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The Judicial Bookshelf
D.
GRIER STEPHENSON, JR.[1]
Few
students of the Supreme Court and the Constitution read
very far before encountering McCulloch v Maryland.[2]
In this decision, the Court held that Congress could
charter a national bank even without express authorization
in the Constitution and that the states could not tax
it. The ruling formally recognized both a deep reservoir
of legislative power within the Constitution and a subordinate
place for the states in the federal system. Moreover,
the Supreme Court, as expounder of the Constitution, would
correspondingly have a narrow but nonetheless essential
role, protecting national interests from improper inroads
by the states. Yet as important as the ruling was in cementing
the foundations of national supremacy Chief Justice Marshall's
opinion of the Court was vigorously criticized in some
quarters at the time. Marshall even felt compelled to
resort to the newspapers in anonymously written defenses
of his position.[3]
Nearly
a decade later the controversy over McCulloch had
not subsided. In a review of Kent's Commentaries, Hugh
Swinton Legare, later Attorney General and Secretary of
State in President Tyler's administration, declared that
the decision of 1819 "gave the government an unbounded
discretion in the choice of 'means' to effect its constitutional
objects. . . . [T]here is no end to the consequences
that may and will be deduced from the doctrine in McCulloch's
case," he declared.
The
amount of it really is, that the enumeration of powers
in the constitution was a vain attempt to confine what
is necessarily illimitablethat such an instrument
never can ascertain its objects with any sort of precision
that it can, at most, hint a vague
purpose and sketch a sweeping outline, which is to be
filled up at discretion in short,
that it is not the plan of a government formed and settled,
and circumscribed from the first,.., but a mere nucleus
around which a government is to be formed, according
to the circumstances of the times, and the opinions of
mankind. Such a principle being once established, no man
can pretend to anticipate what shape the constitution
of the United States ... is destined to take."[4]
For
Legare, the Supreme Court had renounced a responsibility
"We venture to predict that no act of the federal
government will ever be pronounced unconstitutional in
that court, for the simple reason that the principle of
McCulloch's case covers the whole ground of political
sovereignty and consecrates usurpation in advance."
In the short run, Legare was right. From 1803 until the
unusual circumstances of the Dred Scott case in
1857, the Supreme Court refrained from declaring any act
of Congress unconstitutional. Still, the real significance
of Legare assessment went further than dissatisfaction
with the holding in the bank case. Legare
explicitly accepted the Court's role as guardian of the
Constitution, expecting the
Court to protect state interests against inroads by Congress.
Legare's critique, therefore, was no attack on judicial
review, but a pointed reprimand. The Court had read national
powers so broadly as to make its future exercise against
Congress highly unlikely McCulloch threatened state
prerogatives.
Skirmishes
over McCulloch of course did not conclude the debate.
The political heirs of Marshall and Legare continue the
dialogue on the nature of constitutional limitations and
the role of the Supreme Court in giving them meaning.
The subject guarantees that the Supreme Court will not
soon suffer from inattention in political and legal literature,
as recent volumes attest.
The
Justices
John
Marshall's leadership in decisions such as McCulloch
during some 34 years as head of the Supreme Court
earned him the acclamation of "the great Chief Justice."
Leadership is the subject of Robert J. Steamer's Chief
Justice.[5] He observes correctly that in a
few instances "the presidential choice of a chief
justice has been the president's most enduring contribution
to the nation's political culture."[6] This is certainly
true with President John Adams' appointment of Marshall
in the waning days of his administration in 1801. It is
probably true with respect to President Hoover's nomination
of Charles Evans Hughes in 1930, President Grant's choice
of Morrison Remick Waite in 1874, and President Harding's
selection of William Howard Taft in 1921. It may even
be true of President Eisenhower's naming of Earl Warren
in 1953. Surely few of Eisenhower's decisions and policies
have had a more lasting impact on the nation.
Rather
than undertaking a chronological study of the chief justices
from Jay through Burger, Steamer has instead adopted a
comparative approach, examining chiefs in the various
ways in which leadership has manifested itself Coverage
is uneven, as one would expect. Jay Rutledge, and Ellsworth,
the first three chief justices, served for very short
periods (Rutledge for only six months), and with a relative
scarcity of cases, the opportunity for measurable impact
was small. Moreover, attention given to Chief Justice
Burger is less than to, say Warren or Fuller because Steamer
completed his writing prior to Burger's retirement in
1986 before the record for the fifteenth Chief
Justice had fully run its course.
Part
of the context of judicial leadership is the change the
office has experienced since 1789, especially in arenas
outside the Supreme Court. This makes comparisons more
difficult. Public expectations for a Warren Burger were
vastly different from those for a John Marshall or a Roger
Taney Aside from working one's influence on public policy
through cases decided by the Court (the internal dimension
of leadership), today's Chief Justice confronts demands
outside the Court that are far removed from those of the
nineteenth century The external dimension of the chief
justiceship now requires the occupant to preside over
the Judicial Conference of the United States and to supervise
the Administrative Office of the United States Courts
as well as to handle other administrative chores, to lobby
for legislation to improve the administration of justice,
to defend the judiciary from political assaults from without,
to communicate with the organized bar and law schools
on matters of common interest, and to fulfill a ceremonial
component in the public's eye. All of these, says Steamer,
require "an uneven amalgam of managerial dexterity
social adroitness, and intellectual powers," and,
one should add, political acumen.[7]
Steamer
attempts to answer a series of questions: What has been
a particular chiefs impact on constitutional development?
What are the qualities which have made some chief justices
great leaders? Why has prior political success or legal
accomplishment not prevented mediocrity in the office?
What connection appears between judicial statesmanship
and legal craftsmanship? From answers to these and related
questions, Steamer generates not a quantitative measure
of leadership but a characterization of those who excelled
and why Noting Charles Evans Hughes' observation that
"the ways in which the Court does its work give [the
chief justice] a special opportunity for leadership,"
Steamer attempts to provide a look at how fifteen chiefs
have used that "special opportunity"
Additionally
judicial greatness requires that "the incumbent be
a judge whose views of the Constitution and of the law
must be thoughtfully formulated and expounded in a written
opinion... ." The Chief must be able "to carry
his intellectual weight" in order to build and to
maintain respect with colleagues and with the Court's
constituencies in the legal profession, the academy and
the public at large. Potentially in the right hands the
office of Chief Justice in power, prestige and authority
can be, and sometimes has been, "second only to the
presidency"
Steamer's
conclusions confirm widely held impressions. There are
few surprises. In overall performance, the nation has
been well served by holders of an office the Constitution
mentions but does not describe. Excepting John Rutledge
who hardly had a chance, Steamer believes that "all
have left a personal imprint on the Court's work and in
greater or less degree on American constitutional development."
Marshall, Hughes, and Warren receive the highest ratings,
yet the author is quick to add that they necessarily had
neither "the most imaginative minds" nor were
they necessarily "the most deft managers." Especially
for Marshall and Hughes, they succeeded because they were
"very skillful politicians" in the internal
and external dimensions of judicial life.[9]
During
the years of his incumbency Warren never faced a president
bent on limiting institutional power as did Marshall with
Jefferson or Hughes with Roosevelt. Nor were the Warren
Court's decisions ever without considerable support throughout
the country The buckshot approach taken by Congress [in
Warren's years], while harassing and not to be discounted,
was never as formidable a political threat as the big
cannon aimed by President Roosevelt.[10]
Contributing
to leadership is the combination of personalities on the
bench at a particular time. While the chiefs character
and demeanor are surely factors, so are the character,
demeanor, and attitudes of each of the associate justices.
