Pubblicato online: 30 mag 2018
Pagine: 115 - 136
DOI: https://doi.org/10.2478/bjals-2018-0003
Parole chiave
© 2018 Thomas Halper, published by Sciendo
This work is licensed under the Creative Commons Attribution-NonCommercial-NoDerivatives 3.0 License.
Americans may not be able to agree on the meaning of greatness when they discuss public figures, but it always seems to entail a strong urge for power. Lincoln’s willingness to sacrifice portions of the Constitution to save the whole system,(1) for example, or Lyndon Johnson’s stretching the reach of the Senate majority leader beyond anything that had existed before(2) are essential to their reputations. It is not simply that we celebrate their goals, abolishing slavery or fighting racial discrimination; we also celebrate the bare knuckle means they employed because we understand that without them, the goals would have remained unfulfilled. Putting the matter baldly, we accept that the ends justify the means.
The central fact of Felix Frankfurter’s judicial career was a very public refusal to accept that justification and that practice. As he often explained in his opinions, this was not always easy, for far from being a Holmesian philosopher uninterested in the world, Frankfurter was highly engaged politically and temperamentally given to constant, often intrusive, activity. Results mattered deeply to him. But as he repeatedly observed, the law mattered more. Indeed, it is his devotion to the law that he considered the most valuable part of his career and his most important legacy.
Frankfurter was born in 1882 in Vienna, the capital of the declining Austro-Hungarian empire, into a Jewish family that for generations had produced rabbis. As a result of widespread anti-Semitism, many Jews in the empire had come to the more cosmopolitan Vienna, which itself then became more aggressively anti-Semitic, with the creation in 1885 of a student union at the University of Vienna based on hostility toward Jews, with the state in 1887 formally prohibiting foreign Jews from emigrating to the country, and with the election in 1894 of the virulently anti-Semitic mayor, Karl Lueger, whose “followers wore an effigy of a hanged Jew on their watch chains.”(3) Hitler, born elsewhere in Austria in 1889, lived for six years in Vienna and later declared in
Frankfurter’s father came to Chicago for its world’s fair in 1893, decided to stay, and the following year sent for the rest of his family. They settled in a cold water flat in the famous Jewish ghetto on the Lower East Side of Manhattan, after a while moving to a more comfortable uptown German neighborhood, Yorkville. From the earliest days, “certainly in the early teens,”(5) young Felix was a brilliant student deeply involved in social and labor issues. At nineteen, a mere seven years after he came to this country speaking no English, he graduated from City College third in his class, then worked for a year with the city’s Tenement House Department to help pay for law school, and at twenty was admitted to Harvard, where he edited the
By this time, Frankfurter had developed his fabled networking skills, befriending liberal intellectuals, like Walter Lippmann, Horace Kallen, and Herbert Croly, as well as such establishment figures as Holmes, Learned Hand, and Newton Baker. In a few years, former President Theodore Roosevelt, future President Herbert Hoover, Justice Louis Brandeis, and future president of Israel, Chaim Weizmann, among many others, would be added to the list. As Stimson put it, “You have the greatest facility of acquaintance – for keeping in touch with the center of things – for knowing sympathetically men who are doing and thinking.”(7) Barely thirty-two, Frankfurter joined the faculty at Harvard Law School in 1914 as its first Jew, specializing in administrative law and public utilities, a position having been created for him by Jacob Schiff, a wealthy New York financier. He also advised Florence Kelley’s National Consumers League, and helped create and wrote for the
In the 1920s, Frankfurter was involved with the founding of the American Civil Liberties Union, and drew public attention with his denunciation of the Palmer Raids, directed at radicals and immigrants, and his campaign to spare the lives of Sacco and Vanzetti, anarchists controversially convicted of bank robbery and murder.(8) The absence of due process in this case and the
On Roosevelt’s election in 1932, Frankfurter assumed a backstage role in the New Deal, offering advice to the President, placing former students in the administration, and behind the scenes advocating for policies supported by his friend and mentor, Brandeis. He had turned down positions on the Supreme Judicial Court of Massachusetts and as United States Solicitor General, choosing to remain at Harvard, apparently unconcerned that many of his colleagues disapproved of his liberal activism.
