On Rawlsian Contractualism and the Private Law

Forthcoming in Print, November 2022.

Introduction: Paradigm Shift and the Rejection of the Conventional View

Shifts in academic paradigms are rare. Still, it was not long ago that the values taken to govern the private law were thought to be distinct from the values governing taxation and transfer. This was thought to be true, although for different reasons, in both philosophical and economic accounts of private law. The question was, for example, whether the law of contract and tort is properly governed by the values of autonomy and corrective justice or by distributive concerns instead. The conventional, indeed, the nearly universal view of Rawlsianism—the overwhelmingly dominant theory of liberalism and distributive justice—was that the private law lies beyond the scope of Rawls’s two principles of justice.1.See, e.g., Bruce A. Ackerman, Social Justice in the Liberal State 195 (1980); David Lyons, Ethics and the Rule of Law 131–32 (1984) (asserting “the principles of justice” “do not apply to private arrangements and transactions”); Anthony T. Kronman, Contract Law and Distributive Justice, 89 Yale L.J. 472, 474, 477 (1980) (noting the “unconcern with the distributive consequences of . . . private arrangements”).Show More

Simply put, for Rawlsianism, the private law was not thought to be the province of distributive concerns. In more academic terms, the private law is not properly understood to be subject to Rawls’s range-limited principles of justice. In this conventional view, the private law is not part of what Rawls describes as “the basic structure of society,” which is roughly limited to basic constitutional liberties and taxation and transfer. This view invites the conclusion that Rawlsian political philosophy—despite its lexically ordered, distributive demand that economic institutions are to be arranged to the maximal benefit of the least well-off—is stunningly neutral with respect to the economic arrangements and ordering of the private law. This thinking led to the conclusion that the private law, if it is to exist, may be justified by values or principles other than Rawls’s lexically ordered principles of justice, whether wealth-maximization, autonomy, or pre-conceived or even pre-political notions of property entitlement.2.Kevin A. Kordana & David H. Tabachnick, Rawls and Contract Law, 73 Geo. Wash. L. Rev. 598, 599–600 (2005) [hereinafter Kordana & Tabachnick, Rawls & Contract].Show More

At the same time, the dominant view in law and economics has been that the private law should be sanitized of egalitarian or equity-oriented values.3.Louis Kaplow & Steven Shavell, Why the Legal System Is Less Efficient than the Income Tax in Redistributing Income, 23 J. Legal Stud. 667, 667–69 (1994).Show More The seductive idea was that any desired egalitarian moves could be achieved more efficiently through systems of income taxation and transfer than through any egalitarian alterations in private law rules. The conclusion was that the private law should be constructed to maximize wealth (e.g., optimal deterrence in tort), leaving equity-oriented demands for the system of income taxation and transfer.4.Id.Show More The argument’s invited conclusion was that any egalitarian (i.e., non-wealth-maximizing) adjustments to private law rules are inefficient, even if well-intentioned, private law constructions. If one conjoins the conclusions of both arguments, even a Rawlsian arguably ought to adopt the wealth maximizing conception of the private law.

Our early work, arguing against the conventional view, lead to a sustained analysis of this law and economics argument as well.5.David Blankfein-Tabachnick & Kevin A. Kordana, Kaplow and Shavell and the Priority of Income Taxation and Transfer, 69 Hastings L.J. 1 (2017). In outlining what he terms the three most crucial scholarly “caveats” to Kaplow and Shavell’s argument, Guttentag writes,A second caveat to the double-distortion presumption has to do with property rights. . . . Blankfein-Tabachnick and Kordana argue that taking property rights as a given is deeply problematic for the double-distortion presumption because property rights themselves are a creation of the legal system. Moreover, property rights have significant effects on the distribution of income and wealth.Michael D. Guttentag, Law, Taxes, Inequality, and Surplus, 102 B.U. L. Rev. 1329, 1336–37 (2022).Show More We have argued that there is an “entitlement” flaw in both conventional approaches.6.Blankfein-Tabachnick & Kordana, supra note 5, at 8; Kevin A. Kordana & David H. Tabachnick, Taxation, the Private Law, and Distributive Justice, 23 Soc. Phil. & Pol’y 142, 163 (2006) (“Kaplow and Shavell appear to assume the existence of an underlying system of propertyownership and free markets. [The] issue, however, is the very question of the form that property rules should take; that is, we are interested in the question of whether the equity-oriented values that differing theorists hold are best met through tax and transfer, or through (in part) the rules of property law. Thus, it is not clear that Kaplow and Shavell’s discussion, which compares tax and transfer to a tort rule (in isolation) and concludes that tax and transfer is superior in terms of economic efficiency, would (also) apply to the question of the underlying set of property rules.”).Show More Despite well-entrenched views on both sides, our objection has been well-received,7.Kordana & Tabachnick, Rawls & Contract, supra note 2, at 632 (“Our conclusions are bold. . . . [C]ontrary to the conventionally held narrow conception, contract law is within the basic structure . . . [and] the door is open for a deeper understanding of the role that private law plays in Rawlsian political philosophy—it is no longer accurate to believe that Rawlsianism is silent on matters of contract and private ordering . . . .”). Shapiro, for example, notes the similarity between our position in Kordana & Tabachnick, Rawls & Contract, supra note 2, and the recent scholarship, aptly drawing conclusions from the perspective of the new paradigm, taking its baseline as given. Matthew A. Shapiro, Distributing Civil Justice, 109 Geo. L.J. 1473, 1531 (2021). “Rawls’s theory thus does not defuse the conflicts between distributive justice and the liberal state’s other roles so much as deny them, by assigning distributive justice effective, if not formal, priority over other imperatives.” Id. at 1532. He then contrasts the new baseline with that of the former “conventional” view, ably recognizing the conflict within that view, and holding that it is “[o]nly by diluting the requirements of distributive justice” that one might “manage to harmonize them with [backward-looking or deontic] dispute resolution and rights enforcement.” Id. at 1533.Show More and change is upon the legal academy. A wide range of scholars have begun to reject these two conventional views.8.See, e.g., Samuel Scheffler, Distributive Justice, the Basic Structure and the Place of Private Law, H.L.A. Hart Memorial Lecture (May 2014), in 35 Oxford J. Legal Stud. 213, 233 (2015); Samuel Freeman, Liberalism and Distributive Justice 168, 192–93 (2018) (arguing Rawls’s principles apply to the private law); Richard L. Revesz, Regulation and Distribution, 93 N.Y.U. L. Rev. 1489, 1518 (2018) (asserting distributional concerns, not just wealth maximization, should play a broader role in regulation).Show More But in our view, scholars have not always fully recognized what we take to be the full ramifications of the private law being constructed by distributive principles.9.E.g., Arthur Ripstein, Private Wrongs 291 (2016); Freeman, supra note 8, at 185; Zachary Liscow, Note, Reducing Inequality on the Cheap: When Legal Rule Design Should Incorporate Equity as Well as Efficiency, 123 Yale L.J. 2478, 2486–87 (2014).Show More

As we say, academic paradigm shifts are rare; being at the center of one is rarer still. We are honored that the Virginia Law Review has provided us an opportunity to continue the dialogue that proceeds at the heights of the legal academy. In what follows, we aim to discuss our position regarding Rawlsian private law while engaging with scholars who have further developed this complex debate. Ultimately, we hold that, despite the purported complications, there is, as we path-breakingly argue, a Rawlsian account of the private law.

For Rawls, the “basic structure” of society is understood to embody political and legal institutions that materially affect citizens’ life prospects, such as basic constitutional liberties, security of the person, the system of taxation and transfer, schooling, and fiscal policy. These institutions are taken to be subject to and governed by what Rawls famously calls “the two principles of justice.”10 10.John Rawls, Justice as Fairness: A Restatement 42–43 (2001) [hereinafter Rawls, JaF] (“The two principles of justice [state] (a) Each person has the same indefeasible claim to a fully adequate scheme of equal basic liberties . . . and (b) Social and economic inequalities are to satisfy two conditions: first, they are to be attached to offices and positions open to all under conditions of fair equality of opportunity; and second, they are to be to the greatest benefit of the least-advantaged members of society (the difference principle).”).Show More However, significant scholarly controversy has arisen over the question of whether the private law (e.g., contract, tort, property, etc.) is properly understood to be within the basic structure of society.11 11.As we noted supra note 1, Bruce Ackerman, David Lyons, and Anthony Kronman held the conventional or narrow view that private law lies outside the basic structure. But cf. Kronman, supra note 1, at 475 (suggesting that Rawls should not have narrowed). Scheffler posits that Ripstein views private law as lying within the basic structure, Scheffler, supra note 8, at 232 (“Suppose we accept that, although private law is part of the basic structure, there is nevertheless room for it to enjoy the limited independence from distributive principles that Ripstein envisions.”), but this view is contested. See Kevin A. Kordana & David H. Tabachnick, On Belling the Cat: Rawls and Tort as Corrective Justice, 92 Va. L. Rev. 1279, 1291–92 (2006) [hereinafter Kordana & Tabachnick, Belling the Cat] (interpreting Ripstein as holding the narrow view); Freeman, supra note 8, at 168 (“[For] Ripstein . . . private law ‘has a certain kind of independence’ and should lie outside the basic structure . . . ”). In his newer work, Ripstein side-steps the question. Ripstein, supra note 9, at 291 (“The specifics of Rawls’s formulation need not concern us . . . .”). Murphy holds that the private law is inside the basic structure and that any attempt at narrowing in Rawls’s The Basic Structure as Subject is predicated on a textual mistake. Liam Murphy, Institutions and the Demands of Justice, 27 Phil. & Pub. Affs. 251, 261 & n.30 (1999); Liam Murphy, The Artificial Morality of Private Law: The Persistence of An Illusion, 70 U. Toronto L.J. 453, 457 n.11 (2020) [hereinafter Murphy, Artificial Morality] (“Rawls himself proposed evaluating institutions such as property and contract solely on the basis of social justice as identified by his two principles, which do not obviously have room for values distinctively associated with private ordering.”). Freeman and Scheffler agree that the private law is part of the basic structure. See Scheffler, supra note 8; Freeman, supra note 8; see also Aditi Bagchi, Distributive Injustice and Private Law, 60 Hastings L.J. 105, 109–11 (2008) (discussing the role of distributive justice in contract law).Show More

The controversy over the question of the breadth of the basic structure is understandable: Rawls is believed to have been less than perfectly consistent. But, with regard to the specific relationship between the private law and the basic structure, we have argued that the historically conventional view—that private law is beyond the reach of the two principles of justice—must be mistaken.

It is important to understand what is at issue in this debate. It is neither a mere scholastic exercise, nor a simple game of words; significant matters of social and economic justice are at stake. Consider, for example, the so-called “causal” requirement in tort law—typically associated with the corrective justice conception. The idea here is that, from the perspective of a consequentialist approach, tort liability ought to be constrained: tort defendants are taken to be liable only for harm they have “caused” plaintiffs and they owe a duty of repair only to such plaintiffs. This “bilateral” or interpersonal relationship, although stated several ways, is central, for example, to backward-looking approaches to tort, even despite the contested status of the concept of causation.12 12.H.L.A. Hart & A.M. Honoré, Causation in the Law 58 (1959).Show More

While the causal requirement may be a necessary condition to a number of conceptions of justice, it can also serve as a significant impediment to otherwise seemingly just “systems” or distributive approaches to accident management.13 13.Guido Calabresi, Toward A Unified Theory of Torts, 1 J. Tort L. 1, 1 (2007) (“Yes, all that can go out of torts . . .”—referring to causation and the other “hornbook [elements] of liability”—“but tort law won’t cease being.”).Show More Consider for example, unjustified risk-taking,14 14.George P. Fletcher, Fairness and Utility in Tort Theory, 85 Harv. L. Rev. 537, 540–43 (1972).Show More whether reckless or negligent. Such activity, absent an actualized harm, is insufficient to incurring tortious liability. So, ex ante accident management systems that focus on liability for unjustified risk imposition are objectionable for failing to satisfy the causal requirement. Still, ex ante liability, properly and narrowly assigned, is an important tool in the social planning and institutional design of accident management. It is useful, for example, in cost spreading and deterrence,15 15.Guido Calabresi, The Costs of Accidents: A Legal and Economic Analysis 70 (1970).Show More both of which can be instrumental to achieving certain accounts of social justice.16 16.John Rawls, A Theory of Justice 212–13 (2d ed. 1999) [hereinafter Rawls, TJ] (considering the possibility of strict liability).Show More

Indeed, our own legal system regulates driving a motor vehicle not only with tort, but also with criminal law. The latter imposes liability for what might be termed risk imposition even in the absence of harm caused—for example, penalties for speeding, driving under the influence, and violating various other traffic laws. If tort law were to be subject to the goals of social planning and distributive justice, say, a special concern for the least well-off or people most likely to bear the cost of accidents, swaths of the causal requirement may need to be jettisoned. In addition to the traffic example, market share liability, where liability is predicated upon plaintiffs’ share of a market in faulty products, as opposed to causation, also might be a common approach to tort liability and accident management. While the imposition of liability in these instances fails to comport with the traditionalist causal requirement, it may be crucial to certain forms of accident management, whether conducive to advancing the position of the poor or creating optimal deterrence with the aim of wealth creation.17 17.See, e.g., Richard A. Posner, Economic Analysis of Law 241–45 (9th ed. 2014); A. Mitchell Polinsky & Steven Shavell, Punitive Damages: An Economic Analysis, 111 Harv. L. Rev. 869, 918–20 (1999) (noting defendants should face liability above the harm caused when their gain is socially illicit).Show More

I. Distributivism and the Private Law

A. New Perspectives

The recent and overwhelming trend in the literature has been to concede, as we have long argued, that the private law, properly understood, is part of the basic structure. Yet important scholars seemingly hold that this dramatic change may not have the full implications for the private law’s substantive construction that one might expect. This is puzzling, given the Rawlsian stipulation that the basic structure defines the range-limitation of the two principles of justice.18 18.Rawls, JaF, supra note 10, at 12.Show More Indeed, one begins to wonder what the substantive difference is between a set of institutions being inside versus outside the basic structure, were the former not to entail them being subject to (i.e., governed by) the two principles of justice. The ultimate question is whether the two principles of justice would construct a substantive private law. Conceiving of the private law as inside the basic structure but not subject to the two principles of justice seems paradoxical. But scholars have worked to address the paradox. That is, they aim to construct strategies that purport to demonstrate the compatibility between Rawlsian distributive principles and values drawn from alternative accounts of the private law.

B. Conceptions of Distributivism

In the H.L.A. Hart Memorial Lecture, Samuel Scheffler, in a dramatic departure from the conventional view, has argued that the private law, for Rawls, must be located within the basic structure.19 19.Scheffler, supra note 8.Show More He starts by rejecting the view that the private law might lie outside the basic structure,20 20.Id. at 217–22.Show More notably describing the historically conventional view as intellectually “feeble,” and asks what this conception entails for the private law’s substantive construction.21 21.Id. at 233–34.Show More Scheffler discusses several well-known possibilities. The first he terms “strong distributivism,” which provides that the private law “should be designed solely to serve the distributive purposes of the difference principle.”22 22.Id. at 222.Show More He correctly rejects this position, as we have, as it ignores the lexical priority of the first (liberty-oriented) principle of justice and equality of opportunity.23 23.Id.; Kordana & Tabachnick, Rawls & Contract, supra note 2, at 610 (rejecting the strong distributivism position); Kordana & Tabachnick, Belling the Cat, supra note 11, at 1293 (same).Show More Scheffler’s “strong distributivism” focuses exclusively upon economic distribution, the domain of the difference principle (requiring distributive shares to maximize the position of the least well-off). The Rawlsian position, however, is that the liberty and opportunity principles, taken in lexical priority, constrain the difference principle’s economic construction. The first principle of justice, for example, might play a significant role in providing for the security of the person in the construction of an accident reduction and compensation scheme. Presumably, however, the difference principle would nonetheless construct much of the private law, since a great deal of the private law is chiefly concerned with economic matters. This is what we have called the High Rawlsian position.24 24.Kordana & Tabachnick, Rawls & Contract, supra note 2, at 609.Show More Importantly, the first principle of justice is not robust in the construction of property, economic relations, or the structure of the market. It is silent regarding the details of ownership and entitlement—limiting itself to what Rawls describes as “personal property.”25 25.Rawls, TJ, supra note 16, at 61; Rawls, JaF, supra note 10, at 114.Show More

The next possibility Scheffler calls “weak distributivism.”26 26.Scheffler, supra note 8, at 222 (emphasis omitted).Show More As he acknowledges, weak distributivism might appear to be an idiosyncratic, if not circular, possibility for Rawlsianism.27 27.Id. at 225.Show More The idea is this: first, a narrow, basic structure (the basic constitutional essentials and the system of tax and transfer) would be constructed to satisfy the demands of the two principles of justice, inclusive of the liberty principle and equality of opportunity. Then, one is free to add any private law construction that avoids worsening the position of the least well-off from the perspective of the baseline drawn by the initial construction.

Therefore, crucial to weak distributivism is that the selection of a conception of private law avoids “worsening the economic position of the least favoured members of society.”28 28.Id. at 222.Show More Constraining the range of the two principles of justice by excluding the private law from the initial construction and instead invoking the “not worsening test” is functionally equivalent to converting, solely for the private law, Rawls’s maximizing conception of the difference principle to a significantly weaker “sufficiency principle” analogous to the structure of the revised first principle of justice’s liberty construction.29 29.See Rawls, JaF, supra note 10, at 43.Show More This initial move creates a normatively arbitrary baseline in the initial set-up, as it is inattentive to the economic entitlements created by the private law.

Still, the choice of private law might be said to be “in” the basic structure, as it is constrained by the “no worsening” condition. The upshot is that this constraint, once satisfied, would leave the private law not constructed by the Rawlsian principles of justice, allowing that it might be “fixed in other ways.”30 30.Scheffler, supra note 8, at 222.Show More Scheffler recognizes that there is a baseline problem with respect to the “no worsening” constraint. In doing so, he aptly notes:

Suppose there is one way of designing contract law which, when the rest of the basic structure is properly designed, will maximise the position of the worst-off group. Relative to that baseline, any other way of designing contract law will worsen the position of the worst-off, and so any design that is non-optimal is ruled out. . . . And it is unclear why any other baseline would be appropriate.31 31.Id. at 225.Show More

Thus, the possibility exists that “weak distributivism” essentially collapses into strong distributivism.32 32.See id. (“But then, relative to that baseline, the weak distributivist requirement that contract law must not worsen the position of the worst-off is indistinguishable from the strong distributivist requirement that it must maximise the position of the worst off. . . . This means that there is a tendency for weak distributivism to slide in the direction of strong distributivism.”).Show More If this collapse can be somehow staved off, then ironically, weak distributivism, despite recognizing that private law is in the basic structure, may be in many ways analogous to the conventional view—which we and Scheffler reject—leaving Rawlsianism neutral with respect to a range of private law constructions.

Recognition of the baseline problem points to an even deeper concern. Weak distributivism contemplates the structure of contract and tort, without attention to the antecedent structure of the full range of property entitlements, which are fundamental to private law and are themselves a function, too, of taxation and transfer. Property, including the details of ownership and control, is itself unquestionably part of the basic structure and must be constructed according to the demands of the principles of justice. For this reason, there is a certain level of incoherence that runs through the position. Taxation and transfer require and define (respectively) entitlement baselines; these would include any rights to compensation, transfer, or exchange.

The conceptual distinction required by “weak distributivism” risks circularity. Given that private law defines and enforces entitlement baselines, the initial entitlement baseline cannot be constructed at the first step of the weak distributivist’s argument. The question of the basic structure is in no small measure the very question of economic entitlements; it would speak to the same thing. Importantly, the Rawlsian scheme is not concerned with traditional Anglo-American conceptions or doctrinal modules of the “private law” as a normative baseline. Rather, the focus is on the details of ownership and control, inclusive of personal security and transactions, governed by the two principles of justice defining who owns what and why and the details of such ownership. The weak distributivist compatibility strategy is unacceptable, given this incoherence.

In important and highly influential work, Arthur Ripstein,33 33.Ripstein, supra note 9, at 291, 293–94.Show More Samuel Freeman,34 34.Freeman, supra note 8, at 168.Show More and Gregory Keating35 35.Gregory C. Keating, Form and Substance in the “Private Law” of Torts, 14 J. Tort L. 45, 56–57 (2021).Show More have recently (re)addressed the relationship between Rawls and the private law and offered further accounts. While Ripstein’s view of the basic structure is contested, he has newly argued that the private law can remain conceptually independent of the two principles of justice. This is based on his commitment to the distinction between background justice—the domain of public law—which, for Ripstein, presupposes the idea of foreground justice, the domain of transactions. Samuel Freeman has argued, in agreement with us, that property, contracts, and much of tort law are within the basic structure, but he is skeptical of the role of the difference principle. Gregory Keating, too, has agreed that the private law is in the basic structure but holds that a form of empirical overlap may produce a form of non-principled compatibility. In what follows, we discuss these positions further.

In Private Wrongs, Arthur Ripstein aims to demonstrate compatibility between his largely backward-looking private law theory—fueled by comprehensive Kantian notions of freedom and responsibility—and Rawlsian justice.36 36.Ripstein, supra note 9, at 291.Show More Here, Ripstein appears to sidestep questions concerning the breadth of the basic structure.37 37.Id. (claiming that the “specifics of Rawls’s formulation” of the basic structure “need not concern us”).Show More But whether Ripstein holds that tort is inside or outside the basic structure, absent any stopping point akin to the “no worsening requirement” described by Scheffler, Ripstein’s private law construction is sufficiently independent of Rawls’s two principles of justice to render the distinction meaningless.

Ripstein distinguishes between background and foreground justice, where background justice is constituted by mandatory rules, constructed by the Rawlsian principles of justice, while foreground justice is the domain of the permissible voluntary or private sphere, governed by his preferred Kantian account of private law predicated on pre-institutional notions of freedom and responsibility.38 38.Id.Show More The purported demand for a private sphere, in Rawls, creates the needed space for compatibility.39 39.Id.Show More As interesting as this view is, it will not get Ripstein his independent “private” view of tort and contract. In the Rawlsian scheme, all such rules, whether constraint-imposing or liberty-allowing, are fixed constructions of the two principles of justice. Any underived distinction between background and foreground justice is off target; the principles of justice construct the very distinction in question. Such rules, then, cannot be altered in service to a “new” moralized conception of contract or tort. For Rawls, the same is true of the public/private distinction, which is not an underived starting place40 40.Kordana & Tabachnick, Belling the Cat, supra note 11, at 1288; Scheffler, supra note 8, at 233.Show More as may be found in other conceptions of liberalism, but instead the derived outcome of the construction. It would appear that Ripstein’s independent Kantian private law conception of tort and contract, derived from the re-introduction of “freedom” and “responsibility,” is not admissible at this stage. Such a (re)introduction would conflict with the Rawlsian construction, providing an alternative conception of the same.

