7.1 Introduction
Kant is often read as being committed to the idea that morality is within our control, which leads him to develop an ethical theory in which there is no room for moral luck.Footnote 1 Luck is supposedly excluded by focusing on the maxims of our actions rather than on their consequences. Whereas consequences are subject to luck and depend on factors that are beyond our control, our maxims are considered to be entirely up to us. Kant’s political and legal philosophy, by contrast, is taken to be concerned with external actions, in particular with their effects on the freedom of others, and thus seems to be far from immune to luck.
From this perspective a significant chasm opens up between ethics and right. The former seems to be an internal domain that is immune to luck due to focusing on the agent’s maxims. The latter seems to be an external domain that is susceptible to luck due to focusing on consequences.Footnote 2 If ethics and right were to differ in this way, then it would be hard to see how right could be derived from ethics and how both of them could be integrated into a unified theory based on a single supreme principle. Moreover, it would be difficult to motivate such an asymmetric treatment of luck in these two domains, since the considerations that make susceptibility to luck problematic at the level of morality would seem to carry over to the level of legality. After all, it is rather strange to claim that moral luck needs to be rejected on the grounds that it is objectionable if an agent can be blamed for things that are outside his control, yet at the same time claim that legal luck is unobjectionable even though it implies that an agent can be coerced or punished for things that are not up to him.
This chapter argues that the role of luck in Kant’s practical philosophy needs to be reconceived and that considerations of luck do not stand in the way of a unification of ethics and right. Section 7.2 argues that morality and legality do not differ in terms of resultant luck. Legality, like morality, is based on maxims, so that neither is susceptible to resultant luck. Otherwise, it would neither be possible to account for the way in which the good will ensures non-accidental rightness (Section 7.2.1), nor for the way in which legality can be ensured by means of legal sanctions (Section 7.2.2). Though imputation is subject to resultant luck, this applies equally to juridical and ethical imputation (Section 7.2.3). Section 7.3 argues that the moral worth of our actions is susceptible to constitutive and circumstantial luck (Section 7.3.1) and that a state that effectively enforces justice excludes morally worthy behaviour (Section 7.3.2). By demonstrating that there is no duty to act out of duty, it shows that this does not generate a conflict between ethics and right (Section 7.3.3). Finally, by establishing that a bad will can act out of duty, it shows that the moral worth of actions, unlike the moral worth of the agent, is merely derivative and does not add anything to the value of the world, so that this type of moral luck is innocuous (Section 7.3.4).
7.2 Maxims, Consequences, and Luck
The contrast between morality and legality is not a distinction between internal maxims and external actions. What is at issue in both cases is actions, where these are individuated and evaluated in terms of their maxims. The universal principle of right, like the categorical imperative, is concerned with maxims. It states that actions are right only if their maxims are such that ‘the freedom of choice of each can coexist with everyone’s freedom according to a universal law’ (RL 6:230).Footnote 3 The legality of an action is entirely a function of its maxim, not of its consequences. Accordingly, no gap opens up between the maxim and the legality of the action. Legality, like morality, is thus immune to resultant luck.
The difference between an action that is moral and a corresponding action that is merely legal lies, not in the form of their maxims (since they are both universalizable), but in the incentive that is motivating the agent to perform the action in question. Legality, in particular, is less demanding than morality since it abstracts from incentives and only requires universalizability of the maxim. The morality of an action, by contrast, requires the action to have respect for the law as its incentive.
7.2.1 Non-accidental Rightness
The fact that legality is based on maxims rather than consequences and thus not susceptible to resultant luck makes it possible for a good will to ensure non-accidental rightness. Having a good will, which consists in adopting a fundamental maxim that subordinates self-love to duty, ensures that only universalizable maxims will be adopted and that impermissible maxims put forward by instrumental reasoning will be rejected, since the adoption of the maxims on which one acts proceeds on the basis of one’s fundamental maxim (cf. RGV 6:36). The actions of an agent who has a good will are thereby guaranteed to be right, namely to accord with duty.Footnote 4
The legality of the actions of a person with a bad will, by contrast, is a matter of constitutive and circumstantial luck.Footnote 5 Conformity with duty is then accidental. This is not to be understood in terms of one and the same action being legal or illegal depending on luck, but rather in terms of a bad person performing a legal action or an illegal action depending on luck.
Whether a person with a bad will acts in conformity with duty or not depends on circumstances beyond his control. This is because free choice applies in the first place to the agent’s Gesinnung. One freely chooses one’s fundamental maxim. Non-fundamental maxims are then adopted on the basis of this Gesinnung. Non-fundamental maxims cannot be arbitrarily made up and are not selected at will but are a function of the agent’s fundamental maxim and the context in which the agent finds himself.Footnote 6 This allows luck to come in at the level of the adoption of non-fundamental maxims.
When holding the bad will fixed but varying the context, one can end up with permissible as well as impermissible actions. Two people who do not differ in terms of having a bad will can nevertheless differ insofar as the actions of the one are permissible while those of the other are impermissible. This difference is not due to those agents having made different choices at the level of their fundamental maxims, given that both of them have a bad will, but due to factors that can be a matter of luck, such as the circumstances in which the agents find themselves, which can in part determine the non-fundamental maxims that instrumental reasoning will put forward and that will be adopted in accordance with their fundamental maxim independently of their permissibility.Footnote 7
The non-accidental rightness that results from a good will goes hand in hand with the accidental rightness that results from a bad will. Moral luck in the form of accidental rightness in the case of a bad will is a corollary of the absence of moral luck due to the non-accidental rightness in the case of a good will. This means that a form of moral luck is at the centre of Kant’s ethical theory.
7.2.2 Coercing Legality
The fact that legality is based on maxims is required to make it possible to enforce legality coercively. Legality can be ensured by external coercion. This is particularly clear in the case of juridical duties, where it is not only possible but also permissible to use coercion to ensure compliance with the law. When the state reliably threatens sufficiently severe punishment, the incentive for complying with juridical laws will be sufficiently strong to outweigh other incentives of self-love. Morality, by contrast, cannot be coerced. This difference arises because legality is compatible with acting on a heteronomous principle and allows for sensible incentives that can be provided by coercion, whereas morality presupposes acting on an autonomous principle and has to be based on the incentive of respect.
Coercion can affect the agent’s choice of maxim. By suitably changing the incentive structure that the agent is facing, one can determine which action will be prudentially optimal and will be supported by instrumental reasoning.Footnote 8 This enables legal sanctions to ensure legality. The threat of sufficient punishment makes it the case that duty and self-interest align. In particular, it ensures that the omission of illegal actions will be prudentially rational. An agent who acts on the basis of self-love will perform the very same action that a person motivated by duty would choose. Such agents perform the same action but are motivated by different incentives. In this way coercion can ensure compliance with the law: no matter whether one has a good will or a bad will, one will act in conformity with the law. One is thus guaranteed to act according to duty even if one might not do so out of duty.Footnote 9
One can only coerce actions but not consequences. One can coerce someone to act one way rather than another way, in particular to act in a way that conforms to the laws rather than in a way that contravenes them.Footnote 10 However, coercion cannot ensure consequences, since there is a gap between actions and consequences where luck can intervene. Which consequences follow from coerced actions is a matter of luck just as much as which consequences follow from non-coerced actions. Since legality can be coerced and since coercion can only ensure that someone acts in a certain way, not that they bring about certain effects (given that there is a luck-susceptible gap between action and effect), legality only consists in the agent acting in conformity with the law, not in terms of the agent bringing about certain effects. Legality is thus a matter not of consequences but of actions and is hence immune to resultant luck. Accordingly, there is no difference between morality and legality with regard to resultant luck.
7.2.3 Imputation
Though consequences do not affect the legality of an action, they are nevertheless important for juridical imputation. Since actual, as opposed to intended or expected, consequences are imputed there is room for resultant luck.Footnote 11 Luck can affect which consequences result from an action and can accordingly affect which effects can be imputed to an agent. While the details of Kant’s theory of imputation are intricate and interesting, two points are important for the topic at hand.Footnote 12
First, imputation is not restricted to juridical imputation but also encompasses ethical imputation (cf. V-Mo/Collins, 27:290). Both domains allow for imputation of consequences that is susceptible to resultant luck. In the same way that there can be resultant luck in the case of juridical imputation, there can likewise be resultant luck in the case of ethical imputation. This implies that there are no differences between ethics and right as regards the possibility of resultant luck at the level of imputation.
Second, although there is room for resultant luck, it is possible for the agent to avoid the imputation of bad consequences. Since it is only in the case of impermissible actions that bad consequences can be imputed to the agent (cf. RL 6:228), it is possible for the agent to render himself immune to bad luck, given that it is always possible for the agent to act permissibly. The agent can avoid being in a situation in which something that is not under his control can have a negative effect on what can be imputed to him. More generally, if luck comes in, then it is because the agent has acted in such a way as to make himself susceptible to luck. Since no imputation takes place either in the case of obligatory actions or in the case of merely permissible actions, it is completely within the agent’s control whether to make room for luck or not.
7.3 Moral Worth and Luck
There is no room for moral luck at the level of the good will. Since the good will is unconditionally good, it is good independently of which effects it brings about. This implies that its goodness is immune to resultant luck. Moreover, the choice whether to have a good will by giving priority to duty over self-love, or a bad will by adopting the inverted priority ordering, is a transcendentally free choice that is not in any way determined or influenced by empirical factors.Footnote 13 This choice is, accordingly, immune to constitutive and circumstantial luck. The agent’s Gesinnung, which makes up his worth, is entirely up to that agent.
7.3.1 Accidental Moral Worth
Whereas the moral worth of the agent is immune to luck, the moral worth of actions is susceptible to luck, even when one has a good will. Someone who has a good will is guaranteed to act according to duty. Such a person, however, is not guaranteed to act out of duty. Whether someone with a good will acts out of duty is a matter of luck. Having a good will, though necessary, is not sufficient for our actions to have moral worth. Non-accidental legality goes together with accidental morality. The moral worth of our actions is susceptible to circumstantial and constitutive luck. Instead of morality being immune to luck and legality being susceptible to luck, the opposite is true.
A good will guarantees legality by only adopting universalizable maxims. Morality, however, cannot be guaranteed in this way, since morality, unlike legality, is not determined solely by maxims. Maxims by themselves do not suffice for morality. Something more is needed in order for the action to have moral worth, namely an ethical incentive in the form of respect for the law that is incorporated into the maxim.Footnote 14 One needs to act on a universalizable maxim out of respect for the law in order for the action to have moral worth.
Whether this ethical incentive is available for incorporation in a given situation, however, is a matter of luck. This is because one can act out of respect for the law only when the maxim put forward by instrumental reasoning is impermissible. Moral rules are practical rules of exception.Footnote 15 Morality only comes in when rejecting or limiting impermissible maxims put forward by instrumental reasoning. As long as instrumental reasoning puts forward permissible maxims, morality does not even come in. Accordingly, one can act out of duty only in case of a conflict between morality and prudence, given that only then is there a practical rule of exception that can incorporate respect for the law as an ethical incentive.
When acting permissibly and even when acting in a way that is obligatory, it is not the case that there is one practical rule into which one can either incorporate the incentive of duty or the incentive of self-love. Although duty and self-love can enjoin the same action, practical rules of exception have a different logical form from their corresponding practical rules of commission and omission. For instance, whereas prudence would tell one to do phi, morality would require one to omit non-phi. Respect for the law can only be incorporated into practical rules of exception and such rules are available for adoption only when the practical rules proposed by prudence are impermissible such that exceptions need to be made. This means that in the absence of a conflict between morality and prudence it is not only the case that the moral incentive is not available, since respect requires morality to strike down self-conceit, but also that the relevant practical rule of exception that is generated by limiting or rejecting an impermissible practical rule will not be available.
Whether there is a conflict between morality and prudence in a given situation depends on factors that are beyond the agent’s control, thus rendering it a matter of luck whether the agent can act in a way that has moral worth. Which maxims are put forward by instrumental reasoning is not entirely up to the agent. Whereas the agent’s fundamental maxim is freely chosen and immune to luck, the adoption of non-fundamental maxims is susceptible to circumstantial and constitutive luck. Which maxims are put forward depends on the inclinations and abilities of the agent and the circumstances in which he is acting. These factors together determine which maxims will be proposed by instrumental reasoning and will then be adopted or rejected in light of the agent’s fundamental maxim. Since the agent’s inclinations and abilities are partly a function of luck and since the circumstances in which the agent finds himself are likewise partly a function of luck, the moral worth of actions is susceptible to both constitutive and circumstantial luck.
