Federalism 3.0

IF 2.2 2区 社会学 Q1 LAW
H. Gerken
{"title":"Federalism 3.0","authors":"H. Gerken","doi":"10.15779/Z38RR1PM64","DOIUrl":null,"url":null,"abstract":"to the concrete. They don't have to talk about how a policy would work in theory. They can show how it does work in practice. Better yet, it allows advocates of change to build their movement one step a time. It is hard to jumpstart a national movement. That's why virtually every national movement began as a local one.7 Equality movements of all sorts began small and grew into something bigger. And precisely because the federal government depends so heavily on states to carry out its policies, states can exercise unexpected sway over national policymaking as well. In sum, while rights and structure have long been cast in opposition to one another, in fact rights and structure serve as interlocking gears in a disaggregated democracy: the First Amendment and federalism working in tandem to move debates forward. Debate leads to policy, which in turn provides a rallying point for still more debate. Social movements include pragmatic insiders, forging bargains from within, and principled outsiders, demanding more and better from without. The egalitarian benefits associated with decentralization are particularly salient these days because of the inherent limits of rights frameworks. A rights framework can guarantee the right to vote; it's much less helpful in raising voter turnout. Constitutional rights do a better job of combatting state-mandated school segregation than preventing the private choices that lead to residential segregation. Courts can ensure vulnerable populations have a right to counsel but they are less suited to monitoring prosecutorial discretion or police training. Our rights tradition, at least, can deter the most obvious forms of employment discrimination, but it cannot guarantee a robust minimum wage, and it's poorly suited to beating back the effects of implicit bias or structural discrimination. Many equality fights-including those to change social norms-are being waged through our policymaking apparatus rather than our Constitution. Here again, federalism and localism play an important role. National policy, after all, is a giant gear to move. As with a clock, you need movement from lots of small, interlocking gears to move a bigger one. For those committed, as I am, to a wellenforced, national equality regime, it's useful to remember that decentralization can beget centralization. Unfortunately, both sides have overlooked the democratic possibilities associated with today's federalism. Nationalists have a bad habit of conflating \"Our Federalism\" with our father's federalism, when state sovereignty loomed large. Given their emphasis on national politics and national norms, they have 76. For a fuller account, see Gerken, Dissenting by Deciding, supra note 70, at 1763-65. 77. This idea may even undergird Romer v. Evans, 517 U.S. 620 (1996), the first gay-rights victory at the Supreme Court. See, e.g., Nicholas S. Zeppos, The Dynamics of Democracy: Travel, Premature Predation, and the Components ofPolitical Identity, 50 VAND. L. REv. 445, 452-55 (1997). 