Contract Theory in Historical Context

Brills Studies in
Intellectual History
General Editor

A. J. Vanderjagt, University of Groningen

Editorial Board

C. S. Celenza, Johns Hopkins University, Baltimore

M. Colish, Oberlin College
J. I. Israel, Institute for Advanced Study, Princeton
M. Mugnai, Scuola Normale Superiore di Pisa
W. Otten, University of Chicago

VOLUME 187

Contract Theory in
Historical Context
Essays on Grotius, Hobbes, and Locke

By

Deborah Baumgold

LEIDEN BOSTON
2010

Cover: King John signing the Magna Carta, England, 1215. 2010 Photos.com
This book is printed on acid-free paper.
Library of Congress Cataloging-in-Publication Data:
Baumgold, Deborah.
Contract theory in historical context : essays on Grotius, Hobbes, and Locke / by
Deborah Baumgold.
p. cm. (Brills studies in intellectual history)
Includes bibliographical references and index.
ISBN 978-90-04-18425-1 (hardback : alk. paper) 1. Social contract. 2. Grotius, Hugo,
15831645. 3. Hobbes, Thomas, 15881679. 4. Locke, John, 16321704. I. Title.
II. Series.
JC336.B38 2010
320.11dc22
2010004394

ISSN 0920-8607
ISBN 978 90 04 18425 1
Copyright 2010 by Koninklijke Brill NV, Leiden, The Netherlands.
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For Daniel F. Baumgold

CONTENTS
Preface .................................................................................................
Abbreviations .....................................................................................

ix
xvii

PART I

AN ANCIEN REGIME QUESTION: RESISTANCE

Chapter One Hobbess and Lockes Contract Theories:
Political not Metaphysical ............................................................

Chapter Two Pacifying Politics: Resistance, Violence, and

Accountability in Seventeenth-Century Contract Theory ......

27

PART II

AN ANCIEN REGIME HORIZON: PARTICULARITY

AND UNIVERSALITY
Chapter Three

When Hobbes Needed History .........................

53

Chapter Four Hobbesian Absolutism and the Paradox in

Modern Contractarianism ...........................................................

75

PART III

ANCIEN REGIME BOOKS: SERIAL COMPOSITION

Chapter Five

The Composition of Hobbess Elements of Law

105

Chapter Six

The Difficulties of Hobbes Interpretation ............

135

viii

contents
AFTERWORD

Chapter Seven Afterword: Theorists of the Absolutist

State .................................................................................................

169

Bibliography ........................................................................................

181

Index ....................................................................................................

189

PREFACE
The social contract is usually regarded as a quintessentially modern
political idea, which telegraphs the root modern principles of popular
sovereignty and governmental accountability to the people. By setting
classic contract theory in historical context, these essays present a
different view. Seventeenth-century contractarianism was a parochial
genre, they argue, that addressed problems which disappeared with the
advent of modern, electoral politics. A further theme is the parochial
nature of the texts; several essays relate Hobbess texts, in particular,
to the history of the book in the seventeenth century.
While my readings show the distance between classic social contract
theory and modern electoral politics, in doing so they illuminate
problems in the revival of contractarianism in the twentieth century.
The impulse to be skeptical of abstract, universal formulations of the
social contract, and instead to tie contract arguments to their contexts,
reflects a common critique of Rawlss initial formulation in A Theory
of Justice. As he would later acknowledge, the theory in fact builds
in his local horizon. The essays in Part I of the volume extend this
insight to Grotian, Hobbesian, and Lockean contract theories, making
the argument that they centrally address the ancien regime question
of the right to resist tyrants. Part II examines the logic of universalizing, philosophical contractarianism; these essays discuss the role of
historical facts in Hobbess political theory and the origin of modern contract theorys curious mix of voluntarist and nonvoluntarist
reasoning.
The first essay in the volume (Hobbess and Lockes Contract
Theories: Political not Metaphysical) introduces the major themes of
Parts I and IInamely, the subject, logic, and legacy of seventeenthcentury contract theory. Inspired by John Rawlss admission that his
twentieth-century contract theory builds in the horizon of modern
constitutional democracy, the essay critically examines two truisms
about seventeenth-century contract theory. The first is the stock view
that the English case is irrelevant to the logic of Leviathan and the
Second Treatise; the second, the Whiggish characterization of contract
theory as an important step in the development of democratic sovereignty. Regarding the first, I show how Hobbess and Lockes contract

preface

theories logically build in their local horizon, in the specific sense that
their political conclusions depend on introducing facts about hereditary monarchy. Second, I argue that the apparent continuity between
contract theory and modern representative democracy hides a deeper
discontinuity. Hobbesian and Lockean contract theories address an
issue peculiar to the ancien regimenamely, whether and when it
could be permissible to resist a legitimate ruler. This issue evaporated with the onset of electoral politics. Seventeenth-century contract
theory is therefore better regarded as a sophisticated approach to an
age-old issue that would soon disappear than as a stage on the road
to democracy. For reasons both of logic and substance, Hobbess and
Lockes social contracts are properly described as ancien-regime theories of politics.
The second essayPacifying Politics: Resistance, Violence, and
Accountability in Seventeenth-Century Contract Theorylooks at
another facet of these theorists preoccupation with the resistance
question: their concern with the reality of unpacified politics. Medieval and early-modern thinkers inhabited a world in which political
accountability customarily took violent forms, and it was this that gave
the resistance question its force. Working out the idea of a pacified
society was a principal problem for seventeenth-century social contract theory. Early in the century, Grotius De Jure Belli ac Pacis (1625)
defined the problem in terms that would be taken up in the subsequent theories of Hobbes and Locke. Grotius framed the idea that an
organized political society must be a pacifiedthat is, a civilsociety.
In similar vein, both Hobbes and Locke made a ban on the use of force
by private individuals the necessary and defining condition of political society. The Grotian problem inherited by Hobbes and Locke was
to specify the scope and limits of the requisite ban. Their opposing
constitutional positionsabsolutism combined with an individual
right of self-defense, in Hobbess case, versus Lockes defense of limited government and an extraordinary right of resistancerepresented
alternative solutions to the problem. Yet both were transitional figures
who envisioned pacified societies but nevertheless assumed the reality
of unpacified politics. Not until peaceful elections replaced violent
rebellion as the usual means of governmental transition would the
resistance question finally be resolved.
The essays in Part II critically examine the logic of universalistic
contract formulations. Hobbesian contract theory is commonly taken
to exemplify philosophical contractarianism, a genre devoted to gen-

preface

xi

erating abstract, universal principles, in contradistinction to a constitutional contractarian preoccupation with particular national histories
of compacts between ruler and ruled. When Hobbes Needed History
argues against the orthodox view that Hobbes never needed history.
To be sure, he intended to construct an ahistorical argument, and his
contract theory starts out this way in The Elements of Law. But political events forced him to make the argument more historical when they
brought to the fore the question, Who is sovereign?. So long as readers took for granted that England was a hereditary monarchy, Hobbes
did not need to ground his principles in historical detail. However,
when the success of the parliamentary cause dissolved that assumption, his political conclusions came logically to require the fact of the
Norman Conquest. This is made explicit in Leviathan, where Hobbes
appeals to the Conquest as the defining constitutional moment in English history. In conclusion, I argue that his historical arguments are the
strongest contractarian element in his theory because they combine
voluntarism with the idea of foundational constitutional decisions.
Voluntarist and nonvoluntarist dimensions of contract thinking are
the subject of the fourth essay, Hobbesian Absolutism and the Paradox in Modern Contractarianism. Hobbess defense of absolutism
involves the dual claims that consent is the foundation of legitimate
authority and that sovereignty is necessarily absolute. It is a paradoxical combination of claims: If absolute government is the product of
choice, how can it also be the sole possible constitution? While all of
Hobbess contractarian successors have rejected his preference for
absolutism, his dual claims have become commonplace. Since Hobbes,
contract thinkers routinely assert that people will choose their preferred constitution and that it is the only possible one. The essay examines the genesis of this paradoxical argumentation: Hobbess genius
lay in merging Grotiuss contractarian rationale with Bodins analytic
view that sovereignty must be absolute. The final section discusses
related criticisms of Rawlss contract theory, and shows that these
criticisms are also applicable to classic contract theory. Rawls inherited
a genre already flawed by the impulse to combine voluntarist with nonvoluntarist reasoning.
Part III turns from the subject and logic of classic contract theory
to the process of textual composition. The History of the Book is a
field that directs attention to the history and sociology of book and
manuscript production. Contributing to the field, the essays in this
section examine the process of composition of the three versions of

xii

preface

Hobbess political theory, The Elements of Law (1640) and De Cive

(1642 and 1647) and, finally, the masterpiece Leviathan (1651). A
process of serial composition was typical in the period and left its
mark on Hobbess arguments; the essays consider its effects and relate
Hobbess methods and circumstances to the practice and position of
other early-modern authors.
The first essayThe Composition of Hobbess Elements of Law
addresses the illustrative problem of dating the theorys original composition. Hobbes claimed to have written The Elements during the
Short Parliament of the spring, 1640, and the claim has been accepted
by many scholars. However, it seems unlikely that such a lengthy, systematic treatise could have been composed in so short a time. The
essay closely examines the text to make the case that the bulk of The
Elements of Law was written prior to the 1640 political crisis. What
were likely written that spring were chapters defending absolutism;
thus the evidence suggests that this least-admired part of Hobbes
political theory was also the least well thought out. The puzzle surrounding the composition of the Elements opens up general issues
concerning Hobbess method of writing, which are considered in the
final essay.
The Difficulties of Hobbes Interpretation lays out common and
idiosyncratic aspects of Hobbess composition process and details
interpretive difficulties created by that process. These are exacerbated
by the paucity of reliable autobiographical materials. Interpretive difficulties are surveyed under three headings: (1) the process of serial
composition (meaning the production of multiple, often expanded,
versions of a work), which was common in his period; (2) the relationship between Hobbess three political-theory texts, which is basic
to defining the textual embodiment of his theory and is controversial;
and (3) his method of writing. The survey supports the thesis that
some amount of inconsistency and muddle in Hobbess arguments
is attributable to his method of writing. The essay includes several
appendices that outline the contents of the three versions of Hobbess
political theory and concretely demonstrate his process of revision and
expansion.
Is the social contract tradition the most portentious development in
political theory of the seventeenth century? In an Afterword I discuss an alternative traditiontheories of the absolutist statein which
Bodin, Grotius, and Hobbes are leading figures and which has affinities even with the philosophy of the great critic of contractarianism,

preface

xiii

Hume. Where the contract tradition shared a common idiom, these

theories shared a common political project: namely the construction
of a state strong enough to control the religious conflicts that bedeviled post-Reformation Europe. The sensibility behind this project,
however, was hardly one of state worship. Just as, later, there would
develop a liberalism of fear, which is born of awareness of the vulnerability to political harm of subjects in the modern world, theirs was an
absolutism of fear, rooted in a similar awareness of ordinary peoples
vulnerability. In their world, religious conflict, and elite conflict more
generally, was the worst evil and a strong state necessary as its antidote. The tradition went out of fashion when the state became what
early-modern theorists of the absolutist state had desired it to be.
When, two decades ago, I began thinking about the ancien regime
character of classical contract theory, I could not have imagined where
the subject would take me, intellectually and personally. I have many
colleagues and friends to thank for sharing their ideas, helping with
mine, and generally keeping company along the way. To start with,
Ive been lucky to have smart and sympathetic political-theory colleagues in my home departmentsfirst, Alfonso Damico and, more
recently, Leonard Feldman. These essays could not have been completed without their suggestions and criticisms, nor would the journey
have been so pleasant without their companionship.
The project bears the imprint of the Cambridge School of historians
of political thought, which I first came to know through John Dunn. I
have relied on his comradeship and expertise in the years since. More
recently, Istvan Hont has given superb advice and recommendations
on these essays and related projects. I am grateful to Wolfson College and Clare Hall of the University of Cambridge for their hospitality during the period in which the essays were completed. I thank
Quentin Skinner and Richard Tuck for conversation and support during that time. I am also indebted to Hans Blom for helping bring this
volume to completion and, in particular, for advice on the concluding
chapter.
A number of other people have helped with various essays, including John Christian Laursen (chapter one), Alan Houston (chapter
two), Tom Sorell (chapter three), Barbara Altmann and Iain Hampsher-Monk (chapter five), Mary Dietz and Richard Serjeantson (chapter six), and David Leitch (chapter seven). Gerald Berk, a long-time
friend in my department in Eugene, helped me formulate a key argument in the first chapter. My deepest thanks go to two friends who

xiv

preface

are also professors of politics, Jennifer Hochschild and Julie Novkov.

Both have encouraged me, in large and small ways, for many years.
This volume is dedicated to my son, Daniel. He has grown up during
the writing of these essays, and I hope they reflect the influence of his
generous and insightful nature.
With the exception of the Afterword, all the essays have been published previously. They are presented as originally published with some
minor corrections and alterations in style. The only major correction
pertains to the discussion of Hobbess democracy first argument in
chapter five (see note 62). References have been standardized, with the
exception that essays employ different editions of Hobbess Elements
of Law. Acknowledgements are collected in the preface.
The chapters were originally published as follows.
Chapter 1
Hobbess and Lockes Contract Theories: Political not Metaphysical
first appeared in the Critical Review of International Social and Political Philosophy 8/3 (Sept. 2005): 289308. Reprint authorized by Taylor
& Francis Ltd.
Chapter 2
Pacifying Politics: Resistance, Violence, and Accountability in Seventeenth-Century Contract Theory originally appeared in Political
Theory 21/1 (Feb. 1993): 627. 1993 Sage Publications, Inc. Reprint
authorized by Sage Publications, Inc.
Chapter 3
When Hobbes Needed History was first published in Hobbes and
History, ed. G. A. J. Rogers and Tom Sorell (London: Routledge, 2000),
pp. 2543. Reprinted by permission of Taylor and Francis Books U.K.
Chapter 4
Hobbesian Absolutism and the Paradox of Modern Contractarianism
first appeared in the European Journal of Political Theory 8/2 (April
2009): 20728. Reprinted by permission of Sage Publications, Ltd.
Chapter 5
The Composition of Hobbess Elements of Law was first published in
the History of Political Thought, 25/1 (Spring 2004): 1643. Reprinted
by permission of Imprint Academic.

preface

xv

Chapter 6
The Difficulties of Hobbes Interpretation was originally published in
Political Theory 36/6 (Dec. 2008): 827855. 2008 Sage Publications.
Reprint authorized by Sage Publications.

ABBREVIATIONS
In the notes, abbreviations have been used for the following frequentlycited works.
SB

DJB

DC

EL(G)

EL(T)

LV

ST

Bodin, Jean Bodin. The Six Bookes of a Commonweale. Translated by R. Knolles and edited by Kenneth Douglas McRae.
Cambridge, Mass.: Harvard University Press, 1962. Reprint of
1606 ed. References cite the book, chapter, and page.
Grotius, Hugo. De Jure Belli Ac Pacis; Libri Tres. Translated
by Francis W. Kelsey. Oxford: Clarendon Press, 1925. References cite the book, chapter, section, and page.
Hobbes, Thomas. De Cive: The English Version entitled in the
first edition Philosophicall Rudiments Concerning Government
and Society. Edited by Howard Warrender. Oxford: Clarendon
Press, 1983. References cite the chapter, section, and page.
Hobbes, Thomas. The Elements of Law Natural and Politic.
Edited by J. C. A. Gaskin. Oxford: Oxford University Press,
1994. References cite the chapter, section, and page.
Hobbes, Thomas. The Elements of Law: Natural & Politic.
Edited by Ferdinand Tnnies. Cambridge: Cambridge University Press, 1928. References cite the part, chapter, section,
and page.
Hobbes, Thomas. Leviathan. Edited by C. B. Macpherson.
London: Penguin Books/Pelican, 1968. References cite the
chapter and page.
Locke, John. The Second Treatise of Government, in Two
Treatises of Government. Edited by Peter Laslett. Revised edition. Cambridge: Cambridge University Press, 1960. Reprint.
New York: New American Library/Mentor, 1965. References
cite the section and page number.

PART I

AN ANCIEN REGIME QUESTION: RESISTANCE

CHAPTER ONE

HOBBESS AND LOCKES CONTRACT THEORIES:

POLITICAL NOT METAPHYSICAL
In Justice as Fairness: Political not Metaphysical, John Rawls admits
that his twentieth-century version of contract theory builds in the
parochial horizon of our time. Justice as fairness is framed to apply
to what I have called the basic structure of a modern constitutional
democracy.1 In contrast to what Nagel calls the impersonal point of
view, he explains in Political Liberalism, constructivism both moral
and political says that the objective point of view must always be from
somewhere.2 By implication, Rawlss admission calls into question
more than the abstract universality of A Theory of Justice: it should
lead to a rethinking of classic contract theory generally.
According to standard accounts of contract thinking, A Theory of
Justice belongs to a tradition of theorizing inaugurated by Thomas
Hobbes and John Locke. They developed a genre of abstract, universalizing contract thinking that was sharply distinct from the older tradition of historical (or constitutional) contractarianism. A survey of
the tradition explains:
The theoretical ambitions and the aimed-for generality of thought of
those who employed [philosophical contractarianism] tended to be
greater than that of the alternative language, best described as constitutional contractarianism. . . . In constitutional contractarianism particular
positive laws and the institutional inheritance of specific polities were
more relevant and important, rather than universal propositions about
all men and all politics.3

Rawlss admission prompts us to be skeptical about so thoroughgoing

a contrast as it may confuse style with substance. If the universalistic
clothing of the arguments in A Theory of Justice fails to imply a universal

1
John Rawls, Justice as Fairness: Political not Metaphysical, Philosophy and Public Affairs 14 (1985): 224.
2
John Rawls, Political Liberalism (New York: Columbia University Press, 1993), 116.
3
Harro Hpfl and Martyn P. Thompson, The History of Contract as a Motif in
Political Thought, American Historical Review, 84 (1979): 941.

chapter one

subject,4 might not the same be the case for the theories of his great
predecessors? In Rawlsian language: Mightnt Hobbess and Lockes
contract theories be political rather than metaphysical in nature?
Granted, the standard view correspondsat least in partto the
authors intentions as well to the style of their arguments. Like the
Rawls of A Theory of Justice, Hobbes and Locke meant to be reasoning sub specie aeternitatis, as was characteristic of the natural-law tradition within which both worked (albeit in distinctsecular versus
theologicalvariants). My skeptical question concerns their grasp as
opposed to their reach. However much they intended to speak about
and to humanity, a constructivist view of philosophy suggests that
their achievement was necessarily more parochial.
To start with, it may be that the distinction between particular and
universalan argument for England versus an argument for humanitydid not strike them as self-evident in the way it does us. In terms
of intentions, they clearly meant their theories to run on two tracks.
Their universalistic arguments were meant to alter local politics,
which they conceptualized within the inherited frame of monarchy.5
If Hobbes and Locke aspired to universal philosophy, it is equally the
case that they saw themselves as reformers of an established order.
Hobbes wrote his political theory three times, starting in the late 1630s
in the waning days of Charles Is personal rule. The project began as
a brief for his patron, the prominent royalist Earl of Newcastle, in
the political debates surrounding the Short Parliament,6 and ended,

4
Whether justice as fairness can be extended to a general political conception for
different kinds of societies existing under different historical and social conditions, or
whether it can be extended to a general moral conception, or a significant part thereof,
are altogether separate questions. I avoid prejudging these larger questions one way or
another (Rawls, Justice as Fairness, 225).
5
Johann Sommerville holds a similar view of Hobbess theory: despite its veneer
of scientific detachment and its pretensions to universal validity, [it] was constructed
to support conclusions that were of the highest relevance to contemporary political
circumstances in England (Lofty science and local politics, in The Cambridge Companion to Hobbes, ed. T. Sorell (Cambridge: Cambridge University Press, 1996), 247.
See also, Thomas Hobbes: Political Ideas in Historical Context (New York: St. Martins,
1992).
6
The first version, titled The Elements of Law, circulated in manuscript in 1640. It
was dedicated to William, Earl of Newcastle, with the explanation: Now (my Lord)
the principles fit for such a foundation [of a science of justice and policy], are those
which I have heretofore acquainted your Lordship withal in private discourse, and
which, by your command I have here put into method. . . . The ambition therefore of
this book, in seeking by your Lordships countenance to insinuate itself with those
whom the matter it containeth most nearly concerneth, is to be excused (Hobbes,
EL(T), The Epistle Dedicatory, pp. xviixviii). After his flight into exile, Hobbes

hobbess and lockes contract theories

in Leviathans Review and Conclusion (1651), with a justification

of submission to Cromwells regime. But he remained throughout a
royalist, prepared to justify submission on the ground that this did the
enemy less good than refusal would have done and never prepared
to defend the constitution of the Commonwealth.7 Leviathan, he said
later, fights for all kings and for all those under any title who exercise
the rights of kings.8 After the Restoration, Hobbes welcomed the Restoration as a return to constitutional sanity. Summing up the history
of the Civil War in Behemoth, he observed that sovereign power at last
came full circle back to the Stuarts, where long may it remain.9 For
his part, Locke surely hoped that power would not remain in the current Stuarts hands much longer. Yet he nonetheless tried to persuade
readers of the Second Treatise that resistance to one king was unlikely
to change the established order:
The many Revolutions which have been seen in this Kingdom, in this and
former Ages, still kept us to, or after some interval of fruitless attempts,
still brought us back again to our old Legislative of King, Lords and
Commons.10

No more than Hobbes did Locke desire something other than a continuation of the monarchy, albeit a properly constituted monarchy.11
Intentions aside, the real issue raised by Rawlss admission concerns the logic of Hobbess and Lockes arguments. Is their parochial
English horizon built into the logic of their theories? The standard
interpretative view is that it is not. Even Peter Laslett, whose historical

quickly revamped the second, political section of the Elements into a Latin work, De
Cive, which appeared in a small edition in 1642 and in a second, larger edition in
1647.
7
Hobbes, LV, A Review and Conclusion, p. 719: if a man consider that they
who submit, assist the Enemy but with part of their estates, whereas they that refuse,
assist him with the whole, there is no reason to call their Submission, or Composition an Assistance; but rather a Detriment to the Enemy. While the chapter endorses
the Engagement principle of a mutuall Relation between Protection and Obedience
(728), no mention is made of the Commonwealth.
8
Thomas Hobbes, The Autobiography of Thomas Hobbes, trans. B. Farrington,
in The Rationalist Annual, 1958, ed. H. Hawton (London: Watts & Co, 1957), 27.
9
Thomas Hobbes, Behemoth or the Long Parliament, ed. F. Tnnies, 2nd ed.
(London: Frank Cass, 1969), 204.
10
Locke, ST, 223, pp. 46263.
11
David Wootton (John Locke and Richard Ashcrafts Revolutionary Politics,
Political Studies 40 [1992]: 7998) and John Marshall (John Locke: Resistance, Religion and Responsibility [Cambridge: Cambridge University Press, 1994], 278) argue
that the Lockeanelective and contractarianversion of the ancient constitution was
a novelty of the 1680s.

chapter one

work reformed our understanding of the context of the Second Treatise, thought the English case irrelevant. As a political theorist, he
instructs in introducing the Second Treatise, Locke made no appeal
to history or tradition. Nothing in his book could be disproved by the
discovery of new evidence about what had happened in England in
1066, or 1215 or 1642.12 The first section of this essay will challenge
this standard view through a close examination of the logic leading to
Hobbess and Lockes main political conclusions. We will see how the
political conclusions of both theories depend, albeit in different ways,
on introducing facts about the historic English monarchy.
Taking seriously the parochial horizon of classic English contract
theory has the further consequence of calling into question the familiar
periodization of the genre. The social contract is customarily regarded
as a quintessentially modern political idea which telegraphs the root
modern principles of popular sovereignty and governmental accountability to the people. On this view, it hardly matters that the great
contract theories of the early-modern period were written in the context of an ancien-regime hereditary monarchy. That is not the world
to which they belong. Rejecting the principles that animated it, they
articulate ideasabout the source of legitimate authority and the relationship between ruler and ruledthat would come to be embodied in
the institutions of representative democracy of the coming age.
Jean Hampton substantiates the view, in game-theoretic terms, in
Hobbes and the Social Contract Tradition. Lockean contract theory
and modern representative democracy share the root idea, she argues,
that rulers are hired by the people for reasons. Modern elections
simply normalize what was, in contract theory, an extraordinary right
to depose a legitimate government:
The contractarian will say that the ability of the people to make such
changes in who governs them, or in the terms of their governing, exist
in the meta political game of any state. But in modern democracies this
ability is incorporated into the political system such that it is subject to
rules of the object political game. That is, in these regimes there is an
attempt to define within the object game itself the meta political role that
people inevitably have on the social contract view.13

12

Peter Laslett, Introduction to Two Treatises of Government, by J. Locke (New

York: New American Library, 1965), 91.
13
Jean Hampton, Hobbes and the Social Contract Tradition (Cambridge: Cambridge University Press, 1986), 284.

hobbess and lockes contract theories

In the second section of the essay, I will argue, to the contrary, that
seventeenth-century contract theory is more accurately periodized as
an ancien-regime genre than as a modern one. Beneath the apparent
continuity between contract theory and modern representative democracy lurks a deeper discontinuity. Hobbess and Lockes contract theory address questions specific to the politics of hereditary monarchy,
namely the questions of whether and when it could be permissible
to resist a legitimate ruler. These questions evaporated with the onset
of electoral politics. Seventeenth-century contract theory is therefore
better regarded as a sophisticated approach to an age-old and soon-todisappear issue than as a stage on the road to democracy.
The Assumption of Hereditary Monarchy
It is certainly the case that Hobbess and Lockes contract logics do
not appear to be embedded in any specific political formation. Lockes
contractarian defense of the right of resistance presents this as a universal, inalienable right on the basis of several abstract arguments.
First, he makes indifferent authority the defining feature of civil society. It follows that absolute monarchy, in which subjects may not resist
their rulers, is indeed inconsistent with Civil Society, and so can be no
Form of Civil Government at all.14 Furthermore, he asserts that rational individuals would never consent to absolute government. To imagine they would is to suppose, in the oft-quoted metaphor, that Men
are so foolish that they take care to avoid what Mischiefs may be done
them by Pole-Cats, or Foxes, but are content, nay think it Safety, to be
devoured by Lions.15 Indeed, human beings are not actually free to
make a contract giving up the right of resistance, according to Lockean
theology: for Man not having such an Arbitrary Power over his own
Life, cannot give another Man such a Power over it.16

14
Locke, ST, 90, p. 369. He explains in the next section: For he being supposd
to have all, both Legislative and Executive Power in himself alone, there is no Judge
to be found, no Appeal lies open to any one, who may fairly, and indifferently, and
with Authority decide, and from whose decision relief and redress may be expected of
any Injury or Inconveniency, that may be suffered from the Prince or by his Order
(91, p. 370).
15
Locke, ST, 93, p. 372.
16
Locke, ST, 172, p. 429.

chapter one

Hobbes had tried to establish the reverse propositionthat unconditional sovereignty is a universal fact by virtue of the necessary structure of a social contract. He describes the contract as consisting in a
mutual promise, among incipient subjects, not to resist the will of the
sovereign, who cannot afterwards be held accountable by the people
because he was not a party to the contract.17 This is, Hobbes claims, a
logical, not merely stipulative, account of the nature of a social contract. Granting the nominalist assumption that the people as a corporate agent does not exist by nature, there simply cannot be a contract
between the sovereign and the people as a whole; there is no such
agent with whom an incipient sovereign could contract.18 Somewhat
harder to defend is the follow-up claim that accountability cannot be
justified via the idea of a contract between the sovereign and each individual subject. To do so, Hobbes introduces in Leviathan the idea that
each subject authorizes the sovereigns acts19 and defines authorization
as creating an identity between sovereign and subject that precludes
accountability.
He that complaineth of injury from his Soveraigne, complaineth of that
whereof he himselfe is Author; and therefore ought not to accuse any
man but himselfe; no nor himselfe of injury; because to do injury to ones
selfe, is impossible.20

The latter may not be a good argument, but it is an abstract one.

Like Locke, Hobbes appears to derive his conclusions from general
definitional premises rather than contingent constitutional facts. Yet
closer inspection of both theories will show that, in different ways, the
political force of their arguments depends on specifying facts about the
local constitutional or legal order.
Hobbesian Political Logic
The core of Hobbess theory of politics is the doctrine of absolutism,
meaning specifically the proposition that rulers are not accountable to
the people. This is made as an abstract claim applying to all forms of
government. About his preference for monarchy, he was more modest,

17
18
19
20

Hobbes, DC, 5.7, p. 88, and LV, 18, p. 230.

Hobbes, LV, 18, p. 230.
Hobbes, LV, 17, p. 227.
Hobbes, LV, 18, p. 232; see also 16, pp. 21722, and 18, p. 230.

hobbess and lockes contract theories

granting in De Cive that this is the one thing alone I confesse in this
whole book not to be demonstrated, but only probably stated.21 Yet
the specification of a particular constitutionnamely, monarchy (or
aristocracy)turns out to be crucial to his defense of absolutism.
That defense is devoid of political force without the specification of a
monarchic constitution (or, conceivably, an aristocratic one).
This is evident in the logic of Hobbess account of sovereignty. In
democracy, the third possible form of government, the people reserve
sovereignty for themselves and therefore rulers are accountable:
If this power of the people were not dissolved, at the choosing of their
king for life, then is the people sovereign still, and the king a minister
thereof only. . . . And farther, though in the election of a king for his life,
the people grant him the exercise of their sovereignty for that time; yet
if they see cause, they may recall the same before that time.22

In principle, democracy is simply another form of absolute government. But in practice, a democracy with an executive agent is the same
thing as a monarchy holding only conditional sovereignty.
Therefore, in order to know the nature of the relationship between
ruler and ruled, and specifically to know whether or not rulers are
accountable, the location of sovereignty must be specified. The key
factual question is who controls governmental transitions. Monarchies
are either absolute or elective (meaning conditional) depending on
whether or not the people have reserved the right (and time and place)
to choose a new ruler at the death of the old.23 If it be known who
have the power to give the Soveraigntie after his death, it is known
also that the Soveraigntie was in them before.24 The effect is to make
hereditary succession (which he defines as meaning the sovereign
chooses his successor)25 the sole criterion of absolute monarchy:

21

Hobbes, DC, The Authors Preface to the Reader, 37 (emphasis omitted).

Hobbes, EL(T), II.2.9, p. 95; see DC, 7.16, pp. 11314, and LV, 19, pp. 24546.
23
Elective kings . . . are subjects and not sovereigns; and that is, when the people
in election of them reserve unto themselves the right of assembling at certain times
and places limited and made known; or else absolute sovereigns, to dispose of the succession at their pleasure; and that is, when the people in their election hath declared
no time nor place of their meeting (Hobbes, EL(T), II.2.10, p. 96; see DC, 7.16, pp.
11314).
24
Hobbes, LV, 19, p. 246; see EL(T), II.2.910, pp. 957, and DC, 7.1516, pp.
11315.
25
E.g., Hobbes, LV, 19, p. 249.
22

10

chapter one
If . . . sovereignty is truly and indeed transferred, the estate or commonwealth is an absolute monarchy, wherein the monarch is at liberty, to
dispose as well of the succession, as of the possession.26

When Hobbes was first formulating his theory of politics, prior to the
Civil War, he and his readers would have taken for granted that the
specific government at issue was a hereditary monarchy. Making reservation of a popular right to choose the kings successor the necessary
condition of sovereign accountability only buttressed the assumption.
Since no one contended that the English people controlled succession
to the throne, Hobbess argument had transparent political force and
so the assumption of a monarchic constitution did not have to be
spelled out in the theory.
To the extent there was something unusual about Hobbess argument, it was the terms of his account of monarchic succession rather
than his constitutional assumption. His absolutist argument, privileging the kings will, contrasts with the traditional English subscription
to common- or natural-law views of succession.27 It is worth noticing
that both traditional accounts are incorporated into the Hobbesian
argument as subsidiary principles. Custom pertains, he says, in cases
in which the monarch fails to appoint an heir because silence is a
naturall signe of endorsement of custom. But when there is neither
testament nor pertinent custom, then it must be assumed that a ruler
wills the continuation of monarchy, and therefore natural principles
of preference (for children, first male, then female, then brothers, and
so forth) are to be followed.28 Presumably the point was to persuade
Englishmen that traditional ways of thinking about the matter actually
fit within his absolutist framework.
With the Civil War looming in the early 1640s, Hobbes took up a
new topic: the possibility of changing a government. The sitting of the
Long Parliament in November of 1640 soon led to debate over reform
of the constitution. In the spring, 1641, the Triennial Act passed, which
required the holding of a parliament every three years, and a variety
of other reform measures were enacted later the same year. Charles

26

Hobbes, EL(T), II.2.9, p. 95.

See Howard Nenner, The Right to be King (Chapel Hill: The University of North
Carolina Press, 1995).
28
Hobbes, LV, 19, p. 250. In addition, Hobbes stipulates that it is a natural-law duty
of sovereigns to appoint a successor in order to keep their nations from relapsing into
civil war (19, p. 246).
27

hobbess and lockes contract theories

11

I had long seen through such issues to a struggle for sovereignty; a

1629 letter declared that the Commons aim was to erect a universal, over-swaying power to themselves, which belongs only to us, and
not to them.29 As Hobbes transformed the Elements into De Cive,
he took up the idea that the people or the peoples representatives
might change a government. The new version observes that some
may inferre from the description of a contract between incipient
subjects that by the consent of all the subjects together, the supreme
authority may be wholly taken away. Although it literally cannot be
imagined, Hobbes continues, that every single subject would consent
to this, most people hold the erroneous opinion that a majority vote in
a popular assembly would suffice. Subjects must therefore understand
that though a government be constituted by the contracts of particular men with particulars, yet its Right depends not on that obligation
onely; there is another tye also toward him who commands. Hence:
the government is upheld by a double obligation from the Citizens, first
that which is due to their fellow citizens, next that which they owe to
their Prince. Wherefore no subjects how many soever they be, can with
any Right despoyle him who bears the chiefe Rule, of his authority.30

This second tie between subject and sovereign will be formalized in

the authorization covenant of Leviathan, the express point of which
is not only to deny sovereign accountability but also to bar changing
the established form of government or deposing the sitting ruler(s). By
virtue of the authorization relationship:
they that have already Instituted a Common-wealth, being thereby
bound by Covenant, to own the Actions, and Judgements of one, cannot
lawfully make a new Covenant . . . without his permission. And therefore,
they that are subjects to a Monarch, cannot without his leave cast off
Monarchy, and return to the confusion of a disunited Multitude; nor
transferre their Person from him that beareth it, to another Man, or
other Assembly of men.31

Conceptually, all this adds to Hobbess contract logic is the supposition that some form of government exists, with incumbent ruler(s).
29
This discussion is drawn from J. P. Kenyon, The Stuart Constitution 16031688:
Documents and Commentary (Cambridge: Cambridge University Press, 1969), 191
93, quoting (193) from Charles I, The kings Declaration showing the causes of the
late Dissolution, 10 March 1629.
30
Hobbes, DC, 6.20, p. 105.
31
Hobbes, LV, 18, p. 229.

12

chapter one

Nothing in the logic presupposes any particular constitution of government; however the new stipulation told readers they were not at
liberty to change the government they had inherited. So long as readers filled in the logic with the assumption that the state at issue had
traditionally been a hereditary monarchy, the implicit political import
remained clear.
As the Civil War progressed, however, the shared horizon dissolved
and abstract contract logic was no longer adequate for Hobbess political purposes: He needed to appeal to historical facts.32 By the late
1640s, he could no longer assume that his readers would presuppose
that England was or ought to be a hereditary monarchy. To justify
their cause in the Civil War, parliamentarians advanced the radical
claim that they were sovereign by virtue of representing the people.33
Answering their claim, Leviathan focuses on the concept of representation and asserts that representation is simply a facet of sovereignty.
Where there is already erected a Soveraign Power, there can be no
other Representative of the same people, but onely to certain particular
ends, by the Soveraign limited. Still, this abstract statement left open
the constitutional possibility that the so-called representatives really
were sovereign. And ruling out this possibility required Hobbes to
specify explicitly a manifest truth about the constitution at issue: in
a Monarchy, he that had the Soveraignty from a descent of 600 years,
was alone called Soveraign, had the title of Majesty from every one of
his Subjects, and was unquestionably taken by them for their King.34
Absent the Norman Conquest, in other words, England was not necessarily a hereditary monarchy, and if it was not a hereditary monarchy,
the king might be accountable to parliament or the people.
Without the fact of the Norman Conquest or, what comes to the
same thing, his readers supposition that he was treating a hereditary monarchy, Hobbess abstract contract logic could not answer the
question, Who is sovereign?. Answering this question is basic, within
Hobbesian logic, to answering the all-important question of whether

32

This argument draws on the discussion in chapter three.

E.g., Henry Parker, Observations upon some of his Majesties late Answers and
Expresses (London, 1642): In this Policy is comprised the whole art of Soveraignty . . .
where Parliaments superintend all, and in all extraordinary cases, especially betwixt
the King and Kingdom, do the faithfull Offices of Umpirage, all things remain
in . . . harmony (42); parliament is to be accounted by the vertue of representation,
as the whole body of the State (45).
34
Hobbes, LV, 19, pp. 24041.
33

hobbess and lockes contract theories

13

or not rulers are accountable to the people. He could initially formulate the theory entirely abstractly only because his audience would
import to reading it the assumption that the referent was a hereditary
monarchy. Once this could no longer be taken for granted, the supposition had to be expressly built into the argument through a historically explicit referent. Despite its philosophic appearance, this is
a constitutional contractarian defense of absolute monarchy in which
the institutional inheritance of specific polities [is] most relevant and
important.
In a curious, concluding twist, Hobbes would subsequently contradict himself and reject the historical story. In Leviathans Review and
Conclusion, he puts constitutional argument aside in favor of urging submission to the powers-that-be. Here, it is possession of power
that matters rather than its history:35 As if, he writes scornfully, the
Right of the Kings of England did depend on the goodnesse of the
cause of William the Conquerour, and upon their lineall, and directest
Descent from him.36 In context, the larger point is to urge the conquering regime to put the past out of mind37 because: For to the Justification of the Cause of a Conqueror, the Reproach of the Cause of the
Conquered, is for the most part necessary: but neither of them necessary for the Obligation of the Conquered. The argument eased the way
for the submission of royalists, though at the cost of obliterating differences between the regimes (to wit, there is scarce a Common-wealth
in the world, whose beginnings can in conscience be justified).38 This
clearly answers a different question from the constitutional arguments
that had preoccupied Hobbes during the long Civil War decade: no
longer was he concerned with how government should be structured
but, instead, simply with whether it should be obeyed.39

35
It is, Hobbes says, an erroneous opinion that they will all of them justifie the
War, by which their Power was at first gotten, and whereon (as they think) their Right
dependeth, and not on the Possession (Hobbes, LV, A Review and Conclusion,
p. 721).
36
Hobbes, LV, A Review and Conclusion, p. 721 (first emphasis mine).
37
Therefore I put down for one of the most effectuall seeds of the Death of any
State, that the Conquerors require not onely a Submission of mens actions to them for
the future, but also an Approbation of all their actions past (Hobbes, LV, A Review
and Conclusion, pp. 72122).
38
Hobbes, LV, A Review and Conclusion, p. 722.
39
For a contrary view of the significance of the defense of de facto authority in the
Review and Conclusion, see Kinch Hoekstra, The de facto Turn in Hobbess Political Philosophy, in Leviathan After 350 Years, ed. T. Sorrell and L. Foisneau (Oxford:
Clarendon Press, 2004).

14

chapter one
Lockean Political Logic

By contrast to Hobbess constitutional arguments, Lockes core political thesisthat tyrants may be resisteddoes not require any contingent constitutional assumptions. Under no legitimate constitution is
resistance ruled out of court, in principle, in Lockean theory. Grant
the definitional assertion that absolute monarchy is inconsistent with
civil society, or the complementary propositions that rational individuals would not and could not enter into an absolutist contract; and it
follows that the people always retain ultimate sovereignty and political authority is fiduciary in nature.40 Hence it is always the case that
rulerswhatever the form of governmentmay be resisted if they act
contrary to the trust reposed in them.
Yet no one doubts that the Second Treatise is enmeshed in its ancien
regime context. The generation since Lasletts pioneer work locating
the Second Treatise in the context of the Exclusion Crisis of 167983
has seen numerous commentaries detailing Lockes parochial horizonspolitical, religious, and intellectual. Richard Ashcraft extended
Lasletts work by making the case that Locke went beyond pamphleteering to participate actively in Whig conspiracies against Charles II
and James II;41 and John Dunn led the way in showing that the seeming modern liberalism of his thought is built on premodern, theological foundations.42 In addition, we also know that Locke drew on
familiar, inherited intellectual resources to conceptualize tyranny and
resistance. The work is summarily described by Quentin Skinner as
combining traditional private-law resistance theory with a secular
justification of resistance that had been developed by Huguenot thinkers in the 1570s.43 Echoing radical Calvinists of the previous century,
Locke holds that tyrants forfeit their authority and cease to be legitimate rulers; hence they may be opposed, as any other Man, who by
force invades the Right of another.44 In support of this private law
argument, the conclusion of the Second Treatise introduces the figure

40

Locke, ST, 149, pp. 41213.

Richard Ashcraft, Revolutionary Politics and Lockes Two Treatises of Government, Political Theory, 8 (1980): 42986; Revolutionary Politics & Lockes Two Treatises of Government (Princeton, N. J.: Princeton University Press, 1986).
42
John Dunn, The Political Thought of John Locke (Cambridge: Cambridge University Press, 1969).
43
Quentin Skinner, The Foundations of Modern Political Thought, vol. II, The Age
of Reformation (Cambridge: Cambridge University Press, 1978), 239, 338.
44
Locke, Second Treatise, 202, p. 448; see, also 232, p. 467; and Skinner, Foundations, vol. II, 19899.
41

hobbess and lockes contract theories

15

of Barclay himself, that great Assertor of the Power and Sacredness of

Kingseven he held That a King may be resisted, and ceases to be a
King.45 Barclay was an opponent of Buchanan, the Scottish Calvinist
thinker whose mid-sixteenth-century Right of the Kingdom in Scotland
first articulated the position, now famously associated with the Second
Treatise, that the populace as a whole has the right to resist tyrants.46
Also reminiscent of Huguenot argument of the previous century is
Lockes legalistic view of political authority and tyranny, which will be
treated at more length shortly.
All these writers, from the Rveille Matin to the Vindiciae, habitually
speak of the King as bound to respect positive law. He is bound to think
of law as lady and mistress, and if he breaks the law habitually he
becomes a tyrant.47

Hence the question is not whether the Second Treatise is a work of its
time but, rather, whether the historical context is built into Lockes
arguments to any significant degree. Most scholars regard the local
references as merely illustrations and applications of an abstract theory
that can otherwise stand on its own, independent of the parochial context, and think that Locke used traditional materials to build a theory
that escapes its ancien-regime horizon.48 However, consider closely the
logic of Lockes account of the right of resistance. In the climactic chapter of the Second Treatise, he tells us that resistance is justified when
a government is dissolved from within, which happens either: when
the Legislative is altered, usually through the misuse of authority; or
the Legislative, or the Prince . . . act contrary to their Trust.49 These
dual grounds recall sixteenth-century Huguenot theory, which distinguished tyrants by usurpation, who seize power that is not lawfully

45

Locke, ST, 232, pp. 46768, and 239, p. 473.

Skinner, Foundations, vol. II, 301, 339, 343.
47
J. W. Allen, A History of Political Thought in the Sixteenth Century (London:
Methuen, 1960), 325; see, also, J. H. Franklin, Constitutionalism in the Sixteenth
Century: The Protestant Monarchomachs, in Political Theory and Social Change, ed.
D. Spitz (N.Y.: Atherton, 1967), 122.
48
Charles Tarlton has observed that scholarly interpretations still resist treating Two treatises as mainly an activist tract and persist in characterizing it always
as something loftier, viz. political philosophy, systematic moral apologia, and the
like. . . . [E]ven critics friendly to a strictly historical approach have hesitated before
the implications of Lasletts dicta that Locke wrote as a whig pamphleteer and for
Shaftesburys purposes (The Exclusion Controversy, Pamphleteering, and Lockes
Two Treatises, Historical Journal 24 [1981]: 49).
49
Locke, ST, 212 and 221, pp. 45556, 460.
46

16

chapter one

theirs, from tyrants by practice, who use legitimate authority badly.50

Locke, we will see, uses the distinction to refer, respectively, to overstepping constitutional authority or to violating the law.
The connection to the historical context is explicit in the case of the
first criterion, alteration of the legislative:
This being usually brought about by such in the Commonwealth who
misuse the Power they have: It is hard to consider it aright, and know
at whose door to lay it, without knowing the Form of Government in
which it happens.51

Locke proceeds to stipulate a constitution of the English sort (although

it is not labeled as such) in which the Legislative [is] placed in the
Concurrence of three distinct Persons:
A single hereditary Person having the constant, supream, executive
Power, and with it the Power of Convoking and Dissolving the other
two within certain Periods of Time.
An Assembly of Hereditary Nobility.
An Assembly of Representatives chosen pro tempore, by the People.52

Stipulating a constitution is a necessary step in the argument insofar as the concept, misuse of authority, requires a prior definition
of the parameters of authority. Only within some constitutional
frameworksuch as that of Englanddoes it become possible to lay
out specific grounds for rebellion. He proceeds to enumerate several
scenarios which made transparent, though implicit, reference to the
reigns of the last Stuarts. The legislative is altered when the king (1)
sets up his arbitrary will in place of the laws; (2) hinders the assembly from meeting or acting freely; (3) meddles with elections, or the
electors, contrary to the public interest; or (4) delivers the nation into
subjection to a foreign power.53
On its face, the second criterionviolating the peoples trustis the
point at which Lockes argument escapes from any contextual referent. His purpose in introducing the criterion is to license rebellion in
advance of settled tyranny:

50

Skinner, Foundations, vol. II, 3067; see, also, Allen, History, 32021.
Locke, ST, 213, p. 456.
52
Locke, ST, 213, p. 456.
53
Locke, ST, 21417, pp. 45658. In a passage presumably inserted after the Glorious Revolution, he adds that such a Government may be dissolved if the prince
neglects and abandons his charge (219, p. 459).
51

hobbess and lockes contract theories

17

To tell People they may provide for themselves, by erecting a new Legislative, when by Oppression, Artifice, or being delivered over to a Foreign
Power, their old one is gone, is only to tell them they may expect Relief,
when it is too late, and the evil is past Cure.