The required conflict between morality and prudence does not imply that there cannot be concurrent inclinations when acting out of duty. An agent can do something from duty while at the same time having a desire to perform that action. There is no need to have an aversion to the action in question. What is required instead is that the practical rule put forward by instrumental reasoning is not universalizable, since only then does pure practical reason kick in and become operative. For that to be the case, the concurrent inclinations need to be outweighed by other inclinations that suggest a different course of action. Instead of an aversion to the action that is performed out of duty, one needs a prudential preference for an impermissible alternative. The action needs to be rejected comparatively rather than absolutely. One can enjoy doing the action that one performs out of duty as long as one would have enjoyed even more an impermissible alternative that one is setting aside due to one’s commitment to morality. The conflict between prudence and morality is to be found at the level of maxims: one can have concurrent inclinations but not concurrent maxims.Footnote 16
7.3.2 Justice Excludes Virtue
Performing an action that has moral worth is only possible when instrumental reasoning puts forward a non-universalizable maxim that can then be rejected by pure practical reason. Whether instrumental reasoning does put forward such a maxim depends on the context in which the agent finds himself. This means that external circumstances can render virtuous behaviour impossible, that is, they can render it impossible to act out of duty. Interestingly, the mechanism by means of which the state can coerce legality is such as to exclude virtuous behaviour. The state precludes morality when it successfully coerces legality by using coercion to ensure that self-interest and duty align.
If the threatened punishment in case of violations of the law is both sufficiently strong and sufficiently assured, then instrumental reasoning will only put forward permissible maxims. Violating the laws will then never be in the agent’s own interest. No conflict will arise between the maxims suggested by self-love and the demands of pure practical reason. A conflict, however, is necessary for acting in a way that has moral worth, since this requires rejecting or limiting impermissible maxims. When all maxims that are put forward by instrumental reasoning are permissible, then no exceptions need to be made, such that the possibility of acting out of duty does not even arise. When acting contrary to duty is not an option for prudence, then it is not possible to act against prudence and choose something over it. The agent’s actions, accordingly, will always be in conformity with duty but will lack moral worth due to being motivated by self-love rather than by the motive of duty.
A state guaranteeing complete assurance through sufficiently severe and likely punishment will, accordingly, preclude morality with respect to all juridical duties. There is thus an important sense in which justice excludes virtuous behaviour. The effective enforcement of rights that is constitutive of justice excludes the manifestation of virtue by ruling out actions that have moral worth. Since juridical duties are a subset of duties, there is still room for the manifestation of virtue in a just state, namely with respect to non-enforceable duties (most notably imperfect duties, such as the duty of beneficence, but also perfect duties to oneself), yet compliance with juridical laws will in all cases lack moral worth.
The claim that justice excludes virtuous behaviour holds not only for worldly justice but also for divine justice, which establishes a necessary connection between virtue and happiness. If one were to know that God exists, then one would never be able to act out of duty (cf. KpV 5:146–8).Footnote 17 Since actions contrary to the law would be punished, all maxims proposed by instrumental reasoning would then accord with duty. The problem here is not that the inclination to avoid divine punishment is too strong for morality to outweigh it, but rather that morality never comes in when prudence is guaranteed to result in legality. Divine punishment (and reward) would make conformity with duty the only instrumentally rational course of action. Morality would then not have to limit instrumental reasoning. All limitations would already be internalized at the level of prudence. Pure practical reason would play no role in shaping the agent’s maxims, given that no proposals put forward by prudence would have to be rejected or limited. This would preclude pure practical reason from ever striking down self-conceit and requiring one to make exceptions to prudential reasoning. Respect for the law would never be operative as an incentive.
Though virtue would not manifest itself and actions would not have moral worth, this does not imply that one cannot have a good will in such a situation. The fact that a person’s actions lack moral worth does not mean that the person does not have a good will and that the person’s will lacks moral worth. The good will can be latent and need not manifest itself in action in order to have its worth.Footnote 18 The unconditional goodness of the good will is not only independent of the consequences that one brings about but also independent of whether it manifests itself.
An agent in such a situation could either have a good or a bad Gesinnung. This, however, would not lead to any differences at the level of the choice of non-fundamental maxims. The agent would act in the same way independently of whether he had a good will or a bad will, given that instrumental reasoning only puts forward permissible maxims.Footnote 19 The distinctive effects of a good will, namely that such an agent would omit impermissible actions and perform obligatory actions out of duty, would then not be found in the actual world but would be entirely counterfactual. Since one would be guaranteed to do one’s duty independently of whether one had a good will or not, the good will would become dispensable as far as doing one’s duty is concerned.
Correspondingly, excepting the choice of the fundamental maxim, such an agent would not be able to rise to the level of positive freedom. Indeed, in a sense even negative freedom would drop out, which is why Kant says that actions would become mechanical (cf. KpV 5:147). This is because the issue of acting contrary to inclinations would never arise, such that the agent would never have alternatives amongst which Willkür could choose.
7.3.3 Duty and Moral Worth
The enforcement of rights by a just state precludes prudence from coming into conflict with morality. It thereby makes it impossible for someone to act out of duty and perform morally worthy actions when fulfilling juridical duties. In a state that effectively enforces justice, no one will perform a juridical duty out of duty. Justice in this way excludes virtuous behaviour.
This might seem to generate a deep-seated conflict between ethics and right. Ethics seems to require virtuous behaviour, yet justice rules out such behaviour. If we are required, from the point of view of ethics, to engage in virtuous behaviour and perform actions having moral worth (as opposed to merely acting in accordance with duty), then ethics and right are in conflict. In that case, ethics requires that we act out of duty, yet right requires the establishment of a rightful condition in which fulfilling our juridical duties out of duty is not possible, given that the state makes it prudentially irrational to act contrary to these duties. Ethics then requires something that cannot be realized in a rightful condition.
This apparent conflict between ethics and right can be avoided, since there is no duty to act out of duty. It cannot be the case that acting out of duty is what one’s duty consists in, that is, that one fails to do one’s duty unless one acts out of duty. First, respect for the law motivates one to do what duty requires, so that what one’s duty consists in has to be specified independently of the incentive that motivates one to act in this way. Second, if one’s duty were to consist in acting out of duty, then this would imply that one would act contrary to duty if one were to act merely according to duty, which would be incompatible with the existence of both imperfect duties and actions that accord with duty without being performed out of duty.
Nor can there be a separate duty to act out of duty. First, if it were a perfect duty to act out of duty, then merely acting according to duty would be impossible, so that there would again be no permissible behaviour not motivated by duty, since one would be violating the second-order duty whenever one would be acting according to but not out of the first-order duty. Second, the very idea of it being a duty to act out of duty would seem to be confused, since it presupposes that the incorporation of incentives is itself an action that is based on maxims that are subject to the categorical imperative. This is misguided since incentives are incorporated on the basis of the Gesinnung, which has a different status from ordinary maxims.Footnote 20
There is no need to act out of duty, except when doing so is necessary for acting according to duty.Footnote 21 Only when morality and prudence conflict, such that one has to set prudence aside and act on the basis of respect for the law if one is to act permissibly, does one have to act out of duty. In that case merely acting according to duty is not an option. The only situations in which acting out of duty is possible, namely when there is a conflict between morality and prudence, are also the only situations in which acting out of duty is required. Yet even then one ought to act out of duty not because doing so has moral worth but because doing so is necessary for acting according to duty.Footnote 22
The categorical imperative requires us to act on universalizable maxims, but it does not require that we do so out of duty. Our maxims have to be universalizable but they do not have to be motivated by respect for the law. We need to see to it that we do our duty, but there is no need to do our duty out of duty. A rightful condition in which compliance with laws is guaranteed by the threat of punishment and in which the fulfilment of juridical duties lacks moral worth is thus unproblematic from the perspective of morality.
7.3.4 Signatory Value
The moral worth of our actions is susceptible to luck. The possibility of performing an action that has moral worth is contingent on instrumental reason putting forward a non-universalizable maxim, which is in part a function of constitutive and circumstantial luck. This type of moral luck is relatively benign because the moral worth of our actions is a derivative kind of worth that results from the manifestation of a good will. Non-derivative moral worth is had by the good will and is immune to luck.
The fact that the worth of our actions derives from manifesting the worth of a good will can be brought out by considering someone who has a bad will yet nevertheless acts out of duty and is motivated by respect for the law. Having a bad will yet acting out of duty is possible since an agent who has a bad will subordinates duty to self-interest. This means that he always pursues self-interest, except that he pursues duty when doing so is not detrimental to self-interest.Footnote 23 He will, consequently, act out of duty when doing so does not require him to make any sacrifices.Footnote 24
When two alternatives are equally good from the perspective of self-interest, that is, when they are all things considered prudentially equivalent, instrumental reasoning puts forward a disjunctive practical rule requiring us to perform either of them. Whenever one disjunct is impermissible, pure practical reason will reject this disjunctive maxim and restrict the maxim to the permissible disjunct. An agent who has a bad will is going to be motivated by respect for the law to reject the disjunctive maxim that contains the impermissible disjunct and instead perform the permissible action. Neither self-interest nor duty could motivate him to act otherwise, since considerations of self-interest do not decide amongst the two alternatives and since considerations of duty favour the permissible action. The subordinated principle of duty, accordingly, determines how someone who has a bad will acts when two (undominated) options are tied in terms of self-interest but differ in terms of permissibility, since the fact that self-love does not care which of them is performed allows the subordinated principle of duty to come in.Footnote 25
The possibility of acting out of duty while having a bad will is the analogue of the possibility of acting out of self-interest while having a good will. A good will and a bad will differ in terms of the ordering of duty and self-love. If various actions are morally permissible, that is, they are ‘indifferent’ from the point of view of morality, then someone who has a good will chooses amongst them on the basis of self-love, selecting the one that makes them most happy. By contrast, if various actions are prudentially ‘permissible’, so that they are indifferent from the point of view of prudence, then someone who has a bad will chooses amongst them on the basis of duty, selecting the one that is universalizable. The two cases are symmetrical (though the former scenario is much more likely to arise than the latter, since it can easily happen that multiple actions are permissible, yet not so easily happen that multiple undominated actions are prudentially indifferent).
Since respect for the law is playing an entirely subordinated role in the case of an action that is performed out of duty by someone who has a bad will, insofar as it merely functions as a tie-breaker that tips the scale in favour of the permissible action, it seems inappropriate to consider such an action to have moral worth. Though the correct incentive is operative, the agent has the incorrect Gesinnung, which means that the incentive is not assigned its proper role. The action, accordingly, fails to manifest the subordination of self-interest to morality that is to be found in the case of a good will and that gives morality its dignity.
