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John Marshall Harlan
and the Warren Court
NORMAN
DORSEN
Editor's
Note: A version of this paper was presented to a conference
on the Warren Court at Georgetown Law School in January
1990 and to a conference on Justice Harlan at New York
Law School in April 1991.
Justice
Harlan was an indispensable component of the Warren Court.
This is true not only, as a wiseacre might say, because
losers are needed if there are to be winners, but because
he provided a form of resistance to the dominant motifs
of the Court that was intelligent, determined, professionally
skillful, and above all principled. In a sense he defined
the Court by his dissents. For this performance over 16
years Harlan received extraordinary praise. Earl Warren
himself said, "Justice Harlan will always be remembered
as a true scholar, a talented lawyer, a generous human
being, and a beloved colleague by all who were privileged
to sit with him."[1] Judge Henry Friendly, who first worked
with Harlan as a young lawyer in the early 1930s, boldly
asserted, "there has never been a Justice of the Supreme
Court who has so consistently maintained a high quality
of performance or, despite differences in views, has enjoyed
such nearly uniform respect from his colleagues, the inferior
bench, the bar, and the academy."[2] There are many similar
accolades.[3]
I
shall in this paper indicate the nature and extent of
Harlan's views as a counterpoint to the Warren Court majority.
But I shall also suggest that it would be a mistake to
conceive of Harlan solely in this light, as an inveterate
reactionary seeking to forestall the brave new world that
his brethren sought to welcome or even to create. To a
surprising degree, Harlan concurred in the liberal activism
of the Warren Court, picking his spots carefully and above
all seeking (though not always successfully) to be true
to his core values of federalism and a limited judicial
function. What emerges, in sum, is not a right-wing Justice
as he is sometimes conceived, but rather someone much
closer to the center, a moderate figure avoiding the extremes.
I
.
Initially,
I shall present Harlan the dissenter from the principal
themes of the Warren Court. Perhaps the most central of
these is Equality, an idea that "[O]nce loosed...is not
easily cabined," as Archibald Cox said in his valuable
book on the Warren Court.[4] Harlan vigorously opposed
egalitarian rulings of many kinds. He was most vehement
in condemning the reapportionment decisions, first
Baker v. Carr,[5] in which the Court acknowledged
federal jurisdiction to decide the issue whether state
legislative districts were malapportioned, then Reynolds
v. Sims,[5] in which the Court established
the one person-one vote rule, and then the many sequels
to these rulings.[7] Harlan never became reconciled to
what he regarded as a wholly unjustified encroachment
into the political realm, saying in Reynolds that "lilt
is difficult to imagine a more intolerable and inappropriate
interference by the judiciary with the independent legislatures
of the States."[8]
Closely
related to the apportionment cases are those dealing with
the right to vote. Here, too, he dissented, from the ruling
that invalidated Virginia's poll tax, from a decision
that opened school board elections to a man who was neither
a parent nor a property-holder in the district, and from
the decision upholding Congress's power to extend the
franchise to 18 year olds.[9]
The
poll tax case illustrates an aspect of the Court's egalitarianism
to which Harlan especially objected, its acceptance of
the idea that government has an obligation to eliminate
economic inequalities as a way to permit everyone to exercise
human rights. The leading case was Griffin v. Illinois,[10]
in which a sharply divided Court held that where a
stenographic trial transcript is needed for appellate
review, a state violates the Fourteenth Amendment by refusing
to provide the transcript to an impoverished defendant
who alleges that reversible errors occurred at his trial.
Harlan's dissent maintained that "[a]ll that Illinois
has done is to fail to alleviate the consequences of differences
in economic circumstances that exist wholly apart from
any state action."[11] He later dissented from Douglas
v. California,[12] which held that a state
could not deny counsel to a convicted indigent who seeks
his only appeal by right to a higher court.
Another
example of the genre is Harlan's protests at efforts to
transform welfare payments into entitlements. Thus, in
a major effort, he maintained that states could deny such
payments to otherwise eligible welfare applicants who
had not resided in the state for a year or more.[13]
Harlan
also found himself out of step with the prevailing view
on criminal procedure, where the Warren Court rewrote
the book, transforming the law relating to confessions
and line-ups, the privilege against self-incrimination,
wiretapping and eavesdropping, and the admissibility of
illegally obtained evidence, among other aspects of criminal
cases. The linch-pin of most of the rulings was the doctrine
of selective in-corporation, under which the Court applied
to state criminal trials under the Fourteenth Amendment's
due process clause the protections of the first eight
amendments to the Constitution that were deemed "fundamental."[14]
Rejecting Harlan's view that the due process clause established
a general test of "fundamental fairness" not tied to the
particular provisions of the Bill of Rights, the Court
completed a massive reform of criminal procedure in an
astonishingly brief period of time. Harlan vigorously
dissented from most of the seminal decisions, including
those applying the exclusionary rule to illegally seized
evidence, incorporating the privilege against self-incrimination,
establishing the "Miranda" rules for warning individuals
being taken into police custody, and the requirement of
a jury trial in criminal cases.[16] He equally opposed
the Court's conclusion that the guarantees of the Bill
of Rights that were "selectively" incorporated should
apply to the states in exactly the way in which they applied
to the federal government.[17] In these cases he asserted
that a "'healthy federalism" was inconsistent with the
assertion of national judicial authority.[18]
Harlan
also objected, in the interests of federalism, to extensions
of congressional power. The two most significant cases
of this sort were Katzenbach v. Morgan,[19]
and United States v. Guest,[20] which
adopted broad theories in sustaining, respectively, the
authority of Congress to invalidate state English language
literacy tests for voting as applied to individuals who
completed sixth grade in Puerto Rican schools and to punish
private (not state) action that interferes with constitutional
rights.
