Ecm Pro 065049

\\S e r v e r 0 3 \p r o d u c t n \N \N Y S \5 8 -2 \N Y S 2 0 4 .
t x t u n k n o w n S e q : 1 8 -M A Y -0 2 1 4 :5 0
JU D IC IA L T E N D E N C IE S IN S T A T U T O R Y
C O N S T R U C T IO N : D IF F E R IN G V IE W S
O N T H E R O L E O F T H E JU D G E
JO H N M . W A L K E R , JR .*
I r e m e m b e r o n c e I w a s w ith [ Ju stic e O liv e r W e n d e ll H o lm e s] ;

it w a s a S a tu r d a y w h e n th e C o u r t w a s to c o n f e r . . . . W h e n w e
g o t d o w n to th e C a p ito l, I w a n te d to p r o v o k e a r e sp o n se , so a s
h e w a lk e d o ff, I sa id to h im , “ W e ll, sir , g o o d b y e . D o ju s tic e !”
H e tu r n e d q u ite sh a r p ly a n d h e s a id , “ C o m e h e r e . C o m e
h e r e .” I a n s w e r e d , “ O h , I k n o w , I k n o w .” H e r e p lie d , “ T h a t is
n o t m y jo b . M y jo b is to p la y th e g a m e a c c o r d in g to th e r u le s .”
— Ju d g e L e a r n e d H a n d 1
T h is e x c h a n g e b e tw e e n tw o o f A m e r ic a ’s g r e a te s t ju r is ts is e m -
b le m a tic o f th e o n g o in g d e b a te o v e r th e ju d g e ’s r o le in o u r s y s te m
o f g o v e r n a n c e , a d e b a te th a t h a s h e a te d u p in r e c e n t y e a r s a s ju d g e s
r e e x a m in e t h e ir r o le in in t e r p r e t in g t h e e v e r -in c r e a s in g b o d y o f
sta tu to r y la w . S ta tu to r y in te r p r e ta tio n is m u c h o f w h a t a p p e lla te
ju d g e s d o , a n d fr e q u e n tly th e d e c is io n s a r e d iffic u lt o n e s . E a s y
c a se s a r e r e so lv e d sh o r t o f litig a tio n o r se ttle d e a r ly ; th e c o sts o f
litig a tio n n o r m a lly filte r th e m o u t, le a v in g a p p e lla te ju d g e s w ith th e
h a r d d e c isio n s. T h e sta tu to r y issu e s p r e se n te d in th e c a se s th a t w e
m u st d e c id e a r e n o t o n ly p le n tifu l, b u t v a r ie d . T h e y in c lu d e in -
sta n c e s w h e r e th e p h r a se a t issu e , w h ile se e m in g ly o f o n e c le a r
m e a n in g , se e m s o d d o r in c o h e r e n t w h e n a p p lie d to th e situ a tio n a t
h a n d ; c a se s in w h ic h a p r o v isio n a d m its o f m u ltip le m e a n in g s, e a c h
le a d in g to d iffe r e n t c o n se q u e n c e s; a n d th o se in w h ic h a sta tu te is
* C h ie f Ju d g e , U n ite d S ta te s C o u r t o f A p p e a ls fo r th e S e c o n d C ir c u it. T h e
a ssista n c e o f T a r y n A . M e r k l a n d R e e g h a n W . R a ffa ls in th e p r e p a r a tio n o f th is
e ssa y is g r a te fu lly a c k n o w le d g e d . I a lso w ish to th a n k Ju d g e s G u id o C a la b r e si,
R o b e r t A . K a tz m a n n , a n d J. H a r v ie W ilk in so n , a s w e ll a s P r o fe sso r W illia m N .
E s k r id g e , J r ., fo r th e ir c o m m e n ts o n p r io r d r a fts .
1 . L e a r n e d H a n d , A d d r e ss a t th e N a tio n a l C o n fe r e n c e o n th e C o n tin u in g E d -
u c a tio n o f th e B a r ( D e c . 1 6 , 1 9 5 8 ) , in J O IN T C O M M . O N C O N T IN U IN G L E G A L E D U C .,
A M . L A W IN S T . & A M . B A R A S S ’N , C O N T IN U IN G L E G A L E D U C A T IO N F O R P R O F E S S IO N A L
C O M P E T E N C E A N D R E S P O N S IB IL IT Y : T H E R E P O R T O N T H E A R D E N H O U S E C O N F E R E N C E ,
D E C E M B E R 1 6 T H T O 1 9 T H , 1 9 5 8 a p p . D 1 1 6 , 1 1 9 ( 1 9 5 9 ) , rep rin ted in L e a r n e d H a n d ,
A P erso n a l C o n fessio n , T H E S P IR IT O F L IB E R T Y : P A P E R S A N D A D D R E S S E S O F L E A R N E D
H A N D 3 0 2 , 3 0 6 – 0 7 ( I r v in g D illia r d e d ., 3 d e d . 1 9 6 0 ) [ h e r e in a fte r S P IR IT O F
L IB E R T Y ] .
2 0 3
\\S e r v e r 0 3 \p r o d u c t n \N \N Y S \5 8 -2 \N Y S 2 0 4 .t x t u n k n o w n S e q : 2 8 -M A Y -0 2 1 4 :5 0
2 0 4 N Y U A N N U A L S U R V E Y O F A M E R IC A N L A W [ V o l. 5 8 :2 0 3
u n c le a r b e c a u se its c o m m a n d s a r e n o t p r e c ise , c o n ta in s c o n tr a d ic -
to r y p r o v isio n s, o r is in c o n flic t w ith a n o th e r sta tu te .
S ta tu te s a r e o fte n h ig h ly c o m p le x , p a r tic u la r ly th o se th a t e n a c t
in to la w b r o a d o r m u ltifa c e te d fe d e r a l p o lic ie s. S o c ia l se c u r ity , im -
m ig r a tio n , a n d ta x le g is la tio n a r e e x a m p le s .2 A s th e s e p o lic ie s
c h a n g e , C o n g r e ss m a y a m e n d th e sta tu te a n d th e n a m e n d th e
a m e n d m e n ts. A t tim e s, th e a m e n d m e n ts m a y b e in c o m p le te o r
c o n ta in e r r o r s th a t a lte r so m e , b u t n o t a ll, r e le v a n t p r o v isio n s o f th e
sta tu te . O r a t tim e s, a n a m e n d m e n t m a y a ffe c t th e a p p lic a b ility o f
o th e r sta tu te s o f w h ic h th e d r a fte r s m a y n o t h a v e b e e n c o g n iz a n t,
le a d in g to a c o n fu sin g m ix tu r e o f sta tu to r y c o m m a n d s in c a se s th a t
a r e a t th e in te r se c tio n o f d iffe r e n t la w s.
M o r e o v e r , la n g u a g e is in h e r e n tly im p e r fe c t. It a lso m a y b e d e -
lib e r a te ly im p r e c ise to a c c o m m o d a te p o litic a l in te r e sts. E v e n w h e n
c a r e fu lly d r a fte d , a p r o v isio n m a y c o n v e y d iffe r e n t m e a n in g s to r e a -
so n a b le p e o p le . B u t c a r e fu l d r a ftsm a n sh ip is a ll to o o fte n a b se n t;
p e r h a p s it is im p o ssib le in th e c r u sh o f c o m p e tin g in te r e sts a n d a c -
tiv itie s th a t o c c u r in th e fin a l m o m e n ts o f le g isla tiv e e n a c tm e n ts.
M ista k e s a r e m a d e . In a d d itio n , a c a se th a t c o m e s b e fo r e th e c o u r t
y e a r s a fte r th e sta tu te w a s p a sse d m a y p r e se n t a n issu e th a t w a s n o t
in th e m in d s o f m o st, so m e , o r a n y o f th e le g isla to r s. O r p e r h a p s
th e c a se in v o lv e s fa c tu a l c ir c u m sta n c e s, su c h a s te c h n o lo g ic a l a d -
v a n c e s, th a t c o u ld n o t h a v e b e e n im a g in e d w h e n th e sta tu te w a s
p a sse d , b u t th a t n o n e th e le ss n o w se e m to fa ll w ith in th e sc o p e o f its
te r m s.
I n lig h t o f a ll o f th e s e p o te n tia l p itfa lls , h o w s h o u ld a ju d g e g o
a b o u t in te r p r e tin g a sta tu te ? F o r m e , a n sw e r in g th e q u e stio n in -
v o k e s tw o c lu ste r s o f c o n sid e r a tio n s: th e r u le s o r m e th o d s o f in te r -
p r e ta tio n th a t ju d g e s a p p ly in r e a c h in g d e c is io n s in p a r tic u la r
c a s e s ,3 a n d th e th e o r ie s o r p h ilo s o p h ie s o f in te r p r e ta tio n to w h ic h a
ju d g e m ig h t a d h e r e , c o n s c io u s ly o r s u b c o n s c io u s ly . A d h e r e n c e to a
p a r tic u la r th e o r y o r p h ilo s o p h y m ig h t d e te r m in e w h e th e r a ju d g e
fo llo w s, o r e sc h e w s, p a r tic u la r r u le s o r m e th o d s o f in te r p r e ta tio n .
2 . S e e , e .g ., 4 2 U .S .C . § § 4 0 1 e t s e q . ( S o c ia l S e c u r ity ) ; 8 U .S .C . § § 1 1 0 1 e t s e q .
( im m ig r a tio n ) ; 2 6 U .S .C . § § 1 e t s e q . ( in te r n a l r e v e n u e c o d e ) .
3 . T h e se r u le s a n d m e th o d s in c lu d e , in te r a lia , “ in tr in sic ” a id s, su c h a s p r e -
s u m p tio n s a n d c a n o n s o f c o n s tr u c tio n , in c lu d in g te x tu a l c a n o n s ( e .g ., n o c itu r a
s o c iis , o r “ it is k n o w n b y its c o m p a n io n s ” ) , g r a m m a r c a n o n s ( e .g ., th e “ a n d ” v e r s u s
“ o r ” r u le ) , a n d s u b s ta n tiv e c a n o n s ( e .g ., s ta tu te s in d e r o g a tio n o f th e c o m m o n la w
sh o u ld b e str ic tly c o n str u e d ) ; a n d “ e x tr in sic ” a id s, su c h a s th e c o m m o n la w , sta t-
u te s th a t m a y a id in in te r p r e tin g a d iffe r e n t sta tu te , a n d th e le g isla tiv e b a c k g r o u n d
o f a sta tu te . W IL L IA M N . E S K R ID G E , JR . & P H IL IP P . F R IC K E Y , C A S E S A N D M A T E R IA L S
O N L E G I S L A T I O N : S T A T U T E S A N D T H E C R E A T I O N O F P U B L I C P O L I C Y 6 3 3 – 3 7 , 6 4 0 – 4 1 ,
6 5 2 – 5 5 ( 2 d e d . 1 9 9 5 ) .
2 0 0 1 ] S T A T U T O R Y C O N S T R U C T IO N 2 0 5
T h is e ssa y w ill b e c o n fin e d to c o n sid e r a tio n s o f th e o r y . It w ill

b r ie fly r e v ie w th e o r ie s th a t h a v e fo u n d w id e a c c e p ta n c e in ju d ic ia l
d e c isio n s in P a r t I, p o in tin g o u t th a t th e y fa ll a lo n g a d e fin a b le
sp e c tr u m . P a r t II w ill th e n c o n sid e r in g r e a te r d e p th th e v ie w s o f
tw o e m in e n t ju d g e s w h o r e p r e s e n t d iffe r e n t c a m p s in th e s ta tu to r y
c o n str u c tio n d e b a te : S e c o n d C ir c u it Ju d g e L e a r n e d H a n d , w h o ,
fo r ty y e a r s a fte r h is d e a th , is still w id e ly r e g a r d e d , a lo n g w ith
H o lm e s , B r a n d e is , a n d C a r d o z o , a s o n e o f th e fo u r g r e a te s t ju d g e s
o f th e tw e n tie th c e n tu r y , a n d fo r w h o m le g isla tiv e p u r p o se w a s th e
lig h t th a t g u id e d sta tu to r y in te r p r e ta tio n ; a n d S u p r e m e C o u r t Ju s-
tic e A n to n in S c a lia , fo r w h o m th e te x t is th e p r o p e r fo c u s o f ju d ic ia l
a tte n tio n a n d w h o , a s m u c h a s a n y sin g le p e r so n , h a s c h a n g e d th e
th e o r e tic a l d e b a te o v e r sta tu to r y in te r p r e ta tio n in th e la st tw o d e -
c a d e s to in c lu d e , in a d d itio n to th e o p tim a l m e th o d o lo g y fo r in te r -
p r e tin g sta tu te s, a d isc u ssio n o f th e c h a n g e d c h a r a c te r o f la w in a n
a g e o f s ta tu te s a n d th e r o le o f th e ju d g e in in te r p r e tin g s u c h la w
w ith in o u r c o n stitu tio n a l fr a m e w o r k . P a r t III w ill u n d e r ta k e a n e x -
a m in a tio n o f th e in te r p r e tiv e issu e p r e se n te d in G reen v . B o ck L a u n -
d r y M a c h in e C o .,4 w ith a v ie w to h ig h lig h tin g b o th th e p u r p o s iv e a n d
te x tu a list a p p r o a c h e s a n d so m e o f th e d iffic u ltie s p r e se n te d b y
e a c h . P a r t IV w ill c o n c lu d e th e e ssa y w ith so m e o b se r v a tio n s.
I.
T H E O R IE S O F S T A T U T O R Y IN T E R P R E T A T IO N
A . T w o C o n cep tio n s o f L a w
T h e d e b a te a b o u t sta tu to r y in te r p r e ta tio n a r ise s o u t o f tw o
c o m p e tin g c o n c e p tio n s o f th e la w . In o n e , th e la w — a n d h e r e I
m e a n sta tu to r y la w ( o r its d e r iv a tiv e , a g e n c y r e g u la tio n ) — is c o m -
p le te w h e n it is o r d a in e d b y th e le g isla tu r e ( o r a d m in istr a tiv e
a g e n c y ) . It a c q u ir e s its sta tu s a s la w , th e la w , a t th e m o m e n t o f e n -
a c tm e n t, b e fo r e th e ju d g e g r a p p le s w ith it. T h e ju d g e m a y n o t a lte r
its c o m m a n d . R a th e r , th e ju d g e ’s jo b is to u n d e r s ta n d th e la w a s
g iv e n a n d to c o n v e y th a t u n d e r sta n d in g in a n in te r p r e ta tio n th a t is
fa ith fu l to th e c o m m a n d th a t p r e c e d e d th e ju d g e ’s in v o lv e m e n t. I n
its m o st p r istin e fo r m , th is c o n c e p tio n c a n b e fo u n d in th e w o r d s o f
L o r d A tk in s o n in V a c h e r & S o n s , L td . v . L o n d o n S o c ie ty o f C o m p o s ite r s :5
If th e la n g u a g e o f a sta tu te b e p la in , a d m ittin g o f o n ly o n e
m e a n in g , th e L e g isla tu r e m u st b e ta k e n to h a v e m e a n t a n d in -
te n d e d w h a t it h a s p la in ly e x p r e sse d , a n d w h a te v e r it h a s in
c le a r te r m s e n a c te d m u st b e e n fo r c e d th o u g h it sh o u ld le a d to
4 . 4 9 0 U .S . 5 0 4 ( 1 9 8 9 ) .
5 . [ 1 9 1 3 ] A .C . 1 0 7 ( 1 9 1 2 ) ( a p p e a l ta k e n fr o m E n g .) .
a b su r d o r m isc h ie v o u s r e su lts. If th e la n g u a g e o f th is su b se c -
tio n b e n o t c o n tr o lle d b y so m e o f th e o th e r p r o v isio n s o f th e
sta tu te , it m u st, sin c e its la n g u a g e is p la in a n d u n a m b ig u o u s,
b e e n fo r c e d , a n d y o u r L o r d s h ip s ’ H o u s e s ittin g ju d ic ia lly is n o t
c o n c e r n e d w ith th e q u e stio n w h e th e r th e p o lic y it e m b o d ie s is
w is e o r u n w is e , o r w h e th e r it le a d s to c o n s e q u e n c e s ju s t o r u n -
ju s t, b e n e fic ia l o r m is c h ie v o u s .6
T h e se c o n d c o n c e p tio n r e g a r d s th e sta tu to r y c o m m a n d a s n o t
fu lly d e te r m in e d u n til th e ju d g e h a s fin a lly a r tic u la te d a n d a p p lie d
it. U n d e r th is c o n c e p tio n , th e ju d g e is n o t s im p ly to a p p ly th e s ta tu -
to r y la w a s sta te d , b u t to r e a d it in su c h a w a y a s to “ im p r o v e ” u p o n
it b y r e a c h in g a n in te r p r e ta tio n th a t c o m p o r ts w ith th e la r g e r p u r -
p o se ( o r p u r p o se s) o f th e e n a c tm e n t a n d a n y p r a c tic a l c o n c e r n s, a s
w e ll a s g e n e r a l n o tio n s o f ju s tic e , s o c ia l p u r p o s e , a n d m o r a lity . I n -
d e e d , in s o m e v a r ia n ts o f th is c o n c e p tio n , a ju d g e m a y u s e h is im a g -
in a tio n to d isc e r n a m e a n in g o f th e p r o v isio n th a t e m b o d ie s its
a n im a tin g sp ir it, e v e n w h e r e su c h a m e a n in g is n o t se lf e v id e n t
fr o m , a n d p e r h a p s e v e n c o n tr a r y to , th e sta tu te ’s lite r a l te r m s. A l-
th o u g h it a n te d a te d th e m , th is c o n c e p tio n is fr e q u e n tly a sso c ia te d
w ith th e id e a s o f th e le g a l r e a lists, p r o m in e n t in th e m id d le o f th e
tw e n tie th c e n tu r y , w h o v ie w e d th e r o le o f th e ju d g e , e v e n in th e
sta tu to r y c o n te x t, m o r e a s th a t o f a la w g iv e r o r c r e a to r th a n th a t o f
a la w c o m m u n ic a to r .7
N e ith e r c o n c e p tio n h a s b e e n e x e m p t fr o m c r itic ism . T h e fir st
is s u b je c t to c la im s th a t it is w o o d e n a n d s u b je c t to m in d le s s a p p li-
c a tio n ; th a t it p e r m its o d d r e su lts th a t c o u ld n o t h a v e b e e n in -
te n d e d b y th e le g is la tu r e ; a n d th a t it m a y le a d to in ju s tic e s in
p a r tic u la r c a se s. T h e se c o n d in v ite s th e c h a r g e th a t, in d e p a r tin g
fr o m th e te x t in a n e ffo r t to r e a c h th e “ b e st” r e su lt in a p a r tic u la r
c a se , it u n se ttle s th e la w , o b sc u r in g it to th e la y m a n a n d h is la w y e r -
a d v is o r , a n d p e r m its u n e le c te d ju d g e s to e ffe c tiv e ly e n a c t th e ir o w n
p e r s o n a l p r e fe r e n c e s , r o b b in g th e la w o f its o b je c tiv e c h a r a c te r
w h ile v io la tin g th e C o n stitu tio n ’s p r e sc r ip tio n s o n la w m a k in g in A r -
tic le I , § 7 ,8 a n d th e s e p a r a tio n o f p o w e r s b e tw e e n A r tic le s I a n d I I I .
6 . Id . a t 1 2 1 – 2 2 .
7 . S e e g e n e r a lly A M E R I C A N L E G A L R E A L I S M ( W illia m W . F is h e r I I I e t a l. e d s .,
1 9 9 3 ) .
8 . U .S . C O N S T . a r t. I, § 7 ( “E v e ry B ill w h ic h sh a ll h a v e p a sse d th e H o u se o f
R e p re s e n ta tiv e s a n d th e S e n a te , sh a ll, b e fo r e it b e c o m e a L a w , b e p r e se n te d to th e
P r e sid e n t o f th e U n ite d S ta t e s; If h e a p p r o v e h e sh a ll sig n it, b u t if n o t h e sh a ll
r e tu r n it, w ith h is O b je c t io n s to th a t H o u se in w h ic h it s h a ll h a v e o r ig in a t e d . . . .” ) .
B . H isto rica l B a ck g ro u n d
T h e a r tic u la tio n o f th e se c o m p e tin g a p p r o a c h e s to sta tu to r y

