Toward a Theory of Legal
Naturalism
By: Randy E. Barnett
1978
Pergamon Press Ltd.
Journal
of Legal Studies, v. 2 no.2, pp. 97-107
INTRODUCTION
In legal philosophy there is
perhaps no older, nor deeper, conflict than
that which exists between legal positivists
and natural law advocates. I use these "catch words" not without
a certain trepidation since they have had shifting
and divergent meanings. This has resulted
in a preoccupation with attempts to define "natural law" or
"positivism", rather than examining
the underlying dispute.
I do not feel the need, however, to launch into any extensive search for definitions here, for to the extent that I discuss either view, I
shall not criticize it. My premise
is that within the limits of this
discussion, each side is viewing a different,
but genuine aspect of law. Though the
conclusions of both schools are incompatible, many of their insights are not. My intention is, by uniting certain of these complementary insights, to synthesize a new outlook on law.
THE INSIGHTS OF NATURAL LAW
AND LEGAL REALISM
If
natural law stands for nothing else, it stands for the proposition that there is some objective standard or "higher law"
against which positive (man-made)
law can and should be measured. H. L. A. Hart characterized the classical theory of natural law as the view "that there are certain principles of human conduct, awaiting
discovery by human reason, with which man-made law must conform if it is to be valid".[1] The
principal concern of the natural law theorist
is, then, with the substantive content of law. The branches of natural law may extend in many directions and its roots run deep, but this is most certainly its core.
Legal positivism's essence is much harder to pin down. Its melodies are many and
varied. A. P. d'Entreves
reduces legal positivism to three basic
types: 1. Imperativism
— On this view, law is seen as the command of a "sovereign"
endorsed by the fact of habitual
obedience. I shall touch on this "insight" later in this paper.
2. Normativism — "According to
this theory, law cannot properly be understood except as a set of normative propositions. The 'validity' of each norm hinges on the validity of other norms, and thus leads us back to a 'basic norm', to an 'ultimate rule of recognition' which qualifies every single norm by giving it relevance
and connecting it into a system." [2]
3. It is the
third type of positivism, Legal Realism, that will be our immediate concern.
Legal Realism carried beneath its
banner many different issues and concerns.
So diverse were its proponents that
even Karl Llewellyn, a founder of the
movement, felt the need to list realists
and their views in an effort to clarify the realist outlook.[3]
Realists were social reformers, predominantly "left-wing" with what
Prof. Lon Fuller has called a "rule phobia". [4]
They shunned general principles in favor of
individualized justice. [5]
Focusing on the ideological and psychological
motivations of the judiciary, they were
deeply concerned with the sociological impact
of law. Their attitude resembled that of the historical revisionists. They refused to genuflect before
the mystical majesty of the State judicial
system, although, like most revisionists,
they did not reject statism. Indeed, most of
them heartily embraced the State judicial
system as the proper instrument of social
change. [6]
"[T]he
realists were distinctive, however, in their preoccupation with the processes
of judicial decision,
with how law is made."[7] This is the salient feature of realism which is of interest here. "Long before this school had a name, its basic assumption had been expressed by
Holmes in his famous dictum, that law is the
prophecy of what the Courts will do in fact. Law is here taken as a social phenomenon, as a decision or a process of authoritative decisions." [8]
Natural
law theorists are mainly concerned with the substantive content of positive law and its congruence with morality. Law
which does not conform with justice is not properly
law at all, but simply
naked force. The realists focused on the legal process, arguing that it was naive and illegitimate to deal with "principles" of law in a sociological vacuum. Law is a process, a system run by men. We must, they argued, examine the system to see what law was about. [9]
Each
group vehemently opposed and attacked the other. In his book, the Crisis of Democratic Theory, Edward A. Purcell, Jr. brilliantly
narrates this conflict. Purcell's thesis is that the battle between the "Moral
Absolutists" (natural law
theorists) and the "Scientific Empiricists" (Legal Realists) in the social
sciences and jurisprudence
rocked the foundations of democratic theory. At present, although there is an uneasy truce between the two sides,
there is no enduring
peace. The ultimate issues have yet to be resolved.
Could it be that the conflict is
unresolved because both sides are partially
right? A search for objective moral
standards behind positive law is
not, in principle, incompatible with an attention to the nature of the
legal process. What is needed is an approach to law which embraces both substance and process. Though it
is unlikely to please either side, such an integrating approach might serve as
the just mean between two extremes.
THE MORALITY OF THE LEGAL PROCESS
Since I
am arguing for a non-positivist theory while at the same time emphasizing the legal process, it might help to briefly outline what I mean by
"process". The legal process is the system by which positive law is
determined, applied and enforced. It is a dynamic rather than a static system.
That is, it receives feedback from and
reacts to the results of its previous actions.