In recent work, torts scholar Gregory Keating notes that significant areas of tort doctrine are distributive and welfare-oriented.41 41.Keating, supra note 35, at 97 (“We cannot understand or justify the law of torts without attending to the interests that it protects. . . . Our law of torts is intimately interwoven with administrative schemes, such as workers’ compensation, and with statutory regimes, such as zoning and direct risk regulation . . . .”).Show More He correctly recognizes that for Rawls, tort would be, contra the conventional view, “part of the basic structure, with its own distinctive role and concerns,”42 42.Id. at 57.Show More but importantly not walled off from the overall accident reduction scheme43 43.Id. at 97 (“‘Private law’ tort theorists also make too much of form when they present the legal category of tort as its own independent kingdom, walled off from surrounding legal fields.” (emphasis omitted)); id. at 86 (“The tort law of accidents can be wholly displaced by direct risk regulation and ‘social insurance’—as it has been in New Zealand. . . . The vulnerability of our law of torts to such eclipse casts doubt on the thought that tort law is an autonomous realm of ‘private law,’ governed by its own sui generis internal principles.” (emphasis omitted)).Show More and not directly read off of the difference principle.44 44.Id. at 57 (“For example, it would be opportunistic and objectionable to use the difference principle to determine the size of damage awards in private lawsuits.”).Show More

Keating, however, offers an (empirical) compatibilist possibility quite distinct from Ripstein’s approach. We agree with Keating’s rejection of the conventional view. But Keating may at points seem to be overly optimistic in discussing what might be even empirically compatible with a Rawlsian scheme as a matter of non-principled overlap. He remarks that the complete Rawlsian scheme of legal and political rules “is compatible with either enterprise responsibility schemes or the individual responsibility of ‘private law’ as Ripstein conceives it.”45 45.Id. at 95.Show More

The possibility of over-interpreting Keating looms large. Keating is addressing his argument to the possibility of empirical overlap in the construction of the ultimate scheme of legal rules, not to the principled commitment of the sort Ripstein offers.46 46.Id. at 96 (“The mistake would be to think that Rawls’ framework—or some other liberal theory of justice—mandates either ‘private law’ or a New Zealand scheme, or some intermediate arrangement, as a matter of first principles of justice. It does not. To make these choices, we need to supplement basic principles of justice with additional considerations and information.”).Show More There is an important distinction to make here: Rawlsianism might construct a right for individuals to bring suit or demand recourse, but such a right would not be constructed for the Kantian reasons of freedom and responsibility.

The right would instead be derived from security of the person, equality of opportunity, and economic distributive reasons. More comprehensive or Kantian conceptions would be too focused on conceptual independence, derived from freedom and responsibility, to be required at this stage of Rawlsian argument.47 47.Id. at 97; see also Christopher Heath Wellman & A. John Simmons, Is There a Duty to Obey the Law? 156 n.38 (2005) (noting self-referentially that discussion of Rawlsianism can be “aimed at a Rawls who is more Kantian than Rawls actually wished to be”).Show More But Keating may be overly optimistic of even empirical overlap, which seems unlikely to be robust given the Rawlsian scheme’s lack of commitment, for example, to the causal requirement or to backward-looking, “corrective” remedies.

Consider further possibilities. In various parts of Liberalism and Distributive Justice, especially Chapter Five, “Private Law and Rawls’s Principles of Justice, Rawls scholar Samuel Freeman provides an extensive discussion of Rawls and the private law. Freeman holds that the debate surrounding the narrowing of the basic structure owes to a mistake: an “infelicitous expression” on Rawls’s part.48 48.Freeman, supra note 8, at 194.Show More Freeman holds that the correct view of the basic structure is broad. He agrees that contract49 49.Id. at 174 (“That Rawls regards the principles of justice as applying to the law of contract . . . is pretty clearly suggested in his discussion of the principle of fairness.”).Show More and tort50 50.Id. at 189 (“Accordingly, unlike Ripstein, I think that more direct engagement with and application of the principles of justice, especially the first principle . . . is suitable for applying Rawls’s theory of justice to the details of a Rawlsian tort theory.”).Show More law are within the basic structure and are subject to construction by the principles of justice. But Freeman is somewhat skeptical of the role that the difference principle might play in the construction of tort law,51 51.Id. at 123 (“There are many social policies for which the difference principle does not appear to be the appropriate standard of assessment . . . [including] ordinary negligence and determinations of fault and remedies in non-economic torts . . . .”).Show More arguing that tort law is largely a first principle construction.52 52.Id. at 188–89.Show More

We too have extensively argued that a large part of Rawlsian accident management involves personal security as a first principle matter,53 53.Kordana & Tabachnick, Belling the Cat, supra note 11, at 1293.Show More but we also hold that a significant portion is an economic construction to be governed by the difference principle. We have called this the High Rawlsian position, consistent with the High Liberal position (ironically a term coined, as best we know, by Samuel Freeman).54 54.Samuel Freeman, Illiberal Libertarians: Why Libertarianism Is Not a Liberal View, 30 Phil. & Pub. Affs. 105, 106 (2002).Show More Freeman’s hesitance regarding the difference principle appears to derive from two main concerns: (1) an interpretation that such governance would result in decisions being “read off of” the difference principle in a direct (and unjust) manner,55 55.Freeman, supra note 8, at 123 (“Like determinations of fault and remedies in negligence cases, it would be unfair to require that assets between divorced spouses be divided so as to maximally benefit the least advantaged class . . . .”).Show More and (2) the idea that, for Freeman, torts are largely analogous to crimes; tort remedies are to respond to rights violations that should not have happened in the first instance, so they are (re)distributive, as opposed to distributive.56 56.Id. at 184–85.Show More

First, tort decisions, the very construction of the negligence standard, or the bounds of strict liability no more need to be “read-off” of the difference principle than do the rules of taxation. Tort law, and accident management more broadly, would find their home in an overall scheme that maximizes the position of the least well-off. That scheme is, of course, subject to the lexically prior liberty constraints governing security of the person. There is no commitment to any specific pre-ordained equity-oriented outcome. By analogy, the Rawlsian scheme would likely violate horizontal equity in taxation; there would be no antecedent commitment to a specified set of marginal income tax rates. The complete set of legal rules would be set in reference to the position of the least well-off. The selection ultimately is inter-schemic in order to best satisfy the requirements of the two principles of justice, not an intra-schemic reflection of equality as between individual people in rendering legal verdicts, whether in tort or taxation. Correspondingly, a poorer party surely need not necessarily prevail in civil litigation. The argument to the contrary is predicated on a misunderstanding.

Second, tort would provide security of the person consistent with sufficient liberty, but the difference principle would likely speak in part to the negligence standard; any selection between, for example, property and liability rule protection; the magnitude of honest industry; and importantly the question of who bears the cost of its attendant accidents (tragically, there always will be some). Further, tort helps define which externalities are to be internalized and which costs are to be associated with which activities.57 57.Calabresi, supra note 15, at 69, 144.Show More Much of this is distributive as opposed to redistributive or, contra Freeman, a backward-looking correction,58 58.Freeman, supra note 8, at 184.Show More setting initial baselines that will significantly affect the life-prospects of the least-well-off. Once sufficient basic liberty and opportunity are constructed, largely in terms of security of the person, the remainder would be subject to the difference principle, as opposed to, for example, notions of optimal deterrence as found in the economic analysis of law.

We will return to Freeman’s skepticism regarding the maximizing nature of the difference principle in Section III.B. But still, it is important to appreciate that the two principles of justice play different roles in what are traditionally considered different bodies of the private law, to the extent that they will invoke an economic construction. We noted above that the High Rawlsian position restricts the ability of the first principle of justice to construct any broad or robust economic entitlements. However, the first principle’s demand for security would necessitate a robust role in the accident reduction system. To the extent, for example, that the tort system provides for the delineation of risk and cost baselines pertaining to honest industry, both in protecting security of the person and maximizing the position of the least well-off, it would be constructed in service to the demands of the two principles of justice, in lexical priority.

II. Rawlsian Contractualism and the Private Law

Rawls offers a systems approach to legal and political institutions. One cannot simply construct the larger body of legal and political institutions without attention to the private law and then slip-in one’s preferred account of the substance of the private law.59 59.Kordana & Tabachnick, Rawls & Contract, supra note 2, at 621; Murphy, Artificial Morality, supra note 11, at 457 n.11 (noting Rawls proposed evaluating private law institutions on the basis of his two principles).Show More The introduction of a conceptually independent account of the private law will almost certainly upset the interworking of the system and its goals. For example, were a corrective justice-oriented account of tort to systematically and routinely require large payments from the least-well off to the better off due to negligence, it would violate the weak distributivist “no-worsening” condition.

Any rights of exchange (contract or gift), the system of accident reduction and compensation (tort), and taxation and transfer are, for Rawls, the very question of ownership, entitlement, and control. There is no pre-ordained commitment to traditional or doctrinal legal categories nor to a distinction between so-called “underlying” property rights and “transactional” rights, as might be found in some pre-institutional, doctrinal, Kantian, or Lockean accounts. Importantly, where a distributive maximand is in place, it is wholly indeterminate whether a rule imposing a fifty percent tax rate on income is to be described as a rule of tax, a rule of property, or a rule of contract.60 60.Kronman, supra note 1, at 501–05.Show More

Importantly, all entitlements need to be set in conjunction with an optimal tax rate associated with the specific maximand, the appropriately constrained difference principle. To do otherwise will create distortions from the perspective of the constrained difference principle that cannot, contra Kaplow and Shavell’s taxation and transfer thesis, simply be recuperated by adjustments in progressive marginal taxation rates without causing additional inefficiency deleterious to the position of the least well-off.61 61.Blankfein-Tabachnick & Kordana, supra note 5, at 34.Show More

For Rawls, ownership and control are to be constructed jointly as part of the system of entitlements constructed by the two principles of justice. They are the derived outcomes of the institutional construction, not the result of a direct appeal to a free-standing or underived set of first principles. To think otherwise is to significantly under-appreciate the Rawlsian project’s ambition in its rejection of traditional or doctrinal details of property and ownership and control. Rawls is offering a legal construction or “replacement” theory62 62.Rawls, TJ, supra note 16, at 95.Show More which is taken to be just by virtue of its original position (“OP”) derivation.

The selected scheme of legal and political rules is suffused with the principles of justice; new or exogenous fairness or justice-oriented objections to the scheme are misplaced at this stage of the argument. Such objections, coherently raised, must be addressed to the derivation of distributive principles themselves or the Rawlsian assumptions that constructed them. It is in this sense that Rawlsianism is importantly distributive, as opposed to re-distributive.63 63.Kordana & Tabachnick, Rawls & Contract, supra note 2, at 621; Murphy, Artificial Morality, supra note 11, at 457 n.11 (noting Rawls’s principles “do not obviously have room for values distinctively associated with private ordering”).Show More In our estimation, much of the worldwide allure and intellectual sensation surrounding Rawlsianism, for better or worse, owes to this very fact: the two principles of justice create afresh.

The principles of justice are addressed, at least, to legally enforceable interpersonal relationships. Were values associated with non-distributive conceptions of private law necessary to justice in the well-ordered society, representatives in the OP would have imposed such values upon the principles of justice themselves. To re-introduce such values at the stage of the legal construction would be to deviate from the very conception of justice derived in the OP.

True, the two principles of justice are not addressed to all normative matters, for example, aesthetic or romantic values. Still, it is important to note that the non-aesthetic aspects of, say, museum administration, such as endowment policy, taxation and nonprofit status, etc., would be regulated by the two principles of justice; so too would, by analogy, the non-academic, fiscal aspects of universities and the details of property ownership among life-partners, households, etc., during the pendency of their arrangements and in the context of separation or divorce. Even though Rawls’s two principles of justice do not speak to everything, the first principle of justice might be required to weigh-in on, say, a right to bequeath personal property, and would, too, constrain the difference principle in governing the tenets of religious doctrine within religious organizations as a matter of freedom of thought and conscience protected by the lexically prior first principle. The domain of non-applicability is quite narrow, indeed.

Current, conventional notions of marriage allow each partner a veto power, but do not require input from third-party stakeholders who might be affected (such as children, parents, and grandparents).64 64.John G. Bennett, Freedom and Enforcement: Comments on Ripstein, 92 Va. L. Rev. 1439, 1440–41 (2006).Show More A Rawlsian scheme would consider, although need not accept, the possibility of alternative arrangements in order to satisfy the demands of the two principles of justice. The structure of a legally binding ability to enter or exit civil commitments might be designed in service to the first principle of justice, while the second principle of justice might construct the conception of equality of opportunity and the economic nature of such relationships. But presumably some interpersonal dynamics of family or romantic life would remain open, as mandated by the first principle of justice. The same holds, by analogy, for the aesthetic evaluations necessary to a bona fide museum of fine art or the academic standards of a university.

The two principles of justice are forward-looking. The difference principle is maximizing a feature we discuss further in Part III, subject to lexically prior constraints of liberty and equality of opportunity. Given these features of Rawlsianism, there is little indeterminacy or non-mandated “openness” in the selected scheme of legal and political rules. In discussing institutional design, Rawls draws an analogy between the rules of taxation and contract law,65 65.Rawls, Political Liberalism 268 (2005) [hereinafter Rawls, PL].Show More holding that the operative bodies of both are part of background (i.e., distributive) justice and, therefore, subject to the principles of justice. Rawls arguably invokes notions of “simplicity” and “practicality,” consistent with the principles of justice, as a mere guidepost for institutional design, perhaps constructing rules that apply to end-state users: individual citizens.66 66.Scheffler, supra note 8, at 221.Show More But if this is correct, despite all the controversy, it is not clear where “openness” sufficient to the construction of exogenous conceptions of private law might be found nor how an appeal to such demands might be motivated at this stage.

While it is true that the two principles of justice are range-limited, it is inconceivable to hold, as the conventional view once did, that the operative function of any private law construction should be understood as other than under the domain of the two principles of justice. Indeed, Scheffler describes it as intellectually feeble.67 67.Id. at 233.Show More This seems particularly clear if one considers the role such operative bodies of law would play in the provision of security of the person and in defining markets and the free and fair terms of cooperation and economic exchange.

Once the Rawlsian scheme of legal and political rules is selected, compatibility between Rawlsianism and non-distributive mandates concerning any “private law” construction seem ill-motivated. Further still, the re-introduction of such private law conceptions risks threatening the very framework Rawls set out to devise. The Rawlsian ideal is to construct a complete set of just legal and political institutions for the basic structure of society, acceptable even to property skeptics. Independent accounts of the private law are competing approaches often derived from a moralized account of the Anglo-American common law,68 68.E.g., Elizabeth Sepper & Deborah Dinner, Sex in Public, 129 Yale L.J. 78 (2019) (discussing the history of public values in the common law).Show More as in the New Private Law Theory. As such, they speak to the same thing; they offer a competing conception of the very same concepts. Importantly, for Rawls there still may be constructed private law modules,69 69.David Blankfein-Tabachnick, Maximizing Intellectual Property: Optimality, Synchronicity, and Distributive Justice, 94 St. John’s L. Rev. 1, 51 (2020).Show More representing, for example, innovation policy, accident management, commercial reliance, etc., but these modules need not pattern our conventional doctrinal law of intellectual property, tort, or contract, respectively.

Return now to the question of compatibility with traditional private law or ex post private law conceptions. The problem, as we see it, runs even deeper still. The Rawlsian OP-derived construction is robust. For Rawls, “justice” is the sector of the concept of “right” that encompasses prominent social, political, and legal institutions.70 70.Rawls, TJ, supra note 16, at 95 (“[T]o establish a complete conception of right, . . . parties in the original position are to choose in a definite order not only a conception of justice but also principles to go with each major concept falling under the concept of right.”).Show More Importantly, even the social institution of promising and promise keeping is governed by the OP-derived two principles of justice.71 71.Id. at 303–04 (“I shall not regard promising as a practice which is just by definition . . . There are many variations of promising just as there are of the law of contract. Whether the particular practice . . . is just remains to be determined by the principles of justice.”).Show More

Further, it is not only the conception of justice that is OP-derived for Rawls. Any remaining sectors of the concept of “right,”72 72.Seana Shiffrin suggests, in a non-Rawlsian context, that contract law may be derived from principles of right rather than solely from principles of justice. Seana Valentine Shiffrin, The Divergence of Contract and Promise, 120 Harv. L. Rev. 708, 716 (2007).Show More we are told, “are . . . relatively few in number and have a determinate relation to each other.”73 73.Rawls, TJ, supra note 16, at 95.Show More It is true that we are neither told what the sectors of rightness might be, nor are we given the content of the principles for each sector. But we are, importantly, given the procedure by which they are to be derived, the OP.74 74.Id.Show More So, the ultimate construction is conceived of as “rightness as fairness.”75 75.Id. (“[T]he broader notion of rightness as fairness is to be understood as a replacement for existing conceptions.”).Show More It seems unlikely that any such OP derived principles would magically construct Anglo-American private law or have space for something much akin to it. Rawls himself lists as candidates, OP-derived, “principles for individuals,” and “the law of nations.”76 76.Id. at 93–94.Show More Once one adds those to the principles for institutions, it is hard to imagine what might be left.

Rawls discusses principles for individuals, inclusive of the OP-derived “natural duties.” But for Rawls, the natural duties are not natural in the ordinary sense77 77.George Klosko, Political Obligation and the Natural Duties of Justice, 23 Phil. & Pub. Affs. 251, 254 (1994); Wellman & Simmons, supra note 47, at 156 n.38 (“[T]he natural duties actually discussed by Rawls are not ‘natural’ in any very strong sense, but are only the ‘postinstitutional’ moral duties that original position reasoners would select to bind themselves in their subsequent interactions.”).Show More of the term—they are not exogenous of the OP-construction. So, both the principles that apply to individuals and those that apply to social institutions are OP-derived constructions.78 78.Rawls, TJ, supra note 16, at 95.Show More As such, they serve as a “replacement” for an ordinary language account of the normative concepts in question.79 79.Id. (“[T]he concept of something’s being right is the same as, or better, may be replaced by, the concept of its being in accordance with the principles that in the original position would be acknowledged to apply to things of its kind.”).Show More And to avoid conflict, the two sets of principles, those that apply to institutions and to individuals, operate in conjunction and must not conflict, which explains the demand for the complete OP derivation.80 80.Id. at 294 (“[T]he choice of principles for individuals is . . . simplified [since] principles for institutions have already been adopted. The feasible alternatives are . . . narrowed . . . to those that constitute a coherent conception of duty and obligation when taken together with the two principles of justice. . . . [L]et us suppose . . . the choice of the principle of utility . . . as the standard for the acts of individuals. . . . [This] would lead to an incoherent conception of right. The criteria for institutions and individuals do not fit together properly.”).Show More The principles of justice, those for institutions, are required first81 81.Id. at 93 (“The important thing is that the various principles are to be adopted in a definite sequence . . . .”); id. (“[T]he principles for the basic structure of society are to be agreed to first, principles for individuals next . . .”).Show More to set needed baselines without which notions of “harm” or “obligation,” for example, would be incoherent or lack normative force.82 82.Id. (“[O]bligations presuppose principles for social forms” and duties for individuals “presuppose such principles . . . .”).Show More

Given the demands of the OP-derived two principles of justice and the OP-derived principles that apply to individuals, it is not at all clear where (conflicting) ordinary normative notions might fit and even more importantly, why they would be needed in a theory of this kind.83 83.Id. at 95 (“[T]hat principles for institutions are chosen first shows the social nature of the virtue of justice, its intimate connection with social practices . . . .”); id. (“The intuitive idea is this: the concept of something’s being right is the same as, or better, may be replaced by, the concept of its being in accordance with the principles that in the original position would be acknowledged to apply to things of its kind. I do not interpret this concept of right as providing an analysis of the meaning of the term ‘right’ as normally used in moral contexts. It is not meant as an analysis of the concept of right in the traditional sense. Rather, the broader notion of rightness as fairness is to be understood as a replacement for existing conceptions.”).Show More The Rawlsian OP construction imposes all necessary justice-oriented requirements upon the principles of justice, which in turn construct legal institutions. Any appeal to “everyday” or pre-institutional normative values or the Anglo-American common law itself is ill at home with the mandates of the Rawlsian construction.84 84.Murphy, Artificial Morality, supra note 11, at 457 n.11.Show More Importantly, common law doctrine or moralized accounts cannot serve as the normative baseline. While it is true that the Rawlsian system does ultimately admit of reflective equilibrium,85 85.Rawls, TJ, supra note 16, at 95–96.Show More this does not open the floodgates to insert antecedently desired moralized legal or political modules.

Consider, as an instructive example, how private law might construct the role of gift-giving in a Rawlsian system. It could be quite constrained. There is no guarantee that, post-institutionally, persons would be “free” to act in accord with (pre-institutional) notions of beneficence. Gift-giving could upset entitlements as defined and implemented by the two principles of justice. Such transfers could be closed in certain settings as a direct matter; for example, it might be instrumental to the scheme to limit or eliminate donor influence at charities. In addition, gift-giving might be taxed. This might include taxation of the donor, the recipient, or both and need not pattern the current U.S. tax code or the “Duberstein test.”86 86.See 26 U.S.C. § 102; Comm’r v. Duberstein, 363 U.S. 278, 287–88 (1960).Show More This tax rate could equal or even exceed 100%, perhaps on the notion that the donor gains “sway” or “sycophant appeal” while losing some welfare, while the recipient, at the same time, gains welfare. Or, if progressive taxation were instrumental to the scheme, it would be unlikely that donors in an intra-familial setting be allowed a deduction, lest high-earners be able to “level down” their incomes through donations to lower-income family members.

