Frederick Schauer - Authority and Authorities

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Citation: 94 Va. L. Rev. 1931 2008
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ESSAYS
AUTHORITY AND AUTHORITIES
FrederickSchauer*
A curious feature of the current controversy over the citation of
foreign law' is that it appears to be a debate about citation.
* David and Mary Harrison Distinguished Professor of Law, University of Virginia.

This Essay was written while I had the privilege of serving as the George Eastman
Visiting Professor at Oxford University, and I am grateful to Oxford and to Balliol
College for providing such a supportive and stimulating academic and jurisprudential
environment. I am also grateful for written comments from Noam Gur, Jorge Menzes,
James Sherman, Bobbie Spellman, Kevin Washburn, and Adrian Vermeule; for help-
ful feedback from the participants at the Brooklyn Law School Faculty Workshop, the
Harvard Law School Public Law Workshop, the Oxford University Jurisprudence
Discussion Group, the University College London Faculty of Laws Faculty Seminar,
and the Cambridge Forum for Legal and Political Philosophy; and for research sup-
port from the Harvard Law School.
'See, e.g., Roper v. Simmons, 543 U.S. 551, 575-78 (2005) (Kennedy, J.); id. at 604-
05 (O'Connor, J., dissenting); id. at 622-28 (Scalia, J., dissenting); Lawrence v. Texas,
539 U.S. 558, 572-73 (2003) (Kennedy, J.); id. at 598 (Scalia, J., dissenting); Atkins v.
Virginia, 536 U.S. 304, 316 n.21 (2002) (Stevens, J.); id. at 324-25 (Rehnquist, C.J.,
dissenting); id. at 347-48 (Scalia, J., dissenting); Printz v. United States, 521 U.S. 898,
921 n.l (1997) (Scalia, J.); id. at 976-77 (Breyer, J., dissenting); Thompson v. Okla-
homa, 487 U.S. 815, 830-31 (1988) (Stevens, J.); id. at 868 n.4 (Scalia, J., dissenting);
Roger P. Alford, In Search of a Theory for Constitutional Comparativism, 52 UCLA
L. Rev. 639, 640-44 (2005); Steven G. Calabresi & Stephanie Dotson Zimdahl, The
Supreme Court and Foreign Sources of Law: Two Hundred Years of Practice and the
Juvenile Death Penalty Decision, 47 Wm. & Mary L. Rev. 743 (2005); Vicki C. Jack-
son, Constitutional Comparisons: Convergence, Resistance, Engagement, 119 Harv.
L. Rev. 109 (2005); David S. Law, Generic Constitutional Law, 89 Minn. L. Rev. 652,
653-59 (2005); Sanford Levinson, Looking Abroad When Interpreting the U.S. Con-
stitution: Some Reflections, 39 Tex. Int'l L.J. 353 (2004); Nelson Lund & John 0.
McGinnis, Lawrence v. Texas and Judicial Hubris, 102 Mich. L. Rev. 1555, 1580-81
(2004); Noga Morag-Levine, Judges, Legislators, and Europe's Law: Common-Law
Constitutionalism and Foreign Precedents, 65 Md. L. Rev. 32 (2006); Gerald L. Neu-
man, The Uses of International Law in Constitutional Interpretation, 98 Am. J. Int'l
L. 82 (2004); Michael D. Ramsey, International Materials and Domestic Rights: Re-
flections on Atkins and Lawrence, 98 Am. J. Int'l L. 69 (2004); Cheryl Saunders,
Comparative Constitutional Law in the Courts: Is There a Problem?, 59 Current Le-
gal Probs. 91 (2007); Mark Tushnet, Transnational/Domestic Constitutional Law, 37
Loy. L.A. L. Rev. 239, 241-46 (2003); Jeremy Waldron, Foreign Law and the Modern
Ius Gentium, 119 Harv. L. Rev. 129 (2005); Ernest A. Young, Foreign Law and the
Denominator Problem, 119 Harv. L. Rev. 148 (2005).
1931
HeinOnline -- 94 Va. L. Rev. 1931 2008

1932 Virginia Law Review [Vol. 94:1931
And what makes that so curious is that engaging in a debate about
citation, or even seeming to care about citation, stands in such
marked contrast to the current legal zeitgeist. Legal sophisticates
these days worry little about the ins and outs of citation, tending
instead to cast their lot with the legal realists in believing that the
citation of legal authorities in briefs, arguments, and opinions is
scarcely more than a decoration Citation may be professionally
obligatory, the sophisticates grudgingly acknowledge, but it persists
largely as an ornament fastened to reasons whose acceptance
rarely depends on the assistance or weight of the cited authorities.
So although learning the rules and practices of legal citation is nec-
essary for speaking and writing the language of the law, it is a mis-
take to think that the cited authorities have very much to do with
the substance of legal argument or the determination of legal out-
comes.
With this dismissive attitude towards legal citation so prevalent,
the focus of the debate on the citation to foreign (or, sometimes,
international) law seems almost quaint. Interestingly, however, the
debate over the propriety of citing to non-American legal authority
arises at the same time as the permissibility of other forms of cita-
tion has been at the vortex of a number of equally heated contro-
versies. One such controversy erupted a few years ago with the
Eighth Circuit's panel decision in Anastasoff v. United States,4 a
case in which the court initially held unconstitutional a prohibition
on the citation to (and precedential effect of) unpublished opinions
on the grounds that the prohibition went beyond the court's judi-
cial powers under Article III. Something of a firestorm ensued,5
2 See, e.g., Gregory Scott Crespi, The Influence of Two Decades of Contract Law
Scholarship on Judicial Rulings: An Empirical Analysis, 57 SMU L. Rev. 105,106 n.10
(2004); Mark Tushnet, Themes in Warren Court Biographies, 70 N.Y.U. L. Rev. 748,
756 (1995).
'See Harold Hongju Koh, International Law as Part of Our Law, 98 Am. J. Int'l L.
43, 52-56 (2004); Joan L. Larsen, Importing Constitutional Norms from a "Wider
Civilization": Lawrence and the Rehnquist Court's Use of Foreign and International
Law in Domestic Constitutional Interpretation, 65 Ohio St. L.J. 1283, 1298-99 (2004);
John 0. McGinnis & Ilya Somin, Should International Law Be Part of Our Law?, 59
Stan. L. Rev. 1175 (2007); Neuman, supra note 1, at 84-89.
'223 F.3d 898 (8th Cir. 2000), vacated as moot, 235 F.3d 1054 (2000) (en banc).
5 See Hart v. Massanari, 266 F.3d 1155 (9th Cir. 2001) (Kozinski, J.); Bob Berring,
Unprecedented Precedent: Ruminations on the Meaning of It All, 5 Green Bag 2d
245, 246 (2002); Danny J. Boggs & Brian P. Brooks, Unpublished Opinions & the Na-

2008] Authority and Authorities 1933
one focused significantly on whether it was desirable or permissible

to prohibit advocates in their briefs from citing to a particular kind
of authority. What eventually followed was the new Federal Rule
of Appellate Procedure 32.1, prohibiting the circuits from adopting
no-citation rules while allowing them to continue to adopt, if they
wished, their own no-precedential-effect rules and practices.6 The
new rule not only marked the denouement of the Anastasoff con-
troversy in the Eighth Circuit, but also reflects a larger array of
concerns that have arisen in all the federal circuits, and indeed in
the state appellate courts as well. In the wake of growing concerns
about how to manage a burgeoning caseload with little increase in
the number of judges, these courts have wrestled with the desirabil-
ity or permissibility, even if not the constitutionality, of various "no
citation" rules,7 presumably to the sneers or yawns of the cognis-
centi, especially those with realist sympathies. And when the De-
partment of History at Middlebury College prohibited students
from citing to Wikipedia in their term papers,' legal observers de-
ture of Precedent, 4 Green Bag 2d 17, 18 (2000); Richard B. Cappalli, The Common
Law's Case Against Non-Precedential Opinions, 76 S. Cal. L. Rev. 755, 759 (2003);
Jeffrey 0. Cooper, Citability and the Nature of Precedent in the Courts of Appeals: A
Response to Dean Robel, 35 Ind. L. Rev. 423, 425-29 (2002); Frank I. Michelman,
Anastasoff and Remembrance, 58 Ark. L. Rev. 555, 564-69 (2005); Lauren Robel,
The Practice of Precedent: Anastasoff, Noncitation Rules, and the Meaning of Prece-
dent in an Interpretive Community, 35 Ind. L. Rev. 399, 409-14 (2002); Bradley Scott
Shannon, May Stare Decisis Be Abrogated by Rule?, 67 Ohio St. L.J. 645, 648-51
(2006); J. Thomas Sullivan, Unpublished Opinions and No Citation Rules in the Trial
Courts, 47 Ariz. L. Rev. 419, 419-21 (2005); Symposium, Anastasoff, Unpublished
Opinions, and "No Citation" Rules, 3 J. App. Prac. & Process 169 (2001); Donn G.
Kessler & Thomas L. Hudson, Losing Cite: A Rule's Evolution, Ariz. Att'y, June
2006, at 10, 10-11.
6 Fed. R. App. P. 32.1; see Scott E. Gant, Missing the Forest for a Tree: Unpub-
lished Opinions and New Federal Rule of Appellate Procedure 32.1, 47 B.C. L. Rev.
705 (2006). It is worth noting that so-called unpublished opinions are now routinely
published in West's Federal Appendix.
7 For useful overviews of the issues, see Jessie Allen, Just Words? The Effects of
No-Citation Rules in Federal Courts of Appeals, 29 Vt. L. Rev. 555, 556-61 (2005);
Stephen R. Barnett, No-Citation Rules Under Siege: A Battlefield Report and Analy-
sis, 5 J. App. Prac. & Process 473, 487-97 (2003); Sullivan, supra note 5, at 430-451;
Kenneth Anthony Laretto, Note, Precedent, Judicial Power, and the Constitutionality
of "No-Citation" Rules in the Federal Courts of Appeals, 54 Stan. L. Rev. 1037, 1039-
43 (2002).
'Noam Cohen, A History Department Bans Citing Wikipedia as a Research
Source, N.Y. Times, Feb. 21, 2007, at B8; Scott Jaschik, A Stand Against Wikipedia,
Inside Higher Ed, Jan. 26, 2007, http://insidehighered.com/news/2007/01/26/wiki.

