Constitutional Tipping Points: Civil Rights, Social Change, and Fact-Based Adjudication
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Columbia Law School Scholarship Archive Faculty Scholarship Faculty Publications 2006 Constitutional Tipping Points: Civil Rights, Social Change, and Fact-Based Adjudication Suzanne B. Goldberg Columbia Law School, [email protected] Follow this and additional works at: https://scholarship.law.columbia.edu/faculty_scholarship Part of the Civil Rights and Discrimination Commons, and the Constitutional Law Commons Recommended Citation Suzanne B. Goldberg, Constitutional Tipping Points: Civil Rights, Social Change, and Fact-Based Adjudication, 106 COLUM. L. REV 1955 (2006). Available at: https://scholarship.law.columbia.edu/faculty_scholarship/65 This Article is brought to you for free and open access by the Faculty Publications at Scholarship Archive. It has been accepted for inclusion in Faculty Scholarship by an authorized administrator of Scholarship Archive. For more information, please contact [email protected]. COLUMBIA LAW REVIEW VOL. 106 DECEMBER 2006 NO. 8 ARTICLES CONSTITUTIONAL TIPPING POINTS: CIVIL RIGHTS, SOCIAL CHANGE, AND FACT-BASED ADJUDICATION Suzanne B. Goldberg* This Article offers an account of how courts respond to social change, with a specific focus on the process by which courts "tip" from one under- standing of a social group and its constitutional claims to another. Adjudi- cation of equal protection and due process claims, in particular,requires courts to make normative judgments regarding the effect of traits such as race, sex, sexual orientation, or mental retardationon group members' status and capacity. Yet, Professor Goldberg argues, courts commonly approach decisionmaking by focusing only on the 'facts" about a social group, an approach that she terms 'fact-based adjudication." Professor Goldberg criti- ques this approachfor its flawed premise that restrictions on social groups can be evaluated based on facts alone and its role in obscuring judicial involvement in selecting among competing norms. The Article also observes that because fact-based adjudication enables courts to leave norms unacknowledged, it does serve the judiciary's institu- tional interests by maximizingflexibility forfuture decisionmakingregarding restrictions on group members' rights. At the same time, however, this ap- proachfacilitates inconsistency in theory and outcome by enabling courts to variously embrace and reject traditional rationales for restricting social groups without having to justify the inconsistent treatment of group-related norms. As a possible remedy for these flaws, the Article considers the costs and benefits of greaterjudicial candor regarding the normative underpin- * Clinical Professor of Law, Columbia University School of Law. I am especially grateful to Henry Monaghan for ongoing conversation about the issues in this Article as well as to Michelle Adams, Mary Anne Case, Ariela Dubler, William Eskridge, Richard Fallon, Gary Francione, Charles Fried, Richard Goldberg, Lani Guinier, Philip Hamburger, Ian Haney-Lopez, Edward Hartnett, Nan Hunter, Pamela Karlan, Michael Klarman, John Leubsdorf, James Liebman, Tamara Lothian, Michael McConnell, Gillian Metzger, Martha Minow, Rachel Moran, James Gray Pope, Richard Primus, Catherine Sharkey, Peter Strauss, Susan Sturm, Kendall Thomas, Jeremy Waldron, Mark Weiner, and Robin West, and to the participants in the Harvard Constitutional Law Workshop, the faculty workshops at Columbia, Fordham, Brooklyn, Hofstra, and Rutgers-Newark Law Schools, and the LGBT Law Faculty Workshop of Greater New York. My thanks, as well, to Todd Anten and Wilson Meeks for outstanding research assistance, to Rachel Rubenson of the Columbia Law Review for editorial suggestions, and to the Dean's Research Fund of Rutgers-Newark Law School for financial support. 1955 1956 COLUMBIA LAW REVIEW [Vol. 106:1955 ning of decisions. Although Professor Goldberg ultimately advocates only a limited modification to the currentfact-based adjudication regime, she con- cludes that our theories of judicial review will improve, both with respect to descriptive accuracy and normative bite, to the extent they recognize the inevi- table judicial involvement in making normative judgments about social groups. INTRODUCTION .................................................. 1957 I. THE PERVASIVE PRACTICE OF FACT-BASED ADJUDICATION .... 1964 A. "Thick" Facts and the Merger of Norm into "Fact".... 1965 B. "Thin" Facts and Unstated Norms .................... 1970 II. FACT-BASED INTERVENTIONS IN CONTESTED NORMATIVE T ERRAIN ................................................. 1974 A. A Prelude to Tipping ................................ 1975 B. Intervention via "New" Facts ......................... 