c o n str u c tio n a n d u n d e r sta n d in g s o f th e la w o w e s m u c h to th e
o n g o in g d e b a te b e tw e e n th e tw o c a m p s. N e ith e r a p p r o a c h h a s
p r e d o m in a te d to th e e x c lu sio n o f th e o th e r . R a th e r , th e th e m e s,
c o n c e p t s , a n d c o n c e r n s o f b o t h h a v e g e n e r a lly c o -e x is t e d in s o m e
fo r m , o fte n d e v e lo p in g in r e sp o n se to o n e a n o th e r , a n d h a v e r e -
su lte d in a r a n g e o f m o r e r e fin e d th e o r e tic a l v ie w s. T h u s, a n u n -
d e r sta n d in g o f th e ir h isto r ic a l b a c k g r o u n d is h e lp fu l to
u n d e r sta n d in g th e se tw o a p p r o a c h e s.
T h e r o o ts o f th e “ p u r p o siv e ” a p p r o a c h a r e fo u n d in th e e v o lu -
tio n o f o u r le g a l sy ste m . In th e la tte r h a lf o f th e n in e te e n th c e n -
tu r y , th e p r in c ip a l a ssu m p tio n u n d e r ly in g th e A m e r ic a n le g a l
s y s te m w a s th e n o tio n th a t “ [ j] u d g e s d o n o t m a k e la w : th e y m e r e ly
d e c la r e th e la w w h ic h , in s o m e P la to n ic s e n s e , a lr e a d y e x is ts ,” 9 a n d
t h a t t h e w h o le o f t h e la w w a s ju d g e -d e c la r e d . T h is id e a , w h ic h w a s
c o n s is te n t w ith th e e ffo r ts o f L a n g d e llia n ju r is p r u d e n c e 1 0 to
a c h ie v e u n ity o f d o c tr in e o n a c a s e la w le v e l,1 1 g a v e r is e to th e v ie w
th a t “ c o m m o n la w c a se s w e r e fo r a ll p r a c tic a l p u r p o se s th e p r in c i-
p a l if n o t th e e x c lu s iv e s o u r c e o f la w .” 1 2 A s o n e o b s e r v e r h a s n o te d ,
“ [ f] o r m o r e th a n a c e n tu r y a fte r th e A m e r ic a n R e v o lu tio n , id e a ls
9 . G R A N T G IL M O R E , T H E A G E S O F A M E R IC A N L A W 6 2 ( 1 9 7 7 ) .
1 0 . C h r isto p h e r C o lu m b u s L a n g d e ll, w h o b e c a m e th e fir st d e a n o f H a r v a r d
L a w S c h o o l in 1 8 7 0 , e sp o u se d th e id e a th a t th e la w is a sc ie n c e . Id . a t 4 2 . In a n
a d d r e ss to th e H a r v a r d L a w S c h o o l in 1 8 8 6 , h e su g g e ste d th a t:
[ A ] ll th e a v a ila b le m a te r ia ls o f th a t sc ie n c e [ th e la w ] a r e c o n ta in e d in p r in te d
b o o k s. . . . [ T ] h e lib r a r y is . . . to u s a ll th a t th e la b o r a to r ie s o f th e u n iv e r sity
a r e to th e c h e m ists a n d p h y sic ists, a ll th a t th e m u se u m o f n a tu r a l h isto r y is to
th e z o o lo g ists, a ll th a t th e b o ta n ic a l g a r d e n is to th e b o ta n ists.
C h r isto p h e r C o lu m b u s L a n g d e ll, A d d r e ss to th e M e e tin g o f th e H a r v a r d L a w
S c h o o l A sso c ia tio n in C o m m e m o r a tio n o f th e T w o H u n d r e d a n d F iftie th A n n iv e r -
sa r y o f th e F o u n d in g o f H a r v a r d C o lle g e ( N o v . 1 8 8 6 ) , in R E C O R D O F T H E C O M M E M -
O R A T I O N , N O V E M B E R F I F T H T O E I G H T H , 1 8 8 6 , O N T H E T W O H U N D R E D A N D F I F T I E T H
A N N IV E R S A R Y O F T H E F O U N D IN G O F H A R V A R D C O L L E G E 9 7 – 9 8 ( 1 8 8 7 ) , rep rin ted in
A R T H U R E . S U T H E R L A N D , T H E L A W A T H A R V A R D : A H IS T O R Y O F ID E A S A N D M E N ,
1 8 1 7 – 1 9 6 7 , a t 1 7 5 ( 1 9 6 7 ) , q u o ted in G IL M O R E , su p ra n o te 9 , a t 4 2 . U n d e r ly in g th is R
id e a w a s a c o n c e p tio n th a t “ th e r e is su c h a th in g a s th e o n e tr u e r u le o f la w w h ic h ,
b e in g d is c o v e r e d , w ill e n d u r e , w ith o u t c h a n g e , fo r e v e r .” G IL M O R E , s u p r a n o te 9 , a t R
4 3 .
1 1 . S ee G IL M O R E , su p ra n o te 9 , a t 7 0 . R
1 2 . Ju stic e E lle n A sh P e te r s, C o m m o n L a w Ju d g in g in a S ta tu to r y W o r ld : A n
A d d r e ss, A d d r e ss a t th e U n iv e r sity o f P ittsb u r g h S c h o o l o f L a w ( F e b . 1 8 , 1 9 8 2 ) , in
4 3 U . P IT T . L . R E V . 9 9 5 , 9 9 5 ( 1 9 8 2 ) .
a b o u t th e m e a n in g o f th e r u le o f la w w e r e d e v e lo p e d w ith in a n e n -
t ir e ly ju d g e - a n d c o u r t -c e n t e r e d s y s t e m o f t h o u g h t .” 1 3
In d e e d , e a r ly e ffo r ts to c o d ify th e la w in th e n in e te e n th c e n -
tu r y w e r e u n s u c c e s s fu l— “ ju d g e s a n d la w y e r s [ a d h e r e d to ] a n a u to n -
o m o u s sy ste m o f le g itim a tio n . . . [ th a t] tr e a te d le g isla tiv e in itia tiv e s
w ith g r e a t su sp ic io n ( ‘sta tu te s in d e r o g a tio n o f th e c o m m o n la w a r e
to b e str ic tly c o n str u e d ’) ” 1 4 a n d r e a c te d w ith h o stility to th e d e v e l-
o p m e n t o f th e a d m in is tr a tiv e s ta te .1 5 E v e n tu a lly , a n d d e s p ite ju d i-
c ia l r e c a lc it r a n c e , t h e p r im a c y o f t h e ju d g e -d e c la r e d s y s t e m o f
c o m m o n la w w a s d r a m a tic a lly a lte r e d . T h e e m e r g e n c e o f L e g a l R e -
a lis m , a m o v e m e n t th a t r e p la c e d th e id e a o f th e ju d g e a s o n e w h o
d e c la r e s p r e e x is tin g la w w ith th e n o tio n th a t ju d g e s m a d e th e c o m -
m o n la w , “ s t r ip p e d t h e ju d g e s o f t h e ir t r a p p in g s o f b la c k -r o b e d in -
fa llib ility a n d r e v e a le d th e m to b e h u m a n b e in g s .” 1 6 A t th e s a m e
tim e , “ [ b ] e tw e e n 1 9 0 0 a n d 1 9 5 0 th e g r e a te r p a r t o f th e su b sta n tiv e
la w , w h ic h b e fo r e 1 9 0 0 h a d b e e n le ft to th e ju d g e s fo r d e c is io n in
th e lig h t o f c o m m o n la w p r in c ip le s , w a s r e c a s t in s ta tu to r y fo r m .” 1 7
A n d su c h “ sta tu to r ific a tio n ” ( Ju d g e C a la b r e si’s te r m ) 1 8 w a s n o t c o n -
fin e d to th e a r e n a fo r m e r ly o c c u p ie d b y th e c o m m o n la w . T h e
g r o w th o f in d u str y a n d u n r e g u la te d la b o r p r a c tic e s fo ste r e d r e fo r m
m o v e m e n ts th a t in tu r n le d to r e m e d ia l le g isla tio n b o th a t th e sta te
a n d fe d e r a l le v e ls.
Ju d ic ia l h a b its d ie h a r d , h o w e v e r . W h e n fa c e d w ith sta tu te s to
in te r p r e t, ju d g e s d id n o t a b a n d o n w h a t w a s fa m ilia r to th e m — c o m -
m o n la w m e th o d s o f ju d g in g . I n s te a d , th e y a d a p te d th e ir c o m m o n
la w r e a s o n in g to th e m o d e r n s ta tu to r y a n d a d m in is tr a tiv e s ta te .1 9
S ta tu to r y in te r p r e ta tio n w a s a ffe c te d b y th e id e a o f a sta tu to r y p r o v i-
sio n fittin g w ith in a le g a l fa b r ic so th a t th e w h o le m a d e se n se . T h e
p r a c tic e w h e r e b y c o u r ts r e so r te d to th e c o m m o n la w o f a sta te to fill
g a p s in a fe d e r a l sta tu te w a s “ su p e r se d e d b y th e id e a th a t fe d e r a l
sta tu te s g e n e r a te a c o m m o n la w p e n u m b r a o f th e ir o w n : g a p s a r e to
1 3 . M O R T O N J. H O R W IT Z , T H E T R A N S F O R M A T I O N O F A M E R I C A N L A W : 1 8 7 0 – 1 9 6 0 ,
a t 2 2 1 ( 1 9 9 2 ) .
1 4 . Id . a t 2 2 1 – 2 2 .
1 5 . S ee id . a t 2 2 2 ( “ A s n e w a d m in istr a tiv e a g e n c ie s w e r e c r e a te d , th e y w e r e n o t
tr e a te d a s c o o r d in a te o r p a r a lle l g o v e r n m e n ta l e n t itie s b u t in ste a d w e r e p r e sse d to
c o n f o r m t o c o u r t -c e n t e r e d c o n c e p t io n s o f le g itim a c y . T h e r ise o f a d m in istr a tiv e
r e g u la tio n th u s r e p r e se n te d a r e n e w e d th r e a t to c o m m o n la w c o n c e p tio n s o f le g a l-
ity , w h ic h h a d a lr e a d y r e siste d th e e a r lie r c h a lle n g e o f c o d ific a tio n .” ) ; s e e a ls o R o s -
c o e P o u n d , C o m m o n L a w a n d L e g is la tio n , 2 1 H A R V . L . R E V . 3 8 3 , 3 8 3 – 8 5 ( 1 9 0 8 ) .
1 6 . G IL M O R E , su p ra n o te 9 , a t 9 2 . R
1 7 . Id . a t 9 5 ( d e sc r ib in g p e r io d a s a n “ o r g y o f sta tu te m a k in g ” ) .
1 8 . S ee G U ID O C A L A B R E S I, A C O M M O N L A W F O R T H E A G E O F S T A T U T E S 1 ( 1 9 8 2 ) .
1 9 . S ee id . a t 4 4 – 4 5 .
b e fille d in b y a p r o c e ss o f e x tr a p o la tio n fr o m w h a te v e r th e c o u r t
c o n c e iv e s th e b a s ic p o lic y o f th e s ta tu te to b e .” 2 0
T h e m o v e m e n t t o a s t a t u t e -b a s e d s y s t e m w a s f o llo w e d in d u e
c o u r se b y c o r r e sp o n d in g c h a n g e s in le g a l e d u c a tio n . A c u r r ic u lu m
c o n sistin g p r im a r ily o f c o m m o n la w c o u r se s y ie ld e d to th e e m e r -
g e n c e o f sta tu to r y r e g im e s: fir st in su c h a r e a s a s ta x a n d b a n k r u p tc y ,
th e n in la b o r la w , se c u r itie s r e g u la tio n , a n d , m o r e r e c e n tly , in su c h
fie ld s a s e n v ir o n m e n ta l a n d im m ig r a tio n la w . W h ile a t th e tu r n o f
th e c e n tu r y a ll th r e e y e a r s o f la w sc h o o l w e r e sp e n t stu d y in g th e
c o m m o n la w ,2 1 to d a y s u c h s tu d y is la r g e ly c o n fin e d to th e fir s t y e a r
o r , a t so m e sc h o o ls, th e fir st te r m o f th e fir st y e a r . D e sp ite th e b u r -
g e o n in g o f c o u r se s d e v o te d to m a ste r in g th e c o n te n t o f sta tu to r y
r e g im e s, h o w e v e r , it h a s b e e n o n ly in th e p a st tw o d e c a d e s th a t la w
sc h o o ls h a v e d e v o te d r e so u r c e s to te a c h in g , in a sy ste m a tic w a y , th e -
o r ie s a n d m e th o d s o f sta tu to r y in te r p r e ta tio n . T h is is so , e v e n
th o u g h m o st o f w h a t la w y e r s h a v e b e e n d o in g sin c e th e 1 9 3 0 s h a s
c o n siste d o f r e a d in g , in te r p r e tin g , a n d fo llo w in g ( o r a d v isin g th e ir
c lie n ts o n h o w to fo llo w ) sta tu to r y c o m m a n d s.
C . T h e R esp o n se b y L eg a l T h eo rists
A s th e n a tu r e o f th e A m e r ic a n le g a l sy ste m c h a n g e d in th e se
fu n d a m e n ta l w a y s, le g a l s c h o la r s a n d s o m e ju d g e s b e g a n to th in k
m o r e sy ste m a tic a lly a b o u t w h a t th e y b e lie v e d ju d g e s w e r e d o in g a n d
w h a t th e y o u g h t to d o w h e n in te r p r e tin g sta tu te s. E a r ly in tim a tio n s
c o u ld b e g le a n e d fr o m ju d ic ia l p r o n o u n c e m e n ts . S o m e ju d g e s b e -
lie v e d , lik e L o r d A tk in s o n , q u o te d e a r lie r , th a t th e ju d g e ’s s o le d u ty
w a s to fo llo w th e p la in c o m m a n d o f th e sta tu te w h a te v e r th e c o n se -
q u e n c e s .2 2 O th e r s s u g g e s te d th a t th e ju d ic ia l b e a c o n s h o u ld b e th e
m isc h ie f to w h ic h th e sta tu te w a s a im e d a n d th a t a n y p r o p e r in te r -
2 0 . G IL M O R E , su p ra n o te 9 , a t 9 4 . R
2 1 . S e e L e a r n e d H a n d , M y M a r k s in th e H a r v a r d L a w S c h o o l ( n .d .) ( o n file in
th e L e a r n e d H a n d P a p e r s a t th e H a r v a r d L a w S c h o o l L ib r a r y ) in T H E R E M A R K A B L E
H A N D S : A N A F F E C T IO N A T E P O R T R A IT 1 3 1 ( M a r c ia N e ls o n e d ., 1 9 8 3 ) [ h e r e in a fte r
T H E R E M A R K A B L E H A N D S ] ( r e v e a lin g , c o u r se b y c o m m o n la w c o u r se , L e a r n e d
H a n d ’s r e m a r k a b le H a r v a r d L a w S c h o o l g r a d e s) ; L e tte r fr o m A u stin W . S c o tt to
Ju d g e A u g u stu s N . H a n d ( M a r . 2 2 , 1 9 4 8 ) ( o n file w ith th e fa m ily o f A u g u stu s N .
H a n d ) , in T H E R E M A R K A B L E H A N D S , su p ra , a t 1 3 0 ( sh o w in g th e e v e n h ig h e r g r a d e s
o f L e a r n e d H a n d ’s c o u sin , a n d c o m p a n io n o n th e S e c o n d C ir c u it, A u g u stu s H a n d ,
in a se r ie s o f c o m m o n la w c o u r se s) .
2 2 . It is w o r th y o f n o te th a t e v e n w h e r e a tte m p tin g to d isc e r n a sta tu te ’s
“ p la in c o m m a n d ,” v ir tu a lly a ll ju d g e s s e e k to a v o id in te r p r e ta tio n s o f s ta tu te s th a t
le a d to a b su r d r e su lts. F o r e x a m p le , th e S u p r e m e C o u r t o n c e sta te d :
It w ill a lw a y s . . . b e p r e su m e d th a t th e le g isla tu r e in te n d e d e x c e p tio n s to its
la n g u a g e , w h ic h w o u ld a v o id [ u n ju s t, o p p r e s s iv e , o r a b s u r d ] r e s u lts . . . .
p r e ta tio n m u st b e c o n siste n t w ith th e p u r p o se o f a lle v ia tin g th a t

m isc h ie f, e v e n if a str a ig h tfo r w a r d r e a d in g m ig h t le a d in a n o th e r
d ir e c tio n .2 3 A v ie w o fte n e x p r e s s e d in th e c a s e la w fo c u s e d o n th e
in te n t o f th e le g isla tu r e in p a ssin g th e sta tu te ; th is in te n t sh o u ld b e
in fe r r e d fr o m th e c o n te x t in w h ic h th e sta tu te w a s p a sse d , in c lu d -
in g a r e v ie w o f le g isla tiv e m a te r ia ls, r e p o r ts, c o llo q u y , le tte r s to a n d
fr o m le g is la to r s , a n d th e lik e .2 4
A fte r e x a m in in g th e s e d e c is io n s , le g a l s c h o la r s a n d ju d g e s
r e a c h e d th e ir o w n v a r y in g th e o r ie s. F o r e x a m p le , fo u r le a d e r s in
th e fie ld , J u s tic e B e n ja m in N . C a r d o z o , P r o fe s s o r R o s c o e P o u n d ,
Ju stic e O liv e r W e n d e ll H o lm e s, a n d P r o fe sso r M a x R a d in , d e v e l-
o p e d d iffe r e n t id e a s o f th e p r o p e r r o le fo r a ju d g e in in te r p r e tin g
sta tu te s, e n g e n d e r in g a d e b a te th a t p e r sists to th is d a y . T h e id e a s o f
th e se le g a l th in k e r s fa ll a lo n g a sp e c tr u m ; e a c h o f th e m a sc r ib e d
v a r y in g d e g r e e s o f im p o r ta n c e to le g isla tiv e p u r p o se a n d r e a c h in g
d e sir a b le o u tc o m e s, o n th e o n e h a n d , a n d fo llo w in g th e te x t o f th e
s ta tu te a n d a b id in g b y th e in s titu tio n a l r e s tr a in ts o n th e ju d ic ia r y
a n d le g isla tu r e , o n th e o th e r .
W r itin g in 1 9 0 7 , P o u n d e n d o r s e d a n a p p r o a c h w h o s e o b je c t
w a s to d e te r m in e th e le g is la tu r e ’s s u b je c tiv e in te n t. I n w h a t P o u n d
c a lle d “ g e n u in e ” in te r p r e ta tio n , a ju d g e e n d e a v o r e d
t o f in d o u t d ir e c t ly w h a t t h e la w -m a k e r m e a n t b y a s s u m in g h is
p o sitio n , in th e su r r o u n d in g s in w h ic h h e a c te d , a n d e n d e a v o r -
in g to g a th e r fr o m th e m isc h ie fs h e h a d to m e e t a n d th e r e m -
e d y b y w h ic h h e so u g h t to m e e t th e m , h is in te n tio n w ith
r e s p e c t to th e p a r tic u la r p o in t in c o n tr o v e r s y .2 5
W h e r e th e sta tu te w a s in c o m p le te o r u n c le a r , th e ta sk o f sta tu -
to r y c o n str u c tio n n e c e ssa r ily e n ta ile d e ffo r ts “ to m a k e , u n m a k e , o r
r e m a k e , a n d n o t m e r e ly to d is c o v e r ,” a n d h e n c e w a s “ e s s e n tia lly a
le g is la tiv e , n o t a ju d ic ia l p r o c e s s .” 2 6 P o u n d c a n d id ly c a lle d th is
m e th o d “ sp u r io u s” in te r p r e ta tio n , a n d fu r th e r d e sc r ib e d it a s o n e
t h a t “ s e e k s t o r e a c h t h e in t e n t o f t h e la w -m a k e r in d ir e c t ly ” 2 7 b y “ a s -
T h e c o m m o n s e n s e o f m a n a p p r o v e s th e ju d g m e n t . . . th a t t h e B o lo g n ia n la w
w h ic h e n a c te d , “ th a t w h o e v e r d r e w b lo o d in th e str e e ts sh o u ld b e p u n ish e d
w ith th e u tm o s t s e v e r ity ,” d id n o t e x te n d to th e s u r g e o n w h o o p e n e d th e v e in
o f a p e r so n th a t fe ll d o w n in th e str e e t in a fit.
U n ite d S ta te s v . K ir b y , 7 4 U .S . ( 7 W a ll.) 4 8 2 , 4 8 6 – 8 7 ( 1 8 6 8 ) .
2 3 . S ee in fra n o te s 2 5 – 3 5 a n d a c c o m p a n y in g te x t. R
2 4 . S ee, e.g ., C h u r c h o f th e H o ly T r in ity v . U n ite d S ta te s, 1 4 3 U .S . 4 5 7 ( 1 8 9 2 ) ;
s e e a ls o F is h g o ld v . S u lliv a n D r y d o c k & R e p a ir C o r p ., 1 5 4 F .2 d 7 8 5 ( 2 d C ir . 1 9 4 6 ) ,
a ff’d , 3 2 8 U .S . 2 7 5 ( 1 9 4 6 ) , a n d d is c u s s io n in fr a P a r t I I ( A ) .
2 5 . R o sc o e P o u n d , S p u rio u s In terp reta tio n , 7 C O L U M . L . R E V . 3 7 9 , 3 8 1 ( 1 9 0 7 ) .
2 6 . Id . a t 3 8 2 .
2 7 . Id . a t 3 8 1 .
su m [ in g ] t h a t t h e la w -m a k e r t h o u g h t a s w e d o o n g e n e r a l q u e s t io n s
o f m o r a ls a n d p o lic y a n d fa ir d e a lin g .” 2 8 A “ s p u r io u s ” in te r p r e ta -
tio n w o u ld th u s id e n tify th e la w m a k e r ’s in te n t w ith th a t in te r p r e ta -
tio n “ w h ic h a p p e a ls m o s t to o u r s e n s e o f r ig h t a n d ju s tic e fo r th e
tim e b e in g .” 2 9
A lt h o u g h h e a v o id e d t h e la b e l “ s p u r io u s ,” t h e n -J u d g e B e n ja -
m in N . C a r d o z o sim ila r ly d e sc r ib e d sta tu to r y in te r p r e ta tio n a s in -
v o lv in g a le g isla tiv e c o m p o n e n t. In a le c tu r e e n title d “ T h e Ju d g e a s
a L e g is la to r ,” J u d g e C a r d o z o d e c la r e d th a t “ th e p o w e r to d e c la r e
th e la w c a r r ie s w ith it th e p o w e r , a n d w ith in lim its th e d u ty , to m a k e
la w .” 3 0 A ju d g e w a s c o n s titu tio n a lly e m p o w e r e d a n d d u ty b o u n d , a s
a n e c e ssa r y a n d in e v ita b le p a r t o f h is c h a r g e d ta sk o f in te r p r e ta tio n ,
to in te r p r e t th e la w in a w a y th a t w o u ld “ m a in ta in a r e la tio n b e -
tw e e n la w a n d m o r a ls , b e tw e e n th e p r e c e p ts o f ju r is p r u d e n c e a n d
th o s e o f r e a s o n a n d g o o d c o n s c ie n c e .” 3 1 A s w a s tr u e w ith P o u n d ’s
“ sp u r io u s” in te r p r e ta tio n , C a r d o z o , th e q u in te sse n tia l c o m m o n la w
ju d g e , b e lie v e d th a t ju d ic ia l la w m a k in g w a s n o t c o n fin e d to fillin g
in th e g a p s o f u n c le a r o r in c o m p le te sta tu te s, b u t a lso e x te n d e d to
u p d a tin g a n d r e sta tin g th e sta tu te so th a t it w a s in h a r m o n y w ith
“ c u s to m a r y m o r a lity ” 3 2 a n d p r e v a ilin g n o tio n s o f “ s o c ia l ju s tic e .” 3 3
L ik e P o u n d , C a r d o z o a lso so u g h t to a lla y th e c o n c e r n s a r o u se d b y
th e id e a o f th e ju d g e a s le g is la to r b y n o tin g th a t th e e x e r c is e o f
su c h d isc r e tio n w a s lim ite d to “ o c c a sio n a l a n d r e la tiv e ly r a r e in -
s ta n c e s ,” 3 4 a n d w a s fu r th e r c ir c u m s c r ib e d b y o th e r lim its , s u c h a s
tr a d itio n , th e m e th o d o f le g a l r e a so n in g , a n d th e im p e r a tiv e s o f so -
c ia l o r d e r .3 5
I n c o n tr a s t to P o u n d ’s a n d C a r d o z o ’s c o n c e r n w ith s o c ia l ju s -
tic e , w illin g n e s s to in q u ir e in to th e s u b je c tiv e in te n t o f th e le g is la -
to r , a n d a c c e p ta n c e o f th e n o tio n th a t a ju d g e ’s r o le w a s in p a r t
le g isla tiv e , Ju stic e O liv e r W e n d e ll H o lm e s e m p h a siz e d r u le o f la w
v a lu e s a n d th e a tte n d a n t n e e d fo r o b je c tiv e s ta n d a r d s in s ta tu to r y
in te r p r e ta tio n . In H o lm e s’s v ie w , a g o v e r n m e n t o f la w s, n o t m e n ,
d e m a n d e d s ta n d a r d s e x te r n a l to ju d g e s .3 6 T h e s e w e r e to b e fo u n d
in th e p la in m e a n in g o f th e w o r d s a c tu a lly e n a c te d . “ [ W ] e a sk , n o t
2 8 . Id .
2 9 . Id .
3 0 . B e n ja m in N . C a rd o z o , T H E N A T U R E O F T H E J U D I C I A L P R O C E S S 9 8 , 1 2 4
( 1 9 2 1 ) .
3 1 . Id . a t 1 3 3 – 3 4 .
3 2 . Id . a t 1 3 6 .
3 3 . Id . a t 1 3 7 .
3 4 . Id . a t 1 2 8 .
3 5 . Id . a t 1 4 1 .
3 6 . S ee O L I V E R W E N D E L L H O L M E S , T H E C O M M O N L A W 4 1 , 4 4 ( 1 8 8 1 ) .
\\S e r v e r 0 3 \p r o d u c t n \N \N Y S \5 8 -2 \N Y S 2 0 4 .t x t u n k n o w n S e q : 1 0 8 -M A Y -0 2 1 4 :5 0
w h a t th is m a n m e a n t, b u t w h a t th o se w o r d s w o u ld m e a n in th e
m o u th o f a n o r m a l sp e a k e r o f E n g lish , u sin g th e m in th e c ir c u m -
s ta n c e s in w h ic h th e y w e r e u s e d ” ;3 7 “ th e n o r m a l s p e a k e r o f E n g lis h
is . . . e x te r n a l to th e p a r tic u la r w r ite r , a n d a r e fe r e n c e to h im a s th e
c r ite r io n is s im p ly a n o th e r in s ta n c e o f th e e x te r n a lity o f th e la w .” 3 8
P r o fe sso r M a x R a d in c r itic iz e d th e v e r y c o h e r e n c e o f th e c o n -
c e p t o f le g is la tiv e in te n t a s w e ll a s its le g itim a c y . T h a t th e o b je c t o f
sta tu to r y in te r p r e ta tio n w a s to d isc o v e r th e in te n t o f th e le g isla to r
w a s , to R a d in ’s m in d , a “ tr a n s p a r e n t a n d a b s u r d fic tio n .” 3 9 T h e
c h a n c e s w e r e “ in fin ite sim a lly sm a ll” th a t “ se v e r a l h u n d r e d m e n
e a c h w ill h a v e e x a c tly th e s a m e d e te r m in a te s itu a tio n s in m in d ,”
a n d m o r e o v e r , th e o n ly e x te r n a l sig n o f th e c o n te n t o f th e ir m in d s
w a s th e “ e x tr e m e ly a m b ig u o u s” a c t o f v o tin g fo r th e sta tu te , “ w h ic h
m a y b e m o tiv a te d in lite r a lly h u n d r e d s o f w a y s, a n d w h ic h b y itse lf
in d ic a te s little o r n o th in g o f th e p ic tu r e s w h ic h th e sta tu to r y d e -
s c r ip tio n s im p ly .” 4 0
N o r w o u ld th e situ a tio n b e im p r o v e d e v e n if le g isla tiv e in te n t
w e r e d isc o v e r a b le , b e c a u se th e in te n t o f th e le g isla tu r e h a s n o le g a l
a u th o r ity . T h e le g isla to r s’ “ fu n c tio n is n o t to im p o se th e ir w ill e v e n
w it h in lim it s o n t h e ir f e llo w -c it iz e n s , b u t t o ‘p a s s s t a t u t e s .’ ” 4 1 P a s s -
in g sta tu te s, in tu r n , in v o lv e s e n a c tin g “ sta te m e n ts in g e n e r a l te r m s
o f u n d e s ir a b le a n d d e s ir a b le s itu a tio n s .” 4 2 “ T o s a y th a t th e in te n t o f
th e le g isla tu r e d e c id e s th e in te r p r e ta tio n is to sa y th a t th e le g isla -
tu r e in te r p r e ts [ th e sta tu te ] in a d v a n c e ” in lig h t o f “ a n e x istin g d e -
te r m in a te e v e n t— th e issu e to b e litig a te d — a n d o b v io u sly th a t
d e te r m in a te e v e n t c a n n o t e x ist u n til a fte r th e sta tu te h a s c o m e in to
fo r c e .” 4 3 T o a s c r ib e a c o n tr o llin g le g is la tiv e in te n t to th e la w m a k e r ,
th e n , is to a ttr ib u te a n in te r p r e ta tiv e r o le to le g isla to r s th a t th e y d o
n o t c o n stitu tio n a lly p o sse ss, a n d p o w e r s o f p r o p h e c y th a t th e y d o
n o t h u m a n ly p o sse ss.
A c o n c e p tu a l th r e a d r u n n in g th r o u g h th is sc h o la r sh ip a c -
c o u n ts fo r th e ju d g e ’s r o le in th e s y s te m a n d , n o t s u r p r is in g ly , it w a s
v ie w e d in d iffe r in g te r m s. In c o n c e p tio n s o f sta tu to r y in te r p r e ta -
tio n th a t h e ld to th e te x t, th e ju d g e ’s r o le w a s m o r e lim ite d , w h ile
in th o se th a t r e lie d o n th e le g isla tu r e ’s p u r p o se o r in te n t in p a ssin g
3 7 . O liv e r W e n d e ll H o lm e s, T h e T h eo ry o f L eg a l In terp reta tio n , 1 2 H A R V . L . R E V .

