TY - JOUR AU - Slocum, Brian G. AB - Abstract Undoubtedly, the most fundamental axiom of legal interpretation is that words in texts should receive their ‘ordinary meaning’. Notwithstanding its talismanic invocation by the judiciary, the ordinary meaning concept has been poorly developed by courts. In particular, courts rely on a meaning postulate approach where they define words without regard to critical sentential (i.e. sentence level) context. The reality, though, is that meaning is distributed in nature. By ignoring semantic regularities, courts risk determining the ‘possible’ meaning of text rather than its ordinary meaning. Particularly in the area of statutory interpretation, such an approach contravenes many of the judiciary’s other interpretive tools, which consistently favor stability, though narrow interpretations, over change. This article examines a paradigmatic set of Supreme Court cases that illustrate the judiciary’s unsystematic approach to ordinary meaning determinations and advocates an interdisciplinary approach to ordinary meaning that incorporates developing cognitive science and linguistic insights. Specifically, this article argues that courts should consider the generative lexicon (GL) theory of lexical semantics when attempting to define the ordinary meaning of text. GL focuses on capturing valid generalizations about words, and its generative mechanisms seek to produce interpretations that reflect words’ combinatorial properties. Instead of the judiciary’s current ad hoc approach, GL should be used to generate default ordinary meaning interpretations that would be subject to shaping by the judiciary’s other interpretive tools. By adopting GL, and thereby taking seriously cognitive science and linguistic advances, courts would be embracing a true ‘linguistic turn’ in legal interpretation. 1. Introduction The concept that words and phrases are to be given their ‘ordinary meaning’ is considered to be so foundational by courts that it is applied when interpreting virtually every type of legal text.1 With respect to the interpretation of statutes, the focus of this article, the determination of ordinary meaning, as prototypically the first step in the interpretive process, is crucial to the ultimate interpretation chosen by a court.2 The ordinary meaning of the language typically supplies the foundation for the application of the judiciary’s other interpretive tools, as well as the boundaries of interpretive acceptability. Notwithstanding its centrality to legal interpretation, and the purely linguistic nature of it, the ordinary meaning concept has not been developed and systematized by the judiciary. The concept is based on the axiom that legislative expressions should be interpreted according to accepted standards of communication.3 Courts generally do not, however, have good answers to the question of what makes a given meaning the ordinary one, as opposed to an inappropriately broad or narrow or technical meaning.4 In fact, the sources courts consider in determining ordinary meaning often favor inappropriately broad meanings because they capture ‘possible’ rather than ‘ordinary’ meanings, which, due to the creativity of language, may result in unlimited potential meanings. The flaw in the judiciary’s methodology is that by endemically ignoring the semantic contribution of all the lexical items in a sentence, insufficient weight is given to crucial sentential context in determining the semantics of individual words. The judicial determination of ordinary meaning follows a predictable, and problematic, process. Courts typically determine the ordinary meaning of a word by consulting a dictionary definition5 or often by just relying on ‘common sense’ or personal judgments about usage.6 Little needs to be said about the subjective nature of commonsense-based judicial assertions of meaning, and the flawed nature of dictionary usage by the judiciary is well known. Even under the best of circumstances, the use of dictionaries warrants caution.7 A dictionary definition is, after all, just a meaning postulate.8 It offers a way of showing the meaning of a word or expression by means of some other words which ‘say the same thing’, raising the problem of circularity.9 Furthermore, most words are polysemous, having multiple distinct but related senses.10 Due to the polysemous nature of words, the numerosity of available definitions allows judges to engage in ‘dictionary shopping’ in order to find a desired definition.11 Typically, these definitions are chosen without systematic regard to context.12 Although semanticists disagree about many fundamental issues, there is widespread agreement that lexical items carry many dimensions of meaning and that a particular interpretation is brought about in a given context.13 To be sure, courts purport to follow a contextual approach when defining words. The context considered by courts, though, is typically broader than, and does not include, sentential context. Usually, as reflected by the in pari materia canon, courts consider the relevant context to be how the provision fits into the statutory scheme as a whole.14 Courts may also choose meanings based on the ‘purpose or object to accomplish’ of the relevant statute or information gleaned from the statute’s legislative history.15 One might, correctly, characterize these contextual considerations as underscoring courts’ ad hoc textual interpretations with debatable, and often fictional, assertions about statutory purpose, congressional intent, and uniformity with other statutes.16 However courts’ contextual considerations are framed, the judiciary frequently fails