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To be published in Rethinking the State: Catholic Thought and Contemporary Political Theory, ed. Heinz-Gerhard Justenhoven
Sovereignty and Rights in Medieval and Early Modern Jurisprudence: Law and Norms without a State
Kenneth Pennington Catholic University of America, Washington, D.C.
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Beginning
in the eleventh century, European legal systems made the slow transition from
customary, largely unwritten, law to legal systems in which law was incorporated
into the written word. During this period, laws and
The first center of legal studies was Bologna.
A shadowy figure named Gratian compiled a liber legalis for ecclesiastical law at the beginning
of the twelfth century. Although the full story is not yet completely known, Gratian began to
compile his book in the early twelfth century, perhaps as early as 1120, and by 1140-1160, his
book was being used as the fundamental compilation of canon law all over Europe.
As a consequence of the establishment of authoritative libri legales, law became an academic and intellectual discipline in a very short time. Student demand was great. Knowledge of law became economic coin. Law schools began to pullulate in Italy, Southern France, and Spain during the twelfth and thirteenth centuries. The curriculum was exactly the same everywhere: Justinian’s Corpus iuris civilis and Gratian’s Concordia discordantium canonum, or, as it was more commonly called, the Decretum, with papal decretals. As the study of law became entrenched in the schools of Europe, students began to study and to receive degrees in both laws: They became ‘Doctores utriusque iuris.’
The jurists called the body of law that they studied, Roman and canon law, the
Ius
commune. It became the universal law of Europe from the early twelfth to the seventeenth
century. During the reign of the Ius commune, teachers in the law schools throughout Europe
not only used the same libri legales in their classrooms; they also used the same language of
instruction: Latin. This lingua franca guaranteed that the focus of the law was universal and not
particular. Liberated from the linguistic borders that limit intellectual horizons today, medieval
students could attend any law school in Europe. One consequence of the schools’ curriculum was
that they did not teach local customary or statutory law. And although the schools were regulated
by the Church in the early centuries, they were largely independent of the authority of the local
prince.
The institutional structure of the law schools had profound effects on law. Unlike today, the schools and the jurists who taught in them were not isolated geographically and jurisdictionally from each other. Although the law schools in Southern Europe were much more important and played a much larger role than the Northern schools during the twelfth and thirteenth centuries, the libri legales created a homogeneous curriculum that formed the foundation of every jurist’s training. The jurists of the North read and taught the jurists of the South. The jurists of the South, especially those from the Iberian peninsula, Southern and Central France, and Italy produced an astounding amount of literature in several different genres. The result of this work was the development of a common European jurisprudence that emerged during the thirteenth century.
This jurisprudence transcended local law, the Ius proprium. From the late twelfth-century
on, the jurists of the Ius commune developed a jurisprudence in which they attempted to isolate
norms that had general application. Brian Tierney has recently demonstrated that these jurists
explored rights of individuals systematically and developed a new language in which rights of
human beings were discussed from many different perspectives.
Today the sovereignty of the state protects the rights of citizens. In the era of the Ius
commune, the rights of subjects were not, for the most part, protected by local customary law or
statutory law.
The “constitution” that the jurists fashioned was not limited by political and legal boundaries. Since the law schools in which the Ius commune was taught, studied, and interpreted were not a part of any territorial state and were not linked to any local legal system, it was a legal system without a state, an idea that is almost inconceivable in the world of the modern state system. One of the main contributions of medieval and early modern Catholic jurisprudence (the Ius commune) was the establishment of individual rights as the foundation of its thinking about sovereignty. As Tierney’s work has shown, a clear doctrine of individual and inalienable rights first surfaced in Western legal thought in the twelfth and thirteenth centuries. Political systems were not democratic, politics were not liberal, but jurists had a common set of norms to which they gave their consent. These norms were the building blocks upon which they constructed rights of property, obligations, marriage, defense, and due process. Today these rights are often protected against arbitrary magistrates of the sovereign state by constitutions. However, although constitutions may function as higher norms, their provisions can be changed, or, as we have seen in the late twentieth century, the political societies that had created them may disappear. In any case, the rights they protect cannot be considered eternal or inalienable. In the bleak and sorry history of the twentieth century, individual rights and the sovereignty of the nation state have waged almost constant war against each other. Today they continue to do battle. Since the Convention for the Protection of Human Rights and Freedoms was adopted by sixteen European countries on November 4, 1950, human rights have been endorsed by heads of government, ratified by treaties, and violated by almost everyone. The culprit is the modern sovereign state, which recognizes the right of its citizens to act contrary to its will and its self-interest only with excruciating difficulty. The norms of the Ius commune created a much more stalwart defense of individual rights than we find in modern jurisprudence. The reason is that individual rights were embedded in a disinterested body of jurisprudence that was not susceptible to the argument that rights should be suspended because of “national interest or national self-preservation.” Unlike the rights granted by modern states to their citizens, the conceptions of sovereignty
held by jurists of the Ius commune protected the rights of individuals — in many cases absolutely.
