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Kent Greenawalt - Statutory and Common Law Interpretation

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As Kent Greenwalts second volume on aspects of legal interpretation, this book analyzes statutory and common law interpretation and compares the two. In respect to statutory interpretation, it first asks whether judges are faithful agents of the legislature or independent cooperative partners. It concludes that the obvious answer is that neither simple categorization really fits-that the function of judges involves a combination of roles. The next issue addressed is whether the intent of those in authority matters for interpreting the kinds of instructions contained in statutes. At the general level, the answer is yes. This answer follows even if one thinks interpretation should concentrate on the understanding of readers, because readers themselves would treat intentions as part of the relevant context of the language of statutes. It would take some special reasons, such as constitutional structure or unreliability, to discount actual intents of legislators and use of legislative history. The book argues that none of these special reasons are convincing. On the question whether judges should focus on the language of specific provision or overall purpose, both are relevant, and purpose should become more important as time passes. In an analysis of various other features of statutory interpretation, the book claims that presidential signing statements should not have weight, that subsequent legislative actions short of new statutes should only occasionally carry importance, that canons of interpretation, such as the rule of lenity, can provide some, limited, guidance, and that there are special reasons for courts to adhere to precedents in statutory cases, but these should not yield any absolute rule. A chapter on administrative interpretation of statutes claims that the standards agencies apply should differ to a degree from those of courts and that judicial deference to those interpretations is ordinarily warranted.
The books second part, on common law interpretation, considers the force of precedents, resisting any simple dichotomy between holding and dictum. It also defends the use of reasoning by analogy, not only in the initial stages thinking about a problem, but also in respect to some final justifications for decisions. An examination of the place of rules, principles, and policies argues that all three are relevant in common law interpretation; and shows that common law interpretation is not reducible to any formula.
A final chapter compares statutory and common law interpretation, similarities and differences, how each can affect the other, and the significance of having a legal system in which they both play prominent roles.

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Statutory and Common Law Interpretation
Kent Greenawalt
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  • Library of Congress Cataloging-in-Publication Data
  • Greenawalt, Kent, 1936
  • Statutory and common law interpretation /Kent Greenawalt.
  • p.cm.
  • Includes bibliographical references and index.
  • ISBN 978-0-19-975614-8
  • 1. LawInterpretation and construction. 2. Common law.
  • 3. LawMethodology. I. Title.
  • K231.G742013
  • 340.1dc232012012055
  • 987654321
  • Printed in the United States of America
  • on acid-free paper
Dedication

(p.v) To past and present colleagues at Columbia, who have created a congenial and supportive community for teaching and scholarship. (p.vi)

Contents



(p.ix) Preface

The two topics of this book are ones that have engaged my interest for most of my teaching career. During the last quarter century, I have had the good fortune to teach Legal Methods to incoming students, using Peter Strausss challenging casebook on that subject, which offers an excellent introduction to both statutory and common law interpretation. During the same period, participants in seminars on legal interpretation have enriched my understanding with their insightful discussions and their papers. In 1999, Statutory Interpretation: 20 Questions was published. The present volume draws to a degree from that book, but my views have developed considerably since that time, largely in response to the insights of colleagues on the faculty and other scholars. My interest in aspects of common law interpretation was stimulated by the work on reasoning by analogy of Lloyd Weinreb, with whom I had the good fortune to be co-clerk for Justice John Marshall Harlan.

As this book was nearing its final stages, I benefitted greatly from discussions of the chapter on analogy at Pace Law School, and the chapter on text and intention at a conference on statutory interpretation held at Columbia Law School. In February of this year, I had the great fortune to present numbers of the chapters to groups of faculty at the University of Virginia Law School.

The research assistance I have enjoyed in this effort has been extraordinarily valuable. Among those who have contributed greatly by finding and summarizing references, and by offering comments on my earlier formulations, have been Lauren Barlow, Michael Fernndez, Kyle Gazis, Martie Kutscher, Adam Mehes, Miles Pope, Laura Swanson, and Leonid Traps. In addition to offering perceptive substantive criticisms, Stephen Farrelly, at the stage before final submission, filled in missing citations and proposed significant improvements in the language of many of the chapters. During the main process of research and writing, Adam Hochroth was invaluable. In identifying sources I almost certainly would not otherwise have learned about (especially those involving commentary from other common law countries), in coming up with new ideas and possible approaches, and in raising nuances of analysis that had not occurred to me, he was indispensable to the final content of this volume.

Marianne Carroll word-processed numbers of the chapters at different points, perceiving elusive handwriting quickly and accurately, and identifying omissions. Katherine Bobbitt dealt with all the chapters at one stage or another, and, as always, she discerned places where I had left out needed (p.x) words or written mistaken ones, correcting these and also making editorial suggestions for improvements. She also shepherded the manuscript through the final review after copyediting. At that stage Samantha LiTrenta (with help from Jason Hipp), under considerable time pressure, filled in missing references and helped assure consistency in citations.

I am very grateful to members of Oxford University Press who have guided this through the publication process. As with the first volume, David McBride made many helpful comments that greatly improved the clarity of the manuscript and how it was organized. Elina Carmona did an insightful and prompt job of copyediting, and Marc Schneider and Anitha Chellamuthu saw that the production process proceeded both carefully and according to a precise schedule.

Introduction

I. Features of Statutory and Common Law Interpretation, as Compared with Interpretation of Private Texts

Two central aspects of interpretation within common law systems involve statutes and the common law itself. Each differs significantly from interpretation of privately created texts with legal force and interpretation in nonlegal disciplines, both examined in the first volume. Statutes differ from typical wills and contracts in four basic ways. They are issued by a group of officials acting formally; they cover general categories of behavior, not specific situations; they endure through time; and they aim (at least ostensibly) to serve the public good. (When principals give instructions to agents, these may also specify a continuing course of behaviore.g., purchase undervalued Impressionist paintingsbut they are addressed to particular individuals with whom the principals have a special relationship.) The first volume explored many of the complex questions about how to understand and apply individually created documents that carry legal force. In facing comparable inquiries about statutes, a recurring theme in the first part of this book is how far statutory standards are analogous to those set by individuals.

Common law interpretation, involving a law judges have themselves made, differs yet more radically from wills, contracts, and agency. Common law decision is often not a product of textual interpretation in a straightforward sense. A later court does discern what earlier courts have said, and its opinion applying that language may make it appear that no more is needed. But prior to that endeavor, the later court may need to decide what counts as the holding of the prior case; and the authority of later courts to expand or contract the implications of earlier decisions, in light of the circumstances they face, is an accepted part of the practice. So also is the ability of a court to overrule decisions now thought to be seriously misguided. The actual and appropriate place of reasoning by analogy is one central puzzle about common law decision making. In other forms of legal interpretation, analogical analysis may help set the disrupted borders of a term such as vehicles; whether it plays a still broader role in common law interpretation is decidedly controversial.

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