The people must have the right to act earlier, when rulers violate their
trust by endeavour[ing] to invade the Property of the Subject, and to
make themselves . . . Arbitrary Disposers of the Lives, Liberties, or Fortunes of the People.54 This turns out to be a legalistic argument, making reference to both natural and civil law. The claim that government
exists to protect subjects lives, liberties, and properties is originally
founded in natural law. But, Locke says, we cannot count on natural
law being applied and applied fairly; and, therefore, positive law is
required to fill in the content of individuals protection rights.
Men unite into Societies, that they may have the united strength of the
whole Society to secure and defend their Properties, and may have standing Rules to bound it, by which every one may know what is his.55

Hence, in chapter nineteens explanation of the concept, violation of

trust, Locke invokes the need for, and importance of, positive law:
The Reason why Men enter into Society, is the preservation of their
Property; and the end why they chuse and authorize a Legislative, is,
that there may be Laws made, and Rules set as Guards and Fences to
the Properties of all the Members of the Society, to limit the Power, and
moderate the Dominion of every Part and Member of the Society.56

In this way, legal definition of what is his becomes basic to defining

arbitrary rule.
Locke finishes his discussion of the concept, violation of trust, by
adducing additional constitutional examples. The
supreame Executor . . . acts also contrary to his Trust, when he either
imploys the Force, Treasure, and Offices of the Society, to corrupt the
Representatives, and gain them to his purposes: or openly pre-ingages
the Electors, and prescribes to their choice.57

These made implicit reference to James IIs activities in 1688.58

54
55
56
57
58

Locke, ST, 22021, p. 460.

Locke, ST, 136, p. 404.
Locke, ST, 222, p. 460.
Locke, ST, 222, p. 461.
Ashcraft, Revolutionary Politics, 546.

18

chapter one

The legalism of Lockes political imagination has been widely

remarked;59 Kirstie McClure lays out the underlying logic in Judging Rights. In the period, she explains, the concept of property meant
propriety, which was a morally loaded term connoting that which
was properly ones own, particularly as this was established by law.60
What is ones own being a matter of legal definition, the conceptualization of tyranny as the violation of subjects life, liberty, or property
necessarily took on a legalistic cast: a legally constituted self-propriety [is] the experiential basis on which civil subjects might distinguish
between the lawful and unlawful exercise of . . . power.61
While Lockes legalism is widely recognized, what is less well seen
is that this legalistic logic builds a parochial context into his theory of
politics62 (although the context need not be the English ancien-regime
context that he had in view). His criteria for knowing when resistance
is justified, in the concrete, require either (a) specifying a constitutional context (for the charge of the misuse of authority) or (b) specifying a legal context (for crimes of violating subjects property, broadly
conceived). Rebellion, Locke said, is an Opposition, not to Persons,
but Authority, which is founded only in the Constitutions and Laws
of the Government.63
The sense in which the political force of Lockes theory depends
on the facts of the case is different than in Hobbess case. In the
earlier theory, the political force of the argument for unconditional

59

John Dunn, for instance, observes that this [is] a theory of the restoration of
an existing degree of legality rather than a conceptually primitive doctrine of tyrannicide (Political Thought, 182). The specific political doctrine which emerged from
the work of 167981 and which made its publication such a natural gesture in 1690
was merely the dignifying of the legal order of the English polity (The politics of
Locke in England and America in the eighteenth century, in Political Obligation in
its historical context [Cambridge: Cambridge University Press, 1980], 60). See also
L. G. Schwoerer, The Right to Resist: Whig Resistance Theory, 1688 to 1694, in Political Discourse in Early Modern Britain, ed. N. Phillipson and Q. Skinner (Cambridge:
Cambridge University Press, 1993), 251.
60
Kirstie McClure, Judging Rights: Lockean Politics and the Limits of Consent
(Ithaca: Cornell University Press, 1996), 17.
61
McClure, Judging Rights, 239.
62
An exception is James Tully, Placing the Two Treatises, in Political discourse
in early modern Britain, ed. N. Phillipson and Q. Skinner (Cambridge: Cambridge
University Press, 1993), who characterizes Locke as having a constitution-enforcing
conception of rights: the primary use of rights by Locke and republican-Whig writers
is to constrain or limit the king or parliament to act within a known and recognized
constitutional structure of lawfulness (261).
63
Locke, ST, 226, p. 464.

hobbess and lockes contract theories

19

sovereignty depended on introducing specific constitutional facts. In

Lockes case, the conclusionthat rulers are accountable to the people
and may be resisteddoes not depend on stipulating such facts, but
the practical application of the argument does.64 It may be helpful to
draw a distinction between justifying the right of resistance per se and
justifying resistance in particular cases.65 The former is a Lockean universal. However, once he effectively defines tyranny as subverting a
given constitutional order or violating subjects legally-defined rights,
justifying resistance in a particular case requires stipulating (as he
does) the constitutional or legal context. Therefore, Lasletts statement
that nothing in the Second Treatise could be disproved by the discovery
of new historical evidence about the English constitution is too strong.
The shape of the inherited constitution bore directly on the legitimacy
of rebellion in the immediate context, although it did not touch the
principle that the people always retain the right to remove tyrants.66
Given the integral role played by constitutional and legal assumptions in both theories, it is wrong to characterize them as philosophical rather than constitutional contract theories. They are boththat
is, they are theories with pretensions to universality that nonetheless
build the inherited English constitution and legal order into their
logics. Oddly enough, since Locke was more willing than Hobbes to
acknowledge the place of constitutional specifics in his argument, the
connection is weaker in the logic of his theory. Still, the political force
of his arguments requires a constitutional contract argument that
locates the theory firmly in some constitutional or legal context, and,
for him, this context was the English ancien regime.

64
For similar arguments, see McClure, Judging Rights, 22829 and 238 (because
the experiential judgment that grounds its expression is a cognizance of civil injury,
its necessary frame of reference for existential civil agents must be a preexisting constitutional order).
65
Dunn, Political Thought, notes a related, though smaller, argument: The appropriate form of resistance varies to some extent with the constitution of societyin
England for instance it appears not to be legitimate to attack the monarch himself.
But its rationale is the same anywhere in the world and at any point in human history (179).
66
Perhaps the connection between the general and the particular was spelled out
in more detail in the lost middle section of the Second Treatise, which may have dealt
with English constitutional history (Laslett, Introduction, 66; and Julian H. Franklin,
John Locke and the Theory of Sovereignty, paperback ed. [Cambridge: Cambridge
University Press, 1981], 122 n. 79).

20

chapter one
Resistance: An Ancien-Regime Problem

However obvious the affinity between contractarianism and modern

political sensibilities may seem retrospectively, the customary view
that the social contract is a modern idea passes lightly over a curious historical anomaly. Contract thinking went into eclipse in the
Anglo-American world just as representative democracy was being
institutionalized in the late eighteenth and early nineteenth centuries.
David Humes famous essay, Of the Original Contract, published in
1748, and the American Declaration of Independence of 1776, the last
great contract statement in Anglo-American politics, are convenient
markers of the demise of contractarianism in the English-speaking
world. During the emergence of ministerial government in Britain
and the constitutional founding of the United States, thinkers on the
ground seem not to have found the idea of the social contract relevant
to the new political order.
The fate of contractarianism in the modern era belies the Whiggish
story of a direct line of descent from contract theory to modern electoral politics and representative democracy. If, as Whigs think, contract theory embodied the fundamental principles of modern political
culture, why did utilitarianism overtake it to become the dominant
mode of political philosophy in the nineteenth century? Rather than
speculate about reasons for the demise of contractarianism, let us turn
to the arguments of critics on the ground in the eighteenth century.
The most famous, of course, was David Hume, whose criticisms helped
make the genre obsolete.
In A Treatise of Human Nature, Hume straightforwardly claimed
that his philosophy could do better than the contractarians at resolving their main concern. They woud prove, that our submission to
government admits of exceptions, and that an egregious tyranny in the
rulers is sufficient to free the subjects from all ties of allegiance. The
principle is correct, but their reasoning is fallacious: I flatter myself,
that I can establish the same conclusion on more reasonable principles.67 The key questions were: why, and how far, subjects are bound
to obey their government; and when resistance is legitimate. Hume

67
David Hume, A Treatise of Human Nature, ed. E. C. Mossner (Harmondsworth,
Middlesex: Penguin/Pelican, 1969), 601.

hobbess and lockes contract theories

21

claims that our shared interest in security and protection provides a

better way of answering these questions than contract theory:
There evidently is no other principle than public interest; and if interest first produces obedience to government, the obligation to obedience
must cease, whenever the interest ceases, in any great degree, and in a
considerable number of instances.68

This is a better way of thinking about resistance, Hume argues, for several reasons, negative and positive. Of the Original Contract is wellknown for criticizing the empirical falsity of the contract metaphor:
most people simply do not imagine that rulers title to authority and
subjects duty of allegiance are founded on consent.69 Furthermore,
interest underlies the very duty emphasized by the contractarians
that of promise-keepingas well as the duty of political allegiance.
The obligation to allegiance being of like force and authority with the
obligation to fidelity, we gain nothing by resolving the one into the
other. The general interests or necessities of society are sufficient to
establish both.70

Beyond the empirical falsity of contract and consent arguments, and

the greater cogency of the principle of interest, Hume saw one very
good political reason for rejecting contractarianism. That way of thinking is politically dangerous because it directs attention to enumerating
exceptions to the general rule of obedience:
as obedience is our duty in the common course of things, it ought chiefly
to be inculcated; nor can any thing be more preposterous than an anxious care and solicitude in stating all the cases, in which resistance may
be allowed. . . . Would [a philosopher] not be better employed in inculcating the general doctrine, than in displaying the particular exceptions,
which we are, perhaps, but too much inclined, of ourselves, to embrace
and to extend?

68

Hume, Treatise, 602, 604.

David Hume, Of the Original Contract, in Essays: Moral, Political, and Literary, ed. E. F. Miller (Indianapolis, Indiana: Liberty Fund, 1987), 46970.
70
Hume, Original Contract, 481. Just previously, he poses the question: What
necessity, therefore, is there to found the duty of allegiance or obedience to magistrates on that of fidelity or a regard to promises, and to suppose, that it is the consent
of each individual, which subjects him to government; when it appears, that both
allegiance and fidelity stand precisely on the same foundation, and are both submitted to by mankind, on account of the apparent interests and necessities of human
society? (48081).
69

22

chapter one

Maxims of resistance, he concludes, are, in general, so pernicious

and so destructive of civil society.71 In similar vein, he explains in the
Treatise that it is impossible for the laws, or even for philosophy, to
establish any particular rules, by which we may know when resistance
is lawful.72 Hume has the Glorious Revolution specifically in view
here. Having stated that it is impractical to make specific rules about
resistance, he notes that in mixed monarchies resistance is legitimate in
circumstances either of tyranny or usurpation of power beyond constitutional bounds73 and leaves off saying it is not his present purpose to
show how even these broad principles apply to the late revolution.74
This last complaint indicates something important about the purpose of contract theory. As Hume saw it, contractarianism framed
political analysis in terms of a casuistry of exceptions to the general
principle of obedience. It promoted an anxious care and solicitude
for detailing relevant cases and particular rules applicable to rebellion. Humes complaint is nowhere better illustrated than by another
eighteenth-century document, the American Declaration of Independence. Opening with a Lockean rationale for the right of resistance
per se and the principles governing its application, the bulk of the
manifesto is devoted to enumerating specific points that justify rebellion in the current circumstance. Jefferson takes Lockes impulse to
spell out how the resistance doctrine applied in the present constitutional case75 to the extreme with a bill of indictment against George III
detailing more than twenty-five separate complaints. For instance: He
71
David Hume, Of Passive Obedience, in Essays: Moral, Political, and Literary,
49091.
72
The impossibility, he explains, is of a practical nature, since one and the same act
may be tyrannical in some circumstances and not in others (Hume, Treatise, 614).
73
Hume, Treatise, 61415; see also Passive Obedience, 49192. These dual
grounds for rebellion are analyzed in Duncan Forbes, Humes Philosophical Politics
(Cambridge: Cambridge University Press, 1975), ch. 3.
74
The passage opens with a question and concludes with a nonanswer: But here
an English reader will be apt to enquire concerning that famous revolution. . . . It does
not belong to my present purpose to shew, that these general principles are applicable
to the late revolution (Hume, Treatise, 61415).
75
In a passage deleted by the Continental Congress (emphasized below), Jefferson
took care to specify the colonial constitutional situation: We have reminded our
British brethren of the circumstances of our emigration and settlement here . . . in
constituting indeed our several forms of government, we had adopted one common
king . . . but . . . submission to their parliament was no part of our constitution, nor ever in
idea, if history be credited(Thomas Jefferson, A Declaration by the Representatives of
the United States of America, in General Congress Assembled, in Social and Political
Philosophy, ed. J. Somerville and R. E. Santoni [Garden City, N.Y.: Doubleday/Anchor,
1963], 243). For the background and significance of Jeffersons statement, see Gordon

hobbess and lockes contract theories

23

has forbidden his governors to pass laws of immediate and pressing

importance, unless suspended in their operation till his assent should
be obtained; He has refused to pass other laws for the accommodation of large districts of people, unless those people would relinquish
the right of representation in the legislature; and He has endeavored
to prevent the population of these states; for that purpose obstructing the laws for naturalization of foreigners.76 Hume might well have
remarked a connection between this way of framing the crisis and the
pernicious Jeffersonian opinion that a little rebellion now and then
is a good thing.77
Of the Original Contract identifies contractarianism with Lockean contract theory and ignores Hobbess conservative version of the
genre. Nevertheless, Humes complaint about the schools preoccupation with detailing relevant reasons and cases has implications for
the conservative version. Hobbess absolutist contract can be seen as
the mirror opposite of Lockes and Jeffersonsthat is, an elaborate
and complex set of reasons why tyrants may never be resisted. Indeed,
Hobbess obsession with elaborating a cogent and comprehensive
series of responses to resistance questions is evident in the process,
detailed above, of revision through the several versions of his political
theory. From Humes perspective, Leviathans Review and Conclusion, which derives subjects obligation from their interest in protection, must be counted the sole sensible part of his theory. Only the
general principle that there is a mutuall Relation between Protection
and Obedience78 could have met with his approval, as opposed to
Hobbess massive contractarian denial of resistance rights.
There is, then, this second sense in which seventeenth-century English contract theory is rightly described as a parochial, political genre.
In addition to being framed with the institutions of hereditary monarchy in view, the genre addresses a species of problems specific to

S. Wood, The Creation of the American Republic 17761787 (Chapel Hill, North Carolina: University of North Carolina Press, 1969), 352.
76
Jefferson, Declaration, 241.
77
Thomas Jefferson, Letter to James Madison, January 30, 1787, in The Political
Writings of Thomas Jefferson: Representative Selections, ed. E. Dumbauld (Indianapolis, Indiana: Bobbs-Merrill, 1955), 67. See also a letter to William S. Smith in the same
year in which Jefferson exclaims, God forbid we should ever be twenty years without
such a rebellion [Shays Rebellion] and declares, the tree of liberty must be refreshed
from time to time with the blood of patriots and tyrants (Letter to William S. Smith,
November 13, 1787, in Political Writings, 68, 69).
78
Hobbes, LV, A Review and Conclusion, p. 728.

24

chapter one

the politics of those regimes. It was essentially the same question that
confronted Englishmen in the seventeenth century and Jefferson and
the colonists in the eighteenth: When is it permissible to remove an
established government with legitimate title to govern? In order to
answer this question, whether pro or con, reasons had to be given. The
edifice of contract theory provided a philosophically well-elaborated
way of arriving at good reasons for removing (or not removing) a bad
king with a good title, in Burkes phrase.79
Humes complaint about the contractarians casuistry of resistance
indicates why the genre would become anachronistic when the center
of British politics shifted from king to parliament and, in the colonies,
the constitution of the United States institutionalized a representative
national democracy. The signal fact about representative democracy
is that it largely eliminates the need to give reasons for removing rulers from power. The question When may legitimate rulers be turned
out of office? is only problematic in representative democracies when
the normal electoral mechanism fails.80 Hamptons notion that elections normalize the extraordinary right in contract theory to depose a
legitimate government is precisely and importantly wrong. Only in the
vaguest and most general sense does the electoral mechanism incorporate the contractarians meta game into normal politics. Rebellions
and elections are certainly two mechanisms whereby the people can
depose rulers. But the contractarians meta game is fundamentally
different from the normal game of representative democracies. Unlike
subjects of hereditary monarchs, precisely what citizens of modern
democracies do not need are reasons for throwing the bums out.81

79
Edmund Burke, Reflections on the Revolution in France (Garden City, N.Y.: Doubleday/Anchor, 1973), 35.
80
Indeed, the American device for dealing with that eventualityimpeachment
has itself been seen as an anachronistic inheritance from ancien-regime politics. During the furor over impeachment in the Clinton administration, the New York Times
noted that it had gone out of use in Britain by the end of the eighteenth century,
replaced by parliamentary confidence votes (A. Cowell, Impeachment: What a Royal
Pain, New York Times Week in Review, 7 Feb. 1999, p. 5).
81
Franklin, John Locke, makes a similar argument. In his view, the problem that
Locke (and Lawson) solved was the justification of resistance in a mixed constitution. The modern world, except for the United States, has dispensed with executives
who are constitutionally independent of the legislature, so the problem is now largely
irrelevant; and their solution is outdated even in the United States because elections
and impeachment now take the place of resistance. Hence, he concludes: Lockes
and Lawsons solution to the problem of removal is no longer required for a mixed
constitution (12324).

hobbess and lockes contract theories

25

So, instead of regarding classic English contract theory as the seed

of modern democratic politics, we would do better to see it as the
culmination of medieval resistance theory. The genius of the contract
metaphor lay in giving structure to the casuistry of reasons and cases
that made up resistance argumentation.82 This is to suggest a parallel between Leviathan and the Second Treatise, on the one hand, and
Filmers Patriaracha, on the other. The latter has been described as the
final coda of divine right theory. For their part, Hobbesian and Lockean contract theories completed some five hundred years of thinking
about resistance questions.
A skeptic might consider this counterfactual. Suppose the political
clock had stopped in the early eighteenth century, just following the
great success of contract thinking in the Glorious Revolution. James
II had been charged by the Convention Parliament with violating
an original contract as well as with abdicating the throne by leaving
England. While the second charge accommodated Tory conservatism,
many thought the first contractarian charge more accurate to events.83
Let us suppose, then, that England remained substantially what it was
in the early eighteenth centuryan ancien-regime hereditary monarchy bedeviled by the dynastic claims of the Stuarts. Thus erase from
history the ascendance of parliament and the collapse, at midcentury,
of the Jacobite cause, and perhaps we would now look back upon a
flowering of contract theory after Locke.
Contract theory would not flourish again until Rawls invoked the
genre to create a foil for utilitarianism. Interestingly, he purchased the
relevance of the theory by accentuating the level of abstraction: My
aim, A Theory of Justice begins:
is to present a conception of justice which generalizes and carries to a
higher level of abstraction the familiar theory of the social contract as
82

All Whig statements about resistance, Schwoerer observes, were derived from
some form of a theory of contract (Right to Resist, 238).
83
The House of Commons resolution, to which the Lords assented, stated That
King James the Second, having endeavoured to subvert the Constitution of the Kingdom, by breaking the Original Contract between king and people, and . . . having
violated the fundamental Laws, and having withdrawn himself out of this kingdom,
has abdicated the Government, and that the throne is thereby become vacant (T. P.
Slaughter, Abdicate and Contract in the Glorious Revolution, Historical Journal
24 [1981]: 330). For differing assessments of the significance of contractarian thinking
in the Convention debates, compare Slaughter with J. P. Kenyon, The Revolution of
1688: Resistance and Contract, in Historical Perspectives: Studies in English Thought
and Society, ed. N. McKendrick (London: Europa, 1974), esp. 4750.

26

chapter one
found, say, in Locke, Rousseau, and Kant. In order to do this we are not
to think of the original contract as one to enter a particular society or to
set up a particular form of government.84

How might he have rephrased this after the admission in Justice as

Fairness: Political not Metaphysical? It might have been something
along these lines: My political (as opposed to metaphysical) conception of justice is inspired by theequally politicaltheories of
the classic contractarians. Some of their ideasprincipally an absolute regard for individuals and a recognition of pluralityprovide a
basis for rejecting utilitarianism.85 We must recognize, however, that
those authors might not be able to see themselves in our appropriation
and, in any case, they were intent on answering different questions.
The concept of a tradition of contractarian thought and the notion
that the contract is a distinctively modern idea need to give way to
an appreciation for the variety of parochial purposes for which ideas
labeled contractarian have been deployed.

84
John Rawls, A Theory of Justice (Cambridge, Mass.: Harvard University Press,
1971), 11.
85
See Rawls, Theory, 2729.

CHAPTER TWO

PACIFYING POLITICS:
RESISTANCE, VIOLENCE, AND ACCOUNTABILITY IN
SEVENTEENTH-CENTURY CONTRACT THEORY
The right to resist tyrants is one of the great resolved issues in political
philosophy. For half a millennium after Aquinas this was as contentious a matter as the right to abortion is now in the United States. Yet
the issue evaporated after the eighteenth century. The accountability
of governments to the people and, in the extreme, a popular right
of rebellion are political truisms across the world today. The Whiggish view that this marks the progress of liberty and the recession of
hidebound conservatism mistakes evaluation for explanation. Besides
which, it is dubious whether a secular decline in conservatism is a
conspicuous feature of modernity. Resistance ceased to be contentious
not because the world awakened to the correct view but because the
issues in question themselves changed.1
A key development, which has been paid more attention in historical
sociology than in histories of political thought, lies in shifting norms
about the use of violence in domestic politics. Inhabitants of longpacified modern societies assume that domestic political conflict will
not commonly take a violent turn and sharply distinguish the extraordinary right of rebellion from ordinary politics. By contrast, both sides
in medieval debates over the right of resistance took for granted that
the principles of conditional authority and accountable government
implied and legitimized violent conflict. This is evident, for example,
in the defense of resistance offered by the conciliarist Jean Gerson
(13631429). Writing at the time of the Great Schism in the Church,
Gerson maintained it is a mistake to claim that kings are free from
any obligations towards their subjects; if they act unjustly towards
their subjects, and if they continue in their evil behavior, then it is time
to apply that law of nature which prescribes that we may repel force

1
For the argument that doctrines must be understood in the context of the questions they are meant to answer, see R. G. Collingwood, An Autobiography (London:
Oxford University Press, paperback ed., 1970).

28

chapter two

with force.2 The same assumption that accountability implied political violence underpinned the classic case for nonresistance, which was
grounded on the Pauline statement in Romans XIII: the power that
is everywhere is ordained of God. Hence the fact that the rulers are
wicked and unjust does not excuse disorder and rebellion; outrage is
not to be resisted, but endured.3 In the absence of peaceful, electoral
mechanisms for holding rulers to account, it was realistic to suppose
that the only available responses to governmental malfeasance were
forcible resistance or passive endurance.
With the benefit of hindsight, it is apparent that the resistance
question conflated two, now largely separate, issues: the constitutional
relationship between ruler and ruled; and private warfare, meaning
the use of force without sovereign authority. The latter was a ubiquitous feature of medieval society, encompassing all manner of the
use of force by private individuals from vigilante justice to dueling to
political violence.4 The constitutional question of rulers accountability would cease to be an issue only with the achievement, in practice
and in theory, of a ban on private warfare, and particularly political
violence, in all but extraordinary circumstances. Only in the context
of a pacified society does the principle of governmental accountability
lose its fearsome aspect and become an unremarkable, uncontentious
feature of normal politics.
Working out the idea of a pacified society was a principal problem of seventeenth-century social contract theory. My purpose here
is to show, more specifically, that this was a shared preoccupation
of Hobbesian and Lockean contract theories. Despite their opposing
stands on resistance, Hobbes and Locke were in this significant respect
engaged in a common intellectual project. Furthermore, theirs was a

2
Jean Gerson, Ten Highly Useful Considerations for Princes and Governors (Antwerp, 1706), quoted in Quentin Skinner, The Foundations of Modern Political Thought,
vol. II, The Age of Reformation (Cambridge: Cambridge University Press, 1978), 126
27.
3
The first and third quotations are from Martin Luther, Secular Authority: To
What Extent It Should Be Obeyed (1523), in Martin Luther: Selections from His Writings, ed. J. Dillenberger (Garden City, NY: Doubleday/Anchor, 1961), 366, 388. The
second is from Luther, Admonition to Peace (1524), quoted in Skinner, Foundations, vol. II, 19.
4
Two enlightening discussions of private warfare in the medieval period are J. L.
Holzgrefe, The Origins of Modem International Relations Theory, Review of International Studies 15 (1989); and Robert Bartlett, Mortal Enmities: The Legal Aspect
of Hostility in the Middle Ages(manuscript, University of Chicago, n.d.).

pacifying politics

29

Grotian project: the problems concerning the nexus of violence and

accountability which their theories work through had been framed by
the Dutch jurisprudential thinker in De Jure Belli Ac Pacis (1625). In
this regard, seventeenth-century social contract theory is better seen
as a conversation among Grotian thinkers than as a quarrel between
Leviathan and constitutionalism.5
It was Grotiuss genius to see behind the constitutional question of
resistance rights to the more fundamental problem of private warfare.
In the course of examining the complexities of the resistance issue, he
framed the idea that an organized political society must, first and foremost, be a pacifieda civilsociety. The idea is echoed in Hobbess
and Lockes definitions of an organized political society. A perfect
City, in the formers words, is an association in which no Citizen
hath Right to use his faculties, at his owne discretion, for the preservation of himselfe, or where the Right of the private Sword is excluded.6
According to the Second Treatise:
Where-ever . . . any number of Men are so united into one Society, as to
quit every one his Executive Power of the Law of Nature, and to resign
it to the publick, there and only there is a Political or Civil Society.7

Making allowance for their differing views on the permissible use of

force in a precivil state of nature, Lockes executive power of the
law of nature, meaning the right to use coercion to enforce natural
law, is the equivalent of the Hobbesian right of the private sword.
Both make a ban on the use of force by private individuals the necessary and defining condition of political society.

5
I am indebted to the work of Richard Tuck for this thesis and for much of my
understanding of Grotian theory. In the past decade, he and Knud Haakonssen have
done much to revive Grotiuss reputation as a seminal moral and political philosopher. De Jure Belli Ac Pacis, which has long been narrowly considered a founding treatise in modern international law, is now being recognized as a work that shaped two
centuries of moral and political philosophy. See Tuck, Natural Rights Theories: Their
Origin and Development (Cambridge: Cambridge University Press, 1979); Grotius,
Carneades and Hobbes, Grotiana 4 (1983): 4362; The Modern School of Natural
Law, in The Languages of Political Theory in Early-Modern Europe, ed. A. Pagden
(Cambridge: Cambridge University Press, 1987); and Haakonssen, Hugo Grotius and
the History of Political Thought, Political Theory 13 (1985): 23965.
6
Hobbes, DC, 6.13, p. 97. See also EL(T), II.1.5, p. 85: Where any subject hath
right by his own judgment and discretion to make use of his force; it is to be understood that every man hath the like, and consequently that there is no commonwealth
at all established.
7
Locke, ST, 89, p. 368.

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chapter two

The Grotian problem, which Hobbes and Locke inherited, was

to specify the scope and limits of the requisite ban. In characteristic
medieval fashion, Grotius conflated political resistance with individuals right of self-defense and with accountable government. In doing
so, he was working within the long-standing tradition of private law
argumentation on the resistance question. Illustrated, for example, by
the Gersonian statement that was quoted earlier, the essence of private
law thinking lay in equating individuals natural right of self-defense
with resistance to tyrannous rulers. Rooted in Roman and canon
law, the doctrine held that tyrants reduce themselves to the status of
ordinary felons, and therefore communities may resist tyranny just
as ordinary people may resist felonius assault.8 The analogy is the starting point for Grotiuss consideration of the requisites of a civil society. But he was more successful in laying out competing, pertinent
considerations than in resolving the resistance question. Unraveling
the separate issues of political violence, self-defense, and governmental
accountability was the problem Grotius set for later thinkers.
The Grotian Problem
What difference is there between tranquil peace
and the hurly-burly of war, if controversies between
individuals are settled by the use of force?
The Edict of Theodoric9

De Jure Belli Ac Pacis is a treatise on the legitimacy, causes, and rules

governing war, which Grotius defines, on Ciceros authority, as the
condition of those contending by force.10 It is indicative of the gap
between medieval and modem politics that popular sovereignty and
governmental accountability are pertinent topics. As we will see shortly,
they arise for consideration in connection with the subject of private
warfarethat which is waged by one who has not the lawful authority.11 The distinction between private and public warfare (waged

8
The Roman and canon law roots of private law doctrine and the development
of the doctrine by Lutheran and Calvinist thinkers are treated extensively in Skinner,
Foundations, vol. II, esp. 12427, 198204, 21724, 23435.
9
Quoted by Grotius, DJB, I.3.2, p. 91.
10
Grotius, DJB, Prolegomena, p. 21; see also I.1.2, p. 33.
11
Grotius rejects the distinction, which was central to Protestant resistance theory,
between subordinate officials and ordinary citizens. To his mind, it is erroneous to

pacifying politics

31

by him who has lawful authority to wage it)12 does not, for Grotius,
mark the division between illegitimate and legitimate violence. The
power to make war should be reserved to the king: but this, it must
be understood, refers to external war.13 The complementary assumptionthat private warfare can be legitimateframes Grotiuss consideration of popular sovereignty and governmental accountability: these
figure as concepts relevant to specifying when force may legitimately
be used by private individuals against the government.
Breaking from the theistic horizons of medieval thinking on the
subject, Grotius meant to devise a natural law theory that would
have a degree of validity even if we should concede . . . that there is
no God, or that the affairs of men are of no concern to Him.14 For
a substitute, he turned, in neo-Stoic fashion, to principles of nature
and named self-preservation as the first principle and right reason,
whose object is moral goodness, as the second. These are principles
that govern the use of force generally. War is lawful, he stipulates,
when its end and aim is the preservation of life and limb and when
it does not conflict with the purpose of society, which is to safeguard
individuals rights.15
On this basis, Grotius at the outset in De Jure Belli Ac Pacis conceives
the question of the legitimacy of private warfare as a problem requiring
balancing the right of self-defense with social utility. On the one hand,
the root principle of self-preservation licenses (some instances of )
private warfare: private wars in some cases may be waged lawfully
because the use of force to ward off injury is not in conflict with
the law of nature.16 How far, on the other hand, is the exercise of
the natural right of self-defense consistent with the requirements of
organized society? To attack this key question, Grotius starts with the
relatively straightforward case of criminal violence. Arguing against
the view that the establishment of public tribunals overrides the right
hold that the latter may not resist tyranny but the former have a right and duty to do
so (DJB, I.4.6, p. 146).
12
Grotius, DJB, I.3.1, p. 91. The classificatory scheme also includes mixed warfare: that which is on one side public, on the other side private.
13
Grotius, DJB, I.4.13, p. 158; see also I.3.4, p. 97.
14
Grotius, DJB, Prolegomena, p. 13. Cf. Haakonssen, Hugo Grotius, 24849,
who argues that this proposition drew on traditional scholastic philosophy and was
not, in other words, a novel thought.
15
Grotius, DJB, I.2.12, 45, pp. 5153.
16
Grotius, DJB, I.3.1, p. 91. See also II.1.16, p. 184, and, generally, II.1.37, pp.
17275.

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chapter two

of self-defense,17 he observes that even within organized political systems individuals retain the right to use defensive force in situations
of extreme and imminent peril: By the laws of all peoples known to
us the person who in peril of his life has by means of arms defended
himself against an assailant is adjudged innocent.18
Private warfare in the form of political resistance was a more complex matter, which Grotius could more clearly define than resolve. His
insight lay in seeing that the issue was one of means as well as ends:
that is, it concerns the admissibility of violence in civil society as well
as the constitutional and moral relationship between ruler and ruled.
Thus, in the first instance, Grotius defines resistance as an analytic
issue concerning the necessary attributes of a state.19 While by nature
all men have the right of resisting in order to ward off injury, this
cannot be taken to license a promiscuous right of resistance:20
As civil society was instituted in order to maintain public tranquillity,
the state forthwith acquires over us and our possessions a greater right,
to the extent necessary to accomplish this end. The state, therefore, in
the interest of public peace and order, can limit that common right of
resistance. That such was the purpose of the state we cannot doubt, since
it could not in any other way achieve its end. If, in fact, the right of resistance should remain without restraint, there will no longer be a state,
only a non-social horde.21

17
Cf., e.g., The Trew Law of Free Monarchies (1598), in which James I rebuts the
private law brief for resistance by arguing that private citizens in organized societies
may not use violence to defend themselves: if it be not lawful to a private man to
revenge his private injury upon his private adversary (since God has only given the
sword to the magistrate) how much less is it lawful to the people, or any part of them
(who all are but private men, the authority being always with the magistrate, as 1 have
already proved), to take upon them the use of the sword, whom to it belongs not,
against the public magistrate, whom to only it belongs. In David Wootton, ed., Divine
Right and Democracy (Harmondsworth, Middlesex: Penguin, 1986), 101.
18
Grotius, DJB, I.3.2, p. 92.
19
Grotius also reproduces the traditional, Ciceronian definition of a state as a
complete association of free men, joined together for the enjoyment of rights and
for their common interest (DJB, I.1.14, p. 44).
20
The latter phrase is taken from the translation of the passage in Barbeyracs 1738
edition, as quoted by Tuck, Natural Rights Theories, 7879. In this version, the conclusion reads, if that promiscuous Right of Resistance should be allowed, there would be
no longer a State, but a Multitude without Union.
21
Grotius, DJB, I.4.2, p. 139. See also I.4.4, p. 143: Now beyond doubt the most
important element in public affairs is the constituted order of bearing rule and
rendering obedience. . . . This truly cannot coexist with individual licence to offer
resistance.

pacifying politics

33

As a general rule, then, rebellion is not permitted by the law of

nature, which rule is borne out, Grotius goes on to argue, by historical practice and by scriptural law.22
While significant for the idea that some limitation on the use of force
is a defining feature of civil society, this Grotian formula left vague
the extent of the necessary ban on political resistance. The problem
is amplified, rather than resolved, in subsequent discussion. Having
arrived at the law of non-resistance, Grotius proceeds to recognize
a series of exceptions based on competing natural right and contractarian principles. First, he reverts to the private law analogy between
self-defense and political resistance by stipulating that extreme and
imminent peril licenses private war in both the individual and the corporate case.23 Hence the right to make war may be conceded against
a king who openly shows himself the enemy of the whole people,
although such tyranny is not, Grotius thinks, a frequent occurrence.24
Rebellion against a usurper of sovereign power, who has violated a
mixed constitution or prior public law or gained power through an
unlawful war, can also be licit.25
Relevant, last, is the constitutional relationship between ruler and
ruled. It is here that popular sovereignty and governmental accountability enter the argument. Grotius was concerned to refute, as a general proposition, an apology for the right of resistance based on the
opinion of universal popular sovereignty and, therefore, universal
governmental accountability. In this connection, he framed a latterly
infamous contractarian defense of absolutism, arguing by analogy that
just as it is possible for individuals to enslave themselves, so too a
nation can wholly transfer the right of self-government to an absolute
ruler.26 But this is a permissive defense of absolutism, in contrast to

22

Grotius, DJB, I.4.25, pp. 13946.

Grotius, DJB, I.4.7, pp. 14856.
24
Grotius, DJB, I.4.11, p. 157 (emphasis omitted) and I.4.3, p. 142.
25
Grotius, DJB, I.4.13 and .1519, pp. 158, 15963. Other minor exceptions to the
law of nonresistance, which Grotius enumerates, include the right to make war on a
king who has abdicated sovereign power or alienated the kingdom (I.4.910, p. 157).
26
Grotius, DJB, I.3.8, p. 103: At this point first of all the opinion of those must be
rejected who hold that everywhere and without exception sovereignty resides in the
people, so that it is permissible for the people to restrain and punish kings whenever
they make a bad use of their power. . . . To every man it is permitted to enslave himself
to any one he pleases for private ownership, as is evident both from the Hebraic and
from the Roman Law. Why, then, would it not be permitted to a people having legal
competence to submit itself to some one person, or to several persons, in such a way as
23

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the strong analytic proposition, which Hobbes will defend, that sovereignty is necessarily unconditional. It is also possible, Grotius held, for
there to be a historical contract between ruler and ruled providing for
governmental accountability, retained popular rights, and therefore a
right of resistance:
If rulers [are] responsible to the people, whether such power was conferred at the beginning or under a later arrangement, [then] if such rulers transgress against the laws and the state, not only can they be resisted
by force, but, in case of necessity, they can be punished with death.27

For he who alienates his own right can by agreement limit the right
transferred.28
On its face, this last contractarian argument contradicts the previous analytic proposition that a promiscuous right of resistance is
per se incompatible with civil society. Either nonresistance is a constitutive attribute of organized political society or it is a circumstantial
norm, varying between states. Furthermore, both analytic and contractarian lines of argument fit uneasily with the third pertinent Grotian
conceptthe natural right of self-defense. To say that extreme and
imminent peril licenses defensive violence, in the case of individuals
and of nations, cuts away at the analytic proposition that a promiscuous right of resistance is inimical to civil society and runs counter
to the contractarian argument that nations may consent to absolute
subjection.29
We can see, with the perspective of hindsight, that Grotiuss mistake
lay in conflating several different issues under the single heading of the
resistance question. The apparent inconsistencies between his arguments disappear if their several topics are distinguished. Whereas the
plainly to transfer to him the legal right to govern, retaining no vestige of that right for
itself? The influence of this line of argument on British political thinking throughout
the seventeenth century is discussed by Tuck, Natural Rights Theories.
27
Grotius, DJB, I.3.8, p. 156.
28
Grotius, DJB, I.4.14, p. 159. This follows the stipulation: If in the conferring of
authority it has been stated that in a particular case the king can be resisted, . . . some
natural freedom of action . . . has been reserved and exempted from the exercise of
royal power.
29
In De Jure Naturae et Gentium Libri Octo (1672), Samuel Pufendorf attempted
to reconcile the natural right and contractarian Grotian arguments by distinguishing between defensive resistance when a prince has become an enemy and forcible
resistance to rulers who have not ruled in accordance with [the peoples] desires.
The former but not the latter is permissible even in nations that have entered into an
absolutist contract. De Jure Naturae . . ., trans. C. H. Oldfather and W. A. Oldfather
(Oxford: Clarendon, 1934), bk. VII, ch. 8, 6, p. 1110.

pacifying politics

35

analytic argument concerns the inadmissibility of private warfare in

civil society, his discussion of possible constitutional contracts treats
the different issue of governmental accountability. These Grotian
arguments point to contradictory conclusions only because Grotius
assumes that constitutional accountability is a license for resistance
and private warfare. Absent that assumption, his position comes down
to one that many modern readers would find self-evident: civil society
entails a ban on violent political conflict and constitutional governments are accountable to the people. His third natural right argument
takes its force from the case of criminal violence and the customary
right of individuals to defend themselves against criminal attack. This
argument comes into contradiction with his analytic and contractarian defenses of absolutism because Grotius generalizes, in traditional
fashion, from the individual to the political casefrom a private right
of self-defense to a political right of rebellion in situations of extreme
and imminent peril.
I have next to show that these distinctions were worked out, in
reverse sequence, by Hobbes and Locke. Hobbess initial formulation
of the social contract (in the first two versions of his political theory,
The Elements of Law [1640] and De Cive [1642]) targets the problem
of distinguishing the individuals right of self-defense from political
resistance and of showing that the former, but not the latter, is consistent with the requirements of a pacified society. In turn, Lockes
achievement was to strip the idea of a pacified society of its absolutist implications by showing how it could be rendered consistent with
the principles of governmental accountability and an ultimate, popular
right of rebellion.
The Hobbesian Solution
If, in fact, the right of resistance should remain
without restraint, there will no longer be a state,
only a non-social horde.
Grotius, De Jure Belli Ac Pacis, 1.4.2
This submission of the wils of all those men to the
will of one man, or one Counsell, is then made, when
each one of them obligeth himself by contract to
every one of the rest, not to resist the will of that
one man, or counsell, to which he hath submitted
himselfe.
Hobbes, De Cive, 5.7

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Grotiuss idea of the state became Hobbess definition of the political

covenant in The Elements of Law and De Cive.30 In so doing, Hobbes
eliminated the inconsistency in Grotian theory between the analytic
proposition that the right of resistance must be given up and the contractarian argument that the right may be retained in a historical contract between ruler and ruled. Replacing that historical question with
the hypothetical oneWhat would individuals in a brutish state of
nature promise?Hobbes gives the consistent Grotian answer: incipient subjects would promise what Grotius had said must be promised to
transform that brutish condition into a civil, political societynamely,
nonresistance.
Working out the nuances of the promise preoccupied Hobbes as he
wrote the first two versions of his political theory, although with the
introduction in Leviathan of a different, authorization account of the
necessary political covenant the problem receded in significance. Why
he altered the theory in this important way is a side question, which
I have discussed elsewhere.31 In focusing here on the nonresistance
covenant, my goal is to bring out the Grotian lineaments of one strand
of Hobbesian contractarianism, not to give an overview of his multiple
social contract arguments.32
The nonresistance covenant has commonly been accounted by
twentieth-century commentators as a poor solution to the problem
of generating sovereign power.33 To be sure, the covenant passages
stipulatively equate nonresistance with cooperative support for the
sovereign (that is, that he refuse him not the use of his wealth, and
strength).34 But the nonresistance covenant offers a better and more
interesting political argument if we conceive it, instead, along Grotian

30

The just quoted passage from Hobbes, DC, 5.7, p. 88, echoes EL(T), I.19.10, p. 81.
Deborah Baumgold, Hobbess Political Theory (Cambridge: Cambridge University Press, 1988), chs. 23.
32
It is worth notice that Hobbess formulation of the concept of authorization also
has Grotian roots. Cf. LV, 17, p. 227: every one [is] to owne, and acknowledge himselfe to be Author of whatsoever he that so beareth their Person, shall Act, or cause
to be Acted; and Grotius, DJB, I.4.4, p. 141: Under subjection the Apostle includes
the necessity of nonresistance. . . . For the acts to which we have given our authorization we make our own.
33
This interpretation is cogently argued by Hanna Pitkin, Hobbess Concept of
RepresentationII, American Political Science Review 58 (1964): 90914. See also
David Gauthier, The Logic of Leviathan: The Moral and Political Theory of Thomas
Hobbes (Oxford: Clarendon, 1969), ch. 4; and Raymond Polin, Politique et Philosophie
chez Thomas Hobbes (Paris: Presses Universitaires de France, 1953), ch. 10.
34
Hobbes, DC, 5.7, p. 88; see EL(T), I.19.10, p. 81.
31

pacifying politics

37

lines, as a formulation of the necessary condition of a civil society. The

pertinent equation is, then, not that of nonresistance and cooperation
but, instead, the Grotian conflation of nonresistance with renunciation of the right of the private sword. Hobbes indifferently describes
the covenant promise, and the necessary condition of civil society, in
both terms. In The Elements of Law, for example, a subject is defined as
one who has relinquish[ed] his own right of resisting the sovereign,
but shortly thereafter, Hobbes redescribes the covenant in terms of
relinquish[ing] the right of protecting and defending himself by his
own power.35 The latter description anticipates the definition of the
state in De Cive that was quoted earlier: it is a perfect city in which
no Citizen hath Right to use his faculties, at his owne discretion, for
the preservation of himselfe, or where the Right of the private Sword
is excluded.36 Thus, at the outset, Hobbess defense of the absolutist
principle of unconditional sovereignty relies on the medieval assumption that political resistance (and, therefore, accountable government)
is synonymous with private warfare. No more than Grotius could he
imagine that conditional sovereignty and private warfare were separable issues.
How can the idea that civil society requires a promise of nonresistance and renunciation of the private sword be made consistent with
thealso Grotianprinciple of an unalienable right to defend oneself
against violence? The paradox is plainly stated in The Elements of Law.
Here, Hobbes contradicts himself by simultaneously asserting that a
subject gives up the right of protecting and defending himself by his
own power and that it is necessary . . . that he should retain his right
to some things: to his own body (for example) the right of defending,
whereof he could not transfer.37
To resolve the paradox, Hobbes took the path of specifying with
more precision how the right to use violence must be limited in civil
society. He developed two pertinent distinctions: first, between the
right to kill and the right of self-defense and, second, between individual self-defense and political resistance. The first distinction concerns aggressive and defensive violence, rather than acts per se, and

35

Hobbes, EL(T), I.19.10, p. 81, and II.1.5, p. 85.

Hobbes, DC, 6.13, p. 97.
37
Hobbes, EL(T), II.1.5, p. 85, and I.17.2, p. 69. The latter passage continues with
an enumeration of an expansive list of retained rights: the use of fire, water, free air,
and place to live in, and to all things necessary for life. The passage is reproduced in
DC, 3.14, p. 68; and in LV, 15, pp. 21112.
36

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chapter two

involves contrasting a primitive natural right of war with the narrower right of self-defense retained by individuals in civil society. As
long as there is no caution had from the invasion of others, Hobbes
explains in De Cive, there remains to every man that same primitive
Right of selfe-defence, by such means as either he can or will make use
of (that is) a Right to all things, or the Right of warre.38 This juridical assumption, he expressly stipulates, is a necessary condition of the
state of nature being a state of war:
Seeing then to the offensiveness of mans nature one to another, there
is added a right of every man to every thing whereby one man invadeth
with right, and another with right resisteth; and men live thereby in
perpetual diffidence, and study how to preoccupate each other; the estate
of men in this natural liberty is the estate of war.39

It follows, then, that the first precept of natural law is that every man
divest himself of the right he hath to all things by nature.40
By the time he wrote De Cive, Hobbes had seen that divestiture
of the right to all things is consistent with retention of a right of
self-defense and is the basis for the states monopoly on the right to
punish. One of the principal revisions of the theory between the first
and second versions is the insertion, in the discussion of possible contracts, of the caveat: no man is obligd by any Contracts whatsoever
not to resist him who shall offer to kill, wound, or any other way hurt
his Body. When a man is arrivd to this degree of fear, we cannot
expect but he will provide for himself either by flight, or fight. Neither
is it necessary, Hobbes continues, that subjects should promise the
sovereign, If I doe it not, though you should offer to kill me, I will
not resist.41 Civil society does not require individuals to renounce the
right of resistance in self-defense; it merely requires renunciation of
the aggressive right to kill, which becomes a state monopoly.42

38
Hobbes, DC, 5.1, p. 85. See also EL(T), II.1.5, p. 85 (the passage is quoted in note
6 above).
39
Hobbes, EL(T), I.14.11, pp. 5556 (emphasis added). The idea that natural right is
a main cause of war in the state of nature is discussed by Franois Tricaud, Hobbess
Conception of the State of Nature from 1640 to 1651: Evolution and Ambiguities, in
Perspectives on Thomas Hobbes, ed. G. A. J. Rogers and A. Ryan (Oxford: Clarendon,
1988), 11417.
40
Hobbes, EL(T), I.15.2, p. 58.
41
Hobbes, DC, 2.18, pp. 5859.
42
Pufendorf adopted the distinction in De Jure Naturae: the right of war which
accompanies a natural state is taken away from individuals in a commonwealth;

pacifying politics

39

For in the meer state of nature, if you have a mind to kill, that state it
selfe affords you a Right. . . . But in a Civill State, where the Right of life,
and death, and of all corporall punishment is with the Supreme; that
same Right of killing cannot be granted to any private person.43

Next, Hobbes develops the distinction between defensive and aggressive violence as a matter of defending oneself versus defending others:
Neither need the Supreme himselfe contract with any man patiently
to yeeld to his punishment, but onely this, that no man offer to defend
others from him.44 This formulation closes the private law loophole for rebellion in Grotian theory arising from the stipulation that
extreme and imminent peril overrides the law of nonresistance in
the cases of both criminal attack and tyranny. By distinguishing selfdefense from defending others, Hobbes separates the two casespermissible self-defense and impermissible political resistance.45 Thus, in
discussing the liberty of subjects in Leviathan, he makes a point of
noting that men who have resisted the Soveraign Power unjustly
nonetheless are entitled to bear arms subsequently in self-defense.46
What Hobbes has done, in effect, is to limit the purchase of the right
of self-preservation by defining the right more narrowly and literally

although individuals in a state are sometimes permitted to defend themselves by their

own strength, that cannot properly be called a right to make war (VII.7.8, p. 1299).
43
Hobbes, DC, 2.18, p. 59; see also 10.1, pp. 12930.
44
Hobbes, DC, 2.18, p. 59. See also 6.5, p. 93, where he identifies the promise not
to assist him who is to be punished as the foundation of the sword of justice, that
is, the sovereigns right to punish. The distinction between self-defense and defending
others was also taken over by Pufendorf: even if it be granted that sometimes it is
not wrong for some one citizen to defend his safety by force against the most open
injuries of a superior, yet it will not be allowable for the rest of the citizens on that
account to drop their obedience and protect the innocent person by force (De Jure
Naturae, VII.8.5, p. 1109). By contrast, Whig writers in the 1680s, including Locke,
denied the distinction and asserted a natural law duty to defend others. See Richard
Ashcraft, Revolutionary Politics & Lockes Two Treatises of Government (Princeton,
N.J.: Princeton University Press, 1986), 31819, 330.
45
Richard Ashcraft notes the appeal of this line of argument to moderate Tories
and Whigs in the later Stuart period (Revolutionary Politics, 294).
46
In this passage, however, Hobbes fails to distinguish defending others from
defending oneself: in case a great many men together, have already resisted the
Soveraign Power unjustly, or committed some Capitall crime, for which every one of
them expecteth death, whether have they not the Liberty then to joyn together, and
assist, and defend one another? Certainly they have: For they but defend their lives,
which the Guilty man may as well do, as the Innocent. There was indeed injustice in
the first breach of their duty; Their bearing of Arms subsequent to it, though it be to
maintain what they have done, is no new unjust act. And if it be onely to defend their
persons, it is not unjust at all (LV, 21, p. 270; cf. EL(T), II.8.2, p. 134).

