Unfair Choices: Can Workers Refuse to Return If Their Workplaces Are Unsafe? 

Since the beginning of the SARS-CoV-2 pandemic, some workers have faced a gut-wrenching decision: stay at work and risk illness and death, or leave work and lose their job.  Although state and municipal orders closed many types of businesses to the public, and some workers have been able to transition to work at home, there have been a core set of workers—labeled “essential”—that have continued working throughout the crisis.  We have heard stories about healthcare workersmeatpacking plant employees, and warehouse workers whose employers remained open and in some cases failed to provide their employees with the necessary safety measures.  Too many of these front-line workers have died from COVID-19.  As states begin the process of lifting their stay-at-home orders, many more employees now must face the same choice: risk death or lose your job.  

If workers choose to stay home fearful of the novel coronavirus, are they entitled to unemployment compensation?  Perhaps.  Our system of unemployment insurance is a complicated and intertwined system that includes the federal government, state governments, and employers.  Like other federal programs such as Medicaid, the unemployment compensation system receives substantial funding from the federal government, which provides the overall legal framework.  However, individual states must enact their own programs with their own sets of rules and procedures.  Under state rules, workers must have been terminated from employment or must have left the job for good cause.” The definition of good cause is generally fleshed out on a case-by-case basis, with state labor and employment agencies and courts deciding whether a particular claimant can show sufficient justification for leaving the job.  To be eligible for compensation, workers must additionally be able to work, available for workand actively seeking work while unemployed. 

At the onset of the pandemic, the federal government took steps to broaden coverage of those workers who lost their jobs.  The Coronavirus Aid, Relief, and Economic Security (CARES) Act provided an additional $600 per week for individuals who were collecting regular unemployment compensation.  The Act also allowed states to provide compensation to workers whose benefits had been previously exhausted, and to extend benefits for all unemployed workers up to an additional 13 weeks beyond the standard 26-week timeframe.  The Federal Families First Coronavirus Relief Act (FFCRA) further asked states to temporarily loosen their requirements for providing compensation in order to receive additional federal funding The legislation makes clear that benefits should be extended to those who have been diagnosed with COVID-19, those who are caring for members of their household with COVID-19, and those whose businesses are closed because of the virus. 

Early on in the crisis, the Department of Labor emphasized that states should provide more flexibility in allowing claims due to the pandemic.  In its March 12 guidance, the Department reminded states of their flexibility in implementing the compensation requirements.  The guidance specifically provided that states may provide for unemployment compensation if an individual is quarantined by a medical professional or under government direction, or even if the worker self-quarantines due to risk of exposure or infection.  On March 22, the Department offered additional guidance for the states as to the interpretation of “good cause” to leave a job. 

Noting that states had statutory authority to temporarily amend their “good cause” provisions, the Department encouraged them to do so to align with efforts to combat the pandemic.  In particular, states could “include leaving work due to a reasonable risk of exposure or infection (i.e., self-quarantine) or to care for a family member affected by the virus. 

 However, the tone has changed. On its webpage FAQs, the Department responds to a hypothetical question from someone whose employer has remained open but who quit because they were afraid of getting coronavirus from customers coming to the store.”  The Department instructs: “voluntarily deciding to quit your job out of a general concern about exposure to COVID-19 does not make you eligible” for benefits.  Quitting out of fear of the virus is only an option for those who have been advised by a healthcare provider to self-quarantine as a result of such concerns”—for example, “an individual whose immune system is compromised by virtue of a serious health condition.”  And in guidance issued on May 11, the Department of Labor warned states to “ensure the integrity of unemployment insurance programs” by detecting “waste and fraud” and reporting it to the Department’s Inspector General.  Yes, states had flexibility in setting eligibility requirements, but they could not let those requirements lapse.  Reminding states of their obligation to rigorously check their rolls, the Department stated: “States should expect significant oversight, review and scrutiny of their unemployment compensation programs’ integrity.”   

States have gotten the message.  As state officials have reopened certain segments of their economies, they have warned workers that they are guilty of fraud if they refuse to return to an open business but continue to collect unemployment insurance.  The Arkansas Secretary of Commerce said that if a worker refused to return to their job, “That’s a fraudulent claim for us, and we will be tracking that.”  The Alabama Labor Secretary said, “It’s important for workers to know that if their employer reopens or otherwise calls them back to work, they must do so, unless they have a good work-related cause for not returning.”  And the Iowa governor told employees that they won’t be eligible for unemployment benefits if they don’t come back to work, even if they’re concerned about contracting the coronavirus. Similar sentiments have been expressed by state officials in GeorgiaNew York, and Tennessee

Workers may ultimately be able to claim “good cause” to refuse to return if their workplaces are deemed unsafe.  States will generally interpret this exception based on the facts of the case, meaning that workers will not know ahead of time whether their claim for good cause is valid.  A claim has a greater chance of success if the employer is not following documented standards, such as the CDC guidelines for reopening businesses.  Federal law prohibits states from denying unemployment compensation if the “wages, hours, or other conditions of the work offered are substantially less favorable to the individual than those prevailing for similar work in the locality.”  (26 U.S.C. § 3304(a)(5)(B).)  So if a particular employer has conditions that are dramatically worse than other similar businesses, employees should have good cause to refuse to return. 

