FALL 2024 V4

THERUTGERS UNDERGRADUATELAW REVIEW

INASSOCIATIONWITHTHERUTGERSPRE-LAWSOCIETY

AwakhiweNdlovu Editor-in-Chief

NatalieTom DevPatel AnujChauhan PaulinaD’Agostino

Managing Editor External Editor Marketing Director Webmaster

AARUSHI

MAYAGUENNOUNI

94THEUSEOFRAPLYRICSASEVIDENCEINCRIMINAL TRIALS

ALEXANDRAKETTLE

AKSHATYALAMARTY 107VOTERIDLAWSANDTHEIRIMPACTTURNOUTON MARGINALIZEDCOMMUNITIES

MEGHANAJONNALGADA

AASHVIPARIKH

ALEJANDRAAFANADOR

NAVYATERAPALLI 130THEFOCUSANDFRAMEWORKOFTHECRIMINAL JUSTICESYSTEMINTHEUNITEDSTATES

AKSHRITABALAJI

ANIKAPONNI 143 THEPSYCHOLOGICAL FACTORSUNDERPINNING LEGALDECISION-MAKING

PATRICKCAHILL

EMILIADUL

EMILYTAYLOR

RENEETITICULA

162PRIVATEPRISONS:THECONSTITUTIONALITY, ETHICALITY,ANDIMPLICATIONS

SHRUTINARAYANABHATLA

KEVINMASGUDOV

175THECONSTITUTIONALITYOFDEFENSIVEMEDICINEAS

AMEANSOFAVOIDINGMEDICALMALPRACTICE LAWSUITS

SANCHALIDIGHE

MAXWELSINKIEWICZ

185AMERICANBUSINESSADVERTISINGANDCONSUMER PROTECTIONINAFREEMARKETSOCIETY:ALEGAL ANDETHICALANALYSIS,ANDTHEBALANCINGOF INFLUENCEANDACCOUNTABILITY

CHRISTOPHERGODOY

JUIKHATAL

194 CYBERWARFAREANDLEGALFRAMEWORK

SAMAHALWASEEM

DEVPATEL

199EDUCATIONASACONSTITUTIONALRIGHT:ASTUDYOF SUPREMECOURTCASESANDITSEFFECTSON EDUCATION

GURMEHARKAUR

DEVPATEL

209CORPORATEIMMUNITYORJUSTICEDEFERRED?: LESSONSFROMTHESACKLERFAMILYON SETTLEMENT

NARAYANIATCHUTUNI

DEVPATEL

218 ENFORCINGACCOUNTABILITY:EVALUATING GOVERNMENTALLAWSTARGETINGCORPORATE HUMANRIGHTSVIOLATIONS

KYLIEHONG

DEVPATEL

223FROMCIVILINFRACTIONTOCRIMINALOFFENSE:THE ESCALATIONOFIMMIGRATIONREGULATIONIN

UNITEDSTATESLAWPOSTWORLDWARII

ALICEMEROLLI

DEVPATEL

228FAULTYFACIALRECOGNITIONSYSTEMS:THE EMERGENCEOFTECHNO-RACISM

MADISONLAW

DEVPATEL

233ALEGALVOID:EXPANDINGFRAMEWORKSTOPROTECT

CLIMATE-DISPLACEDPOPULATIONS

VERAAHLUWALIA

DEVPATEL

240THEREGULATIONOFTHETECHINDUSTRYANDTHE INABILITYTODOSO

DEVPATEL

MEGHANAMADHAV

250 THEEVOLVINGLEGALFRAMEWORKFORINSIDER TRADING: EXAMININGTHEEXPANSIONOFLIABILITY

ANUJH.CHAUHAN

DEVPATEL

259HUMANTRAFFICKINGANDINTERNATIONALLAW: ADVOCACYFORAVICTIM-CENTEREDAPPROACH

PAULINAD’AGOSTINO

SAMKLEPPER

271THEINTELLECTUALPROPERTYCLAUSEINTHE CONTEXTOFGENERATIVEARTIFICIALINTELLIGENCE

NATALIETOM

AWAKHIWENDLOVU

280 BANNEDBOOKSANDTHEECONOMY:EVALUATINGTHE CONSTITUTION,LAW,ANDMARKET

AWAKHIWENDLOVU

Editor-In-Chief

AwakhiweNdlovu

AwakhiweisajuniorintheSchoolofArtsandSciences.Sheispursuingdoublemajorsin EconomicsandEnglish.InadditiontobeingEditor-InChiefsheisamemberofPhiAlphaDelta andthePre-LawSociety.SheservesasawritingtutorfortheRutgersWritingProgramandPeer CareerEducatorforRutgersOfficeofCareerExplorationandSuccess.Outsideofschoolshe enjoyshertimebyservingasa“BigSister”mentorforBigBrotherBigSisterofNewJersey. Shelooksforwardtofurtheringherleadershipskillsandthesuccessofthelawreview.Sheis excitedtoexploreherinterestsinIPandcorporatelaw.

ManagingEditor

NatalieTom

NatalieisaseniorintheSchoolofArtsandSciencesatRutgersUniversity-NewBrunswick. Sheispursuingayear-earlygraduationwithamajorinEconomicsandacertificateinPublic PolicyEconomicsandaminorinPoliticalScience.InadditiontobeingManagingEditorofthe UndergraduateLawReview,sheisamemberofthePre-LawSocietyandOmicronDelta Epsilon,aninternationalhonorsocietyforeconomics.Nataliehasheldnumerousinternships spanninglegalandregulatorycompliance,insurancelaw,andgovernmentaffairs,andhasa backgroundinneuroscienceandpsychologyresearch.Sheplanstoexploreacareerincorporate lawaftergraduation

ExternalEditor

DevPatel

DevPatelisastudentatRutgersUniversityandamemberoftheSchoolofArtsandSciences HonorsProgram.HeholdsthepositionofExecutiveEditorofExternalSubmissionsforthe UndergraduateLawReview,whereheco-writesandeditslegalresearcharticles.Witha backgroundthatspansrolesinTrentonandWashington,D.C.,Devbringsastrongfoundationin publicpolicyandakeenanalyticalabilitytoaddresscomplexlegalandpoliticalchallenges, primarilyongovernmentregulations.Currently,DevservesasanAdvocacyInternwithAARP NewJersey,collaboratingwiththenation’slargestadvocacyorganizationtotacklecriticalissues, includingSocialSecurityreform,prescriptiondrugpricing,andgovernmenttransparency.Dev’s

previousexperiencesincludecontributingtopublicadvocacyresearchatVoteSmart,supporting legislativeinitiativesandcasework,andasaninternintheNewJerseyDistrictOfficeof CongressmanTomKeanJr.,andconductingclimate-focusedresearchasaResidentSummer ResearcherattheInnovationDesignandEntrepreneurshipAcademy.

MarketingDirector AnujChauhan

AnujisajunioratRutgersBusinessSchool(RBS)andispursuingamajorinFinancewith minorsinPoliticalScienceandItalian.Outsidetheundergraduatelawreview,Anujisapartof theRutgersRoadtoConsultingProgram,ScholarsofFinance(SOF),andSigmaChiFraternity. HehasalsostudiedItalianlegislationandpolicyduringhistimeabroadinItalyandhasfostered acomprehensiveunderstandingoftheAnglo-Americanjudicialsystemthroughconstitutional competitions.Thispastsummer,AnujwasafinanceinternattheU.S.DistrictCourtinthe SouthernDistrictofNewYorkandworksduringtheschoolyearasaParalegalatTheLaw OfficesofEricB.MorrellinNewBrunswick,NJ.Heplansonattendinglawschoolandhopesto applyhisfinancialandpoliticalbackgroundtopursueacareerincorporatelaw.

Webmaster

PaulinaD’Agostino

PaulinaD'AgostinoisajunioratRutgersUniversitymajoringinCognitiveScienceand LinguisticswithaminorinPoliticalScience.SheservesastheWebmasterforRULRandhasa passionforlawandlegalstudies.Paulinahashadnumerousexperiencesthathavehelpedher growasapersonandstudent.ShehasgainedvaluableskillsfromstudyingabroadinRome, Italy,tocompletinganinternshipwithapoliticalcampaign.Mostrecently,shewasasummer externforanon-profitorganizationincollaborationwithPwCConsulting,whereshelearned manyskillsshewillusethroughoutheracademicandprofessionalcareer.Beyondher educationalandprofessionalpursuits,Paulinaispassionateaboutcookingandexploringthe fashionworld.Inherdowntime,shefindspeaceinjazzandliterature.Hergoalisacareerinthe legalrealm,particularlyentertainmentlaw,wheresheeagerlypursuesherpathtowarda professionwhereherpassionsintersect.

ExecutiveEditors

SuhaaniJain

SuhaaniJainisajunioratRutgersBusinessSchoolmajoringinFinanceanddoubleminoringin EconomicsandPoliticalScience.InadditiontoRULR,sheisadirectorattheInstituteforDomestic& InternationalAffairs,aSeniorAnalystforRutgersConsultingGroup,amemberofWomenBusiness UndergraduatesinLeadershipDevelopment(BUILD),andapartoftheNewsletterCommitteeat ScholarsofFinance.SuhaaniisalsoaScarletAmbassador,workingwithUndergraduateAdmissionsto conducttours,andapartoftheSchoolsofArtsandSciencesHonorsProgram Sheisplanningtoworkon WallStreetforafewyearsbeforepursuingherMBA

IshaNagpaul

Ms.NagpaulisaseniorintheSchoolofArtsandSciencesatRutgersUniversity-NewBrunswick, pursuingamajorinPoliticalScienceandminorsinPsychologyandCriminology.Inadditiontoediting fortheUndergraduateLawReview,sheisaninductedmemberoftheRutgersWomen'sPre-LawSociety. Sheisplanningacareerinthelegalfieldandislookingforwardtoexploringherinterestsinpersonal injurylaw.

MeghanaMadhav

Ms.MadhavisajuniorintheSchoolofArtsandSciencesatRutgersUniversity-NewBrunswick, pursuingadoublemajorinPoliticalScienceandCognitiveScience.Inadditiontoherworkwiththe UndergraduateLawReview,shehasvolunteeredatayouthgrouphome,gainingfirsthandexperience withthechallengesfacedbyunderservedpopulations.Meghanaalsoservesasalegalinternatalawfirm specializinginprisoners'rights,wheresheassistsinlitigatingSection1983claimstoensurethe protectionofprisoners'constitutionalrights.Sheisdeeplycommittedtoaddressingsystemicinequities andplanstopursueacareerinthelegalfield,withafocusonusingthelawasatoolforsocialjusticeand empowerment.

MaxwelSinkiewicz

Mr.SinkiewiczisaSophomoreatRutgersUniversitypursuingadegreeinPoliticalScienceand Philosophy.BeyondeditingfortheUndergraduateLawReview,heisamemberoftheInstitutefor DomesticandInternationalAffairsandthePre-LawSociety.Heislookingforwardtoacareerinlawand theopportunitiesthatawaitinhisfuture.

NavyaTerapalli

NavyaTerapalliisastudentatRutgersUniversity-NewBrunswick'sSchoolofEngineeringstudying ElectricalandComputerEngineeringwithaminorinPoliticalScience.Whennotcontributingtothe UndergraduateLawReview,NavyadedicateshertimetoRutgersInstituteofElectricalandElectronics EngineersandSocietyofWomenEngineers.Shehasexperienceworkinginthetechfield,andplansto mergeherbackgroundintechnologywithherpassionforthelawtopursueacareerinpatentlaw followinggraduation.

AashviParikh

Ms.ParikhisaseniorintheSchoolsofArtsandSciencesatRutgersUniversity,pursuingadoublemajor inEconomicsandInformationTechnologyandInformatics.Inadditiontobeinganexecutiveeditorfor theRutgersUniversityUndergraduateLawReview,sheisanactivememberintheRutgersUniversity Women'sPre-LawSocietyandtheRutgersUniversitySeeingEyePuppyRaisingClub.Withadeep interestinbusinessinnovationsandemergingtechnologies,Ms.Parikhplanstoexplorefieldssuchas corporatelawandtechnologylawwhensheattendslawschool.

EmiliaDul

EmiliaisaseniorHonorsCollegestudentintheSchoolofArtsandSciencespursuingadoublemajorin EconomicsandPoliticalScience.InadditiontoeditingfortheUndergraduateLawReview,shethe outgoingMembershipDirectorofPhiMuFraternity.Additionally,EmiliaisaStudent-Athletetutor, specializinginavarietyofcoursesthatincludeMicroeconomics,IntermediateMacroeconomicAnalysis, andPoliticalScienceResearchMethods.Finally,sheisalsopursuingaHonorsCapstoneProjectfor whichsheisinterningattheTitleIXofficeoncampus.Withtheseexperiences,shehopestopursuea careerinthelegalfield,withaspecialinterestinrealestatelaw.

AnikaPonni

AnikaPonniispursuinganacceleratedgraduationandaseniorintheHonorsProgramofRutgers BusinessSchool-NewBrunswick,studyingFinanceandPoliticalScience.Inadditiontothe UndergraduateLawReview,sheisamemberoftheScarletHonorCouncil,HonorsProgrammentor, Co-founderandPresidentoftheRestorativeJusticeClub,etc.OutsideofRutgers,Anikahasinterned withtheAttorneyGeneral’sOfficeandBarclays.Sheisplanningacareerinthelegalfieldandisexcited toexploreherinterestsinbothcriminalandcorporatelaw.

AkshatYalamarty

AkshatYalamartyisajuniorattheRutgersBusinessSchool,majoringinFinanceandBusinessAnalytics. InadditiontoservingasawriterfortheUndergraduateLawReview,heisthepresidentoftheBeta GammaSigmabusinesshonorssocietyandanactivememberoftheRutgerscommunity.Akshatis planningacareerinthebusinessandlegalfieldsandlooksforwardtoexploringhisinterestsfurther throughtheUndergraduateLawReview

SamKlepper

Mr.KlepperisaJuniorintheSchoolofArtsandSciencesatRutgersUniversity-NewBrunswick, pursuingmajorsinPoliticalScienceandPsychologyandaminorinEconomics.Inadditiontoeditingfor theUndergraduateLawReview,heiscurrentlyamemberoftheLloydC.GardnerFellowshipProgram, andamemberofthe2025-26cohortoftheEagletonUndergraduateAssociatesProgram.Samalsoserved asanOrientationLeaderduringtheSummerof2024wherehehelpedtowelcome,prepare,andengage theincomingclasswithRutgersUniversity.Heplanstopursueacareerinthelegalfieldwhereheis eagertolearnandpracticetheinsandoutsoftaxlaw.

JuiKhatal

hieveryone!Iamathirdyearstudentdoublemajoringinphilosophyandenvironmentalpolicy, institutions,andbehavior,andminoringinpoliticalscienceandthecreativeexpressionandthe environment.Myinterestsareenvironmental,humanrightsandinternationallaw!

AnjaliDarji

Ms.DarjiisasophomoreattheHonorsCollegeandBusinessSchoolRutgersUniversity-New Brunswick,pursuingmajorsinFinanceandAccounting.InadditiontowritingfortheUndergraduateLaw Review,sheisatreasurerofStitchforLife(crochetclub),VicePresidentoftheCookDouglass ApartmentsHallGovernment,andamemberofRutgersHerCampus.Anjaliisalsoanavidnon-profit contractor,workingwithmultiplenonprofitsonstreamliningtheirprocesses.Sheisexcitedtoexplore herinterestsinbusinesslawandhistoricallawpractices.

KevinMasgudov

Mr.MasgudoviscurrentlyajunioratRutgersBusinessSchool,workingtowardsadegreeinFinancewith hopesofpursuingaJ.D.aftergraduation.AtRUULR,Mr.Masgudovhasresearchedandwrittenabout uniquelegalissues,exploringmanyfacetsofthelawthatinteresthim,includingethicsandcriminal justicereform.InadditiontohisworkwithRUULR,Mr.MasgudovactivelytutorsonKnackandserves asaHCScholarsPeerMentor Inhisfreetime,heenjoysrunning,weightlifting,andcooking

MayaGuennouni

Ms.GuennouniisajuniorintheSchoolofArtsandSciencesatRutgersUniversity-NewBrunswick, pursuingaB.A.inPoliticalSciencewithminorsinSpanish,Business&TechnicalWriting.Apartfrom theUndergraduateLawReview,sheservesasPresidentfortheScarletKnightsChapterofNational ResidenceHallHonorary(NRHH)andHeadofEventsforRutgersUNICEF SinceattendingRutgers,she hasbecomeaninductedmemberofthePre-LawSociety,PhiSigmaIota,andpartoftheCorporate FinanceSociety Lastsemester,sheservedasanAssociateEditorfortheRutgersUndergraduateLaw Review,whereshepublishedherpieceonMENA-relateddisordersofgeneticvariationandInsurance FraudintheUnitedStates Post-undergrad,sheplanstoattendlawschooltoobtainherJD/MBA, hopingtopursueacareerinIntellectualProperty,specificallyinthemusicorsportsindustry'scopyright law-relatedfield

AngeliqueDinnall

Ms.DinnallisastudentintheSchoolsofArtsandSciencesHonorsProgramatRutgersUniversity-New Brunswick,pursuinganHonorsB.A.inPoliticalSciencewithminorsinCriticalIntelligenceStudies, Sociology,andInternationalGlobalStudies.SheisthePresidentoftheHonorsArtistCollective,where sheorganizesarteventsandfosterscreativeengagementamonghonorsstudents.Ms.Dinnallalsoserves asChairoftheStudentAffairsCommitteefortheRutgersUniversityStudentAssembly(RUSA), workingoninitiativestoincreasevoterparticipation,supportculturalorganizations,andimprovestudent life Thissemester,shehasbeeninvolvedwiththeFrankPalloneforCongresscampaign,assistingwith voteroutreachandresearch Ms Dinnallispassionateaboutcivicengagementandpublicservice,andshe planstopursueacareerininternationallaw

AlejandraAfanador

Ms.AfanadorisasophomoreatRutgersHonorsCollege,pursuingaB.A.inPoliticalSciencewitha double-minorinPhilosophy,Politics,&Economics(PPE)andPsychology Sheservesasbothan ExecutiveandAssociateEditoroftheRutgersUndergraduateLawReview(RULR),contributingtoits publicationthroughediting,writing,andacademicresearch AstheFoundingPresidentofBridgeRutgers, Alejandraaimstofostercivilpoliticaldiscourse InherroleasPoliticalChairoftheLatinoStudent Council(LSC),sherepresentstheLatinocommunity’sinterestsoncampusinconjunctionwiththe RutgersUniversityStudentAssembly(RUSA) Additionally,sheservesasSecretaryfortheLatin AmericanStudentOrganization(LASO),maintainingorganizationalrecordsandeventlogistics AlejandraisalsoaLearningAssistantforthecourseLaw&PoliticsandanactivememberoftheLatinx Pre-LawSociety(LPLS)andWomen’sPre-LawSociety(WPLS) Herpassionforcivicengagementis evidentinherworkasanRUVotingAmbassador,whereshefacilitatesvoterregistrationand mobilizationefforts OnaPre-Lawcareertrack,shefindsherselfinclinedtowardthefieldofInternational Law.

ReneeTiticula

Ms TiticulaisasophomoreattheSchoolofArts&SciencesatRutgersUniversity-NewBrunswick majoringinPoliticalScienceandEconomics Asanassociateeditorinthepriorsemester,sheiseagerto returntotheRutgersUndergraduateLawReviewasanexecutiveeditor OutsidetheLawReview,Renee isaKaplanTestPrepStudentAmbassadorforRutgersUniversity,offeringsemestercampaign opportunitiestostudents.Sheispassionateaboutacareerinthelegalfield.

AssociateEditors

AarushiGaikwad

Ms.GaikwadisajuniorintheSchoolsofArtsandSciencesHonorsProgramatRutgers University-NewBrunswick,pursuingmajorsinPoliticalScienceandPsychology.Inadditionto writingfortheUndergraduateLawReview,sheisafellowintheLloydC.GardnerFellowship, wheresheisresearchingtheimpactofcolonialismonthecastesysteminIndiaandpost-colonial discourserelatingtothesubject.SheisalsoafellowintheRacialJusticeFellowshipatthe InstitutefortheStudyofGlobalRacialJustice,wheresheisleadingasocialactionproject focusedonmedialiteracy.Anavidadvocateforcivicengagement,sheparticipatesintheDarien CivicEngagementproject,canvassesforvariouscampaigns,andworksatelectionpolls.

Lookingahead,Aarushiplanstopursueamaster'sdegreeinglobalpolicyfollowedbylaw school,aspiringtobuildacareerasanattorneydedicatedtoshapinglegalframeworksthatfoster justiceandequality

ShreyaVaidya

Ms.VaidyaisajuniorintheSchoolofArtsandSciencesatRutgersUniversity–NewBrunswick, majoringinPoliticalSciencewithaminorinSouthAsianStudies.Inadditiontowritingforthe UndergraduateLawReview,sheisamemberofthePhiSigmaSigmasororityandafellowinthe LloydC.Gardnerprogram.Shreyaplanstopursueacareerinthelegalfield,withaparticular interestinpublicinterestlaw.

EmilyTaylor

EmilyisaseniorintheSchoolofArtsandSciencespursuingamajorinPoliticalScienceanda minorinEnvironmentalStudies.Sheisinterestedinacareerinthelegalfieldandislooking forwardtogainingworkexperienceaftergraduation.

SanchaliDighe

SanchaliDigheisasophomoreintheSchoolsofArtsandSciencesinRutgersUniversity-New Brunswick,pursuingmajorsinPsychologyandPoliticalScienceandaminorinBiological Sciences.InadditiontowritingfortheUndergraduateLawReview,sheistheVicePresidentof theBioethicsJournal&Society.Sheisplanningacareerinthelegalfieldandisexcitedto exploreherinterestsinmedicalmalpracticelaw

MeghanaJonnalgada

MeghanaJonnalgadaisasophomoreintheSchoolofArtsandSciencesandRutgersBusiness School,majoringinPoliticalScienceandSupplyChainManagement.Inadditiontoservingas anAssociateEditorfortheRutgersUndergraduateLawReview,sheistheRecruitmentChairfor PhiAlphaDeltaPre-LawFraternityandtheProfessionalDevelopment/MarketingCohort DirectorfortheRutgersAssociationofMarketingandStrategy.Shehasinternedwiththe MiddlesexCountyFamilySuperiorCourtandvariouspoliticalcampaigns.Sheplanstopursuea careerincorporatelaw,advocacy,andpolicy.

PatrickCahill

PatrickCahillisajuniorintheSchoolofArtsandSciencesatRutgers,pursuingamajorin psychologyandaminorinphilosophy,politics,&economics.InadditiontowritingforRULR, heisamemberofPhiAlphaDeltafraternityandanassistantonaresearchprojectseekingto understandtheimpactoflegislationondemocraticparticipation.OutsideofRutgers,Patrick worksasaCPRinstructor,anLSATtutor,andaconsultantforastartupdedicatedtodesigning aquaticsafetysystemsforwaterparks.Heintendstoattendlawschoolfollowinggraduation.

AkshritaBalaji

AkshritaBalajiisasophomoreatRutgersBusinessSchoolinNewBrunswick,majoringin FinanceandminoringinPoliticalScience.InadditiontowritingfortheRutgersUndergraduate LawReview,sheisalegalassistantattheLawOfficeofCraigRothenberg,whereshesupports caseresearch,clientcommunications,andevidencepreparation.Inadditiontoheracademicand professionalpursuits,AkshritaservesastheCommunity,Philanthropy,andOutreachDirectorfor SpoonUniversityandteachesdanceonweekendsatTalashrutiDanceStudioinherhometown. ShewilljointheEagletonInstituteofPolitics'DarienCivicEngagementProjectinthespring semester,reflectingherdedicationtocivicandpublicservice.Akshritaaspiresforacareerin corporatelaw,wheresheaimstomergeherinterestsinbusinessandlegalpractice.

AlexandraKettle

Ms.KettleisasophomoreintheSchoolsofArtsandSciencesofRutgersUniversity-New Brunswick,pursuingamajorinPoliticalScienceandaminorinPublicPolicyonaPre-Law track.InadditiontowritingfortheUndergraduateLawReview,sheisamemberoftheRutgers Women’sPoliticalCaucus,RutgersWomen’sPre-LawSociety,andAlphaChiOmegaSorority. HeracademicachievementshaveearnedherrecognitionfromtheNationalSocietyofCollegiate Scholars,highlightinghercommitmenttoexcellence.Alexandraispursuinganaccelerated academicpathwithplanstograduateayearearly.Shealsoservedasavotetabulatorforthe AssociatedPressduringthe2024GeneralElection,gainingvaluablefirsthandexperienceinthe UnitedStateselectoralprocess.

LeahBushra

Ms.BushraisasophomoreintheSchoolofArtsandSciencesofRutgersUniversity-New Brunswick,pursuingmajorsinPoliticalScienceandPsychologyandaminorinPublicPolicy.In additiontowritingfortheUndergraduateLawReview,sheisamemberoftheWomen'sPre-Law Society.Followingherundergraduatestudies,Leahisplanningtoattendlawschoolandexplore careersincriminalandimmigrationlaw.

ChristopherGodoy

Mr.GoodyisajuniorpursuingapoliticalscienceandeconomicsdegreeattheSchoolofArts andSciencesatRutgersUniverity-NewBrunswick.Passionateaboutthelaw,heintendsto attendlawschoolandpursueacareerinthelegalfield,withapossiblefocusoncorporateor immigrationlaw.InadditiontotheUndergraduateLawReview,heisanelectedUniversity SenatorwithintheRutgersUniveritySenate,anexecutivememberoftheRutgersUniverity StudentAssembly,aPeerInstructorwithintheRutgersCareerExplorationandSuccess, Assistant/ResearcherfortheEagletonInstituteofPoliticsandNewBrusnwickFacultyCouncil, memberofPhiAlphaDeltaPre-LawFraternity,amongotherthings.Inhisofficialcapacity,he proudlyrepresentsandadvocatesforover37,000undergraduatestudentswithhigher administrationandatthestate/federallevels.

AliSaid

Mr.SaidisasophomoreintheSchoolsofArtsandSciencesofRutgersUniversity-New Brunswick,pursuingamajorinHumanResourceManagementandaminorinBusinessand TechnicalWriting.InadditiontowritingfortheUndergraduateLawReview,heisamemberof PhiAlphaDeltaandtheRutgersMuslimStudentAssociation.Thispastsummer,heinternedfor JusticeForAll,anonprofit,workingonsubmissionsofhumanrightsviolationsallacrossthe globetotheInternationalCriminalCourt.Heisplanningacareerinthelaw,withspecific interestsinemployment,corporate,andimmigrationlaw

ZacharyVasile

CurrentlyaseniorintheSchoolofArtsandSciencesatRutgersUniversity-NewBrunswick, Mr.Vasileisaphilosophyandpoliticalsciencedoublemajor.Atransferstudent,Mr.Vasilehas excelledsinceenrollingatRutgersandisamemberofTauSigmaNationalHonorSociety,an honorsocietyexclusivetothehighestperformingtransferstudents.Hespendshisfreetime servinghiscommunityasathirddegreeknightintheKnightsofColumbus,andasanassistant volunteerwrestlingcoachforMarlboroHighSchool.Upongraduation,Mr.Vasileaspiresto attendlawschool.

ShrutiNarayanabhatla

ShrutiNarayanabhatlaisajuniorintheSchoolsofArtsandSciencesofRutgersUniversityNewBrunswick,pursuingmajorsinPoliticalScienceandPsychology,andaminorin Criminology.InadditiontowritingfortheUndergraduateLawReview,sheisanEagleton Undergraduate,VicePresidentofEducationfortheRutgersUniversityDebateUnionanda memberoftheRutgersPrelawSociety.OutsideofRutgers,shewasaninternattheNewJersey AttorneyGeneral’sofficewhereshesolidifiedherpassionforpublicserviceandthelaw.This spring,sheisexcitedtoworkontheNewJerseyClemencyprojectandlooksforwardto advancingherinterestsincriminaljusticereformandaddressingracialdisparitieswithinthe system.

AvaPalmer

Ms.PalmerisaseniorintheSchoolsofArtsandSciencesProgramofRutgersUniversity-New Brunswick,pursuingamajorinCriminalJusticeandaminorinPsychology.Inadditionto writingfortheUndergraduateLawReview,sheisamemberofthePre-LawSociety,the PsychologyAlliance,andsheservedastheJudicialChairman,SlateCommitteeMember,and ProgrammingCouncilMemberoftheZetaTauAlphaFraternity.Asidefromacademicssheis interestedinreading,sewing,piano,sports,andjournalism.Avaiscurrentlyalegalinternin NewYorkassheisplanningacareerinthelegalfieldandisexcitedtoexploreherinterestsin malpracticelaw

ExternalSubmissions

SamahalWaseem

SamahalWaseemisaseniorstudyingPoliticalScienceandPsychologygraduatingintheClassof2025. SheisthepresidentofthePreLawSocietyandisinvolvedwiththeInstituteofDomesticand InternationalAffairsaswellaswiththeInstituteforWomen’sLeadershipandtheEagletonInstituteof PoliticswheresheisanUndergraduateAssociate.Outsideofherinvolvementoncampus,Samahalenjoys readingandwritingpoetry!

GurmeharKaur

Ms KaurisaseniorattheRutgersBusinessSchoolofRutgersUniversity-NewBrunswick,majoringin FinanceandminoringinPhilosophy,PoliticalScience,andEconomics Inadditiontowritingforthe UndergraduateLawReview,sheistheVicePresidentoftheRutgersPre-LawSociety,Presidentof RutgersWomeninInformationTechnologyandInformatics,andtheVicePresident&Treasurerof RutgersCorporateFinanceSociety GurmeharalsointernedattheDepartmentofJusticethispastsummer asaCommunityRelationsServiceintern,workingwiththeFBIonhatecrimeissues Sheisplanninga careerinthelegalfield,specificallyCorporateLaw,andisexcitedtoexploreherinterestsinthefuture

NarayaniAtchutuni

Ms.AtchutuniisajuniorintheSchoolofArtsandSciencesandTheEdwardJ.BlousteinSchoolof PlanningandPublicPolicyatRutgersUniversity-NewBrunswick,majoringinPoliticalScienceand PublicPolicywithaminorinBusinessAdministration.InadditiontobeingtheSecretaryoftheRutgers Pre-LawSociety,sheisinvolvedwithFutureBusinessLeadersofAmericaandsheisastudent representativeonanadvisoryboardatRutgersUniversitythroughCareerExplorationandSuccess.This semester,shewasaTrialTeamsInternattheMiddlesexCountyProsecutor’sOffice.Narayaniislooking forwardtopursuingacareerinthelegalfieldandisinterestedincorporate,bankruptcy,realestate,and criminallaw

KylieHong

KylieHongisaJuniorintheRutgersSchoolofArtsandSciencesHonorsProgram,majoringinBusiness Marketingwitha40GPA SheservesastheMarketingDirectorfortheRutgersUniversityPre-Law SocietyandhashonedhercommunicationskillsatCUNYCitizenshipNow!,animmigrationprosefirm

Additionally,KylieisacertifiedtutorinFinancialAccountingandLogic,Reasoning,Persuasion,and participatesintheRutgersUniversityFigureSkatingClubandtheBusinessMentorProgram Herdiverse experiencesfuelherinterestintheintersectionofmarketingandlegalstudies

MadisonLaw

Ms.LawisasophomoreatRutgersUniversity NewBrunswick,pursuingmajorsinEnglishand Philosophy.AlongwithwritingfortheUndergraduateLawReview,sheisamemberofRutgersPre-Law SocietyandservesasaDJfor90.3FMTheCore.Havinginternedinvariouslegalsettings,andcurrently atRutgersUniversityEthicsandCompliance,shehasdevelopedinterestsindiversefieldsoflaw, includingcivilrightslaw,familylaw,andcompliancelaw

VeraAhluwalia

VeraAhluwaliaisafreshmanintheSchoolsofArtsandSciencesofRutgersUniversity-New Brunswick,pursuingamajorineconomicswithaminorinhistory.Alongsidewritingforthe UndergraduateLawReview,sheisamemberoftheRutgersPre-LawSocietyandwritesfortheRutgers Greenprintmagazine.Inherfreetime,Veralovesphotographingwildlifeandisanavidreader.After completingherundergraduatedegree,sheplansonattendinglawschoolandpursuingacareerinthelegal field

AliceMerolli

AliceMerolliiscurrentlyasophomorepursuingadoublemajorinPoliticalScienceandSociologywitha minorinPhilosophy.WithinRutgers,sheisinvolvedwithItalianClub,GlamourGals,MootCourt,andis aninductedmemberofthePre-lawsociety.Additionally,Ms.Merolliwillbearesearchassistantwithin theDepartmentofSociologyinthespringsemester,conductingdatapreparationandanalysis.Outsideof Rutgers,shehasfurtheredherpassionforlawthroughlegalinternships,whereshehaslearnedthe importantskillsofcommunication,leaderships,andwriting.Aftergraduationshehopestoattendlaw schooltopursueacareerinimmigrationlaw.

MissionStatement

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CHECKS,BALANCES,ANDBORROWERS: THEUNCONSTITUTIONALITYOFEXECUTIVE-LEDSTUDENTLOAN

FORGIVENESS

WRITTENBYZACHARYVASILE|EDITEDBYANGELIQUEDINNALL

Introduction

i. History of Federal Student Loans

Thefederalstudentloansystemstemsfromnumerousgovernmentactsdesignedto safeguardnationalsecurity,offerequitableaccesstoeducation,and,mostimportantly,prepare Americansforthedemandsofincreasinglyspecializedmoderncareers.Itshistorybeganinthe Eisenhoweradministration,astheypassedtheNationalDefenseEducationAct(NDEA).The NDEAofferedfinancialaidtostudentswithlimitedresourcesstudyingthesciences,technology studies,oraforeignlanguage.1 Byfocusingonthesefieldscriticaltonationalsecurity,the NDEAaimedtobuildagenerationofAmericanswhowouldsolidifytheUnitedStates’position asaglobaltechnologicalpower.

WorldWarIIturnedAmericaintotheproductioncapitaloftheworld,andwiththatcame adrasticmakeoverofemployment.Whitecollarjobsjumpedfrom31%oftotalemploymentin 1957to37%in1965,2 requiringnewspecializededucationandtraining.PresidentLyndonB. JohnsonunderstoodthesechangesandbuiltupontheNDEAin1965whenhestoodbefore Congressandstressedthat“highereducationisnolongeraluxury,butanecessity.”3 Thisspeech outlinedandinspiredtheHigherEducationAct(HEA),whichcreatedtheGuaranteedStudent LoanProgram(GSLP).4 TheGSLPensuredthatstudentsfromallincomebackgroundscould accesstheeducationnecessaryforthenewworkforce,preservingthenation’seconomy

1 Hopkins,“TheOriginsofStudentLoanIndustryintheUnitedStates,”pp 1

2 Monthly Labor Review / U S Department of Labor, Bureau of Labor Statistics

3 Johnson,“TowardFullEducationalOpportunity”

4 Hopkins,“TheOriginsofStudentLoanIndustryintheUnitedStates,”pp1

ii. Current Student Loan Crisis

However,thepolicy’ssuccesshascomeatasteepprice,leadingtoastudentloancrisis. TheDepartmentofEducationreportsthat“forty-threemillionAmericanscollectivelyowe$1.5 trillioninoutstandingstudentloandebt,”withaboutone-fourthoftheseAmericansbeingover ninetydaysdelinquentorindefault.5 StudentloansarecripplingAmericans,asmanyavoid purchasinghomes,andareunabletobuildaretirementportfolio.6 Itisnolongerthecasethata collegedegreeisastreamlinedmethodtofinancialsecurityandstablelife,asthesestartling statisticsonstudentdebtillustrate.

Therisingfinancialburdenimposedbyfederalstudentloanshassparkedcallsforstudent loanforgiveness.Thismovementreachedanall-timepeakin2020,bestpersonifiedbythe campaignandelectionofthe46thpresident,JoeBiden.Inhiscampaign,JoeBidenaddressed studentloanforgivenessasoneofhiskeyissuesandnotablypromisedtoforgiveaminimumof $10,000offederalstudentloansperborrower.7 However,hisadministration’spushfor executive-ledstudentloanforgivenessraisessignificantconstitutionalconcerns.

ArticleI,Section8,Clause1oftheConstitutionvestsCongressthepowertolevytaxes andtospendforgeneralWelfare.8 Similarly,ArticleI,Section9,Clause7oftheConstitution vestsCongress'ssoleauthoritytomanagefederalfunds,andthedutytocreateatimelynational budget.9 Thesepowersareleviedtothelegislativebranch,nottheexecutivebranch.The SupremeCourtalsoraisesconcernsindecisionssuchas Biden v. Nebraska and West Virginia v. EPA.Together,theserulingshavequestionedandlimitedtheexecutivebranch’sabilityto

5 Naimon,Leonhardt,Meehan,“SchoolofHardKnocks:FederalStudentLoanServicingandtheLoomingFederal StudentLoanCrisis,”pp.260-261

6 Naimon,Leonhardt,Meehan,pp 261

7 Biden,Joe.TwitterPost.March22,2020,7:28PM.

8 USConstitution,art1,sec 8,cl 1

9 USConstitution,art1,sec 9,cl 7

implementsubstantialstudentloanforgiveness10 withoutexplicitinputfromCongress.11 This paperwillanalyzetheconcernsraisedbytheSupremeCourtandtheConstitution,toshowthat executive-ledstudentloanforgivenessisunconstitutional.

Background

iii. Increased Debt

Inthepastfifteenyears,federalstudentloandebthasrisensubstantially.This phenomenonwasinvestigatedbytheEducationDataInitiative,anorganizationthatcollectsand organizesdataabouttheUnitedStateseducationalsystemforstudents,teachers,reporters,and policymakerstouse.Theyfoundthattheaverageannualstudentloandebthasrisenfrom $20,470in2009to$37,850,a185%increaseinonlyfifteenyears.12 Thisgrowthislargelydueto themonumentalcollegetuitionincreasesinthesameperiod.U.S.News&WorldReport,a mediacompanyspecializingineducationjournalism,investigatedtuitioncostsforin-state,and out-of-stateinstitutionsandfoundshockingresults.Theydiscoveredthatout-of-statetuitionrose from$17,487to$28,217,andin-statetuitionrosefrom$6,891to$11,970,a161%and174% increase,respectively.13

iv. HEROES Act

AfterAmericawaseconomicallyandemotionallydamagedbytheSeptember11th terroristattacks,Congressconvenedtoaddressitseffectsonfederalstudentloans.The deliberationculminatedintheHigherEducationReliefOpportunitiesforStudentsActof2003, theHEROESAct.Toensurestudentswerenotplacedinaworsefinancialsituationthanbefore, theActgavetheSecretaryofEducationthepowerto“waiveormodify”studentloandebtfor

10 Biden v Nebraska,600US (2023)

11 West Virginia v EPA,597U.S.(2022)

12 Hanson,“StudentLoanDebtbyYear”

13 Wood,“ALookat20YearsofTuitionCostsatNationalUniversities”

thoseaffectedbytheramificationsoftheterroristattacks.14 Althoughinitiallyintendedfor familymembersofthosesentintoactivedutyduringtheWaronTerrorandthoseaffected economically,theSecretaryofEducationwasgivenasecondabilitytowaiveormodifystudent loandebtforthosedirectlyaffectedbyanationalemergencydeclaredbythePresidentofthe UnitedStates.15 TheAct’svaguelanguageof“waiveormodify”duringanationalemergency becameasubjectofintensedebate,mostnotablywhentheBidenadministrationaimedtoutilize itsvagueterminologyforwidespreadstudentloanforgiveness.Thismovewasultimately broughttotheSupremeCourtin Biden v. Nebraska.

SupremeCourtConcerns v. Biden v. Nebraska

Inthiscase,NebraskaandfiveotherstateschallengedtheBidenadministration’sstudent loanforgivenessplan,whichtotaled$430billion.16 Asalludedto,theplanutilizedthepower grantedtotheSecretaryofEducationintheHEROESActtowaiveormodifystudentloandebt duringanationalemergency,whichwasCOVID-19.17 ThemajorityruledthattheHEROESAct of2003doesnotgivetheSecretaryofEducationtheauthoritytocancelthismuchstudentdebt. Inhismajorityopinion,ChiefJusticeJohnRobertsreassertedthattheSecretarycan“waiveor modify”existingloans,butcannot“...rewritethatstatutefromthegroundup.”18 Theplanwas tooextremeandwentfarbeyondtheintentionsofCongress.

CongresswrotetheHEROESActtoprovidereliefwithintheframeworkofthecurrent studentloansystem.Theydidnotgivetheexecutivebranchtheauthoritytoalterthesystem itself.ChiefJusticeJohnRoberts,onceagain,echoesthisperspective.Hementionsthatin

14 HigherEducationReliefOpportunitiesforStudentsAct,H.R.108-76,108thCong.(2003),pp.2

15 HigherEducationReliefOpportunitiesforStudentsAct,HR 108-76,108thCong (2003),pp 2,5

16 Biden v Nebraska,600U.S.(2023),pp.1

17 Biden v Nebraska,600US (2023),pp 1

18 Biden v Nebraska,600US (2023),pp 14

typicalandlegallanguage,theword“modify”nevermeansfundamentallyalteringthesubjectin reference.19 Allowingtheexecutivebranchtounilaterallyforgivestudentloandebtwithout CongressionalapprovalwouldnotonlyexceedthepowergrantedbytheHEROESActbut wouldunderminethesystemofchecksandbalances.Thefindingsinthiscase,therefore,support amoresignificantconclusion:executive-ledstudentloanforgivenessisunconstitutional.The executivebranchcannotunilaterallyoffermassstudentloanforgivenesswithoutexplicit authorizationfromCongress.ThislandmarkSupremeCourtcasedemonstratesthatanysuch attemptwithoutCongressionalapprovalisunconstitutional.

vi. West Virginia v. EPA

In2022,theSupremeCourtheardWest Virginia v EPA.Thecasecenteredonwhetherthe EnvironmentalProtectionAgency,otherwiseknownastheEPA,hadtheauthoritytoplace emissioncapsonpowerplantsunderSection111(d)intheCleanAirActof2015,potentially causingdrasticeconomiceffects.20 TheSupremeCourtruledthattheEPAdidnothavethe authoritytoimposeemissioncapsundertheCleanAirAct.21

TheSupremeCourtreacheditsdecisionbyusingtheMajorQuestionsDoctrine,which assertsthatexplicitauthorizationfromCongressmustbefoundbytheCourtwhentheexecutive branchseekstomakedecisionsthathavebroadeconomicandpoliticalimplications.22 Usingthis doctrine,theCourtfoundthattheEPA’sproposedregulationswerenotauthorizedbyCongressin Section111(d)intheCleanAirAct,makingtheregulationsnull.

SimilartohowtheSupremeCourtin West Virginia v. EPA foundthattheEPAlacked explicitauthorityfromCongress,theCourtin Biden v. Nebraska ruledthattheexecutivebranch

19 Biden v Nebraska,600US (2023),pp 13

20 West Virginia v EPA, 597U.S.(2022),pp.6

21 West Virginia v EPA, 597US (2022),pp 4

22 West Virginia v EPA, 597US (2022),pp 34

didnothavetheauthoritytoforgivesubstantialstudentloandebt.Inbothrulings, West Virginia v. EPA and Biden v. Nebraska,theCourtreaffirmedtheprinciplethattheexecutivebranchcannot unilaterallymakefundamentalchangeswithoutexplicitCongressionalapproval.Theserulings emphasizetheimportanceoftheseparationofpowersandthesystemofchecksandbalances. Althoughverydifferentincontext, West Virginia v. EPA’susageoftheMajorQuestionsDoctrine offersitselftoconcludethatexecutive-ledstudentloanforgivenessisunconstitutional,asusing thedoctrineshowsthattheexecutivebranchisnotgivenexplicitauthorizationtoforgiveloans byCongress.

ConstitutionalViolations

Theunconstitutionalityofexecutive-ledstudentloanforgivenessgoesbeyondjust SupremeCourtdecisions;itsillegitimatenatureisevidentinhowitviolatestheseparationof powersinboththeTaxingandAppropriationsClausesoftheU.S.Constitution.

vii. The Taxing Clause

FoundinArticleI,Section8,Clause1,theTaxingClauseintroducesCongress’spowers abouttaxation.Itstates“TheCongressshallhavethePowertolayandcollectTaxes,Duties, ImpostsandExcises,topaytheDebtsandprovideforthecommonDefenceandgeneralWelfare oftheUnitedStates.”23 TheClauseallowsCongresstotaxandspendforthegeneralWelfareof theUnitedStates.TheabilitiesintheClausearenotaresponsibilityofthePresidentoranyother person/bodyintheexecutivebranch;rather,itisaresponsibilityassignedtoCongress.Now considerstudentloanforgiveness.Atitscore,studentloanforgivenessisaconceptmotivatedby promotinggeneralWelfare.Allowingforexecutive-ledstudentloanforgivenessdisregardsthis concept,violatingtheClause.Whiletheideamayseemtrivial,adheringtotheclearlydefined

23 USConstitution,art1,sec 8,cl 1

divisionofpowersandresponsibilitiesintheConstitutionisessential,evenforclausesthatare easytooverlook,suchastheTaxingClause.

viii. The Appropriations Clause

TheAppropriationsClauseisfoundinArticleI,Section9,Clause7oftheU.S. ConstitutionandgrantsCongresssoleauthoritytomanagefederalfunds,andthedutytocreatea timelynationalbudget.TheClausestates,“NoMoneyshallbedrawnfromtheTreasury,butin ConsequenceofAppropriationsmadebyLaw;andaregularStatementandAccountofthe ReceiptsandExpendituresofallpublicMoneyshallbepublishedfromtimetotime.”24 This Clauseensuresthatsolelythelegislativebranchisresponsibleforthenation’sfinancesandits financialrecords.However,executive-ledstudentloanforgivenessthreatensthissolepowerof Congress.

Consideranaccountantpreparingabalancesheetfortheircompany.Theaccountant’s balancesheetreflectsthecompany’sfinancialstate,ensuringeachtransactionisaccountedfor downtothepenny.Now,imagineacoworkerfromadifferentcompanydepartment,someonenot allowedtoworkonthecompany’sfinancialrecords.Theycancelasignificantasset,aloanowed tothecompany,claimingitisunnecessary.Thecoworkerbrokethecompany’srulesregarding whocanworkonfinancialrecords,disruptingthecompany’ssystemofaccountability,and decidedtoremoveasignificantassetwithoutseekingexplicitapprovalfromtheaccountant.This assethappenedtobewhatallowedthecompanytopayoffdebtsofitsown,creatinga shockwaveacrosstheentirebalancesheet.

Executive-ledstudentloanforgivenessoperatesmuchinthesameway.Thelegislative branchistheaccountant,andtheexecutivebranchisthecoworker.Similartohowthecoworker disruptsthecompany’ssystemofaccountability,theexecutivebranchviolatesthesystemof

24 USConstitution,art1,sec 9,cl 7

checksandbalancesbyoversteppingCongress’srole.ThisviolationoftheAppropriations Clausethreatensthelegislativebranch’sexclusivepowertomanagenationalfinances.By pursuingexecutive-ledstudentloanforgiveness,theexecutivebranchviolatestheAppropriations Clause,damagingthebudgetandAmerica’sfinances.

CounterargumentandRebuttal

ix. Student Loan Forgiveness is not a General Welfare

Onemightarguethatexecutive-ledstudentloanforgivenessdoesnotviolatetheTax ClausebecauseitisnotgeneralWelfare.Forgivingstudentloansdoesnotbenefitthegeneral Welfare;itonlybenefitstheindebtedstudents.Moreover,generalWelfareistypicallyapublic good,notadebt-basedsystem.TheNationalInterstateandDefenseHighwaysActof1956isa primeexample.Thepolicycreated41,000milesofinterstatehighways,strategicallybuiltto connectallofAmerica,whetherruralorsuburban,tometropolitanareas.25 Thesystemconnected theindustriesoftheUnitedStatesanditspeople,creatingincreasedeconomicoutputandjobs, anditdidsowithoutplacingdebtonthepeople,asCongressfundedthehighwayswithaspecial taxtrustcreatedwithintheAct.26

WhileitistruethattypicalactsofgeneralWelfarearepublicgoods,morerecent demonstrationsofgeneralWelfarehavenotbeenpublicgoods.DuringtheGreatRecessionof 2008,theAmericanautomobileindustrywasatriskofcollapse.CompaniessuchasGeneral Motors,Chrysler,andmanymorewereinsubstantialdebt.TheUnitedStatesrespondedwitha loansystem,theAutomotiveIndustryFinancingProgram,otherwiseknownasAIFP.The treasuryloanedanestimated$63.5billiontoGeneralMotorsandChrysleralone.27 This

25 STATUTE-72-Pg885pdf-govinfo AccessedNovember22,2024 https://wwwgovinfogov/content/pkg/STATUTE-72/pdf/STATUTE-72-Pg885pdf

26 STATUTE-72-Pg885pdf-govinfo 853

27 “AutoIndustryProgramOverview”AutoIndustryProgramOverview,December22,2014 https://home.treasury.gov/data/troubled-assets-relief-program/automotive-programs/overview.

interventionwasnotatypicalpublicgood,butratheradebt-basedsystemthatstabilizeda criticalAmericanindustry,protectingtheoveralleconomyand,thus,thegeneralWelfare.

Conclusion

Thefederalstudentloansystembeganasawell-intentionedsystem,aimedatpromoting nationalsecurity,creatingaspecializedworkforce,andofferingaffordableeducation.Overtime, thesystem’sfinancialburdenbecametoomuchtomanage.Indebtedstudents,desperatefora solution,havelookedtotheexecutivebranchforanswers.Thepromiseofstudentloan forgiveness,mostnotablychampionedbyPresidentJoeBiden,gainedtractionduringthe2020 presidentialelection.However,thisattempttoaddressstudentloanforgivenessthrough executive-ledavenueshasfailedintheSupremeCourtandshedlightontheunconstitutionality ofexecutive-ledstudentloanforgiveness.

TheSupremeCourt’srulingin Biden v. Nebraska directlycriticizesthisoverreach.Inthe case,theCourtfoundthattheexecutivebranchwasoversteppingonthepermissionstomodify studentloansgivenbyCongressintheHEROESActof2003.Thisdecision,and West Virginia v. EPA drewattentiontoakeyconcept:theexecutive branchcannotachievestudentloan forgivenesswithoutexplicitauthorizationfromCongress. West Virginia v. EPA doessobyusing theMajorQuestionsDoctrine,whichassertsthatexecutiveactionswithfar-reachingnational repercussions,mustbeexplicitlypermittedbyCongress,notunilaterallybytheexecutive branch.

Executive-ledstudentloanforgivenessalsoviolatestheConstitution’sclearseparationof powers,specificallyintheTaxingandAppropriationsClause.TheTaxingClause,foundin ArticleI,Section8,Clause1,vestsCongressexclusivepowertospendfundsforgeneral Welfare.Thisresponsibilitydoesnotbelongtotheexecutivebranch,makingtheirunilateral

decisiontoforgivestudentloans,anactofgeneralWelfare,unconstitutional.TheAppropriations ClauseinArticleI,Section9,Clause7grantsCongressexclusivecontroloverfederalfundsand theexclusiverequirementtomaintainabudget.Inattemptingtocancelsubstantialdebt unilaterally,theexecutivebranchinterfereswithCongress’sexclusiveresponsibilitytokeep financialrecordsandsolecontroloverfunds.

Studentloansareapressingissue,butthesolutiondoesnotlieinexecutivebranch overreach.ItinsteadbelongsinCongress.Asshown,theexecutivebranchneedsexplicit authorizationfromCongresstocreatestudentloanforgiveness.Byobservingtheseparationof powersthatensurestheUnitedStatesfunctionsmosteffectively,theUnitedStatescanaddress thestudentloancrisisinaConstitutionalandsustainablemanner.Ultimately,anymeaningful solutiontothestudentloancrisismustbegroundedinconstitutionalprinciples,ensuringthatthe powertoshapeournation’sfinancialfuturerestswhereitbelongs—withtheelected representativesofthepeople.28

28 ThispaperwasreviewedbyJonathanMcFall JonathanMcFallisapoliticalscienceprofessoratRutgers University-NewBrunswick Hespecializesandteacheslegalphilosophy Inhiscourse,LegalPhilosophy,Rights, andJustice,ProfessorMcFallanalyzesandeducatesstudentsonamultitudeofkeystonelegalphilosophywritings, applyingthemtocurrenteventsthatwaytheoriginalwritersintendedthemtobeused ProfessorMcFall’sfeedbackprovedcriticalinwritingthisarticle Usinghisexpertise,heofferedrevisionsand clarificationsonnumerouselementsofmyConstitutionalandSupremeCourtarguments.

DECLINEOFCULTURALRELATIVISMWITHINTHEU.S.LEGALSYSTEM

IMPACTONUSAGEOFTHECULTURALDEFENSE

WRITTENBYSHREYAVAIDYA|EDITEDBYISHANAGPAUL

Introduction

TheUnitedStateslegalsystemadoptedacommonlawframeworkduringitsgenesis; however,legaluniversalismframedbyEurocentrismfailstoconsiderthediversityofculture withintheAmericanpopulationitserves.CreatedintheUnitedKingdomandimplemented throughouttheEnglishcolonies,commonlawisrootedintheadherencetostaredecisis—the principlethatpastjudicialdecisionsserveasbindingprecedents—andlegaluniversalism,which emphasizesconsistencyinlegalinterpretation.29 Adrawbackofapresumablybeneficialpillarof thelegalsystemisabidingbyprecedentsandnormsdevelopedwithinthecontextofEuropean ideals.Theintroductionofculturalrelativismtothelegalsystemallowsfortheexpansionof legallanguageinterpretationandtheconsiderationoftheculturalcontextofbehaviorfromthe ethicalandsocialstandardsfromwhichtheyarederived.30 Thisconceptdeviatesfromlegal universalismasitallowsfortherecognitionandpresentationofunique,culturallysignificant evidence,focusingontheindividualasopposedtosentencingbasedonthecollective.A movementtowardsconservativeideologieswithinthegovernmentandjudiciarythreatens immigrantsandminoritiesbyharshlyimposingstrictpoliciesandloopholesthatrejectcultural, economic,andsocialcircumstancesimpactingimmigrantsandminorities.Thisdeclinein culturalrelativismhasbroaderimplicationsbeyondstrictlyimmigrationlaw,asitimpactsthe U.S.legalsystemthroughpracticalimplications,suchastheadmissibilityoftheculturaldefense

29ABA “TheAmericanLegalSystemMadeEasy”AmericanBarAssociation AccessedNovember9,2024 https://wwwamericanbarorg/content/dam/aba-cms-dotorg/products/inv/book/131991070/Chapter%202pdf

30 “CulturalRelativism”CarnegieCouncilforEthicsinInternationalAffairs,2024 https://www.carnegiecouncil.org/explore-engage/key-terms/cultural-relativism.

incriminaltrials.Culturaldefenseisdefinedas“adefensethatisbasedontheargumentthatan offender’sculturalbackgroundorbeliefsinfluencedtheirbehaviorandshouldbetakeninto accountindeterminingtheirguiltorpunishment”andusedinconjunctionwithanaffirmativeor negativedefense.31 Acceptingculturalcontextasapartofthedefendants’defensestrategy protectsprimarilyminorityandimmigrantdefendantsfrombeingjudgedsolelythrougha Eurocentriclensgroundedinhistoricalprecedent.Furthermore,thecorrectapplicationofthe culturaldefensemayserveasasentence-mitigatingfactor;however,politicalandsocialfactors willinfluenceitsadmissibilityandeffectivenessincourt.Giventheabilityofthecourtsto reinterpretlegallanguagewhilestillabidingbystaredecisis,therecentmovementtowards increasinglyconservativeopinionsthatnegativelyimpactimmigrantsandminoritycommunities resultsinadeclineinculturalrelativismandthreatenstheapplicationofculturaldefensein criminaltrials.

EstablishingAConservativeShift

DeferredActionforChildhoodArrivals(DACA)hasbeenhighlycriticizedby conservativeRepublicanswhohaveattemptedtorescinditordeemitunlawful.Recentcourt decisionshavereflectedaconservativeshiftinattitudetowardsimmigrants,effectively diminishingtheimportanceofculturalrelativismwithinthelegalsystem.Thisdeclineisevident throughcasessuchas Texas v. United States and Loper Bright Enterprises v. Raimondo,which emphasizesalterationsindeferredactionpoliciesaswellasagencyautonomy.DACAallowsfor childrenbroughttotheUnitedStatesunlawfullytoreceiveworkauthorizationandbenefits withouttheriskofdeportationiftheymeetcertaincriteria,i.e.,“theycametotheUnitedStates undertheageof16,havecontinuouslyresidedintheUnitedStatessinceJune15,2007,were

31 McKee,AdamJ “CulturalDefense:Definition”culturaldefense|Definition,May15,2023 https://docmckee.com/cj/docs-criminal-justice-glossary/cultural-defense-definition/#google vignette.

undertheageof31onJune15,2012,andmeetotherrequirementsrelatedtoeducationandlack ofcriminalhistory”.32 Inthecaseof Texas v. United States,Texasandtwenty-sixotherstates filedaformalcomplaintagainstanObama-eraDACAexpansioninitiative:DeferredActionfor ParentsofAmericansandLawfulPermanentResidents(DAPA).Inamonumentalruling,Judge HanenvacatedDACAinfavorofthestatesthat“seektoendboththeforbearanceofremoval andtheconferralofbenefitstoexistingDACArecipientsasexistingpermitsexpire.TheStates makeclearintheirfilingsandbriefingthatoncetheDACAprogramhasended,formerDACA recipientsshouldberemovableonthesamebasisasanyothersimilarlysituatedillegalalien,” havingdetrimentaleffectsonpendingDACAapplicationsandrenewals.33 Thecasewas appealedandescalatedtotheSupremeCourt,whichupheldthe5thCircuitCourt’sdecisionina 4-4ruling.Althoughthe Texas decisionprovidesinjunctiverelief,itphasesoutapolicythat accountsforculturalcontext.Repealingdeferredactionpoliciesindicatesarejectionofthe humanitarianandculturalcircumstancesthatencourageimmigrantstoentertheUnitedStates, raisingconcernsoverdiminishingtoleranceandincreasinglynegativeattitudestowards immigrants.

Furthermore,inthecaseof Loper Bright Enterprises v. Raimondo,theChevronDoctrine wasoverturnedina6-3decision.TheChevronDoctrineisoutlinedasthejudiciary'sdeference toadministrativeagenciesinclarifyingambiguousstatutes,butonlyiftheinterpretationis reasonable. Loper reassessedthisprocesswiththeSupremeCourtdecisionholdingthe “AdministrativeProcedureActrequirescourtstoexercisetheirindependentjudgmentin decidingwhetheranagencyhasactedwithinitsstatutoryauthority,andcourtsmaynotdeferto

32 Harrington,Ben “SupremeCourt:DacaRescissionViolatedtheAPA”SupremeCourt:DACARescission ViolatedtheAPA,June18,2020 https://crsreportscongressgov/product/pdf/LSB/LSB10497

33 "LoperBrightEnterprisesv.Raimondo."Oyez.AccessedNovember8,2024. https://wwwoyezorg/cases/2023/22-451

anagencyinterpretationofthelawsimplybecauseastatuteisambiguous,”therebyoverruling theagency’sautonomyregardingstatuteinterpretationandprovidingthepowertointerpretto thecourts.34 Therulingwillnotallowagenciestomakeculturallynuanceddecisionsbasedon industryexpertiseandinstead,willreinforceareliancestrictlyonjudicialinterpretations.The judicialreviewprocessofagencystatutescanemphasizedisparitiesindecisionsasthepolitical ideologythatinfluencessuchdecisionsvariesacrossjurisdictions.Giventhecurrent6-3 conservative-to-liberalideologicalsplitintheSupremeCourt,therehavealreadybeen indicationsofmovementtowardright-wingdecisions.Thisemphasizestheuncertaintyregarding culturalcontextsandattitudestowardsimmigrants,aswellasminoritygroupsacrossfederal, state,andlocalcourts.Beyondlegalcases,societalattitudestowardsimmigrantshavealtered, withnotablepoliticianscorrelatingimmigrationinfluxtohighcrimerates,evengoingsofaras toimplythatimmigrantshaveageneticpredispositiontocommittingcrime.35 DonaldTrump’s mostrecentpresidentialwin,coupledwithamajorityRepublicancompositioninboththeSenate andtheHouse,alludetoagoverningtrifecta.Thisstructuremaystreamlinetheinstitutionof harsheranti-immigrationpoliciesandmassdeportation,prioritizingstrictenforcementas opposedtoculturallynuancedhumanitarianconsiderations.Widerramificationsincludethe expectationthatimmigrantsmustbeassimilatedorshowpromiseofassimilationintotraditional Americanculture,whichputstheseindividualsatanunfairdisadvantagewhencominginto contactwiththejudicialsystem.

Theimplicationsofthisnewgovernmentanda6-3conservativecourtsystemwillresult inanalterationinjudicialinterpretationthroughstaredecisis,affectingrulingsmade post-Chevron.Anemphasisonconservativeideologieswhichstresstheimportanceofhistory,

34 "LoperBrightEnterprisesv Raimondo"Oyez AccessedNovember8,2024 https://www.oyez.org/cases/2023/22-451.

35Traylor,Jake,SummerConcepcion,andAlanaSatlin “TrumpSuggestsImmigrantsHave‘badGenes’inLatest

tradition,andlegaluniversalisminregardstolegalinterpretations,relyonaphilosophyrooted underthepretextofapredominantlyEuropeanframework.Theresultisadeclineincultural considerationwithbroaderimplicationsofaconservativejudicialopinionimpactingthe admissibilityoftheculturaldefensewithincriminaltrials.Overarchinglegalframeworkshave harshlyimposedrestrictionsandrigidinterpretationsofthelawandstatutesonimmigrants.The byproductisthedevelopmentofrhetoricthatassumesimmigrantsmustbeassimilatedonce enteringtheUnitedStates,andthosewhohavenotarenotprivytoculturalconsiderationswhen analyzingcriminalbehaviorordeterminingpunishments.Thisfoundationalbeliefundermines individualizedjusticeandperpetuatesinjusticesformarginalizedcommunitieswithinthe criminallegalsystem.

AdmissibilityandImportanceoftheCulturalDefense

Theblatantramificationsoffailingtoconsiderorpresentculturalcontextwhen determiningcriminalbehaviorcanleadtoinjusticesregardingsentencingandtheprocedural processofthetrial.DueprocessisguaranteedtoallUnitedStatescitizens,and“aliensphysically presentintheUnitedStates,regardlessoftheirlegalstatus,arerecognizedaspersonsguaranteed dueprocessoflawbytheFifthandFourteenthAmendments.” 36 Thedueprocessclauseis foundedonthebasisthatnoindividualwillbedeprivedoflife,liberty,orpropertywithoutfair procedureandaguaranteeoftheFifth,Sixth,Eighth,andFourteenthAmendments. Wiggins v Smith solidifiedtheroleofthedefensecounseloutlined intheSixthAmendment,asthe Wiggins caseconcernsthedefense’sfailuretoresearchandpresentbackgroundinformationontheclient thatwouldhaveservedasamitigatingfactorinKevinWiggins’capitalcrimetrial.Withholding contentaboutWiggins’childhoodabuseandmentalillnessviolatedhisSixthAmendmentright toeffectivecounsel,asthesefactorswouldhavepreventedthedeathpenaltyfrombeingimposed

36 US Constitution,Art I,Sec 8,Clause18

38 inhiscase.37 Ensuringeffectivecounselincludestheexplorationofallfactorsrequiredto formulatethebestdefenseandshouldincludeculturalcontext.Recognitionofdefensesthat eliminateormitigateculpability,suchasdiminishedcapacity,mentalillness,orheatofpassion, alludesthatthecriminaljusticesystemalreadyprioritizesindividualizedjustice.Itisonlynatural thatculturalinformationshouldsimilarlyfitatthisphaseofadjudicationasittailorsthesystem morecloselytothedefendant’sculpability,therebyhumanizingthedefendantoncultural grounds.38 Tobelesstolerantofculturalconsiderationwouldnotonlylimitthedefensecounsel’s scopeofpracticebutremove“therighttoculture,anarguablypowerfulprinciplethatreinforces thecontentionthatcontextmattersfortheevaluationofparticularacts.” 39 Reducingprejudice andbiaswillpositivelyserveimmigrantcriminaldefendants,asallowingthepresentationof culturalcontextduringthetrialcanserveasasentencemitigatingfactororprovidecompelling evidencetoentirelyvacateconvictions.

i. State v. Kargar

Thecaseof State of Maine v. Kargar revolvesaroundAfghanitraditionsofshowing affectionandpseudo-childabuseclaims.MohammadKargar,anAfghanirefugeeresidingin Maine,wasarresteduponaneighborreportingKargar“kissinghiseighteen-month-oldson's penis,”apracticeKargarmaintainedwascommonwithinAfghaniculture.40 Hewasfoundguilty ontwocountsofgrosssexualmisconductfollowingbothatrialanddeminimishearingdespite supportingstatementsmadebyexpertwitnessesinacademiaandwithintheAfghanicommunity. Alltestimoniesemphasizedthatthepracticewasdonetoshowloveforthechildandtherewas

37 “SixthAmendment-RighttoAssistanceofCounsel–AnnenbergClassroom”2019 February27,2019 https://wwwannenbergclassroomorg/resource/right-assistance-counsel/#: :text=1984Court%20Defines%20Test%2 0For,the%20Sixth%20Amendment%20not%20violated

38 Mobley,Lillian “AnIntersectionalApproachtotheCulturalDefense”LoyolaUniversityChicagoLawJournal, 2022 https://lawecommonslucedu/cgi/viewcontentcgi?article=2793&context=luclj

39 Renteln,AlisonDundes “WhatDoWeHavetoFearfromtheCulturalDefense?”OUPAcademic,May15,2014 https://doi.org/10.1093/acprof:oso/9780199676590.003.0009.

40 STATEofMaine,v MohammadKARGAR679A2d81(1996)

noalternatesexualintentinvolved,astoinitiatesuchanactwithsuchfeelingswasaviolationof Islamiclawandpunishablebydeath.ThecasewasappealedtotheMaineSupremeCourtwho rebukedtherulingcitingimproperconsiderationofallfactorsinthedeminimishearing,lackof establishmentofsexualgratification,anddisproportionalityofcrimeandpunishmentbasedon intent.Thedeminimishearingshouldhaveencompassedcarefulconsiderationof“the background,experience,andcharacterofthedefendantwhichmayindicatewhetherheknewor oughttohaveknownoftheillegality;theknowledgeofthedefendantoftheconsequencestobe incurreduponviolationofthestatute;thecircumstancesconcerningtheoffense;theresulting harmorevil,ifany,causedorthreatenedbytheinfraction;theprobableimpactoftheviolation uponthecommunity;theseriousnessoftheinfractionintermsofpunishment,bearinginmind thatpunishmentcanbesuspended;mitigatingcircumstancesastotheoffender;possible impropermotivesofthecomplainantorprosecutor;andanyotherdatawhichmayrevealthe natureanddegreeoftheculpabilityintheoffensecommittedbythedefendant,”whichcultural contextfallsunder.41 Thelowercourt'soriginalfailuretoacknowledgetheculturaltestimonies whendeterminingtheoutcomeofthecasecouldhavepermanentlyresultedinKargarfacingtwo convictions,registrationasasexoffender,andthepossibilityofdeportation.TheMaineSupreme Court’sdecisionsetaprecedentthatculturalconsiderationisanecessaryfactorincreating proportionalitybetweencrimeandpunishment.Withoutthepresentationofsuchfacts, immigrantcommunitiescanexperienceanunethicaldisseminationofjustice.

ii. People v. Croy

Furthermore,theculturaldefenseappliestominoritycommunitiesasseeninthecaseof People v. Croy. People v. Croy detailsthestoryofPatrickHootyCroy,ayoungNativeAmerican, fromYreka,California–anareawheretherehadbeenlongstandingconflictbetweentheAnglo

41STATEofMaine,v MohammadKARGAR679A2d81(1996)

andNativeAmericanpopulations.Afteradisputeovertheamountofchangeinaliquorstore, Croyandtworelativeswerechasedbytwenty-sevenpoliceofficersresultinginCroykillinga policeofficerinwhatheclaimedwasself-defense,ultimatelybeingconvictedofmurderin1979 andsentencedtodeath.42 Theconvictionwasappealedasachangeofvenuewasnecessaryin ordertopresentinfrontofanimpartialjurythatdidnotharborbiasorprejudicetowardsNative Americans.Thedefensereformedtheiroriginalstrategytoargueself-defenseinconjunction withaculturaldefensetoexplainCroy’sbehavior,citingthatbecause“Croyhadsuffered discriminationandhadbeenconditionednottotrustwhiteauthorities(becausewhitesettlershad massacredIndiansinthenineteenthcentury),hewaspredisposedtoperceivethathislifewasin jeopardy,”imploringthejurytoreevaluatethepreviousconvictions.43 Thepresentationof culturalcontextemphasizedthe“unofficialandoftenunrecognizedpolicyofrepressionand intimidationwhichaffectstheday-to-daylifeofeveryIndianpersoninthatcommunity [Yreka],”whohadsufferedatthehandsofharshgovernmentinstitutions.Thedefense effectivelybroughtforththecomplicatedhistorybetweenNativeAmericansandlaw enforcementanditsinclusionwithinaself-defenseargumentprovedtobesuccessfulinreducing Croy’scharges.44 Culturalrelativismservesasanimportantaspectinestablishingand understandingbehaviordeemedcriminalundertheconfinesofAmericanlawandallowsfor sentencingtobeformulatedbasedonculturalfactors.Thisallowsminoritycommunitiesthe opportunitytoreflectuponandcitehistoricaltrauma,traditions,andcustomsthatcontributeto behavior.Theroleoftheculturaldefenseservingasasentence-mitigatingfactoreffectively emphasizestheimportanceofconsideringculturaldifferencesandthefairpursuitofjusticefor

42 Renteln,AlisonDundes (1993) justificationoftheculturaldefenseaspartialexcuse Southern California Review of Law and Women's Studies, 2(2), 437-526

43 Renteln,AlisonDundes (1993) justificationoftheculturaldefenseaspartialexcuse Southern California Review of Law and Women's Studies, 2(2), 437-526.

44 Peoplev Croy41Cal 3d2(1985)

immigrantsandminorities,allowingthemspacewithinthelegalrealmtobringforthpertinent contexttocriminaltrials.

ImplicationsoftheCulturalDefense

iii. People v. Chen

Whiletheapplicationoftheculturaldefenseservestoensurefairnessintermsof presentingculturallypertinentinformationduringacriminaltrial,itcanbecounterproductivein advancingculturalrelativismwithinthelegalrealmwhenusedinviolentcrimecasese.g., People v. Chen and People v. Kimura,wheretheculturaldefensecantakeontheroleofthe aggressorenablingharmfulbehaviorandaccustomingittothedefendant'sculture.In People v Chen,defendantDongLuChenconfrontedhiswifeabouttheirsexualrelationshiprepeatedly, laterdiscoveringthatshehadbeenengaginginanaffair.Chenproceededtohithereighttimes withaclawhammeruntilshewasdeadandwaschargedwithsecond-degreemurder.Chen’s defenseteampresentedaculturaltestimonythatemphasizedaperceptionoftraditionalChinese culturewhichviewsawife'sinfidelityasabyproductofherhusband’sweakcharacter.His attorney'sargumenttargeteddivorceasbeingperceivedasdishonorablewithintheChinese community,effectivelyconvincingthejudgetodecreaseChen'schargestosecond-degree manslaughterandasentenceoffiveyearsofprobation.45 Althoughtheculturaltestimony providedalessersentenceforChen,thecasehascontributedtotheoverarchingrejectionofthe culturaldefenseashisactionsviolatewhatmostindividualsbelievetobebasichumanvalues, andtherefore,shouldnotbeallowedtoclaimculturaldefense.However,notallculturalpractices

45 DePalma,A R (2009) ICouldn'tHelpMyself-MyCultureMadeMeDoIt:TheUseofCulturalEvidenceinthe HeatofPassionDefense. Chicanx-Latinx Law Review,28(1).http://dx.doi.org/10.5070/C7281021186Retrieved fromhttps://escholarshiporg/uc/item/2c1506p3

42 areofthisnatureandthefactthatunacceptableculturalpracticescannotofferdefensedoesnot indicatethatnopracticecan.46

iv.

