Also known as:essential state interests · compelling state interest
Written by attorneys — see sources below.
A governmental objective of overriding importance that permits the use of inherently prejudicial trial procedures such as visible shackling of a defendant. The interest must be established through a particularized finding by the court that the procedure is necessary to serve that objective.
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How its tested
Common Examples
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Redistricting Plan Challenge
During a capital trial the court ordered visible shackles after finding a particularized need for security. The defendant objected that the restraints were inherently prejudicial. The court upheld the order only because it served an essential state interest in courtroom safety.
Screening Device at Trial
Prosecutors placed a screen between child witnesses and the defendant during testimony. The defendant objected that the arrangement was inherently prejudicial. The court upheld the device only after finding it necessary to serve an essential state interest in protecting the children from trauma.
In August 1985, appellant was arrested and charged with sexually assaulting two 13-year-old girls earlier that month while they were camping out in the backyard of the house next door to him. According to the girls, the assailant entered their tent after they were asleep wearing a stocking over his head, shined a flashlight in their eyes, and warned them not to look at him; neither was able to describe his face.
In November 1985, at the beginning of appellant’s trial, the State made a motion pursuant to a recently enacted statute, Act of May 23, 1985, § 6, 1985 Iowa Acts 338, now codified at Iowa Code §910A.14 (1987), to allow the complaining witnesses to testify either via closed-circuit television or behind a screen. The trial court approved the use of a large screen to be placed between appellant and the witness stand during the girls’ testimony. After lighting adjustments in the courtroom, the screen would enable appellant dimly to perceive the witnesses, but the witnesses to see him not at all.
Appellant objected strenuously to use of the screen, based first of all on his Sixth Amendment confrontation right. He also argued that his right to due process was violated, since the procedure would make him appear guilty and thus erode the presumption of innocence. The trial court rejected both constitutional claims, though it instructed the jury to draw no inference of guilt from the screen.
The Iowa Supreme Court affirmed appellant’s conviction, 397 N. W. 2d 730 (1986). The Supreme Court noted probable jurisdiction, 483 U. S. 1019 (1987).
At a capital sentencing hearing the judge ordered leg shackles after an individualized security finding. Defense counsel objected on due-process grounds. The court permitted the restraints solely because they served an essential state interest in preventing escape.
Planned Parenthood of Southeastern Pennsylvania v. Casey505 U.S. 833, 112 S. Ct. 2791, 120 L. Ed. 2d 674 (1992)
The Pennsylvania Abortion Control Act of 1982, as amended in 1988 and 1989, established several requirements governing the performance of abortions within the Commonwealth.
The Act required a woman seeking an abortion to provide informed consent after receiving specific information from a physician or counselor at least twenty-four hours before the procedure. It mandated that a minor obtain the informed consent of one parent, subject to a judicial bypass option. It further required a married woman to sign a statement confirming that she had notified her husband of her planned abortion, unless certain exceptions applied. The Act also imposed reporting obligations on facilities providing abortion services and defined a medical emergency exception to the various requirements.
Before any of these provisions took effect, the petitioners brought suit in the United States District Court for the Eastern District of Pennsylvania. The petitioners were five abortion clinics and one physician representing himself as well as a class of physicians who provide abortion services. They sought declaratory and injunctive relief and challenged each provision as unconstitutional on its face.
The District Court entered a preliminary injunction. After conducting a three-day bench trial, the District Court held all the provisions unconstitutional and entered a permanent injunction against their enforcement by Pennsylvania.
The Court of Appeals for the Third Circuit affirmed in part and reversed in part. It adopted the District Court's factual findings and legal analysis except with respect to the spousal notification requirement. The Court of Appeals upheld the spousal notification requirement as constitutional and applied the undue burden standard in evaluating the provisions.
The Supreme Court granted certiorari to consider the constitutionality of the challenged provisions of the Pennsylvania statute.
The trial court required a defendant to wear visible restraints after finding a specific risk of disruption. Counsel argued the shackles undermined the presumption of innocence. The restraints were allowed only because they advanced an essential state interest in maintaining order.
Lawrence v. Texas539 U.S. 558 (2003)
In Houston, Texas, officers of the Harris County Police Department were dispatched to a private residence in response to a reported weapons disturbance.
They entered an apartment where one of the petitioners, John Geddes Lawrence, resided. The officers observed Lawrence and another man, Tyron Garner, engaging in a sexual act. The two petitioners were arrested, held in custody overnight, and charged and convicted before a Justice of the Peace.
The complaints described their crime as "deviate sexual intercourse, namely anal sex, with a member of the same sex (man)." Texas Penal Code Ann. § 21.06(a) (2003) provides that a person commits an offense if he engages in deviate sexual intercourse with another individual of the same sex. The statute defines deviate sexual intercourse as any contact between any part of the genitals of one person and the mouth or anus of another person, or the penetration of the genitals or the anus of another person with an object.
