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Locke's Goal-Setting Theory

Setting meaningful, challenging goals.

By the Mind Tools Content Team

Many of us have learned – from bosses, seminars and business articles – the importance of setting ourselves SMART objectives. We know that "SMART" stands for Specific, Measurable, Attainable, Relevant, and Time-bound. But are these the only factors to consider if we want to achieve our goals?

Learn how to set effective goals, in this short video.

Dr Edwin Locke and Dr Gary Latham spent many years researching the theory of goal setting, during which time they identified five elements that need to be in place for us to achieve our goals.

In this article, we'll look at their research, and find out how to apply it to our own goals.

What Is Locke's Goal-Setting Theory?

In the late 1960s, Locke's pioneering research into goal setting and motivation gave us our modern understanding of goal setting. In his 1968 article " Toward a Theory of Task Motivation and Incentives ," he showed that clear goals and appropriate feedback motivate employees. He went on to highlight that working toward a goal is also a major source of motivation – which, in turn, improves performance.

Locke's research showed that the more difficult and specific a goal is, the harder people tend to work to achieve it.

Key Studies Related to Goal-Setting Theory

In one study , Locke reviewed a decade's worth of laboratory and field studies on the effects of goal setting and performance. He found that, for 90 percent of the time, specific and challenging (but not too challenging) goals led to higher performance than easy, or "do your best," goals.

For example, telling someone to "try hard" or "do your best" is less effective than saying "try to get more than 80 percent correct," or "concentrate on beating your best time." Likewise, having a goal that's too easy is not motivating. Hard goals are more motivating than easy ones, because it feels more of an accomplishment to achieve something you've worked hard for.

A few years after Locke published his article, Dr Gary Latham studied the effects of goal setting in the workplace. His results supported Locke's findings – that there is an inseparable link between goal setting and workplace performance.

In 1990, Locke and Latham published their seminal work, " A Theory of Goal Setting & Task Performance ." In this book, they repeated the need to set specific and difficult goals, while outlining five other characteristics for successful goal setting.

Locke and Latham's Five Principles

According to Locke and Latham, there are five goal setting principles that can improve our chances of success:

• Commitment.
• Task complexity.

Let's look at each of these elements, and explore how you can apply them to your personal goals and to your team's objectives.

1. Setting Clear Goals

When your goals are clear, you know what you're trying to achieve. You can also measure results accurately, and you know which behaviors to reward. This is why SMART is such a useful mnemonic.

However, when a goal is vague – or when you express it as a general instruction like "take initiative" – it isn't easy to measure, and it isn't motivating. You may not even know you've achieved it!

How to Set Clear Goals

2. setting challenging goals.

People are often motivated by challenging goals, however it's important not to set a goal that is so challenging it can't be achieved.

How to Set Challenging Goals

3. securing team commitment.

To be effective, your team must understand and agree to the goals – team members are more likely to "buy into" a goal if they have been involved in setting it.

This doesn't mean that you have to negotiate every goal with your team members and secure their approval. They're likely to commit to it as long as they believe that the goal is achievable, it is consistent with the company's ambitions, and the person assigning it is credible.

How to Secure Commitment to Goals

4. gaining feedback.

In addition to selecting the right goals, you should also listen to feedback, so that you can gage how well you and your team are progressing.

Feedback gives you the opportunity to clarify people's expectations and adjust the difficulty of their goals.

Keep in mind that feedback doesn't have to come from other people. You can check how well you're doing by simply measuring your own progress.

How to Give Feedback on Goals

5. considering task complexity.

Take special care to ensure that work doesn't become too overwhelming when goals or assignments are highly complex.

People who work in complicated and demanding roles can often push themselves too hard, if they don't take account of the complexity of the task.

How to Set Complex and Challenging Goals

Frequently asked questions:.

What is the basic premise of Locke's goal-setting theory? The theory posits that specific and challenging goals enhance motivation and performance. It emphasizes clarity, difficulty, commitment, and feedback as key factors in effective goal setting.

Why are challenging goals considered more effective? They encourage individuals to put in more effort and persistence. They push people to stretch their abilities and skills, leading to higher performance and personal growth, as long as the goals remain achievable.

Can this goal-setting theory be applied in any organization? Yes, it's versatile and can be applied across different types of organizations and industries. However, the specific application should consider the nature of tasks, organizational culture, and individual differences.

How does goal specificity influence performance? Specific goals provide clear, unambiguous objectives, making it easier for individuals to focus and direct their efforts effectively. This specificity leads to higher performance as individuals know exactly what is expected and can measure their progress.

Goal setting is something that many of us recognize as a vital part of achieving success.

By understanding goal-setting theory, you can apply Locke and Latham's principles to your goals. Their research confirms the usefulness of SMART goal setting, and their theory continues to influence the way that we measure performance today.

To use this tool:

• Set clear, challenging goals and commit yourself to achieving them.
• Be sure to provide feedback to others on their performance towards achieving their goals, and reflect on your own progress as well.
• Consider the complexity of the task, and break your goals down into smaller chunks, where appropriate.

If you follow these simple rules, your goal setting will be much more successful, and your overall performance will improve.

Edwin A. Locke. (1968). Toward a theory of task motivation and incentives, Organizational Behavior and Human Performance [online] . Volume 3, Issue 2, Pages 157-189. Available here . [Accessed October 24, 2018.]

Locke, E. A., Shaw, K. N., Saari, L. M., & Latham, G. P. (1981). Goal setting and task performance : 1969–1980. Psychological Bulletin, 90(1), 125-152. Available here . [Accessed October 24, 2018.]

Locke, E. and Latham, G. (1990). A theory of goal setting and task performance . Englewood Cliffs: Pearson College Div.

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What is Locke’s Goal Setting Theory of Motivation?

For many, there is the ‘you’ who you would like to be, and then (more consistently) the ‘you’ that you are.

These two versions of yourself are not always aligned. If they were, we would all be superheroes.

Disillusionment may follow about the number of things you “could” have done if only you had been persistent in your endeavors.

Research in psychology is here to orientate ourselves in a complex world, and even help us live our lives in more fulfilling and productive ways.

Locke’s goal-setting theory of motivation, which has been tested and supported by hundreds of studies involving thousands of participants, consistently delivers positive changes in the lives of individuals worldwide (Locke and Latham, 2019).

This article will address Locke’s ideas and give you insight into how to benefit from them.

They may play a big role in helping you live your best life.

Before you continue, we thought you might like to download our three Goal Achievement Exercises for free . These detailed, science-based exercises will help you or your clients create actionable goals and master techniques to create lasting behavior change.

This Article Contains:

What is goal-setting theory a look at edwin locke’s theory, goal-setting research: findings and statistics, theoretical definition(s) of goal-setting, examples of the goal-setting theory of motivation in practice, key studies related to goal-setting theory, self-efficacy and goal-setting, the goal-setting framework, how is goal-setting related to behavioral change.

• Can Goal-Setting Help Decision Making?

Goal-Setting vs. Expectancy Theory

9 excellent journal articles for further reading, a nuanced perspective.

• 4 PowerPoints about Goal-Setting Theory (PPTs)

A Take-Home Message

Does this quote sound familiar? It is vital to modern goal-setting theory, even though it is over 2,500 years old.

When it is obvious that the goals cannot be reached, don’t adjust the goals, adjust the action steps.

Confucius 551-479 B.C.

If you are new to this quote, it may be time to write it down and memorize it.

Most goals are possible to achieve, but people are unsuccessful at goal-setting when they omit to consider the most essential ingredients to any given goal.

Perhaps you made a resolution over a glass of wine on New Year’s Eve, or while you were sitting on the subway coming back from work, determined to maximize your company’s outputs.

You were taken by the belief, then, that you would train for a couple of months before running that summer marathon; that your team-building exercises would strengthen the bonds between your employees and in turn, positively impact their performance at work; that you would write 500 words a day and complete your first novel.

Without a doubt, you have already been exposed to countless inspirational quotes.

As one example, J. K. Rowling has a great inspirational quote. After all, she drafted Harry Potter on the back of a napkin in a cafe in Edinburgh. She believes that:

“ everything is possible if you’ve got enough nerve. ”

If this quote inspires you, that is fabulous. It is not always enough, however, to read a quote like this and change your goal-driven actions. Even with someone as inspiring as

In 90% of the cases, reading a motivational quote and promising yourself to work harder, change this or that habit, or improve an aspect of your life guarantees failure. Why is this? If setting goals and succeeding is part of what makes ‘human,’ then how do we address this fail-prone tendency?

It matters, to achieve your goals, as working towards meaningful goals provides us with a sense of direction, purpose, and meaning in life.

The more goals we set—within healthy boundaries—the more likely we are to build self-confidence , autonomy, and happiness .

It is time to explore the science behind goal-setting. Let’s flip that 90% failure rate on its head.

The following findings summarize the last 90 years of goal-setting:

• Cecil Alec Mace conducted the first study on goal-setting in 1935;
• People who write their goals are more likely to achieve their goal than those who don’t by 50%;
• Motivation experts agree that goals should be written down, and carried with oneself, if possible;
• 92% of New Year resolutions fail by the 15th of January;
• Carefully outlined goals, which can be measured and set within specific timeframes, are more effective;
• Explaining your goals to someone you are close to, or making the commitment public, substantially increases your chances of reaching your goal;
• By contrast, goals that are kept to oneself are more likely to be mixed up with the 1,500 thoughts that the average person experiences by the minute;
• Often, achieving a goal means sacrificing something or putting aside certain habits, or beliefs about yourself–it may even result in an emotional or physical toll;
• Harvard research documents that 83% of the population of the United States do not have goals.
• Goal-setting typically yields a success rate of 90%;
• Goals have an energizing function. The higher the goal, the greater the effort invested (Locke & Latham, 2002).

Download 3 Free Goals Exercises (PDF)

These detailed, science-based exercises will help you or your clients create actionable goals and master techniques for lasting behavior change.

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To provide context, here are a few definitions of goal-setting defined by experts in the field:

Broadly defined, goal-setting is the process of establishing clear and usable targets, or objectives, for learning.

(Moeller, Theiler, & Wu, 2012)

Goal-setting theory is summarized regarding the effectiveness of specific, difficult goals; the relationship of goals to affect; the mediators of goal effects; the relation of goals to self-efficacy; the moderators of goal effects; and the generality of goal effects across people, tasks, countries, time spans, experimental designs, goal sources (i.e., self-set, set jointly with others, or assigned), and dependent variables.

(Locke & Latham, 2006)

Edwin Locke’s goal-setting theory argues that for goal-setting to be successful with desired outcomes, they must contain the following specific points (Lunenberg & Samaras, 2011):

• Clarity: goals need to be specific;
• Challenging: goals must be difficult yet attainable;
• Goals must be accepted;
• Feedback must be provided on goal attainment;
• Goals are more effective when they are used to evaluate the performance;
• Deadlines improve the effectiveness of goals;
• A learning goal orientation leads to higher performance than a performance goal orientation;
• Group goal-setting is as important as individual goal-setting.

The following video offers a concise explanation that summarizes the actions and steps to achieve specific goals. It’s less than 3 minutes and informative.

This video clarifies—with the help of Chef Alfredo and Boss Romero—what implementing goals with employees looks like, practically speaking. The role of precision is key for employees to fulfill any task.

To make the memorization of these points easier, the acronym SMART may help you recall what the most important attributes of effective goal-setting are:

• Measurable;
• Assignable;
• Time-based.

How do these work out in practice? In short, the answer relates to specificity, which we will address next.

Put aside the irresistible need to make your goal as vague and romantic as possible and stick with the raw stuff. What action items do you need to do, to achieve this goal?

The anagram “SMART” is here to assist you in this process.

Getting SMART

The first point of the anagram says that goals should be ‘specific.’ All you need to do is make sure you are clear about what your goal is concretely going to deal with.

For example, instead of saying, “ I must become more social ” (if say, you are a lonesome cat lady who receives visits once a month), first define what you mean by being social, what your expectations are of social life and the ways in which you feel a greater social presence in your life would enhance it.

Then, sketch out a plan to put into action immediately, tackling instances of daily life you can work on (in the workplace, in already existing relationships, during daily encounters) and the extra incentives you can take to get out of your way to meet new people and enjoy new experiences and activities.

Write down what you are aiming to achieve and what you can do that may positively impact your socializing efforts (e.g. becoming more hospitable, relaxed, caring, kind, compassionate, empathetic).

Alternatively, specificity can also refer to setting specific dates, times, locations at which you will commit to spending time dedicating yourself to your goal.

Next, we need to consider what measurable goals mean.

‘Measurable’ is that you should be able to measure in one way or another whether you have completed your goal or not, or still in the process of doing so.

How your goal should be measured is up to you. Still, you should have a clear idea and expectation as to how your goal, once completed, would look like.

If your goal was to become more social, that could mean to build strong friendships with two new people and to commit to attending one social event every week for an entire year.

Keeping track through ‘measurement’ helps to give you a sense of where you currently find yourself in relation to your goal and where you are heading next.

Goals ought to be ‘acceptable’ to you. That means that you must not only identify with them but also, feel like they are in line with your value system and that they won’t lead you to transgress your sense of integrity in any way.

If the goal is to be more social, the ‘acceptability’ part comes into play at the level of what you feel an adequate friendship would look like.

Whether its sharing fun activities, emotional and intimate conversations, cooking or playing sports together, it’s important to be self-aware, to know what you are after and how your beliefs and feelings are entangled with the goal you are about to set for yourself.

Your goal must be realistic. In other words, you have to work with what you have while pushing yourself slightly beyond in order to change your current reality.

Going back to the instance of the lonesome cat lady (nothing wrong about that), a realistic goal would be to make efforts to develop at least two new friendships over the next six months, and not, say, to become a popular member of the community, as achieving this may take considerably more time.

We have just briefly mentioned the time framework, but nonetheless, it’s totally worth re-emphasizing as much as necessary. The timeframe is all about setting a fixed deadline by which you should have completed your goal.

Regardless of what you have decided to do, make sure you interconnect your goal with your calendar, and that you make the necessary adjustments in your daily life so that working on your goal happens smoothly and gradually.

Over time, the SMART theory has proved effective for increasing performance (Latham & Pinder, 2005; Lee & Earley, 1992; Miner, 1984) in a range of settings.

Here are five case studies exploring various ways of goal-setting and its effects.

5 Interesting Case Studies on Goal-Setting Theory

Performance, if set as a goal, does not lead to the same results without the specific goals of gaining knowledge and skillsets.

In our first study, Dweck et al. (1986, 1988, 1988) found that in the classroom, two recurrent personality traits could be observed. Students mainly divided into two categories: those primarily focused on gaining knowledge and skills, and those primarily concerned with their grade and performance in the class.

It was found that the first cohort performed better on taught subjects than the second.

Goal-setting, however, is not only about the decided object of focus. There are, in fact, many determinants that shape the goal-setting and goal completion process.

A second study conducted by Atkinson (1958) highlights how the difficulty of the given task also acts as a factor that hinders or improves performance. The highest level of effort took place when the task was moderately challenging, and the lowest level when the task was either too easy or too hard.

Furthermore, the social dimension which accompanies goal-setting should be considered too, whenever possible.

For example, a major study carried out at Dominican University, listing 267 participants recruited from the business sector (Matthews, 2015) showed that:

• Informants who sent weekly reports to someone they were close to accomplished more than those who had not written their goals down. Those who had written goals outlined with specific ways they intended to meet those goals were as successful as those who just informed their goal intentions to a friend;
• Informants who informed their friends of their goal were able to achieve much more than those who only wrote down action commitments and those who did not at all;
• Overall, those who wrote down their goals accomplished much more than those who had not.

In short, this study provided empirical evidence to support the claim that accountability, commitment, and writing down goals have a major influence on an individual’s commitment towards reaching self-imposed goals.

Goal-setting enables people to stay focused and find meaning in what matters in their lives.

In fact, Boa et al. (2018) claim that goals also provide many people a sense of purpose, as well as a drive to live as actively as possible until their death; this proves especially true in the context of illness.

The researchers conducted a comparative case study of 10 healthcare professionals in a hospice, to practice patient-centered goal-setting.

The results indicated that instead of centering the approach around patients, participants tended to articulate them in relation to what they perceived to be important (problem-solving, alleviating symptoms).

This study by Boa et al. (2018) stressed the importance of making the goals suitable for the priorities of the individual, so as to maximize their effectivity and enhance people’s quality of life.

Another study carried out by Carr (2018) sought to gauge the effects of an already existing goal-setting strategy in an elementary school serving many students from a disadvantaged socio-economic background.

The conclusions pointed out that goal-setting, when implemented consistently, had a positive effect on student self-efficacy , motivation , and reading proficiency.

This, Car argues, happened when the goals being set were specific, measurable, achievable, reasonable, timely and challenging at the same time.

Essentially, the SMART anagram prevails in many situations, backgrounds, and perspectives.

In Defense of Learning Goals

For many, the notion of performance as an accomplishment intertwines with goal-setting.

Just valuing or wanting the “end-product,” and omitting what it takes to get there, is a common mistake made by many.

That’s why research expresses how goals about learning (rather than performance) have higher success rates of goals being met.

The emphasis on learning has a trickle-down effect that actually benefits performance after all. The five studies listed below highlight the difference between performance and knowledge-based goals:

• Winters and Latham (1996) found that setting a learning goal rather than a performance goal for tasks (for individuals with insufficient knowledge) was most effective;
• Similarly, Drach-Zahavy and Erez (2002) made the case that people with a set learning goal for themselves (mentioned in their work as a “strategy goal”) perform better than those who had set a performance-related goal on a task that involved predicting stock-market fluctuations;
• Seijts, Latham, and Tasa (2004) made the point that informants who were assigned a challenging learning goal reached more market share on an interactive, computer-based simulation of the US cellular telephone industry than participants who were assigned a high-performance goal instead;
• Kozlowski and Bell’s study (2006) concluded that  assigning a learning goal improved the self-regulatory affective and cognitive mechanisms, in contrast with a goal emphasizing high-performance;
• Last but not least, Cianci, Klein, and Seijts (2010) reported that people who had a learning goal were less prone to tension. They also performed better even after negative feedback, compared to those only assigned a performance goal.

To implement learning-driven goals, it is important to understand how they differ from performance goals.

A performance goal might be something like, “ I want to become fluent in XY language, ” whereas a learning goal would be:

“ by next December, I want to learn how to speak conversational XY language. So, I will be taking several classes on a weekly basis, download the Duolingo app and work at least an hour every day on memorizing a few words in my chosen language. I will also try to get in touch and meet people who speak this language to improve my exposure to it. ”

See the difference?

Self-efficacy is a concept coined and developed by Albert Bandura. It is a cornerstone concept in the field of positive psychology.

Lightsey (1999) writes that:

“ it is difficult to do justice to the immense importance of this research for our theories, our practice, and indeed for human welfare. “

This emphasizes how the construct has had a potent effect on several areas ranging from phobias and depression to vocation choice and managerial organization.

Akhtar (2008) defines self-efficacy as:

“ the belief we have in our own abilities, specifically our ability to meet the challenges ahead of us and complete a task successfully. ”

The idea that “what we think” affects “what we do” is not new. The field of positive psychology has explored the impact of our beliefs and worldviews on our health and how we live our lives.

As Mahatma Gandhi famously said:

“ a man is but a product of his thoughts. What he thinks, he becomes. ”

It is important to distinguish a person’s capability with how they perceive their own capability.

Often, there is also a discrepancy between the person’s desire and the capacity, which leads us to self-efficacy. Self-efficacity is a form of self-confidence which embraces an ‘I can handle this’ attitude. It has an empowering effect on the actions of the person in question.

Motivation, on the other hand, refers to a person’s willingness to fulfill a given task, or goal.

Locke’s goal-setting theory aims to encompass both, by formulating goals which not only are in line with a person’s capabilities but also provides the necessary resources so that the person is motivated by the goal while stimulating his or her sense of self-efficacy.

While it is not exactly possible to instill a sense of self-efficacy in a person who disbelieves their capacity to perform well and push themselves beyond what they think they can achieve, setting goals within a positive framework can make a substantial difference.

We have seen, step by step, the way in which they should be structured. But not the general framework in which they should ground themselves for maximized effectiveness.

Depending on how they are framed, goals can have specific effects on a given person’s learning process and performance. They can be framed negatively, by emphasizing how a person should prevent losses and failure at all cost.

A negative goal-setting approach could look like this:

• My goal for next year is to stop myself from gaining any weight at all.
• All employees should aim to not lose more than fifty out of the company’s two hundred and fifty current customers.
• Students whose grades fall below the average will be penalized and given extra homework for the second semester.

This approach tends to be ineffective and degrading. Research shows that punitive strategies often result in anxiety, a lower persistence, and performance, especially in comparison with goals that are set with a positive outlook (Roney, Higgins, & Shah, 1995).

Frese et al. (1991) have developed the concept of “error management,” which intends to reframe errors during the process as opportunities for the individual to learn from.

Framing mistakes and negative feedback with statements such as “ Errors are a natural part of the learning process! ” and “ The more errors you make, the more you learn! ” (Heslin, Carson and VandeWalle, 2008) are beneficial.

In short, discouraging fear-based environments encourages people to try again, rather than give up on their goals. This ‘forgiving’ aspect also enables individuals to expect, and not apprehend, failure as part of the growth process.