Insights into seventeen present and former justices appear
in The Supreme Court and Its Justices,"[11]a
collection of essays on the Supreme Court and its members.
Edited by Jesse H. Choper, the volume reprints twenty-six
articles from the ABA Journal, including eleven
by and twelve about, individual justices. In a few instances,
an essay about one justice is authored by another,
as in the case of Chief Justice Warren's "Chief Justice
Marshall: Expounder of the Constitution."
Choper
has divided the volume into seven sections, six of which
contain two or more essays: (1) Establishment of the Power
of Judicial Review, (2) Portraits of Past Justices, (3)
Qualities, Characteristics and Activities of Past Justices,
(4) The Court as a Center of Controversy (5) Internal
Operation of the Court, (6) Appointment of New Justices,
and (7) Lawyering Before the Court. While most of the
essays are recent in origin, several are not. "Roger
Brooke Taney: A Great Chief Justice" by Charles Evans
Hughes appeared originally in 1931 and contributed to
the restoration of Chief Justice Taney's reputation in
scholarly circles. Harry C. Shriver's "Oliver Wendell
Holmes: The Lawyer" was first published in 1938 and
is one of two essays in the book on the Olympian. Robert
H. Jackson assessed "The Judicial Career of Chief
Justice Charles Evans Hughes" while he was Attorney
General, just before his own appointment to the Court
following Harlan Stone's move to the center chair in 1941.
And Justice Harold H. Burton's classic 'Marbury M
Madison: The Cornerstone of Constitutional
Law" was featured in a 1950 issue of the Journal.
Among
the most recent entries are two by Justice Lewis E Powell,
Jr., who retired from the Supreme Court in June 1987,
after fifteen and a half years of service. "Myths
and Misconceptions About the Supreme Court" and "What
Really Goes on at the Supreme Court" are instructive
not only about the Court but about Justice Powell as well.
Implicit in each is deep institutional loyalty and affection,
a hope for public appreciation of the nature of the Court's
work, and a belief in civility and collegiality if the
Justices are to do their work well. "If I seem partisan
on behalf of the Court, it is because lam," says
Powell.[12]
Myths
Justice Powell debunks include "long 'vacations,'"
"the mysteriously light workload" (where he
takes issue with the late Justice Douglas' contention
that the Court is "vastly underworked"), "law
clerks' influence," the impropriety of five-four
decisions (where he notes that the kinds of issues the
Court faces guarantee a large number of such splits each
term), and the prevalence of "discords" and
"blocs." Journalists who interpret the Court's
work to the public fail "to understand that judges,
like lawyers, may disagree strongly without personal rancor
or ill will. The fact is that a genuine cordiality exists
among the justices.... [U]se of the word bloc reflects
a serious misconception of the way the Court functions
and suggests some invidious degree of collaboration in
the decisional process." [13]
Written
after publication of The Brethren,"[14]
his second essay argues that "the extent of our
secrecy is greatly exaggerated." [15] Engaging
in what Holmes once called "the elucidation of the
obvious," Powell reminds readers that secrecy for
deliberations is essential. "The integrity of judicial
decision making would be impaired seriously if we had
to reach our judgments in the atmosphere of an ongoing
town meeting." Similarly Justice Powell defends the
Court against charges in the media that the institution
has become "rudderless." The absence of a dominant
"judicial or ideological philosophy" is a sign
of strength, he writes. It is evidence that "justices
recognize no obligation to reflect the views of the president
who appointed them," an indication of "a long
tradition at the Court of independent decision making."[16]
Enhancing
the value of these and other selections is their accessibility
So often essays of similar merit from across the years
remain scattered among dozens of dusty bound periodicals
on library shelves or wound on reels of microfilm. And
in many libraries they are unavailable in any medium.
Students of the Court can be pleased that so many contributions
have been given new life in a new form.
The
Court At Work
Because
the Supreme Court is a collegial body understanding interactions
among the Justices and between the Court and the larger
political system is therefore essential to understanding
the institution. This is the objective of David M. O'Brien
in Storm Center.[17] Exploring judicial
tempest and calm alike, O'Brien has written one of the
most useful and most thoroughly researched volumes on
the Court to appear in a long time. For example, he examined
the private papers of 55 justices (including the
papers of Justice Brennan and the late Justice Douglas),
over half the number of all who have ever served on the
High Court. Moreover, he had correspondence or discussions
with former Chief Justice Burger as well as Chief Justice
Rehnquist and Justices Brennan, O'Connor, Powell, Stevens,
Blackmun, Marshall, and White, as well as the late Justice
Stewart.
Because
the Supreme Court's role in American government is at
once both anti-democratic and countermajoritarian, O'Brien
agrees with Chief Justice Edward White that its power
rests "solely upon the approval of a free people."[18]
The operation of the Court accordingly becomes a topic
worthy of study beyond reasons of scholastic curiosity
How the Court decides cases the institutional dynamics
that are at work may well affect public attitudes
toward the Court and therefore the way its decisions are
received.
Storm
Center flashes a caution light on how the Court performs
its tasks. Looking at the Burger Court, O'Brien believes
that it became "increasingly bureaucratic in response
to growing caseloads." The result has been, O'Brien
finds, a Court now functioning "more like a legislative
body" with a decision typically being more like an
event than a process. The danger is that such trends "in
turn lead to less certainty stability and predictability
in the law."[19]
By
"bureaucratization" O'Brien presumably means
the addition of staff at the Court, including clerks for
individual Justices, hired for specific duties because
of their expertise, who operate in a hierarchy of authority.
More work is therefore done by persons other than the
Justices themselves, casting a shadow over Justice Brandeis'
observation that "the reason the public thinks so
much of the Justices of the Supreme Court is that they
are almost the only people in Washington who do their
own work."[20] Evidence for a shift toward legislative-like
behavior is a decrease in collegiality and socializing
among the Justices necessitated by an increased caseload
and a marked increase in the number of highly politicized
cases the Court now chooses to hear.
The
press of time in turn leads to the filing of more dissents
and concurrences, task made easier with the advent of
word processing. Differences among the Justices become
fixed rather than compromised. In the years of the Burger
Court at least, O'Brien found a reinforcing of "ideological
and personal differences."[21] By contrast, until
the end of Chief Justice Hughes' time on the Court, the
difference between the number of opinions for the Court
(majority opinions) and the total number of opinions (including
majority and separate opinions) was very small. During
Chief Justice Warren's tenure, however, the latter figure
became more than twice the former figure, meaning that
individual dissenting and concurring opinions now substantially
outnumber majority opinions. Opinions are also longer
on average than they were fifty years ago, a significant
development since there are now so many more opinions.
The trend, which O'Brien terms "legislative,"
is for Justices to "stake out" rather than to
compromise positions. One recalls the situation which
generally prevailed prior to Chief Justice Marshall's
appointment when Justices routinely filed seriatim
opinions, making "the Court's" position
more difficult to ascertain.
Partly
responsible for this phenomenon are the kinds of cases
the Court hears today: major questions of constitutional
and statutory interpretation. "These are areas in
which the justices are most likely to disagree and to
be least inclined to compromise."[22] In Frankfurter's
words, "constitutional law . . . is not at
all a science, but applied politics. . . ."[23] Moreover,
greater workloads leave less time for resolving differences.
"There is less of this than one would like,"
admits Justice Powell, "primarily because of our
heavy case load and the logistical difficulties of talking
individually to eight other justices."[24] O'Brien
believes that Justices may be "less willing to withdraw
concurring or dissenting opinions because of the time
their clerks devoted to them."[25] Finally the more
individualized stands that are taken publicly the more
Justices feel constrained from compromising their views
in the future for fear of seeming inconsistent.
