrcat.
DI VI DI NG THE BENEF I TS OF E XCHANGE
Lct us rcturn to thc hrst otour two qucstons. why not aIIow any
boundary crossng provdcd hII compnsaton s pad! uII com-
pcnsaton kccps thc vctm on as hgh an ndhcrcncc curvc as hc
wouId occupy t thc othcr pcrson hadn`t crosscd. Jhcrctorc a sys-
tcmthataIIowsaIIboundary mpngcmcntsprovdcdthathIIcom-
pcnsaton n pad s cquvaIcnt to a systcm rcqurng that aII pror
agrccmcnts about thc rght to cross a bordcr bc rcachcd at that
pont on thc contract curvc most mvorabIc to thc luo ot thc
rght. tyou wouId bc wIIng to pay as much as $n tor thc rght
to do somcthng to mc, and $m s thc Icast wouIdacccpt(rcccv-
ng Icss than $m pIaccs mc on a Iowcr ndttcrcncc curvc), thcn
thcrc s thc possbIty ot our strkng a mutuaIIy advantagcous
bargan t n m. thn thc rangc bctwccn $n and $m, whcrc
An ntcrcstng dscusson oIthcsc dvcrs ssucs s contancd n Lcorgc P.
llctchcr, 'Proportonaltyand thc Psychotc Aggrcssor, `|:rm/ Lu Reeu, Vol .
8, NO. , }uly I g}, pp. 6}gO. Lcsptc llctchcr's clam that thcrc s no
way to saybetb that onc may usc dcadly Iorcc n sclI-dcIcnsc aganst a psychotc
aggrcssor(whosc r O)and that wc arc subcct to somc rulcoIproprtonalty,
bclcvc our structurc prcscntcd n thc tcxt yclds both thcsc rcsults and sats-
hcs thc dvcrsc condtons onc wants to mposc.
State-oj-Nature Theoy
shouId thc prcc bc sct! Cnc cannot say, Iackng any acccptabIc
thcory ota ust or tar prcc (wtncss thc varous attcmpts to con-
structarlitratin modcIs tor two-pcrson, nonconstant sum gamcs).
CcrtanIy, no rcason has cvcn bccn produccd to thnk that aII
cxchangcsshouId takcpIaccatthatpontonthccontractcurvconc
ot thc partcs most tavors, to makc thc bcnchts ot thc cxchangc
rcdound soIcIy to that party. AIIowng boundary crossng provdcd
onIy that hII compcnsaton s pad soIvcs` thc probIcm ot ds-
trbutng thcbcnchts otvoIuntary cxchangc nan untar and arb-
trary manncr.
Consdcrturthcr how such a systcm aIIocatcs goods. Anyonc can
sczc a good, thcrcby comng to own` t, provdcd hc compcn-
satcs ts owncr. tscvcraI pcopIc want a good, thc hrst to sczc t
gcts t, untI anothcr takcs t, payng hm hII compcnsaton.
(hy shouId tbis sort ot mddIcman rcccvc anythng!) " hat
amount wouId compcnsatc thc orgnaI owncr t scvcraI pcrsons
wantcd a partcuIar good! An owncr who kncw ot ths dcmand
mght wcII comc to vaIuc hs good by ts markct prcc, and so bc
pIaccd on a Iowcr ndttcrcncc curvc by rcccvng Icss. (hcrc
markcts cxst, sn`t thc markct prcc thc Icast prcc a scIIcr wouId
acccpt! ouId markcts cxst hcrc!) CompIcatcd combnatons ot
subunctvc condtonaIs and countcrtactuaIs mght prhaps suc-
cccdn dscntangIng an owncr`sprctcrcnccs trom hsknowIcdgcot
thc dcsrcs otothcrs and thcprccs thcyarc wIIng to pay. but no
onc yct has actuaIIy provdcd thc rcqustc combnatons.' A sys-
Lnc may b tcmptcd todclmtpartally thc arca whcrc Iull compnsaton
s prmssblc by dstngushng btwccn usng somcthng as a rcsourcc n a
productvc proccssand damagng somcthng as a sdc chcct n aproccss. Payng
only Iull compnsaton would bc vcwcd as prmssblc n thc lattcr casc, and
markct prccs as dcsrablc n thc Iormcr, bccausc oI thc ssuc oIdvdng thc
bnchts oIcconomc cxchangc. hs approach won`t do, Ior dumpng grounds
Ior chccts arc also prccablc and markctablc rcsourccs.
t A smlar pmblcm arscs wth cconomsts` usual cxplanaton oIcxchangc.
Larlcr vcws had hcld that thcrc must b cquaIty n somcthng or othcr b-
twccn goods that pcrsons arc wllng mutually to cxchangc. lor othcrwsc, t
was thought, oncparty would b thc loscr. n rcply cconomsts pntout that
mutually advantagcous cxchangc rcqurcs only oppscd prcIcrcnccs. Ionc pr-
son prcIcrs havng thc othcr'sgood to havng hs own, and smlarly thc othcr
prson prcIcrs havng thc hrst` sgoo to havng hs own, thcn an cxchangc may
bncht bth. Ncthcr wll losc, cvcn though thcrc s nothng n whch thcr
goods arc equa/. Lnc mght obcct that oppscd prcIcrcnccs arcn`t ncccssary
rOhbtOn, LOmpcnsatOn, and Ksk 65
tcm cannot avod thc chargc otuntarncss by Icttng thc compcnsa-
ton pad tor a bordcr crossng cquaI that prcc that wouId havc
bccn arrvcd at had a pror ncgotaton tor pcrmsson takcn pIacc.
(CaII ths compcnsaton markct compcnsaton. ` t wII usuaIIy bc
morc than mcrcIy tuII compcnsaton. ) Jhc bcst mcthod to dscovcr
ths prcc, ot coursc, s to Ict thc ncgotatons actuaIIy takc pIacc
and scc what thcr upshot s . Any othcr proccdurc wouId bc hghIy
naccuratc, as wcII as ncrcdbIy cumbcrsomc.
F EAR AND PROHI B I TI ON
Jhc turthcr consdcratons that mItatc aganst trccIy aIIowng aII
acts provdcd compcnsaton s pad, n addton to thosc conccrn-
ng thc tarncss otthc cxchangc prcc, arc n many ways thc most
ntcrcstng. l[ somc nurcs arc not compcnsabIc, thcy wouId not
(cvcn apart Irom qucstons aut whcthcr cxchangcs mght not takc placc bc-
twccn partcs ndIIcrcnt bctwccn two commodtcs, or mght not advan-
tagcously takc placc btwccn two prsons wth dcntcal prcIcrcnccs and dcn-
tcal ntal mxcd holdngs oI two goods whcn cach pcrson prcIcrs cthcr
unmxcd holdng to any mxcd onc and cach s ndIIcrcnt bctwccn thc two un-
mxcd holdngs). lorcxampIc, n thrcc-way bascbalI tradcs onc tcam may tradc
away a playcr Ior anothcr thcy prcIcr havng /ess than thc onc thcy tradc away,
n ordcr to tradc ths othcr playcr to yct anothcr tcam Ior a thrd playcr thcy
prcIcr havng morc than thc hrst. t mght bc rcplcd that sncc thc hrst tcam
knows that thc sccond playcr can bc tradcd Ior thc thrd, thcy de prcIcr havng
thc sccond (who s casly transIormablc nto thc thrd playcr, va cxchangc) to
havng thc hrst playcr. hus, thc rcpIy contnucs, thc tcam`s hrst cxchangc s
not Ior a lcss prcIcrrcd obcct, nor docs ths cxchangc movc thc tcam to a Iowcr
ndIIcrcncc curvc. hc gcncral prncplc wouId bc that anyonc who knows that
onc good s transIormablc nto anothcr (vacxchangc o: n any othcr way) prcI-
crcntally ranks thc hrst at lcast as hgh as thc sccond. (Lmttng cests oItrans-
Iormaton docs not aIIcct thc pont at ssuc. ) but ths prncplc, apparcntly ncc-
cssary to cxplan smpIc thrcc-way cxchangcs, conhcts wth thc carlcr
cxplanaton oIcxchangc n tcrms oIopposcd prcIcrcnccs. lor ths prncpIc has
thc conscqucncc that a prson docs net prcIcr havng anothcr` s good to havng
hs own. lor hs own can bc transIormcd nto thc othcr (va thc cxchangc to b
cxplancd), and so hc prcIcrcntally ranks t at lct as hgh as thc othcr.
hcvarous routcsout oIths dIhculty that suggcst thcmsclvcs andthat sur-
vvc cursory cxamnaton (rcmcmbcr that two dhcrcnt partcs cach can oIIcr a
commodty to somconc Ior hs) alI sccm to nvolvc complcatcd and nvolutcd
bundlcs oIsub unctvcs and countcrIactuals.
State-oj-Nature Theoy
taII undcr a poIcy ot bcng aIIowcd so Iong as compcnsaton s
pad. (Kathcr, thcy ueuld bc aIIowcd provdcd compcnsaton was
pad, but sncc thc compnsaton couId not bcpad by anyonc, n
cttcct thcywouId bc unaIIowcd. ) Lcavng that dthcuIt ssuc asdc,
cvcn somc acts that :an bc compcnsatcd tor may bc prohbtcd.
Among thosc acts that can bc compcnsatcd tor, somc arousc tcar.
c tcar thcsc acts happcnng tous , cvcn twcknow that wc shaII
bccompcnsatcd tuIIy tor thcm. X, Icarnng that YsIppcd n tront
ot somconc`s housc, brokc hs arm, and coIIcctcd $z , ooc attcr
sung tor compcnsaton tor nurcs, mght thnk, `Mow tortunatc
tor Y to havc that happcn, t`s worth brcakng onc`s arm n ordcr
to gct $z, ooo, that compIctcIy covcrs thc nury. ` but tsomconc
thcn camc up to X and sad, may brcak your arm n thc ncxt
month, and t do wII gvc you $z , ooo n compcnsaton,
though t dccdc not to brcak t won t gvc you anythng, `
wouIdX dwcII upon hs good tortunc! ouIdn`t hc nstcad waIk
around apprchcnsvc, umpng at noscs bchnd hm, ncrvous n
thc cxpcctaton that pan mght dcsccnd suddcnIy upon hm! A
systcm that aIIowcd assauIts to takc pIacc provdcd thc vctms
wcrc compcnsatcd attcrwards wouId Icad to apprchcnsvc pcopIc,
atrad otassauIt, suddcn attack, and harm. Oocs ths provdc a
rcason to prohbt assauIts! hy couIdn`t somconc who commts
assauIt compcnsatc hs vctm not mcrcIy tor thcassauIt and ts ct-
tccts , but aIso tor aII thc tcar thc vctm tcIt n awatng somc as-
sauIt or othcr! but undcr a gcncraI systcm whch pcrmts assauIt
provdcd compcnsaton s pad, a vctm`s tcar s not causcd by thc
partcuIar pcrson who assauItcd hm. hy thcn shouId ths -
sauItcr havc to compcnsatc hm tor t! Andube uih temen+ate all
tbe etber arebensive erens, ube didn't baen te get assaulted, /er
tbeir/ar
Somc thngs wc wouId tcar, cvcn knowng wc shaII bc compcn-
satcd tuIIy tor thcr happcnng or bcng donc to us. Jo avod such
gcncraI apprchcnson and tcar, thcsc acts arc prohbtcd anU madc
punshabIc. (Ctcoursc, prohbtng an act docs not guarantcc ts
noncommsson and so docs not cnsurc thatpcopIc wII tccI sccurc.
hcrc acts ot assauIt , though torbddcn, wcrc trcqucntIy and
unprcdctabIy donc, pcopIc stII wouId bc atrad. ) Pot cvcry knd
ot bordcr crossng crcatcs such tcar. t toId that my automobIc
may bc takcn durng thc ncxt month, and wII bc compnsatcd
mhuOn, Lompcnsatton, and Ktsk
hIIy attcrwards tor thc takng and tor any nconvcncncc bcng
wthout thc car causcs mc, do not spcnd thc month ncrvous,
apprchcnsvc, and tcartuI .
Jhs provdcs onc dmcnson ot a dstncton bctwccn prvatc
wrongs and wrongs havng a pubIc componcnt. Prvatc wrongs
arc thosc whcrc onIy thc n urcd party nccd bc compcnsatcd, pcr-
sons who know thcy wII bc compnsatcd tuIIy do not tcar thcm.
PubIc wrongs arc thosc pcopIc arc tcartuI ot, cvcn though thcy
know thcy wII bc compcnsatcd tuIIy t and whcn thc wrongs
occur. Lvcn undcr thc strongcst compcnsaton proposaI whch
compcnsatcs vctms tor thcr tcar, somc pcopIc (thc nonvctms)
wII not bc compcnsatcd tor tbeir tcar. Jhcrctorc thcrc s a Icgt-
matc pubIc ntcrcst n cImnatng thcsc bordcr-crossng acts ,
cspccaIIy bccausc thcr commsson rascs cvcryonc`s tcar ot ts
happcnng to thcm.
Can ths rcsuIt bc sdcstcppcd! or cxampIc, thcrc wouId not bc
ths ncrcasc n tcar tvctms wcrc compcnsatcd mmcdatcIy, and
aIso brbd to kccp sIcnt. Cthcrs wouIdn` t know thc act had bccn
donc, and so t wouIdn`t rcndcr thcm morc apprchcnsvc by Icad-
ng thcm to thnk that thc probabIty ot ts happcnng to thcm
was hghcr. Jhc dthcuIty s that thc knowIcdgc that onc s Ivng
undcrasystcmpcrmttng ths, tscItproduccs apprchcnson. How
can anyonc cstmatc thc statstcaI chanccs otsomcthng`s happcn-
ng to hm whcn aII rcports ot t arc squcIchcd! Jhus cvcn n ths
hghIy arthcaI casc t s not mcrcIy thc vctm who s nurcd by
ts happcnng na systcm that sknown to aIIow t to happcn. Jhc
wdcsprcad tcar makcs thc actuaI ocurrcncc and countcnancng ot
thcsc acts not mcrcIy a prvatc mattcr bctwccn thc nurcr and thc
n urcd party. (Mowcvcr, sncc vctms compnsatcd and brbcd
attcr thc tact wII not compIan, cntorcng thc prohbton on
thcsc crmcs whch Icavc satshcd vctms wII IIustratc thc prob-
Icms about cntorcng prohbtons on so-caIIcd crmcs wthout
vctms. )
Notc that not cvcry act that produccs lowcr utlty tor othcrs gcncrally
may b torbddcn, t must cross thc boundary otothcrs` rghts tor thc qucston
ot ts prohbton cvcn to arsc. Notc also that no such consdcmtons 0t tcar
apply to a systcm ot allowng any acts that havc thc pror conscnt otthc prson
whosc boundary s crosscd. Anyonc who worrcs that undcr such a systcm hc
toolshly mght conscnt to somcthng can cnsurc that hc won't, va voluntary
68 State-oj-Nature Theoy
A systcm whch aIIows tcar-producng acts provdcd thcr vc-
tmsarccompcnsatcd, wc havc sad, tscIthasacost n thc uncom-
pcnsatcd tor tcar otthoscpotcntaI vctms who arc not actuaI vc-
tms. ouId ths dctcct otthc systcm bc avodcd by somconc who
announccd hc wouId do a ccrtan act at wII, and not onIy wouId
hc compnsatc aII ot hs vctms , t any, but hc wouId aIso com-
pnsatc cvcryonc who tcIt tcar as a rcsuIt ot hs announccmcnt,
cvcn though hchadn`t actuaIIy donc thc act tothcm! Jhs wouId
bc so cxpnsvc as to bc bcyond thc mcans otaImost cvcryonc. but
wouIdn` t t sIp through our argumcnt tor prohbtng thosc
bordcr crossngs whosc aIIowancc (wth compnsaton) wouId pro-
ducc a gcncraI tcar tor whch thc popuIacc wouId not bc compn-
satcd! Pot casIy, tor two addtonaIrcasons. rst, pcrsons mght
havc trcc-hoatng anxctyaboutattack, not bccausc thcyhad hcard
somc partcuIar announccmcnt, but bccausc thcy know thc systcm
pcrmts thcsc attacks attcr announccmcnt, and so worry that thcy
havc nt hcard somc. Jhcy cannot bc compnsatcd tor any thcy
havc not hcard ot, and thcy wII not hIc tor compcnsaton tor thc
tcar thcsc causcd. Yct thcy may b thc vctms otsomconc whosc
announccmcnt thcy havcn`t hcard. Po partcuIar announccmcnt
causcd such tcar wthout a spcchc announccmcnt as ts obcct, so
who shouId compcnsatc tor t! Jhus our argumcnt s rcpatcd onc
IcvcI up, but tmust bc admttcd that at ths IcvcI thc tcarsma bc
so attcnuatcd and nsubstantaI as to bc nsuthccnt to ust
prohbtngsutb announccmcnts. SccondIy, n IncwthourcarIcr
dscusson ottarcxchangc prccs, onc mght rcqurc somconc who
makcs such an announccmcnt to makc not mcrcIy tuII but markct
compnsaton. uII compcnsaton s an amount suthccnt, but
barcIy so, to makc thcpcrson attcrwards sayhc`sgIad, not sorry, t
happcncd, and markct compnsaton s thc amount thatpror nc-
gotatons to gct hs conscnt wouId havc hxcd upon. Sncc tcar
Iooks vcry dhcrcnt n hndsght than t docs whIc bcng un-
dcrgonc or antcpatcd, n thcsc cascs t wII bc aImost mpossbIc
to dctcrmnc accuratcIy what s thc amount otmarkct compnsa-
ton, cxccpt by actuaIIy gong through thc ncgotatons .
Cur argumcnt tor prohbtng ccrtan actons, such as assauIts,
mcans (contracts, and so on), sccondly, othcrs cannot rcasonably bc rcstrctcd to
countcract a prson`s kar 0/himsej!
rOhtOn, LOmpcnsatOn, and Ksk
assumcs that mcrcIy to rcqurc an attackcr to compcnsatc hs vc-
tm tor thc cttccts ot thc attack (though not tor any gcncraI an-
tcpatory tcar) wouId not suthccntIy dctcr attacks so as to Icavc
popIc untcartuI. Jhc argumcnt trom tcar taIs t that assumpton
s mstakcn. (Jhcrc wouId rcman thc argumcnt about thc dvson
ot the bcnchts ot cxchangc. ) c mght wondcr whcthcr thc pun-
shmcnt dcscrvcd (accordng to rctrbutvc thcory) torvoIatng thc
prohbton on dong ccrtan acts mght smIarIy taI to provdc
suthccnt dctcrrcncc ot thc acts so as to cImnatc thc tcar and
apprchcnson. Jhs s unIkcIy tthc probabIty otcapturc s hgh,
andthcpunshmcnt tscIts a/earedaItcrnatvc, whchpunshmcnt
wouId not bc IIcgtmatc tor tcarcd wronghI acts. Lvcn tor pcr-
sons who bcncht much morc trom an act than ts vctms arc hurt
(and so, morc than thc punshmcnt nhctcd upon thcm), ths wII
causc no dthcuIty. KccaII that a rctrbutvc thcory hoIds that a
pcrson`s II-gottcn gans arc to bc rcmovcd or countcrbaIanccd, t
any rcman attcr hc has compcnsatcd hs vctms , apart trom thc
proccss ot punshmcnt.
Jhc actuaI phcnomcnon ot tcar ot ccrtan acts , cvcn by thosc
who know thcy wII rcccvc hII compcnsaton tthc acts arc donc
to thcm, shows why wc prohbt thcm. s our argumcnt too utI-
taran! ttcar sn`t produccd by a partcuIar pcrson, how docs t
ust| prohbtng hm trom dong an acton provdcd hc pays
compcnsaton! Cur argumcnt gocs aganst thc naturaI assumpton
that onIy thc cttccts and conscqucnccs otan acton arc rcIcvant to
dccdng whcthcr t may bc prohbtcd. t tocuscs aIso on thc ct-
tccts and conscqucnccs otts not bcng prohbtcd. Cncc statcd, t
s obvous that ths must bc donc, but t wouId bc worthwhIc to
nvcstgatc how tar-rcachng and sgnhcant arc thc mpIcatons
ot ths dvcrgcncc trom thc naturaI assumpton.
Jhcrc rcmans a puzzIc about wb tcar attachcs toccrtan acts .
Attcr aII , tyou know that you wII bc compcnsatcd hIIy tor thc
actuaI cttccts ot an act, so that you wII bc no worsc ott (n your
own vcw) as a rcsuIt ot ts havng bccn donc, thcn wbatis it tbat
u are a/raid ] You arc not atrad ot a drop to a Icss prctcrrcd
poston or a Iowcr ndttcrcncc curvc, tor (by hypothcss) you
know that ths won`t occur. car wII bc tcIt cvcn whcn thc totaI
antcpatcd packagc s postvc, as whcn somconc s toId that hs
arm may bc brokcn and that hc wII bc pad $oo morc than thc
State-oj-Nature Teoy
amount suthccnt to compcnsatc hIIy. Jhc probIcm s not onc ot
dctcrmnng how much wII compcnsatc tor thc tcar, but rathcr
why thcrc s any tcar at au, gvcn that thc totaI packagc antc-
patcd svcwcd asdcsrabIc on thc whoIc. Cnc mght supposc that
thc tcar cxsts bccausc thc pcrson s unsurc that onIy a brokcn arm
wII bc nhctcd upon hm, hc docs not know thcsc Imts wII bc
obscrvcd. but thc samc probIcm wouId arsc t t was guarantccd
that thc pcrson wouId bc compcnsatcd tor whatcvcr happcncd, or
tan arm-brcakng machnc was uscd n thc task, to cImnatc thc
qucston ot ovcrstcppng thc Imts. hat wouId a pcrson gvcn
such guarantccs tcar! c wouId Ikc to know what sort otharms
pcopIc actuaIIy arc atrad ot, cvcn whcn thcy arc part ot a totaI
packagc that s vcwcd as dcsrabIc on baIancc. car s not a gIobal
cmoton, t tocuscs upon parts otpackagcs, ndcpcndcntIy ot'on-
baIancc` udgmcnts abut thc whoIc. Cur prcscnt argumcnt tor
thc prohbton ot compcnsabIc bordcr crossngs rcsts on ths
nongIobaI charactcr ottcar, anxcty, apprchcnson, and thc Ikc.
' "
Ananswcr spccng thc typcs otharms mght comc ntcrms ot
ordnary notons such as physcaI pan, ` or n tcrms ot thc no-
tons otsomcpsychoIogcaI thcory suchas uncondtoncd avcrsvc
stmuI. ` (but onc shouId not Icap to thc concIuson that whcn t
s known that compcnsaton wII bc pad, onIy physcaI n ury or
pan s tcarcd and vcwcd wth apprchcnson. Ocsptc knowng
that thcy wII bc compnsatcd t t occurs , pcopIc aIso may tcar
bcng humIatcd, shamcd, dsgraccd, cmbarrasscd, and so on. )
SccondIy, wc shouId Ikc to know whcthcr such tcars arc duc to aI-
tcrabIc tcaturcs ot thc socaI cnvronmcnt. t pcopIc had bccn
rascd whcrc grcat numbcrs ot ccrtan acts wcrc randomIy and
unprcdctabIy prtormcd, wouId thcy cxhbt grcat apprchcnson
and tcar otthc rsk otthcsc acts , or wouId thcy bc abIc to toIcratc
thc rsks as part otthc normaI background! (t wouId bc dthcuIt
to dctcct or mcasurc thcr apprchcnson t t cxprcsscd tscIt n
hcghtcncd gcncraI tcnson. Mow docs onc mcasurc how umpy
popIc gcncraIIy arc!)tpcopIc growng up n such a morc strcss-
tuI cnvronmcnt couId dcvcIop a toIcrancc tor ccrtan acts, show-
ng tcw symptomsottcar and strcss, wc wouIdnot havc avcryde
cxpIanaton ot why ccrtan acts arc prohbtcd (rathcr than aI-
Iowcd provdcd compnsaton s pad). or thc tcar otthcsc acts,
rohtbtton, Lompnsatton, and Ktsk 7 I
whch our cxpIanaton rcsts upn, wouId not tscIt bc a dccp
phcnomcnon.
' '
WHY NOT ALWAYS PROHI B I T?
Jhc argumcnt trom gcncraI tcar usthcs prohbtng thosc bound-
ary-crossng acts that producc tcar cvcn whcn t s known that
thcy wII bc compcnsatcd tor. Cthcr consdcratons convcrgc to
ths rcsuIt. a systcm pcrmttng boundary crossng, provdcd com-
pcnsaton s pad, cmbodcs thc usc otpcrsons as mcans, knowng
thcyarc bcng so uscd, and that thcrpIans andcxpctatons arc I-
abIc to bcng thwartcd arbtrarIy, s a cost to popIc, somc nu-
rcs may not bc compcnsabIc, and tor thosc that arc compnsabIc,
how can an agcnt know that thc actuaI compnsaton paymcnt
won`t b bcyond hs mcans? (II onc bc abIc to nsurc aganst
ths contngcncy! ) Oo thcsc consdcratons, combncd wth thosc
about not untarIy dstrbutng thc bcnchts otvoIuntary cxchangc,
suthcc to ust prohbtng aII othcr boundary-crossng acts, n-
cIudng thosc that do not producc tcar! Cur dscusson otthc hrst
qucston wc poscd ncar thc bcgnnng ot ths chaptcr-'hy not
prmt aII boundary crossngs provdcd compnsaton s pad!`
has Icdus to thc sccondqucstonposcdthcrc-'hy notprohbt
aII boundary crossngs to whch thc vctm has not conscntcd n
advancc!`
Jhc pcnaIzaton otaII mpngcmcnts notconscntcd to, ncIud-
ng accdcntaI oncs and thosc donc unntcntonaIIy, wouId ncor-
poratc Iargc amounts ot rsk and nsccurty nto popIc` s lvcs.
PcopIc couIdn` t bc surc that dcsptc thc bcst ot ntcntons thcy
wouIdn`t cnd up bcng punshcd tor accdcntaI happnngs.
' Jo
many, t aIso sccms untar. Lct us put asdc thcsc ntcrcstng ssucs
and tocus upon thosc actons thc agcnt knms wII or mght wcII
mpngcacross somconc`s boundary. ShouIdn`t thosc who havc not
gottcn thcr vctms` pror conscnt (usuaIIy by purchasc) bc pun-
shcd! JhccompIcaton s that somc tactor may prcvcnt obtanng
ths pror conscnt or makc t mpossbIc to do so. (Somc tactor
othcr than thc vctm`s rctusng to agrcc. ) t mght bc known who
State-oj-Nature Theoy
thc vctm wII bc, and cxactIy what wII happcn to hm, but t
mght bc tcmporarIy mpossbIc to communcatc wth hm. Cr t
mght bc known that somc pcrson orothcr wII b thc vctmotan
act, but t mght bc mpossbIc to hnd out whch pcrson. n cach
ot thcsc cascs , no agrccmcnt ganng thc vctm`s pcrmsson to do
thc act can bc ncgotatcd n advancc. n somc othcr cascs t mght
bc vcry costIy, though not mpossbIc, to ncgotatc an agrccmcnt.
Jhc known vctm tan bc communcatcd wth, but onIy by hrst
pcrtormng a bran opcraton on hm, or hndng hm n an Atrcan
ungIc, or gcttng hm to cut short hs sx-month soourn n a
monastcry whcrc hc has takcn avow otsIcncc and abstncncc trom
busncss attars , and so on, aII vcry costIy. Cr, thc unknown vc-
tm can bc dcnthcd nadvancc onIy through avcrycostIy survcy
otthc whoIc popuIaton ot possbIc vctms.
Any bordcr-crossng act whch pcrmssbIy may bc donc pro-
vdcd compcnsaton s pad attcrwards wII bc onc to whch pror
conscnt s mpossbIc or vcry costIy to ncgotatc (whch ncIudcs,
gnorng somc compIcatons, accdcntaI acts, unntcntonaI acts,
actsdonc by mstakc, and so on). but not vcc vcrsa. hch oncs
thcn may bc donc wthout thc vctm`s pror conscnt provdcd
compnsaton s pad attcrwards ! Net thosc producng tcar n thc
way dcscrbd carIcr. Lan wc narrow t down hrthcr! hch
nontcarcd actvtcs whch do, or mght, cross a bordcr may pr-
mssbIy bcdonc provdcd compcnsaton s pad! twouId bc arb-
trary to makc a hard dstncton bctwccn ts bcng mpossbIc and
ts bcng vcry, vcry costIy to dcntty thc vctm or communcatc
wth hm. (Pot mcrcIy bcausc t s dthcuIt to know whch a
gvcn casc s. tthc task uscd thc Lntcd Statcs LPP, wouId t bc
mpossbIc` or cxtrcmcIy costIy!)Jhc ratonaIc tor drawng a Inc
at that partcuIar pIacc s uncIcar. Jhc rcason onc somctmcs
wouId wsh to aIIow boundary crossngs wth compnsaton (whcn
pror dcnthcaton ot thc vctm or communcaton wth hm s
imenille) s prcsumabIy thc grcat bcnchts ot thc act, t s worth-
whIc, ought to bc donc, and can pay ts way. but such rcasons
somctmcs wII hoId, as wcII , whcrc pror dcnthcaton and com-
An t rskng apossblc conscqucncc mght notproduccIcar, cvcn though
twould Iknown Iorccrtan to havc that conscqucncc, Ithc lcsscncd probabl-
ty dsspatcs thc Icar.
rOhbtOD, LOmpDsatOD, aDd Ksk 75
muncaton, though possbIc, arc morc costIy cvcn than thc grcat
bcnchts otthc act. Prohbtng such unconscntcd to acts wouId cn-
taI torgong thcr bcnchts , as n thc cascs whcrc ncgotaton s m-
possbIc. Jhc most cthccntpoIcy torgocs thc tcwcst nct bcnchcaI
acts, t aIIows anyonc to pcrtorm an untcarcd acton wthout pror
agrccmcnt, provdcd thc transacton costs ot rcachng a pror
agrccmcnt arc grcatcr, cvcn by a bt, than thc costs ot thc postc-
ror compcnsaton proccss. (Jhc party actcd upon s compcnsatcd
tor hs nvoIvcmcnt n thc proccss otcompcnsaton, as wcII as tor
thc act tscIt. ) but cthccncy consdcratons arc nsuthccnt to us-
t unpcnaIzcd boundary crossngs tor margnaI bcnchts , cvcn t
thc compcnsaton s morc than tuIIso that thc bcnchts otcxchangc
do not rcdound soIcIy to thc boundary crosscr. KccaII thc add-
tonaI consdcratons aganst pcrmttng boundary crossngs wth
compcnsaton mcntoncd carIcr (p. 7 I ). Jo say that such acts
shouId bc aIIowcd tand onIy t thcr bcnchts arc grcat cnough`
s otIttIc hcIp n thc abscncc otsomc socaI mcchansm to dccdc
ths. Jhc thrcc consdcratons ot tcar, dvson ot thc bcnchts ot
cxchangc, and transacton costs dcImt our arca, but bccausc wc
havc not yct tound a prccsc prncpIc nvoIvng thc Iast and thc
consdcratons mcntoncd carIcr (p. 7 I ), thcy do not yct trangu-
Iatc a soIuton n aII ts dctaI.
RI S K
c notcd carIcr that a rsky acton mght prcscnt too low aprob-
abIty ot harm to any gvcn pcrson to causc hm worry or tcar.
but hc mght tcar a Iargc numbcr ot such acts bcng pcrtormcd.
Lach ndvduaI act`s probabIty ot causng harm taIIs bcIow thc
thrcshoId ncccssary tor apprchcnson, but thc combncd totaIty ot
thc acts may prcscnt a sgnhcant probabIty otharm. tdhcrcnt
prsons docachotthc varous acts nthc totaIty, no onc pcrson s
rcsponsbIc tor thc rcsuItant tcar. Porcan any oncpcrson casIy bc
hcId to causc a dstngushabIc part ot thc tcar. Cnc acton aIonc
wouId not causc tcar at aII duc to thc thrcshoId, and onc acton
Icss wouId probabIy not dmnsh thc tcar. Cur carIcr consdcr-
atons about tcar provdc a casc tor thc prohbton otths tetalit
}
+ State-oj-Nature Theoy
otactvtcs. but sncc parts ot thc totaIty couId occur wthout II
conscqucncc, t wouId bc unncccssarIy strngcnt to ban cach and
cvcry componcnt act. '
Mow s ttobcdccdcd whch bcIow-thrcshoId subscts otsuch
totaItcs arc to bc pcrmttcd! Jo taxcach act wouId rcqurc a ccn-
traI or unhcd taxaton and dccson-makng apparatus. Jhc samc
couId bc sad tor socaI dctcrmnaton otwhch acts wcrc vaIuabIc
cnough to pcrmt, wth thc othcr acts torbddcn n ordcr to shrnk
thc totaIty to bcIow thc thrcshoId. or cxampIc, t mght bc
dccdcd thatmnng or runnng trans s suthccntIy vaIuabIc to bc
aIIowcd, cvcn though cach prcscnts rsks to thc passcrby no Icss
than compuIsory Kussan rouIcttc wth onc buIIct and n chambcrs
(wth n sct appropratcIy), whch s prohbtcd bccausc t s nsut-
hccntIy vaIuabIc. Jhcrc arc probIcms n a statc ot naturc whch
has no ccntraI or unhcd apparatus capabIc ot makng, or cnttIcd
to makc, thcsc dccsons. (c dscuss n Lhaptcr 5 whcthcr Mcr-
bcrt Mart`s so-caIIcd `prncpIc ot tarncss` ads hcrc. ) Jhc prob-
Icms couId Icsscn t thc ovcraII statcs (totaIty bcIow thc thrcsh-
oId, and so on) can b rcachcd by thc opcraton ot somc
nvsbIc-hand mcchansm. but thc prccsc mcchansm to ac-
compIsh ths has yct to bc dcscrbcd, and t wouId aIso havc to bc
shown how such a mcchansm wouId arsc n a statc ot naturc.
(Mcrc, as cIscwhcrc, wc wouId havc usc tor a thcory spcc|ng
what macrostatcs arc amcnabIc to producton by what sorts ot n-
vsbIc-hand mcchansms . )
Actons that rsk crossng anothcr`s boundary posc scrous prob-
Icms tor a naturaI-rghts pston. (Jhc dvcrsty ot cascs hrthcr
compIcatcs thc ssucs. t may bc known whch pcrsons wII un-
dcrgo a rskormcrcIythat t wII happn to somconc or othcr, thc
probabIty otthc harm may bc known cxactIy or wthn a sp-
hcd rangc, and so on. ) mposng how sIght a probabIty ot a
harm thatvoIatcs somconc`srghts aIso voIatcs hs rghts! nstcad
otonccutottprobabItytor aII harms , prhaps thccutottprobabI-
ty s Iowcr thc morc scvcrc thc harm. Mcrc onc mght havc thc
pcturc ot a spcchcd vaIuc, thc samc tor aII acts, to mark thc
boundary otrghts voIaton, an acton voIatcs somconc`s rghts t
ts cxpctcd harm to hm (that s , ts probabIty otharm to hm
muItpIcd by a mcasurc otthat harm) sgrcatcr than, or cquaI U,
rohtbttton, Lompnsatton, and Ktsk
75
thc spcchcd vaIuc. but what s thc magntudc ot thc spchcd
vaIuc! Jhc harm ot thc Icast sgnhcant act (ycIdng onIy that
harm tor ccrtan) that voIatcs a prson`s naturaI rghts! Jhs con-
struaI otthcprobIcmcannot bc utIzcd bya tradtonwhch hoIds
that stcaIng a pnny or a pn or anythng trom somconc voIatcs
hs rghts. Jhat tradton docs net scIcct a thrcshoId mcurc ot
harm as a Iowcr Imt, n thc casc otharms ccrtan to occur. t s
dthcuIt to magnc a prncpIcd way n whch thc naturaI-rghts
tradtoncan draw thc Incto m whch probabItcs mposc unac-
ccptabIy grcat rsks upon othcrs. Jhs mcans that t s dthcuIt to
scc how, n thcsc cascs, thc naturaI-rghts tradton draws thc
boundarcs t tocuscs upn.
tno naturaI-Iaw thcory has yct spchcd a prccsc Inc dcImt-
ng pcopIc` snaturaI rghtsnrskystuatons, what s to happcn n
thc statc otnaturc! th rcgard to any partcuIar acton that m-
poscs a rsk ota boundary crossng upon othcrs, wc havc thc toI-
Iowng thrcc possbItcs.
. Jhc actton ts prohtbttcd and puntshablc, cvcn tt compcnsatton ts patd
tor any boundary crosstng, or tt tt turns out to havc crosscd no
boundary.
z . Jhc actton ts pcrmtttcd provtdcd compcnsatton ts patd to thosc pcr-
sons whosc boundartcs actually arc crosscd.
Lnc mght plausbly arguc that bcgnnng wth probabltcs that may
vary contnuouslyand askng that somc lnc b drawn msconstrucs thcproblcm
and almost guarantccs that any pston oIthc lnc (othcr than L or i ) wll ap-
par arbtrary. An altcrnatvc pmccdurc would bgn wth consdcratons 'pr-
pndcular` to thosc abut pmbabltcs, thcorctcally dcvclopng thcm nto an
answcr to thc qucstons abut rsky actons. wo typs oIthcorcs could b dc-
vclopd. A thcory could spcq whcrc a Inc s to b drawn wthout ths ps-
ton`s sccmng arbtrary, bcausc though thc lnc comcs at aplacc whch s not
spcal along thc probablty dmcnson, t s dstngushcd along thc dhcrcnt
dmcnsons consdcrcd by thc thcory. Lr, a thcory could provdc crtcra Ior
dccdng abut thc rsky actons that do l nvolvc drawng a lnc along thc
probablty (or cxpctcd valuc or somc smlar) dmcnson, whcrcby all thc ac-
tons mllng on onc sdc oIthc lnc arc tnatcd n onc way and all thosc on thc
othcr sdc n anothcr. hc consdcratons oIthc thcory do not placc thc actons
n thc samc ordcr chcctcd by thc probablty dmcnson, nor docs thc thcory
prtton actons nto cquvalcncc classcs cocxtcnsvc wth somc ntcOal part-
ton oI thc unt lnc. hc consdcratons thc thcory adduccs mcrcly trcat thc
qucston dhcrcntly, and so havc thc conscqucncc that somc act s Iorbddcn
whlc anothcr wth ahighr cxpctcd valuc oIharm s prmttcd. LnIortunatcly,
no satsItory spchc altcrnatvc thcory oIcthcr typ has yct bcn produccd.
State-oj-Natue Thoy
3
. Jhc actton ts prmtttcd Qrovtdcd compnsatton ts Qatd to all thosc
prsons who undcrgo a rtsk ot a boundary crosstng, whcthcr or not
tt turns out that thctr boundary actually ts crosscd.
Lndcr thc thrd aItcrnatvc, popIc can choosc thc sccond, thcy
can pooI thcr paymcnts tor undcrgong rsk so as to compnsatc
mlIy thosc whosc boundarcsactualIy arc crosscd. Jhc thrd aItcr-
natvcwIIbcpIausbIc tmposng thc rsk on anothcrpIausbIy s
vcwcd as tscItcrossng a boundary, to bc compnsatcd tor, pr-
haps bccausc t s apprchcndcd and hcncc mposcs tcar on thc
othcr . (Pcrsons voIuntarIy ncurrng such rsks n thc markct arc
compcnsatcd` by rcccvng hghcr wagcs tor workng at rsky
obs, whcthcr or not thc rsk cvcntuatcs. )
LharIcs rcd has rcccntIy suggcstcd that popIc wouId bc wII-
ngtoagrcc toasystcm thataIIows thcmtomposc normaI` rsks
otdcath upn cach othcr, prctcrrng ths to a systcm that torbds
alI such mpsng ot rsk.' Po onc s cspccaIIy dsadvantagcd,
cach gans thc rght to pcrtorm rsky actvtcs upon othcrs n thc
pursut ot hs own cnds , n cxchangc tor grantng thc othcrs thc
rght to do thcsamc to hm. Jhcsc rsks othcrs mposc upon hm
arc rsks hc hmscItwouId bc wIIng to undcrgo nthcpursut ot
hs own cnds, thc samc s truc ot thc rsks hc mposcs on othcrs.
Mowcvcr, thc worId s so constructcd that n pursung thcr cnds
popIc ottcn must mpsc rsks upon othcrs that thcy cannot takc
drcctIy upn thcmscIvcs. A tradc naturaIIy suggcsts tscIt. Put-
tng rcd`sargumcnt n tcrmsotancxchangc suggcsts anothcr aI-
tcrnatvc. namcIy, cxpIct compcnsaton tor cach rsk ota bound-
ary crossng mpscd upon anothcr (thc thrd possbIty Istcd
abovc). Such a schcmc wouId dttcr trom rcd`s rsk pooI n thc
drccton otgrcatcr tarncss. Mowcvcr, thc proccss otactuaIIy car-
ryng out thc paymcnts and asccrtanng thc prccsc rsk mposcd
upon othcrs and thc appropratc compnsaton wouId sccm to n-
voIvc cnormous transacton costs. Somc cthccnccs casIy can bc
magncd (tor cxampIc, kccp ccntraI rccords tor aII , wth nct pay-
nstcad oI compnsatng thcm, can thc agcnt supply tranqulzcrs to all
thosc upn whom thc rsk s mpscd, so that thcy won`t Iccl vcry aIrad!
5hould thcy havc to tranqulzc thcmsclvcs, so that t`snotthcagcnt`s conccrn
at all tthcy ncglcct to do so and Icclkar! lor an llumnatng ntal tanglng
oIsuch ssucs scc Konald Loasc, 'hc Problcm oIScal Losts, `Jounal of Lu
and Economics, I g6O, pp. Iqq.
rohtbtOon, fompmaOon, and Ktsk 77
'
ii" mcnts madc cvcry n months), but n thc abscncc otsomc ncat n-
sttutonaI dcvcc t rcmans cnormousIy cumbcrsomc. bccausc
grcat transacton costs may makc thc tarcst aItcrnatvc mpract-
cabIc, onc may scarch tor othcr aItcrnatvcs, such as rcd`s rsk
pooI . JhcscaItcrnatvcs wII nvoIvc constant mnor untarncss and
cIasscs ot maor oncs. or cxampIc, chIdrcn who dc trom thc
cvcntuatngotthcrsks otdcath mposcd upon thcmrcccvcno ac-
tuaI bcncht comparabIc to that otthc rsk mposcrs. Jhs stuaton
s not sgnhcantIy aIIcvatcd by thc tacts that cvcry aduIt taccd
thcsc rsks as a chId and that cvcry chId who rcachcs aduIthood
wII bc abIc to mpsc thcsc rsks on yct othcr chIdrcn.
A systcm that compcnsatcs onIy thosc upon whom rsks cvcn-
tuatc (thc sccond possbIty Istcd abovc) wouId bc tar morc man-
agcabIc and wouId nvoIvc tar smaIIcr costs otopraton and trans-
acton than onc whch pays aII thosc upon whom thc rsk s
mposcd (thc thrd possbIty abovc). Ksks ot dcath prcscnt thc
hardcst ssucs . Mow can thc magntudc otthc harm bc cstmatcd!
tthc harm otdcath cannot actuaIIy bc compnsatcd tor, thc ncxt
bcst aItcrnatvc, cvcn apart trom any ssuc ot tcar, mght bc to
compcnsatc aII thosc upon whom ts rsk s mposcd. but though
postmortcm paymcnt to rcIatvcs or tavortc chartcs , upkccp ot
cIaboratc ccmctcry arrangcmcnts, and so torth, aII havc obvous
haws nsotar as thc dcccascd s conccrncd, an ndvduaI hmscIt
can bcncht trom a systcm otpostmortcm compcnsatory paymcnt to
thc cstatcs ot vctms . hIc aIvc, hc can scII thc rght to ths
paymcnt, shouId t havc to bc madc, to a company that purchascs
many such rghts. Jhc prcc wouId bc no grcatcr than thc rght`s
cxpcctcd monctary vaIuc (thc probabIty ot such paymcnt muI-
tpIcd bythc amount), howmuchIowcrthcprccwouId bc wouId
dcpcnd upon thc dcgrcc otcompctton n thc ndustry, thc ntcr-
cst ratc, and so on. Such a systcm wouId not compcnsatc hIIy any
actuaI vctm tor thc mcasurcd harm, and othcrs not actuaIIy
harmcd aIso wouId bcncht trom havng soId thcr coIIccton
rghts. but cach mght vcw t, exante, as a rcasonabIy satstac-
toryarrangcmcnt . (LarIcrwc dcscrbcd away otpooIng paymcnts
and transtormng thc thrd possbIty nto thc sccond, hcrc wc
havc a way ot transtormng thc sccond nto thc thrd. ) Jhs sys-
tcm aIso mght gvc an ndvduaI a hnancaI nccntvc to rasc
hs Itc`s monctary vaIuc as mcasurcd by thc compcnsaton
State-o-Nature Theoy
crtcra, to ncrcasc thc prcc tor whch hc couId scII thc rght to
compnsaton. '
THE PRI NCI PLE O F COMPE NSATI ON
Lvcn whcn prmttng an acton provdcd compnsaton s pad
(thc sccond or thrd possbItcs abovc) s prma tacc morc appro-
pratc tor a rsky acton than prohbtng t (thc brst possbIty
abovc), thc ssuc ot ts bcng prohbtcd or pcrmttcd to somconc
stII s notcompIctcIy scttIcd. orsomc prsons wII Iack suthccnt
mnds to paythc rcqurcd compcnsaton shouId thc nccd arsc, and
thcy wII not havc purchascd nsurancc to covcr thcr obIgatons
n that cvcntuaIty. Maythcscpcrsonsbctorbddcn to pcrtorm thc
actonr orbddng an acton to thosc not naposton to paycom-
pnsaton dhcrs trom torbddng tunIcss compcnsaton spad to
thosc actuaIIy harmcd (thc sccond possbItyabovc), nthat nthc
tormcr casc (but not n thc Iattcr) somconc who Iacks provsontor
payng compnsaton may bc punshcd tor hs acton cvcn though
t docs not actuaIIy harm anyonc or cross a boundary.
Oocs somconc voIatc anothcr` s rghts by pcrtormng an acton
wthout sutbccnt mcans or IabIty nsurancc to covcr ts rsksr
May hc bc torbddcn to do ths or punshcd tor dong tr Sncc an
cnormous numbcr ot actons do ncrcasc rsk to othcrs , a soccty
whchprohbtcd such uncovcrcd actonswouId II b tapcturcota
trcc soccty as onc cmbodyng a prcsumpton n tavor ot Ibcrty,
undcr whch popIc pcrmssbIy couId pcrtorm actons so Iong as
thcy ddn`t harm othcrs n spccbcd ways. Yct how can pcopIc bc
aIIowcd to mposc rsks on othcrs whom thcy arc not na poston
to compnsatc shouId thc nccd arscr Mhy shouId somc havc to
bcar thc costs ot othcrs` trccdomr Yct to prohbt rsky acts (bc-
causc thcy arc bnancaIIy uncovcrcd or bccausc thcy arc too rsky)
Imts ndvduaIs` trccdom to act, cvcn though thcactons actuaIIy
mght nvoIvc no cost at aII to anyonc cIsc. Anygvcn cpIcptc,
tor cxampIc, mght drvc throughout hs Itctmc wthout thcrcby
harmng anyonc. orbddng bim to drvc may not actuaIIy Icsscn
thc harm toothcrs, and toraIIanyoncknows, tdocsn` t. (t s truc
that wc cannot dcntq n advancc thc ndvduaI who wII turn
rohtbttton, Lompnsatton, md Ktsk 79
out harmIcss, but why shouId hc bcar thc mII burdcn otour n-
abItyr) Frohbtng somconc trom drvng n our automobIc-
dcpcndcnt soccty, n ordcr to rcducc tnc rsk to othcrs , scrousIy
dsvantagcs that prson. t costs moncy to rcmcdy thcsc dsad-
vantagcs-hrng achauhcur or usng taxs.
Consdcr thc cIam that a prson must bc compcnsatcd tor thc
dsadvantagcs mposcd upn hm by bcng torbddcn to prtorm
an actvty tor thcsc sorts otrcasons. Thosc who bcncht trom thc
rcducton nrsks to thcmscIvcshavcto makc tup to thosc who
arc rcstrctcd. So statcd, thc nct s bcn cast too broadIy. Must
rcaIIycompcnsatc somconc whcn, n scIt-dctcnsc, stop hm trom
pIayngKussanrouIcttcenme tsomcpcrson wshcs tousc avcry
rsky but ctbccnt (and tthngs gowcIIbarmlos)proccss n manu-
tacturng a product, must thc rcsdcnts ncar thc tactory compcn-
satc hm tor thc cconomc Ioss hcsuhcrs trom notbcng aIIowcd to
usc thc pssbIy dangcrous proccssr SurcIy not.
Pobas a/u werds sbeuld lesaidaleutellutien-be duming e/
negative eetts uen stbereele'sreert sutb as tbeir beuso, tletbing,
andlungs, anduenunewnmtbings wbitbeele lene/t/rem, sutbd a
dmnandlmuti/ulsk. lsballdistuss enl e_tts enreert. lt weuld
le undoiralle, and is net exduddl antbing l sa lelew, /ersemeene
te tbannelalle/bisellutien e_tts bigb aleveanene'sreert velume,
makingtbesk amurk gr-green. Netbingisgainedltingtetrans-
/erm tbe setend t e/ tase inte tbe/rst l saing, /er examle, tbat
semeene wbe tbanges tbe wa tbesk Iooks dums eetts en ene's es.
bat/llews intbis neteisintemlete intbatitds nettrmttbesetend
t e/ tase.
Sinte it weuldextlude tee mutbte/erlid aIIellutingattivitio, bew
migbtasetiet (setialist er taitalist)detidewbitbellutingattivities te
/erlidandwbitbteermit Prerumll, itsbeuldomittbeseelluting
attivities wbese lene/ts are mto tban tbeir tests, ncIudng wthn
thcr costs thcr poIIutng cttccts . Tbe mest/msille tbeeretital test e/
tbis net lenqt is wbetber tbe attivit couIda its wa, wbetbo tbese
wbe lenqt/rem it weuld le wi/ling te a eneugb te tevo tbe tests e/
temensatingtbeseilla_ttml it. (Tbesewbe/averan wertbattivit
tbat/ails tbis tert tan make tbaritalledenatienste it. )Fer examle, to-
tain medes e/airlaneseite imese neiseellutien en bemes surreunding
aiqerts. ln enewa eranetber (breugb lewerroale value, lewrrent el-
80 State-a/-Nature Theoy
tainalle/eraartments, andse en), tbe ecenemicvalue e/tmse bemo is
diminisbed. 0nl tbe lenqts te airassengos are grmto tban tbese
cests te aiqert neigblers sbeum tbe neisio mede e/transertatien soice
ge en. A seciet must bave semewa te dteine wbetbo tbe lenqts de
eutweigb tbe cests. Secendl, it must dcid bew tbe cests are te le a/le-
cated. ltcanlettbem/auwberetbebaente/au: inurexamle, en tbe
lecal bemeewners. 0rit can t te srmdtbe cest tbreugbeut tbe seoet.
0ritcanlaceitentbese wbe lenqt/em tbeactivit: inur examle,
airerts, ainino, andultimatel tbeairassengo. Tbelart, i//mille,
sems/airot. l/aeuuting activit is te le aueud te centinue n tbe
eund tbat its lenqts eutuigb its cests (in:!uding its euuting cests),
tben tbese wbe lenqt actuau sbeuld cemensate tbese uen wbem tbe
e/lutien cests are initiau tbrewn. Tbe cemensatien migbt encemass
aing/ertbe cests e/dcico te losen tbe initiale/lutiene_cts. ln ur
examle, airlines raiqertsmigbta/erseundree/ngabeuseandtben
a cemensatien/er bew mucb los tbe ecenemic value e/ tbat beuse is
tbantbe value e/tbeeriginalunseundree/dbeuse in tbe neigblerbeedas
it was witbeut tbe aditienalneise.
benmcb e/tbevictims e/ellutiensuers grmt cests, tbeusulss-
teme/teulialilit (witb minermedcatiens)sucoteieldtbis roult.
Ln/ercingetboeele'sreert rigbts wiu, in tboe cases, suce te kee
ellutien in its reerlace. 8ut tbe situatien is cbanged i/ individual
euuters bave widormdandindividuau minmcule e_cts. l/semeene
imeses tbe equivalent e/a tunt-cent cest en mcbersen in tbe 0nited
Stato, itwiu neta/eran eneosentesuebim, doitetbegrmttetal
e/tbe cestimesm. l/manersenssimilan imese tin cests enmcbin-
dividul, tbe tetal cests te an individual tben ma le signcant. 8ut
since ne single :urcesigncantl a_cts ene individual, itstiuwi/lnet
aanindividualtesueanindividualelluter. ltisirenictbatellu-
tien is cemmenl beld te indicatede/cts in tberivatenos e/a sstem e/
rivatereot, wboms tberellem e/e/lutien is tbat bigb transactien
cests mkeitdicult te cntorcctberivatereot rigbts e/tbevictims
e/ellutien. 0neselutien migbtle te auewgreusuitsagainsteuuters.
An laer r law/ ma act/er tbegeneralullic andsue, leing
required te distriluteareertien e/tbe ameunt ce/lectedte mcb memler
e/tbe in:!udmullicwbe tlaims it/remtbem. (Sincedioenteeleare
dierentl a_ctm l tbe same elluting acts, tbe laers migbt le
required te distrilute dq erent ameunts te tbese in dq rent seced
greus. ) Tbelauers'incemeweuldceme/remtbesewbedenetwiteinte
rohtbttton, Lompnsatton, and Ktsk 8 1
daimtbeirdue, and/emeaings e/tbe menq e/tbesewbede net daim
remtl. Seeingsemereceivinggreat inceme intbis wa, etbers weuldge
intelusinessas 'ullic'sagents, ' cbargingaearl/e te ceuectandturn
everte tbeir :!ientsa/ltbeellutienaments te wbicb tbewereentitled.
Since sucb a scbeme gives grmt advantage te a lawer wbe acts /ast, it
insures tbat mn weuld lealot teretect tbe intoests e/tbeseeuuted.
Alternativescbemes migbt ledevisedteauewseveraltesuesimultaneeusl
/erdistinctsets e/ersens intbeullic. lt istrue tbattbese scbemerlace
geatweigbt en tbe ceurtsstem, lut tbesbeuldle as managealle as tbe
eeratien e/an gevonment lureaucraq in detomining and distriluting
cests.
Jo arrvc at an acccptabIc prncpIc otcompcnsaton, wc must
dcImt thc cIass otactons covcrcd by thc cIam. Smc typcs otac-
ton arc gcncraIIy donc, pIay an mportant roIc n pcopIc` s Ivcs ,
and arc not torbddcn to a pcrson wthout scrousIy dsadvantagng
hm. Cnc prncpIc mght run. whcn an acton otths typc s tor-
bddcn to somconc bccausc t migbt causc harm to othcrs and s
cspccaIIy dangcrous whcn hc docs t , thcn thosc who torbd n
ordcr to gan ncrcascd sccurty tor thcmscIvcs must compcnsatc
thc pcrson torbddcn tor thc dsadvantagc thcy pIacc hm undcr.
hc propsal makc hcrc can, thnk, b dcIcndcd aganst thc consdcr-
atons adduccd n lrank Mchclman`s sophstcatcd prcscntaton oI a contrast-
ng vcw n hs 'Polluton as a ort, ` an cssay rcvcw oILudo Lalabns` s 7be
Ce:t: o/ Accident:, n Ya/e Lu eua/, 8O ( I gI }), pt. V, 66668 .
do not mcan to put Iorth thc abvc schcmc as tbe soluton to controllng
plluton. Kathcr, wsh mcrcly to suggcst and makc plausblc thc vcw that
somc nsttutonal arrangcmcnt mght bc dcvsd to solvc thc problcm at a Icll
swoop, and to commcnd thc task to thosc clcvcr at such thngs. (]. M. Lalcs
propscs, n Pe//utien, Preert, and Price:, to scll transIcrablc rghts to pllutc
n spchcd amounts. hs clcgant propsal unIortunatcly nvolvcs ccntral dcc-
son as to thc dcsrablc teta/ amount oIplluton. )
Popular dscussons oItcn run plluton problcms togcthcr wththat oIcon-
scrvng natural rcsourccs. Agan, thc clcarcst cxamplcs oI msdrcctcd tvty
havc occurrcd whcrc thcrc arc no clcar prvatc proprty rghts. onub/ic lands
dcnudcd by tmbr compancs and n ol hclds undcr scparatcly hcld pcccs oI
land. Jo thc cxtcnt that Iuturc poplc (orwc latcr)wll b wllng to pay Iorthc
satsIacton oI thcr dcsrcs, ncludng trps through unsplcd Iorcsts and wl-
dcrncss land, t wll b n thccconomc ntcrcsts oIsomc toconscrvc thcncccs-
sary rcsourccs. Sc thc dscusson n Kothbard, Peuer and Market (Mcnlo Park,
LalI. . nsttutc Ior Mumanc 5tudcs, Ig}O), pp. q} z , and n thc rcIcrcnccs
hc ctcs.
82
State-oj-Nature Theoy
Ths prncpIc s mcant to covcr torbddng thc cpIcptc to drvc
whIc cxcIudng thc cascs otnvoIuntary Kussan rouIcttc and thc
spccaI manutacturng proccss. Thc dca s to tocus on mportant
actvtcs donc by aImost aII, though somc do thcm morc
dangcrousIy than othcrs. AImost cvcryonc drvcs a car, whcrcas
pIayng Kussan rouIcttc or usng an cspccaIIydangcrous manutac-
turng proccss s not a normaI part otaImost cvcryonc`s Itc .
LntortunatcIy ths approach to thc prncpIc pIaccs a vcry grcat
burdcn on thc schcmc uscd to cIassty actons. Thc tact that thcrc
sene dcscrpton otapcrson`s acton that dstngushcs t trom thc
acts ot othcrs docs net cIassq t as unusuaI and so outsdc thc
sphcrc otappIcaton ot thc prncpIc. Yct t wouId bc too strong
to say, on thc othcr hand, that any acton taIIng undcr somc
dcscrpton whch aImost cvcry othcr prson aIso nstantatcs s
thcrcby shown to bc usuaI and to taII wthn thc compass ot thc
prncpIc. or unusuaI actvtcs aIso taII undcrseme dcscrptons
that covcractonspcopIc normaIIy do. PIayng Kussan rouIcttc s
a morc dangcrous way ot havng mn, ` whch othcrs arc aIIowcd
to do, and usng thc spccaI manutacturng proccss s a morc dan-
gcrous way ot carnng a Ivng. ` AImost any two actons can bc
construcd as thc samc or dhcrcnt, dcpcndng upon whcthcr thcy
taII nto thc samc or dttcrcnt subcIasscs n thc background cIas-
sbcaton ot actons. Ths possbIty otdvcrsc dcscrptons ot ac-
tons prcvcnts casy appIcaton ot thc prncpIc as statcd.
t thcsc qucstons couId bc cIarhcd satstactorIy, wc mght
wshto cxtcndthcprncpIcto covcrsomcunusuaI actons . tusng
thc dangcrous proccss s thconIywaytbat pcrson can carn a Ivng
(and tpIayng Kussan rouIcttc on anothcr wth agun ot I oo, ooo
chambcrs s thc onIy waytbat pcrson can havc any cnjoymcnt at
aII- grantthcscarc both cxtravagant suppostons), thcnpcrhaps
ths pcrson shouId bc compcnsatcd tor thc prohbton. y havng
tbe onIy way hc cancarn a Ivng torbddcn to hm, hc s dsadvan-
tagcdascomparcdto thc normaI stuaton, whcrcassomconc s not
dsadvantagcd rcIatvc to thc normaI stuaton by havng hs most
prohtabIc aItcrnatvc torbddcn to hm. A dsadvantagc as com-
parcd to thc normaI stuaton dttcrs trom bcng madc worsc ott
than onc othcrwsc wouId bc. Onc mghtusc athcory otdsadvan-
tagc, tonc had t, n ordcr to tormuIatc a PrncpIc otCompcn-
saton`. thosc who arcdisadvantaged by bcng torbddcn to do ac-
rohtbttton, Lompcnsatton, and Ktsk
tons that onIy migbt harm othcrs must bc compcnsatcd tor thcsc
dsadvantagcs tostcd upon thcm n ordcr to provdc sccurty tor
thc othcrs . tpcopIc`s ncrcascd sccurty trom a contcmpIatcd pro-
hbton wouId bcncbt thcm Icss than thosc prohbtcd wouId bc
dsadvantagcd, thcn potcntaI prohbtors wIIbc unabIc or unwII-
ng to makc suthccntIy grcat compcnsatory paymcnts, so thcpro-
hbton, as s propcr n ths casc, wII not bc mposcd.
Thc prncpIc ot compcnsaton covcrs thc cascs taIIng undcr
our carIcr statcmcnt whch nvoIvcd mcssy probIcms about cIas-
styng actons. tdocs notavodcompIctcIy smIar qucstons con-
ccrnng thc crcumstanccs undcr whch somconc s cspccaIIy ds-
advantagcd. ut as thcy arsc hcrc, thc qucstons arc cascr to
handIc. or cxampIc, s thc manutacturcr who s prcvcntcd trom
pursung hs bcst aItcrnatvc (though havng othcr prohtabIc aItcr-
natvcs) cspccaIIy dsadvantagcd tcvcryonc cIsc may pursuc thcr
bcst aItcrnatvcs, whch happcn not to bc dangcrousr CIcarIy not.
Thc prncpIc otcompcnsaton rcqurcs that pcopIc bc compcn-
satcd tor havng ccrtan rsky actvtcs prohbtcd to thcm. t
mght bc objcctcd that cthcr you havc thc rght to torbd thcsc
pcopIc`s rsky actvtcs or you don` t. tyou do, you nccdn`t com-
pcnsatc thc pcopIc tor dong to thcm what you havc a rght to do,
and tyoudon` t, thcn rathcr thantormuIatng apoIcy otcompcn-
satng popIc tor your unrghtmI torbddng, you ought smpIy to
stop t. n ncthcr casc docs thc appropratc coursc sccm to bc to
torbd and thcn compcnsatc. ut thc dIcmma, cthcr you havc a
rght to torbd t so you nccdn` t compcnsatc, or you don`t havc a
rght to torbd t so you shouId stop, ` s too short. t may bc that
you do havc a rght to torbd an acton but onIy provdcd you
compcnsatc thosc to whom t s torbddcn.
How can thsbcrsths stuaton onc otthosc dscusscd carIcr,
n whch a bordcr crossng s pcrmttcd provdcd that compcnsa-
ton s padr t so, thcrc wouId bc somc boundary Inc that dc-
Imts torbddng pcopIc to do ccrtan rsky acts, whch t wouId
bc pcrmssbIc to cross tthc party trcspasscd upon wcrc compcn-
satcd. Lvcn tso, sncc n thccascsundcrdscusson wccandcntq
nadvancc thc partcuIar pcrsons bcng torbddcn, whyarc wc not
rcqurcd nstcad to ncgotatc a contract wth thcm whcrcby thcy
agrcc not to do thc rsky act n qucstonr Mhy wouIdn`t wc havc
to ottcr thcm an nccntvc, or hrc thcm, or brbc thcm to rctran
State-o-Nature Theoy
trom dong thc actr n our carIcr dscusson otbordcr crossng wc
notcd thc abscncc otany compcIIng thcory ot just prcc or com-
pcIIng rcason why aII otthc bcnchts otvoIuntary cxchangc shouId
go to onc ot thc partcs. Mhch ot thc admssbIc ponts on thc
contractcurvc wasto bcscIcctcd, wc sad, wasaqucstonappropr-
atcIy Ictt to thc partcs nvoIvcd. Ths consdcraton tavorcd pror
ncgotaton ovcr postcror paymcnt ot tuII compcnsaton. n thc
prcscnt subcIass ot cascs, howcvcr, t deo sccm appropratc un-
tormIy to scIcct onc cxtrcmty ot thc contract curvc. LnIkc cx-
changcs n whch both partcs bcncbt and t s uncIcar how thcsc
bcncbts arc to bc dvdcd, n ncgotatons ovcr onc party`s abstan-
ng trom an acton that wII or mghtcndangcr anothcrpcrson, aII
thc hrst party nccd rcccvc s mII compcnsaton. (Thcpaymcntthc
brstparty couId ncgotatc tor abstanng, wcrc hc aIIowcd to pcr-
torm thc acton, s net part ot hs Ioss duc to thc prohbton tor
whch hc must bc compcnsatcd. )
PRODUCTI VE E XC HANGE
t buy a good or scrvcc trom you, bcncbt trom your actvty,
am bcttcr ottduc to t , bcttcr ottthan tyour actvty wasn`t donc
or you ddn`t cxst at aII . (gnorc thc compIcaton that somconc
oncc mght scII a bona hdc good to anothcr prson hc gcncraIIy
harms . ) Mhcrcas t pay you tor not harmng mc, gan nothng
trom you that wouIdn`t posscss tcthcr you ddn`t cxstat aII or
cxstcd wthout havng anythng to do wth mc. (Ths comparson
wouIdn` t do tdeserved to bc harmcd by you. ) KoughIy,reduttive
attivities arc thosc that makc purchascrs bcttcr ohthan t thc scIIcr
had nothngatau to do wth thcm. Morc prccscIy, ths provdcs
a ncccssary condton tor an unproductvc actvty, but not a sut-
hccnt condton. tyour ncxt-door ncghbor pIans to crcct a ccr-
tan structurc on hs Iand, whch hc has a rght to do, you mght
bcbcttcrohthc ddn`t cxstat aII . (oonc cIscwouId choosc to
crcct that monstrosty.) Yct purchasng hs abstcnton trom pro-
cccdng wth hs pIans wII bc a productvc cxchangc.' Supposc,
howcvcr, that thc ncghbor has no dcsrc to crcct thc structurc on
rOhbtOn, LOmpcnsatOn, and Ksk
thc Iand, hc tormuIatcs hs pIan and ntorms you ot t soIcIy n
ordcr to scII you hs abstcnton trom t . Such an cxchangc wouId
not bc aproductvc onc, t mcrcIy gvcs you rcIcttrom somcthng
that wouId not thrcatcn tnot tor thc possbItyotan cxchangc to
gct rcIct trom t. Thc pnt gcncraIzcs to thc casc whcrc thc
ncghbor`s dcsrc docs not Iocus onIy upon you. Hc may tormuIatc
thc pIan and pcddIc hs abstcnton around to scvcraI ncghbors.
Mhocvcr purchascs t wII bc scrvcd unproductvcIy. That such
cxchangcs arc not productvc oncs, and do not bcncht cach party,
s shown by thc tact that t thcy wcrc mpossbIc or torccabIy
prohbtcd so that cvcryonc kncw thcy couIdn`t bc donc, onc otthc
partcs to thc potcntaI cxchangc wouId bc no worsc ott. A strangc
knd otproductvc cxchangc t wouId bc whosc torbddng Icavcs
onc party no worsc ott! (Thc party who docs not gvc up anythng
tor thc abstcnton, or nccd not bccausc thc ncghbor has no othcr
motvc toprocccd wth thc acton, s Ictt bcttcr oh. )Though pco-
pIc vaIuc a bIackmaIcr`s sIcncc, and pay tor t, hs bcng sIcnt s
not a productvc actvty. Hs vctms wouId bc as wcII ohtthc
bIackmaIcr dd not cxst at aII , and so wasn` t thrcatcnng thcm.
And thcy wouId bc no worsc otttthc cxchangc wcrc known to bc
absoIutcIy mpossbIc. On thc vcw wc takc hcrc, a scIIcr otsuch
sIcncc couId IcgtmatcIy chargc onIy tor what hc torgocs by s-
Icncc. Mhat hc torgocs docs not ncIudc thc paymcnt hc couId
havc rcccvcd to abstan trom rcvcaIng hs ntormaton, though t
docs ncIudc thc paymcnts othcrs wouId makc to hm to rcvcaI thc
ntormaton. So somconc wrtng a book, whosc rcscarch comcs
across ntormaton about anothcr pcrson whch wouId hcIp saIcs t
ncIudcd n thc book, maychargcanothcrwho dcsrcs that ths n-
tormaton bc kcpt sccrct (ncIudng thc pcrson who s thc subjcct
otthc ntormaton) tor rctranng trom ncIudng thc ntormaton
n thc book. Hc may chargc an amount otmoncy cquaI to hs cx-
pcctcd dttcrcncc n royaItcs bctwccn thc book contanng ths n-
tormaton and thc book wthout t, hc may not chargc thc bcst
but Ihc ddn`tcxst, mghtn`t anothcrhavc stumblcdonthc unqucpccc
oInIormaton and askcd a hghcrprcc Iorslcncc! Iths wouldhavcoccurrcd,
sn`t thc vctm bttcr oIIbccausc hs actual blackmalcr cxsts! o statc thc
pont cxactly n ordcr to cxcludc such complcatons s not worth thc cIIort t
would rcqurc.
86 State-oj-Nature Theoy
prcc hc couId gct trom thc purchascr ot hs sIcncc. Frotcctvc
scrvccs arc productvc and bcncbt thcr rccpcnt whcrcas thc
protccton rackct s not productvc. cng soId thc rackctccrs`
mcrc abstcnton trom harmng you makcs your stuaton no bcttcr
than tthcy had nothng to do wth you at aII .
Our carIcr dscusson ot dvdng thc bcnchts ot voIuntary
cxchangc, thus, shouId bc narrowcd so as to appIy onIy to thosc
cxchangcs whcrc both partcs do bcncht n thc scnsc otbcng thc
rccpcnts otproductvc actvtcs. Mhcrc onc ot thc partcs docs
not so bcncbt and s unproductvcIy scrvcd, ` t s hr that hc
mcrcIy barcIy compcnsatcs thc othcr, qany compcnsaton s duc
thc othcrparty at aII . Mhat otthosc cascs whcrc onIy thc hrst con-
dton otunproductvc cxchangc s satshcd, not thc sccond. X s
no bcttcr ottas a rcsuIt otthc cxchangc than tY ddn`t cxst at
aII , but Y docs havcsomc motvc othcr thanscIIng abstcnton. t
trom Y`s abstcnton trom an actvtyX gans onIy a Icsscncd prob-
abIty othavng hs own bordcr crosscd (a crossng whosc ntcn-
tonaI prtormancc s prohbtcd), thcn Y nccd bc compnsatcd
onIy tor thcdsadvantagcs mposcd upon hm bythcprohbtonot
onIy thosc actvtcs whosc rsk s scrous cnough to justq proh-
bton n ths manncr.
Mc havc rcjcctcd thc vcw that thc prohbton otrsky actv-
tcs s IIcgtmatc, that through pror agrccmcnts and opcn ncgo-
tatons pcopIc must bc nduccd to agrcc voIuntarIy to rctran
trom thcactvtcs. utwcshouId notconstruc our casc mcrcIy as
compnsaton torcrossng a bordcr that protcctsanothcr`s rsky ac-
ton, wth thc rcqurcmcnt ot pror ncgotaton obvatcd by thc
A writer, or other erson, who elights in evealing secets, may charg-dif
erently. This consideration does not help the racketeer discussed elow, even if
he is sadistic and enjoys his work. The activity he theatens is excluded by
moral constraints and is prohibited indeendently of whether it, or abstaining
from it, is charged for. The example of the writer is taken from ootnote 34 of
my essay, "Coercion, " in Philosophy, Science, and Method: Essays in Honor o/Enst
Nagel, ed. S. Morgenesser, P. Supes, and M. White (New Yok: St. Martin's
Press 1 969), pp. 44-472 . Contrst our view of blckmail with the following,
which ees it H on a par with any other economic transaction: "Blackmail
would not e illegal in the fee society. For blackmail is the receipt of money in
exchange for the evice of not publicizing certain information aout the other
erson. No violence or theat of violence to erson or poerty is involved. "
Murray N. Rothbard, Man, Economy, and State, vol . I , p. 443, n. 49.
Prohibition, Compensation, and Risk
spcaI naturc ot thc casc (t docsn`t nvoIvc any productvc
cxchangc). or ths docs not cxpIan why aII arc not rcturncd to
thc ndttcrcncccurvcthcywouIdoccupywcrctnottor thcproh-
bton,onIythoscdisadvantaged byaprohbtonarcto bc compcn-
satcd, and thcyarc to bc compnsatcdenl tor thcrdsadvantagcs.
ta prohbton otrsky acts had two scparatc cttccts on somconc,
thc hrst makng hm worsc ott though not dsadvantagcd ascom-
parcd to othcrs and thc sccond dsadvantagng hm, thc prncpIc
ot compcnsaton wouId rcqurc compcnsaton to bc pad onIy tor
thc sccond. LnIkc an ordnary bordcr crossng, thc compnsaton
n thcsc cascs nccd not rasc thc prson to thc poston hc was
n bctorc hc was ntcrtcrcd wth. n ordcr to vcw thc compcnsa-
ton undcr thcprncpIc otcompcnsaton as ordnary compnsaton
torabrdcrcrossng,oncmght trytorcdchncorrcIocatcthcbrdcr
so that t s crosscd onIy whcn somconc s dsadvantagcd. ut t
s morc prspcuous not to dstort our vcw otths compnsaton
stuaton by assmIatng t to anothcr onc.
That t s not to bc assmIatcd to thc bordcr-crossng sort ot
compcnsaton stuaton docs not, otcoursc, torccIosc dcrvng thc
prncpIc ot compcnsaton trom dccpcr prncpIcs. or our pur-
poscs n ths cssay wc nccd not do ths, nor nccd wc statc thc prn-
cpIc cxactIy. Mc nccd onIy cIam thc corrcctncss otsomc prn-
cpIcs, such as thc prncpIc ot compcnsaton, rcqurng thosc
mposng a prohbton on rsky actvtcs to compcnsatc thosc
disadvantaged through havng thcsc rsky actvtcs prohbtcd to
thcm. not compIctcIy comtortabIc prcscntng and Iatcr usng
a prncpIc whosc dctaIs havc not bccn workcd out mIIy, cvcn
though thc undcvcIopcd aspccts ot thc prncpIc do not appcar to
bc rcIcvant to thc ssucs upon whch wc shaII wcId t. Mth somc
justcc, thnk, couId cIam that t s aII rght as a bcgnnng to
Icavc a prncpIc n a somcwhat tuzzy statc, thc prmary qucston
s whcthcr somcthng Ikc t wII do. Ths cIa m, howcvcr, wouId
mcct a trosty rcccpton trom thosc many proponcnts ot anothcr
prncpIc scrutnzcd n thc ncxt chaptcr, t thcy kncw how much
hardcr shaII bc on thcr prncpIc than hcrc on mnc. or-
tunatcIy, thcy don`t know that yct.
CHA P T ER
5
The State
P ROHI BI TI NG P RI VATE E NFORCEMENT
OF J US TI CE
A ndcpcndcnt mght bc prohbtcd lrom prvatc!y cxact-
ng justcc bccausc hs proccdurc s known to bc too rsky and
dangcrous-that s, t nvo!vcs a hghcr rsk (than anothcr procc-
durc) olpunshng an nnoccnt pcrson or ovcrpunshng a guIty
onCr bccausc hs proccdurc sn`t known not to bc rsky. (Hs
proccdurc wou|d cxhbt anothcr modc ol unrc!ab!ty l ts
chanccs wcrc much grcatcr olnot punshng a gu!ty prson, but
thswouId notbc arcason lorprohbtnghsprvatc cnlorccmcnt . )
Lct us consdcr thcsc nturn. lthc ndcpndcnt`s proccdurc s
vcry unrc!abIc and mposcs hgh rsk on othcrs (pcrhaps hc con-
su!ts tca !cavcs), thcn l hc docs t lrcqucnt!y, hc may makc aII
lcarmI , cvcn thosc not hs vctms. Anyonc, actng n sc!l-dclcnsc,
may stop hm lrom cngagng n hs hgh-rsk actvty. ut surc!y
thc ndcpndcnt may bc stoppcd lrom usng a vcry unrcIab!c
proccdurc, cvcn lhc s not a constant mcnacc. lt s known that
thc ndcpcndcnt wII cnlorcc hs own rghts by hs vcry unrc!abIc
proccdurc onIy oncc cvcry tcn ycars , ths wI! net crcatc gcncra!
lcar and apprchcnson n thc soccty. Thc ground lor prohbtng
hs wdc!y ntcrmttcnt usc ol hs proccdurc s not, thcrclorc, to
88
Jhc btatc
avod any wdcsprcad uncompcnsatcd apprchcnson and lcar whch
othcrwsc wou!d cxst.
!l thcrc wcrc many ndcpcndcnts who wcrc a!! Iab!c to punsh
wrongIy, thc probab!tcs weu!d add up tocrcatcadangcrous stu-
aton lor aII. Thcn, othcrswouIdbccntt!cd to group togcthcr and
prohbt thcteta!it olsuch actvtcs. uthow wou!d ths prohb-
ton work MouId thcy prohbteatb olthc ndvduaIIy non-lcar-
crcatng actvtcs Mthn a statc olnaturc by what proccdurc can
thcy pck and choosc whch olthc totaIty s to contnuc, andwhat
wouId gvc thcm thc rght to do ths o protcctvc assocaton,
howcvcr domnant, wouId havc thsrght. or thc!cgtmatc pow-
crs ola protcctvc assocaton arc mcrc!y thcsum olthc ndvdua!
rghts that ts mcmbcrs or c!cnts translcr to thc assocaton. o
ncw rghts and powcrs arsc, cach rght ol thc assocaton s dc-
composabIc wthout rcsduc nto thosc ndvduaI rghts hcId by
dstnct ndvduaIs actng aIonc n a statc ol naturc. A combna-
ton olndvdua!s may havc thc rght to do somc actonC, whch
no ndvduaI a!onc had thc rght to do, lC s dcntcaI to D and
L, and pcrsons who ndvduaIIy havc thc rght to do D and thc
rght to do L combnc. l somc rghts ol ndvduaIs wcrc ol thc
lorm `You havc thc rght to doA provdcd I pcrccnt or 8 pcr-
ccnt or whatcvcr olthc othcrs agrcc you may, `thcn acombnaton
ol ndvduaIs wou!d havc thc rght to do A, cvcn though nonc
scparatcIy had ths rght. ut no ndvduaI` s rghts arc ol ths
lorm. o pcrson or group s cntt!cd to pck who n thc tota!ty
w!! bc a!!owcd to contnuc. Au thc ndcpcndcnts mght group
togcthcr and dccdc ths. Thcy mght, lor cxamp!c, usc somc ran-
dom proccdurc to aI!ocatc a numbcr ol (scI!ab!c) rghts to con-
tnuc prvatc cnlorccmcnt so as to rcducc thc tota! dangcr to a
pont bcIow thc thrcsho!d. Thc dlbcu!ty s that, laIargc numbcr
olndcpcndcnts do ths, t wI! bc n thc ntcrcsts olan ndvdua!
to abstan lrom ths arrangcmcnt. t wI! bc n hs ntcrcsts to con-
tnuc hs rsky actvtcs as hc chooscs , whIc thc othcrs mutua!!y
Imt thcrs so as to brng thc tota!ty ol acts ncIudng hs to
bcIow thcdangcrIcvcI. orthcothcrsprobabIy wou!d !mt thcm-
scIvcs somc dstancc away lrom thc dangcr boundary, Icavng hm
room to squcczc n. Lvcn wcrc thc othcrs to rcst adjaccnt to thc
Inc oldangcr so that hs actvtcs wou!d brng thc totaIty across
t, on whch grounds couIdbis actvtcs bc pckcd out as thc oncs
State-oj-Nature Theoy
to prohbt SmIarIy, t wII bc n thc ntcrcsts ot any ndvduaI
to rctran trom othcrwsc unanmous agrccmcnts n thc statc otna-
turc. tor cxampIc, thc agrccmcnt tosct up a statc. Anythng an n-
dvduaI can gan by such a unanmous agrccmcnt hc can gan
through scparatc bIatcraI agrccmcnts. Any contract whch rcaIIy
nccds aImost unanmty, any contract whch s csscntaIIy jont,
wII scrvc ts purposc whcthcr or not a gvcn ndvduaI partc-
patcs,so twII bcnhsntcrcstsnottobndhmscIttopartcpatc.
"
THE PRI NCI PLE O F FAI RNES S
"
A prncpIc suggcstcd by Hcrbcrt Hart, whch (toIIowng )ohn
KawIs) wc shaII caII thcrin:ile e//airnos, wouId bc ot scrvcc
hcrc tt wcrc adcquatc. Ths prncpIc hoIds that whcn a numbcr
otpcrsons cngagc n a j ust, mutuaIIy advantagcous, coopratvc
vcnturc accordng to ruIcs and thus rcstran thcr Ibcrty n ways
ncccssary to ycId advantagcs tor aII , thosc who havc submttcd to
thcsc rcstrctons havc a rght to smIar acqucsccncc on thc part
otthosc who havc bcnchtcd tromthcr submsson.
'
Acccptancc ot
bcnchts (cvcn whcn ths s not a gvng otcxprcss or tact undcr-
takng tocoopcratc) s cnough, accordng to ths prncpIc, tobnd
onc. tonc adds to thc prncpIc ot tarncss thc cIam that thc
othcrs to whom thc obIgatons arc owcd or thcr agcnts may en-
/erte thc obIgatons arsng undcr ths prncpIc (ncIudng thc
obIgaton to Imt onc`s actons), thcn groups otpcopIc n a statc
otnaturc who agrcc to a proccdurc to pck thosc tocngagc n ccr-
tan acts wIIhavc Icgtmatc rghts to prohbt trcc rdcrs. ` Such
a rght may bc crucaI to thc vabIty ot such agrccmcnts. Mc
shouId scrutnzc such apowcrtuIrght vcrycarcmIIy, cspcaIIy as
t sccms to makc unanimem conscnt to cocrcvc govcrnmcnt n a
statc otnaturcunnetessa! Yct a mrthcr rcason to cxamnc t s ts
pIausbIty as a countcrcxampIc to my cIam that no ncw rghts
cmcrgc` at thc group IcvcI , that ndvduaIs n combnaton can-
not crcatc ncw rghts whch arc not thcsum otprccxstng oncs. A
rght to cntorcc othcrs` obIgaton to Imt thcr conduct n spcc-
hcd ways mght stcm trom somc spccaI tcaturc ot thc obIgaton
or mght bc thought to toIIow trom somcgcncraIprncpIc that aII
Jhc btatc
obIgatons owcd to othcrs may bc cntorccd. !n thc abscncc ot
argumcnt tor thc spccaI cntorccmcnt-just|ng naturc ot thc ob-
Igaton supposcdIy arsng undcr thc prncpIc ot tarncss, ! shaII
consdcr brst thc prncpIc ot thc cntorccabIty ot aII obIgatons
and thcn turn to thc adcquacy otthc prncpIc ottarncss tscIl. t
cthcrotthcsc prncpIcs srcjcctcd, thc rght to cntorcc thc coop-
craton ot othcrs n thcsc stuatons tottcrs. ! shaII arguc that letb
otthcsc prncpIcs must bc rcjcctcd.
Hcrbcrt Hart`s argumcnt tor thc cxstcncc ota naturaI rght
dcpcnds upon partcuIarzng thc prncpIc otthc cntorccabIty ot
aII obIgatons. somconc`s bcng undcr a spccaI obIgaton to you
todoA (whchmght havc arscn, torcxampIc, by thcrpromsng
to you that thcy wouId do A) gvcs you, not onIy thc rght that
thcy doA, but aIso thc rght to torcc thcm to doA. OnIy aganst
abackground n whchpcopIc may not torcc you to doA or othcr
actons you may promsc to do can wc undcrstand, says Hart, thc
eintand purposcotspccaI obIgatons. Sncc spccaI obIgatons do
havc a pont and purposc, Hart contnucs , thcrc s a naturaI rght
not to bc torccd to do somcthng unIcss ccrtan spccbcd cond-
tons pcrtan, ths naturaI rght s buIt nto thc background
aganst whch spccaI obIgatons cxst.
Ths wcII-known argumcnt otHart`s s puzzIng. ! may rcIcasc
somconc trom an obIgaton not to torcc mc to do A. ( now
rcIcasc you trom thc obIgaton not to torcc mc to doA. You now
arc trcc to torcc mc to do A. ) Yct so rcIcasng thcm docs net
crcatc n mc an obIgaton to thcm to do A. Sncc Hart supposcs
that my bcng undcr an obIgaton to somconc to doA gvcs hm
(cntaIs that hc has) thc rght to torcc mc to doA, and sncc wc
havc sccn thc convcrsc docs not hoId, wc may consdcr that com-
poncnt otbcng undcr an obIgaton to somconc to do somcthng
ovcrandabovc hs havng thc rght to torcc you to do t. (May wc
supposc thcrc s thsdstngushabIccomponcnt wthouttacng thc
chargc ot IogcaI atomsm`) An aItcrnatvc vcw whch rcjccts
Hart`s ncIuson otthc rght to torcc n thc noton otbcng owcd
an obIgaton mght hoId that ths addtonaI componcnt s thc
wbele ot thc contcnt ot bcng obIgatcd to somconc to do somc-
thng. t don`t do t, thcn (aII thngs bcng cquaI) ` m dong
somcthng wrong, controI ovcr thc stuaton s n hs hands, hc has
thc pwcr to rcIcasc mc trom thc obIgaton unIcss hc`s promscd
State-oj-Nature Theoy
to somconc cIsc that hc won`t, and so on. Fcrhaps aII ths Iooks
tooebemera! wthout thc addtonaI prcscncc ot rghts otcntorcc-
mcnt. Yct rghts otcntorccmcnt arc thcmscIvcs mcrcIy rigbts, that
s, pcrmssons to do somcthng and obIgatons on othcrs not to
ntcrtcrc. Truc, onc has thc rght to cntorcc thcsc mrthcr obIga-
tons, but t s not cIcar that ncIudng rigbts ot cntorcng rcaIIy
shorcs up thc whoIc structurc tonc assumcs t to bc nsubstantaI
to bcgn wth. Fcrhaps onc must mcrcIy takc thc moraI rcaIm
scrousIy and thnk onc componcnt amounts to somcthng cvcn
wthout aconnccton to cntorccmcnt. (Otcoursc, ths s not to say
that ths componcntnever s conncctcd wth cntorccmcnt!) On ths
vcw, wc can cxpIan thc pont ot obIgatons wthout brngng
n rghts ot cntorccmcnt and hcncc wthout supposng a gcncraI
background otobIgaton not to torcc trom whch ths stands out.
(Ot coursc, cvcn though Hart`s argumcnt docs not dcmonstratc
thc cxstcncc ot such an obIgaton not to torcc, t may cxst
ncvcrthcIcss.)
Apart trom thcsc gcncraI consdcratons aganst thc prncpIc ot
thc cntorccabIty ot aII spccaI obIgatons, puzzIc cascs can bc
produccd. or cxampIc, t promsc to you that wII not murdcr
somconc, ths docs notgive you thc rght to torcc mc not to, tor
you aIrcady havc ths rght, though t docs crcatc a partcuIar
obIgatonteeu. Or, t cautousIy nsstthat you hrst promsc to
mc that you won`t torcc mc to doA bctorc wII makc my prom-
sc to you to doA, and do rcccvc ths promsc trom you hrst, t
wouId bcmpIausbIc tosay that npromsng gvcyouthcrght
to torcc mc todoA. (Though consdcr thc stuaton whch rcsuIts
t am so tooIsh as to rcIcasc you unIatcraIIy trom your promsc
to mc. )
t thcrc wcrc cogcncy to Hart`s cIam that onIy aganst a back-
ground ot rcqurcd nontorcng can wc undcrstand thc pnt ot
spccaI rghts , thcn thcrc wouId sccm to bc cquaI cogcncy to thc
cIam that onIy aganst a background otomittm torcng can wc
undcrstand thc pont otgenera! rghts. or accordng to Hart, a
pcrson has a gcncraI rght to doA tand onIy ttor aII pcrsons P
and _, _ may not ntcrtcrc wthP` s dong A or torcc hm not to
doA, unIcssP has actcd to gvc _ a spccaI rght to do ths. ut
not cvcry act can bc substtutcd tor 'A, pcopIc havc gcncraI
rghts to do onIy partcuIar typcs otacton. S, onc mght arguc,
Jhc btatc
93
tthcrc s to bc a pont to havng gcncraI rghts, to havng rghts
to do a partcuIar typc otactA, to othcr`s bcng undcr an obIga-
ton not to torcc you not to doA, thcn t must bc aganst a con-
trastng background, n whch thcrc s ne obIgaton on pcopIc to
rctran trom torcng you to do, or not to do, thngs, that s,
agansta background n whch, tor actons gcncraIIy, pcopIcdonet
havc a gcncraI rght to do thcm. tHart can arguc to a prcsump-
ton aganst torcng trom thcrc bcng a pont to partcuIar rghts,
thcn t sccms hc can cquaIIy wcII arguc to thc abscncc otsuch a
prcsumpton trom thcrc bcng a pont to gcncraI rghts.
An argumcnt tor an cntorccabIc obIgaton has two stagcs. thc
hrst Icads to thc cxstcncc otthc obIgaton, and thc sccond, to ts
cntorccabIty. Havng dsposcd otthc sccond stagc (at Icast nsotar
as t s supposcd gcncraIIy to toIIow trom thc hrst), Ict us turn to
thc supposcd obIgaton to coopcratc n thc jont dccsons ot
othcrs to Imt thcr actvtcs. Thc prncpIc ot tarncss , as wc
statcd t toIIowng Hart and KawIs , s objcctonabIc and unacccpt-
abIc. Supposc somc otthc popIc n your ncghborhood (thcrc arc
6qothcraduIts) havc tound apubIc addrcss systcm and dccdc to
nsttutc a systcm ot pubIc cntcrtanmcnt. Thcy post a Ist ot
namcs, onc tor cach day, yours among thcm. On hs assgncd day
(onc can casIy swtch days) a pcrson s to run thc pubIc addrcss
systcm, pIay rccords ovcr t, gvc ncws buIIctns, tcII amusng
storcshchas hcard, and so on. Attcr r 8 days on whch cach pcr-
son has donc hs part, your day arrvcs. Arc you obIgatcd to takc
your turnr You bave bcnchtcd trom t, occasonaIIy opcnng your
wndow to Istcn, cnj oyng somc musc or chuckIng at somconc`s
mnny story. Thc othcr pcopIcbave put thcmscIvcs out. ut must
you answcr thc caII whcn t s your turn to do sor As t stands ,
surcIy not. Though you bcncht trom thc arrangcmcnt, you may
know aII aIong that 6q days otcntcrtanmcnt suppIcd by othcrs
wII not bc worth your gvng up ene day. You wouId rathcr not
havc any ott and not gvc up aday than havc t aII and spcnd onc
otyour days at t. Lvcn thcsc prctcrcnccs, how can t bc that you
arc rcqurcd to partcpatc whcn your schcduIcd tmc comcsr t
wouId bc ncc to havc phIosophy rcadngs on thc rado to whch
onc couId tunc n at any tmc, pcrhaps Iatc at nght whcn trcd.
ut t may not bc ncc cnough tor you to want to gvc up onc
whoIc day otyour own as a rcadcr on thc program. Mhatcvcr you
94 State-oj-Nature Theoy
want, can othcrs crcatc an obIgaton tor you to do so by gong
ahcad and startng thc program thcmscIvcsr n ths casc you can
choosc to torgo thc bcncht by not turnng on thc rado, n othcr
cascs thc bcnchts may bc unavodabIc. tcach day a dhcrcnt pr-
son on your strcct swccps thc cntrc strcct, must you do so whcn
your tmc comcsr Lvcn tyou don`t carc that much about a cIcan
strcctr Must you magnc drt as youtravcrsc thc strcct, so as not
to bncht as a trcc rdcrr Must you rctran trom turnng on thc
rado to hcar thc phIosophy rcadngsr Must you mow your tront
Iawn as ottcn as your ncghbors mow thcrsr
At thc vcry Icast onc wants to buId nto thc prncpIc ot
tarncss thccondton that thc bcnchts to aprson trom thc actons
otthc othcrs arc grcatcr than thc costs to hm otdong hs sharc.
How arc wc to magnc thsr s thc condton satshcd t you do
cnjoy thc daIy broadcasts ovcr thc FA systcm n your ncgh-
borhood but wouId prctcr a day ott hkng, rathcr than hcarng
thcsc broadcasts aII ycarr or you to bc obIgatcd to gvc up your
day to broadcast mustn`t t bc truc, at Icast, that thcrc s nothng
you couId do wth aday (wth that day, wth thc ncrcmcnt nany
othcr day by shttng somc actvtcs to that day) whch you wouId
prctcr to hcarng broadcasts tor thc ycarr tthc onIywayto gct thc
broadcasts was to spnd thc day partcpatng n thc arrangcmcnt ,
n ordcr tor thc condton that thc bcnchts outwcgh thc costs to
bc satshcd, you wouId havc to bc wIIng to spcnd t on thc
broadcasts rathcr than to ganan othcr avaIabIc thng.
tthc prncpIc ot tarncss wcrc modhcd so as to contan ths
vcrystrong condton, t stIIwouIdbc objcctonabIc. Thc bcnchts
mght onIy barcIy bc worth thc costs to you otdong your sharc,
yct othcrs mght bcncht tromtbis nsttuton much morc than you
do, thcy aII trcasurc I stcnng to thc pubIc broadcasts. As thc pcr-
son Icast bcnchtcd by thc practcc, arc you obIgatcd to do an
cquaI amount tor tr Or prhaps you wouId prctcr that aII co-
opcratcdnanetbervcnturc, Imtngthcrconductandmakng sac-
rhccs torit. !t s truc, given that thcy arc not toIIowng your pIan
(and thus Imtng what othcr optons arc avaIabIc to you), that
thc bcnchts otthcrvcnturcare worth to you thc costs otyour co-
opcraton. Howcvcr, you do not wsh to coopcratc, as part otyour
pIan to tocus thcr attcnton on your aItcrnatvc proposaI whch
thcy havc gnorcd or not gvcn, n your vcw at Icast, ts propcr
Jhc btatc
95
duc. (You want thcm, tor cxampIc, to rcad thc TaImud on thc
rado nstcad otthc phIosophy thcy arc rcadng. ) y Icndng thc
nsttuton (thcr nsttuton)thc support otyour coopratng n t,
youwIIonIymakc t hardcr tochangc or aItcr.
On thc tacc ot t , cntorcng thc prncpIc ot hrncss s objcc-
tonabIc. Youmay notdccdctogvcmc somcthng, torcxampIca
book, and thcn grab moncy trom mc to pay tor t, cvcn t havc
nothng bcttcr to spcnd thc moncy on. You havc, t anythng,
cvcn Icss rcason to dcmand paymcnt tyour actvty that gvcs mc
thc book aIso bcnchts you, supposc that your bcst way otgcttng
cxcrcsc s by throwng books nto pcopIc`s houscs, or that somc
othcr actvty otyours thrustsbooks nto pcopIc`s houscs as an un-
avodabIc sdc cttcct. or arc thngs changcd tyour nabIty to
coIIcct moncy or paymcnts tor thc books whch unavodabIy spII
ovcr nto othcrs` houscs makcs t nadvsabIc or too cxpnsvc tor
you to carry on thc actvty wth ths sdc cttcct. Onc cannot,
whatcvcr onc`s purposcs, just act so as to gvc pcopIc bcnchts and
thcn dcmand (or sczc) paymcnt. or can a group ot prsons do
ths. tyou may not chargc and coIIcct tor bcnchts you bcstow
wthout pror agrccmcnt, you ccrtanIy may not do so tor bcnchts
whosc bcstowaI costs you nothng, and most ccrtanIy pcopIc nccd
not rcpay you tor costIcss-to-provdc bcnchts whch yct etbers
provdcd thcm. So thc tact that wc partaIIy arc `socaI products
n that wc bcncht trom currcnt pattcrns and torms crcatcd by thc
muIttudnous actons ot a Iong strng ot Iong-torgottcn pcopIc,
torms whch ncIudc nsttutons, ways otdong thngs, and Ian-
guagc (whoscsocaI naturc may nvoIvc our currcnt usc dcpcndng
upon Mttgcnstcnan matchng otthc spccch otothcrs), docs not
crcatc n us a gcncraI hoatng dcbt whch thc currcnt soccty can
coIIcct and usc as t wII.
Fcrhaps a modhcd prncpIc ot tarncss can bc statcd whch
wouId bc trcc trom thcsc and smIar dthcuItcs. Mhat sccms ccr-
tan s that any such prncpIc, tpossbIc, wouId bc so compIcx
and nvoIutcd that onc couId not combnc t wtha spccaI prnc-
pIc Icgtmatngen/ertement wthn a statc ot naturc otthc obIga-
tons that havc arscn undcr t. Hcncc, cvcn tthc prncpIc couId
bc tormuIatcd so that twas no Iongcr opcn to objccton, t wouId
notscrvctoobvatc thcnccdtor othcr pcrsons` tensenting to coopcr-
atc and Imt thcr own actvtcs.
State-oj-Nature Theoy
PROCE DURAL RI GHTS
Lct us rcturn to our ndcpndcnt. Apart trom othcr nonndcpcn-
dcnts` tcar (pcrhaps thcy wII not bc so worrcd), may not thc pcr-
son about to bc punshcd dctcnd hmscItr Must hc aIIow thc
punshmcnt totakcpIacc, coIIcctngcompcnsaton ahcrwards thc
can show that t was unjustr ut show to whomr !thcknows hc`s
nnoccnt, may hc dcmand compcnsaton mmcdatcIy and cntorcc
bis rghts to coIIcct tr And so on. Thc notons ot proccduraI
rghts, pubIc dcmonstraton ot guIt, and thc Ikc, havc a vcry
uncIcar status wthn statc-ot-naturc thcory.
!t mght bc sad that cach pcrson has a rght to havc hs guIt
dctcrmncd bythc Icast dangcrous otthc known proccdurcs tor as-
ccrtanng guIt, that s, by thc onc havng thc Iowcst probabIty
ot bndng an nnoccnt prson guIty. Thcrc arc wcII-known
maxmsotthc toIIowng torm. bcttcrm guItypcrsons gotrcc than
n nnoccnt pcrsons bc punshcd. or cach n, cach maxm wII
countcnancc anuppcr Imttothcrato m/n. !t wII say. bcttcrm,
butnot bcttcrm+ I . (Asystcmmaypckdttcrnguppcr Imtstor
dttcrcnt crmcs . ) On thc grcatIy mpIausbIc assumpton that wc
know cach systcm otproccdurcs` prccsc probabIty ot hndng an
nnoccnt pcrson guIty, and aguIty pcrson nnoccnt, wc wII opt
tor thosc proccdurcs whosc Iong-run rato ot thc two knds ot
crrors comcs cIoscst, trom bcIow, to thc hghcst rato wc hnd ac-
ccptabIc. !t s tar trom obvous whcrc to sct thc rato. To say t s
bcttcr that any numbcr otguIty go trcc rathcr than that onc n-
noccnt pcrson bc punshcd prcsumabIy wouId rcqurc net havng
any systcm ot punshmcnt at aII . or any systcm wc can dcvsc
whch somctmcs docs actuaIIy punsh somconc wII nvoIvc somc
apprccabIcrskotpunshngan nnoccnt pcrson, andt aImost ccr-
tanIy wII do so as t opcratcs on Iargc numbcrs otpcopIc. And
any systcmS can bc transtormcd nto onc havng aIowcr probabI-
tyotpunshngan nnoccnt pcrson, torcxampIc, by conjonng to
t a rouIcttc proccdurc whcrcby thc probabIty sonIy .I that any-
onc tound guIty by S actuaIIy gcts punshcd. (Ths proccdurc s
tcratvc. )
!ta pcrson objccts that thc ndcpcndcnt`s proccdurc ycIds too
hgh a probabIty ot an nnoccnt pcrson`s bcng punshcd, how
I
,
*
hc btatc 97
can t bc dctcrmncd what probabItcs arc too hghr Mc can
magnc that cach ndvduaI gocs through thc toIIowng rcason-
ng. Thc grcatcr thc proccduraI satcguards , thc Icss my chanccs ot
gcttng unj ustIy convctcd, andaIso thc grcatcr thc chanccs that a
guIty prson gocs trcc, hcncc thc Icss cttcctvcIy thc systcm dctcrs
crmc and so thc grcatcr my chanccs ot bcng a vctm otacrmc.
That systcm s most cttcctvc whch mnmzcs thc cxpcctcd vaIuc
otuncarncd harm to mc, cthcr through my bcng unj ustIy pun-
shcd or through my bcng a vctm ot a crmc. !t wc smpIty
greatl by assumng that pcnaItcs and vctmzaton costs baIancc
out, onc wouId want thc satcguards at that most strngcnt pont
whcrc any Iowcrng ot thcm wouId ncrcasc onc`s probabIty ot
bcng unjustIy punshcd morcthan t wouId Iowcr (through addcd
dctcrrcncc) onc`s vuIncrabIty to bcng vctmzcd by acrmc, and
whcrc any ncrcasng otthc satcguards wouId ncrcasc onc`s proba-
bIty otbcng vctmzcd by acrmc (through Icsscncd dctcrrcncc)
morc than t wouId Icsscn onc`s probabIty ot bcng punshcd
though nnoccnt. Sncc utItcs dhcr among pcrsons, thcrc s no
rcason to cxpcct ndvduaIs who makc such an cxpcctcd vaIuc
caIcuIaton to convcrgc upon thc dcntcaI sct otproccdurcs. ur-
thcrmorc, somc pcrsons may thnk t mportant n tscIt that
guIty pcopIc bc punshcd and may bc wIIng to run somc n-
crcascd rsks otbcng punshcd thcmscIvcs n ordcr to accompIsh
ths. Thcsc pcopIc wII consdcr t morcota drawback, thc grcatcr
thc probabIty a proccdurc gvcs guIty pcopIc ot gong un-
punshcd, and thcy wII ncorporatc ths n thcr caIcuIatons ,
apart trom ts cttccts on dctcrrcncc. !t s, to say thc Icast, vcry
doubttuI that any provson otthc Iaw ot naturc wII (and wII bc
known to) scttIc thc qucston othow much wcght s to bc gvcn
to such consdcratons, or wII rcconcIc pcopIc`s dttcrcnt asscss-
mcnts otthc scrousncss otbcng punshcd whcn nnoccnt as com-
parcd to bcng vctmzcd by a crmc (cvcn t both nvoIvc thc
samcphyscaI thng happcnng to thcm). Mththc bcst wII n thc
worId, ndvduaIs wII tavor dttcrng proccdurcs ycIdng dttcr-
ng probabItcs otan nnoccnt pcrson`s bcng punshcd.
Onc couId not , t sccms, pcrmssbIy prohbt somconc trom
usng a proccdurc soIcIy bccausc t ycIds a margnaIIy hghcr
probabIty ot punshng an nnoccnt pcrson than docs thc procc-
durc you dccm optmaI . Attcr aII , your tavortcproccdurc aIso wII
State-oj-Nature Theoy
stand tn ths rc!aton to that ot somconc c!sc. Nor arc mattcrs
changcd by thctact that many othcrprsons usc your proccdurc. t
sccms that pcrsons n a statc otnaturc must to!cratc (that s , not
torbd) thc usc otproccdurcs n thc `ncghborhood` otthcr own,
but t sccms thcymay torbd thc uscottar morc rsky proccdurcs.
An acutc prob!cm s prcscntcd t two groups cach b!cvc thcr
own proccdurcs to bc rc!ab!c wh!c bc!cvng that ot thc othcr
group to bc vcry dangcrous. Nortmure to rcso!vc thcrdsagrcc-
mcnt sccms !kc!y to work, and prcscntng thcnonproccdura!prn-
cp!c that thc groupwhch s rght shou!d trumph(and thc othcr
shou!d gvc n to t) sccms un!kc!y to producc pcacc whcn cach
group, hrm!y bc!cvng tsc!t to bc thc onc that s rght, acts on
thcprncp!c.
Mhcn snccrc and good pcrsons dttcr, wc arc pronc to thnk
thcy must acccpt somcproccdurc to dccdc thcr dttcrcnccs , somc
proccdurc thcy both agrcc to bc rc!ab!c or tar. Hcrc wc scc thc
possb!ty that ths dsagrccmcnt may cxtcnd a!! thc way up thc
!addcr otproccdurcs. A!so, onc somctmcs w!! rctusc to !ct ssucs
stay sctt!cd by thc advcrsc dccson ot such a proccdurc, spch-
ca!!y whcn thc wrong dccson s worsc cvcn than thc dsrupton
and costs (nc!udng hghtng) ot rcmsng to acccpt t, whcn thc
wrong dccson s worsc than conhct wth thosc on thc othcr sdc.
t s dsmayng to contcmp!atc stuatons whcrc both ot thc op-
poscd partcs tcc! that conhct s prctcrab!c to an advcrsc dccson
by anyproccdurc. Lachvcws thcstuatonasonc n whch hc who
s rght must act, and thc othcr shou!d gvc n. t w!! bc ot!tt!c
ava!torancutra!partytosayto both, Look, youbothtbinkyou`rc
rght, so on that prncp!c, as you w!! app!y t, you`!! hght.
Thcrctorc you must agrcc to somc proccdurc to dccdc thc mat-
tcr. or thcy cach bc!cvc that conhct is bcttcr than !osng thc
ssuc. And onc otthcm may bc rght n ths. Sbuldn't hc cngagc
" Must thcr calculaton abut whch s bcttcr ncludc thcr chanccs oI suc-
ccss! hcrc s somc tcmptaton to dchnc ths arcaoIconhct onc whcrc such
chanccs oIwrong arc Ior ccrtan purpscs thought to bc bad thc wrong Ior
surc. A thcory oIhow probablty ntcracts wth thc moral wcght oIwrongs s
sonly nccdcd.
n trcatng thc qucston as onc oI whcthcr thc bcnchts oI conhct outwcgh
ts costs , thc tcxt scrously ovcrsmplhcs thc ssuc. nstcad oI a smplc cost-
bcncht prncplc, thc corrcct prncplc nqurcs mr an act to b momlly prms-
Jhc btatc 99
n thc conhctr Shou!dn`tbe cngagc n thc conhctr (Truc, both ot
thcm w!! thnk thc onc s thcmsc!vcs. ) Onc mght try to avod
thcsc pantu! ssucs by a commtmcnt to proccdurcs, comc what
may. (May onc possb!c rcsu!t ot app!yng thc proccdurcs bc that
thcy thcmsc!vcs arc rcjcctcdr)Somc vcw thc statc as such adcvcc
tor shhng thc u!tmatc burdcn ot mora! dccson, so that thcrc
ncvcr comcs to bc that sort ot conhct among ndvdua!s. ut
what sort ot ndvdua! cou!d so abdcatcr Mho cou!d turnvy
dccson ovcr to an cxtcrna! proccdurc, acccptng whatcvcr rcsu!ts
comcr Thc possb!ty otsuch conhct s part otthc human cond-
ton. Though thsprob!cm n thc statcotnaturc s an unavodab!c
onc, gvcn sutab!c nsttutona! c!aboraton t nccd bc no morc
prcssng n thc statc ot naturc than undcr a statc, whcrc t a!so
cxsts.
Thc ssuc otwhch dccsons can bc !ctt to an cxtcrna! bndng
proccdurc connccts wth thc ntcrcstng qucston ot what mora!
ob!gatons somconc s undcr who s bcng punshcd tor a crmc ot
whch hc knows hmsc!tto bc nnoccnt. Thc judca! systcm (con-
tanng no proccdura! untarncss, !ct us supposc) has scntcnccd
hm to !tc mprsonmcnt, or dcath. May hc cscapcr May hc harm
anothcr n ordcr to cscapcr Thcsc qucstons dttcr trom thc onc ot
sblc, not mcrcly that ts moral bcnchts outwcgh ts moml costs, but that thcc
s no othcr altcrnatvc acton avalablc wth lcss moral cost, such that thc addt-
tonal moral cost oIthc contcmplatcd acton ovcr thc altcrnatvc outwcghs ts
addtonal moral bncht. (loradctalcddscusson oIthcsc ssucs sccmy 'Moml
Lomplcatons and Moral 5tructurcs, ` Natural Lu Foum, 1 968, pp. I-
5
0,
cspcally thc dscusson oI Frncplc V. ) Lnc would bc n a son t ad-
vancc thc dscusson oI many ssucs Ionc combncd such a pnncplc wtth a
thcory oIthc moral wcght oIharms or wrongs wth ccrtan spchcd pmbabl-
tcs, to gct an cxplctly probablhcd vcrson oIths prncplc. mcnton only
onc applcaton hcrc that mght not sprng to mnd. t ts oItcn assumcd that thc
only pachstpstonwhch s amoral pston absolutclyIorbds volcnt ton.
Any pachst poston that consdcrs thc chcctvcncss oI pachst tcchnqucs
.
s
lablcd tactcal rathcr than moral. but I a pachst holds that bccauc ccrtam
tcchnqucs oI sgnhcant chcctvcncss arc avalablc (cvlan rcsstancc, non-
volcnt dcIcnsc, satyagraha, and soon) t smoraly wrong to wagc orprcprc Ior
war, hc s puttng Iorth a comprchcnsblc poston that s a moral onc, and
whch dos rcqurc appal to Iacts abut thc chcctvcncss oIpachst tcchnqucs.
Lvcn thc lack oI ccrtanty abut thc cmcts oI varous actons (wars, pachst
tcchnqucs) thcprncplc to govcm thc moral dscusson oIwhct
.
hc nonpht
actons arc morally prmttcd s a probablhcd vcrson oIthc prmcplc (Fnnct-
pIc V) dcscrbd brchy abvc.
I OO State-o-Nature Thoy
whcthcr somconc wrongtuIIy attackng (or partcpatng n thc at-
tack ot)anothcrmaycIamscIt-dctcnscasj ustqnghskIIng thc
othcr whcn thc othcr, n scIt-dctcnsc, acts so as to cndangcr hs
own attackcr`s Itc. Hcrc thcanswcrs, `o. Thc attackcr shouId
not b attackng n thc mst pIacc, nor docs somconc cIsc`s thrcat-
cnnghm wthdcath unIcss hcdocsattackmakctpcrmssbIc tor
hm to do so. Hs job s to gct out ot that stuaton, thc taIs to
do so hc is at a moraI dsadvantagc. SoIdcrs who know thcr
country s wagng an aggrcssvc war and who arc mannng ant-
arcratt guns n dctcnsc ot a mItary cmpIaccmcnt may ucr n
scIt-dctcnsc hrc upon thc pIancs otthc attackcd naton whch s
actng n scIt-dctcnsc, cvcn though thc pIancs arc ovcr thcr hcads
andarcabout to bombtbem. t s asoIdcr`srcspnsbItyto dctcr-
mnc t hs sdc`s causc s j ust, t hc hnds thc ssuc tangIcd,
uncIcar, or conmsng, hc may not shtt thc rcsponsbIty to hs
Icadcrs , who wII ccrtanIy tcII hm thcr causc s just. Thc scIcc-
tvcconsccntous objcctor may bc rght n hs cIam that hc has a
moraI duty not to hght, and thc s , may not anothcr acqucsccnt
soIdcr bc punshcd tor dong what t was hs moraI duty not to
dor Thus wcrcturn to thcpont that somc bucksstop wth cach ot
us, and wc rcjcct thc moraIIy cItstvcw that somcsoIdcrs cannot
bc cxpctcd to thnk tor thcmscIvcs. (Thcy arc ccrtanIy not cn-
couragcd to thnk tor thcmscIvcs bythc practccotabsoIvng thcm
otaII rcsponsbIty tor thcr actons wthn thc ruIcs otwar. ) or
dowcsccwhy thcpoItcaIrcaIm s spccaI. Mhy, prccscIy, s onc
spcaIIy absoIvcd otrcsponsbIty tor actons whcn thcsc arc pcr-
tormcd jontIy wth othcrs trom poItcaI motvcs undcr thc drcc-
ton orordcrs otpoItcaI Icadcrsr '
Mc thus tar havc supposcd that you know that anothcr`s procc-
durc ot justcc dttcrs trom your own tor thc worsc. Supposc now
that you havc no rcIabIc knowIcdgc about anothcr`s proccdurc ot
j ustcc. Mayyou stop hm n scIt-dctcnsc and mayyour protcctvc
agcncy acttor you, soIcIy bccausc you or tdocs notknowwhcthcr
hs proccdurc s rcIabIcr Oo you havc thc rght to havc your guIt
or nnoccncc, and punshmcnt, dctcrmncd by a systcm known to
b rcIabIc and tarr Known to whomr Thosc wcIdng t may
know t to bc rcIabIc and tar. Oo you havc a rght to havc your
guIt or nnoccncc, and punshmcnt, dctcrmncd by a systcm u
know to bc rcIabIc and tarr Arc somconc`s rghts voIatcd t hc
Jhc btatc 1 01
thnks that onIy thc usc ottca Icavcs s rcIabIc or thc s ncapabIc
otconccntratng on thcdcscrpton otthc systcm othcrs usc so that
hc docsn`t know whcthcr ts rcIabIc, and so onr Onc may thnk
ot thc statc as thc authortatvc scttIcr otdoubts about rcIabIty
and tarncss. ut otcourscthcrc s no guarantcc that twiu scttIc
thcm (thc prcsdcnt otYaIc ddnt thnk Iack Panthcrs couId gct
a tar traI), and thcrc s no rcason to supposc t wII managc to do
so morc cttcctvcIy than anothcr schcmc. Thc naturaI-rghts tra-
dton ottcrs IttIc gudancc on prccscIy what onc`s proccduraI
rghts arc n a statc ot naturc, on how prncpIcs spccqng how
onc s to act havc knowIcdgc buIt nto thcr varous cIauscs , and
so on. Yct pcrsons wthn ths tradton do not hoId that thcrc arc
n proccduraI rghts, that s, that onc may not dctcnd oncscIt
aganst bcng handIcd by unrcIabIc or untar proccdurcs .
HOW MAY THE DOMI NANT AGE NCY ACT?
Mhat thcn may a domnant protcctvc assocaton torbdothcr n-
dvduaIs to dor Thc domnant protcctvc assocaton may rcscrvc
tor tscItthc rght to j udgc any proccdurc otj ustcc to bc appIcd
to ts cIcnts. tmayannouncc, and act on thc announccmcnt, that
t wII punsh anyonc who uscs on onc ot ts cIcnts a proccdurc
that t hnds to bc unrcIabIc or untar. t wII punsh anyonc who
uscs on onc ot ts cIcnts a proccdurc that t aIrcady knows to bc
unrcIabIc or untar, and t wII dctcnd ts cIcnts aganst thc
appIcaton ot such a proccdurc. May t announcc that t wII
punsh anyonc who uscs on onc otts cIcnts a proccdurc that t
has not, at thc tmc ot punshmcnt, aIrcady approvcd as rcIabIc
and tarr May t sct tscItup as havng to pass, n advancc, on any
proccdurc to bc uscd on onc otts cIcnts , so that anyonc usng on
onc ot ts cIcnts any proccdurc that has not aIrcady rcccvcd thc
protcctvc assocaton`s scaI otapprovaI wII bc punshcdr CIcarIy,
ndvduaIs thcmscIvcs donot havc ths rght. Tosay that annd-
vduaI may punsh anyonc who appIcs to hm a proccdurc ot jus-
tcc that has not mct hs approvaI wouId bc to say that a crmnaI
who rctuscs to approvc anyonc`s proccdurc ot justcc couId Icgt-
matcIy punsh anyonc who attcmptcd to punsh hm. t mght bc
1 02 State-oj-Nature Theoy
thought that a protcctvc assocaton !cgtmatc!y can do ths , tor
t wou!d not bc parta! to ts c!cnts n ths manncr. ut thcrc s
no guarantcc ot ths mparta!ty. or havc wc sccn any way that
such a ncw rght mght arsc trom thc combnng ot ndvdua!s`
prccxstng rghts. Mc must conc!udc that protcctvc assocatons
do not havc ths rght, nc!udng thc so!c domnant onc.
Lvcry ndvdua! docs havc thc rght that ntormaton sutb ccnt
to show that a proccdurc ot justcc about to bc app!cd to hm s
rc!ab!c and tar (or no !css so than othcr proccdurcs n usc) bc
madc pub!c!y ava!ab!c or madc ava!ab!c to hm. Hc has thc rght
to bc shown that hc s bcnghand!cd by somcrc!ab!cand tar sys-
tcm. n thc abscncc otsuch a showng hc may dctcnd hmsc!tand
rcsst thc mposton otthc rc!atvc!y unknown systcm. Mhcn thc
ntormaton s madc pub!c!y ava!ab!c or madc ava!ab!c to hm,
hc s naposton to know about thc rc!ab!ty and tarncss otthc
proccdurc. Hc cxamncs ths ntormaton, and thc bnds thc sys-
tcm wthn thc bounds ot rc!ab!ty and tarncss hc must submt
to t, hndng t unrc!ab!c and untar hc may rcsst. Hs subms-
son mcans that hc rctrans trom punshng anothcr tor usng ths
systcm. Hc may rcsst thc mposton ot ts partcu!ar dccson
though, on thc grounds that hc s nnoccnt. thc chooscs not to,
hc nccd not partcpatc n thc proccss whcrcby thc systcm dctcr-
mncs hs gu!t or nnoccncc. Sncc t has not yct bccn cstab!shcd
that hc s gu!ty, hc may not bc aggrcsscd aganst and torccd to
partcpatc. Howcvcr, prudcncc mght suggcst to hm that hs
chanccs ot bcng tound nnoccnt arc ncrcascd thc coopcratcs n
thc ottcrng otsomc dctcnsc.
Thc prncp!c s that a pcrson may rcsst, n sc!t-dctcnsc, t
othcrs try toapp!y to hm an unrc!ab!c or untarproccdurcotj us-
tcc. n app!yng ths prncp!c, an ndvdua! w!! rcsst thosc sys-
tcms whch attcr a!! consccntous consdcraton hc bnds to bc un-
tar or unrc!ab!c. An ndvdua! may cmpowcr hs protcctvc
agcncy to cxcrcsc tor hm hs rghts to rcsst thc mposton otany
proccdurc whch has not madc ts rc!ab!ty and tarncss known,
and to rcsst any proccdurc that suntar or unrc!ab!c. n Chap-
tcr z wc dcscrbcd brchy thc proccsscs that wou!d !cad to thc
domnancc ot onc protcctvc assocaton n a gvcn arca, or to a
domnant tcdcraton otprotcctvc assocatons usng ru!cs to pcacc-
tu!!y adjudcatc dsputcs among thcmsc!vcs . Ths domnant pro-
Jhc btatc 1 0
3
tcctvc associatton w!! prohbt anyonc trom app!yng to ts
mcmbcrs any proccdurc about whch nsutbccnt ntormaton s
ava!ab!c as to ts rc!ab!ty and tarncss . t a!so w!! prohbt any-
onc trom app!yng to ts mcmbcrs an unrc!ab!c or untar procc-
durc, whch mcans , sncctbe arc app!yng thc prncp!c and havc
thc musc!c to do so, that othcrs arc prohbtcd trom app!yng to
thc protcctvc assocaton`s mcmbcrs any proccdurc thc protcctvc
assocaton dccms untaror unrc!ab!c. Lcavng asdc thc chanccs ot
cvadng thc systcm`s opraton, anyonc vo!atng ths prohbton
w!! bc punshcd. Thc protcctvc assocaton w!! pub!sh a !st ot
thosc proccdurcs t dccms tar and rc!ab!c (andprhaps otthosc t
dccms othcrwsc),andtwou!d takc abravcsou!ndccd to procccd
to app!y a known proccdurc not yct on ts approvcd !st. Sncc an
assocaton`s c!cnts w!! cxpcct t to do a!! t can to dscouragc
unrc!ab!c proccdurcs, thc protcctvc assoaton w!! kccp ts !st
up-to-datc, covcrng a!! pub!c!y knownproccdurcs.
t mght bc c!amcd that our assumpton that proccdura! rghts
cxst makcs our argumcnt too casy. Oocs a prson whodid vo!atc
anothcr`s rghts hmsc!thavc a rght that ths tact bc dctcrmncd
by a tar and rc!ab!c proccdurcr t s truc that an unrc!ab!c
proccdurc w!! too ottcn hnd an nnoccnt pcrson gu!ty. ut docs
app!yng such an unrc!ab!cproccdurc to agudt pcrson vo!atc any
rght othsr May hc, n sc!t-dctcnsc, rcsst thc mposton otsuch
aproccdurc upn hmsc!tr ut what wou!d hc bc dctcndng hm-
sc!taganstr Too h;gh a probab!ty ota punshmcnt hc dcscrvcsr
Thcsc qucstons arc mportant oncs tor our argumcnt. ta gu!ty
pcrson may not dctcnd hmsc!t aganst such proccdurcs and a!so
may not punsh somconc c!sc tor usng thcm upon hm, thcn may
hs protcctvc agcncy dctcnd hm aganst thc proccdurcs or punsh
somconc attcrwards tor havng uscd thcm upon hm, ndcpn-
dcnt!yotwhcthcr or not (and thcrctorc cvcn t) hc turnsout to b
gu!tyr Onc wou!d havc thought thc agcncy`s on!y rghts otacton
arc thosc ts c!cnts transtcr to t. ut tagu!tyc!cnthas no such
rght, hc cannot transtcr t to thc agcncy.
Thc agcncy docs not, ot coursc, knw that ts c!cnt s gu!ty,
whcrcas thc c!cnt hmsc!tdocs know (!ct us supposc) oths own
gu!t . ut docs ths dttcrcncc n know!cdgc makc thc rcqustc
dttcrcnccr sn` t thc gnorant agcncy rcqurcd to nvcstgatc thc
qucston otts c!cnt`s gu!t, nstcad otprocccdng on thc assump-
1 04 State-oj-Nature Theoy
ton ol hs nnoccncc! Jhc dllcrcncc n cpstcmc stuaton bc-
twccn agcncy and cIcnt tan makc thc loIIowng dllcrcncc. Jhc
agcncy may undcr somc crcumstanccs dclcnd ts cIcnt aganst thc
mposton ol a pcnaIty whIc promptIy procccdng to nvcstgatc
thc qucston ol hs guIt. lthc agcncy knows that thc punshng
partyhasuscd a rcIabIc proccdurc, t acccpts ts vcrdct olguIty,
andt cannot ntcrvcnc onthcassumpton that tscIcnts, orwcII
mght bc, nnoccnt. lthc agcncy dccms thc proccdurc unrcIabIc
or docsn`t know how rcIabIc t s, t nccd not prcsumc ts cIcnt
guIty, and t may nvcstgatc thc mattcr tscIl. lupon nvcstga-
ton t dctcrmncs that ts cIcnt s guIty, t aIIows hm to bc
punshcd. Jhs protccton ol ts cIcnt aganst thc actuaI mpos-
ton ol thc pcnaIty s rcIatvcIy straghtlorward, cxccpt lor thc
qucston olwhcthcr thc agcncy must compcnsatc thc prospcctvc
punshcrs lor any costs mposcd upon thcm by havng to dcIay
whIc thc protcctvc agcncy dctcrmncs to ts satslacton ts own
cIcnt`s guIt . t wouId sccm that thc protcctvc agcncy docs havc
to pay compcnsaton to uscrs olrcIatvcIy unrcIabIc proccdurcs lor
anydsadvantagcs causcd by thc cnlorccd dcIay, and to thc uscrs ol
proccdurcsolunknown rcIabIty t must pay luIIcompcnsaton l
thc proccdurcs arc rcIabIc, othcrwsc compcnsaton lor dsadvan-
tagcs. (ho bcars thc burdcn olprooln thc qucston olthc rcIa-
bIty ol thc proccdurcs !) Sncc thc agcncy may rccovcr ths
amount (lorcbIy) lrom ts cIcnt who asscrtcd hs nnoccncc, ths
wII bc somcthng ola dctcrrcnt to laIsc pIcas ol nnoccncc.
Jhc agcncy` s tcmporary protccton and dclcnsc aganst thc n-
h cton ol thc pcnaIty s rcIatvcIy straghtlorward. Lcss straght-
lorward s thc protcctvc agcncy`sappropratc acton altcr apcnaIty
has bccn nhctcd. l thc punshcr`s proccdurc was a rcIabIc onc,
thc agcncy docs not act aganst thcpunshcr. but may thc agcncy
punsh somconc who punshcs ts cIcnt, actng on thc bass olan
Llcnts no doubt would cmpowcr thcr agcncy to procccd as dcscrbd n
thc tcxt, Ithc clcnt hmsclIs unablc to say whcthcr hc s gulty or nnoccnt,
prhaps bccausc hc s unconscous , agrccng to rcplacc any compnsatng
amount thc agcncy must pay to thc prospctvc punshcr.
hs dctcrrcnt to Ialsc plcas oI nnoccncc mght act also to dctcr somc n-
noccntpoplcaganstwhom thc cvdcncc sovcrwhclmngIrom protcstng thcr
nnoccncc. hcrc wll bc Icw such cascs, but t may b to avod ths undcsrablc
dctcrrcncc that a prson who s Iound gulty byond a rcasonablc doubt ahcr
havng plcadcd nnoccnt s not also pnalzcd Ior prjury.
hc 5tatc
1 05
unrcIabIc proccdurc! May tpunsh that pcrson ndcpcndcntIy ol
whcthcr or not ts cIcnt is guIty! Cr must t nvcstgatc, usng
ts own rcIabIc proccdurc, to dctcrmnc hs guIt or nnoccncc,
punshng hs punshcrs en! l t dctcrmncs ts cIcnt nnoccnt!
(Cr s t. l t laIs to hnd hm guIty!) by what rght couId thc
protcctvc agcncy announcc that t wII punsh anyonc usng an
unrcIabIc proccdurc who punshcs ts cIcnts, ndcpcndcntIy olthc
guIt or nnoccncc ol thc cIcnts!
Jhc pcrson who uscs an unrcIabIc proccdurc, actng upon ts
rcsuIt , mposcs rsks upon othcrs, whcthcr or not hs proccdurc
mshrcs n a partcuIar casc. Somconc pIayng Kussan rouIcttc
upon anothcr docs thc samc thng lwhcn hc puIIs thc trggcr thc
gun docs not hrc. Jhc protcctvc agcncy may trcat thc unrcIabIc
cnlorccr ol ustcc as t trcats any pcrlormcr ola rsky acton. c
dstngushcd n Lhaptcr 4 a rangc olpossbIc rcsponscs to a rsky
acton, whch wcrc appropratc n dllcrcnt sorts olcrcumstanccs.
prohbton, compcnsaton to thosc whosc boundarcs arc crosscd,
and compnsaton to aII thosc who undcrgo a rsk ol a boundary
crossng. Jhc unrcIabIc cnlorccr ol ustcc mght cthcr pcrlorm
actons othcrs arc lcarluI ol, or not, and cthcr mght bc donc to
obtan compcnsaton lor somc prcvous wrong, or to cxact rctrbu-
ton. " A pcrson who uscs an unrcIabIc proccdurc olcnlorcng us-
tcc and s Icd to pcrlorm somc un/mred acton wII not bc pun-
shcdaltcrwards. lt turnsoutthat thc pcrson on whom hc actcd
was guIty and that thc compcnsaton takcn was appropratc, thc
stuaton wII bc Iclt as s. lthc pcrson on whom hc actcd turns
out to bc nnoccnt, thc unrcIabIc cnlorccr olustccmay bc lorccd
luIIy to compcnsatc hm lor thc acton.
Cn thcothcrhand, thcunrcIabIc cnlorccr olustcc may bclor-
bddcn to mposc thosc conscqucnccs that wouId bc lcarcd l cx-
pcctcd. hy! l donc lrcqucntIy cnough so as to crcatc gcncraI
lcar, such unrcIabIc cnlorccmcnt may bc lorbddcn n ordcr to
avod thc gcncraI uncompnsatcd-lor lcar. Lvcn ldonc rarcIy, thc
unrcIabIc cnlorccr may b punshcd lor mposng ths lcarcd con-
scqucncc upon an nnoccnt pcrson. but l thc unrcIabIc cnlorccr
acts rarcIy and crcatcs no gcncraI lcar, why may hc bc punshcd lor
mposng alcarcd conscqucnccuenaersenwbeisgui!t A systcm
ol punshng unrcIabIc punshcrs lor thcr punshmcnt ol guIty
pcrsons wouId hcIp dctcr thcm lrom usng thcr unrcIabIc systcm
1 06 State-oj-Nature Theoy
upon anyonc and thcrclorc lrom usng t upn nnoccnt pcopIc.
ut not cvcrythng that wouId ad n such dctcrrcncc may bc
nhctcd. Thc qucston s whcthcr t wouId bc Icgtmatc n ths
casc to punsh altcr thc lact thc unrcIabIc punshcr ol somconc
who turncd out to bc guIty.
o onc has a rght to usc a rcIatvcIy unrcIabIc proccdurc n
ordcr to dccdc whcthcr to punsh anothcr. Lsng such a systcm,
hc s n no poston to know that thc othcr dcscrvcs punshmcnt,
hcncc hc has no rght to punsh hm. ut howcan wc say ths !l
thc othcr has commttcd a crmc, docsn` teveryene n a statc olna-
turc havc a rght to punsh hm And thcrclorc docsn`t somconc
whodocsn`tknow that thsothcr prsonhascommttcd thc crmc
Hcrc, t sccms tomc, wc lacc a tcrmnoIogcaI ssuc about how to
mcrgc cpstcmc consdcratons wth rghts. ShaII wc say that
somconc docsn`t havc a rght to do ccrtan thngs unIcss hc knows
ccrtan lacts, or shaII wc say that hc docs havc a rght but hc docs
wrong n cxcrcsng t unIcss hc knows ccrtan lacts t may bc
ncatcr to dccdc t oncway, but wc can stII say aII wc wsh n thc
othcr modc, thcrc s a smpIc transIaton bctwccn thc two modcs
l d
I
.
o tscoursc. Mc shaII pick thc Iattcr modc ol spcch, l any-
thng, ths makcs our argumcntIooklo compIIng. lwc assumc
that anyonc has a rght to takc somcthng that a thclhas stoIcn,
thcn undcr ths Iattcr tcrmnoIogy somconc who takcs astoIcn ob-
j cct lrom a thcl, wthout knowng thad bccn stoIcn, had a rght
to takc thc objcct, but sncc hc ddn` t know hc had ths rght, bis
takng thc objcct was wrong and mprmssbIc. Lvcn though no
rght olthc brst thcls voIatcd, thc sccond ddn`t know ths and
so actcd wrongIyand mpcrmssbIy.
Havng takcn ths tcrmnoIogcaI lork, wc mght proposc an
cpstcmcprncpIcolbordcrcrossng. ldongactA wouIdvoIatc
_` s rghts unIcss condton C obtancd, thcn somconc who dos
not know thatC obtans may not doA . Sncc wc may assumc that
aII know that nh ctng a punshmcnt upon somconc voIatcs hs
rghts unIcss hc s guIty olan ollcnsc, wc may makc do wth thc
wcakcr prncpIc. !lsomconc knews that dong actA wouId voIatc
_`s rghts unIcss condton Cobtancd, hc may not doA lhc docs
not know that C obtans . Mcakcr stII, but sulhccnt lor our pur-
poscs , s. l somconc knows that dong act A wouId voIatc _` s
Jhc btatc 107
rghts unIcss condtonC obtancd, hc may not doA lhc has not
asccrtancd that C obtans through bcng n thc bcst lcasbIc pos-
ton lor asccrtanng ths. (Ths wcakcnng olthc conscqucnt aIso
avods varous probIcms conncctcd wth cpstcmoIogcaI skcp-
tcsm. ) Anyonc may punsh a voIator olths prohbton. Morc
prccscIy, anyonc has thc rght so to punsh a voIator, pcopIc may
do so onIy lthcy thcmscIvcs don`t run alouI ol thc prohbton,
that s , onIy lthcy thcmscIvcs havc asccrtancd that anothcr vo-
Iatcd thc prohbton, bcng n thc bcst poston to havc asccr-
tancd ths.
On ths vcw, what a prson may do s net Imtcd onIy by thc
rghts ol othcrs. An unrcIabIc punshcr voIatcs no rght ol thc
guIty pcrson, but stII hc may not punshhm. Ths cxtraspacc s
crcatcd by cpstcmc consdcratons. (t wouId bc a lcrtIc arca lor
nvcstgaton, lonc couId avoddrownng n thc morass olconsd-
cratons about subjcctvc-ought` and 'objcctvc-ought.`) otc
that on ths construaI , a pcrson docs not havc a rght that hc bc
punshcd onIy by usc ol a rcIatvcIy rcIabIc proccdurc. (Lvcn
though hc may, lhc so chooscs, gvc anothcr pcrmsson to usc a
Icss rcIabIc proccdurc on hm. ) On ths vcw, many proccduraI
rghts stcm not lrom rghts ol thc pcrson actcd upon, but rathcr
lrom moraI consdcratons abut thc pcrson or pcrsons dong thc
actng.
t s not cIcar to mc that ths s thc propcr locus. Fcrhaps thc
pcrson actcd upon docs havc such proccduraI rghts aganst thc
uscr ol an unrcIabIc proccdurc. (ut what s a guilt pcrson`s
compIant aganst an unrcIabIc proccdurc. That t s too I kcIy to
mspunsh hm MouId wc havc thc uscr ol an unrcIabIc procc-
durc compcnsatc thc guIty pcrson hc punshcd, lor voIatng hs
rght ) Mc havc sccn thatour argumcnt lor a protcctvc agcncy`s
punshng thc wcIdcr ol thc unrcIabIc proccdurc lor nhctng a
pcnaIty upon ts cIcnt wouId go much morc smoothIy wcrc ths
so. Thc cIcnt mcrcIy wouId authorzc hsagcncy to act to cnlorcc
hs proccduraI rght. or thc purposcs ol our subargumcnt hcrc,
wc havc shown that our concIuson stands, cvcnwthout thclacI-
tatng assumpton olproccduraI rghts. (Mcdonotmcan to mpIy
that thcrc arcn` t such rghts. ) n cthcr casc, a protcctvc agcncy
may punsh a wcIdcr ol an unrcIabIc or unlar proccdurc who
1 08 State-oj-Nature Theoy
(aganst thc cIcnt`s wII)has punshcd onc otts cIcnts, ndcpcn-
dcntIy otwhcthcr or not ts cIcnt actuaIIy s guIty and thcrctorc
cvcn tts cIcnt s guIty.
THE DE FACTO MONOPOLY
Thc tradton otthcorzng about thc statc wc dscusscd brchy n
Chaptcr z has astatccIamng a monopoIy on thc uscottorcc. Has
any monopoIy cIcmcnt yct cntcrcd our account ot thc domnant
protcctvc agcncyr Lveene may dctcnd hmscItaganst unknown
or unrcIabIc proccdurcs and may punsh thosc who usc orattcmpt
to usc such proccdurcs aganst hm. As ts cIcnt`s agcnt, thc pro-
tcctvc assocaton has thc rght to do ths tor ts cIcnts. !t grants
that cvcry ndvduaI , ncIudng thoscnet athIatcd wth thc asso-
aton, has ths rght. So tar, no monopoIy s cIamcd. To bc surc,
thcrc s a unvcrsaI cIcmcnt n thc contcnt otthc cIam. thc rght
to pass onanene's proccdurc. ut tdocs not cIam to bc thc soIc
posscssor otths rght, cvcryonchas t. Snccno cIam smadcthat
thcrc s somc rght whch t and onIy t has, no monopoIy s
cIamcd. Mth rcgard to ts own cIcnts, howcvcr, t appIcs and
cntorccs thcsc rghts whch t grants that cvcryonc has. t dccms
ts own proccdurcs rcIabIc and tar. Thcrc wII bc a strong tcn-
dcncy tor t to dccm aII othcr proccdurcs, or cvcn thc samc`
proccdurcs run by othcrs , cthcr unrcIabIc or untar. ut wc nccd
not supposc t cxcIudcs evp othcr proccdurc. Lvcryonc has thc
rght to dctcnd aganst proccdurcs that arc n tact not, or not
known to bc, both rcIabIc and tar. Sncc thc domnant protcctvc
assocaton judgcs ts own proccdurcs to bc both rcIabIc and tar,
and bcIcvcs ths to bc gcncraIIy known, t wII not aIIow anyonc
to dctcnd agansttbem, that s, t wII punsh anyonc who docs so.
Thcdomnant protcctvc assocaton wII act trccIy on tsownun-
dcrstandngotthcstuaton, whcrcas no onccIsc wII bc abIc todo
so wth mpunty. AIthough no monopoIy s cIamcd, thc dom-
nantagcncy docs occupy a unqucposton by vrtuc otts powcr.
!t, and t aIonc, cntorccs prohbtonsonothcrs` proccdurcs otjus-
tcc, as t sccs ht. !tdocs not cIam thcrghttoprohbtothcrs ar-
btrarIy, t cIams onIy thc rght to prohbt anyonc`s usng actu-
Jhc btatc 1 0
9
aIIy dctcctvc proccdurcs on ts cIcnts. ut whcn t sccs tscIt as
actng aganst actuaIIy dctcctvc proccdurcs , othcrs may scc t as
actng aganstwhat t thnks arc dctcctvc proccdurcs. !t aIonc wII
acttrccIy aganst what t thnks arc dctcctvc proccdurcs , whatcvcr
anyonc cIsc thnks. As thc most powcrtuI appIcr ot prncpIcs
whch tgrants cvcryonc thc rght to appIyteettl, t cntorccs ts
wII, whch, trom thc nsdc, t thnksis corrcct. rom ts strcngth
stcms ts actuaI poston as thc uItmatc cntorccr and thc uItmatc
j udgc wth rcgard to ts own cIcnts. CIamng onIy thc unvcrsaI
rght to act corrcctIy, t acts corrcctIy by ts own Ights. !t aIonc s
n a poston to act soIcIy by ts own Ights .
Oocs ths unquc poston consttutc a monopoIy Thcrc s no
rght thc domnant protcctvc assocaton cIams unqucIy to pos-
scss. ut ts strcngth Icads t to bc thc unquc agcnt actng across
thc board to cntorcc apartcuIar rght. !t s not mcrcIy that t ba-
ens to bc thc onIy cxcrcscr ota rght t grants that aII posscss , thc
naturcotthc rght s such that oncca domnantpowcrcmcrgcs, t
aIonc wII actuaIIy cxcrcsc that rght. or thc rght ncIudcs thc
rght to stop othcrs trom wrongtuIIy cxcrcsng thc rght, and onIy
thc domnant powcr wII bc abIc to cxcrcsc ths rght aganst aII
othcrs. Hcrc, tanywhcrc, s thc pIacc tor appIyng somc noton ot
ade/atte monopoIy. amonopoIy that s notde)ure bccauscts not
thc rcsuIt otsomc unquc grant otcxcIusvc rght whIc othcrs arc
cxcIudcd trom cxcrcsng a smIar prvIcgc. Othcr protcctvc
agcnccs, to bc surc, can cntcr thc markct and attcmpt to wcan
customcrs away trom thc domnant protcctvc agcncy. Thcy can
attcmpt to rcpIacc t as thc domnant onc. ut bcng thc aIrcady
domnant protcctvc agcncy gvcs an agcncy a sgnbcant markct
advantagc n thccompcttontorcIcnts. Thc domnant agcncycan
ottcr ts customcrs a guarantcc that no othcr agcnccs can match.
`OnIy thosc proccdurcs we dccm appropratc wII bc uscd on our
customcrs .
Thc domnant protcctvc agcncy's doman docs net cxtcnd to
quarrcIs otnoncIcntsamengtbemselves. !t onc ndcpcndcnt s about
to usc hs proccdurc ot j ustcc upon anothcr ndcpndcnt, thcn
prcsumabIy thc protcctvc assocaton wouId havc no rght to n-
tcrvcnc. !t wouId havc thc rght wc aII do to ntcrvcnc to ad an
unwIIng vctm whosc rghtsarcthrcatcncd. ut sncc tmaynot
ntcrvcnc on patcrnaIstc grounds, thc protcctvc assocaton
I IO
State-oj-Nature Theoy
wouId havc no propcr busncss ntcrtcrng t both ndcpcndcnts
wcrc satshcd wth tbeir proccdurc ot justcc. Jhs docs not show
that thc domnant protcctvc assocaton s not a statc. A statc,
too, couId abstan trom dsputcs whcrc aII conccrncd partcs chosc
to opt out otthc statc`s apparatus . (Jhough t s morc dthcuIt tor
pcopIc to opt out ot thc statc n a Imtcd way, by choosng somc
othcr proccdurc tor scttIng a partcuIar quarrcI otthcrs. or that
proccdurc`s scttIcmcnt, and thcr rcactons to t, mght nvoIvc
arcas that not aII partcs conccrncd havc rcmovcd voIuntarIy trom
thc statc`s conccrn. ) And shouIdn`t (and mustn`t) cach statc aIIow
that opton to ts ctzcns!
PROTECTI NG OTHERS
t thc protcctvc agcncy dccms thc ndcpcndcnts` proccdurcs tor
cntorcng thcr own rghts nsuthccntIy rcIabIc or tar whcn ap-
pIcd to ts cIcnts , t wII prohbt thc ndcpcndcnts trom such
scIt-hcIp cntorccmcnt. Jhc grounds tor ths prohbton arc that
thc scIt-hcIp cntorccmcnt mposcs rsks ot dangcr on ts cIcnts .
Sncc thc prohbton makcs t mpossbIc tor thc ndcpcndcnts
crcdbIy to thrcatcn to punsh cIcnts who voIatc thcr rghts , t
makcs thcm unabIc to protcct thcmscIvcs trom harm and scrousIy
dsadvantagcs thc ndcpcndcnts n thcr daIy actvtcs and Itc.
Yct t spcrtcctIypossbIc that thc ndcpcndcnts` actvtcs ncIud-
ng scIt-hcIp cntorccmcnt couId procccd wthout anyonc`s rghts
bcng voIatcd (Icavng asdc thc qucston ot proccduraI rghts).
Accordng to ourprncpIc otcompcnsatongvcn nLhaptcr 4, n
thcsc crcumstanccs thosc pcrsons promuIgatng and bcnchtng
trom thc prohbton must compcnsatc thosc dsadvantagcd by t.
JhccIcntsotthc protcctvcagcncy, thcn, must compnsatcthc n-
dcpcndcnts tor thc dsadvantagcs mposcd upon thcm by bcng
prohbtcd scIt-hcIp cntorccmcnt ot thcr own rghts aganst thc
agcncy`s cIcnts. LndoubtcdIy, thc Icast cxpcnsvcway to compn-
satc thc ndcpcndcnts wouId bc tosul thcm wthprotcctvcscr-
vccs to covcr thosc stuatons ot conhct wth thc payng cus-
tomcrs ot thc protcctvc agcncy. Jhs wII bc Icss cxpcnsvc than
Icavng thcm unprotcctcd aganst voIatons otthcr rghts (by not
hc 5tatc 1 1 1
punshng any cIcnt who docs so) and thcn attcmptng to pay
thcm ahcrwards to covcr thcr Iosscs through havng (and bcng n
a poston n whch thcy wcrc cxpscd to havng) thcr rghts
voIatcd. tt wcrc net Icss cxpcnsvc, thcn nstcad otbuyng pro-
tcctvc scrccs, popIc wouId savc thcr moncy and usc t to covcr
thcr Iosscs, prhaps by ontIy poIng thcr moncy n an nsur-
ancc schcmc.
Must thc mcmbcrs ot thc protcctvc agcncya tor protcctvc
scrvccs (vs--vs ts cIcnts) tor thc ndcpcndcnts! Lan thcy nsst
that thc ndcpcndcnts purchasc thc scrvccs thcmscIvcs! Ahcr I ,
usng scIt-hcIp proccdurcs wouId not havc bccn wthout costs tor
thc ndcpndcnt. Jhc prncpIc ot compnsaton docs not rcqurc
thosc who prohbt an cpIcptc trom drvng to pay hs hII cost ot
taxs , chauttcurs, and so on. tthc cpIcptc wcrc aIIowcd to run
hs own automobIc, ths too wouId havc ts costs. moncy tor thc
car, nsurancc, gasoInc, rcpar bIIs, and aggravaton. n compn-
satng tordsadvantagcs mpscd, thc prohbtors nccd pay onIy an
amount suthccnt to compcnsatc tor thc dsadvantagcs ot thc pro-
hbton minus an amount rcprcscntng thc costs thc prohbtcd
partywouIdhavc borncwcrc tnottor thcprohbton. Jhcprohb-
tors nccdn` t pay thc compIctc costs ottaxs, thcy must pay onIy
thc amount whch whcncombncd wth thccosts to thcprohbtcd
party otrunnng hs ownprvatc automobIc s suthccnt tor taxs.
Jhcy may hnd t Icss cxpcnsvc to compcnsatc n knd tor thc
dsadvantagcs thcy mposc than to suppIy monctary compcnsaton,
thcy maycngagc nsomcactvty that rcmovcs orpartaIIy Icsscns
thc dsadvantagcs, compcnsatng n moncy onIy tor thc nct dsad-
vantagcs rcmammg.
tthc prohbtor pays to thc prson prohbtcd monctary com-
pcnsaton cquaI to an amount that covcrs thc dsadvantagcs m-
pscd minus thc costs ot thc actvty whcrc t prmttcd, ths
amount may bc nsuthccnt to cnabIc thc prohbtcd party to ovcr-
comc thc dsadvantagcs. ths costs n pcrtormng thc prohbtcd
acton wouId havc bccn monctary, hc can combnc thc compnsa-
ton paymcnt wth ths moncy unspcnt and purchasc thc cquva-
Icnt scrvcc. but t hs costs wouId not havc bccn drcctIy monc-
tary but nvoIvc cncrgy, tmc, and thc Ikc, as n thc casc ot thc
ndcpcndcnt`s scIt-hcIp cntorccmcnt ot rghts, thcn ths monctary
paymcnt ot thc dttcrcncc wII not by tscItcnabIc thc prohbtcd
1 1 2 State-oj-Nature Theoy
party to ovcrcomc thc dsadvantagc by purchasng thc cquva!cnt
ot what hc s prohbtcd. !t thc ndcpcndcnt has othcr hnanca!
rcsourccs hc can usc wthout dsadvantagng hmsc!t, thcn ths
paymcntotthc dttcrcncc w!! suthcc to !cavc thcprohbtcdparty
undsadvantagcd. ut t] thc ndcpcndcnt has no such othcr hnan-
ca! rcsourccs, aprotcctvc agcncy maynetpay hm an amountlos
than thc cost ot ts !cast cxpcnsvc protcctvc po!cy, and so !cavc
hm on!y thc a!tcrnatvcs ot bcng dctcnsc!css aganst thc wrongs
ottsc!cntsor havng to work nthccashmarkct to carn suthccnt
tunds to totaI thcprcmum onapo!cy. or thshnanca!!y prcsscd
prohbtcd ndvduaI , thc agcncy must makc up thc dttcrcncc bc-
twccn thc meneta costs to hm ot thc unprohbtcd actvty and
thc amount ncccssary to purchasc an ovcrcomng or countcr-
ba!ancngotthc dsadvantagc mposcd. Thcprohbtor must com-
p!ctc!y supp!y cnough, n moncy or n knd, to ovcrcomc thc
dsadvantagcs. o compcnsaton nccd bc provdcd to somconc
who wou!d not bc dsadvantagcd by buyngprotccton tor hmsc!t.
or thosc ot scantcr rcsourccs , to whom thc unprohbtcd actvty
had no monctary costs, thcagcncy must provdc thc dttcrcncc bc-
twccn thc rcsourccs thcy can sparc wthout dsadvantagc and thc
cost otprotccton. or somconc tor whom t had somc monctary
costs , thc prohbtor mustsupp!y thcaddtona! monctary amount
(ovcr and abvc what thcy can sparc wthout dsadvantagc) ncccs-
sary to ovcrcomc thc dsadvantagcs . !tthc prohbtors compcnsatc
n knd, thcy may tbarge thc hnanca!!y prcsscd prohbtcd party
tor ths, up to thc monctary costs to hm oths unprohbtcd actv-
ty provdcd ths amount s not grcatcr than thc prcc ot thc
good. ' ' As thc on!y cttcctvc supp!cr, thc domnant protcctvc
agcncy must ottcr n compcnsaton thc dttcrcncc bctwccn ts own
tccand monctary costs to ths prohbtcd partyotsc!t-hc!pcntorcc-
mcnt. !t a!most a!ways w!! rcccvc ths amount back n parta!
paymcnt tor thc purchasc ot a protccton po!cy. !t gocs wthout
sayng that thcsc dca!ngs and prohbtons app!y on!y to thosc
usng unrc!ab!c or unmr cntorccmcnt proccdurcs .
Thus thc domnant protcctvc agcncy must supp!y thc ndcpcn-
dcnts-that s, cvcryonc t prohbts trom sc!t-hc!p cntorccmcnt
aganst ts c!cnts on thc grounds that thcr proccdurcs otcntorcc-
mcnt arc unrc!ab!c or untar-wth protcctvc scrvccs aganst ts
c!cnts, t may havc to provdc somc pcrsons scrvccs tor a tcc that
Jhc btatc 1 1 3
s !css than thc prtcc ot thcsc scrvccs. Thcsc pcrsons may, ot
coursc, choosc to rctusc to pay thc tcc and so do wthout thcsc
compcnsatory scrvccs. !tthcdomnant protcctvc agcncy provdcs
protcctvc scrvccs n ths way tor ndcpcndcnts, won` t ths !cad
pcop!c to !cavc thc agcncy n ordcr to rcccvc ts scrvccs wthout
payng ot to any grcat cxtcnt, sncc compnsaton s pad on!y
to thosc who wou!d bc dsadvantagcd by purchasng protccton tor
thcmsc!vcs, and on!y n thc amount that w!! cquaI thc cost otan
untancy po!cy whcn addcd to thc sum ot thc monctary costs ot
sc!t-hc!p protccton p!us whatcvcr amount thc pcrson comtortab!y
cou!d pay. urthcrmorc, thc agcncy protccts thcsc ndcpcndcnts t
compcnsatcs on!y aganst ts own payng c!cnts on whom thc n-
dcpndcnts arc torbddcn to usc sc!t-hc!p cntorccmcnt . Thc morc
trcc rdcrs thcrc arc, thc morc dcsrab!c t s to bc a c!cnt a!ways
protcctcd by thcagcncy. Ths tactor, a!ong wththcothcrs, acts to
rcducc thc numbcr ot trcc rdcrs and to movc thc cqu!brum
toward a!most unvcrsa! partcpaton.
THE STATE
Mc sct oursc!vcs thc task, n Chaptcr 3 , otshowng that thc dom-
nant protcctvc assocaton wthn a tcrrtory satshcd two cruca!
ncccssarycondtons tor bcng astatc. that thad thc rcqustcsort
otmonopo!y ovcr thc usc ottorcc n thc tcrrtory, and that tpro-
tcctcd thc rghts otcvcryonc n thc tcrrtory, cvcn tths unvcrsa!
protccton cou!d bc provdcd on!y n a `rcdstrbutvc tashon.
Thcsc vcry cruca! taccts otthc statc consttutcd thc subjcct otthc
ndvdua!stanarchsts` condcmnatonotthc statc as mmora! . Mc
a!so sct oursc!vcs thc task ot showng that thcsc monopo!y and rc-
dstrbutvc c!cmcntswcrc thcmsc!vcs mora!!y !cgtmatc, otshow-
ng that thc transton trom a statc ot naturc to an u!tramnma!
statc (thc monopo!y c!cmcnt) was mora!!y !cgtmatc and vo!atcd
no onc`s rghts and that thc transton trom an u!tramnma! to a
mnma! statc (thc `rcdstrbutvc` c!cmcnt) a!so was mora!!y !c-
gtmatc and vo!atcd no oncs rghts .
A protcctvc agcncy domnant n a tcrrtory docs satsty thc two
cruca! ncccssary condtons tor bcng a statc. !t s thc on!y gcncr-
: : 4
State-oJ-Natlre Theoy
aIIy chcctvc cntorccr ota prohbton on othcrs` usng unrcIabIc
cntorccmcnt proccdurcs (caIIng thcm as t sccs thcm), and tovcr-
sccs thcsc proccdurcs. And thc agcncy protccts thosc noncIcnts n
ts tcrrtory whom t prohbts trom usng scIt-hcIp cntorccmcnt
proccdurcs on ts cIcnts, n thcr dcaIngs wth ts cIcnts, cvcn t
such protccton must bc hnanccd (n apparcnt rcdstrbutvc tash-
on) by ts cIcnts. !t s moraIIy rcqurcd to do ths by thc prnc-
pIc otcompnsaton, whch rcqurcs thosc who act n scIt-protcc-
ton n ordcr to ncrcasc thcr own sccurty to compnsatc thosc
thcy prohbt trom dong rsky acts whch mght actuaIIy havc
turncd out to bc harmIcss
'
tor thc dsadvantagcs mposcd upon
thcm.
Mc notcd n bcgnnng Chaptcr 3 that whcthcr thc provson ot
protcctvc scrvccs tor somc by othcrs was rcdstrbutvc` wouId
dcpcnd upon thc rcasons tor t. Mc now scc that such provson
nccd not bc rcdstrbutvc sncc tcan bc justhcd onothcr than rc-
dstrbutvc grounds , namcIy, thosc provdcd n thc prncpIc ot
compcnsaton. (KccaII that rcdstrbutvc` appIcs to rcasons tor a
practcc or nsttuton, and onIy cIIptcaIIy and dcrvatvcIy to thc
nsttuton tscIl. )To sharpn ths pont, wc can magnc that pro-
tcctvc agcnccs ottcr two typcs ot protccton poIccs. thosc pro-
tcctng cIcnts aganst rsky prvatc cntorccmcnt ot justcc and
thosc not dong so but protcctng onIy aganst thctt, assauIt, and
so torth (provdcd thcsc arc not donc n thc coursc ot prvatc cn-
torccmcnt otjustcc). Sncc t s onIy wth rcgard to thosc wth thc
hrst typ otpoIcy that othcrs arc prohbtcd trom prvatcIy cntorc-
ng justcc, onIy thcy wII bc rcqurcd to compcnsatc thc pcrsons
prohbtcd prvatc cntorccmcnt tor thc dsadvantagcs mposcd
upon thcm. Thc hoIdcrs otonIy thc sccond typc otpoIcy wII not
havc to pay tor thc protccton otothcrs , thcrc bcng nothng thcy
havc to compcnsatc thcsc othcrs tor. Sncc thc rcasons tor wantng
to bc protcctcd aganst prvatc cntorccmcnt ot justcc arc compcI-
Ing, aImost aII who purchasc protccton wII purchasc ths typcot
protccton, dcsptc ts cxtra costs, and thcrctorc wII bc nvoIvcd n
provdng protccton tor thc ndcpcndcnts.
Mc havc dschargcd our task ot cxpIanng how a statc wouId
arsc trom a statc otnaturc wthout anyonc`s rghts bcng voIatcd.
Thc moraI objcctons otthc ndvduaIst anarchst to thc mnmaI
statcarc ovcrcomc. !t s not an unjust mposton ota monopoIy,
Jhc btatc
: : 5
thcde/acte monopoIy grows by an nvsbIc-hand proccss and l
merall rmissille means. wthout anyonc`s rghts bcng voIatcd
and wthout any cIams bcng madc to a spccaI rght that othcrs
do not psscss. And rcqurng thc cIcnts ot thc d/acte monop-
oIy to pay tor thc protccton ot thosc thcy prohbt trom scIt-
hcIp cntorccmcnt aganst thcm, tar trom bcng mmoraI, s
moraIIy rcqurcd by thc prncpIc otcompnsaton adumbratcd n
Chaptcr 4.
Mccanvasscd, n Chaptcr 4, thc possbIty ottorbddng pco-
pIc to pcrtorm acts tthcy Iack thc mcans to compcnsatc othcrs tor
possbIc harmmI conscqucnccs otthcsc acts or tthcy Iack IabIty
nsurancc to covcr thcsc conscqucnccs. Mcrc such prohbton Ic-
gtmatc, accordng to thc prncpIc otcompnsaton thc prsons
prohbtcd wouId havcto bccompnsatcd tor thcdsadvantagcs m-
poscd upon thcm, and thcycouIdusc thc compnsatory paymcnts
to purchasc thc IabIty nsurancc! OnIy thosc dsadvantagcd by
thc prohbton wouId bc compnsatcd. namcIy, thosc who Iack
othcr rcsourccs thcy can shtt (wthout dsadvantagng sacrhcc) to
purchasc thc IabIty nsurancc. Mhcn thcsc popIc spcnd thcr
compcnsatory paymcnts tor IabIty nsurancc, wc havc what
amounts to pubIc provson ot spcaI IabIty nsurancc. !t s
provdcd to thosc unabIc to attord t and covcrs onIy thosc rsky
actons whch taII undcr thc prncpIc otcompcnsaton-thosc ac-
tons whch arc IcgtmatcIy prohbtcd whcn uncovcrcd (provdcd
dsadvantagcs arc compcnsatcd tor), actons whosc prohbton
wouId scrousIydsadvantagc prsons. Frovdngsuch nsurancc aI-
most ccrtanIy wouId bc thc Icast cxpnsvc way to compnsatc
pcopIc whoprcscnt onIy normaI dangcr to othcrs tor thc dsadvan-
tagcs otthc prohbton. Sncc thcy thcn wouId bc nsurcd aganst
thc cvcntuaton ot ccrtan ot thcr rsks to othcrs, thcsc actons
thcn wouId not bc prohbtcd to thcm. Thus wc scc how, t t
wcrc Icgtmatc toprohbtsomcactonstothoscuncovcrcd by Ia-
bIty nsurancc, and wcrc ths donc, anothcr aarent rcdstrb-
utvc aspcct ot thc statc wouId cntcr by soId Ibrtaran moraI
prncpIcs! (Thc cxcIamaton pont stands torm surprsc. )
Oocs thc domnant protcctvc agcncy n a gvcn gcographcaI
tcrrtory consttutc thc state ot that tcrrtoryr Mc havc sccn n
Chaptcr z how thc notonota monopoIy on thc usc ottorcc s dt-
hcuIt to statc prccscIy so that tdocs not taIIbctorcobvous coun-
1 1 6 State-o-Nature Theoy
tcrcxampIcs. Ths noton, as usuaIIy cxpIancd, cannot bc uscd
wth any conhdcncc to answcr our qucston. Mc shouId acccpt a
dccson ycIdcd by thcprccsc wordng otadchnton nsomc tcxt
onIy tthat dchnton had bccn dcvscd tor appIcaton to cascs as
compIcatcd as ours and had stod up to tcsts aganst a rangc ot
such cascs. o cIasshcaton, n passng, by accdcnt can answcr
our qucston n any uscmI manncr.
Consdcr thc toIIowng dscursvc dcscrpton by an anthropoI-
ogst.
Jhc conccntratton ot aII phystcaI torcc tn thc hands ot thc ccntraI author-
tty ts thc prtmary tunctton ot thc statc and ts tts dcctstvc charactcrtsttc.
n ordcr to makc thts cIcar, constdcr what may not bc donc undcr thc
statc torm ot ruIc. no onc tn thc soctcty govcrncd by thc statc may takc
anothcr`s lttc, do htm phystcaI harm, touch hts proQrty, or damagc hts
rcputatton savc by Qrmtsston ot thc statc. Jhc othccrs ot thc statc havc
powcrs to takc Ittc, tnhtct corpral puntshmcnt, sctzc proQrty as hnc or
by cxproprtatton, and attcct thc standtng and rcputatton ot a mcmbcr ot
thc soctcty.
Jhts ts not to say that tn soctcttcs wtthout thc statc onc may takc Ittc
wtth tmpuntty. but tn such soctcttcs (c. g. , among bushmcn, Lsktmo,
and thc trtbcs ot ccntral Australta) thc ccntraI authortty that protccts thc
houschoId agatnst wrongdocrs ts noncxtstcnt, wcak, or sporadtc, and t t
was appItcd among thc Lrow and othcr ndtans ot thc wcstcrn Iatns
onIy as sttuattons arosc. Jhc houschoId or thc tndtvtduaI ts protcctcd tn
sOtcttcs wtthout thc statc by noncxpltctt mcans, by total group parttct-
patton tn supprcsston ot thc wrongdocr, by tcmporartIy or sporadtcaIIy
appltcd torcc that ts no longcr nccdcd (and so no Iongcr uscd) whcn thc
causc tor t ts appltcatton ts past. Jhc statc has mcans tor thc supprcsston
ot what thc soctcty constdcrs to bc wrongs or crtmcs. poItcc, courts ot
Iaw, prtsons, tnstttuttons whtch cxpItcttly and sQcthcaIly tunctton tn
thts arca ot acttvtty. Morcovcr, thcsc tnstttuttons arc stabIc wtthtn thc
tramc ot rctcrcncc ot thc soctcty, and pcrmancnt.
hcn thc statc was tormcd tn anctcnt Kussta, thc rultng prtncc as-
scrtcd thc powcr to tmposc hncs and to wrcak phystcaI patn and dcath,
but aIlowcd no onc cIsc to act thus. Mc asscrtcd oncc agatn thc monopo-
Itsttc naturc ot thc statc pwcr by wtthhoIdtng tts powcr trom any
othcr Qrson or body. t harm was donc by onc subcct to anothcr
wtthout thc prtncc` s cxprcss pcrmtsston, thts was a wrong, and thc wrong-
docr was puntshcd. Morcovcr, thc prtncc`s pwcr couId onIy bc cxpItc-
ttIy dclcgatcd. Jhc cIass ot subcct thus protcctcd was thcrcby carc-
mlly dchncd, ot coursc, by no mcans wcrc alI thosc wtthtn hts rcaIm so
protcctcd.
Po onc pcrson or group can stand tn pIacc ot thc statc, thc statc`s acts
Jhc btatc
1 1 7
can only bc Qrtormcd dtrcctIy or by cxprcss dclcgatton. Jhc statc tn
dclcgattng tts powcr makcs tts dcIcgatc an agcnt (organ) ot thc statc. o-
ltccmcn, udgcs, atI guards dcrtvc thctr powcr to cocrcc, accordtng to
thc rulcs ot thc soctcty, dtrcctly trom thc ccntraI authortty, so do thc
tax-colIcctors , thc mtlttary, tronttcr guards, and thc ltkc. Jhc authortta-
ttvc tunctton ot thc statc rcsts on tts command ot thcsc torccs as tts
agcnts.
1
3
Thc wrtcr docs not cIam that thctcaturcs hc Ists aII arc ncccssary
tcaturcs otthc statc, dvcrgcncc n onc tcaturc wouId not scrvc to
show that thc domnant protcctvc agcncy ota tcrrtory was not a
statc. CIcarIy thc domnant agcncy has aImost aII ot thc tcaturcs
spcchcd, and ts cndurng admnstratvc structurcs , wth mII-
tmc spcaIzcd pcrsonncI , makc t dvcrgc grcatIy-n thc drcc-
ton ota statc trom what anthropoIogsts caII a statcIcss soccty.
On thc bass otthcmany wrtngs Ikc that quotcd, oncwouId caII
t a statc.
!t s pIausbIc to concIudc that thc domnant protcctvc assoca-
ton n a tcrrtory s ts statc, onIy tor a tcrrtory ots
_
mc szc con-
tanng morc than a tcw pcopIc. Mc do not cIam that cach pcrson
who, undcr anarchy, rctans a monopoIy on thc usc ottorcc on hs
quartcr acrc otpropcrty s ts statc, nor arc thc onIy thrcc nhab-
tants otan sIand onc squarc bIock n szc. !t wouId bc mtIc, and
wouId scrvc no usctuI purposc, to attcmpt to spcqcondtons on
thc szc ot popuIaton and tcrrtory ncccssary tor a statc to cxst.
AIso, wcspcak otcascs whcrc aImostaII otthc pcopIc n thc tcrr-
tory arc cIcnts ot thc domnant agcncy and whcrc ndcpcndcnts
arc n a subordnatc powcr poston n conhcts wth thc agcncy
and ts cIcnts. (Mc havc argucd that ths wII occur. ) FrccscIy
what pcrccntagc must bc cIcnts and how subordnatc thc powcr
poston ot thc ndcpcndcnts must bc arc morc ntcrcstng qucs-
tons, but conccrnng thcsc ! havc nothng cspccaIIy ntcrcstng to
say.
Onc addtonaI ncccssary condton tor a statc was cxtractcd
trom thc Mcbcran tradton by our dscusson n Chaptcr z :
namcIy, that t cIam to bc thc soIc authorzcr ot voIcncc. Thc
domnant protcctvc assocaton makcs no such cIam. Havng dc-
scrbcd thc poston ot thc domnant protcctvc assocaton, and
havng sccn how cIoscIy t hts anthropoIogsts` notons , shouId wc
wcakcn thc Mcbcran ncccssary condton so that t ncIudcs ade
1 1 b
State-oj-Nature Theoy
/acte monopoIy whch s thc tcrrtory`s soIc chcctvc j udgc ovcr thc
prmssbIty otvoIcncc, havng a rght (to bc surc, onc had by
aII) to makc j udgmcnts on thc mattcr and to act on corrcct oncsr
Thc casc s vcrystrong tor dong so, and t s whoIIy dcsrabIc and
appropratc. Mc thcrctorc concIudc that thc protcctvc assocaton
domnant n a tcrrtory, as dcscrbd, is a statc. Howcvcr, to
rcmnd thc rcadcr otour sIght wcakcnng otthc Mcbcran cond-
ton, wc occasonaIIy shaII rctcr to thc domnant protcctvc agcncy
as a statcIkc cntty, ` nstcad otsmpIy as a statc. `
T HE I NVI S I BLE-HAND E X PLANATI ON
OF THE STATE
Havc wc provdcd an nvsbIc-hand cxpIanaton (scc Chaptcr z) ot
thc statc`s arsng wthn a statc ot naturc, havc wc gvcn an n-
vsbIc-hand cxpIanaton ot thc statcr Thc rigbts posscsscd by thc
statc arc aIrcady posscsscd by cach ndvduaI n a statc otnaturc.
Thcsc rghts, sncc thcy arc aIrcady contancd whoIc n thc cxpIan-
atory parts, arc net provdcd an nvsbIc-hand cxpIanaton. or
havc wc provdcd an nvsbIc-hand cxpIanaton othow thc statc
acqurcs rghts unquc to t. Ths s tortunatc, tor sncc thc
.
statc
has no spccaI rghts, thcrc s nothng otthat sort to bc cxpIamcd.
Mc havc cxpIancd how, wthout anyonc havng ths n mnd,
thc scIt-ntcrcstcdand ratonaI actonsotpcrsons n aLockcan statc
ot naturc wII Icad to sngIc protcctvc agcnccs domnant ovcr
gcographcaI tcrrtorcs, cach tcrrtory wII havc cthcr onc dom-
nant agcncy or a numbcr ot agcnccs tcdcraIIy athIatcd so as to
consttutc, n csscncc, onc. And wc havc cxpIancd how, wthout
cIamng to posscss any rghts unqucIy, a protcctvc agcncy dom-
nant n a tcrrtory wII occupy a unquc poston. Though cach
pcrson has a rght to act corrcctIy to prohbtothcrs trom voIatng
rghts (ncIudng thc rght not to bc punshcd unIcss shown to
dcscrvc t), onIy thc domnant protcctvc assocaton wII bc abIc,
wthout sancton, to cntorcc corrcctncss as t sccs t. !ts powcr
makcs t thc arbtcr ot corrcctncss , it dctcrmncs what, tor pur-
poscs otpunshmcnt, counts as abrcach otcorrcctncss. Our cxpIa-
naton docs not assumc or cIam that mght makcs rght. ut
hc btatc : :
mght docs makc cntorccd prohbtons , cvcn tno onc thnks thc
mghty havc a setial cnttIcmcnt to havc rcaI zcd n thc worId
thcr own vcw otwhch prohbtons arc corrcctIy cntorccd.
Our cxpIanaton ot ths de /atte monopoIy s an nvsbIc-hand
cxpIanaton. !t thc statc s an nsttuton ( I ) that has thc rght to
cntorcc rghts , prohbt dangcrous prvatc cntorccmcnt ot justcc,
pass upon suchprvatc proccdurcs, andsotorth, and(z)thatcttcc-
tvcIy s thc sele wielder wthn a gcographcaI tcrrtory ot thc
rght n ( I ), thcn by ottcrng an nvsbIc-hand cxpIanaton ot(z),
though not ot( I ), wc havc partaIIy cxpIancd n nvsbIc-hand
tashon thc cxstcncc otthc statc. Morc prccscIy, wc havc partaIIy
cxpIancd n nvsbIc-hand tashon thc cxstcncc ot thc ul-
traminimal statc. Mhat s thc cxpIanaton ot how a minimal statc
arscsr Thc domnant protcctvc assocaton wth thc monopoIy cI-
cmcnt s moraIIy rcqurcd to compcnsatc tor thc dsadvantagcs t
mposcs upon thosc t prohbts trom scIt-hcIp actvtcs aganst ts
cIcnts. Howcvcr, t actuaIIy mght taI to provdc ths compcnsa-
ton. Thosc opcratng an uItramnmaI statc arc moraIIy rcqurcd
to transtorm t nto a mnmaI statc, but thcy mght choosc not to
do so. Mc havc assumcd that gcncraIIy pcopIc wII do what thcy
arcmoraIIy rcqurcd to do. LxpIanng how a statccouId arsc trom
a statc otnaturc wthout voIatng anyonc`s rghts rctutcs thc prn-
cpIcd objcctons ot thc anarchst. ut onc wouId tccI morc con-
hdcncc tan cxpIanaton othow a statc weuld arsc trom a statcot
naturc aIso spccbcd rcasons why an uItramnmaI statc wouId bc
transtormcd ntoa mnmaI onc, n addton to moraI rcasons , t t
spccbcd nccntvcs torprovdng thc compnsaton or thc causcs ot
ts bcng provdcd n addton to pcopIc`s dcsrc to do what thcy
ought. Mc shouId notc that cvcn n thc cvcnt that no nonmoraI
nccntvcs or causcs arc tound to bc suthccnt tor thc transton
trom an uItramnmaI U amnmaI statc, and thc cxpIanaton con-
tnucs to Ican hcavIy upon pcopIc`s moraI motvatons, tdocs not
spccty pcopIc` s objcctvc as that ot cstabIshng a statc. nstcad,
pcrsons vcw thcmscIvcs as provdng partcuIar othcrpcrsons wth
compcnsaton tor partcuIar prohbtons thcy havc mposcd upn
thcm. Thc cxpIanatonrcmansan nvsbIc-hand onc.
CHAPT ER
6
Further Considerations
on the Argument
for the State
OUR argumcntdctaIng how amnmaI statc arscs , Icgt-
matcIy, trom a statc ot naturc s now compIctcd. t bchoovcs us ,
n addton, to consdcr varous obcctons to thc argumcnt, and to
commcnt hrthcr upon t, conncctng t wth somc othcr ssucs .
Jhc rcadcr who wshcs to pursuc thc man how ot our argumcnt
may procccd drcctIy to thc ncxt chaptcr.
S TOPPI NG THE PROCE Ss!
c havc argucd that thc rght ot Icgtmatc scIt-dctcnsc aganst
thc dangcrs ot unrcIabIc or untar cntorccmcnt proccdurcs gvcs
anyonc thc rght to ovcrscc othcrs` cntorccmcnt ot thcr rghts
aganst hm, and that hc may cmpowcr hs protcctvc agcncy to
cxcrcsc ths rght tor hm. hcn wc combnc ths argumcnt wth
our account otthc rsc otthc de /atte monopoIy, docs t provc`
I 20
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc I 2 I
too much! Jhc cxstcncc otthcde /a:te monopoIy crcatcs (wthn a
stuaton ot cquaI rghts) an mbaIancc ot powcr. Jhs provdcs
ncrcascd sccurty tor somc whIc t cndangcrs othcrs, t provdcs
ncrcascd sccurty tor thosc cIcnts ot thc domnant agcncy who
cannot bc punshcd by othcrs wthout thcr agcncy`s pcrmsson,
whIc t cndangcrs thosc Icss abIc todctcnd thcmscIvcs aganst n-
ustccs workcd by thc cIcnts otthc domnant agcncy, or by thc
agcncy tscIt. Oocs thc rght ot Icgtmatc scIt-dctcnsc aIIow cach
ot thcsc partcs to torbd thc othcr n ordcr to rcducc rsks to t-
scIt! Actng n scIt-dctcnsc, may thc domnant protcctvc agcncy
and ts cIcnts torbd othcrs trom aIgnng wth a compctng pro-
tcctvc agcncy! or a compctng agcncy mght outdstancc thc
domnant agcncy n powcr, thus cndangcrng ts cIcnts and mak-
ng thcr poston Icss sccurc. Such a prohbton prcsumabIy
wouId bc appIcd to thc cIcnts ot thc domnant agcncy as wcII ,
Imtngtbeir trccdom to swtch agcnccs. Lvcn tno onc compct-
tor pIausbIy s vcwcd as thrcatcnng thc domnant agcncy`s
powcr, thcrc s thc possbIty otaII thc ndvduaIIy wcakcr agcn-
ccs untng togcthcr aganst thc domnant onc, thcrcby consttut-
ng a sgnhcant thrcat or bccomng ontIy strongcr cvcn. May
thc domnant agcncy torbd othcrs to acqurc morc than a ccrtan
amount otpowcr, nordcr to cImnatc any possbItyotts bcng
wcakcrthan thc combnaton otaII aganst t! n ordcr to mantan
thc mbaIanccotpowcrmay thc domnant agcncy IcgtmatcIy tor-
bd othcrs to acqurc powcr! SmIar qucstons arsc on thc othcr
sdc. tan ndvduaI n a statc ot naturc torcsccs that whcn othcrs
combnc nto aprotcctvc agcncy or assocaton ths wII rcducc hs
own sccurty and cndangcr hm, may hc prohbt othcrs trom so
combnng at aII! May hc prohbt othcrs trom adng n thc cs-
tabIshmcnt otade/atte statc!
'
Oocs thc vcry rght to scIt-dctcnsc, whch aIIows an agcncy to
pass upon othcrs` scIt-cntorccmcnt mcchansms , aIso aIIow cach
pcrson to torbd cvcry othcr pcrson trom onng a protcctvc asso-
caton! tthc rght wcrctbat strong and cxtcnsvc, thcn that vcry
rght whch provdcd a Icgtmatc moraI channcI tor thc cstabIsh-
mcnt ota statc aIso wouId undcrcut thc statc by gvng othcrs thc
rght to prohbt thc usc otthc channcI .
Jhc stuaton any two ndvduaIs occupy wth rcspcct to cach
othcr n a statc ot naturc s dcscrbcd n Marrx .
~
~
C
C

