Monthly Archive for June, 2005

A Brief Note on a Comment on a Very Brief Note On Positivism

Hanno’s Very Brief Note On Positivism elicited this comment from a reader:

Wouldn’t some positivists avoid a term like “social efficacy”, which sounds like Hart’s approach? Similarly, don’t positivists avoid defining the “necessary” rather than “permissible” content of law? (I.e., positivism allows morals and even “natural law” as content and origin of law, but not as necessarily so.)

Recall that the Alexy triangle consists of three elements, which define the space in which any definition of law can be located:

  • Social efficacy (soziale Wirksamkeit),
  • Proper promulgation (ordnungsgem?ß?¸e Gesetztheit), and
  • Permissible content (inhaltliche Richtigkeit).
It’s correct that some positivist theories would exclude even social efficacy from the definition of law, and look only to proper promulgation. The issue is whether norms that are not either (usually) obeyed or whose violation isn’t (usually) sanctioned can be considered law. One approach is exclude from law properly-promulgated norms that are neither obeyed nor enforced, which equals a requirement of internal consistency more than anything. The other approach is to let the law itself decide whether norms that aren’t socially effective should be considered law: proper promulgation is the only remaining requirement (here is where I would locate Raz).

The point is though that positivism must at a minimum exclude the criterion of “permissible content.” A concept of law that excludes some properly-promulgated [and socially effective] norms because of their content, is no longer positivism. The statement that “positivism allows morals and even ‘natural law’ as content and origin of law, but not as necessarily so” is putting the cart before the horse, I think: positivism doesn’t rule out morals or natural law as legal content because that would be equivalent to requiring immoral content. The litmus test for telling a natural-lawyer from a positivist is not “what gets in?” but rather, “what stays out?” The positivist’s reply is: Nothing (as long as the law is properly promulgated [and socially effective]). It is the natural lawyer who will reply that some norms stay out. If you will: one drop of natural law (that is, the willingness to exclude even the smallest class of norms based on their content) will spoil a whole barrel of positivism. The German legal philosopher Gustav Radbruch is good example of a positivist who transmogrified into a natural lawyer by stating that unjust rules good be law, but extreme injustice, even if properly promulgated and socially effective, could not be law.

The issue becomes more complicated once you leave the detached (external) perspective of the professor or sociologist and assume the immediate (internal) perspective of the judge. I have written more about this problem, about Radbruch, and the undesirability of positivism elsewhere, using the example of the East German border guards (who were convicted by the courts of unified Germany, after East Germany and the legal order they protected had collapsed).

A Victory for Freedom in Spain

Spain has followed the Netherlands and Belgium in legalizing gay marriage. According to the New York Times,

[t]he measure passed the 350-seat Congress of Deputies by a vote of 187 to 147. The bill, part of the ruling Socialists’ aggressive agenda for social reform, also lets gay couples adopt children and inherit each others’ property. The bill is now law.

Bans on gay marriage are among those exclusionary legal institutions that lack legitimacy under any universalist moral theory, which makes this an unqualified victory for freedom.

The “Goals of Retributivism”

Much confusion about the goals of retributivism or the absence of such, stems from statements such as:

For retributivists, punishment is not a means to an end, rather, it is an end in itself, for example, as the affirmation of the unchanged persistence of a legitimate normative order, despite the crime.

What this really means is that punishment is justified as an expression of a positive value, here, the affirmation of a legitimate normative order. Therefore, punishment does not require an additional consequentialist justification as an (evil) means to a (legitimate) end. The differences and similarities of retributive and consequentialist theories can thus be stated more clearly. Both consequentialists and retributivists (Kant and Hegel both prominently included) acknowledge that punishment helps to control crime. For a consequentialist, crime control (a good) is the end that justifies punishment (an evil), to the extent that punishment is a means to achieve the end. For a retributivist, crime control is the inevitable consequence of promoting freedom (or, in the framework of more traditional normative theories, justice). Consequentialists punish to keep us factually safe. Retributivists punish to keep us normatively free; and thereby also factually safe. The drawing below expresses that relationship. Note that certain factual states of affairs of optimal crime supervene upon freedom or justice as desirable normative states.

In the drawing, not every state of factual safety can be achieved by promoting a normative state of freedom. For example, Guantanamo-style detentions (x1) could be justified on consequentialist grounds if they made us safer. (Which they do not.) However, they can never be justified as promoting a state of normative freedom. Compare that to criminal punishment for robbers (x2), which can be justified both on consequentialist grounds and as an affirmation of freedom. In other words, the goals of retributivism are very different from those of consequentialism (one is normative, the other is factual), even though every factual state of affairs brought about by the pursuit of retributivist goals could also serve as an end for a consequentialist justification of punishment. The critical point is that the reverse cannot be said.

