Legal Library
In The
Supreme Court of the United States
October Term, 1998
JONATHAN W. MARSHALL, et. al.
Petitioners,
v.
RONALD SUSTER, et. al.
Respondents.
ON PETITION FOR WRIT OF CERTIORARI
TO THE UNITED STATES
COURT OF APPEALS
FOR THE SIXTH CIRCUIT
BRIEF IN SUPPORT OF PETITION FOR CERTIORARI OF THE SECRETARIES OF STATE OF CONNECTICUT, GEORGIA, MAINE, MINNESOTA, MISSISSIPPI, MONTANA, NEVADA, NEW HAMPSHIRE, NEW MEXICO, OREGON, RHODE ISLAND, SOUTH CAROLINA, TENNESSEE, WEST VIRGINIA AND WISCONSIN; CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION; CAMPAIGN SPENDING COMMISSION OF HAWAII; REGISTRY OF ELECTION FINANCE OF KENTUCKY; AND THE ETHICS COMMISSION OF OKLAHOMA
AS AMICUS CURIAE IN SUPPORT OF PETITIONERS
BRENDA WRIGHT
Counsel of Record
JOHN C. BONIFAZ
GREGORY LUKE
National Voting Rights Institute
294 Washington Street, Suite 713
Boston, Massachusetts 02108
(617) 368-9100
Counsel for Amici Curiae
Secretaries of State/Chief
Elections Officers
Amici include the following Secretaries of State: Miles S. Rapoport of Connecticut, Lewis A. Massey of Georgia, Dan A. Gwadosky of Maine, William Galvin of Massachusetts, Joan A. Growe of Minnesota, Eric Clark of Mississippi, Rebecca Cook of Missouri, Mike Cooney of Montana, Dean Heller of Nevada, William Gardner of New Hampshire, Stephanie Gonzales of New Mexico, Phil Keisling of Oregon, James Langevin of Rhode Island, Jim Miles of South Carolina, Riley C. Darnell of Tennessee, Ken Hechler of West Virginia, and Douglas J. La Follette of Wisconsin.[1] Amici also include Steven G. Churchwell, General Counsel, California Fair Political Practices Commission, Robert Watada, Executive Director of Campaign Spending Commission of Hawaii, George Russell, Director of Registry of Election Finances of Kentucky, and Marilyn Hughes, Executive Director of Ethics Commission of Oklahoma. In these positions, amici serve as chief election officers or supervisors of campaign finance in their States. They thus have considerable experience with the issues raised in this case, and in particular have witnessed the serious threats that unlimited campaign spending poses to the integrity and health of the political process.
Amici seek review of the Sixth Circuit's decision in this case because that court's interpretation of Buckley v. Valeo, 424 U.S. 1 (1976), threatens to stifle campaign reforms at the state and local level that are badly needed to preserve the health of our democratic system of government. A number of states and localities have enacted campaign finance regulations similar to the one at issue here, based on their belief that such regulations are necessary to combat widespread public cynicism about elected officials' ability to govern in the public interest. That cynicism is fueled by the reality that, as campaign spending by candidates for office increases exponentially, the need for unlimited campaign funds leaves candidates vulnerable to both the reality and appearance of improper influence by wealthy interests. Many more states and localities would doubtless enact regulations similar to those at issue here if permitted to do so under a proper interpretation of the First Amendment. Buckley should not be read to foreclose states and localities from responding to new compelling interests and new factual circumstances not addressed 22 years ago in Buckley itself which may justify reasonable limits on campaign spending.
STATEMENT
This case involves a regulation adopted by the Ohio Supreme Court, following extensive deliberation, that places reasonable limits on total campaign expenditures in elections for judicial office in Ohio. The current limits, set forth in Canon VII(C)(6)(a) of the Code of Judicial Conduct of the Ohio Supreme Court, are graduated based on the level of judgeship sought and, with respect to trial court elections, the population of the court's territorial jurisdiction. The plaintiffs and plaintiff-intervenors below all were candidates seeking election or re-election as judges for various courts of common pleas (the trial courts of general jurisdiction in Ohio). For those judgeships, the expenditure limits range from $125,000 for jurisdictions whose population exceeds 750,000 down to $50,000 for jurisdictions whose population is 100,000 or less.[2]
The Ohio Supreme Court adopted these expenditure limits in response to the serious threat to public confidence in the judicial system caused by ever-increasing spending in judicial campaigns. This spending, and the resultant dominance of money in determining judicial election outcomes, has created an intolerable public perception of "justice for sale," as amply documented by survey research and other evidence before the Ohio Supreme Court. In adopting reasonable expenditure limits for judicial races, the Ohio Supreme Court sought to limit the danger of actual quid pro quo corruption and, equally importantly, to combat the appearance of corruption that is inimical to public confidence in the system of justice.
