| |
The
Judicial Bookshelf
D.
GRIER STEPHENSON, JR.
As
scholars assess developments in American constitutional
government a half century or even a full century hence,
they will look back to the extraordinarily rich and varied
writings of those who preceded them. This is the opportunity
afforded today's students as well. One's insights into
a particular period are enhanced by those who wrote at
another time.
Consider
Popular Government, a collection of four essays
written barely more than a century ago by the English
legal historian Sir Henry Sumner Maine,[1] who wrote approximately
halfway between establishment of government under the
Constitution and our own time. For the contemporary reader
who looks at the volume from a distance of 106 years,
his treatment of the judiciary contains both the familiar
and the unfamiliar--the Court of today as well as the
Court of yesterday. Then as now, one sees an institution
beset by the tension posed in the American political system
between popular sovereignty and limited government, between
"government by the people" and legal restraints on the
people's government. The tension is the hallmark of a
government founded on both the consent of the governed
and the expectation, in Justice Jackson's words, "that
we submit ourselves to rulers only if under rules."[2]
In
Maine's British-based observations on the American political
system fifteen years before the turn of the twentieth
century, the Supreme Court "was not only a most interesting
but a virtually unique creation of the founders of the
Constitution." In his view, the division of policy-making
authority between the President and Congress, the concept
of a national government of limited powers, and the existence
of the states meant that the political system needed an
institution both to expound the Constitution and to clarify
the boundaries of political authority. For Maine, judicial
review was essential to American government. "The success
of this experiment [judicial review] has blinded men to
its novelty," Maine wrote. "There is no exact precedent
for it, either in the ancient or in the modern world."
The Court's constitutional role was the product of "the
unsatisfactory condition of English Constitutional law
[at the time of the American Revolution], and of its many
grave and dangerous uncertainties." The Framers wanted
to avoid "a system under which legal questions were debated
with the utmost acrimony, but hardly ever solved...."[3]
Yet
there are sharp contrasts between the Court Maine knew
and the Court of today. Maine wrote at a time when the
Court was chiefly a supreme court of errors. Constitutional
issues still accounted for a small part of the Court's
business. In 1875, for example, they occupied only about
six percent of the docket, compared to about half the
docket a century later. It was not until six years after
publication of Popular Government that Congress
created the Circuit Courts of Appeals in 1891, the first
true and lasting intermediate appellate bodies in the
federal judicial system. With introduction of some certiorari
jurisdiction (to be greatly expanded in 1925) and a soon-to-be-enlarged
corpus of federal legislation (being in Congress in Maine's
day was very much a part time job), a different role for
the Court could emerge. In contrast to the docket of the
nineteenth century, public law in both its constitutional
and statutory forms now consumes the Court's time. Moving
beyond its dispute-resolution role, the Court has become
mainly a maker of public policy for uniform application
across the nation.
Maine
also wrote before a sizeable fraction of the constitutional
cases which did arise involved the Bill of Rights. The
dominant conception of the Bill of Rights in the late
nineteenth century may well have had more in common with
the late eighteenth century than with the late twentieth
century. For Maine, the Bill of Rights consisted of "a
certain number of amendments on comparatively unimportant
points."[4] Although he does not elaborate, one suspects
that by "comparatively unimportant" he meant unimportant
judicially--that they had not become a common source of
federal litigation. That could not happen to any significant
degree without two occurrences: first, the provisions
of the Bill of Rights would have to be applied to the
states through the Fourteenth Amendment (given the large
place, relative to the national government, state and
local governments had in the lives of their citizens).
This extension had not yet begun in 1885. Indeed, only
the year before in Hurtado v. California[5]
the Supreme Court placed a seemingly immovable barrier
in its way. Moreover, the Fourteenth Amendment as well
as the other two Civil War amendments seemed to Maine,
with one notable exception, to have had little impact.
"[A]t the present moment the working of the Constitution
of the United States does not, save for the disappearance
of negro slavery, differ from the mode of its operation
before the civil convulsion of 1861-65."[6]
Second,
Americans would have to re-think the purpose of a bill
of rights in a democratic government. The idea of a bill
of rights was hardly unique to Americans. Bills of rights
in the earliest state constitutions and the federal Bill
of Rights were themselves offshoots of English constitutional
documents such as the Petition of Right of 1628 and the
Bill of Rights of 1689. But the onset of democratic government
ultimately brought a radical change in the nature of bills
of rights. Before, a bill of rights was a mainly hortatory
device to protect the majority ("the people") from the
minority (the Crown, for instance), the many from the
few. Though rights were proclaimed, no practical enforcement
mechanism existed. Later, with political power lodged
in the hands of a majority of those admitted into the
political community, bills of rights and constitutional
limitations were transformed into devices to protect the
few from the many. Because of majoritarianism, protection
would not reliably come from the legislature, where "the
many" would prevail. Protection would have to come from
the courts. Liberty would have to become a juridical concept.
Some had glimpsed the beginning of this transformation
a century before Maine. James Madison, in his correspondence
with Thomas Jefferson over the desirability of a federal
bill of rights had observed, "Wherever the real power
in a Government lies, there is the danger of oppression."
In reply, Jefferson asserted:
In
the arguments in favor of a declaration of rights, you
omit one which has great weight with me, the legal check
which it puts into the hand of the judiciary. This is
a body, which if rendered independent, and kept strictly
to their own department merits great confidence for their
learning and integrity.[7]
Change
thus overtakes research and is ever the threat to one's
certainties and conclusions. Maine's depiction of the
Court has to be understood in the light of events he could
not foresee, events that have become the scholarly grist
for others.
Recent
books are ample evidence that attention to what Maine
called an "interesting" and "virtually unique creation"
continues at a quick pace. For books about the Court,
a useful framework of analysis consists of at least five
elements: the political and intellectual environment,
personnel, past, process, and product. The first refers
to the governmental and social systems in which the Court
operates. The second includes individual Justices. The
third encompasses the nation's history, as well as the
vast body of judicial decisions from prior eras. The fourth
points to the manner in which the Court arrives at its
decisions. The last consists of the Court's current and
recent decisions--the end result of the decision making
process--as well as their acceptance and implementation.
Each of these elements finds expression in varying degrees
in the books surveyed here.[8]
Political
and Intellectual Environment
The
Constitution entrusts the composition of the Supreme Court,
as well as the lower federal courts, to both the President
and the Senate. The choice of the former requires the
consent of the latter. It is therefore not surprising
to discover that the process designed, in Madison's words,
to give the nation a "bench happily filled" has become
at heart political-- "political" both in the narrow (meaning
partisan) and broad (meaning affecting the allocation
of power and influence) senses of that word. That partisan
considerations rather than the fitness of nominees would
often be the Senate's controlling consideration would
surprise most members of the Founders' generation, except
for a few who, like John Adams, visualized clearly the
rise of political parties.[9]
Senatorial
approval is usually forthcoming, but not always. Through
1991, 106 individuals have served on the Court, including
Justice Thurgood Marshall's replacement.[10] Of all the
nominations to the Court Presidents have submitted to
the Senate, 26 have been rejected or withdrawn or have
otherwise failed to pass. By contrast, the Senate has
blocked only nine nominations to the Cabinet since 1789.
Senators therefore view their constitutional obligation
to give "advice and consent" as entailing greater scrutiny
and more independence with Justices than with heads of
executive departments. Enhanced attention to the former
is explained by the Court's place in the political system,
life tenure, and the fact that the Court, unlike the Cabinet,
is outside the executive branch.
