Tag Archives: Constitutional Theory

David Mead: “Don’t Think Of An Elephant”: How Conceptualising Is Able To Skew The Outcome In Human Rights Cases

davidmeadIn his 2004 book “Don’t think of an elephant” cognitive linguist George Lakoff offered his view on the recent US political landscape. I’m very grateful that Daithí Mac Síthigh made me aware of it. Specifically, Lakoff tried to set out what he thought accounted for the success of the Republican right in winning the battle for the public’s hearts and minds during the 1990s. He analysed the debates surrounding several contentious issues, and the manner in which those debates, literally, were constructed. For example, on the issue of tax, instead of campaigning for “tax cuts” for the rich, Republicans framed the debate as one in which they were arguing for tax relief. As Lakoff wrote, “When the word tax is added to relief, the result is a metaphor: taxation is an affliction. And the person who takes it away is a hero, and anyone who tries to stop him is a bad guy. This is a frame. It is made up of ideas, like affliction and hero. And if people try to stop the hero, those people are villains for trying to prevent relief.”

This short post summarises some of my own “work in progress” which applies Lakoff’s idea of framing, or “conceptualising”, to the law specifically when human rights issues come to the fore. My primary aim in doing so is to seek views on whether it offers anything new and coherent. I vacillate between thinking that the argument it presents seems rather like the emperor’s new clothes and thinking there might somewhere be a relatively rich seam to be mined.

Not being much of a legal theorist or legal reasoner, it has dawned on me several times that I may be barking not up the wrong tree, but up a non-existent tree. That said, the decision – by either counsel or judge – about how to “conceptualise” the case in hand, or more precisely, the facts of the case in hand, doesn’t seem to be given much attention in legal literature. Yet, the way in which any legal scenario is conceptualised, that is to which area of law the factual matrix is best or most appropriately linked, can go a long way to determining the outcome or ultimate disposition, exactly as it can with framing contentious political questions. This happens in most cases at an almost subliminal level and for the most part is unlikely to be disputed, and unlikely to affect the outcome. That’s not always the case. For a plaintiff wrongly to decide – or to be wrongly advised – that a case raises a public law issue, rather than being simply a private law dispute – public sector employment contracts for example – can have serious consequences, as it did in, say, Evans v University of Cambridge.

In the human rights field, how the matter has been framed or conceptualised has the potential to affect how the case is resolved, if not the actual outcome in every instance. The remainder of this blog outlines some of the ways in which this might occur. The fuller article will plot a formal typography. Issues and concerns surrounding the conceptualisation of a case is neither new nor unique to human rights cases – or even public law. This much, I hope, is obvious. We might think of arguments over administrative vs. judicial hearings, in the days of Nakkuda Ali and Ridge v Baldwin, or categorising civil wrongs as actions on the case or damages as pure economic loss. The point is more that it has the potential to have greater effect, simply because of the issues in play and the public nature of the rights at stake.

First and most obviously, a case may not be framed as raising a rights-issue at all. The pre-HRA case of Sultan Khan in 1996 exemplifies this well. There, the House of Lords did not see the placing of a bug on a suspect drug dealer’s house as being about privacy at all. It was, in their eyes, simply a case about the admissibility of evidence. Secondly, there are cases where the courts do not see the facts as engaging a right at all. A good example would be the employment law case Pay where the EAT did not consider that being dismissed by the probation service for engaging in sado-masochistic sexual activity outside of and unconnected to work, raised Article 8 issues at all. Another would be Gillan. There, a half-hour stop and search under s.44 of the Terrorism Act 2000 was held by the House of Lords not to be a deprivation of liberty (within Article 5) and they doubted if it engaged the right of privacy in Article 8. In both, the European Court held (Gillan v UK) or in Pay v UK assumed otherwise – though Mr Pay lost on the facts. It’s crucial, of course, that the engagement issue is “correctly” disposed of, if for no other reason than that – in the case of qualified rights – the burden of showing the proportionality of the measure then falls on the state. Whether the facts are framed as to prefer one right over another is the third way in which conceptualisation rears its head. Was Mendoza really a case about equality and non-discrimination – or is it possible to see it as raising questions about the allocation and regulation of that scarce socio-economic resource, housing supply – albeit in the private market? The extent to which a court is prepared to defer to the primary decision-maker may depend on such categorisations. Last, whether we – and judges – view a case as being about private rights or about public rights, and values, is important too – and will clearly affect the outcome. Of course, the Occupy cases like Samede are about how private landowners can use their own land – but are they not also about how groups of citizens, perhaps disenfranchised, are able to utilise their public rights of free speech and protest? In an area I have written about recently – police searches by consent ([2012] Crim LR 97) – seeing the only issue as one of giving the police licence to do that which would otherwise be trespass and not as raising public law issues of accountability, transparency and power does not fully convey the position when the police come knocking.

Framing is not new – nor confined to law. We see it every day in newspapers – fitting an item into our pre-existing world view or sensitivities, or even expectations. Was Hilary Mantel’s LRB piece, really an attack on royalty – and on Kate Middleton – or was it a comment on the workings of the press, something concealed in the press reports themselves? The press of course “frame” the human rights debate too – by selective inclusion and language, and even perhaps deliberate conflation of that two-headed European beast, the EU and the ECHR. Framing and conceptualisation in the law though is qualitatively different. By its nature, litigation has the potential to juridify social relations and scenarios – they exist no longer on the street or at work but are legally enshrined and given legal form  – and not, of course, simply for that one case. Deciding, to take another example, whether a claim for misusing private information is a bastardised equitable claim or a new type of tort will dictate whether damages are can be refused for future claimants on a discretionary basis. It’s important we work at seeing the law through the right lenses.

David Mead is Professor of Public Law & UK Human Rights at the University of Essex

Suggested citation: D. Mead, ‘”Don’t Think Of An Elephant”: How Conceptualising Is Able To Skew The Outcome In Human Rights Cases’ UK Const. L. Blog (26th February 2013)(available at http://ukconstitutionallaw.org).

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Filed under Human rights, Judicial review

Nick Barber: Does China Enjoy Greater Legitimacy Than Any Western State?

Nick1I was listening to the radio a little while ago, and heard Martin Jacques talking about China.  I listened with renewed concentration.  Jacques was formerly editor of Marxism Today, so he is a man who knows a thing or two about oppressive pseudo-socialist regimes.  Much of what Jacques had to say was insightful, but one of his claims seemed surprising.  Warning his audience he was about to shock them, Jacques asserted that ‘the Chinese state enjoys greater legitimacy than any Western state’.  This is, by any standards, a courageous claim to make.  Jacques advanced three, connected, arguments to support it.  First, he drew our attention to the support expressed by China’s people for their government. In recent surveys it seems that between 80 and 95% of Chinese citizens were either relatively or extremely satisfied with central government.  Secondly, he pointed to the stunning economic success that China has enjoyed over the last thirty years, enjoying a growth rate of about 10% per year.  And this success has not just caused the rich to get richer: Jacques could also have pointed to China’s remarkable success in lifting its people out of poverty.  Allied to these claims, Jacques argued that the Chinese have a different conception of the state to that found in the West: for the Chinese, the state is viewed in terms of the family.  Under this conception of the state, the leadership stands as the head of the family, intimately connected to, and entitled to exercise authority over, the people.

Each of these three claims deserves further reflection.

Jacques’ first point, resting on statistics that quantified the satisfaction of the Chinese people with their state, may demonstrate rather less than he hopes.  In Thinking, Fast and Slow,  the psychologist Daniel Kahneman warns of a trick that our minds tend to play on us.  When faced with a difficult question we are tempted to unknowingly substitute an easier question, and answer that instead.  So, a question about the importance of preserving an animal species or, perhaps, the effectiveness of the market in the NHS, is transmuted into a question about the cuteness of the animal or our how we feel about people making money from healthcare.  Similarly, in presenting this poll as a test of legitimacy, Jacques has shifted from examining the legitimacy of the government to assessing the perception of the legitimacy of the state.  Just because people believe that a government is entitled to rule, this thought alone does not make it so.   Given the control China exercises over its media, and the absence of any real opposition to the government, a general belief in the legitimacy of the government might not be all that surprising.

Indeed, it is even possible that the questions asked by Jacques’ surveys were directed towards something other than the legitimacy of the government.  The surveys appear to have asked after people’s satisfaction with the state, or their assessment of the government’s handling of the economy.  This is a very different thing to the entitlement of the government to rule.  It is easy to imagine a person – perhaps a subject in an imperial territory – admitting that the dominating power was competent, but still challenging its right to rule.  The Romans are still Romans, no matter how well they govern.  On the other hand, a citizen might regard her government as poor, on the verge of incompetence, but still endorse its legitimacy.  Many Labour Party supporters would bitterly criticise the Coalition’s policies, but still recognise that the United Kingdom possesses a legitimate government.

This is not just a semantic quibble.  Political scientists distinguish between two forms of legitimacy: input legitimacy and output legitimacy.  Jacques has focused almost exclusively on output legitimacy in his talk.  Output legitimacy is a function of the competency of the state.  People do, or should, support the state and comply with its commands because doing so will make their community a better place to live.  Input legitimacy, in contrast, is a function of the way decisions are made.  People do, or should, support the state and comply with its commands because of the way the government has been formed and the way the commands have been produced.  Ordinarily, some form of democracy is at the heart of input legitimacy. These two forms of legitimacy are complementary and interconnected.  Perhaps one form of legitimacy is valueless without at least an element of the other.  That the people of China are satisfied with their government, coupled with the strong economic success of that country, shows that China has a plausible case to make in terms of output legitimacy.  The lack of input legitimacy may, though, still throw into question the broader entitlement of the Chinese government to rule.

Jacques’ third point – about the Chinese conception of the state as a family – might be an indirect response to this point.  In the family, the authority parents enjoy over their children, especially young children, rests on their ability to make decisions in the best interests of their child.  Parents’ right to tell their children what to do does not rest on a vote or even on consent.  Perhaps Western preconceptions of legitimacy cannot be applied in the context of China?

The difficulty with this reply is that China does have democratic structures in its Constitution.  These are just not very effective.

In a valuable recent book, Professor Qianfan Zhang explains the structures and operation of the Chinese Constitution.  The Constitution asserts that China should be governed democratically.  It sets out a bottom-up structure of democratic control.  The people elect representatives to the lowest levels of assembly at town and county levels.  These assemblies then elect deputies to sit in Local People’s Congress that, in their turn, elect deputies to sit in the Congress at the next level up.  The process continues all the way to the National People’s Congress, which is the highest representative body.  In reality, though, the Communist Party exercises control over every stage of the process: the bottom-up approach of the Constitution is, as Zhang explains, countered by a top-down system of Party control.  Party committees, controlled from the centre, are able to vet candidates standing for election.  In effect, the appointment of representatives at each level of legislature is subject to the review, or even control, of the Party committee that sits at a governmental level one stage higher than that body.  The 1982 Constitution calls for a system that starts with the citizen and works up to the NPC, with each deputy accountable to the lower body that elected her.  The constitution with a small ‘c’, in contrast, starts with power vested at the top of the Party and then devolves power down to the regions, with each deputy accountable to the higher body that selected her.

Jeff King  has written of constitutions as mission statements, as declarations of the type of polity the state wishes to be.  In China’s case there is a sharp contrast between this declaration and the realities of state power.  China’s government fails to achieve legitimacy even in the terms set by its own Constitution.  This creates a sort of constitutional cognitive dissonance: a discomfort caused by the gap between peoples’ actions and the way they think they ought to behave.  It is a discomfiture that is very evident amongst Chinese public law scholars who struggle to connect the Constitution with the actual rules that structure the state.  It is also evident in the speeches of China’s leaders, whose rhetorical exhortations sometimes seem remote from the state they have fashioned.

Trying to ground a polity largely or entirely in terms of its competency is a dangerous business.  It may prove successful whilst the economy is booming, but economic success never lasts forever.  And the stability it brings can be quite shallow.  After the defenestration of Bo Xilai  tanks were seen on the streets.  If this had occurred in London, people would have thought it was the start of a parade.  In Beijing, people thought it was the beginnings of a coup.  Chinese people’s satisfaction in the conduct of their state may be high, but their faith in their leaders, and their confidence in the stability of their country, may be less buoyant.

Nick Barber is a Fellow of Trinity College, Oxford, and, in 2012, Visiting Professor at Renmin University, Beijing. 

Suggested citation: N. W. Barber, ‘Does China Enjoy Greater Legitimacy Than Any Western State?’ UK Const. L. Blog (28th November 2012) (available at http://ukconstitutionallaw.org).

