File #2559: "2019_Book_TheJudicialFunction.pdf"
Testo
1|Foreword|6
1|Preface|9
1|Acknowledgements|10
1|Contents|12
1|Part I: Introduction – Developing Principles of Contemporary Judging|17
2|Chapter 1: The Development of Principles of Contemporary Judging|18
3|1.1 The Challenge of Articulating the Role of Courts|20
3|1.2 Judicial Theory and the Broader Judicial Studies Context|22
3|1.3 The Scope and Limit of the Inquiry|26
3|1.4 The Structure of the Book|29
3|References|32
1|Part II: The Nature of the Judicial Function|35
2|Chapter 2: Introduction to the Judicial Function|36
3|2.1 The Limits of the Inquiry|40
3|2.2 The Basic Parameters of the Judicial Function|41
3|References|43
2|Chapter 3: The Judicial Form of Dispute Resolution|45
3|3.1 A Taxonomy of Dispute Resolution Methods|47
4|3.1.1 Resolution by Reference to Might – The Battle|49
4|3.1.2 Resolution by Reference to Merit – The Claim of Right|51
4|3.1.3 Resolution by Reference to Chance – The Toss of the Coin|54
3|3.2 The Judicial Form of Third-Party Merit-Based Dispute Resolution|56
3|References|59
2|Chapter 4: The Judicial Form of Social Governance|61
3|4.1 Dispute-Resolution and Social Governance|62
4|4.1.1 Dispute-Resolution and Governance through ‘Power’|64
4|4.1.2 Dispute-Resolution and Governance through ‘Rules’|66
3|4.2 The Judicial Function and Social Governance|68
4|4.2.1 The Judicial Function and Governmental Power|69
4|4.2.2 The Judicial Function and Governance Through Rules|70
3|References|78
2|Chapter 5: Articulating the Judicial Function|81
3|5.1 The Inherent Duality of the Judicial Function|83
3|References|87
1|Part III: The Judicial Decision-Making Method|88
2|Chapter 6: The Judicial Form of Decision-Making|89
3|6.1 A Potted History of Judicial Methodology: Of Testaments and Reformations|91
4|6.1.1 The Old Testament – A Declaratory Role|92
4|6.1.2 The Reformation: Orthodoxy Challenged|93
4|6.1.3 The Counter-Reformation|96
3|6.2 The Archetypal Judge – Re-conceiving the Judicial Ideal|97
4|6.2.1 Developing a New Archetype: Accepting Irresolvable Tension|99
3|6.3 Guiding Principles for Contemporary Judicial Decision-Making|102
4|6.3.1 The Judicial Method as a Balance of Freedom and Constraint|104
3|References|106
2|Chapter 7: Law, Merit and the Development of a Governing Dispute-Norm|108
3|7.1 The Judicial Reasoning Process and the Development of the Dispute-Norm|109
3|7.2 Existing Legal Normative Statements and ‘Source-Based’ Reasoning|111
4|7.2.1 Source as a Constraint|111
4|7.2.2 Source as Guide: Source-Based Aspects of Judicial Reasoning|113
5|7.2.2.1 The Initial Interpretation of Legal Source-Norms|113
5|7.2.2.2 Assessing the Source-Norms|115
5|7.2.2.3 Prioritisation of Source-Norms by Pedigree|116
3|7.3 Consistency and Analogy Reasoning|117
4|7.3.1 Consistency as a Constraint|118
4|7.3.2 Consistency as Guide – Analogical Reasoning in Judicial Decision-Making|121
3|7.4 Coherence, Legal Principles and Inductive Reasoning|128
4|7.4.1 Coherence as a Constraint|129
4|7.4.2 Coherence as a Guide: ‘Principle-Based’ Judicial Reasoning|129
3|7.5 Conclusion Regarding Legal Reasoning|132
3|References|133
2|Chapter 8: The Role and Assessment of the Factual Circumstances|135
3|8.1 The Nature of the Factual Circumstances|136
4|8.1.1 The Problem of Relevance|137
4|8.1.2 The Problem of Frame of Reference|140
4|8.1.3 The Problem of ‘Truth’ and Sufficiency of Proof|142
4|8.1.4 The Problem of Practical Process – The Methods of Factual Assessment|145
3|8.2 Conclusions Regarding the Assessment of Fact|147