At
the same time Harlan, often contrary to the majority,
deferred to congressional judgments that impaired civil
liberties. For example, he conceded broad authority to
Congress over citizenship, rejecting any constitutional
right to prevent involuntary denationalization;[21] he
protested a softening of the immigration law that provided
for deportation of an alien who had ever been a member
of the Communist Party, however nominally;[22] and he
did not recognize a constitutional right to travel abroad,
first recognized in Kent v. Dulles,[23] and solidified
in Aptheker v. Secretary of State.[24] In
all these cases he refused to overturn actions of the
elected branches of government that resulted in severe
and arguably unjustified harm to individuals.
There
is no doubt, in light of these cases and others, that
Justice Harlan was a regular and frequent dissenter from
many of the Warren Court's key liberal decisions. In addition,
especially in his early Terms, there were many important
cases in which Harlan was part of a majority that rejected
constitutional theories supported by the liberal Justices.
For example, he wrote the prevailing opinions in cases
rejecting First Amendment claims by individuals who were
held in contempt by the House Un-American Activities Committee
and denied admission to the practice of law for refusing
to respond to questions concerning Communist activities,
and by a man sentenced to prison because of membership
in the Communist Party.[25] These cases have not been
overruled, but later actions overturned majority decisions
of which Harlan was a part that, for example, permitted
states to question criminal suspects without concern for
the privilege against self-incrimination, and to deny
women the right to serve on juries equally with men.[26]
Here too Harlan was out of step with the liberal activism
that distinguished the Warren Court.[27]
II
.
But
this is far from the whole story. Justice Potter Stewart,
one of Harlan's closest colleagues, recognized this when
he said, "I can assure you that a very interesting law
review article could someday be written on 'The Liberal
Opinions of Mr. Justice Harlan."[28] In virtually
every area of the Court's work, there are cases in which
he was part of the consensus and, indeed, in which he
spoke for the Court.
Harlan
joined Brown II[29] and Cooper v. Aaron,[30]
decisions instrumental in protecting the principle
of the initial school segregation case, Brown I.[31]
He also joined every opinion decided while he was
on the Court that applied the principle of Brown to
other sorts of state-enforced segregation.[32]
He
concurred in Gideon v. Wainwright,[33] the
right-to-counsel case, and wrote the opinion in Boddie
v. Connecticut,[34] which held that a state
could not deny a divorce to a couple because they lacked
the means to pay the judicial filing fee. Although both
these cases were decided under the due process clause,
they were, at bottom, judicially mandated equalization
of economic circumstance in situations where Harlan concluded
that it would be fundamentally unfair to deny poor people
what others could afford.
In
the criminal procedure area, while opposing the exclusionary
rule in state prosecutions, he consistently supported
a strong version of the Fourth Amendment protection against
unreasonable searches and seizures by federal authorities,[35]
including application of the principle to wiretapping
and eavesdropping.[36] He also wrote a separate opinion
to underscore his agreement with the ruling that extended
criminal due process protections to juveniles accused
of delinquency.[37] And he joined the decision overruling
earlier cases upholding the federal registration requirements
for gamblers, concluding that they could avoid prosecution
for violation of the statutes by pleading the privilege
against self-incrimination.[38]
Turning
to free expression, one finds a host of important cases
in which Harlan supported the constitutional right. For
example, he wrote the important opinion in NAACP v.
Alabama;[39] which held that the right of
individuals to join civil rights groups anonymously when
exposure would have entailed great personal risks was
a form of freedom of association protected by the First
Amendment. He joined New York Times Co. v. Sullivan,[40]
which first imposed limits on libel judgments against
the media, and some (though not all) of the sequels to
that case.[41] He joined opinions that barred states from
seating an elected legislator who had been denied his
seat because of his sharply critical views on the Vietnam
War, and from convicting a leader of the Ku Klux Klan
for "'seditious" speech.[42] And he wrote for the Court
to protect the right of a black man, who was unnerved
by the fact that a civil rights leader had been shot,
to express himself strongly about the country while burning
the flag.[43]
Harlan
also wrote a number of opinions, all curbing variants
of McCarthyism, that nominally are decided on non-constitutional
grounds but rested on First Amendment principles. In the
first of these, Cole v. Young,[44] which
invalidated the discharge of a federal food and drug inspector,
Harlan interpreted a statute authorizing dismissals of
government employees "in the interests of national security"
to apply only to jobs directly concerned with internal
subversion and foreign aggression. The next year, in what
Anthony Lewis has described as a "masterfully subtle opinion,"[45]
Harlan construed the Smith Act to permit prosecution of
Communist Party leaders only for speech amounting to incitement
to action rather than for "abstract doctrine" advocating
overthrow.[46] A third instance involved companion cases[47]
in which the government had revoked the naturalization
of two persons who were asserted to have obtained their
citizenship improperly. The government contended that
they were Communists and therefore not "attached to the
principles of the Constitution of the United States" as
required by the applicable statute. Harlan's opinion found
that "clear, unequivocal and convincing evidence" was
lacking that the individuals were aware, during the relevant
period prior to their becoming citizens, that the Communist
Party was engaged in illegal advocacy. During the 1950s
these decisions were milestones in lifting the yoke of
political repression.
Freedom of religion also showed Harlan as frequently,
but not invariably, protective of constitutional guarantees.
