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556

FERNANDOATRIA

will come backto this pointlateron in this article(infraat 18f), but forthe timebeing sufficeit to comparethetwo following statements by MacCormick:

[S]ome people have denied that legal reasoning is ever strictly deductive. If this denial is intended in the strictest sense, implying that legal reasoning is never,or cannotever be, solely deductiveinform, then the denial is manifestly and demonstrablyfalse. It is sometimes possible to show conclusively that a given legal decision is legallyjustifiedby meansof a purelydeductiveargument (MacCormick1994, p. 19, my italics).

[D]eductivereasoningfrom rules cannot be a self-sufficient,self-supporting, mode of legal justification.It is always encapsulatedin a web of anteriorand ulteriorprinciplesandvalues,even thougha purelypragmaticview wouldreveal manysituationsandcases in whichno one thinksit worththetroubleto go beyond

the rulesfor practicalpurposes(MacCormick1994, p. xiii, my italics).

Daniels v Tarbard

We are now readyto examineMacCormick'sexampleof a case in which a purely syllogistic justificationof the decision is possible. His example was Daniels and Daniels v R. White & Sons and Tarbard(1938 4 All ER 258). ThoughMacCormickhas made this

case famous, it seems to give a brief descriptionof its appropriate

facts:MrDanielsboughtabottleof lemonade(R White'slemonade) in the defendant's(i.e. MrsTarbard's)pub.He took thebottlehome, where he and Mrs Daniels drankfrom it. As a consequence,they both became ill, because (as was proven later) the lemonade was heavily contaminatedwith carbolicacid. Mr andMrs Daniels sued

the owner of the pub and the lemonade'smanufacturerWhile. the

latterwas absolved from liability, the formerwas held liable and orderedto pay damagesto the (first)plaintiff.MacCormick'sclaim is thatthe court'sdecisionfollows in a deductivemannerfromthese

facts plus the legal rulesas they were in 1938.

As a matterof fact(of logic, rather),however,MacCormickcould not have shown that the court's reasoningin Daniels was strictly deductive without using the relationshipof materialimplication, "D". "D" is used instead of "if in any case ...then ..." (1994, p. 29).16 But legal rules do not rule for all cases, even if their

16 MacCormickprobablydoes not mean materialimplicationin its technical sense. In symboliclogic, (p D q) "istrueif "not-porq"is true.But "not-por q"is

LEGALREASONINGAND LEGALTHEORYREVISITED

557

language may induce one to think they do. They do not rule "in all cases, if... then ... ", but "if in normalcases ... then ... ". This

point

shouldnot be

controversial

 

particularly

againstMacCormick,

who has always believed that legal rules rule for "normal"cases,

establishing

what is to be

the case

(MacCormick

 

"presumptively"

1974: 71; see also MacCormick1995). Furthermore,MacCormick explicitly rejects in his book the move made by some authors,of explainingdefeasibility on the basis of moral disagreementabout the issue of whether or not the law should (moral "should")be applied. He thinks that in those kinds of cases what is at issue is not whetherthereare moralreasonsto breakthe law, but what the law actuallyis:

[A] positivisticdescriptionof the systemas it operatescannotanswera particular kindof questionwhich may be raisedinternallyto a legal system:the questionas it mightbe raisedfor ajudge in a hardcase: "Whyoughtwe to treateverydecision in accordancewith a rule valid by our criteriaof validity as being sufficiently justified? and that is a question which can be, and from time to time is, raised [...]. Formy partI shouldbe reluctantto treatsuch questionsas being non legal

simply

because

of

a

definitionalfiat[...].

To treatsuch

as

ideological-

 

 

 

arguments

but-not-legal(which is what Kelsen and, in effect, Hartdo) on a priori grounds seems to me unsatisfactory"(MacCormick1994, p. 63; only the fourthitalics are mine).

Toputit in thewordsused above:if rulesareunderstoodas referring to normalcases, thenthey simplycannotbe appliedwithouthaving previouslyestablishedthatthe case is normal.It is still possible to say (with Kelsen and Hart) that as a matterof law all cases are normal (or, what amountsto the same thing, that legal rules are, accordingto the law, to be appliedto all, insteadof normal,cases), but this implies a definitionalfiat that begs the question:the fiat

truein any one of the following cases: (1) p is trueandq is true;(2) p is false and q is true;(3) p is false andq is false [... S]o long asp is false, no matterwhatq is, "pimpliesq"is true;andso long as q is true,no matterwhatp is, "qis impliedby p" is true(CohenandNagel 1934, p. 127). This is because "materialimplication is the name we give to the fact that one of a pair of propositionshappensto be false or else the otherhappensto be true"(ibid. at 128). But MacCormickwants to say, I believe, that (p D q) means somethingelse, to wit, that because of p then q. MacCormickmentions this problem,and claims that "nothingturnson that"(MacCormick1994, p. 28n). I take him to be offeringan stipulationof the meaningof "D",so thatit means "if in any casep, then (becauseof p) q" (notice the important"ifin any case").