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Filed under Comparative law, Human rights

Colin Harvey: Reconstructing the ‘Political Constitution’ of Northern Ireland

For reasons that are not difficult to grasp, the constitutional process in Northern Ireland has been marked by fragility and instability. The entity ‘Northern Ireland’ – carved out in the early 1920s – rested on insecure foundations and struggled to establish legitimacy. It was a constitutional creation mapped onto stark ‘facts on the ground’, embedded within a divided society, and designed with precision along ethno-national lines, with demographic and democratic objectives firmly in view (it was engineered to create a permanent pro-union majority). ‘Northern Ireland’ was born from, and emerged into, political violence and the question would remain alive of how it was ever going to secure legitimacy for itself across its diverse population, given the complex and contested constitutional histories of these islands. Northern Ireland’s creation rested both on recognition of the express wishes of a pro- union community in the north of Ireland and an understanding of their willingness to use force to resist membership of a re-unified Ireland. The pro-union majority that had won ‘Northern Ireland’ had to then share a jurisdiction with a substantial ‘minority’ community that felt alienated from the new entity from its inception. Formal legality did not map onto legitimacy. As with other constitutional contexts, it was a societal mix that the traditional Westminster model was hopelessly ill-equipped to address (a fact which Westminster itself had originally given some recognition to).

The violent conflict which re-emerged in the 1960s led to decades of thought around constitutional processes and practices that might achieve political stability in the context of sharp ethno-national division. What constitutional forms might assist, and what political and legal values should underpin them? In these processes the question of how ‘the people’ or ‘the peoples’ of Ireland (North and South) would be defined and engaged gained prominence. It is not coincidental, for example, that endorsement for the present arrangements included concurrent votes in the island of Ireland on the Belfast/Good Friday Agreement 1998, a fact – along with many others – which appeared to set in motion a ‘dualist’ constitutional process, or at least a constitutional discourse that looks and sounds essentially, in Bruce Ackerman’s term, ‘dualist’ in nature.

The acceptance that no purely internal solution was credible (or likely to work) meant constitutional thinking had to transcend traditional approaches to Westminster-style constitutionalism, and be informed by perspectives that travelled ‘beyond the state’. In designing such an approach an intriguing question would always be: what would happen to the innovations once they had to be carried into legal and political life?

The aim here is to make an argument about developments in Northern Ireland, which has wider implications for discussions of constitutionalism in these islands. The argument, that I have made before, is straightforward: that Northern Ireland is best viewed as governed by a form of political constitutionalism that has given rise to a series of extra-conventional constitutional fundamentals. These are ‘extra-conventional’ in the sense that they spring from definite political and constitutional interventions and have a basis beyond traditional UK constitutionalism. This has given rise to a form of (to borrow Bruce Ackerman’s language, if not his approach) ‘constitutional dualism’; and they stand as constitutive principles of the ongoing political/peace process.  These are underpinned, and often driven forward, as much by external factors and actors as by any intra-Northern Irish processes. Although they possess explanatory and normative force (they assist us in explaining constitutional politics as well as telling us what we should do), they also can stand in tension with practice, and do not always necessarily cohere.

The argument is advanced in two parts. First, what is meant by ‘political constitutionalism’ is outlined in this specific context. The focus is on the ‘political constitution’ in its extra-conventional sense – the interest is not principally in legal standards or institutions, but in the essentially political principles that appear to be embedded in, and animate, the process of constitutional practice in Northern Ireland. Many of these have gained some form of legal recognition, but the question addressed here focuses on what precedes or constitutes this formal practice, as well as the societal practice of constitutionalism in action. Is this a practical example of a ‘constitutive moment’, anchored within the ‘political’, which confronts a model of constitutionalism in the UK that struggles to recognise or accommodate this political fact?   The intention is to move beyond discussions of legal and/or political accountability to explore the extra-conventional principles which operate as a direct challenge to practice, as well as those which appear to have become embedded and guide it.

Second, what lessons, if any, might be learned from this exercise in protracted constitutional practice in and about Northern Ireland in terms of ‘sharing society’? If the argument is that something of constitutional significance (in an extra-conventional sense) has been ‘constituted’, what is its nature and how does it relate to or challenge conventional practices (if at all).  Does this result in a form of chronic constitutional conservatism, or even constitutional originalism (with the Agreement or Agreements becoming narrowly understood ‘sacred texts’)? What happens when some of these fundamentals remain ‘under-enforced’ (and what could that possibly mean in this context), or have not been implemented, or are in tension with each other? If Northern Ireland is also the site of constitutional experimentation, and the intersection of constitutional relations within these islands, are there lessons from this experience – could some of the emergent principles provide guidance for new forms of political constitutionalism on these islands?

The Values and Limitations of Political Constitutionalism?

Political constitutionalism is often contrasted starkly with legal constitutionalism to denote a connection to – and preference for – political accountability and its associated democratic mechanisms. In this sense, it reflects a profound scepticism about grand constitutional gestures (the idea of ‘the moment’), the judicial role in relation to governing institutions (and generally), and matters such as constitutional review, and strong forms of judicial review. Advocates of political constitutionalism invest their faith primarily in democratic institutions and in improving their practical operation, and, in recent work one such advocate, Adam Tomkins, has defend an explicitly republican reading of the British constitution. Political constitutionalism seeks the restoration of the dignity of politics through a return to values of democratic participation, deliberation and engagement as the best way to secure the normative potential of democratic life. There is a concern about the consequences of the erosion of democratic participation that can flow from the weight placed on the more ‘mysterious’ (if not just as politicised) branches of government. The mistake here is to think that those who advocate political constitutionalism are any less committed to societal, political, economic and cultural transformation. The values of human rights, equality and social justice are advanced and upheld but the principled way forward is not to invest excessive or exclusive belief in the judiciary as their guardians. The argument is precisely that this form of constitutionalism is potentially more transformative. Political constitutionalists should be expressly for forms of political and legal mobilisation around democratic participation, rights, equality and social justice that create conversational space.

The term is used in both explanatory and normative ways, to describe what currently happens and argue for the way things should work. Recent attempts, such as that of Graham Gee and Grégoire Webber in The Oxford Journal of Legal Studies, to address the complexities of political constitutionalism have sought to unearth its normative commitments, as well as its explanatory potential, and to understand in what sense the term ‘political constitution’ is deployed. It now seems evident that political constitutionalism must be more explicit about its normative basis, commitments and practical implications for all institutions – and that work continues to flesh out precisely what it means for a range of institutional and societal actors.  For example, it may be that the ‘political’ in constitutionalism needs to be fleshed out to embrace more broadly based forms of mobilisation that go beyond formal democratic institutions. Political constitutionalism, if it is gain life at all, must be able ‘to see’ work on legal and political mobilisation that is injecting meaning into its core values in practical ways.

What is the sense of political constitutionalism informing the perspective here? In Gee and Webber’s argument, an understanding of political constitutionalism is explored that moves between the normative and the descriptive. Political constitutionalism is used to refer to the essentially political underpinning of key constitutional moments – thus referring to the element of constituent political power and its historical context that may get lost or absorbed – and the values that they endorse and reflect.  The argument is in support of forms of political constitutionalism that keep alive the normative potential of historical moments, their disruptive potential, and their challenge to the capacity of politics and law to retreat into forms of constitutional conservatism that simply absorb any transformative potentialities.

These include commitments to human rights, equality and even instruments such as bills of rights, and can be viewed as part of the ‘normative turn’ in thinking about political constitutionalism.  Unlike descriptive and normative accounts of, for example, the political constitution which are deeply sceptical about rights-talk, the argument is in support of forms of political constitutionalism that can fully accommodate rights and equality as well as their promotion and protection (by a range of institutional actors), while at the same time respecting the centrality and ultimate primacy of political forms of accountability. One of the precise reasons for keeping the politics of constitutive moments alive – particularly as this applies in transitional societies emerging from conflict – is to ensure that the normative force of these principles is realised. A political constitutionalism that could not capture the force and power of global and local movements for rights and equality – and the often innovative and creative ways in which they engage and argue – would surely be an odd one? Without abandoning a critical perspective – and a critique of some of the practical arguments advanced – the modern human rights movement is frequently giving meaning to political constitutionalism, normatively understood. Mobilisation around rights and equality should be more fully included within the sphere of political forms of constitutionalism.

But is this not simply a convenient merger of legal and political constitutionalism? Does this depart so radically from existing understandings that it merits any interest at all? The overriding commitment in the understanding advanced here is a belief in democratic and political processes as the primary generators of positive constitutional value, which can then be carried into peace/political/transitional processes. This is how constitutional basics are forged and continue to remain in play and enable other institutions (such as the courts) to make progress.  During peace processes, for example, we often see the precise dignity of the political sphere at work – as political actors strive together to find negotiated ways forward which sketch the parameters of future imagined societies. Institutions then become, in the words of Adam Tomkins, ‘instruments of the political constitution’ and ways in which the contested norms are taken forward.  There is recognition here, particularly significant in the context of Northern Ireland, that conflict is unavoidable and does not simply dissolve in the face of the ‘constitutional moment’; conflict is something that needs to be managed, and even transformed over time through engagement, disagreement and dialogue.  However ‘thin’ they are, some constitutional fundamentals need to be present if the work of transition is to progress. The principles flowing from these constitutional moments owe their origins to political processes and are anchored in the ‘political’ (and the subsequent constraints are ultimately political in nature), but that does not mean that they are empty of normative content.  Participants in the legal and political worlds must accord appropriate weight to these principles – which can be reflected in legal instruments (and thus can also be ‘upheld’ in formal constitutional arenas). The application of these principles may alter over time, but they retain a core that should be understood and respected.

Whatever formal footholds they have gained, or not, sustained disrespect for the ‘constitutional fundamentals’ which emerge from these constitutional moments can cause significant negative disturbance for the worlds of politics and law.  If the argument here were merely that constitutional change has its basis in politics then it would conform to standard accounts. The question raised is whether the Northern Ireland experience – as a constitutional site of contestation and collision within and between these islands – is a laboratory for new forms of extra-conventional constitutionalism which might even point the way towards future constitutional configurations in these islands?

Constitutionalism in Northern Ireland: Moments and Fundamentals

A constitutional process in conflict

One of the objectives is to locate the analysis of Northern Ireland in ‘constitutional’ terms. This is not to deny the explanatory power of a transitional justice lens, and therefore one that views events within the terms of a violent conflict and what has followed.  It is to suggest that constitutional discourses themselves often arise and become embedded in the midst of and following conflict – and we should not neglect the sharpness of the contestation and conflict that precedes, and is implanted within, traditional forms of constitutionalism. What are the risks of detaching ‘constitutionalism’ and ‘transitional justice’ in such ways, and might this simply encourage processes of forgetting the sheer force of the origins of constitutional moments and their historical context? Should constitutionalism have more confidence in its own intellectual resources?

The stress on the constitutional (and competing ‘constitutionalisms’) is also to place weight on the idea of the ‘constitution of Northern Ireland’ as reflecting values which might guide a post-conflict society. These values are not easily accommodated within the British constitutional tradition (which has been undergoing its own transition). The conflict in and about Northern Ireland is primarily ethno-national in nature, and tied in particular to contested notions of self-determination connected to two national identities and traditions: Britishness and Irishness. A limited constitutional appeal to one national tradition within a framework of UK constitutional law is not going to ‘work’ in a context such as this, where mechanisms have been put in place to acknowledge the equal legitimacy of competing national aspirations. Designing a relatively complex constitutional architecture, which owes its origins to the intense politics of a localised peace process, was the result.

A constitutional moment?

Was there a constitutional moment? The suggestion is that 1998 represented a constitutional moment in the history of Northern Ireland and Ireland, and in constitutional relations between these islands. In terms of the island of Ireland and Northern Ireland – I would tie this to two dates, 10th April 1998 (adoption of ‘The Agreement’ and 22nd May 1998 (all-island vote). For the purposes of this argument these dates have ‘extra-conventional’ significance – both politically and legally – in other words, a normative significance beyond that accorded to them in standard accounts of constitutional law in the UK. The argument is that the process led to the endorsement on the island of Ireland (and with the bilateral agreement also adopted, inter-governmental endorsement from the UK and Ireland) of defined constitutional fundamentals/principles which stand in, and over, this peace/political process. This can be pushed further to suggest that in the event of Irish reunification (achieved through this constitutionalised process) these principles would and should remain. In other words: that these are fundamentals that should function in the event of a democratic decision in favour of Irish reunification and subsequent constitutional debate about the future of Northern Irish representation in an Irish democratic context.

What are the constitutional fundamentals?

If there are constitutional fundamentals – born out of political contestation and alive now within it – what are they? A plausible case can be made for the following – in no particular order:

  • First, democratic consent (North and South) to any change in the constitutional status of Northern Ireland.
  • Second, internal power-sharing (liberal consociational) government in NI.
  • Third, recognition of the equal legitimacy of divergent national aspirations – with all that this implies re British-Irish intergovernmental engagement.
  • Fourth, a commitment to democratic and peaceful means only as the method of advancing these equally legitimate political aspirations (a commitment to politics and persuasion ‘the force of argument only’).
  • Fifth, good relations, mutual respect and structured co-operation on the island of Ireland (North – South) and between these islands (East-West, British-Irish).
  • Sixth, through the concept of ‘equivalence’, the centrality of human rights, equality and democratic participation to current and future constitutional arrangements (regardless of constitutional status)– the principled normative basis for sharing society – not just sharing political power.