3|References|147
2|Chapter 9: Evaluation and the Application of Law to Fact|149
3|9.1 Judicial Choice and the Limits of Logic|150
3|9.2 Influences in Judicial Evaluation, Choice and Justification|153
4|9.2.1 Influences Regarding Dispute-Resolution|154
4|9.2.2 Influences Regarding Social (Normative) Governance|155
3|9.3 Application and Final Determination|157
4|9.3.1 The Final Act of Application and Resolution|158
3|9.4 Correctness, Justification and the Importance of Process in Judicial Decision-Making|159
3|References|162
1|Part IV: Judicial Impartiality, Deviations and Threats to Judicial Method|164
2|Chapter 10: Principles of Judicial Impartiality: Threats to the Independence and Impartiality of Judges|165
3|10.1 The Relationship Between Judicial Independence and Judicial Impartiality|167
4|10.1.1 The Origins of Independence and Impartiality|168
4|10.1.2 The Interrelationship Between the Concepts: International Statements and Declarations|169
4|10.1.3 Competing Conceptions of Judicial Independence|172
4|10.1.4 Independence as Impartiality|174
3|10.2 The Nature of Judicial Impartiality: Improper and Unacceptable Threats to Judicial Decision-Making|176
3|10.3 Identifying Threats to Judicial Impartiality|178
4|10.3.1 ‘Influence’ on Judicial Decision-Making|178
4|10.3.2 ‘Improper Influence’ and the Judicial Method|179
4|10.3.3 ‘Unacceptable Influence’ and the Judicial Function|179
5|10.3.3.1 Acceptability and Public Confidence|180
4|10.3.4 Conclusions Regarding the Identification of Threats to Judicial Impartiality|181
3|10.4 Characterising Threats to Judicial Impartiality|182
4|10.4.1 Implications from the Flexible and Dynamic Nature of the Concept|183
3|References|185
2|Chapter 11: Dispute-Specific Threats to Impartiality|187
3|11.1 The Nature and Form of Dispute-Specific Threats to Impartiality|188
4|11.1.1 Appearance and Perception of Threat|190
3|11.2 Particular Dispute-Specific Threats to Impartiality|190
4|11.2.1 Material Threats to Impartiality|191
5|11.2.1.1 Bribes and Corruption – Direct Active Threats|191
5|11.2.1.2 Financial and Other Inherent Interests – Direct Passive Threats|192
4|11.2.2 Relationship Threats to Impartiality|192
5|11.2.2.1 Family Relationships|193
5|11.2.2.2 Friendship Relationships|194
5|11.2.2.3 Personal Obligations|194
5|11.2.2.4 Associational Relationships|195
5|11.2.2.5 Societal Relationships|196
4|11.2.3 Issue-Based Threats to Impartiality|198
5|11.2.3.1 Threats from Personal Values, Ethics and Morality|198
5|11.2.3.2 Threats from Intellectual Positions, Social & Political Objectives|199
5|11.2.3.3 Threats from Prior Professional Involvement|200
3|References|201
2|Chapter 12: Structural Threats to Impartiality|203
3|12.1 The Nature and Form of Structural Threats to Impartiality|204
4|12.1.1 Characterising of Threats to Structural Impartiality|205
3|12.2 Particular Threats to & Responses of Structural Impartiality|206
4|12.2.1 Threats to the Judge as a Person|206
5|12.2.1.1 Personal Safety and Security|207
5|12.2.1.2 Criminal and Civil Liability Threats|208
5|12.2.1.3 Restrictions of ‘Outside’ Activities|209
4|12.2.2 Threats to the Judicial ‘Job’|212
5|12.2.2.1 The Appointment and Promotion of Judges|213
5|12.2.2.2 Tenure and Form of Appointment|215
5|12.2.2.3 Remuneration and Compensation of Judges|217
5|12.2.2.4 Conditions of Employment|218
5|12.2.2.5 Discipline and Removal from Office|218
4|12.2.3 Threats to the Judicial Institution|219
5|12.2.3.1 Funding and Maintenance of Adequate Resources|220