Goal-setting is not a straight-forward path to success, and it is important to feel like one can “fail” and still aim for their goal, maybe with added specificity.

As such, if framed positively, the previously mentioned goals look more like this:

• This year, I will try to adopt a diet that will enable me to lose weight. My goal is to reach 80kg, and given that I currently weigh 85kg, my goal is to lose 5kg in total. The first diet I try might not be the right one, and I may have to try several before I find one that works, that is, one that enables me to lose weight and with a specific regime that I can stick to at the same time. I will monitor my progress as the months pass and sign up for a gym membership.
• The company strongly values its relationship with its customers. We currently have 250 and our goal for the upcoming year is to keep this number constant. Your role, therefore, will be to ensure that customers are satisfied with our services by diversifying what we offer and the way in which we relate to them. The only way to achieve this is with different approaches and strategies that we can monitor and assess the outcomes of.
• Students whose respective grade have increased by two points will be rewarded with less homework in the second semester. If the grade does not increase two points, the individual efforts of each will be taken into consideration in the final decision of who should be rewarded in the classroom.

Such an approach provides clear guidelines and expectations of a given goal and also trigger positive emotions.  Workplaces, schools, and environments with positive goal-setting get to experience the energy, creativity, and motivation of inspiring spaces.

People like a challenge, especially when it seems difficult but possible.

“Our goals can only be reached through a vehicle of a plan, in which we must fervently believe, and upon which we must vigorously act. There is no other route to success.”

Pablo Picasso

As human beings, we may be ambitious and progressive in setting our goals and knowing what we want but lack direction on how to get there.

It seems Picasso had a solution to this dilemma decades ago. Accumulating research supports the notion that goal-setting paves the way for achievement (Latham & Locke, 2006).

What makes goal-setting successful, though?

• Commitment : Goal performance is strongest when one is committed (Locke & Latham, 1990). The commitment level is, in turn, dependent on our desirability of the goal and our perceived ability to achieve it.
• Clarity : When the goal is clear, precise, unambiguous, and measurable, we know exactly what we want to achieve, increasing our motivation and performance (Avery et al., 1976).
• Challenge : If we know a goal is challenging yet believe it is within our abilities to accomplish it, we are more likely to be motivated to complete a relevant task (Zimmerman et al., 1992).
• Complexity : When tasks for a goal are overly complex, it hinders our morale, productivity, and motivation (Miner, 2005). Keeping the complexity of tasks manageable can increase our chances of success.
• Feedback : Immediate and detailed feedback is important in keeping us on track with our progress towards our goals (Erez, 1977).

So, ensuring that goals are grounded on these principles can pave the way for success. In fact, Latham and Locke (1979) found that effective goal setting can be a more powerful motivator than monetary rewards alone.

So far, we have seen what goals do, but we have omitted to mention what happens to people when they do not set goals in their lives.

Indecision, lack of focus, boredom, and not having something specific to strive for, can lead to a feeling that one is living a dulled, less meaningful version of their life. Symptoms of depression, among other mental health struggles, often appear in these perceived unchanging spaces.

This is because specifically-written goals can provide individuals with a sense of existential structure, purpose, and meaning.

As Locke argues, goals are “immediate regulators of behavior” (Latham, Ganegoda, & Locke, 2011), and they provide the self with a vision for the future and a clear direction to strive towards a specific objective.

More so, goal-directed action coupled with reasoning skills is a fundamental element of what makes us human. Even the “non-human” world thrives with goal-setting parallels.

This is not to say that plants write down their goals in pencil. But let’s have Locke explain how:

“The lowest level of goal-directed action is physiologically controlled (plants). The next level, present in the lower animals, entails conscious self-regulation through sensory-perceptual mechanisms including pleasure and pain. Human beings possess a higher form of consciousness – the capacity to reason. They have the power to conceptualize goals and set long-range purposes”

(Locke, 1969).

The human ability to reflect is a curse and a blessing.

It liberates us from the constraint of the absolute determinism of things but it also means that we are responsible for the choices we make and whether they will contribute to our welfare.

For instance, individuals who start exercising and feeling the numerous health benefits often end up seeing value in making additional lifestyle changes, such as a healthier routine and diet.

Thus, if a goal is perceived by the individual as something that can contribute to their sense of wellbeing or that of the group they are a part of, then it can also serve as a source of inspiration and esteem.

This often leads to a ricochet effect on other behaviors linked to performance and efficacy.

Can Goal-Setting Help Decision-Making?

Goal-setting and decision making are the two voluntary acts that can radically transform a person’s life.

You perhaps have heard the adage, “you cannot save someone who doesn’t want to be saved.”

When it comes to helping others, it is not possible to do so unless they want the help, and also feel enough motivation to take the appropriate steps forward—regardless of how tiring this may prove.

Setting goals empower decision making, and the opposite is true as well. It enables people to filter through what is significant, worth pursuing and what is not.

Vroom outlines three main factors which structure how humans decide to go about their lives and the steps needed to achieve a given result: expectancy, instrumentality, and valence.

He argues that ‘motivational force’ can be calculated by means of multiplying expectancy with instrumentality and valence.

The actual formula looks like this:

Motivational force = Expectancy x Instrumentality x Valence

Put in a literary way, Vroom’s point is that motivation emerges from a person’s belief that an invested effort will enable them to achieve a certain desired performance, and that the way this performance is played out, will lead to the fulfillment of a specific goal.

In turn, the extent to which the individual perceived this final goal as desirable (valence) will also shape the degree of motivation for the individual to pursue a given goal.

In other words, confidence, assessment of what is required, and the value perceived on the specific outcome equal the energy an individual may feel towards a specific goal.

Expectancy theory adds an interesting dimension to Locke’s goal-setting theory. Locke provides insight into which goals are implemented in effective ways. Vroom, on the other hand, sheds light on how self-esteem, individual perception and the value system of individuals come into play.

The theories coined by Locke and Vroom do intersect in how they emphasize the importance of setting goals that are tailored to subjective needs and capacities.

To spark the necessary ‘motivational force’ for any given challenge, there must be momentum. With this momentum come success, especially when failure is encouraged as part of the learning process.

One of the great aspects of goal-setting is that it is applicable in most domains of life.

For more detail regarding the different studies mentioned, you can find the original sources in the bibliography. It is possible to find information related to goal-setting on practically every subject.

For example, if you have specific goals to becoming a published writer, there are plenty of step-by-step guides offered on the internet.

There is also a wealth of literature documenting the benefits of goal-setting in the context of workplaces, especially since the theory began as an attempt to enhance employee motivation in the workplace .

For your convenience, we compiled a list of recently published journal articles relating to goal-setting, applied to a range of contexts.

If you don’t have access to academic material and would like to consult on any of the following articles, don’t hesitate to drop us a message.

Goal-setting in the Professional World:

• Exercise Self-Efficacy as a Mediator between Goal-Setting and Physical Activity: Developing the Workplace as a Setting for Promoting Physical Activity by Iwasaki et al. (2017)
• Achievement Goal Orientation and its Implications for Workplace Goal-Setting Programs, Supervisory/Subordinate Relationships and Training by Rysavy (Dissertation, 2015)
• Experiential Exercises on Goal-Setting, Leadership/Followership, and Workplace Readiness (Ritter, 2015)

Goal-setting with Students/Adolescents:

• What is the effect of peer-monitored Fitnessgram testing and personal goal-setting on performance scores with Hispanic middle school students? (Coleman, 2017)
• Effect of Student SMART Goal-Setting in a Low-Performing Middle School (Thomas, 2015)
• Does Participation in Organized Sports Influence School Performance, Mental Health, and/or Long-Term Goal-Setting in Adolescents? (Samarasinghe, Khan, Mccabe, Lee, 2017)

Goal-setting in Healthcare/ with Patients:

• Goal-setting in neurorehabilitation: development of a patient-centered tool with theoretical underpinnings (Aleksandrowicz, 2016)
• Rehabilitation goal-setting: theory, practice, and evidence (Siegert & Levack, 2015)
• Evaluating the Structure of the Patient Assessment of Chronic Illness Care (PACIC) Survey from the Patient’s Perspective (Fan et al., 2015)

Goals, goals, goals.

Staying informed with how to improve oneself and others is important; however, too much absorption with the topic may overlook the very value of existence.

It’s not enough to be busy, so are the ants. The question is, what are we busy about?

Henry David Thoreau

Thoreau’s excellent words invite us to reflect on the broader picture. Do our goals push us to pursue really matters? If so, then continue. If not, perhaps it is time to pause.

Even though goal-setting can indeed strengthen a person’s sense of purpose, self-confidence, and autonomy, the habit of setting goals can lead us astray from our core values.

The current trend, unfortunately, is following this “busy route” where burnout is ingrained with modern corporate culture (Petersen, 2019). It is especially affecting the millennial generation.

As Petersen’s (ibid) article shows, it can be hard enough to perform the most basic tasks, such as answering emails, doing household chores, registering to vote, calling people on their birthdays, etc.

Burnout, Petersen argues, is part of the over-involvement of baby-boomer parents in their children’s lives, as well as the shifting of modern labor relations and social media technologies.

In many ways, this has blurred the line that used to exist between professional and private life, that is largely nonexistent now.

Many people feel pressure to always brand or market who they are or what they do so that they can feel connected and compete for social status, even when not in the professional world. For many, this shows as the internalization of a feeling that one should be working ‘all the time.’

This pushes people to compare their lives or ‘impact’ with others and make goals out of social comparison and insecurity, rather than goals centered from a genuine desire to change something.

A culture of self-care has arisen, as a possible response to burnout and overwhelming times.

Self-care, however, is not a complete solution given that:

“ the problem with holistic, all-consuming burnout is that there’s no solution to it. You can’t optimize it to make it end faster. You can’t see it coming like a cold and start taking the burnout-prevention version of Airborne. The best way to treat it is to first acknowledge it for what it is — not a passing ailment, but a chronic disease — and to understand its roots and its parameters. ”

Peterson also recalls the words of the social psychologist Devon Price, who, writing on the topic of homelessness, argued that:

“Laziness, at least in the way most of us generally conceive of it, simply does not exist. If a person’s behavior does not make sense to you, it is because you are missing a part of their context. It’s that simple.”

Hence, this comes as a cautionary message against excessive goal-setting and the madness of constant self-development and improvement.

Modern society encourages us to feel that we are never “good enough.” How do we balance the self-compassion that we are enough, with the desire to be better and set goals?

Perhaps one answer is to avoid goals that do not align with your core values, as well as goals that do more harm than good.

On the same note, Ordonez, Schweitzer, Galinsky, and Bazerman (2009) warn about what happens when ‘goals go wild:’ when goals are too narrow, too challenging, too numerous and enacted within an unrealistic timeframe, they can lead to disastrous consequences.

These consequences range from unethical behavior to psychological pitfalls linked with experiencing failure. For example, if a company boss aims to increase profits by over-working and underpaying staff, this is not a sustainable or ethical goal for anyone involved.

The authors, basing on management studies, also reveal how goal-setting may come at the expense of learning. Again, how do we avoid feeding a competitive culture, and instead, promote cultures of growth and intrinsic motivation?

To avoid this, Steve Kerr from General Electric advises managers to refrain from setting goals that are likely to increase their employees’ stress levels or contain punishing failure; instead, Kerr wants to equip staff with the necessary tools to meet the challenging goals.

This approach, Ordonez et al. argue, will encourage managers to consider whether the goal-setting culture benefits the company’s outputs and the wellbeing of their employees.

Locke & Latham (2002) also warned about the potential pitfalls of combining goals with financial rewards in the workplace; this usually brings employers to set rather easy goals as opposed to more challenging ones instead.

Before rushing to set personal or business goals, it is important to consider your motivation.

17 Tools To Increase Motivation and Goal Achievement

These 17 Motivation & Goal Achievement Exercises [PDF] contain all you need to help others set meaningful goals, increase self-drive, and experience greater accomplishment and life satisfaction.

Created by Experts. 100% Science-based.

2 PowerPoints about Goal-Setting Theory (PPTs)

Hopefully, your mind is now buzzing about the ways you could share the value of this content with others. Perhaps this article could inspire your workplace, your classroom, or simply, your lazy and somewhat unmotivated friend.

Reading long articles on the internet is not accessible to everyone since not everyone has the time or interest to invest the effort.

Our role at PositivePsychology.com is to translate and synthesize academic ideas and research into easily accessible writing. Our readers play an essential role in terms of communicating these resources and ideas to the broader public.

Powerpoints can be particularly impactful tools, that can transmit crucial information concisely.

They are therefore the most effective way of getting the message across to a wider audience.

For inspiration, you may want to have a look at these powerpoints that address the topic of goal-setting theory in a range of contexts.

If you are to directly download and make use of any of these, make sure you contact their authors so that they can grant you permission for using their content.

• By Aatmiki Singh
• By John Varghese

We hope to have provided you with an in-depth view of Locke’s goal-setting theory.

Hopefully, after having read this article, you will never go about setting goals in the same way.

Chances are you will be 90% more likely to succeed at them if you put into practice the different points that we have gone through such as specific goals with attainable action items.

Make it about the process of learning, not the end performance.

And remember, stay “SMART.”

What do you think about the balance of goal-setting and also, “being enough?” It is a fine balance. If you have any comments, please add to our comments section below.

We’d love to keep this conversation around goal-setting open to your ideas.

We hope you enjoyed reading this article. Don’t forget to download our three Goal Achievement Exercises for free .

• Akhtar, M. (2008). What is self-efficacy? Bandura’s 4 sources of efficacy beliefs. Positive Psychology UK.
• Atkinson, J. W. (1958). Motives in fantasy, action, and society: A method of assessment and study.
• Avery, C. C., Chase, M. A., Johanson, U. R., & Phillips, L. W. (1976). The Bell System Practices: Linking reward and job design. Personnel Journal, 55(8), 415-420 .
• Beal, M. A. (2017). How Does Goal-Setting Impact Intrinsic Motivation And Does It Help Lead To Enhanced Learning At The Kindergarten Level?.
• Boa, S., Duncan, E., Haraldsdottir, E., & Wyke, S. (2018). Patient-centered goal setting in a hospice: a comparative case study of how health practitioners understand and use goal setting in practice. International journal of palliative nursing, 24 (3), 115-122.
• Carr, M. (2018). Goal Setting Theory in Action  (Doctoral dissertation, Mercer University, Macon, Georgia). Retrieved from https://libraries.mercer.edu/ursa/handle/10898/5130
• Cianci, A. M., Klein, H. J., & Seijts, G. H. (2010). The effect of negative feedback on tension and subsequent performance: The main and interactive effects of goal content and conscientiousness. Journal of Applied Psychology, 95 (4), 618.
• Drach-Zahavy, A., & Erez, M. (2002). Challenge versus threat effects on the goal–performance relationship. Organizational Behavior and Human Decision Processes, 88 (2), 667-682.
• Dweck, C. S., & Leggett, E. L. (1988). A social-cognitive approach to motivation and personality. Psychological Review, 95 (2), 256.
• Dweck, C. S. (1986). Motivational processes affecting learning. American Psychologist, 41 (10), 1040.
• Elliott, E. S., & Dweck, C. S. (1988). Goals: An approach to motivation and achievement. Journal of personality and social psychology, 54 (1), 5.
• Erez, M. (1977). Feedback: A necessary condition for the goal-setting-performance relationship. Journal of Applied Psychology, 62(5) , 624-627.
• Frese, M., Brodbeck, F., Heinbokel, T., Mooser, C., Schleiffenbaum, E., & Thiemann, P. (1991). Errors in training computer skills: On the positive function of errors. Human-Computer Interaction, 6 (1), 77-93.
• Heslin, P. A., Carson, J. B., & VandeWalle, D. (2008). Practical applications of goal-setting theory to performance management. Performance Management: Putting Research Into Practice , JW Smiter, ed., San Francisco, CA: Jossey Bass.
• Kozlowski, S. W., & Bell, B. S. (2006). Disentangling achievement orientation and goal-setting: effects on self-regulatory processes. Journal of Applied Psychology, 91 (4), 900.
• Latham, G. P., Ganegoda, D. B., & Locke, E. A. (2011). Goal‐Setting: A State Theory, but Related to Traits. The Wiley-Blackwell Handbook of Individual Differences, 577-587 .
• Latham, G. P., & Locke, E. A. (1979). Goal setting: A motivational technique that works! Organizational Dynamics, 8(2) , 68-80.
• Latham, G. P., & Locke, E. A. (2006). Enhancing the benefits and overcoming the pitfalls of goal setting. Organizational Dynamics, 35(4) , 332-340.
• Latham, G. P., & Pinder, C. C. (2005). Work motivation theory and research at the dawn of the twenty-first century. Annu. Rev. Psychol., 56, 485-516.
• Lee, C., & Earley, P. C. (1992). Comparative peer evaluations of organizational behavior theories. Organization Development Journal.
• Lightsey, R. (1999). Albert Bandura and the exercise of self-efficacy. Journal of Cognitive Psychotherapy, 13 (2), 158.
• Locke, E. A., & Latham, G. P. (1990). A theory of goal setting and task performance . Prentice-Hall.
• Locke, E. A., & Latham, G. P. (2019). The development of goal-setting theory: A half-century retrospective. Motivation Science.
• Locke, E. A., & Latham, G. P. (2006). New directions in goal-setting theory. Current directions in psychological science, 15 (5), 265-268.
• Locke, E. A., & Latham, G. P. (2002). Building a practically useful theory of goal-setting and task motivation: A 35-year odyssey. American Psychologist, 57 (9), 705.
• Locke, E. A. (1969). What is job satisfaction?. Organizational behavior and human performance, 4(4), 309-336.
• Lunenberg, M., & Samaras, A. P. (2011). Developing a pedagogy for teaching self-study research: Lessons learned across the Atlantic. Teaching and teacher education, 27 (5), 841-850.
• Matthews, G. (2015). The study focuses on strategies for achieving goals, resolutions.
• Miner, J. B. (1984). The validity and usefulness of theories in emerging organizational science. Academy of Management Review, 9 (2), 296-306.
• Miner, J. B. (2005). Organizational behavior 1: Essential theories of motivation and leadership . M. E. Sharpe.
• Moeller, A. J., Theiler, J. M., & Wu, C. (2012). Goal-setting and student achievement: A longitudinal study. The Modern Language Journal, 96 (2), 153-169.
• Petersen, A. (2019). How Millennials Became The Burnout Generation. Retrieved from https://www.buzzfeednews.com/article/annehelenpetersen/millennials-burnout-generation-debt-work
• Ordóñez, L. D., Schweitzer, M. E., Galinsky, A. D., & Bazerman, M. H. (2009). Goals gone wild: The systematic side effects of overprescribing goal-setting. Academy of Management Perspectives, 23 (1), 6-16.
• Roney, C. J., Higgins, E. T., & Shah, J. (1995). Goals and framing: How the outcome focus influences motivation and emotion. Personality and Social Psychology Bulletin, 21 (11), 1151-1160.
• Seijts, G. H., Latham, G. P., Tasa, K., & Latham, B. W. (2004). Goal-setting and goal orientation: An integration of two different yet related literatures. Academy of management journal, 47 (2), 227-239.
• Shearer, B. A., Carr, D. A., & Vogt, M. (2018). Reading specialists and literacy coaches in the real world. Waveland Press.
• Vroom, V. H. (1964). Work and motivation (Vol. 54). New York: Wiley.
• Winters, D., & Latham, G. P. (1996). The effect of learning versus outcome goals on a simple versus a complex task. Group & Organization Management, 21 (2), 236-250.
• Zimmerman, B. J., Bandura, A., & Martinez-Pons, M. (1992). Self-motivation for academic attainment: The role of self-efficacy beliefs and personal goal setting. American Educational Research Journal, 29(3) , 663-676.

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BTW the A in SMART is Assignable… Not achievable. Achievable and Realistic are the same.

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Great article – I’ve just read it as I am composing my own article on goal setting. There is a lot of really useful information on here and you have managed to condense a lot of information into key messages. The nuanced point really resonated, I am writing about exactly that topic. I have a site which is to help people with self-development and overall well-being and I myself have to work out how to get the balance right between self-development and savouring life/living in the present so it’s good to see it also mentioned here. I will link to this article on my site and bring through some of the key messages to reinforce some of my own.

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Edwin A. Locke, Ph.D.

Introduction.

Edwin A. Locke is Dean’s Professor (Emeritus) of Leadership and Motivation at the R.H. Smith School of Business at the University of Maryland, College Park. He received his BA from Harvard in 1960 and his Ph.D. in Industrial Psychology from Cornell University in 1964.

He has published more than 336 chapters, notes and articles in professional journals, on such subjects as work motivation, job satisfaction, incentives, and the philosophy of science. He is also the author, co author, editor or co editor of 13 books, including The Selfish Path to Romance: How to Love with Passion and Reason (Platform Press, 2011), Study Methods and Study Motivation (Ayn Rand Bookstore, 2008), Goal Setting: A Motivational Technique That Works (Prentice Hall, 1984, with G. Latham), A Theory of Goal Setting and Task Performance (Prentice Hall, 1990, with G. Latham), New Developments in Goal Setting and Task Performance, (Routledge, 2013, with G. Latham), Handbook of Principles of Organizational Behavior (Blackwell, 2000; 2nd edition, Wiley, 2009, 3rd edition with Craig Pearce, Wiley, 2023 ), The Prime Movers: Traits of the Great Wealth Creators (Second Edition, Ayn Rand Bookstore, 2008), Postmodernism and Management: Pros, Cons and the Alternative (JAI: Elsevier, 2003), and The Illusion of Determinism: Why Free Will is Real and Causal (2018) .

