Changing the Constitution: the Executive, the Judiciary and the John Adams Problem

 

 80 Club Lecture

by Lord Justice Keene

23 June 2004

 

 

  1. I am greatly honoured to be asked to give this annual lecture, knowing as I do of my very distinguished predecessors, and of the ancient origins of this club.  When I heard about those origins in the great Liberal victory of 1880, I thought how appropriate it was that a Speakers’ Club should have been founded after an election which saw, albeit as a prelude, some of the finest political oratory in Gladstone’s Midlothian campaign this country has ever known.

 

  1. The timing of this lecture is most appropriate.  It is now just over a year since the constitutional bombshell fell – the proposal on 12 June 2003 to abolish the office of the Lord Chancellor, to create a Secretary of State for Constitutional Affairs and to separate the Law Lords from the House of Lords as a new Supreme Court.  It is difficult to think of proposals with more far-reaching implications, since they raise fundamental issues about the relationship between the legislature, the executive and the judiciary: it is those issues I wish to discuss tonight.  But what I find astonishing is the almost complete absence in the media of any debate about these fundamental issues.  A great deal of attention is focused on the so-called European Constitution – as if the European Union did not already have a constitution in the sense of legally-binding treaties defining the relationship of the various institutions of the European Union, on to another and to the member States.  But where is the media attention when it comes to our own domestic constitution?

 

  1. The best that can be said is that there has been discussion about the location of a new Supreme Court.  We know that Middlesex Guildhall has been suggested by the government, and rejected by the Law Lords.  Hardly surprising, you may feel, given that its interior reflects the needs of jury trials rather than legal debate.  Clearly, if there cannot be a purpose-built Supreme Court – and one understands the financial objections to that – there will have to be found  an existing building suitable in its accommodation and of sufficient architectural distinction to suit the highest court in this country.  I have heard Somerset House suggested, and it has the necessary character as a building, but the relevant part is, I believe, occupied by Inland Revenue managers.  Is that really to be regarded as an obstacle?  The location is an excellent one, not only in visual terms but also because it is near the Royal Courts of Justice without being part of it – and it must not be part of it, since we are discussing a Supreme Court for the whole of the United Kingdom, not just for England and Wales.

 

  1. The problem, of course, is that the judges have very little political clout.  In the United States, the Constitution provided for a Supreme Court, but initially the regard paid to it was so scant that the architect of the Capitol actually forgot to include a Supreme Court in his plans.  It was forced to meet for some time in the basement of the Senate!

 

  1. But here I am being drawn into the scarcely intellectually challenging debate about where our new Supreme Court might be located.  That is not the most important issue.  Far more important are such questions as what should the powers of the new Secretary of State be, who should appoint the judges and on what criteria, and above all, how far do we need a true separation of powers in our Constitution.  Yet it is a sad comment on our democracy that there has been little argument in the press or on television about these issues, even in the broadsheet press or the serious political programmes.  They are self-evidently, one would have thought, fundamental issues, the resolution of which is likely to affect our public life for decades and possibly centuries to come.  We ought to be having a debate in depth about them, comparable to what happened in the United States in the 1780’s.  Let us at least have one tonight.

 

  1. I do not know why the decision was taken to abolish the office of the Lord Chancellor.  There was, of course, an obvious theoretical objection to the office, involving as it did (and still does) his place in the Cabinet, his role as speaker of the House of Lords and his powers in respect of the judiciary.  A clear affront to any concept of the separation of powers, and a post which always has had potential for its powers to be misused.  At times in the more distant past they have been, but not so far as I am aware in the last 50 years.  There are some advantages in having a Lord Chancellor – in particular, it has given the judiciary and the court service a voice in the Cabinet, sometimes a powerful voice, which is of great value in ensuring that the court system gets some sort of adequate share of public finance.  That share may not always have been enough, but I do have concerns that under the new system, without such a voice, the amount of money available to our courts and to litigants may be even more limited.  Nonetheless, on balance, I welcome the proposal to abolish the post of Lord Chancellor, mainly because it has only worked because it has been filled in modern times by persons of the highest integrity, very conscious of their responsibilities.  There could be no guarantee that that happy state of affairs would continue for ever, and if someone who was first and foremost a career politician held the office, then one could have political appointments to the bench.  That has always been the inherent risk in this peculiar institution.  Moreover, there can be no doubt that the responsibilities of the Lord Chancellor have changed in recent years.  He is now the head of a very large Department and his Ministerial responsibilities have grown to the point where they greatly outweigh his other functions.  He is in charge of a major Department of State with a spending capacity of £3.5 billion and those responsibilities have made it increasingly difficult for him to devote any meaningful time to his position as a judge, even it was appropriate for him to do so.  So I accept that the office of Lord Chancellor was and is ripe for abolition.
  2. But if it is to go, as the Constitutional Reform Bill proposes, what is to be put in its place?  It is quite clear that the new Secretary of State will be a very different animal from the old Lord Chancellor. He would not sit as judge and need not even be a lawyer.  He will be in a similar position to the |Secretary of State for Education or for Transport or any other Secretary of State, and may well regard the post as a stepping stone to higher political office.  He may well sit in the Commons.  In other words, he (or she) is likely to be a career politician, with the range of virtues and vices which are possessed by those who have to persuade the electorate to vote for them.  Whichever political party one is talking about, such a Minister is unlikely to leave out of account his own party’s interests.  Inevitably this raises the whole question of the separation of powers.