He joined decisions that prohibited organized prayer in
the public schools[48] and invalidated a requirement that
state officials declare a belief in God.[49] And while
approving state loans of textbooks to church schools,[50]
he balked when tax-raised funds were used to reimburse
parochial schools for teachers' salaries, textbooks and
instructional materials.[51] Similarly, while unwilling
to protect adherents to Sabbatarian faiths who objected
to Sunday closing laws and to unemployment compensation
laws that required a willingness of the applicant to work
on Saturdays,[52] Harlan wrote a powerful opinion during
the Vietnam War declaring that a statute that limited
conscientious objection to those who believed in a theistic
religion "offended the Establishment Clause" because it
"accords a preference to the 'religious' [and] disadvantages
adherents of religions that do not worship a Supreme Being."[53]
In
all these cases, Harlan emphasized that "[t]he attitude
of government towards religion must...be one of neutrality."[54]
Harlan was sophisticated enough to appreciate that neutrality
is "a coat of many colors."[55] Nevertheless, as Professor
Kent Greenawalt has observed, "no modern Justice ha[s]
striven harder or more successfully than Justice Harlan
to perform his responsibilities in [a neutral] manner..."[56]
A final area of civil liberty, sexual privacy, is of particular
importance because Harlan produced the most influential
opinions on this subject written by anyone during his
tenure. In the first case,[57] a thin majority, led by
Justice Frankfurter, refused to decide whether a Connecticut
law that criminalized the sale of contraceptives to married
and unmarried people alike violated the Constitution,
finding that there was no threat of prosecution. Harlan's
emotional opinion[58]--a rarity for him --not only differed
with this conclusion but also extensively defended the
proposition that Connecticut's law violated the due process
clause of the Fourteenth Amendment, a position that prevailed
four years later in concurring in Griswold v. Connecticut,[59]
It is impossible to know whether Harlan would have
extended this reasoning to support the result in Eisenstadt
v. Baird[60] which held that a state could not punish
the distribution of contraceptives to unmarried persons,
or to Roe v. Wade's[61] recognition of abortion
as a personal right, both decided soon after he retired.
But I am confident that, at a minimum, he would have protected
the right of a married woman to proceed with an abortion
that was dictated by family considerations.
Harlan's
participation in the major thrusts of the Warren Court
was not confined to civil liberties and civil rights.
In economic cases, too, he often went along with the majority's
support of government regulation of business, despite
the fact that his private practice of law often involved
the defense of antitrust and other actions against the
government and that he was acutely aware of the effect
of regulation on business.[62]To be sure, he frequently
voted to limit the impact of regulatory statutes,[63]
but there are also many important antitrust cases in which
he sided with the government or private plaintiff.[64]
III
.
What
should one conclude from the many decisions in which Justice
Harlan, a conservative, supported constitutional rights,
often in highly controversial cases in which the Court
was split? That he was in step with the majority of the
Warren Court? Plainly not; there are too many instances
where he marched separately. That he was essentially a
civil libertarian? No again; not only are there too many
cases to the contrary, but at a basic level that is not
the way Harlan reacted to injustice. This is not to say
that he was insensitive to human suffering or unmoved
by evidence of arbitrariness. It is rather that something
else was at the core.
In
my opinion, that something was Harlan's deep, almost visceral,
desire to keep things in balance, to resist excess in
any direction. Many times during my year with him he said
how important it was "to keep things on an even keel."
To me, that is the master key to Harlan and his jurisprudence.
One recalls Castle, the hero of Graham Greene's novel,
The Human Factor, as he muses on those who are
"unable to love success or power or great beauty."[65]
Castle concludes that it is not because these people feel
unworthy or were "more at home with failure." It is rather
that "one wanted the right balance...." In reflecting
on some of his own perplexing and self-destructive actions,
Castle decides that "he was there to right the balance.
That was all."[66] Harlan was not a man who avoided success
or power or, if one knew Mrs. Harlan, great beauty, but
nevertheless in his own eyes he was there to right the
balance. It is significant that he entitled a major speech
at the American Bar Association Thoughts at a Dedication:
Keeping the Judicial Function in Balance.[67]
There
is evidence of balance not only in the decisions discussed
above but in his elaborate views on doctrines of justiciability.
These are closely related to his frequent preoccupation
with judicial modesty or, put negatively, his opposition
to excessive judicial activism, which m turn is related
to the central theme of his judicial universe--federalism.
As I suggested in 1969,
His
pervasive concern has been over a judiciary that will
arrogate power not rightfully belonging to it and impose
its views of government from a remote tower, thereby enervating
the initiative and independence at the grass roots that
are essential to a thriving democracy.[68]
Harlan's
thinking on jurisdictional issues was also related to
his long years as a practicing lawyer where he customarily
represented defendants in litigation. In that role he
had to be "constantly aware that it is easier and quicker
to achieve victory on grounds such as want of federal
jurisdiction, lack of standing or ripeness, or failure
to join an indispensable party, than to prevail on the
merits of a lawsuit."[69]
That
this earlier sensitivity to issues of justiciability carried
over to his judicial years is seen in the many instances
where Harlan urged jurisdictional rules to avoid deciding
controversial cases. Among the most notable are his dissenting
opinions in Baker v. Carr,[70] and Reynolds
v. Sims,[71] where he concluded that the issue
of legislative reapportionment was a political question;
in Dombrowski v. Pfister,[72] where he objected
to the adjudication of the constitutionality of Louisiana's
Subversive Activities and Communist Control Act in a federal
suit to enjoin a state criminal prosecution under the
statute; in Fay v. Noia,[73] and Henry
v. Mississippi,[74] where he criticized expansion
of federal judicial authority to review state criminal
convictions which previously were unreviewable because
the convicted person had not complied with state procedural
requirements; and in Flast v. Cohen,[75] where
he dissented from the Court's holding that taxpayers had
standing to challenge federal financial aid to religious
schools.
On
the other hand, reflecting his balanced approach, Harlan
wrote or joined many opinions that expanded the Court's
jurisdiction. Perhaps the most striking was Poe v.
Ullman,[76] where he vigorously rejected, in
a dissent, the reasoning of Justice Frankfurter in dismissing
an early challenge to Connecticut's birth control law
on the ground that the statute was not being enforced.
Again, in NAACP v. Alabama,[77] the first
case explicitly recognizing a freedom of association,
his opinion for the Court proceeded to its First Amendment
conclusion only after overcoming difficult procedural
obstacles involving the doctrines of standing and independent
state ground. And in the first school prayer case,[78]
and again in the ruling that ordered the House of Representatives
to seat Adam Clayton Powell,[79] both decisions of unusual
sensitivity, Harlan joined majority opinions that rejected
substantial justiciability defenses.[80]
Harlan's
often unappreciated willingness to expand judicial authority
can be seen in several cases involving the broadening
of remedies in civil rights and economic cases alike.