The Sixth Circuit held that any expenditure limits for judicial elections are unconstitutional under the First Amendment as a matter of law, based on this Court's decision striking down limits on spending in federal campaigns for political offices in Buckley v. Valeo, 424 U.S. 1 (1976). App. A-1 - A-26. The Sixth Circuit's decision did not address the reasonableness of the particular limits adopted by the Ohio Supreme Court, nor did it give any weight to the differences between judicial election campaigns and campaigns for legislative or executive offices. Instead, the court below ruled that "the language of Buckley and its progeny have necessarily determined, irrespective of the kind of position sought, that any spending restriction in any electoral campaign process is an infringement on a candidate's First Amendment rights. . . ." App. A-13 (emphasis added).
REASONS FOR GRANTING THE PETITION
This case presents an issue of the most pressing national importance: whether, consistent with this Court's 1976 decision in Buckley v. Valeo, states may ever enact reasonable limits on campaign spending to serve compelling state interests, including the state's vital interest in maintaining public confidence in an impartial judiciary. Further, if Buckley properly is read as a per se ban on all spending limits, no matter what the factual context for their adoption, no matter what the nature of the office to which the limits apply, and no matter how reasonable the limits, this case presents the critically important question of whether Buckley, to that extent, should be overruled.
The Ohio Supreme Court is not alone in determining that, 22 years after this Court's decision in Buckley, unlimited campaign spending has come to threaten the health of our democratic institutions in ways never contemplated at the time Buckley was decided. Last year, the State of Vermont enacted campaign spending limits for its state elections, to take effect in the 2000 election cycle.[3] The City of Cincinnati enacted spending limits for city council campaigns in 1995.[4] Since 1974, the City of Albuquerque has maintained limits on campaign expenditures for its local elections.[5] This year, a special commission appointed by the Supreme Court of Pennsylvania issued a report recommending the adoption of limits on campaign spending in Pennsylvania judicial elections.[6]
States and localities increasingly are adopting and defending reasonable campaign spending limits because they have concluded that the enormous amounts of money now expended to win election to public office foster the appearance and reality of corruption in a manner that undermines the integrity of our democratic processes.[7] The reading of Buckley adopted by the court below, which prevents any thoughtful consideration of the justifications for spending limits, regardless of the facts or context, would stifle reforms that are widely perceived as necessary by state and local governments across the nation. Review of the Sixth Circuit's decision by this Court is thus a matter of paramount national interest.
Amici wish to emphasize two related reasons why this Court should review and reverse the Sixth Circuit's decision striking down Ohio's expenditure limits for judicial elections. First, it is critically important for this Court to make clear that Buckley does not foreclose consideration of new facts and new interests supporting state and local regulation of campaign spending, particularly interests that were never considered or discussed in Buckley itself. One such interest presented in this case is the compelling state interest in assuring that the need to raise ever-increasing amounts of money for judicial election campaigns does not compromise judicial independence and public confidence in the integrity of the elected judiciary. The impact of unlimited campaign spending on judicial elections and the integrity of the judicial process was never considered by this Court in Buckley. Accordingly, the court below erred in assuming that Buckley creates a per se bar to states' adoption of reasonable spending limits for judicial campaigns.
Second, the Sixth Circuit's decision rests on the erroneous assumption that, as a matter of law, contribution limits alone are sufficient to assure public confidence in the integrity of the election process. That assumption is flatly contradicted by this nation's 22 years of experience with relying on contribution limits alone as a shield against corruption and the appearance of corruption in electoral politics at the federal level. Under the current regime of limited contributions but unlimited spending, monied interests nevertheless exert overwhelming influence over the electoral process through practices such as bundling that is, the coordinated donation of campaign contributions from individuals representing the same corporation, industry or special interest and other stratagems.[8] Further, the fear that an opponent will spend vast sums of money in pursuit of a campaign victory has fueled a never-ending set of schemes to evade contribution limits where they exist. The uncritical assumption that contribution limits alone are sufficient to preserve the integrity of the electoral process is no longer sufficient, if it ever was, to justify the wholesale invalidation of reasonable regulations on campaign spending.
