18th September 2021
Today’s post sets out something which has long interested me about constitutions, but I do not think I have set out in one place before.
It is about different ways one can approach thinking practically about constitutions – and why one particular approach is to be preferred.
By practically, I am making distinction with thinking theoretically or academically.
For such clever stuff other writers and texts are available.
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There seems to be three broad ways of thinking practically about constitutions.
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The Institutional Approach
The first approach is to have regard primarily to particular institutions – say the crown (which can cover various functions and other institutions); the prime minister and the cabinet and the Whitehall departments; the Westminster parliament; the various courts the devolved administrations; local government; the security agencies; the established church; and so on.
Here an account of, for example, the constitution of the United Kingdom will set out how all these institutions work together or muddle together.
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The Functional Approach
The second approach is have regard primarily not to institutions but to functions – and the usual typology here is to separate out executive, legislative and judicial functions.
In many constitutions – especially the sort you and I are most familiar with – these functions will correspond generally with various institutions.
So the legislative function corresponds with, say, the Westminster parliament or the federal congress in the United States, and vice versa, and so on.
The advantage of this functional approach over the institutional approach is that it recognises that certain institutions can perform more than one function – and that a function may be performed by more than one institution.
Central government in the United Kingdom, for example performs an executive function (obviously); but also by issuing secondary legislation and various rules, will perform a legislative function; and in determining individual cases, will perform a judicial (or quasi-judicial) function.
By concentrating on what is being done – rather than on which institution is doing it – this functional approach is often more useful than an institutional approach.
But.
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The Limitations of the Institutional and the Functional Approaches
By setting out institutions or even functions, there is the risk of having a limited understanding about how constitutions operate (or should operate) in practice.
You can end up having that naive notion that ‘all which is needed‘ for all political ills to be remedied is for there to be a written (that is, codified) constitution.
The simplistic notion that if only one set out the institutions of the state – or the functions of the state – with sufficient elegance in a single document then everything would be fine.
I have always found that approach not to be compelling – though for a long time I was not certain why this was the case.
But I think it is because neither the institutional nor the functional approach prioritise dealing with tensions and conflicts – that is, checks and balances, that prevent one group of people with public power doing whatever they want.
The institutional and functional models, for me, appear to regard tensions and conflicts as bugs not features of a constitution.
The (unspoken) notion is that, if things are going well, and a particular institution is doing what it should do, or those performing a particular function are doing as they should do, then there will be no conflicts.
Everything would be fine and neat.
Of course: when there are tensions and conflicts they should be regulated in some way, but that would and should not the the constitutional norm.
The happy idea here seems to be that if you just put in place the right written (that is, codified) constitution then there would be no or few tensions and conflicts.
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The Tensions and Conflicts Approach
I prefer a third approach which does not see tensions and conflicts as a regrettable afterthought in constitution-mongering, but as central to any worthwhile constitutional arrangement.
This approach asks the following hard-headed questions.
How are those who make rules checked in practice, and by whom and on what basis?
How are those who make decisions checked in practice, and by whom and on what basis?
How are those who determine the disputes of others, or who decide on the rights and obligations of others, checked in practice, and by whom and on what basis?
How are those who seek to use coercive force – either in various uniforms or otherwise – checked in practice, and by whom and on what basis?
How are those who seek to invade the privacy of others – for whatever reason – checked in practice, and by whom and on what basis?
And so on.
This approach cares little for the institutional trappings of those seeking to impose power on others.
This approach is unsentimental about grand-sounding institutions such as the crown or parliament or the courts – and sees instead people, stripped of their glamours and baubles, who are seeking to impose their will on others.
This approach also does not assume that there is some perfect manner where those who perform functions – executive, legislative, judicial, or otherwise – can be entrusted to just get on with their jobs – with the rest of us just deferentially nodding along.
This approach instead makes conflict and tension central, rather than peripheral, to an understanding of any constitution.
It avoids the presumption that those who perform functions – executive, legislative, judicial, or otherwise – should get their way, unless there is an exceptional reason for them not to do so.
Of course, by recognising that there are such tensions and conflicts there is, in turn, the risk of stalemates and blockages.
But a practical constitution would set out how each of these tensions and conflicts are to be managed – rather than pretending that they do not exist, or are exceptional.
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The question of a written (that is, codified) constitution
Elsewhere I have set out why – rare for a liberal – I am dubious about written (that is, codified) constitutions.
It seems plain to me – if not others – that written (that is, codified) constitutions can be illiberal devices, that will be more likely to entrench executive power than limit it.
But if there were to be a written (that is, codified) constitution in the United Kingdom, it should not start with institutions or functions but instead with checks and balances.
It should identify the foreseeable points of conflict and tension and then set out how they should be resolved and on what basis, and then work backwards from there.
Just like a well-drafted commercial contract starts from where there would be obvious disputes and works backwards to allocating rights, obligations and risks accordingly.
The problem with any worthwhile written (that is, codified) constitution for the United Kingdom – that sets out the practical ways in which those with any power can be limited – is that those with power would never allow it to be put in place.
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Why the Tensions and Conflicts Approach should be used to evaluate any constitutional reform
But even without a worthwhile written (that is, codified) constitution that starts with tensions and conflicts and works backwards, there is (I aver) merit in approaching any proposed constitutional reform or political change not by asking about institutions or functions but by asking how will abuse and misuse of the reform or change be managed?
That is to assume, as a given, that any proposed constitutional reform or political change will be abused and misused by those with power.
For it is by expecting the worst, and acting accordingly, that one can accomplish any sustainable constitutional improvement.
And it is this dismal, hard-headed, realistic approach that (I aver) should be the basis of any practical consideration of constitutional questions.
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