bated the relevance of Middlebury's decision to the question of

permissible and impermissible citations to Wikipedia and other al-
legedly unreliable sources in academic legal work.9
Although the renewed attention to the citation of authorities ini-
tially seems anachronistic or otherwise odd, on further reflection it
may not be so surprising after all. The issue in these controversies,
after all, is not one of citation. It is one of authority, and law is, at
bottom, an authoritative practice,"0 a practice in which there is far
more reliance than in, say, mathematics or the natural sciences on
the source rather than the content (or even the correctness) of
ideas, arguments, and conclusions." And as long as this is so, then
something as seemingly trivial as citation practice turns out to be
the surface manifestation of a deeply important facet of the nature
of law itself. It is not without interest and importance that lawyers
and judges refer to the things they cite as authorities and that a
brief is sometimes called a "memorandum of points and authori-
ties."' 2 These usages and many like them reinforce the point that
citation practice is intimately connected with the authoritative core
'See, e.g., Posting of Mary L. Dudziak to Legal History Blog,

http://egalhistoryblog.blogspot.com/2007/02/study-on-wikipedia-accuracy-in-history.html
(Feb. 6, 2007, 00:07 EST); Posting of Daniel J. Solove to Concurring Opinions,
http://www.concurringopinions.com/archives/2007/02/when is it-appr.html (Feb. 5,
2007, 13:54 EST); see also Suzanna Sherry, Democracy and the Death of Knowledge,
75 U. Cin. L. Rev. 1053, 1054-55 (2007) (connecting phenomenon of Wikipedia with
larger and troubling trends towards consensus epistemology).
" See Joseph Raz, The Authority of Law: Essays on Law and Morality (1979); Larry
Alexander & Frederick Schauer, Law's Limited Domain Confronts Morality's Uni-
versal Empire, 48 Wm.& Mary L. Rev. 1579, 1586-87 (2007).
" "[A]uthority and hierarchy play a role in law that would be inimical to scientific
inquiry." Richard A. Posner, The Problems of Jurisprudence 62 (1990). Judge Posner
exaggerates, given that genuine authority does exist even in science and mathematics.
See C.A.J. Coady, Testimony: A Philosophical Study 249-61 (1992); Robert Audi,
The Place of Testimony in the Fabric of Knowledge and Justification, 34 Am. Phil. Q.
405 (1997); C.A.J. Coady, Mathematical Knowledge and Reliable Authority, 90 Mind
542, 548-49 (1981); John Hardwig, The Role of Trust in Knowledge, 88 J. Phil. 693,
694 (1991). Advances in science and mathematics are themselves collaborative enter-
prises, with mathematicians and scientists often relying on the conclusions of trusted
others. And although trust and authority are not identical, they share the characteris-
tic of involving reliance on the conclusions of others under circumstances in which the
relier has no first-hand reason to accept the conclusions. Yet although it is useful to
recognize the role of authority and trust in science, Posner's basic point that authority
looms far larger in law than in science seems nevertheless sound.
2 See, e.g., Cal. Ct. R. 5.118(a), 5.315; In re Schmidt, 114 P.3d 816, 825 (Alaska
2005); Gourdine v. Crews, 935 A.2d 1146, 1149 (Md. Ct. Spec. App. 2007).

of the idea of law. Rather than being little more than the character-
istic form of legal jargon, the law's practice of using and announc-
ing its authorities-its citation practice-is part and parcel of law's
character. The various contemporary controversies about citation
practice turn out, therefore, to be controversies about authority,
and as a result they are controversies about the nature of law itself.
I. AUTHORITY 101
It may be useful to begin by reprising the conventional wisdom
about the very idea of authority. According to this conventional
wisdom, the characteristic feature of authority is its content-
independence.3 The force of an authoritative directive comes not
from its content, but from its source. And this is in contrast to our
normal decisionmaking and reasoning processes. Typically, the
reason for an action, a decision, or a belief is one that is grounded
in the content of the reason. I eat spinach because it is good for me,
and it actually being good for me is a necessary condition for it be-
ing a good reason. Similarly, when Judge Cardozo in MacPherson
v. Buick Motor Co. held that privity was not a requirement for
manufacturer liability to consumers," that conclusion was a prod-
uct of his belief that it was the most fair, efficient, or otherwise de-
sirable approach. Had he not believed that to be true, he would not
have reached the conclusion he did, just as I would not eat spinach
if I did not believe it was good for me. So let us call this kind of
reason a substantive reason. Someone considering what to do, what
to decide, or what to believe will take a reason as a good substan-
tive reason only if she believes in what the reason actually says and
believes that what the reason says is true.
Content-independent reasons, however, are different. They are
reasons to act, decide, or believe that are based not on the substan-
13The locus classicus is H.L.A. Hart, Commands and Authoritative Legal Reasons,
in Essays on Bentham: Studies in Jurisprudence and Political Theory 243, 261-66
(1982). See also Richard T. De George, The Nature and Limits of Authority 34-42
(1985); Roger A. Shiner, Norm and Nature: The Movements of Legal Thought 52-53
(1992); R.A. Duff, Inclusion and Exclusion: Citizens, Subjects and Outlaws, 51 Cur-
rent Legal Probs. 241, 247 (1998); Kenneth Einar Himma, H.L.A. Hart and the Prac-
tical Difference Thesis, 6 Legal Theory 1, 26-27 (2000); Frederick Schauer, The Ques-
tions of Authority, 81 Geo. L.J. 95, 95-96 (1992). For a challenge to the standard
account, see P. Markwick, Independent of Content, 9 Legal Theory 43, 43-44 (2003).
,4111 N.E. 1050, 1053 (N.Y. 1916) (Cardozo, J.).

tive content of a reason, but instead on its source. What matters is

not what the reason says but where it comes from. So when an ex-
asperated parent yells, "Because I said so!" to a child, the parent
typically has tried to explain to the child why she should do her
homework or why he should clean up his room. When these con-
tent-based or substantive reasons have been unavailing, however,
the exasperated parent resorts to the because-I-said-so argument
precisely to make clear that the child should do as told regardless
of whether the child agrees with those substantive reasons. And in
much the same fashion, a judge in a New York lower court subse-
quent to MacPherson then has an obligation to reach the same
conclusion as Judge Cardozo even if she does not believe that do-
ing away with the privity requirement in such cases is a good idea.
Her obligation arises simply from the fact that Judge Cardozo in
MacPhersonsaid so.
Like parents and judges of higher courts, those who are in au-
thority typically rely, or at least can rely, on their role or position to
provide reasons for their subjects to follow their rules, commands,
orders, or instructions.15 Sergeants and teachers, among others, will
often try to induce their subordinates or students to understand
and agree with the substantive reasons for doing this or that, but
the essence of authority exists not because of substantive agree-
ment on the part of the subject, but apart from it. Maybe the ser-
geant would like me to understand why I should have a sharp
crease in my uniform pants,6 and surely the teacher would like me
to understand why I must memorize and recite a Shakespeare son-
net. But in both cases, and countless others, the authorities want it
understood that I am expected to do what I am told just because of
who told me to do it, even if I do not accept the underlying sub-
stantive reasons for so doing. Following H.L.A. Hart, we think of
" That role or position may include the ability to impose the authority's will by
force. It is not my topic here, but it is worth mentioning that the ability to be treated
as an authority will often be backed up by force. It is important, however, not to con-
fuse the idea of authority with the idea of legitimate authority nor to confuse the fact
that a subject may treat a source as authoritative with the reasons why the subject
may have chosen to do so.
6 On further reflection, probably not. In my experience, which in fact does include
experience as a private in the United States Army, sergeants are vastly more inter-
ested in having their orders obeyed than in having the subjects accept or agree with
the substantive reasons lying behind them.

authority as content-independent precisely because it is the source

and not the content of the directive that produces the reasons for
following it. And so, when a rule is authoritative, its subjects are
expected to obey regardless of their own evaluation of the rule or
the outcome it has indicated on a particular occasion.
It is highly controversial whether authority in this precise sense
is a good idea and, if so, in what contexts. A longstanding body of
thinking argues that it is irrational for an autonomous agent to do
something she would not otherwise have done on the balance of
substantive reasons just because a so-called authority says so." If
Barbara has decided after careful thought to spend her life as a
lawyer rather than as a physician, why should she follow a different
course just because her father has said so? When Sam has con-
cluded that he would like to smoke marijuana because he believes
it makes him feel good and has few side effects, is it rational for
him to put aside his own best judgment in favor of that of police of-
ficers and politicians? When the sign says "Don't Walk" but there
is no car in sight, does it make sense for me to stand obediently at
the curb?18 And when a judge has determined what she believes
would be the best outcome in the case before her, can it be rational
for her to make a contrary ruling solely because a bare majority of
judges of a higher court has come to a different conclusion in a
similar case? Authority may be ubiquitous in our lives, but for gen-
erations its basic soundness has been an object of persistent chal-
lenge.'9 Yet although authority has long been criticized, it has for
17See, e.g., Heidi M. Hurd, Moral Combat (1999); A. John Simmons, Moral Princi-
ples and Political Obligations (1979); Robert Paul Wolff, In Defense of Anarchism
(1970); Heidi M. Hurd, Challenging Authority, 100 Yale L.J. 1611, 1612-13 (1991);
Heidi M. Hurd, Why You Should Be a Law-Abiding Anarchist (Except When You
Shouldn't), 42 San Diego L. Rev. 75, 75-76 (2005). See generally Scott J. Shapiro, Au-
thority, in The Oxford Handbook of Jurisprudence and Philosophy of Law 382, 391-
93 (Jules Coleman & Scott Shapiro eds., 2002) (discussing the relationship between
authority and rationality).
18See Donald H. Regan, Law's Halo, in Philosophy and Law 15, 18-19 (Jules Cole-
man & Ellen Frankel Paul eds., 1987).
"9Also relevant here is the literature criticizing judicial involvement in enforcing the
Fugitive Slave Laws, Robert M. Cover, Justice Accused: Antislavery and the Judicial
Process (1975), the laws of Nazi Germany, Lon L. Fuller, Positivism and Fidelity to
Law: A Reply to Professor Hart, 71 Harv. L. Rev. 630 (1958); but see Stanley L. Paul-
son, Lon L. Fuller, Gustav Radbruch, and the "Positivist" Theses, 13 L. & Phil. 313
(1994), and the racial laws of apartheid South Africa, David Dyzenhaus, Hard Cases

