Lochner Era Jurisprudence and the American Constitutional Tradition Stephen A
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NORTH CAROLINA LAW REVIEW Volume 70 | Number 1 Article 9 11-1-1991 Lochner Era Jurisprudence and the American Constitutional Tradition Stephen A. Siegel Follow this and additional works at: http://scholarship.law.unc.edu/nclr Part of the Law Commons Recommended Citation Stephen A. Siegel, Lochner Era Jurisprudence and the American Constitutional Tradition, 70 N.C. L. Rev. 1 (1991). Available at: http://scholarship.law.unc.edu/nclr/vol70/iss1/9 This Article is brought to you for free and open access by Carolina Law Scholarship Repository. It has been accepted for inclusion in North Carolina Law Review by an authorized administrator of Carolina Law Scholarship Repository. For more information, please contact [email protected]. LOCHNER ERA JURISPRUDENCE AND THE AMERICAN CONSTITUTIONAL TRADITION STEPHEN A. SIEGEL* Legal scholars and historians have generally depicted the Lochner era as a deviant period during which. the Supreme Court broke from the constitutionalism that the Marshall Court established and the New Deal Court restored. They maintain that the Lochner era Court, which struck down much legislation affecting industrial regulation, strayed from the American con- stitutional tradition by underconstruing the scope of congres- sionalpower and overprotectingprivate property. Several scholars have criticized this view and have presented different theories on the Lochner era'splace in American consti- tutionalism. In this Article Professor Stephen Siegel paints an entirely new picture, rejecting both the traditionaltheory and the more recent ones. Professor Siegel argues that the Lochner era was both similar to and differentfrom itspredecessor and succes- sor eras: it was a transitionalperiod in the American constitu- tional tradition. The Article examines the era'ssubstantive due process cases in terms of their jurisprudence, which was based on a form of thinking that Professor Siegel calls "constitutional conceptual- ism. " He argues that on the one hand, the Lochner era Court was similar to the pre-Lochner era Court in that both based their decisions on constitutional conceptualism; in contrast, the New Deal Court based its decisions on pragmatic interest-balancing. On the other hand, the Lochner era Court was similar to the New Deal Court in that both envisioned the Constitution as evolving with the changes in American society; in contrast, the pre-Lochner era Court viewed the Constitution as static, deter- mined by the unchanging norms of natural law and framer in- tent. Thus, the Lochner era was a transitionalperiod, bridging America's development from early to modern constitutionalism. I. INTRODUCTION ........................................... 2 * Professor of Law, DePaul University. B.A., 1967, Columbia University; J.D., 1971, LL.M., 1972, Harvard University. Previous versions of parts of this Article were presented at the 1987 American Society for Legal History Annual Meeting and at faculty workshops at Northwestern University School of Law, University of Texas School of Law, and DePaul Uni- versity College of Law. I thank all those who attended and gave their critiques of my presenta- tion, especially Charles McCurdy, Sandy Levinson, and Avi Soifer. I also thank the Faculty Research Fund of DePaul University College of Law for its support. 2 NORTH CAROLINA LAW REVIEW [Vol. 70 II. THE THREE APPROACHES TO Lochner ERA SUBSTANTIVE D UE PROCESS ............................................ 6 III. CONSTITUTIONAL CONCEPTUALISM AND THE AMERICAN CONSTITUTIONAL TRADITION ............................. 23 A. ConstitutionalConceptualism .......................... 23 B. Constitutional Conceptualism Illustratedin the Opinions of John M arshall ..................................... 36 1. Marbury v. Madison: Conceptualism in a Structure- of-Government Case .............................. 37 a. The Amenability of High Executive Officials to Legal Process ................................. 38 b. The Judiciary's Power of Judicial Review ...... 40 2. Fletcher v. Peck: Conceptualism in a Civil Liberties C ase ............................................. 44 3. Conclusion ....................................... 50 C. ConstitutionalConceptualism and the Origin of Substantive Due Process ............................... 52 D. Conclusion ........................................... 61 IV. THE SOURCE OF Lochner ERA CONCEPTS AND THE AMERICAN CONSTITUTIONAL TRADITION ................. 62 A. Historism as the Basis of Nineteenth Century Legal and Social Thought ....................................... 66 B. The Impact of Historism on the American Constitutional Tradition ............................................. 