 

  1. One can emphasise too much the theoretical principle of the separation of powers.  An absolute adherence to the principle is probably impossible, and certainly in Montesquieu’s own country it has not been achieved.  One only has to visit that remarkable body, the Conseil d’ Etat, with its judicial role, its advice on legislation and the easy movement of its personnel into government, to appreciate that.  Even in the USA, which strove to achieve such separation, one finds the Vice-President presiding over the Senate, and the President (head of Executive) can veto legislation.  What really matters, in my view, is that there should be two things: first, a sharing of power within the State, as opposed to a concentration of powers in one institution; and secondly, that there should be a clear-cut separation of the judicial arm of the State from the executive and, as far as possible, even from the legislative.

 

  1. It is, I hope, fairly obvious why the judiciary should not be under the control of or even influenced by the executive.  The executive is bound by the law as much as any citizen, and it is basic to the rule of law that the judges should administer the law impartially – as we say in our judicial oath, “without fear or favour, affection or ill-will.”  This has always been crucial, but these days, with the growth of judicial review, it has acquired an even greater significance.  A great deal of litigation these days takes place between the citizen and a Government Department or other public body.  We have reached the stage where we have  a recognised Administrative Court within the Queen’s Bench Division.  I think that any man or woman in the street who has had, or can see the possibility of having, the experience of challenging the decision of a public body in the courts would recognise the necessity for the judges to be truly independent of the executive.  That includes being independent of the Secretary of State for Constitutional Affairs and not dependent on him for appointment or promotion.

 

10.              That is what led me to the title of this lecture.  The reference to John Adams may have puzzled some who read it.  There will be those here tonight who remember the former head of Civil Appeals, who subsequently became a Circuit Judge.  It is not that John Adams of whom I was thinking!

Rather, it was the 2nd President of the United States who came to mind when I was reflecting on this topic.  Although he was himself a lawyer, John Adams in the last days of his Presidency in 1801 appointed 42 Justices of the Peace from his own Federalist party – the so called “midnight appointments”, made when Adams knew he was on his way out.  The incoming Secretary of State, James Madison, a Republican under the new President, Thomas Jefferson, found the warrants for these appointments on his desk, and in a number of cases refused to deliver the warrants.  One of those who consequently could not take up his post was William Marbury, appointed as a Justice for the District of Columbia.  He applied to the Supreme Court for a writ of mandamus, relying on section 13 of the Judiciary Act of 1789.  However, he lost.  The case is famous in American constitutional law, because the judgment, delivered by Chief Justice Marshall, held that section 13 was unconstitutional and that it was “the province and duty of the judicial department to say what the law is”.  Thus it established the Supreme Court as the interpreter of the constitution and established judicial supremacy in the United States.  Ironically, although Jefferson and Madison disliked that principle, perhaps unsurprisingly, neither could do anything about it legally or politically, since the case had been decided in their favour!