The crucial issue is thus not acting out of duty but manifesting a good will. The latter involves the former. The former, however, does not imply the latter, since acting out of duty is not sufficient for moral worth. Moral worth pertains to the manifestation of a good will, which consists in the combination of having a good will and acting out of duty. An action has moral worth iff it is performed out of duty on the basis of a good will.Footnote 26 Both elements need to be combined. Having a good will is not by itself sufficient for an action to have moral worth, since someone who has a good will can out of self-interest perform actions that accord with duty and that lack moral worth.Footnote 27 And acting out of duty is not by itself sufficient, since an action performed out of duty by someone who has a bad will lacks moral worth.Footnote 28
The moral worth of an action is then to be understood as a form of signatory value that does not add anything to the value of the world. It is a derivative value that is due to manifesting the goodness of the good will. What is of ultimate significance is the moral worth of the good will and not the moral worth of our actions. What matters is virtue, not its manifestation in the form of virtuous behaviour. Put differently, the moral worth of an action does not add anything to but merely manifests the moral worth of the good will. Having a good will and acting out of duty is not better than having a good will and merely acting according to duty. To think otherwise would be to engage in double counting. Correspondingly, the unconditioned component of the highest good, namely the supreme good, is to be understood in terms of the having of a good will and not in terms of the manifestation of a good will. The unconditional goodness of the good will extends to the point where its goodness is independent even of its own manifestation. For the highest good to be realized, individuals need to have a good will, but they do not need to manifest their good will through virtuous behaviour.Footnote 29
7.4 Conclusion
From the perspective of luck, no significant differences open up between morality and legality. In particular, the legality of an action is just as much immune to resultant luck as the morality of an action. This is because legality is a function, not of the consequences of our actions, but of the maxims on which we act. And while juridical imputation allows for resultant luck, ethical imputation does the same. Morality and legality are thus closer to each other than might initially seem to be the case, which raises the hopes for a unification of ethics and right.Footnote 30
8.1 Introduction
The concept of permissive law (Erlaubnisgesetz) figures prominently in both Towards Perpetual Peace and the Doctrine of Right. In both writings permissive laws come into play to establish special privileges for juridical agents – states in the former, individuals in the latter. In the literature on Kant’s legal and political philosophy, there is considerable debate about how to understand Kant’s notion of permissive law. In particular, there are two prominent but opposing views.Footnote 1 The first, which has long been the common view, is that permissive laws are meant to permit certain actions that are legally or morally forbidden. Thus, Reinhard Brandt in his landmark contribution to the discussion has suggested that permissive law has the function of provisionally permitting something that is prohibited as such. Thus, according to Brandt, permissive laws provisionally enable the use of force in lieu of right, and in some sense even contrary to it, and prevent other agents from enacting their rightful claims against the agent who acts on the basis of the permissive law. In this way, Brandt argues, the permissive law is required in order to actually bring about juridical and legal institutions, that is, to enable the realization of right.Footnote 2
The second prominent account has more recently been put forward by Joachim Hruschka. Hruschka opposes the common assumption that Kant would employ the same notion of permissive law in both Perpetual Peace and the Metaphysics of Morals, and he argues that we find a revised understanding of permissive law in the Metaphysics of Morals: the permissive law in the Doctrine of Right, Hruschka submits, should not be taken as a norm establishing exceptions to prohibitions (as in Perpetual Peace), but as a norm regulating previously indifferent actions. Specifically, the permissive law, Hruschka argues, changes the legal character of certain actions by conferring particular legal powers on the agents who act in these ways, specifically the power to acquire external objects of choice.Footnote 3
In what follows, I will propose a reading of permissive law that differs from both approaches in important respects. As I will argue, in both Perpetual Peace and the Doctrine of Right, Kant takes permissive laws to indeed grant exceptions to prohibitions. However, contrary to the common reading advocated by Brandt and others, permissive laws do not permit wrongful actions, either in the sense of tolerating, or excusing, transgressions of prohibitions, or in the sense of suspending other demands of right or morality. As I will show, permissive laws proceed from antecedent prohibitions and specify conditions under which an action is permissible that would otherwise be wrongful, namely if these conditions are not fulfilled; this makes the permitted acts genuinely, albeit conditionally, allowed, not merely tolerated. This implies that the actions that fall under permissive laws are not, as Hruschka thinks, indifferent actions as such: while it is true that permissive laws grant certain legal powers to agents, I will argue that the actions in question are not indifferent, but would indeed be forbidden if they were not subject to permissive laws and the conditions they set.
I will carve out this notion of permissive law from Kant’s discussion of permissive law in Perpetual Peace, for it is there that Kant clarifies his understanding of this type of norm. By relating Kant’s remarks to the notion of lex permissiva found in the relevant textbooks by Achenwall and Baumgarten, I will show that Kant takes permissive law to be a special kind of prohibitive law: specifically a law that, against the background of a general prohibition, licenses certain acts under specific conditions (Section 8.2). I will then argue that we find the same basic understanding of permissive law in the Vigilantius lecture notes, despite the statement there that permissive law allows ‘might to hold for right’ (Section 8.3).
In the second half of the chapter, I will turn to the Metaphysics of Morals. I will first argue, against Hruschka, that the understanding of permissive law that Kant articulates in the Introduction of the Metaphysics of Morals does not in fact depart from that found in Perpetual Peace (Section 8.4). I will then turn to the Doctrine of Right and attend to the different instances of permissive law in Private Right. I will highlight how each instance of permissive law has to be understood as granting a permission subject to certain conditions against the backdrop of a general prohibition: it is only through the indication of certain specific conditions that the relevant acts must fulfil that these acts are permitted and the juridical institutions or relations in question can be established by them (Section 8.5).
8.2 ‘A Kind of Prohibitive Law’: The Concept of Permissive Law in Towards Perpetual Peace
In his published writings,Footnote 4 Kant uses the term ‘permissive law’ for the first time in Towards Perpetual Peace, and it is there that he elaborates on his understanding of it. Kant introduces the notion in a remark following the presentation of the preliminary articles for establishing peace. All six preliminary articles, Kant says, are ‘laws of prohibition’, but while some of them ‘put[] a stop’ to certain state practices ‘at once’, with respect to other provisions there is the possibility of ‘postpon[ing] putting these laws into effect’ (8:347).Footnote 5 The provisions in question ‘contain permissions’, ‘taking into consideration the circumstances in which they are to be applied’ (8:347). In a footnote to the passage, Kant explains the extent to which one can speak of permissive laws with respect to such provisions. There he clarifies his understanding of this type of norm by distinguishing it from what he considers to be two false understandings of permissive law, thus establishing the defining marks of his notion of permissive law.
8.2.1 Permissions and Prohibitions
The first understanding of permissive law that Kant rejects is the idea that permissive laws are required for indifferent acts to be possible. This, according to Kant, would be absurd. Since laws contain ‘a ground of objective practical necessity’ of actions, whereas permissions contain a reason ‘of the practical contingency of certain actions’, a permissive law would present a contradiction: for a permissive law would express the ‘necessity to an action such that one cannot be necessitated to do it’ (8:348 fn.). In other words, a permissive law regarding an action φ would, on the one hand, qua law, state the practical necessity to φ, but on the other hand it would at the same time, qua permission, imply the absence of this necessity. Thus, permissive laws are not required for actions that are morally indifferent.Footnote 6
As Kant goes on to argue, it only makes sense to speak of permissive laws insofar as necessitation and permission refer to different actions, but not if ‘the object of the law has the same meaning in both kinds of relation’ (8:348 fn.). As a case in point, both in the main text and in the footnote, Kant refers to the second preliminary article, which prohibits the acquisition of one state by another ‘through inheritance, exchange, purchase or donation’ (8:344). Since such acquisitions lack ‘the necessary legal title’, the preliminary article implies the duty that the states that have acquired other states in these ways restore the freedom of those states (8:347; translation modified). Now, while the article directly prohibits any acquisition of states by others in the future, the reversal of past acquisitions, Kant argues, can be adapted to the circumstances of each specific case. Thus, a past acquisition may still be regarded as valid for a certain transitional period until the restoration can be realized: ‘the prohibition here concerns only the way of acquiring, which from now on shall not hold, but not the status of possession’ (8:347). To the extent that prohibition and permission refer to different objects, it is possible, Kant submits, to speak here of a permissive law (8:348 fn.).
It is important to note that the prohibition is the primary component to which the permission refers, as Kant’s formulations show: ‘the prohibition presupposed’, ‘the exemption from this prohibition, i.e., the permission’ (8:348 fn.).Footnote 7 On the one hand, the prohibition is a precondition of the permission‚ in that the conduct regulated by the law is generally prohibited and permitted in certain circumstances only. On the other hand, the prohibition sets limits to the permission by tying the permitted action to specific conditions. Thus, the restitution of state autonomy may be delayed if ‘implementing the law prematurely [will] counteract its very purpose’ (8:347), but the permission does not extend so far that the restitution could be postponed forever, ‘to a nonexistent date’, so that the delay would amount to not restoring the other state’s freedom (8:347). We can therefore say that the permission is limited by the underlying prohibition, or by the grounds of that prohibition.
These observations also apply to the permissive laws that Kant hints at in the appendix of Perpetual Peace. There Kant argues that shortcomings in the constitution of a state do not have to be eliminated in one fell swoop but can be remedied step by step through gradual reforms: there are ‘permissive laws of reason that allow a situation of public right afflicted with injustice to continue’ until the conditions are such that the constitution may safely be changed, that is, ‘until everything has either of itself become ripe for a complete overthrow or has been made almost ripe by peaceful means’ (8:373 fn.).Footnote 8 The permission in question applies if ‘a premature reform’ threatens to undo the juridical condition so that a relapse into the ‘anarchy’ of the state of nature is to be feared (8:373 fn.). The reason for the permission to change the constitution step by step accordingly lies in the fact that ‘some rightful constitution or other, even if it is only to a small degree in conformity with right, is better than none at all’ (8:373 fn.; my emphasis).
As with preliminary articles 2, 3, and 4, the permission to forgo a complete revision of a faulty constitution and postpone certain changes holds against the background of a general prohibition, in this case the inadmissibility, itself grounded in ‘the ideal of public right’ (8:373 fn.), of an unjust state constitution. Moreover, in this case, too, the permission is at the same time limited by the prohibition: the postponement is only allowed insofar and as long as it is necessary for change to be actually possible and it is conjoined with the ‘duty’ to work towards the realization of the provision, to ‘make reforms in keeping with the ideal of public right’ (8:373 fn.). Now, it may seem as if the permissive law in question would indeed tolerate a wrongful action, insofar as it allows ‘a situation of public right afflicted with injustice to continue’ (8:373 fn.; my emphasis). But it indeed ‘allow[s]’ deferring certain constitutional changes (8:373 fn.; my emphasis), and it does this insofar as it is required for the injustice to be remedied. The permissive law hence declares that retaining the current constitution, as long as changing it is not possible, is genuinely allowed, based, ultimately, on the idea of Public Right.
8.2.2 Permissive Law as a Kind of Prohibitive Law
The second understanding of permissive law that Kant rejects in his elaboration in Perpetual Peace is the idea that permissive laws are independent norms of exception that are, as it were, attached to, or placed alongside, prohibitive laws. According to Kant, examples of this are often found in positive law (‘in civil (statutory) law’): ‘Then it is said that this or that is prohibited, except for number 1, number 2, number 3, and so forth indefinitely’ (8:348 fn.). In such cases, the relationship between prohibition and permission is such that ‘the prohibitive law stands all by itself and the permission is not included in that law as a limiting condition (as it should be) but is thrown in among exceptions to it’ (8:348 fn.). Kant’s criticism of this approach is that the exemptions from the prohibition are added to the law ‘only contingently, not in accordance with a principle but by groping among cases that come up’ (8:348 fn.).
In contrast to this approach, Kant holds that if one wishes to identify ‘permissive laws […] of pure reason’ (8:347 fn.) a properly systematic approach is required in which ‘the conditions [are] introduced into the formula of the prohibitive law’ (8:348 fn.; Kant’s emphasis). If this is done, that is, if the conditions under which a certain action shall be permitted are specified in the formula of the prohibition, the prohibitive law (‘it’) becomes ‘at the same time a permissive law’ (8:348; my emphasis). By including the conditions under which the prohibition shall not hold into the law itself, the law assumes a dual character: in relation to the generally required omission of a certain course of action, the law is a law of prohibition, but in relation to those conditions under which that course of action is allowed it is a permissive law. Thus, Kant characterizes permissive law as a form of prohibitive law that specifies conditions for exemptions from its prohibition, thereby establishing a particular permission.
Permissive law is thus a kind of prohibitive law. This is reflected by Kant’s distinction, in his remark at the end of the section on the preliminary articles, between prohibitive laws ‘of the strict kind (leges strictae), holding without regard for differing circumstances’, on the one hand, and ‘laws that, taking into consideration the circumstances in which they are to be applied, subjectively widen [one’s] authorization (leges latae) and contain permissions’, on the other hand (8:347).Footnote 9 In a similar vein, in the Vigilantius lecture notes, Kant distinguishes between prohibitive laws that hold universally (‘universales’), that is, which are ‘valid under all circumstances, so that an exception is therefore impossible, and a permissive law not to be thought of here at all’, and merely general prohibitions (‘generales’), ‘where the prohibition holds good in the great majority of cases (in general)’ and where therefore ‘exceptions are conceivable’ (27:514). As the texts clearly show, Kant in both cases regards permissive law as a kind of prohibitive law.