In addition, workers should inform their employers about concerns and should report unsafe conditions to the Occupational Safety and Health Administration (OSHA).  However, to this point hundreds of workers have filed OSHA complaints, and there is little evidence of enforcement.  The agency announced in April that on-site inspections would only occur for reports of coronavirus-related fatalities or threats of “imminent danger;” employers would be trusted to investigate other claims themselves. Although OSHA has provided a booklet with guidelines on managing coronavirus dangers, the AFL-CIO has sued OSHA demanding that the agency issue mandatory rules, rather than guidance.  If unsafe conditions put members of the public at risk, workers can also look to state and local public health officials for help. 

Although the decision to return to work will ultimately be an individual choice, workers should not be left on their own.  We need strong and clear guidance from federal and state officials on the appropriate safeguards for different types of workplaces.  And employees should have a role in deciding whether the business will reopen, and if so, what protections are in place for their safety.  Until we have confidence that employers and government officials are doing their utmost to reduce the spread of SARS-CoV-2 infections, states should interpret “good cause” to forego a return to work generously, giving workers the benefit of the doubt in protecting themselves.   Workers need to stay out of workplaces that would put them and their loved ones in jeopardy.   

2020 Vision: What Can a Governor Do When the 2nd COVID-19 Surge Comes?

Those who cannot remember the past, are condemned to repeat it. George Santayana

January 1st seems like ages ago, when we thought that 2020 meant clarity of vision and foresight. Since then, the world has turned upside down—but legal precedent has not. Many still claim that it’s unlawful for any governmental entity or official to impose restrictions upon travel either across state borders or within a state in an effort to reduce odds of additional surges of COVID-19 infections and deaths.

I disagree.

COVID-19 is not the first, nor will be the last, pandemic or epidemic to ravage the world. It has killed more people in 4 months than the previous 10 years of epidemics. As of May 16, the U.S. has far more confirmed COVID cases and deaths than any other country; indeed, while the U.S. has only 4.25% of the world’s population, in just three months it has 32% (1.5 million) of the confirmed cases and 28.6% (89,000) of the deaths world-wide.

The 1918-19 Spanish Flu pandemic is one of several that featured multiple, more severe waves of infections; however, such nonpharmaceutical interventions as school closure, cancellation of public gatherings, and shelter-in-place or quarantine measures—if sustained—were found to reduce the number of cases and deaths.”[i] But today, epidemiological models and scientists’ testimony predict similar waves to occur this year, especially given premature lifting of nonpharmaceutical interventions. Almost no state has met the minimum standard of 14 days of declining cases before reopening.

Which raises two fundamental questions: what could the federal government do if it chose to implement mandatory nonpharmaceutical measures; and second, if it doesn’t so act, can a State’s Governor impose gathering, or cross-border or within-state travel, restrictions?

Congress delegated power to the Surgeon General to act as necessary to prevent the introduction, transmission, or spread of communicable diseases from foreign countries into the States or possessions, or from one State or possession into any other State or possession. While the CDC issued a No Sail” order for cruise ships for  “[p]reservation of human life; preventing further introduction, transmission, and spread of COVID-19 into and throughout the United States”, it has not issued a similar “No Non-Essential Travel” order with similar goals for movement across state borders.

Given the likelihood of impending surges of infection and no federal action, can a Governor legally impose stricter travel and gathering restrictions within her state and at its borders? Yes. First, the President cannot overrule such State action; federal law on communicable diseases doesn’t supersede State laws addressing diseases like COVID-19.

Second, since 1886 the U.S. Supreme Court has ruled against federal preemption of state quarantine laws in the absence of a conflicting federal law--“The laws of the state on the subject are [presumptively] valid,” so long as states do not act in an unreasonable or arbitrary manner as to rights and liberties such as the right to interstate travel, and the right to exercise one’s religion through in-person mass gatherings.

Federal courts currently deciding challenges to State COVID travel and gathering restrictions rely upon the 1905 Supreme Court decision of Jacobson v. Massachusetts:

[A] community has the right to protect itself against an epidemic of disease which threatens the safety of its members….in every well-ordered society charged with the duty of conserving the safety of its members the rights of the individual in respect of his liberty may at times, under the pressure of great dangers, be subjected to such restraint, to be enforced by reasonable regulations, as the safety of the general public may demand.

Churches challenging Governors’ COVID restrictions on in-person services have largely been unsuccessful. Federal judges generally conclude that “the Constitution does not guarantee “an absolute right in each person to be, at all times and in all circumstances, wholly freed from restraint. Recognizing that the need to protect the public may trump individual rights during a crisis, the Supreme Court has held that states and municipalities have greater leeway to burden constitutionally protected rights during public emergencies.”

We must remember pandemic and legal history when devising 2020 strategies for minimizing COVID-related harms. Locations that lifted social distancing mandates too early experienced a second surge of Spanish Flu deaths. Currently, some states are lifting nonpharmaceutical restrictions while having shortages of personal protective equipment and testing kits, while neighboring states are still trying to shelter at home.

Now is not the time for partisan politics. A state’s well-crafted stay-at-home restrictions should lawfully be allowed to continue for as long as a Governor and public health officials reasonably deem it necessary. Each state should have the final say for the fundamental protection of its citizens’ public health, safety and welfare.

In 2020, that is what the law, clear vision, and foresight require.

For more information, please read Professor Thaler’s complete article 2020 Vision: What Can a Governor Do When the 2nd COVID-19 Surge Comes?

 

The Standoff: South Dakota and Native Tribes

The story of COVID19-induced roadblocks and an ensuing spat between South Dakota Governor Kristi Noem and Cheyenne River Sioux Tribe (CRST) Chairman Harold Frazier illustrates the full arc of America’s story of immigrant settlement, colonization, and conquest of America’s indigenous peoples by all those not indigenous to America.