He is internationally known for his research on goal setting. A recent survey found that Locke’s goal setting theory (developed with G. Latham) was ranked #1 in importance among 73 management theories. His work has been supported by numerous research grants, and he has served as consultant to research firms and private businesses.

Dr, Locke has been consulting editor for numerous professional journals. He was a winner of the Outstanding Teacher-Scholar Award at the University of Maryland, the Distinguished Scientific Contribution Award of the Society for Industrial and Organizational Psychology, the Career Contribution Award from the Academy of Management (Human Resource Division), the Lifetime Achievement Award from the Academy of Management (Organizational Behavior Division), and the James McKeen Cattell Fellow Award from the American Psychological Society. He is interested in the application of the philosophy of Objectivism to behavioral sciences.

View or download Dr. Locke’s Vita PDF | Microsoft Word | HTML

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John Locke (b. 1632, d. 1704) was a British philosopher, Oxford academic and medical researcher. Locke’s monumental An Essay Concerning Human Understanding (1689) is one of the first great defenses of modern empiricism and concerns itself with determining the limits of human understanding in respect to a wide spectrum of topics. It thus tells us in some detail what one can legitimately claim to know and what one cannot. Locke’s association with Anthony Ashley Cooper (later the First Earl of Shaftesbury) led him to become successively a government official charged with collecting information about trade and colonies, economic writer, opposition political activist, and finally a revolutionary whose cause ultimately triumphed in the Glorious Revolution of 1688. Among Locke’s political works he is most famous for The Second Treatise of Government in which he argues that sovereignty resides in the people and explains the nature of legitimate government in terms of natural rights and the social contract. He is also famous for calling for the separation of Church and State in his Letter Concerning Toleration . Much of Locke’s work is characterized by opposition to authoritarianism. This is apparent both on the level of the individual person and on the level of institutions such as government and church. For the individual, Locke wants each of us to use reason to search after truth rather than simply accept the opinion of authorities or be subject to superstition. He wants us to proportion assent to propositions to the evidence for them. On the level of institutions it becomes important to distinguish the legitimate from the illegitimate functions of institutions and to make the corresponding distinction for the uses of force by these institutions. Locke believes that using reason to try to grasp the truth, and determine the legitimate functions of institutions will optimize human flourishing for the individual and society both in respect to its material and spiritual welfare. This in turn, amounts to following natural law and the fulfillment of the divine purpose for humanity.

1.1 Locke’s Life up to His Meeting with Lord Ashley in 1666

1.2 locke and lord shaftesbury 1666 to 1688, 1.3 the end of locke’s life 1689–1704, 2.2 book ii, 2.3 book iii, 2.4 book iv, 2.5 knowledge and probability, 2.6 reason, faith and enthusiasm, 3. locke’s major works on education, 4.1 the second treatise of government, 4.2 human nature and god’s purposes, 4.3 of war and slavery, 4.4 of property, 4.5 the social contract theory, 4.6 the function of civil government, 4.7 rebellion and regicide, 5. locke and religious toleration, primary sources, secondary sources, other internet resources, related entries, 1. historical background and locke’s life.

John Locke (1632–1704) was one of the greatest philosophers in Europe at the end of the seventeenth century. Locke grew up and lived through one of the most extraordinary centuries of English political and intellectual history. It was a century in which conflicts between Crown and Parliament and the overlapping conflicts between Protestants, Anglicans and Catholics swirled into civil war in the 1640s. With the defeat and death of Charles I, there began a great experiment in governmental institutions including the abolishment of the monarchy, the House of Lords and the Anglican church, and the establishment of Oliver Cromwell’s Protectorate in the 1650s. The collapse of the Protectorate after the death of Cromwell was followed by the Restoration of Charles II—the return of the monarchy, the House of Lords and the Anglican Church. This period lasted from 1660 to 1688. It was marked by continued conflicts between King and Parliament and debates over religious toleration for Protestant dissenters and Catholics. This period ends with the Glorious Revolution of 1688 in which James II was driven from England and replaced by William of Orange and his wife Mary. The final period during which Locke lived involved the consolidation of power by William and Mary, and the beginning of William’s efforts to oppose the domination of Europe by the France of Louis XIV, which later culminated in the military victories of John Churchill—the Duke of Marlborough.

Locke was born in Wrington to Puritan parents of modest means. His father was a country lawyer who served in a cavalry company on the Puritan side in the early stages of the English Civil War. His father’s commander, Alexander Popham, became the local MP, and it was his patronage which allowed the young John Locke to gain an excellent education. In 1647 Locke went to Westminster School in London.

From Westminster school he went to Christ Church, Oxford, in the autumn of 1652 at the age of twenty. As Westminster school was the most important English school, so Christ Church was the most important Oxford college. Education at Oxford was medieval. Locke, like Hobbes before him, found the Aristotelian philosophy he was taught at Oxford of little use. There was, however, more at Oxford than Aristotle. The new experimental philosophy had arrived. John Wilkins, Cromwell’s brother in law, had become Warden of Wadham College. The group around Wilkins was the nucleus of what was to become the English Royal Society. The Society grew out of informal meetings and discussion groups and moved to London after the Restoration and became a formal institution in the 1660s with charters from Charles II. The Society saw its aims in contrast with the Scholastic/Aristotelian traditions that dominated the universities. The program was to study nature rather than books. [ 1 ] Many of Wilkins associates were people interested in pursuing medicine by observation rather than the reading of classic texts. Bacon’s interest in careful experimentation and the systematic collection of facts from which generalizations could be made was characteristic of this group. One of Locke’s friends from Westminster school, Richard Lower, introduced Locke to medicine and the experimental philosophy being pursued by the virtuosi at Wadham.

Locke received his B.A. in February 1656. His career at Oxford, however, continued beyond his undergraduate days. In June of 1658, Locke qualified as a Master of Arts and was elected a Senior Student of Christ Church College. The rank was equivalent to a Fellow at any of the other colleges, but was not permanent. Locke had yet to determine what his career was to be. Locke was elected Lecturer in Greek at Christ Church in December of 1660 and he was elected Lecturer in Rhetoric in 1663. At this point, Locke needed to make a decision. The statutes of Christ Church laid it down that fifty five of the senior studentships should be reserved for men in orders or reading for orders. Only five could be held by others, two in medicine, two in law and one in moral philosophy. Thus, there was good reason for Locke to become a clergyman. Since his graduation Locke had been studying medicine. Locke decided to become a doctor.

John Wilkins had left Oxford with the Restoration of Charles II. The new leader of the Oxford scientific group was Robert Boyle. He was also Locke’s scientific mentor. Boyle (with the help of his astonishing assistant Robert Hooke) built an air pump which led to the formulation of Boyle’s law and devised a barometer as a weather indicator. The work on the air pump led to a controversy with Thomas Hobbes because Boyle’s explanations of the working of the air pump were incompatible with Hobbes’ micro-corpuscular theory. This controversy continued for ten years. Boyle was, however, most influential as a theorist. He was a mechanical philosopher who treated the world as reducible to matter in motion. But he had no micro-corpuscular account of the air.

Locke read Boyle before he read Descartes. When he did read Descartes, he saw the great French philosopher as providing a viable alternative to the sterile Aristotelianism he had been taught at Oxford. In writing An Essay Concerning Human Understanding Locke adopted Descartes’ ‘way of ideas’; though it is transformed so as to become an organic part of Locke’s philosophy. Still, while admiring Descartes, Locke’s involvement with the Oxford scientists gave him a perspective that made him critical of the rationalist elements in Descartes’ philosophy.

In the Epistle to the Reader at the beginning of the Essay Locke remarks:

The commonwealth of learning is not at this time without master-builders, whose mighty designs, in advancing the sciences, will leave lasting monuments to the admiration of posterity: but everyone must not hope to be a Boyle or a Sydenham; and in an age that produces such masters as the great Huygenius and the incomparable Mr. Newton, with some others of that strain, it is ambition enough to be employed as an under-labourer in clearing the ground a little, and removing some of the rubbish that lies in the way to knowledge …. (N: 9–10; all quotations are from the Nidditch edition of An Essay Concerning Human Understanding [N])

Locke knew all of these men and their work. Locke, Boyle and Newton were all founding or early members of the English Royal Society. It is from Boyle that Locke learned about atomism (or the corpuscular hypothesis) and it is from Boyle’s book The Origin of Forms and Qualities that Locke took the language of primary and secondary qualities. Sydenham was an English physician and Locke did medical research with him. Sydenham championed careful observation of disease and rejected appeal to underlying causes. Both Boyle and Newton did work on colors that did not involve micro-corpuscular explanations. Locke read Newton’s Principia Mathematica Philosophiae Naturalis while in exile in Holland, and consulted Huygens as to the soundness of its mathematics. Locke and Newton became friends after Locke’s return from Holland in 1688. It may be that in referring to himself as an ‘under-labourer’, Locke is not only displaying a certain literary modesty, he is contrasting the positive discoveries of these men, with his own attempt to show the inadequacies of the Aristotelian and Scholastic and to some degree the Cartesian philosophies. There are, however, many aspects of Locke’s project to which this image of an under-labourer does not do justice (see Jolley 1999: 15–17). While the corpuscular philosophy and Newton’s discoveries clearly influenced Locke, it is the Baconian program of producing natural histories that Locke makes reference to when he talks about the Essay in the Introduction. He writes:

It shall suffice to my present Purpose, to consider the discerning Faculties of a Man, as they are employ’d about the Objects, which they have to do with: and I shall imagine that I have not wholly misimploy’d my self in the Thoughts I shall have on this Occasion, if in this Historical, Plain Method, I can give any Account of the Ways, whereby our Understanding comes to attain those Notions of Things, and can set down any Measure of the Certainty of our Knowledge…. (I.1.2, N: 43–4—the three numbers, are book, chapter and section numbers respectively, followed by the page number in the Nidditch edition)

The ‘Historical, Plain Method’ is apparently to give a genetic account of how we come by our ideas. Presumably this will reveal the degree of certainty of the knowledge based on such ideas. Locke’s own active involvement with the scientific movement was largely through his informal studies of medicine. Dr. David Thomas was his friend and collaborator. Locke and Thomas had a laboratory in Oxford which was very likely, in effect, a pharmacy. In 1666 Lord Ashley, one of the richest men in England, came to Oxford in order to drink some medicinal waters there. He had asked Dr. Thomas to provide them. Thomas had to be out of town and asked Locke to see that the water was delivered. As a result of this encounter, Ashley invited Locke to come to London as his personal physician. In 1667 Locke did move to London becoming not only Lord Ashley’s personal physician, but secretary, researcher, political operative and friend. Living with him Locke found himself at the very heart of English politics in the 1670s and 1680s.

Locke’s chief work while living at Lord Ashley’s residence, Exeter House, in 1668 was as Ashley’s physician. Locke used his medical training to organize a successful operation on Ashley. This was perhaps the most carefully documented operation in the 17th century. Locke consulted doctors across the country to determine what the best practices were for this operation and made cleanliness a priority. In doing so he saved his patron’s life and thus changed English history.

Locke had a number of other jobs. He worked as secretary of the Board of Trade and Plantations and Secretary to the Lords Proprietors of the Carolinas. Lord Ashley was one of the advocates of the view that England would prosper through trade and that colonies could play an important role in promoting trade. Ashley persuaded Charles II to create a Board of Trade and Plantations to collect information about trade and colonies, and Locke became its secretary. In his capacity as the secretary of the Board of Trade Locke was the collection point for information from around the globe about trade and colonies for the English government. Among Ashley’s commercial projects was an effort to found colonies in the Carolinas. In his capacity as the secretary to the Lords Proprietors, Locke was involved in the writing of the fundamental constitution of the Carolinas. There is some controversy about the extent of Locke’s role in writing the constitution. [ 2 ] In addition to issues about trade and colonies, Locke was involved through Shaftesbury in other controversies about public policy. There was a monetary crisis in England involving the value of money, and the clipping of coins. Locke wrote papers for Lord Ashley on economic matters, including the coinage crisis.

While living in London at Exeter House, Locke continued to be involved in philosophical discussions. He tells us that:

Were it fit to trouble thee with the history of this Essay, I should tell thee, that five or six friends meeting at my chamber, and discoursing on a subject very remote from this, found themselves quickly at a stand, by the difficulties that rose on every side. After we had awhile puzzled ourselves, without coming any nearer a resolution of those doubts which perplexed us, it came into my thoughts that we took a wrong course; and that before we set ourselves upon inquiries of that nature, it was necessary to examine our own abilities, and see what objects our understandings were, or were not, fitted to deal with. This I proposed to the company, who all readily assented; and thereupon it was agreed that this should be our first inquiry. Some hasty and undigested thoughts, on a subject I had never before considered, which I set down against our next meeting, gave the first entrance into this Discourse; which having been thus begun by chance, was continued by intreaty; written by incoherent parcels; and after long intervals of neglect, resumed again, as my humour or occasions permitted; and at last, in a retirement where an attendance on my health gave me leisure, it was brought into that order thou now seest it. (Epistle to the Reader, N: 7)

James Tyrrell, one of Locke’s friends was at that meeting. He recalls the discussion being about the principles of morality and revealed religion (Cranston 1957: 140–1). Thus the Oxford scholar and medical researcher came to begin the work which was to occupy him off and on over the next twenty years.

In 1674 after Shaftesbury had left the government, Locke went back to Oxford, where he acquired the degree Bachelor of medicine, and a license to practice medicine, and then went to France (Cranston 1957: 160). In France Locke went from Calais to Paris, Lyons and on to Montpellier, where he spent the next fifteen months. Much of Locke’s time was spent learning about Protestantism in France. The Edict of Nantes (promulgated by Henry IV in 1598) was in force, and so there was a degree of religious toleration in France. Louis XIV was to revoke the edict in 1685 and French Protestants were then killed while some 400,000 went into exile.

While Locke was in France, Shaftesbury’s fortunes fluctuated. In 1676 Shaftesbury was imprisoned in the tower. His imprisonment lasted for a year. In 1678, after the mysterious murder of a London judge, informers (most notably Titus Oates) started coming forward to reveal a supposed Catholic conspiracy to assassinate the King and put his brother on the throne. This whipped up public anti-Catholic frenzy. Though Shaftesbury had not fabricated the conspiracy story, nor did he prompt Oates to come forward, he did exploit the situation to the advantage of his party. In the public chaos surrounding the sensational revelations, Shaftesbury organized an extensive party network, exercised great control over elections, and built up a large parliamentary majority. His strategy was to secure the passage of an Exclusion bill that would prevent Charles II’s openly Catholic brother from becoming King. Although the Exclusion bill passed in the Commons it was rejected in the House of Lords because of the King’s strong opposition to it. As the panic over the Popish plot receded, Shaftesbury was left without a following or a cause. Shaftesbury was seized on July 21, 1681 and again put in the tower. He was tried on trumped-up charges of treason but acquitted by a London grand jury (filled with his supporters) in November.

At this point some of the Country Party leaders began plotting an armed insurrection which, had it come off, would have begun with the assassination of Charles and his brother on their way back to London from the races at Newmarket. The chances of such a rising occurring were not as good as the plotters supposed. Memories of the turmoil of the civil war were still relatively fresh. Eventually Shaftesbury, who was moving from safe house to safe house, gave up and fled to Holland in November 1682. He died there in January 1683. Locke stayed in England until the Rye House Plot (named after the house from which the plotters were to fire upon the King and his brother) was discovered in June of 1683. Locke left for the West country to put his affairs in order the very week the plot was revealed to the government and by September he was in exile in Holland. [ 3 ]

While in exile, Locke finished An Essay Concerning Human Understanding and published a fifty-page advanced notice of it in French. (This was to provide the intellectual world on the continent with most of their information about the Essay until Pierre Coste’s French translation appeared in 1704.) He also wrote and published his Epistola de Tolerentia in Latin. Richard Ashcraft, in his Revolutionary Politics and Locke’s Two Treatises of Government (1986) suggests that while in Holland, Locke was not only finishing An Essay Concerning Human Understanding and nursing his health, he was closely associated with the English revolutionaries in exile. The English government was much concerned with this group. They tried to get a number of them, including Locke, extradited to England. Locke’s studentship at Oxford was taken away from him. In the meanwhile, the English intelligence service infiltrated the rebel group in Holland and effectively thwarted their efforts—at least for a while. While Locke was living in exile in Holland, Charles II died on Feb. 6, 1685, and was succeeded by his brother, who became James II of England. Soon after this, the rebels in Holland sent a force of soldiers under the Duke of Monmouth to England to try to overthrow James II. The revolt was crushed, and Monmouth was captured and executed (Ashcraft 1986). For a meticulous, if cautious review, of the evidence concerning Locke’s involvement with the English rebels in exile see Roger Woolhouse’s Locke: A Biography (2007).

Ultimately, however, the rebels were successful. James II alienated most of his supporters, and William of Orange was invited to bring a Dutch force to England. After William’s army landed, James II, realizing that he could not mount an effective resistance, fled the country to exile in France. This became known as the Glorious Revolution of 1688. It is a watershed in English history. For it marks the point at which the balance of power in the English government passed from the King to the Parliament. Locke returned to England in February 1689.

After his return from exile, Locke published An Essay Concerning Human Understanding and The Two Treatises of Government . In addition, Popple’s translation of Locke’s A Letter Concerning Toleration was also published. It is worth noting that the Two Treatises and the Letter Concerning Toleration were published anonymously. Locke took up residence in the country at Oates in Essex, the home of Sir Francis and Lady Masham (Damaris Cudworth). Locke had met Damaris Cudworth in 1682 and became involved intellectually and romantically with her. She was the daughter of Ralph Cudworth, the Cambridge Platonist, and a philosopher in her own right. After Locke went into exile in Holland in 1683, she married Sir Francis Masham. Locke and Lady Masham remained good friends and intellectual companions to the end of Locke’s life. During the remaining years of his life, Locke oversaw four more editions of the Essay and engaged in controversies over the Essay most notably in a series of published letters with Edward Stillingfleet, Bishop of Worcester. In a similar way, Locke defended the Letter Concerning Toleration against a series of attacks. He wrote The Reasonableness of Christianity and Some Thoughts on Education during this period as well.

Nor was Locke finished with public affairs. In 1696 the Board of Trade was revived. Locke played an important part in its revival and served as the most influential member on it until 1700. The new Board of Trade had administrative powers and was, in fact, concerned with a wide range of issues, from the Irish wool trade and the suppression of piracy, to the treatment of the poor in England and the governance of the colonies. It was, in Peter Laslett’s phrase “the body which administered the United States before the American Revolution” (Laslett 1954 [1990: 127]). During these last eight years of his life, Locke was asthmatic, and he suffered so much from it that he could only bear the smoke of London during the four warmer months of the year. Locke plainly engaged in the activities of the Board out of a strong sense of patriotic duty. After his retirement from the Board of Trade in 1700, Locke remained in retirement at Oates until his death on Sunday 28 October 1704.

2. The Limits of Human Understanding

Locke is often classified as the first of the great English empiricists (ignoring the claims of Bacon and Hobbes). This reputation rests on Locke’s greatest work, the monumental An Essay Concerning Human Understanding . Locke explains his project in several places. Perhaps the most important of his goals is to determine the limits of human understanding. Locke writes:

For I thought that the first Step towards satisfying the several Enquiries, the Mind of Man was apt to run into, was, to take a Survey of our own Understandings, examine our own Powers, and see to what Things they were adapted. Till that was done, I suspected that we began at the wrong end, and in vain sought for Satisfaction in a quiet and secure Possession of Truths, that most concern’d us whilst we let loose our Thoughts into the vast Ocean of Being , as if all the boundless Extent, were the natural and undoubted Possessions of our Understandings, wherein there was nothing that escaped its Decisions, or that escaped its Comprehension. Thus Men, extending their Enquiries beyond their Capacities, and letting their Thoughts wander into those depths where they can find no sure Footing; ’tis no Wonder, that they raise Questions and multiply Disputes, which never coming to any clear Resolution, are proper to only continue and increase their Doubts, and to confirm them at last in a perfect Skepticism. Wheras were the Capacities of our Understanding well considered, the Extent of our Knowledge once discovered, and the Horizon found, which sets the boundary between the enlightened and the dark Parts of Things; between what is and what is not comprehensible by us, Men would perhaps with less scruple acquiesce in the avow’d Ignorance of the one; and employ their Thoughts and Discourse, with more Advantage and Satisfaction in the other. (I.1.7, N: 47)

Some philosophers before Locke had suggested that it would be good to find the limits of the Understanding, but what Locke does is to carry out this project in detail. In the four books of the Essay Locke considers the sources and nature of human knowledge. Book I argues that we have no innate knowledge. (In this he resembles Berkeley and Hume, and differs from Descartes and Leibniz.) So, at birth, the human mind is a sort of blank slate on which experience writes. In Book II Locke claims that ideas are the materials of knowledge and all ideas come from experience. The term ‘idea’, Locke tells us “…stands for whatsoever is the Object of the Understanding, when a man thinks” (I.1.8, N: 47). Experience is of two kinds, sensation and reflection. One of these—sensation—tells us about things and processes in the external world. The other—reflection—tells us about the operations of our own minds. Reflection is a sort of internal sense that makes us conscious of the mental processes we are engaged in. Some ideas we get only from sensation, some only from reflection and some from both.

