Constitutional Law Cases: Rehnquist Court
1990 - 1999
NIXON, ATTORNEY GENERAL OF MISSOURI, et al. v. SHRINK MISSOURI GOVERNMENT PAC et al.
certiorari to the united states court of appeals for the eighth circuit
No. 98-963.
Argued October 5, 1999
Decided January 24, 2000
Respondents Shrink Missouri Government PAC, a political action committee, and Zev
David Fredman, a candidate for the 1998 Republican nomination for Missouri state auditor,
filed suit, alleging that a Missouri statute imposing limits ranging from $275 to
$1,075 on contributions to candidates for state office violated their First and Fourteenth
Amendment rights. Shrink Missouri gave Fredman $1,025 in 1997, and $50 in 1998, and
represented that, without the statutory limitation, it would contribute more. Fredman
alleged he could campaign effectively only with more generous contributions than the
statute allowed. On cross-motions for summary judgment, the District Court sustained
the statute. Applying Buckley v. Valeo, 424 U. S. 1 (per curiam) , the court found
adequate support for the law in the proposition that large contributions raise suspicions
of influence peddling tending to undermine citizens' confidence in government integrity.
The court rejected respondents' contention that inflation since Buckley 's approval
of a federal $1,000 restriction meant that the state limit of $1,075 for a statewide
office could not be constitutional today. In reversing, the Eighth Circuit found that
Buckley had articulated and applied a strict scrutiny standard of review, and held
that Missouri had to demonstrate that it had a compelling interest and that the contribution
limits at issue were narrowly drawn to serve that interest. Treating Missouri's claim
of a compelling interest in avoiding the corruption or the perception of corruption
caused by candidates' acceptance of large campaign contributions as insufficient by
itself to satisfy strict scrutiny, the court required demonstrable evidence that genuine
problems resulted from contributions in amounts greater than the statutory limits.
It ruled that the State's evidence was inadequate for this purpose.
Held: Buckley is authority for comparable state limits on contributions to state
political candidates, and those limits need not be pegged to the precise dollar amounts
approved in Buckley. Pp. 5-18.
(a) The Buckley Court held, inter alia, that a Federal Election Campaign Act provision
placing a $1,000 annual ceiling on independent expenditures linked to specific candidates
for federal office infringed speech and association guarantees of the First Amendment
and the Equal Protection Clause of the Fourteenth, but upheld other provisions limiting
contributions by individuals to any single candidate to $1,000 per election. P. 5.
(b) In addressing the speech claim, the Buckley Court explicitly rejected both intermediate
scrutiny for communicative action, see United States v. O'Brien, 391 U. S. 367 , and
the similar standard applicable to merely time, place, and manner restrictions, see,
e.g., Adderley v. Florida, 385 U. S. 39 , and instead referred generally to "the exacting
scrutiny required by the First Amendment," 424 U. S., at 16 . The Court then drew
a line between expenditures and contributions, treating expenditure restrictions as
direct restraints on speech, id., at 19, but saying, in effect, that limiting contributions
left communication significantly unimpaired, id. , at 20-21. The Court flagged a similar
difference between the impacts of expenditure and contribution limits on association
rights, id. , at 22; see also id. , at 28, and later made that distinction explicit,
e.g., Federal Election Comm'n v. Massachusetts Citizens for Life, Inc., 479 U. S.
238 , 259-260. Thus, under Buckley 's standard of scrutiny, a contribution limit involving
significant interference with associational rights could survive if the Government
demonstrated that regulating contributions was a means "closely drawn" to match a
"sufficiently important interest," 424 U. S, at 25 , though the dollar amount of the
limit need not be "fine tun[ed]," id. , at 30. While Buckley did not attempt to parse
distinctions between the speech and associational standards of scrutiny for contribution
limits, the Court made clear that such restrictions bore more heavily on associational
rights than on speech rights, and thus proceeded on the understanding that a contribution
limitation surviving a claim of associational abridgement would survive a speech challenge
as well. The Court found the prevention of corruption and the appearance of corruption
to be a constitutionally sufficient justification for the contribution limits at issue.
Id. , at 25-28. Pp. 5-10.
(c) In defending its statute, Missouri espouses those same interests of preventing
corruption and the appearance of it. Even without Buckley , there would be no serious
question about the legitimacy of these interests, which underlie bribery and antigratuity
statutes. Rather, respondents take the State to task for failing to justify the invocation
of those interests with empirical evidence of actually corrupt practices or of a perception
among Missouri voters that unrestricted contributions must have been exerting a covertly
corrosive influence. The state statute is not void, however, for want of evidence.
The quantum of empirical evidence needed to satisfy heightened judicial scrutiny of
legislative judgments will vary up or down with the novelty and plausibility of the
justification raised. Buckley demonstrates that the dangers of large, corrupt contributions
and the suspicion that large contributions are corrupt are neither novel nor implausible.
See 424 U. S., at 27 , and n. 28. Respondents are wrong in arguing that this Court
has "supplemented" its Buckley holding with a new requirement that governments enacting
contribution limits must demonstrate that the recited harms are real, not merely conjectural,
a contention for which respondents rely principally on Colorado Republican Federal
Campaign Comm. v. Federal Election Comm'n, 518 U. S. 604 . This Court has never accepted
mere conjecture as adequate to carry a First Amendment burden, and Colorado Republican
deals not with a government's burden to justify contribution limits, but with limits
on independent expenditures by political parties, which the principal opinion expressly
distinguished from contribution limits. Id. , at 615-618. In any event, this case
does not present a close call requiring further definition of whatever the State's
evidentiary obligation may be. Although the record does not show that the Missouri
Legislature relied on the evidence and findings accepted in Buckley , the evidence
introduced by respondents or cited by the lower courts in this action and a prior
case involving a related ballot initiative is enough to show that the substantiation
of the congressional concerns reflected in Buckley has its counterpart in support
of the Missouri law. Moreover, although majority votes do not, as such, defeat First
Amendment protections, the statewide vote adopting the initiative attested to the
public perception that contribution limits are necessary to combat corruption and
the appearance thereof. A more extensive evidentiary documentation might be necessary
if petitioners had made any showing of their own to cast doubt on the apparent implications
of Buckley 's evidence and the record here. However, the nearest they come to challenging
these conclusions is their invocation of academic studies that are contradicted by
other studies. Pp. 10-15.
(d) There is no support for respondents' various arguments that the Missouri limitations
are so different in kind from those sustained in Buckley as to raise essentially a
new issue about the adequacy of the Missouri statute's tailoring to serve its purposes.
Here, as in Buckley, supra , at 21, there is no indication that those limits have
had any dramatic adverse effect on the funding of campaigns and political associations,
and thus there is no showing that the limitations prevented candidates from amassing
the resources necessary for effective advocacy. Indeed, the District Court found that
since the Missouri limits became effective, candidates for state office have been
able to raise funds sufficient to run effective campaigns, and that candidates are
still able to amass impressive campaign war chests. The plausibility of these conclusions
is buttressed by petitioners' evidence that in the last election before the contributions
became effective, 97.62 percent of all contributors to candidates for state auditor
made contributions of $2,000 or less. Even assuming that the contribution limits affected
respondent Fredman's ability to wage a competitive campaign, a showing of one affected
individual does not point up a system of suppressed political advocacy that would
be unconstitutional under Buckley . The District Court's conclusions and the supporting
evidence also suffice to answer respondents' variant claim that the Missouri limits
today differ in kind from Buckley' s owing to inflation since that case was decided.
Respondents' assumption that Buckley set a minimum constitutional threshold for contribution
limits, which in dollars adjusted for loss of purchasing power are now well above
the lines drawn by Missouri, is a fundamental misunderstanding of that case. The Court
there specifically rejected the contention that $1,000, or any other amount, was a
constitutional minimum, and instead asked whether the contribution limitation was
so low as to impede the ability of candidates to amass the resources necessary for
effective advocacy. 424 U. S., at 21 . Such being the test, the issue in subsequent
cases cannot be truncated to a narrow question about the power of the dollar. Pp.
15-18.
161 F. 3d 519, reversed and remanded.
Souter, J., delivered the opinion of the Court, in which Rehnquist, C. J., and Stevens,
O'Connor, Ginsburg, and Breyer, JJ., joined. Stevens, J., filed a concurring opinion.
Breyer, J., filed a concurring opinion, in which Ginsburg, J., joined. Kennedy, J.,
filed a dissenting opinion. Thomas, J., filed a dissenting opinion, in which Scalia,
J., joined.
JEREMIAH W. (JAY) NIXON, ATTORNEY GENERAL
OF MISSOURI, et al. , PETITIONERS v. SHRINK
MISSOURI GOVERNMENT PAC et al.
on writ of certiorari to the united states court of
appeals for the eighth circuit
[January 24, 2000]
Justice Souter delivered the opinion of the Court.
The principal issues in this case are whether Buckley v. Valeo, 424 U. S. 1 (1976)
(per curiam) , is authority for state limits on contributions to state political candidates
and whether the federal limits approved in Buckley , with or without adjustment for
inflation, define the scope of permissible state limitations today. We hold Buckley
to be authority for comparable state regulation, which need not be pegged to Buckley
's dollars.
I
In 1994, the Legislature of Missouri enacted Senate Bill 650 (SB650) to restrict
the permissible amounts of contributions to candidates for state office. Mo. Rev.
Stat. §130.032 (1994). Before the statute became effective, however, Missouri voters
approved a ballot initiative with even stricter contribution limits, effective immediately.
The United States Court of Appeals for the Eighth Circuit then held the initiative's
contribution limits unconstitutional under the First Amendment, Carver v. Nixon ,
72 F. 3d 633, 645 (CA8 1995), cert. denied, 518 U. S. 1033 (1996), with the upshot
that the previously dormant 1994 statute took effect. Shrink Missouri Government PAC
v. Adams , 161 F. 3d 519, 520 (CA8 1998).
As amended in 1997, that statute imposes contribution limits ranging from $250 to
a $1,000, depending on specified state office or size of constituency. See Mo. Rev.
Stat. §130.032.1 (1998 Cum. Supp.); 161 F. 3d, at 520. The particular provision challenged
here reads that
"[t]o elect an individual to the office of governor, lieutenant governor, secretary
of state, state treasurer, state auditor or attorney general, [[t]he amount of contributions
made by or accepted from any person other than the candidate in any one election shall
not exceed] one thousand dollars." Mo. Rev. Stat. §130.032.1(1) (1998 Cum. Supp.).
The statutory dollar amounts are baselines for an adjustment each even-numbered year,
to be made "by multiplying the base year amount by the cumulative consumer price index
... and rounded to the nearest twenty-five-dollar amount, for all years since January
1, 1995." §130.032.2. When this suit was filed, the limits ranged from a high of $1,075
for contributions to candidates for statewide office (including state auditor) and
for any office where the population exceeded 250,000, down to $275 for contributions
to candidates for state representative or for any office for which there were fewer
than 100,000 people represented. 161 F. 3d, at 520; App. 37.
Respondents Shrink Missouri Government PAC, a political action committee, and Zev
David Fredman, a candidate for the 1998 Republican nomination for state auditor, sought
to enjoin enforcement of the contribution statute 1 as violating their First and Fourteenth
Amendment rights (presumably those of free speech, association, and equal protection,
although the complaint did not so state). Shrink Missouri gave $1,025 to Fredman's
candidate committee in 1997, and another $50 in 1998. Shrink Missouri represented
that, without the limitation, it would contribute more to the Fredman campaign. Fredman
alleged he could campaign effectively only with more generous contributions than §130.032.1
allowed. Shrink Missouri Government PAC v. Adams , 5 F. Supp. 2d 734, 737 (ED Mo.
1998).
On cross-motions for summary judgment, the District Court sustained the statute.
Id. , at 742. Applying Buckley v. Valeo , supra , the court found adequate support
for the law in the proposition that large contributions raise suspicions of influence
peddling tending to undermine citizens' confidence "in the integrity of ... government."
5 F. Supp. 2d, at 738. The District Court rejected respondents' contention that inflation
since Buckley 's approval of a federal $1,000 restriction meant that the state limit
of $1,075 for a statewide office could not be constitutional today. Id. , at 740 .