1713 2017] CALIFORNIA LAW REVIEW trouble imagining any room for states and localities in shaping them. So, too, those in the federalism camp describe federalism in Westphalian terms, with states facilitating choice and experimentation precisely because they are enclaves from federal norms. Indeed, those in the traditional federalism camp essentially want to preserve space for states to regulate free from federal interference, which again runs one into sovereignty's most troubling features-it prevents the federal government from enforcing national norms. But when federalism is sheared of sovereignty, federalism's signature vices can become plausible virtues. States and localities don't shield people from national norms, but constitute sites for constructing those norms. And the national government can police federalism's worst excesses while taking advantage of its best features, including the benefits it offers to racial minorities and dissenters. These facts ought to change our calculation as to whether the decentralization game is worth the candle. B. The Discursive Benefits ofStructure and the Political Process Cases What would happen if we moved past Federalism 2.0? What if constitutional theory updated its operating system and acknowledged what I've called the \"discursive benefits of structure\"18-the many ways in which structure serves the same ends as the First and Fourteenth Amendments? At the very least, we can supply a more robust justification for a set of cases that scholars have long struggled to explain: the political process cases. 79 While academics have long accepted the rights/structure divide, the Court has occasionally muddied the distinction through what some have called the \"political process\" cases. The formula is virtually the same in every case. A minority group succeeds in winning an egalitarian policy at one level of governance, and the majority insists that such policies must be passed through a different (and more challenging) part of the political hierarchy. In Washington v. Seattle School District,\"o for example, a school district adopted a bussing plan to combat discrimination, only to have it invalidated by a statewide initiative banning bussing. In Hunter v. Erickson, 8 1 a city council enacted a fair housing policy, only to be invalidated by an initiative requiring such policies to be approved directly by the city's voters. In recent years, we've seen similar cases play out with regard to LGBTQ equality. Romer v. Evans concerned the decision of Colorado voters to amend the Constitution to prevent cities like Boulder and Denver from protecting members of the LGBTQ community from discrimination based on sexual orientation. Windsor v. United States addressed 78. Heather K. Gerken, Federalism as the New Nationalism: An Overview, 123 YALE L.J. 1889, 1894 (2014). 79. For an important effort to rationalize these cases, see John C. Jeffries, Jr. & Daryl J. Levinson, The Non-Retrogression Principle in Constitutional Law, 86 CALiF. L. REv. 1211 (1998). 80. 458 U.S. 457 (1982). 81. 393 U.S. 385 (1969). 82. 517 U.S. 620 (1996). 83. 133 S. Ct. 2675 (2013). [Vol. 105:1695 1714","PeriodicalId":51452,"journal":{"name":"California Law Review","volume":null,"pages":null},"PeriodicalIF":2.2000,"publicationDate":"2017-01-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":"7","resultStr":null,"platform":"Semanticscholar","paperid":null,"PeriodicalName":"California Law Review","FirstCategoryId":"90","ListUrlMain":"https://doi.org/10.15779/Z38RR1PM64","RegionNum":2,"RegionCategory":"社会学","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":null,"EPubDate":"","PubModel":"","JCR":"Q1","JCRName":"LAW","Score":null,"Total":0}
引用次数: 7

Abstract

