Escolar Documentos
Profissional Documentos
Cultura Documentos
INTRODUCTION........................................................................................................... 1559
I. AN EXAMPLE ..................................................................................................... 1560
A. An Interpretation Based on Formal Legal Documents.............................. 1561
B. An Interpretation Based on an Analysis of the Situation........................... 1565
II. THE TWO METHODS COMPARED......................................................................... 1567
III. ARE MULTIPLE APPROACHES LEGITIMATE?........................................................ 1570
IV. CHOOSING THE APPROPRIATE FRAME OF REFERENCE ......................................... 1575
CONCLUSION.............................................................................................................. 1585
INTRODUCTION
What is the best way to interpret statutes?
The hard truth of the matter, wrote Henry Hart and Albert Sacks
better than a half-century ago, is that American courts have no intelligible,
generally accepted, and consistently applied theory of statutory
interpretation.
1
In the intervening years, and especially in the last quarter-
century, various writersmostly scholarshave tried to provide the
needed theory.
2
Through their efforts we undoubtedly now have a more
subtle understanding of the problems involved than we once did. At the
same time, it continues to be remarked, and in a statistical way even
demonstrated, that judges in general do not restrict themselves, sometimes
even within a single opinion, to following any single theory of statutory
construction.
3
Byrne Professor of Administrative Law, Harvard Law School. I thank the participants in the Har-
vard Law School faculty summer workshop, and Peter Strauss of Columbia Law School, for helpful
comments on earlier drafts.
1
HENRY M. HART, JR. & ALBERT M. SACKS, THE LEGAL PROCESS 1169 (William N. Eskridge &
Philip P. Frickey eds., 1994).
2
For a recent, comprehensive review of the state of the literature, see FRANK B. CROSS, THE
THEORY AND PRACTICE OF STATUTORY INTERPRETATION (2009). For a briefer treatment, see Elizabeth
Garrett, Legislation and Statutory Interpretation, in THE OXFORD HANDBOOK OF LAW AND POLITICS
360, 36075 (Keith E. Whittington et al. eds., 2008).
3
See James J. Brudney & Corey Ditslear, Canons of Construction and the Elusive Quest for Neutral
N O R T H W E S T E R N U N I V E R S I T Y L A W R E V I E W
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Perhaps we are looking for the wrong thing. Perhaps there is no theory
that would justify its being the consistently applied theory of statutory
interpretation. As the title of this Essay suggests, that is my thesis. My
claim is that there are many legitimate and useful modes of statutory
interpretation, that these methods can look very different from one another,
and that choosing the right one in any given instance is not a question of
theory in the ordinary sense of the term but of appropriateness or fit. I
urge this partly to take account of the fact that, in our society, many other
actors besides judges have the need, and often the obligation, to interpret
statutes, often with definitive results. But this approach also presents the
possibility that judges, or at least some of them, could explain to our
satisfaction what they are doing: they are pursuing their craft by choosing
the right tools for the varying tasks at hand, just the way most other
craftspeople do.
I begin with an example of a statute in need of interpretation and
proceed from there.
I. AN EXAMPLE
To show what I have in mind, I am going to pursue a straightforward
question of statutory interpretation using two very different methods. The
question arises from the Federal Family and Medical Leave Act of 1993
(FMLA).
4
As far as I can tell, it has never been litigated, at least in a
reported case.
Broadly speaking, the FMLA entitles employees to take up to twelve
weeks of leave from work during any twelve month period for certain
medical and family purposes.
5
The leave is unpaid, but employers are
required to maintain preexisting health care benefits and to restore
employees, at the end of their leaves, to their former jobs or the equivalent.
6
The circumstances for which this protected leave is available include the
care of a newborn, adoption of a son or daughter, an incapacitating serious
health condition of the employee, and this:
In order to care for the spouse, or a son, daughter, or parent, of the employee,
if such spouse, son, daughter, or parent has a serious health condition.
7
Reasoning, 58 VAND. L. REV. 1, 4451 (2005); Jane S. Schacter, The Confounding Common Law
Originalism in Recent Supreme Court Statutory Interpretation: Implications for the Legislative History
Debate and Beyond, 51 STAN. L. REV. 1, 1437 (1998); Nicholas S. Zeppos, The Use of Authority in
Statutory Interpretation: An Empirical Analysis, 70 TEX. L. REV. 1073, 1091120 (1992).
