It’s baseball season again, so it is likely that Senate Republicans and the news media will be drawing umpiring analogies in their scrutiny of President Obama’s first pick for the Supreme Court, Judge Sonia Sotomayor. It’s a smart strategy: what do Americans love more than a sunny day at the ball park, a hot dog, and simplicity?
And it works. In his confirmation hearing in 2005, Chief Justice John Roberts famously claimed, “Judges are like umpires. Umpires don’t make the rules, they apply them. The role of an umpire and a judge is critical. They make sure everybody plays by the rules, but it is a limited role. Nobody ever went to a ball game to see the umpire.” Of course, everybody ate it up, and Roberts took his place on the Court. Since that time, says Jeffrey Toobin in a recent article in The New Yorker, “In every major case…Roberts has sided with the prosecution over the defendant, the state over the condemned, the executive branch over the legislative, and the corporate defendant over the individual plaintiff.” That’s some remarkably consistent pitching.
For all of its popular appeal, the umpire analogy, at least in the Robertsian form, is a bad one. You don’t have to take my word for it; just consider the opinions of MLB umpires recounted in Bruce Weber’s insightful book on adjudication in its many forms, As They See ‘Em: A Fan’s Travels in the Land of Umpires. As it turns out, even major league umpires don’t see the strike zone as an absolute concept admitting of any brand of formalism or mechanical application. For Weber, the lesson to take from these interviews with umpires is that “though fans and broadcasters may treat the [home] plate umpire as if he were a mere ballot counter, punching the ticket of each pitch as it crosses the plate and acknowledging its ostensibly obvious credentials, in truth he’s much more of an arbitrator, keeping the most contested area on the ball field from being taken over by one side or the other.” Indeed, some umpires even drew direct parallels with interpreting the U.S. Constitution and claimed that the strike zone is a “living, breathing document.”
Now, it could be that these umpires are simply terrible at their job. It seems more likely, however, that their statements represent years of experience on the diamond, the accumulated wisdom acquired by resolving countless controversies with the tender integrity of the game of baseball at stake. While fans of a team on the losing end of a call can take their certainty to the grave with them, the absolute is not a luxury of those charged as judges.
If the simplistic version of the umpire analogy and its legal formalist relatives fall short of an adequate justification of the judicial role, are we left with the conclusion that the rule of law is a sham? Is Judge Sotomayor unfit for the Court because she puts so much emphasis on her experiences as a poor, Latina woman and her capacity for empathy? Thankfully, we aren’t really backed into either corner, but it takes a bit of effort to see just why. The first step is to examine the mythology of the umpire-judge analogy. After this, we need to see that, in fact, the rule of law did not collapse when Supreme Court justices were selected for qualities other than their simple ability to recite the formal definitions of legal principles. In fact, until the modern era, it was assumed that there ought to be some regional balance and religious balance represented on the Supreme Court. Justices with particular affiliations were expected to behave differently from other Justices with other affiliations, and the net result was a Court that, barring a few egregious gaffes, was highly non-controversial. Ironically, as the mythology of legal formalism has grown in the modern era, the Court has become more and more controversial in American politics, as if our denial of the reality of politics in law has simply confused the Court.
In fact, until the modern era, it was assumed that there ought to be some regional balance and religious balance represented on the Supreme Court.
Much has been made of the Obama administration’s persistent emphasis on a capacity for empathy as a defining characteristic of a good Justice. Judge Sotomayor possesses this capacity and proudly defends it. She has claimed that, in cases involving Latina women, “a wise Latina woman with the richness of her experiences would more often than not reach a better conclusion than a white male who hasn't lived that life,” and as Jeff Sessions and other Republican critics of the nominee have rightfully observed, this logic of representation is not compatible with the simplistic notion of the rule of law they have chosen to endorse. They have criticized the selection of Judge Sotomayor as a function of pure identity politics. Maybe it is, but what, precisely, is wrong with that is a question that any serious objection to Sotomayor must address. Thus far, the serious objectors have not come close. If it is possible to divorce the human element from the act of adjudication, then why don’t we have just one Supreme Court justice appointed with the most extreme care? Better yet, why don’t we create an adjudicatory computer program capable of deciding cases without even the capacity for empathy or for considering the real-world impact of a ruling? Why do most states use elections, replete with campaign advertising, for lower court appointments?
To look to our institutions and their histories is to see that the collective wisdom of our democracy has always had a perfectly justifiable uneasiness about the ability of a single human being to say what the law is and an equally justifiable confidence that in the right institutional setting, the all-too-human tendency of each of us to think we can say what the law is can be transformed into a workable consensus. The notion of representation on the Supreme Court is not nearly as radical as it seems. Not only is there historical precedent for it, but it also makes sense in the logic of a pluralistic democracy. If the simplistic umpire analogy doesn’t accurately represent the task of umpires in a battle between two teams, imagine how wildly inaccurate it is likely to be when judges are charged with managing a working relationship between myriad groups threatening to splinter off into permanent disenchantment, apathy, and alienation without feeling like those pulling the strings at least try to understand their situation.