The origins of the right to due process is a splendid example.
This sentence of Johannes Monachus has a delicious irony for anyone who has studied and
read the literature on due process in English and American common law: rather than a sturdy,
virtuous Anglo-Saxon, a cardinal of the Roman church, a Frenchman, a canonist, Johannes
Monachus was the first European jurist to recognize the inexorable logic of God's judgment of
Adam: God could not condemn Adam without a trial because even God must presume that Adam
was innocent until proven guilty. The Old Testament provided yet another source from which
jurists derived their norms.
After Johannes, other canonists played with the idea of defendants’ rights. They coined a proverb that God must even give the devil his day in court. Johannes' commentary on Rem non novam eventually became the Ordinary Gloss of a late medieval collection of canon law known as the Extravagantes communes. This collection and its gloss circulated in hundreds of manuscripts and scores of printed editions until the seventeenth century. Since his gloss was read by the jurists of the Ius commune until the eighteenth century, it was a primary vehicle for transmitting the principle of due process to later generations of jurists. In the jurisprudence of the Ius commune, the maxim, “Innocent until proven guilty” summarized a bundle of rights that every human being should have, no matter what the person’s status, religion, or citizenship. The maxim protected defendants from being coerced to give testimony and to incriminate themselves. It granted them the absolute right to be summoned, to have their case heard in an open court, to have legal counsel, to have their sentence pronounced publically, and to present evidence in their defense. A jurist of the Ius commune would be puzzled that today we can embrace the maxim “a person is innocent until proven guilty” and still deny human beings a judicial hearing under certain circumstances. For them the maxim meant “no one, absolutely no one, can be denied a trial under any circumstances.” And that everyone, absolutely everyone, had the right to conduct a vigorous, thorough defense. This tradition of thinking about rights survived into the early modern period. Since the recent
work of Brian Tierney, we know that the sixteenth and seventeenth centuries were crucial for the
development of a tradition of
rights thinking in the European tradition. The most important event
that challenged the jurists to continue thinking about individual rights was the discovery of the New
World and new peoples in the sixteenth century. If a number of Spanish thinkers had not been
confronted by this new set of problems, rights could have withered on the vine.
Certainly the sixteenth and seventeenth centuries were not great ages for human freedom in other areas. The doctrine of absolutism became acceptable coin of public political discourse, religious intolerance reached abysmal depths never before seen, censorship became a tool of European secular and religious regimes to control thought, witches were discovered in every crack and crevice, puritanism became the first and most important virtue that was added to the other seven: this list could be extended almost endlessly. Yet the discovery of lands populated with pagan peoples sparked a debate about their rights. Some of the best minds of the sixteenth century asked hard questions: Could native peoples have a just title to their lands? Could their lands be taken from them? Could they be enslaved? Francisco de Vitoria, Bartolomé de Las Casas, Francisco Suárez, and Hugo Grotius exploited the earlier traditions that they found in theology and in the Ius commune. They preserved the concept of rights in an age in which authoritarian power seems to have pride of place. Most of you know that these theologians and jurists defended the rights of indigenous peoples against the depredations of the sovereign state — their state. They used the norms of the Ius commune to argue for those rights. In the end the law failed indigenous native American peoples. Only recently have we begun to recognize, belatedly, the justice of these Spaniards’ arguments.
The thought of a less well-known seventeenth-century Spanish jurist, Emanuel Gonzalez
Tellez, demonstrates how deeply embedded “rights thinking” was in the minds of the jurists of the Ius commune. His work also illustrates how European jurisprudence still exercised power and
authority over the minds of jurists in every corner of Europe at a time when the nation state had
already sounded Ius commune’s death knell.
I would like to begin my discussion of Tellez at an unlikely spot to talk about natural rights:
in the title devoted to the translation of bishops in book one of the Decretals of Gregory IX. This
title contains four decretals of Pope Innocent III dating from 1198 to 1200 in which the pope
suppressed forever the rights of local churches to translate bishops without papal approval. Innocent
declared in Quanto personam, the most important decretal in this title, that he claimed this power
and authority over bishops because “he does not exercise the office of man, but of the true God on
earth.”