In one case, again differing with Frankfurter, he wrote
a concurring opinion sanctioning the expansion of federal
remedies against municipal officials who violated an individual's
civil rights.[81] In a second ruling, involving a provision
of the Securities and Exchange Act that prohibited false
and misleading proxy statements in respect to mergers,
Harlan agreed that a stockholder could sue for rescission
and damages even though the statute was silent on private
lawsuits to enforce the statute.[82]
Stare
decisis is another important area relating to legal
process and the judge's role in which Harlan's actions
betrayed a more activist spirit than is commonly recognized.
His general insistence on adhering to precedent was
the
product of a conservative min4 one that is distrustful
of abrupt change, comfortable with accustomed rules and
practices, and therefore reluctant to revise the judgments
of predecessors. It can also be partially traced to his
long career at the bar, where, in advising clients and
preparing for litigation, Harlan worked with precedent,
relied on it and was imbued with its significance in ordering
day-to-day affairs.[83]
There
are many examples of his unwillingness to reach beyond
accustomed boundaries.[84]But there are also many contrary
instances. He voted to overrule Betts v. Brady,[85]
and grant an absolute right of counsel to defendants
in felony prosecutions. In Marchetti v. United States,[86]
he spoke for the Court in overruling a decision that
denied the privilege against self-incrimination to gamblers
prosecuted for failing to register and pay taxes. And
in Swift & Co. v. Wickham,[87] he wrote
in the course of overruling an earlier decision that "[u]nless
inexorably commanded by statute, a procedural principle
of this importance should not be kept on the books in
the name of stare decisis once it is proved to
be unworkable in practice...."[88]
A
striking aspect of Harlan's approach to stare decisis
is that he would often follow precedent from which
he had dissented when it was initially established.[89]
Equally striking is that Harlan followed this principle
even as it carried him to dissent from the Court's failure
to follow precedent with which Harlan disagreed. Thus,
in Green v. United States,[90] the Court
held that where a defendant is convicted of a lesser included
offense and then secures reversal of the conviction, the
defendent may be retried only for the lesser included
offense. Although Harlan dissented in Green, he
dissented again in North Carolina v. Pearce,[91]
where he found, contrary to the Court, that Green
mandated the conclusion that a defendant once "convicted
and sentenced to a particular punishment may not on retrial
be placed again in jeopardy of receiving a greater punishment
than was first imposed."[92]
Finally,
one may point to cases in which Harlan exhibited a trait
familiar to all of his law clerks--his exceptional open-mindedness
and willingness to listen to new arguments. In these cases
he dissented from the Court's refusal to hear oral argument
on constitutional claims, although in each of them he
was not predisposed to agree that the appeal had merit.
Thus, he joined Justice Douglas's dissent from the refusal
to hear a plea of the Veterans of the American Lincoln
Brigade that the organization was improperly ordered to
register as a Communist front organization under the Subversive
Activities Control Act.[93] Similarly, despite his earlier
Barenblatt[94] ruling, he would have heard
a challenge to contempt citations by the House Un-American
Activities Committee against an uncooperative witness.[95]
And in perhaps the most far-reaching action, he would
have set down for oral argument a complaint by the state
of Massachusetts that raised the issue of the legality
of the Vietnam War, although he ordinarily accorded great
deference to decisions of the elected branches of government
on matters of war and peace.[96]
In
one area Harlan was inflexible; he consistently refused
to widen the scope of "state action" under the Fourteenth
Amendment to encompass discrimination engaged in by what
he regarded as private actors.[97]
IV
.
The
Warren Court ended in mid-1969, but Harlan remained for
two more Terms, a brief period in which he was the leader
of the Court. Possessing seniority and an unmatched professional
reputation, he took advantage of the replacement of Earl
Warren and Abe Fortas by Warren Burger and Harry Blackmun
to regain the position of dominance that Justice Frankfurter
and he shared until Frankfurter retired in August 1962.
Thus, as Chief Judge Friendly has noted, against an average
of 62.6 dissenting votes by Harlan per Term in the period
between 1963 and 1967, he cast only 24 such votes in the
1969 Term and 18 in the 1970 Term.[98]
This
new situation meant that Harlan could reassert conservative
themes in his own opinions or join such expressions in
the opinions of others. For example, during this period
he adhered to his longstanding opposition to expansion
of the constitutional rights of poor people to public
assistance by voting with the majority in the leading
case rejecting welfare as an entitlement.[99]
He
prevailed in a series of criminal justice decisions, including
those that confined the reach of the confrontation clause,
denied a jury trial in juvenile delinquency proceedings
and permitted the closing of such hearings to the public,
and authorized capital sentencing without guidelines.[100]
And in an important case that involved both the rights
of poor people and procedural due process, he joined Justice
Blackmun's opinion that rejected Fourth Amendment claims
in sustaining the power of caseworkers to make unannounced
visits to the homes of welfare recipients to check their
eligibility and to provide rehabilitative assistance.[101]
In
the First Amendment area Harlan also maintained longstanding
positions, but here he was more often in dissent. The
most notable occasion was the Pentagon Papers case[102]
where he would have permitted a prior restraint of newspaper
publication of an extensive and politically embarrassing
history of the Vietnam War. He also dissented in an important
libel case[103] and in two decisions confining the authority
of bar examiners to probe into the associations of applicants.[104]
But he prevailed in another bar admission case, recalling
issues from earlier days, that sustained questions about
Communist associations,[105] and he again joined the majority
in an obscenity prosecution that rejected privacy as well
as free speech claims.[106]
With
regard to the breadth of the judicial role, he maintained
his strong opposition to expansion of the state action
doctrine, even when the consequence was to limit racial
equality,[107] and he took a similar position in rejecting
a Fourteenth Amendment claim against an amendment to a
state constitution that provided for a community referendum
before a low-rent housing project could be constructed
or acquired.[108]
At
the same time that Harlan was, under Chief Justice Burger,
renewing his formidable conservative record, he nevertheless
adhered to a balanced judicial profile. Although liberal
activist rulings did not dominate his last biennium
on the Court, there surely are many examples of the genre.
