2003 Hugh R. Jones Memorial Lecture
The Common-law tradition and its
critics: A Jonesian Perspective
The Honorable Howard A. Levine
Albany Law School, March 31, 2003
What a great pleasure just to get together with my
beloved former colleagues on the Court of Appeals, and how meaningful
for me that this reunion takes place at one of my new homes, in
the presence of new colleagues. I am deeply honored to be
asked to participate in a lecture series named after Hugh R. Jones,
one of my judicial heroes, whose friendship I treasured.
I was appointed to the Appellate Division during Judge
Jones' tenure on the Court of Appeals, so he became familiar with
my work, just as I, of course, closely followed his. I marveled
at how quickly Judge Jones mastered the craft of highest court appellate
judging, despite not having had any prior judicial experience.
I though that this was uniquely remarkable, until I saw it duplicated
by Judith S. Kaye.
Hugh Jones was not only a great judge, he was a great
person, warm, sympathetic and supportive. I always enjoyed
our contacts at the annual Albany County Bar Association Court of
Appeals dinners and on my regular visits to the Commission on Judicial
Nominations when he chaired that body. Barbara and I were
pleased and flattered at the friendship he and Jean extended to
us at various State bar social functions. What a fabulous
person and full partner to Hugh Jean was. All those who knew
her mourned her passing this year.
And when I went on the Court of Appeals, I, like so
many other new members of the Court, turned for guidance to Judge
Jones' 1979 Cardozo Lecture at the Bar Association of the City of
New York, "Cogitations on Appellate Decision-Making."
Re-reading Cogitations just now confirmed my initial impression
that it contained some of the best descriptions of the qualities
of an ideal high court common law judge. First, the quality
of utter neutrality. Such a judge approaches a case with "no
pre-determined destination - with no prior commitment to its outcome,"
he said. Second, the quality of institutional loyalty, always
keeping in mind "the best interests of a court and of the public
perception of the institution as I understand them."
Third, the quality of applying "objective rigorous analysis"
because, among other things, Judge Jones believed that "it
serves further to reduce the risk of result-oriented decision-making."
Finally, Cogitations expressed Hugh Jones" commitment
to the "common-law process of gradual, incremental development
of the law through case-by-case evolution and refinement."
He was convinced from his own judicial experience "that judges
lack the competence or clairvoyance to anticipate the implications
and ramifications of broad announcements and as well the wisdom
to formulate them." These thoughts were not novel, as
the Judge acknowledged. However, I have not seen them any
better expressed.
Reading Hugh Jones" opinions is equally enlightening
on other basic characteristics of the common-law process of judging.
Consciously, I suspect, Jones" writings exemplify the "Grand
Style" of decision-making and opinion writing described by
Karl Llewellyn in his last work on the judicial process, "The
Common-Law Tradition."
I say consciously because Jones first served under
Chief Judge Charles D. Breitel, who publicly expressed his admiration
for Llewellyn"s book and acknowledged its influence on his
judicial approach. I would not be surprised if Breitel had
steered this new judge to Llewellyn.
In Jones" opinions, one can see how he skillfully
used analogical reasoning in carefully examining the fact patterns
and weighing the holdings of the precedents. He then employed
the rigorous interpretive analysis he mentioned in Cogitations to
identify the underlying principle, standard or purpose best explaining
or unifying the precedents at a relatively low level of abstraction
or generality. Then, he applied that narrow generalization
to the case at hand to determine what outcome or which of alternative
rules of decision best fit with the operative facts of the case
and the social realities of the type of dispute.
Finally, again as he stressed in Cogitations, Judge
Jones wrote the decision narrowly, focusing on the operative facts
to limit the generality of the holding and to instruct bench and
bar on its reach.
Judge Jones also followed the common law tradition
in statutory construction and constitutional interpretation.
That is, the use of analogical reasoning from prior cases construing
the same provision under similar circumstances and the focus on
the underlying normative purpose of the provision, much like the
search for a unifying principle in the precedents in pure common-law
judging. His style in Constitutional adjudication also employed
the common-law methodology, much like his mentor at Harvard Law
School, Justice Felix Frankfurter, and Justice John Marshall Harlan.