~ J
C
.
C '
m v
C C
.
-

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. 9
=

C
~
C
~
_
C C L
. . _
.
L 1
C C
C
3 ~
C
0 . 9

~
.
C '
m w
C C
: ~

b . v
C C "

@
. -
C
@ .
- _
C C L
. - .-
C


C
C
C

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e v m
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.

P
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urthcr Lonstdcrattons on thc Argumcnt tor thc btatc I z
5
twc assumc that t s bcttcr to bc thc cIcnt ot thc powcrtuI
domnant protcctvc agcncy n an arca, than not to bc, and t s
bcttcr to bc a cIcnt ot thc domnant agcncy, tthc othcr tcIIow
sn`t, thcn Matrx nstanccs thc structurc prcscntcd n Matrx
(wth thc partcuIar ntcrvaIs bctwccn thc numbcrs not to bc takcn
too scrousIy).
MATKX
Fcrson
A b' L` L
Fcrson
A
5 , 5 4, 6 1 0, 0 10, 0
b 6, 4 5 , 5
1 0, 0 10, 0
L 0, 1 0 0, 1 0 X, X x, x
L 0, 1 0 0, 1 0 X, X x, x
tthcy do notadhcrc to any moraI constrants that torbd ths,
wII do and wII do ` . Thc argumcnt s as toIIows. ( ` )
wcakIy domnatcs A(` ), so wII not do A and wII not do
A' . CandD (C' andD' ) coIIapsc togcthcr, so wc nccd trcat onIy
onc otthcm, wthout Ioss otgcncraIty, wc trcat C(C` ). Thcqucs-
ton that rcmans s whcthcr cach pcrson wII choosc to do hs
acton or hs C acton. (Mc nccd consdcr onIy thc truncatcd Ma-
trx , whch coIIapscs D(D' ) nto C(C' ) and whch omts A and
A` , sncc ncthcr Ioscs t thc othcr onc docs hs A acton. )
S Iong as X ' 1 0, as t apparcntIy s (bcng n an unorganzcd
statc otnaturc wthrcspct to somconc s Icss prctcrrcd than bcng
n thc domnant protcctvc assocaton whIc hc s not), strongIy
domnatcs C, and ` strongIy domnatcs C` . S n thc abscncc ot
moraI constrants, two ratonaI ndvduaIs wouId do and ` . t
X ' 1 0, ths s suthccnt to ycId (, ' ) by a domnancc argu-
n thc tcrmnology oI dccson thcorsts, onc acton wcakly domnatcs
anothcr Irclatvc to no statc oIthc world docs t do worsc than thc othcr, and
rclatvc to somc statc(s) oI thc world t docs bttcr. An acton strongly dom-
natcsanothcr Irclatvc to cvcrystatc oI thc world t dos bcttcr.
I2q
Stateof-Nature Theoy
MAJKX
Fcrson l
Fcrson l
b L
b 1 L,
L L L 7, 7
mcnt. t aIso x ~ , (tor cxampIc, 7) wc havc a prsoncrs` d-
Icmma stuaton nwhch ndvduaIIy ratonaI bchavor s ontIy
ncth ccnt bccausc t Icads to an outcomc ( , )whchcach prctcrs
Icss than anothcr (7, 7) that s avaIabIc to thcm. Somc havc
argucd that apropcr tuncton otgovcrnmcnt s to prohbtpcopIc`s
pcrtormng thc domnant acton n prsoncrs` dIcmma stuatons.
Mowcvcr that may bc, t somconc n a statc-ot-naturc stuaton
takcs upon hmscIt ths supposcd tuncton ot thc statc (and at-
tcmpts to prohbtothcrs trom pcrtormngA orb), thcnbisacton
vs--vs othcrs s net act C, tor hc s torbddng othcrs to pcrtorm
thcr domnant acton, namcIy, to on a protcctvc assocaton.
II ths pcrson, a scIt-appontcd surrogatc tor thc statc, pcrtorm
act D thcn! Mc mght try to do ths . but, n addton to ts bcng
ndvduaIIy nonoptmaI tor hm, hc s most unIkcIy to bc suc-
ccsshI aganst ndvduaIs who combnc nto protcctvc assoca-
tons, tor hc s most unIkcIy to bc morc powcrtuI than thcy. Jo
havc a rcaI chancc ot bcng succcsshI, hc must combnc wth
othcrs to act(pcrtormngA or b), and hcncc hccannot succccd n
torcng cvcryonc, ncIudng hmscIt, away trom thcr domnant ac-
tons A orb .
Jhs stuaton ot x ~ has a thcorctcaI ntcrcst abovc and
bcyond thc usuaI ntcrcst ot thc prsoncrs` dIcmma. or n ths
stuaton an anarchst statc ot naturc s ontIy bcst otaII thc sym-
mctrcaI stuatons, and t s n cach ndvduaI`s ntcrcst to d-
vcrgc trom ths ont bcst soIuton. Yct any attcmpt (promsng
succcss) to cntorcc ths ont bcst soIuton itseq consttutcs a d-
vcrgcncc (whchcauscs othcr dvcrgcnccs n scIt-dctcnsc) trom t.
tx ~ , thc statc, prcscntcd by somc as thc soIuton` to avod
thcprsoncr`s dIcmma, wouIdnstcad bc tsuntortunatcoutcomcl
t cach ndvduaI acts ratonaIIy, unImtcd by moraI con-
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc 1 2
strants, (b, b` ) wII cmcrgc. Mow wIIthngs dhcr, tat aII , wth
thc addton otmoraI constrants! t mght bc thought that moraI
consdcratons rcqurc aIIowng anothcr to do whatcvcr you do,
snccthcstuaton s symmctrcaI somc symmctrcaI soIuton must
bc tound. Jo ths thc hshy rcpIy mght bc madc that (b, b`) s
symmctrcaI , and hcncc somconc pcrtormng a b-sh acton rccog-
nzcs that thc othcr wII do Ikcwsc. but rccognzng that anothcr
wII do Ikcwsc s not thc samc asamng hm to do ths. A pr-
son pcrtormng a b-sh acton s tryng to mposc a (b, C' ) soIu-
ton. hat moraI rght docs hc havc to Imese ths asymmctry, to
/rce othcrs not to bhavc as hc docs! but bctorc acccptng ths
strongcountcrrcpIyasconcIusvc, wcshouIdaskwhcthcrcach pr-
son taccs or vcws hmscItas tacng a symmctrcaI stuaton! Lach
prson knows morc about hmscIt than hc docs about thc othcr,
cach can bc surcr oths own ntcntons not to aggrcss aganst thc
othcr thc hnds hmscItn thc domnant powcr poston, than hc
can bc ot thc othcrs` smIar ntcntons. (oIIowng Acton, wc
mght wondcr whcthcr any ot us can bc surc, or cvcn rcasonabIy
conhdcnt. ) Lvcn ths asymmctry otcach knowng morc about hs
own ntcntons than about thosc ot thc othcr party,* sn`t t rca-
sonabIc tor cach to pursuc thcb- sh acton!Kathcr, sncc t`s nd-
vduaIIy ratonaI , docsthsasymmctry scrvc to rcbut thcargumcnt
trom symmctry tor thc (A, A` ) soIuton and aganst thc (b, b` )
soIuton! CIcarIy, thngs bccomc vcry mcssy.
Kathcr than tocusng on thc totaI stuaton, t wouId bc morc
promsng to ask whcthcr somcthng spccaI about thc b-sh ac-
tons cxcIudcs thcm as moraIIy prmssbIc. Oocs somc moraI
prohbton ruIc out b: t so, wc must dstngush thc b actons
trom thosc othcr prohbtngs otactons on thc grounds otthc rsk
thcy prcscnt, whch wc havc aIrcady hcId to bc Icgtmatc. hat
dstngushcs prohbtng othcrs trom onng anothcr protcctvc
agcncy, or torcbIy actng to prcvcnt anothcr agcncy trom gcttng
morcpowcrtuI than your own or yourscIttrom an agcncy`s torbd-
dngothcrs to punsh ts cIcntscxccpt by a rcIabIcproccdurc (and
punshng thosc who dsobcy ths prohbton cvcn shouId t turn
out that thc cIcnts dd wrong thcsc othcrs and wcrc not n-
noccnt)! Lct us hrst consdcr cascs whch commonIy arc dstn-
gushcd.
1 26
State-oj-Nature Theoy
PREEMPTI VE ATTACK
Accordng to usuaI doctrnc, undcr somc crcumstanccs a country
X may Iaunch a prccmptvc attack, or a prcvcntvc war, upon
anothcr country Y; tor cxampIc, t Y s tscItabout to Iaunch an
mmcdatc attackuponX, or tY has announccd that t wII doso
upon rcachng a ccrtan IcvcI ot mItary rcadncss, whch t cx-
pccts to do somc tmc soon. Yct t s not acccptcd doctrnc that
onc naton X may Iaunch a war aganst anothcr naton Y bcausc
Y s gcttng strongcr, and (such s thc bchavor ot natons) mght
wcII attack X whcn t gcts strongcr stII. ScIt-dctcnsc pIausbIy
covcrs thc hrst sort otstuaton but not thc sccond. hyr
t mght bc thought that thc dttcrcncc s mcrcIy a mattcr ot
grcatcr or IcsscrprobabIty. hcn a naton s about to Iaunch an
attack, or has announccd that t wII whcn and tt rcachcs a ccr-
tan IcvcI otrcadncss, thc probabIty s vcry hgh that twIIat-
tack. hcrcas thc probabIty s not as grcat thatany naton gct-
tng strongcr wII attack whcn tattansgrcatcr strcngth. but thc
dstnctonbctwccnthccascs docs not dcpcnduponsuch probabI-
ty consdcratons. or howcvcr Iow thc probabIty, cstmatcd by
thc ccrts` otncutraI countrcs, otY`s Iaunchng an attackonX
(n thc sccond casc) wthn thc ncxt tcn ycars (o. , o. z , o. o ), wc
can magnc aItcrnatvcIy that Y now s about to wcId a supr-
dcvcc trcsh out ot ts sccnthc Iaboratorcs that, wthtbat proba-
bIty, wII conqucr X; whIc wth onc mnus that probabIty, t
wII do nothng. (Pcrhaps ths probabIty s thcprobabIty otthc
dcvcc`s workng, orpcrhaps thc dcvcc tscIts probabIstc. ) Jhc
dcvcc s sct to bc wcIdcd wthnonc wcck, Y scommttcd tousc
t, thc tmctabIc s bcng toIIowcd and a countdown has bcgun.
McrcX, n scIt-dctcnsc, may attack, or ssuc an uItmatum that t
thc dcvcc snot dsmantIcd wthn two days t wII attack, andso
on. (And what t, though thc tmctabIc docsn`t caII tor t, thc
dcvcctan b uscd thc ncxt day or mmcdatcIyr) t Y wcrc spn-
nngarouIcttcwhccIand wthprobabItyo. ozthcdamagcotwar
wouId bc nhctcd onX, X couId act n scIt-dctcnsc. but, n thc
sccond casc cvcn whcn thc probabIty s cquaI, X may not so act
aganst Y` s armng. Jhcrctorc, thc ssuc s not mcrcIy a mattcr ot
how hgh thc probabIty s. Lpon what, thcn, tnot thc magn-
lurthcr LOnstdcrattOns On thc Argumcnt tOr thc btatc 1 2
7
tudc otthc probabIty, docs thc dstncton bctwccn thc hrst typc
otcasc and thc sccond typc rcst!
Jhc dstncton dcpcnds on how thc harm, t t cvcntuatcs, s
rcIatcd to what Y aIrcady has donc. or somc actons that ycId
varous outcomcswthvarous probabItcs , nothngmorc nccd bc
donc by thc agcnt (ahcr thc acton s pcrtormcd) to producc an
outcomc whch, whcn t cvcntuatcs, s somcthng hc dd or
brought about or causcd to happcn, and so on. (n somc cascs , hr-
thcr actons otetbers mght bc nccdcd, tor cxampIc, soIdcrs obcy-
ng a commandcr`s ordcrs. ) tsuch an acton ycIds a hgh cnough
probabIty otadangcrous bordcr crossng, ` anothcr may prohbt
t. Cn thc othcr hand, somc proccsscs mght Icad to ccrtan poss-
bIc conscqucnccs, but onIy t turthcr dccsons arc madc by thc
pcopIc cngagng n thcm. Proccsscs mght, as n thc cascs wc arc
consdcrng, pIacc pcopIc n a bcttcr poston to do somcthng,
and so makc t morc IkcIy that thcy wII dccdc to do t. Jhcsc
proccsscs nvoIvc hrthcr sgnhcant dccsons by thc pcrsons and
thc bordcr crossngs dcpcnd upontbese dccsons (madc morc IkcIy
by thc proccss). t s pcrmssbIc to prohbt thc tormcr actons
whcrc thc pcrson nccd do nothng morc, but not to prohbt thc
Iattcr proccsscs. hyr
Pcrhaps thcprncpIc s somcthng Ikc ths. an act s notwrong
and so cannot bc prohbtcd t t s harmIcss wthout a hrthcr
maor dccson to commtwrong (that s, tt wouId not bc wrong
tthc agcnt was mcd unaItcrabIy aganst thc hrthcr wrong dcc-
son), tcan onIy bcprohbtcd whcn t s apIanncd prcIudc to thc
hrthcr wrong acton. So statcd, thc prncpIc wouId protcct ac-
tons that mcrcIy tacItatc othcrs` wrongdong t thc acts arc
harmIcss n thcmscIvcs-tor cxampIc, pubIshng thc pIans ot thc
aIarm systcms otbanks. Jhc act wouId bc toIcratcd wcrc tknown
that othcrs wouId not dccdc to do wrong. Among such actons,
thc cIcarcst canddatcs tor prohbton arc thosc whch, t s
hctormcr class ncludcs scttng proccsscs gongwhoscpssblc harm dos
not dcpnd upn sgnhcant ncw dccsons, though t may rcqurc namrmaton
otold oncs. lor thcsc ccs, thc dstncton btwccn prohbton (punshng at-
tcrwards) and prcvcntng n advancc wobblcs. Smctmcs t wll b unclcar
whcthcr acton takcn attcr thc proccss h bgun but bcton thc dangcr s
nalzcd was takcn to punsh volaton ot thc pmhbton on thc dangcrou pro-
ccss or to prcvcnt thc dangcr trom occurrng.
State-ol-Nature Theoy
thought, couId bc donc lor no rcason othcr than to lacItatc
wrongdong. (Lvcn hcrc, can`t onc aIways magnc an ccccntrc
wth Icgtmatc though odd rcasons!) c may avod ths qucston
olwhcthcrsuchactons so cIcarIy ntcndcd onIy to ad thc wrong-
dong ol othcrs may bc prohbtcd. AII thc actons wc arc con-
ccrncd wth couId bc donc lor pcrlcctIy Icgtmatc and rcspcctabIc
rcasons (lor cxampIc, scIl-dclcnsc), and thcy rcqurc hrthcr dcc-
son to commt wrong by thc agcnt hmscIl, lwrong s to occur.
A strngcnt prncpIc wouId hoId that onc may prohbt onIy
thc Iast wrong dccson ncccssary to producc thc wrong. (Cr, thc
Iast act ncccssary to an aItcrnatvc n a sct, any onc ol whch s
ncccssary. ) Morc strngcnt yct wouId bc a prncpIc hoIdng that
onc may prohbt onIy thc passng olthc Iast cIcar pont at whch
thc Iast wrong dccson ncccssary to thc wrong can bc rcvcrscd.
Morc Iattudc s gvcn to prohbton by thc loIIowng prncpIc
(hcncc t s a wcakcr prncpIc aganst prohbton). Prohbt enl
wrong dccsons and actons on thcm (or dangcrous actons rcqur-
ng no hrthcr wrong dccsons). Cnc may net prohbt actons
whch arc not bascd on dccsons that arc wrong, mcrcIy on thc
grounds that thcy lacItatc or makc morc IkcIy thc agcnt hmscIl
Iatcr makng wrong dccsons and dong thc wrong actons whch
loIIow lrom thcm. Sncc cvcn ths wcakcr prncpIc s sulhccnt to
exdude prohbtng othcrs lrom strcngthcnng thcr protcctvc
agcncy or onng anothcr onc, wc nccd not dccdc hcrc whch
prncpIc s most appropratc. (Jhc two strongcr prncpIcs , ol
coursc, aIso wouId cxcIudc such prohbtons. )
t mght bc obcctcd that thc prncpIcs adumbratcd shouId not
bc appIcd to hoId mprmssbIc somc group A`s lorcbIy ntcr-
vcnng n thc proccss olb` s strcngthcnng thcr protcctvc agcncy.
or that proccss s a spccaI onc, lt s succcssluI , A wII bc n a
lar wcakcr poston, l not unabIc, to cnlorcc thc prohbton on
wrong whcn hnaIIyA s cnttIcd to do so. Mow canA bc askcd to
rclran lrom prohbtng thc carIcr stagcs whcn t knows that any
wrongs wII bc donc Iatcr whcn t s unabIc to opposc thcm as cl-
lcctvcIy! but l thc carIy stagcs olb`s proccss nvoIvc no commt-
mcnt to anyIatcrwrong, andlb hasgood(nonaggrcssvc) rcasons
lor ts actons, thcn t s not absurd to hoId that othcrs may not
ntcrlcrc wth thc carIcrand n thcmscIvcs (suppsng ccrtan con-
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc 1 29
tnuatons) harmIcss stagcs, cvcn though ths abstcnton wII put
thcm n a Icss strong poston Iatcr.
c havc lound adstncton, whchappcars thcorctcaIIy sgnl-
cant, that dstngushcs a protcctvc agcncy` s lorbddng othcrs
lrom usng unrcIabIc or unlar procdurcs to cxact ustcc on ts
cIcnts lromothcrprohbtonssuch as lorbddng othcrs to lorm
anothcr protcctvc agcncy-whch mght bc thought to bc aIIow-
abIc lthc hrst s. or our purposcs n ths cssay wc nccd not pro-
vdc thc thcory whch undcrIcs ths dstncton and cxpIans ts
sgnhcancc, cvcn though nvcstgatng thcsc ssucs promscs to
Icad vcry quckIy to lundamcntaI qucstons. t s cnough to havc
rcbuttcd thc chargc wc magncd carIcr that our argumcnt mIs
bccausc t provcs` too much, n that t provdcs a ratonaIc not
onIy lor thc prmssbIc rsc ola domnant protcctvc assocaton,
but aIso lor ths assocaton`s lorcng somconc not to takc hs pa-
tronagc cIscwhcrc or lor somc pcrson`s lorcng othcrs not to on
any assocaton. Cur argumcnt provdcs no ratonaIc lor thcIattcr
actons and cannot bc uscd to dclcnd thcm.
c havc put lorth a prncpIc whch cxcIudcs prohbtng ac-
tons not wrong n thcmscIvcs, actons that mcrcIy lacItatc or
makc morc IkcIy thc commsson olothcr wrongs dcpcndcnt upon
othcr wrong dccsons thc agcnt has not madc (yct). (Jhs statc-
mcnt s ntcntonaIIyambguous so as to cncompass thcstrongand
thc wcak prncpIcs. ) Jhs prncpIc docs net cIam that no onc
may b hcId rcsponsbIc or bc punshcd lor attcmptng to gct
othcrs to do wrong bccausc to succccd thc attcmpt rcqurcs thc
dccsonoletbos to do wrong. or thcprncpIc locuscs on whcthcr
thc thrust toward wrong aIrcady has bccn madc and s now out ol
tbatosen's hands . t s a]uftbo qucston whcthcr and to what cx-
tcnt any dccsons olothcrs can cImnatc hs rcsponsbIty lor thc
rcsuIt ol hs orgnaI attcmpt. Prmc canddatcs lor rcsponsbIty
contnung arc attcmpts to gct othcrs to dosomcwrong, whchat-
tcmpt succccds (not by accdcnt and n thc manncr ntcndcd, and
so lorth) n gcttng thcm to dccdc and act wrongIy. (n ths casc,
sn`t thc orgnaI act wrong tscIl, and so net protcctcd lrom proh-
bton undcr thc condtons olthc prncpIc!)
Jhc contrastng vcw hoIds that thc lurthcr dccsons olothcrs
cImnatc thc rcsponsbIty ol somconc who succccds n hs at-
State-o-Nature Theoy
tcmpt to gct thcm to act n a ccrtan way, though hc pcrsuadcs
thcm or convnccs thcm or whps thcm up to do t, thcy couId
havc choscn to rctran. Jhc toIIowng modcI mght undcrIc ths
vcw. or cach act, so thc mocI runs, thcrc s a mcd amount ot
rcsponsbIty, ths mght bc mcasurcd by how much punshmcnt
thcrc s to bc tor thc act. Somconc pcrsuadcd by anothcr to do
somcthng may bc punshcd hIIy tor hs acton, hc may bc pun-
shcd as much as somconc who dccdcs aII by hmscIt to do thc
samc acton. Sncc aII ot thc punshmcnt tor that acton s uscd
up, so s aII otthc rcsponsbIty tor t , thcrc s no morc rcspns-
bIty or punshmcnt tor that acton Ictt ovcr to pIacc on anothcr
pcrson. S, thc argumcnt concIudcs, a pcrson who pcrsuadcs an-
othcr to dccdc to do somcthng cannot bc hcId rcsponsbIc tor or
at aII punshcd tor thc conscqucnccs otthc othcr`s acton. but ths
modcI ota mcd amount otrcsponsbIty tor an act s mstakcn. t
two pcrsons cach coopcratc n murdcrng or assauItng a thrd,
thcn cach assauItcr or murdcrcr may b punshcd hIIy. Lach may
rcccvc thc samc punshmcnt as somconc actng aIonc, n ycars say.
Jhcynccd not cachbcgvcn n/. KcsponsbIty s nota buckct n
whch Icss rcmans whcn somc s apportoncd out, thcrc s not a
mcd amount otpunshmcnt or rcsponsbIty whch onc uscs up so
that nonc s Ictt ovcr tor thc othcr. Sncc ths modcI or pcturc ot
how rcsponsbIty opcratcs s mstakcn, a maor prop s rcmovcd
trom thc vcw that no onc may bc punshcd tor prsuadng anothcr
rcspnsbIc ndvduaI to do somcthng.
BE HAVI OR I N THE PROCES S
c havc argucd that cvcn somconc who torcsccs that a protcctvc
assocaton wII bccomc domnant may not torbd othcrs to on
up. but though no onc may bc torbddcn to on up, mght not
cvcryonc tbeese to stay out, nordcr to avod thc statc at thc cnd ot
thc proccss ! Mght not a popuIaton otanarchstsrcaIzchow nd-
vduaI cttorts at hrng protccton wII Icad, by an nvsbIc-hand
proccss, to a statc, and bccausc thcy havc hstorcaI cvdcncc and
thcorctcaI grounds tor thc worry that thc statc s a rankcnstcn
monstcr that wII run amuck and wII not stay Imtcd to mnmaI
urthcr Lonstdcrattons on thc Argumcnt tor thc 5tatc
hnctons, mght not thcy cach prudcntaIIy choosc not to bcgn
aIong that path! ' ttoId to anarchsts, s thc nvsbIc-hand ac-
count othow thc statc arscs a scIt-dctcatng prophccy!
t wIIbcdthcuIt tor such conccrtcd cttort tosuccccd n bIok-
ng thc tormaton ot thc statc, sncc cach ndvduaI wII rcaIzc
that ts nhsown ndvduaI ntcrcsts to on a protcctvc assoc-
aton (thc morc so as somc othcrs on), and hs onng or not wII
not makc thc dhcrcncc as to whcthcr or not thc statc dcvcIops.
(Jhc b actons otthc carIcr matrccs arc domnant . ) Mowcvcr, t
must bc admttcd that othcr ndvduaIs wth spccaI motvatons
would not bchavc as wchavcdcscrbcd. tor cxampIc, popIc whosc
rcIgon prohbts purchasng protccton or onng wth othcrs n
protcctvc vcnturcs, or msanthropcs who rchsc to coopcratc wth
or hrc any othcr pcrsons, or pcrsonal pach sts who rchsc to sup-
portor partcpatc nany nsttuton that uscs torcc, cvcn tor thcr
own scIt-dctcnsc. c must rcstrct our cIam that a statc wouId
arsctrom a statc otnaturc, soas to cxcIudc thcsc spccaI psychoIo-
gcs whch thwart thc opcraton ot thc nvsbIc-hand proccss wc
havc dcscrbcd. or cach spccaI psychoIogy, wc may nscrt a spc-
chc cIausc nthc cIam to cxcIudc t. Jhus. n a tcrrtory contan-
ng ratonaI ndvduaIs who aIso arc wIIng to usc torcc n scIt-
dctcnsc and arc wIIng to copcratc wth othcrs and to hrc
thcm, . . .
At thc cIosc ot Lhaptcr 5 , wc argucd that a tcrrtory wth a
domnant protcctvc agcncy contans a statc. ouId Lockc agrcc
that n such a tcrrtory thcrc was a statc or cvI socty! t so,
wouId hc say t had bccn crcatcd by a soca| compact! LIcnts ot
thc samc protcctvc agcncy arc n a statc otcvI soccty wth rc-
spct to cach othcr, cIcntsand ndcpcndcnts havc cxactIythc samc
rghts vs-a-vs cach othcr as any two pcrsons n a statc otnaturc,
and hcncc arc n a statc otnaturc wth rcspcct to cach othcr (Twe
Trmtises e/Gevoment, , scct. By). but docs thc tact that thc n-
dcpcndcnts ycId bctorc thc supror powcr ot thc domnant pro-
tcctvc agcncy and dn't act as cxccutoncrs ot thc Iaw ot naturc
aganst ts cIcnts (dcsptc havng a rght to) mcan that thcy arc
not na Lockcan statc otnaturc wth rcspcct to thc cIcnts! ShouId
onc say thcy arc n ade)ure statc otnaturc but not ade/atte onc!
ouId Lockc usc somc noton ot poItcaI or cvI soccty undcr
whch thcrc couId bc a cvI soccty n an arcacvcn tnotvry two
State-oj-Nature Theoy
pcopIc n that arcastood n acvI-soccty rcIatonshpwthrcspct
to cach othcr! Cnc aIso wouId want ths noton to bc olpItcaI
ntcrcst, lmcrcIy two olthc many ndvduaIs nan arca stand n
a cvI-socty rcIatonshp wth rcspcct to cach othcr, ths shouId
bc nsulhccnt lor thcrc to bc cvI soccty n that arca.
chavc dcscrbd a proccss whcrcby ndvduaIs n an arca scp-
aratcIy sgn up lor prsonaI protccton wth dllcrcnt busncss cn-
tcrprscswhch provdc protcctvc scrvccs, aII but oncolthcagcn-
ccs bcngcxtngushcdoraII comng to somcmedus vivendi, and so
on. Jo what dcgrcc, lany, docs ths proccss ht what Lockc cn-
vsoncd as ndvduaIs 'agrccng wthothcrmcn to onanduntc
nto a communty, ` conscntng 'to makc onc communty or gov-
crnmcnt` (scct. g), compactng to makc up a commonwcaIth
(scct. gg)! Jhc proccss Ioks nothng Ikc unanmous ont agrcc-
mcnt to crcatc agovcrnmcntor statc. Po onc, as thcy buy protcc-
tvc scrvccs lrom thcr IocaI protcctvc agcncy, has n mnd any-
thng so grand. but prhaps ont agrccmcnt whcrc cach has n
mnd that thc othcrs wII agrcc and cach ntcnds to brng about
thc cnd rcsuIt ol ths s not ncccssary lor a Lockcan compact. "
myscIl scc IttIc pont to strctchng thc noton ol 'compact` so
that cach pattcrn or statc olahars that arscs lrom thc dsparatc
voIuntary actons olscparatcIy actng ndvduaIs s vcwcd as ars-
ng lrom a setial tematt, cvcn though no onc had thc pattcrn n
mnd orwas actng to achcvc t. Cr, lthc noton s so strctchcd,
ths shouId bc madc cIcar so that othcrs arc not msIcd as to ts
mprt. t shouId bc madc cIcar that thc noton s such that cach
olthc loIIowng arscs lrom a socaI compact. thc totaI statc olal-
lars consttutcd by who s marrcd to, or Ivng wth, whom, thc
dstrbuton on a gvcn cvcnng n a gvcn cty olwho s n what
movc thcatcr, sttng whcrc, thc partcuIar tralhc pattcrn on a
statc's hghways on a gvcn day, thc sct ol customcrs ola gvcn
groccrystorc on agvcndayand thcpartcuIarpattcrnolpurchascs
thcy makc, and so on. ar bc t lrom mc to cIam that ths wdcr
noton s olno ntcrcst, that a statc can arsc by a proccss that h ts
ths wdcr noton (wthout httng thc narrowcr onc) s ol vcry
grcat ntcrcst ndccd!
Jhc vcw wc prcscnt hcrc shouId not bc conhscd wth othcr
vcws. t dllcrs lrom socaI compact vcws n ts nvsbIc-hand
structurc. t dllcrs lrom vcws that 'de /atte mght makcs statc
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc 1 33
(IcgaI) rght` n hoIdng that cnlorccmcnt rghts and rghts to
ovcrscc ths cnlorccmcnt cxst ndcpcndcntIy and arc hcId by aII
rathcr than conhncd to onc or a smalI group, and that thc proccss
ol acumuIatng soIc chcctvc cnlorccmcnt and ovcrsccng powcr
may takc pIacc wthout anyonc's rghts bng voIatcd, that a statc
may arsc by a proccss n whch no onc's rghts arc voIatcd. ShalI
wc say that a statc whch has arscn lrom a statc ol naturc by thc
proccss dcscrbd has rcpIaccd thc statc ol naturc whch thcrclorc
no Iongcr cxsts, or shaII wc say that t cxsts wthn a statc ol na-
turc and hcncc s compatbIc wthonc! Po doubt, thc mst wouId
bcttcr ht thc Lockcan tradton, but thc statc arscs so graduaIIy
and mpcrccptbIyout olLockc'sstatcolnaturc, wthoutanygrcat
or hndamcntaI brcach olcontnuty, that onc stemtm to takc thc
sccond opton, dsrcgardng Lockc's ncrcduIousncss. '. . . unIcss
any onc wII say thc statc olnaturc and cvI soccty arc onc and
thc samc thng, whch havc ncvcr yct lound any onc so grcat a
patron olanarchy as to alhrm` (scct. gq).
LEGI TI MACY
Somc mght dcny, prhaps propcrIy, that any normatvc noton s
to bc buIt nto an account ol thc statc, cvcn thc rght to cnlorcc
rghts and to prohbt dangcrous prvatc cnlorccmcnt ol ustcc
provdcd compcnsaton s madc to thoscprohbtcd. but sncc ths
docs not grant to thc statcor any olts agcnts any rghtsnot pos-
scsscd by cach and cvcry prson, t sccms a harmIcss ncIuson. t
gvcs thc statc nostial rghts and ccrtanIy docs not cntaI that
aII acts ol ruIc by thc statc arc prcsumptvcIy rght. Por docs t
cntaI that prsons actng as agcnts olthc statc posscss any spccaI
mmunty lrom punshmcnt, lthcy voIatc anothcr's rghts. Jhc
pubIc whosc agcnts thcy arc may provdc thcm wth IabIty n-
surancc, or guarantcc to covcr thcr IabIty. but t may not
diminisb thcr IabIty as comparcd to that olothcr pcrsons. AIso,
protcctvc agcnccs wII not havc Imtcd IabIty, nor wII any
othcr corporatons. Jhosc voIuntarIy dcaIng wth a corporaton
(customcrs , crcdtors, workcrs , and othcrs) wII do so by contracts
cxpIctIy Imtng thc corpraton's IabIty, lthat s thc way thc
1
34 State-oj-Nature Theoy
corporaton chooscs to do busncss. A corpraton`s IabIty to
thosc nvoIuntarIy ntcrtwncd wth t wII bc unImtcd and t ,
pcsumabIy wII choosc to covcr ths IabIty wth nsurancc poI-
ctcs.
Oocsthc statc wc havc dcscrbcd havc Icgtmacy, docs t Icgt-
matcIyruIc! Jhc domnant protcctvc agcncy hasde/acte powcr, t
acqurcd thspowcrandrcachcd ts poston oldomnancc wthout
voIatng anyonc`s rghts, t wcIds ths powcr as wcII as anyonc
wouId cxpct. Oo thcsc lacts add up to ts bcng thc Icgtmatc
wcIdcr olthc powcr! As Icgtmacy s uscd n poItcaI thcory,
thosc IcgtmatcIy wcIdng powcr arc cnttIcd, arc seoau cn-
ttIcd, to wcId t. Oocs thcdomnantprotcctvc agcncy havc any
spcaI cnttIcmcnt! Adomnantagcncy andanothcr tnyonc, ora
domnant agcncy and an unalhIatcd ndvduaI pcrson, arc on a
par n thc naturc ol thcr rghts to cnlorcc othcr rghts. Mow
mght thcy havc dhcrcntaI cnttIcmcnts!
Lonsdcr whcthcr thc domnant protcctvc agcncy s cnttIcd to
bc thc onc whch s domnant. s a rcstaurant you choosc to go to
on a gvcn cvcnng cnttIcd to your patronagc! Pcrhaps onc s
tcmptcd to say, n somccrcumstanccs, thcy mcrt t or dcscrvc t,
thcy scrvc bcttcrlood, Icss cxpcnsvcIy, and nnccrsurroundngs,
and thcywork Iong and hard to do so, stII , thcy arc not cnttIcd
to your patronagc. ' " You do not voIatc any cnttIcmcnt olthcrs
lyou choosc to go cIscwhcrc. by choosng to go thcrc, though,
you do authorzc thcm to scrvc and bII you. Jhcy havc no cn-
ttIcmcnt te l tbe ene whch scrvcs you, but thcy arc cnttIcd to
scrvc you. SmIarIy, wc must dstngush bctwccn an agcncy`s
bcng cnttIcd to bc thc onc wcIdng ccrtanpowcrlrom ts bcng
cnttIcd to wcId that powcr.
' '
s thc domnant agcncy`s onIy cn-
ttIcmcnt, thcn, ts bcng cnttIcd to wcId thc powcr! c can
rcach qucstons ol cnttIcmcnt by anothcr routc that IIumnatcs
hrthcr thc stuaton olpcrsons n a statc olnaturc.
A protcctvc agcncy may act aganst or lor a partcuIar pcrson.
Attcmpts to cxplan thc noton oI lcgtmacy oIgovcrnmcnt n tcrms oI
thc atttudcs and bclcIs oIts subccts havc a dIhcult tmc avodng thc rcn-
trod

ton oI thc noton oI lcgtmacy whcn t comcs tmc to cxplan thc

prcctsc contcnt oI thc subccts` atttudcs and bclcIs, though t s not too dI-
?cult to makc thc crclc somcwhat wdcr than thc hat. a lcgtmatcgovcrnmcnt
ts onc that most oI ts subjccts vcw H lcgtmatcly rulng.
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc 1
35
t acts aganst hm l t cnlorccs somconc`s rghts aganst hm,
punshcs hm, cxacts compcnsaton lrom hm, andso lorth. t acts
lor hm ltdclcnds hm aganst othcrs, punshcs othcrs lorvoIat-
ng hs rghts, lorccs othcr to compnsatc hm, and so lorth.
Jhcorsts ol thc statc ol naturc hoId that thcrc arc ccrtan rghts
rcsdng n thc vctm olwrong thatothcrsmay cxcrcscenli/ au-
thorzcd by hm, and thcrc arc othcr rghts that othcrs may cxcr-
csc, whcthcr or not thc vctm authorzcd thcm to do so. Jhc
rght to cxact compcnsaton s olthc mst sort, thc rght to punsh
olthc sccond. lthcvctm chooscs not to bc compcnsatcd, noonc
cIsc may cxact compcnsaton lor hm or lor thcmscIvcs n hs
pIacc. but l thc vctm docs wsh to bc compcnsatcd, why may
onIy thosc whom hc has authorzcd to act lor hm cxact compcnsa-
ton! LIcarIy, lscvcraI dllcrcnt pcrsons cach cxact hII compcnsa-
ton lrom thc ollcndcr, ths wouId do hm an nustcc. Mow thcn
s t to bc dctcrmncd whch pcrson acts! s thc onc who may act
thc onc who acts hrst to cxact sulhccnt compcnsaton lor thc vc-
tm! but aIIowng many to compctc to bc thc hrst succcssluIIy to
cxact compcnsaton wII cmbroI prudcnt wrongdocrs and vctms
aIkc n many ndcpcndcnt tmc- and cncrgy-consumng hcarng
proccsscs, onIy onc olwhch actuaIIy wII rcsuIt na compcnsaton
paymcnt. AItcrnatvcIy, pcrhaps thc pcrson who hrst bcgns thc
attcmpt to cxact compnsaton prccmpts thc hcId, no othcrs may
aIso cngagc n thc proccss. but ths wouId aIIow thc wrongdocr
hmscIl to havc a conlcdcratc bc thc hrst to start compcnsaton
procccdngs (whch wouId bc Iong, compIcatcd, and pcrhaps n-
concIusvc) n ordcr to stop othcrs lrom cxactng compcnsaton
lrom hm.
n thcory, an arbtrary ruIc couId bc uscd to scIcct anyoncas thc
onc to cxact (or to authorzc anothcr to cxact) compcnsaton-lor
cxampIc, thc cxactcr olcompcnsaton s to bc that pcrson whosc
namc comcs mmcdatcIy altcr that olthcvctm nan aIphabctcaI
Istng olthc namcs olcvcryonc n thc tcrrtory. ` (ouId ths Icad
to pcopIc vctmzng thcr mmcdatc aIphabctcaI prcdcccssors!)
Jhat tbc thc vctm who scIccts thc cxactcr olcompnsaton cn-
surcs, at Icast, that hc wII bc commttcd to rcst contcnt wth thc
upshot ol thc proccss and wII not contnuc to attcmpt to gct hr-
thcr compnsaton. Jhc vctm wII not bcIcvc hc scIcctcd a pro-
ccss by naturc unlar to hmscIl, or lhc comcs to bcIcvc ths, hc
State-oj-Nature Theoy
wII havc onIy hmscIl to bIamc. t s to thc advantagc ol thc
wrongdocr that thc vctm bc nvoIvcd n, and commttcd to, thc
proccss, lor othcrwsc thc vctm wII ntatc a sccond proccss to
obtan thc rcmandcr olwhat hc bcIcvcs hc dcscrvcs . Jhc vctm
can bc cxpcctcd to acccdc to a rcstrcton aganst doubIc copardy
onIy l thc ntaI proccss s onc hc s commttcd to and has somc
conhdcncc n, as wouId not bc thc casc l a conlcdcratc ol thc
wrongdocr madc thc ntaI udgmcnt. but what s wrong wth
doubIc copardy, gvcn that l its upshot s unust thc pcrson
punshcd can act hmscII And, why cannot a vctm pIacc hs
wrongdocr undcr doubIc copardy, cvcn though thc hrst proccss
was onc that hc hmscIl had authorzcd! Lannot thc vctm say
that hc had authorzcd anothcr to cxact hs ust compcnsaton, and
that sncc thc agcnt laIcd to do ths hIIy, hc hmscIls wthn hs
rghts to authorzc yct anothcr to act! lthc hrst pcrson hc scnds
agansta wrongdocr laIs to rcach hm, hcmay scnd anothcr, lhc
rcachcs hm but s bought oll, thc vctm mayscnd anothcr, why
may hc not scnd anothcr lhs hrst agcnt laIs to pcrlorm hs task
adcquatcIy!Jo bc surc, lhc docs scnd anothcr to cxact somcthng
abovc and bcyond what hs hrst agcnt attcmptcd to takc, hc runs
thc rsk that othcrs wII thnk hs addcd cxacton unust and so
wII opposc hm. but arc thcrc othcr than prudcntaI grounds lor
hs not dong so! Jhcrc s rcason aganst doubIc copardy n acvc
IcgaI systcm as t s usuaIIy magncd. Sncc aII ttakcs s onc con-
vcton, t s unlar to aIIow thc prosccuton to kccp tryng and
tryng untI t succccds. Jhs wouId not appIy n thc statc olna-
turc, whcrc thc mattcr s not scttIcd absoIutcIy and s not bndng
upon aII whcn thc vctm`s agcnt or agcncy rcachcs a udgmcnt. t
s unlar to gvc thc prosccutor n acvc systcm many chanccs at a
hnaI and bndng udgmcnt, lor lhc s Iucky onc tmc thcrc wII
bc IttIc rccoursc lor thc prson lound guIty. Mowcvcr, n a statc
ol naturc thcrc s rccoursc lor somconc who hoIds thc dccson
aganst hmscIl unust.
! but cvcn though thcrc s no guarantcc
that a vctm wII rcgard hs agcnt`s dccson as acccptabIc, t s
morc IkcIy than hs so rcgardng that ol somc unknown thrd
party, and so hs scIcctng thc cxactcr ol compcnsaton s a stcp
toward cndng thc allar. (Ms antagonst aIso mght agrcc to ac-
ccpt thc rcsuIt . ) Jhcrc s yct anothcr rcason, pcrhaps thc maor
onc, lor thc vctm`s bcng thc appropratc Iocus olacton to cxact
urthcr Lonstdcrattons on thc Argumcnt Ior thc btatc I