 

11.              However, I cite Marbury –v- Madison not so much for the constitutional principle, though I shall return to that towards the end, but rather because it is a vivid illustration of two things: First, how even in a regime formally wedded to the notion of the separation of powers, those in the executive felt no compunction about appointing judges on party political grounds – or indeed, refusing to appoint them on such grounds.  Secondly, Madison’s reaction to the midnight appointments shows the unhappy situation created by appointing judges in such a fashion – simply because an incoming administration will understandably treat them as partisan appointments.  During the last year I have heard it said that the government in this country should have a say in the appointment of the topmost judges, especially the Lord Chief Justice, because he (or she) has to work closely with the government.  There is certainly a need for a good working relationship between the Lord Chief Justice and the government of the day.  But I doubt the force of the argument: governments change in our democracy and a Lord Chief Justice appointed by one government may still have to work with its successor, which may be of a very different political hue.  When Margaret Thatcher was Prime Minister, she had a conversation with one of her backbenchers, who told her that the then Lord Chief Justice, Geoffrey Lane, had said something critical of government policy.  Her response, as I have been told by the backbencher in question, was “What, my Lord Chief Justice?”  That is emphatically not how the system should be.

 

12.              Before I leave the American example too far behind, it is worth noting how the Supreme Court there has been able to boast of a number of very remarkable justices – some of whom have shown considerable longevity.  Oliver Wendell Holmes, for example, who fought and was wounded in the Civil War in the 1860’s was still a member of the Supreme Court in the early 1930’s having held that office for 30 years, retiring at the age of 91.  It is said that, when he was in his late 80’s, he was walking along a street in Washington with a colleague when they saw two attractive young women walking towards them.  Holmes sighed deeply and said: “Ah, don’t you sometimes wish you were 70 again!”

 

13.              Back to my theme, which is of the dangers of the involvement of a government minister in the appointment or promotion of judges.  When the Constitutional Reform Bill was published, it largely recognised these dangers.  It reflected discussions which had taken place between the senior judiciary and the Secretary of State/Lord Chancellor, discussions which had resulted in a wide measure of agreement.  That has been referred to as a concordat.  As a result, the proposal is that for most posts, the new Judicial Appointments Commission should submit to the Secretary of State (no longer the Lord Chancellor) simply one name for any particular judicial vacancy.  The Secretary of State will have the power to reject that name, but he would have to give his reasons for so doing, and it seems likely that this power would only be used in the most rare and exceptional circumstances.  This was the mechanism proposed for all appointments up to and including the Court of Appeal, though with variations in the composition of the recommending body.

 

14.              However, when the Bill was first published, a very different mechanism was proposed by clause 21 for appointments to our new Supreme Court, the replacement of the House of Lords’ Judicial Committee.  What was proposed was that a separate Commission should provide a list of names to the Secretary of State whenever a vacancy occurred, a list with a minimum of 2 and a maximum of 5 names, allowing the Secretary of State to choose between them.  The only criteria specified in the Bill was that he should choose “the most suitable,” and then that name would go to the Prime Minister and the Queen.  You can see the scope for a touch of the John Adams here!  It would be very tempting to choose the candidate thought to be “one of us” or at least more pliable.  At the very least, there would always be the suspicion that the appointment made had been influenced by such considerations, and even if untrue, that would be very demeaning for the successful candidate.

15.              The justification put forward for this arrangement was that these were appointments to the highest court in the land.  That never seemed to be at all convincing as an argument, and the proposal was criticised by some distinguished voices.  As a result, during the consideration of the Bill by the Select Committee the government has shown that it has had second thoughts.  Lord Falconer has said that he intends to propose amendments to the Bill so that only one name will be recommended by the new Supreme Court Appointments Commission to the Secretary of State.  I am delighted that the government has responded to the concerns expressed on this topic.  But it does demonstrate the need for vigilance, because governments do not automatically begin from the premise that politicians should not have an influence over judicial appointments.

 

16.              The future therefore seems likely to be that the Head of the Judiciary in England and Wales will be the Lord Chief Justice, once the Lord Chancellor has gone, and that the new Secretary of State will normally act as no more than a conduit between the appointing commission and the Queen.  Inevitably there are many questions which remain unanswered at the present time, such as how the new Judicial Appointments Commission will approach its task.  I hope that it will bear in mind that an interview process is of somewhat limited value in selecting someone for the bench or for promotion as a judge.  Some people are good at interviews but would not perform well on the bench, and the converse is also true.  My plea would be for the Commissioners and the other recommending bodies to consult closely and in good time with the existing judiciary about the candidates, because judges do actually see them in a working environment.  In the course of a day’s argument in the Court of Appeal for example, one gets a thorough appreciation of the intellectual qualities, the clarity of expression, and the manner in which a person conducts himself or herself.  If it is a question of promotion of an existing judge, then certainly the senior judiciary will have seen a lot of that judge’s work through the appeal process.