Storm
Center also portrays the Court at work in the context
of deciding particular cases. Especially instructive are
the accounts of decision making in United States v.
Nixon and Griswold v. Connecticut.
Readers learn more than has been made available in
any other source.[26] In the Connecticut birth control
case, for example, an early draft of Justice Douglas'
majority opinion rested on a First Amendment right of
associational privacy as in NA.A.CP v. Alabama.[27]
In a three-page memorandum to Douglas, Justice Brennan
suggested instead the penumbral approach the published
opinion of the Court contains. For Brennan, the change
in grounding "would be most attractive to me because
it would require less departure from the specific guarantees
and because I think there is a better chance it will command
a Court."[28]
Despite
such examples of collegiality O'Brien believes that the
recent trends he has highlighted are "likely to continue
regardless of future appointments and attempts to curb
the Court." Both the nature of the Court's docket
and its internal procedures have combined to give "the
Supreme Court a new, more difficult role to play in American
political life."[29]
If
O'Brien's book presents a "macro" view of the
Court, Bernard Schwartz in Swanns Way[30] provides
a "micro" look at one of the Burger Court's
most far-reaching decisions: Swann v Charlotte-Mecklenburg
Board of Education.[31] This was the first
decision by the Supreme Court explicitly approving busing
as a remedy for racial segregation in urban areas. While
its focus was southern, it was nonetheless a precursor
of decisions affecting other parts of the nation. Throughout
his account, Schwartz offers ample corroboration of Justice
Clark's observation that "differences of opinion
must be expected on legal questions as on other subjects.
. . . The history of progress is filled with many
pages of disagreement. Why therefore, . . . expect
'the most influential men on the bench . . . trained
in different philosophy and matured in a different climate'
to have the same thoughts and views? They don't and they
won't."[32]
Schwartz
presents what is probably the most detailed account in
the literature of the Supreme Court's decision-making
process in a single case. To accomplish this task he drew
from several manuscript collections, interviews with several
present and former Justices, as well as customary primary
and secondary sources. When Swanns Way appeared
in 1986, five Justices (Brennan, White, Marshall, Blackmun,
and Burger) who participated in Swann were still
on the Court. (Chief Justice Burger retired at the end
of the term in 1986, and Justices Powell and Rehnquist
were not named to the Court until eight months after Swann
came down. Justice Stevens did not join the Court
until after Justice Douglas' retirement in 1975.) Questions
regarding propriety naturally arise when memoranda prepared
in confidence reach the public's eye while Justices concerned
are still sitting. The same question applies in some places
to O'Brien's Storm Center
Fifteen
years, however, separate the decision in the case and
publication of Schwartz's book. Less time than that had
elapsed when Alpheus Mason's ground-breaking biography
of Chief Justice Stone appeared in 1956, just eleven years
after Stone's death.[33] Moreover, several members of
the Stone Court were therefore still sitting when heretofore
secret details of judicial deliberations saw the light
of day And parts of the Stone biography had already been
published as articles in law reviews. Controversial in
some quarters at the time, intervening decades have accustomed
almost all scholars and Court publicists to the acceptability
of Mason's timing. Certainly when the cases have been
long decided, the materials made available by the Justices
themselves or their estates, and full documentation provided
by the author, the public gains and the Court benefits
from scholarly scrutiny.[34]
In
Swann, each member of the Court recognized the
case's importance. Not only was the question raised a
significant one, but the Court had its own record of unanimity
in school segregation cases to protect. Moreover, Warren
Burger was in one of his first terms as Chief Justice,
with the need to establish leadership on the bench. Finally
all were aware of the much-publicized promises of the
Nixon administration, growing out of the presidential
campaign of 1968, to restrict the effects of Brown
v. Board of Education[35] and its progeny.
Schwartz's
account demonstrates the lengths to which a new chief
justice might go to retain the appearance of leadership.
According to Schwartz, Burger's Views on the case were
not shared by a majority of the Justices. Burger was inclined
to curtail the broad pro-busing order issued by United
States District Judge McMillan in Charlotte. Justice Black
as well believed the remedy went beyond what the Constitution
required. This division resulted in a judicial tug-of-war.
Through six drafts the majority pulled Burger toward their
understanding of the case, while several members of the
Court became sensitized to his objections. Justice Black
went so far as to prepare a draft dissent which he circulated,
perhaps as a bargaining ploy within days of the day Swann
was actually announced. Schwartz explains how Black's
position placed Burger in the middle between a more restrictive
position and that of Justices like Brennan who wanted
a resounding affirmation of the steps Judge McMillan had
taken in the case. "Even Brennan could conclude,"
Schwartz says, "that the Burger draft joined by all
was still preferable, with all its imperfections, to a
further refining process that would produce the sharp
Black dissent."[36] The opinion thus brought the
Court together in a statement which perfectly reflected
no Justice's views.
After
the decision had been announced, Fifth Circuit Appeals
Judge Griffin Bell confessed to a reporter, "It's
almost as if there were two sets of views laid side by
side."[37] Schwartz shows how this came about.
The
blending of dissent and agreement which Schwartz observed
in Swann is the subject of Sheldon Goldman and
Charles Lamb's Judicial Conflict and Consensus,[38]
a volume of twelve original essays on appellate court
decision-making in the United States. Four concern the
United States Supreme Court, four the United States Courts
of Appeals, and four the state supreme courts. Focus is
on judicial behavior not the reasoning put forth
in the opinions themselves.
The
editors' reasons for commissioning the studies include,
first, increased "understanding of American collegial
courts as legal policy-making institutions." Second,
because appellate courts have substantial power in American
government, "examination of conflict on courts may
tell us about a variety of ways in which that power is
or can be exercised." Third, students of the judicial
process will learn more about the internal operations
of courts. This suggests a fourth reason:
enhancing
one's knowledge of "the individual attitudes and
values of judges." Consideration of the concept of
"judicial role" is offered as a fifth basis,
with the sixth being an improved ability "to draw
inferences about the exercise of leadership on courts."[39]
Sidney
Ulmer's "Exploring the Dissent Patterns of the Chief
Justices: John Marshall to Warren Burger,"[40] the
second essay in the collection, is of particular interest.
Noting the obvious incentives for a chief justice not
to dissent, Ulmer first surveys the number of dissenting
votes cast by individual chief justices as recorded in
the Reports. Despite the essay's title, complete
comparative data in the study include the Warren Court,
but not the Burger Court since the research had been completed
well before Chief Justice Burger's retirement. Since the
dissent rates vary sharply by chief justice, Ulmer then
attempts to account for the differences. Overall, the
percentage of nonunanimous cases ranged from a low of
7 percent in the Marshall Court to a high of 75 percent
in the Vinson Court. The rate for the Warren Court was
69 percent. Moreover, with only two exceptions, each succeeding
court has shown a higher percentage of 5-4 cases (or their
equivalent) than its predecessor. This fact, Ulmer notes,
is consistent with the proposition that cases decided
by the Supreme Court have become more complex and that
disunity has increased as the Justices have gained a greater
say in selecting cases for review.
