Again, what the Emperor determines has the force of a statute, the people having conferred on him all their authority and power by the ‘lex regia’, which was passed concerning his office and authority. Consequently, whatever the Emperor settles by rescript, or decides in his judicial capacity, or ordains by edicts, is clearly a statute: and these are what are called constitutions.
(Institutes of Justinian, 2.6)
Such was the unhappy condition of the Roman emperors, that, whatever might be their conduct, their fate was commonly the same. A life of pleasure or virtue, of severity or mildness, of indolence or glory, alike led to an untimely grave; and almost every reign is closed by the same disgusting repetition of treason and murder.
(Gibbon, Decline and Fall of the Roman Empire, Ch. 12)
De par le roi.
(The opening of royal arrest warrant called lettre de cachet (‘letter of the signet’) – ‘In the name of the king’. The lettre concluded: ‘Car le roi le veult’. ‘For the king wills it.’ It derived in the Middle Ages in France from the Roman law maxim ‘Rex solutus est a legibus’ – ‘The king is released from the laws.’)
The king is below no man, but he is below God and the law; law makes the king; the king is bound to obey the law…
(Bracton, On the Laws and Customs of England, Vol 1, 38 (Harvard Edition, commenting on the effect of Magna Carta)
1
When Lord Clark, the art critic, began his series Civilisation, he referred to a remark by an art critic. His confessed difficulty in defining ‘civilisation’ showed that he would be looking at the issues primarily from the art of those people or states that he was discussing.
How might a judge and jurist – someone like Lord Sumption – have approached the inquiry?
Lord Clark chose to start at about the end of the Roman empire. Back then, people like Lord Clark viewed ancient Greece and Rome as civilised, notwithstanding the dependence of each on slavery and empire, and their failure to see the dignity inherent in each of us merely because we are human. And notwithstanding the failures of each to maintain settled governance.
Well, if a judge and jurist wanted to start an inquiry into civilisation in Europe in the Middle Ages, they may well have started with the quote from Bracton above to the effect that the king is under the law because the law made the king. And they would have then or later dwelt at length with the principal source of that observation then – the famous charter called Magna Carta. It’s not just that this to our ears sounds more solid than that the king is there by the grace of God. It’s that there was a compact between the king and the people prescribing his duties and their rights.
The Great Charter may be more revered in the US than the UK, but it would be fundamental to the inquiry into what most people now would regard as the criteria of ‘civilisation’. In looking at those regimes that we least admire – like Russia, China, or Iran – we look at the way they protect the rights of citizens against government first, and then the way they provide stable government, and then the way they look after those not doing so well. It’s not much good having a Ph D on the smile of Mona Lisa, or the downward glance seen in young women by John Keats, if you can be arbitrarily arrested by goons in black leather just before dawn, or if a superior can claim the right to sleep with your bride to-be before you.
While some people refer to the phrase ‘human rights’, those brought up in the Anglo-American legal tradition tend to refer to ‘the rule of law.’ You may be sure that those regimes that I referred to will have some fine sayings about ‘human rights’. It’s just that they have never been brought up to respect or enforce them. They have never developed the state of mind that is required for that purpose. And if history shows one thing, it is that such a state of mind cannot be bought off the shelf. It may take a number of generations.
So, we here in Australia have been brought up under the English common law tradition, and we have the benefit of comparing our acceptance of the common law to that of the U S. Most former colonies of the English follow a similar pattern.
Most of the rest of the world follows the Roman Law model. It was developed in ancient Rome over a period of more than one thousand years, and its settled form came in compilations of Justinian when Rome was falling. Most of Europe has legal systems based on the Roman Law. For example, France and Germany have civil codes, a course not followed by those who prefer the common law model.
How do the two legal systems that cover the world now compare in treating the rule of law?
2
Sir Owen Dixon is by common consent, and not just here in Australia, regarded as the greatest judge and jurist that this country has produced. If you want to see Dixon as lawyer, you will go to his judgments – if you have the training. If you want to see Dixon as a jurist, you will go to his papers.
One of them is headed The Common Law as an Ultimate Constitutional Foundation. It is a descant on how Dr W E Hearn, whom Dixon greatly admired, began his book The Government of England. The first sentence reads ‘The English Constitution Forms part of the Common Law.’ And Sir Owen brought all the learning of the common law – what he after Maitland called ‘the high technique’ – to his analysis of constitutional issues.