5|12.2.3.2 The Management and Administration of Courts|221
5|12.2.3.3 Relationships with Other Institutions of Government|221
5|12.2.3.4 The Continuing Existence of Courts|222
4|12.2.4 Threats Internal to the Judicial Institution|223
5|12.2.4.1 Internal Judicial Management|224
5|12.2.4.2 Internal Pressure Regarding Substantive Decision-Making|225
3|12.3 Conclusions Regarding Judicial Impartiality|225
3|References|227
1|Part V: Judicial Integrity and Accountability|230
2|Chapter 13: Principles of Judicial Integrity and Accountability|231
3|13.1 The Active Promotion of Adherence to the Principles of Judging|232
4|13.1.1 A Concept Often Acclaimed, But Too Rarely Considered|235
3|13.2 The Scope of Judicial Accountability|237
4|13.2.1 Defining the Concept of ‘Accountability’|238
3|13.3 The Nature and Purpose of Judicial Accountability|239
4|13.3.1 The Relationship Between the Judicial Function and Judicial Accountability|240
4|13.3.2 The ‘External Objective’ and ‘Internal Subjective’ Aspects of Accountability|241
5|13.3.2.1 The Personal ‘Subjective’ Element: Developing Judicial Integrity and a Professional ‘Habitus’|241
5|13.3.2.2 The Public ‘Objective’ Element: Public Confidence and Perception|243
5|13.3.2.3 The Relationship Between the Two Elements of Judicial Accountability|244
4|13.3.3 The Limits of Judicial Accountability|245
4|13.3.4 The Relationship Between Judicial Accountability and Judicial Impartiality|246
3|13.4 Final Observation of the Foundational Principles of Judicial Accountability|248
3|References|250
2|Chapter 14: Mechanisms of Accountability|253
3|14.1 Characterising Mechanisms of Accountability|254
4|14.1.1 Existing Taxonomies for Characterising Judicial Accountability Mechanisms|254
4|14.1.2 A Responsive Taxonomy for Characterising Judicial Accountability Mechanisms|256
4|14.1.3 Defining the Families of Mechanisms|256
3|14.2 Personal Conduct and Behaviour of the Individual Judge|257
4|14.2.1 The Professional Disciplining and Sanctioning of Judges|259
5|14.2.1.1 Types of Sanction|260
5|14.2.1.2 Grounds for Discipline|261
5|14.2.1.3 Processes of Disciplinary Mechanisms|265
4|14.2.2 Immunity, Civil and Criminal Liability|267
5|14.2.2.1 Criminal Liability as a Mechanism of Accountability|268
5|14.2.2.2 Civil Liability as a Mechanism of Accountability|268
4|14.2.3 Informal Social Mechanisms of Accountability|271
5|14.2.3.1 The Conscience of the Judge|271
5|14.2.3.2 The Culture of the Judiciary|272
5|14.2.3.3 The Role of the Legal Profession|272
3|14.3 The Substantive Performance of the Judicial Role|273
4|14.3.1 ‘Open Justice’ – Accountability Through Process|274
4|14.3.2 Judicial Reasons – Accountability Through Justification|276
4|14.3.3 Judicial Review and Appeal – Consistency, Correctness and Accountability|279
4|14.3.4 Internal Processes – Accountability Through Internal Mechanisms|281
4|14.3.5 Criticism and Critique – Testing the Merit of Judicial Determinations|283
3|14.4 Accountability for the Administration and Operation of the Judicial Institution|286
4|14.4.1 Financial and Economic Accountability|287
4|14.4.2 Judicial Management, Performance Standards and Accountability|288
4|14.4.3 Institutional Reporting Mechanisms and Accountability|291
3|14.5 Concluding Remarks on Judicial Accountability|292
3|References|293
1|Part VI: Conclusions – The Idea of the Court|296
2|Chapter 15: The Idea of a Court|297
3|15.1 Defending the Idea of Courts|298
3|15.2 Understanding Function Requires a Broad Framework|300
3|15.3 Moving Beyond the Status Quo – Re-imagining the Future of Courts|302