Locke has an atomic or perhaps more accurately a corpuscular theory of ideas. [ 4 ] There is, that is to say, an analogy between the way atoms or corpuscles combine into complexes to form physical objects and the way ideas combine. Ideas are either simple or complex. We cannot create simple ideas, we can only get them from experience. In this respect the mind is passive. Once the mind has a store of simple ideas, it can combine them into complex ideas of a variety of kinds. In this respect the mind is active. Thus, Locke subscribes to a version of the empiricist axiom that there is nothing in the intellect that was not previously in the senses—where the senses are broadened to include reflection. Book III deals with the nature of language, its connections with ideas and its role in knowledge. Book IV, the culmination of the previous reflections, explains the nature and limits of knowledge, probability, and the relation of reason and faith. Let us now consider the Essay in some detail.

At the beginning of An Essay Concerning Human Understanding Locke says that since his purpose is “to enquire into the Original, Certainty and Extent of human knowledge, together with the grounds and degrees of Belief, Opinion and Assent” he is going to begin with ideas—the materials out of which knowledge is constructed. His first task is to “enquire into the Original of these Ideas…and the ways whereby the Understanding comes to be furnished with them” (I.1.3, N: 44). The role of Book I of the Essay is to make the case that being innate is not a way in which the understanding is furnished with principles and ideas. Locke treats innateness as an empirical hypothesis and argues that there is no good evidence to support it.

Locke describes innate ideas as “some primary notions…Characters as it were stamped upon the Mind of Man, which the Soul receives in its very first Being; and brings into the world with it” (I.2.1, N: 48). In pursuing this enquiry, Locke rejects the claim that there are speculative innate principles (I.2), practical innate moral principles (I.3) or that we have innate ideas of God, identity or impossibility (I.4). Locke rejects arguments from universal assent and attacks dispositional accounts of innate principles. Thus, in considering what would count as evidence from universal assent to such propositions as “What is, is” or “It is impossible for the same thing to be and not to be” he holds that children and idiots should be aware of such truths if they were innate but that they “have not the least apprehension or thought of them”. Why should children and idiots be aware of and able to articulate such propositions? Locke says:

It seems to me a near Contradiction to say that there are truths imprinted on the Soul, which it perceives or understands not; imprinting if it signify anything, being nothing else but the making certain Truths to be perceived. (I.2.5, N: 49)

So, Locke’s first point is that if propositions were innate they should be immediately perceived—by infants and idiots (and indeed everyone else)—but there is no evidence that they are. Locke then proceeds to attack dispositional accounts that say, roughly, that innate propositions are capable of being perceived under certain circumstances. Until these circumstances come about the propositions remain unperceived in the mind. With the advent of these conditions, the propositions are then perceived. Locke gives the following argument against innate propositions being dispositional:

For if any one [proposition] may [be in the mind but not be known]; then, by the same Reason, all Propositions that are true, and the Mind is ever capable of assenting to, may be said to be in the Mind, and to be imprinted: since if any one can be said to be in the Mind, which it never yet knew, it must be only because it is capable of knowing it; and so the Mind is of all Truths it ever shall know. (I.2.5, N: 50)

The essence of this argument and many of Locke’s other arguments against dispositional accounts of innate propositions is that such dispositional accounts do not provide an adequate criterion for distinguishing innate propositions from other propositions that the mind may come to discover. Thus, even if some criterion is proposed, it will turn out not to do the work it is supposed to do.

When Locke turns from speculative principles to the question of whether there are innate practical moral principles, many of the arguments against innate speculative principles continue to apply, but there are some additional considerations. Practical principles, such as the Golden Rule, are not self-evident in the way such speculative principles as “What is, is” are. Thus, one can clearly and sensibly ask reasons for why one should hold the Golden Rule true or obey it (I.3.4, N: 68). There are substantial differences between people over the content of practical principles. Thus, they are even less likely candidates to be innate propositions or to meet the criterion of universal assent. In the fourth chapter of Book I, Locke raises similar points about the ideas which compose both speculative and practical principles. The point is that if the ideas that are constitutive of the principles are not innate, this gives us even more reason to hold that the principles are not innate. He examines the ideas of identity, impossibility and God to make these points.

In Book I Locke says little about who holds the doctrine of innate principles that he is attacking. For this reason he has sometimes been accused of attacking straw men. John Yolton has persuasively argued (Yolton 1956) that the view that innate ideas and principles were necessary for the stability of religion, morality and natural law was widespread in England in the seventeenth century, and that in attacking both the naive and the dispositional account of innate ideas and innate principles, Locke is attacking positions which were widely held and continued to be held after the publication of the Essay . Thus, the charge that Locke’s account of innate principles is made of straw, is not a just criticism. But there are also some important connections with particular philosophers and schools that are worth noting and some points about innate ideas and inquiry.

At I. 4. 24. Locke tells us that the doctrine of innate principles once accepted “eased the lazy from the pains of search” and that the doctrine is an inquiry stopper that is used by those who “affected to be Masters and Teachers” to illegitimately gain control of the minds of their students. Locke rather clearly has in mind the Aristotelians and scholastics at the universities. Thus Locke’s attack on innate principles is connected with his anti-authoritarianism. It is an expression of his view of the importance of free and autonomous inquiry in the search for truth. Ultimately, Locke holds, this is the best road to knowledge and happiness. Locke, like Descartes, is tearing down the foundations of the old Aristotelian scholastic house of knowledge. But while Descartes focused on the empiricism at the foundation of the structure, Locke is focusing on the claims that innate ideas provide its first principles. The attack on innate ideas is thus the first step in the demolition of the scholastic model of science and knowledge. Ironically, it is also clear from II.1.9. that Locke sees Descartes’ claim that his essence is to be a thinking thing as entailing a doctrine of innate ideas and principles.

In Book II of the Essay , Locke gives his positive account of how we acquire the materials of knowledge. Locke distinguishes a variety of different kinds of ideas in Book II. Locke holds that the mind is a tabula rasa or blank sheet until experience in the form of sensation and reflection provide the basic materials—simple ideas—out of which most of our more complex knowledge is constructed. While the mind may be a blank slate in regard to content, it is plain that Locke thinks we are born with a variety of faculties to receive and abilities to manipulate or process the content once we acquire it. Thus, for example, the mind can engage in three different types of action in putting simple ideas together. The first of these kinds of action is to combine them into complex ideas. Complex ideas are of two kinds, ideas of substances and ideas of modes. Substances are independent existences. Beings that count as substances include God, angels, humans, animals, plants and a variety of constructed things. Modes are dependent existences. These include mathematical and moral ideas, and all the conventional language of religion, politics and culture. The second action which the mind performs is the bringing of two ideas, whether simple or complex, by one another so as to take a view of them at once, without uniting them. This gives us our ideas of relations (II.12.1, N: 163). The third act of the mind is the production of our general ideas by abstraction from particulars, leaving out the particular circumstances of time and place, which would limit the application of an idea to a particular individual. In addition to these abilities, there are such faculties as memory which allow for the storing of ideas.

Having set forth the general machinery of how simple and complex ideas of substances, modes, relations, and so forth are derived from sensation and reflection, Locke also explains how a variety of particular kinds of ideas, such as the ideas of solidity, number, space, time, power, identity, and moral relations arise from sensation and reflection. Several of these are of particular interest. Locke’s chapter on power gives rise to a discussion of free will and voluntary action (see the entry on Locke on freedom ). Locke also made a number of interesting claims in the philosophy of mind. He suggested, for example, that for all we know, God could as easily add the powers of perception and thought to matter organized in the right way as he could add those powers to an immaterial substance which would then be joined to matter organized in the right way. His account of personal identity in II. xxvii was revolutionary. (See the entry on Locke on personal identity) . Both of these topics and related ones are treated in the supplementary document: Some Interesting Issues in Locke’s Philosophy of Mind

In what follows, we focus on some central issues in Locke’s account of physical objects. (See also the entry Locke’s philosophy of science , which pursues a number of topics related to Locke’s account of physical objects that are of considerable importance but largely beyond the scope of this general account of Locke’s philosophy.) These include Locke on knowledge in natural philosophy, the limitations of the corpuscular philosophy and Locke’s relation to Newton.

Locke offers an account of physical objects based on the mechanical philosophy and the corpuscular hypothesis. The adherents of the mechanical philosophy held that all material phenomena can be explained by matter in motion and the impact of one body on another. They viewed matter as passive. They rejected the “occult qualities” and “causation at a distance” of the Aristotelian and Scholastic philosophy. Robert Boyle’s corpuscularian hypothesis treated the material world as made up of particles. Some corpuscularians held that corpuscles could be further divided and that the universe was full of matter with no void space. Atomists, on the other hand, held that the particles were indivisible and that the material world is composed of atoms and the void or empty space in which the atoms move. Locke was an atomist.

Atoms have properties. They are extended, they are solid, they have a particular shape and they are in motion or rest. They combine together to produce the familiar stuff and physical objects, the gold and the wood, the horses and violets, the tables and chairs of our world. These familiar things also have properties. They are extended, solid, have a particular shape, and are in motion and at rest. In addition to these properties that they share with the atoms that compose them, they have other properties such as colors, smells, tastes that they get by standing in relation to perceivers. The distinction between these two kinds of properties goes back to the Greek atomists. It is articulated by Galileo and Descartes as well as Locke’s mentor Robert Boyle.

Locke makes this distinction in Book II Chapter 8 of the Essay and using Boyle’s terminology calls the two different classes of properties the primary and secondary qualities of an object. This distinction is made by both of the main branches of the mechanical philosophy of the seventeenth and early eighteenth century. Both the Cartesian plenum theorists, who held that the world was full of infinitely divisible matter and that there was no void space, and the atomists such as Gassendi, who held that there were indivisible atoms and void space in which the atoms move, made the distinction between these two classes of properties. Still, the differences between these two branches of the mechanical philosophy affect their account of primary qualities. In the chapter on Solidity (II.4) Locke rejects the Cartesian definition of body as simply extended and argues that bodies are both extended and impenetrable or solid. The inclusion of solidity in Locke’s account of bodies and of primary qualities distinguishes them from the void space in which they move.

The primary qualities of an object are properties which the object possesses independent of us—such as occupying space, being either in motion or at rest, having solidity and texture. The secondary qualities are powers in bodies to produce ideas in us like color, taste, smell and so on that are caused by the interaction of our particular perceptual apparatus with the primary qualities of the object. Our ideas of primary qualities resemble the qualities in the object, while our ideas of secondary qualities do not resemble the powers that cause them. Locke also distinguishes a second class of secondary properties that are the powers that one substance has to effect another, e.g. the power of a fire to melt a piece of wax.

There has been considerable scholarly debate concerning the details of Locke’s account of the distinction. Among the issues are which qualities Locke assigns to each of the two categories. Locke gives several lists. Another issue is what the criterion is for putting a quality in one list rather than another. Does Locke hold that all the ideas of secondary qualities come to us by one sense while the ideas of primary qualities come to us through two or is Locke not making the distinction in this way? Another issue is whether there are only primary qualities of atoms or whether compounds of atoms also have primary qualities. And while Locke claims our ideas of primary qualities resemble the primary qualities in objects, and the ideas of secondary qualities do not resemble their causes in the object, what does ‘resemble’ mean in this context? Related to this issue is how we are supposed to know about particles that we cannot sense. It seems clear that Locke holds that there are certain analogies between the middle sized macroscopic objects we encounter in the world, e.g. porphyry and manna for example, and the particles that compose these things. Maurice Mandelbaum called this process ‘transdiction’. These analogies allow us to say certain things about the nature of particles and primary and secondary qualities. For example we can infer that atoms are solid and that heat is a greater rate of motion of atoms while cold is a slower motion. But these analogies may not get us very far in grasping the necessary connections between qualities in nature. Yet another issue is whether Locke sees the distinction as reductionistic. If what we mean by reductionistic here is that only the primary qualities are real and these explain the secondary qualities then there does not seem to be a clear answer. Secondary qualities surely are nothing more than certain primary qualities that affect us in certain ways. This seems to be reductionistic. But on Locke’s account of “real ideas” in II.30 both the ideas of primary and secondary qualities count as real. And while Locke holds that our ideas of secondary qualities are caused by primary qualities, in certain important respects the primary qualities do not explain them. Locke holds that we cannot even conceive how the size, figure and motion of particles could cause any sensation in us. So, knowing the size, figure and motion of the particles would be of no use to us in this regard (see IV.3.11–40, N: 544–546).

Locke probably holds some version of the representational theory of perception, though some scholars dispute this. On such a theory what the mind immediately perceives are ideas, and the ideas are caused by and represent the objects which cause them. Thus perception is a triadic relation, rather than simply being a dyadic relation between an object and a perceiver. Such a dyadic relational theory is often called naive realism because it suggests that the perceiver is directly perceiving the object, and naive because this view is open to a variety of serious objections. Some versions of the representational theory are open to serious objections as well. If, for example, one treats ideas as things, then one can imagine that because one sees ideas, the ideas actually block one from seeing things in the external world. The idea would be like a picture or painting. The picture would copy the original object in the external world, but because our immediate object of perception is the picture we would be prevented from seeing the original just as standing in front of a painting on an easel might prevent us from seeing the person being painted. Thus, this is sometimes called the picture/original theory of perception. Alternatively, Jonathan Bennett called it “the veil of perception” to emphasize that ‘seeing’ the ideas prevents us from seeing the external world. One philosopher who arguably held such a view was Nicholas Malebranche, a follower of Descartes. Antoine Arnauld, by contrast, while believing in the representative character of ideas, is a direct realist about perception. Arnauld engaged in a lengthy controversy with Malebranche, and criticized Malebranche’s account of ideas. Locke follows Arnauld in his criticism of Malebranche on this point (Locke, 1823, Vol. IX: 250). Yet Berkeley attributed the veil of perception interpretation of the representational theory of perception to Locke as have many later commentators including Bennett. A.D. Woozley puts the difficulty of doing this succinctly:

…it is scarcely credible both that Locke should be able to see and state so clearly the fundamental objection to the picture-original theory of sense perception, and that he should have held the same theory himself. (Woozley 1964: 27)

Just what Locke’s account of perception involves, is still a matter of scholarly debate. A review of this issue at a symposium including John Rogers, Gideon Yaffe, Lex Newman, Tom Lennon, and Vere Chappell at a meeting of the Pacific Division of the American Philosophical Association in 2003 and later expanded and published in the Pacific Philosophical Quarterly (2004, volume 85, issue 3) found most of the symposiasts holding the view that Locke holds a representative theory of perception but that he is not a skeptic about the external world in the way that the veil of perception doctrine might suggest.

Another issue that has been a matter of controversy since the first publication of the Essay is what Locke means by the term ‘substance’. The primary/secondary quality distinction gets us a certain ways in understanding physical objects, but Locke is puzzled about what underlies or supports the primary qualities themselves. He is also puzzled about what material and immaterial substances might have in common that would lead us to apply the same word to both. These kinds of reflections led him to the relative and obscure idea of substance in general. This is an “I know not what” which is the support of qualities which cannot subsist by themselves. We experience properties appearing in regular clumps, but we must infer that there is something that supports or perhaps ‘holds together’ those qualities. For we have no experience of that supporting substance. It is clear that Locke sees no alternative to the claim that there are substances supporting qualities. He does not, for example, have a theory of tropes (tropes are properties that can exist independently of substances) which he might use to dispense with the notion of substance. (In fact, he may be rejecting something like a theory of tropes when he rejects the Aristotelian doctrine of real qualities and insists on the need for substances.) He is thus not at all a skeptic about ‘substance’ in the way that Hume is. But, it is also quite clear that he is regularly insistent about the limitations of our ideas of substances. Bishop Stillingfleet accused Locke of putting substance out of the reasonable part of the world. But Locke is not doing that.

Since Berkeley, Locke’s doctrine of the substratum or substance in general has been attacked as incoherent. It seems to imply that we have a particular without any properties, and this seems like a notion that is inconsistent with empiricism. We have no experience of such an entity and so no way to derive such an idea from experience. Locke himself acknowledges this point (I.4.18, N: 95). In order to avoid this problem, Michael Ayers has proposed that we must understand the notions of ‘substratum’ and ‘substance in general’ in terms of Locke’s distinction between real and nominal essences and particularly his doctrine of real essences developed in Book III of the Essay rather than as a separate problem from that of knowing real essences. The real essence of a material thing is its atomic constitution. This atomic constitution is the causal basis of all the observable properties of the thing, from which we create nominal essences. Were the real essence known, all the observable properties could be deduced from it. Locke claims that the real essences of material things are quite unknown to us. Locke’s concept of substance in general is also a ‘something I know not what’. Thus, on Ayers’ interpretation ‘substance in general’ means something like ‘whatever it is that supports qualities’ while the real essence means ‘this particular atomic constitution that explains this set of observable qualities’. Thus, Ayers wants to treat the unknown substratum as picking out the same thing as the real essence—thus eliminating the need for particulars without properties. This proposed way of interpreting Locke has been criticized by scholars both because of a lack of textural support, and on the stronger grounds that it conflicts with some things that Locke does say (see Jolley 1999: 71–3). As we have reached one of the important concepts in Book III, let us turn to that Book and Locke’s discussion of language.

Locke devotes Book III of An Essay Concerning Human Understanding to language. This is a strong indication that Locke thinks issues about language were of considerable importance in attaining knowledge. At the beginning of the Book he notes the importance of abstract general ideas to knowledge. These serve as sorts under which we rank all the vast multitude of particular existences. Thus, abstract ideas and classification are of central importance in Locke’s discussion of language and its importance for knowledge. Without general terms and classes we would be faced with the impossible task of trying to know a vast world of particulars.

There is a clear connection between Books II and III in that Locke claims that words stand for ideas. In his discussion of language Locke distinguishes words according to the categories of ideas established in Book II of the Essay . So there are ideas of substances, simple modes, mixed modes, relations and so on. It is in this context that Locke makes the distinction between real and nominal essences noted above. Perhaps because of his focus on the role that kind terms play in classification, Locke pays vastly more attention to nouns than to verbs. Locke recognizes that not all words relate to ideas. There are also the many particles, words that “…signify the connexion that the Mind gives to Ideas, or Propositions, one with another” (II.7.1, N: 471). Still, it is the relation of words and ideas that gets most of Locke’s attention in Book III.

Norman Kretzmann calls the claim that “words in their primary or immediate signification signify nothing but the ideas in the mind of him that uses them ” (III.2.2) “Locke’s main semantic thesis” (see Kretzmann 1968:179). This thesis has often been criticized as a classic blunder in semantic theory. Thus Mill, for example, wrote, “When I say, ‘the sun is the cause of the day’, I do not mean that my idea of the sun causes or excites in me the idea of day” (Mill 1843: bk 1, ch. 2, § 1). This criticism of Locke’s account of language parallels the “veil of perception” critique of his account of perception and suggests that Locke is not distinguishing the meaning of a word from its reference. Kretzmann, however, argues persuasively that Locke distinguishes between meaning and reference and that ideas provide the meaning but not the reference of words. Thus, the line of criticism represented by the quotation from Mill is ill founded.

In addition to the kinds of ideas noted above, there are also particular and abstract ideas. Particular ideas have in them the ideas of particular places and times which limit the application of the idea to a single individual, while abstract general ideas leave out the ideas of particular times and places in order to allow the idea to apply to other similar qualities or things. There has been considerable philosophical and scholarly debate about the nature of the process of abstraction and Locke’s account of it. Berkeley argued that the process as Locke conceives it is incoherent. In part this is because Berkeley is an imagist—that is he believes that all ideas are images. If one is an imagist it becomes impossible to imagine what idea could include both the ideas of a right and equilateral triangle. Michael Ayers has recently argued that Locke too was an imagist. This would make Berkeley’s criticism of Locke very much to the point. Ayers’ claim, however, has been disputed (see, for example, Soles 1999). The process of abstraction is of considerable importance to human knowledge. Locke thinks most words we use are general (III.1.1, N: 409). Clearly, it is only general or sortal ideas that can serve in a classificatory scheme.

In his discussion of names of substances and in the contrast between names of substances and names of modes, a number of interesting features of Locke’s views about language and knowledge emerge. Physical substances are atoms and things made up of atoms. But we have no experience of the atomic structure of horses and tables. We know horses and tables mainly by secondary qualities such as color, taste and smell and so on and primary qualities such as shape, motion and extension. So, since the real essence (the atomic constitution) of a horse is unknown to us, our word ‘horse’ cannot get its meaning from that real essence. What the general word signifies is the complex of ideas we have decided are parts of the idea of that sort of thing. These ideas we get from experience. Locke calls such a general idea that picks out a sort, the nominal essence of that sort.

