| The Purpose |
| The Purpose of Law |
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The purpose of law is to protect and expand freedom. |
| 1. A framework for law |
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This article aims to establish a framework for discussions of law and public policy. To do that it is necessary to understand their purpose, for it is against that purpose that the debate over good and bad law, good and bad policy will range. The current debate is based upon “interests” and “ rights.” It treats interests as the purpose of public policy, so that good policy is policy that responds to and delivers on the interests of groups and organizations. A policy that does that is said to be “responsive.” The trouble is that it isn’t clear why public power should respond to private interests. Is the choice between interests simply a matter of economic and electoral power? Is the “public interest” simply some accumulation of private interests? If so, which ones? Some interests must be preferred over others but without a sense of purpose there is no framework for preferring one set of interests over another. We might assume, for example, that if one group had an interest in destroying the interests of another group, the first group’s interest would not become public policy. But often it does. Why is that? Interests are bounded by rights. So those who would build a highway must compensate the people whose land is taken for the project—the owners have a “right” in their land. But how about the neighboring residents, whose lives will be disrupted by the construction? Don’t the neighborshave a right to the quiet enjoyment of their land? If they do, it is only a sentimental right, for they will not be compensated for the disturbance. Why should that be so? How do we know what rights to recognize? Where do rights begin and end? Are rights simply interests that are more widely accepted by the public? |
| 2. The experience of freedom |
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On its face, freedom does not offer much promise for grounding law and policy. Variously defined as “the condition of being free of restraints” or “the capacity to exercise choice,” the concept seems hopelessly vague and circular. To act as a framework for the public discussion of law and policy, freedom must have a concrete meaning that allows us to identify it with specificity and to determine the conditions that expand and contract it. The purpose of this article is to supply that concrete meaning and to see how it could provide the fulcrum for defining interests and rights. On a strictly sentimental level, freedom is clearly a central part of the rights and interests that animate political debate—rights and interests are important parts of a free society. But that sentimental notion has not generated a framework that makes it possible to distinguish interests that should be implemented from those that should not or to distinguish rights that exist from those that are dreams. Freedom is a universal experience, the experience that each one of us has as we consider the alternative actions that we may take. Its magnitude depends upon the number, range and value of those actions. A person whose choices amount to seven different ways to carry a pile of rocks from here to there does not experience freedom. That person’s freedom will likely be improved by the addition of a few other alternatives, such as the opportunity to confront the person who assigned him the duty to move the rocks. It follows from this that good law expands the number, range and value of alternatives facing the people covered by the law, as those people perceive the alternatives. A political process designed to respond to interests can approximate good law, but only if the public debate over interests recognizes that freedom is the point. Interests unbounded will otherwise institutionalize differences in power rather than the common interest in freedom. The first step in the explication of freedom is to discern what it means to the individual. Then we will move to its meaning in public decisions. |
| 3. The freedom set |
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The experience of freedom can be thought of as a collection of alternatives that a person perceives at any given time—the . freedom set Consider Ted, who has finished the Sunday paper and is thinking over his alternatives for the afternoon. |
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Ted can only do one of these three things. When he chooses one, he must give up all of the others. The “ cost” of his choice is measured by what he had to give up--the value of the alternative he had to forego. If he chooses wisely, he will perceive that the value of the choice he made exceeds the value of any of the other things that he could have done. His afternoon will not have been wasted. |
The freedom set is only half of the story of Ted’s freedom. It is the
subjective part, the part that exists solely within Ted’s
mind. The other part, the “real set,” lives in
the world Ted inhabits. The real set represents those alternatives Ted
has the capacity to bring about, those for which Ted has the “ causal capacity.” Ted, for example, may decide
to visit his grandchildren, yet when he reaches their home it turns out
that his daughter has taken them somewhere. He may wait for them, but
if they do not return his visit will be a failure. In that situation Ted
would have lacked the causal capacity to bring about the event that he
desired. He was simply unable to produce the visit that he wanted, given
his ignorance of their location. Lack of causal capacity can be caused
by lack of skill or knowledge, lack of physical resources, or lack of
strength or health. |
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As he sits at his kitchen table considering his alternatives, for example, Ted may not know there is a pickup touch football game forming in the park two blocks away. If he knew, he might well choose to join it. Until he finds out about it, it is not one of his prospects. Or he may know of it, but have no interest in playing football—not at his age. It is not, for him, one of his prospects. Prospects are particularly important in law, for they provide a coherent basis for compensation. Were Ted to suffer a serious personal injury, for example, he would experiences a drastic reduction in his prospects, in the real portion of his freedom set. He might be able to watch the football game on Sunday afternoon, but the tennis game and the visit to his grandchildren would have been removed from his list of alternatives. And the income he lost while recovering would reduce his resources, erasing any alternatives that required those resources and adding a series of actions necessary to recover from the injury. The concept of prospects provides an objective framework for compensating for the non-monetary losses to the victim’s freedom. Rather than basing compensation on the inherently unknowable value of the pain that he had suffered, a jury could objectively assess the impact of the injury on Ted’s causal capacity. If the injury prevented him from playing tennis, that would be counted as part of his losses. Where pain and suffering is irreducibly subjective, making it a deeply problematic basis for compensation, prospects have an objective dimension that makes assessing and valuing them a meaningful activity. |