The Court of Appeals for the Eighth Circuit nonetheless enjoined enforcement of the
law pending appeal, 151 F. 3d 763, 765 (1998), and ultimately reversed the District
Court. 161 F. 3d, at 520. Finding that Buckley had " `articulated and applied a strict
scrutiny standard of review,' " the Court of Appeals held that Missouri was bound
to demonstrate "that it has a compelling interest and that the contribution limits
at issue are narrowly drawn to serve that interest." Id. , at 521 (quoting Carver
v. Nixon , 72 F. 3d, at 637). The appeals court treated Missouri's claim of a compelling
interest "in avoiding the corruption or the perception of corruption brought about
when candidates for elective office accept large campaign contributions" as insufficient
by itself to satisfy strict scrutiny. 161 F. 3d, at 521-522. Relying on Circuit precedent,
see Russell v. Burris , 146 F. 3d 563, 568 (CA8), cert. denied, 525 U. S. 1001 (1998);
Carver v. Nixon, supra , at 638, the Court of Appeals required
"some demonstrable evidence that there were genuine problems that resulted from contributions
in amounts greater than the limits in place. . . .
"[T]he Buckley Court noted the perfidy that had been uncovered in federal campaign
financing in 1972... . But we are unwilling to extrapolate from those examples that
in Missouri at this time there is corruption or a perception of corruption from `large'
campaign contributions, without some evidence that such problems really exist." 161
F. 3d, at 521-522 (citations omitted).
The court thought that the only evidence presented by the State, an affidavit from
the co-chairman of the state legislature's Interim Joint Committee on Campaign Finance
Reform when the statute was passed, was inadequate to raise a genuine issue of material
fact about the State's alleged interest in limiting campaign contributions. Ibid .
2
Given the large number of States that limit political contributions, see generally
Federal Election Commission, E. Feigenbaum & J. Palmer, Campaign Finance Law 98 (1998),
we granted certiorari to review the congruence of the Eighth Circuit's decision with
Buckley . 525 U. S. 1121 (1999). We reverse.
II
The matters raised in Buckley v. Valeo , 424 U. S. 1 (1976) (per curiam), included
claims that federal campaign finance legislation infringed speech and association
guarantees of the First Amendment and the Equal Protection Clause of the Fourteenth.
The Federal Election Campaign Act of 1971, 86 Stat. 3, as amended by the Federal Election
Campaign Act Amendments of 1974, 88 Stat. 1263, limited (and still limits) contributions
by individuals to any single candidate for federal office to $1,000 per election.
18 U. S. C. §§608(b)(1), (3) (1970 ed., Supp. IV); Buckley v. Valeo, supra , at 13.
Until Buckley struck it down, the law also placed a $1,000 annual ceiling on independent
expenditures linked to specific candidates. 18 U. S. C. §608(e) (1970 ed., Supp. IV);
424 U. S., at 13 . We found violations of the First Amendment in the expenditure regulations,
but held the contribution restrictions constitutional. Buckley v. Valeo , supra .
A
Precision about the relative rigor of the standard to review contribution limits
was not a pretense of the Buckley per curiam opinion. To be sure, in addressing the
speech claim, we explicitly rejected both O'Brien intermediate scrutiny for communicative
action, see United States v. O'Brien, 391 U. S. 367 (1968), and the similar standard
applicable to merely time, place, and manner restrictions, see Adderley v. Florida,
385 U. S. 39 (1966); Cox v. Louisiana, 379 U. S. 536 (1965); Kovacs v. Cooper, 336
U. S. 77 (1949). In distinguishing these tests, the discussion referred generally
to "the exacting scrutiny required by the First Amendment," Buckley v. Valeo , 424
U. S., at 16 , and added that " `the constitutional guarantee has its fullest and
most urgent application precisely to the conduct of campaigns for political office,'
" id. , at 15 (quoting Monitor Patriot Co. v. Roy, 401 U. S. 265, 272 (1971)).
We then, however, drew a line between expenditures and contributions, treating expenditure
restrictions as direct restraints on speech, 424 U. S., at 19 , which nonetheless
suffered little direct effect from contribution limits:
"[A] limitation upon the amount that any one person or group may contribute to a
candidate or political committee entails only a marginal restriction upon the contributor's
ability to engage in free communication. A contribution serves as a general expression
of support for the candidate and his views, but does not communicate the underlying
basis for the support. The quantity of communication by the contributor does not increase
perceptibly with the size of his contribution, since the expression rests solely on
the undifferentiated symbolic act of contributing. At most, the size of the contribution
provides a very rough index of the intensity of the contributor's support for the
candidate. A limitation on the amount of money a person may give to a candidate or
campaign organization thus involves little direct restraint on his political communication,
for it permits the symbolic expression of support evidenced by a contribution but
does not in any way infringe the contributor's freedom to discuss candidates and issues."
Id. , at 20-21 (footnote
omitted).
We thus said, in effect, that limiting contributions left communication significantly
unimpaired.
We flagged a similar difference between expenditure and contribution limitations
in their impacts on the association right. While an expenditure limit "precludes most
associations from effectively amplifying the voice of their adherents," id. , at 22
(thus interfering with the freedom of the adherents as well as the association, ibid
.), the contribution limits "leave the contributor free to become a member of any
political association and to assist personally in the association's efforts on behalf
of candidates," ibid. ; see also id. , at 28. While we did not then say in so many
words that different standards might govern expenditure and contribution limits affecting
associational rights, we have since then said so explicitly in Federal Election Comm'n
v. Massachusetts Citizens for Life, Inc., 479 U. S. 238, 259-260 (1986): "We have
consistently held that restrictions on contributions require less compelling justification
than restrictions on independent spending." It has, in any event, been plain ever
since Buckley that contribution limits would more readily clear the hurdles before
them. Cf. Colorado Republican Federal Campaign Comm. v. Federal Election Comm'n, 518
U. S. 604, 610 (1996) (opinion of Breyer, J.) (noting that in campaign finance case
law, "[t]he provisions that the Court found constitutional mostly imposed contribution
limits" (emphasis in original)). Thus, under Buckley 's standard of scrutiny, a contribution
limit involving "significant interference" with associational rights, 424 U. S, at
25 (internal quotation marks omitted), could survive if the Government demonstrated
that contribution regulation was "closely drawn" to match a "sufficiently important
interest," ibid. , though the dollar amount of the limit need not be "fine tun[ed],"
id. , at 30. 3
While we did not attempt to parse distinctions between the speech and association
standards of scrutiny for contribution limits, we did make it clear that those restrictions
bore more heavily on the associational right than on freedom to speak. Id. , at 24-25.
We consequently proceeded on the understanding that a contribution limitation surviving
a claim of associational abridgment would survive a speech challenge as well, and
we held the standard satisfied by the contribution limits under review.
"[T]he prevention of corruption and the appearance of corruption," was found to be
a "constitutionally sufficient justification," id. , at 25-26:
"To the extent that large contributions are given to secure a political quid pro
quo from current and potential office holders, the integrity of our system of representative
democracy is undermined... .
"Of almost equal concern as the danger of actual quid pro quo arrangements is the
impact of the appearance of corruption stemming from public awareness of the opportunities
for abuse inherent in a regime of large individual financial contributions... . Congress
could legitimately conclude that the avoidance of the appearance of improper influence
`is also critical ... if confidence in the system of representative Government is
not to be eroded to a disastrous extent.' " Id. , at 27 (quoting Civil Service Comm'n
v. Letter Carriers, 413 U. S. 548, 565 (1973)).
See also Federal Election Comm'n v. National Conservative Political Action Comm.,
470 U. S. 480, 497 (1985) ("Corruption is a subversion of the political process. Elected
officials are influenced to act contrary to their obligations of office by the prospect
of financial gain to themselves or infusions of money into their campaigns"); Federal
Election Comm'n v. National Right to Work Comm., 459 U. S. 197, 208 (1982) (noting
that Government interests in preventing corruption or the appearance of corruption
"directly implicate `the integrity of our electoral process, and, not less, the responsibility
of the individual citizen for the successful functioning of that process' " (quoting
United States v. Automobile Workers, 352 U. S. 567, 570 (1957)); First Nat. Bank of
Boston v. Bellotti, 435 U. S. 765, 788 , n. 26 (1978) ("The importance of the governmental
interest in preventing [corruption] has never been doubted").
In speaking of "improper influence" and "opportunities for abuse" in addition to
" quid pro quo arrangements," we recognized a concern not confined to bribery of public
officials, but extending to the broader threat from politicians too compliant with
the wishes of large contributors. These were the obvious points behind our recognition
that the Congress could constitutionally address the power of money "to influence
governmental action" in ways less "blatant and specific" than bribery. Buckley v.
Valeo , 424 U. S., at 28 . 4
B
In defending its own statute, Missouri espouses those same interests of preventing
corruption and the appearance of it that flows from munificent campaign contributions.
Even without the authority of Buckley , there would be no serious question about the
legitimacy of the interests claimed, which, after all, underlie bribery and anti-gratuity
statutes. While neither law nor morals equate all political contributions, without
more, with bribes, we spoke in Buckley of the perception of corruption "inherent in
a regime of large individual financial contributions" to candidates for public office,
id. , at 27, as a source of concern "almost equal" to quid pro quo improbity, ibid
. The public interest in countering that perception was, indeed, the entire answer
to the overbreadth claim raised in the Buckley case. Id. , at 30. This made perfect
sense. Leave the perception of impropriety unanswered, and the cynical assumption
that large donors call the tune could jeopardize the willingness of voters to take
part in democratic governance. Democracy works "only if the people have faith in those
who govern, and that faith is bound to be shattered when high officials and their
appointees engage in activities which arouse suspicions of malfeasance and corruption."
United States v. Mississippi Valley Generating Co., 364 U. S. 520, 562 (1961).
Although respondents neither challenge the legitimacy of these objectives nor call
for any reconsideration of Buckley , they take the State to task, as the Court of
Appeals did, for failing to justify the invocation of those interests with empirical
evidence of actually corrupt practices or of a perception among Missouri voters that
unrestricted contributions must have been exerting a covertly corrosive influence.
The state statute is not void, however, for want of evidence.
The quantum of empirical evidence needed to satisfy heightened judicial scrutiny
of legislative judgments will vary up or down with the novelty and plausibility of
the justification raised. Buckley demonstrates that the dangers of large, corrupt
contributions and the suspicion that large contributions are corrupt are neither novel
nor implausible. The opinion noted that "the deeply disturbing examples surfacing
after the 1972 election demonstrate that the problem [of corruption] is not an illusory
one." 424 U. S., at 27 , and n. 28. Although we did not ourselves marshal the evidence
in support of the congressional concern, we referred to "a number of the abuses" detailed
in the Court of Appeals's decision, ibid. , which described how corporations, well-financed
interest groups, and rich individuals had made large contributions, some of which
were illegal under existing law, others of which reached at least the verge of bribery.
See Buckley v. Valeo , 519 F. 2d 821, 839-840, and nn. 36-38 (CADC 1975). The evidence
before the Court of Appeals described public revelations by the parties in question
more than sufficient to show why voters would tend to identify a big donation with
a corrupt purpose.
While Buckley 's evidentiary showing exemplifies a sufficient justification for contribution
limits, it does not speak to what may be necessary as a minimum. 5 As to that, respondents
are wrong in arguing that in the years since Buckley came down we have "supplemented"
its holding with a new requirement that governments enacting contribution limits must
" `demonstrate that the recited harms are real, not merely conjectural,' " Brief for
Respondents Shrink Missouri Government PAC et al. 26 (quoting United States v. Treasury
Employees, 513 U. S. 454, 475 (1995) (in turn quoting Turner Broadcasting System,
Inc. v. FCC, 512 U. S. 622, 664 (1994))), a contention for which respondents rely
principally on Colorado Republican Federal Campaign Comm. v. Federal Election Comm'n,
518 U. S. 604 (1996). We have never accepted mere conjecture as adequate to carry
a First Amendment burden, and Colorado Republican did not deal with a government's
burden to justify limits on contributions. Although the principal opinion in that
case charged the Government with failure to show a real risk of corruption, id. ,
at 616 (opinion of Breyer, J. ), the issue in question was limits on independent expenditures
by political parties, which the principal opinion expressly distinguished from contribution
limits: "limitations on independent expenditures are less directly related to preventing
corruption" than contributions are. Id. , at 615. In that case, the "constitutionally
significant fact" that there was no "coordination between the candidate and the source
of the expenditure" kept the principal opinion "from assuming, absent convincing evidence
to the contrary, that [a limitation on expenditures] is necessary to combat a substantial
danger of corruption of the electoral system." Id. , at 617-618. Colorado Republican
thus goes hand in hand with Buckley , not toe to toe.