By his fifties, in sum, Frankfurter could point to an extraordinary career as a lawyer, public intellectual, and political actor. Much of what he did – his defense of radicals, his attacks on government suppression, his Zionism – were highly publicized, and he seemed to enjoy the attention he received. At the same time, much of what he did – advising officials, lobbying for policies, operating “a nerve center of the apprenticeship network”(10) – was hidden from view, and he also seemed to enjoy exercising influence in this way. Highly intelligent, ethically and ideologically committed, extraordinarily well connected, Frankfurter was one of the most prominent lawyers in the nation, and certainly the lawyer most highly esteemed by liberals.
It was at this time, in 1938, that Benjamin Cardozo died, leaving the Court without a Jewish justice. Roosevelt, fulfilling an informal promise made years earlier, waited six months and chose Frankfurter to replace him. The liberal press was delighted. “Frankfurter’s whole life has been a preparation for the Supreme Court,” wrote
Traditionally, nominees had not appeared in person before the Senate Judiciary Committee during the consideration process. Indeed, six years earlier when Judge John J. Parker asked to appear before the committee to rebut serious charges against him, the committee had refused.(14) But Frankfurter’s opponents, perhaps hopeful of winning favorable press attention, asked him to speak. Though he was confirmed without dissent, he was given a grilling by Pat McCarran, an anti-Semitic Senator from Nevada, who questioned his citizenship, and was attacked by witnesses as a Jew,(15) an immigrant,(16) and a Communist.(17)
In addition to their bigotry and ignorance, Frankfurter’s critics were notable for their total inability to grasp his judicial philosophy, notwithstanding his many efforts to set down and justify that philosophy. Its origins go back to Holmes and further to Thayer,(18) and are founded on a conviction that democracy is America’s governing ideal. Democracy here is conceived in Schumpterian terms as a contest for power exercised through the ballot.(19) It is not Lincoln’s government by the people nor is it rote majority rule, but rather a system aiming at accountability. Frankfurter, more generous in his view of the people than Holmes or Thayer, believed that the public’s instincts normally would drive them to support what they thought was best for their country. But he was mindful of Thayer’s warning that aggressive courts, too eager to declare laws invalid, could inculcate passivity among the public, who would then conclude that “these few wiser gentlemen on the bench are so ready to protect them against their more immediate representatives”(20) that there would be no need of their protecting themselves.
Will the voters sometimes make choices one may regard as foolish, unworkable, wasteful, even immoral? Yes, of course, for they are, as human beings, radically imperfect. But courts, comprised of unelected judges, also radically imperfect, should defer to the lawmakers’ decisions unless they can demonstrate that they constitute a clear mistake, that is, that they violate the Constitution in obvious ways that almost any reasonable person could comprehend. Not many statutes will fall under this rationale, it is true, and many laws that one may believe bad will survive. But that is the price of democracy. And the cost is reduced somewhat by the confident belief that the people will not make too many mistakes, that these mistakes will not be too serious, that nearly always the mistakes they do make can be rectified, and that the people will not fail too often to take advantage of these opportunities. Democracy, then, is not flawless, but merely, as Churchill once famously observed, “the worst form of government, except for all those forms that have been tried from time to time.”
In terms of Frankfurter’s judicial review, the power of courts to pass on the constitutionality of acts of lawmakers, the role of courts – and, consequently, of judges – therefore, is not very robust. For Holmes, “essentially the philosopher [unconcerned with] the evanescent events of the day,”(21) this would not be a major sacrifice. Viewing humanity from his Olympus as engaged in a ceaseless struggle for advantage, he prided himself on his lack of interest in the results and professed not to read the daily newspaper. As he wrote to Laski on the day Warren G. Harding was inaugurated, “if my fellow citizens want to go to Hell, I will help them. It’s my job.”(22) Frankfurter, on the other hand, an immigrant who by pluck and luck had risen to the heights, was deeply committed to a wide range of policies and social values. When he deferred to a legislative policy choice he abhorred, he could not respond with a Holmesian shrug of indifference. On the other hand, for Frankfurter, deference to the political process did not mean bowing to power, but rather facilitating self government. His faith in people was not boundless – like all Progressives, he exalted experts – but it lacked the dismissive cynicism that Holmes cultivated. From this it followed that the Supreme Court, “having such stupendous powers,”(23) should be very parsimonious in using them. Of course, not all Justices, he believed, possessed his stern will power, and he clearly disdained those, like Douglas, Murphy, and Black, whom he regarded as result oriented. “Only the conscious recognition [of the temptation to] read their economic and social views into the neutral language of the Constitution” will suffice.(24)
Behind this lay not simply Thayer’s abstract arguments, but decades of experience with courts as principal obstacles to the policies Frankfurter supported.
