The Federal Judiciary Revolts…not Quite and not Enough: Trump’s Travel Bans and Judicial Review †

Nino Guruli [1]

Round 3 of the travel ban litigation in US courts has begun.[2] The administration has issued Travel Ban 3.0 and the district courts have, once more, ordered preliminary injunctions. As we watch the judicial response to this third iteration of President Trump’s travel ban order develop, it is worth considering the judiciary’s approach so far and what the emphasis on ‘the especially troubling Presidency of Donald Trump’ motif surrounding the litigation may obscure about the stakes.

Soon after several district courts around the United States struck down the second travel ban executive order issued by the Trump administration, a piece on Lawfare blog (one of the top national security blogs in the US) raised a question: “why are so many judges being so aggressive here?”[3] After all, when it is the immigration policy (especially matters of entry) mixed with claims of national security, the judiciary traditionally sings a very different tune: deference, avoidance, and faith in political judgement. The question came up in a lengthier discussion on reasons why different political, civil, and judicial actors have reacted to the Trump presidency with less deference and trust than is typically enjoyed by the holder of that office. The main argument advanced by the authors is that the Oath Clause of the Constitution has significant legal and political purchase, which accounts for institutional and doctrinal respect for presidential decision-making; the courts defer, the media extends the benefit of the doubt, executive officers fall in line because we all trust that the president is acting in ‘good faith’ and with constitutional principles in mind.[4] The problem is, the authors argue, “[t]he idea that Trump’s swearing this or any other oath ‘solemnly’ is, not to put too fine a point on it, laughable.”[5] The courts are willing to step up and be aggressive, the line of thinking goes, because this president cannot be thought to be acting in ‘good faith’. This line of argument is troubling, as is how the federal judiciary has approached the travel ban litigation more generally.

Personal shortcomings of President Trump may be cause for serious concern, but any legal doctrine developed and limited to these unique circumstances will fail to confront the core legal problem these cases present. The real problem is that our regular assumptions of ‘good faith’ have produced doctrines that grant almost absolute deference to the executive, to the point that it is accurate to characterize the law as allowing the president to use discriminatory, arbitrary, and irrational reasons for action. Two circuit courts ruled President Trump’s Executive Orders unconstitutional, but neither court’s approach confronts the issue of the breadth of discretion granted to the Executive and the need to develop principled standards for placing constitutional limits on that discretion.[6]

The 9th Circuit Court of Appeals’ decision against the first travel order and the 4th Circuit Court of Appeals’ en banc decision against the second travel ban order highlight two different judicial approaches. Each approach shows the judiciary failing to confront the substantive constitutional issues involved, finding refuge instead in lines of reasoning that fail to grapple with the challenge of unbounded discretion. The 9th Circuit’s focus on the separation of powers and procedural due process arguments avoids the question of ‘bad faith’ by following a more familiar national security/immigration context line of reasoning, one that has already proved incapable of examining the justification for and legitimacy of executive practice. Meanwhile, the 4th Circuit’s reliance on ‘bad faith’ sidesteps challenging doctrinal questions by developing a rule focused on this president and these circumstances. As the federal courts take up these issues again, it is worth considering what the circuit courts’ constitutional lines of reasoning so far tell us about judicial review of executive discretion.

I.                   The First Travel Ban

On 9th February 2017, 9th Circuit Court of Appeals issued a decision refusing to stay the temporary restraining order against the first executive order.[7]  Soon after the decision was handed down, President Trump announced he would not appeal; as a result the courts never conducted a full merits review. However, the 9th Circuit’s emphasis on separation of powers and procedural due process principles when justifying the exercise of judicial review signals that the substantive rights of the people affected by this order (or an examination of the justifications offered for it) may never have been a significant part of the eventual merits analysis.[8]

President Trump’s first executive order implicated important individual interests: whether it stranded legal permanent residents abroad; or trapped residents and aliens domestically by restricting their right to travel; or refused to grant entry to someone because of their religion. Judicial review of the legality and constitutionality of such an order should give proper weight to those interests.

There are two main kinds of separation of powers arguments in the court’s analysis, both of which are familiar. One focuses on the executive’s institutional powers in immigration and national security matters and the second on the judiciary’s role as the institutional check against illegal and unconstitutional exercises of executive power.  I want to focus on the checks and balances arguments for the exercise of judicial review. Given how much the circuit court references the Supreme Court decision in Boumediene v. Bush, a case in which the separation of powers arguments for exercising judicial review were effectively severed from the underlying individual interests mandating judicial review, there is reason to be concerned.[9] Federal courts have, in the past, relied on structural arguments to assert the need for judicial review.[10] Grand rhetoric about the need for checks and balances has proved to be just that, institutional grandstanding without much substantive doctrinal safeguarding of the principles and interests at stake. In other words, an institutional powers-based justification for the exercise of review is likely to get mired in duelling arguments for institutional domains of authority, conducted at a highly abstracted level at which executive national security and immigration powers are likely to win over any claims of judicial guardianship of constitutional structure.[11]

An institutional powers-based approach that merely pays lip service to checks and balances will not provide any meaningful review. The reasoning needs to be able to link the exercise of judicial power with a substantive principle/interest at stake in the litigation. The courts need to clearly explain that the judiciary is empowered to ensure the executive does not exercise discretionary authority in a discriminatory or unreasonable manner (perhaps finding arbitrariness from the fact that there is no evidence that the means chosen are related to the purported aims of the order).

Instead of identifying the applicable substantive standard, the court focused on the procedural due process claim as the main individual interest in the litigation. Given the Supreme Court’s use of procedural due process in national security and immigration,[12] the emphasis on process is another means of avoiding articulating the substantive principles or rights at issue.

There were important individual interests at stake in the litigation over the first travel ban. The rule of law concerns dominated the political and public discussion of the executive order. While judicial analysis necessarily proceeds differently, any judicial analysis that severs the institutional and procedural standards from the substantive values at stake will fail to protect those values, thereby rendering judicial review a hollow guarantor of constitutionality.

II.               The Second Travel Ban

Following the 9th Circuit’s decision, President Trump withdrew the first order and on 6th March 2017 signed Executive Order 13780 (EO-2), which was to go into effect on 16th March 2017.  EO-2 made some relevant changes to the first order. It removed Iraq from the list of covered countries and excluded from its coverage certain groups of individuals with relevant ties to the US.

On 16th March 2017, a district court in Maryland issued an injunction.[13] It was that decision that the en banc 4th Circuit affirmed (in part), 10-3. The 4th Circuit’s majority opinion focused considerably on President Trump’s statements, during his presidential run and after taking the Oath of office, to find ‘bad faith’ on the part of the administration in issuing the second order.[14] In looking at those statements and investigating the question of purpose of or justification for the executive order, the majority opinion had to confront a key precedent set by the Supreme Court in Kleindienst v Mandel. The Court in Mandel made the following rule for reviewing executive exercises of immigration power, when that exercise violates the First Amendment rights of citizens or residents:

“We hold that when the Executive exercises [the power to grant entry] negatively on the basis of a facially legitimate and bona fide reason, the courts will neither look behind the exercise of that discretion, nor test it by balancing its justification against the First Amendment interests [of the plaintiffs].”[15]

The 4th Circuit’s majority opinion, through the examination of President Trump’s public statements about the purpose of the executive order, found that there was ample reason to suspect that the purported national security purpose was in fact not ‘bona fide’ and therefore to find a likelihood of a Establishment Clause violation.[16] This is a bit of a misreading of Mandel.

In the case of Mandel, evidence was presented by the plaintiffs to raise doubts about the ‘bona fide’ nature of the decision, but the Supreme Court refused to consider them—a fact one of the dissents points out.[17] As Judge Niemeyer states, according to Mandel “a lack of good faith must appear on the face of the government’s action [in the text of the executive order], not from looking behind it.”[18] Given the stated reasons for targeting the nationals of the named six nations,[19] the dissent argued, on its face, the government’s reasons are legitimate and bona fide. The dissent is right about the state of the law, the precedent cited does dictate almost total judicial abdication, but that fact is a cause for concern about the state of our constitutional law and its compliance with the rule of law.

By focusing so much on the unique terribleness of this president, and devising a rule to get around Mandel so fitted to these circumstances, this case and the scholarly dialogue preoccupied with President Trump’s lack of ‘good faith’ runs the risk of closing its eyes to deeper problems with the state of the law. The issue, at the core, is not that we had set legal doctrine just right and President Trump is now unsettling the arrangements we have made. The problem is that constitutional doctrine in the area of immigration (and national security) is so deferential that it is not at all clear that President Trump’s policies (discrimination and all) are unconstitutional. We cannot say, examining cases like Chae Chan Ping,[20] Korematsu,[21] Mandel,[22] and Kerry v Din,[23] that using discriminatory, arbitrary, and unjustified reasons to deny, expel, and detain individuals is clearly unconstitutional. This fact may not trouble some people, but it should worry anyone in favour of imposing some limits on executive power. By focusing on the ‘bad faith’, or the personality and actions of this president, the legal analysis seeks to sidestep confronting the problem of unbounded deference and unreviewable power, which is the reality of this subject matter and these travel orders; its consequence.

III.            The Supreme Court and the Second Travel Ban Order

On 26th June 2017 the Supreme Court granted cert in a pair of cases challenging EO-2 (appeals from the 9th and the 4th Circuit Courts of Appeal) and granted, in part, the government’s motion to stay the lower courts’ injunctions.[24] The Court ultimately dismissed the case (or rather the pair of appeals) due to mootness, given the temporal scope of the Order, and vacated the two circuit court opinions.[25] Nevertheless, the per curium opinion gives us a glimpse into the Court’s thinking. The focus, in that opinion, on the ‘relationship’ between the individuals impacted by the Executive Order and the United States suggests the Court was leaning away from the Establishment Clause argument and was more likely to rely on the procedural due process protections to guide its reasoning.[26] As this essay has already argued, the Supreme Court’s continued reliance on procedural due process and separation of powers arguments presents a real barrier to substantive scrutiny of executive policy. Where the emphasis remains on institutional competencies divorced from substantive principles of due process, reasonableness, and non-discrimination, the habitual (and superficially defended) assumption of ‘good faith’ will, most likely, translate into unchecked executive power.

IV.           Afterword

On 4th December 2017 the Supreme Court granted the government’s request to allow the third iteration of the travel ban order to go into force as the litigation works its way through the federal circuit courts. Travel ban 3.0 limits the entry into the United States of nationals from Iran, Libya, Yemen, Somalia, and Syria, all of which were included in earlier orders, and adds North Korea, Venezuela, and Chad to the list.

 

 

† Previewed on 7th December 2017, https://joxcsls.com/new-articles/.

[1] Lecturer in law and the International Human Rights Fellow at the University of Chicago Law School.

[2] IRAP v Trump, Civ No TDC-17-0361 (D Md 17 Oct 2017) https://assets.documentcloud.org/documents/4112212/Md-Memo-Opinion.pdf; Hawaii v Trump, Civ No 17-00050 DK1-KSC (D Haw 17 Oct 2017) https://assets.documentcloud.org/documents/4111837/Hawaii-v-Trump-TRO.pdf.  See also Vivian Yee, ‘Judge Temporarily Halts New Version of Trump’s Travel Ban’ (NYTimes, 17 Oct 2017) <https://www.nytimes.com/2017/10/17/us/trump-travel-ban-blocked.html> accessed 30 Oct 2017.

[3] Benjamin Wittes & Quinta Jurecic, ‘The Revolt of the Judges’ (Lawfare, 16 March 2017) < https://lawfareblog.com/revolt-judges-what-happens-when-judiciary-doesnt-trust-presidents-oath> accessed 25 May 2017.

[4] Benjamin Wittes & Quinta Jurecic, ‘What Happens When We Don’t Believe the President’s Oath?’ (Lawfare, 3 Mar 2017) < https://lawfareblog.com/what-happens-when-we-dont-believe-presidents-oath> accessed May 25, 2017.

[5] ibid.

[6] There was a third circuit court decision, the 9th Circuit’s opinion on the second travel ban order, but that case was decided on statutory and not constitutional grounds. Though there are some interesting constitutional implications for how the 9th Circuit conducted statutory interpretation in the case, that decision will not be analyzed in this article.  Hawaii v Trump, 859 F3d 741 (9th Cir 2017).

[7] Washington v Trump, 847 F3d 1151 (9th Cir 2017).

[8] See Kerry v Din, 135 S Ct 2128 (2015).

[9] Boumediene v Bush, 553 US 723 (2008). See also Stephen Vladeck, ‘Boumediene’s Quiet Theory: Access to Courts and the Separation of Powers’ (2009) 84 Notre Dame L Rev 2107.

[10] ibid.

[11] United States v Curtiss-Wright, 299 US 304 (1936); Korematsu v United States, 323 US 214 (1944); Boumediene v Bush, 553 US 723 (2008).

[12] Kerry v Din, 135 S Ct 2128 (2015).

[13] IRAP v Trump, __FSupp 3d__, 2017 WL 1018235 (D Md Mar 16, 2017).

[14] IRAP v Trump, __F3d__, 2017 WL 2273306 (4th Cir May 25, 2017) 50-53.

[15] Kleindienst v Mandel, 408 US 753, 770 (1972).

[16] IRAP, 2017 WL 2273306 (4th Cir May 25, 2017) 53.

[17] ibid 160-62.

[18] ibid 163 (Niemeyer dissenting).

[19] Executive Order 13780 ‘Protecting the Nation from Foreign Terrorist Entry into the United States’, 82 (45) Fed Reg 13209, 13210 (Mar 6, 2017) (“Each of these countries is a state sponsor of terrorism, has been significantly compromised by terrorist organizations, or contains active conflict zones.”).

[20] 130 US 581 (1889).

[21] Korematsu v United States, 323 US 214 (1944).

[22] Kleindienst v Mandel, 408 US 753 (1972).

[23] Kerry v Din, 135 S Ct 2128 (2015).

[24] Trump v International Refugee Assistance Project, 582 US___ (2017) (per curium).

[25] Trump v Hawaii, Cert Summary Disposition 16-1540 (24 Oct 2017) https://www.supremecourt.gov/orders/courtorders/102417zr_e29f.pdf; Trump v IRAP, Cert Summary Disposition 16-1436 (10 Oct 2017) http://www.scotusblog.com/wp-content/uploads/2017/10/16-1436.pdf.

[26] Trump v International Refugee Assistance Project, 582 US at 9.

Law as Code for Power and Ideology: The Use of Legal Language in Public Land Debates

Matthew D. Schwoebel[1]

 

“Native people relate to rock art with our hearts…We do not view these panels as just art, but almost like a coded message that…informs our life and reality as humans.”

Malcolm Lehi, former Ute Mountain Ute Tribal Councilman

I.       Introduction

In 2016, President Obama designated Bears Ears National Monument (“National Monument” or “the Monument”) to protect 1.35 million acres of land in San Juan County, Utah managed by the Bureau of Land Management and the U.S. Forest Service. The Bears Ears area is known for its high density of cultural resources such as rock art, ancient cliff dwellings, granaries, towers, ceremonial kivas and other artefacts across an impressive landscape of sandstone canyons, forested highlands, meadow mountaintops, and desert mesas.[2] The Proclamation recognised that these ancient sites form an integral and interconnected cultural landscape[3] for contemporary tribal peoples. Local and regional Native people continue to use the land for collecting firewood, piñon nuts, and medicinal herbs and gathering materials for crafting baskets and footwear, as well as for conducting ceremonies. Other locals graze their cattle and use the land for recreation.

The designation followed nearly 80 years of tribal advocacy to protect the land, efforts that were later joined by archaeological, recreational, and environmental organisations and private individuals. A proposal was delivered to President Obama by the five tribal governments, namely – Hopi, Navajo, Ute Mountain Ute, Zuni and Ute Indian Tribe of the Uinta Ouray, to create not only a protected land status, but also to establish a new institution so that tribal knowledge and perspectives could be utilised in the co-management of the land. A collaborative approach would be carried out between the federal agencies and a newly established institution, the Bears Ears Inter-Tribal Coalition, composed of representatives from the five tribal governments. Co-management arrangements have taken form sporadically across the United States but have generally been limited to fish and wildlife management.[4] The Bears Ears National Monument represents the first co-management arrangement developed as a comprehensive land managing strategy for an entire expanse of federal land.[5]

The designation of the National Monument has reignited a heated, sometimes vitriolic and even confrontational, debate across Western states over who owns and controls public lands. The Trump administration in December 2017 set forth a new proclamation that rescinded portions of the National Monument and greatly reduced its existing boundaries by 85%, from 1.35 million acres to just over 200,000.

The Proclamation renamed the Monument Shash Jáa, the Navajo term for the area, despite its significance to over five tribal nations.[6] The President’s order also created two positions for county government representatives on the Inter-Tribal Coalition, previously a five-member body of tribal government cultural resource management officials. County Commissioners are perhaps the most outspoken opponents of monument designation. Areas removed from national monument status were in addition opened to new mineral leases within 60 days. Uranium, oil and natural gas deposits are known to exist in the area, with nearby facilities in operation. Some may suspect this move is part of the Trump administration’s efforts to achieve ‘American energy dominance’ to replace former administrations’ policy goal of energy independence.[7]

Various Anti-Monument groups have formed since the Monument’s inception, including those founded by local Navajo residents, to voice their opposition and advocate for the Monument’s rescission or modification. Tribal governments, Native American citizens, archaeologists, palaeontologists and recreational and environmental groups, local and national, constitute the base of the counter Pro-Monument movement. As expected, organisations involved, both pro- and anti-, speak out through online social networking sites. Social networking sites are now considered to constitute a public sphere for the debate and formulation of public opinion.[8] This article will explore how different groups with divergent political goals frame and interpret ‘protection’ of the land through use of a vernacular legal language and forms of reasoning. More broadly, I want to explore how legal ideas are disseminated and reinterpreted at a general vernacular level through power and ideology. I discuss comments on Facebook pages of four organisations: the Bears Ears Inter-Tribal Coalition, a local Anti-Monument Navajo organisation, a local Pro-Monument Navajo organisation and a conservative think tank based in Salt Lake City. Each of these organisations has played a major public role in the controversy; however, my focus is on social media platforms (i.e., comment sections) and how they are used to advance ideology and debate positions. These four organisations are the only organisations on Facebook with group pages dedicated to discussing this issue. I focus my attention on Facebook group pages because they have become an important site of public commentary on controversial issues, and I want to know how legal language is used in public debates. Additionally, one-third of Utahns are members of Facebook and so it provides a space for which real-time interaction between competing groups within public debate can occur.

Among social media platforms, Facebook is seen according to some research as the ideal location for debate, rather than the dissemination of information as is more associated with networks like Twitter. Research has further indicated that social networks provide access to news that might be more concentrated on issue-based public affairs or otherwise go unnoticed.[9] Facebook generally is used by ordinary citizens to share material and discuss topics that are of concern or interest to them.[10] Group pages, in part, on Facebook allow members to join a set of participants interested in a matter of public concern. Group pages provide members with the opportunity to more freely exchange their views and political positions than might otherwise occur on personal pages where certain social conventions of friendships and familial relations might disincentive the exchange or expression of such ideas. Group pages enable and encourage public discussion and help to overcome the risk of social isolation that could be caused by public posts on personal pages. Therefore, group pages dedicated to a topic or issue offer an appropriate and even robust space for discussion and debate on matters of public affairs among the general population.

The comment sections for these groups were coded and analysed using NVivo software to identify how competing groups use a vernacular legal language in public debate. The comment sections of each group were made into transcripts which could then be coded. A codebook was developed using a grounded theory approach.

This article approaches public lands debates from an ethnographic semiotic approach. I first provide a theoretical framework for the article, and in the sections that follow I discuss various aspects of the theory of ethnographic semiotic research. The first discusses a vernacular legality discourse as it is used by pro- and anti-monument groups through social media. The subsequent section discusses the most salient points raised by these groups and how their use of legal language is framed. The final section discusses the style of speech that is used. Collectively, these sections provide the what, why and how of a vernacular legal language use.

II.      Theoretical Approach

I develop here a social semiotics approach to the study of vernacular legal language use and its relation to power and political position of different interpretive communities. The meaning of language, including legal language, is attributed to power in social semiotics. Vannini explains, “[s]ocial semiotics locate the origin of meaning within the field of semiosis, or in other words, within the process of context-bound and conflict-laden interpersonal interaction.”[11] Interaction between interpretive communities contains various motives, goals and perspectives, and different individuals and groups have differing levels of access to power in the context of interaction (exo-semiotic contexts). Legal language use is often infused with power dynamics (e.g., judge-litigant-attorney relations) in role-bound, institutional settings (what Bourdieu calls the juridical field), but at a vernacular level legal language use concerns visions of power that index political affiliations, values and goals. As Volosinov put it: “the form of signs is conditioned above all by the social organisation of the participants involved and also by the immediate conditions of their interaction.”[12] A legal language that exists at a general vernacular level helps to understand how legal ideas and reasoning are disseminated throughout society, and may help to project the form and content of power-laden political rhetoric and the legal reforms that develop subsequently.

In social semiotics the study of power is a social process, and so particular interactions between persons may reflect the structures of socio-political domination.[13] However, hegemony is unstable; meaning is not always affected in the ways speakers desire and meaning changes over time. New ideas may develop in advocacy campaigns to assert power, but these ideas may be challenged through legal, pragmatic or value statements. Social struggle over meaning in a particular context thus ensues and is amenable to analysis in the production of meaning. The development of contested, multiple meanings within various historical, cultural and institutional contexts is referred to as heteroglossia.[14] I want to know how law, understood in this context, following Bourdieu, as a “universalizing attitude,” becomes contested and develops variation in its meaning in social practice.[15] I am interested in legal culture, not as an institutional site of power-laden roles and procedures, but as a “domain of struggle” between different interpretive communities at a general vernacular level.[16] I look at ideological and political exo-semiotic contexts, affiliation with pro- and anti-monument organisations, to see how polysemic meanings related to monument status are produced, created, interpreted, and exchanged. Semiotics is not ‘pure’ theory, and so an understanding of the legal constructs used in speech about the law provides insights into the domain of political struggle about legal reform or enforcement of law. I narrow my focus by looking at discourse, semiotic functions (salience and framing,) and style, which help explain the what, why, and how, respectively, of semiotic resource[17] use.

III.     Discourse of Legality

Discourse, following Foucault, is a socially constructed body of knowledge that has material and symbolic associations through representation and mediation in social practice.[18] For example, Vannini shows how a medical discourse is used by both proponents and antagonists of artificial tanning.[19] Van Leeuween explains, discourses “are versions of those practices plus the ideas and attitudes that attach to them in the contexts in which we use them.”[20] Discourse refers to the content of semiotic resources, and explains the what of their use. Political goals gain legitimacy and authority through legality discourses, for the law is a body of rules for governing society and resolving social conflict through a particular form of reasoning which is based on a universalising attitude.[21] All sides of the Monument debate advocate for land protection, local well-being and a sacred view of the land, but the desired outcomes are mutually exclusive. It is the coexistence between discourses that produce the site of social struggle in regard to the Monument.[22] Legality discourses enable interpretive communities to make rational arguments about their moral, aesthetic, and logical goals.