In any event, this case does not present a close call requiring further definition
of whatever the State's evidentiary obligation may be. While the record does not show
that the Missouri Legislature relied on the evidence and findings accepted in Buckley
, 6 the evidence introduced into the record by respondents or cited by the lower courts
in this action and the action regarding Proposition A is enough to show that the substantiation
of the congressional concerns reflected in Buckley has its counterpart supporting
the Missouri law. Although Missouri does not preserve legislative history, 5 F. Supp.
2d, at 738, the State presented an affidavit from State Senator Wayne Goode, the co-chair
of the state legislature's Interim Joint Committee on Campaign Finance Reform at the
time the State enacted the contribution limits, who stated that large contributions
have " `the real potential to buy votes,' " ibid. ; App. 47. The District Court cited
newspaper accounts of large contributions supporting inferences of impropriety. 5
F. Supp. 2d, at 738, n. 6. One report questioned the state treasurer's decision to
use a certain bank for most of Missouri's banking business after that institution
contributed $20,000 to the treasurer's campaign. Editorial, The Central Issue is Trust,
St. Louis Post-Dispatch, Dec. 31, 1993, p. 6C. Another made much of the receipt by
a candidate for state auditor of a $40,000 contribution from a brewery and one for
$20,000 from a bank. J. Mannies, Auditor Race May Get Too Noisy to be Ignored, St.
Louis Post-Dispatch, Sept. 11, 1994, at 4B. In Carver v. Nixon , 72 F. 3d 633 (1995),
the Eighth Circuit itself, while invalidating the limits Proposition A imposed, identified
a $420,000 contribution to candidates in northern Missouri from a political action
committee linked to an investment bank, and three scandals, including one in which
a state representative was "accused of sponsoring legislation in exchange for kickbacks,"
and another in which Missouri's former attorney general pleaded guilty to charges
of conspiracy to misuse state property, id., at 642, and n. 10, after being indicted
for using a state workers' compensation fund to benefit campaign contributors. And
although majority votes do not, as such, defeat First Amendment protections, the statewide
vote on Proposition A certainly attested to the perception relied upon here: "[A]n
overwhelming 74 percent of the voters of Missouri determined that contribution limits
are necessary to combat corruption and the appearance thereof." Carver v. Nixon ,
882 F. Supp. 901, 905 (WD Mo.), rev'd, 72 F. 3d 633 (CA8 1995); see also 5 F. Supp.
2d, at 738, n. 7.
There might, of course, be need for a more extensive evidentiary documentation if
petitioners had made any showing of their own to cast doubt on the apparent implications
of Buckley 's evidence and the record here, but the closest respondents come to challenging
these conclusions is their invocation of academic studies said to indicate that large
contributions to public officials or candidates do not actually result in changes
in candidates' positions. Brief for Respondents Shrink Missouri Government PAC et
al. 41; Smith, Money Talks: Speech, Corruption, Equality, and Campaign Finance, 86
Geo. L. J. 45, 58 (1997); Smith, Faulty Assumptions and Undemocratic Consequences
of Campaign Finance Reform, 105 Yale L. J. 1049, 1067-1068 (1995). Other studies,
however, point the other way. Reply Brief for Respondent Bray 4-5; F. Sorauf, Inside
Campaign Finance 169 (1992); Hall & Wayman, Buying Time: Moneyed Interests and the
Mobilization of Bias in Congressional Committees, 84 Am. Pol. Sci. Rev. 797 (1990);
D. Magleby & C. Nelson, The Money Chase 78 (1990). Given the conflict among these
publications, and the absence of any reason to think that public perception has been
influenced by the studies cited by respondents, there is little reason to doubt that
sometimes large contributions will work actual corruption of our political system,
and no reason to question the existence of a corresponding suspicion among voters.
C
Nor do we see any support for respondents' various arguments that in spite of their
striking resemblance to the limitations sustained in Buckley, those in Missouri are
so different in kind as to raise essentially a new issue about the adequacy of the
Missouri statute's tailoring to serve its purposes. 7 Here, as in Buckley , "[t]here
is no indication . . . that the contribution limitations imposed by the [law] would
have any dramatic[ally] adverse effect on the funding of campaigns and political associations,"
and thus no showing that "the limitations prevented the candidates and political committees
from amassing the resources necessary for effective advocacy." 424 U. S., at 21 .
The District Court found here that in the period since the Missouri limits became
effective, "candidates for state elected office [have been] quite able to raise funds
sufficient to run effective campaigns," 5 F. Supp. 2d, at 740, and that "candidates
for political office in the state are still able to amass impressive campaign war
chests," id., at 741. 8 The plausibility of these conclusions is buttressed by petitioners'
evidence that in the 1994 Missouri elections (before any relevant state limitations
went into effect), 97.62 percent of all contributors to candidates for state auditor
made contributions of $2,000 or less. 5 F. Supp. 2d, at 741; App. 34-36. 9 Even if
we were to assume that the contribution limits affected respondent Fredman's ability
to wage a competitive campaign (no small assumption given that Fredman only identified
one contributor, Shrink Missouri, that would have given him more than $1,075 per election),
a showing of one affected individual does not point up a system of suppressed political
advocacy that would be unconstitutional under Buckley .
These conclusions of the District Court and the supporting evidence also suffice
to answer respondents' variant claim that the Missouri limits today differ in kind
from Buckley' s owing to inflation since 1976. Respondents seem to assume that Buckley
set a minimum constitutional threshold for contribution limits, which in dollars adjusted
for loss of purchasing power are now well above the lines drawn by Missouri. But this
assumption is a fundamental misunderstanding of what we held.
In Buckley, we specifically rejected the contention that $1,000, or any other amount,
was a constitutional minimum below which legislatures could not regulate. As indicated
above, we referred instead to the outer limits of contribution regulation by asking
whether there was any showing that the limits were so low as to impede the ability
of candidates to "amas[s] the resources necessary for effective advocacy," 424 U.
S., at 21 . We asked, in other words, whether the contribution limitation was so radical
in effect as to render political association ineffective, drive the sound of a candidate's
voice below the level of notice, and render contributions pointless. Such being the
test, the issue in later cases cannot be truncated to a narrow question about the
power of the dollar, but must go to the power to mount a campaign with all the dollars
likely to be forthcoming. As Judge Gibson put it, the dictates of the First Amendment
are not mere functions of the Consumer Price Index. 161 F. 3d, at 525 (dissenting
opinion).
D
The dissenters in this case think our reasoning evades the real issue. Justice Thomas
chides us for "hiding behind" Buckley , post , at 13, and Justice Kennedy faults us
for seeing this case as "a routine application of our analysis" in Buckley instead
of facing up to what he describes as the consequences of Buckley , post , at 1. Each
dissenter would overrule Buckley and thinks we should do the same.
The answer is that we are supposed to decide this case. Shrink and Fredman did not
request that Buckley be overruled; the furthest reach of their arguments about the
law was that subsequent decisions already on the books had enhanced the State's burden
of justification beyond what Buckley required, a proposition we have rejected as mistaken.
III
There is no reason in logic or evidence to doubt the sufficiency of Buckley to govern
this case in support of the Missouri statute. The judgment of the Court of Appeals
is, accordingly, reversed, and the case is remanded for proceedings consistent with
this opinion.
It is so ordered.
JEREMIAH W. (JAY) NIXON, ATTORNEY GENERAL
OF MISSOURI, et al. , PETITIONERS v. SHRINK
MISSOURI GOVERNMENT PAC et al.
on writ of certiorari to the united states court of
appeals for the eighth circuit
[January 24, 2000]
Justice Stevens , concurring.
Justice Kennedy suggests that the misuse of soft money tolerated by this Court's
misguided decision in Colorado Republican Federal Campaign Comm. v. Federal Election
Comm'n, 518 U. S. 604 (1996), demonstrates the need for a fresh examination of the
constitutional issues raised by Congress' enactment of the Federal Election Campaign
Acts of 1971 and 1974 and this Court's resolution of those issues in Buckley v. Valeo,
424 U. S. 1 (1976) (per curiam) . In response to his call for a new beginning, therefore,
I make one simple point. Money is property; it is not speech.
Speech has the power to inspire volunteers to perform a multitude of tasks on a campaign
trail, on a battleground, or even on a football field. Money, meanwhile, has the power
to pay hired laborers to perform the same tasks. It does not follow, however, that
the First Amendment provides the same measure of protection to the use of money to
accomplish such goals as it provides to the use of ideas to achieve the same results.
1
Our Constitution and our heritage properly protect the individual's interest in making
decisions about the use of his or her own property. Governmental regulation of such
decisions can sometimes be viewed either as "deprivations of liberty" or as "deprivations
of property," see, e.g., Moore v. East Cleveland, 431 U. S. 494, 513 (1977) (S tevens
, J., concurring in judgment). Telling a grandmother that she may not use her own
property to provide shelter to a grandchild--or to hire mercenaries to work in that
grandchild's campaign for public office--raises important constitutional concerns
that are unrelated to the First Amendment. Because I did not participate in the Court's
decision in Buckley , I did not have the opportunity to suggest then that those property
and liberty concerns adequately explain the Court's decision to invalidate the expenditure
limitations in the 1974 Act.
Reliance on the First Amendment to justify the invalidation of campaign finance regulations
is the functional equivalent of the Court's candid reliance on the doctrine of substantive
due process as articulated in the two prevailing opinions in Moore v. East Cleveland
. The right to use one's own money to hire gladiators, or to fund "speech by proxy,"
certainly merits significant constitutional protection. These property rights, however,
are not entitled to the same protection as the right to say what one pleases.
JEREMIAH W. (JAY) NIXON, ATTORNEY GENERAL
OF MISSOURI, et al. , PETITIONERS v. SHRINK
MISSOURI GOVERNMENT PAC et al.
on writ of certiorari to the united states court of
appeals for the eighth circuit
[January 24, 2000]
Justice Breyer , with whom Justice Ginsburg joins, concurring.
The dissenters accuse the Court of weakening the First Amendment. They believe that
failing to adopt a "strict scrutiny" standard "balance[s] away First Amendment freedoms."
Post , at 1 (opinion of Thomas, J .). But the principal dissent oversimplifies the
problem faced in the campaign finance context. It takes a difficult constitutional
problem and turns it into a lopsided dispute between political expression and government
censorship. Under the cover of this fiction and its accompanying formula, the dissent
would make the Court absolute arbiter of a difficult question best left, in the main,
to the political branches. I write separately to address the critical question of
how the Court ought to review this kind of problem, and to explain why I believe the
Court's choice here is correct.
If the dissent believes that the Court diminishes the importance of the First Amendment
interests before us, it is wrong. The Court's opinion does not question the constitutional
importance of political speech or that its protection lies at the heart of the First
Amendment. Nor does it question the need for particularly careful, precise, and independent
judicial review where, as here, that protection is at issue. But this is a case where
constitutionally protected interests lie on both sides of the legal equation. For
that reason there is no place for a strong presumption against constitutionality,
of the sort often thought to accompany the words "strict scrutiny." Nor can we expect
that mechanical application of the tests associated with "strict scrutiny"--the tests
of "compelling interests" and "least restrictive means"--will properly resolve the
difficult constitutional problem that campaign finance statutes pose. Cf. Kovacs v.
