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Justice
Cardozo: One-Ninth of the Supreme Court
MILTON
HANDLER and MICHAEL RUBY
Editor's Note:
This article originally appeared in the Cardozo
Law Review, Volume 10, October/November, 198& Milton
Handler is a Professor Emeritus of Law, Columbia University.
Michael Ruby, his grandnephew, has adapted this article
from an oral history with Professor Handler. Portions
of this text expand on themes addressed in an earlier
work. See M Handler, Benjamin N. Cardozo, in Twenty-Five
Years of Antitrust 1271 (1973).
Part I
As a young
professor, I had the privilege of gaining some glimpses
into the private life of Justice Cardozo. I knew him slightly
in the latter years of his tenure on the New York Court
of Appeals, and more intimately after he moved from New
York to spend the last years of his life in Washington.
He was a self-effacing man, jocularly referring to himself
as ''oneninth of the Supreme Court,'' but much to
my surprise this trait did not govern his debut on the
Court--a landmark civil rights decision. His second opinion,
an antitrust ruling handed down on the same day, presents
a judicial mystery that I will endeavor to solve after
giving my impression of the Justice.
My first contact
with Cardozo came when I was in my third year at Columbia
Law School, where he was worshipped by my generation of
law students. We eagerly read his every opinion, not only
those that adorned the various casebooks that we studied,
but also those that he was handing down at the time as
a member of the Court of Appeals. In my capacity as the
book review editor of the Columbia Law Review in
1926,1 had the temerity to invite him to review a work
on legal philosophy. This was the beginning of a correspondential
relationship.
Four years
later, after I had embarked on my teaching career, I discovered
an opinion by Judge Barrett, a New York jurist in the
1890s, while putting together a chapter on trademarks
for a casebook on trade regulation. The clarity and brevity
of the one-page ruling impressed me as an example of the
art of opinion writing, of which Cardozo had written in
his Law and Literature.[1] I used the opinion
in class in the mimeograph edition of my casebook to indicate
how the analysis of a trademark controversy could be stated
in a few paragraphs, and sent a copy of the ruling to
Cardozo with my comments. The Chief Judge promptly responded
that it "brings back reminiscences of my youthful days
when I heard him dictate opinions almost equally precise
and graceful."[2]
Later that
year, I was called upon to assemble a list of legal classics
for incoming students to read during the summer before
their first term. I included Cardozo's The Nature of
the Judicial Process among titles by Gray, Ames, and
Holmes, whom Cardozo revered and would soon succeed on
the Supreme Court. I forwarded the list to Cardozo, whose
response was a study in shifts of tone:
Truly a lad
studying at Columbia Law School today can hardly fail
to learn that law is wedded to philosophy and literature
and art.
Of course,
to a good many of the boys these readings will be idle
chatter, but some few in every class will feel the curiosity
to keep the chatter up-which is all, I suppose, that the
wisest of us can do.
I felt very
proud when I saw my own little book sandwiched
in between those of the immortals.[4]
The Chief
Judge began in an avuncular tone and concluded rather
humbly. In between, he expressed the practical man's ambivalence
toward legal philosophy, denigrating it as "idle chatter,"
and then proceed to justify the enterprise in the same
sentence.
When President
Hoover nominated Cardozo to the Supreme Court on February
15, 1932, everyone at Columbia was overjoyed. I knew from
experience that the appointment was the result of years
of effort on the part of Cardozo's admirers. When I had
clerked for Justice Stone in 1926, he related to me the
circumstances of his own recent appointment by President
Coolidge. The tale disconcertingly featured Cardozo.
When Justice
McKenna retired in 1924, Coolidge summoned Stone, his
Attorney General and former classmate at Amherst, to obtain
advice on whom he should appoint as the successor. According
to Stone's account, Coolidge said, "I regard this as an
important responsibility of the Presidency and would welcome
your suggestions. Think about it for a while." "Mr. President,"
Stone said, "I can present my recommendation right now.
I don't have to give it any thought." "Whom do you have
in mind?" "Benjamin Nathan Cardozo, the outstanding jurist
of our times." "Isn't he a Hebrew?" the President asked.
"Yes, but in my view, that's irrelevant." "Well, we have
one Hebrew on the Court now, Brandeis, and I don't believe
that I would want to be the one to add another," Coolidge
concluded. Then Coolidge turned to Stone and asked, "what
about my appointing you?" "Mr. President, I cannot be
considered in the same breath as Cardozo. He has every
attribute of judicial greatness. I possess nothing comparable.
You would be appointing someone much inferior to Cardozo."