People v. Kimura

People v. Kimura similarlyconcernsJapanesecultureandthehistoricalpracticeof oyako-shinju, whichtranslatestoparent-childsuicide.FumikoKimura’sforty-year-oldhusband hadkeptaJapanesemistressforthreeyears.Thecouplehadbeenmarriedabouteightyearsand hadlivedintheStatesforaboutsixyearswhenthe oyako-shinju incidentoccurredinwhich Kimuraattemptedtodrownbothherselfandheryoungchildrentoridherselfoftheshameand humiliationofherhusband’sadultery.47 KimurahadbeenlargelyisolatedfromAmericanculture despitehertimeintheUnitedStates,andhercasedrewmajorcriticismasthedefenseexplained hermensrea–criminalintent–tobethedirectresultofherculture’sconceptionsofshame, suicide,andmothering–renderingherchoiceunavoidable.48

v. Negative Stereotypes

Inthecasesofboth People v. Chen and People v. Kimura,theunderlyinginclusionof culturaldefenseusedinconjunctionwithmentalhealthargumentshasdeterredtheformal acknowledgmentoftheusageofculturaldefense.High-profilecasessuchasthese,coupledwith adeclineinculturalrelativismandunderstandingofdifferentculturalpracticesorideologies,can “reinforcenegativestereotypesofethnicgroupsthatmayencourageprejudiceand discrimination.Inaddition,thereisconcernthatdefendantsandtheirattorneyswillconcoctfalse claimsandthatthefraudwillgoundetected,”raisingconcernsoverthelegitimacyandethical

46 Parekh,Bhikhu,'CulturalDefenseandtheCriminalLaw',inWillKymlicka,ClaesLernestedt,andMatt Matravers(eds), Criminal Law and Cultural Diversity (Oxford,2014;onlineedn,OxfordAcademic,19June2014), https://doiorg/101093/acprof:oso/97801996765900030006,accessed28Nov 2024

47 Masami,U S U I "CreatingaFeministTransnationalDrama:Oyako-Shinju(Parent-ChildSuicide)inVelina HasuHouston’sKokoro(TrueHeart)." アメリカ学会英⽂ジャーナル11(2000):173-198.

48 RashmiGoel,CanICallKimuraCrazy?EthicalTensionsinCulturalDefense,3SeattleJ Soc Just (2004)

implementationoftheculturaldefense49.However,whendeterminingculpability,thecultural defenseisnotmeanttonecessarilyexpungechargesorexemptimmigrantsorminoritiesfrom beingheldaccountableforviolentcrimesbutratherallowfortheopportunitytoprovide evidencethatconsiderstheculturalcontextthatsurroundstheactionsofacrimeandmay mitigateanunfairsentence.Itwouldbeunjusttoprosecuteanindividualunderstrictlythe EurocentricstandardssetforthbyaU.S.legalsystemwithoutconsideringthecircumstancesof theindividualandthelevelofassimilationexperiencedbytheindividual.Justicemustbe deliveredbyrulingwithaninformedperceptionofimmigrantsandminoritygroups,which allowsjudgestoadequatelydeviatefromsentencingsolelythecrimeandfocusonsentencingthe individual.Criticsconsiderthecasesof People v Chen and People v Kimura tobeundermining theruleoflawsetforthbytheConstitutionandmodelpenalcode;however,thedecisionto neglecttheculturalmotivationsinthecourtroominitsentiretydeprivesdefendantsofthe opportunitytobeheardasawholeperson,andtopreservetheirculturaldignityandidentity outlinedintherightsextendedtoimmigrantsregardlessoftheircitizenshipstatus.50

Conclusion

Culturaldefenseallowsforthehumanizationofindividualsfromotherculturesthatdiffer invaluesandcustomsthatareunalignedwithWesternorEuropeannorms.Althoughthe applicationofculturaldefensestrategyisnotinherentlyharmful,itsusagewithinEurocentric legalsystemisinconsistentandlimitedduetoanoverarchingdeclineinculturalrelativism throughoutthelegalsystem.Culturalcompetencymustbeintegratedwithinthelegalsystem withoutcompromisinglegalprinciples.Formallyrecognizingtheculturaldefenseasa

49 Parekh,Bhikhu,'CulturalDefenseandtheCriminalLaw',inWillKymlicka,ClaesLernestedt,andMatt Matravers(eds), Criminal Law and Cultural Diversity (Oxford,2014;onlineedn,OxfordAcademic,19June2014), https://doi.org/10.1093/acprof:oso/9780199676590.003.0006,accessed28Nov.2024.

50 RashmiGoel,CanICallKimuraCrazy?EthicalTensionsinCulturalDefense,3SeattleJ Soc Just (2004)

sentence-mitigatingfactorandconsistentlyacceptingitsuseacrossjurisdictionsupholdsthe guaranteedrightsofdueprocessduringcriminaltrials.Implementingculturalrelativismwithin thelegalrealmdeviatesfromlegaluniversalismandassertsthenotionofindividualizedjustice throughculturalconsiderationsaspresentedthroughtheculturaldefense.51

51 ThefollowingpaperhasbeenreviewedbydistinguishedRutgersprofessorandpre-lawadvisor,MiltonHeumann ProfessorHeumannspecializesincriminaljustice,publiclaw,andpolicyanalysiswitharesearchfocusoncriminal justicereformsandrightstoprivacy.ProfessorHeumannhashelpedrefinetheargumentsandcontentofthislaw reviewarticleandIamdeeplygratefulforhisinsightfulguidanceandsupport

CONSTITUTIONALVULNERABILITY:HOWAGGRESSIVEIMMIGRATION

POLICIESFUELHUMANTRAFFICKINGINMARGINALIZEDCOMMUNITIES

WRITTENBYAARUSHIGAIKWAD|EDITEDBYSUHAANIJAIN

Introduction

i. What is Human Trafficking?

Humantraffickingisaseverehumanrightsviolationwhereindividualsareexploited throughcoercion,force,ordeceptionforlabororsexwork.52 Referredtoas“modernslavery,” humantraffickingisanepidemicthathasgreatlyaffectedtheUnitedStates,withanestimated 27.6millionactivevictimsofhumantrafficking.53 Despitetheprevalenceofhumantraffickingin theUnitedStates,itscovertnatureoftenleavesthegeneralpublicunawareoftheseverityofthe issue,leavingpeopleuneducatedaboutthevulnerabilitiesoftrafficking.54 Traffickers meticulouslypicktheirtargetsfromsociallyandeconomicallydisadvantagedpopulations. Amongthesemarginalizedgroups,immigrantsareespeciallyvulnerableduetoalackoflegal understanding,financialstability,supportsystems,andEnglishproficiency.Theseweaknesses allowtraffickerstoseparateanddominatetheirvictims,frequentlyusingfeartodissuadevictims fromreachingouttotheauthorities.55 Immigrantcommunitiesfaceahigherlikelihoodofbeing takenadvantageofinplaceslikebordercheckpoints,detentionfacilities,andindustriesthatrely ontheirlabor.Humantraffickingiscategorizedintotwoprimaryforms:sextraffickingandlabor trafficking.Sextraffickinginvolvesthecoercionormanipulationofpeopleintoengagingin commercialsexacts.Victimsofsextraffickingareoftenunawareofthecrimebeingcommitted

52 “AboutHumanTrafficking-UnitedStatesDepartmentofState,”UnitedStatesDepartmentofState,January18, 2023,https://wwwstategov/humantrafficking-about-human-trafficking/#how many

53 Solis,Elizabeth,"Migrantvulnerabilitytohumantrafficking:Alegislativedecadeinreviewwithhistoricaland policyprocessanalysis"(2024) Senior Honors Theses and Projects 832

54 “AboutHumanTrafficking-UnitedStatesDepartmentofState,”UnitedStatesDepartmentofState,January18, 2023,https://www.state.gov/humantrafficking-about-human-trafficking/#how many.

55 Solis,Elizabeth,"Migrantvulnerabilitytohumantrafficking:Alegislativedecadeinreviewwithhistoricaland policyprocessanalysis"(2024) Senior Honors Theses and Projects 832

46 againstthemastheirtraffickersgroomthemintobelievingthatsuchsexactsarevoluntary.56 Labortraffickinginvolvesconvincingindividualstoworkinexploitativeconditionsthroughthe useofscaretacticsandphysicalviolence.Despitetheirdifferences,bothformsoftrafficking usuallytargetthemostvulnerablemembersofsociety,suchasrefugees,minors,and immigrants.57

ii. Connection to The Constitution of the United States

TheFourth,Fifth,andFourteenthAmendmentsoftheU.S.Constitutionprovidecritical rightsthatcanhelpprotectindividualsfromexploitation.TheFourthAmendmentprotects individualsfromunjustsearchesandseizures,preventinglawenforcementfrominvading privacywithoutajustcause.58 Thisisparticularlyimportantinthecontextofimmigration enforcement,asharshpoliciesfrequentlyresultintheinfringementofthisrightbysubjecting individualstointrusivesearchesanddetentionsduetoracialprofilingorunfoundedsuspicionsof theircitizenshipstatus.TheFifthAmendmentguaranteesindividuals’righttodueprocess, preventinganyonefrombeingdeprivedoflife,liberty,orpropertywithoutproperlegal proceedings.59 Manyimmigrants,especiallyvictimsoftraffickingsituations,donotreceivethese rightsandinsteadfaceimmediatedeportationduetoanunclearlinebetweenimmigration enforcementandvictimprotection.TheFourteenthAmendmentalsoensuresequallegal protectionforeveryone,regardlessoftheirimmigrationstatus,whichmanyimmigrantsare unawareof.60 Aggressiveimmigrationmeasuresfrequentlyopposethisconstitutionalright,

56 “UnderstandingHumanTrafficking-UnitedStatesDepartmentofState,”UnitedStatesDepartmentofState, December12,2023,https://wwwstategov/what-is-trafficking-in-persons/

57 “UnderstandingHumanTrafficking-UnitedStatesDepartmentofState”

58 UnitedStatesCreator BillofRights [PlaceofPublicationNotIdentified:PublisherNotIdentified,-09-25,1789] Image https://wwwlocgov/item/2021667570/

59 UnitedStatesCreator.BillofRights.

60 UnitedStatesCreator BillofRights

disproportionatelytargetingimmigrantcommunitiesanddenyingthemequalprotectionsthat theircounterpartsareafforded.

Byexaminingtheintersectionofconstitutionalprotectionsandcurrentimmigration policies,itbecomesapparentthataggressiveimmigrationpoliciescontributetoanenvironment inwhichtraffickingthrives.Uponathoroughexaminationoftheconstitutionalrightsoutlinedin theFourth,Fifth,andFourteenthAmendments,itisevidentthatthesepoliciespursuethe detention,deportation,andcriminalizationofimmigrants,violatingtheirconstitutionalrightsand makingthemmoresusceptibletotrafficking.61

TheRoleImmigrationPoliciesPlayinCreatingVulnerabilities

U.S.immigrationpoliciesareexpectedtobegroundedinprinciplesoffamily reunification,replenishingtheAmericanlaborforce,providingasylum,andpromoting diversity 62 Whilecurrentnaturalizationmethodsandvisasystemsattempttoaddressthesegoals, theyarebasedonatheorythatstatesthatrulesforselectingimmigrantsarefundamentally differentfromrulesregulatingimmigrantsaftertheyentertheUnitedStates.63 Pre-entry regulationsfocusoncontrollingthe“type”ofimmigrantenteringthecountrybasedonhowthey cancontributetotheeconomyorlaborforce,whilepost-entryregulationsarefocusedon integrationandaccommodatingbutoftenexcludeundocumentedindividuals.64 Policiesthat followthisobjectiveendupcreatingmassivevulnerabilitiesforhumantraffickingwithin immigrantcommunities,especiallywhenthesepoliciesintertwinewithissueslikeemployment,

61 Solis,"Migrantvulnerabilitytohumantrafficking,”832

62WilliamA Kandel HowtheUnitedStatesImmigrationSystemWorks Report CongressionalResearchService, 2018 https://fasorg/sgp/crs/homesec/R43145pdf

63AdamB Cox,“ImmigrationLaw’sOrganizingPrinciples,”byUniversityofPennsylvania,Universityof PennsylvaniaLawReview,vol 157,December2008

64 Levine,DanielB,KenHill,andRobertWarren.ImmigrationStatistics:AStoryofNeglect.1sted.Washington, DC:NationalAcademyPress,1985

legalrights,andlawenforcementpractices.Thisforcesthemtoseekemploymentininformal labormarkets.65

Informallabormarketsareemploymentarrangementsthatarenotregulatedbythe governmentanddonotnecessarilymeetgeneralemploymentregulations,makingthemanideal spacefortraffickerstoforceimmigrantsinto.66 Thislackofregulationmeansthatworkersdonot havejobsecurity,makingthemsusceptibletowagetheft,unsafeworkingconditions,and discrimination.67 Restrictiveimmigrationpoliciescanstopindividualsfromaccessinglegal employmentandfosteranenvironmentwhereinformallabormarketsflourish,andfurther,the successoftheundergroundeconomyisperpetuatedbythefearmanyimmigrantsholdof disclosingtheirundocumentedstatus.68 TheFourteenthAmendmentensuresequalprotection underthelaw,butimplementationisfrequentlyinadequatebecausemanyimmigrantsare unawarethatConstitutionalrightsalsoapplytothem.69 TheU.S.governmenthopedtoremedy theinformallabormarketbyintroducingguestworkerinitiatives,whichoffertemporarylegal authorizationtopeoplefromothercountries–still,itfrequentlyledtothemistreatmentof workers.GuestworkerprogramssuchastheH-2AandH-2Bvisaprogramsaimtoaddress shortagesintheAmericanlabormarket,specificallyinfarmingandindustrieswithlowwages. Employersmightusethelimitedrightsofworkersunderspecificvisaprogramstointimidate

65 Levine,DanielB,KenHill,andRobertWarren. Immigration Statistics : A Story of Neglect.1985.

66 JavierCano-Urbina,“INFORMALLABORMARKETSANDON-THE-JOBTRAINING:EVIDENCEFROM WAGEDATA,”EconomicInquiry,vol.54–54,January2016,https://doi.org/10.1111/ecin.12279.

67 JavierCano-Urbina,“INFORMALLABORMARKETSANDON-THE-JOBTRAINING:EVIDENCEFROM WAGEDATA,”January2016

68 Chacón,JenniferM “TensionsandTrade-Offs:ProtectingTraffickingVictimsintheEraofImmigration Enforcement”UniversityofPennsylvaniaLawReview158,no 6(May2010):1609–53 https://search-ebscohost-comproxylibrariesrutgersedu/loginaspx?direct=true&db=aph&AN=52702856&site=eho st-live

69 UnitedStatesCreator.BillofRights.[PlaceofPublicationNotIdentified:PublisherNotIdentified,-09-25,1789] Image https://wwwlocgov/item/2021667570/

themwithdeportationorsubstandardworkingconditions.70 Employeesfrequentlyfeelobligated totheiremployersandfacethethreatofdeportationiftheyspeakoutagainstmistreatmentor misuse,leavingtheminastateofextremevulnerability

ImmigrationEnforcementPractices

iii. Deportation

Immigrationenforcementpracticescontributegreatlytothetraffickingpotentialof immigrantcommunities.Deportationisacommonconsequenceforimmigrantswhoviolate immigrationlaw.Deportationrulescontributetoahostileatmosphereformigrantworkers, strengtheningthesusceptibilityoftraffickingvictims.71 TheFifthandFourteenthAmendments oftheConstitutionguaranteefairtreatmentandequalrightsinthelegalsystem,providingthe frameworkforprotectingindividuals’rightsinlegalproceedings.72 Casessuchas Perez-Funez v District Director, INS showhowimmigrationenforcementmethodsdonotsafeguardat-risk groupsandleadtoinfringementsoftheirconstitutionalrights.73 Thiscasechallenged immigrationtacticsusedonunaccompaniedminorsintowaivingtheirrighttoahearingthrough coercion.74 ItledtothePerez-Fuñezinjunction,whichrequiredtheDepartmentofHomeland Securitytoadheretostrictguidelineswhenremovingunaccompaniedchildrenfromthe country 75 Thisincidentisjustoneofmanyexamplesofcoercionusedincurrentimmigration policiesthatinherentlyviolatethedueprocessclauseintheFourteenthAmendment.Another commonenforcementpracticeintheU.S.istheuseofdetentioncenters.Currently,detention

70 Frank,Thomas.“ModernSlaveryComestoKansas.” Wall Street Journal - Eastern Edition,June17,2009. https://search-ebscohost-comproxylibrariesrutgersedu/loginaspx?direct=true&db=aph&AN=43252636&site=eho st-live.

71 Radziwinowiczówna,Agnieszka “ViolenceThatBuildsSovereignty:TheTransnationalViolenceContinuumin DeportationfromtheUnitedStates.”JournalofEthnic&MigrationStudies48,no.5(March20,2022):1095–1112. doi:101080/1369183X20201850244

72 Radziwinowiczówna,Agnieszka.“ViolenceThatBuildsSovereignty”(March20,2022)

73 Perez-Funezv.DistrictDirector,INS,611F.Supp. 990(CD-Cali2009)

74 Perez-Funezv DistrictDirector

75 Perez-Funezv DistrictDirector

50 centersarebeingcloselyexaminedforcruelconditions,overcrowding,andpoorhealthcare,as seeninincidentssuchas Ortiz v. United States Immigration and Customs Enforcement. 76 Oritz ruledthatICEdetainers,whicharerequestsforlocallawenforcementtoholdpeoplebeforeICE cantakethemintocustody,donotmeetthecriteriafor“custody,"soindividualswhoare attemptingtochallengeICEdetainerscannotusehabeascorpustopleadtheircasebecauseit doesnotimposeimmediatephysicalrestrictions.77 Thisrulinglimitedtheuseofhabeascorpus andaddedtotheuncertaintyofimmigrantsbyremovingamethodforthemtoadvocatefor themselves.ItviolatestheFourthandFifthAmendmentsasitunderminesprotectionsagainst unlawfuldetentionanddeniesdueprocessbypreventingindividualsfromchallengingtheir detainerbeforebeingdetained.78

iv. Immigration and Customs Enforcement

Inrecenttimes,therehasbeenasignificantincreaseinImmigrationandCustoms Enforcement(ICE).Thisdramaticallyaffectsimmigrantcommunities,frequentlyinstillingfear andsuspiciontowardlawenforcement.79 In Arizona v. United States,theSupremeCourtupheld thedelicateequilibriumbetweenstateandfederalrolesinimmigrationlawbydeclaringsome stateimmigrationlawsunconstitutional.80 ItruledthatS.B.1070,ananti-immigrationbill consistingoffourprovisions,wasunconstitutionalunderfederallaw–exceptforsection2(b), whichallowslawenforcementtocheckimmigrationpaperswithreasonablesuspicion.81 Omar

76 ImmigrationandNationalityAct,PublicLawNo 99-603(1986) ,https://www.congress.gov/bill/99th-congress/senate-bill/1200.

77 Ortizv Immigration&CustomsEnforcement,CIVILACTIONNO H-11-3915(SD Tex Dec 13,2011)

78 Ortizv.Immigration&CustomsEnforcement

79Langhout,ReginaD,andRuiz,S SylvaneVaccarino “‘DidISeeWhatIReallySaw?’Violence,Percepticide, andDangerousSeeingafteranImmigrationandCustomsEnforcementRaid”JournalofCommunityPsychology 49,no 4(May2021):927–46 doi:101002/jcop22336

80 Kennedy,AnthonyM,andSupremeCourtOfTheUnitedStates US Reports:Arizonav UnitedStates,567US 387 2011 Periodical https://wwwlocgov/item/usrep567387/

81Selden,DavidA,JulieA Pace,andNeidiNunn-Gilman “PlacingSB 1070andRacialProfilingintoContext, andWhatS.B.1070RevealsabouttheLegislativeProcessinArizona.”ArizonaStateLawJournal43,no.1(Spring 2011):523–61

Qadeer,animmigrationlawyer,providedmoreinsightintohowmanyimmigrationpoliciesdon’t necessarilyfollowconstitutionalprinciples,suchastheideaoffederalpreemptionasoutlinedin theSupremacyClauseinArticleVI.82 Qadeerpointedoutthatimmigrationpoliciesare contradictory,asdemonstratedbystate-leveleffortssuchasArizona’sS.B.1070challenging federaljurisdiction. v. Bias & Discrimination

Thepresenceofbiasinlawenforcementispresentincaseslike Flores-Villar v. United States, whichdepictedhowbiasesinimmigrationenforcement canresultinmoresevere consequencesformarginalizedgroups.TheU.S.SupremeCourtscrutinizeddiscriminationbased ongenderandnationalityinimmigrationlaw,highlightingbiasesingrainedinthelegal frameworkitself.Tocombatthis,thegovernmentstartedemphasizingtheneedfortargeted trainingtoremovebiasesfromimpactingdecisions,asseenintheDepartmentofJustice's guidanceon“ImplicitBiasTrainingforLawEnforcement.”Nonetheless,theguidanceitself acknowledgesthattrainingisinconsistentlyimplementedandinadequatelyfunded,increasing therisksforimmigranttraffickingvictimswhodependonlawenforcementforsafetybut frequentlyencounterdiscriminatorytreatmentinstead.The2016reportfromtheGovernment AccountabilityOffice,“HumanTrafficking:AgenciesHaveTakenStepstoAssessLaw EnforcementNeedsbutCouldEnhanceDataCollection,”emphasizesthecriminalizationof traffickingvictimsinmarginalizedcommunities,particularlyamongwomenandchildren.This reportexamineshowshortcomingsinlawenforcementtrainingresultinvictimsbeing mistakenlyidentifiedasoffenders,especiallywhenvictimsdonotpossessadequate documentation.

82 UnitedStatesCreator BillofRights https://search-ebscohost-comproxylibrariesrutgersedu/loginaspx?direct=true&db=aph&AN=74118471&site=ehos t-live

TheEqualProtectionClauseoftheFourteenthAmendment,whichforbidsstatesfromdenying anyindividualequallegalprotection,iskeytounderstandingbiasesinimmigrationenforcement.

In Yick Wo v. Hopkins,theU.S.SupremeCourtdeterminedthatthediscriminatoryapplicationof aSanFranciscoordinancebreachedtheEqualProtectionClause.Itmandatedthatallwooden buildinglaundrieswereonlyappliedtoMr.WobasedonhisChineseancestry.Theordinance wasimpartialinitswording,buttheauthoritieswereonlygrantingpermitstowhiteapplicants anddenyingnearlyallChineseapplicants.ItclearlyviolatedtheEqualProtectionClauseofthe FourteenthAmendment,asitfailedtoprotectMr.Wobasedonhisethnicity.

GovernmentalEffortsTowardsCombatingTrafficking

vi. T & U Visas

Tosafeguardvictimsofhumantrafficking,theU.S.GovernmentpassedtheVictimsof TraffickingandViolenceProtectionAct(TVPA)of2000,whichcreatedtheTVisa.83 Thisvisa offersqualifiedsurvivorsaroutetolegalstatus,enablingthemtostayintheU.S.andeventually seekpermanentresidency.TheTVisagrantsemploymentauthorization,socialservices,and variousbenefitstoassistsurvivorsintheirrecoveryandrebuildingefforts.84 Asstatedinthe TVPA,themainobjectiveoftheTVisaisto"promotethecollaborationoftraffickingvictimsin theinquiryandprosecutionoftraffickingcrimes."85 Thishighlightsatwofoldobjective:assisting victimswhileimprovinglawenforcement’scapacitytotackletrafficking.TheUVisa,launched withtheTVisa,caterstoawiderrangeofcrimevictims.EstablishedthroughtheBattered ImmigrantWomenProtectionActof2000,itaimstosafeguardthosewhohaveexperienced significantphysicaloremotionalabuseandarereadytosupportlawenforcementorgovernment

83 Congressgov "HR3244-106thCongress(1999-2000):VictimsofTraffickingandViolenceProtectionActof 2000"October28,2000 https://wwwcongressgov/bill/106th-congress/house-bill/3244

84 “VictimsofHumanTrafficking:TNonimmigrantStatus|USCIS,”USCIS,September11,2024, https://wwwuscisgov/humanitarian/victims-of-human-trafficking-t-nonimmigrant-status

85 Congress.gov."H.R.3244-106thCongress(1999-2000):VictimsofTraffickingandViolenceProtectionActof 2000"October28,2000

authoritiesininvestigatingcriminaloffenses.86 SimilartotheTVisa,theUVisaprovidesaroute topermanentresidency,highlightingthegovernment'sgoaloffosteringtrustbetweenimmigrant populationsandlawenforcement.Despitethis,loopholesintheTandUVisasleadtotheneed forreform.

vii. Deficits in the T & U Visa System

Althoughtheyplayessentialroles,theTandUVisasencounterconsiderableobstaclesto practicalimplementation.Forinstance,theyearlylimitonUVisas(10,000eachfiscalyear)has resultedinsignificantdelays,leavingmanyapplicantswaitingyearsforaresolution.Court rulingsandimmigrationdocumentsshowthatthesedelayshavemadenumerousvictims susceptibletodeportationandhinderedtheiraccesstojobsorsocialservices,compromisingthe protectivepurposeofthevisas.Further,UVisaapplicantscanonlyworklegallyoncetheir petitionsareapprovedandtheyreceiveemploymentauthorization,whichmeanstheyonlyhave alegalsourceofincomeoncetheirpapersaresignedandreturned.Bothvisasnecessitate certificationfromlawenforcementagencies,whichmayposeanadditionalhurdlebecause certainagenciesarereluctanttoendorsecertificationsduetomisconceptionsregardingthe programorconcernsaboutstrainingtheirresources.Thisforcesvictimsintotheinformallabor market,whereexploitationthrives.AdvocateslikeOmarQadeer,animmigrationlawyer,work onU-Visaanddeportationcases.Speakingabouthisfirsthandexperiencesdealingwithillegal immigrationenforcement,heprovidedthoroughinsightintohowcomplexandlengthythe processescanbeandaffirmeditsviolationofConstitutionalAmendments.

BarriersFacedbyImmigrants

viii. Lack of Awareness, Wait-Times, and Mistrust

86 Congress.gov."H.R.3083-106thCongress(1999-2000):BatteredImmigrantWomenProtectionActof1999." July20,2000 https://wwwcongressgov/bill/106th-congress/house-bill/3083

Oneofthemostsignificantbarrierstovictimsreceivingassistanceistheinsufficient knowledgeamongimmigrantsregardingtheirlegalrightsunderU.S.immigrationlaw, specificallythoserelatedtosafeguardsforvictimsoftrafficking.Manyimmigrantsare uninformedabouttheseprotectionsbecauseofinsufficientoutreachandalackofculturallyand linguisticallysuitableresources.Enhancededucationcampaignsarenecessarytogive immigrantscrucialinformationabouttheirrightsandresourcesduetotheirlackoflegal awareness.TheassuranceofsafetytheTVPAprovidesisweakenedbythelengthyprocessing periodforT-Visas.DatafromUSCISshowsthatT-Visaapplicationstypicallyrequiremorethan ayearforprocessing,leavingsurvivorsoftraffickingwithuncertainlegalstatus.Thedelays violatetheDueProcessClauseoftheFifthAmendment,ensuringfairandtimelyclaims resolution.Victimsfearthattheymaybedetainedordeportediftheyreporttheirtraffickers, especiallyiftheyarestillwaitingfortheirpetitions.Thislackoftrustisfurtherperpetuatedby thefailureoftheFourthAmendmenttoadequatelydefendimmigrantsagainstunlawfulsearches underthecontextofimmigrationenforcement.

Conclusion

Therelationshipbetweenstrictimmigrationenforcementandtraffickingemphasizesthe criticalnecessityforlegalreform.AfterreviewingtheconstitutionalprinciplesintheFourth, Fifth,andFourteenthAmendments,itisevidentthatexistingimmigrationpoliciesfrequently violatefundamentalrights.Immigranttraffickingvictimsaredisproportionatelyaffectedbythe fearofdeportation,unsafedetentionconditions,lackofdueprocessduringcollateralarrests,and implicitbiasesinenforcementpractices.AlthoughUandTVisaswerecreatedtoaddressthese issues,obstacleslikeimmigrant’slackofknowledge,lengthyprocessingtimes,anddistrustof officialsimpedetheirsuccess.Educatinglawenforcementonhowtoidentifytraffickingand

offerculturallysensitive,victim-focusedassistancecanenhanceeffortstodisrupttrafficking operationswhileprotectingcivilliberties.Bysynchronizingimmigrationpolicywith constitutionalbeliefsandfocusingonprotectingvictims,theUnitedStatescanmakeacrucial moveinthefightagainsthumantraffickingandcreatepoliciesandprogramsthateducateand empowerimmigrants.Ensuringtheconstitutionalrightsanddignityofeveryperson,regardless oftheirimmigrationstatus,isessentialincombatinghumantraffickingandbuildingafairer society.

THEEVOLUTIONOFDEFAMATIONLAW

WRITTENBYLEAHBUSHRA|EDITEDBYALEJANDRAAFANADOR

Introduction

i. Definition

IntheUnitedStates,defamationlawaddressesthedamagescausedbyspreadingfalse informationaboutanindividual.CornellLawSchool’sLegalInformationInstitutedefines defamationasastatementthatdamagesathirdparty’scharacterorreputation.87 Defamation manifestsintwoprimaryforms:libelandslander.Libelinvolvesthewrittenorgraphic publicationoffalseinformation.Slanderinvolvestheverbalstatementoffalseinformation.With thesestructureddefinitions,eachstatevariesintheelementsnecessarytomakealibelorslander claim.InNewJersey,theseelementsareafalseorincorrectstatementabouttheplaintiff,the disseminationofthisstatementtothirdparties,proofofthedefendant’snegligentacting,and damagesorlosstotheplaintiffbecauseofthestatements.88 Defamationlawalsodiffersbasedon theplaintiff’sstatus.Iftheplaintiffisapublicfigure,theymustprovethatthedefendantactedin actualmalice,whereasiftheplaintiffisaprivateindividual,thethresholdislower.Theplaintiff mustonlyprovethatthedefendantactedwithnegligence.Theactualmalicestandardisdefined asthedefendant'sknowledgeofthefalsedefamatorystatement,suchaspurposefullyspreadinga statementtospreadfalseinformation.However,thestandardofnegligenceisdefinedasfailing tousereasonablecarewhenspreadingadefamatorystatement,suchasnotmakinganeffortto fact-checkastatementbeforepublishingit.89 Publicfiguresaredeterminedbasedonwhetherthe individualhasheldaroleofimportanceinthepublicaffairsofasociety,suchasacelebrityor

87“Defamation”LegalInformationInstitute,LegalInformationInstitute,accessedNovember8,2024, wwwlawcornelledu/wex/defamation

88“Defamation”PBS,PublicBroadcastingService,accessedNovember8,2024, wwwpbsorg/standards/media-law-101/defamation/

89“DigitalMediaLawProject.”NewJerseyDefamationLaw|DigitalMediaLawProject,accessedNovember8, 2024,wwwdmlporg/legal-guide/new-jersey-defamation-law

governmentofficial,asestablishedin Gertz v. Robert Welch Inc. (1974).90 Defamationlawwas establishedtoprotectindividualsfromharmfulmisinformation.However,currentchallenges surroundingonlinedefamationdemandareexaminationandrevisionoftheselaws.

ii. Role of Defamation Law

Defamationlawprotectscitizensfromharmfulmisinformation;itprotectsindividuals andtheirreputationsfromfalsestatementsthatmaycausefurtherharm.Thislegalframework allowsindividualstotakethenecessarystepstoprotectthemselvesfromdefamatorystatements, whichcancausefinancialandinsomecases,physicaldamage.However,acommondebateis thebalancebetweenprotectingFirstAmendmentrights,specificallyfreedomofspeech,and enforcingdefamationlaws.DarioMilo,arenownedlawyer,lawschoolprofessor,andauthorof Defamation and Freedom of Speech,arguesthatdefamationlawsmustberevisedtoequally protectpublicinterestspeechandthehonorofindividualsCourt’srulingin New York Times Company v. Sullivan (1964). Thisalsoemphasizesthelegalstandardsthatallowforadefense regardingtheFirstAmendment,balancingtheprotectionofthesefreespeechrightswiththe righttoprotectoneselffromdefamatorystatements.The New York Times Company v. Sullivan (1964) rulingwasalandmarkdecisionthatsecuredprotectionsforthosewhospeakonpublic officials,solidifyingthethresholdofwhatisdefamationandwhatisnot.Thoughfreespeechisa cornerstoneofAmericandemocracy,itisofequalimportancetoalsoensurethattheprotection oftheseconstitutionalrightsdoesnotinfringeupontherightsofothers.Defamationlaw establishesaframeworkthatallowsindividualstopursuelegalactionandjusticewhenfalse informationisspreadaboutthem.Inessence,defamationlawhelpstomaintainorderaswellas trustandtransparencyinprofessionalandpersonalinteractions.

90“PublicFigure.”LegalInformationInstitute,accessedNovember8,2024, https://wwwlawcornelledu/wex/public figure

iii. Origins of Defamation Law

TheUnitedStateslegalsystemisover200yearsold.TheAmericanlegalsystembegan fromacrosstheAtlantic,modelingitselfaftercenturies-oldEnglishcommonlaw.Muchofthe AmericanlegalsystemmaintainsEnglishcommonlawroots,suchastheconceptofprecedence andjurytrials.91 Commonlawisdefinedasasystemoflawthatisbasedonprecedentsrather thanstatutes.However,amajordiversionfromtheblueprintofEnglishcommonlawisthe UnitedStates’adoptionofdefamationlaw.ThroughouttheestablishmentoftheUnitedStates, theFoundingFathersbegantorewritecommonlawtoresemblethevaluesoftheirnewfound nation.Forexample,intheEnglishLegalSystem,theburdenofproofindefamationlawcasesis placedonthedefendant.ThiswasrejectedbytheUnitedStatesbecauseofthecontradictiontoa fundamentalpartoftheFoundingFathers’visionfortheirnewnation:therighttothe presumptionofinnocence,meaningthatinanAmericancourtoflaw,thedefendantispresumed innocentuntilguilty,andtherighttofreedomofspeech.92

iv. Adaptation into the United States Legal System

ThoughtheinitialframeworkofdefamationlawcamefromEnglishcommonlaw,the UnitedStatesquicklyalteredthatstructuretofitthevaluesoftheirnewfoundnation.Inthe1735 trialofJohnPeterZenger,apublisherforthe New York Weekly Journal,hewasbeingtriedfor thepublishingofseditiouslibelregardingthecolonialgovernor,WilliamCosby.Thematerial thatwaspublishedincludedsatiricalarticlesthataccusedCosby’sadministrationoftyrannyand humanrightsviolations.Atthetime,underEnglishlawstandards,thetruthofthestatementswas

91Kim,Jasper American law 101: An easy primer on the U S Legal System Chicago,IL:AmericanBar Association,2015

92Samson,Elizabeth. The Burden to Prove Libel: A Comparative Analysis of Traditional English and U S Defamation Laws and the Dawn of England's Modern Day SocialScienceResearchNetwork, 2012

nottobeconsideredwhendeterminingtheguiltofthedefendant.However,Zenger'sattorney, AnthonyHamilton,askedthejuryinhisclosingremarkstoconsiderthetruthofthestatements publishedratherthanwhetherZengerpublishedthem.Thejuryexercisedjurynullification,93 a practicewherethejuryusestheirdiscretiontodelivera“notguilty”verdictbecausetheymay feelthechargeisunjustorthepunishmentwasunnecessarilyharsh.Thistrialinfluencedthe righttofreedomofspeechnowprotectedintheUnitedStatesBillofRights.Beforethiscase, therewasnoestablishedprocedureforhandlinglibelcasesinvolvingsatiricalmaterial.However, followingtheZengercase,agatewaywasopenedforwritersandpublisherstoopenlycritique thegovernment,creatingthepathwaytofreedomofspeech.94 Similarly,inthe1804trialof HarryCroswell,hewasconvictedofpublishingseditiouslibelaboutthePresidentatthetime, ThomasJefferson,inhisnewspaper, The Wasp.CitingtheConstitution,Croswell’sattorney, AlexanderHamilton,arguedinfrontoftheNewYorkSupremeCourtthatCroswellwas exercisinghisrighttofreedomofthepress,allowinghimtopublishtruestatements.Atthetime, Croswell’sconvictionwasmaintainedbecausethecourtupheldtheprecedentestablished originally,whichdisregardedwhetherornotlibelousstatementsweretrue.IntheZengercase, thejuryperformedjurynullificationtogetaroundthisprecedent,thoughthatpowerwasnot exercisedinthistrial.Nonetheless,thiscaseresultedintheestablishmentoftheinclusionof truthinthedefenseagainstlibelcharges.Thispresumptionoftruthalsolaterledtotheburdenof prooflyingwiththeprosecution.95 ThoughdefamationlawcamefromanEnglishlegalstructure, thedevelopmentoftheUnitedStatesasasovereignnationcreatedaframeworkthatupheldthe newfoundvaluesofAmerica.

93“Crownv JohnPeterZenger,1735”HistoricalSocietyoftheNewYorkCourts,October14, 2021,https://historynycourtsgov/case/crown-v-zenger/

94Olson,Alison “TheZengerCaseRevisited:Satire,SeditionandPoliticalDebateinEighteenthCenturyAmerica” Early American Literature 35,no 3(2000):223-245

95Samson,Elizabeth. The Burden to Prove Libel: A Comparative Analysis of Traditional English and U S Defamation Laws and the Dawn of England's Modern Day SocialScienceResearchNetwork, 2012

AnotherdefiningfactorofdefamationlawintheUnitedStatesisthedifferingthreshold indefamationcasesregardingpublicfiguresversusprivateindividuals.Morespecifically, New York Times Company v. Sullivan introducedtheconceptofactualmalice,and Gertz v. Robert Welch Inc. establisheddifferentprotectionsforpublicfiguresandprivateindividuals. Gertz also upheldthatstatescancreatetheirstandardsoffaultfordefamationlawsregardingprivate individuals,whilemaintainingthatifthestate’sstandardsoffaultarelowerthanthestandardof actualmalice,thentheplaintiffcanonlybeawardedactualdamages,whichisthedirect equivalenttothelosssuffered.

KeyLandmarkCases

v. New York Times Company v. Sullivan (1964)

Inthe New York Times Company v. Sullivan (1964) decision,theSupremeCourtruled thatincasesofdefamation,thepetitionermustprovethatthedefendantactedwithactualmalice, definedastheknowledgethattheinformationbeingspreadwasfalseortherecklessnessin determiningtheinformation'saccuracy.The New York Times wassuedforallegedlydefaming MontgomerypolicecommissionerL.B.Sullivan,whowasinitiallyawarded$500,000,asper Alabamastatelaw 96 TheSupremeCourtoverturnedthisruling,decidingthatonlydetermining thefalsityofastatementisnotenoughtoprovethatthedefendantdefamedtheplaintiff.This createdaprecedentthattheplaintiffmustprovethatthedefendantactedwith“actualmalice.”97 vi. Gertz v. Robert Welch Inc. (1974)

Tenyearslater,inthe Gertz v. Robert Welch Inc. (1974) decision,theSupremeCourt ruledthattheactualmalicestandardestablishedin New York Times v. Sullivan (1964) wasnot relevantbecauseGertzwasaprivateindividual.ElmerGertzwasanattorneywhohad

96 NewYorkTimesCompanyv.Sullivan,376U.S.254(1964).https://www.oyez.org/cases/1963/39

97NewYorkTimesCompanyv Sullivan,376US 254(1964) https://wwwoyezorg/cases/1963/39

defamatorystatementspublishedagainsthiminamagazinebecauseofhisclientelechoice.A juryruledinGertz’sfavorandawardedhim$50,000.Soonafter,thetrialjudgeruledthatThe NewYorkTimesdidnotviolatetheactualmalicestandardestablishedin New York Times v Sullivan (1964). Afterthecircuitcourtsupheldthisruling,theSupremeCourtoverturnedthe lowercourt’sdecisionbyconcludingthatindefamationcasesregardingprivateindividualsonly proofofrecklessnessisnecessarytosuccessfullymakeaclaim.Recklessnessisdefinedasthe lackofcareinresearchingtheaccuracyofstatementsbeforetheyaremade.TheCourt establishedthatprivatecitizensaregrantedmoreprotectionfromdefamatorystatementsthan publicofficialsandfigures,recognizingthatprivateindividualshavelesscapabilitytodefend themselvesagainstlibelandslanderthanpublicindividuals.Inthissameruling,theCourt establishedthatindividualstatesmaycreatetheirstandardsoffaultfordefamationagainst privateindividuals,aslongasthestate’slawsdonotinfringeupontherightthepresspossesses.98 Theselandmarkcasesoutlinedthestandardsforwhichdefamationisdeterminedbyprotecting therightsofprivateindividualswhilealsomaintainingtherighttothefreedomofthepress.

ModernDevelopments

Theemergenceofsocialmediahasmadeitdifficulttonavigatetheprotectionofthe rightsofprivateindividualsandFirstAmendmentrights.Socialmediaplatformssuchas FacebookandInstagramallowforrapiddisseminationofinformationwithminorfact-checking. Thiscausesmajorimplicationsforindividualswhofeeltheforceofdefamatorystatements becausedamagecontrolisdifficultwhentheinternetisforever.

vii.

Impact of Social Media

Themainissuesocialmediaposestotheprotectionofindividualsfromdefamationisthe abilityforanyindividualinanyplaceatanytimetopostanythingtheywant.Thisdetrimental

98Gertzv RobertWelchInc,418US 323(1974) https://wwwoyezorg/cases/1973/72-617

featureofsocialmediahascausedimmenseharmtothosewhoareonthereceivingendof defamation.Twomajorcasesthatwereescalatedbythepresenceofsocialmediaare E. Jean Carroll v. Donald J. Trump (2023) and Freeman v. Giuliani (2023).Inthe Carroll v. Trump (2023) case,CarrollaccusedTrumpofsexualassaultinherbook,andTrumpfollowedwith statementsaboutCarroll’scharacterandclaimedallofheraccusationswerefalseduringhis presidency.Inarelatedcase,named Carroll II, Trumpwasfoundliableforsexualabuseand defamationusingTwitter.Trump’suseofsocialmediaandhissocialplatformtospreadthese claimsdamagedCarroll’sreputation,career,andemotionalwell-being.99 In Freeman v. Giuliani (2023),GeorgiaelectionworkerRubyFreemanandhermother,WandreaMoss,becamethe subjectsofRudyGiuliani’sdefamatorystatementsattemptingtounderminethe2020election. Giuliani’sdefamatorystatementsthreatenedthelivesofFreemanandMoss,whofacedracist remarksandharassment.100 Theimpactontheplaintiffssurgedbecauseoftheaccessibilityof socialmedia,makingiteasierforpeopletoharassothersfromthecomfortoftheirownhomes.

viii. Cyber Defamation

Socialmediahasalsoexacerbatedtheissueofonline defamationbecauseoftheblurred linesbetweenwhoisapublicfigure.Individualswhohavenopriorpublicplatformscan suddenlydevelopanaudience.Thisnewdevelopmentincultureintroducestheimplicationof anonymousandpseudonymousdefamatoryspeech.Anonymousspeechisprotectedunderthe FirstAmendment,suchasincasesofwhistleblowers.However,thisprotectionofanonymous speakersposesissueswhenaddressingtheprotectionofindividuals’rightsagainstbeing defamed.CNNLegalCounselFrankLoMontestatedinaninterviewthat“thecourtsseemtobe sayingthatifapersoncomesforwardandshowsthattheyhavealltheingredientsfora

99Carrollv.Trump,20-cv-7311

100FreemanvGiuliani,21-3354

successfullibelclaim,andtheyhaveexhaustedeveryotherpossibilityforlocatingthespeaker, thentheonlineplatformpostingthespeechcanbecompelledtoturnovertheidentifying information.”Thoughthisisasolution,therearealsojurisdictionalrestrictionsthatwillprevent aplaintifffromreceivingdamages.Whenthespeakerisunmaskediftheyliveoutsideofthe UnitedStates,itisunrealisticthatthespeakerwillbebroughttoanAmericancourt,sothereis littleaplaintiffandtheirattorneycandototryandreceivedamageswithintheUnitedStates. Cyberdefamationproducesmanynewissuesthatcallonlawmakerstoadaptthelawto accommodatethesenewdangers.

FutureTrendsinDefamationLaw

ix. Potential Legal Reforms

Withthesenewfoundissuesarisingbecauseofthesocialmediarevolution,lawmakers havebeensearchingforwaystoadaptthelawtoattacktheseissues.Onesuchadaptationisthe efforttoreinterpretSection230oftheCommunicationsDecencyAct.Section230ofthe CommunicationsDecencyActestablishesprotectionsfortheplatformswheredefamatory statementsmaybepublished.Thissectionprotectstheseplatformsfromanyfaultofthe statementbeingpublishedinthefirstplaceorthelackofeffortstoremoveitfromthe platform.101 CNNLegalCounselFrankLoMontecommentsthatthereareeffortstorepealor reformSection230,andthoseeffortsaremadeundertheargumentthattheseplatformsare benefittingfromtheengagementwiththesestatements,sotheyshouldbeheldlegally accountableforwhatusersontheirplatformsay.AlegislativeproposalundertheHouseEnergy andCommerceCongressionalCommitteeto“sunset”Section230oftheCommunications DecencyActhasbeenrecentlyputforward.TheproposalsuggeststhatSection230mustbe reformedtoincludethecontextofgenerativeartificialintelligence(AI)aswellaseliminating 101 47USC §230

Section230protectionsforplatformsthatexploitchildren.102 IfSection230isreformedor relaxed,thiswillmeanthatplatformswheredefamatorystatementsarepublishedmaybeheld legallyaccountableforthestatementstheiruserspublish.

Conclusion

DefamationlawhasgonethroughasignificanttransformationintheUnitedStates,from itscommonlaworiginstoitscurrentinterpretationinasocialmediaage,wherethespreadof misinformationatnewfoundspeedsposesnewchallenges.ThoughlandmarkSupremeCourt cases,suchas New York Times v. Sullivan (1964) and Gertz v. Robert Welch, Inc. (1974), having initiallyshapedtheframeworkforthebalanceofFirstAmendmentprotectionsandindividual reputationprotections,lawmakersandthejudiciarymustcontinuetonavigatetheintricaciesof publicandprivatespeech.

Ascyberdefamationandtheimpactofanonymousandpseudonymousspeechcontinue togrow,itisclearthatcurrentdefamationlawsmustbereevaluatedandadaptedtomeetthenew demandsofthisdigitalage.Thebalancebetweenprotectingindividualsfromfalsestatements andprotectingtherighttofreespeechwillremainacriticalchallengeforlawmakers,courts,and thepublicforyearstocome.

102 Congress.gov."LegislativeProposaltoSunsetSection230oftheCommunicationsDecencyAct."November22, 2024 https://wwwcongressgov/event/118th-congress/house-event/117342

EVOLUTIONOFFREEEXPRESSIONCENSORSHIPINAMERICA:HISTORICAL

FOUNDATIONS,LEGALMILESTONES,ANDTHEFUTUREOFSPEECHINA

DIGITALAGE

WRITTENBYALISAID|EDITEDBYANJALIDARJI

Introduction

FreeexpressionisoneofthecentraltenetsofAmericandemocracy.Itsessencehasbeen dissectedsincebeforethefoundingoftheUnitedStatesofAmericaandhasseenmanychanges initsperceptionthroughouthistory.Thecontextsurroundingthehistoricalperceptionoffree expressionisnecessarytopromoteacompleteunderstandingofitsimportance.Freespeechis themostdebatedconstitutionalrightandwillcontinuetoseealterationstoitsapplication.

FoundationsoftheFirstAmendment i. Beginnings of the Bill of Rights

WhiletherightstofreedomofexpressioninAmericawerecodifiedwiththeBillof Rights,smallergovernmentalbodieshadplantedtheFirstAmendment’sbeginningsevenbefore theDeclarationofIndependence.In1663and1689,thecoloniesofRhodeIslandand Connecticut,respectively,passedactsallowingforreligiousfreedom.103 Thecolonies'early libertygrantssowedtheseedsoftheConstitutionandBillofRights.

AmidtheRevolutionaryWar,theContinentalCongressurgedthestatestocreatetheir Constitutions.June1776markedtheestablishmentofVirginia’sConstitution,draftedbyGeorge Mason,JamesMadison,andothers,whichwasparticularlyimportantinestablishingother importantdocuments.104 Virginia’sConstitutionincludedinitadeclarationofrightsthatasserted thatfreedomofthepressandfreedomofreligionwerenon-negotiablerights,whichwas

103 First Amendment timeline TheFreeSpeechCenter (2024,June19) https://firstamendmentmtsuedu/first-amendment-timeline/

104 First Amendment timeline TheFreeSpeechCenter (2024,June19)

paramountinthatitledtotheestablishmentoffreeexpressiononafederallevel.Itwasusednot onlyinthewritingofotherstateConstitutions,butThomasJeffersondrewinspirationfromit whendraftingtheDeclarationofIndependence,andJamesMadisondrewideasfromitwhen draftingtheBillofRights.105 TheVirginiaConstitutionlaidthefoundationforgrantingmany rightsthatdeterminetheentirestructureofoursocietyandgovernment.

In1776,AmericadeclareditsindependencefromtheBritish.Thedeclarationembodied theidealsoffreespeech,attackingKingGeorgeIIIforfailingtogivehispeopleavoice.It servedasasymbolicwarningtoallofthoseinpowerofthepossibleconsequencesofcensoring theexpressionoftheirpeople’sideas.TheArticlesofConfederationwerethenratifiedin1781 anddidnotincludeaprovisionforfederallyguaranteedfreedomofexpressionorspeech,asthey leftthisuptothestates.TheseArticleswerecastasidein1987whentheConstitutionwas ratified.ThisConstitutionwasamendedin1791,withthefirstamendmentthat,“Congressshall makenolawrespectinganestablishmentofreligionorprohibitingthefreeexercisethereof;or abridgingthefreedomofspeech,orofthepress;ortherightofthepeoplepeaceablyto assemble,andtopetitionthegovernmentforaredressofgrievance.”106 Thevaguewordingof theFirstAmendmenthascausedmanyinterpretationsoverwhichexactbehaviorsitprotectsand ispredictedtocausemoreinthefuture.

TheEvolutionofFreeSpeechCensorship

ii. Gitlow V. New York

FreedomofSpeechhasbeenthetopicoflandmarkcases,executiveacts,andfederaland statelegislation.Oneofthemostconsequentialrulingsprotectingtherightoffreespeechwasthe

105 TheVirginiaDeclarationofRights NationalConstitutionCenter–constitutioncenterorg (nd-b) https://constitutioncenterorg/museum/historic-document-library/detail/the-virginia-declaration-of-rights

106 US Constitution-FirstAmendment|Resources|ConstitutionAnnotated|congressgov|LibraryofCongress (n.d.).https://constitution.congress.gov/constitution/amendment-1/

1925caseof Gitlow v. New York.BenjaminGitlowwasasocialistAmericanpoliticianwho publishedaleft-wingmanifestointhestateofNewYork,inwhichheadvocatedforsocialist ideas.5 Thismanifestogainedtractionbutdidnotcauseanyviolence.Gitlowwasarrestedfor publishingthepiecebecauseheviolatedalawinNewYorkatthetimecalledtheAnarchyLaw, whichprohibitedtheadvocacyofaforcefuloverthrowofthegovernment.Inthiscase,theCourt facedtheissueofwhatpreciselytheAnarchylawstoodforandifitviolatedtheFirst Amendmentbyprohibitingspeechcallingfortheoverthrowofthegovernment.Themajority opinionfromJusticeEdwardSanfordruledthatwhiletheFirstAmendmentprotectedcritical speechofstateandlocalgovernments,hebelievedtheAnarchylawwasnotinviolationofthe Constitutionbecausethelawonlyprohibitedoverthrows.5 Hethoughtthemanifestowasan incitementofviolenceandthatthestatehadtheresponsibilityandabilitytosquashit.Justice OliverWendellHolmesJr.dissented,arguingthatGitlow’smanifestowasacollectionofideas andtheories.Inhismind,anyideaisan“incitement”;itisuptothepeoplewhethertheywantto internalizeandactontheseideas.Hearguedtherewasno“clearandpresentdanger”sparkedby themanifesto,andbecauseofthis,itwasalawfulexpression.107 Hefurtherclaimedthatthe manifestowasnotadvocatingfortheforcefuloverthrowofthegovernmentonaspecificdatebut simplyofferinguppoliticalideasforconsiderationtothepublic,whichtheFirstAmendment entirelyprotects.Withouttheabilityforthepeopletocriticizethestates,thestateswere effectivelybarredfromanyresponsibilitytotheirresidents,astheycouldactnegligentlytowards theirpeopleandfacenoconsequences.Untilthiscase,theprotectionsoftheFirstAmendmentin termsofcriticizinggovernmentactivityappliedtoactscarriedoutbythefederalgovernment.In Gitlow,theFirstAmendmentprotectionsoffreedomofspeech–specificallyitsclauseallowing

107 Gitlow v New York (1925) NationalConstitutionCenter–constitutioncenterorg (nd-a) https://constitutioncenter.org/the-constitution/supreme-court-case-library/gitlow-v-new-york

forthequestioningofgovernment–wereextendedtotheconductofstategovernments.Inthis incorporationprocess,theCourtappliedabroadfederalconstitutionalprincipleona state-to-statebasis,thefirstofitskindfortherighttofreespeech.

iii. National Socialist Party of America v. Village of Skokie

Asimilarlandmarkcaseforfreespeechtookplacein1977,titled National Socialist Party of America v. Village of Skokie.ThiscasedealtwiththeFirstAmendment'sviewofwhat constituteshatespeechandwhetheranassemblyofpeopleadvocatingforwhatsomewouldcall hatespeechisprotected.TheNationalSocialistPartyofAmerica,ortheNSPA,wasaNeo-Nazi groupheadquarteredinChicago,Illinois.TheNSPAinitiallyregularlymarchedinChicago,but whenthecityofChicagobegantochargeapublicinsurancefeeof$350,000,theNSPAstarted tolookelsewhere.6 Theysentletterstosurroundingsuburbsrequestingtheabilityto demonstrate,andthemayorofSkokieaccepted,withtheideathetownwouldignorethe demonstrationsandmitigatetheirpublicity.SkokiehousedaconsiderablysizableJewish population,manyofwhichwereHolocaustsurvivors,whorelentlesslyvocalizedtheiropposition tothisdecision.ThetownofSkokiethenpassedordinancesthatindirectlylimitedtheabilityof theNSPAtodemonstrate,suchasbanningthewearingofmilitaryuniformsduring demonstrationsandbanningthedisplayofhatefulsymbolsatdemonstrations.Likethecityof Chicago,theyalsobegantorequirea$350,000feeforlarge,organizedpublicdemonstrations.108 TheNSPAtookactionagainstthecity,arguingthatSkokieviolatedtheirFirstAmendmentrights anddidnotallowthemtodemonstratepublicly.Theybelievedtheywereentitledtospeakand assemblepeacefullyinpublicregardlessoftheirviews.StateappellateCourtsruledinfavorof thecity,banningtheparadingofswastikasirrespectiveofhowpeacefultheirprotestswere.The

108 Nazis now plan July 4 demonstration in Skokie OmekaRSS (nd) https://skokiehistory.omeka.net/items/show/155

caseeventuallyreachedtheSupremeCourt,wheretheCourtreversed.Itremandedthelower courts’decision,statingthatforastatetorestrictFirstAmendmentrights,itmustprovide“strict proceduralsafeguards,includingappellatereview…absentsuchreview,thestatemustinstead allowastay.”109 Onceagain,theSupremeCourttookmeasurestolimittheabilityofthestatesto regulatetheFirstAmendmentrightsofitsresidents.Atitscore,theSupremeCourt’sdecision reaffirmedthattheFirstAmendmentevenprotectsspeechconsideredhatefuloroffensivebythe majority.TheyeffectivelyallowedtheNSPAtodemonstratebyreversingandremandingthis decision.TheCourtemphasizedthatrestrictionsonfreespeech,especiallybythestates,mustbe metwith“strictproceduralsafeguards.”6 Thisrequirementensuresthatanyattempttolimit speechmustgothroughimmediatejudicialrevieworallowforastay,underscoringtheCourt’s dedicationtopreventingunduegovernmentinterferencewithfreeexpression.Byaffirmingthese principles,theSupremeCourtreinforcedthe“contentneutrality”doctrine,whichmandatesthat lawsrestrictingspeechcannotdiscriminatebasedontheideasormessagesthespeakeris conveying.110 Thiscasedemonstratedthatprotectingspeech,evenhatespeech,isnecessaryto preventaslipperyslopewheregovernmentsmightstifleanyexpressionseenasdisagreeableor disruptive,thusposingarisktoallformsofdissentagainstthegovernment.Forresidentsof Skokie,manyofwhomwereHolocaustsurvivors,theNSPA’splanneddemonstrationwasnotan abstractlegalissuebutaprofoundlypersonalthreat,sparkingstrongopposition.Allowingthe NSPAtomarch,evenwithouttheswastika,couldbepercievedasanendorsementofmessages thatcontradictsharedsocietalvalues,likeequalityanddignity.Yet,bygrantingthisspeech

109 National Socialist Party of America v village of Skokie, 432 U S 43 (1977) JustiaLaw (nd) https://supremejustiacom/cases/federal/us/432/43/

110 Content neutral TheFreeSpeechCenter (2024a,July2) https://firstamendmentmtsuedu/article/content-neutral/#:~:text=the%20Associated%20Press)-,Content%20neutral %20refers%20to%20laws%20that%20apply%20to%20all%20expression,with%20the%20message%20it%20convey s.%E2%80%9D

protection,thecasehighlightedtheuncomfortablebutcriticalaspectoffreeexpression:it protectsboththevaluedandthedetested,forcingcommunitiestotolerateunpopularspeechto upholdbroaderfreedoms.

iv. Citizens United v. FEC

Thecaseof Citizens United v. FEC isalandmarkcaseintherealmofpoliticalspeech. Fundamentalquestionsaboutdigitalcommunicationsandpoliticalspeechwereattheheartof thiscase,bothhaveimplicationsboundtostretchfarintotoday'sincreasinglypolarizeddigital age.CitizensUnited,anonprofitorganization,wasintheprocessofairingafilmcalled Hillary: The Movie,whichcontainedmanycritiquesofthen-presidential candidateClinton.Becauseofits critiquesofClinton,themoviefellundertheBCRA,ortheBipartisanCampaignReformAct, whichaimedtolimittheinfluenceofcorporationsonfederalelections.Thefilmwasdeemedas anelectioneeringcommunication,whichtheBCRAsaidcouldnotbereleasedwithin30daysof aprimarynor60daysofafederalelection.111 CitizensUnitedchallengedthis,statingthatthis wasalimitonthefreespeechofcorporations,ascourtshavegenerallyruledsincethe1800sthat organizations,becausetheyaresimplygroupsofpeople,arealsoentitledtothefreedomof speech.TheSupremeCourtruledinfavorofCitizensUnited,agreeingthatlimitationson organizationstopromotepoliticalcandidatesareindeedrestrictionsoftheirfreespeechandthat thisisnotdifferentfromthegovernmentcensoringthefreespeechofindividuals.112 Inthiscase, aconflictarisesbetweenfairpromotionofideasandfreedomofspeech.Moneyisamediumof speechinpolitics,andtherulingofthiscase,inessence,allowsforthepeoplewiththemost moneytohavethemostprominentspeech.Becausethewealthiestpeoplecanpromotetheir

111 Citizens United v Federal Election Commission (2010) TheFreeSpeechCenter (2024a,July2) https://firstamendmentmtsuedu/article/citizens-united-v-federal-election-commission/

112 "CitizensUnitedv.FederalElectionCommission."Oyez.AccessedNovember8,2024. https://www.oyez.org/cases/2008/08-205.

ideasfurther,theyeffectivelycanhavetheirvoicesheardbyalargeraudience.Limitingthe amountofmoneythatcouldbespent,ortheamountoftimeinwhichthismoneycouldbe earned,wouldeffectivelylimittheorganization’sspeech.Thus,theportionoftheBCRAthat limitsthetimethemoviecanbeairedwasshotdown.

TheFutureofFreeSpeechCensorship v. Free Speech and Social Media

Inthisincreasinglydigitalworld,newpointsofconflictwiththeideaoffreespeechare boundtoarise.TheriseofsocialmediaplatformslikeFacebook,Instagram,andXhasallowed forunprecedentedopportunitiesforindividualstoexpressopinions,shareinformation,and engageinpublicdiscourse.Duetotheamountofexpression,theseplatformshaveimplemented comprehensivecontentmoderationpolicies,raisingconcernsabouttheregulationofspeechand thepotentialforbiasorcensorship.Thelinesbetweenprotectedandunprotectedspeechhave beenblurredevenmoreextensivelybecauseofthis,andmanycorporationsarenowatthehelm ofdecidingbetweenthetwo.Forexample,inthe2024caseof Murthy v. Missouri,theCourt addressedtheboundariesofgovernmentinvolvementconcerningsocialmediacontent moderation.ThecasearosefromthestatesofMissouriandLouisianaandseveralother plaintiffs,whoallegedthatseveralgovernmentagencies,suchastheCenterforDiseaseControl, pressuredsocialmediaplatformslikeFacebookandTwittertoremovecontentcontaining conspiratoryrhetoricrelatingtoCOVID-19andthe2020presidentialelection.113 Thiscase addressedwhethergovernmententitiespressuringprivateentitiestocensorspeechviolatesthe FirstAmendment,andthecourtruledtherewasinsufficientevidencetosupporttheplaintiffs.In themajorityopinion,AmyConeyBarrettwrotethatitwasimpossible,inthiscase,todistinguish

113 "Murthyv.Missouri."Oyez.AccessedNovember20,2024.https://www.oyez.org/cases/2023/23-411.

whatthesocialmediacompaniesmighthavedoneontheirownversuswhattheyhaddonewith governmentsuggestions.12 Inhereyes,socialmediacompaniesoftencensorspeechlikethison theirown,anditisunreasonabletopintheiractionsonthegovernment,whosimplymade suggestionsinthewakeofaglobalpandemic.Thispointisdisagreeable,asgovernment pressure,regardlessofhowoutrightorsubtle,stillcomesfromthegovernment,whichhas immensepowerovercorporations.Also,thegovernmentthreatenedtobringantitrustactions againstthesecompanies.JusticeAlito,inhisdissentingopinion,disagreedwithBarrettandthe othersonthesesamegrounds,asVilewrites,“[Alito]furthernotedhowthegovernmenthad leveleda$5billioncivilpenaltyinacaseagainstFacebookinadata-privacycaseandhow Facebookhaddependedonthegovernmenttonegotiateanagreementtomaintainits trans-Atlanticoperations.”114 Regardlessofitssubtlethreats,thegovernmenthasthepowerand abilitytoknockdownanycorporationitdesires.So,anysuggestionthatcompaniesshould censortheirspeechisindeedcoercion.EvenwiththeCenterforDiseaseControl,whileitisnot directlythegovernment,itisagovernment-fundedentity.So,anycensorshipitattemptstoenact bythreateningcorporationsisalsounconstitutional.

vi. Boundaries of Online Censorship

Onepivotalissuewithcensoringspeechlikethisisblurringlinesbetweendangerous misinformationandsimpledissentwithgovernmentactions.WiththeCOVID-19pandemic, regardlessofitsundeniablyconsequentialimpacts,theFirstAmendmentprotectstherightfor peopletovoicetheiropinionsonhowthegovernmenthandlesthematter,whetheragreementor criticism.Itisnotthedutyofthegovernmenttocensorsimpleconspiracytheoriesonthe internet.Still,itisitsjobtoenablehealthyconversationanddiscourseaboutthesetopicsandto

114 Murthy v Missouri (2024) TheFreeSpeechCenter (2024d,October21) https://firstamendment.mtsu.edu/article/murthy-v-missouri-2024/

encourageprivatecompaniestoactastheyseefit.Socialmediaplatformshavebecomethe "townsquares"ofthemodernage,wherepoliticaldiscourse,activism,andpublicdebatethrive. TheFirstAmendmentpledgestofosterspeech,regardlessofhowdisagreeable,ifitposesno clearandpresentdangertoanybody vii. Artificial Intelligence and Free Speech

Theriseofartificialintelligence-generatedcontentanddeepfaketechnologypresents unprecedentedchallengestofreespeech.Beforegettingintothisintersectionoftechnologyand ideas,itisnecessarytodefinethetermdeepfake.Blitzwrites,“Acomputerprogramcanquickly teachitselftorecreateaperson’simageorvoice,manipulateit—likeapuppeteercontrollinga puppet—andblenditseamlesslyintoanenvironmentthepersonneverinhabited.”115 Adeepfake isanartificialvideoorphotorenditionofaperson,place,orthing,whichcanbeprogrammedto doanythingtheimageproducerchooses.Withthisideaoffabricatedinformation,the2012case of United States v. Alvarez holdsrelevance,asinthiscase,theSupremeCourtruledthatpeople’s speechisprotectedevenwhentheydeceiveothersbymakingfalsestatements.Inthiscase, XavierAlvarezliedaboutearningaCongressionalMedalofHonorwhenhehadnevereven servedinbattle.HefacedprosecutionundertheStolenValorAct,whichisafederallawthat prohibitspeoplefromfalselyclaimingtheirreceptionofmilitarymedalsorawards.116

Still,theSupremeCourtfoundthislawunconstitutional,ashisspeech,regardlessofits falsity,wasprotectedundertheFirstAmendmentunlessitcouldbeproventhathisstatements hadcausedanyoneharm.Whilethiscasedealtwithfalsestatements,deepfaketechnologyallows

115 Blitz,MarcJonathan “DeepfakesandOtherNon-TestimonialFalsehoods:WhenIsBeliefManipulation(Not) FirstAmendmentSpeech?”DeepfakesandOtherNon-TestimonialFalsehoods:WhenisBeliefManipulation(Not) FirstAmendmentSpeech?|YaleJournalofLaw&Technology AccessedNovember20,2024 https://yjoltorg/deepfakes-and-other-non-testimonial-falsehoods-when-belief-manipulation-not-first-amendment-spe ech

116 Congress.gov."S.1998-109thCongress(2005-2006):StolenValorActof2005."December20,2006. https://wwwcongressgov/bill/109th-congress/senate-bill/1998

forthecreationofrealistic,falsevisualevidence,whichhasbeenimpossiblethroughouthistory.

Untilnow,photoandvideoevidencehavebeenundeniablyconcreteincourtrooms.Intoday's world,however,theauthenticityofthesevisualformsofevidencecannowbequestioned,anew complicationtofreespeechwithdireconsequences.Intheeventofwar,aciviliancouldmakea deepfakevideoshowingmissilesstrikingNewYorkCity.ThisiswhereaprovisionofJustice Kennedy’sopinioninAlvarezcomesin.Hewrites,“Evenwhenconsideringsomeinstancesof defamationandfraud,theCourthasbeencarefultoinstructthatfalsityalonemaynotsufficeto bringthespeechoutsidetheFirstAmendment.Thestatementmustbeaknowingorreckless falsehood.”

117 Inessence,astatementthatisjustfalseisnotenoughtoviolatetheFirst Amendment,butthisliemustcreateanintentional,clear,andpresentdanger.Thisvideo,while false,intentionallycreatesaclearandpresentdanger,soitwouldnotbeprotectedspeech.

Conclusion

TheevolutionoffreespeechinAmericareflectsanongoingstruggletobalance individuallibertieswithcollectivesecurity.Fromcaseslike Gitlow v. New York in1925to Murthy v. Missouri in2024,thegovernmenthascontinuedtowrestlewithhowexactlyto regulatethespeechofitscitizens.Theboundariesoffreespeechhaveneededvariousrevisions throughcaselawtoensureanenvironmentthatallowsforthebalancebetweenanopensharing ofideasandtheconfinementofsharingharmfulideologies.Today,therapidgrowthofsocial mediaandartificialintelligencetechnologiesamplifythesechallenges,forcingcourtsand policymakerstograpplewithnewquestionsaboutmisinformation,corporateinfluence,andthe authenticityofdigitalcontent.Forexample,courtshaveneverhadtodebatewhetheranimage

117 “UnitedStatesv Alvarez,567US 709(2012)”JustiaLaw AccessedNovember20,2024 https://supremejustiacom/cases/federal/us/567/709/

wasactual,butheadingintothefuture,thiswillbearealproblemtheywillface.WhiletheFirst AmendmentitselfhasitsplaceenshrinedinAmericanpoliticalphilosophy,thefuturewill presentevenmoredifficultieswithdeterminingwhattocensor.Thesetopicsareboundtospark fiercedebateinthisnation,andsolvingtheseproblemswillrequireablendofanunderstanding oftheframers'intentionsandaconsiderationofhowtoaccuratelyapplytheseprinciplestoa societyexperiencingrapidtechnologicaladvances.118

118 ThispaperhasbeenreviewedbySabrinaMirza MirzaisalawyerwhoworksforanorganizationcalledJustice forAll Shespecializesininternationallawandhasbeenattheheadofvariousmultimediacampaignshighlighting theimportanceoftheFreedomofExpressionformarginalizedpopulationsallaroundtheworld,notablyhuman rightscrisesoccurringinKashmirandGaza.

HOWTHECONSTITUTIONSHAPESPOLICING

WRITTENBYAVAPALMER|EDITEDBYMAYAGUENNOUNI

Introduction

i. Constitutional Protections Overview

Inademocraticsociety,effectivepolicingbalancespublicsafetyandindividual freedoms.TheU.S.Constitutionisthefoundationfortheseprotectionsthatarepivotalin deterringpoliceconductbysafeguardingindividuallibertiesagainstthepotentialmisuseofthe law.AlthoughtheU.S.Constitutionoffersimportantsafeguardsagainstgovernmentoverreach, thispapercontendsthatitsinterpretationfrequentlyleadstoconflictbetweenpreservingcivil libertiesandmeetingthepragmaticrequirementsoflawenforcement.TheFourth,Fifth,and SixthAmendments,whichinfluencemodernpolicingtechniquesandtheongoingconversation oncivilrights,arewherethesedynamicsaremostnoticeable.TheFourthAmendmentprotects citizensagainstunreasonablesearchesandseizures,asdemonstratedbylawenforcement’s requirementtoobtainawarrantissuedbyprobablecauseforsearchesthatwouldviolate reasonableexpectationsofprivacy.Thisexpectationofprivacy,asestablishedin Katz v. United States, 389 U.S. 347 (1967), playsanimportantroleinFourthAmendmentinterpretations.It protectsindividualsfromwarrantlesssearchesorseizuresoftheirpersonorpropertyinsituations wheretheyhavethatexpectationofprivacythatsocietyrecognizesasreasonable.This safeguardscitizensbyservingasacheckonlawenforcement,asithelpsdeterminewhether governmentactionhasinfringedonsomeone’sprivacyrights.119 TheFifthAmendmentprotects againstdoublejeopardyandself-incrimination,ensuringthatindividualsintheUnitedStatesare notunfairlyprosecutedorforcedtotestifyagainstthemselves.120 TheSixthAmendment

119 FourthAmendment,LII/LegalInformationInstitute,nd

120 ConstitutionAnnotated, Amdt 5 1 Overview ofFifth Amendment, Rights of Persons (CA,2024)

guaranteescitizenstherighttoa“fairandspeedypublictrial”withanunbiasedjury.121 This constitutionalframeworkisessentialtolimitinggovernmentalpowerwhileupholdingjustice. Thispaperwillarguethatwhileconstitutionalprotectionsarecrucialforprotectingindividual rights,theycansometimescreatetensionwiththedemandsofeffectivepolicing,requiring carefulexplicationandapplicationtomaintainsecurityandliberty.

ConstitutionalConflictsinPolicing

Maintainingorderandensuringpublicsafetyaretheforemostresponsibilitiesofthelaw enforcement,butthisresponsibilityfrequentlyconflictswithanindividual’srighttoprivacy.Due totheirlegalpowertoupholdthelaw,preventcrime,andprotectthepublic,lawenforcement officersmustoccasionallytakeactionsthatinfringeonindividualrights.Whennecessaryto ensurepublicsafety,lawenforcementofficersmaytemporarilydetainindividualstoperform searches,providedtheiractionsalignwithconstitutionalprotections.ThePlainViewdoctrine, establishedin Harris v. United States (1968), permitslawenforcementofficialstoconfiscate evidencewithoutawarrantifitcanbeimmediatelyidentifiedascontrabandorevidenceofa crimewhiletheofficerislawfullypresentinthelocation.122 Inaddition,theU.S.TheSupreme Courthasestablishedexceptionstothewarrantrequirement,suchasconsentsearches,searches relatedtolegitimatearrests,anddifficultcircumstances.Tostopimminentharm,evidence destruction,orasuspect’sescape,forinstance,officersmayenterapropertywithoutawarrantin anemergency.123 Theseexceptionsshowhowflexiblepolicingcanbebuthighlighttheongoing conflictbetweenlawenforcementdiscretionandconstitutionalprotection.

ii. Pennsylvania v. Mimms, 434 U.S. 106 (1977)

121 ConstitutionAnnotated, Constitution of the United States, Sixth Amendment (CA,2024)

122 “PlainViewDoctrine,”LegalInformationInstitute,accessedApril2021

123 “ExceptionstotheWarrantRequirement:Overview.”LegalInformationInstitute.AccessedNovember22,2024.