just as long been defended. Socrates refused to escape from Athens

on the eve of being put to death precisely because he accepted the
authority of the state that had unjustly, even in his own mind, con-
demned him.' President Dwight Eisenhower sent federal troops to
Little Rock, Arkansas in 195721 to enforce a Supreme Court deci-
sion-Brown v. Board of Education22 -with whose outcome he dis-
agreed,23 and he did so because he accepted the authority of the
Supreme Court,24 just as he expected the state of Arkansas to ac-
cept the authority of the federal government. Questioning the idea
of authority may have a long history, but there is an equally long
history of people accepting and endorsing it and consequently
seeking to explain why it is often appropriate for even a rational
agent to defer to the views of others, even when she disagrees with
the judgments to which she is deferring. 5
in Wicked Legal Systems: South African Law in the Perspective of Legal Philosophy
(1991).
2
Plato, The Apology of Socrates, in Dialogues of Plato 11, 32.(Benjamin Jowett
trans., rev. ed. 1900); Plato, Crito, in Dialogues of Plato, supra, at 41, 50-51.
2 See Cooper v. Aaron, 358 U.S. 1, 12 (1958).
22347 U.S. 483 (1954).
23 Kenneth O'Reilly, Nixon's Piano: Presidents and Racial Politics from Washington
to Clinton 170-71 (1995); see also Richard Kluger, Simple Justice 753-54 (1976).
' This is a controversial position these days. Compare Larry D. Kramer, The People
Themselves: Popular Constitutionalism and Judicial Review 246-48 (2004) (rejecting
the idea that the Supreme Court has interpretive authority over the other branches of
government or over the people), and Michael Stokes Paulsen, The Most Dangerous
Branch: Executive Power to Say What the Law Is, 83 Geo. L.J. 217, 343 (1994) (same,
but focusing on executive branch and not the population at large), and Robert C.
Post, The Supreme Court, 2002 Term-Foreword: Fashioning the Legal Constitution:
Culture, Courts, and Law, 117 Harv. L. Rev. 4, 6-11 (2003) (same, with qualifica-
tions), with Larry Alexander & Frederick Schauer, On Extrajudicial Constitutional
Interpretation, 110 Harv. L. Rev. 1359, 1361-62 (1997) (defending Supreme Court in-
terpretive supremacy), and Larry Alexander & Lawrence B. Solum, Popular? Consti-
tutionalism?, 118 Harv. L. Rev. 1594,1628-35 (2005) (book review) (same).
25 See, e.g., Raz, supra note 10, at 233-49; Joseph Raz, The Morality of Freedom
38-
42, 97-105 (1986); Robert P. George, Natural Law and Positive Law, in The Auton-
omy of Law: Essays on Legal Positivism 321, 327-28 (Robert P. George ed., 1996);
Scott J. Shapiro, The Difference That Rules Make, in Analyzing Law: New Essays in
Legal Theory 33, 59-61 (Brian Bix ed., 1998); see also Donald H. Regan, Reasons,
Authority, and the Meaning of "Obey": Further Thoughts on Raz and Obedience to
Law, 3 Can. J.L. & Jurisprudence 3, 14-19 (1990) (offering complex and qualified de-
fense of legal obligation).

For my purposes here, the ultimate rationality (or not) of au-

thority from the perspective of the subject is not the issue," be-
cause there can be little doubt that authority exists, apart from the
question of its desirability. We understand what authority is, and
we can identify instances of its effect, even as we disagree about its
normative desirability and the extent of its empirical prevalence in
real-world decisionmaking. And thus we understand that authority
provides reasons for action by virtue of its status and not by virtue
of the intrinsic or content-based soundness of the actions that the
authority is urging.
It is logically possible for those in authority-authorities-to
prescribe only those actions that their subjects would have selected
on the balance of substantive reasons even without the authorita-
tive directive, but such a possibility is too fantastic to be taken seri-
ously. As a practical matter, the universe of actual authoritative di-
rectives will encompass at least some decisionmaking occasions in
which a subject who accepts an authority will have an authority-
based and content-independent reason for doing something other
than what that subject would otherwise have thought it correct to
do. And also as a practical matter, these authoritative directives
will sometimes be dispositive, thus requiring a subject actually to
do or decide something other than what she would have done or
decided in the absence of the authoritative directive. So although a
source can be the repository of wisdom, experience, or informa-
tion, when a source is authoritative it provides a potentially deter-
minative reason for a decision other than the decision that the sub-
ject might have made after taking into account all of the
knowledge, wisdom, and information she can obtain from herself
or others. There is a key difference between learning how to do
something from a book and taking something in that same book as
correct just because it is in the book,27 and it is precisely this distinc-
26Even if deference to authority is irrational from the perspective of the subject,

imposition of authority may still be rational from the perspective of the authority. See
Larry Alexander & Emily Sherwin, The Deceptive Nature of Rules, 142 U. Pa. L.
Rev. 1191, 1194-99 (1994); Larry Alexander, The Gap, 14 Harv. J.L. & Pub. Pol'y 695
(1991); Frederick Schauer, Imposing Rules, 42 San Diego L. Rev. 85, 88-89 (2005).
But see Philip Soper, The Ethics of Deference: Learning from Law's Morals (2002).
271 (mostly) learned how to play bridge from a book, and I initially learned from a
book why it is generally not a good idea to lead away from a king. But if I am now
asked why it is a bad idea to lead away from a king, I can give a substantive reason

tion that is captured by the concept of authority and by the differ-
entiation between substantive and content-independent reasons.
II. Is "PERSUASIVE AUTHORITY" AN OXYMORON?
With the basic concept of authority as necessary background, we

can turn to the legal authorities that pervade and shape the formal
discourse of the law. These authorities are not all of one type,
however, and mandatory (or binding) authorities are commonly
distinguished from persuasive authorities.28 Mandatory authorities,
according to the standard account drummed into the minds of law-
yers from their first year of law school on, are ones that bind a
court to follow them, as in the case of the obligation of a lower
court in New York to follow Judge Cardozo's decision in MacPher-
son solely because lower courts are bound to obey the decisions of
higher courts in the same jurisdiction.29 And this binding obligation
to follow the decision of a higher court (or an earlier decision of
the same court, when a strong norm of stare decisis exists) is in
contrast, so it is said, with a court's discretion to choose whether to
follow a persuasive authority, such as a decision of a court in an-
other jurisdiction or a so-called secondary authority like a treatise
or law review article. A court may choose to follow such a decision
or to rely on the conclusions in a secondary authority, but, unlike a
court that is under an obligation to follow the decision of a higher
court in the same jurisdiction, here a court is conventionally under-
stood to be following only those decisions or conclusions whose
reasoning the court finds persuasive. And thus proponents of the
use of foreign law, for example, often argue that those who oppose
its use seem to be making much ado about very little, because there
and need not and would not say, "Because Eddie Kantar in his book on bridge de-
fense says so." But if I am asked why it is a good idea to hold a golf club so that the
angle between my right thumb and forefinger is aimed at my right shoulder, I can do
no better than to say that this rule is in all of the golf instruction books I have ever
read.
28
See, e.g., Morris L. Cohen, Robert C. Berring & Kent C. Olson, How to Find the
Law 3 (9th ed. 1989); Robin Wellford Slocum, Legal Reasoning, Writing, and Persua-
sive Argument 13-14 (2d ed. 2006).
29"For the second time in my judicial career, I am forced to follow a Supreme Court
opinion I believe to be inimical to the Constitution." Causeway Med. Suite v. Ieyoub,
109 F.3d 1096, 1113 (5th Cir. 1997) (Garza, J., concurring).

is certainly no binding obligation for any court to follow a decision

from another jurisdiction, whether domestic or foreign."
Yet perhaps this response is a bit too quick, and perhaps the
fundamental distinction between binding and persuasive authority
is deeply misguided. For once we understand that genuine author-
ity is content-independent, we are in a position to see that persua-
sion and acceptance (whether voluntary or not) of authority are
fundamentally opposed notions. To be persuaded that global
warming is a real problem is to accept that there are sound sub-
stantive reasons supporting these conclusions and thus to have no
need for authoritative pronouncements in reaching those conclu-
sions. When a scientist reaches the conclusion that global warming
is a problem, she does not do so because seven Nobel Prize winners
have said it is so but because her own scientific knowledge or in-
vestigation justifies that conclusion.31 But when I conclude that
global warming is a problem, I reach that conclusion not because I
genuinely know that it is correct, for I have no authority-
independent way of knowing. Rather, my conclusion is based on
the fact that it is consistent with what various scientists whose au-
thority I recognize and accept have said.32 Thus, it is not that I am
persuaded that global warming is a problem. Rather, I am per-
suaded that people whose judgment I trust are persuaded that
global warming is a problem. At times we may have both substan-
tive and content-independent reasons for believing the same thing,
but it remains crucial to recognize that the two are fundamentally
different.
30 See Jackson, supra note 1, at 114; Saunders, supra note 1, at 101; see also Tushnet,
supra note 1, at 25 (noting that the real controversy over citation to foreign law is
about "the relevance" of such references).
3 But see supra note 11.
32It is characteristic of law and many other domains of authority that the system of-
ten tells the subjects who (or what) the authorities are, and thus the subject is not re-
quired (or entitled) to decide whether a given authority is entitled to source-based
and content-independent deference. But in other contexts, including those in which
the subject must decide whether to defer to an authority or must decide which of mul-
tiple authorities is entitled to deference, there arises the interesting question of how
much knowledge the subject needs in order to defer to someone with greater knowl-
edge. See Scott Brewer, Scientific Expert Testimony and Intellectual Due Process,
107 Yale L.J. 1535, 1582-85 (1998). This problem, which is characteristic of the issue
of expert testimony, will be dealt with more extensively later in this Section. See infra
note 58 and accompanying text.