compcnsaton. Jhc vctm s thc onc to whom compcnsaton is

owcd, not onIy n thc scnsc that thc moncy gocs to hm, but aIs0
n that thc othcr s undcr an obIgatonte bim topay t. (Jhcsc arc
dstnct. may bc undcr an obIgaton to you to pay anothcr er
son moncy, havng promscd to you that wouId pay hm. ) As thc
pcrson to whom ths cnlorccabIc obIgaton s owcd, thc vctm
sccms thc appropratc party to dctcrmncprccscIyhow t s tc |
c
cnlorccd.
THE RI GHT OF ALL TO PUNI S H
n contrast to cxacton olcompcnsaton, whch t vcws as somc-
thng donc appropratcIy onIy by thc vctm or hs authorzcd
agcnt, statc-ol-naturc thcory usuaIIy vcws punshmcnt as a lunc-
ton that anyonc may pcrlorm. Lockc rcaIzcs that ths wII sccm
a vcry strangc doctrnc to somc mcn` (scct. g). Mc dclcnds t |
y
sayng that thc Iaw olnaturc wouId bc n van lno onc n a statc
olnaturc had apowcr to cxccutc t, and snccalI nthcstatcoIn-
turc havc cquaI rghts, l any onc pcrson may cxccutc t thcn cv-
cryonc has that rght (scct. y), hc says aIso that an ollcndcr
bccomcs dangcrous to manknd n gcncraI , and so cvcryonc my
punsh hm (scct . B), and hc chaIIcngcs thc rcadcr to hnd somc
othcr ground lor a country`s punshng aIcns lor crmcs thcy com-
mt wthn t. s thcgcncraI rght to punshso countcrntutvc! l
somc grcat wrong wcrc commttcd n anothcr country whch rc-
hscs to punsh t(pcrhaps thc govcrnmcnt s n Icagucwth, or s
tscIl, thc wrongdocr), wouldn' t t bc aII rght lor you to punsh
thc wrongdocr, to nh ct somc harm on hm lor hs act! urthcr-
morc, onc mght try to dcrvc thc ryht to punsh lrom othcr
moraI consdcratons. lrom thc rght to protcct, combncd wth
thc vcw that a wrongdocr`s moraI boundarcs changc. Cnc mght
takc acontract-Ikc vcw olmoraI prohbtons and hoId that thosc
who thcmscIvcs voIatc anothcr` s boundarcs lorlct thc rght to
havc ccrtan olthcr own boundarcs rcspcctcd. Cn ths vcw, onc
s not moraIIy prohbtcd lrom dong ccrtan sorts ol thngs to
othcrs who havc aIrcady voIatcd ccrtan moraI prohbtons (and
goncunpunshcdlor ths). Lcrtanwrongdong gvcsothcrsalirt
State-oj-Nature Theoy
to cross ccrtan boundarcs (an abscncc ola duty not to do t), thc
dctaIs mght bc thosc olsomc rctrbutvc vcw.' JaIk ola rght
to punsh may sccm strangc lwc ntcrprct t strongIy as a rght
whch othcrs must not happcn to ntcrlcrc wth or thcmscIvcs cx-
crcsc, rathcr than as a Ibrty to do t, whch Ibcrty othcrs
aIso may havc. Jhc strongcr ntcrprctaton ol rght s un-
ncccssary, thc Ibcrty to punsh wouId gvc Lockc much olwhat hc
nccds , pcrhaps aII l wc add thc duty ol thc wrongdocr not to
rcsst hs punshmcnt . c may add to thcsc rcasons whch makc
morc pIausbIc thc cIam that thcrc s a gcncraI rght to punsh thc
consdcraton that, unIkc compcnsaton, punshmcnt s not owcd
to thc vctm (though hc may bc thc pcrson most grcatIy ntcr-
cstcd n ts bcng carrcd out), and so t s not somcthng hc has
spcaI authorty ovcr.
Mow wouId a systcm ol opcn punshmcnt opcratc! AII ol our
prcvous dlhcuItcs n magnng how opcn cxacton olcompcnsa-
ton wouId work appIyas wcII to a systcm olopcn punshng. And
thcrc arc othcr dlhcuItcs . s t to bc a systcm olthc hrst actor`s
prccmptng thc hcId! II sadsts compctc to bc hrst to gct thcr
Icks n! Jhs wouId grcatIy magn thc probIcm olkccpng thc
punshcrs lrom cxcccdng thc bounds olthc dcscrvcd punshmcnt
and wouId bc undcsrabIc, thc opportuntcs t ollcrs lor chccrluI
and unaIcnatcd Iabor notwthstandng. n a systcm olopcn pun-
shmcnt wouId anyonc bc n a poston to dccdc upn mcrcy, and
wouId anothcr bc prmttcd to ncgatc ths dccson by punshng
addtonaIIy so Iong as thc sum dd not cxcccd thc amount dc-
scrvcd! LouId thc ollcndcr havc a conlcdcratc punsh hm onIy
IghtIy! ouId thcrc bc any IkcIhood that thcvctmwouId lccI
that ustcc had bccn donc! And so on.
la systcm that Icavcs punshmcnt to whomcvcr happcns todo
t s dclcctvc, how s t to bc dccdcd who, among aII thosc
wIIng and pcrhaps cagcr, punshcs! t mght bc thought that, as
bclorc, t shouId b thc vctm or hs authorzcd agcnt. Yct
though thc vctm occupcs thc unhappy spccaI poston olvctm
and s owcd compcnsaton, hc s not owcd punshmcnt. (Jhat s
owcd` to thc pcrson who dcscrvcs to bc punshcd. ) Jhc ollcndcr
s not undcr an obIgaton to thcvctm to b punshcd, hc docsn` t
dcscrvc to bc punshcd to thc vctm. ` So whyshouId thc vctm
havc a spcaI rght to punsh or to bc thc punshcr! lhc has no
'
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc 1 39
spccaI rght to punsh, docs hc havc any spccaI rght to choosc
that thc punshmcnt net bc carrcd out at aII, or that mcrcy bc
grantcd! May somconc punsh an ollcndcr cvcn aganst thc wshcs
ol thc ollcndcd party who moraIIy obccts to thc modc olpunsh-
mcnt! la Landhan sattackcd, may othcrs dclcnd hm bymcans
hc moraIIy rcccts! Cthcrs too arc ahcctcd, thcy arc madc lcarhI
and Icss sccurc lsuch crmcs go unpunshcd. ShouId thc lact that
thc vctm was thc onc most allcctcd by thc crmc gvc hm a
spccaI status wth rcgard to punshng thc ollcndcr! (Arc thc
othcrs ahcctcd by thc crmc, or onIy by ts gong unpunshcd!)l
thc vctm was kIIcd docs thc spcaI status dcvoIvc upon thc
cIoscst kn! lthcrc arc two vctms ola murdcrcr, do cach olthc
ncxt olkn havc a rght to punsh hm wth dcath, wth a comp-
tton lor who wIIbc thc hrst to act! Pcrhaps thcn, rathcr than ts
bcng thccasc that anyoncmay punsh or that thcvctm aIonc has
authorty to punsh, thc soIuton s that aII conccrncd (namcIy, cv-
cryonc) ontIy act to punsh or to cmpowcr somconc to punsh.
but ths wouId rcqurc somc nsttutonaI apparatus or modc ol
dccson wthn thc statc olnaturc tscIl. And, lwc spccly ths
cvcryonc`s havng a rght to a say n thc uItmatcdctcrmnaton ol
punshmcnt, ths wouId bc thconIyrghtolths sort whch popIc
posscsscd n a statc olnaturc, t wouId add up to a rght (thc rght
to dctcrmnc thc punshmcnt) posscsscd by popIc ontIy rathcr
than ndvduaIIy. Jhcrc sccms to bc no ncat way to undcrstand
how thc rght to punsh wouId opratc wthn a statc ol naturc.
rom ths dscusson olwhomay cxactcompnsaton and whomay
punsh cmcrgcs anothcr avcnuc to thc qucston ola domnant pro-
tcctvc assocaton` s cnttIcmcnt.
Jhc domnant protcctvc assocaton s authorzcd bymany pcr-
sons to act as thcr agcnt n cxactng compcnsaton lor thcm. t s
cnttIcd to act lor thcm, whcrcas a smaII agcncy s cnttIcd to act
lorlcwcrprsons, and an ndvduaI s cnttIcd to act onIy lor hm-
scIt n ths scnsc ol havng a grcatcr numbcr ol ndvduaI cn-
ttIcmcnts , but a knd thatothcrshavc as wcI I , thc domnant pro-
tcctvc agcncy has a grcatcr cnttIcmcnt. Somcthng morc can bc
sad, gvcn thc uncIarty about how rghts to punsh opratc n a
statc olnaturc. Te tbe extent that t s pIausbIc that aII who havc
somc cIam to arght to punsh havc to act ontIy, thcn thc dom-
nant agcncy wII bc vcwcd as havng thc grcatcst cnttIcmcnt to
State-oj-Nature Theoy
cxact punshmcnt, s:ncc aImost aII authorzc t to act n thcr
pIacc. n cxactng punshmcnt t dspIaccs and prccmpts thc ac-
tons to punsh ol thc lcwcst othcrs. Any prvatc ndvduaI who
acts wII cxcIudc thc actons and cnttIcmcnts ol aII thc othcrs,
whcrcas vcry many popIc wII lccI thcr cnttIcmcnt s bcng cxcr-
cscd whcn thcr agcnt, thc domnant protcctvc agcncy, acts. Jhs
wouIdaccountlor thnkng that thc domnantprotcctvcagcncyor
a statc has somc spccaI Icgtmacy. Mavng morc cnttIcmcnts to
act, t s morc cnttIcd to act. but t s not cnttIcd to bc thcdom-
nant agcncy, nor s anyonc cIsc.
c shouId notc onc lurthcr possbIc sourcc ol vcwng somc-
thngas thcIcgtmatc Iocus olthccxcrcscolcnlorcng powcr. Jo
thc cxtcnt that ndvduaIs vcw choosng a protcctvc agcncy as a
coordnaton gamc, wth advantagcs to thcr quckIy convcrgng
upon thc samc onc, though t docsn't mattcr vcry much whch
onc, thcy may thnk thc onc that happcncd to bc scttIcd upon s
thc appropratc or propcr onc now to Iook to lor protccton. Lon-
sdcr a ncghborhood mcctng pIacc lor tccnagcrs. tmay not mat-
tcr vcry much whcrc thc pIacc s, so Iong as cvcryonc knows thc
pIacc whcrc othcrs wII congrcgatc, dcpcndng upon othcrs to go
thcrc lanywhcrc. Jhat pIacc bccomcs 'thc pIacc to go` to mcct
othcrs . t s not onIy that you wtII bc morc IkcIy to bc unsucccss-
luI lyou Iook cIscwhcrc, t s that othcrs bcncht lrom, and count
upon, your convcrgng upon that pIacc, and smIarIy you bcncht
lrom, and countupon, thcr congrcgatng thcrc. t s not cnttIcd
to bc thc mcctng pIacc, lt s a storc ts owncr s not cnttIcd to
havc hs storc bc thc oncat whchpopIc congrcgatc. t s not that
ndvduaIs must mcct thcrc. t's ustthc pIacc to mcct. SmIarIy,
onc mght magnc a gvcn protcctvc agcncy's bccomng thc onc
to bc protcctcd by. Jo thc cxtcnt that pcopIc attcmpt to coord-
natc thcr actons and convcrgc upon a protcctvc agcncy whch
wII havcaII as cIcnts, thc proccss s, to that cxtcnt, not hIIy an
nvsbIc-hand onc. And thcrc wII b ntcrmcdatc cascs, whcrc
somc vcw t as a coordnaton gamc, and othcrs , obIvous olths,
mcrcIy rcact to IocaI sgnaIs.
'
*
hcn onIy onc agcncy actuaIIy cxcrcscs thc rght to prohbt
othcrs lrom usngthcrunrcIabIc proccdurcs lor cnlorcng ustcc,
that makcs t thcde/atte statc. Cur ratonaIc lor ths prohbton
rcsts on thc gnorancc, unccrtanty, and Iack olknowIcdgc olpco-
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc
plc. n somc stuatons , t s not known whcthcr a partcuIarpr-
son pcrlormcd a ccrtan acton, and proccdurcs lor hndng ths out
dllcr n rcIabIty or larncss. c may ask whcthcr, n a worId ol
pcrlcct lactuaI knowIcdgc and nlormaton, anyonc couId Icgt-
matcIy cIam thc rght (wthout cIamng to bc ts soIc psscssor)
to prohbt anothcr lrom punshng a guIty party. Lvcn gvcn lac-
tuaI agrccmcnt, thcrc mght bc dsagrccmcnt about what amount
ol punshmcnt a partcuIar act dcscrvcd, and about whch acts
dcscrvcd punshmcnt. havc procccdcd n ths cssay (as much as
possbIc) wthout qucstonng or locusng upon thc assumpton
common to much utopan and anarchst thcorzng, that thcrc s
somc sct olprncpIcs obvous cnough to bc acccptcd by aII mcn ol
good wII, prccsc cnough to gvc unambguous gudancc n par-
tcuIar stuatons, cIcar cnough so that aII wII rcaIzc ts dctatcs,
and compIctc cnough tocovcr aIIprobIcms that actuaIIy wII arsc.
Jo havc rcstcd thc casc lor thc statc on thc dcnaI olsuch an as-
sumpton wouId havc Iclt thc hopc that thc hturc progrcss olhu-
manty (and moraI phIosophy) mght ycId such agrccmcnt, and
so mght undcrcut thc ratonaIc lor thc statc. Pot onIy docs thc
day sccm dstant whcn aII mcn olgood wII shaII agrcc to Ibcr-
taran prncpIcs, thcsc prncpIcs havc not bccn compIctcIy statcd,
nor s thcrc now onc unquc sct ol prncpIcs agrccd to by aII
Ibrtarans . Lonsdcr lor cxampIc, thc ssuc ol whcthcr hII-
bIoodcd copyrght s Icgtmatc. Somc Ibrtarans arguc t sn'tIc-
gtmatc, but cIam that ts cllcct can bc obtancd lauthors and
pubIshcrs ncIudc n thc contract whcn thcy scIIbooks aprovson
prohbtng ts unauthorzcd prntng, and thcn suc any book
pratc lorbrcach olcontract, apparcntIy thcy lorgct that somc pco-
pIc somctmcs Iosc books and othcrs hnd thcm. Cthcr Ibcrtarans
dsagrcc.
'
SmIarIy lor patcnts. l pcrsons so cIosc n gcncraI
thcory can dsagrcc ovcr a pont so hndamcntaI , two Ibrtaran
protcctvc agcnccs mghtmanagc to do battIc ovcr t. Cnc agcncy
mght attcmpt to cnlorcc a prohbton upon a pcrson's pubIshng
a partcuIar book(bccausc ths voIatcs thc author's propcrty rght)
or rcproducng a ccrtan nvcnton hc has not nvcntcd ndcpn-
dcntIy, whIc thc othcragcncy hghts ths prohbtonas avoIaton
ol ndvduaI rghts . Osagrccmcnts about what s to bc cnlorccd,
arguc thcunrcIuctant archsts , provdc yct anothcr rcason (n add-
ton to Iack ollactuaI knowIcdgc)lor thc apparatus olthc statc, as
State-oj-Nature Theoy
aIso docs thc nccd lor somctmcs changng thc contcnt olwhat s
to bc cnlorccd. PcopIc whoprclcr pcacc to thc cnlorccmcnt olthcr
vcw olrght wII untc togcthcr nenestatc. butolcoursc, lpco-
pIc gcnuncIyde hoId thsprclcrcncc, thcrprotcctvc agcnccs wII
not do battIc cthcr.
PREVENTI VE R ES TRAI NT
naIIy, Ict us notcc how thc ssuc ol prcvcntvc dctcnton` or
prcvcntvc rcstrant` s rcIatcd to thc prncpIc ol compnsaton
(Lhaptcr q) and to our dscusson n Lhaptcr 5 ol thc cxtcnsvc
protccton t rcqurcs thc uItramnmaI statc to provdc, cvcn lor
thosc who do not pay. Jhc noton shouId bc wdcncd to ncIudc
aII rcstrctons on ndvduaIs n ordcr to Icsscn thc rsk that tbe
wII voIatc othcrs` rghts, caII ths wdcncd noton prcvcntvc rc-
strant. ` ncIudcd undcr ths wouId bc rcqurng somc ndvduaIs
to rcport to an olhcaI oncc a wcck (as lthcy wcrc on paroIc), lor-
bddng somc ndvduaIs lrom bcng n ccrtan pIaccs at ccrtan
hours, gun controI Iaws, and so on (but not Iaws lorbddng thc
pubIcaton olthc pIans olbank aIarm systcms). Prcvcntvc dctcn-
ton wouId cncompass mprsonng somconc, not lor any crmc hc
has commttcd, but bccausc t s prcdctcd olhm that thc proba-
bIty s sgnhcantIy hghcr than normaI that hc wII commt a
crmc. (Msprcvous crmcs may bc part olthc dataon thc bass ol
whch thc prcdctons arc madc. )
l such prcvcntvc rcstrants arc unust ths cannot bc bccausc
thcy prohbt bclorc thc lact actvtcs whch though dangcrous
may turn out to bc harmIcss. or an cnlorccabIc IcgaI systcm tbat
indumrebilitiensenrivateen/ertemente/)ustite s tscIlbascd upon
prcvcntvc consdcratons.
' t cannot bc cIamcd thatsuch consd-
cratons, undcrIyng thc cxstcncc ola/l IcgaI systcms whch pro-
hbtscIl-hcIp ustcc, arc ncompatbIc wth thc cxstcnccola ust
IcgaI systcm, not, at anyratc, loncwshcs to mantan thatthcrc
can bc a ust IcgaI systcm. Arc thcrc grounds lor condcmnng
prcvcntvc rcstrantsas unust thatdo not appIy asstrongIyaIso to
thc prohbtons upon prvatc ustcc that undcrIc thc cxstcncc ol
cvcry statc`s IcgaI systcm! do not know l prcvcntvc rcstrants
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc 1
43
tan bc dstngushcd, on grounds ol ustcc, lrom othcr smIar
dangcr-rcducng prohbtons whch arc hndamcntaI to IcgaI sys-
tcms. Pcrhapswc arc hcIpcd by our dscusson carIy n ths chaptcr
olprncpIcs that dstngush actons or proccsscs whcrc no lurthcr
dccson lor wrong s to bc madc lrom proccsscs whcrc wrong
occurs onIy lthc pcrson Iatcr dccdcs to do wrong. Jo thc cxtcnt
that somc pcopIc arc vcwcd as ncapabIc olmakng a hturc dcc-
sonand arc vcwcd mcrcIy as mcchansms now sctntoopraton
whch wII (or may) pcrlorm wrong actons (or to thc cxtcnt that
thcy arc vcwcd as intaalle oldccdng aganst actng wrongIy!),
thcn prcvcntvc rcstrant possbIy wII sccm Icgtmatc. Provdcd
dsadvantagcs arc compcnsatcd lor (scc bcIow), prcvcntvc rcstrant
wII bc aIIowcd by thc samc consdcratons that undcrIc thc cxs-
tcncc ol a IcgaI systcm. (Jhough othcr consdcratons may ruIc t
out . ) but lthc cvI (t s lcarcd) thc pcrson may do rcaIIy docs
hngc upon dccsons lor wrong whch hc has not yct madc, thcn
thc carIcr prncpIcs wII ruIc prcvcntvc dctcnton or rcstrant I-
Icgtmatc and mprmssbIc.
Lvcn lprcvcntvc rcstrant cannot bc dstngushcd on grounds
ol ustcc lrom thc smIar prohbtons undcrIyng lcgaI systcms ,
and lthc rsk oldangcr s sgnhcant cnough to makc ntcrvcnng
va prohbton pcrmssbIc, stII, thosc prohbtng n ordcr to
gan ncrcascd sccurty lor thcmscIvcs must temensate thosc proh-
btcd (who wcIImght notactuaIIy harm anyonc) lor thcdsadvan-
tagcs mpscd upon thcm by thc prohbtons. Jhs lolIows lrom,
and s rcqurcd by, thc prncpIc olcompcnsaton olLhaptcr q. n
thc casc olmnor prohbtons and rcqurcmcnts, such compcnsa-
ton mght bc casy to provdc (and pcrhaps shouId bc provdcd n
thcsccascs cvcn whcn thcydo notconsttutcadisadvantage). Cthcr
mcasurcs, ncIudng curlcws upon somc pcrsons and spcc hc rc-
strctons on thcr actvtcs, wouId rcqurc substantaI compnsa-
ton. t wII bc aImost mpossbIc lor thc pubIc to provdc com-
pcnsaton lor thc dsadvantagcs mposcd upon somconc who s
ncarccratcd as aprcvcntvc rcstrant. Pcrhaps onIy by scttng asdc
a pIcasant arca lor such pcrsons prcdctcd to bc hghIy dangcrous,
Locs ths hold cvcn Ithc rctrancrs makc)uH compcnsaton, rcturnng
thc rcstrancd to at lct as hgh an ndIIcrcncc curvc hc would havc L
cupcd, nstcad oI mcrcly compcnsatng Ior thcdisadvantags mposcd!
State-oj-Nature Theoy
whch though lcnccd and guardcd contans rcsort hotcIs , rccrca-
tonaI lacItcs, and so lorth, can ths rcqurcmcnt olcompcnsat-
ng lor dsadvantagcs mposcd bc mct . (Accordng to our carIcr
dscusson, t mght bc pcrmssbIc to chargc thcsc prsons a lcc
not hghcr than thcr normaI rcnt and lood bIIs n thc wdcr so-
cty. but ths wouId notbcpcrmssbIc lthcpcrson couId notcon-
tnuc to carn ncomc comparabIc to hs outsdc ncomc, lor ths
chargc thcnwouId dcpIctcaII olhs hnancaI rcsourccs . ) Such adc-
tcnton ccntcr wouId havc to bc an attractvc pIacc to Ivc, whcn
numbcrsolpcopIcattcmptto gctscnt to tonccan concIudc thas
bccn madc morc than Iuxurous cnough to compcnsatc somconclor
thc dsadvantagcs olbcng prohbtcd lrom Ivng among othcrs n
thc wdcr soccty. do not dscuss hcrc thc dctaIs ol such a
schcmc, thc thcorctcaI dlhcuItcs (lor cxampIc, somc wouId bc
morc dsadvantagcd than othcrs by bcng rcmovcd lrom thc wdcr
soccty), and thc possbIc moraI obcctons (lor cxampIc, arc somc-
onc`s rghts voIatcd whcn hc sscnt to apIaccaIong wth aII thosc
othcr dangcrous pcopIc! Lan ncrcascd Iuxurousncss compnsatc
lor thc ncrcascd dangcr!). or mcnton rcsort dctcnton ccntcrs
net to proposc thcm, but to show thc sort olthngs proponcnts ol
prcvcntvc dctcnton must thnk about and bc wIIng to countc-
nanccanda/er. Jhc lact that thc pubIc must compnsatc pr-
sons t prcvcntvcIy rcstrans lor thcdsadvantagcs t mposcs upon
thcm n thosc cascs (i/an) whcrc t IcgtmatcIy may so rcstran
thcm wouId prcsumabIy act as a scrous chcck upon thc pubIc` s
mposng such rcstrants. c may condcmn mmcdatcIy any
schcmc olprcvcntvc rcstrants that docs not ncIudc provsons lor
makng such compcnsaton n adcquatc amount. hcn combncd
wthour concIusons n thc prcccdng paragraph, ths Icavcs IttIc,
lany, scopc lor Icgtmatc prcvcntvc rcstrant.
A brcldscusson olsomc obcctons to ths vcwolprcvcntvc
5ncc only thc dsadvantagcs nccd to bc compcnsatcd Ior, pcrhaps somc-
what lcss than a placc pcoplc would choosc would suIhcc. Mowcvcr, wth a
changc drtc as dctcnton n a communty, t wll b dthcult to cstmatc
thc cxtcnt oI thc dsadvantagcs. Ito bc dsadvantagcd mcans to bc hampcrcd,
as comparcd to othcrs, wth rcgard to ccrtan actvtcs, arcstrcton as scvcrc
dctcnton probably wll rcqurc[ul| compnsaton Ior dsadvantagcs. Fcrhaps
only whcn a placc lurcs somc wll onc bc n a poston to thnk t compnsatc
all who arc thcrc Ior thcr dsadvantagcs.
urthcr Lonstdcrattons on thc Argumcnt tor thc btatc 1
45
rcstrant wII cnabIc us to brng to bcar consdcratons wc havc
trcatcd carIcr n othcr contcxts. c may wondcr whcthcr t cvcr
couId bc pcrmssbIc lor somc pcopIc prcvcntvcIy to rcstran oth-
crs, cvcn lthcy compcnsatc thcsc othcrs lor thcdsadvantagcs m-
poscd upon thcm. nstcad ola systcm olprcvcntvc rcstrant, why
mustn`t thosc who dcsrc that othcrs bc rcstrancd prcvcntvcIy
hrc (pay) thcm to undcrgo thc rcstrants! Sncc ths cxchangc
wouId satsly thc hrst ncccssary condton lor an unproductvc`
cxchangc (sccLhaptcrq), andsncc what oncparty (who s no bct-
tcr oll as a rcsuIt ol thc cxchangc than l thc othcr party had
nothng at aII to do wth hm)gans s onIy a Icsscncd probabIty
olundcrgong whatwouIdbc a prohbtcd bordcr crossng ldonc
ntcntonaIIy, our carIcr argumcnts lor markct dctcrmnaton ol
thc dvson ol thc mutuaI bcnchts ol cxchangc do not appIy. n-
stca, wc havc hcrc acanddatclorprohbtonwthcompnsaton,
morc strongIy (accordng to our dscusson n Lhaptcr q), lor
prohbton wth compnsaton onIy lor thc dsadvantagcs m-
poscd. SccondIy, n many prcvcntvc rcstrant stuatons, thc
product` (namcIy, bis bcng rcstrancd) can bc suppIcd onIy by
that prty. Jhcrc sn` t, and couIdn`t bc, somc othcr prson, somc
compcttor, who couId scII youtbat lthc hrst prson's prcc was
too hgh. t s dlhcuIt to scc why n tboe cascs e/ nenreductive
excbange (at Ict by thc hrst ncccssary condton), monopoIy prc-
ng shouId b vcwcd as thc appropratcmodcI lor dstrbutng thc
bcnchts . l, howcvcr, thcgoaI ola prcvcntvc-rcstrant program s
to brng thctotaI probabItyoldangcr to othcrsbcncatha ccrtan
thrcshoId, rathcr than to rcstran cvcry dangcrous prson who
makcs morc than a hxcd mnmaI contrbuton to ths totaI
dangcr, thcn ths mght bc accompIshcd wthout alI ol thcm
bcng rcstrancd. lcnough wcrc hrcd, ths would brng thc totaI
dangcr poscd by thc othcrs to bcIow thc thrcshoId. n such stua-
tons, thc canddatcs lor prcvcntvc rcstrant would havc somc
rcason to comptc n prcc wth cach othcr, mr thcy wouId ocupy
a somcwhat Icss commandng markct pston.
Lvcn lthcrcstrancrs nccd notrcach avoIuntary bIatcraI agrcc-
mcnt wth thosc thcy rcstran, why arcn't thcy at Ict rcqurcdnet
to movc thosc thcy rcstran to a Iowcr ndhcrcncc curvcr hy s
t rcqurcd onIy that compcnsaton b madc lor thcdisadvantago
mpscd! Cnc mght vcw compnsaton lor dsadvantagcs as a
State-oj-Nature Theoy
compromsc arrvcd at bccausc onc cannot dccdc bctwccn two at-
tractvc but ncompatbIc pstons. ( I ) no paymcnt, bccausc dan-
gcrous pcrsonsmay bc rcstrancd and so thcrc sa rght to rcstran
thcm, (z) hII compnsaton, bccausc thc prson mght Ivc unrc-
strancd wthoutactuaIIy harmng anyonc, and so thcrc s no rght
to rcstran hm. but prohbton wth compnsaton lor dsadvan-
tagcs s not a spIt thc dllcrcncc` compromsc bctwccn two
cquaIIy attractvc aItcrnatvc postons, onc olwhch s corrcct but
wc don` t know whch. Kathcr, t sccms to mc to bc thc corrcct
poston that hts thc (moraI) vcctor rcsuItant ol thc opposng
wcghty consdcratons, cach olwhch must bc takcn nto account
somchow.
Jhs concIudcs ths chaptcr`s consdcraton olobcctons to our
argumcnt whch Icd to thc mnmaI statc, as wcII as our appIca-
ton ol thc prncpIcs dcvcIopcd n that argumcnt to othcr ssucs .
Mavng gottcn lrom anarchy to thc mnmaI statc, our ncxt maor
task s to cstabIshthat wc shouId procccd no hrthcr.
hat t thc publc s to mpvcrshcd to compnsatc thos who unrc-
strancd would b vcry dangcrous! Lannot a subsstcncc tarmng communty
prcvcntvclyrcstrananyonc!Ycs thcymay, but only tthc rcstrancrs gvc ovcr
cnough n an attcmpt to compnsatc, so to makc about cquvalcnt thcr own
lcsscno postons (lcsscncd by thcr gvng up goods and placng thcm nto thc
compnsaton gl) and thc pstons (wth compnsaton) ot thosc rcstrancd.
hc rcstrano arc stll somcwhat dsvantagcd, but no morc than cvcryonc
cls. A cty s impoerished wth rcgard to a prcvcntvc rcstrant t thosc rc-
stranngcannot compnsatc thosc rcstrancd tor thc dsadvantagcs thcy mpsc
wthout thcmsclvcs movng nto apston that u dsadvantagcd, that s, wth-
out thcmsclvcs movng nto a pston whch would havc bccn dsadvant@cd
had only 1w prsons bcn movcd nto t. mpovcrshcd socctc must cry
compnsaton tor dsadvantagcs untl thcpstons otthosc rcstrancd and thosc
unrcstrancd arc madc cquvalcnt. hc conccpt ot cquvalcncc` hcrc can b
gvcn dhcrcnt glossc. madc cqually dsadvantagcd n absolutc poston (whch
gloss may sccm unrconably strong n vcw ot thc tact that somc ot thosc
unrcstrancd may start ottn qutc a hgh poston), lowcrcd by cqual ntcrvals,
lowcrcd by thc samc prccntagcs, as udgcd aganst somc basc lnc. bccomng
clcar abut thcc complcatcd ssucs would rcqurc nvctgatng thcm tar
byond thcr margnal mprtcc to our ccntral conccrns n ths bok. 5ncc
AlanLcrshowtzntorms mcthatthcanalyss n thc sccondvolumcoths torth-
comng cxtcnsvc work onprcvcntvcconsdcratons n thc law parallcls parts ot
our dscusson n thcc pagcs, wc can suggcst that thc rcadcr lok thcrc tor mr-
thcr consdcraton otthc ssucs.
PART
II
Beyond the Minimal State?
CHAPTER
7
Distributive Justice
TML mnmaI statc s thc most cxtcnsvc statc that can bc
usthcd. Any statc morc cxtcnsvc voIatcs pcopIc's rghts. Yct
many pcrsons havc put lorth rcasons purprtng to ust a morc
cxtcnsvc statc. t s mpossbIc wthn thc compass olths book to
cxamnc aII thc rcasons thathavc bccn put lorth. Jhcrclorc, shaII
locus upon thosc gcncraIIy acknowIcdgcd to bc most wcghty and
nhucntaI , to scc prccscIy whcrcn thcy laI . n ths chaptcr wc
consdcr thc cIam that a morc cxtcnsvc statc s usthcd, bccausc
ncccssary (or thc bcstnstrumcnt) to achcvc dstrbutvc ustcc, n
thc ncxt chaptcr wc shaII takc up dvcrsc othcr cIams.
Jhc tcrm 'dstrbutvc ustcc` s not a ncutraI onc. Mcarng
thc tcrm dstrbuton, ` most pcopIc prcsumc that somc thng or
mcchansm uscs somc prncpIc or crtcron to gvc out a suppIy ol
thngs. nto ths proccss ol dstrbutng sharcs somc crror may
havc crcpt. o t s an opcn qucston, at Icast, whcthcr rcdstr-
butonshouIdtakcpIacc,whcthcrwcshouId doaganwhathas aI-
rcady bccn donc oncc, thoughpoorIy. Mowcvcr, wcarc not n thc
poston olchIdrcn whohavcbccn gvcn portons olpc by somc-
onc who now makcs Iast mnutc adustmcnts to rcct carcIcss
cuttng. Jhcrc s no rcu!ral dstrbuton, no pcrson or group cn-
ttIcd to controI aII thc rcsourccs , ontIydccdng how thcy arc to
bc doIcd out. hat cach pcrson gcts, hc gcts lrom othcrs who
gvc to hm n cxchangc lor somcthng, or as a glt. n a lrcc soc-
I 49
Byond the Minial State?
cty, dvcrsc prsons controI dttcrcnt rcsourccs, and ncw hoIdngs
arsc out otthc voIuntary cxchangcs and actons otprsons. Thcrc
s no morc a dstrbutng or dstrbuton otsharcs than thcrc s a
dstrbutng otmatcs n a socty n whch prsons chosc whom
thcy shaII marry. Thc totaI rcsuIt s thc product otmany ndvd-
uaI dccsons whch thc dttcrcnt ndvduaIs nvoIvcd arc cnttIcd
to makc. Somc uscs ot thc tcrm dstrbuton, ` t s truc, do not
mpIy a prcvous dstrbutng appropratcIy udgcd by somc crtc-
ron (tor cxampIc, probabIty dstrbuton), ncvcrthcIcss, dc-
sptc thc ttIc otths chaptcr, t wouId b bcst to usc a tcrmnoI-
ogy thatcIcarIy s ncutraI . Mc shaII spak otpcopIc`s hoIdngs, a
prncpIcot ustcc nhoIdngs dcscrbcs (part ot) what ustcctcIIs
us(rcqurcs)about hoIdngs. shaIIstatc hrstwhat takc to b thc
corrcctvcwabout ustcc nhoIdngs, and thcn turn to thc dscus-
son otaItcrnatc vcws.'
S L C T L
THE E NTI TLE ME NT THEORY
Thc subcct ot ustcc n hoIdngs conssts ot thrcc maor topcs .
Thchrststhceriginalacquisitiene/beldings, thcappropratonotun-
hcId thngs . Ths ncIudcs thc ssucs ot how unhcId thngs may
comc to bc hcId, thcproccss, orproccsscs, by whch unhcId thngs
may comc to b hcId, thc thngs that may comc to b hcId by
thcscproccsscs, thc cxtcntotwhat comcs to bc hcId by apartcuIar
proccss, and so on. Mc shaII rctcr to thc compIcatcd truth about
ths topc, whch wc shaII not tormuIatc hcrc, as thc prncpIc ot
ustcc n acquston. Thc sccond topc conccrns thc trans/er e/
beldings trom onc pcrson to anothcr. y what proccsscs may a pcr-
son transtcr hoIdngs to anothcrr How may a pcrson acqurc a
hoIdng trom anothcr who hoIds tr Lndcr ths topc comc gcncraI
dcscrptons ot voIuntary cxchangc, and gtt and (on thc othcr
hand) traud, 8 wcII 8 rctcrcncc to partcuIar convcntonaI dctaIs
hxcdupnnagvcnsoccty. ThccompIcatcdtruthabutths sub-
cct (wth pIacchoIdcrs tor convcntonaI dctaIs) wc shaII caII thc
prncpIc ot ustcc n transtcr. (And wc shaII suppsc t aIso n-
tstrtbuttvc justtcc
cIudcs prncpIcs govcrnng how a pcrson may dvcst hmscItota
hoIdng, passng t nto an unhcId statc. )
tthc worId wcrc whoIIy ust, thc toI Iowng nductvc dchnton
wouId cxhaustvcIy covcr thc subcct otustcc n hoIdngs .
. A pcrson who acgut:cs a holdtng tn accordancc wtth thc prtnctplc ot
usttcc tn acgutsttton ts cntttlcd to that holdtng.
2 . Apcrson who acgutrcs a holdtng tn accordancc wtth thc prtnctplc ot
usttcc tn transtcr, trom somconc cIsc cntttlcd to thc holdtng, ts cn-
tttlcd to thc holdtng.
3.
Po onc ts cntttIcd to a hoIdtng cxccpt by (rcpcatcd) appltcattons ot
1 and 2 .
Thc compIctc prncpIc ot dstrbutvc ustcc wouId say smpIy
that a dstrbuton s ust t cvcryonc s cnttIcd to thc hoIdngs
thcy posscss undcr thc dstrbuton.
A dstrbuton s ust t t arscs trom anothcr ust dstrbuton
by Icgtmatc mcans. Thc Icgtmatc mcans ot movng trom onc
dstrbuton to anothcr arc spchcd by thc prncpIc ot ustcc n
transtcr. Thc Icgtmatc mst movcs` arcspcchcd by thcrncpIc
otustcc nacquston. Mhatcvcr arscs trom a ust stuaton by
ust stcps s tscIt ust. Thc mcans otchangc spcchcd by thc prn-
cpIc otustcc ntranstcr prcscrvc ustcc. AscorrcctruIcsotntcr-
cncc arc truth-prcscrvng, and anyconcIusondcduccdva rcpatcd
appIcaton otsuch ruIcs trom onIy truc prcmsscs s tscIttruc, so
thc mcans ottranston trom onc stuaton to anothcr spcchcd by
thc prncpIc ot ustcc n transtcr arc ustcc-prcscrvng, and any
stuaton actuaIIy arsng trom rcpcatcd transtons n accordancc
wth thc prncpIc trom a ust stuaton s tscItust. Thc paraIIcI
bctwccn ustcc-prcscrvng transtormatons and truth-prcscrvng
transtormatons IIumnatcs whcrc ttaIs 8 wcII8 whcrc t hoIds.
That a concIuson couId havc bccn dcduccd by truth-prcscrvng
mcans trom prcmsscs that arc truc suthccs to show ts truth. That
trom a ust stuaton a stuaton teuld havc arscn va ustcc-
prcscrvng mcans docsnet suthcc to show ts ustcc. Thc tact that
a thct `s vctms voIuntarIy teuld havc prcscntcd hm wth gtts
Applcatons ot thc prncplc ot j ustcc n acquston may also occur H
part ot thc movc trom onc dstrbuton to anothcr. You may hnd an unhcld
thng now and appropratc t. Acqustons also arc to bc undcrstoodH ncludcd
whcn, to smplq, spak only ot transtons by transtcrs.
Byond the Minial State?
docs not cnttIc thc thcl to hs II-gottcn gans. )ustcc n hoId-
ngs shstorcaI , tdcpndsuponwhatactuaIIyhashappcncd. c
shaII rcturn to ths pont Iatcr.
Pot aII actual stuatons arc gcncratcd n accordancc wth thc
two prncpIcs ol ustcc n hoIdngs. thc prncpIc ol ustcc n
acquston and thc prncpIc ol ustcc n translcr. Somc popIc
stcaI lrom othcrs, or dclraud thcm, or cnsIavc thcm, sczng thcr
product and prcvcntng thcm lrom Ivng as thcy choosc, or lorc-
bIy cxcIudc othcrs lrom comptng n cxchangcs . Ponc ol thcsc
arc pcrmssbIc modcs oltranston lrom onc stuaton to anothcr.
And somc pcrsons acqurc hoIdngs by mcans not sanctoncd by
thc prncpIc ol ustcc n acquston. Jhc cxstcncc olpast nus-
tcc (prcvous voIatons ol thc hrst two prncpIcs ol ustcc n
hoIdngs) rascs thc thrd maor topc undcr ustcc n hoIdngs.
thc rccthcaton ol nustcc n hoIdngs. l past nustcc has
shapcd prcscnt hoIdngs n varous ways, somc dcnthabIc and
somc not, what now, lanythng, ought to bcdonc to rcct thcsc
nustccs! hat obIgatons do thc pcrlormcrs ol nustcc havc
toward thosc whosc poston s worsc than t wouId havc bccn had
thc nustcc not bccn donc! Cr, than t wouId havc bccn had
compnsaton bccn pad promptIy! Mow, l at aII, do thngs
changc l thc bcnchcarcs and thosc madc worsc oll arc not thc
drcct partcs n thc act ol nustcc, but, lor cxampIc, thcr dc-
sccndants! s an nustcc donc to somconc whosc hoIdng was t-
scIlbascd upon an unrccthcd nustcc! Mow lar back must onc go
n wpng cIcan thc hstorcaI sIatc ol nustccs! hat may vc-
tms ol n ustcc pcrmssbIy do n ordcr to rcct thc nustccs
bcng donc to thcm, ncIudng thc many nustccs donc by pcr-
sons actng through thcr govcrnmcnt! do not know ol a thor-
oughorthcorctcaIIysophstcatcdtrcatmcnt olsuch ssucs. dcaI-
znggrcatIy, Ict us supposc thcorctcaI nvcstgaton wII producc
a prncpIc olrccthcaton. Jhs prncpIc uscs hstorcaI nlorma-
ton about prcvous stuatons and nustccs donc n thcm (as
dchncd by thc hrst two prncpIcs olustcc and rghts aganst n-
tcrlcrcncc), and nlormaton about thc actuaI coursc olcvcnts that
howcd lrom thcsc nustccs , untI thc prcscnt, and t ycIds a
dcscrpton (or dcscrptons)olhoIdngs n thc soccty. Jhc prnc-
pIc olrccthcatonprcsumabIy wII makc usc olts bcst cstmatc ol
subunctvc nlormaton about what wouId havc ocurrcd (or a
tstrtbuttvc justtcc 1
5 3
probabIty dstrbuton ovcr what mght havc ocurrcd, usng thc
cxpcctcd vaIuc) l thc nustcc had not takcn pIacc. lthc actuaI
dcscrpton olhoIdngs turns out not to bc onc olthc dcscrptons
ycIdcd by thc prncpIc, thcn onc olthc dcscrptons ycIdcd must
bc rcaIzcd.
q
JhcgcncraI outIncs olthc thcory olustcc n hoIdngs arc that
thc hoIdngs ola prson arc ust l hc s cnttIcd to thcm by thc
prncpIcsol ustcc n acquston and translcr, or by thc prncpIc
olrc

thcaton oln ustcc(as spchcd by thc hrst two prncpIcs).

l cachprson` shoIdngsarcust , thcn thctotaIsct(dstrbuton) ol
hoIdngs s ust. Jo turn thcsc gcncraI outIncs nto a spchc
thcory wc wouId havc to spccly thc dctaIs ol cach ol thc thrcc
prncpIcs ol ustcc n hoIdngs. thc prncpIc ol acquston ol
hoIdngs, thc prncpIc oltranslcr olhoIdngs, and thc prncpIcol
rccthcaton olvoIatons olthc hrst two prncpIcs. shaII not at-
tcmpt that task hcrc. (Lockc`s prncpIc olustcc n acquston s
dscusscd bcIow. )
HI STORI CAL PRI NCI PLES
AND END- RE S ULT PRI NCI PLES
Jhc gcncraI outIncs olthc cnttIcmcnt thcory IIumnatc thc na-
turc and dclccts ol othcr conccptons ol dstrbutvc ustcc. Jhc
cnttIcmcnt thcory olustcc n dstrbuton sbisterital, whcthcr a
dstrbuton s ust dcpcnds upon how t camc about. n contrast,
tuent time-sliterintilo olustcc hoId that thc ustcc ola ds-
trbuton s dctcrmncd by how thngs arc dstrbutcd (who has
what) as udgcd by somcstruttural prncpIc(s)ol ustdstrbuton.
A utItaran who udgcs bctwccn any two dstrbutons by sccng
I thc prncplc oI rccthcaton oI volatons oI thc hrst two prncplcs
yclds morc than onc dcscrpton oIholdngs, thcn somc chocc must bc madc d
to whch oIthcsc s to bc rcalzcd. Fcrhaps thc sort oIconsdcratons about ds-
trbutvc j ustcc and cqualty that arguc aganst play a lcgtmatc rolc n tbis
subsdary chocc. 5mlarly, thcrc may bc rom Ior such consdcratons n
dccdng whch othcrwsc arbtrary Icaturcs a statutc wll cmbody, whcn such
Icaturcs arc unavodablc bcausc othcr consdcratons do not spcq a prccsc
lnc, yct a lnc must bc drawn.
1
54
Byond the Minial State?
whch has thc grcatcr sum ol utIty and, lthc sums tc, appIcs
somchxcdcquaItycrtcron tochooscthc morccquaI dstrbuton,
wouId hoId a currcnt tmc-sIcc prncpIc ol ustcc. As wouId
somconcwho had ahxcdschcduIcoltradc-ohs bctwccn thc sumol
happncss and cquaIty. Accordng to a currcnt tmc-sIcc prnc-
pIc, aII that nccds to bc Iokcd at, n udgng thc ustcc ola ds-
trbuton, s who cnds up wth what, n comparng any two ds-
trbutons onc nccd Iok onIy at thc matrx prcscntng thc ds-
trbutons . Po hrthcr nlormaton nccd bc lcd nto a prncpIc ol
ustcc. t s a conscqucncc olsuch prncpIcs ol ustcc that any
two structuraIIy dcntcaI dstrbutons arc cquaIIy ust. (Jwo ds-
trbutons arc structuraIIy dcntcaI lthcy prcscnt thc samc pro-
hIc, but prhaps havc dhcrcnt prsons occupyng thc partcuIar
sIots. Myhavng tcn and your havng hvc, and my havng hvc and
your havng tcn arc structuraIIy dcntcaI dstrbutons. ) cIlarc
cconomcs s thc thcory ol currcnt tmc-sIcc prncpIcs ol ustcc.
Jhc subcct s conccvcd as opratng on matrccs rcprcscntng
onIycurrcnt nlormaton about dstrbuton. Jhs, as wcII as somc
olthc usuaI condtons (lor cxampIc, thc chocc oldstrbuton s
nvarant undcr rcIabcIng ol coIumns), guarantccs that wcIlarc
cconomcs wII bc a currcnt tmc-sIcc thcory, wth aII ol ts na-
dcquaccs.
Mostpcrsons do notacccpt currcnt tmc-sIcc prncpIcs ascon-
sttutng thc whoIc story about dstrbutvc sharcs. Jhcy thnk t
rcIcvant n asscssng thc ustcc ola stuaton to consdcr not onIy
thc dstrbuton t cmbodcs, but aIso how thatdstrbuton camc
about. lsomc prsons arc n prson lor murdcr or war crmcs , wc
do not saythat to asscss thc ustcc olthc dstrbuton n thc soc-
cty wc must Iook onIy at what ths pcrson has, and that pcrson
has, and that pcrson has, . . . at thc currcnt tmc. c thnk t
rcIcvant to ask whcthcr somconc dd somcthng so that hc deseed
to b punshcd, dcscrvcd to havc a Iowcr sharc. Most wII agrcc to
thcrcIcvanccolhrthcrnlormatonwthrcgardtopunshmcntsand
pnaItcs. Lonsdcr aIso dcsrcd thngs. Cnc tradtonaI socaIst
vcw s that workcrs arc cnttIcd to thc product and hII lruts ol
thcr Iabor, thcy havc carncd t, a dstrbuton s unust l t docs
not gvc thc workcrs what thcy arc cnttIcd to. Such cnttIcmcnts
arc bascd upon somc past hstory. Po socaIst hoIdng ths vcw
wouId hnd t comlortng to b toId that bccausc thc actuaI ds-
tstrtbuttvc justtcc
1 5 5
trbuton A happns to concdc structuraIIy wth thc onc hc dc-
srcs D, A thcrclorc s no Icss ust than D, t dllcrs onIy n that
thc parastc` owncrs olcaptaI rcccvc undcrA what thc workcrs
arc cnttIcd to undcr D, and thc workcrs rcccvc undcrA what thc
owncrs arc cnttIcd to undcr D, namcIy vcry IttIc. Jhs socaIst
rghtIy, n my vcw, hoIdsontothcnotons olcarnng, producng,
cnttIcmcnt, dcscrt, and so lorth, and hc rcccts currcnt tmc-sIcc
prncpIcsthatIookonIytothcstructurcolthc rcsuItngsctolhoId-
ngs. (Jhc sct olhoIdngs rcsuItng lrom what! sn`t t mpIaus-
bIc that how hoIdngs arcproduccd and comc to cxst has no cllcct
at aII on who shouId hoId what!) Ms mstakc Ics n hs vcw ol
what cnttIcmcnts arsc out olwhat sorts olproductvc proccsscs.
c construc thc poston wc dscuss too narrowIy by spcakng
ol turrent tmc-sIcc prncpIcs. Pothng s changcd l structuraI
prncpIcs opcratc upon a tmc scqucncc olcurrcnt tmc-sIcc pro-
hIcs and, lor cxampIc, gvc somconc morc now to countcrbaIancc
thc Icss hc has had carIcr. A utItaran or an cgaItaran or any
mxturc ol thc two ovcr tmc wII nhcrt thc dlhcuItcs ol hs
morc myopc comradcs. Mc s not hcIpcd by thc lact that seme ol
thc nlormaton othcrs consdcr rcIcvant n asscssng a dstrbuton
s rchcctcd, unrccovcrabIy, n past matrccs . Mcncclorth, wc shaII
rclcr to such unhstorcaI prncpIcs oldstrbutvc ustcc, ncIud-
ng thc currcnt tmc-sIcc prncpIcs, as end-resultrinoles or end-
staterintilo.
n contrast to cnd-rcsuIt prncpIcs olustcc, bisteritalrinoles
ol ustcc hoId that past crcumstanccs or actons ol popIc can
crcatcdllcrcntaI cnttIcmcnts or dllcrcntaI dcscrts to thngs. An
n ustcc can bc workcd by movng lrom onc dstrbuton to an-
othcr structuraIIy dcntcaI onc, lor thc sccond, n prohIc thc
samc, may voIatc pcopIc`s cnttIcmcnts or dcscrts, t may not ht
thc actuaI hstory.
PATTERNI NG
Jhc cnttIcmcnt prncpIcs ol ustcc n hoIdngs that wc havc
skctchcd arc hstorcaI prncpIcs ol ustcc. Jo bcttcr undcrstand
thcr prccsc charactcr, wc shaII dstngush thcm lrom anothcr
Beyond the Minimal State?
subcIass ol thc hstorcaI prncpIcs. Consdcr, as an cxampIc, thc
prncpIc oldstrbuton accordng to moraI mcrt. Jhs prncpIc
rcqurcs that totaI dstrbutvc sharcs vary drcctIy wth moraI
mcrt, no prson shouId havc a grcatcr sharc than anyonc whosc
moraI mcrt s grcatcr. (lmoraI mcrt couId bc not mcrcIy ordcrcd
but mcasurcd on an ntcrvaI or rato scaIc, strongcr prncpIcs
couId bc lormuIatcd. ) Cr consdcr thc prncpIc that rcsuIts by
substtutng uscluIncss to soccty` lor moraI mcrt` n thc prc-
vous prncpIc. Cr nstcad ol dstrbutc accordng to moraI
mcr t, ` or dstrbutc accordng to uscluIncss to soccty, ` wc
mght consdcr dstrbutc accordng to thc wcghtcd sum ol
moraI mcrt, uscluIncss to soccty, and nccd, `wth thc wcghts ol
thc dllcrcnt dmcnsons cquaI . Lct us caII a prncpIc oldstrbu-
tonatteed ltspcchcs that adstrbuton s to vary aIong wth
somc naturaI dmcnson, wcghtcd sum olnaturaI dmcnsons, or
Icxcographc ordcrng olnaturaI dmcnsons. AndIctus say a ds-
trbuton s pattcrncd lt accords wth somc pattcrncd prncpIc.
( spcak olnaturaI dmcnsons, admttcdIy wthout agcncraI crtc-
ron lor thcm, bccausc lor any sct ol hoIdngs somc arthcaI d-
mcnsonscanbcgmmckcd uptovary aIongwththcdstrbuton
olthc sct . ) Jhc prncpIc oldstrbuton n accordancc wth moraI
mcrt s a pattcrncd hstorcaI prncpIc, whch spc hcs a pat-
tcrncd dstrbuton. Ostrbutc accordng to . Q. ` s a pattcrncd
prncpIc that Iooks to nlormaton not contancd n dstrbutonaI
matrccs. t s not hstorcaI , howcvcr, n that t docs not Iook to
any past actons crcatng dllcrcntaI cnttIcmcnts to cvaIuatc ads-
trbuton, t rcqurcs onIy dstrbutonaI matrccs whosc coIumns
arc IabcIcd by 1. Q. scorcs. Jhc dstrbuton n a soccty, howcvcr,
may bc composcd olsuch smpIc pattcrncd dstrbutons, wthout
tscIl bcng smpIy pattcrncd. Ollcrcnt scctors may opcratc dl-
lcrcnt pattcrns, or somc combnaton ol pattcrns may opcratc n
dllcrcnt proportons across a soccty. A dstrbuton composcd n
ths manncr, lrom a smaII numbcr ol pattcrncd dstrbutons, wc
aIsoshaII tcrm pattcrncd. ` And wc cxtcnd thc usc olpattcrn` to
ncIudc thc ovcraII dcsgns put lorth by combnatons olcnd-statc
prncpIcs.
AImost cvcry suggcstcd prncpIc oldstrbutvc ustcc s pat-
tcrncd. tocach accordng to hs moraI mcrt, or nccds, or margnaI
product, or how hard hc trcs, or thc wcghtcd sum olthc lorcgo-
tstrtbutvc justcc
1
57
ng, and so on. Jhc prncpIc olcnttIcmcnt wc havc skctchcd s
net pattcrncd. Jhcrc s no onc naturaI dmcnson or wcghtcd
sum or combnaton ol a smaII numbcr ol naturaI dmcnsons that
ycIds thc dstrbutons gcncratcd n accordancc wth thc prncpIc
olcnttIcmcnt. Jhc sct olhoIdngs that rcsuIts whcn somc pcrsons
rcccvc thcr margnaI products, othcrs wn atgambIng, othcrs rc-
ccvc asharc olthcr matc`s ncomc, othcrs rcccvc gltslrom loun-
datons, othcrs rcccvc ntcrcst on Ioans , othcrs rcccvc glts lrom
admrcrs , othcrs rcccvc rcturns on nvcstmcnt, othcrs makc lor
thcmscIvcs much olwhat thcy havc, othcrs hnd thngs , and so on,
wII not bc pattcrncd. Mcavy strands olpattcrns wII run through
t, sgnhcant portons ol thc varancc n hoIdngs wII bc ac-
countcd lor by pattcrn-varabIcs. l most pcopIc most ol thc tmc
choosc to translcr somc ol thcr cnttIcmcnts to othcrs onIy n
cxchangc lor somcthng lrom thcm, thcn a Iargc part ol what
many pcopIc hoId wII vary wth what thcy hcId that othcrs
wantcd. Morc dctaIs arc provdcd by thc thcory olmargnaI pro-
ductvty. but glts to rcIatvcs, chartabIc donatons , bcqucsts to
chIdrcn, and thc Ikc, arc not bcst conccvcd, n thc hrst nstancc,
n ths manncr. gnorng thc strands olpattcrn, Ict us supposc lor
thc momcnt that adstrbuton actuaIIy arrvcd at by thc opraton
ol thc prncpIc olcnttIcmcnt s random wth rcspcct to any pat-
tcrn. Jhough thc rcsuItng sct ol hoIdngs wII bc unpattcrncd, t
wIInotbcncomprchcnsbIc, lor tcanbcsccnasarsng lrom thc
opcraton ola smaII numbcr olprncpIcs. Jhcsc prncpIcs spccly
how an ntaI dstrbuton may arsc (thc prncpIc olacquston
olhoIdngs) and how dstrbutons may bc translormcd nto othcrs
Lnc mght try to squcczc a pattcrncd conccpton ot dstrbutvc j ustcc
nto thc tramcwork ot thc cnttlcmcnt conccpton, by tormulatng a gmmcky
oblgatory ` prncplc ottranstcr` that would lcad to thc pttcrn. lor cxamplc,
thc prncplc that tonc has morc than thc mcan ncomc onc must transtcr cv-
crythng onc holds abovc thc mcan to prsons bclow thc mcan so to brng
thcm up to (but not ovcr) thc mcan. ccan tormulatc acrtcron tor a 'prnc-
plc ottranstcr` to rulc out such oblgatory transtcrs, or wc can say that no cor-
rcct prncplc ot transtcr, no prncplc ot transtcr n a trcc soccty wll b lkc
ths. hc tormcr s probably thc bcttcrcoursc, though thc lattcralso s truc.
Altcrnatvcly, onc mght thnk to makc thc cnttlcmcnt conccpton nstan-
tatc a pattcrn, by usng matrx cntrcs that cxprcss thc rclatvc strcngth ot a
pcrson`s cnttlcmcnts as mcasurcd by somc rcal-valucd tuncton. but cvcn tthc
lmtaton to natural dmcnsons talcd to cxcludc ths tuncton, thc rcsultng
cdhcc would not capturc our systcm ot cnttlcmcnts toparticular thngs.
Byond the Minial State?
(thc prncpIc ol translcr ol hoIdngs). Jhc proccss whcrcby thc
sct olhoIdngs s gcncratcd wII bc ntcIIgbIc, though thc sct ol
hoIdngs tscIlthat rcsuIts lrom ths proccss wII bc unpattcrncd.
Jhc wrtngs ol . A. Mayck locus Icss than s usuaIIy donc
upon what pattcrnng dstrbutvc ustcc rcqurcs. Mayck argucs
that wc cannot know cnough about cach pcrson`s stuaton to ds-
trbutc to cach accordng to hs moraI mcrt (but wouId ustcc
dcmand wc do so lwc dd havc ths knowIcdgcr), and hc gocs on
to say, 'our obccton s aganst aII attcmpts to mprcss upon so-
cty a dcIbratcIy choscn pattcrn oldstrbuton, whcthcr t bc an
ordcr ol cquaIty or ol ncqualty. ` Mowcvcr, Mayck concludcs
that n a lrcc socty thcrc wII bc dstrbuton n accordancc wth
vaIuc rathcr than moraI mcrt, that s, naccordancc wth thc pr-
ccvcd vaIuc ol a prson`s actons and scrvccs to othcrs. Ocsptc
hs rcccton ol a pattcrncd conccpton ol dstrbutvc ustcc,
MayckhmscIlsuggcsts apattcrn hc thnks usthbIc. dstrbuton
n accordancc wth thc prccvcd bcnchts gvcn to othcrs, lcavng
room lor thc compIant that a lrcc socty docs not rcalzc cxactIy
ths pattcrn. Statng ths pattcrncd strand ola lrcc captalst so-
cty morc prccscly, wc gct 'Jo cach accordng to how much hc
bcnchts othcrs who havc thc rcsourccs lor bcnchtng thosc who
bcncht thcm. `Jhs wIIsccmarbtrary unlcsssomcaccptablc n-
taI sct olhoIdngs s spcchcd, orunIcss t s hcIdthat thc opcra-
ton olthc systcm ovcr tmc washcs out any sgnhcantcllccts lrom
thc ntaI sct ol holdngs. As an cxampIc ol thc lattcr, laImost
anyonc wouId havc bought acar lromMcnryord, thc suppston
that t was an arbtrary mattcr who hcId thc moncy thcn (and so
bought) wouId not pIacc Mcnry ord` s carnngs undcr a cloud. n
any cvcnt, bis comng tohold t s notarbtrary. Ostrbuton ac-
cordng to bcnchts to othcrs is a maor pattcrncd strand n a lrcc
captaIst soccty, as Mayck corrcctly ponts out, but t s only a
strand and docs not consttutc thc wholc pattcrn ola systcm olcn-
ttlcmcnts (namcIy, nhcrtancc, glts lor arbtrary rcons, char-
ty, and so on) or a standard that onc shouId nsst a socty ht.
II pcoplc tolcratc lor long a systcm ycIdng dstrbutons that
thcy bcIcvc arc unpattcrncdr Po doubt poplc wlInot Iong ac-
ccpt a dstrbuton thcy bIcvc suo/ust. Pcoplc want thcr soccty
to bc and to look ust. but must thc lok ol ustcc rcsdc n a
tstrtbuttvc justtcc 1 59
rcsuItng pattcrn rathcr than n thc undcrIyng gcncratng prnc-
pIcs! c arc n no poston to concIudc that thc nhabtants ola
soccty cmbodyng an cnttIcmcnt conccpton ol ustcc n hoId-
ngs wII hnd t unacccptabIc. StII, t must bc grantcd that wcrc
pcopIc` s rcasons lor translcrrng somc ol thcr hoIdngs to othcrs
aIways rratonaI or arbtrary, wc wouId hnd ths dsturbng. (Sup-
posc pcopIc aIways dctcrmncd what hoIdngs thcy wouId translcr,
and to whom, by usng a random dcvcc. ) c lccI morc comlort-
abIc uphoIdng thc ustcc olan cnttIcmcnt systcm lmost olthc
translcrs undcr t arc donc lor rcasons. Jhs docs not mcan ncccs-
sarIy that aII dcscrvc what hoIdngs thcy rcccvc. t mcans onIy
that thcrc s apurposc orpnt to somconc`s translcrrng ahoIdng
to oncpcrsonrathcr than to anothcr, that usuaIIy wc can scc what
thc translcrrcr thnks hc`s ganng, what causc hc thnks hc`s scrv-
ng, what goaIs hc thnks hc`s hcIpng to achcvc, and so lorth.
Snccna captaIst soccty pcopIc oltcn translcr hoIdngs toothcrs
n accordancc wth how much thcy pcrccvc thcsc othcrs bcnchtng
thcm, thc labrc consttutcd by thc ndvduaI transactons and
translcrs s IargcIy rcasonabIc and ntcIIgbIc. (Lhs to Iovcd
oncs , bcqucsts to chIdrcn, charty to thc nccdy aIso arc nonarb-
trary componcnts ol thc labrc. ) n strcssng thc Iargc strand ol
dstrbuton naccordancc wth bcncht to othcrs , Mayck shows thc
pontolmany translcrs , and so shows that thc systcm oltranslcr ol
cnttIcmcnts s not ust spnnng ts gcars amIcssIy. Jhc systcm ol
cnttIcmcnts s dclcnsbIc whcn consttutcd by thc ndvduaI ams
ol ndvduaI transactons. Po ovcrarchng am s nccdcd, no ds-
trbutonaI pattcrn s rcqurcd.
Jo thnk that thctask ola thcoryoldstrbutvc ustcc s to hII
n thc bIank n 'to cach accordng to hs ` s to bc prcds-
c ccrtanly bcncht bccausc grcat cconomc nccntvcs opratc to gct
othcrs to spcnd much tmc and cncrgy to hgurc our how to scrvc us by provd-
ng thngs wc wll want topay Ior. t s not mcrcparadoxmongcrng to wondcr
whcthcr captalsm should bc crtczcd Ior most rcwardng and hcncc cncourag-
ng, not ndvdualsts lkc horcau who go about thcr own lvcs, but poplc
who arc occupcd wth scrvng othcrs and wnnng thcm d customcrs. but to
dcIcndcaptalsm onc nccd not thnk busncssmcn arc thc hncst human typcs. (
do not mcan to jon hcrc thc gcncral malgnng oI busncssmcn, cthcr. ) hosc
who thnk thc hncst should acqurc thc most can try to convncc thcr Icllows to
transIcr rcsourccs n accordancc wth that prncplc.
1 60 Beyond the Minimal State?
poscd to scarch lor a pattcrn, and thc scparatc trcatmcnt ol lrom
cachaccordng tohs trcatsproducton anddstrbutonas
twoscparatcandndcpcndcnt ssucs. Cn an cnttIcmcntvcw thcsc
arc net two scparatc qucstons. hocvcr makcs somcthng, havng
bought or contractcd lor aII othcr hcId rcsourccs uscd n thc pro-
ccss (translcrrng somc ol hs hoIdngs lor thcsc coopcratng lac-
tors), s cnttIcd to t. Jhc stuaton s net onc ol somcthng`s
gcttng madc, and thcrc bcng an opcn qucston olwho s to gct
t. Jhngs comc nto thc worId aIrcady attachcd to pcopIc havng
cnttIcmcnts ovcr thcm. rom thc pont olvcw ol thc hstorcaI
cnttIcmcnt conccpton ol ustcc n hoIdngs, thosc who start
alrcsh to compIctc to cach accordng to hs ` trcat ob ccts
as l thcy appcarcd lrom nowhcrc, out ol nothng. A compIctc
thcory olustcc mght covcr ths Imt casc as wcII, pcrhaps hcrc
s a usc lor thc usuaI conccptons oldstrbutvc ustcc.
So cntrcnchcd arc maxms ol thc usuaI lorm that pcrhaps wc
shouId prcscnt thc cnttIcmcnt conccpton as a compcttor. gnor-
ng acquston and rccthcaton, wc mght say.
rom cach accordtng to what hc chooscs to do, to cach accordtng to what
hc makcs tor htmscIt (prhaps wtth thc contractcd atd ot othcrs) and
what othcrs choosc to do tor htm and choosc to gtvc htm ot what thcy`vc
bccn gtvcn prcvtousIy (undcr thts maxtm) and havcn`t yct cxpcndcd or
transtcrrcd.
Jhs , thc dsccrnng rcadcr wII havc notccd, has ts dclccts as a
sIogan. So as a summary and grcat smpIhcaton (and not as a
maxm wth any ndcpcndcnt mcanng) wc havc.
Fremeacb astbe cbeese, te eacb astbe are cbesen.
HOW LI BE RTY UPS ETS PATTERNS
t s not cIcar how thosc hoIdng aItcrnatvc conccptons ol ds-
trbutvc ustcccanrccctthc cnttIcmcnt conccpton olustcc n
hoIdngs. or supposc a dstrbuton lavorcd byonc olthcsc non-
cnttIcmcntconccptons s rcaIzcd. Lct us supposc t s your lavor-
tc oncand Ict us caII thsdstrbutonDI , pcrhaps cvcryonc has an
cquaI sharc, pcrhaps sharcs vary n accordancc wth somc dmcn-
tstrtbuttvc justtcc 1 61
son you trcasurc. Pow supposc that It LhambcrIan sgrcatIy
n dcmand by baskctbaII tcams , bcng a grcat gatc attracton.
(AIso supposc contracts run onIylor a ycar, wth pIaycrs bcnglrcc
agcnts . ) Mc sgns thc loIIowng sort olcontract wth a tcam. n
cach homc gamc, twcnty-hvc ccnts lrom thc prcc olcach tckct ol
admsson gocs to hm. (c gnorc thc qucston olwhcthcr hc s
`gougng` thc owncrs, Icttngthcm Iook out lor thcmscIvcs. ) Jhc
scason starts, and popIc chccrluIIy attcnd hs tcam's gamcs, thcy
buy thcr tckcts, cach tmc droppng a scparatc twcnty-hvc ccnts
ol thcr admsson prcc nto a spccaI box wth LhambcrIan's
namc on t . Jhcy arc cxctcd abut sccng hm pIay, t s worth
thc totaI admsson prcc to thcm. Lct us supposc that n onc
scason onc mIIon prsons attcnd hs homc gamcs , and It
LhambcrIan wnds up wth $zo, ooo, a much Iargcr sum than
thc avcragc ncomc and Iargcr cvcn than anyonc cIsc has . s hc cn-
ttIcd to ths ncomc! s ths ncw dstrbuton Dt , unust! lso,
why! Jhcrc s ne qucston about whcthcr cach ol thc pcopIc was
cnttIcd to thc controI ovcr thc rcsourccs thcy hcId n DI , bccausc
that was thc dstrbuton (your lavortc) that (lor thc purpscs ol
argumcnt) wc assumcd was acccptabIc. Lach olthcsc prsons cbese
to gvc twcnty-hvc ccnts ol thcr moncy to LhambcrIan. Jhcy
couId havc spnt t on gong to thc movcs, or on candy bars , or
on copcs olDissent magaznc, orolMent/ Review. but thcy aII, at
Icast onc mIIon olthcm, convcrgcd on gvng t to It Lham-
bcrIan n cxchangc lor watchng hm pIay baskctbaII. lDI was a
ust dstrbuton, and pcopIc voIuntarIy movcd lrom t to Dt ,
transhrrng parts ol thcr sharcs thcy wcrc gvcn undcr D; (what
was t lor lnot to do somcthng wth!) , sn` tDt aIso ust! lthc
popIc wcrc cnttIcd to dsposc olthc rcsourccs to whch thcy wcrc
cnttIcd (undcr D; ), ddn`t ths ncIudc thcr bcng cnttIcd to
gvc t to, or cxchangc t wth, It LhambcrIan! Lan anyonc
cIsc compIan on grounds ol ustcc! Lach othcr pcrson aIrcady has
hs Icgtmatc sharc undcr DI . Lndcr DI , thcrc s nothng that
anyonc has that anyonc cIsc has a cIam ol ustcc aganst . Ahcr
somconc translcrs somcthng to It LhambcrIan, thrd partcs
sti// havc thcr Icgtmatc sharcs, tbeir sharcs arc not changcd. by
what proccss couId such a translcr among two pcrsons gvc rsc to
a Icgtmatc cIam oldstrbutvc ustcc on a prton ol what was
Byond the Minial State?
translcrrcd, by a thrd party who had no cIam ol ustcc on any
hoIdng olthc othcrs /re thc translcrr Jo cut ohobcctons r-
rcIcvant hcrc, wc mght magnc thc cxchangcs occurrng n a so-
caIst soccty, ahcr hours . Ahcr pIayng whatcvcr bkctbaII hc
docs n hs daIy work, or dong whatcvcr othcr daIy work hc
docs , It LhambcrIan dccdcs to put n ewrtme to carn add-
tonaI moncy. (rst hs work quota s sct, hc works tmc ovcr
that. ) Lr magnc t s a skIIcd uggIcr popIc Ikc to scc, who
puts on shows ahcr hours .
hy mght somconc work ovcrtmc n a soccty n whch t s
assumcd thcr nccdsarc satshcdr Pcrhaps bccausc thcy carc abut
thngs othcr than nccds. Ikc to wrtc n boks that rcad, and
to havc casy acccss to books lor browsng at odd hours. t wouId
b vcry pIcasant and convcncnt to havc thc rcsourccs oldcncr
Lbrary n my back yard. Po soccty, assumc, wII provdc such
rcsourccs cIosc to cach pcrson who wouId Ikc thcm as part olhs
rcguIar aIIotmcnt (undcrDl). Jhus, prsons cthcr must do wth-
out somc cxtra thngs that thcy want, or bc aIIowcd to do somc-
thng cxtra to gct somc olthcsc thngs. Ln what bass couId thc
ncqualtcs that wouId cvcntuatc bc lorbddcnr Potcc aIso that
smaII lactorcs wouId sprng up nasocaIst socty, unIcss lorbd-
dcn. mcIt down somc olmyprsonaI posscssons (undcrDl) and
buId amachncout olthc matcraI . ollcr you, andothcrs, a ph-
Iosophy Iccturc oncc a wcck n cxchangc mr your crankng thc
Might not a transfer have instrumental effects on a third party, changing
his feasible options? (But what if the two parties to the transfer indeendently
had sed their holdings in this fshion?) I discuss this question below, but note
here that this question concedes the oint for distributions of ultimate intrinsic
non instrumental goods (pure utility exeriences, so to seak) that re transfer
rable. It also might e objected that the transfer might make a third arty more
envious because it worsens his osition relative to someone else. I ind it in
comprehensible how this can e thought to involve a claim of justice. On envy,
see Chapter 8.
Here and elsewhere in this chapter, a theory which incorporates elements of
pure prcedural justice might ind what I say acceptable, f kept in its proer
place; that is, if background institutions exist to ensure the satisfaction of cer
tain conditions on distributive shares. But if these institutions are not them
selves the sum or invisible-hand result of people's voluntary (nonaggressive) ac
tions, the constraints they impose require justiication. At no oint does 0Mf
argument ssume any background institutions more extensive than those of the
minimal night-watchman state, a state limited to protecting ersons against
murder, assault, theft, fraud, and so forth.
Distributive Justice
handIc on my machnc, whosc products cxchangc lor yct othcr
thngs, and so on. (Jhc raw matcraIs uscd by thc machnc arc
gvcn to mc by othcrs who posscss thcm undcrD I , ncxchangclor
hcarng Iccturcs. ) Lach pcrson mght partcpatc to gan thngs
ovcr and abvc thcr aIIotmcnt undcr D I . Somc pcrsons cvcn
mght want to Icavc thcr ob n socaIst ndustry and work hII
tmc n ths prvatc scctor. shaIIsaysomcthngmorcabut thcsc
ssucs n thc ncxt chaptcr. Mcrc wsh mcrcIy to notc how prvatc
propcrty cvcn n mcans olproducton wouId occur n asoaIst so-
ccty that dd not lorbd pcopIc to usc as thcy wshcd somc olthc
rcsourccs thcy arc gvcn undcr thc socaIst dstrbutonDl . Jhc
socaIst soccty wouId havc to lorbd captaIst acts btwccn con-
scntng aduIts .
Jhc gcncraI pont IIustratcd by thc It LhambcrIan cxampIc
and thc cxampIc olthc cntrcprcncur n a socaIst soccty s that no
cnd-statc prncpIc or dstrbutonaI pattcrncd prncpIc ol ustcc
can bc contnuousIy rcaIzcd wthout contnuous ntcrlcrcncc wth
pcopIc` sIvcs. Any lavorcd pattcrn wouId bc translormcd nto onc
unlavorcd by thc prncpIc, by popIc choosng to act n varous
ways, lor cxampIc, by pcopIc cxchangng goods and scrvccs wth
othcr popIc, or gvng thngs to othcr pcopIc, thngs thc trans-
lcrrcrs arc cnttIcd to undcr thc lavorcd dstrbutonaI pattcrn. Jo
mantan a pattcrn onc must cthcr contnuaIIy ntcrlcrc to stop
pcopIc lrom translcrrng rcsourccs as thcy wsh to, or contnuaIIy
(or pcrodcaIIy) ntcrlcrc to takc lrom somc pcrsons rcsourccs that
othcrs lor somc rcason chosc to translcr to thcm. (but lsomc tmc
Imt s to bc sct on how Iong pcopIc may kccp rcsourccs othcrs
voIuntarIy translcr to thcm, why Ict thcm kccp thcsc rcsourccs lor
an pcrod ol tmcr hy not havc mmcdatc conhscatonr) t
mght bc obcctcd that aII pcrsons voIuntarIy wII choosc to rc-
lran lrom actons whch wouId upsct thc pattcrn. Jhs prcsup-
poscs unrcaIstcaIIy ( I ) that aII wII most want to mantan thc
pattcrn (arc thosc who don` t , to bc rccducatcd` or lorccd to un-
dcrgo scIl-crtcsm`r), (z) that cach can gathcr cnough nlorma-
ton about hs own actons and thc ongong actvtcs olothcrs to
dscovcr whch ol hs actons wII upsct thc pattcrn, and () that
dvcrsc and lar-hung pcrsons can coordnatc thcr actons to dovc-
taI nto thc pattcrn. Lomparc thc manncr n whch thc mar-
kct s ncutraI among pcrsons' dcsrcs, as t rchccts and transmts
Beyond the Minimal State?
wdcIy scattcrcd ntormaton via prtccs, and cordnatcs pcrsons`
actvtcs.
tputs thngs pcrhaps a bt too strongIy to say that cvcry pat-
tcrncd (or cnd-statc) prncpIc s IabIc to bc thwartcd by thc voI-
untary actons ot thc ndvduaI partcs transtcrrng somc ot thcr
sharcs thcy rcccvc undcr thc prncpIc. or pcrhaps somc vy
wcak pattcrns arc not so thwartcd. Any dstrbutonaI pattcrn
wth any cgaItaran componcnt s ovcrturnabIc by thc voIuntary
actons ot ndvduaI pcrsons ovcr tmc, as s cvcry pattcrncd con-
dton wth suthccnt contcnt so as actuaIIy to havc bccn proposcd
as prcscntng thc ccntraI corc ot dstrbutvc ustcc. StII, gvcn
thc possbIty that somc wcak condtons or pattcrns may not bc
unstabIc n ths way, t wouId bc bcttcr to tormuIatc an cxpIct
dcscrpton ot thc knd ot ntcrcstng and contcnttuI pattcrns
undcr dscusson, and to provc a thcorcm about thcr nstabIty.
Sncc thc wcakcr thc pattcrnng, thc morc IkcIy t s that thc
cnttIcmcnt systcm tscItsatshcs t, a pIausbIc con ccturc s that
any pattcrnng cthcr s unstabIc or s satshcd by thc cnttIcmcnt
systcm.
S E N
'
S ARGUMENT
Cur concIusons arc rcntorccd by consdcrng a rcccnt gcncraI
argumcnt ot Amartya K. Scn. ' Supposc ndvduaI rghts arc n-
tcrprctcd as thcrght to choosc whch ottwo aItcrnatvcs s to bc
s thc pattcrncd prncplc stablc that rcqurcs mcrcly that adstrbuton bc
Farcto-optmal! Lnc pcrson mght gvc anothcr a gh or bcqucst that thc scc-
ond could cxchangc wth a thrd to thcr mutual bcncht. bcIorc thc sccond
makcs ths cxchangc, thcrc s not Farcto-optmalty. s a stablc pattcrn prc-
scntcd by a prncplc chosng that among thc Farcto-optmal postons that
satshcs somc mrthcr condton C' t may scm that thcn cannot b a coun-
tcrcxamplc, Ior won`t any voluntary cxchangc madc away Irom a stuaton show
that thc hrst stuaton wasn't Fanto-optmal! (gnon thc mplausblty oIths
last clam Ior thc cas oIbqucsts. ) but prncplcsarc to b satshcd ovcr tmc,
durng whch ncw pssbltcs ars. A dstrbuton that at onc tmc satshcs
thc crtcron oIFarcto-optmalty mght not do so whcn somc ncw pssbltcs
ars (lt Lhambrlan grows up and starts playng baskctball), and though
poplc`s W'vtcs wll tcnd to movc thcn to a ncw Farcto-optmal pston, this
tstrtbuttvc justtcc
morc hghIy rankcd n a socaI ordcrng ot thc aItcrnatvcs. Add
thc wcak condton that tonc aItcrnatvc unanmousIy s prctcrrcd
to anothcr thcn t s rankcd hghcr by thc socaI ordcrng. tthcrc
arc two dttcrcnt ndvduaIs cach wth ndvduaI rghts, n-
tcrprctcd as abovc, ovcr dhcrcnt pars ot aItcrnatvcs (havng no
mcmbcrs n common), thcntor somc possbIc prctcrcncc rankngs
ot thc aItcrnatvcs by thc ndvduaIs, thcrc s no Incar socaI or-
dcrng. or supposc that prson A has thc rght to dccdc among
(X, ) and pcrsonb hasthc rght todccdc among( Z, ),and sup-
posc thcr ndvduaI prctcrcnccs arc as toIIows (and that thcrc arc
no othcr ndvduaIs). PcrsonA prctcrs toX toY toZ, and pcr-
son b prctcrs Y to Z to to X. by thc unanmty condton, n
thc socaI ordcrng s prctcrrcd to X (sncc cach ndvduaI
prctcrs t to X), and Y s prctcrrcd to Z (sncc cach ndvduaI
prctcrs t toZ). AIso n thc socaI ordcrng, X sprctcrrcd toY, by
pcrsonA `s rght otchocc among thcsc two aItcrnatvcs. Lombn-
ng thcsc thrccbnary rankngs, wcgct prctcrrcd toX prctcrrcd
to Y prctcrrcd to Z, n thc socaI ordcrng. Mowcvcr, by pcrson
b`s rght otchocc, Z must bc prctcrrcd to n thc socaI ordcr-
ng. Jhcrc s no transtvc socaI ordcrng satstyng aII thcsc con-
dtons, and thc socaI ordcrng, thcrctorc, s nonIncar. Jhus tar,
Scn.
Jhc troubIc stcms trom trcatng an ndvduaI` srght to choosc
among aItcrnatvcs as thc rght to dctcrmnc thc rcIatvc ordcrng
ot thcsc aItcrnatvcs wthn a socaI ordcrng. Jhc aItcrnatvc
whch has ndvduaIs rank airs ot aItcrnatvcs , and scparatcIy
rank thc ndvduaI aItcrnatvcs s no bcttcr, thcr rankng otpars
tccds nto somc mcthod ot amaIgamatng prctcrcnccs to ycId a
socaI ordcrng ot pars, and thc chocc among thc aItcrnatvcs n
thc hghcst rankcd par n thc socaI ordcrng s madc by thc nd-
vduaI wththc rght todccdc bctwccn ths par. Jhs systcm aIso
has thc rcsuIt that an aItcrnatvc may bc scIcctcd aIthough evene
prctcrs somc othcr aItcrnatvc, tor cxampIc, A scIccts X ovcr Y,
whcrc (X,Y) somchow s thc hghcst rankcdair n thc socaI or-
ncw onc nccd not sats thc contcntIul condton C. Lontnual ntcrIcrcncc
wllbc nccdcd to nsurc thc contnual satsIactonoIC. (hc thcorctcaI possbI-
ty oIa pattcrn`s bng mantancd bysomc nvsblc-hand proccss thatbrngs t
back toan cqulbrum that hts thcpattcrn whcndcvatonsoccurshouId b n-
vcstgatcd.)
I Byond the Minial State?
dcrng ol pars, aIthough cvcryonc, ncIudngA, prclcrs to X.
(but thc chocc pcrsonA was gvcn, howcvcr, was onIy bctwccnX
and Y. )
A morc appropratcvcw olndvduaI rghts s as loIIows. nd-
vduaI rghtsarc co-possbIc, cach prsonmay cxcrcsc hs rghtsas
hc chooscs. Jhc cxcrcsc olthcsc rghts mcs somc lcaturcs olthc
worId. thn thc constrants olthcsc mcdlcaturcs, achoccmay
bc madc by a socaI choccmcchansm bascd upon a socaI ordcr-
ng, lthcrc arc any choccs Iclt to makc! Kghts do not dctcrmnc
a socaI ordcrng but nstcad sct thc constrants wthn whch a
socaI chocc s to bc madc, by cxcIudng ccrtan aItcrnatvcs, m-
ng othcrs, and so on. (l havc a rght to choosc to Ivc n Pcw
York or n Massachusctts, and choosc Massachusctts, thcn aItcr-
natvcs nvoIvng my Ivng n Pcw York arc not appropratc ob-
ccts to bc cntcrcd n a socaI ordcrng. ) Lvcn laII possbIc aItcr-
natvcs arc ordcrcd hrst, apart lrom anyonc`s rghts, thc stuaton
s not changcd. lor thcn thc hghcst rankcd aItcrnatvctbat is net
exc/uml anene's exercise e/bisrigbts s nsttutcd. Kghts do not
dctcrmnc thc poston olan aItcrnatvc or thc rcIatvc poston ol
two aItcrnatvcs n a socaI ordcrng, thcy eoate uen a socaI or-
dcrng to constran thc chocc t can ycId.
lcnttIcmcnts to hoIdngs arc rghts to dsposc olthcm, thcn
socaI chocc must takc pIaccwitbin thc constrants olhow pcopIc
choosc to cxcrcsc thcsc rghts. l any pattcrnng s Icgtmatc, t
laIIs wthn thc doman olsocaI chocc, and hcncc s constrancd
by pcopIc` s rghts. Hewelse can ene cee witb Sen'sroult Jhc aItcr-
natvc olmst havng a socaI rankng wth rghts cxcrcscd wthn
its constrants s no aItcrnatvc at aII . hy not ust scIcct thc top-
rankcd aItcrnatvc and lorgct about rghts! lthat top-rankcd aI-
tcrnatvc tscIlIcavcs somc room lor ndvduaI chocc (and hcrc s
whcrc rghts` ol chocc s supposcd to cntcr n) thcrc must bc
somcthng to stop thcsc choccs lrom translormng t nto anothcr
aItcrnatvc. Jhus Scn`s argumcnt Icas us agan to thc rcsuIt that
pattcrnng rcqurcs contnuous ntcrlcrcncc wth ndvduaIs` ac-
tons and choccs .
tstrtbuttvc ]usttcc
R EDI S TRI BUTI ON AND PROPE RTY RI GHTS
ApparcntIy, pattcrncd prncpIcs aIIow pcopIc to choosc to cxpcnd
upon thcmscIvcs, but not upon othcrs , thosc rcsourccs thcy arc cn-
ttIcd to (or rathcr, rcccvc)undcrsomc lavorcd dstrbutonaI pat-
tcrn D; . or l cach ol scvcraI pcrsons choscs to cxpcnd somc ol
hs D; rcsourccs upon onc othcr pcrson, thcn that othcr pcrson
wII rcccvc morc than hs D; sharc, dsturbng thc lavorcd ds-
trbutonaI pattcrn. Mantanng a dstrbutonaI pattcrn s nd-
vduaIsm wth avcngcancc! Pattcrncd dstrbutonaI prncpIcsdo
not gvc pcopIc what cnttIcmcnt prncpIcs do, onIy bcttcr ds-
trbutcd. or thcy do not gvc thc rght to choosc what to do wth
what onc has, thcy do not gvc thc rght to choosc to pursuc an
cnd nvoIvng (ntrnscaIIy, or as a mcans) thc cnhanccmcnt ol
anothcr`s poston. Jo such vcws, lamIcs arc dsturbng, lor
wthn a lamIy occur translcrs that upsct thc lavorcd dstrbu-
tonaI pattcrn. Lthcr lamIcs thcmscIvcs bccomc unts to whch
dstrbuton takcs pIacc, thc coIumn ocupcrs (on what rato-
naIc!), or Iovng bchavor s lorbddcn. c shouId notc n passng
thc ambvaIcnt poston olradcaIs toward thc lamIy. ts Iovng
rcIatonshps arc sccn as a modcI to bc cmuIatcd and cxtcndcd
across thc whoIc soccty, at thc samc tmc that t s dcnounccd as a
sullocatng nsttuton to bc brokcn and condcmncd as a locus ol
parochaI conccrns that ntcrlcrc wth achcvng radcaI goaIs.
Pccd wc say that t s not appropratc to cnlorcc across thc wdcr
soccty thc rcIatonshps olIovc and carc appropratc wthn alam-
Iy, rcIatonshps whch arc voIuntarIy undcrtakcn! ncdcntaIIy,
Lnc tndtcatton oIthcstrtngcncy oIKawls` dtIIcrcncc prtnctplc, whtch wc
attcnd to tnthcsccond prt oIthtschaptcr, tstts tnapproprtatcncsasagovcrn-
tng prtnctplc cvcn wtthtn a Iamtly oI tndtvtduals who lovc onc anothcr. 5hould
a Iamtly dcvotc tts rcsourccs to maxtmtztng thc posttton oItts lct wcll oII and
lcast talcntcd chtld, holdtng back thc othcr chtldrcn or ustng rcsourccs Ior thctr
cducatton and dcvclopmcnt only tIthcy wtll Iollow a poltcy through thctr ltIc-
ttmcs oI maxtmtztng thc posttton oI thctr lct Iortunatc stbltng! 5urcly not.
Mow thcn can thts cvcn bc constdcrcd as thc approprtatc poltcy Ior cnIorccmcnt
tn thc wtdcr soctcty! ( dtscuss bclow what thtnk would bc Kawls` rcply.
that somc prtnctplcs apply at thc macro lcvcl whtch do not apply to mtcro-
sttuattons.)
1 68 Byond the Minimal State?
Iovc s an ntcrcstng nstancc olanothcr rcIatonshp that s hstor-
caI, n that (Ikc ustcc) t dcpcnds upon what actuaIIy occurrcd.
An aduIt may comc to Iovc anothcr bccausc ol thc othcr`s charac-
tcrstcs, but t s thc othcr prson, and not thc charactcrstcs ,
that s Iovcd. " Jhc Iovc s not translcrrabIc to somconc cIsc wth
thcsamc charactcrstcs, cvcn to onc who scorcs` hghcr lor thcsc
charactcrstcs. And thc Iovc cndurcs throughchangcs olthc char-
actcrstcs that gavc rsc to t. Cnc Iovcs thc partcuIar pcrson onc
actuaIIy cncountcrcd. hy Iovc s hstorcaI , attachng to pcrsons
n ths way and not to charactcrstcs , s an ntcrcstng and puz-
zIng qucston.
Proponcnts ol pattcrncd prncpIcs ol dstrbutvc ustcc locus
upon crtcra lordctcrmnng who s to rcccvc hoIdngs, thcy con-
sdcr thc rcasons lor whch somconc shouId havc somcthng, and
aIso thc totaI pcturc ol hoIdngs. hcthcr or not t s bcttcr to
gvc than to rcccvc, proponcnts olpattcrncd prncpIcs gnorc gv-
ng aItogcthcr. n consdcrng thc dstrbuton olgoods, ncomc,
and so lorth, thcr thcorcs arc thcorcs ol rccpcnt ustcc, thcy
compIctcIy gnorc any rght a pcrson mght havc to gvc somc-
thng to somconc. Lvcn n cxchangcs whcrc cach party s smuIta-
ncousIy gvcr and rccpcnt, pattcrncd prncpIcs ol ustcc locus
onIy upon thc rccpcnt roIc and ts supposcd rghts. Jhus dscus-
sons tcnd to locus on whcthcrpopIc (shouId) havc a rght to n-
hcrt, rathcr than on whcthcr pcopIc (shouId) havc a rght to
bcqucath oronwhcthcrpcrsons who havc a rght to hoId aIso havc
a rght to choosc that othcrs hoId n thcr pIacc. Iack a good cx-
pIanaton olwhy thc usuaI thcorcs oldstrbutvc ustccarc so rc-
cpcnt orcntcd, gnorng gvcrs and translcrrcrs and thcr rghts s
ol a pccc wth gnorng produccrs and thcr cnttIcmcnts. but
why s tah gnorcd!
Pattcrncd prncpIcs oldstrbutvc ustcc ncccsstatcrcdstrb-
utvc actvtcs. Jhc IkcIhood s smaII that any actuaI lrccIy-ar-
rvcd-at sct olhoIdngs hts a gvcn pattcrn, and thc IkcIhood s
nI that t wII contnuc to h t thc pattcrn as pcopIc cxchangc and
gvc. rom thc pont ol vcw ol an cnttIcmcnt thcory, rcdstr-
buton s a scrous mattcr ndccd, nvoIvng, as t docs, thc voIa-
ton ol pcopIc`s rghts. (An cxccpton s thosc takngs that laII
undcr thc prncpIc olthc rccthcaton ol nustccs. ) rom othcr
ponts ol vcw, aIso, t . s scrous.
tstrtbuttvc justtcc
Jaxaton olcarnngs lrom Iabor s on a r wth lorccd Iabor.
Somc pcrsons hnd ths cIam obvousIy truc. takng thc carnngs ol
n hours Iabor s Ikc takngn hours lrom thc prson, t s Ikc lorc-
ng thc prson to work n hours lor anothcr's purposc. Cthcrs hnd
thc cIam absurd. but cvcn thcsc, i/ thcy obcct to lorccd Iabor,
wouId opposc lorcng uncmpIoycd hppcs to work lor thc bcncht
olthc nccdy. ' And thcy wouId aIso obcct to lorcng cach prson
to work hvc cxtra hours cach wcck lor thc bcncht ol thc nccdy.
but a systcm that takcs hvc hours` wagcs n tcs docs not sccm to
thcm Ikc onc that lorccs somconc to work hvc hours, sncc t
ohcrs thc pcrson torccd a wdcr rangc ol chocc n actvtcs than
docs taxaton n knd wth thc partcuIar Iabr spcchcd. (but wc
can magnc a gradaton olsystcms ollorccd Iabor, lrom onc that
spcchcs a partcuIar actvty, toonc thatgvcs a chocc among two
actvtcs, to . . . , and so on up. ) urthcrmorc, popIc cnvsagc
a systcm wth somcthng Ikc a proportonaI tax on cvcrythng
abovc thc amount ncccssary lor basc nccds. Somc thnk ths docs
not lorcc somconc to work cxtra hours , sncc thcrc s no mcd
numbcr olcxtra hours hc s lorccd to work, and sncc hc can avod
thc tax cntrcIy by carnng onIy cnough to covcr hs basc nccds.
Jhs s a vcry uncharactcrstc vcw ollorcng lor thosc who alse
thnk pcopIc arc lorccd to do somcthng wbenwo thc aItcrnatvcs
thcy lacc arc consdcrabIy worsc. Mowcvcr, neitbo vcw s corrcct.
Jhc lact that othcrs ntcntonaIIy ntcrvcnc, n voIaton ola sdc
constrant aganst aggrcsson, to thrcatcn lorcc to Imt thc aItcr-
natvcs , n ths casc to payng taxcs or (prcsumabIy thc worsc aItcr-
natvc) barc subsstcncc, makcs thc taxaton systcm onc ol lorccd
Iabor and dstngushcs t lrom othcr cascs ol Imtcd choccs
whch arc not lorcngs. '
e
am unsurc as to whcthcr thc argumcnts prcscnt bclow show that such
taxaton mcrcly is Iorccd labor, so that 'ts on a Q wtth` mcans ts onc ktnd
oI. ` Lr altcrnatvcly, whcthcr thc argumcnts cmphtzc thc grcat stmlarttcs
bctwccn such taton and Iorccd labr, to show t ts plausblc and tllumtnatng
to vcw such tatton n thc ltght oI Iorccd labor. hs lattcr approach would
rcmtnd onc oIhow}ohn tsdom concctvcs oIthc clams oImctaphysctans.
t Pothtng hangs on thc Iact that hcrc and clscwhcrc spak loscly oInes,
stncc go on, cach tmc, to rccct thc crtcrton oI usttcc whtch ncludcs t. I,
howcvcr, somcthtng dd dcpnd upon thc noton, onc would want to cxamnc tt
morc carcmlly. lor a skcpttcal vcw, scc Kcnncth Mnoguc, 7be Libral Mind,
(Pcw York. Kandom Mousc, I g6), pp. I OI I z.
: 7O
Byond the Minial State?
Thc man who chooscs to work !ongcr to gan an ncomc morc
than sutbccnt tor hs msc nccds prctcrs somc cxtragoos or scr-
vccs to thc !csurc and actvtcs hccou!d prtorm durng thc pos-
sb!c nonworkng hours, whcrcas thcmanwhochooscs not to work
thc cxtra tmc prctcrs thc !csurc actvtcs to thc cxtra goods or
scrvccshccou!dacqurcbyworkng morc. Lvcn ths, ttwou!d
b !!cgtmatc tor a t systcm to sczc somc ot a man`s !csurc
(torccd !abor) tor thc purposc otscrvng thc nccdy, how can t b
!cgtmatc tor a t systcm to sczc somc ota man`s goods tor that
purposcr Mhy shou!d wc trcat thc man whosc happncss rcqurcs
ccrtan matcra! goods or scrvccs dhcrcnt!y trom thc man whosc
prctcrcnccs and dcsrcs makc suchgoos unncccssary tor hs happ-
ncssr Mhy shou!d thc man who prctcrs sccng a movc (and who
has to carn moncy tor a tckct) b opcn to thc rcqurcd ca!! to ad
thc nccdy, wh!c thc pcrson who prctcrs !ookng at a sunsct (and
hcncc nccd carn no cxtra moncy) s notr ndccd, sn`t t surprsng
that rcdstrbutonsts choosc to gnorc thc man whosc p!casurcs
arc so cas!y attanab!c wthout cxtra !abr, wh!c addng yct an-
othcr burdcn to thc poor untortunatc who must work tor hs
p!casurcsr tanythng, onc wou!d havc cxpcctcd thc rcvcrsc. Mhy
s thc pcrson wth thc nonmatcra! or nonconsumpton dcsrc a!-
!owcd to procccd unmpdcd to hs most hvorcd tcb!c a!tcrna-
tvc, whcrcas thc man whosc p!casurcs or dcsrcs nvo!vc matcra!
thngsandwhomustworktorcxtramoncy (thcrcbyscrvng whom-
cvcr consdcrs hs actvtcs va!uab!c cnough to pay hm) s con-
strancd n what hc can rca!zcr Fcrhaps thcrc s no dhcrcncc n
prncp!c. And pcrhaps somcthnk thc answcrconccrns mcrc!y ad-
mnstratvc convcncncc. (Thcsc qucstons and ssucs w!! not ds-
turb thosc who thnk that torccd !abor to scrvc thc nccdy or to rc-
a!zc somc tavorcd cnd-statc pattcrn s acccptab!c. ) n a h!!cr
dscusson wc wou!d havc (and want) to cxtcnd our argumcnt to
nc!udc ntcrcst, cntrcprcncura| probts, and so on. Thosc who
doubt that ths cxtcnson can bc carrcd through, and who draw
thc !nc hcrc at taxaton ot ncomc trom !abr, w!! havc to statc
rathcr comp!catcd pattcrncd bstercal prncp!cs ot dstrbutvc
justcc, sncc cnd-statc prncp!cs wou!d not dstngushseurces ot
ncomc n any way. t s cnough tor now to gct away trom cnd-
statc prncp!cs and to makc c!car how varous pattcrncd prncp!cs
arc dcpcndcnt upon partcu!ar vcws abut thc sourccs or thc !!c-
tstrtbuttvc ]usttcc
gtmacy or thc !csscr !cgtmacy ot probts, ntcrcst, and so on,
whch partcu!ar vcws may wc!! b mstakcn.
Mhat sort ot rght ovcr othcrs docs a !cga!!y nsttutona!zcd
cnd-statc pattcrn gvc oncr Thc ccntra! corc ot thc noton ot a
propcrty rght nX, rc!atvc to whch othcr parts otthc noton arc
to b cxp!ancd, s thcrght to dctcrmnc what sha!! bc donc wth
Xi thc rght tochooscwhch otthcconstrancd sct otoptonscon-
ccrnngX sha!! bc rca!zcd or attcmptcd.
' '
Thcconstrants arc sct
by othcr prncp!cs or !aws opratng n thc soccty, n our thcory,
by thc Lockcan rghts pop!c posscss (undcr thc mnma! statc).
My proprty rghts n my kntc a!!ow mc to!cavc t whcrc w!!
but not n your chcst. may choosc whch ot thc acccptab!c op
tons nvo!vng thc kntc s to b rca!zcd. Ths noton otproprty
hc!ps us toundcrstand whycar!cr thcorsts spokc otpcop!cas hav-
ng propcrty n thcmsc!vcs and thcr !abor. Thcy vcwcd cach pcr-
son as havng a rght to dccdc what wou!d bccomc othmsc!tand
what hc wou!d do, and as havng a rght to rcap thc bcnchts ot
what hc dd.
Ths rght ot sc!cctng thc a!tcrnatvc to bc rca!zcd trom thc
constrancd sct ota!tcrnatvcs may bc hc!d by anndvdualor by a
greu wth somc proccdurc tor rcachng a jont dccson, or thc
rght may b passcd back and torth, so that onc ycar dccdc
what`s to bccomc otX, and thc ncxtycaryoudo (wththc a!tcrna-
tvc otdcstructon, pcrhaps, bcng cxc!udcd). Or, durng thc samc
tmc pcrod, somc typcs otdccsons aboutX may b madc bymc,
and othcrs byyou. And soon. Mc!ackanadcquatc, truth!, ana-
!ytca! apparatus tor c!assqng thcts otconstrants on thc sct ot
optons among whchchoccs arc to bc madc, and thcts otways
dccson powcrs can bc hc!d, dvdcd, and ama!gamatcd. Atbee
otpropcrty wou!d, among othcr thngs, contan such a c!asshca-
ton otconstrants and dccson modcs, and trom a sma!! numbcr
ot prncp!cs wou!d to!!ow a host ot ntcrcstng statcmcnts about
thc censequenco and cttccts ot ccrtan combnatons ot constrants
and modcs otdccson.
Mhcn cnd-rcsu!t prncp!cs otdstrbutvc justcc arc bu!t nto
thc !cga! structurc ota socty, thcy (as do most pattcrncd prnc-
p!cs)gvc cach ctzcn an cntorccab!c c!am to somc porton otthc
tota! soca| product, that s , to somc porton ot thc sum tota! ot
thc ndvdua!!y and ont!y madc products. Ths tota! product s
Byond the Minimal State?
produccd by ndvduaIs Iaborng, usng mcans ol producton
othcrs havc savcd to brng nto cxstcncc, by popIc organzng
producton orcrcatng mcans to producc ncwthngsorthngs n a
ncw way. t s on ths batch olndvduaI actvtcs that pattcrncd
dstrbutonaI prncpIcs gvc cach ndvduaI an cnlorccabIc cIam.
Lach pcrson has a cIam to thc actvtcs and thc products olothcr
pcrsons, ndcpcndcntIy ol whcthcr thc othcr prsons cntcr nto
partcuIar rcIatonshps thatgvcrsc to thcsccIams, and ndcpcn-
dcntIy ol whcthcr thcy voIuntarIy takc thcsc cIams upon thcm-
scIvcs, n charty or n cxchangc lor somcthng.
hcthcr t s donc through taxaton on wagcs or on wagcsovcr
a ccrtan amount, or through sczurc ol prohts, or through thcrc
bcng a bg secia/ et so that t` s not cIcar what`s comng lrom
whcrc and what`s gong whcrc, pattcrncd prncpIcs oldstrbutvc
ustcc nvoIvc appropratng thc actons olothcr prsons. Sczng
thc rcsuIts ol somconc`s Iabr s cquvaIcnt to sczng hours lrom
hm and drcctng hm to carry on varous actvtcs. l pcopIc
lorcc you to do ccrtan work, or unrcwardcd work, lor a ccrtan
pcrod ol tmc, thcy dccdc what you arc to do and what purposcs
your work s to scrvc apart lrom your dccsons. Jhs proccss
whcrcby thcy takc ths dccson lrom you makcs thcm aart-ewner
olyou, t gvcs thcm a propcrty rght n you. )ust as havng such
partaI controI and powcr oldccson, by rght, ovcr an anmaI or
nanmatc obcct vouId bc to havc a propcrty rght n t.
Lnd-statc and most pattcrncd prncpIcs oldstrbutvc ustcc
nsttutc (partaI) owncrshp by othcrs olpcopIc and thcr actons
and Iabor. Jhcsc prncpIcs nvoIvc a shh lrom thc cIasscaI Ib-
craIs` noton ol scIl-owncrshp to a noton ol (partaI) propcrty
rghts netbo pcopIc.
Lonsdcratons such as thcsc conlront cnd-statc and othcr pat-
tcrncd conccptons olustcc wth thc qucston olwhcthcr thc ac-
tons ncccssary to achcvc thc scIcctcd pattcrn don` t thcmscIvcs v-
oIatc moraI sdc constrants. Any vcw hoIdng that thcrc arc
moraI sdc constrants on actons , that not aII moraI consdcratons
can bc buIt nto cnd statcs that arc to bc achcvcd (scc Lhaptcr ,
pp. zB-o), must lacc thc possbIty that somc oltsgoaIs arc not
achcvabIc by any moraIIy pcrmssbIc avaIabIc mcans. An cn-
ttIcmcnt thcorst wII lacc suchconhcts n a soccty thatdcvatcs
lrom thc prncpIcs olustcc lor thc gcncraton olhoId ngs, land
tstrtbuttvc justtcc
onIy l thc onIy actons avaIabIc to rcaIzc thc prncpIcs thcm-
scIvcs voIatc somc moraI constrants. Sncc dcvaton lrom thc
hrst two prncpIcs ol ustcc (n acquston and translcr) wII n-
voIvc othcr pcrsons` drcct and aggrcssvc ntcrvcnton to voIatc
rghts , and sncc moraI constrants wII not cxcIudc dclcnsvc or
rctrbutvc acton n such cascs, thc cnttIcmcnt thcorst`s probIcm
rarcIy wII bc prcssng. And whatcvcr dlhcuItcs hc has n appIy-
ng thc prncpIc olrccthcaton to pcrsons who dd not thcmscIvcs
voIatc thc hrst two prncpIcs arc dlhcuItcs n baIancng thc
conhctng consdcratons so as corrcctIy to lormuIatc thc compIcx
prncpIc olrccthcaton tscIl, hc wII not voIatc moraI sdc con-
strants by appIyng thc prncpIc. Proponcnts ol pattcrncd con-
ccptons ol ustcc, howcvcr, oltcn wII lacc hcad-on cIashcs (and
pognant oncs l thcy chcrsh cach party to thc cIash) bctwccn
moraI sdcconstrants on how ndvduaIs may bc trcatcd and thcr
pattcrncd conccpton olustcc that prcscnts an cnd statc or othcr
pattcrn thatmust bc rcaIzcd.
May a pcrson cmgratc lrom a naton that has nsttutonaIzcd
somc cnd-statc or pattcrncd dstrbutonaI prncpIc! or somc
prncpIcs (lor cxampIc, Mayck`s) cmgraton prcscnts no thcorct-
caI probIcm. but lor othcrs t s a trcky mattcr. Lonsdcr a naton
havng acompuIsory schcmc olmnmaI socaI provson to ad thc
nccdcst (or onc organzcd so as to maxmzc thc poston ol thc
worst-ollgroup), no onc may opt out olpartcpatng n t. (Ponc
may say, Oon` tcompcI mc to contrbutc to othcrs and don`t pro-
vdc lor mc va ths compuIsory mcchansm l am n nccd. `) Lv-
cryonc abovc a ccrtan IcvcI s lorccd to contrbutc to ad thc
nccdy. but l cmgraton lrom thc country wcrc aIIowcd, anyonc
couIdchoosc to movc toanothcr country that dd not havc compuI-
sory socaI provson but othcrwsc was (as much as possbIc) dcn-
tcaI. n sucha casc, thc pcrson`sen/ motvc lorIcavng wouId bc
to avod partcpatng n thc compuIsory schcmc ol socaI prov-
son. And lhc docs Icavc, thc nccdy n hs ntaI country wII rc-
ccvc no (compcIIcd) hcIp lrom hm. hat ratonaIc ycIds thc
rcsuIt that thc pcrson bc pcrmttcd to cmgratc, yct lorbddcn to
stay and opt out olthc compuIsory schcmc ol socaI provson! l
provdng lor thc nccdy s ol ovcrrdng mportancc, ths docs
mItatc aganst aIIowng ntcrnaI optng out, but t aIso spcaks
aganst aIIowng cxtcrnaI cmgraton. (ouId t aIso support, to
Byond the Minimal State?
somc cxtcnt, thc kdnappng olpcrsons Ivng n a pIacc wthout
compuIsory socaI provson, who couId bc lorccd to makc a con-
trbuton to thc nccdy n your communty!) Pcrhaps thc crucaI
componcnt ol thc poston that aIIows cmgraton soIcIy to avod
ccrtan arrangcmcnts, whIc not aIIowng anyonc ntcrnaIIy to opt
out olthcm, s a conccrn lor lratcrnaI lccIngs wthn thc country.
'c don`t want anyonchcrc who docsn` t contrbutc, who docsn` t
carc cnough about thcothcrs tocontrbutc. ` Jhat conccrn, n ths
casc, wouId havc to bc tcd to thcvcw thatlorccd adngtcnds to
producc lratcrnaI lccIngs bctwccn thc adcd and thc adcr (or
pcrhaps mcrcIy to thc vcw that thc knowIcdgc that somconc or
othcr voIuntarIy s not adng produccs unlratcrnaI lccIngs).
LOCKE
'
S THEORY OF ACQUI S I TI ON
bclorc wc turn to consdcr othcr thcorcs ol ustcc ndctaI, wc
must ntroducc an addtonaI bt olcompIcxty nto thc structurc
olthc cnttIcmcnt thcory. Jhs s bcst approachcd by consdcrng
Lockc's attcmpt to spccly a prncpIc ol ustcc n acquston.
Lockc vcws propcrty rghts n an unowncd obcct as orgnatng
through somconc`s mxng hs Iabr wth t. Jhs gvcs rsc to
many qucstons. hat arc thc boundarcs ol what Iabor s mxcd
wth! l a prvatc astronaut cIcars a pIacc on Mars , has hc mxcd
hs Iabor wth (so that hc comcs to own) thc whoIc pIanct, thc
whoIc unnhabtcd unvcrsc, or ust a partcuIar pIot! hch pIot
docs an act brng undcr owncrshp! Jhc mnmaI (possbIy dscon-
ncctcd) arca such that an act dccrcascs cntropy n that arca, and
not cIscwhcrc! Lan vrgn Iand (lor thc purposcs olccoIogcaI n-
vcstgaton by hgh-hyng arpIanc) comc undcr owncrshp by a
Lockcan proccss! buIdng a lcncc around a tcrrtory prcsumabIy
wouId makc onc thc owncr olonIy thc lcncc (and thc Iand mmc-
datcIy undcrncath t).
hy docs mxng onc`s Iabor wth somcthng makc onc thc
owncr ol t! Pcrhaps bccausc onc owns onc`s Iabor, and so onc
comcs to own aprcvousIy unowncd thng that bccomcspcrmcatcd
wth what onc owns. Cwncrshp sccps ovcr nto thc rcst. but why
sn`t mxng what own wth what don`t own a way ol Iosng
tstrtbuttvc justtcc 1 75
what own rathcr than a way olganng what don` t! l own a
can ol tomato ucc and spII t n thc sca so that ts moIccuIcs
(madc radoactvc, so can chcck ths) mngIc cvcnIy throughout
thc sca, do thcrcbycomc to own thc sca, orhavc looIshIydss-
patcd my tomato ucc! Pcrhaps thc dca, nstcad, s that Iabrng
on somcthng mprovcs t and makcs t morc vaIuabIc, and anyonc
s cnttIcd to own a thng whoscvaIuc hc has crcatcd. (Kcnlorcng
ths , pcrhaps , s thc vcw that Iaborng s unpIcasant. lsomc pco-
pIc madc thngs cllortIcssIy, as thc cartoon charactcrs nTbeYellm
Sulmarine traI howcrs n thcr wakc, wouId thcy havc Icsscr cIam
to thcr own products whosc makng ddn`t cest thcm anythng!)
gnorc thclact that Iaborng on somcthng may makc t Icss vaIu-
abIc (sprayng pnk cnamcI pant on a pccc oldrltwood that you
havc lound). hy shouId onc`s cnttIcmcnt cxtcnd to thc whoIc
obcct rathcr than ust to thcadedvalue onc`s Iabor has produccd!
(Such rclcrcncc to vaIuc mght aIso scrvc to dcImt thc cxtcnt ol
owncrshp, lor cxampIc, substtutc ncrcascs thc vaIuc ol` lor
dccrcascs cntropy n` n thc abovc cntropy crtcron. ) Po work-
abIc or cohcrcnt vaIuc-addcd propcrty schcmc has yct bccn dc-
vscd, and any such schcmc prcsumabIy wouId laII to obcctons
(smIar to thosc) that lcII thc thcory olMcnry Lcorgc.
t wII bc mpIausbIc tovcw mprovng an obcctas gvng hII
owncrshp to t, l thc stock ol unowncd obccts that mght bc
mprovcd s Imtcd. or an obcct`s comng undcr onc pcrson's
owncrshp changcs thc stuaton olaII othcrs. hcrcas prcvousIy
thcy wcrc at Ibcrty (n MohlcId`s scnsc) to usc thc obcct, thcy
now no Iongcr arc. Jhs changc n thc suaton ol othcrs (by
rcmovng thcr Ibrty toact onaprcvousIy unowncd obcct)nccd
not worscn thcr stuaton. l appropratc a gran ol sand lrom
Loncy sIand, no onc cIsc may now do as thcy wII wthtbat gran
olsand. but thcrc arc pIcnty olothcr grans olsand Iclt lor thcm
to do thc samc wth. Cr lnot grans olsand, thcn othcr thngs.
AItcrnatvcIy, thc thngs do wth thc gran olsand appropratc
mght mprovc thc poston olothcrs, countcrbaIancng thcr Ioss
ol thc Ibrty to usc that gran. Jhc crucaI pont s whcthcr ap-
propraton ol an unowncd obcct worscns thc stuaton ol othcrs.
Lockc` s provso that thcrc bc cnough and as good Iclt n com-
mon lor othcrs` (scct. 27) s mcant to cnsurc that thc stuaton ol
othcrs s not worscncd. (lthsprovso s mct s thcrc any motva-
1 76
Byond the Minimal State?
ton tor hs hrthcr condton ot nonwastc!) t s ottcn sad that
ths provso oncc hcId but now no Iongcr docs. but thcrc appcars
to bc an argumcnt tor thc concIuson that tthc provso no Iongcr
hoIds, thcn t cannot cvcr havc hcId so as to ycId pcrmancnt and
nhcrtabIc propcrty rghts. Lonsdcr thc hrst prson Z tor whom
thcrc s not cnough and as good Ictt to appropratc. Jhc Iast pr-
son Y to appropratc Ictt Z wthout hs prcvous Ibcrty to act on
an obcct, and so worscncd Z`s stuaton. So Y`s appropraton s
not aIIowcd undcr Lockc` s provso. Jhcrctorc thc ncxt to Iast pr-
sonX to appropratc Ictt Y n a worsc poston, torX`s act cndcd
pcrmssbIc appropraton. JhcrctorcX`s appropraton wasn`tpcr-
mssbIc. but thcn thc approprator two trom Iast, B, cndcd pr-
mssbIc appropraton and so, sncc t worscncdX`s poston, B` s
appropraton wasn`t pcrmssbIc. Andso on back to thc hrst pr-
sonA to appropratc a pcrmancnt propcrty rght.
Jhs argumcnt, howcvcr, procccds too quckIy. Somconc may
bc madc worscottby anothcr`s appropraton n twoways. hrst, by
Iosng thc opportunty to mprovc hs stuaton by apartcuIar ap-
propraton or any onc, and sccond, by no Iongcr bcng abIc to usc
trccIy (wthout appropraton)what hcprcvousIy couId. Astrngent
rcqurcmcnt that anothcr not bc madc worsc ottby an appropra-
ton wouId cxcIudc thc hrst way t nothng cIsc countcrbalanccs
thc dmnuton n opportunty, as wcII as thc sccond. A uko
rcqurcmcnt wouId cxcIudc thc sccond way, though not thc hrst.
th thc wcakcr rcqurcmcnt, wc cannotzpback soquckIy trom
Z to A, as n thc abovc argumcnt, tor though prson Z can no
Iongcrarerate, thcrcmay rcman somc tor hm touse as bctorc.
n ths casc Y`s appropraton wouId not voIatc thc wcakcr Lock-
can condton. (th Icss rcmanng that popIc arc at Ibrty to
usc, uscrs mght tacc morc nconvcncncc, crowdng, and so on, n
that waythc stuaton otothcrs mght bcworscncd, unIcss appro-
praton stoppcd tar short ot such a pont. ) t s arguabIc that no
onc IcgtmatcIy can compIan t thc wcakcr provson s satshcd.
Mowcvcr, sncc ths s Icss cIcar than n thccascotthcmorc strn-
gcnt provso, Lockc may havc ntcndcd ths strngcnt provso by
'cnough and as good` rcmanng, and prhaps hc mcant thc non-
wastccondton to dcIay thc cnd pont trom whch thc argumcnt
zps back.
tstrtbuttvc justtcc
s thc stuaton otprsons who arc unabIc to appropratc (thcrc
bcng no morc acccssbIc and usctuI unowncd obccts)worscncd by
a systcm aIIowng appropraton and pcrmancnt propcrty! Mcrc
cntcr thc varous tamIar socaI consdcratons tavorng prvatc
propcrty. t ncrcascs thc socaI product by puttng mcans otpro-
ducton n thc hands ot thosc who can usc thcm most cthccntIy
(prohtabIy), cxpcrmcntaton s cncouragcd, bccausc wth scparatc
prsons controIIng rcsourccs , thcrc s no onc pcrson or smaII
group whom somconc wth a ncw dca must convncc to try tout,
prvatc propcrty cnabIcs pcopIc to dccdc on thc pattcrn and typcs
otrsks thcy wsh to bcar, Icadng to spccaIzcd typcs otrsk bcar-
ng, prvatc propcrty protccts tuturc pcrsons by Icadng somc to
hoId back rcsourccs trom currcnt consumpton tor hturc markcts,
t provdcs aItcrnatc sourccs otcmpIoymcnt tor unpopuIar pcrsons
who don`t havc to convncc any onc pcrson or smaII group to hrc
thcm, and so on. Jhcsc consdcratons cntcr a Lockcan thcory to
support thc cIam that appropraton ot prvatc propcrty satshcs
thc ntcnt bchnd thc 'cnough and as good Ictt ovcr` provso, net
as a utItaran usthcaton ot propcrty. Jhcy cntcr to rcbut thc
cIam that bccausc thc provso s voIatcd no naturaI rght to
prvatc propcrty can arsc by a Lockcan proccss. Jhc dthcuIty n
workng such an argumcnt to show that thc provso s satshcd s
n mng thc appropratc basc Inc tor comparson. Lockcan appro-
praton makcs pcopIc no worsc ott than thcy wouId bc bm
I 2
Jhs qucston othxng thc bascInc nccds morc dctaIcd nvcstga-
ton than wc arc abIc togvc t hcrc. t wouId bc dcsrabIc to havc
an cstmatc otthc gcncraI cconomc mportancc otorgnaI appro-
praton n ordcr to scc how much Iccway thcrc s tor dttcrng
thcorcs ot appropraton and ot thc Iocaton ot thc bascInc.
Pcrhaps ths mportancc can bc mcasurcd by thc pcrccntagc otaII
ncomc that s bascd upon untranstormcd raw matcraIs andgvcn
rcsourccs (rathcr than upon human actons), manIy rcntaI ncomc
rcprcscntng thc unmprovcd vaIuc ot Iand, and thc prcc ot raw
matcraI n stu, and by thc prccntagc ot currcnt wcaIth whch
rcprcscnts such ncomc n thc past.
q
havc not sccn a prccsc cstmatc. Lavd lrcdman, The Machiney 0/ Fre
dom (P. Y. . Marpcr & Kow, I g}), pp. xv, % dscusscs ths ssuc and sug-
Byond the Minimal State?
c shouId notc that t s not onIypcrsonstavorngivate prop-
crty who nccd a thcory ot how proprty rghts IcgtmatcIy org-
natc. Jhosc bcIcvng n coIIcctvcpropcrty, tor cxampIc thosc bc-
Icvng that a group otpcrsons Ivng n an arca ontIy own thc
tcrrtory, or ts mncraI rcsourccs, aIso must provdc a thcory ot
how such propcrty rghts arsc, thcy must show why thc prsons
Ivng thcrc havc rghts to dctcrmnc what s donc wth thc Iand
and rcsourccs thcrc that prsons Ivng cIscwhcrc don`t havc (wth
rcgard to thc samc Iand and rcsourccs).
THE PROVI S O
hcthcr or not Lockc` s partcuIar thcory ot appropraton can bc
spcIIcd out so as to handIc varous dthcuItcs, assumc that any
adcquatc thcory ot ustcc n acquston wII contan a provso
smIar to thc wcakcr otthc oncs wc havc attrbutcd to Lockc. A
proccss normaIIy gvng rsc to a prmancnt bcqucathabIc propcrty
rght n a prcvousIy unowncd thng wII not do so tthc poston
otothcrs no Iongcrat Ibrty tousc thc thng s thcrcby worscncd.
t s mportant to spcctbis partcuIar modc otworscnng thc st-
uaton otothcrs , tor thc provso docs not cncompass othcr modcs.
t docs not ncIudc thc worscnng duc to morc Imtcd opportu-
ntcs to appropratc (thc hrst way abovc, corrcspondng to thc
morc strngcntcondton), and t docs not ncIudc how 'worscn`
a scIIcr`s poston t appropratc matcraIs to makc somc otwhat
hc s scIIng, and thcn cntcr nto compctton wth hm. Somconc
whosc appropraton othcrwsc wouId voIatc thc provso stII may
appropratcprovdcdhc compcnsatcs thcothcrs so that thcr stua-
ton s not thcrcby worscncd, unIcss hc docs compnsatc thcsc
othcrs, hs appropratonwIIvoIatc thcprovsootthc prncpIc ot
ustcc n acquston and wII bc an IIcgtmatc onc. A thcory ot
gcsts pcrccnt oIL. 5. natonal ncomc as an uppr lmt Ior thc hrst two Iac-
tors mcntoncd. Mowcvcr hc dos not attcmpt to ctmatc thc prccntagc oI
currcntwcalthwhch s bcdupnsuch ncomc nthcpt. (hcvagucnotonoI
'bascd upn` mcrcly ndcatcs a topc nccdng nvcstgaton. )
lourcr hcld that sncc thc proccss oI cvlzaton had dcprvcd thc
mcmbcrs oIsocty oIccrtan lbrtcs (to gathcr, pturc, cngagc n thc chc),
tstrtbuttvc justtcc 1 79
appropraton ncorpratng ths Lockcan provso wII handIc cor-
rcctIy thc cascs (obcctons to thc thcory Iackng thc provso) whcrc
somconc appropratcs thc totaI suppIy otsomcthng ncccssary tor
Itc.
A thcory whch ncIudcs ths provso n ts prncpIc ot ustcc
n acquston must aIso contan a morc compIcx prncpIc otus-
tcc n transtcr. Somc rchccton otthcprovso aboutappropraton
constrans Iatcr actons. tmy appropratng aII ot a ccrtan sub-
stancc voIatcs thcLockcanprovso, thcn so docs my appropratng
somc and purchasng aII thc rcst trom othcrs who obtancd t
wthout othcrwsc voIatng thc Lockcan provso. t thc provso
cxcIudcs somconc`s appropratng aII thc drnkabIc watcr n thc
worId, t aIso cxcIudcs hs purchasng t aII. (Morc wcakIy, and
mcssIy, t may cxcIudc hs chargng ccrtan prccs tor somc oths
suppIy. ) Jhs provso (aImost!) ncvcr wII comc nto cttcct, thc
morc somconc acqurcs ot a scarcc substancc whch othcrs want,
thc hghcr thc prcc otthcrcst wII go, and thc morc dthcuIt t
wII bccomc tor hm to acqurc taII. butstII , wccan magnc, at
Icast, that somcthng Ikc ths occurs. somconc makcs smuIta-
a socally guarantccd mnmum provson Ior pcrsons was usthcd compnsa-
ton Ior thc loss (Alcxandcr Lray, The Socialist Tradition (Pcw York. Marpr &
Kow, I g68), p. I 88). but ths puts thc pont too strongly. hs compnsaton
would bc duc thos prsons, Iany, Ior whom thc procss oIcvlzaton was a
net loss, Ior whom thc bnchts oI cvlzaton dd not countcrbalancc bcng
dcprvcd oI thcsc partcular lbrtcs.
lor cxamplc, Kashdall`scasc oIsomconc whocomcs uponthc onlywatcr n
thcdcscrt scvcral mlcs ahcad oIothcrs who also wllcomc to t and appropr-
atcs t all. Mastngs Kashdall, 'hc Fhlosophcal hcory oIFroprty, ` nm]-
erty, its Duties and Rights (London. MacMllan, I gI ).
c should notc Ayn Kand`s thcory oI propcrty rghts (Man's Kghts` n
The Virtue of Seshness (Pcw York. Pcw Amcrcan Lbrary, I g6q), p. gq),
whcrcn thcscIollow Irom thcrghtto lIc, snccpoplcnccdphyscal thngsto
lvc. but a rght to lIc s notarghttowhatcvcronc nccds to lvc,othcrpcoplc
may havc rghts ovcr thcsc othcr thngs (scc Lhaptcr oIths book). Atmost, a
rght to lIc would bc a rght to havc or strvc Ior whatcvcr onc nccds to lvc,
provdcd that havng t docs not volatc anyonc clsc's rghts. th rcgard
matcral thngs, thc qucston s whcthcr havng t docs volatc any rght oI
othcrs. (ould appropraton oI all unowncd thngs do so! ould appropr-
atngthcwatcrholc n Kashdall`scxamplc!)5nccspcalconsdcratons(suchas
thc Lockcan provso) may cntcr wth rcgard to matcral propcrty, oncirst nccds
a thcory oI propcrty rghts bcIorc onc can apply any supposcd rght to lIc (a:
amcndcd abvc). hcnmrc thc rght to lk cannot provdc thc mundaton mra
thcory oIpropcrty rghts.
I 8C
Byond the Minial State?
ncous sccrct bds to thc scparatc owncrs ot a substancc, cach ot
whom scIIs assumng hc can casIy purchasc morc trom thc othcr
owncrs, or somc naturaI catastrophc dcstroys aII ot thc suppIy ot
somcthng cxccpt that n onc pcrson`sposscsson. Jhc totaI suppIy
couId not bc pcrmssbIy appropratcd by onc prson at thc
bcgnnng. Ms Iatcr acquston ot t aII docs not show that thc
orgnaI appropraton voIatcd thc provso (cvcn by a rcvcrsc argu-
mcnt smIar to thc onc abovc that trcd to zp back trom Z toA) .
Kathcr, t sthc combnaton ot thc orgnaI appropratonlus aII
thc Iatcr transtcrs and actons that voIatcs thc Lockcan provso.
Lach owncr`s ttIc to hs hoIdng ncIudcs thc hstorcaI shadow
otthc Lockcan provso on appropraton. Jhs cxcIudcs hs trans-
tcrrng t nto an aggIomcraton that docs voIatc thc Lockcan
provso and cxcIudcs hs usng t n a way, n coordnaton wth
othcrs or ndcpcndcntIy ot thcm, so as to voIatc thc provso by
makngthc stuaton otothcrs worscthan thcr bascInc stuaton.
Cncc t s known that somconc`s owncrshp runs atouI ot thc
Lockcan provso, thcrc arc strngcnt Imts on what hc may do
wth(what t s dthcuItany Iongcr unrcscrvcdIy to caII) 'hs prop-
crty. ` Jhus a prson may not appropratc thc onIy watcr hoIc n a
dcscrt and chargc what hc wII . Por may hcchargcwhat hc wII t
hc posscsscs onc, and untortunatcIy t happcns that aII thc watcr
hoIcs n thc dcscrt dry up, cxccpt tor hs. Jhs untortunatc cr-
cumstancc, admttcdIy no tauIt ot hs , brngs nto opcraton thc
Lockcan provso and Imts hs proprty rghts. SmIarIy, an
owncr`spropcrty rght n thc onIy sIand n an arcadocs not aIIow
hm to ordcr a castaway trom a shpwrcck ott hs sIand as a trcs-
passcr, tor ths wouId voIatc thc Lockcan provso.
Potcc that thc thcory docs not say that owncrs do havc thcsc
rghts, but that thc rghts arc ovcrrddcn to avod somc catastro-
phc. (Cvcrrddcn rghts do not dsappcar, thcy Icavc a tracc ot a
sort abscnt n thc cascs undcr dscusson. ) ' Jhcrc s no such cx-
tcrnaI (and ad bec) ovcrrdng. Lonsdcratons ntcrnaI to thc
thcory otpropcrty tscIt, to ts thcory otacquston and appropra-
hc stuaton would bc dIIcrcnt Ihs watcr holc ddn`t dry up, duc to
spccal prccautons hc took to prcvcnt ths. Lomparc our dscusson oI thc cc
n thc tcxt wth Mayck, 7be Constitution 0/ Librty, p. I 6, and also wth Konald
Mamowy, `Mayck`sLonccpt oI lrccdom, A Lrtquc, `New Individualist Review,
Aprl Ig6I , pp. z8I .
tstrtbuttvc justcc I 8 I
ton, provdc thc mcans tor handIng such cascs. Jhc rcsuIts , how-
cvcr, may bc cocxtcnsvc wth somc condton about catastrophc,
sncc thc bascInc tor comparson s so Iow as comparcd to thc
productvcncss ot a soccty wth prvatc appropraton that thc
qucston ot thc Lockcan provso bcng voIatcd arscs onIy n
thc casc otcatastrophc (or a dcscrt-sIand stuaton).
Jhc tact that somconc owns thc totaI suppIy otsomcthng ncc-
cssary tor othcrs to stay aIvc docs net cntaI that hs (or anyonc`s)
appropraton otanythng Ictt somc pcopIc (mmcdatcIy or Iatcr)
n a stuaton worsc than thc bascInc onc. A mcdcaI rcscarchcr
who synthcszcs a ncw substancc that chcctvcIy trcats a ccrtan
dscasc and who rctuscs to scIIcxccpton hs tcrms docs not worscn
thc stuaton otothcrs by dcprvng thcm ot whatcvcr hc has ap-
propratcd. Jhc othcrs casIy can posscss thc samc matcraIs hc ap-
propratcd, thc rcscarchcr`s appropraton or purchasc otchcmcaIs
ddn`t makc thosc chcmcaIs scarcc n a way so as to voIatc thc
Lockcan provso. Por wouId somconc cIsc`s purchasng thc totaI
suppIy ot thc synthcszcd substancc trom thc mcdcaI rcscarchcr.
Jhc mct that thcmcdcaI rcscarchcr uscs casIy avaIabIc chcmcaIs
to synthcszc thc drug no morc voIatcs thc Lockcan provso than
docs thc tact that thc onIy surgcon abIc to pcrtorm a partcuIar
opcraton cats casIy obtanabIc tood n ordcr to stay aIvc and to
havc thc cncrgy to work. Jhs shows that thc Lockcan provso s
not an 'cnd-statc prncpIc`, ttocuscs on apartcuIar way that ap-
propratvc actons ahcct othcrs, and not on thc structurc ot thc
stuaton that rcsuIts .' *
ntcrmcdatc bctwccn somconc who takcs aII ot thc pubIc
suppIy and somconc who makcs thc totaI suppIy out otcasIy ob-
tanabIcsubstanccs ssomconcwho appropratcs thc totaIsuppIyot
somcthng n a way that docs not dcprvc thc othcrs ott. orcx-
ampIc, somconc hnds a ncw substancc n an out-ot-thc-way pIacc.
Mc dscovcrs that t chcctvcIy trcats a ccrtan dscasc and appro-
pratcs thc totaI suppIy. Mc docs not worscn thc stuaton ot
othcrs, thc dd not stumbIc upon thcsubstancc no onc cIsc wouId
havc, and thc othcrs wouId rcman wthout t. Mowcvcr, as tmc
passcs, thc IkcIhood ncrcascs thatothcrs wouId havccomcacross
thc substancc, upon ths tact mght bc bascd a Imt to hs prop-
crty rght n thc substancc so that othcrs arc not bcIow thcr basc-
Inc poston, tor cxampIc, ts bcqucst mght bc Imtcd. Jhc
182 Byond the Minial State?
thcmc otsomconc worscnng anothcr` s stuaton by dcprvng hm
ot somcthng hc othcrwsc wouId posscss may aIso IIumnatc thc
cxampIc otpatcnts. An nvcntor`s patcntdocs notdcprvcothcrsot
an obcct whch wouId not cxst t not tor thc nvcntor. Yct pat-
cnts wouId havc ths cttcctonothcrs who ndcpcndcntIy nvcnt thc
obcct. Jhcrctorc, thcsc ndcpcndcnt nvcntors, upon whom thc
burdcn ot provng ndcpndcnt dscovcry may rcst, shouId not bc
cxcIudcd trom utIzng thcr own nvcnton as thcy wsh (ncIud-
ng scIIng tto othcrs). urthcrmorc, aknownnvcntordrastcaIIy
Icsscns thc chanccs ot actuaI ndcpcndcnt nvcnton. or pcrsons
who know otan nvcnton usuaIIy wII not try to rcnvcnt t, and
thc noton otndcpcndcnt dscovcry hcrc wouId bc murky at bcst.
Yct wc may assumc that n thc abscncc otthc orgnaI nvcnton,
somctmc Iatcr somconc cIsc wouId havc comc up wth t. Jhs
suggcstspIacnga tmc Imt on patcnts, as a rough ruIcotthumb
to approxmatc how Iong t wouId havc takcn, n thc abscncc ot
knowIcdgc otthc nvcnton, tor ndcpcndcnt dscovcry.
bcIcvc that thc trcc opcraton ota markct systcm wII not ac-
tuaIIy run atouI ot thc Lockcan provso. (KccaII that crucaI to our
story n Part othow a protcctvc agcncybccomcs domnant and a
de /acte monopoIy s thc tact that t wcIds torcc n stuatons ot
conh ct , and s not mcrcIy n comptton, wth othcr agcnccs . A
smIar taIc cannot bc toId abut othcr busncsscs. ) tths s cor-
rcct, thc provso wII not pIay a vcry mprtant roIc n thc actv-
tcsotprotcctvc agcnccsand wII not provdc a sgnhcant oppor-
tunty tor tuturc statc acton. ndccd, wcrc t not tor thc cttccts ot
prcvous i/legitimate statc acton, popIc wouId not thnk thc poss-
bIty otthc provso's bcng voIatcd as otmorc ntcrcst than any
othcr IogcaI possbIty. (Mcrc makc an cmprcaI hstorcaI
cIam, as docs somconc who dsagrccs wth ths. ) Jhs compIctcs
our ndcaton ot thc compIcaton n thc cnttIcmcnt thcory n-
trouccd by thcLockcan provso.
tstrtbuttvc justtcc
S L L J C P
RAWLS
'
THEORY
c can brng our dscusson ot dstrbutvc ustcc nto sharpr
tocus by consdcrng n somc dctaI )ohn KawIs` rcccnt contrbu-
ton to thc subcct. A Tbee e/ustice ' s a powcrhI, dccp,
subtIc, wdc-rangng, systcmatc work n poItcaI and moraI ph-
Iosophy whch has not sccn ts Ikc sncc thc wrtngs ot )ohn
Stuart MII , t thcn. t s a tountan ot IIumnatng dcas , n-
tcgratcd togcthcr nto a IovcIy whoIc. PoItcaI phIosophcrs now
must cthcr work wthn KawIs` thcory or cxpIan why not. Jhc
consdcratons and dstnctons wc havc dcvcIopcd arc IIumnatcd
by, and hcIp IIumnatc, KawIs` mastcrtuI prcscntaton otan aItcr-
natvc conccpton. Lvcn thosc who rcman unconvnccd attcr wrcs-
tIng wth KawIs` systcmatc vson wII Icarn much trom cIoscIy
studyng t. do not spcakonIy otthc MIIan sharpcnng otonc`s
vcws n combatng (what onc takcs to b) crror. t s mpssbIc
to rcad KawIs` book wthout ncorporatng much, pcrhaps trans-
mutcd, nto onc`s own dccpcncd vcw. And t s mpossbIc to
hnsh hs book wthout a ncw and nsprng vsonotwhat amoraI
thcory may attcmpt to do and untc, ot how lmutu/ a whoIc
thcory can bc. prmt myscIt to conccntratc hcrc on dsagrcc-
mcnts wth KawIs onIy bccausc am conhdcnt that my rcadcrs
wII havc dscovcrcd tor thcmscIvcs ts many vrtucs.
S OCI AL COOPERATI ON
shalI bcgtn by constdcrtng thc roIc ot thc prtnctpIcs ot usttcc. Lct us
assumc, to x tdcas, that a soctcty ts a morc or Icss scIt-suthctcnt assocta-
tton ot pcrsons who tn thctr rclattons to onc anothcr rccogntzc ccrtatn
rulcs ot conduct as btndtng and who tor thc most part act tn accordancc
wtth thcm. bupposc turthcr that thcsc rulcs spctq a systcm ot coopra-
tton dcstgncd to advancc thc good ot thosc taktng part tn tt. Jhcn, al-
though a soctcty ts a coopcrattvc vcnturc tor mutuaI advantagc, tt ts
Byond the Minial State?
typtcaIIy markcd by a conhtct as wcII as by an tdcnttty ot tntcrcsts.
Jhcrc ts an :dcnttty ot tntcrcsts stncc soctaI coopratton makcs posstbIc a
bcttcr Ittc tor aII than any wouId havc tt cach wcrc to Itvc soIcIy by hts
own chorts. Jhcrc ts a conhtct ot tntcrcsts stncc pcrsons arc not tndtttcr-
cnt as to how thc grcatcr bcnchts produccd by thctr coIIaboratton arc dts-
trtbutcd, tor tn ordcr to pursuc thctr cnds thcy cach prctcr a Iargcr to a
Icsscr sharc. A sct ot prtnctpIcs ts rcgutrcd tor choostng among thc
vartous soctaI arrangcmcnts whtch dctcrmtnc thts dtvtston ot advantagcs
and tor undcrwrtttng an agrccmcnt on thc propcr dtstrtbuttvc sharcs.
Jhcsc prtnctpIcs arc thc prtnctpIcs ot soctaI usttcc. thcy provtdc a way ot
asstgntng rtghts and duttcs tn thc bastc tnstttuttons ot soctcty and thcy
dch nc thc approprtatc dtstrtbutton ot thc bcnch ts and burdcns ot soctaI
coopcratton.
1
Lct usmagncn ndvduaIs who donot coopcratc togcthcr and
who cach Ivc soIcIy by thcr own cttorts. Lach pcrson i rcccvcs a
payott, rcturn, ncomc, and so torth, S, , thc sum totaI otwhat cach
ndvduaI gcts actng scparatcIy s
W
,
*
by coopcratng togcthcr thcy canobtan a Iargcrsum totaI T. Jhc
probIcm otdstrbutvc socaI ustcc, accordng to KawIs, s how
thcsc bcnchts ot coopcraton arc to bc dstrbutcd or aIIocatcd.
JhsprobIcm mght bcconccvcd otn two ways. hows thc totaI
T to bc aIIocatcd! Cr, how s thc ncrcmcntaI amount duc to socaI
coopcraton, that s thc bcnchts ot socaI coopcraton J S, to bc
aIIocatcd! Jhc Iattcr tormuIaton assumcs that cach ndvduaIi rc-
ccvcs trom thc subtotaIS otT, hs sharcS, Jhc two statcmcnts ot
thc probIcm dttcr. hcn combncd wth thc noncoopcratvc ds-
trbuton otS (cach i gcttng S, ), a 'tar-Iookng dstrbuton ot
J Sundcrthcsccond vcrson may not ycIda tar-Iookng ds-
trbuton otT (thc hrst vcrson). AItcrnatvcIy, a tar-Iookng ds-
trbutonotTmay gvc a partcuIar ndvduaI iIcssthanhs sharc
S, . (Jhc constrant T,S, on thc answcr to thc hrst tormuIaton ot
thcprobIcm, whcrcT, s thc sharc nTotthcindvduaI, wouId
cxcIudc ths possbIty. ) KawIs, wthout dstngushng thcsc two
tormuIatons ot thc probIcm, wrtcs as though hs conccrn s thc
hrst onc, that s, how thc totaI sum T s to bc dstrbutcd. Cnc
mght cIam, to support a tocus on thc hrst ssuc, that duc to thc
cnormous bcnchts ot socaI coopcraton, thc noncoopcratvc sharcs
S, arc so smaII n cOmQarsOn to any coopcratvc oncs T, that thcy
tstrtbuttvc justtcc
may bc gnorcd n scttng up thc probIcm ot socaI ustcc.
Jhough wc shouId notcthatths ccrtanIy snot howpcopIc cntcr-
ng nto coopcraton wth onc anothcr wouId agrcc to conccvc ot
thc probIcm otdvdng upcoopcraton`s bcnchts.
hy dos socaI copraton cnate thc probIcm otdstrbutvc
ustcc! ouId thcrc bc no probIcm ot ustcc and no nccd tor a
thcory ot ustcc, tthcrc was no socaI copraton at aII, tcach
prson got hs sharc soIcIy by hs own chorts! twc suppsc, as
KawIs sccms to, that ths stuaton docs net rasc qucstons otds-
trbutvc ustcc, thcn n vrtuc otwhat tacts aboutsocaIcopcra-
ton do thcsc qucstons otustcc cmcrgc! hat s t abut socaI
copraton that gvcs rsc to ssucs ot ustcc! t cannot bc sad
that thcrc wII bc conhctng cIams onIy whcrc thcrc s socaI co-
opcraton, that ndvduaIs who producc ndcpndcntIy and (n-
taIIy) tcnd tor thcmscIvcs wII not makc cIamsot ustcc on cach
othcr. tthcrc wcrc tcn Kobnson Lrusocs, cach workng aIonc tor
two ycars on scparatc sIands, who dscovcrcd cach othcr and thc
tacts ot thcr dhcrcnt aIIotmcnts by rado communcaton va
transmttcrs Ictt twcnty ycars carIcr, couId thcy not makc cIams
on cach othcr, supposng t wcrc pssbIc to transtcr goods trom
onc sIand to thc ncxt! ' ' ouIdn`t thc onc wth Icast makc a
cIam on ground otnccd, or on thc ground that hs sIand was nat-
uraIIypoorcst, oron thcgroundthat hc wasnaturaIIyIcastcapabIc
ottcndng tor hmscIt! Mghtn` t hc say that ustcc dcmandcd hc
bc gvcn somc morc by thc othcrs, cIamng t untar that hc
shouId rcccvc so much Icss and prhaps bc dcsttutc, prhaps
starvng! Mc mght go on to say that thc dhcrcnt ndvduaI non-
coopcratvc sharcs stcm trom dttcrcntaI naturaI cndowmcnts,
whch arc not dcscrvcd, and that thc task ot ustcc s to rcct
thcsc arbtrary tacts and ncqutcs. Kathcr than ts bcng thc casc
that no onc wiu makc such cIams n thc stuaton Iackng socaI
coopraton, prhaps thc pont s that such cIamscIcarIywouId bc
wthout mcrt. hy wouId thcy cIcarIy bc wthout mcrt! n thc
socaI noncoopraton stuaton, t mght bc sad, cach ndvduaI
dcscrvcs what hc gcts unadcd by hs own chorts, orrathcr, no onc
cIsc can makc acIame/)ustite aganst ths hoIdng. tspIIucdIy
cIcar n ths stuaton who s cnttIcd to what , so no thcoryotus-
tcc s nccdcd. Cn ths vcw socaI coopcraton ntroduccs a mud-
dyng otthc watcrs that makcs t uncIcar or ndctcrmnatc who s
1 86
Byond the Minial State?
cnttIcd to what. Kathcr than sayng that no thcory ot ustcc
appIcs to ths noncopratvc casc, (wouIdn` t t bc un ust tsomc-
onc stoIc anothcr`s products n thc noncoopcratvc stuaton!),
wouId say that t sa cIcar casc otappIcaton otthc corrcct thcory
otustcc. thc cnttIcmcnt thcory.
Mow dos socaI coopraton changc thngs so that thc samc
cnttIcmcnt prncpIcs that appIy to thc noncoopcratvc cascs bc-
comc nappIcabIc or nappropratc to coopratvc oncs! t mght
b sad that onc cannot dscntangIc thc contrbutons ot dstnct
1nov1duaIs whocoopcratc, cvcrythng s cvcryonc`s ont product.
Cnthsontproduct, oron any porton ott, cach pcrson pIaus-
bIy wII makc cIams otcquaI strcngth, aII havc an cquaIIy good
cIam, or at any ratc no pcrson has a dstnctIy bcttcr cIam than
any othcr. Somchow (ths Inc ot thought contnucs), t must bc
dccdcd how ths totaI product ot ont socaI coopcraton (to
whch ndvduaI cnttIcmcnts do not appIy dttcrcntaIIy) s to bc
dvdcd up. ths s thc probIcm otdstrbutvc ustcc.
Oon`t ndvduaIcnttIcmcntsappIy topartsotthccoopcratvcIy
produccd product! rst, supposc that socaI coopraton s bascd
upn dvson otIabor, spccaIzaton, comparatvc advantagc, and
cxchangc, cach pcrson works sngIy to transtorm somc nput hc rc-
ccvcs, contractng wth othcrs who turthcr transtorm or transprt
hs product untI t rcachcs ts uItmatc consumcr. PcopIc coopcr-
atc n makng thngs but thcy work scparatcIy, cach pcrson s a
mnaturc hrm. ' Jhc products ot cach pcrson arc casIy dcn-
thabIc, and cxchangcs arc madc n opn markcts wth prccs sct
compttvcIy, gvcn ntormatonaI constrants, and so torth. n
such a systcm otsocaIcoopcraton, what s thc taskota thcoryot
ustcc! t mght bc sad that whatcvcr hoIdngs rcsuIt wII dcpcnd
upn thc cxchangc ratos or prccs at whch cxchangcs arc madc,
andthcrctorc thatthctaskota thcory otustcc stosctcrtcrator
'tar prccs. Jhs s hardIy thc pIacc to tracc thc scrpcntnc wnd-
ngs otthcorcs ota ustprcc. t s dthcuIt tosccwhy thcsc ssucs
shouId cvcn arsc hcrc. PcopIc arc choosng to makc cxchangcs
wth othcrpcopIc and to transtcrcnttIcmcnts, wth no rcstrctons
on thcr trccdom to tradc wth any othcrpartyat any mutuaIIy ac-
ccptabIc rato.
I
" hy docs such scqucntaI socaI coopcraton,
Inkcd togcthcr by pcopIc`s voIuntary cxchangcs, rasc any spcaI
probIcms about how thngs arc to b dstrbutcd! hy sn`t thc
tstrtbuttvc ]usttcc
appropratc (a not nappropratc)sctothoIdngs ust thconc whch
actuah eccurs va ths proccss ot mutuaIIy-agrccd-to cxchangcs
whcrcby popIc choosc to gvc to othcrs what thcy arc cnttIcd to
gvc or hoId!
Lct us now drop our assumpton that pcopIc work ndcpcn-
dcntIy, coopratng onIy n scqucncc va voIuntary cxchangcs, and
nstcad consdcr pcopIc who work togcthcr ontIy to producc
somcthng. s t now mpssbIc to dscntangIc popIc` s rcspcctvc
contrbutons! Jhc qucston hcrc s not whcthcr margnaI produc-
tvty thcory s an appropratc thcory ot tar or ust sharcs, but
whcthcr thcrc s somc cohcrcnt noton ot dcnthabIc margnaI
product. t sccms unIkcIy that KawIs` thcory rcsts on thc strong
cIam that thcrc s no such rcasonabIy scrvccabIc noton. Anyway,
oncc agan wc havc a stuaton ot a Iargc numbcr ot bIatcraI
cxchangcs. owncrs otrcsourccs rcachng scparatc agrccmcnts wth
cntrcprcncurs about thc uscotthcr rcsourccs, cntrcprcncurs rcach-
ng agrccmcnts wth ndvduaI workcrs , orgroups otworkcrs hrst
rcachng somc ont agrccmcnt and thcn prcscntng a packagc to
an cntrcprcncur, and so torth. PcopIc transtcr thcr hoIdngs or
Iabor n trcc markcts, wth thc cxchangc ratos (prccs) dctcrmncd
n thc usuaI manncr. tmargnaI productvty thcory s rcasonabIy
adcquatc, pcopIc wII bc rcccvng, n thcsc voIuntary transtcrs ot
hoIdngs , roughIy thcr margnaI products.
Kcccvng ths, wc should notc, s not thc samc rcccvng thc cquvalcnt
oIwhat thc pcrson cau:e: to cxst, oreducei. hc margnal prouct oIa unt oI
I; wth rcspcct to Iactor Iz, . . . , I s a :ubun.tive noton, t s thc dI-
Icrcncc bctwccn thc total product oII; , . . . , I uscd most cIhccntly (as cI-
hccntly as known how, gvcn prudcncc about many costs n hndng out thc
most cIhccnt usc oIIactors) and thc total product oI thc most cIhccnt usc oI
Iz , . . . , I along wth a unt lcss oIIt . but thcsc two dIIcrcnt most cI-
hccnt uscs oI Iz, . . . , I along wth a unt lcss oI I; (onc wth thc add-
tonal unt oI I; , thc othcr wthout t) wll usc thcm dIIcrcntly. And I; ` s
margnal product (wth rcspct to thc othcr Iactors), what cvcryonc rcasonably
would pay Ior an addtonaI unt oII1 wll not bc what t cau:e: (it causcs)
combncd wth Iz, . . . , I and thc othcr unts oI I; , but rathcr thc dI-
Icrcncc t makcs, thc dhcrcncc thcrc would b Iths unt oII; wcrc abscnt
and thc rcmanng Iactors wcrc organzcd most cIhccntly to copc wth ts ab-
scncc. hus margnal productvty thcory s not bcst thought oI as a thcory oI
actual produccd product, oI thosc thngs whosc causal pdgrcc ncIudcs thc
unt oI thc Iactor, but rathcr a thcory oIthc dIIcrcncc (subjunctvcly dchncd)
madc by thc prcscncc oIa Iactor. l[ such a vcw wcrc conncctcd wth ustcc, t
would sccm to ht bcst wth an cnttlcmcnt conccpton.
1 88 Byond the Minimal State?
but t thc noton ot margnaI product wcrc so nchcctvc that
tactors` margnaI products n actuaI stuatons ot ont producton
couId not bc dcnthcd by hrcrs or purchascrs otthc tactors, thcn
thc rcsuItng dstrbuton to tactors wouId not bc pattcrncd n ac-
cordancc wth margnaI product. Somconc who vcwcd margnaI
productvty thcory, whcrc t was appIcabIc,asaattoedtbee e/
)ustice, mght thnk that such stuatons ot ont producton and
ndctcrmnatc margnaI product provdcd an opportunty tor somc
thcory ot ustcc to cntcr to dctcrmnc appropratccxchangc ratos.
but an cnttIcmcnt thcorst wouId hnd acccptabIc whatcvcr ds-
trbuton rcsuItcd trom thc party`s voIuntary cxchangcs . Jhc
qucstons about thc workabIty ot margnaI productvty thcory
arc ntrcatc oncs. " Lct us mcrcIy notc hcrc thc strong pcrsonaI
nccntvc torowncrs otrcsourccs to convcrgc to thc margnaI prod-
uct, and thc strong markct prcssurcs tcndng to producc ths
rcsuIt. LmpIoycrs ot tactors ot productons arc not aII doIts who
don`t knowwhat thcy`rc dong, transtcrrng hoIdngs thcy vaIuc to
othcrs on an rratonaI and arbtrary bass. ndccd, KawIs` poston
on ncquaItcs rcqurcs that scparatc contrbutons to ont prod-
ucts b soIabIc, to somc cxtcnt at Icast. or KawIs gocs out oths
way to arguc that ncquaItcs arc usthcd tthcy scrvc to rasc thc
poston ot thc worst-ottgroup n thc soccty, t wthout thc n-
cquaItcs thc worst-ott group wouId bc cvcn morc worsc ott.
Jhcsc scrvccabIc ncquaItcs stcm, at Icast n part, trom thc
ncccssty toprovdc nccntvcs to ccrtanpcopIc to pcrtorm varous
actvtcs or hII varous roIcs that not cvcryonccan do cquaIIy wcII .
(KawIs s net magnng that ncquaItcs arc nccdcd to hII pos-
tons that cvcryonc can do cquaIIy wcII, or that thc most
drudgcry-hIIcd postons thatrcqurc thc Icast skII wII command
thc hghcst ncomc. ) buttewbem arc thc nccntvcs to bc pad! Jo
whch pcrtormcrs otwhat actvtcs ! hcn t s ncccssary to pro-
vdc nccntvcs to somc to pcrtorm thcr productvc actvtcs,
thcrc s no taIk ot a ont socaI product trom whch no ndvd-
uaI`s contrbuton can bc dscntangIcd. tthc product was aII that
" Readers who believe that Marx's analysis of exchange relations between
owners of capital and laborers undercuts the view that the set of holdings which
results from voluntary exchange is legitimate, or who bel ieve it a distortion to
term such exchanges "voluntary, " will find some relevant considerations ad
duced in Chapter 8.
tstrtbuttvc justtcc
ncxtrcabIy ont, t couIdn`t bc known that thc cxtra nccntvcs
wcrc gong to thc crucaI prsons, and t couIdn` t b known that
thc addtonaI product prouccd by thcsc now motvatcd popIc s
grcatcr than thc cxpcndturc to thcm n nccntvcs. So t couIdn`t
b known whcthcr thc provson otnccntvcswas cthccnt or not,
whcthcr t nvoIvcd a nctganor a nct Ioss. butKawIs` dscusson
ot usthablc ncquaItcs prcsuppscs that thcsc thngs can b
known. And so thc cIam wc havc magncd about thc ndvsbIc,
nonparttonabIc naturc ot thc ont product s sccn to dssoIvc,
Icavng thc rcasons tor thc vcw that soaI coopcraton crcatcs
spcaI probIcms otdstrbutvc ustcc othcrwsc not prcscnt, un-
cIcar tnot mystcrous.
TE RMS OF COOPERATI ON AND THE
DI FFERENCE P RI NCI PLE
Anothcr cntry nto thc ssucotthc connccton otsocaI coopraton
wth dstrbutvc sharcs brngs us to grps wth KawIs` actuaI ds-
cusson. KawIs magncs ratonaI , mutuaIIy dsntcrcstcd ndvd-
uaIs mcctng n a ccrtan stuaton, or abstractcd trom thcr othcr
tcaturcs notprovdcd tor n ths stuaton. n ths hypothctcaI st-
uaton otchocc, whch KawIs caIIs 'thc orgnal poston, thcy
choosc thc hrst prncpIcs otaconccpton otustcc that s to rcgu-
Iatc aII subscqucnt crtcsm and rctorm ot thcr nsttutons.
hIc makng ths chocc, no onc knows hs pIacc n soccty, hs
cIass poston orsocaI status, or hs naturaI asscts andabItcs, hs
strcngth, ntcIIgcncc, and so torth.
Jhc prtnctpIcs ot usttcc arc choscn bchtnd a vctl ot tgnorancc. Jhts cn-
surcs that no onc ts advantagcd or dtsadvantagcd tn thc chotcc ot prtnct-
pIcs by thc outcomc ot naturaI chancc or thc conttngcncy ot soctaI ctr-
cumstanccs. btncc aIl arc stmtIarIy sttuatcd and no onc ts ablc to dcstgn
prtnctplcs to tavor hts parttcular condttton, thc prtnctpIcs ot usttcc arc
thc rcsuIt ot a tatr agrccmcnt or bargatn.
Z
hat wouId pcrsons nthc orgnaI poston agrcc to!
crsons tn thc tntttaI sttuatton wouId choosc two . . . prtnctpIcs. thc
hrst rcgutrcs cguaItty tn thc asstgnmcnt ot bastc rtghts and duttcs, whtlc
Byond the Minial State?
thc sccond holds that soctal and cconomtc tncgualtttcs, tor cxamplc,
tncgualtttcs ot wcalth and authortty arc ust only tt thcy rcsult tn com-
Qnsattng bcnchts tor cvcryonc, and tn parttcular tor thc lcast advan-
tagcd mcmbrs ot soctcty. Jhcsc prtnctplcs rulc out usttqtng tnstttu-
ttons on thc grounds that thc hardshtps ot somc arc ottsct by a grcatcr
good tn thc aggrcgatc. t may bc cxpcdtcnt but tt ts not ust that somc
should havc lcss tn ordcr that othcrs may prospcr. but thcrc ts no tn us-
ttcc tn thc grcatcr bnchts carncd by a tcw provtdcd that thc sttuatton ot
Qrsons not so tortunatc ts thcrcby tmprovcd. Jhc tntutttvc tdca ts that
stncc cvcryonc`s wcll-bctng dcpcnds upon a schcmc ot coopcratton wtth-
out whtch no onc could havc a sattstactory lttc, thc dtvtston ot advan-
tagcs should bc such as to draw torth thc wtlltng coopcratton ot cvcryonc
taktng part tn tt, tncludtng thosc lcss wcll sttuatcd. Yct thts can bc cx-
Qctcd only tt rcasonablc tcrms arc proposcd. Jhc two prtnctplcs mcn-
ttoncd sccm to bc a tatr agrccmcnt on thc basts ot whtch thosc bcttcr cn-
dowcd, or morc tortunatc tn thctr soctal psttton, nctthcr ot whtch wc
can bc satd to dcscrvc, could cxQct thc wtlltng coopcratton ot othcrs
whcn somc workablc schcmc ts a ncccssary condttton ot thc wcltarc ot
all.
ZZ
Jhs sccond prncpIc, whch KawIs spchcs as thc dttcrcncc
prncpIc, hoIds that thc nsttutonaI structurc s to bc so dc-
sgncd that thc worst-ott group undcr t s at Icast as wcII ohas
thc worst-ott group (not ncccssarIy thc samc group) wouId bc
undcr anyaItcrnatvc nsttutonaIstructurc. tpcrsons n thc org-
naI poston toIIow thc mnmax poIcy nmakng thc sgnhcant
chocc otprncpIcs ot ustcc, KawIs argucs, thcy wII choosc thc
dttcrcncc prncpIc. Cur conccrn hcrc s not whcthcr pcrsons n
thc poston KawIs dcscrbcs actuaIIy wouId mnmax and actuaIIy
wouId choosc thc partcuIar prncpIcs KawIs spcch cs. StII, wc
shouId qucston why ndvduaIs n thc orgnaI poston wouId
choosc a prncpIc that tocuscs upon groups, rathcr than ndvd-
uaIs. on`t appIcaton otthc mnmaxprncpIcIcadcachpcrson
n thc orgnaI poston to tavor maxmzng thc poston ot thc
worst-ohindividual? Jo bc surc, ths prncpIc wouId rcducc qucs-
tons ot cvaIuatng socaI nsttutons to thc ssuc ot how thc
unhappcst dcprcssvc tarcs. Yct avodng ths by movng thc tocus
to groups (or rcprcscntatvc ndvduaIs)sccmsad hoc, and s nad-
cquatcIy motvatcd torthosc n thc ndvduaI poston. Por s t
cIcar whch groups arc appropratcIy consdcrcd, why cxcIudc thc
group otdcprcssvcsor aIcohoIcs orthc rcprcscntatvcparapIcgc!
t thc dhcrcncc prncpIc s not satshcd by somc nsttutonaI
tstrtbuttvc justtcc
structurc j, thcn undcr j somcgroup G sworscohthant wouId
bc undcr anothcr nsttutonaI structurc I that satshcs thc prnc-
pIc. t anothcr group F s bcttcr ott undcr j than t wouId bc
undcr thc I tavorcd by thc dttcrcncc prncpIc, s ths suth ccnt to
say that undcr j 'somc . . . havc Icss n ordcr that othcrs may
prospcr` ! (Mcrc onc wouId havc n mnd that G has Icss n ordcr
that F prospcr. LouId onc aIso makc thc samc statcmcnt about I?
Oocs F havc Icss undcr I n ordcr that G may prospcr!) Supposc
that n a soccty thc toIIowng stuaton prcvaIcd.
. Lroup G has amount A and group t has amount B, wtth B grcatcr
than A. Also thtngs could bc arrangcd dthcrcntly so that G would
havc morc than A, and t would havc lcss than B. (Jhc dtttcrcnt ar-
rangcmcnt mtght tnvolvc a mcchantsm to transtcr somc holdtngs
trom t to G. )
s ths suthccnt to say
2 . G ts badly ott because t ts wcll ott, G ts badly ott in orer that t bc
wcll oh, t`s bctng wcll ott makcs G badly ott, G ts badly ott on ac
count / t`s bctng wcll ott, G ts not bcttcr ott because / how wcll oh
t ts.
tso, docs thctruthotstatcmcnt z dcpcndon G`s bcng naworsc
poston than F? Jhcrc s yct anothcr possbIc nsttutonaI struc-
turc K that transtcrs hoIdngs trom thc worsc-ott group G to F,
makngG cvcn morc worsc ott Oocs thc possbIty otK makc t
tructo say that, undcrj, F s not(cvcn) bcttcr ottbccausc othow
wcII oh G s!
c do not normaIIy hoId that thc truth ot a sub unctvc (as
n I ) s aIonc suthccnt tor thc truth ot somc ndcatvc causaI
statcmcnt (as n z). t wouId mprovc my Itc n varous ways t
you wcrc to choosc to bccomc my dcvotcd sIavc, supposng couId
gct ovcr thc ntaI dscomtort . s thc causc ot my prcscnt statc
your not bccomng my sIavc! Bcausc your cnsIavng yourscItto a
poorcr prson wouId mprovc hs Iot and worscn yours, arc wc to
say that thc poor pcrson s badIy ohbccausc you arc as wcII ottas
you arc, has hc Icss n ordcr that you may prospcr! rom
3 t P wcrc to do act A thcn _ would not bc tn sttuatton S.
wcwIIconcIudc
Beyond the Minimal State?
4. F` s not dotng A ts rcsponstbIc tor _` s bctng tn sttuatton S; ` s not
dotng A causcs _ to bc tn S.
onIy twca!se bcIcvc that
5 . ought to do act A, or has a duty to do act A, or has an
obItgatton to do act A, and so torth. *
Jhus thc ntcrcncc trom to 4, n ths casc, resueses 5 Cnc
cannotarguctrom to 4 as onc stcp n ordcrteget te 5 . Jhc statc-
mcnt that n a partcuIar stuaton somc havc Icss n ordcr that
othcrs may prospcr s ottcnbascd upon thcvcrycvaIuatonota st-
uaton or an nsttutonaI tramcwork that t s ntroduccd to sup-
port. Sncc ths cvaIuaton docs net toIIow mcrcIy trom thc sub-
unctvc (tor cxampIc, I or ) an indeendent argumcnt must bc
produccd tor t.
KawIs hoIds, as wc havc sccn, that
stncc cvcryonc`s wcII-bctng dcpcnds upon a schcmc ot coopcratton wtth-
out whtch no onc couId havc a sattstactory Ittc, thc dtvtston ot advan-
tagcs shouId bc such as to draw torth thc wtIltng cooopcratton ot cvcry-
onc taktng part tn tt, tncIudtng thosc Icss wcII ttuatcd. Yct thts can bc
cxQctcd onIy tt rcasonabIc tcrms arc proposcd. Jhc two prtnctplcs mcn-
ttoncd sccm to bc a tatr agrccmcnt on thc basts ot whtch thosc bcttcr cn-
dowcd or morc tortunatc tn thctr soctaI posttton . . . couId cxQct thc
wtIItng cooQratton ot othcrs whcn somc workabIc schcmc ts a ncccssary
condttton ot thc wcItarc ot aII . "
Podoubt, thc dttcrcncc prncpIc prcscnts tcrms on thc bass ot
whch thosc Icss wcII cndowcd wouId bc wIIng to coopcratc.
(hat ltter tcrms couIdthcy proposc tor thcmscIvcs!) but s ths
a tar agrccmcnt on thc bass otwhch thosc werse cndowcd couId
cxpcct thc wi/!ing coopcraton ot othcrs! th rcgard to thc cxs-
tcncc otgans trom socaI coopraton, thc stuaton s symmctr-
caI . Jhc bcttcr cndowcd gan by coopcratng wth thc worsc cn-
dowcd, and thc worsc cndowcd gan by coopcratng wth thc
bcttcr cndowcd. Yct thc dttcrcncc prncpIc s not ncutraI bc-
hough Kawls docs not clcarly dstngush 2 Irom I and q Irom , do
not clam that hc makcs thc llcgtmatc stcp oIsldng Irom thc lattcr subjunc-
tvc to thc Iormcr ndcatvc. Lvcn so, thc mstakc s worth pontng out
bccausc t s an casy onc to IalI nto, and t mght appar to prop up postons
wc arguc aganst.
tstrtbuttvc justtcc 1
9
3
twccn thc bcttcr and thc worsc cndowcd. hcncc thc asymmctry!
Pcrhaps thc symmctry s upsct tonc asks bew mucb cach gans
trom thc soca!coopcraton. Jhs qucston mght bcundcrstoo n
two ways . Mow much dopopIcbcncht trom socaI coopcraton, as
comparcd to thcr ndvduaI hoIdngs n aucucoopratvc schcmc!
Jhat s, how much s Tj-Sj, tor cach ndvduaI i Cr, tcrna-
tvcIy, how much docs cach ndvduaI gan trom gcncraI socaI co-
opcraton, as comparcd, not wth ne coopraton, but wth morc
Imtcd coopcraton! Jhc Iattcr s thc morc appropratc qucston
wth rcgard to gcncraI soaI coopraton. or taIng gcncraI
agrccmcnt on thc prncpIcs to govcrn how thc bcnchts otgcncraI
socaI coopcraton arc to bc hcId, not cvcryonc wII rcman n a
noncoopcratvc stuaton tthcrc s somc othcr bcnchcaI coopra-
tvc arrangcmcnt nvoIvng somc, but not aII, popIc, whosc par-
tcpantsrau agrcc. Jhcsc pcopIc wII partcpatc n ths morc nar-
row coopcratvc arrangcmcnt. Jo tocus upon thc bcnchts ot thc
bcttcrand thc worsc cndowcdcoopratng togcthcr, wcmust try to
magnc Icss cxtcnsvcschcmcs otparttoncdsocaI coopraton n
whch thc bcttcr cndowcd coopcratc onIy among thcmscIvcs and
thc worsc cndowcd coopcratc onIy among thcmscIvcs, wth no
cross-coopcraton. Jhc mcmbcrs otboth groups gan trom thc n-
tcrnaI coopraton wthn thcr rcspcctvc groups and havc Iargcr
sharcs than thcy wouId f thcrc wcrc no socaI coopraton at aII.
An ndvduaI bcnchts trom thcwdcrsystcmotcxtcnsvc coopra-
ton bctwccn thc bcttcr apd thcworsc cndowcd to thc cxtcnt oths
ncrcmcntaI gan trom ths wdcrcoopraton, namcIy, thc amount
by whch hssharc undcraschcmcotgcncraI coopraton sgrcatcr
than t wouId bc undcr onc ot Imtcd ntragroup (but not cross-
group) coopraton. General coopcraton wII bc otmorc bcncht to
thc bcttcr or to thc worsc cndowcd f (to pck a smpIc crtcron)
thc mcan ncrcmcntaI gan trom gcncraI coopcraton (whcn com-
parcd wth Imtcd ntragroup copraton) s grcatcr n oncgroup
than t s n thc othcr.
Cnc mght spccuIatc about whcthcr thcrc s an ncquaIty bc-
twccn thc groups` mcan ncrcmcntaI gans and, tso, whchway t
gocs. tthc bcttcr-cndowcd group ncIudcs thosc who managc to
accompIsh somcthng otgrcat cconomcadvantagc toothcrs, such
as ncw nvcntons, ncw dcas about producton or ways otdong
1 9
4
Beyond the Minimal State?
thngs, skII at cconomc tasks , and so on, t s dthcuIt to avod
concIudng that thcless wcII cndowcd ganmere than thc bcttcr cn-
dowcd do trom thc schcmc ot gcncraI coopcraton. hat toIIows
trom ths concIuson! do net mcan to mpIy that thc bcttcr cn-
dowcd shouId gct cvcn morc than thcy gct undcr thc cnttIcmcnt
systcm otgcncraI socaI coopcraton. hat dees toIIow trom thc
concIuson s a dccp suspcon ot mposng, n thc namc ot tar-
ncss, constrants upon voIuntary socaI coopcraton (and thc sct ot
hcynccdn`t bc etter enowed, Irom brth. In thc contcxt n whch Kawls
uscs t, all 'bcttcr cndowcd` mcans s. accomplshcs morc oIcconomc valuc,
ablc to do ths, h a hgh margnal product, and so Iorth. (hc rolc that
unprcdctablc Iactors play n ths complcatcs magnng a pror parttonng oI
thc two groups. ) hc tcxt Iollows Kawls n catcgorzngpcrsons as 'bcttcr` and
'worsc` cndowcd only n ordcr to crtczc thc consdcratonshe adduccs Ior hs
thcory. hc cnttlcmcnt thcory docs not rcst upon any sumpton that thc clas-
shcaton s an mportant onc, or cvcn a possblc onc, or upon any cltst prcsup-
poston.
5ncc thc cnttlcmcnt thcorst docs not acccpt thc pattcrncd prncplc 'to
cach accordng to hs natural cndowmcnt, ` hc can clygrantthat what an cx-
crcscd cndowmcnt brngs n thc markct wll dcpcnd upon thc cndowmcnts oI
othcrsand how thcychooscto cxcrcscthcm, upon thc markct-cxprcsscd dcsrcs
oI buycrs, upon thc altcrnatc supply oI what hc oIIcrs and oI what othcrs may
substtutc Ior what hc oIIcrs, and upon othcr crcumstancc summng thc
myrad choccs and actons oI othcrs. 5mlarly, wc saw carlcr that thc smlar
consdcratons Kawls adduccs about thc socal Iactors upon whch thc margnal
product oI labor dcpcnds (Theory ofJustice. p. O8) wll not Iazc an cnttlcmcnt
thcorst, cvcn though thcy mght undcrcut thc ratonalc put Iorth by a pro-
poncntoIthcpattcrncq prncplcoIdstrbuton accordng tomargnalproduct.
t 5upposng thcy could dcntq thcmsclvcs and cach othcr, thcy mght ty
to cxact a largcr sharc by bandng togcthcr as a group and barganng ontly
wth thcothcrs. Lvcn thc largc numbcrs oIprsons nvolvcd and thc nccntvc
Ior somc oI thc bcttcr-cndowcd ndvduals to brcak ranks and rcach scparatc
agrccmcnts wth thc worsc cndowcd, Isuch a coaltonoIthc bcttcr cndowcd s
unablc to mposc sanctons on ts dcIcctors t wlldssolvc. hc bcttcr cndowcd
rcmanng n thc coalton may usc boycott as a 'sancton, ` and rcIusc to coop-
cratc wth a dcIcctor. o brcak thc coalton, thosc lcss wcll cndowcd would
havc to (b ablc to) ohcr somconc bcttcrcndowcd suIhccnt nccntvc to dcIcct
to makc upIor hs loss through no longcr bng ablc tocopratcwth thc othcr
bttcr-cndowcd prsons. Fcrhaps t would pay Ior somconc to dcIcct Irom thc
coalton only as part oIa szablc group oIdcIcctors, whch dcIcctng group thc
ntal coalton mght try to kccp small byspcal oIIcrs to ndvduals to dcIcct
fom it, and so on. hc problcm s a complcatcd onc, mrthcr complcatcd by
thc obvous Iact (dcsptc our usc oI Kawls` classhcatory tcrmnology) that thcrc
s no sharp lnc oI clcavagc btwccn thc cndowmcnts oI poplc to dctcrmnc
whch groups would Iorm.
tstrtbuttvc justtcc 1
95
hoIdngs that arscs trom t) so that thosc aIrcady bcnchtng most
trom ths gcncraI coopcraton bcncht cvcn morc!
KawIs wouId havc us magnc thc worsc-cndowcd pcrsons say
somcthng Ikc thc toIIowng. 'Look, bcttcr cndowcd. you gan by
coopcratng wth us . tyouwant ourcoopraton you`II havcto ac-
ccpt rcasonabIc tcrms. c suggcst thcsc tcrms. c`II coopcratc
wth you onIy t wc gctas mutb asessille. Jhat s, thc tcrms ot
our coopcraton shouId gvc us that maxmaI sharc such that, tt
was trcd to gvc us morc, wc` dcnd up wth Icss. ` Mow gcncrous
thcsc proposcd tcrms arc mght bc sccn by magnng that thc
bcttcr cndowcd makc thc aImost symmctrcaI oppostc proposaI .
'Look, worsc cndowcd. you gan by coopcratng wth us. t you
want our coopcraton you`II havc to acccpt rcasonabIc tcrms. c
proposc thcsc tcrms. c`II coopcratc wth you so Iong as we gct as
much as possbIc. Jhat s, thc tcrms ot our coopcraton shouId
gvc us thc maxmaI sharc such that, t t was trcd to gvc us
morc, wc`d cnd up wth Icss . ` tthcsc tcrms sccm outragcous , as
thcy arc, why don` t thc tcrms proposcd by thosc worsc cndowcd
sccm thc samc! hy shouIdn`t thc bcttcr cndowcd trcat ths Iattcr
propsaI as bcncath consdcraton, supposng somconc to havc
thc ncrvc cxpIctIy to statc t!
KawIs dcvotcs much attcnton to cxpIanng why thosc Icss wcII
tavorcd shouId not compIan at rcccvng Icss. Ms cxpIanaton,
smpIy put, sthatbccausc thcncquaIty works torhs advantagc,
somconc IcsswcIItavorcd shouIdn` t compIan about t, hc rcccvcs
mere n thc uncquaI systcm than hc wouId n an cquaI onc.
(Jhough hc mght rcccvc stII morc n anothcr uncquaI systcm
that pIaccd somconc cIsc bcIow hm. ) but KawIs dscusscs thc
qucston ot whcthcr thosc mere tavorcd wII or shouId hnd thc
tcrms satstactoryenl n thc toIIowngpassagc, whcrcA andb arc
any two rcprcscntatvc mcn wthA bcng thc morc tavorcd.
Jhc dtthcuIty ts to show that A has no grounds tor compIatnt. crhaps
hc ts rcgutrcd to havc lcss than hc mtght stncc hts havtng morc would
rcsult tn somc Ioss to B. Pow what can bc satd to thc morc tavorcd
man! Jo bcgtn wtth, tt ts clcar that thc wcll-bctng ot cach dcpcnds on a
schcmc ot sOtaI coopcratton wtthout whtch no onc couId havc a sattstac-
tory Ittc. bccondIy, wc can ask tor thc wtIItng coopratton ot cvcryonc
only tt thc tcrms ot thc schcmc arc rcasonabIc. Jhc dthcrcncc prtnctplc,
thcn, sccms to b a tatr basts on whtch thosc bcttcr cndowcd, or morc
Beyond the Minimal State?
tOrtunatc tn thctrsOctal ctrcumstanccs, cOuld cxpcct Othcrs tO cOllabOratc
wtth thcm whcn sOmc wOrkablc arrangcmcnt ts a ncccssary cOndtttOn Ot
thc gOOd Ot all .
Z
hat KawIs magncs bcng sad to thc morc tavorcd mcn docsnet
show that thcsc mcn havc no grounds torcompIant, nor docs t at
aII dmnsh thc wcght ot whatcvcr compIants thcy havc. Jhat
thc wcII-bcng otaII dcpcnds on socaI coopcraton wthout whch
no onc couId havc a satstactory Itc couId aIso bc sad to thc Icss
wcII cndowcd by somconc proposng any othcr prncpIc, ncIud-
ng thatotmaxmzng thcposton otthcbcstcndowcd. SmIarIy
tor thc tact that wc can ask tor thc wIIng coopcraton otcvcryonc
onIy t thc tcrms ot thc schcmc arc rcasonabIc. Jhc qucston s .
hat tcrms weu!dlercasonabIc! hat KawIs magncs bcng sad
thus tar mcrcIy scts up hs probIcm, t docsn`t dstngush hs
proposcd dttcrcncc prncpIc trom thc aImost symmctrcaI coun-
tcrproposaI thatwc magncd thc bcttcr cndowcd makng, or trom
any othcr proposaI. Jhus, whcn KawIs contnucs, Jhc dttcrcncc
prncpIc, thcn, sccms to bc a tar bass on whch thosc bcst cn-
dowcd, or morc tortunatc n thcr socaI crcumstanccs , couId cx-
pcct othcrs to coIIaboratc wth thcm whcn somc workabIc arrang-
mcnt s a ncccssary condton ot thc good ot aII , ` thc prcscncc ot
thc thcn` n hs scntcncc s puzzIng. Sncc thc scntcnccs whch
prcccdc tarcncutraI bctwccn hs proposaI andanyothcrproposaI ,
thc concIuson that thc dttcrcncc prncpIc prcscnts a tar bass tor
coopcraton cannet toIIow trom what prcccdcs t n ths passagc.
KawIs s mcrcIy rcpcatng that t sccms rcasonabIc, hardIy a con-
vncng rcpIy to anyonc to whom t docsn`t sccm rcasonabIc.
trcat Kawls` dscusson hcrc as onc conccrnng bcttcr- and worsc-cndowcd
ndvduals who know thcy arc M. Altcrnatvcly, onc mght magnc that
these consdcratons arc to bc wcghcd by somconc n thc orgnal poston. (`I
turn out to bc bcttcr cndowcd thcn . . . , I turn out to bc worsc cndowcd
thcn. . . . `) but ths construaI wIl not do. hy would KawIs bothcr sayng,
'hc two prncplcs . . . sccm to bc a Iar agrccmcnt on thc bass oI whch
thosc bcttcr cndowcd or morc Iortunatc n thcr socaI postoncould cxpcct thc
wllngcoopraton oIothcrs` (Theoy ofjustice, p. I 5). hos dong thccxpct-
ng whcn! Mow s ths to bc translatcd nto subj unctvcs to bc contcmpIatcd by
somconc n thc orgnal poston! 5mlarly, qucstons arsc about Kawls` say-
ng, `hcdIhcuIty s to show thatA h no grounds Ior complant. Fcrhaps hc
s rcqurcd to havc lcss than hc mght sncc hs havng morc would rcsuIt n
tstrtbuttvc justtcc 1
97
KawIs has not shown that thc morc tavorcd manA has no grounds
tor compIant at bcng rcqurcd to havc Icss n ordcr that anothcr
b mght havc morc than hc othcrwsc wouId. And hc can`t show
ths, snccA dees havc grounds tor compIant. Oocsn`t hc!
somcloss toB. Now what can be said to the more faored an? . . . hcdhcrcncc
prncpIc thcn sccms to bc a Iar bass on whch thosc bttcr cndowcd . . .
could cxpct othcrs to collabOratc wth thcm . . . " (Toy ofjstice, p. I O,
my talcs). Arc wc to undcrstand ths . somconc n thc orgnal poston
wondcrs what to say to hmsclIas hc thcn thnks oIthc pOssblty that hc wll
turn out to bc onc oIthc bcttcr cndowcd! And docs hc thcn saythat thc dt-
Icrcncc prncplcthen sccms a Iar bts Ior coopraton dcsptc thc Iact that, and
cvcn whlc, hc s contcmplatng thc possbtlty that hc s bcttcr cndowcd! Lr
docs hc say thcn that cvcn latcr Iand whcn hc knows hc s bcttcr cndowcdthc
dIIcrcncc prncplc wll sccm Iarto hm at that latcr tmc! Andwhcn c wc to
magnc hm possbly complanng! Pot whlc n thc orgnal pston, Ior thcn
hc s agrccng to thc dIIcrcncc prncplc. Por doc hc worry, whlc n thc pro-
ccss oI dccdng n thc orgnal poston, that hc wll complan latcr. lor hc
knows that hc wll havc no causc to complan latcr at thc chccts oI whatcvcr
prtncplc hc hmsclt ratonally wll chosc son n thc orgnal pston. Arc wc
to magnc hm complanng aganst hmsclI! And sn`t thc answcr to any latcr
complant, `You agrccd to t (or you would havc agrccd to t Iso orgnally
postoncd)` ! hat 'dIhculty` docs Kawls conccrn hmsclIwth hcrc! ryng
to squcczc t nto thc orgnal pston makcs t complctcly mystcrous. And
what s thnkng oIwhat sa 'mr agrccmcnt` (scct. ) ora mrbass` (p. I O)
dong hcrc anyway, n thc mdst oIthc ratonal sclI-ntcrcsto calculatons oI
prsons n thc orgnal poston, who do not thcn knowngly psscss, or at any
ratc utlzc, partcular moral notons!
scc nocohcrcnt way to ncorpratc how Kawls trcats and spaks oIthc ssuc
oIthc tcrms oIcoopraton bctwccn thc bcttcr and thc worsc cndowcd nto thc
structurc and pcrspcctvc oI thc orgnal poston. hcrcIorc my dscusson con-
sdcrs Kawls hcrc as addrcssng hmsclI to ndvduals outside thc orgnal pos-
ton, cthcr to bcttcr-cndowcd ndvduals or to hs rcadcrs, to convtncc thm
that thc dIIcrcncc prncplc whch Kawls cxtracts Irom thc orgnal poston s
Iar. t s nstructvc to comparc how Kawls tmagncs ustqng thc soal ordcr
to a pcrson n thc worst-oII group tn an uncqual soccty. Kawls wants to tcll
ths pcrson that thc ncquaItcs work out to hs advantagc. hs ts told to
somconc who knows who hc s. 'hc socal ordcr can bc usthcd to cvcryonc,
and n partcular to thosc who arc lct Iavorcd` (p. I O). Kawls docs not want
to say, 'You would havc gambIcd, and you lost, ` or any such thng, cvcn 'You
chosc t thcn n thc orgnal poston`, nor docs hc wsh mcrcly to addrcsssomc-
onc n thc orgnal poston. Mc alsowants aconsdcraton apart Irom thc org-
nal poston that wll convncc somconcwho knows oIhs nIcrorposton n an
uncquaI soccty. o say, 'You havc lcss n ordcr that may prospcr, ` would not
convncc somconc who knows oIhs nIcror poston, and Kawls rghtly rcccts
t, cvcn though ts subunctvc analoguc Ior somconc n thc orgnal poston,
Iwc could makc scnsc oIths, would not b wthout Iorcc.
Byond the Minimal State?
THE ORI GI NAL POS I TI ON AND
E ND- RE S ULT PRI NCI PLES
Mowcan t havc bccn supposcd that thcsc tcrms ottcrcd by thc Icss
wcII cndowcd arc tar! magnc a socaI pc somchow appcarng so
thatneene has any cIam at aII on any porton ot t, no onc has any
morc ota cIam than any othcr pcrson, yct thcrc must bc unan-
mous agrccmcnt on how t s to bc dvdcd. LndoubtcdIy, apart
trom thrcats or hoIdouts n barganng, an cquaI dstrbuton
wouId bc suggcstcd and tound pIausbIc as a soIuton. (t s , n
SchcIIng`s scnsc, a tocaI pont soIuton. ) tsemebew thc szc otthc
pc wasn` t hxcd, and t was rcaIzcd that pursung an cquaI ds-
trbuton somchow wouId Icad to a smaIIcr totaI pc than othcr-
wsc mght occur, thcpcopIc mght wcII agrcc to an uncquaI ds-
trbuton whch rascd thc szcotthcIcast sharc. but nanyactuaI
stuaton, wouIdn`t ths rcaIzaton rcvcaI somcthng about dt-
tcrcntaI cIams on parts otthc pc! ho s t that couId makc thc
pc Iargcr, and wouId do t tgvcn aIargcr sharc, but not tgvcn
an cquaI sharc undcrthcschcmc otcquaI dstrbuton! Jowhoms
an nccntvc to bc provdcd to makc ths Iargcr contrbuton!
(Jhcrc`s no taIk hcrc ot ncxtrcabIy cntangIcd ont product, t`s
knowntewbem nccntvcs arc to bc ottcrcd, or at Icast towhom a
bonus s to bc pad attcr thc tact. ) hy docsn`t ths dcnthabIc
dttcrcntaI contrbuton Icad to somc dttcrcntaI cnttIcmcnt!
t thngs tcII trom hcavcn Ikc manna, and no onc had any
spcaI cnttIcmcnt to anyporton ot t, and no manna wouId taII
unIcss aII agrccd to a partcuIar dstrbuton, and somchow thc
quantty varcd dcpcndng on thc dstrbuton, thcn t s pIausbIc
to cIam thatpcrsonspIaccd so that thcy couIdn`t makc thrcats, or
hoId out tor spccaIIy Iargc sharcs , wouId agrcc to thc dttcrcncc
prncpIc ruIc otdstrbuton. but stbis thc appropratc modcI tor
thnkng about how thc thngs popIc producc arc to bc dstrb-
utcd! hy thnk thc samc rcsuIts shouId obtan tor stuatons
whcrc thcrc are dttcrcntaI cnttIcmcnts as tor stuatons whcrc
thcrc arc not!
A proccdurc that tounds prncpIcs ot dstrbutvc ustcc on
what ratonaI pcrsons who know nothng about thcmscIvcs or thcr
hstorcs wouId agrcc to guarantees tbat end-staterinci!es e/)ustice
Distributive Justice 1 99
wi/! letaken as/undmenta!. Pcrhaps somc hstorcaI prncpIcs ot
ustcc arc dcrvabIc trom cnd-statc prncpIcs , as thc utItaran
trcs to dcrvc ndvduaI rghts, prohbtons on punshng thc n-
noccnt, and so torth, trom bis cnd-statc prncpIc, pcrhaps such
argumcnts can bc constructcd cvcn tor thc cnttIcmcnt prncpIc.
but no hstorcaI prncpIc, t sccms, couId bc agrccd to n thc
hrst nstancc by thc partcpants n KawIs` orgnaI poston. or
pcopIc mcctng togcthcr bchnd a vcI ot gnorancc to dccdc who
gcts what, knowng nothng about any spcaI cnttIcmcnts pcopIc
may havc, wII trcat anythng to bc dstrbutcd as manna trom
hcavcn.
Supposc thcrc wcrc agroup otstudcnts whohavc studcd durng
a ycar, takcn cxamnatons, and rcccvcd gradcs bctwccn 0 and
1 00 whch thcy havc not yct Icarncd ot. Jhcy arc now gathcrcd
togcthcr, havng no dca ot thc gradc any onc ot thcm has rc-
ccvcd, and thcy arc askcd to aIIocatc gradcs among thcmscIvcs so
that thc gradcs totaI to a gvcn sum (whch s dctcrmncd by thc
sum ot thc gradcs thcy actuaIIy havc rcccvcd trom thc tcachcr).
rst, Ict us supposc thcy arc to dccdc ontIy upon a partcuIar
dstrbuton otgradcs, thcy arc to gvc a partcuIar gradc to cach
dcnthabIc onc ot thcm prcscnt at thc mcctng. Mcrc, gvcn sut-
hccnt rcstrctons on thcr abIty to thrcatcn cach othcr, thcy
probabIy wouId agrcc to cach pcrson rcccvng thc samc gradc, to
cachpcrson`sgradc bcngcquaIto thc totaI dvdcd by thc numbcr
otpcopIc to bc gradcd. SurcIy thcy wouIdnet chancc upon thc par-
tcuIar sct otgradcs thcy aIrcady havc rcccvcd. Supposc ncxt that
thcrc s postcd on a buIIctn board at thcr mcctng apapcr hcadcd
LPJJLLMLPJS, whch Ists cach pcrson`s namc wth a gradc
ncxt to t, thc Istng bcng dcntcaI to thc nstructor` s gradngs .
StII, ths partcuIar dstrbuton wII not bc agrccd to by thosc
havng donc poorIy. Lvcn tthcy know what 'cnttIcmcnt` mcans
(whch pcrhapswc must suppsc thcy don` t, n ordcr to match thc
L the eople in the original osition ever wonder whether ty have the
right to decide how everything is to b divided up? Perhaps they reason that
since they are deciding this question, they must ssume they are entitled to do
, and particular eople can't have particular entitlements to holdings (or
then they wouldn't have the right to decide together on how all holdings are to
b divided); and hence everything legitimately may b treated like manna from
heaven.
200 Beyond the Minimal State?
abscncc ot moraI tactors n thc caIcuIatons ot pcrsons n KawIs
orgnaI poston), why shouId thcy agrcc to thc nstructor s ds-
trbuton! hat scIt-ntcrcstcd rcason to agrcc to t wouId thcy
havc!
Pcxt supposc that thcy arc unanmousIy toagrcc not to aartic-
u!ar dstrbuton otgradcs, but rathcr to gcncraI prncpIcs to gov-
crn thc dstrbuton otgradcs . hat prncpIc wouId bc scIcctcd!
Jhc cquaIty prncpIc, whch gvcs cach pcrson thc samc gradc,
wouId havc apromncntchancc. And ttturncdout that thc totaI
was varabIc dcpcndng upon how thcy dvdcd t , dcpcndng on
whch ot thcm got what gradc, and a hghcr gradc was dcsrabIc
though thcy wcrc not compctng among cach othcr (tor cxampIc,
cach otthcm was compctng tor somc poston wth thc mcmbcrs
ot scparatc dstnct groups), thcn thc prncpIc ot dstrbutng
gradcs so as to maxmzc thc Iowcst gradcs migbt sccm a pIausbIc
onc. ouId thcscpcopIc agrcc to thc non-cnd-statcbisterica! prn-
cpIc otdstrbuton. gvc pcopIcgradcs accordng to how thcr cx-
amnatons wcrccvaIuatcd by a quaIhcd and mpartaI obscrvcr!
q
t aII rhc pcopIc dccdng kncw thc partcuIar dstrbuton that
wouId bc ycIdcd by ths hstorcaI prncpIc, thcy wouIdn` t agrcc
to t. or thc stuaton thcn wouId bc cquvaIcnt to thc carIcr onc
ot thcr dccdng upon a partcuIar dstrbuton, n whch wc aI-
rcady havc sccn thcy wouId not agrcc to thc cnttIcmcnt dstrbu-
ton. Supposc thcn that thc pcopIc do notknowthcpartcuIar ds-
trbuton actuaIIy ycIdcd by ths hstorcaI prncpIc. Jhcycannot
bc Icd to scIcct ths hstorcaI prncpIc bccausc t Iooks ust, or
tar, to thcm, tor no such notons arc aIIowcd to bc at work n thc
orgnaI poston. (Cthcrwsc pcopIc wouId arguc thcrc, Ikc hcrc,
about what ustcc rcqurcs. ) Lach pcrson cngagcs n a caIcuIaton
to dccdcwhcthcr t wII bc n hs own ntcrcsts toacccpt ths hs-
torcaI prncpIc otdstrbuton. Lradcs, undcrthc hstorcaI prn-
donotmcantoassumc thatall tcachcrsarcsuch, norcvcnthatlcarnngn
unvcrstcs should b gradcd. All nccd s somc cxamplc oIcnttlcmcnt, thc
dctals oIwhch thc rcadcr wll havc somc Iamlarty wth, to usc to cxamnc
dccson makng n thc orgnal pston. Lradng s a smplc cxamplc, though
not a prIcct onc, cntanglcd as t s wth whatcvcr ultmatc socal purpscs thc
ongong practcc scrvcs. c may gnorc this complcaton, Ior thcr sclcctng
thc hstorcal prncplc on thc grounds that t chcctvcly scrvcs thosc purpscs
would llustratc our pnt blow that thcr mndamcntal conccrns and mn-
damcntal prncplcs arc cnd-statc oncs.
tstrtbuttvc ]usttcc zO:
cpIc, dcpcnd upn naturc and dcvcIopcd ntcIIgcncc, how hard
thc pcopIc havc workcd, accdcnt, and so on, tactors about whch
popIc n thc orgnaI pston know aImost nothng. (t wouId bc
rsky tor somconc to thnk that sncc hc s rconng so wcII n
thnkng about thc prncpIcs, hc mustbconc otthc ntcIIcctuaIIy
bttcr cndowcd. ho knows what dazzIng argumcnt thc othcrs
arc rcasonng thcr way through, and pcrhaps kccpng quct about
tor stratcgc rcons. ) Lach pcrson n thc orgnaI poston wII do
somcthng Ikc assgnng probabIty dstrbutons to hs pIacc
aIong thcsc varous dmcnsons. t sccms unIkcIy that cach pr-
son`s probabIty caIcuIatons wouId Ic to thc hstorcaI-cn-
ttIcmcnt prncpIc, n prctcrcncc to cvcry othcr prncpIc. Lon-
sdcr thc prncpIc wc may caII thc rcvcrsc-cnttIcmcnt prncpIc.
t rccommcnds drawng up a Ist otthc hstorcaI cnttIcmcnts n
ordcr otmagntudc, and gvng thc most anyonc s cnttIcd to, to
thc prson cnttIcd to thc Icast, thc sccond most to thc prson cn-
ttIcd to thc sccond Ict, and so on. ' Any probabIty caIcuIa-
tons otscIt-ntcrcstcd pcrsons n KawIs` orgnaI poston, or any
probabIty caIcuIatons ot thc studcnts wc havc consdcrcd, wII
Icad thcm to vcw thc cnttIcmcnt and thc rcvcrsc-cnttIcmcnt
prncpIcs as rankcd cquaIIy nsotar thcr own scIt-ntcrcst s
conccrncd! (hat caIcuIatons couId Icad thcm to vcw onc otthc
prncpIcs supror to thcothcr!)Jhcr caIcuIatons wII not Icad
thcm to scIcct thc cnttIcmcnt prncpIc.
Jhcnaturc otthcdccsonprobIcm tacngprsons dccdng upn
prncpIcs n an orgnaI poston bchnd a vcI otgnorancc Imts
thcm to cnd-statc prncpIcs ot dstrbuton. Jhc scIt-ntcrcstcd
prson cvaIuatcs any non-cnd-statc prncpIc on thc bass othow t
works out tor hm, hs caIcuIatons abut any prncpIc tocus on
how hc cnds up undcr thc prncpIc. (Jhcsc caIcuIatons ncIudc
consdcraton otthc Iaborhc s yct to do, whch docs notapparn
thc gradng cxampIc cxccpt as thc sunk cost ot thc Iabor aIrcady
donc. ) Jhus tor any prncpIc, an occupant otthc orgnaI poston
wII tocus on thc dstrbuton L ot goods that t Icads to, or a
probabIty dstrbuton ovcr thc dstrbutons LI , e . . , L, t
may Icad to, and upn hs probabItcs otoccupyng cach poston
ncachLprohIc, supposng tto obtan. Jhc pnt wouId rcman
thc samc t, rathcr than usng prsonaI probabItcs, hc uscs somc
othcr dccson ruIc ot thc sort dscusscd by dccson thcorsts . n
202 Byond the Minial State?
thcsc caIcuIatons, thc onIy roIc pIaycd by thc prncpIc s that ot
gcncratng a dstrbuton ot goods (or whatcvcr cIsc thcy carc
abut) or ot gcncratng a probabIty dstrbuton ovcr dstrbu-
tons otgoods. Ohcrcnt prncpIcs arc comparcd soIcIy by com-
parng thc aItcrnatvc dstrbutons thcygcncratc. Jhus thc prnc-
pIcs dropout otthc pcturc, and cach scIt-ntcrcstcd pcrson makcs
a chocc among aItcrnatvc cnd-statc dstrbutons. PcopIc n thc
orgnaI poston cthcr drcctIy agrcc to an cnd-statc dstrbuton
or thcy agrcc to aprncpIc, tthcy agrcc to a prncpIc, thcy do t
soIcIy on thc bass otconsdcratons abut cnd-statc dstrbutons .
Jhc]uuJmcu!al prncpIcs thcy agrcc to, thconcs thcycan aII con-
vcrgc n agrccng upon, must bc cnd-statc prncpIcs .
Kawls` constructon s ncapabIc ot ycIdng an cnttIcmcnt or
hstorcaI conccpton ot dstrbutvc ustcc. Jhc cnd-statc prn-
cpIcs ot ustcc ycIdcd by hs proccdurc mght bc uscd n an
attcmpt to driw, whcn cononcd wth tactuaI ntormaton,
hstorcaI-cnttIcmcnt prncpIcs , as dcrvatvc prncpIcs taIIng
undcr a noncnttIcmcnt conccpton ot ustcc. t s dmcuIt to
scc how such attcmpts couId dcrvc and account tor thcarticu!ar
convoIutons ot hstorcaI-cnttIcmcnt prncpIcs. And any dcrva-
tons trom cnd-statc prncpIcs otapproxmatons otthc prncpIcs
otacquston, transtcr, and rccthcaton wouId strkc onc as sm-
Iar to utItaran contortons n tryng to dcrvc (approxmatons
ot) usuaIprcccpts otustcc, thcy do not ycId thcpartcuIar rcsuIt
dcsrcd, and thcy producc thc wrong rcasons tor thc sort otrcsuIt
thcy try to gct. t hstorcaI-cnttIcmcnt prncpIcs arc tunda-
mcntaI, thcn KawIs` constructon wII ycId approxmatons ot
thcm at bcst, t wIIroducc thc wrong sorts otrcasons tor thcm,
and ts dcrvcd rcsuIts somctmcs wII conhct wth thc prccscIy
corrcct prncpIcs. Jhc whoIc proccdurc otprsons choosng prn-
cpIcs n KawIs` orgnaI poston prcsuppscsthat no hstorcaI-cn-
ttIcmcnt conccpton ot ustcc s corrcct.
t mght bcobcctcd to our argumcnt that KawIs` proccdurc s
dcsgncd tootal!isb aII tacts abut ustcc, thcrc s no ndcpndcnt
noton otcnttIcmcnt, not provdcd by hs thcory, to stand on n
crtczng hs thcory. but wc do not nccd anyarticu!ar dcvcIopd
hstorcaI-cnttIcmcnt thcory as a bass trom whch to crtczc
KawIs` constructon. t an such hndamcntaI hstorcaI-cnt-
tIcmcnt vcw s corrcct, thcn KawIs` thcory s not. c arc thus

