#11485 - Theories Of Statutory Interpretation - Legislation and Statutory Interpretation

II.TheoriesofStatutoryInterpretation

PotentialUnderlyingNorms

RuleofLawpredictability,stability,accessibilitybycitizenry

DemocraticLegitimacydeferencetodecisionbypopularlyelectedlegislators

Pragamaticsinterpretershaveadutytocontributeproductivelytoastatutoryscheme

andthecommongood

DecisionRulesWewantadecisionrulethatoptimizesbothaccuracyandlegitimacy

Accuracy

Getridofideologicaldiscretion

Getridofinfighting

E.g.coinflippingwillgiveusunanimousdecisions,judgeswilltotally

abandontheirpoliticalbackgroundsandideologicalpositions

Legitimacy

Usesophisticated,consistentmethodology

Backupyourassertionswithevidence

E.g.textualistanalysiswillprobablybeveryprincipled,butisit

accurate?Couldbeveryresultsoriented

"FunnelofAbstraction"

OurIntellectualframeworkisnotsingleminded,butreflectdifferentunderstandingand

differentvalues.AsdescriptionofwhatCourtisdoing,veryunrealistictosayCourtis

justdoingonething(textualism,purposvism).Fewjudgespracticebylookingatoneand

onlyonefoundationalmethod.Thevectorfrom"concrete"to"abstract"shouldn'tbe readas"determinate"meaningto"indeterminate"meaning.Tosaythatsomethingis

concreteisdiffromsayingthemeaningisobjectivelydeterminable.

Rankingofdifferentinterpretationsfrommostconcretetomostabstract,withoutplacing

normativevalueonconcretenessorabstractness

Verticallydownlevelsandhorizontallyoneachlevel:frommostconcretetomost

abstract

1. Statutorytext(specificordinarymeaninginprovision;wholeact;wholecode)

Couldputstaredecisisonstatutorytexthere

2. Specificlegislativehistoryonpoint(intent)

3. Generallegislativepurpose("mischief"rule)

4. Evolutionofthestatute(agencies,courts(staredecisis),otherstatutes,external

events)

5. Legalcoherencenorms(constitutionality+rationality)

6. Currentpolicyconcerns(metavaluessuchasequity,coherence,+fairness)

HistoricalUsages:HolyTrinitywhentextwentagainstBrewer,usedotherfactorsto

arriveathisoutcome

2waysofevaluatingeclecticarguments

Chainsmetaphor:onerottenapplespoilsthebunch(soonlymakereallygood

arguments?)

Cablesmetaphor:inthesecasesresultwilldependonstrongestoverallcombination

ofthreads.That,inturn,dependsonwhichvaluesdecisionmakersfindmost

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important,andonstrengthofargumentsinvokingeachvalue.

HistoricalDevelopment

19thCentury:eclecticism(HolyTrinity)

endof19thCentury:HolmesianTextualism

mid20thCentury:purposivism

Criticism:ifstatutehasmanydifferentpurposes,whichpurposedowechoose?(e.g.J.

TattinginCaseofSpelunceanExplorers)

late20 thCentury:NewTextualismandDynamicStatutoryInterpretation

Criticism:iflawisamess(e.g.InMatterofJacob)orisambiguous(e.g.whatdoes

"DueProcess"mean?),itisjudge'sjobtointerpret

19691986:CourtConsidersLegislativeHistory

19871995:PeakofNewTextualism

Mostoftenfoundplainmeaning

OnlyinhandfulofcaseshasCourtreliedonlegislativehistorytointerpretstatute

againstitsplainmeaning:UsuallyStevensorSouteruseimaginativereconstruction,

withScaliadissenting

1995OnwardInstitutionallegislativehistory

Breyer,TheUsesofLegislativeHistory Breyerhaspushedcourttoexamine

legislativematerialsmoreoften

Midwaybetweenimaginativereconstructionandtextualism

ButEFGnotethattherearemorecaseslikeCircuitCity(whereCourtrefused

toexaminelegislativematerials)thanlikeSweetHome(whereevenScalia

consideredlegislativehistory)