Since it is a category of human action, it is subject to the
"laws" of economics, e.g. scarcity
of resources, price and quality sensitivity of demand, etc. It is, in short, a complex system of transactions between individual actors.[10]
The legal process has one other characteristic. It has a purpose or
function.[11] It is this aspect of law which may serve as the link between substance and
process. For a comprehensive examination of this purposive aspect of law we need
look no further than Lon L. Fuller's book, The Morality of Law, though
we shall apply his theory in ways which he
may not have intended. [12]
Fuller
argues that there are two sorts of morality: the morality of aspiration and the
morality of duty. The morality of
aspiration "is the morality of
the Good Life, of excellence, of the
fullest realization of human powers . . . [A] man might fail to realize
his fullest capabilities. . . . But in
such a case he was condemned for failure, not for being recreant to duty; for shortcoming,
not for wrongdoing."[13] The morality of duty, on the other hand,
lays down the basic rules
without which an ordered society
directed toward certain specific goals must fall short of its mark. ... It does not condemn men for failing to embrace opportunities for the fullest
realization of their powers.
Instead, it condemns them for failing to respect the basic requirements of
social living. [14]
The
substance of the law, argues Fuller, deals only
with duty. It must act to enforce certain reciprocal understandings in order to
avoid harm to the innocent. It cannot and should not "compel a man to live the life of reason. . . . We can only create the conditions essential for rational human existence. These are the necessary,
but not the sufficient conditions for the achievement of that end.”[15] The law, then, operates "at the lower levels of human achievement where a
defective performance can be recognized, if
care is taken, with comparative certainty and formal standards for
judging it can be established.”[16]
It does not reward virtuous acts. This is left to more subjective, intuitive, and largely informal
procedures.
The prime purpose of law, then, is
the discernment and enforcement of legal
duties and nothing more. This is entirely
consistent with the natural rights
tradition. On this view, these requisite
legal duties are what natural rights are and their very formulation
depends on their objective necessity as a condition of rational human existence. The law, therefore, must enforce human rights and nothing more.
To confine the purpose of law to the
enforcement of duties is not, however, to
minimize either its importance or the
difficulties involved. Fuller argues that it is this purpose, however difficult, that determines the nature of the
legal enterprise. And he sees the law as exactly that: an enterprise. Those who
see the law as essentially a
command are wrong. Law is no mere one-way street. It is as much a
cooperative project as medicine or carpentry
and as such it is governed by certain common sense rules. These rules
are not arbitrary. They are and must be consistent with the goal of law: the determination of general rules of behavior to allow
rational (or irrational for that matter) men
to plan and act.
If these
rules of lawmaking are not arbitrary, neither are they precise or absolute. The process of reaching the best possible
law is more an art than a science and like all
endeavors toward perfection, governed by the morality of aspiration. Fuller gives eight ways to fail to make a law, but he cannot, nor can anyone, say
with precision when one factor should be given precedence over another. This
decision must be made by the skillful
practitioner based on the facts of
each instance of law-making, just as a diagnosis
of disease and a prescription for its cure can only be made well on an
individual basis by a skilled physician.
Fuller lists eight roads to disaster: The first and most obvious lies in a
failure to achieve rules
at all, so that every issue must be decided on an ad hoc basis. The
other routes are: (2) a failure to publicize,
or at least to make available to the affected party, the rules he is expected to observe; (3) the abuse of retroactive legislation, which not only cannot
itself guide action, but undercuts the integrity of rules prospective in
effect, since it puts them under the threat
of retrospective change; (4) a failure to
make rules
understandable; (5) the enactment of contradictory rules or (6) rules that require conduct beyond powers
of the affected party; (7)
introducing such frequent changes
in the rules that the subject cannot orient his action by them; and, finally, (8) a failure of
congruence between the rules as announced and
their actual administration."[17]
The thrust of Fuller's anti-positivism is his contention that to the degree that a law-maker fails to follow any one of these eight directions,
he does not simply make "bad
law"; he makes something that
is not properly called law at all, "except perhaps in the Pickwickian sense in which
a void contract can still be said to be a contract.”[18] And while these eight routes to failure point to the indispensable conditions for
law on its lowest level, they also serve as "eight kinds of legal excellence toward which a system of rules may strive.”[19]
The law, then, "embraces a
morality of duty and a morality of aspiration.
It…confronts us with the problem of
knowing where to draw the boundary below which men will be condemned for failure, but can expect no
praise for success, and above which they
will be admired for success and at worst
pitied for the lack of it.”[20]
This then is Fuller's scheme.
While it is firmly rooted
in a natural law concerned with substance, it has a great deal to say about the legal process as well.[21] This puts him in sharp contrast with other theorists concerned with legal
substance. Richard Taylor, for example, has
said that it "is the ends or purposes of a legal order that are important, not its form."[22]
LEGAL NATURALISM: A TEST RUN
The
philosophy which I call Legal Naturalism adds
to the search for that substantive law which
best suits the nature of man, a search for the legal system or systems which best "fits" the nature
of law. Briefly
stated the added methodology is thus: (1) Determine the nature and purpose of law. (2) Craft a legal process (structure,
procedure and
substance) consistent with that determination. (I
shall add a third step later.)
Compare this approach to the
prevalent contemporary attitudes of legal
philosophy. Positivism views law as a "fact", a given phenomenon to be studied and analyzed. Legal Naturalism views law as an enterprise, an activity
with a purpose. If law has a purpose it is legitimate to ask if a given legal system is successful or unsuccessful. If law has an end, it is appropriate to craft a better means. While most contemporary legal philosophies are descriptive, Legal Naturalism is a normative philosophy. As I shall suggest in the next section, its
practitioner attempts to analyze
existing legal structures in light of
their essential purpose and to judge them thereby.
