There are a wide range of arguments for what makes a state legitimate, or what confers authority on a state in such a way as to create a duty to obey. There is one class of argument I’ve always found unsatisfying, and recently while pondering it I realized why it always seemed to fall short in my mind.
The argument I have in mind is found in the work of thinkers like Thomas Christiano, author of The Rule of the Many: Fundamental Issues of Democratic Theory. Christiano argues that democracy confers authority on the government because of an obligation to treat members of our society as equal and show them proper respect. As Christiano sees it, when a law is democratically passed with the support of the majority, to disobey that law would be to place your own judgment above the judgment of your fellow citizens. This would mean treating those fellow citizens as inferiors, which would be wrong to do. Therefore, there is an obligation to follow democratically passed laws.
There are a number of reasons to be suspicious of this argument. Why should we believe there is some moral obligation to defer to the judgment of others if that judgment happens to be more popular than your own? And even more so, what would make this obligation an enforceable obligation – one that can be compelled through coercion? If you go back a few decades, the majority of Americans disapproved of interracial marriage. Nonetheless, some people married across race anyway. Those who did so clearly believed (correctly!) that their judgment on that issue was better than the majority of their fellow citizens. It seems obviously false to say that in doing this, they did something wrong by believing they had better judgment than the majority, let alone impermissibly wrong in a way that makes coercion acceptable.
But there is a more fundamental reason I find this line of thought unpersuasive. Missing from arguments like this is an idea that is much more emphasized in the classical liberal and libertarian tradition – the idea of reciprocity.
I think the heightened libertarian focus on reciprocity is why libertarians are so disproportionately likely to cite the work of Ronald Coase. It’s not that Coase’s work is somehow uniquely conducive to libertarian policy – you can’t start with the Coase Theorem and take a straight line from there to anarcho-capitalism. But Coase pointed out that economists had been conceptualizing externalities in the wrong way. Prior economic analysis treated externalities as a one-way imposition of costs. But Coase pointed out that externalities are reciprocal – the imposition goes both ways, between both parties. (This conclusion was also independently reached by the fictional physicist Sheldon Cooper!) Because of this, attempting to correct for externalities by saying “we should impose taxes on the party creating the externality” doesn’t get off the ground.
Christiano’s argument suffers from this same lack of reciprocity. Even assuming that placing one’s judgment above the judgment of others is an impermissible wrong, the situation is still reciprocal. If my fellow citizens say I must do as they have decided because if I don’t, I’m treating my judgment as superior to theirs and treating them wrongly, I can equally say that by trying to compel me to do as they’ve decided, they’re placing their judgment above my own, placing me as an inferior and treating me wrongly. The situation is reciprocal. And by treating the alleged “wrongness” of valuing one’s own judgment over the judgment of others in this non-reciprocal way, Christiano’s theory only treats people equally in a “some animals are more equal than others” doublespeak way.
I previously argued Yoram Hazony’s concern that an unyielding commitment to free trade can undermine the bonds of mutual loyalty on which a nation depends suffers from the same flaw. I gave a hypothetical example of being faced with the choice between buying inexpensive lumber from a Canadian named Carl, or paying more for the same lumber from a fellow American named Walter:
One of the best recent works of libertarian political philosophy (in my never to be humble opinion), Governing Least by Dan Moller, makes a similar point about treating the impermissibility of certain actions in a reciprocal fashion:
Moller argues that “if we recognize even modest strictures on making others worse off to improve our lot” – and if we apply those strictures in a reciprocal and equal manner among citizens – then “we quickly run into a form of libertarianism.”
Of course, these are not the only theories of political authority out there. But I do find it striking that so many theories of political authority, like those grounded in mutual loyalty and showing proper respect for the judgement of others, have to assume away – or ignore – the issues of reciprocity those principles seem to carry.
READER COMMENTS
David Seltzer
May 30 2024 at 3:28pm
Kevin: Good stuff as usual. It seems reciprocity is not always equal in application because people are possessed of varying individual utilities and abilities. Reciprocity is preferred to majority rule because the majority has picked winners and losers. Anthony de Jasay’s “The State” addresses the nature of this phenomenon. Personal note: I’ve incurred that rath of former friends by stating “I’m not duty-bound to provide for anyone, save for family.” That doesn’t mean I can’t be charitable. If virtue exists, it is because one voluntarily chooses to be charitable.
steve
May 30 2024 at 3:40pm
A lot of this depends upon the actions of the courts. If they really worked like libertarians hoped then these claims would make sense. However, as I believe Coast criticized the economists of his age of not knowing how things really work, modern economists seem unaware of how our courts really work. The win usually goes to the best lawyer or those with the best connections to the judge. At higher levels of law judges are just politicians in robes ruling based upon their biases. Ultimately courts are just another part of government, but favoring those who can afford the best lawyers.
Steve
Jon Murphy
May 30 2024 at 4:51pm
I think you’ll find that economists actually study the behavior of judges and juries quite seriously. Indeed, we have a whole field of study dedicated to it (Law & Economics), several major journals (Journal of Law & Economics, Journal of Legal Studies, Law, Economics, and Organization, just to name a few).
