P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 This page intentionally left blank i September 26, 2006 19:2 P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 September 26, 2006 Oliver Wendell Holmes, Jr., Legal Theory, and Judicial Restraint Oliver Wendell Holmes, Jr., is considered by many to be the most influential American jurist The voluminous literature devoted to his writings and legal thought, however, is diverse and inconsistent In this study, Frederic R Kellogg follows Holmes’s intellectual path from his early writings through his judicial career He offers a fresh perspective that addresses the views of Holmes’s leading critics and explains his relevance to the contemporary controversy over judicial activism and restraint Holmes is shown to be an original legal theorist who reconceived common law as a theory of social inquiry and who applied his insights to constitutional law From his empirical and naturalist perspective on law, with its roots in American pragmatism, emerged Holmes’s distinctive judicial and constitutional restraint Kellogg distinguishes Holmes from analytical legal positivism and contrasts him with a range of thinkers, including John Austin, Thomas Hobbes, H L A Hart, Ronald Dworkin, Antonin Scalia, and other leading legal theorists Frederic R Kellogg has been Visiting Scholar in the Department of Philosophy at the George Washington University, Senior Fulbright Fellow at the University of Warsaw, and Visiting Professor at Moscow State University He is the author of The Formative Essays of Justice Holmes: The Making of an American Legal Philosophy, as well as numerous articles on legal philosophy and jurisprudence i 19:2 P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 ii September 26, 2006 19:2 P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 September 26, 2006 Oliver Wendell Holmes, Jr., Legal Theory, and Judicial Restraint FREDERIC R KELLOGG iii 19:2 cambridge university press Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo Cambridge University Press The Edinburgh Building, Cambridge cb2 2ru, UK Published in the United States of America by Cambridge University Press, New York www.cambridge.org Information on this title: www.cambridge.org/9780521866507 © Frederic R Kellogg 2007 This publication is in copyright Subject to statutory exception and to the provision of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press First published in print format 2006 isbn-13 isbn-10 978-0-511-26028-5 eBook (EBL) 0-511-26028-8 eBook (EBL) isbn-13 isbn-10 978-0-521-86650-7 hardback 0-521-86650-2 hardback Cambridge University Press has no responsibility for the persistence or accuracy of urls for external or third-party internet websites referred to in this publication, and does not guarantee that any content on such websites is, or will remain, accurate or appropriate P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 September 26, 2006 In memory of Paul A Freund and Elliot L Richardson v 19:2 P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 vi September 26, 2006 19:2 P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 September 26, 2006 Contents Preface page ix A Time for Law Playing King: Connections and Misconceptions Holmes’s Conception of Law Common Law Theory Revisited Holmes and Legal Classification The General Theory of Liability Morals and Skepticism in Law Judges, Principles, and Policy 10 26 46 61 80 100 118 Common Law Constitutionalism 10 Holmes’s Theory in Retrospect 11 Conclusion 137 157 171 Appendix 177 Bibliography 181 Index 195 vii 19:2 P1: KNQ 0521866502pre CUNY525B/Kellogg Printer: cupusbw 521 86650 viii September 26, 2006 19:2 P1: KRU 0521865502bib CUNY525B/Kellogg 192 Printer: cupusbw 521 86650 September 26, 2006 Bibliography Pound, Roscoe “Judge Holmes’ Contributions to the Science of Law.” 35 Harv L Rev 449 (1921) Rasmussen, David M “Jurisprudence and Validity.” Cardozo L Rev 17, 1059 (1996) Raz, J “Authority and Justification.” 14 Philosophy and Public Affairs 3–29 (1985) “Authority, Law, and Morality.” 68 Monist 295–324 (1985) “Legal Principles and the Limits of Law.” Yale L Rev 81 (1972), 823–54 “On the Functions of Law.” In Oxford Essays in Jurisprudence: Second Series, ed A W B Simpson Oxford: Oxford University Press, 1973:278–304 Rogat, Yosal “Mr Justice Holmes: A Dissenting Opinion.” 15 Stan L Rev 3, 254 (1962–963) Schauer, Frederick “Easy Cases.” 58 So Cal L Rev 399 (1985) “Precedent and the Necessary Externality of Constitutional Norms.” 17 Harv J L & Pub Pol 45 (1994) Scheiber, Harry N “Comment: Public Rights and the Rule of Law.” 71 Cal L Rev 217 (1984) Schwarz, Joan I “Oliver Wendell Holmes’s ‘The Path of the Law’: Conflicting Views of the Legal World.” 29 American J L History 235 (1985) Seipp, David J “Holmes’s Path.” 77 B U L Rev 515 (1997) Shattuck, Charles A “The True Meaning of the Term ‘Liberty’ in Those Clauses in Federal and State Constitutions which Protect ‘Life, Liberty, and Property.’” Harv L Rev 265 (1891) Simpson, A W B “The Common Law and Legal Theory.” In Oxford Essays in Jurisprudence: Second Series Oxford: Clarendon Press, 1973: 77–99 Spann, Girardeau A “Simple Justice.” 73 Georgetown L J 1041 (1985) Strauss, David A “Common Law Constitutional Interpretation.” 