I. Introduction
It is conventional to distinguish between an old liberalism, with a robust conception of private property and a limited role for government in the economy, and a new liberalism that permits government to override individual property rights in the pursuit of the general welfare. The New Deal of the 1930s is often taken to mark the dividing line between these two forms of liberal governance in the United States. This essay complicates the conventional narrative in three ways. First, property rights form only one out of several ways in which the scope of government may be limited, and these different dimensions of limited government interact, conceptually and in the history of the United States, to form a more variegated typology of regimes. Second, when we focus on property rights through the magnifying lens of Fifth Amendment takings clause jurisprudence,1
The takings clause of the Fifth Amendment states: “nor shall private property be taken for public use, without just compensation.” As we shall see, much depends on the interpretation of the phrase “public use.”
Protecting individual property-holders against expansive state powers of eminent domain would require the Court to overrule more than a century of settled case law and to develop a new conceptual architecture for distinguishing between legitimate and illegitimate takings. Any such effort, however, runs into a structural conundrum: while categorical restraints on state power limit government's ability to promote important public purposes, an explicitly purposive approach renders all limits on governmental power (including individual rights) vulnerable to an aggregative calculus. The tension between deontological and consequentialist moral theories thus is mirrored in competing conceptions of government's purposes and limits. The most plausible response, I argue, is a two-tiered approach: respect for legally established categories in ordinary circumstances, regardless of their aggregate consequences, and consequentialism in circumstances of emergency, when the lives or basic well-being of citizens are at stake. Judged against this template, the consequentialism guiding modern takings clause jurisprudence in ordinary, nonemergency circumstances is hard to justify.
II. Liberalism as Limited Government
From a philosophical and conceptual point of view, liberalism is a doctrine not of the structure of governmental decision making or of the substance of governmental decisions, but rather of the scope of governmental power. Any genuinely liberal theory must offer an account of limits to public power. It is John Stuart Mill's harm principle that makes him a liberal, not his man-as-a-progressive-being account of human flourishing.2
John Stuart Mill, On Liberty, ed. Currin V. Shields (Indianapolis, IN: Bobbs-Merrill, 1956), chap. 4.
John Rawls, A Theory of Justice (Cambridge, MA: Harvard University Press, 1971), section 11.
I do not want to suggest that liberalism is only about limited government. Historically, it has also involved assertions of basic human equality and efforts to liberate individuals and socioeconomic relations from the oppressive weight of ascribed characteristics and unchosen bonds. On the individual level, this has entailed faith in human agency in circumstances of reasonably equal opportunity; on the socioeconomic level, it has entailed confidence in the efficacy of robust markets and freedom of association.
In trying to parse possible differences between the “old” liberalism and the “new” liberalism, however, the issue we must keep in view is the nature and extent of limits on government. Here disagreements pervade the history of liberal thought and continue to the present day. In the U.S. context, the canonical type of position draws from the theory enunciated in the Declaration of Independence: governmental powers are doubly limited, by rights that individuals cannot alienate and by the parameters of public agreement. The Declaration famously declares that governments “deriv[e] their just powers from the consent of the governed,” by which it means that the exercise of governmental power beyond the bounds of that consent is presumptively illegitimate.
As in the broader history of liberalism, the development of limited government in the United States owes much to controversies over relations between church and state. In 1785, James Madison published his “Memorial and Remonstrance” against a proposed Virginia statute to publicly fund teachers of Christianity. The language of this influential defense of rights of religion and conscience against state authority is remarkable (and radical) enough to merit extended quotation:
It is the duty of every man to render to the Creator such homage and such only as he believes to be acceptable to him. This duty is precedent, both in order of time and degree of obligation, to the claims of Civil Society. Before any man can be considered as a member of Civil Society, he must be considered as a subject of the Governour of the Universe: And if a member of Civil Society, who enters into any subordinate Association, must always do it with a reservation of his duty to the General Authority; much more must every man who becomes a member of any particular Civil Society, do it with a saving of his allegiance to the Universal Sovereign. We maintain therefore that in matters of Religion, no man's right is abridged by the institution of Civil Society and that Religion is wholly exempt from its cognizance.4
James Madison, “Memorial and Remonstrance Against Religious Assessments,” paragraph 1, available online at http://religiousfreedom.lib.virginia.edu (accessed March 16, 2006).