3|References|304
1|Preface|9
1|Acknowledgements|10
1|Contents|12
1|Part I: Introduction – Developing Principles of Contemporary Judging|17
2|Chapter 1: The Development of Principles of Contemporary Judging|18
3|1.1 The Challenge of Articulating the Role of Courts|20
3|1.2 Judicial Theory and the Broader Judicial Studies Context|22
3|1.3 The Scope and Limit of the Inquiry|26
3|1.4 The Structure of the Book|29
3|References|32
1|Part II: The Nature of the Judicial Function|35
2|Chapter 2: Introduction to the Judicial Function|36
3|2.1 The Limits of the Inquiry|40
3|2.2 The Basic Parameters of the Judicial Function|41
3|References|43
2|Chapter 3: The Judicial Form of Dispute Resolution|45
3|3.1 A Taxonomy of Dispute Resolution Methods|47
4|3.1.1 Resolution by Reference to Might – The Battle|49
4|3.1.2 Resolution by Reference to Merit – The Claim of Right|51
4|3.1.3 Resolution by Reference to Chance – The Toss of the Coin|54
3|3.2 The Judicial Form of Third-Party Merit-Based Dispute Resolution|56
3|References|59
2|Chapter 4: The Judicial Form of Social Governance|61
3|4.1 Dispute-Resolution and Social Governance|62
4|4.1.1 Dispute-Resolution and Governance through ‘Power’|64
4|4.1.2 Dispute-Resolution and Governance through ‘Rules’|66
3|4.2 The Judicial Function and Social Governance|68
4|4.2.1 The Judicial Function and Governmental Power|69
4|4.2.2 The Judicial Function and Governance Through Rules|70
3|References|78
2|Chapter 5: Articulating the Judicial Function|81
3|5.1 The Inherent Duality of the Judicial Function|83
3|References|87
1|Part III: The Judicial Decision-Making Method|88
2|Chapter 6: The Judicial Form of Decision-Making|89
3|6.1 A Potted History of Judicial Methodology: Of Testaments and Reformations|91
4|6.1.1 The Old Testament – A Declaratory Role|92
4|6.1.2 The Reformation: Orthodoxy Challenged|93
4|6.1.3 The Counter-Reformation|96
3|6.2 The Archetypal Judge – Re-conceiving the Judicial Ideal|97
4|6.2.1 Developing a New Archetype: Accepting Irresolvable Tension|99
3|6.3 Guiding Principles for Contemporary Judicial Decision-Making|102
4|6.3.1 The Judicial Method as a Balance of Freedom and Constraint|104
3|References|106
2|Chapter 7: Law, Merit and the Development of a Governing Dispute-Norm|108
3|7.1 The Judicial Reasoning Process and the Development of the Dispute-Norm|109
3|7.2 Existing Legal Normative Statements and ‘Source-Based’ Reasoning|111
4|7.2.1 Source as a Constraint|111
4|7.2.2 Source as Guide: Source-Based Aspects of Judicial Reasoning|113
5|7.2.2.1 The Initial Interpretation of Legal Source-Norms|113
5|7.2.2.2 Assessing the Source-Norms|115
5|7.2.2.3 Prioritisation of Source-Norms by Pedigree|116
3|7.3 Consistency and Analogy Reasoning|117
4|7.3.1 Consistency as a Constraint|118
4|7.3.2 Consistency as Guide – Analogical Reasoning in Judicial Decision-Making|121
3|7.4 Coherence, Legal Principles and Inductive Reasoning|128
4|7.4.1 Coherence as a Constraint|129
4|7.4.2 Coherence as a Guide: ‘Principle-Based’ Judicial Reasoning|129
3|7.5 Conclusion Regarding Legal Reasoning|132
3|References|133
2|Chapter 8: The Role and Assessment of the Factual Circumstances|135
3|8.1 The Nature of the Factual Circumstances|136
4|8.1.1 The Problem of Relevance|137
4|8.1.2 The Problem of Frame of Reference|140
4|8.1.3 The Problem of ‘Truth’ and Sufficiency of Proof|142
4|8.1.4 The Problem of Practical Process – The Methods of Factual Assessment|145
3|8.2 Conclusions Regarding the Assessment of Fact|147
3|References|147