A.    Relevant legal authority

The United States Constitution refers to public lands only once in a provision referred to as the Property Clause. The Property Clause of the Constitution enumerates congressional “[p]ower to dispose of and make all needful Rules and Regulations respecting [public property.]”[23] According to the U.S. Supreme Court, this authority in the context of public land management is “without limitation”[24] and it has been used to uphold federal authority to retain public lands and limit certain uses on them.[25]

The Antiquities Act of 1906[26] delegates to the President the authority to designate national monuments in order to provide for an immediate means to protect lands that are of high scientific, archaeological or historic significance. The delegation of authority allows for rapid protective measures to be put in place in order “to prevent imminent and irreparable harm” to lands of major significance and sidestep the laborious legislative process. Presidents typically designate sites at the end of their tenure as part of their legacy, recognising such sites as Devil’s Tower, the Statue of Liberty and the Grand Canyon. The Act, however, grants narrow authority to the President in three principal ways. The monument must meet the requisite level of significance. The size must be “confined to the smallest area compatible with proper care and management of the objects to be protected.” In addition, the delegation of authority only expressly declares the power to establish rather than modify or rescind. The latter powers are, arguably, reserved to Congress under the Federal Land Policy and Management Act of 1976.[27] Several lawsuits are pending on the scope of presidential authority under the law.

The Proclamations themselves made moderate change in legal status to the lands. Much of the lands that comprise the Monument were federal lands managed separately by the BLM and USFS prior to designation. The change in a national monument designation concerns principally a set of permissible activities, particularly related to mineral development. Funding for land conservation was not altered by monument designation as it is dependent on the separate congressional appropriations process.

B.    Legality Discourse

Facebook users apprehend differently the limitations set forth in the Antiquities Act and its overarching purpose of protecting public lands. One group of Anti-Monument users indicate the Monument is of “immense size,” “too big” or “excessive.” This group reasons monuments generally increase the presence of looters and so a small size is necessary for effective law enforcement. Other Anti-Monument users emphasise that Ancestral Pueblo ruins do not constitute the level of necessary significance deserving of a national monument, and so complete revocation is justified. Finally, a smaller group of Anti-Monument users argue that the legal implications of monument designations are ineffective in preserving objects of significance; a monument merely has a “feel good status” and creates problems rather than resolving them. There are other, “stronger laws,” so it is argued, that can achieve the goal of protection of archaeological sites and so a monument designation is superfluous. Therefore, this final group advocates for a complete overhaul of the Antiquities Act so that states may exercise greater control and to require public input. In the alternative, an amendment is proposed to the Antiquities Act in order to exempt the State of Utah from the legislation.

Pro-Monument users focus their legal interpretation of the Antiquities Act on procedural elements and Native rights. The Trump administration’s efforts to revoke and modify the National Monument are deemed unlawful, and therefore, a lawsuit is encouraged and used as a means for fundraising. Pro-Monument users also profess that protection enables by extension the protection of religious practices of Native peoples in the region, and so continued protective land status is paramount.

The Pro- and Anti-Monument users raise unique perspectives on the Antiquities Act, but do not directly challenge one another’s interpretations. For instance, Pro-Monument users do not debate the size of the Monument through reference to the concept of “cultural landscape” as referenced in Obama’s Proclamation. The vernacular legality discourse is incomplete, and given that users pinpoint separate legal provisions, interpretive communities generally talk past one another. Each political side, however, is consistent in emphasising criminal legal concepts in its interpretations of the law. Users declare the opposing authority to their view to have “stolen” land and that violation of the law should be remedied through “imprisonment” or “jail.” Such references perhaps stem from representations of law in popular culture[28] or from personal indignation of the situation, or a combination of both.

In discourse about the U.S. Constitution, more interaction between Facebook users is observed. Commenters extensively debate State Rights under the Constitution. Pro-Monument users only raise one constitutional provision to support their positions – the free exercise of religion clause under the First Amendment – but this provision is not addressed by Anti-Monument users. Pro-Monument users emphasise individual rights, whereas Anti-Monument users emphasise and debate with their counterparts the structural relations of government. The Property Clause which authorises congressional action to create and delegate authority over public lands as expressed in the Antiquities Act is not referenced by either side.

Anti-Monument Facebook users make novel interpretations of constitutional provisions to solidify their points. Anti-Monument users argue the Antiquities Act is unconstitutional by isolating certain provisions and reimagining their significance, and Pro-Monument users debate these interpretations on the basis of historical fact and pragmatism. As one Anti-Monument user stated, “it doesn’t matter how many antiquities acts you pass if you want to create federal lands you need to amend the constitution.” The unconstitutionality of the Antiquities Act is raised through reference to two relatively obscure constitutional provisions: the Equal Footings doctrine[29] and the Enclave Clause.[30] Both provisions lack robust or contemporary jurisprudence, but have been reimagined in federal land ownership debates and social movements across the Western United States. Both were explicitly referenced during the “Oregon Standoff” in 2016 to challenge federal ownership of public lands.[31]

The Equal Footings doctrine concerns the standards for admission of new states into the Union of the United States. The provision was enacted in response to a debate on whether Western states, then territories, should be admitted with equal “power, dignity and authority”[32] to the original thirteen states, or whether limitations might be placed on new states so as not to overpower the authority of the original thirteen. Maryland also wanted to ensure that western claims of Virginia and Georgia did not allow those states to amass greater power by consolidating those lands into their own boundaries once recognised. The provision stipulates that all newly admitted state governments have equal sovereignty to their original counterparts and therefore the new states’ sovereignty may not be abridged through imposing conditions in acts admitting them to the Union. Anti-Monument Facebook users, however, reference the doctrine for a different purpose and through the construction of a novel applicable context.

Anti-Monument users claim that relatively large amount of federal lands in Utah (i.e., 66.5%), the second highest in the nation, should be grounds for a constitutional challenge. The high percentage of federal lands protected in Utah should justify a moratorium on creation of new federal lands so as to avoid economic hardships for citizens and further reductions in the territorial expanse of state authority. Constitutional law is interpreted under a principle of torts, res ipsa loquitur, meaning that establishing the existence of hardship should lead to a finding of a legal violation. While much of the federal lands in question were acquired at the time of statehood through an agreement with the state under the Utah Enabling Act, these users argue that federal designations following statehood are also covered by the provision. The Equal Footings doctrine applies to the terms under which a new state is admitted, thus making the Antiquities Act and the designation of Bears Ears National Monument inconsequential, but users utilise its central thrust of co-equal sovereigns to demand greater land ownership and control for states and their citizens at the exclusion of federal and tribal governments. Such users reimagine the provision to exist within contemporary factual circumstances as a legal means to rebalance the power scales that have presumptively been weighed too heavily in favour of the federal government. One Anti-Monument user states:

“The founders set up the EQUAL FOOTING ACT this is where any future State that comes into the UNION comes in under the SAME CONDITIONS AS THE ORIGINAL THIRTEEN! The federal government is USURPING POWER IT DOES NOT HAVE. All State Senators need to stand and declare NULLIFICATION that means the States will NOT comply with the federal governments usurpation of power!”

Pro-Monument users make various statements to contest this view, arguing that the State of Utah “willingly gave up” federal land holdings at the time of statehood by referencing the Enabling Act.[33] Furthermore, Pro-Monument users emphasise the importance of the federal system of checks-and-balances in determining what is considered “unconstitutional.” As one Pro-Monument user states, “Well, has a Supreme Court ever found it to be unconstitutional? No, they have not.”

Reference to “Article 1, Section 8, Clause 17” and comments that the federal government is not permitted to own or control more than 10 acres of contiguous land raise another constitutional matter. The so-called Enclave Clause deals with the location the new nation’s capital, a place that the framers felt should be in a district that was independent of any particular state government and subject only to federal control. A plan was adopted to create a federal district no larger than 10 acres. The provision does not preclude the federal government from purchasing or holding title to other land; however, Anti-Monument Facebook users have reimagined the provision under a rigid, exacting interpretation (rather than a legal deductive and analogic) as they argue the federal government is prohibited from creating or retaining public lands in excess of 10 acres. As one user noted, “With matters of the constitution, it is All or Nothing. All or nothing. All.” Anti-Monument users exclaim that the federal government should therefore be legally required to “give the land back.”

Pro-Monument users challenge this interpretation with specific references to the terms under which Mexico ceded to the United States the area that became the territory of Utah. They note the lands were under federal control before Utah became a state and therefore there is “nothing to give back.” Pro-Monument users also make the pragmatic claim that if the federal government could not own more than 10 acres of land, it would prohibit the establishment of military bases. A Pro-Monument user states, “That’s so bogus. I guess we better close all Air Force bases. The Constitution doesn’t even allow an Air Force according to your logic.” To this claim, one Anti-Monument user, once again using an exacting interpretation of the constitution, replied with only one phrase, “Article 1, Section 8, Clause 17.”

IV.     Social Media and the Salience and Framing of the Law

The dominant signs of an interpretive community are referred to as the “salience” of speech, and the way in which signs connect together is termed “framing.” Interpretive communities can be explained in terms of their conceptual frameworks, and those conceptual frameworks contain dominant concepts and networks of interconnected meaning. Salience and framing together explain the why of semiotic resource use. For example, when users on Facebook employ legal language they may be referring to their personal values and goals or visions for society, and so salience and framing help to explain why different groups use legal language in the ways in which they do.

The concept of salience simply indicates that some communicative elements are more functional (i.e., significant) than others.[34] Salience is indicated through points of emphasis that function to highlight an interpretive community’s dominant semiotic resources, their positions, affiliations, goals and values that motivate their speech. The following table lists the words and phrases most frequently referenced that were identified through word frequency analysis using NVivo:

 

Pro-Monument Anti-Monument
American Utah
National Local
The people The Navajo
Country San Juan County
Sacred Using
#standwithbearsears #rescindthemonument
Support Protect
Vote Needs
Sue Live
Greed Roads
Money Jobs

 

Framing refers to how, rather than “elements of a composition…[being] given separate identities [they are instead] represented as belonging together.”[35] Monument status on the Anti-Monument side is viewed alongside lifestyle, traditions, wilderness, distant special interests and States’ rights, and on the Pro-Monument side status is associated with economic development, law enforcement, free exercise of religion, political corruption, national identity and separation of powers. Historical contexts provide a means for framing people’s opinions, values and views about monument status, for they demonstrate how overarching policy positions are situated within larger contexts, which create a starting point for deliberation on the matter at hand. Gamson and Modigliani make this point clear when they say frames are the “central organising idea or storyline that provides meaning”[36] or “a central organising idea for making sense of relevant events and suggesting what is at issue.”[37]

Pro-Monument users emphasise a national historical narrative, while Anti-Monument users index personal or local history to sustain their arguments. Pro-Monument users point to the general historical mistreatment of Native peoples in the United States, and particularly associate rescinding the National Monument with the history of the federal government’s failure to fulfil treaty obligations with tribal nations. One Pro-Monument user stated, “A politician strikes an agreement with Native Americans. Soon after, another politician revokes that agreement – The History of America.” Other Pro-Monument users place Bears Ears within a more contemporary national context, questioning whether rescinding the Monument will lead to another “major movement like at Standing Rock” with the Dakota Access Pipeline.[38] A legacy of broken promises for Native peoples, according to these users, could be curtailed in the present controversy.

Anti-Monument users point to personal or local history as a framing device. Personal life experience and the development of federal lands in the adjacent region are referenced as rationales for their accrued distrust. One user stated,

“I grew up in the Grand Staircase as a boy chasing cattle and being out there before any of your type of people were around where you could be out there for days and not see anyone. That’s when the country was pristine and protected and free of all your so called ‘protect the land for future generations’ was even thought about. Since it was declared a monument under the chickenshit president Clinton all it’s done is bring more people and trash that comes with it to this once sacred country.”

Personal life stories of land use are referenced to highlight how the land and nearby areas were enjoyed prior to a period of federal interference. These stories emphasise the solitude and enjoyment the land once provided. The land, they reason, was once wild and enjoyed freely, but federal officials have needlessly restricted peaceful enjoyment of the land through intimidating practices. A national monument designation would embolden these officials even further to limit local use and enjoyment. One Anti-Monument user stated, “It started changing a few years ago. On one occasion I was threatened with a fine for not having a permit for too large a group. (We only had two in our party!)” A general distrust of federal policies by local Navajo communities is also mentioned, particularly regional or national historical events that had local effect. The relocation of Navajo people during the Long Walk of 1864 and forceful placement of Navajo children in boarding schools are mentioned as a basis for contemporary distrust of federal policies, the indexes of historical trauma. The selection of different historical moments allows for different kinds of individual deliberation. The contexts used are distinct based on geographic scale, national or local, the conceptual frameworks that permeate all monument-related speech. Through this kind of storytelling, monument status is framed as a remedy for past breaches of duty or as suspect and deserving of distrust because of past government action.

V.      Style

Style refers to “metasigns that work by sustaining the difference and uniqueness of social agents.”[39] Style expresses individual feelings and social allegiances (solidarity, group identity and ideology),[40] and it works as a “marker of individual and collective identity, and as a telling characteristic of culture and subculture.”[41] Irvine eloquently explains that style “crucially concerns distinctiveness; though it may characterise an individual, it does so only within a social framework; it thus depends upon social evaluation and, perhaps, aesthetics; and it interacts with ideologised representations.”[42]

The study of style is primarily concerned with how people use semiotic resources. For example, Facebook users employ similar concepts, such as “sacredness” and “protection of the land,” but advocate very different legal and political measures to achieve those ends. In this case, style works as a marker of personal and collective political affiliations on the basis of views about the role government in people’s lives, either as a promoter of social benefit or harbinger of social ill; legal language use about public land thus is encoded with larger political ideologies. The benevolent government view rallies opponents of theft and damage and so protection and the sacredness of the land must be institutionalised through greater legal control and political attention. The draconian government view organises opponents of rural lifestyle change and so protection and sacredness must be preserved through limitations on government interference.

Legal language use on monument status is styled in “competing voices and competing interests”[43] of practice versus identity, localism versus national interest and freedom versus social care. In the words of Kress: “signs are always motivated by the producer’s ‘interest,’ and by characteristics of the object.”[44] An association, or lexicon rule, develops that connects monument revocation with ideals of local land use and monument designation with ideologies of American-ness. The object indexed is characterised as either protected land because it is managed through the force of law or protected land because it remains rural. As one Anti-Monument user stated, “Why is it that they don’t think of the degradation more people using these fragile ecosystems will bring? Let the folks who know how to sustainably live in these areas continue their way of life.” The object is also indexed as sacred land that merits legal protection or sacred land that deserves to be left alone. As one Anti-Monument user stated, “This is a sacred place that a monument status only plain and simple destroys the sacredness. Leave it for public multi-use land.”

Anti-Monument Facebook users employ messages of ‘localism’ to establish their uniqueness and distinguish themselves from perceived or actual Pro-Monument views. Localism refers to comments that assert a preferential weight be given to the views and interests of local people. In this case, localism applies to statements of residents of San Juan County to continued land access and practices that existed prior to monument designation. Local rights and interests are bolstered by a claim to increased observation and knowledge of local conditions. Competing interests, it is maintained, should be weighed according to direct knowledge and experience gained through living in the area. Knowledge and experience give rise to a preferential politics of localism. The locality of interests supersedes the national significance of a national monument: local views first, then extend outward, or else the government practice should be deemed “undemocratic,” Localism is particularly acute in the case of statements regarding local Navajo people.

Anti-Monument Facebook users often profess that all local Navajo are against the Monument, and that Tribes in favour of the Monument are not, according to a common refrain, “even from Utah.” One Anti-Monument user stated, “What I’ve noticed over the last several years, is that local tribes were not in favour of Bears Ears while national tribes (who don’t live in Utah) were in favour.” The sovereignty of the Navajo Nation extends into southern Utah, an area that borders the Bears Ears National Monument. The Tribe’s sovereignty, defined under the U.S. Constitution, treaties and Supreme Court jurisprudence, and the government-to-government relationship it enjoys with the federal government, easily gives way to a new social category, “Utahn Navajos.” The views of local Navajos, under a localism politics, must take precedence over those of the tribal government, and therefore, the structural relations between the three kinds of sovereigns in the United States, federal, state, and tribal, should be secondary to local interests. The preferential treatment of local interest is justified along two grounds: a presumption of reversion to prior land use and status and an assertion of “locking up the land” by national monument designation. These two grounds assert that locals can manage the land appropriately and that a national monument would interfere with proper management and use.

Localism is often based on a presumption of reversion to prior land use and status. Anti-Monument statements assert that local residents have demonstrated their capacity to conserve and manage the land through accumulative knowledge and practices. As one Anti-Monument Facebook user reasoned, “What’s wrong with the way things are now? The grazers manage their lands well. They take care of things. Since they are the users of the land they are the best to take care of it. It impacts their bottom line.” Another Anti-Monument user stated, “People who are attached to the land are the one who can take care of this land the best. Local residents have been taken care of from their use of this land and so why would they destroy what takes care of them?” A monument, it is reasoned, would only encourage greater pedestrian traffic and subsequent adverse effects, thus creating problems that were previously non-existent or nominal. An Anti-Monument user explained,

“Unfortunately, those of us that live right next to the monument are already seeing the negative effects of increased tourism. Garbage, toilet paper and tracks left behind by people who care very little about this area. You talk about looting. What do you think a lot of those tourists take home for souvenirs?”

These comments have an interesting corollary to cost-benefit analysis, an explicit evaluation tool in public administration and business to assess alternatives in decision-making. The basic assumption of cost-benefit analysis is that things are worth doing if the benefits outweigh the costs.[45] Localism statements simply assert that a ‘no action’ alternative is the most pragmatic, fair option, and the optimal means to protect the land. However, statements of localism see only two alternatives within the wider context they evaluate: land of prior use and status or land of increased use caused by a change in status. Some Pro-Monument users retort that large-scale extractive industries have their eyes on the region, so a monument designation is a pre-emptive move against such land disturbing activities. Localism statements rectify their position through a representation of fact that again relies on prior personal and collective observation. There is, so it is argued, no known interest among industries to extract resources from the area, or else they would have already done so. As one Anti-Monument user states, “Very little of San Juan County can be and is mined for anything. Especially the land inside the proposed Bears Ears monument. Been there, traveled it and know what I say is true.”

Statements of localism are further styled through messages that characterise the object of a national monument. Localism relies on statements of “locking up” the land. Localism is not associated with an ontological view of localness, ‘who we are’, but with local use and practices on the land, ‘what we do’. The presumption of reversion relates to the benefits of rescinding the monument, whereas locking up the land statements explain the ungirding costs. These statements rely on a view that the National Monument is similar in legal category to a National Park. These styling statements concern why, broadly speaking, national monument designations pose risks and “take away rights and freedoms.”

The association between national monuments and National Parks asserts that locals will no longer be able to engage in customary practices, such as collecting firewood, grazing, hunting, harvesting wild plants, or visiting places that require an off-road vehicle. The Monument accordingly creates a land use boundary that prohibits these practices in absolute terms. Local perspectives conflate the National Monument, a legal designation that may, depending on the managing agency involved, be compatible with the conservation or sustainable use principle (a land use principle developed by Gifford Pinchot), with a National Park,[46] a designation based on the philosophy of preservation (a land use principle developed by John Muir) that disallows uses such as hunting, collecting forest products, etc.  The Monument is managed jointly by the Bureau of Land Management[47] and U.S. Forest Service,[48] federal agencies that followed Pinchot’s conservation principle, which promote multiple use policies.[49] Localism asserts that experience on the land demonstrates a cultural ethic of conservation, and, therefore, local land use practices are superior in nature to the National Monument’s presumed preservation policies.

Pro-Monument users style their messages according to notions of American identity in order to justify their positions and challenge localism and the drawn conclusions about the costs and benefits of monument designation. American identity statements are often framed as the land “belongs to all of us,” whereas comments on localism emphasise the land should be “given back” to its rightful owners. American identity claims are based on the ideologies of American identity, U.S. federalism and their corollary in established federal policy on public lands. Federal policy currently stipulates that the federal government should retain its federal holdings and that lands are held in trust for the benefit of all American people.[50] One Pro-Monument Facebook user commented, “Why is there such surprise? Don’t people believe in the USA?” The negative effects on local practices are dismissed outright, not according to the specifics of the management plan, but under the ideology of American-ness, for the land belongs to ‘us,’ too.

VI.     Conclusion

Legal language use among different interpretive communities involved in Western public land debates demonstrates how people with competing interests invoke law and talk past one another in asserting their claims, goals and values. The law becomes a proxy for and is mediated through political ideology and identity as it is reimagined, asserted and debated. Legal concepts and forms of reasoning are thereby disseminated at a vernacular level, which may in turn be further adopted in legislative reform and political rhetoric.

The ‘law,’ what Bourdieu calls a universalising attitude, is not solely a function of institutional control and influence, but also social relationships and day-to-day interactions. Legal culture is, therefore, broader than the institutional settings of law, as it reaches and disseminates into general, vernacular social relations and practices – the sociolinguistics of legal implementation, or the ways in which law becomes a part of quotidian social practice.

The study of law as a matter of general social practice may help to further explore how law becomes implemented into society and help to explain why in some cases there are ‘implementation gaps’ between legal principles and daily realities, for law at a grassroots level becomes encoded with power and ideologies. Perhaps as movements such as these expand and gain momentum, law not only works from the institutions down, but from a general, vernacular level up to the institutional level. Certainly, the legal interpretations of these groups have no or little institutional effect within the courts; however, the Utah congressional delegates have recently proposed legislation to reduce the federal estate in the State of Utah by 5% in order to provide funds for public education. This article suggests that law may be a much more dynamic social process than has been previously explored in the literature.

 

[1] Ph.D. Candidate in American Indian Studies and Anthropology at the University of Arizona. J.D. from Boalt Hall School of Law, U.C. Berkeley. M.Litt from U.D., Trinity College.

[2] William H. Doelle, ‘Bears Ears Archaeological Experts Gathering: Assessing and Looking Ahead Report’ Archaeology Southwest and Friends of Cedar Mesa (Report prepared by Archaeology Southwest and friends of Cedar Mesa 2017).