Coolidge said nothing and Stone continued: "You know,
Mr. President, I've had an academic career. I retired
from the deanship and went into private practice. Lo and
behold, I wasn't in practice for a year when you appointed
me Attorney General. At that time, I indicated that I
would take it only for a limited period, because I really
am anxious to get back to New York." "Still," Coolidge
said, "I want you to consider this, please take it up
with Agnes and let me know your decision." After discussing
it with his wife, Stone, as might be expected, accepted
the appointment.[5]
Stone also
told me that a few years before that, as Dean of Columbia
Law School, he had recommended Cardozo to President Harding,
who chose Pierce Butler. A few years afterward, Stone
recommended Cardozo as President Hoover's first appointment,
which went to Owen J. Roberts. When Hoover was about to
make his second appointment, Stone recommended Cardozo
for the fourth time. While "Stone does not appear to have
been 'in' on the decision," according to the definitive
account of Cardozo's appointment, "his opinion doubtless
carried some weight with Hoover."[6]
I joined the
chorus of well-wishers after Cardozo's prompt confirmation
by the Senate, but I could not help wondering how he would
adjust to the shift from being New York's much admired
Chief Judge to being the freshman Justice on the High
Court. I wrote Cardozo that, on the basis of Stone's experience
as the junior Justice, he should expect that many of the
cases assigned to him would be relatively unimportant,
unlike the significant questions with which he dealt in
his Court of Appeals decisions. I also offered to apprise
his clerk of some aspects of a Supreme Court Justice's
work with which he might not be entirely familiar. At
the end of each term of the Court, outgoing clerks break
in incoming ones, and I had something of the sort in mind.
Cardozo responded:
I am grateful
for your letter. I put it aside to be answered more fully;
but alas! the mountain of other letters still unacknowledged
warns me to be brief. What you wrote interested me, and
I hope some day we may discuss it.
You are good
to offer to help my secretary, and I may take advantage
of the offer later.[7]
Cardozo's
legal secretary, as clerks were then called, contacted
me a week later. He was a middle-aged man by the name
of Joseph Paley who had worked for Cardozo since 1918
and who would accompany the new Justice to Washington
until the completion of his first term. Thereafter, Cardozo
emulated many of his colleagues by annually selecting
a third-year law student as his clerk.
At a luncheon
at the Men's Faculty Club at Columbia, I reviewed with
Paley the many ways in which the Supreme Court and the
Court of Appeals differed in the conduct of business.
I outlined the work of a Supreme Court clerk and touched
on some of the problems a new Justice might face, such
as the preponderance of mundane cases likely to be assigned
to him. Paley said that Cardozo was not concerned that
the issues in a case might appear trivial, because in
Cardozo's view a great judge could find a question meriting
innovative treatment even in the most humdrum cases, thus
echoing what he had written in Law and Literature.[8]
Although I was28 years old at the time, and no fountain
of wisdom, I was dubious. I remembered how few interesting
cases had come Stone's way during my year with him.
When Cardozo
took his seat on March 14, 1932, I was curious to see
how he would exercise his right, as a new Justice, to
choose the first case for which he would write the Court's
opinion. Thereafter, as is well known, all assignments
are made by the Chief Justice, or by the senior Associate
Justice if the Chief Justice is not part of the majority.
I had a theory that if you wanted to ascertain a new Justice's
personality, you should study his first opinion. If he
selected something so unimportant that it would not be
noticed, you could take it as proof of modesty; if he
selected a blockbuster, you could take it as evincing
a certain self-confidence, self-importance, and perhaps
even arrogance. Stone, for example, chose an absolutely
trivial case, because he did not want his first opinion
to receive any notice.[9] I thought that Cardozo, who
was shy and self-effacing, would assign himself something
quite unimportant. To my surprise, and as proof that my
amateur psychoanalysis was completely unfounded, he took
a 5-4 decision that made the front pages of newspapers
across the land.
The new Justice
delivered his first batch of opinions on May 2. The case
that made the headlines, Nixon v. Condon,[10]
struck down a Texas statute that gave the State
Executive Committee of the Democratic party the authority
to bar black citizens from voting in primaries, which
were tantamount to election in that heavily Democratic
state. While Cardozo handed down five other opinions that
day, a look at the dates on which the cases were argued
shows that Nixon had to be his first opinion.
Of the five
other cases, one was argued on March 17 and 18, and the
others on April 14 and 15. Nixon, however, was
argued on January 7 and then reargued on March 15--the
day after Cardozo took his seat. Since this was aS-4 decision,
it would appear that the Court split right down the middle
after the first argument. With a new Justice appointed,
Chief Justice Hughes put the case on the calendar for
argument on the day after Cardozo was sworn m. As Cardozo
was the swing and controlling vote, it would only
have been natural for the Chief Justice to have assigned
the opinion to him. Nonetheless, Cardozo had the right
to choose his first case, and thus might have refrained
from selecting what was certain to be a landmark ruling
in favor of something less conspicuous.