Yet
scrutiny by the Senate has not been even. Most of the
instances when a Supreme Court nominee failed to win approval
occurred in the nineteenth century. From 1900 through
Justice Thomas's confirmation in 1991, Presidents sent
58 names to the Senate. Of these, only five (John Parker,
Abe Fortas, Clement Haynsworth, Harrold Carswell, and
Robert Bork (Douglas Ginsburg withdrew his name before
President Reagan got around to sending the formal nomination
to the Senate)) were unsuccessful. The remaining 20 unsuccessful
nominations all date from the nineteenth century, save
John Rutledge's as Chief Justice in 1795. Indeed, from
the rejection of Wheeler Peck-ham in 1894 until President
Johnson's selection of Associate Justice Fortas to succeed
Earl Warren as Chief Justice in 1968--a period of 74 years--the
Senate failed to act favorably on only one nomination
to the Court: Judge Parker's in 1930. These figures should
not suggest that the remaining appointments encountered
no substantial opposition. A few did, including President
Wilsons appointment of Louis D. Brandeis in 1916.
But the Senate's generally relaxed scrutiny after 1894
understandably led one Court-watcher to observe in 1965
that future rejections would be unlikely.[11] Perhaps
the Seventeenth Amendment, ratified in 1913 and providing
for the popular election of United States Senators, removed
at least for a time some of the basis for political differences
between the President and the Senate.
Changed
circumstances negated such predictions. Within less than
two years from 1968, three nominations failed in the Senate.
This turn of events presents the question John Massaro
attempts to answer in Supremely Political--"why
the United States Senate periodically rediscovers its
power of advice and consent and refuses to confirm a nominee
to the high court."[12]
To
answer this question, Massaro considers the Fortas, Haynsworth,
and Carswell nominations not in isolation but in the context
of past nominations, both the majority that succeeded
and the minority that did not. (There is also a chapter
on the difficulty President Reagan had in filling the
seat vacated in 1987 by Justice Powell.) Specifically,
Massaro wants to know whether the cases of Fortas, Haynsworth,
and Carswell are "separate, idiosyncratic events" or whether
they "reflect a discernible pattern of factors associated
with unsuccessful nominations."[13] Ironically, of these
three troubled nominations, the latter two came about
only as a result of the resignation of Fortas as Associate
Justice in the spring of 1969, following the Senate's
refusal to approve his promotion to the center chair the
previous fall and the revelation in Life of
Fortas's financial relationship with Louis E. Wolfson.[14]
For
Massaro the key factors in determining whether a nomination
fails or succeeds are the nominee's ideology (as perceived
by the Senate), timing, and presidential management. Ideology
includes the views and political outlook of the nominee.
Timing refers to the months remaining in a President's
term. (The timing is "bad" if that number is twelve or
fewer.) However, the concept of timing might also be enlarged
to include events occurring coincidentally with the nomination
which work for or against the President's having his way.
Presidential management, the third factor, must be considered
because the Constitution gives to the executive the sole
authority to decide whom the Senate will be asked to approve.
For this reason, Massaro thinks of the President as having
"ultimate accountability" for assuring Senate confirmation,
even though the president's wishes are hardly the only
ones that matter.
Presidential
management includes in turn two distinct stages: pre-nomination
and post-nomination. During the former, the President
directs the screening process to obtain complete information
on all candidates for the vacancy and then selects someone
confirmable by the Senate. During the latter, the President
oversees the carrying out of a strategy to gain confirmation
and takes care "that positive relationships are generally
maintained with senators to provide the most favorable
atmosphere possible for the nomination during the Senate's
deliberations."[15]
Massaro
believes that presidential management may well be the
most important factor when either of the other two is
unfavorable. He arrives at this position by examining
the impact of the other two factors, ideology and timing.
Among previous nominations, where a majority of the Senators
and the President were of different parties (which presents
a prima facie case for an ideological division
between the Senate and the President), or where
the nomination was forwarded to the Senate in the last
full year of a President's term (a problem in timing),
the rate of refusal is 19 percent. If neither condition
is present, the rate of refusal is only 10 percent. If
both conditions are present, the rate is an astonishing
71 percent.[16]
With
the Fortas, Haynsworth, and Carswell nominations, only
one of the two detracting conditions was present in each.
With Fortas, although President Johnson, a Democrat, faced
a Senate firmly in Democratic control, Chief Justice Warren's
announcement to retire occurred in the last year of his
term and after he had informed the nation dramatically
in March that he would not seek renomination for a second
full term. Although the Haynsworth and Carswell nominations
fell early in President Nixon's first term (and so presented
no timing difficulty), the Republican President had to
deal with a Democratic Senate. Ordinarily, for each of
the three, the odds would still have favored confirmation.
The key to the failure of all three lies in "an appreciation
of the roles Presidents Johnson and Nixon played in these
defeats. Both Presidents failed to exercise the astute
management called for in attempting to gain Senate approval...."[17]
To a large degree, Massaro explains the defeat of Robert
Bork in the same way.
With
Haynsworth, whose ordeal began when Fortas's ended, the
problem was the inability to sever the "Fortas-Haynsworth
connection"--the ethical doubts that swirled around Haynsworth
just as they had about Fortas. The White House staff could
not make a "credible" distinction between the two in order
to shore up support for Haynsworth, especially among Senators
already troubled on ideological grounds. From an analysis
of pertinent documents, Massaro shows that Bryce Harlow
had recommended that Haynsworth be encouraged to withdraw
his name when it became apparent that the connection with
Fortas could not be erased.[18]
The
connection with Fortas was critical in another way too:
it buttressed the tendency of Fortas's own supporters
to vote "no" on Haynsworth. This is what Rowland Evans
and Robert Novak called the "post-Fortas lust for revenge
among Democratic senators."[19]
Indeed,
the volume's strength is its consideration of presidential
management. This is also a weakness, since the scope of
the factor may be too broad to be entirely useful. Since
presidential management encompasses so vast an expanse
of decisions and oversight, almost any negative result
can be attributed to it. In the end, if the Senate rejects
a nominee, one could always contend that, had the President
picked someone else (an act of management), the outcome
would have been different. Nonetheless, by focusing attention
on the President's role from start to finish, Massaro
leaves the accurate impression that confirmation to so
important and politically sensitive a post as Supreme
Court Justice rarely 'just happens." It is the product
of careful planning and execution, and (as most Presidents
discover) good luck.
The
Haynsworth nomination is the subject of another book which
appeared shortly after Massaro's: Clement Haynsworth.
the Senate. and the Supreme Court by John P. Frank,
with a foreword by Justice Lewis F. Powell. Like Massaro's,
Frank's work devotes space to the Carswell nomination.
Unlike Massaro's, Frank's begins not with Johnson's nomination
of Fortas to be Chief Justice but with Fortas's resignation,
it reviews Nixon's successful nomination of Judge Harry
A. Blackmun, and it refers to the Bork nomination only
in passing.
John
Frank is no newcomer to the study of the Supreme Court.
Once a clerk to Justice Hugo L. Black, Frank has written
widely on the Court and on individual Justices.[20] Of
particular relevance to the Haynsworth matter are articles
Frank wrote on judicial appointments and judicial disqualification
in 1941 and 1947, respectively.[21] His latest book is
a significant addition to the literature on the political
setting of Supreme Court nominations. Not only was Frank
a participant in the Haynsworth hearings (he testified
on the conflict-of-interest issue), but he was able to
gain access to some hitherto confidential documents. For
example, Frank made use of a lengthy oral history dictated
by Haynsworth containing his own impressions of the nomination,[22]
the Haynsworth Papers at Furman University, memoranda
from the Department of Justice (including some written
by then Assistant Attorney General William Rehnquist)
which Frank acquired through the Freedom of Information
Act, an interview with former Attorney General John Mitchell,
the Earl Warren Papers at the Library of Congress, as
well as other papers and interviews. While the book contains
no startling revelations, these sources allowed Frank
to provide information not available to others such as
Robert Shogan and Richard Harris who also wrote helpful
books on this period of Court history.[23]
Unlike
Massaro, Frank does not believe that errors in "presidential
management" (to use the former's term) contributed significantly
to Haynsworth's defeat, that is, unless one decides that
the selection of Haynsworth was flawed from the start.