In another paper, Two Constitutions Compared, Sir Owen referred to the Australian preference for the supremacy of parliament in looking at the capacity of the US Supreme Court to overrule Congress. But before doing that he said this:
We all accept without question the Anglo-American conception of the rule of law. Deeply as it enters into our habits of thought about the relations of the individual to the State, we seldom reflect that this conception is foreign to the Roman system. It is a conception that belongs only to the common law, by which it has been preserved and transmitted. It is a conception without which the theory of a rigid Constitution could never have grown and that theory is indispensable to federalism as we know it.
Well, if what we call the rule of law is fundamental to our understanding of civilisation, where does that leave Europe?
The answer is that prior to the restructuring of Europe after 1945, its position was fundamentally different to the Anglo-American model that we follow. And you only have to look at the citations at the head of this note to see how different that model was. The gap between the common law and Roman Law models was deeper than the Atlantic.
3
Before looking at the background to this schism that splits the juristic world, we might recall what we mean by the phrase ‘the rule of law.’
The conception was spelt out by A V Dicey in The Law and the Constitution in 1885. Dicey saw three elements.
First, the government cannot act against anyone except under a law and by due process. There can be no arbitrary government action. This was not novel. Aristotle said that ‘the rule of law is preferable to that of any individual.’ Another Chief Justice, Sir John Latham, said: ‘It is not the English view of law that whatever is officially done is law – a view adopted by some jurists on the Continent of Europe – on the contrary, the principle of English law is that what is done officially must be done in accordance with law.’ You will recognise in his Honour’s remark about European jurists the statement about the law-making powers of the emperor at the head of this note.
Secondly, no one is above the law – all are equal before it. This too is contradicted in the Institutes.
The third is unique to the common law. It was never part of the Roman law model and it follows at least in part from the role of the common law underpinning the English constitution. The constitution is not so much the source as the consequence of rights of individuals. In the typical European scheme, it is the other way around – private rights derive from public institutions. The distinction is elemental.
We should here mention another element. In the paper, The Law and the Constitution, Sir Owen remarked that three rival conceptions of the legal doctrines embodied ‘in the Revolution Settlement’ (the Bill of Rights, 1689) became reconciled. They were the supremacy of the law; the supremacy of the Crown; and the Supremacy of Parliament. It was the last that the framers of the Bill of Rights were most concerned with. Parliament was made supreme over the Crown. That is the touchstone of the English constitutional settlement.
Two things follow. For the three adverse regimes I mentioned, all that would be gibberish. Secondly, knowing what we do about the US, and especially over the last seven years, they do things very differently – and have departed radically from the parental model.
4
We might then reflect on some of the fundamental differences in the way people see the world – between those in England, and those on the other side of the Channel, say, France and Germany. The common law did not evolve from nothing; nor did the adoption of codes after the Roman model by France and Germany.
The Roman law derived from codes and codification was its preferred mode of growth. Roman lawyers look for elegantia iuris – formal elegance. The French Code Napoléon is an example.
The makers of the common law did not go in for grand designs, and codification. It arrived, as if by accident, over a long period– the product of trial and error in applying the doctrine of precedent to events that unguided chance throws up.
The difference is reflected in the philosophies prevailing on each side of the Channel. One is the rationalist view of the world – built around theory. The other is the empirical – built around hard experience. Ultimately that philosophical divide is reflected in the logical divide between deductive and inductive reasoning. For common lawyers, there is much truth in the well-known statement of Oliver Wendell Holmes that the ‘life of the law has not been logic, but experience.’ He also said that ‘the law is administered by able and experienced men who know too much to sacrifice good sense to a syllogism.’
Those statements are very large. Here is an example from the histories of France and England. In 1789, The Social Contract by Rousseau – whom Carlyle called ‘the Evangelist’ – contained high theory that engaged those in leading the French Revolution and creating the French Bill of Rights. In 1689, the English just got rid of the Stuarts and then went on with their lives. As it happened, a philosopher, John Locke, wrote a rationalisation after the event. Which almost no English MP has ever heard of. That revolution was successful. The English never had another – and Macaulay purred over that success. The French were in for a century of agony, and people lost count of their models of government.
The two worlds don’t mix well. When Americans or Australians seek to mix a constitutional absolute with the common law, it is like dumping a lamb shank on a pavlova. Look at the trouble we had with s 92, and that the Americans have with the Second Amendment. There is simply no such issue in the UK. They refuse to let a syllogism, much less ideology, trump sense. The question is simply: What works better?
