绿洲还是海市蜃楼:伦奎斯特和罗伯茨时代最高法院对词典的渴求

J. Brudney, L. Baum
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引用次数: 17

摘要

1987年以前,最高法院对词典的使用几乎是不存在的,但在伦奎斯特和罗伯茨法院时代,词典的使用急剧增加,以至于多达三分之一的法定判决援引词典的定义。这种增长与文本主义的兴起及其对日常意义的强烈关注有关。本文从经验和理论的角度深入探讨了法院的新词典文化。我们的发现包括:(a)虽然文本主义法官是最高的词典使用者,但目的主义法官引用词典定义的频率相当;(b)在刑法领域,词典的使用尤其频繁,起到了我们所说的“通知”功能;(c)字典的使用总体上是特别的和主观的。我们展示了法院使用词典的模式如何反映了一种偶然形式的机会主义行为:大法官们几乎总是引用一本或最多两本词典,他们有不同的个人品牌偏好,他们经常偏离,他们似乎交替使用普通词典和法律词典,他们在引用法定制定时期的版本和即时案件提交时的版本方面缺乏连贯的立场。然后,文章进行了详细的理论回顾,对法官如何使用词典进行了创新的功能分析:当词典的含义不确定或在其他方面没有帮助时,作为中转站;当定义是有用的,但与更传统的资源(如教规、先例、立法历史或机构服从)相比,其重要性微不足道时,作为装饰品;并且作为阻碍调查或依赖其他背景资源的障碍,特别是立法历史和机构指导。装饰性意见(最大的一类)通常将词典分析置于法院推理的开始,巧妙地传达词典编纂方法应该比其他解释资源更重要。障碍意见在1987年之前是不可想象的,但现在却以令人不安的频率出现:它们以一种完全情境化的方式提升了法官对定义的依赖,忽视了来自制定过程和机构经验的有说服力的解释性证据。最后,本文分析了最高法院不一致使用词典的模式,以及它倾向于挑选支持其他理由得出的结果的定义,是否将词典与备受瞩目的解释资源(如教规和立法史)区分开来,这些资源在类似的基础上受到了批评。我们认为,字典不同于规范的优势,主要是因为(i)法院的两翼如何通过在意见中频繁突出定义来促进它们,以及(ii)字典如何有效地作为独立构成的客观意义来源而受到赞扬(不像作为司法部门创造的教规和作为国会产品的立法史)。然而,我们的研究结果表明,词典使用作为启发式和权威的形象是海市蜃楼。词典定义的崇高地位与法院在实践中使用它们的高度主观方式之间的这种对比反映了对词典固有局限性的关注不足,其他学者和一些上诉法官已经指出了这些局限性。此外,法官的主观词典文化很可能会误导律师,他们面临着为法官审查构建论据的责任。文章最后提出了一个三步走的计划,让最高法院养成一种更健康的方法来改掉查字典的习惯。
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Oasis or Mirage: The Supreme Court's Thirst for Dictionaries in the Rehnquist and Roberts Eras
The Supreme Court’s use of dictionaries, virtually non-existent before 1987, has dramatically increased during the Rehnquist and Roberts Court eras to the point where as many as one-third of statutory decisions invoke dictionary definitions. The increase is linked to the rise of textualism and its intense focus on ordinary meaning. This Article explores the Court’s new dictionary culture in depth from empirical and doctrinal perspectives. Among our findings are (a) while textualist justices are the highest dictionary users, purposivist justices invoke dictionary definitions with comparable frequency; (b) dictionary use is especially heavy in the criminal law area, serving what we describe as a Notice function; (c) dictionary use overall is strikingly ad hoc and subjective. We demonstrate how the Court’s patterns of dictionary usage reflect a casual form of opportunistic conduct: the justices almost always invoke one or at most two dictionaries, they have varied individual brand preferences from which they often depart, they seem to use general and legal dictionaries interchangeably, and they lack a coherent position on citing to editions from the time of statutory enactment versus the time the instant case was filed.The Article then conducts a detailed doctrinal review, leading to an innovative functional analysis of how the justices use dictionaries: as way stations when dictionary meanings are indeterminate or otherwise unhelpful; as ornaments when definitions are helpful but of marginal weight compared with more traditional resources like the canons, precedent, legislative history, or agency deference; and as barriers that preclude inquiry into or reliance on other contextual resources, especially legislative history and agency guidance. Ornamental opinions (the largest category) typically locate dictionary analysis at the start of the Court’s reasoning, subtly conveying that the lexicographic method should matter more than other interpretive resources. Barrier opinions would have been inconceivable prior to 1987 but now occur with disturbing frequency: they elevate the justices’ reliance on definitions in a radically acontextual manner, ignoring persuasive interpretive evidence from the enactment process and from agency experience. Finally, the Article analyzes whether the Court’s patterns of inconsistent dictionary usage, and its tendency to cherry-pick definitions that support results reached on other grounds, distinguish dictionaries from high-profile interpretive resources such as canons and legislative history that have been criticized on a similar basis. We contend that dictionaries are different from a normative vantage point, essentially because of (i) how both wings of the Court have promoted them by featuring definitions frequently and prominently in opinions, and (ii) how dictionaries are effectively celebrated as an independently constituted source of objective meaning (unlike the canons as judicial branch creations and legislative history as a congressional product). Yet our findings demonstrate that the image of dictionary usage as heuristic and authoritative is a mirage. This contrast between the exalted status ascribed to dictionary definitions and the highly subjective way the Court uses them in practice reflects insufficient attention to the inherent limitations of dictionaries, limitations that have been identified by other scholars and by some appellate judges. Further, the justices’ subjective dictionary culture is likely to mislead lawyers faced with the responsibility to construct arguments for the justices to review. The Article concludes by offering a three-step plan for the Court to develop a healthier approach to its dictionary habit.
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