With this
brief sketch in mind it might clarify matters to try out this methodology briefly. But as we proceed, we should remember that the line between legal and political philosophy is a fine one. The State has traditionally been thought of as the main source of law. It may also be the first casualty of Legal Naturalist analysis.
Fuller
sees in current legal thinking a persistent
error. "This is the assumption that law should be viewed not as the
product of an interplay of purposive orientations between the citizen
and his government [or law-maker] but as a one-way projection of authority,
originating with government and
imposing itself upon the citizen."[24] Fuller feels that these theorists erroneously
identify law with the nation-state. Law,
he points out, is everywhere around us in forms not imposed from above. International law, tribal law, the rules of private
organizations are all "horizontal" forms of law. It is
only a "vertical" concept of law
which prevents the identification of
these systems as legal systems. With
examples of "reciprocal" or "horizontal" law abundant in history and the world, Fuller is at
a loss to comprehend why contemporary thinkers
refuse to see the law in this light. I shall suggest that there is a plausible reason for this
phenomenon and that the explanation rests on Fuller's internal morality of law, or, more precisely, on one of his principles of legal
excellence, viz., that a
law-maker should itself obey the rules it sets up to govern its
citizenry. I conclude that the State is a source of law inconsistent with this principle. We must then examine this, Fuller's eighth principle, in more detail.
The question which gives the positivists the most trouble is, "How can a
person, a family, a tribe, or a nation impose
law on itself that will control its relations with other persons, families, tribes, or nations?"[25] The positivists view law as a thing which cannot be self-imposed; it must proceed from a higher authority. Fuller's
answer emphasizes his eighth principle: "Now I suggest that all these questions would require radical redefinition if we were to recognize one simple, basic reality, namely,
that enacted law itself
presupposes a commitment by the governing
authority to abide by its own rules in dealing with its subjects."[26] What Fuller means by this is that the rule-maker must first make rules by
which laws are to be passed. It must then abide by these rules because of the
justified expectations of the subjects that
it will do so. The failure of the positivists
to distinguish between the power of
the State and the law is their failure
to see that the law-maker is constrained by his own rules imposed from below by the justified expectations of the citizenry. [27]
Thus even a State legal system is,
to some extent, a two-way system.
I maintain,
however, that this does not adequately explain the positivists' erroneous
concept of law. Fuller fails in his attempt because
he has not followed his own principle far enough. If he did, he would
see that a State legal system does not conform to the principle of official congruence with its own rules. It is because the
positivists see that the State
necessarily violates its own rules that they conclude, in a sense correctly, that State-made law is sui generis. This is also why they associate "coercion"
with the definition of law, an association
which Fuller rejects.[28] What they are seeing is the essential nature of the State, the predominant source of law. An elaboration is obviously called for.
First of all, what do we mean when we
speak of the "State"? For these
purposes I have no quarrel with Weber's
definition as put forth in his book, The Theory of Social and Economic Organization: A compulsory political association
with a continuous organization
(politischer Anstaltsbetrieb)
will be called a "state" if and
insofar as its administrative staff successfully upholds a claim to the monopoly
of the legitimate use of physical force in the enforcement of its order.[29] Furthermore, it is a central characteristic, if
not an essential one, of the State
that it claims the power to tax.
Fuller's eighth requirement is that "the governing authority . . . [must] abide by its own rules in dealing with its subjects."[30] I accept this principle as stated by
Fuller but would disagree with his
interpretation of it. I take this principle to mean that "what's
good for the goose is good for the
gander" or, more formally, the
law-maker must obey the substance of his own laws. Instead of committing the law-maker to following all of his
own rules, Fuller erroneously commits the law-maker to following
only those rules which govern how to make a law. Clearly my formulation of this principle is a far more reciprocal one. And actually Fuller fails
to give any reason why he limits the principle
in the way he does.
If we
accept what Fuller says but not his narrow
interpretation, it becomes obvious that the State by its nature must violate this commitment. For example, the State says that citizens may not take from another by force and against his will that which belongs to another. And yet the State through its power to tax,
"legitimately" does just
that.[31] More essentially, the State says that a person may use force upon another only
in self-defense, i.e. only as a defense against
another who initiated the use of force. To go beyond one's right of
self-defense would be to aggress upon the
rights of others, a violation of one's legal duty. And yet the State by its claimed monopoly forcibly imposes its jurisdiction on persons who may have done nothing wrong. By doing so it aggresses against the rights
of its citizens, something which its rules
say citizens may not do.
The State, in short, may steal where its
subjects may not and it may aggress (initiate the use of force) against its subjects
while prohibiting them
from exercising the same right. It is to this "social fact" that the positivists look
when they say that the
law (meaning State-made law) is a one-way,
vertical process. It is this that belies any
claim of true reciprocity.
Fuller's
principle is correct, but he is wrong in applying it only to the law-maker's obligation to follow his own procedure. A law-maker fails to act in congruence with its rules and, as a result, fails to achieve the aspiration of a
legal system to the extent that it
fails to follow all of its
rules, procedural and substantive alike. To the degree that it does not and cannot do this it is not and cannot be a legal system and its acts are outside the law. The State qua State
therefore is an illegal system.