Now, consider the role of “openness” in a Rawlsian system. Rawlsian entitlements might instrumentally construct some space in which individuals would govern (post-institutional) liberty to transact voluntarily. Such openness would be mandatory. As such, it could not be reconstructed87 87.Felipe Jimenez, Contracts, Markets, and Justice, 71 U. Toronto L.J. 144, 162 (2021) (discussing optimistically a hypothetical compatibility between distributive principles and the given terms of contract doctrine).Show More by the demands of an alternative theory,88 88.E.g., Zhong Xin Tang, Where the Action Is: Macro and Micro Justice in Contract Law, 83 Mod. L. Rev. 725, 727 (2020) (providing an elegant account of the macro/micro realms and advocating for a compatibility between constraints of reciprocity, notions of justice in transaction, etc.).Show More say, Friedian contract law.89 89.Charles Fried, Contract as Promise: A Theory of Contractual Obligation 1 (2d ed. 2015).Show More Further, such alternative conceptions of contract law would not be deployable as warrant for broadening the openness in the Rawlsian system. The boundaries of openness are determined by the two principles of justice; any demands for a distinct range of openness derived from an alternative theory of contract would conflict.

III. The Possibility of Incompleteness: Scheffler’s Lacunae Hypothesis

While Scheffler agrees that the “private law” is properly understood to be within the basic structure, he raises the hypothetical possibility that distributive principles may be insufficient to fully construct an acceptable system of private law. The hypothesis is that there are aspects of a sufficiently satisfactory private law, and perhaps criminal law, that are just not about distributive justice. This hypothetical insufficiency would provide a demand for the operation of additional non-distributivist principles to construct the aspects of private law. As Scheffler points out, notably similar lines of questioning can be found in important work by both John Goldberg90 90.John C.P. Goldberg, Introduction: Pragmatism and the New Private Law, 125 Harv. L. Rev. 1640, 1660–61 (2012).Show More and Seana Shiffrin.91 91.Shiffrin, supra note 72, at 712.Show More But Goldberg and Shiffrin are non-Rawlsians and offer theories quite distinct from Rawls. Still, the issue is this: What if additional principles, drawn from the concept of justice, are needed for a satisfactory private law construction—values whose principles we have not been given by Rawls?92 92.Scheffler, supra note 8, at 224, 232 (discussing possibility the two principles of justice might “threaten . . . the realisation of ‘the important values expressed by free and fair agreements.’”).Show More

Yet recall that the OP-derived principles of justice construct the private law as a function of the objective index of the primary goods, with attention to the social value of self-respect, in contrast to utilitarianism. This alone would go a great distance to slow the line of questioning, were the concern that Rawsianism may bear some of utilitarianisms’ alleged shortcomings surrounding, say, a purportedly impoverished account of promise keeping. Where exactly might the insufficiency lie? The Rawlsian OP, itself, is the “modeled” conclusion to a complex foundationally deontic argument predicated upon underived, pre-theoretic notions of human (a.) freedom and rationality and (b.) equality. Then, consider the OP-derived two principles of justice that provide a constructed account of (c.) balanced basic liberty, (d.) equality of opportunity, (e.) equality and efficiency in economic relations, (f.) the lexical ordering among them, and their implementation measured in terms of (g.) the objective index of the primary goods.93 93.Kordana & Tabachnick, Belling the Cat, supra note 11, at 1286–87.Show More It is difficult to imagine what more is needed qua a theory of justice of this kind, particularly with respect to the purported incompleteness of legal institutions.

One is always free to raise high-order objections, whether to the two principles of justice as an incomplete or objectionable OP-derivation or object to the OP itself. But a danger of the skeptical line of questioning regarding “insufficiency” is that it may encourage getting things backward. The substance of Anglo-American private law is neither primitive nor the correct normative baseline for Rawlsianism. Private law constructions are the outcome of inter-schemic comparisons among complete schemes of legal and political institutions.

But Scheffler poses the higher-order concern:

If private law belongs to the basic structure, and if the role of principles of justice is to regulate the basic structure, and if principles of distributive justice . . . do not suffice to regulate private law, then there must be some other principles that regulate private law, and they too must be principles of justice for the basic structure.94 94.Scheffler, supra note 8, at 232.Show More

Scheffler’s hypothetical concern is that Rawls has been silent on this issue, and if there were a need for such additional principles, such silence leaves lacunae in the Rawlsian system. But Scheffler’s suggestion is that such hypothetical lacunae would derive, not from openness in the maximizing system as others have held, but from a potential conceptual incompleteness in Rawlsianism. That is, the possibility that distributive justice is not sufficient to construct a satisfactory conception of the private law.95 95.Id. at 228–29 (considering the possibility “that the terms of cooperation already mentioned are incomplete. Private law is not to be guided solely by the need to [satisfy the two principles of justice]. There are additional provisions that also have a role to play.”).Show More

For Scheffler, rectifying any hypothetical incompleteness would require additional principles and an account of how they are to function consistently among the existing principles of justice. But were there such a need, Rawls has been silent. As Scheffler recognizes, “we have not been told what [they] are.”96 96.Id. at 232.Show More But, still, we have been told quite a lot—against a backdrop of Rawls’s property-skepticism—about the justice-suffused principles of justice that, in the alternative, would govern the private law. If one finds the resulting scheme unsatisfactorily incomplete, that is, containing lacunae, that would be grounds for turning to another, non-Rawlsian approach to the private law, likely one grounded in pre-institutional principles of property entitlement.

But were Rawls’s silence, in fact, revelatory of incompleteness—as opposed to the more obvious explanation, a lack of necessity—we have been given the procedure by which principles are to be constructed, namely the OP. Whatever the content of the as yet non-existent principles, it is unlikely that additional principles that would construct conventional, doctrinal, or ex post conceptions of the private law would survive the OP and be consistent with what exists. Constructing additional principles that (1) do not conflict with what we have, such that they (2) do not simply provide a competing account of the same is a difficult needle to thread.

Consider just how difficult it would be: the creation of a sector of justice, distinct from the domain of the two principles of justice, which are taken to cover security of the person in terms of liberty, equality of opportunity, and the construction of economic relations. True, an additional principle, lexically ordered, is conceivable; perhaps a principle imposing something akin to “choice sensitivity,” “responsibility,” “voluntarism,” or even expansive “private ownership.” But such a principle, specifically addressing private ordering of, for example, the account of private property rights, the primacy of the outcomes of consensual exchange, rights to exclude, contract, etc., would likely be either (1) addressed to the same subject as the difference principle and inevitably create conflict, or (2) require a very stringent lexical ordering to avoid conflict. Rawls has not always been so stringent in lexical ordering, shifting away from the liberty principle as maximizing to a sufficiency principle, significantly hampering the difference principle’s domain. But adding such new constraints to the scheme would inevitably lower the provision of primary goods to the least well-off. Such hampering may potentially even create a class of the “justifiably poor,” if the difference principle’s lexical subordination were to prevent the “grossing up” of shares that were reduced in service to the new, antecedent principle(s). The possibility of a shipwreck would appear to loom large. While tinkering with the Rawlsian system is worth considering, as one should not be driven to Rawlsian fundamentalism, this approach does seem to be striking out in a rather non-Rawlsian direction.

Still, it is true that Rawls writes of “free” and “fair” markets, at least once noting that “straightaway” we need an account of what “free” and “fair” mean.97 97.Rawls, PL, supra note 65, at 266.Show More But do we have reason to doubt these terms would be constructions of the two principles of justice? The principles provide an account of the very same. Here, Rawls is responding to the “free market” or Lockean argument associated with Robert Nozick.98 98.Id.Show More It would be unusual if Rawls had intended an account of “free” and “fair” other than one derived from the two principles of justice.99 99.Elizabeth Anderson, The Ethical Limitations of the Market, 6 Econ. & Phil. 179, 182 (1990) (discussing the normative structure of markets).Show More It would be further surprising if Rawls had offered a more Lockean approach to the “market” than the conception constructed by the two principles of justice in one of Rawls’s few responses to Nozick.

But Scheffler is clear that his suggestion of incompleteness is merely hypothetical. He leaves open the possibility that Rawls has given us enough for a theory of this kind and more specifically enough to know that Rawlsianism, would, on this account, be in principled conflict with independent conceptions of the private law, e.g., the corrective justice conception of tort or the will theory of contracts.100 100.Scheffler, supra note 8, at 234 (“We may decide that such principles are complete, and that our institutions are to be guided solely by distributive considerations. . . . Alternatively we may decide that they are not complete . . . .”).Show More It is unclear that we have been betrayed by silence.

In their recent and stimulating book on tort doctrine and civil recourse, Recognizing Wrongs, John Goldberg and Benjamin Zipursky touch on Scheffler’s H.L.A. Hart lecture. They interpret Scheffler and Rawls as requiring that an account of justice must have “something to say about the law of torts” and agreeing that private law would properly be understood as within the Rawlsian basic structure.101 101.John C.P. Goldberg & Benjamin C. Zipursky, Recognizing Wrongs 14 (2020).Show More While we agree (1) that the private law is within the basic structure, contra the conventional view, and (2) that it seems inevitable that the Rawlsian scheme would need to manage accidents, we caution, again, that this need not entail critical formal features of Anglo-American tort law. Rawlsianism would seem to require an accident management system, but not necessarily conventional “tort law;” recall Keating’s instructive remarks on, for example, the New Zealand accident scheme.

But Goldberg & Zipursky are doctrinal in their approach to tort law.102 102.Id. at 355 (mentioning “the nature of private rights of action” as a key feature of tort law); id. at 228 (“[P]art of our aim here is to capture lawyerly understandings of the common law of torts.”); id. at 258 (contrasting their approach with that of Dworkin and Posner and stating that they do not “suppose that courts are engaged in the task of crafting optimal rules or making the law the best it can be”).Show More We agree that the ultimate Rawlsian scheme would likely provide individuals an avenue for redress, which may even be basic in the Rawlsian sense103 103.Id. at 30.Show More as a matter of security of the person, but the structure and form that avenue might take remains to be determined by the two principles of justice. While it is true that accounts associated with the “New Private Law Theory” may have a connection to justice in ordinary parlance, this is not the Rawlsian conception.

For Rawls, absent the sort of OP-derived revision Scheffler hypothesizes, the Rawlsian scheme would have to make do with liberty, equality of opportunity, and economic equality in the construction of tort rules. Out of fairness to Rawls, this does go a good deal further than the ordinary language use of the term “distributive justice,” typically limited to the economic distribution.104 104.Id. at 353 (noting Rawls is “frequently miscast as exclusively being a theorist of distributive justice” and commenting on the potentially “misleading” nature of characterizing the liberty-oriented first principle of justice as distributive).Show More Given Rawls’s more expansive account, it is not clear that distributive justice would need to be given lexical priority over other forms of justice in ordinary parlance.105 105.Cf. Goldberg, supra note 90, at 1661 & n.110 (arguing that principles of private law need to be accommodated with distributive justice rather than be lexically subordinate to distributive justice).Show More

IV. Reciprocity, Fair Terms of Cooperation, and the Difference Principle

From the broadest perspective, the two principles of justice represent the normative value of what Rawls describes as “reciprocity,” or what can be described in lay terms as the fair terms of social cooperation. The “difference principle,” maximizing the position of the least well-off, constructs the economic aspects of the complete scheme of legal and political rules.

Here, one might draw a distinction between post-institutional entitlement and the more universal pre-political value of human equality and worth. For Rawls, the concepts of entitlement and ownership are constructed by legal and political rules, instrumentally in service to the two principles of justice. Deep notions of freedom and equality for Rawls are universal, or pre-political; they lie behind the construction of the OP and, correspondingly, the derivation of two principles of justice.

A. The Rawlsian Systems Approach

The relationship between the two principles of justice and Rawls’s views concerning the value of reciprocity has caused, in our view, undue disagreement in the literature. The disagreement has called into question whether Rawlsianism is best understood as a maximizing theory and may disguise how it is best distinguished from welfarism.

The Rawlsian aim is to produce a “systems” theory in contrast with what he takes to be the distributively flawed utilitarian or welfarist approach to the evaluation of social institutions. Rawls distinguishes his approach from the welfarist approach associated with utilitarianism or the economic analysis of law. Importantly, Rawls’s two principles of justice bear a maximizing component, which is, as we say, taken in lexical priority and does not aggregate value, in the same manner one finds in utilitarianism or law and economics.

Further, Rawlsianism ranks institutions according to their provision of an objective index of primary goods, as opposed to welfarism or wealth-maximization, which measure value in subjective “preference fulfillment” or monetary terms, respectively. In distinguishing his conception of distributive justice from utilitarianism, Rawls points out that the two principles of justice represent the abstract ideal of “reciprocity” or the “fair terms of cooperation,” as distinct from objectionable aggregating theories.

From these observations, however, it does not follow that the difference principle, over its proper range of application, is not correctly understood as a maximizing principle. Instead, the difference principle is best understood as a domain-specific maximizing principle which embodies a component of the complete conception of reciprocity, in conjunction with lexically prior values. That is, the difference principle sets the economic baselines required for a coherent evaluation of the fair terms of cooperation. The difference principle is not a proxy for the value of social reciprocity, rather, the difference principle is a component of the two principles of justice that concretely define the value of reciprocity or, in ordinary language, the fair terms of cooperation. In our view, the maximizing nature of the difference principle seals in the conception of justice, rendering the system impervious to alternative conceptions. It sucks the air out of the metaphorical room.

B. Freeman and Conceptions of Economic Reciprocity

Given the role that “maximizing” plays in our account, we address the suggestion that the difference principle may not be best understood as a maximizing principle. In what follows, we (1) discuss Samuel Freeman’s important claims that the difference principle may be best understood, in the first instance, as a non-maximizing (potentially) intra-schemic relational principle. We then discuss (2) the role of the primary goods, as opposed to wealth or subjective preference fulfillment, as the correct metric for evaluating private law constructions, and the lexical priority of liberty and opportunity over the difference principle, and finally (3) what we take to be the correct Rawlsian view of “reciprocity” or the fair terms of cooperation.

In recent and important work, Samuel Freeman has discussed the Rawlsian difference principle and the idea of reciprocity.106 106.Freeman, supra note 8, at 107.Show More For Freeman, the difference principle is not to be understood as imposing a maximizing demand, but instead as the expression of the value of reciprocity or the fair terms of cooperation. But Freeman analyzes the idea of reciprocity somewhat in isolation and appears to (re)evaluate it separately from (1) the lexically prior liberty and opportunity constraints of the two principles of justice and (2) the set of institutional rules and entitlements that ultimately instantiate the very conception of reciprocity in concrete terms.

Our concern derives from the idea that Freeman may be reintroducing a new conception of reciprocity addressed to the wrong level. The abstract conception of reciprocity must ultimately impose specific substantive constraints on legal institutions or construct finite or specific legal rules via the two principles of justice. Freeman proposes a conception of the difference principle as an intra-schemic “relational” principle, as opposed to a maximizing one. In his estimation, this conception better instantiates a conception of reciprocity.

Freeman, in contrast to our view, holding that Rawls views the difference principle itself as a principle of reciprocity,107 107.Id. at 125 (citing Rawls, JaF, supra note 10, at 64).Show More goes on to argue that this implies that the difference principle is non-consequentialist and non-maximizing.108 108.Id. at 125, 186.Show More Freeman argues that “the justice of distributions to the least advantaged [is] decided by how well off they are compared with the most advantaged.”109 109.Id. at 125.Show More That is, the difference principle is an intra-schemic relational principle. But can this be right? True, Rawls is concerned with reciprocity, but notions of reciprocity are partially embedded in the (maximizing) difference principle itself. In other words, for Rawlsianism, the two principles of justice define the fair and just (or free and fair); they are suffused with the notion of reciprocity. Reciprocity is not to be reduced to the difference principle nor reintroduced as a separate intra-schemic, relational notion at the level of applying the difference principle. In our view, intra-schemic reciprocity is a derived outcome of the inter-schemic selection, not a starting place.

In rejecting the maximizing conception of the difference principle, Freeman provides an example of a society with a minimum share of $40,000. The possibility of achieving a $42,000 minimum share exists but should be rejected if it were to entail “substantial inequalities that are unjust.”110 110.Id.Show More Consider, perhaps, that the $42,000 minimum scheme contains considerably more billionaires than the $40,000 scheme. Yet concerns about that would seem to have been solved by the difference principle, properly understood and applied. We are evaluating shares in primary goods, not dollars. The former includes the social value of self-respect.

Freeman is correct that the (narrow) monetary package component of the (more robust) total package of primary goods received by the least well-off may expand or contract as between competing schemes of (selected) legal and political institutions. So, for the economist measuring solely in dollars, true, the Rawlsian scheme appears to be non-maximizing. But the difference principle is maximizing, subject to prior lexical constraints, in terms of the position of the least well-off in the total provision of primary goods.

By analogy, given that primary goods include security of the person, the Rawlsian difference principle would move away from an aggregating utilitarian scheme, in favor of a scheme with a greater demand for personal security. Given that one is maximizing in terms of primary goods, as opposed to dollars, security would not be completely traded away in favor of purely monetary shares. Presumably this would shrink the monetary component of the primary goods package available to members of the class of the least well-off. For example, the Rawlsian scheme might include more personal security, but smaller monetary shares, than the utilitarian scheme. Again, the two principles of justice—evaluated in terms of their provision of primary goods—provide, for Rawls, the account of reciprocity between persons and the fair terms of cooperation. Freeman here aims to (re)impose an alternative conception of equality (i.e., lower income disparity) than the two principles of justice would allow, while at the same time limiting the conception of reciprocity to the difference principle.

Freeman’s intra-schemic concern seems reminiscent of an objection to Rawls from the perspective of a more aggressive form of egalitarianism; namely, G.A. Cohen’s critique of the difference principle. That is, that the difference principle’s maximizing demands are objectionable, given Cohen’s commitment to a lower quantum of income disparity within the selected scheme.111 111.G.A. Cohen, Incentives, Inequality, and Community, The Tanner Lectures on Human Values 268 (May 21 & 23, 1991) (“I question [the difference principle’s] application in defense of special money incentives to talented people. . . . [T]he idea that an inequality is justified if, through the familiar incentive mechanism, it benefits the badly off is more problematic than Rawlsians suppose . . . .”).Show More It is hard to see how representatives in the OP, maximizing self-interest and precluded from reasoning from envy112 112.Rawls, TJ, supra note 16, at 131.Show More or comprehensive doctrine, might have grounds to object to the maximizing conception of the difference principle. Rawls is, after all, a liberal whose chief goal is a sustained critique of the distributive flaws in utilitarianism. He is not independently committed to an intra-schemic relational conception of egalitarianism.113 113.Id. at 130–31 (“If there are inequalities in income and wealth, and differences in authority and degrees of responsibility, that work to make everyone better off in comparison with the benchmark of equality, why not permit them? . . . Thus the basic structure should allow these inequalities so long as these improve everyone’s situation, including that of the least advantaged, provided that they are consistent with equal liberty and fair opportunity.”).Show More

Consider the chart Rawls provides on page sixty-two of Justice as Fairness: A Restatement:

Line chart

Description automatically generated

The y-axis is the least advantaged group; x, the most advantaged group; D represents the difference principle; N, the Nash point; B is Benthamite utilitarianism; F is feudalism and the J-J line is the highest equal justice point touched by the D. Here, Rawls is clearly aiming at maximizing the position of the least well-off (see point D) and demonstrating how this involves some sacrifice by the most advantaged group (cf. point B), while maximizing the position of the least advantaged group.

It is important to note that the chart compares the optimal application of alternative distributive principles. Rawls, for expository purposes, is comparing principles bearing differing axiologies (i.e., value systems) in order to amalgamate these principles on a single chart. But one must take care not to over-interpret the significance of the reductionist comparison for purposes of understanding whether the difference principle is maximizing. Rawls clearly interprets the difference principle as maximizing the position of the least advantaged group on the y-axis.

The upshot is that while Rawlsianism does not invoke maximization regarding monetary shares—in this Freeman would be absolutely correct—the theory is, nevertheless, maximizing. Once sufficient basic liberty, in respect of the two moral powers, and equality of opportunity are established, the correct comparison is among competing sets of institutions in their capacity to maximize the position of the least well-off. While this is not the account typically found in the economic analysis of law, it is nevertheless a maximizing and consequentialist theory, if a constrained one. A commitment to any independent or newly advanced intra-schemic relational conception of economic equality would appear unmotivated, given the full Rawlsian conception of reciprocity. This, too, is not merely a scholastic exercise. Interpreting Rawls as other than maximizing in making the final inter-schemic selection among completing sets of legal and political rules would, in our view, upset the (derived) account of intra-schemic reciprocity that owes to the selection itself.

Conclusion

There has been a welcome academic shift in perspective with regard to Rawls and the private law. This shift points to the conclusion that despite decades of international debate, there is a Rawlsian account of the private law satisfactory to contractualist theory of its kind. If we are correct, this account conflicts with important aspects of alternative approaches to private law, theoretical and doctrinal. Whether the Rawlsian account is fully satisfactory to those committed to alternative approaches is an open question; but if not, that is, in our view, a question that should be addressed to the acceptability of Rawlsianism itself.