This essay examines Frankfurter’s commitment to the law in light of four of his best known opinions,
Among the best known illustrations of Frankfurter’s self restraint views were a pair of flag salute cases decided in the early 1940s,
Chief Justice Hughes assigned the opinion to Frankfurter because of his “moving statement at conference on the role of the public school in instilling love of country in our pluralist society,”(31) perhaps recalling his own childhood experience as a young boy from Austria. “Not even you,” he had written to President Roosevelt a few months earlier, “can quite feel what this country means to a man like me, who was brought here an eager sensitive lad of twelve.”(32) Writing for the 8-1 majority, Frankfurter begins by celebrating the freedom of religion, but then adds that “no single principle can answer all of life’s complexities,”(33) and that an absolute right to follow one’s conscience would undermine religious tolerance itself. “Conscientious scruples [do] not relieve the citizen from the discharge of political responsibilities.”(34) Indeed, “adjustment [may be] deemed by the legislature essential to secure and maintain that orderly, tranquil, and free society without which religious toleration itself is unattainable.”(35) The “ultimate foundation of a free society is the binding tie of cohesive sentiment,” he observes, and as “We live by symbols,”(36) the school board may inculcate national cohesion with the flag salute. Schools are tasked with teaching citizenship; saluting the flag is a widespread and generally accepted means to that end.
Having failed to show that “there is no basis”(37) for the rule, Gobitas cannot then seek relief from the courts. Frankfurter entertains the possibility that the law may be a “folly,”(38) but answers that “it is not the personal notion of judges of what wise adjustment requires which must prevail;”(39) “courts possess no marked and certainly no controlling competence;”(40) “The wisdom of training children in patriotic impulses … is not for our independent judgment;”(41) “the court-room is not the arena for debating issues of educational policy.”(42) The Supreme Court, lacking the authorization and the expertise, is not a national school board. If the Gobitas family opposes the policy, they should look to the legislature for relief, not the unelected Supreme Court. For “the legislature no less than … courts is committed [to] the guardianship of deeply cherished liberties.”(43) The struggle to change the policy, regardless of the result, is valuable, he says, because “to fight out the wise use of legislative authority … serves to vindicate the self-confidence of a free people.” (44)
Frankfurter’s
When we dig a little deeper, we come across tired tricks. One involves repeatedly restating the question, each time moving from a more neutral to a more biased perspective. Thus, first Frankfurter writes, “We must decide whether the requirement of participation in such a ceremony, exacted from a child who refuses upon sincere religious grounds, infringes without due process of law the liberty guaranteed by the Fourteenth Amendment;”(49) next, “the question remains whether school children … must be excused from conduct required of all the other children in the promotion of national cohesion;”(50) finally, “The precise issue … for us to decide is whether the legislatures of the various states and the authorities in a thousand counties and school districts of this country are barred from determining the appropriateness of various means to evoke that unifying sentiment without which there can ultimately be no liberties, civil or religious.”(51) By the end, the reworded question answers itself.
The second trick is saying one thing and doing another. Thus, announcing that “every possible leeway should be given to the claims of religious faith,”(52) precedes a refusal to grant that leeway; thus, claiming that “parents are unmolested in their right to counteract by their own persuasiveness the wisdom and rightness of those loyalties which the state’s educational system is seeking to promote,”(53) precedes a defense of a law whose purpose is precisely that; thus, asserting that “personal freedom … is best maintained …, when it is engrained in a people’s habits, and not enforced against popular policy by the coercion of adjudicated law,”(54) precedes justifying a policy of naked coercion.
What is most striking is this: notwithstanding Frankfurter’s insistence on setting aside personal preferences as legally irrelevant, he relies on the irrelevant himself, for Frankfurter’s argument at its core is extralegal. The central issue, as he defines it, is a conflict between a constitutional guarantee and the general good, but “general good” is not a constitutional term at all. Why, then, is it a “task” of the Court to “reconcile two rights,”(55) when only one has a legal basis? He counts “national cohesion” as “inferior to none in the hierarchy of legal values,”(56) but on what basis may it be called a legal value? Platitudes misdirect us away from the action.