Cooper, 336 U. S. 77, 96 (1949) (Frankfurter, J., concurring) (objecting, in the First
Amendment context, to "oversimplified formulas"); see also Eu v. San Francisco County
Democratic Central Comm., 489 U. S. 214, 233-234 (1989) ( Stevens, J., concurring);
Illinois Bd. of Elections v. Socialist Workers Party, 440 U. S. 173, 188-189 (1979)
(Blackmun, J., concurring) (same).
On the one hand, a decision to contribute money to a campaign is a matter of First
Amendment concern--not because money is speech (it is not); but because it enables
speech. Through contributions the contributor associates himself with the candidate's
cause, helps the candidate communicate a political message with which the contributor
agrees, and helps the candidate win by attracting the votes of similarly minded voters.
Buckley v. Valeo, 424 U. S. 1, 24-25 (1976) (per curiam) . Both political association
and political communication are at stake.
On the other hand, restrictions upon the amount any one individual can contribute
to a particular candidate seek to protect the integrity of the electoral process--the
means through which a free society democratically translates political speech into
concrete governmental action. See id. , at 26-27; Burroughs v. United States, 290
U. S. 534, 545 (1934) (upholding 1925 Federal Corrupt Practices Act by emphasizing
constitutional importance of safeguarding the electoral process); see also Burson
v. Freeman, 504 U. S. 191, 199 (1992) (plurality opinion) (recognizing compelling
interest in preserving integrity of electoral process). Moreover, by limiting the
size of the largest contributions, such restrictions aim to democratize the influence
that money itself may bring to bear upon the electoral process. Cf. Reynolds v. Sims,
377 U. S. 533, 565 (1964) (in the context of apportionment, the Constitution "demands"
that each citizen have "an equally effective voice"). In doing so, they seek to build
public confidence in that process and broaden the base of a candidate's meaningful
financial support, encouraging the public participation and open discussion that the
First Amendment itself presupposes. See Mills v. Alabama, 384 U. S. 214, 218-219 (1966);
Whitney v. California, 274 U. S. 357, 375-376 (1927) (Brandeis, J., concurring); A.
Meiklejohn, Free Speech and Its Relation to Self-Government 24-27 (1948).
In service of these objectives, the statute imposes restrictions of degree. It does
not deny the contributor the opportunity to associate with the candidate through a
contribution, though it limits a contribution's size. Nor does it prevent the contributor
from using money (alone or with others) to pay for the expression of the same views
in other ways. Instead, it permits all supporters to contribute the same amount of
money, in an attempt to make the process fairer and more democratic.
Under these circumstances, a presumption against constitutionality is out of place.
I recognize that Buckley used language that could be interpreted to the contrary.
It said, for example, that it rejected "the concept that government may restrict the
speech of some elements of our society in order to enhance the relative voice of others."
424 U. S., at 48 -49. But those words cannot be taken literally. The Constitution
often permits restrictions on the speech of some in order to prevent a few from drowning
out the many--in Congress, for example, where constitutionally protected debate, Art.
I, §6, is limited to provide every Member an equal opportunity to express his or her
views. Or in elections, where the Constitution tolerates numerous restrictions on
ballot access, limiting the political rights of some so as to make effective the political
rights of the entire electorate. See, e.g. , Storer v. Brown, 415 U. S. 724, 736 (1974).
Regardless, as the result in Buckley made clear, the statement does not automatically
invalidate a statute that seeks a fairer electoral debate through contribution limits,
nor should it forbid the Court to take account of the competing constitutional interests
just mentioned.
In such circumstances--where a law significantly implicates competing constitutionally
protected interests in complex ways--the Court has closely scrutinized the statute's
impact on those interests, but refrained from employing a simple test that effectively
presumes unconstitutionality. Rather, it has balanced interests. And in practice that
has meant asking whether the statute burdens any one such interest in a manner out
of proportion to the statute's salutary effects upon the others (perhaps, but not
necessarily, because of the existence of a clearly superior, less restrictive alternative).
Where a legislature has significantly greater institutional expertise, as, for example,
in the field of election regulation, the Court in practice defers to empirical legislative
judgments--at least where that deference does not risk such constitutional evils as,
say, permitting incumbents to insulate themselves from effective electoral challenge.
This approach is that taken in fact by Buckley for contributions, and is found generally
where competing constitutional interests are implicated, such as privacy, see, e.g.
, Frisby v. Schultz, 487 U. S. 474, 485-488 (1988) (balancing rights of privacy and
expression); Rowan v. Post Office Dept. , 397 U. S. 728, 736 (1970) (same), First
Amendment interests of listeners or viewers, see, e.g. , Turner Broadcasting System,
Inc. v. FCC, 520 U. S. 180, 192-194 (1997) (recognizing the speech interests of both
viewers and cable operators); Columbia Broadcasting System, Inc. v. Democratic National
Committee, 412 U. S. 94, 102-103 (1973) ("Balancing the various First Amendment interests
involved in the broadcast media ... is a task of great delicacy and difficulty");
Red Lion Broadcasting Co. v. FCC, 395 U. S. 367, 389-390 (1969) (First Amendment permits
the Federal Communications Commission to restrict the speech of some to enable the
speech of others), and the integrity of the electoral process, see, e.g. , Burson
, 504 U. S., at 198 -211 (weighing First Amendment rights against electoral integrity
necessary for right to vote); Anderson v. Celebrezze, 460 U. S. 780, 788-790 (1983)
(same); Storer v. Brown, supra , at 730 (1974) ("[T]here must be a substantial regulation
of elections if they are to be fair and honest"). The approach taken by these cases
is consistent with that of other constitutional courts facing similarly complex constitutional
problems. See, e.g. , Bowman v. United Kingdom , 26 Eur. H. R. Rep. 1 (European Ct.
of Human Rights 1998) (demanding proportionality in the campaign finance context);
Libman v. Quebec (Attorney General) , 151 D. L. R.(4th) 385 (Canada 1997) (same).
For the dissenters to call the approach " sui generis ," post , at 1 (opinion of Thomas
, J.), overstates their case.
Applying this approach to the present case, I would uphold the statute essentially
for the reasons stated by the Court. I agree that the legislature understands the
problem--the threat to electoral integrity, the need for democratization--better than
do we. We should defer to its political judgment that unlimited spending threatens
the integrity of the electoral process. But we should not defer in respect to whether
its solution, by imposing too low a contribution limit, significantly increases the
reputation-related or media-related advantages of incumbency and thereby insulates
legislators from effective electoral challenge. The statutory limit here, $1,075 (or
378, 1976 dollars), is low enough to raise such a question. But given the empirical
information presented--the type of election at issue; the record of adequate candidate
financing post-reform; and the fact that the statute indexes the amount for inflation--I
agree with the Court that the statute does not work disproportionate harm. The limit
may have prevented the plaintiff, Zev David Fredman, from financing his own campaign
for office, for Fredman's support among potential contributors was not sufficiently
widespread. But any contribution statute (like any statute setting ballot eligibility
requirements, see, e.g., Jenness v. Fortson, 403 U. S. 431, 442 (1971)) will narrow
the field of conceivable challengers to some degree. Undue insulation is a practical
matter, and it cannot be inferred automatically from the fact that the limit makes
ballot access more difficult for one previously unsuccessful candidate.
The approach I have outlined here is consistent with the approach this Court has
taken in many complex First Amendment cases. See supra , at 4-5. The Buckley decision,
as well, might be interpreted as embodying sufficient flexibility for the problem
at hand. After all, Buckley 's holding seems to leave the political branches broad
authority to enact laws regulating contributions that take the form of "soft money."
It held public financing laws constitutional, 424 U. S., at 57 , n. 65, 85-109. It
says nothing one way or the other about such important proposed reforms as reduced-price
media time. And later cases presuppose that the Federal Election Commission has the
delegated authority to interpret broad statutory provisions in light of the campaign
finance law's basic purposes, despite disagreements over whether the Commission has
exercised that authority in a particular case. See Colorado Republican Federal Campaign
Comm. v. Federal Election Comm'n, 518 U. S. 604, 619-621 (1996) (whether claimed "independent
expenditure" is a "coordinated expenditure"); accord, id. , at 648-650 ( Stevens,
J. , dissenting). Alternatively, it might prove possible to reinterpret aspects of
Buckley in light of the post- Buckley experience stressed by Justice Kennedy , post
, at 2-5 (dissenting opinion), making less absolute the contribution/expenditure line,
particularly in respect to independently wealthy candidates, whose expenditures might
be considered contributions to their own campaigns.
But what if I am wrong about Buckley ? Suppose Buckley denies the political branches
sufficient leeway to enact comprehensive solutions to the problems posed by campaign
finance. If so, like Justice Kennedy , I believe the Constitution would require us
to reconsider Buckley . With that understanding I join the Court's opinion.
JEREMIAH W. (JAY) NIXON, ATTORNEY GENERAL
OF MISSOURI, et al. , PETITIONERS v. SHRINK
MISSOURI GOVERNMENT PAC et al.
on writ of certiorari to the united states court of
appeals for the eighth circuit
[January 24, 2000]
Justice Kennedy , dissenting.
The Court's decision has lasting consequences for political speech in the course
of elections, the speech upon which democracy depends. Yet in defining the controlling
standard of review and applying it to the urgent claim presented, the Court seems
almost indifferent. Its analysis would not be acceptable for the routine case of a
single protester with a hand-scrawled sign, see City of Ladue v. Gilleo, 512 U. S.
43 (1994), a few demonstrators on a public sidewalk, see United States v. Grace, 461
U. S. 171 (1983), or a driver who taped over the motto on his license plate because
he disagreed with its message, see Wooley v. Maynard, 430 U. S. 705 (1977). Surely
the Court's approach is unacceptable for a case announcing a rule that suppresses
one of our most essential and prevalent forms of political speech.
It would be no answer to say that this is a routine application of our analysis in
Buckley v. Valeo, 424 U. S. 1 (1976) (per curiam) , to a similar set of facts, so
that a cavalier dismissal of the petitioners' claim is appropriate. The justifications
for the case system and stare decisis must rest upon the Court's capacity, and responsibility,
to acknowledge its missteps. It is our duty to face up to adverse, unintended consequences
flowing from our own prior decisions. With all respect, I submit the Court does not
accept this obligation in the case before us. Instead, it perpetuates and compounds
a serious distortion of the First Amendment resulting from our own intervention in
Buckley . The Court is concerned about voter suspicion of the role of money in politics.
Amidst an atmosphere of skepticism, however, it hardly inspires confidence for the
Court to abandon the rigors of our traditional First Amendment structure.
I
Zev David Fredman asks us to evaluate his speech claim in the context of a system
which favors candidates and officeholders whose campaigns are supported by soft money,
usually funneled through political parties. The Court pays him no heed. The plain
fact is that the compromise the Court invented in Buckley set the stage for a new
kind of speech to enter the political system. It is covert speech. The Court has forced
a substantial amount of political speech underground, as contributors and candidates
devise ever more elaborate methods of avoiding contribution limits, limits which take
no account of rising campaign costs. The preferred method has been to conceal the
real purpose of the speech. Soft money may be contributed to political parties in
unlimited amounts, see Colorado Republican Federal Campaign Comm. v. Federal Election
Comm'n, 518 U. S. 604, 616 (1996), and is used often to fund so-called issue advocacy,
advertisements that promote or attack a candidate's positions without specifically
urging his or her election or defeat. Briffault, Issue Advocacy: Redrawing the Elections/Politics
Line, 77 Tex. L. Rev. 1751, 1752-1753 (1999). Issue advocacy, like soft money, is
unrestricted, see Buckley , supra , at 42-44, while straightforward speech in the
form of financial contributions paid to a candidate, speech subject to full disclosure
and prompt evaluation by the public, is not. Thus has the Court's decision given us
covert speech. This mocks the First Amendment. The current system would be unfortunate,
and suspect under the First Amendment, had it evolved from a deliberate legislative
choice; but its unhappy origins are in our earlier decree in Buckley , which by accepting
half of what Congress did (limiting contributions) but rejecting the other (limiting
expenditures) created a misshapen system, one which distorts the meaning of speech.