Haynsworth
knew that a number of senators were called from the White
House or in some instances by the president himself and
that the president really worked at getting Haynsworth
confirmed. Harry Haynsworth [Judge Haynsworths cousin
and principal adviser during the confirmation proceedings]
was present at frequent meetings with the attorney general,
who was directly involved on a day-to-day basis. Any suggestion
that the administration was not putting its full power
into it, from Harry's personal observation and knowledge,
was simply unwarranted.[24]
A
bigger factor was bad luck. Haynsworth's chances for confirmation
were dearly hurt when Senator Everett Dirksen, the Republican
minority leader, died on September 7, only three weeks
after Nixon's announcement of the nomination. Senator
Hugh Scott, who replaced Dirksen, and Senator Robert Griffin,
the assistant Republican leader, voted against him.
Haynsworth's
undoing also stemmed from what Massaro would call ideology.
Given the Nixon administration's position on issues and
the so-called "Southern strategy" (by which the Republican
party hoped to appeal to disaffected white Southern Democrats),
Haynsworth was a logical choice. "If the...administration
had wanted to choose a judge zealous for civil rights,
it certainly would not have chosen Haynsworth. If it wished
to choose a judge temperate on civil rights, it might
well have chosen him."[25] With civil rights and labor
organizations opposed to Haynsworth, these groups could
make their views known to Senators from those states in
which their memberships counted the most. There, Haynsworth's
confirmation became a local issue.
Ideology
alone or combined with the hard feelings on the Fortas
resignation, however, would probably have been insufficient,
Frank believes. The opposition needed Republican Senators
to go over the fifty-vote line, many of whom were less
likely to be affected by the ideological concerns of labor
and civil rights groups. Birch Bayh, the leader of the
opposition to Haynsworth in the Senate, therefore looked
for another way to block the nomination. "From the standpoint
of one wishing to defeat a major nomination, his tactics
were flawless. First and foremost, he raised the doubts,
and then he kept them alive." And the doubts were about
Haynsworth's participation in the Darlington and Brunswick
cases where, arguably, he should have disqualified himself.
The
very labeling of subtle questions of disqualification
as "ethical problem "s was half the battle. The Haynsworth
episodes were basically practical problems of judicial
administration that could be resolved one way or another.
While there are preferred ways of dealing with them, and
they are to a degree ethical as well as practical, by
the time Bayh was finished with them, they were exclusively
ethical questions, and he was halfway home.[26]
And
doubts about ethics had been central to the calls for
Justice Fortas's resignation. As with Fortas, Frank believes,
a frontal assault would not work, "so recourse had to
be taken to character assassination."[27] Doubts over
ethics made it easy for those with ideological doubts
to engage in "political retaliation, a sort of legislative
murder [of Haynsworthj in response to an executive assassination
[of Fortas]," given their bitter memories of Fortas's
resignation a few months earlier.
Frank
believes that the Senate treated Haynsworth shabbily,
a view that does not derive from agreement with Haynsworth's
constitutional views.
Had
I been elected president in 1968..., I would have made
none of these appointments, and had I been attorney general
in 1969,... I would not have participated in forcing Justice
Fortas off the Court. Perhaps one can achieve some objectivity
through earnest regret at the series of events.
Frank
considers the Clement F. Haynsworth, Jr., Federal Building
in Greenville, South Carolina (Haynsworth's home town)
to be "an extraordinary but unanimous apology in stone
from the Congress of the United States for having traduced
the character of a good man."[28]
Accordingly,
Frank seems to prefer, within limits one supposes, a role
for the Senate in confirmation proceedings which stresses
"only the quality of a Court nominee," a measure which
he acknowledges comes from "a world in which we once lived
but do not now." But he also notes that Supreme Court
judging may have become "too important to be left to the
merely professionally able."[29] Republicans and Democrats
have occupied both sides of this issue during the last
25 years, but never the same side at the same time.
As
noted, prior to the defeat of Judge Haynsworth, the only
previous nomination to the Court in the twentieth century
to fail in the
Senate
was Judge John J. Parker's in 1930. The struggle over
his nomination is the subject of The NAACP Comes of
Age by Kenneth W. Goings.[30]
The
title accurately portrays the theme of the book. For Goings,
the most important result of the opposition by the National
Association for the Advancement of Colored People to Parker
was not his defeat but the impact on the organization
itself. First, because the NAACP had recently suffered
a major lobbying embarrassment when the Dyer Anti-Lynching
bill failed to pass Congress, the successful campaign
against Parker reinvigorated the NAACP and solidified
"the position of the organization in the eyes of black
and white America." Second, members of the NAACP "received
valuable experience in lobbying and organizing that helped
make future successes possible." Third, the successful
injection of race into the confirmation deliberations
marked one of the first times since Reconstruction, Goings
believes, that race became an issue in national politics.[31]
The book is therefore as much a study in the evolution
of an interest group as an examination of Parker's confirmation.
In
light of Massaro's emphasis on presidential management,
the "why-Parker?" question arises. Goings offers little
explanation other than suggesting (he calls it "a hint
of an answer") that Parker suited President Hoover's purposes.
First, a southerner would be replacing a southerner. Parker
was a North Carolinian and would fill the vacancy created
by the death of Justice Edward Terry Sanford of Tennessee.[32]
Second, "the Republican party viewed [Parker] as a valuable
component in its plans to build a lily-white party in
the South to challenge the lily-white Democrats."[33]
It
is entirely possible that had these been Hoover's only
motivations and had the only opposition to Parker come
from the NAACP, he would have been easily confirmed. But
another way of looking at the Parker fight is in the wake
of Hoover's nomination of Charles Evans Hughes as Chief
Justice only three months before. While the Senate approved
Hughes, few anticipated the depth of the opposition that
would develop. The debate was so caustic that the 26 negative
votes (with 18 Senators not voting) seemed almost anti-climactic.
(One of the negative votes was cast by Senator Hugo Black
of Alabama, who would join the Hughes Court seven years
later. Black also voted against Parker.)[34] Senator Robert
LaFollette had said, "We are put upon notice by the action
of the Supreme Court itself that in passing upon the nominations
of members of that court we are filling the jury box which
ultimately will decide whether there is to be effective
regulation and control of the great organizations of capital
in the United States."[35] In choosing Hughes and then
Parker, Hoover was "foreshadowing the 1936 impasse between
Court and Congress, as well as F.D.R.'s crusade of 1937
to bring the judiciary into line with the basic necessities
of the modern state."[36] In short, Parker was viewed
ideologically by Republican insurgents and Democratic
liberals as being insufficiently progressive on labor
and other matters, given the urgencies of the day. The
campaign which had warmed up on Hughes was able, barely
able, to push Parker aside, with 49 votes cast or paired
against him on May 7.
Goings
hints that Hoover may have had some reason to question
Parker's professional qualifications. Parker apparently
had been considered for Attorney General the previous
year, and Hoover asked Justice Harlan Stone for an assessment.
Goings reports that, in Stone's view, his appointment
to the court of appeals during the Coolidge administration
had been a "surprise" but that his work had been received
favorably. Goings then reprints the following part of
Stone's assessment:
I
should say that he does not possess the intellectual acuteness
or range of legal knowledge of the present Solicitor General
for example. His political experience and contacts might
favor approaches that could be well dispensed with in
the public service.... My doubt would be as to his organizing
and administrative capacity and whether he would have
that success of judgment and keenness of perception which
would save him from having things put over him.[37]
However,
in a sentence Goings does not include, Stone also stated,
"He is a man of vigorous, attractive personality, is said
to try cases very well and, on the whole, made a favorable
impression on me as a man of character and ability."[38]
William D. Mitchell, the Solicitor General, received the
appointment instead of Parker. In fact, whatever doubts
Stone may have had about Parker's suitability to be Attorney
General would not necessarily carry over to his suitability
to be an Associate Justice of the Supreme Court. The qualities
desired in the two positions are not entirely the same.