Prospects are highly variable. With maturation generally comes a better
match between the freedom set and the real set. The person learns what
he is capable of and what is impossible. The impossible drops, sometimes
painfully, out of his freedom set, but his horizons expand as he realizes
that things that once seemed impossible are now within his grasp. Desires
develop into undreamed of new territory as the person learns to take his
real causal capacity very seriously. |
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“Natural” constraints are the constraints that are not driven by will—gravity, disease, ignorance, decay, and so on. Natural constraints are not legally significant. Viruses, droughts, and gravity are not moral actors; no legal action can be brought against them. But natural constraints that are under the control of a willed actor do support a cause of action, say, against the logger who carelessly felled the tree onto your car. |
| 4. The cause of freedom |
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To say that freedom is caused is simply to say that changes in the world are causally related to the person’s subjective experience of alternatives. It is enhanced by the invention of activities once unimagined, by new medical procedures that preserve capabilities once lost, by education that expands the person’s range of effective action. The person learns to enjoy through exposure to the enjoyment of others, learns to have confidence in her own causal capacity by the guidance of others, learns to seek new ideas and skills. |
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| 5. Protecting freedom |
| Law uses two very different methods to increase freedom. Protecting and expanding freedom are the purpose of each one. |
First, law controls willed constraints by enforcing
rights. Where a
breach of duty threatens to, or actually does,
diminish the prospects of a person, law uses regulatory and
adjudicatory methods to redress the rights thus created. We will take
up this method first. |
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The binary nature of law—the fact that it operates in two quite different ways to enhance freedom—increases the complexity of the story. In what follows I will take up each one and then address the confusion that arises when they are confused with each other. |
| 6. Enforcing rights |
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The rights-enforcement role of law is entirely familiar. Rights, as has been explained elsewhere in this theory, are caused by breaches of duty that either diminish or threaten to diminish the causal capacity of another person. When it enforces rights, the court uses coercion against the wrongdoer on behalf of the victim. The obvious question is, how much coercion is the court justified in using? The wrongdoer has diminished the prospects of the victim. In return, the court will diminish the propects of the wrongdoer. |
Consider the case of a thief who, by stealing a car, has committed a wrong
of moderate severity. The actual severity of the wrong will be dependent
in part on objective factors, like the market value of the car, and part
on the subjective impact it has on the victim’s causal capacity. She may
testify convincingly that the car was of crucial importance to her business,
which has suffered badly without it. The court will assess the wrong to
be at some level, call it level A. |
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The red line is the line of perfect proportionality at which a wrong is matched to its proportional level of coercion. To establish the correct level of remedy the court may take into account the reasons for the thief’s actions and the effect of the penalty. A rich thief, for example, will deserve a greater fine than a poor one if the severity of the penalty is to be perceived to be equivalent. And a thief who shows every sign of being willing to steal again deserves a penalty that will cause him to rethink his impulses. But why must the court respond proportionally to the wrong? The answer to that question is buried deep within human biology, but its basis can be sensed in the fact that the experience of freedom is the same for all. Whether the constraints are caused by a wrongdoer or a judge, they diminish the experience of freedom. We can think of the requirement of proportionality as the law of conservation of human freedom, where the freedom of the wrongdoer stands on the same level of respect with the freedom of the victim. Because of his action, the wrongdoer subject to an appropriate reduction in his freedom, but his capacity for freedom itself is entitled to respect, so only what he yields by his actions should be taken from him. In the Biological Basis of Law the imperative of proportionality is set out as a principle, the principle of greatest liberty: Each person is entitled to the greatest liberty consistent with the same entitlement in all people. The wrongdoer breaches that principle, reducing the liberty by diminishing the prospects of another. That justifies the proportional reduction in the wrongdoers prospects. But that action by law itself creates a risk that the law will breach the principle. Its actions reduce liberty as surely as the wrongdoer’s. The principle of greatest liberty applies to everyone, most definitely to those who use the law to intentionally dim the prospects of wrongdoers. If it is fundamental that no person may diminish the liberty of another, it is doubly fundamental that those whose business it is to diminish the liberty of others are deeply contstrained as they do it. To act within the principle, law must render to the wrongdoer what is due him, and what is due him is a diminution in prospects proportional to the diminution he caused. |
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Both victim and violator are entitled to the greatest liberty. One is favored by law while the other is punished. But that is because of what they have brought upon themselves by their behavior, not because one is more worthy than the other.