One of the central issues in Book III has to do with classification. On what basis do we divide things into kinds and organize those kinds into a system of species and genera? In the Aristotelian and Scholastic tradition that Locke rejects, necessary properties are those that an individual must have in order to exist and continue to exist. These contrast with accidental properties. Accidental properties are those that an individual can gain and lose and yet continue in existence. If a set of necessary properties is shared by a number of individuals, that set of properties constitutes the essence of a natural kind. The borders between kinds are supposed to be sharp and determinate. The aim of Aristotelian science is to discover the essences of natural kinds. Kinds can then be organized hierarchically into a classificatory system of species and genera. This classification of the world by natural kinds will be unique and privileged because it alone corresponds to the structure of the world. This doctrine of essences and kinds is often called Aristotelian essentialism. Locke rejects a variety of aspects of this doctrine. He rejects the notion that an individual has an essence apart from being treated as belonging to a kind. He also rejects the claim that there is a single classification of things in nature that the natural philosopher should seek to discover. He holds that there are many possible ways to classify the world each of which might be particularly useful depending on one’s purposes.

Locke’s pragmatic account of language and the distinction between nominal and real essences constitute an anti-essentialist alternative to this Aristotelian essentialism and its correlative account of the classification of natural kinds. He claims that there are no fixed boundaries in nature to be discovered—that is there are no clear demarcation points between species. There are always borderline cases. There is debate over whether Locke’s view is that this lack of fixed boundaries is true on both the level of appearances and nominal essences, and atomic constitutions and real essences, or on the level of nominal essences alone. The first view is that Locke holds that there are no Aristotelian natural kinds on either the level of appearance or atomic reality. The second view holds that Locke thinks there are Aristotelian natural kinds on the atomic level, it is simply that we cannot get at them or know what they are. On either of these interpretations, the real essence cannot provide the meaning to names of substances. A.O. Lovejoy in the Great Chain of Being , and David Wiggins are proponents of the second interpretation while Michael Ayers and William Uzgalis argue for the first (Uzgalis 1988; Ayers 1991: II. 70).

By contrast, the ideas that we use to make up our nominal essences come to us from experience. Locke claims that the mind is active in making our ideas of sorts and that there are so many properties to choose among that it is possible for different people to make quite different ideas of the essence of a certain substance. This has given some commentators the impression that the making of sorts is utterly arbitrary and conventional for Locke and that there is no basis for criticizing a particular nominal essence. Sometimes Locke says things that might suggest this. But this impression should be resisted. Peter Anstey has characterized Locke’s conventionalism about classificatory terms as both constrained and convergent (Anstey 2011: 209, 212). Locke claims that while the making of nominal essences is the work of the understanding, that work is constrained both by usage (where words stand for ideas that are already in use) and by the fact that substance words are supposed to copy the properties of the substances they refer to. Locke says that our ideas of kinds of substances have as their archetype the complex of properties that produce the appearances we use to make our nominal essences and which cause the unity of the complex of ideas that appear to us regularly conjoined. The very notion of an archetype implies constraints on what properties (and hence what ideas) can go together. If there were no such constraints there could be no archetype. (For further discussion of the nominal-real essence distinction see the entry Locke on Real Essences) .

Let us begin with the usage of words. It is important in a community of language users that words be used with the same meaning. If this condition is met it facilitates the chief end of language which is communication. If one fails to use words with the meaning that most people attach to them, one will fail to communicate effectively with others. Thus one would defeat the main purpose of language. It should also be noted that traditions of usage for Locke can be modified. Otherwise we would not be able to improve our knowledge and understanding by getting more clear and determinate ideas.

In the making of the names of substances, there is a period of discovery as the abstract general idea is put together (e.g. the discovery of violets or gold) and then the naming of that idea and then its introduction into language. Language itself is viewed as an instrument for carrying out the mainly prosaic purposes and practices of everyday life. Ordinary people are the chief makers of language.

Vulgar Notions suit vulgar Discourses; and both though confused enough, yet serve pretty well for the Market and the Wake. Merchants and Lovers, Cooks and Taylors, have Words wherewith to dispatch their ordinary affairs; and so, I think, might Philosophers and Disputants too, if they had a mind to understand and to be clearly understood. (III.11.10, N: 514)

These ordinary people use a few apparent qualities, mainly ideas of secondary qualities to make ideas and words that will serve their purposes.

Natural philosophers (i.e. scientists) come along later to try to determine if the connections between properties which the ordinary folk have put together in a particular idea in fact holds in nature. Scientists are seeking to find the necessary connections between properties. Still, even scientists, in Locke’s view, are restricted to using observable (and mainly secondary) qualities to categorize things in nature. Sometimes, the scientists may find that the ordinary folk had erred, as when they called whales ‘fish’. A whale is not a fish, as it turns out, but a mammal. There is a characteristic group of qualities that fish have that whales do not have. There is a characteristic group of qualities that mammals have that whales also have. To classify a whale as a fish, therefore, is a mistake. Similarly, we might make an idea of gold that only included being a soft metal and gold color. If so, we would be unable to distinguish between gold and fool’s gold. Thus, since it is the mind that makes complex ideas (they are ‘the workmanship of the understanding’), one is free to put together any combination of ideas one wishes and call it what one will. But the product of such work is open to criticism, either on the grounds that it does not conform to already current usage or that it inadequately represents the archetypes that it is supposed to copy in the world. We engage in such criticism in order to improve human understanding of the material world and thus the human condition. This is the convergent character of Locke’s conventionalism. In becoming more accurate, the nominal essence converges on the real essence.

However, we should not forget the master-builders that Locke mentions at the beginning of the Essay . Stephen Gaukroger (2010) claims that Locke’s great achievement was to provide a philosophical justification for the kind of experimental philosophy that Boyle’s work on the air pump, and his and Newton’s work on colors, as well as Sydenham’s observational medicine. All of these had been attacked for not providing explanations in terms of matter theory. Thus, Locke is justifying the autonomy of experimental philosophy. Such experimental explanations depend solely on the relation between phenomena, even when there is some micro-corpuscular basis for the phenomena being explained. According to Gaukroger, this is Locke’s contribution to the collapse of mechanism. For the details of the problem and its solution, see Chapters 4 and 5 of Gaukroger (2010).

The distinction between modes and substances is surely one of the most important in Locke’s philosophy. In contrast with substances, modes are dependent existences—they can be thought of as the ordering of substances. These are technical terms for Locke, so we should see how they are defined. Locke writes:

First, Modes I call such complex Ideas , which however compounded, contain not in themselves the supposition of subsisting by themselves; such are the ideas signified by the Words Triangle, Gratitude, Murther, etc . (II.12.4, N: 165)

Locke goes on to distinguish between simple and mixed modes. He writes:

Of these Modes , there are two sorts, which deserve distinct consideration. First, there are some that are only variations, or different combinations of the same simple Idea , without the mixture of any other, as a dozen or score; which are nothing but the ideas of so many distinct unities being added together, and these I call simple Modes , as being contained within the bounds of one simple Idea . Secondly, There are others, compounded of Ideas of several kinds, put together to make one complex one; v.g. Beauty , consisting of a certain combination of Colour and Figure, causing Delight to the Beholder; Theft , which being the concealed change of the Possession of any thing, without the consent of the Proprietor, contains, as is visible, a combination of several Ideas of several kinds; and these I call Mixed Modes . (II.12.5, N: 165)

When we make ideas of modes, the mind is again active, but the archetype is in our mind. The question becomes whether things in the world fit our ideas, and not whether our ideas correspond to the nature of things in the world. Our ideas are adequate. Thus we define ‘bachelor’ as an unmarried, adult, male human being. If we find that someone does not fit this definition, this does not reflect badly on our definition, it simply means that that individual does not belong to the class of bachelors. Modes give us the ideas of mathematics, of morality, of religion and politics and indeed of human conventions in general. Since these modal ideas are not only made by us but serve as standards that things in the world either fit or do not fit and thus belong or do not belong to that sort, ideas of modes are clear and distinct, adequate and complete. Thus in modes, we get the real and nominal essences combined. One can give precise definitions of mathematical terms (that is, give necessary and sufficient conditions), and one can give deductive demonstrations of mathematical truths. Locke sometimes says that morality too is capable of deductive demonstration. Though pressed by his friend William Molyneux to produce such a demonstrative morality, Locke never did so. The entry Locke’s moral philosophy provides an excellent discussion of Locke’s views on morality and issues related to them for which there is no room in this general account. The terms of political discourse also have some of the same modal features for Locke. When Locke defines the states of nature, slavery, and war in the Second Treatise of Government , for example, we are presumably getting precise modal definitions from which one can deduce consequences. It is possible, however, that with politics we are getting a study that requires both experience as well as the deductive modal aspect.

In the fourth book of An Essay Concerning Human Understanding Locke tells us what knowledge is and what humans can know and what they cannot (not simply what they do and do not happen to know). Locke defines knowledge as “the perception of the connexion and agreement or disagreement and repugnancy of any of our Ideas” (IV.1.1, N: 525). This definition of knowledge contrasts with the Cartesian definition of knowledge as any ideas that are clear and distinct. Locke’s account of knowledge allows him to say that we can know substances in spite of the fact that our ideas of them always include the obscure and relative idea of substance in general. Still, Locke’s definition of knowledge raises in this domain a problem analogous to those we have seen with perception and language. If knowledge is the “perception of … the agreement or disagreement … of any of our Ideas”—are we not trapped in the circle of our own ideas? What about knowing the real existence of things? Locke is plainly aware of this problem, and very likely holds that the implausibility of skeptical hypotheses, such as Descartes’ Dream hypothesis (he doesn’t even bother to mention Descartes’ malin genie or Evil Demon hypothesis), along with the causal connections between qualities and ideas in his own system is enough to solve the problem. It is also worth noting that there are significant differences between Locke’s brand of empiricism and that of Berkeley that would make it easier for Locke to solve the veil of perception problem than Berkeley. Locke, for example, makes transdictive inferences about atoms where Berkeley is unwilling to allow that such inferences are legitimate. This implies that Locke has a semantics that allows him to talk about the unexperienced causes of experience (such as atoms) where Berkeley cannot. (See Mackie’s perceptive discussion of the veil of perception problem, in Problems from Locke , 1976: 51 through 67.)

What then can we know and with what degree of certainty? We can know that God exists with the second highest degree of assurance, that of demonstration. We also know that we exist with the highest degree of certainty. The truths of morality and mathematics we can know with certainty as well, because these are modal ideas whose adequacy is guaranteed by the fact that we make such ideas as ideal models which other things must fit, rather than trying to copy some external archetype which we can only grasp inadequately. On the other hand, our efforts to grasp the nature of external objects are limited largely to the connection between their apparent qualities. The real essence of elephants and gold is hidden from us: though in general we suppose them to be some distinct combination of atoms which cause the grouping of apparent qualities which leads us to see elephants and violets, gold and lead as distinct kinds. Our knowledge of material things is probabilistic and thus opinion rather than knowledge. Thus our “knowledge” of external objects is inferior to our knowledge of mathematics and morality, of ourselves, and of God. We do have sensitive knowledge of external objects, which is limited to things we are presently experiencing. While Locke holds that we only have knowledge of a limited number of things, he thinks we can judge the truth or falsity of many propositions in addition to those we can legitimately claim to know. This brings us to a discussion of probability.

Knowledge involves the seeing of the agreement or disagreement of our ideas. What then is probability and how does it relate to knowledge? Locke writes:

The Understanding Faculties being given to Man, not barely for Speculation, but also for the Conduct of his Life, Man would be at a great loss, if he had nothing to direct him, but what has the Certainty of true Knowledge … Therefore, as God has set some Things in broad day-light; as he has given us some certain Knowledge…So in the greater part of our Concernment, he has afforded us only the twilight, as I may say so, of Probability, suitable, I presume, to that State of Mediocrity and Probationership, he has been pleased to place us in here, wherein to check our over-confidence and presumption, we might by every day’s Experience be made sensible of our short sightedness and liableness to Error… (IV.14.1–2, N: 652)

So, apart from the few important things that we can know for certain, e.g. the existence of ourselves and God, the nature of mathematics and morality broadly construed, for the most part we must lead our lives without knowledge. What then is probability? Locke writes:

As Demonstration is the shewing of the agreement or disagreement of two Ideas, by the intervention of one or more Proofs, which have a constant, immutable, and visible connexion one with another: so Probability is nothing but the appearance of such an Agreement or Disagreement, by the intervention of Proofs, whose connection is not constant and immutable, or at least is not perceived to be so, but is or appears, for the most part to be so, and is enough to induce the Mind to judge the Proposition to be true, or false, rather than the contrary. (IV.15.1, N: 654)

Probable reasoning, on this account, is an argument, similar in certain ways to the demonstrative reasoning that produces knowledge but different also in certain crucial respects. It is an argument that provides evidence that leads the mind to judge a proposition true or false but without a guarantee that the judgment is correct. This kind of probable judgment comes in degrees, ranging from near demonstrations and certainty to unlikeliness and improbability in the vicinity of impossibility. It is correlated with degrees of assent ranging from full assurance down to conjecture, doubt and distrust.

The new science of mathematical probability had come into being on the continent just around the time that Locke was writing the Essay . His account of probability, however, shows little or no awareness of mathematical probability. Rather it reflects an older tradition that treated testimony as probable reasoning. Given that Locke’s aim, above all, is to discuss what degree of assent we should give to various religious propositions, the older conception of probability very likely serves his purposes best. Thus, when Locke comes to describe the grounds for probability he cites the conformity of the proposition to our knowledge, observation and experience, and the testimony of others who are reporting their observation and experience. Concerning the latter we must consider the number of witnesses, their integrity, their skill in observation, counter testimony and so on. In judging rationally how much to assent to a probable proposition, these are the relevant considerations that the mind should review. We should, Locke also suggests, be tolerant of differing opinions as we have more reason to retain the opinions we have than to give them up to strangers or adversaries who may well have some interest in our doing so.

Locke distinguishes two sorts of probable propositions. The first of these have to do with particular existences or matters of fact, and the second that are beyond the testimony of the senses. Matters of fact are open to observation and experience, and so all of the tests noted above for determining rational assent to propositions about them are available to us. Things are quite otherwise with matters that are beyond the testimony of the senses. These include the knowledge of finite immaterial spirits such as angels or things such as atoms that are too small to be sensed, or the plants, animals or inhabitants of other planets that are beyond our range of sensation because of their distance from us. Concerning this latter category, Locke says we must depend on analogy as the only help for our reasoning. He writes:

Thus the observing that the bare rubbing of two bodies violently one upon the other, produce heat, and very often fire it self, we have reason to think, that what we call Heat and Fire consist of the violent agitation of the imperceptible minute parts of the burning matter…. (IV.16.12, N: 665–6)

We reason about angels by considering the Great Chain of Being; figuring that while we have no experience of angels, the ranks of species above us is likely as numerous as that below of which we do have experience. This reasoning is, however, only probable.

The relative merits of the senses, reason and faith for attaining truth and the guidance of life were a significant issue during this period. As noted above James Tyrrell recalled that the original impetus for the writing of An Essay Concerning Human Understanding was a discussion about the principles of morality and revealed religion. In Book IV Chapters 17, 18, and 19 Locke deals with the nature of reason, the relation of reason to faith and the nature of enthusiasm. Locke remarks that all sects make use of reason as far as they can. It is only when this fails them that they have recourse to faith and claim that what is revealed is above reason. But he adds:

And I do not see how they can argue with anyone or even convince a gainsayer who uses the same plea, without setting down strict boundaries between faith and reason. (IV.18.2, N: 689)

Locke then defines reason as

the discovery of the certainty or probability of such propositions or truths, which the mind arrives at by deduction made from such ideas, as it has got by the use of its natural faculties; viz, by the use of sensation or reflection. (IV.18.2, N: 689)

Faith, on the other hand, is assent to any proposition “…upon the credit of the proposer, as coming from God, in some extraordinary way of communication”. That is we have faith in what is disclosed by revelation and which cannot be discovered by reason. Locke also distinguishes between the original revelation by God to some person, and traditional revelation which is the original revelation “…delivered over to others in Words, and the ordinary ways of our conveying our Conceptions one to another” (IV.18.3, N: 690).

Locke makes the point that some things could be discovered both by reason and by revelation—God could reveal the propositions of Euclid’s geometry, or they could be discovered by reason. In such cases there would be little use for faith. Traditional revelation can never produce as much certainty as the contemplation of the agreement or disagreement of our own ideas. Similarly revelations about matters of fact do not produce as much certainty as having the experience oneself. Revelation, then, cannot contradict what we know to be true. If it could, it would undermine the trustworthiness of all of our faculties. This would be a disastrous result. Where revelation comes into its own is where reason cannot reach. Where we have few or no ideas for reason to contradict or confirm, these are the proper matters for faith.

…that Part of the Angels rebelled against GOD, and thereby lost their first happy state: and that the dead shall rise, and live again: These and the like, being Beyond the Discovery of Reason, are purely matters of Faith; with which Reason has nothing to do. (IV.18.8, N: 694)

Still, reason does have a crucial role to play in respect to revelation. Locke writes:

Because the Mind, not being certain of the Truth of that it evidently does not know, but only yielding to the Probability that appears to it, is bound to give up its assent to such Testimony, which, it is satisfied, comes from one who cannot err, and will not deceive. But yet, it still belongs to Reason, to judge of the truth of its being a Revelation, and of the significance of the Words, wherein it is delivered. (IV.18.8, N: 694)

So, in respect to the crucial question of how we are to know whether a revelation is genuine, we are supposed to use reason and the canons of probability to judge. Locke claims that if the boundaries between faith and reason are not clearly marked, then there will be no place for reason in religion and one then gets all the “extravagant Opinions and Ceremonies, that are to be found in the religions of the world…” (IV.18.11, N: 696).

Should one accept revelation without using reason to judge whether it is genuine revelation or not, one gets what Locke calls a third principle of assent besides reason and revelation, namely enthusiasm. Enthusiasm is a vain or unfounded confidence in divine favor or communication. It implies that there is no need to use reason to judge whether such favor or communication is genuine or not. Clearly when such communications are not genuine they are “the ungrounded Fancies of a Man’s own Brain” (IV.19.2, N: 698). This kind of enthusiasm was characteristic of Protestant extremists going back to the era of the civil war. Locke was not alone in rejecting enthusiasm, but he rejects it in the strongest terms. Enthusiasm violates the fundamental principle by which the understanding operates—that assent be proportioned to the evidence. To abandon that fundamental principle would be catastrophic. This is a point that Locke also makes in The Conduct of the Understanding and The Reasonableness of Christianity . Locke wants each of us to use our understanding to search after truth. Of enthusiasts, those who would abandon reason and claim to know on the basis of faith alone, Locke writes:

…he that takes away Reason to make way for Revelation, puts out the Light of both, and does much what the same, as if he would perswade a Man to put out his eyes, the better to receive the remote Light of an invisible Star by a Telescope. (IV.19.4, N: 698)

Rather than engage in the tedious labor required to reason correctly to judge of the genuineness of their revelation, enthusiasts persuade themselves that they are possessed of immediate revelation. This leads to “odd Opinions and extravagant actions” that are characteristic of enthusiasm and which should warn that this is a wrong principle. Thus, Locke strongly rejects any attempt to make inward persuasion not judged by reason a legitimate principle.

We turn now to a consideration of Locke’s educational works.

Locke’s Some Thoughts Concerning Education and his Conduct of the Understanding form a nice bridge between An Essay Concerning Human Understanding and his political works. Ruth Grant and Nathan Tarcov write in the introduction to their edition of these works:

The idea of liberty, so crucial to all of Locke’s writings on politics and education, is traced in the Essay to reflection on the power of the mind over one’s own actions, especially the power to suspend actions in the pursuit of the satisfaction of one’s own desires until after a full consideration of their objects (II.21.47, N: 51–52). The Essay thus shows how the independence of mind pursued in the Conduct is possible. (G&T 1996: xvi)

Some Thoughts Concerning Education was first published in 1693. This book collected together advice that Locke had been giving his friend Edward Clarke about the education of Clarke’s son (and also his daughters) since 1684. In preparing the revision for the fourth edition of An Essay Concerning Human Understanding Locke began writing a chapter called “The Conduct of the Understanding”. This became quite long and was never added to the Essay or even finished. It was left to Locke’s literary executors to decide what to do with it. The Conduct was published by Peter King in his posthumous edition of some of Locke’s works in 1706. As Locke was composing these works, some of the material from the Conduct eventually made its way into the Thoughts . Grant and Tarcov write that the Thoughts and the Conduct “complement each other well: the Thoughts focuses on the education of children by their parents, whereas the Conduct addresses the self-education of adults” (G&T 1996: vii). Though they also note tensions between the two that illustrate paradoxes in liberal society. The Thoughts is addressed to the education of the sons and daughters of the English gentry in the late seventeenth century. It is in some ways thus significantly more limited to its time and place than the Conduct . Yet, its insistence on the inculcating such virtues as

justice as respect for the rights of others, civility, liberality, humanity, self-denial, industry, thrift, courage, truthfulness, and a willingness to question prejudice, authority and the biases of one’s own self-interest

very likely represents the qualities needed for citizens in a liberal society (G&T 1996: xiii).

Locke’s Thoughts represents the culmination of a century of what has been called “the discovery of the child”. In the Middle Ages the child was regarded as

only a simple plaything, as a simple animal, or a miniature adult who dressed, played and was supposed to act like his elders…Their ages were unimportant and therefore seldom known. Their education was undifferentiated, either by age, ability or intended occupation. (Axtell 1968: 63–4)

Locke treated children as human beings in whom the gradual development of rationality needed to be fostered by parents. Locke urged parents to spend time with their children and tailor their education to their character and idiosyncrasies, to develop both a sound body and character, and to make play the chief strategy for learning rather than rote learning or punishment. Thus, he urged learning languages by learning to converse in them before learning rules of grammar. Locke also suggests that the child learn at least one manual trade.

