Defining Dicta
Total Page:16
File Type:pdf, Size:1020Kb
GW Law Faculty Publications & Other Works Faculty Scholarship 2005 Defining Dicta Michael B. Abramowicz George Washington University Law School, [email protected] Maxwell L. Stearns Follow this and additional works at: https://scholarship.law.gwu.edu/faculty_publications Part of the Law Commons Recommended Citation Michael Abramowicz, Defining Dicta, 57 Stan. L. Rev. 953 (2005) This Article is brought to you for free and open access by the Faculty Scholarship at Scholarly Commons. It has been accepted for inclusion in GW Law Faculty Publications & Other Works by an authorized administrator of Scholarly Commons. For more information, please contact [email protected]. Defining Dicta by Michael Abramowicz* and Maxwell Stearns** I. INTRODUCTION ..............................................................................................................3 II. THE PROBLEMS OF DICTA ..............................................................................................9 A. Bakke ......................................................................................................................11 1. Justice Powell’s Opinion...................................................................................13 2. Analysis of Justice Powell’s Opinion ...............................................................15 a. A Presumptive Definition ...........................................................................16 i. Necessary propositions and sufficient propositions ............................16 ii. The problem of alternative possible justifications ..............................17 iii. The problem of alternative justifications.............................................19 iv. Supportive and nonsupportive propositions........................................21 b. Possible Reasons for Deviating from the Presumptive Definition .............22 i. The problem of structured analysis .....................................................23 ii. The problem of hypotheticals..............................................................29 iii. The problem of biconditional statements ............................................31 iv. The problem of breadth .......................................................................34 3. Summary and Comparison with Previous Analyses.........................................35 B. Summary of Identified Problems............................................................................40 III. POSITIVE MODELS AND NORMATIVE FACTORS..............................................................42 A. Modeling Stare Decisis and the Holding-Dicta Distinction ...................................46 1. Modeling Horizontal Stare Decisis...................................................................48 2. Modeling Vertical Stare Decisis .......................................................................52 3. Modeling the Breadth of Holdings ...................................................................59 B. The Judicial Four C’s..............................................................................................66 1. Constraint..........................................................................................................67 2. Consideration ....................................................................................................70 3. Clarity ...............................................................................................................72 4. Candor...............................................................................................................73 C. Assessing Propositions and Problem Categories ....................................................75 1. Necessary Propositions .....................................................................................75 2. Sufficient Propositions and Related Problems..................................................76 3. Nonsupportive Propositions..............................................................................79 4. Structured Analysis...........................................................................................81 5. Hypotheticals ....................................................................................................86 * Associate Professor, George Washington University Law School. ** Professor, George Mason University School of Law. For excellent comments and suggestions, we thank participants at a workshop at the George Washington University Law School. For outstanding research assistance, we thank James Boiani, David Divine, and Leah Howard. Any remaining errors should be counted as dicta. 2 6. Biconditional Statements ..................................................................................86 7. Breadth..............................................................................................................89 8. Summary...........................................................................................................90 IV. DEFINING HOLDING AND DICTA ....................................................................................92 A. The Inadequacy of Existing Definitions .................................................................93 1. Reconciliability.................................................................................................93 2. Factual Materiality............................................................................................100 3. Necessity...........................................................................................................103 4. Preclusivity .......................................................................................................109 B. Necessary Conditions for a Holding.......................................................................113 1. Actually Decided ..............................................................................................116 2. Based on Facts of the Case ...............................................................................122 3. Leading to the Judgment...................................................................................124 V. APPLICATIONS ...............................................................................................................125 A. Bakke ......................................................................................................................125 B. Roe ..........................................................................................................................127 1. Justice Blackmun’s Opinion for the Court Error! Bookmark not defined. 2. Applying the Definition Error! Bookmark not defined. C. Penn Central............................................................................................................133 D. Blakely ....................................................................................................................139 E. Grutter and Gratz ....................................................................................................141 VI. CONCLUSION..................................................................................................................142 I. INTRODUCTION Even the longest, most complicated, and divisive appellate court decisions do not come with code books.1 Appellate court decisions increasingly involve complex constitutional, statutory, or administrative law issues, and include lengthy discussions of case facts,2 findings 1 In contrast, legislatures routinely offer contemporaneous materials to assist in the task of statutory interpretation, including cross-referencing provisions and definitions of terms. See generally WILLIAM N. ESKRIDGE, JR. ET AL., CASES AND MATERIALS ON LEGISLATION: STATUTES AND THE CREATION OF PUBLIC POLICY 413, 680-82 (3d ed. 2002). Legislative history also informs statutory interpretation, and occasionally Congress will give explicit instructions about interpreting legislative history. For example, following a dispute concerning the meaning of “business necessity” for purposes of § 105 of the Civil Rights Act of 1991, the Civil Rights Act of 1991, Pub. L. 102-166, 105 Stat. 1071 (codified at 42 U.S.C. 1981 (Supp.1992)), members of Congress included a three paragraph memorandum within the Congressional Record. This was then referred to as “exclusive legislative history,” see 137 Cong. Rec. S 15,276 (daily ed. Oct. 25, 1991), and was later recognized as such within the statute. See Civil Rights Act of 1991, § 105(b). In contrast, appellate opinions do not generally include contemporaneously produced materials designed to assist future courts in discerning which aspects of those opinions are or are not controlling, and where “judicial history” exists, it is generally considered to be irrelevant to interpretation. See generally Adrian Vermeule, Judicial History, 108 YALE L.J. 1311 (1999) (exploring the parallels and differences between legislative and judicial history). 2 For general statistics on the increasing length of judicial opinions, see RICHARD POSNER, THE FEDERAL COURTS: CRISIS AND REFORM 112-16 (1985). 3 below, hypothetical disputes of varying significance to legal issues presented, and discursive and sometimes tendentious treatment of precedent. Judges sometimes identify their holding with precision, and in so doing, imply that all other aspects of the discussion, however persuasive and seemingly relevant those discussions might be to the immediate case disposition, are instead dicta.3 More frequently, however, judges offer looser characterizations,