THE DEVELOPMENT of SUPREME COURT INFLUENCE OVER LOWER COURTS by JAMES A. TODD JOSEPH L. SMITH, COMMITTE
Total Page:16
File Type:pdf, Size:1020Kb
NEITHER SWORD NOR PURSE: THE DEVELOPMENT OF SUPREME COURT INFLUENCE OVER LOWER COURTS by JAMES A. TODD JOSEPH L. SMITH, COMMITTEE CHAIR RICHARD C. FORDING STEPHEN BORRELLI NORMAN BALDWIN STEVEN P. BROWN A DISSERTATION Submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the Department of Political Science in the Graduate School of The University of Alabama TUSCALOOSA, ALABAMA 2015 Copyright James A. Todd 2015 ALL RIGHTS RESERVED ABSTRACT Lower court compliance with the superior courts is now a norm in the judicial system of the United States. This dissertation will examine the development of the Supreme Court’s ability to influence the decisions by lower courts. My general theory is that lower court compliance with the Supreme Court became more of a certainty as the federal judicial system developed statutorily, particularly after 1875. I will test the impact that three judicial reforms had (and continue to have) on Supreme Court power over lower courts: the Jurisdiction and Removal Act of 1875, the Judiciary Act of 1891, and the Judges Act of 1925. These reforms, I will argue, added characteristics to the judicial system that help predict compliance, all of which are still present in the system and can be shown to have an effect on compliance in contemporary times. These characteristics include the availability of federal forums for the implementation of constitutional policies, the authoritative communication of Court policies by intermediate courts to trial level courts, and the ability of the Court to select cases that allow it the opportunity to announce clear policy. To test my theory, I will use a variety of historically important Supreme Court policies and employ a coding scheme for lower court cases to test whether a case presents an instance of compliance or non-compliance with the specific Supreme Court policy. ii DEDICATION This work is dedicated to my loving wife, Annie, whose patience, kindness, resourcefulness, wise counsel, editorial skills, and intelligence proved to be a constant help and motivation for me as I brought this project into being. Also, to Mr. Darcy and Buckley, who were always within my reach. iii ACKNOWLEDGMENTS This work has benefited from the assistance of very capable and generous scholars. The first among these is, without question, the chairman of my dissertation committee, Dr. Joseph Smith. He made ample amounts of time for me as I prepared this dissertation. He listened to my ideas, responded to my frequent (and occasionally longwinded) correspondence about this project, and provided me invaluable assistance with my theory building and empirical work. Joe challenged me to improve the work at every turn, and he was extremely patient and supportive along the way. Any strengths of this dissertation are the result of his mentorship; I solely own all of its many weaknesses. I also acknowledge the graciousness of the very dedicated University of Alabama faculty members who served on my dissertation committee: Dr. Stephen Borrelli, Dr. Richard Fording, and Dr. Norman Baldwin (the three of whom, along with Dr. Smith, evaluated and improved this work in its finished form) and Dr. Hong Min Park and Dr. Tony Freyer (original committee members who approved of my idea for this project at its inception). I also acknowledge the service of Dr. Steven Brown of Auburn University, an expert on the Nineteenth Century Court (among other things). This project also benefited greatly from feedback I received on various parts of it at conferences. Dr. Amy Steigerwalt of Georgia State University, Dr. Neal Allen of Wichita State University, and Dr. Michael Giles of Emory University all made valuable contributions in this capacity. Lastly, my friends and colleagues Mr. (soon to be Dr.) Chris Kromphardt, Dr. Anderson Starling, and Dr. Laura M. Sojka read portions of this work and made valuable suggestions towards its improvement. iv CONTENTS ABSTRACT .................................................................................................................................... ii DEDICATION ............................................................................................................................... iii ACKNOWLEDGMENTS ............................................................................................................. iv LIST OF TABLES ....................................................................................................................... viii LIST OF FIGURES ....................................................................................................................... ix CHAPTER 1: The Concept of Lower Court Compliance .............................................................. 1 The Importance of Lower Court Compliance ............................................................................. 4 Judicial Impact Literature............................................................................................................ 6 Theory and Research Focus ........................................................................................................ 7 Organization of the Work .......................................................................................................... 14 CHAPTER 2: Lower Court Compliance and the Judiciary Act of 1789 ...................................... 17 Constitutional Questions in State Courts .................................................................................. 19 Communication and Monitoring in the Circuit System ............................................................ 26 Docket Control and Decisional Clarity ..................................................................................... 37 CHAPTER 3: Interstate Commerce, Lower Courts, and Supreme Court Power ......................... 47 Federal Court Implementation of Supreme Court Doctrine ...................................................... 59 The Jurisdiction and Removal Act of 1875 ............................................................................... 63 Theory and Hypotheses ............................................................................................................. 65 Data and Methods...................................................................................................................... 67 Results ....................................................................................................................................... 69 v Conclusion ................................................................................................................................. 78 CHAPTER 4: The Early Influence of Circuit Courts of Appeals on Supreme Court Power ....... 81 Common Law Cases in Federal Court ...................................................................................... 82 Non-Compliance in the Federal Judicial Hierarchy Prior to 1891 ............................................ 89 The Importance of Intermediate Courts to the Supreme Court ................................................. 90 The Judiciary Act of 1891 (the Evarts Act) .............................................................................. 94 Hypotheses, Data, and Research Design ................................................................................... 96 Results ..................................................................................................................................... 103 Discussion ............................................................................................................................... 108 Conclusion ............................................................................................................................... 109 CHAPTER 5: Docket Control and Clear Policy Making in Supreme Court Constitutional Cases, 1910-41 ................................................................................................ 111 Opinion Clarity and Lower Court Compliance ....................................................................... 123 Theory and Hypotheses ........................................................................................................... 128 Data, Methods, and Research Design...................................................................................... 129 Results ..................................................................................................................................... 137 Conclusion ............................................................................................................................... 146 CHAPTER 6: Supreme Court Policy Implementation Since 1925 ............................................ 148 Court Policy in the Aftermath of the Judges Act .................................................................... 150 Warren Court I: Equal Protection............................................................................................ 154 Warren Court II: The Rights of the Accused .......................................................................... 160 Contentious Areas of Social Policy: Religion, Abortion, and Speech ................................... 164 Conclusion ............................................................................................................................... 169 vi CHAPTER 7: Conclusion ........................................................................................................... 172 REFERENCES ..........................................................................................................................