63 U Chi L Rev 877–935 (1996) Strauss, Leo “On the Spirit of Hobbes’s Political Philosophy.” In Hobbes Studies, ed K C Brown Cambridge, Mass.: Harvard University Press, 1965 Sullivan, Kathleen M “Categorization, Balancing, and Government Interests.” In Public Values in Constitutional Law, ed Stephen E Gottlieb, Ann Arbor: University of Michigan Press, 1993 “Symposium: The Path of the Law after One Hundred Years.” 110 Harv L Rev 989 (1997), containing essays by William W Fisher III, Robert W Gordon, Tracey E Higgins, Martha Minow, Sheldon M Novick, Richard D Parker, Richard A Posner, David Rosenberg, and G Edward White “Symposium: The Path of the Law 100 Years Later: Holmes’ Influence on Modern Jurisprudence.” 63 Brook L Rev (1998), (containing essays by Neil Duxbury, David Dyzenhaus, John C P Goldberg, Thomas C Grey, Gary Minda, Richard A Posner, Anthony J Sebok, William Twining, Catharine Pierce Wells, and G Edward White “Symposium: The Path of the Law Today.” 78 B U L Rev 78 (1998), containing essays by Jack Balkin, Jack Beerman, Robert Cooter, Ruth Gavison, Clayton 19:56 P1: KRU 0521865502bib CUNY525B/Kellogg Printer: cupusbw 521 86650 Bibliography September 26, 2006 193 P Gillette, Lewis Kornhauser, Gerald Leonard, Sanford Levinson, Richard McAdams, Frederick Schauer, and Robin L West Thayer, James B “The Origin and Scope of the American Doctrine of Constitutional Law.” Harv L Rev 129 (1893) Touster, Saul “Holmes a Hundred Years Ago: The Common Law and Legal Theory.” 10 Hofstra L Rev 673 (1982) “In Search of Holmes from Within.” 18 Vanderbilt L Rev 437 (1965) Tushnet, Mark “Anti-Formalism in Recent Constitutional Theory.” 83 Mich L Rev 1502 (1985) “The Logic of Experience: Oliver Wendell Holmes on the Supreme Judicial Court.” 63 Va L Rev 975 (1977) Utz, Stephen G “Maine’s Ancient Law and Legal Theory.” 16 Conn L Rev 821 (1984) Vetter, Jan, “The Evolution of Holmes: Holmes and Evolution.” In Holmes and the Common Law: A Century Later , occasional pamphlet no 10 Harvard Law School, 1983:75 Wechsler, Herbert “Toward Neutral Principles of Constitutional Law.” 73 Harv L Rev (1959) White, G Edward “From Realism to Critical Legal Studies: A Truncated Intellectual History.” 40 S W L J 819 (1986) “From Sociological Jurisprudence to Realism: Jurisprudence and Social Change in Early Twentieth-Century America.” 58 Va L Rev 999 (1972) “The Integrity of Holmes’ Jurisprudence.” 10 Hofstra L Rev 633 (1982) “Looking at Holmes in the Mirror.” Law and History Rev 440 1986) “The Rise and Fall of Justice Holmes.” 39 U Chi L Rev 51 (1971) Wigmore, John “Justice Holmes and the Law of Torts.” 29 Harv L Rev 601 (1916) Wright, Chauncey “The Evolution of Self-consciousness.” In Philosophical Discussions New York: Henry Holt, 1877:205–29 “The Philosophy of Herbert Spencer.” 100 N American Rev 427 (1865) Yale, D E C “Hale and Hobbes on Law, Legislation, and the Sovereign.” 31 Cambridge L J 121–56 (1972) Collections Oliver Wendell Holmes, Jr., Papers, Harvard Law School Library, Cambridge, Massachusetts 19:56 P1: KRU 0521865502bib CUNY525B/Kellogg Printer: cupusbw 521 86650 194 September 26, 2006 19:56 P1: FCW 0521866502ind CUNY525B/Kellogg Printer: cupusbw 521 86650 September 26, 2006 Index Abbot, Francis E., 62n5 abstraction, in legal theory, 20 abstractions of law, coercive power of, 110 abstract rights, status of, 58 activism, and restraint, 33 See also judicial restraint admiralty law, liability in, 83 affirmative action, judicial decisions on, A History of the Common Law of England (Hale), 54 Aleinikoff, Alexander, 124 Alschuler, Albert W., xi–xii; on law and morals, 59; Law without Values, xi, 17; and moral realism, 101 A Matter of Interpretation (Scalia), 13, 153, 165 America, nineteenth-century, 47 American law, nature of, 26–27 See also law American Law Review, Holmes’s editorship of, 60 American Philosophical Association, xi analytical positivist tradition, 18 See also positivism Ancient Law (Maine), 14n9 Anglo-American law: origins of, 30; principles of, 158 See also law anthropological document, law as, 97n45 “The Arrangement of the Law Privity,” 72 A Theory of Justice (Rawls), 174 Atiyah, P S., 80, 82, 93, 159n7 Austin, John, 11, 14n9, 16, 18, 38, 85, 92, 94, 95; analytical positivism of, 96; command definition of, 68; on consistency of law, 122; critique of, 104, 120, 158, 174; and custom, 69; on duty vs rights, 68; and law and morals, 159; Lectures on Jurisprudence of, ix, 66, 72, 112; legal classification offered by, 77, 128, 157; legal order of, 111, 545; legal positivism of, 39, 57, 58, 61, 65–66, 171; revolutionary jurisprudence of, 64; on separation of law and morals, 36, 87, 160; on unitary system of authority, 21 Bacon, Francis, 42 Bain, Alexander, 64 balancing test, 124, 124n18 Beadel v Perry, 32, 32n17, 76, 78, 142, 147 beliefs: and judicial decisions, 116; and judicial opinions, 113–14 “benevolent yearning,” 150 Bentham, Jeremy, 14n9, 21, 66, 67, 94, 545; on common law, 55; utilitarian reform of, 111 Berkeley, George, 63 Bickel, Alexander, 2, 172 Bill of Rights, and originalists, 154 Bix, Brian, 96, 97, 115 195 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg Printer: cupusbw 196 521 86650 September 26, 2006 Index Blackstone, Sir William, 18, 