In considering permissive law as a kind of prohibitive law, Kant follows his textbook authors Alexander Gottlieb Baumgarten and Gottfried Achenwall.Footnote 10 Both regard the lex permissiva as a special (Baumgarten: ‘peculiaris’) kind of prohibitive law (‘species legis prohibitivae’). Both argue that a permissive law is a law of prohibition that on the one hand establishes an obligation (in the form of a prohibition) and on the other hand grants an authorization. Thus, Baumgarten explains that ‘a permissive law (permission strictly considered) is a law declaring that a certain action that has indeed not been prescribed is indeed nevertheless not to be impeded’. The permissive law is therefore ‘a particular species of prohibitive law’ (est peculiaris species legis prohibitivae). It is a law ‘in favour of someone who perhaps will carry out certain things’ in that it ‘obligates others to omit an impedition that otherwise could have been opposed to such a free determination’.Footnote 11
Achenwall similarly elaborates:
If a juridical law determines that a certain action, although it is not prescribed, must not be hindered either, it is a law and a kind of prohibitive law [species legis prohibitivae] […]. But as it has a different effect with regard to him to whom it attributes the ability to do something licitly and with regard to him onto whom it imposes the obligation not to hinder the other man, with respect to the former it is a permitting (permissive) law, with regard to the latter a commanding one. In the former respect the law is called permitting, because by force of such law the legislator grants the ability to execute a certain action as permitted.Footnote 12
Kant’s view, however, differs from that of his textbook authors with regard to what is permitted and what is prohibited by the law. For Achenwall and Baumgarten, permission and prohibition refer to the actions of different agents addressed by the law. The law that permits an agent A to φ is a permissive law for this agent. Insofar as the law at the same time prohibits other agents from interfering with A’s doing φ, it is a law of prohibition for those other agents. This is very clearly brought out by Achenwall’s explanation of permissive law, quoted above: the law ‘has a different effect’ for the different agents. As Achenwall puts it succinctly in his Ius Naturae: ‘[S]uch a law is called “permitting” with regard to the person to whom it concedes the ability to do something licitly, but “commanding” with regard to the person whom it obligates not to hinder someone else.’Footnote 13
On Kant’s view, in contrast, permission and prohibition are directed at the same agent. For Kant, what differs are the forbidden and permitted actions, namely the respective ‘object[s] of the law’ (8:348 fn.), and they differ on the basis of the conditions or circumstances in which an agent subject to the law finds herself. Thus, while agent A is generally prohibited from φ-ing, A is permitted to φ under certain circumstances as specified by the law. Thus, it is forbidden for states to acquire another state, while they are allowed to retain their prior acquisitions until restitution of wrongful acquisition can successfully commence.
Now, Kant’s notion of permissive law, like that of Achenwall and Baumgarten, also implies that other agents are prohibited from preventing the addressee of a permissive law from exercising his authority. Within the scope of the conditions specified by the permissive law, A’s doing φ is permitted, that is, it is not subject to any prohibition. Hence, insofar as A’s doing φ conforms with law, other agents may not interfere with it. Thus, other nations may not force state S to restore freedom immediately to those states it had illegitimately acquired in the past. Indeed, owing to the permissive law, S may rightfully resist any such attempts at interfering with conducting its own affairs. This aspect, however, is not the essence of permissive laws for Kant. In fact, the account of permissive law found in Achenwall and Baumgarten cannot suffice in Kant’s eyes. On their account, the normativity of the permissive law (its being a practical law) does pertain only to the agents who are prohibited from interfering with the permitted action.Footnote 14 But unless the permitted action is also prescribed, it does not make sense, as we have seen in the previous section, to speak of laws for permitted acts. On Kant’s account, in contrast, the permissive law is a proper law for the addressee of the permission insofar as she is at the same time the addressee of the antecedent prohibition.
Given Kant’s understanding of permissive law as a kind of prohibitive law, it is clear that permissive laws do not authorize doing something that is still forbidden: as Kant says, a generally prohibitive law is turned into a permissive law by inserting ‘into the formula of the prohibitive law’ the conditions under which the action regulated by the law is to be permitted (8:348 fn.; emphasis removed). Since prohibition and permission are for Kant part of the same law, the permission has genuinely to allow the action in question, rather than merely tolerate it as a transgression of the prohibition: for it would be contradictory for a law to establish a prohibition and at the same time allow a contravention to it. Moreover, like all practical laws, the permissive laws with which Kant is concerned are principles of (pure practical) reason (8:347 fn.; 8:373 fn.), and reason cannot issue a prohibition while at the same time allowing its transgression. Indeed, Kant emphasizes that the authorizations granted by permissive laws do ‘not’ allow the agents ‘to make exceptions to the rule of right’ (nicht als Ausnahmen von der Rechtsregel; 8:347). Far from taking permissive laws as suspending the validity of the prescripts of reason, Kant thus understands permissive law as conditionally allowing, or licensing, a course of action that is otherwise forbidden, namely if the conditions contained in the law do not obtain. In this sense, a permissive law merely limits the scope of an antecedent prohibition.
8.3 Permissive Law in Metaphysics of Morals Vigilantius
I now want to turn briefly to the discussion of permissive law in the Vigilantius lecture notes from 1793/4 which can be easily misread as implying that permissive laws would sanction forbidden actions. Against the backdrop of our discussion of permissive law in Perpetual Peace one can see, however, that Kant already entertains the same notion of permissive law in the lecture.
The discussion of permissive law in Vigilantius revolves around the question whether there are permissive laws in natural law just as they exist in positive law. Kant submits that ‘if there are leges permissivae, they have to be accompanied with a prohibition’ (27:514). This, however, is only possible if the prohibition in question is not a universal prohibition that is ‘valid under all circumstances’ but merely a general prohibition that holds for most but not all cases (27:514). It is with respect to these general prohibitive laws that ‘there are permissive laws as exceptions’ (27:514).
The prohibition that Kant takes as case in point is the principle that ‘might must not replace right’ (27:514). He submits that with respect to this prohibition a permissive law exists if ‘the conditions exist, under which we may assume that might replaces right’ (27:515). These conditions exist, as Kant goes on to argue, in the state of nature, before a legal condition is established. According to Kant, the only way for a state, and hence for a legal order, to come into existence is the use of force. There is therefore, he argues, a permissive law that allows might to precede right in this case (27:515–16).
Now, since the use of unilateral force (that is, of the use of might) is morally forbidden one could assume that the permissive law here functions to tolerate an immoral action or that it suspends that prohibition. However, as Kant’s elaboration makes clear, the permissive law grants the use of force only if it is used for establishing right. And this is morally justified because the state of nature, due to its lack of legal institutions and the ensuing ubiquity of unilateral exercise of choice, is a condition that we are morally required to overcome:
this is a state of affairs in conflict with the universal imperative of morality, and we thus have to assume that nature allows us, in this fashion, to bring man’s free choice into agreement with general freedom, by means of universal law; and so here there is a natural law in effect, to permit the force employed.
The use of unilateral force, while generally prohibited, is not prohibited when it is used in the state of nature in order to establish legal institutions; indeed, it is actually obligatory insofar as it is the only way to leave the state of nature.Footnote 15 Thus, as in Perpetual Peace, the permissive law in question only exists, first, with respect to an antecedent prohibition and, secondly, it limits the permission to the condition that the action in question is necessary to accommodate the demand of morality.
8.4 The Concept of Permissive Law in the Introduction of the Metaphysics of Morals
In the preceding two sections I have established that, contrary to the common view, Kant in Perpetual Peace, as well as in the Vigilantius lecture notes, does not regard permissive law as a norm for tolerating wrongful conduct. Rather, he situates permissive laws within the overall class of prohibitive laws. The specific difference of permissive law as a kind of prohibitive law is that it specifies conditions under which the prohibition in question does not hold, thereby establishing a permission to act in a certain way. In the remainder of the chapter I will attend to Kant’s understanding and use of permissive law in the Metaphysics of Morals, specifically in Private Right in the Doctrine of Right.Footnote 16
While most interpreters assume that Kant did not change his understanding of permissive law between the publication of Perpetual Peace and the Doctrine of Right, Joachim Hruschka has argued that in the Doctrine of Right we find a notion of permissive law different from that in Perpetual Peace. This revised type of permissive law, according to Hruschka, does not formulate an exemption from a prohibition, but is an authorizing, power-conferring norm by which practical reason enables the establishment of the institutions of private right.Footnote 17 In this function, Hruschka argues, the permissive law does not refer to acts that are as such prohibited, but rather relates to acts that are fundamentally morally indifferent, that is, simply permitted.Footnote 18 While I agree with Hruschka that the permissive laws coming into play in the Doctrine of Right concern the establishment of legal institutions and thus can be regarded as power-conferring norms, I submit that Hruschka is mistaken in assuming that Kant in his later work takes permissive law to relate to indifferent actions only and that it does not presuppose an antecedent prohibition.
Hruschka primarily justifies his interpretation with reference to a passage in the Introduction of the Metaphysics of Morals in which Kant briefly brings up the question of the existence and function of permissive laws. At the beginning of the passage Kant distinguishes two meanings of the term ‘permitted’, a general and a more narrow sense. In the general sense, any act is permitted (‘licitum’) ‘which is not contrary to obligation’ (6:222), that is, any act that is ‘morally possible’ (6:221). With regard to permitted acts, the agent possesses an authorization (‘facultas moralis’), so that with respect to this act his ‘freedom […] is not limited by any opposing imperative’ (6:222). All morally possible acts are permitted acts in this sense, including those acts that are actually obligatory, namely ‘morally necessary’ (6:221), for no other imperative stands in the way of the performance of acts to which we are obliged. In a narrower sense, Kant labels as ‘merely permitted’ those acts that are ‘neither commanded nor prohibited’: merely permitted actions are not subject to practical necessity in any way; in relation to them there is ‘no law limiting one’s freedom (one’s authorization) […] and so too no duty’ (6:223; emphasis removed). An action that is merely permitted is ‘morally indifferent (indifferens, adiaphoron, res merae facultatis)’ (6:223). While the freedom of the agent is restricted in the case of an obligatory action insofar as she may not refrain from the action, in the case of a merely permitted action the agent is free to decide whether or not to perform it.
So far, Kant’s exposition of these terms leaves open whether there actually are any merely permitted actions at all and, if so, whether these would require the existence of permissive laws:
The question can be raised whether there are such actions and, if there are, whether there must be permissive laws (lex permissiva), in addition to laws that command and prohibit (lex praeceptiva, lex mandati and lex prohibitiva, lex vetiti), in order to account for someone’s being free to do or not to do something as he pleases.
While Kant leaves open at this point the question whether there are morally indifferent actions or not, he points out that permissive laws will not concern this class of actions:
If so, the authorization would not in any case [nicht allemal] have to do with an indifferent action (adiaphoron); for, considering the action in terms of moral laws, no special law would be required for it.
Hruschka argues that in the passage just cited Kant would state that permissive law would apply to some merely allowed actions and that some merely allowed actions would accordingly require a permissive law (namely the actions by which agents can acquire rights to external objects). However, I think it is clear from the above quotations that this is not the case. If there are actions for which a permissive law is required (‘If so’) these actions will not be indifferent acts: for with regard to such an action, there is no practical necessity whatsoever anyway, which is why ‘no special law would be required for it’. Thus, just as in Perpetual Peace, Kant here holds that permissive laws are not concerned with acts that are as such indifferent.
In his interpretation of the passage above, Hruschka reads the qualification ‘nicht allemal’ in the sense of ‘not always’,Footnote 19 to substantiate his assumption that Kant would distinguish between different types of merely permitted acts: namely, that he would only designate as adiaphora those actions that do not require a permissive law, whereas an act qua ‘res merae facultatis’ (6:223) would indeed require a permissive law.Footnote 20 However, Hruschka does not show why the obvious reading of ‘nicht allemal’ in the sense of ‘not in any case’ (or ‘certainly not’, gewiss nicht) should not apply here.Footnote 21 Moreover, one would expect Kant to provide some information about the cases in which a permissive law concerns a morally indifferent act and the cases in which it does not.Footnote 22 But since Kant does not make any explicit terminological distinction in the way Hruschka claims, we must assume that in the formulation ‘morally indifferent (indifferens, adiaphoron, res merae facultatis)’ Kant uses the three expressions mentioned in the brackets synonymously (6:223).Footnote 23
8.5 The Permissive Laws in Private Right of the Doctrine of Right
Contrary to Hruschka’s reading, Kant in the Introduction of the Metaphysics of Morals retains his view from Perpetual Peace according to which permissive laws do not refer to indifferent actions, but make certain actions legally possible that are otherwise prohibited. I will now show that this also applies to the permissive laws employed by Kant in the Doctrine of Right.
The permissive laws in Private Right allow certain actions by which legal institutions can be established, specifically they enable the establishment of legal possession in general (RL § 2), the original acquisition of land in the state of nature (§ 16), and the acquisition of another person (§ 22). As Hruschka points out, the permissive laws in these cases confer legal powers on the agents who carry out the corresponding acts, namely the power to establish new relations of right. These actions, however, are not as such indifferent, as Hruschka maintains. Rather, outwith the scope of the permissive law these acts would indeed be contrary to right. On the other hand, while the permissive laws thereby formulate exceptions to prohibitions, they do not suspend the rule of right: the actions in question are not merely tolerated, they do not remain as such wrongful, as the common reading holds, but are genuinely allowed. Finally, the permissive laws make the actions that they allow subject to certain requirements and restrictions that have to be fulfilled for the permission to take effect.Footnote 24
8.5.1 The Juridical Postulate of Practical Reason as a Permissive Law (§ 2)
According to Kant, the ‘juridical postulate of practical reason’ (6:246) that he introduces at the beginning of Private Right can be described as a permissive law (6:247).Footnote 25 The postulate states that it must be possible ‘to have any external object of my choice as mine’ (6:246). By means of the postulate, practical reason ‘extends itself’ beyond innate right and opens up the sphere of the external mine and thine (6:247). The postulate thus lays the foundation of Private Right as a whole.