Turns out that incentives and institutions matter for judges, too. Some institutions are better for fostering discovery and justice than others. The Anglo-American legal system is one of the best in the world because our institutions produce just results. Is it perfect? Of course not. But our courts are quite unbiased when compared to the rest of the world.
A good book to start which documents a lot of the findings on how judges and juries operate is Judge and Jury: American Tort Law on Trial by Eric Helland and Alex Tabarrok. They show how some institutions can affect judges’ behaviors in negative ways and others improve judicial behavior.
steve
May 30 2024 at 6:28pm
Will see if I can find it cheap, but I am really not hopeful. Having read many individual pieces on this I always come away thinking that academic economists have never run a business. The issue with using courts to resolve issues like externalities starts well before a case comes close to going to court. The inability to pay for a lawyer or the ability for one counter party to pay much more stops some cases from ever going to court or other cases going to court that should never have gone. Plus, while our system might be better than many that doesnt mean it’s not pretty flawed.
Steve
Jon Murphy
May 30 2024 at 6:57pm
Sure. But my point is your dramatic characterization of courts is factually flawed. It depends on the insitutional structures.
By the way, I do agree with you about using courts (or the political system in general) to resolve externalities. It’s a major main reason why I oppose such things as carbon taxes. Indeed, we already have so many laws (not legislation) and social rules that deals with externalities without the need for courts and legislatures. In fact, I just read a great article that was just published in Public Choice about how there are these systems people have used to solve the externality problem of pollution without the need to rely on courts or legislatures.
john hare
May 30 2024 at 5:32pm
Presumably, Hazony thinks there is an obligation rooted in loyalty to buy from Walter over Carl, but it’s not clear why. After all, what Hazony invokes so often is the idea of mutual loyalty – and the thing about mutual loyalty is that it’s mutual. The obligation goes in both directions. So why would we say I’m failing to show Walter proper loyalty by buying from Carl? Why not say Walter would be failing to show proper loyalty to me, by insisting I buy from him despite the huge additional financial burden it would impose on me? Simply saying “mutual loyalty” does nothing to resolve this.
I think a step is missing here. If I buy the lumber from Walter at a much higher price, I am showing disloyalty to Sam when I’m building his house at a higher price than necessary.
Kevin Corcoran
May 30 2024 at 5:46pm
In my initial thought experiment, I was buying the lumber to build a house for myself, not to build a house to sell to Sam:
Of course, that idea that I’d build a house for myself makes this a pretty unrealistic thought experiment – I have the handyman skills of a deformed mollusk that’s under the effects of anesthesia. But still, your point is true enough if I was a home building professional that was selling to Sam.
But there is also a further step I made in my thought experiment as well:
By buying lumber from Carl, I could have both a new house and a nicely landscaped yard, the latter of which would also create a more pleasant environment for my neighbors. But if I buy from Walter, I get only the new house but no nicely landscaped yard. Buying the more expensive lumber from Walter costs me, and the community, a nicely landscaped yard.
Mactoul
May 31 2024 at 12:36am
If one starts with inadequate premises, the conclusion is bound to be unsatisfactory. Which is the case with all social contract type of theories that seek to ground the legitimacy of the state in individual sovereignty.
A better premise is that the state is irreducible level of human organization. It is not derivable from individuals. But a particular state can lose its legitimacy as the British state did in American colonies for reasons stated in the Declaration of independence.
Thus a state can lose its legitimacy if it behaves in an unjust manner.
Dylan
May 31 2024 at 6:59am
Good piece, Kevin. I agree with you that the Christiano argument is unpersuasive on many levels. However, I want to tackle the idea of reciprocity in externalities.
I agree with Coase that there is a reciprocal element to externalities, but I think this conflicts with strongly held moral intuitions in many cases. Take the classic externality of the polluting factory, the idea that I should pay to stop the factory from polluting (or pay to mitigate my exposure) just feels wrong on a fundamental level, even if that solution would win on efficiency grounds. I think this moral rejection of reciprocity is one of the transaction costs and perhaps a reason why examples of Coasean bargaining are so rare, even in situations that appear amenable to this approach.
One personal example; for a number of years we had a neighbor that liked to play music extremely loud for hours a day. While she was doing this, enjoyment of our space was pretty much impossible. You couldn’t sleep, watch TV, have a phone conversation, even reading was difficult. It was honestly quite traumatic. After all the normal steps of trying to talk with her directly about it, going through building management, calling the cops, etc. didn’t work, I tried Coasean bargaining. Two options, one buying her a really nice pair of audiophile headphones, and 2) the even more expensive version of offering to pay to soundproof her apartment. This was an incredible struggle to get my wife to agree to, the idea that we should have to pay anything to stop someone from “being evil” was completely repugnant. But eventually, after several sleepless nights, I got her to agree to try. And the result…complete rejection from the neighbor. Because she had the reaction that of course it was her right to be able to play music in her apartment, and the idea that she should have to do anything at all, even if we were paying for it, to change her behavior was offensive from where she was sitting. If anything, the fact that we were offering to pay for it came over worse than when we had just asked her neighborly to please turn it down.