48, 49, 69 Blackwell Guide to the Philosophy of Law and Legal Theory (Bix), 97 Black & White Taxi Co v Brown & Yellow Taxi Co., 166 Bork, Robert H., 150 boundary, notion of, 64 Bowen, Francis, 12n4, 62n5 Brandeis, Louis, 61 Breyer, Stephen G., 12, 13 business, and organized labor, 119, 120 business men, as judges, 88 California Constitution, 147 Cambridge, Massachusetts, nineteenth-century, 11, 63 Cantwell v Connecticut, 155 capital punishment, Roper decision on, 2–3 Carter, James Coolidge, 160 central authority, Holmes’s defense of, 47, 54 certainty, gradations of, 135 See also uncertainty change: Holmes’s focus on, 159; law as process of, 76 Chicago, Milwaukee & St Paul Railway v Minnesota, 144, 145 Civil Rights Act (1964), Civil War, American, 13, 17–18, 94 classification See legal classification “clear and present danger,” test for, 176 “Codes, and the Arrangement of the Law” (Holmes), 67 codification: Bentham’s call for, 67; essay on, 57; Pollock’s view on, 71–72 Coke, Sir Edward, 18, 102, 109; on common law, 46, 47, 48; on custom and law, 50, 50n17; on duty vs rights, 68; Hobbes’s attack on, 50; on process of refinement, 103 Cold War, 59 collective insight, notion of, 107 common carriers, Holmes’s essay on, 121 common law: as acentric legal order, 57; and analytical classification, 157; Blackstone’s interpretation of, 48; case-specific method of, 150; collective wisdom in, 107; and decentralized naturalistic ethics, 36n24; as delayed-action measuring device, 125; early theorists and, 55; foundation for, 163–64; Hobbes’s rejection of, 20; Holmes’s interpretation of, 47; Holmes’s transformation of, 13–14, 18; and interpretation of Constitution, 152; and judicial authority, 56; and law and morals, 114; and legal indeterminacy, 27; and maturing lines of precedent, 146; modification of, 115; objective standard of liability in, 148; perspectives on, 55; pervasive collective wisdom in, 108; philosophy of, ix; privilege and, 126; reason in, 49; role for judges in, 35; Scalia’s view of, 13, 153, 166–67, 168; skepticism of moral terminology in, 102–3; and statutory construction, 167; in statutory context, 140n7; and textualism, 13; theory of, 16, 85; as theory of public inquiry, 156; and timing for, 164 The Common Law (Holmes), ix, 8, 14, 19, 54, 60, 80, 85, 88, 92, 119, 157; Beadel decision cited in, 78; deficiencies of, 15; Dicey’s comments on, 12, 86; essay on common carriers in, 121; experience vs logic in, 111, 120; negligence in, 89; on premature judicial intervention and resolution, 15; reaction to, 160; reviews of, 10, 93; theory of liability in, 81, 82 common law method, 166; as approach to constitutional interpretation, 152–53; as case-specific inquiry, 19; elements of, 141; revision of, 163; and textual interpretation, 164–65 common law theory, 18; classical, 59, 90; compared with legal positivism, 29; critical inquiry in, 34–35; early articulation of, 56; Holmes’s, 166; supreme legal authority in, 40 Commonwealth v Churchill et al., 140n7, 165, 167, 169 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg Printer: cupusbw 521 86650 Index communitarianism, 174 community inquiry: and common law, 163; concept of, xi community standards: and constitutional liability, 151; judicial deference to, 161; in jury determinations, 158; and legal interpretation, 172 competition, free, 129, 131–32 The Concept of Law (Hart), 38, 112, 113 conceptualist tradition, opposition to, 122–23 conduct, from moral to external standards of, 58 See also standards confessions, forced, 175 conflict: and common-law rule making, 161; Holmes’s response to, 138; between legislative and constitutional rights, 147; and role of law, 53; social, 111 consensus, revisable formation of, 108 consequentialist theory of law, 152n39 Constitution, U.S.: and judicial process, 3; and judicial review, 153n44; and legal tradition, 174 See also specific amendments constitutional adjudication, derived from common law, 17 constitutionalism: and common law, 139, 152–53; and economic theory, 149; popular, 139 constitutional jurisdiction, expansion of, 45 constitutional language, 116 constitutional law: in England, 48–49; Holmes’s approach to, 34; and public controversy, 140–41; values in, 175–76 constitutional liability, community standard and, 151 See also liability constitutional rights, 106; emerging consensus to, 174; and legislative rights, 147; limited, 151; as matters of degree, 142; popular foundation for, 174 constitutional theory, Holmes’s, 152n39 contextualists, 12 See also textualism contract: evolution of legal relations from status to, 57; free, 129 September 26, 2006 197 contract law: and liability theory, 93; state law limiting, 149, 150 Corwin, Edward S., 144, 145, 153 criminal cases, protection of defendants in, 155 criminal law, and liability theory, 93 critical inquiry, law as, 34 culpability, and liability, 83 See also liability custom, notion of: Austin’s view of, 68; in common law, 48, 49, 53; Hale’s definition of, 53–54; Holmes on, 68; in jury determinations, 90; and process of rule making, 109–10 cynicism, and skepticism in law, 108 See also skepticism Darwin, Charles, 42, 64, 105 Darwinian evolution, 94 Davidson, Thomas, 62n5 Davidson v Board of Administrators of New Orleans, 143 