Madison's efforts to secure religious authority against state power continued at the national level during the early constitutional period. Indeed, two of the amendments that Madison drafted for inclusion in the Bill of Rights, one of which would have been binding on the states, made explicit reference to “rights of conscience.” The idea of a robust right of conscience as protection against otherwise legitimate state acts has reemerged episodically throughout the history of U.S. jurisprudence, most notably in cases involving Jehovah's Witnesses and conscientious objectors to military service.5
The leading case involving Jehovah's Witnesses is West Virginia v. Barnette, 319 U.S. 624 (1943), in which the Supreme Court held that school-age Witnesses could not be compelled to salute and pledge allegiance to the flag as a condition of attending public school. The most significant cases expanding conscientious objection beyond the bounds of traditional religion are United States v. Seeger, 380 U.S. 163 (1965), and Welsh v. United States, 398 U.S. 333 (1970).
III. Two Kinds of Limits on Government, Four Public Philosophies
Since the onset of corporate industrialization in the decades following the Civil War, the debate over limits to governmental power has taken the form of an interplay between two baskets of rights, which I will call property rights and privacy rights (the latter are sometimes referred to as rights of autonomy or personal security). This dyad generates four ideal-typical alternatives, each of which finds a rough analogue in American politics and jurisprudence. Strong property rights coupled with weak privacy rights yield mainstream conservatism. Strong property rights and strong privacy rights yield classical liberalism (also called libertarianism). Weak property rights and weak privacy rights yield Progressivism, which shaped the thought and policies of the early New Deal. Finally, weak property rights combined with strong privacy rights are the hallmark of contemporary liberalism. Each of these ideal-types embodies a form of philosophical liberalism—that is, an element or elements of limited government—a fact obscured by contemporary political terminology.
Of these four tendencies, which have done so much to shape U.S. politics since the 1890s, the Progressivism that originated in the late nineteenth century and bestrode the landscape like a colossus during the 1930s and 1940s is arguably the weakest today. The two dominant groupings, mainstream conservatism and contemporary liberalism, contend with one another across the full range of property and privacy issues. For their part, a small but hardy band of libertarians makes common cause with conservatives on issues involving property rights, such as regulation and the interpretation of the takings clause of the Fifth Amendment, and joins with liberals on issues involving privacy rights—those often thought to be threatened by the USA PATRIOT Act, for example.6
This act, passed in late 2001 in the wake of the September 11 terrorist attacks on the United States, significantly expanded the power of the U.S. government to discover terrorist activities and deter future attacks. The enhanced ability of the government to gather information about individuals raised fears about invasion of privacy and abridgement of civil liberties.
These categories help illuminate changing patterns of U.S. Supreme Court decisions. Beginning in the 1890s, the Court deployed a broad construction of property rights against the states while leaving political and civil liberties under the aegis of the states' power—a jurisprudential strategy that reached its peak in the famous (for some, infamous) 1905 decision in Lochner v. New York, which struck down New York State's efforts to limit the number of hours employers could require their employees to work.7
Lochner v. New York, 198 U.S. 45 (1905).
In 1920, for example, the case of Gilbert v. Minnesota came before the Supreme Court.8
Gilbert v. Minnesota, 254 U.S. 325 (1920).
I have difficulty believing that the liberty guaranteed by The Constitution, which has been held to protect [a wide property right], does not include liberty to teach, either in the privacy of the home or publicly, the doctrine of pacifism…. I cannot believe that the liberty guaranteed by the Fourteenth Amendment includes only liberty to acquire and to enjoy property.9
Id. at 343 (Brandeis, J., dissenting).
Over time, the Court's unwillingness to abandon its doctrine of broad economic rights helped create the basis for a broader understanding of constitutionally protected and enforceable liberties. Consider the controversy sparked by a Nebraska law which, reflecting the nativist passions of the World War I era, prohibited instruction in any modern language other than English. Acting under this statute, a trial court convicted a teacher in a Lutheran parochial school for teaching a Bible class in German. In Meyer v. Nebraska (1923), the Supreme Court struck down this law as a violation of the Fourteenth Amendment's liberty guarantee.10
Meyer v. Nebraska, 262 U.S. 390 (1923).