Significantly,
perhaps, Stone later went out of his way to express to
Parker his unhappiness with the treatment he received
in the Senate on his Supreme Court nomination.
I
don't know of anything that gives less satisfaction than
a letter such as I am writing now. Yet I don't feel like
going away for the summer holiday without letting you
know how sorry I am that you received the treatment, at
the hands of the Senate, which you did. It was an unhappy
combination of circumstances which brought about the result....
But you have the consolation of knowing that what the
Senate does or fails to do cannot affect your capacity
to do good judicial work, and to increase the good reputation
which you have established as a Judge.[39]
Stone
had already written his sons that Parker was "the unfortunate
victim of the circumstances which have developed this
issue, for he is really a very decent sort of a chap."[40]
Stone
may have been somewhat sensitive about his relationship
with Parker. When a gossip book about the Court was published
in 1936, the authors asserted, "When Justice Sanford died,
Stone had warned Hoover against the appointment of John
J. Parker...."[41] As Stone wrote Parker in January 1937,
The
impression created is that I was opposed to [the nomination],
which is quite a mistaken one. It is hue that I warned
him that there might be opposition of the character which
afterward developed in the hope that he would take precautionary
measures to forestall it. I have always thought if that
had been done that the outcome might have been different.
Having had some experience with the difficulties of judicial
decisions on labor problems I perhaps appreciated it more
than others.[42]
Years
later, Parker repaid Stone's confidence when he offered
a generous assessment of Stone's constitutional jurisprudence.
[He
did not] subscribe to what has been called "judicial automatism,"
and had no delusions that judicial duty could be performed
merely by laying "the article of the Constitution which
is invoked beside the statute which is challenged" and
deciding "whether the latter squares with the former."
Nor did he suffer from the other delusion that the Constitution
must be interpreted like a contract with reference to
what the framers had in mind at the time. He saw that,
with the exception of a few specific provisions, the Constitution
was the expression of great general principles of government
to be applied to the changing conditions of human society.[43]
There
was irony in Parker's praise of Stone. The words within
the second and third pairs of quotation marks were those
of Justice Owen J.
Roberts,
who was Hoover's safe choice for Sanford's seat after
Parker was defeated.
Parker
himself held out hopes for another appointment to the
high court at a later time, Goings records. In a letter
to his brother in late May 1930, he predicted, "I believe
that eventually I shall be appointed to the Supreme Court
and confirmed." And at least through 1953, his name was
put forth for consideration each time a vacancy opened
on the Court.[44] Indeed, Goings might have noted that
Justice Felix Frankfurter thoroughly researched and evaluated
Parker's appeals court opinions at the request of President
Franklin Roosevelt in early 1941.[45] Parker's name may
have been on a "short list" at the White House to replace
Justice James C. McReynolds. The McReynolds seat, however,
went to Senator James F. Byrnes.
Unlike
some commentators,[46] Goings does not believe the Senate's
rejection of Parker (or the refusal by a later President
to nominate him again) was a mistake. The Senate's verdict
on his record was accurate. "One wonders if Chief Justice
Warren would have been able to get a recalcitrant Parker
to agree to a unanimous decisson" in Brown v. Board
of Education in 1954, Goings poses.
Given
Parker's record after Brown, one thinks not. Indeed
Parker's feelings on race overwhelmed even the most important
tenet of his judicial philosophy--adherence to Supreme
Court doctrine. The NAACP had no way of knowing what his
decisions would be twenty-five years after the confirmation
fight, but Parker's background, his governor campaign,
his judicial philosophy, and his political ambitions indicate
that in the Associations struggle for change
Parker would have been more of a hindrance than a help.[47]
Being
on the winning side in 1930 brought unintended consequences
for the NAACP, Goings concludes. It meant that the NAACP
was able to energize itself as a major force for political,
economic, and social equality, and a significant player
in other Senate confirmation conflicts.
Those
later conflicts included Judge Robert Bork's nomination
to the Supreme Court in 1987, a move opposed in coordinated
and unprecedented ways by virtually every civil rights
organization in the United States. The conflict over Bork
is the subject of Ethan Bronner's Battle for Justice,[48]
one of several books about an event which will surely
tint judicial selection well into the twenty-first century.[49]
Unlike
some accounts of the Bork affair, Bronner's comes as close
as seems humanly possible to being factual and nonideological
in its approach. As a story, it is a marvelous synthesis
of an array of decisions, conversations, documents, moves,
and counter-moves. It is also an example of excellent
journalism. Bronner's sources include the obvious printed
materials plus interviews with Judge Bork, members of
his family, and others in a position to offer first-hand
accounts. Most of the sources are credited by name in
the "Acknowledgements."
If
one applies the Massaro framework to the replacement of
Justice Powell, there was the obvious problem of the ideological
difference between the President and the majority of the
Senate. Powell retired only six months after the Republican
party lost its six-year control of the Senate--a period
during which President Reagan had successfully replaced
Justice Stewart with Judge Sandra O'Connor, Chief Justice
Burger with Justice Rehnquist, and the latter with Judge
Antonin Scalia. A problem of timing also existed, even
though Reagan was in his third, not fourth, year of his
second term. By mid-1987, the Reagan Presidency had clearly
been weakened by disclosures from the Iran-contra affair.
Moreover, Attorney General Meese was preoccupied with
conflict-of-interest accusations. Success would therefore
depend on presidential management, and Bronner's narrative
reveals weaknesses in this category.
For
example, Borks supporters gravely underestimated
the nature and extent of the opposition to Bork. The nomination
had hardly been announced before Senator Edward Kennedy
fired one of the opening shots.
Robert
Bork's America is a land in which women would be forced
into back alley abortions, blacks would sit at segregated
lunch counters, rogue police could break down citizens'
doors in midnight raids, school children could not be
taught about evolution, writers and artists could be censored
at the whim of government, and the doors of the federal
courts would be shut on the fingers of millions of citizens
for whom the judiciary isand is often the only--protector
of the individual rights that are the heart of our democracy.[50]
According
to Bronner, Bork and William Ball (White House congressional
liaison) thought Kennedy's words were "such a departure
from tradition and such a distortion of the nominee s
record as to be of no consequence. They shrugged off the
speech as the ravings of a desperate politician. Kennedy,
they thought, had blown it. They were dangerously wrong
in their assessment."[51] The campaign against Bork briefly
took on the intensity of the antiwar movement of the late
1960s and early 1970s. Indeed, many of those prepared
to "block Bork" had come of age politically at that time.
Second,
Bronner believes that Bork did not prepare carefully,
or was not properly prepared, for the hearings before
the Senate Judiciary Committee. As one supporter confessed,
"We had just seen what Ollie North had done, and we figured
Bork is a lot smarter. He'll run circles around those
guys." That sentiment played into the hands of Bork's
foes, since anything less than a stunning performance
in committee would work against his chances.
Third,
conservative interest groups, the obvious force to counter
attacks on Bork from the left, either sat on the sidelines
altogether or fell short in marshaling their members.
This was especially important since the grass-roots campaign
the public witnessed was largely against the nomination.
Curiously,
substantial opposition should have been expected, Bronner
maintains, since that had been one of the factors which
argued strongly in favor of Scalia's being selected in
place of Bork in 1986 when Chief Justice Burger retired.
