Interpretive Theories - Dworkin Sunstein and Ely
Interpretive Theories - Dworkin Sunstein and Ely
Interpretive Theories - Dworkin Sunstein and Ely
Volume 17 | Issue 2
Article 5
2005
Interpretive theory about the nature of law is the view that legal rights and duties are determined by the
scheme of principle that provides the best justification of certain political practices of a community: a scheme
identifiable through an interpretation of the practices that is sensitive both to the facts of the practices and to
the values or principles that the practices serve. Interpretivism was first postulated by Dworkin as a criticism
of the positivist school of judicial reasoning which focuses on rules in interpretation, and is most closely
asociated with the work of Austin and Hart. Dworkin rejects the positivist conceptions of law and
interpretation, instead theorizing that rights are premised upon a comprehensive set of moral precepts that
make individual rights valuable, and act as trumps. Interpretivism as developed by Dworkin includes the
claim that interpretation is sensitive to values, and therefore fundamental to interpretivism is natural law. This
paper examines modern judicial interpretivism, assessing the theories of Dworkin, Sunstein and Ely, by
comparative analysis, including their advantages and disadvantages. By applying these theories to a recent
judicial decision, it is possible to assess contemporary judicial interpretive theory in Australia.
Keywords
INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
ByTinaHunter*
Introduction
Interpretivetheoryaboutthenatureoflawistheviewthatlegalrightsanddutiesare
determined by the scheme of principle that provides the best justification of certain political
practicesofacommunity:aschemeidentifiablethroughaninterpretationofthepracticesthat
issensitivebothtothefactsofthepracticesandtothevaluesorprinciplesthatthepractices
serve.1InterpretivismwasfirstpostulatedbyDworkinasacriticismofthepositivist
school of judicial reasoning2 which focuses on rules in interpretation, and is most
closely asociated with the work of Austin and Hart.3 Dworkin rejects the positivist
conceptions of law and interpretation, instead theorizing that rights are premised
uponacomprehensivesetofmoralpreceptsthatmakeindividualrightsvaluable,and
act as trumps. Interpretivism as developed by Dworkin includes the claim that
interpretation is sensitive to values, and therefore fundamental to interpretivism is
naturallaw.4
This paper examines modern judicial interpretivism, assessing the theories of Dworkin,
SunsteinandEly,bycomparativeanalysis,includingtheiradvantagesanddisadvantages.
Byapplyingthesetheoriestoarecentjudicialdecision,itispossibletoassesscontemporary
judicialinterpretivetheoryinAustralia.
TheContextofInterpretiveTheoriesofLaw
Interpretation of law is fundamental to the democratic system and the Rule of Law.
Indeed,underSection1oftheAmericanConstitution,thereisaseparationofpowers,
with the various parts of lawmaking made a separate function of the respective
branchesofpowerwithinthelegalsystem:
*
1
2
3
4
BA(Hons)Syd,GDipA(LIS)(Dist),MAppSc(LIM)(Dist).
NicosStavros,InterpretivistTheoriesofLaw(Winter2003)TheStanfordEncyclopediaof
Philosophyhttp://plato.stanford.edu/archives/win2003/entries/lawinterpretivist/>at12
April2005.
RonaldDworkin,TakingRightsSeriously(1977).
TheodoreMBenditt,LawasRuleandPrinciple(1978),659.
Stavros,aboven1,at2.
78
INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
LEGISLATURE
EXECUTIVE
Makes
Law
Implements
Law
JUDICIARY
Interprets
Law
The interpretation of the law falls within the function of the Judiciary. The primary
roleofthejudgesistointerpretthelawbyutilizingmanytoolsavailable.Whentrying
tointerprettheconstitution,thereisanefforttoattempttobalanceagainstrulebased
positivism which is indeterminate, (law is impossible to grasp and very hard to
interpretasrulebased),withotherfactorssuchasvaluesandprinciples.Interpretive
theory in law involves different views about what approach to interpretation will
makeforthebestsystemoflaw,consideringmanyfactors,andsettingasiderulesas
theonlysourceofinterpretation.(Thisisthedebatebetweenruleboundvs.rulefree
statutoryinterpretation.)