4
Family and Medical Leave Act of 1993, Pub. L. No. 103-3, 107 Stat. 6 (codified in scattered sec-
tions of 29 and 5 U.S.C.).
5
Id.
6
Id.
7
29 U.S.C. 2612(a)(1)(C) (2006).
104:1559 (2010) Statutory Interpretation
1561
The present question concerns the meaning of the term parent. This
is not an inherently ambiguous word, and in many situations it will mean
the same thing regardless of interpretive method. But it is a much-remarked
pattern in our society for a married couple, having raised children, to turn to
the care of such of their parents as are still alive and need help. Suppose
one of these elderly people has a serious health condition and needs
care. Who will help? Suppose the couple decides that the best person to
care for the elderly person is the spouse who is not the child of the person
being cared for. Does that caregiver qualify under the FMLA for a
protected leave? Or is caring for a parent-in-law different from caring for a
parent?
A. An Interpretation Based on Formal Legal Documents
One way to approach this question of the dimensions of the statutory
term parent is to try to answer it, insofar as possible, by reasoning from
the various applicable legal documents.
We start with the directly applicable statutory provision just quoted. It
lists spouse, son, daughter, and parent, and all of these are
qualified by the phrase of the employee. Should we inferperhaps under
the maxim expressio unius est exclusio alteriusthat parent-in-law is
specifically excluded? Taken by itself, that argument is insufficient, since it
does not quite meet the counter-contention that parent-in-law really is in
the list, contained in the word parent. (What, after all, is the use of the
phrase in-law, if not to assert equivalence for a purpose like this?) But
the argument for exclusion gains considerably greater force when we
recognize that parent is a term defined by the statute:
The term parent means the biological parent of an employee or an individual
who stood in loco parentis to an employee when the employee was a son or
daughter.
8
Now it does seem that the drafters of the text paid attention to the scope of
the term parent and insisted that the person to be cared for be, in the
ordinary case, a biological parent of an employee.
The most important piece of legislative history, the Report of the
Senate Labor and Human Resources Committee, supports this restrictive
view (albeit without directly addressing it).
9
This Report speaks of the
employee who faces the serious illness of his or her own parent or
spouse
10
and includes, as human interest vignettes illustrating the need for
8
Id. 2611(7). The included phrase son or daughter is also a defined term. See id. 2611(12).
9
See S. REP. NO. 103-3 (1993). This report is the principal piece of legislative history because the
Senates bill became the finally enacted language and because the Committee was chaired by Senator
Kennedy, long-time sponsor of the legislation.
10
Id. at 10.
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this part of the Acts coverage, the cases of two women, each of whom
faces difficulties trying to care for a person described as her aged father.
11
Against all this we have to consider the following provision of the Act,
included some eighty lines of statutory text after the main coverage
provision:
Spouses employed by same employer[]In any case in which a husband and
wife entitled to leave . . . are employed by the same employer, the aggregate
number of workweeks of leave to which both may be entitled may be limited
to 12 workweeks during any 12-month period, if such leave is taken
(1) under subparagraph (A) or (B) of subsection (a)(1) [of the coverage
provision, that is, to care for a newborn son or daughter or because of an
adoption]; or
(2) to care for a sick parent under subparagraph (C) of such subsection.
12
The overall effect of this somewhat curious language is, in the
situations named, to give two spouses working for the same employer only
the amount of leave in total that each of them would individually have been
entitled to if they instead were working for separate employers. This
provision, says the Senate Report, is intended to eliminate any employer
incentive to refuse to hire married couples.
13
Why would the Act, without
this provision, create such an incentive? There is no reason to think, for
example, that two people married to each other are each more likely to
develop a serious illness justifying leave in the same year than are the two
unrelated people who might have been hired instead. But if the couple has
a child, or adopts one, there is such a reason: under the gender-neutral
provisions of the Act, this single birth or adoption would entitle each
member of the couple to twelve workweeks of leave, taken either
simultaneously or within the same twelve months. Presumably, that is why
childbirth and adoptionthe circumstances included within subparagraph
(A) or (B) of subsection (a)(1)are included here, while the employees
own serious health conditionthe circumstance included under
subparagraph (D) of subsection (a)(1)remains unnamed.