78 C. Historism Illustrated in Justice Stephen Field'sSeminal Dissents in The Slaughter-House Cases and M unn v. Illinois ...................................... 90 1. Justice Field's Dissent in The Slaughter-House Cases ............................................. 92 2. Justice Field's Dissent in Munn v. Illinois.......... 96 V. THE TRANSITIONAL NATURE OF Lochner ERA JURISPRUDENCE .......................................... 100 I. INTRODUCTION Until recently, the standard narrative of American constitutional development was that shortly after the nation's founding John Marshall's Supreme Court heroically established the "correct" norms of constitu- tional law and jurisprudence, norms that included broad power for the new national government, protection of private property, and judicial re- 1991] LOCHNER ERA JURISPRUDENCE straint.1 The Court, according to this story, generally adhered to these norms until after the Civil War. Then, in the last quarter of the nine- teenth century,2 judges concerned about protecting big business from the nascent regulatory state departed from the norm of restraint and substi- tuted their values for the principles that the Constitution's framers en- shrined and John Marshall enforced. In this deviant period, known as the Lochner era, the Court underconstrued the scope of congressional power and overprotected private property. The final chapter in this story is that after years of national economic collapse and threats of "court packing,"3 the Court ceased its aberrant behavior. The Court, newly re- constituted as the "New Deal Court," restored the founders' principles, and (as always) truth, justice, and the American way triumphed. Now that the political consensus surrounding New Deal constitu- tionalism is coming apart,4 this narrative is appreciated as a myth created by scholars wishing to justify the New Deal Court's departure from 1. See Bruce Ackerman, ConstitutionalPolitics/Constitutional Law, 99 YALE L.J. 453, 457-58 (1989); Morton J. Horwitz, Republicanism and Liberalism in American Constitutional Thought, 29 WM. & MARY L. REV. 57, 57-63 (1987) [hereinafter Horwitz, Republicanism]; Morton J. Horwitz, History and Theory, 96 YALE L.J. 1825, 1827-30 (1987) [hereinafter Hor- witz, History and Theory]; Sanford Levinson, Book Review, 75 VA. L. REv. 1429, 1449-50 (1989). In light of such cases as Marbury v. Madison, 5 U.S. (1 Cranch) 137 (1803), which seems to go out of its way to address whether President Jefferson should have delivered Mar- bury's commission and whether high executive branch officials are amenable to judicial pro- cess, see William W. Van Alstyne, A CriticalGuide to Marbury v. Madison, 1969 DUKE L.J. 1, 6-8, contemporary scholars may doubt that Chief Justice Marshall practiced judicial restraint. The standard narrative, however, does not admit that Marshall was an activist justice. See, e.g., James B. Thayer, The Origin and Scope of the American Doctrine of ConstitutionalLaw, 7 HARV. L. REv. 129, 149, 151 (1893). Perhaps it is a measure of the distance we have moved from the standard narrative that Marshall's activism now is more apparent. 2. The conventional wisdom dates the Lochner era from the early twentieth century, when the Court, in Lochner v. New York, 198 U.S. 45 (1905), first voided industrial regulation legislation based upon the doctrine of "liberty of contract." Id. at 64. This view overlooks the facts that by the 1880s the state courts had fully embraced laissez-faire principles and that the Court clearly was moving in that direction. See infra note 9. 3. "Court packing" refers to President Franklin D. Roosevelt's proposal to expand the Court to allow him to appoint enough new and ideologically correct justices to uphold New Deal legislation. See, e.g., DAVID P. CURRIE, THE CONSTrUTION IN THE SUPREME COURT: THE SECOND CENTURY, 1888-1986, at 235-36 (1990). 4. Until the 1970s, commentators usually supported the New Deal Court's decision to legitimate the regulatory state by giving minimal scrutiny to economic legislation. See, e.g., Robert G. McCloskey, Economic Due Process and the Supreme Court: An Exhumation and Reburial, 1962 SUP. CT. REV. 34, 59-62. Now conservative scholars attack the New Deal Court's stance on economic regulation and propose a return to rigorous scrutiny of legislation affecting property rights. RICHARD A. EPSTEIN, TAKINGS: PRIVATE PROPERTY AND THE POWER OF EMINENT DOMAIN 280-82 (1985). Left-liberal scholars, in turn, criticize the New Deal Court for not going far enough in redistributing property rights. See, e.g., J.M. Balkan, The Footnote, 83 Nw. U. L. REV. 275, 310-13 (1989) (criticizing the 1937 Court for not man- dating government enactment of laws establishing economic equality among individuals). NORTH CAROLINA LAW REVIEW [Vol. 70 Lochner Court norms by picturing its rebellion as a restoration.5 A wel- ter of new narratives presently