In this essay I propose to consider the ways in which the legislature, on the one hand, and judges, on the other, give expression to political and moral values by adoption of laws and the formulation of legal rules.
The simple picture is that the legislature adopts laws, to replace or supplement existing statutory and common law, while the judges interpret and apply those laws. The legislature is a body established precisely to make law. It is constituted so as to give effect to democratic principle and to afford representation for the people. It uses procedures designed to give careful consideration to a wide range of interests and representations. Judges, by contrast, represent no-one. The ambit of the issues they confront is narrower and in a certain sense arbitrary, framed by the particular cases which come before them and which they have to resolve. The scope of argument they hear and accept in resolving those cases is far narrower – constrained by authority and the rules which they are duty bound to apply.Footnote 1
But we all know that the picture is more complicated than this. The democratic basis for the legislature's operation is a strength, reflecting very important political and moral values. But it is also, under certain conditions, possible to regard it as a weakness. Political life can seem – particularly from the ivory towers of academia and the law courts – unduly subject to moral panics, disproportionate and over-hasty decision-making, and a sphere giving scope for demagoguery and dangerous populism. There appears to be a major dissonance between the idealised view of the legislature as the forum for considered debate on fundamental issues affecting societyFootnote 2 and the usual nitty gritty of political trading and compromise, which seems to involve the abandonment of principle.Footnote 3
When one is disenchanted with these aspects of democratic politics, the relative insulation of the courts from popular political pressure seems attractive. The courts can appear as the bearers and protectors of foundational political and moral principles which they should protect against incursions by the legislature. They have scope to be able to do this, albeit in a limited way, because no rule fully governs its own applicationFootnote 4 and statutory rules have to be interpreted and applied in novel or complex and uncertain situations. That is the function of the courts. Furthermore, they are the bodies which produce authoritative formulations of common law rules, and operate as mini-legislators in doing so and in moulding and developing the common law to adapt it to new situations and a changing society with changing needs and requirements.Footnote 5
It is, I think, possible to over-emphasise the objections to democratic decision-making based on its aspect of compromise and trading of interests. The underlying function of any political system is to secure order, preferably on the basis of legitimacy acknowledged by the people subject to rule under that system. Democratic systems secure order and achieve legitimacy in large part because they give scope for everyone to have a voice in saying how things should be arranged, and that provides some level of assurance that their interests will at least be taken into account, even if not followed on particular occasions. Democracy is capable of fostering a spirit of compromise, and compromise and tolerance are vital political virtues underpinning a well functioning polity, in which people can live together without resort to violence and oppression and can co-operate to advance the common good.Footnote 6
The legislature can be regarded as a site for compromise, part of whose role is to contain social tensions. The building of an acceptance within society of the authority of Parliament and the legislation passed by it (as preferable to resort to violence and political disorder and oppression) may be thought of as an important achievement.Footnote 7 I suggest that the importance of the virtues of compromise and tolerance has grown with the development of a society which is increasingly culturally fractured and pluralistic. Where there is not a common set of understandings on basic issues (such as was supplied for a long time by a strong Protestant tradition in BritainFootnote 8 and by common cultural understandings about the proper exercise of political powerFootnote 9), the need for widely accepted and acceptable communal decision-making processes increases. So does the need for formal legal rules, as distinct from informal cultural understandings, to govern social interaction.Footnote 10 Basic adherence to these processes underpins confidence in and respect for the laws which result from them.
Democratic politics also fosters the ability of the law to change and adapt to meet modern conditions. The greater the pace of change, and the greater the complexity of change and of its ramifications (e.g. industrialisation, economic growth and transformation and climate change), the greater is the need for decision-making processes which can take account of and adapt to such change when making laws. The courts are not well-equipped for doing this.Footnote 11 Also, the greater the scale of a social problem, the greater the need for wide co-ordination in society to deal with it (e.g. clean air and other environmental legislation and, now, attempts to devise a coherent response to climate change), which means there is a greater need for formally specified rules articulated as a general scheme understood in advance of action by individual actors. These are the hall-marks of a situation which calls for legislation.