decision making, case-specific method of, 103 See also judicial decisions De Jonge v Oregon, 155 democratic inquiry, Dewey’s theory of, 109 democratic theory, central government in, 54 Descartes, Ren´e, 63 determinism, assumption of judicial, Dewey, John, 34, 37, 44, 53, 109; anti-Cartesianism of, 43; on legal process, 30–31; on nature of law, 26 Dialogue (Hobbes), 46–47, 51–52 Dicey, Albert Venn, 10, 12, 16, 21, 22, 86, 93 dispute, and role of law, 53 dissenting opinions, value of, 146 due process, 136, 147; as common law concept, 153; development of substantive, 145; and enforcement of law, 145; expansion of, 156; federal, 143; and state regulation, 144 due process clause, analysis of, 144 Durkheim, Emile, x duty, concept of, 71; Austin’s preference for, 66–67; Holmes on, 67–70; and legal classification, 72, 75 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg 198 Printer: cupusbw 521 86650 September 26, 2006 Index Dworkin, Ronald, 4, 6, 13, 18, 58, 65, 98, 129, 135, 150, 173; on law and morals, 113; and legal indeterminacy, 115; on legal positivism, 96; on pedigree of legal rules, 112 economic theory: general propositions of, 149; laissez-faire, 106 Emerson, Ralph Waldo, 42, 43 eminent domain, right of, 141 employees, rights of, 127 England: common law in, 176; sixteenth-century, 163; seventeenth-century, 54, 55; eighteenth-century, 55 Erie Railroad v Tomkins, 166 eternal principles: Holmes on, 101; judges’ reliance on, 107 See also principles ethical standards, and law, 88 See also law and morals; standards Europe, “common law” of, 19 Everett, C C., 62n5 evolutionary theory, Holmes’s, 94, 94n35 experience, in law, 120 expository tradition, 71n36 externalizing standards, universal theory of, 126 See also liability Fairness vs Welfare (Kaplow and Shavell), fallibilism, 47, 110n26 federal courts, controlling nominations to, See also Supreme Court, U.S Fifth Amendment: due process clause of, 141, 143; jurisdiction of, 176 First Amendment, jurisdiction of, 176 Fisch, Max, 41 Fiske, John, 62n5 flag salute case, 1943, folcright, 48 foresight: and liability, 88–89; test of, 91 Fourteenth Amendment, 15, 15n14; and constitutional restraint, 117; due process clause of, 25, 139, 141, 143, 146, 147; and free speech, 155; judicial inquiry under, 163; jurisdiction of, 176; language of, 154; and personal rights, 154; reading substantive content into, 142; state regulatory laws challenged under, 151n36; word “liberty” in, 150 Frankfurter, Felix, 4, 5, 101 fraud, 90–91 free contract: and common law, 129; rights of, 129 free speech: clear and present danger test for, 176; and Fourteenth Amendment, 155 Freund, Paul A., ix, 2, 156, 157 Friedman, Lawrence, 55 Fuller, Lon L., 31, 38, 44, 113, 160; challenge to Hart of, 65; on moral principles and abstract rights, 58 Gilmore, Grant, 138n3 Gitlow v New York, 155 Glendon, Mary Ann, 13 Grant, Ulysses S., 18 Gray, Asa, 64 Gray, Horace, 137 Gray, John Chipman, 15 Green, Nicholas St John, 11, 62, 62n5, 64; as influence on Holmes, 104; on liability for personal injury, 68 Greenhouse, Linda, 12 Grutter v Bollinger, 2, 2n3 guilt, Austin’s use of term, 88, 88n18 Hale, Sir Matthew, 18, 48, 85, 102–3; on custom, 53–54, 69; on duty vs rights, 68; and Hobbes’s view of common law, 50–51; Reflections, 50, 51, 52–53, 65, 102–3, 111 Hamilton, William, 42, 63 Hand, Learned: and free speech in time of war, 4; on Supreme Court jurisdiction, harm, foreseeability of, 88–89 Hart, H L A., ix, 4, 16, 18, 29, 30, 58, 164–65; The Concept of Law, 113; Dworkin’s attack on, 113; and legal indeterminacy, 115; on legal language, 51; on legal rules, 70; positivism of, 44, 96, 112, 171; revival of legal positivism by, 37; “Rule of 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg Printer: cupusbw Index Recognition” of, 97, 98; and separation between law and morals, 96–97, 171n1 Hartshorne, Charles, 63n5 Harvard Law School, 13, 60 Harvard Law School Association of New York, 135 Hayek, F A., 16n15, 160 Hegel, Georg Wilhelm Friedrich, 87 Hegelian logic, 173 Hemenway, Albert, 137 Henningsen v Bloomfield Motors, Inc., 112, 129, 150; 113, 114, 114n33, 115 Herget, James, 77, 159 The Hidden Holmes (Rosenberg), 24 history: and codification, 57; common law in, 173; judicial decisions in, 23; judicial role in, 35; and legal analysis, 92; and legal classification, 82; of legal precepts, 173; legal rules in, 28; liability in, 83, 84 Hobbes, Thomas, ix, 12, 16, 18, 85, 94, 95, 96, 102; command vision of law of, 39, 111; compared with Holmes, 20; on custom and practice, 53, 69; Dialogue, 46–47, 51–52; on duty vs rights, 68; and law and morals, 87; legal theory of, 19; positivist theory of law of, 35–36, 58, 96; on reason and authority in law, 46, 51–52; sovereign perogative defended by, 65, 66; on sovereignty and boundary of law, 69; on supreme legal authority, 40; Willey on, 23 Hobbesian tradition, 87 Holmes, Fanny Dixwell, 10, 11 Holmes, Oliver Wendell, Jr.: academic career of, 11, 13, 14n9, 81, 120–21 on evolutionary theory, 94n35 journal of reading of, 81 judicial career, 24–25; appointed to SJC, 11, 118; in legal practice, 80; Lochner v New York, 17 judicial method of, 164 judicial philosophy of, 4, 37 language of, 33 legacy of, 7, 157–70 521 86650 September 26, 