Introductory Readings

INTRODUCTORY READINGS
https://doi.org/10.1017/9781108869348.006 Published online by Cambridge University Press

I. TRADITIONS
A . T HE W E S T
Some Western countries are said to have a “civil law system,” others
a “common law system.” There are two differences. A modern difference is
that today, civil law systems are generally codified. Private law, including
the law of contract, tort, unjust enrichment, and property, is governed by
the provisions of civil codes. In common law systems, most of private law
rests on the decisions of judges. These decisions have authority: in new
cases courts are supposed to follow the precedent set in earlier cases.
Statutes have a higher authority: in case of a conflict between precedent
and statute, courts are supposed to follow the statutes. Yet, for the most
part, the statutes fill in the gaps and make corrections in the law made by
courts.
The second difference is that the law of civil law systems was originally
based on the law of ancient Rome. The law of common law systems was
originally based on the decisions of English courts. We will first describe
how the two legal systems originated. We can then better understand the
role of codification.
1. The Civil Law Tradition

a. Roman Law
i. The Roman Jurists
The Jurists
The West has been shaped by two great intellectual traditions: Greek
philosophy and Roman law. Ultimately, both influenced the development of
the civil law. In the beginning, however, the two seemed to have little in
common. They sought the answers to different questions and by different
methods.
In philosophy, literature, art, and architecture, the Romans borrowed
from the Greeks. In engineering, war, and law they were their own masters.
In law, they produced a learned tradition in the hands of a distinct class of men
with a specialized education: the jurists (iurisconsulti). There was no equiva-
lent group in ancient Greece.
The jurists were not appointed by the state. They held no regular
office. They did not become jurists by studying in a law school or university
or by passing examinations.
A young man who wished to become a jurist would attach himself to an
established jurist. He would listen as the older man discussed how the law

4 INTRODUCTORY READINGS
of Rome applied in actual cases or hypothetical cases that were raised for
purposes of argument. The young man became a jurist when people began
to seek his opinions as to the law.
The jurists played no direct role in the Roman procedure for
settling disputes. In this procedure, as it had developed by the late
Roman Republic, the first step for a party who wished to bring
a lawsuit was to have a government official, called the praetor, appoint
a judge (iudex) and issue an instruction (formula) telling the judge
what to do. The instructions were very general. They might tell the
judge that if Octavius had bought a horse from Titius for 100 sesterces
and had not paid, Octavius must pay him that amount. Or they might
tell the judge that if he found that Marcus had unlawfully damaged
Julius’ horse, he must pay its value. The judge would then listen to the
parties or their representatives, consider whatever evidence he deemed
relevant, and make a ruling. Surprisingly, there were no state officials
charged with enforcing his ruling. The loser was expected to pay out of
respect for law, out of the desire to maintain the respect of others, and
out of fear of whatever harm the winner and his friends could do to
him if he refused.
The praetor and the judge were prominent men, but neither had any
specialized legal training. Neither did the representatives who argued
on behalf of the parties. The praetor was chosen for a term of one-year,
and the judge was appointed to resolve a particular case. The parties’
representatives were not jurists. They were orators (oratores). They
were trained in rhetoric, the art of making speeches, which had been
perfected by the Greeks. One of the most famous was Cicero, who had
studied Greek rhetoric carefully, and whose speeches to the Roman
senate became models of the effective use of language. They were stud-
ied in the West, and, until perhaps a century ago, were known to every-
one with a university education. But Cicero had no special training in
law.
The praetor, the judge and the orators depended on the jurists for
their knowledge of law. The praetor promulgated a list or edict at the
beginning of his term of the types of instructions that he would issue
to judges. He did so in consultation with the jurists, and on the basis
of the lists of previous praetors, who had also consulted with jurists.
The instructions were very general. To determine their meaning,
judges and orators would again consult with jurists.
Their Method
The jurists developed an intellectually sophisticated comprehen-
sive body of law, the like of which the Western world, at least, had
never seen. It was so sophisticated that many historians have thought
that the Romans borrowed it from the Greeks, whom the Romans
admired, and who were intellectually able philosophers. Nevertheless,
a few comparisons will show how different the Roman method of
reasoning was.

TRADITIONS 5
In discussing the branches of law that we call contracts and torts,

Greek philosophers were concerned not with the specifics but with the
underlying principles of justice. Aristotle distinguished distributive just-
ice which provided each citizen with a fair share of resources, from
commutative justice, which preserved his share. What was deemed
a fair share would vary with the type of constitution: in an aristocracy,
or rule by the best, the wiser and more virtuous would ideally have
a larger share than others; in a democracy, or rule by the many, each
citizen ideally would have an equal share.
Aristotle distinguished between commutative justice in involuntary
and voluntary transactions. In involuntary transactions, one person
enriched himself by taking another’s resources, and the law required
that he restore the victim to his original position. In voluntary transac-
tions, each person exchanged resources, and commutative justice
required that they exchange resources of equal value so that their share
of resources stayed the same. Aristotle’s distinction not only resembles
the distinction between torts and contracts, but may be the origin of that
distinction. Gaius (fl. 130–180 AD) was the first Roman jurist to distin-
guish between contract (contractus) and tort (delictus);1 historians
believe he was following Aristotle.2
Nevertheless, the Roman jurists were concerned with what we would
call particular contracts and torts, each with its own rules. Having dis-
tinguished contract and tort, Gaius immediately turned to describing the
particular contracts and torts recognized in Roman law and the rules
peculiar to each.
The Romans did not have a general law of contract. When
a contract was binding, for example, depended on what kind of con-
tract it was. Some were binding on consent such as sale, lease, part-
nership and mandate (a contract in which one person does another
a service without compensation). Some were binding when an object
was actually delivered: for example, gratuitous loans for use or for
consumption, gratuitous deposits for safekeeping, and pledges. Some
were binding only if a formality was completed. Others were not
binding until performance. An example was barter: one party agreed
to trade his horse for the other party’s mule. Eventually, a party who
had performed could compel the other party to return his performance
or to perform in return. The jurists understood that a party must
consent in order to enter into any of these contracts. They did not
explain why only some of them are binding on consent.
Similarly, Roman tort law was a law of particular torts. One was an
action for iniuria: injuries to dignity or reputation, which the Romans
explained by particular examples. A person could recover for iniuria if
1. G. Inst. III.88. (Oxford, 1962), 100; Helmut Coing, “Zum

2. Reinhard Zimmermann, The Law of Einfluß der Philosophie des Aristoteles
Obligations Roman Foundations of the aud die Entwicklung des römischen
Civilian Tradition (Capetown, 1990), Rechts,” Zeitschrift der Savigny-Stiftung
10–11; Max Kaser, Römische Privatrecht für Rechtsgeschichte, Rom. Abt. 69 (1952),
(Munich, 1959), 522; A.M. Honoré, Gaius 24–59.

another composed or recited a song attacking him,3 or if someone beat his

slave.4 He was liable for iniuria if he made an indecent proposal to a
woman5 or followed her “assiduously.”6
Another was an action under the lex Aquilia, one of the earliest plebis-
cites enacted by the people when they first acquired authority to make
their own laws. The language of the law said that one had to make com-
pensation for harm done “iniuria,” which, in this context, meant without
right or unlawfully. The jurists decided that a person was liable only if he
was at fault, either by causing the harm intentionally or negligently. This
is the first time that a legal system adopted the general principle of liability
for fault, and specified that one might be at fault in either of these two
ways. That principle is to be found in all modern legal systems, and all of
them, directly or indirectly, borrowed that principle from Roman law,
including common law systems. Roman law, like most modern legal sys-
tems, also recognizes cases in which a person might be strictly liable, which
means liable without fault.
Characteristically, the jurists explained fault by particular illustra-
tions. A pruner is negligent if he harms someone by cutting off a branch
over a public way without calling out.7 If a farmer burns stubble and the
fire gets out of control, he is negligent if he did so on a windy day but not if
the day was calm and the fire spread because of a sudden gust of wind.8
A javelin thrower is negligent if he kills someone by throwing it in an
inappropriate place,9 and so is the stoker of a furnace if a fire starts because
he fell asleep instead of watching it,10 and a barber who shaves a customer
out of doors near a playing field and cuts him when a ball strikes the hand
holding the razor.11 So is one who digs a pit to catch a deer or bear in
a public place where someone might fall in rather than in the usual place
for such pits.12 A mule driver is negligent if he is too inexperienced to
control his mules,13 as is a carter if he loaded stones badly so that one fell
out of his cart,14 and a doctor if he was too unskillful to perform an oper-
ation properly15 or to prescribe the right drug.16
This method was not that of Greek philosophers. Aristotle, for
example, discussed when, in principle, a person has done what is right
or wrong. He explained that the source of his action must be in his
intellect and will, since man is a rational animal who acts through reason
and will. He is not responsible if some external force moves his arm so
that it strikes someone else. Aristotle considered to what extent a person
acts voluntarily when he acts under duress. He never discussed
negligence.
Similarly, when the Greek philosophers discussed property, they dis-
cussed the justification for it. Plato proposed that in the ideal state, there
3. Dig. 47.10.15.27. 10. Dig. 9.2.27.9.

4. Dig. 47.10.15.34. 11. Dig. 9.2.11.pr.
5. Dig. 47.10.15.20. 12. Dig. 9.2.28.pr.; see Dig. 9.2.29.pr.
6. Dig. 47.10.15.22. 13. Dig. 9.2.8.1.
7. Dig. 9.2.31. 14. Dig. 9.2.27.33.
8. Dig. 9.2.30.3. 15. Dig. 9.2.7.8.
9. Dig. 9.2.9.4. 16. Dig. 9.2.8.pr.

TRADITIONS 7
should be no private property. Aristotle, who had been his pupil, argued
that without private property, those who worked much would receive the
same as those who worked little, and there would be constant quarrels over
the use of things.17 Centuries later, Aristotle’s arguments were used to
justify private property by medieval philosophers such as Thomas Aquinas
and early modern philosophers such as Hugo Grotius. But the theories of
Plato and Aristotle did not interest the Roman jurists. Their concern was
not the principles that justify private property but with the rights that
attach to various kinds of property and how these rights are acquired.
Again, they discussed particular situations. The sea and seashore are
“common things” that belong to everyone, and so everyone can use them.18
But an individual owns gems or pebbles he takes from the shore.19
Moreover, an individual can build a hut on the shore.20 Others must keep
clear of the hut.21 But his ownership lasts only as long as the building
remains. If it collapses, someone else can build on the site.22 Wild animals,
birds, and fish belong to no one, but become the property of the person who
captures them.23 Rivers and harbors are “public things.” They belong to the
public, and everyone can fish or boat on them.24 The river banks are owned
by those whose lands border them, yet everyone using the river is free to
beach boats, dry nets, and haul fish onto the banks, and to tie up to trees
there even though the trees belong to the owner of the land.25 Theaters and
stadiums are “civic things.” They belong to the citizen body as a whole, not
to the citizens as individuals.26 An individual citizen, however, has a right
of action against anyone who prevents him from using them.27
Out of this attention to particulars grew what are still regarded as
some of the basic distinctions of property law. One is between ownership
and possession. Roman law protected not only the owner but the possessor
of property. If someone takes the goods or the land that is in my possession,
I do not have to prove that I was the owner in order to get it back from him.
Who, then, is a possessor? Certainly, if I leave my land for an errand in
a nearby village, I am still in possession of it: if I find that a stranger moved
in while I was out I can get the land back without proving I was the
owner.28 Do I have to walk over every foot of the land to gain possession?
Certainly not.29 Is it necessary that I at one time did have physical posses-
sion? Suppose land that I purchased was pointed out to me from a terrace
on neighboring property, or that goods were delivered to my door, but I had
not yet touched them? According to the jurists, I was in possession.30
This method of the Roman jurists was at once concrete and abstract. It
was concrete in that each example concerns a particular factual situation.
It is abstract in that each factual situation is chosen to make a legal point,
and the facts presented leave out everything that is not relevant to that
17. Politics V.ii 1263a. 24. I. 2.1.2; Dig. 1.8.5.pr.

18. I. 2.1.1; I. 2.1.5; Dig. 1.8.2.1. 25. I. 2.1.4; Dig. 1.8.5.pr.
19. Dig. 1.8.3. 26. I. 2.1.6; Dig. 1.8.6.1.
20. I. 2.1.5; D. 1.8.3. 27. Dig. 47.10.15.7.
21. Dig. 1.8.4. 28. Dig. 43.16.1.24.
22. Dig. 1.8.6.pr. 29. Dig. 41.2.3.1.
23. I. 2.1.12. 30. Dig. 41.2.18.2.

legal point. For that reason, it is hard to tell, reading the Roman jurists,
whether they are describing a real case, but leaving out facts that they
deem to be irrelevant, or whether they are inventing a hypothetical case,
putting in only the fact relevant to the point they wish to make.
The Roman jurists were concerned with the meaning of concepts:
ownership, possession, negligence, sale. But while the Greek philosophers
explored the meaning of concepts by defining them, the Roman jurists did
so in the way just described: by describing one situation after another in
which the concept did or did not apply.
The concepts of the Greek philosophers were often new and technical,
and had no meaning outside their own philosophies, but were meant to
describe aspects of reality for which ordinary concepts were inadequate.
Plato thought that the forms or abstract ideas of things were ultimately
real. Aristotle thought that individual things were real, but each thing had
an essence, an end, an efficient and a material cause. In contrast, the
concepts that were fundamental to the Roman jurists were often taken
from ordinary life. Indeed, they were often so common that one cannot
easily imagine a society without them. In every society that has developed
the use of money, people will buy and sell. In every society, children will be
taught not to be negligent in handling sharp objects or fire. In every society,
someone will sometimes possess something that is not his own: a bow,
a pot, a skin. The genius of the Roman jurists was not to invent new
concepts but to see the legal significance of ordinary ones, and then to
make them precise by a string of particular examples.
The Work of Justinian
For reasons that no one understands, the last great Roman jurists
wrote no later than the third century AD. Their works continued to be read.
As the Empire became more bureaucratic, Roman law was taught in law
schools whose graduates staffed the courts that decided cases. Yet the
classical age of Roman law was over. The teachers in the law schools
confined themselves to the work of the classical jurists, without either
adding to it or refining and systematizing it.
In the sixth century, after the western Roman Empire had fallen to
barbarian invaders, the Emperor Justinian decided to preserve the work of
the classical jurists while simplifying the law. His officials prepared
a compilation of Roman law later called the Corpus iuris civilis (the body
of civil law) which is sometimes referred to as “Justinian’s Code.” It was not
a code in the modern sense. The largest part of it, the Digest, was more like
a scrapbook. The compilers excerpted short quotations from the works of
the classical jurists and arranged them roughly by topic. Two other parts of
Justinian’s Corpus consisted of imperial legislation since the classical era.
The last part was an edited version of an introduction to Roman law by the
jurist Gaius.
It is said that the compilers examined ten thousand books on law,
“book” meaning a scroll. Because Justinian provided that only his compil-
ation would have the force of law, these scrolls were not recopied. All of
them have been lost except for the introduction to law written by Gaius,

TRADITIONS 9
and it was only rediscovered in the nineteenth century. In the Empire,

Justinian’s compilation fell into disuse, and it was no longer copied. Indeed,
only one copy survived. It had been left in Italy during one of the short
intervals before imperial forces were driven out. If that one manuscript had
been lost, the Roman legal tradition would have been lost as well, since it
contains almost all that is known about Roman law.
ii. The Medieval Jurists

The Jurists
In the East, the Roman Empire endured until 1453, when its capital,
Constantinople, was captured by the Turks. In western Europe the Empire
was destroyed by barbarian invasions beginning in the fifth century. The
next five centuries are remembered as the Dark Ages. In the late eighth
century, Charlemagne, the king of the Franks, temporarily reunited much
of western Europe. The Pope – the leader of the Catholic Church – recog-
nized him as Emperor, a title that was borne by his successors. But his
empire collapsed when a new series of invasions began in the ninth cen-
tury. In the eleventh century, the invasions came to end, peace was
restored, cities and trade grew, and a new civilization began to develop.
Roman law was revived, and provided a legal system far more sophisti-
cated and in tune with the needs of society than the law of the barbarians.
From the very beginning of the revival, the teaching and interpretation of
Roman law was the task of jurists. This time, however, the jurists were
professors in universities.
According to a traditional story, around the year 1070, the surviving
copy of the Corpus iuris civilis came into the hands of a man named
Irnerius, who began to lecture on the Roman law in the city of Bologna in
Italy. His four most prominent students were called “the four doctors of
Bologna.” Later medieval jurists traced their pedigrees through them. It is
unlikely that Irnerius was the first or the only one to lecture on Roman law.
Nevertheless, the revival of Roman law began around 1100 in what
Kenneth Pennington called “the big bang.”31 The law school at Bologna
became one of the first universities in the West, attracting students from
all over Europe. Gradually, Roman law became accepted throughout most
of the European continent as the “ius commune” – literally, a “common
law” – binding whenever there was no local law to the contrary. The
exception was England, where Roman law was never accepted; English
“common law” developed on the basis of judicial decisions. After continen-
tal countries adopted civil codes, the Roman law was no longer a ius
commune or common law of Europe. Today, the term “common law” is
used to distinguish the law that developed in England from continental
civil law.
In medieval Europe, as in ancient Rome, the jurists were a distinct
class of men with a specialized education. Unlike the Roman jurists, they
31. Kenneth Pennington, “The ‘Big Century,” Rivista internazionale di diritto

Bang’: Roman Law in the Early Twelfth- comune 18 (2007), 43 at 70.

acquired this education by studying in universities. The curriculum was

the Corpus iuris civilis of Justinian, which they studied, text by text, over
a period of four to five years. There were no entry requirements. Anyone
could study who had learned enough Latin to do so. There was no univer-
sity administration to appoint the professors. Anyone could give lectures if
he had graduated from a university and received the title of Doctor iuris –
Doctor of Law. There was no university budget. Professors were paid by
their students, and so, to make a living as a professor, one had to attract
a large number of students by being very prestigious or very popular.
Classes were held, at first, in churches, which at that time were often
used for many non-religious purposes. Students lived in inns, which
became the first dormitories. The professors examined the students and
conferred a doctor’s degree on those who passed their examinations. The
students formed associations to protect themselves against merchants who
charged too much for food or inns that charged too much for lodging. These
associations also ensured that the students were fairly treated by the
professors. They fined professors who were late for their lectures, or who
spoke too long, or who taught materials that were of interest more to
themselves than to their practically minded students.
The Roman jurists had held no official position and had advised the
praetors, judges, and orators who had no legal education but were engaged
in administering the law. In contrast, in medieval Europe, wherever
Roman law spread, cases were argued by lawyers and decided by judges
with a university degree in law. Even where Roman law was not yet
accepted, kings, nobles, and city authorities hired law graduates to help
with the legal aspects of governing.
To be a jurist now meant to be an expert in law in a different way than
in ancient Rome. The Roman jurists were experts in a law that was largely
unwritten, or to be found in the writings of other jurists like themselves.
There were few statutes, and the edicts or instructions of the praetors were
general. A jurist was a person who, after years of study with an established
jurist, could give his own opinion on questions of Roman law that other
jurists would respect when asked how the law would apply to a certain
factual situation. He would not cite any authority for his opinion except,
possibly, the opinion of another jurist.
The medieval jurist was an expert on the texts found in the Corpus iuris
civilis. He explained what these texts meant. The medieval jurists who were
active from the twelfth to the mid-thirteenth centuries are called the
Glossators because their writings consisted largely of glossae or notes writ-
ten in the margins of manuscripts of the Corpus iuris. The notes might
clarify an obscure term, or interpret a rule, or reconcile one text with
a seemingly contradictory text that appeared elsewhere in the Corpus
iuris, or simply list all the texts relevant to the same legal issue. The work
of the Glossators culminated in the Glossa ordinaria or Standard Gloss
compiled by Accursius (1182–1263). It contained over 100,000 individual
glosses, many of them taken from the work of earlier Glossators. It had
immense influence, and printed editions were still being published in the
seventeenth century. Later jurists are referred to as Commentators because

TRADITIONS 11
they typically wrote commentaries on the Corpus iuris rather than notes in
the margin. Two of the most famous were Bartolus of Sassoferrato (1313–
1357) and his student Baldus degli Ubaldi (1327–1400). These commentar-
ies, however, were commentaries on the Roman texts, and discussed these
texts in the order in which they appeared in the Corpus iuris. Any question
regarding one text was resolved by citing another. When, as often happened,
a professor was asked to give an opinion on a case pending in court, he
answered by discussing the relevant Roman texts. So did a judge in deciding
a case, and a lawyer in arguing a case to a judge. An easy way to attack an
opponent was to say, “he speaks without a text.”
Their Method
The method of the medieval jurists was to interpret each text of the
Corpus iuris in the light of every other. Such a method was not used only in
law. It has been called “the scholastic method” – literally “the method of the
schools” – and was used to study theology, philosophy, politics, ethics, and
virtually every other subject taught in a medieval university. Each author-
ity had to be reconciled with every other. In law, it was like the method
that lawyers use today when they reconcile one statutory provision with
another, or one judicial decision with another. In his book The Renaissance
of the Twelfth Century, Charles Homer Haskins said that law is inherently
scholastic.32 The method works fairly well if the question is how to recon-
cile two conflicting rules or seemingly conflicting decisions about the right
result to reach in similar factual situations. It works fairly well if one
wants to reconcile the teachings of one philosopher with that of another.
It does not work well if one wants to determine, for example, whether the
earth moves around the sun or the sun moves around the earth.
In applying their texts to new situations, or in reconciling them with
other texts, the medieval jurists necessarily gave these texts a meaning
which the Roman jurists who wrote them did not consciously have in mind.
For example, one Roman text said that a person who had sold land for less
than half its just price had a remedy: he could demand that the buyer either
make up the difference in price or rescind the transaction.33 If the author of
that text had some larger idea in mind, he did not say so, and there is really
no way of knowing. The Glossators decided, however, that the text meant
there would be a remedy, not only for buyers but for sellers, not only in sales
of land but in sales of goods, and not only in sales but in similar transactions
such as leases.34 This remedy became known as one for laesio enormis,
32. Charles Homer Haskins, The must be twice or one and one-half times the
Renaissance of the Twelfth Century (New just price. The participants are said to be
York, 1957), 204–05. Placentinus and Albericus, who wrote in the
33. C. 4.44.2. twelfth century, and Martinus, a student of
34. The Brachylogus, written at the Irnerius. Hugolinus de Presbyteris,
beginning of the twelfth century, does not Diversitates sive dissensiones dominorum (ed.
speak of land but of objects sold. Brachylogus G Haenel, 1834), § 253. According to Accursius
iii.xiii.8. The Dissensiones dominorum of the it was agreed among the jurists that the
early thirteenth century reports a dispute in remedy would be available generally in
which all participants take it for granted that contracts bonae fidei. Gl. ord. to C 4.44.2 to
the buyer has a remedy. The disputed question auctoritate iudicis.
is whether, for him to have it, the sales price

literally, for “a very great harm.” The Roman text did not say what was meant
by the just price. The Glossators solved that problem by looking to other
Roman texts that dealt, for example, with the damages due for harm done
through fault35 or the fairness of sales made by a guardian on behalf of his
ward.36 The value of chattels was their price as of the time and place of sale,
although, in opposition to his own view, Accursius cited text that concerned
the difficulties of valuing a stolen cow.37
The development of a remedy for laesio enormis illustrates how, by
reading a text broadly or narrowly, and by interpreting in terms of texts
dealing with a different legal problem, the medieval jurists were able to
build extensive doctrines, unknown to the Romans, on the basis of Roman
texts. It also illustrates how the medieval jurists, like the Roman jurists,
were not concerned with explaining the larger principles of justice that
justified the solutions they reached. The Glossators never explained why
contracts for land or goods should be made at a just price. That seemed to
them the fairest interpretation of their Roman text, although they did not
discuss why it was fair. They never explained why the just price was the
market price at a certain time and place. It is unlikely that they had an
explanation. Any other result, however, would have called into question
thousands of seemingly normal market transactions, and to do so seemed
to them to be wrong.
The Influence of Canon Law
In the Middle Ages, a distinction was drawn between the secular or
worldly authority of kings, princes, and other political authorities, and the
spiritual authority of the Catholic Church. The secular authorities were
concerned with peace, order, and justice in society. The spiritual authority
of the Church was concerned with the salvation of people’s souls. The
Canon law was the law of the Church. It dealt with how Christian leaders
such as the pope, bishops, and priests are chosen and what authority they
have. It dealt with the sacraments, which were rituals through which
Christians received God’s help. It dealt with sin. A sinner had violated
the laws of God and, if he wished to save his soul, he must seek forgiveness.
He did so through the sacrament of confession in which he confessed his sin
to a priest and asked to be forgiven. Canon lawyers spoke of confession as
the tribunal of conscience, the “internal forum.” A Christian also might be
charged with wrongdoing and summoned before a Church court – the
“external forum” – where, as in secular courts, decisions were made by
legally trained judges after hearing arguments by legally trained lawyers.
The law they applied, however, was Canon law. The Canon law was based
on a compilation of texts taken from the Bible, Church Councils, and
Christian saints compiled in the twelfth century that became known as
the Decretum or the Concordance of Discordant Canons. It was later sup-
plemented by collections of decretals: decisions by popes as to how
35. Gl. ord. to C. 4.44.2 to autoritate 36. Gl. ord. to C. 4.44.2 to autoritate
iudicis citing Dig. 8.2.33. iudicis citing Dig. 27.9.13.pr.
37. Dig. 13.1.14.3.

TRADITIONS 13
particular questions were to be resolved. These materials formed the

Corpus iuris canonici (the body of Canon law).
There was an overlap in the jurisdiction of secular courts and Church
courts because many of the injustices with which a secular court was
concerned were also sins dealt with in the internal or external forum of
the Church. A person might have to answer for the legal consequences of
his actions before a secular court and for the spiritual consequences under
the Canon law. Both Roman law and Canon law were taught at the same
universities, and, indeed, the university study of Canon law also began in
Bologna in the twelfth century. It was prestigious to have a “double doctor-
ate”: a doctor’s degree in both Roman and Canon law.
The texts of the Corpus iuris civilis had been written by Roman jurists.
The texts of the Corpus iuris canonici were, for the most part, written by
non-lawyers and were based on religious traditions of Judaism and
Christianity. Yet the two bodies of law influenced each other. The Canon
law, for example, followed the Roman law in declaring that a person was at
fault for harming another if he acted negligently or intentionally.38 If he
injured another by a complete accident, he had not sinned and did not need
to be forgiven. What had been a rule concerning legal liability was thus
recognized as one governing the conduct that was sinful. Similarly, the
Canon law adopted the remedy that the medieval Roman lawyers had
developed for laesio enormis.39 A party who overcharged another or who
underpaid had sinned, and in the external forum of the Church courts
could be compelled to make up the difference or rescind the transaction.
Conversely, Canon law rules and doctrines sometimes made their way
into the medieval jurists’ interpretations of Roman law. An example is what
came to be called the doctrine of changed circumstances in contract law. The
Corpus iuris canonici contained a passage in which St. Augustine discussed
what a person should do if the owner of a sword had entrusted it to him and
then asked for it back after he had become insane or wished to harm
someone. St. Augustine said that the person entrusted with the sword
should not give it back.40 A Canon lawyer’s gloss to the passage concluded:
“Therefore, this condition is always understood: if matters remain in the
same state.”41 Eventually, civil law jurists used that rule to explain why
a party might no longer be bound to a contract if circumstances had changed.
Another example is what came to be called the doctrine of necessity. The
Corpus iuris canonici contained a passage from a sermon by St. Ambrose
denouncing rich people for their greed, and declaring that no one should call
his own what is common to all.42 The Canon lawyers inferred from the text
that in cases of severe necessity, a person did not sin if he used property to
save his life without the owner’s permission. The doctrine was used to
explain some of the particulars of Roman law: for example, why provisions
became common property when passengers are shipwrecked.43
38. Gl. ord. to Dig. 50 c. 49 to 40. C. 22 q. 2 c. 14.

inculpabiles; to Dig. 50 c. 51 to Si duo, 41. Gl. ord. to C. 22 q. 2 c. 14 to furens.
citing Dig. 9.2.31. 42. Dig. 47 c.8.
39. X 3.17.3. 43. Gl. ord. to Dig. 47 c. 8 to commune.

The Criticism of the Humanists

In the fourteenth century, the work of medieval scholars in law, phil-
osophy, and almost every other branch of knowledge was challenged by
a group we call the humanists. They hoped to achieve what they called
a “renaissance” of classical learning, which, they thought, had been forgot-
ten or corrupted during the “middle ages” as they called the period that
separated their own time from the ancient world.
The difference, in part, concerned the goals of education. Their goal
was not professional training. Nor was it the acquisition of a correct philo-
sophical understanding of the nature of God, the universe, man, or even
morality. It was a studia humanitatis, learning that would foster the
development of a human being and so produce, in the words of their hero
Cicero, a vir virtutis, a complete man, cultivated and fit for an active role in
public life. Their method was to inculcate moral virtue, practical wisdom,
and a correct and eloquent command of language through the study of
classical languages and authors. The humanists, as Quentin Skinner
said, gave “birth to a doctrine that was to be almost embarrassingly long-
lived: the doctrine that a classical education not only constitutes the only
possible form of schooling for a gentleman, but also the best possible
preparation for an entry into public life.”44 That doctrine began to break
down in the nineteenth century and was abandoned with confidence only in
the twentieth.
Although a classical education came to be regarded as the only possible
form of schooling for a gentleman, legal education remained grounded in
the texts of the Corpus iuris civilis. Nevertheless, the humanists disagreed
with the medieval jurists about how those texts should be interpreted. The
medieval jurists used the scholastic method. They tried to reconcile every
text with every other to obtain what they regarded as sensible results. As
we have seen, this method sometimes took them far beyond anything that
the Roman jurists who wrote their texts consciously had in mind. In
contrast, the humanists tried to recapture the original meaning of a text
to its author. They invented what we now call philology. To understand the
meaning of a word, they looked for every other instance in which it had
been used by the same author or by his contemporaries.
One result of the new method was to produce editions of the Corpus
iuris civilis that recaptured the original texts. Poliziano prepared a new
edition by comparing the version in common use, which we call the vulgate,
with the one extant manuscript from which all others had been copied. In
the following century, humanist jurists built on his work. Guillaume Budé,
Andrea Alciato, Jacques Cujas, and their followers discovered many
instances in which the text of the Corpus iuris was corrupt. Errors had
been made either by Justinian’s compilers or by copyists.
If the humanists had merely been seeking a more accurate version of
the Corpus iuris civilis, their methods and those of the traditional medieval
44. Quentin Skinner, The Foundations of

Modern Political Thought: 1 The Renaissance
(Cambridge, 1998), 88.

TRADITIONS 15
jurists could have been accommodated. They had different goals, however,
and the difference caused intense hostility. From the humanists’ point of
view, many of the interpretations of the traditional jurists were simply
wrong. They had attributed a meaning to the texts that the Roman jurists
who wrote them could not have had in mind. From traditional jurists’ point
of view, the humanists were neglecting the true task of a jurist, which is to
apply legal texts to new situations. If, as the humanists implied, one could
not do so without distorting the meaning of these texts, then the rule of law
was impossible. It would be impossible for a legal text to govern any
situation the lawmaker did not consciously have in mind. Because the
methods of the traditional jurists were suited to this different task, the
humanists, despite their intellectual prominence, had little influence on
how law was actually applied even in their own day.
b. The Natural Law Schools

i. The Late Scholastics
Throughout the Middle Ages, legal study in the universities was based
on the texts of the Corpus iuris civilis and, in Canon law, those of the
Corpus iuris canonici. The teaching of many other subjects in the medieval
universities was based on the works of the Greek philosopher Aristotle. His
works on metaphysics, nature, politics, and ethics became available in the
West in the late twelfth and early thirteenth centuries. Theologians such
as Albertus Magnus and Thomas Aquinas synthesized them with
Christian doctrine. In the fourteenth century, the poet Dante called
Aristotle, “the master of all who know.” His influence continued to domin-
ate the universities until the rise of modern critical philosophy in the
seventeenth century.
Nevertheless, the medieval jurists, even those who read and admired
Aristotle, did not try to integrate his philosophical ideas with Roman or
Canon law. The influence was only occasional. The same can be said of the
influence of Roman law on the medieval philosophers.
A serious attempt to explain Roman and Canon law by Aristotelian
philosophical principles was first made in the sixteenth and early seven-
teenth centuries by a group of philosopher-jurists centered in Spain which
historians call the late scholastics. The school was founded at the
University of Salamanca by Francisco de Vitoria (1492–1546) and
Domingo de Soto (1494–1560). Among its leaders were Luis de Molina
(1535–1600), Leonard Lessius (1554–1623), and Francisco Suárez (1548–
1617). The late scholastics gave Roman law a systematic doctrinal struc-
ture for the first time.45
The late scholastics used the scholastic method of medieval scholars:
they attempted to reconcile seeming conflicts among their authorities.
Now, however, their authorities included the Roman and Canon law
45. James Gordley, The Jurists:

A Critical History (Oxford, 2013), 84–101.

texts and the works of Aristotle. The task of reconciling was easier for them
because of the distinction they drew between “natural” and “positive” law.
Natural law was binding because it rested on principles of justice. Positive
law was binding because it had been enacted by someone in authority, such
as an emperor or king. Positive law could not contradict natural law, but it
was a necessary supplement. Often many different rules would be consist-
ent with justice, but one rule had to be adopted. That rule was binding only
after someone in authority laid it down. When the late scholastics could
explain a rule by showing that it was based on philosophical principles of
justice, they said it belonged to natural law. When they could not, they said
that the rule was one of positive law, enacted by the Romans or prescribed
by the Church for some good reason, no doubt, but binding only where
Roman law was in force, in the case of Canon law, binding only on
Christians.
The doctrinal structure which the late scholastics developed, along
with many of their conclusions, was adopted by Hugo Grotius, the founder
of the northern natural law school and by later members of the school such
as Samuel Pufendorf (1632–1694) and Jean Barbeyrac (1674–1744).46
Much of it passed into modern law, although, as we will see in detail
later on, some characteristically Aristotelian features did not.
The late scholastics and the northern natural lawyers organized their
work like a modern treatise, topic by topic, unlike the medieval jurists, who
discussed legal texts in the order in which they appeared in the Corpus
iuris civilis or canonici. They began by discussing justice and law and then
considered separate branches of law such as contract, tort, and property.
The late scholastics, followed by Grotius, reclassified the particular
contracts of Roman law. Some, such as sales and leases, were governed by
Aristotle’s principle of commutative justice in voluntary transactions. The
parties exchanged resources, but commutative justice required that they
exchange at a price that kept equal the share of resources that each party
possessed. Following Aquinas,47 they said that this principle explained the
relief which, according to the medieval jurists, was given for laesio enormis:
a deviation between the contract price and the just price of more than half.
The reason for requiring such a large deviation was the practical need to
protect the stability of commerce.48
Only some of the Roman contracts – sale and lease, for example –
seemed to be acts of commutative justice. Following Aquinas,49 the late
scholastics explained that others were acts of liberality. Liberality, accord-
ing to Aristotle, is a virtue manifested “in the giving and taking of wealth,
and especially in respect of giving.” “[T]he liberal man will give for the sake
46. Gordley, Jurists, 128–40. virtutibus cardinalis libri quatuor (Paris,

47. Summa theologiae II-II, Q. 17, a. 1, 1628), lib. 2 cap. 21 dub. 2; Hugo Grotius,
ad 1. De iure belli ac pacis libri tres (Amsterdam,
48. Domenicus de Soto, De iustitia et iure 1646), II. xii.14 and 23; Samuel Pufendorf,
libri decem (Salamanca, 1553), lib. 6 q. 2 a. 3; De iure naturae et gentium libri octo
Ludovicus de Molina, De iustitia et iure (Amsterdam, 1688), V.i.8.
tractatus (Venice, 1614), disp. 348; Leonard 49. Summa theologiae II-II Q. 61, a.3.
Lessius, De iustitia et iure, ceterisque

TRADITIONS 17
of the noble and rightly; for he will give to the right people, the right
amounts, and at the right time, with all the other qualifications that
accompany right giving.”50 There were, then, two kinds of voluntary
arrangements: those based on commutative justice, in which each party
obtained an equivalent for what he gave, and those based on liberality.
The late scholastics, followed by Grotius, concluded that, in principle,
both of them were binding upon consent. They dismissed the Roman
distinctions as to when contracts were binding as matters of Roman posi-
tive law. By voluntarily entering into a contract, one party gave the other
the right to require performance. To deny him that right was a violation of
commutative justice.51 Nevertheless, they accepted the Roman rule that
contracts to give away money or property were not binding without
a special formality, which, by the Middle Ages, had become subscription
to the promise before a legal official called a notary. That requirement
ensured due deliberation.
According to the late scholastics, although all contracts were binding
by consent, they were not binding, as the Canon lawyers said, when cir-
cumstances had changed. Following Aquinas, they explained the Canon
law rule by Aristotle’s theory of equity. According to Aristotle, whenever
a law is made, particular circumstances may arise in which the lawmaker
would not want it to be applied. As a matter of “equity,” the law should not
be applied in those circumstances. Aquinas concluded that similarly, prom-
ises are a kind of law one gives to oneself, and they are not binding in
circumstances in which the parties would not have intended to be bound.52
This explanation was adopted by the late scholastics.53
Tort, for the late scholastics, was governed by the principles that
Aristotle had described in discussing commutative justice in involuntary
transactions. If one person deprived another of resources, he must compen-
sate the victim for the amount of his loss. The late scholastics, followed by
the northern natural lawyers, concluded that the particular Roman actions
for iniuria, or under the lex Aquilia, were instances of this general prin-
ciple. As we have seen, Aristotle had said that since man is a rational
animal, a person can truly be said to have done wrong when the action
can be his intellect and will: he understood the action he was taking, and
willed to do it anyway. Aristotle had been speaking of intentional actions.
Aquinas applied Aristotle’s principle to negligent actions as well. The late
scholastics concluded that, in principle, anyone who intentionally or negli-
gently harms another’s person, property, or honor owes compensation.54
Grotius restated that principle in a famous passage of his work: “From . . .
fault, if damage is caused, an obligation arises, namely, that the damage
50. Nicomachean Ethics IV.i 1119b– 52. Aquinas, Summa theologiae II-II, Q.
1120a. A similar account was given by 88, a. 10; q. 89, a. 9.
Aquinas. Summa theologiae II-II, Q. 119, 53. Lessius, De iustitia et iure lib. 2, cap.
aa. 2–4. 17, dub. 10; cap. 18, dub. 10.
51. Molina, De iustitia et iure disp. 262; 54. E.g., Soto, De iustitia et iure lib. 4,
Lessius, De iustitia et iure lib. 2, cap. 18, dub. q. 6, a. 5; Molina, De iustitia et iure disps.
8, no. 52; Grotius, De iure belli ac pacis II. 315, 724; Lessius, De iustitia et iure lib. 2,
xi.1.3–4. cap. 12, dubs. 16, 18; cap. 20, dubs. 10–11.

should be made good.” “Damage,” he explained, “is when a man has less
than what is his . . . .”55
The late scholastics’ account of property was based on Aristotle’s
explanation of why private property should exist. As we have seen,
although Plato maintained that property should be held in common,
Aristotle said that if it were, “[t]hose who labor much and get little will
necessarily complain of those who labor little and receive or consume
much.”56 Following Aristotle, Aquinas explained that goods would be
held in common except for the disadvantages that common ownership
entails.57 According to Soto, Molina and Lessius, in principle, originally,
or by nature, all things are held in common. Private property was insti-
tuted to avoid the difficulties that Aristotle and Aquinas had described.58
Grotius gave a similar account.59
Following Aquinas,60 the late scholastics used that account to explain
the Canon law doctrine of necessity. Although property was instituted to
remedy the disadvantages of common ownership of external things, never-
theless, the paramount end of the use of these things is the preservation of
human life. Therefore, Lessius said that private property was instituted
“with a reservation to each person of this natural right to whatever is
necessary to maintain his life.”61 Soto and Molina took the same view,62
as later so did Grotius and Pufendorf.63
ii. The Northern Natural Law School

The method of Grotius, Pufendorf, Barbeyrac, and other members of
the northern natural law school was not scholastic. They wrote in the
elegant Latin favored by the humanists. They stated their principles in
simple terms, and illustrated them with examples taken from Roman and
Greek history and literature. They did not try to reconcile Roman and
Canon law texts. Rather, Grotius claimed that he had made the principles
of natural law clearer by discussing only these principles, and not the legal
texts, which often contained rules of positive law. Moreover, Grotius did
not try to show with the precision of a philosopher how the principles of
natural law followed from more basic principles. To read the works of the
late scholastics, a person needed to have studied Aristotle and Aquinas and
to have a philosopher’s concern with the relationship of legal principles to
justice and human nature. Grotius certainly believed the principles of
55. Grotius, De iure belli ac pacis II. Lessius, De iustitia et iure lib. 2, cap. 5,
xvii.1–2. For similar conclusions by other dubs. 1–2.
natural lawyers, see Pufendorf, De iure 59. Grotius, De iure belli ac pacis II.ii.2.
naturae et gentium III.i.2, III.i.3; III.i.6; 60. Summa theologiae II-II, Q. 66 a.7.
Jean Barbeyrac, Le Droit de la nature et des 61. Lessius, De iustitia et iure lib. 2, cap.
gens . . . par le baron de Pufendorf (5th edn., 12, dub. 12.
Amsterdam, 1734), n. 1 to III.i.2; n. 1 to III. 62. Soto, De iustitia et iure lib. 5, q. 3,
i.3; n. 4 to III.i.6. See generally a. 4; Molina, De iustitia et iure disp. 20.
Zimmermann, Law of Obligations, 1032–4. 63. Grotius, De iure belli ac pacis II.
56. Politics II. v. ii.6–7. See Pufendorf, De iure naturae et
57. Summa theologiae II-II Q. 66, a. 2. gentium II.vi.5.
58. Soto, De iustitia et iure lib. 4, q. 3,
a. 1; Molina, De iustitia et iure disp. 20;

TRADITIONS 19
natural law that he described were principles of justice that rested on

human nature. He described that Aristotle held the first place among
philosophers. But he did not draw directly on Aristotelian philosophy.
Instead, his goal was to explain the principles of natural law so that
educated people could understand them without any specialized training
in Roman law or philosophy. The medieval jurists wrote for other jurists.
The late scholastics wrote for other philosophers. Grotius wrote for gentle-
men with a humanist classical education. Indeed, he wished to make the
study of law part of the studia humanitatis – the education that would fit
a person for public life, not for a particular profession. To a great extent, he
and his school succeeded in doing so. Their books were read by educated
people throughout Europe and in the English colonies in America.
In the seventeenth and eighteenth centuries, Aristotelian philosophy
came under attack with the rise of modern critical philosophy. At the
same time, through the work of Grotius and the other members of the
northern natural school, much of the structure and any of the doctrines of
the late scholastics spread throughout Europe. They persevered even
after the Aristotelian principles on which they originally rested were
forgotten.
Much of the structure that the late scholastics gave Roman law was
preserved as its Aristotelian foundations were forgotten. In the seven-
teenth and eighteenth centuries, jurists continued to distinguish between
contracts to exchange and contracts to confer a benefit gratuitously, and to
maintain that in principle, contracts of exchange required a fair price. The
Roman distinctions as to when a contract is binding fell out of use. Jurists
continued to speak of a general law of tort, in which a basic principle was
that a person who suffered harm through another’s fault should be com-
pensated. They continued to speak of property as relative rather than an
absolute right that must give way, for example, in circumstances of neces-
sity. Indeed, much of this structure passed into the civil codes adopted in
much of continental Europe in the nineteenth century. Filtered out, how-
ever, were ideas such as the just price in contract law or the doctrine of
necessity in property law which conflicted with nineteenth century jurists’
conviction that law ultimately had to be explained in terms of the will,
whether it was the will of the parties or that of an owner.
c. Codification and the Rise of Positivism

i. France
The French Civil Code was drafted after Napoleon Bonaparte came to
power, calling himself First Consul. It became law in 1804 shortly after he
had declared himself Emperor of the French. He claimed it would bring
him more renown than all his military victories. He wished to be remem-
bered in the same way as the great lawgivers of ancient times such as the
Emperor Justinian.
The French Revolution had begun in 1789, and many of its ideals were
still alive at the time Napoleon seized power. One ideal was nationalistic.