Courttreatslegislativeprocessasgroupengagedincoordinatedpurposiveaction:

Committeesgroupreliesonguidance+judgmentofsubgroups

Enactmentofstatutesgroupratifiespubliclypresentedunderstandings

Court'sroleistocontinuethatlegislativeproject(deferentialtolegislative

process)

RobertsCourt

StatutorytextiscentralinquiryofSCOTUSandcourtsfollowingit

Courtoftenusesdictionarymeanings

Courtcaresmoreaboutstatutorycontextthanhistoricalcontext

Courtuseswholecoderuleasopposedtowholeactrule

Willusetypicallegislatorstandardtoarrive@plainmeaning

EFGbreakdownRobertsCourt'scurrentmethodologyintoreductionist

fashioninto3partsequence:

1)Textanddictionaries

2)Wholeactandwholecode

3)Legislativehistory,andevolution

Fuller,"TheCaseoftheSpelunceanExplorers"

Facts:Dudley+Stephenslikecannibalism.

Statute:"Whoevershallwillfullytakethelifeofanothershallbepunishedbydeath."

Foster(purposivism/ImaginativeReconstruction):wouldacquit,sinceDs'conductisnot

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withinspirit/purposeofstatute

MostsimilartoHart&SacksandPound

Judge'sjobistointerpretinlightofoverallpurposeandtotrytofigureoutwhat

Congresswouldhavedoneifconfrontedwiththisproblem

Purposeofthemurderstatuteistodeterwrongdoing,butthatdoesn'tapply

here

Assumesidealizedlegislature

Keen(textualist):wouldconvict

Plainmeaningprecludesusingequitiesofcase(lawisdistinctfrommorality)

Judicialdeferenceismoredemocraticandrespectsinstitutionalcompetence(let

legislaturefixtheirmistakes)

Handy(pragmatist/Realist):wouldacquit

RobertJackson mostsimilartoBlackmun,Breyer,orPosneroftoday

CommonSense/Policybasedapproach("allgovernmentofficials,includingjudges,

willdotheirjobsbestiftheytreatforms+abstractconceptsasinstruments")

Eclecticism

GoldenRule(LordBlackburn):followplainmeaningunlesstodosowouldleadtoan

inconsistencyorabsurdity.Allowsjudgestorewritestatutesinordertoavoidabsurd

consequences.

BrewerinHolyTrinity:"thingmaybewithinletterofstatuteandyetnot

withinthestatute,becausenotwithinitsspirit,notwithinintentionofits

makers."

Sometimes,judgeswillclaimtheyreadwholestatutebutwillselectpartsof

statutetouseintheirinterpretation.E.g.BrewerinHolyTrinitydoesnotuse

otherpartsofstatutewhichareactuallyfavorabletohisinterpretation.

Criticism:whoisdecidewhatisabsurd?

LiteralRule(LordAckinsonandLordBramwell):Legislatureintendedwhatitplainly

expressed.Doesnotmatterifplainexpressionleadstoabsurdresults,bcit'snotcourt'sjob todecidewisdomofpolicy+alsowisdomissubjective.Courtshouldstillenforceabsurd

result,andlegislaturecanfixit

MischiefRule:presumesthatstatutesarecreatedtoaddress"defects"orpointsof

"mischief"incommonlaw—loopholespeoplecantakeadvantageof,doctrinesthatleadto

injustice/inefficiency,undesirablebehaviorthatcommonlawdoesnotproperlyaddress,etc.

Judge'sroleisto

1)comparecommonlawbeforeactwithactitselftoidentifymischief,

2)identifyhowlawmakershaveaddressedmischief(remedy),and

3)advancelawmakers'purposetosuppressmischief,suppressfurtheropportunitiesto

continuemischief,addforce+lifetoremedyaslawmakersintended.

SecondBreathofFreshAir:usecontextandcommonsense(e.g.Lieber'ssoupmeat

hypothetical)

"Values"Analysis:Congresswouldnotmakearulethattotallyunderminesvaluesofday

Cases

HolyTrinityChurchv.U.S.

