final Flashcards
Dworkin: “Interpretivism”
Ronald Dworkin (1931-2013): inter alia, critical of LP (in particular á la Hart), but neither does he accept conventional NL.
Contrary to LP, fundamental values like fairness are implicated in legal decisions.
Judges who, under the influence of LP, refuse to make substantive judgements about fairness are apt to make bad legal decisions.
But, contrary to NL, those values are not extra-legal moral values, but instead values internal to the law…
So, instead: Dworkin’s theory is “interpretive”: The law is whatever follows from a constructive interpretation of the institutional history of the legal system.
“Law’s ambition for itself” is “to work itself pure” (109).
N.B.: For Dworkin the interpretive view is offered first as an account of adjudication, but, as we’ll see, he later expands his account into a theory of the nature of law.
Hart On Adjudication: A refresher
LP (generally): Adjudication consists primarily of the application of positive law to particular cases.
The authority of positive law derives from conventional social criteria, i.e., social facts about what is taken to be authoritative. (Conventionally)
Those conventions may make reference to morality, but they need not. (Separability) in any case, moral considerations per se aren’t part of the law and don’t themselves make a rule into law except by way of social facts concerning who/what gets to make law…
…In “penumbral” cases, positive law may be incomplete and in need of elaboration: It may seem that judges have to look to “what the law ought to be” in order to determine “what the law is”
Hart: Yet the “ought” in such cases is not necessarily a moral “ought”.
In penumbral cases, judges should look to the social aims (the “spirit”) of the positive law (and, again, these need have nothing to do with morality)
The relevant social aims also are not part of the law…
Hart: in penumbral cases (which, Hart stresses, are rare), judges must make rational, intelligent decisions about how to extend or elaborate the law.
I.e., they are creating the law, rather than merely applying it.
But: if judges are making rational legal decisions, they are not be guided by extra-legal moral considerations (or their own political views), but instead be guided by social facts about the community that accepts and constructs the law.
Dworkin’s reply to Hart on adjudication
Dworkin systematically rejects nearly the whole of LP (Hart’s version especially):
LP’s conceptual/institutional focus is misguided: There can be no general theory of the nature of law. Instead, a theory of law is a theory of how cases are decided.
At least some standards of legal authority can’t be explained simply by appeal to social facts.
In deciding hard cases, judges may (and often do) invoke moral principles, which may not be inscribed in positive law, but which nonetheless have legal authority.
Dworkin’s Three metaphors
In “Law’s Ambitions for itself” (1985), Dworkin’s aim is to rehabilitative some metaphors “that were once cherished by lawyers but now seem old-fashioned and silly” (108):
“Law works itself pure”.
“There is a higher law, within and yet beyond positive law, toward which positive law grows.”
“Law has its own ambitions” (108-9).
Dworkin’s Three mysteries
Metaphors used in conjunction with the mysteries.
- The changes judges make to the law in adjudication are (or at least can be) guided by the law itself.
- Changes guided in this way are improvements (“law purer is law better”).
- These changes are not genuine changes, but discoveries of existing law.
Dworkin: These mysteries all presuppose the “obvious fact that in some sense law changes through adjudication as well as explicit legislation. Judges often describe the law, that is, as different from what people had taken it to be before, and use their novel description to decide the very case in which it is announced” (109, emphasis added)
Dworkin’s distinction between positive and full law
The Positive Law: “the law in the books, the law defined in the clear statements of statutes and past court decisions”.
The ‘Full’ Law: “the set of principles of political morality taken together provide the best interpretation of the positive law” (111, emphasis added)
I.e., Per Dworkin, Law= positive law + the principles of political morality that justify the positive law.
Dworkin on Adjudication
Legal interpretation: “a set of principles provides the best interpretation of the positive law if it provides the best justification available for the political decisions the positive law announces. It provides the best interpretation, in other words, if it shows the positive law in the best possible light” (111, emphasis added)
Put abstractly, as when interpreting a literary text, a good interpretation “seeks to show the material being interpreted as the best it can be”…
Interpretation (In General)
…”as the best it can be,” according to Dworkin, is deliberately abstract and general so as include contending theories of interpretation.