Tribal Sovereignty

When you look up the word ‘sovereignty’ in the dictionary, it doesn’t have a separate entry for tribes.  Like any, the starting point for tribal sovereignty must be the three generally accepted international precepts of sovereignty: territorial integrity, distinct peoples, and recognition of that sovereignty by other sovereigns that actually matter.  Originally with all tribes, and continuing today with a few tribes, the territory and peoples were so distinct and intact that together we could discern a recognized indigenous polity and refer to their peoples as “tribe citizens”.

From there, the easy thing to say is – like any fly by night payday lending business worth its weight in snake oil would say to a tribe today – “you tribes are sovereign and can do whatever you want.”  Alas, would that be true.

Of course, my message to non-Natives about how things should be would sound like eerily similar snake oil.  But as a tribal member and sometimes tribal citizen, as a descendant of a bloodline of hereditary leaders, and especially as a twice-elected former chief executive of a federally recognized Native Nation, my messages are always conflicted, torn between indigenous and non-indigenous audiences, with divergent messaging.  So too this blog post.

Background Information for Non-Natives

While early SCOTUS opinions recognized tribes’ territorial integrity, bilateral treaties with tribes quickly began the slippery slope of territorial permutations, usually in the form of a promise by the US to prosecute “bad men among the whites.”  Incidentally, those treaties generally do not say a tribe cannot also bring bad whites to justice; they simply promised the US would do so if asked.  However, due to then Justice Rehnquist’s belief in (place tongue firmly in cheek) a restricted federal government, judicial restraint, and strict textual construction, that old treaty provision has come to play an outsized role today.

When you look for the word treaty in the constitution, you won’t find a separate provision applicable only to the Indian tribes.  Treaties – all treaties to which the US is a party – are the Supreme Law of the Land.  After the treaty-making period with Native Nations ended in 1871, Congress made two deep unilateral incursions into both the territorial and popular sovereignty of tribes.  First, Congress enacted the Indian Major Crimes Act, asserting federal jurisdiction over certain major crimes committed by tribe citizens.  Second, Congress enacted the Dawes Act or General Allotment Act, dividing many tribes’ territories, including the CRST, in severalty, separate parcels of private real property, and declaring any remainder as “surplus” open for homesteading.  Of course, every American State is also subdivided in severalty, and yet their respective territorial boundaries remain intact.  Not so with Indian tribes.

Fast forward, and we have people who are not citizens of the CRST who either reside inside the tribe’s reservation territory or who simply pass through, raising thorny and faux-thorny jurisdictional issues.  In 1978, SCOTUS, speaking through then Justice Rehnquist, issued Oliphant v Suquamish Tribe, holding that tribes, by virtue of their “dependent status” – not due to a treaty, not even attributable to some conquistadorish federal statute – somehow lost sovereignty by virtue of their “dependent status”, whatever that is, and no longer possess criminal jurisdiction over persons who are not “members” of a tribe (at least those non-Natives who reside within their territories but who cannot participate in their government – but that’s another blog post).  Rather, the federal government, or perhaps even the surrounding State in cases of ‘victimless” crimes, would have criminal jurisdiction within a tribe’s territory.

Then, in 1981, in Montana v U.S., SCOTUS extended Oliphant to the regulatory context, but this time with two broad exceptions: while tribes do not have full sovereignty, a tribe may assert regulatory jurisdiction over 1) any person in a consensual relationship with the tribe or its citizens; and 2) any activity that affected the health, safety, and political integrity of the tribe (if those two exceptions sound familiar, that’s because they are shorthand for the two shields of sovereignty and jurisdiction that protect States in our federal system (but that too is another blog post).  At least the divergent approaches between criminal and regulatory jurisdiction makes some sense because of the different levels of substantive rights and due process at issue: life and liberty in the criminal context, less so in the regulatory context.  Then, in 1997, in Strate v. A-1 Contractors, SCOTUS, speaking through Justice Ginsburg, confirmed that tribes possess inherent regulatory powers over all persons or conduct that threatens or has some direct effect on the health or welfare of the tribe, including upon the state highway at issue in that case – mirroring the issue in the current standoff between South Dakota and CRST.

So, yes, despite impending death by a thousand cuts, some measure of tribal sovereignty and jurisdiction withstands the threat by South Dakota’s governor.  The Cheyenne River Sioux Tribe can place regulatory roadblocks to the entrances of its territory to protect the health and welfare of its people.  But what if a roadblock causes an accident or if the coronavirus is negligently transmitted … which sovereign will have jurisdiction?  Whose law will apply?  Would enforcement of a judicial order be an issue?  Unfortunately, in Strate, Justice Ginsburg also made one of the biggest juridical gaffes of her career, reasoning that the tribe lacked jurisdiction over civil causes of action – the car accident at issue – because the tribe or the federal government failed expressly to reserve civil jurisdiction in the instrument granting an easement to the State for the State highway.  Now, perhaps public sovereigns like states and tribes shouldn’t be interacting with tools of private property, such as easements.  But did she really think granting an easement is tantamount to granting territory and jurisdiction?  Wouldn’t it be fun for us to research our own property’s chain of title to see if our respective State expressly reserved jurisdiction over it….

And then there’s the separate question – why is it always the tribe’s sovereignty and jurisdiction in question?  From whence comes the South Dakota Governor’s authority?  I’m thinking South Dakota’s Constitution does not say “The Governor shall have the authority to govern outside the State’s territory as long as the governed are Indians.”  Or “The Governor shall have the authority keep any Indian tribe from protecting the health and safety of its members.”  If it did have some such a silly provision, how would that square with the revolutionary idea of “government by the governed”?  Perhaps I shouldn’t use the word “authority” at all; perhaps I should just say said good old-fashioned “power”.