Living with Fundamentals: Sharing Power and Sharing Society?

It is evident from the core language of the agreements reached that politics, democracy, consent and participation are all given a meaning that can only accord an express dignity to ‘politics’. In its sharpest sense this means rejecting political violence as the way of resolving disputes, as well as recognising the stumbling nature of an emergent political process. And it is here that a familiar tale emerges of the tensions between stabilisation of faltering politics and the normative aspirations generated by the ambitions of a peace process.

It is worth taking just two of the above fundamentals as illustrative of current debates. I suggest here that while there has been extensive focus on sharing political power (and the intricate ways this is structured and negotiated at a practical level), and stabilising power-sharing government, less attention is paid to the question of sharing society on the sort of principled basis envisaged in the various agreements. What this means is the normative basis on which the peace process was constructed (conceptions of a ‘better society’) can lose out to narrow understandings of stability and thin theories of economic advance as ultimate ends. It is in precisely this area that the significance of resurrecting constitutive politics (the normative basis of the new political constitution) becomes pressing and can take on profound practical value.

First, the idea of power-sharing government. The Agreement and Northern Ireland Act 1998 (as amended) reflect particular arrangements to give life to power-sharing government (and the ideas underpinning this were around for decades). This results in an Executive where all the major political parties are ‘in government’ together (a grand coalition) allocated on a proportionate basis – as with committee chairs and structures as well: the D’Hondt mechanism. The system of designation – ‘nationalist, unionist and other’ within the Assembly allows for the operation of cross-community voting rules for key decisions.

Debate has raged since 1998 about this model. It tends towards slow and ponderous government, gestural communal politics, a lack of legislative initiative, often does not pay due regard to principles of collective responsibility, and can create coalitions even more remarkable than the one operating in London now. This said, it remains hard to see how any other system could have functioned – or would have been acceptable to participants. The system was designed precisely to accommodate the particular circumstances of Northern Ireland and in many senses it has ‘worked’. It has now achieved a measure of sustained stability (the last Northern Ireland Assembly, unlike all of its predecessors, served its full term 2007-2011). The question for future reference, however, is when the time may be felt appropriate to discuss possible amendment, starting with the current designation system. Would that undercut a constitutional fundamental? The implication of the argument here is that it is possible to respect the constitutional fundamentals of power-sharing (the principle) through a variety of mechanisms of application. The discussion could safely be commenced without compromising Agreement-based constitutional fundamentals.

Second, the idea of sharing society; with express reference to human rights and equality. The Belfast/Good Friday Agreement is filled with the language of rights and equality. Over the course of decades it became an accepted ‘basic’ of the process that any resolution would have to contain such express commitments. The Agreement makes clear that whatever government has jurisdiction in Northern Ireland there must be no disadvantage in terms of rights. The document therefore endorsed the idea that constitutional status (UK or Ireland) should not determine the level of rights protection enjoyed. The Agreement provided for a new Northern Ireland Human Rights Commission, and is infused with the language of rights and equality. As with the emergence of a new rights regime in Britain, ‘Convention rights’ are mainstreamed in the Northern Ireland Act 1998 – and have the status with regard to the Assembly that the whole traditional conception of a subordinate legislation implies.

The Agreement suggested more than mere ‘giving further effect’ to Convention rights. It contained reference to a Bill of Rights for Northern Ireland that would supplement the Convention, draw on international instruments and experience, and reflect the particular circumstances of Northern Ireland. This was where the essentially new normative underpinning would come (the Convention rights were in a sense coming along regardless via the Labour government’s constitutional reform process and the Human Rights Act 1998). The advisory role was allocated to the Northern Ireland Human Rights Commission, and the Bill of Rights process was formally launched on 1 March 2000. It included an extensive participative process of consultation and revealed areas of agreement and disagreement (as would be expected of any such constitutional process). It included the work of the Human Rights Commission, a specially established Bill of Rights Forum comprising membership of political parties and civil society (with an independent international chair), and civil society participation that included the formation of an ‘umbrella’ organisation called the Human Rights Consortium. The final advice of the Commission was submitted to the Secretary of State for Northern Ireland on 10th December 2008 (chosen symbolically to align with the 60th anniversary of the Universal Declaration of Human Rights 1948). The Commission, following on from the consultation process, decided to include a broad range of rights (civil, political, economic, social and environmental). While the Commission opted for traditional judicial enforcement routes, it is quite explicit about the centrality of democratic institutions, including reference to a reporting mechanism to the Northern Ireland Assembly from the Executive on socio-economic rights, and the creation of an Assembly Committee modelled on the Joint Committee at Westminster. Following a period of consultation, the process is now effectively stalled. The Secretary of State has pointed to the absence of full cross-party consensus (and his unwillingness to act in its absence), and well as indicating disagreement with specific aspects of the Commission’s final advice.

The later stages of the Northern Ireland process also coincided with the emergence of a debate about a British Bill of Rights, which was to lead to the creation of a new Bill of Rights Commission that is due to report before the end of the year. One of the questions arising is how precisely the Northern Ireland process will be taken forward in a way that reflects its particular process of constitutionalisation, and it will be intriguing to see what answers – if any – are provided. Simply noting Northern Ireland, or even Scotland, as an uncomplicated ‘add-on’ to a set of UK-wide recommendations will seem odd in the constitutional context sketched here.

Is it possible to realise the constitutional fundamentals with reference to rights and equality without a Bill of Rights? Is this another ‘fundamental’ in need of further work? While there may be different ways to realise these other than with this instrument, there was a reasonable expectation that a Bill of Rights would be enacted. There is a risk that the failure to achieve a Bill of Rights further undermines ‘sharing society’ in Northern Ireland on a principled basis. The Bill of Rights is only one example of where the priority accorded to stabilisation has led to ‘under-enforcement’ of constitutional fundamentals around the development of an equal and shared society. This observation flows from analysis of contributions from societal participants within the current constitutional conversation, and gains its normative foothold less through formal recognition than through the advocacy of constitutional politics and practical mobilisation.

Conclusion

With all the flaws, failings and ongoing challenges taken fully into account, it remains credible to assert that the recent experience of Northern Ireland lends weight to the ‘dignity of constitutional politics’ and shows why a belief and faith in the hard, grinding and comparatively unrewarding work of constitutional politics should not lightly be surrendered. The constitutional moments are often precisely that – they do not arrive without the effort of constitutional practice at localised levels, and their normative aspirations are not easily realised without a continuation of societal engagement. Political constitutionalism will only ever gain real life through practical mobilisation beyond the institutions of government and governance.

The tentative suggestion here is that a ‘political constitution of Northern Ireland’ was born from the peace/political process. It is a constitutional experiment – because of all the intersections that occur here – that has deeper significance for the democratic configurations of these islands. It is one that owes its origins to, and is constituted by, a defined historic period and political context. This constitutional moment was reflective of the essential ‘dignity of constitutional politics’, and it generated constitutional fundamentals that are ‘extra-conventional’, in the sense that they may not gain precise recognition in practice or by participants in legal forms as currently understood. They retain normative value nonetheless. The ‘dualism’ that emerges rests on constitutional fundamentals/principles that can be realised in a range of ways. These principles carry explanatory and normative potential in seeking to grasp the tensions within constitutional politics, and the standards driving debate and momentum. The continuing conversation about constitutional law and politics in Northern Ireland is filled with competing understandings of what they might mean, and how they might be realised. The empirical evidence suggests that so long as the fundamentals are respected, then the political/peace process in Northern Ireland is stabilised and advances. ‘Disrespect’ results in negative disturbance and disruption and can generate breakdown (‘under-enforcement’ is potentially one of the most serious forms of such disrespect). This does not imply rigidity (although inertia can be one of the consequences of the consociational model, even in a liberal form) – there is much flexibility within this context. But it is to suggest that systematic disrespect for the newly emergent ‘political constitution’ of Northern Ireland (whether emanating from London or Dublin) will lead to practical political and legal problems for all participants.

Colin Harvey is Professor of Human Rights Law at Queen’s University Belfast.

This paper was presented at the ‘Political Constitutions’ workshop, held in GCU London, 7-8th June 2012.

Suggested citation: C. Harvey, ‘Reconstructing the ‘Political Constitution’ of Northern Ireland’ UK Const. L. Blog (2 August 2012) (available at http://ukconstitutionallaw.org).

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Stuart Lakin: How to Defend a Theory of the British Constitution

In two recent contributions to this blog, Professors Goldsworthy and Oliver have put forward two quite different bases for Parliament having sovereign power (and for courts not having the power to strike down legislation).  For Goldsworthy,  Parliamentary sovereignty is a fact about the constitution: it reflects the beliefs of most officials about the power of Parliament vis-a-vis courts. For Oliver, by contrast, Parliamentary sovereignty is a pragmatic necessity based on the practical need for mutual respect or comity between Parliament and courts

Which, if either, of these accounts is correct?  In this post, I want to say something about how to answer that question.     The topic, we might say, is constitutional methodology.    My aims are twofold.   First, I want to introduce this topic and some of the problems it throws up.   Secondly, I want to offer an outline defence of one particular method of doing constitutional theory.   I shall suggest after Ronald Dworkin that the theories of Goldsworthy and Oliver (along with every other theory of the constitution) must be understood as rival interpretations of British constitutional history and practice.    A theory is correct, I shall say, if it provides the most morally appealing interpretation of the constitution.

Constitutional Methodology: Some Issues and Problems

Public lawyers disagree about many aspects of the constitution.    They disagree, for instance, about whether, or in what sense, parliament is sovereign.  They disagree about whether judges have the power to invalidate statutes.    They disagree about the nature of the judicial role in judicial review proceedings.   And they disagree about whether individuals have rights that cannot be removed by parliament.  What is sometimes less obvious is that public lawyers also disagree about how to answer those types of questions.   They disagree, that is, about what makes it the case that parliament has absolute legislative powers, or that parliament’s powers are limited by judicially enforceable legal rights and principles, or that some other distribution of rights, duties and powers obtains in the constitution.

Here are just three of the different constitutional methods that one can detect in the public law literature, beginning with an elaboration on the work of Goldsworthy and Oliver (above).

1.      Goldsworthy implies in his work that constitutional theory is descriptive and morally-neutral in character.     Parliament is sovereign, he says, because this is what most  officials accept (i.e. say, believe, or otherwise practice).  It is the Hartian ‘rule of recognition’ in the constitution. Whether Parliamentary sovereignty is morally acceptable is irrelevant to its existence.  Those theorists who argue for a judicial strike-down power, he says, are simply making a factual mistake about the practice of officials.

2.      Oliver argues in her work that constitutional theory involves a pragmatic (non-principled)judgement about what works in the constitution.    The reason that Parliament is sovereign, and that judges respect that sovereignty, she says, is that a range of undesirable consequences would flow from any attempt by judges to upset that arrangement (e.g. damage to the reputation of the courts, institutional gridlock).     A distinction has to be made, Oliver contends, between the theoretical/principled case for judges having a strike-down power and the practical workability of them having such a power.

3.      For theorists such as Allan, Jowell, Craig and Laws, constitutional theory is thoroughly normative in character.  The legislative powers of Parliament, and the adjudicative powers of judges, they argue, depend on the moral principles that justify those powers.   It follows that if Parliament possesses absolute legislative power, there must be a compelling moral basis for such power.  Allan, in particular, contends that there is no plausible justification for Parliamentary sovereignty.   A more convincing moral reading of the constitution, he says, points to a theory of liberal constitutionalism and ‘strong’ judicial review.

Even taking this very small sample of different approaches to constitutional theory, it is not difficult to see the potential for confusion.    If different theorists are using different methods to identify the powers of Parliament and courts, then their disagreements suddenly look rather futile.   Indeed, it might be said that they are not disagreeing at all: that they are talking past each other or pursuing different projects.  We can reinforce that gloomy diagnosis by imagining the following dialogue between Goldsworthy and Allan:

G -  Parliament is sovereign because this is what most officials accept.

A -  It doesn’t matter what most officials accept.   My constitutional method does not depend on acceptance by officials, but on the normative justification for the legal powers of institutions.    Parliamentary sovereignty cannot be justified.  The principles of the rule of law and the separation of powers demand that judges have the power to invalidate legislation.

G  – You are making a factual mistake.  For centuries, judges and theorists have denied that judges can strike down legislation.

A  – That may be so, but what judges and theorists accept, or have historically accepted, may diverge from the true normative powers of institutions.

G and A – (Audible sigh)

There is clearly something deeply unsatisfactory about this imaginary exchange.    Each theorist begins their analysis in a different place: one begins their analysis with acceptance; the other begins with justification (incidentally, this is precisely the way that I read the actual exchanges between Goldsworthy and Allan).  Is there any hope of resolving such a fundamental difference in approach?     Before I attempt to provide a positive response to that question, let me first consider a possible negative response.