to realize that words are polysemous and that the sentential context of a word form may influence its semantic contribution to the sentence.17 Thus, any systematicity in the judiciary’s methodological approach is based on a failure to understand the compositional nature of language (i.e. the way words combine to form meanings).18 Making matters worse, the judiciary’s ad hoc approach to ordinary meaning determinations fails to take advantage of developing cognitive science and linguistic knowledge, even though texts, in comparison to oral communication, bring a greater capacity for precision and scientific objectivity.19 For example, cognitive scientists have shown that the ellipsis (i.e. omission) of words is common, and cognitively unsurprising, in certain situations, such as when the ellipsed information is commonly associated with the related noun.20 These cognitive science findings should have implications for ordinary meaning interpretations because they illustrate the error inherent in adopting a broad dictionary definition without regard to sentential context such as ellipsis, which may indicate that a narrower interpretation should be viewed as the ordinary one. Because of the deficiencies in its current approach to ordinary meaning, the judiciary is plainly in need of a theoretical framework that can account for the polysemous nature of words and the distributed nature of meaning and that will encode selectional knowledge (i.e. which co-occurrences of words or meanings of words are semantically well formed). As the most advanced approach among the formal componential theories of semantics, the generative lexicon (GL) theory of lexical semantics developed by James Pustejovsky can provide such a framework.21 The stated function of GL is to establish a formal account of logical polysemy, which occurs when a word carries different meanings in different contexts.22 GL aims to capture generalizations about words and focuses on the combinatorial properties of words rather than merely developing accurate definitions.23 GL thus offers a generative account of word meaning and interpretation that focuses on the distributed nature of meaning in natural language.24 In producing meanings, GL first employs feature structures that represent the nature of a lexical item’s semantic representation and then applies a number of generative devices that are used to contextually construct semantic expressions.25 Thus, unlike the simple enumeration of meanings in the lexicon, which characterizes the judiciary’s current approach, GL attempts to spread the semantic load across all constituents of the utterance. The goal is to elevate the status of the various sentential components from being passive arguments to active functions in the production of meaning.26 As this article explains, GL offers a descriptive, rather than a normative, theory of language.27 Further, although it focuses on text, GL should not be seen as mandating a textualist interpretive methodology.28 Rather, as conceptualized in this article, GL’s generative mechanisms should be used to produce prototypical readings that would serve as default ordinary meaning interpretations. These default meanings can be shaped by whatever interpretive considerations the court determines are relevant, including legislative history, statutory purpose, and other interpretive tools.29 GL thus addresses only the ordinary meaning concept, which is uncontroversially a key component of how all courts interpret statutes, and does not implicate either textualism or the ‘plain meaning doctrine’, which concern the nonconsideration of contextual evidence.30 Despite this article disclaiming any effort to create a normative theory of interpretation, it is hoped that legal interpretation, like the “linguistic turn” that marked the development of philosophy in the last century, will eventually be viewed as an intrinsically linguistic phenomenon subject to linguistic insights, operations, and advances.31 While statutory interpretation theory and methodology is a growing area of scholarly inquiry, the concept of ordinary meaning (like other linguistic phenomena) receives little attention from legal scholars, who prefer to focus on doctrines and issues that are ideological in nature.32 It is, of course, true that interpretation is inherently discretionary and hence subject to the policy- and ideologically based predilections of judges. This article does not dispute the oft-mentioned criticism that courts manipulate even ideologically neutral interpretive tools, including the ordinary meaning concept, in order to achieve favored results.33 Notwithstanding this legal realist insight, courts purport to take textual language seriously, and this article provides a theory of how they might better do so. Section 2 of this article provides a paradigmatic example of the Supreme Court’s current approach to ordinary meaning interpretation. This section describes the Court’s remarkable and repeated misinterpretation of a deceptively simple statute, 18 USC §924(c)(1)(A), that is underspecified due to ellipsis. It also describes important cognitive science findings that could have assisted the Court in its interpretations. Section 3 explains the components of GL and describes how the theory is based on the application of a set of generative operations over complex lexical entries. Section 4 applies GL to §924(c)(1)(A) and outlines a methodologically proper interpretation. Section 5 proves a typology of the various criticisms of GL made by scholars and argues that these objections do not warrant rejection of GL. This section argues that GL can help distinguish common meanings from situations of lexical creativity and can produce default ordinary meaning interpretations that can be shaped, when appropriate, by pragmatic considerations. Finally, section 6 argues that despite its complexity, GL is superior to any alternatives, including other formal theories of meaning. The superiority of GL is based, in part, on its unique congruence with the current interpretive tools used by courts. 