The petitioners exercised their right to a trial de novo in Harris County Criminal Court. They challenged the statute as a violation of the Equal Protection Clause of the Fourteenth Amendment and of a like provision of the Texas Constitution. Those contentions were rejected. The petitioners, having entered a plea of nolo contendere, were each fined $200 and assessed court costs of $141.25.
The Court of Appeals for the Texas Fourteenth District considered the petitioners' federal constitutional arguments under both the Equal Protection and Due Process Clauses of the Fourteenth Amendment. After hearing the case en banc the court, in a divided opinion, rejected the constitutional arguments and affirmed the convictions. The majority opinion indicates that the Court of Appeals considered our decision in Bowers v. Hardwick, 478 U.S. 186 (1986), to be controlling on the federal due process aspect of the case.
The Supreme Court granted certiorari to consider three questions. The petitioners were adults at the time of the alleged offense. Their conduct was in private and consensual.
A capital defendant appeared in shackles throughout trial. The court had made a particularized finding that restraints were required for security. The arrangement was upheld because it served an essential state interest in preventing escape or violence.
R.A.V. v. City of St. Paul, Minnesota505 U.S. 377 (1992)
In the predawn hours of June 21, 1990, petitioner R.A.V., then a juvenile, and several other teenagers assembled a crudely made cross by taping together broken chair legs and burned the cross inside the fenced yard of a black family that lived across the street from the house where R.A.V. was staying. Although this conduct could have been punished under several Minnesota statutes carrying significant penalties, the City of St. Paul chose to charge R.A.V. under the St. Paul Bias-Motivated Crime Ordinance.
The ordinance provides that whoever places on public or private property a symbol, object, appellation, characterization or graffiti, including but not limited to a burning cross or Nazi swastika, which one knows or has reasonable grounds to know arouses anger, alarm or resentment in others on the basis of race, color, creed, religion or gender commits disorderly conduct and shall be guilty of a misdemeanor.
R.A.V. moved to dismiss the charge on the ground that the ordinance was substantially overbroad and impermissibly content-based and therefore facially invalid under the First Amendment, and the trial court granted the motion. The Minnesota Supreme Court reversed, construing the ordinance to reach only fighting words and concluding that it was not impermissibly content-based. This Court granted certiorari.
Before the penalty phase the court ordered visible shackles after determining the defendant posed an escape risk. Defense objected that the restraints were prejudicial. The order stood because it was justified by an essential state interest in courtroom security.
Washington v. Glucksberg521 U.S. 702 (1997)
Washington has prohibited assisting suicide since its territorial days. In 1854, the first Territorial Legislature outlawed assisting another in the commission of self-murder. The current statute, Wash. Rev. Code § 9A.36.060, provides that a person is guilty of promoting a suicide attempt when he knowingly causes or aids another person to attempt suicide, and classifies it as a class C felony punishable by up to five years imprisonment and a $10,000 fine. Washington's Natural Death Act, enacted in 1979, states that the withholding or withdrawal of life-sustaining treatment at a patient's direction shall not constitute a suicide, but the state has consistently rejected efforts to legalize physician-assisted suicide, including a 1991 ballot initiative defeated by voters.
The respondents in this case are four physicians who practice in Washington and treat terminally ill patients, three terminally ill patients who sought to end their lives with physician assistance and have since died, and Compassion in Dying, a nonprofit organization that counsels people considering physician-assisted suicide. The physicians declared that they would assist their patients in ending their lives if not for the assisted-suicide ban. Petitioners are the State of Washington and its Attorney General.
In January 1994, the respondents filed this action in the United States District Court for the Western District of Washington. They sought a declaration that Wash. Rev. Code § 9A.36.060 is unconstitutional on its face and an injunction against its enforcement. The District Court held that the statute was unconstitutional. A panel of the Court of Appeals for the Ninth Circuit reversed that decision, but the full court sitting en banc reversed the panel and affirmed the District Court. The Supreme Court granted certiorari to review the case.
When does an essential state interest justify visible shackling of a defendant?
Visible shackles are permitted only when the trial court makes a particularized finding that they are necessary to serve an essential state interest such as courtroom security or preventing escape. The finding must be specific to the defendant on trial rather than a general policy.
How does an essential state interest differ from a merely legitimate interest?
An essential state interest must be of overriding importance sufficient to overcome the presumption against inherently prejudicial procedures. A legitimate interest alone is insufficient when the procedure risks eroding the presumption of innocence or other due process protections.
410 U.S. 113 (1973)
…certain "fundamental rights" are involved, the Court has held that regulation limiting these rights may be justified only by a "compelling state interest," Kramer v. Union Free School District , 395 U. S. 621, 627 (1969); Shapiro v. Thompson , 394 U. S. 618, 634 (1969), Sherbert v. Verner , 374 U. S. 398, 406 (1963), and that…