One code for all Frenchmen would replace the diversity of the laws of
different French provinces, some based on Roman law, some on French
customs. A national code would symbolize and cement national unity. Still
another idea was republican: the people should be ruled by laws that they
themselves would approve and understand. The code would be promul-
gated by the legislator. The task of the judges would be merely to apply it.
The ideal was a code with provisions so simple that they could be under-
stood by ordinary citizens. The revolutionary governments had tried to
codify French law before Napoleon took power but they had never produced
a draft that they could agree on.
Jean-Étienne-Marie Portalis, the chairman of the committee
Bonaparte appointed to draft the code, did not believe this republican
ideal could be realized. The code provisions by themselves could not resolve
all or even most of the cases that came before French courts. “[N]o one
pleads against a clear statutory text.”64 He believed that when the provi-
sions of the code were unclear, judges must return to natural law. “Law
(droit) is universal reason, supreme reason founded on the very nature of
things. Enacted laws (lois) are or ought to be only the law (droit) reduced to
positive rules, to particular precepts.”65 Consequently, to interpret the
Code, judges should apply “equity,”66 “universal equity,”67 “natural
reason,”68 “principles,”69 “doctrine,”70 and “the natural light of justice
and good sense”71 – in short, they were to apply that “equity” which was
“a return to the natural law in the silence, obscurity, or insufficiency of the
texts.”72 They could also consult “the learning of the entire class of men”
trained in legal science who had produced “compendia, digests, treatises,
and studies and dissertations in numerous volumes?”73 Portalis was refer-
ring to compendia, digests, treatises, and studies and dissertations that
had already been written, not to new ones that were yet to be written and
based solely on the texts of the Civil Code. Portalis did not expect the Civil
Code to be the sole authoritative source of French law. “Few cases,” he said,
“are susceptible of being decided by a statute, by a clear text. It has always
been by general principles, by doctrine, by legal science, that most disputes
64. Corps législatif, Discours prononcé Recueil 6:359; Portalis, Discours

par Portalis, séance du 23 frimaire, an X (14 préliminaire in Fenet, Recueil 1:469.
déc. 1801), in P.A. Fenet, Recueil complet des 69. Portalis, Présentation au Corps
travaux préparatoires du Code civil 6 (1827; législatif, séance du 4 ventose, an XI (23 fév.
reprinted 1968), 269. 1803), in Fenet, Recueil 6:360.
65. Portalis, Discours préliminaire 70. Portalis, Présentation au Corps
prononcé lors de la présentation du projet législatif, séance du 4 ventose, an XI (23 fév.
de la Commission du gouvernement, in 1803), in Fenet, Recueil 6:360; Portalis,
Fenet, Recueil 1:467. Discours préliminaire in Fenet, Recueil
66. Présentation au Corps législatif. 1:474.
Exposé des motifs, par Portalis, séance du 4 71. Portalis, Présentation au Corps
ventose, an XI (23 fév. 1803), in Fenet, Recueil législatif, séance du 4 ventose, an XI (23 fév.
6:359; Portalis, Discours préliminaire in 1803), in Fenet, Recueil 6:359.
Fenet, Recueil 1:474, 6:51. 72. Portalis, Présentation au Corps
67. Portalis, Discours préliminaire in législatif, séance du 4 ventose, an XI (23 fév.
Fenet, Recueil 1:475. 1803), in Fenet, Recueil 6:360.
68. Présentation au Corps législatif. 73. Portalis, Présentation au Corps
Exposé des motifs, par Portalis, séance du 4 législatif, séance du 4 ventose, an XI (23 fév.
ventose, an XI (23 fév. 1803), in Fenet, 1803), in Fenet, Recueil 6:360.

TRADITIONS 21
have been decided. The Civil Code does not dispense with this learning but,
on the contrary, presupposes it.”74
The first part of the draft was approved by the Conseil d’État and then
submitted for approval to two legislative bodies which still existed under
Bonaparte’s authoritarian regime: the Tribunat and the Corps législatif. It
was attacked for contradicting the republican ideal of a simple code that
everyone could understand and which judges would simply apply as writ-
ten. Addressing the Conseil d’État, Cambacérès warned that “it could
facilitate usurpations by the courts of legislative power,”75 and Roederer
raised similar concerns. In the debate in the Tribunat, the Code was
attacked by Malia-Garat for violating the republican ideal:
The law in a Republic is an emanation of sovereignty. It is the work of
the people by itself or through its representatives that the constitution
has established to make law. Law is the national will . . . [T]hat is why
it is the only power that free human beings can acknowledge . . .
...
The origin of the law in a republic does not permit any human power to
change the law or to modify it in its execution or to supplement its
insufficiency, let alone its silence.76
The Tribunat could debate legislation but could only recommend that it be
enacted or not enacted. It was a body of 100 members appointed by a senate
controlled by Bonaparte’s supporters. Nevertheless, it rejected the portion
of the draft that had been submitted to it. The Corps législatif consisted of
300 members, also chosen by the senate, which voted in secret and without
debate, and had the power to decide if a law should be enacted. It also
rejected the portion of the draft submitted to it.
Bonaparte then withdrew the remaining portions from further consid-
eration, reduced the Tribunat to fifty members by eliminating his oppon-
ents, and resubmitted the draft. This time it was approved.
Despite all that Portalis had said, in the nineteenth century, the
conviction grew that the Code should be interpreted exegetically without
looking beyond its own texts. The reason was not a revival of the revolu-
tionary ideal in France. It was the spread of legal positivism throughout
Europe and America. For French positivists, legislation was the only
source of law. So, strangely enough, they regarded the Civil Code as self-
sufficient even though its drafters had not intended it to be. They believed
that cases could be decided by logical inference from the Code. These were
not merely the views of those who still believed in the revolutionary prin-
ciples of the French Revolution. They were the views of nearly all jurists
liberal or conservative.
74. Portalis, Discours préliminaire, in 76. Tribunat, Opinion du Tribun Malia-

Fenet, Recueil 1:471. Garat, séance du 19 frimaire, an X (10 déc.
75. Conseil d’État, Procès-verbal de la 1801), in Fenet VI, 151, 162.
séance du 14 thermidor, an IX (2 août
1801), in Fenet VI, 23.

The French jurists gave quite different reasons for reaching what was
essentially the same conclusion. François Laurent thought that the nat-
ural law is revealed to the human conscience progressively as a people
approaches perfection. The legislator, however, was supposed to anticipate
by interpreting statutes and noting their defects.77 Raymond-Théodore
Troplong78 and Auguste Valette79 contented themselves with general
remarks about how perfect and complete the French Civil Code was.
Charles Demolombe agreed that, with a Code so complete, humane, and
equitable, a case could scarcely arise in which natural law would be any
different from positive law. Moreover, while there was a pre-existent,
universal, and immutable natural law, to think about such a law was
more appropriate to a philosopher or a moralist than a jurist. For a jurist
writing about the Code, the one true law was the positive law.80 Charles
Aubry and Charles Rau claimed that, while there were absolute and
immutable principles such as the personality of man, the right of property,
the constitution of the family, and the liberty and obligatory force of
contracts, one could not determine a priori the rules by which these prin-
ciples should be developed. While the principles were immutable, the rules
were contingent and variable.81
The one point on which the French did agree was that their task was to
interpret the Code exegetically and in so far as possible without recourse to
the natural law in which many said they believed.82 Demolombe took as his
motto: “The texts before all else.”83 From the point of view of a jurist, he
explained, there is only one true law, the positive law.84 Troplong praised
the jurist who measured his writings by the inflexible text of the Code.85
Valette advised restraint in using principles of equity to interpret it.86
Laurent claimed that the jurist should merely note defects in the Code,
thus leaving to the legislator the task of bringing it into accord with natural
law.87 Aubry and Rau gave an account of interpretation which made no
reference to natural reason or equity.88
77. François Laurent, Principes de droit 85. Troplong, De la vente 1: preface,

civil français, 1 (Paris, 1875), §5. p. viii.
78. Raymond-Théodore Troplong, De la 86. Valette, Cours 1:4. While
vente 1 (Paris, 1837), preface, p. xii. acknowledging that the judge must consult
79. Auguste Valette, Cours de Code Civil general principles of law to find a solution
1 (Paris, 1872), 34–5. when statutory provisions are absent,
80. Charles Demolombe, Cours de Code Valette maintained that it would be
Napoleon 1 (Paris, 1854–82), §§ 8–10. astonishing to find a case in which these
81. Charles Aubry and Charles Rau, provisions were wholly lacking given the
Cours de droit civil français d’après legislation enacted in the previous 70 years
la méthode de Zachariae, 1 (4th edn., Paris, (1:34–5).
1869–71), §2, n. 2. 87. Laurent, Principes 1: §§ 5, 30. For
82. See André-Jean Arnaud, Les Juristes a judge to decide a case by natural law is
face à la sociétè du XIX2 siècle à nos jours permissible only when the texts are
(Paris, 1975), 53–60. insufficient, and then it is a necessary evil
83. Demolombe, Cours 1: 1st preface, (§§ 256–7.)
p. vi. 88. Aubry and Rau, Cours 1: §§ 40–1.
84. Demolombe, Cours 1: § 8.53.

TRADITIONS 23
ii. Germany
The view that became orthodox in nineteenth century Germany was
developed by Friedrich Karl von Savigny. He opposed codification. He
regarded the French Civil Code as a collection of provisions with no under-
lying unity. Consequently, its provisions could not be interpreted. They
were not based on higher principles of “natural equity,” as Portalis had
thought.89 There were no principles of natural law or equity that were
sufficiently definite to be of use.90 Nor could unity come from the foresight
of the legislator. Savigny argued, like Portalis, that it would be impossible
for the Code to provide for “each [particular case] by a corresponding
provision . . . [T]his undertaking must fail because there are positively no
limits to the actual variety of actual combinations of circumstances.”91
According to Savigny, the Roman texts did possess an underlying
unity. The reason, strangely enough, was that they expressed the
German Volksgeist, the mind or spirit of the German people. The texts
were authoritative because they had been received in Germany because
the Geist, the mind or spirit, of the German people, had embraced and
accepted them.92 The Volksgeist, the unconscious mind or spirit of a people,
is the source of its law.93 It is manifested in “the common conviction of the
people, the kindred consciousness of an inward necessity, excluding all
notion of an accidental and arbitrary origin.”94 The law owes its authority
to this “common conviction” or “consciousness of an inward necessity.”
For Savigny, because the Roman texts were expressions of the German
Volksgeist, the law was to be found by exegesis of these texts. Underlying
the texts, he believed, was a system of fundamental legal concepts united
by logical implication. “In every triangle,” he said, “there are certain given
features from the relations of which all the rest are deducible . . . In like
manner, every part of our law has points by which the rest may be given:
these may be termed leading axioms.”95 The difficulty was that “to distin-
guish them, and to deduce from them the internal connection . . . is one of
the most difficult problems of jurisprudence. Indeed, it is peculiarly this
that gives our work a scientific character.”96
The school that Savigny founded has been called that of
Pandektenrecht – the law of the Roman Digest (also known as the
Pandects) – because it was based on the Roman texts. It has also been
called the school of Begriffsjuriprudenz – the jurisprudence of concepts –
because its goal was to identify the legal concepts underlying the texts and
to work out their logical relationship and their logical consequences.
During the nineteenth century, members of this school did so with extra-
ordinary tenacity. Their effort to give private law a systematic doctrinal
89. Friedrich Carl von Savigny, Vom Historical Vision and Legal Change
Beruf unsrer Zeit für Gesetzgebung und (Princeton, 1990), 125–31.
Rechtswissenschaft (Heidelberg, 1840), 93. Karl Friedrich von Savigny, System
74–6. des heutigen Römischen Rechts 1 (Berlin,
90. Savigny, Vom Beruf, 74–6. 1849), § 8, p. 19.
91. Savigny, Vom Beruf, 38. 94. Savigny, Vom Beruf, 8.
92. See James Whitman, The Legacy of 95. Savigny, Vom Beruf, 38.
Roman Law in the German Romantic Era: 96. Savigny, Vom Beruf, 38.

structure was as intense and as thoroughgoing as that of the late scholas-

tics. The late scholastics, however, had based their doctrines on principles
of Aristotelian philosophy concerning human nature and justice. The nine-
teenth century German jurists did not base their doctrines on the prin-
ciples of any particular philosophy. As we will see, one of their basic
concepts was the freedom of the will. But Savigny sharply distinguished
the legal concept of will from any philosophical conception: “We in the area
of law are not at all occupied with the speculative difficulties of the concept
of freedom. For us, freedom is based simply on the appearance, that is, on
the capacity, of making a choice among several alternatives.”97 For
Savigny, the law set limits to the freedom of each person, but the limits
were to be found by interpreting the Roman texts, and the ultimate source
of law was the Volksgeist. Bernhard Windscheid, one of the leading mem-
bers of the school that Savigny founded, said that “[e]thical, political or
economic considerations are not the business of the jurist as such.”98
Consequently, in some ways, the presuppositions of the nineteenth
century German jurists were like those of the French positivists. Neither
based their conclusions on the principles of any definite philosophy.
Neither believed that there were higher principles of natural law that
were sufficiently definite to be of use. Both claimed that their conclusions
were derived by logic from sources that had legal authority in their own
nation. For the French, these sources were the provisions of the French
Civil Code. They had authority because they were enacted by the legislator.
Their conclusions were supposed to follow logically from the texts of the
Code. For the Germans, the sources were the Roman texts. They possessed
authority because they were expressions of the German Volksgeist. They
were to be interpreted logically, first, by discovering the concepts under-
lying the texts, and then by showing the conclusions that followed from
these concepts.
Eventually, however, German law was codified. Germany was unified
under the Prussian monarchy in 1870 through the statesmanship of
Chancellor Otto von Bismarck and the success of the Prussian army in
defeating two major powers that would have opposed unification: Austria
in 1866 and France in 1870. The king of Prussia became the Emperor of
Germany. In 1873, the Constitution of the German Empire was amended to
extend the power of the federal government over the entire field of private
law. In 1874, a federal council (Vorkommission) recommended that the
drafting of a civil code be entrusted to a large number of legal scholars
and practicing lawyers from all parts of the Empire. In the same year, the
so-called “First Commission” was appointed with eleven members: six
judges, three government officials, and two law professors, Bernhard
Windscheid and Gottlieb Planck. In contrast to the commission that
drafted the French Civil Code, which completed its work in three months,
97. Savigny, System, 3: 102. Bernhard Windscheid, Gesammte Reden

98. Bernhard Windscheid, “Der und Abhandlungen (Leipzig, 1904), 101.
Aufgabe der Rechtswissenschaft,” in

TRADITIONS 25
the First Commission met regularly for thirteen years without making its
work public until a draft was completed in 1887.
In the 1870s, codification no longer aroused the same opposition as at
the beginning of the century. One reason, as in France, was nationalistic:
a national code symbolized national unity. Another reason was that
German jurists believed that they could draft a code that had the unity
necessary, as Savigny had said, for its provisions to be interpreted. That
conviction was based, in part, on the success of the Pandektenschule in
systematizing private law. The first draft of the code was based largely on
principles which that school had found in the Roman texts.
Indeed, the first draft was attacked by those who were critical of the
conceptual approach of the Pandektenschule. Some believed that its provi-
sions were too technical and its concepts too abstract. Some, such as Otto
von Gierke (1841–1921) denied the premise of the Pandektenschule: that
concepts taken from Roman law could be truly acceptable to the German
people.99 Some, such as Anton Menger, attributed the use of concepts such
as the will of the individual to political liberalism, which he believed was
antagonistic to social concerns.100
In response to the criticism, a Second Commission was appointed to
revise the draft. It consisted of ten permanent members who were mem-
bers of the legal profession, including two professors, Plank and Gustav
von Mandry, who replaced Windscheid who had resigned from the First
Commission. There were also twelve non-permanent members: a professor
of law, a professor of economics, business men, and the owners of large
estates. The non-permanent members generally deferred to the jurists. In
contrast to the First Commission, the Second issued weekly reports on its
work. It completed a second draft of the code in 1895. The structure was
like that of the first draft but the provisions were revised to reflect prag-
matic concerns. In 1896, after further revisions by the legislature, the Code
was enacted, and came into force January 1, 1900.
Despite the pragmatism of the Second Commission and the revisions
by the legislature, the Code was thought to contain a unified system of
principles which could be applied to resolve all of the cases that its provi-
sions did not deal with specifically. According to the drafters:
No law can be complete in the sense that it has for every conceivable
relationship falling within the limits of the legal material handled by it
an obvious directly applicable provision. It would be a mistake to strive
for such completeness. The Civil Code must, in case of need, be
enlarged out of itself, out of the system of law (Rechtssysteme) that it
contains. It does not contain a dead mass of legal materials placed in
conjunction with each other, but instead an organic structure of
innerly related norms. The principles that are basic to the Code
carry the germ of further development in themselves. This
99. Otto von Gierke, Der Entwurf eines 100. Anton Menger, Das bürgerliche
Bürgerlichen Gesetzbuchs und das deutsche Recht und die bestizlosen Klassen (1891).
Recht (Leipzig, 1889).

development is by way of analogy . . . If no result can be reached by this

process of analogy then the decision must be drawn from the spirit of
the whole law considered as one system. To give decisive importance to
the natural law here . . . is precluded because this “law found by an
a priori construction, whose content in each case is only what the
person construing it considers to be true,” does not permit objective
legal norms to be derived from it. Nor can the law varying by territory,
which was in force at the time of the enactment of the Code, or one of
the territorial laws, be considered as a subsidiary law . . . [T]he decision
may not be based on considerations that lie outside of the positive law
(das positive Recht). The factual nature of the relationship must be
placed under the norm which arises logically from the principles basic
to the positive law and from the factual situation considered in its
particularity.101
The drafters claimed to have written a code which could be a complete
and self-contained expression of the entire law. They claimed, like the
French positivists, that all cases could be decided by referring to the Code
alone. That goal, as we have seen, is one that Portalis, who chaired the
committee that drafted the French Civil Code, deemed to be impossible. So
did Savigny, unless, by hard thought, the law could be reduced to a logical
system of concepts in which, there are “leading axioms” “by which the rest
[of the law] may be given,” just as in mathematics, “[i]n every triangle,
there are certain given features from the relations of which all the rest are
deducible.”102 The drafters did not claim the German Civil Code consisted
of leading axioms from which the rest of the law could be deduced as in
mathematics. They said that the Code could be “enlarged out of itself” by
analogy or from “the spirits of the whole law considered as one system.” The
Code was a single system because it was “an organic structure of innerly
related norms.” This inner relationship was not that of logic alone, as in
mathematics, nor did it rest on natural law, nor, as Savigny said of the
Roman texts, was it an expression of the Volksgeist. The drafters said little
more than that the Code contained a system, and that it must contain
a system for all cases to be decided by referring to the Code alone.
iii. Conceptualism in France and Germany

We look back on the nineteenth century as an age of positivism. We
also look back on it as an age of conceptualism. The two are related. For
a positivist, the only source of law is the legal texts in force in a jurisdiction,
whether they are the provisions of codes, or Roman texts, or, in the Anglo-
American common law, judicial decisions. Those texts must be a complete
and self-contained expression of the law. For a conceptualist, the task of
a jurist is to identify and define the fundamental concepts on which the law
rests. Once they are defined, the results in particular cases can be deduced
101. Motive zu dem Entwurfe eines 102. Savigny, Vom Beruf, 38.
Bürgerlichen Gesetzbuches für das Deutsche
Reich 1 (Tübingen, 1888), 16–17.

TRADITIONS 27
from them. Conceptualism thus explained how the texts in force could be
a complete and self-contained expression of the law. Underlying these texts
were fundamental concepts to be identified and defined; the results in
particular cases followed from these concepts.
In the nineteenth century, the French jurists claimed to be interpret-
ing the provisions of the French Civil Code. The German jurists claimed to
be interpreting the Roman texts. Yet they defined the basic concepts of
private law in much the same way. Contract was defined in terms of the
will of the parties. Property was defined as the will of the owner to do as he
chooses with what belongs to him. The nineteenth century jurists thus
developed what we call “will theories” of contract and property. Tort law
was based on the principle that one who harms another’s right through
fault, whether intentionally or negligently, is obligated to make compensa-
tion. The nineteenth century jurists gave little explanation of why one
should owe compensation or what distinguishes fault from chance except
that it is the basis for accountability.
Jurists had always recognized that contracts are entered into by the
will of the parties. For the will theorists, the sole source of the parties’
contractual obligations was the parties’ will, and, again, in principle, these
obligations were unqualified. Civil law had recognized the fault of a party
as a reason he might be liable, but for the nineteenth century jurists,
liability based on fault became an axiom. Jurists had always recognized
that it is characteristic of private property that the owner has the right to
do as he chooses with what he owns. Otherwise the institution would be
meaningless. For the will theorists, however, this right was unqualified in
principle, and it defined the meaning of private property.
The principles just described were congenial to the philosophical liber-
alism of the nineteenth century. For the liberal philosophers, in under-
standing man or society, a key concept was will. Many historians have
assumed that the jurists arrived at these principles through the influence
of philosophical liberalism. Nevertheless, there is no reason to think that
they did.
On even a cursory view, the will theories seem different than other
intellectual movements that stressed individual choice. The views of philo-
sophers, economists, and political liberals were the subject of endless
disputes, no single view winning out. The will theories, in contrast, enjoyed
an easy and universal acceptance. They were espoused by both liberal and
tradition-minded jurists.
Moreover, liberal philosophers differed as to what choice is and why it
is important. Their views were as different as those of Jeremy Bentham
(1748–1832), for whom all choices were made to seek pleasure and avoid
pain, and Immanuel Kant (1724–1804), who believed that all moral choices
were made by disregarding pleasure and pain and doing one’s duty. The
jurists, in contrast, defined contract and property in terms of will without
explaining what the will is or why it matters.
In Germany, Savigny, who was one of the principal architects of the
will theories, was also one of the most philosophical of German jurists. Like

Kant, he said that law exists to protect freedom.103 But neither he nor his
followers rested their theories on a specifically Kantian conception of will.
Similarly, Valérie Ranouil observed in her study of the French will theor-
ists that they seem hostile to philosophy, that they never cite Kant, and
that, until the end of the nineteenth century, they never even speak of the
autonomy of the will.104 She concluded, nevertheless, that the will theor-
ists must have been using the concept of autonomy “without perceiving
it.”105 It would be more reasonable to conclude that the will theorists were
not drawing on the ideas of Kant or any other philosopher as to why the will
was important.
One reason that they reached similar conclusions is that they faced
similar intellectual problems. They were trying to define legal institutions
without regard to the purposes that these institutions are established to
serve. By definition, promises are to be kept; by definition, the owner has
the exclusive right to the use of his property; it is axiomatic that compen-
sation is due for harm caused by fault. Consequently, the jurists encoun-
tered similar difficulties. When legal institutions are defined without
regard to their purposes, one cannot explain why there are exceptions
when the purposes of the rules are not served. There is no way to explain,
in terms of the purposes of these institutions, why sometimes a promise
need not be kept because of changed circumstances, or why compensation
is not due for every harm and sometimes is due regardless of fault, or why
sometimes one may use another’s property even against his will because of
urgent necessity. As we will see, one problem which courts in different legal
systems struggle with is how to escape the difficulties that the will theories
created.
2. The Common Law Tradition

a. The Writ System
The common law is based, not on Roman legal texts or codes, but on
cases decided by judges. Peter Stein has noted that the work of the Roman
jurists and that of the common law judges was similar in that it depended
on the use of particular cases.106 But it would be a mistake to think that the
method of the English judges who founded the common law was like that of
the Roman jurists. They were using their cases in very different ways.
The Roman jurists used cases to clarify the meaning of general con-
cepts such as ownership, possession, fault, sale, and lease. Traditionally,
English judges used cases to determine the boundaries of the writs recog-
nized by the common law courts.
The common law courts were the king’s courts. To bring a case before
them, the plaintiff had to obtain a “writ” from the royal chancellor. If the
plaintiff were denied a writ, it did not mean that he had not been wronged
103. Savigny, System, 1: 331–2. 105. Ranouil, L’Autonomie, 70.

104. Valérie Ranouil, L’Autonomie de la 106. Peter G. Stein, “Roman Law,
volonté: naissance et évolution d’un concept Common Law and Civil Law,” Tulane
(Paris, 1980), 9, 53–5, 79. L. Rev. 66 (1992), 1591 at 1591–2.

TRADITIONS 29
unjustly or that he should not have a remedy. It meant that he could not
receive a remedy from the king’s courts. He must bring his case somewhere
else: in the feudal courts of knights or barons, in the Church courts, in the
courts of a town, in the merchants’ courts.
At first, the chancellor created new writs as new cases arose which, in
his judgment, the royal courts should hear. Eventually, the number of
writs became fixed, so that by the fourteenth century no new writs were
being created. Until the nineteenth century, to obtain relief, the facts of the
plaintiff’s case had to fit one of the existing writs, often called the “forms of
action.”
Common law procedure was divided into two stages. During the first
stage, the parties argued before the king’s judges in London whether the
plaintiff was entitled to a writ, given the facts of his case. If the judges
determined that he was, then the second stage was a trial of the facts in the
locality in which the wrong supposedly had occurred.
In the first phase, the plaintiff alleged that he was entitled to a certain
writ. For example, he might plead that on a certain day at a certain place the
defendant had struck him with a stick, thereby committing “assault and
battery by force and arms in violation of the king’s peace.” On these facts he
would be entitled to a writ of “assault and battery.” If the defendant had
harmed or taken away his goods, he would be entitled to a writ called de bonis
asportatis; if he had entered or harmed the plaintiff’s land, to a writ called
quare clausum fregit, and so forth. The defendant then had three choices. He
could “traverse,” which meant that he could deny the facts that the other
party alleged: for example, that he had ever struck the plaintiff. He could
“demur,” which meant that he could concede the facts of it but claim that he
should prevail anyway. Or he could “plead new matter” which meant that he
could allege additional facts which, if true, might entitle him to prevail: for
example, that he struck the plaintiff with a stick because the plaintiff had
attacked him with a knife. If he pled new matter, the plaintiff then had the
same three choices: to traverse, to demur, or to plead new matter.
The pleading phase ended when one of the parties either traversed or
demurred. If he traversed, the lawsuit went to the second phase: there was
a trial to determine the truth of the facts that were in dispute. If he
demurred, there was no second phase. The judges would decide whether
the plaintiff was entitled to a writ. For example, if the plaintiff demurred
after the defendant alleged that the plaintiff attacked with a knife, the
judges would decide in favor of the defendant. The reason, we would now
say, is that the defendant acted in self-defense. The reason, so far as the
common law judges were concerned, was that on these facts the plaintiff
was not entitled to a writ of assault and battery. The English judges, unlike
the Roman jurists, never developed a substantive law that was sharply
separated from the procedural question of what writ the plaintiff could
bring. As Sir Henry Maine said of the writ system, substantive law was
secreted in the interstices of procedure.107
107. Henry Maine, Dissertations on

Early Law and Custom (London, 1883), 389.

If a party traversed, then a trial was conducted in the locality in which

the wrong had allegedly been committed. Beginning in the thirteenth
century, the procedure was a trial by jury. One of the king’s judges would
appear in the locality, assemble twelve people who lived there, and have
them swear an oath to determine the truth of the facts in dispute. If the
defendant had denied attacking the plaintiff, they would determine
whether he had done so. For centuries, the jury reached its conclusion
without hearing evidence or arguments from lawyers. The jurors lived in
the neighborhood. They were supposed to know what happened.
Later, the procedure was quite different. Only those who had no
previous knowledge of the events in question were allowed to be members
of the jury. They listened to the testimony of witnesses. The parties’ cases
were presented to them by lawyers. The judge would instruct them on the
law before they reached their decision as to which party should prevail.
A lawyer might object the judge’s instructions, in which case the merits of
the objection would be determined by the judges in London. Procedure had
taken its modern form in a trial followed by an appeal, and the appeal by
a judicial decision.
The common law had been the law of the thirteen British colonies
which declared themselves independent in 1776 and became the United
States of America. After the Revolution, the thirteen colonies became
federal states. The common law remained in force in each. In the United
States, the common law remains state law, although some parts of it have
been replaced by federal statutes.
b. Transformation in the Nineteenth Century

i. The Rationalization of the Common Law: From Writs
to Legal Doctrines
The great historian Frederic William Maitland once said that when
the history of the common law is finally written, we will understand how
the common lawyers arrived at “the great elementary conceptions, owner-
ship, possession, contract, tort and the like.”108 He believed that these
conceptions were gradually developed as common law judges decided
whether the plaintiff was entitled to one of the writs or forms of action
recognized in common law. As Charles Donahue has said, “we know
a considerable amount more today than we did when Maitland wrote . . .
What we have learned, however, is puzzling. Relatively little of the history
of the forms of action seems to deal with ‘the great elementary conceptions,’
like ownership, possession, tort and contract.”109 Indeed, it was not until
the nineteenth century that the common lawyers arrived at the “elemen-
tary conceptions” familiar from Roman law: mutual consent in the
108. Frederic Willian Maitland, “Why 109. Charles Donahue, “Why the History
the History of English Law is Not Yet of Canon Law is Not Written,” Selden Society
Written,” in The Collected Papers of Fredric lecture delivered in the Old Hall of Lincoln’s
William Maitland, 1 (Cambridge, 1911), 480 Inn, 3 July 1984 (London, 1986), 6.
at 484.

TRADITIONS 31
formation of contracts; liability for fault as distinct from strict liability in

torts; the protection of possession as distinct from ownership in property
law.
In the nineteenth century, in England and the United States, these
concepts were introduced as part of a great effort to rationalize the common
law. The writ system was abolished. Supposedly, the change merely
affected procedure. The plaintiff no longer had to name the writ under
which he sought relief. He pleaded the facts of his case, and the judges were
supposed to give relief when he would have been entitled to it under any of
the traditional writs. The substantive law was not supposed to change.
Yet the substantive law did change. The traditional writs were
reorganized into categories long familiar in civil law. Writs called “coven-
ant” and “assumpsit” were now classified as contract law. Moreover, for the
first time, the common lawyers said that contracts were based on mutual
assent, that contracts therefore required an offer and acceptance, and that
consent was vitiated by mistake. The writs of assault and battery, de bonis
asportatis, and quare clausum fregit were now classified as remedies in
tort. For the first time, the common lawyers distinguished between liability
based on fault and strict liability, and, distinguished intentional fault from
negligence. For the first time, English courts distinguished clearly between
ownership and possession.110
In this rationalization of the common law, a key role was played by
university professors and the writers of treatises. In 1758, William
Blackstone was appointed the first Vinerian Professor of English Law at
Oxford University. Previously, the common law was not taught in English
universities. They taught civil law. Those who wished to become lawyers
prepared by “reading law” in the offices of lawyers. In 1765, Blackstone
published the first volume of his Commentaries on the Law of England.
Systematic treatises on the law of contracts and torts were only written in
the nineteenth century, among the most influential by Sir Frederick
Pollock (1845–1937).
ii. Positivism and Conceptualism

Along with the legal doctrines borrowed from civil law came the two
approaches to law characteristic of civil law jurists in the nineteenth
century: positivism and conceptualism.
In England and the United States, the authoritative texts were the
decisions of judges. Like the continental lawyers, the Anglo-American
jurists also sought a legal science, and one that owed its certainty to its
grounding in authoritative texts. The decided cases were the law. Judges
and commentators only explained what the cases meant, and if they did
more, they would be making law themselves.
110. The English courts were never in 1865, 1 L.R. 1 Q.B. In that case, the
clear about whether they were protecting court allowed a prior possessor to recover
ownership or possession until the Court of land to which it was clear he did not have
Queen’s Bench decided Asher v. Whitlock title.

The texts were not to be explained without reference to higher prin-

ciples concerning human nature or the end of society. According to
Christopher Columbus Langdell, “Law, considered as a science, consists
of certain principles or doctrines. To have such a mastery of these as to be
able to apply them with facility and certainty to the ever tangled skein of
human affairs, is what constitutes a true lawyer.”111 The principles of this
science were to be found in the decided cases. Sir Frederick Pollock thought
that principles or purposes beyond the law as declared by the state were of
no concern to jurists. “Their business is to learn and know, so far as is
needful for their affairs, what rules the State does undertake to enforce or
administer, whatever the real or professed reasons for these rules may
be.”112 He complained that a book by his contemporary Lorimer, Institutes
of Law, “deals with topics which, according to the English view, may be
philosophical, or ethical, or political, but are distinctly outside the province
of jurisprudence.”113 “The morality of men living in settled societies,”
according to Pollock, was “an existing and sufficiently ascertained fact. It
is for the moralist and metaphysician to analyze it if they can; it is enough
for us that it is there.”114
Positivism took a different form in England and the United States
than in France and Germany. The texts that were authoritative for com-
mon law judges were not the written texts of a Code, as in France, or of
Roman law, as in much of Germany. They were the prior decisions of other
common law judges. These decisions were precedents that the court was
obligated to follow. The transformation in the common law just described
was possible because of the method the common lawyers adopted for
interpreting precedent. The results of past cases were assumed to be
correct, but the principle or rule for which a case stands might be one
never envisioned by the judge who decided that case.
Suppose the facts of a case are a, b, and c, and the judge deciding this
case states a rule: “when the facts are a, b, and c, the plaintiff should
recover.” In a later case, a judge might find for the plaintiff when facts
a and b are present but c is not, and state a different rule: when the facts
are a and b, the plaintiff should recover. In another case, a judge might find
against the plaintiff in a case in which facts a, b, c, and d are present. He
might state still a different rule: when one of the facts is d, the plaintiff
cannot recover. The decision by each of the later judges is logically consist-
ent with the decision by the earlier judge. Each is respecting the outcome of
the first case but explaining it by a different rule. As an American jurist
would say, the law is made by what judges do, not by what they say.
A lawyer is always permitted to distinguish a later case by pointing to
a fact that is present or absent that was not present or absent in the case
111. Christopher Columbus Langdell, Some Recent Contributions to Legal

A Selection of Cases on the Law of Contract Science,” in Frederick Pollock, Essays in
(Boston, 1879), viii. Jurisprudence and Ethics (London, 1882), 1
112. Frederick Pollock, A First Book of at 19–20.
Jurisprudence for Students of the Common 114. Pollock, “Nature of Jurisprudence,”
Law (London, 1896), 26–7. 25–6.
113. Frederick Pollock, “The Nature of
Jurisprudence Considered in Relation to

TRADITIONS 33
already decided. He may argue that the difference calls for a different
result. A judge who agrees is not questioning the precedent established
by the prior case. He is recognizing, however, that the judge in that case
only had the power to decide the case before him. He did not have the power
to say what the result should be on facts he was not confronting. Americans
have always been fonder of this explanation of the force of precedent than
the English, who attach far greater importance to the rule as stated by the
prior judge. Yet the transformation of English law in the nineteenth cen-
tury was only possible because both English and Americans read principles
into decided cases that judges before 1800 did not have in mind.
In one respect, this method of the common lawyers resembles that of
Savigny and his school. The first step was to identify principles which,
according to the common lawyers, explain the results in particular cases,
and which, according to Savigny and his followers, explain particular
Roman texts. For the nineteenth century jurists, in England and the
United States as in Germany, these principles were to be defined in
terms of concepts, and new cases could be resolved by working out the
implications of these concepts.
Again, along with positivism came conceptualism. In the nineteenth
century, Anglo-American jurists defined contract in much the same way as
their continental contemporaries. Contract was defined as mutual
assent.115 As A.W.B. Simpson said, the will of the parties became “a sort
of Grundnorm from which as many rules of contract law as possible were to
be inferred.”116 Fault was held to be necessary for a plaintiff to recover for
bodily harm.117 A property right was defined by Sir Frederic Pollock,
a complete property right was the “exclusive and effective control of
a thing in the highest degree possible, for this includes the power to deal
with the thing, within the bound of what nature allows, at one’s wills and
pleasures.”118
Like the civil lawyers, they did not explain why the law should enforce
the will of the parties, or why a person should be liable for harm he caused
by fault rather than chance. Oliver Wendell Holmes disapproved. He
proposed an “objective” theory of contract in which the will of the parties
did not matter, and denied that tort liability was based on fault. If “a man is
115. James Kent, Commentaries on of the English Law of Contract (London, 1889),
American Law 2 (Boston, 1884), *477; Dodd, 13; L. Hammon, General Principles of the Law
“On the Construction of Contracts – Assent – of Contract (St. Paul, Minn., 1912), 38.
Construction,” The Legal Observer 12 (1836), 116. A.W.B. Simpson, “Innovation in
249 at 249–50; Carey, “A Course of Lectures 19th Century Contract Law,” Law
on the Law of Contract: Lecture I,” The Quarterly Review 91 (1975), 247 at 266.
Law Times 4 (1845), 463 at 505; 117. In the United States, this step was
Theophilus Parsons, The Law of Contracts 1 taken in Massachusetts in 1851 by Chief
(Boston, 1860), *399; T. Metcalf, Principles of Justice Shaw. Brown v. Kendall, 60 Mass.
the Law of Contract (New York, 1878), 14; Sir 292 (1850). In England, it was not taken until
Frederick Pollock, Principles of Contract 1891. Stanley v. Powell, 1 Q.B. 86 (1891).
(London, 1885), 23–4; Stephen Martin Leake, 118. Sir Frederick Pollock, First Book of
Elements of the Law of Contract (London, Jurisprudence, 172–3.
1867), 12; William Reynell Anson, Principles

born hasty and awkward . . . his slips are no less troublesome to his neigh-
bors than if they sprang from guilty neglect.”119
3. Since the Nineteenth Century

a. The Revolt against Positivism and Conceptualism
Since the nineteenth and early twentieth centuries, jurists in both civil
law and common law systems have turned against positivism and
conceptualism.
The mistake of “the traditional method,” according to the French jurist
François Gény, is the idea “that the whole positive legal system is enclosed
in a number of logical categories which are essentially predetermined,
basically immutable, governed by inflexible dogmas, and therefore not
susceptible of adjustment to the varied and changing exigencies of
life.”120 To maintain that the law should consist of categories whose “con-
sequences should be deduced by logically necessary reasoning, could not be
justified unless law were an exact science, such as mathematics . . . .”121
Rudolf von Ihering wrote a satire in which he visited the heaven of the
jurists, which contained concepts so rarefied that they could never exist in
our world, and devices for exploring them such as a hair-splitting machine.
As Matthias Reimann observed, Holmes’ position was like that of
Ihering.122 Holmes denied that legal questions can be “settled deductively,
or once for all.”123 He criticized those who think “that the only force in the
development of law is logic,” “that a given system, ours, for instance, can be
worked out like mathematics from some general axioms of conduct.”124
To claim that the law could be interpreted by formal logic was to ignore
the purposes that rules serve. “Jhering invincibly demonstrated,” Gény said,
that “legal rules and the solutions they provide are essentially determined
by the practical purpose and the social goal of the institutions. Here is their
source, and, one may say, here also is their logic.”125 “Purpose,” Ihering
maintained, “is the creator of the entire law: that there is no legal rule which
does not owe its origin to a purpose, i.e., to a practical motive.”126 Similarly,
according to Holmes, “every rule [the law] contains is [to be] referred articu-
lately and definitely to an end which it subserves and . . . the grounds for
desiring that end are [to be] stated or are ready to be stated in words.”127
The revolt against positivism raised questions that have never been put
to rest among jurists. If the law is not deduced logically from authoritative
sources such as civil codes or common law cases, how do judges decide cases?
119. Oliver Wendell Holmes, Jr., The Jr. 72, 106 (Robert W. Gordon, ed., 1992),
Common Law (1881), 108. 101–3.
120. François Gény, Methode 123. Oliver Wendell Holmes, Jr., “The
d’interpretation et sources en droit privé Path of the Law,” in Collected Legal Papers
positif (Paris, 1899), no. 62. (1920), 167 at 182.
121. Gény, Methode, no. 64. 124. Holmes, Path, 180.
122. Mathias W. Reimann, “Holmes’s 125. Gény, Methode, no. 68.
Common Law and German Legal Science,” 126. Rudolph von Ihering, Der Zweck im
in The Legacy of Oliver Wendell Holmes, Recht (Leipzig, 1884), liv.
127. Holmes, Path, 186.

TRADITIONS 35
If the law is to be understood in terms of purposes, what purposes does the

law serve and how are their implications to be determined?
Accompanying the revolt against positivism was a revolt against con-
ceptualism. It became clear that despite the nineteenth century jurists’
claim to have produced coherent theories, even the law of contract, tort,
and property of their own time could not be explained by the concepts on
which these theories were built. As in the case of positivism, however, no
generally accepted alternative has emerged to take its place. There is no
generally accepted theory of private law. As Grant Gilmore said, speaking
of contract law, the systems have come unstuck, and we see, at present, no
way of sticking them back together.128 We will see how, in resolving cases
on property, tort, and contract law, courts in both civil and common law
systems have reached results that the nineteenth century theories could
not explain, and how they have done so without any new generally accepted
theory to guide them.
b. The Emergence of Comparative Law

Underlying the revolt against both positivism and conceptualism was
the need to explain law in terms of the purposes that it serves. This quest
for the purposes that underlie formal rules has inspired the leading
approach to comparative law: functionalism. Often, when one compares
different legal systems, one can see that courts arrive at similar results
even though they are interpreting different authoritative sources of law
and even when these sources contain different rules. One then suspects
that their decisions are better understood as responses to common prob-
lems rather than as inferences from formal rules. What then seems to
matter to the judges is not the authoritative texts or the formal rules but
the purposes that the law serves.
The functionalist approach to comparative law attempts to identify
such common purposes. For Konrad Zweigert and Hein Kötz, authors of the
best known treatise on comparative law, “[t]he basic method of all com-
parative law is that of functionality.”129 According to Zweigert, “the legal
system of every society faces essentially the same problems, and solves
these problems by quite different means though very often with similar
results.”130 If a scholar finds no functional equivalent of a rule in a foreign
legal system, he should “check again whether the terms in which he posed
the original question were indeed purely functional, and whether he has
spread the net of his researches quite far enough.”131
128. Grant Gilmore, The Death of 131. Zweigert and Kötz, Introduction,
Contract (Columbus, OH, 1974), 102. 40, although Zweigert also noted that
129. Konrad Zweigert and Hein Kötz, sometimes “the need to which institution
Einführung in die Rechtsvergleichung aus X responds is met in foreign law by results
dem Gebiete des Privatrechts (3rd edn., produced by heterogeneous techniques
Tübingen, 1996), trans. Tony Weir, which are impossible to compare with our
Introduction to Comparative Law (3rd edn., institution X, or, again, quite simply, by
Oxford, 1998), 4. custom.” Konrad Zweigert, “Méthodologie
130. Zweigert and Kötz, Introduction, 35. du droit comparé,” in Mélanges offerts à
Jacques Maury (Paris, 1960), 579 at 590.