By virtue of the postulate – and the concept of merely juridical possession it serves to establish (6:252) – it is possible for agents to put others under obligation with regard to external objects, namely by restricting their freedom with regard to these objects. For this reason the postulate can be called a permissive law:
This postulate can be called a permissive law (lex permissiva) of practical reason, which gives us an authorization that could not be got from mere concepts of right as such, namely to put all others under an obligation, which they would not otherwise have, to refrain from using certain objects of our choice because we have been the first to take them into our possession. Reason wills that this hold as a principle, and it does this as practical reason, which extends itself a priori by this postulate of reason.
How do we have to understand this extension of practical reason by the postulate? The ‘mere concepts of right as such’, and the universal principle of right that follows from them (6:230), contain only the power to bind other agents with regard to one’s own inner freedom. Thus, the innate right of freedom allows us to use coercion if and only if another person restricts our freedom in a way that violates the universal law of right. To be sure, this also applies to objects that are in our physical possession, insofar as someone who ‘wrest[s] the apple from my hand’ against my will harms me ‘with regard to what is internally mine (freedom)’ (6:248). However, the permission to use coercion based on the innate right does not extend to objects that are not in my physical possession. Rather, restricting another agent’s use of an object that I do not physically possess constitutes a wrong. On the basis of the universal principle of right alone, it would be morally prohibited to make juridical claims and to use coercion against other persons with regard to external objects that are not under one’s physical control. With the introduction of the postulate that prohibition is restricted: on the basis of the postulate, we are justified in preventing other agents from using certain objects which are not in our physical possession but belong to us in terms of merely juridical (non-physical, but intelligible) possession only.
The juridical postulate clearly refers to an antecedent prohibition and establishes as rightful certain actions that would otherwise be prohibited. This means that the actions in question are not indifferent as such, as Hruschka holds. On the other hand, the postulate does not permit wrongful acts: it does not allow a transgression of the universal principle of right or of others’ inner right. Instead, the postulate specifies conditions under which the external use of freedom is compatible with everybody’s freedom. In this sense the universal principle of right is synthetically extended by the postulate. The postulate predicates the permission to restrict other agents’ freedom in relation to external objects on the condition that the objects in question be in one’s merely juridical possession. Of course, legitimate merely juridical possession can only come about in the course of a legitimate process of acquisition. It is the task of the three parts of the second chapter of Private Right, ‘How to acquire something external’, to spell out the specific conditions under which this is possible with regard to things, services, and persons, respectively. The postulate only states that it must be possible, in principle, for agents to put each other under obligation with regard to external objects subject to the condition of merely juridical possession.
8.5.2 Possession in the State of Nature by Favour of a Permissive Law (§ 16)
Like the postulate in RL § 2, the permissive law in § 16 also refers to an antecedent prohibition and, by specifying conditions, excludes certain actions from its scope. The object of the permissive law in § 16 is the original acquisition of external things, specifically pieces of land, in the state of nature. Prior to the establishment of the juridical condition, the original acquisition of land by an agent amounts to an act of unilateral obligation of others. Considered as such, imposing obligations on others unilaterally is a violation of the universal law of right: ‘the law which is to determine for each what land is mine or yours’ can only originate ‘from a will that is united originally and a priori’; such acquisition can thus only be rightful in civil society (6:267). According to Kant, however, the original acquisition in the state of nature is possible, and only possible (‘needs’), by virtue of a permissive law: the agent in question has the ‘favor of a law (lex permissiva)’ on his side (6:267).
In the state of nature, the permissive law authorizes the obligation of others through the unilateral will of the first occupant of the thing in question. In virtue of the juridical postulate from § 2, mere juridical possession of things, which are one kind of external object of the faculty of choice, must be possible. Since we are not originally in possession of things, an original acquisition must be possible for this to have effect. Original acquisition, however, can only occur unilaterally, through first acquisition, since otherwise it would be a derivative acquisition, which would in turn presuppose the possession of the thing to be transferred. Original acquisition through a unilateral act must, hence, be possible. The permissive law grants this acquisition.
However, the permissive law in question qualifies the right of the agent who originally acquires a thing. The acquisition must take place in conformity with the idea of the general will (see 6:259–60, 6:268) and it can only happen in the state of nature and thus only until – and in conjunction with the willingness not to resist – the establishment of the juridical condition, that is, the state. As Kant emphasizes, the ‘favor’ granted by the permissive law ‘does not extend beyond the point at which others (participants) consent to its establishment’, namely the juridical condition (6:267). Prior to the foundation of the state, the rights of the first occupant are merely provisional; only within the juridical condition can they be peremptory (6:267, 264; cf. 256–7).
Of the different cases of permissive laws in the Doctrine of Right, the case in § 16 bears the most resemblance to the cases in Perpetual Peace. The permission here refers to a condition that pure practical reason obliges us to overcome and is thus subject to a temporal condition. And just as in Perpetual Peace, for example, the toleration of unlawful possessions under international law is only permitted with a view to restitution, so too, in RL § 16, the act of unilateral first occupation of a piece of land is only permissible insofar as it is a prerequisite for possession of property.Footnote 26
8.5.3 Legitimating the Possession of Persons: The Permissive Law in RL § 22
The third instance where Kant makes use of a permissive law is the acquisition of other persons – ‘wife’ or ‘husband’, ‘children’, and ‘servants’ (6:280; 6:277) – in the form of a personal right in the manner of rights to things (‘auf dingliche Art persönliches Recht’, which Gregor translates as ‘rights to persons akin to rights to things’). Such an acquisition, Kant states, is made possible by the ‘favor’ of a ‘natural permissive law’ (6:276).Footnote 27 Since the personal right in the manner of rights to things allows the agent to act towards the other person in a certain way, namely, as if the other person were a thing, one might think that the permissive law in question would indeed permit a violation of the general prohibition against treating another person as a thing, thus condoning certain violations of the other person’s humanity. The permissive law in § 22 might thus be taken as a case in point for the common reading of permissive laws as allowing or condoning morally impermissible actions. However, as I will sketch out, this is not the case.
Kant defines the personal right in the manner of rights to things as the right ‘of possession of an external object as a thing and use of it as a person’ (6:276). The right thus has two components, possession and use of the other person, and it is only the possession of the other person that obtains in the manner of rights to things. Thus, Kant argues, the agent can fetch back the other person if he or she has ‘gone astray’ and the agent can vindicate the other person from any third party in whose possession the person might be (6:278, 282, 284; 6:361). It is because of this legal capacity that Kant, when he introduces the permissive law in question, states that the basis of such a right to another person must lie ‘beyond any rights to things and any rights against persons’ (6:276): it is the right of humanity, Kant argues, that provides this basis and from which the permissive law in question ‘follows’ (6:276).
Humanity – namely, the property of a human being to be a free rational being and thus a person (6:239) – limits the extent to which we can make use and dispose of our own person as well as that of others. The use a person makes of herself or of others must always conform with her own personhood and that of others, respectively (6:270). From the fact that the normative basis of personal rights in the manner of rights to things is the right of humanity it should be clear that the permissive law that grants the acquisition of such rights cannot be meant to permit wrongful actions. Rather, the permissive law attaches certain conditions to the possession of one’s spouse, children, and household servants that indeed guarantee the conformity with the personhood of the persons involved. That is, in the form of the permissive law following from the right of humanity, while practical reason enables the legal possession of one person by another it at the same time ensures that the persons are not treated like things.
In the following, I will provide a brief sketch of how the permissive law in RL § 22 enables the acquisition of another person by imposing requirements both on the possession and on the associated use of the other person in terms of compatibility with their humanity. In the individual sections of The Right of Domestic Society, Kant emphasizes that practical reason clearly delineates what is permissible, that is, in conformity with the right of humanity, from what is impermissible, (i) in sexual relationships, (ii) in the parent–child relationship, and (iii) in the relationship of master and servant.
(i) Our humanity limits the extent in which we can make use of our own person, and this includes the use we make of our body. Thus, according to Kant, the right of humanity in our own person rules out all forms of sexual intercourse in which agents make themselves into a mere object of pleasure for the other, as this would amount to treating humanity as a thing (6:278). According to Kant, this problem indeed pertains to all relationships that fall short of being a monogamous and lifelong marriage, for as Kant argues, only exclusive and permanent relationships can avert the problem of sexual objectification that our sexual desire naturally gives rise to (6:277–8).Footnote 28 Because marriage alone eschews sexual objectification and thus conforms with the right of humanity it is the only ‘sexual union […] according to the law’ (6:277), that is, according to ‘pure reason’s laws of right’ (6:278). Only in establishing a marriage can persons, therefore, acquire each other as spouses in terms of the right to persons in the manner of rights to things. All non-marital sexual relationships, including polygamy and concubinage, Kant argues, cannot be legally valid because they necessarily involve sexual objectification; in the case of such relationships the spouses do therefore not acquire rights to each other, making the relationships legally ‘null and void’ (6:278–9). By permitting the acquisition of another person as a spouse only in marriage, the permissive law clearly confines the legal powers that it confers on agents to certain conditions. Rather than permitting acts that would run counter to humanity and the personhood of the persons involved, the permissive law indeed specifies that legally valid sexual relationships have to conform to the right of humanity; it is thus based on the normatively antecedent prohibition, established by reason, not to treat persons as things or mere means (6:270; 6:236).
(ii) We find a similar argument in Parental Right. As Kant makes clear, the right of parents to their children is limited such that the parents’ power over their children may only serve to maintain, raise, and educate the children. In particular, parents may not treat their children like pieces of property that could be mutilated, destroyed, consumed, or alienated (6:280–2), and their right automatically ceases when the children reach the age of majority (6:282). As Kant argues, the parents’ right, both in terms of personal right and in terms of right in the manner of rights to things, is grounded in the parents’ duty towards their children: because the parents through their act of procreation have brought a new person into the world without her consent, they are required to care for this person until she can do so on her own (6:280–1). Indeed, not doing so would amount to treating the child as a thing, thereby violating the child’s humanity. As Kant explains, it is the parents’ duty that leads to the acquisition of their rights to the child, and it is this duty that in particular gives rise to parents’ right to ‘handle’ their children, including the right to reclaim them from any third parties and, if necessary, to bring them back under their own control by force (6:281). Hence, while the permissive law establishes the right of parents to their children as a right to a person in the manner of rights to things, it on the one hand grounds this right in the children’s humanity and, on the other, limits the parents’ handling of their children to conformity with the children’s status as persons.
(iii) Similarly, the master’s power over his domestic servants is limited in that ‘he can never behave as if he owned them (dominus servi)’ (6:283). For instance, the labour of the servants, that is, their use by the master of the house, may not amount to consumption. In this respect, domestic servants have the right to judge the master’s treatment of them and they may report violations of their rights, although, according to Kant, they may not leave the household on their own authority (6:283; 6:284). Furthermore, the employment relationship cannot be for life in a strong sense, but it must always be possible to terminate the contract (6:283). The acquisition of domestic servants is thus only possible insofar as the right to freedom of the servant, namely his humanity, is preserved. This distinguishes a contract for domestic services from the conditions of serfdom or slavery, which as Kant points out, are null and void (6:283). So in this case, too, the permissive law makes possible a certain type of legal relation, which it subjects to strict conditions, and it does so with reference to a normatively antecedent prohibition.
9.1 Introduction
The main question addressed in this article is how to understand duties and rights in the transition towards a juridical condition. Does the fact that we are ‘in transition’ impact or shape our duties and rights from a Kantian perspective?
According to Kant, we have a duty to bring about political institutions (‘to leave the lawless state of nature and enter the civil condition with all others’ (exeundum esse e statu naturali).Footnote 1 Although juridical in nature, this duty is necessarily pre-institutional, and thus non-positive. Kant’s exeundum thus commands the transition from a lawless towards a (relatively) lawful condition.Footnote 2 The lawful condition is ‘relative’ because the state of nature needs to be overcome at different levels and a civil condition will be implemented in degrees.Footnote 3 Although Kant’s ideal of a fully just civil condition (respublica noumenon) is unattainable, it does not undermine our duty constantly to strive towards it and approach the ideal.Footnote 4 Consequently, legal orders will be more or less developed depending on how close they are to embodying the Kantian principles of external freedom, equality, and independence. However, whatever civil condition happens to exist (respublica phenomenon) is legitimate and binding, regardless of its imperfection in regard to the normative ideal.