Within
the pool of all cases decided (from a low of 704 during
the Stone years to a high of 4866 in the Fuller years),
the chiefs dissent percentage ranged from a low of less
than 1 (Marshall) to a high of 13 (Stone). Warren's and
Vinson's were slightly over 12 percent each. Furthermore,
the mean rate of dissent for chief justices prior to Stone
was only 1.9 percent."[41] To account for these variations,
Ulmer statistically tests several hypotheses. He discovers
that the dissent rate among chief justices does not decrease
for chiefs appointed in their later years or who serve
for a longer time. It is not explained by prior experience
as a legislator or a judge. Nor is it a function of congressional
pressure on the Court. It does correlate in most instances
if one considers both complexity of cases and turnover
on the Court. Ulmer equates "complexity" with
the dissent rate in cases in which the chief justice did
not dissent. His "turnover index" results from
combining the average number of appointing presidents
per Court with the average number of appointments per
Court.
Ulmer
is careful not to draw firm conclusions on the basis of
his study His dissent-predicting model for chief justices,
he cautions, "is strictly exploratory" Indeed,
when tested against Chief Justice Burger's dissents between
1969 and 1980, the model greatly under-predicted the former
chiefs dissents. Perhaps "complexity of cases and
turnover are having a greater impact on Burger than on
earlier chiefs. The correct explanation, however, can
be found only after additional research."[42] Even
with respect to earlier chiefs, it is entirely possible
that other considerations, not tested in the Ulmer study
could account for the varying dissent rates observed.
Complexity
of litigation in the Supreme Court underlies the analysis
and recommendations in Redefining the Supreme Courts'
Role by Samuel Estreicher and John Sexton.[43] Both
authors are former clerks at the Court, Estreicher having
served with Justice Powell in 1977 and Sexton with Chief
Justice Burger in 1980. Partly because of this experience,
both became concerned with the Court's workload, which
many recognize as a problem. "There is a limit to
human endurance," Justice Brennan has said, and the
present number of cases argued and decided "taxes
that endurance to its limits."[44]
Identifying
a problem, however, is not the same as finding or agreeing
on a solution. Proposals to "do something" about
the expanding docket began in earnest early in Chief Justice
Burger's tenure, with recommendations for a National Court
of Appeals. This institution would review the Supreme
Court docket, referring only the most important cases
to the justices and disposing of the rest itself.[45]
A commission headed by Nebraska Senator Roman L. Hruska
recommended creation of an intermediate court to decide
about 150 cases a year referred to it either by the Supreme
Court or existing courts of appeals.[46] In the 1980s
discussion turned to establishment of an Intercircuit
Tribunal (ICT) that would occupy a position just below
the Supreme Court, deciding only cases referred to it
by that body especially those involving conflicts among
the circuits.[47]
Estreicher
and Sexton believe that adding a new court will only marginally
increase the number of cases in which nationally binding
law can be rendered. Instead, what is needed is a redefined
role for the Supreme Court, one that does not call for
the Court to be a "supreme court of errors."
If the Court is seen as the strategic leader of the federal
lawmaking process and not as a super court of appeals,
the justices can meet the expectations placed upon them.
Otherwise there will be "the inevitable, paralyzing
frustration that must seize them if they take seriously
their obligation to satisfy the current level of expectations"
of universal availability.[48]
Accordingly
the Court's "principal objectives in selecting cases
for plenary consideration should be to establish clearly
and definitively the contours of national legal doctrine
once the issues have fully 'percolated' in the lower courts,
to settle fundamental inter-branch and state-federal conflicts,
and to encourage the state and federal appellate courts
to engage in thoughtful decision-making, mindful of their
own responsibility in the national lawmaking process."[49]
Their findings, based on the 1982 term, show (1) that
nearly one-fourth of the cases in which the Court granted
review "had no legitimate claim on the Court's time
and resources;" (2) that only 48 percent of the cases
heard by the Court in 1982 had to be heard, meaning
that "over half of the Court's docket was discretionary;"
and (3) that "less than 1 percent of the cases denied
review . . . , were cases that should have been heard
by the Court. . .
Under
a regimen of a newly defined role, the Court's docket
would be divided into three categories: the priority docket,
the discretionary docket, and the "improvident grant
segment." The first would include "intolerable"
intercourt conflicts, conflict with Supreme Court precedent
where a lower court has "disregarded authoritative
Supreme Court precedent squarely on point," resolution
of "profound vertical federalism disputes,"
resolution of interbranch disputes, and resolution of
interstate disputes. The discretionary docket would include
cases where a state court sustained state action in the
face of a federal constitutional or statutory challenge,
other considerations of "vertical federalism"
where federal courts have invalidated "nonstatutory
state action on federal constitutional or statutory grounds
(excluding federal habeas)," a "significant
interference with federal executive responsibility"
occasional interventions to correct "egregious error
in order to ensure responsible actions by lower courts,"
resolution of national emergencies, and "vehicles
for advances in the development of federal law" The
third category of cases in which the Court would not intervene
include most intercourt conflicts between only two courts,
most issues of "nonconstitutional law" in the
absence of one of the other criteria, issues of state
law, and most situations where a state court has invalidated
state action on federal grounds.[51]
These
of course are not precise or clearly defined categories.
The authors, however, have outlined an imaginative solution
of the workload problem in terms of altered role, rather
than more institutions or ever enlarging bureaucracies.
Their recommendations even call for a change in the way
the Court decides cases. Once the proper ones have been
chosen, the Court would routinely call upon expert help,
rather than relying mainly on the talents of counsel involved
in the litigation.[52] The objective is a way in which
the Justices can employ their scarce resources to perform
essential functions.
The
Work Of The Court
As
the number of volumes surveyed in the article attests,
the Supreme Court is a much-studied institution. Yet,
in almost any book about the Court and its Justices, it
is commonplace to find comparatively little on the pre-Marshall
period. Even the first volume of the Holmes Devise History[53]
reserves only three chapters to the Supreme Court.
This relative inattention is due to the smaller number
of cases, rapid turnover in personnel, and an unformed
institutional identity After 1800 the Court faced a docket
that had increased in both volume and significance, enjoyed
more stable membership, and had a developing identity.
A
major step toward rectifying much of this pre- versus
post-1800 imbalance has occurred with publication in two
parts of the first volume of The Documentary History
of the Supreme Court of the United States, 1 789-1800,
edited principally by Maeva Marcus and James R. Perry
as assisted in this monumental project by seven associate,
assistant, and illustrations editors. Sponsored by the
Supreme Court Historical Society and the United States
Supreme Court, the project will eventually encompass seven
volumes, providing the first record of all cases heard
by the Supreme Court between 1790 and 1800. In addition,
the series will contain documents relating to the justices
and the business of the Court, plus a compilation of official
records, private papers, and other primary sources.
To
date, searches by the editors have turned up over 18,000
documents. If volume one is an accurate predictor of what
is to come, the series will more than fulfill the editors'
promise that the set "will constitute a collection
of materials that no individual scholar could hope to
duplicate."[54] Indeed, the value of this collection
is two fold: some materials are being published for the
first time, and for the first time so many valuable sources
are together in one place.
Volume
one serves as an introduction and resource for the installments
to come, but standing alone, it is of major value. There
are, for example, 156 pages of documents and other
materials relating to the appointment of each justice
during the Court's first decade. This section is followed
by nearly 400 pages of minutes, drafts of court proceedings,
and docket headnotes. Notes on bar admissions conclude
Part One.
Part
Two consists of what the editors call "Commentaries."
These are some 560 items, including letters, newspaper
articles, diary and journal entries, and similar things
relating to the appointment of justices and clerks and
to the work of the Court. One finds, for example, ample
material relating to John Rutledge's appointment as Chief
Justice on July 1, 1795 and his subsequent rejection by
the Senate on December 15. It seems safe to say
that no other single publication contains so many items
relating to this series of events.
