LEGAL INDETERMINACY MADE IN AMERIC.docx

LEGAL INDETERMINACY MADE IN AMERIC.docx

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LEGALINDETERMINACYMADEINAMERIC

LEGALINDETERMINACYMADEINAMERICA:

U.S.LEGALMETHODSANDTHERULEOFLAW

JamesR.Maxeiner[FNa1]

Copyright?

2006byValparaisoUniversityLawReview;JamesR.Maxeiner

41Val.U.L.Rev.517

I.INTRODUCTION

Noteverylegalquestionhasasinglerightanswer.Inanutshell,thatistheproblemoflegalindeterminacy.[FN1]Legalindeterminacythreatenstheruleoflaw.ProfessorMichaelDorfobserves:

"Iftheapplicationofarulerequiresdeliberationaboutitsmeaning,thentherulecannotbeaguidetoactioninthewaythatacommitmenttotheruleoflawappearstorequire...."[FN2]

Legalindeterminacyisapersistentproblemoflegalsystems.Thereis,astheGermanlegalphilosopherGustavRadbruchexplained,anantimonyamongjustice,publicpolicy,andlegaldeterminacy."Legalcertaintydemandspositivity,yetpositivelawclaimstobevalidwithout*518regardtoitsjusticeorexpediency[i.e.,publicpolicy]."[FN3]Itseemsthatthereisnowaytoattainabsolutelegaldeterminacywithoutunacceptablesacrificesinjusticeandpolicyinterests.Theindeterminacyproblemis,asDorfputsit,"builtintothenatureofthelegalenterprise."[FN4]

LegalindeterminacyisaperennialissueinAmericanlaw.[FN5]InthefirsthalfofthetwentiethcenturyAmericanlegalrealistsdevelopedittochallengeformalism.[FN6]Inthesecondhalf,proponentsofCriticalLegalStudiesusedittoattacktheruleoflawitself.[FN7]Inthiscentury,ProfessorFrankUphamconcludedthatnotwithstandingAmericanproselytizingfortheruleoflaw,thestructureoftheUnitedStateslegalsystemmakesitsrealization"literallyimpossible."[FN8]

ContemporaryAmericanjurisprudentialwritingonindeterminacytakestheperspectiveofappellatejudges.[FN9]Itfocusesonconstitutionalandlegaltheory.[FN10]Itasks:

doeslawbindjudges?

Ifnot,howcanjudgesjustifydecisionsbasedonambiguouslegaltextsaslawapplicationratherthanaslawcreation?

[FN11]Thisaspectoflegalindeterminacyhaslongbeen*519acontroversialpoliticalissueinAmerica.[FN12]Judicialdecisionsareseenaslegitimateiftheyaccuratelyapplylaw,butasillegitimateiftheyreflectnon-legalfactors.[FN13]

ProfessorDorfsayscontemporarytheoryhasreacheda"deadend."[FN14]ProfessorsJulesColemanandBrianLeiterobserve:

"Onlyordinarycitizens,somejurisprudes,andfirst-yearlawstudentshaveaworkingconceptionoflawasdeterminate."[FN15]TheAmericancredohasbecome,saysProfessorPierreSchlag:

"Lawisprincipallywhatcourtssayitis."[FN16]Becausesomelevelofindeterminacyisinevitable,maybenothingcanbedonetoreduceindeterminacy.

Resignationhassetin.AccordingtoProfessorSchlagandhiscolleagues,"agreatmanyleadingAmericanlegalthinkershavenowmostlyabandoned'doinglaw."'[FN17]Unabletoovercomeaproblem,theywanttomoveontothingsthattheycansolve.ProfessorDorfsaysthattherearemoreimportantthingstoworryaboutthanjustifyingjudiciallawmakingaslawapplication.[FN18]Copewithit,America.[FN19]"[W]eareallrealistsnow."[FN20]Butordinarycitizenshavenotgottenoverit;determinacyisanimportantelementoftheruleoflaw.

*520ThethesisofthisArticleisthattheindeterminacythatplaguesAmericanlawis"MadeinAmerica."Itisnotinherentinlaw.Rather,itisaproductofspecificchoicesoflegalmethodsandoflegalstructuresmadeintheAmericanlegalsystem.

Americanlegalmethodsandstructureshavenotmasteredthetransitionfromtheworldoftheeighteenthcenturytothatofthetwenty-first.Somelegalmethodsarestuckinthenineteenthcentury.Othershaveputnineteenth-centurymethodsbehindthem,onlytoadoptmethodsevenlesssatisfactoryfromthestandpointoflegaldeterminacy.

Thecontemporarydiscussionoflegaltheoryacceptslegalindeterminacyasaninalterablefact.[FN21]Ithasmissedanopportunitytoinformpracticeofalternativesthatwouldenhancedeterminacy.Practice--unawareofalternatives--isresignedtothepresentunsatisfactorystate.

Thetheoreticaldiscussionpayspracticenomind.Thefocusonwhetherlegalrulescontrollawmakingbyappellatejudgesaddressesanimportantquestion,butisdistantfromhowlegalindeterminacyimpactspractice.[FN22]Thatmuchcouldbedonetoenhancedeterminacybecomesapparentwhenonetakesintoaccounttheperspectiveofthosewhoaresubjecttothelaw.