Id. at 401.
Two years later, in Pierce v. Society of Sisters, the Supreme Court rejected the right of a public authority (in this case, the state of Oregon) to require all parents within its jurisdiction to send their children to public schools. In justifying its stance, the Court declared: “The fundamental theory of liberty upon which all governments in this Union repose excludes any general power of the State to standardize its children by forcing them to accept instruction from public school teachers only. The child is not the mere creature of the State; those who nurture him and direct his destiny have the right, coupled with the high duty, to recognize and prepare him for additional obligations.”12
Pierce v. Society of Sisters, 268 U.S. 510 (1925), at 535.
Id. at 534; emphasis mine.
It is not far-fetched to think of the 1920s as a brief quasi-libertarian moment (perhaps the only one) in the history of U.S. constitutional jurisprudence, a period in which key Supreme Court decisions affirmed both strong property rights and a range of immunities against governmental intrusion into personal and family life. The theory of liberty enunciated in Meyer and Pierce pointed in both directions simultaneously. Some who understood these consequences rejected the underlying principle. For example, while still a law professor, the ardent Progressive Felix Frankfurter inveighed against Pierce when the decision was first handed down, on the grounds that a Court that deployed fundamental principles of liberty against state regulation of education could deploy comparable principles against state regulation of the economy. If you like Pierce, Frankfurter's reasoning went, you must accept Lochner. For Frankfurter and other Progressives, that was a cost that outweighed the gains.14
Felix Frankfurter, “Can the Supreme Court Guarantee Toleration?” The New Republic 43 (June 17, 1925): 85.
Progressives did not have to wait long to turn the tables. The radical social critic Randolph Bourne once remarked that “war is the health of the state.” The Progressivism that reached its apogee in the decade following Franklin D. Roosevelt's accession to the presidency in 1933 perfectly illustrates Bourne's point. The Great Depression, the only peacetime equivalent of war in American history, flowed directly into the real thing. The same Supreme Court that sustained the constitutionality of the New Deal's economic legislation15
During the early years of the New Deal, the Court struck down basic building blocks of the Roosevelt administration's economic recovery efforts. In A. L. A. Schechter Poultry Corp. v. United States, 295 U.S. 495 (1935), the Court invalidated significant portions of the National Industrial Recovery Act. In United States v. Butler, 297 U.S. 1 (1936), the Court set aside the Agricultural Adjustment Act of 1933. In Carter v. Carter Coal Co., 298 U.S. 238 (1936), the Court struck down the Bituminous Coal Conservation Act of 1935. And in Railroad Retirement Board v. Alton R.R., 295 U.S. 330 (1935), a closely divided Court held that this legislation exceeded Congress's constitutional power to regulate interstate commerce.
These efforts angered the Roosevelt administration, which responded by proposing a Court “reorganization” plan, which would have allowed the president to nominate a number of new justices without waiting for the death or retirement of sitting justices. Perhaps in response to this threat, a slim majority of the Court began upholding New Deal legislation that rested on a more expansive reading of the commerce clause. The lead cases of this new judicial era include NLRB v. Jones & Laughlin Steel Corp., 301 U.S. 1 (1937), which put the stamp of constitutionality on the National Labor Relations Act of 1935; United States v. Darby, 312 U.S. 100 (1941), which upheld the Fair Labor Standards Act of 1938; United States v. Wrightwood Dairy Co., 315 U.S. 110 (1942), which sustained the Agricultural Marketing Agreement Act of 1937; and Wickard v. Filburn, 317 U.S. 111 (1942), which upheld the Agricultural Adjustment Act of 1938, thereby sustaining the kinds of measures struck down six years earlier in Butler.
Korematsu v. United States, 323 U.S. 214 (1944) is the most important and best known of the three Supreme Court decisions on this issue.
Pushed to an extreme, this argument converges with the Vietnam-era claim that it was “necessary to destroy this village in order to save it.” Nonetheless, a serious philosophical issue lurks beneath the history: Should we understand the rights that limit government as inviolable regardless of circumstances, or rather as aspects of an overall system of goods and values that public power seeks to enhance? (This issue is what Robert Nozick had in mind when he distinguished between rights as side-constraints and a utilitarianism of rights.)17
Robert Nozick, Anarchy, State, and Utopia (New York: Basic Books, 1974), 28–30.