It may be that some constitutional theorists, at least, are indeed pursuing different projects.    Goldsworthy and Allan (along with most other constitutional theorists, we can suppose) seem to be interested in identifying the true rights, duties and powers of institutions and individuals in the British constitution.   In other words, they are trying to offer a theory of the normative effects of British constitutional practice.   Other theorists seem to be less interested in, or less sympathetic to, that project. For political constitutionalists such as Bellamy, constitutional theory involves constructing an ideal model of the relationship between Parliament and courts.    The theory of Parliamentary sovereignty, he implies, may or may not reflect the prevailing balance of power in the constitution, but it is the theory that approximates most closely to the ideals of political constitutionalism.    In a different vein, Griffith can be read as bringing the perspective of a political scientist to constitution analysis.  His interest is in the realpolitik of the constitution (i.e. where the sources of brute power can be found).    Thus, it is the Government rather than Parliament, he says, that possesses sovereign power (perhaps it would be Rupert Murdoch or Tesco today…).    There are hints of Griffith’s approach in the work of Oliver (above).    By her claim that there is a gap between the reality of institutional powers in the constitution and the (normative) theory of those powers, Oliver is perhaps similarly attempting to offer the descriptive view of a political scientist rather than the normative view of a constitutional theorist. I shall resist that reading of Oliver in the section that follows.

Interpreting the British Constitution

I now want to offer a positive response to the question that I posed above (viz. is there any hope of resolving the fundamental difference in approach taken, for instance, by Allan and Goldsworthy?)    Let me first try to sharpen the inquiry a bit.    Our interest is in whether theorists who seem to employ very different methods of constitutional analysis (as illustrated in 1-3 above) can intelligibly disagree with each other.    At the same time, we want to be in a position to say that one theory of the constitution provides the correct theory, or a better theory than some other theory.      The object of the inquiry, then, is to arrive at some common framework, or some common measure of success for all theories of the constitution.    It is the interpretive approach mentioned at the start of this blog item that, I think, holds the key to this ambition.

Rather than attempt a long and detailed exposition of Dworkin’s interpretive approach, let me spell out as plainly as possible a) how I think this approach makes disagreement between Goldsworthy, Oliver and Allan possible; and b) how, according to this approach, one of these theories can potentially provide the correct understanding of the constitution.

In answer to a), the level at which the disagreement between Goldsworthy, Oliver and Allan can take place must be more abstract than we have so far considered.   In the imaginary dialogue above, both Goldsworthy and Allan make arguments that are internal to their preferred constitutional method: Goldsworthy argues on an empirical level about official acceptance, while Allan argues on a normative level about how to justify institutional powers.    The real disagreement between Goldsworthy and Allan, I suggest, concerns the deeper question of why the powers of Parliament and courts should depend either on empirical argument or normative justification (or, to include Oliver’s approach, pragmatic judgment).   These are rival approaches to constitutional analysis which each require a positive argument in their favour.   Goldsworthy must explain why acceptance by officials is the decisive factor; Oliver must explain why pragmatic judgment is the decisive factor; and Allan must explain why moral justification is the decisive factor.   By extension, each theorist must try to show why the factors identified by other theorists are erroneous.

This brings us to b).   It will be tempting for some theorists to claim that their favoured method of constitutional analysis is descriptively correct: that their method is not so much a theory as a factual statement of the way the constitution works.    This recalls the claims made by Griffith (and perhaps Oliver) above.   It also recalls the way that Herbert Hart sought to characterise his approach to legal theory (it is not altogether clear to me whether Goldsworthy endorses that characterisation).     Unfortunately, such a descriptive claim is doomed to fail.    Every theorist presumably believes that his or her method provides the correct understanding of the constitution, and that other methods provide an inferior understanding.   Every method identifies particular facts, features or standards of constitutional practice as representing the reality of the constitution.     There is no way that any theorist can stand above or outside these mainstream debates. They must defend their method with arguments like every other theorist.      That defence, I suggest, can only be an interpretive (or justificatory) one.    Each theorist must attempt to show that their preferred method provides the most morally appealing interpretation of British constitutional history and practice.

These responses to a) and b) now require some unpacking.   What exactly does an interpretive defence of any particular constitutional method involve?  Goldsworthy, Oliver and Allan (along with all other constitutional theorists), I suggest, must show two things at once.   They must first show that their preferred method has independent moral appeal as an account of law, government and the state.   If a theorist relies on (or presupposes) a defective general legal and political theory, then we can almost certainly discount their theory as a viable account of the constitution.   Secondly, assuming that their underlying legal and political theories are sound, a theorist must then show that their preferred method is capable of making sense of the salient facts and features of British constitutional practice.   In other words, they must show that they are advancing, not a Utopian theory, but a theory of the particular constitutional practices and traditions in Britain.

What might an interpretive defence of the methods of Goldsworthy, Oliver and Allan look like?

Goldsworthy’s argument might (and, in part, does) go something like this.  That the powers of Parliament and courts depend on a consensus of acceptance among officials can be justified by such values as certainty, clarity and constitutional stability.   If members of each branch of government must agree to the powers of Parliament and courts, then the risk of a constitutional crisis is minimal.    Neither Parliament nor courts can unilaterally unsettle the system.    A theory based on official consensus also fits the day-to-day practice of judges and officials.   Judges give effect only to the clear meaning of statutory text or to clear rules contained in previous judgments.    There is no sense in which judges make moral judgments either about the proper powers of institutions or about the substantive content of the law.

Oliver’s argument might go something like this.   That the powers of Parliament and courts depend on pragmatic, all things considered judgments can be justified by the values of comity and mutual respect.    If courts and Parliament do not trample on each other’s territory, then things will work out better in the long run.   Courts will maintain their authority, and there is less scope for a clash between branches of government.    A theory based on comity and respect fits the day-to-day practice of courts and officials.   Judges frequently defer to the opinion of officials, and they suppress any thought of striking down legislation.   Likewise, Parliament and the Government generally refrain from criticising judges or judgments.

Allan’s argument goes something like this.   That the powers of Parliament and courts depend on moral principles can be justified by values such as integrity, equality and a range of basic liberties.   The very point of law and government is to ensure that people are treated in accordance with these fundamental principles.   It follows that the state does not have the power to act in a way that contravenes such principles.    A theory based on moral values and principles fits the democratic structures of government.   It also fits the way in which judges bring arguments of constitutional principle to their adjudicative task.

These are merely sketches of what an interpretive defence of these different constitutional methods might look like.  The crucial point to note for our purposes is how each theorist must go about defending their constitutional method and the theory they derive from it, and how they must go about attacking other methods and theories.    Constitutional theory, I have suggested (at greater length than I initially hoped), must be interpretive (rather than descriptive, conceptual, logical or whatever).

Stuart Lakin is a Lecturer in Law at the University of Reading

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Colin Harvey: Engaging With Human Rights in a Disunited Kingdom

The world is saturated with the normative discourse of rights. Rights-talk is to be found almost everywhere; in sugary political speeches, in legal texts, and in the pleas of those experiencing abuse and those advocating on their behalf. Complex societies become ever more fractured as enclosed language games provide a basis for professional progression and advancement of a field; as well as legal and political mobilisation.  Our wordplay and our transnational networks co-exist with shameful levels of inequality, barbarism and brutality. We know it.  We watch it happen. We keep talking about human rights.

That modernity binds both sides together is old news; the 20th century demonstrated the capacity of humanity to reach remarkable heights, as we butchered each other along the way. Understanding the flawed humanity enthroned within human rights seems just as urgent as pressing hard on the potential normative force of personhood. The human within human rights contains all the wonderful, strange, sad, destructive and contradictory tendencies that make our short lives so intriguing. When we struggle for human rights we surely know this. No one wishes to inhabit a world of dull and cramped uniformity.

For all the complexities it remains plausible to assert that although we arrive into a world not of our making, carrying all the inherited limitations of our species,  we have it within each of us, and in solidarity with others, to resolve many of the problems we face. We know enough still to believe that collectively determined action in the world is possible. No human person alive today need live a less than fully human life. If she does, we – as a species – have made it so. How taunting then the surplus of norms must seem, how ripe for future condemnation we are?

Why indulge in such lacerating critique? It is to make a simple point: a commitment to human rights is not ethically neutral, and this engaged perspective should be deployed against forms of legalism that risk suffocating the critical resources of the subject. To insist on human rights brings substantive political and legal consequences, and a basis for assessing practical action. The outcomes will depend on how rights are conceptualised, and there is no easy way to duck declared forms of commitment.

It may not seem like it, but this is of relevance when thinking critically about the Bill of Rights discussions in the UK.

First, the debate is not usefully considered in isolation from political context. Those who wish to know what a Bill of Rights worth that title looks like should be enlightened. But there is little value in pretending that those historically hostile to the aspirations of the global human rights movements have suddenly been converted to the cause. No amount of sunny verbiage about a British Bill of Rights can mask the grubbier political realities. A war against the ambitions of the global rights movement can be conducted within the discourse itself. Everyone believes in human rights now, but what sort of rights culture do you hold to? A constant effort is required to ensure a justifiable conception is promoted and defended. These are interpretative battles with worldly consequences.

Second, from a critical human rights perspective let’s be provocative: worship of one piece of legislation (the Human Rights Act 1998) does not seem that persuasive either. Whether a ‘constitutional measure’ or not it is still a grounded form of law.  The literature is impressive. The Act continues to have a positive impact, often in situations that do not make headlines. Empirical work is ongoing. Whatever the evidence suggests, the worry is that lines are now drawn; on occasion in contrast to what that evidence demonstrates. The constitutional significance of the Act will always confront its direct political heritage. Churchill can be cited as a reminder of the Convention’s origins. The ‘Britishness’ of the law can be defended and rehearsed ad nauseam. The historic cross-party noises in support of bills of rights can be dusted off. But this will, to many people, always be a New Labour legacy (either positively or negatively depending on your party politics). A contextual assessment of the Human Rights Act 1998 cannot dodge the long-term strategic question of whether this is the end for rights in the UK, and should not sidestep the political realities of its achievement.

Third, the voices that historically propel the human rights movement forward are prone to be rendered invisible by forms of narrow legalism. Hope is often invested in the promise of closure that a significant legal judgment can bring. The notion of the last word in bounded time feeds a worldly desire for decisions that is effectively absorbed into the concept of the rule of law. The idea that we might well be in a conversation without end – even over the contested meaning of established norms -  can cause either despair or offer a spur to action. As political constructs erect hierarchies of interpretation to limit the damage, the discourse of human rights imports a tension that cannot be removed; the door will continue to remain slightly ajar. To talk of who has the last word in historical time is rendered meaningless within such a conception of political and legal life. There will be moments of decision, but there will be a going on with human rights as a path that seeks to always comprehend the person first over all and every human construct.

Finally, new constitutional configurations are emerging across these islands. There will be those who seek to instil fearfulness around these trends. From a rights perspective the challenges and opportunities can be embraced. The potential is there for a dialogue among equals to open up public space for a less defensive engagement on how we might promote and protect human rights, and thus show leadership in our age of anxiety and hope.  The outcomes are not pre-determined; those who sow seeds of mistrust can also prosper. It is thus necessary to be open to post-devolutionary experiments in rights protection. The risk is that human rights are submerged in an insecure wave of political unionism. The creativity and energy of the human rights movement should not be undermined even by notionally progressive forms of political and legal unionism in the UK. Such an approach would bury a global movement in the rubble of a partial and frequently distorted ‘national/nationalist’ conversation.

These may all be irrelevant reflections, a distraction. The purpose here is just to pause to consider why we engage with human rights. Setting aside the often bewildering nature of personal motivations (that human again in human rights), we must do this work at some level because we feel profoundly uncomfortable with the world we are in, and thus wish to change it – in the time we have – using whatever forms available: political, cultural, social, economic, and even legal. The risk, it seems to me, is to mistake the contested tools for the contested objectives, and thus forget the ethical imperatives silently pressing us on.  That we are re-enacting the arguments of centuries is no reason for despair or retreat. All those who suffer now, and those silenced brutally in historical time, provide all the foundations necessary to keep going on. To keep talking about the best conceptions of human rights, and insisting on practical realisation.

Colin Harvey is Professor of Human Rights Law at Queen’s University Belfast.

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Arthur Dyevre: The Czech Ultra Vires Revolution: Isolated Accident or Omen of Judicial Armageddon?