Notably, Cardozo's
ruling was a very narrow one, hinging on a technicality.
He maintained that the Executive Committee did not have
the authority to bar black voters, because "[w]hatever
inherent power a State political party has to determine
the content of its membership resides in the State convention,"[11]
and not in the Executive Committee. Since the Committee
derived its power from the state enactment and not from
the party convention, the exclusion of the black voters
was the act of the state of Texas and not of the party.
Cardozo hardly addressed the state's position "that a
political party is merely a voluntary association" with
"inherent power like voluntary association generally to
determine its own membership."[12] Ducking the issue,
he wrote:
As to that,
decision must be postponed until decision becomes necessary.
Whatever our conclusion might be if the statute had remitted
to the party the untrammeled power to prescribe the qualifications
of its members, nothing of the kind was done. Instead,
the statute lodged the power in a committee, which excluded
the petitioner and others of his race, not by virtue of
any authority delegated by the party, but by virtue of
an authority originating or supposed to originate in the
mandate of the law.[13]
After Roosevelt's
election later that year, I had the opportunity to gain
a more intimate view of Cardozo. A couple of days before
the inauguration on March 4, Rex Tugwell called me and
said that he was going to be the "number two" man in the
Department of Agriculture under Henry Wallace. He wanted
me as the "number three" man to help him in the field
of food and drug regulation, which we were keen on strengthening.
I researched the job and found that it also included such
uninspiring matters as supervising the army of lawyers
who negotiated the acquisition of land for the construction
of roads. Skeptical about the post and newly married,
I decided to go down to Washington to investigate the
matter further with Tugwell and Wallace. I also resolved
to seek the counsel of Stone, Brandeis, and Cardozo.
I visited
Tugwell at the Department of Agriculture in the first
days of the new administration. He was sitting at a large
desk with a pile of documents in front of him. As he was
telling me about the position and the Department's lofty
goals, he was signing the papers one by one. When he finished
with them, a clerk came in with a wheelbarrow filled with
more papers. Tugwell, talking all the time, set to work
on these. Finally, I said, "Rex, what are you doing?"
"The law requires that everything that goes out of this
department be signed by the Secretary. I'm the Acting
Secretary. The moment you come here, you're going to be
the Acting Secretary."
Nonplused
by his remarks, I went to see Brandeis. The 76-year-old
Justice brushed aside my reservations, saying: "This is
going to be the most active department in the new administration.
With Wallace and Tugwell, the fur is going to fly and
it will be a place of great intellectual excitement."
I went to
Cardozo next, who took the opposite tack. "You're like
me," he said, "you're born and bred in the streets of
New York. This isn't intellectually challenging. You should
stay a professor, or become a judge." Finally, I visited
Stone, who urged a middle course, saying: "If you want
to come to Washington, I'll speak to some people and get
you something more in line with what you've been doing."
In the end, I took Cardozo's advice and stayed in New
York, but I also agreed to draft the food and drug reform
bill for the "100-day" session. The legislation, which
encountered furious opposition from the affected industries,
was not enacted until 1938, and then only in a watered
down form.[14]
By the summer,
I regretted following my own and Cardozo's instincts.
At Raquette Lake in the Adirondacks, I read in the newspapers
almost every day about the agencies being set up to administer
the New Deal programs. I naively thought that every one
of our social and economic problems was about to be solved,
and that nothing would be left for my generation
to accomplish in the future. So I made some inquiries
and was invited by Senator Wagner to come down in October
to serve as General Counsel to the National Labor Board,
the prototype for the National Labor Relations Board.
In the year
that I lived in the capital, I called on Cardozo a number
of times. The Justice, a bachelor in his early sixties,
lived at 2101 Connecticut Avenue, an elegant apartment
house still standing near the bridge over Rock Creek park
on the way to the Shoreham Hotel. His apartment was spacious
and exquisitely furnished, with a study, which doubled
as Cardozo's chambers, next to the living room. This was
before the erection of the Supreme Court building, when
most of the Justices had no official chambers and did
their work at home.
Cardozo, like
many other shy people, could be very loquacious with visitors.
It was clear from everything he said that he was lonely
and unhappy. He missed New York, where he had resided
harmoniously with his older sister until her death, and
felt uprooted living in Washington, where he lacked the
companionship of his old friends and felt too old to make
new ones. He declined almost all formal dinner invitations,
not merely because of their general dullness, but because
he was always placed next to some venerable widow.