While Black never incorporated precisely this sentence into a Court decision, he repeated “‘No law’ means ‘no law’” many times during oral arguments and elsewhere. See Michael C. Dorf, “The Supreme Court's Cell Phone Decision: An Unusual Balancing Act by the Court,” May 30, 2001, at http://findlaw.com.
This is an important disadvantage, I would argue, because of the pluralist nature of value. On this account, genuine goods are heterogeneous, lacking either a common measure of value or a once-and-for-all internal ordering. There may be good reasons to prefer certain goods to others in specific circumstances; there may be strong presumptions in favor of certain goods that only the weightiest considerations can rebut; but there are no goods that dominate all others in every circumstance, come what may. Societal decisions represent an endless series of contestable judgments about the most sensible and sustainable balance to be struck among values that compete with one another, at least in the real world.
Because constitutions have the same underlying moral structure as social life, similar considerations apply. Every constitution establishes a sphere of plural goods and values containing latent tensions that invariably emerge in the course of application to specific circumstances. This is a principal source of hard cases, which no theory of constitutional interpretation can eliminate. If judging were a matter of measurement, a sufficiently well-programmed machine could do it. But it isn't. It is more than a tautology to insist that judging involves the exercise of judgment, as distinct from calculation. Moreover, judging is not just what judges do; it is what legislatures and executives, after due deliberation, must do as well.19
For elaborations on these sketchy thoughts, see my Liberal Pluralism (New York: Cambridge University Press, 2002) and The Practice of Liberal Pluralism (New York: Cambridge University Press, 2004).
Fortunately, judging does not take place in a vacuum. Constitutions contain not just values, institutions, and rules, but also public purposes that frame and motivate everything else. It is not often enough remarked that the U.S. Constitution is an explicitly purposive document. Its preamble could have read simply, “We the People of the United States do ordain and establish this Constitution for the United States of America.” This would have been a straightforward enunciation of the basic republican principle of legitimate government. But of course the preamble says more than that: after its authors declare their identity and before they specify their deed, they insert the crucial words “in Order to,” following which they declare what goods the document values most highly and what purposes it is intended to promote.
Although necessarily general in phrasing, this enumeration is nonetheless meaningful, both for what it affirms and for what it excludes.20
The preamble enumerates the following as key purposes of the U.S. Constitution: forming a more perfect union; establishing justice; ensuring domestic tranquility; providing for the common defense; promoting the general welfare; and securing the blessings of liberty for ourselves and posterity.
IV. The Preamble, Rights of Property, and the Takings Clause
Constitutional purposes turn out to be relevant to constitutional interpretation, often in surprising ways. Consider the ongoing debate over the reach of the Fifth Amendment's takings clause, which states that “private property [shall not] be taken for public use, without just compensation.” Note the implicit political theory behind the clause, which runs roughly as follows: There is such a thing as the “public,” as distinct from the ensemble of private property owners, and this public has some claims that rank higher than the claims flowing from ownership, however uncontested and long-standing those claims may be. Under certain conditions (specified in practice by applying the terms “public use” and “just compensation” to particular circumstances), even a government that possesses limited powers and is dedicated to principles of liberty may legitimately act on behalf of the public to override rights of private ownership. It is in respecting the bounds set by those conditions, rather than by giving absolute respect to the boundaries established by individual holdings, that government remains within the limits of its power and avoids oppressive acts.
For purist libertarians, this kind of theory is unacceptable, and the policies flowing from it are illegitimate. The Cato Institute's Sheldon Richman characterizes the takings clause as “one of the few parts of the Bill of Rights that authorizes the government to violate individual liberty,” and he insists that “a true property rights movement should not stop short of calling for eradication of the takings clause, … the root of all evil in this matter.”21
Sheldon Richman, “Takings: The Evils of Eminent Domain,” July 2005, accessed at http://fff.org/freedom.
In Kelo v. New London, a decision handed down in June 2005,22
Kelo v. New London, 125 S.Ct. 2655 (2005).