In advocating a kind of education that made people who think for themselves, Locke was preparing people to effectively make decisions in their own lives—to engage in individual self-government—and to participate in the government of their country. The Conduct reveals the connections Locke sees between reason, freedom and morality. Reason is required for good self-government because reason insofar as it is free from partiality, intolerance and passion and able to question authority leads to fair judgment and action. We thus have a responsibility to cultivate reason in order to avoid the moral failings of passion, partiality and so forth (G&T 1996: xii). This is, in Tarcov’s phrase, Locke’s education for liberty.

We turn now to Locke’s political writings. (See the entry on Locke’s political philosophy , which focuses on five topics (the state of nature, natural law, property, consent and toleration) and goes into these topics in more depth than is possible in a general account and provides much useful information on the debates about them.)

4. The Two Treatises Of Government

Lord Shaftsbury had been dismissed from his post as Lord Chancellor in 1673 and had become one of the leaders of the opposition party, the Country Party. In 1679 the chief issue was the attempt by the Country Party leaders to exclude James, Duke of York from succeeding his brother Charles II to the throne. They wanted to do this because James was a Catholic, and England by this time was a firmly Protestant country. They had acquired a majority in the House of Commons through serious grass roots election campaigns, and passed an exclusion bill, but given the King’s unwillingness to see his brother excluded from the throne, the bill failed in the House of Lords. They tried a couple of more times without success. Having failed by parliamentary means, some of the Country Party leaders started plotting armed rebellion.

The Two Treatises of Government were published in 1689, long after the rebellion plotted by the Country party leaders had failed to materialize and after Shaftsbury had fled the country for Holland and died. The introduction of the Two Treatises was written after the Glorious Revolution of 1688, and gave the impression that the book was written to justify the Glorious Revolution. We now know that the Two Treatises of Government were written during the Exclusion crisis in 1681 and may have been intended in part to justify the general armed rising which the Country Party leaders were planning.

There were serious obstacles to a rebellion to force James’ exclusion from the throne. The English Anglican gentry needed to support such an action. But the Anglican church from childhood on taught that: “…men’s political duties were exhaustively determined by their terrestrial superiors, that under grave conscientious scruples they might rightly decline to carry out those decrees of authority which were in direct breach of divine law, they could under no circumstances have a right to resist such authority”. (Dunn, 1968, 48) Since by 1679 it was abundantly clear that the King opposed excluding his brother from the throne, to favor exclusion implied “explicit and self-conscious resistance to the sovereign”. Passive resistance would simply not do. On the other hand, the royal policy “outraged their deepest religious prejudices and stimulated their most obscure emotional anxieties.” So, the gentry were deeply conflicted and neither of the choices available to them looked very palatable. John Dunn goes on to remark: “To exert influence upon their choice it was above all necessary to present a more coherent ordering of their values, to show that the political tradition within which the dissenters saw their conduct was not necessarily empirically absurd or socially subversive. The gentry had to be persuaded that there could be reason for rebellion which could make it neither blasphemous or suicidal.” (Dunn, 1968, 49) To achieve this goal Locke picked the most relevant and extreme of the supporters of the divine right of Kings to attack. Sir Robert Filmer (c 1588–1653), a man of the generation of Charles I and the English Civil War, who had defended the crown in various works. His most famous work, however, Patriarcha , was published posthumously in 1680 and represented the most complete and coherent exposition of the view Locke wished to deny. Filmer held that men were born into helpless servitude to an authoritarian family, a social hierarchy and a sovereign whose only constraint was his relationship with God. Under these circumstances, anything other than passive obedience would be “vicious, blasphemous and intellectually absurd.” So, Locke needed to refute Filmer and in Dunn’s words: “rescue the contractarian account of political obligation from the criticism of impiety and absurdity. Only in this way could he restore to the Anglican gentry a coherent basis for moral autonomy or a practical initiative in the field of politics.” (Dunn, 1968, 50)

The First Treatise of Government is a polemical work aimed at refuting the theological basis for the patriarchal version of the Divine Right of Kings doctrine put forth by Sir Robert Filmer. Locke singles out Filmer’s contention that men are not “naturally free” as the key issue, for that is the “ground” or premise on which Filmer erects his argument for the claim that all “legitimate” government is “absolute monarchy”—kings being descended from the first man, Adam, and their subjects being naturally slaves. Early in the First Treatise Locke denies that either scripture or reason supports Filmer’s premise or arguments. In what follows in the First Treatise , Locke minutely examines key Biblical passages.

While The Second Treatise of Government provides Locke’s positive theory of government, it also continues his argument against Sir Robert Filmer’s claims that monarchs legitimately hold absolute power over their subjects. Locke holds that Filmer’s view is sufficiently incoherent to lead to governments being established by force and violence. Thus, Locke claims he must provide an alternative account of the origin of government “lest men fall into the dangerous belief that all government in the world is merely the product of force and violence” ( Treatises II,1,4). Locke’s account involves several devices which were common in seventeenth and eighteenth century political philosophy—natural rights theory and the social contract. Natural rights are those rights which we are supposed to have as human beings before ever government comes into being. We might suppose, that like other animals, we have a natural right to struggle for our survival. Locke will argue that we have a right to the means to survive. When Locke comes to explain how government comes into being, he uses the idea that people agree that their condition in the state of nature is unsatisfactory, and so agree to transfer some of their rights to a central government, while retaining others. This is the theory of the social contract. There are many versions of natural rights theory and the social contract in seventeenth and eighteenth century European political philosophy, some conservative and some radical. Locke’s version belongs on the radical side of the spectrum. These radical natural right theories influenced the ideologies of the American and French revolutions.

Locke’s strategy for refuting Filmer’s claims that monarchs have absolute power over their subjects is to show that Filmer is conflating a whole variety of limited powers, all of which might be held by one man and thus give the false appearance that a king has absolute power over wives, children, servants and slaves as well as subjects of a commonwealth. When properly distinguished, however, and the limitations of each displayed, it becomes clear that monarchs have no legitimate absolute power over their subjects.

An important part of Locke’s project in the Second Treatise is to figure out what the role of legitimate government is, thus allowing him to distinguish the nature of illegitimate government. Once this is done, the basis for legitimate revolution becomes clear. Figuring out what the proper or legitimate role of civil government is would be a difficult task indeed if one were to examine the vast complexity of existing governments. How should one proceed? One strategy is to consider what life is like in the absence of civil government. Presumably this is a simpler state, one which may be easier to understand. Then one might see what role civil government ought to play. This is the strategy which Locke pursues, following Hobbes and others. So, in the first chapter of the Second Treatise Locke defines political power.

Political power , then, I take to be a right of making laws with penalties of death, and consequently all less penalties, for the regulating and preserving of property, and of employing the force of the community, in the execution of such laws, and in the defence of the common-wealth from foreign injury; and all this only for the public good. ( Treatises, II, 1,3)

In the second chapter of The Second Treatise Locke describes the state in which there is no government with real political power. This is the state of nature. It is sometimes assumed that the state of nature is a state in which there is no government at all. This is only partially true. It is possible to have in the state of nature either no government, illegitimate government, or legitimate government with less than full political power. (See the section on the state of nature in the entry on Locke’s political philosophy.)

If we consider the state of nature before there was government, it is a state of political equality in which there is no natural superior or inferior. From this equality flows the obligation to mutual love and the duties that people owe one another, and the great maxims of justice and charity. Was there ever such a state? There has been considerable debate about this. Still, it is plain that both Hobbes and Locke would answer this question affirmatively. Whenever people have not agreed to establish a common political authority, they remain in the state of nature. It’s like saying that people are in the state of being naturally single until they are married. Locke clearly thinks one can find the state of nature in his time at least in the “inland, vacant places of America” ( Second Treatise V. 36) and in the relations between different peoples. Perhaps the historical development of states also went though the stages of a state of nature. An alternative possibility is that the state of nature is not a real historical state, but rather a theoretical construct, intended to help determine the proper function of government. If one rejects the historicity of states of nature, one may still find them a useful analytical device. For Locke, it is very likely both.

According to Locke, God created man and we are, in effect, God’s property. The chief end set us by our creator as a species and as individuals is survival. A wise and omnipotent God, having made people and sent them into this world:

…by his order and about his business, they are his property whose workmanship they are, made to last during his, not one another’s pleasure: and being furnished with like faculties, sharing all in one community of nature, there cannot be supposed any subordination among us, that may authorize us to destroy one another, as if we were made for one another’s uses, as the inferior ranks of creatures are for our’s. ( Treatises II,2,6)

It follows immediately that “he has no liberty to destroy himself, or so much as any creature in his possession, yet when some nobler use than its bare possession calls for it” ( Treatises II.2.6). So, murder and suicide violate the divine purpose.

If one takes survival as the end, then we may ask what are the means necessary to that end. On Locke’s account, these turn out to be life, liberty, health and property. Since the end is set by God, on Locke’s view we have a right to the means to that end. So we have rights to life, liberty, health and property. These are natural rights, that is they are rights that we have in a state of nature before the introduction of civil government, and all people have these rights equally.

There is also a law of nature. It is the Golden Rule, interpreted in terms of natural rights. Thus Locke writes:

The state of nature has a law of nature to govern it, which obliges everyone: and reason which is that law, teaches all mankind who will but consult it, that being all equal and independent, no one ought to harm another in his life, health, liberty or possessions…. ( Treatises II.2.6)

Locke tells us that the law of nature is revealed by reason. Locke makes the point about the law that it commands what is best for us. If it did not, he says, the law would vanish for it would not be obeyed. It is in this sense that Locke means that reason reveals the law. If you reflect on what is best for yourself and others, given the goal of survival and our natural equality, you will come to this conclusion. (See the section on the law of nature in the entry on Locke’s Political Philosophy.)

Locke does not intend his account of the state of nature as a sort of utopia. Rather it serves as an analytical device that explains why it becomes necessary to introduce civil government and what the legitimate function of civil government is. Thus, as Locke conceives it, there are problems with life in the state of nature. The law of nature, like civil laws can be violated. There are no police, prosecutors or judges in the state of nature as these are all representatives of a government with full political power. The victims, then, must enforce the law of nature in the state of nature. In addition to our other rights in the state of nature, we have the rights to enforce the law and to judge on our own behalf. We may, Locke tells us, help one another. We may intervene in cases where our own interests are not directly under threat to help enforce the law of nature. This right eventually serves as the justification for legitimate rebellion. Still, in the state of nature, the person who is most likely to enforce the law under these circumstances is the person who has been wronged. The basic principle of justice is that the punishment should be proportionate to the crime. But when the victims are judging the seriousness of the crime, they are more likely to judge it of greater severity than might an impartial judge. As a result, there will be regular miscarriages of justice. This is perhaps the most important problem with the state of nature.

In chapters 3 and 4, Locke defines the states of war and slavery. The state of war is a state in which someone has a sedate and settled intention of violating someone’s right to life (and thus all their other rights). Such a person puts themselves into a state of war with the person whose life they intend to take. In such a war the person who intends to violate someone’s right to life is an unjust aggressor. This is not the normal relationship between people enjoined by the law of nature in the state of nature. Locke is distancing himself from Hobbes who had made the state of nature and the state of war equivalent terms. For Locke, the state of nature is ordinarily one in which we follow the Golden Rule interpreted in terms of natural rights, and thus love our fellow human creatures. The state of war only comes about when someone proposes to violate someone else’s rights. Thus, on Locke’s theory of war, there will always be an innocent victim on one side and an unjust aggressor on the other.

Slavery is the state of being in the absolute or arbitrary power of another. On Locke’s definition of slavery, there is only one rather remarkable way to become a legitimate slave. In order to do so, one must be an unjust aggressor defeated in war. The just victor then has the option to either kill the aggressor or enslave them. Locke tells us that the state of slavery is the continuation of the state of war between a lawful conqueror and a captive, in which the conqueror delays taking the life of the captive, and instead makes use of him. This is a continued war because if conqueror and captive make some compact for obedience on the one side and limited power on the other, the state of slavery ceases and becomes a relation between a master and a servant in which the master only has limited power over his servant. The reason that slavery ceases with the compact is that “no man, can, by agreement pass over to another that which he hath not in himself, a power over his own life” ( Treatises II.4.24). Legitimate slavery is an important concept in Locke’s political philosophy largely because it tells us what the legitimate extent of despotic power is and defines and illuminates by contrast the nature of illegitimate slavery. Illegitimate slavery is that state in which someone possesses absolute or despotic power over someone else without just cause. Locke holds that it is this illegitimate state of slavery which absolute monarchs wish to impose upon their subjects. It is very likely for this reason that legitimate slavery is so narrowly defined. This shows that the chapter on slavery plays a crucial role in Locke’s argument against Sir Robert Filmer and thus could not have been easily dispensed with. Still, it is possible that Locke had an additional purpose or perhaps a quite different reason for writing about slavery.

There has been a steady stream of articles and books over the last sixty years arguing that given Locke’s involvement with trade and colonial government, the theory of slavery in the Second Treatise was intended to justify the institutions and practices of Afro-American slavery. If this were the case, Locke’s philosophy would not contradict his actions as an investor and colonial administrator. However, there are strong objections to this view. Had he intended to justify Afro-American slavery, Locke would have done much better with a vastly more inclusive definition of legitimate slavery than the one he gives. It is sometimes suggested that Locke’s account of “just war” is so vague that it could easily be twisted to justify the institutions and practices of Afro-American slavery. This, however, is also not the case. In the chapter “Of Conquest” Locke explicitly lists the limits of the legitimate power of conquerors. These limits on who can become a legitimate slave and what the powers of a just conqueror are ensure that this theory of conquest and slavery would condemn the institutions and practices of Afro-American slavery in the seventeenth, eighteenth, and nineteenth centuries. Nonetheless, the debate continues. One element of the debate has to do with Locke’s role in the writing of the Fundamental Constitutions of the Carolinas . David Armitage in his 2004 article “John Locke, Carolina and the Two Treatises of Government” argues that Locke was involved in a revision of the Fundamental Constitution of the Carolinas at the very time he was writing The Two Treatises of Government . The provision that “Every Freedman of the Carolinas has absolute power and authority over his negro slaves” remained in the document unchanged. In his 2016 book The Ashley Cooper Plan , Thomas Wilson gives a detailed account of Ashley Cooper’s intentions for the Carolina colony and how Cooper’s intent was thwarted by Barbadian slave owners who changed Carolina society from a society with slaves to a slave society. L. H. Roper, in his 2004 book Conceiving Carolina: Property, Planters and Plots 1662–1729 , offers a different account of what went wrong, focusing on conflicts over the trade in Indian slaves. James Farr’s article “Locke, Natural Law and New World Slavery” (2008) is one of the best statements of the position that Locke intended his theory of slavery to apply to English absolutism and not Afro-American slavery while noting that Locke’s involvement with slavery has ruined his reputation as the great champion of liberty Roger Woolhouse in his recent biography of Locke (Woolhouse 2007: 187) remarks that “Though there is no consensus on the whole question, there certainly seems to be ‘a glaring contradiction between his theories and Afro-American slavery’”.

Recently, there has been a debate over whose theory of slavery and absolutism Locke was attacking. Johan Olsthoorn and Laurens van Apeldoorn (2020) argue that Locke’s account of slavery and in particular, that no person can consensually establish absolute rule over themselves with all its consequences has little force against other classical contract theories, in particular those of Grotius and Puffendorf. Both Grotius and Puffendorf defended both absolutism and colonial slavery.

Felis Waldmann in “Slavery and Absolutism in Locke’s Two Treatises: A Response to Olsthoorn and van Apeldoorn” objects to a number of their claims finding others not relevant. Most notably, he objects to these claims: First, “Locke is working with an idiosyncratic conception of slavery and absolute rule repudiated by prominent early modern thinkers defending political absolutism.” Second: “Like Filmer, Locke maintains that absolute rulers may arbitrarily kill and maim their subjects at will, by dint of having a dominium in the latter’s lives.” Finally, he objects to the claim that: “Early modern natural lawyers, from Grotius onward, conceptualized slavery rather differently, insisting that enslaved people were not owned in the way we own things (which may be destroyed at will)” (Waldmann 7).

In brief, Waldmann’s response to the first claim is that Filmer accurately represented the Royalist position in the late 1670s and early 1680s and so Locke’s account is not a straw man. Thus, Locke is attacking Filmer’s account of slavery and not some weak and extreme version of the argument for absolutism that no one held. Waldmann suggests that the second claim magnifies this tendency of the two authors’ portrayal of Locke’s argument as not responding to the standard arguments for absolutism. Thus, Olsthoorn and van Apeldoorn attribute Filmer’s position to Locke. Waldmann concludes that the claims of Olsthoorn and van Apeldoorn that since Locke’s position on slavery was significantly different from those of Grotius and Puffendorf, it had little force against them is, in fact, the case. But he thinks this is of little importance since Locke was not arguing against them. One suggestion he considers plausible is that Locke is aiming his argument against the possibility of self-enslavement at Thomas Hobbes. Hobbes was recognized by his contemporaries as asserting both that one could by contract enslave oneself and that the king had dominium, over his subjects.

William Uzgalis, in his 2017 chapter “John Locke, Slavery and Indian Lands,” holds that Locke has two theories of slavery, one of them of legitimate slavery and the other of illegitimate slavery. Note that the authors discussed above simply don’t make this distinction. If they had, it would be plain that while Locke shares with Filmer the dominium conception of slavery that allows a master to kill or maim a slave, neither theory belongs to Filmer, and if Locke is correct about royal absolutism and given the character of the practices of the slave trade and colonial slavery, both absolutism at home and the slave trade and colonial slavery fall under the theory of illegitimate slavery. Neither Grotius, Puffendorf or Hobbes has an explicit theory of illegitimate slavery. Uzgalis also notes that Grotius and Puffendorf provided claims that Locke could have adopted had he wished to justify the slave trade and slavery in the colonies. Still, he denies them all, and with good reason. He would have substantially weakened his argument against the kind of absolutism he attributed to Filmer and the Stuarts had he done so. This suggests that he was crafting an alternative theory and not arguing against its competitors, with the exception, perhaps, of Hobbes.

Holly Brewer in her 2017 article “Slavery, Sovereignty, and ‘Inheritable Blood’, Reconsidering John Locke and the Origins of American Slavery” argues for a different approach to these questions. She presents evidence that the Stuart kings, and Charles II and his brother James, Duke of York, in particular, were not just interested in absolute government at home; they actively promoted the Royal Africa Company, the slave trade and slavery in the colonies as it provided considerable amounts of money to the royal coffers. James was the Governor (the President) of the Royal Africa Company and Admiral of the English fleet. Lord Shaftesbury, Locke’s patron, was the sub-governor, and Locke assisted him. Using the fleet, James attacked and captured Dutch forts on the coast of Africa to make bases for the Royal Africa Company and deprive the Dutch of them. The Stuarts minted guinea coins to celebrate these efforts. After becoming King, James continued as Governor of the Royal Africa Company. Thus Brewer underlines the similarities and connections between the absolutism Locke objected to at home and the slave trade and slavery in the colonies. She argues that the spread of slavery needs to be understood as an English imperial policy and not something that occurred in different times and places unconnected with one another. She also claims that while Locke was a member of King William III’s Board of Trade in the waning years of the seventeenth century, he sought to undo Stuart policies concerning slavery in the colonies.

Chapter 5 “Of Property” is one of the most famous, influential and important chapters in the Second Treatise of Government . Indeed, some of the most controversial issues about the Second Treatise come from varying interpretations of it. In this chapter Locke, in effect, describes the evolution of the state of nature to the point where it becomes expedient for those in it to found a civil government. So, it is not only an account of the nature and origin of private property but leads up to the explanation of why civil government replaces the state of nature (see the section on property in the entry on Locke’s political philosophy).

In discussing the origin of private property Locke begins by noting that God gave the earth to all men in common. Thus there is a question about how private property comes to be. Locke finds it a serious difficulty. He points out, however, that we are supposed to make use of the earth “for the best advantage of life and convenience” ( Treatises II.5.25). What then is the means to appropriate property from the common store? Locke argues that private property does not come about by universal consent. If one had to go about and ask everyone if one could eat these berries, one would starve to death before getting everyone’s agreement. Locke holds that we have property in our own person. And the labor of our body and the work of our hands properly belong to us. So, when one picks up acorns or berries, they thereby belong to the person who picked them up. There has been some controversy about what Locke means by “labor”. Daniel Russell claims that for Locke, labor is a goal-directed activity that converts materials that might meet our needs into resources that actually do (Russell 2004). This interpretation of what Locke means by “labor” connects nicely with his claim that we have a natural law obligation first to preserve ourselves and then to help in the preservation and flourishing of others.

One might think that one could then acquire as much as one wished, but this is not the case. Locke introduces at least two important qualifications on how much property can be acquired. The first qualification has to do with waste. Locke writes:

As much as anyone can make use of to any advantage of life before it spoils, so much by his labor he may fix a property in; whatever is beyond this, is more than his share, and belongs to others. ( Treatises II.5.31)

Since originally, populations were small and resources great, living within the bounds set by reason, there would be little quarrel or contention over property, for a single man could make use of only a very small part of what was available.