Well, well, well.  A quick perusal of the South Dakota Constitution turns up this provision: “Second. That we, the people inhabiting the state of South Dakota, do agree and declare that we forever disclaim all right and title to the unappropriated public lands lying within the boundary of South Dakota, and to all lands lying within said limits owned or held by any Indian or Indian tribes;” (emphasis unnecessarily added)  In my adopted state of Wisconsin, the Legislature  challenged the Governor’s power to issue emergency orders to protect the health and safety of its citizens; I have a sneaking suspicion the South Dakota legislature won’t be challenging South Dakota’s governor for this particular infringement of the rights of CRST.

Tribes as State Political Subdivisions

So, why do State governors like Noems, blithely assume they govern Indian Country and all its occupants?  First, because the General Allotment Act has resulted in her non-Native citizens residing and owning substantial amounts of property in that territory.  More complexly, that Act has resulted in States governing private property owned by Natives themselves – even within Native reservations.  Second, Governor Noem assumes governance over Indian Country because 1) Native Nations (with rare exception) simply refuse to govern private property in their territories, even property belonging to their own citizens, and 2) because citizens of Native Nations, often with the support of Native leaders, file lawsuits arguing that they are citizens of her state and can vote in her state’s elections!

So, of course she thinks she governs them and their territory; they are her citizens, after all.  Their reservation is surrounded by the State and its private property is governed by the State.  Applying the Ginsburg test, the tribe and Bureau of Indian Affairs likely failed to reserve jurisdiction over such property.  And if she governs the two cornerstone prongs of sovereignty, with the tribe’s acquiescence or even consent, who is the real sovereignty there – South Dakota or the Cheyenne River Sioux Tribe?  So, the more important question might be not why state governors assume they govern, but why do tribes themselves abide State governance – seemingly condoning it?  Is it self-victimization borne of conquest and colonization and settlement?  Is it a failure to act and react positively with their own cultural worldviews?  A measure of both?

A Message for My Fellow Natives

Now for a message directed to Indigenous peoples and their leaders:  Claiming to have sovereign territory while allowing another sovereign to govern property in that territory hardly meets the ‘territorial integrity’ prong of sovereignty.   Claiming to be distinct peoples while facilitating citizenship of those same peoples in the neighboring or surrounding state hardly meets the ‘distinct peoples’ prong of sovereignty.  In short, one of the main reasons our territory is being dismantled is because we refuse to govern property within it.  The other main reason is that we blur any distinction between the political identity of our peoples and their peoples.  For starters, we don’t seem even to understand what distinct means.  Distinct in cheekbones?  Distinct from Latvians?  Distinct from other tribes?  No -- distinct means the collective identity of our peoples – their cultures and social norms and values – are discernibly different from those neighboring and surrounding sovereignties and their peoples.  You don’t get there by having your peoples assume the civic identity – the citizenship – of surrounding or neighboring sovereigns by voting in their elections and living by their laws – especially their property laws.

If certain people get their way how many of you think the new federal constitution will recognize the sovereignty of Indian tribes?  For that matter, if such a convention entirely dissolved the Union, raise your hand if you think South Dakota will then recognize a separately sovereign Cheyenne River Sioux Tribe in its borders?  The time to maintain a separate territory and peoples is now.

In the end, the good Governor from the great state of South Dakota may come to understand and respect our sovereignty.  I mean, after all, we are not building a wall, which surely the good Governor would then have grounds to oppose.  I mean, who wants to be kept out of such a great place filled with abundance and opportunity?

Radical Far-Right CFPB Taskforce Threatens Consumer Protection

This blog is cross-posted in the Economic Policy Institute's Working Economics Blog.

 

As unemployment approaches levels last seen during the Great Depression, and requests for mortgage forbearance increase every week, the Consumer Financial Protection Bureau has proceeded doggedly ahead in undermining consumer protection. The CFPB has suspended enforcement of most of the rules requiring mortgage servicers to help homeowners who have fallen behind in their payments; eased disclosure requirements for remittance transfer providers; and reduced collection and reporting of critical fair lending data. Apparently unsatisfied with rolling back regulatory requirements in the middle of a pandemic-driven economic crisis, the CFPB is also paying hundreds of thousands of dollars to a small “taskforce” of conservative academics and industry lawyers whose charter is to re-consider every aspect of consumer protection.

Although Congress specifically mandated that the CFPB’s advisory committees follow federal sunshine laws, the CFPB has allowed the taskforce to meet without notice behind closed doors. The first public glimpse of its plans was a sweeping request for information issued in late March. While the rest of the country was struggling to address the spiraling economic threats posed by COVID-19, the taskforce asked questions about weakening fair lending laws and deregulating consumer finance markets. Following the CFPB’s expected repeal of consumer protections on payday loans and encouragement to banks to make their own high-priced, short-term loans, the taskforce asked about “impediments” to expanding such lending. It questioned whether consumer benefits like privacy and accuracy in credit reporting are worth the cost to industry and suggests that enforcement penalties discourage competition. In the midst of the pandemic, the CFPB task force is giving the public a mere 60 days to comment on fundamental questions like “the optimal mix of regulation, enforcement, supervision, and consumer financial education,” how best to measure whether or not consumer protection is effective, and which markets should and should not be regulated.