The
choice of Scalia over Bork in 1986 was a complex political
calculation. Rehnquist had been a lone right-wing dissenter
during his fifteen years on the Supreme Court. The administration
knew his promotion to chief justice would draw intense
liberal opposition. To send up Rehnquist with Bork would
promote an explosive combination that might place both
nominations in jeopardy, despite a Republican majority
in the Senate. It would make more sense...to offer a less
controversial nominee along with Rehnquist. thereby siphoning
off liberal energy toward the future chief justice. The
plan worked.[52]
Bronner
is convinced that the effects of the fight against Bork
will persist. Hard feelings may have inspired some of
the negative campaigning during the 1988 presidential
election. Moreover, Presidents will think twice before
putting forth Supreme Court nominees who can be characterized
as advocating a broad "New Right" agenda. Aside from what
Bork might have brought to the Court, Bronner sees a tragic
aspect to the defeat in Bork's
failure
to articulate appealingly a concern shared by many: Americans
have grown accustomed to letting judges and bureaucrats
make difficult social policy choices for them. They seem
resigned to allowing courts and government agencies take
[sic] responsibility on i6sues that a self-governing people
ought to work out in greater detail through the democratic
process.
This
was a message Bronner believes that Bork never conveyed
in an understandable and persuasive way--the message that
"Americans have relinquished the power of self-definition
to the courts."[53]
Personnel
"The
good that Presidents do is often interred with their Administrations.
It is their choice of Supreme Court Justices that lives
after them."[54] Three Justices, Taft, Black, and Rehnquist--one
of a bygone era, one of the modern period, and the third
a member of the present Court--are the subjects of recent
volumes.
Interest
in prominent figures of one day normally persists only
if their lives contain meaning for later generations.
Some two decades have passed since Justice Hugo Black
completed his 34 years of service on the Supreme Court,
but his memory endures. Indeed, a study of the modern
Supreme Court cannot be undertaken without a thorough
understanding of Black's life and work. First, his intellect
and legacy have been entwined with American constitutional
development at least since President Roosevelt named him
to the Bench in 1937. At his death in 1971 Black had served
with almost one-third of the total membership of the Supreme
Court since 1789. After an expanse of 34 years, it is
easy to forget how his appointment at the outset was tarnished
by the revelation (after he was sworn in as a Justice)
of membership in the Ku Klux Klan and how he seemed so
ill prepared for the tasks he faced that Justice Stone
asked Professor Felix Frankfurter at the Harvard Law School
for help in tutoring the new Justice.[55]
Second,
Black was identified with most of the distinguishing characteristics
of the Supreme Court during the period in which Hughes,
Stone, Vinson, Warren, and Burger were Chief Justices.
One outstanding characteristic was the rise to prominence
of civil liberties and civil rights as key constitutional
issues. Of the 160 cases the Court decided in 1935-1936,
for example, only two involved non-property issues in
civil rights. By 1960-1961, of the 120 decisions
in which opinions were rendered dealt with the subject.
That the Justices would become entangled in the most implacable
of these questions was not surprising. What distinguished
the modern Court was not its involvement but its responses.
Black played an important part in the nationalization
and standardization of constitutional rights. Few Justices
have seen as many of their dissenting positions become
the law of the land.
Third,
Black articulated a judicial philosophy which provides
a useful starting point for any study of the Court and
its decisions. His philosophy stood in contrast to that
of Felix Frankfurter and, later, John M. Harlan. The divergent
approaches reflected in their thinking help to explain
the theoretical tensions which continue to beset the Court.
Fourth, in some respects Black was not completely of
the Court he so strongly influenced. If he differed
from colleagues such as Frankfurter and Harlan, he also
differed from Justices such as William 0. Douglas and
William J. Brennan, Jr. He could chastise in the strongest
terms the latter Justices' defense of liberties which
Black felt had not been revealed with sufficient explicitness
in the Constitution. In his dual concern with protecting
constitutional liberties and limiting judicial power,
one suspects Black would have agreed with Chief Justice
Marshall's self-evaluation that he had "never sought to
enlarge the judicial power beyond its proper bounds, nor
feared to carry it to the fullest extent that duty required."[56]
As
edited by Tony Freyer, who contributed the introductory
essay, Justice Hugo Black and Modern America[57]
is a comprehensive look at Black's life and work on the
occasion of the one-hundredth anniversary of his birth
in 1886. The contents originally appeared as two special
issues of the Alabama Law Review in 1985 and 1987.[58]
Reprinted in book form, the articles can now enjoy the
wide audience they deserve. They supplement at least five
earlier symposia on Justice Black published in various
law reviews at different intervals of his judicial career.
The
book is in two parts, the first covering Black's years
in Alabama and the United States Senate (1886-1937), and
the second his years on the Supreme Court (1937-1971).
Counting Freyer's essay, there are 16 articles in all
Authors include Justices Brennan and Arthur J. Goldberg,
plus several scholars who have written their own books
on Black: Virginia Van der Veer Hamilton,[59] Irving Dillard,[60]
Gerald T. Dunne,[61] and Howard Ball.[62] Norman Redlich's
piece is an imaginary interview with Black upon reaching
the one hundredth milepost, as inspired by a conversation
Redlich had with Black on his eightieth birthday.[63]
One
of the most helpful parts of the book is the bibliography
prepared by Cherry Lynn Thomas and Jean McCulley Holcomb
on Black's Court years. Hardly anything seems to have
been omitted. It includes a summary of the Court's holding
in each case in which Justice Black wrote the majority
opinion, plus a listing of all of Black's separate opinions,
concurring and dissenting. Then follow lists of books
and articles by and about Black, including lists of reviews
of the books in legal and general periodicals. Aside from
the perspectives on Black which the essayists present,
the bibliography alone justifies publication. It should
be the beginning point for anyone venturing into a study
of Black. One only wishes it included his Alabama and
congressional years as well.
Tinsley
E. Yarbrough's Mr. Justice Black and His Critics[64]
is the product of an interest in Black which spans some
20 years. Although Black's constitutional jurisprudence
has long been the focus of scrutiny and criticism, as
the bibliography in Justice Black and Modern America
attests Yarbrough's book is the first exclusively to assess
the arguments raised by those who found fault with one
or another aspect of Black's opinions.
The
criticisms are many. As Yarbrough says, Black's jurisprudence
found a ceiling as well as a floor in the Constitution,
an approach which meant that the government sometimes
won in contests against the individual and sometimes lost.
That approach does not satisfy those who believe that
judgments are authoritative and will last only if grounded
in a theory of justice. Others accused Black of believing
in a mechanical or a self-interpreting Constitution. Sometimes
critics said he read too much into the Constitution, especially
in his first two decades on the Bench. Later, other critics
said that he read too little into the document, or that
his method of deciding cases produced arbitrary results.
Yarbrough,
for one, believes that "early as well as late in his career,
Justice Black was essentially consistent in both his approach
to the judge's role and construction of specific constitutional
provisions and that his interpretations are generally
well grounded in the Constitution's text and history."[65]
Still, he insists he has not written an apology for Black,
but has simply turned the tables on the critics--to assess
their own assessments. Whether one accepts Yarbrough's
analysis of Justice Black's critics, one thing is certain:
probably in no other single book is there a more readable
and thorough analysis of Black as a constitutional positivist.
To
understand the critics, one must first understand the
subject of criticism. The volume contains a systematic
review of Black's thinking on the "total" incorporation
of the Bill of Rights into the Fourteenth Amendment, a
hallmark of Black's public thinking at least since Adamson
v. California, and his private thinking as early as
1939.[66] Contrary to the prevailing understanding of
Black, Yarbrough concludes that Black found the source
of the incorporation not in the due process clause, but
in the moribund privileges and immunities clause of the
Fourteenth Amendment. There is also an extensive review
of Black's absolutist approach to the guarantees of the
First Amendment, his more restrictive construction of
the equal protection clause of the Fourteenth Amendment,
and his flexible approach to the Fourth Amendment's protections
against "unreasonable searches and seizures."