In examining the private law of civil law and common law systems, we
will often see courts deviating from the texts of civil codes or from prece-
dent to solve such problems. Sometimes they will reach similar results.
Sometimes they will reach different results because there are different
ways in which the same problem may be solved, each with advantages
and disadvantages of its own.
By itself, however, a functionalist approach to comparative law is
incomplete. Sometimes, although a problem may be the same, the values
prevalent in a culture explain why a legal system adopts one approach
rather than another. An example, as we will see, is what to do when the
protection of freedom of speech conflicts with the protection of personal
dignity or privacy. American law typically will protect freedom of speech
and French and German law typically protect privacy. We will see differ-
ences between Western and Chinese law that are due to differences in
which values are preferred. A cultural approach to comparative law is
not in conflict with the functional approach. Both of them are concerned
with what problem the law wishes to solve. The cultural approach empha-
sizes, quite rightly, that sometimes there is neither one right solution nor
can one explain differences in the law as though there were a value neutral
way to weigh the advantages and disadvantages of one solution against
another. There are preferences among values, and it is shared preferences
that enable us to speak of a culture.
Yet another approach is historical. There are some differences
between legal systems that can only be explained by what is sometimes
called “path dependence.” Legal systems may end up at different points
because they started at different points, even though, along the way, they
pursued similar purposes and shared similar values. An historical account
does not conflict with a functional or cultural account of the differences. An
historical account explains the development of legal systems in terms of
purposes and value. It recognizes, however, that often one cannot under-
stand the differences in legal systems today without looking backward to
where they have been. That is one reason that this book starts with a look
backward.
B . C HI N A
1. Law in Imperial China
Perhaps the longest living civilization and the country with oldest
continuous history in the world, China has developed a distinct legal
tradition that differs from the West. There was no clear separation of
powers between different branches of government. In principle, and, for
much of its history, in practice, China was ruled by an emperor. In prin-
ciple, though often not in practice, he could not exercise unbridled discre-
tion. He ruled through officials who were supposed to counsel him and if
need be oppose him. His legitimacy was thought to depend on the mandate
of heaven (天命) which he could lose if he acted unjustly.

TRADITIONS 37
Another difference is that law, even private law, was primarily con-
cerned with punishment of those who violated social norms. It was less
concerned with defining these norms than determining the appropriate
degree of punishment for violating them.
a. Law versus Li
Two leading schools of philosophy differed over the role of law: the
legalist school and the Confucian school. The legalist school, developed by
Lord Shang and Han Feizi, saw an inherent value in the consistency,
uniformity, and harshness of the application of law. Reward and punish-
ment should be implemented strictly in accordance with the law without
taking any moral considerations into account.1 It was popular during the
Warring States period (476–221 BC), and prevalent during the first short-
lived dynasty to unite China: the Qin (221–206 BC).
The school of Confucianism emphasized the teaching of moral values
and downplayed the importance of law. The ultimate end of the society is to
nurture and educate its citizens to behave freely and voluntarily in accord-
ance with li, (礼), the conduct appropriate in recurring social relationships,
often translated as “propriety.” If they were to do so, law would not be
needed. Therefore, law was relegated to penal codes. Confucianism was
first accepted as the official philosophy by Emperor Wu (141–87 BC), the
fourth emperor of the Han Dynasty (206–220 AD), and by many dynasties
thereafter. It provided the moral standards that were supposed to prevent
the emperor from exercising unbridled discretion.
Whether one looks to the penal codes or the teachings of Confucianism,
clear rules and principles of contracts and property were nowhere to be
found. Rules of tort law were subsumed under the law of punishment.2
Li was a body of rules regulating conduct, which emphasized morality
as the foundation of society3 and imposed obligations among citizens
according to their social status.4 The content of li characteristically
depended on a person’s status in his family, in his clan, in the neighbor-
hood, in the official hierarchy, and in the state.5 The position a person
possessed depended on his age, sex, career, family position, and employ-
ment. The differences in status created relationships between people, and
the society was structured on the basis of such relationships. Both legalism
and Confucianism agree that a well-ordered society consists of the relation-
ships of three cardinal guides (三纲).6 In such relationships, ruler guides
1. Geoffrey MacCormack, The Spirit of 4. See Jianfu Chen, Chinese Law:

Traditional Chinese Law (Athens, Context and Transformation (Leiden, 2008),
GA,1996), 4. 12.
2. See Zeng Xianyi, The Legal History of 5. See Comments of Zuo eighteenth year
China [Zhongguo Fazhi Shi] (Peking, 2005), of Zhuanggong [王命诸侯，名位不同，礼亦异
1. Some Western scholars argued that the 数《左传庄公十八年》].
Chinese legal tradition can only be traced 6. See Han Fei Zi, Royal and Filial [忠
back to the Shang dynasty (seventeenth 孝]; see also Tung Chung-shu [Dong
century BC – eleventh century BC). See Zhongshu] Luxuriant Dew of the Spring and
ibid. 2. Autumn Annals [春秋繁露].
3. See Daniel C.K. Chow, The Legal
System of People’s Republic of China
(Eagan, MN, 2009), 40.

ministers and subjects; father guides son; and husband guides wife. These
are unequal relationships entailing mutual but different obligations.
The subjects/ ministers were to be loyal to the ruler, rulers were to
nourish his subjects and respect and listen to their remonstrance. The
son was to be filial, but the father was to love and protect him. The wife
to be submissive and obedient, and the husband was to respect her
position as wife.7
According to Confucius, a wise and noble man (junzi) should be aware
of such a natural order and hierarchy rather than disturb the balanced
harmony of the world. People are expected to follow the “li” freely and
voluntarily by reason of their education. Ideally, law could be replaced by
the proper teaching of morality and Confucianism.8 Law and punishment
would not be needed if everyone in the society were properly educated.9
Confucius refused to punish or kill people who were not.10 The next gener-
ation of Confucian philosophers Xun Zi (or Hsun Tzu) and Tung Chung-shu
held similar views that when education is proper, every citizen will obey
the law and no one would be punished.11
Confucianism recognized the differences between noble and humble
and the dependence of social propriety (li) on a person’s status (“When
status is different, li is different accordingly”).12 Law functioned as
a regulatory tool applicable mostly to “barbarian” people,13 and physical
punishments became available only when li was broken and conscience
failed. The old Chinese saying “Chu Li Ru Xing” (出礼入刑) means “outside
the li are punishments.”14
Other than regulating conduct outside the jurisdiction of law, li also
modified the rigidity of written law with flexibility and exceptions. Li was
regarded as a source of authority in the court of law.
Starting in Han Dynasty, in cases in which there was no applicable law
in the statutes, Confucian classics were cited as authority in determining
the guilt and the appropriate degree of punishment.15
b. Distributive Justice versus Commutative Justice

In the West, scholars had comparatively little to say about what
Aristotle called distributive justice, even the members of the natural law
schools who drew heavily on Aristotle. As we have seen, they had a great
deal to say about commutative justice. Roman law was almost exclusively
7. See MacCormack, Spirit of Traditional 12. Zuo Qiu Ming [左丘明], Zuo Zhuan
Chinese Law, 8. [Zuo’s Commentaries] eighteenth Year of
8. See ibid. Confucius advocated the use Zhuan Gong.
of good morals to change people [Yi De Hua 13. See Ch’ü, Law and Society, 250.
Ren]. 14. See The Book of Han Dynasty,
9. See Ch’ü T’ung-tsu, Law and Society “Biography of Chen Chong” [汉书陈宠传].
in Traditional China (Buffalo, NY, 1961), 15. See Zeng, Legal History of China,
249–50. 117. One famous principle in determining
10. Ibid. the guilt by Confucius classics is the
11. See ibid. 250. “principle of Chun Qiu.” Chun Qiu is
a Confucianism classic.

TRADITIONS 39
concerned with the rights and duties of one citizen to another. As we have
seen, the late scholastics explained as much of Roman law as they could by
drawing on Aristotle’s discussion of private property and his distinction
between commutative justice in voluntary and involuntary transactions
between citizens.
In China, as we have seen, law was concerned, not with identifying the
rights and duties of individuals, but with punishments and their appropri-
ateness to the offense committed. Confucianism discouraged litigation
between private persons. One of the most important Confucian principles
did concern how each person should treat others. Confucius said, “What
you do not want done to yourself, do not do to others.”16 Mencius, the most
influential Confucian teacher aside from Confucius himself, called this the
principle of shu or “reciprocity.”17 But Confucian scholars did not try to
work out in detail the implications of this principle. Consequently, they
had little to say about what Aristotle called commutative justice.18
Moreover, Confucianism discouraged litigation between private persons.
In contrast, Confucian scholars had much to say about what Aristotle
called distributive justice.19 They regarded society in the way Aristotle
said is to be expected in an aristocracy. It is a hierarchical order in which
the good and wise should receive in proportion to their merit. When one
becomes a person of great virtue through self-cultivation, he should be
awarded prestigious social status and appropriate property status. One
of the Confucian Classics, the Doctrine of the Mean, provides that: “a great
mind (or a mind with great virtue) shall get the status that he deserves, the
wage that he deserves, the fame that he deserves, the longevity that he
deserves.”20 Nevertheless, each person ought to receive a share that would
enable him to fulfill his responsibilities and not tempt him to steal simply
in order to live.
Mencius described what the government should do to ensure that each
person had a fair share. It should “make the taxes . . . light, so the people
may be made rich.”21 Ideally, the amount paid in taxes would be about
a tenth.22
To limit taxes and to ensure that farmers had an adequate amount of
land to farm, Mencius proposed an ideal program, the “nine squares”
system, which few Chinese governments ever tried to implement. Parcels
of land would be divided into nine squares, like a drawing for tic-tac-toe.
One family would farm each of the eight squares. The ninth would be
cultivated in common and the produce paid as taxes.
16. Analects 15.24. August 15, 2019; the link is no longer

17. Mencius 7A4.3. available).
18. See generally Deng Feng, Corrective 19. Ibid. 30. Maintaining the system or
Justice in the Confucian Legal big principles should be at costs of tolerating
Tradition: A Non-existent Concept, working “minor conflicts or loss” in the enforcement of
paper at Harvard-Yenching’s Confucianism law.
Workshop in Cambridge, www.lawschool 20. See ibid. 18.
.cornell.edu/international/clarke_program/ 21. Mencius 7A23.1. See ibid. IA5.3.
conferences/upload/dengfeng.pdf (accessed 22. Mencius 3A3.6–7.

A square li covers nine squares of land, which nine squares contain

nine hundred mu. The central square is the public field, and eight
families, each having its private hundred mu, cultivate in common the
public field. And not till the public work is finished, may they presume
to attend to their private affairs.23
The program required a periodic redivision of land to make sure each
family was provided for. The redivision had to be entrusted to officials.
Mencius himself noted the danger of corruption.
If the boundaries be not defined correctly, the division of the land into
squares will not be equal, and the produce available for benefits will
not be evenly distributed. On this account, oppressive rulers and
impure ministers are sure to slight this defining of the boundaries.24
Mencius was asked whether it would not be better if only a twentieth of
the produce were collected in taxes. He answered that it would undermine
the system in which a higher place was accorded to some than to others
and the corresponding advantages. The principality of Mo had such a tax
rate. Consequently, in Mo:
There are no fortified cities, no great houses, no ancestral temples, no

ceremonies of sacrifice; there are no princes requiring coins, silks,
banquets, no hundred officers with their subordinates. On that
account a tax of one-twentieth is sufficient there.
But now we live in the Middle Kingdom. To eliminate proper rela-
tionships among men and have no junzi; how could that be acceptable?
With but few potters a kingdom cannot subsist; – how much less can
it subsist without chű n tzu? 25
Each family was to have an adequate living, but those who held
a higher rank were to receive proportionately more. In the Chou dynasty,
which Mencius idealized, he claimed that the empire had been divided into
states of varying sizes. The amount a person received depended on the size
of the state and his rank within it. For example:
In a great State, where the territory was a hundred lî square, the ruler
had ten times as much income as his chief ministers; a chief minister
four times as much as a great officer; a great officer twice as much as
a scholar of the first class; a scholar of the first class twice as much as
one of the middle; a scholar of the middle class twice as much as one of
the lowest; the scholars of the lowest class, and such of the common
people as were employed about the government offices, had for their
emolument as much as was equal to what they would have made by
tilling the fields.26
Kings, officials, and scholars were more worthy, and so they should
receive more. Yet they did not receive so much more as to shock even
23. Mencius 3A3.19. 25. Mencius 6B10.6.

24. Mencius 3A3.13. 26. Mencius 5B2.6.

TRADITIONS 41
a member of our supposedly more egalitarian society. For purposes of

comparison: the average family income in America is just short of
$60,000, and that of course is the median, not the bottom. If we imagine
that amount to correspond to the earnings of Mencius’ ordinary farmer,
then, in the society he is describing, a scholar of the lowest rank would
receive the same amount. A scholar of the next rank would receive
$120,000, which is the salary of a curator at a leading art museum, and
somewhat below that of a musician playing with a prominent orchestra or
the average university professor or state governor, and somewhat above
that of the average journalist for the New York Times. A scholar of the first
class would receive $240,000, which is approximately the salary of the
conductor of a prominent orchestra, a leading scholar at a major university,
a mid-level editor of the New York Times, a well-known columnist, or
a Supreme Court Justice. The great officers would receive $580,000, the
salary of the president at a prominent university or the director of a leading
museum, and nearly one and a half times that of the President of the
United States. The few richest men, the chief ministers, would receive
$2,240,000, a level reached by only the highest paid university presidents
and some news anchors, a few of whom receive several times that amount.
It is an unequal division of wealth but not so different than our own, so far
as these occupations are concerned, although, by comparison, we grossly
underpay those in government.
We have been considering, however, only jobs in education, govern-
ment, art, and journalism. Top jobs in business and law pay more. $120,000
is below the starting salary for someone with an MBA from a top school or
a JD joining a top law firm. $2,240,000 is half the compensation of a partner
at a leading law firm, and one-fifth that of a CEO at a major company.
c. The Responsibility of the Family versus that of the

Individual
Monetary damage is a universal remedy for torts. However, what would
happen in a society where the tortfeasor does not own property on his own? In
imperial China, property was owned by the household and managed by the
head of the household. The parental authority over the child’s property can be
summarized as prohibitions against “bie ji yi cai” (别籍异财) – establishing
a separate household and alienating family property.27
Chinese traditional law subordinated individual rights and interests
to those of the family. Accordingly, family members bore legal responsibil-
ities jointly and the head of household controls the personal and property
rights of the members within the household on behalf of the family.
The concept of family was the fundamental concept in Confucianism
and the concept of state was just an extension of that of family. “Individuals
were no more than members of a family or a social group; there was little
significance in their separate existence, least of all the appreciation of
27. See for example, art. 155 of the Tang 徒三年]; see also art. 87 of the Great Qing
Code [诸祖父母、父母在而子孙别籍异财者， Code.

liberty and individual rights.”28 As a result, the head of household, usually

the husband, possessed the absolute parental authority over children’s
property and civil liberty. Thus, children had virtually no rights before
their elders and a subject could assert no rights against the emperor.
Throughout Chinese history, children regardless of age were prohibited
from being non-filial or disobedient to their parents and grandparents,
alienating the property out of the household, or having their own property,
getting married without both parents’ approval and a marriage broker’s
official set up.29
d. A Law of Punishments
As mentioned earlier, traditional Chinese law was concerned with
punishments. The courts followed an elaborate procedural law which was
aimed at determining whether the accused was innocent or guilty. It
included the examination of witnesses and a series of appeals. Like
Western procedure before modern times, it also allowed the use of torture.
The substantive law was concerned with determining the appropriate
degree of punishment for the crime of which the accused was convicted.
These features were in place before Confucian ideas exercised any
influence. They date back to the kingdom of Qin which unified China by
conquest. The rulers of the Qin were notoriously anti-Confucian. As men-
tioned earlier, they were influenced by a philosophy called “legalism” (fa
jia) which deprecated traditional morality and taught that the sole goal of
government was to strengthen the state and its ruler.
Some modern scholars have called the legalist philosophy
Machiavellian or totalitarian at least in spirit. Yet the objectives of Qin
law were not those one would expect of a Machiavellian or totalitarian
regime. Totalitarian regimes have not cared greatly about the actual guilt
or innocence of those under suspicion or about the appropriate degree of
punishment. Nor did Machiavelli.
What we know about Qin law was written on strips of bamboo exca-
vated in 1975 from the tomb of a third-century official who had his law book
buried with him. Their laws were the basis of a code, or collection of laws,
promulgated in the Han dynasty almost immediately after the overthrow
of the Qin. According to the dynastic history of the Han, in about 200 BC,
“Hsaio Ho [Xiao He] gathered together the laws of the Qin . . . choosing
those which were suitable for those times . . . .”30 As mentioned earlier,
Confucius’ teachings were adopted as official state doctrine under Emperor
Wu, a process in which the emperor’s advisor Tung Chung-shu
(179–104 BC), played a key role.31 Tung supplemented the Code with
28. See Chen, supra note 4, at 12. 30. Han shu 23.12a, quoted in
29. See Paul G. von Mollendorff, The A.F.P. Hulsewé, Remnants of Han Law
Family Law of the Chinese (Shanghai, (Leiden, 1955), 26.
1896), 42. 31. Wing Tsit-chan, A Sourcebook in
Chinese Philosophy (Princeton, 1963), 271.

TRADITIONS 43
a collection of 232 cases based on the Confucian classic, the Spring and
Autumn Annals, the Ch’un ch’iu chüeh-yü (春秋决狱).
Little is known about Han law. Only fragments survive. After studying
them intensively, Hulsewé concluded that “Han law is the outcome of two
streams of thought.” One was “very matter-of-fact . . . practical and polit-
ical, with raison d’etat as its primary motive.” It was based on “adminis-
trative and legal rules of the [Qin] empire, . . . rules [which] had the very
practical purpose of maintaining the stability of government and of
increasing its power by means of detailed regulations affecting the behav-
ior of its subjects.”32 The other was “Confucian,” but of the sort Hulsewé
called “imperial Confucianism,” which incorporated cosmological ideas
about the order of the universe espoused by Tung.33
After the fall of the Han, China was divided into three kingdoms. In one
of them Wei, the king, ordered two Confucians to revise the Han Code. He
promulgated their new code, the Xin Lü or Wei Lü, which has been lost. It
reduced the severity of punishments. It also added a section that survived
into later codes which we will discuss later. It was a Confucian innovation
called the “Eight Deliberations,” which described the circumstances in
which the normal punishment for an offence should be reduced.34
A further step toward the “Confucianization of the law” (Hulsewé’s
expression) was taken in the Northern Wei dynasty (386–584) when the
Emperor Xiao Wendi modified the punishments for certain crimes to reflect
Confucian principles: for example, breaches of filial piety were punished
more severely.35
A further step was the promulgation of the Kai-Huang Code (Kai
Huang Lü) by the Emperor Yang Jian (Wendi or Wenti) when China was
reunified under the short-lived Sui dynasty (581–618). That code further
reduced the severity of punishments. It also added a section called the “Ten
Abominations,” which described the circumstances in which the normal
punishment for an offence should be increased.
These developments culminated in the Tang Code, which became
a model for all later codes. Its most celebrated version was promulgated in
653. Its text has survived. It served as a model in Japan and Korea. It was
adopted with only minor changes by the Sung and revised by the last two
Chinese dynasties, the Ming and Qing. As Brian McKnight noted, “[t]he
penal laws of the Sung . . . are virtually identical in style and form with their
predecessors and their successors.”36 Thirty to forty percent of the articles of
Qing Code were borrowed unchanged from the Tang.37
The Tang Code, like the Han Code, combined two streams of thought.
One went back to the Qin. The other was Confucian. We can see the
32. Hulsewé, Remnants of Han Law, 5. 36. Brian E. McKnight, “Patterns of Law
33. Hulsewé, Remnants of Han Law, 5. and Patterns of Thought: Notes on the
34. John W. Head and Yanping Wang, Specifications (shih) of Sung China,”
Law Codes in Dynastic China A Synopsis of Journal of the American Oriental Society
Chinese Legal History in the Thirty Centuries 102 (1982), 323 at 323.
from Zhou to Qing (Durham, NC, 2005), 109. 37. Wallace Johnson, “Introduction,” in
35. Head and Wang, Law Codes in The Tang Civil Code 1 (Wallace Johnson,
Dynastic China 111–12. trans., Princeton, 1979), 9.

influence of Qin law by comparing the Tang Code with those remnants of
Qin law that survive. We can see with Qin law, the “primary motive” was
not, as Hulwesé said, “raison d’etat” or even “maintaining the stability of
government and . . . increasing its power,” although that is the purpose one
would expect given the legalist philosophy to which the regime subscribed.
The Qin and Tang drafters and commentators on law put a lot of hard
thought into determining when one person was more deserving of punish-
ment than another. In the surviving fragments of Qin law and in the Tang
Code, the fruit of this thought was presented in much the same way: as
a description of cases, each with a conclusion as to the appropriate punish-
ment. There is no systematic organization to these cases. There is no
attempt to group them under principles which are arranged hierarchically
under higher level principles. Principles are stated infrequently, and they
are not presented as reasons why one offence deserved greater punishment
than another. They are generalizations based on specific cases, and the
results appropriate in these cases are worked out by comparison and
analogy to others.
Yet the texts show, not the absence of legal reasoning, but a different
kind of legal reasoning.
For example, in the texts concerning theft, the punishment deemed to
be appropriate depends on the “illegitimate profit” made by the thief. The
texts do not define “illegitimate profit” or explain how it is to be determined.
They describe specific cases. They ask what is to be done if the object stolen
by the accused was worth over 660 cash at the time of the theft but worth
only 110 at the time of trial. The answer: the accused was to be punished for
a theft of over 660.38 Suppose the value was 110 at the time of the theft but
660 at the time of trial. Then the accused should suffer the lesser punish-
ment, and officials who had punished him to a greater extent were them-
selves to be punished for doing so.39 The Tang Code provided more generally:
“All cases of assessing the value of illicit goods do so according to the value of
the articles at the time and place of the offense in terms of the set price of the
highest grade of silk.”40 In particular: “Assessment of the value of such
things as boats, grinding mills, warehouses, and wholesale stores is accord-
ing to the rent at the time of the offense.”41
Whether punishment should depend on the value of what the thief
actually stole or what he intended to steal was a more difficult question.
Neither Qin law nor the Tang Code posed the question in general terms.
They described how a thief was to be punished in particular cases, and
their answers differed. Suppose someone stole a goat with a rope attached,
and that the value of the goat warranted one punishment while the value of
the goat and the rope combined warranted another more severe one.
According to the Qin texts, he should receive the lesser punishment if his
“attention was on the goat he stole, not the rope.”42 Suppose “there is
38. Hulsewé, Remnants of Qin Law, D 27. 41. Tang Code art. 34.3.
39. Hulsewé, Remnants of Qin Law, D 28. 42. Hulsewé, Remnants of Qin Law, D 24.
40. The Tang Code (Wallace Johnson,
trans., Princeton, 1979), art. 34.1

TRADITIONS 45
a robbery of a mare and her foal follows her.” According to the Tang Code,
“the foal’s value is included in the punishment.”43
Since the punishment depended on the harm done by the perpetrator,
when several perpetrators were responsible, the question arose how much
of the harm to attribute to each. Suppose A and B steal 800 cash from
C. According to the Qin texts, if they planned the crime together, each is to
be punished as though he had stolen 800. But if A and B each went to rob C,
and met for the first time just before the robbery, and each took 400 from C,
A and B are to be punished as though each had stolen 400.44 Suppose A, B,
C, and D planned together to beat or wound someone. According to the
Tang Code, the punishment of each person is based on the harm done by
the heaviest blow struck. If the heaviest blow broke a limb, the one who
struck that blow receives the punishment from breaking a limb, which is
three years of penal servitude. For the original plotter, if he did not strike
that blow, the punishment is one degree less: two-and-a-half years. For the
others, it is two degrees less: two years.45 But suppose they did not plot
together. Then each person is liable for the harm that he did himself: the
person who broke a limb is punished by three years of penal servitude, the
one who broke a finger by one year; the one who beat him without causing
a wound with forty blows with the light stick.46
Most of the texts deal with how the perpetrator of a crime is to be
punished. A few deal with what the perpetrator owes the victim. Again,
that question was addressed by describing particular cases. A robber must
give back what he stole, but suppose “he sells what he had robbed, thereby
buying other things?” If so, according to the Qin texts, “all are given back to
the owner” of the stolen goods.47 Suppose the robber stole the victim’s
clothes, sold them for money, and used it to buy cloth. Can the owner
claim both the cloth and the clothes? He can only claim the cloth.48
According to the Tang Code, in “all cases . . . in which the illicit goods are
still in existence, return them to the . . . owner.”49 “If there has been an
exchange for other goods . . . the illicit goods are still considered to be in
existence.”50 Suppose, however, “a robber takes another’s goods and art-
icles through trade or loan and gets a profit?” The profit does not go to the
original owner because “this is due to the efforts of the later possessor and
not the original owner.”51
The texts do not state the principles at stake or explain why they
should be applied to reach a certain result. Yet the texts show, not the
absence of legal reasoning, but a different kind of legal reasoning, one that
rests on seeing similarities without analyzing what they are or why they
are important. Those who formulated the texts decided, after careful
thought, the punishment appropriate to a particular offence by considering
43. Tang Code Commentary 300.2. 48. Hulsewé, Remnants of Qin Law,
44. Hulsewé, Remnants of Qin Law, D 10. D 20.
45. Tang Code Subcommentary to art. 49. Tang Code art. 33.1a.
308.1. 50. Tang Code Commentary to art.
46. Tang Code Subcommentary to art. 33.1a.
308.2. 51. Tang Code Query & reply to art.
47. Hulsewé, Remnants of Qin Law, D 20. 33.1a.

those prescribed for others. The magistrate deciding a new case would
carefully consider which texts described a case most like his own.
The objective of Qin law and the Tang Code was to punish each offence
consistently with the punishment meted out for others. It was not, how-
ever, to provide rules for determining what conduct constituted an offence.
As Langlois noted, “Chinese codes do not set forth the definition of crimin-
ality that they enforced.”52
For example, in both, many provisions deal with stealing property or
cultivating land that is not your own. None directly address the question of
when goods or land are deemed to be one person’s property rather than
another’s or when if ever one person can use another’s property without
committing theft.
The Tang Code provides that “in cases of taking and giving without
consent, the illicit goods that have been extorted are all returned to the
owner.”53 “Taking and giving without consent refers to such crimes as
threats [and] fraud . . . .”54 “All cases of obtaining . . . goods by fraud or
cheating are punished as comparable to robbery.”55 But what constitutes
“fraud and cheating”? One is only told: “Fraud means cunning and deceit.
Cheating means falsity and deception.”56 Although other general provi-
sions in the Tang Code are explained by describing specific cases, these
provisions are not.
Under both Qin law and the Tang Code, when a person was wounded
or killed, it mattered whether the perpetrator acted intentionally.
According to the Qin texts, killing or wounding is to be punished more
severely when the killer acted under premeditation or tsei (zei, 贼), which
A.F.P. Hulsewé translated in various ways: “intentionally,”57
“murderously,”58 or “with murderous intent.”59 The texts say only that
killing or wounding a person tsei is different to killing him tou (鬬/斗杀),
and that the latter happens typically when a fight breaks out
spontaneously.60 It is comparable to murder in the heat of passion. The
Tang Code also distinguished between killing someone in an affray61 and
doing so intentionally (故杀).62 According to the Code, however, one who
killed another in an affray might have acted intentionally63 although we
are not told when.
The Tang Code dealt with harm done negligently or accidentally in
a few discrete and separate articles. If a husband kills or wounds his wife or
she kills or wounds his concubine “by accident, there is no punishment
because there is no evil intent.”64 If a wife or concubine kills or wounds
a husband “by accident” then “[a]ccidental killing or wounding reduces the
52. John D. Langlois, “‘Living Law’ in 58. Hulsewé, Remnants of Qin Law, D 60.
Sung and Yüan Jurisprudence,” Harvard 59. Hulsewé, Remnants of Qin Law, D 71.
Journal of Asiatic Studies 41 (1981), 180. 60. Hulsewé, Remnants of Qin Law, D 71.
53. Tang Code art. 32.2. 61. Tang Code art. 306.1a.
54. Tang Code Subcommentary to art. 62. Tang Code art. 306b.
32.3. 63. See Tang Code art. 306b,
55. Tang Code art. 373. Subcommentary to art. 3061a.
56. Tang Code Subcommentary to art. 64. Tang Code Subcommentary to art.
373. 325.4.
57. Hulsewé, Remnants of Qin Law, D 35.

TRADITIONS 47
penalty by two degrees.”65 “All cases of recklessly driving carts or racing

horses through the streets and lanes of cities are or where there are groups
of people without any reason are punished by fifty blows of the light
stick.”66 “All cases of shooting arrows at city walls, homes of officials or
private persons, or highways are punished by sixty blows with the heavy
stick.”67 “All cases of setting a trap that throws a spear or of digging a pit
are punished by one hundred blows with the heavy stick”68 but “[i]t is
permissible to set traps that throw spears and dig pits deep in the moun-
tains and marshes” as long as a sign is posted.69 Each of these articles
provides that if someone is killed or wounded as a result, the punishment is
one degree less than for wounding in an affray.70 “All cases of accidentally
starting a fire in a field or of burning a field at the wrong time of year are
punished by fifty blows with the light stick.”71 “All cases of doctors who fail
to follow the correct prescription in compounding medicine or make
a mistake in the label or the use of the needle so that a person is killed
are punished by two and one-half years of penal servitude.”72
We can now better understand the traditional Chinese view that there
was no need for the people to know the provisions of the law or to consult
lawyers who knew them. In the Song dynasty, private persons were prohibited
from printing or copying the Code or any other laws, although the prohibition
was eventually abolished. According to Ichisada Miyazaki, “[t]he theory was
that, if the people knew the law, they could devise ways to circumvent it. The
people’s duty was simply to obey the doctrines of Confucianism.”73 The object
of the Code, however, was not to provide rules for determining what conduct
would be deemed wrongful. Indeed, one of the offences in the Tang and later
codes was “doing that which ought not to be done.” According to Article 450 of
the Tang Code, “All cases of doing what ought not to be done are punished by
forty blows with the light stick.” A subcommentary explained that “[i]f there is
no provision in either the Code or the Statutes . . . and there is no text to which
analogy can be made, then . . . the circumstances of the crime are weighed to
decide a punishment. So this article was established with a view to supple-
menting omissions and deficiencies.”74
By consulting the Code, a person was unlikely to find loopholes in the
definitions of what conduct could be punished. He could, however, calculate
and minimize the risk of being severely punished. He could determine the
largest amount he could steal without incurring a greater punishment, or
whether he would be punished less if he stole secretly or by force or by
fraud. Chinese lawmakers saw little point in informing wrongdoers how to
get off more lightly. In the United States, where all laws must be made
public, and ex-post facto laws are constitutionally prohibited, a criminal
65. Tang Code art. 326.1c and 72. Tang Code art. 395.1.
Subcommentary. 73. Ichisada Miyazaki, “The
66. Tang Code art. 392.1a. Administration of Justice during the Sung
67. Tang Code art. 393.1a. Dynasty,” in Essays on China’s Legal
68. Tang Code art. 394.1a. Tradition (Jerome Alan Cohen, R. Randle
69. Tang Code art. 394.2a. Edwards, and Fu-Mei Chang Chen, eds.,
70. Tang Code arts. 392.1c, 393.1c, Princeton, 1980), 56, at 58.
394.1b. 74. Tang Code Subcommentary to art.
71. Tang Code art. 430.1a. 450.

may still receive a higher punishment under a statute enacted after the
crime that increased the punishment. He has no right to know in advance
how much he will be punished.
He does have a right to know in advance what conduct is prohibited,
and in the United States and in many other countries, that right is
regarded as part of the rule of law. The traditional Chinese attitude toward
the rule of law was different. The Chinese subject was not informed in
advance of what sort of wrongdoing was subject to punishment. He was
supposed to know without consulting the law whether he was behaving
rightly or wrongly. But by the same token, in traditional China, unlike the
United States, he was unlikely to be punished for breaking a law he had
never heard of prohibiting seemingly innocent conduct, and to be told that
his ignorance of that law was no excuse. According to the traditional
Chinese view, to be treated fairly, a rule of law must prescribe
a punishment so that the punishment is proportional to the wrong com-
mitted. Under the traditional English common law, all felonies were pun-
ishable by hanging. In the United States, punishment depends on a vague
set of sentencing guidelines and the discretion of a parole board. It is not
true that in traditional China, unlike the West, there was no rule of law.
Both traditions rest on underlying ideas of fairness and the need for legal
rules. But these ideas are different.
2. Law in Modern China

a. The Early Twentieth Century
The Codification Process

The idea of Westernizing of Chinese law arose at the end of the Qing
Dynasty (1644–1911). Immediately, the choice was made to adopt continental
European civil law. Modernization of the law was deemed a last resort to save
the Qing Dynasty, and at the same time forced by the foreign powers in order
to “achieve maximum protection for their citizens and property interests in
China; and to make optimum use for their own benefit.”75 China had seen its
neighbor Japan prosper by modernizing its legal system, modeling it on
German law. Also, civil law was believed to be far more systematic and easier
to navigate than common law. In 1901, China started drafting the first civil
code of China – the Draft of Civil Code of Great Qing (Da Qing Min Lv Cao An)
and also a set of modern statutes like those commonly seen in civil law
countries such as Germany, France, and Japan.76 The first three books of
this code were General Principles, Law of Obligations (obligatio) and Law of
75. See Gene T. Hsiao, The Foreign Cao An], Draft of Law of Bankruptcy [Po
Trade of China: Policy, Law and Practice Chan Lv Cao An], Draft of Insurance Rules
(Berkeley,1977), 4. [Bao Xian Gui Ze], Draft of Code of Civil
76. Other major statutes that had been Procedure [Min Shi Su Song Lv Cao An],
drafted include Draft of Commercial Code of Draft of Code of Criminal Procedure [Xing
Great Qing [Da Qing Shang Lv Cao An], Shi Su Song Lv Cao An].
Draft of Transaction Law [Jiao Yi Hang Lv

TRADITIONS 49
Rights (iura in rem) drafted by Japanese jurists because these laws were
largely civil law concepts that have never appeared in Chinese history. China
had its own scholars draft the last two books (Family and Successions) that
were mainly based on Chinese customs.77 However, the Qing Dynasty came to
an end in 1911 before the civil code was officially enacted. Still, the draft civil
code was soon applied as official law by the modern courts established by the
Qing Dynasty’s immediate successor, the Republic of China, before their own
civil code was officially promulgated.
The Nationalist (Kuomingtang) government of China promulgated the
Civil Code of Republic of China in 1929. It was modeled on the German
Civil Code and included five books: general principles, obligations, prop-
erty, family, and successions. This civil code is still in use in Taiwan.
The Battle between the Customs, Imperial Law and the Newly
Adopted Foreign Law
Though all the official laws were Westernized, the effectiveness of this
dramatic legal transplant in Chinese society remains controversial. It has
been said that:
owing to their alien concepts and their highly technical vocabularies,
borrowed mainly from German and Japanese, these codes were nei-
ther relevant to the realities of Chinese life nor comprehensible to
laymen. In consequence, they [the codes] had little effect on Chinese
society; for all practical purposes their only use was to persuade the
foreign powers to abrogate their extra-territorial rights.78
On the other hand, with a class of “properly” Western-educated lawyers in
place, the new laws and doctrines were understood and implemented by
the judiciary, as we can see from the published court opinions in the next
paragraphs, which contradicts the claim that the newly adopted foreign
law was not practically relevant.
These conflicting observations may both have some truth. There must
have been a fraction of society in the financial position to take advantage of
the imported judicial system. Still more may be explained by the roles of
customs and the previous imperial law.
Long before the enactment of the Civil Code of the Republic of China,
the Supreme Court discussed the possible sources of law, and the degree of
their authorities in civil cases in a case decided in the first few years of the
Republic (1912):
Civil cases are decided first according to express provisions of law, in
the absence of express provisions, then, according to customs, and, in
the absence of customs, then according to legal principles.79
77. See Zeng, Legal History of China 7 at Government and Law Chinese supreme
264–5. court decisions regarding General Principles
78. See Hsiao, The Foreign Trade of of Civil Law, Obligations and Commercial
China, 5. Law, 1 The Commission on Extra-
79. (1) 2nd yr. A.C. 64 (Quoting Joseph Territoriality (Beijing, 1923)).
En-pao Wang (ed.), Studies in Chinese

When it came to the application of the customs, the court held that “[i]f
a party alleges certain customs and the court finds that they exist and are
valid according to law, they shall be applied to the exclusion of ordinary
principles.”80
The court explained:
the validity of a custom is of course based on immemorial usage and
common acceptance, but the matter it concerns must also be one that
has not been expressly provided for by law or the usage is at variance
with the provisions of only a non-obligatory law. If however the usage
coincides with the provisions of some law, such usage is nothing more
or less than the observance of law and no custom can result
therefrom.81
Also, the rules in determining the validity of the customs were summarized
by the court as “four essentials”:
(1) It must have been observed by people generally and immemorially;

(2) it must have been repeatedly observed by people as law; (3) the
matter it concerns must be one for which there is no express provision;
and (4) it must not be contrary to public policy or interest.82
The Supreme Court therefore held that “[t]hough customs prevail where
express provisions of law are wanting, they are not ipso facto binding.”83
Though the Qing, the last imperial dynasty, came to an end during the
Xinhai Revolution in 1911, its laws in civil and commercial areas were still
valid before the enactment of the Civil Code of 1929. In 1914, the Supreme
Court confirmed that:
Until the Civil Code of the Republic is promulgated the “Law Present
In Force” of the Qing Dynasty, except the penal part and those that are
repugnant to the existing system of government, continues to be in
force. Though it was called the Penal Code, its provisions relating to
civil and commercial matters are numerous; it must not therefore
merely on account of its appellation be taken to have been repealed.84
b. The Republic of China (1911–1949)

As a structured and modern code, the Republic of China Civil Code
represents the then state of the art codification technique that was sup-
posedly to serve an economy that was based on private ownership and
a free market.
In stark contrast with laws in the communist era, private ownership
was taken for granted and protected by the Civil Code. Unlike in the
contemporary Chinese law where land is exclusively owned by the state
and village collectives, the Republic of China Code protected full ownership
80. (2) 4th yr. A.C. 2354 (quoting ibid.). 83. (9) 4th yr. A.C. 1276 (quoting ibid.).
81. (7) 2nd yr. A.C. 3 (quoting ibid. 2). 84. (3) 3rd yr. A.C. 304 (quoting ibid. 1).
82. (7) 2nd yr. A.C. 3 (quoting ibid. 2).

TRADITIONS 51
of both movable and immovable property. There are five sources giving rise
to obligations, including contracts, torts, agency, management of affairs
without mandate, and undue enrichment.
One of the most significant reforms was the independence of the legal
personality and the recognition of the individual as the subject of rights
and duties. In his introduction to the English translation of the Republic of
China Civil Code, Foo Ping-sheung, the chairperson of the civil codification
commission of the legislature (Li Fa Yuan) cited Sun Yat Sen, the founder
of the Republic of China, to support the legislative transition from the
familial to the individualistic.85 According to Sun Yat Sen, for China to
become “a real state in the modern sense of the world,” it was necessary to
“substitute for the primitive notion of unity of clan or family, the notion of
the population formed by these clans or families.”86 Sun Yat Sen predicted
“the harmonious future of humanity lies in the combination of individual
and family with individual taking precedency over family.”87 “The individ-
ual must seek his own gratification in the development of his own natural
abilities as is most likely to contribute to the general welfare.”88 Therefore,
“to enable the citizens to make use of their personal abilities in the best
interest of their country, it was imperative that the excessive grip of the old
families ties over the individuals should be loosened.”89 He also stressed
the universal value of the individualism of law. In his opinion, “the views
expressed on this subject (individualism) are not particular to the
Kuomingtang. They may be found in the political programs of all
the advanced democratic parties of the world.”90 Also, in his opinion, the
Kuomingtang Party sought to “secure a better and more equitable distri-
bution of wealth among the individuals” through the Civil Code.91
Article 7 of the Constitution of the Republic of China provided that
“[c]itizens of Republic of China, are equal before the law regardless of the
sex, age, race, religion, social class, and their association with any particu-
lar political parties.” Also, the Civil Code provided that the legal capacity of
a person begins from the moment of birth and terminates at the moment of
death. Moreover, legal capacity cannot be waived by a person.92
c. The People’s Republic of China

i. Some Persistent Problems
Though the 1930 Civil Code was a modern and sophisticated one, it was
based on private ownership and a capitalist market. When a pure socialism
regime was established in 1949, the legitimacy of the Code disappeared.
After the economic reform in the late 1970s, a state led capitalist economy
reintroduced socialist market economy and, most importantly, private
85. See Foo Ping-Shueng, 89. Ibid. xxv.

