'U.S. Constitutional Law, Proportionality, and the
Global Model'
LSE Law Society and Economy Working Paper Series, 06-2016
Following the global success of the principle of proportionality in human and
constitutional rights adjudication, there is now an emerging debate among
academics and judges in the United States as to whether proportionality ought to
be introduced into U.S. constitutional law. My goal in this paper is to correct
what I see as a misleading simplification in this discussion, namely the view
that the United States could introduce proportionality while leaving the other
features and characteristics of its constitutional rights jurisprudence intact.
I argue that if proportionality is adopted, coherence requires that the other
features of what in previous work I have labelled “the global model of
constitutional rights” be embraced as well: rights inflation, positive
obligations, socio-economic rights, and horizontal effect. Thus, proportionality
is not just an isolated standard of review but part and parcel of a conception
of rights that must be adopted or rejected as a whole.
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'Authority and Intent in U.S. Constitutional Culture'
Jerusalem Review of Legal Studies (2014) 10 (1): 123-136.
On the last page of their book, Moshe Cohen-Eliya and Iddo Porat invite their readers to weigh the advantages and disadvantages of adopting proportionality, and they express the hope that their book will have provided a starting-point for such work. The first two sections of the paper take up this invitation by assessing the moral appeal of what Cohen-Eliya and Porat identify as proportionality’s rival, namely the US model, and more specifically, the intent-based conception of rights and the culture of authority which in their view lie at its heart. My argument will be that both the intent-based conception of rights and the idea of a culture of authority are morally deficient and that if one fixes their problems, one will end up with the proportionality-based model (which I will refer to as the ‘global model’). In the final section, I will argue that this result throws doubts upon Cohen-Eliya’s and Porat’s claim that the intent-based conception and the culture of authority are at the heart of US constitutional culture. I will claim that the lack of moral appeal of their account provides a prima facie reason against its validity as a culturally reconstructive theory, and I tentatively suggest that the global model should be considered as a candidate explaining US constitutional culture as well.
'The Global Model of Constitutional Rights: A Response to
Afonso da Silva, Harel, and Porat' Jerusalem Review of Legal Studies 2014
10 (1): 206-223; first published in Law Society and Economy Working Paper
Series WPS 28-2014 December 2014
This essay responds to Virgílio Afonso da Silva, Alon Harel, and Iddo Porat, who
offered critical comments on my book The Global Model of Constitutional
Rights at a symposium at the Hebrew University of Jerusalem in December
2013. The paper deals with, first, questions relating to the methodology of my
book (in particular the nature of my theory as morally reconstructive, and its
global character), second, the role of autonomy (in particular its relation to
equality, and my defence of a general right to autonomy), and third, the problem
of justification (outcome-based versus excluded reasons-based ways of reasoning
about questions of rights).
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'"Balancing as reasoning' and the problems of legally unaided
adjudication: A rejoinder to Francisco Urbina' International Journal of
Constitutional Law (2014) 12 (1) pp.222-225; Russian translation in № 4
(101) 2014 Sravitelnoe Konstitutsionnoe Obozrenie (Comparative Constitutional
Review) 114-117.
Francisco Urbina argues in his reply to my article "Proportionality: Challenging
the Critics" (below) that my conceptions of proportionality and balancing are
deficient. In particular, he takes issue with my claim that the doctrine of
balancing requires the judge to resolve a conflict of interests in line with
sound moral principles (as opposed to consequentialist or mechanical ways of
quantification and comparison). Urbina argues that while this is the only
defensible account of balancing, it is still unattractive because it fails to
provide judges with moral guidance. In this rejoinder, I show that the moral
guidance that Urbina is attracted to can only be had at the cost of justice.
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'Constructing the Proportionality Test: An Emerging Global
Conversation' in Liora Lazarus, Christopher McCrudden, and Nigel Bowles (eds.),
Reasoning Rights: Comparative Judicial Engagement (Hart 2014), 31-40
The essay argues that Part 2 of Reasoning Rights, which is about proportionality in rights adjudication, fills an important gap in the literature on proportionality by focussing on the proportionality test, as opposed to the pros and cons of proportionality in the abstract. While proportionality is used by almost all courts deciding human or constitutional rights issues, there is no agreement on, and indeed not even a conversation about, the proper construction of the test. Bilchitz's, von Bernstorff's, and Yowell's contributions are the beginning of this important global conversation.