I will argue that when a duty is juridical in nature and yet must be discharged in the state of nature, this has significant ethical and juridical implications. Kant discusses the juridical implications in the private law section of the Doctrine of Right: although it is possible to acquire rights in the state of nature, the legal status of these rights must remain indeterminate until a condition of public (positive) law has been implemented.Footnote 5 In this chapter, I will stress two ethical implications, which I believe provide additional ethical arguments for Kant’s exeundum: firstly, addressing wrongs (Unrecht)Footnote 6 as a matter of beneficence is incompatible with the dignity of the right holders; secondly, a civil condition is needed in order to avoid overburdening morally responsible agents and thus reconcile moral agency and the human need for happiness. Further, I will also criticize the way Kant’s theory of acquired rights in the state of nature has been misrepresented into a theory of ‘provisionality’ or ‘transitionality’, able to guide us through messy political developments in the manner of non-ideal theory.Footnote 7 I argue that the way Kant connects provisional rights and permissive laws has little to do with non-ideal theory, and follows entirely from Kant’s apagogical argument for acquired rights in the state of nature.Footnote 8
9.2 Duties of Right in the Absence of Juridical Institutions: Three Problems
Although certain rights and their corresponding juridical duties can be said to be of a purely positive nature (their bindingness is wholly contingent upon the legal order under which they were posited), Kant argues that certain individual rights can be acquired in the state of nature and are to be taken over into the civil condition.Footnote 9 Rights and corresponding duties which are not ‘merely’ created in the civil condition arise from private right (Privatrecht) in the state of nature. A defining feature of acquired rights in the state of nature is their inconclusive status, and I will argue that this is what Kant means by provisional rights. Rights in the state of nature are inconclusive by definition, since only a condition of public law can provide binding closure in the event of contestation, thereby rendering the right conclusive. ‘Providing binding closure’ presupposes the authority to issue a binding verdict and is not exhausted by a claim to truth or correctness about one’s interpretation of rights (since disagreement about how rights should be interpreted lies at the root of bona fide rights disputes). In other words, authority to bind in Kant’s framework is not grounded on an epistemic claim.Footnote 10 As we will see, it is precisely the indeterminate status of acquired rights in the state of nature that motivates the duty to leave that state.Footnote 11
Because we can already identify rights in the state of nature, individuals will be called upon to satisfy their corresponding duties despite the absence of juridical institutions. For instance, if A and B have agreed to buy and sell with each other, A will acquire a duty of right towards B, while B acquires a right towards A.Footnote 12 Although A has a duty of right towards B (as the primary duty bearer), B is not able to claim her right in a proper manner in the absence of a court of justice; however, this leaves it unchanged that A has a duty of right against B. B’s claim is provisional in the sense that it cannot be made determinate (bestimmt) unless certain external conditions obtain (namely, the existence of a legal order, rules of legal procedure, etc.). Until then, B can only hope that A will honour the terms of their agreement or attempt to enforce her right unilaterally (without authority to do so) in case A violates their agreement.Footnote 13
However, addressing rights claims may be ‘left to individuals’ in a different way. This may be because the content or matter of individual rights can overlap with that of duties of beneficence. In this case, respecting rights (giving someone what is their due) and helping them (in Kant’s terminology: ‘adopting their happiness my end’Footnote 14) may not be clearly differentiated in the agent’s perspective, especially when agents must rely solely on internal motives to comply with duties of right.Footnote 15 As external duties, duties of right allow a wider range of motives for compliance than duties of virtue. Although duties of right do not require ethical motivation,Footnote 16 duties of right are nevertheless ‘indirect-ethical’, that is, virtue prescribes internal motivation for the compliance with right.Footnote 17
In such a scenario, A could come to regard her contractual duty towards B as merely ‘meritorious’, since no one has the authority externally to coerce her to honour her agreement. Or if A defaults and B is left in a situation of need as a consequence, C could decide to help B and enforce B’s right unilaterally. In another scenario, C could decide to provide materially for B, even though C is neither the primary duty bearer of her right nor responsible for her deprivation. In the latter case, C is addressing the need that results from A’s violation of B’s right and not the wrong as such. She is neither enforcing B’s right unilaterally nor addressing the right as a right. She is simply addressing the need that results from B’s deprivation of her right and I will assume she is acting from an ethical motivation, that is, out of respect for the moral law which commands one to take the permissible ends of others as one’s own end.
From the above, it is possible to identify three distinct problems in the state of nature:
1. Individuals lack the authority to issue binding interpretations of what they take to be legitimate right claims and to coerce these rights (unilaterality problem);
2. Individuals may fail to uphold the dignity of others when they conflate the strict duties corresponding to their rights with meritorious ethical duties (dignity concerns);
3. Individuals may be badly positioned to discharge such duties, such that what seems right to do in the eyes of the agent may end up being too demanding for individuals (demandingness problem).
9.2.1 Unilaterality Problem
Even though persons can identify rights in the state of nature through reason (objectively), these judgements have private character and cannot authoritatively bind others externally.Footnote 18 Distinctive of Kant’s legal theory is the idea that one’s correct but private judgement about rights does not warrant the authority to decide and coerce others in matters of right. One may indeed do so (without authority), due to the normative vacuum of the state of nature, that is, the fact that there is no public enforcement of rights. However, in contrast to John Locke,Footnote 19 the unilaterality problem arises for Kant because even though one may have ‘right on one’s side’, the authority to impose one’s judgements about rights on others externally requires omnilaterality.Footnote 20 Omnilaterality is the condition of reciprocity in external relations. Therefore, the unilaterality problem in the state of nature concerns the moral possibility of binding others, which is also directly connected with the moral possibility of externally coercing them.Footnote 21 Although Kant derives the concept of rightful coercion analytically from the concept of a hindrance of freedom (which coercion then logically negates), the authority to coerce is not analytically derived from the concept of a ‘negation of a negation’ of external freedom.Footnote 22 Instead, the authority to coerce is derived synthetically from the united will of all under public law (instituted, not original).Footnote 23 The unilaterality problem thus arises because the normative condition for the enforcement of rights is not given in the state of nature and needs to be brought about in a condition of public law that has yet to be established.
9.2.2 Dignity Concerns
In certain passages, Kant expresses concerns about addressing the consequences of violations of rights as a matter of meritorious duty or virtue. Since it is possible to discharge duties of right from ethical motivation, the problem is not that relying on ethical motivational while discharging duties of right is problematic (since it is clearly permissible from a legal perspective and required from an ethical perspective). The difficulty arises from addressing the rights of others as if they were only matters of virtue, since this would be incompatible with the dignity of the right holders. There is something humiliating about someone’s right claim being made into the object of another’s beneficence, even though the line between moral concern for another’s wellbeing and respecting the dignity of persons may not always be clear. Depending on the goodness of others to have one’s right respected is problematic because beneficence is not something one can demand from others as a matter of right; one also becomes indebted to the benefactor since beneficence is freely bestowed.Footnote 24
Even under a civil condition agents may tend to treat right claims as a matter of beneficence. Further, it is more convenient to regard oneself as doing something meritorious for others rather than giving others what is owed to them. Duties of right are strict, while duties of virtue are wide. Assuming a duty of virtue would allow the agent more flexibility for compliance and the possibility to do less than the duty of right would prescribe, not to mention the idea that one would be acquiring merit as a consequence of one’s conduct (as opposed to doing one’s strict duty). Although the possibility of genuine ignorance must be granted, self-deceit can also motivate such a vitium subreptionis. A vice of subreption is a mistake in cognition; in this case, in the recognition of the appropriate moral category (the type of duty in question). Self-deceit is a psychological mechanism allowing an agent to rationalize away her own awareness of possibly objectionable conduct and thus to stop scrutinizing her motivations. Since complete honesty with oneself would require recognizing oneself as morally unworthy, which is painful, self-deceit allows agents to believe that they are being moral when they are not, which feels better than acknowledging blame and taking full responsibility for one’s conduct.Footnote 25
Rights preserve an important sphere of external freedom that (in principle) allows right holders to pursue ends, including providing for themselves, to a certain extent independently of constraints imposed by the arbitrary choice (Willkür) of others; having their rights violated means that they may be in a position where they will need the beneficence of others to satisfy their needs. Kant identifies two ethical dangers in this scenario: the humiliation of the helped and the self-glorification of the helper.
1. Humiliation of the helped: Beneficence binds the beneficiary towards the benefactor. Kant acknowledges that being indebted towards one’s benefactor can be humiliating to a certain extent, and may cause resentment towards the benefactor as a result of one’s hurt pride.Footnote 26 While the duty of gratitude is a means to counteract the tendency of beneficiaries towards resentment, benefactors are required to be beneficent in ways that do not cause the beneficiary to feel humiliated, since this would be incompatible with adopting the happiness of others as one’s end. For instance, Kant acknowledges that it is better to practise beneficence in secret or anonymously than to let one’s identity be known.Footnote 27
2. Self-glorification of the helper: The benefactor, who may be in a position to do beneficence with no considerable cost to herself, may revel (schwelgen) in moral feelings at the thought of her beneficent action. Whatever the source of the need, if the benefactor is well situated to help another at no significant cost to herself, Kant suggests that she should not regard her action as meritorious, but in the manner of strict duty instead.Footnote 28 A further reason for Kant’s claim that one should treat beneficence subjectively as a strict duty, this time specifically under a civil condition, is that systemic injustice through the shortcomings of existing governments may be at the root of the poverty individuals are addressing through beneficence. Since wealthier individuals may be indirectly benefiting from the injustice of their governments and society, their merit is questionable.Footnote 29
9.2.3 Demandingness Concerns
Rights preserve the individual sphere of external freedom that allows persons to set and pursue their own ends by providing them with immunity from the arbitrary interference of others.Footnote 30 Therefore, thwarting this sphere of freedom can bring about material dependence on the means of others. Although as finite beings we are by nature vulnerable and mutually dependent on each other, rights violations can be a cause of human dependence on the charity of others.
If an agent takes seriously Kant’s admonitions about avoiding humiliation to others and treating wide duties as if they were strict ones (given the possibility of systemic injustice), she may find herself in a situation that is extremely morally demanding. Since the acute needs of others would trigger a duty of beneficence (to which morally conscientious agents are more responsive than other, less morally attuned agents), morally conscientious agents would find themselves in a situation in which they would bring it upon themselves to compensate for these needs. Since we can assume that morally conscientious agents constitute a minority of all agents who are actually under the duty, depending on the degree of deprivation, the help required to bring about a satisfactory level of support would require such agents to weigh beneficence against the promotion of their own ends and happiness. A paradox arises from this scenario. A morally good agent is actually worthy of happiness.Footnote 31 However, being a morally good agent, especially under acutely demanding scenarios, would mean that precisely these agents may need to sacrifice their own happiness to address need. Therefore, the best moral agents may be less likely to enjoy the happiness they morally deserve.
Elsewhere I argued that moral overdemandingness is not intrinsic to Kant’s moral theory, but contingent upon external circumstances.Footnote 32 Injustice and lawlessness do not only bring about need but also directly contribute to moral demandingness. This means that protecting moral agents provides an additional ethical argument for Kant’s exeundum, which I take to imply not a mere ‘one off’ move out of a state of nature. As stressed earlier, the state of nature is a matter of degree: although a group may have left the absolute state of nature by entering a legal order, they are still in a relative state of nature in regard to other polities, towards whom their external relations remain unregulated. Further, their internal public institutions will be still very far from the rational ideal of a Kantian res publica, according to which the principles of external freedom and equality before the law are the basis of legislation. There is thus a duty continually to improve this legal order in order to bring it closer to the rational ideal. The exeundum is thus an ongoing obligation to transition towards a more inclusive condition of public law, both domestically and internationally. It is inclusive because arbitrary discrimination and interference must be gradually abolished and the scope of those included in the juridification of external relations is enlarged, compatible with hierarchies of legal orders, at different levels.Footnote 33
The argument presented above lends support to the idea that Kant’s legal-political thought has a transitional character. It enables us to address real-world politics and institutions with the guidance of pure principles derived from Vernunftrecht, or Right of Reason. There is something very appealing about this picture. It allows us to dismiss the cliché of Kant’s theory as empty formalism; we find instead a versatile theory that can guide us through the messiness and complexity of real political practice. It is thus not surprising that Kant’s theory was recently rediscovered and celebrated as a promising theory of transitionality.Footnote 34
While I do not dismiss the potential of Kant’s legal theory, which proponents of a Kantian theory of transitionality are very correct to stress, in Section 9.3 I will address what I take to be a misunderstanding of Kant’s theory in the recent literature: the conflation of ‘transitionality’ with what Kant scholars have referred to as ‘provisionality’. While there is a sense in which provisional rights are rights under transitional circumstances (i.e. in the development towards a condition of public law), I argue that talking about ‘provisionality’ in general, or applying this notion to duties, misses the point. Kant restricts the attribute ‘provisional’ to acquired rights, and for a good reason: it is the indeterminate status of acquired rights in the state of nature that compels us to leave that state.Footnote 35 Once we understand why acquired rights in the state of nature are deemed ‘provisional’, it becomes clear that it does not make sense to talk about provisional duties or ‘provisionality’ in general. While there is indeed a connection between ‘transitionality’ and ‘provisionality’, this relation pertains exclusively to provisional rights.