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than had Grotius. It is specifically a right of self-defense, and Hobbesian nominalism rules out conceiving of a corporate or national self to
be protected from tyrannous government. For these reasons, political
resistance is not an exercise of the private sword that is covered by the
right of self-defense.
Subtracting Hobbess medieval equation of conditional sovereignty
with a license for private warfare, his position in De Cive comes down
to the proposition that civil society requires a state monopoly on the
right to kill and ban on the use of the private sword except for individual self-defense. To transform this fairly unexceptional view, which
is compatible with a range of political constitutions, into a brief for
absolutism requires introducing further empirical assumptions. Logically, the following brief for absolutism is a contingent argument and
not an integral part of the nonresistance contract logic. First, as we
have seen, the brief for unconditional sovereignty requires conflating
resistance to established government with private warfare and therefore excludes the empirical possibility of nonviolent political conflict.
Second, to support the principle of unified sovereignty, Hobbes introduces the contingent proposition that limited and divided sovereignty
produces private warfare: In every commonwealth where particular
men are deprived of their right to protect themselves, there resideth
an absolute sovereignty.47 Proponents of limited monarchy deceive
themselves, he explains, in thinking they have made a commonwealth, in which it is unlawful for any private man to make use of his
own sword for his security.48 Similarly, the division of sovereignty
either worketh no effect, to the taking away of simple subjection, or
introduceth war; wherein the private sword hath place again.49 In
sum, conditional sovereignty and divided sovereignty license private
warfare because they institutionalize political conflict; absolutism is
therefore the only political constitution that will support civil society.
It is a parochial, medieval brief, which rests on the supposition that
political conflict will escalate into armed conflict.
Indeed, there is a curious discrepancy between the nonresistance
social contract and this defense of absolutism, which is indicative of
Hobbess transitional position in the history of ideas. The contract

47
48
49

Hobbes, EL(T), II.1.19, p. 91; see also DC, 6.13, p. 97.

Hobbes, EL(T), II.1.13, p. 88; see also DC, 6.13, p. 97.
Hobbes, EL(T), II.1.16, p. 89; the point is echoed in DC, 7.4, p. 108.

pacifying politics

41

codifies the modern norm banning private warfare, whereas his arguments for absolutism presuppose precisely the absence of this norm.
Thus, on the one hand, Hobbes envisions a civil or pacified society,
but, on the other, he assumes the reality of uncivil, violent politics.
The Lockean Solution
Force, or a declared design of force upon the Person
of another, where there is no common Superior on
Earth to appeal to for relief, is the State of War.
Locke, Second Treatise of Government, 19

Starting with the very suppositions about violence, civil society, and
governmental accountability that underpinned Grotian and Hobbesian absolutism, Locke produced the definitive modern brief for the
right of resistance, popular sovereignty, and the accountability of
government to the people. To stand late medieval absolutism on its
head, we will see, he conceptualized the right of rebellion in a way
that defused and tamed the resistance question. But the lineaments of
modern, pacified politics are only incompletely sketched in the Second
Treatise. Locke, like Hobbes, is a transitional figure, who envisions
pacified society, yet by and large continues to associate governmental
accountability with violent political conflict.
Two root assumptions that Locke held in common with Grotius
and Hobbes were that the use of force by private individuals is inimical to civil society and that the principle of governmental accountability licenses violent conflict and rebellion. As I noted at the outset,
his definition of political or civil society echoes Hobbess in making
renunciation by private individuals of the right to use force the defining feature of civil society:
There, and there only is Political Society, where every one of the Members hath quitted this natural Power, resignd it up into the hands of the
Community in all cases that exclude him not from appealing for Protection to the Law established by it.50

Lockes account of the state of nature differs from Hobbess, of course,

in placing natural law limits on the right of the private sword, which
may legitimately be used only for the purposes of preserving property,

50

Locke, ST, 87, p. 367. See also 89, pp. 36869, and 171, p. 428.

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broadly defined, and punishing violations of the law of nature.51 But he

does not imagine that these natural law limits spawn a peaceful society. In the absence of a common authority to decide disputes among
people, according to one vein of Lockean argument, any outbreak of
aggressive violence is likely to escalate into continuous conflict and
this would make the state of nature an ongoing state of war: In the
State of Nature, for want of positive Laws, and Judges with Authority to appeal to, the State of War once begun, continues, with a right
to the innocent Party, to destroy the other whenever he can.52 The
argument casts as right what Hobbes had observed as fact about the
state of nature. So long as some are aggressive in that state, the latter
had argued:
If others, that otherwise would be glad to be at ease within modest
bounds, should not by invasion increase their power, they would not be
able, long time, by standing only on their defence, to subsist.53

From the insecurity of the state of nature, it follows for Locke that
renunciation of the right of punishment and creation of a state monopoly on that right are the foundation of civil society and government:
Tis this makes them so willingly give up every one his single power
of punishing to be exercised by such alone as shall be appointed to it
amongst them; and by such Rules as the Community, or those authorised by them to that purpose, shall agree on. And in this we have the
original right and rise of both the Legislative and Executive Power, as well
as of the Governments and Societies themselves.54

Yet Locke also, famously, defends the right of the people to remove
a tyrannous government that violates the trust of the people. Where
Hobbes translated the Grotian absolutist contract from a contingent
into a necessary proposition, Locke universalizes the Grotian accountability contract: rulers are always, not merely sometimes, responsible
to the people.
The Legislative being only a Fiduciary Power to act for certain ends,
there remains still in the People a Supream Power to remove or alter

51
Locke, ST, 171, p. 428. The idea that individuals in the state of nature possess the
right to use the sword to enforce natural law was developed by Jacques Almain in an
early sixteenth-century conciliarist tract: see Skinner, Foundations, vol. II, 11819.
52
Locke, ST, 20, p. 322.
53
Hobbes, LV, 13, pp. 18485.
54
Locke, ST, 127, p. 397.

pacifying politics

43

the Legislative, when they find the Legislative act contrary to the trust
reposed in them.55

The Grotian-Hobbesian absolutist contract is untenable for two reasons. As Gods creatures, we are not at liberty to consent to slavery
or to absolute subjection, and self-preservation is, therefore, a Fundamental, Sacred, and unalterable Law.56 To arrive at the conclusion
that tyrannous governments may be forcibly resisted, Locke only needs
to add (following Grotius but contra Hobbes) the private law principle
that the inalienable right of self-preservation applies to societies as well
as to individuals.57
Nonetheless, he agrees with Grotius and with Hobbes that the right
of rebellion is antithetical to political society: this Power of the People to defend themselves against tyrannous government can never
take place till the Government be dissolved.58 At this crucial point
in the argument, Locke reverses and advances on the arguments of
his absolutist predecessors by conceptualizing the right of rebellion
as an extraordinary right, which comes into force only in the special
circumstances of a state of War:59
Whenever the Legislators endeavour to take away, and destroy the
Property of the People, or to reduce them to Slavery under Arbitrary
Power, they put themselves into a state of War with the People, who
are thereupon absolved from any farther Obedience, and are left to the
common Refuge, which God hath provided for all Men, against Force
and Violence.60

55

Locke, ST, 149, p. 413.

Locke, ST, 149, p. 413; see also 23, p. 325.
57
Locke, ST, 220, p. 459: the Society can never . . . lose the Native and Original
Right it has to preserve it self.
58
Locke, ST, 149, p. 413. He distinguishes the dissolution of government, which
tyranny produces, from the dissolution of society through foreign conquest (21112,
pp. 45456; see also 243, p. 477). Regarding the distinction, see Ashcraft, Revolutionary Politics, 57577. Julian H. Franklin argues that George Lawson, in Politica sacra
et civilis (1660), originated the argument that power reverts to the people upon the
dissolution of government (John Locke and the Theory of Sovereignty [Cambridge:
Cambridge University Press, paperback ed., 1981], chs. 34).
59
Locke, ST, 212, pp. 45556: Civil Society being a State of Peace, amongst those
who are of it, from whom the State of War is excluded by the Umpirage . . . .When
any one, or more, shall take upon them to make Laws, whom the People have not
appointed so to do, they make Laws without Authority, which the People are not
therefore bound to obey; by which means they come again to be out of subjection,
and may constitute to themselves a new Legislative, as they think best, being in full
liberty to resist the force of those, who without Authority would impose any thing
upon them.
60
Locke, ST, 222, pp. 46061; see also 205, p. 450, and 22627, p. 464.
56

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The introduction of the technical concept of a state of war, as a juridical condition distinct from civil society and from the state of nature,
was a simple and brilliant conceptual move. It effectively defused the
resistance issue by distinguishing the right of rebellion from private
warfare. The right of rebellion does not violate the ban on private warfare that defines civil society because it is an extraordinary right that
obtains only when tyrannous rulers have themselves subverted civil
society.61
The idea of a state of war was a natural extension of private law
resistance doctrine and, in effect, renders that doctrine compatible with
the absolutists position that resistance is inconsistent with civil society. Before Locke, other private law thinkers had described tyrants as
rebelling against the people,62 and this was a stock argument of radical
Whigs in the early 1680s.63 From this point it was a short step to define
the resistance situation as a special juridical circumstance. Nor was
Locke alone in using the idea of a state of war.64 In a 1657 diatribe
against Cromwell, Killing Noe Murder, for example, Edward Sexby had
characterized a usurper as being in a state of war with every man;
therefore everything is lawful against him that is lawful against an
open enemy, whom every private man has a right to kill.65

61
Locke, ST, 226, p. 464: For when Men by entering into Society and Civil Government, have excluded force, and introduced Laws for the preservation of Property,
Peace, and Unity amongst themselves; those who set up force in opposition to the
Laws, do Rebellare, that is, bring back again the state of War, and are properly Rebels.
See also 227, p. 464, and 212, pp. 45556.
62
Skinner, Foundations, vol. II, 2012, discusses Luthers use of the argument in a
Warning to His Dear German People (1531): tyrants are the real rebels, since they are
nothing but assassins and traitors, refusing to submit to government and law, and
are thus much closer to the name and quality which is termed rebellion than those
whom they accuse of being in rebellion against their supposed authority.
63
Ashcraft, Revolutionary Politics, 19597, 392405; and Revolutionary Politics
and Lockes Two Treatises of Government, Political Theory 8 (1980): 46974.
64
Ashcraft (Revolutionary Politics, 444; see also Revolutionary Politics, 236)
claims the concept, along with other key Lockean terms, first appears in James Tyrells
Patriarcha non monarcha (1681). He also quotes the use of the phrase in a 1682 tract
by Robert Ferguson: whensoever laws cease to be a security unto men, they will be
sorely tempted to apprehend themselves cast into a state of war, and justified in having recourse to the best means they can for their shelter and defense (Revolutionary
Politics, 322).
65
William Allen [Edward Sexby], Killing Noe Murder: Briefly Discourst in Three
Quaestions (1657), in Wootton, ed., Divine Right, 37475. My thanks to Alan Houston
for bringing this point to my attention.

pacifying politics

45

Does the concept of a state of war provide anything more than a

conceptual solution to the problem of reconciling resistance with the
idea of a pacified society? The supporting Lockean argument parallels
Grotiuss defense of the private law proposition that private warfare is
legitimate in circumstances of extreme and imminent peril. He defines
a State of War by the use of force, or a declared design of force
upon the Person of another, where there is no common Superior on
Earth to appeal to for relief.66 Just so, Grotius had said that private
warfare is licensed within organized society when the judicial procedure ceases to be available.67 Locke then draws the traditional analogy
between individual self-defense against immediate attack and collective defense against tyranny. Both are circumstances in which judicial
relief is unavailable: where [the law] cannot interpose to secure my
Life from present force, a person is permitted the liberty to kill the
aggressor, because the aggressor allows not time to appeal to our common Judge, nor the decision of the Law.68 Similarly, rebellion is legitimate when, in the face of tyranny, the Appeal lies only to Heaven.69
So far in the argument, there would appear to be little substantive
difference between the Lockean concept of an extraordinary right of
rebellion and the Grotian private law stipulation that imminent peril
licenses private warfare.
To be more than a novel conceptualization, the distinction between
civil society and a state of war needed to be accompanied by a distinction between violent resistance and the principle of governmental
accountability. Only when, in practice and in theory, the latter principle came to be firmly separated from the specter of violent conflict
would the resistance issue finally be tamed. This development is but
sketchily anticipated by Locke, whose principal concern lay with justifying the right of rebellion rather than with elaborating various dimensions of accountability.
Let us turn, then, to his discussions of the political conditions of
civil society. Having defined rebellion as an uncivil action, Locke could
controvert the absolutists position that conditional authority is antithetical to civil society. To the contrary, he argues on both formal and

66
67
68
69

Locke, ST, 19, p. 321.

Grotius, DJB, I.3.2, p. 92.
Locke, ST, 19, p. 321.
Locke, ST, 242, p. 477; see also 168, p. 426, and 207, p. 451.

46

chapter two

empirical grounds, it is unconditional authority that violates the terms

of civil society. In principle, absolute monarchy is inconsistent with
civil society because an absolute prince remains, in effect, in a state
of nature with respect to his subjects: there is no common authority
to adjudicate conflicts between them.70 An absolutist state is actually
worse than the state of nature because in it subjects have renounced
the right of punishment: By supposing they have given up themselves
to the absolute Arbitrary Power and will of a Legislator, they have disarmed themselves, and armed him, to make prey of them when he
pleases.71 Second, Locke calls into question empirically the (Hobbesian) contention that conditional authority fosters civil war.72 Granted,
the ambition of private men has sometimes been the cause of great
disorder:
But whether the mischief hath oftner begun in the Peoples Wantonness,
and a Desire to cast off the lawful Authority of their Rulers; or in the
Rulers Insolence, and Endeavours to get, and exercise an Arbitrary Power
over their People; whether Oppression, or Disobedience gave the first
rise to the Disorder, I leave it to impartial History to determine.73

If violence is inimical to civil society and if civil society requires conditional political authority, it follows that there needs to be an ordinary,
institutionalized, and nonviolent process of holding governments to
account: in short, civil society requires peaceful electoral politics. This
final step in the development of the idea of pacified politics is only intimated in the Second Treatise. It is suggested by the statement that parliamentary sovereignty is the one form of government consistent with
civil society: the People . . . could never be safe nor at rest, nor think
themselves in Civil Society, till the Legislature was placed in collective
Bodies of Men, call them Senate, Parliament, or what you please.74 Yet
70
Locke, ST, 90, p. 369; see also 94, pp. 37274, and 174, p. 421. Cf. Hobbes,
who argues from the absence of an authority to adjudicate conflicts between ruler and
ruled to the absurdity of conditional sovereignty: there is in this case, no Judge to
decide the controversie: it returns therefore to the Sword again; and every man recovereth the right of Protecting himselfe by his own strength, contrary to the designe they
had in the Institution (LV, 18, pp. 23031).
71
Locke, ST, 137, p. 405; see also 93, p. 372.
72
Locke, ST, 228, p. 465.
73
Locke, ST, 230, pp. 46667.
74
Locke, ST, 94, p. 373. It is worth noticing, however, that Locke bases the statement on the principle that rulers must be subject to law, rather than on the requirements of civil society: By [this] means every single person became subject, equally
with other the meanest Men, to those Laws, which he himself, as part of the Legislative had established.

pacifying politics

47

Locke expressly grants that popular consent may underwrite hereditary monarchy as well as elective monarchy in which authority is
held for life.75 Rebellion being the sole mechanism of governmental
accountability in these latter forms of government, it cannot be said to
be a Lockean principle that a legitimate political society must have an
electoral political system (and a peaceful electoral system at that).76
At the most, what can be said is that Locke preferred parliamentary sovereignty,77 that he counted it among the tyrannous acts that
dissolve government for a prince to interfere with parliamentary
elections,78 and, arguably, that he conceived of electoral politics and
violent rebellion as alternative mechanisms for holding government
to account. Richard Ashcraft has made the case that radical Whigs
in the period, including Locke, presupposed the electoral alternative
and came to espouse rebellion only after the failure of parliamentary
efforts to exclude the Duke of York from the throne.79 Perhaps this is
Lockes meaning in an elusive remark at the conclusion of the Second
Treatise:
If any Men find themselves aggrieved . . . who so proper to Judge as
the Body of the People. . .? But if the Prince, or whoever they be in the
Administration, decline that way of Determination, the Appeal then lies
no where but to Heaven.80

75

Locke, ST, 132, pp. 399400.

Cf. John Plamenatz, Man and Society, vol. 1 (New York: McGraw-Hill, 1963), 231:
Locke nowhere makes it a condition of there being government by consent that
authority to make laws should belong to an elected assembly. Where . . . he condemns absolute monarchy as inconsistent with civil society and says that the absolute prince is in a state of nature in relation to his subjects, he is only attacking the
doctrine that the prince is above the law and his subjects owe him unconditional
obedience; he is not suggesting that, except where legislative power belongs to an
elected assembly, there is no government by consent. See also 22829, 237, 241.
77
Locke, ST, 143, p. 410. His reasoning here echoes that discussed in note 74
above: parliamentary sovereignty serves the principle that rulers must themselves be
subject to law. Therefore in well orderd Commonwealths . . . the Legislative Power
is put into the hands of divers Persons who duly Assembled, have by themselves, or
jointly with others, a Power to make Laws, which when they have done, being separated again, they are themselves subject to the Laws, they have made; which is a new
and near tie upon them, to take care, that they make them for the publick good. See
also 138, pp. 4067.
78
Locke, ST, 216, p. 457.
79
Ashcraft, Revolutionary Politics, chs. 57, 11.
80
Locke, ST, 242, pp. 47677. John Dunn interprets the passage in this vein in The
Political Thought of John Locke: An Historical Account of the Argument of the Two
Treatises of Government (Cambridge: Cambridge University Press, 1969), 182.
76

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chapter two

To view elections as an alternative to the appeal to Heaven is not

quite the same, however, as identifying a nonviolent electoral process
as a necessary feature of a civil society. Locke pointed the way to that
conclusion by conceptualizing the right of rebellion as an extraordinary right, but the complementary principle that civil society requires
ordinary, peaceful means of holding government to account eluded
him. Like Grotius and Hobbes, his attention remained fixed on violent
political conflict.
Conclusion
In some societies differences of interest and principle are much less dangerous to domestic peace than
in others; they are not less dangerous because they
are smaller but because the groups that differ have
learned how to preserve the peace without giving up
the principles or interests which divide them.
Plamenatz, Man and Society, 1.8

In the end, though, the realism of Lockes and Hobbess political

imagination bears remark fully as much as does their conceptual
achievement in working out the idea of a pacified, civil society. The
seventeenth century was an extraordinarily violent period in English
politics, marked not only by the revolutions with which each was associated but by an exacerbation of violence in electoral politics as well.
In the Civil War period, the parliamentary electoral process changed
from a normal pattern of unopposed selection by local elites, in which
avoiding divisive conflict was an important object, to a process in
which contested racesoften featuring intimidation, quasi-military
trappings, and violencewere the norm.81 J. H. Plumb has argued that
this pattern of political instability continued through 1715, when it
was abruptly replaced by a period of extreme stability:
In the seventeenth century men killed, tortured, and executed each
other for political beliefs; they sacked towns and brutalized the
countryside. . . . This uncertain political world lasted until 1715, and
then began rapidly to vanish. By comparison, the political structure of

81
Mark A. Kishlansky, Parliamentary Selection: Social and Political Choice in Early
Modern England (Cambridge: Cambridge University Press, 1986), esp. 18283, 198
99, and 22630.

pacifying politics

49

eighteenth-century England possesses adamantine strength and profound inertia.82

But the political stability of eighteenth-century England is still

unusualLockes and Hobbess fixation on violent political conflict
remains a realistic assumption now as then. Politics is hardly pacified
much of the time and in much of the world today. Instead of seeing Great Britain after 1715 or the United States as the embodiment
of Lockes Second Treatise, it is in this respect more accurate to say
that his theory is realized in those many times and places in which
the principle of accountability is played out violently. In the centuries since Locke, his constitutional doctrine that political authority is
fiduciary and conditional came to be commonly accepted; the norm
of peaceful governmental transition has prevailed only in exceptional
circumstances.
Because these exceptional circumstances are the context framing the
canon of modern Western political thought, it bears reflection whether
our liberal-democratic ideals are not exceedingly parochial. One does
not need to embrace the seventeenth-century absolutists position that
civil society requires unconditional political authority to acknowledge
that the incidence and perceived legitimacy of violent conflict profoundly affects the application of the liberal-democratic norm of governmental accountability. Contemporary liberal-democratic thinkers
would do well to heed the Grotian concern with violence and to resurrect this fundamental aspect of the resistance question.

82
J. H. Plumb, The Origins of Political Stability: England 16751725 (Boston:
Houghton Mifflin, 1967), xviii; see also 105.

PART II

AN ANCIEN REGIME HORIZON:

PARTICULARITY AND UNIVERSALITY

CHAPTER THREE

WHEN HOBBES NEEDED HISTORY

We usually think of Hobbess contract story as pseudonot genuinehistory. His is a species of philosophical contractarianism, oriented toward establishing fundamental normative principles, rather
than a constitutional contractarian discussion of historical compacts
between ruler and ruled.1 Garbed in the pseudohistory of the contract metaphor, his accounts of the political covenant are nonetheless framed in the present tense. They counsel subjects in established
states to understand their situation by reasoning as if they found
themselves in a contract situation. In this respect, Hobbesian theory
contrasts with the defense of absolutism put forward by his great predecessor, Grotius. The latter had said it was possible and even rational
in some circumstances to consent to absolutism. The Grotian argument told subjects that the character of their relationship to rulers and
the structure of sovereignty depended on their national history of constitutional promises; Hobbes told them to contemplate a conjectural
state of nature and imaginary constitutional convention.
Yet Hobbes occasionally made Grotian-sounding statements about
the English constitution. In Leviathan and in his post-Restoration political writings, there are passages that appeal to the Norman Conquest
as the definitive constitutional moment in English history. He declares,
for example, in Leviathan:
I know not how this so manifest a truth, should of late be so little observed;
that in a Monarchy, he that had the Soveraignty from a descent of 600
years, was alone called Soveraign, had the title of Majesty from every one
of his Subjects, and was unquestionably taken by them for their King.2

1
Harro Hpfl and Martyn P. Thompson, The History of Contract as a Motif in
Political Thought, American Historical Review, 84 (1979): 941.
2
Hobbes, LV, 19, pp. 24041. Behemoth, Hobbess post-Restoration history of
the Civil War, opens with the same assertion that the government of England was
monarchical . . . by right of a descent continued above six hundred years (Behemoth
or The Long Parliament, ed. F. Tnnies and intro. M. M. Goldsmith, 2nd ed. [London:
Frank Cass, 1969], 1).

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chapter three

Such references are usually regarded as merely an illustrative application of the theory. They tie down the abstract social contract story in
English history, but are otherwise ad hoc and of no theoretical consequence.3 Such dismissal slights the possibility that Hobbess political
analysis might rest, at least to some degree, on the constitutional fact
of an actual compact.4
No one has ever doubted that he, along with everyone else, presupposed England to be a hereditary monarchy. When Hobbes initially
framed his theory of politics, prior to the outbreak of the Civil War,
the supposition did not need defense. But Parliamentarians subsequent claims to a share in sovereignty, or the entirety of it, changed
the agenda. These claims could not entirely be rebutted with abstract
contractarian argument: to do that, Hobbes had to introduce a Grotian account of English constitutional history. To the extent the theory
came to require this historical dimension, it became less an explanation of the structure of sovereignty everywhere and always, and more
a contingent account of the constitution of a particular nation-state.
Hobbess Problem
Prior to the Civil War, when Hobbes was composing the first version
of his political theory, The Elements of Law (1640), no one dreamt that
the location of sovereignty in England could be a contentious matter. England was a hereditary monarchy. The pertinent question was
whether or not sovereignty was absolute.5 Hobbes set himself to answer

3
J. G. A. Pocock, The Ancient Constitution and the Feudal Law: A Reissue with
a Retrospect (Cambridge: Cambridge University Press, 1987), 165; Quentin Skinner,
History and Ideology in the English Revolution, Historical Journal 8 (1965): 161,
168, 178.
4
David Gauthier asserts that a full contractarian understanding of political institutions and practices requires more than a hypothetical constitution: it requires a
constitutional fact (Constituting Democracy, The Lindley Lecture, University of
Kansas, 1989, 21 n. 17).
5
Hobbes so described the pertinent issue in retrospective autobiographical remarks
on the composition of The Elements of Law. When the Parliament sat, that began
in April 1640, and was dissolved in May following, and in which many points of the
regal power, which were necessary for the peace of the kingdom, and the safety of
his Majestys person, were disputed and denied, Mr. Hobbes wrote a little treatise in
English, wherein he did set forth and demonstrate, that the said power and rights were
inseparably annexed to the sovereignty; which sovereignty they did not then deny to

when hobbes needed history

55

that question with a nonhistorical contract argument about the necessary structure of sovereignty everywhere and always. In effect, it was
an effort to wed two extant defenses of absolutism: Bodins assertion
that sovereignty is necessarily absolute and Grotiuss contractarian
argument that it is possible to consent to slavery and absolutism.
For the doctrine of the desirability and, indeed, necessity of absolute sovereignty, Bodins Rpublique (1576, and in English translation, 1606) was a standard authority in early-Stuart England.6 Bodin
famously held that sovereign authority is the defining characteristic of
a state,7 and that sovereignty is both unconditional and unified. Sovereignty is the greatest power to command, meaning the sovereign is
bound only by natural and divine law and accountable only to God.8
He saw divided sovereignty as impossible by definition, and undesirable in any case.9
The Elements of Law invokes Bodin as an authority on absolutism.
It was rare for Hobbes even to mention writers with whom he agreed,
yet here he goes so far as to quote the Rpublique. The subject is the
impossibility of divided sovereignty: if there were a commonwealth,
wherein the rights of sovereignty were divided, we must confess with
Bodin, Lib. II chap. I. De Republica, that they are not rightly to be
called commonwealths, but the corruption of commonwealths.10 In
addition, Hobbes reproduces a related Bodinian distinction between
(unified) sovereignty and (divided) administration;11 and paraphrases
be in the King; but it seems understood not, or would not understand that inseparability (Considerations upon the Reputation, Loyalty, Manners, and Religion, of
Thomas Hobbes of Malmesbury, English Works of Thomas Hobbes of Malmesbury,
ed. Sir William Molesworth, vol. IV [London: J. Bohn, 1840], 414).
6
Bodins influence on English political thought is detailed by J. H. M. Salmon, The
French Religious Wars in English Political Thought (Oxford: Clarendon Press, 1959);
and George L. Mosse, The Struggle for Sovereignty in England (New York: Octagon,
1968), ch. 2.
7
A commonweale is a lawfull gouernment of many families, and of that which
vnto them in common belongeth, with a puissant soueraigntie (Bodin, SB, I.1, p. 1).
8
Bodin, SB, I.8, pp. 8489.
9
Wherefore such states as wherein the rights of soueraigntie are diuided, are not
rightly to bee called Commonweales, but rather the corruption of Commonweales
and, anyway, divided authority leads to endlesse sturres and quarrels, for the superioritie (Bodin, SB, II.1, p. 194).
10
Hobbes, EL(T), II.8.7, p. 137. The relevant passage in the Republique is quoted
in the previous note.
11
Hobbes, EL(T), II.1.17, p. 90. In this discussion, Hobbes cites the examples Bodin
had given of Rome and Venice (SB, II.1, pp. 18890; see also II.7, pp. 24950).

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chapter three

from the Rpublique the empirical generalization that there is a natural

tendency toward consolidation of sovereign powers.12
Just preceding the quotation from the Rpublique, there is an odd
discussion of sovereignty that makes sense in the context of Bodins
but not Hobbessabsolutist thinking. Hobbes is refuting the opinion
that sovereigns are bound by their own laws: this error seemeth to
proceed from this, that men ordinarily understand not aright, what is
meant by this word law, confounding law and covenant, as if they signified the same thing.13 Since his sovereign is bound by neither law or
covenant, the distinction is irrelevant in the Hobbesian context. However, the distinction between law and covenant figured importantly in
Bodins discussion of unconditional sovereignty. The Frenchman held
the seemingly contradictory positions that the sovereign is not subject to human law and yet there is a relationship of mutual obligation
between sovereign and subject.14
We must not then confound the lawes and the contracts of soueraigne
princes, for that the law dependeth of the will and pleasure of him that
hath the soueraigntie, who may bind all his subiects, but cannot bind
himselfe: but the contract betwixt the prince and his subiects is mutual,
which reciprocally bindeth both parties.15

Hobbes must shortly have realized that this last point marked a crucial
disagreement with Bodin:16 the notion of a mutual contract between
ruler and ruled, carrying obligations on both sides, was inconsistent
with a full-fledged defense of absolutism.17

12
For if one part should have power to make the laws for all, they would by their
laws, at their pleasure, forbid others to make peace or war, to levy taxes, or to yield
fealty and homage without their leave (Hobbes, EL(T), II.8.7, p. 137). Bodin had written, the nobilitie which should haue the power to make the lawes for all . . . would by
their lawes at their pleasure forbid others to make peace or warre, or to leuie taxes, or
to yeeld fealtie and homage without their leaue (SB, II.1, p. 194).
13
Hobbes, EL(T), II.8.6, p. 136.
14
In return for the faith and obeisance he receiueth, the sovereign oweth iustice,
counsell, aid, and protection (Bodin, SB, I.6, p. 58; see also IV.6, p. 500).
15
Bodin, SB, I.8, p. 93.
16
In the parallel passage in the next version of Hobbess theory, De Cive (1642), the
distinction between law and covenant is omitted (DC, 12.4, pp. 14849).
17
Still, one can hear echoes of Bodin in the central principle of Hobbess Engagement remarks in the conclusion of Leviathan: the mutuall Relation between Protection and Obedience (LV, A Review and Conclusion, p. 728). Cf. Bodins description
of the contract between ruler and ruled quoted in note 14 above. Thus it can be argued
that Hobbes ended up reproducingnot avoidingthe contradiction in Bodinian

when hobbes needed history

57

In De Jure Belli Ac Pacis (1625), Grotius offered a contract argument more promising to absolutist theory.18 The argument is framed
to rebut the opinion that sovereignty always resides in the people and
rulers are therefore always accountable to their subjects. Grotiuss
answer is that individuals and peoples are radically free to consent to
slavery and to absolutism:
To every man it is permitted to enslave himself to any one he pleases for
private ownership . . . Why, then, would it not be permitted to a people
having legal competence to submit itself to some one person, or to several persons, in such a way as plainly to transfer to him the legal right
to govern, retaining no vestige of that right for itself? And you should
not say that such a presumption is not admissible; for we are not trying
to ascertain what the presumption should be in case of doubt, but what
can legally be done.19

In some circumstances, moreover, it would be rational for a people to

make such an absolutist contract, for example, to save themselves from
destruction or desperate want.20
But Grotius is a thoroughgoing voluntarist: if an absolutist contract
is possible, others are too.21 In this frame, the sole standard for evaluating constitutions is popular consent:
Just as, in fact, there are many ways of living . . . and out of so many ways
of living each is free to select that which he prefers, so also a people can
select the form of government which it wishes; and the extent of its legal
right in the matter is not to be measured by the superior excellence of
this or that form of government, in regard to which different men hold
different views, but by its free choice.22

theory between the principle of unconditional sovereignty and the notion that ruler
and ruled have mutual obligations.
18
Regarding Grotiuss influence on Hobbes, see the work of Richard Tuck, especially Natural Rights Theories: Their Origin and Development (Cambridge: Cambridge
University Press, 1979); and Philosophy and Government 15721651 (Cambridge:
Cambridge University Press, 1993), 304.
19
Grotius, DJB, I.3.8, p. 103.
20
Grotius, DJB, I.3.8, p. 104.
21
He is not a thoroughgoing contractarian, however. Public authority can be
acquired through war, quite independently of any other source (Grotius, DJB, I.3.8,
p. 105). This seems to exhaust the possibilities: The right to rule . . . cannot come into
existence except by consent or by punishment (II.22.13, p. 552). See note 25 below.
22
Grotius, DJB, I.3.8, p. 104.

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chapter three

Grotius carries through by noting that conditional and divided sovereignty are possible contract choices.23 Equally, it is a matter of constitutional choice whether or not a people retains authority to change the
structure of government.
The will of the people, either at the very establishment of the sovereignty,
or in connexion with a later act, may be such as to confer a right which
for the future is not dependent on such will.24

The upshot is a radically contingent, constitutional contractarian

defense of absolutism.25 In some cases the sovereign power is held
absolutely; in some cases the sovereign power is not held absolutely.26
To determine the terms of the relationship between subject and sovereign and the structure of sovereignty in any particular state, one must
investigate that nations history of constitutional agreements.
In framing his own social contract theory, Hobbes did not intend
to follow Grotius down the path of historical contractarianism. He
chose geometry over history as the model of political inquiry27 and
made no reference to the Norman Conquest in the first two versions
of his theory. How to mount a theory combining the generality of
Bodins claims with Grotiuss absolutist contract? This was Hobbess
problem.
It was a complicated undertaking to defend both components of
absolutism, unconditional and unified sovereignty, in universalistic
contract terms. Of the two lines of argument, Hobbes was more successful in showing why it is nonsensical to think that rulers are ever
accountable to the people, although, as we will see shortly, the concept

23
For he who alienates his own right can by agreement limit the right transferred
(Grotius, DJB, I.4.14, p. 159). See also I.3.17, p. 124: Against such a state of divided
sovereigntyhaving, as it were, two headsobjections in great number are urged
by many. But, as we have also said above, in matters of government there is nothing
which from every point of view is quite free from disadvantages; and a legal provision
is to be judged not by what this or that man considers best, but by what accords with
the will of him with whom the provision originated.
24
Grotius, DJB, II.4.14, pp. 22930.
25
There are other, pertinent noncontractarian lines of argument in De Jure Belli Ac
Pacis (see note 21 above). With respect to the right of resistance, in particular, Grotius
sometimes takes the position that renunciation of the right is a defining characteristic
of civil society. I survey his arguments on the subject in chapter two.
26
Grotius, DJB, I.3.12 and .13, pp. 115 and 119 (emphasis omitted).
27
For example, Hobbes, LV, 5, pp. 11012 and 11516; 9, pp. 14748. His discovery
of Euclid is reported in Aubreys Brief Lives (ed. Oliver Lawson Dick, paperback ed.
[Ann Arbor: University of Michigan Press, 1962], 150).

when hobbes needed history

59

of a social contract ultimately became superfluous to this universalistic

position. Regarding unified sovereignty, he would continue to claim,
following Bodin, that sovereignty cannot be divided. But his defense
of the principle came mainly to rest on prudential generalizations concerning the unhappy consequences of divided sovereignty.28 For analysing the development of Hobbesian contractarianism, the arguments
on which to concentrate concern unconditional sovereignty; and the
place to begin is the nonresistance covenant of The Elements of Law
and De Cive.
From Resistance to Deposition
Hobbess first version of the political covenant focuses on the prewar debate over the right to resist tyrannous rulers.29 Where Grotius
had said both nonresistance and resistance contracts were possible,
Hobbes builds renunciation of the right of resistance into the generic
definition of a political covenant: Each one of them obligeth himself by
contract to every one of the rest, not to resist the will of that one man,
or counsell, to which he hath submitted himself.30 This is more than
a stipulative premise; it is supported with an analysis of the contract
28
By Leviathan, the Bodinian claim that divided sovereignty is impossible has
receded in importance and Hobbes instead elaborates the prudential view that divided
sovereignty leads to civil war. See, for example, chapter eighteen where he asserts,
this division [of sovereign rights] is it, whereof it is said, a Kingdome divided in it
selfe cannot stand (LV, p. 236; see, also, 29. p. 368). The definitional claim has not
entirely disappeared, however. In chapter forty-two, Hobbes summarizes the argument of chapter eighteen as proving that all Governments, which men are bound to
obey, are Simple, and Absolute (pp. 57677). Cf. EL(T), II.1.16, pp. 8990, and DC,
7.4, p. 108, and 12.5, p. 150.
29
The intellectual context of Hobbess nonresistance covenant is discussed in Tuck,
Natural Rights Theories, ch. 6. In Philosophy and Government, he situates The Elements
of Law in the context of the Ship Money case, which concerned the somewhat different questions of royal prerogative and subjects right of private judgment on matters
of national security (298, 31314).
30
Hobbes, DC, 5.7, p. 88. Compare The Elements of Law: because it is impossible
for any man really to transfer his own strength to another . . . it is to be understood:
that to transfer a mans power and strength, is no more but to lay by or relinquish
his own right of resisting him to whom he so transferreth it (EL(T), I.19.10, p. 81).
There are several caveats to the nonresistance definition of the covenant, although
these are unimportant to the present discussion. The first is the limitation, no covenant is understood to bind further, than to our best endeavour (EL(T), I.15.18,
p. 62, and see II.1.7, p. 86; this caveat is discussed in Tuck, Natural Rights Theories, 122).
Second, in De Cive, Hobbes adds the crucial stipulation that subjects retain the right of
defending themselves against violence (DC, 5.7, pp. 889). I discuss the latter addition

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situation that shows why, in principle, rulers cannot be accountable to

the people and therefore may not be resisted.
Basic to Hobbess analysis is the nominalist axiom that the people
as a corporate agent does not exist by nature: hence the contract must
take place between individuals.31 Since there is no sovereign in place
with whom to contract, the parties can only be the incipient subjects.32 Given a definition of injury and injustice as breach of covenant,33 it follows that subjects have no basis for holding the sovereign
accountable.34
The nonresistance covenant is a better argument than Bodins
definitional claim that sovereignty, being the greatest power to command, precludes accountability to the people. Yet, as Hobbes came
to realize, it is not essentially a contractarian argument. He admits in
De Cive,
The Doctrine of the power of a City over its Citizens, almost wholly
depends on the understanding of the difference which is between a multitude of men ruling, and a multitude ruled.35

The principles of nonaccountability and nonresistance can be derived

simply from the nominalist idea that groups lack natural social agency.
A multitude gains agency only through institution of the sovereign
and therefore there is literally no human body to whom the sovereign
could be accountable. In effect, Hobbes has purchased the generality
lacking in Grotiuss account of a nonresistance social contract only
by eliminating the voluntarist frame of the Grotian argument. A state
in which rulers are accountable and therefore tyrants may be resisted
is not among the ways of living that a people may choose.
Political events shortly brought another set of issues to the fore. With
the outbreak of paper war between King and Parliament in 1640, the
very location of sovereignty and the claims of the Stuart monarchy on
the allegiance of Englishmen came into dispute. Starting in De Cive,
Hobbes saw the need to strengthen his account of subjects ties to the

in Hobbess Political Theory (Cambridge: Cambridge University Press, 1988), 2831,

and, here, in chapter two.
31
Hobbes, LV, 18, p. 230; see EL(T), II.1.2, p. 84, and II.2.11, pp. 9798; and DC,
6.1, pp. 9192.
32
Hobbes, EL(T), II.2.2, p. 92; DC, 5.7, p. 88, and 6.20, p. 104; LV, 18, p. 230.
33
Hobbes, EL(T), I.16.2, p. 63; DC, 3.3, p. 62; LV, 14, p. 191.
34
Hobbes, EL(T), II.2.3, p. 93; DC, 7.14, p. 112; LV, 18, p. 230.
35
Hobbes, DC, 6.1, p. 92 (emphasis omitted); see, also, 12.8, pp. 1512. I discuss De
Cives account of political agency in Hobbess Political Theory, 4145.

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established government. He had come to realize that the nonresistance

covenant left open the possibility of deposition:
If . . . it were granted that [the sovereigns] Right depended onely on that
contract which each man makes with his fellow-citizen, it might very
easily happen, that they might be robbed of that Dominion under pretence of Right; for subjects being called either by the command of the
City, or seditiously flocking together, most men think that the consents
of all are contained in the votes of the greater part.

Of course it is unimaginable that every single subject would agree to

depose the sovereign. And the opinion that a majority of subjects (or,
more to the point, a parliamentary majority) has the right to do so
is erroneous. Yet most men held this erroneous opinion, and more
than logic was needed to refute it. Subjects needed to recognize their
obligation to the sitting ruler: though a government be constituted by
the contracts of particular men with particulars, yet its Right depends
not on that obligation onely; there is another tye also toward him who
commands. In other words,
the government is upheld by a double obligation from the Citizens, first
that which is due to their fellow citizens, next that which they owe to
their Prince. Wherefore no subjects how many soever they be, can with
any Right despoyle him who bears the chiefe Rule, of his authority, even
without his own consent.36

The idea of a tie between each subject and the sovereign is the basis for
a newauthorizationversion of the political covenant in Leviathan.
This covenant consists in the mutual assertion, among incipient subjects, I Authorise and give up my Right of Governing my selfe, to this
Man, or to this Assembly of men, on this condition, that thou give up
they Right to him, and Authorise all his Actions in like manner.37 The
formulation has four specific implications. First, it provides a further
ground for the claim that rulers cannot be accountable to the people:
because every Subject is by this Institution Author of all the Actions, and
Judgments of the Soveraigne Instituted; it followes, that whatsoever he
doth, it can be no injury to any of his Subjects; nor ought he to be by
any of them accused of Injustice.38

36

Hobbes, DC, 6.20, pp. 1045.

Hobbes, LV, 17, p. 227.
38
Hobbes, LV, 18, p. 232. Grotius had suggested using the idea of authorization
to justify the principle of nonresistance: Under subjection the Apostle includes the
37

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Second, it bars subjects from changing the form of government:

they that have already Instituted a Common-wealth, being thereby
bound by Covenant, to own the Actions, and Judgements of one, cannot
lawfully make a new Covenant . . . without his permission. And therefore,
they that are subjects to a Monarch, cannot without his leave cast off
Monarchy, and return to the confusion of a disunited Multitude.

For the same reason, subjects may not

transferre their Person from him that beareth it, to another Man, or
other Assembly of men: for they are bound . . . to Own, and be reputed
Author of all, that he that already is their Soveraigne, shall do, and judge
fit to be done.39

This implies, fourth, that

no man that hath Soveraigne power can justly be put to death, or otherwise in any manner by his Subjects punished. For seeing every Subject
is Author of the actions of his Soveraigne; he punisheth another, for the
actions committed by himselfe.40

The authorization covenant is transparently a defense of the Stuart

monarchy. In so characterizing the relationship between ruler and
ruled, Hobbes was telling his fellow subjects that they were bound to
allegiance to the established government and must not seek to change
it or depose the sitting ruler. There was, however, a hole in the argument. Although Hobbess discussion of its implications is framed with
a monarchy in view, authorization is a general formulation applying to
all forms of government. Thus it leaves open the answer to a momentous question in the 1640s: Who is sovereign?.41 Opponents of the
Stuarts, such as Henry Parker, claimed that Parliament was the final
arbiter in the English constitution because it represents the people.42

necessity of nonresistance. . . . For the acts to which we have given our authorization
we make our own (DJB, I.4.4, p. 141).
39
Hobbes, LV, 18, p. 229.
40
Hobbes, LV, 18, p. 232.
41
Cf. Glenn Burgess, Contexts for the Writing and Publication of Hobbess Leviathan, History of Political Thought 11 (1990): 68790.
42
Henry Parker, Observations upon some of his Majesties late Answers and Expresses
(London, 1642): In this Policy is comprised the whole art of Soveraignty . . . where
Parliaments superintend all, and in all extraordinary cases, especially betwixt the King
and Kingdom, do the faithfull Offices of Umpirage, all things remain in . . . harmony
(42); Parliament is to be accounted by the vertue of representation, as the whole
body of the State (45). Parker sometimes goes further and identifies Parliament with

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63

The substance of the parliamentary claim could be rebutted, Hobbes

saw, using his analysis of political agency. If the sovereign is the political agent of the nation, then representation is simply one aspect of
sovereignty:
A Multitude of men, are made One Person, when they are by one man,
or one Person, Represented; . . . And it is the Representer that beareth the
Person, and but one Person: and Unity, cannot otherwise be understood
in Multitude.43

The alternative is divided sovereignty, which is inconsistent with the

very purpose of government:
the Soveraign, in every Commonwealth, is the absolute Representative
of all the subjects; and therefore no other, can be Representative of any
part of them, but so far forth, as he shall give leave: And to give leave
to a Body Politique of Subjects, to have an absolute Representative to all
intents and purposes, were to abandon the government . . . and to divide
the Dominion, contrary to their Peace and Defense.44

If the point wasnt clear enough for his readers, Hobbes spells out its
application to England. It is here that the earlier-quoted reference to
the Norman Conquest appears. Although it is absurd to think that in
a monarchy the peoples deputies are their absolute Representative,
Hobbes admits that this is a commonly accepted view:
In a Monarchy, he that had the Soveraignty from a descent of 600 years,
was alone called Soveraign, had the title of Majesty from every one of
his Subjects, and was unquestionably taken by them for their King; was
notwithstanding never considered as their Representative; that name
without contradiction passing for the title of those men, which at his
command were sent up by the people to carry their Petitions, and give
him (if he permitted it) their advise.