The concern about Sotomayor’s qualities of empathy and experience should not get in the way of a smooth nomination and a fruitful career as an Associate Justice on the Supreme Court. If anything, her honesty about her perspectives should serve as a model for how a responsible republic, fully cognizant of its contingency and opportunity, thinks about and practices a responsive kind of law. The goal is not a political Court, but a self-aware Court, and the politics of representation play an appropriate role in this endeavor. Like the umpires who work in the real world of the MLB, Supreme Court Justices should be broadly representative and open-minded in their methods of interpretation because, as is so often the case, the greatest danger in law is a lack of reflexivity nourished by isolation and collective hubris and an inattentive attitude towards the real power of the people.
Dan Walters is a PhD and Law Student at the University of Wisconsin Madison.
Comments
I am no legal scholar, but I didn't find this article persuasive. The deconstruction of the umpire analogy offered by Dr. Walters seems only to show that the line which separates a ball from a strike moves from game to game (or perhaps even inning to inning); but in any particular game, the umpire aims to balance the claims of each team and to make the calls consistently. I am not sure that this fact would undermine an aspiration to legal formalism, in fact, the legal formalist might say this is exactly what should happen in hard cases. Moreover, the Weber quote is as devastating to Santomayor's jurisprudence as it is to the Robert's pure formalism, for to think of her statement in terms of the analogy, she would seem to be saying that an umpire from Boston is predisposed to call strikes for a Red Sox pitcher what he calls balls for the Yankees pitcher and that that predisposition should be proudly affirmed rather than resisted. Her view is precisely that one is culturally and perhaps even biologically determined to give up the contested ground. Who wants to play that game?
Surely "self-awareness" does indeed require a judge to acknowledge his or her own prejudices and to think carefully about how they might bear on a case, but should not one seek such awareness precisely so that one can resist those prejudices in order to construe the law as the legislature intended? In contrast, Santomayor wants to give those prejudices free reign and that seems to be the very definition of partisan politics and the makings of an intractably political court.
Finally, if I am right about the purpose of self-awareness and that the umpire analogy need not be abandoned, that perspective might give us some basis for wondering whether the pattern of Robert's rulings is perhaps a sign he has not yet achieved the desired awareness. But if Santomayor is right, doesn't that undermine any ground for the criticism of Robert's rulings Walters surely meant to imply by making the aside he did?
Oops: Robert's = Roberts'
First, I'm not Dr. Walters yet, so don't jinx me!
On the substantive criticism, you say, "The deconstruction of the umpire analogy offered by Dr. Walters seems only to show that the line which separates a ball from a strike moves from game to game (or perhaps even inning to inning); but in any particular game, the umpire aims to balance the claims of each team and to make the calls consistently. I am not sure that this fact would undermine an aspiration to legal formalism, in fact, the legal formalist might say this is exactly what should happen in hard cases." I would have to disagree with you here. A formalist would never admit that there might be different legal conclusions in different circumstances (or innings/games, to keep the analogy going). A formalist would probably acknowledge the existence of "hard cases," but he/she would certainly not succumb to the temptation to refer to extra-legal factors (e.g., a history of discrimination or extreme poverty) to help resolve the case.
Second, you say, "The Weber quote is as devastating to Santomayor's jurisprudence as it is to the Robert's pure formalism, for to think of her statement in terms of the analogy, she would seem to be saying that an umpire from Boston is predisposed to call strikes for a Red Sox pitcher what he calls balls for the Yankees pitcher and that that predisposition should be proudly affirmed rather than resisted. Her view is precisely that one is culturally and perhaps even biologically determined to give up the contested ground. Who wants to play that game?" I would suggest that a realistic view of "the game" would acknowledge that this kind of bias actually describes the dynamics of power and judgment in both baseball and in law and that a system of adjudication built around this bias would be almost observationally equivalent to any imagined formalist system. Allow me to explain this possibly very controversial statement: what I mean is that everybody involved in the legal system (from one-shot litigants to repeat players like corporations) thinks of the law in terms of maximizing their well-being, and that they choose to play because they think they can come out ahead. In other words, the system works because of a sort of residual bias that intrigues people to the point that they take their case to court. This is why "forum shopping" is a common practice. Can this bias then be legitimate? I think it is legitimate as long as the bias is tempered by a respect for the plain meaning of the law. As far as I can tell, Sotomayor has not said that she will ignore the law and the intent of Congress; rather, she has been very clear that her empathy and background are simply additional hermeneutical methods which she uses to augment her more traditional legal methods (which I'm sure she is more than competent in considering her stellar performance at Princeton and Yale Law). But the important point that I wished to make was simply that the legal system and baseball don't in fact work on a perception of absolute fairness. They work because everybody thinks that one forum is biased against them and another for them, but as long as judges make an effort to moderate their use of bias in easy cases, nobody is going to opt out of the game. In other words, a sort of equilibrium emerges, and it is far more desirable in some ways because we all like to feel like the refs are on our side from time to time (though certainly not always--that would just be dishonorable). I would suggest that such an equilibrium would do much more to make people feel enfranchised and would thus contribute to democratic legitimacy.