What, then, is the implication of the specific inclusion of caring for a
sick parent? When would it be that a husband and a wife would both be
caring for a parent? We can safely assume that Congress was not
addressing the possibility of an incestuous marriage. To say that the
language was addressing the possibility of both spouses having to look after
their individual biological parents within the same twelve-month period
would be to describe a situation in which there is no special reason to think
married couples were more likely to impose a burden on an employer than
were two otherwise similar but unrelated employees. Rather, it seems that
11
Id. at 1011.
12
29 U.S.C. 2612(f).
13
S. REP. NO. 103-3, at 28.
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1563
this provision is written on the assumption that a husband and wife might
each be caring, at some time during the year, for the same persona person
who is the biological parent of one of them and thus related to the other
only as an in-law. And it further assumes that, except as provided in this
provision, both of those persons would be entitled to leave. There is,
moreover, modest support in the Senate Report for this reading: in its
Summary of the Bill, the Report says that [s]pouses employed by the
same employer are limited to a total of 12 weeks of leave for the birth or
adoption of a child or for the care of a sick parent with both child and
parent in the singular.
14
What, then, are the choices for interpreting the term parent? One
possibility is to understand the definition of parent as restricted to the
employees own biological parents, with the in loco parentis exception. In
this case, insofar as the provision above applies to spouses both caring for a
parent, it seems to have no purpose. Another possibility is to read both the
initial provision for leave and the limitation for married couples as
effective, making them as consistent with each other as we can make them.
In that case, we should say that the basic description of leave to care for a
parent (including the definition of parent) should not be read with the
negative pregnant that excludes parent-in-law, but rather that parent
should be read to include that relationship.
15
If that is so, even when
spouses work for different employers, each is entitled to leave in order to
care for a parent-in-law.
Or should we say that the statute is ambiguous between these
possibilities? That alternative is of legal, not just linguistic, consequence
because of the Chevron doctrine.
16
The basic mode for enforcement of the
Family and Medical Leave Act is through the courts, initiated by lawsuits
brought either by employees themselves or by the Department of Labor.
17
But the Secretary of Labor is also given the authority and responsibility to
prescribe such regulations as are necessary to carry out the basic
14
Id. at 2. I should perhaps point out that this spouses employed by the same employer provision
differentiates among other cases because its limitation on leave applies to care for a sick parent under
subparagraph (C) while subparagraph (C) itself speaks of care for the spouse, or a son, daughter, or
parent, of the employee. 29 U.S.C. 2612 (a)(1)(C). This would apparently allow both parents to take
their full leaves to care for the same sick child, even if they worked for the same employer; accordingly,
the provision as a whole seems to underexecute the idea of not giving employers an incentive to refuse
to hire both married partners. In the absence of evidence as to why this was done, perhaps the best that
can be said is that there may have been a deal here to go so far and no further. Even if that were the ex-
planation, it does not destroy the point made in the text. The statute only needs to address the case of
caring for a sick parentor, if you like, the limitation on caring for a sick parent contained in this provi-
sion was only worth bargaining forif, without the language, both spouses would be entitled to take
protected leave.
15
The statutory definition would still do work: it would exclude step-parents (unless they qualified
under in loco parentis). See 29 U.S.C. 2611(7).
16
See Chevron U.S.A., Inc. v. Natural Res. Def. Council, Inc., 467 U.S. 837 (1984).
17
29 U.S.C. 2617.
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provisions of the Act.
18
The Department issued extensive regulations
shortly after the Act was passed and has recently comprehensively revised
them; in both cases there were notice-and-comment proceedings that, per
United States v. Mead Corp.,
19
make Chevron applicable in this context.
Both the original regulations
20
and the current ones
21
explicitly state
that parent does not include parents in law. The statement of basis
and purpose for the present regulations offers no explanation for this
decision and seems to carry over this part of the original regulatory
language without further thought.
22
But at the time the first set of
regulations was being adopted, many participants in the process urged that
the final regulations specify that parents-in-law be included, and the
statement of basis and purpose accompanying the original regulations
rejected that claim explicitly.
23
The agency proffered no particular policy reason for making this
choice. It is always possible that, because the agency wrote the regulations
just after the statute had been enacted, it had some additional, unexplained
insight into what Congress was trying to accomplish. What it said,
however, was that [s]tandard rules of statutory construction required the
result, given the Acts definition of parent.
24
However, the regulations
adopted to implement the provision of the Act regarding two spouses with
the same employer also said, without further explanation, that the couple
may be limited to a combined total of 12 weeks of leave . . . if the leave is
taken: . . . (3) to care for the employees parent with a serious health
condition.