2006 199 legal views of: on common law, 27–28; conflict in, 21–22; constitutional law tradition, 18; deference to sovereign power, 37; on growth of law, 31; and Hobbesian tradition, 22; on indeterminate cases, 32; law as critical inquiry, 34; on negligence, 76–77; on process-orientation of law, 92; role of timing in, 3; on sovereignty, 65; on standards of liability, 79 Lowell Lectures, 19, 64, 91, 92 personal characteristics of, 6–7, 138, 162 personal life of: at Harvard College, 43; intellectual influences on, 11n4; marriage of, 10; military career, 17–18 philosophical views of: as bet-abilitarian, 42; holistic pragmatism, 43; influences on, 11n4, 14n9, 36n24, 38–44, 40n33, 50n18, 62–64, 94n35, 110n26, 171n1; pervasive skepticism, 23; and pragmatism, 14, 38–39, 43, 43n41, 62–64; on timing in judicial decisions, recent publications about, xi reputation of, 12, 157; as being doctrinaire, 24; controversies surrounding, 16; as late Hobbesian positivist, 22; roller-coaster path of, 17 scientific views of: and communal inquiry, 96; and evolutionary theory, 94n35; “Law in Science and Science in Law” (Holmes), 132 skepticism of, 4, 95, 101–2, 159, 160; about principles, 59; and social inquiry, 107 speeches of: “The Path of the Law,” 37 tenure of, 157 writings of, 25, 67, 119; “The Arrangement of the Law: Privity,” 72; article on privilege, 128; “Codes, and the Arrangement of the Law,” 67; The Common Law, ix, 85, 86, 88, 89, 92, 93, 111, 119, 121, 157, 160; early, 19, 47, 59; essay on common carriers, 121; essay on “Possession,” 105; essays on analytical reasoning, 21; historical process in, 82; 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg 200 Printer: cupusbw 521 86650 September 26, 2006 Index Holmes, Oliver Wendell, Jr.: (cont.) “Law in Science and Science in Law” (Holmes), 173; letters, 61; “The Path of the Law,” x, 8, 37, 38, 41, 45, 119, 133, 160; “Primitive Notions in Modern Law,” 81, 84, 87, 122; “Privilege, Malice, and Intent,” 118, 126, 128, 130, 132; separation of law and morals in, 36–37; “The Theory of Torts,” 71, 75, 83, 84, 108, 120; “Trespass and Negligence,” 88, 161 Horwitz, Morton, 24, 93, 118, 122, 124, 133 Hough, Charles M., 144 Hudson County Water Co v McCarter, 137, 141–42, 151 Hume, David, 16n15, 41n33, 63 indeterminate cases, 32–33 See also legal indeterminacy innocence, Austin’s use of term, 88, 88n18 inquiry, naturalistic theory of, 56 intention: in law of possession, 105–6; as legal malice, 91 interest balancing, judicial, 117 internal analysis, notion of, 64 international community, and juvenile executions, “interstitial legislation,” 98 “irreconcilable desires,” 123, 127 See also social desires James, Henry, 10, 11, 62 James, William, 4, 14, 41, 42; Holmes’s friendship with, 10, 11; influence on Holmes of, 104; and Metaphysical Club, 43, 43n41, 62, 64 judges: as autonomous policy makers, 121; business men appointed as, 88; and common law, 56; policy articulated by, 117; and questions of policy, 132; sovereignty of, 134, 135 judicial consensus, gradual development of, 161 judicial decisions: influence of policy on, 119; law as prediction of, 133n36; and legal indeterminacy, 27; and policy considerations, 121–22; role of timing in, 1; text as dominant for, judicial determinism, assumption of, 97–98 judicial inquiry, redefining, 161 judicial interpretation, and social desires, 135 judicial power, limits of, judicial reconsideration, phenomenon of, 131 judicial responsibility, 78 judicial restraint, xii; activism and, 33; basis for, ix; and civic consensus, 174; and collective inquiry, 110; as critical inquiry process, 8; evolution of, 45; Holmes’s approach to, 37, 125, 171; Holmes’s understanding of, 122; and public standards, 175–76; and reform, 4; and theory of common law, 19 judicial review, Marshall’s notion of, 153–54 judicial rewriting, and history, 167 judicial role, interpretations of, 98 judicial selection, politicization of, 19 judicial supremacy, question of, 35 jurisprudence, Holmes’s course of lectures in, 120–21 jury determinations: and community standards, 161; law derived from, 98 jus commune, 48 Kames, Lord, Henry Home, 40n33 Kant, Immanuel, 63, 105, 106 Kaplan, Benjamin, 82, 93, 94n34 Kaplow, Louis, 7, Kelley, Patrick J., 11, 93, 126, 152n39, 158 Kelsen, Hans, 18 Kent, Chancellor James, 154, 159 Kent’s Commentaries on American Law, 173; Holmes’s editorship of, 4, 13, 60; Holmes’s revision of, 10, 21, 38 Kramer, Larry D., 5, 154 Kuhn v Fairmont Coal Co., 166 Kuklick, Bruce, 12n4 labor: and state regulation, 148; struggle with business of, 119, 120 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg Printer: cupusbw 521 86650 Index labor cases, controversial dissents in, 137–38 laissez-faire economic theory, in constitutional due process, 106 last wrongdoer doctrine, 126n20 law: breadth of, 30; centralized view of, 95; command definition of, 52, 58; and conflicting convictions, 7; conscious determination of, 132; consequentialist theory of, 152n39; continuum of, 119; and determinate boundaries, 157; evolutionary paradigm for, 159; growth of, 31–32; historical studies of, 83; history of legal precepts in, 173; Hobbesean view of, 17, 36; liability in, 84; as logical system, 87; in mid-twentieth century, 59; naturalistic