The irony that we would impose this regime in the name of free speech ought to be
sufficient ground to reject Buckley 's wooden formula in the present case. The wrong
goes deeper, however. By operation of the Buckley rule, a candidate cannot oppose
this system in an effective way without selling out to it first. Soft money must be
raised to attack the problem of soft money. In effect, the Court immunizes its own
erroneous ruling from change. Rulings of this Court must never be viewed with more
caution than when they provide immunity from their own correction in the political
process and in the forum of unrestrained speech. The melancholy history of campaign
finance in Buckley 's wake shows what can happen when we intervene in the dynamics
of speech and expression by inventing an artificial scheme of our own.
The case in one sense might seem unimportant. It appears that Mr. Fredman was an
outsider candidate who may not have had much of a chance. Yet, by binding him to the
outdated limit of $1075 per contribution in a system where parties can raise soft
money without limitation and a powerful press faces no restrictions on use of its
own resources to back its preferred candidates, the Court tells Mr. Fredman he cannot
challenge the status quo unless he first gives into it. This is not the First Amendment
with which I am familiar.
To defend its extension of Buckley to present times, the Court, of course, recites
the dangers of corruption, or the appearance of corruption, when an interested person
contributes money to a candidate. What the Court does not do is examine and defend
the substitute it has encouraged, covert speech funded by unlimited soft money. In
my view that system creates dangers greater than the one it has replaced. The first
danger is the one already mentioned: that we require contributors of soft money and
its beneficiaries to mask their real purpose. Second, we have an indirect system of
accountability that is confusing, if not dispiriting, to the voter. The very disaffection
or distrust that the Court cites as the justification for limits on direct contributions
has now spread to the entire political discourse. Buckley has not worked.
My colleagues in the majority, in my respectful submission, do much disservice to
our First Amendment jurisprudence by failing to acknowledge or evaluate the whole
operation of the system that we ourselves created in Buckley . Our First Amendment
principles surely tell us that an interest thought to be the compelling reason for
enacting a law is cast into grave doubt when a worse evil surfaces in the law's actual
operation. And our obligation to examine the operation of the law is all the more
urgent when the new evil is itself a distortion of speech. By these measures the law
before us cannot pass any serious standard of First Amendment review.
Among the facts the Court declines to take into account is the emergence of cyberspace
communication by which political contributions can be reported almost simultaneously
with payment. The public can then judge for itself whether the candidate or the officeholder
has so overstepped that we no longer trust him or her to make a detached and neutral
judgment. This is a far more immediate way to assess the integrity and the performance
of our leaders than through the hidden world of soft money and covert speech.
Officeholders face a dilemma inherent in the democratic process and one that has
never been easy to resolve: how to exercise their best judgment while soliciting the
continued support and loyalty of constituents whose interests may not always coincide
with that judgment. Edmund Burke captured the tension in his Speeches at Bristol .
"Your representative owes you, not his industry only, but his judgment; and he betrays
instead of serving you, if he sacrifices it to your opinion." E. Burke, Speeches of
the Right Hon. Edmund Burke 130 (J. Burke ed. 1867). Whether our officeholders can
discharge their duties in a proper way when they are beholden to certain interests
both for reelection and for campaign support is, I should think, of constant concern
not alone to citizens but to conscientious officeholders themselves. There are no
easy answers, but the Constitution relies on one: open, robust, honest, unfettered
speech that the voters can examine
and assess in an ever-changing and more complex
environment.
II
To this point my view may seem to be but a reflection of what Justice Thomas has
written, and to a large extent I agree with his insightful and careful discussion
of our precedents. If an ensuing chapter must be written, I may well come out as he
does, for his reasoning and my own seem to point to the conclusion that the legislature
can do little by way of imposing limits on political speech of this sort. For now,
however, I would leave open the possibility that Congress, or a state legislature,
might devise a system in which there are some limits on both expenditures and contributions,
thus permitting officeholders to concentrate their time and efforts on official duties
rather than on fundraising. For the reasons I have sought to express, there are serious
constitutional questions to be confronted in enacting any such scheme, but I would
not foreclose it at the outset. I would overrule Buckley and then free Congress or
state legislatures to attempt some new reform, if, based upon their own considered
view of the First Amendment, it is possible to do so. Until any reexamination takes
place, however, the existing distortion of speech caused by the half-way house we
created in Buckley ought to be eliminated. The First Amendment ought to be allowed
to take its own course without further obstruction from the artificial system we have
imposed. It suffices here to say that the law in question does not come even close
to passing any serious scrutiny.
For these reasons, though I am in substantial agreement with what Justice Thomas
says in his opinion, I have thought it necessary to file a separate dissent.
JEREMIAH W. (JAY) NIXON, ATTORNEY GENERAL
OF MISSOURI, et al. , PETITIONERS v. SHRINK
MISSOURI GOVERNMENT PAC et al.
on writ of certiorari to the united states court of
appeals for the eighth circuit
[January 24, 2000]
Justice Thomas , with whom Justice Scalia joins, dissenting.
In the process of ratifying Missouri's sweeping repression of political speech, the
Court today adopts the analytic fallacies of our flawed decision in Buckley v. Valeo,
424 U. S. 1 (1976) (per curiam) . Unfortunately, the Court is not content to merely
adhere to erroneous precedent. Under the guise of applying Buckley , the Court proceeds
to weaken the already enfeebled constitutional protection that Buckley afforded campaign
contributions. In the end, the Court employs a sui generis test to balance away First
Amendment freedoms.
Because the Court errs with each step it takes, I dissent. As I indicated in Colorado
Republican Federal Campaign Comm. v. Federal Election Comm'n, 518 U. S. 604, 635-644
(1996) (opinion concurring in judgment and dissenting in part), our decision in Buckley
was in error, and I would overrule it. I would subject campaign contribution limitations
to strict scrutiny, under which Missouri's contribution limits are patently unconstitutional.
I
I begin with a proposition that ought to be unassailable: Political speech is the
primary object of First Amendment protection. See, e.g. , Mills v. Alabama, 384 U.
S. 214, 218 (1966); Whitney v. California , 274 U. S. 357, 375 (1927) (Brandeis, J.,
concurring); T. Cooley, Constitutional Limitations *422; Z. Chafee, Free Speech in
the United States 28 (1954); Bork, Neutral Principles and Some First Amendment Problems,
47 Ind. L. J. 1, 20 (1971); Sunstein, Free Speech Now, in The Bill of Rights in the
Modern State 304-307 (G. Stone, R. Epstein, & C. Sunstein eds. 1992). The Founders
sought to protect the rights of individuals to engage in political speech because
a self-governing people depends upon the free exchange of political information. And
that free exchange should receive the most protection when it matters the most--during
campaigns for elective office. "The value and efficacy of [the right to elect the
members of government] depends on the knowledge of the comparative merits and demerits
of the candidates for public trust, and on the equal freedom, consequently, of examining
and discussing these merits and demerits of the candidates respectively." Madison,
Report on the Resolutions (1799), in 6 Writings of James Madison 397 (G. Hunt ed.
1906).
I do not start with these foundational principles because the Court openly disagrees
with them--it could not, for they are solidly embedded in our precedents. See, e.g.
, Eu v. San Francisco County Democratic Central Comm., 489 U. S. 214, 223 (1989) ("[T]he
First Amendment `has its fullest and most urgent application' to speech uttered during
a campaign for political office" (quoting Monitor Patriot Co. v. Roy, 401 U. S. 265,
272 (1971))); Brown v. Hartlage, 456 U. S. 45, 53 (1982) ("The free exchange of ideas
provides special vitality to the process traditionally at the heart of American constitutional
democracy--the political campaign"); Garrison v. Louisiana, 379 U. S. 64, 74-75 (1964)
("[S]peech concerning public affairs is ... the essence of self-government"). Instead,
I start with them because the Court today abandons them. For nearly half a century,
this Court has extended First Amendment protection to a multitude of forms of "speech,"
such as making false defamatory statements, filing lawsuits, dancing nude, exhibiting
drive-in movies with nudity, burning flags, and wearing military uniforms. 1 Not surprisingly,
the Courts of Appeals have followed our lead and concluded that the First Amendment
protects, for example, begging, shouting obscenities, erecting tables on a sidewalk,
and refusing to wear a necktie. 2 In light of the many cases of this sort, today's
decision is a most curious anomaly. Whatever the proper status of such activities
under the First Amendment, I am confident that they are less integral to the functioning
of our Republic than campaign contributions. Yet the majority today, rather than going
out of its way to protect political speech, goes out of its way to avoid protecting
it. As I explain below, contributions to political campaigns generate essential political
speech. And contribution caps, which place a direct and substantial limit on core
speech, should be met with the utmost skepticism and should receive the strictest
scrutiny.
II
At bottom, the majority's refusal to apply strict scrutiny to contribution limits
rests upon Buckley 's discounting of the First Amendment interests at stake. The analytic
foundation of Buckley , however, was tenuous from the very beginning and has only
continued to erode in the intervening years. What remains of Buckley fails to provide
an adequate justification for limiting individual contributions to political candidates.
A
To justify its decision upholding contribution limitations while striking down expenditure
limitations, the Court in Buckley explained that expenditure limits "represent substantial
rather than merely theoretical restraints on the quantity and diversity of political
speech," Buckley v. Valeo, 424 U. S., at 19 , while contribution limits "entai[l]
only a marginal restriction upon the contributor's ability to engage in free communication,"
id., at 20-21 (quoted ante , at 6). In drawing this distinction, the Court in Buckley
relied on the premise that contributing to a candidate differs qualitatively from
directly spending money. It noted that "[w]hile contributions may result in political
expression if spent by a candidate or an association to present views to the voters,
the transformation of contributions into political debate involves speech by someone
other than the contributor." Id. , at 21. See also California Medical Assn. v. Federal
Election Comm'n, 453 U. S. 182, 196 (1981) (plurality opinion) ("[T]he `speech by
proxy' that [a contributor] seeks to achieve through its contributions ... is not
the sort of political advocacy that this Court in Buckley found entitled to full First
Amendment protection").
But this was a faulty distinction ab initio because it ignored the reality of how
speech of all kinds is disseminated:
"Even in the case of a direct expenditure, there is usually some go-between that
facilitates the dissemination of the spender's message--for instance, an advertising
agency or a television station. To call a contribution `speech by proxy' thus does
little to differentiate it from an expenditure. The only possible difference is that
contributions involve an extra step in the proxy chain. But again, that is a difference
in form, not substance." Colorado Republican , 518 U. S., at 638 -639 ( Thomas , J.,
concurring in judgment and dissenting in part) (citations omitted).
And, inasmuch as the speech-by-proxy argument was disconnected from the realities
of political speech to begin with, it is not surprising that we have firmly rejected
it since Buckley . In Federal Election Comm'n v. National Conservative Political Action
Comm., 470 U. S. 480 (1985), we cast aside the argument that a contribution does not
represent the constitutionally protected speech of a contributor, recognizing "that
the contributors obviously like the message they are hearing from these organizations
and want to add their voices to that message; otherwise they would not part with their
money." Id. , at 495. Though in that case we considered limitations on expenditures
made by associations, our holding that the speech-by-proxy argument fails to diminish
contributors' First Amendment rights is directly applicable to this case. In both
cases, donors seek to disseminate information by giving to an organization controlled
by others. Through contributing, citizens see to it that their views on policy and
politics are articulated. In short, "they are aware that however great the confidence
they may justly feel in their own good sense, their interests can be more effectually
promoted by [another] than by themselves." The Federalist No. 35, p. 214 (C. Rossiter
ed. 1961) (A. Hamilton).
Without the assistance of the speech-by-proxy argument, the remainder of Buckley
's rationales founder. Those rationales--that the "quantity of communication by the
contributor does not increase perceptibly with the size of his contribution," Buckley
v. Valeo, supra , at 21 (quoted ante , at 6), that "the size of the contribution provides
a very rough index of the intensity of the contributor's support for the candidate,"
424 U. S., at 21 (quoted ante , at 6), and that "[a] contribution serves as a general
expression of support for the candidate and his views, but does not communicate the
underlying basis for the support," 424 U. S., at 21 (quoted ante , at 6)--still rest
on the proposition that speech by proxy is not fully protected. These contentions
simply ignore that a contribution, by amplifying the voice of the candidate, helps
to ensure the dissemination of the messages that the contributor wishes to convey.