The moral is an admonition to the sovereign to instruct men in the

nature of that Office, and to take heed how they admit of any other
generall Representation upon any occasion whatsoever.45 The relevance to Charles Is present difficulties was obvious.

the nation: the whole Kingdome is not properly the Author as the essence it selfe of
Parliaments (5).
43
Hobbes, LV, 16, p. 220.
44
Hobbes, LV, 22, p. 275.
45
Hobbes, LV, 19, p. 241.

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In context, the reference to Williams conquest is more than a

polemical aside or an illustration. To fully rebut the Parliamentarians,
Hobbes needed the fact of the Norman Conquest. Tying representation to sovereignty did not rule out the constitutional possibility that
the so-called representatives really were sovereign. Showing that this
was not so required invoking constitutional history to establish that
the government was a monarchy in which rulers had inherited their
authority from a founding conqueror. In short, Hobbes needed history
when he needed to answer the question of who was sovereign.
The appeal to the Norman Conquest points in the direction of a
full-fledged historical contractarian argument. To wit, England was
an absolute monarchy by virtue of subjects consent to the Conquest;
and the Stuarts had inherited their title to the throne from William.
The extent to which this line of argument is consistent with Hobbess
larger contract theory has been obscured by his methodological statements and by the very different account of sovereign right which he
gives in Leviathans Review and Conclusion. That quite ahistorical
defense of de facto authority will be considered shortly, but first let us
examine Hobbism through historical contractarian lenses.
Hobbesian Historical Contractarianism
There was always a place in Hobbess theory for empirical facts of
the Norman Conquest sort. Neither version of the political covenant
specifies which form of government subjects would adopt: they might
choose to create a monarchy, aristocracy, or a democracy.46 Nor do the
covenants specify the length of the sovereigns tenure or rules governing succession and governmental transition. These matters were left to
be filled in with the empirical facts of particular cases. These are not
insignificant matters, either. The relationship between ruler and ruled
hinges in some significant ways on the facts of each case.
It turns out that the key empirical questions, in Hobbess mind, pertain to the rules for governmental transition. These serve as markers
for determining questions of popular sovereignty in the real world. If
the people, in setting up a monarchy, have not reserved the right (and
time and place) to choose a new ruler at the death of the old, then they
have truly and indeed transferred sovereignty and created absolute

46

Hobbes, EL(T), II.1.3, pp. 845; DC, 7.1, pp. 1067; LV, 19, p. 239.

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65

monarchy, wherein the monarch is at liberty, to dispose as well of

the succession, as of the possession.47 If they have done so, they have
created an elective kingship, which is really a form of democracy in
which they remain sovereign. The same logic applies to conditional
sovereignty. Rulers are accountable to the people if the constitution
provides for a popular right of assembly and specifies occasions for
them to meet.48
Notice how this discussion of conditional sovereignty differs from
Hobbess philosophical contractarian (i.e. nonresistance and authorization) accounts of the impossibility of such a constitution. This
empirical discussion does not contradict the nonresistance and authorization formulations, since Hobbes is showing that conditional
sovereignty is a synonym for unconditional popular sovereignty. But
this is a historical contractarian argument in which the relationship
between ruler and ruled is seen to hinge on the nature of the foundational, constitutional contract, whereas the philosophical contracts
are designed to make history irrelevant and eliminate alternatives to
absolutism.
The topic of succession figures in a second way in the several versions of Hobbess theory. While his political covenants are framed in
the present tense, as if subjects are selecting a government here and
now, he did not ignore political change. He knew that change can
undermine even the best-constituted government, so it is necessary
for the conservation of the peace of men, that provision be made for
an Artificiall Eternity of life. This Artificiall Eternity, is that which
men call the Right of Succession.49 Although succession is not usually
taken to be a major topic of Hobbess,50 it is, interestingly, the subject
of the first and last of his writings. In A Discourse upon the Beginning
of Tacitus (1620), which is a treatise on new princes in the style of
Machiavelli, succession figures prominently: Provision of successors,
in the lifetime of a Prince . . . is a kind of duty they owe their Country,
thereby to prevent civil discord.51 He came back to the subject at the

47

Hobbes, EL(T), II.2.9. p. 95.

Hobbes, EL(T), II.2.910, pp. 957; DC, 7.16, pp. 11315; LV, 19, p. 246.
49
Hobbes, LV, 19, p. 247.
50
An exception is Jean Hampton, Hobbes and the Social Contract Tradition
(Cambridge: Cambridge University Press, 1986), 12931.
51
Thomas Hobbes, Three Discourses: A Critical Modern Edition of Newly Identified Work of the Young Hobbes, ed. N. B. Reynolds and A. W. Saxonhouse (Chicago:
University of Chicago Press, 1995), 49.
48

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end of his life, contributing to the Exclusion Crisis the opinion that a
king cannot be compelled to disinherit his heir.52
Naturally, Hobbess discussions of succession focus on hereditary
monarchy, although the issue arises under other forms of government.53 He defines hereditary descent to mean that sovereigns choose
their successor,54 though as a supplemental principle something
akin to fundamental law obtains.55 To prevent civil war, they have a
natural-law duty to name an heir.56 If they fail to do this, the same
natural law (to procure peace) dictates the supposition that the ruler
intended the monarchy to continue.57 The precise rules for determining succession in such cases may be matters of custom or, failing that,
the presumption of naturall affection.58
The inclusion of rules of succession in the generic social contract
story indicates that, from the beginning, Hobbes saw the importance of
the question Who is sovereign? and conceived the answer in historical terms. Political events made the question more salient when he was
composing Leviathan than it had earlier been. But that works assertion that Englands present form of government and sitting dynasty
were inheritances, via the principle of hereditary descent, from the
Norman Conquest was fully consistent with the account he had always
given of the way in which a contract creating absolute monarchy came
to bind future generations.
Not only is the Norman Conquest interpretation of Englands constitution consistent with the contract story which Hobbes had always

52
Quentin Skinner, Hobbes on Sovereignty: An Unknown Discussion, Political
Studies 13 (1965): 218.
53
Hobbes, LV, 19, pp. 24748.
54
E.g., Hobbes, LV, 19, p. 249.
55
Regarding the idea of fundamental law, see Hobbes, LV, 26, p. 334.
56
Hobbes, DC, 7.16, p. 113; LV, 19, pp. 24748.
57
Curiously, though, when the principle of sovereign control comes into conflict
with societys interest in a peaceful succession, Hobbes opts for the former: If a Monarch shall relinquish the Soveraignty, both for himself, and his heires; His Subjects
returne to the absolute Libertie of Nature; because, though Nature may declare who
are his Sons, and who are the nerest of his Kin; yet it dependeth on his own will . . . who
shall be his Heyr. If therefore he will have no Heyre, there is no Soveraignty, nor
Subjection (LV, 21, p. 273).
58
Hobbes, LV, 19, p. 250. Cf. EL(T), II.4.14, pp. 1067, and DC, 9.1219,
pp. 12628. In his post-Restoration Dialogue between a Philosopher and a Student
of the Common Laws of England, Hobbes details the rules governing the natural
descent of sovereignty in England, saying these go back to the Saxons and remain
the law of the land (English Works, vol. VI [1840], 15253).

when hobbes needed history

67

told, that interpretation became a theme of his political writings after

the Restoration. In Behemoth, his history of the Civil War, he offers this
comment on Parliamentarians rationalization of the trial of Charles I,
for example. They based their action on popular sovereignty, but this
was wrong:
The people, for them and their heirs, by consent and oaths, have long
ago put the supreme power of the nation into the hands of their kings,
for them and their heirs; and consequently in the hands of this King,
their known and lawful sovereign.59

Hobbes traces the legal order and property arrangements back to the
Norman Conquest, as well. Laws, he declares in the Dialogue . . . of the
Common Laws, are commands or prohibitions, which ought to be
obeyed, because assented to by submission made to the Conqueror
here in England.60 Similarly, subjects estates derive from the initial
distribution of land by William, who at the Conquest won possession
of all the land of England.61 That distribution is also the basis of subjects duty to serve the king in war, since William had given away his
lands in return for past and future military service: whereby, when
[Charles I] sent men unto them with commission to make use of their
service, they were obliged to appear with arms.62
The most striking aspect of these historical contractarian comments
on the English constitution is the assertion that title to the throne is
inherited from William the Conqueror.63 The assertion underwrites
distinctions between sovereign right and power, rightful and usurped
power, and between the legitimacy of government and citizens obligation to obey. After the Restoration, Hobbes would emphasize the

59

Hobbes, Behemoth, 152.

Hobbes, Dialogue, 24. This compares with Hobbess well-known definition of law
in the same work as the command of him or them that have the sovereign power (26).
61
The people of England held all theirs [estates] of William the Conquerour
(Hobbes, LV, 24, p. 297). It cannot therefore be denied but that the lands, which
King William the Conqueror gave away to Englishmen and others, and which they
now hold by his letters-patent and other conveyances, were properly and really his
own, or else the titles of them that now hold them, must be invalid (Dialogue, 150). In
De Cive, Hobbes makes the general point that the distribution of land by a conqueror
is the basis of subsequent rights of private property (DC, 8.5, p. 119).
62
Hobbes, Behemoth, 119.
63
In addition to the passages quoted previously, see Hobbes, Dialogue, 21: But say
withal, that the King is subject to the laws of God, both written and unwritten, and
to no other; and so was William the Conqueror, whose right is all descended to our
present King.
60

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distinction between sovereign right and power in Behemoth, concluding the work with the observation: I have seen in this revolution a
circular motion of the sovereign power through two usurpers, father
and son, from the late King to this his son.64 To the question who
had the supreme power? after the dissolution of the Long Parliament in 1653, he replied: If by power you mean the right to govern,
nobody here had it. If you mean the supreme strength, it was clearly
in Cromwell.65
Even when the Stuarts were out of power, Hobbes had been prepared to distinguish sovereign right from citizens obligation to obey
de facto rulers. Behemoths defense of their title to the English throne
is prefigured in a discussion in Leviathan of the dissolution of government and the state:
though the Right of a Soveraign Monarch cannot be extinguished by
the act of another [i.e. through international or civil war]; yet the Obligation of the members may. For he that wants protection, may seek it
anywhere; and when he hath it, is obliged (without fraudulent pretence
of having submitted himselfe out of fear,) to protect his Protection as
long as he is able.66

The distinction between the legitimacy of government and citizens

obligation to obey was an attractive view for many in the early Interregnum, though it is not one commonly associated with Hobbes.67
But having traced through the historical-contractarian elements in his
theory, one can see how the distinction has a place there. The principle
of indefeasible sovereign right is implied by a historical-contractarian
story that rests present government on a constitutional compact and
hereditary descent.

64

Hobbes, Behemoth, 204; see also 135, 156, 195.

Hobbes, Behemoth, 180.
66
Hobbes, LV, 29, pp. 37576. Cf. ch. 21, pp. 27374: if [a monarch] be held
prisoner, or have not the liberty of his own Body; he is not understood to have given
away the Right of Soveraigntie; and therefore his Subjects are obliged to yield obedience to the Magistrates formerly placed, governing not in their own name, but in his.
A contradictory passage in De Cive is quoted in note 70 below.
67
The distinction was a theme of an influential Engagement tract by Francis Rous,
The lawfulness of obeying the present government (April 1649). See Glenn Burgess,
Usurpation, Obligation and Obedience in the Thought of the Engagement Controversy, Historical Journal 29 (1986): 51921; and Quentin Skinner, Conquest and
Consent: Thomas Hobbes and the Engagement Controversy, in The Interregnum:
The Quest for Settlement 16461660, ed. G. E. Aylmer, rev. paperback ed. (London:
Macmillan, 1974), 834.
65

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69

After the Restoration, Hobbes would insist that this was the view he
had always held. He retrospectively described his Interregnum arguments in favor of Engagement with the new regime as narrowly concerning what point of time it is, that a subject becomes obliged to
obey an unjust conqueror.68 Yet the post-Restoration claim has never
been taken especially seriously, by Hobbess contemporaries or by later
readers.69 He became known, instead, for defending de facto authority
and taking an antifoundational view of sovereignty.
Mocking the Norman Conquest
The historicity of Hobbess contract arguments has been obscured by
his about-face in Leviathans Review and Conclusion. There, counseling allegiance to the postregicide government, he abjures historical commitments and embraces de facto authority. With the issue of
deposition moot, the salient topic was now conquest: this (to define it)
is the Acquiring of the Right of Soveraignty by Victory. Which Right,
is acquired, in the peoples Submission, by which they contract with
the Victor, promising Obedience, for Life and Liberty.70 On the key
point of indefeasible sovereign right, Hobbes had contradicted himself. Either sovereign right is contingent on others actsconquerors
victory and subjects submissionor it is not.
As if to telegraph the contrast between this new stance and the
account of sovereignty he had developed in connection with Leviathans authorization covenant, Hobbes goes on to mock the opinion
that the Norman Conquest has authority over present political arrangements. Neither the justness of the Conquerors cause nor the artificial
68
Hobbes, Considerations, 4212. In the same passage, Hobbes also plays up
the stipulation that a subject must protect his Protection. The latter explains away
his stance on Engagement as a justification for the actions only of royalists, but not a
justification of the actions of the Kings enemies (see Burgess, Contexts, 67879).
69
Contemporary readings of Hobbism have been detailed by Quentin Skinner in
a series of classic articles. See, in addition to the works cited previously, Hobbess
Leviathan, Historical Journal 7 (1964): 32133; and The Ideological Context of
Hobbess Political Thought, Historical Journal 9 (1966): 286317.
70
Hobbes, LV, A Review and Conclusion, p. 721. Cf. The Elements of Law, where
Hobbes mentions only that subjects obligation transfers to the conqueror (II.2.15,
p. 98); and De Cive, If the Kingdome fall into the power of the enemy, so as there can
no more opposition be made against them, we must understand that he, who before
had the Supreme Authority, hath now lost it (DC, 7.18, p. 116). See also the passage
in De Cive quoted below in the conclusion in which Hobbes treats the possibility that
subjects may choose not to consent to the conquerors authority.

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eternity of legitimate succession can be the basis of sovereign right

and English citizens obligation:
As if, for example, the Right of the Kings of England did depend on
the goodnesse of the cause of William the Conquerour, and upon their
lineall, and directest Descent from him; by which means, there would
perhaps be no tie of the Subjects obedience to their Soveraign at this
day in all the world.71

The accent, instead, is on the mortality of sovereignty:

though Soveraignty, in the intention of them that make it, be immortall,
yet is it . . . not only subject to violent death, by forreign war; but also
through the ignorance, and passions of men, it hath in it . . . many seeds
of a naturall mortality.72

Of the essence to the Engagement model is a different answer to the

question Who is sovereign? than Hobbes had given in the body of
Leviathan. The about-face signaled by his rejection of the principle of
indefeasible hereditary right comes down to a new, presentist perspective on the location of sovereignty. It has been said that
what Hobbes taught, and what Englishmen of the later Stuart century
understood, was the value of civil peace. Legitimacy, as a result, was
turned from a concept of government based in traditional right and
hereditary monarchy, to government that was anchored instead in its
acceptance by the subject in return for protection.73

Correct as a characterization of his position in Leviathans Review

and Conclusion, this misrepresents Hobbess position in the 1640s
and after 1660; in these periods he was a traditionalist. (Moreover, if
one looks closely at the Review and Conclusion, there seem to be
limits to how far, even there, he was prepared to accept the implications of a presentist position. Nowhere mentioned in the Review and
Conclusion is the actual Engagement oath, which was to be true and
faithful to the Commonwealth of England, as it is now Established,

71

Hobbes, LV, A Review and Conclusion, p. 721.

Hobbes, LV, 21, p. 272. The quotation is from chapter twenty-one, Of the Liberty of Subjects, rather than the Review and Conclusion, but appears to have been
written in the same period as the latter.
73
Howard Nenner, The Later Stuart Age, in The Varieties of British Political
Thought, 15001800, ed. J. G. A. Pocock (Cambridge: Cambridge University Press,
1993), 206.
72

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71

without a King or House of Lords.74 To endorse a republic with parliamentary sovereignty was something he could never bring himself
to do.)75
Conclusion
Which is the real Hobbes? Is he better characterized as a philosophical contractarian, a historical contractarian, or an antifoundational
defender of the powers-that-be? The first, to be sure, corresponds to
his methodological intentions and aspirations. Yet the impulse to formulate a universalistic and contractarian defense of absolutism failed
when political events forced him to confront the issue of deposition.
He eventually had to recognize that the political force of his theoretical arguments depended on introducing contingent, historical facts
about the English constitution.
Furthermore, Leviathans appeal to the English constitution is consistent with Hobbess earlier discussions of rules of succession, which
give a historical coloration to his philosophical-contract story. These
historical themes have been obscured by Hobbess more influential
Engagement remarks in the conclusion of Leviathan. Yet it is instructive, in this regard, to perform a thought experiment. Imagine that
Charles I won the Civil War so that Hobbes never had occasion to
write the Review and Conclusion. This counterfactual is the right
frame for reading the body of the work, since the main lines of his
thinking were laid down well before the defeat of the Stuarts. Absent
the confusion introduced by his well-known Engagement remarks, we
can see the continuity between Hobbess Civil War political theory and
post-Restoration writings; see that he made historical-contractarian
arguments throughout; and appreciate the ways in which English history became more prominent in his thinking over time.
If Hobbes was in some respects a historical contractarian, there
is also ground for concluding that this Grotian line of argument is
the strongest contractarian element in his theory. Among his several

74
Samuel Rawson Gardiner, ed., The Constitutional Documents of the Puritan Revolution, 16251660, 3rd ed. (Oxford: Clarendon Press, 1906), 391.
75
After the Restoration, however, Hobbes was quite ready to state that Parliament
had held supreme power in the period of the Engagement Controversy (Behemoth,
15455; Dialogue, 1718).

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accounts of the relationship between ruler and ruled, this story is the
only one that incorporates two defining features of contractarianismvoluntarism (i.e. the idea that political legitimacy issues from
the assent of individuals)76 and the idea of a constitutional compact.
Regarding the first, consider his apparently contractarian defenses
of the principle of unconditional sovereigntyi.e. the nonresistance
and authorization covenants. As we have seen, both covenant formulations actually rest on logical analyses of corporate agency and
the necessary relationship between ruler and ruled. At base, Hobbes
argues that unconditional sovereignty is a necessary (rather than chosen) feature of political relationships. Unified sovereignty is defended
with a similar, definitional claim that this is also a necessary feature
of sovereignty, along with the prudential generalization that divided
sovereignty is a bad thing. Only the latter is potentially a voluntarist
argument. But he was unwilling to follow Grotius and to grant that
assent alone, not the merits of unified versus divided sovereignty, is
the sole relevant criterion.77 Thus in none of Hobbess several defenses
of unconditional and unified sovereignty is the political covenant more
than illustrative: the basic reasoning is (variously) logical, definitional,
or prudential.
The antihistorical model of Leviathans Review and Conclusion,
tying obligation to protection, is voluntarist but not contractarian.
This is a voluntarist model, as the preceding defenses of unconditional
and unified sovereignty are not, because it plainly rests the legitimacy
of a conquerors regime on the assent of subjects.78 The possibility that
assent might not be given is canvassed in De Cive: if in a Democraticall, or Aristocraticall Government some one Citizen should, by force,
possesse himself of the Supreme Power, if he gain the consent of all the
Citizens, he becomes a legitimate Monarch; if not, he is an Enemy not

76

Patrick Riley, How Coherent is the Social Contract Tradition?, Journal of the
History of Ideas 34 (1973): 543.
77
The Grotian position is quoted in note 23 above.
78
It should be noted, though, that the Review and Conclusion includes the possibility of giving merely tacit consent, which Hobbes defines as living openly under the
protection of a conqueror (LV, pp. 72021). It can be argued that this diminishes the
force of consent in the argument. In some of his previous discussions of conquest,
the concept of consent is stripped of any effective force when Hobbes describes consent as hinging on the conquerors choice. It is the conqueror who decides whether to
treat the vanquished as though they have given consent by allowing them liberty, to
keep them in bonds as nonconsenting slaves, or to kill them (EL(T), II.3.34, p. 100;
DC, 8.25, pp. 11819).

when hobbes needed history

73

a Tyrant.79 While the model is voluntarist, it is not contractarian. Its

root principlethe mutuall Relation between Protection and Obedience80implies a utilitarian account of political obligation and legitimacy, emphasizing subjects interest in having a government strong
enough to protect them,81 rather than a contractarian vision of binding
constitutional decisions.
As against these lastphilosophical and utilitarianlines of argument, Hobbess appeals to English history furnish the only thoroughly
contractarian strand in his thinking. Consider the following statement:
In the year 1640, the government of England was monarchical; and the
King that reigned, Charles, the first of that name, holding the sovereignty, by right of a descent continued above six hundred years.82

Elucidated on Hobbesian principles, it implies the argument that England has an absolutist constitution because subjects transferred sovereignty to William the Conqueror and did not reserve the right or the
occasion to hold the monarchy accountable. Had circumstances and
choices been different at the founding, by implication, English rulers might be accountable to the people and England might not be a
monarchy at all. In this constitutional argument, absolutism is a contingent, not a logical, feature of (English) government. Furthermore,
by contrast to Leviathans Review and Conclusion, the argument is
foundational rather than utilitarian. Legitimate authority is seen here
to derive from a constitutional compact and subsequent adherence
to rules of monarchic succession, not from subjects interest in being
protected.
Is it perverse to conclude that when Hobbes needed history he was
at his best as a contractarian thinker?

79

Hobbes, DC, 7.3, pp. 1078.

Hobbes, LV, A Review and Conclusion, p. 728.
81
This is Quentin Skinners view: see, for example, Ideological Context, 316; and
Conquest and Consent, 96.
82
Hobbes, Behemoth, 1.
80

CHAPTER FOUR

HOBBESIAN ABSOLUTISM AND THE

PARADOX IN MODERN CONTRACTARIANISM
One would be hard-pressed to find a political theory of the stature
and influence of Hobbess whose political arguments are as universally rejected as his have been. In the seventeenth century, those who
shared his belief in absolutism disliked the secular grounding he gave
it, whereas our democratic age applauds his secularism and rejects his
absolutism. The consequence is that his arguments for absolutism,
which are the core of his political vision, have received less sustained
attention than his accounts of human nature, morality, and knowledge. However, by dismissing his defense of absolutism, readers miss
the audacity of Hobbess core political argument, which consists in the
joint claims that consent is the foundation of legitimate authority and
that sovereignty is necessarily absolute. How can this be? If absolute
government is the product of choice, how can it also be the sole possible constitutional arrangement?
This question may actually be Hobbess greatestalbeit problematiclegacy to subsequent contract thinkers, all of whom have
rejected his preference for absolutism. Despite this, contract thinkers
since Hobbes routinely assert the same paradox, which comes down to
claiming that people will choose the theorists preferred constitution
and that it is the only possible one. Regarding Rawlss theory of justice, for instance, many critics have diagnosed one form or another of
a similar tension between choice and legitimation, voluntarist claims
and antivoluntarist arguments. Later on, after examining the genesis
of the paradox in Hobbess thought, I will discuss manifestations of
it in later contract theory, especially Rawlss, and trace these back to
Hobbism.1 However my main purpose here is to lay out the genesis of
this paradoxical combination of voluntarist and analytic arguments.
1
For an opposing view of the paradox, in which Rousseau is seenand praisedas
being the sole contract thinker to combine idealism with the requirement of an actual
contract, see David Lay Williams, Ideas and Actuality in the Social Contract: Kant
and Rousseau, History of Political Thought 28 (2007): 46995. He stresses the utility
of each vein of reasoning and hence the benefit of combining them, whereas I focus

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chapter four

On the intellectual landscape of Stuart England there were two

major theorists of absolutism: Jean Bodin and Hugo Grotius. Bodins
Rpublique (1576) appeared in English translation under the title The
Six Bookes of a Commonweale in 1606, and Grotius published De
Jure Belli ac Pacis in 1625. The separate influence of these works on
Hobbess political theory is a familiar fact of intellectual history; it is
widely remarked that Hobbes drew on Bodins concept of absolutism
and on Grotiuss account of natural law.2 Yet historians have tended
to view these as rival influences and therefore to debate whether his
theory is more indebted to one or the other, often by emphasizing differences between Hobbism and the supposedly less-influential theory.
With regard to the relationship between Bodins and Hobbess theories,
J. H. M. Salmon and Quentin Skinner, for example, take opposing
views. Salmon describes resemblances between Bodins and Hobbess
conclusions as merely superficial and draws a series of contrasts: Bodin
was vague about the origin of authority whereas Hobbes employed
the contract device; Bodin was more optimistic about human nature
than Hobbes, and saw humans as communal creatures by contrast to
Hobbess self-interested individualism; and Bodin recognized limits
on the sovereigns actions, as Hobbes did not. Hence he concludes,
If Hobbes owed much to any one predecessor, then it would seem
that he was indebted to Grotius.3 By contrast, Skinner stresses their
agreement on the principle of unconditional sovereignty and therefore
maintains that in Bodins theory,

on the illogic of so doing. Williamss foil is Patrick Rileys classic on the subject, Will
and Political Legitimacy (Cambridge, Mass.: Harvard University Press, 1982), which
emphasizes the voluntarism of the tradition and praises Kant, in contrast, for transforming the social contract into an Idea.
2
Bodins influence on English political thought is detailed by J. H. M. Salmon, The
French Religious Wars in English Political Thought (Oxford: Clarendon Press, 1959);
and George L. Mosse, The Struggle for Sovereignty in England (New York: Octagon,
1968), ch. 2. Regarding Grotius, see citations in subsequent notes.
3
Salmon, French Religious Wars, 11314 (quotation, 113 n. 30). See, too, Alain
de Benoist, What is Sovereignty?, Telos 116 (1999): 99118: The problem with
sovereignty is differently posed with Thomas Hobbes (15881679). While, in Bodins
theory, the idea of absolute sovereignty is oriented explicitly against feudal power, which
implies granting the prince authority independent of his subjects consent . . . Hobbes
was the first to invoke a social contract (104). David Parker makes a similar argument: Law, Society and the State in the Thought of Jean Bodin, History of Political
Thought 2 (1981): 25385.

hobbesian absolutism

77

Already the foundations are fully laid for Hobbess later construction
of that great Leviathan as a mortal God to whom we owe under the
immortal God our peace and defence.4

The Grotian connection is similarly disputed. Richard Tuck has sought

in a number of works to resurrect Grotiuss place in the development
of European political thought and particularly to call attention to his
influence on Hobbess theory, which Tuck describes as broadly Grotian in character.5 In rebuttal, Perez Zagorin titles an article, Hobbes
Without Grotius, which contrasts their accounts of natural law and
right.6 In the same vein, Johann Sommerville avers that there is much
to suggest that Hobbes would have disagreed profoundly with any
claim that he belonged to the school of Grotius.7
There is merit on both sides in these disputes: While Hobbes
embraced Bodinian absolutism, he differed with Bodin on a number
of points, including the use of the contract device. Grotius, on the
other hand, was well known for putting absolutism on a contractarian
footing but, unlike Hobbes and Bodin, he saw absolutism as merely
one among a variety of available constitutions. Debating the relationship between Hobbes and Bodin or Hobbes and Grotius misses the
key point that his defense of absolutism combines elements from both
predecessors theories. Bodin had said that sovereignty must be absolute, while Grotius argued for the possibility of an absolutist contract.
Taking the former, analytic (or dogmatic) claim from Bodin, Hobbes
combined it with Grotiuss permissive contract argument, and the

4
Quentin Skinner, The Foundations of Modern Political Thought, vol. II, The Age of
Reformation (Cambridge: Cambridge University Press, 1978), 287.
5
Richard Tuck, Grotius, Carneades and Hobbes, Grotiana 4 (1983): 59. See also
Natural Rights Theories: Their Origin and Development (Cambridge: Cambridge University Press, paperback ed., 1981), chs. 36; Optics and Sceptics: The Philosophical Foundations of Hobbess Political Thought in Conscience and Casuistry in Early
Modern Europe, ed. E. Leites (Cambridge: Cambridge University Press, 1988), 23563;
Philosophy and Government 15721651 (Cambridge: Cambridge University Press,
1993), 305; and Hobbes (Oxford: Oxford University Press, 1989), 2022.
6
Perez Zagorin, Hobbes Without Grotius, History of Political Thought 21
(2000):1640. See also Hobbes on Our Mind, Journal of the History of Ideas 51
(1990): 31735.
7
Johann P. Sommerville, Selden, Grotius, and the Seventeenth-Century Intellectual Revolution in Moral and Political Theory in Rhetoric and Law in Early Modern
Europe, ed. V. Kahn and L. Hutson (New Haven: Yale University Press, 2001), 320.
See also Tom Sorell, Hobbes Without Doubt, History of Philosophy Quarterly 10
(1993): 12135.

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product was a strongbut also paradoxicalcontractarian defense of

absolutism.
Unfortunately, Hobbes left little by way of autobiographical material
on the development of his thinking, even burning many letters late in
life out of fear of parliamentary persecution. But in the cases of Bodin
and Grotius, we have some concrete evidence of influence, which is
more direct in the case of the former and circumstantial for the latter.
Bodin was an exception to Hobbess usual practice of ignoring other
authorities.8 In the first version of his political theory, The Elements of
Law (1640), he referenced and even quoted The Six Bookes of a Commonweale. First, he cites Bodin as an authority on the proposition that
sovereignty cannot be divided:
If there were a commonwealth, wherein the rights of sovereignty were
divided, we must confess with Bodin, Lib. II. chap. I. De Republica, that
they are not rightly to be called commonwealths, but the corruption of
commonwealths.9

It is a close paraphrase of a passage in the Six Bookes that explained,

Wherefore such states as wherein the rights of soueraigntie are diuided,
are not rightly to bee called Commonweales, but rather the corruption
of Commonweales. In addition, he quotes Bodins empirical account
of the instability of divided sovereignty. Bodin had claimed that
the nobilitie which should haue the power to make the lawes for
all . . . would by their lawes at their pleasure forbid others to make peace
or warre, or to leuie taxes, or to yeeld fealtie and homage without their
leaue.10

And Hobbes echoes,

if one part should have power to make the laws for all, they would by
their laws, at their pleasure, forbid others to make peace or war, to levy
taxes, or to yield fealty and homage without their leave.11

While Hobbes does not appeal to Grotiuss authority in a similar manner, nor do we have direct evidence that he read De Jure Belli ac Pacis or
other writings, we know there was a copy of De Jure Belli in the library

8
M. M. Goldsmith, Hobbess Mortal God: Is there a Fallacy in Hobbess Theory
of Sovereignty, History of Political Thought 1 (1980): 3740.
9
Hobbes, EL(G), 27.7, pp. 16667.
10
Bodin, SB, II. I, p. 194.
11
Hobbes, EL(G), 27.7, p. 167.

hobbesian absolutism

79

of Hobbess aristocratic employer by (it appears) the early 1630s.12

A number of circumstantial connections indicate his awareness of
Grotian arguments. One connection runs through the writings of John
Selden, who made the English case against Grotiuss Mare Liberum
(1609) in Mare Clausum (1618, revised and published in 1635).13 In
the spring of 1636, while on the Continent, Hobbes wrote to a friend
in England saying he hoped to see Seldens work, and several months
later reported to a patron that he was reading it.14 That summer, he
and Grotius were in Paris at the same time and had a mutual friend,
the English ambassador Viscount Scudamore,15 so they may conceivably have met although there is no record of this. When Hobbes first
wrote his political theory, he outlined a project that seemed to shift
his plan for a tripartite political science in a Grotianesque direction.16
The Elements outline refers, not to the familiar deduction from body
to man to civil society, but instead to an explication of the Elements
of Laws, Natural and Politic, which . . . dependeth upon the knowledge
of what is human nature, what is a body politic, and what it is we call
a law.17
Grotian Contractarianism
It is commonplace to observe that Hobbes transformed contractarianism and inaugurated the genre of abstract, universalizing theorizing that we think of as essentially modern.18 The transformation is
described by Harro Hpfl and Martyn Thompson, who distinguish

12
Noel Malcolm, Hobbes, Thomas (15881679), Oxford Dictionary of National
Biography (Oxford: Oxford University Press, online edition, 2006) [http://www
.oxforddnb.com/view/article/13400, accessed 28 Nov 2007].
13
The relationship between Grotius, Selden, and Hobbes is debated by Richard
Tuck and Johann Sommerville. See Tuck, Natural Rights Theories, ch. 4; Grotius
and Selden in The Cambridge History of Political Thought 14501700, ed. J. H.
Burns (Cambridge: Cambridge University Press, 1991), 499529; and Philosophy and
Government, chs. 67. Cf. Sommerville, Selden, Grotius, 320 and 33537.
14
Thomas Hobbes, The Correspondence of Thomas Hobbes, ed. Noel Malcolm
(Oxford: Clarendon Press, 1994), vol. I, Letters 17 and 18, pp. 30 and 32.
15
Noel Malcolm, Biographical Register to Hobbess Correspondents in Correspondence, vol. II, 88788.
16
See Tuck, Hobbes, 2023; and chapter five of the present volume.
17
Hobbes, EL(G), 1.1, p. 21.
18
E.g., Seyla Benhabib, The Methodological Illusions of Modern Political Theory,
Neue Hefte fr Philosophie 21 (1982): 4774.

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philosophical contractarianism from a long-standing historical or

constitutional genre.19 Philosophical contractarianism employed
the language of natural law, a state of nature, and the social contract,
whereas constitutional contractarianism treated the ancient constitution and fundamental laws. While the latter was an age-old form of
argumentation, it was revived and intensified in the sixteenth and seventeenth centuries, as J. G. A. Pocock showed in The Ancient Constitution and the Feudal Law, by those who sought to limit newly-assertive
monarchs.20 Prominent examples of constitutional contractarianism
include the Vindiciae contra tyrannos, a late sixteenth-century Huguenot resistance tract that derived conditional sovereignty from coronation oaths and was concerned, generally, with the positive legal rights
of various bodies within the French state.21 A century later in England,
similar argumentation played an important part in the constitutional
controversies leading to the Glorious Revolution;22 the Convention
Parliament charged James II with breaking the Original Contract
between king and people as well as with abdicating the throne.23
These examples display a preoccupation with the particular positive
laws and the institutional inheritance of specific polities, by contrast
to the focus of the new philosophical contractarianism on universal
propositions about all men and all polities.24
The path from constitutional to philosophical contractarianism ran
through Grotiuss De Jure Belli ac Pacis. In a famous passage, so influential that a century and a half later Rousseau would devote a chapter
in the Social Contract to rebuttal,25 Grotius claimed that a people may
consent to absolutism just as individuals may consent to slavery:

19
Harro Hpfl and Martyn P. Thompson, The History of Contract as a Motif in
Political Thought, American Historical Review 84 (1979): 93233. See also J. G. A.
Pocock, The Ancient Constitution and the Feudal Law (New York: Norton, 1967),
esp. ch. 9; and J. W. Gough, The Social Contract: A Critical Study of its Development
(Oxford: Clarendon Press, 1936), chs. 67.
20
Pocock, Ancient Constitution, 16.
21
Hpfl and Thompson, History of Contract, 93233.
22
Hpfl and Thompson, History of Contract, 942; Pocock, Ancient Constitution,
22931.
23
Quoted in Thomas P. Slaughter, Abdicate and Contract in the Glorious Revolution, Historical Journal 24 (1981): 330.
24
Hpfl and Thompson, History of Contract, 941.
25
Jean-Jacques Rousseau, The Social Contract, trans. Maurice Cranston (Harmondsworth: Penguin, 1968), bk I, ch. 4.

hobbesian absolutism

81

To every man it is permitted to enslave himself to any one he pleases for

private ownership . . . Why, then, would it not be permitted to a people
having legal competence to submit itself to some one person, or to several persons, in such a way as plainly to transfer to him the legal right
to govern, retaining no vestige of that right for itself? And you should
not say that such a presumption is not admissible; for we are not trying
to ascertain what the presumption should be in case of doubt, but what
can legally be done.26

Furthermore, in some circumstances it would be rational for a people

to make such a contract:
as, for example, if a people threatened with destruction cannot induce
any one to defend it on any other condition; again, if a people pinched by
want can in no other way obtain the supplies needed to sustain life.27

Thus Grotius legitimated the possibility of absolutism, defined as

unconditional sovereignty, as well as slavery. However, it was a weak,
because merely permissive, defense of absolutism: he granted that
other forms of government, including divided as well as conditional
sovereignty, were also possible. His argument parallels the just-quoted
defense of an absolutist contract:
Against such a state of divided sovereigntyhaving, as it were, two
headsobjections in great number are urged by many. But, as we have
also said above, in matters of government there is nothing which from
every point of view is quite free from disadvantages; and a legal provision
is to be judged not by what this or that man considers best, but by what
accords with the will of him with whom the provision originated.28

Grotiuss contract argument was basically an abstraction from historical contractarianism, which was a genre of first-order claims about
historical contracts rather than second-order reflection on historical
argumentation.29 Stepping away from particular national histories
of contracts, he advanced two general propositions: (1) legitimate
authority is founded on consent;30 and (2) a variety of constitutional
26

Grotius, DJB, I.3.8.1, p. 103.

Grotius, DJB, I.3.8.3, p. 104.
28
Grotius, DJB, I.3.17, p. 124.
29
Pocock, Ancient Constitution, ch. 9. Early in his career, Grotius published a historical defense of the constitution of the new Dutch Republic, De Antiquitate Reipublicae Batavicae (1610): Hugo Grotius, The Antiquity of the Batavian Republic, ed. and
trans. Jan Waszink (Assen: Van Gorcum, 2000).
30
Grotius also recognizes conquest as a legitimate source of authority (DJB, I.3.8,
p. 105; III.8.1, pp. 69798; and III.15.1, p. 770).
27

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compacts are possible, resulting in absolutism or divided and/or

conditional sovereignty. In effect, this second proposition provided
a rationale for a constitutional contractarian focus on investigating
constitutional histories.
As a way of thinking about politics, Grotian contractarianism
accents human will and the contingency of political arrangements,
rather than their rationality. While Grotius gave reasons why it would
be rational to consent to absolutism in some circumstances, his purpose in so doing was to support the claim that such a contract is possible. Absolutism binds, by his account, not because of the reasons for
which it is chosen, but simply because it is chosen. Annabel Brett has
emphasized the centrality of pure subjective liberty in De Jure Belli.31
This is a political philosophy that conceives human beings as radically
freeeven to choose to give up freedom, individually or collectively
and as obligated by virtue simply of our consent. Furthermore, since
various constitutions are possible, it is a matter of contingency why
states have the arrangements they do rather than other possibilities.
This accent on freedom, choice, and contingency was foreign to much
constitutional contractarian reasoning, which stressed the rootedness
of constitutions in inherited custom and law.32 Nonetheless, abstracting from that sort of historical sensibility, a constitutional contractarian would have been comfortable with the view that constitutional
arrangements are the product of political strife and resolution, which
always can have gone otherwise.
However, it would be wrong to suggest that Grotian contractarianism in De Jure Belli ac Pacis was as concerned with politics as constitutional contractarianism had been. While he provided a rationale for
investigating political history, the works influence lay in its secular

31

Annabel Brett, Natural Right and Civil Community: The Civil Philosophy of
Hugo Grotius, The Historical Journal 45 (2002): 41, 48.
32
Pocock, Ancient Constitution. Consistent with his radical account of permissible
contracts, Grotius held that a people could give up the right to alter constitutional
arrangements in the future; however, being a merely permissive statement, this left the
opposite possibility open in principle. See the discussion in Book II, chapter four of De
Jure Belli ac Pacis. However, in the conclusion of the 1610 work on his own country,
he had sounded like a typical historical contractarian: we owe much to our ancestors,
who have accepted a form of government, which was excellent in itself, and ideal for
our character and ambitions, from the original founders . . . It is now our duty . . . firmly
to defend this form of government, which is urged by reason, approved by experience,
and recommended by antiquity (Grotius, Antiquity, 115).

hobbesian absolutism

83

account of natural law and underlying moral psychology.33 His defense

of absolutism defined many of the questions with which social contract theory would thereafter be preoccupied: What kind of contracts
can be made? What form of government would abstract individuals
choose, and why? By extension, promise-keeping became a root issue
(for which David Hume would criticize the genre a century later).34
His argument admits contingency as a philosophical matter but the
concern with abstract reasons moves away from the radical political
contingency inherent in constitutional contractarian thinking. It is the
difference between thinking of political contracts as political settlementswith the accent on the fact of settlement, and a concern with
the way in which historical settlements structure political relationships in the presentversus a Grotian focus on reasons for making
and keeping contracts. While Grotius maintained a constitutional
contractarian appreciation for the variety of real-world settlements, he
simultaneously started the process of transforming contractarianism
into a branch of moral philosophy that would culminate in Rawlss
Theory of Justice.
There is also to be found in De Jure Belli a noncontractarian discussion of sovereignty, a line of argument that reflects the widespread
influence in the early seventeenth century of Bodins political theory.35
Immediately preceding the absolutist contract that was quoted at the
start of this section, Grotius defines sovereign power as That power . . .
whose actions are not subject to the legal control of another, so that
they cannot be rendered void by the operation of another human
will.36 It is absolutely necessary, he declares, that authority stop
with some person, or assembly.37 Furthermore, sovereignty is a unity,
in itself indivisible and includes the highest degree of authority,
which is not accountable to any one.38 But in De Jure Belli, such
universalistic statements are in tension with the contingent contract
33
Knud Haakonssen, Hugo Grotius and the History of Political Thought, Political Theory 13 (1985): 23965; Tuck, Natural Rights Theories; cf. Sommerville, Selden,
Grotius.
34
David Hume, Of the Original Contract in Essays: Moral, Political, and Literary
(Indianapolis: Liberty Fund, 1987).
35
Regarding Bodins influence on Grotius, see: Grotius, DJB, Prolegomena,
p. 29; and Julian H. Franklin, Jean Bodin and the Rise of Absolutist Theory (Cambridge:
Cambridge University Press, 1973), 1068.
36
Grotius, DJB, I.3.7, p. 102.
37
Grotius, DJB, I.3.8, p. 110.
38
Grotius, DJB, I.3.17, p. 123.

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argument for which he was best known. Thus, for instance, the passage
claiming that sovereignty is a unity, nevertheless continues with an
attempted explanation of how both divided and conditional rule are
possible.39 Grotius makes an attempt to reconcile these positions by
distinguishing sovereignty from the possession of sovereignty,
Up to this point we have tried to show that the sovereignty must in
itself be distinguished from the absolute possession of it. So true is this
distinction that in the majority of cases the sovereignty is not held absolutely.40

Yet it is not clear what this might mean. Rather than concentrate on
his effort to combine contractarianism with a definitional position
inherited from Bodin, let us turn instead to see how Bodin had originally worked out the universalistic claim that sovereignty must be
absolute.
Bodinian Absolutism
Bodins Six Bookes of a Commonweale interjected into the development of political thought in the early-modern period the strenuous
claims that personalized sovereignty is unconditional and perpetual.41
Soueraigntie is the most high, absolute, and perpetuall power ouer
the citisens and subiects in a Commonweale; the prince or people
themselues, in whome the Soueraigntie resteth, are to giue account
vnto none, but to the immortall God alone.42 With the further identification of legislative authority as the key mark of sovereignty, this
translated into the proposition that sovereign power centrally consists
in giuing laws vnto the subiects in generall, without their consent,

39
Grotius, DJB, I.3.17, p. 123: nevertheless a division is sometimes made into parts
designated as potential . . . and subjective. . . Thus, while the sovereignty of Rome was
a unity, yet it often happened that one emperor administered the East, another the
West, or even three emperors governed the whole empire in three divisions.
So, again, it may happen that a people, when choosing a king, may reserve to itself
certain powers but may confer the others on the king absolutely.
40
Grotius, DJB, I.3.14, p. 120.
41
Skinner, Foundations, vol. II, 284301.
42
Bodin, SB, I.8, pp. 84, 86. Also, p. 85: Soueraigntie is not limited either in power,
charge, or time certaine.

hobbesian absolutism

85

while the sovereign is not subiect to any law (meaning human law,
whereas divine and natural law govern all).43
Softening the assertion of unconditional sovereignty were a number
of qualifications. Bodin saw rulers and subjects as having mutual ties:
for the faith and obeisance he receiueth, the sovereign oweth iustice, counsell, aid, and protection.44 In the same vein, he distinguished
contracts between ruler and ruled, which reciprocally bindeth both
parties from mere laws.45 So, too, fundamental laws such as the Salic
law in France were binding on sovereigns, and their successors could
annul violations.46 In addition, he held that absolute monarchs could
not tax without the consent of representative assemblies of their subjects, except in emergencies.47 In fact, Bodin preferred to accent the
limits he placed on sovereign power rather than its broad scope. In
the preface to the second edition of the Rpublique, he protested the
charge that the theory gives too much power to one man by drawing
attention to its inclusion of various limitations on sovereign authority.48 In addition, the work classifies monarchies into three kinds,
based on the criterion of the conduct of government: there is lawful or royal monarchy, in which the prince obeys the laws of nature
and respects subjects liberty and property; lordly monarchy, in
which the prince is absolute master over subjects goods and persons;
and tyrannical monarchy, in which the prince violates natural law
and abuses his subjects and their property. Bodin maintained that
most European monarchies were lawfulas opposed to lordlyin
character.49

43

Bodin, SB, I.8, pp. 8889, 98 (quotations on pp. 98 and 88). Indeed, Bodin held
that princes are more straitly bound than their subiects by the law of God and
nature: For God taketh a straiter account of princes than of others (104).
44
Bodin, SB, I.6, p. 58; see also IV.6, p. 500.
45
Bodin, SB, I.8, p. 93. Hobbes mentions this distinction, though it makes no sense
in his own theory, just prior to the paraphrasing from the Rpublique that was quoted
in the introduction (EL(G), 27.6, p. 166).
46
Bodin, SB, I.8, p. 95.
47
Bodin, SB, I.8, pp. 9697. See Martin Wolfe, Jean Bodin on Taxes: The
Sovereignty-Taxes Paradox, Political Science Quarterly 83 (1968): 26884; Julian H.
Franklin, Bodin and Locke on Consent to Taxation: A Brief Note and Observation,
History of Political Thought 7 (1986): 8991; and Franklin, Jean Bodin, 8792.
48
Bodin, SB, p. A71. See Julian H. Franklin, Sovereignty and the Mixed Constitution: Bodin and His Critics, in Cambridge History, ed. Burns, 3069; Franklin, Jean
Bodin, ch. 5; Skinner, Foundations, vol. II, 293300.
49
Bodin, SB, II.2, pp. 2001.

