Also known as:rational basis review · rational basis scrutiny · rational basis test · minimum scrutiny · rational basis
Written by attorneys — see sources below.
A standard of judicial review under which legislation is upheld if the classification it draws is rationally related to a legitimate governmental interest. Courts presume the validity of most economic and social legislation that does not implicate fundamental rights or suspect classifications. The standard requires only that the law bear a rational relationship to some permissible public purpose.
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Cases
Restatements
How its tested
Common Examples
6
Entry Restriction Upheld on Security Grounds
The President issues an order limiting visas for construction workers from several majority-Muslim nations after intelligence reports flag sabotage risks at ports and military sites. A foreign architecture firm challenges the order on Establishment Clause grounds, citing earlier presidential statements. The court applies rational basis review and upholds the order because its stated national-security purpose is legitimate and the temporary restriction is rationally connected to that purpose.
Sodomy Statute Fails Rational Basis
Two adult men are arrested under a state law criminalizing same-sex intimate conduct in campus housing. They move to dismiss, arguing the statute lacks any legitimate purpose beyond moral disapproval. The court grants the motion because moral condemnation of private consensual adult conduct does not qualify as a legitimate governmental interest under rational basis review.
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.
Gun Possession Near School Exceeds Commerce Power
A machinist is indicted under a federal statute banning personal firearms in factory parking lots next to schools. The government defends the law by arguing that workplace violence could disrupt manufacturing supply chains. The court dismisses the indictment because the non-economic intrastate possession bears no rational relationship to interstate commerce under the applicable standard.
United States v. Lopez514 U.S. 549 (1995)
In March 1992, Alfonso Lopez, Jr., a twelfth-grade student at Edison High School in San Antonio, Texas, arrived at school carrying a concealed .38-caliber handgun and five bullets. Acting on an anonymous tip, school authorities confronted Lopez, who admitted possessing the weapon. Local police arrested him and charged him under Texas law with firearm possession on school premises.
The following day, state charges were dismissed after federal agents charged Lopez with violating the Gun-Free School Zones Act of 1990. A federal grand jury indicted him on one count of knowing possession of a firearm at a school zone. Lopez moved to dismiss the indictment, arguing that the statute exceeded Congress's power to legislate control over public schools.
The district court denied the motion, concluding that the statute was a constitutional exercise of Congress's power to regulate activities affecting commerce because the business of schools affects interstate commerce. After a bench trial, the court found Lopez guilty and sentenced him to six months' imprisonment and two years of supervised release.
Lopez appealed to the Court of Appeals for the Fifth Circuit, which reversed the conviction, holding that the statute was beyond Congress's power under the Commerce Clause. The Supreme Court granted certiorari to review the case.
State Transit Authority Subject to Federal Rules
A metropolitan transit authority claims Tenth Amendment immunity from federal wage-and-hour laws. The state argues that local mass transit is a traditional governmental function beyond congressional reach. The court rejects the immunity claim because the distinction between traditional and nontraditional functions lacks a rational basis for limiting federal power.
Garcia v. San Antonio Metropolitan Transit Authority469 U.S. 528 (1985)
The history of public transportation in San Antonio began with private operators. In 1959 the City of San Antonio purchased the privately owned San Antonio Transit Company and replaced it with the publicly owned San Antonio Transit System.
In 1978 the city transferred its facilities and equipment to appellee San Antonio Metropolitan Transit Authority, a public mass-transit authority organized on a countywide basis. SAMTA became the major provider of transportation in the San Antonio metropolitan area. Between 1978 and 1980 its vehicles traveled over 26 million route miles and carried over 63 million passengers.
San Antonio began receiving federal subsidies under the Urban Mass Transportation Act of 1964. SATS and SAMTA received over $51 million in UMTA grants from December 1970 through February 1980. This total included $12.5 million in operating grants during SAMTA's first two fiscal years.
The Fair Labor Standards Act was enacted in 1938 without applying to local mass-transit employees. Congress amended the statute in 1961 to extend minimum-wage coverage to private mass-transit carriers with annual gross revenue of at least $1 million. In 1966 Congress withdrew exemptions from public hospitals, schools, and mass-transit carriers whose rates and services were subject to state regulation. The 1974 amendments provided for the progressive repeal of the surviving overtime exemption for mass-transit employees while extending FLSA coverage to virtually all state and local government employees.