  1. See, e.g., Bruce A. Ackerman, Social Justice in the Liberal State 195 (1980); David Lyons, Ethics and the Rule of Law 131–32 (1984) (asserting “the principles of justice” “do not apply to private arrangements and transactions”); Anthony T. Kronman, Contract Law and Distributive Justice, 89 Yale L.J. 472, 474, 477 (1980) (noting the “unconcern with the distributive consequences of . . . private arrangements”).
  2. Kevin A. Kordana & David H. Tabachnick, Rawls and Contract Law, 73 Geo. Wash. L. Rev. 598, 599–600 (2005) [hereinafter Kordana & Tabachnick, Rawls & Contract].
  3. Louis Kaplow & Steven Shavell, Why the Legal System Is Less Efficient than the Income Tax in Redistributing Income, 23 J. Legal Stud. 667, 667–69 (1994).
  4. Id.
  5. David Blankfein-Tabachnick & Kevin A. Kordana, Kaplow and Shavell and the Priority of Income Taxation and Transfer, 69 Hastings L.J. 1 (2017). In outlining what he terms the three most crucial scholarly “caveats” to Kaplow and Shavell’s argument, Guttentag writes,A second caveat to the double-distortion presumption has to do with property rights. . . . Blankfein-Tabachnick and Kordana argue that taking property rights as a given is deeply problematic for the double-distortion presumption because property rights themselves are a creation of the legal system. Moreover, property rights have significant effects on the distribution of income and wealth.Michael D. Guttentag, Law, Taxes, Inequality, and Surplus, 102 B.U. L. Rev. 1329, 1336–37 (2022).
  6. Blankfein-Tabachnick & Kordana, supra note 5, at 8; Kevin A. Kordana & David H. Tabachnick, Taxation, the Private Law, and Distributive Justice, 23 Soc. Phil. & Pol’y 142, 163 (2006) (“Kaplow and Shavell appear to assume the existence of an underlying system of property ownership and free markets. [The] issue, however, is the very question of the form that property rules should take; that is, we are interested in the question of whether the equity-oriented values that differing theorists hold are best met through tax and transfer, or through (in part) the rules of property law. Thus, it is not clear that Kaplow and Shavell’s discussion, which compares tax and transfer to a tort rule (in isolation) and concludes that tax and transfer is superior in terms of economic efficiency, would (also) apply to the question of the underlying set of property rules.”).
  7. Kordana & Tabachnick, Rawls & Contract, supra note 2, at 632 (“Our conclusions are bold. . . . [C]ontrary to the conventionally held narrow conception, contract law is within the basic structure . . . [and] the door is open for a deeper understanding of the role that private law plays in Rawlsian political philosophy—it is no longer accurate to believe that Rawlsianism is silent on matters of contract and private ordering . . . .”). Shapiro, for example, notes the similarity between our position in Kordana & Tabachnick, Rawls & Contract, supra note 2, and the recent scholarship, aptly drawing conclusions from the perspective of the new paradigm, taking its baseline as given. Matthew A. Shapiro, Distributing Civil Justice, 109 Geo. L.J. 1473, 1531 (2021). “Rawls’s theory thus does not defuse the conflicts between distributive justice and the liberal state’s other roles so much as deny them, by assigning distributive justice effective, if not formal, priority over other imperatives.” Id. at 1532. He then contrasts the new baseline with that of the former “conventional” view, ably recognizing the conflict within that view, and holding that it is “[o]nly by diluting the requirements of distributive justice” that one might “manage to harmonize them with [backward-looking or deontic] dispute resolution and rights enforcement.” Id. at 1533.
  8. See, e.g., Samuel Scheffler, Distributive Justice, the Basic Structure and the Place of Private Law, H.L.A. Hart Memorial Lecture (May 2014), in 35 Oxford J. Legal Stud. 213, 233 (2015); Samuel Freeman, Liberalism and Distributive Justice 168, 192–93 (2018) (arguing Rawls’s principles apply to the private law); Richard L. Revesz, Regulation and Distribution, 93 N.Y.U. L. Rev. 1489, 1518 (2018) (asserting distributional concerns, not just wealth maximization, should play a broader role in regulation).
  9. E.g., Arthur Ripstein, Private Wrongs 291 (2016); Freeman, supra note 8, at 185; Zachary Liscow, Note, Reducing Inequality on the Cheap: When Legal Rule Design Should Incorporate Equity as Well as Efficiency, 123 Yale L.J. 2478, 2486–87 (2014).
  10. John Rawls, Justice as Fairness: A Restatement 42–43 (2001) [hereinafter Rawls, JaF] (“The two principles of justice [state] (a) Each person has the same indefeasible claim to a fully adequate scheme of equal basic liberties . . . and (b) Social and economic inequalities are to satisfy two conditions: first, they are to be attached to offices and positions open to all under conditions of fair equality of opportunity; and second, they are to be to the greatest benefit of the least-advantaged members of society (the difference principle).”).
  11. As we noted supra note 1, Bruce Ackerman, David Lyons, and Anthony Kronman held the conventional or narrow view that private law lies outside the basic structure. But cf. Kronman, supra note 1, at 475 (suggesting that Rawls should not have narrowed). Scheffler posits that Ripstein views private law as lying within the basic structure, Scheffler, supra note 8, at 232 (“Suppose we accept that, although private law is part of the basic structure, there is nevertheless room for it to enjoy the limited independence from distributive principles that Ripstein envisions.”), but this view is contested. See Kevin A. Kordana & David H. Tabachnick, On Belling the Cat: Rawls and Tort as Corrective Justice, 92 Va. L. Rev. 1279, 1291–92 (2006) [hereinafter Kordana & Tabachnick, Belling the Cat] (interpreting Ripstein as holding the narrow view); Freeman, supra note 8, at 168 (“[For] Ripstein . . . private law ‘has a certain kind of independence’ and should lie outside the basic structure . . . ”). In his newer work, Ripstein side-steps the question. Ripstein, supra note 9, at 291 (“The specifics of Rawls’s formulation need not concern us . . . .”). Murphy holds that the private law is inside the basic structure and that any attempt at narrowing in Rawls’s The Basic Structure as Subject is predicated on a textual mistake. Liam Murphy, Institutions and the Demands of Justice, 27 Phil. & Pub. Affs. 251, 261 & n.30 (1999); Liam Murphy, The Artificial Morality of Private Law: The Persistence of An Illusion, 70 U. Toronto L.J. 453, 457 n.11 (2020) [hereinafter Murphy, Artificial Morality] (“Rawls himself proposed evaluating institutions such as property and contract solely on the basis of social justice as identified by his two principles, which do not obviously have room for values distinctively associated with private ordering.”). Freeman and Scheffler agree that the private law is part of the basic structure. See Scheffler, supra note 8; Freeman, supra note 8; see also Aditi Bagchi, Distributive Injustice and Private Law, 60 Hastings L.J. 105, 109–11 (2008) (discussing the role of distributive justice in contract law).
  12. H.L.A. Hart & A.M. Honoré, Causation in the Law 58 (1959).
  13. Guido Calabresi, Toward A Unified Theory of Torts, 1 J. Tort L. 1, 1 (2007) (“Yes, all that can go out of torts . . .”—referring to causation and the other “hornbook [elements] of liability”—“but tort law won’t cease being.”).
  14. George P. Fletcher, Fairness and Utility in Tort Theory, 85 Harv. L. Rev. 537, 540–43 (1972).
  15. Guido Calabresi, The Costs of Accidents: A Legal and Economic Analysis 70 (1970).
  16. John Rawls, A Theory of Justice 212–13 (2d ed. 1999) [hereinafter Rawls, TJ] (considering the possibility of strict liability).
  17. See, e.g., Richard A. Posner, Economic Analysis of Law 241–45 (9th ed. 2014); A. Mitchell Polinsky & Steven Shavell, Punitive Damages: An Economic Analysis, 111 Harv. L. Rev. 869, 918–20 (1999) (noting defendants should face liability above the harm caused when their gain is socially illicit).
  18. Rawls, JaF, supra note 10, at 12.
  19. Scheffler, supra note 8.
  20. Id. at 217–22.
  21. Id. at 233–34.
  22. Id. at 222.
  23. Id.; Kordana & Tabachnick, Rawls & Contract, supra note 2, at 610 (rejecting the strong distributivism position); Kordana & Tabachnick, Belling the Cat, supra note 11, at 1293 (same).
  24. Kordana & Tabachnick, Rawls & Contract, supra note 2, at 609.
  25. Rawls, TJ, supra note 16, at 61; Rawls, JaF, supra note 10, at 114.
  26. Scheffler, supra note 8, at 222 (emphasis omitted).
  27. Id. at 225.
  28. Id. at 222.
  29. See Rawls, JaF, supra note 10, at 43.
  30. Scheffler, supra note 8, at 222.
  31. Id. at 225.
  32. See id. (“But then, relative to that baseline, the weak distributivist requirement that contract law must not worsen the position of the worst-off is indistinguishable from the strong distributivist requirement that it must maximise the position of the worst off. . . . This means that there is a tendency for weak distributivism to slide in the direction of strong distributivism.”).
  33. Ripstein, supra note 9, at 291, 293–94.
  34. Freeman, supra note 8, at 168.
  35. Gregory C. Keating, Form and Substance in the “Private Law” of Torts, 14 J. Tort L. 45, 56–57 (2021).
  36. Ripstein, supra note 9, at 291.
  37. Id. (claiming that the “specifics of Rawls’s formulation” of the basic structure “need not concern us”).
  38. Id.
  39. Id.
  40. Kordana & Tabachnick, Belling the Cat, supra note 11, at 1288; Scheffler, supra note 8, at 233.
  41. Keating, supra note 35, at 97 (“We cannot understand or justify the law of torts without attending to the interests that it protects. . . . Our law of torts is intimately interwoven with administrative schemes, such as workers’ compensation, and with statutory regimes, such as zoning and direct risk regulation . . . .”).
  42. Id. at 57.
  43. Id. at 97 (“‘Private law’ tort theorists also make too much of form when they present the legal category of tort as its own independent kingdom, walled off from surrounding legal fields.” (emphasis omitted)); id. at 86 (“The tort law of accidents can be wholly displaced by direct risk regulation and ‘social insurance’—as it has been in New Zealand. . . . The vulnerability of our law of torts to such eclipse casts doubt on the thought that tort law is an autonomous realm of ‘private law,’ governed by its own sui generis internal principles.” (emphasis omitted)).
  44. Id. at 57 (“For example, it would be opportunistic and objectionable to use the difference principle to determine the size of damage awards in private lawsuits.”).
  45. Id. at 95.
  46. Id. at 96 (“The mistake would be to think that Rawls’ framework—or some other liberal theory of justice—mandates either ‘private law’ or a New Zealand scheme, or some intermediate arrangement, as a matter of first principles of justice. It does not. To make these choices, we need to supplement basic principles of justice with additional considerations and information.”).
  47. Id. at 97; see also Christopher Heath Wellman & A. John Simmons, Is There a Duty to Obey the Law? 156 n.38 (2005) (noting self-referentially that discussion of Rawlsianism can be “aimed at a Rawls who is more Kantian than Rawls actually wished to be”).
  48. Freeman, supra note 8, at 194.
  49. Id. at 174 (“That Rawls regards the principles of justice as applying to the law of contract . . . is pretty clearly suggested in his discussion of the principle of fairness.”).
  50. Id. at 189 (“Accordingly, unlike Ripstein, I think that more direct engagement with and application of the principles of justice, especially the first principle . . . is suitable for applying Rawls’s theory of justice to the details of a Rawlsian tort theory.”).
  51. Id. at 123 (“There are many social policies for which the difference principle does not appear to be the appropriate standard of assessment . . . [including] ordinary negligence and determinations of fault and remedies in non-economic torts . . . .”).
  52. Id. at 188–89.
  53. Kordana & Tabachnick, Belling the Cat, supra note 11, at 1293.
  54. Samuel Freeman, Illiberal Libertarians: Why Libertarianism Is Not a Liberal View, 30 Phil. & Pub. Affs. 105, 106 (2002).
  55. Freeman, supra note 8, at 123 (“Like determinations of fault and remedies in negligence cases, it would be unfair to require that assets between divorced spouses be divided so as to maximally benefit the least advantaged class . . . .”).
  56. Id. at 184–85.
  57. Calabresi, supra note 15, at 69, 144.
  58. Freeman, supra note 8, at 184.
  59. Kordana & Tabachnick, Rawls & Contract, supra note 2, at 621; Murphy, Artificial Morality, supra note 11, at 457 n.11 (noting Rawls proposed evaluating private law institutions on the basis of his two principles).
  60. Kronman, supra note 1, at 501–05.
  61. Blankfein-Tabachnick & Kordana, supra note 5, at 34.
  62. Rawls, TJ, supra note 16, at 95.
  63. Kordana & Tabachnick, Rawls & Contract, supra note 2, at 621; Murphy, Artificial Morality, supra note 11, at 457 n.11 (noting Rawls’s principles “do not obviously have room for values distinctively associated with private ordering”).
  64. John G. Bennett, Freedom and Enforcement: Comments on Ripstein, 92 Va. L. Rev. 1439, 1440–41 (2006).
  65. Rawls, Political Liberalism 268 (2005) [hereinafter Rawls, PL].
  66. Scheffler, supra note 8, at 221.
  67. Id. at 233.
  68. E.g., Elizabeth Sepper & Deborah Dinner, Sex in Public, 129 Yale L.J. 78 (2019) (discussing the history of public values in the common law).
  69.  David Blankfein-Tabachnick, Maximizing Intellectual Property: Optimality, Synchronicity, and Distributive Justice, 94 St. John’s L. Rev. 1, 51 (2020).
  70. Rawls, TJ, supra note 16, at 95 (“[T]o establish a complete conception of right, . . . parties in the original position are to choose in a definite order not only a conception of justice but also principles to go with each major concept falling under the concept of right.”).
  71. Id. at 303–04 (“I shall not regard promising as a practice which is just by definition . . . There are many variations of promising just as there are of the law of contract. Whether the particular practice . . . is just remains to be determined by the principles of justice.”).
  72. Seana Shiffrin suggests, in a non-Rawlsian context, that contract law may be derived from principles of right rather than solely from principles of justice. Seana Valentine Shiffrin, The Divergence of Contract and Promise, 120 Harv. L. Rev. 708, 716 (2007).
  73. Rawls, TJ, supra note 16, at 95.
  74. Id.
  75. Id. (“[T]he broader notion of rightness as fairness is to be understood as a replacement for existing conceptions.”).
  76. Id. at 93–94.
  77. George Klosko, Political Obligation and the Natural Duties of Justice, 23 Phil. & Pub. Affs. 251, 254 (1994); Wellman & Simmons, supra note 47, at 156 n.38 (“[T]he natural duties actually discussed by Rawls are not ‘natural’ in any very strong sense, but are only the ‘postinstitutional’ moral duties that original position reasoners would select to bind themselves in their subsequent interactions.”).
  78. Rawls, TJ, supra note 16, at 95.
  79. Id. (“[T]he concept of something’s being right is the same as, or better, may be replaced by, the concept of its being in accordance with the principles that in the original position would be acknowledged to apply to things of its kind.”).
  80. Id. at 294 (“[T]he choice of principles for individuals is . . . simplified [since] principles for institutions have already been adopted. The feasible alternatives are . . . narrowed . . . to those that constitute a coherent conception of duty and obligation when taken together with the two principles of justice. . . . [L]et us suppose . . . the choice of the principle of utility . . . as the standard for the acts of individuals. . . . [This] would lead to an incoherent conception of right. The criteria for institutions and individuals do not fit together properly.”).
  81. Id. at 93 (“The important thing is that the various principles are to be adopted in a definite sequence . . . .”); id. (“[T]he principles for the basic structure of society are to be agreed to first, principles for individuals next . . .”).
  82. Id. (“[O]bligations presuppose principles for social forms” and duties for individuals “presuppose such principles . . . .”).
  83. Id. at 95 (“[T]hat principles for institutions are chosen first shows the social nature of the virtue of justice, its intimate connection with social practices . . . .”); id. (“The intuitive idea is this: the concept of something’s being right is the same as, or better, may be replaced by, the concept of its being in accordance with the principles that in the original position would be acknowledged to apply to things of its kind. I do not interpret this concept of right as providing an analysis of the meaning of the term ‘right’ as normally used in moral contexts. It is not meant as an analysis of the concept of right in the traditional sense. Rather, the broader notion of rightness as fairness is to be understood as a replacement for existing conceptions.”).
  84. Murphy, Artificial Morality, supra note 11, at 457 n.11.
  85. Rawls, TJ, supra note 16, at 95–96.
  86. See 26 U.S.C. § 102; Comm’r v. Duberstein, 363 U.S. 278, 287–88 (1960).
  87. Felipe Jimenez, Contracts, Markets, and Justice, 71 U. Toronto L.J. 144, 162 (2021) (discussing optimistically a hypothetical compatibility between distributive principles and the given terms of contract doctrine).
  88. E.g., Zhong Xin Tang, Where the Action Is: Macro and Micro Justice in Contract Law, 83 Mod. L. Rev. 725, 727 (2020) (providing an elegant account of the macro/micro realms and advocating for a compatibility between constraints of reciprocity, notions of justice in transaction, etc.).
  89. Charles Fried, Contract as Promise: A Theory of Contractual Obligation 1 (2d ed. 2015).
  90. John C.P. Goldberg, Introduction: Pragmatism and the New Private Law, 125 Harv. L. Rev. 1640, 1660–61 (2012).
  91. Shiffrin, supra note 72, at 712.
  92. Scheffler, supra note 8, at 224, 232 (discussing possibility the two principles of justice might “threaten . . . the realisation of ‘the important values expressed by free and fair agreements.’”).
  93. Kordana & Tabachnick, Belling the Cat, supra note 11, at 1286–87.
  94. Scheffler, supra note 8, at 232.
  95. Id. at 228–29 (considering the possibility “that the terms of cooperation already mentioned are incomplete. Private law is not to be guided solely by the need to [satisfy the two principles of justice]. There are additional provisions that also have a role to play.”).
  96. Id. at 232.
  97. Rawls, PL, supra note 65, at 266.
  98. Id.
  99. Elizabeth Anderson, The Ethical Limitations of the Market, 6 Econ. & Phil. 179, 182 (1990) (discussing the normative structure of markets).
  100. Scheffler, supra note 8, at 234 (“We may decide that such principles are complete, and that our institutions are to be guided solely by distributive considerations. . . . Alternatively we may decide that they are not complete . . . .”).
  101. John C.P. Goldberg & Benjamin C. Zipursky, Recognizing Wrongs 14 (2020).
  102. Id. at 355 (mentioning “the nature of private rights of action” as a key feature of tort law); id. at 228 (“[P]art of our aim here is to capture lawyerly understandings of the common law of torts.”); id. at 258 (contrasting their approach with that of Dworkin and Posner and stating that they do not “suppose that courts are engaged in the task of crafting optimal rules or making the law the best it can be”).
  103. Id. at 30.
  104. Id. at 353 (noting Rawls is “frequently miscast as exclusively being a theorist of distributive justice” and commenting on the potentially “misleading” nature of characterizing the liberty-oriented first principle of justice as distributive).
  105. Cf. Goldberg, supra note 90, at 1661 & n.110 (arguing that principles of private law need to be accommodated with distributive justice rather than be lexically subordinate to distributive justice).
  106. Freeman, supra note 8, at 107.
  107. Id. at 125 (citing Rawls, JaF, supra note 10, at 64).
  108. Id. at 125, 186.
  109. Id. at 125.
  110. Id.
  111. G.A. Cohen, Incentives, Inequality, and Community, The Tanner Lectures on Human Values 268 (May 21 & 23, 1991) (“I question [the difference principle’s] application in defense of special money incentives to talented people. . . . [T]he idea that an inequality is justified if, through the familiar incentive mechanism, it benefits the badly off is more problematic than Rawlsians suppose . . . .”).
  112. Rawls, TJ, supra note 16, at 131.
  113. Id. at 130–31 (“If there are inequalities in income and wealth, and differences in authority and degrees of responsibility, that work to make everyone better off in comparison with the benchmark of equality, why not permit them? . . . Thus the basic structure should allow these inequalities so long as these improve everyone’s situation, including that of the least advantaged, provided that they are consistent with equal liberty and fair opportunity.”).

On Lenity: What Justice Gorsuch Didn’t Say

Forthcoming in Print, September 2022.

Facially neutral doctrines create racially disparate outcomes. Increasingly, legal academia and mainstream commentators recognize that this is by design. The rise of this colorblind racism in Supreme Court jurisprudence parallels the rise of the War on Drugs as a political response to the Civil Rights Movement. But, to date, no member of the Supreme Court has acknowledged the reality of this majestic inequality of the law. Instead, the Court itself has been complicit in upholding facially neutral doctrines when confronted with the racial disparities they create. It advances the systemic racism of colorblindness against any race-conscious remedial legislation, while denying marginalized people relief from unequally burdensome systems so long as those systems’ rationale is facially neutral. This obstinate colorblindness has become so pervasive in the framework of criminal jurisprudence that race is no longer merely the elephant in the room—it is the room itself.

This Essay presents the Court’s recent decision in Wooden v. United States as a case study of what the Court could achieve by saying the quiet part out loud and explaining the white supremacist motives underlying presumptively neutral doctrines. The Court can overturn its misguided doctrines without acknowledging their racial and colonial dimensions, but fixing the underlying rot in the system requires the Court to first acknowledge that the rot exists. Otherwise, new “neutral” doctrines and rationales will continue to crop up to take the place of those that were overturned. The decline of lenity and corresponding shifts in fundamental doctrines can only be fully reversed if the Court is willing to embrace the anticolonial and abolitionist consequences.

Introduction

“As every civil rights lawyer has reason to know—despite law school indoctrination and belief in the ‘rule of law’—abstract principles lead to legal results that harm [B]lacks and perpetuate their inferior status. Racism provides a basis for a judge to select one available premise rather than another when incompatible claims arise.”1.Derrick Bell, Racial Realism, 24 Conn. L. Rev. 363, 369 (1992).Show More

Derrick Bell

In the second season of Star Trek: Deep Space Nine, the longsuffering engineer Miles O’Brien is arrested and tried in a Cardassian criminal court.2.See Star Trek: Deep Space Nine: Tribunal (Paramount Television June 5, 1994) (depicting the trial of Miles O’Brien on Cardassia Prime).Show More The trial is overseen by an archon, who acts as both judge and prosecutor.3.See id.Show More At the beginning of the trial, she declares, “The offender Miles O’Brien, Human, officer of the Federation’s Starfleet, has been found guilty of aiding and abetting seditious acts against the state. The sentence is death; let the trial begin.”4.Id.Show More As viewers, we recoil from this perversion of justice; it’s the stuff of kangaroo courts. Our notion of justice is grounded in the public perception of a fundamentally fair process.5.See Tracey L. Meanes, Everything Old Is New Again: Fundamental Fairness and the Legitimacy of Criminal Justice, 3 Ohio St. J. Crim. L. 105, 106 (2005) (discussing the role of public perception in the fundamental fairness analysis of due process).Show More We would be shocked to encounter Cardassian procedures in an American courtroom.

And yet, there are two sorts of justice in America. There is the ideal, guided by strong constitutional limits on prosecution meant to produce a fair trial for defendants, even if it means the guilty sometimes go free. Traditional doctrines guide the court to favor the defendant until the prosecution can overcome all reasonable doubt. And then there is the fast and loose world of mass incarceration, replete with plea bargaining, harmless error, qualified immunity, and good faith exceptions. That sort of justice is fit for a colonial power—like the Cardassians—bent on subjugating large portions of its populace. That sort of justice would have little use for lenity. These two systems often exist in parallel, with the latter cloaking itself in the trappings of the former.

