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Robert Alexy, Legal Certainty and Correctness
Robert Alexy, Legal Certainty and Correctness
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Abstract. What is the relation between legal certainty and correctness? This ques-
tion poses one of the perpetual problems of the theory and practice of law-and for
this reason: The answer turns on the main question in legal philosophy, the
question of the concept and the nature of law. Thus, in an initial step, I will briefly
look at the concept and the nature of law. In a second step, I will attempt to explain
what the concept and the nature of law, thus understood, imply for the relation
between legal certainty and correctness. Here three issues will be considered: first,
the Radbruch formula as an answer to the problem of extreme injustice; second, the
special case thesis, which claims that legal argumentation is a special case of
general practical argumentation; and, third, the problem of the judicial develop-
ment of the law.
* I should like to thank Stanley L. Paulson for suggestions and advice on matters of English
style.
© 2015 The Author. Ratio Juris © 2015 John Wiley & Sons Ltd, 9600 Garsington Road, Oxford OX4 2DQ, UK and 350 Main
Street, Malden 02148, USA.
442 Robert Alexy
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Legal Certainty and Correctness 443
' Kant 1996, 356: "So, unless it wants to renounce any concepts of right, the first thing it has
to resolve upon is the principle that it must leave the state of nature, in which each follows
its own judgment, unite itself with all others (with which it cannot avoid interacting), subject
itself to a public lawful external coercion, and so enter into a condition in which what is to
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444 Robert Alexy
4. Second-Order Correctness
One might assume that the necessity of positivity, required by the principle of legal
certainty, implies positivism. This, however, would be incompatible with the claim
to correctness. To be sure, the necessity of positivity implies the correctness of
positivity. But the correctness of positivity does not have by any means an exclusive
character. To grant to positivity an exclusive character would be tantamount to
eliminating the claim to correctness of content-to eliminating, in other words, the
claim to justice. This claim must, however, remain alive, for it is necessarily
connected with law. For this reason, one has to distinguish two stages or levels of
correctness: first-order correctness and second-order correctness. First-order cor-
rectness refers only to the ideal dimension. It concerns justice as such. Second-order
correctness is more comprehensive. It refers both to the ideal and to the real
dimension. This is to say that it concerns justice as well as legal certainty. Legal
certainty, however, can be achieved only by means of positivity. In this way, the
claim to correctness, qua second-order claim, necessarily connects both the principle
of justice and the principle of legal certainty with law.
The principle of legal certainty is a formal principle. It requires a commitment to
what is authoritatively issued and socially efficacious. By contrast, the principle of
justice is a material or substantive principle. It requires that the decision be morally
correct. Both principles, as with principles generally (Alexy 2002b, 44-110), may
collide, and they often do so. Radbruch (1990, 50) aptly speaks of a "lively tension."
Unlike what Kelsen claims for his "principle of positivity" (Kelsen 1945, 402;
translation altered),2 neither can ever supplant the other completely, that is, in all
cases. On the contrary, the dual nature of law demands that these principles be seen
in correct proportion. Thus, second-order correctness is a matter of balancing. This
shows that balancing has a role to play not only in legal practice, but also at the
very core of law. It is part of the nature of law.
The tension between legal certainty and substantive correctness appears every-
where in the legal system. Three aspects will be taken up here: the question of an
outermost border of law, the problem of legal argumentation, and the question of
whether the principle of correctness leads to an intolerable degree of judicial
activism.
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Legal Certainty and Correctness 445
extreme injustice is not law (Alexy 2008b, 427-8).' It is not possible to enter into this
debate here. The only point of interest is this. How is the threshold of extreme
injustice related to the principles of legal certainty and substantive correctness or
justice, and does this relation count as an argument for engaging both legal
certainty and justice instead of referring exclusively to legal certainty? The answer
begins with the thesis that this relation is determined by the two basic laws of
balancing, the law of competing principles and the law of balancing.
The law of competing principles says, using the preference operator P,
If principle P1 takes precedence over principle P2 in circumstances C: (P1 PP2) C, and if P1 gives
rise to legal consequences Q in circumstances C, then a valid rule applies which has C as its
protasis and Q as its apodosis: C -- Q. (Alexy 2002b, 54)
P1 shall represent the principle of legal certainty, P2 the principle of justice. The
condition of preference C is used in two interpretations. C, stands for "injustice
below the threshold of extreme injustice," C 2 for "extreme injustice." According to
the Radbruch formula, legal certainty, P1 , takes precedence over justice, P2, under
the condition C1 , that is, in case of injustice below the threshold of extreme injustice:
Under the condition C 2 , that is, in a case of extreme injustice, then, according to the
Radbruch formula, justice, P2, takes precedence over legal certainty, Pi:
The principle of legal certainty, P1 , taken alone, requires that the norm in question
be valid, that is, that the norm to which Q refers be a legal norm. The principle of
justice, P2, requires, again taken alone, that the norm in question not be valid, that
is, that it not be law, which can be expressed by -Q. Thus, (1), according to the law
of competing principles, implies the rule
(1') c Q,
which, owing to the conditional precedence of legal certainty, orders the validity of
the incorrect norm, and (2) implies the rule
(2') C 2 -* -Q,
An explicit rejection of the idea underlying the Radbruch formula is to be found in Kelsen
1992, 36: The "Pure Theory of Law prevents misuse of the discrepancy between some
presupposed absolute value of justice and the positive law, prevents its misuse as a legal
argument against the validity of the positive law."