The
South Carolina State-Gazette account of Rutledge's
speech in Charleston against the Jay Treaty during the
month of his nomination appears in full, with the editors'
notations on versions that were reprinted in at least
twelve other newspapers up and down the coast before the
middle of August as well as references to the speech published
in several more.[55] The press may have been no less a
force in American politics in Rutledge's day than in our
own, but given the horseback and sailing-ship pace of
the news, nationwide impact was almost always delayed.
Also
present is Secretary of State Edmund Randolph's letter
of July 25 to President Washington, containing Henry disasters
report that Rutledge was "believed in Charleston
to be deranged in his mind." This is followed by
Randolph's plainly exasperated letter to Washington on
July 29:
The
newspapers present all the intelligence, which has reached
me, relative to the treaty Dunlops of yesterday
morning conveys the proceedings of Charleston. The conduct
of the intended Chief Justice is so extraordinary, that
Mr. Walkout and Col. Pickering conceive it to be a proof
of the imputation of insanity By calculating dates, it
would seem to have taken place, after my letter, tendering
the office to him was received; tho' he has not acknowledged
it.[56]
Rutledge's
letter of resignation as Chief, written December 28, 1795,
offered mainly his declining health as reason:
I
set out, tho' in ill Health . . . for Raleigh, in No.
Carolina, but was so indisposed on the Road, as to be
incapable of reaching it & as ultimately obliged to
return to this Place, convinced by Experience, that it
requires a Constitution less broken than mine, to discharge
with Punctuality & Satisfaction, the Duties of so
important an Office.[57]
Rutledge
was neither the first nor the last justice to reel from
the onerous pressures occasioned by the travel which duty
on circuit entailed. Since the Senate did not reject Rutledge
until December 15, it seems entirely possible that
Rutledge wrote this letter before he knew the outcome
of the vote.
While
the fruits of the first volume of The Documentary History
were not available to David P. Curie, The Constitution
in the Supreme Court: The First Hundred Years 1789-1888[58]
stands as a substantial scholarly achievement. His
book, however, is neither a history of the Court nor a
straight legal analysis of all its decisions. Rather,
Currie has attempted "to provide a critical history
analyzing from a lawyer's standpoint the entire constitutional
work of the Court's first hundred years."[59] The
product is an evaluation of the Court in terms of the
method of interpretation and the style of opinion writing
displayed in each of the Court's decisions on constitutional
issues. The author therefore omits discussion of the broader
political and social contexts, but recognizes their importance
obliquely through references in the footnotes.[60]
Currie's
evaluation of judicial performance rests on the Constitution
itself a kind of constitutional objectivism.
It is "a law binding the judges no less than the
other officials whose actions the court undertakes to
review Accordingly "judges have no more right to
invent limitations not found in the Constitution than
to disregard those put there by the Framers. In short,
when a judge swears to uphold the Constitution, he promises
obedience to a set of rules laid down by someone else."[61]
Not
surprisingly Currie is usually more impressed by right
reason than correct results. Thus, Harlan's dissent in
the Civil Rights Cases[62] is regarded as "a substantial
effort by any standard but one in which he seems to have
let his heart run away with his head."[63] But Currie's
judgments are tempered by understanding. "Especially
from the smug advantage of a century or two of hindsight,
it is easier to find fault than to write a good opinion.
. . . Add that the opinions were often prepared
by overburdened generalists in as little as a few days,
in a time of inferior research tools and an immature tradition
of judicial exposition, under the pressure of carrying
colleagues with varying views; and it is perhaps inspiring
that the Justices did so well."[64]
Because
of the reference already made in this survey to the pre-Marshall
years, Currie's findings for that decade are of some interest.
In terms of published opinions, the Court's decisions
were explained by only seven justices: Jay Cushing, Wilson,
Blair, Iredell, Paterson, and Chase.[65] While there were
only three constitutional cases resolved by full-scale
opinions (Chisholm v Georgia, Hylton
v United States, and Calder v
Bull66) an additional twelve cases such as
Ware v Hylton[67] had constitutional
overtones.
These
decisions, Currie concludes, established two lasting principles
of construction: that "doubtful cases were to be
resolved in favor of constitutionality" and that
"statutes were to be construed if possible in a manner
consistent with the Constitution."[68] Moreover,
basic tools of constitutional interpretation in use before
1801 are still employed today. "The first Justices
looked to the text of the governing constitutional provision,
to inferences that could be drawn from other provisions
to contemporary usage, to the intentions or purposes of
the Framers, and to their own conceptions of sound policy."[69]
Words seemed decisive in Chisholm, legal tradition
in Caldet and policy in Hylton v United
States. Then as now, opinions were flawed.
In
Chisholm, the Justices paid insufficient heed to
tradition and to the statements of the Framers. In Hylton,
they relied too heavily on policy before making a
serious effort to explain the text. In Calder they
failed to explain why judicial action was not forbidden
by the ex post facto clause, to acknowledge usage contrary
to that which they invoked, and to make clear precisely
on which ground they relied.[70]
Perhaps
the most surprising conclusion arising from Currie's analysis
is "the enormous latitude the Constitution has left
to judicial judgment." That was illustrated by the
first decade's work. Already appearing were symptoms of
free-wheeling judicial discretion. In Currie's view, Paterson
and Iredell were the most impressive in their constitutional
jurisprudence. Chase could be "thorough and persuasive"
but wandered into issues not presented and seemed to be
"no respecter of the written Constitution."
While Wilson exhibited "erudition," his opinions
also "seemed pretentious and disorganized."
Jay was "long winded and off the point," while
Blair and Cushing added little. "[N]ot a time of
giant Justices or of great decisions," Curie nonetheless
finds the Court under Jay Rutledge, and Ellsworth anything
but uninteresting and insignificant. It set "a pattern
of constitutional adjudication that was to endure."[71]
Just
as Curie's volume purposefully overlooked the political
and social contexts of litigation to focus on the reasoning
the Justices employed, John A. Garraty's Quarrels That
Have Shaped the Constitution[72] is a collection
of studies that highlights the origins and development
of constitutional cases in their political mileu. Originally
published in 1962, the book has been reissued with five
new essays, for a total now of twenty Don E. Fehrenbacher's
on "The Dred Scott Case" replaces Bruce Cat-ton's.
Appearing for the first time are articles on Near v
Minnesota[73] ("The Case of the
Miscreat Purveyor of Scandal" by Paul L. Murphy),
Gideon v Wainwright[74] ("The
Case of the Florida Drifter" by Anthony Lewis), Roe
v Wade[75] ("The Abortion
Case" by Rosalind Rosenberg), and West Coast Hotel
Co. v Parrish[76] ("The Case of
the Wenatchee Chambermaid" by William E. Leuchtenburg).
Garraty's
title sums up the nature of American constitutional interpretation.
It is a process of resolving "quarrels" which
appear in the guise of cases, posing questions to be answered
by judges. Constitutional principle is frequently the
by-product of the pursuit of personal gain, as people
seek to retain or recover something they believe (or hope)
is rightfully theirs. Decisions that emerge from cases
continue to shape the document by which all the nation
lives.
So,
as William E. Leuchtenburg explains, it was Elsie Parrish
(the "Wenatchee Chambermaid") who initiated
the litigation in which the Supreme Court in 1937 upheld,
five votes to four, the Washington State minimum wage
law The decision helped to launch a constitutional revolution
in favor of expanded governmental regulation of the economy
and helped to dampen another: President Franklin Roosevelt's
"court-packing" plan.[77] The landmark decision
of Adkins v Childrens' Hospital[78]
was overruled, and with it the very recent holding
in Morehead v New York ex rel. Tipaldo.[79]
In
1937, Court-watchers expected the Washington statute to
fall. On June 1, 1936, Morehead had invalidated
a New York minimum wage law, with Justices Sutherland,
Butler, Van Devanter, McReynolds, and Roberts in the majority
and with Justices Brandeis, Cardozo, and Stone and Chief
Justice Hughes in dissent. Now in West Coast Hotel,
announced on March 29, 1937, Roberts voted to sustain
a nearly identical statute. Intervening was the unveiling
on February 5 of President Roosevelt's statutory assault
on the Court.
