译者|崔程新 湖南大学
审稿|郑晨焕 WUSTL LL.M.
        左亦惟 中南财经政法大学法本
编辑|陈宣颖 西南政法大学本科
责编|陈远航 美国西北大学LL.M.
UNITED STATES v. VIRGINIA (1996)
美国诉弗吉尼亚州(1996)
Background
背景
Virginia Military Institute (VMI) is the sole single-sex school among Virginia's public institutions of higher learning. VMI's distinctive mission is to produce "citizen-soldiers," men prepared for leadership in civilian life and in military service. Using an "adversative method" of training not available elsewhere in Virginia, VMI endeavors to instill physical and mental discipline in its cadets and impart to them a strong moral code. Reflecting the high value alumni place on their VMI training, VMI has the largest per-student endowment of all public undergraduate institutions in the Nation. The United States sued Virginia and VMI, alleging that VMI's exclusively male admission policy violated the Fourteenth Amendments Equal Protection Clause. The District Court ruled in VMI's favor. The Fourth Circuit reversed and ordered Virginia to remedy the constitutional violation. In response, Virginia proposed a parallel program for women: Virginia Women's Institute for Leadership (VWIL), located at Mary Baldwin College, a private liberal arts school for women. The District Court found that Virginia's proposal satisfied the Constitution's equal protection requirement, and the Fourth Circuit affirmed. The appeals court deferentially reviewed Virginia's plan and determined that provision of single-gender educational options was a legitimate objective. Maintenance of single-sex programs, the court concluded, was essential to that objective. The court recognized, however, that its analysis risked bypassing equal protection scrutiny, so it fashioned an additional test, asking whether VMI and VWIL students would receive "substantively comparable" benefits. Although the Court of Appeals acknowledged that the VWIL degree lacked the historical benefit and prestige of a VMI degree, the court nevertheless found the educational opportunities at the two schools sufficiently comparable.
弗吉尼亚军事学院(以下简称VMI)是弗吉尼亚州公立高等院校中唯一的单性别学校。VMI的独特使命是培养“公民士兵”,即培养那些为平民生活和军队服役做好领导准备的人。VMI使用弗吉尼亚州其他地方所没有的“对抗性训练方法”,努力向其学员灌输身体和精神纪律,并向他们传授强有力的道德准则。VMI拥有全国所有公立本科院校中最高额的学生人均捐赠基金,这反映了校友对VMI训练的高度重视。美国起诉弗吉尼亚州和VMI,声称VMI只招收男性学生的政策违反了宪法第十四修正案的平等保护条款。然而地区法院作出了有利于VMI的裁决。第四巡回法院推翻了这一判决,并责令弗吉尼亚州对违宪行为进行补救。作为回应,弗吉尼亚州提出了一个针对女性的平行项目:弗吉尼亚州女性领导力研究所(VWIL),位于玛丽鲍德温学院(Mary Baldwin College),这是一所针对女性的私立文科学校。地区法院裁定,弗吉尼亚州的提案符合宪法的平等保护要求,第四巡回法院维持了这一裁定。上诉法院以尊重的态度审查了弗吉尼亚的计划,并确定提供单一性别的教育选择是一个合法的目标。法院的结论是,维持单一性别项目对实现该目标至关重要。然而,法院意识到,它的分析有可能绕过平等保护的审查,所以它设定了一个额外的测试,征询VMI和VWIL的学生是否会得到“实质上相当”的利益。虽然上诉法院承认VWIL的学位缺乏VMI学位所具有的历史底蕴和声望,但法院仍然认为这两所学校的教育机会具有足够的相当性。
Held:
1. Parties who seek to defend gender-based government action must demonstrate an "exceedingly persuasive justification" for that action. E. g., Mississippi Univ. for Women v. Hogan, 458 U. S. 718, 724. Neither federal nor state government acts compatibly with equal protection when a law or official policy denies to women, simply because they are women, full citizenship stature—equal opportunity to aspire, achieve, participate in and contribute to society based on their individual talents and capacities. To meet the burden of justification, a State must show "at least that the [challenged] classification serves 'important governmental objectives and that the discriminatory means employed' are 'substantially related to the achievement of those objectives."' Ibid., quoting Wengler v. Druggists Mut. Ins. Co., 446 U.S. 142, 150. The justification must be genuine, not hypothesized or invented post hoc in response to litigation. And it must not rely on overbroad generalizations about the different talents, capacities, or preferences of males and females. See, e. g., Weinberger v. Wiesenfeld, 420 U. S. 636, 643, 648. The heightened review standard applicable to sex-based classifications does not make sex a proscribed classification, but it does mean that categorization by sex may not be used to create or perpetuate the legal, social, and economic inferiority of women. Pp. 531-534.