to the concrete. They don't have to talk about how a policy would work in theory. They can show how it does work in practice. Better yet, it allows advocates of change to build their movement one step a time. It is hard to jumpstart a national movement. That's why virtually every national movement began as a local one.7 Equality movements of all sorts began small and grew into something bigger. And precisely because the federal government depends so heavily on states to carry out its policies, states can exercise unexpected sway over national policymaking as well. In sum, while rights and structure have long been cast in opposition to one another, in fact rights and structure serve as interlocking gears in a disaggregated democracy: the First Amendment and federalism working in tandem to move debates forward. Debate leads to policy, which in turn provides a rallying point for still more debate. Social movements include pragmatic insiders, forging bargains from within, and principled outsiders, demanding more and better from without. The egalitarian benefits associated with decentralization are particularly salient these days because of the inherent limits of rights frameworks. A rights framework can guarantee the right to vote; it's much less helpful in raising voter turnout. Constitutional rights do a better job of combatting state-mandated school segregation than preventing the private choices that lead to residential segregation. Courts can ensure vulnerable populations have a right to counsel but they are less suited to monitoring prosecutorial discretion or police training. Our rights tradition, at least, can deter the most obvious forms of employment discrimination, but it cannot guarantee a robust minimum wage, and it's poorly suited to beating back the effects of implicit bias or structural discrimination. Many equality fights-including those to change social norms-are being waged through our policymaking apparatus rather than our Constitution. Here again, federalism and localism play an important role. National policy, after all, is a giant gear to move. As with a clock, you need movement from lots of small, interlocking gears to move a bigger one. For those committed, as I am, to a wellenforced, national equality regime, it's useful to remember that decentralization can beget centralization. Unfortunately, both sides have overlooked the democratic possibilities associated with today's federalism. Nationalists have a bad habit of conflating "Our Federalism" with our father's federalism, when state sovereignty loomed large. Given their emphasis on national politics and national norms, they have 76. For a fuller account, see Gerken, Dissenting by Deciding, supra note 70, at 1763-65. 77. This idea may even undergird Romer v. Evans, 517 U.S. 620 (1996), the first gay-rights victory at the Supreme Court. See, e.g., Nicholas S. Zeppos, The Dynamics of Democracy: Travel, Premature Predation, and the Components ofPolitical Identity, 50 VAND. L. REv. 445, 452-55 (1997). 1713 2017] CALIFORNIA LAW REVIEW trouble imagining any room for states and localities in shaping them. So, too, those in the federalism camp describe federalism in Westphalian terms, with states facilitating choice and experimentation precisely because they are enclaves from federal norms. Indeed, those in the traditional federalism camp essentially want to preserve space for states to regulate free from federal interference, which again runs one into sovereignty's most troubling features-it prevents the federal government from enforcing national norms. But when federalism is sheared of sovereignty, federalism's signature vices can become plausible virtues. States and localities don't shield people from national norms, but constitute sites for constructing those norms. And the national government can police federalism's worst excesses while taking