On the face of things, the CCC’s judgment, by declaring an EU act, namely a ruling of the Court of Justice, ultra vires, constitutes a momentous and unprecedented display of judicial defiance. To my knowledge, no domestic court has ever taken this step before in a final judgment on the merits; and certainly not in so explicit a manner. In recounting the background of the case and the sequence of events that led to the CCC’s decision, Jan Komarek points to a number of intriguing aspects of the case. One, which has already been highlighted in connection with the Melki case, is the difficulty for the CJEU to avoid alienating domestic judges when it is dragged into domestic judicial politics by way of the preliminary ruling mechanism. Here, however, my primary interest is in the significance and implications of the CCC’s decision for the EU multi-level legal system. In a non-hierarchical court system, where courts at the upper echelon do not have the power to strike down the decisions of courts at the lower level, judicial cooperation appears to be essential to the effectiveness of the higher-level law. So, by defying the authority of the Court of Justice in such blatant fashion, the CCC’s judgment may be viewed as striking a terrible blow to the authority of EU law. Doomsayers may see it as the first event in a chain reaction that will ultimately bring down the whole constitutional edifice of EU law. From now on, every domestic judge will assume that she can safely ignore EU law whenever she sees fit. Still, while there is no gainsaying that judicial defiance at domestic level may potentially raise major problems, I would nonetheless suggest, borrowing insights from game theory and international relations, that this judgment is more likely to remain an isolated event. An all-out war with the CJEU is not in the long-term strategic interest of any domestic court. Hence there is a fairly good chance that, one way or another, the CCC will soon come to its senses and will repudiate a decision that seems to be driven by anger rather than by reason. If it wants to remain a player in the multi-level judicial game, the CCC should take a closer look at the German Federal Constitutional Court (GFCC), which has so far proved a more thoughtful strategic player in its relations with the CJEU.

Of Hawks, Doves and Chicken

Of the classical game forms found in the game-theoretic literature, the one that seems to best approximate the conflictual relations between the CJEU and national courts such as the GFCC and the CCC is the game of Chicken. Most people, presumably, know it from the classical presentation where two drivers head for the same single lane bridge from opposite ends, with the last to swerve counting as the winner. The same game, with the same payoff structure, is also known as the Hawk-Dove game. There two players compete over a resource and have to decide whether to fight (play Hawk) or to acquiesce (play Dove). For each player, the best outcome is, of course, when she plays Hawk and the other player plays Dove, while the worst outcome sees both players choosing to play Hawk. This game form has been widely used in international relations to analyse crisis situations. What strategy should a country adopt, knowing that it will incur severe losses if it acquiesces to the demands of its neighbour but knowing at the same time that a war would be even more costly? I see several reasons why this approach also constitutes an appropriate way to model judicial interactions in the EU legal system. First, jurisdiction is a rivalrous good. Assuming that courts want to expand – or at least preserve – their jurisdiction, courts on opposite sides of a jurisdictional dispute, like the two players in a Hawk-Dove game, have opposite institutional interests. When one court expands its jurisdiction, it normally does so at the other’s expense. (More powerful domestic courts have obviously more to lose, which would explain why the mighty GFCC has been at the forefront of the judicial resistance to integration.)

Second, analogous to the players in a Hawk-Dove game, the courts perceive, or should perceive, the disastrous consequences that would ensue, should both pursue a strategy of defiance. For the CJEU, a single case of overt non-compliance by an influential domestic court may set a dangerous precedent, damaging its authority as well as the effectiveness of EU law. But putting a threat of non-compliance to execution may attract problems to domestic courts, too.  A ruling that comes to be regarded as detrimental to the country’s interests and membership in the EU may trigger adverse political reactions. Legislators may decide to punish the unruly court by rolling back its jurisdiction, changing its rules of procedure, appointing new judges, etc. On that score, it is worth remembering that a group of respected German academic lawyers reacted to the GFCC’s ruling on the Lisbon Treaty – which stopped short of holding the Treaty unconstitutional but was nonetheless regarded as articulating a strongly Eurosceptic position – by calling on legislators to amend the Federal Constitutional Court Act (Bundesverfassunggerichtsgesetz). The proposed amendment would have required that the GFCC send a reference for a preliminary to the Court of Justice before entering any judgment on the ultra vires character of an EU act. Had it become law, the amendment would certainly have dealt a severe blow to the GFCC’s institutional standing. More generally, despite the growing anti-EU sentiment among their voters, government parties in the Member States, even the more Eurosceptic ones, usually agree about the fact of EU membership. This entails that domestic courts can ill-afford to make decisions that would imperil their country’s full membership in the supranational club. In my view, this fact places an upper limit on the level of defiance of domestic judges. The doctrines of direct effect and supremacy are now part – though not necessarily in the form expounded by the CJEU in its jurisprudence – of the “acquis communautaire”. Thus, unless the government parties wish to leave the EU, a court that blatantly defies it will face a political backlash. This is why the decision of the Czech constitutional judges looks daft. As the GFCC understood early on, going to war should always be the ultima ratio.

Bluff and Brinkmanship in the Judicial Cold War

In the situation we are concerned with, the courts’ strategic choice mirrors the one faced by the players in a Hawk-Dove game. Assuming that a constitutional crisis is a worse outcome than a jurisdictional loss, a domestic court’s best response to a dovish CJEU is hawkish judicial expansion or reassertion, but its best response to a hawkish Court of Justice is judicial restraint. Hence it is easy to see to that each court would ideally be the Hawk and have the other be the Dove. Yet strategic decision-making – again, as in the standard formulation of the Hawk-Dove game – is rendered difficult by the fact that the courts do not have a dominant strategy – i.e. a strategy that remains the best whatever strategy the other court happens to choose. This difficulty is further compounded by the iterative character of judicial interactions in the EU court system. We’re not dealing with a one-shot game but with repeated interactions.

Now, when we repeat a game indefinitely many different equilibriums are possible. But if the players are allowed to communicate about their future choices, they may be able to use communication so as to induce an equilibrium more favourable to their interests. A country’s leader may thus want to signal hawkishness and announce he is ready to go to war. Similarly, a court may hint that it is ready to risk a constitutional crisis to force the other to acquiesce to its jurisdictional demands. The resolve of the judges just as that of the leader may be impossible to establish with certainty. But credible enough the signal may well work. This I would argue is the game the GFCC has been playing ever since its first Solange decision. On numerous occasions, the German Court threatened to disapply EU legislation if found to be ultra-vires or to violate basic human rights. Yet it has never put its threat to execution. To many legal scholars, this is proof that the GFCC is a dog that barks but never bites. But in fact this may be a sign of its success in countering the CJEU’s activist impulses. Without ever setting aside a single EU act, the Karlsruhe court may have managed to set limits on the European Court’s jurisdictional expansion. Perhaps it was bluff all along (the judicial Hawk was in reality a judicial Dove). But if bluff it was, it seems to have worked, at least some of the time. The Court of Justice’s human rights jurisprudence is often presented as a response to Solange. The GFCC’s decision on the Lisbon treaty, meanwhile, invites comparison with the Cuban missile crisis. By designating its most Eurosceptic judge, Udo di Fabio, as rapporteur and by issuing an opinion with strong sovereigntist overtones, the GFCC may have successfully emulated President Kennedy’s cautious firmness with the Soviet Union. Having made its voice heard, the Honeywell ruling was then similar to the Kennedy’s decision to withdraw nuclear warheads from Turkey: a face-saving exit for the CJEU that would ease and bring tensions back to a more manageable level.

Conclusion

I do not mean to say that the GFCC is always a force for good in the EU legal system. Its role in the ongoing debt crisis, where it seems to serve as pre-commitment device for the German government in negotiations with other Member States (“We can’t accept this because our constitutional court will say no”), is, for my money, highly objectionable on normative grounds. So too is the declaration of its President, Andreas Vosskuhle, that the German Constitution “hardly admits of more integration”, whose subtext seems to be “We, the Court do not want to see more integration”. But this is not my point. Rather my point is that thoughtful domestic judges, even if they take a sceptic view of integration, should first seek negotiations with the judges in Luxembourg before even thinking about pressing the big red button. Those who fear a judicial Armageddon will find some comfort in experiments that have shown that the iterated Hawk-Dove game (in its Snowdrift variant) leads to consistently higher levels of human cooperation than other iterated games such as the iterated Prisoner’s Dilemma. As with superpowers during the Cold War, the threat of mutually assured destruction seems to provide human beings with a strong incentive to cooperate. Let’s hope judges are human beings too.

Arthur Dyevre is Senior Research Fellow at the Max Planck Institute for Comparative and International Public Law in Heidelberg

This post originally appeared in the Verfassungsblog, and is reposted here with thanks. 

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Stuart Lakin: What Role Should Judges Play in the Constitution Justice Sumption?

In his recent F.A. Mann lecture Jonathan Sumption Q.C., the newly appointed member of the Supreme Court, took up the question of the proper role of judges vis-a-vis the political branches of government in the UK.   Tom Adams has already provided a fine summary and analysis of the lecture in his January post.   I urge readers to follow the link to this post (and to read the lecture itself ) before continuing.

In this short comment, I want to offer some thoughts on Sumption’s central theme, namely that judges should not intervene in matters of politics or policy.     I shall make two general points, one positive and one negative.   In the positive, I shall support Sumption’s call for judges to engage directly with constitutional theory in determining which branches of government should decide which types of questions (for a more general argument about the importance of theory for public law, see my earlier post.)  In the negative, I shall support Tom Adams’s conclusion that Sumption’s own constitutional theory is rather unbalanced.   While Sumption makes many cogent arguments about the distinctive virtues of politics and governmental policy-making, he needs to say far more about the precise role of judges in the constitution.    This task, in turn, requires a far more detailed and nuanced account of the nature and importance of law, the rule of law and individual rights.

Before I move into my arguments, it is worth sounding a few notes of caution.  A public lecture of about 9,000 words (or an hour) in length, given just a few months before taking up judicial office (for the first time) in the highest court in the land, with lawyers, journalists and others hanging on your every word, is probably not the ideal occasion to mark someone’s score sheet.    Sumption is an unusually bright lawyer.   I doubt that his arguments are the best he has, or even that he fully endorses everything he says.    It certainly seems premature, to me, to conclude from his lecture that he is ‘conservative’ and ‘naive’ in his views (see Joshua Rozenberg’s article in The Guardian, November 9, 2011.).  But I may be wrong.  We shall have to wait and see whether, or to what extent, the arguments of Sumption Q.C. find their way into the judgments of Justice Sumption…

The need for judges to do constitutional theory

My positive argument can be made very briefly.  It is less of an argument, and more of a textual ‘hear, hear’ for the following passage towards the end of Sumption’s lecture:

“English judges have traditionally been shy about resorting to large constitutional theories to explain their judgments. This is consistent with the pragmatic and undemonstrative traditions of English law, and its distaste for rhetoric and all-embracing propositions. However, the reticence of English judges about the constitutional implications of their decisions has had unfortunate consequences. It has meant that English public law has not developed a coherent or principled basis for distinguishing between those questions which are properly a matter for decision by politicians answerable to Parliament and the electorate, and those which are properly for decision by the courts”  (22)

Whether or not this is a fair assessment of the record of English judges, the broad implications of the passage must be correct.   The proper division of responsibilities between courts, the executive and the legislature is a deeply controversial, moral question.   It can only be answered by reference to some theory of why certain types of decisions should be left to one or other branch of government.    The greater the willingness of judges to make explicit their constitutional theory, the greater the prospects for a coherent and principled model of the separation of powers.

Sumption supports this general view with a careful account of the relevance of judicial deference/restraint/reticence (call it what you will) to public law adjudication.

First, judicial deference, where appropriate, is not deference to the minister; it is deference to “the constitutional separation of powers which has made the minister the decision-maker, and not him.”  (18)     To put this point differently, judges should not defer at all; they should simply exercise their proper constitutional function on some principled account of what that function should be.   This is a point made repeatedly by Trevor Allan in his work on deference.

Secondly, Sumption plays down the significance of ‘institutional’ reasons for judicial deference.   Factors such as “the lack of justiciable standards by which to assess [particular areas of policy-making], the limitations of the court’s expertise, and the indirect impact which an adverse decision may have on interests not represented before the court”, Sumption argues, “reduce to the level of a practical impediment what is actually an important issue of principle.” (20)   The proper basis for judicial power, Sumption reiterates, must be the general application of an underlying constitutional principle across the whole range of government activity.

This distinction between ‘institutional/practical’ reasons and principled reasons for judicial restraint recalls Jeffrey Jowell’s distinction between the ‘institutional’ and ‘constitutional’ competence of courts.  Jowell and Sumption may not be in full agreement though.   For Jowell, institutional reasons for deference are themselves moral reasons (as opposed to practical, unprincipled reasons).    Jowell must be right on this point.    The question of what counts as a ‘justiciable standard’ must depend on some principled account of what types of standards judges should apply.    Similarly, the extent to which courts require special ‘expertise’ must depend on some principled account of what type of judgement courts should make about the evidence before them (I shall  have more to say about these points below).

Perhaps Allan, Sumption and Jowell are all ultimately saying roughly the same thing: that  an account of the proper role of judges requires a principled theory of a range of constitutional and institutional factors.    As Allan has helpfully put it, the label ‘deference’ is a conclusion about how we should understand those factors.

So What Should Courts Do?

Having encouraged judges to get stuck into constitutional theory, how far does Sumption himself take us towards a convincing theory of role of judges?    This brings me to my negative argument.   It is striking as one reads Sumption’s lecture how little argument there is about what judges should do.    There are heaps of warnings about what judges should not do, and how judges have strayed outside their proper constitutional role (whatever that might be): judges should not intervene in areas of ‘macro-policy’ (6), judges should not use judicial review as a means of expressing their ‘aversion’ to a policy (6), judges should not legislate (7), judges should not balance competing policies (9), judges should not attempt to resolve inherently political issues (18-19), etc, etc.     At the same time, Sumption gives plenty of rich and insightful argument about the value of politics as a mode of policy-making:   politics is an “essential tool of compromise” (17), the only means of determining the public interest, and the only way of ensuring democratic, public accountability on sensitive issues of public policy (21).