The cardinal virtue of democracy, of course, is that it provides a practical mechanism of control of the rulers by the ruled (elections, and the need of those vying for political power to secure election), and hence a safeguard against tyranny and arbitrary rule and a motive for the rulers to seek to promote and respect the interests of the ruled. Democratic law-making can also be an effective way in which the power of entrenched elites can be challenged and in which public support can be mobilised to recognise and protect individual rights which had hitherto been overlooked or ignored.Footnote 12
Democracy is not perfect. One should recognise that a choice of democratic decision-making procedures is a choice to give priority of certain political and moral values over others. Also, there is a wide range of different forms of democratic decision-making procedures and scope for balancing and integrating them with other decision-making procedures and bodies which give expression to different values, in blends which can be adjusted to some degree to counteract weaknesses which can arise from more pure forms of democracy.Footnote 13 One thinks here of the role of a civil service inculcated with an ethic of independence, expertise and public service and of the role of an independent judiciary. There will always be scope for argument about whether the particular balance of powers and decision-making within a polity is right, or sacrifices too much of one set of values in seeking to prioritise another set. Circumstances will change and affect the terms of debate.Footnote 14
One area where some focus on the procedures adopted within the legislature for making law is appropriate is in appreciating the care that is taken to try to take account of the range of considerations which might have a bearing on the content and form of a law which it is proposed should be made.Footnote 15 The greater the care, the greater the confidence which one might feel in the appropriateness and legitimacy of the law which is the product of that process.Footnote 16 Individuals have to make their own judgments about what set of arrangements they prefer, and where they are prepared to make a commitment to give their political support to a constitutional setup.
Judges, however, when acting in their capacity as such, do not have the same freedom in this regard that an individual has. They are duty bound to apply the law, namely a formally and publicly identified set of social rules and principles. They have only a very limited power of autonomous decision-making. In relation to interpretation of statutory provisions, they are constrained by rules of language and more or less well-identified background presumptions which condition the way in which it is presumed that Parliament intended a statute to be read.Footnote 17 In relation to the development of the common law, they are not unconstrained legislators.Footnote 18 They have a very limited power to develop the law in accordance with reasonably well-understood underlying principles, adapting it to new circumstances or improving formulations of the common law in a process of giving those principles better expression in a process of the law “working itself pure”, in Lord Mansfield's phrase.Footnote 19
In both cases it can accurately be said that the courts have a power of legislation, but it is a severely circumscribed power.Footnote 20 In the case of interpretation of statutes, it is the power to spell out how the statute should apply when confronted with the particular case. The judges operate in a sort of partnership with Parliament, to carry through the intention of Parliament as identified by them to the outcome of the particular case which Parliament may not have had directly in mind when it legislated. The judges complete the law promulgated by Parliament by applying it.
In the case of the development of the common law, the position is broadly similar, but the task of the judge is defined by reference to identifying and applying in particular cases the underlying common law principles, distilled from previous judicial statements and formulations. In this context the judge is working within an established tradition, where society implicitly accepts that a cadre of judges and lawyers should have authority to work through and develop the principles which comprise the tradition, but do not have authority of their own to depart from it.Footnote 21 The fostering of a tradition maintained within a legal culture allows for appeals to reasonably objective standards maintained within the tradition to resolve disagreement.Footnote 22 Here, the values of the legal culture in which the judges and lawyers are inducted and which they are committed to upholding have been found over time to be acceptable to the polity as a whole, so that this measure of authority is reserved to them.Footnote 23 But in part, the legitimacy of this delegation of decision-making authority to the caste of judges and lawyers is based upon the modesty of the claims which it makes for itself.
Another dimension which we should consider is the fashionable topic of the rule of law. I suggest that respect for law in large part depends upon respect for the processes by which law is made. Where there is a tension between the law-making role of the legislature and that of the judges, the sense of legitimacy which the judges may feel in asserting their own role may reflect the strength or weaknesses of the processes within the political arena for making law.Footnote 24 Here again, the processes by which laws are made through the legislature need to be understood and constantly kept under review by the legislature and government. I suggest that lawyers' understanding of these processes is generally rather poor.Footnote 25 I also suggest that an important part of the understanding of these processes which was formerly secured within the court system overall by the incorporation of the highest court into the legislature, with its members being in certain respects active members of the House of Lords, will – with the creation of the separate Supreme Court – not now be available. As a result, it may be necessary for more active steps to be taken by lawyers and judges to seek to gain at least a basic understanding of what is involved in making the laws which they have to apply – and which the courts may be called upon, in substance, to overrule if making a declaration of incompatibility.Footnote 26
The role of the courts in relation to the interpretation of legislation is significantly strengthened when there is a background of EU law or the legislation operates in a context in which Convention rights under the European Convention on Human Rights and the Human Rights Act 1998 are implicated. In both cases, the courts have a duty to interpret legislation “so far as possible” to accord with EU law and Convention rights.Footnote 27 These obligations go well beyond conventional domestic law modes of interpretation.Footnote 28 They may mean that the same statutory provision has different meanings in different contexts.Footnote 29 But the exercise for the courts still remains one of interpretation of the statutory provision in question, albeit reading it in the light of a particularly strong form of presumption as to its intended effect.Footnote 30
Some basic points, then, may be made in the light of this discussion:
1) Parliament operates as a multi-member body. MPs vote for different reasons, which they may not declare. There is no obligation on anyone in Parliament to state reasons for adopting legislation, and no-one is empowered to do so definitively and authoritatively. The courts are involved in interpretation of legislation by the construction of a picture of unified intention on the part of Parliament, drawing on established traditions of interpretation.Footnote 31
2) The main factors to which a judge looks in interpreting an Act of Parliament are the language used, the scheme of the Act and the purpose the Act is designed to achieve (the mischief it is aimed at). These all blend into each other. On a difficult point of interpretation, an overall evaluative judgment by the court will be required.