tstrtbuttvc ]usttcc 203

abIc to makc ths structuraI crtcsm otthc typ otthcory KawIs
prcscnts and thc typ otprncpIcs t must ycId, wthout hrst hav-
ng tormuIatcd tuIIy a partcuIar hstorcaI-cnttIcmcnt thcory as
an aItcrnatvc to hs . c wouId bc II advscd to acccpt KawIs`
thcory and hs construaI otthcprobIcm as onc otwhch prncpIcs
wouId bc choscn by ratonaI scIt-ntcrcstcd ndvduaIs bchnd a
vcI otgnorancc, unIcss wc wcrc surc that no adcquatc hstorcaI-
cnttIcmcnt thcory was to bc gottcn.
Sncc KawIs` constructon docsn` t ycId a hstorcaI or cn-
ttIcmcnt conccpton ot ustcc, thcrc wII bc somc tcaturc(s) oths
constructon n vrtuc otwhch t docsn` t. Mavc wc donc anythng
othcr than tocus upon thc partcuIar tcaturc(s), and say that ths
makcs KawIs` constructon ncapabIc n prncpIc ot ycIdng an
cnttIcmcnt or hstorcaI conccpton ot ustcc! Jhs wouId bc a
crtcsm wthout any torcc at aII, tor n ths scnsc wc wouId havc
to say that thc constructon s ncapabIc n prncpIc ot ycIdng
anyconccpton othcrthan thc onc t actuaIIy ycIds . tsccms cIcar
that our crtcsm gocs dccpcr than ths (and hopc t s cIcar to
thc rcadcr), but t s dmcuIt to tormuIatc thc rcqustc crtcron ot
dcpth. Lcst ths appar Iamc, Ict us add that as KawIs statcs thc
root dca undcrIyng thc vcI ot gnorancc, that tcaturc whch s
thc most promncnt n cxcIudng agrccmcnt to an cnttIcmcnt
conccpton, t s to prcvcnt somconc trom taIorng prncpIcs to
hs own advantagc, trom dcsgnng prncpIcs to tavor hs partcu-
Iar condton. but not onIy docs thc vcI otgnorancc do ths, t
cnsurcs that no shadow otcnttIcmcntconsdcratons wII cntcr thc
ratonaI caIcuIatons otgnorant, nonmoraI ndvduaIs constrancd
to dccdc na stuaton rchcctng somc tormaI condtons otmoraI-
ty. Pcrhaps , n a KawIs-hkc constructon, somc condtonwcakcr
than thc vcI otgnorancc couId scrvc to cxcIudc thc spcaI taIor-
ng otprncpIcs , or pcrhaps somc othcr 'structuraI-Iookng` tca-
turc ot thc chocc stuaton couId bc tormuIatcd to mrror cn-
5omconc mght thnk cnttlcmcnt prncplcs count B spcally talorcd n
a morally obcctonablc way, and so hc mght rccct my clam that thc vcl ot
gnorancc accomplshcs morc than ts statcd purposc. 5ncc to spccally talor
prncplcs s to talor thcmunfairly tor onc`s own advantagc, and sncc thc qucs-
ton ot thc tarncss ot thc cnttlcmcnt prncplc s prccscly thc ssuc, t s dt-
hcult to dccdc whch bcgs thc qucston. mycrtcsm otthc strcngth otthc vcl
otgnorancc, or thc dctcnscaganst ths crtcsm whch I magnc n ths notc.
zO4 Byond the Minimal State?
ttIcmcnt consdcratons . but as t stands thcrc s no rchccton ot
cnttIcmcnt consdcratons n any torm n thc stuaton otthosc n
thc orgnaI poston, thcsc consdcratons do not cntcr cvcn to bc
ovcrrddcn or outwcghcd or othcrwsc put asdc. Sncc no gIm-
mcrotcnttIcmcnt prncpIcs s buIt nto thcstructurc otthcstu-
aton ot pcrsons n thc orgnaI poston, thcrc s no way thcsc
prncpIcs couId bc scIcctcd, and KawIs` constructon s ncapabIc
n prncpIc ot ycIdng thcm. Jhs s not to say, otcoursc, that
thc cnttIcmcnt prncpIc (or thc prncpIc ot naturaI Ibcrty)
couIdn` t bc written on thc Ist ot prncpIcs to bc consdcrcd by
thosc n thc orgnaI poston. KawIs docsn`t do cvcn ths , pcrhaps
bccausc t s so transparcntIy cIcar that thcrc wouId bc no pont n
ncIudng t to bc consdcrcd tbere .
MACRO AND MI CRO
c notcd carIcr thcobccton whch doubtcd whcthcr thcrc sany
ndcpcndcnt noton otcnttIcmcnt. Jhs connccts wth KawIs` n-
sstcncc that thcprncpIcs hc tormuIatcs arc tobc appIcdonIy to
thc tundamcntaI macrostructurc ot thc whoIc soccty, and that no
mcro countcrcxampIc to thcm wII bc admssbIc. Jhc dttcrcncc
prncpIc s, on thc tacc ot t , un/air (though that wII bc ot no
conccrn to anyonc dccdng n thc orgnaI poston), and a wdc
gamut ot countcrcxampIcs to t can bc produccd that tocus on
smaII stuatons that arc casy to takc n and managc. but KawIs
docs net cIam thc dhcrcncc prncpIc s to appIy to cvcry stua-
ton, onIy to thc basc structurc ot thc soccty. Mow arc wc to
dccdc t t appIcs to that! Sncc wc may havc onIy wcak con-
hdcncc n our ntutons and udgmcnts about thc ustcc ot thc
whoIc structurc ot soccty, wc may attcmpt to ad our udgmcnt
by tocusng on mcrostuatons that wc do havc a hrm grasp ot.
or many ot us , an mportant part ot thc proccss ot arrvng at
what KawIs caIIs 'rchcctvc cquIbrum wII consst ot thought
cxprmcnts n whch wc try out prncpIcs n hypothctcaI mcro-
stuatons. t, n our consdcrcd udgmcnt, thcy don`t appIy thcrc
thcn thcy arc not unvcrsaIIy appIcabIc . And wc may thnk that
sncc corrcct prncpIcs otustccare unvcrsaIIy appIcabIc, prnc-
tstrtbuttvc justtcc zO5
plcs that taI tor mcrostuatons cannot bc corrcct . Sncc PIato, at
any ratc, that has bccn our tradton, prncpIcs may bc trcd out
n thc Iargc and n thc smaII. PIato thought that wrt Iargc thc
prncpIcs arc cascr to dsccrn, othcrs may thnk thc rcvcrsc.
KawIs , howcvcr, procccds as though dstnct prncpIcs appIy to
macro and mcro contcxts, to thc basc structurc otsoccty and to
thc stuatons wc can takc nand undcrstand. Arc thc tundamcntaI
prncpIcs ot ustcc emergent n ths tashon, appIyng onIy to thc
Iargcst socaI structurc yct not to ts parts! Pcrhaps onc thnks ot
thc possbIty that a whoIc socaI structurc s ust , cvcn though
nonc ot ts parts s , bccausc thc n ustcc n cach part somchow
baIanccs out or countcracts anothcr onc, and thc totaI nustcc
cnds up bcng baIanccd out or nuIIhcd. but can a part satsty thc
most tundamcntaI prncpIc ot ustcc yct stII cIcarIy bc unust ,
apart trom ts taIurc to pcrtorm any supposcd task ot countcr-
baIancng anothcr cxstng n ustcc! Pcrhaps so, ta part nvoIvcs
somc spcaI doman. but surcIy a rcguIar, ordnary, cvcryday
part, posscssng no vcry unusuaI tcaturcs , shouId turn out to bc
ust whcn t satshcs thc tundamcntaI prncpIcs ot ustcc, othcr-
wsc, spcaI cxpIanatons must bc ottcrcd. Cnc cannot say mcrcIy
that onc s spcakng otprncpIcs to appIy onIy to thc tundamcntaI
structurc, so that mcro countcrcxampIcs do not tcII. n vrtuc ot
what tcaturcs ot thc basc structurc, tcaturcs not posscsscd by
mcrocascs, do spccaI moraI prncpIcs appIy that wouId bc unac-
ccptabIc cIscwhcrc!
Jhcrc arc spccaI dsadvantagcs to procccdng by tocusng onIy
on thc ntutvc ustcc otdcscrbd compIcx whoIcs . or compIcx
whoIcs arc not casIy scanncd, wc cannot casIy kccp track otcvcry-
thng that s rcIcvant. Jhc ustcc ota whoIc soccty may dcpnd
on ts satstyng a numbcr otdstnct prncpIcs . Jhcsc prncpIcs,
though ndvduaIIy compcIIng (wtncss thcr appIcaton to a
wdc rangc ot partcuIar mcrocascs), may ycId surprsng rcsuIts
whcn combncd togcthcr. Jhat s, onc may bc surprscd at whch,
and onIy whch, nsttutonaI torms satsty aII thc prncpIcs .
(Lomparc thc surprsc at dscovcrng what, and onIy what, satshcs
a numbcr otdstnct and ndvduaIIy compIIngcondtonsotad-
cquacy, and how IIumnatng such dscovcrcs arc. ) Cr pcrhaps t
s onc smpIc prncpIc whch s to bc wrt Iargc, and what thngs
Iook Ikc whcn ths s donc s vcry surprsng, at hrst. am not
206 Byond the Minial State?
clamng that ncwrinciles cmcrgc n thc Iargc, but that how thc
old mcroprncpIcs turn out to bc satshcd n thc Iargc may sur-
prsc. tths s so, thcn onc shouId not dcpcnd upon udgmcnts
abut thc whoIc as provdng thc onIy or cvcn thc maor body ot
data aganst whch to chcck onc` s prncpIcs. Cnc maor path to
changng onc`s ntutvc udgmcnts abut somc compIcx whoIc s
through sccng thc Iargcr and ottcn surprsng mpIcatons ot
prncpIcssoIdIy toundcd atthc mcroIcvcI. SmIarIy, dscovcrng
that onc` s udgmcnts arc wrong or mstakcn ohcn surcIy wII n-
voIvc ovcrturnng thcm by strngcnt appIcatons ot prncpIcs
groundcd on thc mcro IcvcI. or thcsc rcasons t s undcsrabIc to
attcmpt to protcct prncpIcs by cxcIudng mcrotcsts otthcm.
Jhc onIy rcason havc thought ottor dscountng mcrotcsts ot
thc hndamcntaI prncpIcs s that mcrostuatons havc partcuIar
cnttIcmcnts buIt nto thcm. Ctcoursc, contnucs thc argumcnt,
thc tundamcntaI prncpIcs undcr consdcraton wII run atouI ot
thcsc cnttIcmcnts, tor thc prncpIcs arc to opcratc at a dccpcr
IcvcI than such cnttIcmcnts . Sncc thcy arc to opcratc at thc IcvcI
that undcrIcs such cnttIcmcnts , no mcrostuaton that ncIudcs
cnttIcmcnts can bc ntroduccd as an cxampIc by whch to tcst
thcsc tundamcntaI prncpIcs . Potc that ths rcasonng grants that
KawIs` proccdurc assumcs that no tundamcntaI cnttIcmcnt vcw s
corrcct, that t assumcs thcrc s somc IcvcI so dccp that no cn-
ttIcmcnts opcratc that tar down.
May aII cnttIcmcnts bc rcIcgatcd to rcIatvcIy supcrhcaI IcvcIs!
orcxampIc, pcopIc` s cnttIcmcnts to thcparts otthcr own bod-
cs! An appIcaton otthc prncpIc otmaxmzng thc poston ot
thosc worst ottmght wcII nvoIvc torccabIc rcdstrbuton otbod-
Iy parts (`You`vc bccn sghtcd tor aII thcsc ycars, now onc- r
cvcn botht your cycs s to bc transpIantcd to othcrs`), or
kIIng somc pcopIc carIy to usc thcr bodcs n ordcr to provdc
matcraI ncccssary to savc thc Ivcs otthosc who othcrwsc wouId
dc young. " Jo brng up such cascs s to sound sIghtIy hys-
tcrcaI . but wc arc drvcn to such cxtrcmc cxampIcs n cxamnng
KawIs` prohbton on mcro countcrcxampIcs . Jhat not aII cn-
ttIcmcnts n mcrocascs arc pIausbIy construcd as supcrhcaI, and
hcncc as IIcgtmatc matcraI by whch to tcstout suggcstcd prn-
cpIcs , s madc cspccaIIy cIcar twc tocus on thosc cnttIcmcnts
and rghts that most cIcarIy arc not socaIIy or nsttutonaIIy
tstrt uttvc ]usttcc zO7
bascd. Cn what grounds arc such cascs , whosc dctaIcd spcchca-
tons Icavc to thc ghouIsh rcadcr, ruIcd nadmssbIc! Cn what
grounds can t bc cIamcd that thc tundamcntaI prncpIcs ot us-
tcc nccd appIy onIy to thchndamcntaI nsttutonaI structurc ota
soccty! (And couIdn`t wc buId such rcdstrbutvc practccs con-
ccrnng bodIy parts or thc cndng otpopIc` s Ivcs nto thc tun-
damcntaI structurc ota soccty!)
t s ronc that wc crtczc KawIs` thcory tor ts hndamcntaI
ncompatbIty wth hstorcaI-cnttIcmcnt conccptons ot ustcc.
or KawIs` thcory tscIt dcscrbs a proccss (abstractIy conccvcd)
wth a rcsuIt . Mc docs not prcscnt a drcct dcductvc argumcnt tor
hs two prncpIcs ot ustcc trom othcr statcmcnts that cntaI
thcm. Any dcductvc tormuIaton otKawIs` argumcnt wouId con-
tan mctastatcmcnts, statcmcnts about prncpIcs. such as, any
prncpIcs agrccd to by pcrsons n a ccrtan stuaton arc corrcct.
Lombncd wth an argumcnt showng that pcrsons n that stua-
tonwouId agrcc to prncpIcs P, onc can dcducc that P s corrcct,
and thcn dcducc that P. Atsomc pIaccs n thc argumcnt,
l i p"
ap-
pars n quotcs , dstngushng thc argumcnt trom a drcct dcduc-
tvc argumcnt tor thc truth ot P. nstcad ot a drcct dcductvc
argumcnt, a stuaton and proccss arc spcchcd, and an prncpIcs
that wouId cmcrgc trom that stuaton and proccss arc hcId to con-
sttutc thc prncpIcs otustcc. (Mcrc gnorc thc compIcatcd n-
tcrpIay bctwccn whch prncpIcs otustcc oncwants to dcrvcand
whch ntaI stuaton onc spcchcs. ) )ust as tor an cnttIcmcnt
thcorstany sct othoIdngs that cmcrgcs trom a Icgtmatc proccss
(spcchcd by thc prncpIc ottranstcr) s ust , so tor KawIs any sct
otprncpIcs that cmcrgcs trom thc orgnaI poston by thc con-
strancd proccss ot unanmous agrccmcnt s thc sct ot (corrcct)
prncpIcs ot ustcc. Lach thcory spchcs startng ponts and pro-
ccsscs ottranstormaton, and cach acccpts whatcvcrcomcs out. Ac-
cordng to cach thcory, whatcvcr comcs out s to bc acccptcd
bccausc ot ts pcdgrcc, ts hstory. Any thcory whch gcts to a
proccss must start wth somcthng whch s not itsel/usthcd by
bcng thc outcomc ota proccss (othcrwsc, t shouId start tarthcr
back)-namcIy, cthcr wth gcncraI statcmcnts argung tor thc
hndamcntaI prorty otthc proccss , orwth thc proccss tscIl. Ln-
ttIcmcnt thcory and KawIs` thcory cach gct to a proccss. Ln-
ttIcmcnt thcory spcchcs a proccss tor gcncratng sctsothoIdngs.
zO8 Byond the Minial State?
Jhc thrcc prncpIcs ot ustcc (n acquston, transtcr, and rcc-
thcaton) that undcrIc ths proccss, havng ths proccss as thcr
subcct mattcr, arc thcmscIvcs proccss prncpIcs rathcr than cnd-
statc prncpIcs ot dstrbutvc ustcc. Jhcy spc an ongong
proccss, witbeut hxng how t s to turn out, witbeut pmvdng
somc cxtcrnaI pattcrncd crtcron t must mcct . KawIs` thcory ar-
rvcs at a proccss P tor gcncratng prncpIcs otustcc. Jhs pro-
ccss P nvoIvcs popIc n thc orgnaI poston agrccng to prnc-
pIcs otustcc bchnd avcI otgnorancc. Accordng to KawIs, any
prncpIcs cmcrgng trom ths proccss P wII bc thc prncpIcs ot
ustcc. but ths proccss P tor gcncratng prncpIcs ot ustcc can-
not, wc aIrcady havc argucd, tscItgcncratc proccss prncpIcs as
thc tundamcntaI prncpIcs ot ustcc. P must gcncratc cnd-statc or
cnd-rcsuIt prncpIcs . Lvcn though thc dhcrcncc prncpIc, n
KawIs` thcory, s to appIy to an ongong and contnung nsttu-
tonaIproccss(oncthat ncIudcsdriwdcnttIcmcnts bascdupn n-
sttutonaI cxpctatons undcr thc prncpIc, and dcrvcd cIcmcnts
otpurcproccduraI ustcc, and so on), t s an cnd-rcsuIt prncpIc
(but not a turrent tmc-sIcc prncpIc). Jhc dttcrcncc prncpIc
hxcshow thc ongong proccss s to turn out andprovdcs an cxtcr-
naI pattcrncd crtcron t must mcct, any proccss s rccctcd whch
taIs to mcct thc tcst otthc crtcron. Jhc mcrc tact that a prnc-
pIc rcguIatcs an ongong nsttutonaI proccss docs not makc t a
proccss prncpIc. tt dd, thc utItaran prncpIc wouId aIso bc
a proccss prncpIc, rathcr than thc cnd-rcsuIt prncpIc t s .
Jhc structurc ot KawIs` thcory thus prcscnts a dIcmma. t
proccsscs arc so grcat , KawIs` thcory s dctcctvc bccausc t s n-
capabIc otycIdngproccss prncpIcs ot ustcc. tproccsscs arc not
so grcat, thcn nsuthccnt support has bccn provdcd tor thc
prncpIcs ycIdcd by KawIs` proccss P tor arrvng at prncpIcs .
Lontract argumcnts cmbody thc assumpton that anythng that
cmcrgcs trom a ccrtan proccss s ust. Lpon thc torcc otths tun-
damcntaI assumpton rcsts thctorcc otacontract argumcnt. SurcIy
thcn no contract argumcnt shouId b structurcd so as to prccIudc
proccss prncpIcs bcng thc tundamcntaI prncpIcs otdstrbutvc
ustcc by whch to udgc thc nsttutons ota soccty, no contract
argumcnt shouId bc structurcd so as to makc t mpossbIc that ts
rcsuIts bc ot thc samc sort as thc assumptons upon whch t
rcsts. " tproccsscs arc good cnough to tound a thcory upon, thcy
str butvc justcc zO
arc good cnough to bc thc possbIc rcsuIt otthc thcory. Cnc can`t
havc t both ways .
c shouId notc that thc dttcrcncc prncpIc s an cspccaIIy
strong knd ot pattcrncd cnd-statc prncpIc. Lct us say that a
prncpIc ot dstrbuton s erganit t an unust dstrbuton, ac-
cordng to thc prncpIc, can bc gottcn trom onc thc prncpIc
dccms ust, by dcIctng (n magnaton) somc pcopIc and thcr
dstrbutvc sharcs . Crganc prncpIcs tocus on tcaturcs dcpcndcnt
upon thc everah pattcrn. n contrast, pattcrncd prncpIcs ot thc
torm `to cach accordng to hs scorc on apartcuIar naturaI dmcn-
son L` arc net organc prncpIcs . t a dstrbuton satshcs ths
prncpIc, t wII contnuc to do so whcn somc pcopIc and thcr
hoIdngs arc dcIctcd, tor ths dcIcton wII not attcct thc ratos ot
thc rcmanng pcopIc`s hoIdngs , or thc ratos ot thcr scorcs aIong
thc dmcnson L. Jhcsc unchangcd ratos wII contnuc to bc thc
samc and wII contnuc to satsty thc prncpIc.
Jhc dttcrcncc prncpIc is organc. t thc Icast wcII-ott group
and thcr hoIdngs arc dcIctcd trom astuaton, thcrc s no guaran-
tcc that thc rcsuItng stuaton and dstrbuton wII maxmzc thc
poston otthc ncw Icast wcII-ott group. Pcrhaps that ncw bottom
group couId havc morc t thc top group had cvcn Icss (though
thcrc was no way to transtcr trom thc top group to thc prcvous
bottom group).
aIurc to satsty thc dcIcton condton (that a dstrbuton
rcmans ustundcr dcIcton otpcopIc and thcr hoIdngs)marksott
organc prncpIcs . Lonsdcr aIso thc addton condton, whch
hoIds that ttwo dstrbutons(ovcrdsont scts otndvduaIs) arc
ust thcn so s thc dstrbuton whch conssts ot thc combnaton
otthcsc two ust dstrbutons. (tthc dstrbutononcarth s ust,
and that on somc pIanct ota dstant star s ust, thcn so s thc sum
dstrbuton otthc two. ) PrncpIcs otdstrbuton ot thc torm to
cach accordng to hs scorc on naturaI dmcnson L` voIatc ths
condton, and thcrctorc (Ict us say) arc nemgegative. or though
wthn cach group aII ratos ot sharcs match ratos ot scorcs on
hc dIIcrcncc prncplc thus crcatcstwo conhcts oIntcrcst. bctwccn thosc
at thc top and thosc at bottom, and bctwccn thosc n thc mddlc and thosc at
bottom, Ior I thosc at bottom wcrc gonc thc dIIcrcncc prncplc mght apply
to mprovc thc poston oI thosc n thc mddlc, who would bccomc thc ncw
bottom group whosc poston s to bc maxmzcd.
z : O
Beyond the Minimal State?
L, thcy nccdn t match letween thc groups . Jhc cnttIcmcnt prn-
cpIc ot ustcc n hoIdngs satshcs both thc dcIcton and thc
addton condtons, thc cnttIcmcnt prncpIc s nonorganc and
aggrcgatvc.
c shouId not Icavc thc subcct ot thc propcrtcs ot thc dt-
tcrcncc prncpIc wthout mcntonng thc ntcrcstng but thnk
mstakcn spccuIaton otJhomas ScanIonthat'thcrc s no pIausbIc
prncpIc whch s dstnct trom thc Ottcrcncc PrncpIc and ntcr-
mcdatc bctwccn t and strct cquaIty. ` ' !ow can t bc that no
pIausbIc cgaItaran prncpIc short ot absoIutc cquaIty wouId
cxcIudc grcat ncquaItcs n ordcr to achcvc as!igbt bcncht tor thc
worst-ott rcprcscntatvc man! or thc cgaItaran, ncquaIty s a
cost, a mnus-tactor. Jhc strct cgaItaran docsn`t aIIow any n-
cquaIty at aII, trcatng thc cost otan ncquaIty as nh ntc. Jhc
dttcrcncc prncpIc aIIows an amount otths cost provdcd thcrc
sseme bcncht (to thc worst-ottgroup) howcvcr smaII. Jhs docsn`t
trcat ncquaIty as a sgnhcant cost . havc phrascd my commcnts
so that thc toIIowng prncpIc, caII t LgaItaran LcncraI Prnc-
pIc I, wII Icap to mnd. An ncquaIty s usthcd onIy t ts
bcnchts outwcgh ts costs . oIIowng KawIs, supposc ts bcnchts
arc onIy thosc to thc worst-ottgroup. !ow shaII wc mcasurc ts
costs (and n a way so that thcy arc comparabIc to ts bcnchts)!
Jhc costs shouId rcprcscnt thc totaI amount ot ncquaIty n thc
soccty, whch mght bc varousIy trcatcd. o Ict us consdcr as thc
mcasurc ot ncquaIty n a partcuIar systcm (and hcncc ts cost)
thc dttcrcncc bctwccn thc stuaton otthc bcst-ott rcprcscntatvc
man and thc worst-ottrcprcscntatvc man. Lct w bc thc sharc ot
thc worst-ott rcprcscntatvc man undcr Systcm X; Ict XB bc thc
sharc otthc bcst-ottrcprcscntatvc man undcr X. Lct E bc an ct-
hccnt systcm ot cquaIty (n whch cvcryonc gcts no Icss a sharc
than n anyothcr cquaI systcm). (EB " Ew) Jhus wc gct thc toIIow-
ng rst Spchcaton ot LgaItaran LcncraI PrncpIc I. (Cthcr
spcchcatons wouId usc othcr mcasurcs ot ncquaIty. ) An un-
Lct thc sccond group havc ndvduals who scorc halId much on D and
havc sharcs twcc d largc d thc corrcspndng ndvduals n thc hrst group,
whcrc n thc hrstgroupthc ratos bctwccn any two ndvduals` sharcs and thcr
scorcs on D arc thc samc. t Iollows that uitbin thc sccond group, thc rato oI
any two ndvduals` sharcs wll bc thc samc B thc rato oIthcr scorcs. Yct bc-
twccn groups ths dcntty oIratos wllnet hold.
tstrtbuttvc justcc
z : :
cquaI systcm V s un usthcd tVB - Vw > Vw - Ew. (Cr shouId t
bc!) An ncquaIty s usthcd onIy tts bcncht to thc worst-oh
group (Vw - Ew) s grcatcr than (or cquaI to!) thc cost otthc n-
cquaIty (VB - Vw). (Potc that ths nvoIvcs mcasurcmcnt on an
ntcrvaI scaIc, and ntcrpcrsonaI comparsons . ) Jhs s an ntcrmc-
datc poston thc cgaItaran mght hnd attractvc, and t s a
strongcr cgaItaran prncpIc than thc dttcrcncc prncpIc.
JhcrcsancvcnmerestrngcntcgaItaranprncpIc shortotstrct
cgaItaransm, supportcd by consdcratons smIar to thosc whch
Icad to thc rcccton ot a smpIc cost-bcnch t prncpIc tor moraI
contcxts . Jhs wouIdgvc us LgaItaran LcncraI PrncpIc z. An
uncquaI systcm V s usthcd onIy ta) ts bcnchts outwcgh ts
costs, and b) thcrc s no etber uncquaI systcm S, wth Icsscr n-
cquaIty, such that thc extra bcnchts otV ovcr S do not outwcgh
thc cxtra costs ot V ovcr S. As bctorc, trcatng XB - Xw as thc
costs ot thc ncquaIty n a systcm X, wc gct thc toIIowng rst
Spcchcaton ot LgaItaran LcncraI PrncpIc z. An uncquaI sys-
tcm V s usthcd onIy t.
a) Vw -Ew>VB - Vw and
b) Jhcrc s no systcm S such that SB - Sw ' VB - Vw, and
Vw - SW(VB - Vw) - (S,- Sw)"
(Potcc b) comcs to: Jhcrc s no systcm S wth Icss ncquaIty
than V, such that thc cxtra bcnchts ot V ovcr S arc Icss than or
cquaI to ts cxtra costs. )
n intreasing ordcr ot cgaItaran strngcncy wc havc. thc dt-
tcrcncc prncpIc, thc hrst spcchcaton ot LcncraI LgaItaran
PrncpIc I , thc hrst spcchcaton otLcncraI LgaItaran PrncpIc
z , and thc prncpIc otstrct cquaIty (choosc E). SurcIy an cgaI-
taran wouId hnd thc mddIc two morc attractvc than thc dt-
tcrcncc prncpIc. (Such an cgaItaran mght want to consdcr
what changcs n thc structurc otthc CrgnaI Poston or thc na-
turc ot thc pcrsons n t, wouId Icad to onc ot thcsc cgaItaran
prncpIcs bcng choscn. ) do not myscIt, otcoursc, suggcst that
thcsc cgaItaran prncpIcs arc corrcct. but thcr consdcraton
hcIps IIumnatc cxactIy how cgaItaran thc dttcrcncc prncpIc s,
and makc t mpIausbIc to cIam t stands as thc most cgaItaran
pIausbIc prncpIc short ot strct cquaIty. (!owcvcr, pcrhaps
2 1 2 Beyond the Minimal State?
ScanIon mcans that any morc strngcnt cgaItaran prncpIc wouId
havc to ascrbc a cost to ncquaIty, and no thcorctcaI usthcaton
has bccn gvcn whch wouId cnabIc onc to ascrbc a prccsc cost . )
Jhcrc s onc way wc shouId mcnton whcrcby cvcn morc cgaI-
taran prncpIcs mght bc gottcn trom KawIs` orgnaI poston.
KawIs magncs ratonaI scIt-ntcrcstcd pcrsons bchnd a vcI otg-
norancc choosng prncpIcs to govcrn thcr nsttutons. Mc tur-
thcr magncs, n thc thrd part oths book, that whcn rascd n a
soccty whch cmbodcs thcsc prncpIcs, pcopIc thcrcby dcvcIop a
scnsc ot ustcc and a partcuIar psychoIogy (atttudcs towards
othcrs , ctc. ) . LaII ths Stagc ot thc argumcnt . Stagc ot thc
argumcnt wouId nvoIvc takng tbese pcopIc who arc thc rcsuIt ot
Stagc and thc opcraton ota soccty n accordancc wth Stagc
prncpIcs, and pIacng tbem n an orgnaI poston. Jhc Stagc
orgnaI poston contans ndvduaIs wth thc psychoIogy and
scnsc ot ustcc whch s thc product otStagc , rathcr than nd-
vduaIs who arc (mcrcIy) ratonaI and scIt-ntcrcstcd. Pow thcsc
pcrsons choosc prncpIcs to govcrn thc soccty thcy arc to Ivc n.
II thc prncpIcs thcy choosc n Stagc bc thc samc prncpIcs
choscn by thc othcrs n Stagc ! tnot, magnc pcopIc rascd n a
soccty cmbodyng thc Stagc prncpIcs , dctcrmnc what psy-
choIogy tbe wouId dcvcIop, and pIacc tbese ndvduaIs, who arc
thc products otStagc , n a Stagc orgnaI poston, and con-
tnuc as bctorc to tcratc thcproccss . c shaII say that thc tcratcd
orgnaI poston yIds partcuIar prncpIcs P tI ) thcrc s a Stagc
n orgnaI poston whcrcn P s choscn, and P s aIso choscn n thc
Stagc n+ I orgnaI poston, or z) tncw prncpIcs arc choscn n
cach ncw stagc otthc orgnaI poston, thcsc prncpIcs convcrgc
to P at thc Imt. Cthcrwsc, no partcuIar prncpIcs arc ycIdcd
by thc tcratcd orgnaI poston, c. g. , succccdng stagcs ot thc
orgnaI poston oscIIatc bctwccn two scts otprncpIcs .
Arc KawIs` twoprncpIcs n tactycIdcd by thc tcratcd orgnaI
poston, that s, at Stagc do thc pcopIc wth thc psychoIogy
KawIs dcscrbcs as rcsuItng trom thc opcraton oths two prnc-
pIcs ot ustcc, thcmscIvcs choosc thosc vcry prncpIcs whcn tbe
arc pIaccd n an orgnaI poston! t so, ths wouId strcngthcn
KawIs` rcsuIt . tnot , wctacc thc qucstonotwhcthcrany prncpIcs
arc ycIdcd by thc orgnaI poston, at what stagc thcy arc ycIdcd
(or arc thcy ycIdcd at thc Imt), and what prccscIy tbese prnc-
tstrtbuttvc justtcc
z :
5
plcs arc. Jhs wouId sccm to bc an ntcrcstng arcaotnvcstgaton
tor thosc souIs who choosc to work, dcsptc my argumcnts, wthn
thc KawIsan tramcwork.
NATURAL AS S ETS AND ARBI TRARI NES S
KawIs comcs cIoscst to consdcrng thc cnttIcmcnt systcm n hs
dscusson otwhat hc tcrms thc systcm otnaturaI Ibcrty.
Jhc systcm ot naturaI Itbcrty scIccts an cthctcnt dtstrtbutton roughIy as
toIIows. Lct us supposc that wc know trom cconomtc thcory that undcr
thc standard assumpttons dchntng a compcttttvc markct cconomy, tn-
comc and wcaIth wtII bc dtstrtbutcd tn an cthctcnt way, and that thc
parttcuIarcthctcnt dtstrtbutton whtch rcsuIts tn any pcrtod ot ttmc ts dc-
tcrmtncd by thc tntttaI dtstrtbutton ot asscts, that ts, by thc tntttaI dts-
trtbutton ot tncomc and wcaIth, and ot naturaI taIcnts and abtItttcs.
tth cach tnt ttaI dtstrtbutton, a dchnttc cthctcnt outcomc s arrtvcd at.
Jhus tt turns out that tt wc arc to acccpt thc outcomc as ust, and not
mcrcIy as cthctcnt, wc must acccpt thc basts upon whtch ovcr ttmc thc
tntttaI dtstrtbutton ot asscts ts dctcrmtncd.
n thc systcm ot naturaI Itbcrty thc tntttaI dtstrtbutton ts rcguIatcd
by thc arrangcmcnts tmpuctt tn thc conccptton ot carccrs oQn to taI-
cnts. Jhcsc arrangcmcnts prcsupposc a background ot cguaI Itbrty (as
sQcthcd by thc hrst prtnctpIc) and a trcc markct cconomy. Jhcy rcgutrc
a tormaI cguaItty ot opportuntty tn that aII havc at Icast thc samc IcgaI
rtghts ot acccss to aII advantagcd soctaI pstttons. but stncc thcrc ts no
cttort to prcscrvc an cgualtty or stmtIartty, ot soctaI condtttons, cxccpt
tnsotar as thts ts ncccssary to prcscrvc thc rcgutsttc background tnstttu-
ttons, thc tntttaI dtstrtbutton ot asscts tor any pcrtod ot ttmc ts strongIy
tnhucnccd by naturaI and soctaI conttngcnctcs. Jhc cxtsttng dtstrtbutton
ot tncomc and wcaIth, say, ts thc cumuIattvc chcct ot prtor dtstrtbuttons
ot naturaI assctsthat ts, naturaI taIcnts and abtItttcsas thcsc havc
bccn dcvcIoQd or Ictt unrcaItzcd, and thctr usc tavorcd or dtsmvorcd
ovcr ttmc by soctaI ctrcumstanccs and such chancc conttngcnctcs as ac-
ctdcnt and good tortunc. ntutttvcIy, thc most obvtous tnusttcc ot thc
systcm ot naturaI Itbcrty ts that tt pcrmtts dtstrtbuttvc sharcs to bc
tmpropcrIy tnhucnccd by thcsc tactors so arbttrary trom a moraI potnt ot
vtcw.
Mcrc wc havc Rawls' rcason tor rccctng a systcm ot naturaI Ib-
crty. t pcrmts` dstrbutvc sharcs to bc mpropcrIy nhucnccd
by tactors that arc so arbtrary trom a moraI pont otvcw. Jhcsc
z t 4
Byond the Minimal State?
tactors arc. 'pror dstrbuton . . otnaturaI taIcnts and abItcs
as thcschavc bccndcvcIopcd ovcr tmc bysocaIcrcumstanccs and
such chancc contngcnccs as accdcnt and good tortunc. ` Potcc
that thcrc s no mcntonat ah othow pcrsons havc choscn to dc-
vcIop thcr own naturaI asscts . hy s that smpIy Ictt out! Pcr-
haps bccausc such choccs aIso arc vcwcd as bcng thc products ot
tactors outsdc thc pcrson`s controI , and hcncc as 'arbtrary trom a
moraI pont otvcw. ` 'Jhc asscrton that a man dcscrvcs thc supc-
ror charactcr that cnabIcs hm to makc thc chort to cuItvatc hs
abItcs s cquaIIy probIcmatc, tor hs charactcr dcpnds n Iargc
part upon tortunatc tamIy and socaI crcumstanccs tor whch hc
can cIam no crcdt. ` * (hat vcw s prcsupposcd hcrc otcharac-
tcr and ts rcIaton to acton!) 'Jhc ntaI cndowmcnt otnaturaI
asscts and thc contngcnccs otthcr growth and nurturc n carIy
Itc arc arbtrary trom a moraI pont otvcw . . . thc cttort a pcr-
son s wIIng to makc s nhucnccd by hs naturaI abItcs and
skIIs and thc aItcrnatvcs opn to hm. Jhc bcttcr cndowcd arc
morc IkcIy, othcr thngs cquaI, to strvc consccn-
tousIy. . . . ` Jhs Inc otargumcnt can succccd n bIockng
thc ntroducton otapcrson` sautonomouschoccsand actons (and
thcr rcsuIts) onIy by attrbutng ewtbing notcworthy about thc
prson compIctcIy to ccrtan sorts ot 'cxtcrnaI` tactors. o dcn-
gratng a pcrson`s autonomy and prmc rcsponsbIty tor hs ac-
tons s a rsky Inc to takc tor a thcory that othcrwsc wshcs to
buttrcss thc dgnty and scIt-rcspcct ot autonomous bcngs, cspc-
caIIy tor a thcory that tounds so much (ncIudng a thcory otthc
good) upn pcrsons` choccs. Cnc doubts that thc uncxaItcd pc-
turc ot human bcngs KawIs` thcory prcsupposcs and rcsts upon
can bc madc to ht togcthcr wth thc vcw ot human dgnty t s
dcsgncd to Icad to and cmbody.
bctorc wc nvcstgatc KawIs` rcasons tor rccctng thc systcm ot
naturaI Ibcrty, wc shouId notc thc stuaton otthosc n thc org-
naI pston. JhcsystcmotnaturaI Ibcrty sene ntcrprctatonota
prncpIc that (accordng to KawIs) thcyde acccpt. socaI and cco-
nomc ncquaItcs arc to bc arrangcd so that thcy both arc rcason-
abIy cxpcctcd to bc to cvcryonc`s advantagc, and arc attachcd to
pstons and othccs opcn to aII. t s Ictt uncIcar whcthcr thc pcr-
sons n thc orgnaI poston cxpIctIy consdcr and choosc among
ah thc varous ntcrprctatons otths prncpIc, though ths wouId
tstrtbuttvc justtcc z t
5
sccm to bc thc most rcasonabIc construaI. (KawIs` chart on pagc
I zq Istng thc conccptons ot ustcc consdcrcd n thc orgnaI
poston docs net ncIudc thc systcm ot naturaI Ibrty. ) CcrtanIy
thcy cxpIctIy consdcr onc ntcrprctaton, thc dttcrcncc prnc-
pIc. KawIsdocs not statcwhy pcrsons n thc orgnaI postonwho
consdcrcd thc systcm ot naturaI Ibrty wouId rccct t. Jhcr
rcason cannot bc that t makcs thc rcsuItng dstrbuton dcpcnd
upon a merah arbtrary dstrbuton ot naturaI asscts. hat wc
must supposc, as wc havc sccn bctorc, s that thc scIt-ntcrcstcd
caIcuIaton ot pcrsons n thc orgnaI poston docs not (and can-
not) Icad thcm to adopt thc cnttIcmcnt prncpIc. c, howcvcr,
and KawIs, basc our cvaIuatons on dttcrcnt consdcratons.
KawIs has cxpIctIydesigned thc orgnaI poston and ts chocc
stuaton so as to cmbody and rcaIzc hs ncgatvc rchcctvc cvaIu-
aton ot aIIowng sharcs n hoIdngs to bc attcctcd by naturaI as-
scts. 'Cncc wc dccdc to Iook tor a conccpton ot ustcc that
nuIIhcs thc accdcnts otnaturaI cndowmcnt and thc contngcnccs
otsocaIcrcumstancc. . . . ` (KawIs makcs many scattcrcd rct-
crcnccs to ths thcmc otnuIIng thc accdcntsotnaturaI cndow-
mcnt and thc contngcnccs ot socaI crcumstancc. ) Jhs qucst
crucaIIy shapcs KawIs` thcory, and t undcrIcs hs dcIncaton ot
thc orgnaI poston. t s not that pcrsons who did dcscrvc thcr
naturaI cndowmcnts wouId choosc dttcrcntIy tpIaccd n KawIs`
orgnaI poston, but rathcr that , prcsumabIy, tor such pcrsons ,
KawIs wouId not hoId that thc prncpIcs otustcc to govcrntbeir
mutuaI rcIatons wcrc mcd by what thcy wouId choosc n thc org-
naI poston. t s uschI to rcmcmbcr how much ot KawIs` con-
structon rcsts upon ths toundaton. or cxampIc, KawIs argucs
that ccrtan cgaItaran dcmands arc not motvatcd by cnvy but
rathcr, bccausc thcy arc n accord wth hs two prncpIcs ot us-
tcc, by rcscntmcnt otnustcc. ' Jhs argumcntcan bc undcrcut,
as KawIs rcaIzcs, tthc vcry consdcratons whch undcrIc thc
orgnaI poston (ycIdng KawIs` two prncpIcs otustcc) thcm-
scIvcs cmboy or arc bascd upon cnvy. o n addton to wantng
to undcrstand KawIs` rcccton ot aItcrnatvc conccptons and to
asscss how powcrhI a crtcsm hc makcs ot thc cnttIcmcnt con-
ccpton, rcasons ntcrnaI to hs thcory provdc motvaton to cx-
pIorc thc bass ot thc rcqurcmcnt that a conccpton ot ustcc bc
gcarcd to nuIIty dttcrcnccs n socaI crcumstanccs and n naturaI
2 1 6 Byond the Minimal State?
asscts (and any dhcrcnccs n socaI crcumstanccs thcy rcsuIt n).
hy shouIdn`t hoIdngs partaIIy dcpcnd upon naturaI cndow-
mcnts! (Jhcy wII aIso dcpcnd on how thcsc arcdcvcIopcd and on
thc uscs to whch thcyarc put . ) KawIs` rcpIy s that thcsc naturaI
cndowmcnts and asscts , bcng undcscrvcd, arc 'arbtrary trom a
moraI pont otvcw. ` Jhcrc arc two ways to undcrstand thc rcIc-
vancc ot ths rcpIy. t mght bc part otan argumcnt to cstabIsh
that thc dstrbutvc cttccts ot naturaI dttcrcnccs ought to bc
nuIIhcd, whch shaII caII thc postvc argumcnt, or t mght bc
part otan argumcnt to rcbut a possbIc countcrargumcnt hoIdng
that thc dstrbutvc cttccts ot naturaI dttcrcnccs oughtn` t to bc
nuIIhcd, whch shaII caII thc ncgatvc argumcnt. hcrcas thc
postvc argumcnt attcmpts to cstabIsh that thc dstrbutvc ct-
tcctsotnaturaI dhcrcnccs ought to bc nuIIhcd, thc ncgatvc onc,
by mcrcIy rcbuttng ene argumcnt that thc dttcrcnccs oughtn`t to
bc nuIIhcd, Icavcs opcn thc possbIty that (tor othcr rcasons) thc
dttcrcnccs oughtn`t to bc nuIIhcd. (Jhc ncgatvc argumcnt aIso
Icavcs t possbIy a mattcr ot moraI indi//nnce whcthcr thc ds-
trbutvc cttccts otnaturaI dttcrcnccs arc to bc nuIIhcd, notc thc
dttcrcncc bctwccn sayng that somcthng ought to b thc casc and
sayng that t`s not that t oughtn`t to bc thc casc. )
THE POS I TI VE ARGUMENT
c shaII bcgnwth thc postvc argumcnt. Mow mght thc pont
that dttcrcnccs n naturaI cndowmcnts arc arbtrary trom a moraI
pont otvcw hncton n an argumcnt mcant to cstabIsh that dt-
tcrcnccs n hoIdngs stcmmng trom dttcrcnccs n naturaI asscts
ought to bc nuIIhcd! c shaII consdcr tour pssbIc argumcnts,
thc hrst, thctoIIowng argumcnt A.
. Any pcrson shouId moraIIy dcscrvc thc hoIdtngs hc has, tt shouIdn`t
bc that pcrsons havc hoIdtngs thcy don`t dcscrvc.
2 . copIc do not moraIIy dcscrvc thctr naturaI asscts.
3 . t a pcrson` s 7 parttaIIy dctcrmtncs hts T, and hts 7 ts undcscrvcd
thcn so ts hts T.
Jhcrctorc,
tstrtbuttvc justtcc
4
. copIc`s hoIdtngs shouIdn`t bc parttaIIy dctcrmtncd by thctr naturaI
asscts.
Jhs argumcnt wII scrvc as a surrogatc tor othcr smIar, morc
compIcatcd oncs. " but KawIs cxpIctIy and cmphatcaIIy re)etts
dstrbuton accordng to moraI dcscrt.
Jhcrc ts a tcndcncy tor common scnsc to suppsc that tncomc and
wcaIth, and thc good thtngs tn Ittc gcncraIIy, shouId bc dtstrtbutcd ac-
cordtng to moraI dcscrt. justtcc ts happtncss accordtng to vtrtuc. htIc
tt ts rccogntzcd that thts tdcaI can ncvcr bc mIIy carrtcd out, tt ts thc ap-
proprtatc conccptton |accordtng to common scnsc| ot dtstrtbuttvc us-
ttcc, at Icast as a rima facie prtnctpIc, and soctcty shouId try to rcaIzc
tt as ctrcumstanccs pcrmtt. ^ow usttcc as tatrncss rcccts thts conccp-
tton. buch a prtnctpIc wouId not bc choscn tn thc ortgtnaI posttton.
KawIs couId not, thcrctorc, acccpt any prcmss Ikc thc hrst prcm-
ss n argumcnt A, and so no varant ot ths argumcnt undcrIcs
hs rcccton ot dttcrcnccs n dstrbutvc sharcs stcmmng trom
undcscrvcd dttcrcnccs n naturaI asscts. Pot onIy docs KawIs rc-
cct prcmss I, hs thcory s not cocxtcnsvc wth t. Mc tavors gv-
ng nccntvcs to pcrsons tths most mprovcs thc Iot ot thc Icast
wcII ott, and t ottcn wII bc bccausc ot thcr naturaI asscts that
thcsc pcrsons wII rcccvc nccntvcs and havc Iargcr sharcs. c
notcd carIcr that thc cnttIcmcnt conccpton ot ustcc n hoId-
ngs, not bcng a pattcrncd conccpton otustcc, docs not acccpt
dstrbuton n accordancc wth moraI dscrt cthcr. Any pcrson
may gvc to anyonc cIsc any hoIdng hc s cnttIcd to, ndcpcn-
dcntIy ot whcthcr thc rccpcnt moraIIy dcscrvcs to bc thc rccp-
cnt. Jo cach accordng to thc Icgtmatc cnttIcmcnts that Icgt-
matcIy havc bccn transtcrrcd to hm, s not a pattcrncd prncpIc.
targumcnt A and ts hrst prcmss arc rccctcd, t s not obv-
ous how to construct thc postvc argumcnt. Consdcr ncxt argu-
mcnt b.
t . MoIdtngs ought to bc dtstrtbutcd accordtng to somc pattcrn that ts
not arbttrary trom a moraI potnt ot vtcw.
2 . Jhat pcrsons havc dtttcrcnt naturaI asscts is arbttrary trom a moraI
potnt ot vtcw
Jhcrctorc,
3. MoIdtngs ought not to bc dtstrtbutcd accordtng to naturaI asscts.
2 1 8 Beyond the Minimal State?
but dttcrcnccs n naturaI asscts mght bc tee!ated wth othcr
dttcrcnccs that arc not arbtrary trom a moraI pont ot vcw and
that arc cIcarIy otsomc possbIc moraI rcIcvancc to dstrbutonaI
qucstons. or cxampIc, Mayck argucd that undcr captaIsm ds-
trbuton gcncraIIy s n accordancc wth pcrccvcd scrvcc to oth-
crs . Sncc dttcrcnccs n naturaI asscts wII producc dttcrcnccs n
abItyto scrvc othcrs, thcrc wII bc somc corrcIaton otdttcrcnccs
n dstrbuton wth dttcrcnccs n naturaI asscts. Jhc prncpIc ot
thc systcm snet dstrbuton n accordancc wth naturaI asscts, but
dttcrcnccs n naturaI asscts wII Icad to dttcrcnccs n hoIdngs
undcr a systcm whosc prncpIc s dstrbuton accordng to pcr-
ccvcd scrvcc to othcrs. tconcIuson 3 abovc s to bc ntcrprctcd
n cxtcnson so as to cxcIudc ths , t shouId bc madc cxpIct. but
to add thc prcmss that any pattcrn that has somc roughIy cocx-
tcnsvc dcscrpton that s arbtrary trom a moraI pont ot vcw s
tscItarbtrary trom a moraI pont otvcwwouIdbc tar too strong,
bccausc twouId ycId thc rcsuIt thateveq pattcrn s arbtrary trom
a moraI pont otvcw. Pcrhaps thc crucaI thng to bc avodcd s
not mcrc cocxtcnsvcncss, but rathcr somc moraIIy arbtrary tca-
turc`sgiving rise te dttcrcnccs ndstrbutvc sharcs . Jhus consdcr
argumcnt L.
: . MoIdtngs ought to bc dtstrtbutcd accordtng to somc pattcrn that ts
not arbttrary trom a moraI potnt ot vtcw.
2 . Jhat prsons havc dthcrcnt naturaI asscts ts arbttrary trom a moraI
potnt ot vtcw.
3
. t part ot thc cxpIanatton ot why a pattcrn contatns dthcrcnccs tn
hoIdtngs ts that othcr dtttcrcnccs tn pcrsons gtvc rtsc to thcsc dtt-
tcrcnccs tn hoIdtngs, and tt thcsc othcr dtttcrcnccs arc arbttrary trom
a moraI ptnt ot vtcw, thcn thc pattcrn aIso ts arbttrary trom a
moraI potnt ot vtcw.
Jhcrctorc,
4. thcrcnccs tn naturaI asscts shouId not gtvc rtsc to dthcrcnccs
hoIdtngs among prsons.
Prcmss 3 otths argumcnt hoIds that any moraI arbtrarncss that
undcrIcs a pattcrn ntcctsthc pattcrn and makcs t toomoraIIy ar-
btrary. but any pattcrn wII havc somc moraIIy arbtrary tacts as
part