In Wooden v. United States,6.Wooden v. United States, 142 S. Ct. 1063 (2022).Show More the Court, in an opinion authored by Justice Kagan, held that a series of burglaries committed at a single address on a single night did not count as more than one “occasion” under the Armed Career Criminal Act7.18 U.S.C. § 924(e)(1).Show More (ACCA)’s mandatory minimum sentencing provision.8.Wooden, 142 S. Ct. at 1069.Show More In a concurring opinion joined in part by Justice Sotomayor, Justice Gorsuch indicated that, when interpreting ambiguous statutes such as the ACCA, courts should turn to the rule of lenity before analyzing a statute’s legislative history or purpose.9.Id. at 1081 (Gorsuch, J., concurring).Show More The rule of lenity requires that courts resolve reasonable doubts about the application of penal laws in the defendant’s favor.10 10.Id.Show More

Justice Gorsuch observed that courts have weakened the rule of lenity over time, culminating in the Court’s current interpretation, which requires a finding of a “grievous ambiguity” before courts can apply lenity and find in favor of the defendant.11 11.Id. at 1084.Show More This narrow rule of lenity is one factor that perpetuates mass incarceration and its concomitant racial disparities. But Justice Gorsuch does not say why this shift in the rule of lenity occurred. This Essay presents the narrowing of the historical doctrine of lenity as an offshoot of mass incarceration’s racist roots. That is, lenity—or rather, its narrowing—is one tool courts use to lock up Black, Brown, and poor people, and to keep them locked up.

This constriction of lenity was only an intermediate step in the erosion of constitutional law to permit racially driven mass incarceration. In the early years of the conservative reaction to the Civil Rights Movement, the Court both invented new doctrines and revised or abandoned longstanding ones to police marginalized people and prevent their recourse to the courts. Even the Warren Court contributed to this reaction, giving rights access with one hand while erecting procedural barriers to rights access with the other.12 12.See William J. Stuntz, The Collapse of American Criminal Justice 79–80, 227–30, 260–65 (2011) (demonstrating how the Warren Court’s procedural rulings reduced the focus on a defendant’s guilt in favor of procedural questions, thereby incentivizing the legislative criminalization of increasingly trivial behavior). Daniel Harawa and I will address the racial dimensions of the Warren Court’s ostensibly colorblind criminal procedure jurisprudence in a forthcoming piece, The Warren Court’s Colorblind Counterrevolution.Show More The Court extended harmless error to encompass constitutional violations in 1967.13 13.See Chapman v. California, 386 U.S. 18, 23–24 (1967).Show More The Court invented qualified immunity in 1967,14 14.See Pierson v. Ray, 386 U.S. 547, 555 (1967).Show More then expanded it considerably over the next few decades.15 15.See, e.g., Harlow v. Fitzgerald, 457 U.S. 800, 807 (1982).Show More Police harassment gained fresh justification with the invention of reasonable suspicion in 1968.16 16.See Terry v. Ohio, 392 U.S. 1, 19 (1968).Show More Lenity was (sometimes) corralled to only apply in cases of “grievous” ambiguity in 1974.17 17.See Huddleston v. United States, 415 U.S. 814, 831 (1974).Show More By 1983, the Court began to foreclose the possibility of implying damages as relief for constitutional violations by federal actors.18 18.See Bush v. Lucas, 462 U.S. 367, 390 (1983).Show More The Court created a “good faith” exception to its Fourth Amendment exclusionary rule in 1984.19 19.See United States v. Leon, 468 U.S. 897, 908 (1984).Show More While advancing purportedly race-neutral doctrines, the Court buttressed the racial hierarchies of the carceral state.20 20.See Devon W. Carbado, (E)racing the Fourth Amendment, 100 Mich. L. Rev. 946, 967–68 (2002) (“[T]he Supreme Court’s construction and reification of race in Fourth Amendment cases legitimizes and reproduces racial inequality in the context of policing.”); Brandon Hasbrouck, The Antiracist Constitution, 116 B.U. L. Rev. 87, 116 (2022) (“While the individual mechanisms [of procedural racism] have often been decried for their role in perpetuating white supremacy, the pattern of their adoption and application reveals a much larger problem: the Court is decidedly anti-Black.”).Show More This is what Justice Gorsuch didn’t say. Leaving out this critical context indicates that even when the Court is willing to address the symptoms, it will leave the disease of systemic racism undiagnosed and untreated.

Part I explains lenity and provides a background of Wooden. Part II discusses how courts have shifted and narrowed the doctrine of lenity, so that it almost never applies today. Part III explains the reason for that shift: courts’ narrowing of the rule of lenity is one purportedly race-neutral means of imprisoning Black, Brown, and poor people. Finally, this Essay explains why it is necessary for members of the Court to start saying the quiet part out loud. The Court can overturn its misguided doctrines without acknowledging their racial dimensions. But to fix the rot in the system, the Court must first acknowledge that the rot exists. Otherwise, new “neutral” doctrines will continue to crop up to take the place of those that were overturned.

  1. Derrick Bell, Racial Realism, 24 Conn. L. Rev. 363, 369 (1992).
  2. See Star Trek: Deep Space Nine: Tribunal (Paramount Television June 5, 1994) (depicting the trial of Miles O’Brien on Cardassia Prime).
  3. See id.
  4. Id.
  5. See Tracey L. Meanes, Everything Old Is New Again: Fundamental Fairness and the Legitimacy of Criminal Justice, 3 Ohio St. J. Crim. L. 105, 106 (2005) (discussing the role of public perception in the fundamental fairness analysis of due process).
  6. Wooden v. United States, 142 S. Ct. 1063 (2022).
  7. 18 U.S.C. § 924(e)(1).
  8. Wooden, 142 S. Ct. at 1069.
  9. Id. at 1081 (Gorsuch, J., concurring).
  10. Id.
  11. Id. at 1084.
  12. See William J. Stuntz, The Collapse of American Criminal Justice 79–80, 227–30, 260–65 (2011) (demonstrating how the Warren Court’s procedural rulings reduced the focus on a defendant’s guilt in favor of procedural questions, thereby incentivizing the legislative criminalization of increasingly trivial behavior). Daniel Harawa and I will address the racial dimensions of the Warren Court’s ostensibly colorblind criminal procedure jurisprudence in a forthcoming piece, The Warren Court’s Colorblind Counterrevolution.
  13. See Chapman v. California, 386 U.S. 18, 23–24 (1967).
  14. See Pierson v. Ray, 386 U.S. 547, 555 (1967).
  15. See, e.g., Harlow v. Fitzgerald, 457 U.S. 800, 807 (1982).
  16. See Terry v. Ohio, 392 U.S. 1, 19 (1968).
  17. See Huddleston v. United States, 415 U.S. 814, 831 (1974).
  18. See Bush v. Lucas, 462 U.S. 367, 390 (1983).
  19. See United States v. Leon, 468 U.S. 897, 908 (1984).
  20. See Devon W. Carbado, (E)racing the Fourth Amendment, 100 Mich. L. Rev. 946, 967–68 (2002) (“[T]he Supreme Court’s construction and reification of race in Fourth Amendment cases legitimizes and reproduces racial inequality in the context of policing.”); Brandon Hasbrouck, The Antiracist Constitution, 116 B.U. L. Rev. 87, 116 (2022) (“While the individual mechanisms [of procedural racism] have often been decried for their role in perpetuating white supremacy, the pattern of their adoption and application reveals a much larger problem: the Court is decidedly anti-Black.”).

A Corpus Linguistic Analysis of “Foreign Tribunal”

Introduction

In March, the United States Supreme Court heard a case involving the issue of whether a private arbitration panel in another country is covered by the statutory phrase “foreign or international tribunal.”1.See Oral Argument, ZF Auto. US, Inc. v. Luxshare, Ltd., No. 21-401 (U.S. argued Mar. 23, 2022), https://www.oyez.org/cases/2021/21-401. That case is consolidated with AlixPartners, LLC v. Fund for Protection of Investor Rights in Foreign States, No. 21-518 (U.S. argued Mar. 23, 2022). However, the latter case involves a slightly different question: whether 28 U.S.C. § 1782 applies to investor-state arbitrations pursuant to international treaties. This paper will not address the underlying linguistic questions invoked by AlixPartners.Show More The statutory language, enacted in 1964, authorizes a federal district court to order witness testimony or production of evidence “for use in a proceeding in a foreign or international tribunal” if the witness or holder of the material resides or is found in the district.2.28 U.S.C. § 1782(a).Show More The Respondent here seeks to invoke this statutory authorization to assist them in private arbitration held in a foreign country.

Whether Respondent can so rely on this statute is no small matter. In the case, the Respondent, Luxshare, Ltd, plans to initiate private arbitration proceedings in Germany against Petitioner ZF Automotive US, Inc. The German arbitration arises out of a business dispute involving hundreds of millions of dollars in alleged damages,3.See Luxshare, Ltd. v. ZF Auto. US, Inc., 547 F. Supp. 3d 682, 686–87 (E.D. Mich.), cert. granted 142 S. Ct. 637 (2021).Show More under a private agreement calling for private commercial arbitration overseen by arbitrators who are private citizens selected and paid for by the parties.

At its core, this dispute hinges on a linguistic question: what did the term foreign tribunal mean in 1964? Petitioners argue that a foreign tribunal only refers to entities imbued with government or quasi-government authority. Respondent takes a broader view, arguing that foreign tribunal refers to any entity in a foreign country that can enter a decision and bind parties, even if that entity is purely private. The parties devote large chunks of their briefs to the underlying linguistic question, looking to dictionaries and various legal materials to support their position. But the parties’ attempts to divine the meaning of foreign tribunal suffer from shortcomings common to legal interpretation. This article turns to a tool that avoids these shortcomings and provides a more rigorous, objective, and transparent answer to the question at hand. That tool? Corpus linguistics.

Increasingly, our courts (including the U.S. Supreme Court) have looked to corpus linguistics to better answer the linguistic questions that judges face in interpreting the words of the law.4.Carpenter v. United States, 138 S. Ct. 2206, 2238–39 n.4 (2018) (Thomas, J., dissenting) (running a search in the Corpus of Founding-Era American English); Lucia v. S.E.C., 138 S. Ct. 2044, 2056 (2018) (Thomas, J., concurring, joined by Gorsuch, J.) (citing Jennifer Mascott, Who Are “Officers of the United States?” 70 Stan. L. Rev. 443 (2018)); Facebook, Inc. v. Duguid, 141 S. Ct. 1163, 1174 (2021) (Alito, J., concurring) (citing Thomas R. Lee & Stephen C. Mouritsen, Judging Ordinary Meaning, 127 Yale L. J. 788 (2018)); Bostock v. Clayton County, 140 S. Ct. 1731, 1769 n.22 (2020) (Alito, J., dissenting) (citing James C. Phillips, The Overlooked Evidence in the Title VII Cases: The Linguistic (and Therefore Textualist) Principle of Compositionality 3 (unpublished manuscript) (May 11, 2020), https://ssrn.com/abstract=3585940.Show More Understandably, judges use economic tools to tackle economic questions and historical tools to answer historical questions. Should they not use linguistic tools for linguistic questions? “[W]ords are . . . the material of which laws are made. Everything depends on our understanding of them.”5.Garson Kanin, Conversations with Felix, Reader’s Digest, June 1964, at 116, 117 (replying to counsel who said a question from the bench was just a matter of semantics).Show More We can and should use the right tools for seeking this understanding.

This article will proceed in four parts. Part I presents the linguistic debate as framed by the parties, highlighting shortcomings of the traditional tools they employ. Part II explains how the tools of corpus linguistics can address these shortcomings. And Part III presents a corpus linguistic analysis of the terms foreign tribunal and foreign tribunal(s). This approach, more rigorous than that undertaken by the parties, can provide data on the linguistic question that undergirds the legal issue—which reading of the statute is more probable than the other. After all, a “problem in [legal interpretation] can seriously bother courts only when there is a contest between probabilities of meaning.”6.Felix Frankfurter, Some Reflections on the Reading of Statutes, 47 Colum. L. Rev. 527, 528 (1947).Show More Corpus linguistics can help with that contest.

I. Background

The parties frame the linguistic debate at issue here as a question of the ordinary meaning of the statutory terms. They thus point to various sources to support their preferred reading of the statute, including dictionaries, ordinary usage, and legal usage. Some of these tools are a good start. But they do not provide a sufficiently objective, transparent basis for resolving the contest between dueling senses of the statutory terms at issue because they do not fully answer the linguistic question, instead requiring linguistic intuition to fill in the gaps.

A. The Linguistic Debate at Issue Here

1. Dictionaries

Both the petitioners and the respondent turn to dictionaries contemporaneous to the statute’s enactment to proffer a definition that supports their litigating position. They frame their reliance on dictionaries as a quest for the ordinary meaning of the statutory language. For example, ZF Automotive cites four contemporaneous ordinary dictionaries and one contemporaneous legal dictionary for the meaning of tribunal.7.See Brief for the Petitioners at 18, ZF Auto. US, Inc. v. Luxshare, Ltd., No. 21-401 (Jan. 24, 2022).Show More Respondent Luxshare likewise quotes two ordinary dictionaries and two legal dictionaries for tribunal, though strangely two of these dictionaries are of recent vintage—2019 and 1996—calling into question their utility. From these dictionaries emerge the following definitions. First, the narrower sense:

  • “[t]he seat of a judge;”8.Tribunal, Black’s Law Dictionary (4th ed. 1951); Webster’s Third New International Dictionary of the English Language Unabridged 2441 (1961) [hereinafter Webster’s Third (1961)].Show More “the bench on which a judge and his associates sit for administering justice”9.Webster’s Third (1961), supranote 8, at 2441.Show More
  • “[t]he whole body of judges who compose a jurisdiction”10 10.Tribunal, Black’s Law Dictionary (4th ed. 1951).Show More
  • “a court or forum of justice:”11 11.Webster’s Third (1961), supranote 8, at 2441; Merriam-Webster’s Dictionary of Law503 (1996).Show More “[a] seat or court of justice”12 12.The American Heritage Dictionary of the English Language 1369 (1969).Show More; “a judicial court”13 13.Tribunal, Black’s Law Dictionary (4th ed. 1951).Show More
  • “a judicial assembly”14 14.11 The Oxford English Dictionary 341 (1933).Show More

The 1969 edition of Ballentine’s Law Dictionary, which the parties did not cite, also defined tribunal as “[a] court. The seat or bench for the judge or judges of a court.”15 15.Ballentine’s Law Dictionary 1300 (1969).Show More

Second, the broader sense:

  • “[a] court of justice or other adjudicatory body”16 16.Black’s Law Dictionary 1814 (11th ed. 2019).Show More
  • “a person or body of persons having to hear and decide disputes so as to bind the parties”17 17.Merriam-Webster’s Dictionary of Law503(1996).Show More
  • “[a]nything having the power of determining or judging”18 18.The American Heritage Dictionary of the English Language 1369 (1969).Show More
  • a “person or body of persons having authority to hear and decide disputes so as to bind the disputants”19 19.Brief for the Petitioners, supra note 7, at 19 (quoting Webster’s Third (1961), supra note 8, at 2441).Show More

At least one other dictionary not cited by the parties—Funk & Wagnalls New Standard Dictionary of the English Language, published in 1960—included the narrow sense, though it is unclear whether it also included the broad sense given the example it used to illustrate, which at first seems like the broader sense but may actually be referring to an international tribunal that has government authority: “1. A court of justice; any judicial body, as a board of arbitrators. 2. The seat set apart for judges, magistrates, etc.”20 20.Funk & Wagnalls New Standard Dictionary of the English Language 1340 (1960).Show More

Thus, dictionaries reveal that, around 1964, there were at least two senses of tribunal. One sense, common to every dictionary we or the parties could find, legal or ordinary, was narrow in nature and referred mostly to courts. The other, found in two (maybe three) ordinary dictionaries (and two later legal dictionaries that we are not giving weight to, given their date of publication), was broad in nature and could cover private arbitration bodies. One could be tempted from this evidence to infer that the narrow sense was the more common of the two senses. But as described below, such an inference would be a mistake based merely on dictionary frequencies. Likewise, parties sometimes refer to a “lead legal definition[],” “primary definition[],” or “secondary definition.”21 21.Brief for the Petitioners, supra note 7, at 19–20.Show More As described below, such labels are mistaken when derived from dictionaries.22 22.It is worth noting that no contemporaneous legal dictionary included the broader sense of tribunal. This could indicate a divergence from the ordinary and the legal meanings of the word.Show More

None of the dictionaries defined the actual statutory terms, leaving the parties to look up their constituent words in dictionaries. Thus, the parties also looked up the definition of foreign.23 23.SeeBrief for the Petitioners, supra note 7, at 19; Brief for the Respondent at 12, ZF Auto. US, Inc. v. Luxshare, Ltd., No. 21-401 (filed Feb. 23, 2022).Show More “Putting these definitions together,” the petitioners argued that the statutory terms “most naturally refer[] to a court or other governmental adjudicative or quasi-adjudicative body convened to render justice.”24 24.SeeBrief for the Petitioners, supra note 7, at 19.Show More Thus, the terms do “not encompass a private arbitral panel whose authority derives solely from the contractual agreement of private parties rather than any government, and which is not composed of government adjudicators.”25 25.Id.Show More Respondents never put the two terms together to create a definition for foreign tribunal, but rather use dictionaries to argue that private commercial arbitration panels in foreign countries satisfy both the definition for foreign and the definition for tribunal.26 26.SeeBrief for the Respondent, supra note 23, at 12–14.Show More

2. Ordinary Usage

The parties claim to look at “ordinary” usage to support their legal positions. Hence, in rejecting a definition of foreign that could mean just located in a foreign country and instead embracing a definition that means belonging to another country, ZF Automotive presented examples such as “foreign leader,” “foreign official,” “foreign flag,” “foreign law,” and “foreign country.”27 27.Brief for the Petitioners, supra note 7, at 20–21.Show More From this, the petitioners concluded that “[w]hen the word ‘foreign’ modifies a noun with potential governmental or sovereign connotations—like ‘tribunal’—it typically indicates that the noun belongs to the sovereign entity.”28 28.Brief for the Petitioners, supra note 7, at 20.Show More However, neither party actually presented any evidence of ordinary usage of the term foreign tribunal. And Luxshare’s evidence of ordinary meaning was “dictionaries [some being legal dictionaries], judicial opinions, and other legal sources.”29 29.SeeBrief for the Respondent, supra note 23, at 13.Show More Legal sources are not very good indicators of ordinary meaning.

3. Legal Usage

Finally, the parties turned to legal usage. Thus, petitioners looked at the use of the term foreign as a modifier in other portions of the 1964 Act, how Congress has both used the term tribunal and described private arbitration, and how federal courts and legal scholars have used the terms foreign tribunal and arbitral tribunal.30 30.SeeBrief for the Petitioners, supra note 7, at 21–25.Show More Likewise, respondent turned to a recent (2021) legal treatise, recent caselaw (2004 & 1997), and German law in defining foreign. Then, it used federal judicial usage (both recent and contemporaneous to 1964), the same recent legal treatise, various arbitration bodies’ rules, the Geneva Treaties, and legal commentary and scholarship to support its reading of tribunal.31 31.SeeBrief for the Respondent, supra note 23, at 13.Show More

B. The Weakness with the Parties’ Evidence & Methodologies

1. The Limitations of Dictionaries

a. Non-compositionality

Dictionaries generally define single words, not multi-word terms or phrases. Thus, if relying on dictionaries, one has to slice and dice statutory text rather than looking up the whole operative phrase. But this is deeply problematic. That is because of the linguistic phenomenon of non-compositional expression, wherein “a particular word sequence should be considered a single lexical item.”32 32.Alan Cruse, Meaning in Language: An Introduction to Semantics and Pragmatics 82 (3d ed. 2011).Show More

Normally, the principle of compositionality applies. Linguists define compositionality as when “[t]he meaning of a semantically complex expression is a compositional function of the meanings of its semantic constituents.”33 33.Id. at 84.Show More In other words, often what you see is what you get: cherry pie is a pie made from cherries.

But sometimes, “the combination of words has a meaning of its own that is not a reliable amalgamation of the components at all,” such as for good or at all.34 34.Alison Wray, Why Are We So Sure We Know What a Word Is?, in The Oxford Handbook of the Word 725, 737 (John R. Taylor ed., 2015).Show More In short, a phrase may be more (or less) than the sum of its parts. Related to “non-compositionality” is the idiom principle: “a language user has available to him or her a large number of semi-preconstructed phrases that constitute single choices [in communication], even though they might appear to be analysable into segments.”35 35.John McH. Sinclair, Collocation: A Progress Report, in 2 Language Topics: Essays in Honour of Michael Halliday 319, 320 (Ross Steele & Terry Threadgold eds., 1987).Show More Take, for example, of course or in fact. Looking up their constituent words separately will not tell one the idiomatic meaning of the combined phrase. Non-compositional expressions come in several varieties, such as phrasal idioms (pulling someone’s leg); cliches, grammatical idioms (by and large), and frozen metaphors (the ball’s in your court).36 36.See Cruse, supranote 32, at 86–91.Show More

The Supreme Court has recognized this linguistic phenomenon, observing that “two words together may assume a more particular meaning than those words in isolation.”37 37.FCC v. AT&T Inc., 562 U.S. 397, 406 (2011).Show More In fact, in a different area of law—trademark law—the Court has noted this principle for over a century, which has come to be known as the Anti-Dissection Rule.38 38.See 2 McCarthy on Trademarks and UnfairCompetition § 11:27 (5th ed.) (“Under the anti-dissection rule, a composite mark is tested for its validity and distinctiveness by looking at it as a whole, rather than dissecting it into its component parts.”).Show More This same principle can and should be applied to statutory interpretation so that the meaning of a multi-word term or phrase should be “derived from it as a whole, not from its elements separated and considered in detail”—“it should be considered in its entirety.”39 39.Est. of P.D. Beckwith, Inc., v. Comm’r of Pats., 252 U.S. 538, 545–46 (1920).Show More Judge Frank Easterbrook perhaps put this most colorfully when he observed in a trademark case involving a church’s name:

[T]he World Church produced . . . nothing but a dictionary. It did not offer any evidence about how religious adherents use or understand the phrase as a unit. It offered only lexicographers’ definitions of the individual words. That won’t cut the mustard, because dictionaries reveal a range of historical meanings rather than how people use a particular phrase in contemporary culture. (Similarly, looking up the words “cut” and “mustard” would not reveal the meaning of the phrase we just used.)40 40.TE-TA-MA Truth Found.—Fam. of URI, Inc. v. World Church of the Creator, 297 F.3d 662, 666 (7th Cir. 2002) (emphasis added).Show More

Thus, looking up the words foreign and tribunal in dictionaries may not give us a complete and accurate meaning of foreign tribunal. Yet because the parties were heavily relying on dictionaries, that is exactly what they resorted to here. This same criticism can be levied at the parties for looking at the usage in legal materials of just the words foreign, international, and tribunal.

b. Dictionaries as “museums of words” and linguistic intuition

Relatedly, dictionaries are not always very useful for dealing with context. That is because dictionaries are just “museum[s] of words”41 41.Frank H. Easterbrook, Text, History, and Structure in Statutory Interpretation, 17 Harv. J.L. & Pub. Pol’y 61, 67 (1994).Show More—“historical records (as reliable as the judgment and industry of the editors) of the meanings with which words have in fact been used by writers of good repute.”42 42.Henry M. Hart, Jr. & Albert M. Sacks, The Legal Process: Basic Problems in the Making and Application of Law 1375 (1994).Show More Hence, dictionaries “are often useful in answering hard questions of whether, in an appropriate context, a particular meaning is linguistically permissible,” not what is linguistically probable in a given context.43 43.Id. at 1375–76.Show More

Thus, when lawyers, scholars, or jurists countenance one dictionary definition over another as the ordinary meaning of a word or phrase, that tells us more about their linguistic intuition than the dictionary because it is that intuition that is the analytical bridge from dictionary evidence to the interpretive conclusion. After all, dictionaries do not indicate which sense of a word is the ordinary sense—that would depend on context. And besides a lack of transparency, that intuition has at least two pitfalls stemming from the fact that an individual’s linguistic intuition is informed by her exposure to language over her lifetime. The first limitation of linguistic intuition, at least for most lawyers, scholars, and judges, is that they are seldom representative of ordinary members of society, tending to hail from more elite social circles with much more education. These demographic factors influence the language to which they are exposed.