The taskforce explicitly centers “informed choice” and “competition” as the preferred means of providing consumer protection, with enforcement only as a backstop. Left unchallenged, this framework threatens a dangerous future. Lenders, not consumers, choose debt collectors and loan servicers, and decades of competition in those markets has not reduced the volume of consumer complaints about harassing and abusive behavior.  Even in markets where consumers can, in theory, choose the product and provider, abusive lenders often make that choice for them. The vast majority of homeowners don’t comparison shop for a mortgage, the largest portion of many family budgets, and in the last great economic crisis millions of homeowners lost their homes because of loans they couldn’t afford with terms they couldn’t understand.

Informed choice is a fantasy in most modern consumer credit markets, with pricing driven by obscure algorithms and marketers focused on exploiting consumer weaknesses. Competition in many consumer financial markets may benefit corporations and investors but not the ordinary people who foot the bill and lose their homes.

The taskforce cites the National Commission on Consumer Finance as its inspiration. But unlike the five-member, ideologically homogeneous taskforce, accountable only to the director of the CFPB, the National Commission on Consumer Finance  was specifically authorized and funded by Congress; its work was bipartisan; a majority of its 12 members, supported by dozens of staff and student researchers, were members of Congress accountable to the public; its work spanned four years and drew on multiple public hearings with hours of testimony from leading consumer advocates as well as individual consumers and lenders. Where the National Commission concerned itself with “market excesses,” the taskforce asks only about “informed choice.”  Where the National Commission recognized that consumers can be burdened with excessive debt, the taskforce’s only reference to burden is that of the cost of compliance with consumer protections.

We have only until June 1 to submit comments on this information request. This may be our only chance to weigh in before the taskforce issues its report. If we think -- as Congress did in 2010 when it created the CFPB, mandated consumer protections, and set the parameters for measuring the effectiveness of consumer protections -- that consumer protection requires more than informed choice and competition; that enforcement, and supervision, and regulation are critical pieces of ensuring  effective consumer protection; and that education alone is not and never can be enough, then we must comment.

In the wake of the 2007-08 foreclosure crisis and the Great Recession, Congress recognized the central role that vigilant, focused consumer protection plays in ensuring economic stability. It created the CFPB so that never again would slipshod consumer protection derail economic prosperity. That focus and those consumer protections are threatened now.

Diane Thompson is an Open Society Foundations Leadership in Government Fellow. Previously she was Deputy Assistant Director and Acting Assistant Director of the Office of Regulations in the Consumer Financial Protection Bureau.

Governor, Legislature and COVID-19:  The Case of Louisiana

Louisiana has been and remains one of the epicenters of the COVID-19 epidemic in the United States.  Likely as a result of the failure of national and local officials to anticipate the possible health consequences of holding its traditional Mardi Gras celebration -- which brought over a million visitors to New Orleans during the last weeks of February -- New Orleans became an early hotspot for COVID-19.   From there, the disease spread rapidly throughout the state.  As of May 7, Louisiana had over 30,000 confirmed COVID-19 cases and has suffered well over 2,000 confirmed COVID-19-related deaths.  Not all communities in the state have been equally affected.  While African-Americans make up only 32% of the Louisiana population, they have accounted for some 57% of the COVID-19-related deaths.  St. John the Baptist Parish (or “county” for non-Louisianians), a small rural parish in the heart of Louisiana’s infamous “Cancer Alley,” has the highest per-capita death rate from COVID-19 of any county in the United States.  As of the beginning of May, the rates of new infections appeared to be declining in several parts of the state.  However, rates of new infections are still increasing in the Baton Rouge area and in the northeastern portion of the state, while holding steady in central Louisiana.

Against this background, a battle is brewing between Louisiana’s Governor – John Bell Edwards, a Democrat – and its overwhelmingly Republican-controlled Legislature, regarding how quickly the state should rescind the “stay at home” orders.  Governor Edwards first declared a state of emergency on March 11 and followed up with his initial “stay at home order” on March 13. That order effectively shut down most state offices, public and private schools and non-essential businesses.  That order has been renewed and extended several times since, though with minor modifications.  Most recently, on May 1, Governor Edwards issued the latest proclamation, easing restrictions on business activity to some extent (for example, by allowing restaurants to serve customers on outdoor patios, subject to minimum distancing requirements), but continuing the bulk of the stay-at-home rules through at least May 15.   In response, the Louisiana legislature has embarked upon multiple initiatives to force the governor to rescind, or at least substantially modify, the current stay-at-home order.   One effort, spearheaded by Louisiana House of Representatives Republican delegation chairman Blake Miguez, has sought to use the normal legislative process to pass laws modifying the governor’s order.  Though the specific wording of any proposed legislation is not yet final, the intent appears to be to amend the Louisiana Homeland Security and Emergency Assistance Act so as to limit the governor from issuing orders of this type.  On May 6, the Louisiana House and Governmental Affairs Committee held one afternoon of hearings and has voted to recommend such legislation.  At this point it remains unclear whether any such legislation will be enacted, whether it could be passed over the governor’s veto, or whether any of these measures would take place before the latest order expires by its own terms, on May 15.  It seems more likely that the threat of such legislation is being brandished as a bargaining tool, and that the governor and the legislature will reach some sort of compromise, with a substantial weakening of the state’s anti-COVID-19 mitigation efforts arriving sooner rather than later.  Politics, at least, seems to be proceeding as usual in Louisiana.