2. The Supreme Court and Ordinary Meaning A Case Study: The Supreme Court’s Misinterpretation of 18 USC §924(c)(1)(A) The best sense of the possible role for GL in ordinary meaning determinations can be had through its application to a paradigmatic set of cases in which the Court failed to consider cognitive science insights and the distributed nature of compositionality.34 The focus will thus be on the Court’s interpretations of a federal statute, 18 USC §924(c)(1)(A), that provides for enhanced punishment if the defendant ‘uses’ a firearm ‘during and in relation to … [a] drug trafficking crime’.35 Although the statute specifies the subject or agent (the defendant), the direct object (the firearm), and requires a connection to a drug trafficking crime, it is underspecified regarding the event; how the defendant must ‘use[]’ the firearm within the meaning of the provision.36 This underspecification, a paradigmatic example of underspecificity due to ellipsis, has challenged courts in their efforts to give the ordinary meaning to the statutory language.37 Remarkably for a routine criminal statute providing a penalty enhancement and presenting no constitutional issues, §924(c)(1)(A) has been interpreted by the Supreme Court on multiple occasions. In Smith v. United States,38 the Court held that the statute does not require that the firearm has been used as a weapon. The Court explained that when a word is not defined by statute, as most are not, courts normally construe it in accordance with its ‘ordinary or natural meaning’.39 The Court stated that exchanging a firearm for drugs ‘can be described as “use” within the everyday meaning of that term’.40 The Court consulted two dictionaries regarding the word use and concluded that it means ‘to employ’ or ‘to derive service from’.41 The Court rejected the argument that uses has a reduced scope in §924(c)(1)(A) because it appears alongside the word firearm.42 The Court reasoned that ‘it is one thing to say that the ordinary meaning of “uses a firearm” includes using a firearm as a weapon’, ‘[b]ut it is quite another to conclude that, as a result, the phrase also excludes any other use’.43 Thus, because ‘one can use a firearm in a number of ways’, ‘[t]hat one example of ‘use’ is the first to come to mind … does not preclude us from recognizing that there are other “uses” that qualify as well’.44 Due to the broad meaning of use, the Court concluded that the statute’s language ‘sweeps broadly, punishing any “us[e]” of a firearm, so long as the use is “during and in relation to” a “drug trafficking offense”’.45 Therefore, the Court reasoned, ‘it is both reasonable and normal to say that [the defendant] “used” his MAC-10 in his drug trafficking offense by trading it for cocaine’.46 In the Court’s view, if Congress had intended that the firearm must have been used as a weapon in order for the enhanced punishment to apply, it could have included the words ‘as a weapon’ in the statute.47 In dissent, Justice Scalia criticized the Court’s failure to properly consider context in determining the ordinary meaning of ‘use’. First, Justice Scalia pointed out the ‘elastic’ nature of the word ‘use’.48 Secondly, Justice Scalia pointed out, correctly, that ‘[t]o use an instrumentality ordinarily means to use it for its intended purpose’.49 Thus, ‘to speak of “using a firearm” is to speak of using it for its distinctive purpose, i.e., as a weapon’.50 In Justice Scalia’s view, the words ‘as a weapon’ were ‘reasonably implicit’ from the context of the statute.51 Two years after Smith, the Supreme Court held in Bailey v. United States52 that §924(c) requires active employment of the firearm by the defendant. In other words, the firearm must be an ‘operative factor in relation to the predicate offense’.53 This is because the dictionary definitions of use (‘[t]o convert to one’s service’, ‘to employ’, ‘to avail oneself of’, and ‘to carry out a purpose or action by means of’) ‘imply action and implementation’.54 Thus, use does not include the ‘action of a defendant who puts a gun into place to protect drugs or to embolden himself’.55 It would, however, include situations where the defendant has a gun on display during a transaction or barters with a firearm without handling it.56 Finally, in 2007 the Court held in Watson v. United States57 that a person who trades drugs for a gun does not ‘use’ a firearm ‘during and in relation to … [a] drug trafficking crime’.58 According to the Court, ‘the meaning of the verb “uses” has to turn on the language as we normally speak it’.59 In the Court’s view, the proper interpretation must ‘appeal to the ordinary’ because ‘there is no other source of a reasonable inference about what Congress understood when writing or what its words will bring to the mind of a careful reader’.60 Based on its own understanding of common usage, the Court reasoned as follows: [t]he Government may say that a person ‘uses’ a firearm simply by receiving it in a barter transaction, but no one else would. A boy who trades an apple to get a granola bar is sensibly said to use the apple, but one would never guess which way this commerce actually flowed from hearing that the boy used the granola.61Interestingly, while the Court