To
defend Roberts against accusations that the President's
plan drove him to the other side of the economic regulation
question, Justice Frankfurter published in 1955 a memorandum
which Roberts had given him a decade earlier outlining
the sequence of events with respect to his votes in Morehead
and West Coast Hotel.[80] In an explanation
to which Leuchtenburg only briefly alludes,[81] Roberts
recounted that he had favored granting review in
Morehead only if the Justices were prepared to
overrule Adkins. Since only three preferred that
route (Hughes wanted only to distinguish that case from
Adkins since the state of New York had not challenged
the older case directly), he went along with the Sutherland
wing of the Court in striking down law By contrast, West
Coast Hotel squarely presented the opportunity of
interring Adkins. "Thus, for the first time,"
Roberts maintained, "I was confronted with the necessity
of facing the soundness of the Adkins case."[82]
And at conference on December 19, Roberts voted to uphold
the law The Court was evenly divided at that point because
of Justice Stone's absence due to illness. When he returned
in February, Stone also cast his vote to uphold the law
Roberts' position had therefore been made clear well before
announcement of the court-packing plan.[83]
While
the Roberts memorandum explains the timing of his vote
in the second case relative to the impending executive-judicial
confrontation, the record is clear that Roberts could
have made the difference on the fate of the New York statute
in 1936. Perhaps Roberts was simply unsettled in his own
thinking regarding the enormity of the constitutional
issues which were at stake. He had voted with the majority
in upholding the moratorium law in Home Building &
Loan Association v Blaisdell, and had
authored the ground-breaking majority opinion on minimum
milk prices in Nebbia v New York. Yet, he
spoke for the Court in United States v Butler,
striking down the Agricultural Adjustment Act, and
was part of the majority in the Carter Coal case invalidating
the Bituminous Coal Conservation Act in 1936.[84]
Because
of the outcome of this constitutional "quarrel,"
Elsie Parrish finally received her back pay of $216.19.
Interviewed some thirty-five years later, writes Leuchtenburg,
"she indicated . . . that she had accomplished something
of historic significance less for
herself than for the thousands of women . . . who
needed to know that, however belatedly they could summon
the law to their side."[85]
While
the Garraty volume enlivens a series of constitutional
disputes spanning 170 years, A "Scottsboro"
Case in Mississippi by Richard C. Cortner[86] is a
detailed account of the events and personalities involved
in a single case: Brown v Mississippi.[87]
Brown was the Supreme Court's first decision invalidating
a state conviction because of the use at trial of coerced
confessions.
Indeed,
as late as the 1920s, the Due Process Clause of the Fourteenth
Amendment had not been held to impose significant restrictions
on the states in the administration of their criminal
laws. In terms of the Court's subsequent and gradual assumption
of supervisory powers over state criminal justice, therefore,
Brown is a companion to Powell v Alabama,[88]
the Scottsboro case where the Court four years earlier
had overturned convictions because of inadequate counsel.
The
connection between Powell and Brown goes
beyond their similar settings in adjacent states during
the 1930s with poor black males on trial for their lives.
Cortner shows how the Court in the latter case could have
used the former decision as a basis for reversing the
Mississippi convictions, because counsel at trial was
inadequate.[89] That would have served the defendants
just as well, but Brown would have had no measurable
influence on constitutional law By focusing on the introduction
of coerced confessions at trial, however, the Court expanded
the scope of its review of state proceedings by attributing
more procedural content to the Fourteenth Amendment. The
results have been far-reaching. Interrogations and counsel
have been troublesome issues for the justices in nearly
every succeeding term.
Throughout
Cortner provides an engaging account which captures the
drama and humanity of the case, all the while he
effectively shows how Brown became one of those
"quarrels that shaped the Constitution." There
was the murder of Raymond Stuart, a Kemper County, Mississippi,
planter. Ed Brown, Henry Shields, and Yank Ellington were
black sharecroppers who were arrested, indicted, tried
for murder, and sentenced to be hanged, all within a week
of Stuart's death. The District Attorney was John Stennis,
later United States Senator. Key to the direction the
case took after the trial were the efforts by local attorneys
John A. Clark and Earl Leroy Brewer at substantial emotional
and financial costs to themselves. Clark, a state senator,
took the appeal to the Supreme Court of Mississippi, but
then suffered a mental and physical collapse as well as
the loss of a political future in his home state. Brewer
was a former governor of Mississippi who conducted the
Brown appeal to the United States Supreme Court.
Without persistence by first Clark and then Brewer, with
shoestring funding (total contributions were $1925) from
local people and from groups such as the Commission on
Interracial Cooperation and National Association for the
Advancement of Colored People, the case of the Kemper
County trio doubtless would have ended very differently.
Particularly
influential in the appeal was the opinion by dissenting
Justice William Anderson of the Mississippi Supreme Court
which highlighted graphically the gruesome details of
the "interrogation." The state court majority
had upheld the convictions not because they approved of
the methods the police employed but because counsel did
not object to the use of the confessions until after they
had been introduced at trial. To this Anderson responded:
"The court had staring it in the face this incompetent
testimony without which there could be no conviction.
Must the lives.., be taken by law because their counsel
failed to bring to the attention of the court this incompetent
evidence? Are they without remedy?[90]
According
to Chief Justice Hughes for a unanimous Supreme Court,
they were not. "[T]he freedom of the State in establishing
its policy is the freedom of constitutional government.
. . . Because a State may dispense with a jury
trial, it does not follow that it may substitute trial
by ordeal. The rack and torture chamber may not be substituted
for the witness stand." [91] As it happened, Brown
came down on February 17, the same day the Court announced
its decision in Ashwander v. TVA.[92] Understandably
much press attention focused on the latter which upheld
the validity of the Tennessee Valley Authority Commented
one news magazine, "Even the deepest-eyed Liberal
hardly gave a hoot that day about Brown et al. v
State of Mississippi three Negroes convicted
of murder, whose statements, claimed to have been made
when they were brutally whipped by deputy sheriffs, were
admitted in evidence. . . ."[93]
Afterwards,
District Attorney Stennis insisted on a retrial. Eventually
a plea bargain was arranged whereby the Kemper County
trio could please nolo contendere to manslaughter.
With time already spent in jail, sentences ran seven and
a half years for Brown, two and one-half for Shields,
and six months for Ellington. The three were persuaded
that a retrial might again result in a death sentence.
"On 28 November 1936,... the hard-fought battle on
their behalf came, rather unsatisfactorily to an end."[94]
Rather
than mold a book around a single case, Francis Graham
Lee in Wall of controversy has chosen a single
issue: the church-state constitutional conflict.[95] Combining
his own observations with a judicious selection of documents,
Lee has compiled a valuable and concise resource for anyone
interested in this continuing issue. The body of the book
contains excerpts from the opinions of nine Justices,
the earliest being Justice Frankfurter's dissent in the
second flag-salute case[96] and Justice Black's majority
opinion in Everson v Board of Education.[97]
Most recent are the opinions of the Court in Mueller
v Allen and Lynch v Donnelly written
by Justice Rehnquist and Chief Justice Burger respectively.[98]
Altogether, excerpted opinions come from thirteen cases.