E.g., in the case of a literary text
Theory A: Interpretation= finding/elaborating the author’s intended meaning in the text. (E.D. Hirsch)
Theory B: Interpretation= finding/elaborating the effect on contemporary readers of the text. [‘reader response’ criticism; Barthes on the text as ‘tissue of quotations’].
Two Specific Tests for Positive Interpretation of Law (Dworkin)
- Fit: A candidate interpretation must justify (at least most) existing positive law.l
- Justificatory Power: An interpretation I1, is better than an interpretation I2 if it provides a superior justification for existing positive law than I2.
Superior how? “showing positive law in its best light means showing it as the best course of “statesmanship possible” (113, emphasis added)
…i.e., a good judicial interpretation provides a good justification of the law in terms of principles of “political morality”.
Dworkin: This may seem “irredeemably subjective” (113). I.e., principles of political morality as judged by whom? Which principles (assuming, surely correctly, that more than one set is discernable).
Dworkin’s doesn’t offer much response to this criticism. Yet note the implications of the “full law” view—the relevant principles of political morality are understood to be those
of the law itself.
Dworkin: Two tests
When deciding between rival interpretations of positive law, a judge should apply two tests
1. Fit: A candidate interpretation must justify ( at least most) existing positive law
2. Justificatory Power: An interpretation A is better than B if it provides a superior justification for existing law than B
Superior how? “showing positive law in the best light means showing it as the best course of statesmanship possible”
Would u be a good statesman if u offered different principles every other day?
Could it be offered by one political actor consistently?
The Models (Politically) Compared
The interpretive Model: Presupposes and serves a distinct political virtue: political integrity, (i.e., the state should speak consistently, with one voice—as the “single statesman” at least in interpretive reconstruction).
“If [the state] relies upon one set of political principles to justify its use of coercive power in one area, it must allow those principles their natural extension” (119).
E.g., if something like Mill’s principle serves as an acceptable justification in some cases, it should serve in other relevantly similar cases as well.
The Positivist Model: Serves the political virtue of economic efficiency (in this context, roughly, aiming at the goal of satisfying the preferences of the community overall without making anyone worse off—Pareto efficiency)
Attributing economic efficiency to the positivist’s political principle
[Posner: The purpose of the law is to maximize wealth.]
In fact, it is a reflection of an “unrestricted utilitarianism” (120) that allows the preferences of the many to override the preferences of the few.
Justice is evident when utilitarianism is maximized?
Dworkin: the interpretive model is open to skeptical objection:
“If two lawyers disagree about which set of principles show the positive law in the best light, there can be no right answer to that question” (117)
Yet LP requires judges to make just the same sort of decisions, though based on a different political morality—one that sees persons as resources and competitors.
Dworkin: Skepticism, per se, doesn’t provide any basis for choosing between the two models.
Riggs: Dworkin’s Account
Dworkin argues (in Law’s Empire, Taking Rights Seriously, 1977, and elsewhere) that Riggs can be viewed as an argument against LP (Hart’s version in particular)
Riggs does indeed identify a gap in the law, but not in a way that accords with Hart’s account of the ‘penumbra’. In this case the gap in the law isn’t an obscure issue ‘at the edge’, but central
There is no disagreement about what statute required, yet, despite this, the majority did not uphold the statute as written…
Dworkin: This disagreement in Riggs appears to be a debate about what the law is, not about what the law should be:
I.e., Earl, J. asserts that the relevant law includes the common law principle “one should not benefit from one’s own wrongdoing”; Gray J. asserts that the court must limit itself to applying the relevant probate statute. Neither makes any essential reference to morality or the fundamental purposes of the law.
Instead, per Dworkin, in Riggs both the majority and the dissent appeal to principles…
Majority: “One should not benefit from one’s own wrongdoing” (Principle in addition to statute)
Dissent: “One should not be punished beyond the ways specified in statute” (Principle limiting the interpretation of statute)
A main point of Dworkin’s interpretivist view, you’ll recall, is that such supra-statutory principles are in fact part of the ‘full law’. Riggs can be interpreted as a disagreement about the composition of the ‘full law’; it is not a disagreement about what the positive law holds.