Rereading Cogitations also brought to mind another
important factor in considering the art of judging: The influence
of one"s professional or personal experience before becoming
a judge. In Cogitations, Jones reflected upon what he learned
from a highly successful career as a practicing attorney "
a counselor at law " bringing to the court and the conference
table his knowledge of the impact of decisions upon the practical
aspects of the practice of law. He stressed how imperative
clarity and precision in judicial writings were to serving the needs
of the practicing bar. Indeed, he crafted his opinions in
a way specifically to serve that purpose.
Of course, the beauty of a collegial appellate court
is that its diversity permits all the judges to benefit from the
life and professional experiences of each of its members.
My most influential prior professional experiences
were those as a prosecutor and then as a family court judge during
the 1960"s and 1970"s. Those were years of tremendous
social turmoil as well as rapid changes in the law. Thanks
to Albany Law Professor Peter Preiser"s work in authoring the
1968 Preliminary Report of Governor Rockefeller"s Special Committee
on Criminal Offenders, which he served as its Executive Director,
I learned of the concept of anomie-public unrest caused by the widespread
perception that society"s norms are not being enforced.
During that era, I also became sensitive to the converse of anomie
" it"s flip-side, if you will, that is, societal unrest
attributable to the view that the laws are either unjust, or unjustly
enforced.
Both forms of social unrest were widespread in those
years. Youth saw injustice in the Selective Service Law under
which they or their friends were forced into military service in
an unjust war in Vietnam. Young African-Americans perceived
injustice in the pathetically slow implementation of Brown v. Board
of Education, and in the failures to achieve other social reforms
through the passive resistance strategy of the first generation
of leaders of the Civil Rights Movement.
On the other hand, much of conservative America was
outraged by a spate of Supreme Court decisions, starting with the
Constitutionalization of state criminal procedure law under which
the exclusionary rule was applied to searches and seizures, right
to counsel, confessions and suspect identifications in state prosecutions.
Salt was rubbed into the wounds by the school prayer cases and Roe
v. Wade. It did not help matters that dissents in some of
those cases, notably by Justices Harlan and Byron White, demonstrated
the majority"s poor craftsmanship and the lack of support for
its results in existing legal sources.
While the militancy of social turmoil of that era
has surely subsided, the aftermath has been a profound skepticism
concerning the capacity of appellate judges to adhere to the Rule
of Law model Hugh Jones subscribed to, of neutrality and objectivity
and of shunning result-oriented decision-making. To be sure,
skepticism concerning the judicial process in America has existing
for at least a century. It was the dominant theme of Oliver
Wendell Holmes" 1897 lecture, The Path of the Law. And
certainly there was wide spread skepticism about the neutrality
and objectivity of the Supreme Court from the turn of the 20th century
until the mid-30"s in striking state and federal social welfare
legislation and regulation of business. But except for a few
of the most extreme voices of the legal realist movement, the criticisms
were that the Supreme Court and the early formalists Holmes challenged
were deviants from the true common-law tradition. Today, however,
the skeptics see appellate judging as inherently non-neutral and
non-objective, and completely indeterminate.
This more comprehensive skepticism has existed in
the academic legal community for more than two decades, in one form
or another. However, I attribute the lack of success of those
critics" in dominating the legal culture to their failure to
offer any credible, systematic alternative theory of adjudication
to aid judges who, after all, have to decide cases brought before
them to resolve the litigants" dispute and to give some guidance
to lawyers advising clients how to avoid similar disputes in the
future.
More portentous is the outspoken skepticism now expressed
by two hugely influential sitting jurists in disdaining common-law
judging, Justice Antonin Scalia and Judge Richard Posner.
Moreover, in contrast to the academic critics each of these jurists
has proposed an alternative methodology to the Common Law Tradition.
Justice Scalia was appointed to the Supreme Court
in 1986. His profound skepticism toward the common-law methodology
appears in judicial opinions and in two lectures, his Holmes lecture
in 1989 at Harvard Law School entitled the Rule of Law as a Law
of Rules, and his 1997 Tanner lecture at Princeton, A Matter of
Interpretation: Federal Courts and the Law. He believes that
the common-law approach gives judges unbridled discretion to manipulate
the relevant authoritative legal materials in order always to impose
their own political and policy predilections. Justice Scalia
is convinced that the Common Law method destroys rule of law values
and, when applied to issues of statutory and constitutional law,
violates separation of powers by permitting judges to frustrate
the will of the people as expressed by their elected legislative
representatives.
