Summary
Project overview
Formal model of horizontal stare decisis — the mutual constraint judges exert on one another through precedent.
Research question
Why, and when, does law bind judges? How do binding force, discretion, and doctrinal drift coexist?
Core idea
- "The law" is not a single determinate rule but a set of admissible decision rules consistent with past holdings
- Holdings are linear constraints on the parameter space of affine decision rules
- Each new holding shrinks the feasible set by intersection
- Judges are constrained (binding force) yet retain discretion (feasible set is not a singleton)
- Doctrine evolves gradually through constraint accumulation (drift)
Model components
- Fact vectors: cases are points $z \in \mathbb{R}^k$ — inherently multidimensional
- Affine decision rules: $(w, c)$ parameterize the legal rule $f(z) = w^\top z - c$
- Holdings: finite sets of linear inequalities on $(w, c)$, restricting the feasible set
- Existential plausibility: an outcome is legal if at least one admissible rule produces it
- Sanctions: peer-imposed costs for outcomes or holdings outside the feasible set
- Overruling: removing past constraints at a fixed cost
- Citation incentives: broader holdings increase influence but also risk of overruling
- Entailment: holdings must be logically necessitated by the case (no dicta)
Three core insights
- Law binds without being determinate — judges are constrained to the admissible set but retain choice within it
- Ideology operates through law — judges with different ideal rules select different admissible $(w, c)$
- Doctrine drifts — sequential holdings tilt and shrink the feasible set, making previously implausible outcomes plausible
Target journals
- Primary: Journal of Legal Studies (JLS) — flagship law & economics journal; Niblett, Posner & Shleifer (2010), the 1D predecessor, published here; constitutional law applications fit the readership
- Primary: JLEO — publishes theory at the law-economics-institutions intersection; Fernández & Ponzetto (2012) published here; good match for the institutional mechanisms (sanctions, overruling, citation incentives)
- Stretch: JPE — Gennaioli & Shleifer (2007) and Baker & Mezzetti (2012) published here; requires closed-form results with clean comparative statics from the convex geometry / VC dimension toolkit
- Political science alternative: APSR — Callander & Clark (2017), the closest competitor, published here; would require reframing toward judicial politics audience
Key prerequisite for all targets: close the model with formal propositions (not just skeleton + applications).
Paper structure
- Introduction and motivation
- Formal model (decision rules, holdings, plausibility, sanctions, overruling, citation incentives)
- Equal Protection application (constraint accumulation illustrated with Brown, Korematsu, Grutter, Parents Involved)
- Due Process application (Mathews balancing, substantive due process, persistent underidentification)
- Next steps (closing the model, testable predictions, empirical strategies, policy implications)
Companion introduction draft
paper/intro.tex— informal introduction framing the binding force of law as a coordination/focal-point problem (Schelling → McAdams → this paper)