However, a more radical effort is also underway. State Representative Alan Seabaugh has proposed that the Louisiana House of representative make use of a previously un-used provision in the state emergency laws, which would at one stroke allow a one-house “petition” to rescind the Governor’s initial declaration of an emergency, and all the orders which have flowed from that original declaration.  It is unlikely that Rep. Seabaugh’s effort will bear much fruit.  As has been pointed out, rescinding the governor’s initial declaration of an emergency would likely put at risk the federal aid which has come into the state as a result of that declaration.  However, the fact that this mechanism has even been proposed can focus attention on the underlying Louisiana statutory scheme for dealing with these emergencies, and whether that scheme may violate the Louisiana Constitution of 1974.

In issuing his emergency proclamations Governor Edwards relied on the very broad statutory authority granted to him by the “Louisiana Homeland Security and Emergency Assistance Act”, first enacted in 1993 and amended into its current form in 2003.  In relevant part the Act provides that:

the governor is “responsible for meeting the dangers to the state and people presented by emergencies or disasters, and that in order to carry out the purposes of the Act, the governor may issue or amend orders, proclamations and regulations having the force of law;

a disaster or emergency, or both, shall be declared by executive order of the governor if he finds that a disaster or emergency has occurred or is imminent, and shall continue until the governor finds the threat of danger has passed;

during the state of emergency, the governor is empowered to suspend any regulatory statute and the operations of any state agency, may call upon all resources of the state or any of its political subdivisions, transfer control of state functions, commandeer private property, mandate rules regarding transportation, housing and alcohol.”

In delegating this authority to the governor, the Louisiana legislature reserved to itself a purported power to rescind a gubernatorial declaration of disaster or emergency, by a one-house petition (i.e., the provision that Rep. Seabaugh relied on, in proposing his one-house veto by petition):

“The legislature, by petition signed by a majority of the surviving members of either house, may terminate a state of disaster or emergency at any time.  The petition terminating the state of emergency or disaster may establish a period during which no other declaration of emergency or disaster may be issued.   Thereupon, the governor shall issue an executive order or proclamation ending the state of disaster or emergency.”

As any student of constitutional separation-of-powers doctrine would note, this statute raises at least two constitutional issues: 1) whether the broad, standard-less delegation of authority to the governor to determine whether an emergency exists violates non-delegation doctrine; and 2) whether the statutory provision which allows a “one house veto” of the governor’s action violates the ordinary requirements of bicameralism and presentment.

To be sure, the non-delegation doctrine appears to be, for the moment at least, a dead letter on the national level.  The U.S. Supreme Court has not struck down any Congressional delegation of authority to executive agents on such grounds – no matter how broad or standard-less – since the 1930s.  However, the doctrine – and the principle on which it rests, that elected legislatures have a non-delegable duty to determine basic policy for the state – remain alive and well in many states, including Louisiana.  As recently as 2013, the Louisiana Supreme Court struck down a state law which delegated authority to a Board representing rice producers, to assess fees on all rice produced in Louisiana.  Though the decision rested on several grounds, the court was clear that the legislature’s failure to confine the Rice Boards’ discretion with appropriate standards violated the state constitution.   So too, perhaps, here.

The second issue is less clear, as Louisiana appears to have no case equivalent to the U.S. Supreme Court’s decision in INS v. Chadha which found the one House veto unconstitutional for violating the Constitution’s bicameralism and presentment requirements.   The Louisiana Constitution appears to be at least as clear as its federal counterpart in prescribing that legislation must be enacted in the proper way: by majority vote of each house and with presentment to the governor.  The Louisiana Constitution however allows the state legislature to suspend laws by concurrent resolution, without presentment to the governor, but it has been persuasively argued that this language should be interpreted to apply only to legislation, not to orders and regulations.  The Louisiana Administrative Procedure Act allows for legislative suspension of administrative agency rules and regulations, also by concurrent resolution, but it is unclear how that would apply to gubernatorial proclamations.  And, in any event, both these provisions require action by both houses.

It remains doubtful that the governor and legislature will come to an impasse requiring judicial scrutiny of the Louisiana Homeland Security and Emergency Assistance Act, but if they do, the results may be interesting.

 

 

 

 

A New Textualist Argument in the Title VII Cases, and the Risks of Corpus Linguistics

The Title VII cases pending before the Supreme Court are a notable test for conservative proponents of textualism, who find themselves uncomfortably confronted in Zarda and Harris Funeral Homes with strong arguments from the interpretive school most closely associated with Justice Antonin Scalia. That debate has been well-documented, with some conservatives already speculating in the Wall Street Journal and on Twitter that they may have lost it.

Still, there are two more months before the Supreme Court is likely to rule, and thus more shadow briefing to be done. So last week James C. Phillips sought to recast the textual evidence with a subtly modified claim relying on corpus linguistics. For a textualist like Justice Gorsuch, who may be attracted to petitioners’ analysis but concerned about the outcome that would result, Phillips’s intervention could provide important new textual evidence.

Phillips’s intriguing argument is worth carefully considering, and is an instructive application of the larger project urging judges to make greater use of corpus linguistics to derive contemporaneous meaning. He argues, in summary, that the petitioners’ textualist reading depends upon “separately analyzing and then amalgamating . . . three parts” – namely, the words “discriminate,” “against,” and “sex.” Analyzed in that way, the LGBTQ petitioners may have a point, and  Justice Gorsuch seemed to acknowledge as much at oral argument. The better approach, Phillips says, would be to assess the distinct meaning of the phrase “discriminate against,” which has its own highly specific connotation entailing prejudice as a motivation, especially when the phrase is paired with a suspect class.