PartIIsetsouttheapproachofthisArticleandexplainshowtheconceptoftheruleoflawrequiresthatrulesguidethosesubjecttothem.Itdiscussestherelationshipsamongtheruleoflaw,legalmethods,andindeterminacy.PartsIII,IV,andVsurveyindeterminacyinmethodsoflawmaking,law-finding,andlaw-applying,respectively.PartVIshowshowruleconflictsresultfromdeficientcoordinationamonglawmakers.Finally,PartVIIrecommendslookingatthelegalmethodsofotherlegalsystems.

Throughitsexaminationoflegalindeterminacyandlegalmethods,thisArticleseekstoraiseawarenessoflegalmethodsgenerally.Itdiscussesthevarietyoflegalmethodsthatareavailable.Specifically,thisArticlesuggeststhatthechoiceofmethodshasprofoundeffectsthroughoutthelegalsystem.[FN23]Throughbreadthofcoverageitseeksto*521showhowpervasiveself-inflictedindeterminacyisinordertoshowtheneedforfundamentalchange.

Toachievebreadthwithinthecompassofonearticle,compromisesarenecessary.ThisArticledoesnotmeasurelevelsofindeterminacyorevenspeculatewhethersuchmeasurementispossible.ItdoesnotundertaketoestablishthattheAmericanlegalsystemishighlyindeterminateoreventhatitismoreindeterminatethanotherlegalsystems.ItdoesnotpurporttodiscussallsourcesoflegalindeterminacyorevenallthatarepeculiartotheUnitedStates.ItdoesimplicitlyacceptthatindeterminacyintheAmericanlegalsystemissubstantialandisgreaterthanneedbe.Butitdoesnotevaluatewhetherthecoststhatindeterminacyimposesareoutweighedbycountervailingbenefits.Finally,thisArticleacceptscertainfundamentalassumptionsoftheruleoflawasdesirable,asPartIImorefullydetails.

II.THERULEOFLAWANDLEGALMETHODS

Theruleoflawpromiseslegaldeterminacy.Inpopularuse,thetermoftenincorporatesidealsofaliberalanddemocraticstate,suchasdemocracy,constitutionalism,humanrights,andafree-marketeconomy.Assuch,itisacontestedconceptthatmeansdifferentthingstodifferentpeople.[FN24]ThisArticleusestheruleoflawinaformalandnarrowsense.Usedinthismanner,theruleoflawfocusesonprinciplesthatdirectandlimitthemakingandapplicationofsubstantivelaw.[FN25]

Inaformalsensetheruleoflawisalawofrules.[FN26]Whentheruleoflawisconfinedtoaformalsense,itisalesscontestedconcept.*522Specifically,theruleoflawinaformalsenserequiresthatlawsbe:

[FN27]validlymadeandpubliclypromulgated,ofgeneralapplication,stable,clearinmeaningandconsistent,andordinarilyprospective.[FN28]Inthissense,itimposesrequirementsontheapplicationoflaw:

[FN29]lawapplicationshouldbeimpartial,providepartieswhoaresanctionedanopportunitytobeheard,anddeliverpredictable,consistentdecisionsinindividualcases.[FN30]

Rulesandtherequirementsoftheformalruleoflawhelplawfulfillanorderingfunction.Theymakevoluntarycompliancewithlawpossible.Theymeanthatlawcanguidethosesubjecttoit.Theyprotectpersonssubjecttolawfromarbitraryuseofthepowertomakeandapplylaw.Whentheruleoflawissafeguarded,subjectscanrelyonthelawandcanforeseeapplicationofstatepower.[FN31]Asimportantastheserequirementsare,theyonlyassuretheintegrityandtheregularityoftheapplicationofthelegalrules;theydonotassurethattheserulesserveeitherjusticeorpublicpolicy.[FN32]

A.CausesofLegalIndeterminacy

Causesoflegalindeterminacyinclude:

indefiniterules,conflictofrules,lackofrules,anduncertainapplicationofrules.[FN33]Onethinksfirstofindefiniterules,butconflictingrulesalsoproduceindeterminacy.Whilealackofrulesintoday'sregulatedworldisuncommon,rules*523oftenintentionallygrantthosechargedwithapplyingthemtheauthoritytomakevaluejudgments.Insuchcases,rulesprovideonlygenerallimits,butnosinglecorrectanswer.[FN34]Applicationofarulemayalsobeuncertainbecausetheauthoritychargedwithapplyingthelawmaybeauthorizedtodecidecontrarytotherule,ormayimproperlyapplyorfailtoapplytherule,eitheroutofcorruptionorincompetence,ormayreachthewrongconclusionbecauseofincorrectfact-finding.

Byfocusingonwhetherrulesrequireappellatejudgestoreachparticularcorrectanswers,theAmericandiscussionoflegalindeterminacytendstooverstatethelevelofindeterminacyandtooverlookopportunitiesfordecreasingit.Perfectprecisionisnotessentialforsubstantialfulfillmentoftheguidancefunctionoftheruleoflaw.Thisisapparentwhentheperspectiveisthatofsubjects,ratherthanoflaw-appliers.

B.ThePerspectiveofPeopleSubjecttoRules

Whetherlawbindsappellatejudgesisonlyoneaspectoflegalindeterminacy.Anotheraspectiswhetherandhowwelllawguidespeopleincomplyingwithlaw.[FN35]TheguidancefunctionisnotunknownintheUnitedStates,butitisaslikelytobeobservedbylegalphilosophersfromforeigncountriesasbynatives.HansKelsencommentedthat"individualswhohavetoobeythelawbybehavinginawaythatavoidssanctions,mustunderstandthelegalnormsandthereforemustascertaintheirmeaning."[FN36]H.L.A.Hartwroteoftheneedfor"certainrules"thatpeoplecanapply