Scalia proposes a concededly formalistic alternative
judicial methodology, which he believes will be far more determinate
and constraining. All holdings " those based on decisional,
statutory or constitutional sources " will be expressed in
broader generalizations. "For when, in writing for the
majority of the court, I adopt a general rule and say "this
is the basis of our decision," I not only constrain lower courts,
I constrain myself as well."
As many of you heard brilliantly explained just one
week ago in this venue at the program of the New York State Federal
Judicial Council on "The Use of Legislative History by State
and Federal Courts in New York," the Scalia formalistic approach
to statutory and constitutional issues purportedly limits judicial
discretion by applying the overlapping doctrines of textualism and
originalism. That is, the wording of the provision at issue
will be read plainly and applied as a rule of general application.
The substance of that rule will be discerned, not by inquiries into
legislative purpose or intent, but from the objective meaning of
the text itself, that is, what a reasonable person would have understood
the words to mean when enacted. To avoid the literalism that
might produce absurd results, Scalia instructs that courts may also
examine the text at issue in the overall context of the law within
which it was enacted and may also take into account substantive
cannons of construction such as the familiar canon that the expression
of one matter implies the exclusion of others.
Scalia"s dissertations are brilliantly and bitingly
stated and, without delving into their merits, are fun to read.
They have received exhaustive review by legal scholars, most of
which has been critical. Mainly criticisms do not address
the merits of Justice Scalia"s methodology as a theory of adjudication
likely to fulfill the Rule of Law better than the Common Law Tradition.
I propose to do so now. First, in the pure common-law case,
where all the sources of authority are found in decisional law,
the Justice"s formalism does not represent for me any significant
advance over the old formalism. Holmes" famous aphorism
in Lochner v. New York, that "general principles do not decide
concrete cases" remains a cogent warning against over confidence
in the ability of general rules truly to constrain discussion-making.
Modern jurisprudence, in which H.L.A. Hart and Ronald Dworkin agree,
teaches that a judge"s discretion is not effectively restricted
by general rules, because of the limitations of language and the
unforeseeability of future contingencies. There inevitably
are gaps to be filled, ambiguities to be clarified and choices to
be made among congruent but conflicting rules.
Textualism and originalism also fail to constrain
in their quest for the meaning of textual constitutional or statutory
language contemporary with enactment. Professional historians
seldom claim to find definitive final versions of historical events.
Thus, looking to the historical record is not likely to be as constraining
as Justice Scalia expects. Rather, it is likely to serve at
best as a resource for interpretive analysis, hardly an improvement
on common-law methodology. Textualist and originalist judges
also will still be empowered to use significant and often decisive
discretion in selecting the level of abstraction to ascribe to the
original meaning of an enactment.
Undoubtedly Justice Scalia and other textualists have
taught us all to be more attentive to statutory language and to
beware of the pitfalls of over-reliance on legislative history.
This surely is an important contribution during this age of statutes.
But to entirely preclude resort to evidence of the purposes of a
statute in interpreting its words is for me the equivalent of throwing
out the baby with the bathwater. As Chief Judge Kaye very
persuasively explained in her 1995 Brennen Lecture at New York University
Law School, disputes over the meaning of statutes almost always
arise out of expressions of legislative will that are either ambiguous,
or too general to dictate the result in the particular case at hand.
Thus, judges in those cases are cast back into their common-law
methodology to decide the case, and they seek to ascertain the purpose
of the legislation, which may indeed be discernable from legislative
history, as an aid to discovering the meaning of text at least as
useful and reliable as context or canons of construction.
Perhaps the best demonstration of the inadequacies
of Scalia"s textualism/originalism is that he willingly accepts
and joins in common-law like decisions when original understanding
of text is insufficient to support his strongly felt overall Constitutional
vision. This is exemplified in the decisions granting States
sovereign immunity from private suits brought to vindicate federal
statutory rights, Seminole Tribe v. Florida and Alden v. Maine.