The important differences between judges and holders of political offices, such as legislators and executive officials, plainly have First Amendment significance. In legislative campaigns, for example, candidates are expected to vie for public support by stating the positions they will take on important public policy issues, and the content of such campaign statements cannot ordinarily be regulated by the government. See generally Brown v. Hartlage, 456 U.S. 45 (1982). The opposite is true of campaigns for judicial office. Thus, Canon VII(B)(2) of the Ohio Code of Judicial Conduct, like provisions adopted in many states that elect their judges, directly restricts the very content of permissible speech in judicial election campaigns. It provides:
The decisions upholding restrictions on judicial election campaigns against First Amendment challenge rests on the state's compelling interests in assuring an impartial judiciary and preserving public confidence in the courts. Indeed, commentators have noted that restrictions on judicial campaigns are justified by the due process interests of the litigants who will appear before the court interests that properly outweigh the judicial candidate's personal interest in unfettered political expression during a campaign. Randall Shepard, Campaign Speech: Restraint and Liberty in Judicial Ethics, 9 Geo. J. Legal Ethics, 1059, 1060 (1996).
These same compelling interests which were never considered by the Buckley Court in addressing restrictions on federal election campaigns deserve at least equal weight in determining the scope of permissible regulation of campaign spending in judicial elections. Indeed, because campaign spending limits, unlike direct restrictions on judicial candidates' campaign speech, are content-neutral, the case for permitting reasonable state regulation of such spending is even stronger.
A recent report by the ABA Task Force on Lawyers' Political Contributions notes the problems inherent in a regime of ever-escalating expenditures on judicial election campaigns:
Ohio's concerns about the public's eroding confidence in the elected judiciary are echoed by findings in other states where spending in judicial elections has undergone dramatic increases. In March 1998, a special commission appointed by the Pennsylvania Supreme Court to investigate judicial campaign spending concluded that the public's growing distrust of the judiciary's impartiality necessitated the adoption of limits on campaign spending:
Other states as well, from Alabama to Wisconsin, have seen dramatically escalating spending on judicial elections,[14] turning judicial campaigns into an arms race in which greater and greater amounts of money must be raised by judicial candidates, often from the very lawyers and litigants who appear before the courts. As the ABA Task Force on Lawyers' Political Contributions has noted:
When campaign spending is unlimited, a candidate's need for money is also unlimited, because the candidate can never be sure whether his or her opponent will raise greater funds and thereby obtain a campaign advantage. Limiting the amount that each individual or PAC may contribute does little to alleviate this problem, because such limits do not affect the candidate's need to maximize the overall amount of money obtained from donors generally. The need for unlimited amounts of money, in other words, makes each additional donation of tremendous value to a candidate, and thus increases the candidate's dependence on potential contributors. Contributors allied with industries or special interest groups that can funnel large numbers of donations to the candidate are especially valuable under a regime of unlimited spending, and candidates thus become increasingly dependent upon such interests despite the existence of contribution limits.
By contrast, if overall expenditures are subject to an outside limit, the value to the candidate of each additional contribution decreases. A donor whose assistance may appear compromising can be turned away without dramatically harming the candidate's competitiveness, because the candidate has a greater ability to find those funds elsewhere and still remain on an even footing with challengers.
These dynamics explain why a regime of contribution limits combined with unlimited campaign spending has been a such a dismal failure in curbing corruption and the appearance of corruption at the federal level in the 22 years since Buckley. States should not be compelled to extend this failure to judicial elections.
Texas' experience is illustrative. Texas has become notorious for the battle that has raged between the trial lawyers (widely perceived as controlling Texas Supreme Court elections during the 1980s) and the insurance industry (now widely perceived as having wrested control of the court from the trial lawyers as a result of massive spending on judicial election campaigns during the 1990s). Texas adopted contribution limits for judicial elections,[18] but such limits clearly have not been successful in curbing the influence of special interest spending on judicial campaigns,[19] as highlighted by a recent "60 Minutes" broadcast on the subject:
Mr. WALT BORGES: They were getting a lot of their contributions from the lawyers, the consumers' lawyers.