[3] Various definitions for cultural landscape exist. One concise definition is proffered by Álvarez Munárriz Luis as “cultural areas created by members of a given culture, which serves as the setting that shapes thought, behaviour and orientation”. See, Álvarez Munárriz Luis ‘The Cultural Landscape Concept’ (2011) 6 AIBR 50, 63

[4] Ellen M. Donoghue, Sara A. Thompson and John C. Bliss. ‘Tribal-Federal Collaboration in Resource Management’ (2010) 14 Journal of Ecological Anthropology 1. See also, Mary Ann King, ‘Co-Management or Contracting? Agreements between Native American Tribes and the U.S. National Park Service Pursuant to the 1994 Tribal Self-Governance Act’ (2007) 31 Harvard Environmental Law Review 2. See also, Martin Nie, ‘The Use of Co-Management and Protected Land-Use Designations to Protect Tribal Cultural Resources and Reserved Treaty Rights on Federal Lands’ (2008) 48 Natural Resources Journal 3.

[5] The closest equivalent in terms of scope is the co-management of the Canyon de Chelly National Monument between the National Park Service and the Navajo Nation, but this monument is tellingly located on tribal lands, and co-management arrangements are largely piecemeal and focused on employment opportunities.

[6] The name of Bears Ears was originally selected because in all tribal languages of peoples that use the area the term invariably translates to “Bears Ears”. Bears Ears refers to two buttes located near each other.

[7] Timothy Cama, ‘Trump vows to create “American energy dominance”’ The Hill. (Washington, D.C., 29 June 2017).  <http://thehill.com/policy/energy-environment/340135-trump-rolls-out-actions-to-boost-nuclear-fossil-fuels> accessed 5 November 2017.

[8] Zizi A. Papacharissi, A Private Sphere: Democracy in a Digital Age, (Polity Press 2010).

[9] Javier Guallar, Jaume Suau, Carlos Ruiz-Caballero, Albert Sáez, Pere Masip, ‘Re-dissemination of News and Public Debate on Social Networks’ (2016) 25 El profesional de la información 3.

[10] Sussane M. Almgren and Tobias Olsson, ‘Let’s Get Them Involved’…to Some Extent: Analyzing Online News Participation (2015) 1 Social Media + Society 2.

[11] Phillip Vannini, ‘Social Semiotics and Fieldwork: Method and Analytics’ (2007) 13 Qualitative Inquiry 113, 115.

[12] Valentin Volosinov Marxism and the Philosophy of Language (Seminar Press 1973), 21.

[13] Vannini, supra note 11.

[14] Roland Barthes, Mythologies (Hill and Wang 1972); Mikhail Bakhtin, The dialogic imagination: Four essays (University of Texas Press 1981); Mikhail Bakhtin, Rabelais and his world (Indiana University Press 1984); Mikhail Bakhtin, Speech genres and other late essays (C. Emerson, Ed. University of Texas Press 1986); Robert Hodge and Gunther Kress, Social semiotics (Cornell University Press 1988); Theo Van Leeuwen, Introducing social semiotics (Routledge 2005); Volosinov, supra note 12.

[15] Pierre Bourdieu, ‘The Force of Law: Towards a Sociology of the Juridical Field’ (1987) 38 Hastings Law Journal 5, 814, 830-831.

[16] Joe L. Kincheloe and Peter McLaren, ‘Rethinking critical theory and qualitative research’ in Norman K. Denzin and Yvonna S. Lincoln (eds), The landscape of qualitative research (Sage 2003), 441.

[17] Signs work as resources in the sense that they can function to accomplish a variety of goals, including informative (to provide information to others), imaginative (to create a fictional universe), heuristic (to enquire about the world without and within), personal (to make oneself known in the world), interactional (to establish and maintain relationships), regulatory (to control the actions of others), and instrumental (to satisfy material needs). M.A.K. Halliday, Language as social semiotics (Edward Arnold 1978).

[18] Michel Foucault, Power/knowledge (Harvester Press 1980); Van Leeuwen, supra note 14; Webb Keane, “Market, Materiality and Moral Metalanguage” 8 Anthropological Theory (2008).

[19] Vannini, supra, note 11.

[20] Van Leeuwen, supra note 14 at 104.

[21] Bourdieu, supra note 15.

[22] Bakhtin, 1984, supra note 14; Hodge & Kress, supra note 14.

[23] U.S. Const. art. IV, § 3, cl. 2.

[24] See Kleppe v. New Mexico, 426 U.S. 529, 539 (1976) (quoting United States v. San Francisco, 310 U.S. 16, 29 (1940)). See also Ivanhoe Irrigation Dist. v. McCracken, 357 U.S. 275, 294–295 (1958).

[25] Gibson v. Chouteau, 80 U.S. 92, 99 (1872), U.S. v. Grimaud, 220 U.S. 506 (1911), Light v. U.S. 220 U.S. 523 (1911), Utah Power & Light Co. v. U.S., 243 U.S. 389, 405 (1917), Ashwander v. Tennessee Valley Authority, 297 U.S. 288, 336 (1936).

[26] Pub.L. 59–209, 34 Stat. 225, 54 U.S.C. §§ 320301–320303

[27] Mark Squillace, Eric Biber, Nicholas S. Bryner, and Sean B. Hecht, ‘Presidents Lack the Authority to Abolish or Diminish National Monuments’ (2017) 103 Va. L. Rev. Online 55.

[28] Peter Robson, ‘The Portrayal of the Corporate Lawyer on TV: the US and British models from L.A. Law to Trust and Suits’ (2017) 2 Journal of the Oxford Centre for Socio-Legal Studies.

[29] U.S. Const. art. IV, § 3, cl. 1.

[30] U.S. Const. art. I, § 8, cl. 17.

[31] See, Liam Stack, ‘What We Know About the Standoff in Oregon’ New York Times (New York, 3 January 2016) [electronically available at: https://www.nytimes.com/interactive/2016/01/04/us/04oregon-listy.html%5D.

[32] Coyle v. Smith, 221 U.S. 559, 560 (1911).

[33] Section 3(2) of the Enabling Act of the State of Utah declares, “That the people inhabiting said proposed State do agree and declare that they forever disclaim all right and title to the unappropriated public lands lying within the boundaries thereof; and that until the title thereto shall have been extinguished by the United States, the same shall be and remain subject to the disposition of the United States…”

[34] Vannini, supra note 11.

[35] Carey Jewitt and Rumiko Oyama, (2003) ‘Visual meaning: A social semiotic approach’ in Theo Van Leeuwen and Carey Jewitt (eds), Handbook of Visual Analysis (Sage 2003), 149.

[36] William A. Gamson and Andre Modigliani, ‘The Changing Culture of Affirmative Action’ in Richard G. Braungart and Margaret M. Braungart (eds) Research in Political Sociology (JAI Press 1987), 143.

[37] William A. Gamson and Andre Modigliani, ‘Media Discourse and Public Opinion on Nuclear Power: A Constructionist Approach’ (1989) 1 American Journal of Sociology 95, 1, 57.

[38] See, Charlie Northcott, ‘Dakota Access pipeline: Is the Standing Rock movement defeated?’ BBC News (Washington, 9 February 2017) [electronically available at: http://www.bbc.com/news/world-us-canada-38924160%5D.

[39] Vannini, supra note 11, at 135.

[40] Hodge and Kress, supra note 14, at 82.

[41] Vannini, supra note 11, at 135.

[42] Judith T. Irvine, ‘“Style” as Distinctiveness: the culture and ideology of linguistic differentiation’ in Penelope Eckert and John R. Rickford (eds) Style and Sociolinguistic Variation (Cambridge University Press 2001), 18.

[43] Robert Hodge and Gunther Kress (1997) ‘Social Semiotics, Style and Ideology’ in Nikolas Coupland and Adam Jaworski (eds) Sociolinguistics (Modern Linguistics Series. Palgrave MacMillan 1997).

[44] Gunther Kress, ‘Against arbitrariness: The Social Production of the Sign as a Foundational Issue in Critical Discourse Analysis’ (1993) 4 Discourse and Society 2, 169, 173.

[45] Amartya Kumar Sen, ‘The discipline of cost‐benefit analysis’ (2000) 29 Journal of Legal Studies 2.

[46] The mission statement of NPS states, “To conserve the scenery and the natural and historic objects and the wild life therein and to provide for the enjoyment of the same in such manner and by such means as will leave them unimpaired for the enjoyment of future generations.”

[47] The mission statement of the BLM states, “To sustain the health, diversity, and productivity of the public lands for the use and enjoyment of present and future generations.”

[48] The mission statement of the USFS states, “”To sustain the health, diversity, and productivity of the Nation’s forests and grasslands to meet the needs of present and future generations.”

[49] The Bears Ears National Monument’s management plan allowed for hunting, fishing, collection of forest products, off-road vehicle use, etc. under an existing permitting system (e.g., a firewood permit cost about $15.00 USD/quart of firewood).

[50] Under U.S. Common Law, the federal government holds public lands in trust for the American people. See, Illinois Central Railroad v. Illinois, 146 U.S. 387 (1892). It is also the established federal policy that federal lands should be retained by the federal government since the passage of the Federal Land Policy and Management Act (FLPMA) of 1976[43 U.S .C . 1701]. Sec. 102 (a)(1) of the Act states, “The Congress declares that it is the policy of the United States that the public lands be retained in Federal ownership.”

Issue 2, 2018 – Call for Papers

The Journal of the Oxford Centre for Socio-Legal Studies (JOxCSLS) is currently calling for papers for Issue 2, 2018 and future issues.  The JOxCSLS is an international online and open access peer reviewed journal established and edited by graduate research students of the Centre for Socio-Legal Studies at the University of Oxford.

Deadline for submissions to next issue: 30 July 2018.

The JOxCSLS welcomes submissions in the following categories:

  1. Academic articles: between 5,000 and 7,500 words (footnotes included);
  2. Law and Society Today: 2,000 words on the socio-legal relevance of a topical issue or event;
  3. Socio-Legal Objects: 2,000 words on socio-legal observations related to or inspired by visual arts, music, architecture, or everyday objects;
  4. Wire from the Field: 2,000 words on experiences of socio-legal fieldwork or methodological issues;
  5. Book Reviews: up to 1,500 words on recent monographs or edited volumes of relevance to Socio-Legal Studies.

All submissions should have clear relevance to the field of Socio-Legal Studies broadly construed. Please refer to the current issue and online archive for examples of the types of papers published by the JOxCSLS.

Please refer to our authors’ guidelines when preparing your submission.  We regret that we are unable to accept submissions that do not meet the guidelines.

Papers should be submitted through this form.

Thinking of submitting an article but not sure if it would be a good fit? Send us an email at: [email protected] and we’ll be happy to discuss it with you.

Targeting Legality: The Armed Drone as a Socio-technical and Socio-Legal System

Alex Holder,[1] Elizabeth Minor,[2] & Michael Mair[3]

 

“[The] United States has taken lethal, targeted action … with remotely piloted aircraft commonly referred to as drones … To begin with, our actions are effective … Dozens of highly skilled … commanders, trainers, bomb makers and operatives have been taken off the battlefield. Plots have been disrupted. … Simply put, these strikes have saved lives. Moreover, America’s actions are legal … We are at war with … organization[s] that right now would kill as many Americans as they could if we did not stop them first. So this is a just war – a war waged proportionally, in last resort, and in self-defense.”[4]

 

“[A very great] … danger threatens [us today] … [namely that] the approaching tide of technological revolution … could so captivate, bewitch, dazzle, and beguile [us] … that calculative thinking may someday come to be accepted and practiced as the only way of thinking.”[5]

 

I.                   Introduction

This article is the product of an ongoing collaboration between two sociologists and a researcher working for an organisation which campaigns against the unnecessary harms caused by the use of certain weapons systems, “Article 36”.[6]  We came together as a result of a shared interest in exploring ‘actually existing’ practice around the use of armed drones, more specifically the situated practices of legal reasoning engaged in by military personnel to justify drone strikes in theatre – an ‘ethnomethodological’ orientation predicated on studying practical methods of action and reasoning in combat settings.[7] Together we are seeking to determine how military personnel work together as part of drone operations to frame and organise their actions in practice with respect to a range of legal and quasi-legal frameworks. These include local rules of engagement as well as the military codes and regulations that govern the conduct of combat missions;[8] the protocols and agreements which set out the respective roles of different kinds of units and services, e.g. air force vis-à-vis the army and so on, about their respective roles and their limits during joint operations;[9] and overarching frameworks including the mosaic of national legal systems that drone operations regularly traverse (and many would suggest regularly violate) alongside International Humanitarian Law (IHL) and International Human Rights Law (IHRL).[10] By analysing how armed drone strikes are actually conducted with a focus on targeting practices and legal reasoning within them, the goal is to open up their practical and practiced grounds.

A study of this kind links to contemporary research on armed drones in several ways. Problems with the legality of drone strikes, especially outside officially designated armed conflicts, are widely recognised and have been voiced for some time.[11] Yet the practice continues, indeed is spreading and becoming ever more stabilised as we discuss below, and calls to uphold legal standards have so far been inadequate to prevent or halt unnecessary harm. What is more, despite refusing to release the legal advice on which their position is based due to national security considerations, drone-using states continue to claim their expanding operations are legal whatever opinions to the contrary may suggest. Our view, one we work through in what follows, is that we need to return to the phenomenon – the social, technical and legal organisation of drone operations themselves – and study it in its own terms if we are to understand what has produced and what sustains this state of affairs but also what we might do to challenge it. If, as we shall argue, particular ways of interpreting legal frameworks and obligations are built into and put to work in conjunction with the socio-technical arrangements of the drone and the calculative reasoning it embodies, that means we have to treat the socio-legal as interwoven with the socio-technical rather than externally regulating it. Once we clarify what we are dealing with when we engage with the use of armed drones, i.e. a socio-technical assembly that makes it possible to produce ‘legal’ airstrikes in ways that are tailored to the individuated circumstances of particular missions while diffusing accountability across its distributed operational architectures, we suggest the challenge the drone poses is revealed to be primarily political not legal in character. While we draw widely on existing literature in arguing this, we also refocus that literature in doing so. Our view that an interrogation of the socio-technical and socio-legal system of the armed drone should be the starting point for any analytical engagement with its use commends itself in two key respects. First, it provides a clear basis for collaboration across a range of approaches, collaborations necessary to adequately make sense of the ramifying complexities of contemporary drone operations. Second, it helps support demands for restrictions on those operations at the political level by making the socio-technical and socio-legal machineries of drone warfare visible and accountable. In order to make this case, we begin our discussion with an examination of the armed drone’s growing use.

II.               The Use of Armed Drones

17 years after the first attempted use of an armed drone[12]  in an airstrike by the US on 7th October 2001[13] and 16 since their first ‘successful’ use by the US in a ‘targeted killing’ on 4th February 2002,[14] armed drones have become an increasingly central feature of the contemporary landscape of global politics and conflict. With these two events marking the moments when drone technology made the jump from intelligence, surveillance and reconnaissance (ISR) platform to fully-fledged weapons system,[15] there are many ways in which the dramatic growth in drone warfare that has taken place since can be measured.

A pioneer of armed drones and a central protagonist (or antagonist) in the controversies which surround them, the US has led the way in their use – and is our primary focus in what follows for this very reason. Despite being shrouded in secrecy, the scale, distribution and modulating intensity of the US’s drone wars around the world from 2001 onwards has gradually become clear through the work of journalists, monitoring groups and the communities targeted in them. According to the Bureau of Investigative Journalism,[16] which tracks the use of armed drones in Pakistan, Afghanistan, Yemen and Somalia, as of April 2018 there have been 4,788 minimum confirmed strikes since 2004, leading to between 7,497 and 10,858 deaths, with between 738 and 1,569 civilians killed of whom 242 to 337 were children.[17] Those rates have not been static. From 2005 to 2014, the number of drones in active service rose from 5% to over 40% of all US military aircraft.[18] The increasing demand for armed drones this indexes was fuelled by the increasing demand for drone strikes. From a relatively low figure under the Bush administrations of around 50, there were dramatic increases under the Obama administrations and a further acceleration in the initial stages of the Trump administration. Recent estimates suggest that while President Obama approved a drone strike every 5.4 days, President Trump has been approving one every 1.25 days.[19] In 2006, Predator and Reaper drones flew 55,000 hours in combat service but by 2016 the US’s drone fleet saw 350,000 hours of active combat duty, reflecting their increasingly widespread use in both covert and more conventional operations against the Islamic State in Iraq, Syria and Libya.[20] As Anna Jackman has noted, by 2015 armed drones were releasing “more weapons than manned aircraft in Afghanistan” and this is becoming the norm in other conflicts too.[21] The overall picture is, therefore, clear: more missions flown, more airstrikes launched, more casualties among combatants and non-combatants alike.

While the world’s primary user, armed drone use is not, however, restricted to the US. By 2012, Britain, China, France, Germany, India, Iran, Israel, Italy, Russia and Turkey were all in possession of armed drones[22] and the number of state and non-state actors with armed drones has increased substantially since. The New America Foundation, which tracks the use, possession, development and import/export of drones around the world, suggests twenty-eight states currently have armed drone systems, eleven countries have used armed drones, and eight first used them in the past three years.[23] As drones have proliferated so have conflict sites, with drone strikes rumoured but not confirmed in countries like Mali and the Philippines.[24] Claims about the effectiveness of drones have undoubtedly contributed to their spread. However, figures inside as well as outside the military and defence establishments argue their use extends and exacerbates conflict rather than resolving it.[25] Far from having a stabilising effect, the ‘turn to the drone’ in military affairs across the world has coincided with a period where the situations in Afghanistan, Iraq, Libya, Syria and Yemen, to name just a few among the ‘hottest’ current theatres of war, have been far from stable. We have every reason, therefore, to take the critics’ charges seriously: that drones make the problems they were designed to address worse not better, perpetuating armed conflict, drawing increasing numbers of the uninvolved into those conflicts and exposing them to the risk of violent death and injury as a result – in the absence of negotiated political settlements, itself a potent means of ensuring cycles of violence continue to spiral on and thus a source of harm and suffering in its own right.[26]

When it comes to specifying the nature of the problems they pose, however, armed drones present a rather particular set of challenges. Chief among them is working out what we are actually referring to when we talk of the armed drone.[27] Drawing on recent social, political and legal research, in what follows we seek to make an analytical contribution to the debate on that question, arguing armed drones constitute a specific kind of socio-technical and socio-legal system, i.e. a means for bringing together diverse components, forms of expertise and infrastructures for particular military, legal and political ends at particular moments in time. Armed drones are not separable from the systems they are embedded in nor from the activities they allow, and we believe efforts to restrict their use will only gain ground by taking the networked socio-technical and socio-legal character of the armed drone into account. Following this line of argument through, we argue the use of armed drones not only opens up space for specific kinds of activities by state actors but demands specific kinds of analytical and political response in return.

III.            Armed Drones as Socio-technical and Socio-Legal Systems

It is easy to get side-tracked in discussions of armed drones, losing the thread of important issues in the sea of technical details that arise whenever they are discussed. The technical details are important, and we will tease out aspects of them below, but they should not be given undue weight or be regarded as decisive. As Grégoire Chamayou puts it in Drone Theory:

“Go look at the weapons, study their specific characteristics. Become a technician, in a way. But only in a way, for the aim here is an understanding that is not so much technical as political.”[28]

This caveat is important because if we separate off the technical from the social, political, legal, moral and ethical at the outset, armed drones lose coherence as an issue and become just one more expression of steady technological progress in the field of weapons systems. From this starting point, it becomes hard to state exactly what the specific problems with armed drones might be. However, as the Task Force on US Drone Policy put it: “while … [armed drones], as such, present few new moral or legal issues, the availability of [these] lethal … technologies has enabled US policies that likely would not have been adopted in the[ir] absence.”[29]

Put most simply, the reason why armed drones have proven so attractive, why they have spread so quickly and why they have generated the problems they have is that they make it possible for military commanders and their political leaders to do things they could not or would not otherwise have done or have done in the same way had armed drones not been available.[30] In terms of what armed drones make possible, the Task Force on US Drone Policy offers neat summaries of their five core ‘affordances’:[31] their “persistence … and ability to loiter over a specific area for extended periods of time, allowing them to capture and collect more information and … users to observe, evaluate and act quickly”; their “precision … [with] sensor technology … [promising] more accurate targeting as well as … surveillance”; their “operational reach … offering longer flying times … [and thus the ability] to project force from afar in environments that may otherwise be inaccessible or too dangerous”; their use in “force protection … allow[ing] the user to have a military presence in areas that otherwise would be impossible politically, capacity/resource prohibitive, too dangerous to risk being shot down, or topographically inhospitable”; and, finally, their “stealth … [with most drones] relatively small, quiet and capable of being flown at high enough altitudes to avoid detection by the individuals being surveilled or targeted.”[32] In a geo-political context in which, according to the retired general Stanley McChrystal, US political leaders and military commanders had been seeking effective means to show that “we can fly where we want, we can shoot where we want, because we can”,[33] the armed drone’s affordances have made it situationally useful indeed.

Sociologists working in the field of science and technology have for decades stressed that technologies should be treated as social and technical in character, i.e., that they constitute socio-technical systems,[34] and in the case of armed drones that emphasis is particularly important. Why becomes clear when we start to examine the working architecture of drone operations, starting with their human staff. As the US Air Force puts it: “The basic crew … is a rated pilot to control the aircraft and command the mission, and an enlisted aircrew member to operate sensors and weapons as well as a mission coordinator, when required.”[35] At this point, the set-up seems familiar, much like that of any conventional two-person aircraft, pilot and co-pilot working with an overseeing controller. However, drone operations also involve intelligence analysts feeding in information to guide the pilot and sensor operator in their actions. Drone operations are thus revealed to routinely involve not three but a minimum of four primary actors. Yet there is more. Again, in the words of the US Air Force: “The primary concept of operations, remote split operations, employs a launch-and-recovery ground control element for take-off and landing operations at the forward operating location, while the crew based in the continental United States executes command and control of the remainder of the mission via beyond-line-of-sight links.”[36] The networks of connections and their distribution thus continues to expand, covering units for launch and recovery at forward operating locations as well as, by implication, those personnel responsible for maintaining satellite link-ups so control can be passed between units at different points in a flight. Nor are drone missions self-directed: they are requested or called in, usually by field commanders. Both the drone crews and the field commanders are in turn supported by a host of secondary support personnel ranging from legal advisors to technicians of various kinds. Real-time video analysis for US drone operations, for instance, is handled via the US’s Distributed Common Ground System, or DCGS, a massive communication, information and signals intelligence processing apparatus with centres across the US.[37] Thousands of DCGS analysts are recruited and employed by the DCGS in order to examine real-time video feeds and imagery from drones as they come in. As these considerations are factored in, it becomes clear that we are dealing with a sprawling enterprise of formidable technical sophistication enabling military personnel to work together in real-time cross-continentally and cross-nationally.