Undeniably, the only specific constitutional treatment of State
immunity from suits is the 11th Amendment, which states in the plainest
of language that the Federal courts lack jurisdiction over suits
against a state "by a citizen of another state or by citizens
or subjects of any foreign state." One would assume that
a textualist would find significant the absence of any references
in the 11th Amendment either to suits against a State in its own
courts, or Federal suits against a state brought by that State"s
own citizens. A five-Justice majority, which included Justice
Scalia, however, found otherwise, and based the holdings that States
are immune from all such suits on three grounds.
First, the majority found that Congress had no legislative
power to create the right to sue under the limitations implicit
in the general text of the 10th Amendment. This was despite
the fact that the majority"s interpretation of the 10th Amendment
would have rendered the very next succeeding amendment, namely the
11th, totally unnecessary. The other grounds were that the
structure of the Constitution supported state sovereign immunity,
and that sovereign immunity wasenjoyed by the states before the
Constitution was adopted, which was left unchanged.
Whether or not one agrees with those favoring or those
critical of the State sovereign immunity cases, no one has claimed
that the results were either supported or supportable by the original
understanding of a controlling text expressed in the Constitution.
The 10th Amendment was not applied by the majority as a specific
rule granting sovereign immunity to the States, but as a general
principle of Federalism used by the majority for its interpretive
purposes. The same holds true for the majority"s reliance
on Constitutional structure. The majority writing skillfully
weaves in concepts of purpose, principle and precedent, typical
of the common-law constitutional methodology, to reach the results
in these cases, with nary a comment from the court"s leading
formalist.
Richard Posner has been a Federal appellate judge
since 1981 and is unquestionably one of the most influential of
all contemporary American jurists and legal thinkers. One
marvels how a full-time judge of a busy Federal Court of Appeals
who, we are told, writes all of his own opinions, could also write
and lecture so extensively on so many legal subjects.
I found the clearest expression of his disdain for
the common-law tradition in his contribution to the Harvard Law
Review symposium on the 100th anniversary of Holmes" lecture
on "The Path of the Law." Posner urges acceptance
of the implications of Holmes" lecture that what we think of
as law is nothing more than "a skin that ought to be stripped
away to reveal a policy-making apparatus that could be improved
if only it were recognized for what it is." Thus, law
for Posner (and he claims for Holmes) "is merely a stage in
human history. It followed revenge and it will be succeeded
at some time in the future by forms of social control that perform
the essential functions of law that are not law in any recognizable
sense."
Before this happens, however, Posner suggests that
judges should jettison the "needlessly solemn and obfuscatory
moralistic and traditionary blather in judicial decision-making
and legal thought generally" in favor of an instrumental approach
which is purely result oriented. He argued that "the
only sound basis for a legal rule is its social advantage which
requires an economic judgment balancing benefits against cost."
In his book, "Cardozo: A Study in Reputation", Posner
disparages Cardozo"s greatness as a jurist and legal thinker
for disregarding or failing to emphasize "the instrumental
conception of law" and for Cardozo"s lack of "an
incisive framework for, or technique of, policy analysis such as
modern economic analysis provides."
More recently, Judge Posner has expanded on his objective
of "eliminating obfustacatory moralist and traditionary blather"
in legal discourse in his lectures on the Problematics of Moral
and Legal theory. Problematics represents Posner"s full
exposition of a thesis that the stuff of moral philosophy, dealing
which such concepts as theories of justice, ethical standards of
conduct and political morality, do not furnish a judge any basis
for legitimate decision-making.
As one would expect, Posner"s judicial opinions
often reflect his beliefs.
In a 1995 article, Professor Lawrence Cunningham compared
Cardozo"s and Posner"s decisional approaches to the law
of contracts. After copious analysis of Judge Posner"s
commercial decisions, the article concludes that the controlling
criterion applied in those writings is whether the result "promotes
freedom of contract and the efficient allocation of resources."
Posner"s judicial writings studiously avoid any reliance on
ethical or moral considerations.
Judge Posner did not persuade me that his instrumental,
purely policy-based jurisprudence is superior to Jonesian common
law judging. An instrumental approach, deciding each case
solely on the basis of the judge"s conception of which result
will best contribute to the general welfare, itself presents a fundamental
question of political morality, that is, whether litigants are to
be respected for their inherent dignity and worth as human beings,
each entitled to be treated as an end and not just a means for achieving
the good of the State. Posner"s jurisprudence turns on
its head the most basic premise of any legal system in a democracy.