The story eventually had a happy ending, when the neighbor almost burned the building down and was finally kicked out. But it did leave me fairly skeptical of the effectiveness of Coasean bargaining in real world situations.
Kevin Corcoran
May 31 2024 at 10:39am
Hey Dylan –
You’re right that Coasean bargaining is not a panacea to the issue of externalities. And Coase himself made that point – Coasean bargaining works best in cases where property rights are clearly defined and enforced, and when affected parties face low transaction costs for negotiation. That’s partly what I had in mind when I said you can’t go from Coase’s work straight to anarcho-capitalism. The Coase theorem, properly understood, does not entail that all disputes over externalities can be settled through direct negotiation. It can work out that way in particular circumstances, but in other cases it doesn’t.
In cases like the one you describe, I usually find that private organizations have rules to settle those issues. Most homeowners associations and apartment buildings (at least all the ones I’ve ever encountered!) have explicit rules about noise and quiet hours. I’m surprised your apartment building didn’t have such a rule in place – or maybe they were just really lax about enforcing it?
Your comment that a “moral rejection of reciprocity” in particular cases is “one of the transaction costs” was also reflected in the commentary in The Big Bang Theory I referenced when Penny and Sheldon had the following discussion:
What I didn’t initially mention is that Penny offers a moral claim for why reciprocity doesn’t hold in this case – one that Sheldon (perhaps dedicated to a value-neutral evaluation of the situation!) immediately rejects:
I may or may not do a follow-up post with thoughts of my own about how to think about the issue of reciprocity that touches on all of this.
Richard W Fulmer
May 31 2024 at 10:41am
Philosopher David Schmidtz posed the following thought experiment:
Imagine that you’re driving through a small town, and you get pulled over by a police officer for driving through a green light. The officer explains that, in this town, people take social justice seriously, and they’ve realized that traffic lights are unfair.
Someone having to wait for a red light to change may have a far more urgent need to get through the intersection than the people sailing through on green. The townspeople have therefore decided that everyone must stop at every traffic light regardless of the color and compare their needs. The person that everyone agrees has with the most urgent need will go through the intersection first.
Schmidtz, while admitting that traffic lights are arbitrary and, therefore, unjust in some cosmic sense, observed that the lights speed traffic flow for everyone. Having to stop at every light and discuss who should go first would make travel slower for everyone, including those with the greatest need.
But suppose that I, understanding that traffic lights are cosmically unjust, refuse to stop on the red. I know that my needs outweigh everyone else’s on the road and that my judgment on the issue is better than that of the majority of my fellow citizens.
My opinion may be right, as in the example of miscegenation laws that Dr. Corcoran cites, or it may be wrong as in the case of the traffic lights. What’s a libertarian to do? I suggest that he should follow his conscience but be prepared to pay the consequences for doing so. That said, the costs and benefits should be weighed. Is the benefit of defying miscegenation laws worth the potential cost? Probably. Is the benefit of defying traffic laws worth the cost? Probably not.
Dylan
May 31 2024 at 11:56am
Thanks for the thoughtful reply and the fuller quote from the BBT. Not a show that I watched regularly, so the extra context was enlightening and truly a pretty good example of what I was thinking.
In my neighbor example, there are two factors, both caused by regulation, that could make the standard private solution less effective. 1) I live in NYC where it is quite difficult to kick out a tenant for almost any reason, and 2) my apartment is rent controlled while the neighbor was paying market rate rents, so the landlord had more incentive to take the neighbors side over mine.
Surprisingly, I think point 2 was less of a factor than point 1. The landlord did send out repeated notifications to keep it quiet between certain hours and apparently really did want to get rid of our neighbor, but I think their hands were somewhat tied. As soon as she almost burned down the building, they were able to get rid of her very quickly. Of course, they replaced her with some people that ran an S&M ‘dungeon’ in the apartment, but that’s another story…
Roger McKinney
May 31 2024 at 12:28pm
That’s why our founders feared democracy more than monarchy and why they created a republic. The Constitution severely limits what the majority can impose, but only of judges are honest in interpretation.
Mactoul
May 31 2024 at 10:10pm
Was pure democracy ever advocated anywhere?
Even French Revolution didn’t set up a pure democracy.
But a republic with very loose franchise, such as prevailing now, is tending pretty close to pure democracy.
Joe Levin
May 31 2024 at 9:32pm
Reading this, and it is well put, along with the comments I am struck how The Golden Rule is has not been mentioned. The Golden Rule puts reciprocity at the center of a moral framework but in this context it has not been mentioned. I raise this because while I follow the logic associating libertarian thinking with reciprocity this suggests to me a correlation of libertarian moral and some traditional conservative/religious views that I had not before perceived.
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