If for Frankfurter the flag salute was saved by the school district’s plausible defense of the rule, it is obvious that his famous self restraint was poorly articulated. Instead of speaking of Thayer’s “clear mistake,”(57) he insisted that Gobitas needed to show that there was “no basis” for the law. But this will nearly always be impossible because laws are not random acts of nature, like Brownian motion, but the results of human acts with purposes. If “no basis” was a reworking of “clear mistake,” it was a very sloppy job.
The emptiness of the legal claims extends even to Frankfurter’s citations. He cites three cases as examples of religious claims bowing to laws that “were manifestations of specific powers of government,”(58) when, in fact, the cases did no such thing.
Frankfurter also makes empirical claims that, once one strips away the sonorous language, are exposed as highly problematical. For example, “the enjoyment of all freedom presupposes the kind of ordered society which is summarized by the flag,”(65) when arguably it is better summarized by Gobitas’ refusal to salute the flag, for virtually all societies applaud saluting their flags but only those that are free permit citizens to refuse to salute. Normally, that is, we consider freedom more the option of disagreeing than of going along. Citing a coercive law that enjoys nearly unanimous public support is a strange example of the order that presupposes freedom, particularly, since at the time, popular hostility to the Witnesses’ refusal to salute the flag was expressed in beatings, kidnappings, and shootings. “Nothing parallel to this extensive mob violence has taken place … since the days of the Ku Klux Klan,” reported the American Civil Liberties Union a few months after the decision.(66) Of course, the rule of law that punishes conventional crime may be a prerequisite for freedom, but requiring flag salutes hardly approaches that in importance. Indeed, much of the country did not require the salute, and it was not noticeably less free than the part that did.
How to account for Frankfurter’s decision? Writing barely a year before joining the Court, he declared, “The Court is the brake on other men’s actions, the judge of other men’s decisions.”(67) Why in
In a four-three decision, Frankfurter wrote for two other justices, his opinion standing as the opinion of the Court. The relevance of the Reapportionment Act he dismissed easily, as it was amended in 1929 with no mention of district equality. The larger issue concerned constitutionality, and the answer, as often happens, turns on the question. Colegrove, seeing his vote diluted, conceived the question as a private wrong; Illinois, maintaining that the wrong affected the entire state, conceived it as a public wrong. Frankfurter, siding with Illinois, held that the “basis for the suit is not a private wrong, but a wrong suffered by Illinois as a polity,” since it amounted to “an appeal to the federal courts to reconstruct the electoral process of Illinois.”(71) He, therefore, focused not on the constitutional provisions offered by the plaintiffs, but instead on Article 1, section 4 that gave state legislatures control over congressional elections, subject to potential congressional control, and section 5 that made the House the judge of the qualifications of its own members. The import of these provisions, he argued, was that “the Constitution has conferred upon Congress exclusive authority to secure fair representation by the States … and left to that House determination whether States have fulfilled their responsibility.”(72) The dispute’s “peculiarly political nature” means that it “is beyond [the] competence [of the Court] to grant” relief.(73) In short, in holding that the dispute must be resolved by another branch of government, he invoked the doctrine of political questions.
Frankfurter also noted powerful practical reasons for deferring to the House. First, “It is hostile to a democratic system to involve the judiciary in the politics of the people.”(74) Unelected justices should not exalt their views over those of elected lawmakers. Second, entering “this political thicket”(75) would be imprudent for the Court, as it would embroil it in political conflicts, thereby undermining the apolitical appearance that is central to its authority. Suppose the Court declares the “existing electoral system invalid,”(76) for example. What then? The Illinois legislature might not act, leaving its Congressmembers elected at large, counter to congressional law and a “worse”(77) result than the malapportionment system that preceded it. With this example, Frankfurter plainly pointed to the enforceability problem. Courts, lacking as Hamilton noted, both the powers of the purse and of the sword are dependent upon the political branches to implement their decisions.(78) So long as courts do not aggressively intrude onto their turf, this will be no problem. But if they overstep their bounds, the other branches may resist implementation, revealing the vulnerability of courts for all to see and leaving them damaged and weakened. The answer, therefore, lies “ultimately, on the vigilance of the people in exercising their political rights.”(79) Illinois may be obligated to apportion its congressional seats properly, but this is not the only constitutional duty that “cannot be judicially enforced.” (80)
Oddly, though Frankfurter cited precedents, he neglected to point to a history that demonstrates that not only population but also interests, groups, and regions have affected representation.(81) The Senate, of course, is not based on population at all. The plain inference is that equal representation is not the only constitutionally defensible system, for as an eminent scholar observed, the Constitution seeks a “government responsive to the will of the full national constituency, without loss of responsiveness to lesser voices, reflecting smaller bodies of opinion, in areas that constitute their own legitimate concern.”(82)
Yet it is not difficult to imagine situations where Congress’ authority over representation would give way to other constitutional considerations. If a state law banned voters who were African American(83) or declared that only whites could be elected to Congress, no justice, even then, would rule this a political question beyond the Court’s purview. Colegrove’s position was that the dilution of his vote was no less a private wrong, and therefore no less invalid; the duty to defer to Congress is not absolute.