MethodsofInterpretation:5
Textualism:insiststhatthetextisthefoundationforstatutorymeaningandit
isbinding.Eitherthetextisbindingbecauseitreflectsthelegislaturesintent
or it is binding whether it reflects the intent or not the principle of textual
priority.
AsidentifiedbyJosephFerarro,ElementsOutlineLegalPhilosophy(2002).
79
undotherulelikenatureofaterm.Thepurposiveinquirydoesnot,however,
ascertaintheintentionofthelegislature.
Legislativehistory(intent):Onemaylooktothelegislativehistoryinorderto
discerntheintentionorspecificunderstandingofthelegislatorsthatenacteda
particular statute. History can give an ambiguous word a contextual
definitionandmayclarifythetextitself.Attentiontolegislativehistorymay
also reflect deference to the legislatures more democratic, specialized and
lawmakingprimacy.
ORIGINALISM
NON-ORIGINALISM
(Looking to past)
Intention who,
where, why,
motivation
Structure
Values
Text common
understanding
of constitution
Reasons
Gaps
Vagueness/
imprecision
Thetermoriginalismisusedtorefertoscholarsandjudgeswhoholdthatthata
Constitution should only (or principally) be interpreted according to the
intentionsofitsdraftersandratifiers.6Thisisrulelikesinceitdefinestheanswer
tocasesbeforetheyarise.
Stavros,aboven1,at2.
80
INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
The term nonoriginalism refers to scholars and judges who utilise other tools
thanthatoftext,intentionandstructuretointerpretthemeaningofthelaw.Non
originalistsusemanyothertoolssuchasvalues,reasonandprinciplestointerpret
the meaningof the laws, in order toapply them to individual cases. Within this
schoolofthought,thereareanumberofinterpretivetheorists,anditisthisarea
thatwillbeconsideredindetailinthisanalysis.
The debate between originalists and nonoriginalists has been affected by anxieties
about the authority of the Constitution and doubts about the legitimacy of judicial
review. NonOriginalism focuses on extrinsic factors in the interpretation of the
constitution,suchasvalues,reason,gapsinthelaw,andvaguenessandimprecision,
using principles to assist in the interpretation of the law within the context of the
societyitserves.
AdvantagesofOriginalism:
JudicialdiscretioncouldbepoorlyexercisedbytheJudiciary,yetasystemof
rulesbasedonoriginalismwillensurejudicialdisciplineininterpretation;
Originalismlimitsinadvancejudicialdecisionmaking,anddoesnotthreaten
predictability.Alternativeapproachesintroduceuncertainty;
Reducesjudicialdiscretionandmakesconstitutionallawmorerulelike;
Theseruleshaveademocraticpedigreebyvirtueoftheirconnectiontopast
judgments;
Originalunderstandingsaregenerallysoundorjust,asarebasedonprevious
tenets;
Original understandings are democratically grounded and subject to
democraticcorrection.
CriticismofOriginalism:
81
ContemporaryoriginalistssuchasBork,andScaliaJJ,aswellsomepositivists(suchas
Hart)feelthatthetextoftheConstitutionisallthatisnecessarytoreachaconclusion
aboutConstitutionallaw.Legalpositivismclaimsthatwhatthelawis,asopposedto
what it should be, ought to be the guiding principle in interpreting the text of the
Constitution.
DworkinsInterpretativeTheoryofLawJudicialActivist
Ronald Dworkin is an American legal philosopher, and professor at both Yale and
Oxford Universities Law Schools. Dworkins works, most predominantly Taking
RightsSeriously(1977),rejectsthepositivistconceptionsoflawprevalentamonglegal
realists, instead theorizing that rights are premised upon a comprehensive set of
moralpreceptsthatmakeindividualrightscomprehensible.Afrequentcommentator
on constitutional questions, Dworkin criticized originalist Borks notion of basing
contemporaryjurisprudenceontheoriginalintentoftheauthorsoftheconstitution,
asunworkable.8HisotherimportantworksincludeAMatterofPrinciple(1985),Laws
Empire (1986), Lifes Dominion (1993), and Freedoms Law: The Moral Reading of the
AmericanConstitution(1996).
7
8
SeeDworkininCassRSunsteinThePartialConstitution(2000),111.
RonaldDworkin,Biography(2005)
<http://www.infoplease.com/ce6/people/A0816492.html>at16March2005.
