Pound on the Application of the Law.docx
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PoundontheApplicationoftheLaw
ROSCOEPOUND
TheApplicationofLaw*
Threestepsareinvolvedintheadjudicationofacontroversyaccordingtolaw:
(1)Findingthelaw,ascertainingwhichofthemanyrulesinthelegalsystemistobeapplied,or,ifnoneisapplicable,reachingaruleforthecause(whichmayormaynotstandasaruleforsubsequentcases)onthebasisofgivenmaterialsinsomewaywhichthelegalsystempointsout;
(2)interpretingtherulesochosenorascertained,thatis,determiningitsmeaningasitwasframedandwithrespecttoitsintendedscope;(3)applyingtothecauseinhandtherulesofoundandinterpreted.Inthepastthesehavebeenconfusedunderthenameofinterpretation.Itwasassumedthatthefunctionofthejudgeconsistedsimplyininterpretinganauthoritativelygivenruleofwhollyextrajudicialoriginbyanexactprocessofdeducingitslogicallyimpliedcontentandinmechanicallyapplyingtherulesogivenandinterpreted.Thisassumptionhasitsorigininthestageofthestrictlawintheattempttoescapefromtheoverdetailontheonehand,andthevaguesententiousnessontheotherhand,whicharecharacteristicofprimitivelaw.Forthemostpartprimitivelawismadeupofsimple,precise,detailedrulesfordefinitenarrowlydefinedsituations.Ithasnogeneralprinciples.Thefirststeptowardascienceoflawisthemakingofdistinctionsbetweenwhatcomeswithinandwhatdoesnotcomewithinthelegalmeaningofarule.Butabodyofprimitivelawalsooftencontainsacertainnumberofsententiouslegalproverbs,putinstrikingformsoastostickinthememory,butvagueintheircontent.Thestrictlawbymeansofaconceptionofresultsobtainedinevitablyfromfixedrulesandundeviatingremedialproceedingsseeksrelieffromtheuncertaintyinherentinthefindingofalargercontentforoverdetailedspecialrulesthroughdifferentiationofcasesandtheapplicationoflegalproverbialsayingsthroughthe"equityofthetribunal."Itconceivesofapplicationoflawasinvolvingnothingbutamechanicalfittingofthecasewiththestraitjacketofruleorremedy.Theinevitableadjustmentsandextendingsandlimitations,whichanattempttoadministerjusticeinthiswaymustinvolve,arecoveredupbyafictionofinterpretationinordertomaintainthegeneralsecurity.
Philosophicalrationalizingoftheattempttoavoidtheoverpersonaladministrationofjustice
incidenttothepartialreversiontojusticewithoutlawinthestageofequityandnaturallaw,rein-
forcedtheassumptionthatjudicialapplicationoflawwasamechanicalprocessandwasbuta
phaseofinterpretation.Intheeighteenthcenturyitwasgivenscientificforminthetheoryofseparationofpowers.Thelegislativeorganmadelaws.Theexecutiveadministeredthem.Thejudiciaryappliedthemtothedecisionofcontroversies.ItwasadmittedinAnglo-Americanlegal
thinkingthatcourtsmustinterpretinordertoapply.Buttheinterpretationwastakennottobe
inanywisealawmakingandtheapplicationwastakennottoinvolveanyadministrativeelement
andtobewhollymechanical.OntheContinentinterpretationsoastomakeabindingrulefor
futurecaseswasdeemedtobelongonlytothelegislator.Thematurityoflawwasnotwillingto
admitthatjudgeorjuristcouldmakeanything.Itwasnottheleastserviceoftheanalyticaljuris-
prudenceofthelastcenturytoshowthatthegreaterpartofwhatgoesbythenameofinterpre-
tationinthiswayofthinkingisreallyalawmakingprocess,asupplyingofnewlawwherenoruleornosufficientruleisathand."Thefactis,"saysGraymosttruly,"thatthedifficultiesofso-calledinterpretationarisewhenthelegislaturehashadnomeaningatall;whenthequestionwhichisraisedonthestatuteneveroccurredtoit;whenwhatthejudgeshavetodois,nottodeterminewhatthelegislaturedidmeanonapointwhichwaspresenttoitsmind,buttoguesswhatitwouldhaveintendedonapointnotpresenttoitsmindhadthepointbeenpresent."Theattempttomaintaintheseparationofpowersbyconstitutionalprohibitionshaspointedtothesamelessonfromanotherside.Lawmaking,administrationandadjudicationcannotberigidlyfencedoffonefromtheotherandturnedovereachtoaseparateagencyasitsexclusivefield.Thereisratheradivisionoflaborastotypicalcasesandapracticalorhistoricalapportionmentoftherest.