558 FERNANDOATRIA

of saying that accordingto the law legal rules are to be applied to all cases (or that accordingto the law all cases are normal), however absurdthe result might turn out to be. Only after this fiat will the decision not to apply the law because of these absurd

outcomesbecome an

one. MacCormick

 

"ideological-but-not-legal"

is reluctantto endorsethis solution, and hence he is committedto claim that, as a matterof law (and not as a matterof ideology or morals)legal rules apply to normalcases (indeed, this is the view

thatMacCormick

endorses:cf. MacCormick

presently

1974, 1995).

But if MacCormickaccepts that laws are to be understoodas referringto normal,instead of all, cases, then it is difficultto see how can he claim thatthatthe decision in Daniels was strictlyand solely deductive.Lewis J heldMrsTarbardliable "withsome regret,

because it is ratherhardon Mrs. Tarbard,who is a perfectlyinnocent person in the matter"(cit. in MacCormick1994, p. 21). He

the

of the law to be

for the case.

thought

application

inappropriate

It is easy to see why: Lewis J assumedthatin a civil liability case it is normallythe case that if the defendantis "a perfectly inno-

cent

person

in the matter"

shouldnot be

passed against

 

judgement

 

him or her. In other words, the "innocence"of the defendantis usually a relevantsubstantiveconsideration.Because in the court's

the rules excluded this

their

applica-

understanding

consideration,

tion to this particularcase producedsome inappropriateness:they demandedjudgement to be passed against a "perfectlyinnocent

person".

But this

was

not,

in Lewis J's

view,

 

inappropriateness

 

importantenough for the need for predictabilityto be waived.17 In other words, he took the rules as being formal enough to

trump

the

of

finding against

a

"perfectly

inno-

 

inappropriateness

 

 

cent"party,this considerationnot being strongenoughto makethe case "abnormal"This. "freshjudgement"was, for Kelsen andHart (as MacCormicksays) not requiredby the law: it was "ideological- but-not-legal".But MacCormicksensibly rejects this position as based upon a definitionalfiat that effectively begs the question.

17 It must be bornein mind thatI have legislatedabove (at n. 1) the meaning

of

in such a

way

thatit

 

 

all the valuesthatstandfor

 

"predictability",

 

 

 

encompasses

 

a formalistic

of a

legal

rule.

 

in its

sense

 

application

 

 

 

Predictability

non-stipulated

is

the most

 

 

of them

(hence the

 

butit need not be

 

normally

important

 

 

 

 

stipulation),

the only one.

LEGALREASONINGAND LEGALTHEORYREVISITED

559

Hence, for MacCormickthis "freshjudgement"is legal, i.e. what the law is for the case cannotbe known before it is made. There-

fore MacCormick'ssyllogism will not be formally valid unless it is stated as a premise. This can clearly be seen when attentionis paidto MacCormick'stranslationof the court'sdecisionintological

notation:

(16)If a seller has broken a condition of a contractwhich he was requiredto fulfil, the buyeris entitledto recover damages from him equivalent to the loss directly and naturallyresultingto him from the seller's breachof the condition;

(15)In the instantcase, the sellerhas brokena conditionof the contractwhich she was requiredto fulfil;

(17).'. In the instant case, the buyer is entitled to recover damages from her equivalent to the loss directly and naturallyresultingto him from the seller's breachof the condition(MacCormick1994, pp. 31-32).18

This is translatedas (the left column is MacCormick's,while the rightone containsmy translationof MacCormick'slogical notation

back to English, accordingto his stipulationson pp. 23 and 28f, which I will use thereafter):

(16)

y Dz

(16)

In any case, ifythenz;

(15)

y

(15)

In the instantcase, y;

(17)

.'. z.

(17)

Thereforein the instantcase z

MacCormickis clearly correctin claiming that (17) follows from (16) and (15). But the point is that (16) is not a correct description of the law as it was at the time, and we have already seen

18 MacCormick's

is

considerablylonger(cf. 1994,p. 30ff).

completesyllogism

 

The objectionI am presentingnow could, however,be directedagainst any of its parts, therefore it is enough for me to quote a section of the reasoning. It is also worth noticing that though MacCormicknow believes that a judi- cial syllogism like Daniels's should be representedusing predicateratherthan propositionallogic, I have retainedMacCormick'soriginalrepresentationof it (see MacCormick1994, p. xv; MacCormick'schange of mind was promptedby White 1979).