In the years preceding
But the future would not treat this view kindly. The Warren Court saw a willingness to embrace malapportionment as justiciable(87), and this was followed by a willingness to review the House’s refusal to seat a member(88), as well as Congress’ acceptance of the line-item veto.(89) All of these, in Frankfurter’s day, would have routinely been disposed of as unsuitable for judicial determination. The new view was that worries about the political thicket, if taken seriously, would banish the Court from taking any unpopular decision. The key area was civil rights. Had the Court maintained its allergy to controversy, anxiety about enforcement, and deference to the elected branches, the desegregation cases would never have come to pass. Once they were decided, the Court seems to have taken political questions as less a doctrine than a confession of timidity. When finally
What Frankfurter never confronted was the obvious riposte to his reliance on the vigilance of the people. The problem that Colegrove complained of was that malapportionment itself rendered the vigilance impotent. Those who were underrepresented could not vote to change the system precisely because they were underrepresented, and those who were overrepresented plainly would not agree to reduce their own power or in the case of Congressmembers, to substantially reduce their reelection prospects. Frankfurter’s advice, naïve on one level, was insulting on another, for its message to Colegrove from his perspective was: accept your inferior position.
What can we say about Frankfurter’s reliance on political questions? The Constitution states that certain governmental actions are not judicially reviewable: Congress’ power to impeach and convict and to declare war, for example, and the Senate’s power to consent to treaties and appointments. These matters are left to the political branches. The application of political questions to other areas is not mandated by the Constitution, but instead has developed as a consequence of judicial decisions. On what are they based? Frankfurter answers, “the wisdom of the Court defines its boundaries.”(91) A judge preoccupied with legality and opposed to judicial power might be expected to favor a narrower political questions application more clearly rooted in the Constitution over a broader one, but this was not the position Frankfurter adopted.
Frankfurter joined the majority with an extraordinary concurring opinion. It was extraordinary, first, in its length. At thirty-nine pages plus five pages of appendix, it was seventeen pages longer than Vinson’s majority opinion, and longer than Frankfurter’s own majority opinions in
Notwithstanding its length, the argument was familiar and not very complex: It is up to the political branches to weigh the competing claims of free speech and national security, and courts should respect their judgment. Along the way Frankfurter brushes off, like crumbs on a tablecloth, the principal claims of free speech proponents. To the absolutists – here, he was anticipating the views soon to be made famous by his well known adversary, Justice Black(96) – he devoted a sentence, “Absolute rules would inevitably lead to absolute exceptions, and such exceptions would eventually corrode the rules.”(97) To the defenders of preferred position, he allotted two sentences, noting that it presumes that legislation appearing to abridge expression be presumed invalid and discarding these “attractive but imprecise words.”(98) Most of his attacks were directed at the clear and present danger test, perhaps the best known item in his hero, Holmes,’ legacy. It is not that Frankfurter objects to the term, he claimed, but only to its “oversimplified”(99) or “wholly out of context”(100) use or if it is taken to “mean an entertainable ‘probability.’”(101) Of course, no one could favor an oversimplified use of any test nor its being taken out of context; by definition, they are wrong. But if the reference to probability alludes to the time element – is the danger so near that there is no opportunity for the marketplace of ideas to operate? – then it plainly counters the rationale Holmes himself offered in his most famous free speech opinion.(102) Never does Frankfurter trouble to apply Holmes’ test to the set of facts before him to see if it fits.
