Also known as:rationally derive · rational derivation · rational basis · rationally related
Written by attorneys — see sources below.
constitutional law
A standard of review under which government action is upheld if it bears a reasonable relationship to a legitimate public purpose.
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How its tested
Common Examples
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Lay Opinion on Demeanor
Maya sat outside the CFO's office and observed his facial expressions during hurried calls. She testified that the CFO looked panicked. The court admitted the testimony because the inference was rationally derived from the expressions and calls she personally perceived.
Opinion on Property Use
Rosalind Reed watched workers enter and exit a building daily for months. She testified that the building appeared to be used for commercial redevelopment. The court found the opinion rationally derived from her repeated observations of the activity.
Kelo, et al. v. City of New London545 U.S. 469, 503 (2005)
In the late 1990s the city of New London, Connecticut, confronted severe economic decline after the 1996 closure of the Naval Undersea Warfare Center, which had employed more than 1,500 people. The city's unemployment rate stood nearly double the state average and its population had dropped below 24,000 residents from a 1970 high of 30,000. State and local officials therefore designated the Fort Trumbull peninsula for targeted economic revitalization.
In 1998 the New London Development Corporation, a private nonprofit entity, was reactivated to prepare a redevelopment plan covering roughly 90 acres. The plan divided the area into seven parcels designated for a waterfront conference hotel and marinas, retail and entertainment space, research and office facilities, parking and park support, residential units, a Coast Guard museum, and additional office and retail uses. The city council formally approved the plan in January 2000 and authorized the NLDC to acquire needed parcels by purchase or, if necessary, by eminent domain.
Petitioners Susette Kelo, Wilhelmina Dery, and seven other owners held fifteen properties within parcels 3 and 4A; ten of those parcels were occupied by the owners or their family members and none was alleged to be blighted. After negotiations with the NLDC failed, the corporation initiated condemnation proceedings against the remaining properties in November 2000.
In December 2000 the petitioners filed suit in New London Superior Court asserting that the proposed takings violated the public-use limitation of the Fifth Amendment. Following a seven-day bench trial the Superior Court entered a permanent restraining order barring condemnation of the parcel 4A properties but denied relief as to the parcel 3 properties.
Both sides appealed to the Connecticut Supreme Court, which upheld the validity of all challenged takings. The United States Supreme Court granted certiorari to review the federal constitutional question.
Ravi Reddy observed his neighbors' daily routines over several years. He testified that the couple appeared to maintain a private marital relationship. The court admitted the opinion because it was rationally derived from the patterns he personally witnessed.
Griswold v. Connecticut381 U.S. 479 (1965)
Estelle Griswold served as Executive Director of the Planned Parenthood League of Connecticut. Dr. C. Lee Buxton served as the League's Medical Director and was a professor at Yale Medical School. Together they opened and operated a center in New Haven that was open from November 1 to November 10, 1961.
At the center they gave information, instruction, and medical advice to married persons as to the means of preventing conception. They examined the wife and prescribed the best contraceptive device or material for her use. Fees were usually charged, although some couples were serviced free.
The statutes involved were sections 53-32 and 54-196 of the General Statutes of Connecticut (1958 rev.). Section 53-32 made it a crime to use any drug, medicinal article or instrument for the purpose of preventing conception. Section 54-196 punished accessories as principals. The appellants were found guilty as accessories and fined $100 each.
The Appellate Division of the Circuit Court affirmed the convictions. The Supreme Court of Errors of Connecticut affirmed that judgment in State v. Griswold, 151 Conn. 544, 200 A. 2d 479. The United States Supreme Court noted probable jurisdiction.
The appellants asserted standing to raise the constitutional rights of the married persons with whom they had a professional relationship. A criminal conviction for serving married couples removes doubts about case or controversy. The rights of husband and wife would be diluted unless considered in a suit involving those who have this kind of confidential relation to them.
Rita Russell stood in the school hallway and saw students refuse to salute the flag. She testified that the students appeared to be exercising a personal choice. The court ruled the opinion rationally derived from her direct observation of their actions.
West Virginia State Board of Education v. Barnette319 U.S. 624, 638 (1943)
Following the Supreme Court's 1940 decision in Minersville School District v. Gobitis, the West Virginia legislature amended its statutes to require all schools in the state to conduct courses of instruction in history, civics, and the Constitutions of the United States and West Virginia for the purpose of teaching, fostering, and perpetuating the ideals, principles, and spirit of Americanism.
The State Board of Education was directed to prescribe the courses of study covering these subjects for public schools. Private, parochial, and denominational schools were required to prescribe similar courses.
On January 9, 1942, the West Virginia State Board of Education adopted a resolution ordering that the salute to the flag become a regular part of the program of activities in the public schools, with all teachers and pupils required to participate. The resolution specified the stiff-arm salute with the right hand raised and palm turned up while repeating the pledge: "I pledge allegiance to the Flag of the United States of America and to the Republic for which it stands; one Nation, indivisible, with liberty and justice for all."