While Professor Fuller cannot be
expected to agree with
this analysis, it is quite plain that he would
not be shocked by its conclusion. First, I do not contend that all State-made law is not law. It is a question of degree. Only
when and to the degree that the State does not follow its own rules (as well as
Fuller's seven other requirements) is
it acting illegally. [32]
As Fuller states, "both rules of law and legal systems can and do half exist. This condition results when the purposive effort necessary to bring them into full being has been, as it were, only half
successful.”[33]
What then does this application of
Legal Naturalism tell us about the proper
source of law? An explication of
Fuller's eighth principle reveals that a coercively[34] monopolistic legal system is objectionable. The alternative would be a non-monopolistic or multiple system of law. Such
a system is perfectly consistent with Fuller's
concept of law. As he himself states, "A possible . . . objection to the view [of
law] taken here is that it permits the existence of more than one legal system governing the same population. The answer is, of course, that such multiple systems do exist and have in history been more common than unitary systems."[35]
LEGAL NATURALISM: A PRESCRIPTIVE APPROACH
What would such a
non-monopolistic system look
like? Or, put another way, what process would be consistent with the true horizontal and reciprocal nature of law? At this point I will offer only a
tentative sketch. We would do well, I
suggest, to begin by examining Fuller's conditions
for the optimum efficacy of the notion of duty mentioned in the Morality of Law.
Fuller sees three conditions for
the "optimum realization
of the notion of duty, the conditions that
make a duty most understandable and most
palatable to the man who owes it.”[36] First, the duty must be created by the
parties themselves. The relationship of
reciprocity out of which the duty arises must result from a voluntary agreement
between the parties immediately
affected; they themselves create the
duty.[37] Second, the performances required must be in some sense equal in value.[38] The third condition is that "the
relationships within the society must be
sufficiently fluid so that the same duty you owe me today, I may owe you
tomorrow — in other words, the relationship of duty must in theory and in practice be reversible.”[39]
Fuller feels that without this condition, as a practical matter, people
will have no reason to honor their obligations. It is Fuller's first condition (viz.
that of voluntary agreement) that is of
interest here.
To see how
this principle might be applied in a
non-monopolistic legal process, we might imagine
a new legal system. In this system there is a company called Metropolitan Arbitration Services. This company has its offices mainly in
large urban areas, usually in big office buildings. Most of the cases it
considers are civil, primarily commercial
disputes. Another competing company,
the American Legal Services Company,
is a more decentralized nationwide organization. It handles both civil and larger criminal cases at uniform,
reasonable rates. There is also a
National Association of Independent Judges (NAIJ). Judges who belong to this organization must meet certain
requirements and publish their sources of personal income. There are members of
NAIJ in virtually every town in
Each of the
companies has its own legal code. Both
Metropolitan and American have a policy
of carefully reviewing their judges' decisions
to see how closely they are following the intended meaning of their respective
codes. For this reason, internal appeals are encouraged at minimal
expense. The NAIJ has a code as well, but their judges have a great deal more latitude. Local chapters sometimes have their own
codes and the precedents of the most respected
member judges carry a great deal of weight. The Guild on the other hand
has no uniform code. Each of its judges is
free to decide a case however he or
she chooses. Though they generally
stay close to the other codes (or the Model
Legal Code), their decisions are frequently radical and innovative.
There are also hundreds of small
firms that compete with
the large general organizations by specializing in fields like maritime activities, labor disputes, automobile accidents,
etc. They commonly employ
"expert juries" composed of persons knowledgeable in the area being litigated.
Though appeals are not common, there
is a Unified Appeals
System to which virtually every practicing judge belongs. Most company appeals are internal and cases heard before NAIJ or Guild judges are usually reviewed (by advanced
agreement) by another member judge.
Generally in commercial cases the
parties go to the court specified in the
insurance contract covering the loss.
Payment of claims is usually conditioned on good faith prosecution and faithful following of all court procedures. Those
without insurance can hire an
arbitration service or go to the court of the opposing party (thus saving the expense of two proceedings). In
criminal law, restitution to victims is the favored
sanction.[40]
As a result crime insurance has been
made profitable. Insurance companies, having paid the claim, collect the
restitution and generally either
prosecute their own cases or assign their right to prosecute to
specialized prosecution law firms. As in
civil cases, testifying and faithful adherence to court rules is a condition of insurance payments.[41]
If a
single judge cannot be agreed on it is customary
for each party to name his own judge, those
chosen then hear the case as a panel. In the event there is an even number of parties, the judges choose a single independent judge to join them. To save the cost of a full panel, often the
single independent judge will hear
the case. This procedure is agreed to
by the parties in advance of the naming
of the judge. There has evolved an extensive conflicts of law doctrine which is followed by all
concerned to determine which legal
code applies.[42]
Those in the past who have refused to
follow the rules of conflicts have been unable to enforce most judgements against those
who subscribe to alternate services and have gone out of business or accepted the rules.
In this
system individuals and businesses choose
their judge or arbitration company on the basis of reputation, the
quality of service (speed, convenience,
courtesy, etc.), the cost of service and the substance of the legal code
adhered to. An arbitration firm or code is generally
specified in all contracts. Though most legal codes in operation are very similar, some localities tend to
deviate, as will Guild judges. Those
who move so far from the mainstream as to alienate clients or make
enforcement of judgments difficult or
unpopular have tended to lose
patronage. Boycotts have also proved effective.