Since
Black, as a positivist, believed that principal responsibility
for lawmaking lay with the people's representatives and
not their judges, Yarbrough sees in Black's jurisprudence
an attempt to find a workable balance between popular
government and limits on the people's government. Black
searched for "constitutional constructions which were
compatible with plausible readings of language and history,"
Yarbrough concludes, "and thus consistent with his conception
of judicial review, yet restrictive of judicial choice,
and thus compatible with democratic principles."[67]
Being
the target of serious critics is a sign that one has thoughts
others deem worthy of consideration. As a leading figure
in Supreme Court history, Justice Black "endures" because
his ideas still matter. Yet, it is a measure of what constitutional
law and the role of the Senate in reviewing nominees to
the Supreme Court have become since Black's death that,
in all probability, a nominee today (other than, perhaps,
someone appointed, as Black was, from the ranks of the
Senate) espousing a constitutional jurisprudence like
Black's would be defeated.
William
Howard Taft is another figure in Supreme Court history
whose legacy, particularly in judicial administration,
remains important. Among eminent public officials, Taft
is unusual in that virtually all of his adult life, from
age 25 until his death at age 72, was spent in public
service. The exception is an eight-year gap between 1913
(when he left the White House) and 1921 (when President
Harding named him Chief Justice). This is the period of
Taft's professional life generally glossed over by biographers,
aside from references to his professorship at Yale and
time spent on the lecture circuit. Students of Taft and
of this period in American political history should therefore
be pleased that James F. Vivian has edited a volume[68]
containing the newspaper columns Taft wrote for the Philadelphia
Public Ledger between November 1, 1917, and July
5, 1921.
It
was Cyrus H. K. Curtis of the Curtis Publishing Company
who created this literary opportunity for the former President.
For an annual stipend of $10,000, Taft agreed to submit
one column per week, although events sometimes pushed
him into writing more frequently. Most of the columns
dealt with the World War, negotiations over the League
of Nations, ratification of the Nineteenth Amendment,
and the presidential campaign and election of 1920. But
other columns bear on issues the Supreme Court faced or
issues Taft would confront as Chief Justice.
For
example, a column of May 9, 1918, lauds enactment of the
Sedition Act, about which Taft approvingly noted, "The
mere expression of treasonable sentiment can be promptly
punished with severity...."[69] The column for June 20
attacks critics of the Supreme Court's decision in Hammer
v. Dagenhart,[70] which struck down Congress's
Child Labor Law as an abuse of the commerce power. "The
Court says the law invades the function of the states.
Why does this reason not satisfy the complainants?" Taft
queried. "In matters in trusted to the states by the Constitution,
we must look to the states for proper laws and their effective
enforcement. To do otherwise is to confess our national
system a failure."[71] Shortly after becoming Chief Justice,
Taft and the Court faced a second national statute to
eliminate child labor, this time passed under the taxing
power. In Bailey v. Drexel Furniture Company,[72]
Taft spoke for the majority: "The case before us cannot
be distinguished from that of Hammer v. Dagenhar4"
the Chief Justice declared. "Grant the validity of
this law, and...the word 'tax' would be [used] to break
down all constitutional limitation on the powers of Congress
and completely wipe out the sovereignty of the States."
Other
columns reflected Taft's interest in judicial administration
and the integrity of the courts. There was praise on June
20,1921, for a decision by the Colorado Supreme Court
invalidating that state's provision for the recall of
judges. In a column on November 22, 1920, he sharply attacked
inefficient systems of criminal justice in the states.
"Delay in prosecution is the great refuge of criminals,"
he asserted. Moreover, too much care was taken to avoid
convicting an innocent person.
For
years the administration of the criminal law in many of
our state courts has been humiliatingly inefficient and
a real disgrace to our civilization. The theory that ninety-nine
guilty men should escape rather than one innocent man
should be punished has been carried in practice to a ridiculous
extreme. The prosecuting machinery of the law is of human
construction and must sometimes err in undue severity
and in the punishment of innocent persons. If we insist
that we shall not have prosecutions without absolute insurance
that no accused person shall be unjustly dealt with, then
we must give up prosecution altogether and have no criminal
law. The innocent man who suffers injustice under a properly
framed code of criminal procedure is a sacrifice to a
public cause, as clear as any martyr.[73]
Perhaps
the most interesting piece appeared on May 20, 1921, on
the death of Chief Justice Edward Douglass White, the
man Taft would soon succeed. Although generally a review
of White's long career, Taft's column reflected on the
nature of the office White held.
The
Chief Justice is the head of the court, and while his
vote counts but one in the nine, he is, if he be a man
of strong and persuasive personality, abiding convictions,
recognized learning and statesmanlike foresight. wxpected
to promote teamwork by the court, so as to give weight
and solidarity to its opinions.[74]
Taft
applied the description to the careers of both White and
Chief Justice Marshall. Shortly, he would aspire to the
same standard.
Taft
was the tenth Chief Justice. William H. Rehnquist is the
sixteenth. Unlike all but two of his predecessors, Rehnquist
was already an Associate Justice when he was appointed
to the center chair, and while he has been Chief only
since 1986, his total service on the Court now surpasses
20 years. His views have become the focus of at least
two book-length studies, the more recent being Sue Davis's
Justice Rehnquist and the Constitution.[75]
Books
about Supreme Court Justices commonly fall into four categories.
The longest books are usually biographies covering virtually
every aspect of the subject's life, even though the Court
years may be a major part of the work. Henry F. Pringle's
study of Chief Justice Taft falls into this group.[76]
A second type confines itself mainly to the subject's
judicial decisions, normally stressing constitutional
doctrine and jurisprudence. Tinsley Yarbrough's book on
Justice Black, discussed above, is an example. A third
category places the views of the Justice in a larger political
and social context. Consider, for instance, the collection
of studies by G. Edward White in The American Judicial
Tradition.[77] A fourth type looks at the members
of the Court statistically and comparatively as a way
of relating the ideas of one justice to the others. The
focus is on votes for or against certain values, rather
than on the substance of cases and the progression of
doctrine.[78]
Davis's
is primarily of the second type. She begins with the appointment
of Rehnquist to replace Justice Harlan in 1971, and considers
exclusively his constitutional jurisprudence as reflected
in judicial opinions through June 1986. The goal is to
lay before the reader a systematic analysis of the judicial
values of William Rehnquist. Generally, her analysis is
evenhanded, although the final pages of the book leave
no doubt that she rejects those values.
Rehnquist
must be understood as a legal positivist, she believes.
Legal positivism forges common ground with Justice Black,
with the conspicuous difference that the latter's positivism
usually led him to very different conclusions. The legal
positivist sees the legislature as the principal lawmaker,
with judges having a reduced role to play. Legal positivism
also means that the authority and legitimacy for law flow
from its enactment by the people's representatives, not
from the law's compatibility with moral values which exist
outside the law. Coupled with positivism is a particular
ordering of judicial values. For example, Davis finds
that Rehnquist places a "preeminent" value on federalism,
with "the theme of state autonomy" running "throughout
his opinions." Indeed "the value that Rehnquist assigns
to federalism is so high that it abrogates the prescription
for a minimal role for the judiciary."
Subordinate
to federalism are rights of private property--that is,
the right of the owner of property to be free from undue
regulation by government, especially state governments.
At the bottom of the hierarchy are other individual rights
such as freedom of speech and protections for persons
accused of crimes.[79] The puzzle is why Rehnquist does
not place all individual rights, including those of property,
on the same level.
A
right entails a corresponding obligation on another. In
a democratic political order, a right usually means a
restriction placed on the majority in the interest of
the individual or a minority of the people. If one values
law because it flows from the people, why not then make
all individual rights equally subordinate? The answer
cannot be that some rights but not others find explicit
mention in the Constitution which is the ultimate law.
While this fact neatly explains Rehnquist's position in
cases like Roe v. Wade,[80] it does not
explain why, among rights which are mentioned, he prefers
some (property) over others (free speech). She offers
several possible explanations. First, Rehnquist may not
believe that the Fourteenth Amendment brings the provisions
of the Bill of Rights, including the First Amendment,
squarely to bear against the states. Second, he may believe
that the Framers valued property rights more than other
rights, although that preference is not evident from the
text of the Constitution itself. Third, he may believe
that property rights are more important because they promote
stability in society.