WALLACE: Plaintiffs' lawyers.
Mr. BORGES: Plaintiffs' lawyers.
WALLACE: Who won most cases?
Mr. BORGES: The studies that we?we did show that about 67 percent of the time, two-thirds of the time, the plaintiffs won the cases in 1987.
WALLACE: And today?
Mr. BORGES: Today, the defendant wins 69 percent of the time.
WALLACE: (Voiceover) By "defendant," Borges means the business and insurance companies who are being sued.
How do insurance companies fare before this court?
Mr. BORGES: The insurance companies win roughly 90 percent of the time.
WALLACE: What you're saying is it went 180 degrees the other way.
Mr. BORGES: The philosophy of the court has shifted. If there is a bias in 1985, there is now a bias in the . . . opposite direction in 1998.
Public opinion polls at the national level confirm that citizens on all sides of the political spectrum perceive both actual and potential corruption in government under the current system of unlimited campaign spending, notwithstanding the existence of federal contribution limits. Notably, in a 1996 poll taken directly after the November elections, Americans ranked the "power of special interest groups in politics" second only to "international terrorists" when asked to identify "major threats" to the future of the country.[20] A 1997 poll determined that three-quarters of Americans believe that "public officials make or change policy decisions as a result of money they receive from major contributors."[21] Further, although polls often used to show that voters trusted their own congressional representatives while decrying corruption in general, even that has changed. An August 1998 poll of voters in eight states showed that between 65% and 75% of voters now believe that campaign contributions affect the votes of their own senators on issues of concern to special interests.[22] The lesson from 22 years of experience since Buckley is clear: relying upon contribution limits alone is insufficient to prevent a debilitating loss of faith by citizens in the honesty of government.
When this Court issued its Buckley decision in 1976, both contribution limits and spending limits were new at the federal level. The Court's ruling striking down FECA's low spending limits on federal election campaigns should be recognized for what it was: an assessment that, on the record then before the Court, the new contribution limits alone appeared sufficient to protect the important governmental interests of preventing corruption and the appearance of corruption. As the Buckley Court found:
In the alternative, if Buckley must indeed be read to preclude any consideration of changed facts and circumstances that could justify reasonable limits on campaign spending, this Court should now revisit that ruling. A ruling forever closing the door to the lessons of governmental experience with unlimited campaign spending runs contrary to the constitutional responsibilities of this Court. As this Court stated in Planned Parenthood v. Casey, 505 U.S. 833, 864 (1992):
The petition for certiorari should be granted.
Respectfully submitted,
Brenda Wright
Counsel of Record
John C. Bonifaz
Gregory Luke
NATIONAL VOTING RIGHTS INSTITUTE
294 Washington Street
Suite 713
Boston, Massachusetts 02108
(617) 368-9106
Counsel for Amici Curiae
December 1998
FOOTNOTES
[1] Pursuant to Rule 37.6, amici state that no counsel for any party has authored this brief in whole or in part, and no person or entity other than amici made a financial contribution to the preparation or submission of this brief.
[2] The limits currently in effect reflect an amendment to Canon VII(C)(a)(6) that was adopted by the Ohio Supreme Court prior to the Sixth Circuit's consideration of the petitioners' appeal. Prior to that amendment, a uniform expenditure limit of $75,000 applied to all judicial candidates for any court of common pleas, municipal court, or county court.
[3] Vt. Stat. Ann. Tit. 17, § 2805a.
[4] City of Cincinnati Ordinance No. 240-1995. Cincinnati's spending limits also have been struck down by the Sixth Circuit. Kruse v. City of Cincinnati, 142 F.3d 907 (6th Cir. 1998), cert. denied, 67 U.S.L.W. 3336 (U.S. November 16, 1998).
[5] Albuquerque, New Mexico Charter, Election Code, art. XII, § 4. See Robert Zausner, Campaign spending limit? In Albuquerque, it's old hat, Philadelphia Inquirer, October 23, 1998, A-1; Dana Milbank, Renewed Battle Brewing on Campaign-Spending Caps, The Wall Street Journal, March 24, 1998, A-23.