I should add that it really helps you to see my point of view to think of the legal system as an open-ended process. I would suggest that there is a nasty tendency for people to focus on the individual instance of a trial when modeling the rule of law. A very famous legal scholar once articulated something called the "logic of the triad" wherein judges resolve a dyadic dispute by resorting to neutral principles which both sides can accept. This is the birth of formalism, and the logic is nice and neat at this point. The problem is that we have appeals, and after appeals we often have remandings. Even a decision by the Supreme Court is often not the end of a particular dispute. Once again, I think we need to be realistic about the legal system and to see that this process is built around the idea that disputes aren't resolved by formal logic or neutral principles. Rather, they are resolved when the parties involved are both satisfied (though that might mean one group bows out with a net loss).
So, in conclusion, I have to disagree when you say, "Surely 'self-awareness' does indeed require a judge to acknowledge his or her own prejudices and to think carefully about how they might bear on a case, but should not one seek such awareness precisely so that one can resist those prejudices in order to construe the law as the legislature intended?" Self-awareness is not something judges should have so they can then begin to decode true answers to hard cases--self-awareness is something judges should have to remind them that a true answer is not possible in many cases, and that the best they can do is to draw on their arsenal of interpretive weapons (including, as I have argued, human factors like empathy and a sense of practical justice). For the reasons I mentioned previously, I don't think judges should feel bad at all about engaging in this kind of analysis so long as they invest some capital in fairness in easier cases.
Well, that was long. I hope it was clear enough and not overly complex, but these are big issues and we can hardly do them total justice here. Thanks for your comments.
I have to disagree with D. Walters' overall argument, and his specific counterpoint here illustrates why:
" The problem is that we have appeals, and after appeals we often have remandings. Even a decision by the Supreme Court is often not the end of a particular dispute. Once again, I think we need to be realistic about the legal system and to see that this process is built around the idea that disputes aren't resolved by formal logic or neutral principles. Rather, they are resolved when the parties involved are both satisfied (though that might mean one group bows out with a net loss)."
The problem I see with this argument is that while it may be true (within certain bounds) for a lower level trial judge adjudicating a dispute between two opposing parties, it is not (and can not) be true at the Appeals or Supreme Court level.
Because our legal model is built on case law and precedent, every time the Supreme Court rules on a given case (the specific dispute in question), they are not *only* resolving that dispute. They are not only helping the two disagreeing parties reach a mutually tolerable agreement. They are also (more often than not) establishing precedents that reach far beyond the particulars of that specific dispute.
So, if Supreme Court Justices allow themselves to find a solution that is merely one that both parties can live with, based on empathy, political viewpoints or any factor other than the law's intent, they would not be performing the role they need to be performing. They need to be concerned with establishing the "formal logic and neutral principles" that other trial judges will then use, to the best of their ability, in future trials. They must be concerned with evaluting the "consensus" agreement reached by the lower courts, and evaluate whether or not some legal precedent or statute has been violated.
A trial judge in a lower court can be happy with reaching an agreement the two parties can live with, and human factors such as empathy may be valuable tools for how that judge reaches that agreement. He or she has that luxury, since it is only those parties that are directly affected. However, if that decision violated the law or established precedent, then that decision may (and should) still be remanded or reversed by higher level courts, even though both parties "accepted" it.
The decision to remand or reverse should NOT be based on empaty for the parties involved, but based solely on a logical and critical analysis of the facts of the case, the intent of the law, and established precedent.
Actually, we could not have a functioning legal system at all if a trial judge is free to use his empathy to make one ruling favoring a party in class X, and the appeals court (who feels empathy for the other party) reverses it, and the supreme court reverses it again, all based on which party the felt the most sympathy for. What happens when the courts' makeup changes, and a very similar case is tried where the trial judge rules AGAINST the party in class X, the appeals court reverses it, and the supreme court reverses it again. All based on emotion and feelings rather than logic. How can any consistent or well defined precedent ever be set if all parties are free to let their emotions drive the precedents being set? That idea in itself is illogical.
(Note: Not the same person who posted the previous comments!)
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