Disputants,
in short, have a direct input in and
powerful impact on procedures and substantive
legal questions. Those groups who wish to
live by their own rules (a husband and wife or commune, perhaps) could bring their disputes to an NAIJ or Guild judge. They would show the judge their code (or he might have it on
file) and he would apply it as best
he could.
Anti-statists have long had trouble with the concept of law. Because they too have
identified law with the institution that
traditionally has made it, the State, many
have rejected law altogether. Many
critics of non-statist philosophy insist that without a State there can be no law.
But Fuller has no such trouble. He argues that such theoretical difficulties "can arise only if theory has committed itself to the view that the concept of law requires a neatly defined hierarchy
of authority with supreme legislative
power at the top that is itself
free from legal restraints".
[43]
Fuller's whole purpose, of
course, is to reject this vertical view of law.
As to the practical difficulties of such a system,
Fuller points out that they "can arise when there is a real rub between systems because their
boundaries of competence have not been and perhaps cannot be clearly
defined.”[44]
He points out that one possible solution, a
constitutional arrangement, "is useful, but not in all cases indispensable. Historically dual and triple systems have functioned without serious friction,
and when conflict has arisen it has often been solved by some kind of
voluntary accommodation.”[45]
The legal process outlined above
is consistent with the horizontal nature of
law. It is non-monopolistic in the Weberian sense and
in harmony with Fuller's first condition for optimal efficacy of the notion of
duty. The reason for indulging in fantasy was not so much to draw a complete
blueprint for a legal system but, rather, to give an example of the application
of Legal Naturalist methodology and its
ultimate goal: the formulation of a legal system or systems that are
most consistent with the nature of the legal
process. [46]
Only if we have an ideal [47]
in mind can we know what reforms to make in the present legal system,
just as the democratic ideal is supposed to aid us in improving our political
system. This suggests a third function of Legal Naturalism. The three together would be: (1) Study the nature and purpose of
law. (2) Craft a system of law consistent with
that nature and purpose. (3) Place
contemporary legal structure next to this
ideal and devise ways of moving it in the direction of the ideal,
thereby improving it or, as the schoolmen would say, actualizing its potential.
PROCESS AND SUBSTANCE CONJOINED
To this point this essay has
focused almost exclusively on legal
process. This emphasis results
largely from the main thesis I've tried to present: that the natural law
concern with substance wrongfully ignored
questions of process about which its
naturalist methodology had much to
say. It would be to miss the point of Legal
Naturalism entirely, however, to ignore the interface that should exist
between the Naturalist concern with process
and its concern with
substance. For the Legal Naturalist approach,
as I see it, embraces both areas which,
after all — and this again is the insight of the Realists — can never be totally separated. Nowhere is this conjunction more important than in the above hypothetical description of a multiple
legal system. Our response to the substantive
outcome of such a system can take one
of two directions: (1)
Assuming we have demonstrated or might demonstrate the appropriateness of the process on Naturalist (and, therefore, non-positivist) grounds, we must necessarily accept whatever the process produces; or (2) While the process is the most
consistent with the
purpose(s) of the legal enterprise, it is still capable of producing morally unjust results. We must, therefore,
scrutinize and judge the
results accordingly and if necessary fight any
tyranny that arises — even if it arises in accordance
with formal principles of legality.
The former
choice resembles the version of positivism
which I labeled above as Normativism. It closely
comports with H. L. A. Hart's approach
as presented in The Concept of Law except that here our Naturalist defense of the non-monopolistic system does the work of his "rule of recognition". Such a
methodology of justifying a legal
process by non-positivist means,
only to accept whatever outcome may result, might usefully be called
"secondary positivism". As such it
is clearly inconsistent with a full Naturalist methodology as here described.[48]
Legal Naturalism is an extension of the natural rights theorists' concern with the proper substance of law. A proper legal process
is a necessary but not sufficient requirement for a fully legal order. A
just substantive law is also required.
Although I shall not examine here the dispute between a Naturalist approach
with its moral realist
component and the positivist approach with its moral subjectivist component, it should be noted that Legal Naturalism stands in the mainstream of the growing anti-positivist, anti-subjectivist critique. This
trend is nowhere better exemplified
than in the recent work of Ronald Dworkin,
who, in his book Taking Rights Seriously,
[49]is sharply critical of moral subjectivism and legal positivism. As he concludes, It may be that the supposition that
one side may be right and
the other wrong is cemented into our habits of thought at a level so deep that we cannot coherently deny that supposition, no matter how skeptical or hard-headed we wish to be in such matters. . . .
The "myth" that there is
one right answer in a hard case is both
recalcitrant and successful. Its recalcitrance and success count as arguments that it is no myth.[50]
It is
necessary, then, indeed crucial, for the Legal Naturalist to step back and
judge the fruits of his labors, that is, to judge the justice or injustice of
the laws which an otherwise legal system produces. The Naturalist methodology is intended to apply across the board, else the retreat to subjectivism and
positivism is inevitable.[51]
CONCLUSION:
WHY A LEGAL NATURALISM?