3) In order to identify the purpose which an Act is designed to achieve, a judge may look at the pre-existing law, White Papers (i.e. the Government's published proposals for changing the law) and – in very limited circumstances – statements in Parliament by the promoters of a Bill.Footnote 32
4) The interpretation of an Act may be radically affected by judicial identification of background understandings about how legislation should be drafted, which are thought to be shared by the courts and Parliament – the so-called ‘principle of legality’ (interpretation by reference to respect for underlying constitutional principles). Unless such principles are excluded by clear language or necessary implication, a statutory provision may be “read down”, to limit its effect by reference to such constitutional understandings; or words may be “read in” to a provision to ensure that the Act will be read in conformity with such understandings. In order for the draftsman to know precisely what effect he will achieve by drafting in a particular way, he needs to have a good understanding of what those understandings are and how the courts will react to them. But the criteria are not always clear, and there is an element of judicial inventiveness in identifying relevant principles of construction.Footnote 33
5) EU law – By operation of the European Communities Act 1972, the courts will “read down” legislation and “read in words” to ensure compatibility of domestic implementing legislation with EU laws, so far as it is possible to do so.Footnote 34
6) Section 3 of the Human Rights Act 1998 requires a court to read and give effect to legislation in a way which is compatible with Convention rights, so far as it is possible to do so. Here, as with the Marleasing principle, the court operates as a constitutional court, involved in the construction of legislative meaning in the light of international norms. There is, in a sense, a delegation of legislative authority, albeit one built into existing traditions of legislative interpretation. It is an approach to interpretation which involves some sacrifice of rule of law and democratic principles (i.e. a reduction in the authority of the draftsman and the text of the statute and an increase in the interpretive powers of the courts) in the interests of compliance with human rights standards.Footnote 35
In the light of the Human Rights Act in particular, something should also be said about “bright line” rules. There is a particular challenge for the modern draftsman in navigating the legal minefield of strong interpretive rules applicable by the courts, where the object is to produce clear, easy-to-understand and easy-to-apply rules, capable of application by many officials across a range of situations. When can “bright line” rules, which eliminate discretion at the point of judging, be justified in light of proportionality principles? The scope for Parliament to legislate using “bright line” rules is itself an important issue affecting the balance of practical decision-making power as between the courts and Parliament. If, in light of Convention or EU rights, it is said to be disproportionate to operate a simple bright line rule laid down in advance, and that it is necessary to operate instead a highly particularised decision-making process directed to the specific circumstances of the individual case, then the practical effect is that laws have to be formulated in a way that gives the courts greater decision-making powers. Suffice it to say here that proportionality principles tend to create a strong pressure in this direction. This pressure tends to emphasise the partnership of courts and legislature which is increasingly required for the construction of the law which is applied to particular cases on the ground.Footnote 36
In conclusion, there is – particularly with the operation of the Human Rights Act and the impetus given to the principle of legality in recent years – a new emphasis upon a partnership between courts and the legislature in constructing the ultimate meaning to be given to a statutory provision. It is an enhancement, in new circumstances, of a function of the courts which has always been present.Footnote 37 With section 3(1) of the Human Rights Act, the courts have been given a function – specifically mandated by Parliament – to import so far as possible the values inherent in the European Convention on Human Rights and the Human Rights Act when constructing the meaning of a statutory provision. This enhanced role for the courts makes considerable sense in this area. The courts are well-placed to make the legal evaluation of what Convention rights require in a particular context – and it should be emphasised that it is a legal evaluation, involving interpretation of authoritative judgments of the European Court of Human Rights.Footnote 38 Given that Parliament wishes its legislation to operate, so far as possible, compatibly with those rights, with the values underlying a particular piece of legislation being given effect by being moulded around and in conformity with Convention rights, partnership with the courts in the consideration of the detailed meaning of legislation offers a practical method to secure that outcome.Footnote 39