When we take its operational architectures into account, all in all a 24-hour US drone patrol requires an estimated 180-200 people undertaking interconnected tasks as part of a transcontinental and indeed international division of military labour.[38] The work of the drone is thus grounded in geographically distributed collaborations across what Jackman calls “a range of human and machinic nodes”.[39] Fielding-Smith and Black add detail to and extend the initial sketch offered above of the three principal operational ‘nodes’ involved: those for launch and recovery, involving aircraft, pilots, sensor operators, maintenance crews and a ground station; mission control, involving a different set of pilots, sensor operators, maintenance crews, mission coordinators and ‘leadership’ personnel; and processing exploitation and dissemination, involving full motion video crews, signals intelligence operators, additional maintenance crews, a weapons tactics team and further leadership personnel.[40] These in turn connect outwards to, among other things, mechanisms of political and legal oversight as well as sites of knowledge production through military research and development. As Greene puts it, an entire assembly “comes together just-so at the point of the [armed] drone.”[41]

The armed drone as a socio-technical system is not, therefore, just composed of weapons, vehicles, munitions, sensors and cameras, it is also composed of intelligence gathering and communication systems in myriad forms, decision making arrangements of one kind or another as well as the large numbers of individuals with different roles, training, expertise and conditions of employment inside and outside government who are engaged in drone programmes both directly and indirectly. It is these shifting, heterogeneous assemblies we engage with when we engage with the use of armed drones. Significantly, the law is deeply implicated in these assemblies too with military lawyers, known as (Staff) Judge Advocates, involved in every stage of the process of undertaking strikes.[42] Contemporary target ‘clearance’ practices around drone strikes represent a major shift in the role of the law in situations of armed conflict. In particular, the case by case, moment by moment involvement of military lawyers and legal support personnel in conducting specific drone strikes represents a tightening of the operational links between law and warfighting.[43] The destructive harm caused by armed drones in contemporary conflicts and through targeted killing programmes is closely bound up with the legal frameworks invoked by these embedded legal advisors to sanction their use in situ. Law, warfighting and indeed politics are not separate, here, but co-constitutive, channelling the use of force and its outcomes in particular directions.[44]

Military legal scholars writing about this are remarkably candid. As DiMeglio for one puts it, the role of the Staff Judge Advocate as an “operational law attorney” is to “enhance the legitimacy of military operations in environments where evolving rules and a fluid situation require them not only to understand the underlying law and policy, but also to be innovative and nuanced in their legal analysis”.[45] In the words of a previous Commander of US Special Forces in Afghanistan, “Honestly I don’t take a shit without one [a legal assessment], especially in this business”,[46] an unusually frank statement of the contemporary entanglement of legal and military considerations. The law in this context is not a defined external constraint but a flexible relay internal to the system itself, enabling that which it is claimed to regulate and control.[47] If legal advice is as critical to the firing of a weapon as a trigger on a gun or a launch key for a missile, it is a much a part of the weapons system as the trigger or launch key. Under these conditions, legality becomes a by-product of the network; like the drone strike itself it is a collaborative accomplishment of military action.[48] In order to think seriously about the armed drone, then, we have to look beyond its technological expression alone, the machine with missiles in the air, to consider the social, political and legal practices which both animate and are given coherence by it as well. How we might do so while resisting any narrowing of our analytical and political field of vision provides the focus of the next section.

IV.            Countering the Logic of the Armed Drone: Linking the Analytical to the Political

This article opened with two epigraphs; one quoting US President Barack Obama in a speech justifying the use of armed drones in 2013 and another quoting the philosopher Martin Heidegger speaking some 50 years previously. The juxtaposition of those two epigraphs brings out some of the core issues we believe can help focus discussions about the use of armed drones. Obama points to the “just-so” individual rationality of any given use of an armed drone: individual strikes save lives; they disrupt plots; they make it possible to respond to threats in a calculatedly legal and proportionate way. Cumulatively, however, the results are deeply problematic. More people are killed; politics is ignored in favour of chimeric military solutions; conflicts fester; nothing is resolved. All the time the socio-technical system of the armed drone grows and spreads, is put to work more and more.

What President Obama’s words reveal, to turn to Heidegger’s warning, is a military and political establishment so in thrall to its own technological revolution that the socially and historically contingent modes of calculative thinking encouraged by the availability of the drone have come to be accepted and practiced as the only way of thinking. Drone vision, despite the promise of full motion video and total situation awareness, has turned out to be a form of tunnel vision, leading in the direction of more armed drones and further conflict – history repeating itself on a tightly closed remotely piloted loop.

Contrasted with, for example, the hierarchically-organised, centralising and collectivising socio-technical system of the nuclear weapon, the research which has charted it and the campaigns which have sought to counter it, [49] the individuating, diffuse, just-in-time, legally saturated and thoroughly associative work of the armed drone calls for analytical and political responses of a new kind, ones matched to its particular character. We believe a focus on the armed drone as a socio-technical and socio-legal system in the sense outlined above opens up a range of possibilities in this regard and, in the rest of this section of the article, we want to sketch different lines those responses can take and indicate one of the ways in which the analytical can be linked to the political through them.

Given the complex, massively distributed and proliferating “human machine configurations”[50] drone operations rest upon, no single study can ever hope to have the final word or claim complete comprehensiveness with respect to them. As each individual drone strike has its own unique characteristics, there will always be more to be said. Instead, and precisely because drone strikes are themselves collaborative and associative, we believe research into them has to be seen as a site for collaboration and association, too. The analysis we have presented is, in many respects, indicative. Organisations whose work has informed our position, like Airwars, Amnesty International, the Bureau of Investigative Journalism, Reprieve and the Stimson Centre, among others, have been and will remain pivotal to understanding the organisation of drone operations internationally. Their open-source, open-access ethos allows for investigations that delve deeper into the structures they collectively contribute to documenting in the course of their ongoing work. We have drawn extensively on that work and, indeed, would not have been in a position to talk about a series of issues without it. Research done outside academic institutions is thus critical and constitutes a key resource for others to build upon. Most importantly, as those who undertake such research have practically demonstrated, sharing knowledge and ensuring it is widely distributed across open public networks is an extremely effective way of countering the closed and secretive logic of the armed drone at the analytical level – a form of epistemic and evidential politics it can be easy to overlook.[51]

What the sharing of resources outside and against “the universe of classified information”[52] and the apparatus of “official secrets”[53] makes possible is a range of contributions from across disciplines and research traditions, reflected in the diversity of studies referenced in this article. Those contributions we have cited situate themselves, in the main, at the meeting point between science and technology and socio-legal studies. Nonetheless, while pitched on socio-technical and socio-legal terrain, it encompasses a group which includes anthropologists, geographers, historians, journalists, lawyers, literary scholars, philosophers, political scientists, social and political theorists and sociologists, among others, all of whom have converged on the problem of the armed drone from a range of different angles. There is, therefore, a tremendous variety of approaches on display. That said, amidst that variety, we would point to three methodological tendencies within this emerging interdisciplinary and dialogical field which together lend it coherence.

The first is broadly philosophical or theoretical. The figure of the armed drone here works as a point from which to question and challenge the ideas of ‘legality’, ‘proportionality’, ‘right’, ‘morality’ and so on, that are routinely deployed to justify its use. The socio-technical is less a focus in its own right in work of this kind and more a point of departure for a critical and deconstructive response to the moral, legal and political arguments which the armed drone’s socio-technical elaboration embodies and channels.[54] Work in this vein is complemented by a second kind of response, one which seeks to trace the socio-technical system of the armed drone outwards and backwards from the stabilised machineries of contemporary drone operations to the wider social, political, legal and economic arrangements from which they emerge and derive support but which they also condense and give a material focal point to. This can involve explorations of the diffuse sites, practices and bodies of expertise the armed drone is bound up with, as well as genealogical investigations examining the various developments and events which have made drone operations possible today – often, indeed, both at once.[55] Work of this kind expands our understanding of the scope of the networks of connections that are constitutive features of the use of armed drones and helps us link up aspects of the worlds around us to the figure of the drone in new ways.

These are, in turn, complemented by a third kind of response. Where the first steps back and the second moves outwards to more expansive and historically-situated conceptions of the socio-technical and socio-legal systems involved, the third moves inwards, seeking to get closer to the activities which animate the armed drone and how it is actually put to use. Our own research is of this kind. Part of its value, we would suggest, is that it highlights why a focus on the socio-technical in socio-legal research is important but also why maintaining that focus moves us away from a narrow concern for legal issues alone, something we shall elaborate on further below.

Our approach is ethnomethodological, as noted above, and that means it builds on the foundational work of Harold Garfinkel[56] and Harvey Sacks[57] to study the in situ or endogenous forms of practical action, interaction and reasoning that are constitutive features of drone operations. Ethnomethodologists, following Garfinkel and Sacks, have examined legal practices and legal reasoning in the past[58] and we draw on that work in our research. However, our project proceeds more directly from ethnomethodological studies of friendly fire incidents and civilian deaths as a result of misidentifications during air combat missions, studies which offer innovative ways of analytically getting to grips with military practices and battlefield legal reasoning in their socio-technical details.[59]

Using audio, video and transcript data, in our research we painstakingly reconstruct engagements action by action, communicative exchange by communicative exchange, as they unfold in real time. A highly focused form of investigation, it provides insights into drone operations that cannot be arrived at in any other way. One focus of our project is a transcript released by the L.A. Times detailing interactions between US military personnel in the run up to a coordinated drone-led attack which resulted in the deaths of 27 Afghan civilians in the province of Uruzgan in 2010.[60] Precisely because this lone transcript remains one of the few sources of unrestricted data to open a window on drone operations, it has already been examined a number of times and in various ways.[61] Our treatment is, however, distinctive. A detailed ethnomethodological reworking and analysis of the transcript provides an empirical anchor for a wider examination of the technologically-mediated work of military personnel actively engaged in identifying ‘threats’ and the part situated legal reasoning plays in their targeting decisions. Although much discussed, the interactional organisation of that work in the Uruzgan incident and the role legal reasoning played within it has not yet been subject to line by line analytical scrutiny. While our research remains in its early stages, we want to make some initial observations about what work on the transcript reveals. Our focus will be the following excerpt from it:[62]

01
02
03
01:03
K97SO
The screener is reviewing, they think something is up with
that dude as well. I’ll take a quick look at the SUV guys,
sorry
04
01:03
JAG25
SLASHER03 JAG25
05
01:03
K97SO
What do these dudes got, yeah I think that dude had a rifle
06
01:03
K97P
I do too
07
01:03
JAG25
SLASHER03 JAG25
08
01:03
JAG25
SLASHER03 JAG25
09
01:03
SL03
JAGUAR25 go for SLASHER
10
11
12
13
14
01:03
JAG25
Roger, given the distance and the lack of weapons PID we
are having a hard time (garble, garble) and also the same
with fires, (garble) to bring them in so we can engage but
we really need that PID to (garble, garble, garble) start
dropping
15
16
01:04
K97SO
Yeah they called a possible weapon on the MAM mounted
in the back of the truck
17
18
01:04
K97MC
The MAM that mounted the bed of the truck had possible
weapon
19
20
21
01:04
K97P
All players, all players from KIRK97, from our DGS the
MAM that just mounted the back of the Hilux had a
possible weapon, read back possible rifle
22
23
01:04
JAG25
Again the other two on the east side of the river are also
static with all folks loading
24
25
01:04
JAG25
Kirk we notice that, but you know how it is with ROEs, so
we have to be careful with those, ROE’s

This short, complicated excerpt, taking up less than half a page within a 76 page document and covering less than two full minutes of communicative interactions in an operation which lasted over 5 hours,[63] exemplifies many of the challenges we confront when we begin to look at the practice of drone warfare in detail but also the lessons we can draw when we start to do so. We cannot offer a full analysis here but we can outline some of the structural considerations we believe relevantly arise from analytical engagements with it.

The excerpt captures exchanges between the three-person drone crew of KIRK97 flight, the Pilot (K97-P), Sensor Operator (K97-SO) and Mission Coordinator (K97-MC). As this was a US military operation involving air and ground forces those exchanges also included a Ground Controller, JAGUAR25/JAG25, whose role it was to coordinate action between them. Finally, we have SLASHER03, the pilot of an AC-130 Gunship, one element within the heavy air support units also involved in the incident. The role of KIRK97 flight in this case, with its powerful cameras and sensors, was to act as the command’s ‘eyes’ on the situation on the ground and so as the spotter for the heavy support units rather than as a strike force in its own right, though it was equipped with munitions of its own if needed. Translating the acronym and argot laden language they employ, in this excerpt they are discussing ‘PID’, positive identification, ‘MAMs’, military aged males, ‘DGS’, Distributed (Common) Ground System, ‘ROEs’, Rules of Engagement, and ‘dropping’, i.e. attacking or firing upon enemies or ‘MAMs’.

Once we have this knowledge in hand, it becomes possible to make better sense of what this excerpt captures. Having already spotted the convoy of Afghan civilian vehicles (SUVs, Hiluxes) and suspecting it to be a Taliban force, in it we see the crew of KIRK97 flight conferring with the Ground Controller, other air units and intelligence operatives working in the D(C)GS, i.e. ‘screeners’,[64] to verify those suspicions based on the real-time video feed from the drone which is being shared among them all. Hours before the convoy was engaged, they are trying here to get evidence good enough to ‘confirm’ the individuals they are monitoring are targetable, that they are ‘military aged males’, and that they possess weapons and so can be legitimately attacked under their rules-of-engagement in line with IHL as operationally interpreted by US forces. While the screeners and the Ground Controller argue the criteria for initiating an engagement have not yet been satisfied, the conditions under which they will be in a few hours’ time – a positive call by the screeners on the presence of weapons on what basis and with what degree of certainty – are now largely in place.

It is very difficult to portray this as an unsanctioned or rogue operation. No one here was deliberately and knowingly setting out to act illegally, it is not akin to the ‘Marine A’ case.[65] It is much more troubling than that. Instead what we see is the protagonists working together in real-time through the chain of command to gradually construct a legal rationale for and hence defence of the attack in advance. As the excerpt shows, they are continually referring back to and attentively checking the potential legality of their projectable lines of action and prospectively modifying them as a result. Crucially, this locally-built legal rationale for justifying action holds whatever the outcome. In another possible world, the individuals targeted could, of course, have turned out to be combatants. But in this world they did not; they were a mixed group of men, women and children, the majority of whom were either killed outright or permanently and cruelly maimed in the attack.[66]

Operating in dialogue with the first two modes of research, what even a preliminary examination of something like the Uruzgan incident along these interactional lines brings to light, we would argue, is a set of practices bound up with the armed drone which are indifferent to the status of those targeted by it. That the legal rationale and hence justification for the attack holds irrespectively of whether an attack is actually justified – i.e. whether those targeted are in fact combatants or not – is the issue we want to bring to the fore. We might put things this way: that the people who have been categorised as ‘enemies’ may subsequently turn out to have been wrongly so categorised carries no implications. Where we think such work feeds into political responses is that a public acknowledgment of this as an evidenced feature of drone operations would shift the terms of the drone debate. One aspect of the US’s strategy, as Obama’s speech makes clear, has been to claim legality on behalf of its drone operations. But if legality is a designed in by-product and the law-as-interpreted an enabling condition of those operations, that defence starts to look rather empty: drone strikes are legal because they are locally and contingently configured by those involved to deliver legality as an outcome, as much as ‘successful’ kills – something the Uruzgan incident demonstrates all too perspicuously.

It is also important to acknowledge this, we suggest, because it shows why challenges to the legality or otherwise of drone operations could ultimately prove insufficient as a response to them.[67] While they certainly achieve a great deal, especially for victims, legal challenges must pragmatically accept the individuating logic of drone operations. As every operation poses different issues resulting in circumstantially-inflected legal decisions, an interrogation of what was done in any specific case must take up the specifics of the incident at hand. This means, however, that the generalised ways in which the socio-technical system of the armed drone works to block demands for accountability evade sustained scrutiny. The diffusion of accountability across distributed operations is not something the law on its own is particularly well-equipped to address.[68] The Uruzgan operation was deemed legal, yet few, even within the US military itself, argue it was acceptable. Documenting the routine ways in which such outcomes are produced via the machinery of drone warfare is thus no small matter and represents one way in which we can link the analytical to the political to useful effect.

V.                Conclusion

The call that has been articulated by civil society, international organisations, and some states for greater transparency around drone strikes, recently reiterated by Reprieve[69] and Moorehead, Hussein, and Alhariri,[70] represents one step towards addressing the issues posed by armed drones. Drone strikes should be subjected to thorough examination from various angles and states need to release comprehensive information about the actual workings of the socio-technical systems of the armed drone for that to be possible. By insisting states release information including audio, video, imagery, digital communications, available intelligence and the legal advice presented in theatre, drone programmes will be drawn ‘out of the shadows’[71] and brought to greater public account,[72] addressing concerns around the secrecy and erosion of democratic oversight that have gone hand-in-hand with – and indeed are best seen as internal to – the development of these programmes in any and all of the ways outlined above.[73] Greater knowledge of the assembly of practices, equipment and infrastructures associated with drone warfare, including battlefield law, would in turn help establish a better understanding of what restrictions on armed drone use might be most effective where, and how best to achieve them.

Beyond transparency, however, it is also important to ensure greater information does not merely serve to further stabilise these problematic practices in the international public sphere. Socio-legal researchers working on this issue should thus be encouraged to think about how their work can support challenges at the political level by connecting their work with the work of others to subvert the logic of the armed drone. As we hope to have established in the course of this article, the use of armed drones demands the sort of public and political accounting drone programmes are set up to evade and studies which lay out the interlinked socio-technical and socio-legal logics implicated in those uses can help make that demand increasingly difficult to resist and those evasions increasingly difficult to maintain. It is by opening up the closed world of the armed drone in ways that make it public and afford possibilities for its critical examination, therefore, that research can make one of its most direct contributions to the contemporary politics of the drone. While legal challenges are a necessary element within such efforts, they are not themselves sufficient. Instead a preferably international political process is needed to address the unnecessary harms caused by the use of armed drones. Our view is that research of the kind that has provided the focus of this article can add to the pressure on drone-equipped states to enter such a process by making it clear what the use of armed drones involves and what it leads to in practice.

 

[1] MRes Candidate, Department of Sociology, Social Policy and Criminology, School of Law and Social Justice, University of Liverpool.

[2] Advisor, Article 36, London, http://www.article36.org.

[3] Senior Lecturer in Sociology, Department of Sociology, Social Policy and Criminology, School of Law and Social Justice, University of Liverpool.

[4] Barack Obama, ‘Remarks by the President at the National Defense University’ The White House, (23 May 2013) <https://www.whitehouse.gov/the-press-office/2013/05/23/remarks-president-national-defense-university> accessed 27 November 2017.

[5] Hubert Dreyfus, ‘Heidegger on Gaining a Free Relation to Technology’ in Kristin Shrader-Frechette and Laura Westra (eds.), Technology and Values. (Rowman & Littlefield Publishers 1997).

[6] In its own words, “Article 36 is a UK-based not-for-profit organisation working to prevent the unintended, unnecessary or unacceptable harm caused by certain weapons. Article 36 undertakes research, policy and advocacy and promotes civil society partnerships to respond to harm caused by existing weapons and to build a stronger framework to prevent harm as weapons are used or developed in the future. The name refers to Article 36 of the 1977 Additional Protocol I of the Geneva Conventions that requires states to review new weapons, means and methods of warfare”, Article 36, <http://www.article36.org/about> accessed 27 April 2018.

[7] Ethnomethodology is a field of sociological inquiry focused on members of society’s methods – or ethno-methods – of practical action and reasoning in ordinary as well as specialised settings. We shall say more about ethnomethodology and our study below. For a useful introduction to ethnomethodology’s distinctive place within the social sciences, see Michael Lynch ‘The Origins of Ethnomethodology’, in Stephen P. Turner and others (eds.) Philosophy of Anthropology and Sociology: Handbook of the Philosophy of Science, Volume 8, (Elsevier 2007).

[8] And see here the illuminating discussion in Jon R. Lindsay, ‘Target Practice: Counterterrorism and the Amplification of Data Friction’ (2017) 42(6) Science, Technology, & Human Values 1061.

[9] As discussed in, e.g., Andrew Cockburn, Kill Chain: Drones and the Rise of High-Tech Assassins (Verso 2015).

[10] While not explicitly focused on the armed drone, see Lena Jayyusi, ‘Discursive Cartographies, Moral Practices: International Law and the Gaza War’, in Baudouin Dupret, Michael Lynch, Tim Berard (eds.), Law at Work: Studies in Legal Ethnomethods (Oxford: Oxford University Press 2015); Craig A.  Jones ‘Lawfare and the Juridification of Late Modern War’, (2016) 40(2) Progress in Human Geography 221; Maja Zehfuss, War and the Politics of Ethics (Oxford University Press 2018).

[11] For an overview of the legal arguments, see, e.g., Alston, Philip, Report of the Special Rapporteur on Extrajudicial, Summary or Arbitrary Executions, Addendum, Study on Targeted Killings, UN Doc. A/HRC/14/24/Add.6, at 3, 54, 85-86. (UN General Assembly 2010); Megan Braun and Daniel R. Brunstetter, ‘State of the Union: A Decade of Armed Drones’, (2013) 19(2) The Brown Journal of World Affairs 81; Christof Heyns and others, ‘The International Law Framework Regulating the Use of Armed Drones’, (2016) 65(4) International & Comparative Law Quarterly 791.

[12] Despite the slipperiness of the terminologies used in this field, particularly references to ‘unmanned’ aerial systems, it is important to note that the armed drone is not a species of Lethal Autonomous Weapon System or LAWS, and should not be confused with one. Drones are piloted, just remotely so; they do not and cannot fly themselves. Indeed, as we will show, more people are involved in flying armed drones than are involved in flying conventional military aircraft. In that sense, they are highly socialised or ‘peopled’ technologies not ‘independent’ technological agents. That they afford scrutiny by more pairs of eyes among wider groups than conventional aerial warfare – from intelligence operatives through legal advisors and senior military strategists right up to Presidents – is precisely one of their attractions given the complex contemporary military-political involvements in which the US and its allies are engaged. This is not to say LAWS would not be illuminated by a sociotechnical and socio-legal analysis, just that the nature of the practices which underpin their development, deployment and use would take us into different territory to that within which the armed drone is situated.

[13] Chris Woods, ‘The Story of America’s Very First Drone Strike’ The Atlantic (30 May 2015).

[14] John Sifton, ‘A Brief History of Drones’ The Nation (7 February 2012).

[15] For more on the genealogy of the armed drone see Derek Gregory, ‘From a View to a Kill: Drones and Late Modern War’, (2011) 28(7-8) Theory, Culture & Society 188; Jeremy Packer and Joshua Reeves, ‘Romancing the Drone: Military Desire and Anthropophobia from SAGE to Swarm’, (2013) 38(3) Canadian Journal of Communication 309; Cockburn (n. 9); Madeleine Clare Elish, ‘Remote Split: A History of US Drone Operations and the Distributed Labor of War’ (2017) 42(6) Science, Technology, & Human Values 1100.