Arguedin1977,SupremeCourtjusticesruledunanimouslyin Pennsylvania v. Mimms, 434 U.S. 106 (1977) thatitwasconstitutionallypermissibleforanofficertoaskadrivertostep outoftheirvehicleduringaroutinetrafficstop,evenwithoutsuspicionthatthedriverisarmed orengagingincriminalactivity.Inthiscase,theofficerstoppedthedefendant,Mimms,for drivingwithanexpiredlicenseplateandrequestedthathestepoutofthecar.AsMimms complied,theofficernoticedabulgeinhisjacketandconductedafrisk,findingarevolver.The SupremeCourtheldthatthesafetyofpoliceofficersduringtrafficstopsoutweighedtheslight inconvenienceimposedonthedriver.124 Althoughthisrulingreaffirmedtheimportanceofofficer safety,ithasraisedconcernsaboutpossibleoverreach,particularlyinsituationswherean officer’sdecisiontointensifyatrafficstopmaybeinfluencedbyraceorotherbiases.

iii. Terry v. Ohio, 392 U.S. 1 (1968)

Additionally,in Terry v. Ohio, 392 U.S. 1 (1968), theJusticesruledthatthesearch conductedbyOfficerMcFaddenwaslawfulundertheFourthAmendmentsinceitwasbasedon reasonablesuspicion.Inthiscase,OfficerMcFaddenobservedtwomen,JohnW.Terryand RichardChilton,actingsuspiciouslynearastore.Thinkingthattheywere“casingajob,a stick-up,”McFaddenapproachedthem,identifiedhimselfaslawenforcement,andperformeda quickpat-down(or“frisk”)tocheckforweapons.Duringthefrisk,McFaddendiscoveredthat Terrywascarryingaconcealedfirearm.125 TheSupremeCourtheldthatanofficermaystopand friskasuspectwithoutawarrantiftheyhavereasonablesuspicionthatthepersonisarmedand dangerous.Thisprecedentlowersthestandardfromprobablecausetoreasonablesuspicion, whichhasimportantpolicingimplications,suchasallowingofficerstoreactquicklytopossible threats,butalsocreatesthepossibilityofracialprofilinganddiscretionaryabuse.Thisruling

124 PennsylvaniaV Mimms434US 107(1977)

125 TerryV Ohio392US 1(1968)

establishedtheprincipleof“stop-and-frisk,”whichallowslawenforcementofficerstoconduct limitedsearchesforweaponsinsituationswheretheyreasonablysuspectcriminalactivity.The CourtfoundthatthispracticedidnotviolatetheFourthAmendmentasthesearchwaslimited andcarriedoutforthesafetyoftheofficerandthepublic.Whilelawenforcementmay occasionallyneedtorestrictindividualfreedomstomaintainsafety,theseactionsmustalwaysbe balancedwithconstitutionalrightstoensuretheydonotoversteplegalandethicalboundaries.

ImpactoftheFourthAmendmentonPolicing

iv. Fourth Amendment Background

Sinceitsratificationin1787,theU.S.Constitutionhashadasubstantialinfluence onpolicingprocedures.Alongwithdefiningthefunctionoflawenforcement,various constitutionalamendmentshavealsosetpreciseguidelinesforpoliceconduct.Forexample,the FourthAmendmentemergedinresponsetoBritish“writsofassistance,”126 whichallowedthe King’sofficialstoenterthehomesofanycitizenatrandomtosearchforstolengoodsorthe authorsofcriticalpamphletsabouttheKingwithoutawarrantorprobablecause.127 This arbitraryabuseofpowerledtothecreationoftheFourthAmendment,whichprotectsindividuals againstoverreachbyrequiringlawenforcementtoobtainawarrantbasedonprobablecause.

v.

Fifth Amendment Background

Furthermore,theprotectionofself-incriminationsetforthbytheFifthAmendmenthas largelyimpactedpoliceinterrogations.Oneofthemostsignificantdevelopmentsinthisareais theSupremeCourt’srulingin Miranda v. Arizona, 384 U.S. 436 (1966),whichrequiresthat individualstakenintopolicecustodybeinformedoftheirrights,includingtherighttoremain silentandlegalcounsel.ErnestoMiranda,thedefendant,confessedtocrimesafterbeing

126 “AgainstWritsofAssistance(1761)”NationalConstitutionCenter–constitutioncenterorg AccessedNovember 22,2024.

127 TheNationalConstitutionCenter, The Fourth Amendment (TNCC,2024)

detainedandquestionedwithoutbeinginformedofhisrights,sparkingachallengeintermsof theFifthAmendment.TheseMirandawarningsaredesignedtomakesureindividuals understandtheirconstitutionalrightsandcanmakeinformeddecisionsaboutinteractingwith lawenforcement.128 Therefore,itestablishesthatcitizensareMirandized,whichallowsthemto obtaincounselinthepresenceofquestioning.Beforethisruling,lawenforcementwasgiven broaderdiscretionwheninterrogatingsuspects,whichoftenledtocoercedconfessions.In additiontorestrictingthesepractices,therulingin Miranda v. Arizona, 384 U.S. 436 (1966) upheldtheimportanceofinformedconsentduringquestioning.Thisprotectsagainst self-incriminationbyguaranteeingthatsuspectsareawareoftheirrights.Asseenin California v Stewart, 366 U.S. 1 (1961),129 fiveyearsbeforetheSCOTUSruling, Stewart,theappellant,was interrogatedninetimesoverfivedayswithoutbeinginformedofhisconstitutionalrightsto remainsilentorrighttocounsel,ultimatelyconfessingtoarobberyandmurderunderduress. TheseinstancesexemplifyafewofthemanywaysinwhichtheConstitutionhasstructuredthe statusquoofpolicepractices.

ConstitutionalProcedure

Adheringtoconstitutionalprinciplesiscrucialforprotectingindividualrightsand ensuringpoliceactionremainswithinlegalboundaries.TheFourth,Fifth,andSixth Amendmentslayoutkeyprotectionsthatshapehowlawenforcementoperatesandengageswith citizens.Theseamendmentsworktogethertoupholdjusticeandpreservethelineseparatingthe protectionofindividualfreedomsfromensuringpublicsafety.

vi. Fourth Amendment - Search & Seizure

TheFourthAmendmentprovidescriticalprotectionsagainstunlawfulsearchesand

128Mirandav.Arizona,384U.S.436(1966).JustiaLaw.AccessedOctober27,2024.

129FactsandCaseSummary-MirandaV Arizona,nd

seizuresemphasizingtheconstitutionallyingrainedfundamentalsofprotectinganindividual's privacyrights.AsnotedintheU.S.Constitution,theFourthAmendmentlegallymandatesthat lawenforcementobtainawarrantbackedbyprobablecausebeforesearchingapersonortheir property 130 Asstatedearlier,thisprincipleisrootedinhistoricalpracticesdatingbacktoBritish rule,whereofficialshadtheauthoritytoenterhomesfreely,resultinginsignificantabusesof power.AhistoricSupremeCourtcasethatillustratestheapplicationoftheFourthAmendmentin modernpolicing,asintroducedearlier,is Terry v. Ohio, 392 U.S. 1 (1968). Inthiscase,Officer McFaddenobservedtwoindividualsexhibiting,asheperceived,suspiciousbehavior,whichled himtosuspectanupcomingrobbery.Withnowarrant,McFaddenapproachedthemenand performedalimitedpat-downsearchforweaponsanddiscoveredahandgun.UponWritof Certiorari,theSupremeCourtdeterminedthatthesearchwasjustifiedundertheFourth Amendment,establishingoneoflawenforcement'smostcontroversialandhighlydebated practices,the“stop-and-frisk”policy.Authorizedunder Terry v. Ohio, 392 U.S. 1 (1968),this decisionenabledpoliceofficerstoundertakelimitedsearches,or“frisks,”onreasonable suspicionratherthanprobablecause.131 Therulingismeanttoincreasepublicsafetybyallowing lawenforcementtostopthosewithreasontheybelievemaybearmedorengagedincriminal activity.ThispracticehasopenedPandora'sboxofcriticismsurroundingracialprofilingand abuseofpowerbylawenforcement.Astopandfriskreferstoalimitedsearchwhenofficers reasonablysuspectanyindividualisinvolvedincriminalactivityandmaybearmed.Thisruling emphasizestheneedtobalanceprotectinganindividual’srightsandallowinglawenforcementto respondtourgentthreatsbyensuringthatsearchesarelimitedtospecificcircumstancesand justifiedbyreasonablesuspicionratherthanpermittinguncheckeddiscretion.However,italso

130 Sanabria,Linda “TheFourthAmendmentandProbableCause-Findlaw”FindLaw,August2024

131 Terryv Ohio,392US 1(1968)

raisesconcernsaboutthepotentialmisuseofpowerandracialprofiling,asthethresholdfor reasonablesuspicionislessthoroughthanthatforprobablecause.Someindividualscontendthat thisrulingcouldresultinanincreaseinstopsofminorityindividualsbasedonprofilingrather thanconcreteevidence,emphasizingtheongoingconflictbetweeneffectivepolicingandthe protectionofcivilliberties,whichinvolvesensuringthatlawenforcementpracticesdonot infringeuponindividualrightstoprivacy.132 Proponentscounterthatstudiesshowproactive policingcanlowercrimeratesinsomeareas133 andthatsuchrulingsarenecessarytoallow officerstomakedecisionsincomplexsituations.Inresponse,criticspointtostatisticaldata,such astheStanfordOpenPolicingProject,showingthatdespitelowerhitratesforcontraband,Black andHispanicindividualsaredisproportionatelystoppedandsearchedincomparisontoWhite individuals.134

The1967SupremeCourtCaseof Katz v. United States, 389 U.S. 347 (1967), established thatgovernmentintrusionintoareaswhereindividualshaveareasonableexpectationofprivacy, suchastheirhome,necessitatesawarrant.CharlesKatzwassuspectedoftransmittinggambling informationacrossstatelines.FBIagentsinstalledarecordingdeviceontheexteriorofapublic phonebooththatKatzoftenusedwithoutobtainingawarrant.Thedevicerecordedhis conversations,whichwerelaterusedtoconvicthimofeightcountsofillegaltransmissionof wageringinformation.135 Theissuebeforethecourtwaswhetherthegovernment’suseof electronicsurveillancewithoutawarrantconstitutedasearchundertheFourthAmendment.In thisdecision,theCourtheldthatwiretappingapublicphoneboothconstitutedasearchunderthe

132 Jones,RussellL “Terryv Ohio:ItsFailure,ImmoralProgeny,andRacial ”IdahoLawReview,September 2018.

133 “Read‘ProactivePolicing:EffectsonCrimeandCommunities’atNapEdu”Summary|ProactivePolicing: EffectsonCrimeandCommunities|TheNationalAcademiesPress,2018.

134 “TheStanfordOpenPolicingProject”openpolicingstanfordedu AccessedNovember22,2024

135 “Katzv UnitedStates”Oyez AccessedNovember22,2024

FourthAmendment,therebyreinforcingtheprinciplethatprivacyrightsmustbeupheld.136 This rulinghelpedclarifytheboundariesofprivacyprotectionsintheevolvingscopeoftechnology, butitshiftedthefocusfromphysicalintrusiontotheexpectationofprivacy.Byemphasizingthat theFourthAmendmentprotectspeople,notplaces, Katz v. United States setacriticalstandard forassessingwhethergovernmentactioninfringesuponanindividual’sprivacyrights.This decision,influencedbypreviousrulingssuchas Olmstead v. United States, 277 U.S. 438 (1928),137 whichallowedwiretappingwithoutphysicalintrusion,drovelawenforcement practicestoevolveinresponsetotechnologicaladvancementswhilesafeguardingconstitutional rights.Asaresult, Katz v. United States continuestobeafoundationalcaseinthebalanceoflaw enforcementandindividualprivacyrights.

vii. Fifth Amendment - Protection Against Self-Incrimination - Due Process

TheFifthAmendment,ratifiedin1791aspartoftheBillofRights,providesprotections againstself-incriminationandensuresdueprocessforindividualsfacingcriminalcharges.Itwas codifiedtoaddressabusesunderEnglishcommonlaw,whichfrequentlyresultedinunfairtrials whenindividualswereforcedtotestifyagainstthemselves.

138 Thedecisionin Miranda v. Arizona, 384 U.S. 436 (1966) addressedtheproblemofforcedconfessionsandemphasizedhow importantitistoguaranteedueprocesswhenquestioningindividualsinpolicecustody.This landmarkcasehighlightstheimportanceofprotectingdueprocessduringpoliceinterrogations, preventingcoercedconfessions,andmaintainingtheintegrityofthejusticesystem.

viii. Sixth Amendment - Right to Counsel

TheSixthAmendmentsecurestherighttolegalrepresentation,ensuringthatan

136 Katzv UnitedStates,389US 347(1967) JustiaLaw AccessedOctober27,2024

137 “Olmsteadv UnitedStates,277US 438(1928),”JustiaLaw,June4,1928

138 “ConstitutionalAmendments–Amendment5–‘LegalRightsandCompensation.’”RonaldReagan.Accessed November22,2024

individualfacingcriminalchargescanobtaincounsel,guaranteeingtherighttolegal representation.Thisrightisessentialnotonlyduringtrialbutalsowhileinpolicecustody.In Gideon v. Wainwright, 372 U.S. 335 (1963), TheSupremeCourtaddressedwhetherstatesare requiredtoprovidelegalcounseltodefendantsunabletoaffordanattorneyincriminalcases. ThecasestartedwhenFloridadefendantClarenceEarlGideon,chargedwithfelonyburglary, wasrefusedacourt-appointedlawyerbecausethestateonlypermittedsuchappointmentsin capitalcases.Gideonwasconvictedandimprisonedafterbeingforcedtorepresenthimself.The issuebeforetheSupremeCourtwaswhetherdenyinglegalcounselinstatecourtsfor impoverisheddefendantsviolatedtheSixthandFourteenthAmendments.139 ThroughtheDue ProcessClauseoftheFourteenthAmendment,theSupremeCourtdeterminedthattherightto counselguaranteedbytheSixthAmendmentisafundamentalrightappliedinstates.This landmarkdecisionstrengthenedtheideathatfairtreatmentinthelegalsystemiscrucialto justicebyextendingtherighttocounseltostatecourts.Whiletheseconstitutionalprotectionsare thefoundationofequityinthelegalsystem,theirapplicationinreal-worldpolicinghighlights theever-evolvingchallenges.Lawenforcementpracticesareprimarilymeanttobalancepublic safetywiththerightsofindividuals,thusraisingkeyquestionsofhowfarconstitutional protectionsextendinpolicing.

PolicingandConstitutionalLawinPractice

ix.

Stop and Frisk Criticisms

Researchfrom2005byColumbiaLawSchoolofferssignificantsupportforthe claimthatlawenforcementdisproportionatelytargetsAfricanAmericanandHispanicminority communities.Surveysconductedin1999and2002showthatAfricanAmericanswerefarmore 139Gideonv.Wainwright,372U.S.335(1963).JustiaLaw.AccessedOctober27,2024.

likelythanothergroupstoreportbeingpulledoverbypoliceonhighways,withminoritiesalso morelikelytobeticketed,arrested,searched,orhandcuffed.Moreover,thisstudyfoundthat duringthesestopandfrisks,therewasanincreaseinphysicalthreatsforindividualswhowere stopped,highlightingtheinequalitiesaroundracialdiscriminationandstigmatizationwithin criminaljusticeprocedures.140 Researchonsuspiciousbehaviorasareasonforbothpedestrian andtrafficstopshasshownthelevelof“reasonablesuspicionusuallyprovidesgroundsfor searchesincasesinvolvinglow-leveloffenses.Studiesanalyzingtheeffectivenessofthesestops, specificallythe“hitrates”(thepercentageofsearchesthatuncovercontrabandorillegal activity),141 showthatBlackandHispanicmotoristswerestoppedandsearchedathigherrates thanWhitemotorists.However,thesearcheswerelesslikelytouncovercontraband.This suggestsapotentialbiasinpolicedecision-making,ifnotnecessarilyintentional,leadingtoa disproportionateimpactonminoritycommunities.Thesefindingspointtoreformeffortsthat guaranteepolicingpracticesarefairandjustifiedbycrimeratesratherthanracialdisparities. Stop-and-friskproponentscontendthatenablingofficerstotakeproactivemeasurestodeter crime,especiallyinhigh-crimeareas,canimprovepublicsafety.

x. Reasonable Expectations of Privacy in the Digital Age

TheFourthAmendmentwascreatedtosafeguardanindividualfromunlawfulsearchand seizuresbylawenforcement.However,inthisnewageoftechnology,weexperiencenew challengesinthedigitalagethatthefoundingfathershadnotaccountedfor.Intheever-evolving worldofsocialmediaandtechnology,lawenforcement’scapacitytosearchdigitaldevices,such assmartphones,computers,andotherelectronics,hasraisedcomplexlegalquestionsregarding privacy.Theconceptofreasonableexpectationofprivacy,establishedin Katz v. United States,

140 Gelman,Kiss,andFagan,“AnAnalysisoftheNYPD’sStop-and-FriskPolicyintheContextofClaimsofRacial Bias”

141 “Stops(SensibleTrafficOrdinancesforPublicSafety)”VeraInstituteofJustice,September2023

389 U.S. 347 (1967), mustnowbereinterpretedtoaccountforunaccounteddigitaldatawhenthe amendmentwasdrafted.

Decidedin2014, Riley v. California, 573 U.S. 373 (2014) addressestheissueof“whether theevidenceadmittedduringtrialfromRiley’scellphone,discoveredthroughasearchthat violateshisFourthAmendmentrighttobefreefromunreasonablesearches.”142 TheSupreme Courtheldthatlawenforcementgenerallyneedsawarranttosearchasuspect’scellphone duringanarrest,acknowledgingtheextensivepersonalinformationinmoderndevices.This decisionreaffirmedprivacyrightsinanerawheredigitalfootprintsareincreasinglyaccessible.143 Despitethis,debatescontinueaboutbalancingindividualprivacywithlawenforcement’sneedto obtaindigitalevidence,prevalentincasesinvolvingterrorism,cybercrime,ornationalsecurity threats.Modern-daytechnologysuchasGPStracking,bodycameras,andsmartphonedata retrievalhasbecomemoreprevalentinoursociety,wheretheboundariesofwhatconstitutesa “search”undertheFourthAmendmenthavebecomemoreblurred.Courtscontinuetostruggle withapplyingtraditionallegaldoctrinestocontemporarytechnologieswhileensuringan individual'sprivacyrightsareupheld.

xi. Miranda Rights in Police Custody

Despitethe1966SCOTUSrulingof Miranda v. Arizona, 384 U.S. 436 (1966) mandating thatindividualsincustodymustbeinformedoftheirrightsuponarrest;therehavebeenrecent caseswhereone’sMirandaRightshavebeenviolated.Suchviolationsraiseseriousquestions abouttheintegrityofthelegalprocessandwhetherornotsuspectsarereceivingfairtreatmentas guaranteedbythe U.S.Constitution.Onecontroversialcasewas Missouri v. Seibert, 542 U.S. 60 (2004),inwhichtheSupremeCourtaddressedthe“question first”tacticusedbysomepolice

142 “Rileyv California”Oyez AccessedNovember22,2024

143 Rileyv California,573US 373(2014)

officers.OfficerswouldintentionallyquestionsuspectswithoutreadingtheirMirandarights, obtainaconfession,andthenMirandizethem,hopingtherepeatedconfessionswouldbe admissibleincourt.TheCourtruledthispracticeasunconstitutional,highlightinghowlaw enforcementcanunderminetheprotectionsMirandawasmeanttoguarantee.144 Similarly,in United States v. Patane, 542 U.S. 630 (2004), theCourtfoundthatevidenceobtainedduringan arrestwasadmissibleevenafterthedefendantwasnotMirandized.Inthiscase,thedefendant, Patane,madeastatementtolawenforcementaboutthelocationofafirearm.Still,hehadnot beenfullyMirandizedatthetime.TheCourtdeterminedthatwhilethestatementitselfcouldnot beusedagainsthim,thephysicalevidencethatthefirearmprovidedcouldstillbeadmittedunder the“fruitofthepoisonoustree”doctrine.Thisdecisionhighlightedacrucialdistinction:verbal statementsobtainedinviolationofMirandaareinadmissible,yetphysicalevidencederivedfrom thosestatementsmightstillbeadmissibleduringacriminalproceeding.145 Thisrulingraised concernsaboutthestrengthofMirandaprotectionsinpractice,especiallyregardingevidence obtainedoutsideofadirectconfession.Itfurtheremphasizesthecomplexitiessurroundingthe enforcementofMirandarightsinlawenforcementprocedures.

BalanceofIndividualRightsandPublicSafety

Akeycomponentofconstitutionalpolicingisbalancingpublicsafety andindividualrights,butthisfrequentlyrevealsunderlyingtensions.Theseissuesraiseserious concernssurroundingtheapplicationoflegalframeworksandconstitutionalprotections,which areespeciallynoticeableinareasofracialprofiling,qualifiedimmunity,andtheuseofforce.

xx. Use of Force & Abuse of Power - Eighth Amendment

Constitutionalprinciples,specificallytheFourthandEighthAmendments,whichaddress

144 MissouriV Seibert,542US 600(2004)

145 UnitedStatesV Patane,542US 630(2004)

unreasonableactionsandcruelorunusualpunishments,governtheuseofforcebylaw enforcement.AlthoughtheConstitutionlimitspoliceabuseofpower,contentiouscases frequentlydrawattentiontotheinconsistenciesoftheseprotections.

In Tennessee v. Garner, 471 U.S. 1 (1985), Memphispoliceofficersweredispatchedtoa suspectedburglaryandencounteredEdwardGarner,ateenagerfleeingthescene.Assumingthat Garnermightescape,oneoftheofficersfatallyshothim.However,theTennesseeStatuteallows fortheuseofdeadlyforcetopreventtheescapeofafleeingsuspect,eventhoughthedefendant wasunarmed.Garner,wholatersuccumbedtohisinjuries,hadawrongfuldeathlawsuitbrought byhisfather,whoarguedthattheTennesseestatuteviolatedhisson’sFourth,Fifth,Sixth, Eighth,andFourteenthAmendmentsguaranteedbytheUSConstitution.Theissuebeforethe Courtwaswhetherastatuteauthorizingtheuseofdeadlyforcetopreventanyfleeingsuspected felonfromescapingviolatestheFourthAmendment.146 TheSupremeCourtfoundthatitis unconstitutionalforlawenforcementtousedeadlyforcetopreventtheescapeofafleeing suspectunlesstheofficerhasprobablecausetobelievethattheindividualposedsignificant threatsofdeathorsevereinjury.TheCourt’sreasoningunderscoredtheFourthAmendment’s requirementforproportionalityinlawenforcementactionsandprotectionfromexcessiveuseof force.Byupholdingthevalueoflifeandrestrictingsituationsinwhichdeadlyforcemaybe used,therulingchangedpolicepracticesnationwide.

TheEighthAmendmentemphasizesthatlawenforcementactionsshouldnot leadtoarbitraryorcrueltreatmentdespiteittypicallybeingusedinsentencingandprison conditions.Italsoinfluencesmoregeneraldebatesregardingtheproportionalityofpunishment.

146 Tennesseev Garner,471US 1(1985)

Casesinvolvingexcessiveuseofforcestillprovedifficultiesexistforthelegalsystemto preservetheseconstitutionalrightswhiledealingwiththedifficultiesofactualpolicing.

147

xxx.

Qualified Immunity

Accordingtothejudiciallyestablishedtheoryofqualifiedimmunity,stateandlocal officials,includinglawenforcementofficers,areimmunefromcivildamageslawsuitsunless theiractionsinfringeuponanestablishedconstitutionalright.Thisdoctrine,developedafter42 U.S.C.§1983waspassedin1871,wasusedsparinglyatfirstbutsolidifiedinthe1960s.The SupremeCourtestablishedthecurrentqualifiedimmunitystandardin1982,allowingittobe usedincaseswherethelawbrokenbyanofficialwasnotestablishedatthetimeoftheact.

148

Underthisframework,ifthereisnopreviouscourtrulingthatestablishesthe theillegalityofanofficer’sactionsinanearlyidenticalcase,qualifiedimmunitymayshield themfrompersonalliabilityeveniftheiractionsviolateconstitutionalrights.Becauseofthis highbarforplaintiffs,victimsofconstitutionalviolations–suchasexcessiveforce–frequently havenootheroptions.Criticscontendthatbyallowingmisconductandunderminingpublic confidenceinpolicing,thisstandardunfairlyprotectslawenforcement.Theyarguethatofficers canactwithoutfearofaccountabilitybecauseofqualifiedimmunity,particularlyincaseswhere priordecisionsmaynothaveaddressedconstitutionalviolations.Proponentsofqualified immunitycontendthatshieldingofficersfromtheongoingthreatoflawsuitsiscrucialbecauseit enablesthemtomakequick,toughdecisionsunderpressurewithoutworryingaboutbeingheld personallyliable.Withoutthisprotection,theyargue,officersmightbeparalyzedbythe possibilityoflawsuits,whichcouldcompromiseeffectivelawenforcementandjeopardizepublic andofficersafety.

149

147 “TheEighthAmendment.”NationalConstitutionCenter–constitutioncenter.org.AccessedNovember22,2024.

148 “QualifiedImmunity”NationalConferenceofStateLegislatures,January12,2021

149 Andersonv Creighton,483US 635(1987)

TheU.S.SupremeCourtarguesthatqualifiedimmunityenablesofficerstoactswiftly withoutworryingaboutlawsuitsforactionsthatwerenotpreviouslyconsideredunconstitutional. Thoughimmunityisgrantedincasesofexcessiveforceunlessitisclearlyestablishedthatthe forcewasexcessive,thisprotectionfrequentlyunderminesaccountability.In Plumhoff v Rickard, 572 U.S. 765, (2014),forinstance,officerswhofatallyshotafleeingdriverwere grantedqualifiedimmunitybecauseitwasnotyetestablishedthattheforcewasexcessive.150 Somestateshaverespondedbylimitingqualifiedimmunity.Settingaprecedentforother states,Colorado’sSB217(2020)permitsvictimsofmisconductbylawenforcementtoseekcivil damageswithoutrelyingonqualifiedimmunity.151 AlthoughdifferingslightlyfromColorado’s strategy,Connecticutalsopassedlegislation(HB6004)toaddresspoliceliabilitybyremoving governmentalimmunityincertainmisconductcases.152 Growingawarenessoftheneedfor increasedaccountabilityinlawenforcementisreflectedinthesestatereforms.

xl. Racial Profiling

DiscriminatorytreatmentunderthelawisforbiddenbytheEqualProtectionClauseof theFourteenthAmendment.153 Whenlawenforcementtargetspeoplebasedontheirracerather thanareasonablesuspicion,itisknownasracialprofilingandisfrequentlyconnectedtoFourth andFourteenthAmendmentviolations.Despitecomparableorlowerratesofcriminalactivity, additionalfindingsbyStanford’sOpenPolicingProjectshowthatintheoverwhelmingmajority ofjurisdictions,BlackandHispanicindividualswhowerestoppedwhiledrivingwerebeing searchedmoreoftenthanWhitedrivers.However,theyintroducetheideathatifminoritiesalso

150 Plumhoffv Rickard,572US 765(2014)

151 “EnhanceLawEnforcementIntegrity”EnhanceLawEnforcementIntegrity|ColoradoGeneralAssembly,June 13,2020

152 “BillNo 6004-ConnecticutGeneralAssembly”ConnecticutGeneralAssembly,July2020

153 “TheEqualProtectionClause.”NationalConstitutionCenter–constitutioncenter.org.AccessedNovember21, 2024

happentocarrycontrabandathigherrates,thesehighersearchratesmaynaturallycomefrom appropriatepolicework.154

Toincorporateasimilarideology,ProfessorLisaMiller,specializinginAmerican politics,raceandethnicpolitics,andpubliclawatRutgersUniversitysharessimilarinsightas spokenfromexperienceinherstudies.Millerstates,“Researchisclearthatnon-white individualshaveadisproportionatenumberofencounterswithpolice.FrankBaumgartner,for example,hasconductedresearchbasedonafewmilliontrafficstopsinNorthCarolina,andlike others,theyfindthatthereareracialdisproportionalities.Itisimportanttohighlightwhatgets missedsometimesinracialprofilingliterature,andthatisthereareahandfuloffactorsthatare takenintoaccountowithpoliceencountersandthepublic.Raceissometimesoneofthem,but rarelytheonlyone,andveryoftennotthemostsignificantone.Afriendofmine,RobbinEngel, atOhioStateUniversity,foundafterresearchingonthestatepoliceinPennsylvaniaandstate highwaysthatyouactuallycannotseepeoplewellatallwhentheyareflyingby,intermsof trafficstops.”155

ProfessorMiller’sobservationshighlightthemoresignificantsystemicissuesassociated withracialprofiling,eventhoughsheacknowledgesthecomplexityoffactorsinfluencingpolice encounters,includingbutnotlimitedtorace.Althoughraceisanimportantfactor,thisnuanced viewpointemphasizesthatitfrequentlyinteractswithotherfactors,makingeffortstoaddress disparitiesmoredifficult.Theseintricacieshighlightthenecessityoflawenforcement proceduresthatsupportfairtreatmentforallcommunitieswhileconsistentwithconstitutional protections.Beyondjustthestatistics,racialprofilinghasethicalandlegalramificationsthat affectminoritycommunities’viewsofjusticeandpublictrust.Criticspointtohowthesetactics

154“TheStanfordOpenPolicingProject.”openpolicing.stanford.edu.AccessedNovember22,2024.

155 LisaMiller,oralinterviewwiththeauthor,November20,2024

canreinforcesystemicbiasandalienatecommunitiesofcolor,eventhoughsomeresearch suggeststhatincreasedsearchratesmaybeasignofeffectivepolicingwhencontrabandis disproportionalitydiscovered.156 Inthiscontext,therulingin Whren v. United States, 517 U.S. 806 (1996), maintainingtheconstitutionalityofpretextual stops,hasbeencrucialbecauseit givesofficersbroaddiscretionwhenconductingtrafficstops,potentiallypermittingracially motivatedactionstobecarriedoutinthenameoflawfulpolicing.157 AddressingracialprofilingrequirescreatingabalancebetweenEqualProtection. ClauseoftheConstitution,andtherequirementforefficientlawenforcement.Toreducebiasand guaranteeaccountability,policeproceduresmustbetransparent,independentoversightmustbe maintained,andstop-and-searchdatamustbecontinuouslyanalyzed.

Conclusion

ArecurringthemeinAmericanlegaldiscourseistheconflictbetweeneffectivepolicing andconstitutionalprotections.Landmarkcaseslike Riley v. California, 573 U.S. 373 (2014), Miranda vs.Arizona, 384 U.S. 436 (1966), and Terry v. Ohio, 392 U.S. 1 (1968) demonstratehow theFourth,Fifth,andSixthAmendmentshavebeeninterpretedovertime.Thesedecisions highlightinherentconflictswhenaddressingthepragmaticneedsoflawenforcement,evenas theycreateimportantprotectionsforindividualrights.Theargumentsoverthewarrant requirement,racialprofiling,andstop-and-friskproceduresshowhowtheseissuescan disproportionatelyaffectminoritycommunitiesanddecreasepublicconfidenceinlaw enforcement.Maintainingabalancethatrespectsbothcivillibertiesandpublicsafetyis becomingmoreimportantassocietystruggleswithnewsecurityissuesandtechnological

156 “TheEqualProtectionClause”NationalConstitutionCenter–constitutioncenterorg AccessedNovember22, 2024

157 Whrenv UnitedStates,517US 806(1996)

advancements.Tomaintainthestrengthofconstitutionalprotectionsandallowlawenforcement toeffectivelydealwithseriousthreats,judicialdecisionsmustcontinuetoadjustto contemporarycircumstances.Ultimately,itisessentialtoencourageaccountability,openness, andfairapplicationofthelawtobalancepublicsafetywiththeindividualfreedomsand foundationsofjusticethatareconstitutionallyguaranteed.158

158

ThispaperhasbeenreviewedbyLisaMiller, aprofessorinthedepartmentofpoliticalscienceatRutgers University,NewBrunswick ProfessorMillerspecializesincrimeandpunishment,massincarceration,racial inequality,constitutionalism,andAmericanpoliticalinstitutions,andhaswrittenandpublished The Politics of Community and Crime Prevention, andiscurrentlyworkingonherbook U S Constitutional Myths

THEUSEOFRAPLYRICSAS

EVIDENCEINCRIMINALTRIALS

WRITTENBYALEXANDRAKETTLE|EDITEDBYAKSHATYALAMARTY

Introduction

i. First Amendment Rights

TheFirstAmendment,oneofthemostwell-knownrightsintheU.S.Constitution159,is alsoamongthemostdebatedandnuanced,particularlyregardingartisticexpression.The SupremeCourthasinterpretedtheFirstAmendmentastheprotectionofartisticexpressionin workssuchasbooks,theatrics,paintings,posters,television,musicvideos,andcomicbooks.

160 Yet,afinelinestandsastowhenandwherethoseprotectionsaregranted.

Thecaseof State of Florida v. Jamell Demons,161 commonlyknownasYMWMelly’s murdertrial,focusesonthisfineline.Thecasehighlightsthisgrayareaofuncertaintyand significance.Itquestionstheimpactofusingone'sartandexpressionasevidence.Itchallenges thenotionthatone'sFirstAmendmentrightsprotectthemunderanyandallcircumstances. YMWMellycurrentlysitswaitingforaretrialforhistwocountsoffirst-degreemurder.YMW Melly,however,isnottheonlyrappertohavetheirlyricsusedagainstthem.Manyotherrappers, likeYoungThug,experiencedasimilarencounterinacourtroom,withtheirlyricsbeingused bothasaconfessionandportrayaloftheircharacteringang,murder,anddrug-relatedcases. Evidentiarystandardsarejustonewayofjustifyingtheselyricsandusingthemagainsttheir creators.Theyareguidelinesthatlawyersmustfollowtohavelegal,relevant,andreliable evidence.However,theirsignificanceprovestobemorethanjustanargumentinacourtroom.

159 (US Const,art I,§1)

160 “FirstAmendment”LegalInformationInstitute https://wwwlawcornelledu/wex/first amendment

161 “StateofFloridavsJamellDemons.”JustiaLaw. https://lawjustiacom/cases/florida/fourth-district-court-of-appeal/2022/22-1874html

Thefutureofrap,art,andexpressionareonthelineaslyricscontinuetobeusedas evidence.TreadinguponestablishedFirstAmendmentrightsissimilartowalkingonatightrope. Whilelyricsmaymeettheevidentiarystandards,thecultureofrapandthemusicindustryison theline.Therecordingstudiowillnolongerbeaplaceoffreeexpressionbutratherbecomean interrogationroom.

ii. Rap’s Relevancy

Theinvolvementofraplyricsasevidenceduringcriminalcourttrialshasbeenasubject ofongoingscrutiny.It'sbeenatopicthatTikTok,Instagram,Facebook,Twitter,andothermedia platformshavebroughttolight.Whetherthatwasthroughexcerptsofthe State of Florida v Jamell Demons ormemeslatercreatedontheabsurdityofusinghumorousandvulgarlyrics withinacourtroom,itiscleartothepublicthatsomethingwasamiss. Rapwascreatedtocreateasenseofcamaraderiewithintheblackcommunityandto inspirepeople.ErikNielson,aprofessorattheUniversityofRichmondwhoisanexpertinthe areaofevidentiarystandards,saysinhisbook Rap on Trial: Race, Lyrics, and Guilt in America that“itservesasasafespacewherewecancelebrateourblacknessandeachother-andbe comfortableinourownskinwhilewedoit.Ithasalsoofferedusakindoftherapy,aplaceto expressevenourrawestfeelings.Andithasgivenusawaytosayjustthingsinunjusttimes.”162 However,thetideshaveturnedintomuchrougherwaters,withjudgesandprosecutors disregardingtheimportanceofmusichistorywhenmurderordrug-relatedchargesareonthe table.Whilethismayseemcontroversial,therearemanyreasonswhytheuseofraplyricsas evidencewithintrialsisadmissible.

162 Kubrin,CharisE,andErikNielson "Rapontrial" Race and Justice,vol 4,no 3,2014,pp 185-211, https://rb.gy/z1ps88.

iii. Protections from the First Amendment

Inthearticle When Music Takes the Stand: A Content Analysis of How Courts Use and Misuse Rap Lyrics in Criminal Cases writtenbyMs.Lutes,Mr.Purdon,andDr.Fradella,all professionalsonjudicialactionaswellasevidentiarystandards,thoughtfullyarguedthat“justas FirstAmendmentprotectionsdonotapplytoobscenity,truethreatsalsoliebeyondthelimitsof constitutionallyprotectedspeechandexpression.Thus,aseriesofcaseshaveupheldcriminal convictionsagainstrapperswhothreatenedviolenceagainstspecifictargetsintheirsong lyrics.”163 Thisexclusionofobscenity,however,doesnotcomedirectlyfromtheFirst AmendmentbutratherfromtheSupremeCourt'sinterpretationofit.

iv. Roth v. United States.

Inthelandmarkcase Roth v. United States,164 TheSupremeCourtupheldtheconviction ofSamuelRoth,apublisherandbooksellerinNewYork,whowasconvictedunderfederal obscenitylawsforpublishingobscenitythroughbooksandmagazines.Roth’sworkwas consideredtohavelimitedsocialimportanceandtherebyservednobenefitstosociety.Thiscase raisedtheconsequentiallegalquestionofwhetherthefederallawprohibitingtheissuanceof obscenematerialsviolatestheFirstAmendment'sguaranteeoffreedomofspeechandpress.Ina 6-3decision,theSupremeCourtupheldRoth’sconvictionandruledthattheFirstAmendment doesnotprotectobscenity.Therefore,thiscaseestablishedthelimitationstothefreespeech clause,highlightingthatwhiletheFirstAmendmentdoesnotspecificallyexcludeobscenity,the courtscanandhaveinterpreteditthatway.

163 Lutes,Erin,JamesPurdon,andHenryF Fradella "Whenmusictakesthestand:Acontentanalysisofhowcourts useandmisuseraplyricsincriminalcases" American Journal of Criminal Law,vol 46,2019, https://heinonlineorg/HOL/Page?handle=heinjournals/ajcl46&div=7&g sent=1&casa token=&collection=journals

164 “Rothv UnitedStates”Oyez AccessedNovember7,2024 https://wwwoyezorg/cases/1956/582

v. Obscenity within Rap

Giventhatrapisgenerallyknowntobethegenrethatcontainsprofanity,violence,and vulgarity,rappersareataseveredisadvantage,specificallyregardingtheabilityofcourtsto restrictandregulatefreespeechiftheypossessclearandpresentdanger,obscenity,incitement, defamation,andhatespeech.However,thischallengesthetruthfulnotionthatartisprotected, beingthatitexcludesmajorindustries.TheAmericanCivilLibertiesUnionwrotethat“the relativelynarrowobscenityexceptionservesasavehicleforabusebygovernmentauthoritiesas wellaspressuregroupswhowanttoimposetheirpersonalmoralviewsonotherpeople.”165

Therefore,thefutureofrapandthevalidityofourFirstAmendmentrightsareundersevere dubiety

Rapisconsideredtobeartisticexpression,whichisaprotectedmatterundertheFirst Amendment;however,thespecificartformofmusicseemstobeseparatedandputintoa differentcontext.Forexample,ifsomeoneweretopaintamurderscenethatcloselydepictsa recentandlocalhomicide,acourtwouldnotapproachitwiththesameamountofvigilanceand stressthatthelyricsare.Ifsomeoneweretowriteaplayaboutamurderordrugandgang-related experiences,thatalsowouldbetreatedwithagrainofsaltduetotheculture,artform,and expressionmedium.However,adoublestandardlieswithinthisnuanceddefinitionofartand confession.Onecouldgosofarastoarguethatblood,drugs,needles,andgangimagesetched intoacanvasdonotdepictobscenityinthesamewaythatasongwould.Thesequestionsare what'sathandregardinghowartisticexpressionmaybetaintedandhowraplyricsarefacinga doublestandard. Forexample,ifonetakesYMWMelly'ssong“MurderonMyMind”166 and

165 “FreedomofExpressionintheArtsandEntertainment”AmericanCivilLibertiesUnion,February27,2002 https://www.aclu.org/documents/freedom-expression-arts-and-entertainment.

166 “MurderonMyMind,”byYNWMelly,track3on I Am You,300Entertainment,2017.

removesthebeat,track,bass,andtempo,onewillbeleftwithaformaltestimonialif supplementaryevidenceisprovided.Troublealsoarisesasoneremovesallaspectsofmusical incorporationandlooksspecificallyandindividuallyatlyricsonapage.Asonereadsthelyrics of“MurderonMyMind,”thelyrics“Ireloadedmypistol,cockeditback,andshothimtwice” arepresent.Thefinelineoccursoncemoreaswequestion,isthisrelatedtoacaseorjustasong? Italsoraisesthequestionofwhetherwordsonapagestillcountasartevenifthereisnobeat, singer,bass,oriflyricscanbelookedatasafull-blownjournalconfession.Ultimately,rapis vulnerable.

EvidentiaryStandards

vi. Regulations on Evidence

WhilesomeindividualsmaybelievethatprotectionsgrantedbytheFirstAmendmentare auniversalguaranteeofdefense,itisquitetheopposite.Inacourtoflaw,itisstandard procedureforyourwordstobeusedagainstyou,especiallygiventhemanyspecificrules governingspeech.But,whentrialsoccur,anythingcanbeusedasevidenceifitfitswithinthe evidentiarystandards.Thesestandardsareanecessaryhurdletojumpthroughconcerningwhat attorneyscanandcannotuseasevidence.Thisisoftendescribedasrulesofevidenceandare specificguidelinesthatlawyersmustfollowtohavelegal,relevant,andreliableevidence.These standardsincluderelevance,admissibility,hearsay,characterevidence,experttestimony, authentication,bestevidencerule,privilege,andprobativevalue.Specifically,whendealingwith rapontrial,relevancy,characterevidence,andprobativevaluearethemostimportantfactors.

Thereareafewwaysinwhichlyricshavebeenusedincourtcases,thesebeing:“(1)to provegangaffiliationforsentencingenhancementpurposes;(2)ascircumstantialevidenceofthe commissionofacrime;(3)asdirectevidenceofhavingcommunicatedathreat;(4)toprove

motive,knowledge,intent,identity,orcharacter;or(5)toestablishwhatincitedthecommission ofacrime.”167 Whenlyricsofvulgarityarepresentedtoacourtthatdiscussesmurder,druguse, gangaffiliation,rape,andmanyotherillegalacts,theyaremadetosuggesttheplaintiff'sartistic expressionandoccupationinanegativelightdepictingmaliciousthoughtsandastateofmind thatpotentiallysuggestsillegalactions.

vii. Murder on My Mind

However,whilecertainlyricsmaybeobscenetosome,thatdoesn'tmeantheyare incriminating.Lyricsthatmaycontainmetaphoricalorfictionalelementscanbemisconstruedas admissionsofcriminalbehavior,especiallywhenthereisaracialbiaspresent.Themusicoften stereotypespeopleascriminals,drugusers,gangmembers,orinthiscase,amurderer,whether truthfulornot.Take,forexample, State of Florida v. Jamell Demons, whichusedasnippetof JamellDemon's(YMWMelly)lyricstoputhimbehindbarsforhomicide.

“Yellowtapearoundhisbody,it'saf**kinghomicide

HisfaceisonaT-shirtandhisfamilytraumatized

Ididn'tevenmeantoshoothim,hejustcaughtmebysurprise

Ireloadedmypistol,cockeditback,andshothimtwice

Hisbodydroppeddowntothefloor,andhegotteardropsinhiseyes

Hegrabbedmebymyhandsandsaidhewasafraidtodie

Itoldhim,“It'stoolate,myfriend,it'stimetosaygoodbye”

Andhediedinsidemyarms,bloodallovermyshirt”168

167 “FirstAmendment”LegalInformationInstitute https://wwwlawcornelledu/wex/first amendment

168 Kubrin,CharisE.,andErikNielson."Rapontrial." Race and Justice,vol.4,no.3,2014,pp.185-211, https://rbgy/z1ps88

Additionalevidencesuchaspreviousarrestsforaggravatedassault,DNAevidence, testimony,andthetimelineofthesongbeingwrittenoneyearafterthemurderhappeneddid presumablypersuadethejuryandpresenthardevidence.

Rule403&AssemblyBill2799 vii. Rule 403

“RapLyricsandEvidenceofGuilt:TheRacialImpactOfTheWeaponizationOf EvidenceRules,”writtenbyBrookeHodginsfromCardozoLaw169 discussesthedirect involvementandprobativevalueofusingrapasevidenceincriminaltrials.Hodginsarguesthat prosecutorsfrequentlyemploytheuseofraplyricsinthecourtasa“confession”orcharacter portrayalintendedtodemonstratetheiremotionsandtiestoaspecificcrime.However,shealso addresseshowraplyricsarenotintendedtobeanadmittanceofacrimebutratherafictional storythatcannotandshouldnotbeadmittedasevidence.Additionally,shebringstothetablea valuableandweightyrulethatcoulddisturbthepossibleprecedentofusinglyricsasevidence.

Rule403170 statesthatacourtmayexcluderelevantevidenceifitsprobativevalue–171 orthe significancethatevidenceprovidesinprovingarelevantfactinacourtoflaw– issubstantially outweighedbypotentialprejudice,misleadingthejury,orcreatingadelay

ThisruleopensthedoorfordiscoursearoundtheexclusionoflyricssuchasYMW Melly’s.Itpushesbackagainstthecourtstominimizebiasesandpotentialthreatstotheartistor society.Rule403minimizestheeffectsthatviolentorcriminalthemesincorporatedintorap songscouldhave,whichdon’tnecessarilyreflectreal-lifeactionsorintentions.Additionally,it

169 Hodgins,Brooke “RapLyricsandEvidenceofGuilt:TheRacialImpactoftheWeaponizationofEvidence Rules”CardozoERSJ,November30,2021

https://wwwcardozoersjcom/post/rap-lyrics-and-evidence-of-guilt-the-racial-impact-of-the-weaponization-of-evide nce-rules

170 “Rule403 ExcludingRelevantEvidenceforPrejudice,Confusion,WasteofTime,orOtherReasons”Legal InformationInstitute AccessedNovember7,2024 https://wwwlawcornelledu/rules/fre/rule 403

171 “ProbativeValue.”LegalInformationInstitute.AccessedNovember7,2024. https://wwwlawcornelledu/wex/probative value

playsacrucialroleinsafeguardinglyrics,whichareoftencraftedforartisticeffect, representation,orstorytelling.InimplementingRule403,jurorswouldbeprohibitedfrom formingunfairassumptionsaboutarapper’scharacterorpredisposition.Thus,itisessentialto ensurethatartisticexpressionisnotmisinterpretedasadmissionsorevidenceofcriminal behavior.ThroughthepowerofRule403,judgescanlimittheadmissibilityoflyricsas evidence,ensuringthatonlyrelevantevidencethatdoesnotviolateprobativevalueispresented, whichcreatesamorejustsystemwhenitcomestorapsongsontrial.

viii. Assembly Bill 2799

MuchlikeRule403,AssemblyBill2799172 CaliforniaandNewYorkupheldthe preventionofraplyricsinatrialbecause“artistsofallkindsshouldbeabletocreatewithoutthe fearofunfairandprejudicialprosecution,”accordingtoCalifornia’sGovernorGavinNewsom. Thebillspecificallymandatescourtsto“consider“specifiedfactors”and“thesubstantialdanger ofundueprejudice”whendeterminingwhethertoadmitformsofcreativeexpressionas evidence.Courtsmustnowconsiderthecontextofagenreofcreativeexpressionandany testimonyorresearchthat“introducesracialbiasintotheproceedings.”173 Inadditionto minimizingroomforbiasornegativeeffectsonartisticexpression,AB2799requiresthat prosecutorsdemonstratealinkbetweenthelyricsandtheallegedcrimetouseitasrelevant evidence.Thisregulationandcheckonthecourtshelpstoensurethatonlylegitimate connectionsaremaderatherthanprejudicialinterpretationsofsongs.Furthermore,thisbillhelps toconquerthesubstantialissuesurroundingFirstAmendmentinfringementsbymandatingthat songlyricsarenotliteralconfessionsbutart.

172 “AssemblyBillNo 2799”BillText-AB-2799Evidence:admissibilityofcreativeexpressions,September30, 2022 https://leginfolegislaturecagov/faces/billNavClientxhtml?bill id=202120220AB2799

173 Mizelle,Shawna “CaliforniaGov GavinNewsomSignsBillLimitingtheUseofRapLyricsasEvidencein CriminalProceedings|CNNPolitics.”CNN,October1,2022. https://wwwcnncom/2022/10/01/politics/rap-lyrics-in-court-california-gavin-newsom/indexhtml

Therepercussionsofthebillprovedtobesubstantial;infact,large-scalerappersand artistssuchasMeekMill,Too$hort,E-40,KillerMike,YG,TyDolla$ign,andTygajoined Newsomonacallashesignedthissubstantialbillintolaw 174 Thisnotonlyhasamajorimpact onthecurrenthastyandcriminalizingsocietysurroundingrap,butitalsocreatesalargeimpact ontheunderstandingandprecedentthatraplyricswillhaveinpotentialcriminaltrials.With modern-dayrapperswhohavemillionsoffollowersadvocatingonbehalfofthisbill,societywill becomemuchmorevigilantofthejudicialsystem'sactions.Inturn,thisisonestepcloserto rapperstakingasighofreliefastheycanstepintotherecordingstudiowithoutacriminaltrial waitingtooccur.

RelevantImpactsofLyricsonTrial ix. The People of the State of Texas v. Taymor McIntyre.

InAprilof2017,therapperTay-K,whoselegalnameisTaymorTravonMcIntyre, experiencedarun-inwiththelawwhenhecutoffhisanklemonitorandfledtoNewJerseyfrom Texaswhileunderhousearrestandawaitingtrialforcapitalmurder.Inthetrial, The People of the State of Texas v. Taymor McIntyre

175The rapper’smusicwasusedasevidencetosuggesthis stateofmind,criminality,andviolentemotions.“TheRace”,asongaboutbeingafugitive,was usedasevidence,eventhoughlyricswerenotanecessaryformofevidencegiventhesheer amountofevidencecollectedthroughbothconvictions.Duringsentencingofthetrial, prosecutorsusedthemusicvideoaswellasthe lyricsfor“TheRace,”alongwiththecover, whichshowsTay-K holdingagun.176 Intheend,itbecomesapparentthatthegoalof

174’23, Prepared by Jacob Sowers “California Law Restricts the Use of Rap Lyrics as Evidence in Criminal Prosecutions ” The Free Speech Project, December 13, 2022

https://freespeechproject georgetown edu/tracker-entries/california-law-restricts-the-use-of-rap-lyrics-as-evidence-i n-criminal-prosecutions/

175 McIntyrev State,No 05-18-00774-CR,2020WL353573(Tex App Jan 21,2020) https://caselawfindlawcom/court/tx-court-of-appeals/2108580html

176 MatthewStrauss,SamSodomsky.“Tay-KFoundGuiltyofMurder:Report.”Pitchfork,July19,2019. https://pitchforkcom/news/tay-k-found-guilty-of-murder-report/

103 introducinghisartisticexpressionintothetrialwasto“dehumanizetherapperintheeyesofa jurythroughtheuseofhismusic.”177 Ultimately,theStateendedupchargingMcIntyrewithone countofcapitalmurderandthreecountsofaggravatedrobbery.Thistrialisjustoneofmanythat holdsthesadrealityofmisuseandviolationofFirstAmendmentrights.

x. The People of the State of California v. Darrell Caldwell

Majorscrutinyovertheuseoflyricsinacourtroomisexactlywhathappenedinthecase of The People of the State of California v. Darrell Caldwell178,alsoknownasDrakeotheRuler. InDecember2016,hewaschargedwiththemurderofamanoutsideofapartyinCalifornia.It waslaterfoundoutthatDrakeowasnotthegunman.However,prosecutorsstillattemptedtotie Drakeotothecrimeinassociationwithgang-relatedconflicts.Theseattemptsendedupfalling shortasnoevidenceofthataccountoccurredrelatedtothemurder.Thisisthenwhen prosecutorssearchedDrake'smusicforrelationstocrimes,drugs,weapons,gangs,andsignsof menacingbehavior.TheFaderreportedonthetrialstatingthattheuseofDrake'smusicwasused to“terrifythejuryintobelievingthatthereisnodifferencebetweenreallifeandrapvideos.”179

Intheend,Drakeowasexoneratedofthecharges,yetprosecutorsattemptedtorefilechargesof gangconspiracyandshootingfromamovingvehicle.180

xi. The State of Georgia v. Jeffery Lamar Williams

Oneofthelargestcasesthatinvolveslyricsthattooktheinternetandsocialmediaby stormistheYoungThugcriminaltrial.Formallytitled The State of Georgia v. Jeffery Lamar

177 Garcia,JoséA "TheControversialUseofRapLyricsasEvidence"TheNewYorker,November11,2022 https://www.newyorker.com/culture/culture-desk/the-controversial-use-of-rap-lyrics-as-evidence.

178 Carroll,R (2019,October1) DrakeotheRuler:TheLArapperwhoselyricscouldputhiminjailforlife The Guardian. https://wwwtheguardiancom/us-news/2019/oct/01/drakeo-the-ruler-los-angeles-rapper-songs#:~:text=In%20July% 2C%20a%20jury%20acquitted,and%20shooting%20from%20a%20vehicle

179 "DrakeotheRulerFoundNotGuiltyofMurder,FacesRetrialforCriminalGangConspiracy"TheFader,July 11,2019 https://wwwthefadercom/2019/07/11/drakeo-the-ruler-murder-trial-los-angeles-report

180 McIntyrev.State,No.05-18-00774-CR,2020WL353573(Tex.App.Jan.21,2020). https://caselawfindlawcom/court/tx-court-of-appeals/2108580html

Williams,181 YoungThug,arapperwhoaverages27millionmonthlylistenersonSpotify182,is facingmajorRacketeerInfluencedandCorruptOrganizationsAct(RICO)183 chargesinAtlanta. Amongthesechargesare:possessionofmethamphetaminewithintenttodistribute,possession ofhydrocodonewithintenttodistribute,possessionofmarijuanawithintenttodistribute, possessionofamphetamine,possessionofalprazolam,twocountsofpossessionofcodeine,and possessionofafirearmduringthecommissionofafelony.Whilethesechargesstandalonein evidence,theprosecutionincorporatedhisincrediblyfamoussongsintothistrialtodeepenthe woundsofhisactions.SayingthatYoungThugusedhismusicandsocialmediapoststopromote thegangYoungSlimeLife,orYSL,whichallegedlywasbehindmanyviolentcrimes,including killings,shootings,andcarjackings.184

Prosecutorshavepointedtohisviolent,vulgar,andobscenesongsasfurtherevidenceof gangactivityandcriminalinvolvement.Duringahearing,ProsecutorMikeCarlsoninformedthe judgethatYoungThug'slyrics“arepartyadmissions,[and]theyhappentocomeintheformof lyrics.”However,YoungThug'sdefenseteamarguedthathismusicisartisticanddoesnotimply criminalactivity.Viralvideosofhisdefenseattorneygainedmuchattentionbecausehe explainedcriminallytaintedreferencesinhiswork.Forexample,“ondaytwoofthetrial,Young

181 Williamsv State,No A19A1893,2020WL1163562(Ga Ct App Mar 10,2020) https://law.justia.com/cases/georgia/court-of-appeals/2020/a19a1893.html.

182Spotify “YoungThug"Spotify,https://openspotifycom/artist/50co4Is1HCEo8bhOyUWKpn

184 Gaskins,Brianna."YoungThug’sLyricsUsedinTrialforGangandRacketeeringCharges."USAToday, November10,2023

https://www.usatoday.com/story/entertainment/celebrities/2023/11/10/young-thug-lyrics-trial-gang-racketeering/715 28462007/ 183 U.S.DepartmentofJustice."CriminalResourceManual§109:RICOCharges."Justice.gov, https://wwwjusticegov/archives/jm/criminal-resource-manual-109-rico-charges

Thug'sattorneyBrianSteeldelvedintothelifestoryofYoungThug,bornJefferyLamar Williams,andonTuesdayclaimedtherapper'sstagenamestandsfortheacronym“Truly HumbleUnderGod.”’185 Additionally,“atonepoint,Steelinsistedthat"pushinP"—the Grammy-nominated2022trackbyAtlantarappersGunnaandFuturefeaturingYoungThug— standsfor"PushingPositivity.”’186 However,despitethedefense'seffortstodemonstratethatrap lyricsaregenerallyinaccurateandafalsificationoftherapperlife,YoungThugwasreleased afterpleadingguiltyinGeorgia'slongestcriminaltrial.187

xii. Complications Regarding Rap’s Future

Allofthepriortrialspresentevidenceoftheextenttowhichrapisbeingusedregarding criminaltrials.Eveninlightoftangibleevidence,suchasdrugpossession,lyricsarestillusedin courttodepictthe“villainousnature”ofthedefendant.Whilelyricscanbeusedinacourtif theymeetevidentiaryandprobativestandards,theyshouldnotbeexcessivelyincorporatednor usedinanextractivemannerwhenmorerelevantevidenceispresent.Ifraplyricscontinuetobe usedinthecourtroomasevidenceincriminaltrials,thenthefutureoftheindustryisleft questionable.“Theadmissibilityofraplyricsandvideosasevidenceisoftenframedasalegal matter,butitisreallyaboutrace.Byintroducingtheworkofarapperintothecourtroom,

185 Gaskins,Brianna."YoungThug'sNameIsTrulyHumbleUnderGod,HisLawyerSays."USAToday,November 29,2023

https://www.usatoday.com/story/entertainment/celebrities/2023/11/29/young-thugs-name-truly-humble-under-god/7 1738866007/

186 U.S.DepartmentofJustice."CriminalResourceManual§109:RICOCharges."Justice.gov, https://wwwjusticegov/archives/jm/criminal-resource-manual-109-rico-charges

187 Tatum,Sophie."YoungThugChangesPleatoGuiltyinGeorgia’sLongest-RunningCriminalTrial."NBCNews, December14,2023

https://www.nbcnews.com/news/us-news/young-thug-changes-plea-guilty-georgias-longest-running-criminal-trial-rc na177873

prosecutorsarerelyingonracismtodoitsjob—insistingthatthoseinthecourtroomaccept,as fact,theworstkindsofstereotypesaboutthismusicandthepeoplewhomakeit.188 Ifraplyrics continuetobeusedincriminaltrials,theycouldmemorializeracialandindustry-wide stereotypes,allwhileunderminingthelegalprocess.

Conclusion

Astheuseofraplyricsincourtcasesbecomesmoreprevalent,acriticalquestionarises: arecourtsunintentionallyinfringingonrappers'FirstAmendmentrights?Whilenotablestrides havebeenmadetolimitthesuppressionofrapandreducethenumberoflyricsadmittedinto trials,adeeperconversationisneededtopreventfurthercriminalizationofrapculture.The knowledgethatyourlyricscouldbeusedagainstyouinacourtoflawinherentlystiflesfreedom ofexpression,forcingartiststoself-censorandlimitingtheirabilitytospeakfreelyand authentically.

Ifrapcontinuestobeusedasevidencewithintrials,itwillinadvertentlybecomea matterofrestrictedart.Asarapper,onemightshyawayfromtheiroriginalartisticexpressions, whichmayincludevulgarity,toanewtypeofrapthatwon'tgetthemintrouble.Therefore, whilerapperscanusefreespeechintheirmusic,theyandothersalikemayfacethe consequencesiftheygetintroublewiththelaw.Theprobativevalueofusingarapper'slyrical expression,althoughallowedconstitutionallyandlegally,createsaslipperyslopeforregulating freespeech.Rule403andAssemblyBill2799helptolimitthis;however,morelegislativework isneeded.Arecordingstudiocannotturnintoaconfessionroom.Thefutureofrap,freespeech, andourConstitutionalrightsultimatelyhingesonthiscriticalissue.189

188 Hirsch,Afua "TheControversialUseofRapLyricsasEvidence"TheNewYorker,August30,2021 https://wwwnewyorkercom/culture/culture-desk/the-controversial-use-of-rap-lyrics-as-evidence

189 ThispaperhasbeenreviewedbyJohnKettle Heisaclinicalprofessoroflaw,anddirectoroftheIntellectual PropertyLawClinicatRutgersLawSchoolandspecializesincopyright,trademarks,entertainmentlawand advancedintellectualproperty

VOTERIDLAWSANDTHEIRIMPACTTURNOUTONMARGINALIZED

COMMUNITIES

WRITTENBYMEGHANAJONNALGADA|EDITEDBYAASHVIPARIKH

Introduction

i. Defining Voter ID Laws

VoteridentificationlawsrequirecitizenstopresentspecificformsofIDbeforecasting theirballotduringelections.Theseregulationsareintendedtoensurethatonlyeligiblevoters participate,thuspreventingpotentialvoterfraud.WhilevoterIDlawsareoftenadvocatedasa waytoprotectelectionintegrity,studiesconsistentlyshowthatinstancesofin-personvoterfraud areextremelyrare.Instead,theselawstendtodisproportionatelyaffectlow-incomeindividuals andminoritygroups,limitingtheirabilitytovoteandraisingconcernsaboutvotersuppression. ThroughouttheUnitedStates,stateshavevaryingvoteridentificationrules:someonlyaccept government-issuedphotoIDs,whileotherspermitnon-photoIDsorhavenorestrictionsatall. Stateswithstricteridentificationrulesfrequentlyputmoreobstaclesinthewayofmarginalized populations'abilitytogetvalididentity,suchasminorities,elderlypeople,andvoterswith limitedincomes.190 Thisisduetothelackofresourcesandhelpthesepeoplereceiveinorderto gettheirIDs.InstateswithoutIDrequirements,48%ofvoterscorrectlyreportthatnophotoID isneeded,butasurprising38%ofvotersinthosesamestatesmistakenlybelieveitisrequired.191 Thesedisparitiesmayimpactelectionresultsandlowerparticipationinunderprivileged communitiesbycreatinggapsinvoteraccessandturnout.Provisionalballots,whicharecounted whenthevoter'sidentityisconfirmed,canbecastinseveralstatesbyvoterswithouttherequired 191 PewResearchCenter.(2018). Voter ID Laws and Public Perception.Retrievedfrom https://wwwpewresearchorg 190 9907,and9894 “ImpactsofRestrictiveVotingLegislationsincethe2020Election” Brennan Center for Justice, 19Nov 2024, wwwbrennancenterorg/our-work/research-reports/impacts-restrictive-voting-legislation-2020-election

identification.Elderlyordisabledpeople,aswellasthosewhoobjecttobeingphotographeddue totheirreligiousbeliefs,mayalsobeexempt.Thoughthereislittleevidenceofwidespreadfraud undersuchsystems,theseinstancesraisequestionsabouttheintegrityofelectionsifthe verificationprocedureisnotrigorous.Thevoteridentificationlawswehavetodaydonotallow manycitizens,especiallythoseinmarginalizedcommunities,tovoicetheiropinionsand ultimatelyhindertheirabilitytovotefortherepresentativeoftheirchoosing.

ii. Barriers Created by Voter ID Laws

CertaingroupsaredisproportionatelyimpactedbyvoterIDlaws,includingminorities, low-incomeindividuals,andtheelderly.Manypeopleinthesegroupslacktherequired identificationduetofinanciallimitations,limitedaccesstopublicservices,ormobilityissues.192 Forexample,low-incomevotersmaynothavethetimeorresourcestoobtainthenecessary documents,andelderlyvoterswithmobilitychallengesoftenstruggletogetupdated identification.Theseregulationscandiscouragemarginalizedcommunitiesfromvoting,creating acountrythatnolongertakesintoaccounttheopinionsofitscitizens.Birthcertificates,which aresometimesrequiredforvoterIDlaws,aredifficultformarginalizedcommunitiestoget.Due topastracialdiscrepanciesinhospitalaccessandrecordkeeping,manyolderAfricanAmericans, especiallythosebornintheruralSouth,donothavethisdocumentation.193 Evenwhenrecords areavailable,accessmaybeblockedbycostlyfeesoradministrativemistakes.Low-income peoplearedisproportionatelyimpactedbytheseobstacles,whichmakeitmoredifficultforthem

193 Facetoface “ObtainingaBirthCertificateProvesChallengingforAmericans” Face to Face Germantown Hospitality, Mutuality, Transformation,27Oct 2021, facetofacegermantownorg/many-americans-obtaining-birth-certificate-proves-challenging-alfred-lubrano-inquirer-st aff-writer/. 192 BrennanCenterforJustice (2017) The Effects of Voter ID Laws on Voting and Voter Turnout Retrievedfrom https://wwwbrennancenterorg

togettheidentificationneededtovoteandlowervoterturnoutamongunderrepresentedgroups.

WhileseveralstateshaveattemptedtohelpalleviatethebarrierscreatedbyvoterIDlaws,in manycases,theseeffortshavenotledtosignificantimprovementsinvoteraccess.Forexample, whileTexasandWisconsinhaveofferedfreeidentificationcardstovoterswhodonothavethe requiredID,theadditionalcostsassociatedwithtravelandtimeoffworkarestillsignificant barriersforlow-incomeindividuals.2Thesechallengesareseenevenmoreinruralareaswhere publictransportationisunpopular.Furthermore,voterIDrequirementsmayburdenyounger voters,especiallycollegestudents,particularlyinareaswherestudentIDsarenotrecognizedas legitimateformsofidentity.Whiledesignedtoenhanceelectoralintegrity,voterIDlawsoften leadtolowervoterturnout.Thisisespeciallyevidentinmarginalizedcommunities,assuchlaws imposeunnecessarybarriersthatmaybemitigatedbyincreasedaccesstoresources.

Thesedifficultiesweremadeworsebythe2013SupremeCourtrulingin Shelby County v. Holder,whichinvalidatedacrucialclauseinthe VotingRightsActrequiringsomestatesand municipalitieswithahistoryofdiscriminationtoobtainfederalapprovalbeforealteringtheir votinglaws.194 Thisdecisioncreatedfurtherobstaclesforalreadyvulnerablegroupsbyenabling statestoenacttoughervoterIDlawsandotherrestrictivemeasureswithoutfederaloversight.In theabsenceofthisvitalsafeguard,somestatesswiftlypassedlegislationthatdisproportionately impactedminorities,solidifyingstructuralinjusticesandthreateningthedemocraticidealof equalvotingrights.

194 “ShelbyvHolder.” Rock the Vote,8June2023,www.rockthevote.org/explainers/shelby-v-holder/.

LegalBackgroundofVoterIDLaws

IntheUnitedStates,voteridentificationlawsemergedasasignificantpoliticalissuein theearly2000s,withstateslikeIndianaandGeorgialeadingthechargeinimplementingstrict photoIDrequirementsforvoting.2 Whiletheselawswerecreatedatthestatelevelratherthan throughfederallegislation,theysparkedintensenationwidedebateaboutvotingrightsand electionsecurity.ProponentsarguedthatIDrequirementswouldpreventvoterfraud,though extensiveresearchhasfoundveryfewdocumentedcasesofin-personvoterimpersonation.For example,acomprehensivestudyofelectionsbetween2000and2014foundonly31credible instancesofvoterfraudoutofoveronebillionballotscast.

195

Oneofthemostsignificantcaseswas Crawford v. Marion County Election Board,where theSupremeCourtupheldIndiana'svoterIDlawina6-3decision,settinganimportant precedentforotherstates.196 Whencastingtheirballotsatpollingstations,voterswerelegally requiredtoshowavalidformofgovernment-issuedphotoidentification,suchasastateID, Indianadriver'slicense,U.S.passport,ormilitaryID.Thosewithoutlegalidentificationmay onlycastprovisionalballots,whichwouldbecountediftheypresentedvalididentificationat theircountyclerk'sofficewithintendays.However,thelawmadelimitedexceptionsfor residentsofstate-licensedcareinstitutionsandreligiousobjectors,butnotallvoterIDlawshave survivedlegalscrutiny

195 Office,US GovernmentAccountability “Elections:IssuesRelatedtoStateVoterIdentificationLaws[Reissued onFebruary27,2015]” Elections: Issues Related to State Voter Identification Laws [Reissued on February 27, 2015] | U S GAO,www.gao.gov/products/gao-14-634.Accessed2Dec.2024.

196Crawfordv MarionCountyElectionBoard” Oyez,wwwoyezorg/cases/2007/07-21 Accessed22Dec 2024

In North Carolina State Conference of the NAACP v. McCrory197,theFourthCircuit CourtofAppealsstruckdownNorthCarolina'svoterIDlaw,findingthatittargetedAfrican Americanvoterswith"almostsurgicalprecision".198 Thecourtreachedthisconclusionby analyzingevidencethatstatelawmakersrequestedandusedracialdataonvotingpatternstocraft thelaw,includinginformationonhowAfricanAmericansdisproportionatelyreliedonearly voting,same-dayregistration,andout-of-precinctvoting.Thelaweliminatedorrestrictedthese practices,disproportionatelyburdeningAfricanAmericanvoterswhilepreservingmethodsmore commonlyusedbywhitevoters.Asaresultoftheruling,votersinNorthCarolinawereno longerrequiredtopresentaphotoIDatthepollsandcouldinsteadcasttheirballotswithout additionalproofofidentity.Thisdecisionunderscoredthejudicialsystem'sroleinmitigating someoftheharshesteffectsofvoterIDlaws,ensuringmoreequitableaccesstotheballotboxin thestate.Italsosetaprecedentforexaminingvoterlawsthroughthelensofintentandimpact, emphasizingthatevenfaciallyneutralpoliciescanbestruckdowniftheyareshowntohave discriminatorypurposesoreffects.Thisservesasaremindertolawmakersthatvoting regulationsmustprioritizeinclusivityandfairnesstowithstandconstitutionalscrutiny.

Asof2024,35stateshavevoterIDlawsineffect,with18statesrequiringphotoIDand 17statesacceptingnon-photoID.199 NotablecasesincludeTexas,wherefederalcourtsfoundthe state'svoterIDlawdiscriminatoryin2017,leadingtoarevisedversionthatallowedvotersto signaffidavitsiftheycouldn'tobtainID.Wisconsinfacedmultiplechallengesregardingstudent IDsanddocumentationdifficulties.Atthesametime,GeorgiabecameafocalpointofvoterID

197 “NorthCarolinaNAACPV McCrory” Brennan Center for Justice, wwwbrennancenterorg/our-work/court-cases/north-carolina-naacp-v-mccrory Accessed30Nov 2024

198 AmericanCivilLibertiesUnion (2016) Voter ID Laws and Legal Challenges: ACLU Fact Sheet Retrievedfrom https://wwwacluorg

199 NationalConferenceofStateLegislatures.(2024). Voter ID: Laws in Effect by State.Retrievedfrom https://wwwncslorg

debatewithnewlegislationaffectingin-personandabsenteevotingrequirements2.Ifeligible votersareunabletovisittheirassignedpollinglocationonelectiondayforanyreason—suchas beingoutofstate,havingworkcommitments,beingillordisabled,orotherqualifying circumstances—theycanuseanabsenteeballot,whichisavotingmethodthatenablesthemto casttheirballotbymailorinpersonbeforeelectionday.Critics,includingcivilrights organizations,haveconsistentlychallengedmanyoftheselawsincourt,arguingthey disproportionatelyaffectminorityvoters,elderlycitizens,andlow-incomecommunitieswho mayfacedifficultiesobtainingproperidentification.ThelegallandscapearoundvoterID remainscomplexandvariessignificantlybystate-somerequirestrictphotoID,othersaccept non-photoIDlikeutilitybills.Incontrast,severalstateshavenoIDrequirement,reflectingthe decentralizednatureofAmericanelections,wherestateshaveconsiderableautonomyinsetting theirownvotingrulesandprocedures.