82
INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
OutlineofDworkinsRightsThesisinInterpretation.9
A.
DworkinsResponsetoHartsSocialFactThesis
Thisthesisassertsitisanecessarytruththatlegalvalidityisultimatelyafunctionof
certainkindsofsocialfacts,andthevalidityofalawisthepresenceofcertainsocial
facts,especiallyformalpromulgationbythelegislature.
InrespondingtotheSocialFactthesis,Dworkindevisedataxonomyofinterpretation:
Rulesactinallornothingfashion
Policynormspromotingcollectivegoals
Principlenormsprotectingindividualrights,whichtendtoinclinetowards
onedirection,andcontinuetoleadinthatdirection
InHartsformofpositivism,whentherulesrunout,allajudgeisleftwithtomake
decisionsinhard,orpenumbralcases,isdiscretion.10Dworkinrejectsthisthesison
the ground that there are some legal standards the authority of which cannot be
explained in terms of social facts. In deciding hard cases, for example, judges often
invokemoralprinciplesthatDworkinbelievesdonotderivetheirlegalauthorityfrom
thesocialcriteriaoflegalitycontainedinaruleofrecognition.11
ItisthisconcernaboutpenumbralcasesthatfuelsDworkinscritiqueofHart.Hiskey
insight is his perception that when judges reason about hard cases, they appeal to
principles and other standards beyond positivist rules (i.e. those rules that are
identifiablebyvirtueoftheirpedigree,byhowtheycameaboutasspecifiedbysome
setofsecondaryrulesorrulesofrecognition).Unlikelegalrules,principleshaveno
discernible pedigree in Harts sense. Principles function as a reason in favour of a
particular decision, but do not compel a result in the way a rule does. Also unlike a
legalruleinHartssense,aprinciple,suchastheprincipletowhichthecourtreferred
9 HisrightsthesiswasoutlinedinRonaldMDworkinTakingRightsSeriously(1977).
10 Dworkin,aboven2,chapter4.
11 Dworkin,aboven2,40.
83
inRiggs,can,accordingtoDworkin,remainaprincipleeventhoughitmaynotalways
befollowed.Principles,too,frequentlygiveexpressiontobackgroundrightsheldby
oneofthepartiestoadispute,andsuchrightsfrequentlytrumportakepriorityover
otherconsiderations.12
Dworkin believes a moral principle is legally authoritative where it contributes to the best
moraljustificationforasocietyslegalpracticesandinterpretationconsideredasawhole,if,
andonlyifitsatisfiestwoconditions:
1.
theprinciplecohereswithexistinglegalmaterials;and
2.
theprincipleisthemostmorallyattractivestandardthatsatisfies(1).13
Therefore,thecorrectlegalinterpretationisthemoralprinciplethatmakesthelawthe
morallybestitcanbe.Accordingly,inDworkinsview,adjudicationisandshouldbe
interpretive.
B.
TheissueofHardorPenumbralcase:
Therefore, judicial decisions (even hard ones), Dworkin notes, should be based on
principle,andnotpolicy,since:
Unelectedjudgesarenotasgoodatpolicymakingasthelegislature;
Judicialpolicybaseddecisionsamountstoretroactivelegislation;
Political decisions should be made by political officials inside of political
theory.
Furthermore, Dworkin believes that judges should, and do, when deciding hard
cases:16
Resorttoprinciples,whichprotectpreexistinglegalrights;
12
13
14
15
16
APhilosophyofLaw,TheoriesofLaw(2002).
<http://people.brandeis.edu/~teuber/lawtheory.html>at14April2005.
Dworkin,aboven2,823.
Dworkin,aboven2,82.
Dworkin,aboven282.
Dworkin,aboven2.