25
The regulations thus replicated the confusion present in the
statute itself with no notice of, or effort to resolve, the disjunction.
26
So where does this leave us? The statute seems somewhat confused,
and there is a duly promulgated regulation providing that parent does not
include parent-in-law. The agency justified this regulation based on its
reading of the text of the statute but did not fully address the complications
involved. If we view Chevron as saying that courts need a strong reason for
overturning an agencys regulations when a statute is doubtful, then the
regulation should prevail. If, however, we view Chevron as saying that
courts should defer to an agencys view when it is based on policy
18
Id. 2654.
19
533 U.S. 218, 22627 (2001).
20
29 C.F.R. 825.113 (1995).
21
29 C.F.R. 825.122 (2009).
22
See Family and Medical Leave Act of 1993, 73 Fed. Reg. 67,934, 67,95051 (Nov. 17, 2008).
23
Family and Medical Leave Act of 1993, 60 Fed. Reg. 2180, 2191 (Jan. 6, 1995).
24
Id.
25
29 C.F.R. 825.202 (1995). The unhelpful discussion of this language in the statement of basis
and purpose is in Family and Medical Leave Act of 1993, 60 Fed. Reg. at 2201.
26
The new regulation is organized differently but seems to end up at the same conclusion. See 29
C.F.R. 825.201 (2009). The statement of basis and purpose offers little enlightenment. See Family
and Medical Leave Act of 1993, 73 Fed. Reg. at 67,973.
104:1559 (2010) Statutory Interpretation
1565
considerations but should not defer when the question is one of traditional
statutory interpretation, then a court should insist on what is probably the
better (albeit not unambiguous) view of the text: that parent does include
parent-in-law.
27
A legitimate judicial opinion could be written either way.
B. An Interpretation Based on an Analysis of the Situation
Let us now see what this question of statutory interpretation looks like
if we approach the problem in an entirely different fashion. We are still
trying to determine the legally effective meaning of parent used in the
statutory specification of one of the grounds for an entitlement to leave: In
order to care for the spouse, or a son, daughter, or parent, of the employee,
if such spouse, son, daughter, or parent has a serious health condition.
28
But instead of tying our analysis of parent to the intricacies of, and
varying authority of, numerous legal texts, let us instead begin with the
situation the statute was addressing and look for the meaning of parent
from that point of view.
The Family and Medical Leave Act makes it possible for employees to
take leave when their own health requires itwhich is not the situation that
makes parent relevantand to care for others when they need help
which is where the scope of parent matters. Parent describes a familial
relationship, as do the statutes other coverage terms: spouse, son, and
daughter; it seems uncontroversial (whatever the wisdom of the matter) to
say that the FMLA distinguishes care in a familial relationship from other
possible types of caring relationships. Moreover, the statute distinguishes
immediate family relationships from extended family relationships.
Providing care for an uncle does not count. Thus, it seems reasonable to
understand the statute as directed to helping (or at least making it possible
for) the working members of the family unit to assume a family obligation
of care for a close family member.
In this situation, is providing care for a parent-in-law sufficiently like
providing care for a parent that it should be understood to be included in
the statute? A parent-in-law is of course a family member as the statute
understands family, because he or she is already a parent to one of the
spouses. The question for the family unit is this: which of the spouses
ought to provide the needed care requiring absence from work? If we
imagine a discussion between the spouses addressing that question, we
might find them considering the following, among other matters: which of
them is better at rendering care; if both work, who makes more money at
work, or whose job demands more ongoing personal continuity; which of
them gets along better with the ill person; how they feel (pro or con) about
27
See Carcieri v. Salazar, 129 S. Ct. 1058, 1069 (2009) (Breyer, J., concurring) (rejecting Chevron
deference although there was statutory ambiguity because the decision did not implicate departmental
expertise).
28
29 U.S.C. 2612(a)(1)(C) (2006).
N O R T H W E S T E R N U N I V E R S I T Y L A W R E V I E W
1566
the cultural stereotype that, for many, still counsels that this type of work is
womens work; whether one of them is already occupied with other
caregiving responsibilities; and so on. Of course, even in discussions
within the family unit, it might come down to biological connection; shes
your mother is a not-unheard-of claim. But allowing coverage for a
parent-in-law does not eliminate coverage for a parent. If we view the
family as a working relationship to which society often leaves (or delegates)
matters of care and understand the matter from the point of view of the
participants, a rule that allows for the care of both parents and parents-in-
law, and therefore allows the choice of caregiver to be made on other-than-
biological grounds, better matches the situation.