Findingthelawmayconsistmerelyinlayingholdofaprescribedtextofacodeorstatute.In
thateventthetribunalmustproceedtodeterminethemeaningoftheruleandtoapplyit.Butmanycasesarenotsosimple.Morethanonetextisathandwhichmightapply;morethanoneruleispotentiallyapplicable,andthepartiesarecontendingwhichshallbemadethebasisofadecision.Inthateventtheseveralrulesmustbeinterpretedinorderthatintelligentselectionmay
bemade.Oftenthegenuineinterpretationoftheexistingrulesshowsthatnoneisadequateto
coverthecaseandthatwhatisineffect,ifnotintheory,anewonemustbesupplied.Attemptstoforeclosethisprocessbyminute,detailedlegislationhavefailedsignally,as,forexample,intheovergrowncodeofcivilprocedureinNewYork.Providingofarulebywhichtodecidethecauseisanecessaryelementinthedeterminationofalarge;proportionofthecausesthatcomebeforeourhighertribunals,anditisoftenbecausearulemustbeprovidedthatthepartiesarenotcontenttoabidethedecisionofthecourtoffirstinstance.
Casescallingforgenuineinterpretationarerelativelyfewandsimple;Moreovergenuineinter-
pretationandlawmakingundertheguiseofinterpretationrunintooneanother.Inother
words,thejudicialfunctionandthelegislativefunctionrunintooneanother.Itisthefunction
ofthelegislativeorgantomakelaws.Butfromthenatureofthecaseitcannotmakelawsso
completeandall-embracingthatthejudicialorganwillnotbeobligedtoexerciseacertainlaw-
makingfunctionalso.Thelatterwillrightlyconsiderthisasubordinatefunction.Itwilltake
ittobeoneofsupplementing,developingandshapinggivenmaterialsbymeansofagiventech-
nique.Nonethelessitisanecessarypartofjudicialpower.Pushedtotheextremethatregardsalljudiciallawmakingasunconstitutionalusurpation,ourpoliticaltheory,aphilosophicalclassificationmadeoverbyimperfectgeneralizationfromtheBritishconstitutionasitwasintheseventeenthcentury,hasservedmerelytoentrenchintheprofessionalmindthedogmaofthehistoricalschool,thatlegislativelawmakingisasubordinatefunctionandexistsonlytosupplementthetraditionalelementofthelegalsystemhereandthereandtosetthejudicialorjuristictraditionnowandthenintherightpathastosomeparticularitemwhereithadgoneastray.
InAnglo-Americanlawwedonotthinkofanalogicaldevelopmentofthetraditionalmateri-
alsofthelegalsystemasinterpretation.InRoman-lawcountries,wherethelawismadeupof
codessupplementedandexplainedbythecodifiedRomanlawofJustinianandmodernusageonthebasisthereof,whichstandsasthecommonlaw,itseemsclearenoughthatanalogicalapplicationwhetherofasectionofthecodeorofatextoftheRomanlawisessentiallythesameprocess.Botharecalledinterpretation.Asourcommonlawisnotintheformofauthoritativetexts,thenatureoftheprocessthatgoesonwhenaleadingcaseisappliedbyanalogy,orlimitedinitsapplication,ordistinguished,isconcealed.ItdoesnotseemonthesurfacetobethesameprocessaswhenatextoftheDigestissoappliedorlimitedordistinguished.Henceithasbeeneasyforustoassumethatcourtsdidnomorethangenuinelyinterpretlegislativetextsanddeducethelogicalcontentofauthoritativelyestablishedtraditionalprinciples.Ithasbeeneasytoacceptapoliticaltheory,proceedingonthedogmaofseparationofpowers,andtolaydownthatcourtsonlyinterpretandapply,thatallmakingoflawmustcomefromthelegislature,thatcourtsmust"takethelawastheyfindit,"asiftheycouldalwaysfinditready-madeforeverycase.Ithasbeeneasyalsotoacceptajuristictheorythatlawcannotbemade;thatitmayonlybefound,andthattheprocessoffindingitisamatterpurelyofobservationandlogic,involvingnocreativeelement.Ifwereallybelievedthispiousfiction,itwouldarguelittlefaithinthelogicalpowersofthebenchinviewofthediversityofjudiciallyasserteddoctrinesonthesamepointwhichsofrequentlyexistinourcaselawandthewidelydifferentopinionsofourbestjudgeswithrespecttothem.Asinterpretationisdifficult,whenitisdifficult,justbecausethelegis-
laturehadnoactualintenttoascertain,sothefindingofthecommonlawonanewpointis
difficultbecausethereisnoruleoflawtofind.Thejudicialandthelegislativefunctionsrunto-
getheralsoinjudicialascertainmentofthecommonlawbyanalogicalapplicationofdecided
cases.
Asinterpretationontheonesiderunsintolawmakingandsothejudicialfunctionrunsintothe
legislativefunction,ontheothersideinterpretationrunsintoapplicationandsothejudicialfunc-
tionrunsintotheadministrativeorexecutive.Typicallyjudicialtreatmentofacontroversyisa
measuringofitbyaruleinordertoreachauniversalsolutionforaclassofcausesofwhich
thecauseinhandisbutanexample.Typicallyadministrativetreatmentofasituationisadispo-
sitionofitasauniqueoccurrence,anindividualizationwherebyeffectisgiventoitsspecialratherthantoitsgeneralfeatures.Butadministrationcannotignoretheuniversalaspectsofsituationswithoutendangeringthegen