WARREN DERAS, Respondent and Cross-Appellant, v. CLAY MYERS, Secretary of State of the State of Oregon, Appellant and Cross-Respondent.
Supreme Court of Oregon
May 14, 1975
272 Or. 47 | 535 P.2d 541
Argued February 7, affirmed in part; reversed in part; remanded May 14, 1975
Warren Deras, Portland, argued the cause and filed briefs pro se.
Kenneth J. Guido, Jr., Washington, D. C., and Charles H. Habernigg, Marcus Wood, and Rives, Bonyhadi & Drummond, Portland, filed a brief amicus curiae representing Common Cause.
Morton A. Winkel, Portland, filed a brief amicus curiae representing the American Civil Liberties Union of Oregon, Inc.
Hans A. Linde, Eugene, filed a brief amicus curiae representing the Oregon Newspaper Publishers Association.
O‘CONNELL, C. J.
Plaintiff seeks a declaratory judgment holding unconstitutional
The circuit court entered a decree holding unconstitutional
“(1) No political treasurer or combination of political treasurers shall make or authorize any expenditure that will cause the total amount expended in support of or in opposition to a candidate to exceed, with respect to any primary, general or other single election:
“(a) For congressional and state-wide offices, 15 cents times the number of registered voters eligible to vote for the office on the date of the previous general election;
“(b) For all other offices except legislative offices, 25 cents times the number of registered voters eligible to vote for the office on the date of the previous general election or $1,000, whichever is greater; and
“(c) For the offices of State Senator and State Representative, 25 cents times the average number of registered voters on the date of the previous general election in all of the senatorial and representative districts, respectively, in the state.”
“(1) No person or political committee shall make expenditures in support of or in opposition to a candidate except the candidate or an opposing candidate. However, a person or political committee may make expenditures in support of a candidate if the consent of the candidate is previously obtained, or in opposition to a candidate if the consent of one or more other candidates for the same office is previously obtained.
“(2) A person or political committee which receives contributions or makes expenditures in support of a single candidate, or in opposition to one or more candidates with the consent of a single candidate, is not subject to
ORS 260.035 to260.162 but such contributions and expenditures are conclusively deemed to be those of the candidate on whose behalf they are made.“(3) Any person or political committee other than a person or political committee described in subsection (2) of this section which receives contributions or makes expenditures in support of or in opposition to a candidate with his consent or the consent of any opposing candidate is subject to
ORS 260.035 to260.162 . All expenditures by any such person or candidate shall also be considered to be contributions to and expenditures by the candidate who has consented to them and shall be reported by the candidate as well as by the person or committee making the expenditures.“(4) Expenses incurred by a person or political committee on behalf of more than one candidate shall be allocated between such candidates on a reasonable basis.
“(5) Expenses incurred by a political committee, not allocable to any particular candidate or candidates, including expenses incurred in solicitation of funds intended to be contributed to candidates to be designated later, shall not be considered
expenditures in support of a candidate for purposes of subsection (1) of this section or ORS 260.027 .”
Stated in condensed form,
The parties are in agreement that
It is generally recognized that limits upon candidate expenditures are for the most part unenforceable unless coupled with candidate control over the activities of those who would support him or oppose his rivals. For this reason, we agree with the parties that the legislature intended to enact a single scheme embodied in the two statutes.
We are faced, then, with the initial question of whether the legislature may exercise its authority to regulate the conduct of elections3 by limiting the
Article I, § 8, provides:
“No law shall be passed restraining the free expression of opinion, or restricting the right to speak, write, or print freely on any subject whatever; but every person shall be responsible for abuse of this right.”
Article I, § 26, provides:
“No law shall be passed restraining any of the inhabitants of the State from assembling together in a peaceable manner to consult for their common good; nor from instructing their Representatives; nor from applying to the Legislature for redress of greviances (sic.)”5
If we hold that either of these provisions of the Oregon Constitution is violated by the statutes in question, it would not, then, be necessary to discuss the effect of the federal constitution (First Amendment) because in such case it would not come into play.