9.3 The Meaning of ‘Provisional’
Kant’s conceptions of provisional rights and of permissive laws have received growing attention in recent Kantian philosophy and Kant scholarship. Although Kant himself reserves the attribute ‘provisional’ (provisorisch) to rights, Kantians have extended the attribute ‘provisional’ also to duties. It has also become common to refer to ‘provisionality’ in general.Footnote 36
In her article ‘Kantian Provisional Duties’, Heather Roff argued that in the state of nature we can identify duties that are ‘provisional’, that is, ‘conditional’ upon the agent’s ability to act. In the state of nature, duties of justice are thus ‘conditional duties’. According to Roff,
‘conditional’ or ‘provisional’ duties are conditioned by structural requirements, i.e. they have enabling conditions. As long as people are enabled, then they are under a strict necessitation to act. But if some people are disabled or disempowered, then there is (or at least might be) no duty for those agents. If it is determined that an agent has a duty, then that duty still stands as a necessitation to act. Thus provisional here means limited by some special nullifying hindrance of a temporary nature, e.g. the hindrances of a state of nature, civil war, civil breakdown during a natural disaster, or anything which makes some incapable of fulfilling duties of justice. In the absence of an authoritative neutral judge and the rule of law backed by a coercive force, duties of justice are provisional. Some examples might be helpful here. Looking solely at Kant’s works, four provisional duties are easily identifiable: initial acquisition of property, initial institution of civil society, autocrats governing in accordance with republican principles, and sovereigns delaying preliminary articles 2, 3 and 4 of Perpetual Peace.Footnote 37
The idea that certain duties have ‘enabling conditions’, that is, that they may only apply to agents who are materially able to discharge them, is barely something that applies only to duties of justice in the state of nature. Latitude in general signalizes that practical reason is taking into account the limitations of finite rational agents for discharging a duty. All imperfect duties, insofar as they are wide duties, allow agents some latitude in deciding how to discharge the obligation, permitting them to circumvent material limitations (temporary or otherwise) or to reconcile the duty in question with other indirect duties that also require the agent’s time and resources. In the Groundwork, Kant refers once to strict duty as allowing ‘no exceptions to the principle of duty’, indirectly suggesting that wide duties would allow such ‘exceptions’.Footnote 38 However, the idea of a duty allowing an ‘exception’ is misleading (and Kant himself acknowledges this later on, appearing to contradict himself).Footnote 39 It is not the case that a duty ‘ceases’ to apply to the agent if she is incapacitated; it is only a determinate act token or course of action which is ruled out as an option for the agent if she is incapable to act in a specific way. The view that the duty ‘ceases to apply’ is due to a confusion between the principle of duty (the ground of obligation) and particular actions that would discharge the obligation.Footnote 40 From a Kantian perspective, the obligation lies in the principle of duty, and not in the token actions we consider required by the principle. Actions are applications of maxims of duties to the particular circumstances of a concretely situated agent. They result from our judgement or interpretation of what we are required to do in a specific scenario, or from what is generally considered to discharge or comply with a certain obligation. Paradigmatically, imperfect duties are derived from second-order moral ends that all agents are required to adopt.Footnote 41 If a specific act-token that would fall under the description of the duty must be contingently discarded as an option for discharging the duty, this does not extinguish the duty itself, but only a possible way of complying with the duty. The agent can discharge the duty in other ways or at a later time, although she may feel sorry or even guilty that she cannot act when prompted to. This is especially the case when the need of specific persons must go unattended, since agents who are genuinely committed to a moral end will particularize moral requirements: concrete external circumstances may trigger a specific duty (say of beneficence or justice). Responding to these external circumstances is thus considered in the agent’s judgement as her moral task (what she is required to do under the circumstances). Not being able to comply with one’s moral tasks of the moment will be perceived by conscientious moral agents (i.e. agents who genuinely care) as a moral failure and a reason for regret, although this may not be objectively the case.
The comparison with wide duties of virtue seems to beg the question, since Roff is talking about duties of justice in the state of nature as being ‘conditional duties’. These are not duties involving latitude; paradigmatically they are strict and in principle externally coercible. However, there are cases in which a duty is objectively strict and yet must be treated subjectively as wide. Kant’s ethical and legal-political works are strewn with examples of objectively strict duties that are treated subjectively as wide ones.Footnote 42 Consider the examples mentioned by Roff, namely, preliminary articles 2, 3, and 4 of Towards Perpetual Peace. In Kant’s own words, these are laws that:
taking into consideration the circumstances in which they are to be applied, subjectively widen his authorization (leges latae) and contain permissions, not to make exceptions to the rule of right, but to postpone putting these laws into effect, without however losing sight of the end; he may not postpone to a nonexistent date (ad calendas graecas, as Augustus used to promise) […] For the prohibition here concerns only the way of acquiring, which from now on shall not hold, but not the status of possession.Footnote 43
Under the wide laws (leges latae) mentioned above, we see not an ‘exception’ to the principle of right, but the preservation of an acquisition title together with the commitment to refrain from a specific mode of acquisition in the future. The title of acquisition is not deemed invalid, although its mode of acquisition is now considered prohibited. The wide law thus allows states of affairs to be brought gradually in line with the rule of right, as opposed to being retroactively corrected.Footnote 44 This case in which a strict duty (to abstain from certain modes of acquisition) is treated subjectively as wide is what I will call a matter of moral prudence (when being too strict or too hasty in its implementation would result in undermining the moral end altogether). True, moral prudence enables a transition towards a more just legal order by allowing gradual change. But does it mean that we are dealing with a ‘provisional’ duty?
Roff argues that provisional duties are strict duties turned wide, thus enabling postponement. Roff’s interpretation is a clear response to the demandingness problem I sketched before. Because compliance with juridical duties can be extremely burdensome on individuals in the state of nature, those duties must allow for leniency. This point, she states, is not merely that ‘ought implies can’, but that there is something ‘distinctive about provisional duties that deserves attention’.Footnote 45
However, identifying wide principles of duty (leges latae) with ‘provisionality’ ultimately obscures the reason why we should leave the state of nature in the Kantian framework. The rationale behind the duty to ‘bridge the juridical gap’ becomes unintelligible, if not circular. While latitude may be understood as a policy of ‘moral prudence’ by allowing us to protect the moral ends reason commands us to realize and avoid being overly demanding on individuals, the attribute ‘provisional’ refers to the conditions required for the possibility of obligation. At stake in the case of provisional rights is precisely their capacity to bind, that is, the moral faculty of the right holder to impose a duty on others. As I will explain, duties corresponding to acquired rights in the state of nature are possible due to permissive laws of practical reason. In contrast to the acquired rights to which they correspond, corresponding duties need not be deemed ‘provisional’.
The interpretation I defend in this chapter is that provisional rights are rights whose status is still indeterminate; provisional rights are thus still vulnerable to contestation by competing rights claims. Peremptory rights, in contrast, have a conclusive status. All other competing rights claims are thus ruled out. Provisional (provisorisch) alludes to the modality of a right. Provisional rights are rights in expectation of a future civil condition, under which they can become peremptory or conclusive, that is, morally necessary.Footnote 46 It is thus imprecise to think about provisional rights as being ‘temporary’ as opposed to ‘permanent’, although these meanings may seem very close to the idea of a modality of rights.
9.3.1 Acquired Rights and Permissive Laws of Practical Reason
Before developing my argument in more detail, I will point out a related problematic interpretation, this time focusing on the notion of permissive laws.Footnote 47 Permissive laws are directly connected to provisional rights. It is thus not surprising that the way ‘provisionality’ has been constructed in the secondary literature has direct implications for the interpretation of permissive laws, namely as principles that temporarily permit the morally impermissible.
Lea Ypi, in her influential article ‘A Permissive Theory of Territorial Rights’, offers the following interpretation of permissive laws:
A permissive law, according to Kant, is ‘necessitation to an act such that one cannot be necessitated to do it’ (8:348; 321 fn). This apparently obscure definition is meant to introduce a third kind of norm (in addition to commands and prohibitions) required to exceptionally justify acts that we would ordinarily consider incompatible with principles of right. The Kantian idea that an action is incompatible with principles of right if it cannot coexist with everyone’s freedom in accordance with universal law (6:231; 387) has already been discussed by other authors […]. What bears emphasis is the relationship of this definition to permissive principles, i.e. their employment to assess normatively relevant circumstances in which a course of action incompatible with the idea of equal freedom is pursued.Footnote 48
According to Ypi, permissive principles justify states of affairs incompatible with the idea of right ‘only provisionally and conditionally’. They are thus provisional in the sense that they temporarily permit an unrightful state of affairs ‘as long as principles of right are not in place’. Therefore,
it might be possible that, at T1, an action is incompatible with principles of right but justified because it is the only way through which those principles could be realized. This does not mean that the same permission is also required at T2, where other avenues might be available. Hence, permissive principles are principles of transition: they apply to past actions but not necessarily to future ones.Footnote 49
This reading presupposes the idea that an unrightful state of affairs must precede the implementation of a condition of public justice. Violence is nothing other than coercion without law, the difference being that under the circumstances specific coercive acts may actually be conducive to the institution of a civil condition. As necessary means to a morally required end, violence and thus injustice must be tolerated, but only ‘conditionally’, that is, as long as required to further the moral end. The problem with this view is the idea that something incompatible with right is permitted for the sake of right itself, a view that may sound strikingly consequentialist to Kant’s stunned readers. As Bernd Ludwig observed, although Kant did express this view earlierFootnote 50 (and we also see it expressively formulated in 1795 in Towards Perpetual Peace),Footnote 51 Kant seems to have abandoned the ‘experimental’ idea that violence must necessarily precede Right before the creation of a civil state.Footnote 52 How should we thus understand the idea of a permissive law in the absence of a condition of public law? Ludwig suggests that the use of coercion must be already rightful from the very beginning, but does not elaborate the claim further.Footnote 53
In Section 3.2, I will develop the idea that permissive laws enable certain legal positions in the state of nature. It is not that something unrightful must be accepted as a necessary bridge towards a rightful condition, but that rightfulness must be established ex-ante as a precondition to a future civil condition. The reasons for this are not empirical considerations about implementing ends in transitional scenarios but a rational requirement to adopt certain normative assumptions. Therefore, while the idea of permissive laws as principles of transitionality indeed applies to Perpetual Peace,Footnote 54 it cannot be conflated with the concept of provisional rights. As already pointed out by Joachim Hruschka, we are dealing with two distinct meanings of permissive laws in Towards Perpetual Peace and the Doctrine of Right.Footnote 55
9.4 Permissive Laws as Power-Conferring Norms
Joachim Hruschka argued that in order to understand permissive laws in the Doctrine of Right one must distinguish between two meanings of permitted actions: actions that are ‘allowed’ (erlaubt) and actions that are ‘merely allowed’ (bloß erlaubt).Footnote 56 The actions and states of affairs that are the subject matter of permissive laws are ‘merely allowed’: they are neither prohibited nor commanded. One is at liberty to perform or not perform them. For instance, all things equal, I am at liberty to touch the tip of my nose with my finger. I am neither obligated to nor prohibited from touching the tip of my nose. What is distinctive of permissive laws in general is therefore not that they turn the prohibited into permitted, but that they turn the morally indifferent into a morally relevant action or state of affairs.