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However, the key point is that none of the limits Bodin placed on
sovereign power were enforceable. His admission of various qualifications and limits therefore functioned less to counteract his absolutist assertions than, as Julian Franklin recognized, to undermine
traditionally recognized limits: The Rpublique would help to show
how all medieval checks on royal power could be deprived of binding
force.50
Secondly, absolutism referred to unified control of the major rights
of sovereigntyor, in other words, opposition to a mixed constitution.
Just as with regard to unconditional sovereignty, Bodin framed unified sovereignty as a necessary proposition: the soueraigntie is alwaies
indiuisible and incommunicable.51 But this argument turns out to be
more empirical than the treatment of unconditional sovereignty and
therefore less clearly universal. In the passage from the Six Bookes that
Hobbes picked up and used in The Elements of Law, Bodin starts off
by suggesting a necessary political dynamic for legislative authority to
lead to de facto control of all powers: if the nobility should have the
power to make laws, they would forbid others to make peace or war
without their leave.52 He continues by shifting to the different proposition that unified sovereignty would be the eventual outcome of divided
sovereignty, although divided sovereignty is possible temporarily.
Whereby it commeth to passe, that where the rights of soueraigntie are
diuided betwixt the prince and his subiects: in that confusion of the state,
there is still endlesse sturres and quarrels, for the superioritie, vntill that
some one, some few, or all together haue got the soueraigntie.

Still, the veneer of universality is maintained through the definitional

label that states in an interregnum period of divided sovereignty are
not rightly to bee called Commonweales, but rather the corruption
of Commonweales.53
Bodin saw sovereignty, thus defined, as constitutive of a commonwealth: many citizens . . . is made a Commonweale, when they are

50

Franklin, Jean Bodin, 106.

Bodin, SB, II.7, p. 250.
52
Franklin, Sovereignty and Mixed Constitution, 302, explains that this has to
do with the fact that Bodin thought of legislative power as very general in nature, and
failed to distinguish between legislation and execution.
53
Bodin, SB, II.1 p. 194. In Bodins defense, Franklin, Sovereignty and Mixed Constitution, 3035, explains that mixed constitutionalism was not well thought out in
legal ways in the sixteenth century.
51

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gouerned by the puissant soueraigntie of one or many rulers.54 Since

he thought of sovereignty in personalized terms, this meant that it
could only take one of three forms:
it is to be knowne whether the prince that beareth rule be an absolute
soueraigne; or not: for if he be no absolute soueraigne, then must the
Soueraigntie of necessitie be either in the people, or in the nobilirie.55

However he introduced complexity by further distinguishing between

sovereignty and the form of government:
there is great difference betwixt the state, and the gouernment of the
state: a rule in pollicie (to my knowledge) not before touched by any
man: for the state may be in a Monarchie, and yet the gouernment
neuerthelesse popular.56

The administration of government could be divided, as sovereignty

could not be, as was illustrated with a diagnosis of the location of
sovereignty in the Roman Republic:
Wherefore in the Roman state, the gouernment was in the magistrats,
the authoritie and councell in the Senat, but the soueraigne power and
maiestie of the Commonweale was in the people.57

Thus deployed, the sovereignty/government distinction made plain

that Bodin framed the concept of absolute sovereignty as an analytic
device more than as a descriptive category.58 When he said that sovereignty must be absoluteunconditional and unifiedhe meant

54
Bodin, SB, I.6, p. 49. Preston King, The Ideology of Order: A Comparative Analysis of Jean Bodin and Thomas Hobbes (New York: Barnes & Noble, 1974), 29: Bodin
broadly assumes that most organisations (most particularly the family and the state)
can only enjoy a unity through the establishment and sharing of a single individual
as head (a father or a sovereign). He is not absolutely consistent in this view, and
that is why I resort to formulae of the kind he is largely inclined to believe. See also
Franklin, Jean Bodin, 23.
55
Bodin, SB, II.5, p. 221.
56
Bodin, SB, II.2, p. 199. With regard specifically to the distinction between sovereignty and the form of government, Bodin proclaimed that this was his discovery and
pointed to its analytic utility: But here happily some man will say, that none but my
selfe is of this opinion . . . True it is that I cannot denie the same; yet this distinction
neuerthelesse seemeth vnto me more than necessarie, for the good vnderstanding of
the state of euery commonweal; if a man will not cast himselfe headlong into an infinite labyrinth of errours (II.7, pp. 24950).
57
Bodin, SB, II.1, p. 190. Turning next to Venice, he argues that it was an aristocracy and not, as many thought, a mixed constitution. In Book Six, Bodin advocates
combining monarchic sovereignty with mixed government (VI.6, p. 755).
58
Goldsmith, Hobbess Mortal God, 42; Franklin, Jean Bodin, 23.

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that a person or persons holding such power could be identified in all

states; and, in turn, the existence of such person(s) was the defining
characteristic of a state.
Modern commentators identify several problems with the analytic
argumentproblems having to do, on the other side, with its connection to empirical realities and, on the other, with the relationship
between analytic and prescriptive arguments.59 On the one hand,
empirical observation underlay Bodins concept of sovereignty. An
enterprise that very likely started as an enquiry into the specific prerogatives of the ancient Roman emperors and the kings of France,
Franklin observes:
was transformed into a study of sovereignty in every kind of state. In
Bodins design, the basis for comparing states . . . was to determine and
describe the locus of sovereignty in each. He was thus required to work
out common principles of sovereignty that would apply to democracies
and aristocracies as well as monarchies, and to variants of each of these
in different times and places.60

On the other hand, the upshot of this process of abstraction was

to produce a rationalizing concept that was of use principally for
(re)interpreting the constitutions of extant states. Thus, for example,
just as Bodin diagnosed absolute sovereignty amid the apparent republican structures of Rome and Venice, he deciphered monarchic sovereignty in the English constitution. And far from being analytically
neutral, this diagnosis carried prescriptive force:
I haue willingly set downe the ratification at large, to show that the
soueraigntie wholly without diuision belonged vnto the kings of England . . . For the ratification of the estates . . . sufficeth not to show the
power to commaund, but rather their consent to strengthen the acts.61

In the end, then, Bodinian absolutism was not so much an empirical

generalization as it was an analytic doctrine reflecting the pretensions
of weak early-modern rulers. This is patent, for instance, when Bodin
explains what absolute monarchy entails:
59
Criticisms of Bodinian absolutism in the period (in particular, early seventeenthcentury German works) are discussed by Franklin, Sovereignty and Mixed Constitution, 31223.
60
Franklin, Sovereignty and Mixed Constitution, 301. See also Skinner, Foundations, vol. II, 293. Franklin, Jean Bodin, criticizes Bodinian analytical absolutism as
empirically inaccurate (ch. 7); in the same vein, see King, Ideology, 14347.
61
Bodin, SB, I.8, p. 98 (generally, pp. 9698); see Franklin, Jean Bodin, 106.

hobbesian absolutism

89

if the prince be an absolute Soueraigne, as are the true Monarques of

Fraunce, of Spain, of England, Scotland, Turkie . . . and of almost all
the kingdomes of Affricke, and Asia, . . . it is not lawfull for any one
of the subiects in particular, or all of them in generall, to attempt any
thing . . . against the honour, life, or dignitie of the soueraigne.62

But prescription-by-definition is a weak form of reasoning, lacking

in foundations. One such foundation, as Grotius was to see, lay in
asserting that absolute sovereignty could be the product of popular
choice. Bodin had mentioned the possibility of popular delegation of
absolute authority, but failed to develop its implications.63 Hobbess
genius lay in recognizing the possibility and combining the contingent
contractarianism of Grotius with the analytic absolutism of Bodin. The
combination gave secular absolutist theory a rationale beyond that
of mere definition.64 Moreover, Grotiuss radical formulationthat
a people can entirely renounce the right of governing themselves
enabled Hobbes to eliminate the traditional limits on sovereignty that
confused Bodins account of absolutism.65 Bodins theory had deprived
those limits of efficacy; Grotius eliminated the limits altogether. With
respect to Grotius, Bodins strong analytic position provided the inspiration for transforming absolutism from a historical, contingent possibility into a description of the necessary structure of the contractual
relationship between ruler and ruled.
Hobbesian Contractarian Absolutism
Hobbes took over from Bodin the strong position that sovereignty
must be absolute. In every political system, someone or some body
possesses supreme authority; this sovereign is bound only by natural
and divine law, not by civil law, and is accountable only to God. In
every perfect City . . . there is a Supreme power in some one, greater
then which cannot by Right be conferrd by men . . . that power . . . we
62

Bodin, SB, II.5, p. 222.

Bodin, SB, I.8, p. 88: But what shall we then say of him to whom the people haue
giuen absolute power so long as he liueth? . . . If such absolute power bee giuen him
purely and simply . . . it is certaine that such an one is, and may call himselfe a Soueraigne Monarch. King, Ideology, describes the argument as suggestive of Hobbess
contractualism (151).
64
Franklin, Jean Bodin, 108.
65
Johann P. Sommerville, Thomas Hobbes: Political Ideas in Historical Context
(New York: St. Martins Press, 1992), 164.
63

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call ABSOLUTE.66 Accompanying this analytic statement is, of course,

also the prescription that absolute sovereignty is desirable: Soveraign
Power ought in all Common-wealths to be absolute. The passage alongside that marginal notation in Leviathan explains, that the Soveraign
Power . . . is as great, as possibly men can be imagined to make it. Yet,
Hobbes continues, people do not generally understand that this is so:
The greatest objection is, that of the Practise; when men ask, where, and
when, such Power has by Subjects been acknowledged. But one may ask
them again, when, or where has there been a Kingdome long free from
Sedition and Civill Warre.67

Acknowledging absolutism carries, it seems, the double meaning of

acknowledging that government is and should be absolute.
Hobbess supporting contract arguments take both prescriptive
and analytic tacks. Prescription came first, in the form of a deduction
from an account of the state of nature in The Elements of Law. There
Hobbes explained that the knowledge of what covenants would be
made to set up a body politic dependeth on the knowledge of the
persons, and the knowledge of their end.68 This is a statement with
which Grotius would have agreed. However, where Grotius was intent
on vindicating simply the possibility of an absolutist contract, Hobbes
proceeds to fill in the proposition with a universal proposition about
motivationThe cause in general which moveth a man to become
subject to another, is . . . the fear of not otherwise preserving himself that is rooted in a prior description of a hypothetical state of
nature.69 The familiar deduction follows: the goal is security; therefore
individuals must be ready to subject their wills to a sovereign to the
extent necessary to achieve security; and the upshot is a covenant of
nonresistance. This power of coercion . . . consisteth in the transferring of every mans right of resistance against him to whom he hath
transferred the power of coercion.70 With this initial contract formulation, Hobbes succeeds in transforming the Grotian position that it
could be rational in some circumstances to choose absolutism into
the universalistic proposition that absolute sovereignty is always the
66
Hobbes, DC, 6.8, p. 97. See also 6.14, p. 100 and 6.18, p. 103; EL(G), 20.18,
p. 117, and 28.1 p. 172; and LV, 20, p. 257, and 30, p. 376.
67
Hobbes, LV, 20, pp. 2601.
68
Hobbes, EL(G), 20.2, pp. 10910.
69
Hobbes, EL(G), 19.11, p. 107; see, too, DC, 5.12, p. 90.
70
Hobbes, EL(G), 20.57, pp. 11112.

hobbesian absolutism

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rational choice.71 The state-of-nature deduction generates, in Leviathan, the famous proposition that
The only way to erect such a Common Power, as may be able to defend
them from the invasion of Forraigners, and the injuries of one another . . .
is, to conferre all their power and strength upon one Man, or upon one
Assembly of men.72

In Leviathan, that universal prescription is accompanied by several

analytic contract arguments to the effect that sovereignty cannot be
anything but unconditional. This is so because, first, the sovereign cannot be party to the political covenant and, second, because the subjects
authorize the sovereigns actions. The development of these contract
arguments can be traced through the several versions of the theory,
beginning with the Elements.
When he wrote that work, Hobbes had not arrived at either argument. While importing the Bodinian claim that in every commonwealth where particular men are deprived of their right to protect
themselves, there resideth an absolute sovereignty,73 Hobbes could
not fully explain why this must be so. In particular, he had not fully
thought through who was party to the contract, which would come to
be key to analytic arguments in De Cive and Leviathan. The Elements
description of the political covenant leaves vague the identity of the
parties: The making of union consisteth in this, that every man by
covenant oblige himself to some one and the same man or council
to do those actions, which the said man or council shall command
them to do; and to do no action which he or they shall forbid.74 Only
in connection with democracy, which is here said to be the original
of all forms of government, does Hobbes specify the absence of a
compact between ruler and ruled (In the making of a democracy,
there passeth no covenant, between the sovereign and any subject. For

71
Grotius and Hobbes differed on the question of the extent of the necessary submission. Grotius opened up a small window for resistance in cases of extreme peril
(I do not doubt that to human law also there can be applied what love under such
circumstances would commend [DJB, I.4.3, p. 149]), while Hobbes allowed, more
strongly, for an unalienated right of self-defense against violence (DC, 2.18, p. 58; LV,
14, pp. 192 and 199). See Tuck, Natural Rights Theories, 7781, 12225.
72
Hobbes, LV, 17, p. 227.
73
Hobbes, EL(G), 20.19, p. 117.
74
Hobbes, EL(G), 19.7, p. 106.

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while the democracy is a making, there is no sovereign with whom to

contract).75
By the time he wrote De Cive (1642), Hobbes had realized that this
claim about democracy holds universally. This works description of
the covenant specifies that submission of individuals wills to the sovereign occurs when each one of them obligeth himself by contract to
every one of the rest, not to resist the will of that one man, or counsell,
to which he hath submitted himselfe.76 However, his explanation continues to refer to democracy specifically:
Democraty is not framed by contract of particular Persons with the People, but by mutuall compacts of single men each with other. But hence
it appears in the first place, that the Persons contracting, must be in
being before the contract it selfe. But the People is not in being before
the constitution of government, as not being any Person, but a multitude
of single Persons; wherefore there could then no contract passe between
the People and the Subject.77

As other forms of government derive from democracy, the absence of

a tie between ruler and ruled carries over to them.78
Although the absence of a contract between ruler and ruled precludes accountability, there was, Hobbes realized while writing De
Cive, a flaw in the argument:
If notwithstanding it were granted, that their Right depended onely on
that contract which each man makes with his fellow-citizen, . . . it may
very well seem to them, that the supreme authority may by right be abrogated, so it be done in some great Assembly of Citizens.

Of course such abrogation would formally require the consent of literally every subject who had consented in the first place; however,
Hobbes acknowledges, this is not something that most people understand. So, he replies,
there is another tye also toward him who commands; for each Citizen
compacting with his fellow, sayes thus, I conveigh my Right on this Party,
upon condition that you passe yours to the same.

75
76
77
78

Hobbes, EL(G), 21.2, p. 119.

Hobbes, DC, 5.7, p. 88.
Hobbes, DC, 7.7, p. 110.
Hobbes, DC, 7.89, .1112, pp. 11012.

hobbesian absolutism

93

Therefore,
the government is upheld by a double obligation from the Citizens, first
that which is due to their fellow citizens, next that which they owe to
their Prince. Wherefore no subjects how many soever they be, can with
any Right despoyle him who bears the chiefe Rule, of his authority.79

This idea of a direct tie between ruler and ruled becomes, in Leviathan,
a second account of the political covenantthe authorization account.
Here the covenant promise adds the concept of authorization to the
Grotian language of renouncing the right of governing: every man
should say to every man, I Authorise and give up my Right of Governing my selfe, to this Man, or to this Assembly of men. 80
Although the universalizing, prescriptive case for absolutism is
carried over in Leviathans famous description of a horrific state of
nature and the motivation which this creates for submitting to strong
government, that substantive argument is now accompanied by two
fully developed logical accounts of the necessity of absolute sovereignty. At the start of the chapter on sovereign right, before turning
as he had in the earlier versions to enumerate specific rights of sovereignty, Hobbes inserts a complete logical proof for unconditional
sovereignty. First, because the sovereign is not a party to the political
covenant, he cannot be accused of breaking promises to his subjects81
(keeping covenants having previously been defined as the sole basis for
defining injustice).82 Why, next, is a contract between ruler and ruled
impossible? The answer is twofold: it is impossible for the sovereign
to contract either with the people as a whole or with each individual.
Prior to the institution of the state, first, no such thing as a corporate
agentthe peopleis in existence: With the whole, as one party, it
is impossible; because as yet they are not one Person. Secondly, the

79

Hobbes, DC, 6.20, pp. 1045.

Hobbes, LV, 17, p. 227. He also added a chapter, just prior to the description of
the covenant, which explains the concept of authorization (16, Of Persons, Authors,
and things Personated). The idea can be found in Grotiuss De Jure Belli: For the acts
to which we have given our authorization we make our own (I.4.4, p. 141).
81
Hobbes, LV, 18, p. 230: Because the Right of bearing the Person of them all, is
given to him they make Soveraigne, by Covenant onely of one to another, and not
of him to any of them; there can happen no breach of Covenant on the part of the
Soveraigne; and consequently none of his Subjects, by any pretence of forfeiture, can
be freed from his Subjection.
82
Hobbes, LV, 15, p. 202.
80

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authorization relationship between each individual subject and the

sovereign precludes multiple contracts with the multitude:
if he make so many severall Covenants as there be men, those Covenants
after he hath the Soveraignty are voyd, because what act soever can be
pretended by any one of them for breach thereof, is the act both of himselfe, and of all the rest, because done in the Person, and by the Right of
every one of them in particular.83

In effect, these analytic contract arguments provided an explanation

for why Bodin was correct to say that sovereignty is absolute and, in
so doing, they also swept away the traditional limitations with which
Bodin had cluttered his theory. Furthermore, the deduction from the
state of nature explained, as Grotius had done, why rational human
beings could choose absolutism and went beyond Grotius to generalize this into the universal proposition that it is always the rational
choice. It is an audacious set of arguments, explaining why what is
the best constitution of sovereignty is simultaneously the only possible
constitution. In the conclusion, I will return to compare this Hobbesian invention with later contract theories in the philosophical mode.
Before that, though, we need to examine the third and last part
of Hobbess defense of absolutism, which is the case for unified sovereignty that he originally borrowed from Bodin. He took over the
analytic formulation that the major rights of sovereignty are incommunicable, and inseparableas well as the further distinction between
sovereignty and the form of government, which could be divided.84
However, just as in the Rpublique, the supporting reasoning is empirical. In the Elements, as has been seen, Hobbes quotes Bodins empirical
hypothesis that divided sovereignty leads to de facto unified control of
major powers. Alongside this, however, he develops his own, contrary
hypothesis: The division therefore of the sovereignty, either worketh
no effect . . . or introduceth war.85 This is explained at greater length
in Leviathan, where he asserts that unless this divisionbetween
major rights of sovereigntyprecede, division into opposite Armies
can never happen. And his England is the apposite example:

83

Hobbes, LV, 18, p. 230.

Hobbes, LV, 18, p. 236. EL(G), 20.17, p. 116: But though the sovereignty be not
mixed, but be always either simple democracy, or simple aristocracy, or pure monarchy; nevertheless in the administration thereof, all those sorts of government may
have place subordinate.
85
Hobbes, EL(G), 20.16, p. 116.
84

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If there had not first been an opinion received of the greatest part of England, that these Powers were divided between the King, and the Lords,
and the House of Commons, the people had never been divided, and
fallen into this Civill Warre.86

When people believe (for instance) that sovereignty is separated from

representation,
that were to erect two Soveraigns; and every man to have his person
represented by two Actors, that by opposing one another, must needs
divide that Power, which (if men will live in Peace) is indivisible; and
thereby reduce the Multitude into the condition of Warre.87

That is, elite division leads to civil war when rival elites mobilize ordinary people and transform political conflict into civil war. This empirical hypothesis yields a prescription of the need for popular acceptance
of the unification of sovereignty: there be few now (in England,) that
do not see, that these Rights are inseparable, and will be so generally
acknowledged, at the next return of Peace.88 So it seems that divided
sovereignty represents confusion rather than a genuine possibility.89
In the end, though, like Bodin, Hobbes papers over any discrepancy
between empirical reasoning and a strong analytic claim for the necessity of unified sovereignty by simply defining away the possibility of
divided government. To wit, regarding mixt Monarchy . . . the truth is,
that it is not one independent Common-wealth, but three independent
Factions.90

86

Hobbes, LV, 18, pp. 23637; see also 29, p. 368.

Hobbes, LV, 19, p. 240. See also 29, pp. 37071; DC, 6.11, p. 96, and 12.5,
pp. 14950.
88
Hobbes, LV, 18, p. 237.
89
Hobbes, EL(G), 20.16, p. 116: The truth is . . . the sovereignty is indivisible; and
that seeming mixture of several kinds of government, not mixture of the things themselves, but confusion in our understandings, that cannot find out readily to whom we
have subjected ourselves. However, elsewhere he implies that limited sovereignty is
a genuine possibility: A man to obtain a Kingdome, is sometimes content with lesse
Power, than to the Peace, and defence of the Common-wealth is necessarily required,
which is sometimes done out of ignorance and sometimes from the hope of regaining
powers later. In any case, this is poor reasoning because foreign powers tend to take
advantage of a weak ruler (LV, 29, p. 364 [emphasis omitted]).
90
Hobbes, LV, 29, p. 372. He continues: And therefore if the King bear the person of the People, and the generall Assembly bear also the person of the People, and
another Assembly bear the person of a Part of the people, they are not one Person,
nor one Soveraign, but three Persons, and three Soveraigns.
87

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Paradoxical Contractarianism: From Hobbes to Rawls

Philosophical contractarianism, created by the amalgamation of Grotian and Bodinian briefs for absolutism, is contract theory shorn of
contingency. Only by eliminating the permissive quality of historical contractarianism did contract reasoning become a philosophical genre. Where permissive contract reasoning mandated historical
investigation of the kinds of contracts actually made by real peoples,
the transformed genre directed attention to questions about human
nature, morality, and rationality. But philosophical interest was purchased at the cost of advancing the paradoxical position that human
beings would choose to have the relationship with their rulers that
must exist between them. In the Hobbesian example, human beings
would choose absolute government in order to avoid a horrific state
of nature (and the danger of civil war); and an understanding of the
logic of the social contract shows this to be the necessary structure of
the relationship between ruler and ruled. While later contract thinkers
would reject Hobbess constitutional doctrine, his legacy lay in modeling contract reasoning without contingency.91
Broadly speaking, the outcome was the displacement of politics
and contingency from the center to the periphery of contract theorizing and, ultimately, the depoliticization of the genre.92 The distinction Bodin had drawn between the form of sovereignty, which is not
contingent, and the form of government, which is, left a subsidiary
space for variety and choice. In the Elements, Hobbes reproduced
this distinction;93 while dropping it from De Cive and Leviathan, he
nonetheless continued to recognize the possibility of various forms
of government and admitted that he had not demonstrated but only
probably stated a preference for monarchy.94 Locke and Rousseau
would combine a definitive contract, derived from propositions about
human nature, with acknowledgement of variety in possible forms of

91
Rosamond Rhodes reads Hobbesian and Rawlsian moral philosophy in similar fashion as making assent the linchpin of obligation: Obligation and Assent in
Hobbess Moral Philosophy, Hobbes Studies 15 (2000): 4567; and Reading Rawls
and Hearing Hobbes, Philosophical Forum 33 (2002): 393412.
92
B. Honig, Rawls on Politics and Punishment, Political Research Quarterly 46
(1993): 99125.
93
Hobbes, EL(G), 20.17, p. 116.
94
Hobbes, DC, The Authors Preface to the Reader, p. 37 (emphasis omitted).

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government. Thus Locke explains that applying contract principles,

which are universal, to diagnosing tyranny in the real world requires
specifying a particular form of government:
It is hard to consider it aright, and know at whose door to lay it, without
knowing the Form of Government in which it happens. Let us suppose
then the Legislative placed in the Concurrence of three distinct Persons

or, i.e., a constitution of the English sort.95 Rousseau, of course, combines the claim that sovereignty must be democratic with a consideration of alternative forms of government, in which connection he
allows (in a passage often confusing to students) that If there were
a nation of Gods, it would govern itself democratically. A government so perfect is not suited to men.96 Yet these prudential discussions and particular specifications are appendages to their hegemonic
pronouncements on the nature of the relationship between ruler and
ruled. They contrast, to cite an obvious example, with Machiavellis
awareness of contingency in the relationship between ruler and ruled,
and his consequent preoccupation with understanding the politics of
different governmental forms.
The consignment of traditional political topics and sensibility to the
secondary topic of differences between forms of government opened
the way to more thoroughgoingand deliberatedepoliticization of
the genre. In the opening of A Theory of Justice, Rawls explains that his
transformation of contract theorizing into a genre of moral philosophy is accomplished by turning away from traditional concerns with
the constitution of particular social and governmental arrangements.97
Critics charge that his turn away from politicsseen as the realm of
contingency, plurality, conflict, and negotiationruns even deeper
in his theory: by eliminating the stuff of politics, he created a profoundly, and not only topically, antipolitical theory.98 It would be an
error, though, to target critique exclusively at Rawlss twentieth-century revival of contract thinking: it is just as pertinent to early-modern
philosophical contractarianism as it is to A Theory of Justice.99 Rawls

95

Locke, ST, 213, p. 456.

Rousseau, Social Contract, III.4, p. 114.
97
John Rawls, A Theory of Justice (Cambridge, Mass.: Harvard University Press/
Belknap, 1971), 11, 16.
98
Honig, Rawls.
99
Benhabib, Methodological Illusions.
96

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inherited a genre100 already flawed by the impulse to combine voluntarist with nonvoluntarist reasoning. By way of conclusion, I want to
focus on three related criticisms of Rawlss contract argumentsthey
dissolve into (1) truth claims; into (2) cognitive, justificatory argument;
and even into (3) disciplining argumentand explore the salience of
these criticisms to classic philosophical contractarianism.
Michael Sandel lays out the tension between voluntarism and truth
claims in Rawlss theory, a tension that generates rivalmore versus
less voluntaristinterpretations of his position. Is it Rawlss view that
anything could be chosen in the original position and the outcome
would be fair? Or, as Sandel thinks, is it simply that, given their situation, the parties are guaranteed to choose the right principles?101
Notice that Rousseaus concept of the general will suffered from the
same ambiguity. If the general will simply represents community
consensus, anything will qualify so long as citizens reason in publicspirited fashion. On a less voluntarist reading, general will decisionmaking is a procedure for arriving at the right policy (although in
Rousseaus theory, unlike Rawlss, the procedure does not guarantee
the outcome). And here, too, textual evidence supports the less voluntarist interpretation. Rousseau distinguishes community consensus
from the always rightfuli.e., objectively correctgeneral will:
It follows from what I have argued that the general will is always rightful and always tends to the public good; but it does not follow that the
decisions of the people are always equally right.102

Critics develop the less voluntarist interpretation of Rawlss theory

into the further charge that its outcomethe principles of justiceis
determined by the description of the original situation, rather than
being the product of agents choices in the original position.103 Mutatis
mutandis, doesnt this charge correspond with Hobbess very intention? He meant precisely to deduce political conclusions from premises
100
For Rawlss interpretation of his predecessors theories as various species of
hypothetical argument, see the posthumously published Lectures on the History of
Political Philosophy, ed. S. Freeman (Cambridge, Mass.: Harvard University Press/
Belknap, 2007).
101
Michael J. Sandel, Liberalism and the Limits of Justice (Cambridge: Cambridge
University Press, 1982), 127.
102
Rousseau, Social Contract, II.3, p. 72. Unanimity is symptomatic that the general
will has been achieved (IV.2, p. 151).
103
Kenneth Baynes, The Normative Grounds of Social Criticism: Kant, Rawls, and
Habermas (Albany: State University of New York Press, 1992), 64; Sandel, Liberalism,
12728; Benhabib, Methodological Illusions, 6869.

hobbesian absolutism

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about human nature and, behind that, physical premises. The goal was
exactly to delimit choice, as is clear in the introduction to the political covenant in Leviathan. There, he makes the strong claim that the
only way to create political power adequate for defense against foreign invasion and civil warthe initial conditionis to conferre all
their power and strength on a sovereign.
Rawlss critics argue, furthermore, that (1) he eliminates plural perspectives and selves, and therefore the theory articulates the reasoning
of a single, rational deliberator;104 and that (2) his contract is of a
cognitive rather than voluntarist sort. The first critique resonates with
the present-day school of rational-choice interpretations of Hobbism,
which sees in his account of the state of nature a precursor to the
prisoners dilemma and other game-theoretic problems.105 The school
finds it a virtue that Hobbism can be constructed as an account of the
deliberations of a (singular) rational actor in an insecure situation.
The elimination of plurality leads, next, into an argument about the
nature of the contract itself. Sandel and others think that Rawlss contract is finally more cognitive than voluntarist in nature:

104
Sidney S. Alexander (1974) Social Evaluation Through Notional Choice, The
Quarterly Journal of Economics 88 (1974): 597624. Rawls himself seems to have
come out on both sides of this line of argument. In A Theory of Justice, he granted,
since the differences among the parties are unknown to them . . . each is convinced
by the same arguments. Therefore, we can view the choice in the original position
from the standpoint of one person selected at random (Theory, 139). In response to
criticism on this score, he responded by identifying two essential contract elements
in the theory: publicity and finality. The contract device is required, first, because
reaching a unanimous agreement without a binding vote is not the same thing as
everyones arriving at the same choice, or forming the same intention. That it is an
undertaking people are giving may similarly affect everyones deliberations so that
the agreement that results is different from the choice everyone would otherwise have
made. Furthermore, if we make an agreement, we have to accept the outcome; and
therefore to give an undertaking in good faith, we must not only intend to honor it
but with reason believe that we can do so. Thus the contract condition is a significant
further constraint (John Rawls, Reply to Alexander and Musgrave, The Quarterly
Journal of Economics 88 [1974]: 651). For a full discussion of the issues, on which I
rely, see Jean Hampton, Contracts and Choices: Does Rawls Have a Social Contract
Theory?, The Journal of Philosophy 77 (1980): 31619. Hampton sides with Alexander
and argues that the requirements of publicity and finality make for a weak form of
contractarianism, at best, and in fact do not require a contract at all. See, too, Sandel,
Liberalism, 13132.
105
Jean Hampton, Hobbes and the Social Contract Tradition (Cambridge: Cambridge University Press, 1986); Gregory S. Kavka, Hobbesian Moral and Political
Theory. (Princeton: Princeton University Press, 1986); Joe E. Hicks, Philosophers
Contracts and the Law, Ethics 85 (1974): 1837.

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chapter four
The philosophical considerations by which Rawls would persuade us set
out from the contractarian tradition. The well-ordered society he recommends comes as close as a society can to being a voluntary scheme
(13). But what begins as an ethic of choice and consent ends, however
unwittingly, as an ethic of insight and self-understanding. In the final
passage of the book, the language of choosing and willing is displaced by
the language of seeing and perceiving, as the voluntarist image of Kant
gives way to the cognitive image of Spinoza.106

Would this conclusion not be accurate to Hobbism, as well? Isnt

Hobbes, like Rawls, engaged in explaining our situation to us such that
we will then understand political authority? Substitute the concept of a
state of nature for the original position, and Sandels interpretation
applies just as well to Leviathan:
The secret to the original positionand the key to its justificatory
forcelies not in what they do there but rather in what they apprehend
there. What matters is not what they choose but what they see, not what
they decide but what they discover. What goes on in the original position is not a contract after all, but the coming to self-awareness of an
intersubjective being.107

In fact, Hobbes indicates at several important points that the key

political problem is confusion and his goal, therefore, is to spread
understanding. Recall, in this vein, several passages from Leviathan
and De Cive that have been quoted previously. In one, the claim that
Soveraign Power . . . is as great, as possibly men can be imagined to
make it is followed up with recognition that this is not generally
acknowledged, with the implication that this lack of understanding
has been responsible for sedition and civil war.108 Similarly, De Cives
explanation of the need to recognize a direct tie between the sovereign
and each subject is directed at rebutting the widespread (though false)
opinion that majority consent in some great Assembly of Citizens
would be sufficient to remove a sovereign.109 Recall, too, Hobbess
emphasis on the importance of popular acceptance of the need for
unified sovereignty. The cognitive coloration of Hobbess reasoning
became more pronounced over time as he gave increasing emphasis to
political education. Leviathans chapters on causes of the dissolution
of commonwealths and the duties of sovereigns, which conclude the

106
107
108
109

Sandel, Liberalism, 132; see also Honig, Rawls.

Sandel, Liberalism, 132.
Hobbes, LV, 20, pp. 26061.
Hobbes, DC, 6.20, p. 105.

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101

political second Part, are recast from the earlier versions with a new
focus on dangerous doctrines and public instruction.110
Bonnie Honig suggests that the depoliticizing effect of Rawlss theory extends beyond substituting understanding for choice into disciplining the will itself. Two features of the argument point in this
direction: repeatability and an appeal to introspection. By contrast to a
voluntarist contract, which could go otherwise, Rawlss agreement will
never go otherwise and therefore, she speculates, perhaps the point is
something beyond identification of the principles of justice.
Perhaps Rawls counts on the original position to issue not only in an
intersubjective agreement among selves but also (repeatedly) in an intrasubjective ordering of the self according to the dictates of Rawlsian rationality and justice.

The repeatability of the contract narrative renders it a disciplining

device, especially when this is abetted by introspection:
In effect, the original positions myth of origins encourages citizens to
respond to dissonance with introspection, a practice that supports the
regimes broader efforts to privatize, naturalize, or dissolve the dissonant
remainders of politics rather than politicize them.111

Repeatability is, at base, what Hobbes achieved with his transformation of Grotian contractarianism. This is simply another way of framing the essence of the paradoxical reasoning that he inaugurated: we
can only choose what is, in fact, the necessary structure of political
authority. Moreover, recall the claim with which Leviathans introduction famously concludes: When I shall have set down my own reading orderly, and perspicuously, the pains left another, will be onely
to consider, if he also find not the same in himself.112 Might Honigs
diagnosis of the specter of discipline behind the facade of choice not
be accurate to Hobbism and the genre of social contract thinking he
founded?

110
Compare Hobbes, LV, 29, pp. 36568, and 30, pp. 37685, with EL(G), 27 and
28, and with DC, 12 and 13.
111
Honig, Rawls, 10910. In similar vein, Hampton, Contracts and Choices,
concluded: Therefore, understanding the deliberation in the original position as carried out by a single deliberator following the dictates of practical reason, rather than
understanding it as carried out by many parties trying to forge a contract, is a far better way of showing how Rawls thinks a state organized according to the two principles
is something to which we would voluntarily consent, its constraints and obligations
recognized by us as self-imposed (33738).
112
Hobbes, LV, The Introduction, p. 81.

PART III

ANCIEN REGIME BOOKS: SERIAL COMPOSITION

CHAPTER FIVE

THE COMPOSITION OF HOBBESS ELEMENTS OF LAW

When the Parliament sat, that began in April 1640, and was dissolved in
May following . . . Mr. Hobbes wrote a little treatise in English, wherein
he did set forth and demonstrate, that the said power and rights were
inseparably annexed to the sovereignty.1

The work to which this autobiographical statement refers is surely The

Elements of Law,2 which was the first of three versions of Hobbess
political theory and laid the pattern for the subsequent treatises, De
Cive (1642) and Leviathan (1651). But Hobbes was recollecting more
than twenty years after the fact, and the statement is puzzling. Did he
actually write such a lengthy and systematic treatise in the span of less
than a month? In his magisterial nineteenth-century biography, G. C.
Robertson was suspicious, speculating that the Elements must have
been composed earlier, and not, as [Hobbes] suggests, with special reference to the parliamentary proceedings. [T]he parliamentary debates
had the effect, Robertson surmises, only of stirring up Hobbes to
the circulation of his views, whether privately (by manuscript copies)
or otherwise.3 Some more recent biographies accept Hobbess statement at face value. Richard Tuck describes the Elements as a quick
production, written for use by Hobbess patron, Newcastle, as a brief
in the debates of the Short Parliament.4 Noel Malcolm comments that
the works dedication makes it sound like a pice doccasion, while
also observing that it is an almost fully fledged statement of Hobbess
entire political philosophy and no mere polemical pamphlet.5

1
Thomas Hobbes, Considerations upon the Reputation, Loyalty, Manners, and
Religion, of Thomas Hobbes of Malmesbury, in The English Works of Thomas Hobbes
of Malmesbury, ed. Sir William Molesworth, Vol. IV (London: J. Bohn, 1840), 414.
2
Ferdinand Tnnies, The Editors Preface, in EL(T), ixx; and George Croom
Robertson, Hobbes, cheap ed. (Philadelphia, n.d.), 501.
3
Robertson, Hobbes, 52.
4
Richard Tuck, Hobbes (Oxford: Oxford University Press, 1989), 19, 24.
5
Noel Malcolm, A Summary Biography of Hobbes, in The Cambridge Companion to Hobbes, ed. Tom Sorell (Cambridge: Cambridge University Press, 1996), 41 n.
52, 28, 27.

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chapter five

Attention to the text itself can help resolve the puzzle. Looking
closely at the organization of the work, we will see that Robertsons
suspicion was largely, but not entirely, on target. The bulk of the Elements appears to have been composed deliberately and systematically,
and therefore was probably completed before the political crisis of the
spring of 1640. However, the organization breaks down in later chapters. There are six chapters at the end of the work that depart from the
prior manuscript, in form or content, in ways that suggest they may
have been hurriedly written. A significant example is the odd claim, in
the second chapter of Part II, that democracy is the original form of
all government. It was hardly a position one would have expected to
find in a work defending absolute monarchy, especially a work written
in the context of the pre-War controversies between parliamentarians
and the king over their respective powers. Hobbes, in fact, would jettison democracy first from the revised theory presented in Leviathan,
presumably due to the arguments unfortunate implication that England had once upon a time had a popular government.6 The textual
evidence, we will see, indicates that democracy first was an argument
cobbled together to bring an ongoing project to a hasty conclusion.
This and other evidence suggest that Hobbess memory of writing the
Elements during the Short Parliament was accurate but incomplete,
shorthand for a more complicatedand plausibleprocess of composition. It appears that The Elements of Law was largely, but not entirely,
drafted by the spring of 1640, at which time the calling of the Short
Parliament led Hobbes to finish it in short order.
Focusing on the puzzle of the composition of the Elements introduces a more general issue in Hobbes studies. The process of compositionof all three major textsis a side of Hobbess political
arguments that merits more consideration. Quite foreign to our image
of an independent author producing a single, finished text, authorship
for Hobbes was complicated by patronage and exile, as well as by his
own peculiar way of writing. These led him to produce three, progressively longer, versions of a single project over the span of something
like fifteen years, and in two languages and countries. The substance
of Hobbess political theory cannot help but have been affected by its
process of compositionin the Elements, to be discussed here, and
later in De Cive and Leviathan.
6
A. P. Martinich, Hobbes: A Biography (Cambridge: Cambridge University Press,
1999), 156.

hobbess elements of law

107

The Period of Composition

While we lack direct evidence dating the composition of The Elements
of Law, hints can be patched together from Hobbess activities and correspondence in the 1630s. Although this material is familiar to most
Hobbes scholars, a review is useful before examining the text. The main
issue is whether Hobbes was working on political and moral philosophy as well as scientific topics, such as optics, in the second half of the
1630s. A standard view, consistent with characterizing the Elements as
a pice doccasion, is that he was not, but rather that the developing
political crisis at the end of the decade interrupted an ongoing preoccupation with science.7 But it is a mistake, I think, to frame political
philosophy and science as alternative preoccupations.8 The interests
of which Hobbes left some recordin psychology, epistemology, and
methodcan be characterized as scientific, but they were also fundamental to the political theory presented in the Elements.
For almost all of his adult life, Hobbes was employed as a tutor
and secretary to successive Earls of Devonshire. However, during the
formative period of the 1630s, it was a cousin of the Devonshires, the
Earl of Newcastle, who played a prominent role in his intellectual
development and his political education. Newcastle and his brother,
Charles Cavendish, were intrigued by the new science of the day and
acquainted with leading European scientists and intellectuals. They put
Hobbes in touch with these circles when, in the middle of the decade,
he took a Devonshire charge on a grand tour of the Continent. In
Paris, he became a friend of Marin Mersenne, a Minim friar who was
the hub of an international circle of scientists and philosophers.
The extant correspondence from the two-year trip, 163436, indicates that it was a seminal period in Hobbess development as a philosopher, during which he was ruminating on ideas and issues that
would come to figure importantly in the Elements. A letter to Newcastle, written in Paris in August 1635, suggests he had started thinking
about psychology, which would be the subject of the first section of the
work. In a competitive spirit, Hobbes comments on reports of work

7
Malcolm, Summary Biography, 2627; and Tuck, Hobbes, 20. Cf. Robertson,
Hobbes, 4852.
8
For a similar view, see E. G. Jacoby, Thomas Hobbes in Europe, Journal of
European Studies, 4 (1974): 63.

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by Walter Warner, a scientist and mathematician who corresponded

with Charles Cavendish:
I would he could giue good reasons for y e facultyes & passions of y e
soule, such as may be expressed in playne English. if he can, he is the
first (that I euer heard of) could speake sense in that subiect. if he can
not I hope to be ye first.9

More specifically, Hobbes was pondering and discussing with Mersenne the idea that our perceptions are the product of motions coming
from external objects and affecting the brain.10 The idea is framed in
the Elements thus: image or colour is but an apparition unto us of
that motion . . . which the object worketh in the brain.11 He explains,
further, that
conceptions or apparitions are nothing really, but motion in some internal substance of the head; which motion not stopping there, but proceeding to the heart, of necessity must there either help or hinder that
motion which is called vital.12

This denies the traditional, Aristotelian view that the qualities we perceive are inherent to external objects: the subject wherein colour and
image are inherent, is not the object or thing seen . . . that is nothing
without us really which we call an image or colour.13 Hobbes touched
on the idea in correspondence to Newcastle in 163614 and would later
recall pondering it, and the mechanical view of nature from which

Thomas Hobbes, The Correspondence of Thomas Hobbes, ed. Noel Malcolm

(Oxford: Clarendon Press, 1994), Vol. I, Letter 16, p. 29. Malcolm supplies information on Warner, 2930, nn. 34.
10
An autobiography written several years before Hobbess death recalls daily communication with Mersenne about this view of perception and the mechanical view of
nature on which it was based. Hobbes writes in the third person: When he was staying in Paris, he began to investigate the principles of natural science. When he became
aware of the variety of movement contained in the natural world, he first inquired as
to the nature of these motions, to determine the ways in which they might effect the
senses, the intellect, the imagination, together with the other natural properties. He
communicated his findings on a daily basis to the Reverent Father Marin Mersenne,
of the Order of the Minim Brothers, a scholar who was venerated as an outstanding
exponent of all branches of philosophy (The Prose Life, in EL(G), 247).
11
Hobbes, EL(T), I.2.4, p. 3.
12
Hobbes, EL(T), I.7.1, p. 21.
13
Hobbes, EL(T), I.2.4, p. 3.
14
Hobbes, Correspondence, Vol. I, Letter 21, p. 38: motion is onely in ye medium,
and light and coulor are but the effects of that motion in ye brayne.

hobbess elements of law

109

it derived, during his travels.15 Variants of the motion thesis were

endorsed by other thinkers in Mersennes circle, including Galileo,
Descartes, and Gassendi.16 Indeed Descartes would claim that Hobbes
had taken the idea from him, which led Hobbes to assert that he had
discussed it with Newcastle in 1630, prior to reading Descartes theory.17 While this may have been an exaggeration, it is certainly the case
that Hobbes had worked out this view of perception by the middle of
the decade.
Apparently he was also thinking about methodology during the
continental trip. On an earlier journey, he had famously discovered
and fallen in love with the deductive method of Euclidean geometry.18
Johann Sommerville has detailed how association with the Mersenne
circle helped develop the inspiration into a methodology. Hobbess
dedication to the Elements seems indebted, he shows, to a discussion of mathematics in a 1624 work by Pierre Gassendi. An Epicurean philosopher who would later become a good friend of Hobbes,
Gassendi criticized Aristotelians as dogmatic philosophers hostile to
mathematics.19 The Elements dedication opens in the same vein, with
a distinction between two kinds of learning, mathematical and dogmatical. The former is free from controversies and dispute, whereas
in the later there is nothing not disputable.20 Descartes, too, was
attracted by the model of geometry, and Hobbes had in hand a copy

15
Thomas Hobbes, The Verse Life, in EL(G), 257: Whether on Horse, in Coach,
or Ship, still I/Was most Intent on my Philosophy./One only thing ith World seemd
true to me,/. . ./One only True Thing, the Basis of all/Those Things whereby we any
Thing do call./. . ./To Matter, Motion, I my self apply, The continuation of the passage
is quoted below on p. 112.
16
For an excellent account of this, see Tuck, Hobbes, 1519.
17
The claim appears in the dedication to a 1646 work on optics: That which I have
written . . . is grounded especially upon that wch about 16 yeares since I affirmed to your
Lopp at Welback, that light is a fancy in the minde, caused by motion in the braine,
which motion againe is caused by the motion of ye parts of such bodies as we call lucid:
such as are the sunne and ye fixed stars, and such as here on earth is fire. Thomas
Hobbes, To the Right Honourable the Marquis of Newcastle [dedication to A minute or first draught of the Optiques, 1646], in The English Works of Thomas Hobbes of
Malmesbury, ed. Sir William Molesworth, Vol. VII (London: J. Bohn, 1845), 468.
18
John Aubrey, Thomas Hobbes, in Aubreys Brief Lives, ed. Oliver Lawson Dick
(Ann Arbor, 1962), 150; and Hobbes, Prose Life, 24647.
19
Johann P. Sommerville, Thomas Hobbes: Political Ideas in Historical Context
(New York: St. Martins Press, 1992), 14.
20
Hobbes, EL(T), p. xvii. See also I.13.34, pp. 5051, where he defines the mathematici as those who employ the geometrical method.

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of his Discours de la mthode in the autumn of 1637, after returning

from the Continent. In form and method, Sommerville concludes,
the Elements bore the stamp of Mersennes group.21
There are indications that, in addition to psychology, epistemology,
and method, Hobbes was reading natural law during his continental
trip. In particular, he seems to have been interested in the ideas of the
Dutch philosopher Hugo Grotius.22 In the summer of 1636, he was
reading John Seldens Mare Clausum, which was the English reply to
Grotiuss defense of freedom on the high seas, Mare Liberum. Grotius
was Swedish ambassador to Paris at the time and friendly with the English ambassador, Viscount Scudamore, who, in turn, was acquainted
with Hobbes.23 Thus it is possible that there was a time in 1636, when
they were all in Paris and Hobbes was reading Selden, during which
Hobbes might have desired to talk with Grotius and accomplished a
meeting.
Hobbess studies continued after his return home in October 1636.
There is a surviving letter of early 1637 from Kenelm Digby in which
a current project on logic is discussed. I am exceeding glad to heare
you haue so perfect freedome both of minde and time to study; and
do expect proportionable effects of them, Digby begins:
In your Logike, before you can manage mens conceptions, you must
shew a way how to apprehend them rightly: and herein j would gladly
know whither you work vpon the generall notions and apprehensions
that all men (the vulgar as well as the learned) frame of all things that
occurre unto them; or whither you make your ground to be definitions
collected out of a deep insight into the things themselues. Methought
you bent this way when we talked hereof . . .24

Scholars think this probably refers to an early version of Hobbess De

Corpore, which was eventually to be published in 1655. The opening
section of De Corpore is headed Pars prima sive Logica, and there
exists a manuscript of a rudimentary version of the work with the title

21

Sommerville, Thomas Hobbes, 15.