Absent the ability to rest on the denigration of contributions as mere "proxy speech,"
the arguments fall apart. 3
The decision of individuals to speak through contributions rather than through independent
expenditures is entirely reasonable. 4 Political campaigns are largely candidate focused
and candidate driven. Citizens recognize that the best advocate for a candidate (and
the policy positions he supports) tends to be the candidate himself. And candidate
organizations also offer other advantages to citizens wishing to partake in political
expression. Campaign organizations offer a ready-built, convenient means of communicating
for donors wishing to support and amplify political messages. Furthermore, the leader
of the organization--the candidate--has a strong self-interest in efficiently expending
funds in a manner that maximizes the power of the messages the contributor seeks to
disseminate. Individual citizens understandably realize that they "may add more to
political discourse by giving rather than spending, if the donee is able to put the
funds to more productive use than can the individual." Colorado Republican, 518 U.
S. , at 636 ( Thomas , J., concurring in judgment and dissenting in part). See also
Federal Election Comm'n v. Massachusetts Citizens for Life, Inc., 479 U. S. 238, 261
(1986) ("[I]ndividuals contribute to a political organization in part because they
regard such a contribution as a more effective means of advocacy than spending the
money under their own personal direction"). 5
In the end, Buckley 's claim that contribution limits "d[o] not in any way infringe
the contributor's freedom to discuss candidates and issues," 424 U. S., at 21 (quoted
ante , at 6), ignores the distinct role of candidate organizations as a means of individual
participation in the Nation's civic dialogue. 6 The result is simply the suppression
of political speech. By depriving donors of their right to speak through the candidate,
contribution limits relegate donors' points of view to less effective modes of communication.
Additionally, limiting contributions curtails individual participation. "Even for
the affluent, the added costs in money or time of taking out a newspaper advertisement,
handing out leaflets on the street, or standing in front of one's house with a hand-held
sign may make the difference between participating and not participating in some public
debate." City of Ladue v. Gilleo, 512 U. S. 43, 57 (1994) (opinion of the Court by
Stevens , J.). Buckley completely failed in its attempt to provide a basis for permitting
government to second-guess the individual choices of citizens partaking in quintessentially
democratic activities. "The First Amendment mandates that we presume that speakers,
not the government, know best both what they want to say and how to say it." Riley
v. National Federation of Blind of N. C., Inc., 487 U. S. 781, 790-791 (1988).
B
The Court in Buckley denigrated the speech interests not only of contributors, but
also of candidates. Although the Court purported to be concerned about the plight
of candidates, it nevertheless proceeded to disregard their interests without justification.
The Court did not even attempt to claim that contribution limits do not suppress the
speech of political candidates. See 424 U. S., at 18 ("[C]ontribution ... limitations
impose direct quantity restrictions on political communication and association by
... candidates"); id ., at 33 ("[T]he [contribution] limitations may have a significant
effect on particular challengers or incumbents"). It could not have, given the reality
that donations "mak[e] a significant contribution to freedom of expression by enhancing
the ability of candidates to present, and the public to receive, information necessary
for the effective operation of the democratic process." CBS, Inc. v. FCC, 453 U. S.
367, 396 (1981). See also Citizens Against Rent Control/Coalition for Fair Housing
v. Berkeley, 454 U. S. 290, 299 (1981) ("Placing limits on contributions which in
turn limit expenditures plainly impairs freedom of expression"). Instead, the Court
abstracted from a candidate's individual right to speak and focused exclusively on
aggregate campaign funding. See Buckley v. Valeo , supra , at 21 ("There is no indication
... that the contribution limitations imposed by the Act would have any dramatic adverse
effect on the funding of campaigns") (quoted ante , at 15-16); ante , at 16 (There
is "no showing that `the limitations prevented the candidates and political committees
from amassing the resources necessary for effective advocacy' " (quoting Buckley v.
Valeo , supra , at 21)).
The Court's flawed and unsupported aggregate approach ignores both the rights and
value of individual candidates. The First Amendment "is designed and intended to remove
governmental restraints from the arena of public discussion, putting the decision
as to what views shall be voiced largely into the hands of each of us , in the hope
that use of such freedom will ultimately produce a more capable citizenry and more
perfect polity and in the belief that no other approach would comport with the premise
of individual dignity and choice upon which our political system rests." Cohen v.
California, 403 U. S. 15, 24 (1971) (emphases added). See also Sweezy v. New Hampshire,
354 U. S. 234, 250 (1957) (plurality opinion) ("Our form of government is built on
the premise that every citizen shall have the right to engage in political expression
and association"); Richmond v. J. A. Croson Co., 488 U. S. 469, 493 (1989) (plurality
opinion) ("As this Court has noted in the past, the `rights created by the first section
of the Fourteenth Amendment are, by its terms, guaranteed to the individual. The rights
established are personal rights' " (quoting Shelley v. Kraemer, 334 U. S. 1, 22 (1948))).
In short, the right to free speech is a right held by each American, not by Americans
en masse. The Court in Buckley provided no basis for suppressing the speech of an
individual candidate simply because other candidates (or candidates in the aggregate)
may succeed in reaching the voting public. And any such reasoning would fly in the
face of the premise of our political system--liberty vested in individual hands safeguards
the functioning of our democracy. In the case at hand, the Missouri scheme has a clear
and detrimental effect on a candidate such as petitioner Fredman, who lacks the advantages
of incumbency, name recognition, or substantial personal wealth, but who has managed
to attract the support of a relatively small number of dedicated supporters: It forbids
his message from reaching the voters. And the silencing of a candidate has consequences
for political debate and competition overall. See Arkansas Ed. Television Comm'n v.
Forbes, 523 U. S. 666, 692 , n. 14 (1998) ( Stevens , J., dissenting) (noting that
the suppression of a minor candidate's speech may directly affect the outcome of an
election); cf. NAACP v. Button, 371 U. S. 415, 431 (1963) (" `All political ideas
cannot and should not be channeled into the programs of our two major parties. History
has amply proved the virtue of political activity by minority, dissident groups ...
' " (quoting Sweezy v. New Hampshire, supra , at 250-251 (plurality opinion))).
In my view, the Constitution leaves it entirely up to citizens and candidates to
determine who shall speak, the means they will use, and the amount of speech sufficient
to inform and persuade. Buckley 's ratification of the government's attempt to wrest
this fundamental right from citizens was error.
III
Today, the majority blindly adopts Buckley 's flawed reasoning without so much as
pausing to consider the collapse of the speech-by-proxy argument or the reality that
Buckley 's remaining premises fall when deprived of that support. 7
After ignoring these shortcomings, the Court proceeds to apply something less--much
less--than strict scrutiny. Just how much less the majority never says. The Court
in Buckley at least purported to employ a test of " `closest scrutiny.' " 424 U. S.,
at 25 (quoting NAACP v. Alabama ex rel. Patterson, 357 U. S. 449, 461 (1958)). (The
Court's words were belied by its actions, however, and it never deployed the test
in the fashion that the superlative instructs. See Colorado Republican, 518 U. S.,
at 640 -641, n. 7 ( Thomas , J., concurring in judgment and dissenting in part) (noting
that Buckley purported to apply strict scrutiny but failed to do so in fact).) The
Court today abandons even that pretense and reviews contributions under the sui generis
" Buckley 's standard of scrutiny," ante , at 7, which fails to obscure the Court's
ad hoc balancing away of First Amendment rights. Apart from its endorsement of Buckley
's rejection of the intermediate standards of review used to evaluate expressive conduct
and time, place, and manner restrictions, ante , at 5-6, the Court makes no effort
to justify its deviation from the tests we traditionally employ in free speech cases.
See Denver Area Ed. Telecommunications Consortium, Inc. v. FCC, 518 U. S. 727, 774
(1996) ( Souter , J., concurring) ("Reviewing speech regulations under fairly strict
categorical rules keeps the starch in the standards for those moments when the daily
politics cries loudest for limiting what may be said").
Unfortunately, the majority does not stop with a revision of Buckley 's labels. After
hiding behind Buckley 's discredited reasoning and invoking " Buckley 's standard
of scrutiny," ante , at 7, the Court proceeds to significantly extend the holding
in that case. The Court's substantive departure from Buckley begins with a revision
of our compelling-interest jurisprudence. In Buckley , the Court indicated that the
only interest that could qualify as "compelling" in this area was the government's
interest in reducing actual and apparent corruption. 8 424 U. S., at 25 -26. And the
Court repeatedly used the word "corruption" in the narrow quid pro quo sense, meaning
"[p]erversion or destruction of integrity in the discharge of public duties by bribery
or favour." 3 Oxford English Dictionary 974 (2d ed. 1989). See also Webster's Third
New International Dictionary 512 (1976) ("inducement (as of a political official)
by means of improper considerations (as bribery) to commit a violation of duty").
When the Court set forth the interest in preventing actual corruption, it spoke about
"large contributions ... given to secure a political quid pro quo from current and
potential office holders." Buckley v. Valeo , 424 U. S., at 26 . The Court used similar
language when it set forth the interest in protecting against the appearance of corruption:
"Of almost equal concern as the danger of actual quid pro quo arrangements is the
impact of the appearance of corruption stemming from public awareness of the opportunities
for abuse inherent in a regime of large individual financial contributions." Id. ,
at 27. Later, in discussing limits on independent expenditures, the Court yet again
referred to the interest in protecting against the "dangers of actual or apparent
quid pro quo arrangements." Id. , at 45. See also id ., at 47 (referring to "the danger
that expenditures will be given as a quid pro quo for improper commitments"); id.
, at 67 (corruption relates to "post-election special favors that may be given in
return" for contributions). To be sure, after mentioning quid pro quo transactions,
the Court went on to use more general terms such as "opportunities for abuse," id
., at 27, "potential for abuse," id. , at 47, "improper influence," id ., at 27, 29,
45, "attempts ... to influence," id ., at 28, and "buy[ing] influence," id ., at 45.
But this general language acquires concrete meaning only in light of the preceding
specific references to quid pro quo arrangements.
Almost a decade after Buckley , we reiterated that "corruption" has a narrow meaning
with respect to contribution limitations on individuals:
"Corruption is a subversion of the political process. Elected officials are influenced
to act contrary to their obligations of office by the prospect of financial gain to
themselves or infusions of money in their campaigns. The hallmark of corruption is
the financial quid pro quo : dollars for political favors." National Conservative
Political Action Comm., 470 U. S., at 497 .
In that same opinion, we also used "giving official favors" as a synonym for corruption.
Id. , at 498.
The majority today, by contrast, separates "corruption" from its quid pro quo roots
and gives it a new, far-reaching (and speech-suppressing) definition, something like
"[t]he perversion of anything from an original state of purity." 3 Oxford English
Dictionary , supra, at 974. See also Webster's Third New International Dictionary,
supra, at 512 ("a departure from what is pure or correct"). And the Court proceeds
to define that state of purity, casting aspersions on "politicians too compliant with
the wishes of large contributors." Ante , at 9. "But precisely what the `corruption'
may consist of we are never told with assurance." National Conservative Political
Action Comm., supra , at 498. Presumably, the majority does not mean that politicians
should be free of attachments to constituent groups. 9 And the majority does not explicitly
rely upon the "harm" that the Court in Buckley rejected out of hand, namely, that
speech could be regulated to equalize the voices of citizens. Buckley v. Valeo , supra
, at 48-49. Instead, without bothering to offer any elaboration, much less justification,
the majority permits vague and unenumerated harms to suffice as a compelling reason
for the government to smother political speech.