That is, as Professor Jules Coleman vividly put it, that "the
judges are there to serve the parties, to do justice between them;
they are not there to serve the judge in his policy-making capacity."
Posnerian emphasis on modern economic analysis as a framework for
judicial decision-making itself represents a particular version
of political morality. Under Judge Posner"s view of a
good society, the values of free market competition and the maximization
of wealth and economic efficiency prevail over other inconsistent
moral values. A judge who happens not to agree with Posner"s
moral vision will get scant assistance from his jurisprudence on
how to reach and write decisions.
Even if it were possible, I would not eliminate concepts
of morality, justice and fairness from the judicial process.
Such values, of course, should not merely be based on the personal
moral code of the judge, but rather the historically enduring standards
of righteous conduct and principles of justice that reflect the
best in our national character. Indeed, there is a creative
role for the judge to play in finding and demonstrating how issues
in the concrete situations of legal disputes bear a relationship
to important values, and in refining and articulating those values
in a way that reinforces them and uses them to add to the coherence
of the law.
My judicial heroes have reflected in their judicial
and non-judicial writings that law contains an important moral dimension.
Cardozo said, in The Nature of the Judicial Process "that the
judge is under a duty, within the limits of his power of innovation,
to maintain a relation between law and morals, between the precepts
of jurisprudence and those of reason and good conscience."
And Cardozo"s decisions articulate and apply those precepts
in ways that continue to inspire. Thus, fiduciaries, including
business partners, are "held to something stricter than the
morals of the marketplace. Not honesty alone, but the punctilio
of an honor the most sensitive, is then the standard of behavior."
And, as Professor Cunningham demonstrated in his article, Cardozo
incorporated in his commercial decisions moral concepts of good
faith, fair dealing and fairness in the construction of agreements
to meet the parties" reasonable expectations and to avoid placing
one party at the mercy of the other. Another great judge,
Aharon Barak, President of the Supreme Court of the State of Israel
recently said that "in creating law, we should give expression
to the basic values of our legal system. Those values are
the key to constitutional and statutory interpretation. They
are the force behind the common law. Those values reflect
ethical values of morality and justice."
Closer to home, another great judge, named Hugh R.
Jones, a scant five months after taking his seat on the Court of
Appeals, relied, in Codling v. Paglia, upon principles of justice
as the foundation of the Court"s adoption of the rule of strict
liability of the manufacturer to any party injured because of a
defective product. The social reality of modern mass production,
marketing and distribution of goods is described in Codling.
The consumer is bombarded with alluring advertisements to buy products,
but totally lacks the means to discover defects in them orassess
their relative safety. The Codling opinion analyzes and explains
the precedents which incrementally chipped away at the citadel of
privity because immunizing the manufacturer would have been "productive
of great injustice." Judge Jones ruled that the time
had come to "lay down a broad principle, eschewing the temptation
to devise proliferating exceptions," and concludes that "from
the stand point of justice, as regards the operating aspect of today"s
products, responsibility should be laid on the manufacturer."
The writing is entirely persuasive and so much more rich than pure
economic analysis in giving justificatory reasons to impose strict
manufacturers" liability in modern America. It truly
is a worthy successor to MacPherson v. Buick, Cardozo"s masterpiece.
Thus, the skepticism on Judges" neutrality, objectivity
and consistency remains as a dilemma, but without a viable solution
presented by the skeptics. The dilemma is not merely academic.
If judges are not neutral and are free to impose their own political
and policy preferences, then interest groups and other forces vitally
interested in politically sensitive issues likely to reach the courts
act perfectly rationally in seeking to assure that only those who
agree with their policies sit on a high court bench. And that,
of course, is what we see in the confirmation process for Supreme
Court nominees and, what may be worse, in the shameful conduct of
judicial election campaigns in the States where seats on their highest
courts are filled by popular vote. The potential for disillusion
is great. Important and far-reaching decisions from courts
chosen under this premise will be divisive rather than unifying,
as one hopes they would be.
The solution for me is both forward and backward-looking,
and will come as no surprise. It is a reinforcement and a
renewed commitment to and legitimation of the common law methodology,
with the hopes that it will avoid self-inflicted wounds by the judiciary
when it"s constraints are ignored and also attract the support
of the two other estates of the legal community, practicing and
academic lawyers.