判决如下:
1. 寻求为基于性别的政府行为辩护的当事人必须为这种行为提供“极具说服力的理由”。例如,Mississippi Univ. for Women v. Hogan, 458 U. S. 第718和724页。如果一项法律或官方政策仅仅因为妇女是女性而拒绝给予她们充分的公民地位(即有平等机会基于她们的个人天赋和能力而追求、实现、参与和奉献社会),那么联邦或州政府的行为都不符合平等保护的要求。为了满足正当性检验的责任,一个州必须证明“至少[被质疑的]分类是服务与‘重要的政府目标,而且所采用的歧视性手段’与‘实现这些目标有实质性关联’”。同上,引用Wengler v. Druggists Mut. Ins. Co., 446 U.S. 第142和150页。理由必须是真实诚恳的,而不是为了应对诉讼而臆想或捏造的。而且,它不能依赖于对男性和女性的不同天赋、能力或偏好的过分笼统的概括。参见,例如, Weinberger v. Wiesenfeld, 420 U. S. 第636、643、648页。基于性别分类的高审查标准并没有使性别成为被禁止的分类,但它确实意味着按性别分类不得被用来制造或延续女性在法律、社会和经济上的劣势。本判决书第531—534页。
2. Virginia's categorical exclusion of women from the educational opportunities VMI provides denies equal protection to women. Pp. 534-546.
2.弗吉尼亚州断然将妇女排除在VMI提供的教育机会之外,否认了对妇女的平等保护。本判决书第534—536页。
Virginal contends that single-sex education yields important educational benefits and that provision of an option for such education fosters diversity in educational approaches. Benign justifications proffered in defense of categorical exclusions, however, must describe actual state purposes, not rationalizations for actions in fact differently grounded. Virginia has not shown that VMI was established, or has been maintained, with a view to diversifying, by its categorical exclusion of women, educational opportunities within the Commonwealth. A purpose genuinely to advance an array of educational options is not served by VMI's historic and constant plan to afford a unique educational benefit only to males. However well this plan serves Virginia's sons, it makes no provision whatever for her daughters. Pp. 535-540.