historical foundation for, 87; ontology of, 26, 44, 64, 99; positivist model of, 26–27; as prediction of judicial decisions, 133n36; as process-oriented, 92; as social phenomenon, 26; source of, 47 See also liability “Law and Command” (Pollock), 70 law and morals, 171; Austin’s separation of, 160; in contemporary legal philosophy, 172; debate over, 113; in history, 160; and judicial power, 114; and legal positivism, 133n36; principles and, 112–13, 114; separation of, 111, 159; terminology in, 104 The Law in Quest of Itself (Fuller), 38 “Law in Science and Science in Law” (Holmes), 132, 173 Law without Values (Alschuler), 17 Lectures on Jurisprudence (Austin), ix, 66, 72, 112 legal classification: alternative understanding of, 159; and analytical positivism, 77; Austin’s contribution to, 64, 72; based on duty, 75; and codification, 57; Holmes’s interest in, 67–68; Holmes’s six divisions for, 73; and negligence, 76–77 legal concepts, Holmes’s perception of, 58 September 26, 2006 201 legal controversy, and constitutional interpretation, 16 legal indeterminacy, 44; forcing judicial action, 115–16; positivist, 27, 27n3 legal positivism, xii, 96; classic form of, 58n39; compared with common law model, 29; emergence of, 54; and law and morals, 133; metaphorical space in, 29–30; “might makes right” in, 97; opposition to, ix, x; purpose and meaning of, 115n36 See also positivism legal positivists, “inclusive” and “exclusive,” 114 legal rationality, debate over, 14 legal realism, Holmes’s, 69 legal reasoning, Hobbes on, 20 legal theory, ix; “bottom-up,” 19; common law as, 13; consistency in, 39; Holmes’s unorthodox, 11; positivist, 27; rejection of individual subjective judgments in, 40; and scientific inquiry, 110 legislation: judicial interference with, 5; medieval notion of, 49n8; relation to common law, 48 legitimacy: and common law method, 35; positivists’ view of, 36 Lehuerou, Julien Marie, 82 Leiter, Brian, 27n3 Leviathan (Hobbes), 102 lex scripta, 48 liability: constitutional, 151; emergence of standards of, 79; evolutionary theory of, 87; external standard of, 19; historical views of, 84; and moral terminology, 104; from moral toward external standards of, 58, 81, 82–83, 87, 92, 158; objective standard of common law, 148; and policy considerations, 123–24; and “prudent man” standard, 89–90; and revenge, 92; strict, 25; subjectively based, 158, 159; test of, 88; vicarious, 74 liability, Holmes’s general theory of, 71, 78, 82; extension of, 92–93; historical insight in, 82 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg 202 Printer: cupusbw 521 86650 September 26, 2006 Index liberalism: Holmes’s association with, 138n3; principles of, 174 Liberalism and the Limits of Justice (Sandel), 174 Lincoln v Dore, 141 line drawing: applications of, 140, 140n7; common law, 142; and common law rule making, 161; and competing policies, 125; in constitutional context, 151; difficult cases for, 146; and due process cases, 141; language of, 123–24; and police power, 142; and state regulation, 148 Lochner v New York, 45, 129, 131, 136, 139, 146, 148, 150, 151 Locke, John, 63 Lodge, Henry Cabot, 137, 138 logic: Aristotelian, 172; Hegelian, 173; and judicial questions, 120; in law, 120 Logic: The Theory of Inquiry (Dewey), 34 Long, Huey, 156 Long, John, 11 lotteries, prohibition of, 149 Lowell Lectures, 19, 64; The Common Law derived from, 92; Holmes’s evolutionary philosophy in, 91 Lyons, David, 29–30, 165 Metaphysical Club, 41, 43, 94, 104; naming of, 105; origins of, 62; topics discussed in, 64 Mill, John Stuart, 42, 43, 64 Miller, Samuel Freeman, 143–44, 145 modernism, in American legal thought, 124 moral absolutes, legal concepts implying, 91 morality: compared with external standards as basis for law, 92; customary, 160; and law, x; and positive law, 87–88; and subjectivity, 159 The Morality of Law (Fuller), 38 moral language, Holmes’s critique of, 111, 128 moral principles, status of, 58 See also principles morals: law as separate from, 36, 59; and legal decisions, 98; and legal distinctions, 7; and legal positivism, 22 See also law and morals moral sense theories, 40n33, 171n1 Morse, Robert M., 14n9 Mugler v Kansas, 145, 147, 148 Munn v Illinois, 145 Munroe, William Adams, 80 Magna Carta, 153 Maine, Sir Henry, 11, 21, 57, 58, 95, 159 maintenance: historical meaning of, 168; legislative definition of, 169 Maitland, Frederick, 95 malice, legal, 91 Mansfield, Lord, William Murray, 47, 88 Marbury v Madison, 154 Margolis, Joseph, 44 Marshall, John, 153 Massachusetts Supreme Judicial Court See Supreme Judicial Court of Massachusetts master-servant relationship, 73, 83, 84 maxims, in common law, 48 McKinley, William, 137 meanings, in law, 120 See also law “mechanical” jurisprudence, 120 Menand, Louis, 102 national conscience, and judicial decisions, Nazi laws, 59 Near v Minnesota, 155 negligence: as cause of action, 89; and concept of duty, 75–76; foreseeability of harm in, 90; Holmes’s interpretation of, 76–77, 88 negligence latiori sensu, 75 “noncognitivism,” in law and morals, 171 norms, and moral criteria, 114 See also custom Northern Securities v United States, 31, 32, 32n16, 115, 138, 139 Norton, Charles E., 62 Novick, Sheldon, 24 Oakeshott, Michael, 100–101 ontology, of