As plaintiffs, the homeowners alleged that implementing the plan would violate the “public use” requirement of the Fifth Amendment, as made applicable to the states through incorporation into the due process clause of the Fourteenth Amendment. While the Supreme Court had long held that non-blighted property could be taken in the process of urban renewal to revitalize a blighted area, the plaintiffs argued that taking non-blighted property for the generic purpose of economic development and increasing tax revenues went well beyond previous holdings and breached the bounds of public use.
A five-member Court majority disagreed. Writing for the majority, Justice John Paul Stevens observed that the facts of this case placed it in a gray zone between two well-established poles. On the one hand, the Constitution clearly forbids government from forcibly transferring property from individual A to individual B without A's consent. On the other hand, the Constitution just as clearly permits government to take private property for use by the general public (public roads and parks, for example) and for private entities, such as railroads, that are prepared to operate as common carriers, open to all. Still, in prior cases the Court had broadened the concept of public use beyond general access to include public purposes. New London's development plan was acceptable because it served such a purpose—namely, economic revitalization of a struggling city. Promoting economic development, Stevens noted, was a “traditional and long accepted function of government,” and there was no principled way of distinguishing it from other functions that the Court had already deemed to meet the test of public use. In the past, moreover, the Court had deferred to legislative judgments about policies needed to carry out these purposes in specific contexts, and the majority saw no need to start second-guessing local authorities now.
Writing for the four dissenters, Justice Sandra Day O'Connor conceded that in previous decisions the Court had indeed allowed takings that serve a public purpose “even if the property is destined for subsequent private use.”23
Id. at 2673 (O'Connor, J., dissenting).
Id. at 2675.
Id. at 2676.
In a separate dissent, Justice Clarence Thomas agreed with O'Connor but (characteristically) radicalized her argument. The majority's opinion, he argued, has the effect of effacing the distinction between the Fifth Amendment's takings clause and the preamble's general welfare clause: the majority's logic suggests that if a taking promotes the general welfare, it is presumptively legitimate, in effect eliminating the criterion of public use as a limitation on governmental power. The root of the error, Thomas claimed, lies in broadening the concept of “public use” beyond “use by the public” (such as public buildings and public conveyances) to include public purposes. Once the Court made that move, it began sliding down a slippery slope, at the bottom of which lies Kelo's public benefit test.
For our purposes, the key point of Thomas's dissent is his historical reconstruction of how the Supreme Court came to stray from the straight and narrow constitutional path. The two key steps were, first, broadening “public use” to include public purposes, and second, deferring to the legislature's definition of public purposes and its determination that specific policies would promote them. It turns out that the Court made these missteps in two cases decided in the same year—1896, near the height of the era of strong judicially protected property rights!26
The two crucial cases were Fallbrook Irrigation District v. Bradley, 164 U.S. 112 (1896), and United States v. Gettysburg Electric R. Co., 160 U.S. 668 (1896). Fallbrook broadened the standard for valid takings from “public use” to public purpose, while Gettysburg allowed legislatures to define the scope of valid public uses.
The spokesman for the Supreme Court in both the 1896 cases that Thomas rejects was Justice Rufus Peckham, who was to achieve notoriety a decade later as the author of the majority opinion in Lochner. In broadening the public use clause, Justice Peckham reasoned that to adhere to the narrower construction would be to forbid takings for the purpose of constructing an irrigation ditch, which would have meant that no general system of irrigation could proceed. This would be an unacceptable outcome, Peckham argued, and thus the reading of the Constitution that required it could not stand.27
Fallbrook Irrigation District v. Bradley, at 160–62.
In common law, police powers are regarded as inherent in sovereignty and relate to the safety, health, well-being, and morals of the public. For systematic discussions, see Richard A. Epstein, Takings: Private Property and the Power of Eminent Domain (Cambridge, MA: Harvard University Press, 1985), chap. 9; and Ellen Frankel Paul, Property Rights and Eminent Domain (New Brunswick, NJ: Transaction Books, 1987), 103–14.
Justice Thomas's dissent forces us to ask whether any interpretation of an explicitly purposive document can be indifferent to that interpretation's results. The noted University of Chicago law professor Richard Epstein argues that it cannot. His thesis is that there is a distinction between rules of individual conduct, which are presumptively nonconsequentialist, and rules of social organization, which are emphatically consequentialist. Thus, he asserts: “The traditional natural law justifications for freedom are not sufficient to sustain the case for individual liberty or for limited government. We are, as it were, all consequentialists now.”29
Richard A. Epstein et al., “Coercion vs. Consent: A Reason Debate on How to Think about Liberty,” March 2004; accessed at reasononline, http://www.reason.com/0403/fe.ra.coercion.shtml.