Note that Locke has, thus far, been talking about hunting and gathering, and the kinds of limitations which reason imposes on the kind of property that hunters and gatherers hold. In the next section he turns to agriculture and the ownership of land and the kinds of limitations there are on that kind of property. In effect, we see the evolution of the state of nature from a hunter/gatherer kind of society to that of a farming and agricultural society. Once again it is labor which imposes limitations upon how much land can be enclosed. It is only as much as one can work. But there is an additional qualification. Locke says:

Nor was this appropriation of any parcel of land , by improving it, any prejudice to any other man, since there was still enough, and as good left; and more than the as yet unprovided could use. So that, in effect, there was never the less for others because of his inclosure for himself: for he that leaves as much as another can make use of, does as good as take nothing at all. No body could consider himself injured by the drinking of another man, though he took a good draught, who had a whole river of the same water left to quench his thirst: and the case of land and water, where there is enough, is perfectly the same. ( Treatises II.5.33)

The next stage in the evolution of the state of nature involves the introduction of money. Locke remarks that:

… before the desire of having more than one needed had altered the intrinsic value of things, which depends only on their usefulness to the life of man; or had agreed, that a little piece of yellow metal, which would keep without wasting or decay, should be worth a great piece of flesh, or a whole heap of corn; though men had a right to appropriate by their labor, each one of himself, as much of the things of nature, as he could use; yet this could not be much, nor to the prejudice of others, where the same plenty was left to those who would use the same industry. ( Treatises II.5.37)

So, before the introduction of money, there was a degree of economic equality imposed on mankind both by reason and the barter system. And men were largely confined to the satisfaction of their needs and conveniences. Most of the necessities of life are relatively short lived—berries, plums, venison and so forth. One could reasonably barter one’s berries for nuts which would last not weeks but perhaps a whole year. And says Locke:

…if he would give his nuts for a piece of metal, pleased with its color, or exchange his sheep for shells, or wool for a sparkling pebble or diamond, and keep those by him all his life, he invaded not the right of others, he might heap up as much of these durable things as he pleased; the exceeding of the bounds of his property not lying in the largeness of his possessions, but the perishing of anything uselessly in it. ( Treatises II.5.146)

The introduction of money is necessary for the differential increase in property, with resulting economic inequality. Without money there would be no point in going beyond the economic equality of the earlier stage. In a money economy, different degrees of industry could give men vastly different proportions.

This partage of things in an inequality of private possessions, men have made practicable out of the bounds of society, and without compact, only by putting a value on gold and silver, and tacitly agreeing to the use of money: for in governments, the laws regulate the rights of property, and the possession of land is determined by positive constitutions. ( Treatises II.5.50)

The implication is that it is the introduction of money, which causes inequality, which in turn multiplies the causes of quarrels and contentions and increased numbers of violations of the law of nature. This leads to the decision to create a civil government. Before turning to the institution of civil government, however, we should ask what happens to the qualifications on the acquisition of property after the advent of money? One answer proposed by C. B. Macpherson in The Political Theory of Possessive Individualism is that the qualifications are completely set aside, and we now have a system for the unlimited acquisition of private property. This does not seem to be correct. It seems plain, rather, that at least the non-spoilage qualification is satisfied, because money does not spoil. The other qualifications may be rendered somewhat irrelevant by the advent of the conventions about property adopted in civil society. This leaves open the question of whether Locke approved of these changes. Macpherson, who takes Locke to be a spokesman for a proto-capitalist system, sees Locke as advocating the unlimited acquisition of wealth. James Tully, on the other side, in A Discourse of Property holds that Locke sees the new conditions, the change in values and the economic inequality which arise as a result of the advent of money, as the fall of man. Tully sees Locke as a persistent and powerful critic of self-interest. This remarkable difference in interpretation has been a significant topic for debates among scholars over the last forty years. Though the Second Treatise of Government may leave this question difficult to determine, one might consider Locke’s remark in Some Thoughts Concerning Education that

Covetousness and the desire to having in our possession and our dominion more than we have need of, being the root of all evil, should be early and carefully weeded out and the contrary quality of being ready to impart to others inculcated. (G&T 1996: 81)

Let us then turn to the institution of civil government.

Just as natural rights and natural law theory had a fluorescence in the seventeenth and eighteenth century, so did the social contract theory. Why is Locke a social contract theorist? Is it merely that this was one prevailing way of thinking about government at the time which Locke blindly adopted? The answer is that there is something about Locke’s project which pushes him strongly in the direction of the social contract. One might hold that governments were originally instituted by force, and that no agreement was involved. Were Locke to adopt this view, he would be forced to go back on many of the things which are at the heart of his project in the Second Treatise , though cases like the Norman conquest force him to admit that citizens may come to accept a government that was originally forced on them. Remember that the Second Treatise provides Locke’s positive theory of government, and that he explicitly says that he must provide an alternative to the view

that all government in the world is merely the product of force and violence, and that men live together by no other rules than that of the beasts, where the strongest carries it … . ( Treatises II, 1, 4)

So, while Locke might admit that some governments come about through force or violence, he would be destroying the most central and vital distinction, that between legitimate and illegitimate civil government, if he admitted that legitimate government can come about in this way. So, for Locke, legitimate government is instituted by the explicit consent of those governed. (See the section on consent, political obligation, and the ends of government in the entry on Locke’s political philosophy.) Those who make this agreement transfer to the government their right of executing the law of nature and judging their own case. These are the powers which they give to the central government, and this is what makes the justice system of governments a legitimate function of such governments.

Ruth Grant has persuasively argued that the establishment of government is in effect a two step process. Universal consent is necessary to form a political community. Consent to join a community once given is binding and cannot be withdrawn. This makes political communities stable. Grant writes: “Having established that the membership in a community entails the obligation to abide by the will of the community, the question remains: Who rules?” (1987: 114–115). The answer to this question is determined by majority rule. The point is that universal consent is necessary to establish a political community, majority consent to answer the question who is to rule such a community. Universal consent and majority consent are thus different in kind, not just in degree. Grant writes:

Locke’s argument for the right of the majority is the theoretical ground for the distinction between duty to society and duty to government, the distinction that permits an argument for resistance without anarchy. When the designated government dissolves, men remain obligated to society acting through majority rule. (1987: 119)

It is entirely possible for the majority to confer the rule of the community on a king and his heirs, or a group of oligarchs or on a democratic assembly. Thus, the social contract is not inextricably linked to democracy. Still, a government of any kind must perform the legitimate function of a civil government.

Locke is now in a position to explain the function of a legitimate government and distinguish it from illegitimate government. The aim of such a legitimate government is to preserve, so far as possible, the rights to life, liberty, health and property of its citizens, and to prosecute and punish those of its citizens who violate the rights of others and to pursue the public good even where this may conflict with the rights of individuals. In doing this it provides something unavailable in the state of nature, an impartial judge to determine the severity of the crime, and to set a punishment proportionate to the crime. This is one of the main reasons why civil society is an improvement on the state of nature. An illegitimate government will fail to protect the rights to life, liberty, health and property of its subjects, and in the worst cases, such an illegitimate government will claim to be able to violate the rights of its subjects, that is it will claim to have despotic power over its subjects. Since Locke is arguing against the position of Sir Robert Filmer who held that patriarchal power and political power are the same, and that in effect these amount to despotic power, Locke is at pains to distinguish these three forms of power, and to show that they are not equivalent. Thus at the beginning of chapter 15 “Of Paternal, Political and Despotic Power Considered Together” he writes:

THOUGH I have had occasion to speak of these before, yet the great mistakes of late about government, having as I suppose arisen from confounding these distinct powers one with another, it may not be amiss, to consider them together.

Chapters 6 and 7 give Locke’s account of paternal and political power respectively. Paternal power is limited. It lasts only through the minority of children, and has other limitations. Political power, derived as it is from the transfer of the power of individuals to enforce the law of nature, has with it the right to kill in the interest of preserving the rights of the citizens or otherwise supporting the public good. Legitimate despotic power, by contrast, implies the right to take the life, liberty, health and at least some of the property of any person subject to such a power.

At the end of the Second Treatise we learn about the nature of illegitimate civil governments and the conditions under which rebellion and regicide are legitimate and appropriate. As noted above, scholars now hold that the book was written during the Exclusion Crisis, and may have been written to justify a general insurrection and the assassination of the king of England and his brother. The argument for legitimate revolution follows from making the distinction between legitimate and illegitimate civil government. A legitimate civil government seeks to preserve its subjects’ life, health, liberty, and property insofar as this is compatible with the public good. Because it does this, it deserves obedience. An illegitimate civil government seeks to systematically violate the natural rights of its subjects. It seeks to make them illegitimate slaves. Because an illegitimate civil government does this, it puts itself in a state of nature and a state of war with its subjects. The magistrate or king of such a state violates the law of nature and so makes himself into a dangerous beast of prey who operates on the principle that might makes right, or that the strongest carries it. In such circumstances, rebellion is legitimate, as is the killing of such a dangerous beast of prey. Thus Locke justifies rebellion and regicide under certain circumstances. Presumably, this justification was going to be offered for the killing of the King of England and his brother had the Rye House Plot succeeded. Even if this was not Locke’s intention, it still would have served that purpose admirably.

The issue of religious toleration was of widespread interest in Europe in the seventeenth century, largely because religious intolerance with accompanying violence was so pervasive. The Reformation had split Europe into competing religious camps, and this provoked civil wars and massive religious persecutions. John Marshall, in his massive study John Locke, Toleration and Early Enlightenment Culture notes that the 1680s were the climactic decade for this kind of persecution. The Dutch Republic, where Locke spent years in exile, had been founded as a secular state which would allow religious differences. This was a reaction to the Catholic persecution of Protestants. However, once the Calvinist Church gained power, they began persecuting other sects, such as the Remonstrants, who disagreed with them. Nonetheless, The Dutch Republic remained the most tolerant country in Europe. In France, religious conflict had been temporarily quieted by the edict of Nantes. But in 1685, the year in which Locke wrote the First Letter concerning religious toleration, Louis XIV had revoked the Edict of Nantes, and the Huguenots were being persecuted. Though prohibited from doing so, some 200,000 emigrated, while probably 700,000 were forced to convert to Catholicism. People in England were keenly aware of the events taking place in France.

In England itself, religious conflict dominated the seventeenth century, contributing in important respects to the coming of the English Civil War, and the abolishing of the Anglican Church during the Protectorate. After the Restoration of Charles II, Anglicans in parliament passed laws that repressed both Catholics and Protestant sects such as Presbyterians, Baptists, Quakers and Unitarians who did not agree with the doctrines or practices of the state Church. Of these various dissenting sects, some were closer to the Anglicans, others more remote. One reason, among others, why King Charles may have found Shaftesbury useful was that they were both concerned about religious toleration. They parted when it became clear that the King was mainly interested in toleration for Catholics, and Shaftesbury for Protestant dissenters.

One widely discussed strategy for reducing religious conflict in England was called comprehension. The idea was to reduce the doctrines and practices of the Anglican church to a minimum so that most, if not all, of the dissenting sects would be included in the state church. For those which even this measure would not serve, there was to be toleration. Toleration we may define as a lack of state persecution. Neither of these strategies made much progress during the course of the Restoration.

When Locke fled to Holland after the discovery of the Rye house plot, he became involved with a group of scholars advocating religious toleration. This group included Benjamin Furly, a quaker with whom Locke lived for a while, the noted philosopher Pierre Bayle, several Dutch theologians, and many others. This group read all the arguments for religious intolerance and discussed them in book and conversation clubs. Members of the group considered toleration not only for Protestants and Protestant dissenters but Jews, Moslems, and Catholics. A recent discovery of a page of Locke’s reflections on toleration of Catholics shows that Locke considered even the pros and cons of toleration for Catholics (Walmsley and Waldmann 2019). Some members of the group also wrote tolerationist articles and books. They helped each other get jobs. Some of their members founded journals that reviewed books and articles on religious, scientific, and other topics. The group took the notion of free speech, civility, and politeness in discourse seriously. They called themselves the ‘the Republic of Letters’ or in Locke’s phrase ‘the commonwealth of learning.’

What were Locke’s religious views and where did he fit into the debates about religious toleration? This is a quite difficult question to answer. Religion and Christianity in particular, is perhaps the most important influence on the shape of Locke’s philosophy. But what kind of Christian was Locke? Locke’s family were Puritans. At Oxford, Locke avoided becoming an Anglican priest. Still, Locke himself claimed to be an Anglican until he died and Locke’s nineteenth-century biographer Fox Bourne thought that Locke was an Anglican. Others have identified him with the Latitudinarians—a movement among Anglicans to argue for a reasonable Christianity that dissenters ought to accept. Still, there are some reasons to think that Locke was neither an orthodox Anglican or a Latitudinarian. Locke got Isaac Newton to write Newton’s most powerful anti-Trinitarian tract. Locke arranged to have the work published anonymously in Holland though in the end, Newton decided not to publish (McLachlan 1941). This strongly suggests that Locke too was by this time an Arian or unitarian. (Arius, c. 250–336, asserted the primacy of the Father over the Son and thus rejected the doctrine of the Trinity and was condemned as a heretic at the Council of Nicaea in 325. Newton held that the Church had gone in the wrong direction in condemning Arius.) Given that one main theme of Locke’s Letter on Toleration is that there should be a separation between Church and State, this does not seem like the view of a man devoted to a state religion. It might appear that Locke’s writing The Reasonableness of Christianity in which he argues that the basic doctrines of Christianity are few and compatible with reason make him a Latitudinarian. Yet Richard Ashcraft has argued that comprehension for the Anglicans meant conforming to the existing practices of the Anglican Church; that is, the abandonment of religious dissent. Ashcraft also suggests that Latitudinarians were thus not a moderate middle ground between contending extremes but part of one of the extremes—“the acceptable face of the persecution of religious dissent” (Ashcraft 1992: 155). Ashcraft holds that while the Latitudinarians may have represented the “rational theology” of the Anglican church, there was a competing dissenting “rational theology”. Thus, while it is true that Locke had Latitudinarian friends, given Ashcraft’s distinction between Anglican and dissenting “rational theologies”, it is entirely possible that The Reasonableness of Christianity is a work of dissenting “rational theology”.

Locke had been thinking, talking and writing about religious toleration since 1659. His views evolved. In the early 1660s he very likely was an orthodox Anglican. He and Shaftesbury had instituted religious toleration in the Fundamental Constitutions of the Carolinas (1669). He wrote the Epistola de Tolerantia in Latin in 1685 while in exile in Holland. He very likely was seeing Protestant refugees pouring over the borders from France where Louis XIV had just revoked the Edict of Nantes. Holland itself was a Calvinist theocracy with significant problems with religious toleration. But Locke’s Letter does not confine itself to the issues of the time. Locke gives a principled account of religious toleration, though this is mixed in with arguments which apply only to Christians, and perhaps in some cases only to Protestants. He excluded both Catholics and atheists from religious toleration. In the case of Catholics it was because he regarded them as agents of a foreign power. Because they do not believe in God, atheists, on Locke’s account: “Promises, covenants and oaths, which are the bonds of human society, can have no hold upon an atheist” (Mendus 1991: 47). He gives his general defense of religious toleration while continuing the anti-Papist rhetoric of the Country party which sought to exclude James II from the throne.

Locke’s arguments for religious toleration connect nicely to his account of civil government. Locke defines life, liberty, health and property as our civil interests. These are the proper concern of a magistrate or civil government. The magistrate can use force and violence where this is necessary to preserve civil interests against attack. This is the central function of the state. One’s religious concerns with salvation, however, are not within the domain of civil interests, and so lie outside of the legitimate concern of the magistrate or the civil government. In effect, Locke adds an additional right to the natural rights of life, liberty, health and property—the right of freedom to choose one’s own road to salvation. (See the section on Toleration in the entry on Locke’s Political Philosophy.)

Locke holds that the use of force by the state to get people to hold certain beliefs or engage in certain ceremonies or practices is illegitimate. The chief means which the magistrate has at her disposal is force, but force is not an effective means for changing or maintaining belief. Suppose then, that the magistrate uses force so as to make people profess that they believe. Locke writes:

A sweet religion, indeed, that obliges men to dissemble, and tell lies to both God and man, for the salvation of their souls! If the magistrate thinks to save men thus, he seems to understand little of the way of salvation; and if he does it not in order to save them, why is he so solicitous of the articles of faith as to enact them by a law? (Mendus 1991: 41)

So, religious persecution by the state is inappropriate. Locke holds that “Whatever is lawful in the commonwealth cannot be prohibited by the magistrate in the church”. This means that the use of bread and wine, or even the sacrificing of a calf could not be prohibited by the magistrate.

If there are competing churches, one might ask which one should have the power? The answer is clearly that power should go to the true church and not to the heretical church. But Locke claims this amounts to saying nothing. For every church believes itself to be the true church, and there is no judge but God who can determine which of these claims is correct. Thus, skepticism about the possibility of religious knowledge is central to Locke’s argument for religious toleration.

Finally, for an account of the influence of Locke’s works, see the supplementary document: Supplement on the Influence of Locke’s Works

Locke’s Works

Oxford University Press is in the process of producing a new edition of all of Locke’s works. This will supersede The Works of John Locke of which the 1823 edition is probably the most standard. The new Clarendon editions began with Peter Nidditch’s edition of An Essay Concerning Human Understanding in 1975. The Oxford Clarendon editions contain much of the material of the Lovelace collection, purchased and donated to Oxford by Paul Mellon. This treasure trove of Locke’s works and letters, which includes early drafts of the Essay and much other material, comes down from Peter King, Locke’s nephew, who inherited Locke’s papers. Access to these papers has given scholars in the twentieth century a much better view of Locke’s philosophical development and provided a window into the details of his activities which is truly remarkable. Hence the new edition of Locke’s works will very likely be definitive.

• [N] An Essay Concerning Human Understanding , Peter H. Nidditch (ed.), 1975. doi:10.1093/actrade/9780198243861.book.1/actrade-9780198243861-book-1
• Some Thoughts Concerning Education , John W. Yolton and Jean S. Yolton (eds.), 1989. doi:10.1093/actrade/9780198245827.book.1/actrade-9780198245827-book-1
• Drafts for the Essay Concerning Human Understanding, and Other Philosophical Writings: In Three Volumes , Vol. 1: Drafts A and B, Peter H. Nidditch and G. A. J. Rogers (eds.), 1990. doi:10.1093/actrade/9780198245452.book.1/actrade-9780198245452-book-1
• The Reasonableness of Christianity: As Delivered in the Scriptures , John C. Higgins-Biddle (ed.), 2000. doi:10.1093/actrade/9780198245254.book.1/actrade-9780198245254-book-1
• An Essay Concerning Toleration: And Other Writings on Law and Politics, 1667–1683 , J. R. Milton and Philip Milton (eds.), 2006. doi:10.1093/actrade/9780199575732.book.1/actrade-9780199575732-book-1
• Vindications of the Reasonableness of Christianity , Victor Nuovo (ed.), 2012. doi:10.1093/actrade/9780199286553.book.1/actrade-9780199286553-book-1
• volume 1, 1987. doi:10.1093/actrade/9780198248019.book.1/actrade-9780198248019-book-1
• volume 2, 1987. doi:10.1093/actrade/9780198248064.book.1/actrade-9780198248064-book-1
• Volume 1, 1991. doi:10.1093/actrade/9780198245469.book.1/actrade-9780198245469-book-1
• Volume 2, 1991,. doi:10.1093/actrade/9780198248378.book.1/actrade-9780198248378-book-1
• Vol. 1: Introduction; Letters Nos. 1–461 , 2010. doi:10.1093/actrade/9780199573615.book.1/actrade-9780199573615-book-1
• Vol. 2: Letters Nos. 462–848 , 1976. doi:10.1093/actrade/9780198245599.book.1/actrade-9780198245599-book-1
• Vol. 3: Letters Nos. 849–1241 , 1978. doi:10.1093/actrade/9780198245605.book.1/actrade-9780198245605-book-1
• Vol. 4: Letters Nos. 1242–1701 , 1978. doi:10.1093/actrade/9780198245612.book.1/actrade-9780198245612-book-1.
• Vol. 5: Letters Nos. 1702–2198 , 1979. doi:10.1093/actrade/9780198245629.book.1/actrade-9780198245629-book-1
• Vol. 6: Letters Nos. 2199–2664 , 1980. doi:10.1093/actrade/9780198245636.book.1/actrade-9780198245636-book-1
• Vol. 7: Letters Nos. 2665–3286 , 1981. doi:10.1093/actrade/9780198245643.book.1/actrade-9780198245643-book-1
• Vol. 8: Letters Nos. 3287–3648 , 1989. doi:10.1093/actrade/9780198245650.book.1/actrade-9780198245650-book-1

In addition to the Oxford Press edition, there are a few editions of some of Locke’s works which are worth noting.