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INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
Theserightsmustbeconcrete,institutionalandlegal;
In ascertaining such rights, judicial autonomy insulates judges from
backgroundpoliticalmorality(atleastforthemajorpart);
Judges must develop the best available theory supporting other rules in an
area;
If the theory is indeterminative, judges use principles of moral and political
philosophytofillouttheareaoflaw;
Usethissamemodeofanalysisforstatutoryinterpretation;
TheForceofPrecedentislimitedtounderlyingcases;
ThisideaofprecedentandmoralsasunderpinningthedecisionsofJudgesis
best described by Dworkins analogy to the Chain Novel (each successive case
building on the story of the last case, to ensure a coherent, readable, developing
story),wherejudicialinterpretationisbasedonacoherentsetofwelljustified
moralprinciples(eg.Honour,integrity,etc),thusensuringjudicialintegrityin
interpretation;
Vertical Integrity where judges ensure that the decisions are, as much as
possible, consistent with the principles embedded in precedent, and main
structuresofconstitutionalarrangement;
HorizontalintegrityJudgesshouldensurethatprinciplestheytaketodecide
or govern one case, should be given the full weight in other cases (this
demonstratesclearlythechainNovelconcept).
IndeedDworkinnotes:
Dworkinalsoferventlybelievesthatthejobofajudgeisaverydifficultone,onethat
is so difficult so as to be Herculean. Dworkin, then, does not expect that any judge
(excepttheidealperfectjudgethusknownasJusticeHercules)willalwayscometo
the right interpretation of the law. He does, however, think that there is a correct
interpretation,onewhichaccuratelyweighsprinciples,protectsnaturalrights,andis
consistentwiththesocietysmorals.Eveninveryhardcases,Dworkinmaintainsthat
there is a right decision.18 It is with this elusive perfect decision that judges concern
17 Dworkin,aboven2,165.
18 JulesL.ColemanandJeffrieMurphy,PhilosophyofLaw(1990),47.
85
themselves, and while they need not find the right interpretation, according to
Dworkin,theyareobligatedtoseekit.
ApplicationoftheRightsThesistoInterpretation
SinceprincipleholdsafundamentalroleinDworkinsviewofjudicialinterpretation,
itisessentialtodelineatethedifferencebetweenprinciple,policyandrules.Dworkin
claimsthatjudgesareobligatedtoconsiderprinciples.Whathemeansbythisisthat
judgeshaveanobligationwheninterpretingalaw,totakeallrelevantprinciplesinto
account, consider their relative weights, and then determine which principles are
dominant. Two examples of principles provided by Dworkin illustrate how judges
haveusedprincipleindeterminingthejudgmentofacase.19
In Riggs v Palmer,20 a New York court decided a case in which a grandson who
murderedhisgrandfatherwastoalsocollecttheinheritance.Thecourtfoundthathe
could not inherit, even though there were no written statutes to support the decision.
Instead,thecourtappealedtomoralreasoning,citingtheprinciplethatnooneshouldbe
permitted to profit from his own wrongdoing. This decision was to become a
landmarkformanyothercases.21
In another case, Henningsen v Bloomfield Motors, Inc.,22 even though there were no
applicable rules (ie statute), a New Jersey court decided that automobile
manufacturers could not claim limited liability for defective parts and the damages
caused by them. The court based its decision on the principle that automobile
manufacturers have a special obligation because, among other reasons, cars are so
essential.23
19
20
21
22
23
Dworkin,aboven2,74.
RiggsvPalmer(1889)NYCA.
Dworkin,aboven2,75.
HenningsenvBloomfieldMotors(1960)32NJ358,SupremeCourtofNewJersey.
Dworkin,aboven2,756.
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INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
appliedallornothing,whereasprincipleshaveadimensionofweightorimportance.
Whentwoprinciplesconflict,oneprinciplemaysupersedeanother.24
DworkinonJudicialInterpretation
AdvantagesoftheTheory
Dworkins rights based thesis has, as its central advantage, the role of principle in
judicial interpretation. As noted in the application of Dworkins thesis above, where
there are competing principles, it is invariable that the broader principle will
dominate, and form the basis of interpretation. Therefore the decision will not be
based upon a set of norms, but rather in response to principles that have always
existed.Hence,
interpretation is successful since it relies upon timeless principles, and there
aretwoelementsofasuccessfulinterpretation;
24 Dworkin,aboven27778.
25 Dworkin,aboven2,171.
26 Dworkin,aboven2,66.
87
DisadvantagesoftheTheory
CassSunsteinsInterpretativeTheoryofLawJudicialMinimalist
OutlineoftheTheory
Inhisinterpretivisttheory,legislaturesandotherdeliberativeforumsshouldresolve
most policy issues, not courts.29 In noting this, he rejects the Critical Legal Studies
emphasis on the indeterminacy of law and the role of judges in protecting and
advancing the interests of the powerful. Instead, Sunstein places great emphasis on
27 CassSunstein,ThePartialConstitution(1992),99.
28 CassSunstein,aboven27.
29 CassSunstein,DesigningDemocracy:WhatConstitutionsDo(2001).
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INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
judges being pragmatic and cautious, deferential to the political processes, anti
theoreticalandrespectfulofpriorcaselaw,tradition,dominantvaluesandthestatus
quo.