There is no question that a comprehensive theory of the role of judges vis-a-vis the political branches of government must include a detailed account of legislation, politics, policy, and democratic accountability   Those theorists who advocate a so-called ‘political’ or ‘republican’ understanding of the constitution place particular emphasis on these types of things.   As does Jeremy Waldron in his own uniquely challenging way.     But these types of things make up just one side of the constitutional equation.     We also need a positive account of precisely what role judges and courts should have in the constitution.   How should judges interpret statutes?   What limits should judges place on the exercise of executive discretion?   As I have said, Sumption doesn’t take us very far at all with those types of questions.   He assures us that judicial review is not ‘unnecessary’ (18); and he insists that we need to ‘sort out the law which judges [should] administer’ (19);  but, beyond that, he offers only the most indistinct account of judges’ job description.

Take the following familiar situation described by Sumption early on in his lecture (6).  A statute gives a minister an apparently unqualified power to act ‘as he or she thinks fit’.  The court has to decide whether the minister has abused this power.    How should a judge decide this question?    We can infer from Sumption’s account of what judges should not do that they should apply the “clear literal meaning [of] the statute”, or they should try to find “sufficient and admissible evidence of the actual [Parliamentary intention].”  (7)    But the text of statute will very often (if not always) bear many different possible meanings; and it may be altogether unclear from the text (or indeed from Hansard) what meaning Parliament intended.   What should a judge do then?      Sumption seems to have no answer to this question beyond telling us that, at this point, a judge’s decision will cease to be a legal decision: judges will instead inevitably cross over into the forbidden territory of policy-making and legislation.

Sumption’s failure (at least in this lecture) to advance a rigorous theory of the judicial role is symptomatic of an unfortunate tendency among British constitutional lawyers and theorists.  Different views on the role of judges are all too often expressed in metaphors or empty slogans: judges should apply ‘a light touch’ or a ‘hands-off’ approach, or a ‘progressive’ approach to judicial review.    The fix for this tendency, I think, is a much closer engagement with legal theory alongside political theory.     If it is thought that judges should give effect to the law, then judges and theorists need to grapple with the question of what counts as a legal right, duty or power; and they need to think about what it means for officials or institutions to be governed by law (or the rule of law).    These are difficult and controversial questions, but judges and theorists have no option but to confront them.    Judges can only make a principled judgment about when to impugn a ministerial decision if they have put together a theory both of politics, policy and democracy, and of law, the rule of law, and individual rights.   I would add that judges should be as willing to spell out their legal theory as their political theory.    Given his general sympathy to judges doing theory, it would be surprising if Sumption were to disagree with me about this.

Stuart Lakin is a Lecturer in Law at the University of Reading

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Peter C. Oliver: Constitutional Conventions in the Canadian Courts

Most constitutional law textbooks across the Commonwealth include in the section on constitutional conventions lengthy extracts from the Canadian case, Re Amendment of the Constitution of Canada, often referred to as the Patriation Reference.  Given that constitutional conventions are enforced not by courts but by the political process, conventions are rarely discussed in the law reports.  Courts occasionally recognize constitutional conventions in order to discuss intelligently the way the contemporary system of democratic responsible government works, but they do not accede to a party’s attempt to win a court battle by requesting that the court enforce a convention. Even in the well-known case of Jonathan Cape ((1975) 3 All ER 484, [1976] QB 752), the Attorney General would not have made any progress if he had only argued the convention (of collective ministerial responsibility); the success of his argument, so far as it went, was founded on the equitable doctrine regarding breach of confidence, with the convention supporting the factual finding of a confidential circumstance.

What was different about the Patriation Reference?  And what effect has that case had on the way Canadian courts view the justiciability of constitutional conventions? Readers of this blog may be aware that Canada has just lived through a period of minority government in which the Prime Minister’s decisions to prorogue and dissolve Parliament were hotly debated.  Political actors who were critical of the Prime Minister’s actions sought out any and all means thwarting him.  An organization called Democracy Watch, for example, challenged the 2008 dissolution of Parliament in court on the basis of both law (fixed election legislation) and convention.  Later in 2008, critics called for a Supreme Court of Canada advisory opinion regarding the Prime Minister’s controversial decision to avoid a vote of non-confidence by asking the Governor General to prorogue Parliament.

Canadian courts have so far resisted these and other calls for them to enforce constitutional conventions.  However, their resolve is not as clear and firm as it could be.  Since 2000, both the Supreme Court of Canada and the Federal Court of Canada have produced judgments (in the context of ordinary litigation rather than in an advisory role) in which the existence or non-existence of conventions is discussed in some detail, including analysis of whether Jennings’ three-part test (first adopted in the Patriation Reference) has been met. One cannot help but wonder what will happen if, as seems inevitable, a constitutional convention is eventually made out in the context of future litigation. Will the court say that it is merely recognizing the convention not enforcing it, and that, accordingly, the remedy is by way of declaration not injunction?  That would seem to misunderstand the way in which law is enforced in this day and age, especially where the government is a party: a mere declaration of the law is invariably all that is required.  Or will the court re-discover the essentially political nature of the question and declare it non-justiciable?  To do so, it would have to revisit not only the Patriation Reference which first opened up conventions to judicial consideration, but also the Secession Reference and similar Supreme Court of Canada cases which have opened up the use of principles in the fashioning what is sometimes referred to as the common law Constitution. After all, all conventions are underpinned by a principle (e.g. the democratic principle) according to Jennings’ three-part test cited in the Patriation Reference (at p. 888). What is to stop the principle, and the principle-inspired jurisprudence of the Supreme Court of Canada, from being used to transform convention into law?  How did we get from the Patriation Reference to here?

Prior to the Patriation Reference, it was as rare in Canada as it was and is elsewhere in the Commonwealth to see conventions discussed in judgments.  A number of factors help explain what happened in 1981. First, as is well known, Canada, unlike countries (e.g., U.S.A., Australia) which hold to a stricter version of the separation of powers, permits advisory opinions (or references).  The Canadian Supreme Court Act sets out in the widest terms imaginable (see s. 53) the sorts of questions that can be put before the Court. The constitutionality of these provisions was confirmed in the Secession Reference. Secondly, although the Supreme Court Act provides few hints in this direction, the Court reserves a discretion to refuse to answer questions, often on the basis of non-justiciability.  Justiciability is a question of the courts’ proper role, but it is also a question of the courts’ relevant expertise.  As it happens, any judge who wishes to understand a constitution in the British tradition must understand constitutional conventions.  As the majority on the conventional question put it in the Patriation Reference (pp. 883-4): Constitutional Law = the conventions of the constitution + the law of the constitution.  While determinations of the precise present state of a convention might be beyond most judges’ ken, most judges could be said to have considerable knowledge in this area nonetheless.  A conclusion of non-justiciability would perhaps have to come from the Court’s sense of its proper role vis-à-vis other institutions rather than from considerations of relevant expertise. Thirdly and finally, the stakes in 1981 were very high: Canada had struggled for fifty years to come to agreement on a new amending formula to replace the United Kingdom Parliament as its ultimate constitutional amendment procedure. A first referendum on Quebec’s future in the federation had just been held one year earlier.  And clearly a majority of judges of Supreme Court of Canada judges felt that they had to weigh in.

The problem with courts weighing in regarding constitutional conventions was already apparent in 1981.  When the Court determined that, as a matter of the law of the constitution, United Kingdom Parliament legislation amending the Canadian constitution was legally unobjectionable, that was in principle sufficient to justify Prime Minister Trudeau’s attempt to patriate the constitution over the objections of eight out of ten provinces.  However, when the court also stated that, as a matter of the conventions of the constitution, a substantial degree (p. 905) of provincial consent was required, the distinction between law and convention quickly faded. To all but the most informed, formalistic observers, the Court had spoken authoritatively, and it had to be followed, sending Trudeau and the provinces back to the negotiation rooms (from which they emerged, Quebec dissenting, with the compromise that became the Canada Act 1982, the Constitution Act, 1982 and the Canadian Charter of Rights and Freedoms.)

Staying for the moment with the Patriation Reference, we might want to note the way in which the judges who signed the majority reasons regarding the conventional side of that matter proceeded. They clearly felt that they had to answer the question, for the reasons that I have already set out and no doubt for other reasons.  However, the provinces opposing what they viewed as federal unilateralism asked for more than the Court was willing to give.  The provinces argued that constitutional amendments affecting provincial interests required the consent of all provinces, that is, unanimous consent. The majority may have felt that a convention pitched at such a high level was not clearly established.  It opted instead to pitch the convention at a level which could be clearly established, that is, a substantial degree of consent (which all observers assumed to be more than the existing two-province consent but less than unanimous consent).  Was the Court effectively saying that only a convention of at least substantial consent could be clearly established, but that there was an ongoing, evolving political discussion as to whether more was required, including unanimous consent?  If the Court wished to say this, it did not communicate it clearly, with the result that most observers assumed that the Supreme Court of Canada’s finding regarding convention was authoritative in the exclusionary or pre-emptive sense which Joseph Raz describes regarding law proper: the Court’s pronouncement effectively replaced the many discussions in the political arena regarding the political (i.e., conventional) morality of the pre-1982 amendment process.

Even though, as a rule in Canada, the law as stated in advisory opinions is followed by courts in ordinary litigation, there was no initial spate of litigation in which parties sought to vindicate in court their particular take on a constitutional convention.  After all, even as the Supreme Court of Canada had set out a constitutional convention in the advisory Patriation Reference, it had reiterated the orthodox rule regarding the fact that conventions are not enforced by courts (p. 880).  And the Court has never disavowed the orthodox rule.

What has changed since 1981, however, is the Court’s general jurisprudential approach.  When the Court spoke in 1981 of the law of the constitution, for example, it spoke from an essentially positivist perspective.  It was referring in the main to legislation, British and Canadian, and case law interpreting that legislation. By the mid-1990s, Canadian courts had adopted a principle-inspired method based, in part, it would seem, on the anti-positivist theories of Ronald Dworkin.  Where the law of the constitution leaves a gap (or, as Dworkin might say, presents a hard case), the Canadian courts are now less shy to fill the gap with the principle-inspired common law of the constitution. This begs the question whether the principles which underlie each and every constitutional convention can now be used to facilitate the gradual conversion of the conventions of the constitution into the law of the constitution.

I argue that the Canadian courts should ensure that this does not happen.  And yet if a principle-inspired legal method provides the tools to convert conventions into law why not?  In my view, the answer can be found in the preamble to the Constitution Act, 1867, which states that Canada has a Constitution “similar in principle to that of the United Kingdom”.  That phrase in the preamble signaled that while some parts of the Constitution were as of 1867 written, equally important elements remained mostly unwritten.  Or put another way, that while some parts of the Constitution were designed to be judicially enforced, other important elements were designed to be politically enforced.  With regard to the latter, one thinks of constitutional conventions, including those establishing responsible government, parliamentary privilege, and the very idea of parliamentary sovereignty.  The Canadian constitutional system has evolved, of course – it is a “living tree” – but the political Constitution is still an important part of our democratic constitutional set-up. The Constitution Act, 1982 replaced the pre-1982 conventions regarding constitutional amendment and limited parliamentary sovereignty, but it did not eliminate the important role of conventions, responsible government, privilege and parliamentary supremacy and the political Constitution as a whole.

Accordingly, the main reason why the courts should not use the principles underlying conventions to convert conventions into law is that there is no gap to fill.  That which appears to be a hard case is only so if one focuses exclusively on the law of the constitution.  If one considers together the conventions and the law of the constitution, the political and the legal constitution, then it is clear that judges should respect political means of enforcement rather than use the principles underlying conventions as a means of converting rules of political enforcement into rules of judicial enforcement.

Part of the difficulty here lies perhaps in lawyers’ general preference for text over practice.  Conventional rules, and much of the political constitution, look like a gap or an empty space from the perspective of the text-based legal constitution.  However, if we imagine a case where conventions are written down for ease of reference, but where it is clearly intended that enforcement remain political rather than legal, the courts would view the interpretation and enforcement of those rules as non-justiciable rather than view them as a gap or a hard case requiring conversion into new legal rules of the common law constitution by means of principle-inspired jurisprudential method.  The same approach should apply even where the conventions are not written down, until such time as a decision is made to convert conventions into law (as occurred regarding the conventions of constitutional amendment in Canada).