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'From Constitutional to Human Rights: On the Moral Structure
of International Human Rights', 3 (2014) Global Constitutionalism 373-403
The paper presents a theory of the moral structure of international human rights. It proceeds by drawing on recent scholarship on the philosophy of national constitutional rights, which has shown that there is now an emerging global consensus on certain structural features of constitutional rights; in previous work I have summarised this under the label 'the global model of constitutional rights'. Starting from the theory of rights underlying the global model, the paper asks what modifications, if any, are required to turn that theory into a suitable theory of international human rights. In particular, it examines the widely held view that international human rights are more minimalist than national constitutional rights. Discussing recent work by Ronald Dworkin (on political/constitutional versus human rights) and Joseph Raz (on legitimate authority versus national sovereignty), the paper concludes that it is not possible to make rights more minimalist than they already are under the global model. It follows that the moral structures of national constitutional rights and international human rights are identical. The final section of the paper examines some implications of this result, addressing the issues of the workability of the proposed conception of international human rights in practice, its point and purpose, and discussing the obligations of states to participate in international mechanisms for the protection of human rights.
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'Proportionality and Rights Inflation', in Huscroft, Miller,
and Webber (eds.), Proportionality and the Rule of Law: Rights,
Justification, Reasoning (CUP 2014); also available in
the Law Society and Economy Working Paper Series WPS 17-2013
Proportionality is the most important principle of
constitutional rights law around the world, but our theoretical grasp of both
the principle itself and the conception of rights of which it is the crucial
part is still emerging. The goal of this chapter is to contribute to the
scholarly discussion on proportionality by exposing and exploring an important
link between proportionality and rights inflation, ie the phenomenon that
increasingly relatively trivial interests are protected as rights. My claim is
that proportionality is not only compatible with rights inflation, but that it
necessitates it: under a theory of rights which endorses proportionality, there
is no coherent way to avoid the conclusion that all (autonomy) interests should
be protected as rights, and this includes interests in engaging in trivial and
even immoral activities. While this intuitively implausible result may
strengthen some in their doubts about or rejection of proportionality, this
chapter will proceed by showing that, while my argument, if correct,
necessitates the revision of some widely held views about the nature and
justification of human and constitutional rights, there is nothing incoherent or
unattractive about such a view. On the contrary, rights inflation and
proportionality are part and parcel of an attractive conception of
constitutional rights.
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'The Global Model of Constitutional Rights: Introduction'
LSE Law, Society and Economy Working Paper Series (WPS 4/2013)
This introductory chapter of my new book The Global Model of
Constitutional Rights (OUP 2012) gives an overview of the project of the book
and identifies the existence of the global model of constitutional rights. It
then explains the terminology – in particular the use of the terms
'constitutional' and 'global' –, the reconstructive methodology, and addresses
the question of whether the US tradition of constitutional rights law forms part
of the global model. It concludes by providing a summary of the book's main
claims.
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'Proportionality: Challenging the Critics' , (2012) 10 (3)
International Journal of Constitutional Law 709-731; Russian translation in
№ 4 (101) 2014 Sravitelnoe Konstitutsionnoe Obozrenie (Comparative
Constitutional Review) 86-106
While the principle of proportionality has been the most
important doctrinal tool in constitutional rights law around the world for
decades, constitutional theorists have only recently begun to develop
theoretical accounts of it. Even more recently, a few scholars have come forward
with critiques of the doctrine's usefulness, in particular with regard to its
assumed failure to adequately address the moral issues and the assumed
impossibility or impressionistic nature of balancing. This paper examines the
arguments of the critics and concludes that they have failed to make a
convincing case against proportionality.