On Grotiuss influence on Hobbess thinking, see Richard Tuck, Natural Rights
Theories: Their Origin and Development (Cambridge: Cambridge University Press,
1979).
23
Noel Malcolm, Biographical Register of Hobbess Correspondents, in Hobbes,
Correspondence, Vol. II (Cambridge: Cambridge University Press, 1994), 88788.
24
Sir Kenelm Digby to Hobbes, from Paris, in Hobbes, Correspondence, Vol. I,
Letter 25, pp. 4243.
22

hobbess elements of law

111

Logica, ex. T.H.25 Nonetheless, although Digby seems to be referring to a different work, the method he discusses is on display in The
Elements of Law. The work is framed in deductive fashion as a series
of definitions of basic concepts, which appear in black gothic script in
the manuscript.
In the political realm, Hobbess return home coincided with the
growth of the Ship Money controversy.26 Ship Money was a tax levied
by Charles I without parliamentary consultation or approval, which
was challenged in court in 1637 in Hampdens Case over the refusal of
a subject to pay. Although the judges supported the King, the case fed
growing disenchantment with his regime, and it is surely unlikely that
Hobbes was ignoring these events. In the preface to the second edition of De Cive (1647) he explained why he was to publish on politics
shortly thereafter:
my Country some few yeares before the civill Warres did rage, was
boyling hot with questions concerning the rights of Dominion, and the
obedience due from Subjects . . . And was the cause which (all those other
matters deferrd) ripend, and pluckt from me this third part.27

Hobbes may well have specifically had in mind the Ship Money controversy, which directly concerned the rights of Dominion, and the
obedience due from Subjects.28
The passage makes reference to his plan for a three-part series of
works on body, man, and citizen. I was studying Philosophie for my
minde sake, he explains:
I had gathered together its first Elements in all kinds, and having digested
them into three Sections by degrees, I thought to have written them so as
in the first I would have treated of a body, and its generall properties; in

25
Jean Jacquot and Harold Whitmore Jones, Introduction to Critique du De
Mundo de Thomas White, by Thomas Hobbes (Paris: Librairie Philosophique J. Vrin,
1973), 16. Malcolm concurs in the identification (Hobbes, Correspondence, 49 n. 2).
26
Robertson, Hobbes, 48; Tuck, Hobbes, 2324; Sommerville, Thomas Hobbes, 17.
Sommerville relates Hobbess arguments to the immediate political context in Lofty
Science and Local Politics, in The Cambridge Companion to Hobbes, ed. Tom Sorell
(Cambridge: Cambridge University Press, 1996), 24673.
27
Hobbes, DC, The Authors Preface to the Reader, pp. 3536 (emphasis omitted).
28
Tuck, Hobbes, comments, these must have been the questions to which Hobbes
was referringthe argument of the Elements of Law is particularly well judged as a
contribution to the Ship Money debate, on the Kings side (24).

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the second of man and his speciall faculties, and affections; in the third,
of civill government and the duties of Subjects. . .29

There is some dispute among scholars whether the plan actually predated the Elements; most think so, although Ferdinand Tnnies, who
edited the 1928 edition of the work, disagreed.30
Within the work, the internal outline laid out in the first paragraph
corresponds to the second and third sections of the plan, to which is
added a final section on law:
The true and perspicuous explication of the elements of laws, natural
and politic, which is my present scope, dependeth upon the knowledge
of what is human nature, what is a body politic, and what it is we call
a law.31

Quite conceivably, the inclusion of law as a major subject heading,

together with the works title, Elements of Law, Natural & Politic,
reflects the influence of Grotiuss master treatise, De Jure Belli ac Pacis
(1625).32
De Cives preface indicates that Hobbes was working simultaneously
on the several branches of his grand project. Having described the
several parts, he continues: Whilest I contrive, order, pensively and
slowly compose these matters, the developing crisis intervened to
ripen and pluck the political section.33 Notice that he refers generally
to ongoing study of these matters, which implies work on the entire
project. An autobiography penned in old age reminisces, in similar
vein, about his catholic studies in the period:
To various Matter various Motion brings
Me, and the different Species of Things.
Mans inward Motions and his Thoughts to know,
The good of Government, and Justice too,
These were my Studies then, and in these three
Consists the whole Course of Philosophy:
Man, Body, Citizen, for these I do
Heap Matter up, designing three Books too.34

29

Hobbes, DC, The Authors Preface to the Reader, p. 35 (emphasis omitted).

Robertson, Hobbes, 38; Tuck, Hobbes, 19; Jacoby, Thomas Hobbes in Europe,
6263. Cf. Tnnies, Editors Preface, vii.
31
Hobbes, EL(T), I.1.1, p. 1.
32
Tuck, Hobbes, 2023.
33
Hobbes, DC, The Authors Preface to the Reader, pp. 3536 (emphasis omitted).
34
Hobbes, Verse Life, 25758.
30

hobbess elements of law

113

From this evidence, it seems unlikely that Hobbes was working on

science and not on political philosophy after his return from the Continent in late 1636. More probably, he spent the second half of the
decade working on all three sections of the plan, and the political crisis
of early 1640 simply led to the hasty completion of the psychological
and political portions.
Insiders Writing35
In 1640, The Elements of Law circulated in manuscript and would not
be published for a decade, and even that 1650 publication may not have
been authorized by Hobbes.36 The dedication to the Earl of Newcastle
is dated 9 May 1640, four days after the close of the Short Parliament.37
Presumably Hobbes had been hurrying to finish it during the seating
of the Parliament and, despite the date of the dedication, may actually
have done so. Sommerville points out that Hobbess recollection of
the events indicates that the work was circulating during the Parliament.38 Of this treatise, Hobbes recalled, though not printed, many
gentleman had copies, which occasioned much talk of the author; and
had not his Majesty dissolved the Parliament, it had brought him into
danger of his life.39
We might assume that the Elements circulated in manuscript rather
than being printed simply because of the urgent need, brought on by
political events, to get it into circulation. While this is likely so, it is
only part of the story; the method of production also had to do with
patronage and with the significance of scribal publication in the midseventeenth century. For this part of the story, I rely on Harold Loves
discussion of the genre in Scribal Publication in Seventeenth-Century
England. A preference for scribal over printed publication was a holdover, Love explains, from the mores of Tudor England, when print

35
Harold Love, Scribal Publication in Seventeenth-Century England (Oxford:
Clarendon Press, 1993), 210.
36
J. C. A. Gaskin, A Note on the Texts, in EL(G), xlvii.
37
Martin Dzelzainis, Edward Hyde and Thomas Hobbess Elements of Law, Natural and Politic, The Historical Journal 32 (1989): 30317, notes evidence that Hobbes
edited the work after this date, altering whichever copy was available (313).
38
Sommerville, Thomas Hobbes, 172 n. 42; see also Martinich, Hobbes, 122.
39
Hobbes, Considerations, 414.

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publication was something of a social disgrace.40 It was attractive for

its exclusivity, since works that circulated only in manuscript could
be kept safely within elite hands and away from the masses.41 The Elements seems to have been intended for just such an elite audience. In
the dedication to the Earl of Newcastle, Hobbes expressed the hope that
the earls favor would help insinuate the work with those whom the
matter it containeth most nearly concerneth.42 Furthermore, its timingwell prior to the Civil Warfits Loves analysis.
[A]s a vehicle for ideological debate within the governing class, we would
expect to find it at its greatest vigour in the periods preceding the outbreak of national crises rather than during the actual crisis itself.43

Scribal publication could also be attractive as a means of avoiding censorship,44 which may have been a Hobbesian consideration, although
the work includes less of the controversial religious material than
would appear in the subsequent versions.
The Elements was written, Hobbes also records in the dedication, at
Newcastles behest: Now (my Lord) the principles . . . are those which
I have heretofore acquainted your Lordship withal in private discourse, and which by your command I have here put into method.45
Scribal publication served patrons desire for advancement as well as
authors.46 Newcastle was associated with the absolutist faction of Laud
and Strafford, and we can suppose that the work was meant to support
their cause at court as well as strengthen Newcastles position with
the King while also, last but not least, improving Hobbess standing
with Newcastle. As a link in a chain of patronage and dependence,47
production of the Elements can be compared to the effort, not long
before, by the Earl of Devonshire to have Hobbes elected to the Short
Parliament.48 Like that unsuccessful political initiative, the literary act

40
Love, Scribal Publication, 47, citing J. W. Saunders, The Stigma of Print: A Note
on the Social Bases of Tudor Poetry, in Essays in Criticism, vol. I (1951).
41
Love, Scribal Publication, 177: [S]cribal publication [w]as a means by which
ideologically charged texts could be distributed through the governing class, or various interest-groups within that class, without their coming to the knowledge of the
governed.
42
Hobbes, EL(T), p. xviii.
43
Love, Scribal Publication, 184.
44
Love, Scribal Publication, 185.
45
Hobbes, EL(T), xvii.
46
Love, Scribal Publication, 192.
47
Love, Scribal Publication, 179.
48
See Malcolms notes to the Correspondence, Vol. I, p. 171, n. 2.

hobbess elements of law

115

grew out of Hobbess material position and the practice of patronage in mid-seventeenth-century England; therefore production of the
Elements is better understood as a social act rather than, as we might
assume, the work of an academic working in isolation.49
The Text
If there is little autobiographical evidence from the 1630s bearing
directly on the composition of the Elements, the work itself is unusually
revealing. Its layout is worth considering, to begin with. The bulk of
the workfour-fifths of the chapters, to be preciseis fleshed out on
a skeleton of defined terms, which appear highlighted in black gothic
script in the manuscript. This method of exposition corresponds to
the geometrical methodof proceeding by way of axiomatic definitionsto which Digbys 1637 letter alluded. In chapter six of the work,
Hobbes explains the method thus:
The first principle of knowledge therefore is, that we have such and such
conceptions; the second, that we have thus and thus named the things
whereof they are conceptions; the third is, that we have joined those
names in such manner, as to make true propositions; the fourth and
last is, that we have joined those propositions in such manner as they
be concluding. And by these four steps the conclusion is known and
evident, and the truth of the conclusion said to be known.50

Appendix I shows how the bulk of the Elements is readily outlined

as a series of highlighted definitions strung together with transitional
explanations of the links between them.
For example, consider the first three chapters, which open with an
outline of the work in entirety:
1. The general division of mans natural faculties51
.1 The true and perspicuous explication of the elements of laws, natural
and politic, which is my present scope, dependeth upon the knowledge

49
See Lisa Sarasohn, Was Leviathan a Patronage Artifact?, History of Political
Thought 21 (2000): 60631.
50
Hobbes, EL(T), I.6.4, p. 20. See, also, I.13.3, pp. 5051: they proceed from most
low and humble principles, evident even to the meanest capacity; going on slowly,
and with most scrupulous ratiocination (viz.) from the imposition of names they infer
the truth of their first propositions; and from two of the first, a third; . . . and so on,
according to the steps of science.
51
Hobbes, EL(T), p. xv (chapter title).

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chapter five
of what is human nature, what is a body politic, and what it is we call
a law.52

Chapter one proceeds to diagram the several natural faculties, distinguishing and cataloguing faculties of body versus faculties of mind, and
concluding with a discussion of cognitive powers. In continuation, the
next chapter (on the cause of Sense) opens, Having declared what I
mean by the word conception . . . I come to the conceptions themselves,
to show their difference, their causes, and the manner of their production.53 Hobbes then proceeds to highlight, define, and explain the
concepts Sense and Object of sense. Filling out the mental map,
chapter three considers various other sorts of mental images, distinct
from present perceptions, such as Phantasy or Imagination, Sleep,
Dreams, Fiction, Phantasms, and Remembrance.54
The layout would seem to evidence the slow composition process
that Hobbes described, retrospectively, in De Cives preface.55 It also
brings to mind Aubreys account of the way in which Leviathan was
composed:
He walked much and contemplated, and he had in the head of his cane a
pen and ink-horn, carried always a notebook in his pocket, and as soon
as a thought darted, he presently entered it into his book, or otherwise
he might perhaps have lost it.

Having previously outlined the work, he knew where an idea would fit:
He had drawn the design of the book into chapters, etc. so he knew
whereabouts it would come in.56 Likely as not, this had been Hobbess
way of working for some time, so the scaffolding of highlighted definitions may represent the initial outline of the Elements, which he subsequently filled in with argumentation.
The scaffolding breaks down and disappears from the last chapters of the work. Highlighted definitions are absent from Part II,
Chapters 2 and 5 (comparing the origin and the incommodities of the
several forms of government); 7 (on religious authority); 8 and 9 (on
the causes of rebellion and the duties of rulers); and 10 (on law) (see
52

Hobbes, EL(T), I.1.1, p. 1.

Hobbes, EL(T), I.2.1, p. 2 (capitalization in the chapter title is taken from The
Order in the Harley 4235 manuscript).
54
Emphasis follows the Harley 4235 manuscript.
55
The passage was quoted above in the section on the period of composition.
56
John Aubrey, The Brief Life, in EL(G), 236.
53

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117

Appendix 1). This may indicate that these final chapters were drafted
hurriedly and without benefit of a prior outline.
It is also noteworthy, and possibly indicative of a hasty completion,
that there is but one final chapter on the nature and kinds of laws.57
When outlining the work, Hobbes seems to have envisaged that the
topic would form a more substantial theme of the manuscript, which
was titled, after all, The Elements of Law. Recall the initial outline, in
the first paragraph, in which law figures as a major subject; this is
echoed in the outline that opens Part II. Civil law continues to be
announced as a major theme: In this part . . . shall be considered, the
nature of a body politic, and the laws thereof, otherwise called civil
laws.58 Assuming the chapters were being written in order, this suggests that Part I had been completed prior to the calling of the Short
Parliament and that Hobbes had begun Part II, still anticipating that
law would be a major theme.
Democracy First
Turning from form to content, let us focus, first, on the two chapters
in Part II that compare various forms of governmentChapter 2, Of
the three sorts of Commonwealth, and Chapter 5, The incommodities of several sorts of Government compared.59 The topic of the first
is the way in which the several forms of government are instituted; the
second treats their conveniences, and inconveniences.60 Chapter 2
is the locale for the curious claim that all governments are initially
democracies. This is so, Hobbes explains, because the other forms of
government require nomination of rulers and prior agreement on
majority rule:
The first in order of time of these three sorts is democracy, and it must
be so of necessity, because an aristocracy and a monarchy, require nomination of persons agreed upon; which agreement in a great multitude
of men must consist in the consent of the major part; and where the

57

Note that this is among the chapters from which highlighted definitions are
absent.
58
Hobbes, EL(T), II.1.1, p. 83.
59
Capitalization in the chapter titles follows Harley 4235.
60
Hobbes, EL(T), II.5.1, p. 107.

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chapter five
votes of the major part involve the votes of the rest, there is actually a
democracy.61

Although the point amounts to no more than the logical technicality

that the first step in creating a government must be agreement on
majority rule, it nonetheless fits oddly in a defense of absolute monarchy. Presumably Hobbes saw this: the entire discussion is dropped
from Leviathan.62
Even within the Elements, democracy first is an anomalous argument. It appears in the third of three sequential chapters in the
workPart I, Chapter 19, to Part II, Chapter 2that treat the political covenant, sovereign right, and forms of government. The previous
two cover the same material as II.2, but without any mention of the
idea of democratic foundations. In Chapter 19s presentation of the
political covenant, consent to majority rule comes up only with regard
to council government (i.e., collective authority), in which everyone
must agree to abide by the decision of a majority of the rulers.63 Next,
the first chapter of Part II covers the choice of a form of government
and defines the three forms without suggesting a sequential relationship between them. Here, they are simply presented as alternatives:
The first thing therefore they are to do, is expressly every man to consent
to something by which they may come nearer to their ends; . . . that they
allow the wills of the major part of their whole number, or the wills of
the major part of some certain number of men by them determined and
named; or lastly the will of some one man, to involve and be taken for
the wills of every man.

If the first arrangement is chosen, the government is a democracy; if

the second, an oligarchy or aristocracy; and if the third, a monarchy.64 Especially in a work otherwise so linear and deductive in character, it is curious that the democracy first argument does not appear
in these prior chapters and also curious that Chapter 2 goes back over
previously treated material.

61
Hobbes, EL(T), II.2.1, p. 92. Cf. DC, 7.5, p. 109: Those who met together with
intention to erect a City, were almost in the very act of meeting a Democraty.
62
Here, and throughout the chapter, this discussion has been corrected. The original treated incorrectly the passage in De Cive quoted in the previous note.
63
Hobbes, EL(T), I.19.7, p. 80: The covenant is said to consist in every man
oblig[ing] himself to a single or collective ruler; and, if the latter is the case, then
also they covenant, that every man shall hold that for the command of the whole
council, which is the command of the greater part of those men.
64
Hobbes, EL(T), II.1.3, pp. 8485.

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119

Furthermore, in addition to dropping democracy first from the

text in Leviathan, Hobbes also in that work collapses the Elements
two chapters on the various forms of government into one, which substantively parallels the Elements second chapter on various forms of
governmentPart II, Chapter 5. In Leviathan, it is Chapter 19, Of the
severall Kinds of Common-wealth by Institution, and of Succession to
the Soveraigne Power. As Appendix 2 details, the Leviathan chapter
carries over from (Part II) Chapter 2 of the Elements only a discussion
of differences between absolute and elective kingdoms. The bulk of the
Leviathan chapter on the comparison of various forms of government
follows and expands on arguments made in (Part II) Chapter 5 of the
Elements.
By all appearances, then, the earlier chapter (II.2) is a redundant discussion with an aberrant argument that Hobbes would later abandon.
But why did the democracy first argument appeal to him, especially
in early 1640, since it seems so much better suited to the parliamentary cause than to Charles and Newcastles? An answer lies in the
arguments polemical purpose within the Elements. Far from indicating some initial softness toward popular government, the argument
was a first stab at justifying the principle of unconditional sovereignty.
Hobbes had hit on the idea that the absence of a contractual relationship between ruler and ruledand therefore the absence of sovereign
accountabilityare self-evident in the specific case of democracy.
In the making of a democracy, there passeth no covenant, between the
sovereign and any subject. . . . For it cannot be imagined, that the multitude should contract with itself . . . to make itself sovereign;

Therefore whatsoever the people doth to any one particular member . . .

of the commonwealth, the same by him ought not to be styled injury.65
The point, then, of stipulating that democracy is foundational is to
extend the same logic to all forms of government. When aristocracy
or, by implication, monarchy evolves out of democracy, the absence
of a constitutional compact between ruler and ruled carries over to the
new form of government.66
By the time he wrote Leviathan, Hobbes had come to see that this
pseudohistorical story of a progression between forms of government was unnecessary; unconditional sovereignty could be defended

65
66

Hobbes, EL(T), II.2.23, pp. 9293.

Hobbes, EL(T), II.2.67, p. 94.

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on other grounds, both common-sensical and analytic. First, he had

realized that the absence of a contractual relationship between ruler
and ruled in democracies is simply exemplary of a universal fact about
all forms of government:
[N]o man is so dull as to say, for example, the People of Rome, made a
Covenant with the Romans, to hold the Soveraignty on such or such conditions . . . That men see not the reason to be alike in a Monarchy . . . proceedeth from the ambition of some, that are kinder to the government
of an Assembly.67

Between the Elements and Leviathan, second, Hobbes reformulated

the description of the political covenant to formalize and universalize
the absence of a contractual relationship between ruler and ruled. The
first version leaves it unclear who participates in the covenant:
[E]very man by covenant oblige[s] himself to some one and the same
man, or to some one and the same council . . . to do those actions, which
the said man or council shall command them to do.68

By contrast, Leviathan makes explicit that the only parties to the covenant are the incipient subjects:
Because the Right of bearing the Person of them all, is given to him they
make Soveraigne, by Covenant onely of one to another, and not of him
to any of them; there can happen no breach of Covenant on the part of
the Soveraigne; and consequently none of his Subjects, by any pretence
of forfeiture, can be freed from his Subjection.69

In fact, the process of improving the defense of unconditional sovereignty began soon after completion of the Elements. The first edition
of De Cive, which was finished in November 1641, introduces this
important specification that the covenant takes place between subjects
only.70 Hobbess haste to revise the argument is still more evidence of
his dissatisfaction with the defense of unconditional sovereignty in the
Elements and, therefore, the likelihood that these discussions had been
drafted under pressure of time.

67

Hobbes, LV, 18, p. 231.

Hobbes, EL(T), I.19.7, p. 80.
69
Hobbes, LV, 18, p. 230.
70
This submission . . . is then made, when each one of them obligeth himself by
contract to every one of the rest, not to resist the will of that one man, or counsell, to
which he hath submitted himselfe (Hobbes, DC, 5.7, p. 88).
68

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121

Bodin
It may well be that the defense of absolutism was the major uncompleted piece of the manuscript prior to the calling of the Short Parliament. Recall that when Hobbes described writing a little treatise
during the Parliament, he specifically characterized it as a defense of
absolute sovereignty, which was intended to set forth and demonstrate, that the said power and rights were inseparably annexed to
the sovereignty. There is a second anomalous chapter on absolutism
in Part II that also bears evidence of being hastily composedthis is
Chapter 8, on the causes of rebellion.
Unusual for Hobbes, the chapter appeals to authorityin this case,
the authority of Bodin, who was a standard source in mid-seventeenthcentury England for the defense of absolutism.71 Most unusually,
Hobbes cites and actually paraphrases Bodins argument regarding the
impossibility of divided sovereignty:
if there were a commonwealth, wherein the rights of sovereignty were
divided, we must confess with Bodin, Lib. II. chap. I. De Republica, that
they are not rightly to be called commonwealths, but the corruption of
commonwealths.

As evidence for the proposition, he paraphrases an empirical Bodinian

generalization on the effect of divided powers:
if one part should have power to make the laws for all, they would by
their laws, at their pleasure, forbid others to make peace or war, to levy
taxes, or to yield fealty and homage without their leave.72

(Bodin had written, the nobilitie which should haue the power to
make the lawes for all . . . would by their lawes at their pleasure forbid
others to make peace or warre, or to leuie taxes, or to yeeld fealtie and
homage without their leaue.)73
Bodin is not named in connection with several further points in the
chapter, but these are Bodinian arguments that run counter to mature
Hobbism. In the paragraph preceding the quotation from the Rpublique, there is a curious rebuttal of the view that rulers are subject

71

This section draws on my discussion of Bodins influence on Hobbes in chapter

three.
72
Hobbes, EL(T), II.8.7, p. 137.
73
Bodin, SB, II.1, p. 194.

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to law. The position is Hobbesian, no doubt, but not the argument.

The view, Hobbes says, issues from a confusion of law and covenant,74
but this is irrelevant since Hobbess sovereign is bound by neither.
Where the distinction between law and covenant was important was in
Bodins discussion of unconditional sovereignty. There it underwrote
the seemingly contradictory positions that rulers are not subject to
law but, nevertheless, stand in a relationship of mutual obligation with
their subjects:
We must not then confound the lawes and the contracts of soueraigne
princes, for that the law dependeth of the will and pleasure of him that
hath the soueraigntie, who may bind all his subiects, but cannot bind
himselfe: but the contract betwixt the prince and his subiects is mutual,
which reciprocally bindeth both parties.75

But within Hobbess theoretical framework, use of the Bodinian distinction simply made no sense.
In Chapter 8, also, Hobbes endorses Aristotles view that liberty is
the peculiar characteristic of democracies:
And Aristotle saith well (lib. 6, cap. 2 of his Politics), The ground or
intention of a democracy, is liberty . . . For men ordinarily say this: that no
man can partake of liberty, but only in a popular commonwealth.76

Unsurprisingly, he would be at pains in Leviathan to correct the error

and repudiate the idea.77 In the Elements, he may have been following
Bodin on the subject. According to the Rpublique, the true nature
of the people is, to desire libertie without restraint of bit or bridle
whatsoeuer, although Bodin associates the point with Plutarch rather
than Aristotle.78

74
Hobbes, EL(T), II.8.6, p. 136: this error seemeth to proceed from this, that men
ordinarily understand not aright, what is meant by this word law, confounding law
and covenant, as if they signified the same thing.
75
Bodin, SB, I.8, p. 93. See also I.6, p. 58: In return for the faith and obeisance
he receiueth, the sovereign oweth iustice, counsell, aid, and protection; and IV.6,
p. 500.
76
Hobbes, EL(T), II.8.3, p. 134.
77
Hobbes, LV, 29, p. 369: From the same books, they that live under a Monarch
conceive an opinion, that the Subjects in a Popular Common-wealth enjoy Liberty;
but that in a Monarchy they are all Slaves. I say, they that live under a Monarch conceive such an opinion; not they that live under a Popular Government: for they find
no such matter.
78
Bodin, SB, II.7, p. 250. Hobbes is likely to have come across this passage because
it immediately follows a discussion of the impossibility of divided sovereignty.

hobbess elements of law

123

One may surmise that Hobbes was led to make such mistakes, as well
as to defer to Bodins authority in the first instance, by a need to complete a defense of absolutism that was not, in fact, fully worked out in
his mind. In order to finish the job in a hurry, he seems to have been
writing with an open copy of the Rpublique close at hand.
Chronology of Composition
The evidence is not sufficient to distinguish with certainty which
chapters were composed during the Short Parliament, but does permit
reconstructing the range of possibilities. These are detailed in Table 1.
Table 1: Hypothesized Chronology of the Composition of The Elements of Law
Period of Composition
Pre-Short Parliament
Pre-Short Parliament

Part 1.
Part 2.
1.

Short Parliament
Pre-Short Parliament
Pre-Short Parliament

2.
3.
4.

5.

6.

7.

Short Parliament
?

8.
9.

Short Parliament

10.

Concerning men as persons natural

Concerning men as a body politic
Of the requisites to the constitution of a
commonwealth
Of the three sorts of commonwealth
Of the power of masters
Of the power of fathers, and of
patrimonial kingdom
The incommodities of several sorts of
government compared
That subjects are not bound to follow
their private judgments in controversies
of religion
That subjects are not bound to follow
the judgment of any authority in
controversies of religion . . .
Of the causes of rebellion
Of the duty of them that have sovereign
power
Of the nature and kinds of laws

Consider, first, the pattern of definitions highlighted in black

gothic script. This starts to break down in the first half of Part II:
highlighted definitions are present in Chapters 1, 3, and 4 (on sovereign right and patrimonial authority) but absent from the two chapters comparing forms of governmentChapters 2 and 5. The pattern
breaks off completely in the midst of the next chapter (II.6), which

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is the first of two making a Christian case for absolute sovereignty

(see Appendix 1). Perhaps this marks the moment at which Hobbes
switched into high gear to complete the manuscript under the press
of political events and his patrons desire to use it in political debate.
This would have left six chapters in Part II to be hurriedly drafted in
the spring of 1640Chapters 2 and 5, comparing forms of government; 7, which continues the religious case for political obedience; 8,
on the causes of rebellion; 9, on the duties of rulers; and Chapter 10,
the single chapter on the theme of law.
Focusing on Hobbess arguments yields a more conservative estimate. There are three chapters in the second part of The Elements of
Law whose content is curious in ways that suggest they were written
hurriedly: Chapter 2, which defends unconditional sovereignty using
the claim that all governments have democratic foundations; 8, which
employs Bodins Rpublique in defense of absolute sovereignty; and
10, the scanty final chapter on the subject of law. At a minimum, these
chapters appear to have been drafted in the spring of 1640.
However, there is a line of evidence that mayor may notcontradict these hypothesized chronologies. At the start of chapters, Hobbes
customarily locates the immediate topic in relation to those of surrounding chapters. These thumbnail introductory outlines are quoted
in Appendix 1. They hang together and form a continuous logical
sequence, without, in a notable instance, a break for the anomalous
second chapter of Part II. Thus the first chapter of Part II of the Elements announces that subsequent chapters are organized in terms of
the two ways of forming a stateinstitution and compulsion.79
Having spoken in general concerning instituted policy, Chapter 2
opens, I come in this [chapter] to speak of the sorts thereof . . . how
every one of them is instituted.80 The opening of Chapter 3 reiterates
that the previous chapters treat institutive commonwealth, and turns
the readers attention to the new subject of patrimonial kingdom.81
Chapter 5 then summarizes that previous chapters have covered the
nature of a person politic and the three sorts of commonwealths; this
chapter will take up conveniences, and inconveniences of govern-

79
80
81

Hobbes, EL(T), II.1.1, pp. 8384.

Hobbes, EL(T), II.2.1, p. 92.
Hobbes, EL(T), II.3.1, p. 99.

hobbess elements of law

125

ment, both in general and the specific varieties.82 The sequence of

introductory statements continues in a similar vein through the rest
of the work.
It is possible that Hobbes had outlined the sequence of chapters of
the work as a whole before starting to write and so, in the spring of
1640, had the task of hurriedly filling in the final pages. Alternately,
the outline may have been drafted, and the introductory statements
added, after the work was completed. But it could be, of course, that
the work was written in a coherent and deliberate process from start to
finish, and the outline simply evidences this. However, I am sceptical
of this last possibility because the intellectual and physical evidence
suggests a more uneven process of composition.
The Significance of the Process of Composition
In the classic Meaning and Understanding in the History of Ideas,
Quentin Skinner includes among the mythologies of interpretation
that of coherence. The mythology gives the thoughts of various classic writers a coherence, and an air generally of a closed system, which
they may never have attained.83 It is a particularly inviting myth with
respect to Hobbess theory of politics because he was one of the most
logical and deductive of thinkers, who styled his argumentation on
geometry. However, two aspects of his practice undermined the possibility of coherenceone idiosyncratic to his process of writing and
the other common among writers in the period.
First, as we have seen, Hobbes had a tendency to slot new material into a preexisting framework without regard to how it fit with
existing arguments, and without revising existing arguments to make
the whole coherent. This introduced inconsistencies within texts, such
as the aberrant second chapter of Part II of the Elements, in which
the democracy first argument appears. Consider, to take another
example, the discussion of natural right at the start of chapter fourteen of Leviathan. Here, Hobbes begins by defining the Right Of
Nature as the Liberty each man hath, to use his own power, as

82

Hobbes, EL(T), II.5.1, pp. 1078.

Quentin Skinner, Meaning and Understanding in the History of Ideas, History
and Theory 9 (1969): 17.
83

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chapter five

he will himselfe, for the preservation of his own Nature. Just two
paragraphs down, however, he introduces a more expansiveand
contradictorydefinition: Right, consisteth in liberty to do, or to
forbeare . . . so that Law, and Right, differ as much, as Obligation, and
Liberty.84 If right and law are opposites, then natural right should
not include the natural-law limitation of self-preservation, as it does
according to the first definition. Scholars have treated the apparent
inconsistency as a substantive problem in need of interpretation.85 Yet
the substantive problem may be simply another artifact of Hobbess
process of writing and thus illustrate, again, how that process could
frustrate his ambitions of rigor.
Like other early modern thinkers, Hobbes rewrote and progressively
expanded his political theory over the course of roughly fifteen years.
This little MS treatise, Aubrey said of The Elements of Law, grew
to be his book De Cive, and at last grew there to be the so formidable
Leviathan.86 Hobbes may well have learned this process of composition from Bacon, for whom he early on served as a secretary.87 Bacon
produced thirteen editions of the Essayes between 1597 and 1625, and
expanded the work from ten essays in the original to fifty-eight in a
volume three times longer.88 Hobbess way of writing turned the process of expansion into yet another opportunity for introducing inconsistencies,89 since he seems to have been content, oftentimes, to layer
argument on top of argument. Commenting on this tendency, Glenn
Burgess has suggested (with the works new authorization argument
specifically in mind):

84

Hobbes, LV, 14, p. 189.

E.g., Tuck, Hobbes, 6263, who argues that the first is Hobbess real definition,
which is consistent with the second by virtue of the right of private judgment. See
also 10912, for a discussion of rival views, notably Oakeshotts position that Hobbesian natural right is unlimited.
86
Aubrey, Brief Life, 236.
87
Malcolm, Summary Biography, 18.
88
Michael Kiernan, General Introduction and Textual Introduction to The
Essayes or Counsels, Civill and Morall, by Francis Bacon (Cambridge, Mass.: Harvard
University Press, 1985).
89
One of Hobbess earliest critics thought he was vulnerable on this score. See
Dzelzainis, Hyde and Hobbes, 306: Hyde thought it entirely possible to mount a
damaging assault on Hobbes based on the inconsistencies between Leviathan and earlier expositions of his political theory: I dare say he will find somewhat in Mr Hobbs
himself, I mean in his former Books, that contradicts what he sets forth in this, in that
Part in which he takes himself to be the most exact, his beloved Philosophy.
85

hobbess elements of law

127

In terms of organization and structure, this . . . alteration in Hobbess

thinking does not so much replace his previous ideas as become laid on
top of them. Leviathan has something of the character of a palimpsest.90

In this vein, consider those rival definitions of natural right in Leviathan, whose evolution can be traced back through the Elements and
De Cive. In the first treatise, the parallel passage has the point of defining natural law, which Hobbes identifies with reason;91 but the section expands in the next two versions to cover natural right as well.
In De Cive, answering objections to the idea of natural law, Hobbes
introduces a definition of RIGHTnamely that which is not done
against Reason.92 This becomes, with revision, the second definition of
natural right in Leviathan (liberty to do, or to forbeare); but Hobbes
confuses matters by further introducing a definition of the specific
concept, right of nature, that builds in self-preservation. Here, again,
is a case in which expansion generated inconsistency.
Of course expansion could also be an occasion for Hobbes to remove
inconsistencies and improve the logic of his arguments. This possibility is illustrated in the evolution of the democracy first argument.
Apparently aware that democracy first fit poorly with the rest of the
theory in the Elements, Hobbes jettisoned the claim from Leviathan.
In this instance, expansion served rather than frustrated his desire
for rigor.
The overall impact of his method of writing, and of revising and
expanding the treatises, can be measured only by building up case-bycase investigations of anomalies in his arguments.93 Leviathan stands
in need of a textual archeology that traces its layers of sedimentation in the development of chapters and arguments from the Elements through De Cive to the masterpiece. This work will, I suspect,

90 .
Glenn Burgess, Contexts for the Writing and Publication of Hobbess Leviathan, History of Political Thought 11 (1990): 690. (However I disagree with Burgesss
characterization of the three strata in Leviathanaboriginal democracy; authorization and representation; and, lastly, the de facto defense of Engagementsince it
appears to me that the first is not part of the work. My suspicion is that Hobbess composition process is more complex than Burgesss schema suggests.) See also Jacquot
et Jones, Introduction, 79: louvrage ne rsulte pas dune rdaction continue, mais
dune juxtaposition, dans un certain ordre, de pages crites divers moments.
91
Hobbes, EL(T), I.15.1, p. 58: There can therefore be no other law of nature than
reason, nor no other precepts of natural law, than those which declare unto us the
ways of peace.
92
Hobbes, DC, II.1, p. 52.
93
My thanks to Iain Hampsher-Monk for suggesting these concluding points.

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explain away a number of problems of interpretation by showing them

to be merely products of his process of composition. In cases such
as democracy first in the Elements, an interpretive explanation for
inconsistency is misplaced and an explanation in terms of process
more appropriate and accurate. We would do well to recognize that
in Hobbess case, by virtue of his unique practice as an author, issues
of coherence are at least as much a function of process as of intent or
logic.

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129

Appendix 1
Outline of Chapter Topics and Definitions in The
Elements of Law*
Part I. Concerning men as persons natura
1. The general division of mans natural faculties
.1: The true and perspicuous explication of the elements of laws, natural
and politic, which is my present scope, dependeth upon the knowledge
of what is human nature, what is a body politic, and what it is we call a
law (p. 1).
2. The cause of sense
.1: Having declared what I mean by the word conception . . . I come to the
conceptions themselves, to show their difference, their causes, and the
manner of their production (p. 2).
Sense and Object of sense
3. Of imagination and the kinds thereof
Phantasy or Imagination; Sleep; Dreams; Fiction; Phantasms; Remembrance
4. Of the several kinds of discursion of the mind
.1: The succession of conceptions in the mind (p. 10).
Discursion; Ranging; Sagacity; Reminiscence; Experience; Expectation
or Presumption of the future; Conjecture; Signs; Prudence
5. Of names, reasoning, and discourse of the tongue
.1: Seeing the succession of conceptions in the mind are caused (as hath
been said before) by the succession they had one to another when they
were produced by the senses; . . . man . . . hath imagined and devised to set
up a visible or other sensible mark . . . [to] bring to his mind the thought
he had when he set it up (pp. 1314).
Mark; Name or Appellation; Positive; Privative; Universal; Singular;
Equivocal; Understanding; Affirmation or Negation; True or Truth;
False; Syllogism; Ratiocination
6. Of knowlege, opinion, and belief
Science; Sapience; Supposed; Think; Opinion; Belief; Conscience
7. Of delight and pain; good and evil
.1: In the eighth section of the second chapter is shewed, how conceptions
or apparitions are . . . motion in some internal substance of the head;
which motion not stopping there, but proceeding to the heart, of necessity must there either help or hinder that motion which is called vital;
when it helpeth, it is called Delight . . . (p. 21).
Pain; Hatred; Appetite; Aversion; Fear; Good; Evil; Goodness; Badness;
Pulchritudo; Turpitudo; End; Fruition; Profitable; Use; Vain; Felicity;
Sensual; Joy; Grief
8. Of the pleasures of the sense; of honour
.1: Having in the first section of the precedent chapter presupposed that motion and agitation of the brain which we call conception, to be continued
to the heart, and there to be called passion; I have thereby obliged myself,

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9.

10.

11.

12.

13.

14.

chapter five
as far forth as I can, to search out and declare, from what conception
proceedeth every one of those passions which we commonly take
notice of (p. 24).
Honour; Honorable; Worth; Reverence
Of the passions of the mind
Glory; Aspiring; False Glory; Vain Glory; Humility; Dejection; Shame;
Courage; Anger; Revengefulness; Repentance; Hope; Despair; Diffidence;
Trust; Pity; Hardness of heart; Indignation; Emulation; Envy; Laughter;
Weeping; Lust; Love; Charity; Admiration; Curiosity; Magnanimity;
Pusillanimity
Of the differences between men in their discerning faculty and the cause
.1: Having shewed in the precedent chapters, that the imagination of men
proceedeth from the action of external objects upon the brain . . . and
that the passions proceed from the alteration there made, and continued to the heart: it is consequent in the next place . . . to declare what
other causes may produce such odds, and excess of capacity, as we
daily observe in one man above another (p. 37).
Dulness; Fancy; Judgment; Wit; Levity; Gravity; Stolidity; Indocibility;
Madness
What imaginations and passions men have, at the names of things
supernatural
.1: Hitherto of the knowledge of things natural, and of the passions that
arise naturally from them. Now forasmuch as we give names not only
to things natural, but also to supernatural; and by all names we ought
to have some meaning and conception: it followeth in the next place, to
consider what thoughts and imaginations of the mind we have, when
we take into our mouths the most blessed name of GOD (p. 41).
How by deliberation from passions proceed mens actions
.1: It hath been declared already, how external objects cause conceptions,
and conceptions appetite and fear, which are the first unperceived
beginnings of our actions . . . This alternate succession of appetite and
fear . . . is that we call Deliberation (p. 47).
Will; Voluntary Actions; Involuntary or Mixed; Consent; Contention;
Battle; mutual Aid; Union; Intention
How by language men work upon each others minds
.1: Having spoken of the powers and acts of the mind . . . considered in every man by himself, without relation to others; it will fall fitly into this
chapter, to speak of the effects of the same powers one upon another
(p. 49).
Teaching; Learn; Persuasion; Controversy; Consent; Counselling;
Promise; Threatening; Commanding; Law; Instigation; Appeasing
Of the estate and right of nature
.1: In the precedent chapters hath been set forth the whole nature of man,
consisting in the powers natural of his body and mind, and may all be
comprehended in these four: strength of body, experience, reason, and
passion (p. 53).
.2: In this chapter it will be expedient to consider in what estate of security this our nature hath placed us (pp. 5354).
Right; War; Peace

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131

15. Of the divesting natural right by gift and covenant

.1: What it is we call the law of nature, is not agreed upon, by those that
have hitherto written (p. 57).
Natural Law; Relinquish; Transfer; Free gift; Contract; Covenant; Oath
16. Some of the laws of nature
Injury; Unjust; Ingratitude; Pardon
17. Other laws of nature
Pride; Equity; Incroaching; Arbitrator; Virtue; Vice
18. A confirmation of the same out of the Word of God
19. Of the necessity and definition of a body politic
.1: . . . And therefore till there be security amongst men for the keeping
of the law of nature one towards another, men are still in the estate of
war (p. 78).
.6: And that this may be done, there is no way imaginable, but only union;
which is defined chap. 12, sect. 8 to be the involving or including the
wills of many in the will of one man, or . . . one Council (p. 80).
Body Politic; Corporations; Sovereign; Subject
Part II. Concerning men as a body politic
1. Of the requisites to the constitution of a commonwealth
.1: That part of this treatise which is already past, hath been wholly spent
in the consideration of the natural power, and the natural estate of
man . . . And lastly how a multitude of persons natural are united by
covenants into one person civil, or body politic. In this part therefore
shall be considered, the nature of a body politic, and the laws thereof,
otherwise called civil laws (p. 83).
Democracy; Oligarchy or Aristocracy; Monarchy; Laws Politic
2. Of the three sorts of commonwealth
.1: Having spoken in general concerning instituted policy in the former
chapter, I come in this to speak of the sorts thereof in special, how every one of them is instituted (p. 92).
3. Of the power of masters
.1: Having set forth, in the two preceding chapters, the nature of a commonwealth institutive, by the consent of many men together; I come
now to speak of dominion, or a body politic by acquisition, which is
commonly called a patrimonial kingdom (p. 99).
Master; Servant; Slave; Manumission
4. Of the power of fathers, and of patrimonial kingdom
.1: Of three ways by which a man becometh subject to another . . . In the
next place, we are to set down the third way of subjection, under the
name of children (pp. 1023).
Concubine; Husband; Wife; Freeman; Family; Patrimonial kingdom
5. The incommodities of several sorts of government compared
.1: Having set forth the nature of a person politic, and the three sorts
thereof, democracy, aristocracy, and monarchy; in this chapter shall
be declared, the conveniences, and inconveniences, that arise from
the same, both in general, and of the said several sorts in particular
(pp. 1078).

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6. That subjects are not bound to follow their private judgments in controversies of religion
.1: Having showed that in all commonwealths whatsoever, the necessity of peace and government requireth, that there be existent some
power . . . by the name of the power sovereign, to which it is not lawful
for any member of the same commonwealth to disobey; there occurreth now a difficulty, which, if it be not removed, . . . maketh it unlawful for a man to put himself under the command of such absolute
sovereignty as is required thereto (p. 113).
Fundamental; Superstruction
7. That subjects are not bound to follow the judgment of any authority in
controversies of religion which is not dependent on the sovereign power
.1: In the former chapter have been removed those difficulties opposing
our obedience to human authority, which arise from misunderstanding of our Saviors title and laws . . . Now they who differ not amongst
themselves concerning his title and laws, may nevertheless have different opinions concerning his magistrates, and the authority he hath
given them (p. 126).
8. Of the causes of rebellion
.1: Hitherto of the causes why, and the manner how, men have made
commonwealths. In this chapter I shall show briefly, by what causes,
and in what manner, they be again destroyed (p. 133).
9. Of the duty of them that have sovereign power
.1: Having hitherto set forth how a body politic is made, and how it may
be destroyed, this place requireth to say something concerning the
preservation of the same (p. 142).
10. Of the nature and kinds of laws
.1: Thus far concerning the Nature of Man, and the constitution and
properties of a Body Politic. There remaineth only for the last chapter,
to speak of the nature and sorts of law (p. 147).
.10: And thus much concerning the elements and general grounds of
laws natural and politic (p. 151).
* Highlighting of key terms follows the Harley 4235 manuscript.

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133

Appendix 2
Comparison of Chapters on the Several Forms of
Government in The Elements of Law and Leviathan
Elements of Law (Part II)
Ch. 2. Of the three sorts of
commonwealth
(ch. 1, 3)*
(ch. 1, 1516)
19: democracy first;
derivation of other
forms of government
2: no contract between
ruler and ruled
3: sovereign cannot
injure subjects
910: absolute vs. elective
kingdoms
11: people = multitude;
civil person
1216: discharge of
subjection
Ch. 5. The incommodities of
several sorts of government
compared
1: benefits (peace &
preservation) same for
sovereign and subjects
2: conveniences and
inconveniences
to ruler and to ruled
3: inconveniences to subjects in
each form of government:
4: assembly debate
excites passions
56: since there are more rulers in
aristocracy and democracy
than in monarchy, there is
more corruption potential
7: law more constant in
monarchy

Leviathan
Ch. 19. Severall Kinds of
Common-wealth by Institution, and . . . Succession
12: definitions of three kinds of
government; names for
bad forms
3: England, a monarchy for 600
years; danger of
subordinate representatives

(ch. 18, 4)
(ch. 18, 6)
1013: absolute vs. elective
kingdoms
(ch. 16, 1, 13)
(ch. 21, 2125)

4: public and private interest most

united in monarchy

5: counsel in monarchy and

assembly government
8: since there are more
rulers in an assembly than in
monarchy, there are more favorites
6: resolutions more constant in
monarchy

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8: monarchies less apt to civil war;

disagreements in assemblies
may lead to civil war

(ch. 4, 1117)

7: disagreements in
assemblies may lead to
civil war
9: in dangerous times,
assembly governments need
dictators
(temporary monarchs)
1423: succession

* References in parentheses indicate parallels to other chapters.

Note:
This essay uses the 1928 Tnnies edition of The Elements of Law (Cambridge University
Press) as well as the original manuscript, Harley 4235 (1640), British Library. Quotations (using modernized spelling) are taken from the Tnnies edition, although in a
few cases (which are indicated in notes) capitalization or emphasis follows the Harley
manuscript.

CHAPTER SIX

THE DIFFICULTIES OF HOBBES INTERPRETATION

There is a developing interest among Hobbes scholars in the idiosyncrasies of his texts. A generation ago, we became preoccupied with
approaches to interpretation when Hobbes studies became the site for
sophisticated applications of approaches as diverse as contextualist
history and game theory. Now, attention is turning to the nature of
the texts themselves. The concern links Hobbes studies into the field
of the history of the book, which treats the historical sociology of
book and manuscript production.1 Markers of the renewed interest in
Hobbess texts include a 2003 critical edition of Leviathan, edited by
Karl Schuhmann and G. A. J. Rogers, who devote a volume to comparing seventeenth- through twenty-first-century editions;2 Franois
Tricauds introduction and French translation of the Latin Leviathan;3 as well as the ongoing project of Clarendon Press, under Noel
Malcolms direction, to produce a definitive collected edition that will
supersede the nineteenth-century Molesworth.
It is illustrative that a recently-published volume of essays on Leviathan After 350 Years opens with a section on Leviathan among
Hobbess Political Writings, in which the essays take on the question
of whether Leviathan is continuous with, or distinct from, the earlier
Elements of Law and De Cive.4 Are they three independent texts or a
single, reworked one? In the case of most classics in the tradition of
political theory, the question of what constitutes the text would never
arise. But in the case of Leviathan, it is basic. In this essay, I propose to
lay out why the question arises and what it entails, as well as to explore

1
See, e.g., Robert Darnton, What is the History of Books?, in Books and Society
in History, ed. Kenneth E. Carpenter (New York: R. R. Bowker, 1983), 326; and D. F.
McKenzie, Bibliography and the Sociology of Texts (Cambridge: Cambridge University
Press, 1999).
2
G. A. J. Rogers and Karl Schuhmann, Introduction to Thomas Hobbes Leviathan
(Bristol: Thoemmes Continuum, 2003).
3
Thomas Hobbes, Lviathan: trait de la matire, de la forme et du pouvoir de la
rpublique ecclsiastique et civile, trans. Franois Tricaud (Paris: ditions Sirey, 1971).
4
Tom Sorell and Luc Foisneau, eds., Leviathan After 350 Years (Oxford: Clarendon
Press, 2004).