Corpus linguistics could be a useful resource to identify idiomatic meaning of this sort. But the surprising consequence is that, the more idiomatic the meaning uncovered, the more purposivist the reasoning starts to appear. And for reasons I explain, Phillips’s analysis is unpersuasive on its own terms, relying on a limited linguistic corpus while overlooking any possible legalistic meaning that prevailed at the time. It seeks to create a new term of art even as textualists have traditionally disfavored doing so. As the corpus-linguistic method rises in popularity as a tool of statutory interpretation, the Title VII case study demonstrates its risks.

A. The Standard Textualist Claim in the Title VII Cases

Beginning early in the Title VII litigation, the gist of textualist question has been: does the plain text of the statute, which forbids discrimination “because of . . . sex,” also encompass sexual orientation and gender identity? At oral argument in Zarda, Pam Karlan began with a simple comparison: “When a[n] employer fires a male employee for dating men but does not fire female employees who date men, he violates Title VII.” The standard response to that claim has been that it gets the analysis wrong: it fails to isolate sex as the reason for the firing because, when a male employee who dates men is substituted for a hypothetical woman who dates men, what changes is not only the gender of the employee, but also their sexual orientation. The man is fired not because he’s a man, but because he’s gay; and if he were instead a woman who dated men, that woman would necessarily be straight. The better comparison, it is said, is to compare a gay man with a lesbian woman. Only firing that man, and not the woman, would qualify under Title VII as sex discrimination.

At oral argument, Justice Kagan said any such possible imprecision didn’t matter, because the Court need not isolate gender as the sole basis for an employer’s action. Karlan’s comparator sufficed to show that, by varying gender, sex was at least a “but for” cause of the discrimination, and the statute required nothing more. Remarkably, Justice Gorsuch suggested he might agree (see page 44 of the transcript). Even if the plaintiffs’ argument did not “isolate the sole or proximate cause,” he said, and even if sexual orientation necessarily varied with sex, that only showed that “perhaps there are two causal factors at work here . . . [and] isn’t one of them sex?” If the answer is yes, the case would appear to end there for any textualist who ordinarily would resolve ambiguity with reference to a statute’s overall purpose only after the text has been judged ambiguous (if at all).

B. The “Principle of Compositionality”

Phillips’s textual analysis is different than that which has so far preoccupied commentators and the Court because he argues that “discriminate against,” especially when paired with a particular suspect class, functions like an idiom with its own distinct meaning, a “linguistic unit . . . by the time of Title VII’s enactment” in 1964. That unit, Phillips argues, “refers only to adverse treatment that rests on prejudice or bias . . . directed at some or all men in particular, or at some or all women in particular.” Because the litigants seem to agree that Congress didn’t specifically intend to prohibit discrimination on the basis of sexual orientation or gender identity, Phillips’s argument thereby effectively incorporates purpose into the very meaning of the words of the statute, rather than leaving it for consideration only after textual ambiguity is identified. Borrowing from linguistics, he associates his approach with the “principle of compositionality”: when a phrase operates as a composite unit with collective meaning that cannot be understood through the analysis of each of its parts. Having defined “discriminate against” as textually referring only to prejudice against members of a group, and noting that all such groups were identified in the statute, Phillips concludes that the text cannot be read literally to reach discrimination against LGBTQ people (who were, after all, not enumerated in the statute). If Congress had intended a literalist reading, it could have used general words rather than this particular idiomatic phrase.

1. A Questionable Specialized Meaning

To prove the prejudice-oriented meaning he claims, Phillips gathers evidence from corpus linguistics, and supports it with contemporaneous dictionaries. He argues that the Corpus of Historical American English (COHA) at the time of the statute’s passage reflects a common and particular usage of the phrase “discriminate against”; that the phrase’s collocates (the words that most often appear before or after the phrase) in that corpus suggest a special meaning limited to prejudice against members of particular suspect classes; that the phrase’s binomials (especially common pairs of words) are associated with such prejudice; and that dictionaries at the time are generally consistent with such a reading.

But Phillips’s analysis, if conceptually appealing, goes awry. First, he begins by observing that “discriminate” and “against” are frequently paired together in COHA, but he finds only 125 instances of the phrases “discriminating against,”  “discriminated against,” “discriminate against,” or “discriminates against” in COHA’s 48 million-word corpus of books, magazines, and newspapers covering the 1950s and 1960s. Even if one can rely on the unusual frequency with which “discriminate” and “against” appear together (most of the time), prejudicial collocates following the phrase collectively appear only about half the time. Reading the sentences themselves,[1] rather than relying on collocate statistics, shows that “discriminate against” (and its permutations) was used just as often to refer to non-prejudicial subjects like one country discriminating against another’s products, or a state discriminating against interstate commerce, or Americans coming to discriminate in their diets against “beef having yellowish fat.” The phrase “discriminate against,” in other words, is (at best) just as likely to embrace either of the two ordinary meanings of the word “discriminate” alone: either to distinguish, or to subordinate.

Second, in concluding that the phrase “discriminate against” (and its permutations) had a subordination-oriented meaning in 1964, Phillips overlooks the possibility that the phrase’s usage in the legal context may have differed from popular usage. Though Phillips’s analysis only relies on COHA, another American English corpus is available from the same time period: one that collects all issued U.S. Supreme Court opinions. Though it is a quarter the size – comprising some 12 million words, from more than 4,000 opinions issued in the 1950s and 1960s – it nonetheless contains 392 references to the forms of the phrase “discriminate against” that Phillips analyzed in COHA (i.e., more than three times as many). It turns out that the word  “discriminate” (and its permutations) is even more likely to precede “against” in the legal corpus (about 70% of the time) than in the popular language corpus (about 50% of the time).