On the Court,
he felt somewhat overshadowed by Brandeis and Stone, men
of affairs whose greater experience better equipped them
for the problems of statecraft with which the Supreme
Court deals. He indulged in the affectation that he did
not care overmuch for the work of the Court, and was wont
to say that all that counted was a Justice's vote--not
his persuasiveness, industry, scholarship, or wisdom.
Cardozo was merely "one-ninth" of a High Court dominated
by an old-line majority that would endeavor to throttle
the state and federal efforts to cope with the Depression.
His tenure
on the Court of Appeals had been in marked contrast. Instead
of being the junior member of the Supreme Court, he had
been surrounded by disciples who looked up to him as a
master, especially after he became Chief Judge. Instead
of working in relative isolation, he had spent the two
weeks of each month that the Court of Appeals was in session
with his fellow judges at an Albany hotel. They would
discuss cases over breakfast, lunch, and dinner in monastic
seclusion, free from distraction and interference. According
to the recollections of two of his Supreme Court clerks,
he was even nostalgic for the cases he had handled on
the New York tribunal.[15]
During one
of my visits, the Justice described his unusual method
of opinion writing. As soon as a case was assigned to
him, he would work day and night with hardly any food
or sleep until the opinion met his exacting standards.
I said to him, "But you must realize, Mr. Justice, that
there will always be another case to which you will have
to turn."
"I well realize
that," he said, "but that is my nature, to give myself
over to my work." I knew that there could be no rest in
his life, because as soon as he had expended himself on
one case, he would plunge into another.
Cardozo returned
my visits by paying several calls at the Westchester,
an apartment hotel where I lived with my wife, Marion.
On one occasion, he stopped by on a Sunday, when I was
still in New York after giving my classes at Columbia
on Friday afternoon and Saturday morning, when Marion
and I returned late that afternoon, the receptionist at
the Westchester handed us our mail and said, "A very distinguished-looking
gentleman called to see you this afternoon. He left his
card, which has a very funny first name." She handed it
to me and it said, "Mr. Justice Cardozo."
It was customary
in that era in Washington for visitors to leave cards
when making a call. Mrs. Stone, for example, would go
out some days in her chauffeured car with as many as 20
to 30 cards. She would drive to the embassies, to the
homes of the Supreme Court Justices and Cabinet Secretaries,
and to the White House. The chauffeur would hand the Stones'
card to the butler of the establishment. Similarly, visitors
would drive up to the Stones and deposit their cards,
just to show that they were maintaining social relations
between dinner parties, which the Stones attended practically
every night. On one of their more low-key evenings, they
invited Marion and me for dinner, which consisted of a
turkey that weighed more than ten pounds. Although Marion
and I were small and thin, the 290-ound Justice and Mrs.
Stone were such terrific eaters that the four of us polished
off the entire platter.
In due course,
Marion called Mrs. Stone and said she would like to have
a dinner party for the Stones, Cardozo, and Senator Wagner,
who was a widower. "We go to so many formal parties,"
Mrs. Stone said, "so make it absolutely informal." New
to Washington, Marion did not know what informal meant.
"Do you mean black tie?" she asked. "No, just business
suits," Mrs. Stone replied. I invited Cardozo and Wagner,
whose staff called me half a dozen times to confirm how
the Senator should attire himself. On the night of the
party, Marion was wearing an ordinary dress and I had
put on a business suit. Our distinguished guests started
to arrive. The Stones appeared--he in white tie and she
in an evening dress. Cardozo came in a tuxedo. Wagner's
staff had settled on a funeral suit with striped pants
and cutaway for the Senator. Only Marion and I, the hosts,
had complied with Mrs. Stone's wishes.
Our apartment
at the Westchester, with its rented furniture, was not
palatial. It had a small kitchen and foyer, a living room,
and a bedroom. We had set up a table in the foyer and
Marion had engaged special help, whose loud voices were
audible from the nearby kitchen. The food was truly inedible.
To make matters worse, the fire alarms in the building
went off during the meal. I stepped out to reconnoiter
and ascertain whether there was any danger. After all,
we were responsible for the lives of two Supreme Court
Justices and a leading member of the Senate. I soon discovered
that there was no danger and returned to the table for
more unpalatable food. Fortunately, we had some good wine
that could assuage our guests' thirst, if not their hunger.
After the
disastrous meal, we repaired to the living room. Stone
turned to Wagner at one point and said, "I'm curious to
know, Mr. Senator, what is the constitutional theory on
which the Administration is proceeding in the development
of its comprehensive program of reform and reconstruction?"