560

FERNANDOATRIA

that MacCormickelsewhere in the book (and in other writings, most notably, 1974, 1995) agrees with this. If we correct(16) by introducingthe idea of "normalcases",we would get

(16') In normalcases, if y, thenz;

(15)In the instantcase, y;

(17)Thereforein the instantcase, z.

And this is not a valid deductive argument:to be one it needs a furtherpremise:

(18)The instantcase is a normalcase

MacCormick'spreferredoption (that legal rules establish what is

to be the case) makes this even more "presumptively" problem

noticeable.Forconsider:

(16") If y, thenpresumptivelyz;

(15)In the instantcase, y;

(17)Thereforein the instantcase, z.

Again, (17) does not follow. Whatdoes follow is

(17") Thereforein the instantcase, presumptivelyz.

But (17")does not, of course,justify a legal decision.It does not tell anybodywhatthe law is for the instantcase: it only stateswhatthe

law is. "presumptively"

WhatMacCormickcalls "thepragmaticsof law" (1994, p. xiii; 1995) wouldnot be of muchuse here."Arulethatends with 'unless

...' is still a rule",of course, but it cannot be applied unless the exceptionalcircumstanceis not present.Therulemightbe suchthat

the "default"

is thatthe

exception

does not

exist,

but even

position

 

 

 

in this case the justificationwould, from a logical point of view, be incomplete(i.e. invalid)if this circumstanceis not asserted.For

consider,

 

LEGALREASONINGAND LEGALTHEORYREVISITED

561

(16'")

In any case, if y, then z, unless the courtis satisfiedof

 

w;

 

(15'")

In the instantcase, y;

 

(17'")

Thereforein the instantcase, z.

 

Again, (17"')fails to follow. For the argumentto be formallyvalid,

apremiselike the following is needed:

(19)w has not been proven (or: "the court has not been satisfiedof w").

Following Hart, we have already seen that "w" here stands for

a fresh

judgement

to the effect that the

of the

 

 

inappropriateness

applicationof the rule to the particularcase is importantenough

for the demandfor

to be waived.As a

premise,

there-

 

predictability

 

fore, (19) is neither a rule of law nor a statementof fact, but an evaluativejudgement:"in this case the resultofferedby the rule is

not

or at least not to a

significant

extent".In other

 

inappropriate,

 

words, even in as clear a case as Daniels and even assumingthat the court has the obligation to apply the law, no decision can be reachedin a syllogistic mannerusing only rules of law and statements of fact as premisses.The fact thatthe absenceof w need not

be argued,importantas it is from a pragmaticpoint of view (no externaljustificationis needed to regardit as absent)is immaterial froma logical pointof view.19

In short, the only way in which MacCormick'sclaim could succeed is assuming the definitionalfiat he (rightly,in my view) rejectsin chapter3.

19 Cf. MacCormick1994, p. 29, where MacCormickrightly points out that to the premisses statedby Lewis J a furtherone should be added,one "which is so triviallyobvious that its omission from the express statementsof Lewis J is scarcely surprising- namely that the transactiondescribedin (i) above was intendedby each of thepartiesto be a purchaseby Mr.D. FromMrs.T. anda sale by herto him".Maybethe premisethatstatesthe normalityof the instantcase (or thatthe presumptionin favourof the solutionofferedby the rule accordingto its meaningis not defeatedin the instantcase) is equally triviallyobvious in many

cases,

butas MacCormick

the factthata

is

obvious"

 

recognises

 

premise

"trivially

does notmeanthatit is not

fortheformal

of theinference,

 

 

required

validity

though

it mightvery well meanthatthe courtis justifiedin not statingit.

562 FERNANDOATRIA

Now, it couldbe arguedthatI havemissedthe point,thatthe fact

thatthe rule shouldbe

to the

case at handis one

 

applied

particular

of the presuppositions(and it thus constitutesa limit) of deductive justification.In Legal Reasoning and Legal Theory,MacCormick

says

thatone of the

of

is that

 

presuppositions

legal reasoning

every judge has in virtue of his office a duty to apply each and every one of those ruleswhich are"rulesof law"wheneverit is relevantandapplicableto any case broughtbefore him. And thatformulationreveals a second presupposition,

withoutwhichtheterm wouldlackidentifiablereference:thatit is possible "duty"

for the judge to identify all those rules which are "rulesof law" (MacCormick 1994, p. 54).