In this legal context, the collocation-based connections to particular types of prejudiced motivations become even less compelling. Of the nearly 400 usages of the phrase “discriminate against” (and its permutations) in Supreme Court opinions during the 1950s and 1960s, the vast majority (clicking “context” after the searches[2]) refer not to prejudice against suspect classes, but to issues like employers discriminating against unionized employees in labor disputes, states and companies discriminating against other states’ and companies’ trade, and one governmental unit discriminating against another. Fewer than a quarter of the collocates used a variation of the phrase to refer to prejudicial motivation; larger categories referred to discriminatory trade restrictions and labor law issues. It is true, of course, that the opinions the Supreme Court issues reflect only the kinds of cases for which it grants cert. But the overwhelming skew in the data suffices to at least show that the specialized meaning of the phrase that Phillips claims existed at the time was even less true for legal writers than for popular ones. And it’s perhaps more likely that Congressional statute drafters wrote more like Supreme Court Justices than like authors of books and magazines.

Phillips also writes that textualist evidence can be derived from binomial pairs, like “cease and desist” or “aid and abet,” in which one word often appears with another. He writes that “the most common form of the binomial prejudice and [WORD] was prejudice and discrimination, appearing twice as often as any other word following the phrase prejudice and.” But that, of course, tells us only about words following “prejudice,” and little about what usually follows (or precedes) the only word that matters, the one in the statute: “discrimination.” After all, the most common noun that precedes “and discrimination” in the corpus as a whole (reaching beyond the 1950s and 1960s for illustration) is “taste” – but the fact that “discrimination” often follows “taste and” doesn’t tell us much that’s meaningful about “discrimination.” It tells us mostly about “taste.”

Finally, Phillips cites dictionaries to indicate that the phrase “discriminate against” was also defined in relation to prejudice. It is true that is one of two traditional definitions. But all of the dictionaries Phillips cites also include a distinction-oriented definition, and it’s not clear why we should opt for the prejudice-oriented definition when the distinction-oriented one was used at least as commonly in COHA and much more commonly in the corpus of Supreme Court decisions. At least two dictionaries published during the 1950s and 1960s – the Oxford Illustrated Dictionary and the Chambers’s Twentieth Century Dictionary – don’t have prejudiced-oriented definitions at all.

2. The Risks in Specialized Meanings

The work Phillips’s evidence claims to do is to render the word “discriminate” to mean something narrower than a mere “causal link” of an adverse employment action. Even if sex is, in a kind of word game, one of many but-for causes of discrimination against a gay or transgender person, it is not the central, motivating, and prejudicial reason. One could quibble over what this really achieves: the discrimination alleged against the plaintiffs was motivated by prejudice too, and it’s not clear that prejudice on the basis of sexual orientation or gender identity are not both species of discrimination on the basis of gender stereotypes, in the same way that sexual harassment of masculine women and effeminate men have been held to be (as in Price Waterhouse and Oncale; a note in the Yale Law Journal well makes this point).

But even if the evidence better supported the linguistic claim, there would be other textual problems with Phillips’s approach as well.  First, words are generally to be given their ordinary meanings. This is true with limited exceptions, as when there is a clearly borrowed common law meaning, or when the statute itself has defined a term – and even when Congress has defined a word or phrase, “It should take the strongest evidence to make us believe that Congress has defined a term in a manner repugnant to its ordinary and traditional sense” (Babbitt, Scalia, J., dissenting). Neither exception applies to the phrase “discriminate against.”

Second, whatever textual value corpus linguistics has, the Title VII example shows how equivocal the evidence can be. Some semantic tools are more reliable linguistic short-hands than others. It wouldn’t make sense to elevate weak corpus linguistics evidence over comparatively strong structural evidence.

Here, that structural evidence is unusually strong, because the statute exempts employment practices that formally, but not functionally, discriminate when they constitute “bona fide occupational qualifications.” If a prejudicial motive was required to violate Title VII, it would be bizarre to create a prominent scheme of exceptions to a public policy combating subordination. The statute expressly contemplated, and created exceptions for, otherwise facially discriminatory employment actions not motivated by prejudice, like mandatory retirement ages for pilots or denominational requirements for pastors. (And as a matter of precedent, the Supreme Court has already ruled, in Automobile Workers v. Johnson Controls, that “[t]he beneficence of an employer’s purpose does not undermine the conclusion that an explicit gender-based policy is sex discrimination under § 703(a).”)

Phillips’s argument demonstrates how frustrating it can be for some textualists to deny themselves purposivist evidence: it tempts them to find particular forms of intent in words themselves, because it generally can’t be considered at the level of an overall statutory scheme. At the very least, if textualist judges are to accept corpus linguistics evidence of meaning, as Phillips has elsewhere urged should be prominently integrated into originalist methodology and textualist statutory interpretation, they should demand clearer and better evidence than that which exists in the Title VII cases.

[1] These links don’t work in all browsers, and could not be captured by Perma.cc. To re-create the results, search “discriminate* against” and “discriminating against” in List for the 1950 and 1960 sections of COHA and click “context.”

[2] Again, these links don’t work in all browsers, and could not be captured by Perma.cc. To re-create the results, search “discriminate* against” and “discriminating against” in List for the 1950 and 1960 sections of the Supreme Court corpus and click “context.”