“Introduction,” to Civil Code of Republic of 90. Ibid.
China (trans Ching-ling Hsia, 1930), xx. 91. Ibid. xxi.
86. Ibid. xxv. 92. See Civil Code of Republic of China
87. Ibid. arts. 6, 16 (1930).
88. Ibid.

ownership. Nevertheless, additional difficulties came into light in using

private law to regulate the life of civilians. In fact, a Civil Code was just
enacted in May 2020 and will become effective on January 1, 2021, seventy-
three years after the abolishment of the Civil Code of the Republic of China.
It is a Civil Code with innovative features unique to China. It only has 1,260
articles divided into seven books: the general provisions, property, con-
tracts, personality, family law, succession, and torts. In a break with civil-
ian traditions, the Chinese Civil Code breaks down the book on obligations
into contracts and torts; it absorbs the law of unjust enrichment into the
book on contract as quasi-contracts. Moreover, a book on the law of person-
ality stands on its own, which includes an enumerated list of personality
rights protected by Chinese law with a focus on privacy and data protection
as an effort to keep Chinese civil law up to date to tackle the legal challenges
posed by the advancement of technology. In my view, the delay did not
reflect the lack of diligence on the part of legislature and legal scholars, but
rather several rather severe problems that needed to be resolved before
a coherent and functional civil code could be drafted.
First, as we have seen, according to the will theories developed in the
West in the nineteenth century, a party was bound by what he willed and
only what he willed. That theory was hard to reconcile with the idea that
contracts should be fair – to use the language of Aristotle, that they should
do commutative justice, and it created theoretical difficulties in explaining
private law. When this theoretical foundation was borrowed in China, the
problems were exacerbated especially when state ownership is concerned.
Courts are often misled by will theories and refuse to examine whether
a contractual transaction was in fact an effort to strip state assets. This
problem might be exacerbated following a progressive structural change
that significantly modernizes the Chinese private law adopted by the
Chinese Civil Code. In the general provisions of the Code following the
German tradition, the Code unified the voidability rules between contracts
and civil juristic acts, which were previously in conflict, under one set of
rules that deals with all civil juristic acts.93 Moreover, the Code no longer
treats state interest any differently from private interests and eliminates
the power state has had to declare the nullity of a contract.94
Second, conflicting legal transplants need to be harmonized and clear
rules established in order to minimize the danger of contradictions within
the future Chinese Civil Code. For example, courts seem be at odds as to
whether recovery for pure economic loss is permitted by Chinese tort law.
Article 2 of Chinese Tort Liability Law (TLL), like section 823 of the
German Civil Code, clearly enumerates the rights protected and excludes
rights that are not rights of person and property. As we will see, German
courts have concluded that a plaintiff cannot recover for pure economic
loss. Article 6, on the other hand, resembles articles 1240–1241 of the
French Civil Code, which permit recovery so long as harm resulted.
93. See Chinese Civil Code, arts. 94. See Contract Law of People’s
143–57. Republic of China (1999), art. 52-1; General
Principles of Civil Law (1986), art. 58.

TRADITIONS 53
French courts have held that a plaintiff can recover for pure economic loss.
The result is confusion and inconsistency in judicial decisions. It is my
impression that most judges have not faced the question of whether there
should be liability for pure economic loss. They either do not see why law
should only protect rights of property and person or they consider economic
rights part of property rights. Judges who do face the question are unsure
whether the economic right is protected by law.
Following the enactment of the Civil Code, it looks like the French
view has prevailed among the drafters as evidenced by the new Article
1165-1. The division in Tort Liability Law will end as of 2021 when Tort
Liability Law is superseded by the Civil Code. However, this significant
change has not been mentioned in either legislative or academic commen-
taries before the official passage of the Code. It was not even being debated
among the academics. Therefore, it will be interesting to see how this
barely noticed but fundamental change in Chinese tort law will have any
impact in practice.
The Chinese Civil Code, for the first time, adopted a version of the
common law doctrine of frustration of purpose which excuses performance
but does not excuse liability for breach of contract.95 This is an example of
the tension between common law and civil law. In common law, one could
always opt for damages in lieu of performance while in German law one can
always demand performance. In common law, frustration of purpose
excuses a party from bearing liability for breach of contract when the
purpose of the contract cannot be fulfilled. Chinese law, as in German
law, treats the right to demand performance as sacrosanct. To be excused
from the performance requires exceptional circumstances such as when
the performance becomes impossible, excessively expensive or when the
obligee does not exercise his rights in due time. One can only terminate
the contract when one of these circumstances led to non-fulfilment of the
purpose of the contract and even that does not excuse the party from
assuming liability for its breach. This approach is borrowed from the
doctrine of frustration of purpose in common law. This hybrid marks
a doctrinal innovation. Moreover, Chinese courts will have to reconcile
the tension between frustration of purpose that is partially preconditioned
on economic fairness of the performance and destruction of basis of trans-
action in Article 533, which replicates German Civil Code, section 313 and
is entirely focused on the change in the cost of performance after entering
into the contract.
Third, Western private law is based on the fundamental idea of justice in
a dispute between private parties – as Aristotle would say, commutative
justice – as distinct from the fairness of the distribution of wealth in the
society – as Aristotle would say, distributive justice. Nevertheless, a concern
for the distribution of wealth is supposed to be at the foundation of the
Chinese legal system. Courts need clearer guidance as to how to reconcile
such a direct conflict between the two. The prime example is a basis for
liability in tort that is recognized in China but not in the West: what may be
95. See Chinese Civil Code, art. 580.

called “liability in equity.” According to the doctrine of liability in equity, once

harm is done, the party that caused it is partially liable even though he was
not at fault provided that he is in a financial position to pay. Whether to
impose liability, however, rests with the discretion of Chinese judges. This
rule is not easy to square with the traditional grounds for liability in the West
or with the idea that private disputes concern only commutative justice.
ii. The Socialist Experience

The Rejection of Private Law
The Republic of China Civil Code and other relevant legislatures were
abolished upon the founding of the People’s Republic of China in 1949.
Massive nationalization of private ownership and the use of central plan-
ning to replace a private market took place in the 1950s. Since then, private
ownership of means of production was eliminated. When private owner-
ship was denied, it was hard to track the development of private law and
many would argue that the first thirty years of Communist China was
a lawless era in private law.
As private ownership lost its legitimacy, it is hard to justify the exist-
ence of property law and tort law. Nevertheless, contracts and contract law
could still exist to regulate the contractual dealings between government
agencies and state-owned enterprises (SOEs). Contracts were only allowed
between government agencies and SOEs, and for the sole purpose of imple-
menting the state economic policies and directives. Such activities were
regulated by governmental regulations rather than statutes. All economic
activities undertaken with the motive for making a profit were deemed
illegal. As a result, the contracting process was heavily regulated and
virtually little autonomy was left to the contracting parties. SOEs were
instructed to enter a contract with an assigned counterpart, on terms
stipulated by the state. On the other hand, they did not have an independ-
ent budget and were deprived of the autonomy to retain any profit. The
logic was to reduce the SOE manager’s incentive to strip state assets.
The Economic Logic in the Establishment of State-Owned
Enterprises
Upon the founding of the communist regime in 1949, the government
realized that the development of heavy industry was a priority for the
national economy of China if it were to survive the economic embargo
and military threats imposed by the West.96 With a backward agrarian
economic structure and a labor-abundant but capital-scarce economy, it
was essential to be able to channel the limited capital available into heavy
industry while suppressing the prices of products and other factors indis-
pensable for the heavy industry, such as raw materials, labor, services,
energy, and agricultural products.97 Also, industrial residues from other
industries needed to be channeled into the heavy industry.98 Because
96. See Justin Yifu Lin, Zhou Li and 97. See ibid. 20–8.
Fang Cai, Chinese State-Owned Enterprises 98. See ibid.
Reform (Hong Kong, 2001) 21.

TRADITIONS 55
private investors would have more incentive to invest in the service indus-
tries where abundant labor can be used at bargain prices, it was economic-
ally logical for the government to nationalize heavy industry and establish
state-owned enterprises to carry out state objectives regardless of financial
profitability. Sectors outside heavy industry were nationalized to lower the
cost of resources that heavy industry needed. Such resources were chan-
neled into heavy industry at below market prices. Such an allocation of
resources would not have resulted if these sectors were in the hands of
private investors.99
It logically followed that, after the thorough nationalization, the pri-
vate sector was eliminated and the state owned every single business. Only
legal persons (state-owned enterprises, government agencies, and village
collectives) were allowed to contract.100 The free market was replaced by
a pure supply system. When there was no market, and the sole purpose of
industrial production was to carry out state economic plans, there was
a natural incompatibility in the incentives to serve state objectives and
those of the SOEs to run profitability. In a competitive market, profitability
is the most effective information indicator for evaluating the performance
of a manager. It is a checks-and-balances mechanism that holds managers
accountable for their performance. When a market does not exist, the
owner of the SOEs – the state – has no equally effective indicator to
evaluate the performance of SOE managers. Without a market, profit
and loss no longer reflect managerial performance. In an economy with
such serious price distortion as that of pre-reform China, price did not
reflect the scarcity of resources. The profit level could be heavily influenced
by state economic policies. Since SOE managers were unlikely to be held
financially accountable in the exercise of managerial or contractual auton-
omy, SOE managers tended to reward themselves by retaining more
profits and raising wages, which conflicted with the state agenda that
called for rapid development of the heavy industry at the lowest cost. In
addition, the rewards open to SOE managers as career bureaucrats had no
clear relation to the potential losses the state might suffer from opportun-
istic deviation from state plans.
We can call this problem in China one of incentive incompatibility. The
incentives of the managers as career bureaucrats are often incompatible
with their incentives to manage their enterprise profitably. In contrast, in
the West the problem on which corporate law theory concentrates can be
called one of incentive divergence. The goal is to reduce the divergence
99. Heavy industry itself is capital capital in light industry was 270 percent
intensive and the price to use limited higher than that in heavy industry. In
capital in a poor country like China was addition, if resources were allocated
extremely high. If a free and competitive through a free market, it would have been
market was available for private investors, too expensive to realize the rapid growth
there would have been a much lower when the prices of capital and raw
incentive for the investors to channel their materials, labor, and energy were at their
capital into the heavy industry. The fair market prices. See ibid. 21–2.
threshold would have been much lower and 100. See The Tentative Rules on
the investment much more profitable in light Industrial and Mining Products Ordering
industry rather than heavy industry. In Contract [关于工矿产品订货合同基本条款的
1957, profit and tax generated by the same 暂行规定] art. 3 (1963).

between the incentives of the owners and the managers of wealth. The
premise of the theory is that when one person exercises authority that
affects another’s wealth, interests may diverge. Business managers, as the
agents of the investors, always have divergent interests from the investors.
Such a divergence exists in any agency relation.101 The smaller the share of
ownership that the managers hold, the larger the divergence of interest
becomes. For example, the manager will not have the same level of incen-
tive to make an extra effort to increase the profit of the enterprises as the
investors themselves would have if their own share of ownership is small
and the increase of their own wealth is small compared to their extra
efforts.102
In the Western free market and free enterprises system, such
a divergence can be controlled in three ways.
1) There is the employment market: an unfaithful or indolent man-
ager may be penalized by a lower salary, and a diligent one
rewarded by a bonus for good performance. This is a function of
incentive-compatible contracts that reward managers for good per-
formance and penalize them for bad. The goal is to align the inter-
ests between managers and shareholders as closely as possible.
2) The threat of a sale of corporate control induces managers to per-
form well in order to keep their positions.
3) Competition in product markets helps to control agents’ conduct,
because a poorly managed firm cannot survive in competition with
a well-managed firm.103
Nevertheless, these mechanisms reduce but cannot eliminate the
divergence of incentives. Consequently, principles of fiduciary duty are
used to supplement direct monitoring of managerial performance by
investors. Managers are allowed to exercise managerial discretion, but
will be held accountable for violation of fiduciary duty. Their conduct is
subject to the business judgment rule. The rationale behind this rule is the
recognition that investors’ wealth would be lower if managers’ decisions
were routinely subjected to strict judicial review.104
In China, before the economic reform, SOE managers, if given the
managerial and contractual autonomy permitted by the American busi-
ness judgment rule, would have tended to maximize the profits of the
enterprises or to appropriate for themselves part of the industrial surplus,
neither of which was consistent with the state’s objective to prioritize the
heavy industry. Therefore, the purpose of SOEs for the state, as the sole
investor in SOEs, was to implement its economic plans rather than to use
the SOEs to maximize wealth. SOE managers were instructed to adhere
strictly to economic directives and orders. Logically, it made sense that
SOE managers should not be accountable for the profitability of the SOE.
In fact, SOEs’ business operations often resulted in heavy deficits. When
101. Frank H. Easterbrook and Daniel 102. See ibid.

R. Fischel, The Economic Structure of 103. See ibid.
Corporate Law (Cambridge, MA, 1991), 91. 104. See ibid.

TRADITIONS 57
the profit-motive was not permissible, managers tended to intercept the

industrial surplus and to misappropriate state assets if any managerial
autonomy was afforded to them. Such an incompatibility could not be cured
by negotiating incentive-compatible contracts between the state and SOE
managers through the employment market simply because managers had
no ownership interest in SOEs. The direct result was that the incentives
between the two were opposed. Again, there were no employment markets
for corporate executives since all the managers were government employ-
ees at the same time. Also, SOE managers could be laterally transferred to
other government positions. Finally, a poorly managed firm could still
survive when there was no market available to push it out.
As contractual and managerial autonomy could not be justified, it was
necessary for the state to supervise every aspect of the business operation
to make sure the state economic plans and objectives received priority over
the individual agenda of an enterprise itself. Before the economic reform,
at the enterprise level, SOEs did not have production decision-making
autonomy.105 SOEs could not decide what to produce, their research and
development direction, or how much they were going to produce.106 In
order to negate the incentive for profit maximization, SOEs did not have
independent budgets and would not be held accountable for deficits. All the
deficits had to be absorbed by the state and virtually all the profits were
turned over to the state as well.107 For the same reasons, SOEs could not
set employee wages on their own. Moreover, autonomy in resource alloca-
tion was taken away from SOEs. When allocation of resources was not
completed through the market and prices of the raw materials were artifi-
cially suppressed, prices no longer reflected the scarcity of the resources. If
SOEs were allowed autonomy to decide what resources they needed and
how much was needed, every SOE would have the incentive to acquire
more resources at suppressed prices by increasing the cost of
production.108 As a result, each enterprise would submit a proposal to the
material supply agency within the government describing the resources
and materials needed to complete the mandatory plans assigned by the
state. The government would deliver the materials, once the proposal was
approved, based on the state economic plans.109 The SOEs did not have the
autonomy to select suppliers or compare the products.110
Consequently, instead of the decentralization of business decision-
making in the West, in the pre-reform Chinese economy, the state had to
give specific directives to individual enterprises on the types of products to
be manufactured, the quantity, quality, and specifications of the products,
the kind and quantity of the raw materials an enterprise received, the
pricing and the buyer of the products, and the wages of labor and manage-
ment. Any unauthorized reselling of products and sale of unauthorized
products would result in the nullity of a contract, along with civil and
criminal sanctions. Contract management was strictly carried out by
105. Lin et al., supra note 96, at 32. 108. See ibid.
106. See ibid. 109. See ibid. at 37–8.
107. See ibid. at 33. 110. See ibid. at 38.

various ministries, departments, and economic commissions at all levels of

the government.
The Theoretical Coherence of Socialist Law
Intellectual efforts had been made by socialist jurists to piece together
coherent contract theories that would support the planned economy.
According to the theorists, ownership of the means of production was
exclusively in the hands of the state.111 Even means of subsistence, the
resources necessary for people’s daily consumption, could not be traded on
the market.112 The only interest protected in contracting was the state’s
interest. The institution of contracts served as an important tool in ensur-
ing the implementation of state plans.113 Contracting connects the enter-
prises systematically and helps to clarify and determine the content of
state plans.114 Since no private interest was involved, all the contracting
parties were simply executing orders from the state. Therefore, the con-
tracting parties were to collaborate and supervise each other throughout
the performance of contract to carry out the state’s agenda. A party who
defaulted was liable for penalties and damages. Any deviations from the
plan would result in the illegality of the contract. The only overlap between
the state and private sector lay in the uniformed procurement and supply
where prices were set by the state.115
The 1958 Civil Law Textbook (“the Treatise”), presented a coherent
socialist contract theory. In the Treatise, even though freedom of contract
was criticized for its lack of legality, contractual autonomy was not entirely
denied.116 The Treatise proposed that the principle of voluntariness and
reasonableness be the fundamental principle of contract law.117 However,
the Treatise stressed that contracts should be entered for the sole purpose
of implementing state plans and where state and individual interests
coincided.118According to the Treatise, “[c]ontracting should follow parties’
voluntariness and its conclusion must be based upon the free declaration of
wills, sufficient mutual negotiations, and the meeting of minds. Neither
party is allowed to impose its will on the other by ordering the other party
to accept its opinion or other illegal means through the conclusion of
contract.”119
111. The leading treatise at the time, 112. The rationale was that private
known as the 1958 Civil Law Textbook, means of subsistence was protected but
pronounced that the elimination of could not in any way abuse means of
capitalist ownership was completed subsistence to harm public interest or
through public private joint venture and exploit others. See ibid. at 129.
the petit private ownership of peasants 113. Ibid. at 26.
and craftsmen were gradually eased out 114. Ibid. at 27.
through their “voluntary participation in 115. Liang Huixing, “On the Plan
the rural cooperatives.” As a result, Principle and Principle of Freedom of
private ownership of means of production Contract in Our Contracting System,” 4
had ceased to exist. See Teaching and Legal Studies (1982), 44 [梁慧星论我国合同
Research Section of the Central Political 法律制度的计划原则与合同自由原则《法学研
and Legal Cadres’ School, ed.[中央政法干究》1982 年第 4 期第 44 页].
部学校民法教研室] Basic Issues of Chinese 116. See generally Treatise.
Civil Law [中华人民共和国民法基本问题] 117. See ibid. 202.
[hereinafter, The Treatise] 26 (Beijing: 118. Ibid.
Law Press, 1958). 119. Ibid. 203.

TRADITIONS 59
Furthermore, reasonableness requires that the content of a contract

must be fair so that neither party’s interest is harmed. Neither could the
contract harm the public and social interest. The whole or part of a contract
shall be annulled if the content of the contract was obviously unfair or
unreasonable.120
The content of these two requirements resembles the Western view of
freedom of contract and its limitations. Classical contract theory gave wills
of the contracting parties binding force barring illegality and immorality or
violation of public policies.121 It was possible for devices such as Wucher in
German law, lésion in French law, and unconscionability in common law to
give relief for unfair prices. It was said in China that prices of commodities
in the West were determined by Marx’s law of value, which guided the
circulation and production activities in the society.122 However, in the view
of the Treatise, the unavoidable phenomenon of price fluctuation in the
West was used as a means by capitalists, the only class that owned means
of production, to exploit toilers by engaging in opportunistic behavior.
China, on the contrary, by establishing the socialist economy, limited the
effectiveness of the law of value.123 Through careful planning, the state
supposedly would be able to set the prices of commodities differently from
their value. Such differences were to be used consciously to “adjust the
circulation of commodities” with the purpose of “improving the quality of
toilers’ material and cultural lives.”124
However, the Treatise argued that the difference between principles of
voluntariness and freedom of contract lies in that freedom of contract
emphasized voluntariness while neglecting the requirement of
legality.125 The voluntariness principle, according to the Treatise, allows
contracting parties to freely express their will provided but only within the
scope permitted by law.126 For example, in a sales contract, elements such
as the object and the range of the prices must be prescribed by law.127
Capitalist law was criticized as permitting unlimited autonomy in con-
tracting, which allowed the owners of means of production unlimited
exploitation of the toilers.128 Allowing free contracting without setting
the variety and price of commodities would result in monopoly, at which
point contract terms would no longer be negotiated.129 Toilers then only
have the options of accepting the terms or refusing to contract. This meant
allowing exploiters the freedom of exploitation without letting the toilers
have the freedom not to be exploited.130 Therefore, only in the communist
regime, would toilers be free from exploitation. According to Mao Zedong,
when bourgeois class had its freedom, there would be no freedom for the
proletariat.131 The Treatise concluded that the principle of voluntariness is
120. Ibid. 127. Ibid.

121. See Zweigert and Kötz, 128. Ibid.
Introduction, 381. 129. Ibid. 204–5.
122. See Treatise 217. 130. Ibid. 205.
123. Ibid. 131. 毛泽东 [Mao Zedong] 《关于正确处
124. Ibid. 理人民内部矛盾问题》[On How to Handle
125. Ibid. 204. the Internal Conflicts among the Masses]
126. Ibid. (1937).

a unification of freedom and discipline where “proletarians enjoy a wide

range of freedom but restrain themselves through socialist discipline.”132
Transactions between individuals in the shadow economy were
deemed illegal but could not be regulated since law does not allow transac-
tions between private parties. Outside the shadow economy, the only
transactional relationships between the state and private parties were
the procurement of products from the state and supplies of commodities
to the individuals. In such circumstances, no competition between the state
and private interests existed and the state did not have to play contradict-
ory roles as a referee and a player at the same time, the roles it now plays in
the post-reform economy. The issue of state interference with private
interests by allowing SOEs to back out of a bad bargain with a private
party did not arise. Also, absent private ownership and a market, courts
did not have to face the theoretical question of whether observance of the
external formalities of freedom of contract would suffice or whether they
should review the substance of the contract. Courts would always be able to
annul a contract where a state interest of any sort was jeopardized.
Therefore, theoretical coherence of socialist contract law was achieved
regardless of its limitations in practice.133
iii. The Reform

The Reintroduction of Private Law
At the end of the 1970s, in order to invigorate state-owned enterprises and
improve the efficiency of the economy, incentives and competition were intro-
duced. A private economy was permitted without privatizing state enterprises
and SOEs were allowed to keep a small percentage of their profits. SOEs did
become motivated to perform better but they were not deemed to be suffi-
ciently motivated. Soon the state changed its policy by allowing individual
contracts with SOEs and allowing them a bigger share of the pie. That proved
ineffective as SOEs had informational advantages over the state and con-
tracted opportunistically. In mid-1980, the state finally decided to allow all
SOEs to retain all their profits and began to collect income tax. Step by step,
SOEs became treated, by and large, as market players.
When SOEs became more profit-oriented and when they competed for
profit with the private sector in a relatively free market, it soon became
imperative to embrace private law in order to promote stability of the
market transactions and provide the economy with further incentives.
In 1986, a legislation similar to a civil code with the title General
Principles of Civil Law (“GPCL”) was adopted. It provided a framework of
civil law in modern China, which presented basic rules of property law,
contract law, tort law, and unjust enrichment in only 156 articles. The
GPCL was accompanied by more systematic Supreme Court interpret-
ations promulgated in 1988. The idea of protection of private ownership
132. Treatise 206. economy or any contractual transactions

133. The socialist contract theory does that do not involve state or state-owned
not have practical application to the shadow enterprises.

TRADITIONS 61
became accepted in the 1980s and became a sacred legal principle after the
subsequent adoption of the Contract Law in 1999, the Property Law in
2007, and the Tort Liability Law in 2010. This development is supported by
a 2004 constitutional amendment that recognized that “[citizen’s] lawful
private ownership is inviolable.”
Corporatization
In an economy where private ownership and competitive markets are
the norm, it is easier to justify the freedom of contract since a reasonable
person should be allowed to dispose of his property and to contract to
determine his own fate and bear the negative consequences accordingly.
On the other hand, in an economy where a market is absent, state owner-
ship of means of production is exclusive, and the allocation of resources is
centralized, as in pre-reform China, every SOE exercises their operational
management rights by entering into contracts on behalf of the state. It was
consistent with the socialist theories to deny freedom of contract in order to
prevent opportunistic behavior by these SOE managers, the agents of the
state. The socialist theories were by and large coherent. However, in the
first decade of Chinese economic reform, both theories became inapplicable
to China. There was a rapidly growing private economy outside the domin-
ant state sector, and a dual track price system that allowed market prices
to exist in parallel with the fixed prices in the planned economy. This new
paradigm created theoretical issues that would fit in contract theories in
neither traditional socialist economy nor the Western capitalist model.
At the beginning, profit retention and increased autonomy brought
efficiency and proper incentives back to state sector. However, due to the
continued absence of a competitive market, and the information asymmetry
that comes with it, the reform failed to resolve the problem of managerial
opportunism that the pre-reform system aimed to prevent. Ten years into
the economic reform, the economic efficiency and profitability of SOEs
stalled. Low profitability became common among SOEs. For example, the
after tax profit of SOEs decreased from 6.6 percent in 1987 to 1.8 percent in
1994.134 Increased bank loans were made available upon request to support
the SOEs at the below market rates. However, the number of non-
performing loans continued to accumulate when the efficiency of the SOEs
stalled. Corporatization was introduced to accelerate the reform progress.
As part of the small-scale privatization effort, the rise of stock
exchanges and equity exchanges allowed private investors to become the
minority shareholders of large-scale SOEs. In addition, restructuring, as
a popular device, was introduced to privatize inefficient small and medium
enterprises. Both devices served to further privatize the Chinese economy.
Nevertheless, in contrast to the former Soviet and East European models,
no program allowed for the wholesale divestment of state enterprises
program to be undertaken.135 As a result, no massive asset stripping took
place on a scale such as that in the Soviet Union.
134. See Lin et al., supra note 96, at 66. Dominant Privatization Model,” Brook.
135. See Lan Cao, “The Cat That J. Int’l L. 21 (1995), 97 at 106.
Catches Mice: China’s Challenge to the

To facilitate the transformation of a planned economy to a market econ-

omy, the Economic Contract Law was amended in 1993. The Company Law of
China was also adopted in the same year.136 The amended Economic Contract
Law added two types of family-owned sole proprietorships: peasant house-
holds and private-owned business households, as parties who are allowed to
enter into economic contracts.137 Also, in the amended article 7 of the ECL,
violation of Communist Party economic policy was no longer a cause for
nullifying a contract,138 which signified the end of the planned economy.
The newly enacted Company Law did not limit legal persons to SOEs and
therefore opened the floodgate to allow privately owned enterprises to register
as corporations and assume the status of legal persons.139 In 1999, the
Contract Law, a product of legal transplantation resembling the United
Nations Convention on Contracts for International Sales of Goods (CISG),
adopted freedom of contract as a basic principle.140 Rules that one would
expect in a major Western civil code are now in place to protect contractual
autonomy and transactional safety. Parties now have the autonomy to decide
whether to contract, with whom to contract, and on what terms. The doctrines
of apparent authority, ultra vires activities, and voidability were introduced.
Upon breach of contract, the aggrieved party can now choose the form of
remedy between monetary damages and specific performance. Plans and
policies, which were once dominant, no longer play an official role in contract-
ing and the Contract Law statute.
Nevertheless, it is not the case that the statute is and shall be equally
applied to all parties regardless of their ownership status. In the West,
market competition and fiduciary duty hold managers accountable for
their imprudent managerial performance. This is still hardly the case for
Chinese SOEs. Even though reforms have been carried out to invigorate
SOEs, the market is still not sufficiently competitive and fiduciary duty
principles are ineffective in imposing managerial accountability. The fidu-
ciary principle, as in the West, functions to protect the principal’s reliance
interest. In China, without such a market, prices can be suppressed for
policy reasons. Since SOEs are also pursuing goals other than profit maxi-
mization, the usual market indicator, profitability, does not provide suffi-
cient information to the state. As a result, non-profitable transactions could
be carried out for policy considerations. On the one hand, a low price itself is
not sufficient to prove an SOE manager’s breach of fiduciary duty. On the
other hand, it is impractical and unrealistically expensive for the state, as
the sole shareholder or controlling shareholder, to monitor the contracting of
individual enterprises. Additionally, the state’s low sensitivity to profits
136. Before the promulgation of 139. 中华人民共和国公司法 [Company

Company Law, there were two separate Law of the People’s Republic of China], arts.
statutes dealing with state-owned 2 & 3.
enterprises and privately owned enterprises 140. See 中华人民共和国合同法
separately. [Contract Law of People’s Republic of
137. See Economic Contract Law, art. 2. China], art. 4.
138. However, this does not mean SOEs
have stopped following state economic
policies closely.

TRADITIONS 63
compared to private investors makes the state a passive principal who is not
actively pursuing its own financial interest.
The behavior of SOE managers, on the other hand, could not be
controlled by an effective structure that makes the incentives of managers
as career bureaucrats compatible with their incentives as directors of
a business enterprise. As I described the problem in an earlier article:
Managers in state-owned enterprises are government employees more
than businessmen and lack personal incentives and financial stakes in
running the business. Managers receive salaries that are comparable to
government employees with similar bureaucratic ranks, and directors
and officers can be laterally transferred to other government agencies
in the event the SOE goes bankrupt. Since these quasi state-officials are
not nearly as motivated as private entrepreneurs, since they are not
accountable to shareholders for their grossly negligent business deci-
sions, when it comes to decide whether a contract should be nullified.141
In a true market economy, contractual autonomy should extend to
SOEs as well. The state-owned enterprises are no longer established for
the sole purpose of implementing state policies. Most of them are for-profit
and operate under the leadership of their own management rather than
government authorities. Therefore, SOEs are market participants whose
interests should receive only as much protection and supervision as private
parties receive. However, the state retains a supervisory power over the
management through the authority of the State-owned Asset Supervision
and Administration Commission142 and various ministries and financial
regulatory bodies. At the same time, policy induced burdens, soft budget
constraints, and artificial entry barriers still exist. On one hand, they
burden SOEs; on the other, they help them survive market competition.
In order to better monitor SOE performance, many statutes, administra-
tive regulations and departmental rules have been enacted since the late
1980s designed to curb managerial opportunism in SOEs and to realign the
disparity between their goals and those of the state. In order to curb the
managerial opportunism and prevent asset stripping, several regulations
have been put in place to require asset appraisal, and, in major transactions,
state approval in contracts disposing of state assets.143 The asset appraisal
141. Hao Jiang, “Enlarged State Power Republic of China] adopted by the Standing
to Declare Nullity: The Hidden State Comm. Nat’l People’s Cong., October 28,
Interest in the Chinese Contract Law,” 2008, effective May 1, 2009; 企业国有资产监
J. Civ. L. Stud. 7 (2014), 147 at 188. 督管理暂行条例 [Provisional Methods on
142. SASAC was created in 2003 to Supervision of State Assets Appraisal]
exercise state’s shareholder rights within promulgated by the State-Owned
the SOEs. SASAC has the authority to Assets Supervision and Administration
appoint the management personnel, Commission, May 27, 2003, effective 2005;
supervise major management decision- 国有股东转让所持上市公司股份管理暂行办法
making and the use of state-owned assets. [The Provisional Methods on Supervision of
See 国务院关于机构设置的通知 (国发(2008) Holder of State Shares’ Transfer of State
11号) [State Council’s Notice on Agency Shares] promulgated by the State-Owned
Creation] (Guo Fa (2008) No. 11). Assets Supervision and Administration
143. See, e.g., 中华人民共和国企业国有资 Commission, effective July 1, 2007, art. 7;
产法 [State-owned Assets Law of the People’s 国有资产评估管理办法 [Rules on the

procedure might serve as an ex ante deterrent to asset-stripping. However, for

ex ante deterrence to function, when a flaw in the asset appraisal process is
later detected, an ex post standard must be established to determine whether
asset stripping took place. Such a standard should review the substantive
fairness of the transaction. When the contract price was not substantively
fair, courts, at the request of the aggrieved SOE, should be empowered to
annul the contract when no legitimate policy or business reasons for the low
price can be established. However, Chinese courts have claimed that they are
not in a position to review the alleged unlawfulness in the asset appraisal
procedure even when evidence shows the procedure was violated.144
Moreover, according to the court, violations in such procedures alone do not
amount to asset stripping.145
On the other hand, the state has rewarded SOE managers by giving
out bonuses for making profits and punished them by cutting salaries for
operating the SOEs at a loss. These efforts are designed to preserve state
assets, encourage a market economy, and also increase managerial effi-
ciency. The two goals seem to contradict each other. The first limits the
freedom of contract beyond what one would expect from the statutory and
doctrinal interpretations, such as freedom to decide contract terms or to
set prices, and the second increases managerial and contractual auton-
omy. According to Yifu Lin, such reform efforts could not be successful
and complete because of the lack of a fair and competitive market.146
Despite reform, SOEs continue to carry out non-profit driven goals to
serve the state’s policy and strategic interests. In order for SOEs to
survive, the state must provide direct and indirect subsidies and soft
budget constraints. Accordingly, profit level in a non-competitive market
does not reflect the managerial performance. Consequently, as Joseph
Stiglitz pointed out, without functioning market competition, a rational
incentive structure cannot be formed.147 The absence of competitive mar-
ket further warrants the deprivation of full enterprise autonomy to avoid
asset stripping. Due to the economic reform, the doctrinal coherence of
socialist contract theory was lost. As a result, courts are often at a loss and
decisions may vary from respecting the freedom of contract to reviewing
the substantive fairness of the transaction in order to prevent asset
stripping.
Theoretical Incoherence
Though massive privatization of SOEs never took place in China as in
central and eastern Europe, privatization of small and medium SOEs and
market capitalization of the non-controlling interest of the major SOEs
allow private sector actors to acquire state assets through contractual
transactions. Through these transactions, freedom of contract has been
abused by SOE managers in pursuing personal agendas that are often
Appraisal and Management of State Assets] 145. See ibid.

promulgated by the State Council of China, 146. See Lin et al., supra note 96, at
Nov. 16, 1991, art. 3. 125–53.
144. See 216 白商初字第231号 [(2013) 147. See Joseph E. Stiglitz, Whither
Bai Shang Chu Zi No. 231]. Socialism? (Cambridge, MA, 1994), 111.

INSTITUTIONS 65
incompatible with the interest of the principal, the state. Examples are
selling state assets too cheaply or choosing to contract with parties who
are related to them or who most heavily bribed them. However, even when
the managers are convicted for corruption or abuse of power by
a government or SOE employee, the contract itself is still valid. The courts
do not have a solid theoretical ground to annul such contracts on their own
initiative or upon the request of the aggrieved party unless fraud or duress
can be proved.148 Will theories deny there is a just price for things, as the
value is subjective and “depends on the mere judgment of men.”149
Therefore, in principle, both common law and civil law rejected relief for
an unjust price.150 However, the premise for such a view is that a reasonable
person should determine his own fate by contracting and therefore bear the
negative consequence of a bad bargain. However, this argument does not
apply to Chinese SOE managers, who would contract on behalf of the state
while having the state bear the negative consequence.
II. INSTITUTIONS
A . T HE W E S T
1. Germany and the United States
John H. Langbein,* “The German Advantage in Civil Procedure,”
University of Chicago Law Review 52 (1985), 823–65
Our lawyer-dominated system of civil procedure has often been criti-
cized both for its incentives to distort evidence and for the expense and
148. Art. 52, section 1 of the Contract help has most proximately affected this paper,
Law provides a leeway for SOEs to back out although not always in directions that they
of a contract by arguing that state interest, would have preferred, are Albert Alschuler,
which is represented by the SOE’s financial Erhard Blankenburg, Mauro Cappelletti,
interest, was harmed by fraud and duress, Gerhard Casper, Mary Ann Glendon,
and the contracts, though for various Geoffrey Hazard, Benjamin Kaplan, Robert
reasons were not annulled previously under Keeton, Hein Kötz, John Merryman, Henry
other doctrines, could now be declared Monaghan, Richard Posner, Martin Redish,
absolutely null. See generally Jiang, Mathias Reimann, Erich Schanze, William
Enlarged State Power to Declare Nullity. Schwarzer, Steven Shavell, Geoffrey Stone,
149. See James Gordley, “Equality in Cass Sunstein, and Arthur von Mehren. I am
Exchange,” 69 California Law Review grateful to learned audiences who reacted to
(1981), 1587, at 1592. this paper in earlier versions at law school
150. See ibid. workshops at Cornell, Harvard, and
*. Max Pam Professor of American and Northwestern; at the 1984 meeting of
Foreign Law, University of Chicago Law the American College of Trial Lawyers; at the
School; Russell Baker Scholar (1985). 1985 meeting of the litigation section of the
Scholars, judges, and practitioners in the US Association of American Law Schools; and at
and Germany have favored me with a session of the National Academy of Sciences’
suggestions for research or have commented Committee on National Statistics, Panel on
on prepublication drafts. Among those whose Statistical Evidence in the Courts.

complexity of its modes of discovery and trial.1 The shortcomings inhere in

a system that leaves to partisans the work of gathering and producing the
factual material upon which adjudication depends.
We have comforted ourselves with the thought that a lawyerless
system would be worse.2 The excesses of American adversary justice
would seem to pale by comparison with a literally nonadversarial
system – one in which litigants would be remitted to faceless bureau-
cratic adjudicators and denied the safeguards that flow from lawyerly
intermediation.
The German Advantage. The main theme of this article is drawn
from Continental civil procedure, exemplified for me by the system
that I know reasonably well, the West German.3 My theme is that,
by assigning judges rather than lawyers to investigate the facts, the
Germans avoid the most troublesome aspects of our practice. But
I shall emphasize that the familiar contrast between our adversarial
procedure and the supposedly nonadversarial procedure of the
Continental tradition has been grossly overdrawn.
To be sure, since the greater responsibility of the bench for fact-
gathering is what distinguishes the Continental tradition, a necessary
(and welcome) correlative is that counsel’s role in eliciting evidence is
greatly restricted. Apart from fact-gathering, however, the lawyers for
the parties play major and broadly comparable roles in both the
German and American systems. Both are adversary systems of civil
procedure.4 There as here, the lawyers advance partisan positions
from first pleadings to final arguments. German litigators suggest
legal theories and lines of factual inquiry, they superintend and sup-
plement judicial examination of witnesses, they urge inferences from
1. E.g., JEROME FRANK, COURTS ON TRIAL: and Eastern Europe, 69 MICH.L.REV. 847,
MYTH AND REALITY IN AMERICAN JUSTICE (1949); 858–59 (1971).
Frankel, The Search for Truth: An Umpireal 4. Von Mehren remarks that, especially
View, 123 U. PA.L.REV. 1031 (1975); Brazil, by contrast with criminal procedure, where
The Adversary Character of Civil Discovery: adversarial components are thoroughly
A Critique and Proposals for Change, 31 subordinated in the Continental tradition,
VAND.L. REV. 1295, 1298–1303 (1978). “the civil-procedure systems of France,
2. E.g., STEPHAN LANDSMAN, THE Germany and the United States were – and
ADVERSARY SYSTEM: A DESCRIPTION AND remain – adversarial.” Von Mehren, The
DEFENSE 38, 40–41, 43 (1984). Significance for Procedural Practice and
3. A somewhat similar account of Theory of the Concentrated Trial:
Continental practice could be based upon Comparative Remarks, in 2 EUROPÄISCHES
other Western European systems, although RECHTSDENKEN IN GESCHICHTE UND
details would differ, particularly as one GEGENWART: FESTSCHRIFT FÜR HELMUT COING
moves from the Northern European systems 361 n.3 (N. Horn, ed. 1982). When writers
that have been most influenced by Austrian– take the shortcut and speak of German or
German legal culture, to the systems of other Continental civil procedure as
Southern Europe, where judicial “nonadversarial” (a usage that I think
domination of fact-gathering is less should be avoided although I confess to
prominent and where less adequate having been guilty of it in the past), the
resources have been devoted to developing description is correct only in so far as it
and motivating the bench. See Cappelletti, refers to that distinctive trait of Continental
Social and Political Aspects of Civil civil procedure, judicial conduct of fact-
Procedure – Reforms and Trends in Western gathering.