This is a strange cupboard for a canonist to look for rights. Tellez, however, began his
commentary by asserting that Quanto personam led to the following conclusion: “A bishop who
transfers himself on his own authority from one church to another loses both offices” and listed a
long series of authorities who supported this statement.
Truly the present decision is contrary to ius and natural liberty and cannot be held. For a disposition of ius that infringes upon natural liberty cannot be admitted. The present disposition infringes upon natural liberty and cannot be sustained. First we may prove the minor thesis: a disposition that anyone may not leave a certain place or a certain city infringes upon natural liberty.
Tellez cited a passage from the Justinian’s Roman law Digest in which Tryphonius (Sabinus)
argued that everyone had the right (libera facultas) to choose his own city and Cicero that it is a
foundation of liberty that no one may be forced to stay in a city unwillingly.
Even more importantly for the argument of this paper is the fact that Tellez knew and had read Grotius’ great treatise De iure belli. Grotius published his essay in 1625. We have known for a long time that the Dutch jurist read and cited contemporary Spanish, Italian, French, English, German and Dutch jurists and had also cited a remarkable number of jurists who had written their works from the twelfth to the sixteenth century. Even a casual reading of De iure belli will convince any reader that Grotius was influenced by, borrowed from, and contributed to the jurisprudence of the Ius commune. His Protestant religious convictions did not exclude the ideas of Catholic jurists. Renowned Spanish jurists and theologians like Franciscus de Vitoria and Franciscus Suarez, together with much more obscure figures like Rodericus Suarez and Balthazar de Ayala, dot the margins and inhabit the footnotes of his texts. These men inspired his thought and justified his convictions. Grotius may have been Protestant but in law he was catholic. In this respect, however, Grotius was not unusual. All the jurists of the Ius commune participated in a legal system without borders. Conversely Tellez must have read Grotius within a decade or two after the publication of De iure belli. The Ius commune was a pan-European legal system, and its literature was universal. There were two reasons why. The first is language. From the twelfth to the seventeenth century, the language of the classrooms, the language of the standard texts, and the language of the literature that explicated the texts was Latin. The linguistic barriers between jurists that isolate them from one another today did not exist then. The second is the curriculum of the schools. Since the end of the twelfth century, the libri legales used in the law schools were the same all over Europe. Every student, whether in Oxford or Bologna, Salamanca or Prague, read the same texts. Professors taught those texts and read the same specialized literature. A Grotius was not separated from a Tellez by language, terminology, and intellectual background — or by religious belief. The result was a common set of presuppositions and an intellectual tradition that was not tainted by the parochial idiosyncrasies of local customs. In particular their thinking was not limited by the norms of local custom.
Let us return, however, to Tellez and his argument that people had the natural right to move
from place to place. In the end, he did not uphold the position that the bishop could move without
papal authority. His ultimate conclusion conceded that since a bishop was married to his church this
marriage bond took precedence over his natural liberty to move.
The modern state has restricted the rights of its subjects and others to move from place to place for the common good. Since the middle of the nineteenth century it has decided that its borders were sacrosanct and that it had the authority to infringe upon the natural liberty of people to move from one state to another. Tellez would have been puzzled. He thought that the right to immigrate was a natural right that had been recognized since Roman times. It was a norm of the Ius commune.
Another area of rights illustrates Tellez’ attitudes: the right to bear arms. At the end of the
eleventh century the church had moved broadly to forbid clerics from carrying arms. A canon from
the Council of Poitiers in 1079 banning clergy from bearing arms became part of the normative law
of the church by the late twelfth century.
What sets Tellez apart from his predecessors is the last part of his commentary. Here he
turned, naturally, it seems, to the rights laymen to bear arms. His point of departure is a statute in
the Justinian’s Code of Roman statutes that forbade any Roman from bearing arms without the
permission of the emperor.
The language of rights, based on the jurisprudential norms of the Ius commune, permeates
Tellez’ commentary. In his commentary on the Fourth Lateran canon prohibiting Christians from
selling arms to Moslems, Tellez again raises the issue of rights.
For although contracts of sale and purchase are part of the ius gentium, and although princes may not prohibit their subjects absolutely, they can prohibit similar commerce with just cause for some people or of some things, because such a prohibition is supported by a more powerful natural reason, as Albericus Gentilis has noted. The ius of commerce is a ius founded on equity (ius aequum is untranslatable but has a rich resonance in the jurisprudence of the Ius commune) and defending safety is accomplished more justly with equity. The law of commerce is just but (the law) of preserving safety is more just. The former is based on the law of nations, the latter on that of nature. The former is the concern of private persons, the latter of kingdoms. So commerce yields to the kingdom, man to nature, money to life.