Mill on Liberty, democracy, and the rule of law
Like Bentham, an exponent of utilitarianism, but who resists the paternalistic implications of the theory
Utilitarianism–Usually a consequentialist theory measured by utility, it’s not the only moral consequentialist theory
Bentham says that consequentialist theory is compatible with maternalistic aspects (?)
I.e., for Mill, utilitarianism and liberalism ought to turn out to be compatible
First and foremost a laissez fair liberal (especially with respect to freedom of expression and lifestyle)
Human freedom itself constitutes a degree of utility. If you give people human freedom, utility will be maximized
Later, (with respect to democracy and political economy) something of a welfare (‘social’) liberal. (In fact, toward the end of his life he called himself a socialist)
Mill on liberty
Mill: The struggle between liberty and authority, says Mill, is ancient and ongoing. It has followed a certain trajectory in political history:
- “Liberty” originally means protection against the tyranny of political rulers—the articulation of rights and liberties, justifications for rebellion, constitutional limitations on sovereign power. (E.g., Magna Carta; Locke)
- A later, and distinct, aim is for government to proceed through self-government, the consent of the governed democracy. (Rousseau)…
On this latter view, the will and interests of government are supposed to be identified with (ideally, identical to) the will and interests of the people. (E.g., Rousseau on the “general will”)
So, once this is achieved, perhaps there is no longer any need to limit government’s power over the people? After all, “the nation need not be protected against its own will”
Mill: it may have seemed that way before ‘self-government’ came into practice, but we now see that this is not necessarily so…
After the emergence of democratic republican government…
“It was now perceived that such phrases as ‘self-government’ and ‘the power of the people over themselves’ do not express the true state of the case. The ‘people’ who exercise power are not always the same people over whom it is exercised” (308)
In practice, the will of the people turns out to means “the will of the most numerous or most active part of the people”…
Mill says there are two things to consider in regard to liberty…
So, there are two related potential tyrannies to consider:
o The ‘tyranny of the magistrates’ (i.e., rulers) and
o The ‘tyranny of the majority’ (< Tocqueville)
Both involve not only law and political authority, but of all sorts of formal and informal pressures toward social conformity
Mill’s harm principle
Each sane adult should be free to engage in whatever behaviour she wishes, so long as it does not harm or threaten harm to others
Individuals who ‘do evil to others’ are prima facie subject to legal penalties; or may be sanctioned for failing to prevent harm to others. In some cases, individuals may be compelled to act on a positive duty to help others (e.g., giving evidence in court). In all cases not affecting others, however, individuals should be at liberty to choose for themselves…
Must be the best judge of their own interests of what is going to be the best utility promoting which is unlikely for some. Ex, how many people end up in debt?
He’s assuming that each sane adult is the best at looking out for their own interests
Mill on freedom and utility (part of hate principle)
Mill: This is not a matter of “abstract right” (314), it is instead a claim grounded in utility
I.e., Mill is not simply asserting an abstract right to individual freedom (Cf., e.g., Locke) that trumps (i.e., obtains despite) consequentialist considerations.
Instead, for Mill, leaving individuals free to choose their own life plans (provided their choices don’t harm others) is supposedly justified precisely because it will lead to good consequences overall.
Behaving however one pleases or doing what applies to the harm principle is not worth it when it overrides your liberty
Mill is saying that harm to the individual actor does not matter, only if it harms others around them.
Leaving people to do what they want and make themselves hurt themselves, but so does telling people to do things—creates dependence in certain respects.
Kids are the exception to the harm principle. The state is justified in acting on parents not parenting their kids adequately enough.