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Statute:Unlawfultoprepaytransportationof"alienoraliens,foreignersorforeigners,to performlabororservicesofanykindintheUnitedStates,itsterritories,ortheDistrictof

Columbia."

Holding:statutedoesnotcoverministerbcministerisprofessionallaborer,braintoiler,

andstatue'spurposeistoexemptmanual,unskilledlaborersfrombeingbroughtintoU.S.to

bringdownwages

GoldenRuleanalysis:

Title:"Anacttoprohibittheimportationandmigrationofforeignersandaliensunder

contractoragreementtoperformlaborintheUnitedStates,itsTerritories,ortheDistrict

ofColumbia" thisindicatesgeneralintentoflegislaturetobarforeignerswhoperform

"labor"

Plainmeaningof"labor":manuallabor(casewouldhavebeenstrongerhadhenot

concededthispointsoearly)

Thus,statuteisintendedtokeepoutmanuallaborers,notintellectuallaborers

MischiefRuleanalysis:

"Evilsoughttoberemedied"=loweringofwagesascreatedbycompetitionfrom

uneducatedforeignworkerswhocametoU.S.oncommissionofAmerican

businesspeople

LegislativeHistoryAnalysis:

Committeenotesrecommendchanging"laborandservice"to"manuallabor"/"manual

service"assufficientlybroadtoaccomplishpurposesofbill

Valuesanalysis:U.S.isdeeplyreligiousnation—wouldnevermakeitmisdemeanorforchurch

tocontractforservicesofChristianministerresidinginanothernation.

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Pragmatism

takesintoaccountequitableandpracticalconsiderationsofstatutoryinterpretation

Versionsofpragmatism

1.Naturallawjurisprudence

PosnerinU.S.v.Marshall:Statutoryinterpretationisabsurdbecauseitis

inequitable:

1)Someoneselling9.99gramsofLSDwouldgetlessofapunishmentthan

someoneselling1gramofLSDin10"grams"oforangejuice.

2)PeoplehigherupinchainsellingpureLSDgetlowersentencesthanthose

sellingsmallerquantitiesonpaper.

BreyermajorityinMuscarello:conductofsavvygangsterwhoputsthegunontheseatnext

tohimisjustasobjectionableasthatofpersoncarryinggunonthemastheywalktodrugdeal

2.Economictheoriesofstatutoryinterpretation(PosnerinMarshall)

2differentschoolswithineconomictheory

1)LandesandPosner:uselegislativematerialswhereverappropriatetoshedlight

ondeals

2)EasterbrookandScalia:don'tuselegislativehistorytoshedlightondeals

Perezv.WyethScaliaandEasterbrookmightstillopposeclearlegislativeintent

inordertofurtherpublicgood,butwouldonlylocatethisintentinthetext.

NOTE:bothschoolagreeonendgoal:preservecongressionaldealssoCongress's

relianceinterestispreserved+Congressisincentivizedtomakedeals

3.Generaluseofequitableconsiderations(Powell'sdissentinTVA)

4.FunnelofAbstractionopenedtousemultipleformsofinterpretation(SeeEclectism).

ECONOMICTHEORIES

ExAntePerspective

Choosealegalapproach/theorybasedonwhetheritsetsuparulethatwillbegoodforthe

averagecaseandprovidesproperincentivesforpeople—notbecauseyoulikeitsresultina

particularcase

Exantevs.expost:evaluatedecisionaccordingtohowitappliestocase@hand.

Easterbrook+Scalia:textualism,evenwhenitreachesharshresults,isbestfor

citizensinthelongrunb/citspredictable

SeeEasterbrook'smajorityinMarshall

Pros:

ifCongressionaldealsarenotenforced,Congressmaybedisincentivizedtowrite

statutesinfirstplace.

Unreasonableconstructions(i.e.constructionstailoredtocase)canundermine

legitimacyoflegalsystem.

Cons:

tough...