Social Contract Theory: A Theoretical Foundation of Liberal Democracy
By Abanonu Onyekachi Patrick
(Patrickabanonu@gmail.com)
Abstract
This article attempts to expound the theoretical foundation of liberalism in the social contract theory of Thomas Hobbes, John Locke and Jean-Jacques Rousseau. In doing this, it examines the liberal ingredients in the social contract theory of the origin of the state by these foremost thinkers that led to a liberal market society culminating in liberal democracy. It starts with the distinct nature of society and the state while setting the tone on the moral and political freedom of the individual in a state as important to the well-being of the society. Also it examines the challenges of liberal democracy in maintaining this core principles of liberalism in the face of modern market-like society.
For years, man have lived in a society confined within the control of state power. The state puts society in order, holding it together and providing the framework for social order. The notion of the society is sometimes confused with that of the state, this in turn has had a disastrous implication on the freedom of the individual, and as such it is paramount to differentiate between the society and state, so as to safeguard the individual freedom against terror of totalitarian rule. Most statesmen consider the state as superior to the society, and sees the state possessing full sovereignty, having complete control over its subjects. State interference in the social life of the individual is as a result of the equation of the society with the state. The implication is an authoritarian regime as experienced in most despotic ruled countries in the world, where individual rights are suppressed to accommodate the state total control.
The state is different from the society and according to Appodorai, the distinction between the state and society is fundamental to a true theory of the state, because it helps the realization of individual freedom.1 Society is a community of which one of the organs is the state. Thus the state is one of the association among many, however all within its boundaries must belong to it, and it has a duty to its members who have the right to object if the state fails to perform its duty. With this view of the state, its formation is resting on society and depending on it for its existence. Society as we know it has sprung from the family, which is the original social unit given its biological unity. As the family increases in size, several related families group together to form the clan or tribe, migration and other economic factors which enter into the evolution of the social process leads to different people associating based on common territorial ties and promoting its interest. The society is then faced with the challenge of social organization.
Social organization have been a recurring subject in political philosophy. The ancient city of Athens gave the ordinary word “polis” a deeper meaning and prominent ancient philosophers like Plato and Aristotle provided the groundwork for political philosophy. Plato in his famous work “The Republic” insisted that the state must have complete power over the individual owing to the political tension of Athens in his time. The exercise of political power, for him, ought to be a skilled profession, thus requiring long apprenticeship and dedication. Plato was critical of the participation of all citizens in politics. The state is to be left in the hands of the philosopher-king, endowed with reason. They alone could understand what was of permanent value, had knowledge of the dialectics and the forms of goodness and justice.2
Critics like Karl Popper in “The Open Society and its Enemies” have charged Plato with supporting totalitarian and an Aristocratic rule. Aristotle, Plato’s pupil advocated pluralism and the rights of individual, confining the state to a sort of ethical function. Aristotle like Plato was critical of democracy in his time and considered it one of the flawed regimes. It is rule by the many in their own interest. He proposed the rule of law. When Law is established in advance, it is impartial. Aristotle emphasized on the need for constitutional stability, secured by stable economic power, by education and breeding, for this was the great virtue of the good polis.3
From the 18th century, the dominant thread in the changing political fabric of European and American politics was Liberalism. The emergence of the liberal tradition raised very fundamental questions about the nature of sovereignty, state power, individual rights and mechanism of representation. Liberalism sought to restrict the powers of church and despotic monarchies and define a uniquely private sphere independent of church and state. The implication of liberalism paves way for a free market society and democracy was considered fit for a liberal market. The idea of Liberalism grants individual freedom to pursue their preferences in religion, economy and political affairs. Irrespective of its various connotations, it is united around the advocacy of a constitutional state, private property and the competitive market economy as the central mechanism for coordinating individual interests.4 We have looked at the state and society and characterize both as distinguished from each other, it is imperative we look at the theoretical foundation of liberalism through the idea of the origin of the state expounded by the social contract theorist notably Hobbes, Locke and Rousseau who all agreed on the idea of a social contract.
The central democratic ingredient in the social contract theory is the idea of consent. To these social contract theorists, the state as an institution is not a natural creation. They believed that government is not a natural condition, and that at one time people lived in a state of nature, a condition in which there was no government. Government was a deliberately and rational conceived human creation and that the social contract was the act of people creating and empowering government.5 The idea of popular sovereignty is striking, as it states that people are equal, and that nobody could govern without the people giving its consent. According to the social contract theory, state power is as a result of consent of the people and not force or divine rights to rule claim. The process of state organization is as a result of the state of nature which is a pre-condition that birth the need for the institution of the state.