Harm principle on expression
- So with respect to expression: inciting a mob to violence; shouting “fire” in a crowded theatre (holmes example) etc can rightly be restricted by law and or made subject to social disapproval or judicial punishment
- But according to the harm principle, virtually all other forms of expression ought to be permitted
- Though, of course the harm principle extends beyond expression as well
Mill on Domains of liberty
- Liberty of conscience: freedom to think and to feel as one wishes. This includes both the freedom of opinion and the freedom to express opinions, Ie) freedom of expression, freedom of the press
- Liberty of tastes and pursuits: of “framing the plan of life to suit our own character” (316) even if our opinions are deemed false or harmful or immoral so long as they do not cause or threaten harm to others
- The “freedom to unite” or to meet with others, freedom of association and assembly.
- Self-regarding actions:
An agent’s actions which “merely concern himself”. In this domain, Mill says, “his independence is, of right, absolute. - Other regarding actions:
Actions which regard the external relations of the individual ie) which affect others. In this domain, we are morally responsible to others/ and or legally responsible to the social institutions that represent them.
Mill: Liberty on Expression
- Freedom of thought (opinion, conscience, taste) is pretty clearly private so it seems clearly to belong to the domain of self-regarding actions
- But doesn’t freedom of expression at least if it is effective expression usually affect others? Ie: we normally express opinions in order to affect the beliefs or actions of others.
- Mill: Expression is “practically inseparable” (316) from opinion. Freedom of opinion without freedom of expression would be without value
Mill: the marketplace of ideas
- To the extent that individuals really are the best judges of their own good, the harm principle (as applied to personal liberty seems consistent with utilitarianism.
- But there are potential conflicts: what if greater utility for everyone could be realized by restricting free expression, or imposing a uniform way of life or banning certain associations
- Consider: cigarette smoking, hard drugs, tobacco ads, cultural expressions that promote drug use
- Free-individuals may make bad decisions but prosperity for the whole
- Isn’t it at least conceivable that overall utility might be increased through such restrictions? For bentham-ya, for mill-no. respect to human liberty can be compatible with utilitarianism
- Leaving ppl free to make their own mistakes will make a net benefit in utility terms
Mill seems to believe that an overall utility increase or disutility decrease through restricting expression either does not or simply cannot happen:
Mill seems to believe that an overall utility increase or disutility decrease through restricting expression either does not or simply cannot happen:
- We can never be certain that a silenced opinion isn’t in fact true, to assume otherwise is to assume infallibility (e.g., Socrates, Jesus)
- But even a false opinion benefits us by forcing us to defend our beliefs and, if they meet the test, by reaffirming them. (Otherwise our beliefs may become “dead dogma”—e.g., says Mill, in the case of Christianity)
- Or, even more commonly, it may be that two doctrines “share the truth between them” (322), so we can get closer to the whole truth only by allowing diverse opinions…
…so, by elimination, it seems that we have no grounds for restricting opinions based on their presumed truth or falsity and (since Mills argues that expression is practically inseparable from opinion), no grounds for restricting their expression.
But how do these arguments about truth relate to the harm principle?
Mill: Opinions vs. Actions
Mill acknowledges that we must distinguish between opinions and actions. E.g., ‘corn-dealers as starvers of the poor!’ (324)
So, expression that (clearly and directly) causes or threatens tangible/physical harm to others can be restricted. But what, then, ought to count as “harm”—Harms to character”? Hurt feelings”? “X-shaming”?
If harm is defined broadly enough, it may be that the self-regarding/other-regarding distinction collapses (and, with it, the ability of the harm principle to provide much guidance)
Tyranny of the Majority Reprised by Mill
As we’ve seen, one of Mill’s main targets (in the selections included in the textbook) is the potentially sifting power of majority opinion.
“The tyranny of the majority” is a great danger to be avoided.
Individuality, Mill says, is an “element of well-being”;
(not done)
Mill’s Radically Individualist Pluralism
“The only freedom which deserves the name, is that of pursuing our own good in our way, so long as we do not attempt to deprive others of theirs, or impede their efforts to obtain it”
So, for Mill, freedom of expression isn’t just one good among others: it is a central component of what Mill takes to be a paramount good: A sphere of negative liberty in individuals are free to ‘experiment’ with their lives.