In refashioning Buckley , the Court then goes on to weaken the requisite precision
in tailoring, while at the same time representing that its fiat "do[es] not relax
Buckley 's standard." Ante , at 10, n. 4. The fact is that the majority ratifies a
law with a much broader sweep than that approved in Buckley . In Buckley , the Court
upheld contribution limits of $1,000 on individuals and $5,000 on political committees
(in 1976 dollars). 424 U. S., at 28 -29, 35-36. Here, by contrast, the Court approves
much more restrictive contribution limitations, ranging from $250 to $1,000 (in 1995
dollars) for both individuals and political committees. Mo. Rev. Stat. §130.032.1
(Supp. 1999). The disparity between Missouri's caps and those upheld in Buckley is
more pronounced when one takes into account some measure of inflation. See Shrink
Missouri Government PAC v. Adams, 161 F. 3d 519, 523, and n. 4 (CA8 1998) (noting
that, according to the Consumer Price Index, a dollar today purchases about a third
of what it did in 1976 when Buckley was decided). Yet the Court's opinion gives not
a single indication that the two laws may differ in their tailoring. See ante , at
15 (Missouri's caps are "striking [in their] resemblance to the limitations sustained
in Buckley "). The Court fails to pay any regard to the drastically lower level of
the limits here, fails to explain why political committees should be subjected to
the same limits as individuals, and fails to explain why caps that vary with the size
of political districts are tailored to corruption. I cannot fathom how a $251 contribution
could pose a substantial risk of "secur[ing] a political quid pro quo ." Buckley v.
Valeo , supra , at 26. Thus, contribution caps set at such levels could never be "closely
drawn," ante , at 7 (quoting Buckley v. Valeo , supra , at 25), to preventing quid
pro quo corruption. The majority itself undertakes no such defense.
The Court also reworks Buckley 's aggregate approach to the free speech rights of
candidates. It begins on the same track as Buckley , noting that "a showing of one
affected individual does not point up a system of suppressed political advocacy that
would be unconstitutional under Buckley ." Ante , at 17. See also, e.g. , ante , at
16 (claiming that candidates " `are still able to amass impressive campaign war chests'
" (quoting Shrink Missouri Government PAC v. Adams , 5 F. Supp. 2d 734, 741 (ED Mo.
1998))). But the Court quickly deviates from Buckley , persuading itself that Missouri's
limits do not suppress political speech because, prior to the enactment of contribution
limits, "97.62 percent of all contributors to candidates for state auditor made contributions
of $2,000 or less." Ante , at 17. But this statistical anecdote offers the Court no
refuge and the citizenry no comfort. As an initial matter, the statistic provides
no assurance that Missouri's law has not reduced the resources supporting political
speech, since the largest contributors provide a disproportionate amount of funds.
The majority conspicuously offers no data revealing the percentage of funds provided
by large contributors. (At least the Court in Buckley relied on the percentage of
funds raised by contributions in excess of the limits. 424 U. S., at 21 -22, n. 23,
26, n. 27.) But whatever the data would reveal, the Court's position would remain
indefensible. If the majority's assumption is incorrect-- i.e., if Missouri's contribution
limits actually do significantly reduce campaign speech--then the majority's calm
assurance that political speech remains unaffected collapses. If the majority's assumption
is correct-- i.e. , if large contributions provide very little assistance to a candidate
seeking to get out his message (and thus will not be missed when capped)--then the
majority's reasoning still falters. For if large contributions offer as little help
to a candidate as the Court maintains, then the Court fails to explain why a candidate
would engage in "corruption" for such a meager benefit. The majority's statistical
claim directly undercuts its constitutional defense that large contributions pose
a substantial risk of corruption. 10
Given the majority's ill-advised and illiberal aggregate rights approach, it is unsurprising
that the Court's pro forma hunt for suppressed speech proves futile. See ante , at
15-18. Such will always be the case, for courts have no yardstick by which to judge
the proper amount and effectiveness of campaign speech. See, e.g. , Smith, Faulty
Assumptions and Undemocratic Consequences of Campaign Finance Reform, 105 Yale L.
J. 1049, 1061 (1996). I, however, would not fret about such matters. The First Amendment
vests choices about the proper amount and effectiveness of political advocacy not
in the government--whether in the legislatures or the courts--but in the
people.
IV
In light of the importance of political speech to republican government, Missouri's
substantial restriction of speech warrants strict scrutiny, which requires that contribution
limits be narrowly tailored to a compelling governmental interest. See Buckley v.
American Constitutional Law Foundation, Inc., 525 U. S. 182, 207 (1999) ( Thomas ,
J., concurring in judgment); Colorado Republican, 518 U. S., at 640 -641 ( Thomas
, J., concurring in judgment and dissenting in part).
Missouri does assert that its contribution caps are aimed at preventing actual and
apparent corruption. Brief for Petitioners 26-28. As we have noted, "preventing corruption
or the appearance of corruption are the only legitimate and compelling government
interests thus far identified for restricting campaign finances." National Conservative
Political Action Comm., 470 U. S., at 496 -497. But the State's contribution limits
are not narrowly tailored to that harm. The limits directly suppress the political
speech of both contributors and candidates, and only clumsily further the governmental
interests that they allegedly serve. They are crudely tailored because they are massively
overinclusive, prohibiting all donors who wish to contribute in excess of the cap
from doing so and restricting donations without regard to whether the donors pose
any real corruption risk. See Colorado Republican, supra, at 642 ( Thomas , J., concurring
in judgment and dissenting in part) (" `Where First Amendment rights are involved,
a blunderbuss approach which prohibits mostly innocent speech cannot be held a means
narrowly and precisely directed to the governmental interest in the small minority
of contributions that are not innocent' " (quoting Brief for Appellants in Buckley
v. Valeo, O. T. 1975, Nos. 75-436 and 75-437, pp. 117-118)). See also Martin v. City
of Struthers, 319 U. S. 141, 145 (1943) (Though a method of speaking may be "a blind
for criminal activities, [it] may also be useful [to] members of society engaged in
the dissemination of ideas in accordance with the best tradition of free discussion").
Moreover, the government has less restrictive means of addressing its interest in
curtailing corruption. Bribery laws bar precisely the quid pro quo arrangements that
are targeted here. And disclosure laws " `deter actual corruption and avoid the appearance
of corruption by exposing large contributions and expenditures to the light of publicity.'
" American Constitutional Law Foundation , supra , at 202 (quoting Buckley v. Valeo
, 424 U. S., at 67 ). In fact, Missouri has enacted strict disclosure laws. See Mo.
Stat. Ann. §§130.041, 130.046, 130.057 (Supp. 1999).
In the end, contribution limitations find support only in the proposition that other
means will not be as effective at rooting out corruption. But when it comes to a significant
infringement on our fundamental liberties, that some undesirable conduct may not be
deterred is an insufficient justification to sweep in vast amounts of protected political
speech. Our First Amendment precedents have repeatedly stressed this point. For example,
in Martin v. City of Struthers, supra, we struck down an ordinance prohibiting door-to-door
distribution of handbills. Although we recognized that "burglars frequently pose as
canvassers," id ., at 144, we also noted that door-to-door distribution was "useful
[to] members of society engaged in the dissemination of ideas in accordance with the
best tradition of free discussion," id. , at 145. We then struck down the ordinance,
observing that the "dangers of distribution can so easily be controlled by traditional
legal methods." Id ., at 147. Similarly, in Riley v. National Federation of Blind
of N. C., Inc., 487 U. S. 781 (1988), we struck down a law regulating the fees charged
by professional fundraisers. In response to the assertion that citizens would be defrauded
in the absence of such a law, we explained that the State had an antifraud law which
"we presume[d] that law enforcement officers [we]re ready and able to enforce," id
., at 795, and that the State could constitutionally require fundraisers to disclose
certain financial information, ibid . We concluded by acknowledging the obvious consequences
of the narrow tailoring requirement: "If this is not the most efficient means of preventing
fraud, we reaffirm simply and emphatically that the First Amendment does not permit
the State to sacrifice speech for efficiency." Ibid . See also, e.g. , Schneider v.
State (Town of Irvington), 308 U. S. 147, 162 (1939) ("There are obvious methods of
preventing littering. Amongst these is the punishment of those who actually throw
papers on the streets").
The same principles apply here, and dictate a result contrary to the one the majority
reaches. States are free to enact laws that directly punish those engaged in corruption
and require the disclosure of large contributions, but they are not free to enact
generalized laws that suppress a tremendous amount of protected speech along with
the targeted corruption.
V
Because the Court unjustifiably discounts the First Amendment interests of citizens
and candidates, and consequently fails to strictly scrutinize the inhibition of political
speech and competition, I respectfully dissent.
FOOTNOTES
Footnote 1
Respondents sued members of the Missouri Ethics Commission, the Missouri attorney
general, and the St. Louis County prosecuting attorney. Shrink Missouri Government
PAC v. Adams , 5 F. Supp. 2d 734, 737 (ED Mo. 1998).
Footnote 2
Chief Judge Bowman also would have found the law invalid because the contribution
limits were severely tailored beyond any need to serve the State's interest. Comparing
the Missouri limits with those considered in Buckley , the Chief Judge said that "[a]fter
inflation, limits of $1,075, $525, and $275 cannot compare with the $1,000 limit approved
in Buckley twenty-two years ago," and "can only be regarded as `too low to allow meaningful
participation in protected political speech and association.' " 161 F. 3d, at 522-523
(quoting Day v. Holahan , 34 F. 3d 1356, 1366 (CA8 1994), cert. denied, 513 U. S.
1127 (1995)). Judge Ross, concurring in the judgment, did not join this portion of
Chief Judge Bowman's opinion. 161 F. 3d, at 523.
Judge Gibson dissented from the panel's decision. Ibid.
Footnote 3
The quoted language addressed the correlative overbreadth challenge. On the point
of classifying the standard of scrutiny, compare Roberts v. United States Jaycees
, 468 U. S. 609, 623 (1984) ("Infringements on [the right to associate for expressive
purposes] may be justified by regulations adopted to serve compelling state interests,
unrelated to the suppression of ideas, that cannot be achieved through means significantly
less restrictive of associational freedoms"); NAACP v. Button , 371 U. S. 415, 438
(1963) ("The decisions of this Court have consistently held that only a compelling
state interest in the regulation of a subject within the State's constitutional power
to regulate can justify limiting First Amendment freedoms"); NAACP v. Alabama ex rel.
Patterson , 357 U. S. 449, 460-461 (1958) ("[S]tate action which may have the effect
of curtailing the freedom to associate is subject to the closest scrutiny").
Footnote 4
In arguing that the Buckley standard should not be relaxed, respondents Shrink Missouri
and Fredman suggest that a candidate like Fredman suffers because contribution limits
favor incumbents over challengers. Brief for Respondents Shrink Missouri Government
PAC et al. 23-24. This is essentially an equal protection claim, which Buckley squarely
faced. We found no support for the proposition that an incumbent's advantages were
leveraged into something significantly more powerful by contribution limitations applicable
to all candidates, whether veterans or upstarts, 424 U. S., at 31 -35. Since we do
not relax Buckley 's standard, no more need be said about respondents' argument, though
we note that nothing in the record here gives respondents a stronger argument than
the Buckley petitioners made.
Footnote 5
Cf. Federal Election Comm'n v. National Right to Work Comm., 459 U. S. 197, 210 (1982)
("Nor will we second-guess a legislative determination as to the need for prophylactic
measures where corruption is the evil feared"); First Nat. Bank of Boston v. Bellotti,
435 U. S. 765, 788 , n. 26 (1978); California Medical Assn. v. Federal Election Comm'n,
453 U. S. 182, 194-195 (1981) (noting that Buckley held that contribution limits "served
the important governmental interests in preventing the corruption or appearance of
corruption of the political process that might result if such contributions were not
restrained"); Citizens Against Rent Control/Coalition for Fair Housing v. Berkeley,
454 U. S. 290, 296-297 (1981) (" Buckley identified a single narrow exception to the
rule that limits on political activity were contrary to the First Amendment. The exception
relates to the perception of undue influence of large contributors to a candidate
"); see also Federal Election Comm'n v. National Conservative Political Action Comm.,
470 U. S. 480, 500 (1985) (observing that Buckley upheld contribution limits as constitutional,
and noting the Court's "deference to a congressional determination of the need for
a prophylactic rule where the evil of potential corruption had long been recognized").