4 1 7 , 4 1 7 – 1 8 ( 1 8 9 9 ) .
3 8 . Id . a t 4 1 8 .
3 9 . M a x R a d in , S ta tu to ry In terp reta tio n , 4 3 H A R V . L . R E V . 8 6 3 , 8 7 0 ( 1 9 3 0 ) .
4 0 . Id . a t 8 7 0 – 7 1 .
4 1 . Id . a t 8 7 1 .
4 2 . Id .
4 3 . Id . a t 8 7 1 – 7 2 .
a sta tu te , th e ju d g e w a s fr e e to g o b e y o n d w h a t th e le g is la tu r e s a id ,
o r m e a n t to sa y , b y e n a c tin g th e w o r d s o f th e sta tu te , to d e te r m in e
th e b r o a d e r q u e stio n o f w h a t th e le g isla tu r e in te n d e d to a c c o m -
p lish b y p a ssin g a la w a n d to in te r p r e t th a t la w a c c o r d in g ly .
T h e v ie w s o f th o s e w h o th o u g h t a b o u t th e ju d g e ’s r o le in s ta tu -
t o r y in t e r p r e t a t io n p r io r t o m id -c e n t u r y t h u s f e ll a lo n g a s p e c t r u m
f r o m a lim it e d t o a n e x p a n s iv e r o le , a n d b y m id -c e n t u r y , t h e e x p a n -
siv e v ie w w a s a sc e n d a n t. T h e m a in str e a m th in k in g a b o u t sta tu to r y
in te r p r e ta tio n th e o r y b y sc h o la r s a n d , to th e e x te n t th e y th o u g h t
a b o u t it, ju d g e s , w a s c e n te r e d o n th e p u r p o s iv e m o d e l fo r m u la te d
b y H e n r y M . H a r t, J r ., a n d A lb e r t M . S a c k s in T h e L e g a l P r o c e s s : B a s ic
P r o b le m s in th e M a k in g a n d A p p lic a tio n o f L a w .4 4 I n th e ir s e m in a l
w o r k , H a r t a n d S a c k s su m m a r iz e d th e le g a l p r o c e ss a p p r o a c h to
sta tu to r y in te r p r e ta tio n a s a m e th o d b y w h ic h c o u r ts sh o u ld d e te r -
m in e th e p u r p o se u n d e r ly in g a p a r tic u la r sta tu to r y e n a c tm e n t u s-
in g a p r o c e ss o f im a g in a tiv e r e c o n str u c tio n , a n d th e n in te r p r e tin g
th e w o r d s o f th e sta tu te in q u e stio n “ so a s to c a r r y o u t th e p u r p o se
a s b e st it c a n , m a k in g su r e , h o w e v e r , th a t it d o e s n o t g iv e th e w o r d s
e ith e r ( a ) a m e a n in g th e y w ill n o t b e a r , o r ( b ) a m e a n in g w h ic h
w o u ld v io la te a n y e s ta b lis h e d p o lic y o f c le a r s ta te m e n t.” 4 5 I n d o in g
so , th e H a r t a n d S a c k s m o d e l a ssu m e s th a t “ th e le g isla tu r e w a s
m a d e u p o f r e a so n a b le p e r so n s p u r su in g r e a so n a b le p u r p o se s r e a -
s o n a b ly .” 4 6 D e s p ite th e b r e a d th o f ju d ic ia l d is c r e tio n u n d e r th e
H a r t a n d S a c k s m o d e l, it w a s n o t u n fe tte r e d : “ T h e w o r d s o f th e sta t-
u te a r e w h a t th e le g isla tu r e h a s e n a c te d a s la w , a n d a ll th a t it h a s
th e p o w e r to e n a c t. U n e n a c te d in te n tio n s o r w ish e s c a n n o t b e
g iv e n e ffe c t a s la w .” 4 7 I n th is c o n c e p tio n , th e n , th e ju d g e is a fa ith -
fu l a g e n t o f th e le g isla tu r e , tr y in g to d isc e r n its g o a ls in p a ssin g th e
sta tu te a n d in te r p r e tin g th e sta tu te a c c o r d in g ly .
Ju d g e L e a r n e d H a n d w a s a n e a r ly p r o p o n e n t o f a p u r p o siv ist
a p p r o a c h sim ila r to th a t d e sc r ib e d b y H a r t a n d S a c k s, a n d b e fo r e
th e m , P o u n d a n d C a r d o z o . A lth o u g h th is c o n c e p tio n o f sta tu to r y
in t e r p r e t a t io n w a s m o d if ie d b y p la in -m e a n in g t h e o r is t s , a s w ill b e
se e n , it w a s n o t sq u a r e ly c h a lle n g e d u n til so m e tw o d e c a d e s a fte r
H a n d ’s d e a th , w h e n th e e m e r g e n c e o f a n e w te x tu a lism r e k in d le d
4 4 . S ee H e n r y M . H a r t, Jr . & A lb e r t M . S a c k s, T h e L e g a l P r o c e ss: B a sic

P r o b le m s in th e M a k in g a n d A p p lic a tio n o f L a w ( te n ta tiv e e d . 1 9 5 8 ) ( u n p u b lish e d
m a n u s c r ip t, g e n e r a lly a v a ila b le in la w sc h o o l lib r a r ie s; p u b lish e d in 1 9 9 4 u n d e r
sa m e t itle ) .
4 5 . Id . a t 1 4 1 1 .
4 6 . Id . a t 1 4 1 5 .
4 7 . Id . a t 1 4 1 2 .
th e d e b a te . It is to th is d e b a te , d r a w n la r g e ly fr o m th e w r itin g s o f
Ju d g e L e a r n e d H a n d a n d Ju stic e A n to n in S c a lia , th a t I n o w tu r n .
II.
JU D G E L E A R N E D H A N D ’S P U R P O S IV IS M V E R S U S
JU S T IC E A N T O N IN S C A L IA ’s
N E W T E X T U A L IS M
B o th Ju d g e L e a r n e d H a n d a n d Ju stic e A n to n in S c a lia , in ju d i-
c ia l o p in io n s a n d e ssa y s, h a v e a r tic u la te d th e ir d iffe r e n t c o n c e p -
tio n s o f h o w sta tu te s sh o u ld b e in te r p r e te d a n d , a lth o u g h th e y h a v e
n o t o c c u p ie d th e s a m e ju d ic ia l s ta g e , th e ir w r itin g s se t fo r th th e
e ss e n c e o f th e d e b a te b e tw e e n p u r p o siv ism a n d th e n e w te x tu a l-
ism .4 8 I n th is P a r t, I w ill h ig h lig h t th is d e b a te a n d a c c o u n t fo r th e
e m e r g e n c e a n d r ise o f th e n e w te x tu a lism .
A . Ju d g e L ea rn ed H a n d a n d P u rp o siv ism
Ju d g e L e a r n e d H a n d w a s a c la ssic p u r p o siv ist— h e b e lie v e d h e
c o u ld in te r p r e t a sta tu to r y p r o v isio n so a s to e ffe c tu a te th e c o m m o n
w ill o f th e g o v e r n m e n t b y d isc e r n in g th e u n d e r ly in g g e n e r a l p u r -
p o s e e x p r e s s e d b y th e le g is la tu r e in e n a c tin g a p a r tic u la r s ta tu te .4 9
A lth o u g h h e a c k n o w le d g e d p o te n tia l p r o b le m s w ith th is m e th o d ,
h e v ie w e d it a s th e m o st r e lia b le w a y to e ffe c t th e le g isla tu r e ’s a im s
a s its fa ith fu l a g e n t. A s h e e x p la in e d in B o r e lla v . B o r d e n C o .,5 0
[ w ] e c a n b e st r e a c h th e m e a n in g h e r e , a s a lw a y s, b y r e c o u r se to
th e u n d e r ly in g p u r p o se , a n d , w ith th a t a s a g u id e , b y tr y in g to
p r o je c t u p o n th e s p e c ific o c c a s io n h o w w e th in k p e r s o n s , a c tu -
a te d b y su c h a p u r p o se , w o u ld h a v e d e a lt w ith it, if it h a d b e e n
p r e se n te d to th e m a t th e tim e . T o sa y th a t th a t is a h a z a r d o u s
p r o c e ss is in d e e d a tr u ism , b u t w e c a n n o t e sc a p e it, o n c e w e
a b a n d o n lite r a l in te r p r e ta tio n — a m e th o d fa r m o r e
u n r e lia b le .5 1
4 8 . S e e W illia m N . E s k r id g e , J r ., T h e N e w T e x tu a lis m , 3 7 U C L A L . R E V . 6 2 1
( 1 9 9 0 ) . P r o fe sso r E sk r id g e u se s th e te r m “ n e w te x tu a lism ” to d istin g u ish th e te x tu -
a lism o f Ju stic e S c a lia , Ju d g e E a ste r b r o o k , a n d o th e r s fr o m th e te x tu a lism o f th e
p la in -m e a n in g t h e o r is t s d is c u s s e d in fr a . I u s e P r o f e s s o r E s k r id g e ’s t e r m in th is
e ssa y .
4 9 . S ee L e a r n e d H a n d , H o w F a r Is a Ju d g e F r e e in R e n d e r in g a D e c isio n ? ,
N a t’l A d v is o r y C o u n c il o n R a d io in E d u c ., L a w S e r ie s I L e c tu r e N o . 1 4 ( C B S r a d io
b r o a d c a st, M a y 1 4 , 1 9 3 3 ) ( 1 9 3 5 ) , rep rin ted in S P IR IT O F L IB E R T Y , su p ra n o te 1 , a t 1 0 3 , R
1 0 9 .
5 0 . 1 4 5 F .2 d 6 3 ( 2 d C ir . 1 9 4 4 ) , a ff’d , 3 2 5 U .S . 6 7 9 ( 1 9 4 5 ) .
5 1 . Id . a t 6 4 – 6 5 .
Ju d g e H a n d fe lt fr e e to e x a m in e a w id e r a n g e o f m a te r ia ls a n d
so u r c e s in o r d e r to d isc e r n th e u n d e r ly in g p u r p o se o f a p a r tic u la r
le g is la tiv e e n a c tm e n t.5 2 F o r e x a m p le , in F is h g o ld v . S u lliv a n D r y d o c k
& R e p a ir C o r p .,5 3 J u d g e H a n d w a s fa c e d w ith th e q u e s tio n o f
w h e th e r th e S e le c tiv e T r a in in g a n d S e r v ic e A c t o f 1 9 4 0 , w h ic h p r o -
h ib ite d th e “ d isc h a r g e ” o f a v e te r a n w ith in o n e y e a r o f h is r e tu r n to
e m p lo y m e n t, p r o s c r ib e d la y o ffs a s w e ll.5 4 I n c o n c lu d in g th a t it d id
n o t, h e fir st c lo se ly a n a ly z e d th e te x t o f th e sta tu te in q u e stio n , p a y -
in g c lo se a tte n tio n to th e str u c tu r e o f th e r e le v a n t sta tu to r y p r o v i-
sio n s a n d th e o r d in a r y m e a n in g o f th e w o r d s u se d ; h e th e n
su r v e y e d th e sta tu te ’s h isto r ic a l c o n te x t, th e c o n g r e ssio n a l p u r p o se
a t th e tim e o f e n a c tm e n t, su b se q u e n t a d m in istr a tiv e in te r p r e ta tio n
o f th e sta tu te , th e sta tu te ’s su b se q u e n t a m e n d m e n t, c o n g r e ssio n a l
te stim o n y a t th e tim e o f th e a m e n d m e n t, a n d th e r e e n a c tm e n t o f
th e s ta tu te w ith o u t c h a n g e a fte r th e a d m in is tr a tiv e in te r p r e ta tio n .5 5
A tr a d itio n a l c o m m o n la w ju d g e , J u d g e H a n d to o k a h o lis tic
v ie w o f th e sta tu to r y la n d sc a p e a n d a ll r e la te d m a te r ia ls b e fo r e se t-
tlin g o n a p a r tic u la r in te r p r e ta tio n o f a sta tu te , r e c o g n iz in g th a t, in
th e a c t o f s ta tu to r y c o n s tr u c tio n , a ju d g e is “ p u lle d b y tw o o p p o s ite
fo r c e s”56:
O n th e o n e h a n d h e m u st n o t e n fo r c e w h a te v e r h e th in k s b e st;
h e m u st le a v e th a t to th e c o m m o n w ill e x p r e sse d b y th e g o v -
e r n m e n t. O n th e o th e r , h e m u st tr y a s b e st h e c a n to p u t in to
c o n c r e te fo r m w h a t th a t w ill is, n o t b y sla v ish ly fo llo w in g th e
w o r d s, b u t b y tr y in g h o n e stly to sa y w h a t w a s th e u n d e r ly in g
p u r p o s e e x p r e s s e d .5 7
I n r e je c tin g a “ s la v is h ” a d h e r e n c e to th e w o r d s , J u d g e H a n d
c o n c e d e d th a t, a t tim e s , ju d g e s w o u ld h a v e to le g is la te to e ffe c t c o n -
g r e ssio n a l p u r p o se a n d a v o id a b su r d r e su lts; b u t h e w a s c a r e fu l to
r e sp e c t c o n g r e ssio n a l lim its. F o r e x a m p le , in d e c id in g th a t a
m in e r , w h o w a s h ir e d a s a n in d e p e n d e n t c o n tr a c to r , m u st r e c e iv e
th e sa m e sta tu to r y p r o te c tio n s a c c o r d e d e m p lo y e e s, h e w r o te :
I t is tr u e th a t th e s ta tu te u s e s th e w o r d “ e m p lo y e d ,” b u t it m u s t
b e u n d e r sto o d w ith r e fe r e n c e to th e p u r p o se o f th e a c t, a n d
w h e r e a ll th e c o n d itio n s o f th e r e la tio n r e q u ir e p r o te c tio n ,
p r o te c tio n o u g h t to b e g iv e n . It is a b su r d to c la ss su c h a m in e r
5 2 . S ee K A T H R Y N G R IF F IT H , JU D G E L E A R N E D H A N D A N D T H E R O L E O F T H E F E D -
E R A L JU D I C I A R Y 1 7 1 ( 1 9 7 3 ) .
5 3 . 1 5 4 F .2 d 7 8 5 ( 2 d C ir . 1 9 4 6 ) , a ff’d , 3 2 8 U .S . 2 7 5 ( 1 9 4 6 ) .
5 4 . I d . a t 7 8 7 .
5 5 . I d . a t 7 8 7 – 9 1 .
5 6 . H a n d , su p ra n o te 4 9 , a t 1 0 9 . R
5 7 . I d .
a s a n in d e p e n d e n t c o n tr a c to r in th e o n ly se n se in w h ic h th a t
p h r a s e is h e r e r e le v a n t.5 8
P e r h a p s b e c a u se o f h is se n sitiv ity to th e o p p o sin g fo r c e s a t
w o r k in h is in te r p r e tiv e ta sk s, Ju d g e H a n d ’s e ffo r ts to g iv e e ffe c t to
p u r p o se d id n o t a p p e a r to b e r e su lts o r ie n te d :
A w a r e n e s s a n d p u b lic a c k n o w le d g m e n t b y ju d g e s o f th e ir le g is -
la tiv e p o w e r m a y w e ll in d u c e r e str a in t in e x e r c isin g it. . . . A
ju d g e lik e L e a r n e d H a n d , w h o p u b lic ly a d m its th a t a t tim e s h e
c a n n o t h e lp le g isla tin g , is fa r m o r e d e m a n d in g o f h im se lf, fa r
m o r e r e s tr a in e d w h e n d o in g s o . S u c h a ju d g e w ill d o h is b e s t
to e n fo r c e th e p o lic y o f a sta tu te e v e n w h e n h e d e te sts its
a im .5 9
In h is th e o r e tic a l w r itin g s, Ju d g e H a n d d r e w a d istin c tio n b e -
tw e e n tw o “ e x tr e m e ” s c h o o ls — th o s e w h o b e lie v e th a t “ a ju d g e
o u g h t to lo o k to h is c o n sc ie n c e a n d fo llo w its d ic ta te s; h e o u g h t n o t
to b e b o u n d b y w h a t th e y c a ll te c h n ic a l r u le s, h a v in g n o r e la tio n to
n a tu r a l r ig h t a n d w r o n g ,” 6 0 a n d th o s e w h o a d h e r e to “ th e d ic tio n -
a r y s c h o o l.” 6 1 A s d e s c r ib e d b y J u d g e H a n d , th e a p p r o a c h ta k e n b y
a n a d h e r e n t to “ th e d ic tio n a r y sc h o o l” w a s a s fo llo w s: “ N o m a tte r
w h a t th e r e su lt is, h e m u st r e a d th e w o r d s in th e ir u su a l m e a n in g
a n d s to p w h e r e th e y s to p .” 6 2 J u d g e H a n d c r itic iz e d th is a p p r o a c h ,
s u g g e s tin g th a t “ [ n ] o ju d g e s h a v e e v e r c a r r ie d o n lite r a lly in th a t
s p ir it, a n d th e y w o u ld n o t b e lo n g to le r a te d if th e y d id .” 6 3
D e s p ite r e je c tin g s tr ic t lite r a lis m , J u d g e H a n d d id p la c e in itia l
e m p h a sis o n th e te x t, o b se r v in g th a t th e w o r d s o f a sta tu te a r e “ n o
d o u b t th e m o s t im p o r ta n t s in g le fa c to r in a s c e r ta in in g its in te n t.” 6 4
H o w e v e r , h e a lso b e lie v e d th a t “ [ t] h e r e is n o su r e r w a y to m isr e a d
a n y d o c u m e n t th a n to r e a d it lite r a lly .” 6 5 A s o b s e r v e d b y J u d g e J e -
r o m e F r a n k , Ju d g e H a n d o fte n sp o k e “ o f th e w a y in w h ic h lite r a lism
in in t e r p r e t a t io n c a n t h w a r t t h e p u r p o s e o f C o n g r e s s .” 6 6 I n d e -e m -
p h a siz in g th e te x t, h e h a s d e sc r ib e d h is o w n v ie w o f sta tu to r y c o n -
str u c tio n a s “ a n a c t o f c r e a tiv e im a g in a tio n ” a n d a n “ u n d e r ta k in g o f
5 8 . L e h ig h V a lle y C o a l C o . v . Y e n sa v a g e , 2 1 8 F . 5 4 7 , 5 5 2 ( 2 d C ir . 1 9 1 4 ) .
5 9 . Je ro m e F ra n k , W o rd s a n d M u sic: S o m e R em a rk s o n S ta tu to ry In terp reta tio n , 4 7
C O L U M . L . R E V . 1 2 5 9 , 1 2 7 1 ( 1 9 4 7 ) .
6 0 . H a n d , su p ra n o te 4 9 , a t 1 0 3 . R
6 1 . Id . a t 1 0 7 .
6 2 . Id .
6 3 . Id .
6 4 . C o m m ’r v . Ic k e lh e im e r , 1 3 2 F .2 d 6 6 0 , 6 6 2 ( 2 d C ir . 1 9 4 3 ) ( H a n d , J .,
d isse n tin g ) .
6 5 . G u ise p p i v . W a llin g , 1 4 4 F .2 d 6 0 8 , 6 2 4 ( 2 d C ir . 1 9 4 4 ) ( H a n d , J ., c o n c u r -
r in g ) , a ff’d s u b n o m . G e m s c o , I n c . v . W a llin g , 3 2 4 U .S . 2 4 4 ( 1 9 4 5 ) .
6 6 . F ra n k , su p ra n o te 5 9 , a t 1 2 6 3 . R
d e lig h tfu l u n c e r ta in ty ” 6 7 ; h e h e ld to th e b e lie f th a t “ th e m e a n in g o f