[16]The Bureau of Investigative Journalism, ‘Drone Wars’ <https://www.thebureauinvestigates.com/projects/drone-war> accessed 28 April 2018.

[17] See also Lucy Suchman, Karolina Follis and Jutta Weber, ‘Tracking and Targeting: Sociotechnologies of (In)security’ (2017) 42(6) Science, Technology and Human Values 983.

[18] Thomas Grose, ‘Are Unmanned Drones the Future of Global Transport?’ Newsweek (18 July 2014).

[19] Alex Moorehead, Rahma Hussein and Waleed Alhariri, Out of the Shadows: Recommendations to Advance Transparency in the Use of Lethal Force (Columbia Law School Human Rights Clinic and Sana’a Centre for Strategic Studies 2017), 23.

[20] W. J. Hennigan, ‘The U.S Is Now Routinely Launching ‘Danger-Close’ Drone Strikes So Risky They Require Syrian Militia Approval’ LA Times (15 August 2017).

[21] Anna Jackman, ‘The Personnel Behind The US Drone Programme and National Bird’ (2017) Open Democracy <https://www.opendemocracy.net/anna-jackman/personnel-behind-us-drone-programme-and-national-bird> accessed 28 April 2018.

[22] The Guardian, ‘Drones by Country: Who Has All the UAVs?’ The Guardian (3 August 2012).

[23] New America Foundation, ‘World of Drones’ (2018) <https://www.newamerica.org/in-depth/world-of-drones/> accessed 28 April 2018.

[24] Task Force on US Drone Policy, Recommendations and Report of the Task Force on Drone Policy (2nd edn, Stimson 2015).

[25] See Clare Algar, ‘How Can Secret Drone Campaigns Really Make Us Safer?’ CNN (12 March 2014); Cockburn  (n. 9); Task Force on US Drone Policy (n. 24).

[26] Cockburn (n. 9); Task Force on US Drone Policy (n. 24); Zehfuss (n. 10).

[27] In this connection see also Elish (n. 15).

[28] Grégoire Chamayou, Drone Theory (Penguin 2015), 15.

[29] Task Force on US Drone Policy (n. 24), 21, emphasis added.

[30] Nicolas Gianni, How Can Actor-network Theory Assist in Rethinking Approaches to Banning or Restricting Lethal Autonomous Weapon Systems? (Unpublished Masters Dissertation: University of Leiden 2017); see also Daniel Greene, ‘Drone Vision’ (2015) 13(2) Surveillance & Society 233; Jackman (n. 21).

[31] We are drawing here on the substantial body of work that has built on J.J. Gibson’s theory of ecological perception and the concept of an ‘affordance’ introduced as part of it – see J.J Gibson,  The Ecological Approach to Visual Perception (Houghton Mifflin 1979), esp. chapter 8. In Ingold’s terms, affordances are “properties … of any particular object, that [happen to] commend it to the project of a user” (Tim Ingold, The Perception of the Environment: Essays on Livelihood, Dwelling and Skill (Routledge 2000, 194). Different users will find technologies ‘afford’ them different possibilities for action depending on their projects and the circumstances in which they pursue them. Technologies do not determine their own uses, then; rather what they afford us hinges on our practical involvements and the conditions in which we take them up. Drone warfare and targeted killings, for example, may be thought to be ‘made for each other’ but we need to situate their relationship within a highly historically-specific context of action – namely, the post-Cold War, post 9-11 world of national and international politics and military interventionism. As we shall go on to argue, what drones are ‘in themselves’ is for us secondary to how they are put to work, what that work actually involves, and what its users thus themselves ‘make of’ the armed drone.

[32] Task Force on US Drone Policy (n. 24).

[33] Adam Clark Estes, ‘Even Stanley McChrystal Realizes How Much the World Hates Our Drones’, Atlantic Wire (7 Jan 2013)

[34] See for example in this context William Walters, ‘Drone Strikes, Dingpolitik and Beyond: Furthering the Debate on Materiality & Security’ (2014) 45(2) Security Dialogue 101; Ezio DiNucci and Filippo Santoni, Drones and Responsibility: Legal and Philosophical and Socio-technical perspectives on Remotely Controlled Weapons (Routledge 2016); Elish (n. 15); Suchman, Follis and Weber (n. 17).

[35] United States Air Force, ‘MQ-1B Predator’ (Air Combat Command Public Affairs Office 2015), 1.

[36] Id., 2, and see also the detailed discussion in Elish (n. 15).

[37] Cockburn (n. 9); Elish (n. 15).

[38] See, for example Derek Gregory, ‘Drone Geographies’ (2014) 183 Radical Philosophy 7; Abigail Fielding-Smith and Crofton Black, ‘‘When You Mess Up, People Die’: Civilians Who Are Drone Pilots’ Extra Eyes’ The Guardian (30 July 2015); Greene (n. 30); Elish (n. 15); Jackman (n. 21); Amnesty International, Deadly Assistance: The Role of European States in Us Drone Strikes (Amnesty International Ltd 2018).

[39] Jackman (n. 21).

[40] Fielding-Smith and Black (n. 38).

[41] Greene (n. 30).

[42] See, for example Pratap Chatterjee, ‘How Lawyers Sign Off on Drone Attacks’. The Guardian (15 June 2011); Greene (n. 30).

[43] Susanne Krasmann, ‘Targeted Killing and Its Law: On a Mutually Constitutive Relationship’ (2012) 25(3) Leiden Journal of International Law 665; Elish (n. 15)

[44] See also David Whyte, ‘Lethal Regulation: State-Corporate Crime and the United Kingdom Government’s New Mercenaries’ (2003) 30(4) Journal of Law and Society 575; Eyal Weizman, ‘Legislative Attack’ (2010) 27(6) Theory Culture & Society 11; Elish (n. 15); Zehfuss (n. 10).

[45] Richard  DiMeglio, ‘Training Army Judge Advocates to Advise Commanders as Operational law Attorneys’ (2013) 54(3) Boston College Law Review 1185, 1189.

[46] Cited in Derek Gregory, ‘Angry Eyes (2)’, 2015 Geographical Imaginations: War, Space and Security, October 17 <https://geographicalimaginations.com/2015/10/07/angry-eyes-2/> accessed 28 April 2018.

[47] Whyte (n. 44); Weizman (n. 44); Elish (n. 15); Zehfuss (n. 10).

[48] A relationship increasingly conceptualised using the term ‘lawfare’ to denote the degree to which law and warfare have merged. For further discussion see, e.g., Jones (n. 10); Joop Voetelink, ‘Reframing Lawfare’, in Paul A.L. Ducheine and Frans P.B. Osinga (eds.) Netherlands Annual Review of Military Studies 2017  (T.M.C. Asser Press 2017).

[49] For further discussion around nuclear weapons, see Matthew Bolton and Elizabeth Minor, ‘The Discursive Turn Arrives in Turtle Bay: The International Campaign to Abolish Nuclear Weapons’ Operationalization of Critical IR Theories’, (2016) 7(3) Global Policy 385.

[50] Elish (n. 15), 1101.

[51] Michael Mair and others, ‘The Violence You Were/n’t Meant to See’, in Ross McGarry and Sandra Walklate (eds.), The Palgrave Handbook on Criminology and War (Palgrave Macmillan 2016).

[52] Peter Galison, ‘Removing Knowledge’ (2004) 31(1) Critical Inquiry 229; Peter Galison, ‘Secrecy in Three Acts’ (2010) 77(3) Social Research 941; see also Braun and Brunstetter (n. 8).

[53] Maximillian C. Forte, Force Multipliers: The Instrumentalities of Imperialism (Alert Press 2015), esp. chapter 7.

[54] See, e.g., Chamayou (n. 28); Zehfuss (n. 10).

[55] See, e.g., Cockburn (n. 9); Elish (n. 15); Greene (n. 30); Gregory (n. 15); Gregory (n. 38); Jones (n. 10); Packer and Reeves (n. 15).

[56] Harold Garfinkel, Studies in Ethnomethodology (Prentice Hall 1967); Harold Garfinkel, Ethnomethodology’s Program: Working out Durkheim’s Aphorism (Rowman & Littlefield Publishers 2002).

[57] Harvey Sacks, Lectures on Conversation (Blackwell 1992).

[58] See, e.g., Baudouin Dupret, Michael Lynch, Tim Berard (eds.), Law at Work: Studies in Legal Ethnomethods (Oxford University Press 2015).

[59] Lena Jayyusi, ‘The Power of Technology and the Technologies of Power’, (2011) <http://english.dohainstitute.org/release/6b034830-433c-4ba2-9ed5-66ccf9ede776> accessed 28 April 2018; Michael Mair and others, ‘War-Making and Sense-Making: Some Technical Reflections on an Instance of ‘Friendly Fire’’, (2012) 63(1) The British Journal of Sociology 75; Maurice Nevile, ‘Seeing on the Move: Mobile Collaboration on the Battlefield’, in Pentti Haddington, Lorenza Mondada and Maurice Nevile (eds.) Interaction and Mobility: Language and the Body in Motion (De Gruyter 2013); Michael Mair and others (n. 51); Chris Elsey, Michael Mair and Martina Kolanoski, ‘Violence as Work: Ethnomethodological Insights into Military Combat Operations’, (2018) 8(3) Psychology of Violence 316.

[60] See David S. Cloud ‘Anatomy of an Afghan War Tragedy’, Los Angeles Times (10 April 2010); Data Desk, ‘Transcripts of U.S. Drone Attack’, Los Angeles Times (10 April 2010).

[61] See, e.g., Chamayou (n. 28); Cockburn (n. 9); Gregory (n. 46).

[62] Data Desk (n. 60), 13-14.

[63] The second column in our slightly modified version of the original transcript indicates the time that has elapsed since the start of the mission in hours and minutes.

[64] It is important to note that scores of other individuals were involved too, including a Staff Judge Advocate, but their input is ‘off-transcript’ because the transcript only captures the exchanges the drone crew were directly party to – just a small sub-set of the relevant interactions and something that reveals the analytic dangers of taking too ‘operator-centric’ a view of drone warfare. When it comes to identifying ‘where the action is’, we need to resist the temptation to treat drone crews and their immediate interlocutors as the be-all and end-all of drone operations. They are just one set of (human and non-human) protagonists within a much bigger ensemble, as is clear from the constant invocation of unseen others, e.g. the screeners (and in the background, those directing them), in this excerpt and indeed throughout the transcript.

[65] For an overview and transcripts from the incident which led to Marine A’s court martial in 2011, see Steven Morris, ‘Royal Marines Court Martial: Video Transcripts’ The Guardian (25 October 2015).

[66] National Bird (Dir. Sonia Kennebeck, Ten Forward Films 2016).

[67] As the success of the International Campaign to Abolish Nuclear Weapons (ICAN) in 2017 with its partners in states and international organisations shows – most notably through the achievement of the Treaty on the Prohibition of Nuclear Weapons and the award of the Nobel Peace Prize – it can be politically unproductive to get embroiled in legal argumentation around the use or potential use of particular weapons systems, whilst a refocusing of debate on to humanitarian harms can produce movement towards the tightening of international standards. See, e.g., Bolton and Minor (n. 49).

[68] Elish (n. 15), 1117-1121.

[69] Reprieve, Opaque Transparency: The Obama Administration and Its Opaque Transparency on Civilians Killed in Drone Strikes (2016) <https://www.reprieve.org.uk/wp-content/uploads/2016/06/Obama-Drones-transparency-FINAL.pdf > accessed 28 April 2018.

[70] Moorehead, Hussein and Alhariri (n. 19).

[71] Id.

[72] Greene (n. 30).

[73] Krasmann (n. 43); Task Force on US Drone Policy (n. 24).

 

2018 Call for Papers

The Journal of the Oxford Centre for Socio-Legal Studies (JOxCSLS) is currently calling for papers for 2018.  The JOxCSLS is an international online and open access peer reviewed journal established and edited by graduate research students of the Centre for Socio-Legal Studies at the University of Oxford.

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The Federal Judiciary Revolts…not Quite and not Enough: Trump’s Travel Bans and Judicial Review

Nino Guruli[1]

Round 3 of the travel ban litigation in US courts has begun.[2] The administration has issued Travel Ban 3.0 and the district courts have, once more, ordered preliminary injunctions. As we watch the judicial response to this third iteration of President Trump’s travel ban order develop, it is worth considering the judiciary’s approach so far and what the emphasis on ‘the especially troubling Presidency of Donald Trump’ motif surrounding the litigation may obscure about the stakes.

Soon after several district courts around the United States struck down the second travel ban executive order issued by the Trump administration, a piece on Lawfare blog (one of the top national security blogs in the US) raised a question: “why are so many judges being so aggressive here?”[3] After all, when it is the immigration policy (especially matters of entry) mixed with claims of national security, the judiciary traditionally sings a very different tune: deference, avoidance, and faith in political judgement. The question came up in a lengthier discussion on reasons why different political, civil, and judicial actors have reacted to the Trump presidency with less deference and trust than is typically enjoyed by the holder of that office. The main argument advanced by the authors is that the Oath Clause of the Constitution has significant legal and political purchase, which accounts for institutional and doctrinal respect for presidential decision-making; the courts defer, the media extends the benefit of the doubt, executive officers fall in line because we all trust that the president is acting in ‘good faith’ and with constitutional principles in mind.[4] The problem is, the authors argue, “[t]he idea that Trump’s swearing this or any other oath ‘solemnly’ is, not to put too fine a point on it, laughable.”[5] The courts are willing to step up and be aggressive, the line of thinking goes, because this president cannot be thought to be acting in ‘good faith’. This line of argument is troubling, as is how the federal judiciary has approached the travel ban litigation more generally.

Personal shortcomings of President Trump may be cause for serious concern, but any legal doctrine developed and limited to these unique circumstances will fail to confront the core legal problem these cases present. The real problem is that our regular assumptions of ‘good faith’ have produced doctrines that grant almost absolute deference to the executive, to the point that it is accurate to characterize the law as allowing the president to use discriminatory, arbitrary, and irrational reasons for action. Two circuit courts ruled President Trump’s Executive Orders unconstitutional, but neither court’s approach confronts the issue of the breadth of discretion granted to the Executive and the need to develop principled standards for placing constitutional limits on that discretion.[6]

The 9th Circuit Court of Appeals’ decision against the first travel order and the 4th Circuit Court of Appeals’ en banc decision against the second travel ban order highlight two different judicial approaches. Each approach shows the judiciary failing to confront the substantive constitutional issues involved, finding refuge instead in lines of reasoning that fail to grapple with the challenge of unbounded discretion. The 9th Circuit’s focus on the separation of powers and procedural due process arguments avoids the question of ‘bad faith’ by following a more familiar national security/immigration context line of reasoning, one that has already proved incapable of examining the justification for and legitimacy of executive practice. Meanwhile, the 4th Circuit’s reliance on ‘bad faith’ sidesteps challenging doctrinal questions by developing a rule focused on this president and these circumstances. As the federal courts take up these issues again, it is worth considering what the circuit courts’ constitutional lines of reasoning so far tell us about judicial review of executive discretion.

I.                   The First Travel Ban

On 9th February 2017, 9th Circuit Court of Appeals issued a decision refusing to stay the temporary restraining order against the first executive order.[7]  Soon after the decision was handed down, President Trump announced he would not appeal; as a result the courts never conducted a full merits review. However, the 9th Circuit’s emphasis on separation of powers and procedural due process principles when justifying the exercise of judicial review signals that the substantive rights of the people affected by this order (or an examination of the justifications offered for it) may never have been a significant part of the eventual merits analysis.[8]

President Trump’s first executive order implicated important individual interests: whether it stranded legal permanent residents abroad; or trapped residents and aliens domestically by restricting their right to travel; or refused to grant entry to someone because of their religion. Judicial review of the legality and constitutionality of such an order should give proper weight to those interests.

There are two main kinds of separation of powers arguments in the court’s analysis, both of which are familiar. One focuses on the executive’s institutional powers in immigration and national security matters and the second on the judiciary’s role as the institutional check against illegal and unconstitutional exercises of executive power.  I want to focus on the checks and balances arguments for the exercise of judicial review. Given how much the circuit court references the Supreme Court decision in Boumediene v. Bush, a case in which the separation of powers arguments for exercising judicial review were effectively severed from the underlying individual interests mandating judicial review, there is reason to be concerned.[9] Federal courts have, in the past, relied on structural arguments to assert the need for judicial review.[10] Grand rhetoric about the need for checks and balances has proved to be just that, institutional grandstanding without much substantive doctrinal safeguarding of the principles and interests at stake. In other words, an institutional powers-based justification for the exercise of review is likely to get mired in duelling arguments for institutional domains of authority, conducted at a highly abstracted level at which executive national security and immigration powers are likely to win over any claims of judicial guardianship of constitutional structure.[11]

An institutional powers-based approach that merely pays lip service to checks and balances will not provide any meaningful review. The reasoning needs to be able to link the exercise of judicial power with a substantive principle/interest at stake in the litigation. The courts need to clearly explain that the judiciary is empowered to ensure the executive does not exercise discretionary authority in a discriminatory or unreasonable manner (perhaps finding arbitrariness from the fact that there is no evidence that the means chosen are related to the purported aims of the order).

Instead of identifying the applicable substantive standard, the court focused on the procedural due process claim as the main individual interest in the litigation. Given the Supreme Court’s use of procedural due process in national security and immigration,[12] the emphasis on process is another means of avoiding articulating the substantive principles or rights at issue.

There were important individual interests at stake in the litigation over the first travel ban. The rule of law concerns dominated the political and public discussion of the executive order. While judicial analysis necessarily proceeds differently, any judicial analysis that severs the institutional and procedural standards from the substantive values at stake will fail to protect those values, thereby rendering judicial review a hollow guarantor of constitutionality.

II.               The Second Travel Ban

Following the 9th Circuit’s decision, President Trump withdrew the first order and on 6th March 2017 signed Executive Order 13780 (EO-2), which was to go into effect on 16th March 2017.  EO-2 made some relevant changes to the first order. It removed Iraq from the list of covered countries and excluded from its coverage certain groups of individuals with relevant ties to the US.

On 16th March 2017, a district court in Maryland issued an injunction.[13] It was that decision that the en banc 4th Circuit affirmed (in part), 10-3. The 4th Circuit’s majority opinion focused considerably on President Trump’s statements, during his presidential run and after taking the Oath of office, to find ‘bad faith’ on the part of the administration in issuing the second order.[14] In looking at those statements and investigating the question of purpose of or justification for the executive order, the majority opinion had to confront a key precedent set by the Supreme Court in Kleindienst v Mandel. The Court in Mandel made the following rule for reviewing executive exercises of immigration power, when that exercise violates the First Amendment rights of citizens or residents: “We hold that when the Executive exercises [the power to grant entry] negatively on the basis of a facially legitimate and bona fide reason, the courts will neither look behind the exercise of that discretion, nor test it by balancing its justification against the First Amendment interests [of the plaintiffs].”[15] The 4th Circuit’s majority opinion, through the examination of President Trump’s public statements about the purpose of the executive order, found that there was ample reason to suspect that the purported national security purpose was in fact not ‘bona fide’ and therefore to find a likelihood of a Establishment Clause violation.[16] This is a bit of a misreading of Mandel.

In the case of Mandel, evidence was presented by the plaintiffs to raise doubts about the ‘bona fide’ nature of the decision, but the Supreme Court refused to consider them—a fact one of the dissents points out.[17] As Judge Niemeyer states, according to Mandel “a lack of good faith must appear on the face of the government’s action [in the text of the executive order], not from looking behind it.”[18] Given the stated reasons for targeting the nationals of the named six nations,[19] the dissent argued, on its face, the government’s reasons are legitimate and bona fide. The dissent is right about the state of the law, the precedent cited does dictate almost total judicial abdication, but that fact is a cause for concern about the state of our constitutional law and its compliance with the rule of law.

By focusing so much on the unique terribleness of this president, and devising a rule to get around Mandel so fitted to these circumstances, this case and the scholarly dialogue preoccupied with President Trump’s lack of ‘good faith’ runs the risk of closing its eyes to deeper problems with the state of the law. The issue, at the core, is not that we had set legal doctrine just right and President Trump is now unsettling the arrangements we have made. The problem is that constitutional doctrine in the area of immigration (and national security) is so deferential that it is not at all clear that President Trump’s policies (discrimination and all) are unconstitutional. We cannot say, examining cases like Chae Chan Ping,[20] Korematsu,[21] Mandel,[22] and Kerry v Din,[23] that using discriminatory, arbitrary, and unjustified reasons to deny, expel, and detain individuals is clearly unconstitutional. This fact may not trouble some people, but it should worry anyone in favour of imposing some limits on executive power. By focusing on the ‘bad faith’, or the personality and actions of this president, the legal analysis seeks to sidestep confronting the problem of unbounded deference and unreviewable power, which is the reality of this subject matter and these travel orders; its consequence.

III.            The Supreme Court and the Second Travel Ban Order

On 26th June 2017 the Supreme Court granted cert in a pair of cases challenging EO-2 (appeals from the 9th and the 4th Circuit Courts of Appeal) and granted, in part, the government’s motion to stay the lower courts’ injunctions.[24] The Court ultimately dismissed the case (or rather the pair of appeals) due to mootness, given the temporal scope of the Order, and vacated the two circuit court opinions.[25] Nevertheless, the per curium opinion gives us a glimpse into the Court’s thinking. The focus, in that opinion, on the ‘relationship’ between the individuals impacted by the Executive Order and the United States suggests the Court was leaning away from the Establishment Clause argument and was more likely to rely on the procedural due process protections to guide its reasoning.[26] As this essay has already argued, the Supreme Court’s continued reliance on procedural due process and separation of powers arguments presents a real barrier to substantive scrutiny of executive policy. Where the emphasis remains on institutional competencies divorced from substantive principles of due process, reasonableness, and non-discrimination, the habitual (and superficially defended) assumption of ‘good faith’ will, most likely, translate into unchecked executive power.

Afterword

On 4th December 2017 the Supreme Court granted the government’s request to allow the third iteration of the travel ban order to go into force as the litigation works its way through the federal circuit courts. Travel ban 3.0 limits the entry into the United States of nationals from Iran, Libya, Yemen, Somalia, and Syria, all of which were included in earlier orders, and adds North Korea, Venezuela, and Chad to the list.

 

[1] Lecturer in law and the International Human Rights Fellow at the University of Chicago Law School.

[2] IRAP v Trump, Civ No TDC-17-0361 (D Md 17 Oct 2017) https://assets.documentcloud.org/documents/4112212/Md-Memo-Opinion.pdf; Hawaii v Trump, Civ No 17-00050 DK1-KSC (D Haw 17 Oct 2017) https://assets.documentcloud.org/documents/4111837/Hawaii-v-Trump-TRO.pdf.  See also Vivian Yee, ‘Judge Temporarily Halts New Version of Trump’s Travel Ban’ (NYTimes, 17 Oct 2017) <https://www.nytimes.com/2017/10/17/us/trump-travel-ban-blocked.html> accessed 30 Oct 2017.