Thus,
in the equality area, he maintained his support for desegregation,[109]
and he joined the new Chief's important opinion that expanded
remedies against discriminatory employment tests.[110]
And his opinion, noted earlier, in Boddie,[111]
which invalidated a state statute that denied poor
couples the right to a divorce because they could not
afford court filing fees came during this period. Harlan's
reliance on the due process clause to reach this result
was widely criticized,[112] and the doctrine has not survived,
but the case stands as a rare example of Harlan's reaching
out to right an economic imbalance that prejudiced poor
people in American society.[113] In another such case
involving criminal justice, Harlan joined the Court's
opinion prohibiting the incarceration of indigents who
were unable to pay criminal fines.[114] He continued his
deep concern for Fourth Amendment rights[115] and wrote
an extensive concurring opinion in support of "beyond
reasonable doubt" as the proper standard of proof in juvenile
delinquency hearings.[116] And in the First Amendment
field he wrote a widely cited opinion that protected the
display in a state courthouse of a "scurrilous epithet"
("Fuck the draft") in protest against conscription.[117]
From 1969-1971, Harlan also manifested flexibility by
joining majorities that considerably expanded federal
remedies for civil rights violations[118] and overcame
rigid theories of stare decisis in a variety of
cases.[119]
V
The
pattern of decisions provides ample proof that Harlan
was not a one dimensional Justice. What is less clear
is the source of his drive to keep things in balance,
to eschew an extreme ideology.
Two
possibilities may be suggested. The first is the familiar
notion that in any society patricians (like Harlan) are
concerned less with results in particular controversies,
and certainly less about pressing any group against the
wall, than in assuring the smooth functioning of institutions
without the precipitation of volatility or deep-seated
enmities. This means that dissent should be allowed an
outlet, that racial minorities should be able to hope,
that political power should not become centralized and
therefore dangerous. Thus his decisions supporting desegregation,
a strong federal presence, and law and order. Thus also
his fears about court-dominated reapportionment and about
an "incorporation" of the Bill of Rights through the Fourteenth
Amendment that represented too dramatic a break with established
doctrine. But thus also, Harlan's willingness to take
reformist steps, to overrule outdated precedent selectively
and before a problem worsened, and above all, to listen
closely to many voices.
A
second source of Harlan's overall philosophy is Legal
Process theory, which had its heyday for almost exactly
the period that he served on the Supreme Court. In the
early 1950s, Henry Hart produced an early draft of the
work that he and Albert Sacks published at Harvard Law
School in a "'tentative edition" in 1958 (it was also
the final edition). The moderate philosophy embodied in
these materials was tailor-made to Harlan's personality.
It emphasized the central role that procedure plays in
assuring judicial and legislative objectivity[120] and
the corollary "principle of institutional settlement,"[121]
which holds that judgments properly arrived at by institutions
operating within their appropriate sphere of authority
should be accepted as binding on the entire society until
duly changed. Not surprisingly, Harlan was attracted to
this theory, which enabled him to take constitutional
steps as long as they were not too long or jarring, while
simultaneously offering him ample institutional reasons
for resisting excessive judicial authority.[122]
By
1971, when Harlan left the Supreme Court, Legal Process
theory, buffeted by events in society at large, was beginning
to lose its hold, even at Harvard, and the more extreme
philosophies of law and economics and critical legal studies
moved to the forefront. The struggle within the Court
became ever more polarized as strong civil libertarians,
which Harlan was not, waged battle with doctrinaire conservatives,
which Harlan also was not.
CONCLUSION
It
fell to John Marshall Harlan, by nature a patrician traditionalist,
to serve on a Supreme Court which, for most of his years,
was rapidly revising and liberalizing constitutional law.
In these circumstances, it is not surprising that Harlan
would protest the direction of the Court and the speed
with which it was traveling. He did this in a remarkably
forceful and principled manner, thereby providing balance
to the institution and the law it generated. Despite this
role, Harlan joined reformist rulings on the Court during
his tenure to a degree that his overall jurisprudence
can fairly be characterized as conservative primarily
in the sense that it evinced caution, a fear of centralized
authority, and a respect for process. In short, the nature
and results of Harlan's jurisprudence were far more mixed
than his conservative reputation would allow.
Endnotes
- Warren,
"Mr. Justice Harlan, As Seen by a Colleague,"
85 Harv. L. Rev. 369, 370-371 (1971).
- Friendly,
"Mr. Justice Harlan, As Seen by a Friend and
Judge of an Inferior Court," 85 Harv. L. Rev.
382, 384 (1971).
- E.g.,
Freund, Foreword to The Evolution of a Judicial
Philosophy: Selected Opinions and Papers of Justice
John M. Harlan, xii-xiv (D. Shapiro, ed., 1969);
Wright, K. "Hugo L. Black: A Great Man and a
Great American," 50 Texas L. Rev. 3-4
(1971); Lewin, "Justice Harlan: "The Full
Measure of the Man," 58 A.B.A.J.
580 (1972); Powell "Annual Dinner Address"
(May 15, 1986), The American Law Institute, Remarks
and Addresses at the 63rd Annual Meeting.
May 13-16, 1986). The first full biography of Justice
Harlan has recently appeared, T. Yarborough, John
Marshall Harlan: Great Dissenter of the Supreme Court
(1992).
- A. Cox,
The Warren Court 6 (1968).
- 369 U.S.
186 (1962).
- 377 U.S.
533 (1964).
- Avery
v. Midland County, 390 U.S. 474, 486 (1968) (Harlan,
J., dissenting); Hadley v. Junior College Dist.,
397 U.S. 50, 59 (1970) (Harlan, J., dissenting).
- Reynolds
v. Sims, 377 U.S. at 615 (Harlan, J., dissenting).