ot thc cxpIanaton ot how t arscs , ncIudng thc pattcrn

tstrtbuttvc justtcc z :
proposcd by KawIs. Jhc dttcrcncc prncpIc opcratcs to gvc somc
prsons Iargcr dstrbutvc sharcs than othcrs, whch prsons rc-
ccvc thcsc Iargcr sharcs wII dcpcnd, at Icast partaIIy, on dt-
tcrcnccs bctwccn thcsc pcrsons and othcrs , dttcrcnccs that arc ar-
btrary trom a moraI pont ot vcw, tor somc prsons wth spccaI
naturaI asscts wII bc ottcrcd Iargcr sharcs as an nccntvc to usc
thcsc asscts n ccrtan ways. Pcrhaps somcprcmss smIar to 3 can
b tormuIatcd 5 as tocxcIudc what KaIs wshcs to cxcIudc whIc
not cxcIudng hsewn vcw. StII, thc rcsuItng argumcnt wouId
asume that thc sct othoIdngs shouId rcaIzc somc pattcrn.
hy shouId thc sct ot hoIdngs bc jattcrncd! Pattcrnng s net
ntrnsc to a thcory otustcc, as wc havc sccn n our prcscntaton
otthc cnttIcmcnt thcory. J thcory that tocuscs upon thc undcrIy-
ng prncpIcs that gcncratc scts ot hoIdngs rathcr than upon thc
pattcrn a sct othoIdngs rcaIzcs. tt bc dcncd that thc thcory ot
thcsc undcrIyng prncpIcsis a scparatc thcory otdstrbutvc us-
tcc, rathcr than mcrcIya coIIccton otdvcrscconsdcratons trom
othcr arcas, thcn thc qucston bccomcs onc otwhcthcr thcrcis any
scparatc subcct ot dstrbutvc ustcc whch rcqurcs a scparatc
thcory.
Cn thc manna-trom-hcavcn modcI gjvcn carIcr, thcrc mght bc
a morc compcIIng rcason to scarch tor a pattcrn. but sncc thngs
comc nto bcng aIrcady hcId (or wth agrccmcnts aIrcady madc
about how thcy arc to bc hcId), thcrc s no nccd to scarch tor somc
pattcrn tor unhcId hoIdngs to ht, and sncc thc proccss whcrcby
hoIdngs actuaIIy comc nto bcng or arc shapcd, tscItnccdn` t rc-
aIzc any partcuIar pattcrn, thcrc s no rcason to cxpcct any pat-
tcrn to rcsuIt. Jhc stuaton s not an appropratc onc tor wondcr-
ng, 'Ahcr aII, what s to bccomc ot thcsc thngs, what arc wc to
do wth thcm. ` n thc non-manna-trom-hcavcn worId n whch
thngs havc to bc madc or produccd or transtormcd by pcopIc,
thcrc s no scparatc proccss otdstrbuton tor a thcory otdstrbu-
ton to bc a thcory ot. Jhc rcadcr wII rccaII our carIcr argumcnt
that (roughIy) any sct ot hoIdngs rcaIzng a partcuIar pattcrn
may bc transtormcd by thc voIuntary cxchangcs , gtts, and so
torth, ot thc pcrsons havng thc hoIdngs undcr thc pattcrn nto
anetber sct othoIdngs that docs not ht thc pattcrn. Jhc vcw that
hoIdngs must bc pattcrncd pcrhaps wII sccm Icss pIausbIc whcn
t s sccn to havc thc conscqucncc that pcopIc may not choosc to
zzO Byond the Minial State?
do acts that upsct thc pattcrnng, cvcn wth thngs thcy Icgt-
matcIy hoId.
Jhcrc sanothcr routc toa pattcrncd conccptonotustcc that,
pcrhaps , shouId bc mcntoncd. Supposc that cach moraIIy Icgt-
matc tact has a unhcd` cxpIanaton that shows t s moraIIy Ic-
gtmatc, and that cen)unctiens taII nto thc doman ot tacts to bc
cxpIancd as moraIIy Icgtmatc. t , andq arc cach moraIIy Icgt-
matc tacts, wththcr rcspcctvc cxpIanatonsasmoraIIy Icgtmatc
bcngP, andQ, thcn tAq s aIso to bc cxpIancd asmoraIIy Ic-
gtmatc, and tPAQ docs not consttutc a 'unhcd` cxpIanaton
(but s a mcrc conuncton ot dttcrcnt cxpIanatons), thcn somc
turthcr cxpIanaton wII bc nccdcd. AppIyng ths to hoIdngs,
supposc thcrc arc scparatc cnttIcmcnt cxpIanatons showng thc
Icgtmacy otmy havng my hoIdngs, and ot your havng yours ,
and thc toIIowng qucston s askcd: 'hy s t Icgtmatc that
hoId what do and you hoId what you do, why s that ont tact
andahtbe relatiens centained witbin it Icgtmatc!` tthc conunc-
ton otthctwoscparatc cxpIanatons wII notb hcId to cxpIan n
a unhcd manncr thcIcgtmacy otthc ont tact (whosc Icgtmacy
s not vcwcd as bcng consttutcd by thc Icgtmacy otts constt-
ucnt parts), thcn somc pattcrncd prncpIcs otdstrbuton wouId
appcar to b ncccssary to show ts !cgtmacy, and to Icgtmatc
any nonunt sct ot hoIdngs.
th sccnthc cxpIanaton otpartcuIar tacts , thcusuaI practcc
s to consdcr somc conunctons otcxpIancd tacts as not rcqurng
scparatc cxpIanaton, but as bcng cxpIancd bythc conunctons ot
thc cxpIanatons ot thc conuncts. (t L! cxpIans e; and L

cx-
pIansc

thcnLI AL

cxpIans eI e

. ) twc rcqurcd that any two

conuncts and any u-pIacc conuncton had to bc cxpIancd n somc
unhcd tashon, and not mcrcIy by thc conuncton otscparatc and
dsparatc cxpIanatons, thcn wc wouId bc drvcn to rccct most ot
thc usuaI cxpIanatons and to scarch tor an undcrIyng pattcrn to
cxpIan what appcar to bc scparatc tacts. (Sccntsts, ot coursc,
ottcn do ottcr a unhcd cxpIanaton otapparcntIy scparatc tacts . ) t
wouId bc wcII worth cxpIorng thc ntcrcstng conscqucnccs ot
rchsng to trcat, cvcn n thc hrst nstancc, any two tacts as Icgt-
matcIy scparabIc, as havng scparatc cxpIanatons whosc conunc-
ton s aII thcrc s to thc cxpIanaton ot thcm. hat wouId our
thcorcs ot thc worId Iook Ikc twc rcqurcd unhcd cxpIanatons
tstrtbuttvc justtcc z z I
ot ah conunctons! Pcrhaps an cxtrapoIaton ot how thc world
Ioks to paranod pcrsons. Cr, to put t undsparagngIy, thc way
t appars to pcrsons havng ccrtan sorts otdopc cxpcrcnccs. (or
cxampIc, thc way t somctmcs appars to mc ahcr smokng mar-
uana. ) Such a vson ot thc worId dttcrs hndamcntaIIy trom thc
way wc normaIIy Iook at t, t s surprsng at hrst that a smpIc
condton on thc adcquacy otcxpIanatons otconunctons Icads to
t, untI wc rcaIzc that such a condton otadcquacymust Icad to
a vcw otthc worId as dccpIy and whoIIy pattcrncd.
A smIarcondton otadcquacy on cxpIanatons otthc moraI Ic-
gtmacy otconunctons otscparatc moraIIyIcgtmatctacts wouId
lcad to a vcw that rcqurcs scts ot hoIdngs to cxhbt an ovcraIl
pattcrnng. t sccms unIkcIy that thcrc wII bc compIIng argu-
mcnts tor mposng such a prncpIc otadcquacy. Somc may hnd
such a unhcd vson pIausbIc tor onIy onc rcaIm, tor cxampIc, n
thc moraI rcaIm conccrnng scts othoIdngs , but not n thc rcaIm
ot ordnary nonmoraI cxpIanaton, or vcc vcrsa. or thc casc ot
cxpIanng nonmoraI tacts, thcchaIIcngc wouId bc to producc such
a unhcd thcory. crc onc produccd that ntroduccd novcI consd-
cratons and cxpIancd no new tacts(othcrthan conunctons otoId
oncs) thc dccson as to ts acccptabIty mght bc a dthcuIt onc
and wouIddcpcnd IargcIy on how cxpIanatorIy satstyng was thc
ncw way wc saw thc oId tacts. n thc casc otmoraI cxpIanatons
and accounts whchshow thcmoraIIcgtmacy otvarous mcts, thc
stuaton s somcwhat dhcrcnt. rst, thcrc s cvcn Icss rcason (
bclcvc) to supposc a unhcd cxpIanaton appropratc and ncccs-
sary. Jhcrc s Icss nccd tor a greato dcgrcc ot cxpIanatory unty
than that provdcd whcn thc samc undcrIyng prncpIcs tor gcn-
cratng hoIdngs appcar n dttcrcnt cxpIanatons. (KawIs` thcory,
whch contans cIcmcnts ot what hc caIIs purc proccduraI ustcc,
docs not satsty a strong condton otadcquacy tor cxpIanng con-
unctons and cntaIs that such a condton cannot bc satshcd. )
SccondIy, thcrc s morc dangcr than n thc sccnthc casc that thc
dcmandtora unhcd cxpIanaton wII shapcthc 'moraI tacts` to bc
cxpIancd. (t can`t bc that both ot thoscare tacts tor thcrc` s no
unhcd pattcrncd cxpIanaton that wouId ycId thcm both.`)
Mcncc succcss n hndng a unhcd cxpIanaton otsuch scrousIy
prmcd tacts wII Icavc t uncIcar how wcII supportcd thc cxpIana-
tory thcory s.
zzz Byond the Minial State?
turn now to our hnaI posttivc argumcnt whch purports to
dcrvc thc concIuson that dstrbutvc sharcs shouIdn`t dcpcnd
upon naturaI asscts trom thc statcmcnt that thc dstrbuton ot
naturaI asscts s moraIIy arbtrary. Jhs argumcnt tocuscs on thc
noton otcquaIty. Sncc a Iargc part otKawIs` argumcnt scrvcs to
ust or show acccptabIc a partcuIar dcvaton trom cquaI sharcs
(somc may havc morc t ths scrvcs to mprovc thc pston ot
thosc worst ott), prhaps a rcconstructon ot hs undcrIyng argu-
mcnt that pIaccs cquaIty at ts ccntcr wII bc IIumnatng. Ot-
tcrcnccs bctwccn pcrsons (thc argumcnt runs) arc arbtrary trom a
moraI pont otvcw tthcrc s no moraI argumcnt tor thc concIu-
son thatthcrcoughtto bc thcdttcrcnccs. Pot aII such dttcrcnccs
wII bc moraIIy obcctonabIc. Jhat thcrc s no such moraI argu-
mcnt wII sccm mprtant onIy n thc casc otthosc dttcrcnccs wc
bcIcvc oughtn`t to obtan unIcss thcrc s a moraI rcason cs-
tabIshng that thcy ought to obtan. Jhcrc s , so to spak, a
prcsumpton aganst ccrtan dttcrcnccs that can bc ovcrrddcn (can
t mcrcIy bc ncutraIzcd!) by moraI rcasons, n thc abscncc ot any
such moraI rcasonsotsuth ccntwcght, thcrcought to bc cquaIty.
Jhuswc havc argumcnt O.
1 - Moldtngs ought to bc cguaI , unlcss thcrc ts a (wctghty) moraI
rcason why thcy ought to bc uncguaI .
z . coplc do not dcscrvc thc ways tn whtch thcy dthcr trom othcr pcr-
sons tn naturaI asscts, thcrc ts no moraI rcason why pcopIc ought to
dtttcr tn natural asscts .
5
. t thcrc ts no moraI rcason why pcopIc dtttcr tn ccrtatn tratts, thcn
thctr actually dtttcrtng tn thcsc tratts docs not provtdc, and cannot
gtvc rtsc to, a moraI rcason why thcy shouId dtttcr tn othcr tratts
(tor cxamplc, tn holdtngs).
Jhcrctorc,
4
coplc`s dtttcrtng tn naturaI asscts ts not a rcason why hoIdtngs
ought to bc uncgual .
5 . coplc`s holdtngs ought to bc cguaI unIcss thcrc ts somc othcr
moraI rcason (such as, tor cxampIc, ratstng thc posttton ot thosc
worst ott) why thctr hoIdtngs ought to bc uncgual .
Statcmcnts smIar to thc thrd prcmss wII occupy us shortIy.
Mcrc Ict us tocus on thc hrst prcmss , thc cquaIty prcmss. hy
ought popIc`s hoIdngs to bc cquaI, n thc abscncc ot spccaI
moraI rcason to dcvatc trom cquaIty! (hy thnk thcrceugbt to
tstrtbuttvc justtcc zz
5
bcan partcuIar pattcrn n hoIdngs!)hy s cquaIty thc rcst (or
rcctIncar moton) poston ot thc systcm, dcvaton trom whch
may bc causcd onIy by moraI torccs! Many argumcnts` torcquaI-
ty mcrcIyassert that dttcrcnccs bctwccn pcrsons arc arbtrary and
must bc usth cd. Chcn wrtcrs statc a prcsumpton n tavor ot
cquaIty n a torm such as thc toIIowng. 'Ohcrcnccs n trcatmcnt
otprsons nccd to bc usthcd. ` *' Jhc most tavorcd stuaton tor
ths sort ot assumpton s onc n whch thcrc s onc pcrson (or
group) trcatng cvcryonc, a pcrson (or group) havng ne rght or
cnttIcmcnt to bcstow thc partcuIar trcatmcnt as thcy wsh or
cvcn whm. but t go to onc movc thcatcrrathcr than to anothcr
adaccnt to t, nccd ustmy dttcrcnt trcatmcntotthc two thc-
atcr owncrs! sn`t t cnough that tcIt Ikc gong to onc ot thcm!
Jhat dhcrcnccs n trcatmcnt nccd to bc usthcd dees ht contcm-
porarygevonments. Mcrc thcrc s a ccntraIzcd proccss trcatng aII,
wth no cnttIcmcnt to bcstow trcatmcnt accordng to whm. Jhc
maor porton ot dstrbuton n a trcc soccty docs not, howcvcr,
comc through thc actons otthc govcrnmcnt, nor docs taIurc to
ovcrturn thc rcsuIts ot thc IocaIzcd ndvduaI cxchangcs const-
tutc statc acton. ` hcn thcrc s noene dong thc trcatng, and
aII arc cnttIcd to bcstow thcr hoIdngs as thcy wsh, t s not
cIcar why thc maxm that dhcrcnccs n trcatmcnt must bc us-
thcd shouId bc thought to havc cxtcnsvc appIcaton. hy must
dttcrcnccs bctwccn pcrsons bc usthcd! hy thnk that wc must
changc, or rcmcdy, or compcnsatc tor any ncquaIty whch can bc
changcd, rcmcdcd, or compcnsatcd tor! Pcrhaps hcrc s whcrc
socaI coopraton cntcrs n. though thcrc s no prcsumpton ot
cquaIty (n, say, prmary goods, or thngs pcopIc carc about)
amongaII pcrsons , prhaps thcrc s oncamongpcrsonscoopratng
togcthcr. but t s dthcuIt to scc an argumcnt tor ths, surcIy not
aII pcrsons who coopratc togcthcr cxpIctIy agrcc to ths prc-
sumpton as onc otthc tcrms ot thcr mutuaI coopcraton. And ts
acccptancc wouIdprovdc an untortunatc nccntvc tor wcII-ottpcr-
sons to rctusc to coopratcwth, or to aIIow any otthcrnumbcr to
coopratc wth, somc dstant pcopIc who arc Icss wcII ottthan any
among thcm. or cntcrng nto such socaI coopcraton, bcnchcaI
to thosc Icss wcII ott, wouId scrousIy worscn thc poston ot thc
wcII-ott group by crcatng rcIatons ot prcsumptvc cquaIty bc-
twccn thcmscIvcs and thc worsc-ott group. n thc ncxt chaptcr
224 Byond the Minial State?
shaII consdcr thc maor rcccnt argumcnt tor cquaIty, onc whch
turns out to bc unsucccsstuI. Mcrc wc nccdonIy notc that thc con-
nccton argumcnt O torgcs bctwccn not dcscrvng naturaI asscts
and somc concIuson about dstrbutvc sharcsassumo cquaIty as a
norm (that can bc dcvatcd trom wth, and onIy wth, moraI
rcason), and hcncc argumcnt O tscIt cannot bc uscd to cstabIsh
any such concIuson about cquaIty.
THE NE GATI VE ARGUMENT
LnsucccsstuI n our qucst tor a convncng postvc argumcnt to
conncct thc cIam that pcopIc don` t dcscrvc thcr naturaI asscts
wth thc concIuson that dttcrcnccs n hoIdngs ought not to bc
bascd upon dttcrcnccs n naturaI asscts, wc now turn to what wc
caIIcd thc ncgatvc argumcnt. thc usc ot thc cIam that pcopIc
don`t dcscrvc thcr naturaI asscts to rcbut a possbIc coun-
tcrargumcnt to KawIs` vcw. (tthc cquaIty argumcnt O wcrc ac-
ccptabIc, thc ncgatvc taskotrcbuttng possbIc countcrconsdcra-
tons wouId torm part ot thc postvc task ot showng that a
prcsumpton tor cquaIty hoIds unovcrrddcn n a partcuIar casc. )
Lonsdcr thc toIIowng possbIc countcrargumcnt E to KawIs.
. copIc dcscrvc thctr naturaI asscts.
2 . t pcopIc dcscrvc 7, thcy dcscrvc any T that hows trom 7.
5
. copIc` s hoIdtngs how trom thctr naturaI asscts.
Jhcrctorc,
4. copIc dcscrvc thctr hoIdtngs.
5 . t popIc dcscrvc somcthtng, thcn thcy ought to havc tt (and thts
ovcrrtdcs any prcsumptton ot cguaItty thcrc may bc about that
thtng).
KawIswouId rcbut ths countcrargumcnt to hs poston by dcny-
ng ts hrst prcmss. And so wc sccsme connccton bctwccn thc
cIam that thc dstrbuton ot naturaI asscts s arbtrary and thc
statcmcnt that dstrbutvc sharcs shouId not dcpcnd upon naturaI
asscts. Mowcvcr, no grcat wcght can bc pIaccd upon tbis conncc-
ton. or thcrc arc othcr countcrargumcnts , n a smIar vcn, tor
cxampIc thc argumcnt that bcgns.
tstrtbutvc justtcc 2 25
1 . t popIc havc 7 , and thctr havtng 7 (whcthcr or not thcy dcscOc
to havc tt) docs not vtoIatc anyonc cIsc`s (Lockcan) rtght or cn-
tttIcmcnt to 7, and T hows trom (artscs out ot, and so on) 7 by a
proccss that docs not ttscIt vtoIatc anyonc`s (Lockcan) rtghts or cn-
tttIcmcnts, " thcn thc pcrson ts cntttIcd to T.
2 . copIc` s havtng thc naturaI asscts thcy do docs not vtoIatc anyonc
cIsc`s (Lockcan) cntttIcmcnts or rtghts.
and gocs on to arguc that popIc arc cnttIcd to what thcy makc,
to thc products ot thcr Iabr, to what othcrs gvc thcm or
cxchangc. t s not truc, tor cxampIc, that a pcrson carns Y (a
rght to kccp a pantng hc`s madc, prasc tor wrtngA Tb e/
ustice, and so on) onIy thc`s carncd (or othcrwsc desows) what-
cvcr hc uscd (ncIudng naturaI asscts) n thc proccss otcarnng Y.
Somc otthc thngs hc uscs hc ust may bave, not IIcgtmatcIy. t
nccdn`t bc that thc toundatons undcrIyng dcscrt arc thcmscIvcs
dcscrvcd, ahtbewa dwn.
At thc vcry Icast, wc can paraIIcI thcsc statcmcnts about dcscrt
wth oncs about cnttIcmcnts. And t, corrcctIy, wc dcscrb pco-
pIc as cnttIcd to thcr naturaI asscts cvcn tt`s not thc casc that
thcy can bc sad to dcscrvc thcm, thcn thc argumcnt paraIIcI to E
abovc, wth 'arc cnttIcd to` rcpIacng 'dcscrvc` throughout, wih
go through. Jhs gvcs us thc acccptabIc argumcnt L.
1 . copIc arc cntttIcd to thctr naturaI asscts.
z . t popIc arc cntttIcd to somcthtng, thcy arc cntttIcd to whatcvcr
hows trom tt (vta spcthcd typcs ot proccsscs).
5
copIc`s hoIdtngs how trom thctr naturaI asscts.
Jhcrctorc,
4.
copIc arc cntttIcd to thctr hoIdtngs.
5 . t pcopIc arc cntttIcd to somcthtng, thcn thcy ought to havc tt (and
A proccss, wc mght strcngthcn thc antcccdcnt by addng, oIthc sort that
would crcatc an cnttlcmcnt to Y I thc prson wcrc cnttlcd to X . usc
'Lockcan` rghts and cnttlcmcnts to rcIcr to thosc (dscusscd n Fart l) aganst
Iorcc, Iraud, and so on, whch arc to bc rccognzcd n thc mnmal statc. 5ncc
bclcvc thcsc arc thc only rghts and cnttlcmcnts pcoplc posscss (apart Irom
thosc thcy spcally acqurc), nccdn`t havc ncludcd thc spchcaton to Lock-
can rghts. Lnc who bclcvcs somc havca rght to thc Iruts oIothcrs' labr wll
dcny thc truth oIthc hrst prcmss d statcd. Ithc Lockcan spcchcaton wcrc
not ncludcd, hc mght grant thc truth oI I , whlc dcnyng that oI2 or oIlatcr
stcps.
Byond the Minial State?
thts ovcrrtdcs any prcsumptton ot cguaItty thcrc may bc about hoId-
tngs).
hcthcr or not pcopIc`s naturaI asscts arc arbtrary trom a moraI
pnt otvcw, thcy arc cnttIcd to thcm, and to what hows trom
thcm.
A rccognton ot popIc`s cnttIcmcnts to thcr naturaI asscts
(thc hrst prcmss otargumcnt L) mght bc ncccssary to avod thc
strngcnt appIcaton otthc dhcrcncc prncpIc whch wouId Icad,
wc aIrcady havc sccn, to cvcn strongcr propcrty rghts n othcr
prsons than rcdstrbutvc thcorcs usuaIIy ycId. KawIs tccIs that
hc avods ths * bccausc pcopIc n hs orgnaI poston rank thc
prncpIcotIbcrty as IcxcographcaIIy pror to thcdttcrcncc prn-
cpIc, appIcd not onIy to cconomc wcII-bcng but to hcaIth,
Icngth otItc, and so on. (Mowcvcr, scc notc z abvc. )
c havc tound no cogcnt argumcnt to (hcIp) cstabIsh that dt-
tcrcnccs n hoIdng arsng trom dhcrcnccs n naturaI asscts shouId
bc cImnatcd or mnmzcd. Lan thc thcmc that popIc`s naturaI
asscts arc arbtrary trom a moraI pont otvcw bc uscd dttcrcntIy,
tor cxampIc, to ust a ccrtansbaing ot thc orgnaI poston!
LIcarIy tthcshapng s dcsgncdto nuII dttcrcnccs nhoIdngs
duc to dttcrcnccs n naturaI asscts, wc nccd an argumcnt tor ths
goaI , and wc arc backto our unsucccsstuI qucst tor thc routc to thc
concIuson that such dttcrcnccs n hoIdngs ought to bc nuIIhcd.
nstcad, thc shapng mght takc pIacc by cxcIudng thc partc-
pants n thc orgnaI poston trom knowng otthcr own naturaI
cndowmcnts. n ths way thc tact that naturaI cndowmcnts arc ar-
btrary trom a moraI pont otvcw wouId hcIp to mposc and to
ustty thc vcI otgnorancc. but how docs t do ths, why shouId
knowIcdgc ot naturaI cndowmcnts bc cxcIudcd trom thc orgnaI
I

othng oImoral sgnhcancc could how Irom what was arbtrary, thcn
no parttcular prson`s cxstcncc could b oI moral sgnhcancc, sncc whch oI
thc
.
many sprm cclls succccds n Icrtlzng thc cgg ccll s (so Iar d wc know)
arbtrary
.
Irom a moral pont oI vcw. hs suggcsts anothcr, morc vaguc,
rcmark dtrcctcd to thc sprt oI Kawls` pston rathcr than to ts lcttcr. Lach
cxstng rson s thc product oI a procss whcrcn thc onc sprm ccll whch
succccds 1b no morc dcscrvng than thc mllons that Ial. 5hould wc wsh that
roccss had bccn Iarcr` d udgcd by Kawls` standards, that all ncqutcs` n
tt had bccn rccthcd! c should b apprchcnsvc abut any prncplc that
would condcmn morally thc vcry sort oIproccss that brought us to bc, a prnc-
plc that thcrcIorc would undcrcut thc lcgtmacy oIourvcry cxstng.
tstrtbuttvc justtcc
227
poston! PrcsumabIy thc undcrIyng prncpIc wouId bc that t
any partcuIar tcaturcs arc arbtrary trom a moraI pont ot vcw,
thcnpcrsons n thc orgnaI poston shouId not know thcy posscss
thcm. but ths wouId cxcIudc thcr knowngantbing about thcm-
scIvcs, tor cach ot thcr tcaturcs (ncIudng ratonaIty, thc abIty
to makc choccs , havng a Itc span otmorc than thrcc days, hav-
ng a mcmory, bcng abIc to communcatc wth othcr organsms
Ikc thcmscIvcs) wII bc bascd upon thc tact that thc spcrm and
ovum whch produccd thcm contancd partcuIar gcnctc matcraI .
Jhc physcaI tact that thosc partcuIar gamctcs contancd partcu-
Iar organzcd chcmcaIs (thc gcncs tor pcopIc rathcr than tor
muskrats or trccs) s arbtrary/remameraleint view, t s , trom
amoraI pont otvcw, an accdcnt. Yct thc prsons n thc orgnaI
poston arc to know somc otthcr attrbutcs.
Pcrhaps wc arc too quck whcn wc suggcst cxcIudng knowIcdgc
otratonaIty, and so torth, mcrcIy bccausc thcsc tcaturcsarise/rem
moraIIy arbtrary tacts. or thcsc tcaturcs aIso havc moraI sgnh-
cancc, that s, moraI tacts dcpnd upon or arsc trom thcm. Mcrc
wc scc an ambguty n sayng that a tact s arbtrary trom a moraI
pont ot vcw. t mght mcan that thcrc s no moraI rcason why
thc tact ought to bc that way, or t mght mcan that thc tact` s
bcng that way s otno moraI sgnhcanccandhas no moraI consc-
qucnccs. KatonaIty, thc abIty to makc choccs, and so on, arc
not moraIIy arbtrary n ths sccond scnsc. but t thcy cscapc
cxcIuson on ths ground, now thc probIcm s that thc naturaI as-
scts, knowIcdgc otwhch KawIs wshcs to cxcIudc trom thc org-
naI poston, arc not moraIIy btrary n ths scnsc cthcr. At any
ratc, thc cnttIcmcnt thcory`s cIam that moraI cnttIcmcnts may
arsc trom or bc partaIIy bascd upon such tacts s what s now at
ssuc. Jhus, n thc abscncc ot an argumcnt to thc cttcct that dt-
tcrcnccs n hoIdngs duc to dttcrcnccs n naturaI asscts ought to bc
nuIIhcd, t s not cIcar how anythng about thc orgnaI poston
can bc bascd upon thc (ambguous) cIam that dttcrcnccs n natu-
raI asscts arc arbtrary trom amoraI pont otvcw.
228 Beyond the Minimal State?
COLLECTI VE AS S ETS
KawIs` vcw sccms to bc that cvcryonc has somc cnttIcmcnt or
cIam on thc totaIty ot naturaI asscts (vcwcd as a pooI), wth no
onc havng dttcrcntaI cIams . Jhc dstrbuton ot naturaI abItcs
s vcwcd as a 'coIIcctvc assct. ` *
c scc thcn that thc dtttcrcncc prtnctpIc rcprcscnts , tn cttcct, an agrcc-
mcnt to rcgard thc dtstrtbutton ot naturaI taIcnts as a common assct and
to sharc tn thc bcnchts ot thts dtstrtbutton whatcvcr tt turns out to bc.
Jhosc who havc bccn tavorcd by naturc, whocvcr thcy arc, may gatn
trom thctr good tortunc onIy on tcrms that tmprovc thc sttuatton ot
thosc who havc Iost out. . . . Po onc dcscrvcs hts grcatcr naturaI capac-
tty nor mcrtts a morc tavorabIc starttng pIacc tn soctcty. but tt docs not
toIIow that onc shouId cItmtnatc thcsc dtsttncttons. Jhcrc ts anothcr way
to dcaI wtth thcm. Jhc bastc structurc can bc arrangcd so that thcsc con-
ttngcnctcs work tor thc good ot thc Icast tortunatc.
PcopIc wII dttcr n how thcy vcw rcgardng naturaI taIcnts as a
common assct. Somc wII compIan, cchong KawIs aganst utI-
taransm, * that ths 'docs not takc scrousIy thcdstncton bc-
twccn pcrsons`, and thcy wII wondcr whcthcr any rcconstructon
ot Kant that trcats pcopIc`s abItcs and taIcnts as rcsourccs tor
othcrs can bc adcquatc. 'Jhc two prncpIcs ot ustcc . . . ruIc
out cvcn thc tcndcncy to rcgard mcn as mcans to onc anothcr`s
wcItarc. ` * CnIy t onc prcsscs vo hard on thc dstncton bc-
twccn mcn and thcr taIcnts , asscts, abItcs , and spccaI trats .
hcthcr any cohcrcnt conccpton ot a pcrson rcmans whcn thc
dstncton s so prcsscd s an opcn qucston. hy wc, thck wth
partcuIar trats, shouId bc chccrcd that (onIy) thc thus purhcd
mcn wthn us arc not rcgardcd as mcans s aIso uncIcar.
PcopIc`s taIcnts and abItcsare an assct to a trcc communty,
othcrs nthccommunty bcncht trom thcrprcscncc andarcbcttcr
ottbccausc thcy arc thcrc rathcr than cIscwhcrc or nowhcrc. (Cth-
crwscthcy wouIdn` tchooscto dcaI wth thcm. ) Ltc, ovcr tmc, s
not a constant-sum gamc, whcrcn tgrcatcr abIty or cttort Icads
to somc gcttng morc, that mcans that othcrs must Iosc. n a trcc
soccty, pcopIc`s taIcnts do bcncht othcrs , and not onIy thcm-
scIvcs. s t thc cxtracton ot cvcn morc bcncht to othcrs that s
tstrtbuttvc justtcc
supposcd to ustty trcatng pcopIc`s naturaI asscts as a coIIcctvc
rcsourcc! hat usthcs ths cxtracton!
Po onc dcscrvcs hts grcatcr naturaI capactty nor mcrtts a morc tavorabIc
starttng pIacc tn soctcty. but tt docs not toIIow that onc shouId cItmt-
natc thcsc dtsttncttons. Jhcrc ts anothcr way to dcaI wtth thcm. Jhc
bastc structurc can bc arrangcd so that thcsc conttngcnctcs work tor thc
good ot thc Icast tortunatc.
And tthcrc wcrcn` t 'anothcr way to dcaI wth thcm`! ouId t
thcn toIIow that onc shouId cImnatc thcsc dstnctons! hat cx-
actIy wouId bc contcmpIatcd n thc casc ot naturaI asscts! tpco-
pIc`s asscts and taIcnts teu!dn't bc harncsscd to scrvc othcrs , wouId
somcthng bc donc to rcmovc thcsc cxccptonaI asscts and taIcnts ,
or to torbd thcm trom bcng cxcrcscd tor thc pcrson`sown bcncht
or that ot somconc cIsc hc chosc, cvcn though ths Imtaton
wouIdn` t mprovc thc absoIutc poston ot thosc somchow unabIc
to harncss thc taIcnts and abItcs otothcrs tor thcr own bcncht!
s t so mpIausbIc to cIam thatcnvy undcrIcs ths conccpton ot
ustcc, tormng part otts root noton!
ll thc lcxcographc prorty that Kawlsclams Ior lbrty nthc orgnal
pston prcvcnt thc dIkrcncc prncplc Irom rcqurng a hcad taxon assts and
abltcs! hc lcgtmacy oIahcad tax ssugested by Kawls` spakng oIcollcc-
tvc asscts` and common asscts. `hos undcrutlzng thcrassts and abltcs
an msusng a publc assct. (5quandcrng publc proprty!) Kawls may ntcnd
no such strong nkrcnccs Irom hs tcrmnology, butwc nccd to hcar morc abut
why thosc n thc orgnal pston wouldn`t acccpt thc strong ntcrprctaton.
hc noton oIlbrty nccds clabraton whch s to cxcludc a hcad tax and yct
allow thc othcr taxaton schcmcs. Asscts and abltcscan bc harncsscd wthout
a hcad tax, and harncssng` s an appropratc tcrm-as twould b Ior a horsc
harncsscd to a wagon whch dosn`t hae to movc cvcr, but It dos, t must
draw thc wagon along.
th rcgard to cnvy, thc dIIcrcncc prncplc, appltcd to thcchoccbctwccn
cthcr A havng tcn and 8 havng hvc or A havng cght and b havng hvc,
would Iavor thc lattcr. hus, dcsptc Kawls` vcw (pp. }g8O), thc dIIcrcncc
prncplc s ncIhccnt n that t somctmcs wll Iavor a status quo aganst a
Parcto-bcttcr but morc uncqual dstrbuton. hc ncIhccncycould bc rcmovcd
by shItng Irom thc smplc dIIcrcncc prncplc to a staggcrcd dhcrcncc prnc-
plc, whch rccommcnds thc maxmzaton oI thc poston oI thc lct wcll-oII
group, and subject to that constraint thc maxmzaton oIthc poston oI thc ncxt
lcast wcll-oIIgroup, and ths pnt also s madc by A. K. Sn (Collectie Choice
and Social Welfare, p. I 8, notc) and s knowlcdgcd by Kawls (p. 8). but
such a staggcrcd prncplc docs not cmbody a prcsumpton n Iavor oI cqualty
Byond the Minimal State?
c havc uscd our cnttIcmcnt conccpton otustcc n hoIdngs
to probc KawIs` thcory, sharpnng our undcrstandng otwhat thc
cnttIcmcnt conccpton nvoIvcs by brngng t to bcar upon an aI-
tcrnatvc conccpton ot dstrbutvc ustcc, onc that s dccp and
cIcgant. AIso, bcIcvc, wc havc probcd dccp-Iyng nadcquaccs
n KawIs` thcory. am mndhI ot KawIs` rctcratcd pont that a
thcory cannot bc cvaIuatcd by tocusng upon a sngIc tcaturc or
part ot t, nstcad thc whoIc thcory must bc asscsscd (thc rcadcr
wII not know how whoIc a thcory can bc untI hc has rcad aII ot
KawIs` book), and a pcrtcct thcory s not to bc cxpcctcd. Mowcvcr
wc havc cxamncd an mportant part ot KawIs` thcory, and ts
crucaI undcrIyng assumptons. am as wcII awarc as anyonc ot
how skctchy my dscusson otthc cnttIcmcntconccpton otustcc
n hoIdngs has bccn. but no morc bcIcvc wc nccd to havc
tormuIatcd a compIctc aItcrnatvc thcory n ordcr to rccct KawIs`
undcnabIygrcat advancc ovcr utItaransm, than KawIs nccdcd a
compIctc aItcrnatvc thcory bctorc hc couId rccct utItaransm.
hat morc docs onc nccd or can onc havc, n ordcr to bcgn
progrcssng toward a bcttcr thcory, than a skctchota pIausbIcaI-
tcrnatvc vcw, whch trom tsvcrydttcrcnt pcrspcctvc hghIghts
thc nadcquaccs ot thc bcst cxstng wcII-workcd-out thcory!
Mcrc, as n so many thngs , wc Icarn trom KawIs.
c bcgan ths chaptcr`s nvcstgaton otdstrbutvc ustcc n
ordcr to consdcr thc cIam that a statc morc cxtcnsvc than thc
mnmaI statc couId bc usthcd on thc grounds that t was ncccs-
sary, or thc most appropratc nstrumcnt, to achcvc dstrbutvc
ustcc. Accordng to thc cnttIcmcnt conccpton ot ustcc n
hoIdngs that wc havc prcscntcd, thcrc s no argumcnt bascd upon
thc hrst two prncpIcs ot dstrbutvc ustcc, thc prncpIcs ot
acquston and ot transtcr, tor such a morc cxtcnsvc statc. tthc
sct ot hoIdngs s propcrIy gcncratcd, thcrc s no argumcnt tor a
morc cxtcnsvc statc bascd upon dstrbutvc ustcc. * (Por, wc
havc cIamcd, wII thc Lockcan provso actuaIIy provdc occason
tor a morc cxtcnsvc statc. ) t, howcvcr, thcsc prncpIcs arc vo-
Iatcd, thc prncpIc ot rccthcaton comcs nto pIay. Pcrhaps t s
otthcsortusm byKawls. Mow thcncouldKawlsustq an ncqualtyspecial to
'
hc staggcrcd prncplc to somconc n thc lcast wcll-ott group! Pcrhaps thcsc
tssucs undcrlc thc unclarty (scc p. 8) to whcthcr Kawls acccpts thc
staggcrcd prncplc.
tstrtbuttvc justtcc
bcst to vcw somc pattcrncd prncpIcs ot dstrbutvc ustcc as
rough ruIcs ot thumb mcant to approxmatc thc gcncraI rcsuIts ot
appIyng thc prncpIc ot rccthcaton ot nustcc. or cxampIc,
IackngmuchhstorcaI ntormaton, andassumng ( I ) that vctms
ot nustcc gcncraIIy do worsc than thcy othcrwsc wouId and (z)
that thosc trom thc Icast wcII-ott group n thc soccty havc thc
hghcst probabItcs ot bcng thc (dcsccndants ot) vctms ot thc
most scrous nustcc who arc owcd compcnsaton by thosc who
bcnchtcd trom thc n ustccs (assumcd to bc thosc bcttcr ott,
though somctmcs thc pcrptrators wII bc othcrs n thc worst-ott
group), thcn a reugb ruIc ot thumb tor rccttyng n ustccs mght
sccm to bc thc toIIowng. organzc soccty so as to maxmzc thc
poston ot whatcvcr group cnds up Icast wcII-ott n thc soccty.
Jhs partcuIar cxampIc may wcII bc mpIausbIc, but an mpor-
tant qucston tor cach soccty wII bc thc toIIowng. gvcnits par-
tcuIar hstory, what opcrabIc ruIc ot thumb bcst approxmatcs thc
rcsuIts ot a dctaIcd appIcaton n that soccty ot thc prncpIc ot
rccthcaton! Jhcsc ssucs arc vcry compIcx and arc bcst Ictt to a
hII trcatmcnt ot thc prncpIc ot rccthcaton. n thc abscncc ot
such a trcatmcnt appIcd to a partcuIar soccty, onc cannet usc thc
anaIyss and thcory prcscntcd hcrc to condcmn any partcuIar
schcmc ot transtcr paymcnts, unIcss t s cIcar that no consdcr-
atons ot rccthcaton ot nustcc couId appIy to ustty t. AI-
though to ntroducc socaIsm as thc punshmcnt tor our sns
wouId bc to go too tar, past n ustccs mght bc so grcat as to
makc ncccssary n thc short run a morc cxtcnsvc statc n ordcr to
rcctty thcm.
CHAPTER
8
Equalit, Env,
Ex
p
loitation, Etc.
E QUALI TY
TML Icgtmacy ot aItcrng socaI nsttutons to achcvc
grcatcr cquaIty ot matcraI condton s , though ottcn assumcd,
rarcIyargued tor. rtcrs notc that n a gvcn country thc wcaIth-
cstn pcrccnt otthcpopuIaton hoIds morc than thatpcrccntagcot
thc wcaIth, and thc poorcstn pcrccnt hoIds Icss , that to gct to thc
wcaIth otthc topn pcrccnt trom thc poorcst, onc must Iook at thc
bottom pcrccnt (whcrc s vastIy grcatcr than n), and so torth.
Jhcy thcn procccd mmcdatcIy to dscuss how ths mght bc aI-
tcrcd. Cn thc cnttIcmcnt conccpton ot ustcc n hoIdngs , onc
tannet dccdc whcthcr thc statc must do somcthng to aItcr thc st-
uaton mcrcIy by Iookng at a dstrbutonaI prohIc or at tacts such
as thcsc. t dcpcnds upon how thc dstrbuton camc about. Somc
proccsscs ycIdng thcsc rcsuIts wouId bc Icgtmatc, and thc
varous partcs wouId bc cnttIcd to thcr rcspcctvc hoIdngs. t
thcsc dstrbutonaI tacts did arsc by a Icgtmatc proccss , thcn
thcy thcmscIvcs arc Icgtmatc. Jhs s, ot coursc, net to say that
thcy may not bc changcd, provdcd ths can bc donc wthout
voIatngpcopIc`s cnttIcmcnts. Any pcrscns whotavor apartcuIar
LguaItty, Lnvy, LxpIottatton, Ltc. 2
33
cnd-statc pattcrn may choosc to transtcr somc or aII ot thcr own
hoIdngs so as (at Icast tcmporarIy) morc ncarIy to rcaIzc thcr
dcsrcd pattcrn.
Jhc cnttIcmcnt conccpton ot ustcc n hoIdngs makcs no
prcsumpton n tavor otcquaIty, or any othcr ovcraII cnd statc or
pattcrnng. t cannot mcrcIy bc assumed that cquaIty must bc
buIt nto any thcory ot ustcc. Jhcrc s a surprsng dcarth ot
argumcnts tor cquaIty capabIc otcomng to grps wth thc consd-
cratons that undcrIc a nongIobaI and nonpattcrncd conccpton ot
ustcc n hoIdngs . ' (Mowcvcr, thcrc s no Iack ot unsupportcd
statcmcnts ota prcsumpton n tavor otcquaIty. ) shaII consdcr
thc argumcnt whch has rcccvcd thc most attcnton trom phIoso-
phcrs n rcccnt ycars, that ottcrcd by bcrnard IIams n hs n-
hucntaI cssay 'Jhc dca ot LquaIty. ` (Po doubt many rcadcrs
wII tccI that aII hangs on somc othcr argumcnt, wouId Ikc to
scc tbat argumcnt prccscIy sct out, n dctaI. )
Lcavtng astdc prcvcnttvc mcdtctnc, thc propcr ground ot dtstrtbutton
ot mcdtcaI carc ts tII hcaIth. thts ts a ncccssary truth. Pow tn vcry many
soctcttcs, whtIc tII hcaIth may work as a ncccssary condttton ot rccctvtng
trcatmcnt, tt docs not work as a suthctcnt condttton, stncc such trcat-
mcnt costs moncy, and not alI who arc tII havc thc moncy, hcncc thc
Qosscsston ot suthctcnt moncy bccomcs tn tact an addtttonaI ncccssary
condttton ot actuaIIy rccctvtng trcatmcnt. . . . hcn wc havc thc sttua-
tton tn whtch, tor tnstancc, wcaIth ts a turthcr ncccssary condttton ot thc
rccctpt ot mcdtcaI trcatmcnt, wc can oncc morc appIy thc nottons ot
cguaItty and tncguaItty. not now tn conncctton wtth thc tncguaItty bc-
twccn thc wcII and thc tII , but tn conncctton wtth thc tncgualtty bc-
twccn thc rtch tII and thc poor tII , stncc wc havc stratghttorwardIy
thc sttuatton ot thosc whosc nccds arc thc samc not rccctvtng thc samc
trcatmcnt, though thc nccds arc thc ground ot thc trcatmcnt. Jhts ts an
trrattonaI statc ot attatrs . . . tt ts a sttuatton tn whtch rcasons arc tn-
suthctcntIy opcrattvc, tt ts a sttuatton tnsuthctcntIy controIIcd by
rcasonsand hcncc by rcason ttscIt.
IIams sccms to bc argung that tamong thc dttcrcnt dc-
scrptons appIyng to an actvty, thcrc s onc that contans an
'ntcrnaI goaI` ot thc actvty, thcn (t s a ncccssary truth that)
thc onIy propcr grounds tor thc pcrtormancc otthc actvty, or ts
aIIocaton t t s scarcc, arc conncctcd wth thc cttcctvc achcvc-
mcnt ot thc ntcrnaI goaI . tthc actvty s donc upon othcrs, thc
onIy propcr crtcron tor dstrbutng thc actvty s thcr nccd tor
z54 Beyond the Minimal State?
t, t any. Jhus t s that IIams says (t s a ncccssary truth
that) thc onIy propcr crtcron tor thc dstrbuton otmcdcaI carc
s mcdcaI nccd. PrcsumabIy, thcn, thc onIy propcr crtcron tor
thc dstrbuton ot barbcrng scrvccs s barbcrng nccd. but why
must thc ntcrnaI goaI otthc actvty takc prcccdcncc ovcr, tor cx-
ampIc, thc pcrson`s partcuIar purposc n pcrtormng thc actvty!
(c gnorc thcqucstonotwhcthcronc actvty cantaII undcr two
dhcrcnt dcscrptons nvoIvng dhcrcnt ntcrnaI goaIs. ) tsomc-
onc bccomcs a barbcr bccausc hc Ikcs taIkng to a varcty otdt-
tcrcnt pcopIc, and so on, s t unust othm to aIIocatc hs scrvccs
to thosc hc most Ikcs to taIk to! Cr thc works as a barbcr n
ordcr to carn moncy to pay tuton at schooI , may hc cut thc har
otonIy thosc who pay or tp wcII! hy may not a barbcr usc cx-
actIy thc samc crtcra n aIIocatng hs scrvccs as somconc cIsc
whosc actvtcs havc no ntcrnaI goaI nvoIvng othcrs! Pccd a
gardcncr aIIocatc hs scrvccs to thosc Iawnswhch nccd hm most!
nwhatway docs thc stuaton ota doctor dttcr!hy must hs
actvtcs bc aIIocatcd va thc ntcrnaI goaI ot mcdcaI carc! (t
thcrc was no 'shortagc, ` couIdsomctben bc aIIocatcd usng othcr
crtcra as wcII!)tsccms cIcar thatbe nccdn` tdo that, ust bccausc
hc has ths skII , why shouIdbe bcar thc costs otthc dcsrcd aIIoca-
ton, why s hc Icss cnttIcd to pursuc hs own goaIs, wthn thc
spccaI crcumstanccs ot practcng mcdcnc, than cvcryonc cIsc!
So t ssciet that, somchow, s to arrangc thngs so that thc doc-
tor, n pursung hs owngoaIs , aIIocatcs accordngto nccd, tor cx-
ampIc, thc soccty pays hm to do ths. but why must thc soccty
do ths! (ShouId thcy do t tor barbcrng as wcII!) PrcsumabIy,
bccausc mcdcaI carc s mportant, pcopIc nccd t vcry much. Jhs
s truc ot tood as wcII, though tarmng docs nt havc an ntcrnaI
goaI that rctcrs to othcr pcopIc n thc way doctorng docs. hcn
thc Iaycrs ot IIams` argumcnt arc pccIcd away, what wc arrvc
at s thc cIam that soccty (that s, cach otus actng togcthcr n
somc organzcd tashon) shouId makc provson tor thc mportant
nccds otaII otts mcmbcrs. Jhs cIam, otcoursc, has bccn statcd
many tmcs bctorc. Ocsptc appcaranccs, IIams prcscnts no
argumcnt tor t. Lkc othcrs, IIams Iooks onIy to qucstons ot
c havc dscussd llams` pston wthout ntmducng an cssntalst
vcw that somc actvtcs ncccsrly nvolvcccrtan goals. nstcad wc haw tcd
Lqualty, Lnvy, LxplOtatOn, Ltc . z55
aIIocaton. !c gnorcs thc qucston otwhcrc thc thngs oractons
to bc aIIocatcd and dstrbutcd comc trom. LonscqucntIy, hc docs
not consdcr whcthcr thcy comc aIrcady tcd to pcopIc who havc
cnttIcmcnts ovcr thcm (surcIy thc casc tor scrvcc actvtcs, whch
arc pcopIc`s actins), pcopIc who thcrctorc may dccdc tor thcm-
scIvcs to whom thcy wII gvc thc thng and on what grounds.
E QUALI TY OF OPPORTUNI TY
LquaIty ot opportunty has sccmcd to many wrtcrs to bc thc
mnmaI cgaItaran goaI , qucstonabIc (tat aII) onIy tor bcng too
wcak. (Many wrtcrs aIso havc sccn how thc cxstcncc otthc tamIy
prcvcnts hIIy achcvng ths goaI. ) Jhcrc arc two ways to attcmpt
to provdc such cquaIty. by drcctIy worscnng thc stuatons ot
thosc morc tavorcd wth opportunty, or by mprovng thc stua-
ton ot thosc Icss wcII-tavorcd. Jhc Iattcr rcqurcs thc usc ot
rcsourccs, and so t too nvoIvcs worscnng thc stuaton ot somc.
thosc trom whom hoIdngs arc takcn nordcr to mprovc thc stua-
ton ot othcrs. but hoIdngs to whch thcsc pcopIc arc cnttIcd
may not bc sczcd, cvcn to provdc cquaIty ot opportunty tor
othcrs. n thc abscncc ot magc wands, thc rcmanng mcans to-
ward cquaIty otopportunty s convncng pcrsons cach to choosc
to dcvotc somc ot thcr hoIdngs to achcvng t.
Jhc modcI ota racc tor a przc s ottcn uscd n dscussons ot
cquaIty otopportunty. A racc whcrc somc startcd cIoscr to thc
hnsh Inc than othcrs wouId bc untar, as wouId a racc whcrc
somc wcrc torccd to carry hcavy wcghts, or run wth pcbbIcs n
thcr sncakcrs. but Itc s not a racc n whch wc aII compctc tor a
przc whch somconc has cstabIshcd, thcrc s no unhcd racc, wth
somcpcrson udgng swttncss. nstcad, thcrcarcdhcrcnt pcrsons
thc goals to descriptions oIthc actvtcs. lor cssntalst ssucs only bcloud thc
dscusson, and thcy stIl lcavc opn thcqucstonoIwhy thc onlyproprground
Ior allocatng thc tvty s ts cssntalst goal. hc motvc Ior makng such an
cssntalst clam would b toavod somconc`s sayng. lct vhmoctorng` b an
actvty ust lkc dotorng cxccpt that its goal s to carn moncy Ior thc pract-
toncr, has lIams prcscntcd any rcason why schoctoring scrvccs should b
allocatcd accordng to nccd!
Beyond the Minimal State?
scparatcIy gvng othcr pcrsons dttcrcnt thngs . Jhosc who do thc
gvng (cach ot us , at tmcs) usuaIIy do not carc about dcscrt or
about thc handcaps Iabrcd undcr, thcy carc smpIy about what
thcy actuaIIy gct. Po ccntraIzcd proccss udgcs pcopIc`s usc otthc
opportuntcs thcy had, that s not what thc proccsscs otsocaI co-
opcraton and cxchangc arc/er.
Jhcrc s a rcason why somc ncquaIty ot opportunty mght
sccm un/air, rathcr than mcrcIy untortunatc n that somc do not
havc cvcry opportunty (whch wouId bc truc cvcn t no onc cIsc
had grcatcr advantagc). Cttcn thc prson cnttIcd to transtcr a
hoIdng has no spccaI dcsrc to transtcr t to a partcuIar pcrson,
thscontrasts wth abcqucst to a chId or agtt to apartcuIarpcr-
son. Mc chooscs to transtcr to somconc who satshcs a ccrtan con-
dton (tor cxampIc, who can provdc hm wth a ccrtan good or
scrvcc n cxchangc, who can do a ccrtan ob, who can pay a ccr-
tan saIary), and hc wouId bc cquaIIy wIIng to transtcr to anyonc
cIsc who satshcd that condton. sn` t t untar tor oncparty to rc-
ccvc thc transtcr, rathcr than anothcr whohad Icss opportunty to
satsty thc condton thc transtcrrcr uscd! Sncc thc gvcr docsn` t
carc towhom hctranstcrs, provdcd thc rccpcnt satshcs a ccrtan
gcncraI condton, cquaIty otopportunty to bc a rccpcnt n such
crcumstanccs wouId voIatc no cnttIcmcnt ot thc gvcr. Por
wouId tvoIatc any cnttIcmcnt otthc prson wth thc grcatcr op-
portunty, whIc cnttIcd to what hc has, hc has no cnttIcmcnt
that t bc morc than anothcr has . ouIdn` t t bc letto tthc pr-
son wth Icss opportunty had an cquaI opportunty! t onc so
couId cqup hm wthout voIatng anyonc cIsc`s cnttIcmcnts (thc
magc wand!) shouIdn` t onc do so! ouIdn`t t bc tarcr! t t
weu!d bc tarcr, can such tarncss aIso ustty ovcrrdng somc
pcopIc`s cnttIcmcnts n ordcr to acqurc thc rcsourccs to boost
thosc havng poorcr opportuntcs nto a morc cquaI compttvc
poston!
Jhc proccss s compcttvc n thc toIIowng way. tthc pcrson
wth grcatcr opportunty ddn` t cxst, thc transtcrrcr mght dcaI
wth somc pcrson havng Icsscr opportunty who thcn wouId bc,
undcr thosc crcumstanccs , thc bcst prson avaIabIc to dcaI wth.
Jhs dttcrs trom a stuaton n whch unconncctcd but smIar
bcngsIvngon dttcrcnt pIancts contront dttcrcnt dthcuItcs and
havcdttcrcnt opportuntcs to rcaIzcvarous otthcrgoaIs. Jhcrc,
jguaItty, Lnvy, jxplottatton, Ltc. z
57
thc stuaton otoncdocsnet ahcct that otanothcr, though twouId

bc bcttcr tthc worscpIanct wcrc bcttcr cndowcd than t s (t aIso

wouId bc bcttcr t thc bcttcr pIanct wcrc bcttcr cndowcd than it
s), t wouIdn`t bc/airer. t aIso dttcrs trom a stuaton n whch a
prson docs not, though hc couId, choosc to imreve thc stuaton
otanothcr. n thc partcuIarcrcumstanccs undcrdscusson, apcr-
sonhavngIcsscropportuntcs wouId bc bcttcr otttsomc partcu-
Iar pcrson havng bcttcr opportuntcs ddn` t cxst. Jhc pcrson
havng bcttcr opportuntcs can bc vcwcd not mcrcIy as somconc
bcttcr ott, or as somconc not chosng to ad, but as somconc
llcking or imeding thc prson havng Icsscr opportuntcs trom
bccomng bcttcr ott. * mpcdng anothcr by bcng a morc aIIurng
aItcrnatvc partncr n cxchangc s not to bc comparcd to drcctIy
wrsening thc stuaton ot anothcr, as by stcaIng trom hm. but
stI I , cannot thc pcrson wth Icsscr opportunty usthabIy com-
pIan at bcng so mpcdcd by anothcr who docs notdesee hs bct-
tcr opportunty to satsty ccrtan condtons! (Lct us gnorc any
smIar compIants anothcr mght makc aboutbim. )
hIc tccIng thc powcr ot thc qucstons ot thc prcvous two
paragraphs (t s I who ask thcm), do not bcIcvc thcy ovcrturn a
thoroughgong cnttIcmcnt conccpton. t thc woman who Iatcr
bccamc my wtc rccctcd anothcr sutor (whom shc othcrwsc
wouId havc marrcd) tor mc, partaIIy bccausc ( Icavc asdc my
IovabIc naturc) otmy kccn ntcIIgcncc and good Iooks , ncthcr ot
whch dd carn, wouId thc rccctcd Icss ntcIIgcntand Icss hand-
somc sutor havc a Icgtmatc compIant about untarncss! ouId
my thus mpcdng thc othcr sutor`s wnnng thc hand ottar Iady
ustty takng somc rcsourccs trom othcrs to pay tor cosmctc
surgcry tor hm and spccaI ntcIIcctuaI tranng, or to pay to dc-
vcIop n hm somc stcrIng trat that Iack n ordcr to cquaIzc our
chanccs ot bcng choscn! ( hcrc takc tor grantcd thc mprms-
sbIty ot worscnng thc stuaton ot thc pcrson havng bcttcr op-
portuntcs so as to cquaIzc opportunty, n ths sort ot casc by
dshgurng hm or ncctng drugs or pIayng noscs whch prcvcnt
hm trom tuIIy usng hs ntcIIgcncc.) Nesucb censequences/e!!ew.
(Aganst whom wouId thc rccctcd sutor havc a Icgtmatc com-
pIant! Aganst what!) Por arc thngs dttcrcnt t thc dttcrcntaI
opportuntcs arsc trom thc accumuIatcd cttccts otpcopIc` s actng
or transtcrrng thcr cnttIcmcnt as thcy choosc. Jhc casc s cvcn
Byond the Minimal State?
cascr torconsumpton goods whchcannot pIausbIy b cIamcd to
havc any such tradc mpcdng cttcct. ls t untar that a chId bc
rascd n a homc wth a swmmng pooI , usng t daIy cvcn
though hc s no morc deseing than anothcr chId whosc homc s
wthout onc! ShouId such a stuaton b prohbtcd! hy thcn
shouId thcrc bc obccton to thc transtcr ot thc swmmng pooI to
an aduIt by bcqucst!
Jhc maor obccton to spcakng otcvcryonc`s havng a rghtte
varou thngs such as cquaIty otopportunty, Itc, and so on, and
cntorcng ths rght, s that thcsc rghts rcqurcasubstructurcot
thngs and matcraIs and actons, andetber pcopIc may havc rghts
and cnttIcmcnts ovcr thcsc. Po onc has a rght to somcthng
whosc rcaIzaton rcqurcs ccrtan uscs otthngs and actvtcs that
othcr pcopIc havc rghts and cnttIcmcnts ovcr. Cthcr pcopIc` s
rghts and cnttIcmcnts toarticu!artbings (bat pcncI , tbeir body,
and so on) and how thcy choosc to cxcrcsc thcsc rghts and cn-
ttIcmcnts m thc cxtcrnaI cnvronmcnt ot any gvcn ndvduaI
and thc mcans that wII bc avaIabIc to hm. ths goaI rcqurcs
thc usc ot mcans whch othcrs havc rghts ovcr, hc must cnIst
thcrvoIuntary coopcraton. Lvcn toexercise hs rght to dctcrmnc
how somcthng hc owns s to bc uscd may rcqurc othcr mcans hc
must acqurc a rght to, tor cxampIc, tood to kccp hm aIvc, hc
must put togcthcr, wth thc coopcraton otothcrs , atcasbIc pack-
agc.
JhcrcarcpartcuIar rghts ovcrpartcuIar thngs hcId by partc-
uIar pcrsons, and partcuIar rghts to rcach agrccmcnts wth oth-
crs, r[ you and thcy togcthcr can acqurc thc mcans to rcach an
agrccmcnt. (Po onc has to suppIy you wth a tcIcphonc so that
you may rcach an agrccmcnt wth anothcr. ) Po rghts cxst n
conh ctwthths substructurc otpartcuIar rghts. Sncc no ncatIy
contourcd rght to achcvc a goaI wII avod ncompatbIty wth
ths substructurc, no such rghts cxst. Jhc partcuIar rghts ovcr
thngs hII thcspacc otrghts , Icavng no room tor gcncraI rghts to
bc n a ccrtan matcraI condton. Jhc rcvcrsc thcory wouId pIacc
onIy such unvcrsaIIy hcId gcncraI 'rghts to` achcvc goaIs or to
bc n a ccrtan matcraI condton nto ts substructurc so as to dc-
tcrmnc aII cIsc, to my knowIcdgc no scrous attcmpt has bccn
madc to statc ths 'rcvcrsc` thcory.
Lgualtty, Lnvy, Lxplottatton, Ltc. z
5
S ELF- ES TEEM AND E NVY
t s pIausbIc t oconncct cquaIty wth scIt-cstccm. ' Jhc cnvous
prson, thc cannot (aIso) posscss a thng (taIcnt, and so on) that
somconc cIsc has , prctcrs that thc othcr pcrson not havc t cthcr.
Jhc cnvous man prctcrs ncthcronc havng t, to thc othcr`s hav-
ng t and hs not havng t."
th rcgard to you, anothcr prson, and havng a knd ot obcct or at-
trbutc, thcrc arc tour pssbltcs.
HE YOU
i . has t havc t
z . has t don`t havc t
j. docn`t havc t havc t
q. docsn`t havc t don`t havc t
You arc envious (wth rcgard to hm and that knd ot obcct or attrbutc,
supprcss thc rclatvzaton nwhat tollows) tyou prctcr q to z , whlc prctcrrng
j to q. (hc 'whlc` s thc and` otconjuncton. ) You arcjalous tyou prctcr 1
to z , whlc bcng ndttcrcnt bctwccn j and q. hc root dca s that you arc
calous tyou want t bccausc hc has t. hc condton tormulatcd says you want
t solcly bccausc hc has t. A wcakcr condton would say that you arccalous t
you want t morc bccausc hc h t, that s, tyou prctcr I to z morc than you
prctcr j to q. 5mlarly wc can tormulatc a lcss strong condton tor cnvy. A
strongly cnvous man prctcrs thc othcr not havc thc thng t hc hmsclt
docsn` t. A partally cnvous man may bc wllng tor thc othcr to havc thc thng
cvcn though hc hmscltcannot, but hc prctcrs ths lcss strongly than hc prctcrs
that thc othcr havc thc thng t hc hmscltdocs, that s, hc prctcrs z to q lcss
than hc prctcrs I to j . You arcbegrudging tyou prctcr j to 1 whlc prctcrrng
j to q. You arcspitful tyou prctcr q to 1 whlc prctcrrng j to q. You arc
competitive tyou prctcr j to q, whlc bcng ndttcrcnt bctwccn I and q.
A compcttvc pcrson sbcgrudgng. A sptctul prson sbcgrudgng. hcrc
arc cnvous pcoplc who arc not jcalous (n thc scnsc ot thc wcakcr condton).
hough t s not a thcorcm, t s a plausblc psychologcal conccturc that most
calous poplc arc cnvous. And surcly t s a psychologcal law that sptctul
poplc arc cnvous.
Lomparc thc smlar though somcwhat dttcrcnt dstnctons that Kawls
draws (Theoy ofJustice, scct. 8O). Kawls` noton ot cnvy s strongcr than ours.
c can tormulatc a closc cquvalcnt ot hs, by lcttng (X) bc thc th row n
thcabovc matrx tor somcthng X; i(Y) b thc th row tor somcthng Y. You
arc cnvous n Kawls` strong scnv t you prckr q(X) and q(Y) to z(X) and
i (Y), that s, tyou prctcr that ncthcr otyou havc cthcrX or Y. rathcr than
that hc havc both X and Y whlc you havc only Y. You arc wllng to gvc up
somcthng to crasc thc dttcrcntal. Kawls uscs both calous` and bcgrudgng`
Byond the Minimal State?
PcopIc ottcn havc cIamcd that cnvy undcrIcs cgaItaransm.
And othcrs havc rcpIcd that sncc cgaItaran prncpIcs arc scpa-
ratcIy usthabIc, wc nccd attrbutc no dsrcputabIc psychoIogy to
thc cgaItaran, hc dcsrcs mcrcIy that corrcct prncpIcs bc rcaI-
zcd. n vcw otthc grcat ngcnuty wth whch popIc drcam up
prncpIcs to ratonaIzc thcr cmotons , and gvcn thc grcat dt-
hcuIty n dscovcrngarguments tor cquaIty as a vaIuc n tscIt, ths
rcpIy s , to say thc Icast, unprovcn. (Por s t provcn by thc tact
that oncc popIc acccpt cgaItaran prncpIcs, thcy mght support
thc worscnng otthcr own poston as an appIcaton ot thcsc gcn-
craI prncpIcs. )
Mcrc prctcr to tocus on thcstrangeness ot thc cmoton otcnvy.
hy do somc pcopIcre/er that othcrs not havc thcr bcttcr scorc
on somc dmcnson, rathcr than bcng pIcascd at anothcr`s bcng
wcII-ottor havnggood tortunc, why don`t thcyat Icast ust shrug
t oh Cnc Inc sccms cspccaIIy worth pursung. A pcrson wth a
scorc aIong somc dmcnson wouId rathcr anothcr pcrson wth a
hghcr scorcH had scorcd Icss wcII thanH, cvcn though ths wII
not rasc hsownscorc, n thosc cascs whcnthcothcr pcrson`shav-
ng a hghcr scorc than hmscIt thrcatcns or undcrmncs hs own
scIt-cstccm and makcs hm tccI ntcror to thc othcr n somc m-
portant way. Mow can anothcr`s actvtcs, orcharactcrstcs , attcct
onc`s own scIt-cstccm! ShouIdn` t my scIt-cstccm, tccIng otworth,
and so torth, dcpcnd onIyupontactsabout mc! tt s mc that `m
cvaIuatng n somc way, how can tacts about othcr pcrsons pIay a
roIc! Jhc answcr, ot coursc, s that wc cvaIuatc how we!! wc do
somcthng by comparng our pcrtormancc to othcrs , to what
othcrs can do. A man Ivng n an soIatcd mountan vIIagc can
snk 1 5 ump shots wth a baskctbaII out ot 1 50 trcs. Lvcryonc
cIsc n thc vIIagc can snk onIy I ump shot out ot 1 50 trcs . Mc
thnks (as do thc othcrs) that hc`s vcry good at t. Cnc day, aIong
comes )crry cst . Cr, a mathcmatcan works vy hard and oc-
casonaIIy thnks up an ntcrcstng conccturc, nccIy provcs a
thcorcm, and so on. Mc thcn dscovcrs a whoIc group otwhzzcs at
mathcmatcs. Mc drcams up a conccturc, and thcy quckIy provc
for our "begrudging" and has nothing corresponding to our "jealous . " Our no
tion of spite here is stronger than his, and he has no notion corresponding to
our "cometitive.
LguaItty, Lnvy, LxpIottatton, Ltc.
or dsprovc t (not n aII possbIc cascs, bccausc ot Lhurch`s
thcorcm), constructng vcry cgant proots, thcy thcmscIvcs aIso
thnk up vcry dccp thcorcms, and so on.
ncach ot thcsc cascs, thc pcrson wII concIudc that hc wasn`t
vy geed oradet at thc thng attcr aII. Jhcrc s no standard ot
dong somcthng wcII, ndcpcndcnt othow t s orcanb doncby
othcrs . At thc cndoths bookLitoatureandReve!utien, ndcscrb-
ng what man wII bc Ikc (cvcntuaIIy) n a communst soccty,
Lcon Jrotsky says.
Man wtII bccomc tmmcasurabIy strongcr, wtscr, and subtIcr, hts body
wtII bccomc morc harmontzcd, hts movcmcnts morc rhythmtc, hts votcc
morc mustcaI . Jhc torms ot Ittc wtII bccomc dynamtcaIIy dramattc. Jhc
avcragc human typc wtII rtsc to thc hctghts ot an ArtstotIc, a Locthc, or
a Marx. And abovc thts rtdgc ncw pcaks wtII rtsc.
tths wcrc to occur, thc avcragc pcrson, at thc IcvcI en! otArs-
totIc, Locthc, or Marx, wouIdn` t thnk hc wasvcrygoodor adcpt
at thosc actvtcs. Mc wouId havc probIcms otscIt-cstccml Somc-
onc n thc crcumstanccs ot thc dcscrbcd baskctbaII pIaycr or
mathcmatcan mght prctcr that thc othcr prsons Iackcd thcr
taIcnts, or prctcr that thcy stop contnuaIIy dcmonstratng thcr
worth, at Icast n tront othm, thatway hs scIt-cstccm wII avod
battcrng and can bc shorcd up.
Jhs wouId b ene possbIc cxpIanaton otwhy ccrtan ncquaI-
tcs n ncomc, or poston otauthorty wthn an ndustry, or ot
an cntrcprcncur as comparcd to hs cmpIoyccs, rank!e so,net duc to
thc tccIng that ths supcror poston s undcscrvcd, but to thc
tccIng that tis dcscrvcd and carncd. t may nurc onc`s scIt-cs-
tccm and makc onc tccI Icss worthy as a pcrson to know otsomc-
onc cIsc who has accompIshcd morc or rscn hghcr. orkcrs n a
tactory startcd onIy rcccntIy by somconc cIsc prcvousIy a workcr
wII bc constantIy cen/rented by thc toIIowng thoughts. why not
mc! why am onIy hcrc! hcrcas onccan managc to gnorc much
morc casIy thc knowIcdgc that somconc cIsc somcwhcrc has donc
morc, tonc s not controntcd daIy wth hm. Jhc pont, though
sharpcr thcn, docs not dcpnd upon anothcr` s dcscrvng hs sup-
ror rankng aIong somc dmcnson. Jhat thcrc s somconc cIsc
who s a good danccr wII attcct your cstmatc ot how good you
yourscItarc at dancng, cvcn tyou thnk that a Iargc part otgracc
n dancng dcpcnds upon uncarncd naturaI asscts .
Byond the Minimal State?
As a tramcwork tor dscusson that cmbodcs thcsc consdcr-
atons (andnet as a contrbuton to psychoIogcaI thcory), consdcr
thc toIIowngsim!e mocI. Jhcrc arcanumbcrotdttcrcnt dmcn-
sons, dmcnsonaI attrbutcs aIong whch pcopIc can vary,
L; , . . . , L, , that popIc hoId to bc vaIuabIc. PcopIc may dt-
tcras to what dmcnsons thcy thnkvaIuabIc, and thcy may dhcr
as to thc (nonzcro) wcghts thcy gvcto thc dmcnsons thcy agrcc
n consdcrng vaIuabIc. or cach pcrson, thcrc wII bc a/actua!
re/!e that prcscntshsobcctvcposton aIong cachdmcnson, tor
cxampIc, on thc ump-shot dmcnson, wc mght havc 'abIc rcgu-
IarIy to scorc _ ump shots out ot 1 00 trcs trom 20 tcct out, `
and a pcrson`s scorc mght bc 20, or34, or .
or smpIcty, Ict us assumc that a pcrson`s bcIcts about hs
tactuaI prohIcarc rcasonabIy accuratc. AIsothcrcwII bc aneva!ua-
tivere/!e to rcprcscnt how thc pcrson cvaIuatcs hs own scorcs on
thc tactuaI prohIc. Jhcrc wII bc cvaIuatvc cIassh catons (tor cx-
ampIc, cxccIIcnt, good, satstactory, poor, awtuI) rcprcscntng hs
cvaIuaton othmscIttorcachdmcnson. Jhcsc ndvduaIcvaIua-
tons, how hc gcts trom thc tactuaI scorc to thc cvaIuatons , wII
dcpcnd upn hs tactuaI bcIcts about thc tactuaI prohIcs otothcr
smIar bcngs (thc 'rctcrcncc group), thc goaIs hc was gvcn as a
chId, and so on. AII shapc hs IcvcI otaspraton, whch tscItwII
vary ovcr tmc n roughIy spcchabIc ways. Lach pcrson wII makc
somc ovcraII cstmatc ot hmscIt, n thc smpIcst casc ths wII
dcpcnd soIcIy on hs cvaIuatvc prohIc and hs wcghtng ot thc
dmcnsons. Hew t dcpcnds upon ths may vary trom ndvduaI to
ndvduaI. Somc may takc thc wcghtcd sum ot thcr scorcs ovcr
aII thc dmcnsons , othcrs may cvaIuatc thcmscIvcs as CK tthcy
do wcII on somc rcasonabIy mportant dmcnson, stII othcrs may
thnk that t thcy taII down on any mportant dmcnson thcy
stnk.
n a soccty whcrc pcopIc gcncraIIy agrcc that somc dmcnsons
arc vcry mportant, and thcrc arc dhcrcnccs n how pcopIc taII
aIongthcsc dmcnsons, and somc nsttutons pubIcIygrouppco-
pIc n accordancc wth thcr pIacc aIong thcsc dmcnsons , thcn
thosc who scorc Iow may tccI ntcror to thosc wth hghcr scorcs,
thcy may tccI ntcroraspcrsons . (Jhus ,eer pcopIcmghtcomc to
thnk thcy arc pooree!e . ) Cnc mght try to avod such tccI ngs ot
ntcrorty by changng thc soccty so that cthcr thosc dmcnsons
Lgualtty, Lnvy, Lxplottatton, Ltc. z
45
whch scrvcd todstngush popIc arc downgradcd n mportancc,
or so that pcopIc do not havc an opportunty pubIcIy to cxcrcsc
thcrcapactcs aIong thcsc dmcnsonsorto Icarn howothcrs scorc
on thcm.
t mght appcar obvous that tpopIc tccI ntcror bccausc thcy
do poorIy aIong somc dmcnsons, thcn t thcsc dmcnsons arc
downgradcd n mportancc or tscorcs aIong thcm arc cquaIzcd,
pcopIc no Iongcr wII tccI ntcror. ('0/ceurse!)Jhc vcry rcason
thcy havc tor tccIng ntcror s rcmovcd. but t may wcII bc that
othcr dmcnsons wouId rcpIacc thc oncs cImnatcd wth thc samc
chccts (on dttcrcnt pcrsons). t, attcr downgradng or cquaIzng
onc dmcnson, say wcaIth, thc soccty comcs gcncraIIy to agrcc
that somc etber dmcnson s most mprtant, tor cxampIc, acs-
thctc apprccatvcncss, acsthctc attractvcncss, ntcIIgcncc, ath-
Ictc prowcss , physcaI gracc, dcgrcc otsympathy wth othcr pcr-
sons, quaIty otorgasm, thcn thc phcnomcnon wII rcpcat tscIt.
PcopIc gcncraIIy udgc thcmscIvcs by how thcy taII aIong thc
most mportant dmcnsons n whch thcydg r trom othcrs. Pco-
pIc do not gan scIt-cstccm trom thcr common human capactcs
by comparng thcmscIvcs to anmaIs who Iack thcm. (' ' ` m prctty
good, havc an opposabIc thumb and can spcak somc Ianguagc.`)
Por do pcopIc gan or mantan scIt-cstccm by consdcrng that
thcy posscss thc rght to votc tor poItcaI Icadcrs, though whcn
thc tranchsc was not wdcIydstrbutcd thngs may havc bccn dt-
tcrcnt. Por do pcopIc n thc Lntcd Statcs today havc a scnsc ot
worth bccausc thcy arc abIc to rcad and wrtc, though n many
othcr socctcs n hstory ths has scrvcd. hcn cvcryonc, or aI-
most cvcryonc, has somc thngor attrbutc, t docs not tuncton as
a bass torscIt-cstccm. ScIt-cstccm s bascd ondi_rentiatingcbarac-
teristics, that`s why t`sJcg-cstccm. And as socoIogsts ot rctcrcncc
groups arc tond otpontng out, who thc etbers arc changcs. rst-
ycar studcnts at prcstgc coIIcgcs may havc a scnsc ot ndvduaI
ta soccty`s most mportant dmcnson, by common conscnsus, s undc-
tcctablc n that t cannot drcctly b dctcrmncd whcrc along t a prson talls,
pcoplc wllcomc to bclcvc thata pcrson`s scorc on ths dmcnson s corrclatcd
wth hs scorc on anothcr dmcnson along whch thcy lON dctcrmnc rclatvc
postons (thc halo cttcct). hus, pcoplc tor whom thc prcscncc otdvnc gracc
s thc most mportant dmcnson wll comc to bclcvc othcr worthy dctcctabIc
tacts ndcatc ts prcscncc, tor cxamplc, worldly succcss.
z44 Beyond the Minimal State?
worth bascd on attcndng thosc schooIs . Jhs tccIng s morc pro-
nounccd, ndccd, durng thcr Iast two months othgh schooI . but
whcn eveene thcy assocatc wth s n a smIar poston, thc tact
otgongtothcsc schooIsno Iongcr scrvcs as a bass tor scIt-cstccm,
cxccpt pcrhaps whcn thcy rcturn homc durng vacaton (or n
thought)tetbse nettbere.
Lonsdcr how you wouId sct about to boIstcr thc scIt-cstccm ot
an ndvduaI who, prhaps trom Imtcd capacty, scorcd Iowcr
than aII othcrs on aII thc dmcnsons othcrs consdcrcd mportant
(and who scorcd bcttcr on no dmcnson onc pIausbIy couId arguc
was mportant or vaIuabIc). You mght tcII thc pcrson that though
hs absoIutc scorcs wcrc Iow, hc had donc wcII (gvcn hs Imtcd
capactcs). Mc had rcaIzcd a grcatcr proporton ot hs capactcs
than most and tuIhIIcd morc oths potcntaI than othcrs do, con-
sdcrng whcrc hc had startcd, and wth what , hc had ac-
compIshcd agrcat dcaI . Jhs wouId rcntroducc comparatvc cvaI-
uaton, by ctng anothcr mportant (mcta)dmcnson aIong whch
hc dees do wcII as comparcd to othcrs.
Jhcsc consdcratons makc oncsemubatskcptcaI otthc chanccs
ot cquaIzng scIt-cstccm and rcducng cnvy by cquaIzng pos-
tons aIong that partcuIar dmcnson upon whch scIt-cstccm s
(happcns to bc) mportantIy bascd. Jhnk otthc varcd attrbutcs
sthcrcany mprtant dmcnson along whch t s nappmpratc to udgc
oncsclI comparatvcly! Lonsdcr thc Iollowng statcmcnt by mothy Lary.
t`s my ambton to bc thc holcst , wscst, most bcnchcal man alvc today.
Pow thsmaysound mcgalomanac, but don`t scc why. don`tsccwhy . . .
cvcry prson who lvcs n thc world, shouldn`t havc that ambton. hat clsc
should you try to bc! hc prcsdcnt oIthc board, or thc charman oIthc dcpart-
mcnt, or thcowncroIths and that!` 7be Pe/itic: e/Ec:ta: (PcwYork. Lollcgc
Potcs and cxts, nc . , I g68), p. z I 8. hcrc ccrtanly s no obccton to want-
ng to bc as holy, wsc, and bcnchcal as possblc, yct an ambton to bc thc
holcst, wscst, and most bcnchcal pcrson alvc today s bzarrc. 5mlarly, onc
can want to bc as cnlghtcncd as possblc (n thc scnsc oI Lastcrn tradtons),
but t would bc bzarrc to want cspcally to bc thc most cnlghtcncd prson
alvc,orto b morc cnlghtcncd thansomconc clv. Mow onc valucs onc`s dcgrcc
oIcnlghtcnmcnt dcpnds only upn t , whatcvcr othcrs arc lkc. hs suggcsts
that thc absolutcly most mprtant thngs do not lcnd thcmsclvcs to such com-
paratvc cvaluaton, I so, thc comparatvc thcory n thc tcxt would not hold
unvcrsally. Mowcvcr, gvcn thc naturc oI thc cxccptons, ths Iact would bc oI
lmtcd socologcal (though oIgrcat prsonal) ntcrcst. Also, thosc who do not
cvaluatcthcmsclvcscomparatvcly wll not nccdcqualzaton totakcplacc along
ccrtan dmcnsons as a supprt Ior thcr sclI-cstccm.
Lqual ty, Lnvy, LxplOtatOn, LtLv z45
onc can env anothcr`s havng, and onc wII rcaIzc thc vast oppor-
tuntcs tor dttcrcntaI scIt-cstccm. KccaII now Jrotsky`s spccuIa-
ton that undcr communsm cvcryonc wouId rcach thc IcvcI ot
ArstotIc, Locthc, or Marx, and trom hs rdgc ncw pcaks wouId
rsc. bcng at ths rdgc wouId no morc gvc cvcryonc scIt-cstccm
and a tccIng otndvduaI worth than docs thc abIty to spcak a
Ianguagc or thc posscsson ot hands abIc to grasp thngs. Somc
smpIc and naturaI assumptons mght cvcn Icad to a prncpIc ot
thc conscrvaton otcnvy. And onc mght worry, gthc numbcr ot
dmcnsons s not unImtcd and tgrcat strdcs arc madc to cIm-
natc dttcrcnccs, that as thc numbcr otdttcrcntatng dmcnsons
shrnks, cnvy wII bccomc morc scvcrc. or wth a smaII numbcr
otdttcrcntatng dmcnsons, many pcopIc wII hnd thcy don`t do
wcII onanotthcm. Jhough thc wcghtcd sum ota numbcr otn-
dcpcndcntIy varyng normaI dstrbutons tscItwII bc normaI, t
cach ndvduaI (who knows hs scorc on cach dmcnson) wcghts
thc dmcnsons dttcrcntIytrom thc wayothcrpcrsons do, thc totaI
sum otaII thc dttcrcnt ndvduaIs` dttcrcntIy wcghtcd combna-
tons nccd not tscIt bc a normaI dstrbuton, cvcn though thc
scorcs on cach dmcnson arc normaIIy dstrbutcd. Lvcryonc
mght vcw thcmscIvcs as at thc uppcr cnd ota dstrbuton (cvcn
ota normaI dstrbuton) sncc cach sccs thc dstrbuton through
thc pcrspcctvc otthc partcuIar wcghts hc assgns. Jhc tcwcr thc
dmcnsons, thc Icss thc opprtunty tor an ndvduaI succcsstuIIy
to usc as a bass tor scIt-cstccm a nonuntorm wcghtng stratcgy
that gvcs grcatcr wcght to a dmcnson hc scorcs hghIy n. (Jhs
suggcsts that cnvy can bc rcduccd onIy by a tcII-swoop cImnaton
otaII dttcrcnccs. )
Lvcn tcnvy s morc tractabIc than our consdcratons mpIy, t
wouId bc obcctonabIc to ntcrvcnc to rcducc somconc`s stuaton
nordcr to Icsscn thc cnvy and unhappncss othcrs tccI nknowng
ot hs stuaton. Such a poIcy s comparabIc to onc that torbds
somc act (tor cxampIc, racaIIy mxcd coupIcs waIkng hoIdng
hands) bccausc thc mcrc knowIcdgc that t s bcng donc makcs
othcrs unhappy (scc Lhaptcr o). Jhc same kind ot cxtcrnaIty s
nvoIvcd. Jhc most promsng ways tor a soccty to avod
wdcsprcad dttcrcnccs n scIt-cstccm wouId bc tohavc no common
wcghtng otdmcnsons, nstcad t wouId havc a dvcrsty otdt-
tcrcnt Ists otdmcnsons and otwcghtngs. Jhs wouId cnhancc
Beyond the Minimal State?
cach pcrson`s chancc ol hndng dmcnsons that seme othcrs aIso
thnk mportant, aIong whch hc docs rcasonabIy wcII, and so to
makc a nondosyncratc lavorabIc cstmatc olhmscIl. Such a lrag-
mcntaton ola common socaI wcghtng s not to bc achcvcd by
somc ccntraIzcd cllort to rcmovc ccrtan dmcnsons as mportant .
Jhc morc ccntraI and wdcIy supportcd thc cllort, thc morc con-
trbutons toitwII comc to thc lorc as thccommonIy agrccd upon
dmcnson on whch wII bc bascd pcopIc`s scIl-cstccm.
MEANI NGF UL WORK
Cltcn t s cIamcd that bcng subordnatc na work schcmc ad-
vcrscIy allccts scIl-cstccm n accordancc wth a socaI-psychoIogcaI
Iaw or lundamcntaI gcncraIzaton such as thc loIIowng. A Iong
pcrod olbcng lrcqucntIy ordcrcd about and undcr thc authorty
ol othcrs, unscIcctcd by you, Iowcrs your scIl-cstccm and makcs
you lccI nlcror, whcrcas ths s avodcd lyou pIay somc roIc n
dcmocratcaIIy scIcctng thcsc authortcs and n aconstant proccss
oladvsng thcm, votng on thcr dccsons, and so on.
but mcmbcrs ol a symphony orchcstra constantIy arc ordcrcd
about by thcr conductor (oltcn caprcousIy and arbtrarIy and
wth tcmpcr harcups) and arc not consuItcd about thc ovcraII n-
tcrprctaton ol thcr works. Yct thcy rctan hgh scIl-cstccm and
do not lccI that thcy arc nlcror bcngs. Oraltccs n armcs arc
constantIy ordcrcd about, toId how to drcss , what to kccp n thcr
Iockcrs , and so on, yct thcy do not comc to lccI thcy arc nlcror
bcngs. SocaIst organzcrs n lactorcs rcccvcd thc samc ordcrs
and wcrc subcct to thc samc authorty as othcrs, yct thcy dd not
Iosc thcr scIl-cstccm. Pcrsons on thc way up organzatonaI Iad-
dcrs spcnd much tmc takng ordcrs wthout comng to lccI nlc-
ror. n vcw ol thc many cxccptons to thc gcncraIzaton that
ordcr loIIowng n a subordnatc poston produccs Iov scIl-cs-
tccm` wc must consdcr thc possbItythatsubordnatcs wth Iow
scIl-cstccm bcgn that way or arc lorccd by thcr poston to lacc
thc lacts ol thcr cxstcncc and to consdcr upon what thcr cs-
tmatc olthcr own worth and vaIuc as a unquc pcrson s bascd,
wth no casy answcrs lorthcomng. Jhcy wII bc cspccaIIy hard
Lgualtty, Lnvy, Lxplottatton, Ltc. z47
prcsscd lor an answcr l thcy bcIcvc that othcrs who gvc thcm
ordcrs havc a rght to do so that can bc bascd onIy upon somcer-
sena!supcrorty. Cn an cnttIcmcntthcory, olcoursc, thsnccd not
bc so. PcopIc may bc cnttIcd to dccdc about ccrtan rcsourccs,
thc tcrms on whch othcrs may usc thcm, and so on, through
no stcrIng quaItcs ol thcr own, such cnttIcmcnts may havc
bccn translcrrcd to thcm. Pcrhaps rcadcrs conccrncd about dl-
lcrcntaI scIl-cstccm wII hcIp to makc thc cnttIcmcnt thcory bct-
tcr known, and thcrcbyundcrcut oncground lorIcsscr scIl-cstccm.
Jhs wII not, ol coursc, rcmovc aII such grounds. Somctmcs a
pcrson`s cnttIcmcnts cIcarIywih stcm lrom hs own attrbutcs and
prcvous actvtcs, and n thcsc cascs comparsons wII bc unpIcas-
ant to lacc.
Jhc ssuc ol mcannghI and satslyng work s oltcn mcrgcd
wth dscussons olscIl-cstccm. McanngluI and satslyng work s
sad to ncIudc. ( I ) an opportunty to cxcrcsc onc`s taIcnts and
capactcs , to lacc chaIIcngcs and stuatons that rcqurc ndcpcn-
dcnt ntatvc and scIl-drccton (and whch thcrclorc s not borng
and rcpcttvc work), (z) n an actvty thought to bc olworth by
thc ndvduaI nvoIvcd, () n whch hc undcrstands thc roIc hs
actvty pIays nthc achcvcmcnt olsomcovcraII goaI , and (q) such
that somctmcs , n dccdng upon hs actvty, hc has to takc nto
accountsomcthng about thc Iargcr proccss n whch hc acts. Such
an ndvduaI , t s sad, can takc prdc n what hc`s dong and n
dong t wcII, hc can lccI that hc s a pcrson olworth, makng a
contrbuton olvaIuc. u

thcr, t s sad thatapart lrom thc ntrn-

scdcsrabIty olsuch knds olworkandproductvty, pcrlormng
othcr sorts olwork dcadcns ndvduaIs and Icads thcm to bc Icss
hIhIIcd pcrsons na!l arcas olthcr Ivcs.
Neative sooIogy, thc study olwhat thc causcs ol probIcms
ugbt te le, grcatIy lascnatcs aII olus. lX s bad, and Y whch
aIso s badcan bc tcd toX vaapIausbIcstory, t s vcry hard to
rcsst thc concIuson that onc causcs thc othcr. c want onc bad
thng to bc causcd by anothcr. lpcopIc eugbt to do mcanngluI
work, lthat`s what wc want pcopIc to bc Ikc, " and lva somc
storywc can tc thc abscncc olsuch work (whch s bad) to anothcr
bad thng (Iack ol ntatvc gcncraIIy, passvc Icsurc actvtcs,
and so on), thcn wc happIy!m to thc concIuson that thc sccond
cvI s caused l thc hrst. Jhcsc othcr bad thngs, olcoursc, may
Beyond the Minimal State?
cxst/eretberreasens, and ndccd, gvcn scIcctvc cntry nto ccrtan
sorts ol jobs, thc corrcIaton may bc duc to thc lact that thosc
prcdsposcd to show Iow ndcpcndcnt actvty arc just thosc who
arc most wIIng to takc and rcman wth ccrtan jobs nvoIvng
IttIc opportunty lor ndcpcndcnt howcrng.
t oltcn has bccn notcd that lragmcntaton ol tasks , rotc actv-
ty, and dctaIcd spcc hcaton olactvty whch Icavcs IttIc room
lor thc cxcrcsc ol ndcpcndcnt ntatvc arc not probIcms spccaI
to captaIst modcs ol producton, t sccms to go wth ndustraI
soccty. Mowdocsand couId captaIsm rcspond to workcrs` dcsrcs
lor mcanngluI work! lthc productvty ol thc workcrs n a lac-
tory rises whcn thc work tasks arc scgmcntcd so as to bc morc
mcanngluI, thcn ndvduaI owncrs pursung prohts so wII
rcorganzc thc productvc proccss . lthc productvty ol workcrs
remains tbe same undcr such mcanngluI dvson ol Iabor, thcn n
thcproccss olcompctng lor Iaborcrs hrms wII aItcr thcr ntcrnaI
work organzaton.
So thconIy ntcrcstng casctoconsdcrsthat n whchdvdng
a hrm`s work tasks nto mcanngluI scgmcnts, rotaton ol Iabor,
and so lorth, s less etient ,s)udged l market triteria), than thc
Icss mcanngluI dvson ol Iabor. Jhs Icsscncd clh ccncy can bc
bornc n thrcc ways (or n combnatons olthcm). rst, thc work-
crs n thc lactorcs thcmscIvcs mght dcsrc mcanngluI work. t
has aII olthc vrtucs ts thcorsts ascrbc to t, thc workcrs rcaIzc
ths , and thcy arc wIIng to gvc up somcthng (somc wagcs) n
ordcr to work at mcanngluIIy scgmcntcd jobs. Jhcy work lor
Iowcr wagcs, but thcy vcw thcr totaI work packagc (Iowcr wagcs
pIus thc satslactons olmcanngluI work) as morc dcsrabIc than
Icss mcanngluI work at hghcr wagcs . Jhcy makc a tradc-oll ol
somc wagcs lor somc ncrcasc n thc mcannghIncss olthcr work,
ncrcascd scIl-cstccm, and so lorth. Many pcrsons do vcry smIar
thngs. Jhcy do not choosc thcr occupatons soIcIy by thc ds-
countcd vaIuc olcxpcctcd luturc monctary carnngs. Jhcyconsdcr
socaI rcIatonshps, opportuntcs lor ndvduaI dcvcIopmcnt, n-
tcrcstngncss, job sccurty, thc latgung quaIty olthc work, thc
amount ollrcc tmc, and so on. (ManycoIIcgc tcachcrs couId carn
morc moncy workng n ndustry. Sccrctarcs n unvcrstcs lorgo
thc hghcr pay ol ndustry lor a Icss strcssluI and, n thcr vcw,
morc ntcrcstng cnvronmcnt. Many othcr cxampIcs couId bc
Lqualty, Lnvy, LxplOtatOn, Ltc . 24
ctcd. ) Pot cvcryonc wants thc samc thngs , or wants thcm as
strongIy. Jhcy choosc among thcr cmpIoymcnt actvtcs on thc
bass ol thc ovcraII packagc ol bcnchts t gvcs thcm. SmIarIy,
workcrs towhom a dllcrcnt organzaton olwork mattcrcd mght
choosc to lorgo somc wagcs n ordcr to gct t, and no doubt thosc
to whom tmest mattcrs actuaIIy do so n choosng among thc jobs
avaIabIc to thcm. Jhc rhythm ola larmcr`s Ilc dllcrs lrom that
ol asscmbIy-Inc workcrs (who totaI Icss than 5 pcrccnt ol L. S.
manuaI workcrs), whosc ncomc and Ilc dllcr lrom that ola storc
cIcrk, and so on.
but supposc that a morc mcannghI job sn` t worth that much
to a workcr, hc wII not takc Iowcr wagcs n ordcr to gct t. mben
n hs Ilc sn` t t worth ths! lat thc bcgnnng, thcn hs scaIc ol
vaIucs s not itseq thc product oldong nonmcanngluI work, and
wc shouId bc wary olattrbutng hs Iatcr charactcr to hs work cx-
pcrcnccs.)
Mghtn`t somconcelse bcar thc monctary costs olthc Icsscncd cl-
hccncy! Jhcy mght do so bccausc thcy bcIcvc thc causc s m-
portant, cvcn though not mportant cnough to thc ndvduaI
workcr hmscIlso thatbe wIIchoosc to bcar thcmenetaq costs . So,
sccondIy, pcrhaps ndvduaI consumcrs wII bcar thc costs bya-
ingmere lor what thcy buy. A group olus may band togcthcr nto
a buycrs coopcratvc and buy onIy lrom lactorcs whosc work tasks
arc scgmcntcd mcanngluIIy, or ndvduaIIy wc may dccdc to do
ths . Mow much wc do so wII dcpcnd on how much thc support
ol such actvtcs s worth to us as comparcd to buyng morc ol
othcr goods, or to buyng thc tcms Icss cxpcnsvcIy lrom lactorcs
whosc work tasks arc not scgmcntcd mcanngluIIy and usng thc
savcd moncy to support othcr worthy causcs-lor cxampIc, mcd-
caI rcscarch or ad to struggIng artsts or to war vctms n othcr
countrcs .
but what l t` s not worth cnough cthcr to ndvduaI workcrs
or to ndvduaI consumcrs (ncIudng thc mcmbcrs olsocaI dcmo-
cratc movcmcnts)! hat aItcrnatvc rcmans! Jhc thrd possbI-
ty s that workcrs mght bc lorbddcn to work n lactorcs whosc
work tasks arc not mcanngluIIy scgmcntcd, or consumcrs mght
bc lorbddcn to purchasc thc products ol such lactorcs. (Lach
prohbton wouId cnact thc othcr, de /a:te, n thc abscncc ol
IIcgaI markcts . ) Cr thc moncy to hoat thc mcanngluIIy scg-
Beyond the Minimal State?
mcntcd cntcrprsc mght bc takcn out ot cntrcprcncuraI prohts .
Jhc Iast rascs a Iargc subcct whch must Icavc tor anothcr oc-
cason. but notcc that thcrc stII wouId bc thc probIcm ot how
worktasksarctobcorganzcd cvcn tthcrc wcrc noprvatc owncrs
and aII hrms wcrc owncd by thcr workcrs . n organzng ts
producton, somc hrms wouId dccdc to dvdc ontIy thc n-
crcascd monctary prohts. Cthcr hrms cthcrwouIdhavc todo Ikc-
wsc, or wouId havc to sct Iowcr ycarIy ncomc pcr workcr, or
wouId havc to pcrsuadc somc consumcrs to pay hghcr prccs tor
thcr products. Pcrhaps a socaIst govcrnmcnt, n such a sctup,
weu!d torbd nonmcanngtuI work, but apart trom thc qucston ot
how t wouId phrasc thc IcgsIaton, on what grounds couId tim-
ese ts vcws on aII thosc workcrs who wouId choosc to achcvc
othcr cnds!
WORKERS
'
CONTROL
rms n a captaIst systcm mght provdc mcannghI obs to
thosc who wantcd thcm cnough. LouId it smIarIy suppIy ntcr-
naIIy dcmocratc authorty structurcs! Jo somc cxtcnt, ccrtanIy.
but tthc dcmand tor dcmocratc dccsonmakng cxtcnds to pow-
crs Ikc owncrshp, thcn t cannot . Ct coursc, as an aItcrnatvc,
prsons may torm thcr own dcmocratcaI ly-run ceeeratiw hrms . t
sopcn toany wcaIthy radcaI orgroup otworkcrs tobuyancxst-
ng tactory or cstabIsh a ncw onc, and ro nsttutc thcr tavortc
mcrondustraI schcmc, tor cxampIc, workcr-controIIcd, dcmo-
cratcaIIy-run hrms . Jhc tactory thcn couId scII ts products d-
rcctIy nto thcmarkct. !crc wc havc possibItcs smIar to thosc
wc canvasscd carIcr. t may bc that the ntcrnaI proccdurcs n
such a tactory wII not Icsscn cthccncy udgcd by markct cr-
tcra. or cvcn though tcwcr hours arc spent at work (somc hours
go nto thc actvtcs ot thc proccss otdcmocratc dccsonmak-
ng), n thosc hours thc workcrs may worl so cthccntIy and ndus-
trousIytor thcr own tactory on proccts thcy had a vocc n shap-
ng that thcy arc supcror, by markct srandards, to thcr morc
orthodox compcttors (ct. thc vcws otLo\ts bIanc). n whch casc
thcrc shouId bc IttIc dthcuIty n cstabI: hng hnancaIIy succcss-
LguaItty, Lnvy, LxpIottatton, Ltc.
hI tactorcs ot ths sort. hcrc gnorc tamIar dthcuItcs about
how a systcm otsuch workcrs` controI s to opcratc. tdccsonsarc
madc by thc votc otworkcrs n thc tactory, ths wII Icad to un-
dcrnvcstmcnt n proccts whosc rcturns wII comc much Iatcr
whcn many ot thc prcscntIy votng workcrs won` t bcncht cnough
to outwcgh wthhoIdng moncy trom currcnt dstrbuton, cthcr
bccausc thcy no Iongcr work thcrc and gct nothng or bccausc thcy
thcn wII havc onIy a tcw ycars Ictt. Jhs undcrnvcstmcnt (and
conscqucnt worscnng ot thc poston ot hturc workcrs) can bc
avodcd tcach workcrewns a sharc n thc tactory whch hc can scII
or bcqucath, tor thcn hturccxpctatons otcarnngs wII rasc thc
currcnt vaIuc ot hs owncrshp sharc. (but thcn. . . . ) t cach
ncw workcr acqurcs a rght to an cquaI pcrccntagc ot thc annuaI
nct proht (or an cquaI owncrshp sharc), ths wII attcct thcgroup`s
dccsons to brng n ncw workcrs . Lurrcnt workcrs, and thcrctorc
thc tactory, wII havc a strong nccntvc to choosc to maxmzc
average prohts (prohts pcr workcr)rathcr thanteta! prohts, thcrcby
cmployng tcwcr pcrsons than a tactory that cmpIoycd cvcryonc
who prohtabIy couId bc cmpIoycd. !ow wII cxtra captaI tor cx-
panson bc acqurcd! II thcrc bc dttcrcnccs ot ncomc wthn
tactorcs! (!ow wII thc dttcrcnccs bc dctcrmncd!) And so on.
SnccasystcmotsyndcaIst tactorcs wouId nvoIvcgrcat ncquaI-
tcs otncomc among workcrs n dttcrcnt tactorcs (wth dhcrcnt
amounts otcaptaIpcrworkcr and dttcrcnt prohtabIty), t s dt-
hcuIt to scc why pcopIc who tavor ccrtan cgaItaran cnd-statcpat-
tcrns thnk ths a sutabIc rcaIzaton otthcr vson.
t thc workcr-controIIcd tactory so organzcd wII bc Icss ct-
hccnt by markct crtcra, so that t wII not bc abIc to scII artcIcs
ncxpcnsvcIy as a tactory gcarcd manIy to ncxpcnsvc produc-
ton wth othcr vaIucs pIayng a sccondary roIc or bcng abscnt aI-
togcthcr, ths dthcuIty, as bctorc, s handIcd casIy n onc ottwo
ways (or a combnaton ot thcm). rst, thc workcr-controIIcd tac-
tory can pay cach workcr Icss, that s , through whatcvcr ont
dccsonmakng apparatus thcy usc, thcy can pay thcmscIvcs Icss
than thosc cmpIoycd n thc morc orthodox tactorcs rcccvc, thus
5ncc workcrs actng n thcr own ndvdual ntcrcsts wll thwart thc ct-
hccnt opraton ot workcr-controllcd tactorcs, prhaps broadly bascd rcvolu-
tonary movcmcnts should try to statt such tactorcs wth thcr unsclhsh`
mcmbcrs.
Byond the Minimal State?
cnabI V
ng thcr tactory to markct i
tho
cvcr thc workcrs rchsc to
:
pr
'
d
cts at compttvc prccs.
torcs
torIowcr paymcnt than t

c
rk m thc workcr-controIIcd tac-
tb ne
y
menetar lenqts e/ sucb
Y
couId
othcrwsccarn, that s , i/
e
tb
tbe extra eaed
re !ess imertant te tbem
an
/s
b
thcn
_ hc workcr-controIIcd tacto

:re
eu!d enal!e tbem te de,
payny
ts workcrs compcttvc

can tr
thc sccond aItcrnatvc ot
tor ts
products . t wouId ask th
c
a
ycs a
Ud chargng hghcr prccs
morc

han thcy wouId tthcy bo_

lrchascrs ot thcproducts to pay
thodo7
compcttor, tcIIng thc
D
yht thc
p
roducts trom amorcor-
wouId
thcrcby bc supportng a W
rchascrs that n so dong thcy
dong
thc

r part tor socaI ust

_
j
cr-c

UtroIIcd tactory, and thus

sumcr"
wuI bc wIIng to nc_

Aga:D,
prcsumabIy somc con-
othcrs
wII hnd makng thcr
thc

addtonaI cxpcnsc, whIc

workc
-controIIcd tactory Icss p
c

ar
'
ta
Ic contrbuton to thc
svcIy
d usng thc moncy savcq
i
crabIc
than buyng Icss cxpcn-
tcrnatl
-c chartabIc contrbutoj
x
O\thcr purposcs , ncIudng aI-
numbf
ot pcrsons to support
t
_
t
crc arc not a suthccnt
prvatf
subsdcs unrcIatcd to _
c tact

ry, thcn (barrng Iargc

succccJ
t thcrc arc a suthccnt
`
x
mptIon) t wII taI . t wII
sumcr>
who arc wIIng to somc c

`mbcr
ot workcrs andlor con-
and s

port

cntcrprsc. Jhc j

c
Ut to

sc
"
on
"
onctary crtcra
mcans
OtrcaIizmg thc workcr-coj
lorta
Ut pomt ts that thcrc is a
t
oI sch
about
?Y thc voIuntary actons ot

mc that can bc brought

Cnc
mght thnk that n a >
_
\opIc t
U a trcc soccty.
q
k
'cty co
hrms
or cr-controIIcd tactorcs
Utammg mostIy prvatc
. '9Id ` t
thcy
_
rc cthcicnt. but t thcy _
_

c b
n
.
yct startcd cvcn though
couId
[
ct somc sort ot support j
cIIcv
cd to bc cthccnt, thcy
hrms

r communcs or whatcv
c

a maj
ct cconomy. or such
I .
hoursP
)ng (n consdcrabIc num

cxpc
tmcnt you wsh, oncc
vcstm

!
t n thcr succcss, cvcn jy
x
), co

lq rcpay any orgnaI n-

.
'
rhe q'
!k d h
.
prvat

vcstmcnt. And don t sa

_
.

t
> c t c prmctpIc ot
.
t
at tt x

h !
'
csts ot
jnvcstors to support thc
y

_
agamst t c c ass mtcr-
succcsl'
[ wouId cnd or dmnsh t
J
th ot
xomc cntcrprsc that t
c nvcx
tmcnt systcm. nvcstors