Footnote 6
Cf. Renton v. Playtime Theatres, Inc., 475 U. S. 41, 51-52 (1986) ("The First Amendment
does not require a city, before enacting . . . an ordinance, to conduct new studies
or produce evidence independent of that already generated by other cities, so long
as whatever evidence the city relies upon is reasonably believed to be relevant to
the problem that the city addresses").
Footnote 7
Two of respondents' amici raise the different argument, that contribution limits
are insufficiently narrow, in the light of disclosure requirements and bribery laws
as less restrictive mechanisms for dealing with quid pro quo threats and apprehensions.
Brief for Pacific Legal Foundation et al. as Amici Curiae 23-29. We specifically rejected
this notion in Buckley , where we said that anti-bribery laws "deal with only the
most blatant and specific attempts of those with money to influence government action,"
and that "Congress was surely entitled to conclude that disclosure was only a partial
measure, and that contribution ceilings were a necessary legislative concomitant to
deal with the reality or appearance of corruption inherent in a system permitting
unlimited financial contributions, even when the identities of the contributors and
the amounts of their contributions are fully disclosed." Buckley v. Valeo, 424 U.
S. 1, 28 (1976) (per curiam). We understood contribution limits, on the other hand,
to "focu[s] precisely on the problem of large campaign contributions--the narrow aspect
of political association where the actuality and potential for corruption have been
identified--while leaving persons free to engage in independent political expression,
to associate actively through volunteering their services, and to assist to a limited
but nonetheless substantial extent in supporting candidates and committees with financial
resources." Ibid . There is no reason to view contribution limits any differently
today.
Footnote 8
This case does not, however, involve any claim that the Missouri law has restricted
access to the ballot in any election other than that for state auditor.
Footnote 9
Similarly, data showed that less than 1.5 percent of the contribu-
tors to candidates in the 1992 election for Missouri secretary of state made aggregate
contributions in excess of $2,000. 5 F. Supp. 2d, at 741; App. 35.
FOOTNOTES
Footnote 1
Unless, of course, the prohibition entirely forecloses a channel of communication,
such as the use of paid petition circulators. See, e.g., Meyer v. Grant, 486 U. S.
414, 424 (1988) ("Colorado's prohibition of paid petition circulators restricts access
to the most effective, fundamental, and perhaps economical avenue of political discourse,
direct one-on-one communication. ... The First Amendment protects appellees' right
not only to advocate their cause but also to select what they believe to be the most
effective means for so doing").
FOOTNOTES
Footnote 1
New York Times Co. v. Sullivan, 376 U. S. 254 (1964); NAACP v. Button, 371 U. S.
415 (1963); Barnes v. Glen Theatre, Inc., 501 U. S. 560 (1991) (plurality opinion);
Erznoznik v. Jacksonville, 422 U. S. 205 (1975); United States v. Eichman , 496 U.
S. 310 (1990); Schacht v. United States, 398 U. S. 58 (1970).
Footnote 2
Loper v. New York City Police Dept. 999 F. 2d 699 (CA2 1993); Sandul v. Larion ,
119 F. 3d 1250 (CA6 1997); One World One Family Now v. Miami Beach , 175 F. 3d 1282
(CA11 1999); East Hartford Education Assoc . v. Board of Education of East Hartford
, 562 F. 2d 838 (CA2 1977).
Footnote 3
If one were to accept the speech-by-proxy point and consider a contribution a mere
symbolic gesture, Buckley 's auxiliary arguments still falter. The claim that a large
contribution receives less protection because it only expresses the "intensity of
the contributor's support for the candidate," Buckley v. Valeo, 424 U. S. 1, 21 (1976)
(per curiam) (quoted ante , at 6), fails under our jurisprudence because we have accorded
full First Amendment protection to expressions of intensity. See Cohen v. California,
403 U. S. 15, 25-26 (1971) (protecting the use of an obscenity to stress a point).
Equally unavailing is the claim that a contribution warrants less protection because
it "does not communicate the underlying basis for the support." Buckley v. Valeo ,
supra , at 21 (quoted ante , at 6). We regularly hold that speech is protected when
the underlying basis for a position is not given. See, e.g. , City of Ladue v. Gilleo,
512 U. S. 43, 46 (1994) (sign reading "For Peace in the Gulf"); Tinker v. Des Moines
Independent Community School Dist., 393 U. S. 503, 510-511 (1969) (black armband signifying
opposition to Vietnam war). See also Colorado Republican Federal Campaign Comm. v.
Federal Election Comm'n, 518 U. S. 604, 640 (1996) ( Thomas , J., concurring in judgment
and dissenting in part) ("Even a pure message of support, unadorned with reasons,
is valuable to the democratic process"). Cf. Hurley v. Irish-American Gay, Lesbian
and Bisexual Group of Boston, Inc., 515 U. S. 557, 569 (1995) (opinion of the Court
by Souter , J.) ("[A] narrow, succinctly articulable message is not a condition of
constitutional protection").
Footnote 4
Justice Stevens asserts that "[m]oney is property; it is not speech," ante , at 1
(concurring opinion), and contends that there is no First Amendment right "to hire
mercenaries" and "to hire gladiators," ante , at 2. These propositions are directly
contradicted by many of our precedents. For example, in Meyer v. Grant, 486 U. S.
414 (1988) (opinion of the Court by Stevens , J.), this Court confronted a state ban
on payments to petition circulators. The District Court upheld the law, finding that
the ban on monetary payments did not restrain expression and that the would-be payors
remained free to use their money in other ways. Id. , at 418. We disagreed and held
that "[t]he refusal to permit appellees to pay petition circulators restricts political
expression" by "limit[ing] the number of voices who will convey appellees' message
and the hours they can speak and, therefore, limits the size of the audience they
can reach." Id ., at 422-423. In short, the Court held that the First Amendment protects
the right to pay others to help get a message out. In other cases, this Court extended
such protection, holding that the First Amendment prohibits laws that do not ban,
but instead only regulate, the terms upon which so-called mercenaries and gladiators
are retained. See Riley v. National Federation of Blind of N. C., Inc., 487 U. S.
781 (1988) (holding that the First Amendment prohibits state restriction on the amount
a charity may pay a professional fundraiser); Secretary of State of Md. v. Joseph
H. Munson Co., 467 U. S. 947 (1984) (same). Cf. also, e.g., Teachers v. Hudson, 475
U. S. 292 (1986) (opinion of the Court by Stevens, J .) (holding that the First Amendment
restrains government-compelled exactions of money); Abood v. Detroit Bd. of Ed., 431
U. S. 209 (1977) (same). In these cases, the Court did not resort to Justice Stevens
' assertion that money "is not speech" to dismiss challenges to monetary regulations.
Instead, the Court properly examined the impact of the regulations on free expression.
See also, e.g. , Federal Election Comm'n v. National Conservative Political Action
Comm., 470 U. S. 480 (1985) (First Amendment protects political committee's expenditures
of money); Citizens Against Rent Control/Coalition for Fair Housing v. Berkeley, 454
U. S. 290 (1981) (First Amendment protects monetary contributions to political committee);
First Nat. Bank of Boston v. Bellotti, 435 U. S. 765, 769 (1978) (First Amendment
protects "spend[ing] money to publicize [political] views").
Footnote 5
Even if contributions to a candidate were not the most effective means of speaking--and
contribution caps left political speech "significantly unimpaired," ante, at 7--an
individual's choice of that mode of expression would still be protected. "The First
Amendment protects [individuals'] right not only to advocate their cause but also
to select what they believe to be the most effective means for so doing." Meyer, supra
, at 424 (opinion of the Court by Stevens, J. ). See also Glickman v. Wileman Brothers
& Elliott, Inc., 521 U. S. 457, 488 (1997) ( Souter , J., dissenting) (noting a "First
Amendment interest in touting [one's] wares as he sees fit").
Footnote 6
Buckley 's approach to associational freedom is also unsound. In defense of its decision,
the Court in Buckley explained that contribution limits "leave the contributor free
to become a member of any political association and to assist personally in the association's
efforts on behalf of candidates." 424 U. S., at 22 (quoted ante , at 7). In essence,
the Court accepted contribution limits because alternative channels of association
remained open. This justification, however, is peculiar because we have rejected the
notion that a law will pass First Amendment muster simply because it leaves open other
opportunities. Spence v. Washington, 418 U. S. 405, 411 , n. 4 (1974) (per curiam)
(Although a prohibition's effect may be "minuscule and trifling," a person " `is not
to have the exercise of his liberty of expression in appropriate places abridged on
the plea that it may be exercised in some other place' " (quoting Schneider v. State
(Town of Irvington), 308 U. S. 147, 163 (1939))). See also, e.g. , Texas v. Johnson,
491 U. S. 397, 416 , n. 11 (1989); Kusper v. Pontikes, 414 U. S. 51, 58 (1973). "For
even when pursuing a legitimate interest, a State may not choose means that unnecessarily
restrict constitutionally protected liberty." Id., at 58-59.
Footnote 7
Implicitly, however, the majority downplays its reliance upon the speech-by-proxy
argument. In fact, the majority reprints nearly all of Buckley 's analysis of contributors'
speech interests, block quoting almost an entire paragraph from that decision. See
ante , at 6 (quoting Buckley v. Valeo, 424 U. S., at 20 -21). Tellingly, the only
complete sentence from that paragraph that the majority fails to quote is the final
sentence--which happens to be the one directly setting forth the speech-by-proxy rationale.
See id. , at 21 ("While contributions may result in political expression if spent
by a candidate or an association to present views to the voters, the transformation
of contributions into political debate involves speech by someone other than the contributor").
Footnote 8
The Court in Buckley explicitly rejected two other proffered rationales for campaign
finance regulation as out of tune with the First Amendment: equalization of the ability
of citizens to affect the outcome of elections and controlling the costs of campaigns.
See 424 U. S., at 48 -49 (governmentally imposed equalization measures are "wholly
foreign to the First Amendment"); id. , at 57 (mounting costs of elections "provid[e]
no basis for governmental restrictions on the quantity of campaign spending").
Footnote 9
The Framers of course thought such attachments inevitable in a free society and that
faction would infest the political process. As to controlling faction, James Madison
explained, "There are again two methods of removing the causes of faction: the one,
by destroying the liberty which is essential to its existence; the other, by giving
to every citizen the same opinions, the same passions, and the same interests." The
Federalist No. 10, p. 78 (C. Rossiter ed. 1961). Contribution caps are an example
of the first method, which Madison contemptuously dismissed:
"It could never be more truly said than of the first remedy that it was worse than
the disease. Liberty is to faction what air is to fire, an aliment without which it
instantly expires. But it could not be a less folly to abolish liberty, which is essential
to political life, because it nourishes faction than it would be to wish the annihilation
of air, which is essential to animal life, because it imparts to fire its destructive
agency." Ibid.
The Framers preferred a political system that harnessed such faction for good, preserving
liberty while also ensuring good government. Rather than adopting the repressive "cure"
for faction that the majority today endorses, the Framers armed individual citizens
with a remedy. "If a faction consists of less than a majority, relief is supplied
by the republican principle, which enables the majority to defeat its sinister views
by regular vote." Id. , at 80.
Footnote 10
The majority's statistical analysis also overlooks the quantitative data in the record
that directly undercut its position that Missouri's law does not create "a system
of suppressed political advocacy." Ante , at 17. For example, the Court does not bother
to note that following the imposition of contribution limits, total combined spending
during primary and general elections for five statewide offices was cut by over half,
falling from $21,599,000 to $9,337,000. See App. 24-28. Significantly, total primary
election expenditures in each of the races decreased. Ibid . In fact, after contribution
limits were imposed, overall spending in statewide primary elections plummeted 89
percent, falling from $14,249,000 to $1,625,000. Ibid . Most importantly, the majority
does not bother to mention that before spending caps were enacted each of the 10 statewide
primary elections was contested, with two to four candidates vying for every nomination
in 1992. After caps were enacted, however, only 1 of the 10 primary elections was
contested. Overall, the total number of candidates participating in statewide primaries
fell from 32 to 11. See ibid . Even if these data do not conclusively show that Missouri's
contribution limits diminish political speech (although it is undeniable that the
data strongly suggest such a result), they at least cast great doubt on the majority's
assumption that the picture is rosy.