Following the 1976 decision in National League of Cities v. Usery, SATS informed its employees that the decision relieved it of overtime obligations under the FLSA. On September 17, 1979, the Wage and Hour Administration of the Department of Labor issued an opinion that SAMTA's operations were not constitutionally immune from the FLSA. On November 21, 1979, SAMTA filed suit against the Secretary of Labor in the United States District Court for the Western District of Texas seeking declaratory relief. On the same day appellant Garcia and other SAMTA employees sued SAMTA in the same court for overtime pay under the FLSA.
On November 17, 1981, the District Court granted SAMTA's motion for summary judgment. The court held that local public mass-transit systems constitute integral operations in areas of traditional governmental functions. After the Supreme Court decided Transportation Union v. Long Island R. Co. in 1982, the District Court's judgment was vacated and remanded. On remand the District Court adhered to its original view and again entered judgment for SAMTA in 1983. The Secretary and Garcia took direct appeals. The Supreme Court noted probable jurisdiction, restored the cases for reargument after initial argument, and requested briefing on whether the principles of the Tenth Amendment as set forth in National League of Cities v. Usery should be reconsidered.
Compulsory Flag Salute Violates Liberty
Public school students are expelled for refusing to salute the flag on religious grounds. The state defends the requirement as a rational means of promoting national unity. The court holds the compulsion unconstitutional because it fails even rational basis review when it forces individuals to affirm beliefs they do not hold.
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.
Group Home Permit Denial Lacks Rational Basis
A city denies a permit for a group home for adults with intellectual disabilities, citing neighbors' fears of safety risks and increased traffic. No evidence shows the residents pose any special danger. The court orders the permit issued because the denial rests on irrational prejudice rather than a legitimate governmental interest.
City of Cleburne, Texas, et al. v. Cleburne Living Center, Inc., et al.473 U.S. 432, 105 S. Ct. 3249, 87 L. Ed. 2d 313 (1985)
In July 1980, respondent Jan Hannah purchased a building at 201 Featherston Street in Cleburne, Texas.
Hannah intended to lease the property to Cleburne Living Center, Inc. (CLC) for use as a group home.
The home would house thirteen mentally retarded men and women under constant staff supervision.
The building contained four bedrooms and two baths, and CLC planned to add a half bath while complying with all applicable state and federal regulations for an Intermediate Care Facility for the Mentally Retarded.
The site lay in an R-3 Apartment House District.
The city's zoning ordinance permitted apartment houses, boarding houses, hospitals, and nursing homes in that district without special permission.
However, the ordinance required a special use permit, renewable annually after a public hearing, for hospitals for the insane or feeble-minded.
The city classified the proposed group home as a hospital for the feeble-minded and informed CLC that a permit was required.
After a public hearing, the City Council voted three to one to deny the application.
CLC and its prospective residents filed suit in federal district court against the city and its officials.
They alleged that the ordinance and its application discriminated against the mentally retarded in violation of the Equal Protection Clause.
The district court upheld the ordinance and the denial.
It found that the council's decision was motivated by the residents' mental retardation yet rationally related to legitimate interests such as neighborhood safety and property values.
The Court of Appeals for the Fifth Circuit reversed, holding that mental retardation is a quasi-suspect class and that the ordinance was invalid both facially and as applied.
The Supreme Court granted certiorari to review the equal protection issues raised by the zoning ordinance and its application to the proposed group home.
5 common questions
Students Frequently Ask...
When does a court apply rational basis review instead of strict or intermediate scrutiny?
Rational basis review applies to most economic and social legislation that does not burden a fundamental right or target a suspect or quasi-suspect class. The classification need only be rationally related to a legitimate governmental interest. Courts presume validity and defer to legislative judgments under this standard.
Can moral disapproval alone supply a legitimate interest under rational basis review?
No. Moral disapproval of private consensual adult conduct does not count as a legitimate governmental interest. A statute that criminalizes such conduct solely on that basis fails rational basis review.
How deferential is rational basis review when Congress acts in immigration and foreign affairs?
Courts accord substantial deference to the political branches and generally apply at most rational basis review. An order survives if it states a proper national security purpose and is rationally related to that purpose, even when other statements suggest improper animus.
Does rational basis review allow underinclusive or overinclusive laws?
Yes. Laws may be underinclusive or overinclusive so long as they are rationally related to a legitimate purpose. A city may begin with a partial ban on vehicle advertisements even if the rule leaves some distractions unregulated.
What happens when a classification fails even rational basis review?
The law is unconstitutional. A denial of public education to undocumented children fails rational basis review when cost savings alone are offered as justification, because the denial is not rationally related to any substantial state interest.
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scrutiny
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