A
_p, thcrc s thc othcr mcthod f
g
)
. [ `]
consumc|
- to coopcratc 1U aworkr-cont
OJ
sc a
'
.
forcng poplc (workcrs and
or wagc
pthcrwsc avalablc to thcm.
s
'
hcm
and to Iorgo thc cxtra goods
LguaItty, Lnvy, LxpIottatton, Ltc. z5 5
arc not so aItrustc. Jhcy act nthcr pcrsonaI and not thcr cIass
ntcrcsts. Cn thc othcr hand, how suthccnt rcsourccs couId bc
gathcrcd n a statc systcm to bcgn a prvatc cntcrprsc, supposng
thcrcwcrc pcopIc wIIng to bc Iaborcrs and consumcrs, s a morc
troubIcsomc qucston.
Lvcn t t s morc dthcuIt to obtan cxtcrnaI nvcstmcnt than
thc prcvous paragraph makcs out, unon trcasurcs now contan
suthccnt tunds to captaI zc many such workcr-controIIcd hrms
whch can rcpay thc moncy wth ntcrcst, as many prvatc owncrs
do wth bank Ioans , and cvcn wth Ioans trom Iabor unons. hy
s t that somc unons or groups ot workcrs don`t start tbeir ewn
busncss! hat an eas way to gvc workcrs acccss to thc mcans ot
producton. buy machncry and rcnt spacc, and so torth, ust as a
prvatc cntrcprcncur docs. t s IIumnatng to consdcr why
unons don` t start ncw busncsscs , and why workcrs don`t pooI
thcr rcsourccs to do so.
MARXI AN E XPLOI TATI ON
Jhs qucston s ot mportancc tor what rcmans ot Marxst cco-
nomc thcory. th thc crumbIng ot thc Iabor thcory ot vaIuc,
thc undcrpnnng ot ts partcuIar thcory otcxpIotaton dssoIvcs.
And thc charm and smpIctyotths thcory` sde/nitien otcxpIota-
ton s Iost whcn t s rcaIzcd that accordng to thc dchnton
thcrc wII b cxpIotaton nan soccty n whch nvcstmcnt takcs
pIacc tor a grcatcr hturc product (pcrhaps bccausc ot popuIaton
growth), and nan soccty n whch thosc unabIc to work, or to
work productvcIy, arc sulsidized by thc Iabor ot othcrs. but at
bottom, Marxst thcory cxpIans thc phcnomcnon ot cxpIotaton
by rctcrcncc to thc workcrs not havng acccss to thc mcans ot
producton. Jhc workcrs havc to scII thcr Iabr (Iabr powcr) to
thc captaIsts , tor thcy must usc thc mcans ot producton to
producc, and cannot producc aIonc. A workcr, or groups otthcm,
cannot hrc mcans otproducton and wat to scII thc product somc
months Iatcr, thcy Iack thc cash rcscrvcs to obtan acccss to ma-
chncry or to wat untI Iatcr whcn rcvcnuc wII bc rcccvcd trom
z54 Beyond the Minimal State?
thc hturc saIc ot thc product now bcng workcd on. or workcrs
must cat n thc mcantmc. Mcncc (thc story gocs) thc workcr s
torccd to dcaI wth thc captaIst. (And thc rcscrvc army otuncm-
pIoycd Iabr makcs unncccssary thc captaIsts` compctng tor
workcrs and bddng up thc prcc otIabor. )
Potc that oncc thc rcst ot thc thcory, propcrIy, sdroppcd, and
t s ths crucaI tact otnonacccss to thc mcans otproducton that
undcrIcs cxpIotaton, t /e!!ews that n a soccty n whch thc
workcrs arc net torccd to dcaI wth thc captaIst, cxpIotaton ot
Iaborcrs wII bc abscnt. (c pass ovcr thc qucston ot whcthcr
workcrs arc torccd to dcaI wth somc othcr, Icss dcccntraIzcd
group. ) So, t thcrc s a scctor ot pubIcIy owncd and controIIcd
(what you wII) mcans otproducton that s cxpandabIc so that aII
who wsh to may work n t, thcn ths s suthccnt tocImnatc thc
cxpIotaton ot Iaborcrs . And n partcuIar, t n addton to ths
pubIc scctorthcrc s a scctor otprvatcIyowncd mcans otproduc-
ton that cmpIoys wagc Iaborcrs who tbeese to work n ths scctor,
thcn thcsc workcrs arc net bcng cxpIotcd. (Pcrhaps thcy choosc
to work thcrc, dcsptc attcmpts to convncc thcm to do othcr-
wsc, bccausc thcy gct hghcr wagcs or rcturns n ths scctor. )
or thcy arc not torccd to dcaI wth thc prvatc owncrs otmcans
otproducton.
Lct us Ingcr tor a momcnt upon ths casc. Supposc that thc
prvatc scctor wcrc to cxpand, and thc pubIc scctor bccamc
wcakcr and wcakcr. Morc and morc workcrs , Ict us supposc,
choosc to work n thc prvatc scctor. agcs n thc prvatc scctor
arc grcatcr than n thc pubIc scctor, and arc rsng contnuaIIy.
Pow magnc that ahcr a pcrod ottmc ths wcak pubIc scctor
bccomcs compIctcIy nsgnhcant, pcrhaps tdsappcars aItogcthcr.
II thcrcbc any concomtant changc n thc prvatc scctor! (S ncc
thcpubIc scctor was aIrcady smaII, by hypothcss, thc ncw work-
crs who comc to thc prvatc scctor wII not attcct wagcs much. )
Jhc thcory ot cxpIotaton sccms commttcd to sayng that thcrc
wouId bc somc mportant changc, whch statcmcnt svy mpIau-
hcrc dd thc mcansotproducton comc trom! ho car!crtorwcnt cur-
rcnt consumpton thcn n ordcr to gan or producc thcm! ho now torgos
currcnt consumpton n payng wagcs and mctor prccs and thus gcts rcturns
onlyattcr thc hnshcdproduct ssold! hosc cntrcprcncura!a!crtncssopratcd
throughout!
LguaItty, Lnvy, Lxplotaton, Ltc. z5 5
sbIc. (Jhcrc`s no good thcorctcaI argumcnt tor t. ) tthcrc wouId
not bc a changc n thc IcvcI or thc upward movcmcnt otwagcs n
thc prvatc scctor, arc workcrs n thc prvatc scctor, hcrctotorc
uncxpIotcd, now bcng cxpIotcd! Jhough thcy don`t cvcn know
that thc pubIc scctor s gonc, havng pad scant attcnton to t,
arc thcy now/erted to work n thc prvatc scctor and to goto thc
prvatc captaIst tor work, and hcncc arc thcy ise/atte ex!eited
So thc thcory wouId sccm to bc commttcd to mantanng.
hatcvcr may havc bccn thc truth otthc nonacccss vcw at onc
tmc, in eur setiet Iargc scctons ot thc workng torcc now havc
cash rcscrvcs npcrsonaI propcrty, and thcrc arc aIso Iargc cash rc-
scrvcs n unon pcnson hnds. Jhcsc workcrs can wat, and thcy
tan nvcst. Jhs rascs thc qucston otwhy ths moncy sn` tuscd to
cstabIsh workcr-controIIcd tactorcs. hy havcn` t radcaIs and
socaI dcmocrats urgcd ths!
Jhc workcrs may Iack thc cntrcprcncuraI abIty to dcntty
promsng opportuntcs tor prohtabIc actvty, and to organzc
hrms to rcspond to thcsc opportuntcs. n ths casc, thc workcrs
can try tobire cntrcprcncurs and managcrs to start a hrm tor thcm
and thcn turn thc authorty hnctons ovcr to thc workcrs (who arc
thc owncrs) attcr onc ycar. (Jhough, as Krzncrcmphaszcs, cntrc-
prcncuraI aIcrtncss wouId aIso bc nccdcd n dccdng whom to
hrc. ) Ottcrcnt groups ot workcrs wouId compctc tor cntrcprc-
ncuraI taIcnt, bddng up thc prcc ot such scrvccs , whIc cntrc-
prcncurs wth captaI attcmptcd to hrc workcrs undcr tradtonaI
owncrshp arrangcmcnts. Lct us gnorc thc qucston ot what thc
cquIbrum n ths markct wouId Iook Ikc to ask why groups ot
workcrs arcn`t dong ths now.
t` srisk startng a ncw hrm. Cnc can`t dcntty casIy ncw cn-
trcprcncuraI taIcnt, and much dcpcnds on cstmatcs ot tuturc
dcmand and ot avaIabIty ot rcsourccs, on untorcsccn obstacIcs,
on chancc, and so torth. SpccaIzcd nvcstmcnt nsttutons and
sourccs ot vcnturc captaI dcvcIop to run ust thcsc rsks . Somc
pcrsons don` t want to run thcsc rsks ot nvcstng or backng ncw
vcnturcs , or startng vcnturcs thcmscIvcs . CaptaIst soccty aIIows
thc scparaton ot thc bcarng ot thcsc rsks trom othcr actvtcs.
Jhc workcrs n thc LdscI branch otthc ord Motor Company dd
not bcar thcrsks otthcvcnturc, andwhcn t Iostmoncy thcy dd
notpay back a porton otthcr saIary. n a socaIst soccty, cthcr
Byond the Minimal State?
oncmust sharc n thc rsks otthc cntcrprsc onc works n, or cvcry-
body sharcs n thc rsks ot thc nvcstmcnt dccsons ot thc ccntraI
nvcstmcntmanagcrs. Jhcrc s no way todivestoncscItotthcsc rsks
ortochooscto carry somc such rsks but notothcrs(acqurng sp-
caIzcd knowIcdgc n somc arcas), as onc can do n a captaIst
soccty.
Chcn pcopIc who do not wsh to bcar rsks tccI cnttIcd to
rcwards trom thosc who do and wn, yct thcsc samc pcopc do not
tccI obIgatcd to hcIp out by sharng thc Iosscs ot thosc who bcar
rsks and Iosc. orcxampIc, croupcrsatgambIng casnoscxpcct to
bc wcII-tppcd by bg wnncrs , but thcy do not cxpcct to bc askcd
to hcIp bcar somc ot thc Iosscs ot thc Ioscrs . Jhc casc tor such
asymmctrcaI sharng s cvcn wcakcr tor busncsscs whcrc succcss s
not a random mattcr. hy do somc tccI thcy may stand back to
scc whosc vcnturcs turn outwcII (bybindsigbt dctcrmnc who has
survvcd thc rsks and run prohtabIy) and thcn cIam a sharc otthc
succcss, though thcy do not tccI thcy must bcar thc Iosscs tthngs
turn out poorIy, or tccI that tthcy wsh to sharc n thc prohts or
thc controI otthc cntcrprsc, thcy shouId nvcst and run thc rsks
aIso!
Jo comparc how Marxstthcorytrcatssuch rsks, wc must takc
a brctcxcurson through thc thcory. Marx s thcory s onc torm ot
thc productvc rcsourccs thcory otvaIuc. Such a thcory hoIds that
thc vaIuc V ota thng X cquaIs thc sum totaI otsoccty`s produc-
tvc rcsourccs cmbodcd n X. Put n a morc usctuI torm, thc rato
ot thc vaIuc ot two thngs V(X)/V(Y) s cquaI to thc rato ot thc
amount otproductvc rcsourccs cmbodcd n thcm, M (rcsourccs n
X)/M (rcsourccs n Y), whcrc M s a mcasurc ot thc amount. Such
a thcory rcqurcs a mcasurc M whosc vaIucs arc dctcrmncd n-
dcpcndcntIy otthc V ratos to bc cxpIancd. !twc conjon to thc
productvc rcsourccs thcory otvaIuc, thc Iabor thcoryotproductvc
rcsourccs, whch hoIds that Iabor s thc onIy productvc rcsourcc,
wc obtan thc Iabor thcory otvaIuc. Many ot thc objcctons whch
havc bccn drcctcd toward thc Iabor thcory otvaIuc appIy to any
productvc rcsourccs thcory.
An aItcrnatvc to thc productvc rcsourccs thcory otvaIuc mght
say that thc va!ue ot productvc rcsourccs s dctcrmncd by thc
vaIuc otthc hnaI products that arsc trom thcm (can bc madc trom
thcm), whcrc thc vaIuc ot thc hnaI product s dctcrmncd n somc
jguaItty, Lnvy, Lxplottatton, Ltc. 257
way tber than by thc vaIuc otthc rcsourccs uscd n t. !t onc
machnccan bc uscd to makcX (and nothng cIsc)and anothcrcan
e uscd to makc Y, and cach uscs thc samc raw matcraIs n thc
samc amounts to makc a unt ot ts product, and X s morc vaIu-
abIc than Y, thcn thc hrst machnc s morc vaIuabIc than thc scc-
ond, cvcn t cach machnc contans thc samc raw matcras and
took thc samc amount ot tmc to makc. Jhc hrst machnc, havng
a morc vaIuabIc hnaI product , wII command a hghcr prcc than
thc sccond. Jhs may gvc rsc to thc IIuson that ts products arc
morc vaIuabIc bccausc it s morc vaIuabIc. but ths gcts thngs
backwards. !t s morc vaIuabIc bccausc ts products arc.
but thc productvc rcsourccs thcory otvaIuc docsn` t taIk about
thc vaIuc otthc productvc rcsourccs , onIy about thcr amounts . !t
thcrc wcrc onIy onc tactor ot producton, and t wcrc homogc-
ncous, thc productvc rcsourccs thcory at Icast couId bc non-
crcuIarIy statcd. but wth morcthan onctactor, rne/actr/di]
/erent kinds, thcrc s a probIcm n scttng up thc mcasurcM to gct
thc thcory statcd n a noncrcuIar way. or t must bc dctcrmncd
how much ot onc productvc tactor s to count as cquvaIcnt to a
gvcn amount ot anothcr. 0ne proccdurc wouId bc to sct up thc
mcasurc by rctcrcncc to thcva!ues otthc hnaI products, soIvng thc
rato cquatons. but ths proccdurc wouId dchnc thc mcasurc on
thc bass ot ntormaton about h naI vaIucs, and so couId not bc
uscd to ex!ain hnaI vaIucs on thc bass ot ntormaton about thc
amounts ot nputs.
q
An a!ternative proccdurc wouId bc to hnd
somc cmmn thng that can bc produccd byX, and Y, n dttcrcnt
quanttcs , and to usc thc rato ot thcquantities othnaI product to
dctcrmnc thc quantities ot nput. Jhs avods thc crcuIarty ot
Iokng at hnaIva!uo hrst, onc bcgns by Iookng at hnaIquantities
ot somcthng, and thcn uscs ths ntormaton to dctcrmnc quant-
tcs otnput (to dchnc thc mcasurcM). but cvcn tthcrc s a com-
mon product, t may not bc what thc dttcrcnt tactors arc bcst
sutcd tor makng, and so us ng t to comparc thcm may gvc a
msIcadng rato. Cnc has to comparc thc dttcrcnt tactors at thcr
Mowcvcr t gvcn thc valucs ot JU hnal products (wth grcat lattudc
abut whch oncs would scrvc) thc rato cquatons could b uscd to spcq thc
mcasurc M and that could b uscd to ycld thc valucs tor thc othcr hnal prod-
ucts, thcn thc thcory would havc somc contcnt.
Byond the Minimal State?
ndvduaI bcst tuztons. AIso, ttwo dttcrcnttbings can bc madc
by cach rcsourcc, znd thc ratos otthc amounts dio, thcrc s thc
probIcm otwhch (ato z to bc pckcd to provdc thc constant ot
proportonaIty bctwccn thc rcsourccs.
c can IIustratcthcsc dthcuItcs by consdcrng PauI Swcczy`s
cxposton otthc c,nccpt otsmpIc, undttcrcntatcd Iabor tmc.
I
"
Swcczy consdcrs |ow sk)IIcd Iabor and unskIIcd Iabor arc to bc
cquatcd and agrcc; that t wouId bc circu!ar to do so on thc bass
ot thc vaIuc ot t|c hnaI product, sncc that`s what`s to bc cx-
pIancd. Swcczy t|
cn sayz that skII dcpcnds on two thngs. tran-
ng and naturaI
cttcrcnccs . Swcczy cquatcs tranng wth thc
numbcr otbeurs spcnt n tranng, wthout Iookng to thc skII ot
thc tcachcr, cvcn zs crudcIy mcasurcd by how many hours thc
tcachcr spcnt n trznng (and how many hours bis tcachcr dd!).
Swcczy suggcsts gettng at naturaI dhcrcnccs by havng twopcr-
sons makc thc saqc thn_, and sccng how thc quanttcs dttcr,
thus hndng thc r+ro to cquatc thcm. but tskIIcd Iabor otsomc
sort s not bcst vcwcd as a tastcr way otproducng thc samc prod-
uct that unskIIcdlabor produccs , but rathcr as awayotproducng
aletter product, thcn ths mcthod otdchnng thcmcasurcM won` t
work. (ncomparog Kcmbrandt` sskII wthmnc, thc crucaI tact
s not thathcpants pctrcs/aster than do. ) t wouId bc tcdos
to rchcarsc thc st+ndard countcrcxampIcs to thc Iabor thcory ot
vaIuc. tound naturzI obccts (vaIucd abovc thc Iabor ncccssary to
gct thcm), rarc goods (Icttcrs trom PapoIcon) that cannot bc rc-
produccd n unIqtcd quanttcs, dttcrcnccs n vaIuc bctwccn
dcntcaI obccts atdttcrcntpIaccs, dttcrcnccs skIIcd Iabormakcs,
changcs causcd by uctuatons nsuppIy and dcmand, agcd obccts
whosc producng rcqurcs much tmc to pass (oId wncs), and so
on.
! I
Jhc ssucs thus
tar mcntoncd conccrn thc naturc otsmpIc un-
dttcrcntatcd Iabor tmc, whch s to provdc thc unit aganst
whch aII cIsc s to bc mcasurcd. c now must ntroducc an add-
tonaI compIcatop. or Marxst thcory docs net hoId that thc
vaIuc otan obcct
s proportonaI to thc numbcr ot smpIc undt-
tcrcntatcd Iabor hours that wcnt nto ts producton' rathcr thc ,
7
thcory hoIds that
thc vaIuc ot an obcct s proportonaI to thc
numbcr otsmpIc
ndttcrcntatcdsecia!l necessa:y Iabor hours that
Lnvy, Lxplot ta tton, Ln. z5>
wcnt nto ts producton. hy thc addtonaI rcqurcmcnt that
thc Iabor hours bc socaIIy ncccssary! Lct us procccd sIowIy.
Jhcrcqurcmcnt that an obcct havc utIty s a ncccssary com-
poncnt otthc Iaborthcory otvaIuc, tt s to avod ccrtan obcc-
tons. Supposc apcrsonworks on somcthngabsoIutcIyuscIcssthat
no onc wants. or cxapIc, hc spcnds hours cthccntIy makng a
bg knot, no onc cIsc can do t morc quckIy. II ths obcct bc
that many hours vaIuabIc! A thcory shouId not havc ths consc-
qucncc. Marx avods t as toIIows. Pothng can havc vaIuc wth-
out bcng an obcct ot utIty. ta thng s uscIcss so s thc Iabor
contancd n t, thc Iabor docs not count as Iabor, and thcrctorc
crcatcsnovaIuc . ` '
t
sn` tthsanadbecrcstrcton!Lvcn thcrcstot
thc thcory, who docs t appIy! hy docsn`ta!l cthccntIy donc
IaborcrcatcvaIuc! tonc has to brng n thc tact that t`s otusc to
popIc and actua!l wanted (supposc t wcrc ot usc, but no onc
wantcd t), thcn pcrhaps by Iookng onIy at wants , wbicb bavetele
lreugbt in anwa, onc can gct a cem!ete thcory otvaIuc.
Lvcn wth thcadbec constrant that thc obcct must bc otseme
usc, thcrc rcman probIcms . or, supposc somconc works tor 6
hours onsomcthngotsomc vcrys!igbt utIty (and thcrc snoway
to makc t morc cthccntIy). Jhs satshcs thc ncccssary condton
tor vaIuc that thc obcct havc seme utIty. s ts vaIuc now dctcr-
mncd by thcameunt ot Iabor, ycIdng thc conscqucncc that t s
ncrcdbIy vaIuabIc! Po. or thc Iabr spcnt on thcm (commod-
tcs) counts cttcctvcIy onIy nsotar as t s spnt n a torm that s
uschI to othcrs . `
I
Marx gocs on to say. hcthcr that Iabor s
" 'hc labour tmc socally ncccssary s that rcqurcd to producc an artclc
undcr thc normal condtons otproducton, and wth thc avcragc dcgrcc otskll
and ntcnsty otlabrprcvalcnt at thc tmc n agvcn soccty. ` KarlMarx, Ca-
ta/, vol. I (Pcw York. Modcrn Lbrary, n. d. ) , p. q6. Potc that wc also want
tocxplanwhy normal condtons otproducton arc d thcy arc, and why a par-
tcular skll and ntcnsty ot labr s uscd on tbat partcular product. lor t s
not thc avcragc dcgrcc otskll prcvalcnt n a soccty that s rclcvant . Most pr-
sons may bc morc skllcd at makng thc product yct mghthavcsomcthngcvcn
morc mportant to do, lcavng only thosc otlcss than avcragc skll at work on
tt. hat s rclcvant would havc to b thc skll otthosc who actually uerk at
makng thc product. Lnc wants a thcory also to cxplan what dctcrmncs whch
prsons otvaryng sklls work at makng a partcular product . mcnton thcsc
qucstons, otcoursc, bcausc thcy can bc answcrcd by an altcrnatvc thcory.
Byond the Minial State?
usctuI tor othcrs, and ts product conscqucntIy capabIc ot sats|-
ng thc wants ot othcrs , can bc provcd onIy by thc act ot
cxchangc. twc ntcrprct Marxas sayng, netthat utIty sa ncc-
cssary condton and that (oncc satshcd) thc amount ot Iabor dc-
tcrmncs vaIuc, but rathcr that thcdegree otutIty wII dctcrmnc
how much (usctuI)Iaborhas bccn cxpcndcd on thc obcct, thcn wc
havc a thcory vcry dttcrcnt trom a Iabor thcory otvaIuc.
c can approach ths ssuc trom anothcr drccton. Supposc
that uschI thngs arc produccd as cthccntIy as thcy can bc, but
that too many ot thcm arc produccd to scII at a ccrtan prcc. Jhc
prcc that cIcars thc markct sIowcr than thc apparcnt IaborvaIucs
ot thc obccts, a grcatcr numbcr ot cthccnt hours wcnt nto pro-
ducng thcm than pcopIc arc wIIng to pay tor (at a ccrtan prcc
pcr hour). Oocs ths show that thc numbcr ot avcragc hours dc-
votcd to makng an obcct ot sgnhcant utIty docsn`t dctcrmnc
ts vaIuc! Marx`s rcpIy s that tthcrc s such ovcrproducton so
that thc markct docsn`t cIcar at a partcuIar prcc, thcn thc Iabr
was ncthccntIy uscd (Icss ot thc thng shouId havc bccn madc),
cvcn though thc Iabor tscIt wasn`t ncthccnt. Mcncc not aII ot
thosc Iabor hours consttutcd socaIIy ncccssary Iabor tmc. Jhc
obcctdocs nothavc a vaIuc Icss than thc numbcrotsocaIIy ncccs-
sary Iabor hours cxpcndcd upon t, tor thcrc wcrc tcwcr socaIIy
ncccssary Iabor hours cxpcndcd upon t than mcct thc cyc.
bupposc that cvcry ptccc ot Itncn tn thc markct contatns no morc Iabor-
ttmc than ts soctaIIy ncccssary. n sptc ot thts, aII thc ptcccs takcn as a
whoIc may havc had supcrhuous Iabor-ttmc spcnt upon thcm. t thc
markct cannot stomach thc whoIc guanttty at thc normaI prtcc ot 2
shtIItngs a yard, thts provcs that too grcat a portton ot thc totaI Iabor ot
thc communtty has bccn cxpcndcd tn thc torm ot wcavtng. Jhc cttcct ts
thc samc as tt cach wcavcr had cxpndcd morc Iabor-ttmc upn hts par-
ttcuIar product than ts soctaIIy ncccssary.
Jhus Marx hoIds that ths Iabor sn`taII socaIIy ncccssary. bat s
socaIIy ncccssary, and how much ott s, wII bc dctcrmncd by
what happcns on thc markct! !
!
Jhcrc s no Iongcr any Iabor
thcory otvaIuc, thc ccntraI noton otsocaIIy ncccssary Iabor tmc
s itseqdqned n tcrms otthc proccsscs and cxchangc ratos ot a
compcttvc markct!
!

c havc rcturncd to our carIcr topc , thc rsks ot nvcstmcnt

and producton, whch wc scc transtorms thc Iabor thcory otvaIuc
LguaItty, Lnvy, LxpIottatton, Ltc.
nto onc dchncd n tcrms ot thc rcsuIts ot compcttvc markcts.
Lonsdcr nOwJ systcm otpaymcnt naccordancc wth smpIc, un-
dttcrcntatcd, socaIIy ncccssary Iabor hours workcd. Lndcr ths
systcm, thc rsks assocatcd wth a proccss otproducton arc bornc
by cach workcr partcpatng n thc proccss . Mowcvcr many hours
hc works at whatcvcr dcgrcc ot cthccncy, hc wII not know how
many socaIIy ncccssary Iabr hours hc has workcd untI t s sccn
how many pcopIc arc wIIng to buy thc products at what prcc. A
systcm otpaymcnt n accordancc wth thc numbcr otsocaIIy ncc-
cssary Iabor hours workcd thcrctorc wouId pay somc hard-workng
Iabrcrs aImost not at aII (thosc who workcd tor huIa hoop manu-
tacturcrs ahcr thc tad had passcd, or thosc who workcd n thc
LdscI pIant ot thc ord Motor Lompany), and wouId pay othcrs
vcry IttIc. (Lvcn thcgrcat and nonaccdcntaI ncompctcnccotthc
nvcstmcnt and producton dccsons n a socaIst soccty, t wouId
bc vcry surprsng tthc ruIcrsotsuch a soccty darcd to pay work-
crs cxpIctIy naccordancc wth thc numbcrot'socaIIy ncccssary
Iabor hours thcy work! )Such a systcm wouId compcI cach ndvd-
uaI to attcmpt to prcdct thc tuturc markct tor thc product hc
works on, ths wouId bc qutc ncthccnt and wouId nducc thosc
who arc dubous abut thc tuturc succcss ota product to torgo a
ob thcy can do wcII, cvcn though othcrs arc conhdcnt cnough ot
ts succcss to rsk much on t. LIcarIy thcrc arc advantagcs to a
systcm whch aIIows pcrsons to shh rsks thcy thcmscIvcs do not
wsh to bcar, and aIIows thcm to bc pad a hxcd amount, whatcvcr
thc outcomc otthc rsky proccsscs .
q
Jhcrc arc grcat advantagcs to
aIIowng opportunitcs tor such spccaIzaton n rsk-bcarng,
thcsc opportuntcs Icad to thc typcaI gamut otcaptaIst nsttu-
tons.
Marx attcmpts to answcr thc to!Iowng Kantan-typc qucston.
5uch rsks cou!dnotb nsurcd aganst torcvcry procct . hcrc w!! b dt-
tcrcnt cstmatcs otthcsc rsks, and oncc havng nsurcd aganst thcm thcrc w!!
b !css nccntvc to act fu!!y to brng about thc tavorab!c a!tcrnatvc. 5oan n-
surcr wou!d havc to watch ovcr or montor onc`s actvtcs to avod what s
tcrmcd thc mora! hazard. ` Sc Kcnncth Arrow, E::a: in tbe 7bee o/ Ri:k-
8mring (Lhcago. Markham, I gy I) . A!chan and Qmsctz, American Ecenemic
Revim ( I gyz), pp. yyyyg , dscuss montorng actvtcs, thcy arrvc at thc
subcct thmugh consdcrng prob!cms abut cstmatng margna! product n
ont actvtcs thmugh montorng inut, rathcr than thmugh consdcratons
abut rsk and nsurancc.
Byond the Minial State?
how arc prohts possbIc!
'
' Mow can thcrc bc prohts tcvcrythng
gcts ts hII vaIuc, tno cbmting gots on Jhc answcr tor Marx Ics
n thc unquc charactcr ot Iabor powc(, its vaIuc s thc cost ot
producng t (thc Iabr that gocs nto t) , yct t tscIts capabIc ot
producng morc vaIuc than t has (Jhs s truc ot machncs as
wcII . ) Puttng a ccrtan amount otIabor L nto makng a human
organsm produccs somcthng capabIc otcxpndng an amount ot
Iaborgrmto thanL. bccausc ndvcuaIs Iack thc rcsourccs to wat
tor thc rcturn trom thc saIc ot thc prOducts ot thcr Iabor (scc
abovc), thcy cannot gathcr thcsc bcnchrs ot thcr own capactcs
and arc torccd to dcaI wth thc capitaIsts. !n vcw otthc dthcuI-
tcs wth Marxst cconomc thcory, onc wouId cxpcct Marxsts to
study carctuIIy aItcrnatvc thcorcs ot thc cxstcncc ot proht, n-
cIudng thosc tormuIatcd by 'bou(gcos` cconomsts. Jhough !
havc conccntratcd hcrc on ssucs +bour rsk and unccrtanty, !
shouId aIso mcnton nnovaton (5chumpctcr) and, vcry mpor-
tantIy, thc aIcrtncss to and scarch lor ncw opportuntcs tor arb-
tragc (broadIy conccvcd) whch othcrs havc not yct notccd.
'
An
aItcrnatvc cxpIanatory thcory, tadcquatc, prcsumabIy wouId rc-
movc much ot thc sccnthc motvaton undcrIyng Marxst cco-
nomc thcory, onc mght bc Ictt wth thc vcw that Marxan cx-
pIotaton s thc cxpIotaton ot pcopIc`s Iack ot undcrstandng ot
cconomcs.
VOLUNTARY EXCHANGE
Somc rcadcrs wII obcct to myspcakng trcqucntIy ot voIuntary
cxchangcs on thc grounds that somc actons (tor cxampIc, workcrs
acccptng a wagc poston) arc not rcaIIy voIuntary bccausc onc
party taccs scvcrcIy Imtcd optons, wth aII thc othcrs bcng
much worsc than thc onc hc chooscs. hcthcr a pcrson`s actons
arc voIuntary dcpcnds on what t s that Imts hs aItcrnatvcs. !t
tacts otnaturc do so, thc actons arc voIuntary. (! may voIuntarIy
waIk to somcpIacc ! wouId prctcrto hy to unadcd. ) Cthcr pcopIc`s
actons pIacc Imts on onc`s avaIabIc opportuntcs . hcthcr ths
makcs onc`s rcsuItng acton non-voIuntary dcpcnds upon whcthcr
thcsc othcrs had thc rght to act as thcy dd.
LguaIty, LnVy, LxpIotaton, Ltc.
Consdcr thc loIIowng cxampIc. Supposc thcrc arc twcnty-sx
womcn and twcnty-sx mcn cach wantng to bc marrcd lor cach
scx, aII ol that scx agrcc on thc samc rankng ol thc twcnty-sx
mcmbcrs ol thc oppostc scx n tcrms ol dcsrabIty as marragc
partncrs. caII thcm A to Z and A ' to Z' rcspcctvcIy n dccrcasng
prctcrcntaI ordcr. A and A ' voIuntarIy choosc to gct marrcd,
cach prclcrrng thc othcr to any othcr partncr. b wouId most
prctcr to marry A' , and b wouId most prctcr to marry A, but by
thcr choccs A and A' havc rcmovcd thcsc optons. hcn b
and b marry, thcr choccs arc not madc nonvoIuntary mcrcIy by
thc lact that thcrc s somcthng cIsc thcy cach wouId rathcr do.
Jhs othcr mostprclcrrcd opton rcqurcs thccoopcraton olothcrs
whohavc choscn, as s thcr rght, not tocoopcratc. b andb chosc
among lcwcr optons than dd A and A ' . Jhs contracton ot thc
rangc ot optons contnucs down thc Inc untI wc comc to Z and
Z' , who cach tacc a chocc bctwccn marryng thc othcr or rcman-
ng unmarrcd. Lach prclcrs any onc ot thc twcnty-hvc othcr
partncrs who by thcr choccs havc rcmovcd thcmscIvcs trom con-
sdcraton byZ andZ' . Z andZ' voIuntarIy choosc to marry cach
othcr. Jhc tact that thcr onIy othcr aItcrnatvc s (n thcr vcw)
much worsc, and thc lact that othcrs chosc to cxcrcsc thcr rghts
n ccrtan ways , thcrcby shapng thc cxtcrnaI cnvronmcnt ot op-
tons n whchZ andZ' choosc, docs not mcan thcy dd not marry
voIuntarIy.
SmIar consdcratons appIy to markct cxchangcs bctwccn
workcrs and owncrs ot captaI . Z s laccd wth workng or starv-
ng, thc choccs and actons ot aII othcr pcrsons do not add up to
provdng Z wth somc othcr opton. (Mc may havc varous op-
tons about what ob to takc. ) Oocs Z choosc to work voIuntarIy!
(Oocs somconc on a dcscrt sIand who must work to survvc!) Z
docs choosc voIuntarIy tthc othcr ndvduaIs A through Y cach
actcd voIuntarIy and wthn thcr rghts. c thcn havc to ask thc
qucston about thc othcrs . c ask t up thc IncuntI wc rcachA,
orA and b, who chosc to act n ccrtan ways thcrcby shapng thc
cxtcrnaI chocc cnvronmcnt n whch C chooscs. c movc back
down thc Inc wth A through C` s voIuntary chocc altcctng L` s
chocc cnvronmcnt, and A through L s choccs attcctng L s
chocc cnvronmcnt, and so on back down to Z. A pcrson`s chocc
among dtlcrng dcgrccs otunpaIatabIc aItcrnatvcs s not rcndcrcd
Beyond the Minimal State?
nonvoIunrary by rhc lacr rhar orhcrs voIunrarIy chosc and acrcd
wrhn rhcr rghrs n a way rhar dd nor provdc hm wrh a morc
paIarabIc aIrcrnarvc.
c shouId norc an nrcrcsrng lcarurc ol rhc srrucrurc olrghrs
ro cngagc n rcIaronshps wrh orhcrs , ncIudng voIunrary
cxchangcs. Jhc rghr ro cngagc n a ccrran rcIaronshp s nor a
rghr ro cngagc n r wrh anyonc, or cvcn wrh anyonc who wanrs
ro or wouId choosc ro, bur rarhcr r s a rghr ro do r wrh anyonc
who has rhc rghr ro cngagc n r (wrh somconc whohas rhc rghr
ro cngagc n r . . . ) . Kghrs ro cngagc n rcIaronshps or rransac-
rons havc hooks on rhcm, whch musr arrach ro rhc corrcspondng
hook olanorhcrs rghr rhar comcs our ro mccr rhcrs . My rghr ol
lrcc spccch s nor voIarcd by a prsoncr`s bcng kcpr n soI rary
conh ncmcnr so rhar hc cannor hcar mc, and my rghr ro hcar n-
lormaron s nor voIarcd l rhs prsoncr s prcvcnrcd lrom com-
muncarng wrh mc. Jhc rghrs olmcmbcrs olrhc prcss arc nor
voIarcd lLdward Lvcrcrr MaIc`s `man wrhour a counrry` s nor
pcrmrrcd ro rcad somc ol rhcr wrrngs , nor arc rhc rghrs ol
rcadcrs voIarcd l)oscl CocbbcIs s cxccurcd and rhcrcby prc-
vcnrcd lrom provdng rhcm wrh addronaI rcadng marcraI. n
cach casc, rhc rghr s a rghr ro a rcIaronshp wrh somconc cIsc
whoa!se has rhc rghr ro bc rhc orhcr parry n such a rcIaronshp.
AduIrs normaIIy wII havc rhc rghr ro such a rcIaronshp wrh
any orhcr conscnrng aduIr who has rhs rghr , bur rhc rghr ma
bc lorlcrcd n punshmcnr lor wrongluI acrs . Jhs compIcaron ol
hooks on rghrs wII net bc rcIcvanr ro any cascs wc dscuss . bur r
docs havc mpIcarons, lor cxampIc r compIcarcs an mmcdarc
condcmnaron olrhc dsrupron olspcakcrs n aul!i. pIacc, soIcIy
on rhc grounds rhar rhs dsrupron voIarcs rhc rghrs ol orhcr
pcopIc ro bear wharcvcr opnons rhcy choosc ro Isrcn ro. lrghrs
ro cngagc n rcIaronshps go our onIy haIl-way, rhcsc orhcrs do
havc a rghr ro hcar wharcvcr opnons rhcy pIcasc, bur onIy lrom
pcrsons who havc a rghr ro communcarc rhcm. Mcarcrs` rghrs
arc nor voIarcdi/ rhc spcakcr has no hook ro rcach our ro jon up
wrh rhcrs . (Jhc spcakcr can Iack a hookcd rghr onIy bccausc ol
somcrhng hc has donc, nor bccausc ol rhc .entent ol whar hc s
" Since am unsure of this point, put this paragraph forward very tenta
tively, as an interesting conjecture.
Equal ity, Envy, Exploitat ion, Etc.
abour ro say. ) My rchccrons hcrc arc nor nrcndcd ro jusrly
dsrupron, mcrcIy ro warn agansr rhc roo smpIc grounds lor con-
dcmnaron whch myscIlhavc bccn pronc ro usc.
PHI LANTHROPY
havc ponrcd our how ndvduaIs mghr choosc ro hcIp supporr
typcs ol acrvrcs or nsrrurons or sruatons rhcy lavor, lor cx-
ampIc, workcr-conrroIIcd lactorcs , opporrunry lor orhcrs , rcduc-
ton ol povcrry, mcanngluI work stuatons. bur wII cvcn thosc
pcopIc who lavor thcsc causcs choosc ro makc such charrabIc con-
trburons ro othcrs , cvcn whcn thcrrax burdcns arc Ilrcd! Oon`r
rhcy want thc e!iminatien or ale!itien ol povcrty, ol mcanngIcss
work, and sn` t rhcr contrbuton onIy adrop n thar buckcr! And
won`t thcy lccI Ikc suckcrs l thcy gvc whIc orhcrs do nor!
Mghrn`r t bc thar thcy a!l lavor compuIsory rcdstrburon cvcn
though thcy wouId not makc prvatc charrabIc glts wcrc rhcrc no
compuIson upon aII!
Lct us supposc a sruaron n whch rhcrc s unvcrsaIIy lavorcd
compuIsory rcdsrrburon, wth translcrs bcng madc lrom rch n-
dvduaIs to poor ndvduaIs. but Ict us supposc that thc govcrn-
mcnt, prhaps n ordcr ro savc thc costs olrranslcraI , opcrarcs rhc
compuIsory systcm by havng cach rch ndvduaI cach month
scnd hs amounr by moncy ordcr to rhc posr olhcc box ola rccp-
cnt whosc dcntty hc docs not know and who docs nor know
hs. ' " Jhc totaI rranslcr s thc totaI ol rhcsc ndvduaI translcrs.
And by hyporhcss, cach ndvduaI who pays supports thc com-
puIsory systcm.
Pow Ict us supposc rhat thc compuIson s rcmovcd. II thc
ndvduaIs contnuc ro makc thcr translcrs voIuntIy! Prc-
vousIy aconrrbuton hcIpcd aspcchc ndvduaI. t wIIcontnuc
to hcIp that ndvduaI , whcthcror not othcrs contnuc thcr con-
trbuton. hyshouIdsomconc noIongcrwant to do t! Jhcrc arc
rwo rypcs olrcasons worth consdcrng. hrsr, hs conrrbuton has
Icss chccr on rhc probIcm than undcr thc compuIsory schcmc, scc-
ond, hs makng a contrburon nvoIvcs hs makng morc olasac-
rhcc rhan undcrthccompuIsoryschcmc. hat hs paymcnt undcr
Beyond the Minimal State?
thc compuIsory schcmc accompIshcs s worth to hm ths pay-
mcnt. Mc no Iongcr contrbutcs n a voIuntary schcmc cthcr
bccausc that contrbuton buys hm Icss or bccausc t costs hm
morc.
hy mght hscontrbuton havc Icss otan cttcct n thc abscncc
ot somc or aII ot thc othcr contrbutons! hy mght t buy hm
Icss! rst, thc prson may dcsrc thc aboIton and cradcaton ot
povcrty (mcanngIcss work, pcopIc n subordnatc postons, and
so on) n a way that gvcs ths a vaIuc abovc and bcyond thc cIm-
natonotcachndvduaI`spovcrty." JhcrcaIzatonotthcdcaIot
ne povcrty, and so torth, has ndcpcndcnt vaIuc tor hm.
q
(Lvcn
socaI ncthccncy, t ncvcr wII happcn thatstrctIy nonc rcmans . )
but sncc hc wII contnuc to contrbutc so Iong as thc othcrs do
(and wII vcw hs own contrbuton as vcry mportant, gvcn that
thc othcrs contrbutc), ths cannot bc thc motvaton that Icads
any pcrson to stop contrbutng. Somc rcmndcr may bc nccdcd,
pcrhaps , ot why onc wants to cImnatc varous cvIs, whch rca-
sons wII tocus upon why partcuIar cvIs arc undcsrabIc, apart
trom whcthcr or not thcy arc dupIcatcd cIscwhcrc. Jhc rcducton
otan cvI trom two Ustanccs to onc s as mportantas ts rcducton
trom onc to zcro. Cnc mark otan dcoIoguc s to dcny ths. Jhosc
pronc to work tor compuIsory gvng bccausc thcy arc surroundcd
by such dcoIogucs, wouId bcttcr spcnd thcr tmc tryng to brng
thcr tcIIow ctzcns` abstractons down to carth. Cr, at Icast, thcy
shouId tavor a compIsory systcm that ncIudcs wthn ts ncten/
such dcoIogucs (who tavor thc compuIsory systcm).
A sccond and morc rcspcctabIc rcason why hs voIuntary con-
trbuton wouId buy hm Icss , and thus bc arcasontor somconc to
stop hs contrbutons undcr a voIuntary systcm whIc tavorng a
compuIsory onc, wouId bc thc bcIctthat thc phcnomcnon to bc
cImnatcd contans jntcrnaI aggravatng ntcractons. CnIy t aII
componcnts arc smultancousIy trcatcd wII a trcatmcnt ota gvcn
componcnt havc a ccrtan rcsuIt. Such a trcatmcnt both ads a
gvcn componcnt and rcduccs ts aggravaton ot thc condton ot
. 5omctmcs ndccd, onc cncountcrs ndvduals Iorwhom thcunm:a| crad-
tcatton oIsomcthng has vcry grcat valuc whlc ts cradcaton n somc partcu-
larcascshas almost no vauc at all, ndvduals whocarc abut poplc n thc ab-
stract whlc, apprcntly, ot havng such carc abut any partcular poplc.
LguaItty, Lnvy, LxpIottatton, Ltc.
othcr componcnts, but ths rcducton n thc cxtcrnaI aggravaton
on cach othcr ndvduaI may bc ncgIgbIc by tscIt or may bc
bcIow a ccrtan thrcshoId. n such a stuaton, your gvng $n to
onc ndvduaI whIc many othcrs cach gvc $n to cach or most ot
thc othcr ndvduaIs ntcractng wth thc rccpcnt ot your con-
trbuton may producc a sgnhcant cttcct on your rccpcnt, worth
to you your gvng up thc $n, whcrcas your bcng aIonc n gvng
$n to your rccpcnt wII not producc as grcat an cttcct on hm.
Sncc thc actuaI cttcct produccd may not bc worth $n to you, you
wII not contrbutc voIuntarIy. but agan, ths s not arcasonwhy
thosc gvng wouId stop, howcvcr, t s a rcason why thosc gvng
wouId stop tthc othcrs stop, and hcncc t wouId bc a rcason why
t mght bc dthcuIt to start up such gcncraI gvng. PcopIc who
work to nsttutc a compuIsory schcmc couId dcvotc thcr cncrgcs
to cstabIshng a coordnatcd start-up. Jhs task s madc cascr by
thc tact that pcopIc want not onIy that somc cvI bc rcduccd or
cImnatcd, thcy aIso want to hcIp n ths and to bc a part otwhat
produccs thc aIIcvaton otthc probIcm. Jhs dcsrc dmnshcs thc
trcc rdcr` probIcm.
Lct U now turn to why thc pcrson`s contrbuton (ot thc samc
amount ot moncy as undcr thc compuIsory schcmc) mght cost`
hm morc. Mc mght tccI that onIy suckcrs` or saps` makc
spccaI sacrhccs whcn othcrs arc gcttng away` wth not makng
any, or hc mght bc upsct by thc worscnng oths poston rcIatvc
to thosc who don` t contrbutc, or ths worscnng ot rcIatvc pos-
ton mght put hm n a worsc compcttvc poston (rcIatvc to
thcsc othcrs) to gan somcthng hc wants. Lach pcrson n a group
mght tccI ths about hmscIt and thc othcrs, and so cach onc n
thc group mght prctcr a systcm undcr whch cvcryonc s com-
pcIIcd to contrbutc ovcr a voIuntary systcm.
q
(Jhcsc tccIngs
mght hoId aIong wth thc two othcr rcasons prcvousIy Istcd. )
hough cvcryonc mght Iavor somc compulsory schcmc ovcr a voluntary
onc, thcrc nccd bc no onc compulsory schcmc that cach prson Iavors most, or
cvcn onc thatcachprsonIavors ovcrthcvoluntary onc. lundscan b rascd by
a proportonal tax, or by any numbcr oIdIIcrcnt progrcssvc taxcs. S t s not
clcar how unanmous agrccmcnt to onc partcuIarschcmc s suppscd to arsc. (l
takc ths pnt Irom 'Locrcon, ` n 5. Morgcnbsscr, P. 5upps, and M.
htc, cds. , Pbi/e:eb, Science, and Metbed (P. Y. . 5t. Martns Prcss, I g6g),
pp. qqO}z , n. q} . )
Beyond the Minimal State?
Mowcvcr, t aII prctcr gvng provdcd aII thc othcrs do aIso, aII
can jontIy contract to gvc contngcnt upon thc othcrs` gvng. t
s not pIausbIc to supposc that somc mght prctcr not to contrb-
utc provdcd thc othcrs gvc. or thc systcm whch drcctIy chan-
ncIs tunds to thc rccpcnts (wth random scIccton among potcn-
taI rccpcnts otwho rcccvcs thc paymcnt) mnmzcs 'trcc rdcr`
motvatons, sncc cach pcrson`scontrbuton wII bc havng a scp-
aratc cttcct. Lvcn tsomc had such motvatons , tthc othcrs wcrc
a szabIc cnough group not to bc rankIcd by thc abscncc ot somc
and so to drop out thcmscIvcs , thcy (oncc agan)can contrbutc by
jontIy contractng to gvc contngcnt upon thc (rcmanng)othcrs`
gvng aIso. Jhc casc to consdcr, thcn, nvoIvcs somc n a ccrtan
ncomc b

rackct who rctusc to gvc, wbetber er net thc othcrs gvc.

Jhcy don` t dcsrc to bc trcc rdcrs, thcy don`t carc about thc rdc
at aII . Yct thc othcrs mght bc wIIng to gvc onIy tah who can
attord t gvc. Jhc rchscrs wouId not agrcc to ah bcng torccd to
contrbutc, and so thc rcdstrbutvc movc contrary to our hypoth-
css s not to a Parcto-bcttcr poston. ' Sncc t wouId voIatc
moraI constrants to compcI pcopIc who arc cnttIcd to thcr hoId-
ngs to contrbutc aganst thcr wII, proponcnts otsuch compuI-
son shouIdattcmpt to pcrsuadc pcopIcto gnorc thc rcIatvcIy tcw
who don`t go aIong wth thc schcmc ot voIuntary contrbutons.
Cr, s t rcIatvcIy man who arc to bc compcIIcd to contrbutc,
though thcywouId not so choosc, by thoscwhodon` t want to tccI
thcy arc suckcrs` !
HAVI NG A S AY OVER WHAT AFFECTS YOU
Anothcr vcw whch mght Icad to support tor a morc cxtcnsvc
statc hoIds that pcopIc havc a rght to a say n thc dccsons that
mportantIy attcct thcr Ivcs. (t wouId thcn bc argucd that a
morc cxtcnsvc govcrnmcnt s nccdcd to rcaIzc ths rght and s
onc ot thc nsttutonaI torms through whch ths rght s to bc cx-
crcscd. ) Jhc cnttIcmcnt conccpton wouId cxamnc thc mcans
whcrcby pcopIc`s Ivcs arc mportantIy attcctcd. Somc ways otm-
portantIyattcctng thcr Ivcs voIatc thcr rghts (rghts otthc sort
LockcwouId admt) and hcnccarc moraIIy torbddcn, tor cxampIc,
kIIng thc pcrson, choppng ott hs arm. Cthcr ways ot mpor-
Lgualtty, Lnvy, LxpIottatton, Ltc.
tantIy attcctng thc Ivcs ot othcrs arc wthn thc rghts otthc at-
tcctcr. t tour mcn proposc marragc to a woman, hcr dccson
about whom, tany otthcm, to marry mportantIy ahccts cach ot
thc Ivcs ot thosc tour pcrsons, hcr own Itc, and thc Ivcs ot any
othcr pcrsons wshng to marry onc ot thcsc tour mcn, and so on.
MouId anyonc proposc, cvcn Imtng thc group to ncIudc onIy
thc prmary partcs, that aII hvc prsons votc to dccdc whom shc
shaI| marry! Shc has a rght to dccdc what to do, and thcrc s no
rght thc othcr tour havc to a say n thc dccsons whch mpor-
tantIy attcct thcr Ivcs that s bcng gnorcd hcrc. Jhcy havc no
rght to a say ntbatdetisien. Arturo Joscann , attcr conductng
thc Pcw York PhIharmonc Crchcstra, conductcd an orchcstra
caIIcd thc Symphony ot thc Ar. Jhat orchcstra`s contnucd tunc-
tonng n a hnancaIIy Iucratvc way dcpcndcd upon hs bcng thc
conductor. t hc rctrcd, thc othcr muscans wouId havc to Iook
tor anothcr job, and most otthcm probabIy wouId gct a much Icss
dcsrabIc onc. Sncc Joscann` s dccson as to whcthcr to rctrc
wouId attcct thcr IvcIhood sgnhcantIy, dd aII otthc muscans
n that orchcstra havc a rght to a say n that dccson! Oocs
Jhdwck, thc bg-Mcartcd Moosc, havcto abdc by thcvotcotaII
thc anmaIs Ivng n hs antIcrs that hc not go across thc Iakc to
an arca n whch tood s morcpIcnthI !
Supposc you own a staton wagon or a bus and Icnd t to a
group ot pcopIc tor a ycar whIc you arc out ot thc country. Our-
ng ths ycar thcsc pcopIc bccomc qutc dcpcndcnt on your vch-
cIc, ntcgratng t nto thcrIvcs. Mhcn at thc cndotthcycaryou
rcturn, as you sad you wouId, and ask tor your bus back, thcsc
pcopIcsay that your dccson oncc morc to usc thc bus yourscItm-
portantIy attcctsthcrIvcs, andsothcy havc arghtto asayndc-
tcrmnng what s to bccomc ot thc bus . SurcIy ths cIam s
wthoutmcrt. Jhcbus syours, usng ttor a ycar mprovcd thcr
poston whch s why thcy moIdcd thcr conduct around t and
camc to dcpcnd upon t. Jhngs arc not changcd tthcy kcpt thc
bus ngood rcpar and runnng ordcr. Mad thc qucston arscn car-
Icr, had t Iookcd as though thcrc mght bc such a rght to a say,
you and thcy wouId havc agrccd that a condton ot Icndng thc
bus was that thc dccson about t attcr a ycar was soIcIy yours .
And thngs arc no dttcrcnt tt s your prntngprcss you havc Ict
thcm usc tor a ycar, whch thcy havc uscd to carn a bcttcr IvcI-
Byond the Minimal State?
hood than thcy othcrvsc vouId havc. Cthcrs havc no rght to a
say n thosc dccsons vhch mportantIy attcct thcm that somconc
cIsc (thc voman, Joscann, Jhdvck, thc bus ovncr, thc prnt-
ng prcss ovncr) has thc rght to makc. (Jhs s net to say that
somconc cIsc, n makng thc dccson hc has a rght to makc,
shouIdn't takc nto account hov t athcts othcrs . ) Ahcr vc cx-
cIudc trom consdcraton thc dccsons vhchothcrshavca rght to
makc, and thc actons vhch vouId aggrcss aganst mc, stcaI trom
mc, and so on, and hcncc voIatc m (Lockcan) rghts, t s not
cIcar that thcrc arcan dccsons rcmanng about vhch cvcn to
rasc thc qucston ot vhcthcr havc a rght to a say n thosc that
mportantIy attcct mc. CcrtanIy, g thcrc arc any Ictt to spcak
about , thcy arc not sgnhcant cnough a porton to provdc a casc
tor a dttcrcnt sort otstatc.
Jhc cxampIc otthc Ioancd bus aIso scrvcs aganst anothcr prn-
cpIc somctmcs put torth. that cnoymcnt and usc and occupancy
otsomcthng ovcr a pcrod ot tmc gvcs onc a ttIc or rght ovcr
t. Somc such prncpIc prcsumabIy undcrIcs rcnt-controI Iavs,
vhch gvc somconc Ivng n an apartmcnt a rght to Ivc n t at
(cIosc to) a partcuIar rcnt, cvcn though thc markct prcc ot thc
apartmcnt has ncrcascd grcatIy. n a sprt ot amty, mght
pont out to supportcrs otrcnt-controI Iavs an cvcn morc cth ccnt
aItcrnatvc, utIzng markct mcchansms. A dctcct otrcnt-controI
Iavs s that thcy arc ncthccnt, n partcuIar thcy msaIIocatc
apartmcnts. Supposc am Ivng n an apartmcnt tor somc pcrod
ottmc at a rcnt ot$Ioopcr month, and thc markct prcc gocs up
to $zoo. Lndcr thc rcnt-controI Iav, vII st tght n thc apart-
mcnt at $I oo pcr month. but t mght bc that you arc vIIng to
pay$zoo pcrmonth tor thc apartmcnt , turthcrmorc, t mght vcII
bc that vouId prctcr gvng up thc apartmcnt t couId rcccvc
$zoo a month tor t. vouId prctcr to subIct thc apartmcnt to
you, payng $I , zoo rcnt to thc ovncr and rcccvng $z , qoo n
rcnt trom you tor thc aprtmcnt pr ycar, and vouId takc somc
othcr apartmcnt avaIabIc on thc markct, rcntng at say $ I o pcr
5mlarly, tsomconc starts aprvatc 'town` on land whosc acquston dd
notand dosnot volatc thcLckcan pmvso, prnswhochosc tomovc thcrcor
latcr to rcman thcrc would not havc argbt to a say n how thctown was run,
unlcss twasgrantcd thcm by thcdccson proccdurcs torthc'town'whchthc
owncr had cstablshcd.
Lqual ty, Lnvy, LxplOtatOn, Lcc.
month. Jhs wouId gvc mc $o cxtra pcr month to spcnd on
othcr thngs. Lvng n thcapartmcnt (payng $1 oo pcr month tor
t) sn`t worth te Mr thc cash <ttcrcncc bctwccn ts markct vaIuc
and ts controIIcd rcnt. ItI ccuId gct ths dttcrcncc, I wouId bc
vIIng to gvc up thc apartmcnt .
Jhs s vcry casIy arrangcd, tI am aIIovcd trccIy to subIct thc
apartmcnt at thc markct ratc, 1or as Iong as I vsh. I am bcttcr ott
undcr such an arrangcmcnt than undcr thc rcnt-controI Iavs vth-
out thc subIcttng provson. It gvcs mc an cxtra opton, though
t docsn t torcc mc to usc t. "ou arc bcttcr ott, sncc you gct thc
apartmcnt tor $zoo, vhch you`rc vIIng to pay, vhcrcas you
vouIdn`t gct t undcr thc rcnt-controI Iaw wth no subIcttng
provson. (Pcrhaps, durng rhc pcrod ot your Icasc, you may
subIct t to yct anothcr pcrsor. ) Jhc owncr ot thc buIdng s net
vorsc ott, sncc hc rcccvcs $J, zoo pcr ycar tor thc apartmcnt n
cthcr casc Kcnt-controI Iaws vth subIcttng provsons aIIov
pcopIc to mprovc thcr poston va voIuntary cxchangc, thcy arc
supcror to rcnt-controI Iavs vthout such provsons, and t thc
Iattcr s bcttcr than no rcnt ccntroI at aII , thcna/ertieri so s rcnt
controI vth subIcttng aIIovcd. So vhy do pcopIc hnd thc subIct-
tng-aIIovcd systcm unacccptabIc! Its dctcct s that t makcs cx-
pIct thc partaI cxpropraton ot thc ovncr. hy shouId thc
rcntcr otthc apartmcnt gct tc cxtra moncy upon thc apartmcnt`s
bcngsubIct, rathcr than thc ovncr otthc buIdng! It s cascr to
gnorc thc qucstonotvhy hc shouIdgct thc subsdy gvcnhm by
thc rcnt-controI Iav, rathcr chan ths vaIuc` s gong to thc ovncr
otthc buIdng.
THE NON NE UTRAL S TATE
Sncc ncquaItcs n cconom cposton ottcn havc Icd to ncquaI-
tcs n poItcaI powcr, may not grcatcr cconomc cquaIty (and a
morc cxtcnsvc statc as a mcans otachcvng t) bc nccdcd and j us-
thcd n ordcr to avod thc poItcaI ncquaItcs vth vhch cco-
hcrc s somc chancc thc rcsdcnt would vacatc anyway, and so thc ncxt
tcnant would pay lcss rcnt than undcr thc sublcttng arrangcmcnt . S suppsc
thc sublcttng allowancc cou!d bc rcstrctcd only to thosc who othcrwsc would
rcmatn.
Beyond the Minimal State?
nomic incquaIitics arc oltcn corrcIatcd' IconomicaIIy wcII-oll pcr-
sons dcsirc grcatcr poIiticaI powcr, in a nonminimaI statc, bccausc
thcy can usc this powcr to givc thcmscIvcs dillcrcntiaI cconomic
bcnchts. hcrc a Iocus olsuch powcr cxists , it is not surprising
that pcopIc attcmpt to usc it lor thcir own cnds . Jhc iIIcgitimatc
uscolastatcbycconomic intcrcstslorthcirowncnds isbascd upon
aprccxisting iIIcgitimatcpowcr olthc statc to cnrich somc pcrsons
at thc cxpcnsc olothcrs . LIiminatctbat iIIcgitimatc powcr olgiv-
ing dillcrcntiaI cconomic bcnchts and you cIiminatc or drasticaIIy
rcstrict thc motivc lor wanting poIiticaI inucncc. Jruc, somc pcr-
sons stiII wiII thirst lor poIiticaI powcr, hnding intrinsic satislac-
tion in dominating othcrs . Jhc minimaI statc bcst rcduccs thc
chanccs ol such takcovcr or manipuIation ol thc statc by pcrsons
dcsiring powcr or cconomic bcnchts , cspcciaIIy ilcombincd with a
rcasonabIy aIcrt citizcnry, sincc it is thc minimaIIy dcsirabIc targct
lor such takcovcr or manipuIation. Pothing much is to bc gancd
by doing so, and thc cost to thc citizcns ilitoccurs is minimizcd
Jo strcngthcn thc statc and cxtcnd thc rangc ol its lunctions as a
way olprcvcnting itlrom bcing uscd by somc portion olthcpopu-
Iacc makcs it a morc vaIuabIc prizc and a morc aIIuring targct lor
corrupting by anyonc abIc to ollcr an olhcchoIdcr somcthing dc-
sirabIc, it is, to put it gcntIy, a poor stratcgy.
Cnc might think that thc minimaI statc aIso is nonncutraI with
rcgard to its citizcns. Altcr aII , it cnlorccs contracts, prohibitons
on aggrcssion, on thclt, and so on, and thc cnd rcsuIt olthc opcra-
tion ol thc proccss is onc in which pcopIc`s cconomic situations
dillcr. hcrcas without thcsc cntorccmcnts (or with somc othcrs)
thc rcsuIting distribution mght diltcr, and somc pcopIc`s rcIativc
positions might bc rcvcrscd. Supposc it Hrfr in somc pcopIc s in-
tcrcsts to takc orscizc thc propcrty otothcrs , or cxpropriatc thcm.
by using or thrcatcning to usc torcc to prcvcnt this , isn` t thc
minimaI statc in lact rcndcrcd nonncutraI !
Pot cvcry cnlorccmcnt ol a prohibition which ditlcrcntiaIIy
bcnchts pcopIc makcs thcstatcnonncutraI . Supposc somc mcn arc
potcntaI rapists olwomcn, whIc no womcn arc potcntiaI rapists
olmcn or olcach othcr. ouId a prohibition against rapc bc non-
ncutraI ! t wouId, by hypothcsis , dtlcrcntiaIIy bcncht pcopIc, but
lor potcntiaI rapists to compIan that thc prohibition was nonncu-
traI bctwccn thc scxcs , and thcrctorc scxst, wouId bc absurd.
Lqualty, Lnvy, LXplOtatOn, Ltc. z75
Jhcrc s an indeendent rcon tor prohbtng rap. (thc rcason
why) pcopIc havc a rght to controI thcr own bodcs, to choosc
thcr scxuaI partncrs , and to bc sccurc aganst physcal torcc and
ts thrcat. Jhat a prohbton thus ndcpcndcntIy usthabIc works
out to attcct dttcrcnt prsons dttcrcntIy s no rcason to condcmn
tas nonncutraI , provdcd twas nsttutcd or contnucs tor (somc-
thing Ikc) thc rcasons whch ust t, and not n ordcr to ycId
dttcrcntaI bcnchts. (Mow shouId t bc vcwcd t t is ndcpcn-
dcntIy usthabIc, but actuaIIy s supportcd and mantancd bc-
causc ot ts dttcrcntaI bcnchts!) Jo cIam that a prohbton or
ruIc s nonncutraIroueso that t s untar.
SmIarIy wth thc prohbtions and cntorccmcnts otthc mn-
maI statc. Jhat such a statc prcscrvcs and protccts a proccss that
works out wth pcopIc havng dttcrcnt hoIdngs wouId bc sut-
hccnt to condcmn t as nonncutraI enl i/ thcrc wcrc no ndcpcn-
dcnt usthcaton tor thc ruIcs and prohbtons t cntorccs. but
thcrc s. Cr, at Icast, thc prson who cIams thc mnmaI statc s
nonncutraI cannot sdcstcp thc ssuc otwhcthcr ts structurc and
thc contcnt otts ruIcs s ndcpcndcntIy usthabIc.
n ths chaptcr and n thc prcvous onc wc havc canvasscd thc
most mportant ot thc consdcratons that pIausbIy mght bc
Pcrhaps thc vcw that thc statc and ts laws arc part ot a suprstructurc
thrown up by undcrlyng rclatons ot producton and proprty contrbutcs to
thnkng t s nonncutral. Ln such a vcw, thc ndcpndcnt varablc (substruc-
turc) has to b spchcd wthout brngng n thc dcpndcnt varablc(suprstruc-
turc). but, t ottcn has bccn notcd, thc modc ot producton ncludcs how
pmucton s

rganzcd and drcctcd, and thcrcton ncludcs notons otprop-

crty, owncrshp, rght to control rcurccs, and so on. h lcgal ordcr whch
wassuppscd to b a suprstructurc phcnomcnon cxplanablc by thc undcrlyng
substructurc s tsltpartally substructurc. Prhaps thc modc otproducton can
b spchcd wthout ntmducng urdcal notons by nstcad spakng only ot
(pltcal sccncc) notons lkc control. ` At any ratc, to havc conccntratcd on
who tually controls rcurccs mght havc savcd thc Marxst tradton trom
thnkng that publc onship" otthc mcans otproducton would ntroducc a
clslcss soccty.
Lvcn tthc thcory wcrc corrcct whch holds that thcrc s a substructu
whch unqucly dctcrmncs a suprstructurc, t dosn`t tollow that parts otthc
suprstructurc arcn`t ndcpndcntly usthablc. (Lthcrwsc, mmlar puzzlcs
arsc abut thc thcory tslt) Lnc thcn mght procccd to thnk what knd ot
suprstructurc s usthcd, and work U nsttutc a substructurc whch hts wth
t. (}ust as, thoughgcrms causc dscasc symptons, wc hrst dccdchowwc want
to tccl, and thcn work to mod thc causal substructurc. )
z74 Byond the Minimal State?
thought to ust| a statc morc cxtcnsvc than thc mnmaI statc.
hcn scrutnzcd cIoscIy, nonc otthcsc consdcratons succccds n
dong so (nor docs thcr combnaton), thc mnmaI statc rcmans
as thc most cxtcnsvc statc that can bc usthcd.
HOW REDI S TRI BUT I ON OPE RATES
Cur normatvc task n thcsc two chaptcrs s now compIctc, but
prhaps somcthng shouId bc sad about thc actuaI opcratonotrc-
dstrbutvc programs . t has ohcn bccn notccd, both by propo-
ncnts ot Iasscz-tarc captaIsm and by radcaIs, that thc poor n
thc Lntcd Statcs arc not nct bcnchcarcs otthc totaI ot govcrn-
mcnt programs and ntcrvcntons n thc cconomy. Much ot gov-
crnmcnt rcguIaton ot ndustry was orgnatcd and s gcarcd to
protcct thc poston ot cstabIshcd hrms aganst compctton, and
many programs most grcatIy bcncht thc mddIc cIass. Jhc crtcs
(trom thc rght or thc Ictt) otthcscgovcrnmcnt programs havc ot-
tcrcd no cxpIanaton, to my knowIcdgc, otwb thc mddIc cIass s
thc grcatcst nct bcnchcary.
Jhcrc s anothcr puzzIc about rcdstrbutvc programs. why
don`t thc Icast wcII-ott 5 I pcrccnt otthc votcrs votc tor rcdstrb-
utvc poIccs that wouId grcatIy mprovc thcr poston at thc cx-
pcnsc ot thc bcst-ott q pcrccnt! Jhat ths wouId work aganst
thcr own Iong-run ntcrcsts s truc, but ths docs not rng truc as
thc cxpIanaton otthcr rctranng. Por s an adcquatc cxpIanaton
provdcd by rctcrrng to thc Iack otorganzaton, poItcaI savvy,
and so torth, n thc bottom maorty. So why basn't such massvc
rcdstrbuton bccn votcd! Jhc tact wII sccm puzzIng untI onc
notccs that thc bottom 5 I pcrccnt s not thc onIy possbIc (con-
tnuous) votng maorty, thcrc s aIso, tor cxampIc, thc top 5 I
pcrccnt. hch otthcsc two maortcs wII torm dcpcnds on how
thc mddIc z pcrccnt votcs . t wII bc nthc ntcrcsts ot thc top q
pcrccnt to support and dcvsc programs to gan thc mddIc z pcr-
ccntas aIIcs. tschcapcrtor thctopqpcrccntto buythc support
otthc mddIc z pcrccnt than to bc (partaIIy) cxpropratcd by thc
bottom 5 I pcrccnt. Jhc bottom qpcrccntcannot ottcr morc than
thc top q pcrccnt can to thc mddIc z pcrccnt n ordcr to gan
thcm as aIIcs. or what thc bottom qpcrccnt ottcrs thc mddIc 2
jgualtty, Lnvy, Lxplottatton, Ltc. z7
7
pcrccnt wIIcomc (attcr thcpoIccs arc nsttutcd)trom thc top q
pcrccnt, and n addton thc bottom q prccnt aIso wII takc
somcthng tor thcmscIvcs trom thc top q pcrccnt . Jhc top q
prccnt aIways can savc by ohcrng thc mddIc z pcrccnt sIghtIy
morc than thc bottom group wouId, tor that way thcy avodals
havng to pay to thc rcmandcrotthc pssbIccoaItonotthc bt-
tom 5 I prccnt, namcIy thc bttom q pcrccnt. Jhc top group
wII bc abIc aIways to buy thc support ot thc swng mddIc z
prccnt to combat mcasurcs whch wouId morc scrousIy voIatc
ts rghts.
Ctcoursc, spcakng otthc mddIc z pcrccnt smuch too prccsc,
pcopIc do not know prccscIy n what pcrccntIc thcy taII , and
poIccs arc not casIy gcarcd to targct upon z pcrccnt somcwhcrc
n thc mddIc. Cnc thcrctorc wouId cxpcct that a mddIc group
cnsidrall Iargcr than 2 pcrccnt wII bc a bcnchcary ota votng
coaIton trom thc top. Avotng coaIton trom thc bottom won` t
torm bccausc t wII bc Icss cxpnsvc to thctopgroup to buy oh
thc swng mddIc group than to Ict t torm. n answcrng onc
puzzIc, wc hnd a possbIc cxpIanaton otthc othcr ohcn notccd
tact. that rcdstrbutvc programs manIy bcncht thc mddIc cIass.
tcorrcct, ths cxpIanaton mpIcs that a soccty whosc pIccs
rcsuIttrom dcmocratc cIcctons wII not hnd t casy to avod hav-
ng ts rcdstrbutvc programs most bcncht thc mddIc cIass.'
tothcrs count on thc bttom cconomc group to votc proprtonally lcss,
ths wll changc whcrc thc mddlc swng group otvotcrs s locatcd. t thcrcton
would b n thc ntcrcsts ot thosc just blow thc currcntly bnchtng group to
support chorts to brng out thc votc n thc lowcst group, n ordcr to cntcr thc
crucal swng group thcmsclvcs.
t c can prcss thc dctals ot our argumcnt mrthcr. hy won`t a coalton
torm otthc mddlc S l prccnt (thc top 7S 2 prccnt mnus thc top 242 pr-
ccnt)? hc rcsourccs to pay oh ths wholc group wll comc trom thc top 242
prccnt , who wll bc worsc otttthcy allow ths mddlc coalton to torm, than
tthcy buy ottthc ncxt 262 prccnt to torm a coalton otthc top S l prccnt.
hc story dhcrs tor thosc n thc top 2 pcrccnt but not n thc top 1 prccnt.
hcy wll not try to cntcr a coalton wth thc ncxt SO prccnt , but wll work
wth thc top 1 prccnt to stop a coalton trom tormng that cxcludcs both ot
thcm. hcn wc combnc a statcmcnt abut thc dstrbuton ot ncomc and
wcalth wth athcory otcoalton tormaton, wc should bc ablc todcrvc aprccsc
prcdcton about thc rcsultng ncomc rcdstrbuton undcr a systcm otmajorty
rulc. hc prcdcton s broadcncd whcn wc add thc complcatons that pcoplc
don`t know thcr prccsc pcrccntlc and that thc tcasblc rcdstrbutvc nstru-
mcnts arc crudc. Mow closcly wll ths modhcd prcdcton ht thc actual tacts?
CHAPT ER
9
Demoktesis
havc usthcd thc mnmaI statc, ovcrcomng nd-
vduaIst anarchst obcctons, and havc tound aII ot thc maor
moraI argumcnts tor a morc cxtcnsvc or powcrtuI statc nadc-
quatc. Ocsptc ths, somc rcadcrs wII contnuc to hnd thc mn-
maI statc traI and nsubstantaI .' Kobustncss , n thcr vcw,
wouId consst otsomc asymmctry n rghts bctwccn thc (ndvd-
uaIs ontIy composng thc)statcand an ndvduaI who rcmans n
a statc ot naturc wth rcspcct to t (and thcm). urthcrmorc, a
robust statc wouId havc morc powcr and a Iargcr Icgtmatc do-
man otacton than dctcnsvc tunctons. Jhcrc sne Icgtmatc way
to arrvc at thc asymmctry n rghts . s thcrc somc way to :entinue
our story otthc orgn ot thc (mnmaI) statc trom thc statc otna-
turc to arrvc, va onIy Icgtmatc stcps whch voIatc no onc`s
rghts, at somcthng morc cIoscIy rcscmbIng a modcrn statc!
crc such a contnuaton ot thc story possbIc, t wouId IIum-
natc csscntaI aspccts ot thc morc cxtcnsvc statcs pcopIc cvcry-
whcrc now Ivc undcr, Iayng barc thcr naturc. shaII ottcr a
modcst cttort n that drccton.
cmoktcsts z77
CONS I S TENCY AND PARALL E L EXAMPLES
but hrst somcthng must bc sad about thc dthcuItcs n convnc-
ng somconc to changc hscvaIuatonotacasc by proucng apar-
aIIcI cxampIc. Supposc that you arc tryng to convncc mc to
changc my cvaIuaton ot a casc n ths way. t your paraIIcI cx-
ampIc s not cIosc, can acccpt your cvaIuaton ot t whIc man-
tanng my orgnaI cvaIuaton ot thc casc n qucston. Jhc cIoscr
thc paraIIcIcxampIc, thcmorcwII bcproncto sccitthrough thc
hItcr ot my orgnaI cvaIuaton. (Jhat`s not so bad ahcr aII, tor
t`s ust Ikc. . . .`) Jhcrc s a smIar dthcuIty wth dcductvc
argumcnts, bccausc a pcrson can rccct onc ot thc prcmsscs hc
prcvousIy acccptcd rathcr than acccpt an unwcIcomc concIuson,
but thc dthcuIty ottcn s Icss prcssng. or a Iong chan otdcduc-
tvc rcasonng cnabIcsonc to start consdcrabIy tar oh, wth prcm-
sscs thc pcrson s surc otand won`t scc through thc hItcr ot hs
rccctonotthc concIuson. hcrcas an cxampIc, to bc a convnc-
ng paraIIcI , must bc vcry cIosc by. (Ct coursc, thc Iongcr thc
chan otrcasonng thc morcpronc thc pcrson wIIbc to doubt that
thc concIuson dees toIIow, and a prson can rcconsdcr hs acccp-
tancc ot statcmcnts attcr hc sccs what toIIows trom thcm. )
You mght try to soIatc my udgmcnt or cvaIuaton about your
startng pIacc trom my udgmcnt or cvaIuaton otthc thng to bc
ahcctcd (thcrcby achcvng thc cttcct ota Iong chan otrcasonng)
by prcscntng a cbain otcxampIcs. You bcgn wth an cxampIc tar
ottand stcp by stcp arrvc at onc cxactIyparaIIcI nstructurc to thc
onc undcr dsputc. Jhc chaIIcngc wouId bc tor mc, who agrccs
wthyou about thc tar-ohntaIcxampIc (whosc dstancc trom thc
casc n qucston has soIatcd t trom thc contamnaton ot bcng
sccn through that casc`sprspctvc), to cxpIan whcrcandwhy, n
thc stcp-by-stcp scqucncc ot parwsc smIar cxampIcs, changc
my udgmcnt. but such chaIIcngcs to draw thc Inc rarcIy con-
vncc anyonc. (t` s a probIcm to draw thc Inc, admt, but
whcrcvcr t gcts drawn t must bc on thc othcr sdc ot my cIcar
udgmcnt about thc casc n qucston.`)
Your strongcst casc wouId bc madc by an cxactIy paraIIcI cx-
ampIc that was gIowngIy cIcar n ts own rght, so my ntaI
udgmcnt about t wouIdn` t bc shapcd or controvcrtcd by my
Byond the Minial State?
udgmcnt about thc casc undcr dsputc. t s cnormousIy dthcuIt
to hnd such IovcIy cxampIcs. Lvcn wth onc, you wouId tacc thc
task ot cxpIanng whcrcn t dttcrs trom ts paraIIcI (undcr ds-
putc), so that makc onc udgmcntabout tandanothcrabout thc
paraIIcI ,audaIso thc task otshowng thattbis dhcrcncc docs net
makc thc cascs, tor thc purposcs ot thc argumcnt, ucuparaIIcI .
Jhcrc s a morc gcncraI puzzIc about consstcncy argumcnts
whch Ican hcavIy on thcqucston, 'Mow do you dstngush ths
casc trom that! PhIosophcrs ot sccncc ottcn cIam that tor any
gvcn body otdata thcrc arc an nhntc numbcr otpossbIc cxpIa-
natons, tor thc cxpIanatory rcIaton L and any body otdatad, an
nhntc numbcr ot aItcrnatvc potcntaI cxpIanatons stand n thc
rcIaton L to d. c shaII not Ingcr Iong ovcr why ths s sad. (s
t rmu cnough mcrcIy to say that through any hntc numbcr ot
ponts an nhntc numbcr otdttcrcnt curvcs can bc drawn!)Jhcrc
has not, to my knowIcdgc, bccn any argumcnt prcscntcd to show
that tor cach body ot data thcrc cxsts at Icast cuc cxpIanaton,
much Icss an nhntc numbcr! t s dthcuIt to know whcthcr thc
cIam s truc (onc wouId Ikc to scc t provcn as a thcorcm) n thc
abscncc ot an adcquatc account ot thc rcIaton L. t aII wc yct
posscss arc ncccssary condtons tor L, pcrhaps thc mposton ot
turthcr condtons to attan suthccncy wII so rcstrctL that thcrc
won`tbc an nhntc numbcr ot thngs standng n L tod. (Jhough
pcrhaps thcrc s a gcncraI argumcnt to show how onc can aIways
gct ncw thngs standng n L tod, outotoId oncs that so stand,
wthout rcpcttons , onan pIausbIc construaI otL. )
Jhc usuaI condtons on cxpIanaton rcqurc that what stands n
L tod csscntaIIy contan somc IawIkc or thcorctcaI statcmcnt. n
thc moraI casc, what corrcspond to IawIkc statcmcnts arc moraI
prncpIcs. sn`t t cquaIIy pIausbIc (or mpIausbIc) to supposc
thatan gvcn sct otpartcuIar moraI udgmcnts can bc accountcd
tor by an nhntc numbcr otaItcrnatvc moraI prncpIcs (not aII ot
thcm corrcct)! Jhc usuaI rcqurcmcnt that moraI prncpIcs not
contan propcr namcs , ndcxcaI cxprcssons, and so on, corrc-
sponds to thc rcqurcmcnt ot thc phIosophcr ot sccncc that hn-
damcntaI IawIkc statcmcnts not contan postonaI prcdcatcs.*
Thc hopc ot usng gcncraIzaton condtons to rcach thc rcsuIt
that onIy onc gcncraI moraI prncpIc s compatbIc wth a Iargc
numbcr ot partcuIar moraI udgmcnts sccms akn to supposng
cmoktcsts z7>
that onIy onc hndamcntaI IawIkc statcmcnt wouId account tor a
gvcn body otdata. And, hopng to shh somconc otta partcuIar
moraI udgmcntby chaIIcngng hm to dstngush ttrom anothcr
udgmcnt hc rchscs to makc, that s to rcconcIc t wth thc op-
postc udgmcnt hc makcs, sccms akn to supposng that tor somc
IogcaIIy consstcnt body ot data thcrc s uc hndamcntaI IawIkc
statcmcnt or sct othndamcntaI IawIkc statcmcnts thatwouId ac-
count tor t.
Jhcsc suppostons arc vcry strong and go tar bcyond anythng
anyonc has shown. hat thcn can anyonc hop to provc by gcncr-
aIzaton argumcnts n cthcs! Morc pIausbIc than thc bcIctthat
no hndamcntaI moraI statcmcnt at aII (satstyng gcncraIzaton
condtons) accounts tor both ot thc udgmcnts a prson makcs s
thc bcIctthat no hndamcntaI moraI statcmcnt docs so whch uscs
onIy conccpts avaIabIc to tbat pcrson. And onc may thnk onc
rcasonabIy can dcmand, t not that thc pcrson rcm u wth thc
hndamcntaI moraI statcmcnt whch accounts tor hs udgmcnts , at
Icast that thcrcbc onc n hs moraI unvcrsc, that s , onc usng onIy
bis moraI conccpts. Jhcrc s no guarantcc that ths wII bc so, and
t s pIausbIc to cIam that hc may not mcrcIy rcpIy. 'cII, somc
moraI gcnus couId thnk up ncw moraI conccpts and thcorctcaI
tcrms, as yct undrcamt ot, and n tcrms otthcm account tor aII ot
my partcuIar udgmcnts va onIy hndamcntaI prncpIcs. ` Cnc
wouId havc to cxpIan andcxpIorc thcrcasons why apcrson cannot
ust rcst contcnt wth thc bcIctthat somc hndamcntaI moraI Iaw
or Iaws (usng somc conccpts or othcr) account tor aII oths udg-
mcnts. Jhs wouId appcar to bc a managcabIc task.
Jhc dthcuItcs about paraIIcI cxampIcs mcntoncd abovc appIy
to our currcnt proccdurc. n thc probabIy van hopc that somc-
thng can bc donc about thc contamnaton otudgmcnt whcn onc
casc s sccn through a scttIcdvcw about anothcr, ask thc rcadcr
to catch and chcck hmscIt t hc hnds hmscIt thnkng, 'but
that`s not so bad, bccausc t`s ust Ikc. . . . ` ^ow tor thc dcrva-
ton ota morc cxtcnsvc statc trom our mnmaI onc.
z8O Byond the Minial State?
THE MORE-THAN-MI NI MAL STATE
DE RI VED
n thc statc ol naturc, propcrty s acqurcd ntaIIy, Ict us sup-
posc, n accordancc wth thc prncpIc ol ustcc n acquston,
and thcrcahcr n accordancc wth thc prncpIc olustcc n trans-
lcr, by cxchangc olowncd propcrty lor owncd propcrty or lor scr-
vccs or commtmcnts , or by mcans olghs. Pcrhaps thc prccsc
contour ol thc bundIc ol propcrty rghts s shapcd by consdcr-
atons about how cxtcrnaItcs may bc most clhccntIy ntcrnaIzcd
(wth mnmum cost, and so on). Jhs noton mcrts somc cxam-
naton. Jhc propcrty rghts ol othcrs ntcrnaIzc ncgatvc cx-
tcrnaItics olyour actvtcs nsolar 8 you arc rcqurcd to compcn-
satc thcscothcrs lor your actvtcs` chccts on thcr propcrty, your
propcrty rghts ntcrnaIzc postvc cxtcrnaItcs olyour actvtcs
nsolar 8 thcscactvtcs rasc thcvaIucolthngs that you can hrst
acqurc propcrty rghts n. Lvcn boundarcs drawn, wc can scc,
roughIy and abstractIy, what a systcm that ntcrnaIzcd aII ncga-
tvc cxtcrnaItcs wouId bc Ikc. hat, though, wouId thc hII n-
tcrnaIzaton ol aII esitive cxtcrnaItcs nvoIvc! n ts strong
lorm, twouId nvoIvc your (cach prson`s)rcccvng thc luII bcnc-
hts ol your (hs) actvtcs to othcrs. Sncc bcnchts arc hard to
crcatc, Ict us magnc ths nvoIvcs thc translcr ol bcnchts lrom
othcrs to you, rcturnng thc othcrs to thc samc ndllcrcncc curvc
thcy wouId havc occupcd lnot lor your actvtcs. (n thc abscncc
ol unrcstrctcdIy translcrrabIc utIty, thcrc s no guarantcc that
ths ntcrnaIzaton wII Icad to thc agcnt`s rcccvng thc samc
amount ol bcncht 8 thc rccpcnt wouId havc wthout ths n-
tcrnaIzaton. ) At hrst, t strkcs onc thatsuch strong ntcrnaIza-
ton wouId cImnatcah bcnchts ol Ivng n soccty wth othcrs ,
lor cach bcncht you rcccvc lrom othcrs s rcmovcd and translcrrcd
(nsolar 8 possbIc) back to thcsc othcrs. but sncc pcopIc wII
dcsrcrcccvng ths payback lorbcnchtsrcndcrcd, na lrcc soccty
thcrc wII bc compctton among pcopIc to provdc bcnchts lor
othcrs. Jhc rcsuItng markct prcc lor provdng thcsc bcnchts wII
bc Iowcr than thc hghcstprcc thc rccpcnt wouId bc wIIng to
pay, and ths consumcrs` surpIus wouId bc a bcncht olIvng n a
soccty wth othcrs. Lvcn lthc soccty wcrc not lrcc and dd not
cmoktcsts
aIIow prcc compctiton among potcntaI provdcrs ol a bcncht
(but nstcad uscd somc othcr scIccton dcvcc to dctcrmnc whc
wouId provdc thc bcncht) thcrc stII wouId bc bcncht to lvng n
a soccty wth othcrs. n cach stuaton olluII payback lor bcnchts
rcccvcd, thcrc aIso s hII rcccpt lor bcnchts provdcd to othcrs .
So thc advantagcs olIvng n soccty undcr ths schcmc wouId not
bc thc bcnchts othcrs provdc you, but rathcr thc payback thcy
gvc you lor thc bcnchts you provdc thcm.
Mcrc, howcvcr, thc schcmc bccomcs ncohcrcnt l pushcd to
anothcrIcvcI . oryou bcncht lrom Ivng na soccty whcrc othcrs
rcpay you lor thc bcnchts you provdc thcm. stbis bcncht that thc
prcscncc ol othcrs provdcs you to bc ntcrnaIzcd 8 wcII, so that
you pay back hIIy lor that! Oo you, lor cxampIc, pay back your
cxpcctcd payback lrom othcrs! CIcarIy ths qucston can bc
tcratcd an ndchntc numbcr ol tmcs , and sncc rcccvng pay-
back s a bcncht olcocxstng wth othcrs , thcrc can bc no stabIc
rcsuIt ol ntcrnaIzng a!l postvc cxtcrnaItcs. Consdcratons
about drawng lorth thc actvtcs wouId Icad to asystcm olpcrson
X`s payng back Y lor ordnary` bcnchts Y provdcs, nstcad ol
onc n whch Y paysX back lor thc bcnchts Y rcccvcs lrom X by
X`s bcng prcscnt and payng Y undcr thc ordnary` systcm. or
undcr thc Iattcr systcm thc bcnchts wouId not gct provdcd n-
taIIy. AIso, sncc t rdcs pggyback on thc 'ordnary` onc, t can-
not re!ace t. n thc abscncc ol thc 'ordnary` systcm and its
payback bcnchts , thcrc s nothng lor thc Iattcr systcm to opratc
upn.
Lconomsts` dscussons olntcrnaIzng postvc cxtcrnaItcsdo
not locus upon thc streng prncpIc ol hII payback ol bcnchts.
Kathcr, thcr conccrn s that thcrc bc morc than sulhccnt payback
to covcr thc costs to thc agcnt olpcrlormng thc actvty wth thc
postvc cxtcrnaItcs , so that thc actvty wII bc caIIcd lorth. t s
thsweak lorm ol payback, whch sulhccs lor cconomc clhccncy,
that consttutcs thc subcct ol thc cconomc Itcraturc on n-
tcrnaIzng (pstvc) cxtcrnaItcs .
Kcturnng to our dcrvaton ola morc-than-mnmaI statc. pco-
pIcdo not conccvc olowncrshp as havng a thng, but 8 posscss-
ng rghts (pcrhaps conncctcd wth a thng) whch arc thcorct-
caIIy scparabIc. Propcrty rghts arc vcwcd 8 rghts to dctcrmnc
whch ola spcchcd rangc oladmssbIc optons conccrnng somc-
Byond the Minimal State?
thng wlI bc rcaIzcd. AdmssbIc optons arc thosc that do not
cross anorhcr`s moraI boundary, to rcusc an cxampIc, onc`s prop-
crty rghr n a knlc docs not ncIudc thc rght ro rcpIacc t bc-
twccn somconc cIsc`s rbs aganst thcr wII (unIcss n usthcd
punshmcnt lor a crmc, or scIl-dclcnsc, and so on). Cnc pcrson
can posscss onc rght about a thng, anothcr pcrson anothcr rght
about thc samc thng. Pcghbors mmcdatcIy surroundng a
housc can buy thc rght to dctcrminc what coIor ts cxtcror wII
b, whIc thc pcrson Ivng wthnhas thcrght todctcrmnc what
(admssbIc thng) wII happcn nsdc thc structurc. urthcrmorc,
scvcraI pcopIc can ontIy posscss thc samc rght, usng somc dcc-
son proccdurc todctcrmnc how that rghtwouIdbccxcrcscd. As
lor pcopIc`s cconomc stuaton, thc lrcc opcraton ol thc markct,
somc pcopIc`s voIuntarIy untng (kbbutzm, and so on), prvatc
phIanthropy, and so on, grcatIy rcduccs prvatc dcsttuton. but
wc may supposc t cthcr not whoIIy cImnatcd, or aItcrnatvcIy
that somc popIc arc grcatIy dcsrous olcvcn morcgoods and scr-
vccs . th aII ths as background, how mght a statc morc cxtcn-
svc than thc mnmaI onc arsc!
Somc olthcsc pcopIc dcsrous olmorc moncy ht upon thc dca
ol ncorporatng thcmscIvcs , olrasng moncy by scIIng sharcs n
thcmscIvcs . Jhcy partton thc rghts that untI that tmc cach
pcrson aIonc posscsscd ovcr hmscIl nto a Iong Ist ol dscrctc
rghts. Jhcsc ncIudc thc rght to dccdc whch occupaton hc
wouId havc a try at makng a Ivng n, thc rght to dctcrmnc
what typc ol cIothng hc wouId wcar, thc rght to dctcrmnc
whom olthosc wIIng to marry hm hc wouId marry, thc rght to
dctcrmncwhcrc hc wouId Ivc, thc rght to dctcrmncwhcthcrhc
wouIdsmokcmaruana, thc rght to dccdcwhch books hc wouId
rcad ol aII thosc othcrs wcrc wIIng to wrtc and pubIsh, and so
on. Somc olths vast array olrghts thcscpcopIc contnuc to hoId
lor thcmscIvcs, as bclorc. Jhc othcrs thcy pIacc on thc markct,
thcy scII scparatc sharcs ol owncrshp n thcsc partcuIar rghts
ovcr thcmscIvcs .
At hrst, soIcIy as a okc or a novcIty, pcopIc pay moncy to buy
partaI owncrshp olsuch rghts. t bccomcs a lad to gvc anothcr
pcrson glts olrdcuIous stock, cthcr n oncscIlor n a thrd pcr-
son. but cvcn bclorc thc lad wcars thn, othcrs scc morc scrous
possbItcs. Jhcy proposc scIIng rghts n thcmscIvcs that mght
cmoktcss
bc olrcaI usc or bcncht to othcrs. thc rght to dccdc lrom whch
pcrsons thcy couId buy ccrtan scrvccs (whch thcy caII occupa-
tonaI I ccnsurc rghts), thc rght to dccdc what countrcs thcy
wouId buy goods lrom (mport-controI rghts), thc rght to dccdc
whcthcror not thcy wouId usc [O, or hcron, or tobacco, or caI-
cum cycIamatc(drug rghts), thc rght to dccdc what proporton
ol thcr ncomc wouId go to varous purposcs ndcpcndcntIy ol
whcthcr thcy approvcd ol thcsc purposcs (tax rghts), thc rght to
dctcrmnc thcr pcrmttcd modc and manncr ol scxuaI actvty
(vcc rghts), thc rght to dccdc whcn and whcthcr thcy wouId
hght aganst and kII whom (dralt rghts), thc rght to dccdc thc
rangc ol prccs wthn whch thcy couId makc cxchangcs (wagc-
prcc-controIrghts),thcrght todccdcwhatgroundswcrc IIcgt-
matc n hrng or scIIng or rcntng dccsons (antdscrmnaton
rghts), thc rght to lorcc thcm to partcpatc n thc opraton ola
udcaI systcm (subpocna rghts), thc rght to rcquston bodIy
parts lor transpIantaton n thc morc nccdy (physcaI cquaIty
rghts), andse en. or varous rcasons olthcr own, othcr popIc
want thcsc rghts or want to cxcrcsc a say n thcm, and so cnor-
mous numbcrs olsharcs arc bought and soId, somctmcs lor con-
sdcrabIc sums olmoncy.
Pcrhaps no pcrsons compIctcIy scII thcmscIvcs nto sIavcry, or
pcrhaps thc protcctvc assocatons do not cnlorcc such contracts.
At anyratc, thcrc arc atmost onIy a lcw compIctc sIavcs. AImost
cvcryonc who scIIs any such rghts scIIs onIy cnough to brng thc
totaI (thoughvy cxtcnsvc) up to owncrshp wth somc Imts on
ts cxtcnt. Sncc thcrcare somc Imts to thc rghts othcrs hoId n
thcm, thcy arc not compIctcIy cnsIavcd. but many prsons havc
thc scparatc rghts n thcmscIvcs thcy put up lor saIc aII bought up
by onc othcr ndvduaI or a smaII group. Jhus cvcn though thcrc
arc somc I mts to thc cnttIcmcnt ol thc owncr(s), consdcrabIc
opprcsson s lcIt by thcsc narrowIy hcId pcopIc, subcct to thcr
sharchoIdcr`s dcsrcs. Sncc ths vcry cxtcnsvc domnaton olsomc
prsons by othcrs arscs by a scrcs olIcgtmatc stcps, va voIun-
atrycxchangcs, lrom an ntaI stuaton that s not unust, t tscIl
s not un ust. but though not unust, somc hnd t ntoIcrabIc.
Pcrsons ncwIy ncorporatng thcmscIvcs wrtc nto thc tcrms ol
cach stock thc provson that t not b soId to anyonc aIrcady own-
ng morc than a ccrtan numbcr olsharcs ol that stok. (Sncc thc
Beyond the Minimal State?
morc rcstrctvc thc condtons , thc Icss vaIuabIc thc stock, thc
numbcr sct s not vcry Iow. ) Cvcr tmc many otthc orgnaI smaII
hoIdng compancs n a pcrson dsntcgratc, cthcr bccausc thc
owncrs scII thcr sharcs n scattcrcd tashon whcn n cconomc
nccd, or bccausc many pcrsons buy sharcs n thc hoIdng compa-
ncs so that at thc IcvcI ot uItmatc owncrshp thcrc s cnIargcd
and morc wdcIy dsprscd sharchoIdng n thc pcrson. As tmc
gocs on, tor onc rcason or anothcr ust about cvcryonc scIIs ott
rghts n thcmscIvcs, kccpng onc sharc n cach rght as thcr own,
so thcy can attcnd thc stockhoIdcrs` mcctng tthcy wsh. (Lvcn
thc mnuscuIc powcr otthcr votc at thcsc mcctngs, and thc nat-
tcnton wth whch thcr occasonaI spcchcs arc hcard, pcrhaps t
s soIcIy tor rcasons otscntmcnt that thcy rctan sharcs n thcm-
scIvcs. )
Jhc cnormous numbcr ot sharcs hcId and thc dspcrsaI n own-
crshp otthcsc sharcs Icads to consdcrabIc chaos and ncthccncy.
Largc stockhoIdcr mcctngs arc constantIy bcng hcId to makc thc
varcd dccsons now subcct to cxtcrnaI dctcrmnaton. onc about
a pcrsons harstyIc, anothcr about hs ItcstyIc, anothcr about
anothcr`s harstyIc, and so on. Somc pcopIc spcnd most ot thcr
tmc attcndng stockhoIdcrs` mcctngs or sgnng proxcs ovcr to
othcrs. Ovson ot Iabor crcatcs thc spccaI occupaton ot stock-
hoIdcrs` rcprcscntatvc, prsons who spcnd aII ot thcr tmc at dt-
tcrcnt mcctngs. Varous rctorm movcmcnts , caIIcd consoIdaton
movcmcnts, ` com nto bcng, two sorts arc trcd wdcIy. Jhcrc
arc thc ndvduaI consoIdatng stockhoIdcrs` mcctngs n whch
aII who own any sort ot stock n any rght ovcr somc partcuIar
spcchcd pcrson mcct togcthcr to votc. Jhcy votc oncqucston at a
tmc, wth onIy thosc cIgbIc on cach qucston votng. (Jhs con-
soIdaton ncrcascs cthccncy bccausc popIc who own somc sharc
n any rght n a partcuIar pcrson tcnd to own sharcs n othcr
rghts n hm as wcII . ) AIso thcrc arc thc consoIdatcd sharc-
hoIdcrs` mcctngs n whch aII pcrsons hoIdng sharcs n a gvcn
rght n anyonc mcct togcthcr and votc, tor cxampIc, thc drug
convcntons , wth votcs takcn on cach pcrson consccutvcIy. (Jhc
ncrcascd cthccncy hcrc s gottcn bccausc popIc who buy a sharc
ota partcuIar rght n onc pcrson tcnd to acqurc sharcs n thc
samc rght n othcr pcrsons. ) StII , cvcn wth aII ot thcsc consoI-
datons t s an mpossbIy compIcx stuaton, takng nordnatc
cmoktcsts
tmc. PcopIc try to scII ottsharcs , hoIdng onto onc ota knd, 'to
havc somc say` as thcy put t. As pcopIc try to scII, thc prcc ot
cach sharc drops drastcaIIy, Icadng othcrs to buy tokcn sharcs ot
rghts thcy don` t yct hoId. (Such sharcs arc tradcd Ikc bascbaII
cards , wth pcopIc tryng to amass compIctc coIIcctons. LhIdrcn
arc cncouragcd to coIIcct as a way otprcparng thcm tor thcr h-
turc roIc otsharchoIdcr. )
Jhs grcat dspcrsaI otsharcs csscntaIIy cnds thc domnaton ot
onc pcrsonlanetber identql!eersen ersma!!greu. PcopIc arc no
Iongcr undcr thc thumb otene anothcr. nstcad aImost cvcrybody
s dccdng about thcm, and thcy arc dccdng about aImost cvcry-
body. Jhc extent ot thc powcrs othcrs hoId ovcr an ndvduaI s
not rcduccd, thc changc s n who hoIds t.
Jhc systcm at ths pont s stII much too tmc-consumng and
unwcIdy. Jhc rcmcdy s a grcat consoIdatonaI convcnton. Lv-
cryonc gathcrs trom tar and wdc, tradng and scIIng sharcs, and
by thc cnd ota hcctc thrcc days (10 and bchoIdl )cach prson owns
cxactIy onc sharc n cach rght ovcr cvcry othcr pcrson, ncIudng
hmscIt. So now thcrccan bc ustonc mcctng nwhch cvcrythng
s dccdcd tor cvcrybody, onc mcctng n whch cach prson casts
onc votc, cthcr by hmscItor by gvng hs proxy to anothcr. n-
stcad ottakng up cach pcrson sngIy, gcncraI dccsons arc madc
tor cvcryonc. At hrst cach pcrson can attcnd thc trannuaI stock-
hoIdcrs` mcctng and cast hs votcs. hs own pIus any hc may havc
bccn gvcn n proxy. but thc attcndancc s too grcat, thc dscus-
son too borng and drawn out wth cvcryonc wantng to add hs
words . LvcntuaIIy t s dccdcd that onIy thosc cnttIcd to cast at
Icast I oo, ooovotcs may attcnd thc grand stockhoIdcrs` mcctng.
A maor probIcm s how thc chIdrcn arc to b ncIudcd. A
Lrcat Lorporaton Sharc s avaIuabIc and trcasurcd hoIdng, wth-
out whch onc s an soIatcd nonstockhoIdcr, powcrIcss ovcr oth-
crs . or chIdrcn to wat untI thcr parcnts dc so thcycouId n-
hcrt sharcs wouId Icavc thcsc chIdrcn sharcIcss tor most otthcr
aduIt Ivcs. And not cvcry tamIy contans cxactIy two chIdrcn.
Sharcs cannot ustbcgiven toayoungstcr. hosc wouIdbcgvcn,
and wouId t bc tar ust to gvc away Lrcat Lorpration Sharcs
whcn othcrs had bought thcrs! So spIttng s ntroduccd as away
otaIIowng young pcopIc to cntcr thcguId otstockhoIdcrs . n thc
tmc sncc cach prcvous trannuaI stockhoIdcrs` mcctng, M stock-
286 Byond the Minimal State?
hoIdcrs havc dcd and u pcrsons havc comc ot agc. Jhc M sharcs
rcvcrt to thc board ot Orcctors and arc rctrcd, and cach ot thcJ
rcmanng sharcs outstandng spIts (s+ u)/s tor onc, wth thc trac-
tons bcng mcrgcd to torm u ncw sharcs that arc dstrbutcd to
thc cntcrng youngstcrs. Jhcsc arc not dstrbutcd to thcm grats
(that wouId bc untar) but n cxchangc tor thcr ncorporatng
thcmscIvcs and sgnng ovcr aII ot thc stock n thcmscIvcs to thc
corporaton. n cxchangc tor thc stock n thcmscIvcs , thcy cach rc-
ccvc aLrcatCorpraton Sharc and bccomc amcmbcr otthc guId
otstockhoIdcrs, a sharcr by rght n thc ont dccsons otthc cor-
poraton, a part-owncr otcach othcr pcrson. Lach oId stock s n a
poston to spIt bccausc thc nhux ot ncw pcrsons who on thc
guId mcans that cach stock sa sharc n morc pcopIc. So thc pco-
pIc onng and thc stock spIttng ustty cach othcr.
PcopIc vcw thc cxchangcas an absoIutcIycvcn tradc. bctorc thc
cxchangc a pcrson has onc tuII sharc n hmscIt, and not cvcn a
partaI sharc n any othcr pcrson. th s+ u 1 othcr ndvduaIs
(to usc thc samc Icttcrs as bctorc) n thc soccty, cach pcrson n-
corporatcs hmscIt nto s+ u sharcs , sgnng ovcr cach ot thcsc
sharcs to thc board ot Orcctors . n cxchangc tor ths hc gcts a
1 /s + uth sharc ncach otthcothcrs+ u pcrsons n thc soccty,
/us thc samc sharc n hmscIt Jhus hc has J + u sharcs cach
rcprcscntng i/s+ uth owncrshp n cach otthcJ + u ndvduaIs n
thcsocty. MuItpIyngthcnumbcrotsharcs hchoIds bythctrac-
ton ot owncrshp n somconc that cach sharc rcprcscnts wc gct
(s+ n) ( i/s+ u), whch s cquaI to 1 . hat hc cnds up wth trom
thccxchangc totaIs to onc tuII owncrshp, whch scxactIy what hc
sgns ovcr to thc board otOrcctors tor t. PcopIc say, and thnk,
that whcn cvcrybody owns cvcrybody, nobody owns anybody.
Lach pcrson bcIcvcs that cach othcr pcrson s not a tyrant but
rathcr somconc ust Ikc hmscIt, n cxactIy thc samc poston.
Sncc cvcryonc s n thc samc boat , no onc vcws thc stuaton as
onc ot domnaton, thc Iargc numbcr ot passcngcrs n that boat
makc t morc toIcrabIc than a onc-pcrson rowboat. Sncc thc dcc-
sons appIy to aII cquaIIy, onc gcts (t s sad) thc ruIc ot mpcr-
sonaI and nonarbtrary rcguIatons rathcr than thc ruIc ot mcn.
Lach pcrson s thought to bcncht trom thc cttorts ot thc othcrs to
ruIc wscIy ovcr aII, and cach s an cquaI n ths cndcavor, havng
an cquaI say wth thc othcrs. Jhus s cstabIshcd thc systcm otonc
cmoktcsts
sharchoIdcr, onc votc. And pcrhaps tratcrnaI tccIngs hoursh as
pcopIc rcaIzc that thcy aII arc ncxtrcabIy ntcrtwncd, cach
cquaIIy sharchoIdcr and sharchcId, cach hs brothcrs` kccpcr and
hs brothcrs` kcpt.
CccasonaIIy somc tcw maIcontcnts rchsc to acccpt thcr Lrcat
CorporatonSharcs and rctusc to sgn thc stockhoIdcrs` guId ScroII
otMcmbcrshp. Kctusng to put thcr)ohn Mancocks on thc Occ-
Iaraton otntcrdcpcndcncc, thcy say thcy want no partotthc sys-
tcm and rchsc to grant thc systcm any part ot thcm. ScvcraI ot
thcm go so tar as to caII tor thc dsmantIng ot thc corpraton!
Mothcads on thcboardotOrcctorscaIItor thcr ncarccraton, but
n vcw ot thc youngstcrs` noncoopcraton t sccms that thcy
havcn` t yct grantcd thc board thc cxpIct rght to do that. Somc
mcmbcrs ot thc board mantan that by acccptng thc bcnchts ot
growng up undcr thc wng ot thc corporaton and by rcmanng
ntsarcaotnhucncc, thcyoungstcrshavcaIrcadytactIyconscntcd
to bc sharchcId, and so no hrthcr act trom thcm s nccdcd. but
sncc cvcryonc cIscrcaIzcs that tactconscnt sn` tworththcpapr
t` s not wrttcn on, that cIam commands IttIc support. Cnc
mcmbrotthc board says that, sncc aIIchIdrcn arc madc bythcr
parcnts, thcr parcnts own thcm and so thc board` s owncrshp
sharcs n thc parcnts thcrcby gvc t owncrshp sharcs n thc chI-
drcn. Jhc novcIty ot ths Inc mItatcs aganst ts usc at such a
dcIcatc momcnt.
c sIow thc dramatc pacc ot our taIc n ordcr to consdcr
Lockc`s vcws on parcntaI owncrshp ot chIdrcn. ' Lockc must
dscuss Imcr ndctaI , notmcrcIy tocIcar thc hcId otsomcaItcr-
natvc curous vcw, but to show why that vcw docsn`t toIIow
trom cIcmcnts ot hs own vcw, as ene migbt suese itdid. Tbat s
why thcauthorotthcSecendTrmtise gocsen tocompscthcFirst.
Cwncrshp rghts n what onc has madc wouId sccm to toIIow
trom Lockc`s thcory ot propcrty. Mcncc Lockc wouId havc a rcaI
probIcm tLod who madc and owncd thc worId gave Adam soIc
owncrshp n t. Lvcn though Lockc thought and argucd that ths
hadn` t happcncd (chap. q), hc aIso must havc wondcrcd what thc
conscqucnccs wouId bc t t had happcncd. Mc must havc won-
dcrcd t hs vcws wouId cntaI that i/ it bad thcn othcrs wouId
nccd Adam` s prmsson to usc hs proprty to sustan thcmscIvcs
physcaIIy and so wouId bc wthn hs powcr. (t so and ta gtt
Byond the Minimal State?
can bc bcqucathcd thcn. . ) Acws whosc satstactory rcsuIt (no
domnaton otsomc by othcrs) dcpcnds upn a contngcncy whch
couId havc bccn othcrwsc (no stich gtt by Lod to Adam) shouId
Icavc somconc hoIdng thcm vcry uncomtortabIc. ( gnorc hcrc
thc rcpIy thatLods ncccssarIy good and so hs not makng such
a gtt snet contngcnt. A mora! vcw whch must takctbat routc
to avod bcng ovcrthrown by tacts that Iook accdcntaI s vcry
shaky ndccd. ) Jhus Lockc dscu$scd (, sccts . q , qz)an csscntaI
cIcmcnt oths thcory whcn hc spcaks ot cvcry man`s ttIc to so
much out ot anothcr`s pIcnty, as wII kccp hm trom cxtrcmc
want, whcrc hc hzs no mcans T subsst othcrwsc, ` whch thc
othcr may not wthhoId.
SmIarly Lockc must cxpIap hy parcnts don`t own thcr chI-
drcn. Msmajorargumcnt ( , scCts. zq)sccms to dcpcnd upon
thc vcw that onc owns somcthrg onc makcs onIy tonc controIs
and undcrstands aIIpartsotthc yroccss otmakng t. by ths crtc-
ron, pcopIc who pIant sccds on thcr Iand and watcr thcm wouId
not own thc trccs rhat thcn grow. SurcIy most otwhat most otus
do s to ntcrvcnc n or orgnatC proccsscs whosc compIctc opcra-
ton wc do not undcrstand, ycldng a rcsuIt wc couId not com-
pIctcIy dcsgn. (ho knows a otwhat physcsts say s rcIcvant
to matcraIs havng thc propcrtc>thcy do and to torccs workng as
thcy do, and who knows what tc physcsts don`t know!)Yct n
many such cascs, Lockc docs want to say that wc own what wc
producc.
Lockc ottcrs a sccond argumcnt. Lvcn thc powcr whch Lod
hmscItcxcrcscthovcrmankno s by rght ottathcrhood, yct ths
tathcrhood s such a onc as uttcrIy cxcIudcs aII prctcnsc otttIc n
carthIy parcnts, tor hc s Kng bccausc hc s ndccd makcr ot us
aII, whch no parcnts can prctcnd to bc ot thcr chIdrcn` ( , scct.
q). t s dthcuIt to puzzIc th> out. t thc pont s that pcopIc
cannot own thcr chIdrcn bccau>c thcy thcmscIvcs arc owncd and
so ncapabIc otowncrshp, ths wouId appIy to ownng cvcrythng
cIsc thcy makc as wcII. tthc pont s that Lod, tar morc than a
chId`s parcnts, s thc makcr ota chId, ths appIcs to many othcr
thngs that Lockc thnks can bc owncd (pIants, nonhuman an-
maIs), and pcrhaps t appIcs to cvcrythng. (Jhc degree to whch
ths hoIds sccms an unsubstantaI basc upon whch to buId a
thcory. ) Potc that Lockc s net cIamng that chIdrcn, bccausc ot
I
I
cmoktcsts
somcthng about tbeir naturc, cannot bc owncd by thcr parcnts
cvcn tthcsc makc thcm. Mc docs net cIam that somcthng about
pcopIc (who havc not donc anythng unjust tor whch thcr Ivcs
arc tortct, sccts . z, ; yB)bars owncrshp n thcm by thcr makcr,
tor hc hoIds thatLod owns man by vrtuc otmakng hm n aII hs
cxaItcd naturaI propcrtcs (scct. 6).
Sncc Lockc docs not hoId that ( I ) somcthng ntrnsc to pcr-
sons bars thosc who makc thcm trom ownng thcm-to avod thc
concIuson that parcnts own thcr chIdrcn, hc must arguc cthcr
that (z) somc condton wthn thc thcory ot how propcrry rghts
arsc n productvc proccsscs cxcIudcs thc proccss whcrcby parcnts
makc thcr chIdrcn as ycIdng owncrshp, or ()somcthng about
parcnts bars thcm trom standng n thc, or a partcuIar, owncrshp
rcIaton, or (q) parcnts do not, rcaIIy, makc thcr chIdrcn. c
havcsccnprobIcms wth Lockc` sattcmpt to work z , 3 , and q. Jhc
Iattcr two bcng unpromsng, somconc ot Lockcan pcrsuason
wouId havc to work out a varant ot or z .
Potc that Lockc` s strong dcnaI that parcnts makc thcr chI-
drcn, causng thcsc bcngs, rcmovcs onc basc on whch to tound
thc rcsponsbIty otparcnts to carc tor thcr chIdrcn. Jhus Lockc
s rcduccd to sayng that thc Iaw ot naturc rcqurcs such parcntaI
carc (scct. 6), as a brutc moraI tact, apparcntIy. but ths Icavcs
uncxpIancd why t rcqurcs thc carc/rem tbearents, and why t
sn`t anothcr casc otsomconc`s rcccvng thc bcncht otanothcr`s
pans , whch hc had no rght to` (scct. q).
Cur taIc nowmustbcbrought toacIosc. About thcyoungstcrs,
t s dccdcd thcy do nothavc to j on thc stockhoIdcrs` guId, attcr
aII. Jhcy can rchsc ts bcnchts and Icavc thc corporaton arca,
wthout any hard tccIngs. (but sncc no scttIcmcnt has survvcd
on Mars tor morc than sx months thcrc arc strong rcasons tor
rcmanng on carth and bccomng a stockhoIdcr. ) Jhosc nvtcd to
Iovc t or Icavc t rcspond by cIamng that sncc thc corpora-
ton docsn` t own aII thc Iand, anybody can buy somc Iand n thc
corporaton arca and Ivc as thcy wsh. Jhough thc corporaton
hadn` t actuaIIy bought up aII thc Iand tscIt, thc orgnaI cor-
poratonruIcs,adoptcdbycvcryoncatthcgrcatconsoIdatonaIcon-
vcnton, arc vcwcd as prohbtng thc scccsson otIand trom thc
corporaton`s controI ." Lan thc corporaton, t s askcd, aIIow an-
othcr corporaton to sprng up n ts mdst! Lan t toIcratc thc
Beyond the Minimal State?
dangcrs ol soIatcd aonstockcId ndvduaIs, n a word, ancorpy!
Somc suggcst th+t thc rcca1ctrant pcopIc bc aIIowcd to opt out
ol thc corporaton yet rcman wthn thc tcrrtory. hy shouIdn` t
thcy bc aIIowcd tostay n thc mdstolthc corporaton, choosng
prccscIy thosc cont+cts wth thc corporaton thcy wsh to havc,
lormuIatng thcr owp pcrsonaI packagcolrghts and dutcs (abovc
and bcyond nonagg(esson)v-a-vs othcrpcrsons and thc corpora-
ton, payng lor thcgartcuIa thngs thcy rcccvc, Ivng ndcpcn-
dcntIy!
I
but othcrs rcpIy that ths wouId bc too chaotc, and that taIso
mght undcrmnc the corporatc systcm. or othcrs ('guIIbIc oth-
crs , ` t s sad) aIsoqght bc tcmptcd to rcsgn lrom thc guId ol
sharchoIdcrs. And ho wouId bc Iclt!CnIy thosc Icast abIc to lcnd
lor thcmscIvcs. And who wOuId takc carc ol thcm! And how
wouId thosc who dd Icavc managc on thcr own! And wouId lra-
tcrnty hoursh as grcatIy vthout unvcrsaI sharchoIdng, and
wthout aII pcrsons (zbIc to dO so) bcng lorccd to ad othcrs ! AI-
most aII vcw thcr hstorcaI cxpcrcncc as showng that ths sys-
tcm ol cach pcrsons havng an cquaI say (wthn seme spcchcd
Imts) n thc Ivcs otaII othcJs s thc bcst and larcst magnabIc.
Jhcr socaI thcorstsagrcc tat thcr systcm oldemektesis, owncr-
shp ol thc popIc, by thc copIc, and lor thc pcopIc, s thc
hghcst lorm olsoczI Ilc, on that must not bc aIIowcd to pcrsh
lrom thc carth.
n cIaboratng ths cIdrtch taIcwc havc arrvcd, hnaIIy, at what
s rccognzabIc as a modcrn sratc, wth ts vastpanopIy olpowcrs
ovcr ts ctzcns. ndccd, wc avc arrvcd at ademeoatit statc. Cur
hypothctcaI account ol how |t mght arsc lrom a mnmaI statc
wthout any bIatant voIaton olanyonc`s rghts through a scrcs ol
ndvduaI stcps cach arguabIy unobcctonabIc has pIaccd us n a
bcttcr poston to lous upon and pondcr thc csscntaI naturc ol
such a statc and ts ndamcntaI modc ol rcIatonshp among pcr-
sons. or what t` s worth.
Cthcr taIcs, somc ol unust ortgns, aIso mght bc toId. Lon-
sdcrthc loIIowng scqucncc olcascs , whch wc shaII caII thc JaIc
olthc SIavc, and magnc t s abut you.
1 . Jhcrc s a sIavc ompIctcI/
at thc mcrcy ot hs brutaI mastcr`s
whms. Mc ottcn s crucIIy catcn, caIIcd out n thc mddIc ot thc
nght, and so on.
cmoktcss
z .
3
4
5
6.
Jhc mastcr s kndIcr and bcats thc sIavc onIy tor statcd ntractons
ot hs ruIcs (not tuI hIIng thc work guota, and so on). Mc gvcs thc
sIavc somc trcc tmc.
Jhc mtcr has a group ot sIavcs, and hc dccdcs how thngs arc to
bc aIIocatcd among thcm on ncc grounds, takng nto account thcr
nccds, mcrt, and so on
Jhc mastcr aIIows hs sIavcs tour days on thcr own and rcgurcs
thcm to work onIy thrcc days a wcck on hs Iand. Jhc rcst ot thc
tmc s thcr own.
Jhc mastcr aIIows hs sIavcs to go ott and work n thc cty (or any-
whcrc thcy wsh) tor wagcs. Mc rcgurcs onIy that thcy scnd back to
hm thrcc-scvcnths ot thcr wagcs. Mc aIso rctans thc powcr to
rccaII thcm to thc pIantaton t somc cmcrgcncy thrcatcns hs Iand,
and to rasc or Iowcr thc thrcc-scvcnths amount rcgurcd to bc
turncd ovcr to hm. Mc turthcr rctans thc rght to rcstrct thc
sIavcs trom partcpatng n ccrtan dangcrous actvitcs that
thrcatcn hs hnancaI rcturn, tor cxampIc, mountan cImbng, cga-
rcttc smokng.
Jhc mastcr aIIows aII ot hs I C, CCC sIavcs, cxccpt you, to votc, and
thc ont dccson s madc by aII ot thcm. Jhcrc s oQn dscusson,
and so torth, among thcm, and thcy havc thc powcr to dctcrmnc to
what uscs to put whatcvcr Qrccntagc ot your (and thcr) carnngs
thcy dccdc to takc, what actvtcs IcgtmatcIy may bc torbddcn
to you, and so on.
Lct us pausc n ths scqucncc olcascs to takc stock. lthcmas-
tcr contracts ths translcr olpowcr so that hc cannot wthdraw t,
you havc a changc ol mastcr. You now havc I o, ooo mastcrs n-
stcad ol ust onc, rathcr you havc onc c, ccc-hcadcd mastcr.
Pcrhaps thc I o, ooocvcn wII bc kndIcr than thcbcncvoIcnt mas-
tcr n casc z . StII, thcy arc your mastcr. Mowcvcr, stII morc can
bc donc. A kndIy sngIc mastcr (as n casc z) mght aIIow hs
sIavc(s) to spcak up and try to pcrsuadc hm to makc a ccrtan
dccson. Jhc I c, ccc-hcadcd mastcr can do ths aIso.
7
8.
Jhough stII not havng thc votc, you arc at Ibcrty (and arc gvcn
thc rght) to cntcr nto thc dscussons ot thc I C, CCC, to try to pcr-
suadc thcm to adopt varous poIccs and to trcat you and thcm-
scIvcs n a ccrtan way. Jhcy thcn go ott to votc to dccdc upon
poIccs covcrng thc vast rangc ot thcr powcrs .
n apprccaton ot your usctuI contrbutons to dscusson, tc
I C, CCC aIIow you to votc t thcy arc dcadIockcd, thcy commtt
thcmscIvcs to ths proccdurc. Attcr thc dscusson you mark your
votc on a sIp ot papcr, and thcy go ott and votc. n thc cvcntuaIty
Byond the Minimal State?
that thcy dvdc cvcnIy on somc ssuc,
5 , OOO tor and 5
, OOO aganst,
thcy Iook at your baIIot and count t n. Jhs has ncvcr yct hap-
Qncd, thcy havc ncvcr yct had occason to opcn your baIIot. (A
sngIc mastcr aIso mght commt hmscIt to Icttng hs sIavc dccdc
any ssuc conccrnng hm about whch hc, thc mastcr, was abso-
IutcIy ndttcrcnt . )

Jhcy throw your votc n wth thcrs. t thcy arc cxactIy tcd your
votc carrcs thc ssuc. Lthcrwsc t makcs no dhcrcncc to thc cIcc-
toraI outcomc.
Jhc qucston s. whch transton lrom casc to casc madc t
no Iongcr thc taIc ola sIavc!
I !
HYPOTHETI CAL HI STORI ES
Mght a morc-than-mnmaI statc arsc through a proccss ol boy-
cott! PcopIc tavorng such a statc mght rclusc to dcaI or cxchangc
or havc socaI rcIatons wth thoscwho don`tcommt thcmscIvcs to
partcpatc n that statc`s addtonaI apparatus (ncIudng thc boy-
cott ol nonpartcpants). Jhc morc who sgn up pIcdgng thcm-
scIvcs to boycott nonpartcpants , thc morc rcstrctcd arc thc op-
portuntcs to thcsc nonpartcpants. l thc boycott works
compIctcIy, aII mght cnd up choosng to partcpatc n thc add-
tonaI acrvtcs olthc morc-than-mnmaI statc, and ndccd mght
thcn gvc t pcrmsson to lorcc thcm to do thngs aganst thcr
wII.
Lndcr ths rcsuItng arrangcmcnt, somconc teu!d rclusc to cntcr
or couId opt out ol thc addtonaI proccsscs and constrants , lhc
was wIIing to lacc howcvcr cllcctvc a socaI boycott mght bc
mountcd aganst hm, unIkc a morc-than-mnmaI statc, whcrc
cvcryonc s compcIIcd to partcpatc. Jhs arrangcmcnt, whch
wouId mirrerccrtan nsttutonaI lcaturcs ola morc-than-mnmaI
statc, IIustratcs how coordnatcd actons whch pcopIc mght
choosccan achcvc ccrtan rcsuIts wthout any voIaton olrghts.
t s hghIy unIkcIy that n a socctycontanng many pcrsons, an
actuaI boycott such as thc onc dcscrbcd couId bc mantancd suc-
ccssluIIy. Jhcrc wouId bc many pcrsons opposcd to thc addtonaI
apparatus who couId hnd cnough othcrs to dcaI wth, cstabIsh a
protcctvc agcncy wth, and so on, so as to wthstand thc boycott
cmoktcss z5
n an ndcpcndcnt cncIavc (not ncccssarIy gcographcaI), hrthcr-
morc, thcy couId ollcr nccntvcs to somc partcpants n thc boy-
cott to brcak t (pcrhaps sccrctIy, to avod thc rcsponsc ol thc
othcrs who contnuc to mantan t). Jhc boycott wouId laI, wth
morc Icavng t as thcy scc othcrs dong so and prohtng by t.
CnIy laImostaII n thc soccty so adhcrc to thcdcaI olthcmorc-
than-mnmaI statc as to wcIcomc ts addtonaI rcstrctons and to
rcsst prsonaI gan to cllcctuatc thc boycott and arc so con-
ccrncd and nvoIvcd as to contnuaIIy moId thcr rcIatons to
achcvc thc goaI wII thc anaIoguc olthc morc-than-mnmaI statc
bc cstabIshcd. t s en! thc anaIoguc ol thc morc-than-mnmaI
statc, undcr whch cach pcrson rctans thc chocc ol whcthcr to
partcpatc or not, that s Icgtmatc, and onIy whcn tarscs n thc
lashon dcscrbcd.
Mow shouId hypothctcaI hstorcs allcct our currcnt j udgmcnt
ol thc nsttutonaI structurc ol a soccty! Lct mc vcnturc somc
tcntatvc rcmarks. l an cxstng soccty was Icd to by an actuaI
hstory that s ust, thcn so s that soccty. l thc actuaI hstory ol
an cxstng soccty s unust, andne hypothctcaI ust hstory couId
Icad to thc structurc olthat soccty, thcn that structurc s unust.
Morc compIcatcd arc thccascs whcrc thc actuaI hstory ola soc-
cty s unust yct somc hypothctcaI ust hstory couId havc Icd to
ts currcnt structurc (though not pcrhaps to thc partcuIar ds-
trbuton ol hoIdngs or postons undcr t). l thc hypothctcaI
ust hstory s cIosc` to thc actuaI hstory, whosc nustccs pIaycd
no sgnhcant roIc n brngng about or mantanng thc nsttu-
tonaI structurc, thc actuaI structurc wII bc ust as onc can cx-
pcct to gct.
lthc hypothctcaI ust hstory nvoIvcs cach prson`sconscntng
to thc nsttutonaI structurc and to any Imtatons on hs rghts
(spcchcd by thc moraI sdc constrants on thc bchavor olothcrs)
t cmbodcs, thcn l somc actuaI pcrson wouId not conscnt, onc
must vcw thc nsttutonaI structurc as unust (unIcss t counts as
ust va somc othcr hypothctcaI hstory). SmIarIy, onc must hoId
thc nsttutonaI structurc unust l thc hypothctcaI ust hstory
nvoIvcs somc pcopIc's conscntng who ddn` t, and somc now
wouId not asscnt to thosc othcrs havng donc so. l thc nsttu-
tonaI structurc couId arsc by somc hypothctcaI ust hstory
whch docs not nvoIvc anyonc's conscnt to that structurc, thcn
294
Byond the Minial State?
onc`s cvaIuaton otthc structurc wII dcpcnd upon onc`s cvaIuaton
otthc proccss whch wouId gvc rsc to t. tthat proccss s vcwcd
bcttcr (aIong dmcnsons othcr than ustcc whcrc, by hypthc-
ss , t cxccIs) than thc atuaI hstory, ths probabIy wII mprovc
onc`scvaIuaton otthc structurc. Jhat austproccss wouId havc Icd
to thc nsttutonaI structurc, but onIy tmanncd bydcspcabIc n-
dvduaIs, wII not cnhancc onc`s cvaIuaton ot that nsttutonaI
structurc.
Sncc a structurc that couId arsc by a ust proccss whch docs
not nvoIvc thc conscnt otndvduaIs wII not nvoIvc Imtatons
otthcr rghts or cmbody rghts whch thcy do not posscss, t wII
bc cIoscr,inse/aras rigbts are cencoed, to thc startng pont otn-
dvduaI rghts spchcd by moraI sdc constrants, and hcncc ts
structurc otrghts wII bcvcwcdas ust. MoIdng thc nustcc ot
thcr actuaI hstorcs constant, nsttutonaI structurcs cIoscr to thc
rghts ndvduaIs posscss n vrtuc ot thc moraI sdc constrants
wII bc morc ust than nsttutonaI structurcs morc dstant. l/ an
nsttutonaI structurc cmbodyng en/ nd

vduaI rghts can arsc

uuustIy, onc wII bc wIIng to stck wth such aonc cvcn tt dd
(rccttyng partcuIar nustccs otposton and hoIdng) and Ict t
bc transtormcd nto whatcvcr othcr nsttutonaI structurc arscs
out ot t. hcrcas tan nsttutonaI structurc dvcrgcs trom thc
ndvduaI rghts cmbodcd n thc moraI sdc constrants , onc wII
not bc wIIng to Ict t contnuc to opcratc, cvcn t t ceu/d bave
arscn va somc hypothctcaI ust hstory, tor thc currcnt Imta-
tons on rghts wII sgnhcantIy attcct what arscs out ot t, and
pcrhaps cvcn thosc cxstng Imtatons wouId not bc conscntcd to.
Jhc stuaton ot ndvduaI rghts wII havc to b rccstabIshcd.
PART
I I I
Utopia
CHAPTER
10
A Framework for Uto
p
ia
N 0 statc morc cxtcnsvc than thc mnmaI statc can bc us-
thcd. butdocsn`tthc dca, or dcaI , otthcmnmaIstatcIack Ius-
tcr! Lan t thrII thc hcart or nsprc popIc to struggIc or sacr-
hcc! ouId anyonc man barrcadcs undcr ts banncr!
'
t sccms
paIc and tccbIc n comparson wth, to pck thc poIar cxtrcmc, thc
hopcs and drcams otutopan thcorsts. hatcvcr ts vrtucs, tap-
pcars cIcar that thc mnmaI statc s no utopa. c wouId cxpct
thcn that an nvcstgaton nto utopan thcory shouId morc than
scrvc to hghIght thc dctccts and shortcomngs ot thc mnmaI
statc as thc cnd otpoItcaI phIosophy. Such an nvcstgaton aIso
promscs to bc ntrnscaIIy ntcrcstng. Lct us thcn pursuc thc
thcory otutopa to whcrc t Icads.
THE MODEL
Jhc totaIty ot condtons wc wouId wsh to mpsc on socctcs
whch arc (prccmncntIy) to quaI| as utopas, takcn ontIy, arc
nconsstcnt. Jhat t s mpossbIc smuItancousIy and contnuaIIy
to rcaIzc aII socaI and poItcaI goods s a rcgrcttabIc tact about
thc human condton, worth nvcstgatng and bcmoaning. Cur
z7
Utopia
subcct hcrc, howcvcr, s thc bcst ot aII possbIc worIds. or
whom! Jhc bcst otaII possbIc worIds tor mc wII not bc that tor
you. Jhc worId, otaII thosc can magnc, whch wouId most
prctcr to Ivc n, wII not bc prccscIy thc onc you wouId choosc.
Ltopa, though, must bc, n somc rcstrctcd scnsc, thc bcst tor aII
ot us, thc bst worId magnabIc, tor cach ot us . n what scnsc
can ths bc!
hcrc s an ambguty n thc noton ot thc bst pssblc world. Lorrc-
spondng to thc dttcrcnt dccson crtcradscusscd by dccson thcorsts dC dt-
krcnt prncplcs ot nsttutonal dcsgn. hc talk ot dcsgnng nsttutons so
tha

bad mcn at thcr hcad can do lttlc harm, and otchccks and balanccs, can
b
.
t

tcrprctcd
.
as promptcd by a mnmax prncplc, or, morc accuratcly, by
mtntmax constdcratons bult nto a lcss strngcnt prncplc. |5cc Kcnncth
Arrow and Lond Murwcz, 'An Lptmalty Lrtcron tor Lccson-Makng
Lndcr gnorancc, ` n Uncrtainty and Expectations in Economics, cd. L. l. Lartcr
and ]. L. lord (Ltton, P.]. . Augustus M. Kcllcy, I g}z), pp. I-I I . | Lvcry-
onc who h constdcnd thc mattcr agrccs that thc maxmax prncplc, whch
chooscs thc acton that h otts many pssblc conscqucnccs onc whch s bt-
tcr than any possblc conscqucncc ot any othcr avalablc acton, s an nsut-
h
.
ccntlyprudcn
.
t prncplcwhch onc would b slly to usc r dcsgnng nsttu-
ttons. Any soctcty whosc nsttutons arc ntuscd by such wld optmsm s
hcadcd tora tall or, at any ratc, thc hgh rsk otonc makcs thc soccty too dan-
gcrou to choosc to lvc n.
.
b

t a so
_
cty whch dos not havc ts nsttutons pttcrncd by maxmax
J
rtnctplcs w

ll not bc ablc to rcach thc hcghts rcachablc (t thngs go wcll tor

tt) by amtmax soccty. hch soccty s thc bstpossblc? hat n accordancc
wth thc bcst` prncplcs ot nsttutonal dcsgn (whch buld n ccrtan sak-
guards aganst bad cvcntualtcs at a cost otmakng somc good oncs mon dt-
hcult otquck attanmcnt) or that onc otthc pssblc oncs nwhch thngs turn
out bst. thc mmax soccty n whch thc most tavorablc cvcntualty s rcal-
zcd!
.
Pcraps no oncs noton otutopa sprccsc cnough to say whchway ths
qucstton ts to b answcrcd. Ltopa to thc sdc, thc qucston that ntcrcsts us
?crc conccr
'
s

hc bst prncplcs otnsttutonal dcsgn. (Pcrhaps, so not to

tmply that tt ts pssblc or dcsrablc to crcatc maor nsttutons d noo, wc
should spak ot prncplcs ot nsttutonal cvaluaton, rathcr than ot dcsgn. )
.
t hat my bst world s not yours wll sccm to somc to show thc corrup-
tton and dcg

ncracy otat lcast

'
nc otus. And not surprsngly, n thcr vcw,
tor wc havcn t bccn brought up tn, and shapdby, utopa. S how could wc b
cxpctcd t

b ts prtcct nhabtants? Mcncc thc cmphass n utopan wrtngs

on thc vanou proccsscs o moldng thc young. Those poplc wll hnd t utopa.
byhow much may thcy dttkr trom us?Prcsumably, a short ncc hstory should
lcadtrom poplc hkc us to poplc lkc thcm. Ltopa swhcrcourgrandchldrcn
arc to hvc. And thc doublc gcncraton gap s to b small cnough so that wc all
happly rcahzc wc arcpartotthc samc tamly. Pcoplcarc not to b transtormcd.
hc ap dcscrpton ot thcr utopa docs not bgn 'lrst wc cvolvc and thcn
. . .` nor