Before concluding it might be appropriate to comment on why I call this outlook Legal Naturalism. In addition to its obvious association with the substantive concerns of natural law theory, the
Naturalist outlook seems to overlap a
number of the meanings of the word "nature": (1) As
should be clear, the bedrock of concern is the
nature of law and the legal process.
(2) The process of Grafting a legal process around
the nature of law, its purpose and aspiration,
is reminiscent of ecological biology which strives to keep man in touch
and in harmony with nature.
(3) The legal process which
emerges from this type
of analysis should, once evolved, function naturally or to use F.
A. Hayek's term, "spontaneously". Spontaneous order is that which "results from the individual elements adapting themselves to circumstances which directly affect only some of them, and which in their
totality need not be known to anyone ...
[and therefore such an order] may extend to circumstances so complex that no mind can comprehend them all." [52]
Social scientists are partial to
thinking of society as a living organism and yet most of them wish to have its
complex operation directed by some segment
of the whole. Legal Naturalism is a
truly organic theory of law. By tempering the moral concerns of the natural law
theorists with the insights of the reformist Legal Realist movement, the Legal Naturalist
may obtain a better
understanding of the dynamic system we call law.[53]
Only from an accurate conception of law can a truly just legal system evolve. It is with a deep hope for such an evolution that I
urge a movement toward a theory of Legal
Naturalism.
[1] H. L. A. Hart, The
Concept of Law. (Oxford: Oxford University
Press, 1961), p. 182.
[2]
A. P. d'Entreves,
Natural Law, 2nd Revised Edition (London: Hutchins&Co.,
1970), p. 175.
[3]
Karl Llewellyn, "Some
Realism About Realism — Responding
to Dean Pound", Harvard Law Review, 44 (June, 1931): 1222-1264.
[4]
Lon L. Fuller, "American
Legal Realism",
[5]
Ibid., pp. 429-462.
[6] A great deal of what the realist
movement stood for will not be discussed in
this paper. For those interested in
a brief discussion of Legal Realism I suggest Yosal Rogat, "Legal Realism", The Encyclopedia
of Philosophy, (New York: Macmillan; and Free Press, 1967), 4:
420-421. For a highly entertaining retrospective introduction to Realism I recommend Grant Gilmore, "Legal
Realism: Its Cause and Cure", Yale Law Journal, 70 (June,
1961). 1037-1048. For a more scholarly
examination and criticism of the movement as well as additional references see Fuller, "American Legal
Realism", pp. 429-462, and Edward A. Purcell, The Crisis of Democratic Theory (Lexington, Kentucky: University Press of
Kentucky, 1973).
[7]
Rogat, "Legal Realism", p. 421
(emphasis added).
[8]
d'Entreves, Natural Law, p. 175 (emphasis
added).
[9]
An example of a concern with substance
is the debate over
the legality of abortion. Should abortions be permitted or prohibited? A concern with process,
on the other hand,
would consider how the decision should be made,
who should make it and how it should be applied,
etc.
[10]
I distinguish between "process" and
"procedure". Procedures are rules
within a system which govern the manner
in which certain actions are performed and decisions made. Thus, the notion of a legislative process is a broader concept than legislative procedure
which might include, for example, a
"majority vote" requirement
for passage of a statute. Although Fuller used the term "procedural", it is clear that his meaning is not
inconsistent with the one adopted here. "What I have called the
internal morality of law is ... a procedural [as distinguished from a substantive]
version of law, though to avoid
misunderstanding the word procedural
should be assigned a special and expanded sense so that it would include, for example, a substantive accord between official action and enacted
law. The term procedural is,
however, broadly appropriate as indicating that we are concerned, not with the
substantive aims of legal rules, but
with the ways in which a system of
rules for governing human conduct must be constructed and administered if it is to be
efficacious and at the
same time remain what it purports to be." (The Morality of Law, Revised Edition, [New Haven and London: Yale University Press,
1969], pp. 96-97).
I would further suggest
that while legal process is to be judged in the manner set out in this paper below, legal procedures
should be judged by utilitarian considerations, provided that they violate no moral
side-constraints. See my "Whither Anarchy? Has Robert Nozick Justified the State?" Journal
of Libertarian Studies
1, No. 1 (Winter, 1977): 15-21; and see also Robert Nozick,
Anarchy, State & Utopia (New York: Basic Books, 1974), pp. 28-33.
[11]
Although I shall adopt Fuller's use of
"purpose" I acknowledge that others feel that "function" is
the more appropriate term. See e.g. F. A.
Hayek, Law, Legislation and
[12]
Although I shall rely heavily on Fuller's analysis throughout this paper, I do not agree with every
part of his theory. Nor do I pretend to have rigorously demonstrated his view. This brief exposition
cannot possibly match his own defense as presented in The Morality of Law. I urge interested readers to examine it for themselves.
[13]
Fuller, The
Morality of Law, p. 5.
[14]
Ibid., pp. 5-6.
[15]
Ibid.,p.9.
[16]
Ibid., p. 31.
[17]
Ibid., p. 39.
[18] 18. Ibid.
[19]
Ibid., p. 41.
[20]
Ibid., p. 42.