When I say better matches, it is not that ordinary employees cannot
see the linguistic ambiguity in parent or cannot distinguish between the
terms parent and parent-in-law. It is rather that, from a practical point
of view, they would resolve the ambiguity in favor of understanding the
statutes use of parent to include both possibilities. It would not make
sense to them for the law both to help them care for aged members of the
family and yet to draw a distinction between a biological parent and a
parent-in-law. The point is behavioral as well as linguistic: the
interpretation depends on the distinctions people make (or do not make) as
they go about their business, not just the way they speak.
29
Which is not to say that there is no counterargument to be made, even
using the general method of looking at the situation rather than at the
intricacies of various formal texts. If the statute is viewed as directed to
individuals carrying out their responsibilities, rather than to families doing
the same, the statutory selection of spouse, son, daughter, and
parent might simply name the conventionally most important
relationshipsthe ones where it matters most to people that they be
allowed leave to provide care. On that basis, do parents and parents-in-law
stand on the same footing? The actual relationships that exist between
29
See Justice Grays mix of linguistic and behavioral evidence when speaking for the Court in Nix
v. Hedden, 149 U.S. 304 (1893), where the question (for tariff purposes) was whether the tomato was a
fruit or a vegetable:
Botanically speaking, tomatoes are the fruit of a vine, just as are cucumbers, squashes, beans, and
peas. But in the common language of the people, whether sellers or consumers of provisions, all
these are vegetables, which are grown in kitchen gardens, and which, whether eaten cooked or
raw, are, like potatoes, carrots, parsnips, turnips, beets, cauliflower, cabbage, celery, and lettuce,
usually served at dinner in, with or after the soup, fish, or meats which constitute the principal part
of the repast, and not, like fruits generally, as dessert.
Id. at 307.
Should we also ask how employers conceive of this situation? I think not. An employer asked to
grant leave might (or might not) have an opinion on whether care for a parent-in-law should qualify, but
it would not be an active participant in the underlying caregiving situation. However, the practices of
employers might well be relevant for other issues arising under the Act, such as what constitutes em-
ployment at a specific worksitewhich is relevant for purposes of counting the number of employees in
order to apply the Acts exclusion of small employers.
104:1559 (2010) Statutory Interpretation
1567
individual spouses and their parents-in-law vary widely. Some married
people spend their whole lives estranged from their in-laws, while others
live in the same house with them and call them mom and pop. Of
course, the relationships between adults and their own parents run a gamut
as well. But if one hazards the guess that in general each adult cares more
about his or her own parents than about his or her spouses parents, then,
from this point of view, reading the statute to distinguish the cases would
make sense.
Although this second alternative exists, the first way of trying to
understand the statute in terms of the situationthat is, the approach that
sees it as fundamentally about a familial rather than individual situationis
probably to be preferred. It embodies a richer and more dynamic sense of
the context. And there is some support for it in the words of the statute; as
Congress explicitly stated, the first-named purpose of the Act is to balance
the demands of the workplace with the needs of families.
30
But just as we
concluded a few pages ago with regard to basing the Acts interpretation on
the intricacies of various formal legal texts, here, too, a judicial opinion
could probably be written either way.
31
II. THE TWO METHODS COMPARED
We have looked at two very different methods by which the statutory
term parent could be interpreted. The first method emphasizes the
multiplicity, intricacies, and relative authority of legal texts; the second
emphasizes the interplay of the core statutory language with the practical
situation to which it is addressed.
32
How should we evaluate these
differences?
As is evident, the distinction between these two methods is not that
one solves the problem and the other does not. Alternative conclusions
are possible within each method. This result is not, in my view, surprising.
There is a large body of literature to the effect that neither in theory nor in
fact do alternative methods of statutory interpretation, by themselves,
decide most cases of any difficulty.
33
There are usually subsidiary,
embedded issues that can go one way or the other. But that does not mean
that the choice of method is irrelevant: different methods raise different
subsidiary, embedded issues. If we ask of doctrines of statutory
interpretation not that they control the case, but that they direct the attention
of the interpreter to what it is that ought to matter, then the choice is real.
30
29 U.S.C. 2601(b)(1).
31
See supra Part I.A.