Scholars
probe judicial opinions and other sources for clues about
a Justice's values. Such intellectual explorations would
be little more than mental exercises were those values
not translated into public policy when cases are decided.
The unarticulated assumption of studies like Davis's is
that Justices are not merely legislators in judicial garb,
voting this way or that to further a particular agenda.
Rather, the assumption is that judges are indeed different
from legislators not because they lack preferences but
because, first, they are not obliged to reflect popular
will and, second, they routinely speak the language of
the fundamental values of the political system. The legitimizing
force in the legislative chamber is 51 percent of the
votes. In the appellate courtroom it is reasoned judgment,
wrestled from an authoritative source such as a constitutional
or statutory provision. Whether the subject is Justice
Black or Chief Justice Rehnquist, ideas are studied because
they are supposed to matter. Years hence, someone may
well publish a book on "Chief Justice Rehnquist and His
Critics." Davis's book will be one of the sources, Tinsley
Yarbrough's book the model.
The
Past
In
neither the Congress nor the Presidency does the past
reside in the present to the extent it does at the Supreme
Court. The Court of the 1990s is clearly different from
the Court of the 1790s, yet past generations have left
landmarks which remain. For the Court those landmarks
consist mainly of precedent--the gloss earlier Justices
placed on the Constitution. Preeminent among the Court's
traditions--indeed, the thing which sets it apart from
the courts in most countries of the world--is judicial
review. And in most texts on American constitutional law,
Marbury v. Madison,[81] is the leading case.
Robert
Lowry Clinton's Marbury v. Madison and Judicial Review[82]
is a significant examination of how the relation between
the Court and the other agencies of the national government,
especially Congress, has evolved during different periods
in American history. Publication is timely. The last decade
has witnessed widespread debate about judicial review
on at least two fronts: first, the proper approach the
Supreme Court should employ in interpreting the Constitution,
and, second, whether and to what extent Supreme Court
decisions should be binding on the rest of the political
system.[83] Broadly described, the volume is a study in
myth-making and in the separation of powers. The point
of Clinton's study is that the Marbury of contemporary
constitutional law is not the Marbury of history,
that scholars need to do much "unlearning" if they are
to understand the case correctly, and that fundamental
change is needed if the political system is to rest on
a sure constitutional footing.
Before,
during, and after Marbury, Clinton believes that
a generally agreed-upon and limited view of judicial power
existed: that the federal courts could invalidate acts
of coordinate branches of government with finality only
when the acts violated constitutional restrictions on
judicial power. Of course, this was what happened in Marbury:
the Court invalidated part of an act of Congress which
intruded on the judiciary's Article III functions. At
variance with the common view, Clinton does not see Marshall's
decision as a clever way off the horns of a political
dilemma, no matter how great the feud between Federalists
and Democratic Republicans during President Jefferson's
first term.
Marbury
was not a political decision but was based on sound
constitutional doctrine and existing legal precedent.
In short, it was precisely the sort of case that the Founders
considered appropriate for the exercise of judicial review.
A failure to exercise authority in that case would surely
have impaired the Court's ability to properly perform
its own functions.[84]
This
reading of the case is strikingly narrow and differs from
the contemporary interpretation that authorizes courts
to strike down any act of Congress or of the executive
which the judges find to be in violation of the Constitution.
Furthermore, under the contemporary interpretation a decision
of the Supreme Court is supposed to be "final" until changed
by the Court or by amendment of the Constitution, a position
the Court itself articulated in Cooper v. Aaron.[85]
"[H]anded down to subsequent generations in a manner
not unlike that of Plato's 'noble lie'...the judicial
mythology embedded there has served to authorize small
groups of judges to preempt other organs of government
in deciding fundamental constitutional questions."[86]
Even the term "judicial review" is of comparatively recent
origin, Clinton reports, probably having not appeared
any earlier than 1910.[87] The mythological Marbury
grew out of debates over judicial power during the
Progressive era. "By 1903, friends of the Court had elevated
Marbury to a status commensurate with the Declaration
of Independence!"[88] Even those opposed to the Court's
use of judicial review accepted Marbury as the
source of the problem. The Marbury of myth developed
to counter advocates of legislative supremacy who would
have denied courts any review of legislative acts whatsoever.
Clinton
is not content with a revamping of history. His conclusions
about the evolution of Marbury carry consequences.
[T]he fundamental rationale for the institution of
Article III courts was the belief of the Founders that
impartiality, neutrality, and objectivity were
plausible and worthwhile goals
for independent judges. Since it is exactly
that proposition that is denied by modern proponents of
judicial non-neutrality, adoption of that myth undermines
in toto the conventional foundation of judicial
independence.[89]
Hamilton,
after all, in Federalist Nos. 78 and 81 had assumed
such impartiality to reside in the "power of judgment."
Therefore, those who would import values into the Constitution
because neutrality and objectivity cannot be achieved
undercut judicial review itself.
In
place of the current understanding of judicial review,
Clinton proposes "functional coordinate review" which
would confine judicial review to the invalidation of laws
of a judicial nature, as exemplified by the facts of the
Marbury case. Functional review in turn leaves
a "derivative discretion in Congress--and, to an extent,
in the president--to disregard judicial decisions which
set aside laws on the basis of constitutional provisions
not addressed to the courts."[90]
Clinton
finds certain advantages in his theory. First, it is consistent
with the text of the Constitution and with his understanding
of the Framers' intention regarding the judicial power.
Second, the theory is consistent with judicial decisions
of the founding period. Third, it "satisfies the demand
for objectivity inherent in a conception of courts as
organs of government exercising judgment rather than will.
It is neutral with respect to particular results."
Accordingly, Congress can pursue conservative or liberal
policies, and, so long as it does not encroach on policies
entrusted to the courts, no court would have the authority
to invalidate the legislature's preference. Clinton uses
three examples. The Supreme Court would have no authority
to interpose its views were Congress to require racially
segregated schools for the District of Columbia or to
ban the movement in interstate commerce of goods made
with child labor. However, were Congress to forbid courts
from excluding coerced confessions from trials, the judiciary
could properly invalidate the law because the statute
not only contravenes the Fifth Amendment but is directed
to what courts do. The decision in the third example would
also be final because trial courts would be bound to follow
it. The only legislative recourse would be impeachment.
Without
doubt, coordinate review would generate more public debate
on the constitutionality (as well as the wisdom, one imagines)
of various policies. Were it to be adopted, the electoral
process itself might become the ultimate validating authority
on which interpretation was "correct" or at least to prevail.
Yet, one reels from the prospect of political anarchy.
Instances would arise in which the lines would not be
clear, when opposing groups would use the ambiguity to
partisan advantage. "I do not think so," Clinton replies,
"but even if it does, a measure of uncertainty in constitutional
matters is healthy."[91] For him, the notion that finality
must reside somewhere is also myth, an attitude unknown
to the Framers. The dilemma with the present version of
judicial review is that it requires acquiescence in the
decision, no matter how great the flaw. By contrast, Clinton's
coordinate review "allows the affected department the
discretion to disregard the Court's decision if its own
interpretation of the Constitution differs from that of
the Court."[92] What would be required would be a principled
explanation by the department defending its interpretation
as correct.[93] The recommended overhaul would add a new
dimension to separation of powers, to be sure, but would
make governing at the national level even more difficult
than it currently is.[94]
Clinton's
book is revolutionary--both in its message for current
scholarship and its prescription for statecraft. However,
even agreement with Clinton's reading of history does
not necessarily lead to the constitutional results he
advocates. The Constitution in practice has long been
different in so many ways from the words of the Constitution
(and of the knowable intent of those who wrote it). As
Robert H. Jackson characterized American constitutional
interpretation,
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
thing--more and more a tradition. The work of the Court
became less an exposition of its text and setting and
purposes and became 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. This was the inevitable
consequence of accumulating a body of judicial experience
and opinion which the legal profession would regard as
precedents.[95]
Nonetheless,
Clinton has challenged the status quo. His book is one
no student of the Court can prudently disregard.