We have not overlooked defendant‘s emphasis upon the evils which have flowed from the unregulated expenditure of campaign funds. Defendant‘s assertion that “the integrity of government” is imperiled by our present campaign practices is nothing more than a statement of defendant‘s impression of the magnitude of the evil which attends the uncontrolled expenditure of campaign funds. There is no evidence in this case, nor any data in the studies on campaign expenditures discovered in our research, which would lead to the conclusion that our system of government is imperiled by the free expenditure of funds in political campaigns. Conceding for the purposes of this case that limitation and control of campaign expenditures is of great importance in the catalogue of our social and political needs, the good it proposes to accomplish must be weighed against the danger which it generates in restraining our citizens from freely expressing their views on candidates for public office. In weighing these competing interests, one must recognize the importance of the electorate‘s liberties of expression of opinion and assembly in the over-all system of government established by our state and federal constitutions. These rights have been termed the “cornerstone of democracy” and so important as to require “breathing space” and protection even from the “chilling effect” of overbroad and ambiguous statutory restrictions. The “classic formulation”7 of the
“Those who won our independence believe that freedom to think as you will and to speak as you think are means indispensable to the discovery and spread of political truth; that without free speech and assembly discussion would be futile; that with them, discussion affords ordinarily adequate protection against the dissemination of noxious doctrine; that the greatest menace to freedom is an inert people; that public discussion is a political duty; and that this should be a fundamental principle of the American government. They recognized the risks to which all human institutions are subject. But they knew that order cannot be secured merely through fear of punishment for its infraction; that it is hazardous to discourage thought, hope and imagination; that fear breeds repression; that repression breeds hate; that hate menaces stable government; that the path of safety lies in the opportunity to discuss freely supposed grievances and proposed remedies; and that the fitting remedy for evil counsels is good ones. Believing in the power of reason as applied through public discussion, they eschewed silence coerced by law—the argument of force in its worst form. Recognizing the occasional tyrannies of governing majorities, they amended the Constitution so that free speech and assembly should be guaranteed.”
If, as Mr. Justice Brandeis observes, the very structure of our government rests upon freedom of expression, its direct infringement by statute can be justified, if at all, only by purposes rising to the level of importance of the preservation of the government itself.8 None of the legislative goals put forward by
First, we cannot accept defendant‘s view that the prohibition in the statute against expenditures without consent of the candidate constitutes a mere “incidental” or “nominal” restriction on expression. Defendant deems the restriction “nominal” because it does not prohibit “personal appearances, debates, press releases, and other means of discussing issues and communicating with voters.” It is difficult to take seriously a contention that these limited outlets for the expression of one‘s views in a political campaign in this modern day would not seriously impair the opportunity to communicate with the electorate. Even personal appearances, debates, and press releases are not self-generating and if they are to constitute a substantial channel of communication, normally money must be expended to make them come about.
In any event, under the best of circumstances a relatively small fraction of the public can be reached by these limited means and thus the citizen who wishes to carry his message throughout the state is seriously impeded. Moreover, the statutory prohibitions have the practical effect of depriving an advocate of the distinct advantages, including that of greater permanency which the written word in various forms has over the more transient media of personal appearance.
Defendant would have us treat the constitution as permitting the legislature to cancel out these interests in unfettered communication in favor of the public interest in a better system of campaigning for public office. Defendant‘s argument does little to enlighten us as to the specific evils of uncontrolled campaign expenditures or the specific benefits accruing from
The purpose of
It is argued that “permitting a candidate to saturate the airways and the press with his campaign material can result in his ‘buying’ an election no less than a candidate who corrupts the election process directly.” There is no doubt that the expenditure of money in a campaign may have an influence on the result of the election. However, the importance of money as compared to other factors influencing elections is a question upon which there is a difference of opinion.