[6] Special Commission to Limit Campaign Expenditures, Report (1998).
[7] The United States Congress has also demonstrated interest in employing spending limits for federal elections. Members of Congress have introduced campaign spending limit bills eleven times since this Court's ruling in Buckley. S. 1684, 98th Cong. § 1 (1983); S. 1185, 98th Cong. § 1 (1983); S. 59, 99th Cong. § 1 (1985); H.R. 2473, 100th Cong. § 1 (1987); H.R. 1456, 101st Cong. § 1; H. Res. 168, 103rd Cong. § 1 (1993); H.R. 3571, 103rd Cong. § 1 (1993); H.R. 3651, 104th Cong. § 2 (1996); H.R. 3658, 104th Cong. § 2 (1996); S. 1057, 105th Cong. § 1 (1997); H.R. 77, 105th Cong. §1 (1997).
[8] See, e.g., Fred Wertheimer and Susan Weiss Manes, Campaign Finance Reform: A Key to Restoring the Health of Our Democracy, 94 Colum. L. Rev. 1126, 1140-1142 (1994); Jamin Raskin & John Bonifaz, Equal Protection and the Wealth Primary, 11 Yale L. & Pol'y Rev. 273, 326-327 ( 1993) (citing Larry Makinson, Center for Responsive Politics, Open Secrets: The Encyclopedia of Congressional Money & Politics (2d ed. 1992).
[9] See Stretton v. Disciplinary Board of Supreme Court of Pa., 944 F.2d 137, 142 (3rd Cir.1991) (upholding restrictions preventing judicial candidates from commenting on issues likely to come before them as judges and from personally soliciting campaign contributions); Berger v. Supreme Court of Ohio, 598 F. Supp. 69, 75 (S. D. Ohio 1984), aff'd, 861 F.2d 719 (6th Cir. 1988) (upholding ban on campaign pledges on disputed legal or political issues); Ackerson v. Kentucky Judicial Retirement & Removal Comm'n, 776 F. Supp. 309, 315 (W.D. Ky. 1991) (upholding restrictions on judicial candidates' discussion of legal issues likely to come before court while permitting discussion on issues of court administration); Deters v. Judicial Retirement & Removal Comm'n., 873 S.W.2d 200 (Ky 1994), cert. denied, 115 S. Ct. 194 (1994) (same); In re Code of Judicial Conduct, 603 So. 2d 494 (Fla. 1992) (upholding canon prohibiting judges from publicly endorsing other candidates for office).
[10] American Bar Association Task Force on Lawyers' Political Contributions, Report and Recommendations Regarding Contributions to Judges and Judicial Candidates, (1998) (hereafter, "ABA Task Force Report"), at 16.
[12] Special Commission to Limit Campaign Expenditures, Report (1998) at 10.
[14] ABA Task Force Report at 15 & Appendix 3.
[17] See generally Vincent A. Blasi, Free Speech and the Widening Gyre of Fundraising: Why Campaign Spending Limits May Not Violate the First Amendment After All, 94 Colum. L. Rev. 1281 (1994) (discussing state interest in reducing fundraising burden on candidates generally as basis for constitutionality of reasonable spending limits).
[18] Tex. Elec. Code Ann. §253.155(a) and .157(Supp. 1997).
[19] Bill Medaille and Andrew Wheat, Texans for Public Justice, Payola Justice: How Texas Supreme Court Justices Raise Money From Court Litigants, Summary (1998) (finding, among other things, that "[p]arties and lawyers with official business on the court's 1994-1997 docket - or contributors closely linked to these docket parties - contributed 40 percent ($3.7) million of the $9.2 million that the seven justices raised); see id. at 6, 30 (noting failure of contribution limits to stem electoral influence of parties and lawyers with business before the court).
[20] Princeton Survey Research Associates/Pew Research Center, Public Opinion Survey (November 1996).
[21] See Francis X. Clines, Most Doubt a Resolve to Change Campaign Finance Reform, Poll Finds, N.Y. Times, Apr. 9, 1997, at A1.
[22] The Mellman Group, Inc./Public Campaign, Public Opinion Poll (August 1998) (available at http://www.publiccampaign.org/).