The Senator
from New York, who had imbibed a good deal, responded
brashly, "Mr. Justice, our theory is very simple. If the
program doesn't work, we don't care if your Court holds
it unconstitutional. If the program does work, you wouldn't
dare to declare it unconstitutional."
Breaking in
at that point, Cardozo said softly, "If I were you, Mr.
Senator, I wouldn't dare two-ninths of the Supreme Court
of the United States."
After about
a half hour, the Stones and Wagner rose and left together,
no doubt with the intention of filling their empty stomachs.
Cardozo, noticing that Marion was chagrined and very much
upset, remained for several hours to help restore her
equanimity. This was characteristic of the Justice. Drawing
her out, he discovered that her master's thesis had been
on colonial literature, and they discussed the works of
John Cotton, Thomas Hooker, Cotton Mather, and other "builders
of the Bay Colony," whose writings were just beginning
to awaken interest after two centuries of neglect. Cardozo
appeared to be fully familiar with that recondite field,
as he was with all phases of English and American literature,
to say nothing about his prodigious learning in philosophy
and related fields. By the time he left, the night that
should have been our moment of youthful triumph had been
saved from utter catastrophe.
I can best
end the first part of this memoir by quoting two passages
from Chief Judge Lehman's A Memorial:
Many have
found his mental ability remarkable. His friends know
that the beauty of his character, his selfless devotion
to his work, his firm adherence to principle and, may
I add, his love for his friends and his perfect charity
to all men were far more remarkable...[16]
. . . .In
his heart there was love so great that it excluded all
other feelings. Shy and retiring though he was, he found
his greatest happiness...in the companionship of his friends.
The great legal thinker was at all times and under all
circumstances the gentle, modest, loving man.[17]
Part II
I will now
turn to the judicial mystery that surrounds Cardozo's
second opinion on the Supreme Court, United States
v. Swift & Company, in which the Court
overturned a District Court modification of the Meat Packers'
Consent Decree. The original decree, entered in 1920,
had broken up the meat packers' monopoly and enjoined
them from engaging in a number of activities, including
"manufacturing, selling or transporting any of 114 enumerated
food products." Swift and Armour & Company filed a
petition to modify the decree in 1930, arguing that changed
conditions in the meat-packing and grocery business warranted
alterations. The District Court in Washington rejected
part of the petition, but permitted the meat packers to
sell at wholesale the 114 grocery products. The Government
appealed the decision to the Supreme Court.
The case was
argued before the Court two days after Nixon, on
March 17 and 18, and the decision was handed down on the
same day as Nixon. Rejecting the modification,
Cardozo spoke for a court of four--Justices McReynolds,
Brandeis, Roberts and himself. Justices Butler and Van
Devanter dissented. Chief Justice Hughes and Justices
Sutherland and Stone took no part in the consideration
and decision of the case. For many years, Cardozo's opinion
was regarded as the fountainhead of all learning on the
modification of consent decrees, with most subsequent
rulings starting and ending with his formulation.
Long after
the decision, when I was Chairman of the American Friends
of the Hebrew University in the 1960s, Professor Prashker,
the father of one of Stone's law clerks, donated the handwritten
drafts of Cardozo's first two opinions, Nixon and
Swift, to the University. There were numerous corrections
and eliminations on the foolscap holographs. I deciphered
the first few pages of both texts, which were not all
that legible, checked them against the published opinions,
and concluded that they were authentic final drafts. At
a function of the Friends, I presented the documents to
the President Justice of the Supreme Court of Israel,
who turned them over to the Jewish National Library in
Jerusalem.
Subsequently,
when I was delivering an antitrust lecture in Chicago,
I sat at the head table with Arthur Curtis, the Associate
General Counsel of Swift. During dinner, I mentioned,
in passing, the story of how I had obtained the handwritten
draft of the Swift opinion for the Hebrew University.
He asked whether he could procure a copy. I suggested
that he write to the Jewish National Library. In 1970,
he wrote to tell me that he had obtained the copy, and
that to his amazement, he found that Swift had won in
the handwritten opinion, whereas the company had suffered
a total defeat in the ruling that was published in the
United States Reports. He then sent me a typed copy that
he had made of the handwritten draft.