The distinction is the same in law.33 It is one thing to conclude

that the best theory of freedom of speech permits speakers to ad-
vocate racial hatred. It is quite another to say that advocating racial
hatred is constitutionally protected in the United States because
the Supreme Court said so (more or less) in Brandenburgv. Ohio.'
Here the contrast is the same as between the scientists and me with
respect to global warming. A decision driven by the intrinsic or
substantive reasons for a conclusion is very different from one
based solely on authority, plain and simple. Those who accept sci-
entific authority (which scientists rarely but not never do35) will ac-
cept that global warming is a problem even if their own authority-
independent reasoning leads to a different conclusion. Likewise, a
lower court judge who accepts the authority of precedent (from a
higher court) and a Supreme Court Justice who accepts the author-
ity of previous Supreme Court decisions (according to the principle
of stare decisis) are expected to conclude that advocacy of racial
hatred is constitutionally protected even if they believe that such a
conclusion is legally erroneous. 6
" See Posner, supra note 11, at 62; see also Lon L. Fuller, Reason and Fiat in Case
Law, 59 Harv. L. Rev. 376, 377-80 (1946).
4395 U.S. 444, 447-48 (1969) (per curiam).
" See supra note 11. On the law/science comparison, compare Waldron, supra note
1, at 143-46, with James Allan, Jeremy Waldron and the Philosopher's Stone, 45 San
Diego L. Rev. 133, 138-47 (2008).
36 "The concept of a system of precedent is that it constrains
judges in some cases to
follow decisions they do not agree with." P.S. Atiyah, Form and Substance in Legal
Reasoning: The Case of Contract, in The Legal Mind: Essays for Tony Honord 19, 27
(Neil MacCormick & Peter Birks eds., 1986); see also Larry Alexander, Constrained
By Precedent, 63 S. Cal. L. Rev. 1, 4 (1989); Evan H. Caminker, Why Must Inferior
Courts Obey Superior Court Precedents?, 46 Stan. L. Rev. 817 (1994); Richard H.
Fallon, Jr., Stare Decisis and the Constitution: An Essay on Constitutional Methodol-
ogy, 76 N.Y.U. L. Rev. 570, 570 (2001); Michael J. Gerhardt, The Role of Precedent
in Constitutional Decisionmaking and Theory, 60 Geo. Wash. L. Rev. 68, 87 (1991);
Henry P. Monaghan, Taking Supreme Court Opinions Seriously, 39 Md. L. Rev. 1, 3
(1979); Frederick Schauer, Precedent, 39 Stan. L. Rev. 571, 575 (1987).
The question of stare decisis has been much in the news and in Supreme Court
opinions recently, as the Court and various commentators debate not only the ques-
tion whether the Supreme Court is obligated to take its previous decision as authori-
tative but also whether the Court is in fact doing so. See, e.g., Leegin Creative
Leather Prods. v. PSKS, Inc., 127 S. Ct. 2705, 2737 (2007) (Breyer, J., dissenting); Par-
ents Involved in Cmty. Sch. v. Seattle Sch. Dist. No. 1, 127 S. Ct. 2738, 2835 (2007)
(Breyer, J., dissenting); FEC v. Wis. Right to Life, Inc., 127 S. Ct. 2652, 2704 (2007)
(Souter, J., dissenting); Morse v. Frederick, 127 S. Ct. 2618, 2649 (2007) (Stevens, J.,
dissenting); Scott v. Harris, 127 S. Ct. 1769, 1781 (2007) (Breyer, J., concurring); Fre-

But now we can see just how curious the ubiquitous references
to persuasive authority turn out to be. It is true that standard texts
on legal research, legal method, and legal writing almost invariably
distinguish between binding-or mandatory-and persuasive au-
thority.37 But if an agent is genuinely persuaded of some conclusion
because she has come to accept the substantive reasons offered for
that conclusion by someone else, then authority has nothing to do
with it. Conversely, if authority is genuinely at work, then the agent
who accepts the authoritativeness of a directive need not be per-
suaded by the substantive reasons that might support the same
conclusion. As with the parent saying, "Because I said so," author-
ity is in an important way the fallback position when substantive
persuasion is ineffective. And thus being persuaded is fundamen-
tally different from doing, believing, or deciding something be-
cause of the prescriptions or conclusions of an authority. But if this
is so, then the very idea of a persuasive authority is self-
contradictory, for persuasion and authority are inherently opposed
notions.3' A judge who is genuinely persuaded by an opinion from
another jurisdiction is not taking the other jurisdiction's conclusion
as authoritative. Rather, she is learning from it, and in this sense
she is treating it no differently in her own decisionmaking proc-
esses than she would treat a persuasive argument that she has
heard from her brother-in-law or in the hardware store. Con-
versely, the judge who decides to treat a decision from another ju-
risdiction as worthy of following because of its source and not its
derick Schauer, Has Precedent Ever Really Mattered in the Supreme Court?, 24 Ga.
St. U. L. Rev. 381, 381-85 (2007); Ronald Dworkin, The Supreme Court Phalanx,
N.Y. Rev. Books, Sept. 27, 2007, at 92; Editorial, Justice Denied, N.Y. Times, July 5,
2007, at 12; Charles Lane, Narrow Victories Move Roberts Court to Right; Decisions
Ignore Precedent, Liberal Justices Contend, Wash. Post, June 29, 2007, at A4; see also
Antonin Scalia, A Matter of Interpretation: Federal Courts and the Law 139 (Amy
Gutmann ed., 1997) ("The whole function of [stare decisis] is to make us say that what
is false under proper analysis must nonetheless be held to be true .... ). Although in
this Article I do not directly engage the questions whether the Supreme Court should
or does follow its own previous decisions even when it thinks them mistaken, the de-
bate about stare decisis underscores the importance of understanding the concept of
authority which undergirds these debates.
3 See sources cited supra note 28.
38"If the precedent is truly binding on [the judge], and if he loyally accepts the prin-
ciple of stare decisis, he will not even pause to consider what substantive reasons may
be given for an opposite decision." Atiyah, supra note 36, at 20; see also Fuller, supra
note 33, at 377.

content is treating it as authoritative and need not be persuaded by
the substantive reasons that might have persuaded the court that
reached that decision. Thus, the fundamental contrast between
persuasion and authority renders the term "persuasive authority"
self-contradictory. The use of a source can be one or the other-it
can be persuasive or it can be authoritative-but it cannot be both
at the same time.
Although courts often cite legal sources because they are genu-
inely and substantively persuaded, many-perhaps even most-
judicial uses of so-called persuasive authority seem to stem from
authority rather than persuasion. In Thompson v. Oklahoma, one
of the earlier juvenile death penalty cases, for example, the plural-
ity opinion of Justice Stevens reinforced its judgment by the fact
that the Court's outcome was "consistent with the views that have
been expressed by respected professional organizations, by other
nations that share our Anglo-American heritage, and by the lead-
ing members of the Western European community."39 Similarly, in
Roper v. Simmons, Justice Kennedy's opinion for the Court re-
ferred to the fact that there was "'virtual unanimity"' '" among other
nations on the question of the death penalty for juveniles and ex-
plained that the Court's conclusion was consistent with the "over-
whelming weight of international opinion."41 This is not the lan-
guage of persuasion; it is the language of authority. It is the very
actions of the other nations, and not their justifications for those
actions, that add weight to the Court's conclusion;42 and the fact
that the actual reasoning of these other courts and nations is not
described at all in the opinion adds credence to this interpreta-
tion. 3 It is simply the conclusion that other nations have reached
that is supposed to make a difference.
487 U.S. 815, 830 (1988) (Stevens, J., plurality opinion) (emphasis added).
40543U.S. 551, 575 (2005) (quoting Trop v. Dulles, 356 U.S. 86, 102-03 (1958) (plu-
rality opinion)).
Id. at 578.
42I do not make the claim that such sources are typically outcome-determinative.
Rather, the claim is that their authority as authority is used to strengthen a conclusion
reached on other grounds or as one factor among several, which in combination pro-
duce the following court's conclusion.
" See Young, supra note 1, at 155-56 (arguing that the absence of discussion of rea-
soning of other courts shows that Supreme Court is deferring to foreign opinion).

Taking so-called persuasive authority as authoritative rather

than persuasive is by no means peculiar to the issue of foreign law.
In referring to the law of other jurisdictions, American courts per-
sistently refer to the "weight of judicial opinion,"' the "consensus
of the courts, '"" the "consensus of judicial opinion,"4 6 what the "ma-
jority" of courts in other jurisdictions have done,47 or what "most
courts have held."48 Courts do not always use the language of au-
thority, to be sure, and on occasion talk of having been "persuaded
by the reasoning" of a court in another jurisdiction. 49 But such uses
seem considerably less frequent. As should be apparent, the task of
determining the exact percentage of optional sources cited because
of their authoritativeness versus those cited because of their per-
suasiveness is too daunting even to comprehend. But it seems ap-
parent even without a systematic empirical examination that, with
respect to a vast number of uses of so-called persuasive authority,
persuasion seems to have very little to do with it. It is not that
courts follow these optional sources because they are persuasive;
rather, courts follow them because of their very existence.
Widespread judicial practice, therefore, appears to support the
conclusion that persuasion is rarely part of the equation when per-
suasive authorities are being used. Yet although at first glance the
idea of persuasive authority seems to be as empirically inaccurate
as it is conceptually oxymoronic, the matter may not be quite so
simple. Because the concept of persuasive authority is traditionally
offered in opposition to the concept of mandatory authority, the
44E.g., Ziegelmaier v. Rasmussen, 324 P.2d 116, 118 (Cal. App. Dep't Super. Ct.
1958);
45 Volk v. Atl. Acceptance & Realty Co., 59 A.2d 387, 392 (N.J. Ch. 1948).
E.g., Gaspro, Ltd. v. Comm'n of Labor & Indus. Relations, 377 P.2d 932, 935
(Haw. 1962).
46 E.g., Wallace Constr. Co. v. Indus. Boiler Co., 470 So. 2d 1151,
1153 (Ala. 1985);
Puffer Mfg. v. Kelly, 73 So. 403, 403 (Ala. 1916); see also EEOC v. Nat'l Children's
Ctr., Inc., 146 F.3d 1042, 1047 (D.C. Cir. 1998) (noting a "'growing consensus among
the courts of appeals"' (quoting Pansy v. Borough of Stroudsbourg, 23 F.3d 772, 779
(3d Cir. 1994))).
47
See, e.g., Mastro v. Brodie, 682 P.2d 1162, 1168 (Colo. 1984) (describing and fol-
lowing approach of "[t]he overwhelming majority of state appellate courts"); Smidt v.
Porter, 695 N.W.2d 9, 20 (Iowa 2005) (referring to a conclusion reached by the
"overwhelming majority of courts").
48
E.g., Quint v. Pawtuxet Valley Bus Lines, 335 A.2d 328, 332 (R.I. 1975); Wal-Mart
Stores v. Sturges, 52 S.W.3d 711, 724 (Tex. 2001).
" E.g., 4000 Asher, Inc. v. State, 716 S.W.2d 190, 192 (Ark. 1986); State v. Rizzo, 833
A.2d 363, 406 (Conn. 2003); Therrien v. Sullivan, 891 A.2d 560, 563 (N.H. 2006).