32
I should acknowledge that I have purposefully avoided giving either method any of the possible
conventional names that might be used to describe it for fear of entangling my argument in various con-
troversies that would be subsidiary to my main point.
33
See, e.g., CROSS, supra note 2, at 199200 (describing trends in circuit court practice of varying
methods of statutory interpretation); Brudney & Ditslear, supra note 3, at 28.
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Accordingly, we might begin our comparison of these two methods by
asking what range of materials, what sorts of factual predicates, each of
them uses. Here is a list for the first method:
The specific statutory provision being construed: In order to care
for the spouse, or a son, daughter, or parent, of the employee . . . .
Other provisions of the Act: a statutory definition and another use of
the relevant words in a disparate provision
A committee report
An on-point administrative regulation and other regulations for
comparison
The agencys statements of basis and purpose accompanying its
regulations
Modest assumptions about social life
And here is a list for the second method:
The specific statutory provision being construed: In order to care
for the spouse, or a son, daughter, or parent, of the employee . . . .
Social understandings of biological and nonbiological family
relationships
Common intrafamily practices for allocating family burdens
Cultural stereotypes
Modest assumptions about the rest of the statute
Let us start by considering the first and last bullet points in each list.
As to the first, it is of course the same in each list: the specifically
applicable statutory provision. That is not remarkableit is hard to
imagine a method of statutory interpretation that does not consider the
words of the statute to be relevant. But I stress the point because I fear
some may think that the second method I have presented just invents the
law and has nothing to do with construing the statute. That is plainly
wrong. The second approach is an attempt to come to terms with the
statutory inclusion of parent within the statutory quadruplet of spouse,
son, daughter, and parent, just as much as the first one is. Absent
some constitutional claim, there would be no argument for covering
parents-in-law under either method if the statute were amended to exclude
them explicitly.
As to the last bullet point in each list, together they suggest, broadly
speaking, that these methods are not hermetically sealed off from each
other; instead, each makes modest reference to the materials thought most
important by the other. So, for example, in the first method, in trying to put
the different textual uses of parent together, it was necessary to assume
that incestuous marriages were rare in society and would not, for both
descriptive and prescriptive reasons, be the groundwork of congressional
action. And in the second method, it was helpful, in deciding which of the
104:1559 (2010) Statutory Interpretation
1569
situational analyses was most persuasive, to mention the explicit statutory
statement of purpose with its reference to helping family units. Even in
their purest forms, methods of statutory construction are often
interconnected, differing in emphasis more than in absolute inclusion and
exclusion.
Which brings us to the middle bullet points. To see what is at stake in
their differences, we might view them within a broaderlonger and more
general but probably still not all-inclusivelist of sources that at one time
or another have been used to guide the interpretation of statutory terms:
Other parts of the same statute
Legislative materials surrounding passage of the statute
Uses of the same words in other, closely connected statutes
Common law usages
Interpretations by a relevant administrative agency
Dictionary definitions
Usual practices of lawyers expert in the particular field of law
Scientific or technical usages
Distinctions made in a relevant situation by a relevant trade
Lay usages and cultural meanings
Common social practices regarding a relevant situation
This list is organized, roughly speaking, to proceed from the most
specific sorts of materials to the most general.
34
What it reveals, I think, is
that the interpretive materials that are used to flesh out statutes are each
connected, expressly or impliedly, to an institutional context. This is not
accidental; it is this institutional context that potentially gives them force.
This is obvious as regards the materials at the very top of the list, which are
thought one way or another to show Congresss meaning. It seems clear
also in the middle of the list, where the organized expertise of
administrative agencies or of teams of lexicographers are claimed to
validate their interpretations. But it is also true as we move to the bottom of
the list. It is not the idiosyncratic voice of the single scientist or tradesman
that carries weight; it is the voice of the relevant science or trade as an
organized practice.
35
And as sociologists and anthropologists spend their
lives proving, common social and cultural practiceswhich appear at the
very end of the listare, in this sense, institutionally grounded too. They
bear the marks of the structures and social forces within which they were
34
As will become clearer, this list is not meant to represent a hierarchy of authority either top to
bottom or bottom to top, but rather an open field of choices that has to be put down on paper somehow.
35
This becomes clear if one considers how trade practice, for example, is proven in court as an in-
stitutional usage. For a particularly clear case arising from the parallel body of law in which parties
have tried to prove trade usage for purposes of interpreting the language of a contract, see Frigaliment
Importing Co. v. B.N.S. Intl Sales Corp., 190 F. Supp. 116, 117, 119 (S.D.N.Y. 1960), in which parties
tried to prove the trade usage of the word chicken.