Refusal to salute was defined as an act of insubordination to be dealt with by expulsion. Readmission was denied by statute until compliance. The expelled child was treated as unlawfully absent. Parents or guardians faced prosecution with fines not exceeding $50 and jail terms not exceeding thirty days.
The appellees are citizens of the United States and West Virginia who are Jehovah's Witnesses, an unincorporated body teaching that the obligation imposed by law of God is superior to that of laws enacted by temporal government. Their religious beliefs include a literal version of Exodus, Chapter 20, verses 4 and 5, which prohibits making or bowing down to any graven image or likeness. They consider the flag an image within this command, leading them to refuse to salute it on religious grounds.
Children of the appellees who were pupils in the public schools were expelled for their refusal to salute the flag and take the pledge of allegiance. Their parents were prosecuted for causing delinquency. Officials threatened to send the children to reformatories maintained for criminally inclined juveniles.
The appellees brought suit in the United States District Court for themselves and others similarly situated to enjoin enforcement of the laws and regulations against them. The Board of Education moved to dismiss the complaint setting forth these facts. The complaint alleged that the law and regulations denied religious freedom and freedom of speech and were invalid under the due process and equal protection clauses of the Fourteenth Amendment. The cause was submitted on the pleadings to a District Court of three judges, which restrained enforcement as to the plaintiffs and those of that class. The Board of Education brought the case to the Supreme Court by direct appeal.
Raphael Rivera examined multiple samples of a dairy product in a plant. He testified that the product appeared to be filled milk rather than pure cream. The court held the opinion rationally derived from the visual and physical characteristics he observed.
United States v. Carolene Products Co.304 U.S. 144, 153 n.4 (1938)
In March 1923, Congress enacted the Filled Milk Act. The statute prohibits the shipment in interstate commerce of skimmed milk compounded with any fat or oil other than milk fat so as to resemble milk or cream.
Carolene Products Company was indicted for the shipment in interstate commerce of packages of Milnut. Milnut is a compound of condensed skimmed milk and coconut oil made in imitation or semblance of condensed milk or cream. The United States indicted Carolene Products in the district court for the southern district of Illinois for violation of the Act by the shipment in interstate commerce of packages of Milnut.
The indictment stated in the words of the statute that Milnut is an adulterated article of food injurious to the public health. It further stated that Milnut is not a prepared food product of the type excepted from the prohibition of the Act. The trial court sustained a demurrer to the indictment on the authority of an earlier case in the same court.
The case was brought to the Supreme Court on appeal under the Criminal Appeals Act of March 2, 1907. The Court of Appeals for the Seventh Circuit has meanwhile upheld the Filled Milk Act as an appropriate exercise of the commerce power in a separate case.
Prior to passage of the Act, Congress held committee hearings. Eminent scientists and health experts testified during those hearings. An extensive investigation was made of the commerce in milk compounds in which vegetable oils have been substituted for natural milk fat. The investigation also examined the effect upon the public health of the use of such compounds as a food substitute for milk. The conclusions drawn from evidence presented at the hearings were embodied in reports of the House Committee on Agriculture and the Senate Committee on Agriculture and Forestry.
Carolene Products assailed the statute as beyond the power of Congress over interstate commerce. It also complained that the statute denies equal protection of the laws and deprives it of its property without due process of law in violation of the Fifth Amendment. The challenge focused particularly on the statute's purportedly binding and conclusive legislative declaration that the product is an adulterated article of food injurious to the public health.
Rina Rahman observed a physician's interactions with patients over several appointments. She testified that the physician appeared to be providing standard medical care. The court admitted the opinion because it was rationally derived from the conduct she personally saw.
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.
What makes a lay opinion rationally derived from a witness's perceptions?
The opinion must be a reasonable inference drawn directly from what the witness saw, heard, or otherwise sensed. Speculation about unperceived mental states or facts fails the standard.
Supporting sources
How does the rationally derived requirement differ from the personal knowledge rule?
Personal knowledge requires the witness to have perceived the underlying event. The rationally derived requirement additionally demands that any opinion drawn from those perceptions stay within the bounds of reasonable inference rather than conjecture.
Can a lay witness testify about another person's knowledge or intent?
No. Attributing specific knowledge or intent to another person crosses into speculation that is not rationally derived from observable behavior alone.
Supporting sources
381 U.S. 479 (1965)
…interest which is compelling," Bates v. Little Rock , 361 U. S. 516, 524. The law must be shown "necessary, and not merely rationally related, to the accomplishment of a permissible state policy." McLaughlin v. Florida , 379 U. S. 184, 196. See Schneider v. Irvington , 308 U. S. 147, 161. Although the Connecticut birth-control…