2|Chapter 9: Evaluation and the Application of Law to Fact|149
3|9.1 Judicial Choice and the Limits of Logic|150
3|9.2 Influences in Judicial Evaluation, Choice and Justification|153
4|9.2.1 Influences Regarding Dispute-Resolution|154
4|9.2.2 Influences Regarding Social (Normative) Governance|155
3|9.3 Application and Final Determination|157
4|9.3.1 The Final Act of Application and Resolution|158
3|9.4 Correctness, Justification and the Importance of Process in Judicial Decision-Making|159
3|References|162
1|Part IV: Judicial Impartiality, Deviations and Threats to Judicial Method|164
2|Chapter 10: Principles of Judicial Impartiality: Threats to the Independence and Impartiality of Judges|165
3|10.1 The Relationship Between Judicial Independence and Judicial Impartiality|167
4|10.1.1 The Origins of Independence and Impartiality|168
4|10.1.2 The Interrelationship Between the Concepts: International Statements and Declarations|169
4|10.1.3 Competing Conceptions of Judicial Independence|172
4|10.1.4 Independence as Impartiality|174
3|10.2 The Nature of Judicial Impartiality: Improper and Unacceptable Threats to Judicial Decision-Making|176
3|10.3 Identifying Threats to Judicial Impartiality|178
4|10.3.1 ‘Influence’ on Judicial Decision-Making|178
4|10.3.2 ‘Improper Influence’ and the Judicial Method|179
4|10.3.3 ‘Unacceptable Influence’ and the Judicial Function|179
5|10.3.3.1 Acceptability and Public Confidence|180
4|10.3.4 Conclusions Regarding the Identification of Threats to Judicial Impartiality|181
3|10.4 Characterising Threats to Judicial Impartiality|182
4|10.4.1 Implications from the Flexible and Dynamic Nature of the Concept|183
3|References|185
2|Chapter 11: Dispute-Specific Threats to Impartiality|187
3|11.1 The Nature and Form of Dispute-Specific Threats to Impartiality|188
4|11.1.1 Appearance and Perception of Threat|190
3|11.2 Particular Dispute-Specific Threats to Impartiality|190
4|11.2.1 Material Threats to Impartiality|191
5|11.2.1.1 Bribes and Corruption – Direct Active Threats|191
5|11.2.1.2 Financial and Other Inherent Interests – Direct Passive Threats|192
4|11.2.2 Relationship Threats to Impartiality|192
5|11.2.2.1 Family Relationships|193
5|11.2.2.2 Friendship Relationships|194
5|11.2.2.3 Personal Obligations|194
5|11.2.2.4 Associational Relationships|195
5|11.2.2.5 Societal Relationships|196
4|11.2.3 Issue-Based Threats to Impartiality|198
5|11.2.3.1 Threats from Personal Values, Ethics and Morality|198
5|11.2.3.2 Threats from Intellectual Positions, Social & Political Objectives|199
5|11.2.3.3 Threats from Prior Professional Involvement|200
3|References|201
2|Chapter 12: Structural Threats to Impartiality|203
3|12.1 The Nature and Form of Structural Threats to Impartiality|204
4|12.1.1 Characterising of Threats to Structural Impartiality|205
3|12.2 Particular Threats to & Responses of Structural Impartiality|206
4|12.2.1 Threats to the Judge as a Person|206
5|12.2.1.1 Personal Safety and Security|207
5|12.2.1.2 Criminal and Civil Liability Threats|208
5|12.2.1.3 Restrictions of ‘Outside’ Activities|209
4|12.2.2 Threats to the Judicial ‘Job’|212
5|12.2.2.1 The Appointment and Promotion of Judges|213
5|12.2.2.2 Tenure and Form of Appointment|215
5|12.2.2.3 Remuneration and Compensation of Judges|217
5|12.2.2.4 Conditions of Employment|218
5|12.2.2.5 Discipline and Removal from Office|218
4|12.2.3 Threats to the Judicial Institution|219
5|12.2.3.1 Funding and Maintenance of Adequate Resources|220
5|12.2.3.2 The Management and Administration of Courts|221