law, 26, 44, 64, 99 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg Printer: cupusbw 521 86650 Index open system, law as, 26 “ordinary man,” Holmes’s view of, 138n3, 139 See also “prudent man” standard “originalists,” 15 “original understanding,” and judicial review, 154 Origin of Species (Darwin), 14, 64 Otis v Parker, 144, 147, 148, 149, 151 Parker, Joel, 14n9 Parsons, Talcott, x “The Path of the Law” (Holmes), x, 8, 37, 38, 41, 45, 119, 133, 160 Patnoude v New York, New Haven & Hartford Railroad, 123, 125, 146 Patterson v Colorado, 155 Peckham, Rufus W., 148, 150, 151 pedigree, notion of, 112 Peirce, Charles Sanders, 11, 14, 34, 38, 41, 43, 62, 64; conception of scientific inquiry of, 110; Holmes’s recollection of, 63n5; influence on Holmes of, 104; Pragmatic Maxim set forth by, 105; skepticism of, 107 Pennsylvania Coal Co v Mahon, 139, 150 The People Themselves: Popular Constitutionalism and Judicial Review (Kramer), personal rights, and Fourteenth Amendment, 154 picketing, rulings on, 127, 127n25 Plant v Woods, 130, 131, 132, 134, 150, 161 Plessy v Ferguson, 2, 155 Pohlman, H L., 17 police power: and constitutionalism, 142–43; in state regulation, 144 policy: and community standards, 120; in Holmes’s phraseology, 123; and judicial decisions, 119, 121; judicial response to, 122; standards of, 163 political theory, nature of reasoning in, 173 politics: and judicial decisions, 164; and Supreme Court decisions, Pollock, Frederick, 10, 50, 51n18, 68, 70, 81, 95, 120, 158; on Beadel decision, 78; friendship with Holmes of, 71; September 26, 2006 203 Holmes’s correspondence with, 42, 61–62, 104, 118; and legal classification, 77 popular assent, and legal interpretation, 172 popular consensus, in legal interpretation, 3, 3n8 “popular constitutionalism,” popular thought, and judicial decisions, 174 positive law, boundaries of, 65 positivism, 113; contemporary, 44, 115; defining, 22, 96–97; early articulation of, 56; inclusive, 135; limitations of, 70; nature of law in, 26; pure, 58; and separation of law and morals, 112; twentieth-century, 41 See also legal positivism positivist trap, 35 Posner, Richard A., 95 “possession,” essay on, 105 possession, law of, 105–6 possessory rights, 86–87 Postema, Gerald J., x, 49, 102, 103, 107, 158, 163–64 Pragmatic Maxim, 105, 106, 110 pragmatism: American school of, 14; Holmes’s holistic, 38–39, 43; as school of thought, 63; nineteenth-century, 110 precedents: and applicable policy, 128; common law, 165; and common law rule making, 161; and continuum of conflicting activities, 162; distinguished from interests, 117; nonstatutory lines of, 168; powers embodied in, 101; reasoning from, 168–69; reinterpretation of, 106 “Primitive Notions in Modern Law” (Holmes), 81, 84, 87, 122 principles: of Anglo-American law, 158; conflicting, 173; and continuum of conflicting activities, 162; eternal, 101, 107; Holmes on, 101; and judicial decisions, 112–13, 114, 116–17; moral, 58; in place of inquiry, 129; status of, 59 privilege, common law of, 126–27 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg 204 Printer: cupusbw 521 86650 September 26, 2006 Index “Privilege, Malice, and Intent” (Holmes), 118, 126, 128, 130, 132 privity, essay on, 72, 75 progress, and court rulings, property, constitutionally impermissible deprivations of, 141–42 The Province of Jurisprudence Determined (Austin), 61 “Proximate and Remote Cause,” 68 prudence: external standard of, 163; standards of, 163; test of common, 158 “prudent man” standard, 41n33, 88, 89–90, 108, 125 public inquiry, 170; common law as theory of, 156; theory of, 146 public policy: in jury determinations, 121; reason in, 109 public pressure, of controversies, 145 public standards, and judicial restraint, 175–76 racial segregation, 59 Rawls, John, 174 Raz, Joseph, reason: in common law, 49; and common law tradition, 108; and experience, 85; Holmesean, 109 reasonable man standard, 108, 158 See also “prudent man” standard reasonableness, subjective test of, 147 reasoning: in political theory, 173; from precedent, 168–69 reconciling cases: after series of determinations, 28; in common law theory, 34 Reconstruction Congress, 15n14, 155 refinement, process of, 103 Reflections by the Lord Chiefe Justice Hale on Mr Hobbes his Dialogue of the Lawe (Hale), 50, 51, 52–53, 103, 111 “reflective equilibrium,” 174 Reimann, Matthias, xi–xii restraint, notion of, 110 See also judicial restraint retrospective generalization, Holmes’s model of, 163 Rhenquist Court, 12 Richardson, Elliot L., x Rideout v Knox, 141 Riggs v Palmer, 112, 113, 114, 114n33, 115, 129, 150 rights: Austin on, 66–67; conflicts between legislative and constitutional, 147; Holmes on, 67–68 Roberts, Owen J., 156 Roe v Wade, Roosevelt, Franklin Delano, 101 Roosevelt, Theodore, 24, 119, 137, 138–39 Roper v Simmons, 2–3 Rosenberg, David, 24, 81 Sandel, Michael J., 174 Scalia, Antonin, 3, 10, 44, 52, 173; A Matter of Interpretation, 165; on common law, 10, 12, 47, 121, 153, 166–67, 168; and independent judiciary, 167; and statutory interpretation, 55, 166–67; as textualist, 13, 168 science, Holmes’s view of, 96 Scottish Enlightenment, 11, 14, 36n24, 41n3 Scottish realism, 63 self-education, Holmes’s work as, 60 servant, legal status