distinction between the two hinges on whether the decisionmaker

has a choice to use the authority. And here the contributions of
Ronald Dworkin can be instructive. When Dworkin distinguishes
rules from principles," he relies in part on the fact that the judge
must apply51 a rule that applies to the facts at hand but has a choice
about whether to apply a principle. Both rules and principles have
scopes-they apply by their own terms to some but not all acts and
events." But under Dworkin's distinction, the defining characteris-
tic of a rule is that it must be applied whenever its triggering acts or
events occur, while principles are never mandatory in this sense,
even if it appears on their face that they apply to the matter at
hand.
The value of Dworkin's analysis for our purposes here has little
to do with any alleged distinction between rules and principles.
Rather, Dworkin helps us grasp a valuable distinction between
seemingly applicable authorities that must be applied and other
seemingly applicable authorities whose application is optional and
not obligatory. Transposing Dworkin's distinction between manda-
tory rules and less mandatory principles to the question of author-
ity encourages us to distinguish mandatory from optional authori-
ties. And "optional," 3 rather than "persuasive," seems a word
much better suited to capturing the distinction we are after be-
tween that which must be used and that which may be ignored. A
judge in the Southern District of New York is required to follow
Second Circuit and Supreme Court decisions but is not required to
follow or even notice the conclusions of the Eastern District of
New York, the New York Court of Appeals, the Third Circuit,
See Ronald Dworkin, Taking Rights Seriously 23-28 (1977).

Although Dworkin initially appeared to suggest that the obligation to follow a
rule was a conclusive one, he has been frequently criticized for collapsing the dis-
tinction between the obligation to use a source and the obligation to treat it as
conclusive. See Joseph Raz, Legal Principles and the Limits of Law, 81 Yale L.J.
823, 845 (1972); Colin Tapper, A Note on Principles, 34 Mod. L. Rev. 628, 634
(1971); Frederick Schauer, (Re)Taking Hart, 119 Harv. L. Rev. 852, 873 n.69
(2006) (book review). For Dworkin's response to these critiques, see Ronald
Dworkin, Hart and the Concepts of Law, 119 Harv. L. Rev. F. 95, 100-01 (2006),
httF://www.harvardlawreview.org/forum/issues/19/janO6/dworkin.pdf.
5 See Frederick Schauer, Playing by the Rules: A Philosophical Examination
of
Rule-Based Decision-Making in Law and in Life 23-24 (1991).
53The word "permissive" is also better than "persuasive." See John Gardner,
Con-
cerning Permissive Sources and Gaps, 8 Oxford J. Legal Stud. 457, 458 (1988).

Wigmore on Evidence, the HarvardLaw Review, the High Court of

Australia, the Constitutional Court of South Africa, or the Euro-
pean Court of Human Rights. Yet, although the Southern District
judge may ignore all of the items on this list of optional authorities
without fear of sanction, she is permitted by the applicable profes-
sional norms to use them, in a way that she is not permitted, for
fear of criticism and professional embarrassment if nothing else, to
provide citations to astrology, private conversations with her
brother, articles in the National Enquirer, and (slightly more con-
troversially) the Bible.54
This much may appear banal, but a much more difficult and im-
portant question remains. If a court is not required to cite or use
secondary authority, or authority from another jurisdiction-if the
use of optional authorities is nonmandatory but nevertheless per-
missible-then on what basis does a judge select an optional au-
thority? And is there anything at all authoritative about an op-
tional authority whose use is solely at the discretion of the judge?
The decisionmaker may select the optional authority because she is
persuaded by the substantive reasons the authority offers in sup-
port of its conclusion, but we understand then that the authority is
not being used as an authority. As such, little would differentiate
the genuinely persuasive opinion of a court located in a different
jurisdiction from the genuinely persuasive opinion of the judge's
father-in-law. Moreover, when a judge is actually persuaded by the
decision of another jurisdiction, whether foreign or domestic, we
would expect the judge to explain both the reasoning of that other
jurisdiction as well as the reasons why she found it persuasive.
Good manners and perhaps the desire to give research direction to
others will typically counsel the judge to acknowledge the source of
"Indeed, it may be that in legal decisionmaking generally the distinction between

impermissible and permissible sources (and outcomes) is even more important than
the distinction between mandatory and optional sources (and outcomes). And that is
because the entire shape of legal argument is determined by what sources can and
cannot be used, whereas the distinction between mandatory usable sources and op-
tional usable sources, while undoubtedly important, does not have the same dis-
course-shaping importance. For related observations in the context of "on the wall"
and "off the wall" arguments, see Sanford Levinson, Frivolous Cases: Do Lawyers
Really Know Anything at All?, 24 Osgoode Hall L.J. 353 (1986); Sanford Levinson,
What Do Lawyers Know (And What Do They Do with Their Knowledge)? Com-
ments on Schauer and Moore, 58 S. Cal. L. Rev. 441 (1985).
51See Young, supra note 1, at 152-53.

what she has now taken on as her ideas and conclusions. The cita-
tion to the decision of another jurisdiction in these circumstances
will accordingly not be a citation to authority as we now under-
stand the idea of authority but will instead be the judicial equiva-
lent of an academic paper that gives credit to the origins of the au-
thor's own thinking.
If an optional source of guidance is selected because of the sub-
stantive, first-order soundness of the source's reasoning, then the
source, even if by tradition and convention we label it as an "au-
thority," is not being used as an authority. But although that con-
clusion makes the idea of a persuasive authority once again appear
self-contradictory, there remains still another possibility. At times,
optional authorities are selected as authorities because the selector
trusts the authority as an authority even if the selector does not
agree with the conclusion or, more likely, believes herself unreli-
able in reaching some conclusion. So although a Tenth Circuit
judge is under no obligation in a securities regulation case to rely
on conclusions reached by the Second Circuit or found in the pages
of the Loss and Seligman treatise on securities regulation,56 the
judge might believe her own judgments about securities matters
sufficiently unreliable that she would prefer to rely on a court or
commentator she believes to be more expert. This could even be
true if she perceives herself as having little ability to evaluate the
soundness of the authority's conclusions and, indeed, even if she
suspects that the authority's conclusions are erroneous. The Tenth
Circuit judge who looks to the Second Circuit for guidance in secu-
rities cases57 is like a trial court relying on expert testimony or any
other novice relying on expertise. And in such cases the decision-
maker is not so much persuaded by the expert's reasons and argu-
6Louis Loss, Joel Seligman & Troy Paredes, Securities Regulation (4th ed. 2006).
The phenomenon of taking Second Circuit securities decisions as authoritative
even outside the Second Circuit is well documented. See Blue Chip Stamps v. Manor
Drug Stores, 421 U.S. 723, 762 (1975) (Blackmun, J., dissenting); SEC v. Kasser, 548
F.2d 109, 115 (3d Cir. 1977) (noting the Second Circuit's "especial expertise" in secu-
rities matters); Travis v. Anthes Imperial Ltd., 473 F.2d 515, 523 n.14 (8th Cir. 1973)
(correcting a district court's interpretation of a Second Circuit case while appearing to
treat that case as authoritative); Samuel Estreicher & John E. Sexton, A Managerial
Theory of the Supreme Court's Responsibilities: An Empirical Study, 59 N.Y.U. L.
Rev. 681, 728 n.171 (1984); Robert W. Hamilton, The State of State Corporation Law:
1986, 11 Del. J. Corp. L. 3, 16 (1986).

ments as by (the decisionmaker's inexpert evaluation of5 8) the ex-

pert's expertise, an expertise that operates in a genuinely authori-
tative manner.
Insofar as this picture of expertise-influenced selection of op-
tional authorities is accurate, then an optional authority is genu-
inely authoritative when the selector of the authority is not (neces-
sarily) persuaded by what some nonmandatory source says, but is
(inexpertly) persuaded that the optional source is more likely reli-
able than the selector herself. 9 So although a judge of the Southern
District of New York is required to follow Second Circuit rulings
he thinks wrong even if he thinks that the judges of the Second
Circuit are morons, there are other circumstances in which a judge
defers to an authority not because he is persuaded by the author-
ity's conclusions or reasons but by the fact that the authority is an
authority. In such circumstances, relying on the authority is genu-
inely optional and not mandatory, but it is nevertheless true that
the reliance or obedience that ensues is one that is content-
independent and, as such, an example of authentic authority.
Although optional authorities are often used in just this genu-
inely authoritative fashion, they are also employed frequently in a
manner that hovers between the authoritative and the substantive.
When a lawyer in a brief, a judge in an opinion, or a scholar in a
law review article makes reference to an authority, it is often done
to provide alleged "support" for some proposition. But the idea of
"support" here is an odd one. The cited authority is often not one
that supports the proposition in question any more than some
other authority might negate it.' And this makes the use of an au-
thority as "support" a peculiar sense of authority, because the set
of authorities does not necessarily point in one direction rather
58See Brewer, supra note 32, at 1538-39 (noting the difficulties nonexpert judges
and juries face when deciding between competing experts).
"Legal philosophers will recognize the affinity between this account and the "ser-
vice conception" of authority developed by Joseph Raz. See, e.g., Raz, supra note 10;
Raz, supra note 25; Joseph Raz, Practical Reason and Norms 62-65 (2d ed. 1990).
"There is an ethical obligation for lawyers to cite to directly contrary controlling
authority, see Model Rules of Prof'l Conduct R. 3.3(a)(2) (2007), but even apart from
the significant qualifications provided by "directly" and "controlling," the obligation
is one that is hardly universally followed. See Roger J. Miner, Lecture, Professional
Responsibility in Appellate Practice: A View from the Bench, 19 Pace L. Rev. 323,
331 (1999).