Second, even if an attorney, academic, or judge was just an ordinary person who ran in ordinary circles with an ordinary level and source of education, she is still a product of her time. And that time confines—even distorts—her ability to properly intuit meaning from a time during which she did not live. That is due to the reality of linguistic drift. If the English language were static, then statutes written in an earlier time would not pose challenges to a later person’s linguistic intuition. But English is not static. Over time, meanings can change, sometimes dramatically and quickly. Take the constitutional term domestic violence. From the 1770s through the 1970s, the term consistently meant insurrection, rebellion, or rioting within a state.44 44.Thomas R. Lee & James C. Phillips, Data-Driven Originalism, 167 U. Pa. L. Rev. 261, 298–300 (2019).Show More But starting in the 1980s, that began to change, and by the 1990s, domestic violence almost always means “violent or aggressive behavior within the home, esp[ecially] violent abuse of a partner.”45 45.Domestic Violence, Oxford English Dictionary Online (Mar. 2006), https://www.oed.com/view/Entry/56663?redirectedFrom=domestic+violence#eid41827739 [https://perma.cc/A5ZN-RQRV]; Lee & Phillips, supra note 44,at 300.Show More The previous sense that dominated for two centuries has now almost completely fallen out of use. And that shift occurred within less than two decades. Thus, someone relying on her own linguistic intuition formed in a time after a statute was adopted may miss that linguistic drift had occurred and inaccurately understand a statutory word or phrase.

Yet, when the parties, namely their well-educated and arguably upper-class lawyers, propose ordinary usage terms, like “foreign leader” or “foreign flag,” they are relying on their linguistic intuition formed by language exposure long after the statute was enacted.

c. “Lexicographical prescriptivism”

In the 1960s, Webster’s Third International Dictionary made a move deemed controversial in the world of lexicography: it decided to define words according to actual usage rather than proper usage.46 46.James Sledd & Wilma R. Ebbitt, Dictionaries and That Dictionary 79 (1962) (quoting the editor-in-chief of Webster’s Third as stating that “the dictionary’s purpose was to report the language, not to prescribe what belonged in it”). Because of this move, Justice Scalia rejected Webster’s Third, preferring Webster’s Second. See James J. Brudney & Lawrence Baum, Oasis or Mirage: The Supreme Court’s Thirst for Dictionaries in the Rehnquist and Roberts Eras, 55 Wm. & Mary L. Rev. 483, 508–09 (2013) (noting that Scalia’s reliance “on Webster’s Second and American Heritage—identified as belonging to the prescriptive camp—far more than Webster’s Third, the poster child for descriptive dictionaries,” is a “preference” that “is not inadvertent: Scalia has disparaged Webster’s Third in his opinions . . . and in his recent book”). Scalia’s rejection of Webster’s Third is ironic given his purported aim of understanding words in legal texts according to how people at the time would have understood them.Show More This move to descriptive definitions rather than normative ones was a break from the past as “[l]exicographical prescriptivism in the United States is exactly as old as the making of dictionaries, because of the role played by the dictionary in a society characterized by a great deal of linguistic insecurity.”47 47.Henri Béjoint, Tradition and Innovation in Modern English Dictionaries 116 (1994).Show More

Normative, or prescriptive, dictionaries “establish[] what is right in meaning and pronunciation,” providing users with what the lexicographer deems the “proper” usage of each word.48 48.Sledd & Ebbitt, supra note 46, at 57.Show More Therefore, “the prescriptive school of thought relie[d] heavily on the editors of dictionaries to define and publish the proper meaning and usage of the terms.”49 49.Samuel A. Thumma & Jeffrey L. Kirchmeier, The Lexicon Has Become a Fortress: The United States Supreme Court’s Use of Dictionaries, 47 Buff. L. Rev. 227, 242 (1999).Show More In contrast, “[t]he editors of a descriptive dictionary describe how a word is being used and, unlike their prescriptive counterparts, do not decide how a word should be used.”50 50.Id.Show More To the extent any dictionary is prescriptive, it is less useful for determining how people actually used language—and dictionaries before and during the 1960s, outside of Webster’s Third, tend to be of the prescriptive variety.51 51.Granted, to the extent people rely on dictionaries, even a prescriptive definition could somewhat reflect how people understood language, though it is second-best evidence.Show More And these are many of the very dictionaries relied on by the parties here.

d. Relying on dictionary sense-ordering

Dictionaries list senses in numerical order. This sometimes gives rise to what has been called the “sense-ranking fallacy.”52 52.See Stephen C. Mouritsen, The Dictionary Is Not a Fortress: Definitional Fallacies and a Corpus-Based Approach to Plain Meaning, 2010 BYU L. Rev. 1915, 1926–29 (2010).Show More That fallacy is to deem a sense listed before another as being more “primary.” Justice Breyer did this in Muscarello v. United States.53 53.524 U.S. 125 (1998).Show More In looking at the verb carry, Justice Breyer deemed one sense as “primary” and another as “special,” in part because he observed that the “primary” sense occurred first in three dictionaries, whereas the “special” sense was numerically ranked lower.54 54.Id. at 128–31.Show More This sense-ordering caused Justice Breyer to consider the sense listed sooner as more ordinary.

Such a conclusion is flawed because dictionaries do not claim that the ordering of senses is based on which are more common, frequent, or ordinary.55 55.As has been noted elsewhere, the one exception to this is The Random House Dictionary of the English Language. SeeLee & Mouritsen, supra note 4, at 808 n.89 (observing that dictionary’s front matter declares that “a general policy of putting the most frequently used meanings . . . at the beginning of the entry, followed by other senses in diminishing usage, with archaic, and obsolete senses coming last”) (citing Random House Dictionary of the English Language—Unabridged, at viii (2d ed. 1987) [hereinafter Random House]). However, that dictionary was not cited by the parties here (and would only provide half of the relevant term), and as Lee and Mouritsen note, there are “grounds for skepticism of these sorts of claims” given the way dictionaries are constructed, with even Random House conceding that “sense ranking based on frequency holds only ‘generally.’” Id. (quoting Random House, supra, at xxii).Show More Rather, senses are either ordered based on when they were deemed to have historically entered the lexicon,56 56.1 The Oxford English Dictionary xxix (2d ed. 1989) (“[T]hat sense is placed first which was actually the earliest in the language: the others follow in order in which they appear to have arisen.”).Show More or they are admittedly “an arbitrary arrangement or rearrangement.”57 57.Webster’s Third New International Dictionary of the English Language Unabridged 19a (1971).Show More Thus, at least based on the order senses appear in dictionaries, there is no “primary,” “lead,” or “secondary” sense, as some of the parties argued here.

e. Sense frequency across dictionaries

Another common mistake is to deem a sense that occurs more often across multiple dictionaries as the more common, ordinary, or primary sense.58 58.SeeJohn Mikhail, The Definition of ‘Emolument’ in English Language and Legal Dictionaries, 1523–1806, at 8–10 (July 12, 2017) (unpublished manuscript) (surveying 50 founding-era dictionaries and concluding that because 100% of the entries included at least one element of the broad definition of emolument, and only 8% of the entries included an office or employment-related definition, the word must have been understand at the founding in its broad sense); see alsoJames Cleith Phillips & Sara White, The Meaning of the Three Emoluments Clauses in the U.S. Constitution: A Corpus Linguistic Analysis of American English from 1760–1799, 59 S. Tex. L. Rev. 181, 196–97 (2017) (critiquing Mikhail for this analysis).Show More This misses the fact that the very “‘system of separating senses’ is ‘only a lexical convenience.’”59 59.Lee & Mouritsen, supranote 4, at 809 n.90 (quoting Webster’s Third (1971), supra note 57, at 19a).Show More And dictionaries do not agree as to where to draw the line. That is because “[l]exicographers tend to fall into one of two categories when it comes to writing definitions: lumpers and splitters.”60 60.Kory Stamper, Word by Word: The Secret Life of Dictionaries 119 (2017); see also The Routledge Handbook of Corpus Linguistics 433–34 (Anne O’Keeffe & Michael McCarthy eds., 2010) (discussing “lumpers” and “splitters”).Show More A lumper “tend[s] to write broad definitions that can cover several or more minor variations on that meaning.”61 61.Stamper, supranote 60, at 119.Show More By contrast, a splitter “tend[s] to write discrete definitions for each of those minor variations.”62 62.Id.Show More

Additionally, “[t]he history of English lexicography usually consists of a recital of successive and often successful acts of piracy.”63 63.Sidney I. Landau, Dictionaries: The Art and Craft of Lexicography 35 (1984).Show More This tendency, at least historically, for dictionaries to use the definitions of other dictionaries, “can create a false consensus whereby it looks like all of the dictionaries independently agree, and thus reflect contemporaneous linguistic reality, but in actuality only reflect the views . . . of a few dictionary makers.”64 64.Phillips & White, supranote 58, at 191.Show More To what extent lexicographical piracy was occurring in the 1950s and 60s is uncertain. Many of the dictionaries the parties cite here have identical or near identical definitions, though. At the very least, extreme caution is warranted in surmising anything from the frequency of senses when surveying multiple dictionaries.65 65.SeeLee & Mouritsen, supranote 4, at 810 n.98 (“[T]he methods that [dictionaries] use to sample language use don’t create a reliable sample—aggregating dictionaries isn’t going to accomplish anything if none of them has a reliable sample of language usage.”).Show More

2. Non-Systematic Usage Sampling

To overcome the limitations of dictionaries, one can sample actual usage of the complete term at issue. The parties do this, but not in a systematic way or in sufficient numbers that we can have much confidence. Like dictionaries, these examples of language usage have the potential to suffer from the same defect of relying on legislative history—looking out among the crowd and calling on one’s friends. Or, to put it more bluntly, cherry-picking examples that support one’s position. The parties only present a handful of samples of usage and often they rely on just the usage of one of the words of the multi-word term. Much more is needed to have any confidence in the results. And the sampling must either be random (if there are sufficient examples to need to sample) or weighted towards the usage that is closest in time to the relevant date—here, 1964. What is more, parties are prone to read the data in a way favorable to their position, even if only subconsciously through confirmation bias or motivated reasoning. Our methods below help overcome these shortcomings.

II. A Brief Introduction to Corpus Linguistics

Due to the above-noted limitations with traditional statutory interpretive methodology and tools, something better is needed. Corpus linguistics has the potential to be that something better66 66.For a broader discussion of this, see generallyLee & Mouritsen, supra note 4 (arguing that corpus linguistics can provide answers to questions regarding statutory interpretation).Show More—in the words of Law Professor Larry Solum, to “revolutionize statutory . . . interpretation.”67 67.Amanda K. Fronk, Big Lang at BYU, BYU Magazine (Summer 2017), https://magazine.byu.edu/article/big-lang-at-byu/ [https://perma.cc/23QK-W3GJ].Show More In this sense, corpus linguistics is akin to a paradigm-shifting technology or tool like the Hubble Telescope. Certainly, astronomers could glimpse the heavens from earth before the Hubble was launched. But the increased clarity and scope the Hubble brought to astronomic inquiries was revolutionary. What is more, corpus analysis brings transparency—researchers, courts, and parties can access the corpus and perform the same searches to analyze the data for themselves.

While corpus linguistics and corpora may sound exotic, they are not. A language corpus is similar in some regards to a corpus (or body) of precedent. Moreover, corpora are used in the construction of most modern dictionaries.68 68.Hans Lindquist, Corpus Linguistics and the Description of English 52 (2009) (observing that “today all major British dictionary publishers have their own corpora . . . . The editors use concordances to find out the typical meanings and constructions in which each word is used, and try to evaluate which of these are worth mentioning in the dictionary. Many dictionaries also quote authentic examples from corpora, either verbatim or in a slightly doctored form.”).Show More Corpus linguistics—a robust empirical methodology within the field of linguistics—provides a variety of methods for analyzing a corpus to answer legal interpretive questions.

A. The Purpose of Corpus Linguistics

Corpus linguistics is the empirical study of language using samples (or bodies) of texts called corpora (in the plural). A corpus is constructed in order to study a particular register (variety of texts associated with a situational context) or speech community (group of language users who share the same dialect or language norms).69 69.Tony McEnery & Andrew Hardie, Corpus Linguistics: Method, Theory and Practice 1–2 (2012).Show More Corpus linguistics is premised on the idea that “the best way to find out about how language works is by analyzing real examples of language as it is actually used.”70 70.Paul Baker et al., Glossary of Corpus Linguistics 65 (2006).Show More In studying naturally occurring language use, corpus linguistics can avoid the observer’s paradox—the phenomenon whereby people tend to change their behavior when they are aware they are being studied (i.e., the Hawthorne Effect).71 71.Henry A. Landsberger, Hawthorne Revisited: Management and the Worker, Its Critics, and Developments in Human Relations in Industry 14–15, 23 (1958).Show More

Corpus linguistics is founded on two premises: (1) that a corpus of texts can be constructed to be sufficiently representative of a particular register or speech community, and (2) that one can “empirically describe patterns of language use through analysis of that corpus.”72 72.The Cambridge Handbook of English Corpus Linguistics 1 (Douglas Biber & Randi Reppen eds., 2015).Show More So corpus linguistics “depends on both quantitative and qualitative analy[sis].”73 73.Douglas Biber, Corpus-Based and Corpus-Driven Analyses of Language Variation and Use, in The Oxford Handbook of Linguistic Analysis 160 (Bernd Heine & Heiko Narrog eds., 2010).Show More And corpus linguistics results “in research findings that have much greater generalizability and validity than would otherwise be feasible.”74 74.Id. at 159.Show More Because “a key goal of corpus linguistics is to aim for replicability of results, researchers and data creators have an important duty to discharge in ensuring the data they produce is made available to analysts in the future.”75 75.McEnery & Hardie, supranote 69, at 66.Show More

B. Corpora

A corpus can be made of any kind of naturally occurring texts. Common examples include collections of samples of newspapers articles, books, or legal documents. The utility of a corpus will depend on the degree to which it represents the target language domain of interest. Corpus representativeness depends on two key considerations—“what types of texts should be included in the corpus and how many texts are required.”76 76.Jesse Egbert et al., Designing and Evaluating Language Corpora: A Practical Framework for Corpus Representatives (2022).Show More What is true for computing is true for corpus linguistics: “garbage in, garbage out,” as corpus-based results can be no better than the corpus being used (and it can be worse if the corpus data is not properly analyzed).77 77.United States v. Esquivel-Rios, 725 F.3d 1231, 1234 (10th Cir. 2013) (Gorsuch, J., majority opinion) (“Garbage in, garbage out. Everyone knows that much about computers: you give them bad data, they give you bad results.”).Show More If a corpus does not adequately represent the texts used within the register or by the speech community one wants to make observations about, then other features of the corpus, such as its size, will make little difference. For example, a corpus composed of the transcripts of the television show Game of Thrones will not tell us much about language usage among early 20th century Ethiopian children, no matter how big the corpus is. The corpus must match and represent the register or group about which one wants to draw inferences. Otherwise, one cannot make generalizations about the larger register or speech community of interest. Hence, using Google for corpus linguistics research is arguably not very effective because the searchable web represents a wide range of registers and speech communities.78 78.See Douglas Biber & Jesse Egbert, Register Variation Online 6–7 (2018).Show More

C. Corpus Linguistic Methods

There are a large number of linguistic methods that have been developed and applied to corpus data. We first introduce a selection of methods that have been used for legal interpretation. Then we briefly introduce several other methods that are used within the larger field of corpus linguistics. Perhaps the most basic method for quantitatively analyzing corpus data is frequency—measuring how often, for instance, a word is used over time or in different types of texts (i.e., registers or genres).79 79.Tony McEnery & Andrew Wilson, Corpus Linguistics: An Introduction 82 (2d ed. 2001).Show More

Another corpus method commonly used in legal interpretive research is concordance line analysis. These can be used for qualitative analysis or in order to get at frequency data. Concordance lines are excerpts from texts centered on a search term. In cases where there are many hits resulting from a corpus query, researchers can extract a random sample of concordance lines from the corpus.

To get meaning out of the concordance lines often requires classifying (or “coding”) the search results. We recommend that researchers base concordance line coding on the best practices and principles of content analysis and survey methodologies.80 80.See James C. Phillips & Jesse Egbert, Advancing Law and Corpus Linguistics: Importing Principles and Practices from Survey and Content-Analysis Methodologies to Improve Corpus Design and Analysis, 2017 BYU L. Rev. 1589, 1608 (2017) (“Law and corpus linguistics can learn from the methodologies employed, and the reasons driving those methodologies, in fields that use content-analysis, such as media studies. Specifically, these methodologies can inform and improve what, how, and who codes search results from corpus analysis.”).Show More For instance, one could search for a particular word, then classify each result presented in a concordance line according to a particular sense of that word. Additionally, if greater context than one sentence is needed, one can expand the size of the text excerpt surrounding the search hit to account for more context. In this way, one could analyze the results to determine something a dictionary cannot usually convey: which sense is more common in a given context (i.e., the distribution of senses). This particular exercise, using concordance lines to classify senses, has proven to be an effective method for addressing questions regarding the meaning of words and phrases in legal texts. Further, the nature of the search results prevents one from cherry-picking examples. Of course, classifying senses involves a measure of subjectivity in considering the context to properly classify (or code) a sense. But as explained further below, we have taken measures to minimize this subjectivity.

Another tool found in most corpora is collocation. Some words “co-locate” more frequently than other words. One can think of this phenomenon as “word neighbors.” These semantic patterns of word association can sometimes be intuitive: we expect dark to appear more often in the same semantic environment as night than with perfume. But sometimes the patterns are surprising. This linguistic phenomenon has long been implicitly recognized in the law in the canon of construction called noscitur a sociis: “it is known by its associates.”81 81.Noscitur a sociis, Black’s Law Dictionary (10th ed. 2014).Show More Linguists just put it a slightly different way: “[y]ou shall know a word by the company it keeps!”82 82.John Rupert Firth, A Synopsis of Linguistic Theory, 1930–1955, in Studies in Linguistic Analysis 11 (1957).Show More

By seeing which words are collocates of each other, we can sometimes get additional insight into how people understand those words. This can be done in a corpus by searching for a word and indicating (1) how many words to the left or right (or both) of the search term one wants to examine, and (2) which statistical measure (e.g., frequency, MI score, T score) will be used to measure the strength of association.83 83.SeeJesse Egbert, Tove Larsson & Douglas Biber, Doing Linguistics with a Corpus: Methodological Considerations for the Everyday User 25–29 (2020).Show More In this way, researchers are able to estimate how common it is for words to co-occur in close proximity. We can also use collocate analysis to see how usage patterns change. For instance, one of us in an earlier paper noted that the top five collocates (in raw frequency) of the term domestic violence from 1760-1979 were (1) against, (2) state(s), (3) protect, (4) convened, and (5) invasion.84 84.Lee & Phillips, supranote 44, at 298 tbl.1.Show More This reflects the sense as used in the Constitution of a rebellion or insurrection within a state. But the top five collocates of domestic violence from 1980-2009 showed a radical shift: (1) women, (2) abuse(d), (3) honor, (4) national, and (5) victims.85 85.Id.Show More These collocates reflect the sense of violence against a member of one’s household.

Besides analysis at the word or phrasal level, through a corpus search one can consider grammatical context by looking at a term or phrase in a specific syntactic structure (i.e., a noun modified by a particular adjective). For example, in a recent paper, one of us applied grammatical analysis of corpus data to determine whether language users use the term vehicle to refer to scooters.86 86.Daniel Keller & Jesse Egbert, Hypothesis Testing Ordinary Meaning, 86 Brook. L. Rev. 489, 505–32 (2021).Show More To do this, we identified 230 instances where scooter occurred in close proximity with vehicle, and then we classified each of these into one of three categories: (1) scooters are referred to as vehicles, (2) scooters are not referred to as vehicles, and (3) inconclusive. For each of these categories, we established a number of grammatical structures that clearly indicated the category. Based on this, we found that scooters are referred to as vehicles in 87% of the cases where the data is conclusive.

There are other methods in corpus linguistics that we have not discussed in this section. Among these are methods that have been used in previous legal scholarship (e.g., n-grams87 87.Lee & Phillips, supranote 44, at 304 & tbl.3.Show More or lexical bundles88 88.Douglas Biber, Susan Conrad, & Viviana Cortes, If you look at . . .: Lexical Bundles in University Teaching and Textbooks, 25 Applied Linguistics 371 (2004).Show More), as well as many others—such as dispersion,89 89.See Jesse Egbert, Brent Burch, & Douglas Biber, Lexical Dispersion and Corpus Design, 25 Int’l J. Corpus Linguistics 89–90 (2020); Stefan Th. Gries, Dispersions and Adjusted Frequencies in Corpora, 13 Int’l J. Corpus Linguistics 403 (2008).Show More keyword analysis,90 90.Jesse Egbert & Douglas Biber, Incorporating Text Dispersion into Keyword Analyses, 14 Corpora 77–78 (2019); Mike Scott, PC Analysis of Key Words—And Key Key Words, 25 System 233 (1997).Show More collostructional analysis,91 91.Stefan Th. Gries, & Anatol Stefanowitsch, Extending Collostructional Analysis: A Corpus-Based Perspective on ‘Alternations’, 9 Int’l J. Corpus Linguistics 97 (2004).Show More text type analysis,92 92.Douglas Biber & Edward Finegan, An Initial Typology of English Text Types, in Corpus Linguistics II: New Studies in the Analysis and Exploitation of Computer Corpora 19 (Jan Aarts and Willem Meijs eds., 1986).Show More multi-dimensional analysis,93 93.Douglas Biber, Variation Across Speech and Writing 24 (1988).Show More—that could potentially be used to address legal interpretative questions as research at the intersection of corpus linguistics and legal interpretation continues to grow.