Epstein deploys this proposition against nonconsequentialist (or, as he puts it, “deductivist”) libertarian defenses of inviolable private property and in defense of the state's power of eminent domain. The deductivist position, he argues, does not take into account the possibility that individual holdouts can thwart successful cooperation that increases aggregate welfare and benefits all. The cooperation of ninety-nine out of a hundred private landowners along a proposed railroad route will not suffice. Some authority above the individual contractors must bring the recalcitrant landowner into line. The state that compels the sale must offer the landowner just compensation, which Epstein defines as the highest value of the land in any alternative use whose value is not dependent on the railroad that is about to be built: “The public, including those whose property is condemned, gain the benefit of the railroad, but if compensation is correctly calculated—a big if—no individual suffers financial deprivation in the process. State coercion is used to create the win/win situations found in private contracts.”30
Ibid.
In the course of working through a series of examples involving taxation as well as eminent domain, Epstein arrives at a general proposition about social philosophy. “The central challenge to any political theory,” he asserts, is to “devise a set of institutions that first allows and then controls the use of coercion against individual citizens for their own benefit…. The traditional deductive form of libertarianism allows for state force to protect against aggression and fraud. The more complex version recognizes that state power is also appropriate to overcome holdout problems by the limited use of force. This two-tier inquiry clearly legitimates some forms of government action, but by the same token it makes the case against state intervention stronger in those settings where none of these justifications are available.”31
Ibid.
Ibid.
To an unsympathetic reader, this unexpected echo of Jean-Jacques Rousseau's dictum that human beings must sometimes be forced to be free may prove disconcerting. As we saw earlier, however, it rests on a serious philosophical proposition, not easily dismissed. If liberty is a human good, then we can ask whether it has a quantitative dimension and, if so, how that dimension is structured. It seems plausible to say that an individual can be not only free or unfree, but also more or less free: Martha Stewart in home detention is not as free as her unconvicted fellow citizens, but she is freer than she was in federal prison. (In the language of social science, freedom is a continuous rather than a dichotomous variable.) It is similarly plausible to say that a society can be more or less free, depending on the decisions it makes and the circumstances in which it is placed. A “system of liberty” is an aggregate, measured across dimensions and individuals. If so, it is conceptually possible to say that public authorities can act to maximize liberty, even at the cost of restricting the liberty of some individuals. In Epstein's railroad example, the state would be understood as acting to enhance the liberty of the ninety-nine willing sellers to enter into an arrangement that would benefit both them and the future users of the railroad, a gain in liberty that far outweighs the loss for the holdout who is compelled to sell against his will.
There is an obvious objection to this approach. If individual rights are, by definition, protections designed to withstand the force of majoritarian and aggregative claims, then Epstein's consequentialism of liberty leads straight to the conclusion that rights in the strict sense do not exist (except perhaps for each individual's right to be treated equally in the consequentialist calculus). Indeed, the logic of Epstein's position on its face is that while nonconsequentialist norms help structure morality at the individual level, they are not adequate at the societal level. Fiat justitia et pereat mundus33
“Let justice be done, though the world perish.”
Nonconsequentialist defenders of liberty will stumble, of course, at the threshold of Epstein's argument. But it is also possible to criticize it in consequentialist terms. Legal scholar Randy Barnett, for example, acknowledges that without some version of Epstein's approach, the problems that the principle of individual consent poses for social coordination may be insoluble. Nonetheless, he fears, the cure is worse than the disease, because it opens the door to unjust uses of coercive power. For example, “the consequence of rent-seeking—of interest groups using the coercion of the state to acquire unearned benefits for themselves—matters as much as the consequence of failing to build a road. Ask the residents of Poletown, whose Detroit neighborhood was destroyed by eminent domain to build a General Motors assembly plant.”34
For a persuasive critique of this policy and of the decision of the Michigan Supreme Court upholding it (Poletown Neighborhood Council v. City of Detroit, 304 N.W.2d 455 [Mich. 1981]), see Paul, Property Rights and Eminent Domain, 32–37. It is notable that the Michigan Supreme Court recently overturned Poletown in a case that pivoted on a more restrictive interpretation of the “public use” doctrine. See Wayne County v. Hathcock, 684 N.W.2d 765 (Mich. 2004).