1976 C. Fact-Based Decisions as the Groundwork for Norm D eclarations ......................................... 1980 III. THE RHETORIC OF FACT-BASED ADJUDICATION AND THE MISLEADING APPEARANCE OF NEUTRALITY .................. 1984 IV. THE INFLUENCE OF SOCIAL SCIENCE AND SOCIAL MOVEMENTS ON JUDICIAL INCORPORATION OF SOCIAL CHANGE-SOME INSIGHTS FROM FACT-BASED ADJUDICATION ................. 1988 A. Social Scientists and "Thick" Facts .................... 1989 B. Social Movements and "Thick" Facts .................. 1990 C. Extrajudicial Actors and "Thin" Facts ................. 1992 V. THEORIZING JUDICIAL NORM AVOIDANCE ................... 1994 A. Fact-Based Adjudication and Theories of Judicial Review and Decisionmaking .......................... 1994 1. Legal Process-Based Explanations ................. 1995 2. Explanations from Legal Realism ................. 2000 3. Social Psychology and Cognitive Science .......... 2001 B. Fact-Based Adjudication in the Service of Institutional Interest: A Methodology That Preserves Judicial Flexibility ............................................ 2003 VI. ALTERNATIVES TO FACT-BASED ADJUDICATION ............... 2007 A. The Costs and Benefits of Candor .................... 2008 B. Candid Fact-Based Adjudication as a Decisionmaking M odel ............................................... 2014 1. The Contours of Candid Fact-Based Adjudication. 2014 2. Implications of a Fact-Based Candor Requirem ent ..................................... 2015 C. Candid Fact-Based Adjudication and Institutional D esign ............................................... 2018 CONCLUSION ...................................................... 2021 2006] CONSTITUTIONAL TIPPING POINTS 1957 "Courts ... do not sit or act in a social vacuum.... [W] hat once was a "natural" and "self-evident" ordering later comes to be seen as an artificial and invidious constraint on human po- tential and freedom."' -Justice Thurgood Marshall "Habit, rather than analysis, makes it seem acceptable and natural to distinguish between male and female, alien and citi- zen, legitimate and illegitimate; for too much of our history there was the same inertia in distinguishing between black and 2 white." - Justice John Paul Stevens INTRODUCTION To paraphrase Alexis de Tocqueville, there is hardly a social conflict in the United States that does not eventually land in court.3 Conse- quently, there is hardly a court that can avoid shaping social conflicts. Equal protection and due process claims, in particular, directly solicit ju- dicial intervention in disputes regarding the status of social groups.4 Judges faced with these claims must then determine what, if anything, justifies singling out group members for legal burdens. To make this determination, courts evaluate prevailing normative judgments regarding group members' status or capacity. When the norms are largely settled, this aspect of the judicial role tends to go unno- ticed. But where longstanding judgments regarding a group have be- come destabilized and new norms have yet to be settled, courts' involve- ment in selecting between "old" and "new" norms produces anxieties regarding the judicial role in responding to societal change. At this moment, these anxieties manifest most prominently in litiga- tion by lesbian and gay couples seeking to marry. The lawsuits maintain that, as a result of societal change, negative views of gay people that once justified discriminatory government action must now be rejected as im- permissible and hostility-laden. States defending the exclusion of gay couples from marriage contend, conversely, that the traditional rationales remain valid. Unavoidably, then, courts must revisit longstanding norms regarding same-sex couples to render their decisions.5 1. City of Cleburne v. Cleburne Living Ctr., 473 U.S. 432, 466 (1985) (Marshall, J., concurring in part and dissenting in part). 2. Mathews v. Lucas, 427 U.S. 495, 520 (1976) (Stevens, J., dissenting). 3. 1 Alexis de Tocqueville, Democracy in America 280 (Phillips Bradley & Francis Bowen eds., Henry Reeve trans., Vintage Books 1990) (1835). 4. See infra note 6 for discussion of the use of the term "social group" here. 5. Some of these judges have found it "eminently rational for the Legislature to postpone making fundamental changes to [the different-sex couple requirement for marriage] until such time as there is unanimous scientific evidence, or popular consensus, or both, that such changes can safely be made." Goodridge v. Dep't of Pub. Health, 798 N.E.2d 941, 1003 (Mass. 2003) (Cordy, J., dissenting); see also Lewis v. Harris, 875 A.2d 259, 266-67 (N.J. Super. Ct. App. Div. 2005) (citing cases from numerous states to 1958 COLUMBIA LAW REVIEW [Vol. 106:1955 Yet, as this Article will show, when views about a social group are in flux, as is the case for lesbians and gay men today,