Hence, the counter-objectionwould continue, if it is doubted whetherthe rule shouldbe appliedto this particularcase, then we are going beyond one of the limits of deductivereasoning,while MacCormick'sthesis was meant for those cases in which those

presuppositionsare satisfied.But this cannot be an answerto my objectionto MacCormick'sclaim,sinceI amassumingthatthecourt has to applythe law;whatI amcontestingis thatin findingwhatthe law is for the case, the court will necessarilyhave to assume that the case is "normal"if rules like those in Daniels areto be applied as they were in that case. This, again, could be used to defend MacCormick'sposition only if one were to adoptthe solutionthat MacCormickis reluctantto adopt,i.e. if one were to claim thatthe rule appliesto all cases as a matterof law, howeverjustified(from an "ideological-but-not-legal"point of view) the courtmightbe in

not applyingit to the particularcase. Only given that assumption MacCormickcould say thatthe process of findinga solutionis (or can in some cases be) deductive:given the relevantrules as they were in 1938, andthe facts of Daniels as they were provenin court,

the conclusioncouldbe reachedin a deductivemanner.

the same

By

 

token,however,he would have to say thatgiven Pufendorf'sreport of the Bolognese law (and the facts as he told them), we could reachthe conclusionthatthe barberhadto be punishedin the same deductivemanner.Whatwe wouldaddin thelattercase wouldbe an

to the effect that

the

"ideological-but-not-legal"argument

punishing

barberis too absurdfor the courtto do it. MacCormick'sargument cannot succeed withoutthis a priori distinctionbetween the legal

andtheideological,a distinctionthathe himselfthinksis unjustified.

LEGALREASONINGAND LEGALTHEORYREVISITED

563

Since MacCormickhimself rejects this distinctionwe need not discuss it here.20Whatinterestsme here is to point out the incom- patibilityof MacCormick'slegal theory with his account of legal

We know that

Legal Reasoning

and

was

reasoning.21

 

Legal Theory

meant to be a Hartianexplanationof legal reasoning. Hence, it had to claim that some cases were in a Hartiansense clear, that is, theiroutcome could be determinedaccordingto the rules alone (that is the gist of Hart's criticism of rule-scepticism).If those cases are completely determinedby the rules, it must be possible to reconstructthejustificationof a solutionto themaccordingto the deductivemodel. Thatis to say: if it is the case that

the life of the law consists to a very largeextentin the guidanceboth of officials and privateindividualsby determinaterules which, unlike the applicationsof variablestandards,do not requirefromthema freshjudgementfromcase to case (Hart1994, p. 135)

then in those cases the court's decision can be representedin a

syllogistic way, in which the only presuppositionneeded (along with statementsof fact and of legal rules) is that the law ought to

be applied,in which no premisecontaininga "freshjudgement"is needed for the formalvalidity of the inference.This is the signifi- cance of MacCormick'sargumentin Chapter2 of LegalReasoning and Legal Theoryas an analysis of clear cases accordingto Hart. But in the following chapters,in which he undertookto build up a theory of legal reasoning,he was drivento positions which are

incompatiblewith the claims of the (legal) theory.

Thus,when discussingthe issue of clearandhardcases, he starts by noticing that "in truththere is no clear dividing line between clear cases and hardcases" (MacCormick1994, p. 197). There is a spectrumof cases, rangingfrom the hardestto the clearest, and

20 See

my

"Gamesandthe Law"cit.

at n. 4.

 

 

21

 

 

supra

 

 

I am

 

hereto MacCormick's

as it can be foundin

Legal

 

 

 

referring

legal theory

 

Reasoningand Legal Theory.His position is nowadaysdifferent:"[I] no longer accept nearly as much of his [i.e. Hart's] theses about law as I did in 1978" (1994, p. xv). My own commentsaboutLegal Reasoningand Legal Theoryare not to be seen as a criticismof MacCormick'slegal theory,since (I would claim) his later work can accommodatemost of the claims made here, but about the tension between the perspectivesof legal theory and legal reasoning,a tension thatpermeateshis argumentas originallypresentedin 1978.