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446 Robert Alexy
the judicial decision introduces a new rule providing for legal certainty in the
future.
All of this, however, is acceptable only if the rule that extreme injustice is not law
is, first, justifiable and, second, applicable in a rational way. Numerous arguments
can be adduced for its justification (Alexy 2002a, 40-62). Here only the justification
according to the law of balancing is of interest. The law of balancing reads as
follows:
The greater the degree of non-satisfaction of, or detriment to, one principle, the greater must
be the importance of satisfying the other. (Alexy 2002b, 102)
This law of balancing can be developed further by means of the weight formula
(Alexy 2007, 25), but this will not be taken up here.
Following the defeat of National Socialism, as well as after the collapse of the
German Democratic Republic, German courts declared norms of these systems,
issued before 1945 and before 1989 respectively, to be invalid from the beginning,
that is, null and void (Alexy 2008b, 428-32). With this development, the courts
accepted a compromise where the principle of legal certainty (P1 ) is concerned.
According to the law of balancing, what matters is, on the one hand, how great this
compromise is, and, on the other hand, how great the importance of satisfying the
principle of justice (P2) is. An example is the bank deposit decision of the Great
Panel of the German Federal Court of Justice for Civil Matters. This decision
concerns the question of whether a Jewish woman who emigrated had lost, on the
basis of Section 3 of the Eleventh Ordinance, 25 November 1941, issued pursuant
to the Statute on Reich Citizenship, securities left in a bank deposit of a German
bank. The Great Panel declared Section 3 of the Eleventh Ordinance, which
provided the devolution of such property to the Reich, as "void from the outset."
Because only extreme injustice, and not every instance of injustice, leads to
invalidity, the interference with the principle of legal certainty (P) can be described
as relatively light. In contrast to this, the interference with the principle of justice
(P2) would be very serious if the Jewish woman, expropriated for reasons that were
"racial" in nature, were not to get her property back. Therefore, the law of
balancing requires that the case be decided according to the rule: Extreme injustice
is not law (C 2 -> _Q). Thus, the relation of the threshold of extreme injustice to the
principles of legal certainty and justice speaks for engaging both principles instead
of referring exclusively to legal certainty. Referring exclusively to legal certainty
would imply the rejection of the Radbruch formula. Engaging both principles leads,
according to the law of competing principles and the law of balancing, to this
formula.
It might be objected that cases like the bank deposit case are so unusual that a
generalization is impossible. Thus, one can argue about the question of whether the
killing of fugitives on what had been the border between the German states counts
as extreme injustice. The reply is that the mere fact that the subsumption of a case
under a norm is contested is not an argument against the norm. Otherwise, one
would have to forgo nearly every norm, for hard cases can appear with any and
every norm for reasons of ambiguity, vagueness, or evaluative indeterminacy
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Legal Certainty and Correctness 447
Rather, the decisive point is whether rational arguments for and against a sub-
sumption under the concept of extreme injustice are possible. This is the case, but
it cannot be elaborated here (Alexy 1993, 29-30).
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448 Robert Alexy
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Legal Certainty and Correctness 449
of the democratic constitutional state that constitutional rights in it are valid, rights
that have a radiating effect on the entire legal system, that is to say, rights that have
to be taken into account in the application of all statutes and other regulations
(Alexy 2002b, 351-65). This implies that the open sphere of positive law below the
level of the constitution is by no means empty. Thus, the special case thesis as a
general argumentation-theoretic thesis is joined with the theory of constitutional
rights in the form of principles theory The consideration of constitutional rights in
the interpretation and application of the law requires balancing according to the
rules of proportionality. Balancing, a motif that cannot be elaborated here (Alexy
2010b, 27-32), is a form of rational argumentation. With that, it is again argumen-
tation and the claim to correctness connected with it that are decisive. Naturally,
here, too, there exist uncertainties and there exists, above all, discretion (Alexy
2002c, 15-30). But this does not alter the fact that Kelsen's equal value thesis has
to be restricted even further. It would be possible to go more deeply into all of this.
But what has already been said suffices to show that the special case thesis in
connection with the principles theory of constitutional rights is able to suppress
arbitrariness in the open sphere of positive law to such an extent that one can speak
of clear gains for legal certainty In this way, the connection of legal certainty with,
as such, the competing principle of correctness leads to more legal certainty than
the principle of legal certainty alone. Kelsen's (1992, 84) thesis of the "illusion of
legal certainty" has to be rejected to the extent that the connection achieves this.
Legal certainty is not an illusion to the degree that correctness is not an illusion.
6 On a distinction of four forms of the development of law, see Alexy 1995, 91.
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450 Robert Alexy
Arguments which give expression to a link with the actual words of the law, or the will of
the historical legislator, take precedence over other arguments, unless rational grounds can be
cited for granting precedence to the other arguments. (Alexy 1989, 248)
Naturally, it would be fine if a more precise rule could be formulated that solved
the problem of the development of law once and for all. But to require such a
solution would be to fail to appreciate the character of the relation between legal
certainty and correctness. In any case, the main outlines are recognizable, connect-
ing the Radbruch formula with the rule on the burden of argument just mentioned.
It is the idea of the overarching prima facie precedence of the authoritative or
institutional dimension, that is, the principle of legal certainty, over the principle of
correctness of content or justice.
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Ratio Juris, Vol. 28, No. 4 2015 The Author. Ratio Juris D 2015 John Wiley & Sons Ltd.