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created, and of the efforts of people to deal reasonably with those situations;
they are not simply the statistical cumulation of personal eccentricities.
Choosing to use any of these materials for interpretive purposes means
choosing an institutional lens through which to see the matter at hand and
caring about how the matter looks from that point of view. Modern
scholarship has sensitized us to this fact as regards sources near the top of
the list that come from formal legal institutions.
36
But the point remains the
same as we move down the list.
Of course, one can consider a problem from more than one point of
view. Presumably one wants to choose the point of view that is (or points
of view that are) most significant for the matter at hand. That, I think, is
what is at stake in comparing the middle bullet points for the two methods
of construing parent in the FMLA. The first method uses materials that
highlight the interpretations and interactions of the formal governmental
institutions involved.
37
The second method uses materials that highlight the
common practices and meanings generated by ordinary people faced with
the situation the statute addresses. If that is, broadly speaking, what is at
stake, two questions arise. First, are both approaches legitimate? Second,
if they are, how are we to decide when one is to be preferred over the
other?
38
III. ARE MULTIPLE APPROACHES LEGITIMATE?
Undoubtedly, the first method we have looked at, based on formal
legal texts, is more familiar than the second, especially among those who
have read the recent academic literature on statutory interpretation.
39
There
seems to be no doubt as to its overall legitimacy, notwithstanding whatever
disputes remain as to its best incarnation. But just because method two,
based on a situational analysis, is unfamiliar does not imply that it is
36
See, e.g., John F. Manning, Textualism as a Nondelegation Doctrine, 97 COLUM. L. REV. 673,
695706 (1997).
37
I acknowledge that I have suppressed many local disputes (such as whether judges should, or
should not, consult legislative history) in my effort to present a broader terrain that, it seems to me, has
often been missed.
38
Perhaps this is the place to mention that I do not propose to address the further complications
raised when there is a large span of time between the passage of a statute and its application to a novel
question. The issues are thoughtfully canvassed in WILLIAM N. ESKRIDGE, JR., DYNAMIC STATUTORY
INTERPRETATION (1994), and Peter L. Strauss, On Resegregating the Worlds of Statute and Common
Law, 1994 SUP. CT. REV. 429.
39
See Jonathan Molot, The Rise and Fall of Textualism, 106 COLUM. L. REV. 1, 2329 (2006)
(moderate textualism has prevailed and only minor squabbles remain). But see John F. Manning, What
Divides Textualists from Purposivists?, 106 COLUM. L. REV. 70, 11011 (2006) (something substantial
does remain). To get a clear statement of what I have presented as the second method, it may be neces-
sary to go back as far as Karl N. Llewellyn, Remarks on the Theory of Appellate Decision and the Rules
or Canons About How Statutes Are to Be Construed, 3 VAND. L. REV. 395, 397 (1950), claiming that
what matters most is the sense of the situation as seen by the court.
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illegitimate. Is there only one proper method, or can method two also be
used?
The claim that some version of the first method is in principle the only
permissible method for construing statutes rests, as far as I can tell, on the
claim that every issue of statutory interpretation is framed by two
overwhelmingly important facts: the statute is passed by a legislature that is
democratically elected, and it is interpreted by a court that is not.
40
This
combination is thought not only to require legislative supremacy in the
ordinary sensefor example, in the sense that a legislature can amend a
statute to override a courts statement of the law based on the statutes prior
versionbut also to limit drastically the options open to courts when
statutes are ambiguous, have gaps, or conflict with each other. These two
facts are, of course, highly relevant under method one, with its emphasis on
the relative value of materials generated by various governmental
institutions. But they would be treated as not especially relevant under
method two, which on this theory would therefore be a poor choice. More
generally, since these two facts are thought to be constitutionally inflected,
this claim comes down to the proposition that some version of method one
is the only legitimate version of statutory interpretation.
Building a theory of statutory interpretation simply on this basisthat
what is always the fundamental issue is the interpretation of the expression
of the democratic will by an unelected judiciaryfaces great difficulties.
First, most of the judges who give statutes their final interpretations are
elected. A great many statutes are passed by state legislatures covering, for
example, almost all of our criminal law and the fundamentals of our
commercial law. Their authoritative construction belongs to the state
supreme courts, and the state supreme courts in most states are composed of
elected judges.