Sunsteinbelievesthatcourtsshouldplayonlyalimitedroleinthegoverningstructure
by using technical doctrines to avoid reaching substantive decisions judicial
minimalism.30Analogicalreasoningforcesajudgetoask:Howdoesthiscasecompare
withthosecasesthathavecomebefore?Sunsteinmaintainsthattheuseofanalogical
reasoning reduces the need for theorybuilding...by creating a shared and relatively fixed
background from which diverse judges can work31 and has the advantage of permitting
judgestodecidecasesonnarrowgrounds.
30
31
32
33
34
CassSunsteinOneCaseataTime(1999).
CaseSunstein,aboven30.
Sunstein,aboven29.
Sunstein,aboven27.
Sunstein,aboven29,111.
89
orientation,therighttodieandnewissuesoffreespeechraisedbytheexplosion
of communications technologies, he said. A Supreme Court that limits its
decisions just to the questions at hand might promote a democratic nations
highestaspirationswithoutpreemptingthedemocraticprocess.35
Sunsteinnotesthataminimalistcourtislesslikelytomakeerrors,and,aboveall,the
errorstheydomakewilllikelybelessdamagingtosocietyingeneral.Hearguesthat
minimalism promotes deliberative democracy by encouraging reasongiving.
Transferring important decisions suggesting minimalism is usually sound when the
Courtisdealingwithaconstitutionalissueofhighcomplexityaboutwhichmanypeoplefeel
deeplyandonwhichthenationisdivided(onmoralorothergrounds).36
Sunsteinsupportshisclaimsaboutdemocracyforeclosingdecisionsinhiscriticismof
RoevWade(1973)whichheseesascreatingdestructiveandunnecessarysocialupheaval,
speculating that a narrower opinion would have produced a range of creative
compromiseswelladaptedtoafederalsystem.39
Sunsteinoffersoverlappingreasonstosupportjudicialminimalism.First,hecontends
that courts are poor instruments of social reform. Study after study, he writes, has
establishedthatcourtsareineffectiveinbringingaboutsocialchange,pointingtoRoe
vWadetosupporthispoint.Roeincreasedwomensaccesstosafeabortion,butitdid
notdramaticallyincreasetheactualnumberandrateofabortions.40Fundamentally,
hecontendsthatRoeproducednegativepoliticalconsequencesbecauseitcontributed
tothecreationofthemoralmajority;helpeddefeattheEqualRightsAmendment;
preventedtheeventualachievementofconsensualsolutionstotheabortionproblem;
35
36
37
38
39
40
Sunstein,aboven29.
Sunstein,aboven29,5.
Sunstein,aboven29,14.
Sunstein,aboven29,40.
Sunstein,aboven29,114.
Sunstein,aboven30,at120.
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INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
Sunsteins sees his concept of judicial restraint as good, Sunstein argues since it
contributestosocialstability.Traditionally,judicialrestraintdenotesanunwillingness
to invalidate legislation. Sunsteins version of judicial restraint is epitomized by
judicial rulings that strike down laws when appropriate, but only for narrowly
conceivedreasonsthatdonotembodywideanddeepimplicationsforotherlegal
and publicpolicy issues. As noted, although he does not claim that the Supreme
Court should have upheld the Texasstatutein RoevWade,Sunstein is critical of the
Courtsreasoning.HemaintainsthattheCourtshouldsimplyhavestatedsincethe
pleadings indicated that the plaintiff had been raped that a state may not forbid a
womanfromhavinganabortioninarapecase,orthatastatemaynotbanallabortionsinall
circumstances.Sunsteinconcedesthatsuchadecisionwouldhaveleftwomensright
to abortion in considerable doubt, but he speculates that the democratic process
might have done much better with the abortion issue if the Court had proceeded
morecautiouslyandinahumblerandmoreinteractiveway.