 

17.              None of this is intended to suggest that a fresh look at the appointments process is not merited.  I am very conscious that there is a risk that, if only existing judges are involved, they may tend to select individuals from the same mould as themselves.  The criticism has been made that the judiciary, certainly at High Court level and above, is dominated by middle-aged white men – “pale, male and stale”, as the expression goes.  All recent Lord Chancellors have sought to increase the number of appointments of women and those from an ethnic minority, so as to obtain a more diverse judiciary.  But there are some very intractable problems in the way of achieving this, as one can see from the limited number of women in the higher reaches of the Bar.  That is not because Lord Chancellors have discriminated against women in appointments to silk, for example.  In most years, a higher percentage of women were appointed as Q.C.’s than had applied for such appointment.  I have concluded that there are problems in the structure of the legal professions which make it difficult for many women to achieve sufficient success for their activities to be recognised.

 

18.              How do we overcome this?  Lord Falconer has suggested that we might try experimenting with a small percentage of judges coming in at a younger age in junior positions and working their way up in a conventional career pattern.  This would be, to that limited extent, a career judiciary, similar to that which exists in France and a number of other Continental countries.  Young graduates, after a few years in practice, would become junior judges, but with the prospect of advancement through the profession.  I believe that there is merit in this idea.  I do not want to see the bulk of our judiciary appointed in this way, but an element of this kind within the total mix could be useful in enabling more women and more individuals from ethnic minorities to attain the bench, and to do so at a younger age.  It could help to lower the average age of the judiciary.  One word of warning, however.  Those who were appointed in this way would, in their early years on the bench, lack the depth of experience which under our existing system has been obtained by candidates for the bench.  They will not have had the years of legal practice behind them.  That means that they would require significantly more training, and more intensive training, than we currently provide to new and existing judges. 

 

19.              This is something of which I, as Chairman of the Judicial Studies Board, am very conscious.  The JSB has extended its training courses very markedly during the last few years and our role is still expanding.  But our training has been directed towards people who have had many years of legal experience, and indeed life, to assist them.  It would be a new and very different enterprise to have to train much younger people, without that experience, for a judicial role.  It can be done, but it would need the appropriate resources.  I note that in Spain, where they have a largely career judiciary, there is actually a residential college devoted to judicial training.  That is a very different state of affairs from our present methods, where we rent a conference centre for a 3 or 4 day course.  I cannot pretend that I expect to see a judicial training college in this country during my time as Chairman of the JSB, but it may come in due course.

 

20.              My other concern about the composition of the judiciary relates to its social background, which inevitably reflects that of the Bar.  My generation were very fortunate.  We came out of University normally without a heavy burden of debt.  We did not have to pay for a further year’s training before we were called to the Bar.  Once called, although work was not that plentiful, one could survive the early years without the necessity for private means.  Now most Bar students have large outstanding debts from their University and BVC days and their prospects in some parts of the Bar in their early years are far from bright.  The criminal bar gives rise to real anxiety.  Young barristers going out to prosecute in the Crown Court in a case which is adjourned because the defendant does not turn up may get £46 before deducting their travel expenses, paying their clerk and paying tax, all for something which may occupy over half a day.  A one day trial in the magistrates court will produce £75, before expenses, clerk’s fees and tax.  Many of these youngsters will be doing well to earn £200 a week, net before tax, or about £10,000 a year.  That is well below the average manual worker’s wage.  You can survive that level of Criminal Legal Aid fees if you have wealthy parents who can support you or you have other private means.  But the danger is that this level of fees is going to restrict the social composition of much of the Bar, and that in turn will narrow the composition of the judiciary.

 

21.              I said earlier that, so far as possible, the judiciary should be independent even of the legislature.  I realise that this raises difficult issues where one is dealing with a democratic constitution and especially with one where the concept of Parliamentary sovereignty holds sway.  In the United Kingdom we have had since the end of our civil wars in the 17th century the doctrine of the sovereignty of the King or Queen in Parliament, a doctrine which was in reality derived from a political compromise, but none the worse for that.  It has endured.  On the face of it, we do not have a situation of judicial supremacy comparable to that in the United States as established in Marbury –v- Madison.  We do not have a written constitution for the judges to interpret, even though statute law has to some extent begun to provide one.  The courts must respect the proper province of Parliament.