INSTITUTIONS 67
fact, they discuss and distinguish precedent, they interpret statutes,

and they formulate views of the law that further the interests of their
clients. I shall urge that German experience shows that we would do
better if we were greatly to restrict the adversaries’ role in fact-
gathering.
Convergence. The concluding theme of this article directs attention
to recent trends in American civil procedure. Having developed the
view that judicialized fact-gathering has immense advantages over
traditional American practice, I point to the growing manifestations
of judicial control of fact-gathering in certain strands of federal pro-
cedure. The Manual for Complex Litigation5 is infused with notions of
judicial management of fact-gathering for the multi-party Big Case,
but there has been no natural stopping place, and these techniques
have been seeping into the conduct of ordinary litigation in the devel-
opment that has been called “managerial judging.”6
In principle, managerial judging is more compatible with the the-
ory of German procedure than with our own. Having now made the
great leap from adversary control to judicial control of fact-gathering,
we would need to take one further step to achieve real convergence
with the German tradition: from judicial control to judicial conduct of
the fact-gathering process. In the success of managerial judging, I see
telling evidence for the proposition that judicial fact-gathering could
work well in a system that preserved much of the rest of what we now
have in civil procedure.
I should emphasize, however, that the main concern of this article is
not the sprawling Big Case, but the traditional bipolar lawsuit in contract,
tort, or entitlement. The Big Case is testing and instructive but quantita-
tively unimportant. Ordinary litigation is the place to compare and to judge
civil procedural systems.7
Outline. After sketching the main features of German civil proced-
ure (Part I), I contrast the striking shortcomings of American proced-
ure: the wastefulness and complexity of our division into pretrial and
trial procedure (Part II), and the truth-defeating distortions incident
to our system of partisan preparation and production of witnesses
(Part III) and experts. I devote special attention to the German prac-
tice in obtaining impartial expert testimony (Part IV). I pause to notice
how flimsy are the theoretical justifications that have been advanced
in support of adversary domination of fact-gathering in civil litigation
(Part V). Because a more judge-centered fact-gathering process would
direct attention to the powers of the bench, I describe the incentive
structure of the German career judiciary (Part VI) and the appellate
safeguards for litigants (Part VII). Finally, I point to the potential for
5. MANUAL fOR COMPLEX LITIGATION (5th 7. Regarding the role of the Small
ed. 1982). Case in these developments, see infra
6. Resnik, Managerial Judges, 96 HARV. note 138.
L. REV. 376 (1982).

the convergence of the two systems arising from the appearance of

managerial judging in the United States (Part VIII).
I. Overview of German Civil Procedure8
There are two fundamental differences between German and Anglo-
American civil procedure, and these differences lead in turn to many others.
First, the court rather than the parties’ lawyers takes the main responsibil-
ity for gathering and sifting evidence, although the lawyers exercise
a watchful eye over the court’s work. Second, there is no distinction between
pretrial and trial, between discovering evidence and presenting it. Trial is
not a single continuous event. Rather, the court gathers and evaluates
evidence over a series of hearings, as many as the circumstances require.9
8. Readers interested in the detail of the at 614 for bibliography. For English-language
German system will find, in addition to the discussion, see Bender, The Stuttgart Model, in
indigenous treatises, a surprisingly rich 2 ACCESS TO JUSTICE: PROMISING INSTITUTIONS 433
English-language literature. The remarkable (M. Cappelletti & J. Weisner ed. 1979).
mini-treatise, Kaplan, von Mehren & As modified, the code reads: “Ordinarily (in
Schaefer, Phases of German Civil Procedure der Regel), the case should be resolved in
(pts. 1 & 2), 71 HARV. L. REV. 1193, 1443 a single hearing, comprehensively prepared.”
(1958) [hereafter cited as Kaplan-von ZIVILPROZESSORDNUNG [ZPO] (Code of Civil
Mehren], although approaching its thirtieth Procedure) § 272(I). In aid of this
anniversary, remains fundamentally comprehensive preparation, ZPO § 273,
accurate. See also 2 E.J. COHN, MANUAL OF formerly ZPO § 272(b), authorizes the court to
GERMAN LAW 162–248 (2d ed. 1971). For take various steps in advance of the hearing
comparative observations growing out of the (for example, requiring the parties to clarify
Kaplan-von Mehren study, see Kaplan, Civil positions, obtaining documents, summoning
Procedure – Reflections on the Comparison of parties and witnesses to the hearing). Many
Systems, 9 BUFFALO L. REV. 409 (1960) simpler cases do lend themselves to one-
[hereafter cited as Kaplan]. William B. Fisch hearing disposition, either through court-
updated the Kaplan-von Mehren article, with aided settlement or by judgment. When this
particular attention to the 1977 amendments happens the German procedure resembles the
that are discussed infra note 9, in Fisch, Recent American pattern of pretrial preparation
Developments in West German Civil Procedure, followed by a concentrated trial. However,
6 HASTINGS INT’L & COMP. L. REV. 221, 236–60 even in such cases, because the court has the
(1983). On the 1977 reforms see also Gottwald, option to schedule further hearings if
Simplified Civil Procedure in West Germany, developments at the initial hearing seem to
31 AM. J. COMP. L. 687 (1983). Regarding the warrant further proofs or submissions,
appellate system, see Meador, Appellate German procedure is devoid of the
Subject Matter Organization: The German opportunities for surprise and tactical
Design from an American Perspective, 5 advantage that inhere in the Anglo-American
HASTINGS INT’L & COMP. L. REV. 27 (1981). On concentrated trial. See infra text
the differing roles of lawyers, judges, and other accompanying note 23.
legal professionals, see Kötz, The Role and For cases that do not lend themselves to
Functions of the Legal Professions in the one-hearing resolution, the 1977
Federal Republic of Germany, in DEUTSCHE amendments have not altered the episodic
LANDESREFERATE ZUM PRIVATRECHT UND character of the procedure. Further
HANDELSRECHT, XI INTERNATIONALER KONGRESS hearings may be ordered as necessary. See,
FÜR RECHTSVERGLEICHUNG 69 (U. Drobnig & e.g., ZPO § 278(IV). “The whole procedure up
H. Puttfarken ed. 1982) [hereafter cited as to judgment may therefore be viewed as
Kötz, Legal Profession]; see also being essentially a series of oral
DIETRICH RUESCHMEYER, LAWYERS AND THEIR conferences.” Kötz, Civil Litigation and the
SOCIETY: A COMPARATIVE STUDY OF THE LEGAL Public Interest, 1 CIV. Just. Q. 237, 243 (1982)
PROFESSION IN GERMANY AND IN THE UNITED [hereafter cited as Kötz, Civil Litigation].
STATES 27–62 (1973). German procedure recognizes something
9. Reforms enacted in 1976 and in force called the Konzentrationsmaxime, which, if
since 1977, based on practice pioneered in translated as the “principle of concentration”
Stuttgart and widely known as the “Stuttgart and equated with the rule of concentrated
Model,” encourage the courts to dispose of trial in Anglo-American law, is a serious
a case in a single hearing when circumstances false cognate. The Konzentrationsmaxime
permit. See, e.g., LEO ROSENBERG & KARL-HEINZ expresses nothing more than the general
SCHWAB, ZIVILPROZESSRECHT § 84, at 456–60, § efficiency value that the court should
107, at 614–17 (13th ed. 1981); see id. § 107, handle the case as rapidly as possible, and

INSTITUTIONS 69
Initiation. The plaintiff’s lawyer commences a lawsuit in Germany

with a complaint. Like its American counterpart, the German complaint
narrates the key facts, sets forth a legal theory, and asks for a remedy in
damages or specific relief.10 Unlike an American complaint, however, the
German document proposes means of proof for its main factual
contentions.11 The major documents in the plaintiff’s possession that sup-
port his claim are scheduled and often appended; other documents (for
example, hospital files or government records such as police accident
reports or agency files) are indicated; witnesses who are thought to know
something helpful to the plaintiff’s position are identified. The defendant’s
answer follows the same pattern. It should be emphasized, however, that
neither plaintiff’s nor defendant’s lawyer will have conducted any signifi-
cant search for witnesses or for other evidence unknown to his client.
Digging for facts is primarily the work of the judge.12
Judicial Preparation. The judge to whom the case is entrusted exam-
ines these pleadings and appended documents.13 He routinely sends for
relevant public records. These materials form the beginnings of the official
dossier, the court file. All subsequent submissions of counsel, and all
subsequent evidence-gathering, will be entered in the dossier, which is
open to counsel’s inspection continuously.
When the judge develops a first sense of the dispute from these mater-
ials, he will schedule a hearing and notify the lawyers. He will often invite
and sometimes summon the parties as well as their lawyers to this or
subsequent hearings. If the pleadings have identified witnesses whose
testimony seems central, the judge may summon them to the initial hear-
ing as well.14
Hearing. The circumstances of the case dictate the course of the hear-
ing. Sometimes the court will be able to resolve the case by discussing it
with the lawyers and parties and suggesting avenues of compromise. If the
where possible in a single hearing. See, e.g., judge court in most circumstances. For
ADOLF BAUMBACH, ZIVILPROZESSORDNUNG § 253, background in English see Fisch, supra note
Übersicht at 634, 2(E) (43d ed. 1985). 8, at 227–36; on the former practice, see
10. See ZPO § 253 (complaint); id. §§ 271, Kaplan-von Mehren, supra note 8, at
274(II) (service on the defendant). 1206–07, 1247–49.
11. ZPO § 253(IV) invokes ZPO § 130, 14. The nineteenth-century tradition
including § 130(5), calling for the party to that one of the parties had to nominate
designate the means of proof he thinks will a witness before the court could examine
support his contentions of fact. For him (Verhandlungsmaxime) has long been
a specimen complaint and other items of something of a fiction, since a party usually
record from a hypothetical lawsuit rendered detects a strong incentive to follow judicial
in English, see 2 E. COHN, supra note 8, at suggestion in nominating some line of proof.
191–97. The reforms of the 1970s directed to
12. For English-language discussion of accelerating the procedure have further
this point, which is so striking to those of us accentuated the court’s authority to
bred in the Anglo-American tradition, see investigate independent of party
Kaplan-von Mehren, supra note 8, at nomination. For recent complaint from the
1206–07, 1247–49. bar that the bench is straining too far in
13. In former times there was greater this direction, see Birk, Wer führt den
use of collegial first-instance courts, but by Zivilprozess – der Anwalt oder der Richter?
1974 the tradeoff between dispatch and 38 NEUE JURISTISCHE WOCHENSCHRIFT 1489,
safeguard was resolved in favor of dispatch, 1496 (1985).
and ZPO § 348 now presupposes a single-

case remains contentious and witness testimony needs to be taken, the

court will have learned enough about the case to determine a sequence for
examining witnesses.
Examining and Recording. The judge serves as the examiner-in-chief.
At the conclusion of his interrogation of each witness, counsel for either
party may pose additional questions, but counsel are not prominent as
examiners.15 Witness testimony is seldom recorded verbatim; rather, the
judge pauses from time to time to dictate a summary of the testimony into
the dossier.16 The lawyers sometimes suggest improvements in the word-
ing of these summaries, in order to preserve or to emphasize nuances
important to one side or the other.
Since the proceedings in a difficult case may require several hearings
extending across many months, these summaries of concluded testimony –
by encapsulating succinctly the results of previous hearings – allow the
court to refresh itself rapidly for subsequent hearings. The summaries also
serve as building blocks from which the court will ultimately fashion the
findings of fact for its written judgment. If the case is appealed, these
concise summaries constitute the record for the reviewing court. (We
shall see that the first appellate instance in German procedure involves
review de novo, in which the appellate court can form its own view of the
facts, both from the record and, if appropriate, by recalling witnesses or
summoning new ones.17)
Anyone who has had to wade through the longwinded narrative of
American pretrial depositions and trial transcripts (which preserve every
inconsequential utterance, every false start, every stammer) will see at
once the economy of the German approach to taking and preserving
evidence.18 Our incentives run the other way; we pay court reporters by
the page and lawyers mostly by the hour.
A related source of dispatch in German procedure is the virtual
absence of any counterpart to the Anglo-American law of evidence.
German law exhibits expansive notions of testimonial privilege, especially
for potential witnesses drawn from the family.19 But German procedure
functions without the main chapters of our law of evidence, those rules
(such as hearsay) that exclude probative evidence for fear of the inability of
the trier of fact to evaluate the evidence purposively. In civil litigation
German judges sit without juries (a point to which this essay recurs20);
evidentiary shortcomings that would affect admissibility in our law affect
weight or credit in German law.
Expertise. If an issue of technical difficultly arises on which the court
or counsel wishes to obtain the views of an expert, the court – in
15. See ZPO §§ 395–97. 19. ZPO §§ 383–89. See generally

16. See Kötz, Civil Litigation, supra note A. BAUMBACH, supra note 9, §§ 383–389, at
9, at 240. 1018–29.
17. See infra text accompanying notes 20. See infra text accompanying notes
115–20. 144–53.
18. But see infra text accompanying note
79.

INSTITUTIONS 71
consultation with counsel – will select the expert and define his role. (This
aspect of the procedure I shall discuss particularly in Part IV below.)
Further Contributions of Counsel. After the court takes witness testi-
mony or receives some other infusion of evidence, counsel have the oppor-
tunity to comment orally or in writing. Counsel use these submissions in
order to suggest further proofs or to advance legal theories. Thus, nonad-
versarial proof-taking alternates with adversarial dialogue across as many
hearings as are necessary. The process merges the investigatory function
of our pretrial discovery and the evidence-presenting function of our trial.
Another manifestation of the comparative efficiency of German procedure
is that a witness is ordinarily examined only once. Contrast the American
practice of partisan interview and preparation, pretrial deposition, prep-
aration for trial, and examination and cross-examination at trial. These
many steps take their toll in expense and irritation.
Judgment. After developing the facts and hearing the adversaries’
views, the court decides the case in a written judgment that must contain
full findings of fact and make reasoned application of the law.21
II. Judicial Control of Sequence
From the standpoint of comparative civil procedure, the most import-
ant consequence of having judges direct fact-gathering in this episodic
fashion is that German procedure functions without the sequence rules
to which we are accustomed in the Anglo-American procedural world. The
implications for procedural economy are large. The very concepts of “plain-
tiff’s case” and “defendant’s case” are unknown. In our system those con-
cepts function as traffic rules for the partisan presentation of evidence to
a passive and ignorant trier. By contrast, in German procedure the court
ranges over the entire case, constantly looking for the jugular – for the
issue of law or fact that might dispose of the case.22 Free of constraints that
arise from party presentation of evidence, the court investigates the dis-
pute in the fashion most likely to narrow the inquiry. A major job of counsel
is to guide the search by directing the court’s attention to particularly
cogent lines of inquiry.
Suppose that the court has before it a contract case that involves
complicated factual or legal issues about whether the contract was formed,
and if so, what its precise terms were. But suppose further that the court
quickly recognizes (or is led by submission of counsel to recognize) that some
factual investigation might establish an affirmative defense – illegality, let
us say – that would vitiate the contract. Because the court functions without
sequence rules, it can postpone any consideration of issues that we would
think of as the plaintiff’s case – here the questions concerning the formation
and the terms of the contract. Instead, the court can concentrate the entire
initial inquiry on what we would regard as a defense. If, in my example, the
court were to unearth enough evidence to allow it to conclude that the
21. For discussion of the importance of 22. For English-language discussion, see
those safeguards, see infra text Kaplan-von Mehren, supra note 8, at
accompanying notes 110–14. 1208–31, especially 1224–28.

contract was illegal, no investigation would ever be done on the issues of

formation and terms. A defensive issue that could only surface in Anglo-
American procedure following full pretrial and trial ventilation of the whole
of the plaintiff’s case can be brought to the fore in German procedure.
Part of what makes our discovery system so complex is that, on
account of our division into pretrial and trial, we have to discover for the
entire case. We investigate everything that could possibly come up at trial,
because once we enter the trial phase we can seldom go back and search for
further evidence.23 By contrast, the episodic character of German fact-
gathering largely eliminates the danger of surprise; if the case takes an
unexpected turn, the disadvantaged litigant can count on developing his
response in another hearing at a later time. Because there is no pretrial
discovery phase, fact-gathering occurs only once; and because the court
establishes the sequence of fact-gathering according to criteria of rele-
vance, unnecessary investigation is minimized. In the Anglo-American
procedural world we value the early-disposition mechanism, especially
summary judgment, for issues of law. But for fact-laden issues, our fixed-
sequence rule (plaintiff’s case before defendant’s case) and our single-
continuous-trial rule largely foreclose it.
The episodic character of German civil procedure – Benjamin Kaplan
called it the “conference method”24 of adjudication – has other virtues: It
lessens tension and theatrics, and it encourages settlement. Countless
novels, movies, plays, and broadcast serials attest to the dramatic poten-
tial of the Anglo-American trial. The contest between opposing counsel; the
potential for surprise witnesses who cannot be rebutted in time; the tricks
of adversary examination and cross-examination; the concentration of
proof-taking and verdict into a single, continuous proceeding; the unpre-
dictability of juries and the mysterious opacity of their conclusory verdicts –
these attributes of the Anglo-American trial make for good theatre.
German civil proceedings have the tone not of the theatre, but of
a routine business meeting – serious rather than tense. When the court
inquires and directs, it sets no stage for advocates to perform. The forensic
skills of counsel can wrest no material advantage, and the appearance of
a surprise witness would simply lead to the scheduling of a further hearing.
In a system that cannot distinguish between dress rehearsal and opening
night, there is scant occasion for stage fright.
In this business-like system of civil procedure the tradition is strong
that the court promotes compromise.25 The judge who gathers the facts
23. For discussion of the parallels to goal for which a healthy legal system
discovery waves under the Manual for continually strives.” OTHMAR JAUERNIG,
Complex Litigation and to bifurcated trials ZIVILPROZESSRECHT § 48 (VII), at 171 (20th ed.
under Federal Rule of Civil Procedure 42, see 1983). Kaplan and his coauthors remark:
infra text accompanying notes 134–35. “The intensity and candor of the court’s
24. Kaplan, supra note 8, at 410. drive toward settlement will astonish an
25. ZPO § 279 imposes upon the court American observer. In few cases does
the duty to explore the possibility of settlement go unmentioned and it is the
a settlement at every stage of the judge who generally initiates the
proceeding. “Settlement is sometimes prized discussion.” Kaplan-von Mehren, supra note
as the crown of the judicial function, as the 8, at 1223.

INSTITUTIONS 73
soon knows the case as well as the litigants do, and he concentrates each
subsequent increment of fact-gathering on the most important issues still
unresolved. As the case progresses the judge discusses it with the litigants,
sometimes indicating provisional views of the likely outcome.26 He is,
therefore, strongly positioned to encourage a litigant to abandon a case
that is turning out to be weak or hopeless, or to recommend settlement. The
loser-pays system of allocating the costs of litigation gives the parties
further incentive to settle short of judgment.27
III. Witnesses
Adversary control of fact-gathering in our procedure entails a high
level of conflict between partisan advantage and orderly disclosure of the
relevant information. Marvin Frankel put this point crisply when he said
that “it is the rare case in which either side yearns to have the witnesses, or
anyone, give the whole truth.”28
If we had deliberately set out to find a means of impairing the reliabil-
ity of witness testimony, we could not have done much better than the
existing system of having partisans prepare witnesses in advance of trial
and examine and cross-examine them at trial. Jerome Frank described the
problem a generation ago:
[The witness] often detects what the lawyer hopes to prove at the trial.
If the witness desires to have the lawyer’s client win the case, he will
often, unconsciously, mold his story accordingly. Telling and re-telling
it to the lawyer, he will honestly believe that his story, as he narrates it
in court, is true, although it importantly deviates from what he origin-
ally believed.29
Thus, said Frank, “the partisan nature of trials tends to make partisans of
the witnesses.”30
Cross-examination at trial – our only substantial safeguard against
this systematic bias in the testimony that reaches our courts – is a frail and
fitful palliative. Cross-examination is too often ineffective to undo the
26. The presiding judge is required to Fee Shifting, LAW & CONTEMP. PROBS., Winter
discuss the factual and legal aspects of the 1984, at 37; infra note 78.
case with the parties, ZPO § 139(I), and to In a valuable recent analysis of the effects
advise the parties of his doubts, ZPO § 139 of cost-shifting regimes, Steven Shavell
(II). makes the point that cost-shifting actually
27. ZPO § 91 announces the basic increases the parties’ propensity to litigate
principle, although the details extend across in the situation where each overvalues his
several special statutes, including the chances of prevailing. Shavell, Suit,
Kostenordnung [KOSTO] (Statute on Costs) Settlement, and Trial: A Theoretical
and the Analysis under Alternative Methods for the
Bundesrechtsanwaltsgebührenordnung Allocation of Legal Costs, 11 J. LEGAL STUD.
[BRAGO] (Federal Statute on Lawyers’ 55, 65–66 (1982). The German effort at active
Fees). See generally 1 STEIN-JONAS, judicial clarification of the facts and issues is
KOMMENTAR ZUR ZIVILPROZESSORDNUNG § 91 a counterforce likely to correct such
Vorbemerkungen at 293–304 (20th ed. misperceptions much of the time.
1984). For brief treatment in English, see 2 28. Frankel, supra note 1, at 1038
E. COHN, supra note 8, at 182–90; Kaplan-von (emphasis in original).
Mehren, supra note 8, at 1461–70; see also 29. J. FRANK, supra note 1, at 86.
Pfennigstorf, The European Experience with 30. Id.

consequences of skillful coaching. Further, because cross-examination

allows so much latitude for bullying and other truth-defeating stratagems,
it is frequently the source of fresh distortion when brought to bear against
truthful testimony.31 As a leading litigator boasted recently in an ABA
publication: “By a carefully planned and executed cross-examination, I can
raise at least a slight question about the accuracy of [an adverse] witness’s
story, or question his motives or impartiality.”32
When we cross the border into German civil procedure, we leave
behind all traces of this system of partisan preparation, examination,
and cross-examination of witnesses. German law distinguishes parties
from witnesses. A German lawyer must necessarily discuss the facts with
his client, and based on what his client tells him and on what the documen-
tary record discloses, the lawyer will nominate witnesses whose testimony
might turn out to be helpful to his client. As the proofs come in, they may
reveal to the lawyer the need to nominate further witnesses for the court to
examine. But the lawyer stops at nominating; virtually never will he have
occasion for out-of-court contact with a witness. Not only would such
contact be a serious ethical breach, it would be self-defeating. “German
judges are given to marked and explicit doubts about the reliability of the
testimony of witnesses who previously have discussed the case with coun-
sel or who have consorted unduly with a party.”33
No less a critic than Jerome Frank was prepared to concede that in
American procedure the adversaries “sometimes do bring into court evi-
dence which, in a dispassionate inquiry, might be overlooked.”34 That is
a telling argument for including adversaries in the fact-gathering process,
31. Wigmore’s celebrated panegyric – ineffectual, it is also tedious, repetitive, time-

that cross-examination is “the greatest legal wasting, and insulting.
engine ever invented for the discovery of 32. Hanley, Working the Witness Puzzle,
truth” – is nothing more than an article of LITIGATION, Winter 1977, at 8, 10.
faith. 5 JOHN H. WIGMORE, EVIDENCE § 1367, at 33. Kaplan-von Mehren, supra note 8,
29 (3d ed. 1940). Judge Frankel explains at 1201. Kötz has written lately in
why: “The litigator’s devices, let us be clear, a similar vein: “German attorneys will be
have utility in testing dishonest witnesses, highly reluctant to talk with prospective
ferreting out falsehoods, and thus exposing witnesses. This results in part from an
the truth. But to a considerable degree these ethical standard as expressed in the
devices are like other potent weapons, canons promulgated by the German Bar
equally lethal for heroes and villains.” Association where it is said: ‘Questioning
Frankel, supra note 1, at 1039. of witnesses out of court is advisable only
For a well-known discussion of when special circumstances justify it. In
deliberately misleading techniques of such questioning even the appearance of
examination and cross-examination, drawn attempting to influence the witness must
mostly from how-to books, see J. FRANK, be avoided.’ [Citing Richtlinien der
supra note 1, at 81–85. For recent Bundesrechtsanwaltskammer für die
discussion (by a booster of adversary Ausübung des Anwaltsberufs, § 4
procedure) of the shortcomings of cross- (May 11, 1957).] If any attorneys were
examination as a remedy for coaching, see prepared to wink at this standard, which
Landsman, Reforming the Adversary is doubtful, they would have to take
Procedure: A Proposal Concerning the account of the further fact that German
Psychology of Memory and the Testimony of judges would take an extremely dim view
Disinterested Witnesses, 45 U. PITT. L. REV. of the reliability of witnesses who
547, 570–71 (1984). In the hands of many of previously had discussed the case with
its practitioners, cross-examination is not counsel.” Kötz, Civil Litigation, supra
only frequently truth-defeating or note 9, at 241.
34. J. F R A N K , supra note 1, at 80.

INSTITUTIONS 75
but not for letting them run it. German civil procedure preserves party
interests in fact-gathering. The lawyers nominate witnesses, attend and
supplement court questioning, and develop adversary positions on the
significance of the evidence. Yet German procedure totally avoids the
distortions incident to our partisan witness practice.
IV. Experts
The European jurist who visits the United States and becomes
acquainted with our civil procedure typically expresses amazement at
our witness practice. His amazement turns to something bordering on
disbelief when he discovers that we extend the sphere of partisan control
to the selection and preparation of experts. In the Continental tradition
experts are selected and commissioned by the court, although with great
attention to safeguarding party interests. In the German system, experts
are not even called witnesses. They are thought of as “judges’ aides.”35
Perverse Incentives. At the American trial bar, those of us who serve as
expert witnesses are known as “saxophones.” This is a revealing term, as
slang often is.36 The idea is that the lawyer plays the tune, manipulating
the expert as though the expert were a musical instrument on which the
lawyer sounds the desired notes. I sometimes serve as an expert in trust
and pension cases, and I have experienced the subtle pressures to join the
team – to shade one’s views, to conceal doubt, to overstate nuance, to
downplay weak aspects of the case that one has been hired to bolster.
Nobody likes to disappoint a patron; and beyond this psychological pres-
sure is the financial inducement. Money changes hands upon the rendering
of expertise, but the expert can run his meter only so long as his patron
litigator likes the tune. Opposing counsel undertakes a similar exercise,
hiring and schooling another expert to parrot the contrary position. The
result is our familiar battle of opposing experts. The more measured and
impartial an expert is, the less likely he is to be used by either side.37
At trial, the battle of experts tends to baffle the trier, especially in jury
courts. If the experts do not cancel each other out, the advantage is likely to be
35. E.g., KURT JESSNITZER, DER strongly motivated towards advocacy of his
GERICHTLICHE SACHVERSTÄNDIGE 72, 78 (7th ed. particular prejudiced point of view.”
1978). Diamond, The Fallacy of the Impartial
36. Equally revealing is the slang used to Expert, 3 ARCHIVES OF CRIM. PSYCHODYNAMICS
describe the preparation of ordinary 221, 229–30 (1959), reprinted in DAVID
witnesses: “sandpapering” and W. LOUISELL, GEOFFREY C. HAZARD, JR. &
“horseshedding.” For remarks on the latter, COLIN C. TAIT, CASES AND MATERIALS ON
see MARVIN E. FRANKEL, PARTISAN JUSTICE 15 PLEADING AND PROCEDURE 842, 846 (5th ed.
(1980). 1983). However, it is important not to
37. Advertisements like the following confuse litigation-bias (hiring somebody to
(from the journal of the trial lawyers’ conform his views to the needs of your
association) conjure up a vision more of the lawsuit) with the good faith differences of
huckster than of the scientist: “EXPLODING opinion that can develop in scientific fields
BOTTLES FLYING CAPS[:] expert with 20 or in other areas of expertise concerning
years worldwide experience . . . 100% success questions that have not been
to date.” TRIAL, Feb. 1985, at 92. authoritatively resolved. It is true that bias
One excuse for the litigation-biased expert may provoke a difference of opinion; it is false
is the claim that “there is no such thing as to reason that a difference of opinion must
a neutral, impartial [expert] witness . . . [He] reflect bias.
is bound to be biased and partial, and

with the expert whose forensic skills are the more enticing. The system invites
abusive cross-examination. Since each expert is party-selected and party-
paid, he is vulnerable to attack on credibility regardless of the merits of his
testimony. A defense lawyer recently bragged about his technique of cross-
examining plaintiffs’ experts in tort cases. Notice that nothing in his strategy
varies with the truthfulness of the expert testimony he tries to discredit:
A mode of attack ripe with potential is to pursue a line of questions

which, by their form and the jury’s studied observation of the witness
in response, will tend to cast the expert as a “professional witness.” By
proceeding in this way, the cross-examiner will reap the benefit of
a community attitude, certain to be present among several of the
jurors, that bias can be purchased, almost like a commodity.38
Thus, the systematic incentive in our procedure to distort expertise leads to

a systematic distrust and devaluation of expertise. Short of forbidding the
use of experts altogether, we probably could not have designed a procedure
better suited to minimize the influence of expertise.39
The Continental Tradition. European legal systems are, by contrast,
expert-prone.40 Expertise is frequently sought. The literature emphasizes
the value attached to having expert assistance available to the courts in an
age in which litigation involves facts of ever-greater technical difficulty.41
The essential insight of Continental civil procedure is that credible expert-
ise must be neutral expertise. Thus, the responsibility for selecting and
informing experts is placed upon the courts, although with important
protections for party interests.
Selecting the Expert. German courts obtain expert help in lawsuits the
way Americans obtain expert help in business or personal affairs. If you
need an architect, a dermatologist, or a plumber, you do not commission
a pair of them to take preordained and opposing positions on your problem,
although you do sometimes take a second opinion. Rather, you take care to
find an expert who is qualified to advise you in an objective manner; you
probe his advice as best you can; and if you find his advice persuasive, you
follow it.
38. Ryan, Making the Plaintiff’s Expert Fla. 1982), cited in Merryman, Foreign Law
Yours, FOR THE DEFENSE, Nov. 1982, at 12, 13; as a Problem,19 STAN.J. INT’L L. 151, 158 n.10
see also Trine, Cross-examining the Expert (1983).
Witness in the Products Case, TRIAL, Nov. 40. See generally INSTITUT DE DROIT
1983, at 86 (taking as its leitmotif the COMPARÉ DE PARIS, L’EXPERTISE DANS LES
advice from a fisherman’s manual that PRINCIPAUX SYSTÈMES JURIDIQUES D’EUROPE
“[t]he concept behind playing a trout is to (1969).
tire him to the point where he may be easily 41. E.g., Arens, Stellung and Bedeutung
handled or netted, yet is not at the portals of des technischen Sachverständigen im
death”). Prozess, in EFFEKTIVITÄT DES RECHTSSCHUTZES
39. See, for example, the trial judge’s UND VERFASSUNGSMÄSSIGE ORDNUNG 299 (P.
account of a proceeding that concerned an Gilles ed. 1983). For a volume of conference
issue of Salvadoran law: “[T]he experts for proceedings largely devoted to this topic, see
the respective sides contradict each other in DER TECHNISCHE SACHVERSTÄNDIGE IM PROZESS
every material respect.” Corporacion (F. Nicklisch ed. 1984) (see especially id. at
Salvadorena de Calzado, S.A. v. Injection 273 ff., for the editor’s English-language
Footwear Corp., 533 F. Supp. 290, 293 (S.D. general report).

INSTITUTIONS 77
When in the course of winnowing the issues in a lawsuit a German

court determines that expertise might help resolve the case, the court
selects and instructs the expert. The court may decide to seek expertise
on its own motion, or at the request of one of the parties.42 The code of civil
procedure allows the court to request nominations from the parties;43
indeed, the code requires the court to use any expert upon whom the
parties agree44 – but neither practice is typical. In general, the court
takes the initiative in nominating and selecting the expert.
The only respect in which the code of civil procedure purports to
narrow the court’s discretion to choose the expert is a provision whose
significance is less than obvious: “If experts are officially designated for
certain fields of expertise, other persons should be chosen only when
special circumstances require.”45 One looks outside the code of civil pro-
cedure, to the federal statutes regulating various professions and trades,
for the particulars on official designation.46 For the professions, the stat-
utes typically authorize the official licensing bodies to assemble lists of
professionals deemed especially suited to serve as experts. In other fields,
the state governments designate quasi-public bodies to compile such lists.
For example, under section 36 of the federal code on trade regulation, the
state governments empower the regional chambers of commerce and
industry (Industrie- und Handelskammern) to identify experts in a wide
variety of commercial and technical fields. That statute directs the
empowered chamber to choose as experts persons who have exceptional
knowledge of the particular specialty and to have these persons sworn to
render professional and impartial expertise.47 The chamber circulates its
lists of experts, organized by specialty and subspecialty, to the courts.
German judges receive sheaves of these lists as the various issuing bodies
update and recirculate them.
Current Practice. In 1984 I spent a little time interviewing judges in
Frankfurt about their practice in selecting experts.48 My sample of
a handful of judges is not large enough to impress statisticians, but
I think the picture that emerges from serious discussion with people who
operate the system is worth reporting. Among the judges with whom
I spoke, I found unanimity on the proposition that the most important
factor pre-disposing a judge to select an expert is favorable experience
with that expert in an earlier case. Experts thus build reputations with
the bench. Someone who renders a careful, succinct, and well-
substantiated report and who responds effectively to the subsequent
42. See ZPO § 404(I); K. JESSNITZER, 47. G E W E R B E OR DN U N G [GEWO] (Code on

supra note 35, at 97. Trade Regulation) § 36.
43. ZPO § 404(III). 48. I wish especially to acknowledge
44. ZPO § 404(IV). rewarding discussions with Dr. Erika
45. ZPO § 404(II). Bokelmann, Richterin am Oberlandesgericht
46. For a list of statutes that authorize Frankfurt; Dr. Heinrich Götzke, Vorsitzender
licensing and similar bodies to designate Richter am Landgericht Frankfurt; and
experts, see 2 STEIN-JONAS, KOMMENTAR ZUR Dr. Ernst Windisch, Richter am
ZIVILPROZESSORDNUNG § 404(II), at 1674–75 Bundesgerichtshof.
(19th ed. 1972); see also K. JESSNITZER, supra
note 35, at 122–23.

questions of the court and the parties will be remembered when another
case arises in his specialty. Again we notice that German civil procedure
tracks the patterns of decision-making in ordinary business and personal
affairs: If you get a plumber to fix your toilet and he does it well, you incline
to hire him again.
When judges lack personal experience with appropriate experts, I am
told, they turn to the authoritative lists described above. If expertise is
needed in a field for which official lists are unavailing, the court is thrown
upon its own devices. The German judge then gets on the phone, working
from party suggestions and from the court’s own research, much in the
fashion of an American litigator hunting for expertise. In these cases there
is a tendency to turn, first, to the bodies that prepare expert lists in cognate
areas; or, if none, to the universities and technical institutes.
If enough potential experts are identified to allow for choice, the court
will ordinarily consult party preferences. In such circumstances a litigant
may ask the court to exclude an expert whose views proved contrary to his
interests in previous litigation or whom he otherwise disdains. The court
will try to oblige the parties’ tastes when another qualified expert can be
substituted. Nevertheless, a litigant can formally challenge an expert’s
appointment only on the narrow grounds for which a litigant could seek
to recuse a judge.49
Preparing the Expert. The court that selects the expert instructs him,
in the sense of propounding the facts that he is to assume or to investigate,
and in framing the questions that the court wishes the expert to address.50
In formulating the expert’s task, as in other important steps in the conduct
of the case, the court welcomes adversary suggestions. If the expert should
take a view of premises (for example, in an accident case or a building-
construction dispute), counsel for both sides will accompany him.51
Safeguards. The expert is ordinarily instructed to prepare a written
opinion.52 When the court receives the report, it is circulated to the liti-
gants. The litigants commonly file written comments, to which the expert is
asked to reply. The court on its own motion may also request the expert to
amplify his views. If the expert’s report remains in contention, the court
will schedule a hearing at which counsel for a dissatisfied litigant can
confront and interrogate the expert.
The code of civil procedure reserves to the court the power to order
a further report by another expert if the court should deem the first report
unsatisfactory.53 A litigant dissatisfied with the expert may encourage the
court to invoke its power to name a second expert. The code of criminal
procedure has a more explicit standard for such cases, which is worth
49. ZPO § 406(I). See generally language of the statute may make this look
A. BAUMBACH, supra note 9, § 406, at 1047–49. exceptional (“If a written report is
50. E.g., PETER ARENS, ZIVILPROZESSRECHT ordered . . .”), but in practice ordering the
203 (2d ed. 1982). report is quite the norm. See K. JESSNITZER,
51. K. J E S SNI T Z E R , supra note 35, at supra note 35, at 166–67.
183. 53. ZPO § 412(I).
52. ZPO § 411(I) authorizes the court to
require the expert to report in writing. The

INSTITUTIONS 79
noticing because the literature suggests that courts have similar instincts
in civil procedure.54 The court may refuse a litigant’s motion to engage
a further expert in a criminal case, the code says,
if the contrary of the fact concerned has already been proved through
the former expert opinion; this [authority to refuse to appoint a further
expert] does not apply if the expertise of the former expert is doubted,
if his report is based upon inaccurate factual presuppositions, if the
report contains contradictions, or if the new expert has available
means of research that appear superior to those of a former expert.55
When, therefore, a litigant can persuade the court that an expert’s report
has been sloppy or partial, that it rests upon a view of the field that is not
generally shared, or that the question referred to the expert is exception-
ally difficult, the court will commission further expertise.56
A litigant may also engage his own expert, much as is done in the Anglo-
American procedural world, in order to rebut the court-appointed expert.
The court will discount the views of a party-selected expert on account of his
want of neutrality, but cases occur in which he nevertheless proves to be
effective. Ordinarily, I am told, the court will not in such circumstances base
its judgment directly upon the views of the party-selected expert; rather, the
court will treat the rebuttal as ground for engaging a further court-
appointed expert (called an Oberexperte, literally an “upper” or “superior”
expert), whose opinion will take account of the rebuttal.57
To conclude: In the use of expertise German civil procedure strikes an
adroit balance between nonadversarial and adversarial values. Expertise is
kept impartial, but litigants are protected against error or caprice through
a variety of opportunities for consultation, confrontation, and rebuttal.
The American Counterpart. It may seem curious that we make so little
use of court-appointed experts in our civil practice, since “[t]he inherent power
of a trial judge to appoint an expert of his own choosing is virtually
unquestioned”58 and has been extended and codified in the Federal Rules of
Evidence59 and the Uniform Rules of Evidence (Model Expert Testimony
Act).60 The literature displays both widespread agreement that our courts
virtually never exercise this authority, and a certain bafflement about why.61
While “simple inertia”62 doubtless accounts for much (our judges “are
accustomed to presiding over acts initiated by the parties”63), comparative
54. See, e.g., K. JESSNITZER, supra note 35, 58. F E D . R. EVID. 706 advisory committee
at 232. note.
55. STRAFPROZESSORDNUNG [STPO] (Code 59. F E D . R. EVID. 706.
of Criminal Procedure) § 244(IV). See 60. U N I F . R. EVID. 706, 13 U.L.A. 319
generally 3 LÖWE-ROSENBERG, DIE (1974).
STRAFPROZESSORDNUNG UND DAS 61. See, e.g., 3 JACK B. WEINSTEIN &
GERICHTSVERFASSUNGSGESETZ § 244 (IV), ¶¶ MARGARET A. BERGER, WEINSTEIN’S EVIDENCE ¶
143–150 (23d ed. 1978). 706[01], at 706-8 to -12 (Supp. 1985).
56. See K. JESSNITZER, supra note 35, at 62. Merryman, supra note 39, at 165.
231–32. 63. Id.
57. Cf. id. at 235–36.

example points to a further explanation. The difficulty originates with the

locktight segmentation of our procedure into pretrial and trial compart-
ments, and with the tradition of partisan domination of the pre trial. Until
lately, it was exceptional for the judge to have detailed acquaintance with
the facts of the case until the parties presented their evidence at trial. By
then the adversaries would have engaged their own experts, and time
would no longer allow a court-appointed expert to be located and prepared.
Effective use of court-appointed experts as exemplified in German practice
presupposes early and extensive judicial involvement in shaping the whole
of the proofs. It seems possible that the rise of managerial judging (dis-
cussed below in Part VIII) may at last achieve that precondition for effect-
ive use of court-appointed experts in our system.64
V. Shortcomings of Adversary Theory
The case against adversary domination of fact-gathering is so compel-
ling that we have cause to wonder why our system tolerates it. Because
there is nothing to be said in support of coached witnesses, and very little to
be said in favor of litigation-biased experts, defenders of the American
status quo are left to argue that the advantages of our adversary procedure
counterbalance these grievous, truth-defeating distortions. “You have to
take the bad with the good; if you want adversary safeguards, you are stuck
with adversary excesses.”
The False Conflict. This all-or-nothing argument overlooks the funda-
mental distinction between fact-gathering and the rest of civil litigation.
Outside the realm of fact-gathering, German civil procedure is about as
adversarial as our own. Both systems welcome the lawyerly contribution to
identifying legal issues and sharpening legal analysis.65 German civil
procedure is materially less adversarial than our own only in the fact-
gathering function, where partisanship has such potential to pollute the
sources of truth.
Accordingly, the proper question is not whether to have lawyers, but
how to use them; not whether to have an adversarial component to civil
procedure, but how to prevent adversarial excesses. If we were to incorpor-
ate the essential lesson of the German system in our own procedure, we
would still have a strongly adversarial civil procedure. We would not,
however, have coached witnesses and litigation-biased experts.
The Confusion with Criminal Procedure. Much of the rhetoric66 cele-
brating unrestrained adversary domination of judicial proceedings stems
from the criminal process, where quite different policies are at work.67 It
64. See infra text accompanying note CAROLINE 8 (J. Nightingale ed. 1821), cited in
130. Fried, The Lawyer as Friend: The Moral
65. See supra text accompanying note 4. Foundations of the Lawyer–Client Relation,
66. The obligatory illustration is Lord 85 YALE L.J. 1060, 1060 n.1 (1976).
Brougham’s speech in the defense of Queen 67. Monroe Freedman’s well-known
Caroline: “[A]n advocate, in the discharge of book, LAWYERS’ ETHICS IN AN ADVERSARY
his duty, knows but one person in all the SYSTEM (1975), typifies this viewpoint.
world, and that person is his client. To save Regarding limiting this policy to criminal as
that client by all means and expedients . . . is opposed to civil procedure, see, e.g., Luban,
his first and only duty. . . .” 2 TRIAL OF QUEEN The Adversary System Excuse, in THE GOOD

INSTITUTIONS 81
has been argued that partisan fact-gathering is appropriate to the special

values of criminal procedure – the presumption of innocence, the beyond-
reasonable-doubt standard of proof, and the privilege against self-
incrimination.68 Bestowing upon the criminal accused the right to conduct
his own fact-gathering, despite the risk that he may misuse this power in
truth-defeating ways, can be understood as one more way of adjusting the
scales to protect the accused. “The specter of capital punishment and the
often barbaric conditions of our penal institutions in the past and present,
as well as the unique stigma of conviction of a crime, have had a profound
impact upon the protections accorded the defendant and the freedom of
action accorded the defense lawyer in a criminal case.”69 While I happen to
disagree that adversary procedure is a particularly effective way to imple-
ment our concern for safeguard in the criminal process,70 my present point
is simply that regardless of right or wrong, that concern is absent in the
world of civil procedure. In civil lawsuits we are not trying systematically
to err in favor of one class of litigants.
Equality of Representation. The German system gives us a good per-
spective on another great defect of adversary theory, the problem that the
Germans call “Waffenungleichheit” – literally, inequality of weapons, or in
this instance, inequality of counsel. In a fair fight the pugilists must be well
matched. You cannot send me into a ring with Muhammed Ali if you expect
a fair fight. The simple truth is that very little in our adversary system is
designed to match combatants of comparable prowess, even though adver-
sarial prowess is a main factor affecting the outcome of litigation.
Adversary theory thus presupposes a condition that adversary practice
achieves only indifferently. It is a rare litigator in the United States who
has not witnessed the spectacle of a bumbling adversary whose poor dis-
covery work or inability to present evidence at trial caused his client to lose
a case that should have been won. Disparity in the quality of legal repre-
sentation can make a difference in Germany, too, but the active role of the
judge places major limits on the extent of the injury that bad lawyering can
work on a litigant.71 In German procedure both parties get the same fact-
gatherer – the judge. (I discuss below (in Part VI) the incentives and
safeguards designed to attract and motivate able judges.)
LAWYER: LAWYERS’ ROLES AND LAWYERS’ ETHICS German criminal procedure. For
83, 91–92 (D. Luban ed. 1984); Schwartz, The a discussion of German criminal procedure,
Zeal of the Civil Advocate, 1983 AM. see Langbein, Land without Plea
B. FOUND. RESEARCH J. 543, 548–50. Bargaining: How the Germans Do It, 78
68. See, e.g., Garner v. United States, MICH. L. REV. 204, 206–12 (1979).
424 U.S. 648, 655 (1976), asserting that “the 71. The active role of the German judge
preservation of an adversary system of extends to matters of law as well as fact. The
criminal justice” is “the fundamental discussion of this point in the Kaplan-von
purpose of the Fifth Amendment.” Mehren article remains quite sound: There
69. Schwartz, supra note 67, at 550. is “an overriding principle of German law,
70. It seems unlikely that privatized jura novit curia, the court knows – and is
fact-gathering favors the accused in bound to apply – general law without
American criminal procedure. In the typical prompting from the parties.” Kaplan-von
case the prosecution’s greater resources Mehren, supra note 8, at 1224–25
disadvantage the accused by comparison (discussing ZPO § 139); cf. id. at 1227–28.
with the nonadversarial fact-gathering of

Prejudgment. Perhaps the most influential justification for adversary

domination of fact-gathering has been an argument put forward by Lon
Fuller: Nonadversarial procedure risks prejudgment – that is, prematurity
in judgment.72 Fuller worried that the judge would make up his mind too
soon:
What generally occurs in practice is that at some early point a familiar
pattern will seem to emerge from the evidence; an accustomed label is
waiting for the case and, without awaiting further proofs, this label is
promptly assigned to it . . .
An adversary presentation seems the only effective means for combat-
ting this natural human tendency to judge too swiftly in terms of the
familiar that which is not yet fully known. The arguments of counsel hold
the case, as it were, in suspension between two opposing interpretations
of it. While the proper classification of the case is thus kept unresolved,
there is time to explore all of its peculiarities and nuances.73
This passage obtains much of its force from the all-or-nothing contrast that so
misdescribes German civil procedure. In a system like the German, which
combines judicial fact-gathering with vigorous and continuing adversarial
efforts in nominating lines of factual inquiry and analyzing factual and
legal issues, the adversaries perform just the role that Fuller lauds, helping
hold the decision in suspension while issues are framed and facts explored.
In German procedure counsel oversees and has means to prompt
a flagging judicial inquiry; but quite apart from that protection, is it really
true that a “familiar pattern” would otherwise beguile the judge into investi-
gating too sparingly? If so, it seems odd that this asserted “natural human
tendency” towards premature judgment does not show up in ordinary busi-
ness and personal decision-making, whose patterns of inquiry resemble the
fact-gathering process in German civil procedure. Since the decision-maker
does his own investigating in most of life’s decisions, it seems odd to despair of
prematurity only when that normal mode of decision-making is found to
operate in a courtroom. Accordingly, I think that Fuller overstates the danger
of prematurity that inheres in allowing the decision-maker to conduct the
fact-gathering; but to the extent that the danger is real, German civil proced-
ure applies just the adversarial remedy that Fuller recommends.74
72. Fuller’s argument is usually cited to must have had nothing to do with writing it.
a speech text, Fuller, The Adversary System, Portions of Fuller’s argument were
in TALKS ON AMERICAN LAW 30 (H. Berman ed. republished in the posthumously assembled
1961). See, e.g., Schwartz, The Professionalism work that appeared as Fuller, The Forms and
and Accountability of Lawyers, 66 CALIF. L. Limits of Adjudication, 92 HARV. L. REV. 353,
REV. 669, 672 n.5 (1978) (citing that work as 383 (1978).
“[t]he first successful attempt to analyze the 73. Fuller, supra note 72, at 1160.
adversary system”). Fuller’s argument first 74. The assumption that adversary
appeared in the report of a body known as procedure corrects for the dangers of
the Joint Conference on Professional prejudgment needs itself to be probed.
Responsibility. Professional Responsibility: I have known American litigators to
Report of the Joint Conference, 44 A.B.A. J. complain of particular judges tending to
1159 (1958) [hereafter cited as Fuller]. make up their minds too soon, even on the
Randall cosigned the report for the ABA but pleadings.