I cannot leave Tellez without looking at a place where one would expect to find the language
of rights in full regalia: the chapter on theft in the Decretals of Gregory IX upon which the canonists,
beginning in the twelfth century, had built a fortress defending the rights of the poor.
Nevertheless the urgent necessity of hunger permits them to eat it. The command to preserve life is a part of natural law (here one may argue whether we should translate this passage as “natural law” or “natural right”) and the prohibition is only a part of positive law. When two precepts conflict, one of natural law and one of positive law, natural law always prevails.
However, if a Christian were forced to eat as a part of the cult’s liturgy, then Tellez agreed with
Vitoria: the person should rather die than eat.
The Ius commune of the sixteenth and seventeenth centuries is important for our world because it directly links our ideas and thinking about rights to the ideas of medieval and early modern jurists and theologians. The main conduit though which the concept of natural rights flowed was not another theologian, but the Dutch Protestant jurist, Hugo Grotius (1583-1645). In De jure belli, Grotius grappled with the meanings of right (ius) in all of its multifarious meanings. I was surprised that Grotius, who died four years before him, influenced Tellez. I should not have been. It demonstrates, once again, two of the central points in this paper: how open the intellectual world of jurisprudence still was in the seventeenth century and how pervasive the language of rights was in that world. The three elements that were central to the jurisprudence of the Ius commune in its waning years were its norms, its concept of natural law and of natural rights. Tellez, Grotius, and the other jurists thought these norms often trumped the sovereignty of the state, except under certain circumstances when other, usually collective, rights trumped individual rights. The jurisprudence of the Ius commune was the Träger of individual rights. It protected the rights of individual across territorial and jurisdictional borders. It protected rights without the state. Of equal importance, however, was the vehicle through which the Ius commune was created. From the twelfth century the law schools provided the crucial institutional context that nurtured the evolution of a humane jurisprudence. It is impossible to imagine that the Ius commune would have evolved if the schools had been linked to the law of a certain territory. Jurists were not isolated from one another. They conducted long, sophisticated discussions with their contemporaries and their predecessors in their teaching and their works. The result was a jurisprudence that protected the rights of persons as well as any legal system in the modern world and better than most.
A legal and an educational system
that is independent of national, religious, and ethnic
blinders would be difficult, perhaps impossible, to establish in our fragmented world. The model
of the Ius commune, nonetheless, provides us with a rich realm of ideas and possibilities. It
created a jurisprudence and a set of norms that was the product of centuries of debate in the
classroom, in the pages of books, in the courtroom, and in the chambers of legislative authority.
Recently I discovered that a famous voice from the past, Alessandro Manzoni, had partially made
my main point several centuries ago. In the debate over the use of torture in criminal proceedings
Manzoni had pointed out that Pietro Verri had overemphasized his contribution to the intellectual
arguments that underpinned his condemnation of torture and de-emphasized the contribution of
earlier jurists. As part of Manzoni's account of a Milanese cause célèbre in which the judges sent
several innocent men to the rack with almost no evidence of their guilt, he demonstrated that Verri
had seriously distorted the legal tradition when he emphasized the novelty and orginality of his
own thought:
From this evidence and from all we know of the practice of torture in their own time, one can undoubtedly conclude that the interpreters of criminal procedure left the theory and practice of torture much, but much, less barbarous than they found it. Of course it would be absurd to attribute this diminution of evil to one cause alone, but I think that among the many causes that it would be reasonable to count the repeated reproofs and warnings, renewed publicly, century after century, by jurists to whom it certainly can be granted a definite authority over the practice of the courts. Manzoni had extraordinary insight into how the norms governing torture evolved in European jurisprudence. He understood the complicated dialectic through which jurists argued with, borrowed from, and added to the thought of their predecessors and, in their works, spoke across the centuries to their successors. He also understood that the thought of the jurists eventually penetrated into the rough and tumble of the courtroom.
Today Europe seeks a new Ius commune, and the world seeks a jurisprudence that will
protect the rights of all human beings much more effectively than the nation state has done over the
past two centuries. Although the liberal, democratic state has made great progress since the
eighteenth century there is not a single one that has not seriously and shamefully violated the rights
of its citizens and its non-citizens in the name of self-preservation during the past fifty years.
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