Randy Barnett, response to Epstein's remarks, in “Coercion vs. Consent.” My account is an interpretative paraphrase, because Barnett offered his rejoinder more than a year before Kelo was decided. However, I do not believe that I have deviated from either the logic or the spirit of Barnett's position.
An intriguing question lurks just beneath the surface of Barnett's challenge—namely, how much of a deviation from New Deal jurisprudence does Epstein's position represent? My answer: Not as much as parties to the dispute imagine. Like the New Deal era Supreme Court, Epstein employs a results-oriented theory in the service of the general welfare. To be sure, his understanding of the general welfare differs from that of the New Dealers. Nonetheless, Epstein and the New Dealers are as one in their opposition to the kind of formalism that dominated American law schools in the early decades of the twentieth century.36
Despite the notoriety of the Lochner decision, during those decades the courts were less inclined than were law professors to defer to legal categories at the expense of real-world results, as the history of takings jurisprudence indicates.
Cass Sunstein distinguishes between “judicial maximalism,” which seeks coherent theoretical foundations to ground individual decisions and connect them with one another, and “judicial minimalism,” which stays closer to the surface, renders decisions on a case-by-case basis, and makes no effort to find a single unifying theory.37
Cass Sunstein, One Case at a Time: Judicial Minimalism on the Supreme Court (Cambridge, MA: Harvard University Press, 1999).
Epstein, Takings; Ronald M. Dworkin, Taking Rights Seriously (Cambridge, MA: Harvard University Press, 1978).
It is conventional, and not entirely misleading, to describe thinkers like Dworkin as “egalitarian” and those like Epstein as “libertarian.” It is certainly true that Dworkin speaks more about equality than Epstein does, and that Epstein returns the favor with regard to liberty. Nonetheless, Epstein subscribes to the egalitarian premise “everyone to count for one, no one for more than one” just as firmly as Dworkin. And like Epstein, Dworkin is more than willing to use aggregative consequentialism to reach policy conclusions. Thus, Dworkin has no trouble arguing that as long as the interests of every student are given equal weight, no one has a right to complain if the criterion of general social benefit leads legislatures and courts to approve race-sensitive admissions policies.39
Dworkin, Taking Rights Seriously, chap. 9. Underscoring my point that these scholars have more in common than is often thought, Epstein also finds a way to support affirmative action. See Richard A. Epstein, “A Rational Basis for Affirmative Action: A Shaky but Classical Liberal Defense,” Michigan Law Review 100 (2002): 2036–61.
If the usual bright lines blur under scrutiny, do any clear distinctions between egalitarians and libertarians remain? Although further reflection may turn up counterarguments or counterexamples, two distinctions seem promising. Both libertarians and quasi-libertarians of the Epstein variety reject distributive patterns as acceptable components of the general good or welfare that takings of private property may promote, while at least some egalitarians would permit the inclusion of such patterns in the general welfare. Thus, those in or near the libertarian camp reject the holding of at least one of the two key cases on which the Kelo majority relied—Hawaii Housing Authority v. Midkiff (1984),40
Hawaii Housing Authority v. Midkiff, 467 U.S. 229 (1984). For Epstein's negative judgment on this case, see Takings, 110, 161, and 162. The other key case on which the Kelo majority relied is Berman v. Parker, 348 U.S. 26 (1954).
It might be argued, and sustained by the facts, that certain extreme concentrations of land ownership interfere with the appropriate functioning of markets and may be remedied on those grounds.