than another. Nevertheless, the conventions of legal citation do not

appear to require only strong (authoritative) support. Rather, the
conventions seem to require that a proposition be supported by a
reference to some court (or other source) that has previously
reached that conclusion, even if other courts or other sources have
reached a different and mutually exclusive conclusion, and even if
there are more of the latter than the former. Thus, to support a le-
gal proposition with a citation is often only to do no more than say
that at least one person or court has said the same thing on some
previous occasion.
When this kind of support appears in a law review article, it
serves little purpose other than to acknowledge the provenance of
an idea, and thus to think of the authority as supporting a conclu-
sion is rather tenuous. But perhaps such support has greater import
when it appears in a brief or judicial opinion. The requirement of
at least some modicum of support reflects not only law's intrinsi-
cally authoritative nature but also law's inherent conservatism (in
the non-political sense of that word). That is, a legal argument is
often understood to be a better legal argument just because some-
one has made it before, and a legal conclusion is typically taken to
be a better one if another court either reached it or credited it on
an earlier occasion. The reference to a source in this context rarely
refers to one that is more persuasive or authoritative than one that
could be marshaled for an opposing proposition, but instead ap-
pears to be the legal equivalent of the line commonly used by the
humorist Dave Barry-"I am not making this up."61
So what does it mean for the author of a brief, a judicial opinion,
or a law review article to say "I am not making this up"? One pos-
sibility is that there are not that many legal propositions whose af-
firmation and denial are both supportable. Were that the case, then
the fact that a proposition was not novel would provide some genu-
ine, even if minimal, decision-guiding force. But if, on the other
hand, Karl Llewellyn's famous "thrust and parry" is representative
of the legal domain generally,62 then it will typically be the case that
6 See, e.g. Dave Barry, Dave Barry Is Not Making This Up (1994). Like every other
citation in this Essay, this one has an oddly ironic and self-referential double aspect.
62Karl N. Llewellyn, Remarks on the Theory of Appellate Decision and the Rules
or Canons About How Statutes Are to Be Construed, 3 Vand. L. Rev. 395, 401-06
(1950). Llewellyn himself acknowledged that his skepticism about the outcome-

there is some citation to a case, rule, or principle available to sup-

port virtually any legal proposition. And if that is so, then the re-
quirement of "some" support will not be very much of a constraint.
Judges frequently use the expression, "It won't write," to refer to
situations in which there is no support or no argument for the re-
sult they would antecedently prefer to reach,63 but in a dense legal
system it is arguable that this predicament will be rare indeed. To
the extent that this conclusion is true, and thus to the extent that
there are few judicial opinions or law review articles that will not
write,' a requirement of some support will be of little consequence.
But although the requirement of support may not be very con-
straining, it is worth noting that this variety of citation is a species,
albeit a weak one, of genuine authority. The author of a brief or
opinion who uses support to deny genuine novelty is asking the
reader to take the supported proposition as being at least slightly
more plausible because it has been said before than had it not
been." And this is being done, typically, on the basis of the source's
existence and not the substantive reasoning contained in it. One
could well ask why the legal system is so concerned about the exis-
tence of one supporting "authority" even when the weight of au-
determining effect of formal legal rules (or canons) was limited to hard appellate
cases. Karl Llewellyn, The Bramble Bush: Some Lectures on Law and Its Study 54
(1930). And even with respect to hard appellate cases, the frequency with which mu-
tually exclusive legal propositions are each supportable by legitimate legal sources is
an empirical question to which Llewellyn's examples do not provide a conclusive an-
swer. Indeed, whether Llewellyn was actually right about the canons is not entirely
clear. See Michael Sinclair, "Only a Sith Thinks Like That": Llewellyn's "Dueling
Canons," One to Seven, 50 N.Y.L. Sch. L. Rev. 919, 919-20 (2006); Michael Sinclair,
"Only a Sith Thinks Like That": Llewellyn's "Dueling Canons," Eight to Twelve, 51
N.Y.L. Sch. L. Rev. 1003, 1004 (2007).
63See Patricia M. Wald, The Rhetoric of Results and the Results of Rhetoric:
Judi-
cial Writings, 62 U. Chi. L. Rev. 1371, 1375 (1995); see also Paul A. Freund, An
Analysis of Judicial Reasoning, in Law and Philosophy: A Symposium 282, 288 (Sid-
ney Hook ed., 1964); Patrick J. Schiltz, The Citation of Unpublished Opinions in the
Federal Courts of Appeals, 74 Fordham L. Rev. 23, 49 (2005).
64This is not to say that they should have been written.
65One can draw an analogy from the law of evidence to understand the practice of
citing sources. The standard for evidentiary relevance is that the evidence must have
"any tendency to make the existence of any fact that is of consequence to the deter-
mination of the action more probable or less probable than it would be without the
evidence." Fed. R. Evid. 401. Likewise, the practical standard for citing a source may
be that it simply makes a legal proposition more likely to be sound than if the source
did not exist, which is still compatible with it being more likely unsound than sound.

thority might go in the other direction, but that is for another time.
The point here is only that even this weaker and arguably more
common form of citation to authority is a variant on genuine au-
thority and consistent with the authoritative character of law itself.
III. MUST REAL AUTHORITY BE "BINDING"?

What emerges from the foregoing discussion is the conclusion
that authority can be at the same time both optional and genuinely
authoritative when it is selected for reasons other than its intrinsic
persuasiveness. And thus we see the very misleading nature of the
phrase "persuasive authority." But there is still more work to do,
because we must now attend to the widespread view that a manda-
tory authority is binding. This view, however, may also be mis-
taken, for it may be possible for an authority to be both mandatory
and non-binding, depending on what it is we mean by "binding."
It is a commonplace in the foreign law debate for commentators,
especially those sympathetic to the use of foreign or international
law by American courts, to distinguish between "binding" (or,
sometimes, "controlling") and "persuasive" (what we are now call-
ing "optional") authority. They insist that the use of foreign law by
American courts need not be perceived as threatening because its
use would fall within the latter and not the former category.' In
other words, it is said, foreign law need not be considered binding
or controlling in order for it to be valuable and citable.67 This con-
clusion may well be sound, but it is nevertheless important to clear
up the widespread confusion arising from a failure to specify care-
fully what is meant by "binding." For when we typically think of
some norm or constraint as binding, we think of it as inescapable,
as leaving no choice, and, most importantly, as being absolute or
non-overridable. When an authority is binding, therefore, the stan-
dard account is that the authority, especially if a precedent, must
be followed or distinguished.68 A binding authority is one that, un-
der this account, is determinative within its scope.
' See, e.g., Mark Tushnet, When Is Knowing Less Better than Knowing More? Un-
packing the Controversy over Supreme Court Reference to Non-U.S. Law, 90 Minn.
L. Rev. 1275, 1284-85 (2006).
67See, e.g., Jackson, supra note 1, at 116-20; Saunders, supra note 1, at 100-01.
6 See Rupert Cross & J.W. Harris, Precedent in English Law 4 (4th ed., 1991);
Grant Lamond, Do Precedents Create Rules?, 11 Legal Theory 1, 2 (2005); Stephen

There is no reason, however, why an authoritative prescription

need be understood as absolute or determinative. Just as rights,
rules, and obligations can serve as reasons for action or decision
even if they can be overridden at times by stronger rights, rules,
and obligations,69 sources can also function as authorities without
necessarily prevailing over all other sources, or even all other rea-
sons for a decision. What there is a reason to do is different from
what should be done, all things considered, just as what there is a
right to do is different from what the right-holder actually gets to
do, all things considered. Thus, my right to freedom of speech does
not evaporate even when I am permissibly restricted from speaking
because of a compelling state interest." And so too, my obligation
to keep my luncheon appointments and to teach my classes at the
designated times does not disappear even when it is overridden by,
say, my obligation to attend to ailing relatives.
With this account of what are sometimes called "prima facie"
rights and obligations in hand, we can see with little difficulty how
authorities can be authoritative without being conclusively authori-
tative. The existence of an authoritative reason is not inconsistent
with there being other outweighing authoritative reasons or out-
weighing reasons of other kinds. When a court rules that even the
crisp rules of an applicable statute must yield at times to the de-
mands of justice,71 it is saying that an undeniably applicable statute
is to be understood as prima facie but not absolutely outcome pro-
R. Perry, Judicial Obligation, Precedent and the Common Law, 7 Oxford J. Legal
Stud. 215, 215 (1987).
" See W.D. Ross, The Right and the Good 28 (1930); Alan Gewirth, Are There Any
Absolute Rights?, 31 Phil. Q. 1, 2 (1981); Robert Nozick, Moral Complications and
Moral Structures, 13 Nat. L. F. 1, 7 (1968); Frederick Schauer, A Comment on the
Structure of Rights, 27 Ga. L. Rev. 415, 415 (1993); John Searle, Prima Facie Obliga-
tions, in Practical Reasoning 81, 81-82 (Joseph Raz ed., 1978); Judith Jarvis Thomson,
Some Ruminations on Rights, 19 Ariz. L. Rev. 45, 50 (1977).
" The compelling interest formulation, more commonly associated with due process
and equal protection, see Roe v. Wade, 410 U.S. 113, 155 (1973); Korematsu v.
United States, 323 U.S. 214, 216 (1944), is not unheard of in the free speech context.
See, e.g., New York v. Ferber, 458 U.S. 747, 756-57 (1982).
71The most standard of the standard examples for this proposition is Riggs v.
Palmer,22 N.E. 188 (1889), in which the injustice of allowing Elmer Palmer to inherit
under a will as a result of his having murdered the testator was held sufficient to over-
ride the clearly contrary words of the New York Statute of Wills. Id. at 189-90. And
there are numerous other examples. See Richard H.S. Tur, Defeasibilism, 21 Oxford
J. Legal Stud. 355, 360 (2001).

