Opinion ID: 542009
Heading Depth: 2
Heading Rank: 2

Heading: District Court's Refusal to Certify Appellant's Constitutional Questions.

Text: 42
43 When Congress passed comprehensive amendments to FECA in 1974, it also established a system for expedited review of any constitutional challenges. Section 437h provides in full: 44 The Commission, the national committee of any political party, or any individual eligible to vote in any election for the office of President may institute such actions in the appropriate district court of the United States, including actions for declaratory judgment, as may be appropriate to construe the constitutionality of any provision of this Act. The district court immediately shall certify all questions of constitutionality of this Act to the United States court of appeals for the circuit involved, which shall hear the matter sitting en banc. (emphasis added). 45 The legislative history of this unusual provision is thin. According to Justice O'Connor, when Senator Buckley introduced this amendment, he limited his explanation to the following comments: 46 [I]t is a modification that I am sure will prove acceptable to the managers of the bill. It merely provides for the expeditious review of the constitutional questions I have raised. I am sure we will all agree that if, in fact, there is a serious question as to constitutionality of this legislation, it is in the interest of everyone to have the question determined by the Supreme Court at the earliest possible time. 47 Bread Political Action Committee v. FEC, 455 U.S. 577, 582, 102 S.Ct. 1235, 1238, 71 L.Ed.2d 432 (1981) (quoting 120 Cong.Rec. 10562, 1974). 48 Although the language of the statute requires the district court to certify all constitutional questions, courts have held that this mandatory phrasing should not be read to require them automatically to certify every constitutional question to an en banc court of appeals. In CALMED, 453 U.S. 182, 101 S.Ct. 2712, 69 L.Ed.2d 567 (1980), the Court explained in a footnote that it did not construe Sec. 437h to require certification of constitutional claims that are frivolous ... or that involve purely hypothetical applications of the statute ... or in cases where the resolution of such questions required a fully developed factual record. Id. at 193-94, n. 14, 101 S.Ct. at 2720, n. 14. 14 49 The District Court was acting within its discretion when it refused to certify the case once it found the constitutional questions frivolous; the issue we face is whether the court properly concluded that the constitutional questions were frivolous. Frivolous is not a transparent or unproblematic concept as applied in this context. Once a core provision of FECA has been reviewed and approved by the courts, unanticipated variations also may deserve the full attention of the appellate court. At the same time, not every sophistic twist that arguably presents a new question should be certified. Once the statute has been thoroughly reviewed by the Court, questions arising under blessed provisions understandably should meet a higher threshold. 50 There have been few reported decisions that dismissed FECA challenges on the ground that they were frivolous. Although no courts explicitly have addressed the issue, determining what constitutes a frivolous question for the purposes of Sec. 437h certification should not necessarily be the same as what constitutes a frivolous question, for example, for Rule 11 or perhaps even for 28 U.S.C. Sec. 1915(d) purposes. 15 For obvious reasons, the court should have a higher threshold for a frivolous finding in the latter two contexts than in the case where the issue is certification to an en banc appellate court. Further, as the Court observed in CALMED, 453 U.S. 182, 193, n. 13, 101 S.Ct. 2712, 2720, n. 13, the Federal Election Campaign Act is not an unlimited fountain of constitutional questions, and it is thus reasonable to assume that resort to Sec. 437h will decrease in the future. The time may come when all provisions of the Act will have been reviewed for facial constitutionality--the apparent impetus for the expedited judicial review provision. An as applied challenge by a party whose acts fall within one of the already approved provisions may not merit consideration by the full appellate court, yet certainly should not necessarily subject the pleader to Rule 11 sanctions. 51 Two courts have viewed the district court's role in a Sec. 437h case as similar to that of a single judge presented with a motion to convene a three judge court to hear constitutional challenges. Mott v. FEC, 494 F.Supp. 131 (D.D.C.1980); Clark v. Valeo, 559 F.2d 642 (D.C.Cir.), aff'd 431 U.S. 950, 97 S.Ct. 2667, 53 L.Ed.2d 267 (1977). Under that standard, a single judge could dismiss constitutional claims which already had been decided. We believe this is a more appropriate standard. Such a standard may more closely resemble that applied under Rule 12(b)(6) to the failure to state a claim than it does the frivolousness standard under Sec. 1915(d). See Neitzke v. Williams, --- U.S. ----, 109 S.Ct. 1827, 104 L.Ed.2d 338 (1989) (holding that a complaint filed pro se is not automatically frivolous within the meaning of Sec. 1915(d) because it fails to state a claim). A complaint is frivolous where none of the legal points are arguable on their merits. Id. 109 S.Ct. at 1831. Rule 12(b)(6) authorizes a court to dismiss a claim on the basis of a dispositive rule of law. Nothing in Rule 12(b)(6) confines its sweep to claims of law which are obviously insupportable. On the contrary, if as a matter of law 'it is clear that no relief could be granted under any set of facts that could be proved consistent with the allegations,' [citation omitted], a claim must be dismissed, without regard to whether it is based on an outlandish legal theory or on a close but ultimately unavailing one. Id. at 1832. We conclude that at least where the legal issue has been resolved by the Supreme Court, the district court need not certify the constitutional challenge.