For many years, state power rested in the hands of a sovereign monarchy with a divine right to rule claim. Prominent among the philosophers who came to the support of monarchy was the Englishman Thomas Hobbes in the Leviathan published in the year 1651 during the civil war in Britain.
In an attempt to define the origin of the state, Hobbes started by pointing out the egoism of mankind and the need for self-preservation in justifying the position of the ruler. He believed that legitimate political power comes from the people rather than God.
Thomas Hobbes believed that absolute monarchy was the best form of government, and also the source of royal power should come from the social contract. The idea of the sovereignty was important to Hobbes in period of civil disorder faced in his time. He developed an imagery of social contract that vested power on the sovereign. According to him, human nature is essentially egoistic, nasty, brutish and short. Man is placed in an ill condition, with a possibility to come out of it consisting partly by passion, and partly by his reason. The passion that incline men to peace are fear, death, the desires of such things as necessary to commodious living, and a hope by their industry to obtain them.6 Through all of these desires and sometimes evil thoughts, the people were still rational beings and with reason, they saw the need to surrender their rights to a neutral sovereign to preserve their valued security in a state. To curb the unbridled appetite of the human person, Hobbes postulates the need for an overriding and superior embodiment of political order in the Leviathan. The leviathan is the monarch ruler who has risen above the society. He is not part of, but a beneficiary of the contractual arrangement.
It is interesting how Hobbes advocated for absolute Monarchy while trying to safeguard individual rights of civic peace and protection against injury. He justified Absolutism on the grounds that in a state of nature, where there was no government, human beings would engage in a “war of everyone against everyone’…only a sovereign with absolute power could bring and keep the peace.7 The clause to the power vested on the sovereign ruler is the rights of the people to resist death and the rights to reject a sovereign who no longer offers protection. The democratic ingredients in Hobbes thought is the notion of consent and the protection of human lives as the greatest good. People consent to producing a Leviathan who will guarantee their security. Thus one of Hobbes theories impacted on our liberal thinking of society.
John Locke, his successor and the first of the English liberals, was not so interested in the sovereign or the idea of a power who can do no wrong. He reasoned any political authority should provide law and justice, and not violate the rights of individual which he considers to be of the first importance. Each man he argues has a right to life, liberty and property and governments must not violate these rights. Hobbes transited between a commitment to absolutism and the struggle of liberalism against tyranny, Lock by contrast, signals the clear beginning of the liberal constitionalist tradition. The second treatise of government is John Locke’s most famous work with political importance. To John Locke, man relation in the state of nature was not brutish, the state of nature prior to government was pleasant, a peaceful one but not satisfactory. It is pre-political but not pre-moral as all men are bound by the law of nature which is the basis of morality, and given by God. There was the urge for civil society despite the peaceful state, which occasionally experience clash of interests. Because people are natural, Locke theorized that people saw the need for an agency to dispense justice among them. The individuals saw the need to make a social contract among them, thereby creating a society and removing themselves from the state of nature. Unlike Hobbes distinction of society and government where he placed the king above the individual and society, Locke is saying the government and society is not the same thing. The people created the society through the social contract and then formed the government as an agent of the society. The government is subordinated to the people, and the community could create a new government if the original government fails. He argues for the non-interference of private life by the government, except in the case of clash of interest or use of rights.
He advocated a parliament elected by citizens who owned property, which would be everybody because it is a natural right for everybody to have property. The will of the majority could be used as formula for deciding correct policy, and individual is to accept majority decision even if he does not agree with it, otherwise he could forfeit the protection of the government and go back to the state of nature. John Locke with his writing influenced the trend of eighteenth century Frenchmen like Voltaire and Rousseau, he was also highly influential to the American founding fathers like Benjamin Franklin and Thomas Jefferson who incorporated many of his ideas into the American constitution.