Lee's
chief concern is the Court's difficulty in resolving disputes
under the First Amendment's religion clauses. He believes
that an inability to remove conflicts from the political
agenda or worse still, an exacerbation of political
conflict is a sign of failure. Because the church-state
controversy is largely a constitutional controversy the
Court bears much of the responsibility he concludes, for
the issue's continuing presence in the crucible of conflict.
He notes by contrast that political dissent and obscenity
while not entirely in remission as issues, are no longer
the burning questions they were in the 1950s and 1960s.[99]
According
to Lee, the core of the problem is the Court's failure
to enunciate clear and convincing principles in the church-state
arena which would end the debate. By lack of clarity he
presumably means an absence of predictability With the
Establishment Clause, for instance, it is difficult to
know in advance whether particular forms of state aid
to sectarian schools will be judged constitutionally acceptable.
Yet the problem of clarity does not arise because all
the justices keep changing their minds. The record demonstrates
consistency among most members of the Court. For instance,
into 1986 before Chief Justice Burger's retirement, three
were reluctant to approve almost any form of aid, and
three found most forms of aid to be constitutionally unobjectionable.
It was the thinking of the middle group of Justices that
effectively determined the outcome in individual cases,
with two or more sometimes leaning one way and sometimes
another. The result was a crazy-quilt pattern of decisions
which the public must have considered muddled, or at best
unclear.
The
church-state conflict is also compounded by the evolving
nature of the questions that arise. Interactions between
government and religion are hardly fixed or static, a
fact made immeasurably more complex once the Supreme Court
applied the religion clauses to the states through the
Fourteenth Amendment in the 1940s. One year finds questions
of bus transportation and loans of textbooks on the docket,
while another year finds tax deductions for school expenses
and "shared time" arrangements up for decision.
Moreover, church and state interact in literally hundreds
of ways, since religious bodies are part of society and
since citizens have religious as well as political interests.
Consistent application of "clear" principles
might not be entirely persuasive, therefore, given the
conflicting views that exist throughout the population.
At present, what consensus there is might best be described
as "uncertain."[100]
Were
he given five votes on the Court, Lee would cast them
in favor of the "Livermore principle." New Hampshire's
Judge Samuel Livermore was a member of the First Congress
that proposed the First Amendment and the rest of the
Bill of Rights to the states. His wording for the religion
clauses stipulated that "Congress shall make no laws
touching religion or to infringe the rights of Conscience."
The House adopted Livermore's motion, and Lee believes
it "to be as good a representation as Madison's of
the feeling in that chamber. . . ."[101]
What
would the Livermore principle require today? According
to Lee, "religion and the state must be absolutely
separate. . . . [G]overnment . . . should eschew
any action that benefits religion or any laws that injure
religion." Banned would be all aid to sectarian schools,
books as well as buses. Also highly suspect would be any
laws regulating religious institutions. Lee believes the
best contemporary statement of the Livermore principle
is found in Justice Brennan's "sadly neglected standard"
from his concurring opinion in Abington School District
v. Schempp:
Neither
can Government give, either directly or indirectly any
aid, money services, or support to any religion or any
religious organization nor can Government impose, directly
or indirectly any burden, tax, or regulation on any religion,
religious organization, or individual in the practice
of his/her religion, unless such burden is required by
a compelling state interest that can be achieved by no
other means.[102]
The
church-state controversy remains unsettled, of course.
But Lee's volume is evidence that the task of resolving
it removing it from the political
agenda requires more than the Court can do alone.
Of course the justices sit partly as teachers in American
society a role that has been evident ever since early
justices extolled the virtues of constitutional government
as they traveled on circuit. But the Court can teach only
so much and lead only so far. Also needed is sufficient
consensus among opinion leaders across the land. That
has yet to take shape. Constitutional decision making
in the church-state arena is hampered by divided opinion
among the people at large. It is probably enough to expect
the Court to be a consensus contributor, and too much
to ask that the Court be the consensus builder. As Attorney
General Robert Jackson perceptively observed before his
own appointment to the Court,
However
well the Court and its bar may discharge their tasks,
the destiny of this Court is inseparably linked to the
fate of our democratic system of representative government.
Judicial functions, as we have evolved them, can be discharged
only in that kind of society which is willing to submit
its conflicts to adjudication and to subordinate power
to reason. The future of the Court may depend more upon
the competence of the executive and legislative branches
. . . to solve their problems adequately and in time than
upon the merit which is its own. There seems no likelihood
that the tensions and conflicts of our society are to
decrease. . . . I see no reason to doubt that the problems
of the next half century will test the wisdom and courage
of this Court as severely as any half century of its existence.[103]
Few
should therefore be amazed when the Court's responses
on church-state questions reflect the conflicting answers
voiced by the nation itself.
Judicial
Review
Progress
toward Lee's goal of clearer and more persuasive opinions
interpreting the religion clauses involves exercise of
the power of judicial review This authority of courts
in the context of cases to refuse to apply laws judges
find in conflict with the Constitution today distinguishes
American courts from those of most nations in the world.
And distinguishing American courts from every other
system is the significance of questions those cases involve.
This
development is the subject of The Rise of Modern Judicial
Review by Christopher Wolfe.[104] "Modern"
is the key word in the title, for Wolfe's survey of thinking
about judicial review from the Federalist to the
last years of the Burger Court forms the basis of his
conclusion that the "very nature of judicial review
has changed."[105] This transformation in turn creates
a need to explore both the origins of judicial power and
a consideration of the alternatives to judicial review
as it is currently practiced. Wolfe is very much a believer
in "truth in judging": Americans should be fully
aware of what their judges do.
Wolfe
divides the history of judicial review into three stages:
the "traditional" era of constitutional interpretation
(1789-1890), the "transitional" era (1890-1937),
and the "modern" era (1937-present). The first
was
characterized by its assumption that the Constitution
was both intelligible it had a real
or true meaning that could be known if one read it properly
and substantive it
established principles that were definite and clear enough
to be enforced as legal rules, rather than merely proclaiming
vague generalities.[106]
The
second era transformed judicial review into a device to
defend property by reading certain natural rights into
constitutional passages most susceptible to interpretation.
The magnitude of this change was obscured at the time
by several factors. First, expanded constitutional protection
was justified as a plausible construction of the Commerce
Clause and the Fifth and Fourteenth Amendments. Second,
the founders themselves had placed high value on property
making it easy to fasten a "laissez faire" economic
theory onto the Constitution, especially in view of the
increased scope of government regulation of business after
the Civil War. Third, legal realism which arose around
the turn of the twentieth century argued that all judging
was inherently legislative. That is, deciding cases entailed
judges writing values into law Taken together, American
judges in the transition era could argue that they were
doing nothing more than judges from an earlier day had
done. Even opponents of the Court's new use of judicial
review accepted the idea that the Constitution embodied
protection for property rights, says Wolfe. They argued
instead that the Constitution merely had to be adapted
to new conditions. This attitude cut the words in the
document loose from their foundations, resulting in an
accordion-like text one which could eventually
take on almost any meaning.
Spanning
the division between the transitional and modern eras,
Robert H. Jackson described this process.
During
its early days [the Court] had the aid of counsel who
expounded the Constitution from intimate and personal
experience in its making.... The passing of John Marshall
marked the passing of that phase of the Court's experience.