52 Goland argues that the reporting and disclosure requirements and the contribution limits cannot be applied constitutionally to his role in the Vallen campaign because they would violate his first amendment right to contribute anonymously in any amount to a minor-party candidate. Although his argument that Buckley does not dispose of this claim is creative, ultimately it fails. Simply put, Goland does not have such a first amendment right. The Supreme Court specifically upheld the Act's $1000 contribution limit, which Goland has been charged with violating. As the Commission comments, since Goland is unable to dispute this, he argues instead that when it upheld that limit, the Court did not have in mind contributions in which the contributor's identity is withheld from the candidate, at least when the recipient is a minor candidate. As even Goland concedes, however, FECA prohibits anonymous contributions. Buckley upheld that limitation. Buckley upheld the reporting and disclosure requirements, even as applied to most minor party candidates. Goland's contribution in an amount over the limits is not lawful simply because his contribution was anonymous. The issues Goland raises were resolved by the Court in Buckley, and no feature of his admittedly distinctive factual situation distinguishes his case. 53
54 Goland claims that the reasoning the Court followed in Buckley to uphold the contribution limits does not apply in his case. Goland asserts that in upholding contribution limits, the only state interest the Court would recognize was the prevention of quid pro quo corruption or the appearance of corruption. According to Goland, if his identity were kept secret from even the candidate, there would be no possible opportunity for exacting a quid pro quo deal or in any way influencing the candidate. Further, if a candidate has no chance of winning an election, he could not be in a position to exchange official favors for money. Therefore, no compelling state interest exists to justify the infringement on his political activity. 55 This argument ultimately fails for several reasons. 16 First, Buckley approved the application of contribution limits to minor party candidates as well as to candidates who are likely to win. Id. at 30-31, 96 S.Ct. at 640-641. Second, simply withholding one's identity does not eliminate the opportunity for securing some sort of exchange with the recipient, a point also illustrated by this case. Goland did not simply make a gift to Vallen of $120,000 to use as he wished. On the contrary, a deal was negotiated. Vallen received the money and in return read a script which actually was written by Goland in order indirectly to promote Cranston. 17 Certainly then, neither the possibility nor the appearance of corruption was eliminated either; the public could never be sure that the candidate in fact is unaware of the identity of large anonymous donors. As the Commission points out, even if a donor's name is not directly communicated to the candidate, there are indirect ways of ensuring that the candidate is aware of the identity of the benefactor, or at least of the special interest he represents. Third, even if the donor genuinely desires to keep his identity secret, there is no assurance he will succeed as is evident from the happenings in this case. Finally, even if it were theoretically possible to devise a system to seal hermetically a donation so as to keep its source truly secret forever, thereby making the state interest in preventing corruption inapplicable to anonymous donations, Goland's position is still untenable. Even truly anonymous donations over $10 are prohibited. Buckley affirmed FECA's disclosure and reporting requirements, which serve the independent goal of providing voters with information regarding the source of candidates' support. 56
57 Goland argues that the reporting and disclosure requirements as they relate to anonymous contributions to a minor party candidate are unconstitutional on their face and as applied to him. Goland bases his claim on the historic constitutional protection given to anonymous political speech and association. Beginning with NAACP v. Alabama, 357 U.S. 449, 78 S.Ct. 1163, 2 L.Ed.2d 1488 (1958), the judiciary recognized the importance of protecting anonymous political activity. The courts have repeatedly reaffirmed that the Constitution protects against compelled disclosure of political associations and beliefs. NAACP v. Button, 371 U.S. 415, 83 S.Ct. 328, 9 L.Ed.2d 405 (1963); Shelton v. Tucker, 364 U.S. 479, 81 S.Ct. 247, 5 L.Ed.2d 231 (1960); Bates v. Little Rock, 361 U.S. 516, 80 S.Ct. 412, 4 L.Ed.2d 480 (1960). This protection is necessary to preserve individual liberties, to increase the dissemination of diverse viewpoints, and to promote the structural goal of wide political participation. 18 As our court has observed: 58 The right of those expressing political, religious, social or economic views to maintain their anonymity is historic, fundamental, and all too often necessary. The advocacy of unpopular causes may lead to reprisals--not only by government, but by employers, colleagues, or society in general. While many who express their views may be willing to accept these consequences, others not so brave or not so free to do so will be discouraged from engaging in public advocacy. 59 Rosen v. Port of Portland, 641 F.2d 1243, 1251 (9th Cir.1981) (granting Jews for Jesus declaratory and injunctive relief by finding unconstitutional an ordinance requiring advance registration by those desiring to pamphlet airport terminal). In Talley v. California, 362 U.S. 60, 80 S.Ct. 536, 4 L.Ed.2d 559 (1960), the Court established the basic rule that whenever identification and fear of reprisal would deter speech, the first amendment protects anonymity. 