[3] Benjamin Wittes & Quinta Jurecic, ‘The Revolt of the Judges’ (Lawfare, 16 March 2017) < https://lawfareblog.com/revolt-judges-what-happens-when-judiciary-doesnt-trust-presidents-oath> accessed 25 May 2017.

[4] Benjamin Wittes & Quinta Jurecic, ‘What Happens When We Don’t Believe the President’s Oath?’ (Lawfare, 3 Mar 2017) < https://lawfareblog.com/what-happens-when-we-dont-believe-presidents-oath> accessed May 25, 2017.

[5] ibid.

[6] There was a third circuit court decision, the 9th Circuit’s opinion on the second travel ban order, but that case was decided on statutory and not constitutional grounds. Though there are some interesting constitutional implications for how the 9th Circuit conducted statutory interpretation in the case, that decision will not be analyzed in this article.  Hawaii v Trump, 859 F3d 741 (9th Cir 2017).

[7] Washington v Trump, 847 F3d 1151 (9th Cir 2017).

[8] See Kerry v Din, 135 S Ct 2128 (2015).

[9] Boumediene v Bush, 553 US 723 (2008). See also Stephen Vladeck, ‘Boumediene’s Quiet Theory: Access to Courts and the Separation of Powers’ (2009) 84 Notre Dame L Rev 2107.

[10] ibid.

[11] United States v Curtiss-Wright, 299 US 304 (1936); Korematsu v United States, 323 US 214 (1944); Boumediene v Bush, 553 US 723 (2008).

[12] Kerry v Din, 135 S Ct 2128 (2015).

[13] IRAP v Trump, __FSupp 3d__, 2017 WL 1018235 (D Md Mar 16, 2017).

[14] IRAP v Trump, __F3d__, 2017 WL 2273306 (4th Cir May 25, 2017) 50-53.

[15] Kleindienst v Mandel, 408 US 753, 770 (1972).

[16] IRAP, 2017 WL 2273306 (4th Cir May 25, 2017) 53.

[17] ibid 160-62.

[18] ibid 163 (Niemeyer dissenting).

[19] Executive Order 13780 ‘Protecting the Nation from Foreign Terrorist Entry into the United States’, 82 (45) Fed Reg 13209, 13210 (Mar 6, 2017) (“Each of these countries is a state sponsor of terrorism, has been significantly compromised by terrorist organizations, or contains active conflict zones.”).

[20] 130 US 581 (1889).

[21] Korematsu v United States, 323 US 214 (1944).

[22] Kleindienst v Mandel, 408 US 753 (1972).

[23] Kerry v Din, 135 S Ct 2128 (2015).

[24] Trump v International Refugee Assistance Project, 582 US___ (2017) (per curium).

[25] Trump v Hawaii, Cert Summary Disposition 16-1540 (24 Oct 2017) https://www.supremecourt.gov/orders/courtorders/102417zr_e29f.pdf; Trump v IRAP, Cert Summary Disposition 16-1436 (10 Oct 2017) http://www.scotusblog.com/wp-content/uploads/2017/10/16-1436.pdf.

[26] Trump v International Refugee Assistance Project, 582 US at 9.

Navigating Methodological Approaches in Sensitive Research

Menaal Munshey[1]

In April 2015, I left Cambridge to embark on fieldwork in Sukkur, Pakistan. The study was centred around the topic of blasphemy and aimed at understanding blasphemy-related violence in Pakistan through a criminological lens. Blasphemy is criminalised in Pakistan with severe penalties of capital punishment and life imprisonment. Blasphemy laws are disproportionately used to target religious minorities, and are enforced largely through vigilante violence. The state and criminal justice system appear either silent or complicit, and this phenomenon has a profound effect on communities.

Sukkur is a city of 1 million people on the banks of the river Indus in Sindh.[2] Sindh is renowned for its principles of Sufism, peace and multiculturalism.[3] Historically many religious communities (especially Hindus and Muslims) have peacefully coexisted.[4]  It is also home to my paternal family. As an insider on the outside, fieldwork turned into a larger journey to critically analyse societal phenomena I had observed over the years: intolerance, overt Islamisation, and increasing levels of violence and criminality. In 2006 the only two churches in the city were destroyed by angry mobs based on an accusation of blasphemy.[5] This was personally disturbing as it exposed the inequality and discrimination faced by religious minorities,[6] and the changing nature of violence in Sindh. This incident sparked my inquiry into blasphemy, law, and violence in an attempt to situate these trends within a larger narrative.

I.                   Sensitive Research

Blasphemy is considered taboo and controversial. Often simply speaking about blasphemy is considered to be blasphemy itself. The research potentially posed a substantial threat to those involved and was ‘sensitive’ in nature.[7]  The security and safety of the participants and researcher was a major concern. I was aware of the ‘presentational’ danger in the form of aggression, hostility, or violence I might face.[8] In these challenging circumstances, fieldwork required reflexivity, improvisation and flexibility.[9]

These conundrums are rarely explained in Western methodological training. Most criminological research is conducted in developed countries, whereas it is the global South that faces the highest levels of violence.[10] As a result, theoretical knowledge and methodological training is skewed towards applicability in contexts where broadly the rule of law, democracy, and legitimacy of the state are upheld. Although we are taught how to tackle ethical considerations within a Western context, the same assumptions don’t apply in relatively fragile environments. Fieldwork acts as a reminder to question the underlying assumptions of our methodological training and begin to create more appropriate ethical rules in the given context.

I planned a short period of fieldwork to minimise attention drawn to asking questions about a sensitive subject in a small community. This may traditionally be considered inappropriate for in-depth qualitative research, however, methodology must be adapted to the context safely and sensitively. For example, conventional advice is not to let participants know of your home address. However, in Sukkur this proved to be impossible. Sukkur is a relatively small community where members of the community are easily identifiable. Most of the participants were familiar with a member of my family, and knew exactly where we lived. Although this was not advisable, it was important to recognise that “[m]any important empirical and theoretical problems taken up in the social sciences can be thoroughly and honestly studied only by placing oneself in situations that may compromise safety and security in a normative or corporeal sense”.[11]

The methodological training I had received thus far was largely ill equipped to tackle situations of physical insecurity, and many decisions were instinctual based on a contextual understanding. The general guidance, for example, is to contact the police in dangerous situations. This advice was largely misplaced in Pakistan where the police is considered the most untrustworthy state institution and the topic being studied implicates the police.[12]  Instead, I formed an exit strategy from the interview location. Since I was not driving myself and public transport is largely unreliable and unsafe, I nominated a few contacts whom I could rely on to immediately pick me up in case of an emergency. This proved difficult when I was conducting research on an island in the Indus, with limited accessibility to the mainland! These situations highlight the importance of building trust and remaining reflexive when conducting fieldwork in a context that is largely untouched by research.

II.               Identity and Building Trust

The study aimed at “getting the description right” in a “humanistic […] creative and intimate” manner.[13] A qualitative research method consisting of interviews and semi-structured interviews was considered most appropriate to “dig deep to get a complete understanding of the phenomenon” and create a “meaningful picture of a […] multifaceted situation”.[14]  The researcher is thus the primary instrument for data collection and analysis.[15]  “Ultimately the outcome of the interview or focus group depends on the knowledge, sensitivity and empathy of the interviewer”.[16] In fieldwork as in life, there are crucial moments when aspects of identity intersect fluidly, shifting their meaning in context.[17]  The researcher’s identity is inevitably involved in the way they interpret participants’ responses.[18]

I am part of a small proportion of the population that is viewed as privileged by the majority. I am a twenty-six year old woman, and was born and brought up in Karachi. I have lived abroad since 2009 while training to be a lawyer and criminologist. I have had the privilege of studying abroad mainly because of financial ability. Building trust between myself and the participants required offering a large amount of information about myself and often answering uncomfortable questions. I was careful to affirm mutual understanding and friendliness to break down these barriers, often discussing memories of growing up in Sukkur, and how the city has changed over my lifetime. I was asked, especially by the Muslim women in the study, why I did not wear a headscarf and why I conversed with men so openly. A Hindu man asked me how I felt safe on an island after sunset without a male member of my family as a chaperone. Many Christians asked me what it felt like to live in a ‘Christian’ country (i.e. the UK), and how I felt capable to live independently without a father or brother accompanying me. Many of these views linked to patriarchy and a culture of “women’s subordination” which I gently explained I did not subscribe to.[19] A Muslim man asked me to explain and justify my religious beliefs, which I did by highlighting aspects of our common Sufi beliefs. Police officers often accused me of leaving Pakistan instead of dealing with the religiosity, extremism and violence I was studying. They saw this as cowardice in comparison to their frontline positions. I ended up sharing difficult and personal experiences, which I had not prepared for. Many Christians accused me of tokenism. It was their view that I could never understand what they experience on a daily basis, because I was privileged to be born a Muslim. To them, I was part of the antagonistic Muslim community and just by virtue of that could be seen as untrustworthy. I reminded the participants that in fact there is more that binds us culturally than simply our religion, and that most Muslims are not supporters or sympathisers of blasphemy-related violence. In fact, my work was a critique of the phenomenon.

While building trust and sharing stories, I was conscious of the need to be perceived as impartial. This often required masking instinctive responses when participants made shocking or borderline offensive statements. Police officers, for example, admitted to resorting to the use of force: “The criminals that are documented, and those we have information on, we usually kill them in encounters. We do this in Sukkur specially. People go to Court to protest this, and even though we are making society safer by doing this, the Court doesn’t support us. We have to face all these challenges personally” (Police Officer). In this statement, he explicitly acknowledged the use of extrajudicial killings of ‘criminals’, which the police increasingly use as an alternative to the formal, legal court process.[20] I had an ethical responsibility not to condone such acts, and was careful to remain impartial in my reaction and demeanour. In discussions with Muslim men, blasphemy-related violence was largely justified: “People just can’t bear this type of insult (blasphemy), it is too close to their heart, they have no tolerance or patience for it. People feel that they must act, even if the state doesn’t” (Muslim Man). To probe further, I asked the controversial question of whether Ahmadis were considered Muslims or are committing blasphemy by practicing their religion: “What if I told you I was Ahmadi?” Suddenly the mood in the room became highly tense, and the participants were outraged at the suggestion. They verged on ordering me to leave, but I reeled the situation back in by assuring them this was just a hypothetical question. It provides an indication of the emotionally charged atmosphere surrounding blasphemy and religious beliefs.

I embarked on this study with the approach of being solely the interviewer, and quickly realised that these interactions would be organic conversations where I had to be forthcoming. I engaged in ‘active’ and ‘creative’ interviewing[21]. Instead of remaining impersonal as is suggested in traditional interviewing, I was willing to share my own experiences to activate the respondents’ knowledge in ways that were appropriate to the research aims.[22]  Although this blurred lines to some extent, without this it is unlikely I would have been able to elicit the authentic stories and life experiences that were shared with me. Knowledge was co-produced with the researched, and reflexivity was essential to this process.[23]

III.            Negotiating Access

There were many social dynamics involved in gaining access to participants during fieldwork with “the researcher’s right to be present being continually renegotiated”.[24]  The aim of the sample was to gather a range of perspectives from a variety of groups, including Hindus, Muslims, Christians and police officers. Access to participants was gained through discussions with family members and friends who acted as sponsors.[25] Sponsors acted as a “bridge” to “a new social world” and “patrons” who “simply by associating with the researcher, helped to secure the trust of those in the setting”.[26] Prior to conducting fieldwork I tried to contact these sponsors to set up interviews with participants. They were largely unresponsive, and none of the interviews or discussions were scheduled prior to my arrival in Sukkur. Despite being taught the importance of planning it was proving to be difficult to plan this research adequately in advance. I arrived in Sukkur worrying about the efficacy of the timeframe, and soon found that everything began to come together.

Prior to the police interviews, I felt unsure of the safety of the environment I was entering as it is male dominated and unfamiliar. Ironically, it was only for the police interviews that I felt I needed to take extra precautions. Due to these hesitations, I requested a community officer who works with a local charity in Sukkur to accompany me. I am a consultant with this charity and did not have to pay the community officer. The community officer was involved in off-the-record chats with police officers, however, he did not ask any questions during the interviews to limit his effect on these interviews. Despite the commonly-held view that the presence of a person other than the researcher might skew results, it is my view that in fact having a male companion during this phase of data collection actually meant the police officers were not dismissive of a young 20-something year old girl, did not feel uncomfortable about being alone with a female stranger, and may have added legitimacy to my own presence. This is another example of an unorthodox practice, which I considered necessary in the context despite the potential limitations it might pose.

IV.            Contextual Methodological Approaches

Social phenomena and societies are not the same, and methodology must be adapted to reflect this. This article is a contribution to bridging gaps in methodological approaches, while highlighting the benefit of adopting a reflexive approach in criminological research.[27]  It is important to confront sensitive ethical challenges candidly, especially in fragile contexts where researcher safety is not guaranteed and many traditional rules do not apply. It is time for criminological and social science researchers to take a concerted approach to developing innovative and context-appropriate thinking on research methodology.

[1] PhD candidate in Criminology at the University of Cambridge.

[2] ‘Sindh population surges by 81.5 pc, households by 83.9 pc’ The News (Lahore, 2 April 2012).

[3] Alice Albinia, Empires of the Indus: The Story of a River (John Murray Publishers 2012).

[4] Ibid.

[5] ‘Churches Torched over Blasphemy Rumor’ World Watch Monitor (Karachi, 2 February 2006).

[6] Menaal Munshey and Haya Emaan Zahid, ‘Inequality and Discrimination faced by Religious Minorities in Pakistan’ (Oxford Human Rights Hub Blog, 31 January 2017) < http://ohrh.law.ox.ac.uk/inequality-and-discrimination-faced-by-religious-minorities-in-pakistan/> accessed 15 August 2017.

[7] Raymond M. Lee, Doing research on sensitive topics (Sage Publications 1993).

[8] Ibid.

[9] Ruth Armstrong, ‘From Paper Ethics To Real World Research: Supervising Ethical Reflexivity When Taking Risks In Research With The ‘Risky’ in Karen Lumsden (ed.), Reflexivity In Criminological Research (Palgrave Macmillan 2014).

[10] Christopher Minkton, Masako Tanaka, Mark Tomlinson, David L Streiner, Lil Tonmyr, Bandy X Lee, Jane Fisher, Kathy Hegadoren, Joam Evans Pim, Shr-Jie Sharlenna Wang and Harriet L MacMillan, ‘Global research priorities for interpersonal violence prevention: a modified Delphi study’ (Bulletin of the World Health Organization, 20 October 2017) <http://www.who.int/bulletin/volumes/95/1/16-172965/en/> accessed 15 August 2017.

[11] Stephen Lyng, ‘Dangerous Methods: Risk Taking and the Research Process’ in Jeff Ferrell and Mark S. Hamm (eds), Ethnography at the Edge (Northeastern University Press 1998).

[12] Transparency International Pakistan, ‘National Corruption Perception Survey’ (Transparency International, 28 December 2011) <http://www.transparency.org.pk/report/ncps2011/ncps2011.pdf&gt; accessed 1 April 2017.

[13] Alison Liebling, ‘Description at the Edge? I-It/I-Thou Relations and Action in Prisons Research’ [2015] 4(1) IJCJSD 18.

[14] Paul D. Leedy and Jeanne Ellis Ormrod, Practical Research: Planning and Design (Prentice Hall 2013) 147.

[15] Sharan B. Merriam, Qualitative Research: A Guide to Design and Implementation (Jossey-Bass 2014) 15.

[16] Steiner Kvale, Interviews: An Introduction to Qualitative Research Interviewing (Sage Publications 1996) 105.

[17] Stephanie Kane, ‘Armed Robbery and Ethnographic Connection in Salvador de Bahia, Brazil’ in Karen Lumsden (ed.), Reflexivity In Criminological Research (Palgrave Macmillan 2014).

[18] Martyn Denscombe, The Good Research Guide for small-scale research projects (4th ed, Open University Press 2011).

[19] Menaal Munshey, ‘Sheroes of the Subcontinent’ (Sisterhood Magazine, 6 June 2017) <http://sister-hood.com/menaal-munshey/sheroes-of-the-subcontinent/> accessed 14 August 2017.

[20] Asian Human Rights Commission, ‘A call for an immediate intervention to stop extrajudicial killings’ (Asian Human Rights Commission, 27 October 2014). <http://www.humanrights.asia/news/alrc-news/human-rightscouncil/hrc27/ALRC-CWS-27-10-2014/?searchterm=extrajudicial%20killings%20pakistan&gt; accessed 1 April 2017.

[21] Jack Douglas, Creative interviewing (Sage Publications 1985).

[22] James Holstein and Jaber Gubrium, ‘Active Interviewing’ in Jaber Gubrium and James Holstein (eds.), Postmodern Interviewing (Sage Publications 2003).

[23] Aaron Winter and Karen Lumsden, ‘Reflexivity In Criminological Research’ in Karen Lumsden (ed) Reflexivity In Criminological Research (Palgrave Macmillan 2014).

[24]  Raymond Lee, Doing research on sensitive topics (Sage Publications 1993) 122.

[25]Jack Douglas, Creative interviewing (Sage Publications 1985).

[26] Ibid 131.

[27] Aaron Winter and Karen Lumsden, ‘Reflexivity In Criminological Research’ in Karen Lumsden (ed) Reflexivity In Criminological Research (Palgrave Macmillan 2014).

Can One Own the Bible?

Cristina Golomoz[1]

Figure 2

Can one truly own the Bible? Looking at the impressive collection of biblical materials to be put on display at the forthcoming ‘Museum of the Bible’ the answer would appear to be a resounding ‘Yes!’ The Museum of the Bible will open in Washington, D.C., in November 2017. It will house one of the biggest collections of biblical texts in the world, including rare manuscripts and books such as Dead Sea Scroll fragments, the first editions of the King James Bible, and fragments from the Gutenberg Bible.[2] The museum’s exhibition space is set to be 20 percent larger than Tate Modern’s in London –  an impressive figure which reflects the project’s ‘biblical’ proportions.

The project’s mastermind is David Green, an American businessman who founded Hobby Lobby, an arts and crafts chain based in Oklahoma City. Hobby Lobby is well-known for its victory in a Supreme Court case in 2014 in which it sought exemption from paying insurance that covered contraception for employees on religious grounds. The Green family are evangelical Christians who have long dedicated their time, effort, and money to religious education and dissemination projects.[3] The Museum of the Bible is the most recent cause they have devoted themselves to in an attempt to ‘convey the global impact and compelling history of the Bible in a unique and powerful way.’[4]

Another cause sponsored by the Green family is the so-called ‘Scholars Initiative.’ This is a programme which supports scholarly research into the rare biblical texts owned by the Green family as part of the ‘Green Collection’, which will feature in the soon-to-be Museum’s exhibitions. Not only does this programme facilitate scholars’ access to previously unstudied material, but also to generous research funding and cutting-edge technologies used in this type of research. A veritable scholar’s paradise. But, according to some critics, there is a catch. Whilst officially there is ‘no religious requirement for involvement’, the institutions affiliated with the Green Scholars Initiative are almost all explicitly Christian, predominantly of the evangelical denomination.[5] Steve Green, David Green’s son and the chairman of the Scholars Initiative, explains how the scholars’ selection process is construed: they favour those researchers who ‘seek after facts’ and avoid those who are ‘antagonistic and are going to come to a conclusion that this book [the Bible] is not what it claims to be.’[6]

This approach to scholarly research has been widely criticised as a way to restrict the access of certain researchers to the biblical texts included in the Green Collection.[7] Furthermore, critics have also argued that this approach reflects a particular understanding of what the Bible is, which is grounded in the Green family’s evangelical faith.[8] Specifically, a vision of the Bible which stresses the text’s consistency throughout history and geographical contexts, and seeks to eliminate any contradictions within or fragmentation of the text. An illustration of this is provided in the description of the Museum’s mission: ‘to bring to life the living word of God, to tell its compelling story of preservation, and to inspire confidence in the absolute authority and reliability of the Bible.’[9] Such an understanding, it has been argued, fails to recognise the commonly held scholarly position that the Bible cannot be traced back to one single original text.[10] Rather, most historic theologians argue that it is a collection of texts and fragments upon which the passage of time and a great many complex socio-political contexts – such as the breakup of the Roman Empire or the Reformation, to mention just two well-known examples – have left their mark. Avoiding those scholars who ‘are going to come to a conclusion that this book is not what it claims to be’ does not appear to account for the ways in which ideology, interpretation, contradiction, and randomness have been incorporated in the biblical text as we today know it.[11]

Even though they are the owners of one of the largest private collections of biblical objects and artefacts in the world, the Greens like to describe themselves as ‘storytellers’ and ‘educators’, rather than ‘collectors.’[12] In Steve Green’s own words, the Scholars Initiative and the Museum aim to ‘tell the story of the Bible.’[13] This statement is perhaps an indication of just how far the Greens’ claim over the manner in which the meaning of the biblical text is transmitted reaches. By telling the story of the biblical artefacts and objects included in their collection, the Greens aspire to represent the Bible itself.

The fact that they own these rare objects is not without importance here. Being the owners of this collection has enabled them to control not only which researchers are selected onto their Scholars Initiative, but also the questions that are asked and the interpretations that are given to those biblical fragments. The insistence that we are presented with ‘simply the facts’ reads as an explicit attempt to legitimise the Greens’ vision of the Bible as true, or ‘factual’, whilst censoring alternative interpretations. This has the potential to influence not only what the millions of people who will visit the Museum learn about the Bible, but also how we understand the history of Christianity more generally.

That the Green family will control access to and the interpretation of the biblical material in its possession then raises the interesting question about what can and cannot be owned privately. What is the line of demarcation, and how rigid is it? The Greens own a collection of rare biblical artefacts, but can they be said to own the Bible? Surely, most would say that they do not. To take another example, we can imagine a situation in which a fragment of the original copy of the 1787 US Constitution comes into private hands. Yet, we would be reluctant to think that the US Constitution can be privately owned. What is the basis of this reluctance? There is no explicit rule of law that excludes the Constitution or the Bible from the things that can be privately appropriated. The Constitution and the Bible are intangible things, unlike the paper on which their texts are written. Yet, many intangible things can indeed be privately owned, such as a song, an invention, or a brand.[14] What, then, makes the idea of owning the Constitution or the Bible so inconceivable?

