Legal silences

In law, there are different silences.

When lawmakers set out to establish legal standards, they inevitably don’t address every contingency. There are spaces for flexibility, for breadth of application, for unforeseen developments, for the careful discretion required for sound law enforcement. There are always gaps.

Yet the gaps raise serious questions. Foremost among these is the problem of delegated lawmaking power. The United States Constitution vests the legislative power in a bicameral congress. Exclusively. Yet gaps, though inevitable and sometimes desirable, can result in leaks of this exclusive authority to non-legislative actors–police, prosecutors, juries, regulators, etc.

Take a classic example, when the National Industrial Recovery Act of 1933 gave the President authority to make”codes of fair competition” for slaughterhouses and other industries. That was more than a gap–that was a gulf. It’s one of only two laws that the U.S. Supreme Court has ever invalidated as an unconstitutional delegation of lawmaking authority to a non-legislative actor.

But at what point does a crack become a crevasse? During Justice Neil Gorsuch’s confirmation hearing, Senator Al Franken mocked the notion that any line should be drawn at all: “When Congress passes laws that require agencies to implement them, … those agencies turn to experts to develop those policies …. And I think that is a good thing. We want experts doing the work. What we Senators do not want to be doing is deciding … what the distance in the slats are in a baby’s crib.”

As with most statements made by politicians in confirmation hearings (or most anywhere else), Franken tilts at a straw man. But his example helps to highlight different types of legislative silence. On one hand, Franken is of course correct–a legislature needn’t and probably shouldn’t become entangled in minutiae.

But Franken fails to see that there are different kinds of silence. On the one hand, permissible gaps to be filled in by agencies and law enforcers involve conditional lawmaking where a certain legal requirement hinges on delegated fact-finding responsibilities. I’m a bit skeptical that we want Congress legislating safety standards for baby cribs, but let’s run with Franken’s example anyway. Congress might pass a law that requires crib manufacturers to ensure that crib slats do not pose a serious safety risk to occupants. It can leave an agency to determine the exact distance between crib slats requisite for child safety because the agency is making a factual determination (again, I’m not sure we need or want regulators doing this but bear with me). We’ll call this crib-slat silence.

Crib-slat silence is not an unlawful delegation of lawmaking authority. It simply commits to federal agencies the fact-finding responsibilities already inherent in the executive branch’s duty to “take care that the laws be faithfully executed.”

Crib-slat silence is different in kind from an unlawful delegation of lawmaking power. An agency is doing something quite different when it sets a safety standard for crib slats than when it establishes “codes of fair competition.” It isn’t simply a difference in the size of the silence; it’s a silence of a different kind altogether. Take, for instance, how President Roosevelt put together “codes of fair competition” under the broad power given him by the National Industrial Recovery Act. He let New York poultry butchers do it for him. Anyone with a basic understanding of public choice theory can appreciate how a business allowed to write the law that governs its competitors might go about this task.

To no one’s surprise, the codes of fair competition made life harder for minority business owners, in particular kosher butchers. Specifically, the code prohibited butchers from letting customers select the specific chicken they wanted–a part of at least some kosher practices in New York at the that time. The Schechters brothers, who ran a kosher butcher shop, were criminally indicted for letting a customer select an “unfit” chicken, among other things. The Supreme Court held this to be an unlawful delegation of lawmaking authority because the National Industrial Recovery Act didn’t just make application of a particular law contingent on executive fact-finding–it delegated the policy choices inherent in the legislative power. This type of silence we’ll call Schechter silence.

Schechter silence and crib-slat silence aren’t just different in terms of the relative size of the gap. Take, for instance, an example of a smaller instance of Schechter silence, where the silence is not quite so huge as “codes of fair competition,” but still has the essential quality of letting the agency make policy choices rather than find facts. The Environmental Protection Agency and the Army Corps of Engineers share regulatory responsibility over the Clean Water Act. The Army Corps has statutory authority to issue permits for polluting protected water bodies, and the EPA has statutory authority to veto those permits, even after they’ve been issued, if the EPA decides that the permitted activity will have an “unacceptable adverse effect” on the environment. The statute hasn’t delegated the authority to create a regulatory code from whole cloth, but it has delegated authority to make normative judgment calls, not just executive fact-finding. Determining whether a certain adverse effect is “unacceptable” is unavoidably subjective and calls for much more than establishing the existence of certain objective facts. “Unacceptable” involves the weighing of various competing interests–economic, environmental, etc.–and making a judgment, not based on facts, but on agency policy preferences. Note also, that the EPA can decline to veto the permit even if it does find an adverse effect to be unacceptable. Hence, while the EPA’s veto authority isn’t especially sweeping in its effect, it still is an exercise of legislative power.