:' lrst wc start to lkc tomatocs and crawlng on thc ground, and
thcn. . . .
A ramcwOrk tOr tOpa
2QQ
magnc a possbIc worId n whch to Ivc, ths worId nccd not
contan cvcryonc cIsc now aIvc, and t may contan bcngs who
havc ncvcr actuaIIy Ivcd. Lvcry ratonaI crcaturc n ths worId
you havc magncd wII havc thc samc rghts otmagnng a poss-
bIc worId tor hmscItto Ivc n (n whch aII othcr ratonaI nhab-
tantshavcthc samc magnng rghts, and so on)as you havc. Jhc
othcr nhabtants ot thc worId you havc magncd may choosc to
stay n thc worId whch has bccn crcatcd tor thcm (thcy havc bccn
crcatcd tor) or thcy may choosc to Icavc t and nhabt a worId ot
thcr own magnng. tthcy choosc to Icavc your worId and Ivc
n anothcr, your worId s wthout thcm. You may choosc to aban-
donyour magncd worId, now wthout ts cmgrants. Jhs proccss
gocs on, worIds arc crcatcd, pcopIc Icavc thcm, crcatc ncw worIds ,
and so on.
II thc proccss go on ndchntcIy! Arc aII such worIds cphc-
mcraI or arc thcrc somc stabIc worIds n whch aII otthc orgnaI
popuIaton wII choosc to rcman! t ths proccss docs rcsuIt n
somc stabIc worIds, what ntcrcstng gcncraI condtons docs cach
otthcm satsty!
tthcrc arc stabIc worIds, cach otthcm satshcs onc vcry dcsr-
abIc dcscrpton by vrtuc otthc way thc worIds havc bccn sct up,
namcIy, nene otthc nhabtants otthcworIdcanimagine an aItcrna-
tvc worId thcy wouId rathcr Ivc n, whch (thcy bcIcvc) wouId
contnuc to cxst t aII ot ts ratonaI nhabtants had thc samc
rghts otuagnng and cmgratng. Jhs dcscrpton s so vcry at-
tractvc t t s otgrcat ntcrcst to scc what othcr tcaturcs arc
common t aII such stabIc worIds. So that wc contnuaIIy do not
havc to rcpcat Iong dcscrptons, Ict uscaIIaworIdwhchaII raton-
aI nhabtants may Icavc tor any othcr worId thcy can magnc (n
whch aII thc ratonaI nhabtants may Icavc tor any othcr worId
thcy can magnc n whch . . . ) an asseciatien, and Ict us caII a
worId n whch somc ratonaI nhabtants arc not pcrmttcd to cm-
gratc to somc ot thc assocatons thcy can magnc, an east-ler!in.
Jhus our orgnaI attractvc dcscrpton says that no mcmbcr ot
a stabIc assocaton can magnc anothcr assocaton, whch (hc
usc `ratonal` or 'ratonal crcaturc` as short tor bcngs havng thosc
proprtcs n vrtuc otwhch a bng has thosc tull rghts that human bngs
havc, do not mcan hcrc to say anythng abut what thosc propcrtcs arc. Smc
brct ntroductory rcmarks on thc ssuc arc contancd n Lhaptcr .
5
OO Utota
bcIcvcs) wouId b stabIc, that hc wouId rathcr bc a mcmbcr ol.
hat arc such stabIc assocatons Ikc! Mcrc can ollcr onIy
somc ntutvc and ovcrIy smpIc argumcnts. You wII not bc abIc
to sct up an assocaton n whch you arc thc absoIutc monarch,
cxpIotng aII thc othcr ratonaI nhabtants. or thcn thcy wouId
bc bcttcr oll n an assocaton wthout you, and, at thc vcry Icast,
thcy aII wouId choosc to nhabt that onc contanng aII ol thcm
mnus you, rathcr than rcman n your crcaton. Po stabIc assoca-
ton s such that cvcryonc (but onc) n t ontIy wouId Icavc lor
thcr own assocaton, lor ths wouId contradct thc assumpton
that thc orgnaI assocaton was stabIc. Jhs rcasonng appIcs as
wcII to two or thrcc orn pcrsons whom cvcryonc cIsc n an assoca-
ton wouId bc bcttcr oll wthout. Jhus wc havc as a condton ol
stabIc assocatons. lA s a sct ol pcrsons n a stabIc assocaton
thcn thcrc s no propcr subsct5 olA such thatcachmcmbcr ol5 s
bcttcr oll n an assocaton consstng onIy olmcmbcrs ol5, than
hc s n A. or l thcrc wcrc such a subsct 5, ts mcmbcrs wouId
scccdc lrom A, cstabIshng thcr own assocaton.
q
n a dctalcd cxposton, wc would havc to consdcr whcthcr thcrc
mghtn`t bc such an S whch would rcman n A bcausc thc mcmbcrs otS
couldn`t agrcc upon a partcular dvson ot goods among thcmsclvcs, or
hcthcr

thcrc ghtn`t bc many such ovcrlappng subscts S whosc complcatcd

ntcractons (whtch onc should aprson cntcr!) lcadto cvcryonc`sstayng nA.
hc

codton wc statc s rclatcd to thc noton ot thc corc ot a gamc. An

allocaton ts blockcd by a coalton S ot prsons t thcrc s anothcr allocaton
among thc mcmbcrs otS whch makcs cach otthcm bttcr ott, and whch thc
mcmbcr otS can brng abut ndcpndcntly otothcr prsons (ndcpndcntly ot
thc rclattvccomplcmcntotS). hccere otagamcconssts otall thoscallocatons
whch arc not blockcd by any coalton. n an cconomy, thc corc contans cx-
actly thosc allocatons to consumcrs such that no subsct ot consumcrs can
mprov cach mcmbcr`s poston by rcallocatng thcr own asscts among thcm-
sclvcs, tndcpndcntly otthc othcrconsumcrs n thc cconomy. t s a trval con-
scqucncc that cvcry allocaton n thc corc s Parcto-optmal, and an ntcrcstng
thcorum that cvcry cqulbrum allocaton ot a compttvc markct s n thc
corc. lurthcrmorc, tor cvcry allocaton n thc corc, thcrc s a compttvc
markct wth an ntal dstrbuton otgoods, whch gvcs rsc to t an cqulb-
rum allocaton.
lor thcsc rcsults, wth slght varants nthccondtons ncccssary toprovc thc
thcorcms, scc Lcrard Lcbrcu and Mcrbcrt 5cart, 'A Lmt hcorcm on thc Lorc
otan Lconomy, `|nteatiena/ Ecenemic Revieu, q, no. j ( I g6j), KobcrtAumann
Markcts wth a Lontnuum ot radcrs, ` Ecenetrica, jz ( I g6q), and (tor
statcmcnt ot suthccnt condtons tor a corc to b noncmpty) Mcrbcrt 5art
hcLorc otan P-Pcrson Lamc, `Ecenemetrica, j5 , ( I g6}). hcsc artclcs hav
A ramcwork tor \topta
5
O:
Supposc that you arc spokcsman lor aII ol thc ratonaI bcngs
(othcr than mc) n thc worId havc magncd and crcatcd. Your
dccson bctwccn stayng n my assocatonA
'
or startng anothcr
onc A
/
contanng aII ol you but not contanng mc, s thc same
dtisien as thc onc ol whcthcr to admt mc as a ncw mcmbcr nto
an assocatonAJ
l
whch you aII aIrcady bcIong to (gvng mc thc
samc roIc n thc cxpandcd A)
t
as havc nA
'
). n cach casc thc
crucaI lact whch dctcrmncs thc dccson s thc samc, vz. arc you
bcttcr oll wth mc or wthout mc. Jhus , n ordcr to dctcrmnc
whch ol thc many worIds A
'
, At , . . . , that can magnc
wouId havc aII olts ratonaI mcmbcrs stay nassocaton wthmc
rathcr than lorm assocatonsAI
/
, A2
r
, . . . , contanng (aIIol)
thcm but not mc, wc may consdcr aII ol thc assocatons A
'
r
,
At' , + . . , as aIrcady cxstng and k whch ol thcm wouId
admt mc as a ncw mcmbcr and on what tcrms !
Po assocatonwIIadmt mc l takc morc lrom thc assocaton
than gvc to t. thcy wII not choosc to Iosc by admttng mc.
hat take lrom thc assocaton s not thcsamcaswhat get lrom
t, what takc s how much thcy vaIuc what thcy gvc mc undcr
thc arrangcmcnt, what gct s how much vaIuc my mcmbcrshp.
Supposng lor thc momcnt that thc group s untcd and can b
rcprcscntcd by onc utIty luncton (whcrc Vy(x) s thc utIty olX
lor Y), an assocatonA, wII admt mc onIy l
VA ' (admttng mc) VA ' (cxcIudng mc),
: t
. c. , V A ' (bcng n A
i
) V A" (bcng n A, ' ),
t t
'
. c. , (what thosc nA, gan lrom my mcmbcrshp) (what thcy
gvc up to mc to gct mc nto thc assocaton)
rom no assocaton wII bcabIc togct somcthngworthmorc to
thcm than what contrbutc s worth to thcm.
gvcn rsc to an cxtcnsvc ltcraturc. Sc Kcnncth Arrow and lrank Mahn, Gen-
era/ Cemetitin Ana/:i: (5an lrancsco. Moldcn-Lay, I g} I . ) 5ncc thc noton ot
corc thcy study s obvously ccntral to ourpossblc-worlds stuaton, onc would
cxpct rcsults closc to thcrs tocarryovcrto ourcasc as wcll. Acompndum ot
othcr usctul and suggcstvc matcral havng rclcvancc to thc possblc-worlds
modcl s Lcrard Lcbrcu, 7bee e/ la/ue (Pcw York. lcy, I g5g). Lntortu-
natcly, our possblc-worlds modcl s morc complcatcd n somc ways than thc
oncs thcsc rctcrcnccs study, so that thcr rcsults cannot b carrcd ovcr drcctly
and mmcdatcly.
5Oz
Utopia
Pccd acccpt Icss than ths trom any assocaton! t onc assoca-
ton ottcrs mc Icss than thcy wouId gan trom myprcscncc, t wII
bc to thcadvantagc otanothcr assocaton that vaIucs my prcscncc
cquaIIy to ottcr mc somcthng morc than thc hrst (though Icss
than thcy wouId gan) nordcr to gct mc to on thcr assocaton
rathcr than thc hrst. SmIarIy tor a thrd assocaton wth rcgard
to thcsccond, and so on. Jhcrc can bc nocoIIuson among assoca-
tons to kccp my paymcnt down, sncc can magnc any numbcr
otothcr cntrants nto thc markct tor my prcscncc, and so assoca-
tons wII bd up thcr ottcrs to mc.
c sccm to havc a rcaIzaton otthc cconomsts` modcI ot a
compcttvc markct. Jhs s most wcIcomc, tor t gvcs us mmc-
datc acccss to a powcrtuI, cIaboratc, and sophstcatcd body ot
thcory and anaIyss. Many assocatons compctng tor my mcm-
bcrshp arc thc samc structuraIIy as many hrms compctng to
cmpIoy mc. n cach casc rcccvc my margnaI contrbuton.
Jhus , tsccms, wc havc thc rcsuIt that n cvcry stabIc assocaton,
cach pcrson rcccvcs hs marg naI contrbuton, n cach worId
whosc ratonaI mcmbcrs can magnc worIds and cmgratc to thcm
and n whch no ratonaI mcmbcr can magnc anothcr worId hc
wouId rathcr Ivc n (n whchcachpcrsonhas thc samcmagnng
andcmgratng rghts)whch hc thnks wouId cndurc, cach prson
rcccvcs hs margnaI contrbuton to thc worId.
Cur argumcnt thus tar has bccn ntutvc, wc shaII ottcr no tor-
maI argumcnt hcrc. but wcshouId say somcthng morc about thc
contcnt ot thc mocI . Jhc mocI s dcsgncd to Ict you choosc
what you wII, wth thc soIc constrant bcng that othcrs may do
thc samc tor thcmscIvcs and rctusc to stay n thc worId you havc
magncd. but ths aIonc docs not crcatc n thcmodcI thc rcqustc
sort ot cquaIty n thc cxcrcsc ot rghts. or you havc magncd
and crcatcd somc otthoscpcrsons , whcrcasthcyhavcnot magncd
you. You mayhavc magncd thcm wth ccrtan wants , and n r
tcuIar you may havc magncd thcm as most wantng to Ivc n a
worId wth thc prccsc charactcr you havc crcatcd, cvcn though n
t thcy arc abcct sIavcs. n ths casc, thcy wII not Icavc your
worId tor a bcttcr onc, tor n thcr vcw thcrc cannt le a bcttcr
onc. Po othcr worIds couId succcsstuIIy compctc tor thcr mcm-
bcrshp, and so thcr payott wII not bc bd up n a compcttvc
markct.
A ramcwork tor \topa
hatnaturaI and ntutvcrcstrctons shouId bcpIaccdon what
thc bcngs arc magncd to bc Ikc, n ordcr to avod ths rcsuIt!
Jo avod thc mcssncss ota trontaI assauIt that dcscrbcs thc con-
strants on what thc pcopIc magncd arc Ikc, wc mposc thc toI-
Iowng constrant. Jhc worId cannot bc magncd so that t Iog-
caIIy toIIows that ( I ) ts nhabtants (or onc otthcm) most (or uth
most) want to Ivc n t or(z) ts nhabtants (oronc otthcm) most
(oruth most) want to Ivc n a worId wth a ccrtan (knd ot) pr-
son, and wII do whatcvcr hc says , and so on. or cach wa n
whch troubIc can bc causcd, onccwc (or somconc cIsc)thnks ott
wc can cxpIctIy cxcIudc t by a provso ot thc constrant . And
ths proccdurc wII do, tor our purposcs, so Iong as thcrc s a hntc
numbcrotways that thcconstructoncan bcovcrturncd. mpsng
ths constrant docs not trvaIzc our constructon. or thc argu-
mcnt to thc rcsuIt about paymcnt accordng to margnaI contrbu-
ton s thc ntcrcstng thcorctcaI stcp (provdcd by cconomc
thcory and gamc thcory), tocuscd wants drcctcd to partcuIar po-
pIc or a partcuIar possbIc worId wouId consttutc a roadbIock n
gcttng trom our ntaI startng pIacc to thc rcsuIt, thcrc s n-
dcpcndcnt ntutvc rcason tocImnatc thosc tocuscd wants , apart
trom thc tact that t prcvcnts thc dcrvaton otthc rcsuIt, and thc
dctaIs ot thc Imtatons on thc ntaI stuaton to avod thcsc
wants arc not thcmscIvcs IkcIy to bc otndcpcndcnt ntcrcst. t s
bcst, thcn, mcrcIy to cxcIudc thcsc wants.
Jhc cpstcmoIogy ot thc stuaton nccdn` t dsturb us. Po onc
can crcumvcnt thc constrant by dcpcndng on thc tact that toI-
Iows trom` s not an cttcctvc noton. or as soon as t s known
that ( I ) or (z) (or an addcd provso) do toIIow, thc magncd
worId s cxcIudcd. Morc scrous s thc probIcm that somcthng
may toIIow causaIIy, cvcn though tdocs not IogcaIIy toIIow. Jhs
wouId makc t unncccssary to say cxpIctIy that onc ot thcsc
magncd pcrsons most wants X. Lvcn a causaI thcory about thc
gcncraton ot wants , tor cxampIc, somc thcory ot opcrant cond-
tonng, thc pcrson mght magnc that somconc has undcrgonc
ust that past hstory whch hs cmprcaI thcory tcIIs hm causaIIy
produccs thc want torX as strongcr than hs othcr wants . Agan,
varous ad hcr rcstrctons suggcst thcmscIvcs, but t sccms bcst
smpIy to add thc addtonaI constrant that thc magncr may not
dcscrbc pcopIc and thc worId so that hc knows t toIIows causau
Utopia
that . . (contnung nthc 'IogcaIIytoIIows` condton). t s
onIy what hc knows toI Iows that wc wsh to cxcIudc. t wouId bc
too strong to rcqurc that no such thng actuaIIy toIIow trom hs
magncd dcscrpton. thc docsn`tknowabout t, hc can`t cxpIot
t.
Jhough thc magncr ot thc worId cannot dcsgn othcr pcrsons
so as to spccaIIy tavor hs own poston, hc mght magnc othcrs
acccptng ccrtan gcncraI prncpIcs. (Jhcsc gcncraI prncpIcs
mght tavor hs stuaton. ) or cxampIc, hc mght magnc that
cvcryonc n thc worId, ncIudng hmscIt, acccpts a prncpIc ot
cquaI dvson otproduct, admttng anyonc to thc worId wth an
cquaI sharc. t thc popuIaton ot a worId unanmousIy acccpts
somc (othcr) gcncraI prncpIcP otdstrbuton, thcn cach pcrson
n that worId wII rcccvc thcr P sharc nstcad ot thcr margnaI
contrbuton. Lnanmty s rcqurcd, tor any dssdcnt acccptng a
dttcrcnt gcncraI dstrbutvc prncpIc pi wII movc to a worId
conta)nng onIy adhcrcnts otP' . n amargnaI contrbuton worId,
otcoursc, any ndvduaI may choosc to gvc somc oths sharc to
anothcrasagtt, unIcss(thought s dthcuIt tosccwhatwouId bc
thc motvaton tor ths) tbeir gcncraI prncpIc ot dstrbuton
rcqurcs dstrbuton accordng to margnaI contrbuton and con-
tans a provso aganstgtts. Jhcrctorc, n cach worId cvcryonc rc-
ccvcs hs margnaI product, somc ot whch hc may transtcr to
othcrs who thcrcby rcccvc morc than thcr margnaI product, or
cvcryonc unanmousIyconscnts to somc othcrprncpIc otdstrbu-
ton. Jhs sccms an appropratc pont to notc that not aII ot thc
worIds wII bc dcsrabIc oncs, thc spccaI prncpIc P that aII thc
nhabtants ot somc worId arc magncd to tavor mght bc qutc
atrocous. Cur magnary constructon has bccn dcvscd to tocus
onIy upon certainasects ot thc rcIatons among pcrsons .
Oo thc partcuIar dctaIs otthc constructon aIIow not onIy an
nhntc numbcr ot communtcs dcmandng somconc`s prcscncc,
butaIsothcr magnng an nhntc numbcrotcanddatcs tor ncIu-
son! Jhs wouId bc untortunatc, tor n a markct wth nhntc
suppIy and nh ntc dcmand thc prcc s thcorctcaIIy ndctcr-
mnatc. but our constructon nvoIvcscachpcrson magnng a h-
ntc numbcr ot othcrs to nhabt hs worId wth hm. t thcsc
Icavc, hc may magnc yct hntcIy many othcrs. Jhc hrst pcopIc
who Icttarc now out otthcpcturc. Jhcy do not compctc wth thc
A ramcwork tor \topa
ncw arrvaIs, bcng busy wth thcr own tasks otworId construct-
ng. Jhough thcrc s no hntc uppcr I mt to thc numbcr a pcrson
may magnc n thc proccss, n no worId s thcrc an actuaI nh nty
otpcopIc compctng tor sharcs. And magnng a worId n whch,
bccausc ot cxtcrnaI crcumstanccs, a pcrson`s margnaI product s
Iow makcs t unIkcIy that hc wII choosc to stay put.
Arc thcrc any stabIc worIds at aII ! n pIacc ot an assocaton n
whch somconc rcccvcs hs qutc Iow contrbuton, hc wII mag-
nc an aItcrnatvc assocaton n whch hs contrbuton s hghcr
than that n thc hrst and wII Icavc thc hrst (rcndcrng t un-
stabIc). by ths rcasonng, won`t hc magnc and choosc to nhabt
that assocaton n whch hs contrbuton (and hcncc paymcnt) s
grcatcst! on`t cvcryonc popuIatc hs assocaton wth maxmaIIy
apprccatvc assocaton matcs! s thcrc somc group ot bcngs
(Iargcr than unt scts) who wII bc mutuaIIy maxmaIIy apprcca-
tvc, that s, somc group G such that tor mcb mcmbcr x ot G,
G=[x| vaIucs x` s prcscncc morc than any othcr possbIc group ot
pcopIc wouId vaIucx` s prcscncc! Lvcn tthcrcis somc such group
G, s thcrc onc (or anothcr) tor cvcrybody, tor cach pcrson s thcrc
somc mutuaIIy maxmaIIy apprccatvc group ot whch be s a
mcmbcr!
ortunatcIy, thc compctton sn`t so kccn. c nccdn`tconsdcr
groups G such that tor cach mcmbcr x otG, G~[| vaIucs x` s
prcscncc morc than an tbossille group wouId vaIuc x` s prcs-
cncc. c nccd onIy consdcr groups G such that tor cach mcmbcr
x otG, G~[x| vaIucs x` s prcscncc morc than any othcr possbIc
stalle group otpcopIc wouId vaIucx` sprcscncc. A stabIcgroupG
s a mutuaIIy maxmaIIy apprccatc group whcrc tor cah mcmbcr
x, G~[x| vaIucs x` s prcscncc morc than any othcr pssbIc stalle
group. LIcarIy ths crcuIar cxpIanaton ot stabIty` won`t do,
and to say a group that wII Iast, trom whch no onc wII cm-
gratc` sn` tcIoscIy cnough tcd to thcory-Iadcn notons togvc n-
tcrcstng rcsuIts, tor cxampIc, that thcrc arc stabIcgroups. SmIar
probIcms about stabIc coaItons havc bccn taccd by gamc thcorsts
wth onIy partaI succcss, and our probIcm s morc dthcuIt thco-
rctcaIIy. (ndccd, wc havc notyct mposcd condtons suthccnt to
guarantcc thc cxstcnccotastabIc hntcgroup, tor t scompatbIc
wth aII wc`vc sad that, on somc scaIc ot mcasurcmcnt, abovc
somc n, thc utIty ncomc ota communty wth n mcmbcrs"n-
Utopia
t thc communty dvdcs utIty cquaIIy, thcy vII cxpand ndch-
ntcIy, vth pcopIc Icavng cach communty tor a Iargcr onc. )
Prospccts tor stabIc assocatons arc mprovcd vhcn vc rcaIzc
that thc supposton that cach pcrson rcccvcs onIy vhat othcrs
gvc up to hm s too strong. A vorId may gvc a pcrson somc-
thng vorth morc to hm than thc vorth to thc othcrs ot vhat
thcy gvc up to hm. A maor bcncht to a pcrson may comc, tor
cxampIc, trom cocxstng n thc vorId vth thc othcrs and bcng a
part otthc normaI socaI nctvork. Lvng hm thc bcncht may n-
voIvc, csscntaIIy, no sacrhcc by thc othcrs . Jhus n onc vorId a
pcrson may gct somcthng vorthmere to hm than hs payotttrom
thc stabIc assocaton vhch mostvaIucs hs prcscncc. Jhough thcy
gvc up Icss, hc gcts morc. Sncc a pcrson vshcs to maxmzc
vhat hc gcts (rathcr than vhat hc s gvcn), no pcrson vII mag-
ncamaxmaIIy apprccatvc vorIdotntcror bcngsto vhosccxs-
tcncc hc s crucaI . Po onc vII choosc to bc a quccn bcc.
Por vII a stabIc assocaton consst otnarcssstc pcrsons com-
pctng tor prmacy aIong thc samc dmcnsons. Kathcr, t vII
contan a dvcrsty ot pcrsons , vth a dvcrsty otcxccIIcnccs and
taIcnts, cach bcnchtng trom Ivng vth thc othcrs, cach bcng ot
grcat uscordcIght to thc othcrs, compIcmcntng thcm. And cach
prson prctcrs bcng surroundcd by a gaIaxy otpcrsons otdvcrsc
cxccIIcncc and taIcnt cquaI to hs ovn to thc aItcrnatvc otbcng
thc onIy shnng Ight n a pooI otrcIatvc mcdocrty. AII admrc
cach othcr's ndvduaIty, baskng n thc hII dcvcIopmcnt n
othcrs otaspccts and potcntaItcs otthcmscIvcs Ictt rcIatvcIy un-
dcvcIopcd.
JhcmodcI vc skctch hcrc sccms vcII vorth nvcstgatng n dc-
taI, t s ntrnscaIIy ntcrcstng, promscs dccp rcsuIts, s a natu-
raI vay to approach thc subcct otthc bcst otaII possbIc vorIds,
and consttutcs an arca tor thc appIcaton ot thc most dcvcIopcd
thcorcs dcaIng vth thc chocc ot ratonaI agcnts (namcIy, dcc-
son thcory, gamc thcory, and cconomc anaIyss), tooIs vhch
surcIymust bc otmportancc tor poItcaI phIosophy and cthcs. t
applcs thcsc thcorcs not mcrcIy by usng thcr rcsuIts n thc arca
tor vhch thcy vcrc ntcndcd, but by dscussng a stuaton, othcr
than thc onc thcorsts consdcrcd, vhch s, n thc Iogcan`s tcch-
ncaI scnsc, amedel otthc thcorcs.
A ramcwork tor \topta
THE MODEL PROJ ECTED ONTO OUR WORLD
n eur actuaI vorId, vhat corrcsponds to thc modcI ot possbIc
vorIds s a vdc and dvcrsc rangc ot communtcs vhch pcopIc
can cntcr tthcy arc admttcd, Icavc tthcy vsh to, shapc accord-
ng to thcr vshcs, a soccty n vhch utopan cxpcrmcntaton
can bc trcd, dttcrcnt styIcs ot Itc can bc Ivcd, and altcrnatvc
vsons otthc good can bc ndvduaIIy or ontIy pursucd. Jhc dc-
taIs and somc ot thc vrtucs ot such an arrangcmcnt, vhch vc
shaII caII thc/amewerk, vII cmcrgc as vc procccd. Jhcrc arc m-
portant dttcrcnccs bctvccn thc modcI and thc modcI`s proccton
onto thc actuaI vorId. Jhc probIcms vth thc opcratcn ot thc
tramcvork n thc actuaI vorId stcm trom thcdvcrgcnccs bctvccn
our carthbound actuaI Itc and thc possbIc-vorIds modcI vc havc
bccn dscussng, rasng thc qucston ot vhcthcr cvcn t thc rcaI-
zaton ot thc modcI tscIt vouId bc dcaI , thc rcaIzaton ot ts
paIc procctonis thc bcst vc can do hcrc.
1 - \nItkc thc modcI, wc cannot crcatc aII thc pcopIc whosc cxtstcncc wc
dcstrc. bo that cvcn tt thcrc wcrc a posstbIc maxtmaIIy mutuaIIy
vaIutng assoctatton contatntng you, tts othcr mcmbcrs actuaIIy may
not cxtst, and thc othcr Qrsons among whom you actuaIly Itvc wtII
not constttutc your bcst tan cIub. AIso thcrc may bc a parttcuIar
ktnd ot communtty you wtsh to Itvc tn, yct not cnough othcr actuaI
pcopIc (can bc pcrsuadcd to) wtsh to Itvc tn such a communtty so
to gtvc tt a vtabIc popuIatton. n thc modcI, tor a dtvcrsc rangc ot
noncxpIottattvc communtttcs, thcrc arc aIways cnough othcr pcrsons
who wtsh to Itvc tn onc.
z. \nItkc thc modcI, t n thc actuaI worId communtttcs impinge upon
onc anothcr, crcattng probIcms ot torctgn rcIattons and scIt-dctcnsc
and ncccssttattng modcs ot adudtcattng and rcsoIvtng dtsputcs bc-
twccn thc communtttcs. (n thc modcI , onc assoctatton tmptngcs
upon anothcr onIy by drawtng away somc ot tts mcmbcrs . )
3.
n thc actuaI worId, thcrc arc tntormatton costs tn hndtng out what
othcr communtttcs thcrc arc, and what thcy arc Itkc, and movtng
and travcI costs tn gotng trom onc communtty to anothcr.
4. urthcrmorc, tn thc actuaI worId, somc communtttcs may try to
kccp somc ot thctr mcmbcrs tgnorant ot thc naturc ot othcr aItcrna-
ttvc communtttcs thcy mtght otn, to try to prcvcnt thcm trom
trccIy Icavtng thctr own communtty to otn anothcr. Jhts ratscs
Utopia
thc probIcm ot how trccdom ot movcmcnt ts to bc tnstttuttonaItzcd
and cntorccd whcn thcrc arc somc who wtII wtsh tO rcstrtct tt.
Lvcn thc lormdabIc dllcrcnccs bctwccn thc actuaI worId and
thc modcI ol possbIc worIds , olwhat rcIcvancc s that lantasy to
t! Cnc shouId not bc too quck, hcrc or cIscwhcrc, wthsuch lan-
tascs. or thcy rcvcaI much about our condton. Cnc cannot
know how satshcd wc shaII bc wth what wc achcvc among our
lcasbIc aItcrnatvcs wthout knowng how lar thcy dvcrgc lrom
our lantascd wshcs . and t s onIy by brngng such wshcs , and
thcr lorcc, nto thc pcturc that wc shaII undcrstand pcopIc`s cl-
lorts toward cxpandng thc rangc ol thcr currcntIy lcasbIc aItcr-
natvcs. Jhc dctaIs nto whch somc utopan wrtcrs pIungc n-
dcatc a bIurrng olthcr Inc bctwccn lantasy and thc lcasbIc, not
to mcnton thc actuaIIy prcdctcd, lor cxampIc, ourcr`s vcw that
thc scas wouId turn to Icmonadc, lrcndIy antIons and anttgcrs
wouId cvoIvc, and so on. Lvcn thc wIdcst hopcs and prcdctons
(suchasJrotsky`s ncIosngLiteratureandReve!utien) cxprcss pangs
and aIongng whosc omsson lrom aportrat olus Icavcs t mcrcIy
thrcc dmcnsonaI . do not Iaugh at thc contcnt olour wshcs that
go not onIy bcyond thc actuaI and what wc takc to bc lcasbIc n
thc luturc, but cvcn bcyond thc possbIc, nor do wsh to dcn-
gratc lantasy, or mnmzc thc pangs olbcng Imtcd to thc pos-
sbIc.
Jhc rcaIzaton ol thc possbIc-worIds stuaton wouId nvoIvc
thc satslacton olvarous condtons, wc cannot actuaIIy satslyah
olthcsc condtons , but wc can satslymany olthcm. Lvcn lsats-
|ng aII ol thcm wouId bc thc bcst stuaton, t s not obvous
(gvcn that wc cannot satsly aII) that wc shouId try to satsly cach
olthc oncs t s possbIc to satsly, cvcn l t s jontIy possbIc to
sts| thcsc Iattcr. Pcrhaps ncar msscs ol thc totaIty ol cond-
t:ons arcworsc than grcat dvcrgcnccs, pcrhaps wc shouId ntcn-
tonaIIy voIatc somc ol thc condtons whch t s possbIc to sat-
| ordcr to compcnsatc lor or adjust lor thc (ncccssary)
v:oIat:on olsomc olthc othcr consdcratons.*
Cur consdcraton ol aItcrnatvc argumcnts lor thc lramcwork,
and dscusson olobcctons to t, wIImakc acasc lor (but not cs-
tabIsh) thc proposton that t wouId bc bcttcr to rcaIzc thc
lramcwork than to rcaIzc aItcrnatvcs cvcn morc dvcrgcnt lrom
A ramcwork tor \topta
thc possbIc-worIds modcI than t. c shouId notc hcrc that seme
ot thc ways thc lramcwork dvcrgcs trom thc possbIc-worIds
modcI, though makng thc lramcwork Icss dcsrabIc than thc pos-
sbIc-worIds modcI , Icavc t morc dcsrabIc than any othcr actuaIIy
rcaIzabIc stuaton. or cxampIc, n thc actuaI opraton ol thc
lramcwork thcrc wII bc onIy aImtcd numbcr olcommuntcs, so
that lor many pcopIc, no onc communty wIIexact! match thcr
vaIucs and thc wcghtng thcy gvc thcm. Lndcr thc lramcwork,
cach ndvduaI chooscs to Ivc n thc actuaI communty whch
(puttng troughIy)comcscIoscstto rcaIzng what s mosr mpor-
tant to hm. but thc probIcm about no communty cxactIy httng
somconc` s vaIucs arscs onIy bccausc pcopIc dsagrcc about thcr
vaIucs and thcr wcghtng. (lthcrc wcrc no dsagrccmcnt, thcrc
wouId bc cnough othcr pcopIc to popuIatc thc cxactIy dcsrcd
communty. ) So thcrc wII bc ne way to satsly aII olthc vaIucs ol
morc than onc pcrson, l onIy ene sct ot vaIucs can bc satshcd.
Cthcr pcrsons wII havc thcr vaIucs morc or Icss cIoscIy satshcd.
but l thcrc s a dvcrsc rangc ol communtcs, thcn (puttng t
roughIy) morc pcrsons wII bc abIc to comc cIoscr to how thcy
wsh to Ivc, than lthcrc s onIy onc knd olcommunty.
THE FRAMEWORK
t wouId bc dsconccrtng lthcrc wcrc onIy onc argumcnt or con-
ncctcd sct olrcasons lor thc adcquacy ola partcuIar dcscrpton ol
utopa. Ltopa s thc locus ol so many dllcrcnt strands olaspra-
ton that thcrc must b many thcorctcaI paths Icadng to t. Lct
us skctch somc olthcsc aItcrnatc, mutuaIIy supportng, thcorctcaI
routcs .
Jhc hrst routc bcgns wth thc lact that pcopIc arc dllcrcnt.
Jhcy dtlcr n tcmpcramcnt, ntcrcsts , ntcIIcctuaI abIty, aspra-
tons, naturaI bcnt, sprtuaIqucsts, and thc knd olIlc thcy wsh
to Icad. Jhcy dvcrgc n thc vaIucs thcy havc and havc dllcrcnt
n ordcr to kccp thc lnc ot argumcnt hcrc ndcpndcnt ot thc hrst two
parts ot ths book, do not dscuss hcrc thc moral argumcnts tor ndvdual
lbcrty.
5
: O Utopia
wcghtngs tor thc vaIucs thcy sharc. (Jhcy wsh to Ivc n dt-
tcrcnt cImatcs-somc n mountans, pIans, dcscrts , scashorcs ,
ctcs, towns. ) Jhcrc s no rcason to thnk that thcrc sene commu-
nty whch wII scrvc as dcaI tor aII pcopIc and much rcason to
thnk that thcrc s not.
c may dstngush among thc toIIowng thcscs.
. or cach Qrson thcrc t s a ktnd ot Ittc that obccttvcIy t s thc bcst tor
htm.
a. copIc arc stmtIar cnough, so that thcrc ts onc ktnd ot Ittc whtch
obccttvcIy ts thc bcst tor cach ot thcm.
b. copIc arc dthcrcnt, so that thcrc ts not onc ktnd ot Ittc whtch ob-
ccttvcIy ts thc bcst tor cvcryonc, and,
1 . Jhc dtttcrcnt ktnds ot Ittc arc stmtIar cnough so that thcrc is
onc ktnd ot communtty (mccttng ccrtatn constratnts) whtch ob-
|ccttvcIy ts thc bcst tor cvcryonc.
z . Jhc dtttcrcnt ktnds ot Ittc arc so dtttcrcnt that thcrc ts not onc
ktnd ot communtty (mccttng ccrtatn constratnts) whtch obcc-
ttvcIy ts thc bcst tor cvcryonc (no mattcr whtch ot thcsc dtt-
tcrcnt Itvcs ts bcst tor thcm).
. or cach pcrson, so tar obccttvc crttcrta ot goodncss can tcII (tn-
sotar thcsc cxtst), thcrc ts a wtdc rangc ot vcry dtttcrcnt ktnds ot
Ittc that ttc bcst, no othcr ts obccttvcIy bcttcr tor htm than any
onc tn thts rangc, and no onc wtthtn thc rangc ts obccttvcIy bcttcr
than any othcr. " And thcrc ts not onc communtty whtch obccttvcIy
ts thc bcst tor thc Itvtng ot cach scIcctton sct trom thc tamtIy ot scts
ot not obccttvcIy tntcrtor Itvcs.
orourpurposcs at ths pont cthcrotbz or wII scrvc.
ttgcnstcn, LIzabcth JayIor, bcrtrand KusscII , Jhomas
Mcrton, Yog bcrra, AIIcn Lnsburg, Marry oItson, Jhorcau,
Cascy StcngcI , Jhc Lubavtchcr Kcbbc, Pcasso, Moscs , Lnstcn,
Mugh Mcttncr, Socratcs, Mcnry ord, Lcnny brucc, baba Kam
Oass, Landh , Sr Ldmund MIIary, Kaymond Lubtz, buddha,
rank Snatra, CoIumbus , rcud, Porman MaIcr, Ayn Kand,
baron KothschId, Jcd IIams , Jhomas Ldson, M. L.
Mcnckcn, Jhomas)chcrson, KaIphLIIson, bobby schcr, Lmma
LoIdman, Pctcr Kropotkn, you, and your parcnts. s thcrc rcaIIy
ene knd otItc whch s bcst tor cach ot thcsc pcopIc! magnc aII
ot thcm Ivng n any utopa you`vc cvcr sccn dcscrbcd n dctaI .
Jry to dcscrbc thc soccty whch wouId bc bcst tor aII ot thcsc
pcrsons to Ivc n. ouId t bc agrcuIturaI or urban! Ctgrcat ma-
tcraI Iuxury or otaustcrty wth basc nccds satshcd! hat wouId
A ramcwork tor \topta
rcIatons bctwccn thc scxcs bc Ikc! ouId thcrc bc any nsttu-
ton smIar to marragc! ouId t bc monogamous! cuId chI-
drcn bc rascd by thcr parcnts! ouId thcrc bc prvatc propcrty!
ouId thcrc bc a scrcnc sccurc Itc or onc wth advcnturcs ,
chaIIcngcs, dangcrs , and opportuntcs tor hcrosm! ouId thcrc
bc onc, many, any rcIgon! Mow mportant wouId t bc n pco-
pIc`s Ivcs! ouId pcopIc vcw thcr Itc as mportantIy ccntcrcd
about prvatc conccrns or about pubIc acton and ssucs ot pubIc
poIcy! ouId thcy bc sngIc-mndcdIydcvotcd topartcuIarknds
ot accompIshmcnts and work or acks-ot-aII-tradcs and pIcasurcs
or wouId thcy conccntratc on hII and sats|ng Icsurc actvtcs!
ouId chIdrcn bc rascd pcrmssvcIy, strctIy! hat wouId thcr
cducaton conccntratc upon! II sports bc mportant n pcopIc` s
Ivcs (as spcctators , partcpants)! II art! II scnsuaI pIcasurcs
or ntcIIcctuaI actvtcs prcdomnatc! Cr what! II thcrc bc
tashons n cIothng! II grcat pans bc takcn to bcaut appcar-
ancc! hat wII thc atttudc toward dcath bc! ouId tcchnoIogy
and gadgcts pIay an mportant roIc n thc soccty! And so on.
Jhc dca that thcrc s onc bcst compostc answcr to aII otthcsc
qucstons , onc bcst soccty toreveene to Ivc n, sccms to mc to bc
an ncrcdbIc onc. (And thc dca that, t thcrc s onc, wc now
know cnough to dcscrbc t s cvcn morc ncrcdbIc. ) Po onc
shouId attcmpt to dcscrbc a utopaunIcss hc`s rcccntIy rcrcad, tor
cxampIc, thcworks otShakcspcarc, JoIstoy, )anc Austcn, KabcIas
and Oostocvsk to rcmnd hmscItothow dttcrcnt pcopIc arc. (t
wII aIso scrvc to rcmnd hm ot how compIcx thcy arc, scc thc
thrd routc bcIow. )
Ltopan authors, cach vcry conhdcnt ot thc vrtucs ot hs own
vson and ot ts snguIar corrcctncss, havc dttcrcd among thcm-
scIvcs (no Icss than thc pcopIc Istcd abovc dttcr) n thc nsttu-
tons and knds otItc thcyprcscnt torcmuIaton. Jhough thc pc-
turcotan dcaIsocctythatcachprcscnts s muchtoosmpIc (cvcn
tor thc componcnt communtcs to bc dscusscd bcIow), wc shouId
takc thc tact ot thc dhcrcnccs scrousIy. Po utopan author has
cvcryonc n hs soccty Icadng cxactIy thc samc Itc, aIIocatng
cxactIy thc samc amount ot timc to cxactIy thc samc actvtcs.
b) net Oon`t thc rcasons aIso count aganst ust onc knd ot
communty!
Jhc concIuson to draw s that thcrc wII not bc ene knd ot
5
z
Utopia
communty cxstng and onc knd otItc Icd n utopa. Ltopa wII
consstotutopas, otmanydttcrcnt and dvcrgcnt communtcs n
whch pcopIc Icad dttcrcnt knds ot Ivcs undcr dttcrcnt nsttu-
tons. Somc knds otcommuntcs wII bc morc attractvc to most
than othcrs, communtcs wII wax and wanc. PcopIc wII Icavc
somc tor othcrs or spcnd thcr whoIc Ivcs n onc. Ltopa s a
tramcwork tor utopas, a pIacc whcrc pcopIc arc at Ibcrty to jon
togcthcr voIuntarIy to pursuc and attcmpt to rcaIzc thcr own
vson ot thc good Itc n thc dcaI communty but whcrc no onc
can imese hs own utopan vson upon othcrs. Jhc utopan soc-
cty s thc soccty ot utopansm. (Somc ot coursc may bc contcnt
whcrc thcy arc. Pot eveene wII bc jonng spccaI cxpcrmcntaI
communtcs, and many who abstan at hrst wII on thc commu-
ntcs Iatcr, attcr t s cIcar how thcy actuaIIy arc workng out . )
MaItotthc truth wsh to put torth s that utopa s mcta-utopa.
thc cnvronmcnt n whch utopan cxpcrmcnts may bc trcd out,
thc cnvronmcnt n whch pcopIc arc trcc to do thcr own thng,
thc cnvronmcnt whch must, to a grcat cxtcnt , bc rcaIzcd hrst t
morc partcuIar utopan vsons arc to bc rcaIzcd stabIy.
t, aswc notcd at thc bcgnnng otths chaptcr, not aII goods
can bc rcaIzcd smuItancousIy, thcn tradc-otts wII havc to bc
madc. Jhc sccond thcorctcaI routc notcs that thcrc s IttIc rcason
to bcIcvc that onc unquc systcm ot tradc-otts wII command un-
vcrsaI asscnt. Ottcrcnt communtcs , cach wth asIghtIydttcrcnt
mx, wII provdc a rangc trom whch cach ndvduaI can choosc
that communty whch bcst approxmatcsbisbaIancc among com-
pctng vaIucs . (ts opponcnts wII caI! ths thc smorgasbord con-
ccpton ot utopa, prctcrrng rcstaurants wth onIy onc dnncr
avaIabIc, or, rathcr, prctcrrng a onc-rcstaurant town wth onc
tcm on thc mcnu. )
DES I GN DE VI CE S AND FI LTER DEVI CES
Jhc thrd thcorctcaI routc to thc tramcwork tor utopa s bascd on
thc tactthatpcopIc arc compIcx. As arcthc wcbs otpossbIc rcIa-
tonshps among thcm. Supposc (taIscIy) that thc carIcr argumcnts
arc mstakcn and that ene knd ot soccty is bcst tor aII. Mow arc
A ramcwork tor topa
wc to hnd out what ths soccty s Ikc! Jwo mcthods suggcst
thcmscIvcs , whch wc shaII caII dcsgn dcvccs and hItcr dcvccs.
Ocsgn dcvccs construct somcthng (or ts dcscrpton)by somc
proccdurc whch docs not csscntaIIy nvoIvc constructng dcscrp-
tons otothcrs ot ts typc. Jhc rcsuIt otthc proccss s onc obcct.
n thc ccotsocctcs , thcrcsuIt otthc dcsgnproccss sadcscrp-
ton ot onc soccty, obtancd by pcopIc (or a pcrson) sttng down
and thnkng about what thc bcst soccty s . Attcr dccdng, thcy
sct about to pattcrn cvcrythng on ths onc modcI.
Lvcn thccnormous compIcxty otman, hsmanydcsrcs, asp-
ratons , mpuIscs , taIcnts, mstakcs , Iovcs, sI Incsscs, gvcn thc
tbitkness ot hs ntcrtwncd and ntcrrcIatcd IcvcIs, taccts, rcIa-
tonshps (comparc thc thnncss ot thc socaI sccntsts` dcscrpton
otman to that otthc novcIsts), and gvcn thc compIcxty otntcr-
pcrsonaI nsttutonsand rcIatonshps , and thc compIcxtyotcoor-
dnaton ot thc actons ot many pcopIc, t s cnormousIy unIkcIy
that, cvcn t thcrc wcrc onc dcaI pattcrn tor soccty, t couId bc
arrvcd at n ths a rieri (rcIatvc to currcnt knowIcdgc) tashon.
And cvcn supposng that somc grcat gcnusdid comc aIong wth
thc bIucprnt, whocouId havc conhdcncc that t wouId work out
wcII!
q
Sttng down at ths Iatc stagc n hstory to drcam up adcscrp-
ton otthc pcrtcct soccty s not otcoursc thc samc as starrng trom
scratch. chavc avaIabIc to U partaI knowIcdgc otthc rcsuIts ot
appIcaton ot dcvccs othcr than dcsgn dcvccs , ncIudng partaI
appIcaton otthc hItcr dcvcc to bc dcscrbd bcIow. t s hcIphI
to magnc cavcmcn sttng togcthcr to thnk up what, tor aII
tmc, wII bc thc bcst possbIc soccty and thcn scttng out to n-
Po prson or group (or you) know oIcould comc up wth an adcquatc
blucprnt' (much lcss bc trustcd to do so) Ior a soccty oI bcngs as coplcx
pcrsonally and ntcrprsonally thcy thcmsclvcs arc. |'n mc ,
.
no utopa has
cvcr bccn dcscrbd n whch any sanc man would on any condtonsconscnt to
lvc Ihc could possbly cscapc. ` Alcxandcr Lray, The Socialist Tradition (Pcw
York. Marpcr & Kow, I g68), p. 6j) n vcw oI ths, t s stratcgcallyshrcwd
oIgroups who wsh totally to rcmakc all oIsoccty acco
.
rdng to onc pattcrn to
cschcw statng that pattcrn n dctal and to kccp us IM thc dark abut how
thngs wll work aItcr thcr changc. ('Po blucprnts.`) hc bhavor

oIthc Iol-
lowcrs s Icss casy to undcrstand, but prhaps thc morc vaguc thc ptcturc, thc
morc cach prson can assumc that t s rcally exactly what hc wants that s
planncd and wll bc brought about.
Utopia
sttutc t. Oo nonc ot thc rcasons that makc you smIc at ths
appIy to us!
Itcr dcvccs nvoIvc a proccss whch cImnatcs (hItcrs out)
many trom a Iargc sct otaItcrnatvcs. Jhc twokcy dctcrmnants ot
thc cnd rcsuIt(s) arc thc partcuIar naturc ot thc hItcrng out pro-
ccss (and what quaItcs t scIccts aganst)and thc partcuIar naturc
ot thc sct ot aItcrnatvcs t opcratcs upon (and how ths sct s
gcncratcd). Itcrng proccsscs arc cspccaIIy appropratc tor dc-
sgncrs havng Imtcd knowIcdgc who do not know prccscIy thc
naturc ot a dcsrcd cnd product. or t cnabIcs thcm to utIzc
thcr knowIcdgc otspcchc condtons thcy don`t want voIatcd n
udcousIy buIdng a hItcr to rccct thc voIators . t mght turn
out to bc mpossbIc to dcsgn an appropratc hItcr, and oncmght
try anothcr hItcr proccss tor ths task otdcsgn. but gcncraIIy, t
sccms, Icss knowIcdgc (ncIudng knowIcdgc otwhat s dcsrabIc)
wII b rcqurcd to producc an appropratc hItcr, cvcn onc that
convcrgcs unqucIy upon a partcuIar knd otproduct, than wouId
bc ncccssary to construct onIy thc product(s) trom scratch.
urthcrmorc, tthc hItcrng proccss s ot thc typ that nvoIvcs
avarabIcmcthod otgcncratng ncw canddatcs, so that thcr quaI-
ty mprovcs as thc quaIty ot thc mcmbcrs rcmanng ahcr prc-
vous hItcrng opcratons mprovcs, and t aIso nvoIvcs a varabIc
hItcr that bccomcs morc scIcctvc as thc quaIty otthc canddatcs
scnt nto t mprovcs (that s, t rcccts somc canddatcs whch
prcvousIy had passcd succcsshIIy through thc hItcr), thcn onc Ic-
gtmatcIy may cxpcct that thc mcrts ot what wII rcman attcr
Iong and contnucd opcraton otthc proccss wII bc vcry hgh n-
dccd. c shouId not bc t haughty about thc rcsuIts ot hItcr
proccsscs , bcngonc ourscIvcs . rom thc vantagc pont otthc con-
sdcratons Icadng us to rccommcnd a hItcr proccss n thc con-
structng ot socctcs, cvoIuton s a proccss tor crcatng Ivng
bcngsappropratcIychoscn bya modcstdcty, whodocs not know
prccscIy what thc bcng hc wshcs to crcatc s Ikc.
" Lomparc. Por s ths world nhabtcd by man thc hrst ot thngs carthly
crcatcd by Lod. Mc madcscvcralworlds btorc ours, but Mc dcstroycd thcm all
bcausc Mc was plcascd wth nonc untl Mc crcatcd ours . ` Lous Lnsburg,
Lgend: e/tbe 8ib/e (Pc York: 5mon & 5hustcr, I g6I ), p. 2 .
hc wholc subcct othltcrng dcvccs, dctcrmnstc and stochastc , and how
thcyshoulddtkr mrdttcrcntkndsottasks, strcmcndously ntcrcstng. hcrc
A ramcwork tor \topa
A hItcrng proccss tor spc|ng a soccty whch mght comc to
mnd s onc n whch thc pcopIc pIannng out thc dcaI soccty
consdcr many dhcrcnt knds ot socctcs and crtczc somc,
cImnatc somc, mod| thc dcscrptons otothcrs , untIthcycomc
to thc onc thcy consdcr bcst. Jhs no doubt s how any dcsgn
tcam wouId work, and so t shouId not bc assumcd that dcsgn
dcvccs cxcIudc hItcrng tcaturcs . (Por nccd hItcr dcvccs cxcIudc
dcsgn aspccts, cspcaIIy n thc gcncratng proccss. ) but onc can-
not dctcrmnc nadvancc whch pcopIc wIIcomc upwth thc bcst
dcas, and aII dcas must bc trcd out(and not mcrcIy smuIatcd on
s not, to my knowlcdgc, any dctalcd thcory ot optmal hltcrs (rclatvc
.
to
thcrtasks)and thcrtcaturcs. Lnc wouldcxpct that thc work on mathcmatcal
modcls otcvoluton(andcvolutonary thcory tsclt) wou!d bc usctul andsuggcs-
tvc n bgnnng to construct such a gcncral thcory. 5c K. L. Lcwontn,
'Lvoluton andhcory otLamcs, `eua/ e/ 7beeretica/ 8ie/eg, I g6O, Moward
Lcvcnc 'Lcnctc Lvcrsty and Lvcrsty ot Lnvronmcnts. Mathcmatcal
Aspct,'' n thc Fi/b 8erke/ Sme:ium, Vol. q, and thc rctcrcnccs ctcd
thcrcn, Lrow and Kmura, |ntreductien te Peu/atien Genetic: 7bee (P. Y. .
Marpr & Kow, I gyO).
Lonsdcr as anothcr llustraton thc ssucs ot gcnctc cngnccrng. Many
bologsts tcnd to thnk thc problcm s onc otd:ign, otspcqng thc bst typs
otprsons so that bologsts can procccdto producc thcm. hus thcy worry ovcr
what sort(s) otprson thcrc s to bc and who wll control ths proccss. hcy do
not tcnd to thnk, prhapsbccausc t dmnshcs thc mportancc otthcr rolc , ot
a systcm n whch thcy run a gcnctc suprmarkct , ` mcctng thc ndvdual
spchcatons (wthn ccrtan moral lmts) otprospctvc parcnts. Por do thcy
thnk otsccng what lmtcd numbcr ottyps otpcrsons poplc` schoccs would
convcrgc upn, t ndccd thcrc would bc any such convcrgcncc. s su
J
r-
markct systcm has thc grcat vrtuc that t nvolvcs no ccntralzcd dcctstonhxng
thc mturc human typc(s). tt s worrcd that somc mportant ratos wll bc al-
tcrcd, tor cxamplc ot malcs and tcmalcs, a govcrnmcnt could rcq
"
rc that
.
gc-
nctc manpulaton bc carrcd on so as to ht a ccrtan rato. 5upposng, t
'
rsm-
plcty, that thc dcsrcd rato s 1 . 1 hosptals and clncs
.
could bc rcq
'
rcd at
lcast as a bookkccpng arrangcmcnt) to par couplcs dcsung a malc chld wth
thosc dcsrng a tcmalc bctorc adng cthcr couplc n rcalzng thcr dcsrcs. t
morc couplcs dcsrcd onc altcrnatvc, couplcs would payothcrs to torm thc op-
pstc couplc n thc par, and a markct would dcvclop to thc cconomc bcncht
ot thosc ndttcrcnt abut thc scx ot thcr ncxt chld. Mantcnancc ot such a
macrorato would appar to bc morc dthcult n a purcly lbrtaran systcm.
Lndcr t cthcr parcnts would subscrb to an ntormaton scrvcc montorng
thc rcccnt brths and so know whch scx was n shortcr supply (and hcncc would
b morc n dcmand latcr n ltc), thus adustng thcr actvtcs, orntcrcstcd n-
dvduals would contrbutc to a charty that ottcrs bonuscs to mantan thc
rato, or thc rato would lcavc 1 . J wth ncw tamly and socal pattcrnsdcvclop-
ng
Utopia
a computcr) to scc how thcy wII work. And somc dcas wII
comc onIy as wc arc (est/acte) tryng to dcscrbc what pattcrns
havc cvolvcd trom thc spontancous coordnaton ot thc actons ot
many pcopIc.
t thc dcas must actuaIIy bc trcd out, thcrc must bc many
communtcs tryng out dttcrcnt pattcrns. Jhc hItcrng proccss,
thc proccss ot cImnatng communtcs, that our tramcwork n-
voIvcs s vcry smpIc. pcopIc try out Ivng n varous commun-
tcs , and thcy Icavc or sIghtIy mod| thc oncs thcy don`t Ikc
(hnd dctcctvc). Somccommuntcs wII bc abandoncd, othcrs wII
struggIc aIong, othcrs wII spIt, othcrs wII hoursh, gan mcm-
bcrs, and bc dupIcatcd cIscwhcrc. Lach communty must wn and
hoId thcvoIuntary adhcrcncc otts mcmbcrs. Po pattcrn s imesed
oncvcryonc, and thcrcsuIt wII bc oncpattcrn tand onIy tcvcry-
onc voIuntarIy chooscs to Ivc n accordancc wth that pattcrn ot
communty.'
Jhc dcsgn dcvcc comcs n at thc stagc ot gcncratng spcchc
communtcs to bc Ivcd n and trcd out. Any group ot pcopIc
may dcvsc a pattcrn and attcmpt to pcrsuadc othcrs to partcpatc
n thc advcnturc ota communty n that pattcrn. Vsonarcs and
crackpots, manacs and sants , monks and Ibrtncs, captaIsts
and communsts and partcpatory dcmocrats, proponcnts ot pha-
Ianxcs (curcr), paIaccs ot Iabor (Iora Jrstan), vIIagcs otunty
and coopraton (Cwcn), mutuaIstcommuntcs (Proudhon), tmc
storcs ()csah arrcn), brudcrhot, kbbutzm, " kundaIn yoga
ashrams, and so torth, may aII havc thcr try at buIdng thcr
vson and scttng an aIIurng cxampIc. !t shcuId not bc thought
that cvcry pattcrn trcd wII bc cxpIctIy dcsgncd de neve Somc
wII bc pIanncd modhcatons , howcvcr sIght, ot othcrs aIrcady
cxstng (whcn t s sccn whcrc thcy rub), and thc dctaIs otmany
wII bc buIt up spontancousIy n communtcs that Icavc somc
Iccway. As communtcs bccomc morc attractvc tor thcr nhab-
tants, pattcrns prcvcusIy adoptcd as thc bcst avaIabIc wII bc
lorsomc wrtcrs, thc most ntcrcstngpontscomc aItcrthcythnk thcy`vc
thoughtcvcrythng throughand havc bcgun to sct t down 5omctmcs, at ths
stagc, thcrc s a changc n pont oI vcw, or a rcalzaton that t s somcthng
dIIcrcnt onc must wrtc(on what, bcIorc writng, oncassumcdwas asubsdary
and clcar subcct). Mow much grcatcr wll bc thc dIIcrcnccs bctwccn a plan
(cvcn onc wrttcn down) and thc workng out n dctaI oIthc lIc oIa soccty.
A ramcwork tor Ltopta
rccctcd. And as thc communtcs whch pcopIc Ivc n mprovc
(accordng to thcr Ights), dcas tor ncw communtcs cttcn wII
mprovc as wcII.
Jhc opcraton ot thc tramcwork tor utopa wcprcscnt hcrc thus
rcaIzcs thc advantagcs ot a hItcrng proccss ncorporatng mutu-
aIIy mprovng ntcracton bctwccn thc hItcr and thc survvng
products otthc gcncratng proccss, so that thc quaIty otgcncratcd
and nonrccctcd products mprovcs. urthcrmorc, gvcn popIc` s
hstorcaI mcmorcs and rccords, t has thc tcaturc that an aIrcady
rccctcd aItcrnatvc (or ts sIght modhcaton) can bc retried, pcr-
haps bccausc ncw or changcd condtons makc t now sccm morc
promsng or appropratc. Jhs s unIkc boIogcaI cvoIuton
whcrc prcvousIy rccctcd mutatons cannot casIybc rccaIIcdwhcn
condtons changc. AIso, cvoIutonsts pont out thc advantagcs ot
gcnctc hctcrogcncty (poIytypc and poIymorphc) whcn cond-
tons changc grcatIy. SmIar advantagcs adhcrc to a systcm ot
dvcrsc communtcs, organzcd aIong dttcrcnt Incs and pcrhaps
cncouragng dttcrcnt typcs otcharactcr, and dttcrcnt pattcrns ot
abItcs and skIIs.
THE FRAMEWORK AS UTOPI AN COMMON GROUND
Jhc usc ota hItcr dcvcc dcpcndcnt upon pcopIc`s ndvduaI dcc-
sons to Ivc nor Icavc partcuIar communtcs s cspccaIIyappro-
pratc. or thc uItmatc purposc ot utopan constructon s to gct
communtcs that pcopIc wII want to Ivc n and wII choosc voI-
untarIy to Ivc n. Cr at Icast ths must bc a sdc cttcct otsucccss-
tuI utopan constructon. Jhc hItcrng proccss proposcd wII
achcvc ths. urthcrmorc, a hItcrng dcvcc dcpcndcnt upn po-
pIc`s dccsons has ccrtan advantagcs ovcr onc whch opcratcs
mcchancaIIy, gvcn our nabIty to tormuIatc cxpIctIyprncpIcs
whch adcquatcIy handIc, n advancc, aII ot thc compIcx, muI-
ttarous stuatons whch arsc. c ottcn statcrima/acie prnc-
hs Iramcwork s not thconly possblc hltcr proccss Ior thc tk oIarrv-
ng at a dcsrablc or thc bcst soccty (though cannot thnk oI anothcr whch
would havc thc spccal ntcracton vrtucs to so grcat an cxtcnt), so thc gcncral
vrtucs oI hltcr proccscs ovcr dcsgn dcvccs do not arguc unique/ Ior t.
Uteia
pIcs wthout thnkng that wc can mark oll n advancc aII ol thc
cxccptons to thc prncpIc. but though wc cannot dcscrbc n ad-
vancc aII olthc cxccptons to thc prncpIc, wc do thnk that vcry
oltcn wc wII bc abIc to rccognzc that apartcuIar stuaton wc arc
prcscntcd wthis an cxccpton.
0
SmIarIy, wc wII not bc abIc n advancc to program automat-
caIIy a hItcrng dcvcc to rccct aII and onIy what shouId bc rc-
cctcd (cthcr obcctvcIy, or n our vcw now, or n our vcw
thcn). c wII havc to Icavc room lor pcopIc`s udgng cach par-
tcuIar nstancc. Jhs s not by tscIlan argumcnt lor cach pcrson`s
udgng lor hmscIl. Por s thconIy aItcrnatvc to thc mcchancaI
appIcaton olcxpIctIy lormuIatcd ruIcs thc opcratonola systcm
wbell dcpcndcnt upon choccs wthout any gudcIncs at aII , as t
s cIcar lrom thc cxstcncc olour IcgaI systcm. So thc lact olnot
bcng abIc to statc or program cxccptonIcss prncpIcs n advancc
docs not, / itse sulhcc to gct to my prclcrrcd aItcrnatvc oleve-
ene's chocc, and ne gudcIncs sct up n advancc (cxccpt lor thosc
gudcIncs that protcct ths prclcrrcd argumcnt).
c havc argucd that cvcn lthcrc s onc knd olcommunty
that s bcst lorcachand cvcry pcrson, thc lramcwork sct out s thc
bcst mcans lor hndng out thc naturc ol that communty. Many
morcargumcntscanand shouId bc ollcrcd lorthc vcw that, cvcn l
thcrc s onc knd olsoccty that s bcst lor cvcryonc, thc opcraton
olthc lramcwork ( r ) s bcst lor anyonc`s comng up wth a pcturc
ol what thc soccty s Ikc, (z) s bcst lor anyonc`s bccomng con-
vnccd that thcpcturc s ndccd onc olthcbcstsoccty, () s bcst
lor Iargc numbcrs olpcopIc`s bccomng so convnccd, and (q) s
thc bcst way tostabIzc such a soccty wth pcopIc Ivng sccurcIy
and cndurngIy undcr that partcuIar pattcrn. cannot ohcr thcsc
othcrargumcntshcrc. (And couId not ohcr aII olthcm anywhcrc,
undcrstandngwb supports thc corrcctncss olthc poston. ) Mow-
cvcr, do wsh to notc that thc argumcnts lor thc lramcwork ol-
lcrcd and mcntoncd hcrc arc cvcn morc potcnt whcn wc drop thc
(laIsc) assumpton that thcrc s ene knd ol soccty bcst lor cvcry-
onc, and so stop msconstrung thc probIcm as onc olwhch onc
typc olcommunty cvcry ndvduaI pcrson shouId Ivc n.
Jhc lramcwork has two advantagcs ovcr cvcry othcr knd ol
dcscrpton ol utopa. hrst, t wII bc acccptabIc to aImost cvcry
utopan at somc luturc pnt n tmc, whatcvcr hs partcuIar v-
A ramcwOrk tOr tOpa
son, and sccond, t s compatbIc wththcrcaIzaton olaImost aII
partcuIar utopan vsons, though t docs not guarantcc thc rcaI-
zaton or unvcrsaI trumph olany partcuIar utopan vson. Any
utopan wII agrcc that our lramcwork s an appropratc onc lor a
soccty ol good mcn. or good mcn, hc thnks , voIuntarIy wII
choosc toIvc undcr thc partcuIar pattcrn hc lavors , lthcy arc as
ratonaI as hc s and thus arc abIc cquaIIy to scc ts cxccIIcncc. And
most utopans wII agrcc that at seme pont n tmc our lramcwork
s an appropratc onc, lor at somc pont (altcr pcopIc havc bccn
madc good, and uncorrupt gcncratons havc bccn produccd)pcopIc
voIuntarIy wII choosc to Ivc undcr thc lavorcd pattcrn. Jhus
our lramcwork s now admttcd, among a wdc rangc otutopans
and thcr opponcnts , to bc appropratc common ground, seener er
later. or cach thnks hs own partcuIar vson wouId bc rcaIzcd
undcr t.
Jhosc wth dllcrcnt utopan vsons who bcIcvc thc lramcwork
s an appropratcatb to thcr vson (as wcII as bcng pcrmssbIc
altcr thcrvson srcaIzcd)mghtwcII coopcratc nattcmptng to
rcaIzc thc lramcwork, cvcn gvcn mutuaI knowIcdgc olthcr dl-
lcrcnt prcdctons and prcdIcctons. Jhcr dllcrcnt hopcs conhct
onIy l thcy nvoIvc unvcrsaI rcaIzaton ol onc partcuIar pat-
tcrn. c may dstngush thrcc utopan postons. imerialistit
utopansm, whch countcnanccs thc lorcng olcvcryonc nto onc
pattcrn olcommunty,missiena utopansm, whch hopcs to pcr-
suadc or convncc cvcryonc to Ivc n onc partcuIar knd ol com-
munty, but wII not lorcc thcm to do so, and existential utopan-
" saya/me:t cvcry utopan anda/mest all partcular utopan vsons bccausc
t s unacccptablc to, and ncompatblc wth, 'utopans` ot torcc and dom-
nancc.
t say `most utopans, ` bccausc otthc tollowng possblc pston.
Pattcrn P s bcst, not only tor uncorrupt prsons but also tor corrupt
oncs.
2. Mowcvcr corrupt oncs would not choosc voluntarly to lvc undcr pat-
tcrn P.
. lurthcrmorc, t`s an untortunatc cmprcal tact that thcrc s ne way to
gct to uncorrupt poplc startng trom us and our mccty.
q. S wc can ncvcr gct to a stuaton otmost pcoplc wantng to lvc
undcr pattcrn P.
5 . Jhcrctorc, sncc P s thc bcst pattcrn tor all (corrupt or not), t wll
havc, contnually andctcrnally, to bc mpscd.
320 Utopia
sm, whch hopcs that apartcuIar pattcrn otcommunty wII cxst
(wII bc vabIc), though not ncccssarIy unvcrsaIIy, so that thosc
who wsh to do so may Ivc n accordancc wth t. LxstcntaI
utopans can whoIchcartcdIy support thc tramcwork. th hII
knowIcdgc ot thcr dttcrcnccs, adhcrcnts ot dvcrsc vsons may
coopcratc n rcaI zng thc tramcwork. Mssonary utopans ,
though thcr aspratons arc unvcrsaI , wII on thcm n support-
ng thc tramcwork, vcwng tuIIy voIuntary adhcrcncc to thcr
prctcrrcd pattcrn ascrucaI . Jhcy wII not, howcvcr, cspccaIIy ad-
mrc thc tramcwork`s addtonaI vrtuc ot aIIowng thc smuIta-
ncous rcaIzaton ot many dvcrsc possbItcs . mpcraIstc uto-
pans , on thc othcr hand, wII opposc thc tramcwork so Iong as
somc othcrs do not agrcc wth thcm. (cII, you can`t satsty cv-
crybody, cspccaIIy tthcrc arc thosc who wII bc dssatshcd unIcss
not cvcrybody s satshcd. ) Sncc anypartcuIar communty may bc
cstabIshcd wthn thc tramcwork, t s compatbIc wth aII partc-
uIar utopan vsons, whIc guarantccng nonc. Ltopans shouId
vcw ths as an cnormous vrtuc, tor thcr partcuIar vcw wouId
not tarc as wcII undcr utopan schcmcs othcr than thcr own.
COMMUNI TY AND NATI ON
Jhc opcraton ottc tramcwork has many ot thc vrtucs , and tcw
ot thc dctccts , pcopIc hnd n thc Ibcrtaran vson. or though
thcrc sgrcat Ibcrty to choosc among communtcs , many partcu-
Iar communtcs ntcrnaIIy may havc many rcstrctons unusth-
abIcon Ibcrtaran grounds . that s, rcstrctons whch Ibcrtarans
wouId condcmn tthcy wcrc cntorccd by a ccntraI statc apparatus.
or cxampIc, patcrnaIstc ntcrvcnton nto pcopIc` s Ivcs , rcstrc-
tons on thc rangc ot books whch may crcuIatc n thc commu-
nty, Imtatons on thc knds ot scxuaI bchavor, and so on. but
ths s mcrcIy anothcr way ot pontng out that n a trcc soccty
pcopIc may contract nto varous rcstrctons whch thc govcrn-
mcnt may not IcgtmatcIy mpsc upn thcm. Jhough thc tramc-
work s Ibcrtaran and Iasscz-tarc, individual temmunities witbin it
need netle, and pcrhaps no communty wthn t wII choosc to bc
so. Jhus , thc charactcrstcs ot thc tramcw.ork nccd not pcrvadc
A ramcwOrk tOr tOpa 32 1
thc ndvduaI communtcs. n tbis Iasscz-tarc systcm t couId
turn out that though thcy arc prmttcd, thcrc arc no actuaIIy
tunctonng `captaIst` nsttutons, or that somc communtcs
havc thcm and othcrs don`t or somc communtcs havc somc ot
thcm, or what you wII.
n prcvous chaptcrs , wc havc spokcn ota pcrson`s optng out ot
partcuIar provsons otccrtan arrangcmcnts . hy now do wc say
that varous rcstrctons may bc mposcd n a partcuIar commu-
nty! Mustn` t thc communty aIIow ts mcmbcrs to opt out ot
thcsc rcstrctons! Po, toundcrs and mcmbcrs ot a smaII commu-
nst communty may, qutc propcrIy, rctusc to aIIow anyoncto opt
out ot cquaI sharng, cvcn though t wouId bc possbIc to arrangc
ths. t s not a gcncraI prncpIc that cvcry communty or group
must aIIow ntcrnaI optng out whcn that s tcasbIc. or somc-
tmcs such ntcrnaI optng out wouId tscItchangc thccharactcrot
thc group trom that dcsrcd. Mcrcn Ics an ntcrcstng thcorctcaI
probIcm. A naton or protcctvc agcncy may not compcI rcds-
trbuton bctwccn onc communty and anothcr, yct a communty
such as a kbbutz may rcdstrbutc wthn tscIt(orgvc toanothcr
communty or to outsdc ndvduaIs). Such a communty nccdn` t
ottcr ts mcmbcrs anopportunty toopt outotthcsc arrangcmcnts
whIc rcmanng a mcmbcr otthc communty. Yct, havc argucd,
a naton shouId ottcr ths opportunty, popIc havc a rght to so
opt out ota naton`s rcqurcmcnts. hcrcn Ics thc dttcrcncc bc-
twccn a communty and a naton that makcs thc dttcrcncc n thc
Icgtmacy ot mposng a ccrtan pattcrn upon aII ot ts mcmbcrs!
A pcrson wII swaIIow thc mpcrtcctons ota packagcP (whch
may bc aprotcctvc arrangcmcnt, a consumcr good, a communty)
that s dcsrabIc on thc whoIc rathcr than purchasc a dttcrcnt
packagc (acompIctcIy dttcrcnt packagc, orP wth somc changcs),
whcn no morc dcsrabIc attanabIc dttcrcnt packagc s worth to
hm ts grcatcr costs ovcr P, ncIudng thc costs ot nducng
cnough othcrs to partcpatc n makng thc aItcrnatvc packagc.
Cnc assumcs that thc cost caIcuIaton tor natons s such as to pr-
t s strangc that many youngpoplc n tunc wth naturcandhopng to
go wth thc how` and not torcc thngs aganst thcrnatural bcntshould b at-
tractcd to statst vcws and socalsm, and arc antagonstc to cqulibrum and
nvsbIc-hand proccsscs.
322 Utopia
mt ntcrnaI optng out. but ths s not thc whoIc story lor two
rcasons. rst, t may bc lcasbIc n ndvduaI communtcs aIso to
arrangc ntcrnaI optng out at IttIc admnstratvc cost (whch hc
may bc wIIng to pay), yct ths nccdn` t aIways bc donc. Sccond,
natons dllcr lrom othcr packagcs n that thc ndvduaI hmscIl
sn` t to bcar thc admnstratvc costs oloptng out ot somc othcr-
wsc compuIsory provson. Jhc othcr pcopIc must pay lor hncIy
dcsgnng thcr compuIsory arrangcmcnts so that thcy don` t appIy
to thosc who wsh to opt out. Por s thc dllcrcncc mcrcIy a mat-
tcr ol thcrc bcng many aItcrnatvc knds ol communtcs whIc
thcrc arc many lcwcr natons. Lvcn laImost cvcryonc wshcd to
Ivc n a communst communty, so that thcrc wcrcn`t any vabIc
noncommunst communtcs, no partcuIar communty nccd aIso
(though t s to bc hopcd that onc wouId) aIIow a rcsdcnt ndvd-
uaI to opt out olthcrsharng arrangcmcnt. Jhc rccaIctrant nd-
vduaI has no aItcrnatvc but to conlorm. StII, thc othcrs do not
lorcc hm to conlorm, and hs rghts arc not voIatcd. Mc has
no rght that thc othcrs coopcratc n makng hs nonconlormty
lcasbIc.
Jhcdllcrcncc sccms to mc to rcsdc n thc dhcrcncc bctwccn a
lacc-to-lacc communty and 8 naton. n a naton, onc knows that
thcrcarc nonconlormng ndvduaIs, but onc nccd not bc drcctIy
conlrontcd by thcsc ndvduaIs or by thc lact ol thcr nonconlor-
mty. Lvcn l onc hnds t ollcnsvc that othcrs do not conlorm,
cvcn lthc knowIcdgc that thcrc cxst nonconlormsts rankIcs and
makcsoncvcryunhappy, thsdocs notconsttutcbcngharmcd by
thc othcrs or havng onc`s rghts voIatcd. hcrcas n a lacc-to-
tacc communty onc cannot avod bcng drcctIy conlrontcd wth
what onc h nds to bc ollcnsvc. Mow onc Ivcs n onc`s mmcdatc
cnvronmcnt s allcctcd.
Jhs dstncton bctwccn a lacc-to-lacc communty and onc that
s not gcncraIIy runs paraIIcI to anothcr dstncton. A lacc-to-lacc
communty can cxst on Iand ontIy owncd by ts mcmbcrs ,
whcrc thc Iand ola naton s not so hcId. Jhc communty wII
bc cnttIcd thcn, as a body, to dctcrmnc what rcguIatons arc to
bc obcycd on ts Iand, whcrcas thc ctzcns ol a naton do not
ontIy own ts Iand and so cannot n ths way rcguIatc ts usc. l
au thc scparatc ndvduaIs who own Iand coordnatc thcr actons
A ramcwork tor \topa
n mposng a commonrcguIaton(lor cxampIc, no onc may rcsdc
on ths Iand who docs not contrbutc n pcrccnt ol hs ncomc to
thc poor), thc samc eett wII bc achcvcd as l thc naton had
passcd IcgsIaton rcqurng ths. but sncc unanmty s onIy as
strong as ts wcakcst Ink, cvcn wth thc usc olsccondary boycotts
(whch arc pcrlcctIy Icgtmatc), t wouId bc mpossbIc to man-
tan such a unanmous coaIton n thclaccolthc bIandshmcnts to
somc to dclcct.
but somc lacc-to-lacc communtcs wII not bc stuatcd on
ontIy hcId Iand. May thc maorty olthcvotcrs na smaIIvIIagc
pass an ordnancc aganst thngs that thcy hnd ollcnsvc bcng
doncon thcullit strccts! May thcy IcgsIatc aganst nudty orlor-
ncaton or sadsm (on conscntng masochsts) or hand-hoIdng by
racaIIy mxcd coupIcs on thc strccts! Any prvatc owncr can rcgu-
Iatc hs prcmscs as hc chooscs. but what olthc pubIc thorough-
larcs, whcrc pcopIc cannot casIy avod sghts thcy hnd ollcnsvc!
Must thc vast maorty cIostcr thcmscIvcs aganst thc ollcnsvc
mnorty! lthc maorty may dctcrmnc thc Imts on dctcctabIc
bchavor n pubIc, may thcy, n addton to rcqurng that no onc
appcar n pubIc wthout wcarng cIothng, aIso rcqurc that no
onc appcar n pubIc wthout wcarng a badgc ccrtlyng that hc
has contrbutcd n pcrccnt ol hs ncomc to thc nccdy durng thc
ycar, on thc grounds that thcy hnd t ollcnsvc to Iook at somconc
not wcarng ths badgc (not havng contrbutcd)! And whcncc ths
cmcrgcnt rght ol thc maorty to dccdc! Cr arc thcrc to bc no
pubIc` pIacc orways! (Somcdangcrs olths, notcd n Lhaptcr z ,
wouId bc avodcd by thc Lockcan provso olLhaptcr y . ) Sncc do
not scc mywaycIcarIy through thcsc ssucs, rascthcm hcrc onIy
to Icavc thcm.
COMMUNI TI ES WHI CH CHANGE
Jhc ndvduaI communtcs may havc any charactcr compatbIc
wth thc opraton olthc lramcwork. la pcrson hnds thc charac-
tcr ol a partcuIar communty uncongcnaI , hc nccdn` t choosc to
Utopia
Ivc n t. Jhs s aII wcII and good tor an ndvduaI dccdng
whchcommunty to cntcr. butsupposc apartcuIarcommunty s
cbanging n ts charactcr and bccomng onc ota sort an ndvduaI
dsIkcs. tyou don`t Ikc t hcrc, don`t on` has morc torcc than
tyou don`t Ikc t hcrc, Icavc. ` Attcr a pcrson h spcnt much ot
hs Itc n a communty, scnt down roots , madc trcnds, and con-
trbutcd to thc communty, thc chocc to pck up and Icavc s a
dthcuIt onc. Such a communty`s cstabIshng a ncw rcstrcton,
or aboIshng an oId onc, or scrousIy changng ts charactcr, wII
attcct ts ndvduaI mcmbcrs nsomcthngIkc thcway n whch a
natien's changng ts Iaws wII attcct ts ctzcns. ShouIdn` t onc,
thcrctorc, bcIcsswIIng to grant thccommuntcs suchgrcat Iat-
tudc n ordcrng thcr ntcrnaI attars, shouIdn` tthcrc bc Imts on
thcr mposng rcstrctons that, tmposcd by a statc, wouId con-
sttutcavoIaton otan ndvduaI`s rghts! rcnds otIbcrty ncvcr
thought that thc cxstcncc ot Amcrca madc Icgtmatc thc prac-
tccs otCzarst Kussa. hy shouId thcrc bc adttcrcnccotknd n
thc casc ot thc communtcs!
! !
Varous rcmcdcs suggcst thcmscIvcs, shaII dscuss onc hcrc.
Anyonc may start an sort ot ncw communty (compatbIc wth
thc opcraton otthc tramcwork) thcy wsh. or no onc nccd cntcr
t. (Po communty may bc cxcIudcd, on patcrnaIstc grounds , nor
may Icsscr patcrnaIstc rcstrctons gcarcd to nuIIty supposcd dc-
tccts npcopIc`s dccson proccsscs bc mpscd-torcxampIc, com-
puIsory ntormaton programs, watng pcrods . ) Modtyng an
aIrcady cxstng communty s hcId to c a dttcrcnt mattcr. Jhc
wdcr soccty may pck somc prctcrrcd ntcrnaI structurc tor com-
muntcs(whch rcspccts ccrtan rghts, and soon)and may rcqurc
that communtcs somchow compcnsatc thc communty`s ds-
scntcrs tor changcs away trom ths structurc, tor thosc changcs t
chooscs to makc. Mavng dcscrbcd ths soIuton to thc probIcm,
wc scc that t sunnecessar. or, to accompIsh thc samc cnd nd-
vduaIs nccd onIy ncIudc n thc cxpIct tcrms otan agrccmcnt
(contract) wth any communty thcy cntcr thc stpuIaton that
any mcmbcr (ncIudng thcmscIvcs) wII bc so compnsatcd tor
dcvatons trom a spcchcd structurc (whch nccd not bc
soccty`s prctcrrcd norm) n accordancc wth spchcd cond-
tons. (Cnc may usc thc compnsaton to hnancc Icavng thc
communtty. )
A ramcwork Ior Ltopta
TOTAL COMMUNI TI ES
Lndcr thc tramcwork, thcrc wII bc groups and communtcs cov-
crng aII aspccts otItc, though Imtcd n mcmbcrshp. (Pot cv-
cryonc, assumc, wII choosc to jon onc bg communc or tcdcra-
ton otcommuncs. ) Somc thngs about somc aspccts otItc cxtcnd
to cvcryonc, tor cxampIc, cvcryonc has varous rghts that may not
bc voIatcd, varous boundarcs that may not bc crosscd wthout
anothcr`s conscnt. Somc pcopIc wII hnd ths covcrng ot aII
aspccts otsomc pcrson`s Ivcs and somc aspccts otaII pcrson`s Ivcs
to bc nsuthccnt. Jhcsc pcopIc wII dcsrc a doubIy totaI rcIa-
tonshp that covcrs aII pcopIc and aII aspcts otthcr Ivcs, tor cx-
ampIc, aII pcopIc n aII thcr bchavor (nonc s cxcIudcd n prnc-
pIc) showng ccrtan tccIngs otIovc, attccton, wIIngncss to hcIp
othcrs, aII bcng cngagcd togcthcr n somc common and mportant
task.
Consdcr thc mcmbcrs ot a baskctbaII tcam, aII caught up n
pIayng baskctbaII wcII. (gnorc thc tact that thcy arc tryng to
wn, though s t an accdcnt that such tccIngs ottcn arsc whcn
somc untcagainst othcrs!)Jhcy do not pIayprmarIy tormoncy.
Jhcy havc a prmary)eint goaI , and cach subordnatcs hmscIt to
achcvng ths common goaI , scorng tcwcr ponts hmscIt than hc
othcrwsc mght. taII arc tcd togcthcr by jont partcpaton n
an actvty toward a common goaI that cach ranks as hs most m-
portant goaI, thcn tratcrnaI tccIng wII hoursh. Jhcy wII bc
untcd and unscI hsh, tbe wII bc ene. but baskctbaII playcrs , ot
coursc, do not havc a common hghcst goaI, thcy havc scparatc
tamIcs and Ivcs. StII wc mght magnc a soccty n whch aII
work togcthcr to achcvc a common hghcst goaI . Lndcr thc
tramcwork, any group ot prsons can so coaIcscc, torm a movc-
mcnt, and so torth. but thc structurc tscIts dvcrsc, t docs not
tscIt provdc or guarantcc that thcrc wII bc any common goaI
that aII pursuc ontIy. t s bornc n upon onc, n contcmpIatng
such an ssuc, how appropratc t s to spcak ot ndvduaIsm`
and (thc word concd n opposton to t) socaIsm. t gocs
wthout sayng that any prsons may attcmpt to untc kndrcd
sprts, but, whatcvcr thcr hopcs and Iongngs , nonc havc thc
rght to mposc thcr vson otunty upon thc rcst.
Utopia
UTOPI AN ME ANS AND E NDS
Mow do thc wcII-known objcctons to 'utopansm` appIy to thc
conccpton prcscntcd hcrc! Many crtcsms locus upon utopans`
Iack ol dscusson olMruR lor achcvng thcr vson or thcr con-
ccntraton uponmcans that wII not achcvc thcr cnds. npartcu-
Iar, crtcs contcnd that utopans oltcn bcIcvc that thcy can brng
about ncw condtons and nurturc lorth thcr partcuIar commun-
tcs by voIuntary actons wthn thc cxstng structurc olsoccty.
Jhcy bcIcvc ths lor thrcc rcasons. rst, bccausc thcy bcIcvc that
whcnccrtanpcrsons orgroups havc an ntcrcst n thc contnuancc
ol a pattcrn lar lrom thc dcaI onc (bccausc thcy occupy a prv-
Icgcd poston n t, and bcncht lrom spcchc njustccs or dclccts
n thc actuaI pattcrn whch wouId bc cImnatcd n thc dcaI onc),
thcn lthcr coopcraton s ncccssary n ordcr to rcaIzc thc dcaI
pattcrn through voIuntary actons, thcsc pcopIc can bc convnccd
voIuntarIy to pcrlorm thc actons (aganst thcr ntcrcsts) whch
wII ad n brngng about thc dcaI pattcrns. Jhrough argumcnt
andothcr ratonaI mcans, utopans hopc to convncc pcopIc olthc
dcsrabIty and justcc olthc dcaI pattcrn and olthc nj ustcc and
unlarncss ol thcr spccaI prvIcgcs, thcrcby gcttng thcm to act
dllcrcntIy. Sccond, thcr crtcs contnuc, utopans bcIcvc that
cvcn whcn thc lramcwork ol thc cxstng soccty aIIows jont voI-
untary actons that wouId bc sulhccnt to brng about a grcat
changc n thc soccty by thosc not bcnch tng lrom dclccts and n-
j ustccs n thc actuaI soccty, thcn thosc whosc prvIcgcs arc
thrcatcncd wII not ntcrvcnc actvcIy, voIcntIy, and cocrcvcIy to
crush thc cxpcrmcnt and changcs. Jhrd, crtcs asscrt that uto-
pans arc naIvc to thnk, cvcn whcn thc coopraton ol thc cspc-
caIIy prvIcgcd s not rcqurcd and whcn such pcrsons wII ab-
stanlrom voIcntIy ntcrlcrng n thc proccss, that t s possbIc to
cstabIsh through voIuntary coopcraton thc partcuIar cxprmcnt
n thc vcry dhcrcnt cxtcrnaI cnvronmcnt, whch oltcn s hostIc
to thc goaIs olthc cxpcrmcnt. Mow can smaII communtcs ovcr-
comc thc whoIc thrust ol thc soccty, arcn` t soIatcd cxpcrmcnts
doomcd to laIurc! Cn ths Iast pont, wc saw n Lhaptcr B how a
workcr-controIIcd lactory couId bc cstabIshcd n a lrcc soccty.
Jhc pont gcncraIzcs. thcrc is a mcans olrcaIzng varous mcro-
A ramcwork tor \topta
stuatons through thc voIuntary actons olpcrsons n a lrcc soc-
cty. hcthcr pcopIc wih choosc to pcrlorm thosc actons s an-
othcr mattcr. Yct, n a lrcc systcm any Iargc, ppuIar, rcvoIu-
tonary movcmcnt shouId bc abIc to brng about ts cnds by such a
voIuntary proccss. As morc and morc pcopIc scc how t works ,
morc and morc wII wsh to partcpatc n or support t . And so t
wII grow, wthout bcng ncccssary to lorcc cvcryonc or a majorty
or anyonc nto thc pattcrn.
q
Lvcn lnonc olthcsc objcctons hoId, somc wII obj cct to rcI-
ancc on thc voIuntary actons olpcrsons , hoIdng that pcopIc arc
now so corrupt that thcy wII not choosc to coopcratc voIuntarIy
wth cxpcrmcnts to cstabIsh j ustcc, vrtuc, and thc good Ilc.
(Lvcn though l thcy dd choosc to do so, thc cxpcrmcnts wouId
succccd n a whoIIy voIuntary cnvronmcnt, or n somc currcnt
onc. ) urthcrmorc, l thcy wcrcn` t corrupt (ahcr thcy`rc not cor-
rupt)thcywouId (wII)coopcratc. So, thcargumcntcontnucs, pco-
pIc must bc lorccd to act naccordancc wth thc good pattcrn, and
pcrsons tryng to Icad thcm aIong thc bad oId ways must bc s-
Icnccd.
' Jhsvcwdcscrvcs an cxtcndcd dscusson, whch t can-
not bc gvcn hcrc. Snccthc proponcntsolths vcwarc thcmscIvcs
so obvousIy laIIbIc, prcsumabIy lcw wII choosc to gvc thcm, or
aIIow thcm to havc, thc dctatoraI powcrs ncccssary lor stampng
out vcws thcy thnk arc corrupt. hat s dcsrcd s an organza-
ton olsoccty optmaI lor pcopIc who arc lar Icss than dcaI , op-
tmaI aIso lor much bcttcr pcopIc, and whch s such that Ivng
undcr such organzaton tscIl tcnds to makc pcopIc bcttcr and
hcrc rcmans arcasonwhy, though prmttcd, pssblcotsucccss, and not
aggrcssvcly ntcrtcrcd wth by thc actons ot hostlc pcrsons, thc cxpcrmcnt
takng placc n thc dttcrcnt cxtcrnal cnvronmcnt mght not havc a tar chancc
to survvc. lor tthc wholc soccty docs not havc a voluntary tramcwork, thcn
thcrc mght bc an cxpcrmcnt, whch s n a voluntary corncr otthc total actual
trcwork, that ueu/d succccd n a ube|/ voluntary tramcwork but won`t
succcm n thc actual onc. lor n thc actual onc, whlc no onc s torbddcn to
pcrtorm any acton strctly ncccssary to thc succcss otthc cxpcrmcnt, t mght
bc that somc llcgtmatc prohbton on othcr actons makcspoplc lcss lkcly
(rangng to cxtrcmcly low probablty) to prtorm thc voluntary actons com-
prsng thc succcss otthc cxprmcnt. o takcan cxtrcmc cxamplc, anyonc na
ccrtan group mght bc prmttcd to hold a ccrtan job, yct cvcryonc mght bc
torbddcn to tcach thcm thc sklls uscd on thc ob, ccrthcaton otsuch sklls
bcng thc only tcasblc way to hold thc ob (though somc othcr cxtrcmcly
dthcult routc s lctt opn).
Utopia
morc dcaI . bcIcvng wth JocqucvIIc that t s onIy by bcng
lrcc that pcopIc wII comc to dcvcIop and cxcrcsc thc vrtucs ,
capactcs , rcsponsbItcs, and udgmcnts appropratc to lrcc
mcn, that bcng lrcc cncouragcs such dcvcIopmcnt, and that cur-
rcnt pcopIcarc not cIosc to bcng so sunkcn ncorrupton as poss-
bIy to consttutc an cxtrcmc cxccpton to ths, thc voIuntary
lramcwork s thc appropratc onc to scttIc upon.
hatcvcr thc ustcc ol thcsc crtcsms ol thc vcws about
mcans olwrtcrs n thc utopan tradton, wc makc no assumpton
that popIc can bc gottcn voIuntarIy to gvc up prvIcgcd pos-
tons bascd upon IIcgtmatc ntcrvcntons, drcctIy or through
govcrnmcnt, nto othcr popIc`s Ivcs, nor do wc assumc that n
thc lacc ol thc pcrmssbIc voIuntary actons ol pcrsons rchsng
any Iongcr to havc thcr rghts voIatcd, thosc othcr pcrsons whosc
IIcgtmatc prvIcgcsarc thrcatcncd wII stand by pcacchIIy. t s
truc that do not dscuss hcrc what IcgtmatcIy may bc donc and
what tactcs wouId bc bcst n such crcumstanccs. Kcadcrs hardIy
wII bc ntcrcstcd n such dscusson untI thcy acccpt thc Ibcr-
taran lramcwork.
Many partcuIar crtcsms havc bccn madcolthcpartcuIarends
ol wrtcrs n thc utopan tradton and ol thc partcuIar socctcs
thcy dcscrbc. but two crtcsms havc sccmcd to appIy to aII.
rst, utopans want to makc aII ol soccty ovcr n accordancc
wthonc dctaIcd pIan, lormuIatcd n advanccand ncvcr bclorc ap-
proxmatcd. Jhcy scc as thcr obcct a pcrlcct soccty, and hcncc
thcydcscrbc a statc and rgd soccty, wth no opportuntyor cx-
pcctaton olchangc or progrcss and no opportunty lor thc nhab-
tants ol thc soccty thcmscIvcs to choosc ncw pattcrns. (or l a
changc s achangc lor thc bcttcr, thcn thc prcvous statc olthc so-
ccty, bccausc surpassabIc, wasn`t pcrlcct, and l a changc s a
changc lorthc worsc, thc prcvous statc olsoccty, aIIowng dctcr-
oraton, wasn` tprlcct. And whymakc achangc whch s ncutraI!)
Sccond, utopans assumc that thc partcuIar soccty thcy dc-
scrbc wII opcratc wthout ccrtan probIcms arsng, that socaI
mcchansms and nsttutons wII hncton as thcy prcdct, and
that pcopIc wII not act lrom ccrtan motvcs and ntcrcsts. Jhcy
bIandIy gnorc ccrtan obvous probIcms that anyonc wth any cx-
pcrcncc olthc worId wouId bc struck by or makc thc most wIdIy
A ramcwork tor \topta
optmstc assumptons about how thcsc probIcms wII bc avodcd
or surmountcd. (Jhc utopan tradton s maxmax. )
c do not dctaI thc charactcr ol cach partcuIar communty
wthn thc soccty, and wc magnc thc naturc and composton ol
thcsc consttucnt communtcs changng ovcr tmc. Po utopan
wrtcrs actuaIIy hx au ol thc dctaIs ol thcr communtcs. Sncc
dctaIsabout thc lramcwork wouId havc to bc hxcd, how docs our
proccdurc dllcr lrom thcrs! Jhcywsh to hx n advancc aII olthc
imertant socaI dctaIs , Icavng undctcrmncd onIy thc trvaI dc-
taIs, about whch thcy cthcr don`t carc or whch rasc no ntcrcst-
ng ssucs olprncpIc. hcrcas, n our vcw, thc naturc ol thc
varous communtcs s vcry mportant, thcsc qucstons arc so m-
portant that thcy shouId not bc scttIcd by anyonc lor anyonc cIsc.
Oo wc, howcvcr, wsh to dcscrbc n spchc dctaI thc naturc ol
thc lramcwork, whch s to bc hxcd ncharactcr and unchangng!
Oowc assumcthatthc lramcworkwIIopcratcwthout probIcms!
do wsh to dcscrbc thc kind ol lramcwork, namcIy, onc whch
Icavcs Ibrty lor cxpcrmcntaton olvarcd sorts. but aII ol thc
dctaIs ol thc lramcwork wII not bc sct down n advancc. (t
wouId bc cascr to do ths than to dcsgn nadvancc thc dctaIs ol
a pcrlcct soccty. )
Por do assumc that aII probIcms about thc lramcwork arc
soIvcd. Lct us mcnton a lcw hcrc. Jhcrc wII bc probIcms about
thc roIc, lany, to bc pIaycd by somc ccntraI authorty (or protcc-
tvc assocaton), how wII ths authorty bc scIcctcd, and how wII
t bc cnsurcd that thc authorty docs, and dos onIy, what t s
supposcd to do! Jhc maor roIc, as scc t, wouId bc to cnlorcc
thc opraton ol thc lramcwork-lor cxampIc, to prcvcnt somc
communtcs lrom nvadng and sczng othcrs, thcr pcrsons or as-
scts. urthcrmorc, t wII adudcatc n somc rcasonabIc lashon
Smc wrtcrs try to ustq a systcm ot lbrty d onc that wll lcad to an
optmal ratc otcxpcrmcntaton and nnovaton. tthc optmum s dchncd d
that ycldcd by a systcm otlbrty, thc rcsult s unntcrcstng, and, tan altcr-
natvc chactcrzaton ot optmum s ottcrcd, t mght bc that t s bcst
achcvcd by torcng pcoplc to nnovatc and cxpcrmcnt by taxng morc hcavly
thosc who don`t. hc systcm wc proposc lcavcs room tor such cxpcrmcntaton
butdocs not rcqurc t, poplcarc trcc to stagnatc tthcy wsh d wcll d to n-
novatc.
\ \C Utopia
conhcts bctwccn communtcswhchcannot bc scttIcd by pcacchI
mcans. hat thc bcst torm otsuch a ccntraI authorty s wouId
not wsh to nvcstgatc hcrc. t sccms dcsrabIc that onc not bc
hxcd prmancntIy but that room bc Ictt tor mprovcmcnts otdc-
taI. gnorc hcrcthc dthcuIt and mprtantprobIcms otthc con-
troIs on accntraI authorty powcrtuI cnough to pcrtorm ts appro-
pratc hnctons, bccausc havc nothng spccaI to add to thc
standard Itcraturc on tcdcratons, contcdcratons, dcccntraIza-
ton otpwcr, chccks and baIanccs, and so on. '
Cnc pcrsstcnt strand n utopan thnkng, as wc havc mcn-
toncd, s thc tccIng that thcrc s somc sct otprncpIcs obvous
cnough to bc acccptcd by aII mcn otgood wII, prccsc cnough to
gvc unambguous gudancc n partcuIar stuatons, cIcar cnough
so that aII wII rcaIzc ts dctatcs, and compIctc cnough to covcr
aII probIcms whch actuaIIy wII arsc. Sncc do not assumc that
thcrc arc such prncpIcs, do not assumc that thc poItcaI rcaIm
wIIwthcr away. Jhcmcssncssotthc dctaIs otapoItcaI appara-
tus and thc dctaIs othow it s to bc controIIcd and Imtcd do not
ht casIy nto onc's hopcs tor a sIcck, smpIc utopan schcmc.
Apart trom thc conhct bctwccn communtcs, thcrc wII bc
othcr tasks tor a ccntraI apparatus or agcncy, tor cxampIc, cntorc-
ng an ndvduaI`s rght to Icavca communty. but probIcms arsc
tan ndvduaI can pIausbIy bc vcwcd aswing somcthng to thc
othcrmcmbcrsota communty hc wshcs to Icavc. tor cxampIc, hc
has bccn cducatcd at thcr cxpcnsc on thc cxpIct agrccmcnt that
hc wouId usc hs acqurcd skIIs and knowIcdgc n thc homc com-
munty. Cr, hc has acqurcd ccrtan tamIyobIgatons that hc wII
abandon by shttng communtcs. Cr, wthout such tcs, hc
wshcstoIcavc. hat may hc takc out wthhm! Cr, hc wshcsto
Icavc attcr hc`s commttcd somc punshabIc ohcnsc tor whch thc
communty wshcs to punsh hm. LIcarIy thc prncpIcs wII bc
compIcatcd oncs. LhIdrcn prcscnt yct morc dthcuIt probIcms . n
somcway tmustbccnsurcd that thcy arcin/motthcrangc ot
aItcrnatvcs n thc worId. but thc homc communty mght vcw t
as mprtant that thcr youngstcrs not bc cxposcd to thc knowI-
cdgc that onc hundrcd mIcs away s a communty otgrcat scxuaI
trccdom. And so on. mcnton thcsc probIcms to ndcatc a trac-
tonotthc thnkng thatnccds to bc doncon thcdctaIsota tramc-
A ramcwork tor \topta \ \
I
work and to makc cIcar that do not thnk ts naturc can bc
scttIcd h naIIy now cthcr.
Lvcn though thc dctaIs ot thc tramcwork arcnt scttIcd, won't
thcrc bc somc rgd Imts about t, somcthngs naItcrabIy mcd!
II t bc possbIc to shtt to a nonvoIuntary tramcwork pcrmt-
tng thc torccd cxcIuson otvarous styIcs ot Itc! ta tramcwork
couIdbc dcvscd that couId not bctranstormcd nto a nonvoIuntary
onc, wouId wc wsh to nsttutc t! t wc nsttutc such a pcrma-
ncntIy voIuntary gcncraI tramcwork, arc wc not, to somc cxtcnt,
ruIng out ccrtan pssbIc choccs! Arc wc not sayng n advancc
that pcopIc cannot choosc to I vc n a ccrtan way, arc wc scttng a
rgd rangc n whch pcopIc can movc and thus commttng thc
usuaI tauIt otthc statc utopans! Jhc comparabIc qucston about
an ndvduaI s whcthcr a trcc systcm wII aIIow hm to scII hm-
scItnto sIavcry. bcIcvc that t wouId. (Cthcrwrtcrs dsagrcc. )
t aIso wouId aIIow hm pcrmancntIy to commt hmscItncvcr to
cntcr nto such a transacton. but somc thngs ndvduaIs may
choosc tor thcmscIvcs, no onc may choosc tor anothcr. So Iong as
t s rcaIzcd at what a general IcvcI thc rgdty Ics, and what
dvcrsty otpartcuIar Ivcs and communtcs t aIIows, thc answcr
s, Ycs, thc tramcwork shouId bc mcd as voIuntary. but rc-
mcmbcr that any ndvduaI may contract nto any partcuIar con-
strants ovcr hmscIt and so may usc thc voIuntary tramcwork to
contract hmscItout ot t. (taII ndvduaIs do so, thc voIuntary
tramcwork wII not opcratc untI thc ncxt gcncraton, whcn othcrs
comc otagc. )
HOW UTOPI A WORKS OUT
cII, what cxactIy wII t aII turn out to bc Ikc! nwhat drcc-
tons wIIpcopIc howcr! Mow Iargc wII thc communtcs bc! II
thcrc bc somc Iargc ctcs! Mow wII cconomcs otscaIc opcratc to
cmghtoIcoursctryslghtly dhcrcntIramcworks ndhcrcnt vctonsoI
a country, allowng cach sccton to shIt slghtly thcr own Iramcwork, d thcy
scc how thc othcrs work out. Stll, across thc board, thcrc wll b somc com-
mon Iramcwork, though ts partcti|ar charactcr wll not b prmancntly hxcd.
55
z Utopia
hx thc szc ot thc communtcs! II aII ot thc communtcs bc
gcographcaI, or wII thcrc bc many mprtant sccondary assoca-
tons, and so on! II most communtcs toIIow partcuIar
(though dvcrsc) utopan vsons, or wII many communtcs thcm-
scIvcs bc opn, anmatcd by no such partcuIar vson!`
donot know, and you shouId not bcntcrcstcd nmygucsscs
about what wouId occur undcr thc tramcwork n thc ncar hturc.
As tor thc Iong run, wouId not attcmpt to gucss .
S s ths aII t comcs to. Ltopa s a trcc soccty!` Ltopa s
net ust a soccty n whch thc tramcwork s rcaIzcd. or
who couId bcIcvc that tcn mnutcs attcr thc tramcwork was
cstabIshcd, wc wouId havc utopa! Jhngs wouId bc no dttcrcnt
than now. t s what grows spontancousIy trom thc ndvd-
uaI choccs ot many pcopIc ovcr a Iong prod ottmc that wII
bc worth spcakng cIoqucntIy about. (Pot that any partcuIar
stagc ot thc proccss s an cnd statc whch aII our dcsrcs arc amcd
at. Jhc utopan proccss s substtutcd tor thc utopan cnd statc ot
othcr statc thcorcs ot utopas. ) Many communtcs wII achcvc
many dttcrcnt charactcrs . CnIy a tooI , or a prophct, wouId try to
prophcsy thc rangc and Imts and charactcrs ot thc communtcs
attcr, tor cxampIc, 1 50 ycars otthc opcraton otths tramcwork.
Asprng to ncthcr roIc, Ict mc cIosc by cmphaszng thc duaI
naturc ot thc conccpton ot utopa bcng prcscntcd hcrc. Jhcrc s
thc tramcwork otutopa, and thcrcarcthc partcuIar communtcs
wthnthctramcwork. AImostaII otthc Itcraturc onutopas , ac-
cordng to our conccpton, conccrncd wth thc charactcr ot thc
partcuIarcommuntcs wthn thc tramcwork. Jhc tactthat havc
not propoundcd somc partcuIar dcscrpton ota consttucnt com-
munty docsnet mcan that ( thnk) dong so s unmportant, or
Icss mportant, or unntcrcstng. Mow couId that bc! c hve n
partcuIar communtcs. t s hcrc that onc`s nonmpraIstc v-
son otthc dcaI or good soccty s to bc propoundcd and rcaIzcd.
AIIowngustodo thats whatthc tramcwork s/er. thout such
vsons mpcIIng and anmatng thc crcaton otpartcuIar commu-
ntcs wth partcuIar dcsrcd charactcrstcs, thc tramcwork wII
Iack Itc. Cononcd wth many pcrsons` partcuIar vsons , thc
tramcwork cnabIcs us to gct thc bcst ot aII possbIc worIds.
Jhcpostoncxpoundcd hcrctotaIIyrcccts pIannng ndctaI , n
advancc, onc communty n whch cvcryonc s to Ivc yct sympa-
A ramcwork tor \topta 555
thzcs wth voIuntary utopan cxpcrmcntaton and provdcs t
wth thc background nwhch tcan howcr, docs ths poston mII
wthn thc utopan or thc antutopan camp! My dthcuIty n
answcrng ths qucston cncouragcs mc to thnk thc tramcwork
capturcs thc vrtucs and advantagcs otcach pston. (tnstcad t
bIundcrs nto .combnng thc crrors , dctccts, and mstakcs ot both
otthcm, thc hItcrng proccss ottrcc and opcn dscusson wII makc
ths cIcar. )
UTOPI A AND THE MI NI MAL STATE
Jhc tramcwork tor utopa that wc havc dcscrbcd s cquvaIcnt to
thc mnmaI statc. Jhc argumcnt otths chaptcr starts (and stands)
ndcpcndcntIy ot thc argumcnt otParts and and convcrgcs to
thcr rcsuIt , thc mnmaI statc, trom anothcr drccton. n our
dscusson n ths chaptcr wc dd not trcat thc tramcwork as morc
than a mnmaI statc, but wc madc no ctort to buId cxpIctIy
upon our carIcrdscusson otprotcctvc agcnccs. (or wc wantcd
thc convcrgcncc ot two ndcpcndcnt Incs otargumcnt. ) c nccd
not mcsh our dscusson hcrc wth our carIcr onc otdomnantpro-
tcctvc agcnccs bcyond notng that whatcvcr concIusons pcopIc
rcach about thc roIc ota ccntraI authorty (thc controIs on t, and
so torth) wII shapc thc (ntcrnaI) torm and structurc otthc protcc-
tvc agcnccs thcy choosc to bc thc cIcnts ol.
c argucd n Part that thc mnmaI statc s moraIIy Icgt-
matc, n Part wc argucd that no morc cxtcnsvc statc couId bc
moraIIy usthcd, that any morc cxtcnsvc statc wouId (wII) vo-
Iatc thc rghts ot ndvduaIs. Jhs moraIIy tavorcd statc, thc onIy
moraIIy Icgtmatc statc, thc onIy moraIIy toIcrabIc onc, wc now
scc s thc onc that bcst rcaIzcs thc utopan aspratons otuntoId
drcamcrs and vsonarcs . t prcscrvcs what wc aII can kccp trom
thc utopan tradton and opcns thc rcst otthat tradton to our n-
dvduaI aspratons. KccaII now thc qucston wth whch ths
chaptcr bcgan s not thcmnmaI statc, thc tramcwork torutopa,
an nsprng vson!
Jhc mnmaI statc trcats us as nvoIatc ndvduaIs, who may
not bc uscd n ccrtan ways by othcrs as mcans or tooIs or n-
554
Utopia
strumcnts or rcsourccs, t trcats us pcrsons havng ndvduaI
rghts wth thc dgnty ths consttutcs. Jrcatng us wth rcspcct
by rcspctng our rghts, t aIIows us , ndvduaIIy or wth whom
wc choosc, to choosc our Itc and to rcaIzc our cnds and our con-
ccpton otourscIvcs, nsotar wc can, adcd by thc voIuntary co-
opraton ot othcr ndvduaIs psscssng thc samc dgnty. Mow
dare any statc or group otndvduaIs do morc. Cr Icss.
NO T E S
LAJLK / hy btatc-ot-Paturc Jhcory!
I . Scc Porwood Kusscll Manson, Patto: 0/ Di:ceve (Pcw York. Lam-
brdgc Lnvcrsty Frcss, I g8), pp. I I gI zO, and hs quotaton Irom Mcscn-
bcrg (p. zi z). hough thc X (color, hcat, and so on) oI an obcct can bc
cxplancd n tcrms oI ts bcng composcd oIparts oIccrtanX-qualty (colors n
ccrtan array, avcragc hcat oI parts, and so on), thc ube/e rcalm oIX cannot bc
cxplancd or undcrstood n ths manncr.
z . Larl L. Mcmpcl, A:ect: 0/ Scientqc Ex/anatien (Pcw York. hc lrcc
Frcss, I g6), pp. zq}zqg, z}z}8, zgzg , 8.
LAJLK 2 l Jhc btatc ot Paturc
I . }ohn Lockc, 7ue 7reati:e: 0/ Gevonment, znd cd. , cd. Fctcr Laslctt (Pcw
York. Lambrdgc Lnvcrsty Frcss, I g6}). Lnlcss othcrwsc spcchcd, all rcIcr-
cnccs arc to thcSecend 7rmti:e.
z . Ln thc dIhcultc oI bndng oncsclI nto a poston, and on tact agrcc-
mcnts, scc homas Schcllng`s 7be Strateg 0/ Cen/ict (Lambrdgc, Mass. . Mar-
vard Lnivcrsty Frcss, I g6o).
. Lthcrs may punsh, wthout hs call, scc thc Iurthcr dscusson n Lhap-
tcr oIths book.
q. c shall scc (p. I 8) howmoncy maycxst n astatcoInaturc wthout an
cxplct agrccmcnt that cstablshcs a mcdum oI cxchangc. Frvatc protcctvc
scrvccs havc bccn proposcd and dscusscd by varous wrtcrs n thc n-
dvdualst-anarchst tradton. lor background, scc Lysandcr Spooncr, N0
7REAS0N. 7be Cen:titutien 0/ Ne Autberit ( I 8}O), Natura/ Lau, andA Letto te
Grever C/eve/and en Hi: Fa/:e |naugura/ Addro:, 7be 0:uratien and Crime: 0/ Lu-
maker: and udgei, and tbe Cen:equent Pevot, |gnerance, and Seitude 0/ tbe Pee/e
(boston. bcnamn K. uckcr, I 886), all rcpublshcd n 7be Ce//ected erk: 0/
L:andr Seener, 6 vols. (cston, Mass. , M & S Frcss, I g}i ). bcnjamn K.
uckcr dscusscs thc opcraton oI a socal systcm nwhch all protcctvc mnc-
tons arc prvatcly supplcd n |n:tead 0/ a 8eek (Pcw York, I 8g), pp. Iq, z ,
z, 6, q , I Oq, z6zg, qoqI , many passagcs oIwhcharc rcprntcd
n hs|ndividua/ Libert, cd. Llarcncc Lcc Swartz (Pcw York, I gz6). t cannot
bc ovcrcmphaszcd how lvcly, stmulatng, and ntcrcstng arc thc wrtngs and
argumcnts oISpooncr and uckcr, somuch so that onc hcstatcs to mcnton any
sccondary sourcc. but scc also }amcs }. Martn`s ablc and ntcrcstng Men
335
Potcs
Again:t tbe State 7be Exe:iter: e/|ndividua/i:t Anarcbi:m in Amoica, o</Vo
Ior a dcscrpton oIthc lvcs andvcwsoI5pooncr, Juckcr, and othcrwrtcrs n
thcr tradton. 5ccaIso thc morc cxtcndcd dscusson of thc prvatc protccton
schcmc n lrancs Jandy, le/unta: Secia/i:m (Lcnvcr. l. L. Jandy, I 8g6), pp
6z}8. A crtcal dscusson oIthc schcmc s prcscntcd n}ohn Mosprs, Liber-
tarianism (Los Angclcs. Pash, I gy I ) , chap. I I . A rcccnt proponcnt s Murray
P. Kothbard, who n Peuer and Market (Mcnlo Fark, LalI. . nsttutc for
Mumanc 5tudcs, nc . , I g}O), pp. I}, I zoI zj, brchy dcscrbs how hc
bcIcvcs thc schcmc mght opcratc and attcmpts to mcct somc objcctons to t.
Jhc most dctalcd dscusson know s n Morrs and Lnda Jannchll , 7be
Market /r Li/rt (Lnsng, Mch. . prvatcly prntcd, I g}O), cspcally pp.
6II . 5ncc wrotc ths work n I gyz, Kothbard has morc cxtcnsvcly prc-
scntcd hs vcws n Fer a Neu Libert (Pcw York. Macmllan, I g}j), chaps. j
and and Lavd lrcdman h dcIcndcd anarcho-captalsm wth gusto n7be
Macbiner e/ Freedem (Pcw York. Marpr & Kow, I g}j), pt. . Lach oI thcsc
works s wcll worth rcadng, but ncthcr lcads mc to rcvsc what say hcrc.
. 5cc . b. 5ngcr, |n M Fatber's Ceurt (Pcw York. larrar, 5trauss, and
Lroux, I g66), Ior a rcccnt 'countcrculturc` cxamplc scc |N Magatine, Po-
vcmbcr I , I g} I , pp. I II }.
6. Lxcrcsc Ior thc rcadcr. dcscrbc how thc consdcratons dscusscd hcrc
and bclow Icad to cach gcographcal arca havng onc agcncy or a Icdcral struc-
turc oIagcnccs domnant wthn t, cvcn Intally thcarcacontans agroupoI
agcnccs ovcr whch 'wns almost all thc battlcs wth` s a conncctcd rclaton
and ancntranstvc onc.
} . 5cc Kcnncth K. bouldng, Cen/ict and De/en:e (Pcw York. Marpcr,
I g6z), chap. I z .
8. lor an ndcaton oIthc complcxty oIsuch a boy oIrulcs, scc Amcrcan
Law nsttutc, Cen/ict e/ Lus, Secend Restatement e/tbe Lu, Fropscd LIhcal
LraIt, I g6y g6g.
g. 5cc Yalc brozcn, 's Lovcrnmcnt thc 5ourcc oIMonopoly!` 7be |nto-
ce//egiate Revieu, , no. z ( I g686g), 6}~}8, lrtz Machlup, 7be Pe/itica/ Ecen-
em e/Menee/ (baltmorc. }ohns Mopkns Frcss, I gz).
I O. Lockc assumcd that thc prcpondcrant majorty, though not all, oIthc
pcrsons lvng n thc statc oInaturc would acccpt thc law oInaturc. 5cc Kchard
AshcroIt, 'Lockc`s 5tatc oIPaturc, `Amoican Pe/itica/ Science Revieu, 5cptcmbcr
I g68, pp. 8g8I , cspcally pt. .
. 5cc Morrs and Lnda Jannchll, 7be Market /er Libot, on thc mpor-
tancc oI voluntary coopraton to thc Iunctonng oI govcrnmcnts scc, Ior cx-
amplc, Adam Kobcrts, cd. , Civi/ian Resistance Q Natiena/ De/n:e (baltmorc.
Fcngun boks, I g6g) and Lcnc 5harp, 7be Pe/itics e/Nen- lie/mt Actien (bos-
ton. Fortcr 5argcnt, I gyj).
I z . 5cc Ludwg Von Mscs, 7be 7bee e/ Men and Credit, znd cd. (Pcw
Mavcn, Lonn. . Yalc Lnvcrsty Frcss, I g j), pp. jojq, Irom whch havc
takcn ths story.
I j . lor thc bcgnnngs oIa trcatmcnt oIssucs that an account oInvsblc-
hand cxplanatons must consdcr, scc l. A. Mayck`s cssays, 'Potcs on thc
LvolutonoI5ystcms oIKulcs oILonduct` and 'Jhc KcsultsoIMuman Acton
but not oI Muman Lcsgn, ` n hs Studio in Pbi/eseb, Pe/itics, and Ecenemics
(Lhcago. Lnvcrsty oILhcago Frcss, I g6}), as wcll as Lhaptcrs z and q oIhs
Potcs \\
}
Cen:titutien e/Libert (Lhcago. Lnvcrsty oILhcago Frcss, I g6O). Sc also thc
dscusson oIdcsgn dcvccs and hltcr dcvccs n Lhaptcr I OoIths book. Jo scc
how closc wc arc to thc bcgnnngs, notcc that nothng sad hcrcn cxplans
why not cvcry sccnthc cxplanaton (that dos not appal to ntcntons) oI a
Iunctonal rclatonshp btwccn varablcs s an nvsblc-hand cxplanaton.
I q. Sc Max cbr, 7bee e/Secia/ and Ecenemic 0rganitatien (Pcw York.
lrcc Frcss, I gq}), p. !