In the case of the Constitution, anthropologist Maurice Godelier argued that the inconceivability of ownership is grounded in the understanding that the principles and ideals expressed in this text are the ‘common property’ of the collective body of citizens.[15] In other words, the Constitution is thought to belong to each and every citizen by virtue of their citizenship – not by the simple virtue of possessing some tangible object. What sort of rights might such a notion of ‘common property’ involve? A possible answer is provided by Macpherson, who suggests that common property could entail a guarantee against being excluded from the use or benefit of a thing.[16] This contrasts with private property, which gives one the right to exclude others from the use or benefit of something. An example of a good which the state might declare for common use is a town park. If governed by a common property regime (also known as ‘the commons’), then the park would be considered non-transferable to a private owner.

In the context of Western legal systems, the idea of excluding certain categories of things from private ownership and commerce goes back to Roman law. Legal historian Yan Thomas showed that Roman law used a distinct legal category, called ‘pecunia communis’, for goods designated as non-appropriable by private individuals.[17] This legal category applied to two types of goods: ‘res sacrae’ (‘sacred things’) and ‘res publicae’ (‘public things’). Among the sacred things, Thomas listed objects and places used in the religious practice. The public things included objects and places such as water pipes, theatres, markets, and roads. According to Thomas, there was no clear separation between ‘res sacrae’ and ‘res publicae’ in Roman law, and they were both considered ‘common goods’. These were distinguished from ‘res in commercio’ (‘commodities’) by their function, that is, the fact that they were reserved for a common use.[18]

As both an expression of and a catalyst for community life, ‘common goods’ were seen as things for which there could be no monetary equivalent.[19] In other words, they were priceless. Viewed from this perspective, their exclusion from private ownership and trade is easy to understand. If their function as an expression of and a catalyst for community life is lost, they cease to be ‘common goods’ and they become ‘commodities’. In that sense, it is impossible to appropriate ‘common goods’ because they are beyond the reach of ‘singuli homines’ (literally ‘isolated men’).

Going back to the discussion about the Bible and the Constitution, I suggest that this could be a helpful way to think about what can and cannot be owned privately. Understood as ‘common goods’ in the sense illustrated by Thomas in his study of Roman law, both the Bible and the Constitution are at the same time a community’s statement of shared beliefs, and something involved in the making of that community. One cannot privately appropriate these ‘common goods’ and, thus, terminate their communal use without degrading their communal meaning.[20]

Therefore, one cannot be said to own the Bible in its communal sense. Yet, as the case of the Green Collection shows, one can own rare biblical artefacts and objects. But how rigid is the line of demarcation between those aspects of the Bible that can be owned and those that cannot? I suggest that, in practice, the separation might not be as clear. As owners of rare biblical artefacts, the Greens gain control not only over the manner in which these objects are represented, but also over how the story of the Bible itself is told through them. This, I have argued, has been used by the Greens as means to legitimate their understanding of what the Bible is, and of the social or communal status it should be given in believers’ lives (‘absolute authority’). In re-telling the story of the Bible, controlling its representation, and legitimising this interpretation, the Bible’s ownership may cease to remain beyond private reach.

[1] PhD Candidate at the Centre for Socio-Legal Studies, University of Oxford.

[2] Highlights of the museum collection can be found here: https://museumofthebible.org/museum-of-the-bible-collection.

[3] Details about Hobby Lobby’s Donations and Ministry Projects can be found here: http://www.hobbylobby.com/about-us/donations-ministry.

[4] ‘Museum Collection | Museum of the Bible’ <https://museumofthebible.org/museum-collection&gt; accessed 18 February 2017.

[5] Joel Baden and Candida Moss, ‘Can Hobby Lobby Buy the Bible?’ (The Atlantic, January/February 2016 Issue) <https://www.theatlantic.com/magazine/archive/2016/01/can-hobby-lobby-buy-the-bible/419088/&gt; accessed 13 February 2017.

[6] Steven Green quoted in: ‘More than a Hobby’ (The Economist, 2 July 2016) <http://www.economist.com/news/united-states/21701487-steve-green-man-building-bible-museum-washington-explains-what-he-up&gt; accessed 13 February 2017.

[7] Noah Charney, ‘Critics Call It Evangelical Propaganda. Can the Museum of the Bible Convert Them?’ (The Washington Post, 4 September 2015) <https://www.washingtonpost.com/opinions/2015/09/04/f145def4-4b59-11e5-bfb9-9736d04fc8e4_story.html?utm_term=.302dae2588fa&gt; accessed 14 February 2017.

[8] ‘Biblicism’, the belief according to which the Scripture is ‘the central authority’ over a believer’s life, is one of the essential characteristics of evangelical theology. Arguably, this understanding of the Bible resonates with that promoted through the Green family’s charitable actions. See ‘Evangelical Theology’, Ian A McFarland and others, The Cambridge Dictionary of Christian Theology (Cambridge University Press 2011) <http://ebookcentral.proquest.com/lib/oxford/detail.action?docID=691811&gt;.

[9] The museum’s mission according to the tax filing for 2011: The Museum of the Bible, ‘Form 990 Department of the Treasury, Internal Revenue Service, Return of Organization Exempt from Income Tax’, <http://207.153.189.83/EINS/273444987/273444987_2011_09591cf7.PDF&gt; accessed 14 February 2017.

[10] Michelle Boorstein and Michelle Boorstein, ‘Hobby Lobby’s Steve Green Has Big Plans for His Bible Museum in Washington’ (The Washington Post, 11 September 2014) <https://www.washingtonpost.com/lifestyle/magazine/hobby-lobbys-steve-green-has-big-plans-for-his-bible-museum-in-washington/2014/09/11/52e20444-1410-11e4-8936-26932bcfd6ed_story.html?utm_term=.d9cf0f2dbaa1&gt; accessed 22 February 2017.

[11] For scholarly research which analysis the transformations of the biblical text throughout history, see Eldon Jay Epp, ‘The Multivalence of the Term “Original Text” in New Testament Textual Criticism’ (1999) 92 Harvard Theological Review 245.

[12] Steven Green quoted in: Joel Baden and Candida Moss (n 5).

[13] Quoted in: Alan Rappeport, ‘Family Behind Hobby Lobby Has New Project: Bible Museum’ (The New York Times, 16 July 2014) <https://www.nytimes.com/2014/07/17/us/politics/family-that-owns-hobby-lobby-plans-bible-museum-in-washington.html&gt; accessed 15 February 2017.

[14] Under intellectual property rights.

[15] Maurice Godelier, The Enigma of the Gift (University of Chicago Press, 1999) 206.

[16] Crawford Brough Macpherson, Property, Mainstream and Critical Positions (University of Toronto Press, 1978) 5.

[17] This term was used under the Empire. ‘Pecunia populi’ was the corresponding term used under the Republic. Yan Thomas, ‘La Valeur Des Choses’, Annales. Histoire, sciences sociales (Éditions de l’EHESS 2002) 1435; 1441.

[18] ibid 1434–1435; 1461.

[19] ibid 1460.

[20] A similar idea is articulated by philosopher Michael Sandel with regards to the commercialisation of certain higher value goods.  Michael J Sandel, What Money Can’t Buy: The Moral Limits of Markets (Penguin, 2013) 96.

 

Devolution in Disguise: Miller and the Curse of the Government’s “Victory”

 Jo Murkens[1]

The mythical Article 50 TEU gives Member States the option to withdraw from the EU ‘in accordance with its own constitutional requirements.’. But what are the constitutional requirements of a country with no written constitution? And on what basis should the UK Supreme Court resolve the competing constitutional claims regarding prerogative powers, Acts of Parliament, conventions, and individual rights that were voiced by the government, the devolved administrations, and by the claimants? On the basis of strictly legal questions? Or by taking into account the UK’s broader political context and constitutional arrangements?

An unprecedented eleven-member UK Supreme Court decided Miller[2] –  supposedly the constitutional case of the century – on 24 January 2017. As had been generally predicted, the government’s argument; that it could start the process of withdrawing from the EU using a prerogative power instead of an Act of Parliament, was roundly rejected by an 8:3 majority. The Miller case will no doubt be discussed for years to come. The government’s unconstitutional attempt to bypass Parliament was thwarted by confident and convincing reasoning in a single judgement signed by eight Supreme Court Justices.

I. Article 50 and EU Law

Lord Neuberger, for the majority, makes two points. He agrees that the European Communities Act 1972 gives effect to the Treaty of Rome and is the source of EU law. That is to say, EU law originates from the institutions of the European Union, and then becomes effective in UK law via the gateway of the European Communities Act 1972. But, instead of leaving it there, he goes on to say that, more fundamentally and more realistically, that, ‘it is the EU institutions which are the relevant source of that law.’ For as long as the European Communities Act 1972 remains in force, the entire acquis communautaire, i.e. the EU Treaties, EU legislation, and the jurisprudence of the Court of Justice, ‘are direct sources of UK law.’[3]  In other words, the validity of EU law does not originate from the European Communities Act 1972. Instead, the effect of the Act is to ‘constitute’ (a better term would be: to recognise) EU law as ‘an independent and overriding source of domestic law.’[4]  Should this make you blink twice, the UK Supreme Court repeats the point by positing EU law ‘as an entirely new, independent and overriding source of domestic law, and the Court of Justice as a source of binding judicial decisions about its meaning.’[5]

Referring to the EU as an independent and overriding source of law allows the UK Supreme Court to develop a different line of reasoning from the Divisional Court in November 2016. That decision accepted that prerogative powers could be used to sign and terminate treaties as a matter of international law and foreign relations. However, they could not be used to trigger Article 50 TEU due to the loss of certain rights guaranteed to individuals under EU membership. Although the UK Supreme Court agrees that the government cannot rely on prerogative powers to initiate withdrawal from the EU, it does so by another route. Instead of focusing on individual rights, it makes a broader constitutional argument by establishing a link between triggering Article 50 TEU and the loss of EU law as a domestic source of law, which amounts to a fundamental constitutional change that mandates statutory authorisation.

II.  Article 50 and Devolution

Beyond the headline-grabbing defeat and the subsequent focus on statutory authorisation in the form of the European Union (Notification of Withdrawal) Bill 2017, the government also secured a strong victory on the question whether it needed the consent from the devolved legislatures before the invoking of Article 50 TEU. The UK Supreme Court unanimously held that such consent was not required. The UK Supreme Court had already required parliamentary legislation in relation to the first question, which took some of the heat out of the second question. Yet the government’s victory on the devolution question is likely to be short-lived.

Since the referendum in June 2016, the government’s official policy towards the regions has been inclusive. In his statement to Parliament on Brexit on 27 June 2016, PM David Cameron said that: ‘we must ensure that the interests of all parts of our United Kingdom are protected and advanced, so as we prepare for a new negotiation with the European Union we will fully involve the Scottish, Welsh and Northern Ireland Governments.’[6]  On her first visit to Scotland after becoming Prime Minster on 15 July 2016, Theresa May said that:

‘I’ve been very clear with the first minister today that I want the Scottish government to be fully engaged in our discussion. I have already said that I won’t be triggering Article 50 until I think that we have a UK approach and objectives for negotiations. I think it is important that we establish that before we trigger Article 50.’[7]

In contrast to the inclusive approach, PM May has also repeatedly made clear that agreeing a UK-wide approach did not mean giving any of the regions a veto. The devolved legislatures would not be allowed to ‘block Brexit.’[8]

The UK Supreme Court has now stepped into the breach by concluding that the consent of the devolved legislatures is not constitutionally necessary before official notice to withdraw from the EU is given under Art. 50 TEU. The question it had to address was whether any UK legislation that sought, for instance, to repeal the European Communities Act 1972 and amend the devolution legislation would be subject to the Sewel Convention.

III. Law vs. Politics

This question opens up a gulf between constitutional law and constitutional politics. Legally speaking, the UK government can claim that EU relations are an ‘excepted’ matter or reserved to Westminster. The devolution legislation in Scotland, Wales, and Northern Ireland assumes that the UK would be a member of the EU, but does not require the UK to remain a member.[9]  It follows that there can be no ‘parallel legislative competence’ by with the devolved legislatures could withdraw from the EU.

However, the devolved administrations will point out equally correctly, that to give effect to EU withdrawal Westminster would have to relieve the devolved legislatures of their statutory obligation to respect EU law. This will require changing the devolution legislation – which is no mean feat. The Northern Ireland Act 1998 has been described as the ‘constitution’ for Northern Ireland.[10]  It involves a delicate three-way power sharing structure between the Republic of Ireland, the devolved administrations and legislatures, and the UK. Amending the Northern Ireland Act 1998 unilaterally would be especially reckless, if not actually impossible as a matter of international relations and practical politics.

As a matter of constitutional law, Westminster may of course repeal the European Communities Act 1972 or amend the devolution legislation at any time. However, as a matter of constitutional politics, the UK government will not normally invite Westminster to legislate on devolved matters or on the extent of devolved powers without first obtaining the consent of the relevant devolved legislature. That understanding stems from the Sewel Convention, which exists in two forms: first, as an uncodified constitutional convention for Northern Ireland; second, in statutory form for Scotland and Wales. The Smith Commission was established in the aftermath of the Scottish Independence referendum of 2014. As part of the overall drive to create a stronger and more autonomous Scottish Parliament it proposed that ‘the Sewel Convention will be put on a statutory footing.’[11]  The Scotland Act 2016 inserted this recommendation into the 1998 Act,[12] and the Wales Act 2017 has now similarly amended the Government of Wales Act 2006.[13]

Instead of reiterating doctrinal Westminster-centric notions of sovereignty, the UK Supreme Court could have conceived of the relationship between the centre and the regions with reference to wider considerations of constitutional politics. The UK Supreme Court could have built on its view that the loss of EU law amounts to a fundamental change to the UK constitution to express concern that such a loss would destabilise cooperation in the North-South Ministerial Council as established under the Belfast and British-Irish agreements. This institution is set up to implement EU policies and programmes on an all-Ireland and on a cross-border basis. The observance and implementation of EU law is expressly a ‘transferred matter’, and as such forms part of the responsibilities of the devolved administration in Northern Ireland. A reasonable case can be made that Westminster legislation that amended those provisions that affected the ‘complex power-sharing’ arrangements[14] between the Republic of Ireland, the devolved administrations and legislatures, and the UK would not fall under the Sewel convention and would, therefore, require the consent of the devolved legislatures.

On the one hand, the Sewel convention is the key constitutional mechanism by which boundary questions between the centre and the regions are framed. Indeed, the UK Supreme Court recognises that some conventions perform ‘a fundamental role in the operation of our constitution.’[15]  The function of the Sewel Convention is to facilitate ‘harmonious relationships’ between the centre and the regions. It acts as the key to an interlocking and interdependent constitutional structure. It can be used as the mouthpiece for cross-community and cross-border dialogue. On the other hand, the Sewel convention creates no legal obligations, and the UK Supreme Court will not police the fundamental role that the convention plays, notwithstanding its statutory form.

IV. Conclusion

In trying to work out what the constitution requires, the UK Supreme Court is caught by the UK’s own constitutional fault lines. Devolution disguises a clash between law, the constitution, and politics. The UK Supreme Court is undoubtedly correct that the consent of the devolved legislatures is not legally required for the purposes of triggering Article 50 TEU – or indeed for the purposes of amending the devolution legislation. However, so long as the Sewel Convention is in place, it is a constitutional requirement that the devolved assemblies pass a legislative consent motion under the Sewel convention before those parts of the devolution legislation incorporating EU law can be amended. Politically, there is a danger that the UK Supreme Court’s retreat to constitutional formalism will be interpreted as constitutional intransigence in the regions. The Miller decision allows the SNP to proclaim that the UK government’s promises to enhance the Sewel Convention are ‘not worth the paper they were written on’, and that Scotland cannot be an equal partner in the UK so long as its ‘voice is simply not being heard or listened to within the UK.’[16]

The UK Supreme Court adds to the government’s humiliation after the Divisional Court’s ruling by turning the loss of individual rights into a loss of a domestic source of law. It then appears to throw the government some rope on the devolution question. But it is a devilish rope, which on current evidence looks more like a noose than a lifeline. The single most important constitutional requirement for the UK lies in prioritising the Northern Irish and Scottish questions as a matter of urgency. Devolution happens to be intrinsically tied up with the UK’s membership of the EU. It is unfortunate that the British tradition steadfastly refuses to discuss politics through a constitutional matrix. That is an old habit that needs to fade quickly. Finding an answer to the devolution question is not just indispensable to working out the legal process of withdrawal under Article 50 TEU. More than that, it is constitutionally important, politically urgent and, in relation to the long-term national interest, vital.

[1] Associate Professor of Law at the London School of Economics and Political Science.

[2] R (Miller) v Secretary of State for Exiting the European Union [2017] UKSC 5.

[3] Miller [60-61].

[4] Miller [65].

[5] Miller [80].

[6] HC Deb, 27 June 2016, vol. 612.

[7] L Brooks, ‘May tells Sturgeon Holyrood will be ‘fully engaged’ in EU talks’ (The Guardian, 15 July 2016) <https://www.theguardian.com/uk-news/2016/jul/15/theresa-may-nicola-sturgeon-holyrood-article-50-decision> accessed 13 July 2017.

[8] S Johnson, ‘Theresa May: No Scotland opt-out or veto from Brexit’(Daily Telegraph 2 October 2016) < http://www.telegraph.co.uk/news/2016/10/02/theresa-may-no-scotland-opt-out-or-veto-from-brexit/> accessed 13 July 2017; P Walker ‘Theresa May to warn devolved nations: you have no veto on Brexit’ (The Guardian 30 January 2017) < https://www.theguardian.com/politics/2017/jan/30/theresa-may-devolved-nations-veto-brexit-scotland-northern-ireland-wales-article-50> accessed 13 July 2017.

[9] Miller [129].

[10] Robinson v Secretary of State for Northern Ireland [2002] UKHL 32; [2002] NI 390.

[11] Smith Commission, Report of the Smith Commission for further devolution of powers to the Scottish Parliament, para. 22.

[12] S. 28(8) Scotland Act 1998, as amended by s.2(2) Scotland Act 2016.

[13] S.2 Wales Act 2017.

[14] B. O’Leary, ‘Complex Power-Sharing in and over Northern Ireland: a Self-determination Agreement, a Treaty, a Consociation, a Federacy, Matching Confederal Institutions, Intergovernmentalism, and a Peace Process’, in M. Weller and B. Metzger (eds), Settling Self-Determination Disputes: Complex Power-Sharing in Theory and Practice (Boston: Martinus Nijhoff, 2008).

[15] Miller [151].

[16] N Sturgeon, ‘Nicola Sturgeon responds to UK Supreme Court ruling’ (SNP website, 24 January 2017) < https://www.snp.org/nicola_sturgeon_uk_supreme_court_ruling> accessed 13 July 2017.

The Constitutional Crisis of 2016: An Historical Perspective[1]

Denis Galligan[2]

 

I.                   Introduction

Following the referendum of 23rd June 2016, as to whether the UK should remain in the European Union, the constitution has become the centre of public attention in a way not seen for over a century. Several issues have arisen: the status of the referendum; the authority of parliament; the power of the executive; and the rightful role of the courts. Each contains matters of interest and concern; all have provoked opinions and reactions as unexpected as they are, in some cases, crude in expression and ignorant in sentiment. But the issue of utmost constitutional importance, the issue at the very core of the constitution, is the status of the people and their relationship to parliament.

David Hume, the philosopher, historian, social theorist, writing in the 18th century observed:

Nothing appears more surprising to those who consider human affairs with a philosophical eye, than the easiness with which the many are governed by the few; and the implicit submission with which men resign their own sentiments to those of their rulers.

Hume went on to say it is all the more curious when you consider that power, raw power, is always on the side of the governed for ‘the governors have nothing to sustain them but opinion. It is on opinion only that government is founded.’

A constitution depends on the self-restraint of the people; self-restraint in not exerting their natural liberty; accepting instead the standards set by the constitution for the conduct of government. Hume thought two conditions were necessary and adequate for self-restraint and acquiescence. One is that the people are inclined to fall in with the settled way of doing things. The other, the more substantial, is provision of the ‘necessities of life’: if the system ensures the necessities of life, that is, essentially security of person and property, the people will exercise self-restraint and accept the constitution.

Questions may be raised about Hume’s claim, which is ultimately causal and empirical. Whether it takes account of the people’s concern to be ruled according to certain values and in certain ways is not clear. Nor does it seem to take account of people’s inextinguishable desire to have some say in how they are ruled, to play some part in ruling. But Hume is not my subject. Rather, inspired by Hume, I want to examine the ruler-ruled relationship in the British historical context.

II.               Is There a Crisis of the Constitution in the UK?

The title of this paper ought to end with a question-mark. For what does it mean to talk of a crisis of the constitution? I take it to mean simply: (i) the established principles of the constitution are under question, and (ii) there is no plan or vision for resolving the matter.

English history is rich in constitutional crises; one of the most important was 1647 in the wake of the Civil War. Similarities with the present are not wholly fanciful: old constitutional certainties in relations between king, peers, and Commons were overturned; the king was in captivity, the House of Lords abolished, the House of Commons in disarray. No one was quite sure what to do, how to re-establish the constitution and ensure effective government. The Putney Debates in October 1647, perhaps the closest we have to a constitutional convention, ended in confusion and contention, out of which Oliver Cromwell was able to seize power and govern for a decade as the kind of dictator we would now condemn.

And yet the crisis of the 1640s opened the way for, made possible, set in train, the creation of the constitutional order we now have. The House of Commons, being the only elected part of the constitution, was able to assert in the name of the people superiority over king and peers. This was a novel idea but it worked. The House of Commons, itself on the whole composed of the upper class, had its own motives, and neither intended nor foresaw the consequences of its actions. But, once having acted in the name of the people, as the elected representatives of the people, once having proclaimed the people as the foundation of constitutional authority, there was no turning back.

Along the road to a modern constitution, the 1640s are a turning point. That the people are in some sense the foundation of constitutional authority is true, as we saw with Hume. That is a political reality. The parliamentarians turned that political reality into a constitutional principle, to their advantage. But it was double-edged: on the one hand it gave parliamentarians a constitutional advantage over king and peers; on the other hand, in empowering the people, in accepting perhaps for the first time that they have a distinct place in the constitution, the parliamentarians unleashed a mighty force – a force the full unfolding of which would potentially lead to popular democracy, an unthinkable outcome. It had to be contained and much of constitutional history since is about its containment. To the extent there is now a crisis, it is about that same issue: the place of the people in the constitution.

Constitutions provide the framework of government: the rules and institutions. They are artificial constructions, created by one generation and inherited by another. They are neither timeless nor unchanging. Being artificial, constitutions on occasions fall out of step with society and politics, and hence opinion. Jeremy Bentham thought each generation should review the constitution to bring it into line with contemporary opinion. Indeed, the average life of a written constitution is nineteen years. Constitutions should not, however, change with the wind, for the wind, as with attitudes, can blow in different directions in the same day. A constitution, in providing stable and effective government, is meant to protect against the whims of the day, the fickleness of the press, the fashionable ideas no more permanent than the seasons, especially when such ideas encourage intolerance and oppression, the very things a constitution is meant to protect against. We need not fear change, but change creates uncertainty and incurs risk. To avoid such risk, we should first understand what we now have and how it came about.  That is my present purpose.