19 60 Goland, however, cannot avail himself of this protection. The Supreme Court in Buckley carefully considered the danger posed by compelled disclosure. It held that the state interests promoted by FECA's reporting and disclosure requirements justified the indirect burden imposed on first amendment interests. Simply put, the Court carved out a narrow exception to the line of cases Goland relies on, and that exception encompasses Goland's activities. 61 Goland makes much of the fact that the contribution he sought to make anonymously was to a minor party candidate. He is correct that the protection against compelled disclosure often is needed in the context of participation in third party politics, obviously because it is that participation that incites government and social disapprobation. However, the Buckley Court specifically addressed this issue. The Court refused to grant a blanket exemption to minor parties, but recognized an exception for those parties that could show a reasonable probability that disclosures would subject their contributors to threats, harassment, or reprisals. Id. at 74, 96 S.Ct. at 661. 20 Subsequently, the Court applied the Buckley test to find that the Socialist Workers Party provided sufficient evidence of private and governmental hostility to party members and supporters to justify exempting the party from Ohio's reporting requirement. Brown v. Socialist Workers '74 Campaign Commn., 459 U.S. 87, 103 S.Ct. 416, 74 L.Ed.2d 250 (1982). In Federal Election Comm'n v. Hall-Tyner Election Campaign Comm., 678 F.2d 416 (1982), the Second Circuit similarly found that undisputed evidence established a reasonable probability of reprisal against contributors to the Communist Party candidates. Goland cites these cases, but they do not help his cause. In both Brown and Hall-Tyner, petitioners satisfied the Buckley requirement of providing evidence of probable harassment. Goland, in contrast, does not even attempt to make such a showing. 21 62 Goland was not promoting a reviled cause or candidate. Goland did not fear government or private harassment; the only chill he feared was rejection by the recipient himself. As one district court noted recently, [N]o judicially cognizable injury arises under those [First and Fourteenth] amendments from a candidate's rejection of the associational advances of an unwanted political suitor. Forced political association simply is not a 'right' protected under the Constitution.... Coalition for a Progressive New York v. Colon, 722 F.Supp. 990, 993 (S.D.N.Y.1989). 63 Finally, Goland argues that the substantial state interests that the Buckley Court found to justify the disclosure requirements do not apply to anonymous donations made to a candidate with whom the donor disagrees. Goland is wrong. One major purpose behind the disclosure provision is to deter or expose corruption, and therefore to minimize the influence that unaccountable interest groups and individuals can have on elected federal officials. FEC v. Furgatch, 807 F.2d 857 (9th Cir.1987). Goland argues that when donations are anonymous there is no opportunity for corruption, but as our earlier discussion indicates, politics are not so simple. 64 A second Congressional goal furthered by disclosure and reporting was to keep the electorate fully informed of the sources of campaign funding and how the candidate spends the money. Goland refers to the Buckley Court's explanation that disclosure allows voters to place each candidate in the political spectrum more precisely than is often possible solely on the basis of party labels and campaign speeches. The sources of a candidate's financial support also alert the voter to the interest to which a candidate is most likely to be responsive and thus facilitate predictions of future performance in office. Id. at 66-67, 96 S.Ct. at 657-658. As Goland points out, no one who had heard the message of Ed Vallen could possibly have failed to know where to place him in the political spectrum. However, the informational interest simply is not that narrow. There is valuable information to be gained by knowing that Vallen took $120,000 from a Cranston supporter aside from being able to locate Vallen ideologically or to predict to whom he may be beholden. A conservative voter deciding between Vallen and Zschau very likely may have viewed Vallen in a different light with that knowledge. 65 Rather than impinging on first amendment values, the disclosure requirement may actually further them, even in the circumstances of this case. As we observed in FEC v. Furgatch, 807 F.2d 857, 862 (9th Cir.1987): 66 The vision of a free and open market place of ideas is based on the assumption that the people should be exposed to speech on all sides, so that they may freely evaluate and choose from among competing points of view. One goal of the First Amendment, then, is to ensure that the individual citizen has available all the information necessary to allow him to properly evaluate speech.... The allowance of free expression loses considerable value if expression is only partial. Therefore, disclosure requirements, which may at times inhibit the free speech that is so dearly protected by the First Amendment, are indispensable to the proper and effective exercise of First Amendment rights. 67 The third purpose behind the disclosure and record-keeping provisions is to gather the data necessary to detect violations of the contribution limits. Buckley, 424 U.S. at 67-68, 96 S.Ct. at 657-58. Adopting the position advocated by Goland would create a loophole so large all could pass through. To avoid the contribution limit, one need only make an anonymous donation, wait for the election, and then reveal one's identity. As the Commission also points out, if the candidate as well as the Commission and the public are ignorant of the identity of a large contributor, there would be no way to determine that the contributor is actually an individual as opposed to a corporation or labor union, a public contractor, a representative of a foreign government or a member of a foreign cartel (None may make contributions under FECA. See 2 U.S.C. Sec. 441b, 441c(a), 441e(a)). 22 68