of, 73 See also master-servant relationship Shattuck, George, 11, 80 Shavell, Steven, 7, Sherman Act, 32, 138, 139 Simpson, A W B., 55 skepticism: about law’s formation and usage, 21, 23; of analytical classification, 157; and biases, 101; of doctrinal certainty, 103–4; of empty abstractions, 145; of first impressions, 103; Holmes’s, 102; and social inquiry, 107 Slaughter-House Cases, 144–45 Smith, Adam, 41n33 social advantage: as emphasis on policy, 120; of law, 39 social conflict, recognition of, 111 social context: embedded in law, 16, 163; and judicial decisions, 1, social desirability, notion of, 175 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg Printer: cupusbw 521 86650 Index social desires: and conflict, 134; and judicial interpretation, 135 social mores, law and, 160 social welfare legislation, judicial invalidation of, society, and law, 58 sovereignty: boundary linked to, 66; debate over, 67; deference to, 40; issue of, 65 special interests: and judicial decisions, 116–17; and policy, 126; and precedent, 117 specification: Holmes’s notion of, x; process of, 94n34 speech See free speech Spencer, Herbert, 42 Stack v New York, 175, 175n8 standards: community, 151, 158, 161, 172; developing and changing, 95; and jury determinations, 159n7; and legal interpretation, 172; objective, 139; of policy, 163; universal theory of externalizing, 126 standards of prudence, and burden of injury, 134 See also “prudent man” standard stare decisis, 56, 168, 169 state legislation: and Supreme Court, 151; and Fourteenth Amendment, 139 state power: centralized view of, 95; and due process, 144; law and, 160 state regulation: constitutional deprivation by, 142–43; Fourteenth Amendment challenging, 151n36 statutes: in common law, 48, 56–57; custom and, 69; in mid-nineteenth century, 56 statutory law, interpretation of, 165–66 Stephen, James F., 51n18 Strauss, David A., 152, 153, 163 “strict construction,” 13 subjectivism, and law, 36 substantial damage, 33 succession: law of, 86; problem of legal, 73 “successive approximation,” 88, 103; and common law, 109; Holmes’s view of, 39; and negligence liability, 89; process of, 28 Sunday laws, 149 September 26, 2006 205 Sunstein, Cass, 28, 125 supremacy, assumption of judicial, Supreme Court, U.S.: challenges to state law before, 143; Holmes’s appointment to, 24; laissez-faire conservatives on, 151n36 The Supreme Court and the Idea of Progress (Bickel), 172 Supreme Judicial Court (SJC) of Massachusetts, 8, 11; Holmes’s appointment to, 118; Holmes as Chief Justice on, 137; Holmes on, 119; same-sex marriage decision of, surrender: law of, 83; money as alternative to, 85; and tort liability, 86 Swift v Tyson, 166 synchronic entity, law as, 59 Taking Rights Seriously (Dworkin), 6, 98 Taking the Constituion Away from the Courts (Tushnet), Tasker v Stanley, 126 taxonomic analysis, law as, 59 teleology, judicial, 45 terminology: in moral law, 104; moral overtones of legal, 91; of morals, 92 textualism, 13; absolute, 170; in judicial decisions, 29; as judicial guide, 6; Straus on importance of, 153 textualists, 12 texture: openness of, 165; open texture cases, 30 Thayer, James Bradley, 4, 5, 11, 21 “The Theory of Torts” (Holmes), 71, 75, 83, 84, 108, 120 “time for law,” 164 timing: Holmes’s legal sense of, 33; judicial, 175; in judicial self-restraint, 72 Transcendentalism, 63 “transparency,” in judicial opinions, 23 “Trespass and Negligence” (Holmes), 88, 161 Tribe, Laurence, 13 Truax v Corrigan, 146 Tushnet, Mark, 5, 119, 121 18:18 P1: FCW 0521866502ind CUNY525B/Kellogg 206 Printer: cupusbw 521 86650 September 26, 2006 Index Twentieth Massachusetts Regiment, 14n9, 18 Vetter, Jan, 82 vicarious liability, doctrine of, 74 uncertainty: and judicial intervention, 33; and skepticism in law, 107 union action, and courts, 130–31 union workers, rights of, 127 Unitarianism, 63, 64 universals, Holmes’s critique of, 78n53 usury laws, 149 utility: theory of, 66; utilitarian reform, 87, 111 Warner, Joseph B., 62, 62n5 Warren, Earl, 155 Washburn, Emory, 14n9 Western Europe, philosophers of, 23 Whewell, William, 42 White, G Edward, 93, 101, 158 White, Morton G., 37–38 Wiener, Philip, 105 Will, Frederick L., 115n33 Willey, Basil, 23 Wood, Gordon S., 13, 167 Wright, Chauncey, 11, 12n4, 14, 38, 43, 44, 62, 63, 68, 105; critique of teleology of, 45; early influence of, 41–42, 104; and scientific knowledge, 64 Wright, Horatio, 18 values: and judicial decisions, 113–14, 116; law without, 59; moral, 98–99 Vegelahn v Guntner, 127–28, 129, 129n29, 130, 131, 134, 149, 161 vengeance: and ancient liability, 84; and theories of liability, 92 18:18 ... CUNY525B/Kellogg Printer: cupusbw 521 86650 September 26, 2006 Oliver Wendell Holmes, Jr. , Legal Theory, and Judicial Restraint Oliver Wendell Holmes, Jr. , is considered by many to be the most influential... Printer: cupusbw 521 86650 September 26, 2006 Oliver Wendell Holmes, Jr. , Legal Theory, and Judicial Restraint FREDERIC R KELLOGG iii 19:2 cambridge university press Cambridge, New York, Melbourne, Madrid,... Justice Oliver Wendell Holmes (Cambridge, Mass.: Belknap Press, 1962), 168 19:14 P1: FCW 0521866502c01 CUNY525B/Kellogg Printer: cupusbw 521 86650 September 26, 2006 Holmes, Legal Theory, and Judicial