John Locke objected to the Hobbesian argument that individuals can attain peaceful and commodious life if they were governed by the dictate of an indivisible authority. Locke reduced this high price of civic peace in his contract theory. Locke inferred that the contract had a reciprocal character, limiting the sovereign prerogative. Far from taking away all rights, the very purpose of government is to safeguard civil rights. The government is responsible to the people and is charged with protecting everybody’s civil rights. His conception thus enjoyed more press because of its justification on liberal regimes. With Locke, the protection of property rights became central and ironically Hobbes valuable liberal theme tended to go unnoticed, that is, the emphasis on the protection of human lives as the greatest good. It is important to note that the consent of the people means something different in the 20th century like it did in the time of Locke. Locke believes everyone have right to property for that which they mix their labor with. Today, political participation is not only based on possession of private properties, in fact, Bertrand Russell, a modern scholar believes that private property is one of the two great evils of society and that the state should possess power aimed at decreasing economic injustices. Possession of private property and capitalism are unavoidable problems in democracy to Russell. Locke’s delineation that the raisoned’etre of government is the protection of individual rights as laid down by God’s will and as enshrined in law anticipated the whole tradition of protective democracy in the utilitarian thought of Jeremy Bentham and John Stuart Mill. James Mill and his son John Stuart Mill were firm believers in the rights of man and in the doctrine of individual freedom and liberty.
Thomas Hobbes and John Locke are by far the most prominent of the social contract theory, also is Jean-Jacques Rousseau, who delineates a General Will as a consent to government and emphasis on the protection of individual freedom. From his works The Social Contract and another Emile, Rousseau gave the social contract theory a new interpretation. To him social contract is not a historical fact but a hypothetical construction of reason. “Man was born free, and he is everywhere in chains” he states, Man in the state of nature was free, through the renunciation of individual rights and freedom to pursue collective interest, a new ‘person’ is formed. The progress of civilization has substituted subservience to others for that individual freedom. The sovereign is formed when free and equal person come together as a collective body directed towards the common good. The sovereign is however committed to the good of the individuals who constitute it, and each individual is committed to the good of the whole. This reciprocal character is also seen in Locke’s social contract theory. Rousseau reasoned man must be ‘forced to be free’, to conform to the general will without having the liberty not to do so in the interest of the common good. It is only in political participation along democratic principles, man can realize his freedom. This advocated a direct form of democracy which is not feasible in the gesellschaft modern states like the United States, Nigeria, and UK etc. but in small gemeinschaft-like community where individuals relationship are life long and a degree of social bonding exist. Jacques Rousseau delineations however protects the individual freedom and rights in the state owing to the consent of the people to form a General will and live together along democratic principles and practice to realize its freedom. While the individual part with his natural rights, in return he gets civil liberties such as freedom of speech, equality assembly etc.
So far, we have looked at the democratic principle which protects individual freedom theoretically founded on the social contract theory. Rousseau favored peoples sovereignty, John Locke is more democratic than Thomas Hobbes in theory, however Hobbes and Locke, as an advocate of individualism and free market society, did not consider the operation of a market system, and did not anticipate the nature of class cohesion and antagonism that any market is bound to produce. The contract model persisted and drawn under the impact of industrialization. The liberal theory, like the liberal state, remain undemocratic until the 19th century. It is the product of a successfully developing capitalist market society. Liberal market society gave birth to the idea of a liberal democracy, as democracy is considered fit for such developing capitalist society.
We have seen that the state irrespective of its nature is the instrument of the society, and the society is made up of individuals, the state is created to be the servant of the individual man, protecting the freedom and liberty of the individual. However we see the state possessing power that could limit personal liberty. The liberal state laws replaced the use of force, and the state act through these laws. For instance, the state law could infringe on the individual liberty of some members of the society or it could demand compulsion to act in a certain way for the general wellbeing of the society. It is only right to consider how much personal liberty the individual have left. Amatya Sen contends that democracy should be understood, following John Rawls, as the exercise of public reason. Sen infer that this create an opportunity for the citizens to participate in political discussion and so be in a position to influence public choices.8