Needless to
say, I immediately compared the typed copy to the draft
with the published opinion from beginning to end. As it
turned out, the holograph was the final draft, but only
for part of the opinion. The opening pages, which describe
the 1920 decree, correspond word for word with the beginning
of the printed opinion. At that point, the two texts briefly
diverge. The published ruling inserts a paragraph and
a half that criticizes the meat packers' efforts to have
the decree vacated in 1924. Then the opinion returns to
the point where it departed from the draft. The texts
correspond word for word again for several pages that
discuss the District Court's decision and affirm the power
of a court to modify a consent decree. Finally, at the
midway mark, the opinions go their separate and diametrically
opposite ways.[20] At that point where the
texts diverge for good, the draft frames the issue in
this way:
Power
to modify existing, we are brought to the question whether
the events that have intervened between February 1920
and January 1931, give fair support to the conclusion
that in respect of the sale of groceries and other enumerated
articles the restraints believed to be necessary in 1920
are unnecessary now.
Cardozo finds
that one major event has intervened since the original
decree was entered--"the monopoly, rampant in 1920, is
lifeless today." He then describes the District Court's
interpretation of the role of the prohibition on the sale
of groceries:
The modifying
decree goes upon the theory that the prohibition of the
sale of groceries was placed in the consent decree in
aid of the dominant purpose to disrupt the combination,
and that it may not reasonably be continued after that
purpose has been attained. To continue it thereafter is
to turn the process of injunction into an instrument of
punishment.
Shortly afterward,
returning to the role of the prohibition, Cardozo accepts
the lower court's analysis:
The only reason
for depriving the defendants of the power to sell groceries
and kindred articles was to make it certain that the combination
then uniting them would be broken up so completely that
none of it would survive. The framework of the bill of
complaint makes this plain, if it could otherwise be doubtful.
The bill informs us that the attempted monopoly of substitutes
for meat was conceived by the defendants after competition
in meat itself had been effectually eliminated, the one
form of combination being complementary to the other.
At the time of the first decree excision of these substitutes
was an appropriate measure, if an extreme one, whereby
to make certain that the combination would be ground to
pieces.
Cardozo
goes on to weigh the objections raised against allowing
the meat packers to deal in groceries:
The chief
voices in opposition have been those of wholesale grocers
who would be glad to exclude the defendants from the field
they occupy themselves. What they fear, one may be permitted
to suspect, is not monopoly. There can be no monopoly
while the defendants are active in rivalry and not in
concert. What they fear is competition.
From the standpoint
of competition,
the hardship
to the defendants is working public damage rather than
public gain. The defendants by dealing in other foodstuffs
will be enabled so to distribute their "overhead and sales
cost as to effect economies in the distribution of meats
and other live stock products and of non-meat food products
The normal consequence of these and like economies will
be to enable the packers to sell at lower prices and thus
to stimulate competition with ensuing public gain.
Finally
the new Justice touches on changes in the grocery industry
since 1920, when the meat packers had "special advantages"
as a result of their "ownership of refrigerator cars."
In the process, he portrays this country at the dawn of
the present age:
The finding
is that the railroads of the country have so increased
the number of these cars that there is ample supply for
all who need them, and moreover that the increase in motor
trucks and the development of good roads have served to
make refrigerator cars less important than they used to
be.
These arguments,
which would have saved the day for the defendants and
which were cited injustice Butler's dissent, were discarded
in the published opinion. Also discarded were some pearls
of wisdom:
It is
as true of such an inquiry as of the judicial process
generally that courts will act on probabilities, and will
not stand aloof till probability gives way to certainty.
If they did otherwise, they might hold back forever.
At the point
where the texts diverge, the printed ruling frames the
issue quite differently:
Power
to modify existing, we are brought to the question whether
enough has been shown to justify its exercise.
The defendants,
controlled by experienced business men, renounced the
privilege of trading in groceries, whether in concert
or independently, and did this with their eyes open.[21]
Instead of
asking what has changed between 1920 and 1931 in the meat-packing
and grocery businesses, he focuses on the meat packers'
renunciation in the original decree.
Cardozo cites
two reasons for the renunciation, and concludes that those
reasons persist "with undiminished force today."[22] The
first reason m 1920 was the meat packers' ownership of
refrigerator cars, which put them
in a position
to distribute substitute foods and other unrelated commodities
with substantially no increase of overhead. There is no
doubt that they are equally in that position now. Their
capacity to make such distribution cheaply by reason of
their existing facilities is one of the chief reasons
why the sale of groceries has been permitted by the modified
decree, and this in the face of the fact that it is also
one of the chief reasons why the decree as originally
entered took the privilege away.[23]
In his draft,
Cardozo accepted this reasoning himself, arguing that
a modification of the decree would increase competition
in the grocery business. He also found that changed conditions
had reduced the significance of the refrigerator cars.