advantage of its best features, including the benefits it offers to racial minorities and dissenters. These facts ought to change our calculation as to whether the decentralization game is worth the candle. B. The Discursive Benefits ofStructure and the Political Process Cases What would happen if we moved past Federalism 2.0? What if constitutional theory updated its operating system and acknowledged what I've called the "discursive benefits of structure"18-the many ways in which structure serves the same ends as the First and Fourteenth Amendments? At the very least, we can supply a more robust justification for a set of cases that scholars have long struggled to explain: the political process cases. 79 While academics have long accepted the rights/structure divide, the Court has occasionally muddied the distinction through what some have called the "political process" cases. The formula is virtually the same in every case. A minority group succeeds in winning an egalitarian policy at one level of governance, and the majority insists that such policies must be passed through a different (and more challenging) part of the political hierarchy. In Washington v. Seattle School District,"o for example, a school district adopted a bussing plan to combat discrimination, only to have it invalidated by a statewide initiative banning bussing. In Hunter v. Erickson, 8 1 a city council enacted a fair housing policy, only to be invalidated by an initiative requiring such policies to be approved directly by the city's voters. In recent years, we've seen similar cases play out with regard to LGBTQ equality. Romer v. Evans concerned the decision of Colorado voters to amend the Constitution to prevent cities like Boulder and Denver from protecting members of the LGBTQ community from discrimination based on sexual orientation. Windsor v. United States addressed 78. Heather K. Gerken, Federalism as the New Nationalism: An Overview, 123 YALE L.J. 1889, 1894 (2014). 79. For an important effort to rationalize these cases, see John C. Jeffries, Jr. & Daryl J. Levinson, The Non-Retrogression Principle in Constitutional Law, 86 CALiF. L. REv. 1211 (1998). 80. 458 U.S. 457 (1982). 81. 393 U.S. 385 (1969). 82. 517 U.S. 620 (1996). 83. 133 S. Ct. 2675 (2013). [Vol. 105:1695 1714
联邦制3.0
水泥地。他们不必谈论一项政策在理论上如何运作。他们可以在实践中展示它是如何工作的。更好的是,它允许变革的倡导者一步一步地建立他们的运动。很难迅速启动一场全国性的运动。这就是为什么几乎每一个全国性的运动都是从地方运动开始的各种各样的平等运动开始时都很小,后来发展成更大的运动。正是因为联邦政府如此严重地依赖各州来执行其政策,各州也可以对国家政策制定施加意想不到的影响。总而言之,虽然权利和结构长期以来一直是相互对立的,但事实上,权利和结构在一个解体的民主国家中是环环相扣的:第一修正案和联邦制共同推动辩论向前发展。辩论产生政策,而政策又为更多辩论提供了集结点。社会运动包括务实的内部人士,从内部促成交易,以及有原则的外部人士,从外部要求更多更好。由于权利框架的固有限制,与权力下放相关的平等主义利益如今尤为突出。权利框架可以保障投票权;这对提高选民投票率的帮助要小得多。宪法权利在对抗国家强制的学校隔离方面做得更好,而不是阻止导致居住隔离的私人选择。法院可以确保弱势群体有获得律师的权利,但它们不太适合监督检察官的自由裁量权或警察培训。我们的权利传统,至少可以阻止最明显的就业歧视形式,但它不能保证一个强大的最低工资,它不适合击退隐性偏见或结构性歧视的影响。许多争取平等的斗争——包括那些改变社会规范的斗争——都是通过我们的决策机构而不是我们的宪法进行的。在这里,联邦制和地方主义再次发挥了重要作用。毕竟,国家政策是一个巨大的齿轮。就像钟表一样,你需要从许多小的、互锁的齿轮中移动一个更大的齿轮。对于那些像我一样致力于一个执行良好的国家平等制度的人来说,记住去中心化会导致集权化是很有用的。不幸的是,双方都忽视了与今天的联邦制相关的民主可能性。民族主义者有个坏习惯,就是把“我们的联邦制”和我们父亲的联邦制混为一谈,当时国家主权显得很重要。考虑到他们对国家政治和国家规范的重视,他们有76人。更详细的说明,见Gerken,《决定反对》,附注70,1763-65页。77. 这种想法甚至可能成为罗默诉埃文斯案(517 U.S. 620(1996))的基础,这是最高法院对同性恋权利的第一次胜利。参见Nicholas S. Zeppos,《民主的动力:旅行、过早掠夺和政治认同的组成部分》,50 VAND。L. REv. 445, 452-55(1997)。[1713 2017]《加州法律评论》很难想象各州和地方政府在制定法律方面有任何余地。因此,联邦制阵营的人也用威斯特伐利亚式的术语来描述联邦制,即各州恰恰因为是脱离联邦规范的飞地而促进选择和实验。事实上,那些传统联邦制阵营的人本质上是想为各州保留不受联邦干预的监管空间,这再次触及了主权最令人不安的特征——它阻止了联邦政府执行国家规范。但当联邦制被剥夺了主权,联邦制的标志性缺点就会变成貌似合理的优点。各州和地方政府并没有保护人们不受国家规范的影响,而是构成了构建这些规范的场所。同时,国家政府可以利用联邦制度的优点,包括为少数民族和持不同政见者提供的福利,来监管其最严重的过度行为。这些事实应该改变我们对去中心化游戏是否值得的计算。