Interpretation of Statutory Rules As Application: a Legal Hermeneutics
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INTERPRETATION OF STATUTORY RULES AS APPLICATION: A LEGAL HERMENEUTICS CHRISTOPHER JAMES WALSHAW A thesis for conferral of the degree of Doctor of Philosophy at the University of Otago, Dunedin, New Zealand. April 2012 i Abstract The thesis critically examines the judicial interpretation of statutory rules, now the source of most of our law. Courts in adopting a traditional two-step approach denoted as prospective interpretation (first ‘understand’ the meaning and then apply that meaning) have promulgated conditions that effectively rewrite statutory rules and limit their accessibility, so presenting a challenge to the separation of powers and to rule of law values. My research critically examines the tenability, completeness and utility of prospective interpretation, in particular by analysis of the work of Neil MacCormick. An alternative approach, denoted as concurrent interpretation: judicial interpretation by correspondence of the words of the rule with the facts of the particular case, is explored. The conceptual legitimacy of, and methods for, concurrent interpretation are found in philosophical hermeneutics and its account of language. The perceived problem that philosophical hermeneutics has nothing to say about method is confronted. By drawing on the work of Arthur Kaufmann, Paul Ricoeur and Jarkko Tontti in particular I introduce a legal hermeneutics as a practice of legal argument in the context of the judicial interpretation of statutory rules. ii Preface The thesis research would not have begun without the encouragement of John Burrows, John Fogarty and Lindsay Trotman. I am grateful to them for this and for sticking with the project right through to completion. John Burrows had taught me as an undergraduate and his knowledge of interpretation is without par in New Zealand. In his usual quiet way he was able to steer me past a few blind alleys and in a sense I hope I have promoted theoretical ideas in support of application that would please him. All of them have made valuable time for my project and me. The esoteric nature of my research presented a challenge to my supervisors and it is pleasing that Mark Henaghan and Michael Robertson rose to the challenge especially in the last year. Mark’s eye for the finished product is legendary. He made a special effort to keep my research grounded in legal practice and as accessible to lawyers as possible. Also as Dean he has been brilliant in facilitating my attendance at conferences, in promoting my University Scholarship and in many other material ways. Michael took up with enthusiasm my presentations of research in respect of a succession of drafts, challenged many of my ideas and provided invaluable and repeated editing of the whole thesis. This is an opportunity to thank Michael for his considerable investment in time and knowledge to my project. Also thanks to Simon Currie for proofreading. An enjoyable aspect of my research has been making extensive contacts mostly overseas, many of whom have become good friends. I am sorry I can only mention a few of you: Arthur Glass and Nicholas Aroney who kept a close interest in my work, Alexandra Kolb for her enthusiasm and advice, Jay Mootz who has given me the confidence to believe I might be on the right track and has sent me his books, and especially Torben Spaak who made me so welcome at Uppsala and has become a good friend with a reciprocal and genuine interest in our academic endeavours. iii Table of Contents Abstract ........................................................................................................................... i Preface ............................................................................................................................ ii Table of Contents ......................................................................................................... iii Abbreviations ............................................................................................................... vi 1. Introduction ............................................................................................................... 1 2. Foundations 2.1 Introduction ................................................................................................... 5 2.2 Statutory rules ............................................................................................... 7 2.3 Rule of law .................................................................................................. 12 2.4 Separation of powers .................................................................................. 15 2.5 The need for interpretation and current statutory interpretation ................ 18 2.6 Interpretation as concurrent interpretation ................................................. 23 2.7 Interpretation as prospective interpretation ............................................... 32 2.8 Summary .................................................................................................... 34 3. Arguments in support of prospective interpretation – Part I 3.1 Introduction ................................................................................................ 36 3.2 Interpretation and questions of law ............................................................. 37 3.3 Interpretation and preliminary rulings 3.3.1 Preface ...................................................................................... 44 3.3.2 European Court of Justice .......................................................... 45 3.3.3 Preliminary rulings and prospective interpretation .................... 49 3.4 Summary judgment, declarations and strike out applications ................. 54 3.5 Summary ..................................................................................................... 60 4. Arguments in support of prospective interpretation – Part II 4.1 Introduction ................................................................................................. 62 4.2 MacCormick and Legal Reasoning 4.2.1 Institutional normative order ..................................................... 63 4.2.2 Arguing about interpretation ...................................................... 66 4.2.3 Engaging with MacCormick’s ideas .......................................... 69 4.3 Analogy/deduction 4.3.1 Preface ......................................................................................... 72 4.3.2 The legal syllogism ...................................................................... 74 4.3.3 Analogous reasoning .................................................................. 77 iv 4.3.4 Defending deductivism ............................................................... 79 4.3.5 Graz ............................................................................................. 81 4.4 Discovery/Justification 4.4.1 Introduction, references and a delimitation ................................ 82 4.4.2 American realists ........................................................................ 85 4.4.3 Positivist response ...................................................................... 86 4.4.4 Discovery and science ............................................................... 89 4.4.5 Bankowski ................................................................................. 92 4.4.6 MacCormick and discovery ....................................................... 93 4.5 Particular/universal ................................................................................... 95 4.6 Bringing the three topics together ............................................................. 101 4.7 Analogy and North American jurisprudence ........................................... 105 4.8 Summary .................................................................................................. 109 5. Concurrent interpretation and philosophical hermeneutics 5.1 Introduction .............................................................................................. 111 5.2 Philosophical hermeneutics: an introduction 5.2.1 Preface ...................................................................................... 113 5.2.2 Language .................................................................................. 114 5.2.3 Expressive versus designative ................................................. 116 5.3 The common law response to philosophical hermeneutics 5.3.1 North American jurisprudence .................................................. 122 5.3.2 English and Commonwealth common law ............................... 129 5.3.3 Gadamer and legal hermeneutics .............................................. 139 5.4 A perceived problem with philosophical hermeneutics ........................... 143 5.5 Summary .................................................................................................. 147 6. Concurrent interpretation: a legal hermeneutics 6.1 Introduction .............................................................................................. 150 6.2 Arthur Kaufmann 6.2.1 Introduction ............................................................................... 152 6.2.2 Realising law ............................................................................. 155 6.2.3 Further observations of Kaufmann ........................................... 159 6.3 Ricoeur’s development of philosophical hermeneutics 6.3.1 Introduction and sources ............................................................ 162 6.3.2 Conflict of interpretations .......................................................