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related problems of continuity and consistency among Hobbess political-theory texts.

Hobbes studies have an amorphous subject due to his practice of
serially composing multiple works with overlapping content and arguments. Common as a practice among early-modern authors, serial
composition invites interpretive disputes over the definition of the
relevant set of texts and the relationship between them, their continuity or lack thereof. In Hobbess case, these problems are compounded
by the particular way in which he went about serial composition. John
Aubrey, a friend and his first biographer, described the method as it
played out in the composition of Leviathan: Hobbes
walked much and contemplated, and he had in the head of his Staffe a
pen and inke-horne, carried always a Note-book in his pocket, and as
soon as a notion darted, he presently entred it into his Booke. . . . He had
drawn the Designe of the Booke into Chapters, etc. so he knew whereabout it would come in.5

When he slotted new material into preexisting frameworks, Hobbes

did not always rework the text in the interest of consistency.
Hence the upshot of serially composing works in this fashion was
to make consistency problematic both between and within works.
The Elements of Law (1640), De Cive (1642, with a second edition in
1647), and Leviathan (1651) were produced in several languages over
the course of the Civil War decade, and publication of related works
continued through 1668. For any author, such a publication history
could be expected to breed problems of inconsistency between works
as the authors thinking changes and develops over time. In Hobbess
case, the tumultuous context, to which many changes in his arguments
responded, only increased the occasions for inconsistency.6 But it was
his habit of slotting new material into old that made changes between
works into a source of internal as well as external inconsistency. When
he left old formulations standing next to new ones, the result was
at least complication and, sometimes, contradiction. A well-known
example is the dual accounts of the political covenant in Leviathan
nonresistance (an account which is developed in the Elements and
5
John Aubrey, Aubreys Brief Lives, ed. Oliver Lawson Dick (Ann Arbor, Mich.:
University of Michigan Press, paperback ed., 1962), 151. See note 21 below.
6
For the argument that Hobbess arguments should be read as polemical
intervention[s] in the ideological conflicts of his time, see Quentin Skinner, Hobbes
and Republican Liberty (Cambridge: Cambridge University Press, 2008), esp. xvi.

hobbes interpretation

137

De Cive) and authorization (new to Leviathan).7 Leviathan, due to its

place in the queue as well as the political shifts in place by the end of
the Civil War decade, is the most complicated and multilayered of the
texts. It is illuminating to compare it with, say, Capital. In both cases,
interpreters trace the development of ideas through and from earlier
texts; however, in Hobbess case this development is inscribed within
the masterpiece as well. It is as though interpreters had to confront
not only an early versus a late Marx, but also a Capital that carried over layers of argumentation from the 1844 Manuscripts and the
German Ideology.8
Hobbes studies are further complicated by the fact that Hobbes
burned much of his correspondence late in life, so we have little direct
autobiographical evidence of his intentions, political or authorial. This
is particularly the case for his political ideas. In the magisterial edition
of the surviving correspondence, edited by Noel Malcolm, there are
few letters on political ideas and political theory, and these do not
offer major insights. Hobbes left two autobiographies, one in verse
and one prose, but these were completed in the last decade of his life,
long after hed written his political theory.9 Other, scattered autobiographical statements are suspiciously opportunist: during the Interregnum, he would profess support for the Republic but afterwards
protest loyalty to the Stuarts. The paucity and uncertain reliability of
this autobiographical evidence give the texts peculiar importance for
understanding Hobbess intentions, and yet the texts themselves are
problematic. It seems perverse, or at least ill-luck for interpreters, that
Hobbes studies have both a complicated object and limited autobiographical information.
The composition process behind Hobbess political treatises generated three related problems, which are my present focus: an amorphous text; continuity and discontinuity among his political-theory
texts; and the issue of consistency between and within works. Consider, to start with, the most basic of questions: What would a student

See Table 2 below.

Glenn Burgess has characterized Leviathan as a palimpsest: Contexts for the
Writing and Publication of Hobbess Leviathan, History of Political Thought 11
(1990): 690.
9
See Franois Tricaud, claircissements sur les six premires biographies de
Hobbes, Archives de Philosophie 48 (1985): 27786. J. C. A. Gaskins edition of the
ElementsTL(G)reprints translations of the two works: the Prose Life, translated
by Mary Lyons, and the Verse Life (anon. trans.).
8

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assigned to read Hobbess political theory check out of the library?

His ideas were first circulated in a manuscript titled The Elements of
Law in the spring of 1640, just following the close of the Short Parliament. In short order, Hobbes translated, reworked and expanded the
treatise into a new volume, in Latin, titled De Cive, which circulated
in a small, private edition in 1642. To this, he added a new preface
and additional notes to produce a second, larger, and public edition
in 1647. Leviathan appeared four years later, in England and in English. Nor is this all. A Latin version of Leviathan came out in 1668.
There are also De Corpore (1655) and De Homine (1658), which cover
some of the same territory as Leviathan. In a discussion of Hobbesian
Sources of Leviathan, Rogers and Schuhmann list five works as possible sources, adding to the above De Motu (1643, published in 1973 as
Critique du De Mundo de Thomas White).10 Behemoth, Hobbess postRestoration history of the Civil War, is sometimes added to the list for
its retrospective evidence of the evolution of his political thinking.11 It
is thus literally the case that Hobbess political theory is not embodied
in a determinate text or texts: at this simplest of levels, the object of
interpretation is ambiguous and contestable.
Interpreters do not even agree, secondly, about the relationship
between the three core political-theory texts. The editors of major
new editions hold different views. On the one hand, Noel Malcolm
sees them as basically continuous: he describes The Elements of Law
as presenting
an almost fully fledged statement of Hobbess entire political philosophy.
His two later published versions of his theory, De cive and Leviathan,
would develop further some of the points of detail, but the essential
lineaments would remain the same.12

10
Rogers and Schuhmann, Introduction 1921. Thomas Hobbes, Critique du De
Mundo de Thomas White, ed. Jean Jacquot et Harold Whitmore Jones (Paris: Librairie
Philosophique J. Vrin, 1973).
11
E.g., Jeffrey R. Collins, The Allegiance of Thomas Hobbes (Oxford: Oxford University Press, 2005), 82.
12
Noel Malcolm, A Summary Biography of Hobbes, in The Cambridge Companion
to Hobbes ed. Tom Sorell (Cambridge: Cambridge University Press, 1996), 28. Many
share this view, including: Quentin Skinner, Introduction: Hobbess Life in Philosophy, Visions of Politics, vol. 3 (Cambridge: Cambridge University Press, 2002), 9, 11;
and M. M. Goldsmith, Hobbess Ambiguous Politics, History of Political Thought
11 (1990), 639.

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139

Rogers and Schuhmanns introduction to Leviathan maintains, on the

other hand, The Elements of Law does not play any direct role in
the elaboration of Leviathan . . . There is no ascertainable direct link
between the two works. Only De Cive and Leviathan, in their view,
are organically related.13
From debates about continuity, it is a short step to the bedrock
issue of consistency among Hobbess arguments, which in one form
or another is central in much of the secondary literature. Two major
illustrations are Hobbess treatment of the relationship between church
and state, and the addition in Leviathans Review and Conclusion
of the seemingly noncontractarian principle of a mutuall Relation
between Protection and Obedience.14 In the first case, controversy
stems from a passage in De Cive that seems to assign the clergy independent interpretive authority, which contradicts the Erastian antipathy to clerical independence that Hobbes asserts elsewhere. In the
second, the question is how the new argument squares with the contract theory that Hobbes had developed over the Civil War decade and
that remains, of course, a centerpiece of Leviathan. Such inconsistencies merit (re)examination in light of Hobbess writing process.
Recently, several commentators have conceptualized Hobbesian
inconsistency as the root problem, in and of itself, that underlies many
specific disputes. Lodi Nauta takes on the thesis of radical change and
inconsistency writ large:
It has become something of an orthodoxy among Hobbes scholars
to see a dramatic change in Hobbess intellectual development in the
1640s, that is, between the earlier works The Elements of Law Natural
and Politic (1640) and De Cive (1642) on the one hand and Leviathan
(1651) on the other. Various accounts have been given to explain these
differences . . . but what they have in common is their stress on the radical
character of Hobbess turn of mind in that crucial decade of his exile.15

13
Rogers and Schuhmann, Introduction, 45. They see some similarities between
the accounts of human nature in Leviathan and the Elements but little in common
between their political sections (p. 19). However, compare Karl Schuhmann, Skinners Hobbes, British Journal for the History of Philosophy 6 (1998): 121.
14
Hobbes, LV, A Review and Conclusion, p. 728.
15
Lodi Nauta, Hobbes on Religon and the Church between The Elements of Law
and Leviathan: A Dramatic Change of Direction? Journal of the History of Ideas 63
(2002): 577. See, also, Hobbes the Pessimist?, British Journal for the History of Philosophy 10 (2002): 3154.

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Nauta argues, to the contrary: there is much more continuity between

the three works than this picture suggests and therefore the developmental thesis concerning his radical change of mind is fundamentally
mistaken.16
A second, more complicated view is laid out by Kinch Hoekstra,
who identifies the developmental thesis as one of two characteristic
approaches to the problem of inconsistency: Faced with a brilliant
philosopher who subscribes to such evidently contradictory doctrines,
philosophers and historians tend to react differently. On the one hand,
Historians are inclined . . . to offer a developmental account, according
to which Hobbes changed his mind over time as his circumstances
changed. Philosophers, on the other hand, ascribe to Hobbes the
view they take to be strongest, and regard the others as more or less
unfortunate utterances. Hoekstra points out flaws in both approaches.
The historical, developmental one makes the error of assuming consistency within works: when in fact, e.g.,Hobbes upholds a de facto
theory, a kind of royalism, and consent theory in the same works.
And the problem with the philosophical approach is that it dismisses
much of what Hobbes says.17 Instead, Hoekstra plumps for a third
approach to interpretation, one in which the goal is to uncover an
underlying conceptual consistency that ties together apparently divergent argumentsa doctrine of doctrines.18 At root, Hoekstra shares
with Nauta the assumption that Hobbesian inconsistency must have
a substantive, intellectual explanation. In common with the vast run
of literature on specific disputes, their aim is to construct substantive
explanations that tie together his arguments, whether at the level of
particular topics or in the form of a grand, unifying theme.
The other possibility, to be examined here, is that inconsistency was
simply the product of Hobbess composition process. There may be
less to the problem than interpreters commonly assume in the sense
that, in some to many instances, it may have no deeper rationale than
his way of writing. It is an unsettling thesis, which some may criti-

16

Nauta, Hobbes on Religion, 578.

Hoekstra, The De Facto Turn in Hobbess Political Philosophy, in Leviathan
After 350 Years, 7172. See, also, Hobbes on Law, Nature, and Reason, Journal of
the History of Philosophy 41 (2003), esp. 119.
18
Hoekstra, De Facto Turn, 54; see, too, 7273. His candidate is the position
that subjects cannot rightfully publish doctrines contrary to those laid down by the
sovereign as necessary for their peace and defence (IIThe End of Philosophy [The
Case of Hobbes], Proceedings of the Aristotelian Society 106 [2006]: 45).
17

hobbes interpretation

141

cize for dissolving the philosophical interest of Hobbess arguments.

Surely, it may be objected, it is more productive to engage with their
substance than it is to trace their accretion through the several texts,
regardless of what we may learn from the composition process. Even
more unsettling may be the implied dissolution of the textual referent
itself. In a paradoxical way, might study of the composition process
not render interpretation more rather than less fluid? Through attending to the complexities of the composition process, do we not unmoor
the theory and magnify the interpretive process into one of constructing text as well as meaning? Other critics, though less sceptical, may
still wonder how knowledge of the composition process should affect
interpretive practice and evaluation. If this study is more than a case
in the history of the book, what guidance does it offer for Hobbes
studies and for interpretation generally? These are questions to which
to return in conclusion.
Serial Composition
Our interpretive landscape pits positivists, who hold that texts are discrete, authorially sanctioned, contained, and historically definable
objects against constructivists, who see them as always incomplete,
and therefore open, unstable, subject to a perpetual re-making by readers, performers, or audience.19 However in medieval and early-modern manuscript production, another possibility obtained: texts were
unstable due to continual revision by their authors. Harold Loves
study of Scribal Publication describes the process of continual authorial revision that manuscript production encouraged. When authors
controlled the process of manuscript publication, texts could remain
obstinately in process. He proposes the label serial composition for
the phenomenon of texts subject to incessant revision. Whereas our
print culture focuses on, and distinguishes among, the products of
writing, serial composition could make process more important than
outcome. Rather than assume that revised editions reflect an impulse
to perfect a text, Love argues that the process of scribal production
could be one of change for changes sake or of an ongoing adaptation
to the expectations of readers. Versions produced in this way do not

19

McKenzie, Sociology of Texts, 55.

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so much replace as augment each other. Hence we might do better to

regard serial compositions as akin to a musician playing variations on
a favorite theme rather than as efforts to produce a perfect text.20
The concept of a text did not, of course, change overnight with the
introduction of print publication. Scribal culture influenced authorial
practice in print publications throughout the sixteenth and seventeenth centuries. The practice of producing new works by expanding and reworking existing material was ubiquitous in the period.
Francis Bacon, for whom Hobbes worked as a secretary as a young
man, produced thirteen editions of his Essayes between 1597 and 1625;
the work expanded from ten essays in the original to fifty-eight in
a volume three times longer.21 Other examples of serial composition
include Foxes widely read Book of Martyrs, which went through four
substantially different editions of ever-increasing size and complexity
between 1570 and 1583.22 In the next century, there were six editions
between 1621 and 1651 of Robert Burtons Anatomy of Melancholy,
which grew in length from a third to a half million words.23
Against this background, let us turn to consider the serial production of The Elements of Law, De Cive, and Leviathan, looking at what
we know about these texts (and also what we do not know). Hobbess
report of his development as a thinker is a familiar story and feeds his
reputation for being one of the most logical of thinkers. In 1630, he
fell in love with geometry.24 For his work, this meant proceeding (as
a correspondent put it later in the decade) on the basis of definitions
collected out of a deep insight into the things themselues as opposed
to common notions and apprehensions.25 Then came his plan for

20
Harold Love, Scribal Publication in Seventeenth-Century England (Oxford: Clarendon Press, 1993), 5254.
21
Michael Kiernan, General Introduction and Textual Introduction to The
Essayes or Counsels, Civill and Morall, by Francis Bacon (Cambridge, Mass.: Harvard
University Press, 1985). Aubrey reports that Bacon dictated to a secretary while walking (Aubreys Brief Lives, 150), so it is conceivable that Hobbes modeled his way of
working on observation of Bacons practice.
22
John N. King, On Editing Foxes Book of Martyrs, Medieval & Renaissance
Texts & Studies 188 (1998), 53.
23
Thomas C. Faulkner, Robert Burtons Sources and Late Topical Revision in The
Anatomy of Melancholy, Medieval & Renaissance Texts & Studies 188 (1998): 23.
24
Aubrey, Aubreys Brief Lives, 150; Hobbes, Prose Life, 24647; and Malcolm,
Summary Biography, 21 and n. 34.
25
Sir Kenelm Digby to Hobbes, from Paris, 17[/27] January, 1637, Letter 25 in
Thomas Hobbes, The Correspondence, vol. I, ed. Noel Malcolm (Oxford: Clarendon,
1994), 4243.

hobbes interpretation

143

a unified science, progressing from physics to psychology to politics,

which Hobbes claimed to have framed sometime after returning to
England from the Continent in the mid-1630s. These were my Studies
then, he later wrote, and in these three Consists the whole Course
of Philosophy: Man, Body, Citizen, for these I do Heap Matter up,
designing three Books too.26
The Elements of Law
Despite Hobbess narrative, there is some reason to be skeptical as
to whether, in fact, his first political-theory treatise, The Elements of
Law, was actually a product of the plan.27 The work opens with a different outline, progressing not from physics to psychology to politics
but from psychology to politics to law:
The true and perspicuous explication of the Elements of Laws, Natural
and Politic, which is my present scope, dependeth upon the knowledge
of what is human nature, what is a body politic, and what it is we call
a law.28

It is clear, at least, that the geometrical model was in play. The first
principle of knowledge, Hobbes explains in the work:
is, that we have such and such conceptions; the second, that we have
thus and thus named the things whereof they are conceptions; the third
is, that we have joined those names in such manner, as to make true
propositions; the fourth and last is, that we have joined those propositions in such manner as they be concluding. And by these four steps the
conclusion is known and evident, and the truth of the conclusion said
to be known.29

Following through on this idea of science, most of the text is constructed around a scaffolding of defined terms, which are highlighted
in black gothic script and linked with transitions sign-posting the
progress of the argument.30 However, the method breaks down in the
last chapters of the work, where the scaffolding of highlighted terms is
26

Hobbes, Verse Life, 25758.

It was Ferdinand Tnnies view that the Elements was drawn up independently,
from and without any regard to the systematic plan, which probably did not yet
occupy the philosophers mind at the time when he wrote it (The Editors Preface
to EL(T), vii).
28
Hobbes, EL(G), 1.1, p. 21.
29
Hobbes, EL(G), 6.4, p. 41. See also 13.3, pp. 7475.
30
This discussion draws on chapter five.
27

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chapter six

absent from chapters twenty-one, twenty-four, and twenty-six through

twenty-nine (on forms of government, religion, causes of rebellion, the
sovereigns duties, and law).
What happened? The Elements was written at the direction of the
Earl of Newcastle31 during, Hobbes said in a much later autobiography, the Short Parliament that met for less than a month in the spring
of 1640.32 Yet it seems doubtful that he actually could have composed
so lengthy and systematic a treatise in so short a period of time; and
more likely that during that time he simply finished a manuscript that
had largely been prepared over some longer stretch of time.33 Perhaps
the breakdown of the highlighted outline indicates that, after the calling of the Short Parliament, Newcastle pressured him to finish the
work quickly. Curiously, too, those later chapters include aberrant,
seemingly prodemocracy points: here, Hobbes identifies the constitution as the foundation of all governments and endorses the Aristotelian view that it realizes the principle of liberty.34 Since absolutism is,
overall, a major subject in the later chapters, it may be that Hobbess
foremost political argument started out as a hasty construction.
It may be further evidence of haste that the Elements circulated in
manuscript rather than print. Hobbes signed the dedicatory epistle on
May 9, 1640, although he continued to work on the manuscript in following months, making changes to whatever circulating copy was in
his possession.35 Yet he may have had other reasons, too, for employing
scribal publication. The choice could be motivated, Love observes, by a
desire to limit circulation: scribal publication [w]as a means by which
ideologically charged texts could be distributed through the governing
class . . . without their coming to the knowledge of the governed.36 In
just this vein, Hobbes indicates in the dedication to Newcastle that the
work was intended for a limited audience: The ambition therefore of
this book, in seeking by your Lordships countenance, [is] to insinuate
31
Hobbes, EL(G), p. 19: Now (my Lord) the principles . . . are those which I have
heretofore acquainted your Lordship withal in private discourse; and which, by your
command I have here put into method.
32
The passage is quoted below, at the start of the section titled Three Texts or
One (or Two)?.
33
This suspicion echoes George Croom Robertson, Hobbes (Philadelphia: Lippincott, 1886), 52.
34
Hobbes, EL(G), 21.1 and 27.3, pp. 11819, 164.
35
Martin Dzelzainis, Edward Hyde and Thomas Hobbess Elements of Law, Natural and Politic, The Historical Journal 32 (1989): 313.
36
Love, Scribal Publication, 177.

hobbes interpretation

145

itself with those whom the matter it containeth most nearly concerneth,37 such as, possibly, the King and his closest advisers, Laud and
Strafford.38 In addition, the traditional stigma of print in court circles
might have made manuscript publication a better choice than print for
Newcastle and Hobbes.39
De Cive
In late 1640, Hobbes fled into exile in Paris, where he took up connections with a circle of scientists and philosophers associated with Marin
Mersenne, a French monk whom he had met on a mid-1630s trip to
the Continent. By November of the following year, only a year and a
half after the appearance of the Elements, he had completed the next in
his trio of political-theory texts, the first edition of De Cive. Although
it came out in print, in Latin, it was hardly more public a work than
the Elements: the edition was small and semianonymous, signed only
with Hobbess initials. Patronage played a role in this publication, as
it had in the case of the Elements. Where Newcastle had directed the
production of that first work, now Mersenne took on the role. It was
he who arranged for the publication of De Cive, and he subsequently
circulated the work for comments.40
By early 1646, Hobbes had completed a second edition of De Cive.
Published in Amsterdam early the following year, it gave the first fully
publiclarge and signedpresentation of Hobbess political theory.
It was an enlargement of the first edition with the addition of a new
preface and annotations in the text answering criticisms of the work.41
Hobbes prepared it by recording the additions and notes on a copy of
the first edition, from which the second was then printed.42 Once again,
patronage mattered. Samuel Sorbire, a member of Mersennes circle,

37

Hobbes, EL(G), p. 20.

This is Johann Sommervilles suggestion in Thomas Hobbes (New York: St. Martins Press, 1992), 17.
39
J. W. Saunders, The Stigma of Print: A Note on the Social Bases of Tudor
Poetry, Essays in Criticism 1 (1951): 159.
40
Karl Schuhmann, Hobbes: Une Chronique (Paris: Librairie Philosophique, 1998),
75ff; Malcolm, Summary Biography, 28; and Howard Warrender, Editors Introduction to Hobbes, DC, 67.
41
The annotations are concentrated in the first chapters of the workspecifically,
chapters 13 and 6, on the state of nature, natural law, and sovereign rightand the
last chapters1416 and 18, on law and religion.
42
Warrender, Editors Introduction, 41.
38

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chapter six

oversaw its publication in Amsterdam; letters to Sorbire indicate the

work appeared only due to his and Mersennes intervention.43
Hobbes offered a retrospective account of his enterprise up to that
time in the preface to the second edition, which readers commonly
take at face value. He claims to have been working from the very
beginningsome few yeares before the civill Warres did rageon
the unified-science project and says De Cive was published out of
sequence as a contribution to pre-War debates:
Whilest I contrive, order, pensively and slowly compose these matters . . .
it so happend in the interim, that my Country some few yeares before
the civill Warres did rage, was boyling hot with questions concerning
the rights of Dominion, and the obedience due from Subjects, the true
forerunners of an approaching War; And was the cause which (all those
other matters deferrd) ripend, and pluckt from me this third part.44

However, there is evidence that this misrepresents the actual evolution

of the project. While Hobbes clearly had adopted the familiar unifiedscience scheme by this time,45 the statement of political intent directly
contradicts the first edition. In November, 1641, he had written that
he meant to avoid politics:
I have also been very wary in the whole tenour of my discourse, not to
meddle with the civill Lawes of any particular nation whatsoever, That
is to say, I have avoyded coming a shore, which those Times have so
infested both with shelves, and Tempests.46

At each step in the process leading to the second edition, Hobbess

personal situation and pressures associated with patronage played
important roles. Would there have been an Elements had Newcastle
not commanded its production? Would he have produced De Cive
as quickly as he did, and/or in Latin, if he had not gone into exile,
where he needed to establish himself with a new patron and intellectual coterie? Probably not, in both cases. Indeed, it may have been
exile that induced him to use the genre of serial composition in the
first place.47 For the production of a work in a language accessible to
43
Warrender, Editors Introduction, 1013. Mersenne to Sorbire, 25 April 1646,
and Gassendi to Sorbire, 28 April 1646, Appendix A in Hobbes, DC, 29798.
44
Thomas Hobbes, DC, pp. 3536 (emphasis omitted).
45
The works title includes the phrase third section of elements of philosophy:
Elementorum Philosophiae Sectio Tertia de Cive.
46
Hobbes, DC, The Epistle Dedicatory, p. 27.
47
Hobbess political theory is treated as an example of exile literature by Chris-

hobbes interpretation

147

his new audience, it was surely faster to start with an existing manuscript than to begin entirely afresh. Subsequently, the process of serial
composition itself became a complicating factor for his plan of a unified, deductive science, since the process of continual authorial revision and expansion of the texts only invited disorder.
Leviathan
Hobbes seems to have viewed the second edition of De Cive as the
definitive statement of his moral theory, explaining in a 1646 letter
that he aimed to achieve in metaphysics and physics (on which he
was then working) what I hope I have achieved in moral theory.48
Indeed, the edition made his reputation on the Continent, and in the
eighteenth century would be more influential than Leviathan.49 Why,
then, did he go on to produce Leviathan? It unfortunately is a question
lacking a clear answer; we know remarkably little about whyor even
whenLeviathan was composed. This is an area in which the paucity
and uncertain reliability of the autobiographical materials particularly
matter.
Today, most scholars follow Schuhmann in dating the composition
to a single yearthe winter 1649/50 through the winter of 1650/51or
an approximation thereof.50 This is less than certain, however, because
Hobbess autobiographies indicate that he started the work in 1646,
during the period in which he was mathematics tutor to the Prince
of Wales and prior to a major illness in 1647.51 After the illness, we
know that he was absorbed for several years in the scientific section of
the tripartite project.52 But in 1649, he seems to have taken up politics

topher DAddario, Exile and Journey in Seventeenth-Century Literature (Cambridge:

Cambridge University Press, 2007), ch. 2.
48
Hobbes to Samuel Sorbire, [22 May/]1 June 1646, Letter 42, in Hobbes, Correspondence, vol. I, p. 133. In The Authors Epistle Dedicatory to De Corpore, Hobbes
says Civil Philosophy is no older . . . than my own book De Cive (English Works of
Thomas Hobbes of Malmesbury, ed. Sir William Molesworth, vol. I [London: J. Bohn,
1839], ix). See, also, the Verse Life, 258.
49
Noel Malcolm, Hobbes and the European Republic of Ideas, Aspects of Hobbes
(Oxford: Clarendon, 2002), 459; Summary Biography, 29; and Citizen Hobbes,
London Review of Books, 1831 October 1984: 22.
50
Karl Schuhmann, Leviathan and De Cive, in Leviathan After 350 Years, 1517;
and Rogers and Schuhmann, Introduction, 1112. Malcolm, Summary Biography,
thinks Leviathan was probably begun in the fall of 1649 (31).
51
Hobbes, Prose Life, 248, and Verse Life, 259.
52
Rogers and Schuhmann, Introduction, 911.

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again, in response, it may be supposed, to the seismic political changes

of the time.53 But his intentions must remain opaque to us because he
made various statements about them, suited to the changing political times. In the immediate moment, he told Edward Hyde that he
wrote Leviathan because he had a mind to go home54 and in 1656
proclaimed that the work framed the minds of a thousand gentlemen
to a conscientious obedience to present government.55 Yet, after the
Restoration he would protest that Leviathan was written in defence
of the Kings power, temporal and spiritual.56
Whatever his intentions really were, in something like a year he
managed to rework De Cive; add seven chapters on political topics
along with one on authorization that supports a new version of the
political covenant; and transform several chapters on religious topics
into two entire Parts, which constitute exactly half the work in the
manuscript copy that was presented to Charles II.57 The new political
chapters largely concern the conduct of government, as well as the
relationship between ruler and ruled: they are chapters 21, Of the
Liberty of Subjects; 22, Of Systemes Subject, Politicall, and Private;
23, Of the Publique Ministers of Soveraign Power; 24, Of the Nutrition, and Procreation of a Common-wealth; 25, Of Counsell; 27,
Of Crimes, Excuses, and Extenuations; and 28, Of Punishments,
and Rewards. Since these additions surround what had been the concluding chapter of the Elements of Law, and last entry in its introductory outline, on the Nature and Kinds of Law (see Appendix II), this
development can be said to have transformed a natural-law project
into a more fully political one. Accomplishing these additions, as well
as revising existing arguments, was a massive undertaking that recalls
53
Quentin Skinner, Hobbess Life in Philosophy, 15, 19. See, too, Collins, Allegiance, ch. 4.
54
Edward Hyde, A Brief View and Survey of the Dangerous Errors . . . in Mr. Hobbess
Book, entitled Leviathan (1676), 8, quoted, e.g., in Malcolm, Summary Biography, 31.
55
Thomas Hobbes, Six Lessons to the Professors of the Mathematics, English
Works, vol. VII (1845), 336.
56
Thomas Hobbes, An Historical Narration concerning Heresy, English Works,
vol. IV (1840), 407. The Verse Life elides the contradictory statements by asserting:
This Book Contended with all Kings, and they By any Title, who bear Royal sway
(259). In the dedication to Charles I of a 1661 work on optics, he seemed to apologize
for the ambiguity: I most humbly beseech your sacred Majesty not to believe so ill
of me . . . nor to think the worse of me, if snatching up all the weapons to fight against
your enemies, I lighted upon one that had a double edge (English Works, vol. VII,
56, quoted in DAddario, Exile and Journey, 57).
57
This last, curious fact is noted in Rogers and Schuhmann, Introduction, 50.

hobbes interpretation

149

Hobbess rapid completion of both the Elements and De Cive. He cannot have had time to render all the pieces that went into the work
consistent with one another.
There was to be one more political-theory text: a Latin translation,
by Hobbes, of Leviathan, which was published in 1668. Once again,
there is disagreement over when it was actually composed and the
disagreement bears on understanding the composition of his political
theory. Franois Tricaud, in the introduction to his 1971 French translation, argues that there was a Latin proto-Leviathan which predated
the English version and was therefore intermediary between De Cive
and that work.58 Tricaud draws on earlier work by Zbigniew Lubienski
and F. C. Hood, but his thesis is disputed by Schuhmann and Rogers,
who stress the inferiority of the translations Latin to that in Hobbess
earlier Latin works.59
George Croom Robertson observed in his classic 1886 commentary
that in truth, the whole of [Hobbess] political doctrine . . . has little
appearance of having been thought out from the fundamental principles of his philosophy.60 It is clear that political crisis, Civil War, exile,
as well as patrons demands and directions, all pulled against Hobbess
philosophic aspirations. If we knew the complete story, filled in with
lost information about Leviathan, the narrative would no doubt be
even more complicated.
Three Texts or One (or Two)?
The conventional view, which is implicitly assumed in the preceding
discussion, is that the three political treatises are related in the way
that Aubrey said they were: This little MS. treatise [the Elements]
grew to be his Booke De Cive, and at last grew there to be the so
formidable LEVIATHAN.61 However, as I noted in the introduction,

58
Franois Tricaud, Introduction de Traducteur, in Lviathan by Thomas Hobbes
(Paris: ditions Sirey, 1971), xixxxix.
59
Rogers and Schuhmann, Introduction, 2301. On the comparison of the English and Latin versions, see also Skinner, Life, 2931. For examples of additions
and revisions to the Latin Leviathan that run counter to Tricauds thesis, see R. W.
Serjeantson, Hobbes, the Universities, and the History of Philosophy, in The Philosopher in Early Modern Europe, ed. Conal Condren, Stephen Gaukroger and Dan
Hunter (Cambridge: Cambridge University Press, 2006), 13637.
60
Robertson, Hobbes, 57; see, also, 38.
61
Aubrey, Aubreys Brief Lives, 151.

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this is not without controversy: Schuhmann and Rogers argue against

a direct link between the Elements and Leviathan. I will turn next to
examine the texts themselves, which we will see largely support the
conventional view. However, let us first consider the autobiographical
evidence, which is more ambiguous.
At least in the materials that have come down to us, Hobbes makes
remarkably little mention of the Elements. A single reference, in a later
autobiography, recalls that When the Parliament sat, that began in
April 1640, and was dissolved in May following . . . Mr. Hobbes wrote
a little treatise in English.62 In addition, he clearly thought of De Cive
and Leviathan as a twosome, and sometimes dated the project in a
way that excluded the Elements. Writing during the Interregnum, for
instance, he reported starting the project, a little before the last parliament of the late kingreferring, in other words, to the Long rather
than the previous Short Parliament:
When every man spake freely against the then present government, I
thought it worth my study to consider the grounds and consequences of
such behavior. . . . And after some time I did put in order and publish my
thoughts thereof, first in Latin, and then again the same in English.63

John Aubrey, although describing the three works as continuous, also

grouped De Cive and Leviathan together as a decade-long project:
After he began to reflect on the interest of the King of England as touching his affairs between him and the Parliament, for ten years together
his thoughts were . . . chiefly intent on his De Cive, and after that on his
Leviathan.64

However, Hobbess silence about the Elements and his pairing of De

Cive and Leviathan need not imply that the first was an independent

62
Thomas Hobbes, Considerations upon the Reputation, Loyalty, Manners, and
Religion, of Thomas Hobbes, English Works, vol. IV (1840), 414.
63
Thomas Hobbes, The Questions Concerning Liberty, Necessity, and Chance,
English Works, vol. V (1841), 453. For the continuity between Leviathan and De Cive,
see also the Prose Life, 250; Considerations, 426; and LV, A Review and Conclusion, p. 727. Hobbess friend, Robert Payne, reported in May 1651 that Much of
his de Cive is translated into Leviathan (Robert Payne Gilbert Sheldon, in Schuhmann, Chronique, 123). By contrast, however, the passage from the second edition of
De Cive quoted earlier, in the section on the work, seems to assimilate the Elements
to De Cive: there, Hobbes mentions writing his political work some few yeares before
the civill Warres did rage, which on its face refers farther back than the November
41 first edition of De Cive.
64
John Aubrey, The Brief Life, in EL(G), 235.

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151

production. His references to the later works carefully specify that they
were books. For instance, after describing the little treatise, he goes
on to report that, later: Being at Paris, he wrote and published his
book De Cive, in Latin; and subsequently, he wrote and published his
Leviathan.65 In similar vein, his Verse Life notes, I published . . . My
Book de Cive.66 Thus he seems to have drawn a modern distinction
between manuscript and print production, and counted only the latter
as publication. This implies that the Elements was a different sort of
work, not that it was an unconnected one. Perhaps Hobbes regarded it
as a draft of De Cive, which his patron had wanted to have circulated,
precipitously, in the spring of 1640.
Hobbes further contributed to confusion about the relationship
between the texts by a tendency to characterize Leviathan in terms of
its new material, in particular the expanded treatment of ecclesiology
and theology. His Prose Life (in which he refers to himself in the
third person) explains:
In that work he described the right of kings in both spiritual and temporal terms, using both reason and the authority of sacred scripture . . . He
hoped that this work might convince his countrymen, especially those
who had rejected the episcopacy, of its truth. He also wished at the same
time to deal with theological matters in the text.67

Accurate as the statement is to the addition of the third and fourth

parts of the work, it nevertheless ignores the first two parts, not only
material carried over from the earlier texts but also the addition of the
authorization conception of the political covenant and seven chapters
on political subjects. We may surmise that the statement reflects what
was at the forefront of Hobbess mind as he completed Leviathan (or
as he looked back upon it). But the selective stress on (only some) of
the works novelty makes such characterization misleading as a statement about the content and intent of the work overall.
Let us turn, now, to the texts themselves. How did the process
of serial composition play out? Changes need to be tracked at two
levelsthe macro sweep of major changes in structure and subject
matter, and the micro evolution of specific arguments. Below,

65

Hobbes, Considerations, 415; see also 426.

Hobbes, Verse Life, 258. See, too, Prose Life, 247 (a short book . . . De Cive)
and 250 (the books Leviathan and De Cive).
67
Hobbes, Prose Life, 248. See also Six Lessons, 335.
66

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I present illustrative comparisons of both sorts. For macro comparisons, Appendices I and II provide annotated outlines of the chapter
organizations of the Elements, De Cive, and Leviathan. Appendix I
shows the relationship between the first twelve chapters of Leviathan
and chapters two through thirteen of The Elements of Law; these are
chapters on human nature and knowledge that do not appear in De
Cive. Overall, it shows substantial, but hardly complete, continuity in
organization. A major change is the transformation of a section in the
Elements (Of the Faculties Motive), covering three chapters (79),
into a single omnibus chapter in Leviathan on the passions, which
included moving some material elsewhere. There are also changes in
chapter contents, which do not show up at this level of abstraction.
For instance, the consolidation of the treatment of the passions in
chapter six of Leviathan is accompanied by extensive reorganization
and revision in the list of specific passions. Also, curiously, the title of
chapter eight of that work, Of the Vertues, commonly called Intellectuall, and their contrary Defects, is accurate to the organization of
the parallel chapter in the Elements (ten), which counterposes virtues
and their opposing defects; however this format is not actually used
in the Leviathan chapter. Chapters eleven of Leviathan and thirteen in
the Elements have the same topicnamely, social relationshipsbut
different titles and different material.
Appendix II outlines comparison of all three works, starting where
De Cive picks up with the state of nature chapter. This appendix
emphasizes illustrative parallels so as to show the substantial continuity between the works, while also noting some instances of reorganization. Like Appendix I, changes in chapter contents do not appear at
this level of abstraction. The most obvious change overall is of course
the great expansion in the treatment of religious topics in Leviathan,
which begins on a modest scale in De Cive. There is also Leviathans
added chapter on authorization (16) and the Review and Conclusion,
with its much-debated endorsement of de facto authority. Less often
remarked, but clearly important to the subject matter, is the addition
of the seven chapters in Part II that treat the art of ruling, subjects
liberty, and criminal justice.
Next, by way of illustrating how the process of serial composition played out at the level of specific arguments, Table 1 presents a
micro comparison of the parallel chapters on the state of nature; it
charts significant changes and developments through the three versions. The most notable change is the transfer of discussion of natural

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153

Table 1: Developments in the State of Nature Chapters

Elements of Law

De Cive

De Cive, 2nd ed.

Ch. 14. Of the Estate Ch. 1. Of the State

and Right of nature of men without
civill society
2: Origin of lasting Annotation
societies: not good regarding mutual
will but mutual fear. fear, with examples
of fearful behavior
within organized
society (which
parallel The
Authors Preface to
the Reader)68

Leviathan
Ch. 13. Of the Naturall
Condition of Mankind . . .

10: examples repeated

610: natural right

711: natural right Annotation

regarding the state
of nature; absence
of injury and
injustice there

[natural right: moved to

ch. 14]
13: nothing unjust in
war of all; no property

11: state of war

deduced: in the
state of nature to
the offensiveness of
mans nature . . . there
is added a right of
every man to every
thing

12: deduction of
the natural state of
war: If now to this
naturall proclivity
of men, to hurt each
other . . . You adde,
the right of all
to all

68: war of all deduced

from three principall
causes of quarrel in
human nature; no
mention of natural right

10: confirmation from

experience of this
Inference, made from the
Passions, with examples
that echo the 1647 De
Cive, Authors Preface
to the Reader and
annotation to ch. 1 2

68

Hobbes, DC, The Authors Preface to the Reader, pp. 3233.

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right from this to the following chapter in Leviathan, which has the
effect of deleting natural right from the logical deduction that a state
of nature would be a state of war. The table also shows how the arguments progressively evolved through the several versions, with several
additions in Leviathan originating in annotations to the second edition of De Cive.
Hobbess Way of Writing
We know that the texts evolved in this sort of way due to Hobbess
way of writing, which consisted, as Aubrey recorded about Leviathan,
in jotting down notes as he walked and subsequently fitting them into
an existing outline. Although Aubreys report specifically refers to
Leviathan, the method is also evident in De Cive, most obviously in
the insertion of annotations in the second edition. It further complicated matters that Hobbess framework was unstable: while inserting
points and arguments, he also very often engaged in moving existing
ones around. Altogether, the technique produced a distinctive kind of
work, which has been described as a juxtaposition, in a certain order,
of pages written at different times rather than a coherent, continuously composed treatise.69
The unit is frequently a topical block of several paragraphs, which
expand and/or otherwise change shape and content between the several works. The treatment of madness in the Elements and Leviathan
is illustrative. Chapter 10 in the first work, concerning differences
between men in their discerning faculty, has three paragraphs on
the subject, first defining it (9: some imagination of such predominance above all the rest, that we have no passion but from it)70 and
then offering examples (1011). Leviathan, chapter 8 (on intellectual
virtues and defects), opens discussion of madness with a parallel definition (16: stronger, and more vehement Passions for any thing)
and attributes it to great vaine-Glory . . . or great Dejection of mind,
as had the Elements.71 But, while chapter 10 of the Elements concludes
after the third paragraph on madness, in Leviathan Hobbes expands

69

Jacquot et Jones, Introduction to Critique du De Mundo, by Hobbes, 79. See,

too, Rogers and Schuhmann, Introduction, 18.
70
Hobbes, EL(G), 10.9, p. 63.
71
Hobbes, LV, 8, pp. 13940.

hobbes interpretation

155

the discussion by adding paragraphs on rage, melancholy, madness in

multitudes (the Seditious roaring of a trouble Nation), etc.72 Making the evolution even more convoluted, one of these paragraphs, on
spirits and phantasms, relates to discussions in subsequent chapters of
both works on the idea of incorporeal bodies.73
The process could have benign effect, as it does in the discussion
of madness. It could even be helpful when, occasionally, Hobbes used
revision to fix problems. A well-known example of this concerns the
argument for absolutism. In the Elements, defending the proposition
that sovereignty is necessarily unconditional, he asserted that all forms
of government originate as democracies: since sovereignty is necessarily unconditional in democracies, it must be so in all successive forms
of government.74 However, he must have been uncomfortable with so
prioritizing democracy: the discussion is dropped from Leviathan and
the entire chapter dismantled, with its material distributed among several others (see Appendix II regarding the Elements, chapter 21).
Yet, as one would expect, his writing method also produced discrepancies and inconsistencies. Consider, in the most notable of instances,
his several accounts of the political covenant (Table 2). The first
account is vague with respect to the identity of the parties to the contract, while De Cives version adds the specifications that the parties
are the incipient subjects and what they promise is nonresistance.75 In
Leviathan, famously, Hobbes adds the further idea that subjects authorize the sovereigns actions.
The evolution creates dual rationales for unconditional sovereignty
in that work. Either sovereignty is unconditional because the sovereign is not party to the covenant or this is so due to the authorization relationship that ties subjects to the sovereign.76 On the one hand,
Leviathans account fills in a lacuna in the earlier versionnamely the
possibility that subjects might jointly decide to depose a ruler.77 Yet,
on the other hand, the two accounts also give inconsistent pictures

72

Hobbes, LV, 8, pp. 14045 (quotation appears on p. 141).

Hobbes, LV, 8, p. 143; cf. EL(G), 11.67, pp. 6668, and LV, 12, pp. 17071.
74
Hobbes, EL(G), 21.12, pp. 11819. See DC, 7.5, p. 109.
75
In the Elements, nonresistance is specified several paragraphs later (Hobbes,
EL(G), 19.10, p. 107), but the specification of a covenant solely among the subjects is
attached specifically to democracy (21.2, p. 119).
76
Hobbes, LV, 18, pp. 230, 232.
77
See DC, 6.20, p. 105.
73

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chapter six
Table 2: Comparison of the Three Covenant Passages

The Elements of Law

De Cive

Leviathan

Ch. 19. Of the Necessity Ch. 5. Of the causes,

and Definition of a
and first Originall, of
Body Politic
civill Government

Ch. 17. Of the Causes,

Generation, and Definition
of a Common-wealth

7: The making of
union consisteth in
this, that every man by
covenant oblige himself
to some one and the
same man, or so some
one and the same
council, by them all
named and determined,
to do those actions,
which the said man or
council shall command
them to do; and to do
no action which he or
they shall forbid, or
command them not
to do.

13: The only way to

erect such a Common
Power . . . is . . . to appoint
one man, or Assembly of
men, to beare their Person;
and every one to owne,
and acknowledge himselfe
to be Author of whatsoever
he that so beareth their
Person, shall Act, or cause
to be Acted.

7: This submission
of the wils of all those
men to the will of one
man, or one Counsell,
is then made, when
each one of them
obligeth himself by
contract to every one
of the rest, not to
resist the will of that
one man, or counsell,
to which he hath
submitted himselfe.

of the relationship between ruler and ruled: in De Cives version subjects have merely not to interfere with government, whereas Leviathan
actively implicates them in its actions. Thus the addition complicates
Hobbess defense of absolutism, since side-by-side in Leviathan now
stand the early no contract/nonresistance formulation and the later
authorization logic. It is a major example of the way in which his writing process could turn developmental inconsistencies between works
into internal inconsistencies within, in particular, Leviathan.
Such layers of argumentation have created interpretive disputes
about even the most essential aspects of Hobbism. Recall the debates
concerning religion and de facto authority that I briefly noted at the
start, and consider the extent to which they turn on textual issues.
Parts III and IV of Leviathan have received sustained attention over
the past several decadesattention that extends, in fact, even into
questioning the usual emphasis on Hobbess secular political topics.
Religion, Jeffrey Collins claims in The Allegiance of Thomas Hobbes,
was more than a discrete subject in Leviathan: conventional scholarship on Hobbes has failed . . . to grasp the fundamentally religious

hobbes interpretation

157

nature of the Hobbesian project.78 The claim has an obvious textual

dimension since the Elements devotes only two of twenty-nine chapters to theology and ecclesiology (see Appendix II). As he must, Collins
separates Leviathan from that work, which he accomplishes by distinguishing dynamic from static elements of the theory and emphasizing the former. Furthermore, he orphans the Elements and groups
De Cive with Leviathan:
It is certainly true that De Cive, the Elements, and indeed Leviathan contain broadly similar discussions of familiar Hobbesian docrines: the state
of nature, natural rights, contracted sovereignty, the dangers of mixed
constitutions, and so forth. These are generally static features of Hobbess
political thought, and only their small details evolved during the course
of the English Revolution. However, De Cive contained entirely new and
extensive theoretical discussion on the proper relationship between temporal and spiritual authorities . . . [T]he expansion of religious theorizing
in the . . . work is so considerable as to constitute a difference in kind,
not just degree.79

Much hinges on his definition of the relevant corpus. The substantive thesis crumbles if one rejects Collinss view of the relationship
between the core political-theory texts: if the three are related as a
single project, in which religion is originally treated as a minor topic,
then it cannot be accurate to characterize Leviathan as a fundamentally religious work.
Collinss thesis addresses an interpretive thicket initiated by a series
of articles by Richard Tuck on Hobbesian ecclesiology. Tuck portrayed
De Cive, not the Elements, as aberrant. He contrasted chapter seventeen of De Civein which Hobbes states that the sovereign is obligd
as a Christian . . . to interpret the Holy Scriptures by Clergy-men lawfully ordaind80with Leviathans assertion that the sovereign possesses complete ecclesiastical authority. From this, he concluded that
Hobbes must himself have believed that to a great extent [Leviathan]
had superceded De Cive.81 But, in turn, Glenn Burgess and Johann

78
Collins, Allegiance, 4. A similar claim was made by A. P. Martinich, The Two
Gods of Leviathan: Thomas Hobbes on Religion and Politics (Cambridge: Cambridge
University Press, 1992).
79
Collins, Allegiance, 6162, see too 69.
80
Hobbes, DC, 17.28, p. 249.
81
Richard Tuck, Warrenders De Cive, Political Studies 33 (1985): 3134 (quotation appears on p. 313; emphasis mine); and Hobbes (Oxford: Oxford University
Press, 1989), 2731, 7374, 8391.