如果我们超越了联邦制2.0,将会发生什么?如果宪法理论更新了它的运行系统,并承认我所说的“结构的话语利益”——即结构在许多方面与第一修正案和第十四修正案服务于相同的目的,那会怎么样?至少,我们可以为学者们长期以来难以解释的一系列案例提供一个更有力的理由:政治过程案例。79 .虽然学术界长期以来一直接受权利与结构的区别,但最高法院偶尔会通过一些人所谓的“政治程序”案件混淆这一区别。公式实际上在每种情况下都是一样的。 水泥地。他们不必谈论一项政策在理论上如何运作。他们可以在实践中展示它是如何工作的。更好的是,它允许变革的倡导者一步一步地建立他们的运动。很难迅速启动一场全国性的运动。这就是为什么几乎每一个全国性的运动都是从地方运动开始的各种各样的平等运动开始时都很小,后来发展成更大的运动。正是因为联邦政府如此严重地依赖各州来执行其政策,各州也可以对国家政策制定施加意想不到的影响。总而言之,虽然权利和结构长期以来一直是相互对立的,但事实上,权利和结构在一个解体的民主国家中是环环相扣的:第一修正案和联邦制共同推动辩论向前发展。辩论产生政策,而政策又为更多辩论提供了集结点。社会运动包括务实的内部人士,从内部促成交易,以及有原则的外部人士,从外部要求更多更好。由于权利框架的固有限制,与权力下放相关的平等主义利益如今尤为突出。权利框架可以保障投票权;这对提高选民投票率的帮助要小得多。宪法权利在对抗国家强制的学校隔离方面做得更好,而不是阻止导致居住隔离的私人选择。法院可以确保弱势群体有获得律师的权利,但它们不太适合监督检察官的自由裁量权或警察培训。我们的权利传统,至少可以阻止最明显的就业歧视形式,但它不能保证一个强大的最低工资,它不适合击退隐性偏见或结构性歧视的影响。许多争取平等的斗争——包括那些改变社会规范的斗争——都是通过我们的决策机构而不是我们的宪法进行的。在这里,联邦制和地方主义再次发挥了重要作用。毕竟,国家政策是一个巨大的齿轮。就像钟表一样,你需要从许多小的、互锁的齿轮中移动一个更大的齿轮。对于那些像我一样致力于一个执行良好的国家平等制度的人来说,记住去中心化会导致集权化是很有用的。不幸的是,双方都忽视了与今天的联邦制相关的民主可能性。民族主义者有个坏习惯,就是把“我们的联邦制”和我们父亲的联邦制混为一谈,当时国家主权显得很重要。考虑到他们对国家政治和国家规范的重视,他们有76人。更详细的说明,见Gerken,《决定反对》,附注70,1763-65页。77. 这种想法甚至可能成为罗默诉埃文斯案(517 U.S. 620(1996))的基础,这是最高法院对同性恋权利的第一次胜利。参见Nicholas S. Zeppos,《民主的动力:旅行、过早掠夺和政治认同的组成部分》,50 VAND。L. REv. 445, 452-55(1997)。[1713 2017]《加州法律评论》很难想象各州和地方政府在制定法律方面有任何余地。因此,联邦制阵营的人也用威斯特伐利亚式的术语来描述联邦制,即各州恰恰因为是脱离联邦规范的飞地而促进选择和实验。事实上,那些传统联邦制阵营的人本质上是想为各州保留不受联邦干预的监管空间,这再次触及了主权最令人不安的特征——它阻止了联邦政府执行国家规范。但当联邦制被剥夺了主权,联邦制的标志性缺点就会变成貌似合理的优点。各州和地方政府并没有保护人们不受国家规范的影响,而是构成了构建这些规范的场所。同时,国家政府可以利用联邦制度的优点,包括为少数民族和持不同政见者提供的福利,来监管其最严重的过度行为。这些事实应该改变我们对去中心化游戏是否值得的计算。如果我们超越了联邦制2.0,将会发生什么?如果宪法理论更新了它的运行系统,并承认我所说的“结构的话语利益”——即结构在许多方面与第一修正案和第十四修正案服务于相同的目的,那会怎么样?至少,我们可以为学者们长期以来难以解释的一系列案例提供一个更有力的理由:政治过程案例。79 .虽然学术界长期以来一直接受权利与结构的区别,但最高法院偶尔会通过一些人所谓的“政治程序”案件混淆这一区别。公式实际上在每种情况下都是一样的。 少数群体成功地在一个治理层面上赢得了平等主义政策,而多数人坚持认为,这种政策必须通过政治等级制度的另一个不同(而且更具挑战性)的部分。例如,在华盛顿诉西雅图学区案(Washington v. Seattle School District)中,一个学区采用了一项校车接送计划来打击歧视,结果却因全州范围内禁止校车接送的倡议而使其无效。在亨特诉埃里克森案(Hunter v. Erickson) 81案中,市议会制定了一项公平住房政策,但由于一项要求该政策必须由该市选民直接批准的倡议而无效。近年来,我们看到了关于LGBTQ平等的类似案例。罗默诉埃文斯案涉及科罗拉多州选民修改宪法的决定,以阻止博尔德和丹佛等城市保护LGBTQ社区成员免受基于性取向的歧视。温莎诉美国案78。希瑟·格肯:《作为新民族主义的联邦主义:概述》,123 YALE L.J. 1889, 1894(2014)。79. 为使这些案件合理化所作的重要努力,见约翰·杰弗里斯和达里尔·j·莱文森,《宪法中的不溯退原则》,86加利福尼亚州L. REv. 1211(1998)。80. 458 U.S. 457(1982)。81. 393 U.S. 385(1969)。82. 517 U.S. 620(1996)。83. [133]《联邦法典》第2675(2013)。[卷105:1695 1714 少数群体成功地在一个治理层面上赢得了平等主义政策,而多数人坚持认为,这种政策必须通过政治等级制度的另一个不同(而且更具挑战性)的部分。例如,在华盛顿诉西雅图学区案(Washington v. Seattle School District)中,一个学区采用了一项校车接送计划来打击歧视,结果却因全州范围内禁止校车接送的倡议而使其无效。在亨特诉埃里克森案(Hunter v. Erickson) 81案中,市议会制定了一项公平住房政策,但由于一项要求该政策必须由该市选民直接批准的倡议而无效。近年来,我们看到了关于LGBTQ平等的类似案例。罗默诉埃文斯案涉及科罗拉多州选民修改宪法的决定,以阻止博尔德和丹佛等城市保护LGBTQ社区成员免受基于性取向的歧视。温莎诉美国案78。希瑟·格肯:《作为新民族主义的联邦主义:概述》,123 YALE L.J. 1889, 1894(2014)。79. 为使这些案件合理化所作的重要努力,见约翰·杰弗里斯和达里尔·j·莱文森,《宪法中的不溯退原则》,86加利福尼亚州L. REv. 1211(1998)。80. 458 U.S. 457(1982)。81. 393 U.S. 385(1969)。82. 517 U.S. 620(1996)。83. [133]《联邦法典》第2675(2013)。[卷105:1695 1714
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来源期刊
CiteScore
2.70
自引率
8.30%
发文量
1
期刊介绍: This review essay considers the state of hybrid democracy in California through an examination of three worthy books: Daniel Weintraub, Party of One: Arnold Schwarzenegger and the Rise of the Independent Voter; Center for Governmental Studies, Democracy by Initiative: Shaping California"s Fourth Branch of Government (Second Edition), and Mark Baldassare and Cheryl Katz, The Coming of Age of Direct Democracy: California"s Recall and Beyond. The essay concludes that despite the hoopla about Governor Schwarzenegger as a "party of one" and a new age of "hybrid democracy" in California.
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