On the other hand, crib-slat silence can authorize executive acts of great national significance, like tariff rates. In 1928, an importer challenged the president’s statutory authority to set tariffs as a delegation of legislative power. But the statute at issue required the president to set such rates based on a variety of factual determinations–not on what the president considered appropriate in his own judgment.

There’s yet a third silence. Rather than interstitial gaps in statutory language, this thrid silence is the vacuum where Congress has chosen not to speak at all. Sometimes, courts and agencies have mistaken this silence for crib-slat silence. That mistake can be a serious problem for the structure of sound government.

One example is the Department of Labor’s regulation of “tip pooling.” The Fair Labor Standards Act establishes federal minimum wage law. The law allows businesses to set their wages below the default minimum if the businesses use a “tip credit”–the deficit between the wage and the legal minimum is filled in with the employee’s tip money.  If a business elects to use the tip credit, that business is prohibited from divvying up tip money among staff–you earn it, you keep it.

But the statute says nothing about prohibitions on tip-pooling for businesses that don’t take a tip credit. The Department of Labor didn’t like tip pooling, so it decided that the statute’s silence about tip pooling for non-tip-credit businesses was a delegation to the agency to do as it pleased. The Department of Labor promulgated a rule that extended the tip-pooling rule to all businesses, whether or not they took a tip credit. Incredibly, a federal court of appeals for the Ninth Circuit said this rule was just fine.

The silence extending outward from the edges of a statute are bookends, not blank pages.  Hence, I’ll call this third silence bookend silence. The idea that an agency can simply promulgate rules to fill up this endless silence destroys our system of separated powers. After all, the clear implication of allowing the Department of Labor to fill in that silence is that the executive branch of government has a boundless and inherent law-making authority that can only be circumscribed if Congress expressly tells the executive branch “no.” This is essentially a reversal of the first two articles of the Constitution, vesting the Executive with lawmaking authority and Congress with what amounts to no more than a glorified veto. Yet this is precisely what the largest appellate court in the country allows.

There’s no doubt, of course, that the Executive does have some inherent authority to act without legislative imprimatur, in areas like foreign affairs. But those are expressly granted powers, or they’re necessarily implied. For instance, the duty to take care that the laws are faithfully executed necessarily implies the ability to hire staff, promulgate regulations for managing staff , law enforcement practices, etc. This is all quite different than filling in bookend silence, a free-floating power to extend statutory prohibitions beyond the express scope laid out by Congress, simply on the basis that Congress hadn’t said “here and no farther.”

In law as in life, silence can be a virtue. But federal agencies can turn it into a vice. That depends on the kind of silence we’re talking about. Conflation of crib-slat silence and Schechter silence or bookend silence has resulted in a flaccid judicial response to delegations of lawmaking authority. It would help if courts acknowledged distinctions between the types of silence statutes exhibit.

Nightcap

  1. What kind of war was the Second World War? Nick Nielsen, The View from Oregon
  2. The politics of colonial reparations (Tunisia) Al-Jazeera
  3. The UK’s economy is heading for disaster Chris Dillow, Stumbling & Mumbling
  4. How social skills improve group performance Deming & Weidmann, NBER

The importance of biography

There is a now-out-of-print children’s book series entitled “Childhood of Famous Americans,” published as a subdivision of the Landmark Books series between 1950 and 1970. When I was between the ages of six and ten, I was fortunate to be able to read almost all of the books, which were, unsurprisingly, the biographies of prominent Americans written for children. Even when I was little, the books were fairly ancient: the most recent subjects they covered were Eleanor and Franklin D. Roosevelt and Albert Einstein. Despite, or even because of, their relative antiquity, these books had a major impact on my own trajectory.

This is not to say that they weren’t flawed since they were. Often they were riddled with historical inaccuracies, the quality of writing varied wildly from author to author, and the content could be outright offensive in regards to religion and races. The overall series, however, did a very good job of including biographies of Americans from minority groups, but, depending on the subject, author, and time period, the portrayals of other races could be quite insensitive.

The books all followed the Joseph Campbell theory of story to a T, with the result that they were very good stories. A critic might argue that these biographies lionized or apotheosized individuals in an unrealistic way. While such an accusation would be true, the series was titled “Famous Americans,” not “average Joe Americans.” The important trait of these books though was that they all shared a common theme: stature was a choice and one that was made in childhood or adolescence.