• An Early Draft of Locke’s Essay, Together with Excerpts from his Journal , Richard I. Aaron and Jocelyn Gibb (eds.), Oxford: Clarendon Press, 1936.
• John Locke, Two Tracts of Government , Phillip Abrams (ed.), Cambridge: Cambridge University Press, 1967.
• Locke’s The Two Treatises of Civil Government , Richard Ashcraft (ed.), London: Routledge, 1987.
• [Axtell 1968], The Educational Writings of John Locke: A Critical Edition , James L. Axtell (ed.), Cambridge: Cambridge University Press.
• [Gay 1964], John Locke on Education , Peter Gay (ed.), New York: Bureau of Publications, Columbia Teachers College, 1964.
• Epistola de Tolerantia: A Letter on Toleration , Latin text edited with a preface by Raymond Klibansky; English translation with an introduction and notes by J. W. Gough, Oxford: Oxford University Press, 1968.
• [G&T 1996] “Some Thoughts Concerning Education” and “The Conduct of the Understanding” , Ruth W. Grant and Nathan Tarcov (eds), Indianapolis: Hackett Publishing Co., 1996.
• [Laslett 1960] Locke’s Two Treatises of Government , Peter Laslett (ed.), Cambridge: Cambridge University Press, 1960.
• [Woozley 1964], An Essay Concerning Human Understanding , abridged, A.D. Woozley (ed.), London: Fontana Library, 1964.

Other Primary Sources

• Boyle, Robert, 1675 [1979], “Some Physico-Theological Considerations About the Possibility of the Resurrection”, in Selected Philosophical Papers of Robert Boyle , M.A. Stewart (ed.), New York: Manchester University Press.
• Mill, John Stuart, 1843, A System of Logic Ratiocinative and Inductive , London: John W. Parker.

Biographies

• King, Lord Peter, 1991, The Life of John Locke: with extracts from his correspondence, journals, and common-place books , Bristol: Thoemmes.
• Fox Bourne, H.R., 1876, Life of John Locke , 2 volumes, New York: Harper & Brothers. Reprinted Scientia Aalen, 1969.
• Cranston, Maurice, 1957, John Locke, A Biography , reprinted Oxford: Oxford University Press, 1985.
• Woolhouse, Roger, 2007, Locke: A Biography , Cambridge: Cambridge University Press.

Books and Articles

• Aaron, Richard, 1937, John Locke , Oxford: Oxford University Press.
• Aarsleff, Hans, 1982, From Locke to Saussure: Essays on the Study of Language and Intellectual History , Minneapolis: University of Minnesota Press.
• –––, 1994 “Locke’s Influence”, in Vere Chappell (ed.), The Cambridge Companion to Locke , Cambridge: Cambridge University Press, pp. 252–289. doi:10.1017/CCOL0521383714.011
• Alexander, Peter, 1985, Ideas Qualities and Corpuscles: Locke and Boyle on the External World , Cambridge: Cambridge University Press.
• Alston, William and Jonathan Bennett, 1988, “Locke on People and Substances”, The Philosophical Review , 97(1): 25–46. doi:10.2307/2185098
• Anstey, Peter R., 2011, John Locke and Natural Philosophy , Oxford: Oxford University Press. doi:10.1093/acprof:oso/9780199589777.001.0001
• Armitage, David, 2004, “John Locke, Carolina and the Two Treatises of Government ”, Political Theory , 32(5): 602–27. doi:10.1177/0090591704267122
• Arneil, Barbara, 1996, John Locke and America , Oxford: Clarendon Press.
• Ashcraft, Richard, 1986, Revolutionary Politics and Locke’s Two Treatises of Civil Government , Princeton: Princeton University Press.
• –––, 1992, “Latitudinarianism and Toleration: Historical Myth versus Political History”, in Kroll, Ashcraft, and Zagorin 1992: 151–177. doi:10.1017/CBO9780511896231.008
• Ayers, Michael, 1991, Locke: Epistemology and Ontology , 2 volumes, London: Routledge.
• Barresi, John, and Raymond Martin, 2000, Naturalization of the Soul: Self and Personal Identity in the 18th Century , London: Routledge.
• Bennett, Jonathan, 1971, Locke, Berkeley, Hume: Central Themes , Oxford: Oxford University Press.
• Bolton, Martha Brandt, 2004, “Locke on the Semantic and Epistemic Role of Simple Ideas of Sensation”, Pacific Philosophical Quarterly , 85(3): 301–321. doi:10.1111/j.1468-0114.2004.00200.x
• Brandt, Reinhard (ed.), 1981, John Locke: Symposium Wolfenbuttel 1979 , Berlin: de Gruyter.
• Brewer, Holly, 2017, “Slavery, Sovereignty, and ‘Inheritable Blood’: Reconsidering John Locke and the Origins of American Slavery”, The American Historical Review , 122(4): 1038–1078. doi:10.1093/ahr/122.4.1038
• Chappell, Vere, 1992, Essays on Early Modern Philosophy, John Locke—Theory of Knowledge , London: Garland Publishing, Inc.
• –––, 1994, The Cambridge Companion to Locke , Cambridge: Cambridge University Press.
• –––, 2004a, “Symposium: Locke and the Veil of Perception: Preface”, Pacific Philosophical Quarterly , 85(3): 243–244. doi:10.1111/j.1468-0114.2004.00196.x
• –––, 2004b, “Comments”, Pacific Philosophical Quarterly , 85(3): 338–355. doi:10.1111/j.1468-0114.2004.00202.x
• Chomsky, Noam, 1966, Cartesian Linguistics: A Chapter in the History of Rationalist Thought , New York: Harper & Row.
• Dunn, John, 1969, The Political Thought of John Locke , Cambridge: Cambridge University Press.
• Farr, James, 2008, “Locke, Natural Law and New World Slavery”, Political Theory , 36(4): 495–522. doi:10.1177/0090591708317899
• Fox, Christopher, 1988, Locke and the Scriblerians , Berkeley: University of California Press.
• Garrett, Don, 2003, “Locke on Personal Identity, Consciousness and ‘Fatal Errors’”, Philosophical Topics , 31: 95–125. doi:10.5840/philtopics2003311/214
• Geach, Peter, 1967, “Identity”, The Review of Metaphysics , 21(1): 3–12.
• Gibson, James, 1968, Locke’s Theory of Knowledge and its Historical Relations , Cambridge: Cambridge University Press.
• Gordon-Roth, Jessica, 2015, “Locke’s Place-Time-Kind Principle”, Philosophy Compass , 10(4): 264–274. doi:10.1111/phc3.12217
• Grant, Ruth, 1987, John Locke’s Liberalism , Chicago: University of Chicago Press.
• Gaukroger, Stephen, 2010, The Collapse of Mechanism and the Rise of Sensibility: Science and the Shaping of Modernity 1680–1760 , Oxford, Clarendon Press.
• Kretzmann, Norman, 1968, “The Main Thesis of Locke’s Semantic Theory”, The Philosophical Review , 77(2): 175–196. Reprinted in Tipton 1977: 123–140. doi:10.2307/2183319
• Kroll, Peter, Richard Ashcraft, and Peter Zagorin (eds), 1992, Philosophy, Science and Religion in England 1640–1700 , Cambridge: Cambridge University Press. doi:10.1017/CBO9780511896231
• Jolley, Nicholas, 1984, Leibniz and Locke , Oxford: Oxford University Press.
• –––, 1999, Locke, His Philosophical Thought , Oxford: Oxford University Press.
• –––, 2015, Locke’s Touchy Subjects: Materialism and Immortality , Oxford: Oxford University Press. doi:10.1093/acprof:oso/9780198737094.001.0001
• Laslett, Peter, 1954 [1990], “John Locke as Founder of the Board of Trade”, The Listener , 52(1342): 856–857. Reprinted in J.S. Yolton 1990: 127–136.
• Lennon, Thomas M., 2004, “Through a Glass Darkly: More on Locke’s Logic of Ideas”, Pacific Philosophical Quarterly , 85(3): 322–337. doi:10.1111/j.1468-0114.2004.00203.x
• LoLordo, Antonia, 2010, “Person, Substance, Mode and ‘the moral Man’ in Locke’s Philosophy”, Canadian Journal Of Philosophy , 40(4); 643–668. doi:10.1080/00455091.2010.10716738
• Lott, Tommy, 1998, Subjugation and Bondage: Critical Essays on Slavery and Social Philosophy , New York: Rowman and Littlefield Publishers Inc.
• Lovejoy, Arthur O., 1936, The Great Chain of Being; a Study of the History of an Idea , Cambridge, MA: Harvard University Press.
• Lowe, E.J., 1995, Locke on Human Understanding , London: Routledge Publishing Co.
• Mackie, J. L. 1976, Problems from Locke , Oxford: Clarendon Press.
• Macpherson, C.B., 1962, The Political Theory of Possessive Individualism , Oxford: Oxford University Press.
• Mandelbaum, Maurice, 1966, Philosophy, Science and Sense Perception: Historical and Critical Studies , Baltimore: The John Hopkins University Press.
• Marshall, John, 2006, John Locke, Toleration and Early Enlightenment Culture , Cambridge UK, Cambridge University Press.
• Martin, C. B. and D. M. Armstrong (eds.), 1968, Locke and Berkeley: A Collection of Critical Essays , New York: Anchor Books.
• Mattern, Ruth, 1980, “Moral Science and the Concept of Persons in Locke”, The Philosophical Review , 89(1): 24–45. doi:10.2307/2184862
• McCann, Edwin, 1987, “Locke on Identity, Life, Matter and Consciousness” Archiv für Geschichte der Philosophie , 69(1): 54–77. doi:10.1515/agph.1987.69.1.54
• McLachlan, Hugh, 1941, Religious Opinions of Milton, Locke and Newton , Manchester: Manchester University Press.
• Mendus, Susan, 1991, Locke on Toleration in Focus , London: Routledge.
• Newman, Lex, 2004, “Locke on Sensitive Knowledge and the Veil of Perception—Four Misconceptions”, Pacific Philosophical Quarterly , 85(3): 273–300. doi:10.1111/j.1468-0114.2004.00199.x
• Olsthoorn, Johan and Laurens van Apeldoorn, 2020, “‘This man is my property’: Slavery and political absolutism in Locke and the classical social contract tradition”, European Journal of Political Theory , 21(2): 253–275. doi:10.1177/1474885120911309
• Rogers, G.A. John, 2004, “Locke and the Objects of Perception”, Pacific Philosophical Quarterly , 85(3): 245–254. doi:10.1111/j.1468-0114.2004.00197.x
• Roper, John, April 2004, Conceiving Carolina: Proprietors, Planters and Plots 1662–1729 , New York, Palgrave/Macmillan.
• Russell, Daniel, 2004, “Locke on Land and Labor”, Philosophical Studies , 117(1–2): 303–325. doi:10.1023/B:PHIL.0000014529.01097.20
• Schouls, Peter, 1992, Reasoned Freedom: John Locke and the Enlightenment , Ithaca, NY: Cornell University Press.
• Simmons, A. John, 1992, The Lockean Theory of Rights , Princeton: Princeton University Press.
• Soles, David, 1999, “Is Locke an Imagist?” The Locke Newsletter , 30: 17–66.
• Strawson, Galen, 2011, Locke on Personal Identity , Princeton: Princeton University Press.
• Stuart, Matthew, 2013, Locke’s Metaphysics , Oxford: Oxford University Press. doi:10.1093/acprof:oso/9780199645114.001.0001
• Thiel, Udo, 2011, The Early Modern Subject: Self-Consciousness and Personal Identity from Descartes to Hume , Oxford: Oxford University Press. doi:10.1093/acprof:oso/9780199542499.001.0001
• Tarcov, Nathan, 1984, Locke’s Education for Liberty , Chicago: The University of Chicago Press.
• Tipton, I.C. (ed.), 1977, Locke on Human Understanding: Selected Essays , Oxford: Oxford University Press.
• Tully, James, 1980, A Discourse on Property , Cambridge: Cambridge University Press.
• –––, 1993, An Approach to Political Philosophy: Locke in Contexts , Cambridge: Cambridge University Press.
• Uzgalis, William L., 1988, “The Anti-Essential Locke and Natural Kinds”, The Philosophical Quarterly , 38(152): 330–339. doi:10.2307/2220132
• –––, 1990, “Relative Identity and Locke’s Principle of Individuation”, History of Philosophy Quarterly , 7(3): 283–297.
• –––, 2007, Locke’s Essay Concerning Human Understanding—A Reader’s Guide , London: Continuum.
• –––, 2017, “John Locke, Racism, Slavery and Indian Lands”, in Naomi Zack (ed.), The Oxford Handbook to Philosophy and Race , Oxford: Oxford University Press.
• Walmsley, Jonathan and Waldman Felix, 2019 “John Locke and Toleration of Catholics: A New Manuscript”, Historical Journal , 62: 1093–1115. [Includes transcription of “Reasons for tolerating papists with others” St. Johns College, Annapolis, Maryland, Greenfield Library.]
• Wilson, Margaret Dauler, 1999, Ideas and Mechanism: Essays on Early Modern Philosophy , Princeton: Princeton University Press.
• Wilson, Thomas D., 2016, The Ashley Cooper Plan: The Founding of Carolina and the Origins of Southern Political Culture , Chapel Hill, NC: University of North Carolina Press.
• Wood, Neal, 1983, The Politics of Locke’s Philosophy , Berkeley: University of California Press.
• Woolhouse, R.S., 1971, Locke’s Philosophy of Science and Knowledge , New York: Barnes and Noble.
• –––, 1983, Locke , Minneapolis: University of Minnesota Press.
• –––, 1988, The Empiricists , Oxford: Oxford University Press.
• Yaffe, Gideon, 2000, Liberty Worth the Name: Locke on Free Agency , Princeton: Princeton University Press.
• –––, 2004, “Locke on Ideas of Substance and the Veil of Perception”, Pacific Philosophical Quarterly , 85(3): 252–272. doi:10.1111/j.1468-0114.2004.00198.x
• Yolton, Jean S., 1990, A Locke Miscellany , Bristol: Thoemmes Antiquarian Books.
• Yolton, John, 1956, John Locke and the Way of Ideas Oxford, Oxford University Press; reprinted, Bristol: Thoemmes Press, 1996.
• –––, 1969, John Locke: Problems and Perspectives: New Essays , Cambridge: Cambridge University Press.
• –––, 1970, John Locke and the Compass of Human Understanding , Cambridge: Cambridge University Press.
• –––, 1983, Thinking Matter: Materialism in Eighteenth Century Britain , Minneapolis: University of Minnesota Press.
• –––, 1984, Perceptual Acquaintance: From Descartes to Reid , Minneapolis: University of Minnesota Press.

Bibliographies

• Hall, Roland, and Roger Woolhouse, 1983, 80 Years of Locke Scholarship: A Bibliographical Guide , Edinburgh: University of Edinburgh Press.
• Locke Studies (formerly The Locke Newsletter) , edited by Timothy Stanton, Heslington: University of York.

How to cite this entry . Preview the PDF version of this entry at the Friends of the SEP Society . Look up topics and thinkers related to this entry at the Internet Philosophy Ontology Project (InPhO). Enhanced bibliography for this entry at PhilPapers , with links to its database.

• “John Locke” , entry on Locke, Internet Encyclopedia of Philosophy .
• Images of Locke , National Portrait Gallery, Great Britain.

Berkeley, George | Hume, David | Leibniz, Gottfried Wilhelm | liberalism | Locke, John: moral philosophy | Locke, John: on freedom | Locke, John: on personal identity | Locke, John: philosophy of science | Locke, John: political philosophy | Masham, Lady Damaris | personal identity | substance | tropes

Acknowledgments

The editors would like to thank Sally Ferguson for carefully proofreading the text.

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8 facts about Americans with disabilities

July is Disability Pride Month in the United States, commemorating the passage of the Americans with Disabilities Act more than 30 years ago. Overall, there are about 42.5 million Americans with disabilities, making up 13% of the civilian noninstitutionalized population, according to U.S. Census Bureau data from 2021. This group includes people with hearing, vision, cognitive, walking, self-care or independent living difficulties.

Here are eight facts about Americans with disabilities, based on government data and recent Pew Research Center surveys.

Pew Research Center conducted this analysis to share key facts about Americans with disabilities for Disability Pride Month.

The analysis includes data from the U.S. Census Bureau’s American Community Survey, which  defines disability status  by asking about six types of disabilities: serious difficulty with hearing, vision, cognition, walking or climbing stairs, and difficulty with self-care and independent living. Other surveys with different definitions have estimated that a considerably larger share of Americans have disabilities .

Occupational data by disability status comes from the Bureau of Labor Statistics .

Federal education data comes from the National Center for Education Statistics. For the purposes of this analysis, disabled students include those ages 3 to 21 who are served under the federal  Individuals with Disabilities Education Act (IDEA). Through IDEA, children with disabilities are granted a free appropriate public school education and are ensured special education and related services.

Hispanic Americans in this analysis are of any race. All other racial categories include those who are not Hispanic and identify as only one race.

The public opinion findings in this analysis are based on Pew Research Center surveys. Details about each survey’s questions and methodology are available through the links in this analysis.

Due to the nature of the live telephone surveys, some Americans with disabilities are likely underrepresented in this analysis. The figures reported on technology adoption and internet use are from a phone survey that was conducted via landlines and cellphones and likely under-counted adults who are deaf or have difficulty speaking. Our surveys also do not cover those living in institutionalized group quarters, which may include some individuals who are severely disabled.

Older Americans are significantly more likely than younger adults to have a disability. Some 46% of Americans ages 75 and older and 24% of those ages 65 to 74 report having a disability, according to estimates from the Census Bureau’s 2021 American Community Survey (ACS). This compares with 12% of adults ages 35 to 64 and 8% of adults under 35.

Americans in certain racial and ethnic groups are more likely to have a disability. American Indians and Alaska Natives (18%) are more likely than Americans of other racial and ethnic backgrounds to report having a disability, according to the 2021 ACS estimates. Asian and Hispanic Americans are least likely to say they have a disability (8% and 10%, respectively). The shares of White and Black Americans who report living with a disability fall in the middle (14% each).

The most common types of disability in the U.S. involve difficulties with walking, independent living or cognition. Some 7% of Americans report having serious ambulatory difficulties – struggling with walking or climbing stairs – according to the ACS estimates. Adults ages 75 and older and those ages 65 to 74 are the most likely to report having this kind of disability (30% and 15%, respectively). Much smaller shares of those ages 35 to 64 (6%) and those ages 18 to 34 (1%) say they have an ambulatory disability.

About 6% of Americans report difficulties with independent living – struggling to do errands alone because of physical, mental or emotional problems. And a similar share (5%) report cognitive difficulties – that is, having trouble remembering, concentrating or making decisions. Each of these disabilities is more common among older Americans than among younger age groups.

Americans with disabilities tend to earn less than those who do not have a disability. Those with a disability earned a median of $28,438 in 2021, compared with $40,948 among those without a disability, according to the Census Bureau . (These figures represent employed civilian noninstitutionalized Americans ages 16 and older. They reflect earnings in the previous 12 months in 2021 inflation-adjusted dollars.)

On average, people with disabilities accounted for 4% of employed Americans in 2022, according to the Bureau of Labor Statistics (BLS). They were most likely to be employed in management occupations (12%) and office and administrative support occupations (11%), according to annual averages compiled by the BLS, which tracks 22 occupational categories. Meanwhile, an average of about 10% of workers in transportation and material moving jobs had a disability in 2022.

Disabled Americans have lower rates of technology adoption for some devices. U.S. adults with a disability are less likely than those without a disability to say they own a desktop or laptop computer (62% vs. 81%) or a smartphone (72% vs. 88%), according to a Center survey from winter 2021 . The survey asked respondents if any “disability, handicap, or chronic disease keeps you from participating fully in work, school, housework, or other activities, or not.” (It’s important to note that there are a range of ways to measure disability in public opinion surveys.)

Similar shares of Americans with and without disabilities say they have high-speed home internet. Even so, disabled Americans are less likely than those without a disability to report using the internet daily (75% vs. 87%). And Americans with disabilities are three times as likely as those without a disability to say they never go online (15% vs. 5%).

The percentage of U.S. public school students who receive special education or related services has increased over the last decade, according to data from the National Center for Education Statistics. During the 2021-22 school year, there were 7.3 million students receiving special education or related services in U.S. public schools , making up 15% of total enrollment. This figure rose since 2010-11, when 6.4 million disabled students made up 13% of public school enrollment.

In 2021-22, the share of disabled students in public schools varied by state, from about 20% in New York, Pennsylvania and Maine to about 12% in Idaho and Texas. These disparities are likely the result of inconsistencies in how states determine which students are eligible for special education services and some of the challenges involved with diagnosing disabilities in children.

Disabled Americans are much more likely than other Americans to have faced psychological distress during the COVID-19 pandemic, according to a winter 2022 Center analysis that examined survey responses from the same Americans over time.

About two-thirds (66%) of adults who have a disability or health condition that keeps them from participating fully in work, school, housework or other activities reported a high level of distress at least once across four surveys conducted between March 2020 and September 2022. That compares with 34% of those who do not have a disability.

Employed Americans generally think their workplace is accessible for people with physical disabilities. Among those who don’t work fully remotely, 76% say their workplace is at least somewhat accessible for people with physical disabilities, according to a Center survey from February . This includes 51% who say it is extremely or very accessible. Another 17% say their workplace is not too or not at all accessible, while 8% are not sure.

Whether or not they consider their own workplace accessible, half of workers say they highly value physical accessibility in the workplace. Workers with disabilities are about as likely as those without disabilities to say this. (Workers are defined as those who are not self-employed and work at a company or organization with more than 10 people.)

Note: This is an update of a post originally published July 27, 2017.

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9 facts about Americans and marijuana

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