 

22.              But this does not mean that the courts do not have their own province, their own function, to be respected by the legislature as well as the executive.  Classically the role of the courts has been to protect the rights of the individual citizen, sometimes against the majority.  A modern liberal democracy is not only based upon the concept of government according to the wishes of the majority.  It is also based on certain fundamental human rights, which are not automatically protected by majority rule.  As John Stuart Mill said 150 years ago in his introduction to “On Liberty”, there is a risk that one can get the tyranny of the majority:

“The people may desire to oppress a part of their number and precautions are as much needed against this as against any other abuse of power.  The limitation therefore of the power of government over individuals loses none of its importance when the holders of power are regularly accountable to the community.”

 

This country has long subscribed to that, which is why we played a major part in the drafting of the ECHR.

 

23        One of the fundamental rights of the citizen, basic indeed to his ability to assert his other rights, is access to the courts, now of course strengthened by Article 6 of the ECHR.  We nearly hit a constitutional crisis earlier this year when the government was proposing to oust the jurisdiction of the courts in immigration and asylum matters, save in such limited instances as bad faith on the part of the Immigration Appeal Tribunal.  The version of the Asylum and Immigration Bill which had completed its stages in the Commons prevented any judicial review by the courts of a decision of the Immigration Appeal Tribunal, even on grounds of lack of jurisdiction, error of law or breach of natural justice.  That proposal was condemned by Lord Steyn as an attempt “to immunise manifest illegality” and as contrary to the rule of law.  Fortunately the government gave way in the Lords and the ouster clause was watered down.

 

24.       But I refer to this episode because it led Lord Steyn to ask fundamental questions about the principle of the supremacy of Parliament.  He concluded that:

“it is strongly arguable that the judges created the principle.  If that is so, the House of Lords may have to consider whether judicial review is a constitutional fundamental which even a sovereign Parliament cannot abolish.”  (Speech at launch of “Human Rights Law and Practice 2nd edition, Lester and Pannick, 3 March 2004.)

The great constitutional lawyer, Sir William Wade, in his 1980 Hamlyn lecture, had pointed out that the rule that the courts obey Acts of Parliament was a rule of common law and that this “judicial loyalty”, as he put it, was the foundation of the legal system.  But he went on to say: 

“I have never suggested that no shift in judicial loyalty is possible”,

and he noted that great lawyers in the past, such as Coke and Holt, had held that Acts of Parliament might be void if contrary to common right and reason or the principles of natural justice.  (Hamlyn Lecture 1980 “Constitutional Fundamentals”, by HWR Wade, lecture 3.)  Bill Wade gave examples of a possible abuse of Parliament power, such as if Parliament were to legislate to establish one party government or a dictatorship or in some other way to attack the fundamentals of democracy.

 

25.       This is all revolutionary stuff, and such issues are no longer topical.  I refer to them merely because all this emphasises the role and importance of the judiciary as an entity distinct from the legislature and with its own legitimate area of responsibility.  A democracy such as ours works best when the legislature and the judiciary are in harmony, and I for my part have no wish, or indeed expectation, to see any conflict between the two.  But that happy state of affairs is most readily achieved by each respecting the proper responsibility of the other.  Fortunately, that has normally been the situation in this country.  You will remember that in the well known Anisminic case (1969 2 A.C. 147.) the House of Lords held that a determination of the Foreign Compensation Commission could be challenged in the courts, despite an “ouster clause” in the Foreign Compensation Act 1950, which provided that such a determination

“shall not be called into question in any court of law.”

Entertainingly enough, the Anisminic decision as reported in the W.L.R. has on the front cover the delightful description of the case: “Tribunal – Justice for victims of Suez”!  There was initially a hostile reaction in some quarters to the Anisminic decision, with Lord Devlin saying:

“The British have no more wish to be governed by judges than they have to be judged by administrators.”

And there was initial hostility in Whitehall too.  But in the end, Parliament accepted the force of the point being made by the Law Lords and made provision in the 1969 Foreign Compensation Act both for judicial review and for a right of appeal from determinations of the Commission.  So the right of access to the courts was upheld and harmony was restored.

 

26.       It is no doubt inevitable that there will be from time to time be episodes of tension between the legislature and the judiciary, just as there are somewhat more frequently between the executive and the judiciary.  It is crucial that the judges act with complete political impartiality in such instances.  But it is equally crucial, if that is to be achieved, that they are in a position to resist any external pressures put upon them, whether from politicians, the media or any other source.  Only then do you have a truly independent judiciary.  As we go through this interesting stage in our country’s constitutional development, I hope that the necessity for such judicial independence will be fully observed in all the changes made.