ComparingVoterIDLawsbyState

iii. New Jersey Politics

Amongstates,NewJerseyhasadoptedamorelenientapproachtomaintainingthe integrityofthevotingprocess.IncontrasttoGeorgiaorTexas,wherevotinginpersonrequiresa government-issuedphotoID,NewJerseyadoptsamoreinclusivestrategythatlowersvoting obstacles.ThestatedoesnotrequiremostvoterstopresentaphotoIDtovoteinperson. Presentingidentificationisonlyrequiredforfirst-timevoterswhoregisteredbymail.Thiscan includenon-photodocumentationlikeutilitybills,bankstatements,paychecks,oranyother documentissuedbythegovernmentthatcontainstheirnameandaddress.200 Voterswhodonot 200 “VoterIDinNewJersey.” Ballotpedia,ballotpedia.org/Voter ID in New Jersey.Accessed23Nov.2024

haveaccesstoconventionalmeansofidentificationcanstillparticipateinelectionswithout experiencingexcessivehardshipthankstothisadaptablemethod.Furthermore,NewJersey's strategydemonstratesitslargerdedicationtoelectoralaccessibility.Thestatecanavoid establishingneedlessbarriersforpeoplewhomightfinditdifficulttogetgovernment-issued photoIDsbecauseoffinancial,logistical,orotherdifficultiesbyreducingtherequirementsfor in-personvoting.ThisstandsincontrasttomorestringentstateslikeGeorgiaandTexas,where votersmaybeissuedprovisionalballotsiftheydonotpresenttheappropriateidentityatthe pollingstation.Theseballotsmaynotalwaysbetalliedunlesstherequireddocumentationis presentedpromptly.NewJerseyisaleaderinaccessiblevotingproceduresbecauseofitsmore inclusiverules,whicharedesignedtoencourageparticipationfromalleligiblevoters, irrespectiveofsocioeconomicordemographiccharacteristics.Thestatefacedsignificant changesduringtheCOVID-19pandemicwhenitimplementeduniversalmail-invotingforthe 2020election,demonstratingitsadaptableapproachtovotingaccessibility.However,thestate hasseensomecontroversyregardingvoterverificationmethods.

In2020,NewJerseyexpandeditsvoterIDrequirementsformail-inballots,requiring signatureverificationtoconfirmvoteridentity.Thisdecisionsparkeddebateaboutthebalance betweenelectionsecurityandvoteraccess,particularlywhenaccordingtoananalysisofNew Jersey'svote-by-maildatabase,about66,500ballotswererejectedinthe2020generalelection, representingonly1.4%ofthosecast.201 Toguaranteethattheirvoteswouldbetallied,voters weregiventhechancetocorrecttheirballots,whichallowedthemtoaddressproblemslike missingormismatchedsignatures.Thestate'sapproachhasgenerallyresultedinhighervoter

201 ColleenO’Dea,NJSpotlight “ProblemswithSignatures,EnvelopesTopReasonsNJBallotsRejected” WHYY, WHYY,15Dec 2020,whyyorg/articles/problems-with-signatures-envelopes-top-reasons-nj-ballots-rejected/

turnoutthanstateswithstrictIDlaws–inthe2020election,NewJerseysawarecord-breaking 78.3%voterturnout.202 Thestatecontinuestofocusonexpandingvoteraccesswhilemaintaining electionintegritythroughmethodslikeautomaticvoterregistrationatmotorvehicleagenciesand onlinevoterregistrationratherthanimplementingrestrictiveIDrequirementsthatmightcreate barrierstovoting.203

iv. Texas Politics

Texas,ontheotherhand,reportedavoterturnoutofroughly66%inthe2020election. Texashasoneofthenation'sstrongestvoterIDlaws,requiringgovernment-issuedphoto identificationforin-personvoting.204 DespiteTexashavingoneofthegreatestpopulationsof eligiblevoters,thisturnoutwasmuchlowerthanthatofNewJersey.Texas'sstringentIDlaws, limitedearlyvotingbooths,andotheraccessibilityissuescouldallbefactorsinthestate's reducedturnout.Opponentscontendthattheserestrictionsimpedevoterturnout,especially amongunderrepresentedgroups,whilesupporterscontendthattheypreservetheintegrityof elections.ThestarkcontrastbetweenturnoutratesinNewJerseyandTexashighlightsthe potentialimpactofvoterIDlawsandaccesspoliciesonelectoralparticipation,underscoringthe importanceofbalancingsecuritywithinclusivity.

v. Solution

AddressingtheobstaclesposedbyvoterIDlegislationisessentialtoguaranteeingan inclusiveandfairdemocraticprocess.Electionsecurityrequirementsmustbebalancedtoenable

202 “HowManyAmericansVotedin2020?” USAFacts,USAFacts,3Oct 2024, usafactsorg/articles/how-many-americans-voted-in-2020/

203 EagletonInstituteofPolitics,RutgersUniversity (2021) New Jersey’s Voter Access Policies and Their Impact on Turnout Retrievedfromhttps://eagletonrutgersedu

204 Najmabadi,Shannon,andMandiCai “DemocratsHopedHighTurnoutWouldUsherinaBlueWaveacross Texas.ItDidn’t.” The Texas Tribune,TheTexasTribune,5Nov.2020, wwwtexastribuneorg/2020/11/04/texas-voter-turnout-democrats/

alleligibleindividualstovote.Expandingaccesstoidentificationisasuccessfulstrategy, particularlyinjurisdictionswithstrictvoterIDregulations.OfferingfreeIDsandsendingmobile IDunitstolow-incomeandruralareasmighttransformthesituation.Similarinitiativeshave beenstartedinstateslikeWisconsinandTexas,205 butextendingtheseprogramsandlowering administrativebarrierswillassistunderservedgroupsingettingtherequiredidentificationeven more.

Itisequallycriticaltoaddressthehiddenexpensesrelatedtoacquiringidentification. EvenwhenIDsaregivenawayforfree,transportationandtimeawayfromworkcanbemajor challenges.StateandfederalprogramscouldfundTransportationservicesdesignedtoassist votersingettingtoID-issuingfacilities.Forexample,freeorsubsidizedtransitcouldreducethe expenseburdenforolderandlow-incomepeople,whoaremorelikelytoexperiencemobility issues.

Extendingthelistofapprovedidentificationformsisanotherwaytosolvetheproblem. Statescanpreventresidentswhostruggletoobtaingovernment-issuedphotoIDsfromlosing theirrighttovotebypermittingnon-photooptionssuchasutilitybillsorbankaccounts.States thatallowotherkindsofidentification,likeNewJersey,offeramodelthatmightbeusedmore broadlytolowervotingobstacles.

Conclusion

Thetensionbetweenmaintainingwidespreadvotingaccessandensuringelection integrityliesattheheartofthedebateovervoterIDlaws.Althoughstatisticsshowthatin-person voterfraudisincrediblyrare,supportersofthislegislationassertthatitpreventsfraud.

205 Staff,TheCenterSquare,andTheCenterSquareStaff “WisconsinDMVProvidesFreeStateIDCardsfor VotingPurposes” Just The News, justthenewscom/nation/states/center-square/wisconsin-dmv-provides-free-state-id-cards-voting-purposes Accessed 23Nov 2024

Interestingly,researchhasnotfoundastronglinkbetweenastate'shighervoterIDrequirements andthenumberofpriorfraudreports,indicatingthattheseregulationsmayreflectpolitical objectivesratherthanactualfraud.Thejustificationfortheserestrictionsisquestionedbecause somestateswithmorestringentvoterIDlawshavenotseenhigherratesofelectionfraudinthe past.

StrictvoterIDlawsoftendisproportionatelyimpactunderprivilegedgroups,reducing voterturnoutamonglow-income,elderly,andminoritypopulations.Everyone'srighttovote mustbeprotectedinarobustdemocracy,andremovingthebarrierstheserulesimposeisan essentialfirststep.Byincreasingthenumberofapprovedidentityforms,reducinghiddencosts, improvingaccesstoidentification,andmakingsurethatvotingregulationsarefoundedonfacts ratherthanconjectureaboutfraud,statescancreateasafeandinclusivevotingenvironment.To preservedemocraticvaluesandpublictrustinthepoliticalprocess,accessandintegritymustbe balanced.206

206

ProfessorWilliamField,commentsondraftpaper,December1,2024thatweretakenintoaccountbyaddingmore informationfromsources

GENOCIDEALLEGATIONSINGAZA:

THELEGALROLEANDSIGNIFICANCEOFTHEINTERNATIONALCOURTOF JUSTICE

WRITTENBYALEJANDRAAFANADOR|EDITEDBYNAVYATERAPALLI

Introduction

Sinceitsinception,theInternationalCriminalCourt ofJustice(ICJ)hasactedasaglobal judicialpower,thoughitsfailuretomitigatetheprolongedIsraeli-Palestinianconflictbringsits efficacyintoquestion.TheCourt’sinvolvementintheeventsoftheGazaStripsinceDecember 2023—particularlyfollowingSouthAfrica’saccusationsofgenocidalactsonIsrael’spartagainst thePalestinianpeople(i.e.Case192)—hasbeenasalientpointofcontention.Suchrecentnews hasbeggedquestionsaboutwhattheICJisexactlyandwhetheritsrulingshaveanycredibility ontheworldstage.Atthemoment,thespotlightoftheseinquiriesshinesontheGazaStrip. i. What is the International Court of Justice?

OfficiallycodifiedintotheUnitedNationsCharterin1945,theInternationalCourtof Justice,orICJ,hasbeenanauthorityintherealmofinternationalrelationssincetheSecond WorldWar 207 Morerecently,thecourthasmadeheadlinesregardingitsroleintheongoing Israel-HamaswarafflictingtheGazaStrip,withchargesofallegedgenocidebeingbroughttoits attention.Yet,itsexistenceandpurposeareunbeknownsttomuchoftheglobalpopulation.The ICJisdefinedas“theprincipaljudicialorganoftheUN[...]chargedwithsettlingdisputes betweenStatesandprovidingadvisoryopinions”.208 Inlayman’sterms,theICJdealswith conflictsthatarisebetweentwoormoresovereigncountries’officialgoverningbodiesorStates. ThistreatseachStateasitsownentityinacriminalcase,butitdoesnottryparticularindividuals

207 “History” History | INTERNATIONAL COURT OF JUSTICE,InternationalCourtofJustice, wwwicj-cijorg/history

208 “UNStructure” United Nations,UnitedNations,wwwunorg/en/model-united-nations/un-structure

118 forcrimes.However,theICJisnottheonlyinternationaljudiciarybody—thereisalsothe InternationalCriminalCourt(ICC).Afewdistinctionsareworthnotingbetweenthetwo.Both judiciarybodiesarebasedinTheHague,Netherlands,wherethetwodivergeprimarilyintheir function,jurisdiction,andaffiliation.Firstly,theICJ’sfunctionistoresolvealtercationsbetween nation-statesandgovernments,whereastheICCtriesindividualsforcriminalacts.Thecurrent caseconcerningIsraelpresentschargesagainstthestateitself,notaparticularindividual.Hence why,thiscaseisbeinghandledbytheICJasopposedtotheICC(eventhoughbothcourtshold trialsforcrimesagainsthumanity,suchasgenocide).Secondly,intermsofaffiliations,theICJ is—aspreviouslydefined—oneofthebranchesunderthesystemoftheUnitedNations. Contrariwise,theICCisindependentfromtheUN.209 Thedistinctionbetweenthesetwoglobal courtsisrelevanttothecasestudyoftheIsraeli-PalestinianconflictbecausetheICChasrecently issuedarrestwarrantsforbothIsraeliandHamasleadersalike,chargingthemwithwarcrimes andcrimesagainsthumanity.210

ii. Origins of the ICJ

Asintroducedpreviously,theICJwasofficiallycodifiedintotheCharteroftheUnited Nationsin1945asitsprincipaljudicialorgan.211 TheestablishmentoftheICJfollowedthe legacyofthePermanentCourtofInternationalJustice(PCIJ),whichhadbeencreatedin1920 undertheLeagueofNationsbutceasedtofunctionaftertheLeague'sdissolution.AstheUN inheriteditsframeworkfromtheLeagueofNations,sotootheICJinheritedmuchofthePCIJ’s foundationalstructurewhileadaptingtotheevolvinginternationalframeworkpost-WorldWarII.

209 JulietteMcIntyre,UniversityofMelbourneandUniversity ofSouthAustralia.“HowDoestheInternationalCourtofJustice DifferfromtheInternationalCriminalCourt?” Pursuit,TheUniversityofMelbourne,5Feb.2024, pursuit.unimelb.edu.au/articles/how-does-the-international-court-of-justice-differ-from-the-international-criminal-court#:~:text= The%20ICJ%20has%20jurisdiction%20over,ICC%20prosecutes%20individuals%20for%20crimes.

210 InternationalCriminalCourt. Statement of ICC Prosecutor Karim A.A. Khan KC on the Issuance of Arrest Warrants in the Situation in the State of Palestine.November21,2024. https://www.icc-cpi.int/news/statement-icc-prosecutor-karim-aa-khan-kc-issuance-arrest-warrants-situation-state-palestine.

211 UnitedNations, Charter of the United Nations and Statute of the International Court of Justice,June26,1945, https://www.un.org/en/about-us/un-charter

Thisadaptationwasdrivenbythedesiretosolidifymechanismsforpeacefuldisputeresolution inaworldscarredbyglobalconflict.212

TheICJiscomposedoffifteenjudges,whoareelectedtonine-yeartermsbytheUnited NationsGeneralAssemblyandtheSecurityCouncil.Thesejudgesrepresenttheworld's principallegalsystemsandaretaskedwithmaintainingjudicialindependencewhileupholding theruleoflawattheinternationallevel.Thecourt’sjurisdictionistwofold:itadjudicates contentiouscasesbroughtbystatesandprovidesadvisoryopinionsonlegalquestionsreferredto itbyauthorizedUNorgansandspecializedagencies.TheICJbeganitsoperationsin1946 in TheHague,Netherlands,andthebodyhasbeenheadquarteredthereeversince.

ThefoundationalstatuteoftheICJ,whichisanintegralpartoftheUNCharter,outlines itsoperationalscopeandprocedures.Article38oftheICJStatutedefinesthesourcesof internationallawthecourtapplies,includinginternationalconventions,customarylaw,general principlesoflaw,andjudicialdecisionsorscholarlywritingsassubsidiarymeans.This frameworknotonlyguidesthecourt’srulingsbutalsoensuresconsistencywiththebroader corpusofinternationallaw.213

iii. How the ICJ Works

AlthoughthejudicialnatureoftheICJisanalogoustothatofnationalcourts,its jurisdictionisuniquetotheinternationalsystem.TheICJhastwoprimaryfunctions:settling legaldisputessubmittedbystatesandprovidingadvisoryopinionsonlegalquestionsreferredto itbyauthorizedinternationalorgansoragencies.CasesbroughttotheICJmustmeetstringent criteria,asonlystatesmaybepartiestocontentiouscases.Moreover,statesmustconsenttothe court'sjurisdiction,eitherthroughtreaties,declarations,orspecialagreements.This

212 InternationalCourtofJustice, History and Legacy of the PCIJ and ICJ,https://www.icj-cij.org/history

213 InternationalCourtofJustice, The Composition of the Court,accessedNovember30,2024, https://www.icj-cij.org/composition.

consent-basedsystemreflectstheprinciplesofstatesovereigntybutalsolimitstheICJ’s enforceability,asnationsunwillingtosubjectthemselvestoitsrulingscannotbecompelledtodo so.

iv. Do the ICJ’s Rulings Hold Any Weight in Practice?

AprevalentcritiqueofinternationalorganizationssuchastheUNisthatasafactionof aninternationalorganizationwithnophysicalmodeofenforcement—no“globalpoliceforce”, sotospeak—theylackthepraxistoaffectchange.Theessenceofthedecisionsthecourtorthe UNadoptsisfoundedinrulings,resolutions,ortreaties.Theseinternationalagreementsare essentialtodiplomacyandprovideaframeworkforworldorder,theyhavethepotentialtobe perceivedasmeresuggestionswithoutenforcingpower.Legally,theICJ’srulingsarebindingfor thepartiesinvolved—butaretheytruly?Aswithmuchofinternationallaw,theICJorderscan lackenforceabilitybeyondpossibleeconomicramifications(i.e.,sanctions)inpractice.Atthe endoftheday,thereisnoglobalforcethatresemblesaphysicalcorpsofofficerstoenforcethe law,asisseeninnationalmilitaries.Evenso,thereissomeextentofenforceabilityfromthe UnitedNations,includingtheSecurityCouncil’spowertodeclaretheuseofmilitarypowers.All stateswithmembersonthecouncilarealso“obligatedtocomplywithCouncildecisions”.214 Certainnation-statesexertmoreinfluenceoverUNrulingsthanothers,however,potentially propagatingbiasandgrantingthemlargercontrolintheseinternationalsystems.Thisismost evidentintheUnitedNationsSecurityCouncil,inwhichfivepermanentmembers,referredtoas theP5,areallowedtovetoanyresolution(i.e.,theUnitedStates,UnitedKingdom,Russia, China,andFrance).215 TheUnitedStates’abilitytovetopreviousdraftresolutionsforaceasefire inGaza,forinstance,hasplacedtheSecurityCouncil’smethodsunderscrutinybysome.Such

214 “SecurityCouncil|MeetingsCoverageandPressReleases.”UnitedNations,n.d.https://press.un.org/en/security-council.

215 “SecurityCouncilMembers,SecurityCouncil.” UN.Org,UnitedNations, www.un.org/securitycouncil/content/security-council-members.

criticismshavetransitedintothespotlightthattheICJcurrentlyfindsitselfunderbecauseof SouthAfrica’schargesagainstIsraelforgenocideintheGazaStripfollowingtheOctober7th, 2023Hamasattack.Moreover,theefficacyoftheICJhasbeenespeciallyscrutinizedinthis contextfollowingcontinuedattacksontheGazaStripbythestateofIsraelafterICJ discouragementfollowingbombingsintheareaofRafah.

TheInternationalCourtofJustice

v. Significance of Rulings

Themostcontroversialpointofcontentionregardinginternational organizations—especiallythosewiththeobjectivetofunctionasarbitersofjustice—istheir ambiguousjurisdiction.Inabroadsense,whenanentityaimstohavejurisdictionoverthe myriadofnationsintheworld,thereareboundtobegeo-politicaldisputesbetweenstates.From workingdefinitionsofinternationallawsandchargestodisputesoverviolationsofthoselaws. ButasanentitywiththeUnitedNations’missionto“maintaininternationalpeaceandsecurity” andthejudicialbranchoftheorganizationitistheirprerogativetoreinforcethemissionof upholdinginternationallaw.Furthermore,thoseinternationallawsincludetreatiesand conventionswhichestablishstandardsthatnationsareexpectedtoadhereto.

AccordingtotheofficialwebsiteoftheInternationalCourtofJustice:“Judgments delivered by the Court (or by one of its Chambers) in disputes between States are binding upon the parties concerned. Article 94 of the United Nations Charter provides that ‘[e]ach Member of the United Nations undertakes to comply with the decision of [the Court] in any case to which it is a party’. Judgments are final and without appeal. Ifthereisadisputeaboutthemeaningor scopeofajudgment,theonlypossibilityisforoneofthepartiestorequestaninterpretationto theCourt.[...]Asregardsadvisoryopinions, it is usually for the United Nations organs and

specialized agencies requesting them to give effect to them or not,bywhichevermeanstheysee fit.”(emphasisadded).216

In terms of formal legality, rulings from the ICJ are to be taken as international law This is reminiscent of the weight that Supreme Court rulings hold in the United States judicial system. However, it is evidently more complicated to enforce ICJ rulings duetothevastnessoftheirinternationaljurisdiction.

vi. The ICJ’s Role in the

Israeli-Palestinian Conflict in Gaza

InDecemberof2023,thenation-stateofSouthAfricainstitutedproceedingsagainstthe stateofIsrael.TheRepublicofSouthAfricaaccusesIsraelofviolatingitsobligationsunder internationallawsetbytheprecedentofthe “ConventiononthePreventionandPunishmentof theCrimeofGenocide”—commonlyreferredtoastheGenocideConvention.Accordingto SouthAfrica,thestateofIsraelhasnotonlyallowedgenocidetooccurbuthasalsoallegedly incitedit.SincetheopeningofthecaseinDecember,theICJhasappliedproceduresof provisionalmeasures,rulings,andrevisitingsofsaidmeasuresuntilthepresentday.217 InMayof 2024,theICJissuedadditionalprovisionalmeasuresaddressingIsrael’smilitaryoperationsin Rafah,acityintheSouthernGazaStrip.Thecourtorderedanimmediatehalttotheoffensive, citingrisksofconditionsthatcouldamounttogenocideundertheGenocideConvention.The rulingalsocalledforthereopeningoftheRafahcrossingforhumanitarianaidandaccessfor investigations.Subsequentreports,however,indicatedcontinuedmilitaryactions.218 Thisonce againhighlightsthetensionsbetweentheICJ’slegaldirectivesandthepracticalenforcementof itsrulingsontheground.

216 “FAQs.” International Court of Justice,www.icj-cij.org/frequently-asked-questions.

217 “ApplicationoftheConventiononthePreventionandPunishmentoftheCrimeofGenocideintheGazaStrip(SouthAfrica v.Israel)”, International Court of Justice,https://www.icj-cij.org/case/192.

218 JURIST,"ICJOrdersHalttoIsrael'sGazaOffensiveOverGenocideFears,"May24,2024, https://www.jurist.org/features/2024/05/24/explainer-icj-orders-halt-to-israels-gaza-offensive-over-genocide-fears/.

Asthegoverningjudicialauthorityonthematter,thecourtevaluatesthelegalsubstance ofthechargesinquestionwithacomprehensivelensasanobjectiveentityforrectitude.Like anyjudicialbody,theICJmustexerciseacertaindegreeofjudicialindependencetoreachajust ruling.Thisentailstheconsultationoftestimonyandevidencefromthevariouspartiesinvolved. ThoughtheICJisprimarilythechiefactorresponsiblefortheresolutionofthislegalconflict, eachofthesixbranches(alsoknownas“principalorgans”219)oftheUnitedNationshasbeenand continuestobeinvolvedintheissuessurroundingtheGazaStrip.Tothoroughlycontextualize theICJ’sroleinthisconflict,thescopemustbebroadenedtoanalyzeitsparentorganization,the UnitedNations(alsoknownas“theUN”).Asamulti-facetedconflict,theUNappliesitslayered jurisdictiontoaddressthecomplicatedperspectivespertinenttothesituation.TheSecurity Councilhasattemptedtopassresolutionsinfavorofaceasefireintheregiontwicesince Decemberof2023,withbothattemptsvetoedbytheUnitedStates.220 However,onMarch25th, 2024,theUNSCwasabletopassResolution2728,astheUnitedStatesabstainedfromthevote andtheotherfourteennation-statesvotedinfavorofthedraft.Theresolutionhadproposedan immediateceasefireinGazaforRamadan,anannualMuslimholidaywhichspansonemonth.221 InastatementfollowingtheSecurityCouncil’sdecision,UnitedNationsSecretary-General (UNSG)AntónioGuterresvoicedhisardentsupportfortheurgencyoftheresolution,saying, “thisresolutionmustbeimplemented.Failurewouldbeunforgivable”.222 TheUNSG’svocal promotionoftheresolutionstemsfromthehumanitarianconcernssurroundingtheconflict.

219 “UNStructure.” United Nations,UnitedNations,www.un.org/en/model-united-nations/un-structure.

220 “SecurityCouncilAgainFailstoAdoptResolutionDemandingImmediateHumanitarianCeasefireinGazaonAccountof VetobyUnitedStates|MeetingsCoverageandPressReleases.” UN.Org,UnitedNations, press.un.org/en/2024/sc15595.doc.htm#:~:text=The%20Security%20Council%20today%20failed,text%20since%20early%20Dec ember%202023.

221 “SecurityCouncilDemandsImmediateCeasefireinGazaforMonthofRamadan,AdoptingResolution2728(2024)with14 MembersVotinginFavour,UnitedStatesAbstaining|MeetingsCoverageandPressReleases.” UN.Org,UnitedNations,25Mar 2024,press.un.org/en/2024/sc15641.doc.htm.

222 Reuters,andTOIStaff.“UNChief:‘Unforgiveable’toNotApplySecurityCouncilGazaCeasefireResolution|TheTimesof Israel.” Timesofisrael.Com,TheTimesofIsrael,25Mar.2024, www.timesofisrael.com/un-chief-unforgiveable-to-not-apply-security-council-gaza-ceasefire-resolution/.

BeyondthedevastationafflictingGaza’slandandinhabitants,thereleaseofhostagesalsoposes ahumanitarianconcern,amatterpertinenttotheUN.TheStateofIsraelhasespeciallyvoiced thisconcern,thoughthegovernmenthasyettoreachanagreementwithHamasintermsofa truce.SubsequentUNSCattemptsataceasefirehavebeenunsuccessful,however,mostrecently aNovember20thresolutionbeingvetoedbytheUnitedStates.223 Thereinliesthequestionof implementingtheUNSC’scallforanimmediateceasefireintheregionandwhetherits rulings—andthoseoftheICJ—carryweightinpractice.

vii.

The Role of the United Nations

TheUnitedNationsplaysamultifacetedroleintheIsraeli-Palestinianconflict,witheach ofitssixprincipalorganscontributingtothesituationinGazaandtheICJ'sCase192.The GeneralAssembly(UNGA)servesasaforumforinternationaldialogue,adoptingresolutions thatadvocateforceasefiresandhumanitarianaid.InNovember2023,theGeneralAssembly passedResolutionES-10/19,whichcalledforanimmediateceasefireandemphasizedthe importanceofhumanitarianaccesstoGaza.224 Whiletheseresolutionsreflectglobalconsensus, theylackbindingauthority.TheSecurityCouncil(UNSC),incontrast,hasthepowerto implementbindingmeasuresforpeaceandsecurity.However,itseffortstoenforceceasefires havebeenlimitedbyU.S.vetoes,diminishingitseffectiveness.Despitethesechallenges,the UNSCadoptedResolution2728inMarch2024,whichproposedatemporaryceasefireduring Ramadan.225 TheICJ,astheUN’sjudicialarm,isparticularlypertinenttoCase192,addressing allegationsofgenocideundertheGenocideConvention.Thiscase,broughtbySouthAfrica againstIsrael,underscorestheICJ’sroleininterpretinginternationallawandholdingstates

223 “SecurityCouncilFailstoAdoptResolutionDemandingImmediateCeasefireinGaza,asUnitedStatesCastsNegativeVote| MeetingsCoverageandPressReleases.”UnitedNations,n.d.https://press.un.org/en/2024/sc15907.doc.htm.

224 UnitedNationsGeneralAssembly, Resolution ES-10/19,November15,2023,https://undocs.org/en/A/RES/ES-10/19.

225 UnitedNationsSecurityCouncil, Resolution 2728,March25,2024,https://press.un.org/en/2024/sc15641.doc.htm.

125 accountableforallegedviolations.226 Meanwhile,theEconomicandSocialCouncil(ECOSOC) overseeshumanitarianeffortsthroughagencieslikeUNRWAandWHO,whichprovideessential aidtoGaza.ECOSOC’sreportshavehighlightedtheseveresocio-economicimpactofthe conflict,emphasizingtheneedforcontinuedinternationalsupport.227 However,inlateOctoberof 2024,theIsraeligovernmentannouncedacontroversialbanontheUNRWA’soperationsin Gaza,adecisionexpectedtohinderthedeliveryofhumanitarianaidandessentialservices.228 TheUNSecretariat,ledbySecretary-General(UNSG)AntónioGuterres,isanexecutivearmof theUNthatfacilitatesdiplomaticinitiativesandsupportsitsoperations.Guterreshasbeena vocaladvocateforceasefiresandexpandedhumanitarianaccess,emphasizingtheimportanceof adheringtointernationalhumanitarianlaw.WhiletheTrusteeshipCouncilisnolongeractive,its legacyofpromotingself-determinationremainsrelevant,particularlyindiscussionssurrounding Palestinianstatehood.229 Collectively,theseorgansillustratetheUN’smultifacetedresponse, withtheICJfocusingonlegalaccountabilitywhileotherbranchesaddressthepolitical, humanitarian,anddiplomaticdimensionsofthecrisis.

ApplicationtoIsrael&WarinGaza

viii. Where the Case Stands Now

InregardstotheongoingcaseICJhaspresentedagainstthestateofIsraelsince Decemberof2023,multiplenationshaveelectedtojoinSouthAfricaintheirtrial.Itisworth notingthesignificanceofSouthAfricabringingforththesechargesandtheconnotationsthatthis carries.ThenationofSouthAfricahasahistoricallyheldpersonalhistoryofaddressingsystemic injustices,particularlyinitsconfrontationwithapartheid—astate-sanctionedsystemofracial

226 InternationalCourtofJustice, Application of the Convention on the Prevention and Punishment of the Crime of Genocide in the Gaza Strip (South Africa v. Israel),www.icj-cij.org/case/192.

227 EconomicandSocialCouncil, Report on the Socioeconomic Impact of the Conflict in Gaza,June2024.

228 UnitedNations."IsraeliKnessetVotetoBanUNRWASettoDeepenPalestinianSuffering," United Nations in Palestine, October9,2024,https://palestine.un.org/en/282222-israeli-knesset-vote-unrwa-set-deepen-palestinian-suffering.

229 UnitedNations, History and Role of the Trusteeship Council,www.un.org/en/trusteeship.

segregationanddiscriminationthatdrewwidespreadinternationalcondemnation.Thishistorical experiencemayinformitsstanceonissuesofallegedstate-ledpersecutionandviolence.Other nation-stateshavealsoalignedthemselveswithSouthAfrica’sposition,demonstratingagrowing internationalconcernthattranscendsgeographicalborders.230 Returningtotheproceedingsat hand,ICJCase192,entitled“ApplicationoftheConventiononthePreventionandPunishment oftheCrimeofGenocideintheGazaStrip(SouthAfricav.Israel),”workstodeterminethe verityofthecrimeofgenocideallegedlycommittedbyIsraelinGazabyreferringtothe GenocideConventions.TheConvention,signedbyone-hundredandfifty-twonation-statesin 1948,establishesthat,underinternationallaw,foranacttoconstitutegenocide,itmusthave “theintenttodestroy,inwholeorinpart,anational,ethnic,racial,orreligiousgroup”.231 Academicshavealsolongscrutinizedlegaldefinitionsandmeasuresofgenocide,includingthe PresidentofGenocideWatchDr.GeorgeStanton’sTenStagesofGenocideasanattemptto operationalizetheterm.Giventhegravityandseverityofsuchaccusations—especiallygivenits particularhistorywiththegenocidalhorrorsoftheHolocaust—Israelcurrentlyfindsitselfonthe offensive.TheIsraeligovernmenthascitedHamas’October7thattacksastheammunitionthat hasloadedthegunofthepresentmilitarycampaigninGaza.TheattackonOctober7thleft one-thousandtwo-hundredindividualsdead,withover200takenhostage.232 Thenation's subsequentactionshavebeendefendedbytheIsraeligovernmentasretaliationagainstHamas, withPrimeMinisterBenjaminNetanyahustating,“Israelisatwar.WewilldestroyHamas' capabilitiestoensurethesafetyofourcitizensandourhomeland.”233

230 “ApplicationoftheConventiononthePreventionandPunishmentoftheCrimeofGenocideintheGazaStrip (SouthAfricav.Israel)”, International Court of Justice,https://www.icj-cij.org/case/192.

231 United Nations, Convention on the Prevention and Punishment of the Crime of Genocide, December 9, 1948, https://www.un.org/en/genocideprevention/documents/atrocity-crimes/Doc.1_Convention%20on%20the%20Preventio n%20and%20Punishment%20of%20the%20Crime%20of%20Genocide.pdf.

232 DanWilliams,"IsraelRevisesDeathTollfromOct.7HamasAttacktoAround1,200," Reuters,November10,2023, https://www.reuters.com/world/middle-east/israel-revises-death-toll-oct-7-hamas-attack-around-1200-2023-11-10/.

233 RuthLevush,"Israel:GovernmentDeclaresWarandSpecialSituationonHomeFrontFollowingOctober7HamasAttacks," Global Legal Monitor,LibraryofCongress,December12,2023,

ix. ICJ’s Present Ruling

TheprogressoftheICJ’srulingsatthetimeofthispublicationincludesprovisional measuresaimedatmitigatingtheallegedviolationsoftheGenocideConventionbyIsraelin Gaza.Thesemeasures,centraltoCase192,reflecttheICJ’sjudicialinterventioninoneofthe mostcontentiousandlegallycomplexconflictsofmoderntimes.Thecase,titled Application of the Convention on the Prevention and Punishment of the Crime of Genocide in the Gaza Strip (South Africa v. Israel),buildsontheConvention’sfoundationalprinciples,whichobligatestate partiestopreventactsofgenocideandholdperpetratorsaccountable.

InresponsetoSouthAfrica’sapplicationinDecember2023,theICJissuedprovisional measuresinJanuary2024.ThesemeasuresinstructedIsraelto"takeallnecessarystepswithinits powertopreventactionsthatcouldconstitutegenocide."Thisincludedobligationstofacilitate humanitarianaidandavoidactionsthatmightleadtothedestruction,inwholeorinpart,ofthe PalestinianpopulationasaprotectedgroupundertheGenocideConvention.Followingfurther escalations,theICJexpandeditsordersinMarchandMay2024,underscoringtheneedforIsrael tohaltmilitaryoperationsinkeyareassuchasRafahandtoensureunimpededaccessfor internationalfact-findingmissions.Theserulingswereadoptedbyamajorityvoteof13–2, highlightingasignificantlevelofconsensusamongthejudgesontheurgencyofthesituation.234

TheICJ’sprovisionalmeasuresreflectitsadherencetoestablishedjurisprudence concerninggenocide.Forinstance,inthelandmark Bosnia and Herzegovina v. Serbia and Montenegro (2007)case,theICJoutlinedthecriteriaforattributingstateresponsibilityfor genocide,emphasizingthenecessityofprovingboth"specificintent"(dolusspecialis)andstate

234 InternationalCourtofJustice, Application of the Convention on the Prevention and Punishment of the Crime of Genocide in the Gaza Strip (South Africa v. Israel),CaseNo.192,ProvisionalMeasures,January2024,https://www.icj-cij.org/case/192. https://www.loc.gov/item/global-legal-monitor/2023-12-11/israel-government-declares-war-and-special-situation-on-home-frontfollowing-october-7-hamas-attacks/.

controloveractorscommittinggenocidalacts.235 Similarly,in The Gambia v. Myanmar (2020), theICJdemonstrateditswillingnesstoimposeprovisionalmeasuresundertheGenocide Conventiontopreventfurtherharmwhilelegalproceedingsareongoing.236 Theseprecedentsare instructiveforthecurrentcase,astheICJmustnavigatethechallengesofdistinguishingbetween lawfulactsofself-defenseandmeasuresthatmayresultindisproportionateharmtociviliansor violateinternationallaw.Despitethesemeasures,theICJ’sabilitytoenforceitsrulingsremains limited.IsraelhasdisputedtheapplicabilityoftheGenocideConventiontoitsmilitaryactionsin Gaza,framingitsoperationsasalegitimateresponsetoHamas’October7,2023,attacks.This contentionraisescomplexlegalquestionsabouttheintersectionofinternationalhumanitarian lawandtheobligationsimposedbytheGenocideConvention.Asofnow,compliancewiththe ICJ’srulingshasbeenuneven,withreportsindicatingongoingmilitaryoperationsthat exacerbatethehumanitariancrisisinGaza.

Case192,therefore,representsacriticaltestfortheICJ’scapacitytoupholdinternational legalnormsinthecontextofentrenchedgeopoliticalconflicts.Itsrulingsunderscorethe importanceofbalancingstatesovereigntywiththeimperativetoprotectvulnerablepopulations, aprincipleenshrinedintheGenocideConventionandreinforcedthroughtheICJ’s jurisprudence.

Conclusion

ThecontinuouslydevelopingcaseathandintheGazaStripwarrantsaninquiryintothe efficacyofinternationalentities,includingtheICJandotherprincipalorgansoftheUnited Nations.ThewarwagedontheGazaStripisatimelyindicationofthechallengesinherentin maintainingglobalorderthroughexistinginternationallegalframeworks.Analyzingthisconflict

235 InternationalCourtofJustice, Bosnia and Herzegovina v. Serbia and Montenegro,Judgment,February26,2007, https://www.icj-cij.org/case/91/judgments.

236 InternationalCourtofJustice, The Gambia v. Myanmar,ProvisionalMeasures,January23,2020, https://www.icj-cij.org/case/178.

viathelensofinternationallawunderscoresthedifficultyofbalancingstatesovereigntywith obligationsunderhumanitarianandhumanrightsconventions.Withinthecontextofthe principalorgansoftheUnitedNations—suchastheICCandtheUNSC—engagedindiplomatic deliberationssurroundingtheGazaStrip,theresponsibilitybornebythestateofIsraelinICJ Case192highlightsthelegalquestionssurroundingstateconductinarmedconflict. Simultaneously,theproceedingsemphasizethebroaderresponsibilityofallpartiestoadhereto internationallegalnorms,includingtheprotectionofcivilianpopulationsandthepreventionof actsthatmayconstituteviolationsoftheGenocideConvention.Theongoinglegalproceedings inCase192highlightthesecomplexitiesofapplyinginternationallawtosuchgraveandurgent conflicts.

WhiletheICJ'srulingsestablishimportantlegalprecedents,theirenforceabilityand impactonthegroundremainuncertain.Theintersectionofinternationallegalprinciples,state sovereignty,andpoliticscontinuestoshapetheapplicationofsuchinternationaljudicial institutions.Ultimately,theresolutionofsuchconflictsmayrequirenotonlylegaladjudication butalsoconcerteddiplomaticeffortsandpoliticalwillfromtheinternationalcommunity.The extenttowhichtheseeffortscaninfluencelastingpeaceintheGazaStripremainstobeseen,as theefficacyoftheseinstitutionshingesontheirabilitytonavigatethecomplexinterplayoflegal principlesandpoliticalrealitieswithimpartialityandconsistency.237

237 ThispaperhasbeenreviewedbyDr JD Bowers BowersistheDeanofRutgersHonorsCollegewhoalso servesasaProfessorofthePracticeinAfricanaStudiesandHistory,specializingingenocidestudies,humanrights, andhonorseducation

THEFOCUSANDFRAMEWORKOFTHECRIMINALJUSTICESYSTEMINTHE

UNITEDSTATES

WRITTENBYAKSHRITABALAJI|EDITEDBYANIKAPONNI

Introduction

TheUnitedStatesjusticesystemhasconsistentlyfocusedonthedetentionand punishmentofcriminalsandoffenders,oftencementingthenation’scommitmenttoretributive justice.Throughthelensofretributivejustice,offendersarefrequentlystrippedoftheirhumanity andtreatedlikeobjectsratherthanindividuals.Suchtreatmentpromotesdesensitization,fueling angerandfrustrationratherthanencouragingoffenderstoreflectontheiractionsorunderstand theharmtheyhavecaused.Byfailingtoaddresstherootcausesofcriminalbehaviororoffering pathwaysforrehabilitation,thecurrentjusticesystemperpetuatesacycleofresentmentand recidivism.Insteadoffosteringpersonalgrowth,accountability,andreintegrationintosociety,it reinforcesnegativeoutcomes.Thenation’sarchaicjusticesystemrequiresatransformation—by takingamorerestorativeapproach,thejusticesystemcanhelpoffendersandsocietyhealfrom theconsequencesofcriminalbehavior.

TheUnitedStatesJusticeSystem

i. What is Crime?

Acrimeisdefinedastheintentionalcommissionofanactusuallydeemedsocially harmfulordangerous.Itisanactthatisprohibitedandpunishableundercriminallaw.Criminal actscanhavevariousmotives,whichdiffergreatlydependingonthecircumstanceand individual.Criminalbehaviorisdefinedbythelawsofrespectivejurisdictions,anditcanvary

dependingontheparticulararea.Criminallawsandcodesaboutthisbehavioralsoadvanceand changeastimepasses.238

ii. Why Does Crime Occur?

Thereisalitanyofreasonsthatleadanindividualtocommitacriminalact.Necessity,for example,isaprimarymotivatorofcrime.Thepooraredisproportionatelyaffectedbycrime,as peoplearemorelikelytoparticipateincriminalactivitywhentheydonothave:asteadysource ofincome,anexcessiveamountoffreetime,orwhenstatefundingforpolicingandsocial servicesdecreases.239 Differentjusticeframeworksplacevaryingamountsofemphasisonthe motivationsbehindcrime.Somescholarsbelievethatintentisirrelevantwhendetermining consequences,butthosewhoadvocateforconsideringdisadvantagesmustnowassessthejustice system'sobligationtoprovideforitscitizens.

Understandingwhycrimeoccursallowsforabetteranalysisofthesituationandwhether theoffendershouldbeheldwhollyaccountable.Thisisnotincludedunderthecurrentretributive framework,whichfocusessolelyontheoffensecommittedandthereforefailstoconsider externalfactorswhendeterminingconsequencesforperpetrators.However,arestorative approachobservesthepossibleinfluenceofvariousfactors,includinganoffender'seconomic status,societaldisadvantages,etc.

ii. Purpose of the Justice System

238 Thomas,DavidA,andAnthonyNicolasAllot “Crime”EncyclopædiaBritannica,November9,2024 https://wwwbritannicacom/topic/crime-law

239 Green,StuartP “RetributiveJusticeforUnjustlyDisadvantagedOffenders”HardTimes,HardTime:Retributive JusticeforUnjustlyDisadvantagedOffenders,2010 https://chicagounbound.uchicago.edu/cgi/viewcontent.cgi?article=1456&context=uclf.

AccordingtotheUnitedStatesDepartmentofJustice,ourjusticesystemfocuseson enforcinganddefendingtheinterestsoftheUnitedStateslaw.240 Thecurrentsystemprioritizes publicsafetyagainstforeignanddomesticthreats,providesleadershipandauthoritativerolesto preventandcontrolcrime,ensuresthosepartakingincriminalandunlawfulbehaviorare punished,andrequirestheadministrationofimpartialjusticeforeveryAmerican.241 Thisthought processisthefoundationofthecurrentjusticesystem,thus,implyingthatinherentpunishmentis theconsequenceofunlawfulbehavior.Theframeworkcurrentlyinplaceemphasizesretribution, deterrence,andpublichumiliation.Thispunitivemodelreflectsthebeliefthatenforcinglaws andpunishingoffendersisessentialtomaintainingorderandsafeguardingsociety.However,this archaicviewaccomplisheslittlebeyondpunishinganddehumanizingoffendersandisnotthe mostefficientwaytodealwithcriminalactivity

The Two Frameworks of the Justice System

iii. Retributive Justice

Thecurrentframework-–retributivejustice—focusesonjusticeandpenance.Itattempts topreventre-offensesbyemphasizingtheconsequencesoffenderswillfaceduetotheiractions. Theperpetratorisheldresponsibleforhis/heractions—andisthereforeheldaccountableforany subsequentconsequences.Thecurrentjusticesystemcentersaroundwhethertheperpetrator's actionsareethicalandmoralaccordingtocriminallaw.Therefore,thesystemadherestothe ideologythatthosecategorizedasimmoralbythelawdonotdeservetobetreatedwiththesame careandrespectasthoseconsidered“moral”underthelaw.Thissystemoperatesunderthe assumptionthateveryoffenderisinherentlyunethicalandsubjectsoffenderstosevere

240 DepartmentofJustice “Overview-DepartmentofJustice”DepartmentofJustice,2014 https://wwwjusticegov/sites/default/files/ag/legacy/2014/03/12/apr2013-section1pdf

241 DepartmentofJustice “Overview-DepartmentofJustice”DepartmentofJustice,2014 https://www.justice.gov/sites/default/files/ag/legacy/2014/03/12/apr2013-section1.pdf.

133 punishments.242 Therefore,thisframeworkprioritizespunishmentandoversimplifiesthediverse motivationsbehindcrime.Itconcentratesexclusivelyontheoffenseathandandfunctionswithin astrictframeworkdeterminedsolelybywhethertheactviolatesorcomplieswithcriminallaw Thisillustrateshowtheapproachfailstoexamineone’smotivesorcircumstancesaffiliatedwith thecrime.

Thecurrentlegalsystemcapitalizesontheangerandpainenduredbyvictims.A wrongdoer’sactionsinherentlyalwayshurtindividuals.Theseindividualsthenbelievethe wrongdoershouldendureevengreatersufferingbyfacingseverepunishment.Insteadofoffering supporttoreintegrateoffendersintosociety,thecurrentsystembelievesthatinflicting subjectivelyproportionalpunishmentwillhelpreducethenumberofrepeatoffenders.This retributivemodelnormalizesharshpunishmentandhasledtoincreasedincarcerationlevels, whichhasperpetuatedacycleofimprisonmentanddepravity.Forinstance,increased incarcerationleadstoeconomicharmaswell.Approximately9outof10U.S.employersutilize backgroundchecksandoffendershaveseenanaveragelossof52%totheirearnings243.Thishas negativelyimpactedalargeportionofAmericancitizensandhasfurtherperpetuatedtheU.S. wagegap.Thus,offenderslosehopeofleadinga“normallife”andfeelasthoughtheironly optionistoturnbacktocrime.Retributivejusticeenablesovercriminalizationpoliciesthat perpetuateeconomicinsecurityandencouragestrugglingindividualstowardalifeofcrime244 .

242 Walen,Alec.“RetributiveJustice.”StanfordEncyclopediaofPhilosophy,June18,2014. https://platostanfordedu/archIves/sum2020/entries/justice-retributive/#Ret

243 Weller,ChristianE,AkuaAmaning,andRebeccaVallas “America’sBrokenCriminalLegalSystemContributes toWealthInequality”CenterforAmericanProgress,October1,2024 https://wwwamericanprogressorg/article/americas-broken-criminal-legal-system-contributes-to-wealth-inequality/

244 Weller,ChristianE,AkuaAmaning,andRebeccaVallas “America’sBrokenCriminalLegalSystemContributes toWealthInequality”CenterforAmericanProgress,October1,2024 https://www.americanprogress.org/article/americas-broken-criminal-legal-system-contributes-to-wealth-inequality/.

iv. Restorative Justice

Brieflyintroducedabove,restorativejusticeservesasthesecondframeworkofjustice, buildinguponacompletelydifferentsetofidealsandvalues Whileitstillseeksjusticefor victims,itdoessoinamuchmoreprogressivemanner.Restorativejusticeendsthe dehumanizingcyclebyattemptingtotakeamorehigh-levelview.Insteadofviewingacrimeas simplyaviolationofthelaw,restorativejusticerequirescrimestobeviewedasaviolationof society,humanity,andrelationships,encouraginglegalpractitionerstotakeamorehumanizing approach.Thisshiftsthefocusfromthenatureoftheoffensetothemotivesbehindtheaction anditslargerimplicationsonsociety.245

Thissystemexpandsthefocuspasttheoffenderandshinesalightonthosegenuinely affectedbytheperpetrator’sactions.Victimsareempoweredbytheabilitytoparticipateinthe processandholdtheseoffendersaccountable.Consequencestendtofocusonrehabilitation ratherthansolelyonpunishment.Thisapproachhighlightsthatnomatterthecircumstances, everyhumandeservesdignityandrespect,allowingthevictimandoffendertolearnandheal fromthesituation.

v. Relationship Between Frameworks

Therelationshipbetweenretributiveandrestorativejusticedependsonthecontextofthe crime.Understandingthespecificoffenseforwhichanindividualischarged,anydisadvantages theoffenderfaces,suchassocial,economic,orenvironmentalobstacles,andthesocioeconomic statusoftheoffendercaninfluencethelevelofaccountabilitytheyshouldhold.Acrime committedbyadisadvantagedindividualagainstanotherofsimilarstatusmaycarrydifferent

245 Pointer,Lindsey “WhatIs‘RestorativeJustice’andHowDoesItImpactIndividualsInvolvedinCrime?” WorkingwithBJANTTAC,August13,2021. https://bjattabjaojpgov/media/blog/what-restorative-justice-and-how-does-it-impact-individuals-involved-crime

implicationsthanoneinvolvingaprivilegedvictim.246 Retributivejusticeplaceslessemphasison theseexternalfactorsandutilizesamorestandardizedapproachtoassigningblameandholding partiesaccountable.However,restorativejusticetakesamoreholisticapproachbyconsidering thethoughtsandcircumstancessurroundingtheoffense.Healingwithinsocietycanonlyoccur throughtheimplementationofrestorativejustice.

Criminal Sentencing

v. United States V. Booker

ThroughoutthehistoryofAmerica’sjudicialsentencing,therehavebeenseveral instanceswhererestorativejusticemayhaveprovidedasuccessfulalternativetoharsh punishments.Forexample,intheSupremeCourtCase, United States V. Booker,thedefendant Bookerwaschargedwiththepossessionofatleast50gramsofcocainebasewithanintentto distribute.Bookerhad92.5gramsinhisduffelbag,andthejuryfoundhimguiltyofviolating21 U.S.C.§841(a)(1),whichrequiresaminimumsentenceof10yearsinprisonandamaximum ofalifesentence.247 DuetotheamountofdrugsinBooker’spossession,theDistrictCourt Judge’ssentencingguidelinesrequiredasentencerangingfrom210to262monthsinprison.248 AfterreceivingnewfactstolengthenBooker'ssentence,afederaldistrictcourtjudgeusedU.S. SentencingGuidelinestocalculateanewsentence.Thisdecisionwasappealed,sparkingdebate overwhetheranenhancedsentence,basedonajudge'sdeterminationofnewfactsundertheU.S. SentencingGuidelines,violatestheSixthAmendment.Thisledtothequestioningofwhetheror nottheseSentencingGuidelinesareunconstitutionalintheirentirety.Itwasdeterminedthat theseguidelinesthatallowjudgestoenhancesentencesusingfactsnotreviewedbyjuries

246 Green,StuartP “RetributiveJusticeforUnjustlyDisadvantagedOffenders”HardTimes,HardTime:Retributive JusticeforUnjustlyDisadvantagedOffenders,2010. https://chicagounbounduchicagoedu/cgi/viewcontentcgi?article=1456&context=uclf

247 Oyez (nd) UnitedStatesv Booker,543US 220(2005),https://wwwoyezorg/cases/2004/04-104

248 Justicia.(n.d).UnitedStatesv.Booker,543U.S.220(2005), https://supremejustiacom/cases/federal/us/543/220/

violatedtheSixthAmendmentrighttotrialbyjuryandshouldthereforebedeclared unconstitutional249.Despitehavingreceivedaharshsentence,Bookerlaterreturnedtojailafter violatingthetermsofhissupervisedrelease.250 Thisreflectstheshortcomingsofthecurrent retributiveframeworkandhighlightshowstrictsentencingandpunishmentalonefailtoreduce recidivismrates.

Retributivesentencingdoesnotallowoffenderstopracticeintrospectionandlearnfrom pastmistakes.Restorativesentencingfocusesonhelpingparticipantstakeaccountabilityfortheir actionsandunderstandthemselvesbetter.Thiscanbeillustratedthroughaprogramheldat NorfolkPrisoncenteredaroundArmandColemanandEmmanuel“Noble”Williams.251 Thiswas viewedasamoreeffectiveandhumanewaytoresolvecrime.Thisapproachfirstprovides incarceratedoffenderswithaquestionnairewalkingthemthroughquestionsoutlininghowthe offenderhurtthevictim,howtheoffenderwashurt,andhowtheoffendercannowheal. OffenderssuchasWilliamshadalreadyspentadecadeinprisonongang-relatedcharges.Still, heexplainedhowheneverhadtoconfronthisactionsandtheguilt,shame,anddisappointment surroundingthem.252

Williamshadbeentreatedlikeacriminalhisentirelife,leadinghimtointernalizethose beliefs.Afterthiscontinuousmaltreatment,lawenforcementandstructuraloppressionled Williamstofeelsaferonthestreetsthanhedidinhisownhome.Thisinherentlypulledhim deeperintocriminalactivity.Asajuvenile,Williamswaschargedwithhisfirstcrimeofbattery andassaultagainsthisabusivestepfather.Williamswassenttoajuveniledetentioncenterwhere

249 Oyez (nd) UnitedStatesv Booker,543US 220(2005),https://wwwoyezorg/cases/2004/04-104

250 Justicia.(n.d).UnitedStatesv.Booker,543U.S.220(2005), https://supremejustiacom/cases/federal/us/543/220/

251 Gibson,Lydialyle."RestorativeJustice." Harvard Magazine,July2021. https://wwwharvardmagazinecom/2021/06/features-restorative-justice

252 Gibson,Lydialyle "RestorativeJustice" Harvard Magazine,July2021 https://www.harvardmagazine.com/2021/06/features-restorative-justice

hewitnessedexpansiveabusesofpowerwhereprisonguardsbeatupincarceratedminors, subjectedminorstoexcessivestripsearches,andoveralldehumanizingtreatment.Ultimately, Williamspursuedalifeofcrimefocusedonviolenceandgangactivity,spendingsignificanttime invariousfacilitieswhereheobservedrecurringpatternsofsuchbehavior.ThisfueledWilliams' passiontocreatearestorativeprogramwhereoffendersareforcedtoconfronttheiractionsand heal.Thisprogramwascenteredaroundoffendersofalldegreeswhowouldtalkabouttheir actions,takeaccountabilityfortheharmtheycaused,anddiscusswaystohealandnotrepeat theirmistakes.253

SuchaprogramwouldhaveplacedlessemphasisonBooker’ssentenceandmoreonwhy Bookercommittedthecrime.DuringBooker’stimeinincarceration,hewouldhaveundergone mandatedtherapysessionswithprofessionalsandwithhispeers.Duringthesesessions,he woulddiscusshisactions,theimpactofhisactions,andhowhecanhealfromtheseactions.This wouldhavecompelledBookertoreflectonhisunethicalactionsandexaminetheunderlying reasonsforengaginginthisillegalbehavior.Oncethiswasdisclosed,Bookercouldhavebeen taughtotherstrategiestoutilizewhensimilarfeelingsarise.Byconfrontinghisactions,the perpetratormusttakecompleteaccountability.ThiswouldhaveequippedBookerwiththetools heneededtoidentifyhisflawsandpreventafutureofre-incarceration.

vi. Graham V. Florida

Thecircumstancessurroundingacriminalsentenceoftendifferentiatethetwo frameworksofjustice.Fairsentencingcannotbeachievedifoffendersareconsideredunworthy ofreceivingthebenefitofthedoubt.Forexample,TerrenceGrahamwasconvictedofarmed

253 Chrisman,Micah “HowRestorativeJusticeFostersSocietalRestoration:InterviewwithNobleWilliams” DocuCourse AccessedNovember22,2024 https://docucourse.squarespace.com/how-restorative-justice-fosters-communal-restoration.

burglaryandattemptedarmedrobberywhenhewassixteenandsubsequentlysentencedtolifein prisonwithoutparole.254 Heappealedthisdecisionandarguedthatalifesentencewithoutparole forajuvenileviolatedtheEighthAmendmentbyconstitutingcruelandunusualpunishment.The DistrictCourtofAppealofFloridaheldthatMr.Graham'ssentencewasneitheraviolationofthe EighthAmendmentnordiditconstitutecruelandunusualpunishment.However,whenappealed toTheSupremeCourt,SCOTUSheldthatajuvenileoffendercannotbesentencedtolifein prisonwithoutparoleforanon-homicidalcrimeandthatthistypeofsentencingis unconstitutional.255 Thisdecisionsuggestedthatalternative measurescouldhavebeenusedto rehabilitate16-year-oldTerranceGraham.Harshsentencingwouldnothavebeenthenecessary courseofactionforGrahamtolearntheimmoralityofhisactions.Grahamshouldinsteadbe forcedtoconfronthisactionsandunderstandwhytheyareincorrect.Thiswouldforcehimto understandthemotivationsbehindhisactions,enablinghimtobetaughtbetterpracticeswhen similarfeelingsarise.AprogramsuchastheoneconductedinNorfolkwouldhavegiven Grahamthisopportunityandledhimtotakeaccountabilityandlearnfromhismistakes.This decisionwouldhaveconsideredexternalfactors,suchastheoffender’sage,resultinginaless severeoutcome.Itwouldhavebeenthefirststeptobreakingdownacycleofdehumanization. ThiswouldhaveallowedGrahamtoavoidreincarcerationafterhisrelease.This,alongwitha programforcingcriminalstoconfronttheiractions,furtherillustrateshowlisteningtooffenders andconsideringexternalfactorscanleadtofairersentencingandencouragegenuinelearning frompastmistakeswhilepreventingrecidivism.

Recidivism Rates

254 Oyez (nd) Grahamv Florida,Grahamv Florida,560US 48(2010), https://wwwoyezorg/cases/2009/08-7412

255 Oyez.(n.d).Grahamv.Florida,Grahamv.Florida,560U.S.48(2010), https://wwwoyezorg/cases/2009/08-7412

vii. The Importance of Recidivism Rates

Inregardstohighrecidivismrates,risingrecidivismrateshavebeenahugeareaof concernthroughouttheU.S.justicesystem.Thenation’sjusticesystemaimstoreduce recidivismratesbuthasbeenunabletodosoeffectively.Recidivismratesreferto“criminalacts thatresultedinrearrest,reconviction,orreturntoincarcerationwithorwithoutanewsentence duringaspecificfollow-upperiodfollowingtheperson'srelease.”256 AccordingtotheU.S. DepartmentofJustice,82%ofstateindividualsreleasedfromstateprisonsfacedatleastone rearrestinthedecadefollowingtheirrelease257.Additionally,43%oftheformerlyincarcerated populationwererearrestedwithinoneyearofrelease258 .Suchhighrecidivismratesconveythe urgencyoftheissueandtheineffectivenessofthecurrentjusticesystem.Thecurrentsystem failstoteachoffenderstheegregiousnessoftheirmistakesanddoesnotpromotelearningor growth.Incontrast,restorativejusticefocusesonthereflectionandunderstandingofpast mistakeswhilesimultaneouslyrepairingharmdonetocommunitiesandvictims.Ithighlightsthe counterproductivityinoffendersservingtheirsentencesandquicklyreturningtotheirimmoral behaviorwithoutrecognizingtheunethicalvaluestheiractionsdisplayed.

viii.

Initiatives Implemented to Reduce Recidivism Rates

Stateshavebeguntorealizethetruepotentialofrestorativejusticeinitiativesafterfailing toseeresultsfrompastretributivemeasures.Forexample,risingrecidivismrateshavebeenof concernforseveralyears.SpecificstatessuchasMissouri,Alabama,NorthCarolina,and Nebraskasetexplicitgoalsregardingreducedrecidivismratesandbetterreentryoutcomesby

256 DepartmentofJustice “Overview-DepartmentofJustice”DepartmentofJustice,2014 https://www.justice.gov/sites/default/files/ag/legacy/2014/03/12/apr2013-section1.pdf.

257 DepartmentofJustice “Overview-DepartmentofJustice”DepartmentofJustice,2014 https://wwwjusticegov/sites/default/files/ag/legacy/2014/03/12/apr2013-section1pdf

258 DepartmentofJustice “Overview-DepartmentofJustice”DepartmentofJustice,2014 https://www.justice.gov/sites/default/files/ag/legacy/2014/03/12/apr2013-section1.pdf.

2030.259 Theaimsincludebroadeningaccesstotreatment,mentalhealthsupport,andhealthcare. Italsointendstostrengtheneconomicindependencebyimprovingjobpreparednessand employmentopportunitiesandincreasingaccesstosecurehousing.Theseinitiativestakeamore restorativeapproachtowardsthecriminaljusticesystem,allowingoffendersandthose surroundingthemtohealandprogressfromanycrimecommittedgenuinely.

Alongsidethesestate-levelefforts,programssuchastheSecondChanceActhave amplifiedthefocusonrestorativejustice.TheSecondChanceActwaspassedin2008andhas invested$1.2billiontocombinestateandlocaleffortstoassistthoseleavingjailandprisonwith unprecedentedresourcesandenergy.260 Thisactfocusesonthereintegrationofoffendersby takingarestorativeapproachandhelpingtheseoffenderslearnandgrowfromtheirmistakes ratherthansolelyresortingtopunishment.TheBureauofJusticeAssistanceandtheOfficeof JuvenileJusticeandDelinquencyPreventionawardedfundingto1,123SecondChanceAct granteestohelpreentryoutcomes,andtheSecondChanceAct-fundedNationalReentry ResourceCenterhasbuiltacomprehensivenetworkacrosslocal,state,Tribal,andfederal reentryinitiatives261.Thisenablesdiversestakeholderswhocontributetosuccessfulreentryinto societytobebroughttogether.Reentrysuccessbecameaprimarygoalthroughoutthestates. Afterrelease,organizationsfocusedontheseindividuals’livesandcreatedprogramstohelp themwithhousing,jobs,andeducation.TheAct’ssuccessinspiredprivatecorporations previouslyreluctanttoprioritizesecond-chanceemploymentasabusinessandmoraldirective.

259 TheCouncilofStateGovernments “50States,1Goal:ExaminingState-LevelRecidivism ”Examining State-LevelRecidivismTrendsintheSecondChanceActEra.AccessedNovember11,2024. https://csgjusticecenterorg/wp-content/uploads/2024/04/50-States-1-Goal For-PDF with508reportpdf

260 TheCouncilofStateGovernments “50States,1Goal:ExaminingState-LevelRecidivism ”Examining State-LevelRecidivismTrendsintheSecondChanceActEra AccessedNovember11,2024 https://csgjusticecenterorg/wp-content/uploads/2024/04/50-States-1-Goal For-PDF with508reportpdf

261TheCouncilofStateGovernments “50States,1Goal:ExaminingState-LevelRecidivism ”Examining State-LevelRecidivismTrendsintheSecondChanceActEra AccessedNovember11,2024 https://csgjusticecenter.org/wp-content/uploads/2024/04/50-States-1-Goal For-PDF with508report.pdf.

Recidivismrateshavedecreased,neighborhoodsaresafer,andpeoplecanleadmoral, ethical,enrichedlivesandcontributepositivelytotheircommunity.TheSecondChanceAct spearheadedeffortstoprioritizethereductionofrecidivismratesandhasdisplayedresults.

Three-yearreincarcerationrateshavedecreasedby23percentasawhole,andtherewasaneight percentdecreaseinpeoplewhowerereleasedfromprisonandreincarceratedwithinthreeyears between2008and2019.Beforethisact,three-yearincarcerationrateswereabove45percent. Recidivismratesdroppedbydoubledigitsinninestatesafterthisact:California,Colorado, Connecticut,Delaware,Illinois,Maryland,Massachusetts,Missouri,andSouthCarolina.

262

ix.

The Impact Of The Frameworks on Recidivism Rates

Restructuringthejusticesystemrequiresfurtherinvestigationofrecidivismratesand demandsanunderstandingofthecontrastbetweenrestorativeandretributivejustice.Both systemscreatedifferentenvironments,greatlyimpactinghowoffendersthink,feel,andact.

Retributivejusticefocusesheavilyonwhenoneengagesinacrimeagainstsociety.Itisbelieved thattheseoffendersdeserveequalifnotmoresufferingthantheindividualsufferinginflicted uponthem.Judgesfocusonpunishingoffendersandmakingthemuncomfortable,whetherthat isinthewayofincarcerationorcommunityservice.Thisnormisviewedas“morallycorrect.”

Thisfostersanenvironmentwhereoffendersoftenonlygainangerandresentment,enabling themtoactoutagain.

Offendersoftenviewpunishmentasmerelyaconsequenceofbeingcaughtratherthanan opportunityforgrowthorreflection.Thismindsetcontributestorepeatoffenses,drivingup recidivismrates.Manycrimesaremotivatedbyfundamentalhumanneeds,suchassafety,

262 TheCouncilofStateGovernments “50States,1Goal:ExaminingState-LevelRecidivism ”Examining State-LevelRecidivismTrendsintheSecondChanceActEra AccessedNovember11,2024 https://csgjusticecenter.org/wp-content/uploads/2024/04/50-States-1-Goal For-PDF with508report.pdf.

understanding,validation,information,apology,orrepair.Restorativejusticeemphasizes understandingtheseunderlyingmotivationsandhelpingoffendersdiscoverhealthier, non-harmfulwaystoaddresstheirstruggles.Thisapproachreducesimmoralbehaviorand lowersrecidivismratesbyfosteringaccountability,guidingthemorallymisguided,andoffering constructivealternatives.

Conclusion

TheUnitedStatesjusticesystem'sheavyrelianceonretributivejusticehasperpetuated cyclesofresentment,recidivism,andsocietalharm.Byprioritizingpunishmentover rehabilitation,thecurrentframeworkdehumanizesoffendersandoverlookstheunderlying causesofcriminalbehavior.Restorativejusticeoffersapromisingalternativebyfocusingon accountability,healing,andreintegrationintosociety.Itshiftsthenarrativefrominflicting sufferingtofosteringunderstandingandpersonalgrowthandaddressingtheneedsofboth victimsandoffenders.TheU.S.justicesystemcurrentlyoperatesunderapunitivemodeland equatesconsequenceswithevolvingfrompastmistakes.However,trueevolutionwillonlyoccur whenoffendersarelistenedto,understood,andtaughtalternativecopingstrategiesregardingthe intentoftheircrime.Highlightingthisapproachalsoallowsforareductioninrecidivismrates andadecreaseinincarcerationlevels,asalreadydisplayedthroughinitiativessuchastheSecond ChanceAct.Transitioningtoamorerestorativeframeworknotonlyreducesrepeatoffensesbut alsocreatesajusticesystemrootedinfairness,empathy,andhumandignity.263

263 ThispaperhasbeenreviewedbyHaroldRubenstein,aLecturerandprofessorspecializinginethicsat PoliticalScienceDepartmentatRutgersUniversity.

THEPSYCHOLOGICAL FACTORSUNDERPINNINGLEGALDECISION-MAKING

WRITTENBYPATRICKCAHILL|EDITEDBYEMILIADUL

Introduction

TheAmericanjusticesystemisbasedontheprinciplesofrationalityandimpartiality; however,itfundamentallyreliesonsubjectivejudgmentsmadebydifferentpeoplethroughouta trial.Jurorsandjudgesaretaskedwithmakingdailydecisionsthatimpacttheoutcomesofcases basedonobjectivefacts.Inthetrialprocess,Jurorsareaskedtodeterminethereliabilityof evidence,deliberateamongstthemselves,andeventuallycometoaverdict.Judgespresideover thetrial,determinetheadmissibilityofevidence,providethejurywithinstructions,andhave controloversentencingwhenaverdictisreached.Thissystemcreatesaspaceforrational judgmentstobeweighedtogetafairverdict.However,moderndevelopmentsincognitive scienceclashwiththisviewofrationalitywithinthelegalsystem,asthementalprocessesby whichwemakedecisionsarenotasrationalasindividualscommonlybelieve. i. Emotion & Decision-Making

Researchonthebrainhasrevealedthatdecision-makingisprimarilyemotional.264 Dr. LyraSteinisaProfessorofPsychologyatRutgersUniversity,witharesearchfocuson personalitypsychologyandthepsychologicaldifferencesbetweenindividuals.Dr.Steingoesas farastosaythat“thereisnodecision-makingwithoutemotion.”Theprimarysourceofpractical informationsurroundingwhatregionsofthebrainareinvolvedinspecificprocessescomesfrom researchonpeoplewithbraindamageinparticularareas.Studiesonpeoplewhohavesustained damagetotheamygdala,whichisheavilyinvolvedinemotion,showthatthesesubjectsstruggle

264 Naqvi,Nausheen,BabaShiv,andAntoineBechara 2006 "TheRoleofEmotioninDecisionMaking:A CognitiveNeurosciencePerspective."CurrentDirectionsinPsychologicalScience15(5):260–64.

tomakedecisions,evenaboutsimpletasks.Theneuronsrelatedtodecision-makingaretiedto thoseresponsibleforemotionalstates.Forjudgesandjuries,thiscanleadtodecisionsdivorced fromreasonwhenemotionisinvolved,asitoftenisincriminalcases.

Furthermore,theroleofemotionsindecision-makinghasamassiveeffectonone's confidenceintheirdecisions,andpeoplearemoreconfidentindecisionsthatarebasedheavily onemotion.Cognitivebiasisatermforthemanyassumptionstyingourmentalprocessesand decision-making.Itisoftensubconscious,meaningthatevenwhenpeoplemakedecisionspurely outofemotion,theycanrationalizethosedecisionsandareunlikelytorecognizeor acknowledgetherolethatemotionsplayinthosedecisions.Peoplecannotonlyjustifyirrational choicesbutthisprocessisfundamentallybakedintothestructureandfunctionofthehuman mind.

ii. Memory

Memoryisalsotiedtoemotion,creatingproblemsregardingpracticessuchaseyewitness testimony.Modernresearchonmemoryshowsthatmemoriesarestoredwithemotionaltags.265 Memoriesareformedmosteasilywhenthebrain'semotionalcentersarearoused.Thereleaseof stresshormonesactivatespartsofthebrainresponsibleforstoringmemories.Strongemotions oftenleadtomemoriesofspecificdetailsbutcanalsoleadpeopletomisremembercertainevents whenaskedtoprovidedetailslater.266

iii. The Hungry Judge Effect

265 Anderson,Lisa,andArthurP Shimamura "Influencesofemotiononcontextmemorywhileviewingfilmclips" The American journal of psychology 118,no 3(2005):323-337

266 Kensinger,ElizabethA "Negativeemotionenhancesmemoryaccuracy:Behavioralandneuroimaging evidence." Current Directions in Psychological Science 16,no.4(2007):213-218.

Thesefactors,amongothers,canleadtonotabledisparitiesinthelegalsystem.One well-documentedcaseoftheeffectofmentalstateonsentencingisthehungryjudgeeffect.The hungryjudgeeffectisaphenomenonwherejudgestendtodeliverlightsentencesearlyinthe dayandthenbecomeincreasinglyharshinsentencinguntilthemiddleofthedaywhentheyhave theirlunchbreak.Followingtheirlunchbreak,theyresumegivinglightersentences.This suggeststhatmentalfatiguefollowingdecisionscanleadtoincreasinglyirrationalbehaviorby judges 267 .

Theimplicationofthesefindingscreatesissueswiththeassumptionofrationalityinthe legalsystem.Byunderstandingcognition'sroleinmemoryanddecision-makingandbecoming moreinformedonourcognitivebiases,weopenthedoortomitigatingtheeffectsofcognitive biasinlegaldecision-making.Thequestionofwhichcognitivebiasesaffectjudgmentandhow theydothisisnotpurelyacademic.Itisafundamentalpartofunderstandingandrepairingthe Americanlegalsystem.

Rationality,Fairness,&Justice

iv. Principles of Justice

Centraltothisconversationistheroleofrationalityinthelegalsystem.TheAmerican legalsystemdependsontheideathatitsmanyactorscanmakedecisionsbasedonlogical reasoningratherthanemotionalbias.Rationalitytiesintovariousaspectsofthelegalsystem. Withoutrationality,thereisnowaytodeterminewhetherdecisionshavebeenmadefairlyand equitably.Itisourabilitytotraceeachdecisionbacktoevidencethatmaintainspublic

267 Danziger,Shai,JonathanLevav,andLioraAvnaim-Pesso "ExtraneousFactorsinJudicialDecisions" Proceedings of the National Academy of Sciences of the United States of America 108,no 17(April26, 2011):6889–92.

confidenceinthelegalsystem.Ideally,theevidencepresentedtotwocourtsshouldleadto similarsentences.Thispredictabilityisagoodindicatorofthelegitimacyofanylegalsystem.

Dueprocessisdesignedtocreateaplatformthatplacesrationality,fairness,and objectivityaboveallelse.Allpartiesinvolvedinalegalconflictareinvitedtoprovideevidence inafairhearing,andeachpartyisallowedtomaketheircase.Dueprocessonlyprovidesa rationalsolutiontodisputesifthepeopleinvolvedinthesystemaremakingtheirdecisions accordingtoreason.Allowingemotionorindividualpreferencetotaintone’sdecisions underminesthosedecisions.Cognitivebiasmaycreatearoadblockinthisideal.

RelevantFindingsinCognitiveScience

v. Cognition & Bias

Cognitivescienceistheinterdisciplinarystudyofthemind.Thefieldrecognizesthatthe mindisacomplexsystemthatcanbeunderstoodthroughinsightsfromvariousfields. Philosophy,psychology,linguistics,anthropology,computerscience,andneurologyarethesix majorfieldsthatseektoanswerquestionsposedbycognitivescientists.Throughresearchinto thesefields,wecanformanideaofwhererationalitycomesfromandthefallibilityofthehuman mindwhenitcomestomakingrationaldecisions.