Second, and more fundamentally, a distinction remains between consequentialist and nonconsequentialist social philosophies (and legal understandings). There is such a thing as a jurisprudence of rules justified on nonconsequentialist grounds. As the case of Justice Thomas shows, Epstein is wrong: we are not “all consequentialists now.”42
Nor should we be. From a pluralist standpoint, the “general welfare” is one thing, the “blessings of liberty” another, and there is no guarantee that they will coincide in specific cases. In the long run, laws of property may be justified as promoting the aggregate good of citizens, but in the short term and in individual cases, there is no reason to suppose that this will always be so—any more than individual acts of protected speech invariably promote the general welfare. In most circumstances, the protections of private property are attributes of individual liberty and should be understood as such, not as part of an aggregative calculus. Epstein's approach in chapter 9 of Takings tacitly rejects this proposition and seems to endorse the proposition that just compensation (as he defines it) suffices to justify a proposed taking in circumstances in which that taking would create an overall resource benefit. This begs the question of why we should define “public use” in a consequentialist manner, as aggregate benefit, rather than categorically.
V. Conclusion: Consequentialism, Nonconsequentialism, and Emergency Powers
Nonconsequentialist jurisprudence looks backward, not forward, to origins rather than outcomes. Its central concern is with legitimacy rather than desirability, with the authorization of the law rather than its impact. The question Epstein rightly raises is whether a jurisprudence of this sort can indefinitely resist the pressure of circumstances. When the New Deal Court in effect read the commerce clause in the light of the general welfare clause, it may well have exceeded the limits of what previous generations would have accepted as a legitimate strategy of interpretation. Nevertheless, the Court's actions were part of a broader strategy to preserve constitutional democracy against the totalitarian tide that overwhelmed so much of Europe during the 1930s. If there had been a populist-fascist revolution in the United States, as many observers feared, we would really have ended up with a “constitution in exile.”43
This phrase, originated by federal appeals court judge Douglas Ginsburg in 1995, is shorthand for the proposition that the New Deal's expansive interpretation of federal power (and in particular its interpretation of the commerce clause) represented the subversion by stealth of the Constitution, the original meaning of which must now be restored through rectificatory jurisprudence. Many originalists argue that this concept is a straw man employed by few conservatives; liberals cite works by leading conservatives such as Randy Barnett and Richard Epstein to justify their continuing use of the term.
This example, and others I have mentioned, points to a possible via media: a jurisprudence of rules for normal circumstances and a jurisprudence of consequences for extreme cases. Absent the supreme emergency of the Civil War, it would not be necessary even to discuss whether President Lincoln was justified in suspending habeas corpus. While the presumption is in favor of the rule, law, or constitutional provision laid down, circumstances can conspire to rebut that presumption.
The difficulty is that there is ultimately no way to immunize the determination of when an emergency exists from the vagaries of political leaders' discretionary judgments. Lincoln's foes accused him of being a tyrant; John Wilkes Booth shot him with the words sic semper tyrannis on his lips. While a tyrant would have acted as Lincoln did, Lincoln was no tyrant. But at the moment that settled law is set aside, no bright-line rule can distinguish between them.
We will never know whether the government of the United States would have won the Civil War, preserved the union, and abolished slavery if, rather than acting on his own authority, Lincoln had followed what most scholars believe is the letter of the Constitution and asked Congress to suspend habeas corpus. Nor can we know today whether the war against al-Qaeda could be as effectively prosecuted in the absence of President George W. Bush's decision to evade the provisions of the 1978 Foreign Intelligence Surveillance Act and on his own authority order the National Security Agency to monitor overseas calls to U.S. citizens. One thing is clear: a self-confidently affirmative answer oversimplifies the awesome decisions that political leaders occasionally face.
I conclude that we cannot understand the rights that limit government as inviolable regardless of circumstances; rather, they are aspects of an overall system of goods and values that public power seeks to enhance. Nozick's choice between rights as side-constraints and a consequentialism of rights must be resolved in favor of the latter. A constitution is not a suicide pact, and fiat justitia et pereat mundus is not a maxim by which a responsible leader can operate.
Nevertheless, the considerations that require consequentialism also limit its scope. An emergency is one thing, a desire to attain more rather than less of a social good is quite another. The city of New London would hardly have faced a threat to its existence or even its well-being if it had elected to honor rather than override the property claims of some citizens who had the misfortune to be living in the path of economic development. It is hard to avoid the conclusion that the Supreme Court has expanded the concept of public use beyond reasonable bounds, to a point where it can no longer play an independent role in protecting individuals against whatever government may seek to do in the name of the general welfare. By granting almost automatic deference to legislative determinations, the Court is abdicating its core responsibility to protect individual liberty.