564 FERNANDOATRIA

acrossthatspectrum"itcouldneverbejudgedmorethanvaguelyat

what

doubtscould become

significantenough

 

point"interpretative

for the courtto have discretion.Now insteadof offering(like Hart

with his

open

texturethesis in its first

a value-free

 

 

interpretation)

test to distinguisha clearfroma hardcase, he findsthe explanation

of this

at the dividebetween clear/hardcases in "differ-

 

uncertainty

ences in thedominantstyle of differentperiodsin thehistoryof legal systems"(1994, p. 198). Lateron we aretold that"whenwe talkof differencesbetweenjudicial styles [... ] what we are talkingabout is or includes the degree of readinesswhich a judge manifeststo

 

 

 

that

 

the

 

that"obvious

permit

 

presumption[i.e.

 

presumption

meaning

shouldbe

 

to be overridden"

 

 

 

 

 

 

preferred"]

 

 

(1994, p. 207).

 

 

In this view, how pressingthe absurdityof the result produced

by

the

 

 

of the ruleto the

case shouldbe for the

 

 

application

 

 

 

particular

 

judge

to

 

the

 

 

in favourof theobvious

of

 

 

permit

presumption

 

meaning

thewordsto be overriddenis not somethingtherulecan settle;it is a

problemgeneratedby

the

demandsof

and

 

conflicting

predictability

appropriateness;case cannotbe decidedbeforedecidingwhetherit will be treatedas a "normal"case (andgiven - andexcludingthis decision a deductivejustificationcould be reconstructed)or as one in which substantiveconsiderationsshow thatthe case is abnormal,

that

is,

is one in which the

mustbe overridden.

 

 

presumption

To emphasise:if what makes a case clear ratherthanhard(and vice-versa)is ajudgmentabouttherightbalancebetweentwo values (i.e. a freshjudgment),then at least some (I would say: all, but all I

need for the

to standis to

hardcases are hard

 

 

argument

 

say "some")

becausethey oughtto be so.

 

 

The

only

reason,I submit,

MacCormickthinkshe can claim

 

why

 

 

both thatthe decision in clear cases can be justifiedin a syllogistic manner(using as premisses only statementsof fact and of legal rules) and thatrules applyonly to normalcases (or thatthey estab-

lish

only

what is to be

the

case)

is thathe (as we

 

 

"presumptively"

 

alreadysaw) equivocatesbetweenthetwo differentclaimsidentified above concerningwhat we could call the "deductiveelement"in

legal reasoning.

MacCormick'sargumentwas originallypresentedagainstthose who held the thesis that "legal reasoning is [n]ever strictly deductive"(1994, p. 19). We aretold thatif this denial"is intended

LEGALREASONINGAND LEGALTHEORYREVISITED

565

in the strictest sense, implying that legal reasoning is never, or cannot ever be, solely deductivein form, then the denial is mani- festly and demonstrablyfalse. It is sometimes possible to show conclusivelythat a given decision is legally justified by means of a purely deductive argument"(1994, p. 19). Later in the book, however, chapter 2 was supposed to have been directed against "thosewho deny thatdeductivelogic is relevantto thejustification of legal decisions" (1994, p. 45), and in the new forewordto the

1994 paperbackedition the argumenthas definitelychanged:now it is presentedagainst "recurrentdenials by learnedpersons that the law allows scope for deductivereasoning,or even logic at all" (1994, p. ix). In the same piece MacCormickseems to reject his own claim that"it is sometimespossible to show conclusivelythat a given decision is legally justifiedby means of a purelydeductive

whenhe now claimsthat"deductive

fromrules

argument"

reasoning

cannotbe a self-sufficient,

mode of

legal justifica-

 

self-supporting,

tion. It is always encapsulatedin a web of anteriorand ulterior reasoningfrom principlesand values [...]" (1994, p. xiii; all the

italics in this

are

mine).

 

paragraph

In my opinion, the quotationsfrom the new foreword reflect MacCormick's present view of the "centrality of deductive reasoningfor legal reasoning"andthey haveto be understoodin the light of Alexy's distinctionbetween externaland internaljustifica- tion. So understood,the claim refersto the possibilityof translating a given decision in syllogistic terms as being usually the clearest andsafest way to check whetheror not the decision was fully justi- fied,whetheror not issues requiringexternaljustificationhadarisen (and if they had, whetheror not they were settled accordingto the

of the externaljustification). requirements

But in this sense chapter 2 does not answer the challenge to legal positivism it was designed to answer.If it is to provide an answer,it has to be takenas meaningthatsometimesit is possible for legal decisions to be fully justified througha syllogistic chain of reasoningthatuses only statementsof fact and of legal rules as premisses.Only in this sense the thesis would imply,if correct,the rejectionof the argumentpresentedup to now. Only in this sense could it help Hartto show that in some cases no fresh judgement is needed for courts and officials to apply the rules. But for this