[21]
A. P. d'Entreves
criticizes Fuller for his "technological notion of natural law" whose "primary concern
is with the means aspect of the means-end relation". Natural Law, p. 149. I agree that Fuller's
approach is not
sufficiently "ontological" (though he has moved a great distance in that direction since the article d'Entreves refers
to was published in 1954) and I will have reason to note below that this
may lead to an incomplete anti-positivist position. For my present purpose, however, this is beside the point, since what I am
searching for is a link between a
substantive concern (which might be "ontologically"
grounded — see e.g. Henry B. Veatch, For An
Ontology of Morals [
[22]
Richard Taylor, Freedom, Anarchy and the Law (Englewood
Cliffs, N.J.: Prentice-Hall, 1973), p. 129.
[23]
Ibid., p. 128 (emphasis added).
[24]
Fuller, The
Morality of Law, p. 204.
[25] Ibid.,
p. 233.
[26]
Fuller, The Morality of Law,
p. 234..
[27]
Fuller, The Morality of Law,
pp. 108-118
[28]
Ibid. To fully understand
and defend the principle would require a discussion far more extensive than
would be appropriate here. See Fuller's discussion in The Morality of Law, especially pp. 215-224, 232-241. "[I]t
is safe to say that the tacit expectations that make up customary law will
always enter into any practical realization of the ideal of legality. Fidelity
to the Rule of Law demands not only that a government abide
by its verbalized and publicized rules, but also that it respect the
justified" expectations created by its treatment of situations not
controlled by explicitly announced rules. Even more plainly it requires that government apply written rules in accordance with
any generally accepted gloss written into those rules in the course of
their administration. Taking all these complications into account will, of
course, embarrass the construction of neat juristic theories. But it will ease the transition of legal thought from
state-imposed codes to the somewhat
messier seeming manifestations of law exemplified in international and
customary law."
[29]
Max Weber, The Theory of
Social and Economic Organization, ed.,
Talcott Parsons, trans. A. M. Henderson and Talcott
Parsons (New York: The Free Press, 1964), p. 154, as it appears in Jeffrey H. Reiman,
In Defense of
Political Philosophy (New
York: Harper Torch-books,
1972), p. 20 (emphasis in the original). I do not propose, however, to become embroiled
in a debate over the
definition of the State. The inevitable result of such semantic disputes is that one is urged either to
broaden the definition so
that we see "States" everywhere or to narrow it to show that there is really no such thing as a State. Such entreaties
are illegitimate. Since the State exists, we need only define it so as to distinguish it from other
organizations which are not States by picking out its essential features and then proceed with the discussion.
[30]
Fuller, The
Morality of Law, p. 233.
[31]
Any reason for or justification of State taxation is
not relevant to this discussion. I am dealing only with the fact that this action is incongruent with the
State's rules for its citizens.
[32]
The discussion at this point is
concerned only with the legality of State actions and the State rule-making system. I do not
consider here the morality of State actions and the State rule-making
system (although obviously the subjects are
related). I will argue below that the Legal Naturalist methodology
embraces both aspects of law, though it does so at separate states of analysis.
[33]
Fuller, The
Morality of Law, p. 122. The rest of this passage is also interesting:
"The truth that there are degrees of success in this effort is obscured by
the conventions of ordinary legal language. These conventions arise from a
laudable desire not to build into our ways of speech a pervasive encouragement
to anarchy. It is probably well that our legal vocabulary treats a judge as a judge, though of some particular holder of the judicial office. I may quite
truthfully say to a fellow
lawyer, 'He's no judge'. 'The tacit restraints that exclude from our
ordinary ways of talking about law a
recognition of imperfections and shades of gray have their place and
function. They have no place or function in any attempt to analyze the
fundamental problems that must be solved in
creating and administering a system
of legal rules.''
[34]
The word coercion has many radically different meanings. See Robert Nozick,
"Coercion", Philosophy, Science and Method eds. S.
Morgenbesser, et al. (New York: St.
Martin's Press, 1969), pp. 440-472. A coercively monopolistic legal system, as
I use the word, is one that sustains its monopoly by the use of physical force or the threat of physical force.
[35]
Fuller, The
Morality of Law, p. 123.
[36]
Ibid., pp. 23-24. These must be sharply distinguished from those characteristics that determine formally what a law is and its substantive validity.
[37]
Ibid., p. 23
[38] Here I must disagree. Fuller searches for some measure of value to apply to things which are
different in kind. Such
a search will prove as fruitless as the medieval search for a "just price" and for the
same reason. The subjective valuations of the parties (the only standard of relevance in a voluntary exchange)
are incommensurable by
virtue of their subjectivity and the lack of an objective measure of subjective values. What
Fuller may be searching
for (as his later reliance on the concept of marginal utility reveals) is a notion of an ex
ante desire of each
party for that thing held by the other. Only if such a condition exists is a free exchange possible, else why exchange? Fuller
points out that "we cannot here speak of an exact identity, for it makes no sense at all to exchange, say, a book or idea in return
for exactly the same book or idea". (The Morality of Law, p. 23). We leave to the parties the determination
of the "fairness" of the exchange. Surely this satisfies Fuller's second condition of a
situation which makes "a strong
appeal to the sense of justice". (Ibid., p. 23).