Using Campbell-ian terms, the moment of awakening was almost invariably an episode where the subject realized that the people surrounding him or her were stupid, fearful, and conventional – Mark Twain being expelled from multiple schools, Abraham Lincoln denied an education by his illiterate father (as I said, not all of the stories were tremendously accurate), Henry Clay fighting for his inheritance rights against his extended family, Jim Thorpe struggling against racial and social prejudice throughout his sporting career.

On a side note, there was a remarkable absence of American fine arts figures in the series. Mark Twain was one of a handful of writers that included Edgar Allan Poe and Louisa May Alcott; I don’t recall that some of the more sophisticated writers, such as Washington Irving, Henry James, or Edith Wharton, received the honor. One could say that the absence of fine artists was countered by an equal absence of career military men. Dwight D. Eisenhower had a biography, as did George Armstrong Custer (his was most uncomplimentary). Robert E. Lee and Ulysses S. Grant both received a book. I’m sure that there’s room for analysis of a vision of civil society expressed in who the series’ editors decided to cover.

The “Childhood of Famous Americans” series only rarely had a specific antagonist. Some combination of self-satisfied parents, authority figures attached to a status quo, and parochial small-mindedness served as the villains. The subject’s daily obstacles were educational and cultural mediocrity, societal complacency, intellectually inferior peers, and timorous and incapable mentors, who by extension weren’t very good at their job.

Fundamentally, the goal of the series was to create role models for young readers. The model proposed was complete rejection of (and a little healthy contempt for) existing systems. The unifying theme among all the people selected was the tradition of “rugged individualism” and the idea that progress was due to the action of individuals, not that of their communities (recall, the village inhabitants were invariably shown as small-minded, poor spirited morons).

Carl J. Schramm argued in his 2006 book The Entrepreneurial Imperative that the “rugged individual” ethos was an American casualty of post-World War II society. Americans turned more toward the concept of the “workforce,” with its communal overtones, and away from individual achievement and success. The peak of statist, stagnant communitarianism came in the 1970s, the decade in which the “Childhood of Famous Americans” also ceased publication.

Both biography and entrepreneurial spirit speak of a path to personal greatness, a way for individuals to emancipate themselves from their origins if they have sufficient will. The loss of biography and an entrepreneurial ethos indicate an impoverishment in role models. Without role models of individualistic thought or practice, most people lack the originality to conceive of ways of life beyond their current existence. Discontent and feelings of betrayal by “the system,” society, or the status quo are the ultimate result.

Today, we are confronted by the implosion of the post-WWII status quo. To further complicate matters, the majority of the adult population lacks a blueprint for either challenging what remains of the status quo, or for forging a new path. Without the proper role models of individuality, shown in biography, such people are in thrall to the false promise of communitarianism.

Nightcap

  1. Sexuality and the law in the Ottoman Empire Shireen Hamza, JHIblog
  2. Was World War II the last colonial war? Branko Milanovic, globalinequality
  3. Seattle’s hard-Left secessionist movement has claimed its first territory Christopher Rufo, City Journal
  4. The Israeli political crisis: ideology or ethnicity? Ori Yehudai, Origins

Nightcap

  1. 1979 and the rise of “Global Jihad” James Barnett, American Interest
  2. Why is Sweden such an outlier? Benjamin Davies, Times Literary Supplement
  3. A sign of things to come? (Taiwan) Nick Aspinwall, the Diplomat
  4. Taking a piss on libertarianism’s grave Henry Farrell, Crooked Timber

Nightcap

  1. Essential essay on Sino-American relations since Nixon Orville Schell, The Wire China
  2. Does capitalist democracy have a problem with public health? Blake Smith, Age of Revolutions
  3. Is birthright citizenship the foundation of American democracy? Nathan Perl-Rosenthal, Nation
  4. Nobody tell Joakim about this (our bookless future) Mark Bauerlein, Claremont Review of Books

Nightcap

  1. What Social Distancing reveals about East-West differences Jen & Wang, Scientific American
  2. Welcome back to Kissinger’s world Michael Hirsh, Foreign Policy
  3. Trump’s relationship with Europe goes from bad to… David Herszenhorn, Politico
  4. The debate around COVID-19 is starting to sound familiar Addison del Mastro, American Conservative

Be Our Guest: “Providing healthcare isn’t practicing medicine”

Jack Curtis has a new Guest Post up. An excerpt:

It was expected that doctors would have some charity patients from those less well off. You also expected that he would do everything possible for your care because that reputation was the reason you wouldn’t call someone else next time. That was reinforced by the priceless value set on human life by the prevailing Judeo-Christian ethos. No, this is not fiction; such was medical practice in Los Angeles in my youth. A simplification certainly, but it conveys the essential: Human ills and injuries were serviced by medical doctors whose state licensing and professional organizations approximated medieval guilds.