in Smith indicated that a broad meaning should be given the provision considering its purpose of combating the dangerous combination of drugs and guns,62 the Court in Watson declined to give such considerations significance.63 The Supreme Court’s Failure to Recognize Linguistic and Cognitive Science Insights As its interpretations of §924(c)(1)(A) indicate, the Court purports to give textual language its ordinary meaning. Evidence from cognitive science, however, indicates that its approach is flawed. One stark example of the Court’s deficient methodology is its undifferentiated approach to expressions that feature ellipsis and thus require enriched semantic composition. A linguistic ellipsis is a ‘truncated or partial linguistic form’ ‘in which constituents normally occurring in a sentence are superficially absent, licensed by structurally present prior antecedents’.64 An important, and empirically based, principle of grammars is that speakers produce the minimum linguistic information sufficient to achieve the speaker’s communicational needs.65 In its interpretations of §924(c)(1)(A), though, the Court fails to appreciate this insight and thus fails to recognize the increased difficulty of interpretation when faced with legislative ellipsis of important sentential content. An ellipsis is a ubiquitous and natural way to avoid periphrastic constructions. For example, a case of verb phrase ellipsis occurs in the following sentence: Max went to the store, and Oscar did, too.66 Psychologist Matthew Traxler indicates, via corpus analysis, that expressions with fully specified event structures are rare (i.e. are ellipsed) when the event is commonly associated with the noun.67 According to Traxler, in normal usage, a fully specified event structure is used less than five per cent of the time.68 Full event structures tend to occur only with less predictable activities.69 As a result of studies he conducted that examined the processing of expressions argued to require enriched semantic composition, Traxler explains that a challenge for interpreters is that noun phrases denoting entities are difficult to process when they follow verbs that require event complements.70 The verbs begin, finish, and enjoy, for example, require postverbal arguments that semantically represent events.71 Consider the sentence,The sentence is difficult to process because it contains a noun phrase denoting an entity (namely, book) that follows a verb requiring an event complement (namely, began).73 (1) The boy began the book.72 The increased processing difficulty with respect to (1) is due to related issues. First, the ellipsis of a fully specified event structure requires complex mental operations to construct a suitable event sense.74 Comprehenders construct an event sense of the complement by implicitly generating an activity that is commonly associated with the complement noun and compatible with the agent of the clause.75 For example, the above sentence could be interpreted as The boy began reading the book.76 Secondly, the ellipsis of a fully specified event structure may engender competition between alternative interpretations.77 The sentence could either be interpreted as The boy began writing the book or The boy began reading the book.78 As Traxler indicates, though, if the sentence were intended to be interpreted as The boy began to translate the book, the full event structure would most likely have been specified.79 According to Traxler, his findings ‘provide behavioral evidence for the psychological reality of an enriched form of composition’.80 These kinds of cognitive science findings should have implications for ordinary meaning interpretations because they illustrate the intrinsic complexity of the compositional operation described above and indicate that there is systematicity to the data that are relied on by GL.81 Traxler’s findings are also consistent with those of other linguists such as Jack Hawkins, who has shown that Modern English has significantly more ambiguity and vagueness in its syntactic, lexical, and morphological categories than it once did.82 Consistent with GL’s approach to meaning, Hawkins indicates that Modern English relies to a much greater extent on co-occurring categories for the assignment of relevant disambiguating properties.83 Furthermore, ‘dominant meanings are understood more readily than are subordinate meanings in a wide range of tasks’, which should influence which meaning a court designates as the ‘ordinary’ one.84 3. Overview of GL Theory As the above discussion illustrates, cognitive science and linguistic research support a revised approach to ordinary meaning determinations. The Court’s current approach to interpretation simply does not systematically account for the polysemy of words such as use, which carries different meanings in different contexts.85 GL can, however, serve as a method for incorporating Traxler’s insights, as well as those of linguists and others with findings about the systematicity of language, and can offer a formal methodology that will avoid overly broad, or overly narrow, interpretations.86 Before explaining in detail how 18 USC §924(c)(1)(A) would have been interpreted if GL had been applied, it is necessary to give a general overview of how GL assembles meanings into compositional structures. As Jackendoff explains, ‘the learnability of an unlimited variety of word meanings argues that word meanings are composite, built up in terms of a generative system from a finite stock of primitives and principles of combination’.87 Consistent with this composite view of word meanings, GL views the lexicon as the key source for