Cognitivebiasistheunconsciousandsystematicerrorsinthinkingthatoccurwhen peopleprocessandinterpretinformationintheirsurroundingsandinfluencetheirdecisionsand judgments.268 Cognitivebiascanunderminerationality,asconclusionsreachedthroughcognitive biascanbeindistinguishablefromthosereachedthroughreasonbytheindividual.Itcantaint

268 DaSilva,Sergio,etal."Editorial:HighlightsinPsychology:CognitiveBias." Frontiers in Psychology 14(July3, 2023):1242809

everypartofatrial.Fromthecollectionofevidencetosentencing,aslongashumansare involved,cognitivebiasplaysaroleintheprocessandoutcomeofatrial.Italsoappliesto variouscharacteristicsthatimpactperception,includingdialect.Forinstance,researchperformed bylinguistsattheUniversityofChicagoshowsthatpeoplewithforeignaccentsareperceivedas lesstrustworthy,asdifficultyunderstandingspeechissubconsciouslylinkedtodifficulty believingspeech.269 Thishasimplicationsfortestimonyinthecourtroom,asawitnessperceived asuntrustworthywillnotpersuadeajuryasmuchasoneperceivedastrustworthy.Theeffectsof cognitivebiasinthecourtroomgobeyondtestimonyandintosentencing,astudyofcriminal trialsinFloridaovera10-yeartimespanfoundthatall-whitejurieswere16percentmorelikely toconvictadefendantifsaidthedefendantwasblack.Thisincreaseinsentencingdisappeared whenatleastonejurymemberwasblack.270

Theseexamplesofcognitivebiastieintotheconceptof“in-group-out-group”preference frompsychology.Peopletendtofavorablytreatmembersofarealorperceivedgrouporshared identity.Theyaremorewillingtobelievepeoplefromsimilarbackgroundsandmorelikelyto empathizewithmembersoftheirgroup.Thispreferenceisnotalwaysconsciousormalicious,as peopleareoftenunawaretheyhaveit.

Neurology

vi. Brain Structure

269 https://doiorg/103389/fpsyg20231242809Lev-Ari,Shiri,andBoazKeysar "Whydon'twebelievenon-native speakers?Theinfluenceofaccentoncredibility" Journal of experimental social psychology 46,no 6(2010): 1093-1096

270 Anwar,Shamena,PatrickBayer,andRandiHjalmarsson "Theimpactofjuryraceincriminaltrials" The Quarterly Journal of Economics 127,no.2(2012):1017-1055.

Thelimitsofrationalitygofarbeyondcognitivebiasandintothebrain'sstructure.

Neurologyofferssomeinsightstosuggestthatdecision-makingis,moreoftenthannot, irrational.Theprimarysourceofknowledgeaboutthebrain'sinfluenceonbehaviorcomesfrom lesionresearch.271 Whenaspecificpartofthebrainisdamaged,behaviorandabilitiesoften change.AfamousexampleisBroca’saphasia,aconditioninwhichdamagetoastructureknown asBroca’sarealeadstotheinabilitytoproducecoherentlanguagewhilecomprehensionstays intact.Aless-famouscasestudyisthatofamannamedElliot,whoseconditionwasstudiedby UCLAneuroscientistDr.AntoniaDamasio.272 Elliotfacedtroublemakingevensimpledecisions followingtheremovalofabraintumor.Itwasdiscoveredthatthepartofhisbrainimpactedby thesurgerywasresponsibleforgeneratingemotionalresponsestoevents.Followingthis discovery,moreresearchwasdoneontheconnectionbetweenemotionsanddecision-making.It wasdiscoveredthatpeoplewhoexperiencedemotionalnumbnessfollowingtraumatothebrain demonstratedsimilardeficitsindecision-makingability.Theconnectionbetweenemotional statesanddecision-makinghasgrownstrongeramidnewresearch.Economistshaveruninto similarfindingsinstudiesonthereal-lifeapplicationofgametheory,findingthatpeopleactively goagainsttheirinterestswhengivenstrongenoughemotionalincentives.

Whileemotionaldecisionsarenotnecessarilyirrational,emotionasadrivingforce makesiteasytoarriveatconclusionsthatdonotalignwithreason.Inacourtroomsetting,a competentattorneycanuseemotionstoinfluencethejury’sperceptionofevents.Prosecutorsdo

271 Vaidya,AvinashR,etal "LesionStudiesinContemporaryNeuroscience" Trends in Cognitive Sciences 23,no 8(2019):653–671 https://doiorg/101016/jtics201905009

272 Whitener,Svetlana "TotalDecisionMakingandFeelingGood,BadandIndifferent" Forbes, June11,2018https://wwwforbescom/sites/forbescoachescouncil/2018/06/11/total-decision-making-and-feeling-goo d-bad-and-indifferent/.

thisroutinelybyshowingparticularlygruesomecrimescenephotos.Defendantsareinstructed onwhattowear,whatfacialexpressionstoavoid,andhowtodelivertestimonytogarneras muchsympathyaspossiblefromthejury.Noneofthesethingsmakesanydifferenceinthefact ofguilt,andinaworldwherejurorsarecompletelyrationalcreatures,thesetacticswouldbe useless.

PsychologicalInsights

vii. The Framing Effect

Thereisastrongpsychologicalbasisbehindtheuseoftacticstomovejuries,calledthe framingeffect.Theframingeffectiswherepeoplereactdifferentlytoinformationdependingon howitispresented.Theframingeffectcanleadpeopletochoosealessadvantageousoption becausecertainelementshavebeenoveremphasized.273 Whileitisamajordecision-making component,itcanleadtrialsinadirectionthatoveremphasizesdeliveryandunderemphasized facts.Thefirstimplicationoftheframingeffectinthecourtroomisclear:acompetentattorney canframeinformationinsuchawaythatitappearsadvantageoustotheirclient,theycandullthe impactofinformationweakeningtheircase,andtheycanmovethejurytoconsiderfactsinthe waythattheywantthemto.Onestudyshowedthatwhenavideoofacaraccidentwasshown andfollow-upquestionsaboutperceivedspeedwereasked,thewordsusedinthequestion significantlyimpactedtheperceptionofspeed.274 Using“smashed”todescribetheaccidentledto

273 Kahneman,Daniel,andAmosTversky "Choices,values,andframes" American psychologist 39,no 4(1984): 341

274 Loftus,ElizabethF,andJohnC Palmer "ReconstructionofAutomobileDestruction:AnExampleofthe InteractionBetweenLanguageandMemory" Journal of Verbal Learning & Verbal Behavior 13,no 5(1974): 585–589.https://doi.org/10.1016/S0022-5371(74)80011-3

ahigherperceptionofspeedthanwordslike“bumped.”Thiscansignificantlyimpacthowajury perceivesactionstakenbythepartiesinacivilorcriminalcase.

viii. Plea Bargaining

Asecondimplicationoftheframingeffectisitsimpactonpleabargaining.Overninety percentofconvictionscomefromguiltypleas,andagrowingbodyofresearchhasinvestigated howtheframingeffectisusedtoarriveatthoseguiltypleas.Onestudyshowedthatwhenasked tochoosebetweenpleadingguiltyorinnocent,amajormotivatingfactorinwhetherparticipants tooktheguiltypleawaswhetheritwasframedasawinoraloss.Evenwhenparticipantsknew theywereinnocentandfactoredthatintotheirdecision-making,itwascommonforthemto acceptthedealanywaywhenitwaspresentedasawin.

275

Theframingeffectperfectlyexemplifiesindividualhumanpsychologycompetingwith rationality.Askilledattorneywhomasterstheuseoftheframingeffecthastheabilitytoamplify theconsiderationofcertainfactsormisrepresentfactsentirely.Inalegalsystembuilton rationality,theharmfulimpactoftheframingeffectcannotbeoverstated.

Conclusion

WhiletheidealstheAmericanjusticesystemisbuiltuponareadmirable,cognitive sciencehasprovidednumerousinsightsintohowthepeopleinvolvedarenotmentallyequipped toupholdthem.TheAmericanlegalsystemcallsonindividualstomakedecisionsthroughout thecourseofatrial,andthosedecisionscandrasticallyaltertheoutcome.Wenowknowthatour decision-makingabilityisinherentlyflawed,fromthebrain'sphysicalstructuretothecorruption

275 Garnier-Dykstra,LauraM,andTheodoreWilson 2019 “BehavioralEconomicsandFramingEffectsinGuilty Pleas:ADefendantDecisionMakingExperiment.” Justice Quarterly 38(2):224–48. doi:101080/0741882520191614208

ofsocialinfluencesandtheframingeffect.Thepursuitofjusticecallsustoconsidernew researchinsearchofsolutionsor,ataminimum,waystomitigatetheshortcomingsofhuman cognitionindecision-makinginthejusticesystem.Thefirststepinsolvingaproblemis identifyingit.ThereismuchworktobedonetoreformtheAmericanjusticesystem,butby addressingtheseissues,wecanworktowardsamorerationaljusticesystem.276

276 ThispaperhasbeenreviewedbyDr.LyraStein.Dr.SteinisaprofessorinpsychologyatRutgersUniversity,and specializesinresearchsurroundingpersonalitypsychologyanddifferencesbetweenindividuals

PROTECTINGCONSUMERS’LONG-TERMINVESTMENT:REVISINGANTITRUST

LAWTOCOMBATGLOBALWARMING

WRITTENBYEMILYTAYLOR|EDITEDBYRENEETITICULA

Introduction

Theextremeeffectsofclimatechangeandglobalwarminghighlighttheinsufficiencyof currentantitrustlaw.However,withthecooperationandcollaborationofgovernments, corporations,andpeople–throughjointclimateinitiativesandventuresacrossdifferentsectors–itispossibletoslowandevenreverseglobalwarming.277 Antitrustlawprotectstheconsumer fromananti-competitivemarketbuthasahistoryofalsoservingtodissuadecorporationsfrom takingmeaningfulactiononclimatechange.Thisultimatelyfailstoprotectconsumers’ long-termeconomicinterestsandrequiresrevision.

i. Antitrust Law Introduction

TheShermanActwasthefirstpieceoflegislation intheUnitedStatestoaddressthe formationofmonopoliesandtoacknowledgethatanentirelyunregulatedmarketmayleadto undesirableeconomicoutcomes.AlongwiththeShermanAct,theClaytonActof1914is anotherearlypieceoflegislationthatpertainedtotheregulationoftrusts.Itwasintendedto strengthenantitrustlawfollowingtheShermanActandbananticompetitivemergersand acquisitions.278 TheShermanandClaytonActsweredesignedtoserveconsumersfinanciallyin theshort-termandlong-termbysafeguardingcompetitivepracticesinthemarket.

ii. Global Warming and the Economy

277Joy,Richard. Unsustainable: the urgent need to transform society and reverse climate change.PolicyPress,2021.

278 15USC§§12-17

Primarily,sincethemid-twentiethcentury,humanshavehadanegativeenvironmental impactontheplanet.279 Theburningoffossilfuelstogenerateenergyforamultitudeofeveryday activities,suchasdrivingvehiclesandheatinghomes,hasledtoanincreaseingreenhouse gassesintheEarth’satmosphere.280 Theplanet'swarmingguaranteesnegativeoutcomesforboth ecosystemsandtheeconomy.Anincreaseinclimatechangeeventsduetoglobalwarmingwill bedetrimentaltosupplychainsandvaluableinfrastructure.Thishasincreasedthecostof insuranceforbusinessesandhomeownersinstatesthatareheavilyaffectedbyclimatechange.

iii. Antitrust Law and Climate Change

Businessesandcorporations,whennotprohibitedbyantitrustregulation,canwork collaborativelyonclimatechange-focusedinitiatives.Theseinitiativesorjointventuresare occasionallydismantledbyvariousaspectsofantitrustlaw,suchasareasthatcurbcollaboration outoffearofrestrictingthemarket.Whilesector-widecohesionandcollaborationregarding limitinggreenhousegasemissions,sustainablesupplychains,andtechnologicalinnovationsare desirable,manycorporationsfearpotentiallybreakingantitrustlawandavoidgettinginvolved withtheirpeers.Inthetwenty-firstcentury,slightrevisionstocurrentantitrustlawwouldallow forclimatechange-relatedcollaborationstotakeplacemoreeasilyandefficientlyacrosssectors.

iv. Origins of Antitrust and Modern-Day Implications

Antitrustlaworiginatesinthelate1800safteraneconomicboomfollowingtheCivil War.Theeconomicprosperityinthedecadesafterthewarledtothecreationofmultipletrustsor corporationsbandedtogether,whichheavilyandunequallyaffectedthemarketbyplacing economiccontrolinthehandsofafewpowerfulcorporationsinsteadoffosteringeconomic

279 IntergovernmentalPanelonClimateChange(IPCC), Climate Change 2021: The Physical Science Basis, ContributionofWorkingGroupItotheSixthAssessmentReportoftheIntergovernmentalPanelonClimateChange (Cambridge:CambridgeUniversityPress,2021)

280 IntergovernmentalPanelonClimateChange(IPCC), Climate Change 2021: The Physical Science Basis, ContributionofWorkingGroupItotheSixthAssessmentReportoftheIntergovernmentalPanelonClimateChange (Cambridge:CambridgeUniversityPress,2021)

diversity.TwoopposingviewpointsledtothecreationoftheShermanActin1890,and,the ClaytonActin1914.Thesetwoviewpoints,evolutionaryandintentional,fellonoppositesides regardinggovernmentinterventioninthemarket.TheShermanActwasamajorcompromise betweenthosewhosupportedtheevolutionaryvisionthatcompetitionwassalienttoasuccessful marketandthosewhosupportedtheintentionalvisionthatmonopolieswillinevitablydevelop withoutgovernmentintervention.281 Later,theClaytonActwasdesignedtogobeyondthereach oftheShermanActandspecificallyoutlawedmergersandacquisitionsofcompaniesifa reductionincompetitionwouldresult.282 PuttingtheShermanActtothetest, Standard Oil Co. of New Jersey v. United States,alandmarkSupremeCourtcasein1911,ruledthatthemajoroil corporationhadviolatedtheActandmustbebrokendownintosmallercorporations.283 Thisfirst majorantitrustcasehasbeenimportantinsettingaprecedentforallfutureantitrustcasesand highlightstheimportanceofsettinglimitationsoncorporateactionsintheeconomy.Today, antitrustlawcontinuestoserveitsoriginalpurposeofoutlawingmonopoliesthathinder competition.

However,thereisvalueinallowingcollaborationbetweenbusinesses.Arecentexample ofeconomicallybeneficialcollaborationistherecentworkdonebetweenPfizerandBioNTech duringtheCOVID-19pandemic.Thetwocompanieshelddifferentresearch,technology,and outreachcapabilitiesthat,whencombined,wouldultimatelycreatetheCOVID-19vaccinethat wouldgoontosavelivesandshortenthelengthofthepandemicthatrequiredmostbusinesses tostopoperations.284 Extendedclosuresofbusinesspracticesarefinanciallydetrimentalforthe businessownersandtheconsumerswhobenefitfromtheirproducts.InthecaseofPfizerand

281 WilliamH Page,ISSUESINCOMPETITIONLAWANDPOLICY,Vol 1,No 1,ABASectionofAntitrust Law,2008

282 15USC§§12-17

283 Standard Oil Co v United States, 221US 1(1911)

284 HowPfizerdeliveredaCovidvaccineinrecordtime:CrazyDeadlines,apushyCEO-WSJ.Accessed November9,2024

BioNTech,aswiftcollaborationmeantthatbusinessesspentlesstimeclosedtocustomersduring thepandemiccreatingafinancialbenefitasbusinesswasabletoresumeinatimelymanner.

WhiletheShermanActandClaytonActdoserveascornerstonesofAmericanantitrustlaw, thereareinstanceswherecollaborationshouldbechampionedandmayprovetobeeconomically beneficial.

GlobalWarminganditsEconomicEffects

v. Linking Global Warming and Economic Turbulence

GlobalwarmingreferstotheincreaseintheaveragetemperatureoftheEarth.Sincethe SecondIndustrialRevolutioninthelate1800s,humanactivity,especiallyburningfossilfuels, hasdramaticallyincreasedgreenhousegases.Greenhousegases,primarilycarbondioxideand methane,trapheatwithintheatmosphere,whichhasledtoaone-degreeCelsiusincreaseinthe globalaveragetemperaturesincetheSecondIndustrialRevolution.WhileonedegreeCelsius mayappearnegligible,ariseintheglobalaveragetemperaturetooneandahalfdegreesCelsius willleadtorisingsealevels,morefrequentanddeadlyheatwaves,lossofwildlife,andmany otherundesirableenvironmentaloutcomes.285 Thetimetolimitthewarmingoftheplanetis quicklyrunningout.Countrieswouldneedtodrasticallycutbackontheircarbonemissionsby 2030,lessthan6yearsaway,andbeonanet-zeroemissionstrackby2050tolimitglobal warmingtooneandahalfdegreesCelsius.286 EvenwarmingtooneandahalfdegreesCelsius willprovetohavenegativeeffectsontheplanet.However,withoutanyefforttoreduce emissions,weriskatwoorthree-degreeCelsiusincreaseintheglobalaveragetemperature, ultimatelyfacingafarworsefatethanifwarminghadbeenbettercontrolled.287

285 Joy,Richard Unsustainable: the urgent need to transform society and reverse climate change PolicyPress, 2021

286 Joy,Richard Unsustainable: the urgent need to transform society and reverse climate change PolicyPress, 2021

287 Joy,Richard. Unsustainable: the urgent need to transform society and reverse climate change.PolicyPress, 2021

Withoutimmediateactionfromgovernmentsandpollutingcorporations,wefacenotonly theenvironmentaldisturbancesstatedabovebuteconomicdisturbancesaswell. Insurance companiesarerapidlyleavingstatessuchasCaliforniaandFlorida.Theyareknowntobe heavilyaffectedbyhurricanes,flooding,andwildfires,alleffectsofglobalwarming.These weathereventsdestroyhomes,infrastructure,andimportantbusinesses,whicharecostlyand time-consumingtorepair.Newbusinessesmayrefrainfromopeninginstateswithhigh insurancepremiumsastheywouldmakelessofaprofitwhilealsohavingtheaddedburdenof worryingaboutpropertydamagefromweatherevents.Thelackofnewbusinessesorbusiness expansionsinthestatesmostaffectedbyincreasinglysevereandfrequentweathereventscan haveanegativeeconomicimpactonthestateanditsresidents.Statesthatarelesslikelytosee intenseweathereventsinthecomingdecadeswillhavelowerinsurancepremiumsandwill enticebusinessestoexpandoropenintheirstate.

Thefewinsurancecompanieswhodostayinhigh-riskstatesoftendemandthat homeownersandbusinessownersmeetstringentrequirementsthatareoftenexpensiveto complywith.288 Thesedemandsplaceafinancialstrain onaverageAmericansandsmallbusiness owners.Theseclimate-relatedfearsandincidentsstraintheentireinsuranceindustry.Muchof theUnitedStates’scoastalareasareatriskoffloodingduetothecontinuingriseinsealevel causedbyglobalwarming.289Forcoastalregions,asealevelrisecouldpotentiallymeanalossin invaluableinfrastructuresuchashospitals,highways,homes,businesses,andairports,whichwill resultinanincrediblefinancialandpersonalcosttobusinesses,governments,andindividuals

288 Mills,Evan,andEugeneLecomte Availability and affordability of insurance under climate change: A growing challenge for the US Boston:Ceres,2005

289 Lindsey,Rebecca “ClimateChange:GlobalSeaLevel”NOAAClimategov,August22,2023 https://wwwclimategov/news-features/understanding-climate/climate-change-global-sea-level#: :text=In%20many %20locations%20along%20the,it%20was%2050%20years%20ago.

whowillbelefttorecoverthecosts.290 Revisionsinantitrustlawthatwouldallowformore clarityincorporatecollaborationcanhelpreducecorporateAmerica’scontributiontoglobal warming,primarilyintheformofsubstantialgreenhousegasemissions.Inturn,thesefinancially disastrousoutcomes,suchasincreasedstatewideinsurancecosts,thesubsequentlossofbusiness andworkinastate,andtherepairsofvitalandexpensiveinfrastructure,cansignificantlyreduce orbeaverted.

vi. Long-Term Consumer Protection Amid Global Warming

Astheplanetcontinuestowarmandtheenvironmentbecomesincreasinglyunstable, consumerswillneedincreasedlegalprotectionregardingtheirlong-termfinancialinterests.This mayrequirechangesinantitrustlawtoallowforroomforenvironmentalexceptions.Whilethe roleofantitrustlawistokeeppricesofgoodscompetitivefortheconsumertodayisimportant,if thesecompetitivelypricedgoodsareunsustainablysourcedorproducedbyenvironmentally unfriendlybusinesses,thenthelong-termcostsofcausingdamagetotheenvironmentcan outweightheshort-termcostbenefits.Afterwitnessingdamagetotheenvironmentdueto unsustainablebusinesspractices,consumersandshareholdersareurgingcorporationstomake long-termfocuseddecisionsregardingtheirbusinessoperations.Inthe2024caseof ExxonMobil v. Arjuna Capital,ExxonmobilshareholderArjunaCapitalproposedthattheoilgiantaccelerate theirreductionofcarbondioxideemissions.291 ExxonmobilrespondedbysuingArjunaCapitalto preventthisproposalfrombeingpresentedattheirnextshareholdermeeting.Similarly,inthe case California v. BP et al.,thestateofCaliforniasuedBPandothermajoroilcompaniesfor theirpartincausingariseincarbondioxidelevelsthatultimatelyledtofloodinginOaklandand

290 How climate change impacts the economy StateofthePlanet (nd) https://newsclimatecolumbiaedu/2019/06/20/climate-change-economy-impacts/

291 Exxon Mobil Corporation v Arjuna Capital,No.4:24-cv-00069-P,U.S.DistrictCourt,N.D.Texas,FortWorth Division (June17,2024)

SanFrancisco.292 Thesetwocasesdemonstratethatshareholdersandgovernmentsaretaking legalactiontoprotectthemselvesandtheircitizensfromthenegativeeffectscorporationshave ontheenvironmentthroughtheirhighoutputofgreenhousegases.

Allowingcorporationstoparticipateinclimate-focusedinitiativeswithoutthefearof retaliatoryinvestigationsforsuspectedantitrustlawviolationscoulddecreasetheunfortunate environmentalandlegalsituationsstatedabove.Aclimate-centeredcoalition,theNet-Zero InsuranceAlliance,sawfinancialinstitutions,specificallyinsurancecorporations,collaborateto reducetheirindividualcorporations’negativeenvironmentalimpactsbyrequiringallcompanies tocommittoreducinggreenhousegasemissionsandbeonanet-zerotrackby2050.This initiativewasdisbandedfollowingaccusationsbyRepublicanlawmakersofseveralstateand federalantitrustlawviolations.293 Tomaketacklingglobalwarmingeasier,antitrustlawmustbe alteredtorecognizethelong-termconsumerbenefitofallowingcorporationstosetindustry standards,shareresearchandsustainabletechnologies,andcreateclimate-focusedinitiativesand alliances.

FutureofAntitrustLaw

vii. Antitrust Modifications in the Face of Global Warming

Corporationsavoidjoiningclimateinitiativesandalliancesduetofearofbreaking antitrustlaws,butthatfearcanbeeasedwithalterationstoexistingantitrustlaws,specificallyto theguidelinesaboutcollaborationbetweencorporations.294 Thedamagethatglobalwarmingis causingtotheeconomyandconsumersisonlygrowingeachyear.Collaborationbetween corporationsiswherethebulkofindustrystandard-setting,climate-focusedinnovation,andthe

292California v BP PL C ,No C17-06011WHA(ND Cal Feb 27,2018)

293 InsurersfleeclimateallianceafterESGBacklashintheUS |reuters (nd-b) https://wwwreuterscom/business/allianz-decides-leave-net-zero-insurance-alliance-2023-05-25/

294 DemocraticStaffReportCommitteeontheJudiciaryUS HouseofRepresentatives,“Unsustainableand Unoriginal:HowtheRepublicansBorrowedaBogusAntitrustTheorytoProtectBigOil,” https://democrats-judiciaryhousegov/uploadedfiles/20240611 final esg reportpdf

formationofjointventuresandclimatecoalitionswilloccur.In1991,economistMichaelPorter createdwhatisnowknownasthe“PorterHypothesis.”Hishypothesisarguesthatdespite popularbeliefs,strictenvironmentalprotectionsandcorporateregulationswillnotharmthe economybutwillincreaseefficiencyandcompetitiveness.295 Astheplanetcontinuestowarm, naturaldisasterswillincrease.Thiswillmaketheeconomyincreasinglyunstableasmanykey piecesofinfrastructureandindividualswillbeaffectedbytheseevents.

Withthishypothesisinmind,thereisroomtoupholdtheShermanandClaytonActs whilealsoallowingcorporationstocollaborateinaclimate-andfuture-focusedmanner.The currentantitrustlawguidelines,“AntitrustGuidelinesforCollaborationsAmongCompetitors”, writtenjointlybytheFederalTradeCommissionandtheDepartmentofJustice,werewrittenin 2000andhavenotbeenupdatedsince.296 Updatestotheexistingguidelinessurrounding collaborationsbetweencorporationscanincludeclarityspecificallyonjointventuresand collaborations,asthisiswherecorporationswillmakethebulkoflong-termandwidespread climate-relatedprogress.Asmentionedpreviously,thisisanareathathasfacedheavyscrutiny asseveralUnitedStatesRepublicanlawmakersinvestigatedseveralclimatecoalitionsfor breakingantitrustlaws.297 Despiteseveralcoalitionsbeingaccusedandinvestigated,nocourt wasabletoruledefinitivelythattherewasaviolationofantitrustlawfromthecoalitions.298 Financialinstitutions,suchastheinstitutionsthatjoinedtheNetZeroInsuranceAlliance,have moreofanimpactontheenvironmentthanindividualsorhouseholdsandthereforebeara

295 Porter,M E "America'sGreenStrategy"ScientificAmerican264,no 4(April1991)

296 FederalTradeCommission, Antitrust Guidelines for Collaborations Among Competitors (Washington,DC: FederalTradeCommission,April2000), https://www.ftc.gov/sites/default/files/documents/public statements/antitrust-guidelines-collaborations-among-comp etitors/ftcgov-guidelines-collaborationspdf

297 InsurersfleeclimateallianceafterESGBacklashintheUS |reuters (nd-b) https://wwwreuterscom/business/allianz-decides-leave-net-zero-insurance-alliance-2023-05-25/

298 DemocraticStaffReportCommitteeontheJudiciaryUS HouseofRepresentatives,“Unsustainableand Unoriginal:HowtheRepublicansBorrowedaBogusAntitrustTheorytoProtectBigOil,” https://democrats-judiciaryhousegov/uploadedfiles/20240611 final esg reportpdf

significantburdenwhenitcomestoslowingorevenreversingglobalwarming.299 Antitrustlaw, specificallysurroundingcollaborations,canbeclarifiedwithcurrentenvironmentalconcernsat theforefronttostopbaselessinvestigationsintocorporationsattemptingtoeasetheclimate crisis.Withmoreclarityinthelanguage,corporationscanformjointclimateventuresand coalitionswithoutthefearofbeinginvestigated,havingtheircorporationtarnished,andenduring lawsuits,suchastherecentlawsuitissuedbyelevenRepublican-ledstatesagainstBlackRock, Vanguard,andStatestreet,forbreakingantitrustlawsoverclimatecollaborations.300 Forming coalitionssuchastheNetZeroInsuranceAllianceensuresthatmajorcorporationslimittheir annualcarbonemissions,amongothersustainabilityefforts,raisesawarenessfortheclimate crisis,andencouragesothercorporationstodothesame.

However,otherproposals,suchascreatingincentivesorallowingforenvironmental protectionandsustainabilityprotections,shouldnotbeincludedinanyupdatestoantitrustlaw. Thiscouldallowcorporationswhodonothaveagenuineinterestinprotectingtheenvironment and,subsequently,theirshareholdersandconsumerstoparticipateandreapmanytaxbenefits withoutproperlyparticipatinginmeaningfulandimpactfulchange.Increasingclarity surroundingthetopicofcollaborationwilllessentheambiguitymanyusetoattackcorporations participatinginclimatecoalitionsandthereforeincreaseparticipationinjointventuresand coalitionsaimedatslowingglobalwarming.

Conclusion

Antitrustlawisanecessarycomponentofafunctioningeconomytopreventcorporations' anti-competitivebehaviorandprotectconsumers.However,itcanoccasionallyharmconsumers

299 Korten,DavidC "Whencorporationsruletheworld" European Business Review 98,no 1(1998)

300 Blackrock,Vanguard,StateStreetsuedbyRepublicanstatesoverclimatepush|Reuters https://wwwreuterscom/legal/blackrock-state-street-vanguard-sued-by-republican-states-over-climate-accords-2024 -11-27/.

whenfearsofviolatingambiguousandoutdatedguidelinesstopcorporationsfromengagingin climate-focusedjointventuresandcoalitions.PrimarilysincetheSecondIndustrialRevolutionat theendofthenineteenthcentury,burningfossilfuelshasreleasedgreenhousegasesintothe atmospherethatslowlyincreasetheEarth’saveragetemperature.Corporationsarethelargest pollutersand,therefore,havethelargestweighttocarryinslowingorevenpotentiallyceasing theever-increasingwarmingoftheplanet.Withonlyahalf-degreeincreaseinglobal temperature,significantchangestotheclimatewilloccurthatwillharmbusinesses, governments,andindividuals.Risesinsealevelswillreduceusablelandforbusinessesand infrastructure,naturaldisasterssuchashurricaneswillleadtodifficultyobtaininghomeowners’ insuranceinhigh-riskstates,anddamagetoimportantinfrastructurewillonlybecomemore costlyastheseeventsincreaseinfrequencyandseverity.Therefore,corporationsmustn'tfeel dissuadedfromparticipatingincoalitionsandjointventuresthatseektoworkcollaborativelyon combatingglobalwarming.Byupdatingantitrustlawguidelinessurroundingcorporate collaborationforthefirsttimeintwenty-fiveyears,clarityforclimate-relatedcollaborationscan helpendunnecessaryinvestigationsintocorporationsattemptingtojoincoalitionsthatsupport environmentalprotectionefforts.Corporationscancontinuetobecompetitivewhileatthesame timeensuringeconomicprosperityforfuturegenerationsbyfocusingonclimate-related initiativesinthepresent.301

301 ThispaperhasbeenreviewedbyCymiePayne.SheisaprofessoratRutgersUniversityintheDepartmentof HumanEcologyandtheSchoolofLawandspecializesinenvironmentalstudiesandlaw

PRIVATEPRISONS:

THECONSTITUTIONALITY,ETHICALITY,ANDIMPLICATIONS

WRITTENBYSHRUTINARAYANABHATLA|EDITEDBYKEVINMASGUDOV

Introduction

i. History of Private Prisons

Privateprisonsarefor-profitinstitutionsoperatedbyprivatecompaniesthathouse inmates.Bornoutofanattemptinthe1980stocreateafiscalfixforgrowinggovernment spendingandsolveprisonovercrowding,theseinstitutionsblurthelinebetweenprofitand justice.302 SpearheadedbytheCorrectionsCorporationofAmerica(CCA)—thefirstprivate prisoncompanytooperateforprofit—thegrowthofprivateprisonsparalleledtheovercrowding effectsofPresidentReagan'sWaronDrugs.303 Asincarcerationratessoared,especiallyfor drug-relatedoffenses,privateprisonsproliferated,increasingfromfivein1998to100by 2008.

304 Currently,privateprisonshouse8.2%oftheUSprisonpopulation,withstateslike Montana,NewMexico,andTennesseehousingover20%oftheirprisonpopulationsinprivate facilities.305 TheCCAexperienceda500%profitincreaseovertwodecades,anditbegan utilizingelectronicsurveillancetocutcosts.306 Privateprisonsofferaquickandappealing promiseofcostefficiency,propelledbygrowingincarcerationratesandinefficientstate management.Butcriticscontendtherealcostofthesesavingsispaidforinhumandignity. ReportsfromtheACLUdescribeprivateprisonsas“hyper-violent,grotesquelyfilthy,and dangerousenvironments.”307 Forexample,theprivately-operatedEastMississippiCorrectional

302 “PrivatePrisonsvs PublicPrisons”CriminalJusticePrograms,May4,2021 https://www.criminaljusticeprograms.com/articles/private-prisons-vs-public-prisons/.

303 Privatevs PublicPrisons,2021

304 Privatevs.PublicPrisons,2021.

305 Privatevs PublicPrisons,2021

306 Privatevs PublicPrisons,2021

307 Anonymous.“IWasRapedatEastMississippiCorrectionalFacility:ACLU.”AmericanCivilLibertiesUnion, February27,2023 https://wwwacluorg/news/smart-justice/i-was-raped-east-mississippi-correctional-facility

Facility(EMCF)wasdescribedasbeingina“perpetualstateofcrisis,”whereprisonerswith seriouspsychiatricdisabilitiesareat“graveriskofdeathandlossoflimbs,”oftenlockedin long-termsolitaryconfinement.308 Withwidespreadreportsofinadequatemedicalcare,forced labor,andovercrowdedconditions,privateprisonshaveemergedasacontroversialcornerstone intoday’scarceralsociety.309

ii. Overview of Applicable Constitutional Amendments and Precedents

Theexistenceandgrowingprominenceofprivateprisonshavesparkedconcernsabout governmentaccountabilityandthetreatmentofincarceratedindividuals.Constitutionalscholars citetheEighthAmendment’sprotectionagainstcruelandunusualpunishmentandtheThirteenth Amendment’sprohibitionofinvoluntaryservitudeasthebasisoftheircriticismsofprivate prisons.Theseinstitutionshavecontributedtotheexpansionofprisonlabor,raisingcritical questionsaboutwhoisultimatelyresponsibleforhumanrightsviolations—privatecompanies, thestate,orthefederalgovernment.Thispaperwillexplorethecurrentlegalprecedentsetby casessuchas Bivens v. Six Unknown Fed. Narcotics Agents (1971), Correctional Services

Corporation v. Malesko (2001), and Dockery v. Hall (2019), andanalyzethecurrentlegalstatus ofprivateprisons.Subsequently,itwillevaluatetheeffectivenessofthesecasesinguidingthe actionsofbothfederalandprivateorganizationsinprotectingtherightsofthoseincarcerated.

iii. Growth of the Carceral State

Apartfromtheselegalconcerns,thispaperwillexplorethebroadersocietalimplications ofprivateprisonsinperpetuatingtheprisonindustrialcomplexandtheethicalissuesassociated

308 “Dockeryv Hall”AmericanCivilLibertiesUnion,February3,2023 https://wwwacluorg/cases/dockery-v-hall

309 Accordingtothe11theditionofBlack’sLawDictionary,“carceral”isanadjectivedescribingsomethingof, relatingto,orinvolvingjail,prison,orsometypeofincarceration ThoughoriginallyinEnglishandRomanlawa “carcer”referredtoaprisonorjailusedonlyforholdingordetentionpendingsentencing,anything“carceral”is nowcommonlyassociatedwithpunishment.Thus,acarceralsocietyisoneinwhichpunishmentandpunitive policiesarepervasive

withcommodifyingprisonlaborandcrime.310 Privateprisonshavedistortedincentivesto enhancepublicsafetyandpromoterehabilitationfortheincarcerated.Stategovernmentsare compelledtodivertfundsfrompublicservices,education,healthcare,andwelfaretocoverthe expensesofincarceration,hinderingeffortstoaddresstheunderlyingcausesofcrime.311 Privatizationhasturnedmassincarcerationintoalucrativeopportunityforaselectfewwhile becomingafinancialburdenfortherestofsociety.312 Thisdynamiccreatesasocietywhere libertyandjusticearetossedasideforamere33centsperhourofprisonlabor.313

BalancingCuttingCostswithInmateSafety

Therearedramaticdisparitiesbetweenpublicandprivateprisons,specificallyregarding transparency.Privateprisonsarenotablylessforthcomingaboutcrucialdetailssuchasinmate populations,staffingnumbers,andbudgetallocations.314 Unlikepublicfacilities,whichare accountabletotaxpayers,privateprisonsfacefewerregulatoryrequirementsandareless responsibletothepublic.315 Thisopacitymakesitmorechallengingtogatheraccuratedata. Despitethis,atrendhasemerged,withprivateprisonsbeingcriticizedasbeingmoredangerous andlesseffectivethanpublicprisons.Akeydistinctionliesintheprisonerpopulationofeach facility.Privateprisonsarefundedthroughgovernmentcontracts,manyofwhicharestructured aroundthetotalnumberofinmatestheyhouseandtheaveragedurationoftheirsentences.316 Thisfinancialarrangementtiestheirprofitabilitydirectlytomaintaininghigherinmatenumbers

310 AccordingtotheJusticeEducationProject(JEP),PrisonIndustrialComplexisatermusedtodescribethe conflictinginterestsofgovernmentandindustrythatusepunitiveandsurveillancemeasuresassolutionsto economic,social,andpoliticalproblems.Itisaconglomerateofsystemsthatensuresthelongevityofthecurrent unjustpowerstructure

311 Sawyer,Wendy.“HowMuchDoIncarceratedPeopleEarninEachState?”PrisonPolicyInitiative.Accessed November23,2024 https://wwwprisonpolicyorg/blog/2017/04/10/wages/

312 Stevenson,Bryan. Just mercy: A story of justice and redemption.NewYork:RandomHouseAudio,2014.

313 Sawyer,Wendy “HowMuchDoIncarceratedPeopleEarninEachState?”PrisonPolicyInitiative Accessed November23,2024.https://www.prisonpolicy.org/blog/2017/04/10/wages/.

314 “PrivatePrisonsvs PublicPrisons”CriminalJusticePrograms,May4,2021 https://www.criminaljusticeprograms.com/articles/private-prisons-vs-public-prisons/.

315 Privatevs PublicPrisons,2021

316 Privatevs PublicPrisons,2021

andlongerstays,furtherincentivizingmassincarceration.317 AccordingtotheBureauofJustice Statistics,theaveragelengthoftimeaprisonerservedinapublicprisonislessthanhalfthatof averageprisonersinprivatefacilities.318 Thisdisparityiscompoundedbythefactthatprivate prisonsaremorelikelytohostnonviolentdrugoffenders,astheseindividualstypicallyrequire lessintensivesecuritymeasurescomparedtoviolentoffenders,makingthemlessexpensiveto house.319 Theinterplaybetweenthepopulationtypeandtheprofit-drivennatureofprivate prisonsshedslightonwhyprisonersinprivatefacilitiesservelongersentences.

Anotherimportantfactoristherelationshipbetweenpublicandprivateprisonsinsafety andeffectiveness.Anestimated49%moreviolentincidentsandguardassaultsarereportedin privateprisonsthaninpublic,andinmate-on-inmateassaultsaresaidtooccur65%morein privatefacilities.320 UndertheObamaAdministration,theJusticeDepartment’scomparative reviewofbothprivateandpubliccorrectionalfacilitiesalsofoundthatprivateprisonsweremore dangerousandlesseffective,leadingtoeffortstophasethemout.321 TheTrumpadministration reversedtheseefforts,favoringharsherimmigrationanddrugpolicies.Privateprisonsalso managemanyimmigrationdetentioncenters,oftenexcludedfromstandardprisonreports.322

Despitethesesignificantdrawbacks,proponentsofprivateprisonscontendtheyreduce taxpayerburdensandareaneffectivesolutiontorisingratesofincarceration.However,initial costsavingsarefrequentlynegatedbyhiddenexpenses.323 Forexample,privateprisonsgenerally allocatefewerresourcestorehabilitationprograms,securitysystems,andmentalhealthservices,

317 Privatevs PublicPrisons,2021

318 Privatevs.PublicPrisons,2021.

319 Israel,JacobF For-profitprisons:HowlobbyinghasaffectedthewayAmericahousesprisoners https://www.bemidjistate.edu/academics/political-science/wp-content/uploads/sites/40/2022/03/For-Profit-PrisonsHow-Lobbying-Has-Affected-the-Way-America-Houses-Prisoners28865pdf

320 “PrivatePrisonsvs.PublicPrisons.”CriminalJusticePrograms,May4,2021. https://wwwcriminaljusticeprogramscom/articles/private-prisons-vs-public-prisons/

321 Privatevs.PublicPrisons,2021.

322 Privatevs PublicPrisons,2021

323 Privatevs PublicPrisons,2021

whichleadtohigherrecidivismrates.324 Furthermore,thefinancialincentivetomaintainhigh inmatepopulationshasresultedincontractswith“lock-upquotas,”obligatinggovernmentsto paypenaltiesiftheinmatecountfallsbelowasetlevel,ultimatelydrivinguptaxpayercosts. Thus,itisnosurprisethattheaveragecostofhousingamedium-securityinmateinapublic prisonin2010was$48.42comparedto$53.02inaprivateprison.325

Addingfurthercomplexity,ElieHonig,aformerfederalprosecutorintheSouthern DistrictofNewYork(SDNY)with14yearsofexperience,offersacompellinganecdoteabout inmatespreferringprivateprisonsovergovernmentfacilities.326 Henotesthatsomeinmates requesttransferstoprivateprisonsbecausetheybelievetheseinstitutionsarebetterequipped, morecomfortable,andlessdangerous.However,theremightbesomelimitationstothisanalysis. First,mostinmateslackadequateknowledgeorfirsthandexperienceacrossmultiplefacilities, meaningtheirviewsmaybeshapedbylimitedinformationormisconceptionsratherthana comprehensiveunderstandingoftheprisonsystem.Additionally,Honighimselfnotesthatwhat asubsetofinmatesdesirescannotreliablyrepresentthebroaderexperiencesoftheincarcerated population,especiallygiventheimmensediversityinindividualneedsandinstitutional conditions.Third,theremaybesignificantdisparitiesinthequalityofprivateprisonscompared tofederalorstatefacilities,particularlyasprivateprisonsoftenoperateundervaryingcontracts andoversightstandards.WhileHonig'sinsightoffersaglimpseintoinmatesentiment,thisjust addsalayerofnuancetoanalreadymultifacetedissue.Thetruecase-by-casebasisofthis problemissomethingcitizens,lawmakers,andinmatesshouldmakeaconsciouseffortto understand.

324 Privatevs.PublicPrisons,2021.

325 Privatevs PublicPrisons,2021

326 ThepaperwasreviewedbyElieHonig,whoiscurrentlytheSeniorLegalAnalystforCNN,havingpreviously workedoveradecadeasafederalandstateprosecutor.Honighasdecadesofexperiencedealingwiththecriminal justicesystem,andhehasalsoauthoredseveralbestsellingbooksdisplayinghisintricatelegalanalysis

LiabilityandConstitutionalChallengesofPrivatePrisons

iv. Difficulty Establishing Standing

CriticsofprivateprisonsarguethattheseinstitutionsviolatetheEighthandThirteenth Amendments,particularlyregardingcruelandunusualpunishment.Severalcourtcaseshave developedastringentlegalframeworkthatmakesitdifficultforprisonerstosuccessfullysuefor EighthAmendmentviolations.In Rhodes v. Chapman,theCourtruledthattheEighth Amendment“doesnotmandatecomfortableprisons,”settingaprecedentthatprisonconditions donotneedtobeidealtomeetconstitutionalstandards.327 However,in Farmer v. Brennan (1994),theCourtclarifiedthat“thetreatmentaprisonerreceivesinprisonandtheconditions underwhichheisconfinedaresubjecttoscrutinyundertheEighthAmendment,”establishing the"deliberateindifference"standard.328 Underthedeliberateindifferencestandard,toprovean EighthAmendmentviolation,aprisonermustshowthataprisonofficialknewofasubstantial riskofseriousharmanddisregardedthatriskbyfailingtotakereasonablestepstopreventit.329 TheFarmerdecisionsetahighbarforprovingdeliberateindifference,requiringmorethanmere negligenceoroversight.Aprisonofficialmusthaveactedwith“subjectiverecklessness”in failingtoaddresstherisk,meaningtheyintentionallyignoredaknowndanger 330 Fora successfulSection1983claim(afederalstatutethatallowsindividualstosuestateandlocal governmentofficialsorentitiesforviolationsoftheirconstitutionalorfederalrights),as explainedin Gobert v. Caldwell (2006),theprisonermustdemonstratethatofficials“refusedto treathim,ignoredhiscomplaints,intentionallytreatedhimincorrectly,orengagedinsimilar conductthatclearlyshowedawantondisregardforseriousmedicalneeds.”331 Thishigh

327 “Dockeryv.Hall.”AmericanCivilLibertiesUnion,February3,2023.https://www.aclu.org/cases/dockery-v-hall.

328 Dockery,ACLU,2023

329 Dockery,ACLU,2023

330 Dockery,ACLU,2023.

331 Dockery,ACLU,2023

thresholdmakesitparticularlychallengingforinmatestoproveEighthAmendmentviolationsin bothpublicandprivateprisons,effectivelylimitingtheabilitytoholdprisonofficialsorprivate operatorsaccountableforinadequateconditionsorcare.

v. Determining Liability in Private Prisons

GrantedaplaintiffpainstakinglyestablishesanEighthAmendmentviolation,there remainsconsiderableambiguityregardingtheliabilityofprivateprisons,asitisunclearwho shouldbeheldaccountablefortheinflictedharm.Consequently,thismakessuchlawsuits particularlydifficulttolitigateandadjudicate.Thisambiguityisexacerbatedbytheintertwined rolesofthestateandtheprivatesector,makingitdifficulttoassignblameforviolations.While thegovernmentmayoverseecertainaspectsofprisonlife,suchastheuseofforce,private companiesaretypicallyresponsiblefortheday-to-dayoperations.Nonetheless,certaincourt caseshavesetprecedentsthatoffersomeclarityonnavigatingtheselegalquestions.

In Bivens v. Six Unknown Fed. Narcotics Agents (1971),theSupremeCourtruledthat individualshavetherighttosuefederalofficialsforconstitutionalviolationsoftheFourth Amendment,settingacrucialprecedentinholdinggovernmentactorsaccountable.332 Bythe sameprinciple,thisrightwaslaterextendedtoviolationsoftheEighthAmendmentthrough Carlson v. Green (1980).333 “Furthermore,”in Correctional Services Corporation v. Malesko (2001),theSupremeCourtwastaskedwithdeterminingwhethertheimpliedprivateactionfor damagesagainstfederalofficersestablishedin Bivens shouldbeextendedtoprivatecorporations thatwereprivatelycontractedoutbythefederalgovernment.334 Ina5-4decision,thecourtruled that Bivens couldnotbeextendedtopermitarightofactionfordamagesagainstprivateentities

332 “CorrectionalServicesCorp V Malesko”LegalInformationInstitute,November27,2001 https://www.law.cornell.edu/supct/html/00-860.ZD.html.

333 CorrectionalServicesCorp V Malesko,LegalInformationInstitute,November27,2001

334 CorrectionalServicesCorp V Malesko,LegalInformationInstitute,November27,2001

actingunderthecoloroffederallaw,whichsignificantlylimitscorporateliability.335 Dockery v. Hall (2019)furthernuancedthedoctrinebyemphasizingthatwhileprivateindividualsemployed byprivateprisonsmayfacelawsuits,thecorporationsthemselvesremaininsulated.Thisrulingis directlycontradictedby§1983,whichcontendsprivateprisonsareanextensionofastateand thusshouldbeconsideredstateactors.336 Althoughprivateprisonemployeesaretechnically employedbycontractedentities,theyactasstateactorsunderthepublicfunctiondoctrine,and insulatingcorporationsfromaccountabilitycreatesanunjustgapinenforcingconstitutional protections.TheSupremeCourt’slegalinconsistencycomplicateslitigationandcreatesasystem inwhichegregioushumanrightsviolationspersistunchecked.Withoutdefinitiverulingsfrom theCourt,higher-levelofficialswithinprivateprisonsystemscandeflectblameontosubordinate officers,avoidingaccountabilityforthesystemicissuestheyhavehelpedfoster.Althoughthe rootcauseofinhumaneconditionsinprivateprisonsstemsfromdirectivesandacultureof negligencesetupbythesehigher-levelofficials,theyremainshieldedfromlegalretribution. Instead,onlylower-levelguardswhointeractdailywithprisonersaretypicallyheldresponsible.

vi. Issues With Setting Lasting Precedent

Onceacaseisfiledandaprivateprisonorgovernmentisheldliable,significant challengesremaininenforcingpenaltiesandensuringaccountabilityforhumanrightsviolations. Whileplaintiffsmaywintheircasesandreceivemonetarycompensation,thesepayments typicallycomefromthefederalgovernment,whichoperatesonavastdeficit.Consequently, suchfinancialpenaltiesdolittletodeterfutureviolations,especiallyforprivateprisonsthat continuetosecuregovernmentcontractsdespitetheseissues.Settlementsrarelyleadto meaningfulreform,asthecompaniesfaceminimallong-termconsequencesandremain

335 CorrectionalServicesCorp V Malesko,LegalInformationInstitute,November27,2001

336 “Dockeryv Hall”AmericanCivilLibertiesUnion,February3,2023 https://wwwacluorg/cases/dockery-v-hall

financiallystable.Additionally,plaintiffsfromlow-incomebackgroundsareinclinedtoaccept smallersettlements,prioritizingimmediatereliefoveradvocatingforsystemicchange.This perpetuatesacycleinwhichindividuallawsuitsfailtodrivethesubstantialreformsneededto preventfutureabuses,allowingharmfulprisonconditionstopersist.Forexample,the2017 lawsuitagainstCoreCivic,oneofthelargestprivateprisoncompaniesinthecountry,exemplifies thislackofaccountability,evenwhenlawsuitsarebroughtforth.Theinmateplaintiffs,all inmatesinCoreCivic’scorrectionalfacilities,allegedwidespreadviolence,chronic understaffing,andinadequatemedicalcare.Thelawsuitconcludedwithafinancialsettlement,a commonoutcomeincasesagainstprivateprisons.Whilesettlementsmayprovidesome immediaterelieftotheplaintiffs,theyrarelyincentivizesystemicreforms.Furthermore,while CoreCivicpaidfordamages,theywerenotrequiredtoadmitliabilityorcommittoany operationalchanges.AsseenwiththeCoreCiviccase,systemicproblemsremainunsolved,and thecycleofabusecontinues,emphasizingtheneedforurgentregulatoryframeworksand enforceableoversightmechanisms.337

Ultimately,thelegalframeworksurroundingEighthAmendmentviolationsinprivate prisonspresentsmultiplelayersofchallengesforplaintiffsandadvocatesseekingaccountability First,thestringentlegalstandardssetahighbarforprovingconstitutionalviolations,requiring plaintiffstodemonstratethatprisonofficialsactedwithdeliberateindifference,whichisdifficult toestablish.Second,theambiguitybetweengovernmentandprivateprisonliabilityfurther complicateslitigation,asconflictinginterpretationsleaveopenquestionsaboutwhetherthe privateprisoncorporationorindividualemployeesshouldbeheldaccountable.Thislackof

337 Mattise,Jonathan,TravisLoller,andKristinM Hall “PrivatePrisonGiantHasSpentover$44mtoSettle MistreatmentComplaintsin1State-IncludingatLeast22InmateDeaths”Fortune,October14,2024 https://fortune.com/2024/10/14/private-prison-corecivic-settle-mistreatment-complaints-tennessee-inmate-deaths/.

clarityallowshigher-levelofficialstodeflectresponsibilityontosubordinatestaff,effectively insulatingthoseinchargefromconsequences.Lastly,evenwhenliabilityisestablished,the enforcementofpenaltiesremainsweak,withfinancialsettlementsrarelyleadingtosystemic change.Sinceplaintiffsoftensettleforsmallcompensationratherthanpushingforbroader reforms,thesystemperpetuatesacycleinwhichindividuallawsuitsfailtoaddresstheroot causesofabusiveprisonconditions.Thefragmentednatureoftheselegalbattles,whereonlyone personcantypicallybeprosecutedatatime,allowsprivateprisonstoavoidcomprehensive accountability,leavingthedooropenforcontinuedhumanrightsviolations.Thisstructural designpreventsmeaningfulreformandreinforcesthestatusquo,inwhichprivateprison operatorscancontinuetheirpracticeslargelyunchallenged.

PrivatePrisons,thePrisonIndustrialComplex,andtheCarceralSociety vi. Funding and Sustaining Private Prisons

TheexistenceandexpansionofprivateprisonsintheUnitedStatesdirectlyperpetuates theprisonindustrialcomplex—astructurewhereincarcerationbecomesanengineforprofitto sustaincapitalismandcreatelucrativeopportunitiesforprivatecompanies.Structurally,private prisonscontributetoacyclewhereprofitincentives,politicallobbying,andthesocietalimpacts ofmassincarcerationintersect,sustainingacarceralsocietywherepunishmentandprofitare placedoverrehabilitationandequity.

Privateprisonstypicallyfunctionviagovernmentcontracts,wheretheyarepaidona per-inmatebasis.Prisonersinprivateprisonsgetpaidanaverageof$1,679perinmateina year.338 Theresultisafundamentalstructuralincentive tomaximizeincarcerationwhile minimizingoperationalcosts.Thisprofitstructure,aselucidatedearlierinthispaper,enables 338 Ludington,Samuel.PubliclyTradedJustice,2021. https://heinonlineorg/HOL/LandingPage?handle=heinjournals/umblr29&div=16&id=&page=

compromisedinmatesafety,lackofessentialservices,andpooreducationalprograms.The successofprivateprisonspossessesafundamentalantagonismbetweenpublicinterestgoalsof rehabilitationandprivateprisonincentivesofincreasingincarcerationrates.Therearetwo mechanismsthroughwhichprivateprisonsuniquelyactinwaysthatpromotehigher incarcerationrates.Onepotentialconcernisthatprivateprisonsmightindirectlycontributeto crimeandorganizedcrimeduetotheirinterestinmaintaininghighincarcerationrates.Since privateprisonsaremostprofitablewhentheirfacilitiesarefilled,theymayinvestinharmful societalactivities,suchassupportingthegunlobbyorothereffortsthatcouldleadtoanincrease incrime.

339

Thesecondconcernisthemethodthroughwhichtheseinstitutionsinfluence policy-makingthroughextensivelobbyingefforts.Privateprisoncorporationshavepowerful lobbyingarmsandspendmillionseachyearoncampaigncontributionsandadvocacytosway policymakers.Theirgoalisclear:topromoteharshercriminaljusticepoliciesthatincrease inmatepopulations,therebyensuringcontinuedprofits.Thislobbyingisevidentineffortsto advocateforlawslikemandatoryminimumsentences,“threestrikes”policies,and tough-on-crimerhetoric,whichcreatealegislativeenvironmentconducivetomassincarceration. Moreover,privateprisoncompaniesoftenbackrestrictiveimmigrationpoliciesthatfilldetention centers,securingasteadyinfluxofdetainees.340 Thispoliticalcloutenablesprivateprisonsto embedtheirinterestswithintheveryframeworkofthecriminaljusticesystem,steeringitaway fromreformativegoalsandtowardthecontinuous,profitablecycleofconfinement.Since1989, thetwolargestfor-profitprisoncompaniesintheUnitedStates—GEOGroupandCorrections

339 Ludington,Samuel PubliclyTradedJustice,2021

340 Ludington,Samuel PubliclyTradedJustice,2021

341

CorporationofAmerica—alongwiththeiraffiliates,havecontributedover$10millionto politicalcandidatesandspentnearly$25milliononlobbyingefforts.

vii. Implications for Inmates and Society

Therearenumerousdeep-rootedimplicationsofthefundamentalshiftwherepunitive measuresandhighincarcerationratesbecomenormalizedfeaturesofsocialcontrol.First,by commodifyingincarceration,privateprisonsinfluencepublicperceptionofjustice,redefining criminaljusticetoalignwithcapitalisticidealsofprofit.Thisprofit-drivenmodelnotonly perpetuatesmassincarcerationbutalsoinfluencespublicopinion,fosteringgreatersupportfor punitivepoliciesanderodingempathyforsystemicfactorslikepovertyorracialinequitiesthat drivecriminalbehavior.Communitiesofcolorandmarginalizedgroupsaredisproportionately affected,astheyaretheprimarytargetsofstringentpolicingandsentencingpractices.Thehigh incarcerationratesinthesecommunitiesreinforcecyclesofpoverty,disenfranchisement,and systemicoppression.Thesecondimplicationoftheprivateprisonmodelisthedeprioritizationof rehabilitation,whereformerinmatesstruggletoreintegrateintosocietyduetolimitedprograms duringandafterincarceration.342 Theemphasisonkeepingprisonbedsfilledoverpromoting successfulreintegrationexacerbatessocialissuessuchasunemployment,homelessness,and mentalhealthcrises.Inturn,thesefactorspushpeopletocommitmorecrimes.

Conclusion

Privateprisonsrepresentafundamentalaffronttojustice,drivenbyprofitratherthan rehabilitation.Althoughinitiallyintroducedundertheguiseofcuttingcostsandeasingprison

341 Cohen,Michael “HowFor-ProfitPrisonsHaveBecometheBiggestLobbyNoOneIsTalkingabout-the WashingtonPost”WashingtonPost,April28,2015 https://wwwwashingtonpostcom/posteverything/wp/2015/04/28/how-for-profit-prisons-have-become-the-biggest-lo bby-no-one-is-talking-about/

342 Chang,Grace,andRyanPintado-Vertner “MovingStronger:NeedsoftheCriminalJusticeReformMovement” CORE,September2001.https://core.ac.uk/.

overcrowding,theseinstitutionsfuelviolationoftheEighthAmendment’sprotectionsagainst cruelandunusualpunishmentandperpetuatethesystemicexploitationthatconflictswiththe ThirteenthAmendment’sprohibitionofinvoluntaryservitude.

Theprofitincentivesinherentinprivateprisonscreateaself-perpetuatingcycleofmass incarceration.Astheseinstitutionsbenefitfinanciallyfrommaintaininghighinmatepopulations, theycontributetothelegislativeandsocietalshiftsthatleadtoexcessivepunishment.Through lobbyingefforts,privateprisonsdirectlyinfluencepoliciesthatsustainmassincarceration,such asmandatoryminimumsandthree-strikelaws.Theconsequencesofthissystemripplebeyond prisonwalls,fosteringpoverty,disenfranchisement,andsystemicinequality,whilefailingto addresstherootcausesofcrimeorsupportmeaningfulrehabilitation.

Tocombatthiscycle,systemicchangeisimperative.Endingmassincarcerationbegins withphasingoutprivateprisoncontracts,implementingrobustoversighttoholdpublicand privateentitiesaccountableforabuses,andinvestinginrestorativejusticepracticesthataddress therootcausesofcrime.Policymakersmustrejectlobbyingeffortsthatprioritizeprofitover publicsafetyandinsteadadvocateforreformsthatupholdhumandignity,equity,and constitutionalintegrity

Thefightagainstprivateprisonsispartofabroaderbattletodismantlethecarceralstate andreplaceitwithajusticesystemrootedinfairness,rehabilitation,andcommunityinvestment. Wecannotachievetruejusticeuntilwerejectthecommodificationofhumanlivesandcommitto transformativereforms.Byendingmassincarcerationandensuringthatcuttingcostsdoesnot comeattheexpenseofhumanrights,wecanbreakthecycleofoppressionandbuildasociety wherejusticeisarealityforall.

THECONSTITUTIONALITYOFDEFENSIVEMEDICINEASAMEANSOF

AVOIDINGMEDICALMALPRACTICELAWSUITS

WRITTENBYSANCHALIDIGHE|EDITEDBYMAXWELSINKIEWICZ

Introduction

i. Defining Defensive Medicine

Defensivemedicineisdefinedasmedicinepracticedinsuchawayastoreducetherisk ofmalpracticelitigation,typicallybytheuseofexcessivediagnostictesting.343 Overtime,ithas beenincorporatedintomodernmedicalpracticetolimitliability,i.e.,physicianswillorder excessivetestsandprocedures,inflatinghealthcarecostsforthepatients,notoutofmedical necessity,butoutoffearofmedicallawsuits.Thepervasivenessofthispracticeisstaggering:a 2015HarvardMedicalSchoolStudyrevealedthat92percentofsurveyedphysicianspracticing inPennsylvaniaengagedindefensivemedicalpractices.344 Defensivemedicinebenefitsdoctors duetothepractice'spopularityanditsexpectedoutcomeoflimitingmedicalmalpracticecases. However,defensivemedicinedistortsthedoctor-patientrelationshipandcausesmistrustinthe healthcaresystem,asitprioritizesdoctors’liabilityoverpatientcare.

Defensivemedicinepresentsitselfintwoforms:positiveandnegative.Positivedefensive medicinereferstoinstanceswherethedoctorgivesapatientunnecessarycare–specifically, orderingunnecessarytests,hospitalizations,andreferrals.Doctorsmaychoosetooverprescribe topreventapotentialfuturediagnosisormitigateamedicalissuebeforeitoccurs.Asan example,antibioticsaresometimesoverprescribedtotreatmildearandsinusinfections,which mayhavehealedwithoutantibiotictreatment.Thisprotectsdoctorsfrompotentialmalpractice

343 OxfordUniversityPress "OxfordLanguagesandGoogle-English"AccessedNovember8,2024 https://languagesoupcom/google-dictionary-en/

344 ManishK.Sethi,DefensiveMedicine:“Glowing”withPain,February1,2010, https://psnetahrqgov/web-mm/defensive-medicine-glowing-pain

suitsifthemedicalissueislargerthaninitiallythought,whichmayresultingreaterharmtothe patient.Contrarytothis,negativedefensivemedicinereferstoinstanceswherethedoctorrefuses togiveapatientnecessarycare.Refusingtotreatapatient,whiletheoppositeofpositive defensivemedicine,ispracticedforthesamereason.Whenadoctortakesapatientintotheir practice,theymustbepreparedtoproperlycareforthepatient.Whentheyacceptapatient despitelackingsufficientexpertiseorconfidenceinmanagingtheircare,thepatientfaces heightenedmedicalrisksandthedoctorfacesapotentiallegaldispute.Therefore,doctorsmay refusetotreatpatientswithcomplexmedicalissues--inotherwords,high-riskpatients–andavoid administeringinvasiveandcomplicatedprocedures.Bothexamplesofdefensivemedicinecan leadtoanunequaldeliveryofhealthcaredependingontheindividualandhisorhermedical situation.

ii. The Constitutionality of Defensive Medicine

Inthecomplexlandscapeofmedicaljurisprudence,theFourteenthAmendment’sEqual ProtectionClausesurfacesasamethodofdeterminingtheconstitutionalityofdefensive medicine.Althoughdefensivemedicineispracticedtomitigatepotentialmedicalmalpractice suitsfromthephysician'spointofview,thepotentialforaconstitutionaloffenseisnotinthe actionitselfbutthemethodinwhichitispracticed.TheAmendment'srobustframework providesaclearthesis:defensivemedicinebecomesconstitutionallyproblematicwhenit manifestsasamechanismofdirectdiscrimination—whethertargetingpatientsbasedonrace, sex,disability,orotherprotectedcharacteristics.Whentheseparametersaremet,defensive medicine,practicedtocombatpotentialmalpracticelawsuits,violatespatients'equalprotection rightsundertheFourteenthAmendmentbysubjectingthemtounnecessaryanddisproportionate

177 harm.345 TheparametersabovewillbeanalyzedthroughananalysisoftheEqualProtection Clausetoprovideanin-depthdiscussionofdefensivemedicine'sconstitutionality.

HistorySurroundingDefensiveMedicine

iii. Origins of Defensive Medicine

Tounderstandtheimpactofdefensivemedicine,itisvitaltounderstanditsorigins. Whilethereisevidenceofdefensivemedicinebeingpracticedbeforethelate1960sandearly 1970s,itbecamemoreprevalentthrough1975,whentherewasanincreaseofmalpracticesuits filedinstatecourtsby195percent.346 Thissurgewaslikelyduetoavarietyoffactors,including thedevelopmentofnewtestingequipment.2 Doctorswouldavoidadministeringtreatmentsthat requiredthistestingequipmenttoprotectthemselvesfrommedicalmalpracticesuits.347 In1974, theGeneralCounseloftheAmericanMedicalAssociationmadeapublicannouncementframing defensivemedicineasaneffectivemethodofavoidingmedicalmalpracticelawsuits.348 The GeneralCounselalso“provocatively[suggested]thathiscolleaguesshoulddonomedicalaction atallastheonlywaytoavoidmalpracticelawsuits,”whichwaslikelyinresponsetotherising numberofmedicalmalpracticesuits,andthepotentialangerthathealthcareworkersfelttowards thelegalsystemandpatientsforattemptingtodismissthemfromtheirjobs.349 Now,studentsand residentswhoarevyingtosustainapositionwithinthefieldofhealthcareareexposedtoand

345 OxfordUniversityPress."OxfordLanguagesandGoogle-English."AccessedNovember8,2024. https://languagesoupcom/google-dictionary-en/

346 PRATT,HN,andAmericanHospitalAssociation."HearingsbeforetheSubcommitteeonHealthofthe CommitteeonLaborandPublicWelfare"UnitedStatesSenate,S755:756

347 PRATT,HN,andAmericanHospitalAssociation "HearingsbeforetheSubcommitteeonHealthofthe CommitteeonLaborandPublicWelfare"UnitedStatesSenate,S755:756

348 Defechereux,Thierry,MichelPaesmans,DidierJamart,NathalieCloson,CélineMeurisse,andJean-Robert Malgrange "DefensiveMedicineasaResponsetoMedicalMalpracticeLiability:EvidencefromaFrenchSurvey" EuropeanJournalofHealthEconomics21,no 1(2019):89-98 https://doiorg/101007/s10198-019-01144-0

349 PRATT,HN,andAmericanHospitalAssociation."HearingsbeforetheSubcommitteeonHealthofthe CommitteeonLaborandPublicWelfare"UnitedStatesSenate,S755:756

taughthowtopracticedefensivemedicineasameanstoavoidpotentialmedicalmalpractice suits.

Thepracticeofdefensivemedicinehaschangedthemethodinwhichhealthcare professionalsuseclinicalreasoning,acomplexapproachthatallowsphysicianstoevaluate, diagnose,andproperlytreatapatient’scondition.Atfirst,defensivemedicinewasareactive strategythatwascreatedtomitigatemedicalmalpracticesuits.Sinceitscreation,ithasevolved intoasophisticatedandmultifacetedapproachthatnowencompassestwodifferenttypesof defensivemedicine–positiveandnegative.Thistransformationmarksashiftinthephilosophical approachthatdoctorstakewhentreatingpatients,asithasbecomeincreasinglymoredominant asamedicaldecision-makingmechanism.

Whenconsideringtheoriginsofdefensivemedicine,itisclearthatfromthelensof healthcareworkers,theyareattemptingtopracticemedicinesafelytoprotecttheirpractice. However,fromthelensofthepatients,doctorsarefailingtomeetthestandardsofhealthcare thatpatientsexpect.Whatinitiallyemergedasarationalresponsetolegalliabilityhasnow,in theeyesofthepatients,underminedtheprimaryobligationofhealthcareworkers–tovalue patientcareaboveallelse.Thepracticeofdefensivemedicinethereforeraisesalegalquestion abouttheintersectionofdoctors’protectionfromlegalliabilityandtheconstitutionalguarantee ofequalprotectionundertheFourteenthAmendmentforpatients.Whendefensivemedicineis practicedinequitably,itcallsforjudicialreviewunderthestrictscrutinyoftheEqualProtection Clause.

iv. History of the Equal Protection Clause

TheEqualProtectionClausehastransformedthroughoutitshistory.Ithasevolvedfrom thenarrowscopethatittookpost-CivilWar,toarobustconstitutionaldoctrinethatservesasa

protectoragainstsystemicdiscrimination.ThereadingoftheEqualProtectionClausehas broadenedfromaliteralreadingofracialequalitytoamoreexpansiveframeworkthat scrutinizesdifferenttypesofinequitiesbasedonfactorsotherthanrace.Whileitsoriginalintent wastocurbdiscriminationagainstAfricanAmericansaftertheCivilWar,thewordingwas broad,statingthat“NoStateshallmakeorenforceanylawwhichshallabridgetheprivilegesor immunitiesofcitizensoftheUnitedStates;norshallanyStatedepriveanypersonoflife,liberty, orproperty,withoutdueprocessoflaw;nordenytoanypersonwithinitsjurisdictiontheequal protectionofthelaws.”350 Thiswordingiswhatledtotheoutcomeofthecase Plessy v. Ferguson,whichdeterminedthat“separatebutequal” facilitiesandothersuchJimCrowlaws wereconsideredconstitutional.351 Thispreviouslyestablishedprecedentwaslateroverturnedby Brown v. Board of Education,wherethecourtdecidedthatsuchlawstrulydidviolatetheEqual ProtectionClause,352 settingaprecedentformanycasesinthefuture.Following Brown in1967, Loving v. Virginia foundthattheprohibitionofinterracialmarriageswasalsoconsideredtobe unconstitutionalundertheFourteenthAmendment.353 Thesecourtcases,whileonlydiscussing race,setuptheinterpretationoftheEqualProtectionClauseforthefuture,whereitwas broadenedtocombatinequitiesoutsideofrace,and,eventually,inequitieswithinthefieldof healthcare.

v. Supreme Court Cases Outside of Race

TheEqualProtectionClause'sevolutionwasfundamentallyshapedbylandmark SupremeCourtcasesaddressingracialdiscrimination,whichdefinitivelyestablishedits constitutionalsignificance.However,thecourt’sfocusshifted,andtheinterpretationofthe

350 US Constitution,amend XIV,§1

351 Plessyv Ferguson,163US 537(1896)

352 Brownv BoardofEducation,347US 483(1954)

353 Fitzpatrick,Brian,andTheodoreShaw 2015 “Interpretation:TheEqualProtectionClause|theNational ConstitutionCenter.”NationalConstitutionCenter–Constitutioncenter.org.2015. https://constitutioncenterorg/the-constitution/amendments/amendment-xiv/clauses/702

180 clausebroadenedin1971withthe Reed v. Reed decision.TheSupremeCourtruledthatthe IdahoProbateCodethatdiscriminatedagainstwomenintheadministrationofestateswas unconstitutionalundertheEqualProtectionClauseoftheFourteenthAmendment.354 TheCourt’s unanimousdecisionwrittenbyJusticeWarrenE.Burgerstatedthat“thechoice”ofwhowas administeredanestateinthiscase“maynotlawfullybemandatedsolelyonthebasisofsex”due toitsviolationoftheEqualProtectionClause.355ThisSupremeCourtdecisionwasthefirstone inwhichtheEqualProtectionClausewasnotappliedontheaccountofrace,butsex,which markedthebeginningofitswideningscope.356

TheSupremeCourt’s1985decisionin City of Cleburne, Texas v. Cleburne Living Center, Inc. representsacriticalmomentintheexamination oftheEqualProtectionClause,particularly whenexaminingtheconstitutionalvulnerabilitiesofdefensivemedicine.Thecaseestablished explicitprotectionsforindividualswithdisabilitiesbyrulingthat“requiringaspecialusepermit forthe[intellectuallydisabled]deprivesrespondentsoftheequalprotectionofthelaws.”357 The SupremeCourtdecisionprovidesanimportantlensthroughwhichdefensivemedicinecanbe analyzed.Itsholdingthatbothlegislativeandadministrativeactionsthattargetdisabled individualsmustbeheldtoheightenedjudicialscrutinydemonstrateshowifdefensivemedicine ispracticedinamethodthatdisproportionatelyimpactspatientsbasedondisabilitystatus,itmay beconsideredunconstitutional.

vi. Health Equity

354 “Reedv Reed,404US 71(1971)”nd JustiaLaw https://supremejustiacom/cases/federal/us/404/71/#tab-opinion-1949535

355 “Reedv Reed,404US 71(1971)”nd JustiaLaw https://supremejustiacom/cases/federal/us/404/71/#tab-opinion-1949535

356 “TheSupremeCourtandthe14thAmendment”nd AmericanCivilLibertiesUnion https://wwwacluorg/issues/racial-justice/supreme-court-and-14th-amendment

357 “CityofCleburnev.CleburneLivingCenter,Inc.,473U.S.432(1985).”2024.JustiaLaw.2024. https://supremejustiacom/cases/federal/us/473/432/#tab-opinion-1956273

ThejudicialevolutionoftheFourteenthAmendment,fromthenarrowrulingregarding explicitdiscriminationagainstaspecificminoritygroupin Plessy v. Ferguson,tothebroadened useoftheEqualProtectionClausetochallengesystemicinequitiesin Cleburne,constitutesa cleardelineationofequitywithinthefieldofhealthcareasaconstitutionalright.Eachcasehas incrementallydevelopedalegalstandardagainstdiscriminatorypracticesthatcanbeappliedto thefieldofhealthcare.TheSupremeCourtcasesamalgamatedtocreatethedefinitionofhealth equityasitisknowntoday.Ithasthereforebeenfoundthathealthequity“requireseliminationof differentialsinaccesstohealthservicesaccordingtorace,ethnicity,sex,genderidentity, comorbidity,orability.”

358 Thisdefinition,withthebackingofalineofSupremeCourtcases,has becomenotasimpleidea,butmoreakintoaconstitutionalmandate.