- Harper
v. Virginia State Board of Elections, 383 U.S.
663, 680 (1966) (Harlan, J., dissenting); Kramer
v. Union Free School Dist., 395 U.S. 621, 634
(1969) (Harlan, J., joining Stewart, J., dissenting);
Oregon v. Mitchell, 400 U.S. 112, 152 (1970) (Harlan,
J., concurring in part and dissenting in part).
- 351 U.S.
12, 29 (1956) (Harlan, J., dissenting).
- Id.
at 34.
- 372 U.S.
353, 360 (1963) (Harlan, J., dissenting).
- Shapiro
v. Thompson, 394 U.S. 618, 655 (1969) (Harlan
J. dissenting). See also, Levy v. Louisiana,
391 U.S. 68, 76 (1968), where Harlan in dissent took
the view that a state law granting children the right
to sue for wrongful death of their mother could validly
be interpreted to deny this right to nonmarital children
who lived with and were dependent on her.
- See,
e.g., Duncan v. Louisiana, 391 U.S. 145, 148 (1968).
- See
generally, U. Kamisar, Police Interrogation
and Confessions (1980).
- Mapp
v. Ohio, 367 U.S. 643, 672 (1961) (Harlan, J.,
dissenting); Malloy v. Hogan, 378 U.S. 1, 14
(1964); (Harlan, J., dissenting); Miranda v. Arizona,
384 U.S. 436, 504 (1966) (Harlan J., dissenting);
Duncan v. Louisiana, supra note 14,
391 U.S. at 171 (Harlan, J., dissenting).
- E.g.,
Malloy v. Hogan, 378 U.S. 1, 27-29 (Harlan J.,
dissenting) (1964) (self incrimination); Pointer
v. Texas, 380 U.S. 400, 408 (1965) (Harlan, J.,
concurring in the result) (confrontation); Benton
v. Maryland, 395 U.S. 794, 801 (1969) (Harlan,
J., dissenting) (double jeopardy). See also, Harlans
separate opinion in Williams v. Florida, 399
U.S. 78, 117 (1970), noting that the necessary consequence
under incorporation of the holding that a twelve person
jury is not required in state criminal trials is,
through a "backlash," the application of
the same lesser standard in federal cases.
- See
Benton v. Maryland, 395 U.S. 784, 801 (1969) (Harlan,
J., dissenting); See also, Desist v. United States,
394 U.S. 244, 256 (1969) (Harlan, J., dissenting).
- 384 U.S.
641, 659 (1966) (Harlan, J., dissenting).
- 383 U.S.
745, 762 (1966) (Harlan, J., concurring in part and
dissenting in part).
- Perez
v. Brownell, 356 U.S. 44 (1958); Trop v. Dulles,
356 U.S. 86, 114 (1958) (Harlan J., joining Frankfurter,
J., dissenting); Afroyim v. Rusk, 387 U.S.
253, 268 (1967) (Harlan, J., dissenting).
- Rowoldt
v. Perfetto, 355 U.S. 115, 121 (1957) (Harlan,
J., dissenting).
- 357 U.S.
116 (1958).
- 378 U.S.
500 (1964).
- Barenblatt
v. United States, 360 U.S. 109 (1959); Konigsberg
v. State Bar, 366 U.S. 36 (1961); Scales v.
United States, 367 U.S. 203 (1961). Another, particularly
harsh decision was Flemming v. Nestor, 363
U.S. 603 (1960), which upheld the denial of social
security benefits to an alien who was deported because
he had been a member of the Communist Party many years
before.
- Lerner
v. Casey, 357 U.S. 468 (1958), overruled by Malloy
v. Hogan, 378 U.S. 1 (1964); Hoyt v. Florida,
368 U.S. 57 (1961), overruled by Taylor v. Louisiana,
419 U.S. 522 (1975).
- For discussion
of these themes, see Wilkinson, "Justice
John M. Harlan and the Values of Federalism,"
57 Va. L. Rev. 1185 (1971); Caplan, "Questioning
Miranda," 38 Vand. L. Rev. 1417 (1985).
- See
"John Marshall Harlan 1899-1971" (memorial
addresses delivered at a meeting of the Association
of the Bar of the City of New York by Justice Potter
Stewart, former Attorney General Herbert Brownell,
and Professor Paul Bator), cited in Gunther, "In
Search of Judicial Quality on a Changing Court: The
Case of Justice Powell," 24 Stan. L. Rev.
1001, 1004 n. 23 (1972).
- 349 U.S.
294 (1955).
- 358 U.S.
1 (1958).
- 347 U.S.
483 (1954).
- E.g.,
Goss v. Board of Education, 373 U.S. 683 (1963)
(school case); Griffin v. County School Board,
377 U.S. 218 (1964) (same); Heart of Atlanta Motel
v. United States, 379 U.S. 241 (1964) (public
accommodations); Peterson v. City of Greenville,
373 U.S. 244 (1963) (same); Watson v. City of Memphis,
373 U.S. 526 (963) (recreational facilities).
- 372 U.S.
335, 349 (1963).
- 401 U.S.
371 (1971).
- E.g.,
Giordenello v. United States, 357 U.S. 480 (1958)
(defective search warrant); Jones v. United States,
357 U.S. 493 (1958) (no probable cause to search).
- Katz
v. United States, 389 U.S. 347, 360 (1967) (Harlan,
J., concurring). But see, Berger v. New York,
388 U.S. 41, 89 (1967) (Harlan, J., dissenting) (opposing
application of exclusionary rule where state engaged
in electronic eavesdropping).
- In
re Gault, 387 U.S. 1, 65 (1967) (Harlan, J., concurring
in part and dissenting in part).
- Marchetti
v. United States, 390 U.S. 39 (1968).
- 357 U.S.
449 (1958).
- 376 U.S.
254 (1964).