a s e n te n c e m a y b e m o r e th a n th a t o f th e s e p a r a te w o r d s .” 6 8 A s h e
w r o te in H e lv e r in g v . G r e g o r y :6 9
It is q u ite tr u e , a s th e B o a r d h a s v e r y w e ll sa id , th a t a s th e a r tic -
u la tio n o f a sta tu te in c r e a se s, th e r o o m fo r in te r p r e ta tio n m u st
c o n tr a c t; b u t th e m e a n in g o f a se n te n c e m a y b e m o r e th a n th a t
o f th e se p a r a te w o r d s, a s a m e lo d y is m o r e th a n th e n o te s, a n d
n o d e g r e e o f p a r tic u la r ity c a n e v e r o b v ia te r e c o u r se to th e se t-
tin g in w h ic h a ll a p p e a r , a n d w h ic h a ll c o lle c tiv e ly c r e a te .7 0
In su m , Ju d g e H a n d ’s a p p r o a c h r e p r e se n ts a n e a r ly e x a m p le o f
p u r p o siv ism , fu lly c o n siste n t w ith th e la te r H a r t a n d S a c k s p a r a -
d ig m . T o d a y , w e c a n se e it r e fle c te d in Ju d g e R ic h a r d A . P o sn e r ’s
“ im a g in a tiv e r e c o n s tr u c tio n ” m o d e l.7 1 I n s ta r k c o n tr a s t to th e s e
p u r p o siv ist a p p r o a c h e s a r e th o se c h a m p io n e d b y th e a d v o c a te s o f
n e w te x tu a lism , a n d th e m o d e l w ith in th a t sc h o o l e sp o u se d b y Ju s-
tic e A n to n in S c a lia , to w h o se th e o r ie s I w ill n o w tu r n .
B . T h e N e w T e x tu a lis ts
T h e te r m “ n e w te x tu a lism ” w a s c o in e d b y P r o fe sso r W illia m N .
E s k r id g e , J r ., to d e s c r ib e th e p r o p o n e n ts o f a m e th o d o f r ig o r o u s
t e x t -b a s e d s t a t u t o r y in t e r p r e ta tio n th a t e m e r g e d in th e 1 9 8 0 s.
Ju d g e , n o w Ju stic e , A n to n in S c a lia a n d Ju d g e s F r a n k E a ste r b r o o k ,
Ja m e s B u c k le y , K e n n e th S ta r r , a n d A le x K o z in sk i a d v a n c e d th is
n e w , a n d in th e e y e s o f c r itic s “ r a d ic a l,” th e o r y th r o u g h th e ir o p in -
6 7 . L e a r n e d H a n d a t t h e f if t ie t h -a n n iv e r s a r y c e le b r a t io n o f h is ju d ic ia l s e r v ic e
in 1 9 5 9 , 2 6 4 F .2 d 2 8 ( P r o c e e d in g s in C o m m e m o r a tio n o f F ifty Y e a r s o f F e d e r a l Ju d ic ia l
S erv ice ) , q u o ted in G E R A L D G U N T H E R , L E A R N E D H A N D : T H E M A N A N D T H E JU D G E 4 7 1
( 1 9 9 4 ) ( in te r n a l q u o ta tio n m a r k s o m itte d ) .
6 8 . H e lv e r in g v . G r e g o r y , 6 9 F .2 d 8 0 9 , 8 1 0 – 1 1 ( 2 d C ir . 1 9 3 4 ) , a ff’d , 2 9 3 U .S .
4 6 5 ( 1 9 3 5 ) .
6 9 . Id .
7 0 . Id . a t 8 1 0 – 1 1 .
7 1 . R IC H A R D A . P O S N E R , T H E F E D E R A L C O U R T S : C R IS IS A N D R E F O R M 2 8 7 ( 1 9 8 5 ) .
Ju d g e P o sn e r su g g e sts th a t
th e ju d g e s h o u ld tr y to p u t h im s e lf in th e s h o e s o f th e e n a c tin g le g is la to r s a n d
fig u r e o u t h o w th e y w o u ld h a v e w a n te d th e sta tu te a p p lie d to th e c a se b e fo r e
h im . . . . If it fa ils, a s o c c a sio n a lly it w ill, e ith e r b e c a u se th e n e c e ssa r y in fo r m a -
tio n is la c k in g o r b e c a u se th e le g isla to r s h a d fa ile d to a g r e e o n e sse n tia l p r e m -
is e s , th e n th e ju d g e m u s t d e c id e w h a t a ttr ib u tio n o f m e a n in g to th e s ta tu te
w ill y ie ld th e m o st r e a so n a b le r e su lt in th e c a se a t h a n d — a lw a y s b e a r in g in
m in d th a t w h a t s e e m s r e a s o n a b le to th e ju d g e m a y n o t h a v e s e e m e d r e a s o n a -
b le to th e le g isla to r s, a n d th a t it is th e ir c o n c e p tio n o f r e a so n a b le n e ss, to th e
e x te n t k n o w n , r a th e r th a n th e ju d g e ’s , th a t s h o u ld g u id e d e c is io n .
Id . a t 2 8 6 – 8 7 .
io n s a n d o th e r p u b lic w r itin g s a n d s p e e c h e s .7 2 A lth o u g h th e n e w

te x tu a lists r e ly o n H o lm e s’s v ie w th a t it is th e m e a n in g o f th e p la in
te x t a n d n o t th e in te n t o f th e le g isla tu r e th a t d e te r m in e s a sta tu te ’s
m e a n in g ,7 3 th e r e a r e d iffe r e n c e s in d e g r e e b e tw e e n th e n e w te x tu -
a lis t a n d t h e t r a d it io n a l t e x t u a lis t o r p la in -m e a n in g a p p r o a c h t o
sta tu to r y in te r p r e ta tio n .
T h e t r a d it io n a l t e x t u a lis t o r p la in -m e a n in g a p p r o a c h c o n t in -
u e s to lo o k to le g isla tiv e in te n t a s th e to u c h sto n e o f in te r p r e ta tio n ,
b u t h o ld s th a t th e te x t is th e b e st e v id e n c e o f in te n t, a n d , w h e r e its
m e a n in g is p la in , th e e x c lu siv e e v id e n c e . U n d e r th is a p p r o a c h ,
ju d g e s w ill lo o k to e x te r n a l s o u r c e s s u c h a s le g is la tiv e h is to r y a n d
th e o u tc o m e r e su ltin g fr o m a g iv e n in te r p r e ta tio n , b o th to c o n fir m
a p la in m e a n in g a n d to d isc e r n th e m e a n in g w h e n th e te x t is a m -
b ig u o u s. C h ie f Ju stic e R e h n q u ist d e sc r ib e s th is a p p r o a c h a s fo llo w s:
“ O u r ta sk in th is c a se , lik e a n y o th e r c a se in v o lv in g th e c o n str u c tio n
o f a sta tu te , is to g iv e e ffe c t to th e in te n t o f C o n g r e ss. T o d iv in e
th a t in te n t, w e tr a d itio n a lly lo o k fir st to th e w o r d s o f th e sta tu te
a n d , if th e y a r e u n c le a r , th e n to th e s ta tu te ’s le g is la tiv e h is to r y .” 7 4
M o r e o v e r , d e v ia tio n fr o m th e te x t is p e r m itte d . A s Ju stic e K e n n e d y
h a s n o te d : “ W h e r e th e p la in la n g u a g e o f th e sta tu te w o u ld le a d to
‘p a te n tly a b s u r d c o n s e q u e n c e s ’ th a t ‘C o n g r e s s c o u ld n o t p o s s ib ly
h a v e in te n d e d ,’ w e n e e d n o t a p p ly th e la n g u a g e in s u c h a fa s h -
io n .” 7 5 I n its r e s p e c t fo r le g is la tiv e in te n t, th is te x tu a lis m o f th e
p la in -m e a n in g v a r ie t y r e p r e s e n t s a r e f in e m e n t o f t h e p u r p o s iv e
m o d e l o f H a r t a n d S a c k s , n o t a r e je c tio n o f it. D r a w in g o n P r o fe s -
so r E sk r id g e ’s a n a ly se s, I w ill b r ie fly d isc u ss th e d istin c tio n s b e tw e e n
t h e p la in -m e a n in g a n d n e w t e x t u a lis t a p p r o a c h e s b e f o r e t u r n in g t o
Ju stic e S c a lia ’s m o d e l.
T h e fir st d istin c tio n is th e in c r e a se d r ig o r w ith w h ic h th e n e w
te x tu a lists a d h e r e to , a n d d e lv e in to , a sta tu te ’s te x t to d isc e r n its
m e a n in g .7 6 T h e n e w te x tu a lis ts a d h e r e to w h a t P r o fe s s o r s E s k r id g e
7 2 . E sk r id g e , su p ra n o te 4 8 , a t 6 2 4 , 6 4 7 ; E S K R I D G E & F R I C K E Y , su p ra n o te 3 , a t R
5 7 7 .
7 3 . E sk r id g e , su p ra n o te 4 8 , a t 6 4 7 & n .1 0 0 , 6 2 4 n .1 2 . R
7 4 . U n ite d S te e lw o r k e r s o f A m . v . W e b e r , 4 4 3 U .S . 1 9 3 , 2 5 3 – 5 4 ( 1 9 7 9 ) ( R e h n -
q u is t, J ., d is s e n tin g ) .
7 5 . P u b . C itiz e n v . U n it e d S ta te s D e p ’t o f Ju stic e , 4 9 1 U .S . 4 4 0 , 4 7 0 ( 1 9 8 9 )
( K e n n e d y , J ., c o n c u r r in g a n d jo in e d b y R e h n q u is t, C .J .) ( q u o tin g U n ite d S ta te s v .
B r o w n , 3 3 3 U .S . 1 8 , 2 7 ( 1 9 4 8 ) , a n d F B I v . A b r a m so n , 4 5 6 U .S . 6 1 5 , 6 4 0 ( 1 9 8 2 )
( O ’C o n n o r , J ., d is s e n tin g ) ) ( e m p h a sis a d d e d in P u b . C itizen ) ( c ita tio n s o m itte d ) .
7 6 . C f. B o sto n S a n d & G r a v e l C o . v . U n ite d S ta te s, 2 7 8 U .S . 4 1 , 4 6 – 4 8 ( 1 9 2 8 )
( H o lm e s , J .) ; G r iffin v . O c e a n ic C o n tr a c to rs, In c ., 4 5 8 U .S . 5 6 4 ( 1 9 8 2 ) ( R e h n q u ist,
J .) .
a n d F r ic k e y c a ll “ a ‘h a r d e r ’ v e r s io n o f th e p la in m e a n in g r u le ,” 7 7
th a t is, th e y sh o w a n in c r e a se d w illin g n e ss “ to fin d a sta tu to r y ‘p la in
m e a n in g ’ a n d le ss w illin g [ n e ss] to c o n su lt le g isla tiv e h isto r y , e ith e r
to c o n fir m o r to r e b u t th a t p la in m e a n in g .” 7 8 U n c o n c e r n e d w ith
le g isla tiv e in te n t o r p u r p o se , th e n e w te x tu a lists se e k to d isc e r n
w h a t th e le g isla tu r e sa id a n d m e a n t to sa y in e n a c tin g th e la n g u a g e
o f th e sta tu te . U n w illin g to r e so r t to le g isla tiv e h isto r y b e c a u se o f its
u n r e lia b ility a n d la c k o f le g a l a u th o r ity , th e n e w te x tu a lists w ill c o n -
sid e r , in a d d itio n to th e te x t’s la n g u a g e , its p la c e in th e sta tu to r y
sc h e m e , o th e r r e la te d u sa g e s in th e sta tu te , th e str u c tu r e o f th e sta t-
u te a s a w h o le , o r e v e n o th e r r e la te d s ta tu to r y s c h e m e s .7 9 T h e
m e t h o d a ls o e m p lo y s g r a m m a t ic a l a n d p la in -m e a n in g c a n o n s o f
c o n str u c tio n a n d d ic tio n a r y d e fin itio n s to u n lo c k th e m e a n in g o f
th e w o r d s u s e d .8 0
A n o th e r d iffe r e n c e b e tw e e n th e n e w a n d th e tr a d itio n a l, o r
p la in -m e a n in g , t e x t u a lis t s is t h a t t h e n e w t e x t u a lis t s ’ r e je c t io n o f
le g is la tiv e in te n t o r p u r p o s e a s th e o b je c t o f in te r p r e ta tio n is d r iv e n
p r im a r ily b y “ fo r m a lis t” c o n c e r n s . A s n o te d a b o v e ,8 1 P r o fe s s o r R a -
d in c a lle d it a “ tr a n sp a r e n t a n d a b su r d fic tio n ” to im p u te a c o lle c -
tiv e in te n t to th e 5 3 5 m e m b e r s o f C o n g r e ss w h o se v o te s w e r e lik e ly
m o tiv a te d b y p u r p o se s r a n g in g fr o m th e ir v a r y in g in d iv id u a l u n d e r -
sta n d in g s o f th e sta tu te to p o litic a l h o r se tr a d in g a n d lo g r o llin g .
E la b o r a tin g o n th e se a r g u m e n ts, th e n e w te x tu a lists, a s P r o fe sso r
E sk r id g e n o te s, h a v e a d v a n c e d th r e e m a in a r g u m e n ts in su p p o r t o f
fo c u sin g o n th e te x t o f a sta tu te r a th e r th a n le g isla tiv e in te n t a n d ,
a s a d e v ic e fo r d e te r m in in g th a t in te n t, le g is la tiv e h is to r y :8 2 ( 1 ) o n ly
th e te x t o f th e sta tu te a s e n a c te d , a n d n o t th e a sp ir a tio n s o r o b se r -
v a tio n s in th e le g isla tiv e h isto r y , h a s th e fo r c e o f la w b e c a u se it is
th e te x t a lo n e th a t, in c o m p lia n c e w ith A r tic le I , § 7 ,8 3 h a s b e e n
p a sse d b y b o th h o u se s o f C o n g r e ss a n d p r e se n te d to th e P r e si-
d e n t;8 4 ( 2 ) b e c a u s e th e C o n s titu tio n , u n d e r th e s e p a r a tio n o f p o w -
7 7 . E S K R ID G E & F R IC K E Y , su p ra n o te 3 , a t 5 8 7 . R
7 8 . E sk r id g e , su p ra n o te 4 8 , a t 6 5 6 . R
7 9 . Id . a t 6 6 0 – 6 6 ; E S K R ID G E & F R IC K E Y , su p ra n o te 3 , a t 5 8 7 . R
8 0 . E sk r id g e , su p ra n o te 4 8 , a t 6 6 0 – 6 6 ; E S K R ID G E & F R IC K E Y , su p ra n o te 3 , a t R
5 8 7 ; cf. R a d in , su p ra n o te 3 9 , a t 8 7 3 – 7 4 ( c r itic iz in g tw o c a n o n s o f c o n str u c tio n R
a p p r o v e d o f b y Ju stic e S c a lia , ex p ressio n u n iu s e s t e x c lu s io a lte r iu s ( th e e x p r e ssio n o f
o n e th in g is th e e x c lu sio n o f a n o th e r ) a n d e ju s d e m g e n e r is ( o f th e sa m e c la ss) , a s
h a v in g little b a sis “ in lo g ic o r in o r d in a r y h a b its o f sp e e c h ” ) .
8 1 . S ee su p ra n o te s 3 9 – 4 3 a n d a c c o m p a n y in g te x t. R
8 2 . E sk r id g e , su p ra n o te 4 8 , a t 6 7 1 – 7 8 ; E S K R ID G E & F R IC K E Y , su p ra n o te 3 , a t R
5 8 7 – 8 8 .
8 3 . U .S . C o n s t. a r t. I , § 7 .
8 4 . E sk r id g e , su p ra n o te 4 8 , a t 6 7 1 – 7 3 . R
e r s b e tw e e n A r tic le s I a n d III, r e p o se s th e la w m a k in g p o w e r in th e
C o n g r e ss a lo n e , th e c o u r ts sh o u ld r e fr a in fr o m e v e n in te r stitia l la w -
m a k in g a c tiv ity b y a d h e r in g to th e lim its im p o se d b y th e la n g u a g e
o f th e s ta tu te ;8 5 a n d ( 3 ) th e fa ith fu l a g e n t r o le o f th e c o u r ts is in a p -
p r o p r ia te fr o m a g o v e r n a n c e v ie w p o in t. R a th e r , n e w te x tu a lism is
“ d e m o c r a c y e n h a n c in g ” 8 6 — ju d g e s h e lp le g is la to r s d o th e ir c o n s ti-
tu tio n a lly c h a r g e d ta s k s b e tte r w h e n ju d g e s r e fu s e to e n g a g e in ju d i-
c ia l la w m a k in g in th e g u ise o f sta tu to r y in te r p r e ta tio n b y , fo r
e x a m p le , r e w r itin g o r fillin g in th e g a p s o f sta tu te s.
T h is la st p o in t d e se r v e s a w o r d o f e la b o r a tio n . In th e c o u r se o f
m a k in g t h e ir d e m o c r a c y -e n h a n c in g a r g u m e n t s , t h e n e w t e x t u a lis t s
a r t i c u l a t e i n s t i t u t i o n a l c o n c e r n s a b o u t t h e j u d i c i a r y ’ s r o l e v i s - a` - v i s
th e le g is la tu r e . W h e n ju d g e s c o n s is te n tly s ta y w ith in th e lim its o f
th e ir c o n stitu tio n a lly d e fin e d r o le , th e n e w te x tu a lists c la im , le g isla -
to r s h a v e a c le a r e r id e a ex a n te o f th e e ffe c t th e ir la w s w ill h a v e a n d
a n in c e n tiv e to le g isla te m o r e c le a r ly a n d c o m p le te ly . T h is in tu r n
e n h a n c e s d e m o c r a c y b y p u ttin g th e o n u s o n th e d e m o c r a tic a lly
e le c te d b o d y o f th e le g isla tu r e to m a k e h a r d p o lic y c h o ic e s a n d r e -
s is t t h e u r g e t o h a n d t h e d if f ic u lt d e c is io n s o v e r t o t h e lif e -t e n u r e d ,
u n e le c te d m e m b e r s o f th e fe d e r a l ju d ic ia r y . J u d g e E a s te r b r o o k h a s
d e s c r ib e d t h e d e m o c r a c y -e n h a n c in g e f f e c t o f t e x t u a lis m b y lik e n in g
sta tu to r y c o n str u c tio n to th e fa ith fu l b u t u n e n th u sia stic im p le m e n -
ta tio n o f th e b a r g a in s tr u c k in a c o n tr a c t.8 7 R e fu s in g to a d d o r e x -
te n d th e “ c o n tr a c tu a l te r m s ” e m b o d ie d in a s ta tu te ,8 8 a n d th e r e b y
g iv e p a r tie s th e b e n e fits o f b a r g a in s th a t w e r e n e v e r a c tu a lly str u c k ,
th e ju d g e p r o m o te s d e m o c r a tic v a lu e s b y o n ly e n fo r c in g th e te r m s
u p o n w h ic h th e p a r tie s, b y m u ste r in g th e n e c e ssa r y v o te s, w e r e a b le
to a g r e e .
A s a fin a l p o in t o f d iffe r e n c e , in th e ir str ic t a d h e r e n c e to th e
te x t, a n d to c o n s titu tio n a l a n d o th e r lim its o n ju d ic ia l d is c r e tio n ,
th e n e w te x tu a lists a r e m o r e w illin g th a n th e tr a d itio n a l te x tu a lists
to to le r a te in te r p r e ta tio n s th a t d o n o t a p p e a r to b e th e “ o p tim a l
r e su lt” fo r th e p a r tie s o r g e n e r a lly . T h is is a p tly illu str a te d b y Ju d g e
E a s te r b r o o k ’s o p in io n in U n ite d S ta te s v . M a r s h a ll.8 9 I n th a t c a s e , th e
S e v e n th C ir c u it c o n sid e r e d w h e th e r th e p h r a se “ m ix tu r e o r su b -
s ta n c e c o n ta in in g a d e te c ta b le a m o u n t,” a s u s e d in a fe d e r a l n a r c o t-
8 5 . Id . a t 6 7 4 .
8 6 . Id . a t 6 7 7 .
8 7 . F r a n k H . E a ste r b r o o k , T h e C o u rt a n d th e E co n o m ic S y stem , F o rew o rd to T h e
S u p rem e C o u rt: 1 9 8 3 T erm , 9 8 H A R V . L . R E V . 4 , 1 5 ( 1 9 8 4 ) .
8 8 . Id .
8 9 . 9 0 8 F .2 d 1 3 1 2 ( 7 th C ir . 1 9 9 0 ) ( e n b a n c ) , a ff’d su b n o m . C h a p m a n v .
U n ite d S ta te s, 5 0 0 U .S . 4 5 3 ( 1 9 9 1 ) .
ic s sta tu te , w a s lim ite d to “ p u r e ” L S D o r a lso in c lu d e d th e p a p e r