ThedefinitionofhealthequityiswhatledtoSections1557and2704oftheAffordable CareAct(ACA).Bothsectionsrepresentatransformationofequitablehealthcarepolicyfrom mereregulatorylanguagetoconcretehealthcarepolicyusingthelonghistoryoftheEqual ProtectionClauseandthemoderndefinitionofhealthequitythatarosefromtheFourteenth Amendment.Section1557directly“prohibitsdiscriminationbasedonrace,color,national origin,sex,age,ordisabilityinspecifiedhealthprogramsoractivities,includingthosethat receiveFederalfinancialassistance,”whichcodifiestheSupremeCourt’sinterpretationofthe EqualProtectionClauseandtheconstitutionalprotectionsthatitoffers.359 Section2704outlines the“Prohibitionofpreexistingconditionexclusionsorotherdiscriminationbasedonhealth status,”whicheffectivelyeliminatesasystemicmechanismofmedicalmarginalization.360 Both

358 Schweikart,ScottJ “HowtoApplytheFourteenthAmendmenttotheConstitutionandtheCivilRightsActto PromoteHealthEquityintheUS”JournalofEthics|AmericanMedicalAssociation,March1,2021 https://journalofethicsama-assnorg/article/how-apply-fourteenth-amendment-constitution-and-civil-rights-act-prom ote-health-equity-us/2021-03

359 NondiscriminationinHealthProgramsandActivities,89§(2024)

360 “42US Code§300gg–3-ProhibitionofPreexistingConditionExclusionsorOtherDiscriminationBasedon HealthStatus.”LegalInformationInstitute.AccessedNovember30,2024. https://wwwlawcornelledu/uscode/text/42/300gg-3#: :text=%C2%A7%20300gg%E2%80%933-,42%20US%20C

sectionsoftheACAexposetheconstitutionalvulnerabilitiesshownindefensivemedicine.The non-discriminatorylegalframeworkthattheACAsetsupchallengesmedicalpracticesthatmay disproportionatelyaffectspecificpatientpopulations.Duetothisframework,defensive medicine,whenpracticedwithoutrigorousscrutiny,hasthepotentialtoevolveintoamechanism ofinstitutionaldiscrimination.TheprovisionsintheACAregardingtheEqualProtectionClause arepowerfulbecausetheynotonlycondemnexplicitdiscriminationbutalsoencouragedoctors totakeonanuancedandindividualizedapproachtopatientcaretopromoteequity.When consideringthepracticeofdefensivemedicineusingthelensprovidedbytheACA,itappears thatdefensivemedicineisnotfundamentallyunconstitutional.Ifdefensivemedicineisgivenin thecontextofprovidingthepatientpropercarewithinagivensituation,suchasprescribing medicationinapreventativemanner,regardlessofitsimmediatenecessity,thereisnoclear constitutionalviolation.Theconstitutionalissueariseswhenadoctorpracticesdefensive medicineinadiscriminatorymanner,suchasrefusingtocareforapatientwithadisability merelybecauseheorshehasadisability.

WheninterviewingProfessorDouglasCantor,aninstructorofConstitutionalLawat RutgersUniversity,heechoedthissentimentbyprovidinganexampleofwhenitcanbe determinedthatthereisdiscriminatoryactiontakingplace.Intheexamplethatheprovided, “hypothetically,[thepatientsareboth]equal,andtheonlydifferencebetweenthetwoofthemis race…andthedoctorwindsup[practicingpositivedefensivemedicine]withthewhitepatient and[negativedefensivemedicine]withtheblackpatient.Whywasn’ttheblackpatientbeing giventhesamelevelofaccesstotestsandeverythingasthewhitepatientwas?”Inthiscase,if thereasoningisbasedonrace,theactiontakenbythedoctorisaclearFourteenthAmendment

“42US Code§300gg–3-ProhibitionofPreexistingConditionExclusionsorOtherDiscriminationBasedon HealthStatus.”LegalInformationInstitute.AccessedDecember21,2024 https://wwwlawcornelledu/uscode/text/42/300gg-3#

violationduetotheunequalaccesstohealthcareprovidedtothepatientsdespitethedelineation intheACAofitsunconstitutionality.Itisthereforeimportanttoseethatthegeneralpracticeof defensivemedicineitselfisnotconsideredaviolationoftheAmendment,butratherhowitis practiced.Therefore,theparameterfordefensivemedicinetobeconsideredunconstitutionalis whenitispracticedinmattersofdirectdiscriminationbasedonrace,sex,disability,oranother suchparameter.

vii. Positive Application of Defensive Medicine

Somemayarguethatdefensivemedicineinitsentiretyisunconstitutional.However, eliminatingtheentiremethodofclinicalreasoningresultsinanexpulsionofitspositive characteristics.Anexampleofasituationinwhichdefensivemedicineisconsideredtohavea positiveeffectisintheSupremeCourtcase Helling v. Carey,whichdelineatesaseriesof positivequalitiestojustifyusingdefensivemedicine.Theplaintiff,Carey,wasnottestedfor glaucomawhenshefirstdescribedhersymptomstotherespondent,Helling,in1959.Itwasnot until1968thatshewastestedforglaucoma,butshehadalreadylostherperipheralvisionand partofhercentralvision.Helling'sreasoningforthedelayinadministeringthetestwasthatthe patientwasyoungerthanfortyyearsold,theageatwhichoptometristswouldgenerallytestfor glaucoma.Whenthiscasewasbroughttothecourt,itwasfoundthat“thereasonablestandard thatshouldhavebeenfollowedundertheundisputedfactsofthiscasewasthetimelygivingof thissimple,harmlesspressuretesttothisplaintiffandthat,infailingtodoso,thedefendants werenegligent.”

361 Thecourt'srulinginthiscasemakesitclearthatwhendoctorspractice defensivemedicine,thereisnoclearviolationoftheConstitution.Thiscaseemphasizesthe importanceofanindividualizedapproachwithinthehealthcaresystemdelineatedbytheACA. Moreimportantly,itoutlinestheconstitutionalityofdefensivemedicinewhennodiscriminatory

361 Hellingv Carey,83Wn2d514,519P2d981(1974)

measuresarebeingtaken,andthepracticingphysiciancontinuestoupholdanequitable healthcaresystem.

Conclusion

Ananalysisoftheconstitutionalityofdefensivemedicinerevealsthecomplexities surroundingthelegalterrainwhereclinicalreasoning,patientrights,andsystemicprotections intersect.Healthcareprovidersmainlydrivedefensivemedicineoutoffearofmedical malpracticelawsuits.However,theFourteenthAmendment’sEqualProtectionClause, interpretedthroughvariouslandmarkSupremeCourtcasesandreinforcedthroughfederal legislationsuchastheAffordableCareAct,placesdefensivemedicineatheightenedscrutiny whenconsideringitsconstitutionality.Whenpracticingdefensivemedicine,physiciansmusttake anuancedapproachandrecognizethatitisnotonlyameansofmitigatingmalpracticesuitsbut alsohasthepotentialtodeviatetowardbringingforthsystemicinequity.Ultimately,defensive medicineisnotinherentlyanadversarialapproach.Still,healthcareworkersmustreimagineitas amodelthatprioritizesupholdinganequitablehealthcaresystemandpreservingthe constitutionalrightsofcitizens.

AMERICANBUSINESSADVERTISINGANDCONSUMERPROTECTIONINAFREE MARKETSOCIETY:ALEGALANDETHICALANALYSIS,ANDTHEBALANCING

OFINFLUENCEANDACCOUNTABILITY

WRITTENBYCHRISTOPHERGODOY|EDITEDBYJUIKHATAL

Introduction

MuchoftheeconomicanalysisconductedbyU.Seconomistsandindividualsinthe corporatesectorrevolvesaroundthefundamentaleconomictheoryoffreemarkets.Afree marketsocietyisamarket-orientedsystembywhichpricesandthesupplyofgoods,services,or corporationsrestheavilyonindividualconsumers,andourparticulardemands.Thisisoftendue toourabilityandfreedomtodeterminewhatweconsume,howweconsume,andhowweaccess ourconsumptioninahighlycompetitivemarket.Forexample,anindividualconsumermaybuy agallonofmilkfromtheirlocalgrocerystoreratherthananyotherplacethatsellsmilk,not necessarilybecauseofitsqualitybutbecauseofitsprice.Fromabusinessperspective,this challengesthemtocompeteagainstotherbusinessesinthefreemarketstoattractthemost consumers,oftenthroughofferingbetterqualityitemsataffordableprices.

Althoughourmarket-orientedsystemisbuiltonthepremisethatbetterqualityand affordablepricesofgoodsandservicescomefromcompetition,corporationsoftenutilize advertisementstocapturetheattentionandmoneyofeverydayconsumers.Thishighly competitivemarketsocietyhasslowlyexposedtheneedforstrongerregulatoryoversightof consumerprotectionlaws.

Despitethepublicperceptionofcorporations,theyareconstantlysearchingforabetter reputationandoftenstrivetodothatthroughcorporateadvertising.Corporateadvertisingcanbe

viewedasamechanismforcorporationstoestablishandmaintaintheiridentity.362 Thismakes corporateadvertisingmulti-faceted,asitoftenincludesboththeenhancementofsupportforthe goodsandservicesbeingofferedtothepublicandtheoverallinterestsofthecorporation.363

Giventheeconomictheoryofchoice,corporationsinvestheavilyinadvertisingeffortsto buildbrandloyalty,competeforlimitedconsumerspending,andshapethepreferencesand behaviorofconsumers.Theseeffortsareconsideredrationalfromabusinessperspective,asthey striveforapositivereputationand,asaresult,promoteprofitability.However,manipulating consumerbehaviorinaworldofasymmetricinformationhasoftenraisedethicalconcerns,as someofthetacticsusedbycorporationsmaybeconsideredpredatory,furthercallingforstricter regulations.

Fortunately,withintheUnitedStates,lawsprotectingconsumersfrompotentialpredatory behaviorshavebeenputinplaceforquitesometime.Evenbeforesignificantpiecesof legislationestablishedconsumerprotectionlaws,Commonlawpracticesoftenstrivedtoensure consumers'protection.AsAmericansocietychangedandinnovationsswarmedourcountryand economy,severalfactorscontributedtothedemandforformalconsumerprotectionlaws.

Advertisinghasalwaysplayedavitalroleinshapingtheperceptionsandbehaviorof everydayconsumersregardingpurchasingdecisions.Throughtheuseofpsychology,economics, andoverallstrategy,corporationshavedrivenmuchofthedemandfortheirproductsand servicesinawaythatoftendownplayspotentialdrawbacks,asillustratedthroughouthistory. Thispowertoinfluenceconsumers'behaviorhasraisedconcernsregardingaccountabilityfor potentialpredatorybehaviorandhassignificantlypushedformorerobustconsumerprotection

362 Schumann,DavidW,JanM Hathcote,andSusanWest “CorporateAdvertisinginAmerica:AReviewof PublishedStudiesonUse,Measurement,andEffectiveness” Journal of Advertising 20,no 3(1991):37

363 Schumann,DavidW.,JanM.Hathcote,andSusanWest.“CorporateAdvertisinginAmerica:AReviewof PublishedStudiesonUse,Measurement,andEffectiveness” Journal of Advertising 20,no 3(1991):37

measures.Thesemeasuresmustensurecorporationsremainaccountabletoconsumersand preventoftenslick,deceptive,orharmfulpractices,especiallytowardourvulnerable populations.Thetensionbetweencorporateadvertisingstrategiesandconsumerprotectionlaws hasfrequentlyhighlightedtheneedforannoyingoversighttobalancecorporateinterestwith publicwelfare.

CorporateAdvertising:Impactoneverydayconsumers

Overcenturies,asourAmericansocietyexperiencedsignificanttransformations,sodid thenatureofcorporateadvertising.Beforemajortechnologicalinnovations,meaningbeforethe adventofsocialmedia,television,andtheinternettoadvertisegoodsandservices,businesses wereoftenconfinedtoattractingconsumersthroughmoretraditionalmethods,suchaswordof mouthandprintedmaterials.Theemergenceoftechnologicaladvancesandtheirpurpose,like theradioandtelevision,revolutionizedadvertising,allowingconsumersbetteraccessto informationandgivingcorporationsanewandpowerfulavenuetoattractconsumers.This innovationandsignificantachievementsforourAmericansociety,especiallyduringthe IndustrialRevolution,broughtuncertainty,asregulatorymechanismsoftenlackedsignificantly withtheseemergencies,butalsopavedthewayforaneweraofadvertising.

Inthemodernday,mostU.S.adultsandconsumersprefertogettheirinformation digitally,withonly4%stillpreferringprintedpublications,364 withroughly294.1millionoutof 334millionindividualsbeingsocialmediausers.365 Inadditiontothis,throughthedifferent mediachannelsthatconsumersareoftensubscribedto,theyaremetwithanalarmingamountof advertisingalertseveryweek,especiallyinthethousands.366 Giventheincreasingnumberof

364 PewResearchCenter “NewsPlatformFactSheet” Pew Research Center’s Journalism & Media,2023 Accessed November6,2024

365 Statista “NumberofSocialNetworkUsersintheUnitedStatesfrom2018to2028” Statista,2024 Accessed November6,2024

366 Stafford&Pounders,“Thepowerofadvertisinginsociety:doesadvertisinghelporhinderconsumer well-being?”(InternationalJournalofAdvertising);488

mediachannelsbywhichconsumersgetinformation,businessesandcorporationshaveadapted theirmarketingstrategiesbasedontrendsandhowconsumersdemandtoreceivetheir informationorentertainment.

Giventherevolutionarynatureofadvertisingovertime,manyofthetheoreticalstrategies andpurposesremainthesamefromourtransitionfromprinttodigitalmedia.Inafree-market societywhereconsumerscanchoosetheirconsumption,corporationsconstantlyhunttoattract andmaintainnewandloyalconsumers.Thatishowtheyultimatelymakeprofits.Toachievethis effectively,corporations,specificallymarketers,oftenusepsychologicalmechanismstopersuade ormanipulateconsumers. i. Psychology of Advertising

Thepsychologybehindadvertisinghasoftenplayedasignificantroleinconsumer behavior,especiallyintheUnitedStates.Muchofthemarketingstrategiesthatcorporations curatearoundaproductorservicearetoinvokeemotionalappeals,asenseofdesire,and sometimesurgency,furtherpushingconsumerstomakedecisionsrelativelyquickly.According totheUniversityofSouthernCalifornia-Dornsife,individualsoftenrespondtoanythingthey findenjoyableandnoteworthy,whichusuallycausescorporationstotailortheirmarketingto influenceconsumerstobuyaproductorservice.367 Anexampleofthiscanbefoundwithinthe “YouDeserveaBreakToday”campaignthatMcDonald'slaunchedin1971,whichmarkeda significantshiftinhowthefranchiseengagedwithconsumers,allowingittobenowconsidered oneofthebestrestaurantchainsaroundtheworld.368 Insteadoffocusingmainlyonaffordability, whichthefranchiseistypicallyknownfor,theyalsoappealedtotheemotionsanddesiresof

367 USC “Thinkingvs Feeling:ThePsychologyofAdvertising” USC Online Master of Applied Psychology,April 23,2024 AccessedNovember6,2024 https://appliedpsychologydegreeuscedu/blog/thinking-vs-feeling-the-psychology-of-advertising

368 Mr.GauravBorse,Mrs.MeghaMBhoagwar,“MarketingStrategiesOfMcdonalds.InternationalJournalof ResearchPublicationandReviews,Vol5,no5,pp6847-6850May2024

hard-workingconsumers,especiallyincomfortandself-care.Throughitstelevision advertisements,thiscampaignledtopublicperceptionofthefranchiseasaplacewhere hard-workingpeoplecould“takeabreak”fromtheirbusylivesandtreatthemselvestowhatthe franchisehadtooffer

WiththisparticularMcDonaldscampaignbeingagreatdriverofhighsalesandrevenue fromabusinessperspective,theactualeffectsofthiscampaignarealarming.In1971,aroundthe startofthiscampaign,roughly12%oftheAmericanpopulationwaslivinginpoverty.369 Consideringthatthesetypesoffastfoodrestaurantswereoftenfoundinlow-incomeand minorityareas,370 SomecouldarguethatMcDonald’sleveragedtheemotionaltriggersfrom consumerstofurtherinfluencethem,generatingprofitsfromusuallyhardworkingandvulnerable populationstoinfluenceconsumerbehavior.Thatsaid,thisdoesnotquiteconsiderthe significanthealthconcernsthefranchisehasdealtwithovertimeforitscontributiontoobesity. Evenworse,since1971,andgiventheriseoftheinternet,McDonald'shasenhancedits advertisingeffortstomakethefranchiseevenmoreappealingwhilemakinghugeprofits.This hasraisedsignificantethicalconcerns,sparkingthisdebateonwhethersuchtacticsand exploitationofemotions,especiallywithinthereachofvulnerableandminoritypopulations, shouldbeallowedunderthelaw.Assuchcorporationsbecomeevenmoresophisticated,given currentregulations,theneedforrobustconsumerprotectionlawsthataddresspsychological manipulationhasbecomeincreasinglyapparentasthesetacticsexpandthroughdigitalplatforms. ConsumerProtection:TheEvolutionofConsumerProtectionLawsinResponseto CorporateDeception

369 CharacteristicsoftheLow-IncomePopulation:1971(AdvancedatafromMarch1972CurrentPopulation Survey) USCensusBureau(1972)

370 Fleischhacker,S.E,K.REvenson,D.ARodriguez,andA.SAmmerman.2011.“SystematicReviewofFastFood AccessStudies” Obesity Reviews 12(5):e469

Asthetacticsusedbycorporationstoattractconcernsandincreaseprofitshavebeenat theforefrontofmajorethicalconcernsanddebates,itwouldserveasabenefittolookintothe lawsthatpertaintotheprotectionofconsumers.Thefoundationsofconsumerprotectionlawsin theUnitedStateshavebeengroundedinfederalregulationsandlegislativeactionsthathave aimedtopreventorreducedeceptiveorpredatorybehavior,butwereconsumersalways protected?Theconceptofconsumerprotectionlawsbegantotakeshapeinthe19thcentury, evolvingasaresponsetotheincreasingcomplexitiesofemergingeconomicmarkets.Courts oftenreliedoncommonlawprinciples,suchasfraudandbreachofcontract,tocombatthe prevalentdeceptivepracticesatthetime.However,theseprotectionswereoftenlimited,leading toagrowingdemandforchange.

Anotableexamplecanbedemonstratedinthemedicineindustry,asmanycompanies, takingadvantageofnewlyfoundedmedicalinnovationandrevolutioninthe19thcentury, marketedproductstothegeneralpublicthatoftencontainedharmful,usuallydeadlysubstances. Asaresultofthelackofregulatorypressuresinthe19thcentury,consumersfoundthemselves misledbycompanieswhowouldensurethemthesafetyandcuretheysought.Unfortunately, severalindustrieswithintheUnitedStatesandworldwideduringthistimecouldalsoapplythis approach.AstheIndustrialRevolutionsweptthroughtheUnitedStates,marketsandthe productionofgoodscontinuedtoexpand,necessitatingamorecomprehensiveapproachto consumerprotection.

Overtime,asinnovativeproductsfurtherdeveloped,safetyconcernsbecameprevalent, especiallyinthefoodandmedicineindustry.Itwasnotuntil1906thatAmericansstartedtosee someofthefirstconsumerprotectionlawsthroughthePureFoodandDrugActof1906,which notonlyestablishedregulationsregardingthesaleofadulteratedandmisbrandedfoodsand

drugsbutalsoledtothecreationoftheFoodandDrugAdministration(FDA),whichstillexists today.TheenactmentoftheFederalTradeCommissionActof1914establishedtheFederal TradeCommission(FTC),whichprovidesregulationtoindustries,furtherexpandingconsumer protectionsagainstunfaircompetitionanddeceptivebusinesspracticesintheoverallmarket society.

TheestablishmentoftheFDAandtheFTCformallyestablishedconsumerprotection beyondcommonlawprinciplesintheUnitedStates.Consumerpurchasesandspending skyrocketedasthecountryenteredintotimesofwar,suchasWorldWarIandWorldWarII. Withthisincreaseinconsumerdemandacrossmultiplesectors,suchasmanufacturing,food production,andpharmaceuticals,andasbusinessessoughttoexpandthenumberofsharesthey acquirethroughthecapitalandcompetitivemarkets,aggressivetacticstowardconsumers becameprevalent.Thesetacticsincludedmisleadingadvertising,falseclaims,andother deceptivepractices,raisingconcernsovertheirinfluenceonconsumerbehaviorandultimate decision-making.Asmarketsgrewincreasinglycomplexandconsumerprotectionexpanded further,corporateadvertising’srolewithinourfreemarketsociety,whereconsumersareoften persuadedbythe“pitch”ofadvertisement,hasbecomeakeyfocusofanalysisformany economists.

CurrentChallengesandLimitationsinConsumerProtectionRegulations

Sincethe19thcentury,theUnitedStateslegalsystemhasmadesignificantprogress towardprotectingconsumersfromdeceptiveandpredatoryadvertisingfrombusinessesand corporations,notablythroughtheFederalTradeCommission(FTC).Withthissignificancein mind,numerouschallengeshaveemergedoverrecentdecades,especiallywiththeevolutionary natureoftechnology.Forexample,sinceeveryaspectofthelivesofeverydayconsumershas

beenimpactedbythesignificantgrowthofdigitaltechnologyoverrecentdecades,371 itwouldbe alarmingtooverlooktheimpactoftechnologyoncorporateadvertisingand,ultimately,everyday consumers.

Overthepastcoupleofdecades,oneareaofsignificantconcernregardingthetruenature ofadvertisinginatechnologicalspacehasbeendataprivacyandwhetherconsumersaresafe fromhavingtheirdatausedunwillinglyforprofit.Businessesandcorporationsmustmakea profit;thatistheonlywaytosurviveinthishighlycompetitiveenvironment.Toensuretheir survival,theyconstantlystrategizewaystomaximizetheirperformanceinmarketingusingthe informationtheycollectfromconsumers,whichoftenconveystheirspecificneeds.372 Social mediaplatformssuchasInstagram,Facebook,andXhaveprovidedthesecorporationswitha platformtogathernecessaryinformationontheneedsofconsumerstobettertailortheir information,tactics,andultimatepersuasionoverconsumers.Themoreamessagecan“generate afeelingofrelevance,”themoreit“consequentlyyieldsfavorableeffectsinattitudeand behavior.”373 Thishasbecomequitealarmingforconsumers,asithasbecome“easilypossibleto takeauserdatafootprintandassembledetailedprofilesbaseduponphysicalmovements,social mediacommunication,deviceusage,andotherdatacollection.”374 Withtheseconcerns,ithas becomereasonabletoquestionhowsafeconsumersarewiththeirdata,asit“mayfallintothe handsofunethicalindividualsandorganizations.”375 AlthoughthelegalsystemintheUnited Stateshastakenproactivestepstokeepupwiththeevolutionoftechnology,“Lawmakersand

371 Duffett,RodneyGraeme.2017.“InfluenceofSocialMediaMarketingCommunicationsonYoungConsumers’ Attitudes”YoungConsumers18(1):19

372 Vikatos,Pantelis,ProkopiosGryllos,andChristosMakris "MarketingCampaignTargetingusingBridge ExtractioninMultiplexSocialNetwork." The Artificial Intelligence Review 53,no.1(01,2020):703

373 YoonG,LiC,ChoiJJ Insearchoftimetobringthemessageonsocialmedia:Effectsoftemporaltargetingand weatherondigitalconsumers.FrontPsychol.2022Nov16;01

374 Lipschultz,JeremyHarris 2024 Social Media Communication : Concepts, Practices, Data, Law and Ethics Fourthedition NewYork:Routledgep237-257

375 Lipschultz,JeremyHarris.2024. Social Media Communication : Concepts, Practices, Data, Law and Ethics. Fourthedition NewYork:Routledgep237-257

regulatorsmaybefightingalosingbattleagainsttechnologythatcollectsandusesourmost privatedata”376 .

Conclusion

SincetheIndustrialRevolutionanditsrapidexpansion,theUnitedStateshasexperienced increasedcomplexitywithintheeconomicsystemasnewindustrieshaveemerged.Combined withtheeconomictheoryoffreemarketsandthecompetitivenatureofcorporationstoattract consumers’attention,concernsstartedtoariseregardinghowconsumerswouldbeprotected fromthepredatorybehaviorofcorporations.Astheseconcernspersisted,thefederalgovernment tookpracticalactionstoprotecttheconsumersbetter.Despiteitssignificance,thedigitalagehas introducedoursocietytosignificanthurdles,includingtheinfluenceofcorporationsand algorithm-drivenmarkets.Dataprivacyconcernshaveunsettledconsumersoverthepastcouple ofdecades.Thefutureofconsumerprotection,asitpertainstocorporateadvertising,remains adequatebutunclear.Withthefurtherdevelopmentoftechnologyanddigitalmedia,andwith claimsmadebyresearchersonthe“losingbattle”lawmakershavetokeepupwiththe evolutionarynatureoftechnology,theneedforcomprehensiveprotectionshasneverbeen greater,especiallywiththelevelofinfluenceithasonthemostvulnerablepopulation,like childrenandpeopleofcolor.Byaddressingtheissuesfurtherthroughmorethoughtfulresearch andstricterregulations,astheyexistinotherfieldsofstudy,researchersandlawmakerscan createorbuilduponasystemwheretrustandfairnessarefosteredwithinourfreemarketsociety andinformationiswidelyaccessibleregardingdata.

376Lipschultz,JeremyHarris.2024. Social Media Communication : Concepts, Practices, Data, Law and Ethics. Fourthedition NewYork:Routledge p259-299

Introduction

CYBERWARFAREANDLEGALFRAMEWORK

WRITTENBYSAMAHALWASEEM|EDITEDBYDEVPATEL

Overthepastseveralyears,cyberwarfarehasgrownintoanincreasinglycomplexand nuancedareathatimpactstheinternationalcommunity.Thethreatofcyberwarfarecontinuesto grow,butacomprehensiveglobalresponsethateffectivelyhandlesitsimpactsremainstobe seen.Cyberwarfareisdefinedastheactionsbyanation-stateorinternationalorganizationthat attacksandaimstodamagetheothernation'scomputersorinformationnetworksthroughmeans ofcomputerviruses,denial-of-serviceattacks,andmore.377 Cyberwarfareandrelatedattacks aimtodisrupt,damage,orgainunauthorizedaccesstoanotherstate'scriticalinfrastructureand confidentialinformation.Ascyberattacksbecomemoreadvanced,countriesacrosstheglobe havebecomemoreconcernedwiththeriskstheyposetonationalsecurityandthecountry’s stabilityasawhole.MemberstatesoftheInternationalTelecommunicationsUnionhavealso expressedinterestinfurtherregulatingcyberwarfaretomitigatetheimpactthattheeffectsof thistypeofattackshaveoneconomicstabilityandpublicsafety.378 WhileInformationand CommunicationTechnologies(ICTs)havehadsignificantbenefits,thenegativeusesofthese technologiesthroughcyberattacks,cybercrime,andmorehavethepotentialtoimpactanation significantly.Furthermore,duetothefar-reachingscopeofICTS,theyhavethepotentialto affectnotonlynationalsystemsbutalsoindividuals,businesses,societies,andarangeofother communities.ItisbecomingincreasinglyevidentthatICTshavethepotentialtoundermine variousdevelopmentgoalsandmultiplelevelsofgovernment,aswellaseffortstowardsglobal stabilityandworldpeace.

377“CyberWarfare.”RAND.https://www.rand.org/topics/cyber-warfare.html.

378“ITUandtheUNAgenda:PeaceandSecurity”ITU https://wwwituint/en/un/Pages/un-agenda4aspx

OutsideoftheimpactofICTsonnations,thepossibilityofsurveillancetechnologyand datacollection,primarilythroughICTs,cannegativelyimpactindividualsinmultipleways.With surveillanceofindividuals'onlineactivitybecomingincreasinglycommon,theinformation collectedcanseverelyundermineanindividual’srighttoprivacy.Itcanalsobeusedtocause harmtothosewithmaliciousintent.Theuseofintrusivehackingtools,includingspyware,has grownincreasinglycommon,bothbystateactorsaswellasnon-stateactors,highlightingthe far-reachingscopethatsurveillancetechnologyhas.379 Topreventthesechallengespresentedby cyberwarfare,theinternationalcommunityneedstodevelopacohesiveandenforceable frameworkthatreflectstheimportanceofpreservingthesovereigntyofvariousnationswhile alsoensuringthecollectivesecurityofallinvolvedactors.380 Outsideoftheseconcerns,thevast scopeofthesenewtechnologicaladvancementsandtoolshasraisedconcernamongthe internationalcommunityabouthumanrightsviolationsandprotectingindividualsfromvarious invasivetechnologieswhoseimpactsremainuncertain.Furthermore,withoutclearinternational regulationssetfortheboundariesofcyberwarfare,stateactorscanengageinactivitieswithout significantrepercussions.

Lack of International Legal Framework

Thecurrentframeworkofinternationalnormsandlawsaroundcyberwarfareandthelack ofacomprehensiveguidefurtherexacerbatethechallengesposedbycyberwarfare.Thishas resultedinambiguityaboutwhatqualifiesasanactofwarorwhatisaviolationofinternational law.Thisabsenceofclearrulescreatesuncertaintyabouthownationsshouldrespondto cyberattacksandunderwhatconditions.Basedoncurrentinternationalhumanitarianlaw,

379“SpywareandSurveillance:ThreatstoPrivacyandHumanRightsGrowing,UNReportWarns|Ohchr”UNHRC, September16,2022

https://wwwohchrorg/en/press-releases/2022/09/spyware-and-surveillance-threats-privacy-and-human-rights-growi ng-un-report

380 Hofmann,StephanieC.,andPatrykPawlak.“GoverningCyberspace:PolicyBoundaryPoliticsacross Organizations”ReviewofInternationalPoliticalEconomy 2023doi:101080/0969229020232249002

situationsthatareconsideredarmedconflictqualifyasrequiringcompliancewithrelevant applicablelaws.However,duetotheuseofobsoletedefinitionsforwhatisregardedasanarmed conflictorwhatisn’t,acriticalgrayareaneedstobeconsidered.Manycyberattacksareoftennot recognizedassevereenoughtotriggerinternationalhumanitarianlaw,allowingthemtobypass traditionalframeworkseventhoughtheymayimpactacountry’soperations.Duetothese loopholes,cyberattacksmustbeincorporatedintothelawofarmedconflictmoreexplicitlyso thatconflictisasregulatedaspossible.Whilecyberattacksmaynothavethetraditionalimpact thatdirectarmedconflictmayhave,theseattacksstillhaveasignificanteffectonciviliansand requirethesamelevelofregulation.381

WhiledocumentsliketheTallinnManualhavesoughttoprovidealegalframeworkfor cyberwarfareandprovideanonbindingsetofrulesthatwouldapplytocyberwarfareand regulatethespaceitinhabits,therearestillsignificantchallengesthathavenotbeenaddressed.382 Whilethemanualwascomprehensive,itsunenforceabilitymadeitsapplicabilityincyber warfarechallengingtoexecute.Thismakesevidentthatcyberspacerequiresmoredynamiclaws thataddressthecomplexitiesofcyberwarfareandtheever-changingnatureoftheindustryand outlinehowtomoveforwardinthisnewtechnologicalspace.383

Sovereignty and Jurisdiction Issues

Thedynamicnatureofcyberwarfarealsopresentssignificantissueswithinthecontextof confusionregardingsovereigntyandjurisdiction.Manynationsseecyberspaceasanextension oftheirsovereignterritory.Still,theglobalnatureofcyberspacemakesitdifficulttodelegate oversightoftheinternettoonespecificnationorgroup.Thediscourseoverhowacountry

381“RegulatingCyberWarfare:WhyInternationalLawMightNeedaRefresh,”April12,2021

382Fann,Sharona Legalchallengesintherealmofcyberwarfare,March2020 https://wwwnyujilporg/wp-content/uploads/2020/03/Mann-Note Final-Draft EIC-Approvedpdf

383Hollis,DuncanB AbriefprimeronInternationalLawandCyberspace-CarnegieEndowmentforinternational peace,June14,2021.

https://carnegieendowmentorg/2021/06/14/brief-primer-on-international-law-and-cyberspace-pub-84763

shouldregulatecyberspaceandrelevantinfrastructurecomparedtotheglobalgovernanceof cyberspacehasresultedinseveredisagreementbetweendifferentindividualsandgroups. Applyingapplicableinternationallawhasraisedquestionsaboutaccountabilityandjurisdiction, anareathatrequiresfurtherdeliberationwithinthedefinitionofsovereignty.Thereisnospecific guidanceoncyberspace.Withnocleardirectionforhandlingthesecyberspace-relatedissues, manystatesarepushingfortheirperspectivesoninternationallaw’sapplicationtocyberspace. Duetothese“existential”disagreements,competingclaimshavebeenproducedthatarguethe legitimacyoflegalruleorregimeandifitisentirelyincludedorexcludedfromcyberspace.

384 Thesedisagreementshavecausedconsistentconfusion,resultinginmanycyberattacksbeing handledinefficiently

Furthermore,duetothedifficultypresentedbycyberattackswithnoclearresponsibleparty,it canbedifficultfornation-statesorinternationalgroupstoregulatespecificactions. These competingbeliefsonjurisdictionalsomakeprosecutionofcyberwarfareandcybercrimes difficultasthisactivityistransnational.385 Datatransmissionsmovethroughdifferentcountries rapidly,makingitchallengingtounderstandwhichcountrieshaveimmediatejurisdictionand whichdonot.

Conclusion

Therapidlychanginglandscapeofcyberwarfarepresentssignificantchallengestoglobal security,governance,diplomacy,andindividuallibertiesworldwide.Withdevelopmentsin cyberspaceandrelatedtechnologyadvances,thecomplexityofcyberthreatscontinuestogrow, providingmoreopportunitiesforvariousavenuesofactivity.Overthepasttwodecades,itis clearthatcyberwarfareandothercyberattacks,rangingfromStuxnettoAIinrecentconflicts,are

384Hollis,DuncanB AbriefprimeronInternationalLawandCyberspace-CarnegieEndowmentforinternational peace,June14,2021.

385Fann,Sharona Legalchallengesintherealmofcyberwarfare,March2020

acriticalpartofhownation-statesandotheractorswillinteractwithoneanother.Theissueof cyberwarfareisonethatnotonlynationshaveavestedinterestin,butalsogroupsfromthe privatesector,criminalgroups,civilrightsorganizations,andmore.Withtheissueof cybersecurity,nationalsecurity,surveillance,andmorebecomingincreasinglynuancedandmore controversialasvariousnationsdevelopdifferingperspectivesonhowtohandlecyberspace,it's becomingclearthatcomprehensiveactionisrequiredurgently.Withthechallengeofsovereignty issues,thedifficultyofattributingcyberattacks,thelackofexplicitinternationalnorms,andthe asymmetricnatureofcybercapabilities,navigatingcyberwarfareandcyberspacewillcontinueto growmorecomplicated.

Inaddressingthechallengesofcyberwarfare,policymakersmustreflectonthebalance betweentheneedforsecurityandtheprotectionofcivillibertiesandrights.Furthermore, cyberspaceisbecomingmoreandmoreaccessibletogroupsofallscopes.Itiscriticaltoaddress thechangingnatureofthesetechnologiesandensurethatnation-statesrecognizevulnerabilities intheirinformationsystems.Astheimpactofcyberwarfaregrowsmorepronounced,the internationalcommunitymustcooperatetocreatenormsofcyberwarfareandpreventescalation ofconflictwherepossible.Ultimately,acomprehensiveapproachthatinvolvespreciseand nuancedcybersecuritypracticesandstandards,internationallegalframeworksforapplication, anddynamicandadaptivestrategiestoprepareforthesenewdevelopmentswillbecrucialin navigatingthethreatofthisnewwarfarespace.

EDUCATIONASACONSTITUTIONALRIGHT:ASTUDYOFSUPREMECOURT

CASESANDITSEFFECTSONEDUCATION

WRITTENBYGURMEHARKAUR|EDITEDBYDEVPATEL

Introduction

Educationisafundamentalhumanrightthatencouragesindividualstoparticipatein society,promotesocialwell-being,andensureeconomicandsustainabledevelopmentinthe UnitedStates.Itisapowerfulelementintransformingthelivesofmanyacrosstheglobe. However,theConstitutiondoesnotcategorizeeducationasthefederalgovernment'sduty.Dueto this,thestatesreservetherighttoeducationandprovidethenecessaryeducationtoall.This separationofpowersbetweenthefederalandstategovernmentsshowshowthefederal governmentdoesnotprotecttherighttoeducationandhowthispowerisonlyreservedtothe states.Forseveralyears,therehasbeenalackoffederalassistanceregardingeducation; however,theindividualswhoformedourConstitutionbelievethateducationanddemocracy dependoneachother.Knownas“TheFatheroftheConstitution,”JamesMadisonwrote,“...a peoplewhomeantobetheirgovernorsmustarmthemselveswiththepowerwhichknowledge gives.Theadvancementanddiffusionofknowledgeistheonlyguardianoftrueliberty….”386 Madison’sviewsunderscorethebeliefthataninformedcitizenryisthefoundationofa functioningdemocracy.Educationisnotmerelyapersonalbenefitbutasocietalnecessitythat ensurescollectivegovernance,theprotectionoffreedoms,andtheaccountabilityofleaders. Moreover,Jeffersonwrote,“Educateandinformthewholemassofthepeople…Theyarethe onlysurerelianceforpreservingourliberty.”387 ThisreflectsJefferson’sbeliefinuniversal

386 JamesMadison, Letters and Other Writings of James Madison,vol 3(Philadelphia:JB Lippincott&Co,1865), 276

387 ThomasJefferson, Notes on the State of Virginia,ed WilliamPeden(ChapelHill:UniversityofNorthCarolina Press,1955),84

educationasthebedrockofastabledemocracy.Byeducatingthepublic,anationequipsits citizenstothinkcriticallyandparticipateingovernment.Aneducatedpopulacebecomesthe ultimateguardianoffreedom.Substantialdisparitiesinsocialwealthandclassdetermineone’s educationanddisadvantageanequaleducationforall.Whilethestateandlocalgovernments determineeducationpolicy,thispaperwillencompassananalysisofcasessuchas San Antonio Independent School District vs. Rodriguez and Plyler vs. Doe, Gary B.Itwillalsoshowcasethat thefederalgovernmentshouldprotecteducationasaconstitutionalrightforall,basedon precedencesetinthesecases.

ImportanceofEqualEducation

Equaleducationreducessocietalinequities,economicmobility,anddemocratic participation.Glaringdisparitiescontinuebetweenstates,districts,andsocioeconomicgroups, denyingmillionsofstudentsthequalityeducationthatwouldpreparethemtoreachtheirfull potential.AccordingtotheNCES,spendingperstudentinNewYorkaveragesmorethan $25,000yearly,hoveringatunder$10,000inIdahoandUtah.388 Thisrepresentsadramatically differenteducationthatrangesfromtheavailabilityofhigher-levelclassestoevenphysical facilities.Equaleducationismorethanamoralimperative-itisarequirementforacompetitive economyandfunctioningdemocracy.Unfairpoliciesandalackofrigorousfederaloversight haveyettorealizetheseideals.

Statepoliciesoneducationalsocontributesignificantlytoinequities.Forexample,states suchasMassachusettsandNewJerseyhaveformulasthatprovidesubstantialfundingfor low-incomedistrictsthroughprogressivetaxsystemsandtargetedaid.389 Otherstates,like

388 NationalCenterforEducationStatistics,“PublicSchoolExpenditures,”accessedDecember4,2024, https://ncesedgov/programs/coe/indicator cmbasp

389 EducationLawCenter,“MakingtheGrade2022,”accessedDecember4,2024, https://edlawcenterorg/research/making-the-grade/

AlabamaandArizona,relymoreheavilyonlocalpropertytaxes.Thisperpetuatesinequality sincewealthierdistrictscanraisemoremoneyfortheirschools.Further,intermsofpolicieson theexpansionofcharterschools,certificationrequirementsforteachers,andprioritieson standardizedtesting,therearevastdifferencesamongstatesthathaveabearingonthesameness ofthequalityofeducation.WhilestudentsinTexasurbanschooldistrictsfacecrowded classroomsandshortagesofteachers,suburbanschoolshavefewerchildrenassignedtoeach teacher,alongwithaccesstomoreresources.390 PolicieslikeMichigan'sfundingstructure,which hasseencutsininflation-adjustedper-studentfundingby22%since2008,exemplifythe systematicneglectfurtheringthegulfbetweentherichandpoordistricts.391

Althougheducationisoneofthekeystonationaldevelopment,ithasremaineda second-tierpriorityofthefederalgovernment.Thefederalshareinfinancingpublicschoolsis onlyabout8%,withthelion'ssharefallingonstatesandlocalities.392 ProgramslikeTitleI, designedtoboostlow-incomeschools,areoftenunderfundedandfailtoclosegapsin meaningfulways.Equallytroubling,federalinitiatives,suchasESSA,provideagreatdealof latitudetothestatesconcerningestablishingacademicstandards,systemsofaccountability,and waysofassessingtheperformanceofteachers,effectivelycreatingaquiltofvariegatedpolicies ratherthancoherentnationalpolicy 393 Thiscanproducegrowthindisparitiesunhampered, whichultimatelyaffectsallstudents,includingstudentsofcolor,thoseattendingschoolsinrural areas,andstudentslivingwithdisabilities.TheUnitedStatesisspendinglessofitsGross

390 TexasEducationAgency,“Snapshot:SchoolDistrictProfiles,”accessedDecember4,2024,https://tea.texas.gov/.

391 EducationTrust,“FundingGaps2022,”accessedDecember4,2024, https://edtrustorg/resource/funding-gaps-2022/

392 US DepartmentofEducation,“FederalRoleinEducation,”accessedDecember4,2024, https://www2edgov/about/overview/fed/rolehtml

393 U.S.DepartmentofEducation,“EveryStudentSucceedsAct(ESSA),”accessedDecember4,2024, https://wwwedgov/essa

DomesticProductoneducationcomparedwithmanydevelopednations.394 Thisagaindepictsa lackofprioritization,underminingthenation'slong-termeconomicandsocialstability.These inequitiesstillneedtobeaddressedsystematically,whichreflectstheabsenceofaunified commitmenttorightingthisasafundamentalright,thussettingmillionsofchildrenbehindthe eightballevenbeforetheysetfootintheclassroom.

AntonioIndependentSchoolDistrictvs.Rodriguez i. Background

The San Antonio Independent School District v. Rodriguez casebeganinTexasinthelate 1960s,whensignificantdifferencesinpublicschoolfundingstartedtobequestioned.Thisstate baseditsfinancingofschoolsonlocalpropertytaxes.Inpractice,thismeantenormous disparitiesbetweenwealthyandpoorschooldistricts.Affluentareaswithhigherpropertyvalues couldraisemuchmoremoneyfortheirschoolsthanpoorerareas.Per-pupilfundingwithinthe EdgewoodIndependentSchoolDistrict,thelocaldistrictwhereDemetrioRodriguez'schildren went,wasafractioncomparedtoitswealthyneighbor,AlamoHeights.Themoresignificant portionofthemoneythatfollowedthesestudentstoschoolstranslatestolesserfunds,which translatestofewerresources,increasedsizes,underpaidteachers,andinadequatefacilitiesin otherstudents'poorerdistricts.Withinequitiesthatarethusentrenched,frustratedparentsfrom Edgewoodwantedtochallengeanarrangementtheysawasunfair.

Theplaintiffs,throughRodriguez,insistedthatthisfundingsystemdeniedtheirchildren equaleducationalopportunitiesinlinewiththeirsocioeconomicstatusandcommunitywealth. Theyfurthersaidthateducationwasquintessentialtoexercisingotherconstitutionalrightsand

394 OrganizationforEconomicCo-operationandDevelopment(OECD),“EducationataGlance2022,”accessed December4,2024,https://www.oecd.org/.

San

thatsuchdisparitiesinfundingperpetuatecyclesofpovertyandlimitsocialmobility.Itbecamea caseofnationalnotorietybecauseitclearlyshowedhowentrenchedfundinginequitywasin publiceducationwithinTexasandnationally.Eventually,thesuitcametoquestionwhatthe governmenthadanobligationforregardingschoolaccessequity,whichultimatelycametorest onmoresignificantissuesrelatingtoraceandclass,atleastlargequestionsrelatedtothe resourcesassociatedwithAmericanschooling.

ii. Rulings of the Case

In1973,theU.S.SupremeCourtruled5-4againsttheplaintiffsinthe San Antonio Independent School District v. Rodriguez case.TheCourtdecidedthateducationwasnota fundamentalrightprotectedexplicitlyundertheConstitutionandthatTexas'sunequalsystemof fundingschoolsdidnotviolatetheFourteenthAmendment'sEqualProtectionClause.Writing forthemajority,JusticeLewisPowellheldthattheConstitutiondidnotrequireequaleducation fundingbythestatesandthatnotalldiscriminatoryallocationsbasedonpropertytaxrevenues areunconstitutionalperse.JusticePowellheldthatthepoverty-baseddisparitiesinthecasedid notmeetthestrictstandardsfordiscriminationagainstasuspectclasssincepovertywasnota suspectclassificationunderconstitutionaljurisprudence.Thisdecisioneffectivelyvalidated states'discretioninschoolfundingpolicies,leavingeducationalinequitieslargelyunaddressedat thefederallevel.

ThisdecisionhadenormousramificationsforeducationalequityintheUnitedStates.In refusingtorecognizeeducationasafundamentalright,theCourtwouldleaveinequitiesin schoolfundinguncheckedandreturnresponsibilitytoredressthemtothestates.Thisdecision entrenchesasysteminwhichschoolqualityisdeterminedbythewealthoflocalproperty,

solidifyingcyclesofinequalityforlow-incomecommunitiesandcommunitiesofcolor.Inthe decadessincethisdecision,stateshavetriedtoaddressandreformschoolfundinginequities; however,significantdifferencespersist.Forinstance,onaverage,low-incomeschooldistrictsget $1,000lessperpupilthanwealthydistricts,accordingtoanEducationTrustreport,395 which leadsbacktosignificantdisparitiesinacademicaccomplishmentandeconomicopportunity.396 TheRodriguezdecisioneffectivelycalledahalttofederalinterventionthatwouldhave guaranteedatleastaminimumlevelofeducationalquality,puttingmillionsofstudentsata disadvantage.

ThedecisioninRodriguezbroughtsharplytotheforethefactthatstrongfederal protectionsareindeedoverdue,anecessarysteptoprovideequalityineducation.Educationis fundamentaltoexercisingconstitutionalrightsoffreeexpression,voting,andparticipatingin civiclife.Itwouldmeanthatthesystemwill,withoutfederallawcompellingotherwise,continue toinfringetheserightsinvariousways.397 Ifthefederalgovernmentrecognizededucationasa constitutionalright,itwouldsetstandardsacrossthecountryonfundingdisparity,equalityof resourceaccessibility,andthecivilrightsofallstudents.Thiswouldmeanprioritizingeducation inthenationlininguppolicywiththerealitythataninformed,educatedpopulacemakes democracyfunction.Itisthefailureofthefederalgovernmenttoactthatperpetuatesthis

395 EducationTrust,“FundingGaps2022,”accessedDecember4,2024, https://edtrustorg/resource/funding-gaps-2022/

396 NationalCenterforEducationStatistics,“PublicSchoolExpenditures,”accessedDecember4,2024, https://ncesedgov/programs/coe/indicator cmbasp

397 US DepartmentofEducation,“FederalRoleinEducation,”accessedDecember4,2024, https://www2edgov/about/overview/fed/rolehtml

inequalityunderminessocialcohesion,andsapsthetruepotentialofmillionsofchildren, threateningthecountry'sfutureeconomicandsocialstability.398

Plylervs.Doe

iii. Background

Plyler v. Doe wasfiledin1975aftertheTexaslegislatureenactedalawallowinglocal schooldistrictstodenyenrollmenttoundocumentedalienchildrenor,attheiroption,withhold statefundsfortheeducationofsuchchildren.Thedecisiontoexcludeundocumentedchildren wasjustifiedbythestateasameanstopreserveresourcesforlawfulresidentsandtodeterillegal immigration.However,thispolicydrewcriticismforitsdiscriminatoryimpactonvulnerable children,manyofwhomhadnocontrolovertheirimmigrationstatus.InTyler,Texas,several undocumentedMexicanfamilieschallengedthepolicyonthegroundthatitviolatedtheEqual ProtectionClauseoftheFourteenthAmendment,whichguaranteesthatallpersonswithinthe UnitedStatesbetreatedequallyunderthelaw.

Thecasewasfiledonbehalfofagroupofundocumentedchildren,withJamesPlyler, superintendentoftheTylerIndependentSchoolDistrict,asadefendant.Theplaintiffscontended thatwhatTexaswasdoingamountedtopunishingchildrenforconditionsbeyondtheircontrol anddenyingthemtheopportunitytogetaneducation,thefundamentalsofwhicharesoessential forbreakingthecyclesofpovertyandmarginalization.399 Theyfurtherclarifiedthateducation preparesindividualstoparticipateinspiringlyintheaffairsoftheeconomicandsocial

398 OrganizationforEconomicCo-operationandDevelopment(OECD),“EducationataGlance2022,”accessed December4,2024,https://wwwoecdorg/

399 MichaelA Olivas, No Undocumented Child Left Behind: Plyler v Doe and the Education of Undocumented Schoolchildren (NewYork:NYUPress,2012),17

environment.Ultimately,thatcasereachedtheU.S.SupremeCourt,fromwhichcamethe landmarkdecreeonwhethereducationisentitledtoaconstitutionalrightandtowhatextent statesshouldwithholdpublicbenefitsfromundocumentedimmigrants.Thecasebrought widespreadattentiontoacomplexfusionofimmigrationpolicy,educationaccess,and constitutionalrights.

iv. Rulings of the Case

In1982,theUSSupremeCourtdecidedinthecaseof Plyler v. Doe,byamarginof5to 4,thattheTexasstatutethatdeniedaccesstopubliceducationforundocumentedchildren violatedtheEqualProtectionClauseoftheFourteenthAmendment.TheCourtexplainedthatthe state'sargumentregardingconservingresourcesanddeterringasingleclassofmigratingaliens wasinsufficienttodenypubliceducationtoschool-agedchildren.Writingforthemajority, JusticeWilliamBrennanstressedthatundocumentedchildrenwere"persons"underthe FourteenthAmendmentand,assuch,entitledtoitsprotections.TheCourtrecognizedtheunique harmcausedbydenyingchildrenaneducation,notingthatit"imposesalifetimehardshipona discreteclassofchildrennotaccountablefortheirdisablingstatus"andthattheinabilityto obtainevenabasiceducationwouldpermanentlylimittheireconomicandsocialcontributionsto society

ThePlylerdecisionhasprofoundimplicationsfortheroleofeducationinmaintaining constitutionalprinciplesofequalityandjustice.Inconfirmingtheneedforeducationinthe individualaswellassocietaldevelopmentprocesses,therulingshowsclearlyhowaccessto educationfurthersbroaderdemocraticparticipationalongwitheconomicmobility.400 Although

400 MichaelA Olivas, No Undocumented Child Left Behind: Plyler v Doe and the Education of Undocumented Schoolchildren (NewYork:NYUPress,2012),25.

theCourtdidnotholdthateducationisafundamentalright,itclarifiedthateducationis necessarytoobtainmanyotherrights,suchasfreespeechandinformedvoting.Thiswouldseta frameworkfortheargumentbecausethefederalgovernmentisinterestedinequalopportunity forqualityeducation.Plylershowedthatwithholdingeducationisadetrimentnottoan individualbuttothewholeofsociety:herapproachdemonstrateseducationisapublicgoodthat crossesstateboundaries.

The Plyler v. Doe decisionunderlineshowfederaleducationpolicyisincompleteand callsforamorecoherentstrategytoprotectaccesstoeducation.TheCourtimplicitlyindicated thatthereshouldbeaconstitutionalrighttoeducationbecauseitisaprerequisiteforequal protectionandsocialdevelopment.Thisdecision,however,despiteitsimportance,hadalimited scopebecauseitdealtonlywithoutrightdenialandleftbroaderissuesonfundingdisparities, resourceallocations,andeducationalqualitynotbeinguptopar 401 Thisisbecausetheseareas havelittlefederaloversightorconstitutionalguarantee.Recognizingeducationasarightwould grantthefederalgovernmenttheauthoritytoestablishminimumstandards,reduceinequities, andensurethatallchildrenofcitizenship,race,orsocioeconomicstatusreceivetheeducation necessarytoparticipatefullyindemocracy.WhatthePlylerdecisiondoesisunderscorethat educationisnotjustaprivilegebutacriticalnecessityinfurtheringthecaseforequalitywith strongerfederalprotections.402

401 NationalCenterforEducationStatistics,“PublicSchoolExpenditures,”accessedDecember4,2024, https://ncesedgov/programs/coe/indicator cmbasp

402 US DepartmentofEducation,“FederalRoleinEducation,”accessedDecember4,2024, https://www2.ed.gov/about/overview/fed/role.html.

Conclusion

Casessuchas San Antonio Independent School District v. Rodriguez, Plyler v. Doe, andothershighlighttheimportanceofeducationtothedevelopmentofequality,democracy, andanimprovedqualityoflifeforall.Whilethesedecisionsunderscorethecriticalrole educationplaysincreatingopportunityandcivicengagement,theyalsorevealthe deficienciesinfederalprotectionsandtheinequitiesthatarisefromrelianceonstateandlocal policies.TheConstitution'sfailuretoexplicitlyrecognizeeducationasafundamentalright hasleftmillionsofstudentsatthemercyofafracturedsystemthatperpetuatesdisparities inconsistentwiththeveryprinciplesofdemocracy.Thatmeanssystemicsolutionscanbe installedthroughgovernmentlevelsbydevelopingasystemthatelevateseducationtoa federallyconstitutionallyprotectedrighttoensurestudentsofalleconomicbackgroundsand pedigreescanobtainqualityeducationaspartoftheirdevelopmentcontributionstowarda democraticsociety.Itisnotsimplyamoralcall,butallowingeducationtobeaconstitutional rightwillcreateafairersocietywithcohesion.

CORPORATEIMMUNITYORJUSTICEDEFERRED?:

LESSONSFROMTHESACKLERFAMILYOPIOIDSETTLEMENT

WRITTENBYNARAYANIATCHUTUNI|EDITEDBYDEVPATEL

Introduction

i. The Opioid Epidemic

Everyday,hundredsofAmericansturntotheirdoctorsforrelief,whetheritistosoothea persistentache,managechronicpain,orrecoverfromsurgery.Thesolutionsoftencomeinthe formofaprescriptionpad,asymboloftrustandhopeinthemedicalprofession.Yet,beneaththe surfaceofthisseeminglyordinaryexchangeliesatroublingtruth:theprescriptiondrugindustry hasnotalwaysoperatedwithpatients’bestinterestsatheart.403 Nowhereisthismoreevident thaninthestoryofPurduePharmaanditsflagshipopioid,OxyContin.

Theopioidepidemicstandsasoneofthemostdevastatingpublichealthcrisesinmodern history,claimingnearly727,000livesfrom1999to2022throughbothprescriptionandillegal opioids.404 PurduePharma,ownedbythewealthyandinfluentialSacklerfamily,greatlyfueled thiscrisis.OxyContin,marketedaggressivelyasalow-risksolutionforpainmanagement, rapidlybecameahouseholdname.Behindthescenes,Purdue’smarketingstrategiesnotonly downplayedtherisksofaddictionbutalsosystematicallyexpandedtheuseofopioidstomillions ofAmericanswhomightotherwisehaveavoidedsuchpotentdrugs.405

ii. Purdue Pharma’s Power in Marketing

403 BenGoldacre,“BadPharma:HowDrugCompaniesMisleadDoctorsandHarmPatients,”BritishJournalof ClinicalPharmacology,May2013,https://pmcncbinlmnihgov/articles/PMC3635613/

404 “UnderstandingTheOpioidOverdoseEpidemic,”CentersforDiseaseControlandPrevention,November1, 2024,https://wwwcdcgov/overdose-prevention/about/understanding-the-opioid-overdose-epidemichtml

Purdue’sextensiveandstrategicallycoordinatedmarketingeffortswieldedextraordinary influence.Physiciansweretargetedwithpromotionalmaterials,financialincentives,and 405ArtVanZee,“ThePromotionandMarketingofOxyContin:CommercialTriumph,PublicHealthTragedy,” AmericanJournalofPublicHealth,February2009,https://pmcncbinlmnihgov/articles/PMC2622774/

210 carefullycraftednarrativesaboutthesafetyandefficacyofopioids.406 Professionalorganizations andadvocacygroupsweresimilarlyco-optedtoamplifyPurdue’smessage.407 Theseeffortswere disturbinglyeffective,leadingtowidespreadoverprescriptionandanupswinginopioid addiction.ThefinancialgainsforPurdueandtheSacklerswerestaggering,butthesocietalcosts: overdosedeaths,brokenfamilies,andstrainedpublichealthsystems,wereimmeasurable.408

iii. A Surge of Litigation

Asthehumantolloftheepidemicbecameundeniable,Purduefacedafloodoflawsuits fromstates,municipalities,andindividualsseekingaccountability.409 In2019thecompanyfiled forbankruptcy,promisingtoresolvetheseclaims.AsPurdue’sbankruptcyproceedingsunfolded, thelegalbattlessurroundingthecompanybecameafocalpointfordebatesaboutcorporate responsibilityandpublichealth.ThelawsuitsbroughtagainstPurdueandtheSacklerfamily highlightedthedevastatingimpactoftheopioidepidemicwhileraisingpressingquestionsabout theethicalboundariesofcorporateinfluencewithinthejusticesystem.410 Thesecaseshave becomealegalflashpoint,withcourtsateverylevelgrapplingwithissuesthatwillhave far-reachingimplicationsfortransparencyinthepharmaceuticalindustry.

406 “AGHealeySuesPurduePharma,ItsBoardMembersandExecutivesforIllegallyMarketingOpioidsand ProfitingFromOpioidEpidemic,”Massgov,June12,2018, https://www.mass.gov/news/ag-healey-sues-purdue-pharma-its-board-members-and-executives-for-illegally-marketi ng-opioids-and-profiting-from-opioid-epidemic

407 “StateofAlaskavPurduePharma,Complaint,”SuperiorCourtfortheStateofAlaska-ThirdJudicialDistrictin Anchorage,https://wwwlawalaskagov/pdf/press/171031-PurdueComplaintpdf

408 “OpioidManufacturerPurduePharmaPleadsGuiltytoFraudandKickbackConspiracies,”OfficeofPublic Affairs|UnitedStatesDepartmentofJustice,November24,2020, https://wwwjusticegov/opa/pr/opioid-manufacturer-purdue-pharma-pleads-guilty-fraud-and-kickback-conspiracies

409 OpioidLawsuitsGeneratePayouts,Controversy, https://wwwamericanbarorg/news/abanews/aba-news-archives/2019/09/opioid-lawsuits-generate-payouts-controver sy/

410 “TheRoleofPurduePharmaandTheSacklerFamilyintheOpioidEpidemic,”Hearing-BeforetheCommittee onOversightandReformHouseofRepresentatives,December17,2020, https://wwwgovinfogov/content/pkg/CHRG-116hhrg43010/html/CHRG-116hhrg43010htm

In re: Purdue Pharma L.P.

iv. Chapter 11: A Strategic Shield

ThebankruptcyproceedingsofPurduePharma,formallytitled In re: Purdue Pharma L.P,reshapedhowmasstortlitigationishandledintheU.S.legalsystem.FiledunderChapter 11in2019,thecasebecamealegalbattlegroundovertheuseofbankruptcyprotectionsby corporationsaccusedofcausingwidespreadharm.411 Unliketypicalbankruptcies,thiscase involvedacompanyaccusedofcontributingtoapublichealthcrisis,raisingquestionsaboutthe balancebetweenprotectingbusinessesfinanciallyandkeepingthemaccountable.

ThroughChapter11,PurduePharmaaimedtoachievenotonlyfinancialreorganization butalsoalegalstrategytoconsolidateclaimsandaddressitsmountingliabilities.412 Thisprocess allowedPurduetocontinueoperatingitsbusinesswhilecreatingasystemtoallocateits remainingassetsamongcreditors,includingvictimsoftheopioidcrisis.Insimplerterms, Chapter11allowedthecompanytotemporarilyhaltongoinglawsuitsagainstthemandfocuson creatingaunifiedplantodistributeitsremainingassetstoclaimants.Purdue’scaseshowcased howbankruptcylawcanbestretchedtoaddressthenuancesofmasstortlitigation.By consolidatingthousandsofclaimsintoasingleprocess,theChapter11proceedingsoffereda waytomanagedisputesinvolvingnumerouspartieswithcompetinginterests.413 Somelegal expertssawthisapproachasapracticaltooltostreamlineoverwhelminglitigationandensure thatatleastsomecompensationreachedvictims.However,otherscriticizeditasacontroversial tactic,arguingthatitprioritizedefficiencyoverjustice,especiallywhenholdinginfluential

411 “Chapter11-BankruptcyBasics,”UnitedStatesCourts, https://wwwuscourtsgov/services-forms/bankruptcy/bankruptcy-basics/chapter-11-bankruptcy-basics

412 DylanGillespieTrache,PurduePharma:AnAnalysisoftheSupremeCourtDecisionBarringThird-Party Releases,October11,2024, https://wwwamericanbarorg/groups/business law/resources/business-law-today/2024-october/purdue-pharma-analy sis-supreme-court-decision-barring-third-party-releases

413 ScottRBowling,“SubstantiveConsolidationandParties’IncentivesinChapter11Proceedings,”AnnualSurvey ofAmericanLaw,October25,2010,https://annualsurveyofamericanlaworg/

individualsliketheSacklersaccountable.Beyondfinancialrestructuring,Chapter11servedasa mechanismtoshielditsowners,theSacklerfamily,fromdirectlitigation.414 Theuseof bankruptcyprotectionsinthiswayprovokedsharpcriticism,withadversariesarguingitenabled influentialindividualstosafeguardtheirwealthwhileleavingaffectedcommunitieswithlimited recourse.

v. Controversial Immunity at the Heart of the Settlement

AkeyaspectofPurduePharma’sbankruptcyplanwastheSacklerfamily’sagreementto contribute$5.5to$6billiontoasettlementfundaimedataddressingthefinancialneedsof victimsandcommunitiesdevastatedbytheopioidepidemic.415 Inexchange,theSacklerssought legalimmunityfromfuturecivillawsuitsthroughaprovisionknownasthenonconsensual third-partyrelease.416 Thislegalmechanism,embeddedinthebankruptcysettlement,extended protectionstypicallyreservedforthebankruptentitytonon-debtorparties,suchastheSackler family,whohadnotfiledforpersonalbankruptcy.Formany,thisprovisionrepresentedacritical compromisetosecuremuch-neededpublichealthinitiativesandvictimcompensationfunds. Withoutthisagreement,proponentsargued,theSacklerswouldhavelittleincentivetocontribute suchasubstantialsum,andthelengthylitigationcouldfurtherdelayreliefforthoseaffected. However,includingthenonconsensualthird-partyreleasesparkedaheateddebateabout fairnessandlegality.Criticsarguedthatthereleaseabusedbankruptcylaw,enablingwealthy

414 “JusticeDepartmentAnnouncesGlobalResolutionofCriminalandCivilInvestigationswithOpioid ManufacturerPurduePharmaandCivilSettlementwithMembersoftheSacklerFamily,”OfficeofPublicAffairs, October21,2020, https://wwwjusticegov/opa/pr/justice-department-announces-global-resolution-criminal-and-civil-investigations-op ioid

415 AttorneyGeneralAnnouncesSettlementofatLeast$55BillionwithPurduePharmaandSacklerFamily,”| RhodeIslandAttorneyGeneral’sOffice,March3,2022, https://riagrigov/press-releases/attorney-general-announces-settlement-least-55-billion-purdue-pharma-and-sackler

416 NoelleHenry,“TheSacklerShield:HowNon-ConsensualThird-PartyReleasesProtecttheBadBusinessman,” WakeForestJournalofBusinessandIntellectualPropertyLaw,July9,2024, https://jbiplpubpuborg/pub/87trn9x3/release/1

individualstosidestepresponsibilitywhileretainingsignificantpersonalwealth.Unlikethe typicalbankruptcyprocess,wheredebtorsfacescrutinyovertheirfinancialrecordsand obligations,theSacklersmaintainedcontrolovermuchoftheirfortunewhileenjoying protectionsfromlitigation.417 Thisunprecedentedmaneuverhasraisedbroaderquestionsabout thelimitsofbankruptcylawandwhethersuchprovisionserodepublictrustbyprioritizing expediencyandsettlementsoverprinciplesofjusticeandaccountability.

Harrington v. Purdue Pharma L.P.

vi. U.S. Trustee’s Objection

WhenthecourtapprovedPurduePharma’sbankruptcyplaninSeptemberof2021,it markedaturningpointinaddressingacrisisthathadclaimedhundredsofthousandsoflivesand shatteredcommunitiesnationwide.Atthecenteroftheplanwasahighlycontroversialprovision: nonconsensualthird-partyreleasesthatshieldedtheSacklerfamilyfromfuturelawsuits.The courtframedthisasanecessarycompromise.GivenPurdue’slimitedresourcesandthe challengesofrecoveringtheSacklers’offshoreassets,thesettlementwasportrayedasthe quickestandmosteffectivewaytochannelbillionsofdollarsintocombatingtheopioid epidemic.

Butnoteveryonesawitthatway.U.S.TrusteeWilliamK.Harrington,afederalofficial responsibleforensuringtheintegrityofbankruptcyproceedings,hadanissuewiththisdecision. Hearguedthatnonconsensualthird-partyreleaseswerenotexplicitlypermittedunderthe BankruptcyCodeandunderminedtheprinciplesofaccountability.418 ToHarrington,allowing individualsnotfilingforbankruptcytosidesteplegalresponsibilitywhileholdingontomuchof theirwealthwasmorethanalegaloversight;itwasamatterofjustice.Couldafamilythathad

417 Inre:PurduePharmaLP,https://wwwnysbuscourtsgov/sites/default/files/opinions/296030 3786 opinionpdf

418 Harringtonv.PurduePharmaL.P.,June27,2024, https://wwwsupremecourtgov/opinions/23pdf/23-124 8nk0pdf

profitedbillionsfromapublichealthcatastrophewalkawayprotectedfromlawsuitssimply becausetheypaidintoasettlementfund?

Harrington’sobjectionbecamealightningrodforcontroversyandraisedquestionsabout whethertheSacklerswerebeingunfairlyinsulatedfromliability.Hewarnedthatallowingsuch releasescouldturnbankruptcylawintoaloopholeforthewealthytoescapeconsequencesand erodetrustamongvictimsandthepublic.Hischallengealsosparkedconcernsaboutthelimitsof bankruptcyprotections,especiallyincasesoflarge-scalepublicharm.Despitehisarguments, Harrington’sformalobjectionwasoverruledbythebankruptcycourt.419 vii. District Court’s Reversal

Appalledbythebankruptcycourt’sdecisiontogranttheSacklerfamilysweeping immunityfromfuturelawsuits,U.S.TrusteeWilliamK.Harringtonandacoalitionofstate attorneysgeneralappealedtherulingtotheU.S.DistrictCourtfortheSouthernDistrictofNew York.420 Theyarguedthatthebankruptcycourthadoversteppeditsauthority,allowing individualsnotevendeclaringbankruptcytoescapelegalanswerability.InDecemberof2021, DistrictJudgeColleenMcMahonsidedwiththechallengersbyreversingthebankruptcycourt’s approvalofPurduePharma’ssettlementplan.421 Herdecisionwasunequivocal:theBankruptcy Codedoesnotauthorizenonconsensualthird-partyreleases,andtoallowthemwouldbeto rewritethelawentirely.422 Thisreversalsentshockwavesthroughthecase,haltedtheSacklers’ immunitydeal,andraisedseriousdoubtsaboutthesettlement’sfuture.Formany,itwasa

419 Harringtonv PurduePharmaLP,June27,2024, https://www.supremecourt.gov/opinions/23pdf/23-124 8nk0.pdf.

420 DylanGillespieTrache,PurduePharma:AnAnalysisoftheSupremeCourtDecisionBarringThird-Party Releases,October11,2024, https://wwwamericanbarorg/groups/business law/resources/business-law-today/2024-october/purdue-pharma-analy sis-supreme-court-decision-barring-third-party-releases

421 “DecisionandOrderonAppeal,”InRe:PurduePharmaLP,December16,2021, https://portalctgov/-/media/ag/press releases/2021/judge-mcmahon-decision-121621pdf

422 LeonardL.Gumport,“The5-4PurduePharmaMajorityDecision,”CaliforniaLawyersAssociation,July11, 2024,https://calawyersorg/business-law/the-5-4-purdue-pharma-majority-decision/

momentofvindication,wherethelegalsystempushedbackagainstusingbankruptcyasa defenseforthepowerful.Butforothers,itreignitedconcernsaboutdelaysindistributingbillions ofdollarsearmarkedforopioidrelief,whichwouldleavevictimscaughtinthecrossfireofa contentiouslegaldispute.

viii. Second Circuit Court of Appeals Decision

TheDistrictCourt’sdecisiontooverturnPurduePharma’ssettlementplantriggeredan immediateandintenseresponse.Purdue,theSacklerfamily,andtheirlegalteamsappealedthe rulingtotheU.S.CourtofAppealsfortheSecondCircuit.Theyweredeterminedtodefendthe controversialthird-partyreleases.Theyarguedthatwithouttheseprotections,theSacklerswould refusetocontributethebillionsofdollarspledgedtothesettlementfund,puttingcriticalopioid reliefeffortsatrisk.Ontheopposingside,U.S.TrusteeWilliamK.Harringtonandthestate attorneysgeneralmaintainedthatgrantingsuchreleasesstretchedbankruptcylawbeyondits intendedpurposeandwouldcreateatroublingprecedentforfuturecases.InMayof2023,the SecondCircuitsidedwithPurdueandtheSacklers,rulingthatbankruptcycourtshavethe authoritytoapprovenonconsensualthird-partyreleasesundercertainequitableconditions.423 Thisdecisionallowedthesettlementtomoveforwardbutdidlittletoquellongoingdebates aboutfairnessandscrutinyinmasstortbankruptcies.

SupremeCourtReviewandImplications

ix. Potential Outcomes

AftertheSecondCircuitupheldPurduePharma’ssettlementplan,thelegalbattlereached thehighestlevelofscrutiny:theSupremeCourt.424 TheCourt’sinvolvementiscriticalbecauseit

423 Harringtonv PurduePharmaLP,June27,2024, https://wwwsupremecourtgov/opinions/23pdf/23-124 8nk0pdf

424 NicoleEzeh,“SupremeCourtOverrulesPurduePharmaOpioidSettlement,RejectsImmunityforSacklers,” NationalConferenceofStateLegislatures,July5,2024, https://www.ncsl.org/state-legislatures-news/details/supreme-court-overrules-purdue-pharma-opioid-settlement-rejec ts-immunity-for-sacklers

determineswhethernonconsensualthird-partyreleasesarepermissibleunderbankruptcylaw. Thisdecisioncarriesfar-reachingconsequences,asitcouldeithervalidateorrestricttheuseof suchprovisionsinfuturemasstortcases.

IftheSupremeCourtupholdstheSecondCircuit’sdecision,itwouldsetaprecedent allowingnon-debtorparties,liketheSacklers,togainimmunityinbankruptcysettlements, potentiallyreshapingtheboundariesofbankruptcylaw.Ontheotherhand,iftheCourtoverturns theruling,itwouldlimitthescopeofbankruptcyprotections,reaffirmingthatindividualscannot usecorporatebankruptcytosafeguardthemselvesfrompersonalliability.Thispivotaldecision notonlydeterminesthefateofPurdue’ssettlementbutalsoinfluenceshowculpabilityis addressedincorporatemisconductcasesforyearstocome.

x. Are Non-Consensual Third-Party Releases Allowable Under the Bankruptcy Code?