An additional source of concern, from my perspective, is that the Supreme Court of Canada has, with respect, turned the meaning of “a Constitution similar in principle to that of the United Kingdom” on its head.  I have already stated that, in my view (and in the view of constitutional historians and the Supreme Court of Canada itself prior to 1982) that phrase was intended as a reminder of the ongoing existence and importance of the political part of the Constitution.  In a number of important cases in the 1990s (see, e.g., the Provincial Judges Reference, para.104 and the Secession Reference, para. 53), the Court used the same phrase in the preamble as an “invitation” to the courts to fill perceived gaps in the Constitution using principles such as constitutionalism and the rule of law, democracy, federalism, the protection of minorities and judicial independence.  In fact, the Court seemed intent on finding a textual basis for its use of unwritten principles.  Unfortunately, the preamble text it used was itself a reminder of the importance of political as opposed to judicial enforcement of constitutional rules.  This is not to say that the Court should not use principles to fashion its decisions – that is a debate for another day. Rather, the point that I am trying to make is that the Court should refrain from using the very principle that underpins a conventional rule, and the very phrase from the preamble of the Constitution that is intended to recognize the ongoing importance of political enforcement of these constitutional rules, to create new parts of the common law constitution.

I have noted that the Supreme Court of Canada has already, with respect, (mis)used the phrase “a Constitutional similar in principle to that of the United Kingdom” to justify a principle-based approach to developing the common law of the Canadian constitution. Is there any sign, however, that the Canadian courts wish to go further, that is, to convert conventions into legal rules using the same method?  The signs are mixed, in my view.  In two cases in 2000-1 (Public School Boards’ Association of Alberta v Alberta (Attorney General), [2000] 2 SCR 409, paras 30 and 38; Ontario English Catholic Teachers’ Association v Ontario (Attorney General), [2001] 1 SCR 470, paras 26 and  63 et seq), the Supreme Court of Canada allowed parties in ordinary litigation to state a constitutional question regarding, inter alia, a constitutional convention.  In other words the parties were attempting to win their case by a number of means, one of which could have involved a declaration involving a constitutional convention.

One might have expected the court to simply refuse to answer the question.  It is one thing to ask a court to recognize a convention as part of the factual context necessary to understanding the legal dispute, and quite another to try to win the case on the basis of a convention.  Instead, after a reminder of the fact that conventions are not enforced by courts, the Supreme Court of Canada then went on to discuss Jennings’ test for constitutional conventions first set out in the Patriation Reference.  In my opinion, this gives potential litigants the impression that, if the convention can be made out in a future case, the Court might be willing to issue a declaration to that effect, though clearly it would refuse to award an injunction.  As I stated earlier, if that impression is right, then there is cause for concern.

Since 2000-1, conventions have continued to rear their head from time to time in litigation.  Following the Supreme Court of Canada’s ambiguous lead, the lower courts have not always felt able to refuse to discuss the granting of a declaration regarding a constitutional convention.  (See, e.g., Pelletier v Canada (Attorney General), 2007 FC 342, para 6,  and Pelletier v Canada (Attorney General) 2008 FCA 1, para 18 et seq;  Conacher and Democracy Watch v Canada (Prime Minister), 2009 FC 920, paras 2, 10-15, 30-47, 65-72; Conacher and Democracy Watch v Canada (Prime Minister), 2010 FCA 131, paras 5-6, 12, )  Instead, they have often restated the non-enforceability rule, but then gone on to discuss, sometimes in considerable detail, whether the convention is made out (applying Jennings and the Patriation Reference).  It seems to me that the courts’ approach to constitutional conventions needs to be more clearly thought through in advance of the day when a declaration regarding a credible constitutional convention is sought in ordinary litigation.  It seems inevitable that if the courts signal that they are willing to grant declarations, parties which have the financial means to litigate will seek to lift their cases out of the ongoing and evolving discussion in political forums by seeking discussion-stopping victory in the courts.

Accordingly, I would recommend the adoption of the following guidelines at least in so far as treatment of conventions by courts in Canada is concerned.  I would be interested to hear how constitutional lawyers in other jurisdictions view these suggestions.

  1. In the context of ordinary litigation, courts should refuse parties’ requests, by way of declaration or other remedy, to rule on the existence or non-existence of a constitutional convention in order to determine the legal outcome of the case.
  2. In the context of ordinary litigation, in which (consistent with 1.) the dispute turns on something other than the existence or non-existence of a constitutional convention, courts may sometimes find it necessary in the course of their reasoning to describe (or recognize) a well-established constitutional convention in order to sensibly account for our constitutional arrangements.
  3. In the context of a reference case (advisory opinion), the court should accept requests to rule on the existence or non-existence of a constitutional convention, only to the extent that the conventional rule is, in the court’s view, clear and well-established.  If the convention itself is in flux, or if the question relates to a peripheral aspect of the convention which is likewise still in flux, then the courts should regard the question as non-justiciable, both because of the courts’ lack of expertise regarding evolving political dynamics, and because of the need to maintain a proper balance between the judicial and political parts of the constitution.
  4. In the context of a reference case (advisory opinion), the court should perform an important educative function in explaining that many constitutional conventions, and the political parts of our constitution in general, are in constant evolution, and that the public’s democratic responses to perceived breaches of convention are critical to that political process.

These comments and recommendations are offered on the thirtieth anniversary of the Patriation Reference and on the fortieth anniversary of the publication of Constitutional Theory by my supervisor and good friend, the late Dr Geoffrey Marshall.

Peter Oliver is a Professor of Law at the Faculty of Law, University of Ottawa and the author of The Constitution of Independence: The Development of Constitutional Theory in Australia, Canada and New Zealand (OUP, 2005).  He was formerly Professor of Law at King’s College London.  The author was Scholar in Residence in the Constitutional and Administrative Law Section, Public Law Sector, Justice Canada in 2005-6 during which time he completed a research contract looking into the meaning  of the 1867 preamble phrase “A Constitution similar in principle to that of the United Kingdom”.  In 2006-7 he was Special Advisor, Legal and Constitutional Affairs at the Intergovernmental Affairs Secretariat of the Privy Council of Canada, and he has continued to act in that capacity from time to time from 2007 to present.  He has not advised on the issues discussed in this piece. The views expressed here are the author’s own and should not be taken to represent the views of the Intergovernmental Affairs Secretariat or of the Government of Canada.

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Dawn Oliver: Review of H. Gommer, A Biological Theory of Law: Natural Law Theory Revisited (2011, Create Space/Amazon, Seattle, 179pp)

Given the growth of work in psychological explanations of law in many fields, a book by a Dutch scholar, Hendrik Gommer, A Biological Theory of Law: Natural Law Theory Revisited is of particular interest. Gommer’s thesis is based on the fact that there are links between the properties in genes and basic notions in law. Genes are stable, can replicate, and require nutrients, reciprocity and room to grow.  The same is true of individuals and of groups. Just as genes cooperate, so individuals in society cooperate. The genetic structures of our brains contribute to the development of emotions, morals, rules, and eventually, in large communities, laws.  Those laws optimise the reproduction of the genes of members of the community whose laws they are.

The applicability of this approach is obvious in many areas of law, notably family law and criminal law, in which much work is already being done. But it is also applicable in public or constitutional law, where it opens up scope for much new research. Liberal democracies protect the interests of the public group or community, balance them with those of individual members, and meet the natural concerns of individuals for justice, both for themselves and their kin and for other members of their community. Because we need to cooperate with others in order to reproduce successfully – that is why we are social animals – our brains enable us to do so – by means of emotion. We develop rules, which may or may not be explicit and formal, to facilitate cooperation and to deter uncooperative behaviour. These rules may be experienced by individuals as ‘normative’ and ‘ethical’ but this experience, and the anger that is generated by breaches of them – by untrustworthy behaviour, cheating, free riding – are genetically rooted, emotional, fitness promoting: the products of evolution. Recognition of this fact helps to explain and understand rules.

The relevance of this approach for public lawyers and legal theorists is illustrated by the following passage in A Biological Theory of Law (at p. 108).

‘Only states in which the interests of individual citizens are in balance with group interests will be stable sufficiently. If the state suppresses too much the interests of individual citizens, it undermines itself. From the standpoint of this theory, it is largely irrelevant whether the laws are realized democratically. The point is that the law is in the interest of (the largest possible part of) the public, and that free-rider behaviour at all levels is prevented as much as possible. An oligarchy suffices, but needs to be checked if defending the interests of citizens. Otherwise, oligarchs will be tempted by free rider behaviour. Whether this control is carried out by direct election, or for example, by judges who guard the interests of citizens, is of less importance. However, it is clear that the more ‘checks’, the smaller the chance of free rider behaviour, and the more ‘balances’. From this perspective, it is not a dogmatic separation of powers, but control and sanctions for those who abuse their power that are important.’

The most difficult part of Gommer’s thesis to understand is the introductory, scientific material on the fractal structures of molecules and genes.  A fractal is a large structure which has the same structure as its micro-scale version. Gommer uses fern leaves to illustrate his point. The fractals in our genes, Gommer suggests, generate social structures. Gene interaction does not only generate individual persons, it also creates a community of individuals, which can be thought of as a single creature as well as a collection of individuals. Our thoughts too are part of a fractal generated by our genes which can be recognised, for instance, in the system of law.

Despite its novelty and complexity the scientific basis for the thesis is clearly explained and, I find, convincing.

Thus biology is about the centrality of genes rather than of individuals. This is one of the most important insights offered by biology and evolutionary theory. Whereas legal and moral theorists have sought to explain law in terms of the centrality of the individual, the drivers – Gommer uses the term ‘generators’ – that predispose people towards particular behaviour  are  our genes.

Gommer argues that although many philosophers of law and even sociobiologists are reluctant to agree that norms can be justified by biological mechanisms and prefer to think of them only as ‘out there’ in a non-material world, a world of reason or of God, recognition of the biological aspects to law – that law finds its cause in nature – is necessary if we are to take a major step forward in the integration of biology, psychology, sociology, anthropology and law. The thesis amounts to a new ‘natural law’ theory, the natural element being molecular and genetic. This is not to deny the significance of the content of what natural law exponents may consider to be ‘out there’ theory, only to draw attention to its ‘in here’ roots in innate human psychology which can enable us to understand human behaviour, morals and laws.

Having summarised the scientific basis for his thesis, Gommer takes the subject forward by engaging with much of the economic and philosophical literature on law, morality, justice, democracy. He challenges for instance the assumptions of economists that human behaviour is essentially rational. He stresses the importance of emotion to human behaviour. He considers how the theories of Aquinas, Bentham, Cicero, Descartes, Durkheim, Dworkin, Grotius, Hart, Hobbes, Hume, Kelsen, Locke, McIntyre, Mill, Moore, Rousseau, Westerman and others stand up to a biological analysis of law, and he shows where their thinking does not tally with biological and other evidence about human nature.

In the epilogue Gommer engages eloquently with critics of his approach, including those who worry that a biological approach reduces all beautiful feelings, thoughts and creations to ‘a  heap of molecules’ and denies the importance of God. He rejects this. ‘If we feel love, love is as real as these molecules. A beautiful picture will stay a beautiful picture’. Much religious teaching, he states, is fully in accordance with biological theory. For instance ‘Religion and biology are all about the essence of our existence, about how we can find happiness, peace, cooperation, and justice. Religion is a way to expand the in-group, and it enhances our reproduction.’

The focus on the in-group throughout the book is illuminating: for instance, much anti-social behaviour is due to the fact that those affected by it are considered by the perpetrators to be out-group members – and the victims of anti-social behaviour may respond in kind by treating the perpetrators as ‘out-group’: this is a form of ‘tit for tat’ response which can, in a small community, be effective in bringing the ‘wrong doer’ back into cooperation; but it may be less effective in large populations.

Gommer shows that biology explains a lot of laws in all kinds of states. He notes that authoritarian legal systems and states will lack stability because of the senses of injustice and resentment of free-riding by rulers that will be generated among their populations. Life in a group always requires individual sacrifice, and a ruler who does not make any sacrifice for the group does not consider himself to be a member of it. His ‘subjects’ will also probably not consider him to be a member of their group, or else they consider him to a delinquent member – a cheat or free rider in the group.   A system in which the rulers are part of and rule in the interests of the people is more likely to be stable and its members and their genes are more likely to reproduce successfully in the long run.

It is clear that biology is not the only direct driver of rules. Culture also does so. We are biologically capable of developing culture: our genes generate brain structures that enhance imitation and memory, both essential to the transmission of cultures. Thus there are also biological influences in cultures. But some cultures, seen from outside, do not appear to be adaptive: they do not promote the successful replication of genes through sociality. Some cultures are remnants of earlier periods when economic, environmental and other conditions were different and in which they may have been adaptive; they may be less so in changed conditions. Some cultures may be adaptive in the minds of those who follow them but not to outsiders. Suicide bombing is an example: if a suicide bomber believes that his reward for martyrdom will be access to seventy-two virgins in paradise, the belief is clearly extremely adaptive. If a suicide bomber believes that his kin will benefit if he is a martyr, that also is adaptive. Both beliefs if true would ensure the replication of his genes. To outside observers who do not share these beliefs the traditions are obviously not fitness promoting.