Drawing upon Achenwall, Hruschka’s insight is that permissive laws transform mere liberties (i.e. actions that are morally indifferent) into moral faculties, that is, into morally relevant actions with the power to bind others, giving rise to a proper individual right. The permissive law in the Doctrine of Right should be thus understood as a power-conferring norm.Footnote 57 Its role is to create obligations from deeds or states of affairs that otherwise would not give rise to rights. Note that this takes place outside a condition of public law (i.e. in the state of nature).
This postulate can be called a permissive law (lex permissiva) of practical reason, which gives us an authorization that could not be got from mere concepts of right as such, namely to put all others under an obligation, which they would not otherwise have, to refrain from using certain objects of our choice because we have been the first to take them into our possession. Reason wills that this hold as a principle, and it does this as practical reason, which extends itself a priori by this postulate of reason.Footnote 58
Kant claims that ‘reason wills that this holds as a principle’. What does it mean to say that ‘reason wills’ x? Provisional rights are acquired rights in the state of nature. As acquired rights, they rely on the notion of a permissive law of reason for their bindingness. In contrast to Achenwall, who believed that self-preservation provided the moral basis for certain moral faculties,Footnote 59 Kant thought that only an act of choice (Willkür) that also had universal character (i.e. not contingent, not unilateral) could be the basis of a moral capacity to coerce others externally. Since these conditions are only fulfilled in a condition of public right, and yet acquisition must take place before the implementation of a condition of public right, the permissive law is called upon to create a moral faculty in the state of nature. The permissive law turns a mere liberty (‘no-duty’) into a moral faculty, which creates rights and corresponding obligations. Provisional rights are thus ex ante rights.
The way Kant connects permissive laws and provisional rights follows from his apagogical argument for acquired rights in the state of nature.Footnote 60 An apagogical argument is an indirect proof of a proposition (from the Greek apagein, ‘to lead away’). Something must be assumed to be true given another proposition, whose truth cannot be denied.Footnote 61
For an object of my choice is something that I have the physical power to use. If it were nevertheless absolutely not within my rightful power [sollte es nun doch rechtlich schlechterdings nicht in meiner Macht stehen] to make use of it, that is, if the use of it could not coexist with the freedom of everyone in accordance with a universal law (would be wrong), then freedom would be depriving itself of the use of its choice with regard to an object of choice, by putting usable objects beyond any possibility of being used; in other words, it would annihilate them in a practical respect and make them into res nullius, even though in the use of things choice was formally consistent with everyone’s outer freedom in accordance with universal laws. – But since pure practical reason lays down only formal laws as the basis for using choice and thus abstracts from its matter, that is, from other properties of the object provided only that it is an object of choice, it can contain no absolute prohibition against using such an object, since this would be a contradiction of outer freedom with itself.Footnote 62
It is possible to think of each person making use of objects of choice (whatever these are) as mutually compatible with the freedom of everyone else. But how can we be sure that it is rightful to make use of objects of choice? For the sake of the argument, we could try to imagine what would be the implications of deeming the use of objects of choice impossible from the perspective of right. We do not need to assume that using these objects is prohibited by reason; our assumption is instead that objects of choice are beyond the scope of the principles of right. They cannot belong to anyone because the juridical concept of possession (as something that belongs to another as a matter of title), cannot apply to any external objects. In this case, we would need to assume that all objects of choice are res nullius, that is, things that cannot possibly be or become the Mine or Thine of any person. A res nullius is not merely a res vacua (a ‘vacant’ object which contingently happens to have no possessor); it is something that in principle cannot belong to anyone, that is, out of reach from the perspective of rights. However, if we take into account the very concept of practical reason, we realize that the fundamental end of practical reason itself must be Willkür or choice. Choice is about setting and pursuing ends for ourselves. It follows that if we assume, at the same time, that objects of choice (the very matter of choice) are outside the scope of Right, this would amount to denying choice as the fundamental purpose of practical reason. It would imply a contradiction.
Apagogical arguments are often identified with reductio arguments (reductio ad absurdum). However, this comparison is not very helpful for understanding how apagogical arguments can function as indirect proofs in Kant’s theory. Kant makes wide use of apagogic argumentation in the Groundwork, more precisely, in the way duties are derived from the categorical imperative. For instance, the prohibition against suicide arises from the insight that universalizing a maxim of taking one’s life whenever one is distressed would be incompatible with ‘the end of nature’; similarly, a false promise, when universalized, would contradict the very end of communication and speech. The opposite maxim of veracity must be thus adopted as a duty. Similarly, we must admit the possibility of acquired rights in the state of nature (i.e. provisional rights) because assuming the contrary would lead to a contradiction of practical reason with itself: freedom would be depriving itself of its own rationale, that is, its exercise of choice in regard to external objects (the objects of one’s choice). Therefore, it must be possible to make use of external objects (they must be included within the scope of rights) and a permissive law must be posited to confer persons a power to bind others that they could not otherwise have (i.e. unilaterally).Footnote 63
Which kind of contradiction does Kant identify in his argument for the possibility of possessing objects of choice? Comparing the above Doctrine of Right passage with the Groundwork, it is not a contradiction in thought or in conception, but a contradiction in the will.Footnote 64 We cannot will that such a state of affairs (external objects as res nullius) be the case. Why not? The assumption is a substantive one: it presupposes a conception of the nature of practical rationality in its external orientation. Reason ‘wants’ objects of choice to become the objects of choice of someone. Given the end of practical reason, it is therefore fundamental to assume that we can incorporate our use of objects under the scope of external freedom and thus of rights.
If so, why are rights to objects of choice ‘provisional’ in the state of nature? Why can’t reason also fully settle their status as the conclusive rights of someone in the state of nature? This is because even though it is possible to have objects of choice, acquiring specific objects in such a way as to enable the exercise of choice also entails an entitlement against arbitrary interference from others; my immunity from interference requires an ability to impose a corresponding liability on all others not in possession of my object not to interfere with my exercise of choice. I must thus be able to bind all others to respect my possession. The right is provisional because I can only bind under universal conditions (omnilaterality), and these conditions are not given in the state of nature.
A possible objection to the interpretation of permissive laws as power-conferring norms in the Doctrine of Right would be the idea of natural permissive laws. These appear in his discussion of personal rights akin to rights to things.Footnote 65 I have argued that the role of permissive laws in the case of provisional rights is creating a moral faculty, not turning the morally impermissible into the morally permissible. At least in the case of sexual/marital relations, Kant did seem to think that the permissive law would be turning something prohibited, namely, enjoying another person as an object, into something permissible, that is, an exclusive and reciprocal personal relationship in which the partners mutually acquire each other (Kant’s conception of marriage). Kant postulates that sexual relations between persons of the opposite sex are permitted by a ‘natural’ permissive law.Footnote 66 One may wonder why the permissive law is deemed ‘natural’ in this and in the other two types of personal rights. For the sake of brevity, I will focus on marital rights.
As Kant explains, in the state of nature ‘there can be societies compatible with rights (e.g. conjugal, paternal, domestic societies in general, as well as many others); but no law “you ought to enter this condition” holds a priori for these societies’.Footnote 67 There is thus no duty to enter such personal relations. And yet, there is something about our human nature that makes these personal relations both unavoidable and morally problematic. They have to do with facts about the human species (sexual desire, procreation, the need to form a household). While biological facts per se do not give rise to rights, we see the rational need to bring personal relations that are shaped by these fundamental biological facts under the scope of Right. The permissive law is ‘natural’ in this case because it involves empirical aspects of human life that would not automatically involve rights; however, these relations must nevertheless be brought into the sphere of right for their very moral possibility.Footnote 68 And this seems to contradict my previous interpretation of permissive laws.
Unlike external objects of choice, there would be no contradiction of practical reason with itself in depriving oneself of sexual relations with another person. In fact, Kant is puzzled about the idea of enjoying another person sexually; he suggests that sex is the most objectionable way in which one could instrumentalize another rational being. However, Kant is ambivalent about why one should nevertheless allow heterosexual sexual relations between consenting adults. While he argues that reproduction of the species requires sexual relations (and this is his argument for rejecting same-sex sexual relations and bestiality) he nevertheless does not restrict heterosexual sexual relations to reproduction; surprisingly, a possible motivation he acknowledges for engaging in sexual relations is not the intent to procreate but the enjoyment of each other’s sexual organs for the sake of pleasure.Footnote 69
The end of begetting and bringing up children may be an end of nature, for which it implanted the inclinations of the sexes for each other; but it is not requisite for human beings who marry to make this their end in order for their union to be compatible with rights, for otherwise marriage would be dissolved when procreation ceases.
Even if it is supposed that their end is the pleasure of using each other’s sexual attributes, the marriage contract is not up to their discretion but is a contract that is necessary by the law of humanity, that is, if a man and a woman want to enjoy each other’s sexual attributes they must necessarily marry, and this is necessary in accordance with pure reason’s laws of right.Footnote 70
For Kant, sexual relations must be regulated by Right not because they promote external freedom, but because only exclusive rights to each other can ensure the reciprocity required for sexual relations to qualify as compatible with the right of humanity in our persons. The argument seems to be the following: since engaging in sexual relations amounts to enjoying a person similarly to a thing and threatens to reduce them to their sexual organs, mutually acquiring each other (possessing each other as a whole person) to the exclusion of others from the same relation, is necessary for restoring the spouses’ status as complete persons within their sexual relationship with each other. Does the natural permissive law turn a morally ‘abhorrent’ state of affairs into a morally acceptable relationship in the case of marriage?
Again, the permissive law plays a power-conferring function, this time within a personal relationship. It is the permissive law that creates the moral faculty that enables the spouses to possess each other in the first place. Note that the claim goes beyond the mere consent of the involved parties to be in such a relationship. Sexual relations per se do not give rise to any claims to exclusive possession of one’s partner; only a permissive law can do that. There is something a spouse can claim against the other spouse even if she is no longer invested in or committed to the relationship.
The difference between a natural permissive law and the permissive laws I discussed before is that a natural permissive law does not need to give rise to provisional rights; the duties and rights arising from marriage do not commit us to entering a civil condition for their bindingness as does possession of external objects in the state of nature. This is because we are dealing with claims to persons; no possession of external things is involved.Footnote 71 Despite Kant’s claim that one can fetch a partner who ran awayFootnote 72 similarly to the way one would recover a lost thing, ‘possession’ in that case is a metaphor for the privilege spouses have over each other and in regard to everyone else. Although marriage benefits from the existence of a civil condition, the obligations marriage impose on other people (their lack of privilege in regard to one’s spouse) does not require omnilaterality conditions to be in place in the way possession of external objects does.
9.5 Conclusion
Kant’s apagogical argument is driven by the rational requirement to avoid a contradiction of reason with its own fundamental assumptions. Rechtswidrig (what is ‘against Right’) is thus defined as what would be self-contradictory, given fundamental, Kantian assumptions about the nature of practical reason and external freedom. The postulate thus extends practical reason by creating a moral faculty to bind.Footnote 73 Provisional rights are rights in expectation of a future civil condition.
According to the transitionality reading sketched before, Kant’s concern in formulating his legal-political theory is to account for the implementation of principles of justice under non-ideal conditions: the imperfection or complete absence of political institutions, the messiness of politics, the frailty of human nature, the need to overcome past practices that are incompatible with right and to progress gradually towards a condition that is closer to rational ideals. My criticism is aimed at accounts that identify or conflate ‘transitionality’ with ‘provisionality’. I have argued that Kant’s account of provisional rights is based on the avoidance of contradiction; the argument is thus purely formal (‘rational’ in Kant’s sense of the term). This does not mean that his theory does not have the advantages highlighted by the proponents of the transitionality reading. But in the spirit of Theory and Practice and of transcendental idealism, the view I defended in this article is that Kant’s theory can be applied to the real world primarily because it is rational, not because it is sensitive to ‘non-ideal’ conditions. Prima facie, the requirements of reason stand in a strong contrast to the complexity and messiness of reality. In order to be feasible and realistic, it seems intuitive to expect normative theories to be able to be sensitive to the particularities of a world in transition, and to allow for flexibility and a certain degree of compromise in the implementation of its goals. This is certainly true of some aspects of Kant’s political thought, namely, the leges latae (the imperfect, wide principles) discussed in Towards Perpetual Peace. In their case, a permissive law is a principle of moral prudence, allowing the postponement of reforms to a later, more opportune moment. In regard to provisional rights, however, Kant’s message is instead that reason itself must interpret the world as a normative landscape, structured into a coherent system by rational principles. Where coherence is not given within the system, it must be brought about as a matter of duty. In this case, it is our task to change the world to conform to the requirements of reason, and not the other way around. My recommendation is thus to keep what can be rightly identified as Kant’s theory of transitionality apart from his theory of provisional rights, and not to confuse the two.