6, and Max Khcnstcn, cd. , Max e/r en Lu in

Ecenem and Seciet (Lambrdgc,Ms. . MarvardLnvcrsty Frcss, I gq),Lh. I j .
I . Lomparc M. L. A. Mart`s trcatmcnt oIthcparallcl problcm Ior thc cxs-
tcncc oI a lcgal systcm n 7be Cencet e/ Lu (LxIord. Jhc Llarcndon Frcss,
I g6I ), pp. I I jI zO.
I 6. Lnthc clam that physcans doths, scc Kcubn Kcsscll, 'Frcc Dis-
crmnaton n Mcdcnc,`jeurna/ e/ Lu and Ecenemics, no. (Lctobcr
I g8), zO j.
LMALK
\
l MoraI Lonstrants and thc btatc
I . Mcrc and n thc ncxt sccton draw upon and amplq my dscusson oI
thcsc ssucs n Iootnotc q oI 'Ln thc Kandan Argumcnt, ` 7be Pecena/st,
5prng I g} .
z . lor a clcar statcmcnt that ths vcw s mstakcn, scc }ohn Kawls, A
7bee e/justice (Lambrdgc, Ms. . Marvard Lnvcrsty Frcss, I g} I ), pp.
\
O,
666.
j. hch docwhch! LItcn a uscIul qucston to k, n thcIollowng:
-'hat s thc dIIcrcncc bctwccn a Zcn mtcr and an analytc phloso-
phcr!`
-'Lnc talks rddlcs and thc othcr rddlcs talks. `
q. Greunduerk e/ tbe Metabsic e/ Mera/s. Jranslatcd by M. ]. Faton, Tt
Mera/ Lu (London. Mutchnson, I g6), p. g6.
. 5cc }ohn Kawls, A 7bee e/justice, sccts. , 6, jO.
6. 5cc Llbcrt Marman, 'Jhc nIcrcncc to thc bcst Lxplanaton, ` Pbi/e-
sebica/ Revieu, I g6 , pp. 88 , and 7beugbt (Frnccton, P.]. : Frnccton Ln-
vcrsty Frcss, I g}j), chap
_
. 8, I O.
} . 5cc }udth }arvs Jhomson, 'A LcIcnsc oI Aborton, ` Pbi/ese and
Pub/ic p/airs, no. z (lall I g} I ) , z~
\
. 5ncc my dscusson was wrttcn,
}ohn Mosprs has dscusscd smlar ssucs n a two-part cssay, '5omc Froblcms
about Funshmcnt and thc Kctalatory Lsc oI lorcc, `Reasen, Povcmbr I g}z
and }anuary I g}j .
8. Kccall thc Yddsh okc.
-'LIc s so tcrrblc, t would bc bcttcr ncvcr to havc bccn conccvcd. `
-'Ycs, but who s so Iortunatc! Pot onc n a thousd. `
g. 's thcrc any rcon whywcshouldbcsuhcrcd to tormcnt thcm! Potany
that can scc. Arc thcrc any why wc should net bc suhcrcd to tormcnt thcm!
Ycs, scvcral . . . . t may comc onc day to b rccognzcd, that thc numbcr 0
thc lcgs, thc vllosty oI thc skn, or thc tcrmnaton oI thc os sacrum, c
rcons cqually nsuIhccnt Ior abandonng a scnstvc bng to thc sc Iatc.
hat clscs tthatshouldtracc thc nsupcrablc lnc! s t thc hculty oIrcon,
or, pcrhaps thc Iaculty oI dscoursc! but a Iull grown horsc or dog s bcyond
comparson a morc ratonal, wcll amorc convcrsblc anmal , than an nIant
Potcs
oIa day, or a wcck, or cvcn a month old. but supposc ths cascwcrc othcrwsc,
what would t aval! Jhc qucston s not, Lan thcy rea:en' nor can thcy ta/k'
but, Lan thcy:u//o' }crcmy bcntham, An |ntreducten te tbe Prnc/e: e/Mera/:
and Leg:/atien, chap. I }, scct. q, n. . bcIorc thcsc words quotcd, bcntham
dscusscs thc catng oI anmals, whch hc holds to bc pcrmssblc bccausc thc
anmals don`t havc long-protractm antcpatons oI Iuturc mscry through
knowng thcy arc gong to dc, and bccausc thc dcath pcoplc nhct on thcm s
lcss panIul than thc onc thcy would suIIcr n thc coursc oInaturc.
I O. Jhs pont was suggcstcd to mc by Mr. Jhom Krystohak.
I I . At lct oncphlosophcr h qucstoncd whcthcrwc havcgood rcon to
wcghtanmals` ntcrcsts lcss than our ownand to mposclmtatons lcss strn-
gcnt on thcr trcatmcnt than on thc trcatmcnt oIpoplc. 5cc Lconard Pclson,
S:tem e/Etbc: (PcwMavcn, Lonn. . YalcLnvcrsty Frcss, I g6) , sccts. 66, 6}.
AItcr my dscusson oIanmals was wrttcn, ths ssuc wrascd nanntcrcst-
ng cssay by Fctcr 5ngcr, 'Anmal Lbcraton, `Neu Yerk Roeu e/8eeks, Aprl
, I g}j , pp. I }zI . LnIortunatcly, 5ngcr trcats as a dIhcult ssuc whcthcr
rats may bc kllcd to bc stoppcd Irom btng chldrcn. t would bc uscIul hcrc
to apply prncplcs about rcsponsc to nnoccnt thrcats (scc pagc j abovc).
LMAJLK q / rohtbttton, Lompcnsatton, and Ktsk
I . Lontrt ths wth Kant`s vcw that `cvcryonc may usc volcnt mcans to
compl anothcr to cntcr nto a urdcal statc oI soccty. ` 7be Meta:ca/ E/e-
ment: e/ u:tce, trans. }ohn Ladd (ndanapols. bobbs-Mcrrll , I g6), scct. qq,
andsccour Iurthcr dscusson n Lhaptcr 6.
z . Kothbard sccms to Iavor ths altcrnatvc. '5upposc that5mth, convnccd
oI}onc`gult, 'takcs thc law nto hs own hands` rathcr than gong through thc
court proccdurc! hat thcn! n tsclIths would bc lcgtmatc and not punsh-
ablc a crmc, sncc no court or agcncy may havc thc rght, n a Ircc soccty,
to usc Iorcc Ior dcIcnsc bcyond thc sclIsamc rght oIcach ndvdual. Mowcvcr,
5mth would thcn havc to Iacc thc conscqucncc oIa possblc countcrsut and
tral by }onc, and hc.hmsclIwould havc to Iacc punshmcnt as a crmnal I
}oncs s Iound to bc nnocnt. ` Peu and Market (Mcnlo Fark, LalI. . nsttutc
Ior Mumanc 5tudcs nc, I g}O), p. I g} , n. j .
j . 5cc also thc symposum 's Lovcrnmcnt Pcccssary!` Tbe Po:em/:t,
5prng I g} .
q . Kclatcd ssucs that natural-rghts thcorcs must cop wth arc ntcrcst-
ngly trcatcd n Lrvng LoIIman, Re/atens n Pub/c (Pcw York. bc books,
I g}t ), chaps. z , q.
. ILockc would allowspcal patcrnalstc rcstrctons, thcn pcrhaps apcr-
son lcgtmatcly could gvc anothcr thc prmsson and thc rght to do somc-
thng hcmay not do to hmsclI. Ior cxamplc, a pcrson mght prmt adoctor to
trcat hm accordng to thcdotor`s bcst udgmcnt, though lackng thc rght to
trcat hmsclI.
6. Jhcsc qucstons and our subscqucntdscusson arc rcpatcd (wth stylstc
mprovcmcnts) Irom a lcbruary I g}zdrah crculatcd undcr thcttlcoIFart oI
ths book. ndcpndcntly, Ludo Lalabrcs and A. Louglas Mclamcd, 'Frop-
crty Kulcs, Lablty Kulcs, and nalcnablty, `Haard Lu Ro, 8, no. 6
Potcs \\
g
(Aprl I g}z), I O8g-I I z8, dscuss smlar qucstons and somc thcmcs trcatcd
hcrc.
} . lor cxamplc, wc mght supposc that cach pcrson`s nct asscts arc rccordcd
n somc ccntral computcr, and that cach has a cash balancc suIhccnt to pay oII
any clam aganst hm. (c shall scc latcr how ntcrcstng problcms arsc whcn
wc rclax ths lattcr assumpton. ) Furchcs nvolvc addng thc prcc to thc
scllcr`s balancc whlc subtractng t Irom thc purchascr` s. A udgmcnt s uphcld
aganst a pcrson by transIcrrng an amount Irom hs account to hs vctm` s,
thcrc snopossbltyoIrcIusng topay. cmcnton thstosharpcn our qucs-
ton, not to rccommcnd thc computcrzcd systcm.
8. Sc Fctcr Pcwman, 7be 7bee e/Excbange (Lnglcwood Llhs, P.}. . Frcn-
tcc-Mall, I g6), chap. j.
g. Ln thc morc usul rolc oImddlcmcn scc Armcn Alchan and . K.
Allcn, 0nter:t Ecenemc:, znd cd. (bclmont, Lalt. . adsworth, I g6}), pp.
zgj}, qO.
I O. As ntcnshcd by thc unccrtan occurrcncc oI thc cvcnt? Sc Martn
Slgmanct aI . , 'Lnprcdctablc and LncontrollablcAvcrsvcLvcnts, `n Kobcrt
brush, cd. , Aro:re Cendtenng and Lng, Acadcmc Frcss, I g}I pp.
jq}qOO, cspcally5ccton V.
. A ratonalc oIntcrmcdatc dcpth would bc provdcd by thc ntcrmcd-
atc possblty that anyartcu/ar Icar s rcmovablc n somc socal cnvronmcnt
or othcr, though not all Icars togcthcr. c should notc that somconc who
grants that somc spcchc Icars arc not rcmovablc by a changc oI thc socal cn-
vronmcnt mgbt stll wondcr whcthcr thcsc Icars wcrcn`t too rratonal to bc
catcrcd to by socal polcy, though ths would bc hard to dcIcnd n thc casc
oIsomcthng lkc Icar oIbdly harm.
I z . > M. L. A. Mart`s cssay, 'Lcgal Kcspnsblty and Lxcuscs, ` n
Pun:bment and Re:en:b/t (PcwYork. LxIord Lnvcrsty Frcss, I g68), chap.
z . Jhc argumcnt cannot bc cxtcndcd Irom punshmcnt to compnsaton, Ior
thcsc costs must Iall somcwhcrc. Ln such qucstons, scc thc dscusson n
altcr blum and Marry Kalvcn, }r. , Pub/c Lu Per:ectn: en a Prrate Lu
Preb/em. Aute Cemen:aten P/an: (boston. Lttlc, brown, I g6).
I j. A vcry wdc nct ndccd wouldbccast byaprohbton on any act whosc
rskcd conscqucncc would producc Icar I ccrtanly cxptcd, whch could bc
part oIa totalty oIsmlaracts that produccs Icar, whcrc whcthcr ornot thc to-
talty produccs Icar dcpcnds upon how many smlar acts t contans.
I q. An Anatem e/ la/ue: (Lambrdgc, Mass. . Marvard Lnvcrsty Frcss,
Ig}O), chap. g.
I . Jhc cconomcally most sophstcatcd dscusson oIcrtcra Ior dctcrmn-
ng thc amount oIcompnsaton Ior loss oIlIc s L. }. Mshan, `Lvaluaton oI
LIc and Lmb. A Jhcorctcal Approach, ` eua/ e/Pe/tca/ Ecenem, I g} pp.
68}-}O . LnIortunatcly, Mshan`s proccdurc nvolvcs doublc countng, Ior thc
'ndrcct or dcrvatvc rsks` (pp. 6gg-}O) oIa pcrson` s dcath, ncludng thc
hnancal or psychc loss to thc othcrs, alrcady wll bc ncludcd, va hs own con-
ccrn Ior thcm, n thc drcct nvoluntary rsk as Mshan cxplans ths. lor com-
pnsaton s to bc pad Ior thc drcct nvoluntary rsk n an amount suIhccnt to
makc thc pcrson n qucston wllng to bcar that rsk oIdcath. Ln thc assump-
ton that poplc havca rght to commt sucdc, qut thcr obs, and so Iorth, I
>4O Potcs
thc vctm hmsclIsn`t conccrncd abut thcsc ndrcct or dcrvatvc rsks, thcy
don`t sccm a cost that may proprly bc mposcd upon anothcr who rsks hs lIc
or causcs hs dcath. AItcr all, could thcsc costs bc mposcd aganst thc prson
hmsclI or hs cstatc Ibe commttcd sucdc or qut hs job! I, on thc othcr
hand, hc i: conccrncd abut thcsc ndrcct or dcrvatvc rsks, thcy (as much as
s propr oI thcm) wll bc ncludcd, vab: conccrn Ior thcm, n thc compnsa-
ton oIthc drcct rsk. Jo ths crtcsm must bc addcd, howcvcr, thc addtonal
complcaton that a vctm may havceb/igatien: to othcrs, whch hc docsn` t carc
abut but whch hc would carry out I hc wcrc alvc, prhaps duc to socal or
lcgal prcssurc. Jhc thcorctcal dctcrmnaton oIappropratc compnsatonueu/d
havc to ncludc thc ndrcct rsks that Iall upon pcrsons to whom thc vctm s
oblgatcd though ndIIcrcnt.
i 6. owc ths objccton to vcwng thc condton as suIhccnt to Konald
Mamowy.
LMAJLK 5 l Jhc btatc
i . Mcrbcrt Mart , 'Arc Jhcrc Any Patural Kghts! Pbi/e:ebica/ Revieu,
i , ]ohn Kawls, A 7bee e/u:tice (Lambrdgc, Mass. . Marvard Lnvcrsty
Frcss, t y i ), scct. t 8. My statcmcnt oIthc prncplc staysclosc to Kawls` . Jhc
argumcnt Kawls oIIcrs Ior ths prncplc consttutcs an argumcnt only Ior thc
narrowcr prncplc oI hdclty (bona hdc promscs arc to bc kcpt). Jhough I
thcrc wcrc no way to avod 'can`t gct startcd` dIhcultcs abut thc prncplc oI
hdclty (p. q) othcr than by appalng to thc prncplc oIIarncss, tueu/d bc
an argumcnt Ior thc prncplc oIIarncss.
z . Mart , 'Arc Jhcrc Any Patural Kghts!`
. havc Iormulatcd my rcmarks n tcrms oIthc admttcdly vaguc noton oI
thcrc bcng a `pont` to ccrtan knds oI rghts bccausc ths, thnk, gvcs
Mart` s argumcnt ts most plausblc constructon.
q. havc skrtcd makng thc nsttutononcthatyouddn`tgct a Iarsayn
scttng up or dccdng ts naturc, Ior hcrc Kawls would obcct that t docsn` t
satsIy hs two prncplcs oIjustcc. Jhough Kawls docs not rcqurc that cvcry
mcronsttuton satsIy hs two prncplcs oI ustcc, but only thc bc structu-
turc oIthc soccty, hc sccms to hold that a mcronsttuton must satsIy thcsc
two prncplcs It stogvc rsc tooblgatons undcr thc prncplc oIIarncss.
. Jhc acccptablty oIour proccdurcs to us may dcpcnd on our not know-
ng ths nIormaton. 5cc Lawrcncc Jrb, 'Jral by Mathcmatcs, ` Harvard
Lau Revieu, i ; I .
6. t s aconscqucncc oILockc`s vcw that cach ctzcn s n astatc oInaturc
wth rcspcct to thc hghcst appal proccdurc oI thc statc, sncc thcrc s no Iur-
thcrappal. Mcncc hc s n a statc oInaturc wth rcspct to thc statc as awholc.
Also, ctzcns havc 'a lbrty to appal to Mcavcn, whcncvcr thcy udgc thc
causc oIsuIhccnt momcnt . And thcrcIorc, though thc poplc cannot bc udgc,
so as to havc by thc consttuton oI that soccty any supror powcr, to dctcr-
mnc and gvc cIIcctvc scntcncc n thc casc, yct thcy havc, by a Law antcccdcnt
and paramount to all postvc laws oImcn, rcscrvcd that ultmatc dctcrmnaton
to thcmsclvcs, whch bclongs to all manknd, whcrc thcrc lcs no appal on
carth, vz to udgc whcthcr thcy havc ust causc to makc thcr appal to
Mcavcn. And ths udgmcnt thcy cannot part wth . . . ' 7ue 7reati:e: e/Gev-
Potcs
>4:
oment, cd. Fctcr Laslctt (Pcw York. Lambrdgc Lnvcrsty Frcss, i 6y), ,
scct . t 68, scc also sccts. zo, z i , o, t y6, zoy, zqi , zqz .
y . Jhc consdcratons oI ths paragraph, though hnd thcm powcrtul , do
not complctcly rcmovc my uncasncss abut thc poston argucd n thc tcxt.
Jhcrcadcr whowshcsto clam, aganst ths book, that spcal momlprncplcs
cmcrgc wth rcgard to thc :tate mght hnd ths ssuc a truttul onc to prcss.
Jhough I do makc a mstakc hcrc, t may b onc conccrnng rcspnsblty
rathcr than conccrnng thc statc.
8. May somconc n a poston to know say that hc hn`t gottcn amund to
cxamnng thc nIormaton, and so hc wll dcIcnd hmscltaganst anyonc`s now
comng to apply thc proccdurc to hm! Frcsumably not , Ithc proccdurc swcll
known and not oI rcccnt orgn. but cvcn hcrc, prhaps, a g/ otsomc cxtra
tmc may b madc to ths pcrson.
. Jhc catcgory oIIcarcd cxacton otcompnsaton wll bc small but non-
cmpty. Lxactng compnsaton may nvolvc actvtcs poplc tcar bcauc t n-
volvcs compllng thcm to do compnsatory Iorccd labr, mght t cvcn b thc
drcct mposton oIa Icarcd conscqucncc, bccausc only ths can msc thc vctm
to hs prcvous ndIIcrcncc curc!
t o. Llbcrt Marman propscs smplc ntcrtranslatablty a crtcron ot
mcrclyvcrbal dIIcrcncc n 'Qunc on Mcanng and Lxstcncc, `Remeu e/Meta-
:ic:, z no. t (Sptcmbcr i 6y) . |/wc wsh to say that two prsons wththc
samc blcIs who spak dtIcrcnt languagcs dhcr only vcrbally, thcn Marman` s
crtcron wll ncludc as'smplc, `translatons complcx asthosc bctwccn lan-
guagcs . hatcvcr s to bc dccdcd abut such cascs, thc crtcron scrvcs n thc
prcscnt nstancc.
May thc prohbtors chargc thc prohbtcd party tor thc othcrcosts to
hm oIprIormng thc actvtywcrc t unprohbtcd, such as tmc, cncrgy, and
so on!
i z . Mcrc, as at all othcr placcs n ths cssay, ' harm` rctcrs onlyto brdcr
crossngs.
i . Lawrcncc Kradcr, Fe~atien e/tbe State (Lnglcwod Llth, P.}. . Frcn-
tcc-Mall, t 68), pp. z t-zz .
LMAJLK 6 / urthcr Lonstdcrattons on thc Argumcnt
tor thc btatc
. Lockc holds that mcn may put thcmsclvcs n a cvl soccty orprotcctvc
assocaton Ior, among othcr thngs, 'agrcatcr sccurty aganst any that arc not
oIt. Jhs any numbcroImcn may do, bccauc t n urcs not thc Irccdom otthc
rcst, thcy arc lcIt as thcy wcrc n thc lbrtyoIthc statc otnaturc. `7ue 7reatises
e/ Geunt, cd. Fctcr Lslctt (Pcw York. Lambrdgc Lnvcrsty Frcss, t 6y),
, scct. . (All mrthcr rcIcrcnccs n ths chaptcr arc to thcSecend 7ntise,
unlcssothcrwsc notcd. ) butthough t docs not nurcthcrIrccdom by rcducng
thc rghts whch thcy havc, t dos n urc thcr sccurty by makng t mon
lkcly that thcy wll suIIcr n ustcc bcausc thcy wll bc unablc chcctvcly to
dcIcnd thcrown rghts. Llscwhcrc Lockc rccognzcs ths pont, dscussng t n
thc contcxtoIarbtrary acts, though t applcs wcll to pcrsons actng accord-
ng to hxcd and publcly spchcd rulcs. Mc bcng n a much worsc condton
who s cxposcd to thc arbtrary powcr otonc man, who has thc command ot
3
qz POtcs
t oo, ooo, than hcthat s cxpscd tothcarbtrarypowcroI t oo, ooo snglc mcn`
(scct. t y).
z. lor a dscusson oI thc applcablty oIdomnancc prncplcs to somc
puzzlngcascs, scc my Pcwcomb`s Froblcm and Jwo Frncplcs oILhocc, ` n
::a: n Hener e/C. G. Heme/, cd. P. Kcschcr ct al. (Molland. Kcdcl, t p6p),
pp. t tq-tq6, also Martn Lardncr`s Mathcmatcal Lamcs` column, Scent/c
Amercan, }uly t py, pp. t oq-top, and my gucst mathcmatcal gamcs col-
umn,Scentqc Amocan, March t pyq, pp. t oz-to8.
. Ln thc prsoncrs` dlcmma, ` scc K. L. Lucc and M. Kaha, Game: and
Dec:en: (Pcw York. lcy, t p y), pp. pq-t oz.
q. Ln rclatcd ssucs scc Jhomas 5hcllng`s cssay, Jhc Kccprocal lcar oI
5urp
_
scAttack, ` 7be Strateg e/Cenct (Lambrdgc, Mass. . Marvard Lnvcrsty
Frcss, t p6o), chap. p.
. 5ncc nothng sbcyond thc lcadcrsoIstatcs, twould not b surprsng I
a naton A prohbtcd naton b Irom armng and ncorpratcd b nto A,
clamcd that ths provdcd b' sctzcns wth protccton, and thu consttutcd a
rccogntonand Iulhllmcnt oIA' soblgatons to compnsatc thcm Ior thc dsad-
vantagcs thc prohbton had mposcd upon thcm. A would clam to bc actng
prmssbly. t s lcIt as an cxcrcsc Ior thc rcadcr to statc why ths cloak won`t
covcrsuch aggrcsson.
6. Jhs s net to say that thc consttutonal lmts on Ircc spccch should bc
narrowcr than thcy arc. but sncc rcsponsblty can contnuc through thc
choccs oIothcrs, pcrhapsunvcrstcs proprly may mposc morcstrngcntlm-
tatons on thcr Iaculty, occupyng a poston oI spccal aura and prcstgc (do
thcy stll!), n thcr dcalngs wth thc studcnts at thcr own unvcrstcs. (t
mghtalso bc hcld, n support oIan nsttutonal standard morcstrngcnt than
thc consttutonal guarantcc n tls arca, that thc vocaton oI Iaculty mcmbcrs
rcqurcs thcm to takc dcas and words wth cspccally grcat scrousncss. ) 5o
rba: somcthng lkc thc Iollowng narreu prncplc s dcIcnsblc. Ithcrc arc
actons whch t would bc lcgtmatc Ior a unvcrsty to punsh or dscplnc
studcnts Ior dong, and whch t would bc lcgtmatcIor a unvcrsty to punsh
or dscplnc Iaculty mcmbcrs Ior dong, thcn Ia Iaculty mcmbcr attcmpts to
and ntcnds to gct studcnts at hs unvcrsty to pcrIorm thcsc actons and
succccds (as hc had ntcndcd), thcn t would bc lcgtmatcIor thc unvcrsty to
dscplnc orpunsh thc Iaculty mcmbcr Ior ths. gnorchcrcqucstons about
what would bc appropratc Ithc Iaculty mcmbcr trcs but through no Iault or
vrtuc oIhs own Ials. also gnorc thcmcssy qucstons about what channcls oI
prsuon c covcrcd by thc prncplc. Ior cxamplc, spcchcs on campus out-
sdc cls, but not a column wrttcn n a loal town or cty ncwspapr.
y . owc thcc qucstons to}crrold Katz.
8. but bccausc no poltcal soccty can bc, nor subsst, wthout havng n
tsclIthc pwcr to prccrvc thcproprty and, nordcr thcrcunto, punsh thc oI-
Icnsc oI all thosc oI that socty, thcrc and thcrc only s poltcal sOccty whcrc
ewene oI mcmbrs h quttcd hs natural powcr to udgc oI and punsh
brcachc thclaw oInaturc, rcsgncd tup nto thchandsoIthccommunty n
all cc that cxcludc hm not Irom appcalng Ior protccton to thc law cs-
tablshcd by t` (scct. 8y, talcs mnc). LocsLokc mcan that thccxstcnccoI
ndcpndcntsprcvcnts thcrc Irom bng pltcal socctyn thc arca, or that thc
ndcpndcnts c notmmb: oIa poltcal socty whch doc cxst n thc arca!
Iotcs 3
q
3
(Lomparc also scct. 8p, whch docs not rcsolvc thc ssuc. ) Lockc holds that
absolutc monarchy, whch by somc mcn s countcd thc onlygovcrnmcnt n thc
world, s ndccd nconsstcnt wth cvl soccty, and so can bc no Iorm oIcvl
govcrnmcnt at all` (whch sccms to usc thc rcqurcmcnts thata|/ bc ncludcd)
and gocs on to say, hcrcvcr any pcrsons arc who havc not such an authorty
to appcal to Ior thc dccson oIany dIIcrcncc bctwccn thcm, thcrc thoscpcrsons
arc stll n thc statc oI naturc, and so s cvcry absolutc prncc, n rcspct oI thosc
who arc undcr hs domnon` (scct. po).
p. 5cctons yq-y6, i o-i o6, and t t z oI thc Secend 7reat:e mght nclnc
oncto thnk thatour stuaton docs contan a compact, thoughnotcthat Lockc
uscs conscnt` n thcc scctons rathcr than compact. ` Lthcr scctons, and thc
man thrust oI thc work, nclnc onc n thc oppostc drccton and havc so
nclncd Lockc`s commcntators. Lnc mght also, n consdcrng Lockc`s dscus-
son oImoncy (sccts. 6, y, qy, q8, o, t 8q), playdown phrc lkc nvcn-
ton oI moncy, ` agrccd that a lttlc pccc oI ycllow mctal . . . should bc
worth, ` `by mutual conscnt, ` phanttcal magnary valuc, ` and so on, and
nstcad cmphzc tact agrccmcnt, ` so as to try to gct Lockc`s dcscrpton to
ht thc story wc havc told n Lhaptcr z .
I . Jhc dstncton bctwccn `cnttlcmcnt` and dcscrt` s dscusscd by}ocl
lcnbcrg n hs cssay, }ustcc and Fcrsonal Lcscrt, ` rcprntcd n hsDeng and
De:errng (Frnccton, P.j. . Frnccton Lnvcrsty Frcss, t pyo), pp. -8y. I lc-
gtmacy wcrc tcd to dcscrt and mcrt rathcr than to cnttlcmcnt (whch t
sn`t), thcn a domnant protcctvc agcncy mght havc t by mcrtng ts dom-
nant markct poston.
I I . 5tatcmcnt I bclow cxprcsscs a`s bcng cnttlcd to wcld thc powcr,
whcrcas a` s bcng cnttlcd to bc thc onc that wclds that powcr s cxprcsscd by
statcmcnt z or .
I . a s thc ndvdual7 such that7 wclds powcrP and7 s cnttlcd to wcld P,
and P s (almost) all thc pwcr thcrc s.
z. a : entt/ed te / thc ndvdual7 such that7 wclds pwcr P and7 scnttlcd
to wcld P, and P s (almost) all thc powcrthcrc s.
. a : entt/ed te / thcndvdual7 such that7 wclds powcrP and7 s cnttlcd
to wcld P and 7 u entt/ed tbat P b (almost) all thc powcr thcrc s.
t z . Kothbard magncs that somchow, n a Ircc soccty, thcdccson oIany
two courts wll bc consdcrcd bndng, . c. , wll bc thcpont at whch thc court
wllbc ablc to takc acton aganst thc party adudgcd gulty. ` Peuer and Market
(Mcnlo Fark, LalI. . nsttutc Ior Mumanc 5tudcs, t pyo), p. . be wll con-
sdcr t bndng! s thc pcrson aganst whom thc udgmcnt gocs morally bound
to go along wth t! (Lvcn Ihc knows that t s unust, or that t rcsts on ahc-
tual mstakc!) hy s anyonc who h not n advancc agrccd to such a two-
court prncplc bound by t! Los Kothbard mcan anythng othcr than that hc
cxpccts agcncc won`t act untl two ndcpndcnt courts (thc sccond bcng an
appcals court) havc agrccd! hy should tbc thought that ths Iact tclls usa

y-
thng about what t s morallyprmssblc Ior anyonc to do, ortcllsus anythmg
abut thc authortatvc scttlng oIdsputcs!
t . Jhc contract-lkc vcw would havc to bc stato carcIully, so not to
allow unIarly hndng a corrupt udgc gulty oIcrmc.
tq. 5cc Lavd Lcws, Cenrenten (Lambrdgc, Ms. . Marvard Lnvcrsty
qq
Potcs
Frcss, I g6p), Ior a phIosophcaI claboraton oI5chclIng`s noton oIa coordna-
ton gamc. notc cspccalIy Lcws` dscusson oI socal contracts n Lhaptcr .
Lur account oI thc statc nvolvcs lcss ntcntonaI coordnaton oI acton wth
somc othcr ndvduals than doc Mscs` account oI a mcdum oI cxchangc dc-
scrbcd abovc n Lhaptcr 2
ntcrcstng and mportant qucstons wc cannot pursuc hcrc arc thc cxtcnt to
whch, and undcr what condtons, cIcnts who gvc aprotcctvc agcncy whatso-
cvcr spccal lcgtmacy t posscssc bcar rcsponsblty Ior ts volatons oIothcrs`
rghts, whch thcy dd not 'authorzc` t to do, and what thcy must do to avod
bcng rcsponsblc Ior ths. (5cc Mugo bcdau, 'LvI Lsobcdcncc and Fcrsonal
KcsponsbIty Ior nj ustcc,` 7be Meni:t. q (Lctobcr I g}O), I } .
I . lor thc hrst vcw scc Kothbard, Man, Ecenem. and State, vol . (Los
Angclcs. Pash, I g} I ), p. 6q, Ior thc sccond scc, Ior cxampIc, Ayn Kand,
Fatcnts and Lopyrghts, ` n Caita/i:m. tbe 0nkneun |dea/ (Pcw York. Pcw
Amcrcan Lbrary, I g66), pp. I z-I zg.
I 6. As wc havc construcd thc ratonalc undcrlyng such systcms, at any ratc.
AIan Lcrshowtz h rcmndcd mc that t s possblc that somc altcrnatvc
nonprcvcntvc rcasons Ior prohbtng prvatc cnIorccmcnt oI justcc mght bc
produccd. crc such rcons to survvc scrutny, t would bc ncorrcct to makc
thc strong clam that all lcgal systcms that prohbt prvatc cnIorccmcnt oI jus-
tccre:ue:e thc lcgtmacy oI:eme prcvcntvc consdcratons.
LMALK j l strbutvc justCc
t . Jhc rcadcr who has lookcd ahcad and sccn that thc sccond part oI ths
chaptcr dscusscs Kawls` thcory mstakcnIy may thnk that cvcry rcmark or
argumcnt n thc hrst part aganst aItcrnatvc thcorcs oI justcc s mcant to
apply to, or antcpatc, a crtcsm oI KawIs` thcory. Jhs s not so, thcrc arc
othcr thcorcs aIso worth crtczng.
2. 5cc, howcvcr, thc uscIul bookby borsbtkcr, 7be Ca:e /r 8/ack Reara-
tien: (Pcw York. Kandom Mousc, I g}).
. l. A. Mayck, 7be Cen:titutien e/ Li/rt (Lhcago. Lnvcrsty oI Lhcago
Frcss, I g6O), p. 8}.
q. Jhs qucston docs not mply that thcy wll tolcratc any and cvcry pat-
tcrncd dstrbuton. n dscussng Mayck` s vcws, rvng Krstol has rcccntly
spcuIatcd that poplc wll not long tolcratc a systcm that yclds dstrbutons
pattcrncd n accordancc wth valuc rathcr than mcrt. (' 'hcn Vrtuc Loscs
AlI Mcr Lovclncss`-Smc Kchcctons on Laptalsm and hc lrcc Sccty, ` `
7be Pub/ic Intere:t, lall I g}O, pp. -I . ) KrstoI, Iollowng somc rcmarks oI
Mayck`s, cquatcs thc mcrt systcm wth justcc. 5nccsomccasccan b madcIor
thc cxtcrnal standard oI dstrbuton n accordancc wth bncht to othcrs, wc
ask abut a wcakcr (and thcrcIorc morc plausblc) hypothcss.
. Varyng stuatons contnuously Irom that lmt stuaton to our own
would Iorcc us to makc cxplct thc undcrlyng ratonalc oIcnttlcmcnts and to
consdcr whcthcr cnttlcmcnt consdcratons lcxcographcally prcccdc thc con-
sdcratons oIthc usuaI thcorcs oIdstrbutvc justcc, so that thc:/igbte:t strand
oIcnttlcmcnt outwcghs thc consdcratons oIthc usual thcorcs oIdstrbutvc
justcc.
Potcs 545
6. Sc thc sclccton Irom }ohn Mcnry MacKay` s novcl, 7be Anarcbi:t:, rc-
prntcd n Lonard Krmmcrman and Lcws Fcrry,

ds. , att

: e] Anarcb
(Pcw York. Loublcday Anchor books, I g66), n whtch an mdvdulst anar-
chst prcsscs upn a communst anarchst thc Iollowng qucston. o
"
l you,
n thc systcm oIsoccty whch you call ' Ircc Lommunsm` prcvcnt mdvduals
Irom cxchangng thcr labr among thcmsclvcs by mcans oIthcr own mcdum
oI cxchangc! And mrthcr. ould you prcvcnt thcm Irom occupyng land Ior
thc purpsc oIprsonal usc! Jhc novcl contnucs: |thc) qucston w not to
b cscapd. Ihc answcrcd 'Ycs! ` hc admttcd that soccty had thc rgt
_
I
.
con-
trol ovcr thc ndvdual and thrcw ovcrboard thc autonomy oI thc mdvdual
whch hc had always zcalouslydcIcndcd, Ion thc othcr hand, hc answcnd ` Po'`
hcadmttcd thc rght oIprvatc proprty whch hchad just dcncd socmphat-
cally. . . . Jhcn hc answcrcd 'n Anarchy any numbr oImcn must havc thc
rght oIIormng a voluntary assocaton, and so rcalzng thcr dc n practcc.
Por can undcrstand how any onc could justly b drvcn Irom thc land and
housc whch hc uscs and occupcs . . . cvcry scrous man mustdcclarc hmsclI.
Ior Scalsm, and thcrcby Ior Iorcc and aganst lbrty, or Ior Anarchsm, and
thcrcby Ior lbrty and aganst Iorcc. ` ` n contrt, wc hnd Poam Lhomsky
wrtng, 'Any consstcnt anarchst must opposc prvatcowncrshpoIthc mcans
oIproducton, ` 'thc consstcnt anarchst thcn . . . wll b asocalst . . . oIa
partcular sort . ` ntroducton to Lancl Lucrn, Anarcb
.

: Fmm 7bee te Prac-

tice (Pcw York. Monthly Kcvcw Frcss , I g}O), pgcs xt , xv.
} . Ce//ectiu Cbeice and Secia/ e//are, Moldcn-Lay, nc . , I g}O, chaps. 6
and 6 " .
8. Lpprcsson wll bc lcss notccablc Ithc background nsttutons do not
prohbt ccrtan actons that upsct thc pttcrnng (varouscxchangcs or transIcrs
oIcnttlcmcnt), but rathcrprcvcnt thcm Irom bng donc, by nullqmgthcm.
g. Sc Lrcgory Vlastos, 'Jhc ndvduaI as an Lbjcct oILovc n Flato` n
hs P/atenic Studio (Frnccton. Frnccton Lnvcrsty Frcss, I g}), pp. q.
I O. lurthcr dctals whch ths statcmcnt should ncludc arc contancd n my
cssay 'Lorcon, ' n Pbi/e:eb, Science, and Metbed, cd. 5. Morgcnbcsscr, F.
5upps, and M. htc (Pcw York. 5t. Martn, I g6g).
. .
tt . Ln thc thcmcs n ths and thc ncxt paragraph, scc thc wrungs oI
Armcn Alchan.
I z . Lomparc ths wth Kobcrt Faul olII`s 'A KcIutaton oI Kawl`
Jhcorcm on}ustcc, `eua/ e/ Pbi/e:e, March I , I g66, scct.
.
2 . olIIs
crtcsm docs not apply to Kawls` conccpton undcr whch thc bcItnc ts mo
by thc dhcrcncc prncplc.
. .
I . dscuss ovcrrdng and ts moral traccs n ' Moral Lompltcattons and
Moral 5tructurcs ` Natura/ Lu Fenm, I g68, pp. tO.
Iq. Locs thc

prncplc oIcompnsaton (Lhaptcr q) ntroducc pa

'
tcrnng
consdcratons! Jhough t rcqurcs compnsaton Ior thc dsadvantagcs t

pscd
by thosc scckng sccurty Irom rsks, t s not a pattcrncd prncplc. lor tt sccks
to rcmovc only thosc dsadvantagcs whch prohbtons nhct on t

hos
_
who
mghtprcscnt rsks to othcrs, not all dsadvantagcs. t spchcs an obgaton on
thosc who mposc thc prohbton, whch stcms Irom thcr own

artcular acts,
to rcmovc a partcular complant thosc prohbtcd may makc agamst thcm.
I . Lambrdgc, Mass. . Marvard Lnvcrsty Frcss, I g} : .
Potcs
I6. Kawls, Tb o/ jmtce, p. q.
I}. Sc Mlton lrcdman, Cata/:m and Freedom (Lhcago. Lnvcrsty oI
Lhcago Prcss, I g6z), p. I 6.
I 8. Lnthc qucston oIwhy thc cconomy contans hrms (oI morc than onc
prson), and why cach ndvdual dos not contmct and rccontract wth othcrs,
scc Konald M. Loc, 'hc Paturc oIthc lrm, `nReadng: n Prce Tb, cd.
Lcorgc 5tglcr and Kcnncth bouldng (Momcwood, ll . . rwn, I gz), and
Armcn A. Alchan and Marold Lcmsctz, 'Producton, nIormaton Losts and
Lconomc Lrganzaton, `Amocan Economc Remeu, Ig}z, }}}}g .
I g . c do not, howcvcr, assumc hcrc or clscwhcrc thc satsIacton oIthosc
condtons spchcd n cconomsts` arthcal modcl oIso-callcd 'prIcct compt-
ton. ` Lnc appropratc modc oI analyss s prcscntcd n sracl M. Krzncr,
Market Tbeo and tbe Prce Sy:tem (Prnccton, P.}. . Van Postrand, I g6j), scc
also hs Comtton and Entrermeur:b (Lhcago. Lnvcrsty oI Lhcago Prcss,
I g}j).
zO. Sc Marc blaug, Economc Tbeo n Retro:ect (Momcwood, ll. . rwn,
I g68), chap. tt , and thc rcIcnnccs ctcd thcrcn. lor a rcccnt survcy oIssucs
abut thc margnal productvty oIcaptal, scc L. L. Marcourt, 'Smc Lam-
brdgc Lontrovcrscs n thc hcory oILaptal, ` joua/ o/ Economc Ltoature, },
no. z Qunc I g6g), j6gqO .
z I . Kawls, Tb o/ ju:tce, p. I z .
z z . Kawls, Tbeo o/ jmtce, pp. I qI .
z j . Kawls, Tbeo o/ ju:tce, scct. I 6, cspcallyp. g8.
zq. Mcrc wc smplq thc contcnt oI , but not to thc dctrmcnt oIour
prcscnt dscusson. Also, oIcoursc, bclcIs othcr than , whcn cononcd wth j
would ustq thc nIcrcncc to q, Ior cxamplc blcI n thc matcral condtonal
`U j, thcn q. ` t s somcthng lkc j , though, that s rclcvant to ourdscusson
hcrc.
z . Kawls, Tbeo o/ ju:tce, p. I .
z6. Kawls, Tb o/ ju:tce, p. I Oj.
z}. but ncall thc rcasons why usng magntudcs oI cnttlcmcnt docs not
capturc accuratcly thc cnttlcmcnt prncplc (notc on p. I } , ths chaptcr).
z8. Smc ycars ago, Mayck argucd (Tbe Con:ttuton o/ Lbrty, chap. j) that
a Ircc captalst soccty, ovcr tmc, rascs thc pston oI thosc worst oII morc
than any aItcrnatvc nsttutonal structurc, to usc prcscnt tcrmnology, hc
argucd that t bst satshcs thc cnd-statc prncplc ot ustcc Iormulatcd by thc
dhcrcncc prncplc.
zg. hs s cspcally scrous n vcw oIthc wcakncss oIKawls` rcasons(scct.
8z) Ior placng thc lbrty prncplc pror to thc dhcrcncc prncplc n a lcx-
cographc ordcrng.
jO. 'hc dca oI thc orgnal poston s to sct up a mr proccdurc so that
any prncplc agrccd to wll b ust. hc am s U usc thc noton oIpurc procc-
dural ustcc as a bass Ior thcory. ` Kawls, Tbeo o/ ju:tce g p. I j6.
jt . homas 5canlon, }r. , 'Kawls` hcoryoI }ustcc, ` 0nw:ty o/ Pmn:y/-
vana Lu Retz, I z I , Po. , May I g}j, p. I O6q.
jz. Sc my 'Moml Lomplcatons and Moml 5tructurcs, ` Natura/ Lu
Forum, I j , I g68, cpcally pp. I IzI .
jj. Kawls, Tb o/ ju:tce, p. }z. Kawls gos on to dscuss what hc calls a
lbral ntcrprctaton oIhs two prncplcs oI ustcc, whch s dcsgncd to clm-
Potcs
547
natc thc nhucncc oI socal contngcnccs, but whch ' ntutvcly, stll appars
dcIcctvc . . . |mr) t stllprmts thc dstrbuton oIwcalth and ncomc to b
dctcrmncd by thc natural dstrbuton oIabltcs and talcnts . . . dstrbutvc
sharcs arc dccdcd by thc outcomc oIthc natural lottcry, and ths outcomc s ar-
btrary Irom a moral prspctvc. hcrc s no morc rcon to prmt thc ds-
trbutonoIncomc and wcalth to bc scttlcd by thc dstrbuton oInatural scts
than by hstorcal and socal Iortunc` (pp. }j-}q).
jq. Kawls, Tb o/ ju:tce, p. I Oq.
j. Kawls, Tbeo o/ ju:tce, pp. jI Ij I z .
j6. Kawls, Tb o/ ju:tce, p. I .
j}. Kawls, Tb o/ ju:tce, pp. j8-qI .
j8. 'n ordcr to show that thc prncplcs oIustcc arc bascd nparton cnvy
t would havc to b cstablshcd that onc or morc oIthc condtons oIthc org-
nal pston arosc Irom ths propnsty. ` Tb o/ ju:tce, p. j8.
t .
z.
j.
jg. lor cxamplc.
Lhcrcnccs btwccn any two prsons` holdngsshould b morallydcscrvcd,
morally undcscrcd dhcrcnccs should notcxst.
Lhcrcnccs btwccn prsons n natural scts arc morally undcscrvcd.
Lmrcnccs bctwccn prsons partally dctcrmncd by othcr dmrcnccs that
arc undcscrvcd arc thcmsclvcs undcscrvcd.
hcrcIorc,
q. Lhcrcnccs bctwccn prsons` holdngs shouldn`t b partally dctcrmncd by
dhcrcnccs n thcr natural asscts.
qO. Kawls, Tbeo o/ ju:tce, p. j I O. n thc rcmandcroIths sccton, Kawls
gocs on to crtczc thc conccpton oIdstrbuton accordng to monl dcscrt.
qI . 'Po rcason nccd bc gvcn Ior . . . an cqual dstrbuton oI bnch(s-
Ior that s ' natural'-sclI-cvdcntly rght and ust, and nccds no usthcaton,
sncc t s nsomcscnsc conccvcd as bcng sclI-usthcd. . . . hc sumpton
s that cqualty nccds no rcasons, only ncqualty docs so, that unIormty, rcgu-
larty, smlarty, symmctry, . . . nccd not bc spccally accountcd Ior,
.
whcrc
dhcrcnccs, unsystcmatc bchavor, changcs n conducr, nccd cxplanaton and,
as a rulc, usthcaton. Ihavc acakcand thcrc arc tcn prsonsamong whom
wsh to dvdc t, thcn I gvc cxactly onc-tcnth to cach, ths wll not, at any
ratc automatcally, call Ior usthcaton, whcrc I dcpart Irom ths prncplc
oIcqul dvson am cxpctcd to producc a spcal rcon. t s somc scnsc
.
oI
ths, howcvcr latcnt, that makcs cqualty an dca whch has ncvcr sccmcd tn-
trnscally ccccntrc. . . . ` saah brln, 'Lqualty, `rcprntcd n lrcdcrck A.
LlaIson, cd. ju:tce and Soca/ Po/cy (Lnglcwood Llhs, P.}. : Prcntcc-Mall,
I g6I ), p. I j t . o pursuc thcanalogy wth mcchancs Iurthcr, notc that t s a
substantvc thcorctcal poston whch spchcs a partcular statc or stuaton as
onc whch rcqurcs no cxplanaton whcrcas dcvatons Irom t arc to bc cx-
plancd n tcrms oI cxtcrnal Iorccs. Sc Lrncst ^agcl` s dscusson oI L`AIm-
bcrt`sattcmptto provdc ana ror argumcnt Ior Pcwton`s hrst lawoImoton.
[Tbe Structure o/ Scence, (Pcw York. Marcourt, bracc, and orld, I g6I ), pp.
I }I }}. )
. . .
qz. but scc also our dscusson bcIow oIKawls` vcw oInatural abltcs as a
collcctvc assct.
q. KawIs, 7bee e/ju:tce, p. I }g.
qq. KawIs, 7bee e/jmtce, p. I Oz .
q . KawIs, 7b e/ju:tce, p. z}.
q6. Kawls, 7b e/ju:tce, p. I 8.
q}. KawIs, 7b e/ju:tce, p. I Oz .
Potcs
q8. 'but sn`t ustcc to b tcmprcd wth compasson!` Pot by thc guns oI
thc statc. Mhcn prvatc prsons choosc to transIcr rcsourccs to hclp othcrs,
ths hts wthn thc cnttlcmcnt conccpton oI ustcc.
LMAJLK 8 / LguaIty, Lnvy, LxpIotaton, Ltc.
t. lor a uscml consdcraton oI varous argumcnts Ior cqualty whch arc
not at thc most mndamcntal lcvcl, scc Maltcr}. blum and Marry Kalvcn, }r. ,
7be 0nea Caie /r Pmgre::n 7axaten, znd cd. (Lhcago. Lnvcrsty oILhcago
Frcss, Ig6).
z. bcrnar? Mllams, 'hc dca oILqualty, ` nPb/e:eb, Pe/tc:, and Se-
cet, znd scr. , cd. Fctcr Laslctt and M. L. Kuncman (LxIord. blackwcll,
I g6z), pp. t t Ot t , rcprntcd n }ocl lcnbcrg, cd. , Mera/ Cencet: (Pcw
York. LxIord Lnvcrsty Frcss, I g6g).
. MlIams, 'hcdcaoILqualty, ` pp. I zII zz.
q. Fcrhapswcshould undcrstand Kawls` Iocusonsocal coopraton as bascd
upn ths tradc noton oI onc prson, by dcalng wth a sccond, blockng a
thrd prson Irom dcalng wth thc sccond.
. 5cc Kurt Vonncgut's story 'Marrson bcrgcron` n hs collccton e/-
ceme te tbe Menk Heme (Pcw York. Lcll, I g}O).
6. Sconths pont, }udth}arvs homson, 'ALcIcnsc oIAbrton, `Pb-
/e:eb Pub/c A//ar:, t , no. t (lall I g}I ), 6.
}. 'Mcn arc, n grcat mcasurc, what thcy Iccl thcmsclvcs to b, and thcy
thnkoIthcmsclvcs as thcy arc thought oIby thcr Icllows. hc advancc n nd-
vdual sclI-rcspct and n socal amcnty causcd by thc soItcnng oI thc morc
barbarous ncquaItcs oIthc past s a contrbuton to cvlzaton as gcnunc as
thc mprovcmcnt n matcral condtons. ` K. M. awncy, Equa/t (Pcw York.
barncs & Poblc, I g6q), p. I } I . hc slghtly dIkrcnt connccton shall tracc
bctwccn cqualty and sclI-cstccm docs not go n thc hrst nstancc through othcr
prsons` vcws.
8. Lomparc L. F. Martlcy`s novcl, Faca/ u:tce, and blum and Kalvcn, 7be
0nea: Cae /r Pregre::te 7axaten, p. }q. Lvcry cxprcncc sccms to conhrm
thc dsmal hypothcss that cnvy wll hnd othcr, and possbly lcss attractvc,
placcs nwhch to takc root. ` Sc aIso Mclmut 5hocck, Env, trans. M. Llcnny
and b. Koss(Pcw York. Marcourt, bracc, }ovanovch, I g}z).
g. Mght somc thrvc onnowork atall, othcrs onrcpttvc work that docs
not dcmand constant attcnton and lcavcs many opprtuntcs Iordaydrcamng!
I O. 7be 7bee: e/Cata/:t Den/ement (Pcw York. Monthly Kcvcw Frcss,
Ig6). Sc also K. L. Mcck, Studie: n tm Lbeur 7bee e/ la/ue (London:
Lwrcncc & Mshart, Ig8), pp. I 68-I }.
tt . Sc ugcnc Von bohm-bawcrk, Cata/ and |ntere:t, vol . (Suth Mol-
land, ll . . L brtaran Frcss, I gg), chap. I z , and hsKar/ Marx and tbe C/e:e e/
H: S:tem (!lIton, P.} . . Augustus M. Kcllcy, I gqg).
Potc 54
I z . Cata/, Fart , Lhaptcr , Scton , pagc q8.
I . Marx, Cata/, Vol . , Lhaptcr z , pp. g}g8.
Iq. Man, Cata/, p. I zO. Mhy'stomach`!
I . Lomparc Lrncst Mandcl , Marxut Ecenemc 7bw, vol. (Pcw York.
Monthly Kcvcw Frcss, I g6g), p. I 6I . 't s prccscly throughcomptton that
t s dscovcrcd whcthcr thc amount oI labr cmbodcd n a commodty const-
tutcs a:eca// ne:a amounter net. . . . hcn thc supplyoIaccrtan com-
modty cxcccds thc dcmand Ior t, that mcans that mon human labr h bcn
spnt altogcthcron producng thscommodtythan was socally ncccssary at thc
gvcn prod. . . . Mhcn, howcvcr, supply s lcss than dcmand, that mcans
that lcss human labr has bcn cxpndcd onproducng thc commodty n qucs-
ton than was socally ncccssary. `
I 6. Lomparc thc dscusson oIths ssuc nMcck,Stude: n tbe Lbur 7bee
e/ la/ue, pp. I }8I }g.
I }. Scthc dctalcd dscusson oI hs thcory nMarc blaug, Ecenemc 7b
n Retre:ect (Momcwood, ll . . rwn, I g6z), pp. zO}z} I .
I 8. 5cc sracl Krzncr, Cemetten and Entrenneur:b (Lhcago. Lnvcr-
sty oILhcago Frcss, I g}).
Ig. Lrhcscnds n dhcrcnt moncy ordcrs ton dhcrcnt rccpcnts, orn rch
poplc cach scnd an amount to onc spchc rccpcnt. 5ncc t makcs no dI-
Icrcncc to our argumcnt, wc shall makc thc smplqng sumpton oIan cqual
numbr oIrch and poor ndvduals.
zO. Mth n ndvduals n povcrty, thc utlty Ior ths prson oI no onc` s
bcng n povcrty s grcatcr than
n
I u (ndvdual s not npvcrty gvcn that thc rcst nman npvcrty).

hs statcmcnt uscs a noton oI condtonal utlty, on whch scc my un-
publshcd doctoral dsscrtaton, 'hc Pormatvc hcory oI ndvdual Lhocc`
(Frnccton Lnvcrsty, I g6, chap. q, scct. q), and K. Luncan Lucc and Lavd
Krantz, 'Londtonal Lxpctcd Ltlty, ` Ecenemetrca, March I g} I , pp.
zz} I .
z I . As onc mght havc thought thc carlcr cascs to bc. Sc M . M. Mon
and }amcs L. Kodgcrs, 'Farcto Lptmal Kcdstrbuton, ` Amercan Ecenemc
Revru, 5cptcmbcr I g6g, pp. qz 6. Sc also Kobcrt LoldIarb, Farcto Lp-
tmal Kcdstrbuton: Lommcnt, ` Amercan Ecenemc Reveu, Lcccmbr I g}O,
pp. ggqgg6, whosc argumcnt that compulsory rcdstrbuton s n somc cr-
cumstanccs morc cIhccnt s complcatcd by our magncd schcmcoIdrcct n-
tcrprsonal transIcrs.
zz. hy not thosc that unmportantly aIIcct thcr lvcs as wcll, wth somc
schcmc oIuegbted votng uscd (wth thc numbcr oIvotcs not ncccssarly bng
proportonal to thc dcgrcc oIchcct)! Sc my notc 'cghtcd-Votng and 'Lnc
ManLnc-Votc` ` nRere:entaten, cd. }. K. Fcnnockand}ohn Lhapman (Pcw
York. Athcrton Frcss, I g6g).
z. Lr. Suss, 7bduck, tbe 8g-Hearte Mee:e (PcwYork. Kandom Mouc,
I gq8).
350 Potcs
CHATER 9 / cmoktcss
. 'th thc purpsc oIthc 5tatcthus conhncd to thc provson oIcxtcrnal
and ntcmal sccurty, or to thc rcalzaton oIa schcmc oIlcgal ordcr, thc sovcr-
cgn commonwcalth was rcduccd, n thc last analyss, to thc lcvcl oIan nsur-
ancc soccty Ior sccurng thc lbrty and thc proprty oI ndvduals. ` Ltto
Lcrkc, Natural aw and the Thy of Sociey -o, vol. (Pcw York:
Lambrdg Lnvcrsty Prcss, Igq), p. tt. All thc mon would Lcrkc makc
ths complant (whch othcrs mght vcw as prasc) abut thc domnant protcc-
tvc socaton oIa tcrrtory.
z. lor an altcrnatvc ilegitimate routc to a statc mon cxtcnsvc than thc
mnmal statc, scc lranz Lppnhcmcr, The State (PcwYork: Vanguard, I gz6).
hough t would bc appropratc wthn ths cssay to dsscct crtcally Lockc`s
routc to a morc powcrIul statc, t would b tcdous, and smlar thngs havc
bcn donc by othcrs.
. Ln thcsc last pnts scc my 'Pcwcomb`s Problcm and wo Prncplcs oI
Lhocc, ` n Essays in Honor of C. G. Hempel, cd. Pcholas Kcschcr ct al. (Mol-
land: Kcdcl, I g6g), cspcally pp. I I qO.
q. ScL. L. Mcmpl, Aspects of Scientic Expanation (Pcw York: lrcc Prcss,
I g6), pp. z66-z}O. usc 'mndamcntal` hcrc n Mcmpl`s scnsc, rathcr than
as n Lhaptcr abvc. hc rcqurcmcnt cxcludng ndcxcal cxprcssons (, `
'my`)Irom moral prncplcs lacks adcquatc usthcaton.
. Sc Marold msctz, 'oward A hcory oI Proprty Kghts, ` Amrican
Economic Review, I g6}, pp. q}~g.
6. 'Lach gvcs hmsclItocvcrybody, so that . . . hc gvcs hmsclIto no-
body, and sncc cvcry assocatc acqurcs ovcr cvcry socatc thc samc powcr hc
grants to cvcry socatc ovcr hmsclI, cach gans an cquvalcnt Ior all that hc
loscs. . . . `}can}acqucs Kousscau, The Social Contract, bk. chap. 6.
}. ScLockc, First Treatise on Gonment, chap. 6, Ior Lockc` s crtcsm oI
thc vcw that parcnts own thcrchldrcn, and chap. g, Ior hs obcctons to con-
sdcrng owncrshp n such cascs (supposng t to cxst) transtvc.
8. n hs ntroducton to hs standard cdton oILckc (Two Teatiss of Gov
nent, znd cd. Pcw York: Lambrdgc Lnvcrsty Prcss, I g6}) Pctcr Lslctt
omrs no intnal cxplanaton oI why Lockc gos on to wrtc thc First Teatise,
and hc trcats ths somcwhat as an oddty (pp. q8, g, 6I , } I ). hat Lockc`s
owndcvclopngvcwsonproprtylcdhmto thnk t ncccssary toconsdcr, and
dstngush hmsclIIrom, llmcr n such dctal, may sccm to b contradctcd by
Lslctt`s scrton on pagc 68 abut Lockc`s vcw oIproprty, but onc sccs that
ths asscrton dos not havc ths conscqucncc Ionc closcly cxamncs Lslctt`s
statcmcnts on pagc q and pagc g.
g. Lomparc Lockc`s prcscntaton oIa smlar argumcnt nscctons I I 6 and
I I }, and scc sccton I zO whcrc Lckc shhs llcgtmatcly Irom somconc`s
wantng soccty to sccurc and protcct hs proprty to hs allowng t complctc
ursdcton ovcr hs proprty.
I O. 5cc Mcrbcrt 5pnccr, Social Statics (London: Lhapman, I8 I ), chap.
I g, 'hc Kght to gnorc thc 5tatc, ` a chaptcr that 5pnccr omttcd Irom thc
rcvscd cdton.
Potcs 3
5 1
Sc Mcrbcrt 5pnccr, The Man Vss the State (Laldwcll, daho: Laxton
Prntcrs, I g6O), pp. qI-q.
CHATER 1 L / A ramcwork tor \topa
t . A statc whch was rcally morally ncutral, whch was ndmrcnt to all
valucs, othcr than that oI mantanng law and ordcr, would not command
cnough allcgancc to suOvc at all. A soldcr may sacrhcc hs lIc IorQuccn and
Lountry, but hardly Ior thc Mnmum 5tatc. A plccman, bclcvng n Patural
Lw and mmutablc rght and wrong, may tacklc anarmcd dcsprado but not I
hc rcgards hmsclIas an cmploycc oIa Mutual Protccton and Assurancc Sc-
cty, constructcd Irom thc cautous contracts oIprudcnt ndvduals. Smc dcals
arc ncccssary to nsprc thosc wthout whosc Ircc co-opraton that 5tatc would
not survvc. ` } . K. Lucas, The Principles of Politics (Lxmrd at thc Llanndon
Prcss, I g66), p. zgz. hy docsLucas assumc that thc cmployccs oI thc mn-
mal statc cannot b dcvotcd tothc rghts t protccts!
z. hc assumpton that supply s always lmtcd 's trvally vald n a purc
cxchangc cconomy, sncc cach ndvdual has a hntc stock oIgoods to tradc. n
an cconomy whcrc producton takcs placc, thc mattcr s lcss clcar. At an arb-
trarly gvcn sct oIprccs, a produccr may hnd t prohtablc to omr an nhntc
supply, thc rcalzaton oIhsplanswll, oIcoursc, rcqurchm to dcmand at thc
samc tmc an nhntc amount oIsomc Iactor oIproducton. 5uch stuatons an
oIcours ncompatblc wth cqulbrum, but sncc thc cxstcncc oIcqulbrum
s tsclIn qucston hcrc, thc analyss s ncccssarly dclcatc. ` Kcnncth Arrow,
'Lconomc Lqulbrum, ` Intnational Encyclopedia of the Social Sciencs, vol. q,
p. 8I .
. Sc }ohn Kawls, A Theory of justice (Lambrdgc, Mass. : Marvard Lnvcr-
styPrcss, I g}t ), chap. g, scct. }g, 'hcdcaoIa5ocalLnon, ` andAynKand,
Atlas Shuged (Pcw York: Kandom Mousc, I g}), pt. , chaps. z.
q. ScKchard Lpscy and Kclvn Lnctcr, 'hc Lcncral hcory oIScond
bcst, ` Review of Economic Studies, zq (Lcccmbr I g6), whchh stmulatcd an
cxtcnsvc ltcraturc.
. Lomparc}ohn Kawls, Theoy of justice, scct. 6, n. t t . t s not clcar how
cxtcnsvcly Kawls` latcr tcxt would havc to b rcvscd to takc ths pont cxpl-
ctly nto account.
6. Smc thcorcs undcrlyng such mposton arc dscusscd by }. L. almon
n The Origins of Totalitarian Democracy (Pcw York: Porton, Ig}O) and Political
Mssianism (Pcw York: Pracgcr, I g6I ).
} . An llumnatng dscuss:on ot thc opcraton and vrtucs oIa smlar hltcr
systcm s Iound n l. A. Mayck, The Constitution of Lierty (Lhcago: Lnvcrsty
oILhcago Prcss, Ig6O), chaps. z, . Smc utopancndcavors havc ht ths, to
somc cxtcnt. '|hc nondoctrnarc charactcr oIthc orgns oI thc }cwsh com-
munal scttlcmcnts n Palcstnc| also dctcrmncd thcr dcvclopmcnt n all csscn-
tals. Pcw Iorms and ncw ntcrmcdatc Iorms wcrc constantly branchng oII-n
complctcIrccdom. Lach oncgrcw out oIthc partcular socal and sprtual nccds
as thcsc cc to lght-n complctc Irccdom, and cach onc acqurcd, cvcn n
thc ntal stagcs, ts own dcology-n complctc Irccdom, cach strugglng to
\7
2 Potcs
propagatc tsclI and sprcad and cstablsh ts propcr sphcrCll n complctc
Irccdom. hc champons oI thc varous Iorms ch had hs say, thc pros and
cons oI cach ndvdual Iorm wcrc Irankly and hcrccly dcbatcd. . . . hc
vous Iorms and ntcrmcdatc Iorms that arosc n ths way at dIIcrcnt tmcs
and in dhcrcnt stuatons rcprccntcd dIkrcnt knds oI socal structurc . . .
dhcrcnt Iorms corrcspndcd to dhcrcnt human typcs and . . . just ncw
Iorms branchcdoII Irom thc orgnal Kvuza, so ncw typs branchcd oIIIrom thc
orgnal Lhaluz typc, cach wth ts spccal modc oI bcng and cach dcmandng
ts partcular sort oI rcalzaton. . . . ` Martn bubcr, Patb: in 0teia (Pcw
York. Macmllan, I gO), pp. IqIq6.
hcpcoplc nvolvcd nccd notbctryng todscovcr thc bcst pssblccommu-
nty, thcymaymcrcly bc attcmptng to mprovc thcr own stuaton. 5omc pr-
sons, howcvcr, may conscously sct out to usc and strcamlnc thc hltcrng pro-
ccss oIpoplc`s choccs to arrvc at what thcy (tcntatvcly) judgc to bc thc bst
communty. Lomparc Karl Poppcr`s account oIthc hltcrng proccss oIsccnthc
mctho, sclI-conscously uscdand partcpatcd nto gctcloscr to thc truth |Ub-
]enive Kneu/edge (PcwYork. LxIord Lnvcrsty Prcss, I g}z)). 5nccsomcpcrsons
who partcpatc n hltcrng proccsscs (or cqulbrum proccssc) wll havc an
objcctvc rcachng thc hnal cnd, whlc othcrs won`t, wc mght rchnc thc noton
oIan nvsblc-hand proccss to admt oIdcgrcc.
8. Sc bnjamn Zblok , Tbe ey/u/ Cemmunity (baltmorc. Pcngun books,
Ig}t ).
g. lor a rcccnt account scc Mam barka , hc Kbbutz. an Lxpcrmcnt n
Mcro-socalsm, ` n l:rae/, tbe Arab:, and tbe Mid/e Ea:t, cd. rvng Mowc
and Larl Lcrshman (Pcw York. bantam books, I g}z).
IO. hat s, wc thnk that Iwc arc prcscntcd wth ndvdual mcmbcrs oI
thc sct oI cxccptons to a ptcular prncplc, wc wll oItcn (though not ncccs-
sarly always) bc ablc to tcll t s an cxccpton, cvcn though t docs not ht any
cxplct dcscrpton oIthccxccptons wc had bccn ablc to oIIcr hcrctoIorc. bcng
conIrontcd wth thc partcular ccand rcalzng ts an cxccpton to thc prnc-
plc oItcn wll lcad us to ohcr a ncw cxplct markng oII oI cxccptons to thc
prncplc, onc that oncc agan (wc rcalzc)dos notmarkoIIa/| thc cxccptons.
Lnc possblc structurc oI thc moral vcws oI a pcrson who makc partcular
moral j udgmcnts, yct s unablc to statc moral prncplcs that hc s conhdcnt
havc no cxccptons, s dscusscd n my 'Moral Lomplcatons and Moral 5truc-
turcs, ` Natura/ Lu Fenm, I , I g68, pp. tO.
t t . c arc hcrc spcakng oI qucstons oI cmgraton out oI a communty.
c should notc that somconcmaybc rcIuscd cntry nto acommunty hc wshcs
to jon, on ndvdual grounds or bccausc hc Ialls undcr a gcncral rctrcton
dcsgncd to prccrvc thc partcular chactcr oI a communty.
I z. 5cc Mcrbcrt Marcusc, Kcprcssvc olcrancc, ` n A Critique e/Pure Te/-
erance, cd. Kobrt P. olIIct al. (boston. bcon, I g6g).
I . hcrc s no rcally satsIactory thcorctcal soluton oIthc problcm. Ia
Icdcral govcrnmcnt posscsscs a consttutonal authorty to ntcrvcnc by Iorcc n
thc govcrnmcnt oIa statc Ior thc purposc oInsurngthcstatc`s pcrIormancc oI
tsdutcsasamcmbcr oIthc Icdcraton, thcrc s no adcquatcconsttutonal bar-
rcr aganst thc convcrson oI thc Icdcraton nto a ccntralzcd statc by vgorous
and rcsolutc ccntral govcrnmcnt. It docs not posscs such authorty, thcrc s
no adcquatcsurancc that thc Icdcral govcrnmcnt can mantan thccharactcr oI
PotCs \
\
thc systcm whcn vgorous and rcsolutc statc govcrnmcnts takc mll advantagc oI
thcr consttutonal Irccdom to go thcr own ways. ` Arthur . MacMahon,
cd. , Federa/i:m. Mature and Emergent (Pcw York. Loublcday, Ig), p.
I g. 5cc also oI coursc thcFedera/i:t Paer:. Martn Lamond ntcrcstngIy ds-
cusscs `Jhc lcdcralst`s Vcw oIlcdcralsm, ` in E::ay: in Fedoa/i:m (nsttutc
Ior 5tudcs n lcdcralsm, Ig6t ).
BI BLIOGRAPHY
Alchan, Armcn. 'Lnccrtanty, Lvoluton, and Lconomc hcory. ` jeurna/ e/
Pe/tca/ Ecenem 8 ( I gO). zI Izzt .
Alchan, Armcn and Allcn, . A. 0nvost Ecenemcs, znd cd. bclmont, Lal. .
adsworth, I gy t .
Alchan, Armcn and Lcmsctz, Marold. `Producton, nIormaton Losts, and
Lconomc Lrganzaton. ` Amocan Ecenemc Reveu 6z ( I g}z). }}}}g .
Amcrcan Law nsttutc. Cen/ct e/Laus, Secend Restatment e/tbe Lu, Proposcd
LIhcal Lrah, I g6}-Ig6g.
Arrow, Kcnncth. 'Lconomc Lqulbrum. ` lntoatena/ Enc/eeda e/tbe Se-
ca/ Scences, q. Pcw York. Macmllan, I g68, }68g.
Arrow, Kcnncth. Essas en tbe Tbee e/ Rsk-8mrng. Amstcrdam. Porth Mol-
land, I g}O.
Arrow, Kcnncth and Mahn, lrank. Genera/ Cemettve Ana/ss. m lrancsco:
Moldcn-Lay, I g} -
Arrow, Kcnncth and Murwcz, Lcond. 'An Lptmalty Lrtcron Ior Lccson-
Makng undcr gnorancc. ` n L. l. Lartcr and ]. L. lord, cds . , 0ncertant
and Exctaten n Ecenemcs. Llhon, P.]. . Augustus Kcllcy, I g}z .
AshcroIt, Kchd. 'Lockc`s 5tatc oI Paturc. ` Amocan Pe/tca/ Scien Roeu
6z , no. (5cptcmbcr I g68). 8g8gI .
Aumann, Kobcrt. 'Markcts wth a Lontnuum oI radcrs. ` Ecenemetrca z
( I g6q). gO.
barka, Mam. 'hc Kbbufz. An Lxpcrmcnt n Mcro-5ocalsm. ` n rvng
Mowc and Larl Lcrshman, cds. , lsrae/, tbe Arabs, and tb Md/e Eat. Pcw
York. bantam books, I g}z.
bcdau, Mugo. 'Lvl Lsobdcncc and Pcrsonal Kcspnsblty Ior nustcc. `
Tbe Menst q (Lctobcr I g}O): I } .
bcntham, }crcmy.An lntreducten te tbe Prnc/es e/Mera/s and Legs/aten. Pcw
York. MaIncr, I gq8.
bcrln, saah. 'Lqualty. ` n lrcdcrck A. LlaIson, ed. , justce and Seca/ Pe/-
q. Lnglcwo, P.]. : Prcntcc-Mall, I g6: .
bttkcr, bors. Tbe Case /er 8/ack Rearatens. Pcw York. Kandom Mousc,
I g}.
blaug, Marc. Ecenemc Tbee n Retresct. Lhcago. rwn, I g6z.
blum, altcr and Kalvcn, Marry, }r. Pub/c Lu Posenvo en a Prvate Lu
Preb/m: Aute Cemensaten P/ans. boston. Lttlc, brown, I g6 .
blum, altcr and Kalvcn, Marry, }r. Tbe 0nmq Case /r Pmns Taxaten,
znd cd. Lhcago. Lnvcrsty oILhcago Prcss, I g6.
bohm-bawcrk, Lugcnc von. Kr/ Marx and tbe C/ese e/ Hs Sstem. Llhon,
P.}. . Augustus Kcllcy, I gqg.
\77
UbOgraphy
bohm-bawcrk, Lugcnc von. Caita/ and Intoe:t. 5outh Molland, ll . . Lbcr-
taran Frcss, I gg.
bouldng, Kcnncth. Cen/ict and De/n:e. Pcw York. Marpr & bros . , I g6z.
brozcn, Yalc. `s Lovcrnmcnt thc 5ourcc oI Monopoly!` 7be Interce//egiate
Revieu , no. z ( I g68-I g6g).
bubcr, Martn. Patb: in 0teia. Pcw York. Macmllan, I gO.
Lalabrcs, Ludo and Mclamcd, A. Louglas. `Froprty Kulcs, Lablty and
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Lhomsky, Poam. `ntroducton` to Lancl Lucrn, Anarcbi:m. Frem 7bee te
Practice. Pcw York. Monthly Kcvcw Frcss, I g}O.
Loasc, Konald. `Jhc Paturc oIthc lrm. `nLcorgc 5tglcr and K. bouldng,
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Loc, Konald. `Jhc Froblcm oI5ocal Losts. ` eua/ e/Lau and Ecenemic:,
( I g6o).I-qq.
Lrow, }amcs and Kmura, Motoo. Intreductien te Peu/atien Genetic: 7bee. Pcw
York. Marpr & Kow. I g}O.
Lalcs, }. M. Pe//utien, Preot and Price:. Joronto. LnvcrstyoIJoronto Frcss,
I g68.
Lcbrcu, Lcrard. 7bee e/ la/ue. Pcw York. lcy, I gg.
Lcbrcu, Lcrard and 5carI, Mcrbcrt. `A Lmt Jhcorcm on thc Lorc oI an
Lconomy. ` Intoatiena/ Ecenemic Revieu, q, no. ( I g6).
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Revieu 6z ( I g6}). q}g.
Lcutsch, Karl and Madow, llam. `Potcs onthc Appcarancc oIsdom n
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Lamond, Martn. `Jhc lcdcralsts`s Vcw oIlcdcralsm. ` nE::a: in Fedoa-
/i:m, nsttutc Ior 5tudcs n lcdcralsm, I g6 I .
lcnbcrg, }ocl . Deing and De:eing. Frnccton, P.} . . Frnccton Lnvcrsty
Frcss, I g}O.
lacco, Anthony and McLormck, Larth. Nen/inear Pregramming. Sequentia/ 0n-
cen:trained Minimitatien 7ecbnique:. Pcw York. lcy, I g68.
llctchcr, Lcorgc F. `Froportonalty and thc Fsychotc Aggrcssor. ` I:rae/ Lau
Revieu 8, no. . 6}-gO.
lrcd, Lharlcs. An Anatem e/ la/ue:. Lambrdgc. Marvard Lnvcrsty Frcss,
I g}O.
lrcdman, Lavd. 7be Macbine e/Freedem. Pcw York. Marpr & Kow, I g}.
lrcdman, Mlton. Caita/i:m and Freedem. Lhcago. Lnvcrsty oI Lhcago
Frcss, I g6z .
Lcrkc, Ltto. Natura/ Lau and tbe 7bee e/ Seciet, o. Lambrdgc.
Lambrdgc Lnvcrsty Frcss, I gq.
Lnsburg, Lous. Legend: e/tbe 8ib/e. Fhladclpha. Jhc}cwsh Fublcaton5oc-
cty oIAmcrca, I g6.
LoIIman, Lrvng. Re/atien: i n Pub/ic. Pcw York. basc books, I g} I .
LoldIarb, Kobcrt. `Farcto Lptmal Kcdstrbuton. Lommcnt. `American Ece-
nemic Revieu (Lcccmbcr I g}O). ggqg6.
Lray, Alcxandcr. 7be Secia/i:t 7raditien. Pcw York. MarpcrJorchbooks, I g68.
Mamowy, Konald. `Mayck`s Lonccpt oI lrccdom. A Lrtquc. ` Neu Individ-
ua/i:t Revieu (Aprl I g6I ). z8 I .
UbOgraphy
357
Manson, Porwood Kusscll. Patto: e/ Di:ceve. Lambrdgc. Lambrdgc Ln-
vcrsty Frcss, I g8.
Marcourt, L. L. `5omc Lambrdgc Lontrovcrscs n thc Jhcory oI LaptaI`
eua/ e/Ecenemic Literature }, no. z Qunc I g6g). 6gqO .
Marman, Llbcrt. `Jhc nIcrcncc to thc bcst Lxplanaton. ` 7be Pbi/e:ebica/
Re:ieu }q, no. ( I g6). 88g .
Marman, Llbcrt. `Qunc on Mcanng and Lxstcncc. ` 7be Revieu e/Metab:ic:
z I , no. ( I g6}). Izq I .
Marman, Llbcrt. 7beugbt. Frnccton. Frnccton Lnvcrsty Frcss, I g}.
Mart, Mcrbcrt L. A. `Arc Jhcrc Any Patural Kghts!` Pbi/e:ebica/ Revieu 6q
( I g). I }-gI .
Mart, Mcrbcrt L. A. 7be Cencet e/Lau. LxIord. Llarcndon Frcss, I g6I .
Mart, Mcrbcrt L. A. Puni:bment and Re:en:ibi/it. LxIord. LxIord Lnvcrsty
Frcss, I g68.
Martlcy, L. F. Facia/ u:tice. London. Mamlton, I g6O.
Mayck, lrcdcrck A. 7be Cen:titutien e/Libot. Lhcago. Lnvcrsty oI Lhcago
Frcss, I g6O.
Mayck, lrcdcrck A. Studie: in Pbi/e:eb, Pe/itic: and Ecenemic:. Lhcago. Ln-
vcrsty oILhcago Frcss, I g6} .
Mcmpcl, Larl L. A:ect: e/Scienti/c Ex/anatien. Pcw York. lrcc Frcss, I g6 .
Mcrrnstcn, Kchard. I. Q. in tbe Meriteoac. boston. Atlantc Monthly Frcss,
I g}.
Mockman, M. M. and Kodgcrs, }amcs L. `Farcto Lptmal Kcdstrbuton. `
Amoican Ecenemic Revieu qg, no. q (5cptcmbcr I g6g). qz6.
Mospcrs, }ohn. Libertariani:m. Los Angclcs. Pash, I g} I .
Mospcrs, }ohn. `5omc Froblcms about Funshmcnt and thc Kctalatory Lsc oI
lorcc. ` Rea:en (Povcmbcr I g}z)and Qanuary I g}).
}acobs, }anc. 7be Deatb and Le e/ Grmt American Citie:. Pcw York. Vantagc
books, I g6.
Kant, mmanucl. Greunduerk e/ tbe Meta:ic e/ Mera/:. Jranslatcd by M. }.
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Kant, mmanucl . 7be Meta:ica/ E/ement: e/u:tice. Jranslatcd by}ohn Ladd.
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Kcsscll, Kcubn. `Frcc Lscrmnaton n Mcdcnc. ` eua/ e/Lau and Ece-
nemic: no. (Lctobcr I g8). zO .
Km, }acgwon. `Lausaton, Pomc 5ubsumpton, and thc Lonccpt oI Lvcnt. `
7be eurna/ e/Pbi/e:eb }O, no. 8 (Aprl z6, I g}). zI }6.
Krzncr, sracl. Market 7bee and tbe Price S:tem. Frnccton. L. Van Postrand,
I g6.
Krzncr, sracl . Cemetitien and Entrereneur:bi. Lhcago. Lnvcrsty oILhcago
Frcss, I g} .
Kracr, Lawrcncc. Fermatien e/tbe State. Lnglcwood LlIIs, P.}. . Frcntcc-Mall,
I g68.
Krmmcrman, Lconard and Fcrry, Lcws. Pattern: e/Anarcb. Pcw York. An-
chor books, I g66.
Krstol, rvng ` ` hcn Vrtuc Loscs All Mcr Lovclncss`-5omc Kchcctons
on Laptalsm and `Jhc lrcc 5occty. ` ` ` 7be Pub/ic Intere:t I} (lall
I g}o)-I .
btbItography
Lcary, mothy. 7be Pe/itics e/ Ecstasy. Pcw York. Lollcgc Potcs and cxts,
I g68.
Lcvcnc, Moward. 'Lcnctc Lvcrsty and Lvcrsty oI Lnvronmcnts. Mathc-
matcal Aspcts. ` n Lucan Lc Lam and }crzy Pcyman, cds. , Fi/tb 8erke/
Symesium en Matbematica/ Statistics. bcrkclcy. Lnvcrsty oILalIorna Frcss,
Ig6} .
Lcws, Lavd. Cenventien. Lambrdgc. Marvard Lnvcrsty Frcss, I g6g.
Lcwontn, K. L. 'Lvoluton and thc hcory oI Lamcs. ` eua/ e/ 7mevtica/
8ie/egy ( I g6I ). 8zqO.
Lpscy, Kchard and Lanctcr, Kclvn. 'hc Lcncral hcory oI 5ccond bcst. `
Roiru e/Enemic Studies zq (Lcccmbcr I g6). I Iz .
Lockc, }ohn. 7ue 7rmtnes e/ Gevomeot. Ldtcd by Fctcr Laslctt. znd cd.
Lambrdgc. Lambrdgc Lnvcrsty Frcss, I g6}.
Lucas, }. K. 7be Princi/ei e/Pe/itics. LxIord. Llarcndon Frcss, I g66.
Lucc, K. L. and Krantz, Lavd. 'Londtonal Lxpcctcd Ltlty. `Ecenemetrica
g (March I g} I ). z} I .
Lucc, _K. L. and KaIIa, Moward. Games and Decisiens. Pcw York. lcy,
I g} .
Machlup, lrtz. 7m Pe/itica/ Ecenemy e/ Menee/y. baltmorc: }ohns Mopkns
Frcss, I gz.
Mandcl , Lrnst. Marxist Ecenemic 7me. Pcw York. Monthly Kcvcw Frcss,
I g6g.
Marcusc, Mcrbcrt. 'Kcprcssvc olcrancc. ` n Marcusc, Mcrbcrt ct aI. , A Cri-
tique e/Pure 7e/oance. boston. bcacon Frcss, I g6 .
Martn, }amcs }. Men Against tbe State. 7be Exesiters e/lndividua/ist Anarcbism
in Amrrica, dZVd. Lckalb, ll . . Adran Allcn, I g .
Marx, Karl. Das Caita/, i . Pcw York. Modcrn Lbrary, n. d.
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shart, I g8.
Mchclman, lrank. 'Folluton as a ort . ` 7be Ya/e Lu eua/ 8O ( I g}I ).
Mnoguc, Kcnncth. 7be Li/ra/ Mind. Pcw York. Kandom Mousc, I g6 .
Mscs, Ludwg von. Human Actien. Pcw Mavcn. Yalc Lnvcrsty Frcss, I gqg.
Mscs, Ludwg von. Secia/ism. znd cd. Pcw :avcn. Yalc Lnvcrsty Frcss,
I gI .
Mscs, Ludwg von. 7be 7bee e/ Meney and Credit. znd cd. Pcw Mavcn. YaIc
Lnvcrsty Frcss, I g.
Mshan, L. }. 'Lvaluaton oILIc and Lmb. A hcorctcal Approach. ` eua/
e/Pe/itica/ Ecenemy }g, no. q ( I g} I ).68}}O .
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Ig6I .
Pclson, Lconard. System e/Etbics. Pcw Mavcn. Yalc Lnvcrsty Frcss, I g6.
Pcwman, Fctcr. 7be 7bee e/Excbange. Lnglcwoo LlIh, P.} . . Frcntcc-Mall,
I g6 .
Pozck, Kobcrt. 'Pcwcomb's Froblcm and wo Frncplcs oI Lhocc. ` n
P. Kcschcr ct al. , cds. Essays in Hener e/C. G. Heme/. Molland. L. Kcdcl ,
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taton, Frnccton Lnvcrsty, I g6 .
btbItography
55
Pozck, Kobcrt. 'Moral Lomplcatons and Moral 5tructurcs. ` Natura/ Lu
Ferum I ( I g68). IO.
Pozck, Kobcrt. 'Locrcon. ` n 5. Morgcnbcsscr ctaI. , cds. Pbi/ese, Science
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Lppcnhcmcr, lranz. 7be State. Pcw York. Vanguard Frcss, I gz6.
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Kand, Ayn. At/as Sbruged. Pcw York. Kandom Mousc, I g}.
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I g66.
Khdall, Mastngs. 'hc Fhlosophcal hcory ot Froprty. ` n Prerty, lts
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Kothbard, Murray. Fer a Nru Liberty. Pcw York. Macmllan, I g}.
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5carI, Mcrbcrt. 'hc Lorc oI an P-prson Lamc. ` Ecenemetrica
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5chocck, Mclmut. Eny. Pcw York. Marcourt, bracc and orld, I g66.
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5cuss, Lr. 7biduick, tbe 8ig-Hmrted Meese. Pcw York. Kandom Mousc, I gq8.
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I g66.
5ngcr, Fctcr. 'Anmal Lbcraton. ` Neu Yerk Revieu e/ 8eeks (Aprl ,
I g}). I }-z I .
btbltography
5lobokn, Lawrcncc. Greutb aod gu/ateo e/ Aomm Peu/ateos. Pcw York.
Molt, Knchart and nston, I g66.
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5pnccr, Mcrbcrt. Tbe Mao losm tbe State. Lho. Laxton, I g6O.
5pooncr, Lysandcr. A Letto te Grever C/oe/aod eo Hs Fa/se loaugura/ Adnss:
Tbe 0surateo aod Crmei e/ Lumkers aod judges, aod tm Ceosequeot Pevoty,
lgoeraoce, aod Sotu e/ tbe Pee/e. boston. bcnamn K. uckcr, I 886.
5poncr, Lysandcr. Natura/ Lu. boston. llams, I88z.
5poncr, Lysandcr. Ne Trmeo: Tbe Ceo:ttuteo e/ Ne Autberty. Larkspur, Lol . .
Pnc rcc Prcss, I g66.
5poncr, Lysandcr, Tbe Ce//ected erks e/ Lysaor Seeoo. cston, Mass. .
M and 5 Prcss, I g} I .
5wcczy, Paul. Tbee e/ Cata/st Deve/emeot. Pcw York. Monthly Kcvcw
Prcss, I g6.
almon, }. ). Tbe 0rgos e/ Teta/tarao Demeoat. London. 5cckcr and ar-
burg, I gz.
almon, }. ). Pe/tca/ Mosaosm. London. 5cckcr and arburg, I g6O.
andy, lrancs. le/uota Seca/sm. Lcnvcr. l. L. andy, I 8g6.
annchll, Morrs and annchll, Lnda. Tbe Market /r Lboq. Pcw York:
Arno Prcss, I g}z.
awncy, K. M. Eqm/ty. London. Allcn and Lnwn, Ig8.
homson, }udth}arvs. 'A LcIcnsc oIAborton, `Pb/ese aod Pub/c A]ars
I , no. z (lall, I g} I )q}6.
rbc, Laurcncc. 'ral by Mathcmatcs. ` Haard Lu Reveu 8q
( I g}I ): I zg.
rotsky, Lcon. Lterature aod Roe/uteo. Pcw York. Kusscll and Kusscll , n. d.
uckcr, bcnjamn. lostead e/ a 8eek. Pcw York, I 8g.
uckcr, bcnjamn. lodvdm/ Lberty. Pcw York. Vangard Prcss, I gz6.
Vltos, Lrcgory. P/ateoc Studes. Prnccton. Prnccton Lnvcrsty Prcss, I g}.
Vonncgut, Kurt. e/ceme te tbe Meok Heme. Pcw York. Lcll, I g}O.
cbr, Max. Tbe Tbee e/ Seca/ aod Eceoemc 0rgaotateo. Llcncoc, ll . . lrcc
Prcss, Igq} .
cbr, Max. Max eber eo Lu o Eceoemy aod Secety. Ldtcd by M. Khcn-
stcn. Lambrdgc. Marvard Lnvcrsty Prcss, I gq.
llams, bcrnard. 'hc dca oILqualty. ` n Pctcr Lslctt and . L. Kun-
cman, cds. Pb/eseby, Pe/:tcs aod Secety. znd scrcs. LxIord. bl black-
wcll, I g6z .
ohlstcttcr, Kobcrta. Pmr/ Harber. aog aod Decseo. 5tanIord, Lal. . 5tan-
Iord Lnvcrsty Prcss, I g6z .
olII, Kobcrt Paul. `A KcIutaton oI Kawls` hcorcm on }ustcc. `jema/ e/
Pb/e:eby 6, no. } (March I , I g66).
Zablok , bcnamn. Tbe jey/u/ Cemmuoty. baltmorc. Pcngun books, I g}I .
I NDEX
acquIsItIon, principle of, 1 50-1 53, 1 57-158,
173, 208
ocke on, 174-1 78
Sahe ockean povio
Acton, ). E. E. D. , 1 25
aggregative principle, 209-2 1 0
aggression, 32-34
A1chian, A. , 2 1 , 261 n, 339 n9, 345 ni l ,
346nl8
Allen, W. A. , 339n9
anarchist, and potective asociation, 1 20-1 29,
1 30-1 31
Anarchist thory, 4-6
why condemns state, 5 1 -5 3
anarchy, t State of nature
animals:
ota! teatment of, 35-47
Kantin osition on, 39-40
utilitarian osi tion on, 39-41
eating of, 36-38
Appropriation. S acquisition, principle of;
cken proviso
arbitrariness, mota! relevance of, 21 3-227
Arrow, K. , 261 n, 298n, 30ln, 351 n2
Ashcoft, Richard, 336n10
asociation, 299
stabiliry of, 299-306
Aumnn, R. , 300n
Barkai, H. , 352n9
edau, H. , 344m4
entham, J. , 40, 338mo
erlin, I., 347n41
Bittker, B. , 344n2
blackmail, 85-86
Blnc, L. , 250
Blaug, M. , 346n20, 349n17
Blum, W. , 339m2, 348m, n8
ohn-Bawerk, E. von, 348m 1
order-cossing. S oundary, moral
oulding, J. , 336n7
oundary, mota! , 57-59
cossing, 75-76, 83, 86-87
crossing not pohibited, 1 63-171
cossing pohibited, 71 -73
oycott, 1 7, 194n, 292-293, 322-323
Bozen, Y. , 336n9
Buer, M. , 352n7
Calabresi, G. , 338n6
Chamerlain, Wilt, 161-163, 164n
children:
arents' rights over, 38-39, 287-291
and the framework or utopia, 330
Chomsky, N. , 345n6
Coase, R. , 76n, 346m8
Cohen, M. , 23
comensation, 57-59, 63-65 , 71 -73
ull, 57, 68, 143n, 144n
market, 65, 68
maks oundry crossing ermissible,
63-71
and risk, 75-78
right to exct, 1 35- 1 37
Sabe comensation, principle of
comensation, principle of, 78-79, 81 -84,
86-87, 1 1 4-1 1 5
intrduces atterning, 345m4
and preventive restraint, 142-147
and potecting others, I I 0-I I 5
and poviding liabiliry insurnce, 1 1 5
constrainrs, ota! side, 28-35, 46n47, 294
abolute nature of, 30n
and animals, 35-42, 45-47
baed uon, 48-5 I
contract-like view of, 1 37-1 38
diferent fom goals, 28-30, 46n
ormal argument leding to, 33-34
and poerry rights, 1 71
rationale, 30-33
and rights, 28-29
and redistribution, 172-173
state violates, 5 1 -52
copyright, 141
Crow, J. , 20, 31 5n
current time-slice principles, 1 53-1 55, 208
Dales, J. H. , 8In
ebreu, G. , 300-301 n
demoktesis, 290
hyothetical genesis of, 280-29
Demetz, H. , 261n, 346m8, 350n5
ershowitz, A. , 146n, 344nr6
desert, 1 54, 1 59, 21 5-2' 7, 224-226, 237-238
design devices, 31 2-3'7
deterrence, 56-93
and utilitarinism, 61 -62
eutch, K. , 20
Diamond, M. , 353n1 3
diference principle:
application to mcostructure, 204-207
egalitarin, 21 0-21 2
not neutral , 192-197
in micocses, 167n
reonable terms ur social coeration,
189-197
as rule of thumb ur rectification, 231
difeences, and the frmework ur utopia,
309-3' 7
disadvantages, 81-83, 86-87 , "4-"5
and preventive restraint, 143-146
distributive justice, 149-231
and arbitrariness, 2 I 3-227
entitlement thory of, 149-182
poblem created by ocial coeration,
1 83-189
Rawls' thory of, 183-231
mico and maco situations, 204-207
secial thory of, 2 I 9
term not neutral, 149-150
Sal:e entitlement thory; justice i n holdings;
pattened principles
dominant potective asociation (agency):
as de cto monooly, 108-I I 0
and destruction of other agencies, 1 21 -1 29
umation, 15-18
s virtual monooly, 1 7
s state, 22-25, 51 -53, I IO, 1 1 3-1 18,
I I 8-I I9
and indeendents, 54-56
and ower, 1 34-140
and procedural rights, 96-108
pohibiting priate enurcement of justice,
96-108, 101-I IO
potcting others, I I 0-I I 5
secial rights, 101-102, 108- I I O, 1 33-1 34
S al:e potective sciation
double joardy, 1 36-1 37
egalitarian principles:
and the diference principle, 2 I 0-2 1 3,
222-226
and envy, 240-246
overtuned by lierty, 164
nd workes' contol, 25 I
emigration:
from a community under the framework, 330
fom country with attened principles,
173-'74
m ossible worlds model, 299-309
end-esult principles, 1 5 3- 1 55
and original osition, 1 98-204
ndcx
and ources of income, '70-'7 I
end-state principles. Send-result principles
ends, eople as, 31 -32, 228
enforcement of rights and justice, 12, 14- 1 5, 24
S al:e private enforcement of justice
entitlement thory, 149-182, 186, 194,
198-204, 219-220, 225-226, 230-231 ,
236-238, 247
versus end-result principles, 1 53-1 55
entitlements, non-suericial, 206-207
and equality, 232-233
and marginal productiviry, 188
and natural assets, 255-226
non-organic and aggregative, 209-2 I 0
not distributed according U desert, 2 I 7
not attened, 207-208
versus patterned principles, 1 55-160
and rights, 238, 268-271
thre principles of, 1 50-1 53
envy, 162n, 239-246
compared to other notions, 239-240n
and Rawls' thory, 21 5-229
and elf-estem, 239-246
equaliry, 232-235
and the diference principle, 21 0-21 3,
222-226
and envy, 239-246
and equal olitical ower, 271 -273
of opotuniry, 235-239
and elf-esteem, 243-245
Sal:e egalitarin principles
equilibrium pocess, 2 I -22
evolution:
and ilter devices, 314-31 7
and invisible-hand explanation, 314-31 5 , 31 7
exchange:
dividing eneits of voluntary, 63-65, 84, 86
economists' explanation of, 64-65n
and laor thory of value, 260-261
poductive, 84-86, 145
and ocial coeration, 1 86-1 87
and treating eople as ends, 31
voluntary, 1 50-153, 1 57-158, 1 88n, 262-265
exerience mchine, 42-45
exerimentation, utopin, 307, 31 2, 31 2-31 7,
329, 332-333
Explanation:
under determined by data, 278
otential, 7-9
uniied, and pattened principles, 220-22 I
S al:e undmental explnation; invisible-
hnd explanation; hidden-hand explanation
exploitation, Maxian view of, 253-262
extensive state:
derivation, 280-290, 292-294
and distributive justice, 231
and injustices, 231
unjustiiable, 140, 297
ue by owerful, 272
violates rights, 140
Sal:e deoktesis
ndcx
externalities:
intenalizing, 280-281
of knowledge, 245, 322-323
fairness, 80, 203n, 236
principle of, 90-95
unily, and pattened principles, 167-168
ear:
existence of, 69-7 I
and non-global emotion, 70
and pohibition, 65-7 1 , 72-73, 1 05 , 339n 1 3
Feinerg, J. , 343n1o
Ficco, A. , 29n
Filmer, R. , 287, 350n8
lter devices, 2 1-22 , 31 2-3 18
inncing state:
lottery, 25n
retributive enalties, 62n
Fletcher, G. P. , 63n
urced laor, 169-1 72, 229n
Fourier, c. , ' 78n, 308, 316
framework for utopia, 307-325 , 329-334
as comon gound, 31 7-320
diferences and, 309-31 7
and complexity, 31 2-3'7
and diering tradeofs, 31 2
and liertarian thory, 320-323
and minimal state, 333-334
fee rider, 94, 267-268
Sal:e fainess, principle of
Frey, F. , 20
Fried, C., 76-77
Friedman, D. , 1 77n, 336n4
Friedman, M. , 27n, 346n' 7
"fom ech . . . , " 1 59-160
Fundamental explanation, 6
illumination of, 8
and invisible-hand, 19
of olitical realm, 7-9
Gardner, M. , 342n2
genetic engineering, 3 15 n
George, H. , 175
Gierke, O. , 350nr
Ginsburg, L. , 31 4n
goals, moral , 28-30, 46n, 172-173
Godwin, W. , 5
Gofmn, E. , 338n4
Goldfarb, R. , 349n21
Gray, A. , ' 79n, 31 3n
Hahn, F. , 301 n
Hamowy, R. , 1 80n, 340nr 6
Hanon, N. R. 335n1
Harcourt, G. c. , 346n2o
Harman, G. , 337n6, 341nro
Hart, H. L. A. , 74, 90-93, 337n1 5, 339nr 2,
340n1 , n2 ,n3
Hartley, L. P., 348n8
Hayek, F. A. , 2 1 , 1 58-1 59, 1 73, 1 80n, 2 18,
334n3,
336-337n1 3, 346n28 , 35 1n7
Hemel, C. G. , 7, 335nr , 350n4
Hernstein, R. , 20
hidden-hnd explanation, 19-20
historical principles, 1 52-1 60, 199-204
ove as historical elationship, 167-168
Hockman, H. M. , 340n21
Hohfeld, W. , 1 75
oldings, JM justice i n holdings; acquisition of
holdings; trnsfer of holdings
Hosers, J. , 336n4, 337n7
Huwicz, L. , 298n
indeendent, 24, 96, 1 '7
enforcing justice, 54-56, lo9- I I O
private enurcement of justice, 88-90
indexical expessions, and moral principles, 29,
278, 350n4
inequality, Rawls on, 1 88-189, 195, 197n
innocent shield, 35
innocent threat, 34-35 , 228nI I
invisible-hnd explanations, 18-22 , 336-33 7nl 3
examples of, 20-2 I
of marketplace, 1 8
of money, 18
satisying quality of, 1 8-19
of the state, 22-25, 52, I I8-I I9
Sal:e invisible-hand pocess
invisible-hand pocess:
de acto monooly, I 1 5
and cordination games, 140
and maco states, 74
as ocial compact, 1 31 -1 32
S al:e invisible-hnd explanation
Jacobs, J. , 20
justice in holdings, 1 50-1 53, 1 57-160
Stt al:e entitlement thory
Kalven, H. , 330nr 2, 348nr , n8
Kant, J , 32, 228, 337n4, 338nr
Katz, J. J. , 342n7
Kesell, R. , 337nr6
Kim, J. , 8n
Kimura, M. , 20, 31 5n
Kirzner, J. , 255, 346n19, 349nr8
Krader, L. , 341 n1 3
Krantz, D. , 349n20
Kristol, l . , 344n4
Krystoiak, T. , 338nr o
laor thory of value, 253-262
ancster, K. , 34 I n4
Laslett, P. , 350n8
eary, T. , 244n
legitimacy of state, 1 7, 1 33-1 37, 1 39-140
Levene, H. , 31 5n
ewis, D. , 343n14
Lewontin, R. C. , 31 5
liabiliry:
acting witout insurnce ur, 78-79
of cororations, 1 33
Liability (ccottoutJ
publicly provided insurance for, I 1 5
of state's agents, 1 33
liertarian constraints:
analog to nonagression among nations, 34
ormal argument leading to, 33 -34
liertarian thory:
disagreements within, 1 41 , 331
and framework or utopia, 320-323
and maintenance of macroratio, 31 5n
and surrounding an individual, 55n
writers on, 335-3364
lierty, upets egalitarian principles, 1 64
Stt a|c rights
Lipsey, R. , 35 1 n4
ocke, ). , 9- 1 2, 1 7- 1 8, 54, 58, 1 3 1 -1 33,
1 37-1 38, 1 53, 174-178, 225, 287-291 ,
335nl , 336nl o, 338n5 , 340n6, 341 nl ,
342n8, 343n8,n9, 350n7-n9
Lockean proviso, 55n, 1 75- 1 82 , 270n, 289-290,
323
Lucas, ]. R. , 351 nI
Luce, R. D. , 239n20, 342n3
Machlup, F. , 336n9
MacKay, ]. H. , 345n6
MacMahon, A., 353nl 3
Madow, W. , 20
Mandel, E. , 349n1 5
manna-fom-heaven model, 1 98, 2 1 9
Marcue, H. , 352nI 2
marginal product, 1 57, 1 87-1 88n, 1 88, 194n
and ossible worlds model, 301 -302 , 304-305
market:
coordinates actions, 163-164
provides meaningul work, 248-250
workers' controlled factories in, 250-253
Martin, J. ]. , 3354
Marx, K. , 1 88n, 253-262, 273n, 349nI 2-nI 4
McCormick, G. , 29n
meaning of life, and moral theory, 50-5 1
meaningul work, 246-250
means, using eople as, 31 -32 , 46-47, 7 I
and Rawls' thory, 228-229
and utilitarianism, 39-41 , 45
Meek, R. L. , 348nl O, 349nl 6
Melamed, D. , 338n6
methodological individualism, 22
Michelman, F. , 81 n
middlemen, 1 8, 64
minimal state, 26-28
inspiring, 297, 333
nonneutral , 272-273
reduces manipulation of state, 272
to justiy, 52-53, 140
and ultra minimal state, 26-27, 1 1 3-1 1 5 , 1 1 9
and utopia, 333-334
Stt ahc night-watchman state; ultraminimal
state; dominant protective asociation
Minogue, K. , 169n
Mises, L. , 20, 336n1 2, 344nI4
ndcx
Mishan, E. ] . , 339nI 5
money. invisible hand explanation of, 1 8
Monooly and protective sevices, 1 7
monooly on force:
condemned by anarchist, 5 ' -5 2
as condition or state, 23-24
de facto, 1 08-1 10
had by dominant potective asociation, 1 ' 3,
I I 5-1 1 8
Moral thory:
and arbitrariness, 2 1 3-227
and consistency arguments, 277-279
and indexical expressions, 29, 278, 350n4
and meaning of life, 50-5 I
role of examples in, 37-38, 277-279
and structure of moral view, 29n, 46n
task Or, 9
Stt a|:c constraints, moral-side
Nagel, E. , 34741
natural rights:
Hart's argument or, 91 -93
and risk, 74-78
the tradition on pocedural rights, 1 01
Nelon, L. , 338nl I
Newman, P. , 339n8
night-watchman state, 25, 26-27
Stt a|:c minimal state
nonneutral state, 33, 27 I -2 3
normative ociology, 247-248
Nozick, R. , 86n, 99n, 267n, 337nI , 342n2,
345nl o, n1 3 , 346n32, 349n2o, n22,
350n3, 352nIO
Openheimer, F. , 350n2
opting our, 1 73-1 74, 290, 321 -323
organic principle, 209-2 1 0
original osition:
and arbitrariness of natural assets, 226-227
emodies process argument but can't lead to
fundamental pocess principle, 207-209,
1 96-197n, 2 1 1 , 2 1 4
ocus on erson, 1 90
iterated, 2 1 2-2 1 3
limited to selecting end-result principles as
undamental, 198-204
Owell, G. , 39
Owen, R. , 31 6
paciism, 99n
patents, 1 41 , 1 82
Paternalism, 1 4
and communities, 324
connected with reasons, 27, 34, 58-59,
67-68n, I D9
and framework or utopia, 320-32 I
patterned principles, 1 55-160, 2 1 8-224
and the diference principle, 208-2 I 0
and emigration, 1 73- 1 74
and the family, 167-168
requiring redistribution, 1 68, 1 70-174
ndcx
and ocus On recipients, 1 68
suficient conditions for eing, 209-2 1 0
and entitlements, 1 67
and uniied explanations, 220-22 I
upet by lierty, 1 60-164, 21 9-220
and voluntary transfers, 232-233, 249, 252,
265-268
and principle of comensation, 345nl 4
Peter Principle, 21
philanthropy, 79, 265-268
Plato, 205
Political Philoophy, 3
and aggression, 32
undamental question of, 4
relation to moral philoophy, 6
Political theory, 6-9
ollution, 79-81
Poper, K. , 352n7
Portia, 55n
ossible worlds model. Stt utopia, ossible worlds
model
preemptive attack, 1 26-1 29
preventive restraint, 1 42-1 46
Principle V!I:
and egalitarianism, 2 I 1
and paciism, 98-99n
and rule of necessity, 63
prisoner's dilemma, 1 24
private enforcement of justice, 24, 1 35-1 40
anarchist condemns, 5 1 -52
prohibition of, 88-9, 1 1 0, '42-143
and risk, 1 05-108
prcedural rights, 56, 96-1 08
prductive activity. Stt exchange, productive
prohibition:
and oundary crossing, 59, 7 1 -73
and fear, 65-7 1
on joining protective ssciation, 1 20-1 29
of lst comonent needed for wrong, 1 27-1 29,
143
moral, 57-59, 59, 63-7 1
and neutrality, 272-273
and non-global nature of fear, 70
of private enforcement of justice, 88-90,
I I O-I I 3
of risky acts, 73-87
of unreliable private enforcement of rights,
96-1 10
property:
considerations favoring, 1 77
and ollution, 79-8 I
proerty rights, 1 7 I - 1 7 2
and externalities, 280-28 I
in ersons, 1 72, 228-229, 281 -290
and redistribution, 167-1 7 3
and rights of others, 269-270
protection:
anarchist condemns monooly in, 5 I -52
and dominant protective ssociation, 24-25,
1 1 0-1 1 5
state providing, 23-25 , 27-28
protective ssciations, 1 2- 1 5
as business, 1 3
outlaw agency, 1 7
and private "retaliation," 1 5
and retributive ayments, 62n
rights of, 89-90
Sa|c dominant protective ssciation
Proudhon, P. ]. , I I , 31 6
proviso. Stt Lockean proviso
sychoactive dtugs, 44, 22 I
S al:c aternalism
public gods, 2 I
S ahc airness, principle of
public wrongs, 67
Punishment:
Lcke on, 1 1 - 1 2, 59-63, 96-98
right to, 1 06-1 07 , ' 35, 1 37- 1 40
S al:c retribution; deterrence; prcedural
rights
Raiffa, H. , 342n3
Rand, A. , 1 79n, 344nI 5 , 3 5 1 n3
Rshdall, H. , 1 79n
Rawls, ]. , 90, 93, 1 67n, 1 83-23 I, 239-240n,
337n2 , n5 , 340n1 , 4, 344nl , 345nl 2 ,
346n1 6, n2 1 -23, n25 , n26, n29-n30,
n33-n38, 4o, 42, 348 fl43-l47, 4,
3 5 1 n3 , n5
Rawls' theory of justice, 1 83-231
Stt al:c diference principle; original osition;
end-result principles; inequality
rectiication, principle of
not redistributive, 27, 1 52- 1 53, 1 73, 208,
230-23 '
redistribution, 1 40, 274-275
in communiry and nation, 32 I -32 3
connected with resons, 27
and liability insurance, I I 5
and minimal state 25, 1 1 3-I I 5
and patterned principles, 1 68
and philanthropy, 265-268
and proerty in ersons, 1 72, 226, 228-229
and property rights, 167-1 73
protection of others, 1 44
Rembrandt, 258
rent control, 270-27 '
resonsibility:
bucket theory of, 1 30
degree of, 60-63
for others, 1 29-1 30, 1 90- 1 92
in olitical realm, 100
Rawls on, 2 1 4
retribution, 59-63, 69
and self-defense, 62-63
rights:
for comensation, 1 35-1 37
enforcement of, 1 2, 30, 91 -93
and epistemic considerations, 1 06-I 07
with hoks, 264-265
and hyothetical historis, 292-294
in Lcke's state of nature, 1 0
rights (nrnum
to lie. 1 7 9n
and moral constraints. 28-29
nature of. 89. 90. 1 39
of parents. 38-39. 287-291
protection against violation. 27-28
ersonal. 268-271 . 292-293
to punish. 1 37-140
nd en's rgument. 164-1 66
risk. 73-78
in capitalist and ocialist sciety. 255-256.
260-261
and premptive attck. 126
and preventive restraint. 1 42-146
nd private enforcement of justice. 88-90.
1 05-108
Salse comenation. principle of
Roerts. A . 336nl l
Rdgers. J. D 349n2 1
Rothbrd. M . 81n. 86n. 336. 338n2 .
343n1 2 344n1 5
Roussau. ). ) . 350n6
scriice:
of individual . 32-33
for others. 39. 45-47
and utilitarianism. 41
cnlon. T . 21 0. 21 2. 346n31
Scarf. H . 300n
Schelling. T. C, 20. 1 98. 335n2. 342.
344nI4
chock. H . 348n8
chumeter. J. . 262
self-defense:
against inncent erson. 35. 62-63. 1 02
and preemptive attack. 1 26-1 29
and protective agencies. 1 2 1 -1 29
i n war, 1 00
self-esteem. 239-246
eligman. M . 339nIO
Sen. A. K . 164-166. 229n
Sws. Dr . 340n23
Shrp, G 336nl l
Singer. I. B . 336n5
Singer.
p
. 338nl l
slavery. 290-292. 331
Sloodkin. L. . 20
Smith. A . 18. 21
social compact. 1 3 1-132
scial coeration:
and constant-sum game. 228-229
diference principle. 1 89- 197
and equality. 223
and groups. 193- 1 95
and individual, 2 I
and justice. 1 83-189
scial prducts. 95
Scialism. 1 63. 231 . 250-25 1 . 253, 261 . 32 1 n.
325
Sencer. H . 350n10. 35 1 nI I
Soo ner. L. . 335-336
ndcx
State:
and anrchist. 5 1 -53
and dominant protective asciation. 22-25,
1 1 0. 1 1 3- 1 18
extent, 1 1 7
inconveniences of, I In
invisible hand explanation of. 1 1 8-1 19
legitimacy of. 1 7. 1 33- 1 37. 1 39-140
origin. 5-6
nd prisoner's dilemma. 124
and priate enorcement of justice. 1 42-143
and secial rights. 5 1 -52. 276
within state of nature. 1 33
i n world of certainty. 140-142
S alre minimal state; ultraminimal state;
extensive state, nonneutral state
State of Narure. 1 0-1 8. 1 33
and derivation of extensive state. 280-290
inconveniences of, I I
and the prisoner's dilemma. 124
procedural rights i n. 56
and prohibition of risky acts. 74-76. 89
and protective agency. 1 3 I-I 33
State-of-Nature Teory. 3-9
Sweezy. P . 258
Talmon. ). L. . 351 n6
Tandy. F . 336
Tannehill. M. and L. . 336. nl l
Tawney. R. H . 348n7
txation of earnings. 169- 1 72. 265-268
Thidwick. the big-hearted Moose. 269-270
Thomson. ) ) . 337n7. 348n6
Tocqueville. A. de. 328
transer. principle of. 1 50-1 53. 1 57-1 58.
207-208
Trie. L. . 34on5
Tristan. F . 31 6
Trotsky. L. . 241 . 245. 308
Tucker. B 335-336
ultraminimal state. 26-28. 1 1 9
proonent of. 27-30
from state of nature. 52
transformed. 52. 1 1 3-1 1 5
S al:e minimal state
Utilitrianism:
and animals. 39-41
and deterrence theory. 61 -62
s end-state. 1 53-1 5 5 . 1 99. 208
and ersons. 39-41 . 42 . 45
not prcess principle. 208
and rights. 28-29
and usual precepts of justice. 202
utopia. 297-334
dual conception of. 332
ends of utopian theorists. 328-33 1
framework for. 307-325 . 329-334
means for getting. 326-328
prcess substituted for ends. 332
results. 33 1-333
ndcx
three tyes, 31 9-320
and utopian exerimentation. 307, 31 2.
31 2-3 1 7, 329, 332-333
worlds mdel. 297-309
Sal:e framework for utopia
Vlastos. G. , 346n9
Vonnegut, K. , 348n5
Warren, ). , 3 1 6
Weer, M. , 23, 1 1 7- 1 1 8, 337nl4
welore economics, 1 54- 1 55
and rights, 1 64-166
Williams, B. , 233-235, 348n2, n3
Wisdom, ) . , 1 69n
Wittgenstein, L. , 95
Wohlstetter, R. , 2 1
Wolf, R. P. , 345nI 2
workers' control, 250-253
ablcki, B. , 352n8