explaining the creative use of language.88 GL presents an analytic framework that accounts for the disambiguation process involved in the determination of meaning.89 The function of GL is the production of a lexicon consisting of complex lexical entries over which a set of generative operations may apply in order to yield interpretations.90 The GL system is based on feature structures, which have a sequence of nested feature structures within them.91 The resulting lexical entries contain the prototypical predicates and relations associated with the given word.92 The word thus carries a set of information (as fields in a template), and operations define how to combine this information. The purpose of these feature structures, along with the generative mechanisms, is to make linguistic theory more explicit and testable.93 The Four Levels of GL Theory The resources available to a word within GL theory consist of the following four levels: LEXICAL TYPING STRUCTURE,ARGUMENT STRUCTURE, EVENT STRUCTURE, and QUALIA STRUCTURE.94 1. Lexical Typing Structure The LEXICAL TYPING STRUCTURE ‘gives an explicit type for a word positioned within a type system for the language’.95 Pustejovsky has created an ontology that divides the domain of individuals into three levels of type structures: (i) natural types, which are natural kind concepts (i.e. ‘things that occur naturally in the world without need for human intervention’);96 (ii) artifactual types, which are not natural types but, rather, concepts making reference to the purpose, function, or origin of the concept; and (iii) complex types, which are concepts integrating reference to the relation between types from the other levels.97 2. Argument Structure The ARGUMENT STRUCTURE specifies the number and type of logical arguments for a predicate.98 It provides a list structure where the type of argument is directly encoded in the ARGUMENT STRUCTURE, as indicated below:  For example, the verb kiss requires two arguments, a kisser and a kissee.99TRUE ARGUMENTS (ARG1 and ARG2) are those that must be syntactically realized.100 They are what we generally think of as the arguments of a lexical item (e.g. to kiss: true arguments = kisser, kissee).101DEFAULT ARGUMENTS (D-ARG1) are not necessarily expressed syntactically but are necessary for the logical well-formedness of the sentence (to paint has the default argument = brush).102SHADOW ARGUMENTS (S-ARG1) also refer to semantic content that is not necessarily expressed but which is expressible under certain circumstances.103 These are arguments in the QUALIA (explained below) that the sentence normally does not indicate at all because the verb is related to the SHADOW ARGUMENT (e.g. to fax: shadow argument = fax machine).104Trueadjuncts are elements in the sentence that are not part of the QUALIA STRUCTURE of the other words in the sentence (e.g. to kiss: true adjunct: at noon).105 3. Event Structure The EVENT STRUCTURE (EVENTSTR) of a lexical item defines what type of event is taking place.106 It defines both the event type of the expression and any subeventual structure it may have, which includes information about aspect and the temporal relationship among an event’s subevents.107 The schemata for an EVENT STRUCTURE is illustrated below:  Events are classified as states, processes, or transitions, with the latter sometimes being divided into accomplishments and achievements.108 A state ‘denotes an event such as be sick, know, love, and resemble’.109 A process denotes an event such as walk, run, push, and drag. By itself, a process contains no information about how long the action lasts and denotes an event that is composed of a series of events. If V is a process, then the entailment X is V-ing entails X has V-ed should hold.110For example, replacing X and V with Finn and run, Finn is running entails Finn has run.111 An accomplishment is one type of transition and refers to the movement from one state to another state.112 Examples of accomplishments include build and destroy.113 When a verb V is an accomplishment, X is V-ing does not entail X has V-ed.114 Thus, Finn is building a house does not entail Finn has built a house.115Accomplishments ‘denote events with slow change and can be modified by temporal adverbs such as in an hour’.116 An achievement is another type of transition, ‘denoting events such as die, find, and arrive’.117Achievements can be modified by point adverbials (e.g. Finn arrived at noon).118 Modification by point adverbials indicates that achievements ‘denote events with instantaneous change’.119 Events can be simple and complex independently of their syntactic representation as either a simple or a complex clause. When complex, Pustejovsky deals with them in terms of subevents.120 The subevents in the EVENT STRUCTURE may have one of the following three restrictions on their temporal ordering.121 In a complex event, e, formed by e1 and e2, e1 precedes e2.122 Thus, the subeventual structure involves a development process and a resulting state (e.g. build).123 This structure is referred to as exhaustive ordered part of and is represented by ‘<α’.124 The second type of subevent involves those that can occur simultaneously (e.g. accompany, which requires the person accompanying and the one being accompanied). Pustejovsky refers to this relationship as exhaustive overlap part of, and he represents it as ‘oα’.125 A third situation occurs when two subevents are basically simultaneous but one starts before the other (e.g. run, where the movement of the legs brings about the movement of the body).126 Pustejovsky refers to these as exhaustive ordered overlap, which is annotated as