b lo tte r , s u g a r c u b e , o r o th e r m e d iu m in w h ic h th e L S D w a s s o ld .9 0
T h e fe d e r a l sta tu te a t issu e p r o v id e d fo r a sc h e m e o f g r a d u a te d
p e n a ltie s p e g g e d to d r u g w e ig h t, b a se d o n th e w e ig h t o f th e “ m ix -
tu r e o r s u b s ta n c e .” 9 1 B y c o u n tin g th e w e ig h t o f th e b lo tte r p a p e r ,
w h ic h w a s e x p o n e n tia lly g r e a te r th a n th e w e ig h t o f th e p u r e L S D it
c o n ta in e d , m a n y c a se s w o u ld r e su lt in a sh a r p se n te n c in g d iffe r e n -
tia l d e p e n d in g o n w h e th e r th e w e ig h t w a s o f th e p u r e L S D d o sa g e
o r th e d o sa g e th a t in c lu d e d th e b lo tte r p a p e r o r su g a r c u b e . If th e
w e ig h t o f th e c a r r y in g m e d iu m w a s c o u n te d , a d r u g k in g p in d e a lin g
in p u r e L S D c o u ld , b y se llin g th o u sa n d s o f d o se s o f p u r e L S D th a t
w e ig h e d le ss th a n a g r a m , b e e x p o se d to a sig n ific a n tly sh o r te r
p r is o n t e r m t h a n a s t r e e t -le v e l d e a le r w h o s o ld o n e d o s e o f L S D in a
c a r r y in g m e d iu m w e ig h in g a g r a m o r m o r e .
Ju d g e E a ste r b r o o k fo u n d th a t th e b lo tte r p a p e r w a s a “ m ix -
tu r e ” c o n ta in in g a d e te c ta b le a m o u n t o f L S D a n d w a s th u s in c lu d -
a b le in c a lc u la tin g th e w e ig h t o f th e d r u g .9 2 H is a n a ly s is fo c u s e d o n
th e o r d in a r y m e a n in g s o f th e sta tu to r y te r m s a n d th e str u c tu r e o f
th e sta tu te r a th e r th a n th e h a r sh o r in e q u ita b le se n te n c e s th a t
w o u ld fo llo w . A c c o r d in g to Ju d g e E a ste r b r o o k , th e p la in m e a n in g
o f th e w o r d “ m ix tu r e ” sim p ly c o u ld n o t m e a n “ p u r e ” L S D , a c o n c lu -
sio n th a t w a s su p p o r te d b y th e str u c tu r e o f th e sta tu te . M o r e o v e r ,
9 0 . Id . a t 1 3 1 5 .
9 1 . D u r in g th e r e le v a n t p e r io d , 2 1 U .S .C .§ 8 4 1 s ta te d in p e r tin e n t p a r t:
( a ) [ I] t sh a ll b e u n la w fu l fo r a n y p e r so n k n o w in g ly o r in te n tio n a lly
( 1 ) to m a n u fa c tu r e , d istr ib u te , o r d isp e n se . . . a c o n tr o lle d su b sta n c e
. . . .
( b ) [ A ] n y p e r so n w h o v io la te s su b se c tio n ( a ) o f th is se c tio n sh a ll b e se n -
te n c e d a s fo llo w s:
( 1 ) ( A ) In th e c a se o f a v io la tio n o f su b se c tio n ( a ) o f th is se c tio n in v o lv in g
. . . ( v ) 1 0 g r a m s o r m o r e o f a m ix tu r e o r su b sta n c e c o n ta in in g a
d e te c ta b le a m o u n t o f ly se r g ic a c id d ie th y la m id e ( L S D ) ; . . . su c h
p e r so n sh a ll b e se n te n c e d to a te r m o f im p r iso n m e n t w h ic h m a y
n o t b e le ss th a n 1 0 y e a r s o r m o r e th a n life . . . .
( B ) In th e c a se o f a v io la tio n o f su b se c tio n ( a ) o f th is se c tio n in v o lv in g
. . . ( v ) 1 g r a m o r m o r e o f a m ix tu r e o r su b sta n c e c o n ta in in g a
d e te c ta b le a m o u n t o f ly se r g ic a c id d ie th y la m id e ( L S D ) ; . . . su c h
p e r so n sh a ll b e se n te n c e d to a te r m o f im p r iso n m e n t w h ic h m a y
n o t b e le ss th a n 5 y e a r s a n d n o t m o r e th a n 4 0 y e a r s . . . .
( C ) [ In th e c a se o f a v io la tio n o f su b se c tio n ( a ) in v o lv in g le sse r
a m o u n ts o f L S D , su c h p e r so n ] sh a ll b e se n te n c e d to a te r m o f
im p r iso n m e n t o f n o t m o r e th a n 2 0 y e a r s . . . .
2 1 U .S .C . § 8 4 1 ( 1 9 8 8 ) .
9 2 . M a r s h a ll, 9 0 8 F .2 d a t 1 3 1 8 .
“ [ o ] r d in a r y p a r la n c e ” d ic ta te d th a t L S D w a s in fa c t “ m ix e d ” w ith its
p a p e r b lo tte r .9 3
I n d is s e n t, J u d g e P o s n e r e m p h a s iz e d th a t th e m a jo r ity ’s in te r -
p r e ta tio n e n ta ile d a r e su lt th a t w a s n o t o n ly “ e x c e p tio n a lly h a r sh ”
b u t a lso , b e c a u se it d isc r im in a te d b e tw e e n lik e c a se s w ith o u t a r a -
tio n a l b a s is , e v e n u n c o n s titu tio n a l.9 4 I n h is e ffo r ts to s h o w th a t
su c h a r e su lt w a s n o t c o m p e lle d b y th e la n g u a g e o f th e sta tu te ,
Ju d g e P o sn e r situ a te d th e sta tu to r y la n g u a g e “ a g a in st a b a c k -
g r o u n d ” th a t in c lu d e d c o n stitu tio n a l c o n c e r n s a n d th e p e r c e iv e d
o m issio n s o f C o n g r e ss a n d th e S e n te n c in g C o m m issio n in d r a ftin g
th e s ta tu te a n d r e la te d s e n te n c in g g u id e lin e s .9 5 J u d g e P o s n e r ’s d is -
se n t d e sc r ib e d th e d iffe r e n c e s b e tw e e n th e n e w te x tu a list a p p r o a c h
o f Ju d g e E a ste r b r o o k a n d h is o w n p u r p o siv ist a p p r o a c h : th e n e w
te x tu a lis t a p p r o a c h “ b u y s p o litic a l n e u tr a lity a n d a ty p e o f o b je c tiv -
ity a t th e p r ic e o f s u b s ta n tiv e in ju s tic e , w h ile th e [ p u r p o s iv e
m e th o d ] b u y s ju s tic e in th e in d iv id u a l c a s e a t th e p r ic e o f c o n s id e r -
a b le u n c e r ta in ty a n d , n o t in fr e q u e n tly , ju d ic ia l w illfu ln e s s .” 9 6 T h e
d iffe r e n c e s b e tw e e n th e se tw o a p p r o a c h e s a r e a lso e v id e n t in th e
o u tc o m e . D r a w in g o n th e c o n te x t o f th e sta tu te , a n d w ith a n e y e to
a c h ie v in g a ju s t a n d r a tio n a l r e s u lt, J u d g e P o s n e r in te r p r e te d th e
sta tu te in a w a y th a t w a s a r g u a b ly c o n tr a r y to its te x t. H is e m p h a sis
o n ju s tic e a n d r a tio n a lity is s u g g e s tiv e o f H a r t a n d S a c k s ’s a s s u m p -
tio n th a t “ th e le g isla tu r e w a s m a d e u p o f r e a so n a b le p e o p le p u r su -
in g r e a s o n a b le p u r p o s e s r e a s o n a b ly .” 9 7
T h e n e w te x tu a list a p p r o a c h is g iv e n p e r h a p s its fu lle st, m o st
fo r c e fu l e x p r e ssio n b y Ju stic e S c a lia in h is e ssa y A M a tter o f In terp reta -
tio n : F e d e r a l C o u r ts a n d th e L a w .9 8 J u s tic e S c a lia ’s a n s w e r to th e c r iti-
c is m o f h is t e x t u a lis m a s w o o d e n a n d e r r o r -p r o n e is t h a t h is
a p p r o a c h is n o t str ic t lite r a lism . W h ile w o r d s “ d o h a v e a lim ite d
r a n g e o f m e a n in g , a n d n o in te r p r e ta tio n th a t g o e s b e y o n d th a t
r a n g e is p e r m is s ib le ,” 9 9 th e la n g u a g e s h o u ld b e in te r p r e te d “ to c o n -
ta in a ll th a t it fa ir ly m e a n s .” 1 0 0 T h u s , J u s tic e S c a lia w o u ld n o t in te r -
p r e t th e la n g u a g e o f a fe d e r a l n a r c o tic s sta tu te th a t p r o v id e s a n
e n h a n c e d se n te n c e fo r a d e fe n d a n t w h o “ u se s . . . a fir e a r m ” “ d u r -
9 3 . I d . a t 1 3 1 7 .
9 4 . I d . a t 1 3 3 5 ( P o s n e r , J ., d is s e n tin g ) .
9 5 . I d . a t 1 3 3 7 .
9 6 . I d . a t 1 3 3 5 .
9 7 . H a rt & S a c k s, su p ra n o te 4 4 , a t 1 4 1 5 ; see su p ra n o te s 4 4 – 4 7 a n d a c c o m p a - R
n y in g te x t.
9 8 . A N T O N I N S C A L I A , A M A T T E R O F I N T E R P R E T A T I O N : F E D E R A L C O U R T S A N D T H E
L A W ( 1 9 9 7 ) .
9 9 . I d . a t 2 4 .
1 0 0 . Id . a t 2 3 .
in g a n d in r e la tio n to . . . [ a ] d r u g tr a ffic k in g c r im e ” to r e a c h a
d e fe n d a n t w h o p u r c h a se d d r u g s in e x c h a n g e fo r a n u n lo a d e d fir e -
a r m .1 0 1 T h e la n g u a g e “ u s e a g u n ” s h o u ld b e u n d e r s to o d to m e a n
w h a t it “ fa ir ly c o n n o te d ,” th e ty p ic a l u s e o f a fir e a r m a s a w e a p o n
a n d n o t its e x tr a o r d in a r y u s e in th is c a s e a s a n o b je c t o f e x -
c h a n g e .1 0 2 B y lo o k in g to th e c o n te x t o f a s ta tu te to d e te r m in e th e
“ c o n n o ta tio n s” o f its te r m s, Ju stic e S c a lia d istin g u ish e s h is te x tu a l-
ism fr o m H a n d ’s c a r ic a tu r e o f th e “ d ic tio n a r y sc h o o l” o f
in te r p r e ta tio n .1 0 3
Ju stic e S c a lia ’s a d v o c a c y o f te x tu a lism is p a r tic u la r ly n o te w o r -
th y fo r its c r itic ism o f e ffo r ts to d iv in e le g isla tiv e in te n t to d e te r -
m in e th e s ta tu te ’s p u r p o s e a n d fo r h is c o m p le te r e je c tio n o f th e u s e
o f le g isla tiv e h isto r y . A s a p r a c tic a l m a tte r , Ju stic e S c a lia v ie w s th e
e x a m in a tio n o f le g isla tiv e in te n t, w h e n it is su ffic ie n tly d iv o r c e d
fr o m th e te x t o f th e s ta tu te , a s a s u b te r fu g e fo r ju d ic ia l la w m a k in g .
I n a s k in g h im s e lf w h a t th e le g is la tu r e in te n d e d , th e ju d g e w ill a s k
w h a t a w ise a n d in te llig e n t la w m a k e r w o u ld h a v e in te n d e d ; fr o m
th e r e , th e ju d g e w ill p r o c e e d to a s k h im s e lf w h a t h e , w h o is a ls o
w is e a n d in te llig e n t, th in k s th e la w o u g h t to m e a n .1 0 4 T h is is b u t a
v a r ia t io n o f “ c o m m o n -la w ju d g in g ,” w h e r e b y a ju d g e “ h a s t h e in t e l-
lig e n c e to d isc e r n th e b e st r u le o f la w fo r th e c a se a t h a n d a n d th e n
t h e s k ill t o p e r f o r m t h e b r o k e n -f ie ld r u n n in g t h r o u g h e a r lie r c a s e s
th a t le a v e s h im fr e e to im p o s e th a t r u le .” 1 0 5
W h e n u s e d to in te r p r e t s ta tu te s , ju d ic ia l la w m a k in g o f th is s o r t
is “ a s u r e r e c ip e fo r in c o m p e te n c e a n d u s u r p a tio n .” 1 0 6 I t e n ta ils ,
a m o n g o th e r th in g s , ju d g e s s u b s titu tin g th e ir o w n p o lic y p r e fe r -
e n c e s fo r th o s e o f th e le g is la tu r e .1 0 7 A s J u s tic e S c a lia m a k e s c le a r ,
th e v e r y id e a o f ju d ic ia l la w m a k in g is r e p u g n a n t to d e m o c r a tic a n d
s e p a r a t io n o f p o w e r s v a lu e s b e c a u s e it in v o lv e s u n e le c t e d lif e -t e n -
u r e d fe d e r a l ju d g e s a r r o g a tin g to th e m s e lv e s th e la w m a k in g fu n c -
tio n c o n stitu tio n a lly v e ste d in th e e le c te d le g isla tu r e . Ju d ic ia l
la w m a k in g a lso in c r e a se s th e u n p r e d ic ta b ility a n d a r b itr a r in e ss o f
th e la w , a n d th u s u n d e r m in e s r u le o f la w v a lu e s, b e c a u se n e ith e r
th e le g isla tu r e n o r a n y o th e r in te r e ste d p a r ty c a n k n o w b e fo r e h a n d
w ith a n y c e r ta in ty h o w ju d g e s w ill r e fa s h io n th e la w to s u it th e ir
p e r so n a l p r e fe r e n c e s.
1 0 1 . Id . a t 2 3 – 2 4 .
1 0 2 . Id . a t 2 4 .
1 0 3 . S e e su p ra n o te s 6 1 – 6 3 a n d a c c o m p a n y in g te x t. R
1 0 4 . Id . a t 1 8 .
1 0 5 . Id . a t 9 .
1 0 6 . Id . a t 1 4 .
1 0 7 . Id . a t 1 7 – 1 8 .
F o r Ju stic e S c a lia , th e in c o m p e te n c e a n d u su r p a tio n e n ta ile d