The same is true with respect to defendant‘s assertion that “the foremost danger of excessive money *** is the ‘buying’ of candidates.” Here, again, there is a strong conviction by those who have made a study of campaign financing that the buying of candidates through large contributions has not constituted a major evil in elections.12 For example, Win-
ter, Watergate and The Law, pp. 9, 14 (1974) characterizes the available evidence as follows:
“The available evidence does not support the view that money is more than one of a number of factors affecting the electoral process or that it exclusively supports a narrow range of ideas on public policy. ***
“Matched against this array of respected scholarship, is little more than the impressionistic assertion that some kind of ‘correlation’ exists between legislative or executive decisions and campaign contributions. To this it may be said that since contributions are rarely given at random or to one‘s political enemies, the existence of this
correlation is no answer to the conclusions given here. If anything, the fact that conservatives support conservative causes or candidates, or that liberals support liberal causes or candidates, suggests that the candidate and causes create [attract] the money, and not the other way round.”
Assuming that the “purchasing” of elections and candidates by wealthy contributors is such an evil, there is still the question of whether a limitation on expenditures would serve in any significant way to eradicate the evil. In a study sponsored by the American Enterprise Institute for Public Policy Research, the view is taken that “limiting the use of private money in election campaigns will hardly decrease the influence of affluent people, for direct access to resources easily converted to political purposes is concentrated among various sectors of the well-to-do.” The study goes on to observe that “[w]hile the power of those who rely on contributions will decline, that of at least three groups in society will be increased: (1) pressure groups which operate ‘issue’ (rather than ‘political‘) campaigns; (2) political activists with free time, and (3) those who control the media. All three, however, represent wealth in one form or another.”13
Defendant does not press the contention made in the amicus curiae brief of Common Cause that limitations on campaign expenditures can be justified
Overarching all of the foregoing considerations is the inescapable fact that the limiting legislation closes or impedes important channels of communication on public issues and thus denies citizens freedom of expression where the protection of that constitutional right is the most necessary to preserve our system of government.
Defendant asks us to cast this constitutional protection aside to meet alleged evils which are described in broad generalities and unsupported by reliable evidence. The interests described in Article I were not intended to be swept away by this kind of speculation.
Defendant points to several U. S. Supreme Court cases which, it is contended, are support for the view that limitations on political campaign contributions and expenditures have been held to meet federal constitutional requirements where governmental interests of no higher order than those served in the present case were involved.15
Plaintiff counters with the argument that the cases relied upon are distinguishable from the case at bar on various grounds, principally because the federal legislation does not directly proscribe the means of expression as the Oregon statutes do but limits expression merely as an incident to the preservation of some other legitimate interest of society.16
In addition, it is now well established that not even a compelling state interest in the regulation of the non-communicative aspects of expression can justify infringement of fundamental rights when less drastic means to the desired end are available. Shelton v. Tucker, 364 US 479, 81 S Ct 247, 5 L Ed2d 231 (1960). For example, the evils sought to be reached by
“* * * If there be time to expose through dis-
In disposing of defendant‘s contentions predicated upon balancing legislative objectives against the constitutional guarantees of Art. I, our detailed examination of the effect of the uncontrolled expenditure of funds in political campaigns has, perhaps, obscured the emphasis we intend to make in disposing of this case.
Our apparent preoccupation with the comparison of the good and bad effects of the statutes in question is not to be taken as the recognition of a principle that proof of desirable and needful legislation is enough to override constitutional mandates. As we said at the outset, it is possible that sound analysis in the interpretation of constitutions does not permit any balancing whatsoever between a constitutional provision and a statute which directly impinges upon it. But, as we have demonstrated, even accepting the balancing test as sound, the evidence adduced by defendant to show the need for the limiting statutes is so unsubstantial that his own test is not met.
Plaintiff further cross-appeals from the trial court‘s refusal to award him attorney‘s fees. Although plaintiff concedes that as a general rule American courts will not award attorney‘s fees to the prevailing
“* * * The preservation of the democratic process in the functioning of unions is a matter of primary concern, not only to union members but to the public as well. * * * Those members of the union who in good faith seek to preserve the internal democracy of their union should not have to bear the expense of a successful suit.” 237 Or at 138.