EssentiallySunsteinsisaminimalistinterpretivetheory,advocatingminimaljudicial
interpretation,andutilizingtoolsotherthanrulestointerpretthelaw,ensuringthat
judgeshavelittlepowertoeffectsocialchange.
AdvantagesoftheTheory
Wishestoleavepolicymakingtothelegislature,andnottobepartoftherole
ofjudgesincontitutionalinterpretation;
Favours the one case at a time approach , not set precedent for similar but
distinctcases,similartocivillaw;
limitstheexerciseofjudicialdiscretionwherenorulescanbefound.Looksat
theevolutionoflawandhowcaseshavebeendecided,howthetexthasbeen
interpreted through time. This allows the Constitution to set out general
themesandguidanceforcurrenttimes;
Judicial role is most active and firm where democratic processes are most
likelytobreakdownorleastlikelytobereliable(eg:iftherighttovoteisat
stake or when vulnerable classesare at a disadvantage). This should be the
heightoftheoreticalambition;
41 Sunstein,aboven30,at122.
91
DisadvantagesoftheTheory
No precedent for others, is individual in each case. Thus the one case at a
time doctrine leaves justices isolatedand unable to rely on previous similar
decisionstoguidethejusticeininterpretation;
The theory relies on the interpretation of the court and the power of the
Chief Justice. eg Scalia J, and the Warren Court. This is demonstrable by
SunsteinsanalysisinOneCaseataTime(1999);
SunsteinsendorsementofreachingoutsidetheConstitutionforvaluestouse
in interpreting it leaves him vulnerable to the charge that he favours judges
makinglawoutofwholecloth;
His denial that this permits judges free rein makes him seem inconsistent,
denyingthatajudgespoliticalandsocialvaluespowerfullyinfluencehisor
herconstitutionalinterpretation;
Sunsteins refusal to root the values and perspectives he favors in broad
principles of political morality, combined with his insistence that the Court
develop constitutional doctrine by means of limited, narrowly conceived
rulings, opens him to the charge of favouring an ad hoc, unprincipled
approachtointerpretingtheConstitution.
ElysInterpretativeTheoryofLawJudicialMiddleGround
OutlineoftheTheory
InDemocracyandMistrust42,JohnHartElysprocessbasedexaminationofthejudicial
system identifies faults in the system that are the result of long standing disputes in
constitutionaltheory,resultingindiscrepanciesinjudicialdecisions.43
42 JohnHartEly,DemocracyandDistrust:aTheoryofJudicialReview(1980).
43 Ely,aboven41,1.
44 Ely,aboven41,4372.
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INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
Elys first proposal in approaching judicial review is determining values that are
acceptableandnecessaryinjudicialrulings.Henotes,
Acknowledging that judges will have their personal values, Ely discusses five
elementsthatshouldbeincorporatedorleftoutjudicialprocesses:
naturallaw,
neutralprinciples,
reason,
traditionand
consensus.
Ely is most concerned with natural law because of its vagueness, and tradition
becauseofthepublicsviewthatthepastiscontrollingthepresent.
45 Ely,aboven41,5.
46 Ely,aboven41,6.
47 Ely,aboven41,43.
93
The idea of natural law is relevant to both the Declaration of Independence and the
Constitution.However,asElynotes,thereisanimportantdifferencebetweenhowthe
notion functions in both documents. Natural law was used in the Declaration at a
time when there was no established positive law. Ely states, it was the quarrel with
BritainthatforcedAmericanstoreachupwardandbringnaturallawdownfromtheskies,to
be converted into a political theory for use as a weapon in constitutional argument.48
Therefore,naturallawwasinitiallyusedtoattackBritishpolicy.Instead,itbecamethe
frameworkoftheentireConstitution,thedocumentthatoutlinesallbasiclawforthe
country. Ely regards this as a particular problem in judicial affairs, as the only
propositions with a prayer of passing themselves off as natural law are those so uselessly
vaguethatnoonewillnotice.49ElyseesNaturallawassoambiguousthatitsimplywill
notsufficeintacklingallissuesofpublicpolicy.Nonetheless,itisawidelyaccepted
and ubiquitous notion, and Ely notes the universality of Natural law and its wide
application.