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[D1] The purpose of any institution is derived from the purposes that the participants in it have for it. The particular purposes that people have in law run an enormous gamut from using it to dominat
e others, to using it favor one’s class or interest group, to using it to provide services for all. In every case, however, law is being used as an instrument to increase the causal capacity of those whose purposes drive it—which is to say that the purpose that is driving it is freedom, albeit the freedom of the ones in charge. The real question about law is, then, not what it is for—it is for freedom—but rather who it is for—whose freedom is going to count as a driver of law.
[D2] The subjective experience of having a rich and realistic set of alternative actions that one may undertake.
[D3] A right is a formal, legal mechanism that claims that a breach of duty must be redressed. The claim may be set out in a complaint, which, upon presentation to court, triggers the coercive power of the law to bring the one charged with the violation into court to justify his behavior.
[D4] The subjective experience of having a rich and realistic set of alternative actions that one may undertake.
[D5] A right is a formal, legal mechanism that claims that a breach of duty must be redressed. The claim may be set out in a complaint, which, upon presentation to court, triggers the coercive power of the law to bring the one charged with the violation into court to justify his behavior.
[D6] A duty is an obligation to behave in a certain way. Duties are of two sorts: duties that have been undertaken willingly and the duty of care, which is a universal feature of the human mind.
[D7] The subjective experience of having a rich and realistic set of alternative actions that one may undertake.
[D8] The collection of alternative actions that a person perceives himself to have at a particular point in time. The Freedom Set may contain actions that the person has no chance of actually undertaking—in which case the person is loosely connected to reality. The Freedom Set is unlikely to contain all of the actions that an objective observer would conclude the person could achieve either because the person does not value some of those alternatives or is unaware that they are lively possibilities.
[D9] A cost is the value of an alternative that cannot be pursued because of some event—the event that caused the cost. If undertaking one action requires that another cannot be undertaken, the cost of the action is the value of the action that has been sacrificed. This is sometimes referred to as “opportunity cost”—cost measured by the opportunity that has been foreclosed. The more familiar “dollar cost” is a particular instance of opportunity cost in which the dollars foregone by a purchase represent the value of the other things that could have been purchased with the money. Such a cost is “monetized,” represented in the objective reality of money. Most costs cannot be monetized by a market transaction, though they may be estimated by one or another procedures designed to objectify costs.
[D10] Mind is the consciousness that originates in the brain and directs mental and physical behavior. (Source: American Heritage Dictionary)
[D11] The objective measure of the changes in the world that a person is able to bring about. A person’s causal capacity is increased by any measure that expands the number of actions that a person may undertake or reduces the cost of an action.
[D12] The set of potential actions that the person is objectively able to undertake and subjectively considers attractive.
[D13] An injury is any diminution in the person’s prospects, or, more precisely, a diminution in the person’s causal capacity, minus those alternatives that the person has no desire to undertake. The younger the person, the smaller this reduction because the person has had less opportunity to thoughtfully reject alternatives. Injuries are “actionable”—that is, they are evidence of rights—if they are caused by breaches of duty.
[D14] A constraint is any limitation upon a person’s prospects. They are of two sorts: natural constraints, which are caused by natural law, such as the laws of gravity, entropy, or scarcity, and willed constraints, those which are the result of another’s undertaking, such as a physical attack or an embezzlement. Willed constraints are themselves of two types: private constraints, which are caused by breaches of duty, and public constraints, which are caused by the actions of law to redress breaches of duty.
[D15] Willed constraints are those that stem from the willed undertakings of others. Willed constraints may be “public,” done under color of law, or “private,” simply the result of individual action. Private constraints create rights. Public constraints address private constraints and are justified so long as the public constraints employed do not exceed the private constraints that are eliminated.
[D16] A constraint is any limitation upon a person’s prospects. They are of two sorts: natural constraints, which are caused by natural law, such as the laws of gravity, entropy, or scarcity, and willed constraints, those which are the result of another’s undertaking, such as a physical attack or an embezzlement. Willed constraints are themselves of two types: private constraints, which are caused by breaches of duty, and public constraints, which are caused by the actions of law to redress breaches of duty.
[D17] Will refers to the experience that people have of themselves as the cause of their actions. Will is the foundation of the normative, or “moral,” aspect of existence. It is only meaningful to establish norms where the objects of those norms are willed, where they perceive themselves as having a choice between alternatives. Without that power, norms are irrelevant.
[D18] A constraint upon one’s causal capacity that is caused by a law of nature, undirected by human choice. One who falls from a cliff to his death is the victim of a natural constraint, the law of gravity, unless he was pushed off the cliff by another person.
[D19] The subjective experience of having a rich and realistic set of alternative actions that one may undertake.