b y su c h p u r p o siv e m e th o d s o f sta tu to r y c o n str u c tio n a r e v iv id ly il-
lu str a te d b y th e u se o f le g isla tiv e h isto r y to a sc e r ta in th e in te n t o f
th e le g isla tu r e . T h o u g h th e u se o f su c h m a te r ia ls is “ r e la tiv e ly
n e w ,” J u s tic e S c a lia s ta te s th a t “ [ i] n th e p a s t fe w d e c a d e s . . . w e
h a v e d e v e lo p e d a le g a l c u ltu r e in w h ic h la w y e r s r o u tin e ly — a n d I d o
m e a n r o u tin e ly — m a k e n o d istin c tio n b e tw e e n w o r d s in th e te x t o f
a s ta tu te a n d w o r d s in its le g is la tiv e h is to r y .” 1 0 8 A s a n e x a m p le o f
th e h e ig h ts to w h ic h le g isla tiv e h isto r y h a s r ise n , Ju stic e S c a lia c ite s
a p a ssa g e fr o m a S u p r e m e C o u r t b r ie f th a t sta te d : “ U n fo r tu n a te ly ,
th e le g isla tiv e d e b a te s a r e n o t h e lp fu l. T h u s, w e tu r n to th e o th e r
g u id e p o s t in th is d iffic u lt a r e a , s ta tu to r y la n g u a g e .” 1 0 9
J u s tic e S c a lia ’s o b je c tio n s to th e u s e o f le g is la tiv e h is to r y g o b e -
y o n d h is r e je c tio n o f le g is la tiv e in te n t a s th e o b je c t o f s ta tu to r y c o n -
s tr u c tio n .1 1 0 A s J u s tic e S c a lia o b s e r v e s , m o s t m e m b e r s o f C o n g r e s s
d o n o t a tte n d th e flo o r d e b a te s o r r e a d , m u c h le ss h a v e a h a n d in
a u th o r in g , c o m m itte e r e p o r ts .1 1 1 A lth o u g h m e m b e r s o f C o n g r e s s
a lso m ig h t n o t h a v e r e a d th e sta tu te o r k n o w its d e ta ils, th e r e is a n
im p o r ta n t d iffe r e n c e b e tw e e n th e d o c u m e n ts in th e le g isla tiv e h is-
to r y a n d te x t o f th e sta tu te . W h e th e r o r n o t r e a d , th e la tte r , h a v in g
b e e n e n a c te d b y C o n g r e ss, is th e la w . T h e le g isla tiv e h isto r y h a s n o
su c h p r o v e n a n c e — r a th e r , a n y c la im to a u th o r ity it h a s d e p e n d s
u p o n “ th e a ssu m p tio n th a t it w a s th e b a sis fo r th e [ c o n g r e ssio n a l]
h o u s e ’s v o te a n d th u s r e p r e s e n ts th e h o u s e ’s ‘in te n t.’ ” 1 1 2 E v e n
m o r e tr o u b lin g th a n th e le g isla to r s’ g e n e r a l in a tte n tiv e n e ss is th e
r o le p la y e d b y c e r ta in p a r tie s in g e n e r a tin g th e le g isla tiv e h isto r y .
B e c a u s e in te r e s te d p a r tie s e x p e c t th a t ju d g e s w ill lo o k to it, lo b b y is t-
la w y e r s a n d m e m b e r s o f C o n g r e ss r o u tin e ly tr y to p la n t la n g u a g e in
th e d e b a te s a n d r e p o r ts to in flu e n c e fu tu r e ju d ic ia l o u tc o m e s w h e n
th e y a r e u n a b le to g a r n e r th e v o te s n e c e ssa r y to g e t th e sa m e la n -
g u a g e in th e s ta tu te ’s te x t.1 1 3 T h u s , th e n a tu r e o f m u c h le g is la tiv e
h isto r y h a s c h a n g e d fr o m its tr a d itio n a l r o le o f in fo r m in g o r p e r -
su a d in g th e le g isla tu r e , a n d in th is se n se a r g u a b ly r e fle c tin g a so r t
1 0 8 . Id . a t 3 1 .
1 0 9 . Id . a t 3 1 ( q u o tin g B r ie f fo r P e titio n e r a t 2 1 , Je tt v . D a lla s In d e p . S c h .
D is t., 4 9 1 U .S . 7 0 1 ( 1 9 8 9 ) ( N o . 8 7 -2 0 8 4 ) , q u o te d in G r e e n v . B o c k L a u n d r y M a c h in e
C o ., 4 9 0 U .S . 5 0 4 , 5 3 0 ( 1 9 8 9 ) ( S c a lia , J ., c o n c u r r in g ) ) ( in te r n a l q u o ta tio n m a r k s
o m itte d ) .
1 1 0 . Id . a t 3 1 .
1 1 1 . S ee id . a t 3 2 , 3 4 .
1 1 2 . Id . a t 3 5 .
1 1 3 . S ee id . a t 3 4 .
o f “ in te n t” o f th e le g isla tu r e , to in fo r m in g a n d p e r su a d in g th e
ju d ic ia r y .1 1 4
F in a lly , Ju stic e S c a lia n o te s th a t le g isla tiv e h isto r y d o e s n o t sim -
p ly p r o v id e o n e m o r e w a y , in a d d itio n to c a n o n s o f c o n str u c tio n
a n d a ll th e o th e r in te r p r e ta tiv e d e v ic e s th a t a r e su sc e p tib le to m a -
n ip u la tio n , fo r ju d g e s to s u b s titu te th e ir o w n w ill fo r th a t o f th e
le g is la tu r e .1 1 5 L e g is la tiv e h is to r y is p a r tic u la r ly p e r n ic io u s b e c a u s e
it is u n iq u e ly m a n ip u la b le .1 1 6 A s J u s tic e S c a lia p u ts it, “ [ i] n a n y m a -
jo r p ie c e o f le g is la tio n , th e le g is la tiv e h is to r y is e x te n s iv e , a n d th e r e
is so m e th in g fo r e v e r y o n e . A s Ju d g e H a r o ld L e v e n th a l u se d to sa y ,
th e tr ic k is to lo o k o v e r th e h e a d s o f th e c r o w d a n d p ic k o u t y o u r
fr ie n d s .” 1 1 7 T h is m a n ip u la b ility is e x a c e r b a te d b y th e a b s e n c e o f
r u le s fo r a ssig n in g w e ig h t to v a r io u s p ie c e s o f le g isla tiv e h isto r y .
W h ile a n in te r p r e ta tio n o f th e le g isla tiv e h isto r y c a n fr e q u e n tly b e
c o u n te r e d b y a c o n tr a r y in te r p r e ta tio n u sin g d iffe r e n t m a te r ia l,
r a r e ly c a n it b e c o n c lu s iv e ly r e fu te d .1 1 8
H e n c e , in w h a t so m e c o m m e n ta to r s c a ll th e m o st d istin c tiv e
fe a tu r e o f Ju stic e S c a lia ’s m o d e l o f sta tu to r y c o n str u c tio n , Ju stic e
S c a lia m a in ta in s th a t “ it is tim e to c a ll a n e n d to a b r ie f a n d fa ile d
e x p e r im e n t” in w h ic h le g isla tiv e h isto r y h a s b e e n u se d to d e te r m in e
th e le g is la tu r e ’s in te n t.1 1 9 J u s tic e S c a lia n o te s th a t h e h a s o p p o s e d
th e u s e o f le g is la tiv e h is to r y fo r s o m e tim e n o w ,1 2 0 a n d if th e a r g u -
m e n ts a lr e a d y a d v a n c e d w e r e n o t e n o u g h , a d d s a n o th e r r e a so n fo r
r e je c tin g r e lia n c e o n le g is la tiv e h is to r y : it w o u ld s a v e a ll p a r tie s a n
e n o r m o u s a m o u n t o f tim e a n d e x p e n s e .1 2 1
T h e n e w te x tu a list a p p r o a c h h a s, o f c o u r se , p r o b le m s a s w e ll.
S o m e o f th e lim ita tio n s o f b o th th e p u r p o siv e a n d n e w te x tu a list
a p p r o a c h e s a r e illu str a te d b y th e fo llo w in g c a se .
III.
G R E E N V . B O C K L A U N D R Y M A C H IN E C O .
I n G r e e n v . B o c k L a u n d r y M a c h in e C o .,1 2 2 a d e s ig n d e fe c t c a s e in
w h ic h th e p la in tiff s u e d th e m a n u fa c tu r e r o f a m a c h in e th a t in ju r e d
h im , th e d e fe n d a n t so u g h t to im p e a c h th e te stify in g p la in tiff w ith
1 1 4 . Id .
1 1 5 . Id . a t 3 6 .
1 1 6 . S ee id .
1 1 7 . Id .
1 1 8 . Id . a t 3 5 – 3 6 .
1 1 9 . Id . a t 3 6 .
1 2 0 . S ee id .
1 2 1 . Id . a t 3 6 – 3 7 .
1 2 2 . 4 9 0 U .S . 5 0 4 ( 1 9 8 9 ) .
p r io r fe lo n y c o n v ic tio n s. T h e S u p r e m e C o u r t w a s th u s fa c e d w ith
th e issu e o f w h e th e r th e o ld v e r sio n o f F e d e r a l R u le o f E v id e n c e
6 0 9 ( a ) 1 2 3 m a n d a te d th a t a ju d g e a d m it e v id e n c e o f p r io r fe lo n y
c o n v ic tio n s to im p e a c h a p la in tiff te stify in g in a c iv il c a se , e v e n if
th e p r e ju d ic ia l v a lu e o f th e e v id e n c e o u tw e ig h e d its p r o b a tiv e v a lu e
s u c h th a t, in th e a b s e n c e o f a m a n d a to r y r u le , a ju d g e w o u ld e x e r -
c ise h is d isc r e tio n to e x c lu d e th e e v id e n c e o f th e p r io r c o n v ic -
tio n s .1 2 4 T h e lo w e r c o u r ts h a d in te r p r e te d th e R u le to m a n d a te
a d m issio n o f th e p la in tiff’s p r io r fe lo n y c o n v ic tio n s fo r b u r g la r y a n d
c o n sp ir a c y to c o m m it b u r g la r y to im p e a c h th e p la in tiff’s te stim o n y
c o n c e r n in g th e s a fe ty o f th e m a c h in e th a t in ju r e d h im , e v e n
th o u g h th is e v id e n c e w a s lik e ly o n ly m a r g in a lly p r o b a tiv e , b u t
h ig h ly p r e ju d ic ia l.1 2 5
T h e p la in te x t o f th e R u le p e r m itte d p r o b a tiv e v e r s u s p r e ju d i-
c ia l w e ig h in g o n ly a s to th e e ffe c t o f th e im p e a c h in g e v id e n c e o n
“ th e d e fe n d a n t.” O f c o n c e r n to th e C o u r t w a s th e d iffe r e n t tr e a t-
m e n t a c c o r d e d b y th e R u le to th e o p p o sin g p a r tie s in a c iv il c a se .
In a d d itio n to c r im e s o f d ish o n e sty o r fa lse sta te m e n t ( w h e th e r m is-
d e m e a n o r s o r fe lo n ie s ) , u n d e r th e R u le ’s p la in te r m s , a ju d g e is
r e q u ir e d to a d m it e v id e n c e o f a ll o th e r p r io r fe lo n ie s to im p e a c h
p la in tiff w itn e s s e s b u t n o t d e fe n d a n t w itn e s s e s u n le s s th e ju d g e
1 2 3 . R u le 6 0 9 ( a ) fo r m e r ly p r o v id e d a s fo llo w s:
F o r th e p u r p o se o f a tta c k in g th e c r e d ib ility o f a w itn e ss, e v id e n c e th a t th e
w itn e ss h a s b e e n c o n v ic te d o f a c r im e sh a ll b e a d m itte d . . . if th e c r im e ( 1 )
w a s p u n ish a b le b y d e a th o r im p r iso n m e n t in e x c e ss o f o n e y e a r . . . a n d th e
c o u r t d e te r m in e s th a t th e p r o b a tiv e v a lu e o f a d m ittin g th is e v id e n c e o u t-
w e ig h s its p r e ju d ic ia l e ffe c t to th e d e fe n d a n t, o r ( 2 ) in v o lv e d d is h o n e s ty o r
fa lse sta te m e n t . . . .
F E D . R . E V I D . 6 0 9 ( a ) ( 1 9 8 9 ) ( a m e n d e d 1 9 9 0 ) , q u o t e d i n G r e e n , 4 9 0 U .S . a t 5 0 9 .
1 2 4 . S h o r tly a fte r th e d e c isio n in G reen , th e S u p r e m e C o u r t n o tifie d C o n g r e ss
in Ja n u a r y 1 9 9 0 th a t it h a d a d o p te d a n a m e n d m e n t to R u le 6 0 9 ( a ) , p r o v id e d th a t
C o n g r e ss d id n o t d isa p p r o v e o f th e c h a n g e b y sta tu te . T h e a m e n d e d R u le 6 0 9 ( a )
n o w re a d s:
F o r p u r p o se s o f a tta c k in g th e c r e d ib ility o f a w itn e ss,
( 1 ) e v id e n c e th a t a w itn e ss o th e r th a n a n a c c u se d h a s b e e n c o n v ic te d o f a
c r im e s h a ll b e a d m itte d , s u b je c t to R u le 4 0 3 , if th e c r im e w a s p u n is h a b le
b y d e a th o r im p r iso n m e n t in e x c e ss o f o n e y e a r u n d e r th e la w u n d e r
w h ic h th e w itn e ss w a s c o n v ic te d , a n d e v id e n c e th a t a n a c c u se d h a s b e e n
c o n v ic te d o f su c h a c r im e sh a ll b e a d m itte d if th e c o u r t d e te r m in e s th a t
th e p r o b a tiv e v a lu e o f a d m ittin g th is e v id e n c e o u tw e ig h s its p r e ju d ic ia l
e ffe c t to th e a c c u se d ; a n d
( 2 ) e v id e n c e th a t a n y w itn e ss h a s b e e n c o n v ic te d o f a c r im e sh a ll b e a d m itte d
if it in v o lv e d d ish o n e sty o r fa lse sta te m e n t, r e g a r d le ss o f th e p u n ish m e n t.
F E D . R . E V I D . 6 0 9 ( a ) ; s e e E S K R I D G E & F R IC K E Y , su p ra n o te 3 , a t 6 0 3 . R
1 2 5 . G r e e n , 4 9 0 U .S . a t 5 0 9 .
fin d s th a t th e p r o b a tiv e v a lu e o f th a t e v id e n c e o u tw e ig h s its p r e ju d i-

c ia l e ffe c t to th e d e fe n d a n t.1 2 6
W r itin g fo r th e C o u r t, Ju stic e S te v e n s b e g a n h is a n a ly sis o f R u le
6 0 9 ( a ) b y n o tin g th a t th e p la in te x t o f th e R u le r e su lte d in a n u n a c -
c e p ta b le o u tc o m e in c iv il c a se s a n d h e n c e “ c a n ’t m e a n w h a t it
sa y s” 1 2 7 : “ N o m a tte r h o w p la in th e te x t o f th e R u le m a y b e , w e c a n -
n o t a c c e p t a n in te r p r e ta tio n th a t w o u ld d e n y a c iv il p la in tiff th e
sa m e r ig h t to im p e a c h a n a d v e r sa r y ’s te stim o n y th a t it g r a n ts to a
c iv il d e fe n d a n t.” 1 2 8 W h ile th is a s y m m e tr y fa v o r in g th e d e fe n s e
m ig h t m a k e se n se in c r im in a l a c tio n s, w h e r e c e r ta in sp e c ia l p r o te c -
tio n s a r e a ffo r d e d d e fe n d a n ts, it d id n o t m a k e se n se in th e c o n te x t
o f a c iv il a c tio n . H o w e v e r , n o th in g in th e te x t o f th e R u le d r e w a
d istin c tio n b e tw e e n c r im in a l a n d c iv il c a se s. F in d in g th e p la in te x t
w a n tin g , Ju stic e S te v e n s e x h a u stiv e ly r e v ie w e d th e le g isla tiv e h isto r y
le a d in g to th e e n a c tm e n t o f R u le 6 0 9 a s la w .1 2 9 T r a c in g th e d e v e l-
o p m e n t o f R u le 6 0 9 fr o m its c o m m o n la w a n te c e d e n ts, h e e x -
a m in e d v e r sio n s o f th e R u le p r o p o se d b y th e A m e r ic a n L a w
In stitu te a n d th e A m e r ic a n B a r In stitu te ; th e n u m e r o u s d r a ft r u le s
p r o p o se d b y th e H o u se , S e n a te , a n d Ju d ic ia r y C o m m itte e in th e
p r o c e ss o f d e v e lo p in g th e R u le ; a n d c o m m e n ts o n th e se d r a fts in
flo o r d e b a te s a n d c u lle d fr o m H o u se , S e n a te , S p e c ia l, a n d C o n fe r -
e n c e C o m m itte e r e p o r ts .1 3 0
O n th e b a sis o f th is e x te n siv e r e v ie w , Ju stic e S te v e n s c o n c lu d e d
th a t th e R u le ’s sile n c e a s to its a p p lic a b ility in c iv il c a se s w a s th e
r e su lt n o t o f le g isla tiv e o v e r sig h t, b u t r a th e r o f C o n g r e ss’s in te n t to
c o n f in e p r e ju d ic e -w e ig h in g t o c r im in a l d e f e n d a n t s . F ir s t , J u s t ic e
S te v e n s c ite d a r u le o f c o n str u c tio n fo r th e p r o p o sitio n th a t th e
p a r ty c la im in g th a t le g isla tio n a lte r e d se ttle d la w m u st sh o w th a t th e
le g is la t u r e in t e n d e d s u c h a c h a n g e .1 3 1 H e r e , w h e r e t h e p r e -R u le
w e ig h t o f a u th o r ity m a n d a te d a d m issib ility a n d d r e w n o d istin c tio n
b e tw e e n c iv il a n d c r im in a l c a se s, th e le g isla tu r e ’s fa ilu r e to m a k e
th is d istin c tio n c o u ld n o t b e u n d e r sto o d to sh o w th a t “ C o n g r e ss in -
te n d e d sile n tly to o v e r h a u l th e la w o f im p e a c h m e n t in th e c iv il c o n -
te x t.” 1 3 2 S e c o n d , to th e e x te n t th a t v a r io u s d r a fts a n d le g is la to r s
d istin g u ish e d b e tw e e n c iv il a n d c r im in a l tr ia ls, Ju stic e S te v e n s r e a -
1 2 6 . Id .
1 2 7 . Id . a t 5 1 1 ( q u o tin g C a m p b e ll v . G r e e r , 8 3 1 F .2 d 7 0 0 , 7 0 3 ( 7 th C ir . 1 9 8 7 ) )
( in te r n a l q u o ta tio n m a r k s o m itte d ) .
1 2 8 . Id . a t 5 1 0 .
1 2 9 . Id . a t 5 1 1 .
1 3 0 . Id . a t 5 1 1 – 2 1 .
1 3 1 . Id . a t 5 2 1 ( c itin g M id la n tic N a t’l B a n k v . N .J . D e p ’t o f E n v tl. P r o t., 4 7 4
U .S . 4 9 4 , 5 0 2 ( 1 9 8 6 ) ) .
1 3 2 . Id . a t 5 2 2 .
so n e d , th e y d id so so le ly to p r o te c t c r im in a l d e fe n d a n ts fr o m u n d u e
p r e ju d ic e .1 3 3 F in a lly , if C o n g r e s s h a d w a n te d to p r o te c t c iv il d e -
fe n d a n ts, it c o u ld h a v e e a sily d o n e so g iv e n th e v a r io u s d r a fts o f th e
p r o p o s e d R u le th a t p r o te c te d c iv il a s w e ll a s c r im in a l d e fe n d a n ts .1 3 4
A fte r fu r th e r fin d in g th a t R u le 6 0 9 ( a ) ( 1 ) ’s sp e c ific c o m m a n d o v e r -
r o d e R u le 4 0 3 ’s g e n e r a l p r o v isio n o f d isc r e tio n a r y a u th o r ity to
w e ig h a d m is s ib ility fo r u n fa ir p r e ju d ic e , th e m a jo r ity c o n c lu d e d
th a t a d istr ic t c o u r t d id n o t h a v e d isc r e tio n to r e fu se to a d m it e v i-
d e n c e o f p r io r fe lo n y c o n v ic tio n s in a c iv il c a se , w h e th e r o r n o t it
u n fa ir ly p r e ju d ic e d th e p la in tiff o r d e fe n d a n t, a n d it a ffir m e d th e
in te r p r e ta tio n o f th e lo w e r c o u r ts .1 3 5
Ju stic e S c a lia c o n c u r r e d in a se p a r a te o p in io n . G iv e n th e a b -
su r d a n d p r o b a b ly u n c o n stitu tio n a l r e su lt p r o d u c e d b y a lite r a l
r e a d in g o f th e sta tu te ’s p la in te x t, Ju stic e S c a lia a c c e p te d a s p r o p e r
c o n su lt[ in g ] a ll p u b lic m a te r ia ls, in c lu d in g th e b a c k g r o u n d o f
R u le 6 0 9 ( a ) ( 1 ) a n d th e le g isla tiv e h isto r y o f its a d o p tio n , to
v e r ify th a t w h a t se e m s to u s a n u n th in k a b le d isp o sitio n [ d iffe r -
e n tia tin g b e tw e e n p la in tiffs a n d d e fe n d a n ts in c iv il c a se s] w a s
in d e e d u n th o u g h t o f, a n d th u s to ju s tify a d e p a r tu r e fr o m th e
o r d in a r y m e a n in g o f th e w o r d “ d e fe n d a n t” in th e R u le .1 3 6
H o w e v e r , h e c h a s tis e d th e m a jo r ity o p in io n ’s u s e o f th e le g is la -
tiv e h isto r y to g o b e y o n d th is lim ite d r o le : “ A p p r o x im a te ly fo u r -
fifth s o f its su b sta n tiv e a n a ly sis is d e v o te d to e x a m in in g th e [ le g isla -
tiv e h isto r y ] w ith th e e v id e n t p u r p o se , n o t m e r e ly o f c o n fir m in g
th a t th e w o r d ‘d e fe n d a n t’ c a n n o t h a v e b e e n m e a n t lite r a lly , b u t o f
d e te r m in in g w h a t, p r e c is e ly , th e R u le d o e s m e a n .” 1 3 7
S u c h r e lia n c e w a s m isp la c e d , Ju stic e S c a lia r e a so n e d , b e c a u se
th e r e w a s n o r e a so n to b e lie v e th a t “ a n y m o r e th a n a h a n d fu l o f th e
M e m b e r s o f C o n g r e ss w h o e n a c te d R u le 6 0 9 ” w e r e a w a r e o f its
e v o lu tio n o r v o te d o n th e b a sis o f th e v a r io u s r e p o r ts a n d sta te -
m e n ts r e fe r e n c e d b y th e m a jo r ity in its s u r v e y o f th e le g is la tiv e h is -
to r y .1 3 8 I n s te a d , th e m e a n in g o f te r m s in s ta tu te s s h o u ld b e
d e te r m in e d
n o t o n th e b a sis o f w h ic h m e a n in g c a n b e sh o w n to h a v e b e e n
u n d e r sto o d b y a la r g e r h a n d fu l o f th e M e m b e r s o f C o n g r e ss;
b u t r a th e r o n th e b a sis o f w h ic h m e a n in g is ( 1 ) m o st in a c c o r d
w ith c o n te x t a n d o r d in a r y u sa g e , a n d th u s m o st lik e ly to h a v e
1 3 3 . Id . a t 5 2 2 – 2 3 .
1 3 4 . Id . a t 5 2 3 .
1 3 5 . Id . a t 5 2 7 .
1 3 6 . Id . a t 5 2 7 ( S c a lia , J ., c o n c u r r in g ) .
1 3 7 . Id . a t 5 2 7 – 2 8 .
1 3 8 . Id . a t 5 2 8 .
b e e n u n d e r s to o d b y th e w h o le C o n g r e s s w h ic h v o te d o n th e
w o r d s o f th e s ta tu te ( n o t to m e n tio n th e c itiz e n s s u b je c t to it) ,
a n d ( 2 ) m o st c o m p a tib le w ith th e su r r o u n d in g b o d y o f la w in to
w h ic h th e p r o v isio n m u st b e in te g r a te d — a c o m p a tib ility
w h ic h , b y a b e n ig n fic tio n , w e a ssu m e C o n g r e ss a lw a y s h a s in
m in d .1 3 9
A p p ly in g th is m e th o d , a n d a g r e e in g w ith th e m a jo r ity th a t R u le
4 0 3 ’s p r e ju d ic e -w e ig h in g w a s s u b o r d in a t e t o t h e c o m m a n d o f R u le
6 0 9 , h e liste d th e p o ssib le in te r p r e ta tio n s o f “ d e fe n d a n t” in R u le
6 0 9 a n d p ic k e d th e o n e th a t h e b e lie v e d d id “ th e le a st v io le n c e to
th e te x t.” 1 4 0 A s u s e d in R u le 6 0 9 , th e te r m “ d e fe n d a n t” c o u ld m e a n
( 1 ) a ll th e p a r tie s in a c iv il o r c r im in a l c a se ( c iv il p la in tiff a n d d e -
fe n d a n t, c r im in a l d e fe n d a n t a n d p r o se c u to r ) ; ( 2 ) b o th d e fe n d a n t
a n d p la in tiff in a c iv il c a se a n d a c r im in a l d e fe n d a n t b u t n o t th e
p r o s e c u tio n ; o r ( 3 ) ju s t a c r im in a l d e fe n d a n t. T h e la s t a lte r n a tiv e
d id th e le a st v io le n c e to th e te x t, a n d h e n c e w a s p r e fe r a b le , b e c a u se
e v e n th o u g h it “ a d d s a q u a lific a tio n th a t th e w o r d ‘d e fe n d a n t’ d o e s
n o t c o n ta in . . . , u n lik e th e o th e r s, [ it] d o e s n o t g iv e th e w o r d a
m e a n in g ( ‘p la in tiff’ o r ‘p r o s e c u to r ’) it s im p ly w ill n o t b e a r .” 1 4 1 J u s -
tic e S c a lia fu r th e r r e a so n e d th a t th e q u a lific a tio n “ c r im in a l” b e fo r e
th e w o r d “ d e fe n d a n t” c o u ld e a sily h a v e b e e n in a d v e r te n tly d r o p p e d
a n d w a s c o n siste n t w ith th e sp e c ia l p r o te c tio n s a ffo r d e d to c r im in a l
d e fe n d a n ts b y th e la w a n d th e F e d e r a l R u le s o f E v id e n c e .1 4 2
A fte r r e so lv in g th e le g a l issu e s u n d e r r e v ie w , Ju stic e S c a lia
b r ie fly e x p la in e d w h y h e d e c lin e d to jo in th e m a jo r ity o p in io n . B y
g iv in g su c h p r o m in e n c e to le g isla tiv e h isto r y in its a n a ly sis, th e m a -
jo r ity r a n th e r is k o f “ p r o d u c in g a le g a l c u ltu r e in w h ic h , w h e n
c o u n se l a r g u in g b e fo r e u s a sse r t th a t ‘C o n g r e ss h a s sa id ’ so m e -
th in g , th e y n o w fr e q u e n tly m e a n , b y ‘C o n g r e s s ,’ a c o m m itte e r e -
p o r t.” 1 4 3 S u c h r e lia n c e o n le g is la tiv e h is to r y , J u s tic e S c a lia
c o n tin u e d , th r e a te n e d to tu r n th e ta sk o f sta tu to r y c o n str u c tio n o n
its h e a d .
J u s tic e B la c k m u n , in a d is s e n t jo in e d b y J u s tic e s B r e n n a n a n d
M a r sh a ll, r e a c h e d a d iffe r e n t o u tc o m e b y r e ly in g , in p a r t, o n th e
le g is la tiv e h is to r y . A lth o u g h a g r e e in g w ith th e m a jo r ity a n d c o n c u r -
r e n c e th a t R u le 6 0 9 c a n n o t m e a n w h a t it sa y s, Ju stic e B la c k m u n
a r g u e d th a t th e “ b e tte r in te r p r e ta tio n ” o f th e R u le w o u ld e x te n d
1 3 9 . Id .
1 4 0 . Id . a t 5 2 9 .
1 4 1 . Id .
1 4 2 . Id .
1 4 3 . Id . a t 5 3 0 .
t h e p r o t e c t io n s o f p r e ju d ic e -w e ig h in g t o a n y p a r t y .1 4 4 A c c o r d in g t o
th e d isse n t, a p p ly in g th e p r o te c tio n s o f th e R u le to a ll p a r tie s w o u ld
p r e v e n t “ u n ju s t r e s u lts ” in th e in s ta n t c a s e a n d o th e r s “ u n til R u le
6 0 9 ( a ) is r e p a ir e d , a s it m u s t b e ,” a n d w o u ld a v o id th e “ ir r a tio n a lity
a n d u n fa ir n e ss” o f th e m a jo r ity ’s a n d c o n c u r r e n c e ’s
in te r p r e ta tio n .1 4 5
In h is a n a ly sis, Ju stic e B la c k m u n d ism isse d m o st o f th e le g isla -
tiv e h is to r y r e lie d u p o n b y th e m a jo r ity o n th e g r o u n d th a t it w a s
g e n e r a te d in c o n n e c tio n w ith r u le s o r v e r sio n s o f th e R u le th a t w e r e
n o t a d o p te d .1 4 6 T h e o n ly r e le v a n t p ie c e o f le g is la tiv e h is to r y , a c -
c o r d in g to th e d isse n t, w a s th e r e p o r t o f th e C o n fe r e n c e C o m m itte e
th a t h a m m e r e d o u t th e v e r sio n o f R u le 6 0 9 th a t w a s e n a c te d in to
la w .1 4 7 T h o u g h th a t r e p o r t s e e m e d to s p e a k o f p r o te c tin g o n ly
c r im in a l d e fe n d a n ts a g a in s t th e p r e ju d ic ia l e ffe c t o f e v id e n c e o f
p r io r c o n v ic tio n s , a n d th u s a p p e a r e d to s u p p o r t th e m a jo r ity ’s in -
te r p r e ta tio n , Ju stic e B la c k m u n fo u n d th e r e p o r t to b e a s a m b ig u o u s
a n d u n r e lia b le a s th e R u le ’s te x t.1 4 8 T h u s , h e p r e fe r r e d “ to r e ly o n
th e u n d e r ly in g r e a so n in g o f th e R e p o r t, r a th e r th a n o n its u n fo r tu -
n a te c h o ic e o f w o r d s .” 1 4 9 B e c a u s e e v id e n c e o f p r io r c o n v ic tio n s
th r e a te n e d to p r e ju d ic e a ll p a r tie s in a ll c a s e s , J u s tic e B la c k m u n
r e a d th e te r m s “ p r e ju d ic e to d e fe n d a n t” to m e a n “ p r e ju d ic e to a
p a r ty .” 1 5 0 I n s e e k in g to g iv e e ffe c t to th e u n d e r ly in g in te n t o f th e
le g isla tu r e , th e d isse n t sp e c ific a lly fa u lte d Ju stic e S c a lia ’s e ffo r ts to
a d o p t a r e a d in g o f “ d e fe n d a n t” th a t d id th e le a st “ v io le n c e ” to th e
te x t. T h o u g h Ju stic e S c a lia ’s r e a d in g d id th e le a st “ v io le n c e ” in th e
se n se o f a d d in g o r d e le tin g w o r d s, Ju stic e B la c k m u n n o te d , h is a n d
th e m a jo r ity ’s r e a d in g “ d o e s v io le n c e to th e lo g ic o f th e o n ly r a tio -
n a le M e m b e r s o f C o n g r e s s o ffe r e d fo r th e R u le th e y a d o p te d .” 1 5 1
G reen is a h a r d c a se th a t e x e m p lifie s b o th th e te x tu a list a n d th e
p u r p o siv ist a p p r o a c h e s, w h ile h ig h lig h tin g so m e o f th e ir d iffic u l-
tie s. A s th is c a se sh o w s, so m e sta tu te s a r e so p o o r ly d r a fte d a n d le a d
to r e su lts so u n a c c e p ta b le th a t e v e n a te x tu a list m u st a b a n d o n th e
te x t. B u t Ju stic e S c a lia , b e y o n d o b se r v in g th a t th e lite r a l m e a n in g
1 4 4 . Id . a t 5 3 0 – 3 1 ( B la c k m u n , J ., d is s e n tin g ) .
1 4 5 . Id . a t 5 3 1 .
1 4 6 . Id .
1 4 7 . Id .
1 4 8 . Id .
1 4 9 . Id .
1 5 0 . Id . a t 5 3 3 .
1 5 1 . Id .; s e e a ls o id . a t 5 3 2 – 3 3 ( r e ly in g o n th e R e p o r t o f th e C o n fe r e n c e C o m -
m itte e to c o n c lu d e th a t C o n g r e ss w a s c o n c e r n e d w ith situ a tio n s w h e r e th e u n d u ly
p r e ju d ic ia l n a tu r e o f a w itn e ss’s p a st c o n v ic tio n s m ig h t im p r o p e r ly in flu e n c e th e
o u tc o m e o f th e tr ia l) .
o f th e te x t in th is c a se w a s u n a c c e p ta b le a n d p r o b a b ly u n c o n stitu -
tio n a l, a d v a n c e s n o sp e c ific r u le s to p r o v id e g u id a n c e a s to w h e n a
sta tu te ’s lite r a l m e a n in g is so u n a c c e p ta b le a s to w a r r a n t d e p a r tu r e .
T h e a b s e n c e o f s u c h r u le s o p e n s th e d o o r fo r ju d ic ia l d is c r e tio n .
In te r p r e tin g th e sta tu te in th e Ju d g e L e a r n e d H a n d o r H a r t a n d
S a c k s tr a d itio n s, a s Ju stic e S te v e n s a n d Ju stic e B la c k m u n d o , a r g u a -
b ly fa r e s e v e n w o r se in th is c a se b e c a u se th e a p p r o a c h e s y ie ld tw o
r e su lts. A lth o u g h b o th S te v e n s a n d B la c k m u n a tte m p t to a sc e r ta in
C o n g r e ss’s p u r p o se o r in te n t in e n a c tin g R u le 6 0 9 , th e y r e a c h o p -
p o site r e su lts b y c r e d itin g d iffe r e n t p a r ts o f th e le g isla tiv e h isto r y
a n d r e ly in g o n d iffe r e n t m a x im s o f sta tu to r y c o n str u c tio n . Ju stic e
B la c k m u n sta te s in d isse n t th a t h e “ p r e fe r [ s] to r e ly o n th e u n d e r ly -
in g r e a so n in g ” 1 5 2 e x tr a p o la te d fr o m th e C o n fe r e n c e C o m m itte e r e -
p o r t, b u t, in lig h t o f th e lo n g h isto r y o f th e R u le a n d c o n flic tin g
le g is la tiv e h is to r y , J u s tic e S te v e n s ’s m a jo r ity o p in io n c u ts th e o th e r
w a y .
A fte r r e a d in g G reen , o n e is le ft q u e stio n in g w h e th e r th e r e is
r e a lly a n y a sc e r ta in a b le c o n g r e ssio n a l p u r p o se o r in te n t. M o r e o v e r ,
b y p la c in g su c h a n e m p h a sis o n r e a c h in g th e r ig h t r e su lt, a n d so
lig h tly d ism issin g th e c o n tr a r y e v id e n c e in b o th th e te x t a n d th e
le g isla tiv e h isto r y , Ju stic e B la c k m u n ’s d isse n t a p p e a r s w illfu l a n d r e -
su lts d r iv e n . S o m e o n e a tte m p tin g to d e fe n d th e H a r t a n d S a c k s
a p p r o a c h c o u ld d e n y th a t Ju stic e B la c k m u n ’s o p in io n a c tu a lly a p -
p lie d it. T h is d e fe n se m ig h t d e sc r ib e Ju stic e S te v e n s a s u sin g th e
le g isla tiv e h isto r y in a n a tte m p t to im a g in a tiv e ly r e c o n str u c t th e
c o n g r e ssio n a l in te n t, w h ile a sse r tin g th a t Ju stic e B la c k m u n m e r e ly
d r e s s e s u p a r e s u lt -o r ie n t e d d e c is io n in t h e c lo t h e s o f p u r p o s iv is m
to a d d le g itim a c y . S im ila r ly , th e a d v o c a te o f p u r p o siv ism m ig h t d e -
sc r ib e Ju stic e S c a lia ’s c h a r a c te r iz a tio n s o f th e d iffe r e n t c h o ic e s a s
sta c k in g th e d e c k . If Ju stic e S c a lia h a d fr a m e d th e c h o ic e a s b e -
tw e e n b r o a d e n in g “ d e fe n d a n t” to “ p a r ty ,” o r “ d e fe n d a n t” to “ c r im i-
n a l d e fe n d a n t,” th e c o n c lu s io n th a t th e la tte r r e a d in g d o e s le s s
v io le n c e to th e la n g u a g e w o u ld h a v e b e e n le ss str o n g . S till, in te r -
p r e tin g “ d e fe n d a n t” a s “ p a r ty ” ( su b stitu tin g a g e n e r a l n o u n fo r a
sp e c ific ) is a b ig g e r ste p th a n in te r p r e tin g “ d e fe n d a n t” a s “ c r im in a l
d e fe n d a n t” ( a d d in g a lim itin g m o d ifie r ) , a n d e v e n if Ju stic e B la c k -
m u n ’s d e c isio n c a n b e d ism isse d a s n o t tr u e p u r p o siv ism , it su g g e sts
th e e a se w ith w h ic h th e Ju d g e L e a r n e d H a n d o r H a r t a n d S a c k s
fr a m e w o r k c a n b e u s e d to ju s tify ju d ic ia l p o lic y p r e fe r e n c e s w e ll
a p a r t fr o m a n y c h o ic e s th a t C o n g r e ss a c tu a lly m a d e . W h e n fa c e d
1 5 2 . Id . a t 5 3 1 .
w ith d iffic u lt c a se s su c h a s th is o n e , w h e r e tr a d itio n a lly e sp o u se d