No.Inalandmark5-4rulingonJune27,2024,theSupremeCourtdecidedthattheBankruptcy Codedoesnotauthorizenonconsensualthird-partyreleases.425 Thisdecisionstruckdownthe SecondCircuit’srulingand,withit,theSacklers’bidforlegalimmunity.TheCourtreasoned thatgrantingsuchreleasestoindividualswhoarenotthemselvesbankruptunderminesthe principlesoffairnessandresponsibilitythatbankruptcylawisdesignedtouphold.426

Conclusion

xi. Balancing Corporate Accountability and Legal Protections

TheSupremeCourt’sdecisionhighlightsthedelicatebalancebetweenresolvinglegal casesandensuringjustice.ByrejectingtheSacklers’attempttosecureimmunity,theruling

425 RachelMackey,“US SupremeCourtDecisionHaltsPurduePharmaOpioidSettlement,”NationalAssociation ofCounties,June28,2024, https://wwwnacoorg/news/us-supreme-court-decision-halts-purdue-pharma-opioid-settlement

426 DylanGillespieTrache,PurduePharma:AnAnalysisoftheSupremeCourtDecisionBarringThird-Party Releases,October11,2024, https://wwwamericanbarorg/groups/business law/resources/business-law-today/2024-october/purdue-pharma-analy sis-supreme-court-decision-barring-third-party-releases.

sendsaclearmessage:bankruptcycannotbeusedasawayforthewealthytododge responsibility,nomatterhowmuchmoneytheycontributetosettlements.427 Thisoutcomeisa reminderthatsocialresponsibilitymustremainattheforefront,eveninthefaceofcomplicated legalandfinancialchallenges.

xx. A Lasting Impact on Public Trust

TheCourt’srulingcarriesimplicationsfarbeyondPurduePharma.FortheSacklers,it leavesthedooropentofurtherlawsuits,exposingthemtopotentiallegalconsequencesfortheir roleintheopioidcrisis.However,whiletherulingemphasizesaccountability,italsocomplicates securingthebillionstheyhadpledgedinthesettlement,potentiallydelayingreliefforvictims andcommunities.Forthepublic,thedecisionoffersameasureofrestoredfaithinalegalsystem oftencriticizedforfavoringthepowerful.Thisprecedentmaydetersimilarattemptsinfuture casesbyreaffirmingthatbankruptcycannotserveasaloopholeforthewealthy.However,italso raisesquestionsabouthoweffectivelyjusticecandelivertangibleresults.So,toanswerthe questionof“CorporateImmunityorJusticeDeferred?”therulingsignifiesjusticedeferred. Whileaccountabilityremainspossible,meaningfulreliefforvictimsremainsatastandstill.

427 NicoleEzeh,“SupremeCourtOverrulesPurduePharmaOpioidSettlement,RejectsImmunityforSacklers,” NationalConferenceofStateLegislatures,July5,2024, https://www.ncsl.org/state-legislatures-news/details/supreme-court-overrules-purdue-pharma-opioid-settlement-rejec ts-immunity-for-sacklers

ENFORCINGACCOUNTABILITY:EVALUATINGGOVERNMENTALLAWS

TARGETINGCORPORATEHUMANRIGHTSVIOLATIONS

WRITTENBYKYLIEHONG|EDITEDBYDEVPATEL

DespiteanewfoundadoptionofCorporateSocialResponsibility(CSR)policieswithin burgeoningbusinesses,incidentslikethe2013RanaPlazacollapsewhereoverathousand workerswerekilled,428 orthemorerecent2019Delhibagfactoryfirewherealmost50workers died,highlightthesignificantoversightofthegovernmentinenforcingaccountabilityonto businessesregardinghumanrightsstandards.429 Thecurrentlawsandpoliciesimplementedare insufficienttoinducebusinessestofirmlyregulateandencourageCSR.Themonitoringand preventionofhumanrightsviolationsneedmorerigorousregulationsfortheenforcementof thesestandardstobeupheld.Understandingthecurrentlandscapeofgovernmentalpolicies concerningCSRandhumanrights,thesuccessfulandfailedendeavorsatstricterregulation,and thepotentialforimprovedlegislationareallvitaltoamovementtowardhumanrightsprotection. TheUNGuidingPrinciplesonBusinessandHumanRights,430 aswellastheU.S. DepartmentofState’sBureauofDemocracy,HumanRights,andLabor,leadpolicyeffortsto disseminateandimplementtheprinciplesthatregulateandguidebehavioronCSR.431 These frameworksaimtosafeguardhumanrightswithinbusinessoperations.TheU.S.State Department’s guidance on implementing the UN Guiding Principles for transactions with foreign government end-users for products with surveillance capabilities isagovernmentagencyreport

428 “RanaPlaza.”CleanClothesCampaign,March28,2024. https://cleanclothesorg/campaigns/past/rana-plaza

429 “DelhiFactoryFire:Morethan40DeadinIndiaBlaze.”BBCNews,December9,2019. https://wwwbbccom/news/world-asia-india-50703659

430 UnitedNationsHumanRightsOfficeoftheHighCommissioner.“GuidingPrinciplesonBusinessandHuman Rights”UnitedNations,2011

431 BureauofDemocracy,HumanRights,andLabor “US GovernmentEffortstoAdvanceBusinessandHuman Rightsin2020.”U.S.DepartmentofState,January11,2021. https://wwwstategov/u-s-government-efforts-to-advance-business-and-human-rights-in-2020/

thatprovidestools,reports,andguidancetohelpbusinessesidentifyandmitigate“redflags”in theirsupplychains,continuousriskassessment,stakeholderengagement,andpublic transparency 432 Althoughnotrequiredbylaw,thisguidanceisessentialforbusinessesto integratehumanrightsduediligenceintotheirpractices.Whileseeminglyhelpfulfor implementingsuccessfulCSRstandards,thesearenon-mandatoryguidelinesthatdonothaveto beadheredto.WhiletheselawsandguidancetrytoenforceandguideCSRpracticesbysetting uppreventativemeasures,theireffectivenessisoftenhinderedbyinconsistentenforcement, limitedscope,andnomandatorylegalcompliance,showingbiggapsinprotectinghumanrights. Thiscombinationofsolelypreventativelawsandguidancemeansweneedtocontinuously evaluateandstrengthenCSRlawssotheynotonlyexistbutarealsoappliedandcorporationsare heldaccountablefortheirglobalhumanrightsimpact.

432 U.S.DepartmentofState.“GuidanceonImplementingtheUNGuidingPrinciplesforTransactionsLinkedto ForeignGovernmentEnd-UsersforProductsorServiceswithSurveillanceCapabilities”US DepartmentofState, 2020.

433 Stauffer,Brian “WorldReport2020:RightsTrendsinHoldingCompaniestoAccount:MomentumBuildsfor CorporateHumanRightsDuties”HumanRightsWatch,January14,2020 https://wwwhrworg/world-report/2020/country-chapters/global-2

ThefailureofsufficientpoliciesregardinghumanrightsandCSRlawsinareal-world applicationisevidentintheBangladeshRanaPlazabuildingcollapsein2013.433 Thisincident claimedover1,000workersandexposedthetrueviolations,brandscomplicitparticipation“in thecreationofanenvironmentthatultimatelyledtothedeathsandmaimingofthousandsof individuals.”434 Theeight-storybuildingwasknowntohavehadlargestructuralcracksbutthe garmentfactoryworkerswereorderedtoreturntowork,whichledtothesubsequentcollapseof thebuildinganddeathofover1000people.Theworldwideattentionofthishorrificevent openedupmanypeople’seyestothedetrimentsofhumanrightsviolationsandhowcompanies 434 Stauffer,Brian “WorldReport2020:RightsTrendsinHoldingCompaniestoAccount:MomentumBuildsfor CorporateHumanRightsDuties.”HumanRightsWatch,January14,2020. https://wwwhrworg/world-report/2020/country-chapters/global-2

rarelytakeaccountabilityunlessirrefutableevidenceexposestheirdirectlink.Thispublic scrutinyexposedthedenialsofcompaniestocompensatethosewhowereinjuredandthelives lost.Manybusinessesfeelcomplicittodothebareminimumandstayblindtotheviolations happeningwithintheirsupplychainaslongastheprofitsandbenefitsoutweighthecostof adheringtoCSRcompliance.Thisispossiblebecausethelawsandregulationsoftodaydonot havetheenforceabilitynorstrictregulationsnecessarytoensurestepstowardscomplianceare taken.Althoughpastregulationsintendtosupportorganizationstooutrootlaborabuses, transparencyisnotenoughtoremedytheissueathand.

Inrecentyears,manynationshavepassedlawsregardingcorporatehumanrightsabuse. France’sDutyofVigilanceActwaspassedin2017to“holdFrenchcompaniesaccountablefor humanrightsviolationsandenvironmentaldamagecausedbytheirsubsidiaries,suppliers,or serviceproviders.”435 Thisencompassinglawsetsahighstandardforcompanies,notonly demandingtransparencythroughpublishingtheirdiligenceplansthroughouttheirsupplychains butalsosettingspecific,enforceablerequirementsthathavepenaltiesandliabilitiesthatmake companiesaccountable.Parentcompaniesareheldliableandaresubjecttosanctionsiftheydo notconductthoroughduediligencethroughouttheirsubsidiaries,suppliers,andservice providers,adoptvigilanceplanstomitigatepossibleharmtohumanrights,reportandremedy humanrightsviolationsaswellasimplementacommitteeresponsibleforalltheimplementation andexecutionofit.LawssuchasFrance’smakesetspecificrequirementsandactionable consequenceswhereworkerscanholdtheircompaniesaccountableallowingformoreemployee protectionsintheworkplace.

435 FRDM “FranceDutyofDiligenceAct”FranceDutyOfDiligenceAct AccessedDecember5,2024 https://www.frdm.co/france-duty-of-diligence-act#:~:text=The%20French%20Duty%20of%20Vigilance,%2C%20su ppliers%2C%20or%20service%20providers

ThesestudiesandthecurrentgovernmentlandscaperegardinghumanrightsandCSR lawsillustratetheurgentneedforacleargapinguidelinesandpoliciesthegovernmenthasin placeforhumanrightsandthelackofenforcementpenalties.ToensurethatCSRstandardsare uniformlyappliedandrespectedthroughoutallsubsectionsofsupplychainswithinabusiness enterprise,preventativemeasuresandliabilitymustbeestablishedthroughconcretelawsthatare enforceablewithpenalties.Preventingbigbusinessesfromexploitingworkersthroughloopholes andlaxguidelinesisinsufficientinprotectingpeople’shumanrightswithintheoperationsof corporations.ImplementingcomprehensivefederallegislationthatmandatesCSRcompliance withinallbusinesses,withdefinedmetricsforstandardsandstepsnecessarytoensureitis implemented,willmakeachievingbusinesshumanrightsamoreaccountableframework.The transitionfromvoluntarycompliancetostrictmandatorypoliciesthroughgovernment interventionandmonitoringisnecessaryforthesebusinessestoupholdtheirbestpractices.Not onlyistransparencysomethingthatshouldbeencouragedthroughU.S.guidelinesandtools,but initiatives,remedies,andprovisionsfortheabusesshouldberequired.Forcedlaborandunsafe workingconditionsarecommonhumanrightsviolationsthatcanfalltoneglectinlargebusiness operations.Itisuptothegovernmentalprovisionsandlawstoensurethat,similartoFrench Legislation,rulesandregulationsareuptocodeandplansareinplaceifsuchasituationoccurs.

Thismitigatesthepossibilityofabusesandextendsliabilitytoupper-levelmanagementtoensure thattheyaremadeawareoftheongoingconditionsoftheirbusiness.Acomprehensiveactwhere inspectionsarestandard,transparencyisrequired,andbusinessesareaccountablefortheir actionstowardstheiremployeesencouragesanethicalbusinessenvironment.

Giventheinadequaciesidentifiedthroughathoroughinvestigationofthecurrent legislativeframeworkofCorporateSocialResponsibilitylegislation,thegovernmentmustpass

andenforceeffectivereformsofhumanrightslawsrelatingtobusinessoperations.Thecase studiesoftheevidentfailureofthecurrentsystemaswellasadiveintothepossiblesuccessofa stringentact,theFrenchDiligenceAct,itisclearthattheremustbeanintroductiontolegislation thattransitionsfromguidingprinciplesonCSRtomandatorystandardsandprovisionsproviding accountabilityconcerningalllevelsofbusiness.

FROMCIVILINFRACTIONTOCRIMINALOFFENSE:THEESCALATIONOF

IMMIGRATIONREGULATIONINUNITEDSTATESLAWPOSTWORLDWARII

WRITTENBYALICEMEROLLI|EDITEDBYDEVPATEL

Introduction

TheUnitedStates’stransitionintoworldpowerstatusfollowingtheWorldWarsledtoan increasedflowofimmigrants,eventuallycausingadrasticshiftinimmigrationpolicies.While limitsonimmigrationwereseenasearlyas1882withtheChineseExclusionAct,the1920ssaw thebeginningsofcriminalizingcertaintypesofimmigrationalongwithunprecedentedlimitson legalimmigrationopportunities.

436 TheEmergencyQuotaActof1921establishedaprecedentof quotasbasedonimmigrants’homecountries,allowingfortheentryofonlythreepercentofeach country’simmigrantpopulationfromthe1890Census.437 TheUndesirableAliensActof1929, betterknownasBlease’sLaw,initiatedthefirstactofimmigrationcriminalization,deemingthe actof“unlawfullyenteringthecountry”amisdemeanor.438 Thesetwofundamentalactspavedthe wayforrestrictiveimmigrationpoliciescausedbytherefugeecrisisafterWorldWarII,instilling ahostilepoliticalperceptiontowardsallimmigrants.Thepost-WorldWarIIrefugeecrisis catalyzedaprofoundshiftinU.S.immigrationpoliciesasconcernsovershiftingdemographics, nationalsecurity,andeconomicstabilitydrovethecriminalizationofmigration, disproportionatelyimpactingminoritycommunitieswhilesimultaneouslycreatingresistanceto open-borderpolicies.

TheRefugeeCrisisandtheFightforthePrioritizationofAmericans

436 NationalArchives,“ChineseExclusionAct(1882),”MilestoneDocuments https://wwwarchivesgov/milestone-documents/chinese-exclusion-act

437 ABriefHistoryofCivilRightsintheUnitedStates:HistoricalOverview-Immigration"HowardUniversity SchoolofLawReview.https://library.law.howard.edu/civilrightshistory/immigration/history.

438 Little,Becky 2019 “HowBorder-CrossingBecameaCrimeintheUnitedStates”HISTORY, (July)https://wwwhistorycom/news/illegal-border-crossing-usa-mexico-section-1325

ThetragediesofWorldWarIIforcedunprecedentednumbersofpeopletofleetheirhome countries,withmanylookingtotheUnitedStatesasahavenfordemocracy.In1948,congress passedtheDisplacedPersonsAct,issuing400,000visastoprotectworldcitizensforcedtoleave theirhomecountriesduetofascistregimes.Astrongpreferencewasgiventoindividualswith scientificortechnologicalskills,ensuringthattherefugeesenteringthecountrywouldadvance progress.439 TheMcCarran-WalterAct,alsoknownastheImmigrationandNationalityActof 1952,followednext,prioritizingauthorizedentryforfamilymembersofUnitedStatescitizens andskilledworkers.However,thisactdecreasedthegeneralimmigrationcapto270,000 immigrantsannually,implementingtargetedexclusionsformigrantsfromcommunistcountries.

Domestically,theUnitedStatesimplementedtheBraceroProgramin1942,aimedat mitigatingdamagesintheagriculturalsectorfromthedeploymentandcasualtiesofUnited Statesruralworkersfightinginthewar.440 Theprogramallowedshort-termcontractlaborers fromMexico,alsocalledbraceros,toworklegallyintheUnitedStates.Thisprogramsparked controversy,leadingtoattorneygeneralHerbertBrownellJr.’screationofOperationWetbackin 1954.441 AimedatlesseningthepresenceofMexican workers,whowereperceivedtobetaking Americanjobs,thisprogramcampaignedforthemassdeportationofMexicanmigrantsand punishmentforAmericanemployershiringMexicanimmigrants.However,Brownell’sdesireto punishemployerswasmetwithscrutiny,arguingthatprovingtheemployer’sknowledgeoftheir workers’immigrationstatuswouldbedifficult.

439 ABriefHistoryofCivilRightsintheUnitedStates:HistoricalOverview-Immigration"HowardUniversity SchoolofLawReview https://librarylawhowardedu/civilrightshistory/immigration/history

440 Britannica,T EditorsofEncyclopaedia "BraceroProgram"EncyclopediaBritannica,September9,2021 https://www.britannica.com/event/Bracero-Program.

Furthermore,theseprogramsandpoliciesdemonstratehowtheunprecedentedinfluxof immigrantsencouragedtheUnitedStatestowardsstricterimmigrationpoliciesinfearofthe 441 Funderburk,B."OperationWetback."EncyclopediaBritannica,July25,2024. https://wwwbritannicacom/topic/Operation-Wetback

detractingofresourcesfromAmericancitizens.Toremoveracialpreferenceswithinimmigration quotas,theImmigrationandNationalityActAmendmentswerepassedin1965,eliminating specificracialpreferencesyetassigningamuchhigherquotaofimmigrantstotheEastern HemispherethantheWesternHemisphere.442 ThisAct,however,perpetuatedethnically motivatedlimitationsonimmigration,demonstratingtheintensefocusoncontrollingtheethnic makeupoftheUnitedStatespopulation.

CriminalizationofImmigrantsAfterthe1996ImmigrationLaws

The1980ssawawaveofhighlyrestrictiveimmigration policies,increasingthegravityof illegalentry.Oneofthemostinfluentialimmigrationactsthatcausedthecriminalizationof immigrationseentodayisthe1988Anti-DrugAbuseAct.443 Immigration'simportancealso stemsfromcreatingthe“aggravatedfelony”charge.Thislegislationextensivelytargetedthe deportationofdrugtraffickers,criminals,andthosesuspectedofinvolvementwiththedrugtrade attheborder.In1996,twoactsexpandedthedefinitionofanaggravatedfelony,centeringit aroundtheunauthorizedcrossingoftheborderandcatalyzingthepolicingprogramsenactedin the1990sandearly2000s.The1996AntiterrorismandEffectiveDeathPenaltyAct,orAEDPA, combinedlawenforcementwithimmigrationregulationorganizations.Themixingofinstitutions causedanimmenseincreaseinmassincarcerationandchangedthehandlingofdeportationcourt hearings.444 TheIllegalImmigrationReformandImmigrant ResponsibilityAct,orIIRIRA, causedthemostsignificantshifttowardsthecriminalizationofimmigration.The287(g) program,firstestablishedbyIIRIRA, createdaseriesofcollaborationsystemsbetweenlaw

443 UnitedStates Congress House HR5210-Anti-DrugAbuseActof1988 100thCongress(1987-1988) IntroducedSeptember14,1988 https://wwwcongressgov/bill/100th-congress/house-bill/5210 442 ABriefHistoryofCivilRightsintheUnitedStates:HistoricalOverview-Immigration."HowardUniversity SchoolofLawReview https://librarylawhowardedu/civilrightshistory/immigration/history

444 Abrego,Leisy,MatColeman,DanielE Martínez,CeciliaMenjívar,andJeremySlack "MakingImmigrantsinto Criminals:LegalProcessesofCriminalizationinthePost-IIRIRAEra."JournalonMigrationandHumanSecurity 5,no 3(2017):694–715 https://doiorg/101177/233150241700500308

enforcementandImmigrationCustomsEnforcement,ICE.The287(g)programunderIIRIRA wasajumpstarttowardsapushforstrongerdeportationpoliciescausedbytheconcernofforeign influenceontheUnitedStates.

TheWaronTerrorismandModernPoliticalClimateSurroundingImmigration

TheterroristattacksonSeptember11th,2001,exponentiallyincreasedanti-immigration sentiments,causingthepushforrestrictiveborderpoliciesandincreasedpunishmentforillegal immigration.Immigrantsfromminoritygroups,especiallythoseofHispanicandMiddleEastern ethnicity,becameextremetargetsofthe2001U.S.A.ThePatriotActwaspassedundertheBush administration.Section412ofthePatriotActincreasedresourcestowardsthespeedyremovalof “certifiedaliens”whomtheAttorneyGeneralbelievedtobeanendangermenttosociety 445 To avoidextensivedetention,theAttorneyGeneralhadinstructionstoeitherproceedwithremoving theimmigrantorchargethemwithacriminaloffense.ThePatriotAct’sinfringementonprivacy rightsledtomultiplelawsuits,oneofwhichresultedinthecaseof Raza et al. v. City of New York.ThedistrictcourtcasedeterminedthatNYPD’suseofsurveillance,invadingMosques, raidingsmallbusinesses,andmassdeportingMuslimimmigrantsoverminorvisaviolations constitutedunlawfulsurveillance.446

445 Sinnar,Shirin “PatrioticorUnconstitutional?TheMandatoryDetentionofAliensundertheUSAPatriotAct” Stanford Law Review 55,no 4(2003):1419–56 http://wwwjstororg/stable/1229608

Additionally,effortstowardsspeedymassdeportationalsodiminishedthelegalprocesses neededtoensureconstitutionallyjustcourthearingsforundocumentedimmigrants.Startedby HomelandSecurity,the2005OperationStreamlineprogramaimedatmakingdeportationcourt hearingsattheborderfastertoensuremoreundocumentedimmigrantswouldnotbeabletoflee theBorderPatrol.However,theprogramledtoexceedinglyunfairtrialswithoutdueprocess, 446 JustiaUSLaw Raza et al v City of New York UnitedStatesDistrictCourtfortheEasternDistrictofNewYork, CaseNo.1:2013cv03448. https://lawjustiacom/cases/federal/district-courts/new-york/nyedce/1:2013cv03448/343886/28/

forcingcriminalconvictionsontopeoplewithouttheproperopportunitytodefendthemselves, oftentryinguptoseventyimmigrantsatatime.447 TheSupremeCourtcaseof Moncrieffe v. Holder demonstratedtheharmsoftheaggravatedfelonycharge.Alegalimmigrant,chargedas anaggravatedfelonundertheImmigrationandNationalityActforthemisdemeanorchargeof distributing1.3gramsofmarijuana,broughtthedecisionthatnon-citizenscannotbetriedas aggravatedfelonsfordrugoffensesthatthestatedefinesasmisdemeanors.448 Thecase determinedthatminoroffensessuchasdrugcrimesmustfollowacategoricalapproach, analyzingthechargeputonthestate’sregulationsondrugs.ExecutiveOrderswereusedduring DonaldTrump’spresidency,increasingICEresourcesforthedeportationofundocumented immigrants,disregardingprioritiesbasedoncriminalrecord,andtargetingHispanicimmigrants.

Conclusion

SinceWorldWarII,thepopulationmakeupoftheUnitedStateshassignificantlyaltered. Followingtherefugeecrisis,peoplefleeingviolencelookedforacountrythatwouldgrantthem strongerdemocraticprotection,leadingtoamassiveinflowofimmigrationwithintheUnited States.ThiseventwasmetwithconcernovertheimpactthiswouldhaveonAmericanworkers, supplies,andopportunities,creatingachainreactionofoppositiontoimmigration.Throughthe criminalizationof“illegalentry,”immigrationpoliciesvillainizedmigrantsfromaracial standpoint,whichwouldcontinuetobeseenthroughtheattackonMiddleEasternimmigrants followingthetragedyof9/11.ThepoliticalpushtowardsisolationistAmericaFirstpolicieshas ledtothecontinuedmassdeportationofimmigrantsalongwiththeracial,ethnic,andreligious targetingofimmigrantpopulations.

447 Abrego,Leisy,MatColeman,DanielE Martínez,CeciliaMenjívar,andJeremySlack "MakingImmigrantsinto Criminals:LegalProcessesofCriminalizationinthePost-IIRIRAEra"JournalonMigrationandHumanSecurity 5,no 3(2017):694–715 https://doiorg/101177/233150241700500308

448 Moncrieffev Holder,569US 184(2013)

FAULTY

FACIALRECOGNITIONSYSTEMS:THEEMERGENCEOF TECHNO-RACISM

WRITTENBYMADISONLAW|EDITEDBYDEVPATEL

Introduction

Asartificialintelligenceandsoftwaresystemsadvance,theembeddingofracialbias withinalgorithmshasbecomeacontemporaryformofsystemicoppression.Digitaltechnologies employedbygovernmentagenciesandprivatecompaniescaninadvertentlydiscriminateagainst peopleofcolor,positioningtechno-racismasacriticalthreattocivilrights.449Theterm “techno-racism”wasfirstcoinedwhen“amemberofaDetroitcivilianpolicecommissionusedit todescribeglitchyfacialrecognitionsystemsthatconfusedBlackfaces.”Sincethen,racist systemshavenotonlymanifestedwithinthedigitalareasofgovernmentandthepoliceforcebut alsowhenusingriskassessmenttoolsandprocessingunemploymentbenefits.Thisbiasisoften implicit,anditsinsidiousnesscomeswiththebeliefthattechnologyisinherentlyobjective. Instead,itisformedbyracial,gender,ethnic,andotherminorityinequalitiesthathaveevolved forhundredsofyears.Whenracistdataisleftunchecked,itismistakenfortruth.Withthe emergenceoftechno-racism,theU.S.governmentmustaddressbiasinsoftwaredevelopment, beginningwithfacialrecognitionsystems,bypromotinginclusionandimplementingproactive assessmentsindesign.

RacialBiasinPoliceFacialRecognition

TheuseoffacialrecognitioninU.S.policeforcesservestoperpetuateracialbias, playingakeyroleinpolicediscriminationagainstBlackindividuals.450 A"neuralnetwork"

449 CNN "Techno-Racism:HowTechnologyCanReinforceRacialBias" CNN,May9,2021 https://wwwcnncom/2021/05/09/us/techno-racism-explainer-trnd/indexhtml

450 CAPTECH "UnderstandingandCombatingTechno-Racism" CapTech Consulting,2021 https://www.captechu.edu/blog/understanding-and-combatting-techno-racism.

systeminartificialintelligencecanlearntasksthatengineerscannotdirectlycode,butitisprone toerrorsiftrainedonbiaseddata.Forinstance,acontentmoderationsystemdesignedtofilter pornographywastrainedwithbiaseddata–white-dominatedG-ratedimagesandpornography withfewerwhiteindividuals.Asaresult,thesystemmistakenlyidentifiedBlackpeopleas pornographic.Thishighlightstheimportanceofcarefullyselectingtrainingdataasbiased trainingdata,oftenchosenbypredominantlywhiteteams,ledtotheseissues.451 Additionally, theNationalInstituteofStandardsandTechnologytestsfoundthat“facialrecognition technologygenerallyperformsbetteronlighter-skinmenandworseondarker-skinwomen,and doesnotperformaswellonchildrenandelderlyadults.”Thesediscrepanciesinidentification systemscanleadtoamorefrequentmisidentificationforspecificdemographics,suchas individualsfrommarginalizedracialorethnicbackgrounds.Theymaybemorelikelytobe falselyflaggedasshoplifterswhentheirimagesarecomparedtoadatabaseofknownoffenders. Thisisbecausethealgorithmmaynotaccuratelyrecognizefeatures,suchasdarkerskin,as mentionedprior,commontothesegroups,leadingtobiasedoutcomes.Thesemisidentifications wouldonlyreinforcesystemicinjustice,resultingindisproportionatefalseaccusationsof criminalactivityagainstoppressedgroups,whichmayescalatetowrongfularrestsor confrontationswithlawenforcementandanincreaseininstancesofpolicebrutality.

RacialBiasinSoftwareAcrossDiverseFields

Biasinsoftwaresystemscontinuesbeyondthegovernmentlevel.Insomestates,facial recognitionreducesfraudwhenprocessingunemploymentbenefits.Applicantsmustupload verificationdocumentation,includingaphoto.Theirimagesarematchedagainstadatabaseto verifytheiridentity.Thissystemisinherentlyflawed.MutaleNkonde,founderofAIForthe

451 GAO "FacialRecognitionTechnology:AgenciesShouldStrengthenPoliciesandProceduresforTestingand EvaluatingTechnology"US GovernmentAccountabilityOffice,ReportGAO-20-522,2020 https://www.gao.gov/products/gao-20-522.

People,states,“CommercialfacialrecognitiontechnologiesusedbyAmazon,IBM,and Microsoftare40%inaccuratewhenidentifyingBlackpeople.”ThiswillonlyleadtoBlack individualsbeingaccused,moreoftenthantheirwhitecounterparts,ofattemptingtocommit fraudastheyaremorecommonlymisidentified,whichcouldresultinpotentialcriminalization. Flawed,racistsoftwareisalsoseeninriskassessmenttoolsusedexplicitlybyonlinelendersto determinetheirratesforloanapplicants.452 A2019studybyUCBerkeleyresearchersfoundthat mortgagealgorithmsshowthesamebiastowardBlackandLatinoborrowersashumanloan officers.Itfoundthatbiascostspeopleofcoloruptohalfabilliondollarsmoreininterestevery yearthanwhiteapplicants.Thisbiasonlyperpetuatessystemicfinancialinequalitiesand exacerbatesdiscriminationthatbarsthesepopulationsfromeconomicopportunities,reinforcing raciststructuressuchasredlining.HomeownershiphasbeenahistoricobstacleforBlackand Latinoindividuals,andthesedigitalelementsonlyfurtherbarthemfrombreakingfrom generationalpoverty

CombattingTechno-Racism

Toproperlytacklebiasinsoftwaredevelopments,it’simperativetounderstandthattech developersdonothavetoberacisttoprograminherentlyracistsystems.453 Societalnorms, personalbeliefs,andstereotypesareallfactorsthatcontributeto“theinitialplanninganddesign tothetestinganddeployment.”454 Biascanformfromthepresenceofracismandtheabsenceof diverserepresentationandinclusion.Whendevelopmentteamsfailtoreflectthediversityof theirusers,thereisalackofconsiderationofcertainneedsandperspectives.Ifateamof

452 Berkley "MortgageAlgorithmsPerpetuateRacialBiasinLending,StudyFinds" UC Berkeley News,November 13,2018.https://news.berkeley.edu/2018/11/13/mortgage-algorithms-perpetuate-racial-bias-in-lending-study-finds/.

453 Nagarro "BreakingBarriers:UnveilingHiddenBiasesinSoftwareDevelopment" Nagarro Blog,2020 https://www.nagarro.com/en/blog/breaking-barriers-unveiling-hidden-biases-in-software-development#:~:text=In%2 0order%20to%20address%20and,algorithms%20used%20in%20software%20development

454 Nagarro "BreakingBarriers:UnveilingHiddenBiasesinSoftwareDevelopment" Nagarro Blog,2020 https://wwwnagarrocom/en/blog/breaking-barriers-unveiling-hidden-biases-in-software-development#:~:text=In%2 0order%20to%20address%20and,algorithms%20used%20in%20software%20development

developersispredominantlywhite,forexample,theymayinadvertently“prioritizefeaturesor designsthatalignwiththeirownexperiences,inadvertentlyexcludingothers,”suchas developerscodingAIassistantslikeSirionlytodetectstereotypicallywhitecharacteristics.455 Developerswhoarepredominantlywhitemayunconsciouslydesignthesesystemstoprioritize featuresthatarefamiliartothem.Aspectssuchasvoices,accents,andspeechpatternsare common Theirdemographicgroupbecomesuniversaldespitethisbeingfarfromthecase.Thiscanresult inAIassistantsthatstruggletoaccuratelyunderstandorrespondtoindividualswithdifferent accents,dialects,orspeechpatterns,includingthoseofBlackpeople,peoplewithnon-native Englishspeakers,orpeoplewithregionalaccents.Thisoversightdisproportionatelyaffects marginalizedcommunities,whomayexperiencefrustrationwhenthetechnologyconsistently failstorecognizetheircommandsorrequests.Advocatingforpoliciesandregulationsisaway tokeepbiasintechnologyaccountablewithininstitutions.Byestablishinglegalframeworksthat requirediversityandinclusionintechnologicalindustriesandgovernment,wecanprovide safeguardsagainstdiscriminatorypracticesandensureeachuserfromallbackgroundsismet.

Conclusion

Asartificialintelligenceandsoftwaredevelopmentadvances,racialbiasinalgorithms becomesincreasinglyprevalent.Thesebiasesareeasytooverlookastheyreflecttheinherent racial,ethnic,gender,etc,perpetuatedbyoutdatedsocietalnorms,stereotypes,andthelackof diverserepresentationinthedevelopmentprocess.Fromfacialrecognitiontechnologyusedby lawenforcementtoflawedriskassessmenttoolsandfacialrecognitioninunemploymentbenefit processing,theimplicationsofbiasedalgorithmsareseeninvariousinstitutions.They

455 Nagarro "BreakingBarriers:UnveilingHiddenBiasesinSoftwareDevelopment" Nagarro Blog,2020 https://wwwnagarrocom/en/blog/breaking-barriers-unveiling-hidden-biases-in-software-development#:~:text=In%2 0order%20to%20address%20and,algorithms%20used%20in%20software%20development

disproportionatelyaffectmarginalizedgroups,leadingtounjustoutcomessuchaswrongful accusations,increasedpolicebrutality,andfinancial,specificallyhousing,discrimination.While developersoftendonotexplicitlyprojectinternalizedbiasesintotheirprograms,itresultsfroma lackofdiversityintechteams,asdevelopersnotrepresentativeofthecommunitiestheir productsservemayfailtoconsiderorunderstandtheneedsofminoritygroups.Topreventthe spreadoffurtheroppressioninthesegroups,Congressneedstoestablishuniversalguidelines thatpromotefairness,transparency,andaccountabilitywithinthetechindustry.Ifcorporations andgovernmentsweretofosterdiversityineveryaspectofsoftwaredevelopment,itwould begintominimizebiasandfostertrulyequitablespaces.

ALEGALVOID:EXPANDINGFRAMEWORKSTOPROTECT

CLIMATE-DISPLACEDPOPULATIONS

WRITTENBYVERAAHLUWALIA|EDITEDBYDEVPATEL

Introduction:ClimateRefugeesinaLegalLimbo

Climatechangeposesanescalatingglobalchallenge,displacingmillionsofpeople annually.Despitetheirgrowingnumbers,“climaterefugees”lackrecognitionunder internationallaw,leavingthemvulnerableandunprotected.However,the1951Refugee Convention,acornerstoneofrefugeeprotection,excludesthosefleeingclimate-induced displacement.Expandingthe1951RefugeeConventiontoincludeclimate-induced displacementandadoptingbindinginternationalresolutionsiscriticaltoaddressingthiscrisis. Acomprehensiveapproachcombininginternationalanddomesticlegalframeworkscanbridge existinggaps,protectvulnerablepopulations,andadvanceclimatejusticeglobally.

TheClimateCrisisandMigration

ThehumanpopulationhasundoubtedlyaffectedtheclimateofEarth.Therehasbeena riseintheEarth’saveragesurfacetemperaturebyabout1.2degreesCelsiusabovepre-industrial levelssincethen,whichmightseemsmallbutmeansasignificantincreaseinaccumulated heat.456 Thisincreaseintemperatureisdrivingregional andseasonaltemperatureextremes, reducingsnowcoverandseaice,heavyrainfall,andchanginghabitatranges.457Therapidly meltingArcticiceandrisingsealevelsincreasetheriskofviolentfloods,extremetemperatures, 457 “ArcticIceMeltIsChangingOceanCurrents–ClimateChange:VitalSignsofthePlanet.”2020.Climate Change https://climatenasagov/news/2950/arctic-ice-melt-is-changing-ocean-currents/ 456 Lindsey,Rebecca,andLuAnnDahlman 2024 “ClimateChange:GlobalTemperature|NOAAClimategov” Climategov https://wwwclimategov/news-features/understanding-climate/climate-change-global-temperature

234 andunstableweatherplansthatimpactfoodproductionandincreaseseverenaturaldisasterslike storms,droughts,heatwaves,hurricanes,andfloodsthatdamagecommunitiesandglobal ecosystems.

Onesignificantconsequenceoftheseclimateimpactsistheriseofclimate refugees—“peoplewhomustleavetheirhomesandcommunitiesbecauseoftheeffectsof climatechangeandglobalwarming.”In2022,theU.N.reportedthatthepercentageofrefugees fromareasatriskduetoclimatechangehadincreasedfrom61%in2010to84%in2022.458By 2050,theclimatecrisiscoulddisplacemorethan200millionpeople.4

Formany,migrationisagradualprocess,beginningwithinternaldisplacement withintheirhomecountry,knownas“stepwisemigration.”459Migrationcanbeexpensive, andthemajorityaffectedarelower-incomeandlacktheresourcestomove.Thus,themost commonresponsetoenvironmentalstressisnottomovefarawayimmediatelybutfirsttoa nearbylocationwithintheirnation,likealargertownorcity.460However,migrationtonearby urbancentersorregionsdoesnotofferlong-termsolutions.Eventually,theywillhaveto crossinternationalborders.Thisiswhyitiscrucialnowmorethanevertohelpcreatelegal frameworksforclimaterefugeesastheirnumbersincrease.

CurrentLegalFrameworksandTheirLimitations

Despitetheincreasingscaleofclimate-induceddisplacement,thereisnolegal precedentforhowdisplacedpeoplemaymigrateinternationally.The1951RefugeeConvention

458 “EnvironmentalRefugee.”2024.NationalGeographicEducation. https://educationnationalgeographicorg/resource/environmental-refugee/

459 Paul,AnjuM 2011 “StepwiseInternationalMigration:AMultistageMigrationPatternFortheAspiring Migrant” American Journal of Sociology 116,no 6(May):2092

460 “The‘inconvenienttruth’offuturemixedmigration:Climatechange,mobility,andlegalvoids”2020 Mixed MigrationCentre.https://perma.cc/4GPZ-94ER.

andthe1967ProtocolRelatingtotheStatusofRefugeesaretheonlybindinginternational treatiesthatdefinethelegalstatusofrefugeesandaddresstheirrights.Theconventiondefines arefugeeas“aperson,whoowingtoawell-foundedfearofbeingpersecutedforreasonsof race,religion,nationality,membershipofaparticularsocialgroup,orpoliticalopinion,is outsidethecountryofhisnationalityandisunableor,owingtosuchfearisunwillingtoavail himselfoftheprotectionofthatcountry.”461Thus,the1951Convention’sdefinitionofa refugeeexcludesthosedisplacedbyenvironmentalfactors.Furthermore,climaterefugeesare excludedfromtheprotectionunderthecoreprincipleofthe1951Convention, non-refoulement.Theprincipleassertsthat“NoContractingStateshallexpelorreturna refugeeinanymannerwhatsoevertothefrontiersofterritorieswherehislifeorfreedomwould bethreatenedonaccountofhisrace,religion,nationality,membershipofaparticularsocial group,orpoliticalopinion.”Sinceclimatechangeisnotrecognizedasabasisforpersecution undertheConvention,climaterefugeescanbereturnedtoanenvironmentallyvulnerableplace.

ThelandmarkcaseofTeitorav.NewZealandin2020exposedthelimitationsofthe1951 Conventionregardingclimate-induceddisplacement.462In2013,IoaneTietoita,acitizenof Kiribati—acentralPacificIslandnationatriskoflosingitslandbecauseofrisingsea levels—appliedforrefugeestatusinNewZealand,arguingthatclimatechange'seffectson Kiribatiareforcinghimandothercitizensofftheisland.TheNewZealandSupremeCourt foundthathedidnotqualifyforrefugeestatusunderthe1951Conventionbecausehewasnot subjectedtopersecution.In2016,TeitoitafiledacommunicationwiththeUNHumanRights 462 “IoaneTeitiotav TheChiefExecutiveoftheMinistryofBusiness,InnovationandEmployment”2015 Climate CaseChart. https://climatecasechart.com/non-us-case/ioane-teitiota-v-the-chief-executive-of-the-ministry-of-business-innovatio n 461 UNHCR 1951 “ConventionandProtocolRelatingtotheStatusofRefugees”UNHCR https://www.unhcr.org/sites/default/files/legacy-pdf/3b66c2aa10.pdf.

Committee,claimingthatNewZealandviolatedhisrighttolifebyforcinghimtoreturnto Kiribati.Noviolationwasfoundastherewasno“imminentthreat”tohislife.However,the Committeeacknowledgedthat“theeffectsofclimatechangeinreceivingstatesmayexpose individualstoviolatingtheirrights...,therebytriggeringthenon-refoulementobligationsof states.”Thisdecisionmarkedasignificantstepinrecognizingthehumanrightsimplicationsof climatechange,asitrecognizedthatnationshaveanon-refoulementobligationprohibitingthem fromreturningindividualstoacountrywhereclimatechangecoulddeprivethemofthe“rightto life.”Italsoarguesthattheslow-onseteffectsofclimatechange—likerisingsealevels, desertification,andlanddegradation—mustbeconsideredwhenevaluatingrefugeeclaims. However,theCommitteealsoemphasizedthatTeitiota'srisksmustbepersonalandimmediate. Therulinglimitedtheprotectionofclimaterefugeesbysettingahighbarfor“imminent harm”andfocusingonpersonalrisksratherthanbroaderenvironmentalconditions.Itwas emphasizedthatTeitota’srisksmustbepersonalandnotduetogeneralconditionsinKiribati likeovercrowdingorviolence.However,thisapproachoverlooksthatclimatechangeoften amplifiesexistingsocietalproblems—likeovercrowdingandviolence—creating interconnectedthreatstovulnerablecommunities.Thedecisionmakesitsignificantlyharder forsuchcommunitiestomeettheprotectionstandardsundercurrentframeworksbyfailingto accountforthisrelationship.

Expandingthe1951RefugeeConvention

Expandingthe1951RefugeeConventionisthemosteffectivesteptowardintegrating climate-induceddisplacementintointernationallaw.Thiswouldcreateaninternationallegal frameworkforaidingclimaterefugeesandencouragenationstodevelopcomplementary domesticlegalframeworks.LegalscholarCaitlanM.Sussmanhighlightstwoexisting

regionalagreementsthatoffermodelsforthisexpansion.463The1969ConventionGoverning theSpecificAspectsofRefugeeProblemsinAfrica(OAUConvention)protectsindividuals displacedby “eventsseriouslydisturbingpublicorder,”whilethe1984CartagenaDeclarationonRefugees includesthosewhose“lives,security,orfreedomhavebeenthreatenedby…other circumstanceswhichhaveseriouslydisturbedpublicorder.”Theseagreementsbroadenthe scopeofrefugeeprotections,allowingindividualsdisplacedbyslow-onsetclimateeffects—like famineexacerbatedbyclimatechange—toqualifyforprotection.Notably,theOAU Convention’sdefinitionofarefugeeallowsthoseinternallydisplacedtobeeligibleforrefugee status,addressingtherealityofstepwisemigration.Adoptingasimilardefinitioninthe1951 RefugeeConventionwouldsignificantlystrengthenprotectionsforclimate-displaced individuals.

Anotherwaytoexpandthe1951RefugeeConventionistoleverageexistingregional organizations—liketheAfricanUnionandtheAssociationforSoutheastAsianNations—to addressclimate-relateddisplacement,aslegalscholarAngelaWilliamsargued.464These organizationsarewell-positionedtoprovidelocalizedsolutionsduetotheirunderstandingof regionaldynamics.TheycouldbehostedundertheUnitedNationsFrameworkConvention onClimateChange(UNFCCC)tocreateasystemthatensuresclimatemigrantsworldwide areprotectedbyactionplanstailoredspecificallytotheirregion.

TheRoleofDomesticLegalFrameworks

463 Sussman,CaitlanM.2023.“AGlobalMigrationFrameworkUnderWater:HowCantheInternational CommunityProtectClimateRefugees?” Chicago Journal of International Law 2,no 1(Winter) https://cjiluchicagoedu/online-archive/global-migration-framework-under-water-how-can-international-communit y-protect

464 WILLIAMS,A.(2008),TurningtheTide:RecognizingClimateChangeRefugeesinInternationalLaw.Law& Policy,30:502-529 https://doiorg/101111/j1467-9930200800290x

Domesticsolutionswillalsobevitalinprotectingclimaterefugees,astheycanbemore efficientthaninternationalsolutions.Forexample,climatehumanitarianvisasallownationsto setcriteriaforgrantingprotectiontoindividualsdisplacedbyclimatechange.Suchprograms enablehostcountriestorespondquicklyandeffectivelytospecificmigrationneedswithout waitingforinternationalconsensus.However,thisapproachhasitslimitations,aseachnation establishesitscriteria,leadingtoinconsistentdefinitionsofwhoqualifiesasaclimate refugee.NewZealand’sattemptatenactingthissolutionin2018highlightsthepotentialand challengesindomesticsolutions.NewZealandcreatedaclimaterefugeevisaprogramfor PacificIslandersdisplacedbytheeffectsofclimatechange.However,theprogramwasscrapped after6monthsbecauseofonecrucialreason—thePacificIslandersdidn'twantthevisas. Instead,theycalledontheNewZealandgovernmenttoreduceemissions,supportadoption efforts,andprovidelegalmigrationpathwaysbeforegrantingaformoflegallyprotectedstatus. Therefore,climatehumanitarianvisasonlyworkwhenthepeopleaffectedbyclimatechange cooperate.Despitethesechallenges,establishingdomesticframeworksremainsessentialas climatechangeworsens.Nationsmustprepareforthepossibilitythatvulnerablepopulations maystillneedtomigrateevenwithrobustmitigationefforts.

Conclusion:TowardsaGlobalConsensus

Amultidisciplinaryapproachisessentialtocreatingasystemthatupholdstherightsof displacedpopulationsinthefaceofescalatingclimatecrises.Notonlywillgovernments, multilateralinstitutions,andNGOsbecriticalinaddressingclimate-inducedmigration,butalso activistsinensuringthatthisissueisaddressedandbroughttotheglobalstage.Bybridging legalandpolicygapsbyexpandingthe1951Conventionanddomesticframeworks,the internationalcommunitycanupholdhumanrights,ensureclimatejustice,andprevent

climate-inducedmigration.

THEREGULATIONOFTHETECHINDUSTRYANDTHEINABILITYTODOSO

WRITTENBYDEVPATEL|EDITEDBYMEGHANAMADHAV

ModernTech

BusinessregulationhasbeenacornerstoneofAmericanlawandgovernmentsincethe nation'sinception.ItisclearlystatedinArt.1Sec.8Cl.3oftheconstitution:“[TheCongress shallhavePower]ToregulateCommercewithforeignNations,andamongtheseveralStates, andwiththeIndianTribes.”ThisresponsibilityhasbeeninterpretedincountlessSupremeCourt opinions,chieflythelandmarkMarshallcase, Gibbons v. Ogden.The Ogden decisionexplicitly outlinesthatthroughthelegislature'spower,thegovernmenthastherightandresponsibilityto regulatebusinessandcommercewithintheUnitedStatesandanybusinessactivitiesinvolving theUS.Americanlawandgovernancehavebeenregulatingbusinesspracticestoprevent monopolisticbehaviorthatcouldenablecorporationstoamassconcentratedeconomicpower, leadingtounfairpricing,stifledinnovation,andrestrictedconsumerchoice.Theframers believedsuchpracticeswouldunderminethefoundationofafreemarketandindividualliberty thattheysoughttoestablishinthenewnation.465 Inrecentyears,thispowerhasbeendelegated toasuiteofexecutiveagencies,namelytheFederalTradeCommissionandtheSecuritiesand ExchangeCommission,withenforcementarmsintheDepartmentofJustice.Thispaperwill explorethefutureofcorporateregulationintheUSA'snewestprimaryindustry,technology

Themoderntechnologyindustrywasbornwiththecreationoftheinternetinthelate80s andtheemergenceofcompanieslikeAppleandMicrosoft.Theindustrycontinuestoexperience exponentialgrowth,starklycontrastingthedeclineseeninmanyothersectorsacrosstheUnited States.Thisrapidexpansionandconstantinnovationandtransformationhavecreatedan 465Winkler,Adam.2018.WetheCorporations:HowAmericanBusinessesWonTheirCivilRights.Firstedition. NewYork,NY:LiverightPublishingCorporation,aDivisionofWW Norton&Company

increasinglycomplexenvironmentforregulatorstoanticipateandeffectivelymanage.The industryhasalsofundamentallyalteredlifefromconsumerismcommunicationtohuman psychology.Technologyhasfounditswayintoeveryhumanlifeyetremainslargelyunregulated, leavingthelargestandmostinfluentialAmericanindustrytoitsoftendisastrousdevices.The mostsignificantcontributortothisparadoxisthatthereisnounderlyingregulationof“Big Tech”duetoaggressivelobbyingbytheindustryandpoliticaldesiresthatoutweightheneedfor regulation.Thatsaid,individualstateshavesteppedintofillthislackofoversightbythefederal governmentandbeguntoregulatethecompaniesthathavelongenjoyedfreereign.

OntheInabilitytoRegulate:

Regulationofcompaniesandindustriesisaccomplishedinmanyways,butalmostallof thesemethodsaredoneattheprerogativeofCongress.Congresssetsthelegislationand resolutionsthatempowerregulatorstogoaftercorporationsformalfeasanceandthestandards thattheseregulatorsusetojudgecompanyaction.Thus,itisCongress'sinactionthatresultsin thelackofregulationofthetechnologyindustry,andthecausesofthisinactionmustbe determined.466 TherearetwosignificantreasonswhyCongresshasyettoinstitutestricterrules onthetechindustry:theprevalenceoflobbyingandpervasivepressurefrompolitical-economic factors.

LobbyingisadivisivetopicinAmericanpolitics.Still,itcanbroadlybedefinedaswhen agroupseekstoinfluencetheactionsofpoliticiansviapersonalconnectionsorlegaltransferof monetaryfundsatthepromiseorthreatofspecificactions.Lobbyingispervasiveinthedaily conductofCongress,andthetechindustryhasdonatedvastsumsofmoneytocongresspeople,

466 CenterforAmericanProgress,"CongressMustTakeMoreStepsonTechnologyRegulationBeforeItIsToo Late," Center for American Progress,lastmodifiedApril4,2023,

makingthemlobbyistswithstronginfluenceinbothparties.In2020,theindustryspentabout $106.2million,morethandoublethe$47.1millionitgavein2018andnearlythreetimesthe $37.7millionin2016contributions.467 Mostofthisspendingisconcentratedontheleft,as Democratstraditionallyfavorcorporateregulation.Republicansaremoreswayedbyother factors,suchasforeignpolicyandeconomicgrowth.

ThesecorporatedollarsarespreadacrossmanyPACs,privatedonors,andfundingfor lobbyingagencies,allofwhichfunnelintothepocketsofpoliticiansasawaytoswaythem,if nottowardsderegulationandsupport,butmoretowardsaneutralnon-action.Non-actioniskey, asit’sthespacewheretheindustrythrives,enoughbasiclaborandworkplacesafetyregulations, asarepresentinallindustries,toappearmoral,andnoindustry-specificregulationstostunt growthandprofit.Theseprofitsarenotinsignificanteither;theindustrybroughtina record-breaking1.5trillionsector-wide,withmediansalariesaveraging90,000.468

Ontheotherhand,political-economicpressurescanbeunderstoodasthreewaysthetech industryinfluencesCongresswithoutdirectlylobbying.Thisideaissubstantiallylessformal thanlobbyingandmoreofacaseofrealistpolitics,inwhichtheunregulatednatureofthetech industrybenefitsCongress'spopularityandpoliticalaspirations.Onesuchexampleissocial media,asectorofthetechindustrythatisthemostpublic-facinganddivisive.Socialmediahas overturnedeverythinginpolitics,andit'sclearwhy.Supposepoliticianswanttogainormaintain amajoroffice.Inthatcase,theymustbesuccessfulonsocialmedia,whichputsalargeamount ofpowerintothehandsoftechexecutiveswhorunorareinvestedinsocialmediacompanies.It

467 OpenSecrets,"Industries:Computer&Internet," OpenSecrets,accessedNovember8,2024, https://wwwopensecretsorg/industries/indus?ind=B13

468 ForbesAdvisor,"TechIndustryStatisticsandFacts:Overview," Forbes Advisor,lastmodifiedSeptember5, 2023,https://www.forbes.com/advisor/education/it-and-tech/tech-industry-statistics-and-facts/.

isreasonabletoassumethatcongressionalrepresentativesareinclinedtoretainbroadfavorwith theindustrysothattheydon’tchangeorinterferewiththeirpoliticalprospects.

Furthermore,thisinterferenceisentirelylegalduetotheunregulatednatureofsocial media,whichmanyagreecouldbeconsideredaconflictofinterest.Socialmediahadbecomea potenttoolforpoliticianstouseandabusefortheirends,evenbroadsocialchange,asseenin 2016,whenTrumpandtheRepublicanpartyeffectivelyusedsocialmediatoswingtraditional democratsandnon-votersovertohisconservativepopulistcoalition.Trump’saggressiveusage ofsocialmediawasfacilitatedbytheinattentiveapproachtakenbyregulatorsinenforcing contentmoderation,allowinghimtospreadmisinformationandinflamehisbase.469

Anothernotableexampleofeconomic-politicalpressuresistheeconomicvalueofan unregulatedtechindustry.Thetechindustrymade,inprofit,1.5trilliondollarslastyearand makesup10%oftheUSeconomy 470 ThesectorisproliferatingandissettobecometheUS’s premierindustrywithinthenextfewyearsdueinparttoitsmostlyunregulatednature.471 The techindustryisalsoaprimarydriverofoveralleconomicgrowth,thankstohighsalariesandthe developmentofsupportindustries,suchashowGoogleisrebuildingthenuclearenergysectorto meetthepowerneedsofitsdatacenters.This,coupledwiththecurrentdeclineoftheAmerican economy,isasubstantialreasonforCongresstoavoidregulations,lesttheycauseamarket shock,astheydidwhenthedot-combubblepopped.Therecessionbroughtaboutbythebubble waspartlyduetomarketexpectationsbeingshatteredbyanunexpectedratehikebytheFederal Reserveandasignalbycongressionalleadersthattheywouldmovetoregulatetheburgeoning 471 ForbesAdvisor,"TechIndustryStatisticsandFacts:Overview," Forbes Advisor,lastmodifiedSeptember5, 2023,https://wwwforbescom/advisor/education/it-and-tech/tech-industry-statistics-and-facts/ 470 Statista,"TechGDPasaPercentofTotalGDPinLeadingStatesintheUS from2017to2022," Statista, accessedNovember8,2024, https://wwwstatistacom/statistics/1239480/united-states-leading-states-by-tech-contribution-to-gross469 CentreforEconomicPolicyResearch,"HowTwitterAffectedthe2016PresidentialElection,"VoxEU,last modifiedOctober15,2018,https://ceprorg/voxeu/columns/how-twitter-affected-2016-presidential-election

techindustrytopreventanotherbubble.Allthistosay,thegovernmentisnotinclinedtoregulate techforasuiteofreasons,butastheindustryhasgrownanddiversified,aneedforregulation hasbecomeundeniable.Thisiswherethestatesstepinastheybegintoasserttheirregulations ontheboomingtechindustry,andperhapsthereisroomforthefederalgovernmenttoinvolve itselfinregulation.

ATemplateFromtheStates:

StateshavealwaysmaintainedacertainlevelofregulatorypowerintheUS.Generally, statescanregulateanythingexplicitlygrantedtothemoranythingnotexplicitlyregulatedbythe federalgovernmentwithintheirborders.Sincethefederalgovernmenthastakensucha hands-offapproachtoregulatingthetechindustry,thisgivesthestatesacertainamountofpower tostepin,oftensettingregulationsthatrippleoutthroughtheindustry.That’sthefascinating thingabouttech:itissointerconnectedthatonestatecansetspecificrulesblanketedalloverthe nation—forexample,California,thehomeofmanytechcompaniesandtheeponymousSilicon Valley.

Sincetheearly2000s,Californiahasbeentheleaderintechregulation;mostrecently,it hasmadegreatstridesindataprivacyandprotection.In2018,CaliforniapassedtheCalifornia ConsumerPrivacyAct(CCPA),whichprotectspeople’srighttoknowaboutthepersonal informationabusinesscollectsaboutthemandhowitisusedandshared;therighttodelete personalinformationcollectedfromthem;therighttoopt-outofthesaleorsharingoftheir personalinformation.472 InNovember2020,CaliforniavotersapprovedProposition24,the CPRA,whichamendedtheCCPAandaddednewprivacyprotectionsthatbeganonJanuary1,

472 CaliforniaOfficeoftheAttorneyGeneral."CaliforniaConsumerPrivacyAct(CCPA)."AccessedNovember29, 2024 https://oagcagov/privacy/ccpa

2023.AsofJanuary1,2023,consumershavenewrightsinadditiontothoseabove,suchasthe righttocorrectinaccuratepersonalinformationthatabusinesshasaboutthemandtherightto limittheuseanddisclosureofsensitivepersonalinformationcollectedaboutthem.473

Californiaisleadingthefighttoregulatewhatbigtechcompaniescanandcan’tdowith ourdata,andtheeffectsoftheiractionsarenotlocalizedbutarefeltalloverthecountry.This “Californiaeffect”isduetothestate'smassivemarketandinternaleconomy;itisoftencheaper fortechcompaniestocomplywithCalifornialawonanationalandevenaninternationallevel thantocutoutCaliforniaormakeseparatewaysofservingcustomers.Wehaveseenthisinthe recentpastinotherways;forexample,in National Pork v. Ross, theSupremeCourtuphelda similar“CaliforniaEffect”withporkhealthregulationsandresultedintheporkindustry adoptingthenewhigherhealthstandardsonanationallevel.474

Thequestionthenbecomes,whycanstatesimplementthisregulation,andwhycanthe federalgovernmentnot?Simplyput,itcomesfromthenatureofstatesasgenerallypolitically homogeneous,eveniftheyarenot.IntheUS,thereareonlytentrulycompetitivestates,with moststatesbeingsolidlyoneparty,whichallowsforacertaineaseinpassingpolicy.Whenlocal legislatorshave“safeseats,”theyareinsulatedfrompressurestheirfederalcounterpartsface, allowingthemtopassthepoliciestheywishtopass.Althoughthissystemisflawedandhas resultedinaverylopsidednationalrepresentation,itdoeshavebenefitswhenaddressinglocal policyconcerns,especiallywhenthereisademandfromthevotingbase.

473 CaliforniaOfficeoftheAttorneyGeneral "CaliforniaConsumerPrivacyAct(CCPA)"AccessedNovember29, 2024 https://oagcagov/privacy/ccpa

474 Vox "SupremeCourtSideswithCaliforniainNationalPorkProducersCase"LastmodifiedMay11, 2023.https://www.vox.com/politics/2023/5/11/23719825/supreme-court-pigs-california-national-pork-producers-ros s-neil-gorsuch

AsAmericamovesintoanewagewithAIandanevengreaterpartisandividein government,whichimpactshoweasilythelegislationcanbeimplemented,stateswilllikelylead thechargeinregulation.Eveniftheenforcementofitislimitedtotheirbordersandpeople,the effectsofitwillbefeltnationallythroughsignalingeffectsandmarketcapture.However,such similareffectsrequirestatestobemajordriversoftheeconomyorbandtogethertoform economicblocks.Forexample,stateslikeCaliforniaandNewYorkcanplacesuchregulations duetotheirmassiveeconomicfootprint,especiallyintechandtech-adjacentindustries.In contrast,stateslikeNewJerseyandNevadacannot.Inabroaderrange,however,statescan -bandtogether,asseenbyAlabama,Alaska,Colorado,Connecticut,Florida,andmanymore, whichhavealsoinstitutedlawsthatprohibitorseverelylimitthepublicationanddistributionof deepfakesandAI-generatedAIgeneratedimages.475

Inrecentyears,deepfakesandotherformsofAI-generatedmisinformationhave proliferatedonsocialmedia,becomingasignificantsourceofrevenueforcertaincompanies. Theyhaverunrampantonsocialmediathesepastfewyears.Theyarealsoamajordriverof profitsforspecificcompanies,likeOpenAIandMeta,whetherdirectlythroughtheircreationor bytheattentiongarneredonsocialmedia.Thissignificantlegislativemovehasstalledin Congressmultipletimesassocialmediacompaniesgeneratelargeamountsofengagementfrom poststhatusethem.Aspreviouslystated,socialmediacompanieslobbythetechindustry,often advocatingforinaction.Theblockedpassageofbillshasslowedorattheleastmadethe productionanddistributionofdeepfakesmoretransparent,makingitmoredifficulttopassthem alongasfactsonline.

475 NationalConferenceofStateLegislatures."ArtificialIntelligence2024Legislation."AccessedNovember29, 2024 https://wwwncslorg/technology-and-communication/artificial-intelligence-2024-legislation

AIwillbeasignificantkeytowardsadvancementsinthefuture,butunchecked innovationleadstochaos.StateswillneedtostepintocombattheilleffectsofAIontheir citizens.Withenoughblocks,therecouldbesignificantshiftsintheusageofAI,hopefullyina directionthatbenefitsmostpeople.AIcanpotentiallydoirreparableharm,whetherinhiring, management,education,etc.AImustberegulated,andthereisnodesireforsuchregulationon thefederallevel.

WhatShouldBeDoneNow:

Sowhatcanbedone,andwhatcanthefederalgovernmentmimicorlearnfromthe states?Thefederalgovernmentcouldreexamineitsforeignpolicygoalstostart.Eversince 2009,therehasbeenatrendinAmericanpoliticstowardsfavoringdomesticindustryand supportingthegrowthofnewindustries,mainlysothatsuchanindustrydoesnotgrowstronger abroad.Thiseconomic-politicalpressurewasdiscussedbrieflyinsectionone,buttocircleback andseewherethisisgoing,lookatelectricvehicles.Themostsuccessfulelectricvehicle companyisTesla,anAmericancompanyfoundedinSiliconValleyatthedawnofthemodern techindustry.Teslaisanindustryleader,inpart,becauseofmassivegovernmentsubsidiesit receivedwhenitbegantogaintractionafterthe2009crash.476 AsChinesecompetitorsstartedto rise,thegovernmenthittheChineseEv’swithanear100%tariffoncars,25%onbatteries,and 50%onsolarcells,doublingthecostofthosevehiclesandgivingasignificantboontoAmerican EVproducers,especiallyTesla.477

476 Clifford,Catherine "MuskEmbracesTrumpandScornsSubsidies,butTeslaStillLobbiesforUS Benefits" CNBC LastmodifiedAugust12, 2024 https://wwwcnbccom/2024/08/12/musk-embraces-trump-and-scorns-subsidies-but-tesla-still-lobbies-for-us-b enefitshtml

477 UtilityDive "BidenIncreasesTariffsonChinatoBolsterEVBatteryandSemiconductorIndustries"Accessed November29, 2024 https://wwwutilitydivecom/news/joe-biden-china-tariff-hikes-ev-battery-semiconductor-final/727014/

Howcanthefederalgovernment’sfavoritismbeturnedtowardsregulationwithoutlosing thiscompetitiveedgewithindustryabroad?Thesimpleanswerisconditionalsubsidies,toforce companiestoworkinthebestinterestsofconsumerswhilestillobtainingthesubsidiesandtax cutstheyrelyon.Thismayseemextreme,buttheUSalreadydoesthiswithfarmersbypaying farmerstoproduce,ornottomake,acertainnumberofcropsortypeofcrops,andeventonot plantcertainacreage.478 TheseconditionalsubsidiesareanestablishedpartofAmerican economics,sowhycan’ttheybeextendedtothetechindustry?Whynotrequiredataprivacy lawsinsocialmediainexchangeforgrantsorcopyrightprotectionfromAI,subsidies,and governmentcontractsfordevelopment?Thiswouldmaintainthedomesticindustriesandallow themtocontinueinnovatingandalignthemwiththeregulatorygoalsthatfavorthepeople.

Thefederalgovernmentcouldalsolookintotakingananti-truststanceinpolicymaking, asithasbeguntodoagainstAmazonandGoogle.Manyindividualcompaniesinthetech industryhavestartedtodominatetheirsectorandbranchoutintoothers.Forexample,Amazon hasdominatedonlinesales,at40%ofallsales,6timesitsclosestcompetition,allwhile branchingoutintoentertainment,productmanufacturing,AI,andsomuchmore.479 Amazonhas itshandinsomanyindustriesanddominatesitsowntoapointwhereitcanmuscleout competitionand,assuch,hactinsuchawaythatisnotbeneficialtotheconsumers,asanyone whohasseentheballooningpricesforshippingandotherservicescansay.Ifthegovernment takesactionandbreaksupAmazon,itcouldrecreateacompetitiveenvironmentthatisbestfor consumers,notcompanies.

Conclusion

478 InternationalMonetaryFund "Article:EconomicImplicationsofGlobalTradePolicies"IMFeLibrary AccessedNovember29,2024 https://wwwelibraryimforg/view/journals/068/2024/002/article-A001-enxml

479 eMarketer."AmazonWillSurpass40%ofU.S.E-CommerceSalesThisYear."AccessedNovember29,2024. https://wwwemarketercom/content/amazon-will-surpass-40-of-us-ecommerce-sales-this-year

Thisisalladmittedlyhighlyspeculative;onecanneverknowtheinnerthoughtsand motivationsof535,butsuchideasmustbeconsideredassocietyfacesanewageof technologicaladvancement.AIishere,andwhoknowswhatwillcomeafterit?Thegovernment mustbewillingtoprotectthepeoplefromthegrowingpainsthatalwayscomewithsuch advancement.Thestateshavedoneanadmirablejob,whilethegovernmenthasbeeninactiveon thisissue,andit’sthankstothemthatthepeoplehavesomeprotection.Thissystemis unsustainableinthelongrun.Ifnothingisdone,itwillinevitablyunravel,orthestatusquoisa tickingtimebomb.Ifleftunaddressed,itscollapseisonlyamatteroftime.

THEEVOLVINGLEGALFRAMEWORKFORINSIDERTRADING:

EXAMININGTHEEXPANSIONOFLIABILITY

WRITTENBYANUJH.CHAUHAN|EDITEDBYAWAKHIWENDLOVU

Introduction

i. Overview

480 Ita,Dara-Abasi 2024 “WhatIsInsiderTradingandWhenIsItLegal?”Investopedia 2024 https://wwwinvestopediacom/terms/i/insidertradingasp

Fordecades,insidertradinghaspromptedtheattentionoflegalscholars,regulators,and marketparticipantsduetoitsimplicationsoninvestortrust,marketfairness,andeconomic stability.Broadlydefinedas“thepracticeofbuyingorsellingacompany’ssecuritiesby individualswhopossessmaterial,nonpublicinformationaboutthatcompany,”itisatthecoreof equitablemarketconduct.480 Whilepreventinginsidertradingseemsstraightforward,itslegal frameworkiscomplex,delvingintotheories,doctrines,andjudicialinterpretations.Assuch,the expansionofliability,thosethatcanbechargedwithinsidertrading,fromitsoriginsinthe Securities Exchange Act of 1934 tomoderninterpretationswithtechnologicalandfinancial instruments,hasrevolutionizedthisareaoflaw,makingitfarmorecomplexthanever.Whilethe actaimedtocurbcorporatemisconduct,thelegalframeworkthathasemergedfromlandmark caseslike Chiarella v. United States and United States v. O’Hagan hasextendedliabilitytothose misappropriatinginformation.TheSupremeCourtheldthatanindividualwhomisappropriated confidentialinformationforsecuritiestradingviolatesSection10(b)andRule10b-5,evenifthey owenofiduciarydutytothecompanywhosestocktheytrade,furtherbroadeningthedefinition ofwhocanbeheldaccountableforinsidertrading.481 Sincetheinceptionofthe Securities Exchange Act of 1934,theliabilityforinsidertradinghasevolved,nowincorporatingclassical 481 “UnitedStatesv.O’Hagan,117S.Ct.2199,138L.Ed.2d724(1997).”2024.Cornell.edu.2024. https://wwwlawcornelledu/supct/html/96-842ZOhtml

andmisappropriationtheories.Theclassicaltheoryfocusesontherelationshipbetweenthe insiderandthecorporation,whilethemisappropriationtheoryextendsliabilitytothosewho misappropriateinformationfromtheiremployers.Thesetheories,alongwithtipper-tippee liability,whereaninsider(tipper)sharesmaterialnon-publicinformation(MNPI)toanoutsider (tippee)totradesecuritieshavesignificantlyshapedtheevolutionofinsidertradinglaws.482

ii. Significance of Insider Trading Laws in Modern Financial Markets

Insidertradinglawsarefoundationaltomaintaining integritywithinthefinancial markets.Theyensureeveryoneisgivenanequalopportunitytotradebasedonpubliclyavailable information.Theselawsaremainlyenforcedtothoseinthefinancialservicesindustrytoensure markettransparencyandfosterinvestorconfidence.Whileinsidertradinghasitsethical implications,itcanalsohaveaneconomicimpact,wheremarketsfrequentlyaffectedbyinsider tradingarepronetoinvestorskepticism,resultinginreducedparticipationandliquidity.Asa result,thiscanweakentheoveralleconomyasfewerindividualsarewillingtoinvestandmay perceivethestockmarketasanunfairsystem.Withinvestmentinthemarket,someproductsand companiesmaybeabletoexpandorgrow,resortingtoothercompaniestotakeonmoregrowth. Thus,regulatorybodiesliketheSecuritiesExchangeCommission(SEC)andtheDepartmentof Justice(DOJ)mustadoptanaggressiveapproachtocombattheintegrityoffinancialmarkets.

ExpansionofLiabilityUndertheClassicalandMisappropriationTheories

iii. The Classical Theory

Theclassicaltheorystemsfromaformofinsidertradingwhereacorporateinsider commitssecuritiesfraudinviolationofRule10b-5bytradingtheircorporation’ssecuritiesbased

482 Hayes,Adam 2022 “MisappropriationTheory:WhatItIs,HowItWorks,Example”Investopedia 2022 https://www.investopedia.com/terms/m/misappropriation theory.asp#:~:text=The%20classical%20theory%20 targets%20a,outsider%20who%20receives%20nonpublic%20information

onmaterialnon-publicinformation.483 Individualsemployedatpubliclytradedcompaniestendto havegreaterinsightintohowtheircompanyreactstothemarketbasedonmanagement,financial decisions,andgrowthefforts.Asaresult,theseindividualshavegreaterexposuretothemarket’s reactiontotheircompanybasedoninformationnotavailabletothegeneralpublic.Theclassical theoryalsorequiresthosetradinginsideinformationtohaveafiduciaryduty,meaninga corporatedirectorcannottradeoninsideinformationastheymustdisclosesuchinformation.As fiduciaries,theyareentrustedwiththeprivilegedinformationtheyareexpectedtokeepprivate. However,ifthisisbreachedforpersonalbenefit,thentheyaretohavecommittedsecurities fraud.

Alandmarkcasepivotalindefiningclassicaltheoryis Chiarella v. United States (1980), wheretheSupremeCourtestablishedthatonlyindividualswithafiduciaryrelationshipwith shareholderscouldbeliableforinsidertrading.484 Thiscreatedanarrowscopeofliability, limitingthisapplicationsolelytoinsiderswithdirectcorporateroles.Throughouttheyears, courtshaverecognizedthatthisscopefailedtoaddressindividualswhoreceivedMNPIsthrough indirectrelationships.Thus,theclassicaltheory’slimitationsoutlinedtheneedtobroaden liabilitytofindthosewhomayexploitaccesstoMNPIwithoutadirectinsiderposition,which laterresultedintheestablishmentofthemisappropriationtheory

iv. The Misappropriation Theory

Themisappropriationtheorywasintroducedtoaddressthegapsintheclassicalapproach, thusexpandingliabilitybeyondtraditionalcorporateinsiders.Forinstance,themisappropriation theoryextendsliability“toapersonwhoisnotaninsideratacompanyandprohibitsthese

483 “ClassicalTheoryofInsiderTrading”2016 LII/LegalInformationInstitute 2016 https://wwwlawcornelledu/wex/classical theory of insider trading#: :text=The%20 classical%20theory%20of%20insider,%20material%20non%2Dpublic%20information.

484 "Chiarellav UnitedStates"Oyez AccessedNovember8,2024 https://wwwoyezorg/cases/1979/78-1202

corporateoutsidersfromtradingbasedonMNPIobtainedinbreachofadutyowedtothe sourceoftheinformation.”485 Therefore,thistheoryappliestoindividualswhoviolatetheduty ofloyaltytothesourceoftheinformationforpersonalgain.Theexpansionofthe misappropriationtheorywaspivotalin United States v. O’Hagan (1997), wheretheSupreme CourtheldthatanindividualwhoobtainedandusedMNPIthroughdeceit,eveniftheyoweno fiduciarydutytotheshareholders,canstillbeheldliableforinsidertrading.Thiscourtcase broadenedtheclassicaltheoryanditsliabilitytocaptureanyonewhogainsaccesstoMNPI throughtrust,regardlessoftheirconnectiontothecompanywhosestockistraded,alsoknown asfraud-basedliability.Byapplyingthisconcept,thecourtseffectivelyclosedaloopholethat ensuredthosemanipulatingconfidentialinformationforpersonalgainwereheldaccountable. Themisappropriationtheoryfurtherreflectedthecourts’commitmenttopreservingmarket integrityandpenalizinganyassociationwiththebreachofMNPI.