41
If being unelected is the crucial fact, then we need two
completely separate theories of statutory interpretation: one for jurisdictions
where judges are elected, and one for where they are not.
42
But no one, as
40
See, e.g., ANTONIN SCALIA, A MATTER OF INTERPRETATION: FEDERAL COURTS AND THE LAW 22
(1997) (It is simply not compatible with democratic theory that laws mean whatever they ought to
mean, and that unelected judges decide what that is.).
41
The justices of thirty-eight out of fifty state supreme courts face some sort of election; the twelve
outliers are in New England, along the eastern seaboard, and in Hawaii. See Jed Handelsman Shuger-
man, Economic Crisis and the Rise of Judicial Elections and Judicial Review, 123 HARV. L. REV. 1061,
106364 & n.2 (2010). The failure of the recent literature to take account of this fact may come from
the present tendencynot universally shared, but a real oneto view the question How should statutes
be interpreted? as synonymous with the question How should the Supreme Court of the United States
interpret statutes? The writers on legislation from earlier generations tended to deal with statutes on a
much larger canvas. See, e.g., James McCauley Landis, Statutes and the Sources of Law, in HARVARD
LEGAL ESSAYS 213, 21334 (Roscoe Pound ed., 1934); Roscoe Pound, Common Law and Legislation,
21 HARV. L. REV. 383 (1908).
42
The same point would apply to theories that emphasize other particularities of the Federal Consti-
tution. See, e.g., John Manning, Textualism and the Equity of the Statute, 101 COLUM. L. REV. 1, 5870
(2001) (arguing that in considering role of federal judges vis--vis legislation, it is important to consider
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far as I know, actually carries the proposition to this logical conclusion. To
the contrary, the leading treatise on statutory construction intermingles
citations to federal cases, to state cases from unelected courts, and to state
cases from elected courts.
43
If the response is: Well, those state-court
judges may be elected, but they are still supposed to behave like judges,
then that is the pointthe role of judge as we understand it is not
determined by whether judges are elected. After all, being unelected is not
equivalent to being a usurper: federal judges, and the judges in the
nonelecting states, are still selected to be judges through constitutionally
prescribed means. At least in the federal system, those means are firmly
controlled by elected officials: the President and the Senate. In short,
judges are selected, one way or another, to act like judges, a role whose
specifications does not depend on the presence or absence of popular
election.
Once it is conceded, however, that the only restraint is that the judge
should act like a judge, there is simply no basis for saying that there is only
one judge-like way to think about statutes. There are outer limits, of
course; judges who decide casescommon law, statutory, constitutional,
whateverthrough necromancy are not doing the judges job. But there is
a wide variety of what they can do, and have done, while still considering
themselves to be judges. For example, it may be that what I have called
method two is closer to common law thinking than method one iscloser,
that is, to using statutory terms as a foundation for analogical reasoning
based on common social patterns (within the possibilities of the statutory
text). If that is so, does it prove that the method is not judicial? I would
have thought the opposite. Of course, there may be better and worse ways
to do the job of statutory construction, but that is the point; within a broad
range, alternative methods are better or worse, not legitimate or
illegitimate.
Second, most statutory interpretation is not done by judges. Judges
necessarily act after the factafter the interpretive work done by ordinary
citizens trying to comply with the law, by private lawyers advising clients,
by public prosecutors deciding what charges (if any) to bring, by
administrative agencies enforcing statutes or making rules, and so on. In
most instances, these nonjudicial determinations will have a determinative
effect, either as a matter of law under a principle of deference or
nonreviewability, or as a matter of practice because the determination will
never be tested in court.
44
Unless we believe that statutory interpretation is
specific features of the U.S. Constitution such as life tenure for judges and protection of interests of
small states in apportionment of the Senate).
43
See, e.g., NORMAN J. SINGER & J.D. SHAMBIE SINGER, Criteria of Interpretation, in STATUTES
AND STATUTORY CONSTRUCTION 45 (7th ed., 2007).
44
See Kent Greenawalt, A Pluralist Approach to Interpretation: Wills and Contracts, 42 SAN
DIEGO L. REV. 533, 548 (2005) (Unofficial interpretation is the crucial backdrop for official interpreta-
tion.).
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legitimate only when based on a prediction of what judges would do, were
they to construe the statute on their ownand not even Justice Holmes
thought that predicting what the judges would do had normative force
45