m e th o d s fa il, h o w a r e ju d g e s to p r o c e e d ?
IV .
O B S E R V A T IO N S
A r e sp o n se to th e fo r e g o in g q u e stio n sh o u ld ta k e in to a c c o u n t
th e p r a c tic a l a s w e ll a s th e th e o r e tic a l is s u e s im p lic a te d in ju d g in g .
F o r m e , a n d I th in k m o s t ju d g e s , th e a c t o f ju d g in g is n o t a s ta tic
e n te r p r ise ; a lth o u g h I a m g u id e d b y c e r ta in d isc ip lin e s, th e se d isc i-
p lin e s a r e in fo r m e d b y a sk e p tic ism th a t a n y p a r tic u la r a p p r o a c h is
n e c e ssa r ily th e c o r r e c t o n e in a ll c a se s. In th e e n d , it is fa r e a sie r to
s a y w h a t ju d g e s s h o u ld n o t b e d o in g , a n d to a d h e r e to it, th a n to
p r e sc r ib e a p a r tic u la r m e th o d to b e in v a r ia b ly a p p lie d . G e n e r a l
r u le s a n d p r e fe r e n c e s, h o w e v e r d e e p ly h e ld , m u st r e ta in su ffic ie n t
p la y in th e jo in ts to w ith s ta n d th e d iffic u lt c a s e . T h u s it m a k e s
m o r e s e n s e to s p e a k o f ju d ic ia l te n d e n c ie s in s ta tu to r y in te r p r e ta -
tio n a n d to d isa sso c ia te o n e se lf fr o m th e id e a o f fix e d p r a c tic e s th a t
a r e in v a r ia b le fo r a ll tim e . A fte r d isc u ssin g c e r ta in p r a c tic a l c o n sid -
e r a tio n s in v o lv e d in sta tu to r y in te r p r e ta tio n , p r im a r ily in r e la tio n to
th e p r o p e r u se o f le g isla tiv e h isto r y , I w ill c o n c lu d e th is e ssa y b y
c o n s id e r in g th e o r e tic a l c o n c e r n s a b o u t th e r o le o f th e ju d g e in o u r
sy ste m o f g o v e r n a n c e th a t a r e in fo r m e d b y , a n d in fo r m , th o se p r a c -
tic a l c o n s id e r a tio n s . I n th e c o n te x t o f d is c u s s in g th e ju d g e ’s r o le , I
w ill a lso c o n sid e r so m e o f th e str e n g th s a n d w e a k n e sse s o f th e c o m -
p e tin g a p p r o a c h e s to sta tu to r y c o n str u c tio n .
A . P ra ctica l C o n sid era tio n s

In d e c id in g a q u e stio n o f sta tu to r y in te r p r e ta tio n in th e r e a l, a s
o p p o s e d to th e th e o r e tic a l, w o r ld , fe w ju d g e s a p p r o a c h th e in te r -
p r e tiv e ta sk a r m e d w ith a fix e d se t o f r ig id r u le s. In b r ie fs, th e p a r -
tie s m a k e a ll o f th e a r g u m e n ts th e y c a n th in k o f, w h e th e r b a se d o n
th e r e le v a n t c a s e la w , th e “ p la in te x t,” th e le g is la tiv e h is to r y , o r th e
sta tu te ’s u n d e r ly in g p u r p o se o r p u r p o se s in e ffe c tu a tin g a p o lic y o r
r e m e d ia tin g m is c h ie f.1 5 3 I h a v e d iffic u lty im a g in in g th a t a n y ju d g e ,
p r e se n te d w ith su c h a r g u m e n ts, w o u ld , fo r e x a m p le , sim p ly e v a lu -
a t e t h e s o -c a lle d p la in m e a n in g o f t h e s t a t u t e a n d t h e n s t o p r e a d in g
th e b r ie f. E v e n a ju d g e ’s s tr o n g e s t th e o r e tic a l in c lin a tio n s a r e te m -
p e r e d b y th e ju d g e ’s d e s ir e to a c c o r d a fa ir h e a r in g to th e p a r tie s ’
a r g u m e n ts a n d to b e o p e n to a ll c r e d ib le m a te r ia ls th a t m ig h t e n -
1 5 3 . A s o b se r v e d b y Ju d g e P o sn e r , p a r tie s o fte n d o n o t sta r t w ith th e la n g u a g e

o f a p a r tic u la r sta tu to r y te x t o r c o n stitu tio n a l p r o v isio n th a t th e c o u r t is b e in g
a sk e d to in te r p r e t. P O S N E R , su p ra n o te 7 1 , a t 2 7 7 – 7 9 . R
h a n c e th e ju d g e ’s u n d e r s ta n d in g o f th e c a s e . G e n e r a lly , w h e n a n
a p p e lla te ju d g e d e c id e s a c a s e , s o m e th in g lik e th e fo llo w in g h a p -
p e n s : ( 1 ) th e ju d g e r e a d s a ll h e c a n to tr y to u n d e r s ta n d a ll fa c e ts o f
th e la w a n d fa c ts p e r tin e n t to th e c a s e ; ( 2 ) th e ju d g e th in k s a b o u t
w h a t h e h a s r e a d , w e ig h in g th e a r g u m e n ts a n d m a te r ia ls b e fo r e
h im , d e c id in g w h a t th e a p p lic a b le la w is a n d h o w it a p p lie s to th e
fa c ts o f th e c a s e , a n d fo r m u la tin g in h is m in d a r e a s o n e d ju s tific a -
tio n fo r th e o u tc o m e ; a n d ( 3 ) th e ju d g e a r tic u la te s th e r e s u lts o f
th is p r o c e ss in a w r itte n , r e a so n e d o p in io n . In a c a se in v o lv in g sta t-
u to r y in te r p r e ta tio n , w h e n tr y in g to d e te r m in e th e m e a n in g o f a
s ta tu te , a ju d g e ’s m in d ty p ic a lly m o v e s b a c k a n d fo r th b e tw e e n te x t
a n d c o n te x t a s th e ju d g e c o n s id e r s a ll a v a ila b le a n d p e r s u a s iv e o r
b in d in g m a te r ia ls a t th e ju d g e ’s d is p o s a l, in c lu d in g a n y p r io r p r e c e -
d e n t. A s p a r t o f th is d y n a m ic , a ju d g e ty p ic a lly w ill c o n s id e r
w h e th e r th e le g isla tiv e h isto r y c a n b e h e lp fu l in d e c id in g th e issu e
a n d w h a t w e ig h t, if a n y , to g iv e it.
L e g isla tiv e h isto r y , e v e n th e m o st q u e stio n a b le le g isla tiv e h is-
to r y , is p a r t o f th e m ix o f m a te r ia ls b e fo r e th e ju d g e , a n d d iffe r e n t
ju d g e s w ill tr e a t it d iffe r e n tly . B e c a u s e o f th e p r o b le m s a s s o c ia te d
w ith le g isla tiv e h isto r y , in c lu d in g its u n r e lia b ility , m a n ip u la b ility ,
a n d la c k o f a u th o r ity a s la w , I h a v e c o m e to a tta c h v e r y little , o r n o ,
w e ig h t to it, b o th in d e c id in g c a se s a n d in r e ly in g u p o n it in p u b -
lish e d o p in io n s. B u t e v e n h e r e , h a r d a n d fa st r u le s a r e n o t e n tir e ly
r e lia b le . D e sp ite th e o b v io u s sh o r tc o m in g s o f le g isla tiv e h isto r y , I
se e n o r e a so n to c a te g o r ic a lly e x c lu d e it fr o m c o n sid e r a tio n in a ll
c a se s.
I t is im p o r ta n t to b e c le a r a b o u t ju s t w h a t u s e a ju d g e m a y
m a k e o f le g isla tiv e h isto r y . T h e r e is a sig n ific a n t d iffe r e n c e b e -
tw e e n u sin g le g isla tiv e h isto r y to d e r iv e a la r g e r sta tu to r y p u r p o se
th a t th e ju d g e m a y u s e to g u id e h is in te r p r e ta tio n o f a s p e c ific p r o -
v isio n a n d u sin g le g isla tiv e h isto r y to d ir e c tly d isc e r n th e m e a n in g
o f sp e c ific w o r d s u se d o r to r u le o u t o th e r m e a n in g s. A ssu m in g
th a t o n e c a n o v e r c o m e th e su b sta n tia l, o fte n fa ta l, p r o b le m s o f r e li-
a b ility a n d m a n ip u la b ility , th e fo r m e r u se su ffe r s fr o m th e fa c t th a t
th e le g is la tiv e h is to r y is n o t la w . H o w e v e r , w h e n a ju d g e lo o k s to
le g isla tiv e h isto r y to a ssist h is u n d e r sta n d in g o f w h a t th e le g isla to r s
m e a n t to sa y w h e n th e y u se d th e sp e c ific w o r d s in q u e stio n , h e is
u sin g le g isla tiv e h isto r y , a ssu m in g p r o b le m s o f r e lia b ility a n d m a -
n ip u la b ility c a n b e o v e r c o m e , to p e r fo r m a fu n c tio n sim ila r to th e
u se h e m a k e s o f p a r o l e v id e n c e to in te r p r e t a c o n tr a c t. Ju st a s it is
so m e tim e s h e lp fu l to lo o k to th e n e g o tia tin g a n d d r a ftin g h isto r y o f
a c o n tr a c t to u n d e r sta n d its a m b ig u o u s te r m s, it m a y b e h e lp fu l to
lo o k to th e d r a fts o f a sta tu te .
S u p p o se , fo r e x a m p le , th e le g isla tiv e h isto r y in G reen c o n ta in e d

a ll p r io r d r a fts o f th e p r o v isio n a t issu e , e a c h c o n ta in in g th e w o r d
“ c r im in a l” a s th e a n te c e d e n t o f “ d e fe n d a n t,” b u t n o e x p la n a tio n fo r
th e o m issio n o f “ c r im in a l” in th e fin a l v e r sio n . S u p p o se fu r th e r
th a t e v e r y d isc u ssio n o f th e p r o v isio n in c o m m itte e r e p o r ts u n i-
f o r m ly r e f e r e n c e d t h e a p p r o p r ia t e n e s s o f p r e ju d ic e -w e ig h in g in
c r im in a l c a se s b u t n o t in c iv il c a se s. S u c h a le g isla tiv e h isto r y w o u ld
str o n g ly su g g e st sc r iv e n e r ’s e r r o r a n d th a t th e le g isla tu r e in te n d e d
th e w o r d “ d e fe n d a n t” a s it a p p e a r e d in th e te x t to r e fe r o n ly to a
“ c r im in a l d e fe n d a n t.” I n th is e x a m p le , th e le g is la tiv e h is to r y w o u ld
s e r v e to in fo r m th e ju d g e a s to w h a t th e le g is la tu r e m e a n t to s a y b y
u sin g th e la n g u a g e th a t it d id , a s w e ll a s w h a t it d id n o t m e a n to
sa y — b u t it w o u ld n o t b e u se d to a ttr ib u te a la r g e r in te n t o r p u r p o se
in p a ssin g th e sta tu te .
I a lso d r a w a d istin c tio n b e tw e e n le g isla tiv e h isto r y a n d sta tu to ry
h isto r y . S ta tu to r y h isto r y is th e r e c o r d a n d r e su lts o f v o te s ta k e n ,
b ills p a sse d o r n o t p a sse d , a n d b ills sig n e d o r v e to e d . T h e se a r e a ll
o ffic ia l a c ts, p r o v id e d fo r in th e C o n stitu tio n . S u c h sta tu to r y h isto r y
a c c o u n ts fo r th e c o lle c tiv e a c tio n o f th e le g isla tu r e a n d th u s is m o r e
o b je c tiv e ly d e te r m in e d a n d le s s s u s c e p tib le to ju d ic ia l a n d le g is la -
tiv e m a n ip u la tio n th a n le g isla tiv e h isto r y a s it is g e n e r a lly u n d e r -
s to o d . B ills r e je c te d b y a r e c o r d e d v o te in th e le g is la tu r e o r v e to e d
b y th e P r e sid e n t m a y sh e d lig h t o n th e m e a n in g o f p r o v isio n s u lti-
m a te ly e n a c te d in to la w .
T h e fo r e g o in g d isc u ssio n o f th e u se o f le g isla tiv e h isto r y d o e s
n o th in g , in m y v ie w , to u n d e r c u t Ju stic e S c a lia ’s p e r su a siv e in stitu -
tio n a l a n d p r a c tic a l o b je c tio n s to le g is la tiv e h is to r y : r e s o r t to le g is la -
tiv e h isto r y d o e s n o t c o m p ly w ith th e b ic a m e r a lity a n d p r e se n tm e n t
r e q u ir e m e n ts; it fo ste r s a le g a l c u ltu r e w h e r e th e te x t o f th e sta tu te
is d im in ish e d in im p o r ta n c e a n d le g a l a r g u m e n t im p o v e r ish e d ; it
c a n b e e a s ily m a n ip u la te d b y le g is la to r s , ju d g e s , a n d lo b b y is ts fo r
fa v o r e d in te r e sts; a n d its u se le a d s to slo p p y d r a ftin g a n d to le g isla -
tiv e a v o id a n c e o f d iffic u lt p o litic a l issu e s.
B . T h e R o le o f th e Ju d g e
T h e se p r a c tic a l c o n sid e r a tio n s a r e in flu e n c e d b y th e o r e tic a l