III. Corpus Linguistic Analysis

A. Selecting a Corpus

While the parties never pointed to an instance of the term foreign tribunal(s) being used in a source of ordinary American English, the parties did argue that the term should be understood according to its ordinary meaning. To look at this, we turned to the Corpus of Historical American English, or COHA (pronounced koh-uh).94 94.Corpus of Historical American English, (2021) [hereinafter COHA] https://www.english-corpora.org/coha/ [https://perma.cc/K3VN-JFJD].Show More COHA “is the largest structured corpus of historical English.”95 95.Id.Show More It contains more than 475 million words from 115,000 texts ranging from the 1820s to the 2010s.96 96.Id.Show More It is balanced by genre within each decade, with texts from four types of genres (or registers): fiction, magazines, newspapers, and non-fiction. COHA is also “balanced across decades for sub-genres and domains as well (e.g., by Library of Congress classification for non-fiction; and by sub-genre for fiction—prose, poetry, drama, etc.)”97 97.Id.Show More Further, “[t]his balance across genres and sub-genres allows researchers to examine changes and be reasonably certain that the data reflects actual changes in the ‘real world,’ rather than just being artifacts of a changing genre balance.”98 98.Id.Show More

While claiming they were looking at ordinary meaning, the parties also looked at various legal sources: cases, statutes, and legal scholarship. For cases, we first turned to the Corpus of Supreme Court Opinions of the United States, which “includes all opinions in the United States Reports and opinions published by the Supreme Court through the 2017 term,” resulting in a corpus of about 98 million words and 62,000 texts.99 99.See Corpus of Supreme Court Opinions of the United States (hereinafter COSCO-US), https://lawcorpus.byu.edu/coscous/concordances [https://perma.cc/Y9L4-8EVG].Show More As there are no other corpora created for the remaining sources of legal documents the parties relied on, for federal cases we turned to Westlaw, for U.S. statutes we turned to HeinOnline’s U.S. Code, and for legal scholarship we turned to HeinOnline’s Core U.S. journals database.

B. Best Coding Practices

Given the subjective nature of coding—reading samples of language usage to try and classify that usage into a sense of a word or term—and the tendency of people to read evidence to confirm their pre-existing position or in light of their own biases, we implemented some best practices for the sense-coding portion of our analysis.100 100.See generallyJames C. Phillips & Jesse Egbert, Advancing Law and Corpus Linguistics: Importing Principles and Practices from Survey and Content-Analysis Methodologies to Improve Corpus Design and Analysis, 2017 BYU L. Rev. 1589, 1613–14 (2017).Show More We do this to pursue the twin pillars of good social science research: reliability and validity. Reliability, which could also be called replicability, is the ability of others to replicate the results. Validity is the accuracy of the results in measuring the phenomena claimed to be measured.

To achieve reliability and validity, we used two coders, with both coders coding all of the material independently of each other. We did this so we could see the rate of agreement between the coders. A low rate could mean the material is too difficult to code or that one coder is providing an idiosyncratic view of the material. Having two coders with a high rate of agreement provides greater confidence that the results are accurate and that others will reach similar results. Second, at least one of the coders, if not both, was completely blind to what the authors thought the results would be, thus eliminating any thumbs on the scale, so to speak. If coders think a certain outcome is expected or more likely, they may lean that way in their coding, so having the coders “blind” to such information helps mitigate confirmation bias or motivated reasoning, increasing both validity and reliability. Third, we only coded one instance of a term in a document, coding the first. We did this because multiple uses of a term in the same document are likely to take on the same sense, thus biasing the overall numbers if they are counted as separate instances. Public opinion pollsters do something similar, randomly sampling households rather than individuals since the opinions of members of the same household are highly correlated.

C. “Foreign Tribunal”

1. Corpus of Historical American English (COHA)

To determine what the term foreign tribunal, in both its singular and plural form, meant in “ordinary” American English, we turned to COHA. In the more than 298 million words found in the corpus through 1964 (the cut-off year for our search),101 101.COHA, supra note 94. To calculate this number, we subtracted the number of words from the 1970s–2010s, as well as half of the words for the 1960s, a combined total of 176,666,079 words, from the total words in COHA (475,031,831), resulting in a total of 298,365,752 words.Show More the term only showed up six times in six documents, and never again after 1895.102 102.Searching foreign tribunal in COHA yields both singular and plural results.Show More At the very least, this means that the term foreign tribunal(s) is a rare one in “ordinary” American English, and this may mean that there is no ordinary meaning of the term and that it only has a legal meaning.103 103.And one of the hits from COHA came from a legal source: Kent’s Commentaries on American Law. See James C. Phillips & Jesse Egbert, Appendices to a Corpus Linguistic Analysis of “Foreign Tribunal,” at app. 1 (Mar. 20, 2022) [hereinafter Appendices], https://pa​pers.ssrn.com/sol3/papers.cfm?abstract_id=4052959 [https://perma.cc/KYR3-3CS2]; James Kent, Commentaries on American Law, 24 N. Am. Rev. 345, 358 (1827).Show More

We only coded one of the instances in the document that had two for reasons noted above, resulting in six hits.104 104.See Appendices, supra note 103, at app. 1.Show More These six instances of the term were each independently coded by two coders. Coders determined the sense of foreign tribunal being used. They were given the following options and directions:

  • Government sense: a tribunal that operates under government authority, such as a court
  • Private/non-government: a tribunal that operates under non-governmental/private authority, such as private arbitration
  • Other: if the term being used to describe something that does not fit into the first two categories
  • Unclear: you cannot tell, which could be because there is not enough information or because you are not sure whether the tribunal mentioned fits into the government or non-government category

The first coder classified all six instances as falling under the government-authority sense. The second coder classified four of the instances as invoking the government-authority sense and two of the instances of the term as being unclear. Not once did a coder deem a use of foreign tribunal(s) in COHA to invoke the private-authority sense, nor did either coder deem any other sense as being used.

We also asked the coders to record the specific type of tribunal being discussed, such as a court, a legislature, arbitration, etc. For the six COHA instances, one coder deemed five references as being to a court and one reference as unclear, while the other deemed four of the six to be to a court, one to be to a state legislature, and the other to be unclear. Not once did a coder conclude the use of the term foreign tribunal(s) referred to arbitration. Of course, having only six instances of the term, and none after 1895, severely limits the conclusions we can draw from the findings. But at the very least, there is no clear evidence that the term foreign tribunal(s) as used in ordinary American English invoked the private/non-governmental sense and applied to arbitration.

2. Corpus of Supreme Court Opinions of the United States (COSCO-US)

We next looked to a corpus of U.S. Supreme Court opinions: COSCO-US.105 105.COSCO-US, supra note 99.Show More We limited the search to cases up through 1964. We also only coded the first instance of the term foreign tribunal(s) in a case, even if it appeared more than once. This resulted in forty-three instances, ranging from 1808 to 1958. Two coders independently coded all of these instances.106 106.SeeAppendices, supra note 103, at app. 2.Show More They first coded the following sense categories (the same as coded in COHA, though described here in abbreviated form):

  • government-authorized sense
  • private, non-government-authorized sense
  • any other sense
  • unclear

The coders agreed 88% of the time, a sufficiently high rate of agreement. In the chart below are the results.

Sense Distribution of Foreign Tribunal(s) in Supreme Court Cases, 1789–1964

At least 90% of the time, coders found that the government-authority sense of tribunal was being invoked for the term foreign tribunal. The rest of the time, it was unclear which sense was being used. And not once did a coder find that the U.S. Supreme Court was using the private/non-government-authority sense.

The coders were also asked to record the type of tribunal being referenced. The first coder found that all but one of the instances were referring to a court, the one outlier being a legislature. The second coder concluded that thirty-six of the forty-three instances were referencing a court, six were unclear, and one referenced a surveyor general.107 107.We note that sometimes the term foreign tribunal in referring to courts referred to courts outside of a state’s jurisdiction but not in a foreign country. Thus, to a Maryland state court, a New York state court is sometimes referred to as a foreign tribunal. This usage seemed to occur most often in the context of personal jurisdiction. See, e.g.,Hanson v. Denckla, 357 U.S. 235, 250–51 (1958) (“As technological progress has increased the flow of commerce between States, the need for jurisdiction over nonresidents has undergone a similar increase. At the same time, progress in communications and transportation has made the defense of a suit in a foreign tribunal less burdensome.”).Show More This evidence indicates that the Supreme Court consistently used foreign tribunal in the narrow, government-authority sense before the statute was enacted to refer to courts, not arbitration.

3. Westlaw Federal Court Opinions

A corpus of federal court decisions does not exist outside of the Founding Era.108 108.See Corpus of U.S. Caselaw, https://lawcorpus.byu.edu/cusc;showCorpusInfo=true/conc​ordances [https://perma.cc/ZVG9-QCLW].Show More But for this type of analysis, where one is coding concordance lines in a corpus, a digital database without the additional tools of a linguistic corpus will still work. So, we searched in Westlaw for “foreign tribunal” to capture the terms foreign tribunal and foreign tribunals. We limited the search under “Filters by Jurisdiction” to “Federal Courts of Appeal” and “Federal District Courts.” We also limited the search to any cases prior to 10/03/1964, the date the new statutory language of issue here was enacted. We then ordered the results by date with the most recent listed first since caselaw closer to 1964 would be more relevant and less likely to be influenced by linguistic drift. We coded the first 100 cases that had a valid hit (some had to be discarded because the term foreign tribunal(s) appeared in a headnote rather than in the body of the opinion). This resulted in cases from 1868 to 1964.109 109.See Appendices, supra note 103, at app. 3.Show More

The coding was for one of four categories:

  • government-authorized sense
  • private, non-government-authorized sense
  • any other sense
  • unclear

The coders coded the material independently of each other, resulting in an agreement rate of 98% for the senses of tribunal, a very high agreement rate. The findings are in the chart below.

Sense Distribution of Foreign Tribunal(s) in Federal Cases

Ranging from 98–100% of the time, the coders determined the government sense was being invoked. Twice the second coder determined that the private sense of tribunal was invoked. In the first instance, the district court judge appeared to be referring to arbitration performed by a court in Spain, which would be more consistent with the government-sense.110 110.See The Ciano, 58 F. Supp. 65, 66–67 (E.D. Pa. 1944) (“I am persuaded to the views set forth in The Edam case, supra, as it seems to me that these provisions are not in a true sense, clauses providing for arbitration, but rather clauses and agreements which attempt to give preference to one court over another, and to attempt to construe then as real agreements for arbitration within the purview of the Arbitration Act would be to confer exclusively jurisdiction as here on a foreign tribunal . . . .”).Show More The second case coded as invoking the private sense does refer to arbitration, but appears to do it in contrast to a foreign tribunal: “Arbitration clauses are found in virtually all the standard forms of charter parties and are particularly favored by shipping men as a means of avoiding litigation in distant countries before foreign tribunals.”111 111.Atl. Fruit Co. v. Red Cross Line, 276 F. 319, 322 (S.D.N.Y. 1921).Show More In other spots in the opinion, the court appears to be contrasting arbitration and litigation, so this use of the term foreign tribunals is likely referring to courts in a foreign country, and thus the government-authority sense.112 112.Id. at 321–22.Show More It appears, then, that the second coder may have been mistaken in finding two instances of the private/non-governmental sense.

Further, 99% of the time the first coder classified the entity being referred to as a foreign tribunal as a court, with the lone other instance being where the entity was a patent office. The second coder deemed 98% of the entities being referred to as a foreign tribunal were courts, with the other 2% referencing arbitration, though these were the same two cases just discussed above, leading us to believe these references were mistaken. Thus, it appears federal courts used the term consistent with how the Supreme Court used the term during that time—in the narrow, government-authority sense and usually referring to courts.

4. U.S. Code

We next looked at the United States Code as found in HeinOnline. We limited the results to those before 1965. We searched in “All Titles” under U.S. Code, limiting our search to the terms foreign tribunal and foreign tribunals that occurred up through 1964. After eliminating duplicates and only sampling the first instance if the term appeared more than once in a particular document, we were left with twelve results.113 113.SeeAppendices, supra note 103, at app. 4.Show More The first coder found all twelve instances to refer to the narrow, government-authority sense. The second coder determined that eleven of the twelve used the narrow, government-authority sense, with the other instance being unclear. Not once could we find an example of the private/non-government sense. As for the type of entity that was referred to as a foreign tribunal, the first coder deemed all twelve instances to be courts, while the second coder found that eight of the twelve were courts, and the other four were unclear. We did not find an example of an arbitration body being referred to as a foreign tribunal. This usage is consistent with how the courts were using the term.

5. U.S. Law Reviews

Finally, we looked at HeinOnline’s Core U.S. Journals database to see how foreign tribunal(s) was used in legal scholarship. Given how many times the terms occurred, we limited the years to 1950–1964, which resulted in 201 hits. We eliminated any result quoting another source, any duplicates, or any articles that were merely titles of statutes with no context. If foreign tribunal(s) appeared multiple times in the document, we only sampled it once—the first time it was listed, unless that first instance was eliminated for the reasons just noted. This resulted in ninety-eight instances of foreign tribunal(s) that we coded.114 114.See Appendices, supra note 103, at app. 5.Show More The coding was for one of four categories:

  • government-authorized sense
  • private, non-government-authorized sense
  • any other sense
  • unclear

Two coders coded the material independently of each other, resulting in an agreement rate of 96% for the senses of tribunal, a very high rate of agreement. In the figure below, we report the percentages for each category coded:

Sense Distribution of Foreign Tribunal(s) in U.S. Law Reviews

The results are very clear and very stark. Almost every single time the terms foreign tribunal or foreign tribunals were used in the decade and a half before 1964 in U.S. legal scholarship, the term took on the government-authorized sense. Arguably only once did it take on the private sense. For that one instance, the coders disagree, with one classifying it as taking on the government sense and the other coding it as being the private sense. The context was the trial in Israel of the infamous Nazi Adolf Eichmann. The sentence in which the term appeared was, “While arrangements were made for the taking of affidavits and for cross-examination before foreign tribunals, the understandable reluctance of former Nazis to appear before the court largely derogated from whatever direct applicability the territorial theory might have had to the Eichmann case.”115 115.Vanni E. Treves, Jurisdictional Aspects of the Eichmann Case, 47 Minn. L. Rev. 557, 562–63 (1962).Show More Given this is in the context of a criminal case, it seems unlikely that the term foreign tribunals would cover private entities in other countries. The coder who coded this instance as involving the private/non-governmental sense was likely mistaken. The coder also classified the type of foreign tribunal here to be a court, which is in tension with it being the private/non-governmental sense and further supports the government sense.116 116.SeeAppendices, supra note 103, at app. 5.Show More Hence, it appears the private sense of tribunal never occurred once in our sample of U.S. law reviews.

What is more, in determining what type of foreign tribunal was being discussed, the coders never found anything other than courts being referenced.117 117.One coder deemed that in every instance a court was being referenced. The other coder determined that in eighty-five of the ninety-eight instances, a court was referenced, and the other thirteen instances the coder could not tell what kind of tribunal was being referred to.Show More This usage in legal scholarship is consistent with how Congress, the Supreme Court, and lower federal courts used the term. Furthermore, this legal usage is consistent with the ordinary usage.

* * *

The data are about as one-sided as we have ever seen in doing corpus linguistic analysis. In 259 instances of the use of the term foreign tribunal or foreign tribunals across ordinary American English, U.S. Supreme Court opinions, federal court opinions, the U.S. Code, and U.S. legal scholarship, we found only three debatable instances of the use of a private/non-government-sense of tribunal—and those three were probably mistakenly coded. We also only found two possible instances where foreign tribunal(s) may have been referencing arbitration, but we also think those were probably mistakes. That is about as linguistically lopsided as it can get. Of course, we are not saying that it is impossible for foreign tribunal(s) to refer to a private, commercial arbitration panel. No doubt one could find an instance if one looked long and hard enough, just as one could probably find a few Republicans who would vote for Bernie Sanders for President. We are just saying that, based on the data we sampled, such usage was uncommon.118 118.It is also possible that our coders may have been mistaken on a few of the results they coded, but that would only change our numbers at the margins. Of course, people may look for themselves at the data in our appendices.Show More

D. Alternative Explanation

1. Real-world Frequency

There is an alternative explanation to frequency data in a corpus. It may not reflect linguistic reality but, assuming the corpus is properly constructed, it could reflect non-linguistic reality. In other words, it could reflect the frequency of the real world as to certain phenomenon.119 119.SeeLawrence M. Solan & Tammy Gales, Corpus Linguistics as a Tool in Legal Interpretation, 2017 BYU L. Rev. 1311, 1315 (2017); Thomas R. Lee & Stephen C. Mouritsen, The Corpus and the Critics, 88 U. Chi. L. Rev. 275, 340 (2021).Show More Thus, if one looks in the corpus at the word car, one is more likely to find instances of Fords or Toyotas than Ferraris because there are just many more Fords and Toyotas in existence than Ferraris. But that does not mean a Ferrari is not a car. And to confirm that, one could look to see if every time a Ferrari showed up in the corpus, it was described as a car. Is the fact that the term foreign tribunal almost never shows up as referring to a private, non-government-authorized tribunal or to arbitration merely a reflection of how much less arbitration occurs as compared to government-authorized tribunals and courts?

One way to get some leverage on this question would be to know how many lawsuits are filed in courts each year versus how many arbitration proceedings are instituted. Of course, one would need to know that historical data for the time periods analyzed here—pre-1965. We do not have that data. But it does not appear that the data we have sampled could be entirely driven by the real-world frequencies of courts and lawsuits being more prevalent than arbitration because that would mean arbitration seldom exists.

2. Arbitration Analysis

To look at this difference between linguistic frequency and real-world frequency from another angle, we decided to sample 100 instances of the word arbitration from COHA, to capture more ordinary language, and COSCO-US, to capture more legal meaning. We recorded the general word used for the entity conducting the arbitration proceeding (panel, body, tribunal, commission, etc.). We did so to see whether when the term arbitration is used it is predominantly referred to as a tribunal or predominantly referred to as something else. If arbitration predominantly referred to something other than a tribunal, then it would be further evidence that it is not something about the frequency of arbitration in the real world that may be driving the frequency data we see in our analysis of foreign tribunal(s)—though we recognize this type of analysis is less direct evidence of the meaning of foreign tribunal(s).120 120.While one could also do collocate analysis here (i.e., seeing which words collocate most frequently with arbitration), we did not because we felt the results would be too muddied by multiple hits from the same document.Show More

3. COHA

We searched for the terms arbitration and arbitrations in COHA that occurred from 1950–1964, finding 192 documents. We only took the first instance if there were multiple instances from the same document.121 121.We were not always sure whether a Letter to the Editor was multiple letters or one, so we left all of those in the data.Show More This reduced our total to 117.122 122.SeeAppendices, supra note 103, at app. 6.Show More The overwhelming majority (74%) of the hits did not reveal the type of entity performing the arbitration. Below are the results we found when we could determine the entity type.123 123.Given this did not involve such a subjective judgment as determining which sense was being used, but rather just whether a word was being used, we only used one coder for this coding.Show More

Type of Entity Performing Arbitration in COHA, 1950–1964

Entity Type Total %124 124.This is the percentage of the total times we were able to identify an entity type, which was thirty.Show More
board(s) 19 63.3%
commission 4 13.3%
committee 1 3.3%
court 3 10.0%
panel 2 6.7%
tribunal 1 3.3%

As is evident, it is possible to refer to the entity that is performing arbitration as a tribunal—in this instance a tribunal to handle disputes over the Suez Canal constituting one member named by Egypt, one by the complaining party, and the third by both together or by the International Court of Justice in The Hague.125 125.SeeSailing on a Pledge, Time, May 6, 1957, at 22.Show More (The coder deemed the source of this arbitration tribunal’s authority to be governmental in nature.)126 126.SeeAppendices, supra note 103, at app. 6.Show More But from 1950–1964 in the representative sample of more “ordinary” American English we examined, it was rare to refer to an entity performing arbitration as a tribunal.

4. COSCO-US

We performed the same analysis in COSCO-US to see what type of entity the U.S. Supreme Court referenced as performing arbitration. We only sampled the first instance if the term arbitration was used more than once in an opinion, treating majority and separate opinions as distinct. We also limited our results from 1789 to 1964. This resulted in 88 instances,127 127.SeeAppendices, supra note 103, at app. 7.Show More though again, an overwhelming majority (73%) did not reveal the entity type performing the arbitration. Below are the results we found when we could determine the entity type.

Type of Entity Performing Arbitration in COSCO-US, 1789–1964

Entity Type Total %128 128.This is the percentage of the total times we were able to identify an entity type, the total of which was twenty-four.Show More
association 1 4.2%
board 12 50.0%
body 1 4.2%
commission 3 12.5%
committee 2 8.3%
tribunal 5 20.8%

Here we see that the Supreme Court refers to the entity that performs arbitration as a tribunal about a fifth of the time, though it is not the most common term, which is board. Of these five instances of tribunal, in one the Court referred to the entity both as a tribunal and as a commission.129 129.SeeFrelinghuysen v. Key, 110 U.S. 63, 73 (1884).Show More In another, it referred to the entity as both a court and a tribunal and seemed to be referring to a court proceeding as arbitration.130 130.SeeProprietors of the Charles River Bridge v. Proprietors of the Warren Bridge, 36 U.S. (11 Pet.) 420, 473, 568 (1837).Show More The other three instances all seem to refer to an international tribunal of arbitration between the United States and Great Britain that was created by treaty and convened in Geneva, Switzerland to handle claims that arose out of the Civil War.131 131.See United States v. Realty Co., 163 U.S. 427, 441 (1896); Williams v. Heard, 140 U.S. 529, 531 (1891); United States v. Weld, 127 U.S. 51, 52 (1888).Show More

In sum, whether in more ordinary American English or in legal American English, at least as used by the U.S. Supreme Court, entities performing arbitration are unlikely to be referred to as a tribunal. This is further evidence that our findings for foreign tribunal are not driven by something other than linguistic usage.