Tradition evokes a similar ambiguity from Ely, in that it can support virtually any
cause.Moreover,traditionisimmenselybroadwhenconsideringtheuncertaintiesof
whose tradition to consider, who may count in traditions, whether or not certain
traditions are relevant, and if so, who is to say? etc. He notes, youre in a position to
prove almost anything to those who are predisposed to have it proved or, more candidly, to
admit that tradition doesnt really generate an answerto justify overturning the contrary
judgmentofalegislativebody.50
In the 1978 case, Regents of the University of California v Bakke, issues of affirmative
actionandracialpreferencesdemonstrateproblemsoftradition.Withrespecttotheuse
ofracialdiscriminationtodisfavorminorities,ourcountryhastwoconflictingtraditions.51In
thecontextonminorities,Elyisconcernedwiththeuseoftraditiontodeterminethe
justiceofmanycauses.
48
49
50
51
Ely,aboven41,49.
Ely,aboven41,51.
Ely,aboven41,60.
Ely,aboven41,61.
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INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
Essentially,Elyarguesagainstinterpretivismandoriginalism,contendingthatstrict
construction fails to do justice to the open texture of many of the Constitutions
provisions.Atthesametime,hemaintainsthatthenotionthatjudgesmayinferbroad
moralrightsandvaluesfromtheConstitutionisradicallyundemocratic.Instead,Ely
argued that the Supreme Court should interpret the Constitution so as to reinforce
democraticprocessesandpopularselfgovernment,byensuringequalrepresentation
inthepoliticalprocess.
Ely sees the constitution as a naked document, one that is part of the machinery of
answers and a tool of government. The interpretation of the constitution should not
incorporate the use of principles and values. Rather, Ely notes that interpretation
should be part of the political process, with decisionmaking as part of the elected
offical political process, rather than that by an unelected judge. The value of elected
officials,notesEly,istheiraccesstoclearchannelsofpoliticalchange.Thisrelegates
judgestoapositionofvaluewherethereisanissueconcerningminorities.
AdvantagesoftheTheory
ThereareanumberofadvantagestoElystheory,including:
Ensures focus on the Constitution, as machinery for the decisionmaking
process;
Reinforces the democratic process by returning interpretation to elected
officialsratherthanunelectedofficials;
No reliance on broad principles or moral rights, as this places value laden
decisionsintothehandsoftheunelected,whichisundemocratic;
Thereisclearanddirectaccesstothepoliticalprocess,withoutthenoiseof
theprocessthroughtheunelectedofficialinthejudicialprocess;
Ensures that discrete and insular minorities are treated in accordance with
theirneeds.
DisadvantagesoftheTheory
ThedrawbackstoElystheoryinclude:
95
Focusontheconstitutionscouldbeseenaslookingback,ratherthanlooking
forward,thusretainingelementsofOriginalistinterpretation;
Concentratesinterpretationintothehandsoftheelectedofficialwithnoskill
orknowledgeofjudicialinterpretation.Atthesametimebindsthehandsof
thosemostcapableofinterpretingthelaw,withknowledge,training,skilland
experience necessary to ensure the rights of all are considered, and the
interpretationhasphilosophicalbasis,ratherthanmerelyapoliticalbasis;
Theneedsofallclassesofpersonsshouldbeconsideredintheinterpretation
and judicial review process, not merely the needs of a selected class. The
judicialreviewprocessshouldbeopenandapplicabletoall,notjusttosome.
ComparativeAnalysis
ELEMENT
DWORKIN
SUNSTEIN
ELY
Judicial Activity
Judicial
Interpretation
Robust
approach
interpretation
to
Pragmatic
and
cautious
approach to interpretation
Decisions
made
within
principles that have always
existed and are ageless, not
like norms that flux in
response to society
to
forcing Minimalism
Democracy
96
People
ratified
the
constitution.
Interpretation
belongs to the legislature , not
the
judiciary,
reinforcing
constitutional interpretation
Interpretation not for the
Judiciary. Rather there should
be active role of political
process
(legislature),
here
decision left to those who are
elected
INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
Use of Principle
Role of Policy
of
Role
of
the
Constitution
Essential
for
Judicial
Interpretation, and one of
the
cornerstones
of
interpretation.