Celebrated for his gift at statutory interpretation(103) – “No judge before him … arrived at the task of statutory construction so well prepared,” concluded a distinguished federal judge(104) – Frankfurter devotes exactly none of his thirty-nine pages to this subject, though arguably it was central to the case. Did the statute’s ban on knowingly or willfully advocating the violent overthrow of the government mean, “Don’t urge someone with a gun to shoot members of Congress” or, instead, “Don’t teach from a century old text,
Frankfurter’s opinion is notable not only for what it slights or omits, but also for what it includes. In his use of precedents, for example, Frankfurter does not wince at citing some of the Court’s most disparaged decisions, like the
Moreover, among the cases he discusses, Frankfurter attaches considerable significance(110) to a brief opinion of Holmes in
Frankfurter also quotes John Stuart Mill, who almost certainly would strongly differ from his views,(115) and joins the originalist/living Constitution debate, advocating for both sides. He speaks as an originalist discussing the historical antecedents of the Bill of Rights, state experiences in the 1190s, Jefferson,(116) and in the next paragraph, speaks of the Constitution as “not as barren words [but] as a living instrument.”(117)
Yet at the same time, Frankfurter seeks to separate himself from the Smith Act, which liberals had widely condemned. A “judge does not remotely imply that he favors the implications that lie beneath the legal issues,”(118) he wrote, going on to quote four paragraphs from a George Kennan article in the
The opinion, so bloated by repetition, platitudes, pomposities, and irrelevant citations, drones on and on, so that even an admirer acknowledges that it “becomes almost monotonous.”(120) But in it, there is no appreciation of the overwhelming power of the state, armed with what Weber called a “
Was the evidence admissible? Frankfurter, speaking for the Court, conceded that “the administration of criminal justice is predominantly committed to the care of the states,”(127) but state discretion is not unlimited but is confined by the Due Process clause. This clause may imply an “absence of formal exactitude,”(128) a “want of fixity in meaning,”(129) “vague contours,”(130) or “indefinite and vague … standards of justice [that] are not authoritatively formulated anywhere as though they were specifics.”(131) Yet it “does not leave us without adequate guides”(132) nor does it “leave judges at large”(133) or “make due process of law a matter of judicial caprice.”(134)
How, then, to determine its meaning? The answer lies not in a “resort to a revival of natural law,”(135) but rather in judicial “self-discipline and self-criticism,”(136) which “requires an evaluation based on a disinterested inquiry pursued in the spirit of science … reconciling the needs both of continuity and change in a progressive society.”(137) Examining the facts here, it is obvious that the police “conduct … shocks the conscience [and] is bound to offend even hardened sensibilities. They are methods too close to the rack and the screw to permit of constitutional differentiation.”(138) The methods “offend those canons of decency and fairness which express the notions of justice of English-speaking peoples “(139) and “offend a sense of justice [and] the community’s sense of fair play and decency.” To hold otherwise would be “to discredit law and thereby to brutalize the temper of society.”(140)
There can be no question that his early experience with Mooney, Sacco, and Vanzetti left Frankfurter with great sensitivity toward due process issues. In those cases, official misconduct seemed to him to have infected highly publicized prosecutions and poisoned the trials.
Still, we may examine the various propositions that constitute Frankfurter’s argument. Does the police conduct offend even hardened sensibilities? Evidently not, for it did not offend the hardened sensibilities of the police or the doctor. Is it really like the rack and screw? Hardly, as they cause permanent, debilitating, disfiguring injury and have no therapeutic uses. Does it, then, offend a sense of fair play and decency? To what extent are police required to play fair? Crime, after all, is not a game where police are obliged to give suspected criminals equal chances to win on some level playing field. Police are free to lie to suspects, and when, say, a SWAT team attacks a kidnapper, it is not expected to give him fair warning or to provide him with weapons and manpower comparable to what they possess. Considerations of fair play simply do not enter into discussions of how to respond. And why focus on the notions of the English-speaking people, many of whom live far from the United States and are not governed by the Constitution? Why should the notions of people in Lagos or Liverpool control the Constitution?
Despite his insistence that judges “may not draw on our merely personal and private notions,” Frankfurter offers no standard but flimsily disguised subjectivity. Because stomach pumping strikes us as so extreme, we may conclude that nothing more precise is necessary, for he is certainly not alone in finding it revolting and intolerable. And yet when we recall his famous preoccupation with legality, we may ask what is the basis of the shock the conscience rationale, for subjectivity is the very essence of conscience. In
How, then, to shock the conscience? If conscience, in the old formulation, is simply God speaking to us, it is obvious that He does not say the same thing to everyone, and indeed, to some, He apparently says nothing at all. Hence, when Frankfurter in
Frankfurter came to the Court known by friend and foe as a liberal activist, a man committed to causes, a person of deeply held political and social beliefs and the drive to work relentlessly to apply them to the world. This is who he was as a teen-aged immigrant on the streets of New York, as a young Harvard law professor speaking out on the great political topics of the day, and as a disciple of Brandeis and an advisor to Roosevelt. Perhaps no other public intellectual in the first half of the twentieth century matched his record in this regard. Yet the great irony of his career was that his profound commitment to judicial self restraint meant that the confident predictions that accompanied his appointment would be negated by a philosophy that confined the role of the judge and elevated purely legal concerns to the exclusion of other issues. Again and again, in opinion after opinion, he declared his policy and ethical views irrelevant. Only the law mattered.