Focusing on relations between parliament and the people, we should be clear about a few basic points. The sovereignty of parliament is a fundamental principle of the UK constitution and has been for centuries. Within the trinity of monarch, peers, and Commons, the House of Commons is the main part. The powers of the Queen and House of Lords gradually have diminished as those of the House of Commons have increased, so that it now has the final say on matters of law and policy. It must act as it considers best in the public interest, for the common good.

Among the many processes for gauging opinions of the people – petitions, addresses, complaints, and so on – the referendum has traditionally had no place. If considered a modern successor or addition to those other processes, the referendum raises no constitutional problem: parliament has a duty to consider it, take it into account, and decide what weight to give to it, the final decision being parliament’s. If parliament considers a referendum binding on it, regardless of whether a majority of members judge the outcome to be in the best interests of the nation, then there is a dilemma. Parliament might try to escape the dilemma by holding the outcome to be in the national interest just because that is the opinion of a majority of those voting. That would be to accept, in effect, that the referendum is binding. To accept the referendum as binding would be a change of constitutional principle, an abdication of parliament’s responsibility to determine what is best for the nation, all things considered. In allowing the people to decide directly a matter of immense importance to the nation would be to compromise both parliamentary authority and the principle of representative democracy on which it is based.

That would be a constitutional change of great moment. But, you may be wondering, what is the problem. We live in a democracy; democracy means that constitutional authority derives from the people; and the people should have the final say on matters of moment. We elect representatives to act on our behalf, but we are the principals, they the agents, the delegates. As principals, why should we not from time to time reclaim our original authority? These are elementary questions that need serious consideration.  The introduction of elements of direct democracy, that is to say, allowing the people to have more direct say over how they are governed, is a common feature of many constitutions. You may think the more direct democracy the better. The merits and demerits of more direct democracy and less reliance on representatives are issues of great and pressing importance; they raise matters of both high principle and practical consequences. They are not however my concern in this lecture. That is simply to understand better the UK constitution as it now is and how it came about.

I consider four issues:

  1. How the doctrine of parliamentary sovereignty became the foundation of the constitution;
  2. The place and meaning of democracy in the historical constitution;
  3. The relationship between parliamentary sovereignty and representative democracy;
  4. The relationship between politics and the constitution.

III.            Nature and Origins of Parliamentary Sovereignty

According to Nigel Farage, the 2016 ruling of the High Court on the use of the prerogative to trigger leaving the EU is an affront to the sovereignty of the people [citation]. While this captures the mood of some, to others the concept of the sovereignty of the people is alien to the British constitution, which is based on the sovereignty of parliament, not the people.

Among national constitutions, especially those broadly democratic, the sovereignty of the people is proclaimed as the foundation of constitutional authority. Around 25% begin with the words: We the People, who go on to recite the constitution they have made. What could be a more confident display of popular sovereignty?  From that the rest follows: parliament and executive institutions owe their authority to the people; parliamentary sovereignty does not exist. The British exception is written-off as an anachronism peculiar to British history and temperament, and in line with the refusal to adopt a constitutional text.

To this account must be entered two reservations. Despite We the People, the sovereignty of the people turns out not to be quite what is claimed. In many cases, the people are not sovereign at all; they are instead the source of sovereignty, while sovereignty itself is vested in either the nation or the institutions of government or both. The Republic of Turkey might not be the obvious model to cite, but its constitution captures the idea precisely and elegantly: the people are the source of sovereignty. Sovereignty is vested in the nation: sovereignty is exercised by the institutions of government. Many other constitutions have the same structure, while lacking the precision.

When sovereignty is analysed in this way, the UK is not so different. It was commonplace throughout constitutional history to acknowledge the people as the ultimate source of political authority, while sovereignty itself is vested in the realm, which became the king-in-parliament. For constitutional theorists, Hobbes, Locke, Smith, among many others, it was assumed that ultimate power lies with the people, that constitutional authority finally depends on the support of the people. And recall Hume: a constitutional order depends on the self-restraint of the people, self-restraint in the exertion of their raw power. It is correct to say that, in any constitutional order, the people are, in this political, practical sense, sovereign.

In grasping the distinction between the source of sovereignty and the bearer of sovereignty, it helps to keep clear the distinction between the constitutional domain and the political. First, by political action of the people, a constitutional order is created; once created it has its own logic and method, and is distinct from the political. Secondly, notice that sovereignty, in relation to the constitution is a legal concept; the power of the people, on the other hand, is a political fact. As political fact, the people have final power, while as a constitutional doctrine, parliament is sovereign.

The concept of parliamentary sovereignty, and the language to express it, are of fairly recent origin. But the idea of the king-in-parliament as the supreme constitutional authority is as ancient as the English constitution. As early as 1322, to take one example, the Statute of York makes reference to parliament as the king, the prelates, earls, and barons, and the ‘commonalty of the realm’. [Clarke: 155]. John Fortescue in the 15th century drew a line between dominium regale from the dominium politicum et regale: the absolute king, who ruled as he wished, as opposed to the constitutional monarch, who ruled through parliament. By the time of the Tudors, a dynasty inclined to absolutist tendencies, the king-in-parliament was accepted as the final authority in the realm. Only later does sovereignty become the term to describe the constitutional reality.

But a word of caution: we should hesitate in reading back into history modern concepts and language. To the medieval and early modern mind, sovereignty was not the issue. The logic was different: the realm, the nation, was constituted by the three estates: monarch, magnates, and Commons. That the three should come together, in a complex relationship, flowed naturally from the organic nature of the society and, once together, signified its unity. The body politic modelled itself on the body natural; the king was the head, but without the other organs, the other estates, the body could not function and would be powerless. Only through corporate unity could the common weal be advanced and the body politic enjoy good health.

John of Salisbury, reflecting on the organic constitution, described graphically the body politic: the head the king, the arms the military, the belly the tax collectors, and so on, while the common people naturally were the feet. John goes on to say that if the feet stop working the body will be left to crawl along on its belly. The body can work well only if the feet are well-shod; there is nothing worse, he warned, than a ‘barefoot republic’.

Events of the 17th century – the Civil War, destruction and chaos, the Commonwealth of Cromwell, the Restoration of the Stuarts, and the Glorious Revolution – shattered what remained of the medieval notion of the organic unity of the realm. The beneficiary was the House of Commons. Its authority swelled while that of the king and peers shrank. The process, which had begun in the 1640s, ended in the early 20th century with the House of Commons emerging as the dominant and effective part of the queen-in-parliament, the other two being rendered essentially adornments. We saw how that process began with the House of Commons’ contention that, being the elected chamber, the only elected part of parliament, it had a foundation for its authority lacking in the other two, one an hereditary monarch, the other a mixture of the unelected and the aristocracy. As the right to vote was extended between the 18th century and the 20th, the Commons’ case further strengthened and became unstoppable.

Progress from organic unity to the hegemony of the Commons was gradual. Organic unity gave way to the mixed and balanced constitution: from being united in an organic union, the three branches of government were now in competition, each seeking a role in government, each checking and containing the others. Charles I in 1642, in his last reply to parliament before declaring war, acknowledged the distinct and separate role of the Commons, albeit a rather limited one, perhaps for the first time:

— the House of Commons (an excellent conservor of liberty but never intended for any share in government, or the choosing of them that should govern) is solely concerned with the – levies of monies [ie tax] (which is the sinews as well of peace as war.)

From that modest position, the House of Commons has over time moved from its role as defender of liberty to the supreme law-maker and the overseer of the executive.

IV.            Democracy and the Constitution

To many, that progression is right and welcome. That the House of Commons, the elected branch, should prevail over and render obsolete the unelected nobility, monarch and magnates, together with the class structure they stand for, is surely a right response in the age of democracy. The Commons, the ordinary people, now, through their representatives rule themselves. Hume’s question has lost its point: the many are no longer ruled by the few but rule themselves. The republican dream of a self-governing people has been achieved; democracy has prevailed. These are lofty ideals; let us consider what foundations they have in the British case, and what they mean in practice.

In 1559, John Aylmer, in defending the possible ascendancy of a woman to the throne, wrote:

The regimen of England is not a mere monarchy, — nor a mere oligarchy, nor democracy, but a rule mixed of all these three —.  In the Parliament House – you shall find these three estates: the king or queen — the noblemen — and the burgesses and knights [which represents] the democracy.

It is hard to date exactly the emergence of parliament in this form. Aylmer was writing thirty years after the Reformation, in the design and enforcement of which parliament was part. By involving the House of Commons, and through it the people, the transformation could better be justified and managed.

Two issues warrant consideration: one the nature of this democratic element; the other its origins.

According to Charles Stuart, each of the three forms of constitution – monarchy, aristocracy, and democracy (he did unusually for the time use the word ‘democracy’) – have their ‘conveniences and inconveniences’. Experience and wisdom have taught us how to mix the three’ without the inconveniences of any one’, ‘as long as the balance hangs even between the three estates’. If any one dominates, evil follows: from monarchy it is tyranny; from aristocracy it is faction and division; from democracy ‘tumults, violence, and licentiousness’. The goods of each are just as plain: monarchy unites the nation by providing security abroad and against insurrection at home; aristocracy is the provision of counsel by the ablest in the realm; democracy is ‘liberty, and the courage and industry which liberty begets’.

The King adds a warning about democracy. Take away ‘subordination and degree’ and the people become the mob. The mob leads to such horrors as the levelling of estates, loss of rights and property, and the distinction of families, which is bound to result in ‘the dark equal chaos of confusion’ and the long line of our noble ancestors in ‘a Jack Cade or a Wat Tyler’. Note the warning: the people must obey the constitution for ‘nothing stands between them and that “dark chaos of confusion” but the maintenance of the balance which men have made’, that is, the mixed constitution. Left to themselves, that is, in a strong and direct democracy, the people are doomed to that fate. This was not new. The King was repeating an established line of constitutional thought: the people, although the foundation of a society, act responsibly through their representatives; but, left to themselves, they ‘know not how to govern’ and soon sink into the mob. A century later these words echoed in the mind of Edmund Burke and his contemporaries as they witnessed the mob howling through the streets of Paris. Similar scenes on the docks of Boston haunted John Adams and influenced the design of the new constitutional order.

The democratic element that King Charles, John Aylmer, and many others describe, was one part of the mixed constitution, but a thin and mean part at that. The democratic credentials of the House of Commons consisted in its being elected, but election by a small section of the adult population, and in conditions that were only occasionally fair and open. Several features are worth noting.

  1. Historically, there is no sense of the people governing themselves. The King and his council govern, while the House of Commons is there to be a moderating force on government.
  2. It was a form of representative democracy of a kind far removed from any sense of direct engagement of the people in affairs of state. Representatives, once elected, were not the agents or delegates of electors; nor could they act on direction or instruction; their duty was to serve the common good, the well-being of the nation.
  3. That the connection between this sense of democracy and the people is slight and tenuous is made plain when we consider its origins. It was not born of the actions of the people; it did not spring from popular agitation and argument, from popular movements over time. Medieval and early modern English society, like others in Europe, did not work that way. On the contrary, the democratic element of the early constitution originates as a constituent part of the unity of the realm. It is a long story, the gist of which is as follows.

By the 14th century, the three parts of constitutional authority were in place. The ‘commonalty of the realm’ was one of them. It consisted initially of knights and burghers who were summoned to the king’s council, later the king’s parliament, and whose duty it was to consent on behalf of the shire, later the towns and cities, to actions proposed by the king. It was usually a matter of taxation, where by established custom the consent of those affected was required. The consent of bishops and magnates, it came to be acknowledged, was not enough; the commonalty of tax-payers had to consent, which they did through representatives, not representatives they chose or elected, but representatives who could consent on their behalf.

As the Statute of 1340 abolishing tillage (a form of tax) recites: ‘the common assent of the prelates, earls, barons, and other magnates, and the Commons of our said realm of England and that in parliament’. What began as consent of the Commons, was by the 16th century described as a ‘democratic element’. Over the following centuries, the electoral base expanded, but the narrow democratic element remained much the same.

V.                Parliamentary Sovereignty and Representative Democracy

Having seen how the concept of parliamentary sovereignty arose and the place of democracy in the mixed constitution, we should now note the conceptual link between the two, for together they are vital to the contemporary constitution. The link is this: members of the House of Commons, as representatives of the people, stand in a singular manner in the place of those whom they represent. ‘Representation’, having several senses, is prone to loose usage. In normal usage, the representative is in some sense the agent or delegate of, or spokesman for, the represented, suggesting a relationship of control and direction of the one over the other.

Representation in the constitution has a different meaning. Here the representatives become, stand in the place of, embody the represented. Its origins probably lie in the theatre: the actor becomes the character represented. That character no longer exists beyond the actor’s re-presentation of him. The word itself holds the secret: we say ‘representation’ as if it were one word; more accurately it is two: ‘re-presentation’ – presenting again some persona. The actor re-presents the character as he the actor thinks fit. The two – representer and represented – are merged, the one indistinguishable from the other; the one having no known features outside the representation.

Parliament, it was said, represents the people in this sense: parliament becomes the people. Members of parliament used to claim that when the parliament was assembled, meaning the House of Commons in particular, the whole people was assembled there in parliament. And since representatives constitute the people, the real people are outside parliament and have no constitutional identity, standing, or voice.

Parliamentary sovereignty now makes more sense. It is shorthand for the more complex social concepts I have just explained. Since parliament constitutes the people, the sovereignty of parliament is the sovereignty of the people. The people is then the true sovereign, but people in this special sense that they exist only in representatives.

There is another aspect to add. You may be wondering how to make sense of the idea of the people being present in parliament through their representatives. This again is a long constitutional story. It turns on the distinction between the real people, flesh and blood persons, and a corporate sense of the people. When parliament claims to constitute the people, it is using ‘people’ in the corporate sense. The corporate sense derives from Roman Law, from the universitas – the corporation.  The word university is a descendant: the corporation that constitutes the collection of students and teachers. The Italians still say ‘l’universita’ degli studi’ di Siena etc- the universitas of studies as opposed to all the other universitas – corporations. It is a way of creating a distinct entity separate from its members. The modern corporation is another descendent: it has legal identity distinct from its owners.

From Roman Law to Canon Law, where it proved useful in solving problems of authority in the Church, the corporate concept of the people found its way into secular constitutional thought and proved to be most useful. The medieval king represents, embodies, stands for the realm; he acts for and on behalf of its members as if they were acting for themselves. As Commons replace king at the centre of constitutional authority, they take on the mantle of representatives of the people, the corporate sense of the people.  While this concept would sound strange in the mouth of a modern parliamentary, the sovereignty of parliament cannot be understood without it.

The social dilemma created by the double sense of the people should not be overlooked. The House of Commons, having relied on its ties to the real people, having aroused in them a sense of their place in the constitution, then had to prevent the people, the real people, from taking control, as the Levellers in the post-war years threatened. The corporate notion of the people is a fiction, the sustaining of which, in the face of growing political awareness, occupies much of later constitutional history.

VI.            Between Politics and the Constitution

By the late 18th century, the constitutional concepts I have explained were settled. The sovereignty of parliament as supreme legislative authority was undisputed. Within the mixed constitution, the House of Commons was in the ascendant. Democracy had a place, a small place. Parliament represented the people, in the sense that it embodied the people, a corporate notion of the people. The real people had no place in the constitution. Having no status or standing, constitutionally they did not exist. Parliament could act in the name of the people, while keeping the people out of the way in the constitutional wilderness.

But of course the people, the real people, the final holders of raw political power, cannot be ignored or defined out of existence. Constitutional concepts are fictions, constructions of the mind, of someone’s mind. Their purpose is to form institutions and justify a set of rules for the exercise of political power. In this case the rule by the few of the many. But, as Hume pointed out, a constitutional order, and the power structure it entrenches, has nothing to support it but opinion, the opinion of the people, the locus of ultimate power. By the 18th century, the people were beginning to question the constitutional order, the fictions on which it was based, the power relations it supported. The constitutional arrangements came under scrutiny, the rule of the few under pressure.

The question then as always was: why should the people accept, exercise self-restraint, and curb their natural power with respect to a constitutional order, from engagement in which they were excluded. Why be content with such a mean sense of democracy when, across the Channel, the French were displaying the true power of the people and offering a very different constitutional vision? And yet the British system remained intact; the mixed constitution, with its stunted sense of democracy, survived. How and why it survived, although at times touch-and-go, is a complex matter that I cannot now consider, except to comment on one aspect, namely, how the representatives, the parliamentarians, confronted the rise in popular agitation and the consequences for parliament as the sovereign, representative body.

The 18th century was the high watermark of parliamentary deliberation on the nature of the constitution, and the place of the people. Members of the House of Commons such as Fox, Pitt, and Burke, to name just a few of many, engaged with the central issue in a manner and with a seriousness not seen since. The issue was plain: the relationship between parliament and the people. Although the constitution was settled, parliamentarians knew it was a contingent and fragile settlement; they understood the tension between the constitutional concept of a sovereign representative parliament and a growing political awareness among the people, the real people. But was it adequate and could it be justifiable in light of political events at home and abroad; could it cope with and withstand the demands of a constitutionally conscious people?

Within the general question of the relationship between people and parliament, three themes were prominent.

  1. First: by political necessity, the voice of the people outside parliament had to be heard. Practical issues had to be settled. Such as: how should parliament take account of that voice, whether expressed at election or by other means? Should it be bound by a clear expression of public opinion? Was parliament bound by electoral mandates, or should it reserve the right to act as it thought best, even if that were contrary to the mandate or public opinion otherwise expressed? Behind such practical matters lay deeper divisions about the merits of the constitutional order.
  2. Second: whether the democratic element of the constitution ought to be expanded, a fuller sense of democracy embraced?
  3. Third: whether the people should be acknowledged as the true seat of sovereignty; and, if so, what would be the constitutional consequences?

Space allows just a few brief comments.

Parliamentarians of the time demonstrated an understanding of the issue – the relationship between parliament and the people – an understanding of a quality, in my opinion, unmatched in later debates. Influenced perhaps by David Hume, whose writings they would have known, parliamentarians of the eighteenth century understood the fragility of the constitutional order. They grasped the unavoidable tensions between rule by representatives, aware they had nothing but popular opinion to support them, and the wish of the people to have more control over their own destinies.

Opinions were divided, with some arguing the traditional line that sound and effective government was best achieved within the mixed constitution, others that parliament could no longer resist the wishes of the people. It is true that the results at the end of the 18th century were fairly much to sustain the status quo, the mixed constitution, the notion of parliament as the sovereign representative authority, a limited franchise, and in general a minor role for the people. But things could have gone the other way; many argued for a fuller place for the people, a stronger notion of democracy.

Pitt and Burke were eloquent in defence of the mixed constitution and minimal democracy, partly because it worked well; and partly because history paints a bleak picture of direct democracy, to which the howls of the sovereign French mob, ringing through the kingdom, were living proof. But for the horrors unfolding before their eyes, the direct result, parliamentarians thought, of direct democracy, the case for constitutional reform could have won the day. Some like Burke, who had earlier moved tentatively towards fuller democracy, in light of the spectacle of the French experiment, were driven into obstinate opposition. The French revolution was a sobering lesson and a major force against constitutional reform. The French influence on British opinion is hard to over-state; without it the balance between people and parliament might have been adjusted.

The mixed constitution seemed a safe and reliable refuge from the unpredictability of change.  The mixed constitution, after all, allowed the people to influence the course of parliamentary affairs, but without controlling them. Representative government, Pitt argued, ensures ‘conformity of the sentiments of the people and their representatives’. That such platitudes beg the question, and are not an accurate description of the relationship, hardly mattered in the climate of the time.

The voices for change were equally eloquent and equally compelling. Fox was consistent over a long parliamentary career in arguing the case for the sovereignty of the people and hence a fuller constitutional role for them. Amongst others of similar mind, Thelwall’s view states the case concisely: ’representative democracy is no democracy at all‘.

To those in favour of the status quo, the founding of another constitutional order at the same time, that of the USA, must have been of some comfort. James Madison, the principal architect, opted for a republic rather than a democracy, after weighing the merits of each. In a republic the people delegate government to ‘a small number of citizens elected by the rest.’ Its virtue is:

to refine and enlarge the public views, by passing them through the medium of a chosen body of citizens, and whose wisdom may best discern the true interest of their country, and whose patriotism and love of justice will be least likely to sacrifice it to temporary or partial considerations.

The consequence may be:

that the public voice, pronounced by the representatives of the people, will be more consonant to the public good than if pronounced by the people themselves.

There is no mention of the British system, but take away monarch and peers, and Madison’s solution to the core constitutional question is essentially the British solution. And now that monarch and peers have been reduced to ornaments, the match is even better.

The 19th century and the first part of the 20th are held to be the age of reform. Beginning in 1832 and culminating in 1928, by a series of Acts of Parliament, universal adult suffrage was achieved. That was a major advance, for the power to elect and remove representatives, or governments, is a fundamental principle in its own right. It leaves intact, however, the relationship established in the late 18th century, between the people and the elected, the representatives. The rise of political parties, arguably, distanced the people even further from parliament, but I shall not go into that here.

VII.         Concluding Remarks

To conclude with three points.

First: you may be wondering why I have said little about the merits of the referendum. Two reasons. One is that while it raises issues particular to itself, it is best approached, its merits and demerits judged, within the broader people-parliament relationship. The other reason is the referendum is one among several ways of adding to the people’s constitutional position. If reform is in the wind, all ways should be considered.

Second: nor have I said anything about populism, which is supposed to be sweeping through Europe, the USA, and elsewhere. If by populism we mean ‘an ideology that separates society into two antagonistic groups: the pure people and the corrupt elite, one consequence is to place the people – representative relationship under scrutiny.’

Third: the people – parliamentary relationship, anyhow, is coming under scrutiny, which is likely to become more intense. All I hope to have shown is how that relationship came about, how it came to be the foundation of the constitution of the UK. It is an historical legacy, a social invention, a response to historical events. Many consider that it has contributed well to the creation of a reasonably stable and peaceful society; a society of reasonable liberty and tolerance. On other grounds it may have failed, other needs and aspirations may not have been met. Representative democracy is neither the end nor the apogee of constitutional history. It has secured a place in modern societies, having served their ends at various stages in their history; it has produced social goods of worth. But societies change as the attitudes of the people change. Perhaps they are no longer content with a minor place in the constitution and hence in the political process. The remedy may be constitutional change. If so, let it be considered and deliberate, neither by ambush of an irresponsible parliament, nor by creeping in the back door as a thief in the night.

[1] Originally delivered as a public lecture at Wolfson College, University of Oxford on 8th December 2016.

[2] Emeritus Professor of Socio-Legal Studies, Oxford University; Professorial Fellow Wolfson College; Trustee of the Foundation for Law Justice and Society.