English and Australian lawyers have an unashamed want of respect for intellectuals or philosophers – and, on a bad day, even for scholars. Americans at least tend to look up to legal scholars. This may be related to the absence of a separate bar – which we could not contemplate. (And nor could our judges.)
The laws of England mainly derived from decisions of the judges with occasional inputs from the parliament – although that ratio is changing. The common law derived from custom and precedent and at once underlay but could be overridden by parliament. The law of France and Germany tends to derive from legislated codes with occasional contributions from judicial precedent. One tends to grow from the ground up; the other is what we now call top-down.
English lawyers were apprenticed – the word comes from the French apprendre (‘to learn’) – on the job. The profession controlled both the education and certification of all lawyers. The Inns of Court carried so much more clout than any bureaucratic form.
The common lawyers – at both the bar and the bench – often allied themselves with parliament against the Crown. This de facto alliance is fundamental to our understanding of the English revolutions of the seventeenth century when the basis of the English constitution was settled.
This movement was not matched across the Channel. The importance of the part played by English lawyers in shaping their nation only becomes apparent when you compare them to their colleagues in France and Germany and the rest of Europe. The English lawyers were looking at the double – rugged individuals professionally and incestuously united constitutionally.
The teaching of law at university began relevantly recently in England. Even then, we know they only really get to learn on the job. While lawyers may have been prominent in the French and other European revolutions, they were not involved as a professional body as they were in England. And it is only recently that judges in some European countries have been seen to be independent. To an outsider, the range of ‘independence’ looks very large. It is zero in the three regimes I referred to.
Our judges usually come from the bar. European judges are educated and trained as judges from the legal cradle. They may not have years of private practice. They are officers of the state rather than members of an independent profession. The view from the bench must therefore be very different.
And these fundamental differences underlie the distinction between two modes of process – the adversarial and the inquisitorial.
5
To repeat, there are large statements there. We are, after all, looking at 3000 years of history, and the common law has only been in the race for the second half of that time.
But there is no real dispute about the main planks in the two platforms. And we have seen enough to warrant the proposition that what we call the rule of law was developed in the common law and not under Roman law.
We may just add that the common law from the beginning largely turned upon issues of process. It was as if a right flowed from a remedy rather than vice versa. That is an affront to European logic, but they never got the writ of habeas corpus – which is fundamental to the English conception of the rule of law.
So, the common law underlies the constitution. It says that parliament is supreme, which logically entails that parliament can and does change the common law – or might abolish it entirely. That is a very unsettling notion for the logically precise. Hilarious even.
The difficulty that Europeans have with the former position of Lord Chancellor comes not from logical analysis, but a subscription to the doctrine of separation of powers. The Lord Chancellor sat on the bench, in Cabinet and in parliament. Heresy!
Worse, the king heads not just the executive but the Church of England. Well, so far as I can see, religion has little or no impact on English politics. The position in the U S is very sadly very different.
Dicey looked at the treatment accorded to government officials in France under the droit administratif and concluded by saying that ‘the rule of law is an idea not so much unknown to as deliberately rejected’ by the constitution-makers of France.
For the supremacy of the law of the land means in the last resort the right of the judges to control the executive government, whilst the separation des pouvoirs means, as construed by Frenchmen, the right of government to control judges.
And that looks to be precisely the issue facing Israel as we speak.
The supremacy of parliament is integral to the very notion of democracy. Sir Owen Dixon said:
It is not the least of the achievements of the common law that it endowed the Parliament which was evolved under it with an unrestricted power of altering the law. On the Continent, the lawyers were antagonistic to representative assemblies. The courts of law persisted in maintaining the predominance of the law over the authority of such assemblies. By doing so, the Continental lawyers contributed to the growth of absolutism. But in England, the contrast was great. The supremacy of the law upon which Bracton had insisted had ceased by the time of the Stuarts to mean the supremacy of a law which could not be changed. It had become a supremacy of law which parliament could alter if it chose.
It will not therefore surprise you to learn that Sir Owen Dixon told the American Bar Association that one view held in Australia was that ‘checks on legislative action were undemocratic, because to adopt them argued a want of confidence in the will of the people.’