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chapter six

Sommerville challenged Tucks account of Hobbesian ecclesiology and,

along with it, his account of the relationship between the texts. They
argued that any differences on the subject between the De Cive and
Leviathan are superficial; and Sommerville downplayed that passage in
chapter seventeen of De Cive as an aberration within the work.82 These
interpreters basically hold different views on the relationship between
the several texts and differ in emphasizing one or another argument
within them. Their disagreement reflects more than the horizons they
bring to interpretation: it is rooted in the complexity of the texts
themselves.
Hobbess defense of de facto authority in Leviathans Review and
Conclusion has been much debated since Quentin Skinners classic
1972 article on the subject, Conquest and Consent: Thomas Hobbes
and the Engagement Controversy.83 Here, seemingly, the issue is the
relationship of new material to the contract theory developed in the earlier works and central in the body of Leviathan. Tuck opts for the view
that the de facto argument represented a simple about-face.84 Hoekstra
(as quoted in the introduction) thinks the argument was simply one
among several inconsistent positions that Hobbes endorsed throughout the several versions.85 In essence, one side sees the defense of de
facto authority as a novelty of Leviathan, whereas the other frames it as
simply an extension of his familiar account of sovereignty by acquisition. Here again, a substantive dispute involves a root disagreement
over continuity and innovation, which in turn hinges on relating and
weighting passages within the evolving series of texts.
Let us return to the general problem, as framed by Nauta and Hoekstra: How should the relationship between Hobbess political-theory
texts be understood, given their evident discrepancies and inconsistencies? The evidence in Appendices I and II, as well as the several
tables above, supports the general view that the three political-theory
82
Glenn Burgess, On Hobbesian Resistance Theory, Political Studies 42 (1994),
p. 76, n. 65. Sommerville, Hobbes, 125; see generally 11927.
83
Quentin Skinner, Conquest and Consent: Thomas Hobbes and the Engagement Controversy, in The Interregnum: The Quest for Settlement 16461660, ed.
G. E. Aylmer (London: Macmillan, 1972), 7998. Skinner has, however, come to a
different view on this subject: see Thomas Hobbes on the Proper Signification of
Liberty, Transactions of the Royal Historical Society, 5th ser., 40 (1990): 145 n. 155;
and Hobbes and Republican Liberty, ch. 6.
84
Richard Tuck, Introduction to Leviathan by Thomas Hobbes (Cambridge:
Cambridge University Press, 1991), ix.
85
See also Hoekstra, De Facto Turn, 46.

hobbes interpretation

159

texts are related and continuous, which as I have said is widely held.
Yet the evidence suggests we need to think about continuity in a new
way. Nauta and Hoekstra, much as they otherwise differ, accept the
common equation of continuity with consistency and discontinuity
with inconsistency. (Nauta writes, There is no fundamental reversal
or new direction in Hobbess position, but rather a development and
an extension of a line of thinking which is already clearly visible in
the earlier works.86 For his part, Hoekstras purpose in identifying a
thematic doctrine of doctrines is to reveal an underlying consistency
beneath the twists and turns over time in Hobbess argumentation.)
However, Hobbess method of writing actually pulled in a different
direction. His habit of inserting new material into existing discussions
made inconsistency as much or more likely a concomitant of continuity as consistency. Think, for instance, of the evolution of the covenant
passages. They are clearly continuous insofar as Hobbes kept adding
new material to old, but the process resulted in rivalinconsistent
versions of the covenant logic in Leviathan. In his case, continuity
bred inconsistency and contradiction as much as the opposite.
Conclusion
Attention to compositional process cannot, on its own, resolve Hobbisms puzzles, but it can clarify interpretive disputes and make us wary
about the selective use of textual evidence. To frame its import more
specifically, recall the critical queries set out at the end of the introduction. How, to start with the least critical, should understanding
Hobbess compositional process affect evaluation of interpretations?
Can it help us distinguish a better from a worse interpretation? The
process of serial composition makes textual plausibility an important
criterion of interpretation. Interpreters need to be careful, in the first
instance, that claims about and characterizations of Hobbess political
theory are plausible in terms of the facts of composition and chronology. For example, a strong claim that Hobbess political theory is
fundamentally religious is implausible, given the sparing treatment of
religion in the Elements. Although a necessary condition of good interpretation, textual plausibility cannot be a sufficient condition since it is

86

Nauta, Hobbes on Religion, 594.

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chapter six

possible for a textually plausible interpretive thesis to be ill-considered

or erroneous in other dimensions.
Textual specificity is an antidote to the radical sceptics worry
about the instabilitythe opennessof the textual embodiment of
Hobbess political theory. On the one hand, as we have seen, the theorys textual embodiment cannot be defined or circumscribed in the
abstract and, in this sense, the sceptic is correct that it is a matter of
interpretive construction just as much as is the construction of meaning. On the other hand, the textual embodiment can be settled, at least
to a reasonable degree, with respect to specific arguments. While it
may seem implausible to describe Hobbess political theory as fundamentally religious, it is credible to describe religion as a key dynamic
theme in De Cive and Leviathan. Specificity pertains to claims about
Hobbess intentions as well as descriptions of his theory. McKenzie
cautions us that the practice of serial composition, especially when
it results in layered, complex works, makes general statements about
intentionality inherently suspect.87
However, could we not ignore the compositional process and get
on with studying the arguments themselves? The mistake in this third
critical query is to oppose process to substance. In the numerous cases
in which Hobbess arguments evolved over time, no such thing as an
argument on a subject exists.88 Furthermore, given his habit of layering
new formulations on top of old, we have seen how multiple accounts
can subsist within a single text. For such complex works, Hoekstras
criticism of philosophical interpretation is apt: it is an error to
identify one or another strand as Hobbess definitive view. Rather,
these are better regarded, as Love advised for serial compositions generally, as arguments that augment one another in the fashion of variations on a theme. For these reasons, textual archaeologymeaning
study of the process of compositionis a necessary aspect of interpretive work.
As matters now stand in Hobbes studies, however, textual archaeology is hampered by the lack of a multiple-text edition. Most desirable
would be one that reproducesside by side, section by sectionThe
Elements of Law, De Cive, Leviathan, and even salient portions of the

87

See McKenzie, Sociology of Texts, 3637.

Quentin Skinner makes this argument with regard to Hobbess discussions of
liberty in Hobbes and Republican Liberty, xvxvi.
88

hobbes interpretation

161

Latin Leviathan, De Corpore and De Homine. The closest approximations are marginal references in some editions, narrative comparisons,
and charts showing chapter comparisons.89 But these are difficult to
follow or offer inadequate information, which leaves scholars needing to work out comparisons again and again in ad hoc fashion. A
multiple-text edition would facilitate our analysis of the evolution of
particular arguments and support systematic overviews of the larger
sweep of changes through the multiple texts.
On a continuum of textual difficulty, Hobbess political theory
stands at the farther extreme away from the simpler texts produced by
present-day compositional practices. He complicated the early-modern process of serial composition by the way in which he went about
inserting new material and moving old around. Still, the standards
that can help us make sense of the impact of process on his political
theorytextual plausibility, specificity, and the need for textual archaeologyare more generally applicable. Interpretations ought always
to be textually plausible, specific, and to take into account developments in an authors thinking. Otherwise, as Gadamer taught us,
we risk eliminating the horizon of the text from the interpretive
enterprise.90

89
Warrenders editions of the English and Latin De Cives give marginal references
to parallels in the Elements and Leviathan; Rogers and Schuhmann, Introduction,
and Schuhmann, Leviathan and De Cive, provide narrative comparisons; Gaskins
edition of the Elements charts chapter comparisons with De Corpore as well as the two
other political works.
90
Hans-Georg Gadamer, Truth and Method, trans. ed. by Garrett Barden and John
Cumming (London: Sheed & Ward, 1975).

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chapter six
Appendix I
Chapter Parallels, Leviathan 112 and
The Elements of Law, 213*

Leviathan, Part I: Of Man

The Elements of Law, Part I: Human

Nature

1. Sense

2. Cause of Sense

2. Imagination

3. Imagination . . .

3. [T]he Train of Imaginations

4. Discursion of the Mind

4. Speech

5. Discourse of the Tongue

5. Reason and Science

6. Knowledge . . .
1 & 4. definition of science

6. Passions
[10. Of Power, Worth, Dignity,
Honour]

: Faculties Motive
7. Delight and Pain; Good and Evil
8. Pleasures of the Sense; Honour
9. Passions of the Mind

7. [T]he Ends . . . of Discourse

[6.68]

8. [Intellectual] Vertues . . . [and]

Defects

10. Difference[s] . . . in Discerning

faculty

9. Knowledge

[6. Knowledge . . .]

10. Power . . . Honour . . .

4954: deliberation; will; voluntary
action

[8.5. honour]
12. . . . by Deliberation proceed
Actions

11. Difference of Manners

13. How . . . Men Work [on] others

Minds

12. Of Religion

[11. Imagination . . . [at] things

Supernatural]

* Chapter titles are abbreviated. Bracketed italicized references indicate changes in

organization. In the construction of the appendices, the Gaskin edition of the ElementsEL(G)has been augmented by the 1928 Tnnies edition (EL(T)).

hobbes interpretation

163

Appendix II
Outline of The Elements of Law, Chapters 1429, De Cive,
Chapters 118, and Leviathan, Chapters 1331, 3943,
including illustrative parallels*
The Elements of Law

De Cive

Leviathan

Part I (cont.)

Liberty

Part I (cont.)

14. Estate and Right of

Nature

1. State of men without 13. Naturall Condition of

civill Society
Mankind

15. Divesting Natural

Right

2. Law of Nature
concerning contracts

14. Naturall Lawes, and of

Contract

16. Some Laws of

Nature
1: perform covenants

3. Other Lawes of
nature
12: perform
covenants

15. Other Lawes of Nature

13: acknowledge
equality

21: acknowledge equality

17. Other Laws of

Nature
1: acknowledge
equality

1: perform covenants

18. Confirmation . . . out 4. Law of nature is a

of the Word of God
divine Law
16. Persons, Authors . . .
19. Definition of a
Body Politic

Empire

Part II: Common-wealth

5. First Originall, of
civill government

17. Definition of a
Commonwealth

Part II: De Corpore

Politico
20. Constitution of a
Commonwealth
specific rights of
sovereignty

6. Right of him . . . who 18. Rights of Soveraignes

[has] supreme authority by Institution
35: political covenant
precludes accountability
specific rights of
615: specific rights of
sovereignty
sovereignty

21. Three Sorts of

Commonwealth

7. Three kindes of
Government

Subjects moved to chapters

16, 18, and 21.
[Ch. 19 appears below.]

164

chapter six

Appendix II (cont.)
The Elements of Law

De Cive

22. Power of Masters

23. Power of Fathers,
and of Patrimonial
Kingdom
3: preservation basis
of rightful dominion

8. Right [of] Lords and 20. Of Dominion

Masters
Paternall, and Despoticall
9. Rights [of]
Parents . . . and
Kingdome Paternall
4: preservation
5: Preservation implies
promise of obedience

[Ch. 21.1216:
discharge of subjection]

[Ch. 7.18: release from

subjection]

24. Incommodities of
10. Comparison of
Several Government[s] the three kinds of
government

Leviathan

21. Liberty of Subjects

2125: releases from
subjection
[19. Severall Kinds of
Common-wealth]

11. Scripture
[20. 1617]
concerning the right of
government
2225, 2728: Subject
Systems; Public
Ministers; Nutrition
and Procreation of
a Commonwealth;
Counsell; Crimes;
Punishments and
Rewards
[Ch. 26 appears below.]
2526. Decision[s]
[on] Religion Depend
on the Sovereign
Power
27. Causes of Rebellion 12. Causes which
dissolve all civill
government

29. Things [tending]

to Dissolution of a
Commonwealth

28. Duty of them

13. Duties of those
[with] Sovereign Power men . . . at the Helm of
State

30. Office of the Soveraign

Representative

29. Nature/Kinds of
Laws

[26. Civill Lawes]

14. Lawes, and Sinnes

[Ch. 31 appears below.]

hobbes interpretation

165

Appendix II (cont.)
The Elements of Law

De Cive

Leviathan

Religion

Part III: Christian

Commonwealth
Chs. 3238

1517. Gods
government by nature;
old Covenant; new
Covenant

31, 4042. Kingdome

of God by Nature;
in Abraham [etc.];
Blessed Savior; Power
Ecclesiastical
[39. Signification of the
word Church]

17.1921: nature of a
Church

18. Things necessary for 43. What is Necessary for

entrance into Heaven
Reception into Heaven
Part IV. Kingdome of
Darkness
Review and Conclusion
* Chapter and section titles are abbreviated. Bracketed italicized references indicate
reorganization of material; new material is denoted in bold.

AFTERWORD

CHAPTER SEVEN

AFTERWORD: THEORISTS OF THE ABSOLUTIST STATE

Bayle and Hume, as did Bodin, Grotius, and Hobbes,
take it for granted that a thinker must defend,
above all, the notion of the sovereignty of a state . . .
Absolute sovereigntynot absolute monarchycombined with a government which upheld the public
religion, and which tolerated certain minorities, was
thus a presumed condition of the well-managed and
peaceful state.
Sally Jenkinson, Bayle and Hume on Monarchy,
Scepticism, and Forms of Government

A focus on the social-contract tradition obscures a coherent line of

thought that linked Hobbes (but decidedly not Locke) with Bodin and
Grotius and that even has affinities with the outlook of the contractarians best-known critic. This line of thinking could encompass Hume
because it was defined by shared political concerns and goals rather
than by a shared idiom for talking about politics or shared ideas about
the desirable form of government. These thinkers held in common the
conviction that only a strong state could resolve the religious conflicts
that characterized their post-Reformation societies.
Although it can be described as the intellectual arm of early-modern state-building in northern Europe, we lack a handy term for the
group. Nineteenth-century thinkers used the term absolutist as a label
to describe this stage in state-building by virtue of its characteristic
projects of centralization and unification, but absolutism in the sense
of unified and unconditional rule was defended only by Hobbes.1
For the same reason, the group cannot be labeled with the negative
term, antirepublican, since all but Hobbes admitted at least the

1
For a history of the term absolutist, beginning with its usage by Hegels successor at the University of Berlin, see Istvan Hont, Jealousy of Trade: International
Competition and the Nation-State in Historical Perspective (Cambridge, Mass.: Harvard University Press/Belknap, 2005), 45960. See also Nicholas Henshall, The Myth
of Absolutism: Change & Continuity in Early Modern European Monarchy (London:
Longman, 1992), ch. 1.

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chapter seven

possibility of mixed government.2 Their theories shared ideas with the

Machiavellian-Tacitist reason of state tradition but in various respects
also differed from it, notably in Grotiuss and Hobbess use of the language of natural jurisprudence.3 On a present-day political map, they
might be labeled conservative, but they were hardly so in the period;
to the contrary, their theories attacked inherited political forms and
did so using novel secular reasoning.
Lacking a better label, I will simply term them theorists of the absolutist state in view of their shared preoccupation with the historical
tasks that we now define as characteristic of early-modern European
state-building. Although a broad (and anachronistic) category, it has
the advantage of directing attention to the political project they had
in common. They were theorists of the absolutist state in the sense
that they saw construction of a strong state, capable in particular of
controlling religious conflict, as the central problem of their societies.4
The upshot of defining a Bodinian-Grotian-Hobbesian tradition in
this way is a midrange interpretive focus, leveled somewhere between
foundational philosophic assumptions and current political events. To
be sure, all three were caught up in the politics of their day and, to
varying degree, they attempted to offer philosophical foundations for
their arguments, but they were also engaged in something more fundamental than the former and more worldly than the latter: they were
abetting a transformation in the structure of their societies.
Is the trail of influence that links the three thinkers (which was
detailed in chapter four) sufficient to warrant labeling theirs a tradition?5 If traditions are defined by a shared idiom, as is the case for

2
As the editors of the volume, Monarchisms in the Age of Enlightenment, point
out, classic republicanism included a monarchic element (Hans Blom, John Christian
Laursen and Luisa Simonutti, ed., Monarchisms in the Age of Enlightenment: Liberty,
Patriotism, and the Common Good [Toronto: University of Toronto Press, 2007], 6).
3
Cf. Noel Malcolm, Reason of State, Propaganda, and the Thirty Years War: An
Unknown Translation by Thomas Hobbes (Oxford: Clarendon Press, 2007), ch. 6, esp.
11819, and Istvan Hont, Jealousy of Trade, chs. 1 and 7.
4
See Preston King, The Ideology of Order: A Comparative Analysis of Jean Bodin
and Thomas Hobbes (New York: Barnes & Noble, 1974), for a definition of absolutism in terms of movement towards centralization as opposed to its accomplishment,
8384.
5
It has seemed so to Quentin Skinner: [T]wo main traditions of absolutist political philosophy had become established by the close of the sixteenth century. One
of these was the providentialist tradition, later associated in particular with Filmer in
England and Bossuet in France. The other was the more rationalist tradition stemming
from Bodin and the neo-Thomists, and reaching its climax in the natural-law systems

afterword

171

contract theory, they do not. While essays in this volume have noted
two other typical features of early-modern contract theoriesnamely,
a tendency to combine voluntarist and nonvoluntarist claims (chapter
four) and a preoccupation with the subject of resistance (chapters one
and two), in other respectsvisions of the best form of government
most notablycontract theories were all over the board. As well as
using different philosophical styles and idioms, Bodin, Grotius, and
Hobbes also disagreed about forms of government. What they shared,
instead, was an understanding of the state, its tasks and place in human
life.6 Conceptualized as the basis of a tradition, this understanding
provides a context in which to locate and compare their discussions
of local political issues and events, and it facilitates comparisons, more
broadly, with other theories of similar outlook. Jenkinsons comment,
quoted initially, picks out the two defining themes of the tradition:
a concern with state sovereignty and a fear of religious civil war. To
these I will add below: secularism; quasi-normativity, meaning a
habit of blending descriptive and prescriptive statements; and, lastly,
a sensibility best described as the absolutism of fear.
Bodins Rpublique earned a place in the canonical history of ideas
for the single idea that an ultimate authority, accountable only to God,
is a necessary feature of the state as a political unit. Soueraigntie, he
wrote, is the most high, absolute, and perpetuall power ouer the citisens and subiects in a Commonweale; the prince or people themselues, in whome the Soueraigntie resteth, are to giue account vnto none,
but to the immortall God alone.7 Just so, Grotius echoed, sovereign
power is That power . . . whose actions are not subject to the legal control of another, so that they cannot be rendered void by the operation
of another human will.8 And Hobbes in turn declared that In every
perfect City . . . there is a Supreme power in some one, greater then
which cannot by Right be conferrd by men . . . that power . . . we call

of Grotius and Pufendorf. John Locke in the Two Treatises of Government may be
said to have mounted the definitive attack on both these traditions (Foundations of
Modern Political Thought, Vol. II, The Age of Reformation [Cambridge: Cambridge
University Press, 1978], 347).
6
In the Conclusion of Foundations, vol. II, Skinner discusses the emergence, by the
early seventeenth century, of a focus on a concept of the State (34958).
7
Bodin, SB, I.viii, pp. 84, 86. See the discussion of Bodinian Absolutism in chapter 4.
8
Grotius, DJB, I.iii.7, p. 102. See chapter 4, above, on Grotian Contractarianism.

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chapter seven

ABSOLUTE.9 However plausible or implausible, it was a timely idea

that reflected and rationalized the centralization of political authority,
which we characterize retrospectively as the key feature of earlymodern state-building in Europe. It entailed, on the ground, a changed
conception of rulers authority: in a feudal political landscape, rulers
were primus inter pares and were seen, as all political actors were, as
possessors of a set of rights and prerogatives. But as multilayered,
decentralized feudal polities turned into unitary nation-states, rulers
authority came to be thought of as more unitary and abstract, more
potential, as it were.10 Bodin gave early-modern philosophers a language for conceptualizing the change.
Religious civil war was the problem for which absolutism was the
solution. It was a matter of personal experience for these men, as it
was for subjects across Europe. The backdrop to the absolutism of the
Rpublique was the massacre of Huguenot leaders on St. Bartholomews
Day in 1572, to which Bodin was witness. Forty-six years later, Grotius
came close to execution when his side lost in a 1618 Dutch coup that
was brought on by intra-Protestant strife.11 For his part, Hobbes often
thought he was in personal danger and famously bragged that he was
the first of all that fled the Civil War (almost two years before its
start), a conflict which he attributed to the machinations of ambitious ministers and ambitious gentlemen.12 These experiences shine
through in their arguments for absolutismarguments, specifically,
against resistance to established authority and divided sovereignty.
The initial presentation of Hobbess political theory, The Elements of
Law, made plain the salience of absolutism to religious conflict. The
first of two successive chapters on religion in the work, Private Judgments in Controversies of Religion (25), addresses religious grounds
for resistance, which Hobbes tries to nullify and to convince readers,

Hobbes, DC, VI.xiii, p. 97. See the section Hobbesian Contractarian Absolutism in chapter 4.
10
Gianfranco Poggi, The Development of the Modern State: A Sociological Introduction (Stanford: Stanford University Press, 1978), 74.
11
Regarding Bodin, see Skinner, Foundations, vol. II, 28486. Grotius was initially
sentenced to death but this was later reduced to life imprisonment, partly, it must be
said, because he testified against his patron, who was executed (Tuck, Philosophy and
Government, 18184).
12
Considerations upon the Reputation, Loyalty, Manners, and Religion, of Thomas
Hobbes of Malmesbury, English Works of Thomas Hobbes of Malmesbury, ed. Sir William Molesworth, vol. IV [London: J. Bohn, 1840], 414; Thomas Hobbes, Behemoth or
the Long Parliament, ed. F. Tnnies, 2nd ed. (London: Frank Cass, 1969), 23.

afterword

173

instead, That in Christian commonwealths, obedience to God and

man stand well together. The next is titled, That Subjects are not
Bound to Follow the Judgment of any Authorities in Controversies of
Religion which is not Dependent on the Sovereign Power; here, as the
title telegraphs, Hobbes supplies religious arguments against divided
church-state authority.13 Similarly, Bodins Rpublique had had the
immediate ideological purpose of refuting Huguenot resistance theory.14
Also, consistent with their general hostility to divided authority,
all three opposed church claimswhether Calvinist or Catholicto
supreme authority in religious matters, albeit in different ways.15
While they shared a skeptical attitude toward this and other doctrinal claims, they were not in complete agreement on the best route
to civil peace. Bodin urged rulers to tolerate the private exercise of
religion and not to alter established faiths.16 Grotius looked, instead,
for toleration within a public church and paired this with a minimalist
account of religion. Every individual, he held, is judge over his own
religious conviction; the Church itself decides on the faith of the
Church; but nobody has the right to decide on the faith of the Church
inasmuch as it is public, except for him in whose hand and power
all public bodies lie.17 De Jure Belli ac Pacis reduces the absolutely
necessary tenets of religion, which are in the highest degree universal, to the proposition, there is a divinity (I exclude the question of

13
Hobbes, EL(G), Chapters and Table of Contents, pp. 1415. The work contains
only one other chapter on religion, which contrasts with the lengthy treatment of the
subject in Parts III and IV of Leviathan. That third chapter (18) supplies Scriptural
confirmation for the laws of nature that were laid out in the previous two chapters
(p. 10).
14
Julian H. Franklin, Jean Bodin and the Rise of Absolutist Theory (Cambridge:
Cambridge University Press, 1973), 41, 5051; Skinner, Foundations, vol. II, 285:
Given this vision of the frailty of order and the paramount need to maintain it,
Bodin clearly saw his major ideological task . . . as that of attacking and repudiating
the Huguenot theory of resistance, which he had come to regard as the greatest single
threat to the possibility of re-establishing a well-ordered monarchy in France.
15
Bodin, SB, I.9, p. 146; III.2, p. 290; III.3, p. 300.
16
Bodin, SB, IV.7, pp. 53539. See Skinner, Foundations, vol. II, 352.
17
Hugo Grotius, Ordinum Hollandiae ac Westfrisiae Pietas, ed. and trans. Edwin
Rabbie (Leiden: E. J. Brill, 1995), 118, p. 189. See Henk J. M. Nellen, Hugo Grotiuss Political and Scholarly Activities in the Light of his Correspondence, in Property, Piracy and Punishment, ed. Hans W. Blom (Leiden: Brill, 2009): 2526; and Jan
Rohls, Calvinism, Arminianism and Socinianism in the Netherlands until the Synod
of Dort, in Socinianism and Arminianism: Antitrinitarians, Calvinists and Cultural
Exchange in Seventeenth-Century Europe, ed. Martin Mulsow and Jan Rohls (Leiden:
Brill, 2005), 348.

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there being more than one) and that he has a care for the affairs of
men.18 Hobbes defended another version of religious minimalism as
well as the authority of the state over religion. He told fellow subjects,
All that is necessary to Salvation, is contained in two Vertues, Faith
in Christ, and Obedience to Laws; moreover, all that God requires
is a serious Endeavour of obedience.19 By combining this doctrine
with the institution of a state-controlled national church, he further
explained, it is not hard to reconcile our Obedience to God, with our
Obedience to the Civill Soveraign.20
Part and parcel of their preoccupation with religious conflict was
the secularism of their theories. All three were notorious for advancing secular arguments, which opened them to the dangerous charge of
atheism. Grotius was the boldest, proclaiming in the opening pages of
De Jure Belli ac Pacis: What we have been saying would have a degree
of validity even if we should concede that which cannot be conceded
without the utmost wickedness, that there is no God, or that the affairs
of men are of no concern to Him.21 Hobbes burned correspondence,
late in life, from fear of prosecution for heresy, and indeed in 1666 a
parliamentary committee cited Leviathan as exemplary of books as
tend to Atheisme Blasphemy or Prophanenesse or against the Essence
or Attributes of God.22 The political foundation of their secularism
is obscured if we regard their political theories as derivations from
assumptions about individual psychology and morality, as the socialcontract metaphor dictates. Regarding these thinkers as theorists of a

18
Grotius, DJB, II.20.46, p. 513. This was elaborated (though with the exclusion of
polytheism) in terms of four principles that are common to true religion in all ages:
there is one God; who is more exalted than anything we see; who cares for and judges
human affairs, and is the creator of all things (II.20.45, pp. 51011). This material is
discussed in Richard Tucks, Philosophy and Government, 18495.
19
Hobbes, LV, 43, pp. 61011. He summarizes: Whosoever therefore unfeignedly
desireth to fulfill the Commandements of God, or repenteth him truely of his transgressions, or that loveth God with all his heart, and his neighbor as himself, hath all
the Obedience Necessary to his Reception into the Kingdome of God: For if God
should require perfect Innocence, there could no flesh be saved (611).
20
LV, 42, p. 575, and 43, p. 624.
21
DJB, Prolegomena, p. 13.
22
BL MS Harl. 7257 (journal of the House of Commons, 16656), p. 220 (17/[27] Oct.
1666), quoted in Noel Malcolm, General Introduction to Thomas Hobbes, The Correspondence, vol. I (Oxford: Clarendon Press, 1994), xxv. Regarding Bodin, see J. H. M.
Salmon, The French Religious Wars in English Political Thought (Oxford: Clarendon
Press, 1959), 23: he was notorious as a rationalist in his religious opinions and
was represented by Ben Jonson . . . as an atheist fit for the company of Machiavelli.

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175

certain kind of state (or of the state at a certain period in European

history) brings out, instead, the politics behind and embedded in their
arguments. Secularismtogether with the principles of toleration and/
or religious minimalismwas a means to ending religious conflict by
way of transcending it.
A focus on theories of the absolutist state directs attention to political
subjects more generally, in contrast to the preoccupation with individual consent, interest, and obligation that characterizes contract thinking
in our time. Looking at the tradition directs attention, first, to discussions of the state functions and bodies that were key to early-modern
state-buildingprincipally, taxation, the military, and a bureaucracy.
A reading could focus on policy advice in these areas, as opposed to
the formal legalities of absolutism or its philosophical foundations.
Instead of concentrating on absolutisms license for tyrannyand
therefore, as is often done, dismissing absolutism as the least interesting part of these theorieswe need to analyze how the absolutist
state was supposed to work. Consider, for instance, Hobbess views
on succession and governmental transition, which were discussed in
chapters one and three. While these are rarely (if ever) regarded as
important topics in Hobbism, I argue there that he would have to
concur with Humes insistence on their political importance.23 More
attention needs to be given, as well, to the observations about political dynamics that inform discussions of political institutions. Recall,
for example, the parallel Hobbesian and Bodinian generalizations concerning the politics of divided power which were discussed in chapters four and five. Their humanist and jurisprudential languages do
not sound like political science to our ears. But unless these thinkers
were blind state worshippers, which they were not, they must have had
empirical, political grounds for preferring absolutism to accountable
and divided government. For politically-inclined readers like myself,
the theories come alive when we regard them as describing and analyzing politics in a political world very different from our own.
We also need to pay more attention to discussions of international
relations, colonialism, and commerce, in the vein of recent work by
Noel Malcolm and Edward Keene. Malcolm takes on the well-worn
23

David Hume, A Treatise of Human Nature, ed. E. C. Mossner (Harmondsworth,

Middlesex: Penguin/Pelican, 1969), 60414, and Of the Original Contract, in Essays:
Moral, Political, and Literary, ed. E. F. Miller (Indianapolis, Indiana: Liberty Fund,
1987), 48182.

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realist equation of Hobbess state of nature with the relationship

between states. The equation mistakenly assumes, he shows, that
states parallel individuals as agents; in fact, Hobbess theory is guided
solely by the principle of individual self-preservation and lacks a parallel concept of a right/duty of state preservation. Thus, salus populi,
the good of the people in the plural, must be the literal aim of international as well as domestic policy, which way of thinking seriously
limits the occasions for just war.24 To what extent, one might ask, is
this characteristic of early-modern absolutist theory more generally?25
Keenes work on Grotius on international relations and colonialism
(Beyond the Anarchical Society, 2002) is similarly provocative. As the
colonial relationship of Europeans to non-Europeans evolved in the
early-modern period, he argues, it instantiated Grotian principles of
international relations that were quite different from the Westphalian model of mutually-independent states that came to prevail within
Europe. In particular, a Grotian notion of the divisibility of sovereignty across territorial borders justified colonial relations as involving
a free exchange of legal rights from indigenous leaders to metropole
authorities (including such quasi-public entities as the Dutch East
India Company).26
Last, I want to turn to two less-obvious themes that become apparent by considering theories of the absolutist state as a group: the quasinormativity of their reasoning, and their sensibility, the absolutism of
fear. By quasi-normativity I have in mind the blending of descriptive
and prescriptive statements that earlier (chapter four) I referred to as
prescription by definition. Bodin inaugurated a style of argumentation that employed descriptive statements for prescriptive purpose, as
in the characteristic claim that absolute sovereignty, which is the desirable constitution of political authority, can be identified in every state.
It was a style of argumentation similar to that found in early-modern
reason of state theorizing. Malcolm has observed about the latter that
it straddled the descriptive-normative divide: it was possible both to
say (as Botero did) that rulers generally act out of interest, and to
24
Noel Malcolm, Hobbess Theory of International Relations, in Aspects of Hobbes
(Oxford: Clarendon Press, 2002), esp. 441 and 448.
25
See, e.g., the discussion of the principle of salus populi by Bodin, SB, IV.3, p. 471,
in which a plural formulation is used to describe a moment of danger in Athens: otherwise the Lacedemonians had vndone the citizens together with the citie.
26
Edward Keene, Beyond the Anarchical Society: Grotius, Colonialism and Order in
World Politics (Cambridge: Cambridge University Press, 2002), 82.

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177

suggest that interest constituted some kind of justification for acting.27 Perhaps Bodin learned the style from Machiavelli or others of
the reason of state school; however, where those thinkers used it in
connection with rulers actions, he applied it to constitutional issues.
Once one notices quasi-normativity, it becomes apparent that it
littered the landscape of early-modern political and social philosophizing. In chapter four, I discussed contract theorys peculiar blend
of voluntarist and nonvoluntarist claims, in the form of the typical
assertion that a contract of a particular sort both would and should
be chosen. This, clearly, is a variant of prescription by definition
and, I argued in that chapter, was something Hobbes appears to have
learned from Bodin and which subsequently was passed down to
Rawlsian theory. In this regard, therefore, it may be apt to conclude
that modern contract theory owes one of its most fundamentaland
problematicfeatures to early-modern absolutist and reason-of-state
argumentation. Moreover, the natural jurisprudence of Grotius and
Hobbes had a similar character inasmuch as they derived prescriptive natural law from propositions about human nature universally.28
This is among the points at which there is an affinity between absolutist theory and Humean philosophy, albeit one that Hume missed
(or ignored) by making Lockean contract thinking his foil. Where he
might have noted a parallel between the naturalism of his thinking
and their natural jurisprudence, both being efforts to root philosophical principles in ordinary impulses and experience, he instead concentrated on how alien the contract story was to everyday political
experience.
Many years ago, I framed the idea of viewing early-modern thinkers
as observers on the ground of the development of the state in Western
Europe. It was, I have come to realize, an anachronistic idea insofar
as it presupposed a distinction between observation and prescription.
Clearly these thinkers were innocent of the (Humean) knowledge
that ought cannot be derived from is29 and developed a hybrid in
a number of different forms. It may not be speculating too wildly to

27
Malcolm, Reason of State, 95. I take the term quasi-normativity from this discussion (94).
28
Tuck, Philosophy and Government, esp. 190.
29
Hume, Treatise, 52021. Regarding the contrast between Hobbes and Hume
on the issue, see C. B. Macpherson, The Political Theory of Possessive Individualism:
Hobbes to Locke (London: Oxford University Press, 1962), 8187.

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suggest that it was a style of argumentation suited to the dependence

and powerlessness of many early modern thinkers. How better to
change the world than to convince others that it already (and always)
is as the writer desires it to be?
Judith Shklar taught us about the liberalism of fear, as distinct
from the liberalisms of rights and of property.30 There is what might
be termed an absolutism of fear to be found in some of the theories
covered here. Hobbes, who had a better way with words than most,
put it best:
I [the Philosopher] am one of the common people, and one of that
almost infinite number of men, for whose welfare Kings and other sovereigns were by God ordained: for God made Kings for the people, and
not people for Kings. How shall I be defended from the domineering of
proud and insolent strangers that speak another language, that scorn us,
that seem to make us slaves, or how shall I avoid the destruction that may
arise from the cruelty of factions in a civil war, unless the King . . . have
ready money, upon all occasions, to arm and pay as many soldiers, as for
the present defence, of the peace of the people, shall be necessary? Shall
not I, and you, and every man be undone?31

We find similar sentiments in the Rpublique. Bodin illustrated the

danger of elite conflict with a story (attributed to Plutarch) about a
maid: her suters enter into such a jelousie and passion, as that desiring euerie one of them to haue her to himselfe, they so instead of
louing and embracing of her, most cruelly rent her in peeces amongst
them.32 Like Hobbes, he represented himself as a champion of the
ordinary people, bragging, for instance, about successfully defending
the third estate (the Comminaltie) against the clergy, nobility, and
king in a parliament at Blois in 1576.33

30
Judith N. Shklar, Ordinary Vices (Cambridge, Mass.: Harvard University Press/
Belknap, 1984), 237.
31
Thomas Hobbes, A Dialogue between a Philosopher and a Student of the Common
Laws of England, English Works, vol. VI (1840), 13. I discussed Hobbess version of
this sensibility in Hobbess Political Theory (Cambridge: Cambridge University Press,
1988), ch. 7.
32
Bodin, SB, IV.5, p. 494. A margin note summarized: Contention betwixt great
magistrats or courts, about their power and jurisdicton, alwais vnto the poore subject
hurtfull (III.6, p. 356). See, too, IV.4, p. 476: cities, citisens, and Commonweales, vse
commonly to be for nothing more turmoiled and troubled than by men for the obtaining of offices and honours. Also, SB, IV.7, p. 519: if one shall say, That seditions, and
ciuill warres, are good, hee might also say, that murders, parricides, adulteries, theft,
and the subuersion of estates & Commonweales are also good.
33
Bodin, SB, III.7, pp. 37071. See Franklin, Jean Bodin, 9091.

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179

Inasmuch as Grotius saw a strong state as necessary to control civil

disorder, he shared their sensibility, but in other respects he did not.
It would have been disingenuous for someone who as a young man
wrote briefs for the Dutch East India Company and was a close associate of the leader of the Dutch Republic, and who at the end of his
life served as Swedish ambassador to France, to represent himself as
an ordinary person.34 Nor does his theory fit a model of defensive
absolutism. Where the emphasis on fear plays out in Hobbess theory
in a vision of a state organized to damp conflict at home and provide
defense against attack from abroad, Grotius was intent on justifying a
very different sort of entity, an aggressive state intent on dominating
the race to colonize the outer world.35
When Jenkinson links Hume to the early-modern theorists of the
absolutist state, it is the sensibility behind the absolutism of fear that
she has specifically in mind. As with the theorists of absolute sovereignty, Hume assumes that the first purpose of government is to
secure society from convulsions. More particularly, she elaborates,
Hume continues to feel threatened by the historic memory of Catholic Christendom. In consequence, he continues to emphasize that in
each society there must be an ultimate decision-making authority and
that it must be a civil authority and not a religious authority.36 Beyond
this, Hume was, of course, a thinker of a very different stripe from the
sixteenth- and seventeenth-century absolutists, and a strong state was
more than merely an aspiration in eighteenth-century Britain.37 He
was, if not truly a conservative, at least an establishment thinker, as
could not have been said of the absolutist thinkers:38 they were intent

34
To the contrary, writing De Jure Belli ac Pacis in exile, he describes himself as
undeservedly forced out from my native land and now consigned to study in private
and deprived of the opportunity for public service, which I practised with the utmost
degree of probity of which I was capable (Prolegomena, pp. 2021).
35
This contrast is drawn by Hont, Jealousy of Trade, 1617.
36
Sally Jenkinson, Bayle and Hume on Monarchy, Scepticism, and Forms of Government, in Monarchisms, ed. Blom et al., 69, 71.
37
Nicholas Phillipson discusses Humes awareness of this transformation in Hume
(London: Weidenfeld & Nicolson, 1989), ch. 2.
38
Cf. David Miller, Philosophy and Ideology in Humes Philosophical Thought
(Oxford: Clarendon Press, 1981), who argues in the concluding chapter that Humes
thought had both liberal and conservative features and is better labeled an establishment ideology; and Anthony Quinton, The Politics of Imperfection: The religious
and secular traditions of conservative thought in England from Hooker to Oakeshott
(London: Faber and Faber, 1978), who labels Humes philosophy conservative rationalism (45).

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on changing the common understanding of political authority and

thereby changing the nature of political authority itself.
Of course the absolutism of fear was the very opposite of the
liberalism of fear. In Shklars words, the liberalism of fear concentrates . . . single-mindedly on limited and predictable government
because it begins with the assumption that the power to govern is the
power to inflict fear and cruelty and . . . no amount of benevolence can
ever suffice to protect an unarmed population against them.39 Born
of the experience of religious civil war, the absolutism of fear went
out of fashion when the state became what early-modern absolutists
had wished it to be. A remark by Hobbes in De Cive marks the gap
between the absolutism of fear and the liberalism of fear: Wherefore some Nero or Caligula reigning, no men can undeservedly suffer, but such as are known to him, namely, Courtiers, and such as
are remarkable for some eminent Charge.40 No modern philosopher
could have written that. However, although the object of fear changed,
we nonetheless still think about politics in waysincluding the idea
of the social contractthat were inaugurated by theorists of the absolutist state.

39
40

Shklar, Ordinary Vices, 23839.

Hobbes, DC, X.7, p. 134.

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INDEX
absolutism, 9, 34, 41, 43, 47 n, 76,
8889, 169 n, 170 n, 171172, 17577;
Bodins account of, 55, 76 n, 8487,
88 n, 89, 171, 176; of fear, 171, 176,
17880; Grotiuss account of, 3335,
53, 5758, 8084, 179; Hobbess
discussion of, 810, 13, 23, 37, 40,
54, 56 n, 59, 6366, 7173, 75, 8990,
93, 96, 11921, 12324, 144, 15556;
Hobbess use of Bodin and Grotius,
5556, 58, 7778, 9091, 94, 12122,
124; Lockes critique of, 7, 14, 43, 46,
47 n
accountability of government, 6, 27, 89;
Bodins view of, 60, 171; Grotiuss
treatment of, 30, 3335, 57, 83;
Hobbess discussion of, 813, 37,
58, 6061, 65, 73, 92, 119; Lockes
account of, 19, 4142, 47; and
violence, 2829, 45, 49
Alexander, Sidney, 99 n
Ashcraft, Richard, 14, 39 nn, 43 n, 44
n, 47
Aubrey, John, 116, 126, 136, 14950,
154
Barclay, William, 15
Behemoth, 5, 53 n, 6768, 71 n, 138, 172
Blom, Hans, 170 n
Brett, Annabel, 82
Buchanan, George, 15
Burgess, Glen, 12627, 137 n, 15758
Burke, Edmund, 24
Charles I, 4, 11, 63, 67, 71, 111, 145, 148
Charles II, 14, 148
Civil War, English, 5, 10, 12, 48, 71, 114,
172
Clarendon, Earl of. See Hyde, Edward
Collingwood, R. G., 27 n
Collins, Jeffrey, 15657
constitutional (historical)
contractarianism, 3, 13, 19, 58, 64,
7173, 8083
contractarianism. See constitutional
(historical) contractarianism;
philosophical contractarianism
Cromwell, Oliver, 5, 44, 68

DAddario, Christopher, 14647 n

de Benoist, Alain, 76 n
Declaration of Independence
(American), 20, 2223
deposition, 11, 6162, 71
Dialogue of the Common Laws, 66 n,
67 n, 71 n
Dunn, John, 14, 18 n, 19 n, 47 n
Exclusion Crisis, 14, 66
Filmer, Robert, 25, 170 n
Forbes, Duncan, 22 n
Franklin, Julian H., 24 n, 43 n, 83 n,
86, 88
Gadamer, Hans Georg, 161
Gauthier, David, 54 n
Gerson, Jean, 27, 30
Glorious Revolution, 22, 25, 80
Haakonssen, Knud, 29 n, 31 n
Hampton, Jean, 6, 24, 65 n, 99 n, 101 n
Hoeskstra, Kinch, 13 n, 140, 15860
Hobbes, Thomas. See Behemoth;
Dialogue of the Common Laws
Honig, B., 101
Hont, Istvan, 169 n, 179 n
Hood, F. C., 149
Hpfl, Harro, 7980
Hume, David, 2324, 83, 169, 175, 177,
179; Of the Original Contract,
2021, 23; Of Passive Obedience,
22; A Treatise of Human Nature,
2022, 177
Hyde, Edward, 126 n, 148
James I, 32 n
James II, 14, 1617, 25, 80
Jefferson, Thomas, 2223
Jenkinson, Sally, 169, 171, 179
Keene, Edward, 17576
Kenyon, J. P., 25 n
King, Preston, 87 n, 170 n
Laslett, Peter, 56, 14, 15 n, 19
Laursen, John Christian, 170 n

190

index

Love, Harold, 11314, 14142, 144, 160

Lubienski, Zbigniew, 149
Malcolm, Noel, 105, 108 n, 111 n, 135,
137, 138, 17576, 177 n
Marshall, John, 5 n
McClure, Kirstie, 18, 19 n
McKenzie, D. F., 160
Miller, David, 179 n
Nagel, Thomas, 3
Nauta, Lodi, 13940, 15859
Nenner, Howard, 70
Newcastle, Earl of, 4, 105, 107, 11314,
14445
Norman Conquest, 1213, 53, 58,
6364, 6667, 6970
Parker, Henry, 12 n, 62
Parliament: Convention, 25, 80; Long,
10, 68, 150, 172; Short, 4, 105106,
11314, 117, 121, 138, 144, 150
parliamentary arguments, 12, 170. See
also Parker, Henry
philosophical contractarianism, 3, 19,
53, 65, 94
Plamenatz, John, 47 n, 48
Plumb, J. H., 48
Pocock, J. G. A., 80
Pufendorf, Samuel, 34 n, 38 n, 39 n,
171 n
Rawls, John, 34, 5, 2526, 75, 83, 96 n,
97101, 177
representation: Henry Parkers s view,
12 n, 62; Hobbess account of, 12,
6364, 95
resistance, 41; ancien regime problem,
7, 20, 25, 2728, 45, 171; Bodins view
of, 173; Declaration of Independence
(American), 22; denial of, in Romans
XIII, 28; Grotiuss discussion of,
2930, 3235, 39, 58 n, 60, 61 n, 91 n;
Hobbess arguments against, 8,
3537, 3940, 5961, 90, 172;
Huguenot theory, 1415, 80, 17273;
Humes account of, 2024; James Is
discussion of, 32 n; Jeffersons view
of, 23; Lockes discussion of, 5, 7,

1419, 35, 41, 4345, 4748; Luthers

discussion of, 44 n; private law theory
of, 14, 30, 33, 39, 4345, Pufendorf
on, 34 n
Rhodes, Rosamond, 96 n
Robertson, George Croom, 105106, 149
Rogers, G. A. J., 135, 13839, 14950
Romans XIII, 28
Rous, Francis, 68 n
Rousseau, Jean-Jacques, 26, 75 n, 80,
9698
Salmon, J. H. M., 76 n, 174 n
Sandel, Michael, 98100
Schuhmann, Karl, 135, 13839, 147,
14950
Schwoerer, L. G., 25 n
Serjeantson, Richard, 149 n
Shklar, Judith, 178, 180
Simonutti, Luisa, 170 n
Skinner, Quentin, 14, 18 n, 30 n, 42 n,
44 n, 69 n, 73 n, 7677, 125, 136 n,
158, 160 n, 170 n, 171 n, 173 n
Slaughter, T. P., 25 n
Sommerville, Johann, 4 n, 77, 79 n,
10910, 111 n, 113, 158
sovereignty: defined, 55, 83, 8687, 89,
171; parliamentary, 12, 4647, 62, 71;
popular, 6, 9, 14, 3031, 33, 41, 57,
6465, 67, 97, 120, 124
Stuarts, 5, 25, 62, 64. See also Charles I,
Charles II; James I; James II
succession, 910, 6466, 70, 71, 73, 175
Tarlton, Charles, 15 n
Thompson, Martyn P., 7980
Tnnies, Ferdinand, 112, 143 n
Tuck, Richard, 29 n, 34 n, 57 n, 59 n,
77, 79 n, 105, 110 n, 126 n, 15758,
172 n, 174 n
Tully, James, 18 n
universal reasoning, 34, 58, 71, 79, 83, 90
Williams, David Lay, 75 n
Wood, Gordon S., 2223 n
Wootton, David, 5 n
Zagorin, Perez, 77