I turn first to a non-legal source of support, one
which I have not previously seen brought to bear in this debate.
That is the teaching of scholars of the history of ideas.
If appellate judges inevitably must identify and examine values
in deciding cases, values which ought somehow to prevail in society
independent of the judge"s personal beliefs, the study of the
history of ideas, including age-old but evolving concepts of justice,
and political morality, of right reason as Cardozo called it, would
yield perspectives not only as to where society has been and is,
but where it may be going regarding those sets of values.
More specifically, I look to the insights of Isaiah
Berlin, one of the great minds of the 20th century, self-described
not as a philosopher but as a scholar of intellectual history.
One of his most significant contributions to Western thought was
his doctrine of pluralism: that there is no overriding unified field
theory of values arranged in some hierarchical order, and that the
recurring blind faith in those kinds of closed systems of values
created the "ideological storms" which caused bloody disasters
over much of human history and particularly of the 20thCentury.
Instead, for Berlin, history demonstrates that many of the values
that motivate societies are incommensurable and in conflict.
He gave the simple example of the competing and incommensurable
values of liberty and equality.
Berlin recognized that conflicts in values are inevitable
in conducting and ordering human affairs, but concluded that "the
collisions, if they cannot be avoided, can be softened, claims can
be balanced, compromises can be reached; in concrete situations
not every claim is of equal force, priorities never final and absolute
must be established." Of course, he saw that there are
times "to take the risk of drastic action, in personal life
or in public policy, but we must always be aware, never forget that
we may be mistaken." So, he said, "we must engage
in what are called trade offs; rules, values, principles must yield
to each other in varying degrees in specific situations."
It occurred to me that if Berlinean pluralism is true
and I do believe that to be so, it is remarkably well complemented
by the common law tradition of judging. Common law judges
develop law by evolution not revolution. They strive to reach
results by accommodating and reconciling competing values.
Judges have to make hard choices, that is unavoidable, but they
do so recognizing that they may be mistaken. So they make
law incrementally and not globally. The common law tradition
is a pluralistic methodology especially appropriate for American
society, itself the most pluralistic in the world.
Moreover, I am convinced that the methodology embodied
in the common law tradition sufficiently satisfies the requirements
of the rule of law. True, the method does not yield absolute
determinacy. Total determinacy was the claim of the late 19th
and early 20th century formalists. Nor would we want such
a determinate system of adjudication, even if it were attainable,
which it isn"t. Some indeterminacy is necessary for there
to be legal change to conform to changing social realities and needs.
While not fully determinate, the common law tradition yields predictable
results. It does so because the judges and the lawyers interpreting
their decisions belong to the same legal culture. Their habits
of thought are alike. After studying literally hundred upon
hundreds of commercial decisions, many from our Court of Appeals,
Karl Llewellyn concluded that the work of competent modern appellate
courts is "reckonable quite sufficiently for skilled craftsmen
to make usable and valuable judgments about likelihoods."
Furthermore, there are, indeed, constraints upon
judges within the Common Law Tradition, both external and internal,
which promote neutrality, objectivity and sufficient determinacy
to fulfill reasonable Rule of Law expectations.
Let me first discuss the external restraints.
Judicial discretion is cabined by the evidence in the Record on
Appeal, the existence of only a finite set of legal sources that
are possibly pertinent, and the need to convince sufficient colleagues
on the court to achieve a majority favoring the result.
A more vital external force constraining Judges to
act with neutrality, objectivity and consistency is the imperative
to preserve the public"s confidence in the integrity of the
court and the legal system. Recall that Hugh Jones spoke in
his lecture of a judge"s proper concern for the public perception
of the court as an institution. Aharon Barak also stressed
the importance of public confidence in the judiciary. He said
"The most important asset the Judge possesses is the public
confidence in him. This is the confidence that judging is
done fairly, neutrally, while treating each side equally.
Every Judge should act as though the public confidence in the entire
judicial system is dependent on the exercise of his balancing."