TheRoleofRegulationFairDisclosureandRecentSECRules v. Overview of Regulation Fair Disclosure

RegulationFairDisclosure,alsoknownasRegulationFD,isaruleimplementedbythe SECin2000topreventselectivedisclosurebypubliccompaniestomarketprofessionalsand shareholders.486 ItaimstopromotefairnessbyensuringallinvestorshaveequalaccesstoMNPI bymandatingpubliccompaniestodisclosematerialinformationtoallinvestorssimultaneously ratherthansharingitseparatelywithanalystsandinvestors.Bythis,thegoalofRegulationFDis topreventasymmetrieswithinthemarketsonoinvestorfallstoadisadvantageorcompromises

485 “SECExtendstheMisappropriationTheoryofInsiderTradingbeyondTargetsofAcquisitionstoCompanies ‘EconomicallyLinked’toSuchTargets|White&CaseLLP”2021 Whitecasecom September9,2021 https://wwwwhitecasecom/insight-alert/sec-extends-misappropriation-theory-insider-trading-beyond-targets-acquisi tions

486 Segal,Troy.2024.“WhatIsDisclosure?HowItWorksandLawsonTransparency.”Investopedia.2024. https://wwwinvestopediacom/terms/d/disclosureasp

marketintegrity.Additionally,RegulationFDalsorequiredthatcompaniesconductingearnings callssimultaneouslyissueapressreleasetomakealltheinformationavailabletoeveryone.This wascriticalintheearly2000sasinvestorsdidnothavephonesandcomputersthatwould instantaneouslydownloadcompanies'financialreportsbutratherreliedongeneralforecastcalls andnewsoutlets.487 RegulationFDwasaframeworkthattheSECadoptedtoplayapivotalrole inlevelingtradingtransparencyandmarketfairnessandensuringthatallpartiesweretreated equally.

vi. Impact of Regulation FD Enforcement

RegulationFDhashighlightedtheimportanceoftheSECenforcinglawsagainst corporationsandredefiningcorporateliability.InSeptember2024,theSECchargedDraftKings Inc.,asportsbettingcompany,withselectivelydisclosingMNPIthroughtheCEO’ssocialmedia accountswithoutdisclosingthesameinformationtoallinvestors.488 CEOJasonRobinshad postedonhisXandLinkedInaccountthatthecompanywasexpecting“reallystronggrowth” beforepubliclyreleasingitssecond-quarterfinancialresults,thusmakingthisinformation materialandnonpublic.489 Additionally,sincethisinformationwaspostedundertheCEO’s personalaccounts,itledtoselectivedisclosure,thusinviolationofRegulationFD.This informationwasalsonotdisclosedtothepublicuntilaweeklaterwhenitwasannouncedin DraftKings’financialearnings.Asaresultofthisviolation,theSECrequiredDraftKingstopay $200,000asacivilpenalty.490 Thishighlightedthatcompaniesmustensurematerialinformation

487 “WalkerCallsforImprovedFederalFinancialReporting|TaxNotes”2017 Taxnotescom 2017 https://www.taxnotes.com/research/federal/other-documents/testimony-other-than-irs-and-treasury/walker-calls-for-i mproved-federal-financial-reporting/xdk7

490 tgc-feat-editor 2024 “DraftKings,SECSettleoverSelectiveDisclosureCharges-Today’sGeneralCounsel” Today’sGeneralCounsel-ServingIn-HouseCounselandCorporateExecutives.October15,2024. https://todaysgeneralcounselcom/draftkings-faces-sec-charges-for-selective-disclosure/ 489 “SECgov|SECChargesDraftKingswithSelectivelyDisclosingNonpublicInformationviaCEO’sSocialMedia Accounts”2024 Secgov 2024 https://wwwsecgov/newsroom/press-releases/2024-149 488 “SEC.gov|SECChargesDraftKingswithSelectivelyDisclosingNonpublicInformationviaCEO’sSocialMedia Accounts”2024 Secgov 2024 https://wwwsecgov/newsroom/press-releases/2024-149

isdisseminatedbroadlyandnon-exclusivelytoallinvestorssimultaneously.Ifcompaniesintend tousesocialmediaplatformsfordisclosures,theymustinforminvestorsinadvanceaboutwhich accountswillbeusedtoensurethereiscompliancewithRegulationFD.Withtechnology, employeesmustalsotakeextraprecautionstoensurethattheirsocialmediadoesnotreflectthe MNPIofthecompanyinwhichtheyareemployed.

InsiderTradingandNon-TraditionalContexts

vii. Tipper-Tippee

Liability

Theconceptoftipper-tippeeliabilitywasintroducedin Dirks v. SEC (1983), which establishedthe“personalbenefits”test,where“theinsiderreceivesadirectorindirectpersonal benefitfromthedisclosure”ormaterialnonpublicinformationatissue.491 Thetestdetermines whetheratipper’sdisclosureofMNPItoatippeeconstitutesabreachoffiduciaryduty.In Dirks, theSupremeCourtheldthatliabilityhingesonwhetherthetipperdisclosedtheinformationfor personalbenefit,includingtangible(moneyorgifts)andintangible(reputation).

Dirks waspivotalinlimitingliabilitytosituations wherethetipper’sintentalignswith self-servingmotives.ThecourtruledthatDirks,whoreceivedMNPIfromawhistleblower exposingfraud,didnotviolateinsidertradinglawsbecausethewhistleblowerdidnotgaina personalbenefitfromthedisclosure.Thus,thisdecisionclarifiedtheboundariesofliabilityand ensuredthatnoteveryrecipientofMNPIisatfault,balancingenforcementwithfairness.

viii. Expanding

Liability to Remote Tippees

Duetothebroadnessoftipper-tippeeliability,thelegalframeworkwasfurtherexpanded in Salman v. United States (2016), wheretheSupremeCourtaddressedtheextentofliabilityfor

491 Feder,Meir,HaroldKGordon,HenryKlehmIII,andEdwardPatrick 2016 “US SupremeCourtClarifies Standardsfor‘Tippee’InsiderTradingLiability”Jonesdaycom JonesDay December12,2016 https://www.jonesday.com/en/insights/2016/12/us-supreme-court-clarifies-standards-for-tippee-insider-trading-liabil ity

remotetippees.492 In Salman, theCourtreinforcedthatindirecttippees,thoseunaffiliatedwith theoriginaltipper,couldbeheldliableifthetippeeknewaboutthetipper’sbreachoffiduciary duty

In Salman, theCourtupheldtheconvictionofBassamSalman,whohadprofitedfrom MNPIandpasseddownachainoftippeesoriginatingfromthetipper’sfamilialrelationship.The Courtreinforcedthata“personcommitsinsidertradingwheretheyknowthatthepersonwho madethetipstandstobenefitfromdisclosinginsiderinformation,[and]apersonalbenefitmay beinferredwherethereisapersonalrelationshipinvolved,suchasonebetweenafamilyora friend.”.

493 Inthiscase,Salman’sdisclosuretoarelativewasdeemedtocarryanimplied personalbenefit,furthersatisfying Dirks’ standardastherulingconfirmedthatgifting informationtoarelativeissufficienttoestablishliability.However,thesecaseshavebecome moredifficulttoproveastherearevariousnetworkswheretippeescanreceiveinformation directlyorindirectly.Forinstance,tippeescanobtaininformationthroughdirectcommunication orbythosebreachingfiduciaryduty.Thus,ProfessorGitaSharmaatRutgersUniversity indicatedthat“thegovernmenthasahighburdentoshowthelinkbetweentheoriginalinsiderin receivingabenefitforpassingtheinformationdownthelinetoatippeewhomustknowthe tipper’sintentionsandpersonalbenefit”.494 Despite,theSEC’sstringentregulationassociated withtipper-tippeeliability,ProfessorSharmawritesthatthegovernmentmustprovethatthe tipperreceivedpersonalbenefitfromthetippee’sknowledge,whichinvolvesmeticulous prosecutionandextensiveduediligencefromthegovernment.Nonetheless,thiscase

492 “SUPREMECOURToftheUNITEDSTATES”2016 https://wwwsupremecourtgov/opinions/16pdf/15-628 m6hopdf

493 "Salmanv UnitedStates"Oyez AccessedDecember1,2024 https://wwwoyezorg/cases/2016/15-628

494 ThispaperwasreviewedbyGitaSharma GitaSharmaisaProfessorinBusinessLawatRutgersBusiness School-NewBrunswick Shespecializesandteachesbusinesslawandisanexperiencedattorneyintheareasof ERISA/employeebenefits,tax,andemploymentlaw

underscoredtheSEC’scommitmenttoaddressinginsidertradinginanon-traditionalcontext wherethenetworkofinformationcanextendliabilitytoremotetippees.

ix. Implications for Insider Trading Liability

Theprecedentestablishedby Dirks and Salman emphasizestheevolvingnatureofinsider tradingenforcement,wherecourtsneedtobalancetheneedtodeterunfairpracticeswhile protectingindividualsfromundueliability.Byrefiningthe“personalbenefit”standardand addressingtheliabilityofremotetippees,thesecasesguidethenon-traditionalcontextsofinsider trading.

Conclusion

Theevolutionofinsidertradinglawsandtheirliability hasbeenfundamentallyshapedby thedevelopmentoflegaltheories,suchastheclassicalandmisappropriationtheoriesandthe conceptoftipper-tippeeliability.Theselegalframeworkshaveexpandedovertimetoadaptto thecomplexitiesofthemodelfinancialmarket,wherematerialnonpublicinformationisno longerconfinedtocorporateinsidersandprofessionals,butalsoextendstoremotetippeesand thosethatcanprofitfromsuchmaterialinformation.

Theclassicaltheorytraditionallyfocusedonindividualswithfiduciarydutiesto shareholders,thusensuringtheseindividualswereheldaccountablefordirectinsideraccess. However,asthescopeofinsidertradingevolved,themisappropriationtheoryfurtherextended thisliabilitytoanyonewhomisusedconfidentialinformationinbreachoffiduciaryduty,evenif theindividualdidnothaveadirectrelationshipwiththecorporation.

Similarly,tipper-tippeeliabilityclarifiedtheparametersofthoseresponsiblefortrading onMNPI,asdemonstratedin Dirks v. SEC and Salman v. United States. Theintroductionofthe “personalbenefit”testin Dirks andtheexpansionofliabilitytoremotetippeesin Salman truly

demonstratetheevolvingnatureofthelawsregardinginsidertrading,especiallyintoday’s highlyinterconnectedfinancialmarket.

HUMANTRAFFICKINGANDINTERNATIONALLAW:

ADVOCACYFORAVICTIM-CENTEREDAPPROACH

WRITTENBYPAULINAD’AGOSTINO|EDITEDBYSAMKLEPPER

Introduction.

i. Human Trafficking

Anestimated49.5millionpeople,12millionofthembeingchildren,arevictimsof humantraffickingworldwide,495 makingitoneofthemostwidespreadhumanrightsviolations. Avictim-centeredapproachisa“systematicfocusontheneedsandconcernsofvictimsto ensurethecompassionateandsensitivedeliveryofservicesinanon-judgmentalmanner.”496 A victim-centeredapproachprioritizesthevictim’sneeds,support,andsafety:victimsshouldknow andunderstandtheirrights,andalltaskforcemembersmustensurevictimsreceiveservicesto rebuildtheirlives.497 Themostprevalentapproachusedinsteadisreferredtoasa“criminal justiceapproach,”whichfocusesontheprosecutionandpunishmentoftraffickers,often neglectingtheneedsandprotectionofthevictim.498 Whilesomearguethatprosecutingthe perpetratorsisthebestformofjustice,thevictim-centeredapproachfocusesonensuringthe victim’swell-being.Victimsarecaredforthroughouttheentirejourneytojusticeandarenot prosecutedforcrimestheywerecoercedintodoing.Abalancebetweenacriminaljusticeand

495 PostedbyOURRescue,“HumanTraffickingStatisticsandFactsin2024,”OURRescue,September11,2024, https://ourrescue.org/education/research-and-trends/human-trafficking-statistics.

496 SarahLoughry,“AVictim-CenteredApproachtotheSexualAssaultInvestigationProcess,”PremiereEducation, May11,2023, https://wwwpremierececom/blog/a-victim-centered-approach-to-the-sexual-assault-investigation-process/#:~:text= A%20victim%2Dcentered%20approach%20is,victim%20are%20the%20top%20priority.

497 OfficeofJusticePrograms,“HumanTraffickingTaskForceE-Guide,”OVCTTAC:OfficeforVictimsofCrime Training&TechnicalAssistanceCenter,2024, https://wwwovcttacgov/taskforceguide/eguide/5-building-strong-cases/51-victim-centered-investigations/#:~:text=I n%20many%20human%20trafficking%20cases,and%20wishes%20of%20the%20victim

498 SabaDemeke,“AHumanRights-BasedApproachforEffectiveCriminalJusticeResponsetoHumanTrafficking -JournalofInternationalHumanitarianAction,”SpringerOpen,January27,2024, https://jhumanitarianaction.springeropen.com/articles/10.1186/s41018-023-00143-4#:~:text=According%20to%20th e%20criminal%20law,the%20perpetrators%20(Amiel%202006)

victim-centeredapproachcancomplementoneanotherbyensuringthatwhiletraffickersareheld accountablefortheiractions,victimsareprovidedwiththenecessarysupportandprotectionsto healandrebuildtheirlives,ultimatelyallowingthesystemtopunishperpetratorsandempower survivors.Humantraffickingisanegregiouscrime,doneforprofitandaviolationof fundamentalhumanrights.Itinvolvescoercingapersontoperformcommercialsexacts,labor, orservices,andoften,thiscoercioniseitherphysical,psychological,orboth.Individualsare usuallyluredinbystrangersorcloseindividualstheyoncetrusted.CertainareasinSouthAsia, suchascountrieslikeNepalandIndia,aresomeofthebusiesthumantraffickingspheresinthe world.Womenandgirlsfromruralareasareoftenpromisedworkandlatertraffickedtourban areasandendupinforcedprostitution.EffortstocombathumantraffickinginNepalhave includedattemptingtorescuevictimsattheborders.Still,itisestimatedthat11,000to13,000 womenandunderagegirlsareunwillinglyforcedtoworkinbrothelsintheseareas,wherethe moneygoestotheperpetrator.499

Internationallawplaysavitalroleincombatinghumantrafficking.Whileitisprovento haveseveralshortcomingswithinitscurrentlegalframeworks,itwouldbenaivetoignoreits successes.KeyglobaltreatiesinthefightincludetheUnitedNationsConventionagainst TransnationalOrganizedCrimeanditsrelatedprotocols.500 Despiteadvancementsin internationallawsandpolicies,humantraffickingisstillasignificantissuethatisdangerousto theworldbecauseitdisruptsthestabilityofcommunities,underminestheruleoflaw,andisa violationofourfundamentalhumanrightsanddignity.Accordingly,severalinternational agreementsexisttocombathumantrafficking.501 However,ininternationalhumanrightslaw,

499 AlJazeera,“SpiritMeAway:TheWomenandGirlsLosttoTraffickinginNepal,”AlJazeera,March8,2020, https://wwwaljazeeracom/gallery/2020/3/8/spirit-me-away-the-women-and-girls-lost-to-trafficking-in-nepal/

500 US DepartmentofJustice,“WhatIsHumanTrafficking?,”HumanTrafficking,June26,2023, https://www.justice.gov/humantrafficking/what-is-human-trafficking.

501 UNGeneralAssembly,“UnitedNationsConventionagainstTransnationalOrganizedCrime,”UnitedNations: OfficeonDrugsandCrime,2000,https://wwwunodcorg/unodc/en/organized-crime/intro/UNTOChtml

victims'rightsandprotectionsareoftenhardlyacknowledgedbecausethemainfocusisusually onprosecutingtheperpetrators.Internationallawandhumanrightsframeworksareessentialin addressinghumantrafficking,yettheeffectivenessofanti-traffickingpoliciesissignificantly enhancedwhenvictims'supportisprioritized.Whiletherearechallengesthatexistwitha victim-centeredapproach,theneedforpoliciesthatadvocateforcomprehensiveprotectionfor victimsandhumanrights-focusedjudicialresponsesisvitalinbothpreventingre-victimization andpromotinglong-termrecoveryforsurvivorsofhumantrafficking.Internationallawhasmade severalstridesincombatinghumantrafficking,butthereisanurgentneedtoutilizeconsistent victim-centeredapproachesininternationallegalframeworkstoensurejusticeandhealingfor survivorswhilereinforcingthelegitimacyofinternationallawinprotectingallhumanrights.

PrioritizingtheVictim

ii. Defining a Victim-Centered Approach

Prioritizingvictimsensuresthattheyarenotrevictimizedandfurtherhurtbythesystem meanttoprotectthem.Thisapproachallowsvictimstofeelempowered,acknowledgestheir autonomy,andgivesthemtherighttomakeallfurtherdecisionsabouttheirlives.A victim-centeredapproachprioritizesavictim'srights,needs,andwell-being,offeringguidance andresourcessothevictimisinformedandhasoptionstomoveforward.Unliketraditional criminaljusticeresponses,whichoftenfocusonpunishingperpetrators,thisapproachistailored tothesurvivor’sneeds.Thismightbeexceptionalsupportforachildoranunderstandingof culturalsensitivitieswhenassistingaspecificvictim.

Victimsoftheheinouscrimeofhumantraffickingarecoercedintolabororsexual exploitationandstrippedoftheirautonomyanddignity.Inmostcases,victimsareputonthe standintrialandhavetorelivetheirtraumawithoutreceivinganykindofassistancebeforeor

after.502 Internationalhumanrightsframeworks,suchasthePalermoProtocol,providesimple foundationsforavictim-basedapproach,suchasestablishingthatvictimsshouldnotbetreated ascriminals;victimsmustreceivelegal,mental,medical,andsocialsupportandencouragement tobecompensatedfortheirexpensesasaresultofsuffering.

Acoreelementofthevictim-basedapproachisensuringthatthevictimsarenottreated asoffenders,whichissupportedunderthePalermoProtocol.Ininstanceswherewomenare forcedintoprostitution,theymaybearrestedandchargedforprostitution-relatedoffenses,even thoughtheyarethevictims.Incasessuchasthese,internationallawcomesintoplayandinsists thatstatesnotprosecutethesepeopleforactscommittedasaresultofbeinghumantrafficked. Anothervitalvictim-centeredapproachisassuringthatvictimscanfullyparticipateinthewhole legalprocessagainsttraffickers,meaningthatvictimsshouldhavetheabilityandmeansto testifyintrialsandbeinvolvedincriminalproceedingsagainsttraffickerswithoutfearof discriminationorretribution.

iii. International Frameworks

TheUnitedNationsConventionagainstTransnationalOrganizedCrimeanditsrelated threeprotocolsformvitallegalframeworksthatincorporatevictim-centeredpracticesinthefight againsthumantrafficking.Thesethreeprotocolseachfocusondifferentareas.Accordingly,the threeprotocolsincludetheProtocoltoPrevent,Suppress,andPunishTraffickinginPersons, especiallyWomenandChildren,whichwasadoptedin2003.503 Itintendstofacilitateunityin nationalapproachestosupportcooperationandprosecutingtraffickinginpersons.Oneofthe protocol'skeygoalsistoassistandprotectthevictimsoftraffickingwhilerespectingtheir

502 LaraMullin,“EmphasizingaVictim-CenteredApproachinHumanTraffickingProsecutions,”NationalInstitute ofJustice,2020, https://nijojpgov/topics/articles/emphasizing-victim-centered-approach-human-trafficking-prosecutions

503 UNGeneralAssembly,“UnitedNationsConventionagainstTransnationalOrganizedCrime,”UnitedNations: OfficeonDrugsandCrime,2000,https://www.unodc.org/unodc/en/organized-crime/intro/UNTOC.html.

humanrights.ThefollowingprotocolisTheProtocolAgainsttheSmugglingofMigrantsby Land,Sea,andAir,adoptedin2004,whichaddressestheorganizedcrimeofsmuggling vulnerablemigrants.Itwasoneofthefirsttimesadefinitionofsmugglingmigrantswasdefined andagreedupon.Likewise,theProtocolagainstIllicitManufacturingofandTraffickingin Firearmswasadoptedin2001,promotingandgrowingcooperationamongstatestocombatand preventthemanufacturingof“traffickinginfirearms.”504 Similarly,theUnitedNations ConventionAgainstTransnationalOrganizedCrime(2000)stressedtheimportanceofhuman rights-basedapproacheswhenacknowledginghumantraffickingvictims,specificallyvictim protectionandsupportservices.505 Followingthis,thedefinitionofthePalermoHuman TraffickingProtocolcametolight.

WhileThePalermoProtocol,ortheUnitedNationsProtocoltoPrevent,Suppress,and PunishTraffickinginPersons(2000),providescriticallegalframeworks,itisinsufficientonits owntoaddresseveryvictim'sneeds.Notwithstanding,theagreement’sinitialintentionswereto combathumantraffickingsufficiently.506 Thereisaneedtotrainworkerstocareforvictims correctlyandefficientlyandfurtherdiscussiontoeducatepeopleonhowtodealwithvictimsof trafficking.Article6oftheProtocolemphasizestheprotectionofsurvivorsofhumantrafficking andrequiresstatestotakemeasurestoensurevictims'futuresecurity,assistance,andresidency Itisimportanttonotehowstateswereeagertoshieldtheirterritoryandlegalstructuresfrom Articles5and11oftheConventionagainstTransnationalOrganizedCrimeandArticle7ofthe

504 UNGeneralAssembly,“UnitedNationsConventionagainstTransnationalOrganizedCrime,”UnitedNations: OfficeonDrugsandCrime,2000,https://wwwunodcorg/unodc/en/organized-crime/intro/UNTOChtml

505 UNGeneralAssembly,“UnitedNationsConventionagainstTransnationalOrganizedCrime,”UnitedNations: OfficeonDrugsandCrime,2000,https://wwwunodcorg/unodc/en/organized-crime/intro/UNTOChtml

506 GeneralAssemblyresolution55/25,“ProtocoltoPrevent,SuppressandPunishTraffickinginPersonsEspecially WomenandChildren,SupplementingtheUnitedNationsConventionagainstTransnationalOrganizedCrime| OHCHR,”ProtocoltoPrevent,SuppressandPunishTraffickinginPersonsEspeciallyWomenandChildren, supplementingtheUnitedNationsConventionagainstTransnationalOrganizedCrime,November15,2000, https://www.ohchr.org/en/instruments-mechanisms/instruments/protocol-prevent-suppress-and-punish-trafficking-pe rsons

MigrantSmugglingProtocol.507 ThePalermoProtocolalsocallsformeasurestopreventthe criminalizationofvictims.Often,victimsoftraffickingareinadequatelytreated;thisprotocol makessuretheyaregettingtheproperandgentlecaretheyneedaftertheirtrauma.

Thus,severalshortcomingsoftheselegalframeworkshaveprovenunsuccessful,suchas lackofenforcement,discussion,andvictimsupportstructures.Notedthat“Althoughthevictim’s consentisirrelevantaccordingtothePalermoProtocol,manycountriesstillconsiderconsentan importantfactorindeterminingwhetherapersoninatraffickingsituationwastrafficked.”508 The protocollacksenforcementmechanismstoensurecountriesuniformlyapplyit.Therehasnot beenawaytoeliminatetraffickinginpersonsdespitetheUNHumanRightsOffice's commitmenttoresearchfurtherawarenessoftheissue.509 Similarly,traffickedpersonsareoften prosecutedunderoffensessuchasillegalimmigration,prostitution,orunlawfulwork.Asolution noted,“Insteadofmerelyprosecutingsextraffickersbasedontrafficking-relatedoffenses (throughthePalermoProtocol),suchasillegallysmugglingforeignersintothecountryor abusinghumanrightsofwomeninbrothelsorprostitutionhouses,prosecutorsshouldtryto convicttheperpetratorsforthetraffickingoffensesthemselves.”510 Victimsaresenttofacilities suchasjails,brokenimmigrationcenters,orshelters,oftenwithoutknowingwhattodonext.511

Evenlawenforcementnotesthat“byfocusingonvictims’needsandconcernsandnot criminalizingtheiractions…betterpreparethemtobreakthecycleofabuse,violence,and

507 YvonDandurandandJessicaJahn,TheFailingInternationalLegalFrameworkonMigrantSmugglingand HumanTrafficking,2020,https://linkspringercom/content/pdf/101007/978-3-319-63058-8 47pdf

508 ChristinaA.Seideman,“WhyItHasBeenIneffectiveinReducingHumanSexTrafficking,”ThePalermoPr palermoProtocol:WhyItHasBeenIneffocol:WhyItHasBeenIneffectiveinReducingeinReducing,2015, https://digitalcommons.pepperdine.edu/cgi/viewcontent.cgi?article=1152&context=globaltides.

509 UnitedNations,“WhatWeDotoEndHumanTrafficking|OHCHR,”OHCHR’sworkonanti-trafficking,2024, https://wwwohchrorg/en/trafficking-in-persons/what-we-do-end-human-trafficking

510 ChristinaA Seideman,“WhyItHasBeenIneffectiveinReducingHumanSexTrafficking,”ThePalermoPr palermoProtocol:WhyItHasBeenIneffocol:WhyItHasBeenIneffectiveinReducingeinReducing,2015, https://digitalcommonspepperdineedu/cgi/viewcontentcgi?article=1152&context=globaltides

511 Anne T Gallagher,ImprovingtheEffectivenessoftheInternationalLawofHumanTrafficking:AVisionforthe FutureoftheUSTraffickinginPersonsReports,2010, https://wwwresearchgatenet/publication/236141877 httplinkspringercomarticle101007s12040-013-0274-

manipulation.”512 Asacountrygainsaclearerunderstandingofhumantrafficking,itcanleadto therecognitionofavailableresourcesandtechnologiesthatcanbetterprovidecarefora traffickingsurvivor

Inhumantraffickinglaws,therehasbeenevidenceofcriminaljusticesystemsfailingto investigateandprosecutehumantraffickingeffectivelyandcorrectly.Asignificantissueis insufficienttraininginlawenforcement,whichcounteractsaidingtheeliminationoftrafficking networks.Acrossmanyjurisdictions,thereareissuesandinconsistenciesofneglectedcases, whichresultinhumantraffickingbeingunderreportedandrarelyeveninvestigated. Unfortunately,lawenforcementprovestobeineffectiveandinconsistentinthisrealm.Although thelegalframeworksputintoplacecanbeeffective,theshortcomingscallforabetter understandingoftheProtocolsandtheneedformorevitalcollaborationandcoordinationwith lawenforcement,judicialsystems,andsupportsystemstocombathumantraffickingand maintainafocusonvictims.AcrucialshortcomingofthePalermoProtocolisnotsufficiently prioritizingthevictims’needsandprotections,asnoted:“BecausethePalermoProtocolfocuses ontheact,method,andpurposeoftrafficking,itignoresthevictimsandinsteadfocusesonthe traffickers,”513 Withoutthis,humantraffickingmaycontinuetopersist,leavingseveralvictimsin prisonoruntreated.

iv. Why a Victim-Centered Approach

Avictim-centeredapproachensuresthevictimsfeelsafeandhavethepowertobeheard andhaveavoice.Thisapproachoffersawaytoengagewithvictimstoaddresstheirtraumaand

512 LarryAlvarez,MS,andJocelynCañas-Moreira,“AVictim-CenteredApproachtoSexTraffickingCases,”FBI, November9,2015,https://lebfbigov/articles/featured-articles/a-victim-centered-approach-to-sex-trafficking-cases

513 ChristinaA Seideman,“WhyItHasBeenIneffectiveinReducingHumanSexTrafficking,”ThePalermoPr palermoProtocol:WhyItHasBeenIneffocol:WhyItHasBeenIneffectiveinReducingeinReducing,2015, https://digitalcommonspepperdineedu/cgi/viewcontentcgi?article=1152&context=globaltides

ensureanempatheticdelivery.514 Withthatbeingsaid,trauma-informedsupportservicescan significantlyhelpvictimshealandrebuildtheirlives.Asforalong-termimpactonprevention, survivorswhoreceivepropersupportmaybecomeadvocatesforthemselvesandthengoonto empowersurvivorsbyensuringtheyhaveasolidandhopefulpathontheirhealingjourney.The term“trauma”canbe“anyexperiencethatthreatensaperson’slife,safety,orwell-being, overwhelmingtheabilitytocope.”515 Itcanbearesultofachainofevents,suchasbeingcoerced intohumantrafficking,whichcanprovidetraumaforasurvivor.Therefore,avictim-centered approachadvocatesforsurvivorswhohavelife-longtraumaandhelpsprovidethemwith resourcesandjusticebygettingthemappropriatecultural,psychiatric,physical,andadditional careneededtomoveforwardintheirlives.516

Applications

v.

A Victim-Centered Approach in Real Life

In2021,theGeneralAssemblyheldatwo-daymeetingontheUnitedNationsGlobal PlanofActiontoCombatTraffickinginPersons.RepresentativeRababFatima,inBangladesh, evaluatedthecomplexhistoryofhumantraffickingandaddressedthephenomenonthatrequires alternativelegalframeworks.Fatima’scommentsaboutsupportingvictimsandprosecuting traffickersarereferringtothePalermoProtocol;Fatimanoteshercounty’saccomplishmentsin helpingvictimsandprosecutingtraffickers.517 Similarly,RepresentativeAmeriahObaid

514

“AVictim-CentredApproach,”UNHCR,accessedNovember30,2024, https://wwwunhcrorg/what-we-do/how-we-work/tackling-sexual-exploitation-abuse-and-harassment/victim-centred -approach.

515 MELISSAM LABRIOLA,NASTASSIAREED,ANNAWHITEHEWITT,“RandProvidesObjectiveResearch ServicesandPublicPolicyAnalysis|Rand,”LiteratureReviewonaVictim-CenteredApproachtoCountering HumanTrafficking,2024,https://wwwrandorg/

516 MINNESOTADEPARTMENTOFPUBLICSAFETYOfficeofJusticePrograms,“BestPracticesGuidelines: CrimeVictimServices,”BestPracticesGuidelines:CrimeVictimServices,November2010, https://ovcojpgov/sites/g/files/xyckuh226/files/pubs/InnovativePractices/Practices Best%20practices%20guideline s-508pdf

517 UnitedNations,“CoordinatedApproachtoHumanTraffickingMustFeatureCutting-EdgeTools,Outpace Criminals,DelegatesStressasGeneralAssemblyConcludesHigh-LevelMeeting|MeetingsCoverageandPress Releases,”UnitedNations,November23,2021,https://pressunorg/en/2021/ga12388dochtm

MohamedObaidAlhefeiti,intheUnitedArabEmirates,said,“TheUnitedNationsPlanof ActiontoCombatTraffickinginPersonsisanimportanttooltounifyinternational efforts…Stressingthathercountryhasadoptedavictim-basedapproachandadoptedalaw criminalizingtraffickinginpersons,shesaiditisconstantlyupdatingitslegislationtoserve victims’interestsbest.”518 TheUnitedNationsPlanofActiontoCombatTraffickinginPersons issuccessfullylinkedtothesestories,especiallyforcombatingtraffickingbyprotectingvictims andenhancinginternationalcollaboration.

Additionally,theRoyalThaiGovernmenthasimplementedvictim-centeredapproaches, whichisalsoinlinewiththePalermoProtocolwhendealingwithhumantrafficking,and “remainscommittedtoadvancinginter-agencycollaboration”519 toprovideassistancefor survivorsofthisheinouscrimeandfocusonensuringvictims’safetyandrecovery.Providing protectionandshelterimprovessurvivors'well-being,creatingafoundationfortheir rehabilitationandlife.

“In2023,theGovernmentprovidedprotectionandassistanceto640victimsof traffickinginpersons,forcedlabororservices,270ofwhomstayedingovernment shelters,22inprivateshelters,and348outsideoftheshelters.”520

Toenhancetheeffectivenessoftheseefforts,Thailand,asof2023,hasprioritized trainingprosecutorsandtranslatorsonhowtoprotectvictimsthrougha“trauma-informedcare approach,”whichincludesacademicseminarsandworkshopseriesforjudgeswhenconsidering

520“RoyalThaiGovernment’sCountryReportonAnti-HumanTraffickingEfforts,”Thaianti-humantraffickingaction ,December31,2023, https://wwwthaianti-humantraffickingactionorg/Home/wp-content/uploads/2023/02/2022-Country-Reportpdf 519“RoyalThaiGovernment’sCountryReportonAnti-HumanTraffickingEfforts,”Thaianti-humantraffickingaction ,December31,2023, https://wwwthaianti-humantraffickingactionorg/Home/wp-content/uploads/2023/02/2022-Country-Reportpdf 518 UnitedNations,“CoordinatedApproachtoHumanTraffickingMustFeatureCutting-EdgeTools,Outpace Criminals,DelegatesStressasGeneralAssemblyConcludesHigh-LevelMeeting|MeetingsCoverageandPress Releases,”UnitedNations,November23,2021,https://pressunorg/en/2021/ga12388dochtm

proceduresforhumantraffickingcases.Workshopsandseminarsensurevictimsaretreatedwith empathyandunderstandingduringthelegalprocess.Asidefromthis,Thailandhasimplemented opendiscussiononalloftheguidelinesandcriteria,“particularlyregardingthetreatmentof victimsinhumantraffickingcases,”521 whendealingwithhumantraffickingcases.Whilethese practicesaresuccessful,theydonotaddresstherootcauseofhumantrafficking.Onthecontrary, thesuccessofthesemeasuresdependsoncontinuedfundingandinternationalcollaboration, whichisusuallylimited.Therefore,improvingsystematicissuesisessentialinachievingchange.

vi. Violation of International Human Rights

TheUniversalDeclarationofHumanRights(UDHR),adoptedbytheUnitedNations (UN)in1948,statesthateveryonehastherighttofreedom(Article3)andtherighttobefree fromslavery(Article4).Humantraffickingdirectlycontradictstheserights,asitisessentiallya formofmodern-dayslavery.522

TheSupremeCourtcase Nestlé USA, Inc. v. Do (2021),523 touchesonhumanrightsissues relatedtochildlaborandtrafficking.Thiscasehighlightstheparamountneedtoholdbig corporationsaccountableforsupplychainsandensureglobalcooperationincombatinghuman trafficking.TheplaintiffsinthiscasewereagroupofchildrenfromMaliwhoclaimedtobe traffickedandforcedintolaboroncocoafarmsintheIvoryCoast.Thequestioninthiscasewas whetherU.S.courtshavejurisdictionoverforeignhumanrightsviolationsundertheAlienTort Statute(ATS),whichallowsnon-U.S.citizenstobringlawsuitsinU.S.courtsforviolations underinternationallaws.Essentially,theplaintiffsarguedthatU.S.companieslikeNestlé,

521“RoyalThaiGovernment’sCountryReportonAnti-HumanTraffickingEfforts,”Thaianti-humantraffickingaction ,December31,2023, https://wwwthaianti-humantraffickingactionorg/Home/wp-content/uploads/2023/02/2022-Country-Reportpdf

522 Abouttraffickinginpersonsandhumanrights|ohchr,accessedDecember22,2024, https://wwwohchrorg/en/trafficking-in-persons/about-trafficking-persons-and-human-rights

523 “NestléUSA,Inc.v.Doe,593U.S. (2021),”JustiaLaw,2021, https://supremejustiacom/cases/federal/us/593/19-416/

throughsupplychains,werecomplicitinhumantrafficking.TheSupremeCourt’srulingwas crucialinlimitingtheabilitytosuecompaniesinU.S.courtsforhumanrightsviolationsthat happenoverseas;theverdictwasthattheplaintiff’scasecouldnotproceedundertheAlienTort Statute.However,thiscaseallowedforanunderstandingoftheconflictbetweenjurisdictional limitationsandtheintersectionofhumantraffickingininternationallaw.Theviolationofhuman rightsdepictstheneedformoreinternationalcooperationandaccountabilityfrombig businesses,likeNestlé,tocombattraffickingandrespectourfundamentalhumanrights.

Inanotherlight,aninterviewwithProfessorMichaelKenwickclarifiedtheeffectiveness ofcountries'humanrightslawsandhowsomecountriesareunwillingtoenforcesuchlawsat victims'hands.ProfessorKenwicknotes,“Thestrengthofhumanrightslawistypically proportionaltothatofdomesticjudiciariesprimarilyresponsibleforimplementingthoselaws.If judicialinstitutionslackthewillorthecapacitytoenforcehumanrightslaw,thentypically,the victimsofhumanrightsabusesarethosewhosuffer.Certainly,itisnolesstruewhenitcomesto humantrafficking.”524 Kenwickalsoexplainedhowwealthiercountriesdobetterthanpoorer countriesbecauseoftheirabilitytoenforcelawsandavailableresourcestoaidintrafficking. Thus,theremustbeawaytochannelempathyandcareforvictimsofhumanrightsviolations, especiallythosefromlessfortunatenations.

Conclusion

Humantraffickingisasignificantthreattoourworldandcontinuestodevastatelives everyday.Aconsistentvictim-centeredapproachcanprovidesurvivorswithapathtorecovery afterbeingtrafficked.Unlikestrictlytraditionalmethodsthatmayneglectthevictims’needs,the victim-centeredapproachfocusesonprotocolslikeprotectionandresidency,ensuringthe reliablesupporttheyneedfollowingtheirtraumaticexperiences.Thesurvivors’welfareshould

524 Interviewed:MichaelKenwick;AssistantProfessorinInternationalRelations,MethodsRutgersNewBrunswick

beprioritized,aimingtorehabilitatetheirphysicalandpsychologicalwell-being,helpingtoheal andguidethemtolifeaftertraumaticeventscausedbyhumantrafficking.

THEINTELLECTUALPROPERTYCLAUSEINTHECONTEXTOFGENERATIVE

ARTIFICIALINTELLIGENCE

WRITTENBYNATALIETOM |EDITEDBYAWAKHIWENDLOVU

Introduction

TheIntellectualProperty(IP)ClausegrantsCongressthepower“topromotetheprogress ofscienceandusefularts,bysecuringforlimitedtimestoauthorsandinventorstheexclusive righttotheirrespectivewritingsanddiscoveries,” 525 thusactingasthebasisforfederal copyrightandpatentsystems.ReferringtothelanguageoftheConstitution,theClausegrants exclusiverightsforbothcopyrightsandpatentsinthecontextofintellectualproperty:creations bornfromhumanthought.526 Fortheformer,Congressmaygrantexclusiverightsto“authors” overtheir“writings”;forthelatter,to“inventors”overtheir“discoveries”.TheFramersofthe ConstitutionadoptedtheIPClausebyfollowingarationalethatoutlinedapurposetostimulate artisticandtechnologicalinnovationbygrantingexclusiverightstoone’sintellectualproperty, therebyincentivizingthecreationofnewwork.Withoutsuchprotection,competitorswould profitfromcopiedcreations,andtheoriginalcreatorswouldlacktheincentivetocreate.527

Therefore,theIPClausehasprotectedoriginalhumanworksincetheConstitutionbecamethe nation’ssupremelaw,yetitseffectivenessandapplicabilitybecomeuncertainunderexamination byamodernlens.

Artificialintelligence(AI)isaprominentresearchfieldinmoderntechnological innovation.AgeneraltermproposedbyscholarsatDartmouthUniversityin1956asthestudyof machinesimulationofhumanintelligence,AIhassincebirthedaglobalscientificmovement.

525 US Constitution,Article1,Section8,Clause8

https://constitutioncongressgov/browse/essay/artI-S8-C8-1/ALDE 00013060/ 526 “IntellectualProperty”LegalInformationInstitute AccessedNovember9,2024 https://wwwlawcornelledu/wex/intellectual property

527 OverviewofCongress’spoweroverIntellectualProperty|ConstitutionAnnotated|congressgov|Libraryof Congress.AccessedNovember9,2024.

Sincetheendofthe20thcentury,researchershavelaunchedeffortstotraincomputerstolearn humanbehaviorsandaccuratelysimulatethem.ThequickgrowthofAIhasspurredlabor efficiency,reducedlaborcosts,andbroughtonrevolutionaryoutcomesfortechnological innovation.528 Transformativetoolssuchasmappingtechnologies,handwritingrecognitionfor mailservices,andsmartphonevoicerecognitionareintegratedheavilyintosociety.Further, advancesarebeingmadeinmedicine,education,publicwelfare,andotherfieldsthataimto improvesocialwell-being.529 Yet,thequestionarises–atwhatrisktohumanity?Inthecontextof IP,theFramersoftheConstitutionhadnotconsideredtheimplicationsofnon-humancreations northeprospectofgrantingrightsforartificiallygeneratedwork.Asalivingdocument,the Constitutionmustevolvetoaddressamodernsetofchallenges.Todeterminethescopeand breadthofsuchanamendmentintendedtoencompasstheissuespresentedbyAI,necessary questionsmustbeanswered.Overall, how must the framework of the IP Clause be amended to account for the legal implications of AI-generated creative content? To what extent does the IP Clause currently protect AI-generated work? Upon examination of the training methods for generative AI (genAI) tools, how much artificial work is human and thereby considered “intellectual property?” Examiningrelevantcaselaw,theintentoftheIPClauseaswrittenby theFramers,andthesciencebehindgenAItoolswillallowforamodernperspectiveon protectionsforintellectualproperty.IntreatingtheConstitutionasalivingdocument,examining themechanismsbehindgenAItoolsisnecessarytodeterminehowmuchtheIPClauseprotects AI-generatedcontent.Further,historicalcontextsupportsthattheFramersdidnotintendthe

528 Zhang,Caiming,andYangLu.“StudyonArtificialIntelligence:TheStateoftheArtandFutureProspects.” Journal of Industrial Information Integration 23(September2021):100224 https://doiorg/101016/jjii2021100224

529 US DepartmentofState AccessedNovember27,2024 https://wwwstategov/artificial-intelligence/#: :text=Artificial%20Intelligence%20and%20Society,%2C%20langua ge%20translation%2C%20and%20more.

Clausetoprotectnon-humanworks,therebynecessitatingevolutioninitsframeworktoaddress themodernthreatsposedbyAI.

i. The Challenge with Generative AI

GenAIisamachine-learningmodelthatistrainedondatatoproduce new outputsbased oninputs.530 WithadvancedmachinelearningmodelslikeChatGBTquicklygrowingalargeuser base,generativeAIhasdisruptedthetechnologylandscapebyreachingunprecedented capabilitiestogeneratecontentthatishardlydistinguishablefromthatofahuman.Thus,the traditionalgoalsofAIhaveshiftedfromdata-driventaskssuchaspredictiontonewlygenerated creativecontent.531 SuchashiftchallengestheframeworkoftheIPClause,asthequick developmentofadvancedAImodelsthreatenstheapplicabilityofIPlaws.TherightsofAIusers andcreatorsneedtobebetterdefined,andthenon-intentofcurrentIPlawstoregulate non-humanworkscreatesambiguity.Turningtocaselaw,multiplepartiesoccupyaroleinthe creativeprocessofgeneratingAIcontent.AIdevelopersaretaskedwithtrainingthemachinesto createsomeoutput,andtheoriginalcreatorsoftheinputsonwhichthesystemsaretrained inspirethenewcontent.532

ALookatCaseLaw

ii. Thaler v. Perlmutter (2023)

In Thaler v. Perlmutter,theCourtsetaprecedentbystrictlyinterpretingtheIPClauseto applytohumancreations.StephenThaler,theplaintiff,attemptedtoapplyforcopyright ownershipforanAI-generatedvisualwork(named“ARecentEntrancetoParadise”).TheU.S.

530 AdamZewe | MITNews “Explained:GenerativeAI”MITNews|MassachusettsInstituteofTechnology AccessedNovember9,2024.https://news.mit.edu/2023/explained-generative-ai-1109.

531 Banh,Leonardo,andGeroStrobel “GenerativeArtificialIntelligence” Electronic Markets 33,no 1(December 2023) https://doiorg/101007/s12525-023-00680-1

532 Hess,Sarah “TheEvolvingLandscapeofIPLawintheAgeofAi”ABCLegalServices AccessedNovember 8,2024

https://www.abclegal.com/blog/the-evolving-landscape-of-ip-law-in-the-age-of-ai#:~:text=Understanding%20IP%2 0Law%20and%20AI,exclusive%20rights%20to%20their%20creations

CopyrightOffice(USCO)rejectedtheapplicationbecausetheworklackedhumanauthorship. ThaleradmittedthatanAIalgorithmcreatedthe“CreativityMachine”workbutmaintainedthat heshouldbeeligibleforcopyrightownershipbecausehewasthemachine’sowner.Hefileda lawsuitagainsttheUSCO,andtheCourtupheldtheUSCO’srefusaltoregistertheAI-generated work,citingthatcopyrightlawonlyprotectshumancreations.533

In Thaler, theCourtexaminedthedefinitionof“author” asoutlinedbycopyrightlaw.It wassubsequentlyfoundthatthetermisnotdefinedclearlyintheIPClauseortheConstitution, anapparentshortcomingofexistingIPlaw.Thus,theCourtreliedondictionarydefinitionsof authorshipandhistoricalcontextframingtheConstitution,upholdingthedocument’spurpose wastoincentivize human creativityandinnovation.Theprominentlegalquestionin Thaler revolvedaroundthedecisionofwhetherornotaworkcreatedentirelybyAIwaseligiblefor copyrightprotection.GiventhatcopyrightlawdoesnotdefineauthorshipandtheCourt subsequentlyinterpretedtheClausetoapplystrictlytohumanwork,thequestionbecomes:cana workautonomouslycreatedbyAIbeconsideredaproductofhumancreationonthebasisthat themachinewasbornofthehumanmind?534

TheCourtassertedthat human creativityisfundamentalandnecessaryfor copyrightability,citing Burrow-Giles Lithographic v. Sarony toupholdthatonlyapersonmay seekcopyrightownership.In Burrow, theCourtfoundthatCongressmaygrantcopyright ownershiptothe“author,inventor,designer,orproprietorofaphotograph…sofarasthe photographisarepresentationoforiginalintellectualconceptions.”535 Thedecisionemphasized theposedandcreativenatureofthephotograph,assertingthatsuchanon-ordinaryphotograph

533 Thaler v Perlmutter,Case1:22-cv-01564-BAH(D.D.C.,Aug.18,2023).

534 Case review: Thaler V Perlmutter (2023) - center for art law CenterforArtLaw-Attheintersectionofvisual artsandthelaw (2023,December8) https://itsartlaworg/2023/12/11/case-summary-and-review-thaler-v-perlmutter/#post-61801-footnote-3

535 Burrow-GilesLithographicCompanyv Sarony,111US 53(1884)

embodiedthe“author”(here,thephotographer’s)ideas.Thespecificattributesofthepicture provedtotheCourtthatratherthanbeingamechanicalprocess,suchphotographywascreative andbornfromthehumanmind.536 Afterinvoking Burrow tosupportthedecisiontoexpandthe historicalunderstandingthathumancreativityisessentialtocopyrightability,theCourt acknowledgedtheunfamiliarandcomplexinquiriesthat Thaler required,including“thelevelof humaninvolvementrequiredtodesignateauserofanAIsystemasan‘author’ofacreated work,theextentofprotectiongrantedtotheresultingimage,methodstoevaluatetheoriginality ofAI-generatedworkstrainedonundisclosedpre-existingcontent,theoptimaluseofcopyright toencouragecreativityinvolvingAI,andotherrelatedissues.”537 Ultimately,theCourtdecided that Thaler didnotrequirefurtherexplorationintosuchquestions,onlyacknowledgingthe necessityofaskingthemwhileleavingthemunanswered.

iii. Getty Images (US), Inc. v. Stability AI, Inc. (2023)

Examinationoftheongoingcase Getty Images v. Stability AI providesafoundationfor thepaththatcaselawinvolvinggenAIwilltake.In Getty, theonlineimageproviderGetty ImagesfiledalawsuitagainstStabilityAI,acompanythatusedimagesfromGettytotrainitsAI model.538 GettyallegedthatStabilityAIhadbrazenly infringedupontheirIPrights“ona staggeringscale”bycopying“morethan12millionphotographsfromGettyImages’collection, alongwiththeassociatedcaptionsandmetadata,withoutpermissionfromorcompensationto GettyImages,aspartofitseffortstobuildacompetingbusiness,”539 (referringtoStabilityAI’s creationandofferingofamodel“StableDiffusion”andrevenue-generatinguserinterface “DreamStudio.”)540

536 111U.S.at60.

537 Case review: Thaler (2023)

538 Hess,“EvolvingLandscapeofIP”,ABCLegal.

539 Getty Images (US), Inc v Stability AI, Inc ,Case1:23-cv-00135-GBWat1(Feb 3,2023)

540 Getty v Stability, Case 1:23 at 3

Getty appearstoposeafewprimaryinquiries.HowwillIPbesafeguardedagainst AI-modeltraining,whichrequiresvastdataoftenscrapedfrompubliclyavailableInternet sources?Furthermore,giventhequicklyexpandingnatureofglobaltechnologycompaniesthat operatetoolsthatexistonlyinadigitalenvironment,howwilljurisdictionalchallengesbemet? Getty hadoriginallynamedStabilityAIInc.(located intheUnitedStates,referredtoas “StabilityUS”)initslawsuitbutlateramendedthecomplainttoincludeStabilityAI,Ltd. (referredtoas“StabilityUK”).StabilityAIarguedthattheallegedactionsbyGettytookplace outsideofDelaware,thattheDistrictofDelawarelackedjurisdictionoverStabilityUK,and requestedtohavethecasemovedtotheNorthernDistrictofCalifornia.Inthisjurisdiction,a classactionlawsuitispendingagainstStabilityAIwithsimilarallegations,andthecompany arguedthatgrantingthisrequestwouldavoidinconsistentjudgment.541

Regardlessofwhether Getty willbedismissedorbemovedtoanotherdistrict,Stability AI’srequestraisesuncertaintyregardingthejurisdictionofAI-relatedcases.StabilityAIand GettyImagesarecompaniesofmassivescalewithinternationaloperations,andtheirglobal naturecontributestoconfusionoverthejurisdictionunderwhichthecasemayproceed.Applied tofuturegenAI-relatedcases, Getty provesthatquestionsmayariseinearlyproceedings,such as:shouldthejurisdictionofsuchcasesbedeterminedbythelocationoftheallegedIP infringement,theoffendingordefendingcompany’sdomicile,orwheretheAI-generatedoutput isbeingused?With Getty remaininganongoingcase,suchinquirieshaveyettobeanswered. Yet,thecaserevealsthattheIPClausecontinuestolackclarificationgiventheglobaloperations oftechnologycompaniesandtheinternationaldistributionofAI-generatedoutputs,andfurther necessitatestheneedtoexaminethequestionofjurisdiction.Whenviewedwith Thaler, the 541

“GettyImagesv StabilityAi”BakerHostetler,September16,2024 https://www.bakerlaw.com/getty-images-v-stability-ai/.

extenttowhichtheframeworkoftheIPClausemustberevisedgrows. Thaler laysthe foundationfortheCourtstoconductanuancedexaminationofhumanityinthecontextofAI, settingtheprecedentthatahumanmustcreateaworkforthatworktobeprotectedunder copyrightlawbutfailingtodeterminethescopeandbreadthofsuchanamendmentintendedto encompasstheissuespresentedbyAI. Getty revealsthattheIPClauseischallengedbyissues involvingjurisdictiongiventheexpansiveoperationsofAIcompaniesandtheirtools,anda watchfuleyeisnecessarytomonitorthechanginglandscapeofIPlaw.

TheCurrentStateofAIRegulation

RegardingAIoutputsandcopyrightlaw, Thaler isthelawoftheland.Untiladecisionis handeddownthatoverturnsprecedent,humanauthorshipisnecessaryforavalidcopyright claim,andtheCopyrightOfficewillnotgrantprotectionstoanyworkgeneratedbyAI. RegardingthemechanismsoftrainingAImodels, Getty andnumeroussimilarcasesalleging copyrightinfringementstandbeforetheCourtandawaitjudgment.Thecalltoattentionfor regulatingAIisbecomingwidespread,withseveralstatesissuingexecutiveordersforAI.542 In California,ExecutiveOrderN-12-23emphasizesthebenefitsofgenAIwhileacknowledgingthe needforstateagenciestoexaminetheprivacyandsecurityimplicationsof AIuseforCalifornia residents,statingthat“GenAIcanenhancehumanpotentialandcreativitybutmustbedeployed andregulatedcarefullytomitigateandguardagainstanewgenerationofrisks.”543

Atafederallevel,noexistingcomprehensivelegislationdirectlyregulatesAI.TheWhite

542 “AiWatch:GlobalRegulatoryTracker-UnitedStates:White&CaseLLP.”UnitedStates|White&CaseLLP, May13,2024

https://wwwwhitecasecom/insight-our-thinking/ai-watch-global-regulatory-tracker-united-states#:~:text=Laws%2F Regulations%20directly%20regulating%20AI,AI%20albeit%20with%20limited%20application

543 ExecutiveOrderN-12-23,ExecutiveStateDepartmentofCalifornia(Sep.6,2023), https://wwwgovcagov/wp-content/uploads/2023/09/AI-EO-No12- -GGN-Signedpdf

Nonetheless,theWhiteHouseExecutiveOrderonAIoutlineseightmainprioritiesofAI technology,statingthat1)AImustbesafeandsecure;2)ToleadinAIdevelopment,theUS mustpromoteresponsibleinnovation,competition,andcollaboration;3)Responsible developmentanduseofAIrequiressupportingAmericanworkers;4)AIpoliciesmustadvance equityandcivilrights;5)TheprotectionofAmericanswhoincreasinglyuseorpurchaseAIand AI-enabledproductsintheirdailylivesmustbeprioritized; 6)Privacyandcivillibertiesmustbe protected;7)ThefederalgovernmentmustmanagetherisksofitsAIuse;and8)Thefederal governmentshouldpracticegloballeadershipinsocietal,economicandtechnological progress.544 Further,whilenoAI-specificfederalregulatorexists,theFederalTradeCommission, EqualEmploymentOpportunityCommission,ConsumerFinancialProtectionBureau,and DepartmentofJusticeissuedajointstatementclarifyingthattheirauthorityappliestoAIin Aprilof2023.545

Thus,legislationintheUnitedStatesmayquicklyfallbehindthespeedofgenAIgrowth andinnovation..EspeciallyinthecontextofIP,currentlawslackthenuancetohandletheunique challengesAIpresents. Conclusion

TheIPClauseoftheConstitutionfacesuniqueburdensposedbytheadventofgenAI tools,necessitatingitsevolutiontoaccommodatemodernchallenges.GroundedintheFramers’ intenttoincentivizehumancreativityandprogress,theClause’slanguagereferringto“authors”

544 ExecutiveOrderontheSafe,Secure,andTrustworthyDevelopmentandUseofArtificialIntelligence,TheWhite House(Oct 30,2023), https://www.whitehouse.gov/briefing-room/presidential-actions/2023/10/30/executive-order-on-the-safe-secure-andtrustworthy-development-and-use-of-artificial-intelligence/

545 “JointStatementonEnforcementofCivilRights,FairCompetition,ConsumerProtection,andEqualOpportunity LawsinAutomatedSystems”USEEOC AccessedNovember29,2024 https://wwweeocgov/joint-statement-enforcement-civil-rights-fair-competition-consumer-protection-and-equal-opp ortunity.

and“inventors”doesnotanticipatenon-humancreations,raisingfundamentalquestionsaboutits applicabilityinthecontextofAI-generatedworks. Thaler affirmedthefoundationalprinciple thathumancreativityisaprerequisiteforcopyrightprotectionundercurrentlaw,thereby underscoringtheFramers’intenttoprotectworksbornofhumanthought.However, Thaler leavesthedegreeofhumaninvolvementnecessarytoclaimauthorshipinAI-assistedcreations unresolvedandeffectivelyaddressestheevolvingcomplexitiesintroducedbyAI-generated content.

In Getty, theconstitutionalimplicationsofIPprotections arecomplicatedby jurisdictionalambiguityarisingfromtheglobalnatureofAItechnology.The Getty proceedings raisecriticalquestionsabouthowfuturecasesmayapproachthechallengeoflocalizingIP infringementandtheconsequentimpactonthescopeofIPrights.Thesejurisdictional uncertaintiesfurtherprovetheClause’sinabilitytoprovideanadequateframeworkforregulating AI-generatedworks.

Thaler and Getty revealboththestrengthsandlimitationsoftheIPClauseasa constitutionalsafeguardforintellectualproperty.Asitexists,itsoriginsinhumancreativity provideaclearboundary,yetsimultaneously,theClause’srigidinterpretationleavesit vulnerabletobecominglesseffectiveasAItechnologyprogresses.Asalivingdocument,the ConstitutionmustevolvesothattheIPClausemayeffectivelyaddressthehumanityquestionin Thaler andthejurisdictionalchallengesposedby Getty. Suchchanginginterpretationsbythe CourtswillensurethattheIPClausecontinuestoprovideacomprehensiveframeworkforIP protectionswhilefosteringinnovation,aligningitsConstitutionalprincipleswiththemodernity ofanAI-drivenlegallandscape.546

546 ThispaperhasbeenreviewedbyCamillaA.Hrdy,anAssociateProfessorofLawatRutgersLawSchool. ProfessorHrdyspecializesinIntellectualPropertyLaw,TrademarkLaw,andPatentLaw,andherresearchfocuses

BANNEDBOOKSANDTHEECONOMY:

EVALUATINGTHECONSTITUTION,LAW,ANDMARKET

WRITTENBYAWAKHIWENDLOVU

Introduction

Bannedbooksincivilizationhavebeenatestamenttoacountry’sreligion,politics,and culturereflectingthetimeperiodinwhichitwasenacted.Theactof“banningbooks”hastaken differentformsacrosscountriesasearlyas212B.CinChinawiththeburningofbooksasaform ofcensorshiptorestrictthepowerofknowledgethatbookscouldinsightandtorestrict nonconformityunderautilitarianrule.547 Underthisweseeadefenseofpoliticalstrategyenacted tolimittheinformationthatisbeingspreadtocitizensandtoensurethattheirruleisuncontested andtheirsubjectssuccumbtotheirword. ThefirstrecordedbannedbookintheUnitedStates was“NewEnglishCannan”byThomasQuincyinMassachusetts.Thejustificationforthisbook banhadadoptedaviewbasedonreligiontoprotectthevaluesheldbyPuritanswhoattemptedto rebuildtheirliveswhensettlingintheUnitedStatesofAmerica.Theysoughttoconformtotheir traditionalviewsofeducationandcontinuetheirculturepracticesonthisnewlanddespite previousfoundationsmadeinthelandbyIndigenousAmericans.548 InQuincy’snovelhe critiquesthePuritansstrategyofbuildinganewAmericaincludingthetreatmentofIndigenous AmericanstowhichthePuritansfoundtobesacrilegious,culminatinginthebanningofthe novel.

547 Chan,LoisMai “TheBurningoftheBooksinChina,213BC”TheJournalofLibraryHistory(1966-1972)7, no 2(1972):101–8 http://wwwjstororg/stable/25540352 onartificialintelligenceandtherelationshipbetweeninnovationandhumanwell-being

548 Good,A.(2024,February9).America’sfirstbannedbook?UMNLibrariesNews&Events. https://libnewsumnedu/2023/10/americas-first-banned-book/#:

Thehistoryofbannedbooksprovidesaroadmapfortheexecutivedecisionsmadeby governmentsandtheoutcomesthatensuefromthis,reflectingintohowourmoderndaylawis shapedandpotentialstepstotakeforthefuture.Inthemodernday,socioeconomicfactors contributetotheformationofthelawexemplifiedbythelivingconstitution.Thesocialstructure oftheUnitedStatesconnectsfamily,religion,law,economics,andclass,exemplifyingthatthe lawsmadebyagovernmentcaninreturnaffecttheprogressionofaneconomyandhowitcan function.Weseethisthroughtheestablishmentofgovernmentagencies,publicpolicy, facilitatinginvestment,andmorespecificallythecircularflowmodeloftheeconomy.

i. First Amendment of the U.S Constitution

TheConstitutionservesasabasisforthelawssetintheUnitedStates,butlookingmore specificallyattheFirstAmendment,wecanseehowtheprogressionofsocietywithintheUnited StatesbeginswiththefoundationssetbytheFirstAmendmentallowingfortheprotectionof fundamentalrightsforthepeopleandlimitingthepowerofthegovernment. UndertheFirst Amendment“Congressshallmakenolawrespectinganestablishmentofreligion,orprohibiting thefreeexercisethereof;orabridgingthefreedomofspeech,orofthepress;ortherightofthe peoplepeaceablytoassemble,andtopetitiontheGovernmentforaredressofgrievances.”549 In ordertounderstandtheconceptofbannedbooks,areflectionontheFirstAmendmentis necessaryinunderstandingitseffectsfromanintellectualandsocialstandpoint.

Inthemodernday,weseebookbansinpublicschools.PenAmerica,a501nonprofit organizationthatadvocatesforprotectionoffreeexpressionintheUnitedStatesdefinesbanned booksas“anyactiontakenagainstabookbasedonitscontentandasaresultofparentor communitychallenges,administrativedecisions,orinresponsetodirectorthreatenedactionby

549 US Constitution-FirstAmendment|Resources|ConstitutionAnnotated|congressgov|LibraryofCongress (n.d.).https://constitution.congress.gov/constitution/amendment-1/

lawmakersorothergovernmentalofficials,thatleadstoapreviouslyaccessiblebookbeing eithercompletelyremovedfromavailabilitytostudents,orwhereaccesstoabookisrestrictedor diminished.”550 Currentlawssettobanbooksrestricttheautonomyofyoungindividualsinthe UnitedStatestoassessknowledgeandlimittheiraccessregardingthesocioeconomicsfactors thatcontributetothegrowthofasociety,resultinginthedeclineofeconomicactivityina country.

ii. Market Trends in Publishing

Thepublishingindustryencompassesalargeamountofvastanddiversecompaniesthat contributetotheinformationthatisspreadthroughoutoureconomythroughbooks,newspapers, blogs,literature,music,etc.Thesuccessoftheindustryistransparentasitgeneratesabout$28 billiondollarsinrevenueeveryyear 551 Thecompaniesmakingupthisbusinesssectorhaveajob toitsreaderstoprovidehighqualityandcredibleinformationfornotonlyenjoymentand pleasurebutaswellasscholarlyresearchanddiscoursetoprovideintellectualinformationthat contributestothegrowthofknowledge.Booksserveasthefoundationofoursocietyandinturn itscontentplaysadirectroleinhowourconsumertrendsaredriven.Thepublishingindustry contributestothemarketbyinfluencingconsumertrendsbasedonwhatispopularatthetime, whichgeneratesrevenuethroughbooksalesallofwhichdependonmultipleservicesprovided throughoureconomy.Itisimportanttonotethattheincreaseintheproductionofgoodsand servicescontributestolarger.WeseethisideadisplayedthroughNewYorkCityasaglobalhub forbusiness.

AnnedelCastillo,CommissionerofNewYorkCityMayor’sOfficeof

550 WhatisabookBan?andmorefrequentlyaskedquestions PENAmerica (2024,November15) https://penorg/book-bans-frequently-asked-questions/

551 Watson,A (2023,June16) U S Book Publishing Industry Revenue 2022 Statista https://www.statista.com/statistics/271931/revenue-of-the-us-book-publishing-industry/

MediaandEntertainment,providesinsightintotheroleofpublishingwhenstatingthat“the studyconfirmsthatpublishingisvitaltothecity’screativeeconomy,supportingnearly95,000 jobs,$11billioninwagesand$34billionintotaleconomicoutput.Theaverageannualwageof publishingstudyworkersis$122,000,wellabovethecity’soverallaverageannualwageof $99,000.”552

BarrierofKnowledgeanditsEffectsontheEconomy

ii. Board of Education, Island Trees Union Free School District No. 26 v. Pico by Pico

PertheFirstAmendment,itspecificallystatesthat“Congressshallmakeno law...abridgingfreedomofspeech.”553 includingtherighttospeak,write,andshareideasand opinionswithoutretaliationfromthegovernment.554 Inthecontextofbannedbooks,thissection oftheAmendmentservesasabasisofmajorityofargumentsmaderegardingbannedbooksand itsvalidity,oftenreferencingtheConstitutiontocreateadefenseinthepowersofindividuals thatarerestrictedwiththebanningofbooks.In Board of Education, Island Trees Union Free School District No. 26 v. Pico by Pico (1982) thiscasesetaprecedenttobefolloweddueto addressingbannedbooksfromschoolsforapubliclynotedtime.TheIslandTreesUnionFree SchoolDistrict'sBoardofEducationorderedthatselectbooksberemovedfromjuniorhighand highschoollibrariescitingthemas“anti-American,anti-Christian,anti-Semitic,andjustplain filthy.”555 Byrecognizingtheissuestemmingfromthecase,itestablishedstudents'rightto receiveinformationpertheFirstAmendment,astheboardattemptedtoremovebooksbasedon

552 NewYorkCityPublishingIndustry-EconomicImpactStudy.(n.d.-b). https://wwwnycgov/assets/mome/pdf/NYC-Publishing-Industry-Economic-Impact-Studypdf

553 Whatdoesfreespeechmean? UnitedStatesCourts (nd) https://wwwuscourtsgov/about-federal-courts/educational-resources/about-educational-outreach/activity-resources/ what-does

554 LegalInformationInstitute (nd) Freedomofspeech LegalInformationInstitute https://wwwlawcornelledu/wex/freedom of speech

555 "BoardofEducation,IslandTreesUnionFreeSchoolDistrictNo.26v.PicobyPico."Oyez.AccessedDecember 2,2024 https://wwwoyezorg/cases/1981/80-2043

theircontent.Ultimately,itwasdeemedunconstitutionalfortheboardtoremovethesebooks fromlibraries.

Itisimportanttorecognizethatthereasoningbehindtheremoval,playsaroleinthe constitutionalityofremovingbooks.Thepersonalmoralvaluesplayedintothedecisionforthe board'sremovalcreatedabiasedview.Thecontentoftheselectednovelswasnotonebasedon educationvalue,ratherpersonalconvictiondamagingthestudentsabilitytogainknowledge. Knowingthattheeducationalvalueisnotwhatisbeingrestrictedbutratherthecontentbasedon personalvalues,takesawayeducationalopportunityfromthestudents.Whileuncomfortable,the contentinthebooksprovidedservesasaneducationalvaluetotherealitiesoflifethatarenot enclosedinthebubbleoftheschooldistrict.Theforeignnatureofthenovelsincitesthought provokingcontenttoquestion,comment,andreassesswhatisbeingtaughtbyeducatorsandhow togoagainstthestatusquoandgrowfromit.Tobeabletointellectuallygrowmeanstoquestion theunquestioned,andifbooksarebeingremovedbasedontheopinionsofothers,thiscreatesa measureinwhichcontentisnotbeingabsorbed.Whilethiscasesetalargefoundationinthe argumentofbannedbooks,thesplitdecisionbetweenthejudgesleftalargequestionintohow largethescopeoffreedomofspeechcouldreachandifitissituational.

iii.

Looking at economic growth

Knowledgeisakeyfactorintheeconomicgrowthofsocietyandhowitcandevelopin thelongrun.Peoplewithhigherlevelsofeducationsuchas4-yearcollegestendtoearn significantlymoreinalifetimecomparedtoanindividualwhohasnot,whichcontributesto economicproductivity.556 Thecollegepremiumisanimportantaspecttoeconomicgrowth.The

556 Falling college wage premiums by race and ethnicity - san francisco fed SFFed (2024,December18) https://wwwfrbsforg/research-and-insights/publications/economic-letter/2023/08/falling-college-wage-premiums-b y-race-and-ethnicity#

educationprovidedbythesebooksduringtheyoungacademicyearsplaysaroleinshapingthis foundation.Byexposingyoungmindstodiverseperspectivesandproblem-solvingapproaches, bookscanallowforthesefutureworkerstoexcelintheircareerwiththenecessaryskillsto navigateproblemsthatmayariseinaneverchangingeconomy

Whileoveralltheeffectsofbannedbooksontheeconomyarenegative,weseerare occasionsinwhichtheStreisandeffectcancontrolconsumertrendsandaffectthepublishing market.TheStreisandeffectisthe“phenomenoninwhichanattempttocensor,hide,or otherwisedrawattentionawayfromsomethingonlyservestoattractmoreattentiontoit.”557 In thiscensorshipovernovelscaneitherleadintwoavenues.Bookbanscreateeconomicbarrier thatmakeitslowtorecoverfrom.Whenbooksarebannedthisleadstosalesdecliningfrom bookstoresandpublishingcompanies.Schoolsandlibrariesarealargepartofthemarketof booksellerswhichalsoleadstoareducedrevenue.Thisreductioninconsumerspendingleadsto otherindustriesthatdependontheservicesprovidedtoalsoslow.Thesebarrierscanhavea negativeimpactonoverallGDPaslessmoneyiscirculatingintheeconomy.558

ObsceneornottooObscene:Ananalysisof Miller v. California (1973)

Inthebannedbooksconversationacommonargumentbroughtupisobscenityinbooks. Allegedly,thisisthelargefactorintowhybooksarebannedinhistorybasedonwhatis consideredobsceneespeciallyinthecontextofpublicschools. Miller v. California (1973), servesasamonumentalbasisintothedefinitionofobscenity,thecircumstancesinwhichitis used,andhighlightstheimportanceofalivingconstitutiontounderstandhowthelawappliesto everevolvingsituationsinmoderndaysociety.Whilethecasedoesnotdirectlyinvolvethe notionofbannedbooks,therulingsetsprecedentintothestandardsthatarehighlighted

557 Eldridge,A (nd) Streisand Effect Britannica

558 EllenRolfes,S.F.(2024,March20).Examiningtheeconomiccostsofbookbans.Marketplace. https://wwwmarketplaceorg/2024/03/20/costs-of-book-bans/#

regardingobscenity.MarvinMillerwasprosecutedfor“mailingadvertisementsforfourbooks —Intercourse,Man–Woman,SexOrgiesIllustrated,andAnIllustratedHistoryofPornography —andafilmentitledMaritalIntercourse.”559 whichwasillegalunderCalifornialaw.However, Millerarguedthatthiscontentwasnotconsideredobsceneciting Memoirs v. Massachusetts, whichrequiredanationaldefinitionofobscenityinordertobeconvicted.560 Thesexualnatureof thiscontentwasputintoquestionwithMillerclaimingtheywerenotobscene.However,itwas laterconcludedtheywereobsceneduethestandardssetbythecourtandemphasisonlookingat thematerialasawhole.JusticeWarrenEarlBurgerhadreiteratedthattheFirstAmendmentdoes notprotectobscenitybutalsocreatedastandardforwhenamaterialwasconsideredobscene.It statedthat“1)Whethertheaverageperson,applyingcontemporarycommunitystandards,would findthattheworkasawholeappealstotheprurientinterest;2)Whethertheworkdepictsor describessexualconductorexcretoryfunctions,asdefinedbystatelaw,inanoffensiveway;and 3)Whethertheworkasawholelacksseriousliterary,artistic,political,orscientificvalue.”561

Thekeylinethatneedstoberecognizedis“whethertheworkasawholelacksserious literary,artistic,political,orscientificvalue.”Thereasoningbehindwhatisconsideredobscene playsintotheargumentofwhybooksarebannedintheUnitedstatesofAmerica.Isitbasedon thecontentorwhothecontentrepresents?Among32states,1648bookswerebanned.562 A commonpatternseenamongstbooksthatarebannedaretheytackletopicsregardingrace, sexuality,andactivism.

iv. Consequences

559 Hudson,D L (2024,July2) Miller v California (1973) TheFreeSpeechCenter https://firstamendmentmtsuedu/article/miller-v-california/

560 Miller v California, 413 U S 15 (1973) JustiaLaw (nd) https://supremejustiacom/cases/federal/us/413/15/

561 Miller v California, 413 U S 15 (1973) JustiaLaw (nd) https://supremejustiacom/cases/federal/us/413/15/

562 Banned in the USA PENAmerica (2024a,August7) https://pen.org/report/banned-usa-growing-movement-to-censor-books-in-schools/

AninterviewwasconductedwithAshleyL.White,Ph.D,anAssistantProfessorat UniversityofWisconsin-Madison.Sheemphasizesthatwhatwearewitnessingisalonghistory ofmassiveresistancethatrelatesbackto Brown v. Board of Education (1954) andtheSouthern Manifesto.Shestatesthat“whileitmaynotbethefirstactofmassiveresistance,itisthemost demonstrativeinwhichrightpolicymakersdecidedthatthe Brown v. Board of Education decisionwasunconstitutional.”Bookbanningisanotherroundofmassiveresistanceeffortsthat worktohindertheeducationalprocessparticularlyofblackcitizensinthecountry.

Conclusion

Theeffectsofbanningbooksprohibitanewgenerationofyouthtocaptureinformation thatisprovidedthroughthesenovels.Theintertwiningidentitiesdisplayedinthenovelsare essentialinunderstandinghowsocioeconomicfactorsplayintothedecisionsmadeineveryday life.Tostripstudentsfromthisintellectualtoolkitprovidedbyamajorityoftheserulesprohibits themfromlearningoftherealitiesofoursocietyandhowtheycanmakeoursocietyfunction. Tocensoronefrominformationgivesablindedviewofwhatcanbetaughtandinturnmakesthe possibilityofproblemsolvingandevolvingdifficultinnaturewhennotallfactsarepresentedin frontofthem.Howcanasocietygrowwheninformationiskeptfromthepeoplewhowillgrow it?