[D20] The subjective experience of having a rich and realistic set of alternative actions that one may undertake.
[D21] A constraint is any limitation upon a person’s prospects. They are of two sorts: natural constraints, which are caused by natural law, such as the laws of gravity, entropy, or scarcity, and willed constraints, those which are the result of another’s undertaking, such as a physical attack or an embezzlement. Willed constraints are themselves of two types: private constraints, which are caused by breaches of duty, and public constraints, which are caused by the actions of law to redress breaches of duty.
[D22] A right is a formal, legal mechanism that claims that a breach of duty must be redressed. The claim may be set out in a complaint, which, upon presentation to court, triggers the coercive power of the law to bring the one charged with the violation into court to justify his behavior.
[D23] Failure to behave in conformity with the requirements of a duty where one could have conformed to the duty. If it is not possible, through no fault of one’s own, to conform to the duty, there is no breach.
[D24] The set of potential actions that the person is objectively able to undertake and subjectively considers attractive.
[D25] To set right, remedy or rectify. To make amends for. (Source: American Heritage Dictionary)
[D26] A constraint upon one’s causal capacity that is caused by a law of nature, undirected by human choice. One who falls from a cliff to his death is the victim of a natural constraint, the law of gravity, unless he was pushed off the cliff by another person.
[D27] An entitlement is a value created in favor of one person by some conventional process (i.e. contract, citizenship) that is backed by a duty upon another to deliver or to facilitate the delivery of that value. Breach of that duty, so that the entitlement is not delivered, creates a right in the entitled person. Where one agrees to buy a car for $20,000, for example, the buyer is entitled to the delivery of the car as soon as he pays the price. Failure of the seller to deliver is a breach of duty and endows the buyer with an enforceable right.
[D28] A right is a formal, legal mechanism that claims that a breach of duty must be redressed. The claim may be set out in a complaint, which, upon presentation to court, triggers the coercive power of the law to bring the one charged with the violation into court to justify his behavior.
[D29] The set of potential actions that the person is objectively able to undertake and subjectively considers attractive.
[D30] The requirement, rooted in biology, that coercion visited upon a wrongdoer be justified by—or proportional to—the level of that person’s breach of duty.
[D31] A constraint is any limitation upon a person’s prospects. They are of two sorts: natural constraints, which are caused by natural law, such as the laws of gravity, entropy, or scarcity, and willed constraints, those which are the result of another’s undertaking, such as a physical attack or an embezzlement. Willed constraints are themselves of two types: private constraints, which are caused by breaches of duty, and public constraints, which are caused by the actions of law to redress breaches of duty.
[D32] The subjective experience of having a rich and realistic set of alternative actions that one may undertake.
[D33] The greatest liberty is the standard for the duty of care owed by those who would enforce rights, undertaken by them when they don the mantle of rights enforcement. It compels them to justify the coercion they apply by the reduction in coercion that their enforcement will achieve. As they do so, the society moves toward the point of greatest liberty, toward the point at which the constraints imposed by those who breach duties is equal to the constraints imposed by those who enforce rights.
[D34] An entitlement is a value created in favor of one person by some conventional process (i.e. contract, citizenship) that is backed by a duty upon another to deliver or to facilitate the delivery of that value. Breach of that duty, so that the entitlement is not delivered, creates a right in the entitled person. Where one agrees to buy a car for $20,000, for example, the buyer is entitled to the delivery of the car as soon as he pays the price. Failure of the seller to deliver is a breach of duty and endows the buyer with an enforceable right.
[D35] The state of being free from willed constraints, constraints created by other people. A person who is “at liberty” may nonetheless have no freedom, such as the convict who has been released from prison because he is in the final stages of a terminal disease.
[D36] The risk created by the actions of one person is the chance that the causal capacity will be diminished as a result. The risk triggers the duty of care.
[D37] A constraint is any limitation upon a person’s prospects. They are of two sorts: natural constraints, which are caused by natural law, such as the laws of gravity, entropy, or scarcity, and willed constraints, those which are the result of another’s undertaking, such as a physical attack or an embezzlement. Willed constraints are themselves of two types: private constraints, which are caused by breaches of duty, and public constraints, which are caused by the actions of law to redress breaches of duty.
[D38] Willed constraints are those that stem from the willed undertakings of others. Willed constraints may be “public,” done under color of law, or “private,” simply the result of individual action. Private constraints create rights. Public constraints address private constraints and are justified so long as the public constraints employed do not exceed the private constraints that are eliminated.
[D39] The collection of alternative actions that a person perceives himself to have at a particular point in time. The Freedom Set may contain actions that the person has no chance of actually undertaking—in which case the person is loosely connected to reality. The Freedom Set is unlikely to contain all of the actions that an objective observer would conclude the person could achieve either because the person does not value some of those alternatives or is unaware that they are lively possibilities.