INSTITUTIONS 83
Depth. Fuller’s concern about prematurity shades into a different issue:

how to achieve appropriate levels of depth in fact-gathering. Extra invest-
ment in search can almost always turn up further proofs that would be at
least tenuously related to the case. Adversary domination of fact-gathering
privatizes the decision about what level of resources to invest in the case. The
litigants who are directly interested in the outcome decide how much to spend
on search. In German procedure, by contrast, these partisan calculations of
self-interest are subordinated, for a variety of reasons. The initiative in fact-
gathering is shared with the judge; and the German system of reckoning and
allocating the costs of litigation is less sensitive to the cost of incremental
investigative steps than in our system where each side pays for the proofs
that it orders.75 On the other hand, the German judge cannot refuse to
investigate party-nominated proofs without reason,76 and this measure of
party control greatly narrows the difference between the two systems.
Writing in 1958, Kaplan and his co-authors recorded their “impression”
that German civil “proceedings do not in practice serve as an engine of
discovery comparable in strength to the modern American methods,”77 in
part because German courts are hostile to fishing.78 Further, the authors
75. See sources cited supra note 27. considerations of efficiency. Judge Rifkind
76. A. B A U M BA C H , supra note 9, § 286, at lamented a decade ago that
749–51, ¶¶ 3(B)(a)-(1).
77. Kaplan-von Mehren, supra note 8, at the power for the most massive inva-
1246. sion into private papers and private
78. Id. at 1247. information is available to anyone will-
The extreme form of fishing that our ing to take the trouble to file a civil
discovery process invites, viz., bringing complaint. A foreigner watching the
a lawsuit in order to discover whether you discovery proceedings in a civil suit
might actually have one, is unknown not only would never suspect that this country
in Continental procedure, but in English has a highly-prized tradition of privacy
procedure as well. See, e.g., Jolowicz, Some enshrined in the fourth amendment.
Twentieth Century Developments in
Anglo-American Civil Procedure, in 1 STUDI IN Rifkind, Are We Asking Too Much of Our
ONORE DI ENRICO TULLIO LIEBMAN 217, 241–44
Courts? 70 F.R.D. 96, 107 (1976).
(1979). Although the Kaplan-von Mehren article
The absence of fishing-type lawsuits is correctly observes that German hostility to
more a function of the loser-pays cost- fishing is a tension point in the contrast with
shifting principle common to all major legal American practice, the example that the
systems except our own than it is a function authors choose to illustrate the point is
of different investigative procedures. In this wrong. Without citation to authority, they
connection see Kaplan’s remarks on aspects say: “Suppose an eyewitness to an occurrence,
of discovery in England: testifying in court, states that another person
was present: is it permissible [for the court or
[R]epresenting a possible loser, the the adversaries] to ask him then and there to
solicitor is interested in holding down give up the person’s name? The answer
the expenses on his own side and in commonly given is no.” Kaplan-von Mehren,
seeing to it that his opponent’s reim- supra note 8, at 1247. However, the authors
bursed expenses are kept well within continue, “there is no bar to a party’s asking
reason; representing a potential win- the witness the same question in the court
ner, he is still concerned lest he incur corridor,” id., after which, presumably, that
expenses that will be found inessential side would nominate the newly-identified
and thus will not be reimbursed. witness for subsequent judicial examination.
I have put this example to countless German
Kaplan, An American Lawyer in the legal professionals familiar with German civil
Queen’s Courts: Impressions of English Civil procedure, and I have never found one who
Procedure, 69 MICH. L. REV. 821, 822 (1971). thought it was other than flatly wrong.
Hostility to fishing is not confined to other Whatever the etiquette may have been in
legal systems, nor based solely on Hamburg in the 1950s when Kaplan and his

worried that the technique of recording witness testimony in succinct sum-

maries could bleach out “[f]ine factual differentiations.”79 They found German
procedure to be “far less preoccupied than the American with minute investi-
gation of factual detail of reliability of individual witnesses.”80
Defenders of the American status quo may take too much comfort from
these observations. A main virtue of German civil procedure, we recall, is
that the principle of judicial control of sequence works to confine the scope of
fact-gathering to those avenues of inquiry deemed most likely to resolve the
case. Fact-gathering occurs when the unfolding logic of the case dictates that
investigation of particular issues is needed. That practice does indeed con-
trast markedly with the inclination of American litigators “to leave no stone
unturned, provided, of course, they can charge by the stone.”81 The primary
reason that German courts do less fact-gathering than American lawyers is
that the Germans eliminate the waste. Likewise, when American observers
notice that there is less harrying of witnesses with “those elaborate testings
of credibility familiar to American courtrooms,”82 I incline to think that the
balance of advantage rests with the Germans, since so much of what passes
for cross-examination in our procedure is deliberately truth-defeating.83
Interestingly, detractors of Continental procedure have also voiced the
opposite criticism – complaining of excessive rather than inadequate depth.
Stephan Landsman, for example, defending American adversary practice
against the complaint that it sets too low a value on the discovery of material
truth, warns against inquisitorial zeal. “The weakness of human perception,
memory, and expression will often render the discovery of material truth
impossible. To become preoccupied with truth may be both naive and futile.
It is to the advantage of the adversary system that it does not define its
objectives in such an absolute and unrealistic fashion.”84 This argument
overlooks a crucial distinction – between the case with unknowable facts
and the case in which the truth-defeating excesses of American adversary
fact-gathering cause knowable facts to be obscured. The former scarcely
excuses the latter. I side with Blackstone in thinking that fact-finding is
the central task of civil litigation. “[E]xperience will abundantly shew,” he
wrote, “that above a hundred of our lawsuits arise from disputed facts, for
coauthors were at work, there is today no ineffective lawyer.” Kaplan-von Mehren,

convention restricting judge or counsel from supra note 8, at 1228. Followers of the
following up such leads during the course of public speeches of Chief Justice Warren
courtroom examination of a witness. Burger are aware that concern about the
79. Kaplan-von Mehren, supra note 8, at extent of sloppy lawyering is not confined to
1236. Germany. Sloppiness aside, it is certainly the
80. Id. at 1237. In a similar vein the case that, because German judges bear the
authors observe that the German judge’s main responsibility for fact-gathering,
“questing attitude” toward developing the German lawyers do less (and get paid less)
case, encouraged by ZPO § 139 (on which, than American lawyers. See infra note 89.
see supra note 71), tends “to debilitate 81. Rhode, Ethical Perspectives on Legal
German lawyers by providing them with an Practice, 37 STAN. L. REV. 589, 635 (1985).
inward excuse for sloppy work,” although “it 82. Kaplan-von Mehren, supra note 8, at
would be hard to say whether in the long run 1236.
this is outweighed by benefits, such as 83. See supra note 31.
helping the party represented by an 84. S. LANDSMAN, supra note 2, at 36.

INSTITUTIONS 85
one where the law is doubted of.”85 Resolve the facts, resolve what actually
happened, and the law usually takes care of itself.
The choice between adversarial and judicial conduct of fact-gathering
need not correlate strongly with the level of search achieved in a legal
system. Factors unrelated to that choice, such as the clarity of the substan-
tive law or the attitude toward fishing, will influence the levels of search. If
the Germans saw any virtue in the American practice of allowing the
adversaries to cascade each other with undigested files and records, they
could in principle incorporate our luxuriant fishing tradition into their
procedure (perish the thought) while still preferring court-appointed
experts and forbidding adversary contact with nonparty witnesses.
Furthermore, within the realm of judge-conducted fact-gathering, we
would expect the levels of search to vary significantly among legal systems,
depending upon the incentives for judicial diligence, the scope of adversary
oversight, and the effectiveness of appellate review.
VI. Judicial Incentives
Viewed comparatively from the Anglo-American perspective, the
greater authority of the German judge over fact-gathering comes at the
expense of the lawyers for the parties. Adversary influence on fact-
gathering is deliberately restrained. Furthermore, in routine civil proced-
ure, German judges do not share power with jurors. There is no civil jury.86
Because German procedure places upon the judge the responsibility for
fact-gathering, the danger arises that the job will not be done well. The
American system of partisan fact-gathering has the virtue of its vices: It
aligns responsibility with incentive. Each side gathers and presents proofs
according to its own calculation of self-interest. This privatization is an
undoubted safeguard against official sloth. After all, who among us has not
been treated shabbily by some lazy bureaucrat in a government department?
And who would want to have that ugly character in charge of one’s lawsuit?
The answer to that concern in the German tradition is straightfor-
ward: The judicial career must be designed in a fashion that creates
incentives for diligence and excellence. The idea is to attract very able
people to the bench, and to make their path of career advancement congru-
ent with the legitimate interests of the litigants.
The career judiciary. The distinguishing attribute of the bench in
Germany (and virtually everywhere else in Europe) is that the profession
of judging is separate from the profession of lawyering. Save in exceptional
85. 3 W I L LI A M BLACKSTONE, COMMENTARIES objective of the legal process is the discovery

ON THE LAWS OF ENGLAND 330 (1768). This of truth,” id. at 556, they are not denying that
emphasis on fact-finding as the central the proper work of the legal system is typically
function of the civil procedural system to establish the sequence of past events.
remains, I believe, the dominant view both in Rather, they are pointing out that the
the Anglo-American tradition and in experimental method for ascertaining truth
Continental civil procedure. I think that the in the sciences must be largely foreclosed to
work of John Thibaut and Laurens Walker, the law, in part because legal disputes so
A Theory of Procedure, 66 CALIF. L. REV. 541 characteristically do arise out of past facts.
(1978), does not represent a true departure 86. See infra text accompanying notes
from this view. When the authors call it 144–53.
a “misconception that the fundamental

circumstances, the judge is not an ex-lawyer like his Anglo-American

counterpart. Rather, he begins his professional career as a judge.
In Germany judges and lawyers undergo a common preparatory school-
ing. After completing a prescribed course of university legal education that
lasts several years,87 the young jurist sits a first state examination. After
passing this examination satisfactorily, he enters upon an apprenticeship
that now lasts two and one-half years. He clerks for judges in the civil and
criminal courts, assists in the prosecutor’s office, and works in a lawyer’s
office. At the conclusion of this tour of duty, the young jurist sits a second state
examination, remotely akin to our bar examination, which concludes the
certification process. Thereafter, the career lines of judge and lawyer diverge.
Recruitment. Although West Germany is a federal state, the state and
federal courts comprise an integrated system. The courts of first instance
and the first layer of appellate courts are state courts, while the second
(and final) layer of appellate jurisdiction operates at the federal level.88
Thus, even though the basic codes of civil and criminal law and procedure
are federal codes, the state courts have exclusive jurisdiction until the final
appellate instance. It follows that most judges are state judges;89 and since
appointment to the federal bench is by way of promotion from the state
courts,90 all entry-level recruitment to the bench occurs at the state level.
In each of the eleven federal states, the ministry of justice is responsible
for staffing the courts. Entry-level vacancies are advertised and applications
entertained from young jurists. The judiciary is a prized career: influential,
interesting, secure, and (by comparison with practice of the bar) prestigious
and not badly compensated. “[O]nly the graduates with the best examin-
ation results have any chance of entering the judicial corps.”91
Advancement. A candidate who is accepted begins serving as a judge
without any prior legal-professional experience, typically in his late
twenties.92 At the outset his position is probationary, although he must
87. For good English-language accounts reason that the Germans need more judges
see RUDOLF B. SCHLESINGER, COMPARATIVE LAW: is the same reason that they need fewer
CASES, TEXT, MATERIALS 157–82 (4th ed. lawyers: their civil procedure assigns to the
1980); Griess, Legal Education in the judiciary much of the workload that we leave
Federal Republic of Germany, 14 to private counsel.” Langbein, Judging
J. SOC’Y PUB. TCHRS. L. 166 (1978). Foreign Judges Badly: Nose Counting Isn’t
88. For detailed discussion in English, Enough, JUDGES’ J., Fall 1979, at 4, 6.
see Meador, supra note 8. 90. Except for the federal constitutional
89. Data for 1983 appears in court, discussed infra text accompanying
S TA T I S TI S C HE S B U N DE S A MT , STATISTISCHES note 101.
JAHRBUCH 1984 FÜR DIE BUNDESREPUBLIK 91. Manfred Wolf, Ausbildung, Auswahl
DEUTSCHLAND 338 (1984). Table 15.2, “Judges und Ernennung der Richter, in HUMANE
in State and Federal Service,” shows 16,429 JUSTIZ: DIE DEUTSCHEN LANDESBERICHTE ZUM
state and 493 federal judges. ERSTEN INTERNATIONALEN KONGRESS FÜR
Using data for the year 1973, Kötz ZIVILPROZESSRECHT IN GENT 1977, at 73, 77 (P.
estimates that about one German lawyer in Gilles, ed. 1977).
five is a judge. “To the foreign observer,” he 92. Id. For English-language discussion
notes, “the most conspicuous feature of the of the recruitment and promotion process in
German legal profession is perhaps the very Bavaria, see Meador, German Appellate
large judiciary. . . .” Kötz, Legal Profession, Judges: Career Patterns and
supra note 8, at 71. The size of the German American-English Comparisons, 67
bench is, of course, no mystery. “The real JUDICATURE 16, 21–25 (1983).

INSTITUTIONS 87
be promoted to tenure or dismissed within five years.93 His first assign-

ment may be to a court of petty jurisdiction (Amtsgericht), or else he will
become the junior member of a collegial chamber of the main court of
general jurisdiction (Landgericht, hereafter LG), where he can receive
guidance from experienced judges.94
The work of a German judge is overseen and evaluated by his peers
throughout his career, initially in connection with his tenure review, and
thereafter for promotion through the several levels of judicial office and
salary grades. A judge knows that his every step will be grist for the regular
periodic reviews that will fill his life-long personnel file. His “efficiency
rating”95 is based in part upon objective factors, such as caseload discharge
rates and reversal rates, and in part on subjective peer evaluation. The
presiding judge of a chamber has special responsibility for evaluating the
work of the younger judges who serve with him, but the young judges are
rotated through various chambers in the course of their careers, and this
reduces the influence of an aberrant rating from any one presiding judge.
These evaluations by senior judges pay particular regard to (1) a judge’s
effectiveness in conducting legal proceedings, including fact-gathering,
and his treatment of witnesses and litigants; and (2) the quality of his
opinions – his success in mastering and applying the law to his cases.96
This meritocratic system of review and promotion is meant to motivate
the judge to perform at his best. In the main first-instance court (LG),
which is sectioned into many three-judge panels called chambers, the
judge aspires to advance to the position of presiding judge of a chamber,
a job of greater importance and status with corresponding salary improve-
ment. From there the main career path leads to the first appellate instance
(Oberlandesgericht, hereafter OLG), which is also divided into many
chambers, each led by a presiding judge who is promoted to that job after
distinguishing himself as an ordinary judge of the court.97 And the final
appellate instance, the federal supreme court for nonconstitutional law
(Bundesgerichtshof, hereafter BGH), is staffed almost entirely with judges
who have been promoted from the OLG.98
93. D EUT S C HE S RICHTERGESETZ [DRIG] CONTEMPORARY PROBLEMS IN CRIMINAL JUSTICE:

(Statute on the German Judiciary) § 12(2). ESSAYS IN HONOUR OF PROFESSOR SHIGEMITSU
DRIG § 22 governs the grounds for DANDO 61, 73 (1983).
dismissing an untenured judge; see GÜNTHER 96. These factors were mentioned to me
SCHMIDT-RÄNTSCH, DEUTSCHES RICHTERGESETZ § repeatedly in 1984 when I had occasion to
22, at 202–08 (3d ed. 1983). There are special inquire about the promotion process in
rules limiting the competence of untenured interviews with German judges and with
judges, DRIG §§ 27–29, in order to assure German law professors specializing in civil
litigants that major decisional procedure and judicial administration. See
responsibility will be in the hands of also infra note 113 and accompanying text.
tenured (i.e., unquestionably independent) 97. Wolf, supra note 91, at 77; see also
judges. See EDUARD KERN & MANFRED WOLF, Meador, supra note 92, at 22–23.
GERICHTSVERFASSUNGSRECHT 138–39 (5th ed. 98. Meador, supra note 92, at 24–25. The
1975). BGH now has more than a hundred judges
94. Although much of the work of a LG and a dozen chambers. Call to that court is
chamber is now assigned to a single judge for perhaps not quite the prize that we might
discharge without collegial participation, see imagine the pinnacle to be. There has been
supra note 13, the basic unit of organization some concern that not enough of the best
remains the collegial chamber, and there is OLG judges aspire to join the BGH, despite
still an important residue of collegial first- the enhancement in rank, authority, and
instance business. compensation that promotion to the BGH
95. Herrmann, The Independence of the entails. The opportunity for promotion to
Judge in the Federal Republic of Germany, in the BGH usually comes when a judge is well

Meritocratic review and promotion are meant to reward and thereby to

inspire judges to be diligent in fact-gathering, to stay current in the law,
and to be fair and accurate in the conduct of hearings and the rendering of
judgments.
Specialization. I have been speaking throughout this article of the
ordinary courts. Of the 17,000 judges who were sitting in Germany as of
1983, the most recent year for which the statistics are published, 13,000 sat
in the ordinary courts.99 The others served in the specialized court systems
for administrative law, tax and fiscal matters, labor and employment law,
and social security.100 Furthermore, the Germans operate a separate
supreme constitutional court (Bundesverfassungsgericht), to which the
other courts refer some contentious constitutional business. Appointment
to the constitutional court is by design highly political; members are sel-
dom part of the career judiciary that I have been describing.101
The specialized courts and the constitutional court siphon off business
that Americans would expect to see in the ordinary courts. Within the
German ordinary courts of first instance there are special divisions that
have counterparts in our tradition – for crime, for what we would call
probate, for domestic relations. In addition, commercial law matters are
removed to specialized chambers.102 Thus, the German ordinary courts of
first instance have a somewhat narrower diet than our own.
At the appellate level, including the first appellate instance (OLG)
that proceeds by review de novo, there is extensive specialization. An
OLG is quite large by our standards, sometimes staffed with more than
a hundred judges, who sit in chambers containing four or five judges. Cases
are allocated among these chambers on the basis of subject matter.103 All
the medical malpractice cases go to one chamber, the maritime cases to
another, and so forth. This system permits the judges to develop over the
years just that sort of expertise in legal subspecialties that we expect of
lawyers, particularly lawyers in large-firm practice, in the United States.
into his forties or fifties and long settled in Meador, supra note 8, at 31–34. Continental
his home state. The BGH sits in Karlsruhe, specialized court systems are distinguished
an unexciting city on the southwestern from ours by having their own appellate
fringe of the country. Some prominent OLG systems. In the United States, appeal lies
judges decline to exile themselves and their from the specialized tax court to the regular
families to Karlsruhe from life in Munich, courts of appeal, and thereafter to the
Dusseldorf, Frankfurt, or Hamburg. We can Supreme Court. In Germany, appeal lies
imagine the problem in American terms by from the tax court to the supreme court for
supposing that we had created a supreme tax matters, with no possibility of review by
court of nonconstitutional law and sited it the federal supreme court of ordinary
in Akron, Boise, or Macon; perhaps we jurisdiction (BGH).
would have found Learned Hand and Henry 101. For an English-language account,
Friendly not too anxious for that last round of now a little dated, see D O NA LD P. KOMMERS,
promotion. But laying aside this peculiarity JUDICIAL POLITICS IN WEST GERMANY: A STUDY
about the BGH, it can be said with great OF THE FEDERAL CONSTITUTIONAL COURT 113–59
confidence that most German judges aspire (1976).
to maximize their chances for promotion 102. GERICHTSVERFASSUNGSGESETZ [GVG]
through the lower levels of the pyramid. (Statute on the Organization of the Courts)
99. S TA T I S TI S C HE S BUNDESAMT, supra §§ 93–95. See generally OTTO R. KISSEL,
note 89, at 338 (Table 15.2). GERICHTSVERFASSUNGSGESETZ §§ 93–95, at
100. For discussion in English, see 894–911.
ARTHUR T. VO N MEHREN & JAMES R. GORDLEY, 103. For commentary in English, see
THE CIVIL LAW SYSTEM 133–37 (2d ed. 1977); Meador, supra note 8, at 44–72.

INSTITUTIONS 89
The litigants get judges who know something about the field, in contradis-
tinction to the calculated amateurism of our appellate tradition.104
Political Influence. Judicial appointments and promotions issue in the
name of the state or federal minister of justice, who is an important political
official, usually a member of the state or federal parliament and of the
cabinet. The minister acts in consultation with an advisory commission of
senior judges;105 in some of the German states that commission has a formal
veto power.
Directly political concerns appear to be very subordinated in the selec-
tion and advancement of judges. Because this subject is not much venti-
lated in the literature, I have inquired about it when talking with German
judges and legal academics. The impression I have gained is that political
considerations do not materially affect appointment or promotion until the
level of the federal supreme court (BGH).106 Party balance is given weight
in BGH appointments, but political connections do not substitute for merit.
Positions on the BGH go to judges who have distinguished themselves on
the OLG.
We must remember that the decision to isolate important components
of constitutional and administrative-law jurisdiction outside the ordinary
courts in Germany lowers the political stakes in judicial office, by compari-
son with our system, in which every federal district judge (and for that
matter, every state judge) purports to brandish the Constitution and thus
to be able to wreak major social and institutional change.
American Contrasts. If I were put to the choice of civil litigation under
the German procedure that I have been praising in this article or under the
American procedure that I have been criticizing, I might have qualms
about choosing the German. The likely venue of a lawsuit of mine would
be the state court in Cook County, Illinois, and I must admit that I distrust
the bench of that court. The judges are selected by a process in which the
criterion of professional competence is at best an incidental value.107
Further, while decent people do reach the Cook County bench in surprising
numbers, events have shown that some of their colleagues are crooks. If my
lawsuit may fall into the hands of a dullard or a thug, I become queasy
about increasing his authority over the proceedings.
104. The case for the generalist judiciary politics theme of a contemporary legal-
is argued anew in RICHARD A. POSNER, THE academic movement with which Posner is
FEDERAL COURTS: CRISIS AND REFORM 147–60 ordinarily not associated. The truth is that
(1985). It would entail a large digression in even in fields like constitutional law or torts
the present article to detail all of my (Posner’s examples) where much is unsettled,
disagreements with Judge Posner’s treatment there are vast areas of consensus. The work of
of this subject. I find particularly unpersuasive legal doctrine is to forge consensus. The more
Posner’s central claim that specialized courts learned the court, the more likely is the court to
are unworkable in fields where differences of do that job well.
view persist among the specialists. “It is 105. For discussion of Bavarian practice,
remarkable in how few fields of modern see Meador, supra note 92, at 22–23.
American law there is a professional 106. See Wolf, supra note 91, at 77–78.
consensus on fundamental questions.” Id. at 107. [Citation to an unpublished speech
153. This is an exaggeration, and one that by Justice Seymour Simon of the Illinois
resembles in an eerie way the all-law-is- Supreme Court.]

German-style judicial responsibility for fact-gathering cannot be

lodged with the Greylord judiciary. Remodeling of civil procedure is intim-
ately connected to improvement in the selection of judges. I do not believe
that we would have to institute a German-style career judiciary in order to
reform American civil procedure along German lines, although I do think
that Judge Frankel was right to “question whether we are wise” to disdain
the Continental model, and to “wonder now whether we might benefit from
some admixture of such [career judges] to leaven or test our trial benches of
elderly lawyers.”108 The difference in quality between the state and federal
trial benches in places like Cook County is sufficient to remind us that
measures far short of adopting the Continental career judiciary can bring
about material improvement.109
Americans will long remain uncomfortable at the prospect of a more
bureaucratic judiciary. We have not had good experience attracting and
controlling an able career bureaucracy in the higher realms of public
administration, although we have scarcely tried. Some observers point to
that elusive construct, national character. Europeans in general and
Germans in particular are thought to be more respectful of authority,
hence better disposed toward the more bureaucratic mode of justice that
judicialized fact-gathering entails.
Cultural differences surely do explain something of why institutional
and procedural differences arise in different legal systems. The important
question for present purposes is what weight to attach to this factor, and my
answer is, “Not much.” It is all too easy to allow the cry of “cultural differ-
ences” to become the universal apologetic that permanently sheathes the
status quo against criticism based upon comparative example. Cultural dif-
ferences that help explain the origins of superior procedures need not restrict
their spread. If Americans were to resolve to officialize the fact-gathering
process while preserving the political prominence of the higher bench, we
would probably turn initially to some combination of judges, magistrates, and
masters for getting the job done. Over time, we would strike a new balance
between bench and bar, and between higher and lower judicial office.
The rise of American managerial judging (discussed in Part VIII
below) should put us on notice that we may no longer have the leisure to
decide whether we want more judicial authority over civil litigation. If
greater judicial control of civil proceedings is inevitable, greater attention
to safeguarding litigants’ interests against abuse of judicial power must
follow. The German model should inspire attention to the way judicial
108. Frankel, supra note 1, at 1033. scheme. Lifetime tenure makes the federal
109. Part of what makes the federal bench judicial career more attractive, sparing
more attractive – that the supremacy clause federal judges from the career uncertainty
makes federal judges more powerful – is and indignity to which state trial judges are
beyond emulation. But other attributes of the exposed through the elective process, on which
federal judicial career that could be copied see supra note 107. The appointive process for
must affect the quality of the recruits. For selecting judges enhances the influence of the
example, the federal salary scale, while organized bar and other interest groups that
hardly munificent, is significantly better than have some concern to assure professional
at the state level, especially when account is competence in the judiciary.
taken of the generous federal judicial pension

INSTITUTIONS 91
career incentives (above all, meritocratic selection, review, and promotion)

can serve as safeguards for litigants.
VII. Appellate Review
Like the career incentives that encourage good judicial performance,
the German appellate process is designed to protect litigants from caprice,
error, or sloth. The adversarial component of lawyerly oversight, to which
this article has so often referred, ultimately depends for its effectiveness
upon the threat of appellate review. From the standpoint of comparison
with American procedure, two attributes of German appellate practice
appear especially noteworthy: (1) the requirement, meant to facilitate
review, that the first-instance court disclose in writing its findings of fact
and reasons of law; and (2) the de novo standard of review.
Disclosure of Grounds. Unless the first-instance court is successful in
encouraging the parties to settle,110 it must decide the case by means of
a written judgment containing findings of facts and rulings of law.111 The
thoroughness of the German judgment is legendary.112 Empirical study
has shown how seriously the first-instance courts take their judgment-
writing responsibility.113 Judges know that they will be judged on the
quality of their opinions. Good opinions reduce the reversal rate and win
esteem in the peer evaluation process. Judges know that the reviewing
court will have convenient access to the whole of the evidence and the
submissions received at first-instance, since the dossier goes up with the
appeal. Especially when coupled with searching review by an appellate
court of great ability, the requirement of written findings and reasons is
a bulwark against arbitrary or eccentric adjudication. In our system, by
contrast, the conclusory general verdict of a jury is the antithesis of
a reasoned judgment; nor do we insist on much better in the realm of
bench trials.114 Fact-finding in American courts all too often resembles
Caligula dealing with vanquished gladiators: thumbs up or thumbs down,
yours but to wonder why.
Review De Novo. Ultimately, it is the prospect of appellate review in
German civil procedure that makes the other safeguards effective, both as
deterrents and as correctives. The dissatisfied litigant has the right of
appeal de novo (Berufung) in the first appellate instance (typically the
OLG).115 No presumption of correctness attaches to the initial judgment.
110. See supra note 25. BUNDESRECHTSANWALTSKAMMER, TATSACHEN

111. ZPO § 313(I)(5)–(6); see 2 STEIN- ZUR REFORM DER ZIVILGERICHTSBARKEIT:
JONAS, supra note 46, § 313(IV)–(V), at AUSWERTUNGEN 64–65 (1974).
1279–84. 114. See Leubsdorf, Constitutional Civil
112. See Weyrauch, The Art of Drafting Procedure, 63 TEXAS L. REV. 579, 630 & n.311
Judgments: A Modified German Case (1984).
Method, 9 J. LEG. ED. 311, 316–26 (1956). 115. Appeal de novo lies from the court of
113. In a considerable sample of petty jurisdiction (Amtsgericht) to the court
nondivorce cases that went to judgment of general jurisdiction (LG). For the LG,
(i.e., that resisted settlement) in the main which is the main first-instance court, the
first-instance court (LG), an average 43% of OLG is the court with responsibility for
the total time devoted to all aspects of the review de novo.
courts’ work (including review of the Following are some figures that give a feel
dossier, fact-gathering, and oral hearings) for the frequency of appeal de novo to the
was spent on writing the judgment. 2 OLG from the LG. In 1981 the LGs had

What makes this astonishingly liberal system of appellate review possible

is the extreme economy of the technique, previously discussed, of recording
in pithy summaries the evidence gathered at first instance.116 Retrial
becomes for the most part only rereading.
The OLG “may choose to rehear evidence and is likely to do so when
demeanor of a witness seems important or when the record fails to give
sufficient detail.”117 The main task in review de novo is not, however,
gathering new evidence, but considering afresh the record and the judg-
ment from below. OLG review guarantees to the dissatisfied litigant
a second look by a panel of long-experienced judges on all matters of law
and fact. In other words, for a litigant who wishes it, fact-finding will be
reassigned from the court that did the primary fact-gathering (and this is
another way in which German procedure may be said to respond to Lon
Fuller’s concern about the danger of prejudgment in the investigating
court118). OLG review is collegial; a panel of several judges decides the
case.119 And because the OLG panels are specialized by subject matter,
chances are that some of the judges who decide the case will be masters of
the particular field of law.
From the OLG there is a further level of review (by the BGH) according
to a standard of review (Revision) that approximates the Anglo-American
notion of review for error.120
Adequacy of Safeguards. There is no denying the power of the German
judge, yet complaints about the misuse of judicial power are extremely
rare. The career incentives and the system of appellate review have been
designed to deter and correct abuse. Experience suggests that they work.
VIII. American Managerial Judging: Convergence?
Important changes have occurred in recent years that diminish the
contrast between German and American civil procedure. Under the rubric
of case management, American trial judges are exercising increasing con-
trol of the conduct of fact-gathering. Although many American courtrooms
remain untouched by the new developments, the changes have occurred
broadly enough to have about themselves the look of the future.
The Manual. Managerial judging arose in the federal courts as
a response to the increasing quantity of so-called “complex litigation” –
cases that involve “unusual multiplicity or complexity of factual issues.”121
The Manual for Complex Litigation was created to deal with these cases,
but because complexity is a matter of degree, managerial judging was hard
a first-instance caseload of 574,860 cases and 117. Kaplan-von Mehren, supra note 8,
the OLGs had a caseload of 85,021. The LGs at 1451; see id. at 1453 (discussing the
decided 106,538 cases by full judgment purposes of review de novo).
(“streitiges Urteil”), which is the main 118. See supra text accompanying notes
cohort of cases that can give rise to appeal 72–74.
de novo; in the same year the OLG decided 119. See Kaplan-von Mehren, supra note
25,299 cases by “streitiges Urteil.” 8, at 1451.
STATISTISCHES BUNDESAMT, supra note 89, at 120. Id. at 1454.
339 (Table 15.4.1). 121. M A N U A L , supra note 5, § 0.22.
116. See supra text accompanying notes
15–18.

INSTITUTIONS 93
to confine to the Big Case. The Manual identifies antitrust, securities,

mass disaster, product liability, class action, and multiparty cases,
among others, as typical.122 In cases with many parties and many issues,
the feeling grew that court-centered control was needed to prevent the
confusion and duplication that would result if the adversaries were “left
to themselves, each pursuing the course that is most favorable to his
particular client.”123 Accordingly, “[t]he essence” of what the Manual pro-
pounds “is the exercise of judicial control over complex litigation plus
a positive plan for discovery and pretrial preparation.”124
The Manual effects judicial control over adversary fact-gathering
through a set of interconnected measures:
(1) The judge uses pretrial conferences to explore the case with coun-
sel and to identify key issues.125
(2) The judge is expected to promote settlement from the earliest
opportunity.126
(3) The judge also helps sharpen the issues. “To the extent feasible the
judge should narrow the issues in the course of the first pre-trial
conference and limit discovery accordingly.”127
(4) Issue definition leads to the regulation of discovery. The court
convenes discovery conferences and breaks discovery into
“waves.”128 Thus, the court decides what subjects may be investi-
gated in what sequence. This power has now been codified for the
ordinary Federal Rules of Civil Procedure in revised rule 26(f):
“Following the discovery conference, the court shall enter an order
tentatively identifying the issues for discovery purposes, estab-
lishing, a plan and schedule for discovery. . . .”129
(5) The Manual recommends that the court explore the need for
expert testimony early, in part in order “to determine whether
court appointment of an expert is desirable.”130
Convergence. What makes the Manual look “proto-Germanic” in the
eyes of the comparative lawyer is the informal feel of “the conference
122. Id. wave, second wave, and special issue –

123. Id. § 1.10. promotes efficiency, orderliness, and early
124. Id. (italics deleted). completion of all permissible discovery.”);
125. Id. § 1.20. The Manual also see also id. § 1.50.
encourages “the practice of obtaining 129. F E D . R. CIV. P. 26(f). “Rule 26(f)
counsel’s views of the case by requiring the mandates the holding of a discovery
filing before discovery of initial pretrial conference upon proper motion by a party. In
briefs containing all the legal and factual the complex case, however, the judge should
contentions of the parties.” Id. We have not ordinarily wait for the filing of such
seen that it is characteristic of German a motion. . . .” MANUAL, supra note 5, § 1.95.
practice that counsel may guide the court’s Judge Schwarzer has expressed
work by submitting written commentary on “dissatisfaction” that the Manual is
issues of law or fact. See supra text between inadequately directive. W I L LI A M W.
notes 20 and 21. SCHWARZER, MANAGING ANTITRUST AND OTHER
126. M ANU AL , supra note 5, § 1.21. COMPLEX LITIGATION: A HANDBOOK FOR LAWYERS
127. Id. § 1.30. AND JUDGES § 1–1, at 4 (1982).
128. Id. § 0.50 (“Ordinarily, in a complex 130. M A N U A L , supra note 5, § 2.60; see
case, use of sequential discovery – first also id. § 3.40.

method;”131 and the active judicial role in defining issues, promoting

settlement,132 and fixing the sequence for fact-gathering.
To be sure, managerial judging in the pretrial process leaves adver-
sary domination of the trial (especially jury trial) largely unaffected. But
the vast preponderance of cases settle or are dismissed before trial; pre-
trial procedure is the whole procedure for most of our caseload.133
Moreover, judicial control of the pretrial process interacts with certain
features of trial procedure. Early identification of issues and issue-specific
discovery can lead to issue-specific trial, that is partial trial, under rule 42
(b).134 One could envision manipulating these powers to replicate some-
thing of the German court’s control over the sequence of issue-
identification and fact-gathering in the development of a lawsuit.135 And
under rule 53(c), which empowers the court to refer issues to a master for
investigation and report,136 one could imagine further movement toward
judicial conduct of fact-gathering. That is, however, still a glimmer; the
important trend has been toward judicial control of the adversaries’ con-
duct of the investigatory function, not judicial conduct of the investigation.
Thus, while managerial judging leaves untouched some of the worst
abuses of our trial procedure such as coached witnesses and partisan
experts, it has reoriented pretrial procedure away from adversary domin-
ation; and in a legal system that actually tries only a tiny fraction of its civil
caseload, judicial capture of pretrial could become more important than
continuing adversary control of trial.
The importance of managerial judging ought not to be overstated.
Managerial judging is prevalent in the federal courts, but less evident in
the state systems where complex litigation is less prevalent. (Many of the
state systems also lack an essential predicate for managerial judging, the
continuous-case-management system in which a case remains assigned to
the same trial judge from initial docketing to final judgment.) Moreover,
even within the federal system, managerial judging is routine only for
complex cases that require to be dealt with under the Manual. Outside
131. See supra note 24 and accompanying (citing ADMINISTRATIVE OFFICE OF

text. Judith Resnik remarks on the informality U.S. COURTS, ANNUAL REPORT OF THE DIRECTOR
of managerial judging, noticing that these 1983, at 142 (Table 29)).
conferences resemble “ordinary business 134. F E D . R. CIV. P. 42(b).
meetings.” Resnik, supra note 6, at 407. 135. See supra text accompanying notes
132. Resnik, who popularized the term 22–27.
“managerial judging,” observes the 136. F E D . R. CIV. P. 53(c). But see Brazil,
similarity to the German practice in Referring Discovery Tasks to Special
promoting settlement as it was described in Masters: Is Rule 53 a Source of Authority
the Kaplan-von Mehren article. “Ironically, and Restrictions? 1983 AM. B. FOUND.
their description of the German judge – 6 ‘. . . RESEARCH J. 143. For an account of the work
as insistent promoter of settlements’ – now of the court-appointed masters in managing
seems apt for the American judge as well.” pre-trial procedures in the mammoth AT&T
Resnik, supra note 6, at 386 (citing Kaplan- antitrust case, see Hazard & Rice, Judicial
von Mehren, supra note 8, at 1472). Management of the Pretrial Process in
133. “[O]ver ninety percent of the cases Massive Litigation: Special Masters as Case
in most courts terminate through settlement Managers, in WAYNE D. BRAZIL, GEOFFREY
or dismissal prior to trial.” Miller, The C. HAZARD, JR. & PAUL R. RICE, MANAGING
Adversary System: Dinosaur or Phoenix? 69 COMPLEX LITIGATION: A PRACTICAL GUIDE TO
MINN. L. REV. 1, 14 (1984); see id. at 4 n.7 THE USE OF SPECIAL MASTERS 77 (1983).