More important,
Cardozo changed his mind about the rationale for the renunciation
in the original decree. In the draft, he viewed the prohibition
on the sale of groceries as facilitating the demise of
the meat monopoly. In the published opinion, Cardozo explicitly
rejected this reading of the decree:
It was framed
upon the theory that even after the combination among
the packers had been broken up
and the monopoly
dissolved, the individual units would be so huge that
the capacity to engage in other forms of business as adjuncts
to the sale of meats should be taken from them altogether.
It did not say that the privilege to deal in groceries
should be withdrawn for a limited time, or until the combination
in respect of meats had been effectually broken up.[24]
At this
point, Cardozo returns to the issue of the meat packers'
consent, the point where the draft and published opinion
diverged:
We do not
turn aside to inquire whether some of these restraints
upon separate as distinguished from joint action could
have been opposed with success if the defendants had offered
opposition. Instead, they chose to consent, and the injunction,
right or wrong, became the judgment of the court.[25]
At the very
end of the opinion, Cardozo sounds this theme again:
Wisely or
unwisely, they submitted to these restraints upon the
exercise of powers that would normally be theirs. They
chose to renounce what they otherwise have claimed, and
the decree of a court confirmed the renunciation and placed
it beyond recall.[26]
Although
Cardozo begins by affirming a court's "power to modify"
a consent decree, he concludes by virtually withdrawing
that right. The new Justice codifies this restriction
near the end of the opinion in a passage that became the
foundation for the Cardozo test on the modification of
consent decrees:
There is need
to keep in mind steadily the limits of inquiry proper
to the case before us. We are not framing a decree. We
are asking ourselves whether anything has happened that
will justify us now in changing a decree. The injunction,
whether right or wrong, is not subject to impeachment
in its application to the conditions that existed at its
making. We are not at liberty to reverse under the guise
of readjusting. Life is never static, and the passing
of a decade has brought changes to the grocery business
as it has to every other. The inquiry for us is whether
the changes are so important that dangers, once substantial,
have become attenuated to a shadow. No doubt the defendants
will be better off it the injunction is relaxed, but they
are not suffering hardship so extreme and unexpected as
to justify us in saying that they are the victims of oppression.
Nothing less than a clear showing of grievous wrong evoked
by new and unforeseen conditions should lead us to change
what was decreed after years of litigation with the consent
of all concerned.[27]
I have sought
desperately to solve the mystery of this 180-degree shift
by the new Justice. I contacted Professor Andrew L. Kaufman
of Harvard Law School, who is writing a biography of Justice
Cardozo, to see whether there were any relevant documents
in Justice Cardozo's papers that might shed some light
on what transpired. Unfortunately, it appears that Cardozo's
papers were either destroyed during his lifetime or after
his death in 1938. At my request, Professor Kaufman checked
the Brandeis archives at Harvard Law School--again to
no avail. I was not surprised by the lack of results,
because I knew from experience that Brandeis never had
a secretary, wrote everything in longhand, and thus would
not have retained any copies of his correspondence with
other Justices.
What about
the rest of the Court? Unfortunately, Cardozo's and Brandeis'
docket books, which would reveal the original vote of
the Justices in conference, no longer exist. As far as
I know, the docket books of the four other Justices who
sat on Swift have been devoured by time as well.
Cardozo's handwritten draft contains no indication of
any dissent, suggesting that originally all six Justices
concurred in permitting the modification of the decree.
If that be the case, four judges, including Cardozo, must
have changed their minds to produce the 4-2 ruling against
modification. Another possibility is that Cardozo and
one other Justice had joined Butler and Van Devanter,
the eventual dissenters, in the original decision. If
Cardozo alone had joined them and the Court had voted
3-3 in conference, the District Court's modification would
have been affirmed by a divided court and Cardozo would
have never written the draft.
One can only
speculate, but I suspect that Brandeis persuaded Cardozo
to change his mind, for it was Brandeis who had rejected
the first attempt by the meat packers to vacate the decree
in 1928.[28] The defendants, represented by the future
Chief Justice, Charles Evans Hughes, had sought to invalidate
the decree on the basis of a series of highly technical
and tenuous claims, all of which were summarily rejected
in Brandeis' unanimous opinion. In addition, some of the
language that made its way into Cardozo's printed opinion
is quite harsh--more in keeping with Brandeis' style than
Cardozo's.
As for the
other Justices who voted against modifying the decree,
McReynolds was not on speaking terms with Brandeis and
was consistently unpleasant to Cardozo, but he was a firm
believer in vigorous antitrust enforcement. Thus it is
not difficult to understand why he would have gone along
with the change. Justice Roberts' position is enigmatic
and I have been unable to locate any material that would
be enlightening on his original vote or on the vote that
he cast in favor of the revised opinion.