Thereafter the Constitution became less a living and contemporary
thingmore and more a tradition. The work of the
Court became less an exposition of its text and ... more
largely a study of what later men had said about it. The
Constitution was less resorted to for deciding cases,
and cases were more resorted to for deciding about the
Constitution.[107]
The
modern era has reflected "the victory of a distinctly
modern understanding of judicial power as fundamentally
legislative in character."[108] As Jackson said,
"This was the inevitable consequence of accumulating
a body of judicial experience and opinion which the legal
profession would regard as precedents."[109] Scholars
transposed an understanding of the common law judge at
work into the realm of constitutional interpretation,
with "the nearly total victory within the legal profession
of the view that judges including Supreme Court
justices exercising the power of judicial review
are inevitably legislators."[110] This applied
as much to a Jerome Frank as it did to a Felix Frankfurter.
With this understanding of the role of judges in the political
system firmly implanted, resurgence of judicial activism
after 1937 "seems to have been virtually inevitable."
Driving this evolution in the third stage as in the second
has been "dissatisfaction with the Constitution
either because its prescriptions are wrong, or more often,
because they do not go far enough. . . ."[111]
So
in evaluating the Warren Court's interpretation of the
religion clauses, for example, Wolfe notes the same confusion
Lee and others have found.
The
inability of the Court to provide an interpretation that
harmonized the two religion clauses was the result of
its desire to expand the meaning of each beyond its original
intent. Its willingness to tolerate the contradictions
that arose . . . was simply another manifestation
of its subordination of constitutional intent to what
it thought were the best constitutional policies. Better
that we have incoherent constitutional interpretation,
it seemed to say than that we have interpretation that
tolerates public support for religion or fails to protect
religious minorities sufficiently.[112]
But
recall that Lee's solution to the present confusion in
interpretation of the religion clauses was also a recourse
to "intent." Lee's understanding of that intent,
however, would produce strong separationist decisions
identical to those Wolfe believes depart from intent.
"Theories
of judicial review" writes Wolfe, "either confine
judges to exercising judgment, or they encourage them
to exercise will." [113] The former was dominant
in the "traditional" stage, the latter in the
"modern." A return to judicial review in its
earliest form involves more than a rejection of deeply
ensconced ways of thinking. It raises a more fundamental
question: "is the Constitution itself an adequate
basis for modern government?"[114] Judicial review
properly considered, believes Wolfe, exposes one's deepest
thinking on the nation's needs. If the Constitution without
judicial re-making does not do the things we want, then
a judiciary on the modern model may be institutionally
desirable. Yet Wolfe prefers that an explicit and
knowing choice be made.
Are
the demonstrated and potential benefits of modern judicial
review outweighed by its demonstrated and potential harms?
Is a legislative form of judicial review, on the whole,
an improvement over the founders' attempt to provide for
both majority rule and minority rights, or is it indeed
too "precarious" a security?[115]
There
may be too many with an interest in keeping the Constitution
the way it has become for a reappraisal to occur that
would satisfy Wolfe, even if the Court soon begins a fourth
stage of judicial review But studies like his and the
others surveyed here stimulate healthy debate about the
Court's evolving place in American government and help
to determine what that place will be. What was true in
the time of Hugh Swinton Legare remains true today The
history of the nation lies in the cases the Court decides.
Values clash in the courtroom as they do in the electoral
arena. Controversy surrounding judicial decisions fairly
reflects the American people's strong attachment to, yet
suspicion of, the judiciary's role in the democratic experiment.
Endnotes
- The volumes
surveyed in this article are listed alphabetically
by author below.
Choper,
Jesse H., ed. The Supreme Court and its Justices
(Chicago: American Bar Association, 1987), pp. 269.
Cortner,
Richard C., A "Scottsboro" Case in Mississippi:
The Supreme Court and Brown v. Mississippi (Jackson:
University Press of Mississippi, 1986), pp. xiv, 174.
Currie,
David P., The Constitution in the Supreme Court:
The First Hundred Years 1789-1888 (Chicago: University
of Chicago Press, 1985), pp. xiii, 504.
Estreicher,
Samuel, and John Sexton, Redefining the Supreme Courts
Role: A Theory of Managing the Federal Judicial Process
(New Haven, Conn.: Yale University Press, 1986),
pp. x, 201.
Garraty,
John A., Quarrels That Have Shaped the Constitution,
rev. ed. (New York: Harper & Row, 1987), pp. viii,
391.
Goldman,
Sheldon, and Charles M. Lamb, eds. Judicial Conflict
and Consensus: Behavioral Studies of American Appellate
Courts (Lexington: University Press of Kentucky,
1986), pp. ix, 205.
Lee,
Francis Graham, Wall of Controversy: Church-State
Conflict in Americathe Justices and Their Opinions
(Malabar, Fla.: Krieger, 1986), pp. lxxii, 999.
Marcus,
Maeva, and James R. Perry, eds., The Documentary
History of the Supreme Court of the United States 1789-1800,
vol. 1 (in 2 parts) (New York: Columbia University Press,
1985), pp. lxxii, 999.
OBrien,
David M. Storm Center: The Supreme Court in American
Politics (New York: W. W. Norton, 1986), pp. 384.
Schwartz,
Bernard, Swanns Way: The School Busing Case and
the Supreme Court (New York: Oxford University Press,
1986), pp. 245.
Steamer,
Robert J., Chief Justice: Leadership and the Supreme
Court (Columbia: University of South Carolina Press,
1986), pp. xiv, 321.
Wolfe,
Christopher, The Rise of Modern Judicial Review:
From Constitutional Interpretation to Judge-Made Law(New
York: Basic Books, 1986), pp. x, 392.
-
17
U.S. (4 Wheaton) 316 (1819).
-
G.
Gunther, John Marshalls Defense of McCulloch
v. Maryland (1969).
-
2
H. Legaré, Writings 130 (1845).
-
Supra,
n. 1.
-
Id.,
293.
-
Id.,
xi.
-
Id.,
301.
-
Id.,
296.
-
Id.,
298.
-
Supra
n. 1.
-
Id.,
213.
-
Id.,
207.
-
B.
Woodward and S. Armstrong, The Brethren (New
York: Simon and Schuster, 1979. The book purported
to reveal the inside scoop on the Court from 1969
to 1976. Controversial in its sources of information
and absence of documentation, the volume was otherwise
unremarkable in its findings.
-
Choper,
supra n. 1, 209.
-
Id.,
210-213.
-
Supra
n. 1.
-
Id.,
15.
-
Id.,
14.
-
Quoted
in C. Wyzanski, Jr., Whereas A Judges
Premises 61 (1944).
-
OBrien,
supra n. 1, 231.
-
Id.
274.
-
"The
Zeitgeist and the Judiciary," in A. MacLeish
and E. Prichard, Jr., eds. Law and Politics,
p. 6 (1939).
-
Choper,
supra n. 1, 210.
-
O
Brien, supra n. 1, 275.
-
418
U.S. 683 (1974); 381 U.S. 479 (1965). From OBriens
perspective, Nixon and Griswold are
presumably atypical in that both reflect considerable
cooperation as well as give-and-take in the course
of writing opinions, although Griswold is typical
in that several separate opinions accompanied the
opinion of the Court.
-
357
U.S. 449 (1958).
-
OBrien,
supra n. 1, 257, quoting from the Brennan Papers
in the Library of Congress.
-
Id.,
42-43.
-
Supra
n. 1.
-
402
U.S. 1 (1971).
-
Tom
C. Clark, "Internal Operation of the United States
Supreme Court," 43 American Judicature Society
Journal 51 (1959). Justice Clark was quoting in
part E. Smyth Gambrell.
-
A.
Mason, Harlan Fiske Stone: Pillar of the Law
(1956).
-
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