- E.g.,
St. Amant v. Thompson, 390 U.S. 727 (1968); Garrison
v. Louisiana, 379 U.S. 64 (1964). But see,
Rosenblatt, v. Baer, 383 U.S. 75, 96 (1966) (Harlan,
J., concurring in part and dissenting in part).
- Bond
v. Floyd, 385 U.S. 116 (1966), Brandenburg
v. Ohio, 395 U.S. 444 (1969).
- Street
v. New York, 394 U.S. 576 (1969).
- 351 U.S.
536 (1956). See also, Vitarelli v. Seaton,
359 U.S. 535 (1959); Service v. Dulles, 354
U.S. 363 (1957) (security discharges in both cases
invalid because agency failed to follow prescribed
procedures).
- Lewis,
"Earl Warren," in The Warren Court: A
Critical Analysis 15 (R. Sayler, B. Boyer and
R. Gooding, Jr., eds., 1969).
- Yates
v. United States, 354 U.S. 298 (1957).
- Nowak
v. United States, 356 U.S. 298 (1957).
- Abington
School Dist. v. Schempp, 374 U.S. 203 (1963);
Engel v. Vitale, 370.S. 421 (1962).
- Torcaso
v. Watkins, 367 U.S. 488 (1961).
- Board
of Educ. v. Allen, 392 U.S. 236 (1968).
- Lemon
v. Kurtzman, 403 U.S. 602 (1971).
- Sherbert
v. Verner, 374 U.S. 398, 418 (1963) (Harlan, J.,
dissenting).
- Welsh
v. United States, 398 U.S. 333, 357 (1970) (Harlan
J., concurring in the result).
- Board
of Educ. v. Allen, 392 U.S. at 249.
- Id.
- Greenawalt,
"the Enduring Significance of Neutral Principles,"
78 Colum. L. Rev. 982, 984 (1978).
- Poe
v. Ullman, 367 U.S. 497 (1961).
- Id.
522 (Harlan, J., dissenting).
- 381 U.S.
479, 499 (1965) (Harlan, J., concurring).
- 405 U.S.
438 (1972).
- 410 U.S.
113 (1973).
- An informed
discussion of Harlans time at the bar is Wood,
"John M. Harlan, As Seen by a Colleague in the
Practice of Law," 85 Harv. L. Rev. 377
(1971).
- See,
e.g., FTC v. Procter & Gamble Co., 386 U.S.
568, 581 (1967) (Harlan, J., concurring); United
States v. Continental Can Co., 378 U.S. 441, 467
(1964) (Harlan, J., dissenting).
- FTC
v. Procter & Gamble Co., 386 U.S. 568, 581
(1967) (Harlan, J. concurring); Brown Shoe Co.
v. United States, 370 U.S. 294, 357 (1962) (Harlan
J., dissenting in part and concurring in part); Klors,
Inc. v. Broadway-Hale Stores, Inc., 359 U.S. 207,
214 (1959) (Harlan J., concurring in the result).
- G. Greene,
The Human Factor, 148 (Vintage ed. 1978).
- Id.
at 149.
- 49 A.B.A.J.
943 (1963).
- Dorsen,
"The Second Mr. Justice Harlan: A Constitutional
Conservative," 44 N.Y.U. L. Rev. 249,
271 (1969).
- Id.
at 254.
- 369 U.S.
186, 330 (1962) (Harlan, J., dissenting).
- 377 U.S.
533, 589 (1964) (Harlan, J., dissenting). See also,
Wesberry v. Sanders, 376 U.S. 1, 20 (1964), in
which Harlan dissented at length from a ruling that
in congressional elections "as nearly as is practicable
one mans vote . . . is to be worth as much as
anothers," Id. at 7-8.
- 380 U.S.
479, 498 (1965) (Harlan, J., dissenting).
- 372 U.S.
391, 448 (1963) (Harlan, J., dissenting).
- 379 U.S.
443, 457 (1965) (Harlan, J., dissenting).
- 392 U.S.
83, 116 (1968) (Harlan, J., dissenting).
- 367 U.S.
497, 522 (1961) (Harlan, J., dissenting); see supra
note 57 and accompanying text.
- 357 U.S.
449 (1958).
- Engel
v. Vitale, 370 U.S. 421 (1962).
- Powell
v. McCormack, 395 U.S. 486 (1969).
- Another
Harlan opinion that adopted a broad view of standing
is Parmelee Transp. Co. v. Atchison, Topeka &
Santa Fe R. Co., 357 U.S. 77 (1958).
- Monroe
v. Paper, 365 U.S. 167, 192 (1961) (Harlan, J.,
concurring).
- J.
I. Case Co. v. Borak, 377 U.S. 426 (1964).
- Dorsen,
supra note 68, at 257.
- E.g.,
Afroyim v. Rusk, 387 U.S. 253, 268 (1967) (Harlan,
J., dissenting from the overruling of Perez v.
Brownell, 356 U.S. 44 (1958)); Mapp v. Ohio,
367 U.S. 643, 672 (1961) (Harlan J., dissenting from
overruling of Wolf v. Colorado, 338 U.S. 25
(1949).
- 316 U.S.
455 (1942), overruled by Gideon v. Wainwright,
372 U.S. 335 (1963).
- 390 U.S.
39 (1968), overruling United States v. Kahriger,
245 U.S. 22 (1953), and Lewis v. United States,
348 U.S. 419 (1955).
- 382 U.S.
111 (1965).
- Id.
at 116, overruling in part Kesler v. Department
of Public Safety, 369 U.S. 153 (1962), an opinion
by Justice Frankfurter in which he had joined. Other
cases where Harlan was willing to overrule obsolete
precedents are Lear, Inc. v. Adkins, 395 U.S.
653 (1969); Walker v. Southern Ry., 385 U.S.
196, 199 (1966) (Harlan, J., dissenting).