Evolution, Creationism, and a Theory of Regulation

One of the more fascinating “great debates” in the United States (and as far as I can tell only in the United States) is that between evolutionary theory and creationism or intelligent design. Let me clarify right away that I don’t consider the substance of that debate interesting at all. Within the scientific system, the ultimate arbiter for the truth of factual claims since at least the early 18th Century, there is no debate. Claims of intelligent design or any other variant of creationism that have been advanced so far are so obviously false that they hardly merit a footnote. But that is beside the point. Creationism is not science, rather it is part of a religious movement that seeks to influence the political system and other functionally differentiated systems, including education and law. The problem (from the point of view of the system that wants to do the influencing) is, that politics and law are communicatively and operationally closed. Each system only processes communications according to its own operative code. Considerations of faith can only enter the political system if and to the extent that the political system decides to recast these issues on the basis of its own operative distinction of power and opposition. The same is true for the legal system with its operative code of lawful and unlawful. (Of course, nothing in here suggests that politicians or lawyers can’t be faithful. We all are inhabit many systems.) For example, within the religious system, a controversy about transubstantiation might be of great significance. (At least it used to be.) Yet it would be virtually impossible to force that issue upon, say, a modern legal system. The legal system decides autonomously what it considers relevant, and that does not ordinarily include questions of religious dogma. New issues enter a system by invitation only, that is, according to the selective openness of and on the system’s own terms. (Ignoring a system’s specific mode of semantic closure and its resultant selective openness is one of the primary reasons why regulation ?¢¨ƒ¨Ï and education ?¢¨ƒ¨Ï so often fails.)

How is this relevant for the creationism debate? Attempts to directly force the issue upon the political system are likely to be met with resistance. The political system has historically claimed its independence from religion as a result of functional differentiation. Independence meant closure. Within the legal system, that closure is represented by the constitutional requirement of the separation of church and state. At the same time, the political system has opened itself to all things science. It closely observes a wide range of issues and controversies within science, which may be translated into and represented within the political system at any time. Once the political system has assimilated a scientific issue (e.g., the properties of stem cells), that issue takes on a parallel life of its own, outside of the scientific system, following the rules of the political discourse; transplanted content almost never contains dynamic links.

Different systems have taken on leading roles at different times in history. Leadership simply means that a significant number of other social systems independently subscribe to content identified and processed by the leading system for import and assimilation. (Figuratively speaking, those systems open a port in their firewalls.) Religion was the leading system of the Middle Ages. Following the American and the French revolutions, the political system assumed a leading role. Today, it might be the global economic system. And since the early 18th Century, the scientific system has never ceased to play a leading role. Influencing a system with few outgoing feeds will have less of an impact than influencing one with many active subscribers, which is why being part of the scientific discourse is of great value to ideas with the ambition to change society. Marxism, fascism, socialism, but also law, economics, and politics have all tried to dress up and pose as science with varying degrees of success. Creationism, that is, religious dogma, wrapped in the rhetoric of scientific discourse, is following their lead. And as a foreign protocol encapsulated into HTTP is able to tunnel a firewall, so do religious issues, camouflaged as science, enter systems that would otherwise be reluctant to process them, such as education, law, and politics.

Using Mail.app and GPG

Ever since PGP went commercial, I have not been feeling quite right about the program, and so I switched to GnuPG a while ago. GnuPG is, of course, a wonderful program. Unfortunately, MacOS X 10.4.1 caused all sorts of problems with GPGMail, one of the most useful hacks that integrates GnuPG into Apple’s mail.app. For those who haven’t been using GnuPG, here is how to install it and make it play nice with mail.app. (More information here.) First, install GPG for OS X (current version 1.4.1), then GPG Keychain Access (current version 0.7.0), and finally GPG Preferences (current version 1.2). That gives you the PGP engine along with two intuitive front-ends. Then download and install GPGMail. The next time mail.app is run, it will complain about the GPG bundle and disable it. Quit mail.app, then rename the folder $HOME/Library/Mail/Bundles (Disabled) back to $HOME/Library/Mail/Bundles. (The $HOME folder is the one with the little house, that is, a user home folder, not the root.) Open terminal.app and type:

defaults write com.apple.mail EnableBundles 1
defaults write com.apple.mail BundleCompatibilityVersion 2
exit

Then relaunch mail.app, and GPG should work just fine!