5|12.2.3.3 Relationships with Other Institutions of Government|221
5|12.2.3.4 The Continuing Existence of Courts|222
4|12.2.4 Threats Internal to the Judicial Institution|223
5|12.2.4.1 Internal Judicial Management|224
5|12.2.4.2 Internal Pressure Regarding Substantive Decision-Making|225
3|12.3 Conclusions Regarding Judicial Impartiality|225
3|References|227
1|Part V: Judicial Integrity and Accountability|230
2|Chapter 13: Principles of Judicial Integrity and Accountability|231
3|13.1 The Active Promotion of Adherence to the Principles of Judging|232
4|13.1.1 A Concept Often Acclaimed, But Too Rarely Considered|235
3|13.2 The Scope of Judicial Accountability|237
4|13.2.1 Defining the Concept of ‘Accountability’|238
3|13.3 The Nature and Purpose of Judicial Accountability|239
4|13.3.1 The Relationship Between the Judicial Function and Judicial Accountability|240
4|13.3.2 The ‘External Objective’ and ‘Internal Subjective’ Aspects of Accountability|241
5|13.3.2.1 The Personal ‘Subjective’ Element: Developing Judicial Integrity and a Professional ‘Habitus’|241
5|13.3.2.2 The Public ‘Objective’ Element: Public Confidence and Perception|243
5|13.3.2.3 The Relationship Between the Two Elements of Judicial Accountability|244
4|13.3.3 The Limits of Judicial Accountability|245
4|13.3.4 The Relationship Between Judicial Accountability and Judicial Impartiality|246
3|13.4 Final Observation of the Foundational Principles of Judicial Accountability|248
3|References|250
2|Chapter 14: Mechanisms of Accountability|253
3|14.1 Characterising Mechanisms of Accountability|254
4|14.1.1 Existing Taxonomies for Characterising Judicial Accountability Mechanisms|254
4|14.1.2 A Responsive Taxonomy for Characterising Judicial Accountability Mechanisms|256
4|14.1.3 Defining the Families of Mechanisms|256
3|14.2 Personal Conduct and Behaviour of the Individual Judge|257
4|14.2.1 The Professional Disciplining and Sanctioning of Judges|259
5|14.2.1.1 Types of Sanction|260
5|14.2.1.2 Grounds for Discipline|261
5|14.2.1.3 Processes of Disciplinary Mechanisms|265
4|14.2.2 Immunity, Civil and Criminal Liability|267
5|14.2.2.1 Criminal Liability as a Mechanism of Accountability|268
5|14.2.2.2 Civil Liability as a Mechanism of Accountability|268
4|14.2.3 Informal Social Mechanisms of Accountability|271
5|14.2.3.1 The Conscience of the Judge|271
5|14.2.3.2 The Culture of the Judiciary|272
5|14.2.3.3 The Role of the Legal Profession|272
3|14.3 The Substantive Performance of the Judicial Role|273
4|14.3.1 ‘Open Justice’ – Accountability Through Process|274
4|14.3.2 Judicial Reasons – Accountability Through Justification|276
4|14.3.3 Judicial Review and Appeal – Consistency, Correctness and Accountability|279
4|14.3.4 Internal Processes – Accountability Through Internal Mechanisms|281
4|14.3.5 Criticism and Critique – Testing the Merit of Judicial Determinations|283
3|14.4 Accountability for the Administration and Operation of the Judicial Institution|286
4|14.4.1 Financial and Economic Accountability|287
4|14.4.2 Judicial Management, Performance Standards and Accountability|288
4|14.4.3 Institutional Reporting Mechanisms and Accountability|291
3|14.5 Concluding Remarks on Judicial Accountability|292
3|References|293
1|Part VI: Conclusions – The Idea of the Court|296
2|Chapter 15: The Idea of a Court|297
3|15.1 Defending the Idea of Courts|298
3|15.2 Understanding Function Requires a Broad Framework|300
3|15.3 Moving Beyond the Status Quo – Re-imagining the Future of Courts|302
3|References|304