c o n c e r n s. A n d , fo r m e , o n e o f th e m o s t im p o r ta n t is th e c a r e fu lly
c ir c u m sc r ib e d r o le o f th e ju d g e in o u r sy ste m o f g o v e r n a n c e . M y
u n d e r sta n d in g o f a ju d g e ’s p r o p e r r o le n o t o n ly in fo r m s m y v ie w s o f
th e lim ite d c ir c u m sta n c e s u n d e r w h ic h le g isla tiv e h isto r y m a y b e
u se d , b u t a lso m y g e n e r a l a sse ssm e n t o f th e c o m p e t in g a p p r o a c h e s
to sta tu to r y c o n str u c tio n d isc u sse d in th is e ssa y .
T h e n e w te x tu a lis ts s e e th e ju d g e a s th e fa ith fu l a g e n t, n o t o f
th e le g isla tu r e b u t o f th e C o n stitu tio n w h ic h , in A r tic le s I a n d III,
se p a r a te s th e p o w e r s o f th e c o u r ts fr o m th o se o f th e le g isla tu r e ,
a n d , in A r tic le I, § 7 , p r e sc r ib e s w ith sp e c ific ity h o w sta tu to r y e n a c t-
m e n ts b e c o m e la w .1 5 4 I n h o ld in g th e le g is la tu r e to th e a c tu a l c o m -
m a n d s th a t a r e p a sse d in b ills a n d , u p o n p r e se n tm e n t to th e
P r e sid e n t, sig n e d in to la w , th e n e w te x tu a lists a r e in sistin g th a t
m e m b e r s o f C o n g r e ss fu lfill th e ir c o n stitu tio n a l r e sp o n sib ility to
le g isla te b y d isa b u sin g th e m o f th e e x p e c ta tio n th a t th e c o u r ts w ill
d o it fo r th e m . If th e r e su ltin g in te r p r e ta tio n se e m s to b e so m e -
th in g o th e r th a n th e “ b e tte r ” o r “ m o s t ju s t” in te r p r e ta tio n , th e y
h o ld th a t it is b e y o n d th e p r o v in c e o f th e u n e le c te d ju d ic ia r y to
c o r r e c t it.
B u t Ju stic e S c a lia ’s c o n c u r r e n c e in G reen c o n fir m s th a t th e r e
a r e lim its e v e n to th is p r o p o sitio n . H e r e fu se d to le t sta n d a p u r e
t e x t u a l r e s u lt t h a t p r e ju d ic e -w e ig h in g w o u ld a p p ly t o a c iv il d e f e n -
d a n t’s w itn e ss b u t n o t a c iv il p la in tiff’s, b e lie v in g it to b e a n o m a lo u s
a n d p r o b a b ly u n c o n stitu tio n a l. In d o in g so , h e e n g a g e d in w h a t I
th in k m o s t ju d g e s w o u ld a c c e p t a s a n o r m a l, b u t v ita l, c o m p o n e n t
o f th e ju d ic ia l fu n c tio n . W h e n th e a p p lic a tio n o f a s ta tu te in a p a r -
tic u la r c a se w o u ld b e m a n ife stly a b su r d , o r p la in ly c o n tr a r y to th e
le g is la tu r e ’s in te n t, th e ju d g e m a y h a v e to s e r v e a s a k in d o f ju d ic ia l
b a c k s to p . H e r e th e ju d g e is n o t th w a r tin g le g is la tiv e p o lic y o r im -
p le m e n tin g h is o w n p o lic y p r e fe r e n c e s, b u t a v o id in g a n a p p lic a tio n
th a t la c k s r a tio n a lity a n d d o e s h a r m . T h is c a n o c c u r w h e n th e le g is-
la tu r e u n c o n sc io u sly e r r s o r w h e n its a c tio n s h a v e u n fo r e se e n o r
u n fo r e s e e a b le c o n s e q u e n c e s . T h e tr ia l ju d g e p e r fo r m s a n a n a lo -
g o u s fu n c tio n w h e n , in th e r a r e c a s e , h e c a n n o t le t a ju r y v e r d ic t
s ta n d , n o t b e c a u s e h e s im p ly d is a g r e e s w ith it, b u t b e c a u s e th e ju r y
v e r d ic t is p a te n tly ir r a tio n a l o r u n ju s t.
T h e a r g u m e n ts a d v a n c e d b y th e n e w te x tu a lists, h o w e v e r c o m -
p e llin g , a r e n o t w ith o u t th e ir d iffic u ltie s. W h ile A r tic le I, § 7 sp e c i-
fie s th e p o in t a t w h ic h th e le g isla tu r e h a s m a d e “ la w ” 1 5 5 a n d , b y
im p lic a tio n , te lls u s th a t le g isla tiv e p r o n o u n c e m e n ts, sp e e c h e s, a n d
r e p o r ts a r e n o t la w , it d o e s n o t e x p lic itly lim it in te r stitia l la w m a k in g
a n d th u s r e so lv e th a t d e b a te . A lso , it se e m s to m e th a t d e sp ite th e
n e w te x tu a lis ts ’ d e s ir e to e lim in a te a lto g e th e r o p p o r tu n itie s fo r ju -
d ic ia l w illfu ln e ss, th is g o a l c a n n o t b e fu lly a c h ie v e d b y th e n e w te x -
tu a list a p p r o a c h . A s is e v id e n t fr o m Ju stic e S c a lia ’s fa m o u s
“ d ic tio n a r y s h o p p in g ” c a s e , M C I T e le c o m m u n ic a tio n s C o r p . v . A m e r i-
1 5 4 . U .S . C O N S T . a rt. I, § 7 .
1 5 5 . Id .
c a n T e le p h o n e & T e le g r a p h C o .,1 5 6 in w h ic h h e r e je c te d o n e d ic tio n -

a r y ’s d e fin itio n o f “ m o d ify ” b e c a u se it c o n tr a d ic te d n o t o n ly
a lte r n a tiv e m e a n in g s in th a t d ic tio n a r y , b u t a lso a n o th e r m e a n in g
c o n ta in e d in v ir tu a lly a ll o th e r d ic tio n a r ie s ,1 5 7 a ju d g e ’s r e s o r t to
e x te r n a l o b je c tiv e to o ls d o e s n o t in e x o r a b ly le a d th e ju d g e to a r e -
su lt c e r ta in . C h o ic e s still r e m a in a n d su c h to o ls a s d ic tio n a r y d e fin i-
tio n s a n d c a n o n s o f c o n str u c tio n a r e c a p a b le o f b e in g m a n ip u la te d
to a c h ie v e th e r e s u lt th e ju d g e w a n ts . J u s tic e S c a lia ’s a c c e p ta n c e
th a t in te r p r e ta tio n m a y r e st o n a w o r d ’s c o n n o ta tio n s, a s d istin c t
fr o m its d e n o ta tio n s, a llo w s fo r fu r th e r c h o ic e s. O n th e o th e r
h a n d , te x tu a lism ’s p r o p o n e n ts m ig h t a r g u e th a t th e se fle x ib le fe a -
tu r e s se r v e to a n sw e r th e c h a r g e th a t n e w te x tu a lism is w o o d e n a n d
m in d le ss lite r a lism . T h e se fe a tu r e s d o le a v e r o o m fo r n u a n c e d
in te r p r e ta tio n .
T h e p u r p o siv e a p p r o a c h is o p e n to n o le ss c r itic ism , a n d p e r -
h a p s m o r e . Ju d g e L e a r n e d H a n d b e lie v e d , lik e H a r t a n d S a c k s,
th a t a la r g e r p u r p o se c o u ld b e id e n tifie d a n d a ttr ib u te d to th e w ill
o f th e le g is la tu r e a n d th a t th e ju d g e w a s th e p a r tn e r to th e le g is la -
tu r e in e ffe c tu a tin g th a t p u r p o se th r o u g h in te r p r e ta tio n . U n d e r
th is p a r a d ig m , h e b e lie v e d , th e “ b e tte r ” o r “ m o r e ju s t” r e s u lt c o u ld
b e o b ta in e d . I h a v e little d o u b t th a t a “ p u r p o se ” th a t so c ie ty w o u ld
a c c e p t a s r e a so n a b ly a p p r o x im a tin g th e n o tio n o f a c o m m o n le g is-
la tiv e w ill c a n b e fa ir ly a ssig n e d to m o st sta tu te s. B u t su c h a p u r -
p o se , w h e th e r d e r iv e d fr o m le g isla tiv e h isto r y , th e e n tir e ty o f th e
s ta tu te , th e m is c h ie f a t w h ic h th e s ta tu te is a im e d , o r th e ju d g e ’s
im a g in a tio n , is n o r m a lly o f su c h g e n e r a lity a s to b e u se le ss a s a n
in te r p r e tiv e to o l, u n le ss, o f c o u r se , it is b e in g u se d a s a c o v e r fo r th e
ju d g e to “ d o ju s tic e ” a s h e s e e s fit.
It is e n tir e ly r e a so n a b le , fo r e x a m p le , fo r C o n g r e ss to p a ss sta t-
u te s to im p r o v e e n v ir o n m e n ta l q u a lity , d istr ib u te w e lfa r e fu n d s, o r
c o lle c t r e v e n u e s, b u t th e se g e n e r a l p u r p o se s te ll u s n e x t to n o th in g
a b o u t w h a t th e le g isla tu r e m e a n s w h e n it u se s w o r d s th a t, fo r e x a m -
p le , se t fo r th th e r e q u ir e m e n ts fo r a p o llu tio n p e r m it, o r th e sta n -
d a r d s fo r w e lfa r e c h e c k e lig ib ility , o r p r o v id e fo r a n e x c e p tio n to a
d e p r e c ia tio n a llo w a n c e fo r o il r e se r v e s. S u b o r d in a te “ p u r p o se s” o r
“ in te n ts” m ig h t b e m o r e sp e c ific to p a r tic u la r p r o v isio n s b u t, e v e n
p u ttin g a sid e th e d iffic u ltie s o f a sc e r ta in in g th e m , th e lik e lih o o d o f
th e ir g e n e r a tin g c o m m o n le g isla tiv e a c c e p ta n c e , so a s to e q u a te to
a “ p u r p o se ” o r “ in te n t” th a t c o u ld g u id e in te r p r e ta tio n , r a p id ly d i-
m in ish e s in p r o p o r tio n to th e ir sp e c ific ity . V e r y so o n o n e is in th e
1 5 6 . 5 1 2 U .S . 2 1 8 ( 1 9 9 4 ) .
1 5 7 . Id . a t 2 2 5 – 2 7 .
r e a lm o f m u r k y a n d c o m p e tin g le g isla tiv e h isto r y , o fte n m a n u fa c -

tu r e d , w h e r e p o litic a l tr a d e o ffs e c lip se a n y la r g e r g e n e r a l “ p u r p o se ”
o f th e le g isla tio n . W h e n su c h a “ la r g e r p u r p o se ” o r r e lia n c e u p o n
g e n e r a l n o tio n s o f fa ir n e s s o r ju s tic e r e m a in a s th e ju s tific a tio n fo r
th e in te r p r e ta tio n r e a c h e d , it m a y b e th a t th e ju d g e , c o n s c io u s ly o r
o th e r w ise , is p la c in g h is p e r so n a l p r e fe r e n c e s a s a th u m b o n th e
s c a le in fa v o r o f a p a r tic u la r o u tc o m e , in d e r o g a tio n o f th e ju d ic ia l
fu n c tio n a n d th e se p a r a tio n o f p o w e r s. B u t a p a r t fr o m su c h o u t-
c o m e -d r iv e n r e s u lt s , t h e ju d ic ia l d is c r e t io n p r o m o t e d b y s e e k in g t o
e ffe c t p u r p o s e s o r to “ d o ju s tic e ” d e tr a c ts fr o m th e la w ’s c e r ta in ty
a n d p r e d ic ta b ility . A ll o f th e se u n d e sir a b le p o ssib ilitie s a r e fa r le ss
lik e ly to r e su lt fr o m a n a p p r o a c h th a t is c e n te r e d in th e te x t a n d
t h u s a r e s t r o n g p o in t s in f a v o r o f a t e x t -b a s e d a p p r o a c h .
P e r h a p s b e c a u se h e v ie w e d h im se lf a s th e a g e n t o f th e le g isla -
tu r e , Ju d g e H a n d ’s w r itin g s d o n o t r e v e a l a n y p a r tic u la r c o n c e r n
o v e r u su r p a tio n o f th e le g isla tiv e fu n c tio n . In p a r t, Ju d g e H a n d
m a y h a v e b e e n m o tiv a te d b y a s e n s e o f a la r g e r ju d ic ia l r o le b e c a u s e
o f h is g r o u n d in g in th e c o m m o n la w , w h e r e ju d g e s w e r e o fte n
c a lle d u p o n to d e c la r e la w in im p o r ta n t a r e a s. A s o u r sy ste m o f la w
h a s b e c o m e m o r e sta tu to r y , p a r tic u la r ly in fe d e r a l la w , th e tr a d i-
tio n a l c o n c e p tio n o f th e c o m m o n la w ju d g e a s c r a ftin g w id e a r e a s
o f th e la w e v e n in th e c o n te x t o f sta tu te s h a s to b e r e c o n sid e r e d .
G iv e n th e r e str ic tio n s in h e r e n t in th e ta sk o f in te r p r e tin g a n d a p -
p ly in g le g isla tiv e c o m m a n d s e m b o d ie d in sta tu te s, a s o p p o se d to
d e c la r in g a n e v o lv in g c o m m o n la w , it is im p o r ta n t to a c k n o w le d g e
a c o r r e s p o n d in g ly lim ite d r o le fo r ju d g e s in in te r p r e tin g s ta tu te s a s
th e y a r e w r itte n b y th e le g isla tu r e .
O th e r d iffe r e n c e s b e tw e e n th e le g a l la n d sc a p e a n d p o litic a l r e -
a litie s o f to d a y a n d th o se in Ju d g e H a n d ’s d a y m ig h t a lso h e lp to
e x p la in th e in c r e a s e d e m p h a s is in r e c e n t tim e s o n lim itin g ju d ic ia l
d is c r e t io n a n d t e x t -c e n t e r e d m e t h o d s o f s t a t u t o r y c o n s t r u c t io n a s a
m e a n s to th a t e n d . W h e n Ju d g e H a n d sa t, th e sta tu te s, in a d d itio n
to b e in g fe w e r in n u m b e r , w e r e ty p ic a lly d r a fte d w ith a g r e a te r d e -
g r e e o f g e n e r a lity a n d th u s w e r e m o r e a m e n a b le to b e in g in te r -
p r e te d in lig h t o f a g e n e r a l p u r p o s e . T o d a y , ju d g e s a r e fr e q u e n tly
fa c e d w ith v e r y c o m p lic a te d , d e ta ile d , a n d r e tic u la te d sta tu te s, ty p i-
c a lly in a r e a s a ffe c tin g b r o a d sw a th s o f p o lic y su c h a s im m ig r a tio n ,
M e d ic a id , w e lfa r e , h a b e a s c o r p u s, fe d e r a l ta x a tio n , a n d r e tir e m e n t
se c u r ity . S u c h la r g e a n d c o m p lic a te d la w s h a v e p r o v e d to b e fe r tile
g r o u n d s fo r th e g r o w th o f v o lu m in o u s a n d o fte n c o n tr a d ic to r y le g -
is la tiv e h is to r y . M o r e o v e r , th e w o r k o f th e fe d e r a l ju d ic ia r y is m o r e
lik e ly to b e se e n in p o litic a l te r m s to d a y th a n it w a s in Ju d g e H a n d ’s
d a y . Q u e stio n s o f sta tu to r y c o n str u c tio n , c o n stitu tio n a l in te r p r e ta -
tio n , a n d e v e n o th e r h ig h p r o file tr ia l a n d a p p e lla te c o u r t d e c isio n s

a r e fr e q u e n tly lik e ly to p r o v o k e p a r tisa n sk ir m ish in g a n d d e b a te .
A s a r e su lt, p o litic a l c o n tr o v e r sy sw ir ls a r o u n d S u p r e m e C o u r t a p -
p o in tm e n ts a n d , in c r e a sin g ly , e v e n a p p o in tm e n ts to th e fe d e r a l a p -
p e lla te c o u r ts. F in a lly , g iv e n th a t th e r e a r e m a n y m o r e a p p e lla te
ju d g e s o n th e b e n c h — n e a r ly th r e e tim e s th e n u m b e r o f fifty y e a r s
a g o — a n d a g r e a te r c a se lo a d , th e r e is b o u n d to b e m o r e v a r ia tio n in
th e in te r p r e ta tio n o f sta tu te s.
T h e se r e a litie s, in a d d itio n to a n in c r e a se d a w a r e n e ss o f th e o r y
a n d its r e la tio n sh ip to m e th o d o lo g y , a ll sh e d lig h t o n th e c u r r e n t
tr e n d in w h ic h ju d g e s a r e in c r e a s in g ly g r a v ita tin g to w a r d s a n a p -
p r o a c h t h a t p la c e s g r e a t e r v a lu e o n t h e t e x t . T e x t -c e n t e r e d a p -
p r o a c h e s , w h e t h e r p la in -m e a n in g t e x t u a lis m o r n e w t e x t u a lis m ,
a c c o m p a n ie d b y a r e d u c e d r e lia n c e o n le g isla tiv e h isto r y o r th e d is-
a v o w a l o f its u s e , te n d to s h ift th e s p o tlig h t a w a y fr o m th e ju d g e a n d
b a c k to th e le g isla tu r e . B y in te r p r e tin g th e w o r d s o f sta tu to r y c o m -
m a n d s a c c o r d in g to th e ir c o m m o n u sa g e , w ith a s little h e lp a s p o ssi-
b le fr o m o n e ’s “ fr ie n d s ,” to b o r r o w J u d g e L e v e n th a l’s p h r a s e ,1 5 8
a n d th e r e b y n a r r o w in g ju d ic ia l d is c r e tio n , ju d g e s m a y h o p e to r e -
d u c e th e d isso n a n c e g e n e r a te d b y d iv e r g e n t sta tu to r y p r o n o u n c e -
m e n ts fr o m m u ltip le ju d g e s a n d , a t th e s a m e tim e , tu r n d o w n th e
p o litic a l h e a t o n th e ju d ic ia r y b y a ffir m in g th e lim ite d r o le o f
ju d g e s .
I n th e fin a l a n a ly s is , h o w a ju d g e in te r p r e ts a s ta tu te is n o t s im -
p ly a m a tte r o f h is o r h e r v ie w s o n p a r tic u la r d isc r e te issu e s, su c h a s
w h e th e r a sta tu to r y p u r p o se sh o u ld o r c a n b e d isc e r n e d , th e r e lia -
b ility o f le g isla tiv e h isto r y , o r th e im p o r ta n c e o f str ic t a d h e r e n c e to
th e te x t. A t issu e in sta tu to r y in te r p r e ta tio n th e o r y is th e fu n d a -
m e n ta l c o n c e p tio n o f th e r o le o f th e ju d g e in o u r fe d e r a l s y s te m o f
c o o r d in a te g o v e r n m e n t.1 5 9 T h e q u e s tio n s r a is e d in th is d e b a te p e r -
s is t . S h o u ld t h e ju d g e a c t a s a m in i-le g is la t o r , f illin g in t h e in t e r s t i-
c e s o f a sta tu te a n d g iv in g it a v o ic e w h e r e it is sile n t to a d v a n c e
w h a t th e ju d g e d e te r m in e s to b e th e le g is la tiv e p u r p o s e o r in te n t?
O r , b y g iv in g w o r d s th e ir c o m m o n ly a n d fa ir ly u n d e r sto o d m e a n in g
in th e c o n te x t in w h ic h th e y a r e fo u n d , s h o u ld th e ju d g e a d h e r e to
th e te x t a n d le a v e la w m a k in g , e v e n in te r stitia l la w m a k in g , to th e
1 5 8 . S ee su p ra te x t a c c o m p a n y in g n o te 1 1 7 . R
1 5 9 . S ee, e.g ., G R IF F I T H , su p ra n o te 5 2 , a t 1 7 1 ( “ H a n d ’s d e v o tio n to le g isla tiv e R
p u rp o se c a m e fr o m h is u n d e r sta n d in g o f th e c o n stitu tio n a l a llo c a tio n o f p o w e r s
w h ic h g iv e s th e le g isla tu r e th e r e sp o n sib ility fo r a n n o u n c in g th e la w s b y w h ic h th e
c o m m u n ity w ill b e g o v e r n e d . It c o n fo r m e d to h is v ie w th a t d e m o c r a c y is sim p ly a
p r o c e ss w h ic h p e r m its a ll in te r e sts a v o ic e in fo r m u la tin g p o lic y th r o u g h th e
le g is la tu r e .” ) .
e le c te d b r a n c h ? H o w a ju d g e a n s w e r s th e s e q u e s tio n s w ill d e te r -
m in e th e ju d g e ’s te n d e n c ie s — w h e th e r th e ju d g e is m o r e in c lin e d
to “ d o ju s tic e ” o r “ p la y th e g a m e a c c o r d in g to th e r u le s .” 1 6 0
1 6 0 . H a n d , su p ra n o te 1 , a t 3 0 7 . R

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\\S e r v e r 0 3 \p r o d u c t n \N \N Y S \5 8 -2 \N Y S 2 0 4 .

I r e m e m b e r o n c e I w a s w ith [ Ju stic e O liv e r W e n d e ll H o lm e s] ;

T h is e ssa y w ill b e c o n fin e d to c o n sid e r a tio n s o f th e o r y . It w ill

T h e a r tic u la tio n o f th e se c o m p e tin g a p p r o a c h e s to sta tu to r y

p r e ta tio n m u st b e c o n siste n t w ith th e p u r p o se o f a lle v ia tin g th a t

3 7 . O liv e r W e n d e ll H o lm e s, T h e T h eo ry o f L eg a l In terp reta tio n , 1 2 H A R V . L . R E V .

4 4 . S ee H e n r y M . H a r t, Jr . & A lb e r t M . S a c k s, T h e L e g a l P r o c e ss: B a sic

d e lig h tfu l u n c e r ta in ty ” 6 7 ; h e h e ld to th e b e lie f th a t “ th e m e a n in g o f

io n s a n d o th e r p u b lic w r itin g s a n d s p e e c h e s .7 2 A lth o u g h th e n e w

ic s sta tu te , w a s lim ite d to “ p u r e ” L S D o r a lso in c lu d e d th e p a p e r

F o r Ju stic e S c a lia , th e in c o m p e te n c e a n d u su r p a tio n e n ta ile d

fin d s th a t th e p r o b a tiv e v a lu e o f th a t e v id e n c e o u tw e ig h s its p r e ju d i-

w ith d iffic u lt c a se s su c h a s th is o n e , w h e r e tr a d itio n a lly e sp o u se d

A . P ra ctica l C o n sid era tio n s

1 5 3 . A s o b se r v e d b y Ju d g e P o sn e r , p a r tie s o fte n d o n o t sta r t w ith th e la n g u a g e

S u p p o se , fo r e x a m p le , th e le g isla tiv e h isto r y in G reen c o n ta in e d

T h e se p r a c tic a l c o n sid e r a tio n s a r e in flu e n c e d b y th e o r e tic a l

c a n T e le p h o n e & T e le g r a p h C o .,1 5 6 in w h ic h h e r e je c te d o n e d ic tio n -

r e a lm o f m u r k y a n d c o m p e tin g le g isla tiv e h isto r y , o fte n m a n u fa c -

tio n , a n d e v e n o th e r h ig h p r o file tr ia l a n d a p p e lla te c o u r t d e c isio n s

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