What Patents Could do to Literature (and other Software)

The Guardian is running a great article by Richard Stallman that illustrates the effects of software patents by analogizing them to patents on literary ideas. Consider Stallman’s example of a hypothetical literary patent:

Claim 1: a communication process that represents, in the mind of a reader, the concept of a character who has been in jail for a long time and becomes bitter towards society and humankind.
Claim 2: a communication process according to claim 1, wherein said character subsequently finds moral redemption through the kindness of another.
Claim 3: a communication process according to claims 1 and 2, wherein said character changes his name during the story.

If such a patent had existed in 1862 when Les Miserables was published, the novel would have infringed all three claims – all these things happened to Jean Valjean in the novel. Hugo could have been sued, and would have lost. The novel could have been prohibited – in effect, censored – by the patent holder.

Of course, the patent holder would not have to be an author him- or herself. The only creative writing required would be the filing of patent applications.

Solum’s Lexicon: Legitimacy

Larry Solum (now at the University of Illinois at Urbana-Champaign) posted a new entry on legitimacy to his excellent legal theory lexicon. After distinguishing between normative and factual theories of legitimacy, Solum lists four contemporary arguments:

  1. Legitimacy as derived from democracy
  2. Legitimacy as legal authority
  3. Legitimacy as reliability
  4. Rawls’ concept of legitimacy.

In discussing the reliability concept of procedural legitimacy, Solum correctly observes that

[t]here is a difference between the correctness or justice of a decision, on the one hand, and its legitimacy; on the other. Indeed, this seems to be a crucial feature of legitimacy. We think that an incorrect decision can nonetheless be legitimate, whereas a correct decision can lack legitimacy.

The Alexy triangle provides an intuitive way of illustrating that claim, which makes it useful not only for a conceptual definition of law, but also (and not surprisingly) as a tool to classify theories of legitimacy. Both correctness and justice relate to the non-positivist permissible content element, whereas the democratic process and the legal authority are primarily related to proper promulgation of a law or a legal decision. Rawls’ theory of legitimacy addresses all three prongs, proper promulgation, social efficacy, and permissible content, with an emphasis on the latter. In my view, the process aspect of legitimacy is fundamental, because legitimacy is to such a large extent a question of “more or less.” Legal processes, by blending both normative and factual elements, generate incremental legitimacy by approximating normative ideals of justice, while at the same time, they factually undermine and delegitimize dissent.

Legal Periodicals Rankings

John Doyle of the Washington & Lee University law library maintains a nice blog with a focus on legal periodicals and legal publishing. The most-cited legal periodicals search engine is an excellent tool for anyone interested in (or dependent upon) legal publishing. Here is a brief overview of the methodology used to generate the rankings:

The single most important point to make about the rankings is that not all citations to the law journals are counted. Counted citations are those which cite journal volumes published in the preceding eight years. The reason for this limit is to prevent a bias in favor of long-published journals. Thus the study is concerned only with citations to current scholarship. The search results give only the number of citing documents, and do not show where a citing article or case cites to two or more articles in a cited legal periodical. Sources for the citation counts are limited to documents in Westlaw’s JLR database (primarily U.S. articles), and in Westlaw’s ALLCASES database (U.S. federal/state cases).

Comment on Brian Tamanaha’s Perils of Pervasive Legal Instrumentalism

In “The Perils of Pervasive Legal Instrumentalism,” Brian Tamanaha paints a bleak picture of how instrumentalism has corroded the very legitimacy of the law.

In situations of sharp disagreement over the social good, if law is perceived as an instrument, individuals and groups within society will endeavor to seize the law, and fill in, interpret, and apply the law to serve their own ends. What results is a contest over the law itself, a contest in which all sides seek to enlist the power of law on their behalf, spawning a Hobbesean conflict of all against all carried on within and through the legal order. (Id., 2).

Interestingly, Tamanaha’s critique is not directed against instrumentalism per se, that is, against the view that law is a tool, a means to achieve ends. For in a later part of the essay, he writes:

[L]egal instrumentalism, and the battle that it has generated, threatens to corrode the integrity of the law [...] A distinguishing characteristic of law has always been that it is a manifestation of public power that is to be wielded in furtherance of the public good. The legitimacy of the law, its claim to obedience, is based upon this claim. Without this characteristic law is raw coercion. If the law is an empty vessel, an instrument to be filled in and applied to the advantage of any group that successfully controls it, then law will involve the application of public power to private advantage, in the pursuit of a private agenda. When that is the case, it is not obvious why there would be an obligation to abide by the law. If more and more people come to hold this view, the law may lose its widespread routine voluntary compliance that it depends upon. (Id., 65).