One of the challenges of liberal democracy is the competitive environment it creates in the society. Liberal democracy which is a child of a liberal state emphasized freedom, a society where individuals could freely develop their potentials in the society and increase the rise of maximization of productivity. Men are seen as necessary competitive and antagonistic rather than as social beings capable of cooperation and solidarity. The practice of liberal democracy is a betrayal of the Athenian direct democracy. Liberal democracy allows individual to elect representatives who represent their views in the parliament. The participation of the people is in every election year. Following the liberal tradition of a competitive struggle, the voters (citizens) are the consumers, while the parties (Their leaders) are the entrepreneur.9 A case resonating with an elitist system, for the competition that is the driving force of the system is between elites. To an elitist theorist, democracy is nothing more than party competition. This is a minimalist approach to democracy, where it does not entail peoples rule, but the peoples vote. The maximalist approach rest on assumption in the pluralist theory that the society was no longer significantly class divided but had become so pluralistic that a political system of parties and pressure groups could fairly easily maintain equilibrium of political supply and demand. Public policy is an outcome of the interaction of all groups who can make claims upon or express interest in that particular issue. The extent to which different group will get their way is a function of the strength of the group and intensity of their participation.10 Robert Dahl termed it Polyarchy in his A Preface to Democratic Theory. The maximalist approach emphasizes competitive politics, political participation of citizen in free and fair elections and civil liberty that enables citizens’ freedom of expression without fear of punishment. Such elitist-pluralist-equilibrium democracy as termed by McPherson, portrays the fact that democratic processes converted into a market like process and this is the very nature of western democracies.11 Liberal democracy values pluralism, multi-party system including free and fair competitive politics. Representation having been drawn into liberal democracy is supported by J.S Mill in his Consideration on Representative Government where he believes a representative system is the ideal polity in modern conditions. With a representative democratic system, the people exercise through deputies, periodically elected by themselves the controlling power. This system along with freedom of speech, the press and assembly, is believed to have distinct advantages and can secure control of power as it establishes forum to act as watchdog of liberty and secure control of reason and harness through electoral competition, leadership qualities with intellect for the maximum benefit of all.12 The liberal theory of individualism is enshrined in democratic state by the will of the majority. The will of the majority determines the policies of the state, and same will rules on the manner in which these policies are carried out.
Conclusion
This article has attempt to draw from the social contract theory of Thomas Hobbes, John Locke and Jean Jacques Rousseau the liberal attitude that founded liberal democracy. As a short piece it has centered its focus on the protection of individual liberty in the state by looking at the distinct nature of the society and state. The need to do this is to safeguard individual freedom, as we have seen that the state serves the interest of the society in maintaining social order. We have also examine the challenges of liberal democracy in maintaining this core principles of liberalism, a child of a competitive market system that juxtapose the need for individual political freedom and a practice of representative form of government that advances a majoritarian model of democracy simply to secure the will of the people while promising to maintain and safeguard civil and political liberties. This in turn enable citizens to express themselves without fear of punishment. Democracy irrespective of its challenges in modern practice is founded on the liberal attitude of individual freedom and protection of the people against tyranny. The place of public opinion is also important as it is the instrument to actualize the will of the people. The government is obliged to respect public opinion because any tyrannical state that does not uphold the will of the people is met with harsh criticism. To manage the process of democratization and expectation of the people, government need to ensure a “social contract” with their people that provide the government the legitimacy to govern and enforce law that will benefits the modern state. The people which comprises of the individual have the power to limit unfavorable state policy through representation, exercise of public opinion and periodic election as obtained in Liberal a democracy.
REFERENCES
1A. Appadorai, The substance of Politics, (New Delhi: Oxford University Press, 2000) p.13.
2Michael, Curtis, The Great Political Theories Vol. 1 (New York: Avon Books, 1981) p.24-25.
3Ibid. p.30.
4David Held, Models of Democracy 3rd ed. (London: Cambridge Polity Press, 2006) p.1.
5Baradat Leon, Political Ideologies 7th ed, (New Jersey: Prentice Hall, 2000), p.69.
6Mitchell Cohen and Nicole Fermon, Princeton Readings in Political Thought: Essential Text since Plato. (New Jersey: Princeton, 1996), p.210.
7Ibid.p.205.
8David Crocker, Tolerance and Deliberative Democracy paper given at the fourth conference of Human Development and Capability Association, Pavia, Italy Sep. 5-7 2004
9Joseph Schumpeter, Capitalism, Socialism and Democracy (London: Allen and Unwin, 1943), p.270.
10O.P. Gauba, An introduction to Political Theory 4th ed. (New Delhi: Rajiv Beri Publisher, 2003), p.443.
11Macpherson C.B, The False roots of Western Democracies, in From contract to community: Political Theory at the crossroads, Fred R. Dallmayr (ed.) (New York: Marcel Dekker Inc. 1978), pp.24-26.
12J.S Mill, Consideration on Representative Government in H.B Acton Utilitarianism, Liberty and Representative Government (London: Dent, 1951), pp. 195, 239-40.