The chief rationale for self restraint was democracy. If we truly value democracy as much as we routinely claim, he cautioned, we the judges should declare acts of democratically elected officials invalid only when we cannot help it, when we literally have no other choice. There are other arguments – that an activist court will find itself embroiled in political controversies that will undermine the nonpolitical appearance on which its authority is based; that activism will “mutilate the educative process of responsibility”(147) and encourage passivity among the public; and that, in the end, activism cannot do much good because courts are simply not that powerful(148) – but democracy is central. No wonder Frankfurter returns to it over and over and over again.
But whether because this philosophy was sanctioned by his heroes (Holmes, Hand, and Brandeis) or because he lived through decades of activist courts invalidating Progressive reforms, there is no evidence that he ever revisited the topic, except to repeat the familiar mantra. Like an ecclesiastical dogma, its mere enunciation decided the question.
Yet there is another side to the argument. In the first place, judicial activism may be indispensable when the democratic process produces an anti-democratic result. When the authorities ignored Gobitas’ religious beliefs, it was absurd to advise a young girl belonging to an unpopular sect to ask a school board or legislature to abolish its mandatory flag salute policy – months before America’s entry in World War II. In the legislative malapportionment cases, it was fatuous to urge the voters to correct the defect, when the point was that underrepresented voters lacked the power to do so.(149) Similarly, to the extent that democracy presupposes freedom of speech, the Smith Act was not democratic because it punished political speech. If the democratic process produces an anti-democratic result, sometimes only an institution outside the democratic process can address it. In these circumstances, is self restraint, which preserves and validates the status quo, the proper reaction? There is no sign that Frankfurter ever considered the question. For him, self restraint applied to all laws equally and without distinctions.
Nor, despite his vast political experience, did he stoop to examine how laws are actually made. Frankfurter was very familiar with a series of cases, in which the Court had voided high profile Progressive laws that possessed widespread public support. In such situations, perhaps it is possible to speak of the public’s strong preferences being vetoed by an unelected judicial elite. But most laws are smaller affairs, known only to the factions they affect; majorities in legislatures may have voted for them, but in truth only minorities truly cared. To claim that these laws reflect popular majorities that must be respected is not realistic.
Further, the workings of the legislative process suggest a kind of rough division of labor. Lawmakers, preoccupied with getting bills through multiple decision points, naturally focus on the substance of the bill and the political maneuvering necessary to get it adopted; constitutionality is ordinarily a distant side issue. Thus, if courts fail to take constitutionality seriously, probably, no one else will, but the subject is obviously far too important to ignore. In any case, the constitutional system, with its famous checks and balances, is very far from a pure democracy, and so the counter-majoritarian nature of judicial review in the larger context does not represent a great departure from standard practice.
However, even leaving aside arguments against self restraint as a philosophy, Frankfurter’s execution of this philosophy was often fatally flawed. Far from setting aside extralegal concerns, Frankfurter frequently allowed them to trump competing legal claims. In
Typically, Frankfurter reached his decision after more or less explicitly balancing the competing claims. In ordinary life, we engage in balancing on a regular basis. Shall I eat this piece of pie? I balance the pleasure it will give me against the calories it will give me. Shall I buy this shirt? It looks good, but it’s very pricey. At the extremes, balancing is easy. I won’t buy a $500 shirt, no matter how well I look in it nor will I buy a $10 shirt that shows off my belly. But otherwise, I sense an arbitrariness. Shall I buy a $50 shirt that makes me look pretty good? It may depend on how I feel today, and may change tomorrow, and in either case, my reactions may be quite different from yours.