INSTITUTIONS 95
the realm of the Big Case, the litigant gets managerial judging only if, by
the fortuity of the case-assignment wheel, he draws a managerial judge. If
you get assigned to Robert Keeton or Prentice Marshall or William
Schwarzer, you get managerial judging. If you draw a traditional federal
district judge, you get old-style adversary domination of the pretrial pro-
cess. It is hard to imagine that our system can long continue to leave such
fundamental choices to luck and whim.
Safeguards. Not only does whim determine whether a litigant gets
managerial judging, but whim can surface in the conduct of managerial
judging. Judith Resnik observes:
[M]anagerial responsibilities give judges greater power. Yet the

restraints that formerly circumscribed judicial authority are conspicu-
ously absent. Managerial judges frequently work beyond the public
view, off the record, with no obligation to provide written, reasoned
opinions, and out of the reach of appellate review.
[B]ecause managerial judging is less visible and usually unreview-
able, it gives trial courts more authority and at the same time provides
litigants with fewer procedural safeguards to protect them from abuse
of that authority.137
Viewed from the perspective of comparative law, therefore, American
managerial judging displays contrasting tendencies. On the one hand, it
exhibits convergence toward the Continental model of judicial domination
of the fact-gathering process. On the other hand, the haphazard growth of
managerial judging has not been accompanied by Continental-style atten-
tion to safeguarding litigants against the dangers inherent in the greatly
augmented judicial role. The career incentives for our judiciary are primi-
tive, and the standards of appellate review barely touch the pretrial
process.
The trend toward managerial judging is irreversible,138 because the
trend toward complexity in civil litigation that gave rise to managerial
137. Resnik, supra note 6, at 378, 380. federal bench has been “[s]educed by
Under the rubric of “managerial judging,” controlled calendars, disposition statistics,
Resnik brings two trends: the one that so and other trappings of the efficiency era and
interests us in the present article, the the high-tech age”; further, “[n]o one has
growth of judicial participation in the fact- convincingly discredited the virtues of
gathering work of the pretrial process; and disinterest and disengagement, virtues that
the phenomenon to which Chayes directed form the bases of the judiciary’s authority”).
attention a decade ago, the increasing This yearning for the golden age of judicial
judicial responsibility for devising and passivity exaggerates the potential for
adjusting complex remedial orders in the retracing our steps, because it does not give
post-trial process, primarily for public law due weight to the factors that gave rise to
litigation. Chayes, The Role of the Judge in managerial judging: the growth in complex
Public Law Litigation, 89 HARV. L. REV. 1281 litigation and the difficulty of distinguishing
(1976). the Big Case from slightly smaller cases.
138. Resnik’s article, which is so In emphasizing the Big Case as the origin
instructive in pointing to the dangers that of managerial judging in American
lurk in unconstrained managerial judging, procedure, I do not mean to imply that
sometimes conveys the impression that I think that managerial judging ought to be
managerial judging is a foible that the confined there. To the contrary, I agree with
judiciary might be persuaded to abandon. the point that Hein Kötz has long asserted,
E.g., Resnik, supra note 6, at 445 (the most recently in Kötz, Zur Funktionsteilung

judging is irreversible. If we were to learn from the success of the long

established German tradition of managerial judging, we would not only
improve our safeguards, we would encourage more complete judicial
responsibility for the conduct of fact-gathering. For example, we might
have the judge (or a surrogate such as a master or a magistrate) depose
witnesses and assemble the rest of the proofs, working in response to
adversary nomination and under adversary oversight as in German pro-
cedure. We might then be able to forbid the adversaries from contact with
witnesses – in other words, we could abolish the coaching that disgraces
our civil justice. We would also be able to routinize the use of court-
appointed experts. And if we were to concern ourselves with devising
a standard of appellate review appropriate to the seriousness of manager-
ial judging, we might want to experiment with the German technique of
succinct recordation of evidence.139
Concentration. When Kaplan sought “the grand discriminant, the
watershed feature, so to speak, which shows the English and American
systems to be consanguine and sets them apart from the German, the
Italian, and others in the civil-law family,” he found it in our “single-
episode trial as contrasted with discontinuous or staggered proof-taking”
on the Continent.140 Arthur von Mehren has advanced a similar view,
showing in a recent article how extensively the concentrated trial has
affected the rest of our civil procedure.141
For the future, however, I doubt that the contrast between systems of
concentrated and discontinuous trial will have such prominence in think-
ing about comparative civil procedure. The tendency of our pretrial process
zwis-chen Richter und Anwalt im deutschen administrative law judges hear admin-
und englischen Zivil-prozess, in FESTSCHRIFT istrative appeals from state agency
FÜR IMRE ZAJTAY 277, 290–91 (R.H. Graveson denials. This total of more than 6,000
et al. eds., 1982), that the German advantage adjudicators approaches the size of the
in civil procedure is at its greatest in the combined judicial systems of the state
Small Case, where the costliness of and federal governments of the United
adversary fact-gathering is intolerable. See States. And the claims that these offi-
also Jolowicz, supra note 78, at 270 (cited by cials adjudicate are not small. The
Kötz, predicting that the Anglo-American average, present, discounted value of
systems will experience “an abandonment of the stream of income from a successful
the adversary process, even if only for small disability application is over $30,000.
claims”). For cogent evidence of the judicial Disability claims, on the average, thus
hand in small claims litigation, see have a value three times that required
Galanter, Palen & Thomas, The Crusading by statute for the pursuit of many civil
Judge: Judicial Activism in Trial Courts, 52 actions in federal district courts.
S. CAL. L. REV. 699, 706–08 (1979).
A full account of the decline of adversary Id. at 18.
fact-gathering in the real practice of modern 139. M A N U A L , supra note 5, § 2.711,
American dispute resolution would also give relying upon FED. R. EVID. 1006, notices the
due attention to the rise of administrative possibility of using summary rather than
decision-making. See, e.g., Jerry L. MASHAW, verbatim testimony for “[v]oluminous or
BUREAUCRATIC JUSTICE: MANAGING SOCIAL complicated data.” On the parallel to
SECURITY DISABILITY CLAIMS (1983), German techniques of recording and
describing one corner of the field: consulting testimony, see supra text
There are perhaps 5,600 state agency accompanying notes 15–18.
personnel (supported by 5,000 more) 140. Kaplan, supra note 78, at 841.
whose sole function is to adjudicate dis- 141. Von Mehren, supra note 4.
ability claims. Over 625 federal

INSTITUTIONS 97
to displace the trial, a phenomenon long evident in American criminal

procedure,142 is now increasingly manifest in civil procedure as well.
Between discontinuous trial in the Continental tradition and our system
of discontinuous pretrial proceedings followed by concentrated trial, the
difference need not be all that great, especially since so few of our cases
actually go to trial. Although ostensibly conducted in preparation for the
concentrated trial, managerial judging in its more important aspects is
directed toward suppressing the trial. Managerial judging succeeds best
when pre-trial clarification produces settlement, capitulation, or
dismissal.
Even when civil cases do advance to trial in our system, much of what
has made the trial so consequential is the latitude for adversary distortion
in the fact-adducing process. Accordingly, I incline to point to a different
“grand discriminant” between the two legal cultures – not concentration,
but adversarial versus judicial responsibility for gathering and presenting
the facts. If our concentrated trial occurred after nonadversarial fact-
gathering in the pretrial process, our trial might ultimately resemble
somewhat the current German review-de-novo proceeding for first
appeals.143 At trial the court would recall and examine key witnesses
afresh, while facts not in serious controversy would be elicited from the
pretrial dossier.
The Jury. “The common law system,” writes von Mehren, “had to
concentrate trials because of the jury . . . The presence of a jury makes
a discontinuous trial impractical.”144 Historically, it is surely correct that
concentration of the trial eliminated the problems of reassembling and
controlling groups of laymen across long intervals, problems that would
otherwise have bedeviled a system of routine but discontinuous jury trial.
“Moreover, at least until relatively modern times, there was probably no
way in which material presented at widely separate points in time could
have been preserved in a form that would have enabled the jury to refresh
its recollection when it ultimately came to deliberate and render the
verdict.”145 In an age of stenographically reported and now videotaped
testimony, however, those concerns look less fundamental.146
Although civil jury trial is a comparative rarity within the declining
subset of our cases that go to any kind of trial,147 the jury entitlement is
enshrined in the seventh amendment and in comparable state
142. I have discussed the origins and the 144. Von Mehren, supra note 4, at 364
shortcomings of our nontrial plea bargaining (note omitted).
procedure in Langbein, Understanding the 145. Id. at 364–65.
Short History of Plea Bargaining, 13 L. & 146. See, e.g., M. FRANKEL, supra note 36,
SOC’Y REV. 261 (1979), and Langbein, at 109–14, discussing the Ohio experiment in
Torture and Plea Bargaining, 46 U. CHI. which judicially edited videotaped evidence
L. REV. 3 (1978). is replayed for the trial jury. Frankel
143. See supra text at note 116. Note observes the potential for this technique to
further that developments in German help liberate us from the concentration
procedure have also been undermining the requirement, and thus to bring us closer to
contrast between concentrated and Continental civil procedure. Id. at 113–14.
discontinuous trial. Regarding the German 147. Two decades ago Kenneth Culp
effort to limit discontinuity, see supra note 9; Davis gathered data indicating that “[f]ive
see also von Mehren, supra note 4, at 370–71. out of six trials in courts of general

constitutional guarantees. There is a substantial body of opinion that the

civil jury is a worthwhile safeguard, and that view can scarcely be gainsaid
as long as our trial bench remains, at the margin, so unreliable.
The question arises, therefore, whether the jury guarantee will con-
tinue to dominate our increasingly juryless practice. In the context of
comparative civil procedure, the question is whether the jury tradition
that underlies the Anglo-American concentrated trial is a true “grand
discriminant,” capable of preventing convergence toward Continental pro-
cedure. An initial cause for doubt is that the Anglo-American tradition has
been for half a century decisively sundered in the matter of the jury
entitlement. The English effectively abolished civil jury trial in 1933.148
Paradoxically, however, theirs is the more faithful adherence to the trad-
ition of the concentrated trial, because their pretrial process is less devel-
oped. What has continued to unite English and American civil procedure,
therefore, is adversary domination of fact-gathering.149
But must the American jury entitlement ultimately defeat conver-
gence toward the German model? In other words, is judicial responsibil-
ity for fact-gathering incompatible with lay adjudication? We have little
direct experience, since European legal systems do not share our pre-
occupation with the jury in civil procedure. The Germans employ juror-
like lay judges for first-instance proceedings in various of the specialized
courts (labor, social, commercial, administrative, tax) and in the courts
that handle cases of serious crime.150 The lay judging system combines
lay and professional judges in a single panel (a “mixed court”) that
deliberates and decides together. I have elsewhere had occasion to
describe the German mixed court, and to contrast it with our jury court
in the realm of criminal procedure.151 I came to the conclusion that while
each form of court structure has advantages, the two are broadly com-
parable in serving the main purposes of the jury guarantee.152
Elsewhere in Europe, true jury courts have been incorporated into crim-
inal procedural systems that retain strongly nonadversarial pretrial
jurisdiction are without juries.” Davis, An law is narrower, their pretrial system is
Approach to Rules of Evidence for Nonjury primitive, their multi-party practice is less
Cases, 50 A.B.A. J. 723, 723 (1964). permissive, and their loser-pays cost-
148. A DM I N I ST R A TI ON OF JUSTICE shifting rules deter adventurous litigation.
(MISCELLANEOUS PROVISIONS) ACT, 1933, 23 & See R. Prichard, A Systemic Approach to
24 Geo. 5, ch. 49, § 6. See Ward v. James, Comparative Law: The Effect of Cost, Fee,
[1966] 1 Q.B. 273, 279–303, for discussion of and Financing Rules on the Development of
the minute residual sphere of civil jury trial the Substantive Law, J. LEGAL STUD.
in England. (forthcoming); Jolowicz, supra note 78, at
149. At least for the present, the 226–57, especially 242–44.
Americans do not find English companions 150. See generally E KKE H A R D K LA US A ,
on the early steps of the path of convergence E H R E N AM T LI C H E R IC H T ER : I H R E A U S W A HL
toward German-style judicial responsibility UND F UNKTIO N , EM P I RI S C H U N T E R S U C H T
for fact-gathering. The predicate is lacking – (1972).
the English have not followed us into 151. Langbein, Mixed Court and Jury
managerial judging. The English have Court: Could the Continental Alternative
restricted in a variety of ways the growth of Fill the American Need? 1981 AM. B. FOUND.
complex multi-party litigation, the RESEARCH J. 195.
phenomenon that gave rise to American 152. Id. at 215–19.
managerial judging. English substantive

INSTITUTIONS 99
processes.153 Key witnesses who have been examined in the officialized

pretrial are simply recalled for the jury. Accordingly, the indications are
that judicial conduct of fact-gathering could be smoothly integrated into
the jury tradition.
Abridging Adversary Theory. It is curious that managerial judging
took hold so easily in a legal system supposedly governed by the counter-
principle of judicial inactivity.154 Because managerial judging imposes
such major limits on partisan autonomy in fact-gathering, it is in principle
irreconcilable with that branch of adversary theory that purports to justify
adversary fact-gathering.
Regardless of where managerial judging is headed for the future, it has
already routed adversary theory. I take that as further support for the view
advanced in Part V that adversary theory was misapplied to fact-gathering
in the first place. Nothing but inertia and vested interests justify the waste
and distortion of adversary fact-gathering. The success of German civil
procedure stands as an enduring reproach to those who say that we must
continue to suffer adversary tricksters in the proof of fact.
2. France
Konrad Zweigert and Hein Kötz, An Introduction to Comparative
Law (Tony Weir, trans., 3rd edn., 1998), 119–31
I
Just as the French Code civil has served as a model for the private law
of many countries of the Romanistic legal family, so has the French system
of courts. We shall concentrate here on the Court of Cassation, the highest
French court in civil and criminal matters, which deserves special atten-
tion, since it differs in characteristic respects from the comparable
supreme courts of the Anglo-American and German legal families.
The Court of Cassation was created by the legislation of the French
Revolution. Under its original title “Tribunal de Cassation,” its first func-
tion was to assist the legislature rather than to act as a court: its task was
to see that the courts did not deviate from the text of the laws and so
encroach on the powers of the legislature. In those days even the construc-
tion of a statute ranked as a “deviation” from its text, as did the judicial
completion of an incomplete law. This was because the provincial courts of
the ancien régime – the “Parlements” – had often used the device of con-
struction to evade or restrict the reforming laws of the king. Furthermore it
seemed to conflict with the principle of separation of powers for the judges
to be empowered to construe statutes; so courts were allowed to refer
doubtful questions of construction to the legislature – the “référé
153. See GERHARD CASPER & HANS ZEISEL, managerial judging. For the cheering
DER LAIENRICHTER IM STRAFPROZESS 9–10 endorsement of the American College of
(1979). Trial Lawyers, see AMERICAN COLLEGE OF
154. See Miller, supra note 133, at TRIAL LAWYERS, RECOMMENDATIONS ON MAJOR
21–22, for some interesting conjectures on ISSUES AFFECTING COMPLEX LITIGATION (1981).
why the bar has not resisted the rise of

facultatif.” The fact that the Tribunal de Cassation was originally outside
the courts system proper had two consequences: first, it could only quash
(“casser”) the decisions of the courts, not substitute its own decision on the
merits; secondly, the courts were not bound by the decisions of the Tribunal
de Cassation, but could decide the matter on remand exactly as they had
done the first time; if this second decision was questioned, the Tribunal de
Cassation was bound to lay the question in dispute before the legislature
for final solution – the “référé obligatoire.”
The revolutionary distrust of judicial legal development in all its forms
evaporated fairly quickly; the courts never used the “référé facultatif,” and
the text of the Civil Code itself recognizes the need for judicial
interpretation . . . so the Tribunal de Cassation, which NAPOLEON renamed
the “Cour de Cassation,” itself gradually took over the task of construing
the statute and of quashing the judgments of lower courts which had
misconstrued it. The principle still remains, however, that the Court of
Cassation cannot itself render a decision on the merits, but can only quash
the decision under attack and remit the matter for rehearing to another
court of the same level. Even today that court is not bound to follow the
view of the Court of Cassation: if it refuses to do so and this second judg-
ment is brought to the Court of Cassation, the combined chambers of the
court of Cassation decide the matter. If the second decision is quashed, the
matter is remitted to a third court, which is then bound to follow the view of
the law laid down by the Court of Cassation.
In Italy this rather cumbrous procedure is simplified. There also the
Corte di Cassazione may only quash the decision under attack, but
the court to which the matter is remanded is thereupon bound to follow
the view of the law laid down by the Court of Cassation; see art. 384, par. 1
Codice di procedura civile.
It should be noticed that in principle every decision of a French court is
liable to attack before the Court of Cassation, provided that other remedies
are unavailable or have been exhausted. Thus decisions which are
unappealable, because of their low monetary value, for example, may be
taken to the Court of Cassation which may therefore have to review the
decision of a tribunal d’instance. If the preconditions are satisfied the Cour
de Cassation is obliged to render a decision: it has no power to select cases
of special significance. In consequence the Court is grossly overworked,
delivering about 18,000 decisions on applications for review every year in
civil matters alone.
In Italy the right to have judicial decisions reviewed by the Court of
Cassation is laid down in the Constitution of 1948: see art. 111. It is true
that the Codice di procedura civile of 1942 denies review to judgments of
juges de paix which are not subject to appeal (art. 360), but art. 111 of the
Constitution, as construed by the courts, permits review by the Court of
Cassation even in these cases; see Cass. 9 Feb. 1962, n. 271, Giust. Civ.
Rep. 1962, s. v. “Cassazione civile” n. 163.
In principle the Court of Cassation only answers questions of law;
questions of fact are left to the “uncontrolled judgement of the judges of

INSTITUTIONS 101
fact” (appreciation souveraine des juges de fait). Of course the distinction

between questions of law and questions of fact is notoriously difficult, so
the Court of Cassation can very often determine the extent of its activities.
The principal factor it considers is whether any decision it makes will be of
general significance and so help to maintain uniformity in the courts.
Contrariwise, the Court of Cassation adopts a position of restraint when
it appears that a legal development is still in full flood; in such a case it
often leaves the issue unresolved, saying that it is (ostensibly) a question of
fact on which the trial judge has the final say.
For the French Court of Cassation, foreign law is in principle
a question of fact; it therefore refuses to quash a judgment on the ground
that foreign law has been wrongly applied, but it reserves the right to
intervene in a case where the court below has wholly failed to apply foreign
law as required by a rule of French conflicts law, or where a very gross error
has been made in applying foreign law, or where it is a question of general
significance (compare ZAJTAY, Zur Stellung des ausländischen Rechts im
französischen internationalen Privatrecht (1963)). – The construction of
contracts is also in principle a matter for the trial courts, but the Court of
Cassation may intervene when general conditions of business or standard
form contracts are being construed, or when the trial judge has
“denatured” the contract by his construction, or has attributed to it
a meaning inconsistent with the words of a clause “claire et precise” (see
Ch. 30 II) – Art. 360 par. 5 Codice di procedura civile puts the Italian Court
of Cassation in a similar position to indulge in covert appreciation of
questions of fact.
The French Court of Cassation has six chambers. Three chambers deal
with litigation arising out of the general private law, a fourth deals with
trade and economic law, the fifth with labour and social security matters,
and the sixth with criminal law. Each civil chamber has at least fifteen
judges, so that in the Court of Cassation as a whole there are about
a hundred judges, in addition to about thirty-five “conseillers
référendaires,” junior judges who do preparatory work on the cases for
decision and take part in the decision-making process, though usually
without a vote. A quorum of five judges is required in the civil and criminal
chambers, in simple cases three. With such a large number of judges there
is a risk that different benches may adopt different methods of judging
cases, so when there may be contradictory decisions or when there is
a “question de principe” to solve the President of the Court or the individual
chambers can remit a decision to a “Chambre Mixte.” The “Chambre Mixte”
is made up of judges from the chambers concerned in the matter in ques-
tion, each chamber sending its President, its senior judge, and two other
judges. Judges chosen in this way from all the chambers constitute the
“Assemblée Plénière” (formerly the Chambres Réunies). Apart from cere-
monial occasions, the Assemblée Plénière meets only when a decision is up
for review a second time, because of the refusal of the lower court to which
the matter was remanded after being quashed on the first occasion to adopt
the view of the law enunciated by the Court of Cassation (see PERDRIAU, [“La
Chambre Mixte et l’assemblée plénière de la Cour de cassation,” JCP 1994.

I.3798]). The Court of Cassation also has a special team of state attorneys,
led by the Procureur Général, who co-operate not only in criminal matters,
but in all civil matters as well; the French view is that at the level of the
Court of Cassation the public, whom the state attorney represents, has an
interest in the maintenance of law even in civil matters. In lower courts the
participation of a state attorney in civil suits is necessary only in questions
involving status and guardianship, though there is a right of intervention
in all cases.
The content, structure, and phraseology of the decisions of the Court of
Cassation, and to a lesser extent those of lower courts, are extremely
characteristic of the particular style of French legal thought. From the
external point of view every decision of a French court consists of a single
sentence, which in the case of the Court of Cassation reads either “The
court . . . dismisses [the demand for cassation]” or “The Court . . . quashes
[the judgment under attack] and remits the matter to the Court of . . . .” All
the reasons for the judgment are to be found between the subject and
predicate of this sentence, in the form of a string of subordinate clauses,
all beginning with the formula “attendu que . . .” (“whereas . . .”). There is no
particular section devoted to the facts of the case or the history of the
litigation; indeed, the facts are referred to only so far as may be necessary
to clarify the particular grounds on which cassation is urged (“moyens”),
the reasoning of the lower court or the particular view of the Court of
Cassation, and even then the reference may be very allusive.
Furthermore, especially in the Court of Cassation, every effort is made to
make the text of the judgment as dense and compact as possible.
Subsidiary considerations are eschewed; and when the decision must be
quashed on one ground, other grounds are not even considered. Asides,
divagations, and efflorescences are never to be found in the Court of
Cassation, and hardly ever below; nor are there references to the back-
ground of the case, legal history, legal policy, or comparative law. In
a widely used guide to the style of judgments MIMIN wrote:
Extrajuridical arguments which do not assist in the solution of a case

are among those which lend a merely sophistical appearance to
a decision. To invoke considerations of economics, sociology or diplo-
macy is to confuse different types of arguments and to conceal the
correctness of sound reasoning [citation omitted].
Judgments of the Court of Cassation never contain references to previous
decisions made by itself or any other court, or even references to legal
writing; such references occasionally appear in the judgments of lower
courts, but MIMIN regards them as objectionable even there [Le style des
jugements (4th edn. 1978), pp. 473 ff.]. In consequence, decisions of the
Court of Cassation are very rarely longer than 4–5 pages of typescript, and
are often no more than a few lines long. They are generally marked by
polished elegance, formal clarity, and stylistic refinement; often, however,
they seem to be frozen in a pedantic ritual of empty formalism, inappropri-
ate to the uniqueness of the concrete facts of life behind the case, which
indeed can often only be guessed at. It is difficult to believe that these

INSTITUTIONS 103
decisions are the work of judges of flesh and blood who ever indulged in the
luxury of doubt; it seems to be required by the “majesté de la loi” that
a judgment should appear in perfect purity as the act of an anonymous
body.
The style of judgments in the Cour de Cassation has been criticized by
French writers as well as by foreigners (see DAWSON, The Oracles of the Law
(1968) 375, 410 ff.; KÖTZ, Über den Stil höchstrichterlicher Entscheidungen
(1973)). TOUFFAIT/TUNC [“Pour une motivation plus explicite des decisions
de justice, notamment de celles de la Cour de Cassation,” Rev. trim. dr. civ.
72 (1974) 487] have shown that because the judgments generally give only
the decision and not the real reasons behind it, no dialogue between the
Cour de Cassation and the legal public is possible and they make clear with
a wealth of examples how trying it is for a French lawyer to have to venture
a view on the possible scope of a terse and cryptic judgment without any
expectation that the court will ever respond to what he says. They therefore
propose that the Procrustean method of giving decisions in the form of
“attendus” be abandoned and that the judges should be required “to give
their reasoning, with an explanation why they decided in the way they did,
and without concealing any of the relevant considerations.” To similar
effect is WITZ, Rev. trim. dr. civ. 91 (1992) 737. Needless to say, these
proposals have had no effect so far; indeed, they have been roundly dis-
missed (see BRETON [“L’Arrêt de la Cour de Cassation,” Ann. Université des
Sciences Sociales de Toulouse 23 (1975) 5]).
Since the reforms of 1958 the French courts system below the level of
the Court of Cassation is of the two-tier model familiar elsewhere in
Continental Europe. Civil matters are decided at first instance by
a single judge in the tribunaux d’instance, of which there are 471 in the
whole of France, an average of 5 for each of the 90 departments. They can
hear cases whose monetary value does not exceed 30,000 francs; their
decision in litigation involving up to 13,000 francs is unappealable,
though recourse to cassation is always possible. All other civil suits go
first of all to one of the 180 tribunaux de grande instance, where three
judges sit. Commercial cases, whatever their value, are first heard by
tribunaux de commerce set up by governmental decree as required in the
centers of commerce. At the moment there are about 230 of them. Three
judges also sit on a tribunal de commerce, but instead of being career
judges they are indirectly elected by the tradesmen of the jurisdictional
area. Many of them, of course, have a basic knowledge of law, since in
France legal education is nothing like as specialized as it is in Germany,
and many educated laymen know some law. Labour disputes go first of
all to the conseil de prud’hommes, which are also staffed by honorary lay
judges. A bench is normally constituted by equal numbers of employers
and workmen, but in the event of disagreement a judge with a casting
vote is called from the tribunal d’instance. Special first instance tribunals
exist for litigation arising out of tenancies, social security, and eminent
domain.
Although, as we have seen, there are several special tribunals at first
instance, alongside the general civil courts, on appeal the principle of

unified jurisdiction is observed; since the reforms of 1958 all appeals to go

to the cours d’appel, no matter whether the judgment in question was
rendered by a tribunal d’instance, a tribunal de grande instance, or one of
the special tribunals; the only exception is for some social security cases. If
the sum in issue is less than 13,000 francs no appeal is possible, even in
commercial or labour disputes. As there are only 35 courts of appeal this
makes justice in France very centralized. Most of them serve two to four
departments, though the court of appeal of Bastia hears appeals only from
the department of Corsica. The Court of Appeal of Paris is especially
important, for its catchment area includes nearly a fifth of the whole
population of France; it has nearly 200 judges whose prestige, position,
and pay are greater than those of the judges in the provinces. Courts of
Appeal sit in chambers with three judges, which may specialize in particu-
lar areas of law, especially in the larger courts.
II
Judges in France, like those in Italy and Germany, are career judges;
they opt for a judicial career early in life, they are appointed by the state
after passing the necessary examinations, and they are generally pro-
moted to more important positions in higher courts on the basis of their
performance and years of service. Here is RENÉ DAVID’s picture of the career
of the judge and the state attorney, both of whom in France are called
“magistrats”:
In France it is often family tradition or personal inclination which
attracts people to the career of magistrat. In addition, it also
appeals to some people who are not very ambitious, who prefer
the security of a modest but assured salary to the risks of compe-
tition or the uncertainties of a life in business. A person who
chooses to be a magistrat can count on a quiet life whose early
years at any rate will be spent in a provincial town, and this life
will not be troubled by undue responsibility: a judge in France sits
alone only in very small cases, private or public; matters of any
importance come before a tribunal with several members, whose
decisions, in accordance with a principle of French law, are
anonymous [Le Droit français I: Les Données fondamentales du
droit français (1960) pp. 49 ff.].
In France lawyers of different branches follow different systems of train-
ing. Certainly future advocates, notaries, judges, and state attorneys must
all follow the same four-year law course in a university, which leads to the
“maîtrise en droit” once the university examination is passed. But then the
paths diverge. The future “magistrat” has to pass a further, rather difficult
examination conducted by the state, success in which gives him the right to
attend the “École Nationale de la Magistrature” in Bordeaux. This school
was founded in 1958 on the model of the famous “École Nationale
d’Administration,” and it admits about 200 young lawyers a year. They
are sworn in as “auditeurs de justice” and are paid by the state during their
period of training which lasts two and a half years. They spend time at

INSTITUTIONS 105
different courts and state attorney’s offices, and receive intensive instruc-
tion to develop their specialist legal knowledge, including disciplines like
forensic medicine, criminology, and business accounting. This period of
training culminates in a further examination, and then the successful
candidates, of whom for many years about 60 percent have been women,
take up posts as judges and state attorneys; the range of choice available to
them depends on their performance in the final examination.
French judges are guaranteed complete independence: they cannot be
removed or even promoted against their will. The promotion of judges
depends principally on the decision of a central committee on promotion,
which contains prominent judges as well as officials of the Ministry of
Justice and has before it the annual reports submitted by Presidents of
Courts on the performance of the judges set under them. When judges are
to be named to the Court of Cassation the Conseil supérieur de la
Magistrature plays an important part; this is a committee of eminent
judges whose members are chosen by the President of the Republic from
a list prepared by the superior courts. This procedure more or less ensures
that the political views of judges play no part in their promotion; if, on the
other hand, men of a very independent cast of mind are not very likely to be
promoted, this is not a fault of the French system in particular, but one
which exists whenever the bridge between “inferior” and “superior” judges
has to be crossed on the basis of a superior’s evaluation of an inferior’s
performance in office.
In contrast to the judge in the Anglo-American legal system, the
judge in France can hardly ever make a name for himself during his
professional career. Only on trivial cases in the lowest courts does he
sit alone; if he is one of a bench of judges, he is not permitted to deliver
a dissenting opinion, and even if he writes the decision of the court the
rigorous style of judgments in France requires him to repress all his
personal characteristics. Yet this obviously reflects the internal atti-
tude of French judges.
“Judges in France do not like to put themselves forward as creat-
ing rules of law. In practice, of course, they have to do so; it is not,
and could not be, the function of a judge mechanically to apply well-
known and predetermined rules. But judges in France make every
effort to give the impression that this is how it is: in their decisions
they keep claiming to be applying a statute; only rarely, if ever, do
they put forward unwritten general principles or maxims of equity
which might suggest to observers that judges were being creative or
subjective” (DAVID, above, p. 50). In fact judges all over the world like
to be seen as “applying” the law rather than as forming it, even
interstitially, in a creative manner. MAX WEBER concluded that “the
very judges who, objectively speaking, are the most ‘creative’ have
felt themselves to be just the mouthpiece of legal rules, as merely
interpreting and applying them, latent though they may be, rather
than as creating them” (Wirtschaft und Gesellschaft II (4th edn.,
1956) 512).

III
Until recently the business of advising and representing parties in
legal affairs, which has long been done in Germany by the unified profes-
sion of the Rechtsanwalt, was in France divided between avocat, avoué, and
conseil juridique. Although the sole profession to survive the reforms of
1971 and 1990 is that of avocat we shall give a brief description of the
different types of lawyer that used to exist, partly because traces of the
distinctions remain and partly because the present rules would otherwise
be incomprehensible.
(1) Avocat and avoué. For a long time a major distinction was drawn in
France between the preparation of a case, essentially regarded as
a ministerial matter, and the presentation of the facts and questions of
law to the court, which was thought to be a task calling for special elo-
quence, grasp of doctrine, liberal education, and mental and professional
distance from the minutiae of the proceedings. The former task fell to the
avoué, the latter to the avocat.
The old-style avocat did all the oral pleading; the rest of the trial, the
written part, fell to the avoué. The avoué did what was needed to get the
court proceedings started, he drafted the statement of claim or the defence
and any other documents, he saw to the distribution of the judgment,
entered the appeal, supervised the execution, and so on. The task of the
avocat was said to be la plaidoirie, while that of the avoué was la procédure,
l’écriture et la postulation. The functions of avocat and avoué were mutu-
ally exclusive: neither could trespass on the prerogatives of the other. The
avocat was a member of a liberal profession, the avoué an officer
ministériel, holder of an office, as was evident from the fact that his fees,
unlike those of the avocat, were fixed by an official tariff, not by negotiation
with the client, and that the number of avoués admitted to any court was
strictly limited.
The distinction between the functions of postulation and plaidoirie
came under increasingly heavy criticism. The litigant could not see why
he had to engage two professionals in even the simplest case. The duplica-
tion delayed the proceedings and rendered it more costly, since both were
doing much the same work. The division of roles in the trial itself was also
problematical, since assembling and presenting the facts in writing is not
rationally separable from oral argument on the applicable legal rules.
Indeed it often happened, especially in big cities, that the documents
handed in to court were drafted by the avocat and simply signed by the
avoué on his headed paper. For all these reasons the two professions were
combined in 1971 in the “nouvelle profession d’avocat.” Now it is only before
the appellate courts that the prior division of labour obtains. In other
courts all procedural steps are taken by the “nouvel avocat.” Indeed it is
only in the tribunal de grande instance and the higher courts that an
attorney is required at all, for in other courts the parties may be repre-
sented by other persons. But in one respect the old distinction between
avocat and avoué is retained in the tribunal de grande instance: although
the avocat may plead before any tribunal de grande instance in France, he
is like the avoué before him in being unable to take the purely procedural

INSTITUTIONS 107
steps in a lawsuit except in the court in whose area he has his chambers.
Thus a person who wants a Paris attorney to represent him in litigation in
Bordeaux has to retain an attorney with chambers in Bordeaux as well, so
that he may do what was previously done by the avoué. It is different in the
tribunaux d’instance and the commercial and labour courts, where the
avocat may conduct the entire lawsuit irrespective of geographical consid-
erations. The avocat may not appear before the Cour de Cassation or the
Conseil d’État, where the representation of litigants is still entrusted to
a special group of lawyers, who, like the former avoués, are officers
ministériels rather than independent professionals. So far as remuner-
ation goes, the old distinction between “postulation” and “plaidoirie” has
been maintained. For purely procedural steps the avocat receives payment
in accordance with a fixed tariff (just like the former avoué), but he can
negotiate the honorarium for advice and pleading with his client without
reference to any tariff.
(2) Avocat and conseil juridique. Only an avocat may address a state
court on behalf of a litigant, but until recently it was open to others to give
legal advice. These other legal advisers, called “conseils juridiques,” were
in brisk competition with the avocats and won a good deal of work away
from them; they concentrated on giving advice to businesses and were
readier to meet the increasing demand for expertise in specialist areas of
law as well as business management, tax matters, and international
affairs. The conseil juridique had to be registered, just like the avocat,
but all that was needed for this was a degree in law or business manage-
ment. Foreigners thus qualified were automatically admitted to practice as
conseils juridiques, though only to give advice on foreign and international
law. This liberal attitude made Paris a veritable Mecca for foreign lawyers
and law firms for twenty years or so, but the distinction between avocat and
conseil juridique was at odds with the position elsewhere in Europe where
only one kind of legal adviser was known, and decisions of the European
Court of Justice on freedom of establishment and the provision of legal
services made legislative intervention imperative. The Law of
31 December 1990 accordingly merged the professions of avocat and conseil
juridique (for details see BÉNABENT [“Avocats: Premières vues sur la ‘nou-
velle profession’,” JCP 1991.I. 3499]) and added to the twenty thousand or
so avocats in France in 1990 approximately five thousand conseils juridi-
ques. All these are members of one of the 180 chambers of advocates
(barreaux) and practice as avocats, so that now for the first time in
France no one may give legal advice for reward unless he has first been
admitted as avocat.
(3) The two reforms have also made major changes in the professional
life of lawyers. Traditionally the French avocat was a sole practitioner,
a generalist able to deal with business of all kinds. Nowadays, however,
thanks to economic and social developments in France as elsewhere,
a client can only get proper advice from someone with specialist knowledge
and expertise, which no attorney can possess in all areas of law at the same
time. Furthermore, a modern attorney’s office requires staff and equip-
ment such as no sole practitioner could afford. There was thus an

increasing need for new forms of co-operation between attorneys. Laws of

1971 and 1990 therefore opened up a whole range of other forms of co-
operation between lawyers. Various forms of office-sharing are possible, as
well as legal partnerships of the kind known in Germany, and one can even
incorporate a company of attorneys (société civile professionnelle). Such
a company has independent legal personality, its own firm name, and its
own capital, but the personal liability of the attorneys who are members of
it remains unlimited.
Whereas Germany still clings to the ideal of the all-purpose lawyer
(Einheitsjurist) and insists that all lawyers undergo the same training,
whatever branch of the profession they propose to enter – a training far too
prolonged, geared to training judges, and heavily regulated by the state –
the system in France is like that in the rest of Europe. After spending four
years studying law at University and gaining the maîtrise, a youngster
planning to be an attorney or commercial lawyer will, if well advised, spend
a further year acquiring specialist knowledge and taking the “Diplome
d’études supérieures” (DESS). If he still wants to become an attorney he
must gain admittance to a “Centre national de formation professionnelle,”
where he spends a year doing practical exercises and following courses
given by professors, attorneys, and judges. On passing the final examin-
ation he will be awarded the “Certificate d’aptitude pour la profession
d’avocat” (CAPA), and must then spend two years in the office of an avocat
as an avocat stagiaire. During this period he is permitted to give legal
advice and appear in court, and at the end of it he is qualified, without
any further examination, to appear as avocat before any court in France
other than the Conseil d’État and the Cour de Cassation.
IV
One may often throw some light on the characteristic style of a legal
system by asking which type of lawyer it regards as representative. France
and Germany are alike in not having developed the type of the wise judge
which other people find so remarkable in the Anglo-American systems. But
France and Germany differ, if we are right, in that in France the represen-
tative type of lawyer is the avocat, the lawyer who pleads before the courts,
while the ideal German lawyer is the learned Doctor Iuris, the trained
scholar who is to be found in all legal careers, especially among professors,
but among judges and barristers as well.
In France the lawyer most often in the public eye is the avocat with his
brilliant oratory and his special prestige. Although the traditional view
that the avocat has no monetary contractual relationship with his client is
virtually without significance today, the social prestige of the avocat still
rests on the belief that when he appears in court he comes not so much as
the agent of a particular party as in the exercise of a kind of public office.
There are historical reasons for the high reputation of the avocat, for he is
the representative of the self-confident French bourgeoisie which emerged
triumphant from the Revolution of 1789. From that Revolution, like the
July Revolution of 1830, the French lawyer learnt that one has to fight for
the rights of the individual not in the study, but in the forum, on the floor of

INSTITUTIONS 109
Parliament, and in the halls of justice. This explains the public standing of
the French avocat and his importance in French politics. For a long time
one could justly say that the Parliament of France consisted half of mayors
and half of advocates. Thus the revolutionary spirit of the French bour-
geoisie has lived on in the advocate for two hundred years. It is true that
like the French bourgeoisie, these advocates are by our standards today
rather conservative, but theirs is a conservatism rooted in the belief that
one should act with energy and commitment for the protection of freedom
once won, for the maintenance of rights which have been earned, of “droits
acquis.” The German lawyer, on the other hand, is typical of a bourgeoisie
which is the product of revolutions which failed to succeed or failed to occur.
While the impression of the French Revolution and the War of Liberation
was fresh the German lawyer was still ready enough to leap on the barri-
cades – consider the dispute between THIBAUT and SAVIGNY – but after 1848
he withdrew from public life like the rest of the bourgeois intelligentsia. At
the time, towards the beginning of the nineteenth century, when the
lawyers in France were constructing the noble edifice of administrative
law – especially through the jurisprudence of the Conseil d’État – to protect
the freedoms of the citizens against high-handed intervention by the state,
the German lawyer was turning to the meditative cultivation of private
law, supposed to be “unpolitical.” At the turn of the century in Germany
lawyers who had theretofore abstained from public life and politics and had
shut themselves up in the ivory tower of legal learning began to co-operate
with the established powers; but this was the very time in France when the
conscience of the nation was shocked by the Dreyfus affair. It is significant
that ÉMILE ZOLA’s famous article in L’Aurore of 13 Jan. 1898 started with
the words: “J’accuse . . .” and continued in the style of a prosecutor’s speech
in court; this is a further indication of how the methods of thought and
speech characteristic of the avocat are consciously used in France in the
interests of maintaining the standards of law and morality in the public life
of the nation.
One can also see marked differences when one asks which legal virtues
are regarded as specially important in Germany and France. The ideal
qualities of a German lawyer are expressed by ideas such as thoroughness,
exactitude, learnedness, a strong tendency to tolerate academic disputes
and the ability to construct concepts of law with which to master the
variety of legal life. The French lawyer, especially the avocat, but also the
judge, aims at clarity and brevity of expression, eloquence, style, effect, and
form. This form is not something purely external, but structural in legal
thought itself: “La forme donne l’être à la chose.” French lawyers have no
time for pedantry, for the “querelles d’Allemand,” for the urge to be right in
trivia irrelevant to the solution of actual problems. The German lawyer, on
the other hand, willingly dons the cloak of learning and is eager to widen
his knowledge. This is immediately obvious when one compares the style of
judgments of German and French courts. The superior German court gives
reasons which are wide-ranging and loaded with citations like a textbook,
while the French Court of Cassation goes in for lapidary “whereas”-clauses.
But the same conclusion follows from the characteristics of the legal

language in the two countries. STENDHAL may, according to tradition, have

read the Code civil frequently in order to improve his style, but one could
hardly advise a German novelist to attend to the Prussian General Land
Law or the BGB. Indeed, one has the impression that in France there is
very little room for a special legal language and that the French legal
writer is the equal of the great masters of the French novel in writing in
a manner which is clear and unpretentious and often brilliantly elegant.
Germany, on the other hand, has developed a specialist legal language in
which obscurity too often rates as profundity and which, even when it is not
pure jargon, still makes it more difficult for the intelligent citizen to know
what is going on in the law than is really desirable for public faith in its
activities.
This also helps to explain why in France, unlike Germany, legal
studies are part of a general education, why the Frenchman regards
a basic legal knowledge – as RENÉ DAVID writes (above, p. 40) – as an
“élément presque normal de la culture générale.” Many young people at
French universities study law without having any intention of taking up
a legal career: law is not just the object of a special training but an area in
which one can learn to think clearly, to express oneself lucidly, and to
practice oratorical skills. The other side of the coin is that the teaching of
law in France is often a matter of rarefied principle, of not being occupied
with the practical question of finding the right legal solution for the prob-
lems of social reality. But to study law in this general, unpractical, and
rather “literary” manner is a way of furthering the education of young
people who are not going to be lawyers. Therefore among educated
Frenchmen one often meets with a certain familiarity with basic legal
ideas. It may or may not be true, as one says, that the French peasant
keeps a copy of the Code civil next to his Bible. But it does seem as if SOREL
was right to say: “There is, so far as I know, no other country where the
private law has entered so deeply into the customs of the country, and
forms so intimate a part of its intellectual, emotional and literary life”
(Livre du Centenaire du Code Civil I (1904) p. xxxv).
3. England
Konrad Zweigert and Hein Kötz, An Introduction to Comparative

Law (Tony Weir, trans., 3rd edn., 1998), 205–17
I
Lawyers from other countries have long been fascinated by the insti-
tutions of English legal life and by the men who run them. This fascination
has not always conduced to objectivity of judgment about English justice.
The European who addresses himself to this theme often has in his mind’s
eye the romantic picture of a judge, robed in scarlet and heavily bewigged,
holding court in a splendidly paneled hall and making law with wise
authority from fat volumes of reports. People are especially surprised to
be told that an industrial state like England with nearly 50 million inhab-
itants can get by with only a few dozen judges. One sometimes hears the

INSTITUTIONS 111
view that this tiny number of judges is explained by the fact that lawyers’
fees and court fees are so exorbitant in England that law is only open to
plutocrats, or the view that Bench and Bar conspire to preserve a legal
system which has lots of old world charm but is seriously in need of reform,
or the view that young English lawyers are trained exclusively in offices, on
the theory that a university education in law is not only unnecessary but
actually harmful. There may or may not be a grain of truth in these views
but they certainly give a one-sided and false impression of English justice;
in the following section we shall try to present a picture, necessarily only in
outline, which is rather nearer the truth.
II
The English citizen who is involved in civil litigation normally comes
into contact not with the High Court in London, much less the Court of
Appeal or the House of Lords, but with the Magistrates’ Courts or the
County Courts which are spread throughout the land.
(1) Magistrates’ courts are staffed by “Justices of the Peace,” magis-
trates without any legal training, three of whom constitute a bench under
a chairman chosen by themselves. Only in the larger towns are there
professional paid “stipendiary magistrates” who have legal training and
who sit alone. Justices of the Peace, of whom at the moment there are about
30,000 in England, divided between about 1,000 courts, are nominally
appointed by the Queen but really chosen by the Lord Chancellor from
lists provided by local commissions. The choice is normally made from
people who have shown some interest in public affairs by being active in
local government, trades unions, professional organizations, chambers of
commerce, or in some other way; but party political considerations also
play some part in the selection of magistrates. To be a Justice of the Peace
is not a full-time job and many of them are retired; it is an honorary
position which attracts only a small payment for expenses. But the social
prestige attaching to the position is considerable: persons of rank in pro-
vincial towns and even tycoons see it as an honour to be a Justice of the
Peace and to be able to put the initial JP after their names.
The Jurisdiction of Magistrates’ Courts is mainly in criminal law,
where they deal with all minor offences, especially the vast number of
traffic offences. Their procedure is summary, without a jury, and is very
swift, especially since the defendant in trivial cases often pleads guilty and
no evidence need be called.
For more serious crimes where a jury is called for, there is a special
court, the Crown Court. Depending on the gravity of the charge, cases in
the Crown Court are tried either before a full-time judge or before
a “Recorder,” an experienced barrister or solicitor in professional practice
who is commissioned to serve as judge from time to time. The Crown Court
may also contain up to four Justices of the Peace.
So far as private law is concerned, the jurisdiction of Magistrates’
Courts is principally in matters of family law: they hear claims for main-
tenance between spouses and between parents and children, legitimate or
illegitimate, issue separation orders, apply the laws about the care of

children, agree to adoptions, supervise guardians, and have extensive

competence in matters concerning the protection of children.
Although for some time Justices of the Peace have been required on
nomination to follow courses which introduce them to the most important
legal questions likely to arise, it is nevertheless necessary to have a skilled
lawyer constantly at their side to advise them. In the Magistrates’ courts
this function is performed by the so-called “clerk to the justices,” a solicitor
whose task it is, part-time or, in the larger towns, full-time, to supervise
the administration of the court, to see to the procedure in court, and above
all to advise the Justices when problems arise during a sitting. For this
purpose the clerk may, should the justices so wish, take part in the delib-
erations prior to judgment.
(2) County Courts were introduced in England by statute “only” in
1846. The aim was to provide within easy reach of the parties courts
which could determine private law disputes involving relatively low sums
at rather small cost.
There are about 270 County Courts in England, so situated in the
country that everyone is within easy distance of one. The courts are
manned by a single judge, called “Circuit Judges.” There are also
“District Judges” in the County Courts who hear cases involving £5,000
or less in simple and informal proceedings. To these Circuit and District
Judges, approximately 770 in number at present, must be added the
“Recorders” who sometimes sit in the County Court; these are usually
practising barristers charged by the Lord Chancellor to take on occasional
judicial functions.
County Courts deal with civil matters involving £25,000 or less,
and may hear cases involving larger sums, for cases of up to £50,000
are only heard by the High Court if they are particularly difficult or
raise questions of special importance. In equity cases the County
Courts’ jurisdiction rises to £30,000. Furthermore, modern social legis-
lation has reserved for the County Courts a whole series of very
important matters, notably those arising from housing law and legis-
lation protecting tenants. The practical importance of the County
Courts is shown by the fact that about 85 percent of all civil actions
are first heard in these courts: If we consider that from a social point
of view the importance of a court is the number of persons whose
affairs it deals with, there can be no doubt that County Courts are
the most important civil courts in the country (JACKSON/SPENCER [The
Machinery of Justice in England] (7th edn. 1989), p. 33]).
(3) When people abroad or even in England speak of English justice,
they think in the first place of the High Court of Justice in London. This
court consists today of three divisions: the Queen’s Bench Division, the
Chancery Division, and the Family Division. The number of High Court
judges has risen from only 25 in 1925 to 97 at the present time, and it will
probably increase still more. Each judge is attached to one of the three
divisions mentioned. Today there are 63 in the Queen’s Bench Division,
presided over by the Lord Chief Justice, 15 in the Chancery Division under
the Vice-Chancellor, and a further 19 in the Family Division under the

INSTITUTIONS 113
President. Except for appeals from judgments of lower courts and for some
proceedings of an administrative nature, all cases in the High Court are
decided by a single judge.
The division of business in the High Court allocates to the Queen’s
Bench Division the cases which before 1873 fell within the jurisdiction of
the old Common Law courts. These include claims for damages for tort
(mainly traffic or industrial accidents) and for breach of contract. The
Queen’s Bench Division has several specialized subdivisions, the
“Commercial Court” which hears disputes between businessmen and
enterprises in commercial matters, the “Admiralty Court,” concerned
with maritime collisions, maritime creditors’ rights, cargo claims, and
arrest of vessels, and the “Divisional Court,” which applies administrative
law. Judges in the Chancery Division hear cases affecting the administra-
tion of estates, bankruptcy, and the property of incapable persons, and
resolve questions of trust law, company law, and intellectual property;
accordingly that division has a strong equity flavour. Family matters are
dealt with in the Family Division.
A number of important judicial tasks in the High Court are per-
formed by the many “masters” and “registrars,” who are chosen from
barristers or solicitors with a certain professional experience. They
perform many varied tasks (see DIAMOND, 76 LQ Rev. 504 (1960)) of
which the main one is to work closely with parties and their legal advisers
in the preliminary steps of procedure so that when the matter comes
before the judge, it can be decided without delay in a single oral hearing.
The master also decides, with appeal to a judge, whether the trial should
be referred to a County Court, what security, if any, should be given, and
questions regarding expert opinions and methods of proof. Furthermore,
on proper motion of the parties, he sees to it that before the oral trial
begins the parties provide their opponent with full information about the
facts they propose to prove and the relevant documents in their posses-
sion. The master also tries to get the parties to agree as many facts as
possible so as to reduce the amount that must be proved and thereby
lighten the task of the judge. Because the trial is so carefully prepared
and because the parties must fully disclose what positions they propose to
adopt, many suits are terminated by compromise, admission or with-
drawal of claim before the oral trial ever starts.
(4) The Court of Appeal hears appeals from judgments of the High
Court, and, with some limitations, appeals from the County Courts as well.
In theory the Lord Chancellor presides but in practice his role is performed
by another judge, called the “Master of the Rolls” – a title borne since the
seventeenth century by the Chancellor’s senior subordinate in Chancery.
In addition to the Master of the Rolls the Court of Appeal consists of 29
“Lord Justices of Appeal,” who sit in divisions of three or occasionally two.
The Court of Appeal reviews every point of law on which the judgment
below was based but often feels itself bound by trial judge’s findings of fact,
even if they have legal consequences. Thus the Court of Appeal does not
hear again the evidence presented at the trial and new evidence is admit-
ted only within very strict limits.