What’s corrosive is not instrumentalism, but rather the absence of a single and identifiable public good: “the public good.” (My italics.) Wielding the power of the law “in furtherance of the public good” is legitimate and non-coercive. Wielding the power of the law “in the pursuit of a private agenda,” lacks legitimacy and is coercive. Thus, Tamanaha ultimately bemoans the loss of unity, the lack of consensus, with the implied understanding that consensus is a source of legitimacy (volenti non fit injuria).

The most obvious problem with this argument is the assumption that there is (or has been) a consensus that served as an acceptable proxy for “the public good.” What if the unity that rendered legitimacy to the law in ages past was the result of a massive selection bias? What if the “special interests” that suddenly engaged in the “contest over the law itself” were simply the voices of those that had been silenced before? This should not strike anyone as a particularly outlandish claim. Much of the “pervasive instrumentalism” that ensued in the early 20th Century and with increasing traction after the 1950s has been the result of workers, women, gays, ethnic groups, and other special interests, strategically pursuing their agendas through the courts. Their voices indeed disturbed the prevailing consensus, but only because much of what counted as “the public good” had been defined by a rather select body public, largely composed of well heeled, white, heterosexual men. (This is not to say that the entire legal system produced by that select public was unfair, exclusionary, or intentionally biased, even though clearly parts of it were and parts of it still are. My point is that even the most enlightened person necessarily has blind spots. And while the resolve to be impartial is certainly much better than open bias, it is not entirely sufficient to eliminate bias.) The successful pursuit of special interests by previously invisible constituencies led to the creation of “new rights.” Such new rights altered the societal power structure, which, in turn, forced the traditional beneficiaries of the old order to emerge from the background, step into the open and state their claims explicitly. (The open restatement of such claims accounts for much of the conservative counterrevolution.)

The real shift, therefore, has not been one from non-instrumentalism to pervasive instrumentalism, but rather from pervasive, background instrumentalism to explicit instrumentalism. In the 1960s and 1970s, any consensus on the surface gave way to open normative dissent. As a result, definitions of law increasingly came to rely on formal elements of proper promulgation and social efficacy. But the charge of value-blindness and relativism that was levied against legal realism, which Tamanaha so vividly describes, soon led to the formal inclusion of non-legal normative standards, usually in form of a rule of reason or similar pragmatic balancing tests. Of course, the contents of what constitutes reasonableness could no longer be defined with universal appeal. The resulting pragmatic definition of law does not fit the positivist mold, because it requires the inclusion of an extra-legal normative standard. Law that deviates from the standard in an outrageous manner is not law. But as there is no consensus as to the extra-legal standard, the pragmatic non-positivism remains strangely undefined, which permits conservative and liberal writers alike to claim the pragmatist label.

In the opening paragraphs of his essay, Tamanaha states that there are two possible views with respect to the pervasiveness of legal instrumentalism. (Id., 2-3). One is that the law did not change its nature, that law has always been instrumental, a fact that has only lately been made explicit. Another is that the law changed its nature, that law at some point in the past the law was non-instrumental and that it has become instrumental. But there is a third possibility, namely that the change from implicit to explicit instrumentalism changed the nature of the law, much in the same manner that the process of secularization changed the nature of religion. The internal point of view is no longer the default position, much less the only position that one can assume. Rather, assuming the internal point of view, and with it the binding force of legal norms, requires an affirmative and increasingly explicit step of suspending disbelief. It may well be that some of the recent variants of textualism serve precisely that function. Textualism is, of course, a strange and willful reductionism. But for all its methodological shortcomings, textualism signals a commitment to taking law seriously, a heightened sensibility to the semantic restraints on the legal discourse imposed by the law, seen from an internal point of view.

I am curious to see what Tamanaha will propose as an alternative to instrumentalism in his forthcoming book on that topic – assuming that’s really what he is after.

NOTE (8/3/06): For whatever reason, spambots like this post, so I have turned off the comments. Please drop us an email if you would like to post a comment. Sorry for the inconvenience. Hanno.
[tags]philosophy, jurisprudence, instrumentalism[/tags]

A Very Brief Note on Positivism

Robert Alexy, Professor of Jurisprudence at the University of Kiel, has proposed one of the most useful definitions of positivism. Virtually all definitions of law, that is answers to the question: “What is law?”, rely on a combination of the following three elements:

  • Social efficacy (soziale Wirksamkeit),
  • Proper promulgation (ordnungsgem?ß?¸e Gesetztheit), and
  • Permissible content (inhaltliche Richtigkeit).

Non-positivist positions include the permissible content element, whereas positivist positions do not (separation thesis). Any non-postivist theory can be located within the triangle below.

In contrast, positivist theories move along the line between social efficacy and proper promulgation, as displayed below.