Process
The
Court's decision making procedures as well as its past
shape the outcome of cases. How the Court operates internally
is important since the Supreme Court has always been a
collegial body. Unlike most intermediate appellate courts
in the state and federal judicial systems, all justices
typically participate in all decisions. Glimpses of the
process promote understanding, and usually appreciation,
of the institution.
Such
glimpses are the distinguishing mark of The Ascent
of Pragmatism by Bernard Schwartz,[96] an author whose
recent books have also provided scholarly insight into
the formation of the Court's major decisions of the past
four decades.[97] The focus of this latest volume is the
Burger Court.
Of
the sixteen Chief Justices, Warren Earl Burger's tenure
surpasses all but three. Only Chief Justices Marshal,
Taney, and Fuller served longer. Of the eight Chief Justices
appointed thus far in the twentieth century, Burger served
longer than any. Longevity alone makes the Burger era
an appealing one to study.
But
there is more. The Burger years followed the Warren years.
Beginning in 1953, Earl Warren's tenure as Chief
Justice was one of the most active and remarkable in American
history, particularly so after Justice Goldberg's arrival
in 1962 which produced a nearly certain minimum of five
votes for positions Warren advocated.[98] Hardly an aspect
of life went untouched by landmark decisions on race discrimination,
legislative apportionment, and the Bill of Rights. Warren's
Court launched a revolution in constitutional jurisprudence.
The
Court became an issue in the presidential election of
1968 to a degree not witnessed since 1936. Republican
candidate Richard Nixon ran against the record of the
Warren Court and promised, if elected, to change the Court
by strengthening the "peace forces as against the criminal
forces of the country."[99] Nixon's appointment of Burger
in 1969 therefore seemed to fulfill his campaign pledge
against judicial activism. Given the new Chiefs record
on criminal justice, he seemed made to order for the new
administration. Little wonder that commentators awaited
major change.
Remarkably,
the Court under Chief Justice Burger did not overturn
outright a single major decision of the Warren Court.
The persistence of the Warren Court's jurisprudence during
the period is all the more noteworthy when it is remembered
that by 1986 when Burger retired, only three members of
the Warren Court were still sitting, and of the three
only Justices Brennan and Marshall had been closely identified
with the Warren Court's major accomplishments. Although
some of the Warren Court's landmark rulings on criminal
justice were restricted, especially with respect to the
exclusionary rule,[100] the Burger Court practiced its
own kind of judicial activism, as seen in cases involving
race and gender discrimination and abortion.
Moreover,
with the possible exception of William Howard Taft, Burger
was the most active Chief Justice outside the Supreme
Court. He treated his office like a pulpit from which
he campaigned energetically for changes in legal education,
professional standards for bench and bar, criminal sanctions,
prisons, and the administration of justice. By virtually
all accounts, the federal judiciary's relations with Congress
improved substantially after 1969, and most of the credit
for that fairly seems to lie with Burger. Any one of these
developments offers ample reason to study the Burger period.
Schwartz's
book examines the Court in three ways. The volume opens
with a review of the personality and ideas of each Justice[101]
followed by some generalizations on decision-making procedures,
both old and new.[102] The most significant observation
is additional evidence of the increased reliance by almost
all members of the Court on their clerks both in making
recommendations on which cases to accept for review and
in writing opinions. Collectively Schwartz refers to the
clerks today as "the Junior Supreme Court."[103] This
development contradicts the observation made long ago
by Justice Brandeis 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"[104]
However,
Chief Justice Rehnquist recently reported that "the individual
justices still continue to do a great deal more of their
'own work' than do their counterparts in the other branches
of the federal government."[105] Schwartz's finding and
the Chief Justice's observation may not be in conflict.
That the clerks do more does not necessarily mean that
the Justices do not do more of their own work than those
occupying comparable positions in the executive and legislative
branches. Yet the finding is ironic since it was Rehnquist
as a young attorney in 1957 who made an issue of the role
of the clerks.[106] And if some or most of the Justices
have delegated much of the case-selection work (admittedly
a burdensome task) to their clerks, this fact would seem
to undercut some of the arguments made against the proposal
of the group headed by Professor Paul A. Freund in 1972
to create a National Court of Appeals. That court would
have done most of the screening of cases for the Supreme
Court, referring the most important ones to the Justices
and disposing of the rest itself.[107]
The
concluding chapter is an overview of the major characteristics
of the Burger Court's jurist prudence, focusing on changes
which might have occurred which did not. It is from here
than the book gets its name. Schwartz concludes that the
Burger years were marked principally by a pragmatic approach
to constitutional issues rather than a result-oriented
decision making. The latter had characterized the Warren
Court. In part the pragmatic approach evolved, he finds,
because of the dominant role played by four or five Justices
at the Court's "center," between two Justices on the ideological
left and two on the ideological right. The approach also
evolved because, except for the issues of gender discrimination
and abortion, the Burger Court was largely faced with
cases involving application of doctrine inherited from
the Warren Court. Much of this business by its nature
meant that little new ground would be broken; instead,
the Court had to decide whether to extend a ruling, and
if so, how far.
The
middle and longest part of The Ascent of Pragmatism
is an account of the Justices' deliberations in conference
on many cases decided between 1969 and 1986. As Schwartz
explains,
The
conferences themselves, at which cases are discussed
and the votes taken on decisions, are, of course, completely
private -- attended only by the Justices themselves.
The secrecy of the conference is, indeed one of the great
continuing Court traditions. I have tried to reconstruct
the conferences in most of the cases discussed.... The
conference discussions are given in conversational form
and the quotes are taken verbatim from notes made by a
Justice who was present.[108]
There
seem to be at least two problems with this admittedly
prized source. First, in contrast to the variety of sources
upon which Schwartz draws in other parts of the book,
his reconstruction of conversations at the conference
appear to come from a single source: "the notes made by
a Justice who was present." This seems to mean that all
the notes upon which he relies were the notes of only
one member of the Court, not that for each conference
conversation he reconstructs he relied on the notes of
a single Justice (that is, Justice "A" for conference
"A," Justice "B" for conference "B," and so forth). While
the source for the notes Schwartz uses maybe accurate,
it is also possible that they are not. The notes after
all were made by a conference participant. It is surely
difficult to write a complete account as the meeting proceeds.
One must therefore have to rely partly on memory in
recording and reconstructing exchanges. Are positions
accurately stated and correctly attributed? Have points
been omitted? Are the inaccuracies and omissions which
might be present consequential? Even minutes for a meeting
are ordinarily written by a secretary who takes notes
but who does not participate. And minutes are subject
to review at a later meeting by all who were present at
the first.
Second,
how can the acknowledged benefits of confidentiality at
conference continue to be enjoyed when at least one Justice
makes notes of everyone's statements and views and shortly
makes them available to someone (like Schwartz) who was
not present? Access to memoranda and other materials which
reveal the Court's deliberations has been controversial
at least since 1956 when Alpheus Mason's biography of
Chief Justice Stone was published.[109] Few today would
argue that such documents should be forever closed. Mason's
book appeared about a decade after Stone's death; the
controversy arose mainly because Justices Black, Reed,
Douglas, and Frankfurter (all of whom had sat with Stone)
were still on the Bench. By contrast, Schwartz's volume
was published only four years after Burger retired, giving
the confidentiality of the later Burger conferences a
short run.
One
wonders what the impact of publication is on the members
of the Court as they attend conferences each week. Are
the thoughts they offer privileged now but not in four
years? And if not for four years, should they remain |