Please, read the rest.

On a different note, Jack’s excellent thoughts will be the last installment of NOL‘s experimental “Be Our Guest” feature. I just couldn’t find the time to get a decent turnaround. If you still want to have your say, and nowhere to say it, jump on in the ‘comments’ threads.

Nightcap

  1. Erdoğan and Turkey’s missing 30 million Selim Koru, War on the Rocks
  2. The rise of extreme politics in a federation Daniele, Piolatto, & Sas, VoxEU
  3. China hasn’t lost Europe just yet Michito Tsuruoka, Diplomat
  4. What is “God” even supposed to mean? Ed Simon, LARB

Nightcap

  1. Breaking the industrial bank taboo Diego Zuluaga, Alt-M
  2. Racism as emergence Chris Dillow, Stumbling & Mumbling
  3. Neo-feudalism in California Joel Kotkin, American Affairs
  4. Neo-feudalism: the end of capitalism? Jodi Dean, LARB

Liability Rules!

“The union representing Buffalo police officers told its rank and file
members Friday that the union would no longer pay for legal fees to
defend police officers related to the protests…”

From Buffalo News.

This could be excellent news (at least in Buffalo). The threat of lawsuits means police will either be on their best behavior or won’t show up to work.

Nightcap

  1. Greco-Roman civilisation has dominated ancient history for too long Philip Womack, Spectator
  2. The reaction against the End of History Nick Nielsen, Grand Strategy Annex
  3. Hayek at the hospital; the Use of Knowledge in hospital discharge decisions Irfan Khawaja, Policy of Truth
  4. Don’t mistake the immediate for the important Michael Koplow, Ottomans & Zionists

Nightcap

  1. More on Alberto Alesina’s contributions to economics Alberto Bisen, ProMarket
  2. Khawaja on Cowen on nursing homes Irfan Khawaja, Policy of Truth
  3. How does Black Lives Matter translate? Olga Korelina, Meduza
  4. The politics of disorder Kieran Healy, Crooked Timber

Hayek, International Organization and Covid-19

Just to inform all NOL-readers out there, if you like the subject, please register and join the IEA webinar I’ll give next wednesday, 13.00 hours, London time.

Institute of Economic Affairs > Events
Time:
10/06/2020
13:00 – 14:00

Although it was never the subject of a book, Friedrich Hayek wrote a lot about international relations during his long career and had rather firm views on international order and how it could be achieved. In this webinar, these Hayekian views are presented in the context of the current COVID-crisis. What was Hayek’s opinion about the existence and the role of international governmental organizations, such as the World Health Organization?

Dr. Edwin van de Haar (www.edwinvandehaar.com) is an independent scholar who specializes in the liberal tradition in international political theory. He has been a (visiting) lecturer at Brown University, Leiden University and Ateneo de Manila University. Van de Haar is the author of Classical Liberalism and International Relations Theory. Hume, Smith, Mises and Hayek (2009), Beloved Yet Unknown. The Political Philosophy of Liberalism (2011, in Dutch) and Degrees of Freedom. Liberal Political Philosophy and Ideology (2015). Among others, he contributed to The Oxford Handbook of Adam Smith (2013) and a forthcoming book on The Liberal International Theory Tradition in Europe, while his articles on liberal ideas and liberal thinkers appeared among others in Review of International Studies, International Relations, International Politics, Independent Review and Economic Affairs.

Van de Haar got his PhD in International Politcial Theory from Maastricht Universit in 2008, and holds master degrees in international relations (London School of Economics and Political Science) and in political science (Leiden University).

Please visit: https://iea.org.uk/events/hayek-international-organization-and-covid-19/

Nightcap

  1. From Baghdad to Shanghai: rival Jewish dynasties Stefan Wagstyl, Financial Times
  2. Praise for Gary Becker’s work on the American family Kathleen Geier, Washington Monthly
  3. Crisis in the liberal city Ross Douthat, New York Times
  4. On nuclear propelled spaceships and Freeman Dyson Jeremy Bernstein, Inference