(5) The House of Lords is the highest court, not only for England, but
also for Scotland (except for criminal cases) and Northern Ireland, which in
other respects have their own system of courts. Decisions are made by
a special judicial committee which contains, apart from the present Lord
Chancellor and predecessors who have demitted office on a change of
government, ten judges who bear the title “Lord of Appeal in Ordinary,”
called “Law Lords” for short. The committee is normally composed of five
judges and hears appeals from judgments of the Court of Appeal provided
that, in view of the importance of the case, leave to appeal has been granted
either by the Court of Appeal or by the House of Lords itself.
Brief mention must finally be made of the Judicial Committee of the
Privy Council. The Privy Council is an advisory body which developed out
of the old Curia Regis and the task of its judicial committee is to give the
Queen advice, which is invariably followed, on petition made to her as the
fount of justice by parties who have unsuccessfully exhausted the legal
procedures in the national courts of Commonwealth countries. Appeal to
the Privy Council has been abolished by many important members of the
Commonwealth: Canada, India, Pakistan, and, in 1982, Australia have all
declared that the decisions of their own highest courts are final. But even
today it is not uncommon for the Privy Council to hear cases from countries
as diverse as New Zealand, Sierra Leone, Bermuda, Gibraltar, and
Mauritius, an impressive indication of the world-wide spread of the
Common Law tradition.
(6) High Court judges are nominated by the Queen on the proposal of
the Lord Chancellor who selects them from among barristers with at
least ten years practical experience (the same pool as provides most
Circuit and District judges); on appointment they receive the accolade
of a knighthood. As a member of the government, the Lord Chancellor is
a politician who has often spent many years in the House of Commons
but it must be said that for the last fifty years at least political consider-
ations have played next to no part in the nomination of judges. In the
narrow and familiar circle of barristers a communis opinio readily deter-
mines which of their number are fit for judicial office and a Lord
Chancellor would quickly incur public reproach or, worse still, public
ridicule if he proposed for a judgeship a barrister who was politically
committed but professionally incapable. Once appointed, judges are
wholly independent. Under the formula of the Act of Settlement 1701,
which is still in force today, a judge holds his office only “during good
behaviour subject to a power of removal by His Majesty on an address
presented to His Majesty by both Houses of Parliament,” but no English
judge has ever been removed from office since that date and no one in
England is quite sure how exactly one would set about it (see JACKSON/
SPENCER above, pp. 368 ff.). Even desire for promotion, which can temper
the independence of judges on the Continent, plays no great role in
England. High Court judges have already reached a peak position and
for many of them a further move up to the Court of Appeal or the House of
Lords would not be very attractive.

INSTITUTIONS 115
All judges, even Circuit Judges, are chosen from among the group of
successful and well-regarded barristers . . . This ensures that the higher
courts are manned by judges who are extremely competent and very
experienced in practice, able to command the respect of the whole legal
profession. But in the view of many people, this restricted principle of
choice has the disadvantage that the English judges tend to be of an
extremely conservative temperament: a person who has enjoyed
a brilliant professional career will hardly be disposed to criticize and
reform the very circumstances which made it possible. This tendency to
stability may also be reinforced by the fact that a judge is never appointed
before he is 40, and usually not until he is past 50; he retires at age 70. To be
more specific, the charge has occasionally been made that the marked
individualism of English judges led them, especially until the Second
World War, to adopt a perverse attitude to modern social legislation and
give an unduly restrictive construction to many of their provisions contrary
to the clearly discernible will of Parliament (see JACKSON/SPENCER (above,
pp. 377 ff.) and ABEL-SMITH/STEVENS [In Search of Justice – Society and the
Legal System](1968), pp. 166 ff.]).
Parliament itself has reacted to this. According to many writers, it was
in a deliberate attempt to render modern statutes on social security, tax,
agricultural holdings, and landlord and tenant “judge-proof” that
Parliament referred disputes in these areas not to the ordinary courts
but to special “tribunals,” of which there are now an enormous number;
their procedure is relatively simple and cheap, they are often staffed by
laymen, and they are often closely linked with relevant government
departments. The number of appeals to the Court of Appeal in these
areas is small and diminishing. This very fact helps us to understand
how England gets by with so relatively small a number of judges, especially
when one considers that Germany, for instance, has three levels of separ-
ate courts for administrative and social matters.
Whatever one may think of the conservatism of the English judges, it
seems clear that England has never been readier for reform or more
energetically critical of the existing system than today. Some radicals
have demanded the “nationalization” of all professional lawyers, much as
doctors were nationalized in the National Health Service, and would leave
no part of the courts system untouched. In present circumstances these
proposals may seem unrealistic but it must be granted that an increasing
number of leading and influential jurists see the law of procedure and the
courts system as in need of drastic reform (see JACOB, The Fabric of English
Justice (1987) 246 ff., and in particular ZANDER, A Matter of Justice, The
Legal System in Ferment (1989)). The process was started off by the Courts
and Legal Services Act 1990, and further reforms are awaited. So far as the
reform of substantive law is concerned, England and Scotland have each
had a five-member “Law Commission” since 1965. They have a well-
equipped staff to help them in their demanding task
to take and keep under review all the law . . . with a view to its
systematic development and reform, including in particular the

codification of such law, the elimination of anomalies, the repeal of

obsolete and unnecessary enactments, the reduction of the number of
separate enactments and generally the simplification and moderniza-
tion of the law (Law Commissions Act 1965 s. 3).
Many of the Law Commission’s proposals have resulted in legislation
which has modernized and improved English law on important topics.
The Law Commission’s programme of work originally contained a plan to
codify the whole law of contract. This project has been abandoned. The
advantages and disadvantages of the codification of English law are dis-
cussed in many recent articles of great interest to anyone from a Civil Law
jurisdiction: see, for example, SCARMAN, A Code of English Law? (1966);
HAHLO, “Here lies the Common Law: Rest in Peace,” 30 Mod. L. Rev. 241
(1967); DIAMOND, “Codification of the Law of Contract,” 31 Mod. L. Rev. 361
(1968); DONALD, “Codification in Common Law Systems,” 47 Austr. LJ 160
(1973); KERR, “Law and Reform in Changing Times,” 96 LQ Rev. 515 (1980);
NORTH, “Problems of Codifications in a Common Law Country,” RabelsZ 46
(1982) 94; ANTON, “Obstacles to Codification,” 1982 Jur. Rev. 15. Also, from
the point of view of a continents observer, KÖTZ, “Taking Civil Codes Less
Seriously,” 50 Mod. L. Rev. 1 (1987).
In recent years various aspects of the English legal system have
repeatedly come under investigation by Committee and criticism by
writers. It may be that London’s importance as a legal center will diminish
as the limits on the financial jurisdiction of the County Courts are raised
and more criminal cases are heard by the Crown Courts. Noteworthy, too,
are the English experiments with novel forms of “informal” resolution of
minor disputes in private law. In non-litigious matters advice to the rela-
tively deprived has been provided not only by solicitors but also, most
successfully, by “Citizens Advice Bureaux.” Such fascination as the
English system of justice still exercises on the Continental observer
depends now not so much on the admittedly astonishing position of the
English judge as on the interesting question how in the years to come
England will manage to effect a compromise between its tendency to
cling tenaciously to traditional legal institutions and the need which exists
in all modern societies to provide effective justice for every citizen.
III
Professional lawyers in England are divided into solicitors and barris-
ters. This distinction, which has cropped up several times in the preceding
pages, is a further peculiar characteristic of English legal life which must
now be briefly considered.
(1) The typical English solicitor is an independent lawyer who gives
legal advice to a client on personal and business affairs. In practice on his
own or in partnership with other solicitors, he carries through transactions
involving land, drafts contracts and wills, undertakes the administration
of estates, and advises his client on tax, commercial, insurance, and com-
pany law matters. Solicitors alone are empowered to take the necessary
steps prior to trial. They may also act in the name of their client in the
procedure which precedes the oral hearing before the judge. In the trial

INSTITUTIONS 117
itself they have a right of audience only in the Magistrates’ Courts and the
County Courts. Although solicitors have for years been campaigning
against this restriction, which they regard as unjustified, the bitter
resistance of the Bar saw to it that the door was opened only very slightly
by the Courts and Legal Services Act 1990: the conditions attached to
a solicitor’s “right of audience” are so stringent that no significant change
in practice is likely in the foreseeable future.
Most solicitors’ offices are naturally not so much concerned in the
preparation, initiation, or conduct of trials as with transactions con-
cerning land. Registers of land exist in most areas of the country, but
they are not as sophisticated as in Germany. If the title is not regis-
tered, the title of a vendor or mortgagor must be investigated carefully
by any purchaser or mortgagee. Even if it is registered, most people
who are buying and selling houses wish their interests to be protected
from the contractual stage to the completion of the transaction. This
business, called “conveyancing,” falls mainly to solicitors (who had,
indeed, a legal monopoly of it until very recently), and the fees for
the conveyancing of houses constitute nearly half of the profession’s
income.
In 1989 there were about 60,000 registered solicitors in England.
About 13,000 of these were employed by local authorities or in business.
Of the 9,100 solicitors’ firms about 80 percent have four partners or less,
14 percent have between five and ten, and the rest more than ten. There is
normally one salaried assistant solicitor to every three partners, in large
firms one to every two. In 1991 there were 6 firms with more than 500
solicitors.
The professional organization of solicitors is the Law Society, of
which as many as 85 percent of all practicing solicitors are members.
There is no legal requirement for a solicitor to be a member but the
Law Society has statutory power to lay down rules, with the agree-
ment of the Lord Chancellor and other leading judges, regarding the
training and admission of solicitors. The Law Society also finances the
Solicitors’ Complaints Bureau which can bring disciplinary proceedings
before the Solicitors’ Disciplinary Tribunal, an independent judicial
body. Solicitors’ fees in private matters are normally a matter for
agreement between solicitor and client. The courts, however, retain
the power to review a solicitor’s charges in any case involving court
proceedings, and in other cases the Law Society will do so if a client
complains.
(2) Barristers specialize in advocacy before the higher courts,
essentially the preparation of written documents and the oral presen-
tation before the court. Here barristers have a monopoly which rests
not on the provisions of any statute but on a long-established practice
of the judges according to which a party who does not appear person-
ally can have no legal adviser in court other than a barrister.
Barristers also give oral legal advice or written opinions and draft
complicated wills, land contracts, or trust deeds; indeed, some barris-
ters do nothing else. In these areas there is a certain competition

between barristers and large firms of solicitors, but it is quite normal

for a solicitor in a case of particular difficulty to seek the opinion of
a barrister, many of whom specialize in particular topics and therefore
have an extremely detailed knowledge of the relevant judicial prece-
dents. One very striking fact is that the etiquette of the Bar forbids
any direct contact with the client. Thus a person who wishes to insti-
tute a suit in the High Court or to obtain a barrister’s opinion must
always do so through a solicitor. If a conference becomes necessary
between the barrister and the client who is thus brought into contact
with him, the barrister is bound by professional etiquette to hold his
conference in the presence of the solicitor and in his own chambers, so
far as possible. The choice of barrister normally falls to the solicitor
since only a few litigants have any preferences, so it follows that
a barrister’s success depends very much on his links with the large
firms of solicitors.
Even today barristers are not entitled to form partnerships.
Instead, barristers occupy “sets of chambers” in loose groups of
about twelve to fifteen, often specializing in particular areas of law.
In London all these chambers are situated in the Inns of Court, in
buildings possessed for centuries and steeped in tradition, not far
from the High Court. The chief of staff in these sets of chambers is
the clerk. The clerk makes the contact between solicitors and the
barristers in his chambers, fixes appointments, gives information
about the individual barrister’s programme of work, and agrees with
the solicitor on the fee payable to the barrister by the client. The
amount of these fees is not fixed by statute but depends on the
difficulty and importance of the case as well as the reputation and
standing of the barrister in question. Since the clerk receives a fixed
percentage of the fees paid to the barristers in his chambers, he is
naturally interested in fixing the fee as high as possible, without
losing the business to another set of chambers. Until recently it was
regarded as unprofessional for barristers and solicitors to have direct
transactions regarding fees without the clerk as intermediary, and
this is still extremely unusual.
The method of fixing fees and the prohibition of partnership make
it difficult for young barristers to make a living at the outset of their
career, but the more they succeed in obtaining a certain reputation
and in maintaining good contacts with firms of solicitors, the more
sought-after they become and the higher the fees they can, through
their clerk, prescribe. For barristers who are greatly in demand the
burden of work can be very heavy, since advocacy can only be per-
formed in person and the barrister is in principle obliged to accept
every brief which is offered provided that the stipulated fee is paid. At
a certain moment in a very successful career barristers will face the
question whether they should not lighten their workload by petitioning
the Lord Chancellor to submit their name to the Queen for nomination
as Queen’s Counsel (abbreviated QC). Queen’s Counsel form the elite of
the Bar from whom High Court and Circuit judges are normally

INSTITUTIONS 119
chosen. They stand in high regard in court and in the Inns, and are
entitled to wear a robe of silk. For this reason, when a person has
recently been promoted to the rank of Queen’s Counsel, one says that
“he has taken silk.” Queen’s Counsel can demand particularly high
fees and normally appear in court in company with a “junior” barrister,
for whom of course the party must pay an additional fee; in conse-
quence of this great expense, Queen’s Counsel are briefed only for
important and interesting suits. No barrister may claim to be
appointed Queen’s Counsel; whether the Lord Chancellor accepts
such a petition and proposes nomination to the Queen depends on
whether the petitioner has, in practice at the Bar for at least ten
years, achieved the requisite degree of success in his profession and
renown among his peers. About one in ten of the 6,500 odd active
barristers in 1990 were Queen’s Counsel, and of these over 90 percent
had chambers in London.
The professional organizations for barristers are the four Inns of
Court, all of equal standing, known as “The Honourable Society of
Lincoln’s Inn,” “of the Inner Temple,” “of the Middle Temple” and “of
Gray’s Inn.” The business of these four Inns is conducted by the so-called
“benchers,” not elected by the members of their Inn but co-opted for life by
the other benchers. Most of them are now practicing barristers, mainly
Queen’s Counsel, but some are judges, for judges remain members of their
Inn even after appointment.
In addition to running the business of their Inn of Court and
administering its property, benchers admit students, who must become
members of an Inn before their training, and call them to the Bar once
they have completed it. Other institutions are of general importance
for barristers. The most important of these is the General Council of
the Bar. With members elected from the whole Bar, it represents the
Bar’s interests in public when threatened by legislation, the Law
Society, and other organizations. It also lays down guidelines for pro-
fessional conduct at the Bar. The training of future barristers is organ-
ized by the Council of Legal Education under the general direction of
the Bar Council.
For details on the profession of the barrister and his position in
the whole context of English legal life, reference may be made to the
works of MEGARRY and ABEL-SMITH/STEVENS (above, p. 205). The former
is written from the point of view of a successful Queen’s Counsel and
gives a clear and flowing account of the activities of English barristers
and judges; it conveys the impression that everything is really all for
the best in the state of justice in England, and that drastic reforms are
unnecessary if not actually harmful. ABEL-SMITH/STEVENS, on the other
hand, have done some empirical sociological research and raise the
question whether the practice of law in England today is responsive
to the demand of a modern society that it should be a “social service.”
The authors give a distinctly negative answer to this question and they
do so with details which will give the foreign lawyer pause for thought,
especially if he is unduly in love with English law. ZANDER (Lawyers

and the Public Interest, A Study in Restrictive Practices [1968], p. 212)

sees the principal aim of the monopolies and professional duties of
English barristers and solicitors, whether fixed by statute or tradition,
as being to limit free competition in the production and distribution of
legal services. The crucial question is whether these restrictive prac-
tices are justified as being in the public interest; the author thinks
that by and large they are not
...
(3) The training of lawyers in England also has many features

which will surprise the observer from abroad. The training is directed
to the profession of lawyer, rather than of judge as in Germany. This is
only natural because there is no such thing as a “judicial career” in
England: one only becomes a judge after many years of successful
practice as a barrister. Again, the bifurcation of the legal profession
means that there are different methods of training and examination
for solicitors and barristers. As one would expect from the historical
development of the legal professions in England, these methods of
training and examination are the responsibility of the respective pro-
fessional organizations, the Law Society and the Bar Councils, not of
the state or the universities. Of course it is possible to study law in
almost all of the British universities and to emerge, normally after
three years, as a Bachelor of Laws (Bachelor of Arts in Oxford and
Cambridge). It is true that most of those admitted as barristers and
solicitors possess a university degree in law, but this is not required,
and indeed one can become a solicitor without being a graduate at all.
The Inns of Court do require budding barristers to have a degree, but
it need not be a degree in law. Many distinguished English judges took
a degree in some other subject: LORD DIPLOCK read chemistry, LORD
DENNING mathematics, and LORD WILBERFORCE classics before training
to be a barrister – after leaving the university!
Today a distinction is drawn between the “academic” and “profes-
sional” stages of legal training. For most people the “academic” stage
consists of three years study of law in a university. Those who gradu-
ate in some other discipline before opting for the Bar satisfy the
academic stage by taking a one-year course prescribed and overseen
by the professional bodies, leading to the Common Professional
Examination.
At the “professional” stage the paths of future solicitors and barristers
diverge. The future barrister spends a year at the Inns of Court Law School
in London, and the future solicitor takes a comparable course elsewhere in
London or in the provinces, the teaching and examining being done largely
by judges and practitioners.
The examination passed, the future solicitor must spend two years
under a “training contract” in a solicitors’ office. He is then admitted as
a solicitor, but must still serve for three years as an assistant solicitor
before he can practice on his own or as a partner in a firm of solicitors: in
this way the public can be protected from lawyers of undue youth and
inexperience.

INSTITUTIONS 121
The further training of a barrister is much the same. He must be

entered as a “bar student” in one of the four Inns of Court and spend
a year in barristers’ chambers as a “pupil” gaining practical experience
under the supervision of a pupil-master.
The bar student must also keep a specified number of “dining terms.”
“Dining terms,” of which there are four per year, are periods of about
three weeks during which bar students may take an evening meal in the
Dining Hall of their Inn. One “keeps a dining term” by dining at least
three times during it, and one must keep eight terms in this manner, that
is, have dined on twenty-four occasions, before one may be admitted as
a barrister. The explanation of this institution is that in the old days the
communal dinner was an occasion for contact between barristers and
youngsters, for conversations on legal matters and for moots. In our
times this practice has largely lost its point, especially in view of the
large numbers of students: “Today it is difficult to find any student who
can see any value or utility in the ritual of dining in hall. The food, it is
said, is poor or scanty or both, and the conversation does no more than
pass the time; but the Inn requires it, and so one must go through the
pointless ceremony” (MEGARRY [The Lawyer and Litigant in England]
(1962), p. 114] . . .).
After passing his exams the candidate is “called to the Bar” in a formal
ceremony, and thereby becomes a barrister.
(4) Whether the division of the legal profession into two branches
should be maintained is the subject of recurrent and lively debate in
England. In favour of the split, it is said that to have barristers who
specialize in advocacy is a great advantage for the parties and for the
court: for the parties because the barrister is more detached from the
case, can see it with fresh eyes, and has special experience in pleading,
gained by constant practice; for the court because co-operation with
lawyers can be made easier, more trusting, and free from fiction if
judges have to deal with only a small circle of experienced specialists.
Against the division of the legal professions one often hears the objec-
tion that it greatly increases the expense and duration of legal pro-
ceedings, since the same case is being worked on by two lawyers one
after the other, and sometimes both together. One thing is sure, that it
makes sense to have specialized competences within the legal profes-
sion, as, for example, for conveyancing or for the conduct of cases in
court. What is in issue is only whether the kind and extent of such
specialization should be fixed by compulsory rules as in England, or
whether it should not be left, as on the continent and in the United
States, to the free play of the forces of the market.

B . C HI N A
1. The Structure of the Court System
The Chinese court system follows a “four level, (at most) two trials”
model. There are four levels of courts in China, namely: the basic courts at
district or county level, the intermediary courts at the municipal level, the
high courts at the provincial level and the Supreme People’s Court in
Beijing.1 Between 2015 and 2016, in order to reduce the heavy caseload
of the Supreme People’s Court and to focus its resources on judicial policy
making, six circuit tribunals of the court were established in six major
cities: Shenzhen, Shenyang, Nanjing, Zhengzhou, Chongqing, and Xi’an.
Each of these tribunals exercises the jurisdiction of the Supreme Court
within their circuit. Reportedly, these circuits handled 12,000 cases in
2017, or 47 percent of the Supreme Court’s caseload.2
In each court, there are specialized divisions that hear cases within the
general category of their specialty. Generally speaking, in any particular
court there will be a civil division that hears civil cases that are not
commercial, a second civil division that hear exclusively commercial
cases, a division that hears criminal cases, a division that hears cases of
a cross-border nature where at least one party is foreign. There is also an
administrative law division that hears cases where private parties litigate
against government agencies over their administrative decisions. Finally,
there is a case initiation division that filters out frivolous or meritless
litigation. It decides whether a case can be accepted by the court. In each
division, there are a number of fixed collegial panels of judges. Within each
court, there will be a president of the court, several vice presidents, chief
judges and associate chief judges of the divisions, one head adjudicator and
adjudicators in each panel. In addition, there are administrative organs
within the courts that serve non-judicial functions. Judges are nominated
by the president of a court and appointed by the Standing Committee of the
People’s Congress at the corresponding level of the court.
Normally, a case is tried at a basic court at the first instance, and
parties can appeal to the intermediate court – a court of second instance.
A judgment becomes final after trial by the court of second instance. A case
can be reopened through a process of adjudication supervision only in
exceptional cases.3 Such a motion can be initiated by the Supreme
People’s Court, the president of a court, the procuratorate (the office of
prosecutions), and the parties. It is usually based on errors in application of
law and fact finding.4
Nevertheless, any court can be the appropriate trial court, depending
on a number of factors, such as the subject matter, disputed amount and
1. Four cities enjoy a special status as 2. See the SPC’s report to the NPC in
a municipality under the direct March 2018.
administration of central government. Each 3. 《民事诉讼法》第198条-第201条 [Law
of the four has its own high court. These of Civil Procedure] arts. 198–201.
cities are Beijing, Shanghai, Chongqing, 4. Ibid.
and Tianjing.

INSTITUTIONS 123
legal and social significance of the matter. For example, an intermediary

court has original jurisdiction over cases that bear the maximum sentence of
death or life imprisonment, over terrorism and national security cases, over
criminal cases involving foreigners, and, foreign related civil cases that are
deemed important.5 Provincial high courts have the original jurisdiction
over important cases at the provincial level.6 The Supreme Court exercises
the original jurisdiction over cases of national importance.7 Jurisdiction over
a civil or commercial matter can also be established by contract. For
example, an international commercial dispute with a disputed amount of
RMB 300 million yuan or above could be heard at the newly established
international commercial tribunals of the Supreme People’s Court if the
parties by agreement nominate the Supreme Court’s international commer-
cial tribunal to hear disputes arising out of the transaction.8
2. The Role of Judges

a. Managerial Judging
Contrary to the common law experience, but similar to what we have
seen in The German Advantage,9 Chinese judges assume a more active role
in litigation and dominate the litigation process. Absent a jury system,
judges are also active fact finders.10 They host pre-trial conferences, super-
vise the exchange of evidence between the parties, decide what evidence
needs to be gathered by the court, conduct investigation when necessary in
civil cases, decide what evidence is to be examined at trial, determine the
relevance, the authenticity, and the legality of evidence, and orally examine
the witnesses at the trial. In such a system, the process of litigation is
efficient, and its outcome is predictable. Also, without a lengthy and litigant-
dominated discovery and deposition process, the cost of litigation is much
lower than in the American system. However, when judges are the sole fact
finders who also investigate and collect evidence, impartiality might be cast
into doubt. Also, it is not unusual that judges already form opinions before
the trial. Moreover, when judges become investigative judges, they often
become the scapegoat for all the flaws in the judicial system. All complaints,
frustration, and dissatisfaction in the litigation are directed at the judges.
b. Service-Oriented Judging
So far as ideology is concerned, Chinese courts are people’s courts
serving the people. In 2003, then President and Chief Justice of the
5. 《法院组织法》第25条[Organic Law Issues Regarding the Establishment of

of Courts] art. 25;《刑事诉讼法》第20条 International Commercial Tribunals] art. 2.
[Law of Criminal Procedure] art. 20;《民事 9. John H. Langbein, “The German
诉讼法》第18条 [Law of Civil Procedure] art. Advantage in Civil Procedure,” 52
18. University of Chicago Law Review (1985),
6. Law of Civil Procedure, art. 19. 823.
7. Ibid. art. 20. 10. The general public do participate in
8. 《关于设立国际商事法院若干问题的规 the trial process as people’s assessors. One or
定》第2条 [Supreme People’s Court Rules on two members of the collegial panel might be
people’s assessors.

Supreme People’s Court, Xiao Yang, initiated a policy campaign of “adju-

dication for the people (司法为民).” Under this policy directive, courts felt
compelled to provide easy access to people. That is normally done by having
judges meet people at the reception areas of the courthouses where judges
take questions and inquiries, and even provide legal advice to people
coming to the court. In 2008, then Chief Justice, Wang Shenjun, initiated
a new policy campaign called the “three supreme,” which would require
courts to take the general public’s feelings into account in deciding cases.
Such measures aim to make populist courts that connect with the general
public.
As a result of this policy, it is the judiciary’s duty to bring the adminis-
tration of justice close to people by expediting adjudication and providing
easy access to the legal system. As a result, judges are always evaluated by
the number of cases they are able to conclude within a period of time. Also,
strict time limitations are imposed that run from the day a case is accepted
to the day the case is concluded. A time limit of six months is prescribed for
a normal proceeding,11 and three months for a summary proceeding.12 The
time limitation motivates judges to conclude cases as quickly as possible.
Judges are also encouraged to bring their services to people who can
least afford the judicial procedure. They are encouraged to hold court
sessions in open rural areas or, in recent years, to hold trials through
video conferences to serve parties from different regions. In addition,
judges regularly provide legal education seminars in schools and
communities.
The direct consequence of an expedited and low cost judicial service is
the abuse of the system. Virtually all Chinese courts are facing a flood of
litigation, which requires judges to hold trials almost on a daily basis.
Chinese judges shoulder a workload that is unimaginable in the West.
Based on my personal experience and interviews with Chinese judges, on
average, a judge at a basic level court tries over 200 cases to conclusion in
a year. That will translate into more than one court opinion per
working day. Appellate judges tend to carry a lighter caseload but deciding
over 100 cases a year is not unusual. Quantity does not necessarily trans-
late into quality and yet policy makers also want to ensure quality. An
accountability system was adopted in recent years to hold judges account-
able for errors in their judicial opinions. Nevertheless, to write quality
court opinions is time consuming. It is difficult to imagine how quality of
judicial decisions can be ensured when they are constantly rushed.
3. Judicial Independence
a. Collective Independence of the Courts
The judicial independence exercised by Chinese courts is not the same
as that in the West. In the West, independent exercise of adjudicative
11. Law of Civil Procedure, art. 149. 12. Ibid. art. 161.

INSTITUTIONS 125
power lies in the independence of individual judges. In China, judicial

independence is exercised by a court “as a collective entity or organic
whole vis-a-vis other state organs and outside pressures.”13
Within a court, the independence of collegial panels is often challenged
by the decision of an adjudication committee or adjudicative committee (审
判委员会). The adjudication committee consists of presidents and vice
presidents of a court, heads of the divisions along with some senior expert
judges. This committee has the power to decide cases, usually controver-
sial, complex and high profile, based on a short oral presentation by the
presiding judge without actually trying the case and looking at the evi-
dence. The operation of the committee has been described in this way:
In a typical court, the adjudicative committee meets two or three times
per month, each meeting lasting for half a day or a full day, and at each
meeting 10 to 20 cases may be considered, so that the time devoted to
each case is in fact very short. It has been suggested that although the
majority view of the committee prevails in theory, in practice the
opinion of the court president (who chairs the committee) will have
the greatest weight.14
b. The Influence of a Higher Court

Higher courts have the duty to guide the work of the lower courts
within their jurisdiction. When facing a nuanced legal issue, for the fear
of being overruled, a lower court may seek instructions from the next
higher court. In the famous case of Qi Yuling the Shangdong Provincial
High Court could not decide on whether harm to the constitutional right to
education can be remedied in civil litigation. The issue was decided by the
adjudication committee of the Supreme People’s Court. Following its deci-
sion, the Supreme People’s Court issued an official reply which stated:
“Chen and others infringed Qi’s constitutional right to education through
infringement of the right to one’s name, and caused severe harm. They
shall be civilly liable.”15 The high court ruled accordingly.
As it has been pointed out, such an interaction goes both ways. “[A]
higher court may on its own initiative give instructions or guidelines to
a lower court regarding a particular case before the latter.”16 Such
a practice has long been criticized for rendering the right to appeal
nugatory.
c. The Political-Legal Committee

The Chinese judiciary, as well as other arms of the government, oper-
ates under direction of the Communist Party Leadership. Under the
13. Albert H.Y. Chen, An Introduction to 15. 法释〔2001〕25号 [Fa shi (2001) No.
the Legal System of the People’s Republic of 25].
China (4th edn., Hong Kong, 2011). 16. Chen, Introduction, 188.
14. Ibid. 187.

Communist Party Central Committee, there is a central political-legal

committee that manages all judicial organs at the national level. At local
levels, there are provincial, municipal, district political-legal committees
that lead judicial organs at the corresponding level. Such judicial organs
include not only the courts, but also procurators (prosecutors), the public
security organ (police) and state security organs, and the organs of judicial
administration. As one can see, judiciary and law enforcement agencies
such as police and prosecutors are united under the leadership of the
political-legal committee, a party committee. The existence of such com-
mittee attaches a string to the autonomy of the court. In theory, the
political-legal committee only exercises its leadership over policy and ideo-
logical issues and does not get involved in individual cases and the daily
operation of the court. However, it has been noted that, in the past two
decades, this committee has been exercising influence over the operation of
judicial organs at the corresponding level, which includes the decision-
making process in “major and difficult cases” and personnel appointments
within the judiciary and prosecutors office.17 Therefore, at the expense of
separation of powers, to some extent, the political-legal committee has
integrated the party, the government, and the judiciary into one entity.18
4. The Emerging Case Law System

China follows a civilian tradition where codified law is the primary
source of law with no established tradition of stare decisis. Formally, cases
should never be cited in China, let alone be regarded as binding. In reality,
my personal experience and discussions with judges tell a different story.
The failure to cite cases does not mean that they are not read or that
precedents are not followed, especially when rules are vague and legal
issues are controversial.
Starting in 2011, a first batch of guiding cases were published by the
Supreme People’s Court to “serve the function of guidance.”19 According to
the Supreme Court’s rules on guiding cases, lower courts shall “consider
and compare the guiding cases when deciding a similar case.”20 Publication
of each guiding case requires meeting and a vote of the adjudication
committee. According to the Supreme Court, guiding cases are selected
because they have drawn social attention; the cases are typical; the rules
applied in such cases are founded on principle; they involve controversial,
complex and nuanced issues; or the cases provide guidance in some other
way.21 These published guiding cases are not mere reproductions of the
original court opinions. They are written in the form of essays, which
provide the basic facts, the results, and most importantly, the reasons for
the decision. The end products, especially the reasons, were drafted by the
Supreme People’s Court using language that did not come from the original
cases, and represent the view of the Supreme Court and its adjudication
17. Jianfu Chen, Chinese Law: Context 19. 法发 [2010]51号 [Fa Fa [2010] No.
and Transformation (Leiden, 2008), 184. 51].
18. Ibid. 183. 20. Ibid. art. 7.
21. Ibid. art. 2.

INSTITUTIONS 127
committee on a particular legal issue. According to an experienced judge, in

practice, the extra analysis carries more weight than the case itself.
As of August, 2019, there have only been 112 guiding cases issued by
the Supreme People’s Court, which is not a sufficient number to provide
guidance when the written law does not provide clear answers. However,
important cases can also be found in other published sources.
Among the many published sources of cases by the Supreme People’s
Court, the most important one is the Gazette of Supreme People’s Court.
SPC Gazette started publishing cases in 1985 and are highly influential in
practice. Gazette cases no longer require approval from the adjudication
committee yet they still need approval from the heads of the corresponding
division of the Court. Still, the Supreme People’s Court made it clear that
they are not bound by the Gazette cases though they may be bound by
a guiding case. In a recent decision, the Supreme People’s Court held that
the petitioner’s argument that the court shall follow a Gazette case is
groundless because such a case is not a guiding case.22
Still, judges in practice not only look at guiding cases and Gazette
cases but to others as well. Based on a seminar given by an experienced
appellate court judge, courts, before making decisions, will check whether
there is a similar case decided by the next higher court within the direct
line of appeal for fear that an inconsistent decision will be overruled. They
might also consider similar cases decided by courts at the same level
although mostly for guidance.23 Such a practice, in my opinion, does not
differ much in principle from that of common law judges. Gaps in written
law and the complexity of nuanced legal issues generated by a huge coun-
try like China inevitably make case law more relevant in legal practice.
5. Professionalism
Lack of professionalism has long been the most obvious obstacle to
modernizing the Chinese judiciary. Higher education including legal edu-
cation was suspended for nearly twenty years in China until 1978 when the
college entrance exam and formal university education were restored. As
a result, quite often, judges, lawyers, and prosecutors who have dominated
the legal arena in the past decades had not received formal legal education
or attended university before they were recruited to the court. Most judges
received on the job training after they started working at a court, often as
a clerk or legal secretary and moved up the rank to become a judge. The
lack of professionalism was the very reason the adjudication committee
was established in the courts so that expert senior judges could guide
junior judges in deciding professionally difficult and socially important
cases. Universities started to produce law graduates in the early 1980s
and the professional judges then started to enter the judiciary.
22. (2014)民申字第441号 [(2014) Min City University of Hong Kong Law School
Shen Zi No. 441]. on the case law system in China.
23. Based on statements made in
a seminar given by Judge Zheng Jizhe at

In 1983, for the first time, the Organic Law of People’s Courts required
that judges must have professional legal knowledge.24 The bar has been
raised over the time. “In 1995–2001, the judiciary administered national
qualifying examinations for intending judges. Since 2002, intending judges
have to sit the same unified national judicial examination as intending
prosecutors and lawyers.”25
The Chinese judiciary continues to train judges within its system. It
has been observed:26
The Chinese judiciary has recognised that continuing professional

education of existing judges is an important task. This has been gov-
erned by the Regulations on the Training of Judges, and Plans for
Education and Training in Court Cadres Nationwide have been made
for 2001–2005 and 2006–2010 respectively. Since 1985, various edu-
cational institutions that specialise in judicial training have been
established, including the National Judicial Cadres Part-time
University, the Chinese Centre for the Training of Senior Judges and
the National College for Judges. Judicial training is organised at both
the national and provincial levels. As of the turn of the century, the
great majority of Chinese judges obtained their law degrees or dip-
lomas by adult education. The proportion of judges who held degrees
increased from 7% in 1995 to 52% in 2004.
In 2001, the amended Law on Judges listed the minimum professional
qualifications for a judge. He has to have a minimum of one to three years of
legal experience after obtaining a bachelor’s degree in law.27 If one does not
have a law degree, he can be appointed to be a judge if one has a bachelor’s
degree in other disciplines and has demonstrated possession of profes-
sional legal knowledge.28 Work experience is not required, however, if
one possesses a master or doctorate in law.29
Still, judges in China are not considered an elite professional class.
The reason is partially because there are a large number of non-legal
professionals who also carry the title of judge. They work in the courts as
administrators, executive staff or judicial police. In 2013, a survey on the
professional backgrounds of all thirty-one presidents and chief judges of
high courts, in a mocking tone, revealed that only one judge passed the
judicial examination (the equivalent of a bar exam), only eleven judges
have law degrees; seven of them have neither attended college nor have
a legal background.30 Such a report reflected the public distrust of judiciary
although a counter argument can easily be made that presidents of a court
mostly act in the role of a court administrator and rarely have the time or
interest to hear cases themselves. Therefore, a professional legal
24. 《人民法院组织法》[Organic Law of 29. Ibid.

People’s Courts] art. 34. 30. 起底31 位省级高院院长 [revealing
25. Chen, Introduction, 178. the profiles of thirty-one provincial high
26. Ibid. 205. court presidents]（http://news.takungpao
27. See 《法官法[ Law on Judges] art. 9. .com/special/ fyyz/ accessed May 2, 2020).
28. Ibid.

INSTITUTIONS 129
background is not a prerequisite for a job as president or chief judge of

a provincial high court.
In a new round of judicial reform launched in 2014, a quota judge
system was introduced for the very purpose of creating a professional
class of judges independent of the ranks of bureaucratic civil servants.31
Based on the new system, a fixed percentage of existing judges can become
quota judges through a careful selection process; only quota judges can
hear cases; they are considered independent professionals and not subject
to the influence of officials who might be ranked higher in the civil servant
system both in and out of the court system; and within the collegial panel,
each judge is equal despite their ranks.32 As mentioned earlier, quota
judges are now held responsible for errors occurred in their decisions. As
an incentive, judicial salaries will be significantly higher than those of civil
servants of the same rank. In 2017, the first cohort of 120,000 judges were
appointed as quota judges leaving more than 90,000 judges unqualified.
The doors to the judiciary are now open to two classes of highly qualified
candidates. The first class consists of prominent academics and lawyers.
However, the prospect of attracting such high caliber candidates is not
promising as only two academics and one practitioner entered the bench
since 2013.33 The second class consists of judicial assistants. Judicial
assistants are a new creature in China modeled after the American federal
clerkship system where elite law graduates are selected to become clerks
for federal judges. While American federal clerkship only lasts one or two
years and opens the door to elite law firms, the Chinese judicial assistants
are also elite law graduates who sign up for the job with the hope of
becoming a judge after a few years as an assistant. Such a practice is not
yet established and, in 2017, only a few pilot areas have selected judicial
assistants to become junior quota judges. Some informal data suggest that
160 out of 300 judicial assistants applying to become a quota judge were
appointed to the bench in Shanghai and 197 out 400 in Guangdong.34 By
making the judiciary open exclusively to elite law graduates and expert
judges, the quota judge system looks like a promising way of finally estab-
lishing a professional class of judges in China.
31. 徐家新, “推进司法人事改革，加强队伍 32. Ibid.

建设 [Interview with Xu Jiaxin, “Push 33. Ibid.
Forward the Judicial Personnel Manage- 34. Internal data provided to the author
ment Reform, Build a Stronger Cadre”] (www by two current judicial assistants.
.court.gov.cn/shenpan-xiangqing-85662.html
accessed May 2, 2020).


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INTRODUCTORY READINGS

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1. The Civil Law Tradition

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In discussing the branches of law that we call contracts and torts,

1. G. Inst. III.88. (Oxford, 1962), 100; Helmut Coing, “Zum

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another composed or recited a song attacking him,3 or if someone beat his

3. Dig. 47.10.15.27. 10. Dig. 9.2.27.9.

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17. Politics V.ii 1263a. 24. I. 2.1.2; Dig. 1.8.5.pr.

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and it was only rediscovered in the nineteenth century. In the Empire,

ii. The Medieval Jurists

31. Kenneth Pennington, “The ‘Big Century,” Rivista internazionale di diritto

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acquired this education by studying in universities. The curriculum was

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particular questions were to be resolved. These materials formed the

38. Gl. ord. to Dig. 50 c. 49 to 40. C. 22 q. 2 c. 14.

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The Criticism of the Humanists

44. Quentin Skinner, The Foundations of

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b. The Natural Law Schools

45. James Gordley, The Jurists:

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46. Gordley, Jurists, 128–40. virtutibus cardinalis libri quatuor (Paris,

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ii. The Northern Natural Law School

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natural law that he described were principles of justice that rested on

c. Codiﬁcation and the Rise of Positivism

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64. Corps législatif, Discours prononcé Recueil 6:359; Portalis, Discours

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74. Portalis, Discours préliminaire, in 76. Tribunat, Opinion du Tribun Malia-

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77. François Laurent, Principes de droit 85. Troplong, De la vente 1: preface,

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structure was as intense and as thoroughgoing as that of the late scholas-

97. Savigny, System, 3: 102. Bernhard Windscheid, Gesammte Reden

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development is by way of analogy . . . If no result can be reached by this

iii. Conceptualism in France and Germany

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2. The Common Law Tradition

103. Savigny, System, 1: 331–2. 105. Ranouil, L’Autonomie, 70.

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107. Henry Maine, Dissertations on

https://doi.org/10.1017/9781108869348.006 Published online by Cambridge University Press