People
ratified
the
constitution.
Interpretation
belongs to the legislature , not
the
judiciary,
reinforcing
constitutional interpretation
Use
Precedent
All of the interpretive theorists see the need for the interpretation of policy to be
retained with the legislature. Similarly, all recognise the huge importance of the
constitution in interpretation of law. Dworkin and Sunstein also recognise the
importance of Precedent, in varying degrees, in judicial interpretation, whilst Ely
relegatesprecedenttominimalvalue,insteadplacingahighvalueontheroleofthe
legislature.
ThisisconsistentwithElysviewontheroleofthejudicatureininterpretationofthe
law.Elyseestheplaceofthejudiciaryaslimited,placingalowvalueontheirrolein
interpretation, preferring to leave the interpretation to the elected official. This is a
view that is somewhat supported by Sunsteins judicial minimalist view of
interpretation, which notes that the judiciary should not employ principle to decide
cases,ratheratalevelofcommonground.Sunsteinsminimalistapproachencourages
judges to interpret within a framework, discouraging creativity in any form. Rather,
97
A recent Australian case illustrates how interpretive theories are applied in judicial
decision making, correlating the judicial reasoning of the Australian Justices with
ContemporaryJudicialReasoning.
TheCase:FardonvAttorneyGeneralofQueensland52
The scheme instituted under the Act is unique in Australia in that it makes a
prisonerwhohasbeenconvictedandsentencedforanoffenceliableforanorder
for further detention imposed by a Supreme Court judge, not because of any
further unlawful actions but because of the potential that the prisoner may
commitfurtherunlawfulactions.53
FactsoftheCase
Relatestoss8and13oftheDangerousPrisoners(SexualOffenders)Act2003(Q),
a State Act which gives the Supreme Court of Queensland the authority to
determinethecontinuedincarcerationofapedophilebeyondhissentence;
HighCourtofAustraliaDecisionin2004fullbench(7Justices)GleesonCJ,
Hayne, Heydon, Callinan, McHugh, Gummow JJ (majority) and Kirby J
(dissenting);
Relates to the continued incarceration of a sexual offender beyond his
sentence,ontheprobabilitythathewillreoffendinthecommunity;
Was challenged by Fardon on the right of the Judicature to continue
incarceration beyond sentence served, and Constitutional Validity of the
52 FardonvAttorneyGeneralfortheStateofQueensland[2004]HCA46(1October2004)High
CourtofAustralia.
53 McMurdoP,inFardon[2003]QCA416at[76].
98
INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
ELEMENT
DWORKIN
SUNSTEIN
ELY
Protection
of
the Community
from
the
Sexual
Offender
(unacceptable
risk)
Principle-based principle
of the protection of the
community over the right of
the individual to freedom
(Gleeson, CJ, Gummow and
McHugh JJ)
Constitutional
Validity of the
Act
Is an important principle,
but there are others that are
more important (Kirby, J) see
below, Acts Right to Detain
Is constitutionally invalid as
repugnant...vesting
Chapter
III power in Chapter II
bodies
Use of Principle
Minimal
judicial
interpretation, on a case by
case basis
Does
not
impair
the
institutional capacity of the
state supreme courts to
decide cases, and is best
fitted for the needs of the
state (McHugh J)
99
Acts right to
detain
the
Prisoner
Legitimacy
of
Act
is
protection of community so
therefore Act is valid. Is
response of the Legislature
with the assent of the people
through
the
constitution.
(Majority)
Role
of
Judiciary
Limited to interpretation on
a case by case basis
Legislature
is
more
important in interpretation
the
The above analysis illustrates the scope of judicial interpretation in The Australian
HighCourtatpresent.Allofthejudgesonthebenchareinterpretivists,ensuringthat
they consider factors other than intention, text, and structure when interpreting the
constitution.Howevertheirinterpretationrangesfromfaithfulapplicationofjudicial
activist theory as postulated by Dworkin, to the valid role of the legislature in
interpretinglaw,andeverythinginbetween.Byanalyzingthejudgmentsoftheseven
High Court Justices, it is possible to illustrate contemporary judicial interpretive
theory.
100
INTERPRETIVETHEORIES:DWORKIN,SUNSTEIN,ANDELY
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101