Conclusion

In ZF Automotive US v. Luxshare, the parties have presented the Court with what Justice Frankfurter would call a “contest between probabilities of meaning.”132 132.Frankfurter, supra note 6, at 528.Show More But the methodologies and evidence presented by the parties to resolve that contest—dueling dictionaries and small samples of usage of the individual words of a multi-word term—were inadequate. After sampling 259 usages of the terms foreign tribunal and foreign tribunals across collections of texts using both ordinary and legal American English—including U.S. Supreme Court and federal court opinions, the U.S. Code, and U.S. legal scholarship—the data overwhelmingly show that the term foreign tribunal(s) was used in the sense of an entity using government authority to resolve a dispute, almost always a court. While there may be additional considerations the Court should take into account in resolving the legal question before it, the linguistic question is very clear: the term foreign tribunal seldom referred to a private arbitration body in American English prior to 1965, and the entity that was referred to as conducting arbitration was usually called something other than a tribunal.133 133.Our study was discussed during oral argument. For our response, see Eugene Volokh, Corpus Linguistics in the Supreme Court, Reason: The Volokh Conspiracy (Mar. 24, 2022, 12:28 PM), https://reason.com/volokh/2022/03/24/corpus-linguistics-in-the-supreme-court/ [https://perma.cc/3YWM-QB8Q].Show More

  1. See Oral Argument, ZF Auto. US, Inc. v. Luxshare, Ltd., No. 21-401 (U.S. argued Mar. 23, 2022), https://www.oyez.org/cases/2021/21-401. That case is consolidated with AlixPartners, LLC v. Fund for Protection of Investor Rights in Foreign States, No. 21-518 (U.S. argued Mar. 23, 2022). However, the latter case involves a slightly different question: whether 28 U.S.C. § 1782 applies to investor-state arbitrations pursuant to international treaties. This paper will not address the underlying linguistic questions invoked by AlixPartners.
  2. 28 U.S.C. § 1782(a).
  3. See Luxshare, Ltd. v. ZF Auto. US, Inc., 547 F. Supp. 3d 682, 686–87 (E.D. Mich.), cert. granted 142 S. Ct. 637 (2021).
  4. Carpenter v. United States, 138 S. Ct. 2206, 2238–39 n.4 (2018) (Thomas, J., dissenting) (running a search in the Corpus of Founding-Era American English); Lucia v. S.E.C., 138 S. Ct. 2044, 2056 (2018) (Thomas, J., concurring, joined by Gorsuch, J.) (citing Jennifer Mascott, Who Are “Officers of the United States?” 70 Stan. L. Rev. 443 (2018)); Facebook, Inc. v. Duguid, 141 S. Ct. 1163, 1174 (2021) (Alito, J., concurring) (citing Thomas R. Lee & Stephen C. Mouritsen, Judging Ordinary Meaning, 127 Yale L. J. 788 (2018)); Bostock v. Clayton County, 140 S. Ct. 1731, 1769 n.22 (2020) (Alito, J., dissenting) (citing James C. Phillips, The Overlooked Evidence in the Title VII Cases: The Linguistic (and Therefore Textualist) Principle of Compositionality 3 (unpublished manuscript) (May 11, 2020), https://ssrn.com/abstract=3585940.
  5. Garson Kanin, Conversations with Felix, Reader’s Digest, June 1964, at 116, 117 (replying to counsel who said a question from the bench was just a matter of semantics).
  6. Felix Frankfurter, Some Reflections on the Reading of Statutes, 47 Colum.
    L.

    Rev. 527, 528 (1947).

  7. See Brief for the Petitioners at 18, ZF Auto. US, Inc. v. Luxshare, Ltd., No. 21-401 (Jan. 24, 2022).
  8. Tribunal, Black’s Law Dictionary (4th ed. 1951); Webster’s Third New International Dictionary of the English Language Unabridged 2441 (1961) [hereinafter Webster’s Third (1961)].
  9. Webster’s Third
    (1961),

    supra note 8, at 2441.

  10. Tribunal, Black’s Law Dictionary (4th ed. 1951).
  11. Webster’s Third
    (1961),

    supra note 8, at 2441; Merriam-Webster’s Dictionary of Law

    503 (1996).

  12. The American Heritage Dictionary of the English Language
    1369 (1969)

    .

  13. Tribunal, Black’s Law Dictionary (4th ed. 1951).
  14. 11 The Oxford English Dictionary 341 (1933).
  15. Ballentine’s Law Dictionary 1300 (1969).
  16. Black’s Law Dictionary
    1814 (11

    th ed. 2019).

  17. Merriam-Webster’s Dictionary of Law
    503 (1996

    ).

  18. The American Heritage Dictionary of the English Language
    1369 (1969)

    .

  19. Brief for the Petitioners, supra note 7, at 19 (quoting Webster’s Third (1961), supra note 8, at 2441).
  20. Funk & Wagnalls New Standard Dictionary of the English Language 1340 (1960).
  21. Brief for the Petitioners, supra note 7, at 19–20.
  22. It is worth noting that no contemporaneous legal dictionary included the broader sense of tribunal. This could indicate a divergence from the ordinary and the legal meanings of the word.
  23. See Brief for the Petitioners, supra note 7, at 19; Brief for the Respondent at 12, ZF Auto. US, Inc. v. Luxshare, Ltd., No. 21-401 (filed Feb. 23, 2022).
  24. See Brief for the Petitioners, supra note 7, at 19.
  25. Id.
  26. See Brief for the Respondent, supra note 23, at 12–14.
  27. Brief for the Petitioners, supra note 7, at 20–21.
  28. Brief for the Petitioners, supra note 7, at 20.
  29. See Brief for the Respondent, supra note 23, at 13.
  30. See Brief for the Petitioners, supra note 7, at 21–25.
  31. See Brief for the Respondent, supra note 23, at 13.
  32. Alan Cruse, Meaning in Language: An Introduction to Semantics and Pragmatics 82 (3d ed. 2011).
  33. Id. at 84.
  34. Alison Wray, Why Are We So Sure We Know What a Word Is?, in The Oxford Handbook of the Word 725, 737 (John R. Taylor ed., 2015).
  35. John McH. Sinclair, Collocation: A Progress Report, in
    2

    Language Topics: Essays in Honour of Michael Halliday 319, 320 (Ross Steele & Terry Threadgold eds., 1987).

  36. See Cruse, supra note 32, at 86–91.
  37. FCC v. AT&T Inc., 562 U.S. 397, 406 (2011).
  38. See 2 McCarthy on Trademarks and Unfair

    Competition § 11:27 (5th ed.) (“Under the anti-dissection rule, a composite mark is tested for its validity and distinctiveness by looking at it as a whole, rather than dissecting it into its component parts.”).

  39. Est. of P.D. Beckwith, Inc., v. Comm’r of Pats., 252 U.S. 538, 545–46 (1920).
  40. TE-TA-MA Truth Found.—Fam. of URI, Inc. v. World Church of the Creator, 297 F.3d 662, 666 (7th Cir. 2002) (emphasis added).
  41. Frank H. Easterbrook, Text, History, and Structure in Statutory Interpretation, 17 Harv. J.L. & Pub. Pol’y 61, 67 (1994).
  42. Henry M. Hart, Jr. & Albert M. Sacks, The Legal Process: Basic Problems in the Making and Application of Law 1375 (1994).
  43. Id. at 1375–76.
  44. Thomas R. Lee & James C. Phillips, Data-Driven Originalism, 167 U. Pa. L. Rev. 261, 298–300 (2019).
  45. Domestic Violence, Oxford English Dictionary Online (Mar. 2006), https://www.oed.com/view/Entry/56663?redirectedFrom=domestic+violence#eid41827739 [https://perma.cc/A5ZN-RQRV]; Lee & Phillips, supra note 44, at 300.
  46. James Sledd & Wilma R. Ebbitt, Dictionaries and That Dictionary 79 (1962) (quoting the editor-in-chief of Webster’s Third as stating that “the dictionary’s purpose was to report the language, not to prescribe what belonged in it”). Because of this move, Justice Scalia rejected Webster’s Third, preferring Webster’s Second. See James J. Brudney & Lawrence Baum, Oasis or Mirage: The Supreme Court’s Thirst for Dictionaries in the Rehnquist and Roberts Eras, 55 Wm. & Mary L. Rev
    .

    483, 508–09 (2013) (noting that Scalia’s reliance “on Webster’s Second and American Heritage—identified as belonging to the prescriptive camp—far more than Webster’s Third, the poster child for descriptive dictionaries,” is a “preference” that “is not inadvertent: Scalia has disparaged Webster’s Third in his opinions . . . and in his recent book”). Scalia’s rejection of Webster’s Third is ironic given his purported aim of understanding words in legal texts according to how people at the time would have understood them.

  47. Henri Béjoint, Tradition and Innovation in Modern English Dictionaries 116 (1994).
  48. Sledd & Ebbitt, supra note 46, at 57.
  49. Samuel A. Thumma & Jeffrey L. Kirchmeier, The Lexicon Has Become a Fortress: The United States Supreme Court’s Use of Dictionaries, 47 Buff. L. Rev. 227, 242 (1999).
  50. Id.
  51. Granted, to the extent people rely on dictionaries, even a prescriptive definition could somewhat reflect how people understood language, though it is second-best evidence.
  52. See Stephen C. Mouritsen, The Dictionary Is Not a Fortress: Definitional Fallacies and a Corpus-Based Approach to Plain Meaning, 2010 BYU L. Rev. 1915, 1926–29 (2010).
  53. 524 U.S. 125 (1998).
  54. Id. at 128–31.
  55. As has been noted elsewhere, the one exception to this is The Random House Dictionary of the English Language. See Lee & Mouritsen, supra note 4, at 808 n.89 (observing that dictionary’s front matter declares that “a general policy of putting the most frequently used meanings . . . at the beginning of the entry, followed by other senses in diminishing usage, with archaic, and obsolete senses coming last”) (citing Random House Dictionary of the English Language—Unabridged, at viii (2d ed. 1987) [hereinafter Random House]). However, that dictionary was not cited by the parties here (and would only provide half of the relevant term), and as Lee and Mouritsen note, there are “grounds for skepticism of these sorts of claims” given the way dictionaries are constructed, with even Random House conceding that “sense ranking based on frequency holds only ‘generally.’” Id. (quoting Random House, supra, at xxii).
  56. 1 The Oxford English Dictionary xxix (2d ed. 1989) (“[T]hat sense is placed first which was actually the earliest in the language: the others follow in order in which they appear to have arisen.”).
  57. Webster’s Third New International Dictionary of the English Language Unabridged 19a (1971).
  58. See John Mikhail, The Definition of ‘Emolument’ in English Language and Legal Dictionaries, 1523–1806, at 8–10 (July 12, 2017) (unpublished manuscript) (surveying 50 founding-era dictionaries and concluding that because 100% of the entries included at least one element of the broad definition of emolument, and only 8% of the entries included an office or employment-related definition, the word must have been understand at the founding in its broad sense); see also James Cleith Phillips & Sara White, The Meaning of the Three Emoluments Clauses in the U.S. Constitution: A Corpus Linguistic Analysis of American English from 1760–1799, 59 S. Tex. L. Rev. 181, 196–97 (2017) (critiquing Mikhail for this analysis).
  59. Lee & Mouritsen, supra note 4, at 809 n.90 (quoting Webster’s Third (1971), supra note 57, at 19a).
  60. Kory Stamper, Word by Word: The Secret Life of Dictionaries 119 (2017); see also The Routledge Handbook of Corpus Linguistics 433–34 (Anne O’Keeffe & Michael McCarthy eds., 2010) (discussing “lumpers” and “splitters”).
  61. Stamper, supra note 60, at 119.
  62. Id.
  63. Sidney I. Landau, Dictionaries: The Art and Craft of Lexicography 35 (1984).
  64. Phillips & White, supra note 58, at 191.
  65. See Lee & Mouritsen, supra note 4, at 810 n.98 (“[T]he methods that [dictionaries] use to sample language use don’t create a reliable sample—aggregating dictionaries isn’t going to accomplish anything if none of them has a reliable sample of language usage.”).
  66. For a broader discussion of this, see generally Lee & Mouritsen, supra note 4 (arguing that corpus linguistics can provide answers to questions regarding statutory interpretation).
  67. Amanda K. Fronk, Big Lang at BYU,
    BYU

    Magazine

    (

    Summer 2017), https://magazine.byu.edu/article/big-lang-at-byu/ [https://perma.cc/23QK-W3GJ].

  68. Hans Lindquist, Corpus Linguistics and the Description of English 52 (2009) (observing that “today all major British dictionary publishers have their own corpora . . . . The editors use concordances to find out the typical meanings and constructions in which each word is used, and try to evaluate which of these are worth mentioning in the dictionary. Many dictionaries also quote authentic examples from corpora, either verbatim or in a slightly doctored form.”).
  69. Tony McEnery & Andrew Hardie, Corpus Linguistics: Method, Theory and Practice 1–2 (2012).
  70. Paul Baker et al., Glossary of Corpus Linguistics 65 (2006).
  71. Henry A. Landsberger, Hawthorne Revisited: Management and the Worker, Its Critics, and Developments in Human Relations in Industry 14–15, 23 (1958).

  72. The Cambridge Handbook of English Corpus Linguistics 1 (Douglas Biber & Randi Reppen eds., 2015).
  73. Douglas Biber, Corpus-Based and Corpus-Driven Analyses of Language Variation and Use, in The Oxford Handbook of Linguistic Analysis 160 (Bernd Heine & Heiko Narrog eds., 2010).
  74. Id. at 159.
  75. McEnery & Hardie, supra note 69, at 66.
  76. Jesse Egbert et al., Designing and Evaluating Language Corpora: A Practical Framework for Corpus Representatives
    (2022).

  77. United States v. Esquivel-Rios, 725 F.3d 1231, 1234 (10th Cir. 2013) (Gorsuch, J., majority opinion) (“Garbage in, garbage out. Everyone knows that much about computers: you give them bad data, they give you bad results.”).
  78. See Douglas Biber & Jesse Egbert, Register Variation Online
    6–7 (2018).

  79. Tony McEnery & Andrew Wilson, Corpus Linguistics: An Introduction 82 (2d ed. 2001).
  80. See James C. Phillips & Jesse Egbert, Advancing Law and Corpus Linguistics: Importing Principles and Practices from Survey and Content-Analysis Methodologies to Improve Corpus Design and Analysis, 2017 BYU L. Rev. 1589, 1608 (2017) (“Law and corpus linguistics can learn from the methodologies employed, and the reasons driving those methodologies, in fields that use content-analysis, such as media studies. Specifically, these methodologies can inform and improve what, how, and who codes search results from corpus analysis.”).
  81. Noscitur a sociis, Black’s Law Dictionary (10th ed. 2014).
  82. John Rupert Firth, A Synopsis of Linguistic Theory, 1930–1955, in Studies in Linguistic Analysis 11 (1957).
  83. See Jesse Egbert, Tove Larsson & Douglas Biber, Doing Linguistics with a Corpus: Methodological Considerations for the Everyday User
    25–29

    (2020).

  84. Lee & Phillips, supra note 44, at 298 tbl.1.
  85. Id.
  86. Daniel Keller & Jesse Egbert, Hypothesis Testing Ordinary Meaning, 86 Brook. L. Rev. 489, 505–32 (2021).
  87. Lee & Phillips, supra note 44, at 304 & tbl.3.
  88. Douglas Biber, Susan Conrad, & Viviana Cortes, If you look at . . .: Lexical Bundles in University Teaching and Textbooks, 25 Applied Linguistics 371 (2004).
  89. See Jesse Egbert, Brent Burch, & Douglas Biber, Lexical Dispersion and Corpus Design, 25 Int’l J. Corpus Linguistics 89–90 (2020); Stefan Th. Gries, Dispersions and Adjusted Frequencies in Corpora, 13 Int’l J. Corpus Linguistics 403 (2008).
  90. Jesse Egbert & Douglas Biber, Incorporating Text Dispersion into Keyword Analyses, 14 Corpora 77–78 (2019); Mike Scott, PC Analysis of Key Words—And Key Key Words, 25 System 233 (1997).
  91. Stefan Th. Gries, & Anatol Stefanowitsch, Extending Collostructional Analysis: A Corpus-Based Perspective on ‘Alternations’, 9 Int’l J
    .

    Corpus Linguistics

    97 (2004).

  92. Douglas Biber & Edward Finegan, An Initial Typology of English Text Types, in Corpus Linguistics II
    :

    New Studies in the Analysis and Exploitation of Computer Corpora

    19 (

    Jan Aarts and Willem Meijs eds., 1986).

  93. Douglas Biber, Variation Across Speech and Writing 24 (1988).
  94. Corpus of Historical American English, (2021) [hereinafter COHA] https://www.english-corpora.org/coha/ [https://perma.cc/K3VN-JFJD].
  95. Id.
  96. Id.
  97. Id.
  98. Id.
  99. See Corpus of Supreme Court Opinions of the United States (hereinafter COSCO-US), https://lawcorpus.byu.edu/coscous/concordances [https://perma.cc/Y9L4-8EVG].
  100. See generally James C. Phillips & Jesse Egbert, Advancing Law and Corpus Linguistics: Importing Principles and Practices from Survey and Content-Analysis Methodologies to Improve Corpus Design and Analysis, 2017 BYU L. Rev. 1589, 1613–14 (2017).
  101. COHA, supra note 94. To calculate this number, we subtracted the number of words from the 1970s–2010s, as well as half of the words for the 1960s, a combined total of 176,666,079 words, from the total words in COHA (475,031,831), resulting in a total of 298,365,752 words.
  102. Searching foreign tribunal in COHA yields both singular and plural results.
  103. And one of the hits from COHA came from a legal source: Kent’s Commentaries on American Law. See James C. Phillips & Jesse Egbert, Appendices to a Corpus Linguistic Analysis of “Foreign Tribunal,” at app. 1 (Mar. 20, 2022) [hereinafter Appendices], https://pa​pers.ssrn.com/sol3/papers.cfm?abstract_id=4052959 [https://perma.cc/KYR3-3CS2]; James Kent, Commentaries on American Law, 24 N. Am. Rev. 345, 358 (1827).
  104. See Appendices, supra note 103, at app. 1.
  105. COSCO-US, supra note 99.
  106. See Appendices, supra note 103, at app. 2.
  107. We note that sometimes the term foreign tribunal in referring to courts referred to courts outside of a state’s jurisdiction but not in a foreign country. Thus, to a Maryland state court, a New York state court is sometimes referred to as a foreign tribunal. This usage seemed to occur most often in the context of personal jurisdiction. See, e.g., Hanson v. Denckla, 357 U.S. 235, 250–51 (1958) (“As technological progress has increased the flow of commerce between States, the need for jurisdiction over nonresidents has undergone a similar increase. At the same time, progress in communications and transportation has made the defense of a suit in a foreign tribunal less burdensome.”).
  108. See Corpus of U.S. Caselaw, https://lawcorpus.byu.edu/cusc;showCorpusInfo=true/conc​ordances [https://perma.cc/ZVG9-QCLW].
  109. See Appendices, supra note 103, at app. 3.
  110. See The Ciano, 58 F. Supp. 65, 66–67 (E.D. Pa. 1944) (“I am persuaded to the views set forth in The Edam case, supra, as it seems to me that these provisions are not in a true sense, clauses providing for arbitration, but rather clauses and agreements which attempt to give preference to one court over another, and to attempt to construe then as real agreements for arbitration within the purview of the Arbitration Act would be to confer exclusively jurisdiction as here on a foreign tribunal . . . .”).
  111. Atl. Fruit Co. v. Red Cross Line, 276 F. 319, 322 (S.D.N.Y. 1921).
  112. Id. at 321–22.
  113. See Appendices, supra note 103, at app. 4.
  114. See Appendices, supra note 103, at app. 5.
  115. Vanni E. Treves, Jurisdictional Aspects of the Eichmann Case, 47 Minn. L. Rev. 557, 562–63 (1962).
  116. See Appendices, supra note 103, at app. 5.
  117. One coder deemed that in every instance a court was being referenced. The other coder determined that in eighty-five of the ninety-eight instances, a court was referenced, and the other thirteen instances the coder could not tell what kind of tribunal was being referred to.
  118. It is also possible that our coders may have been mistaken on a few of the results they coded, but that would only change our numbers at the margins. Of course, people may look for themselves at the data in our appendices.
  119. See Lawrence M. Solan & Tammy Gales, Corpus Linguistics as a Tool in Legal Interpretation, 2017 BYU L. Rev. 1311, 1315 (2017); Thomas R. Lee & Stephen C. Mouritsen, The Corpus and the Critics, 88 U. Chi. L. Rev. 275, 340 (2021).
  120. While one could also do collocate analysis here (i.e., seeing which words collocate most frequently with arbitration), we did not because we felt the results would be too muddied by multiple hits from the same document.
  121. We were not always sure whether a Letter to the Editor was multiple letters or one, so we left all of those in the data.
  122. See Appendices, supra note 103, at app. 6.
  123. Given this did not involve such a subjective judgment as determining which sense was being used, but rather just whether a word was being used, we only used one coder for this coding.
  124. This is the percentage of the total times we were able to identify an entity type, which was thirty.
  125. See Sailing on a Pledge, Time, May 6, 1957, at 22.
  126. See Appendices, supra note 103, at app. 6.
  127. See Appendices, supra note 103, at app. 7.
  128. This is the percentage of the total times we were able to identify an entity type, the total of which was twenty-four.
  129. See Frelinghuysen v. Key, 110 U.S. 63, 73 (1884).
  130. See Proprietors of the Charles River Bridge v. Proprietors of the Warren Bridge, 36 U.S. (11 Pet.) 420, 473, 568 (1837).
  131. See United States v. Realty Co., 163 U.S. 427, 441 (1896); Williams v. Heard, 140 U.S. 529, 531 (1891); United States v. Weld, 127 U.S. 51, 52 (1888).
  132. Frankfurter, supra note 6, at 528.
  133. Our study was discussed during oral argument. For our response, see Eugene Volokh, Corpus Linguistics in the Supreme Court, Reason: The Volokh Conspiracy (Mar. 24, 2022, 12:28 PM), https://reason.com/volokh/2022/03/24/corpus-linguistics-in-the-supreme-court/ [https://perma.cc/3YWM-QB8Q].