ducing. In this sense, it is certainly true that most authorities are

not binding or controlling in an absolute way. And the suggestion
that treating some source as authoritative requires that the pre-
scriptions emanating from that source must be followed, come
what may, is simply not part of the concept of authority at all.
Yet although neither mandatory nor optional authorities need
be absolute in order to retain their authoritative status, it is impor-
tant to recall from the conclusion of the previous section that even
optional authorities can be genuinely authoritative. And this ex-
plains why those who object to the use of foreign law really do
have, from their perspective, something to worry about. Neither
the optional nor the non-conclusive aspect of using foreign law
prevents it from being taken seriously as an authority, which is ex-
actly what the objectors are concerned about.72 Similarly, when
courts issue no-precedential-effect rules for a class of cases,73 their
concern is not a worry that what the court has quickly and casually
said in some earlier opinion will be totally controlling in a subse-
quent case. Rather, the worry is that what a court may have said
entirely for the benefit of the parties and without careful (or any)
consideration of the implications for other cases will even be used
72
See Richard A. Posner, How Judges Think 348-49 (2008). In fact it is rare for an
American court to be asked to treat as authoritative the conclusions of a single for-
eign court. Far more common is the view that American courts should treat as non-
conclusively authoritative the collective judgments of the community of nations, or
the community of civilized nations, or the community of Western industrialized de-
mocracies, or some similar aggregation of other jurisdictions. See Waldron, supra
note 1, at 144-45. I suspect, however, that Justice Scalia and his allies believe that the
collective production of international opinion is essentially a questionable political
process of groupthink. It is therefore not, they would argue, a genuinely interactive
and self-correcting system in which, like Lord Mansfield's image of the common law
working itself pure, Omychund v. Barker, 26 Eng. Rep. 15, 23 (Ch. 1744), group opin-
ion is more reliable than individual opinion. See James Surowiecki, The Wisdom of
Crowds (2004).
" See supra notes 4-7 and accompanying text. The cases subject to such an order are
typically "publicly available, either electronically or in print." Amy E. Sloan, A Gov-
ernment of Laws and Not Men: Prohibiting Non-Precedential Opinions by Statute or
Procedural Rule, 79 Ind. L.J. 711, 711 n.2 (2004); see also Brian P. Brooks, Publishing
Unpublished Opinions, 5 Green Bag 2d 259, 259 (2002). Yet although most of the
controversy now is about the precedential effect of unpublished opinions, earlier the
issue was whether decisions with precedential effect should even be published. See
Shannon, supra note 5, at 655; see also William L. Reynolds & William M. Richman,
The Non-Precedential Precedent-Limited Publication and No-Citation Rules in the
United States Courts of Appeals, 78 Colum. L. Rev. 1167, 1167-68 (1978).

as a reason in subsequent cases.74 The court simply wants to deny

the authority,75 even if not the absolute authority, of its own casual,
rushed, or simply overly party-focused statements.76
Similarly, when the Middlebury College Department of History
prohibited its students from citing to Wikipedia, it was not (only)
worried that Middlebury students would take whatever is in
Wikipedia as absolute and unchallengeable gospel. That is a risk,
but we would hope that for Middlebury students it is a remote one.
What is less remote, however, is the possibility that Middlebury
students will consider Wikipedia entries to be authoritative-to be
serious sources of information-and this, even without the absolut-
ism, is what the faculty presumably wishes to guard against. In-
" There is an interesting analytic point here. A court that makes a rule in Case 1 is,
by virtue of the necessarily generalizing feature of all rules, making a rule that will
presumptively apply in Case 2, Case 3,..., Case n. So when a court considers in Case
1 whether some rule that will generate the correct result in Case 1 will also generate
the correct result in, say, Case 2, Case 3, and Case 4, it is open to the possibility that it
might be required to reach the wrong all-things-considered result in Case 1, the case
before it, in order to avoid providing reasons for future incorrect results in Cases 2, 3,
and 4. See M.P. Golding, Principled Decision-Making and the Supreme Court, 63
Colum. L. Rev. 35, 49 (1963); Kent Greenawalt, The Enduring Significance of Neutral
Principles, 78 Colum. L. Rev. 982, 1002-03 (1978). If a court wishes to avoid incorrect
results in the cases before it, therefore, one way of doing so is to try to ensure that
those results do not become reasons in other and future cases. See Frederick Schauer,
Do Cases Make Bad Law?, 73 U. Chi. L. Rev. 883, 900-01 (2006); Frederick Schauer,
Giving Reasons, 47 Stan. L. Rev. 633, 637 (1995).
75The Anastasoff issue seems to involve the distinct questions of precedent-stripping
and citation-prohibiting. See Michelman, supra note 5, at 562. Implicit in my argu-
ment here, however, is that the two may be more closely related than either the Anas-
tasoff court or most of the commentators have appreciated. Citation is not just a
pathway to precedent; it is the language the law uses to embody its precedential char-
acter. To prohibit the citation of decisions that may have precedential effect is to en-
dorse the existence of secret law, the unacceptability of which explains the impetus
for the new Rule 32.1 of the Federal Rules of Appellate Procedure. But a precedent-
stripping rule without a no-citation rule may be toothless, because even formally non-
precedential but still citable decisions may exert constraining and path-dependency-
creating effects on future decisions.
76Although the desire of a court both to say something and not to have that some-
thing stand as a precedent for future cases is mostly associated these days with the
controversies about no-citation rules and about so-called unpublished opinions, this is
essentially what the Supreme Court explicitly attempted to do in Bush v. Gore, 531
U.S. 98, 109 (2000). And it is noteworthy that in the eight years since that decision, it
has never been cited by the Court itself, although it has been cited 221 times in state
and lower federal courts.
" I should note that it is hardly clear that Middlebury in fact made the correct deci-
sion. Wikipedia is notoriously prone to errors, but it is also notoriously more reliable

deed, Middlebury's prohibition on Wikipedia is similar to the

strong warnings against citing Corpus Juris Secundum or American
Jurisprudencethat are, among other things, a staple of legal writing
instruction for first-year law students.
Thus, there is a shared worry of Justice Scalia and others with
respect to foreign law, of the Middlebury History Department with
respect to Wikipedia, of overworked appellate courts that dash off
brief opinions for the benefit of the parties, of a legal system that
frowns on citation to legal encyclopedias, and indeed of a Supreme
Court that warns about the uniqueness of Bush v. Gore, that will
not treat its denials of certiorari as authoritative,78 and that in every
one of its decisions warns against taking the syllabus as authority. 9
And this is the worry that to recognize something as authority,
even optional and non-conclusive authority, is to take it seriously
as a source and thus to treat its guidance and information as wor-
thy of respect. That a legal system premised to its core on the very
notion of authority would worry about what it is treating as au-
thoritative should come as little surprise.
IV. How Do AUTHORITIES BECOME AUTHORITATIVE?

Although I have drawn a seemingly sharp distinction between
mandatory and optional authorities, the reality is more complex,
and it is a reality that likely further fuels the worries of Justice
Scalia, the Middlebury history department, the circuit judges
guarding the purity of no-citation rules, and many others. For in
reality, the status of a source as an authority is the product of an in-
formal, evolving, and scalar process by which some sources become
on many topics than not only the person who is consulting Wikipedia in the first place
but also many other sources. If the Supreme Court of the United States in Bush v.
Gore, 531 U.S. at 103, can rely on articles in the Omaha World-Herald for empirical
propositions on electoral behavior (on which, see the very amusing footnote in Fre-
derick Schauer, The Dilemma of Ignorance: PGA Tour, Inc. v. Casey Martin, 2001
Sup. Ct. Rev. 267, 287 n.62 (2002)), then it is not apparent to me that Wikipedia
should be relegated to a lower category of authoritativeness. A court (or student) cit-
ing to an authority as an authority is acknowledging the comparative advantage of the
authority over the author, and maybe even the comparative advantage of the author-
ity over (some) other authorities. And it may well be true that Wikipedia in fact has at
least one of these advantages for many topics.
78
Teague v. Lane, 489 U.S. 288, 296 (1989).
"The boilerplate citation is to United States v. Detroit Timber & Lumber Co., 200
U.S. 321, 337 (1906).

progressively more and more authoritative as they are increasingly

used and accepted. It was formerly the practice in English courts,
for example, to treat as impermissible the citation in an argument
or judicial opinion to a secondary source written by a still-living au-
thor. If the author of a treatise or (rarely) an article were dead,
then citation was permissible, but not otherwise. The reasons for
this practice remain somewhat obscure, but that is not important
here. What is important is the fact that the prohibition gradually
withered, a withering that commenced more or less when the
House of Lords in 1945 cited to a work by the then-living Arthur
Goodhart. ° Once the first citation to a living secondary author ap-
peared, subsequent courts became slightly less hesitant to do the
same thing, and over time the practice became somewhat more ac-
ceptable.
There is nothing unusual about this example. Although H.L.A.
Hart made famous the idea of a rule of recognition," it is rare that
formal rules determine what is to be recognized as law or as a le-
gitimate citation in a legal brief, argument, or opinion. Rather, as
Brian Simpson has insightfully described,82 the recognition and
non-recognition of law and legal sources is better understood as a
practice in the Wittgensteinian sense: a practice in which lawyers,
judges, commentators, and other legal actors gradually and in dif-
fuse fashion determine what will count as a legitimate source-and
thus what will count as law. Justice Scalia, the Middlebury history
department, and the guardians of no-citation rules thus have some
genuine basis for worrying that legitimizing the use of this or that
source will set in motion a considerably more expansive process.
Indeed, a legal citation has an important double aspect. A citation
to a particular source is not only a statement by the citer that this is
a good source but also a statement that sources of this type are le-
gitimate. Citation practice is a practice, and thus an institution, and
o See Frederick Schauer & Virginia J. Wise, Legal Positivism As Legal Information,
82 Cornell L. Rev. 1080, 1088-89 (1997).
8,H.L.A. Hart, The Concept of Law 94 (Penelope A. Bulloch & Joseph Raz eds., 2d
ed. 1994).
82Brian Simpson, The Common Law and Legal Theory, in Legal Theory and Com-
mon Law 8, 18-21 (William Twining ed., 1986); see also Benjamin C. Zipursky, The
Model of Social Facts, in Hart's Postscript: Essays on the Postscript to The Concept of
Law 219, 228-29 (Jules Coleman ed., 2001).