It is beyond dispute that the interest of the public in preservation of the individual liberties guaranteed against governmental infringement of the constitution is even stronger than that present in Gilbert. Correspondingly, plaintiff in this case, at least as much as the plaintiffs in Gilbert, should not be required to bear the entire cost of this litigation the benefits of which flow equally to all members of the public. Therefore, the case must be remanded for the
We hold
Affirmed in part, reversed in part and remanded.
TONGUE, J., specially concurring.
I agree with the result reached by the majority, but not with all of the statements made by it in its application of the “balancing test” to the constitutional issues presented in this case.
In the application of that test the majority relies not so much upon previous decisions by courts and upon recognized texts on constitutional law as upon statements made by the authors of various books and treatises on politics, campaign financing and related subjects. Upon the basis of such authorities the majority seemingly subscribes to the following propositions, among others:
“* * * the buying of candidates through large contributions has not constituted a major evil in elections”
and
“* * * The ‘break-in,’ the bribery, the ‘wire tap,’ the use of government servants for private political ends, the ‘cover up,’ the various ‘dirty tricks,’ and the other moral and legal deviations characterizing ‘Watergate’ had little or nothing to do with the fact that large sums of money were available to a political party.”
I cannot subscribe to these propositions. The fact that large campaign contributions may not com-
In my opinion, the result reached by the majority is inescapable without the necessity of embarking upon a discussion of the question whether, as stated by the majority, “assuming that the ‘purchasing’ of elections and candidates by wealthy contributors is such an evil,” a “limitation on expenditures would serve in any significant way to eradicate the evil.”
Under the terms of
As stated by the majority, “the parties are in agreement that
It follows from this agreement by the parties that because
Notes
“Congress shall make no law *** abridging the freedom of speech or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances.”
“Contrary to frequent assertions, American campaign monies are not [his emphasis] supplied solely by a small handful of fat cats. Millions of people now give to politics. Even those who give several hundred dollars each number in the tens of thousands.
“And the traditional fat cats are not [his emphasis] all of one species, allied against common adversaries. Big givers show up importantly in both parties and on behalf of many opposing candidates.” As quoted in Penniman and Winter, Campaign Finances—Two Views of the Political and Constitutional Implications, p. 20 (1971); D. Adamany, Financing Politics: Recent Wisconsin Elections pp. 231-233 (1969).
“* * * May not those who contribute or raise money in large amounts thereby gain influence not available to others? Aware that the answer to this question is not a simple one, we would say, ‘Yes, but not overly much.’ What contributors or fund raisers (the financial middlemen) get to begin with is access to centers of decision-making. Control over money certainly makes it easier to get in and present one‘s case. Men of wealth, however, are likely to have substantial economic interests which would provide them with good access whether or not they make contributions. If no significant interest feels disadvantaged by what these contributors want, they may well be given the benefit of the doubt. But in matters of great moment, where the varied interests in our society are in contention, it is doubtful whether control over money goes very far with a President.” N. Polsby and A. Wildavsky, Presidential Elections: Strategies of American Electoral Politics, pp. 39-40 (2d ed. 1968).
See also, Bottomly, Corrupt Practices in Political Campaigns, 30 BUL Rev 331, 369-370 (1950); The Brookings Institution, Paying for Politics, p. 7 (Brookings Research Report 125, 1972).
It is also significant that in each of the cases which have upheld direct limitations upon political activity because of its political content, the regulation was directed either to an economic entity or to a particular class of individuals rather than to individuals. In at least two of these cases the Supreme Court denied that similar restrictions upon the political activities of individuals would be permitted under the First Amendment. In
This would be true even if our constitution contained the same language as the federal constitution. The difference in the language of the Oregon and federal constitutions may also be pointed to as indicating an intention to provide a larger measure of protection to free expression under the Oregon Constitution. The California Constitution, which contains language similar to
For discussion of various subsidy proposals, see H. Wells, Government Financing of Political Parties in Puerto Rico (1961); H. Wells & R. Anderson, Government Financing of Political Parties in Puerto Rico: A Supplement to Study Number Four (1966); Penniman & Winter, Campaign Finances, pp. 25-32, 69-70 (1971); Winter, Watergate and The Law, pp. 29-34 (1974).