(a)弗吉尼亚州抗辩称,单性别教育产生了重要的教育效益,提供这种教育的选择促进了教育方法的多样性。然而,在为分类排除进行辩护时,所提出的善意理由必须描述该州的实际目的,而不是对事实上有不同依据的行动进行合理化。弗吉尼亚州没有证明VMI的建立或维持是为了使联邦内的教育机会多样化,因为它把女性完全排除在外。VMI历史上的一贯计划是只为男性提供独特的教育,这并不符合真正推进一系列教育选择的目的。无论这个计划为弗吉尼亚州的儿子们提供了多好的待遇,对它的女儿们却没有任何帮助。本判决书第535—540页。
(b) Virginia also argues that VMI's adversative method of training provides educational benefits that cannot be made available, unmodified, to women, and that alterations to accommodate women would necessarily be so drastic as to destroy VMI's program. It is uncontested that women's admission to VMI would require accommodations, primarily in arranging housing assignments and physical training programs for female cadets. It is also undisputed, however, that neither the goal of producing citizen-soldiers, VMI's raison d'tre, nor VMIs implementing methodology is inherently unsuitable to women. The District Court made "findings" on "gender-based developmental differences" that restate the opinions of Virginia's expert witnesses about typically male or typically female "tendencies." Courts, however, must take "a hard look" at generalizations or tendencies of the kind Virginia pressed, for state actors controlling gates to opportunity have no warrant to exclude qualified individuals based on "fixed notions concerning the roles and abilities of males and females." Mississippi Univ. for Women, 458 U. S., at 725. The notion that admission of women would downgrade VMI's stature, destroy the adversative system and, with it, even the school, is a judgment hardly proved, a prediction hardly different from other "self-fulfilling prophec[ies], see id., at 730, once routinely used to deny rights or opportunities. Women's successful entry into the federal military academies, and their participation in the Nation's military forces, indicate that Virginia's fears for VMI's future may not be solidly grounded. The Commonwealth's justification for excluding all women from "citizen-soldier" training for which some are qualified, in any event, does not rank as "exceedingly persuasive." Pp. 540-546.
(b)弗吉尼亚州还抗辩称,VMI的对抗性训练方法提供的教育利益,不可能不加修改地提供给女性,而且为适应女性而进行的改变必然会非常激烈,从而破坏VMI的项目。毫无疑问,女性入学VMI需要住宿,主要是为女学员安排住房分配和体能训练项目。然而,同样无可争辩的是,无论是培养公民士兵的目标、VMI的存在理由,还是VMI的实施方法,都从本质上不适合女性。地区法院仅“基于性别的发育差异”作出了“裁决”,重申了弗吉尼亚州专家证人关于典型男性或典型女性“倾向”的意见。然而,法院必须对弗吉尼亚州所强调的那种概括性或倾向性进行“严格审查”,因为控制机会之门的国家行为者没有理由根据“关于男性和女性角色和能力的固定观念”来排斥合格的个人。Mississippi Univ. for Women, 458 U. S., 第725页。录取女性会降低VMI的地位、破坏对抗制度、甚至破坏学校,是一个几乎没有得到证实的判断,是一个“自证预言”,见同上,第730页,曾经常被用来剥夺权利或机会。女性成功地进入联邦军事院校,并成为国家的军事力量,这表明弗吉尼亚州对VMI的未来的担忧可能没有坚实的基础。联邦政府将所有女性排除在“公民士兵”培训之外的理由(有些女性符合“公民士兵”训练的条件),无论如何,都不具有“极大的说服力”。本判决书第540—546页。
3. The remedy proffered by Virginia-maintain VMI as a male-only college and create VWIL as a separate program for women-does not cure the constitutional violation. Pp. 546-558.
3.弗吉尼亚州提出的补救措施——将VMI保留为只招收男性的军事学院,并将VWIL作为一个单独招收女性项目——并不能纠正其违反宪法的行为。本判决书第546—548页。
译者注:
【1】尊重(Deference)或司法尊重(Judicial Deference)是一项司法审查原则,其中联邦法院屈服于一个机构对法规或条例的解释。当联邦法院屈从于一个机构对(1)国会指示该机构实施的法规或(2)该机构颁布的条例的解释时,就会适用尊重原则。See Irving Salem et al., Report of the Task Force on Iudicial Deference, 57 TAX LAW. 717 (2004)
【2】提出的善意理由不得超出一般理性人的认知,并且不能违背诚信原则(Good Faith)。
【3】国家行为者(state actors)是指代表政府机构行事的人,因此受美国权利法案,包括第一、第五第十四修正案的管辖。
【4】自证预言(Self- fulfilling prophecy)指人们先入为主的判断(无论其正确与否)会影响到人们自己的行为,以至于最后实现这种判断。而这种判断至少部分是由于一个人或一群人的信念或期望,即该判断(预测)会成真。在本案中是指,人们认为,录取女性会对VMI造成不利影响。
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