consequently every citation to a particular source legitimizes the
institution of using sources of that type.83
What is especially intriguing is the transformation of authorita-
tiveness. How does it come to be that optional or even prohibited
authorities over time turn into mandatory ones? Although the
Tenth Circuit would be doing nothing wrong by failing to cite to
the Second Circuit in a securities case, the failure to cite to the
most prominent court on securities matters would likely raise some
eyebrows. And the higher the eyebrows are raised, the more that
what is in some sense optional is in another sense mandatory.' The
more there is an expectation of reliance on a certain kind of au-
thority, the more an authority passes the threshold from optional
to mandatory. For example, it is virtually impossible to argue or
decide an evidence case in the Massachusetts Supreme Judicial
Court without making reference to Liacos's Handbook of Massa-
chusetts Evidence or its successor.85 Likewise, it was formerly diffi-
cult to argue a Charter of Rights and Freedoms case in the Su-
preme Court of Canada without nodding to American Supreme
Court decisions.' Jurisdictional boundaries are generally reliable
markers of which authorities are optional and which are manda-
tory, but just as there are questionable within-jurisdiction authori-
ties,8'7 so too can there be non-questionable out-of-jurisdiction au-
83Plainly instructive on this point is John Rawls, Two Concepts of Rules, 64 Phil.
Rev. 3, 19 (1955) (arguing that decisions have an institution-creating aspect along with
their decisionmaking one).
There is an obvious connection here with the academic legal writing that has fo-
cused on the identity of the legal canon and on the ways in which the canon shifts. See
J.M. Balkin & Sanford Levinson, Legal Canons: An Introduction, in Legal Canons 3
(J.M. Balkin & Sanford Levinson eds., 2000).
81Paul J. Liacos, Mark S. Brodin & Michael Avery, Handbook of Massachusetts
Evidence (7th ed. 1999); Mark S. Brodin & Michael Avery, Handbook of Massachu-
setts Evidence (8th ed. 2007). Given that the book, in all of its editions, has been cited
more than a thousand times by the Massachusetts Supreme Judicial Court and the
Massachusetts Appeals Court, it would take a brave (or foolhardy) lawyer to argue a
point of evidence before one of those courts without dealing with what Liacos had to
say on the issue. To say that the source is not a binding (although, to repeat, not abso-
lutely binding) authority seems therefore to be quite an oversimplification.
' See Sarah K. Harding, Comparative Reasoning and Judicial Review, 28 Yale J.
Int'l L. 409, 414-15 (2003) (noting that early Charter of Rights and Freedoms cases
frequently cited United States Supreme Court decisions).
87Perhaps the Ninth Amendment is a good example, although less so now than in
the past. See John Hart Ely, Democracy and Distrust: A Theory of Judicial Review 34
(1980) ("In sophisticated legal circles mentioning the Ninth Amendment is a surefire

thorities. And it is likely that a further fear of Justice Scalia and

others about the citation of foreign and international law is that at
some point these out-of-jurisdiction sources will become not only
legitimate sources but also mandatory ones.
Thus, for Justice Scalia (and others) with reference to foreign
and international law, for legal writing instructors counseling first-
year law students about which authorities are permissible citations
and which are not, and for appellate courts wrestling with no-
citation rules, the question is nothing less than what to count as
law. When Justice Breyer, in Parents Involved in Community
Schools v. Seattle School District No. 1, provides two pages of
sources, mostly historical and administrative, and mostly not to be
found in the briefs or the record below,' his citation practice not
only speaks volumes about what for him counts as law and what it
is for him to do law, but also, and perhaps more importantly, his ci-
tations serve an authoritative (although less so because he was in
dissent) function in telling lawyers and judges what they can use to
make legal arguments and thus in telling lawyers and judges what
law is.89 For Justice Scalia, Judge Posner, and others, the debate
about foreign law is not a debate about citation. Instead, it is a de-
bate about the rule of recognition or the grundnorm, to use Kel-
sen's term for a similar but not identical idea.' What Justice Scalia
fears is precisely that the political and legal decisions of another
nation, the world community, or the creators of international law
will have actual influence and effect-as authority in the strong
sense-on American law. What Justice Scalia and Judge Posner
fear may to some of us appear to be more opportunity than threat,
way to get a laugh. ('What are you planning to rely on to support that argument, Les-
ter, the Ninth Amendment?')"); Thomas B. McAffee, A Critical Guide to the Ninth
Amendment, 69 Temp. L. Rev. 61, 63 (1996). And perhaps so too is the constitutional
guarantee of a "republican form of government." U.S. Const. art. IV, § 4, cl. 1. Thus,
Bruce Ackerman notes, correctly, that just as Brown v. Board of Education, 347 U.S.
483 (1954), has become quasi-textual as an authority (this is my phrasing and not his),
so too has the explicitly textual guarantee of a republican form of government be-
come, in essence, non-authoritative. Bruce Ackerman, 2006 Oliver Wendell Holmes
Lectures: The Living Constitution, 120 Harv. L. Rev. 1737, 1752 (2007).
127 S. Ct. 2738, 2840-42 app. b (Breyer, J., dissenting).
And thus the debate at Middlebury College and elsewhere about Wikipedia is
analogously not about citation or footnoting but is about what it is to do history, and
thus about what history as a practice is.
9 Hans Kelsen, Pure Theory of Law 3-4 (Max Knight trans., 2004).

but it seems a mistake to believe that from their lights they have
nothing to worry about.
V. CONCLUSION: THE BOUNDARIES OF LAW

A large part of my goal here is to connect the seemingly trivial
idea of citation to far less trivial questions about authority, a con-
nection which then leads to rather more profound questions about
what is a source of law and what is law itself. If law is an authorita-
tive practice, then a great deal turns on what the authorities are.
Why the Supreme Court and the Congress of the United States but
not the President and Fellows of Harvard College or the editorial
board of the New York Times? Why the Federal Trade Commis-
sion but not the board of directors of Wal-Mart? Why Loss and
Seligman but not Marx and Engels? Why the HarvardLaw Review
but not the Village Voice? Why the writings of Thomas Jefferson
but not of Jefferson Davis?
It is interesting that none of the rhetorical questions in the pre-
vious paragraph are strictly rhetorical. At least in American courts,
citation practice is now undergoing rapid change, and we have seen
a great increase not only in citations to non-American sources, but
also to sources that not so many years ago would have been sneer-
ingly dismissed as "non-legal."91 This change in citation practice re-
flects something deeper: a change in what counts as a legal argu-
ment. And what counts as a legal argument-as opposed to a
moral, religious, economic, or political one-is the principal com-
ponent in determining just what law is. To be clear, the claim I
make here is not that citation practice or the selection of legal au-
thorities is a marker or indicator of what law is. This is not (only) a
"miner's canary" claim. Rather, the claim is that what counts as a
good legal authority is the determinant and not just the indicator of
what law is. Both the language and the decisionmaking modalities
of law place weight on the preexisting.' Citation is thus law's way
of justifying its conclusions in law's characteristically incremental
and partially backward-looking way. It may turn out, therefore,
",See Frederick Schauer & Virginia J. Wise, Nonlegal Information and the Dele-
galization of Law, 29 J. Legal Stud. 495, 497 (2000).
9 See Richard A. Wasserstrom, The Judicial Decision: Toward a Theory of Legal
Justification 28-29 (1961).

that far greater attention to disputes about citation and the nature
of permissible legal authorities will yield greater insight not only
into how law operates, but also into just what law is.


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Citation: 94 Va. L. Rev. 1931 2008

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AUTHORITY AND AUTHORITIES

* David and Mary Harrison Distinguished Professor of Law, University of Virginia.

HeinOnline -- 94 Va. L. Rev. 1931 2008

HeinOnline -- 94 Va. L. Rev. 1932 2008

one focused significantly on whether it was desirable or permissible

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bated the relevance of Middlebury's decision to the question of

'See, e.g., Posting of Mary L. Dudziak to Legal History Blog,

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tive content of a reason, but instead on its source. What matters is

HeinOnline -- 94 Va. L. Rev. 1936 2008

authority as content-independent precisely because it is the source

HeinOnline -- 94 Va. L. Rev. 1937 2008

just as long been defended. Socrates refused to escape from Athens

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For my purposes here, the ultimate rationality (or not) of au-

26Even if deference to authority is irrational from the perspective of the subject,

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II. Is "PERSUASIVE AUTHORITY" AN OXYMORON?

With the basic concept of authority as necessary background, we

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is certainly no binding obligation for any court to follow a decision

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The distinction is the same in law.33 It is one thing to conclude

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Taking so-called persuasive authority as authoritative rather

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distinction between the two hinges on whether the decisionmaker

See Ronald Dworkin, Taking Rights Seriously 23-28 (1977).

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Wigmore on Evidence, the HarvardLaw Review, the High Court of

"Indeed, it may be that in legal decisionmaking generally the distinction between

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ments as by (the decisionmaker's inexpert evaluation of5 8) the ex-

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than another. Nevertheless, the conventions of legal citation do not

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there is some citation to a case, rule, or principle available to sup-

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III. MUST REAL AUTHORITY BE "BINDING"?

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There is no reason, however, why an authoritative prescription

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ducing. In this sense, it is certainly true that most authorities are

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as a reason in subsequent cases.74 The court simply wants to deny

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deed, Middlebury's prohibition on Wikipedia is similar to the

IV. How Do AUTHORITIES BECOME AUTHORITATIVE?

HeinOnline -- 94 Va. L. Rev. 1956 2008