The changes
wrought by the revision have had a disastrous effect on
the law governing the modification of consent decrees.
Cardozo imposed a severe standard that rarely could be
satisfied. As a result, changes in a decree, no matter
how necessary or desirable, could not be obtained for
a long time. I reviewed the applicable case law in Consent
Decrees: Contracts, Judicial Act, Neither or Both.[29]
The courts have struggled with the Cardozo standard
and essentially have discarded it in recent decisions.[30]
As for the meat packers, they tried again in 1960 to have
their decree modified, and were again rebuffed.[31]Finally,
in 1975, after most of the meat packers had either gone
out of business or had lost out in the race against new
competitors, the Government agreed to the abrogation of
the decree.[32] The facts cited in the Cardozo
draft have been proved
correct by
the later economic developments, and the obstinate refusal
of the Supreme Court to remove the fetters imposed by
the consent decree has been proved unwarranted.
This opinion
and Nixon shattered two presuppositions I had about
Cardozo. This shy and self-effacing gentleman selected
a blockbuster as his maiden effort as a Supreme Court
Justice, and the author of The Nature of the Judicial
Process failed in the published ruling to permit pragmatic
considerations to overcome the anti-business ideology
that characterized antitrust enforcements.
Endnote
- B. Cardozo,
Law and Literature and Other Essays and Addresses,
in Selecting Writings of Benjamin Nathan Cardozo
339 (M. Hall ed. 1947).
- Letter
From Chief Judge Benjamin N. Cardozo to Professor Milton
Handler (July 29, 1930) copy on file at Cardozo L.
Rev.).
- B. Cardozo,
The Nature of the Judicial Process (1921).
- Letter
from Chief Judge Benjamin N. Cardozo to Professor Milton
Handler (Nov. 23, 1930) (copy on file at Cardozo
L. Rev.).
- See
Burlingham, Harlan Fiske Stone, 32 A.B.A.J. 322, 323
(1946), for an abbreviated account of Stones selection.
- See
Kaufman, "Cardozos Appointment to the Supreme
Court," 1 Cardozo L. Rev. 23, 40-41 (1979).
- Letter
from Justice Benjamin N. Cardozo to Professor Milton
Handler (Feb. 28, 1932) (copy on file at Cardozo
L. Rev.).
- See
B. Cardozo, supra note 1, at 355 ("It is
a false and cramping notion that cases are made great
solely or chiefly by reason of something intrinsic in
themselves. They are great by what we make of them.").
- May
v. Henderson, 268 U.S. 111 (1925) (summary proceedings
in bankruptcy setting aside a payment to a favored creditor
of the funds of the bankrupt.)
- 286
U.S. 73 (1932).
- Id.
at 84.
- Id.
at 83.
- Id.
at 84.
- Federal
Food, Drug, and Cosmetic Act, ch. 675 sec. 1, 52 Stat.
1040 (1938) (current version at 2 U.S.C. sec. 301-92
(1982 & Supp. IV 1986)).
- See
Rauh, Siegel, Doskow & Stroock, "Recollections
of Four Cardozo Law Clerks," 1 Cardozo L. Rev.
5, 16 (1979).
- See
B. Cardozo, supra note 1, at xvi.
- Id.
at xvii.
- 286 U.S.
106 (1932).
- Id.
at 111.
- Quoted
portions of the handwritten draft are reprinted in the
Appendix following the original version of this Article.
- Id.
at 115.
- Id.
- Id.
- Id.
at 116.
- Id.
at 116-117.
- Id.
at 119.
- Id.
- Swift
& Co. v. United States, 276 U.S. 311 (1928).
- See
2 M. Handler, Twenty-Five Years of Antitrust 931
(1973).
- United
States v. Motor Vehicle Mfrs. Assn 1982-83
Trade Cas. (CCH) Par. 65,175, at 71,653 (C.D. Cal. 1982);
United States v. Carrols Dev. Corp., 1982; United
States v. Carrols Dev. Corp., 1982-1 Trade Cas.
(CCH) Par. 64,510 at 72,823-24 (N.D.N.Y. 1981); cf.
United States v. Columbia Artists Management, Inc.,
1987-1 Trade Cas. (CCH) Par. 67, 600, at 60,601 (S.D.N.Y.
1981).
- United
States v. Swift & Co., 189 F. Supp. 885 (N.D.
Ill. 1960), affd, 367 U.S. 909 (1961).
- United
States v. Swift & Co., 1975-1 Trade Cas (CCH)
Par. 60,201, at 65,700-06 (N.D. Ill. 1975).
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