[39] Fuller, The
Morality of Law, p. 23. The principle of "equality before the
law" as a precondition of the rule of law, is a reflection of this concern.
[40] I have considered the possible use
of restitution to victims of crime in "Restitution: A New Paradigm of
Criminal Justice", Ethics 87, no. 4 (July, 1977): 279-301 and with John Hagell
II in Assessing the Criminal: Restitution, Retribution and the Legal Process. (Cambridge, Mass.: Ballinger Publishing
Co., 1977), pp. 1-31.
[41] At this point I ask the thoughtful
reader's indulgence. There are many practical problems which I shall not
consider. I would suggest, however, that virtually all of them are economic.
That is, they concern the economic
feasibility of a criminal justice system which receives no income from
taxation. Those who favor tax supported prosecution and criminal judicial proceedings
might imagine a voucher plan of some kind. What is of concern here is the
free-choice, multiple legal code aspect of
such a system.
[42] There is,
of course, a currently existing body of law which attempts to solve similar
problems. "What is the subject matter of the conflict of laws? A fairly
neutral definition ... is that the
conflict of laws is the study of whether or
not and, if so, in what way, the answer
to a legal problem will be affected because the elements of the problem have
contacts with more than one
jurisdiction." Russell J. Weintraub, Commentary
on the Conflicts of Laws (Mineola, New York: Foundation
Press, 1971), p. 1. For a discussion of various
policies to be weighed in a consideration of choice of law problems see Elliot Cheatham and Willis Rease, "Choice of the Applicable Law", Columbia
Law Review 52 (1952): 959-982.
[43]
Fuller, The
Morality of Law, p. 124. (emphasis added).
[44]
The problem of multiple
jurisdictions and its impact on the individual, while genuine, is certainly non-unique: "If the defendant does not want to submit to the jurisdiction of the court, he plainly would not
authorize his attorney to enter a general appearance. If he is confident that jurisdiction over his person is lacking,
he may, in theory at least, simply
ignore the lawsuit entirely. To
illustrate: P commences an action against D in State X for
an alleged tort committed by D in State
Y, seeking money for damages. D resides in State 7and has never set foot in nor had any connection
with State X and has no
property there. P delivers process to D in State Y. State A1 has
not acquired jurisdiction over D's person. If judgment on D's default
is entered against him, and an attempt made
to enforce the judgment in State Y
or elsewhere by an action in which proper
service is made upon D, he can then set up the invalidity of the judgment. But D may wish
to contest State A"s
jurisdiction over his person in the courts of that State; he may be in genuine doubt whether State X has
acquired jurisdiction over him, or he may not relish the prospect of an over-hanging judgment against him even though he is convinced it is
invalid . . . (in which case) the
defendant would file a notice that he was
appearing solely for the purpose of challenging jurisdiction and/or submitting generally to the jurisdiction of the
court." Richard H. Field and Benjamin Kaplan, Civil
Procedure, 3rd edition (Mineola, New York: Foundation Press, 1973), pp. 199-200.
[45] Fuller, The
Morality of Law, p. 124.
[46]
It is legitimate to ask, at
this point, to what extent my thesis rests on Fuller's. If you reject Fuller's thesis are you, thereby, forced to reject Legal
Naturalism? The answer is
a qualified no. The methodology of Legal Naturalism can be employed even if you were to
substitute a positivist concept of law in step (1). The only question is why you would be
interested in such an approach if you did not
view law as a purposive enterprise.
[47]
I use the term "ideal"
as a standard of perfection to be striven toward. While it does not and might never exist, there is no reason, in principle, why it could not come about. A "utopia", on the other
hand, is a pleasant fantasy which would require for its existence some
basic change in the nature of reality. Serious confusion can arise by using either term and
failing to adequately draw this
distinction.
[48]
Since my purpose is to outline the Legal Naturalist methodology I will not here strictly scrutinize a
secondary positivist position. It is interesting to observe that Robert Nozick in
his discussion of distributive justice
does not, contrary to appearances, fall into this error, while David Friedman's The Machinery of
Freedom (New York: Harper & Row, 1973) seems to be a good example of such a position.
[49] (Cambridge, Mass.:
Harvard University Press, 1977.)
[50]
Ibid., p. 290.
[51]
The two-pronged characteristic of Legal Naturalist methodology may account for two flawed versions
of a "free" society. The
first (e.g. David Friedman) rejects the
State as a proper law-maker (the process aspect of Legal Naturalism), but fails to judge the results
of a non-monopolistic legal system
(the substantive concern of Naturalism).
The second variant (e.g. Ayn Rand) reverses the error by proposing to scrutinize
substantively all acts of the
law-maker, while accepting a
[52]
Hayek, Law, Legislation and
[53] As Fuller puts it: "In the philosophy of science the reorientation associated with the names of Michael Polanyi and Thomas Kuhn has been marked by a shift of interest away from the conceptualization and logical analysis of scientific verification and toward a study of the actual processes by which scientific discoveries are made. Perhaps in time legal philosophers will cease to be preoccupied with building conceptual models to represent legal phenomena, will give up their endless debates about definitions, and will turn instead to an analysis of the social processes that constitute the reality of law." Fuller, The Morality of Law, p. 242.