Notice that in discussing the need to preserve public
confidence, Barak focused, not on a Court"s avoidance of an
unpopular result, but upon acting in a way that enhances the public"s
belief in the integrity of the legal system and in the wisdom and
fairness of the tribunal. A court that decides cases as if
it was in a popularity contest loses its integrity and eventually
its reputation for integrity. Unpopular results cannot be
avoided, but they summon a judge"s best craftsmanship in providing
justification from the historical legal sources and the political
morality of justice, fairness and right reason.
There are also important internal restraints.
That is, common law judges feel morally and ethically bound by the
conventions and customary practices of the common law tradition.
Those constraining conventions and practices include
the following:
First, the duty to engage in the objective rigorous
analysis Judge Jones described and sincerely believed that, when
practiced, "the correct substantive conclusion emerges with
much less difficulty." I agree.
Second, there are judicial observances that promote
neutrality and objectivity. As Hugh Jones described, Judges
feel a duty to come to a case without any predetermined commitment
to a particular result. Objectivity is promoted by the feeling
of obligation to fully and fairly consider to competing positions,
and to engage in serious introspection to ensure that the values
upon which a decision rests have some societal foundation rather
than being merely the judge"s own subjective convictions.
Third, the common law tradition imposes upon Judges
the obligation to devise and articulate a principled basis for a
decision. That is, the judges must be prepared honestly to
give the narrow holding of the case precedential weight in future
analogous cases, even when inconsequential equitable considerations
may pull the other way. In contrast to Legislatures, courts
will even convert policy considerations into principles having precedential
weight. Two decisions of our Court of Appeals, decided in
the Spring of its 2001 term, Hamilton v. Berretta and 532 Madison
Avenue Gourmet Foods v. Finlandia Center, perfectly illustrate how
the policy issue of scope of duty of care in tort became a matter
of principle to guide courts in the future.
Fourth, common law judges are guided also by considerations
of coherency. Judges strive to decide cases in a way that
fits within the body of law on the subject. The decision must
not only be consistent with analogous precedent or any applicable
legislation, but also be in harmony with the legal landscape.
Fifth, judges are also obligated to consider the likely
practical consequences in the application of the holding, by examining
what is revealed in this respect by the evidence in the record,
by immersing themselves in the factual scenarios of analogous cases
from the past and in reviewing treatises, articles and other legitimate
sources on the subject.
Finally on my non exhaustive list of constraining
conventions, the common law tradition requires the writing of a
decision which clearly articulates its rationale, explains the choices
or accommodations made among the competing rules and values, and
honestly and with some degree of empathy addresses the arguments
of the losing party. Anyone who has ever sat on an Appellate
Court will attest to how much the writing obligation tailors and
disciplines the creation of law by judges. I recall vividly
moments at the conference table when the court had reached a tentative
disposition of a difficult and complex case, but the consensus reached
was expressly contingent on "seeing how it writes".
The process of judging I have described, of course,
is not perfect. Mistakes will be made. The social realities
may be wrongly perceived. Unforeseen, embarrassing consequences
may occur. But the commitment to incremental development of
the law, to waiting for just the right moment when a broader rule
may be articulated and justified as underlying prior narrow rulings,
as in Codling v. Paglia, that practice also, I believe, best enables
correcting or at least limiting the damage of mistakes. Cardozo
also commented upon the tendency of bad precedents eventually to
whither away. This, I think is also what Lon Fuller and Ronald
Dworkin had in mind in citing to Lord Mansfield"s metaphor
about the ability of the common law to "work itself pure".
Well, the foregoing represents my suggested judicial
response to the skeptics. As you can see, my proposal is not
particularly imaginative or innovative. But it does have the
advantage of a pedigree of some 800 years of evolution, in which
the methodology of the Common Law Tradition is clearly recognizable
in centuries-old decisions by English judges. Surely there
is something to say for the benefit of accumulated wisdom.
I will end on a cautionary, and precatory note.
The judiciary alone will not turn back the wave of skepticism spilling
over into the political arena of selecting high court judges and
punishing them for disfavored decisions. It is my hope that
practicing lawyers and academic lawyers will join the fray.
That without abandoning any of their sincerely-held constructive
criticisms and proposals for reforms in the legal system, they will
nevertheless agree that we are all part of a collective enterprise
in which they play vital roles, to support and enhance this magnificent,
always aspirational and never completely realized ideal of the rule
of law, and to preserve the viability of a similarly committed judiciary
in our society.
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