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The Right to Life Between Absolute and Proportional
Protection, in Bronitt, Gani and Hufnagel (eds.), Shooting to Kill (Hart,
2012), 47-63; also available in the LSE Law, Society and Economy Working
Paper Series, WPS 13-2010, February 2010
One of the puzzles of human and constitutional rights law is
whether there are any rights which are absolute. The question is important not
only for practical purposes but also for the theory of human and constitutional
rights: an absolute right presents a departure from what is now the 'default' in
constitutional and human rights law around the world, namely the proportionality
approach according to which an interference with a right is justified if it
serves a legitimate goal and is proportionate to that goal. This paper tries to
shed some light on the issue by focussing on the right to life. It proceeds by
first presenting an account of the leading case in this area, namely the
judgment of the German Federal Constitutional Court in the Aviation Security Act
case, where the Court held that shooting down an airplane which was likely to be
used as a terrorist weapon was a violation of the right to life in conjunction
with the human dignity of the innocent passengers aboard. It then offers a few
thoughts on the Court's reasoning, specifically with regard to what it has to
say about the idea of absolute rights. Having concluded that the judgment offers
little help in illuminating this problem, it presents some approaches to
absolute rights from moral philosophy and applies them to human and
constitutional rights law. The conclusion is that the right to life will under
certain circumstances be absolute or near-absolute, but that these circumstances
occur less frequently than is sometimes assumed.
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'Two Conceptions of Positive Liberty: Towards an
Autonomy-Based Theory of Constitutional Rights' Oxford Journal of Legal
Studies [2009] 29 (4) 757-786
In the jurisprudence of constitutional courts around the world,
there is an emerging trend towards an autonomy-based understanding of
constitutional rights: increasingly, rights are interpreted as being about
enabling people to live autonomous lives, rather than disabling the state
in certain ways. This essay investigates the
conception of autonomy employed by courts by presenting two candidates
and examining which of them explains better the current practice of
constitutional rights law. The first, labelled the
excluded reasons conception of autonomy, claims that a person's autonomy
is violated if he is treated on the basis of certain impermissible – in
particular moralistic or paternalistic – reasons. It is concluded that while
this is a coherent understanding of autonomy, it cannot explain many of the
rights which are widely accepted today. The second, the
protected interests conception, argues that a person has autonomy
interests in controlling certain domains of her life, and offers a scale on
which the importance of the various autonomy interests can be assessed. The
essay demonstrates that this conception is coherent and adequately explains the
current practice. The final section briefly explores some implications of this
result for a comprehensive reconstructive theory of constitutional rights.
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'Balancing and the Structure of Constitutional Rights' International Journal
of Constitutional Law 5 [2007] 453; also Spanish translation: 'Ponderación y
estructura de los derechos constitucionales', in Gustavo A. Beade and Laura
Clérico (eds.), Desafíos a la ponderación, Universidad Externado de
Colombia (2011), 79-113
There are important differences between reasoning with
constitutional rights and reasoning with moral fundamental rights. One of them
is that constitutional courts around the world employ a balancing or
proportionality test in order to determine the limits of rights, whereas many
philosophers reject such an approach. In his book 'A Theory of Constitutional
Rights', Robert Alexy develops a comprehensive conception of constitutional
rights, his central thesis being that they are optimization requirements and, as
such, necessarily open to balancing. The essay reviews the success of Alexy's
claim and concludes that he ultimately fails to demonstrate that balancing holds
a rightful place in constitutional rights reasoning.
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'On Treating Persons as Ends: The German Aviation Security Act, Human Dignity,
and the Federal Constitutional Court' Public Law [2006] 457
One of the laws passed in Germany as a response to the terrorist attacks of
September 11, 2001 is the Aviation Security Act (Luftsicherheitsgesetz).
Its most controversial part was the section that gave the Minister of Defence
permission to order the shooting down of a hijacked passenger plane in a 9/11
scenario. In 2005, the German Federal Constitutional Court ruled that this part
of the Aviation Security Act violated the right to life in conjunction with the
human dignity of the innocent passengers aboard the plane, and declared it void.
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'Abwägungsverbote im Verfassungsrecht' (Prohibitions of Balancing in
Constitutional Law) 46 (2007) Der Staat 109-128
'Verfassungsgerichtlicher Grundrechtsschutz gegen Gemeinschaftsrecht'
(Constitutional Protection against European Community Law) Jura [2006] 91
'Der Ehebegriff des Grundgesetzes und die
gleichgeschlechtliche Ehe' (The Concept of 'Marriage' under the Basic Law, and
Same-Sex Marriage) Die Öffentliche Verwaltung [2005] 64
'Selbstmordverhinderung im freiheitlichen Staat' (The Prevention of Suicide, and
the Liberal State) Kritische Vierteljahresschrift [2005] 230