Balancing is necessary, Frankfurter writes, because, as he put it in
More fundamental is the question: how are the competing claims to be balanced? Frankfurter warns that they should not be balanced dogmatically.(157) Of course, as the term suggests a mechanical absence of thought, nearly everyone would agree with that advice. On the other hand, his denunciations of rigidity inescapably call to mind Shaw’s famous declension: “I am firm, you are stubborn and he is a pigheaded fool,” for one person’s dogmatism will be another’s stand on principle. If Frankfurter refuses to stand on principle – not on absolutism or preferred position or clear and present danger – what does he stand on? How does he avoid “the risk of an
For balancing is a metaphor with particular power in the legal context, immediately evoking as it does the image of a blindfolded Lady Justice holding a pair of scales. But the image is insidiously misleading. In the real world, we would place weights on each scale, and the objective force of gravity would determine which was heavier by lowering that scale. Anyone, smart/stupid, learned/ignorant, virtuous/evil, could accurately report which side that was, and there would be no opportunity for disagreement. But in the law, there is no objective way to determine which claim is “heavier,” and so apart from the extreme cases, disagreements will be inescapable. Frankfurter’s own prose reinforces this point. On the one hand, he concedes in
It is worth noting, therefore, which of the competing claims Frankfurter tended to find weightier. Prior to joining the Court, of course, his preoccupation was protecting the underdog, and this is how he made his formidable reputation. Tom Mooney. Sacco and Vanzetti. African Americans. But once named to the Court, he most often favored the state. In
Thus the irony, which did not crown Frankfurter’s achievements but instead contributed so powerfully to undermining his waning once towering reputation and replacing it with neglect(166) In sacrificing his policy and ethical goals in the service of the law, he often failed to serve the law. His sacrifices in these cases were for nothing.
Letter to Albert G. Hodges, April 4, 1864, A
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J. S
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Joseph P. Lash,
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G. E
Archibald MacLeish,
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Allan A. Zoll, executive vice-president of the American Federation against Communism,
Elizabeth Dilling,
John Bowe,
James Bradley Thayer,
J
J
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Felix Frankfurter,
198 U.S 45 (1905).
247 U.S. 251 (1918).
261 U.S. 535 (1923).
310 U.S. 586 (1940).
319 U.S. 624 (1943).
Lillian Gobitas,
Paul A. Freund,
R
98 U.S. 145 (1879).
133 U.S. 333 (1890).
293 U.S. 245 (1934).
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Harold Leclair Ickes, 3 T
G. Edward White,
328 U.S. 549.
Alexander Hamilton, Federalist 78, in T
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The Supreme Court struck down Texas’ white primary system in Smith v. Allwright, 321 U.S. 649 (1944), with Frankfurter voting with the majority.
Oetjen v. Century Leather Co., 246 U.S. 297, 302 (1918).
Coleman v. Miller, 307 U.S. 433, 450-55, 456-60, 460-70 (1939).
Marshall v. Dye, 231 U.S. 250, 256-57 (1913).
Baker v. Carr, 369 U.S. 186 (1962).
Powell v. McCormick, 395 U.S. 486 (1969).
INS v. Chada, 462 U.S. 919 (1983).
341 U.S. 494.
A decade earlier, the Party had called for Smith Act prosecutions of Trotskyists. P
Vinson rested his argument on Holmes’ clear and present danger case, though he conceded that the danger was not imminent, but rather would appear when the Communists “feel the circumstances permit.”
Hugo Black,
Abrams v. United States, 250 U.S. 616, 630 (1919).
Felix Frankfurter,
Henry J. Friendly,
103 U.S. 581 (1889).
194 U.S. 219 (1904).
249 U.S. 211 (1919).
249 U.S. 204 (1919).
236 U.S. 273 (1915).
Vinson in his opinion wrote, “No important case involving free speech was decided by this Court prior to
Kovacs v. Cooper, 336 U.S. 77 (194)
Arthur E. Sutherland,
Max Weber,
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Douglas, J. noticed it.
342 U.S. 165.
338 U.S. 25.
329 U.S. 459, 470 (1947).
339 U.S. 9, 16.
The leading treatise at the time maintained that the only reason to exclude evidence was unreliability. J
Felix Frankfurter,
Learned Hand, The Spirit of Liberty: Papers & Addresses of Learned Hand, 189 (Irving Dilliard ed., 3d ed. 1960).
Frankfurter conceded this in a white primary case, but was unwilling to apply the principle elsewhere.
342 U.S. 582 (1952).
323 U.S. 214, 225 (1944).
Few today rank Frankfurter as a great justice. Cass R. Sunstein,