Legal systems that are considered to be immoral, illiberal, unjust by the outside commentator may be well designed to promote the interests of the ruler’s group  – the people whom s/he considers to belong to his or her community – and may well do so very effectively. One-party states, where laws promote the interests of the party group and not of the whole population, provide an example.

This in-group out-group consciousness – which is inherent in all of us and may well be adaptive in some situations – is, it seems to me, the crucial factor which can explain how many very different legal systems function and why some do not adopt the ‘out there’ standards which many moral philosophers and legal theorists argue for and which may in fact be ‘in there’ for those who see all or most fellow humans as part of their group. In a broadly liberal democracy the elites and the general population consider that virtually all members of the population ‘belong’. Indeed, the prevalence of that attitude is, in my view, essential to and a precondition for the effective operation of a liberal democratic system and a peaceful society. A sense that certain people – e.g. women, immigrants, adherents to strange religions and ideologies – do not ‘belong’ explains much discrimination and it also weakens the system itself. A topic that cries out for further research is just why some individuals in some populations consider all members of the population to ‘belong’ and why in some populations that is not the case. It may well reflect senses of insecurity within sub-groups in the population – forming negative stereotypes of ‘others’ serves to reinforce group solidarity. It may be a hangover from earlier conditions, economic, environmental, health related, whatever, in which segments of a population acted adaptively – in the interests of the successful reproduction of members of their group – in discriminating against others and sub groups within the population.   If – but only if – the whole of the population of the world came to consider that they all belonged to the same significant group would there be no more injustice, discrimination, tyranny. Gommer explores this possibility in a visionary part of the book.

I write as a humanist:  an important point about Christianity, at least in its more liberal interpretations, is that in the minds of its adherents all human beings, whether Christians or not, do indeed belong to the one group of which God is the Father and Christ a brother – that is the species Homo Sapiens. This is what the Good Samaritan parable is about. The use of kinship terminology in Christianity may foster a sense that all humans are genetically related and should cooperate with one another in order to promote the replication of the genes that they, as kin, share. But not all religions or all Christian sects are so inclusive: in a diverse population whose members adhere to religions that do not consider all humans to ‘belong’ and actively subscribe to that element of their faith, this may be an obstacle to the development of liberal democracy, indeed to a world order free of injustice and tyranny. In a population in which there is broad acceptance that all human beings living in the territory belong to the same group – Homo Sapiens, British, American, whatever - the tenets of classical liberal democracy should be able to operate on the ground. It is when that sense of common group or community membership is absent that liberal democratic standards are unlikely to work. I find the insight from biological sciences, anthropology and other psychological disciplines, that in-group out-group dimensions exist and affect the attitudes of members of the elites and of the general public, and thus the content of laws, extremely illuminating: it provides at least a partial explanation of some of the factors which affect the functioning of liberal democratic systems.

No doubt many traditional legal and moral theorists – and many religious people- will find this book disturbing, reductionist and challenging. Many will question the positive contributions of religion to happiness, peace, cooperation and justice. These are not reasons not to read the book. It provides many important and intelligent insights into law and human behaviour.

Gommer does not engage with all the issues raised by biological explanations of law: he does not deal with free-will, determinism and criminal responsibility, for instance. But the instinct of individuals and groups to ostracise or punish people for anti-social behaviour is strong and, at least when it evolved, it served to uphold the social order on which we all depend. Whether it continues to do so in modern conditions is a subject worth exploring. I do not consider the omission of these topics to be a criticism of the book, however: the work is an introduction to the biology of law and opens up many areas for research by specialists.

It is difficult to do justice to Gommer’s thesis and to the literature with which he engages in this short paper. But it is clear that biological and psychological approaches are at the new cutting edges of public law scholarship and of legal theory: Some public law scholars in the UK are currently pursuing biological and psychological approaches. They  include Nick Barber in The Constitutional State (2010) in which he sees the state as a social institution, and Conor Gearty in ‘Against Judicial Enforcement’ in Conor Gearty and Virginia Mantouvalou, eds, Debating Social Rights (2011) in which human rights are seen as based on human predispositions to empathise with others. More public lawyers and legal theorists should work in this area.  For those who are looking for a change from what are sometimes to my mind rather sterile, even mystifying, debates about what are conceived to be ‘out there’ values such as democracy, sovereignty, rights, justice, rationality and the rule of law, here is a fertile new ‘in here’ approach which casts those ostensibly ‘out there’ values in a new and less mysterious light. Gommer’s book would be a very good place to begin.

Dawn Oliver is Emeritus Professor of Constitutional Law at University College London. 

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Stuart Lakin: I’m Afraid That There’s Just No Escaping it: Public lawyers Must Also Be Legal And Political Theorists.

Many of the public lawyers who visit this blog will have been fed on a very strict diet during their public law studies.   For some, just about every meal will have consisted of Dicey’s theory of Parliamentary sovereignty and the ultra vires theory of judicial review (with the odd acidic mouthful of some heretical challenges to those theories); for others (the lucky ones) those same base ingredients might occasionally have been seasoned with a sprinkling of Jennings, Wade and even Blackstone.    Public law – much like land law or contract law – was served up as a body of reasonably clear and well-ordered rules to be ‘read and inwardly digested’.  (There ends the over-stretched gastronomic metaphor).

No doubt I exaggerate, but the public law scholarship in universities and journals today certainly seems to have moved a long way from the rather arid scholarship of yesteryear.   The dominant themes are now human rights, democracy, dialogue, deference, pluralism, constitutionalism, republicanism and so on.  Dicey et al have of course not been forgotten, but their work must now seen against this backdrop.     To put this point differently, Dicey’s theory is no longer the unquestionable orthodoxy in the public law discourse; it is just one (contentious) theory among many about how we should understand the British constitution.

I want to use this short paper to say something about the significance of the shift in public law (by which I mean constitutional and administrative law) thinking just described.     My title gives the game away.   My argument is that the public lawyer – whether judge, lawyer, academic or student – must now be be a fully signed-up legal and political (and perhaps even moral) theorist.    It is no longer an option – in fact it really never was an option – to say “oh, I don’t do theory” or “I only do doctrinal public law”.     Whether we like it or not, every view we hold about public law presupposes a theory about the nature or point of law and political authority.   The modern public law discourse demands that we spell out our different theoretical commitments.

Let me first explain my argument in a fairly abstract and general way.   I’ll then work through a few prominent areas of public law in order to illustrate my point.

Public lawyers are interested in questions about the relationship between the state and the individual (and the relationship between different branches of the state).    As lawyers, our focus tends to be on courts.   We ask whether courts do or should give effect, say, to the intentions of Parliament and/or common law principles and/or constitutional rights/principles and/or general principles or morality, efficiency, diplomacy or whatever.    Very often we disagree deeply about the answer to this type of question.    Two theorists might offer radically different interpretations of the same judgment/statute or set of judgments/statutes.   Indeed, this is standard fare of judges and practising lawyers.

On the surface, these types of disagreements are nothing more than the lawyer’s bag of tricks: a range of strategies for securing the desired result in a legal dispute; worse still, they are seen as abstract, conceptual disagreements about what judges really do.   But dig a bit deeper and one finds a complete philosophy of law and the state buried beneath these different positions.   Let’s take a short example.   A theorist who contends that judges should give effect to constitutional rights/principles might be committed (whether explicitly or implicitly) to a variety of different legal and political theories.   They might hold, the extreme natural law view that law is identical to the principles of ideal justice, and that the state may only exercise power in accordance with those principles; or they may hold a more mainstream natural law theory that positive law should aspire to, and be evaluated against, certain fundamental goods/principles, and that the state exists to further such goods/principles; or they may support a ‘soft’ version of legal positivism that moral content may be incorporated into positive law, and that the state exists to promote co-ordination and certainty; or they may support a ‘hard’ version of legal positivism that judges may have a legal duty to apply moral principles, and that the state functions to provide authoritative guidance to individuals.

Whichever theory one adopts – and however one understands that theory – there is no escaping the fact that some such theory must underpin our views on public law (and every other area of law for that matter).     In that case, a full defence of our public law views must involve a defence of our preferred theoretical position against other theoretical positions.    At this point, the public lawyer might have to confront an additional layer of philosophical complexity.    As soon as we start talking about one theory being better than another, or a public lawyer preferring one theory to another, there is bound to be a loud chorus of disapproval from the moral subjectivists among us (“there is no right answer to questions about law and the constitution; it’s all about personal opinion” or “what gives you the right to say that your constitutional theory is better than mine?”)    Suffice it so say for present purposes that the subjectivists may be correct (if being ‘correct‘ is permitted!), but their view is not ‘correct’ by default.   Subjectivists, like objectivists, have to offer a positive defence of their theoretical view of truth – along with a positive defence of their substantive views about public law.

I do hope that I haven’t managed to put anyone off public law with the above.   My aim, it should be emphasised, is not to convert law degrees into philosophy degrees, or law journals into philosophy journals.   It is the more modest aim to get judges, lawyers, academics and students thinking more directly about the theorists and theories that shape their views about public law.    If nothing else, a more philosophically enriched public law world is a more interesting world.  If I have managed to carry any of you with me to this far, then it may help to offer a few illustrations of the (inextricable) links between public law, legal theory and political theory.

Parliamentary sovereignty (PS)

Is Parliament sovereign?    It obviously isn’t enough to answer “yes, because Dicey said so”.    What types of theories count in favour of, and against the sovereignty doctrine?   Some public lawyers seem to derive PS from the work of John Austin and Hans Kelsen: there must be an ultimate source of law at the apex of the legal system.   Other public lawyers argue that PS is the Hartian ‘rule of recognition’ in the UK: it is the standard that most officials accept.  Others might argue that Parliament is the Hobbesean Leviathan.   Others argue that PS is false because Austin, Kelsen and Hart were all wrong.   They were wrong a) because the powers of Parliament must be justified by a range of legal rights and principles; or b) because Parliament is just one of a plurality of different – and equally authoritative – sources of law.

Is Parliament sovereign?   It depends…

The Rule of Law (RoL)

What does the RoL mean?  Is the RoL a formal or substantive principle?    It isn’t sufficient to opt for a the latter conception on the (spurious) basis that substantive theorists champion human rights where formal theorists sanction lawful tyranny.    The overwhelming majority of RoL theorists of all persuasions believe that individuals have certain moral rights.  The RoL debate is about a) whether some or all of those rights are legal rights; and b) whether or when judges are under a duty to give effect to those legal/moral rights.    That takes us into jurisprudential debates about the function of law (and the role of judges).     If it is argued that the point of law is to enable co-ordination, certainty, predictability and protected expectations, then it follows that laws needs to be readily identifiable, accessible, clear and so forth (as formal theorists maintain).   If, on the other hand, one argues that the point of law is, say, to create the conditions of equal treatment, then it follows that law needs to be infused with principles of fairness and justice (as substantive theorists maintain).      Public lawyers need to nail their colours to one or other mast, and explain why they have done so (or they might just deny that there are two masts!).

What does the RoL mean?  Is the RoL a formal or substantive principle?  It depends…

Judicial Deference

Do judges defer to the opinion of officials (on the grounds, say, of institutional expertise or democratic legitimacy) in public law adjudication?      Most theorists would agree that there must be a division of labour between different branches of government.   The deference debate concerns whether that division of labour is governed by law or by an autonomous extra-legal doctrine of deference.   In other words, when a judge gives special weight to the view of a minister or other official, is the judge giving effect to a legal duty, or is the judge disregarding the law in favour of a competing value (say, of institutional comity?)     These questions take us once again into jurisprudential debates about the point of law and the role of judges.   If it is argued that there are correct answers to most or all questions of law, and that judges are ordinarily under duty to give effect to the law, then the idea of deference is nothing more than the set of legal principles that determine the powers of institutions (a legal principle of the separation of powers if you like).   If, on the other hand, it is thought that it is a contingent matter whether judges have a duty to give effect to the law (as opposed to some other value), then there may well be space for an autonomous , extra-legal, doctrine of judicial deference.

Do judges defer to the opinion of officials (on the grounds of, say, institutional expertise or democratic legitimacy) in public law adjudication?   It depends…

Some Closing Thoughts

I shall not try to extend, repeat or summarise my argument above.   Instead, I’ll just recommend a couple of articles that make my argument far better than I have made it myself.    First, the famous article by Lon Fuller (Fuller, Lon L. (1949) “The Case of the Speluncean Explorers” 62:4 Harvard Law Review, pp. 616-45).  For those of you who are unfamiliar with this article, it offers a very engaging and witty account of how different judges conceive of law and adjudication differently.   More, recently, I would recommend Paul Craig’s excellent article ‘Public law, political theory and legal theory’ [2000] PL 211-39 at 217-222.   Craig suggests that theoretical arguments have sometimes been eclipsed by descriptive arguments in the past.   He suggests that public law should emphatically be about the former type of argument.

Finally, I recommend that you all read the complete works of Kant, Dworkin, Raz, Hart, Fuller, Finnis and all the other greats before you open another public law judgment!!!

Stuart Lakin is a Lecturer in Law at the University of Reading

 

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