- See,
e.g., Coolidge v. New Hampshire, 403 U.S. 443,
490 (1971) (Harlan J., concurring) (Following Mapp
v. Ohio, 367 U.S. 643 (1961) and Ker v. California,
374 U.S. 23 (1963)); Ashe v. Swenson, 397 U.S.
436, 448 (970) (Harlan, J., concurring) following
Benton v. Maryland, 395 U.S. 784 (1969)); Burns
v. Richardson, 384 U.S. 73, 98 (1966) (Harlan,
J., concurring in the result) (following Reynolds
v. Sims, 377 U.S. 533 (1964)).
- 355 U.S.
184 (1957) (Harlan J., joining in Frankfurter, J.,
dissenting); see also, id. at 330 (Harlan,
J., dissenting).
- 395 U.S.
711, 744 (1969) (Harlan, J., concurring in part and
dissenting in part).
- Id.
at 751. See also, Usner v. Luckenbach Overseas
Corp., 400 U.S. 494, 503-504 (1971) (Harlan, J.
dissenting).
- Veterans
of the Abraham Lincoln Brigade v. Subversive Activities
Control Board, 380 U.S. 53, 514 (1965).
- See
supra note 25 and accompanying text.
- Stamler
v. Willis, 393 U.S. 217 (1968), appeal dismissed
from 287 F. Supp. 734 (N.D. Ill. 1968). See also,
Wiseman v. Titicut Folliers, 398 U.S. 960 (1970)
(Harlan, J., dissenting from denial of writ of certiorari).
- Massachusetts
v. Laird, 400 U.S. 886 (1970).
- Among
many other examples that could be cited, despite Harlans
strong commitment to racial equality, he did not believe
(1) that a state was responsible for discrimination
by a privately owned and operated restaurant open
to the general public, even though it was located
in a municipal parking facility that was constructed
with public funds, was tax exempt and flew the state
flag, Burton v. Wilmington Parking Authority,
365 U.S. 715 (1961); or (2) that land bequeathed in
trust to a Georgia city as a "park and pleasure
ground" for white people was unconstitutionally
administered because a state court replaced public
trustees with private ones and the park was municipally
maintained, Evans v. Newton, 382 U.S. 296 (966);
or (3) that a state constitutional amendment, adopted
by referendum, that protected the right of private
parties to exercise total rights over real property,
including the ability to discriminate on the ground
of race, was invalid because the state was thereby
encouraging the discrimination, Reitman v. Mulkey,
387 U.S. 369 (1967). And in a nonracial context Harlan
dissented from a holding that a privately owned shopping
mall was the equivalent of a company town so as to
bar peaceful picketing of a supermarket in the mall.
Amalgamated Food Employees Union v. Logan Valley Plaza,
391 U.S. 308 (1968).
- See
Friendly, supra note 2, at 388.
- Dandridge
v. Williams, 397 U.S. 471, 489 (1970) (Harlan,
J., concurring).
- McKeiver
v. Pennsylvana and In re Burns; 403 U.S.
528, 557 (1971) (Harlan, J., concurring in the judgments);
McGautha v. California, 402 U.S. 183 (1971).
- Wyman
v. James, 400 U.S. 309 (1971).
- New
York Times Co. v. United States, 403 U.S. 713,
752 (1971) (Harlan, J., dissenting).
- Rosenbloom
v. Metromedia, Inc., 403 U.S. 29, 62 (1971) (Harlan,
J., dissenting).
- Baird
v. State Bar, 401 U.S. (1971); In Re Stolar,
401 U.S. 23 (1971).
- Law
Students Civil Rights Research Council v. Wadmond,
401 U.S. 154 (1971).
- United
States v. Reidel, 401 U.S. 351, 357 (1971) (Harlan,
J., concurring.
- Palmer
v. Thompson, 403 U.S. 217 (1971). But see,
Adickes v. Kress & Co., 398 U.S. 144 (1970).
- James
v. Valtierra, 402 U.S. 137 (1971).
- Adickes
v. Kress & Co., supra note 107; Northcross
v. Board of Educ., 397 U.S. 232 (1970).
- Griggs
v. Duke Power Co., 401 U.S. 424 (1971).
- Boddie
v. Connecticut, see supra note 34 and accompanying
text.
- See,
e.g., "The Supreme Court, 1970," 85
Harv. L. Rev. 3, 104-113 (1971). But see,
L. Tribe American Constitutional Law 1462-63,
1639-1640 (2d ed. 1988).
- See
also, Goldberg v. Kelly, 397 U.S. 254 (1970),
in which Harlan joined Justice Brennans path-breaking
opinion granting welfare recipients pre-termination
procedural rights.
- Williams
v. Illinois, 399 U.S. 235 (1970); see also,
Tate v. Short, 401 U.S. 395, 401 (1971) (Harlan,
J., concurring in the judgment).
- Coolidge
v. New Hampshire, 403 U.S. 443, 490 (1971) (Harlan,
J., concurring).
- In
re Winship, 397 U.S. 358, 368 (1970) (Harlan,
J., concurring).
- Cohen
v. California, 403 U.S. 15 (1971).
- E.g.,
Bivens v. Six Unknown Names Agents, 403 U.S. 388,
398 (1971) (Harlan, J., concurring in the judgment).
- E.g.,
Welsh v. United States, 398 U.S. at 344; (Harlan,
J., concurring in the result) (statutory case); Moragne
v. States Marine Lines, Inc., 398 U.S. 375 (1970)
(Harlan, J., common law (admiralty) case).
- H. Hart
& A. Sacks, The Legal Process: Basic Problems
in the Making and Application of Law 715-16 (tent.
ed. 1958).
- Id.
at 4-5.
- As I
have recently pointed out, The Legal Process
is not a work of constitutional law and "the
authors regarded constitutional problems as distinct
sorts of issues." Dorsen, "In Memoriam;
Albert M. Sacks," 105 Harv. L. Rev. 11,
13 n. 12 (991). Nevertheless, many judges and scholars
adapted legal process themes to constitutional cases.
E.g., J. Ely, Democracy and Distrust
(1980).
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