And the corollary of that proposition must be that if you allow the judges to check parliament because of a want of faith in the parliament and its process, you must have full faith in the judiciary and its process. That sadly does not look to be the case in the U S at present.
6
The subscription of, say, the U S and France to the doctrine of the separation of powers exemplifies the difference in the two ways of thinking I have sought to describe. It shows a preference for theory or form over experience and sense.
We have seen that Dicey thought that the French subscription to the separation des pouvoirs entailed that the French rejected the notion of the rule of law. Sir Owen Dixon was hardly less emphatic about the U S. His Honour said that ‘a curious and surprising departure from, indeed violation of, British constitutional practice and theory is the adoption of separation of powers…. The artificial and almost impractical classification was opposed to British practice and theory.’ (I might question that last term. Holmes thought that the English never had a theory about their legal settlement.) He thought the reason that the doctrine had not taken hold here was ‘judicial incredulity.’ ‘Legal symmetry gave way to common sense.’
His Honour expressed that incredulity in 1935. His reaction now hardly bears thinking of.
7
The role of the common law in forming and sustaining the English constitution has affected the way our High Court interprets the constitution. It tends to be more legalistic than the Supreme Court of the U S in its approach, and its members have deployed their learning from their practice at the bar and, for at least some, their prior time as trial judges in common law and equity, to assist in what they see as a legal interpretation of the Constitution. That involved them in directing juries in civil and criminal cases.
That is no longer the case in the High Court. All its members except the Chief Justice have come from the Federal Court. That court was not set up to hear and determine actions at common or in equity, and it was not set up to conduct trials by jury. We may doubt how many jury trials, civil or criminal, the present members of the court have participated in either as counsel or judge.
To put it softly, that is problematic. And if the experience of the Federal Court in trying libel actions is any gauge, it could be a lot worse.
8
May I go back to our notions of civilisation? Lord Clark did not feel the need to dilate upon Magna Carta. The longer I live, the more I think that it was one of the most momentous events in the history. It is the foundation stone of what we know as the rule of law. Typically, the English glossed it by saying there was nothing really new – this was just a confirmation of. long held liberties. We have learned to take with a grain of salt what the English say about peak events in their legal history, but if most of their growth came from evolution rather than evolution, this was an exception.
The role of the common law in developing the English constitution and the rule of law is too little noticed, and it may be fading from view in high places. Readers can draw their own comparisons between the political stability over time of France, Germany and Italy on one side, and England on the other. When I there refer to ‘political stability’, I refer to the capacity of its government to protect its own people and to get on with its neighbours.
And readers can also draw their own conclusions about the effects of U S deviations from the common law model in deference to dogma about separation of powers. Does anyone really think that the U S would have suffered the calamity of Donald Trump if he had been required to be elected to Congress and to sit in and be daily questioned about his conduct by members of Congress as part of what we call ‘responsible government’?
The moral, intellectual, and political impairment of the U S is deeply troubling. Professor Ames of Harvard is well remembered for his remark that the ‘English law is more German than the law of Germany itself.’ (He was of course referring to the Anglo-Saxon part in the development of the common law.) With the gyrations of history, we are at the point where the rule of law is less subscribed to in the U S than it is now in Germany.
NOTES
Clark on civilisation: Kenneth Clark, Civilisation, Folio, 1999, 13-14.
Dixon on The Common Law as an Ultimate Constitutional Foundation: Jesting Pilate, Law Book Co, 1965, 203. (Later citations will be to ‘JP’.)
Dixon on ‘high technique’: JP, 153.
Two Constitutions Compared: JP, 100, at 101.
Dicey and the rule of law: A V Dicey, The Law of the Constitution, Macmillan & Co, 1885, 172,177 and 208.
Dixon the Revolution Settlement: JP, 39ff.
Holmes on logic: The Common Law, Little Browne & Co, 1881, 1, 36.
Dicey on French rule of law: above, 398.
Aristotle on rule of law: Politics, III.6.
Latham on European comparison: Arthur Yates & Co v Vegetable Seeds Committee (1945) 72 CLR 37,66.
Dixon on supremacy of parliament: JP, 40.
On checks on legislature: JP, 102.
On separation of powers: JP, 52.
Holmes on absence of theory: Gibson, The Common Law, Australian Scholarly, 2012, xii.
Legalistic approach of the High Court: JP, 104, 247.
Ames on law of Germany: Lectures on Legal History, Harvard, 1913, 34.