Lead Opinion
Kenneth Mancuso, a full time police officer and classified civil service employee of the City of Cranston, Rhode Island, filed as a candidate for nomination as representative to the Rhode Is
At the outset, we acknowledge that our first impression was that while assault on the charter might be made by other city employees seeking office, appellee was in a poor position to complain. He is a policeman, an official called upon for important exercise of discretion, and he ran as a candidate for a partisan nomination for the position of. state representative for the very district in which he served as policeman. But several independent reasons, which we deem persuasive, singly and collectively, have led us to the conclusion that appellee’s right to raise this equal protection challenge does not depend on the possibility of his conduct being properly proscribed by a more narrowly drawn provision.
First, we are of the opinion, for reasons stated subsequently, that the charter provision significantly affects the exercise of First Amendment rights by Cranston’s public employees. In such circumstances, binding precedent — Gooding v. Wilson,
Second, we believe that both candidates and voters may challenge on its face on equal protection grounds a candidacy restriction because of its impact on voting rights. A candidate for public office, such as the appellee, is so closely related to and dependent upon those who wish to vote for him and his litigation will so vitally affect their rights that courts will relax the rule of practice (which is designed to assure vibrant representation of the vital interests of non-parties) and will permit a candidate to raise the constitutional rights of voters. Bullock v. Carter,
Finally, we believe that in any case, whether or not the regulation implicates First Amendment or voting rights, one within the terms of a classification may challenge it facially on equal protection grounds. Although the language of the Raines rule,
Standard of Scrutiny
Appellee’s complaint, simply put, is that Cranston has divided its citizenry into two groups for purposes of candidacy for public office: in one group, all classified civil servants, who are prohibited from filing as candidates; and, in the other, all other citizens, free to run for office, subject only to general age and similar requirements. In determining the propriety of this discrimination, we must first examine the nature of the interests infringed by § 14.09(c) to ascertain the proper standard of review.
The Supreme Court has tended to use one of two standards for review
In evaluating candidacy restrictions there are two interlocking interests, both fundamental, that must be considered. We naturally consider the rights asserted by the plaintiff in claiming the opportunity to become a candidate for public office. But whenever a state or city regulates the right to become a candidate for public office, it also regulates the citizen’s right to vote; the person or persons whose candidacy is affected may be the voters’ choice for public official. As Chief Justice Burger stated in the recent case of Bullock v. Carter,
A. Voting Rights
In Bullock, the Chief Justice stated that not every candidate restriction affects the right to vote sufficiently to require a strict equal protection review of the restriction. The task of the federal courts is to “examine in a realistic light the extent and nature of their impact on voters.”
We note initially that while in Bullock the filing fees were so large that they indirectly limited the pool of candidates,
Secondly, the Cranston charter excludes a specific group with unique qualifications for public office. City employees have made government their daily work. They see the work of government within their department and as their department deals with the public and other parts of government, local, county, state, and national. They ought to be able to pinpoint problems and formulate solutions much more effectively than many other citizens. The experience and insight garnered from day-today grappling with the bureaucracy could well make these individuals particularly attractive to the voters. For these reasons, then, we find that the fundamental interest of the right to vote is significantly affected by § 14.09(c) of the Cranston charter and that therefore strict equal protection review must be applied.
We now inquire whether the interest of the individual in running for public office is an interest protected by the First Amendment, so that any law which significantly infringes that interest must be given strict review.
The right to run for public office touches on two fundamental freedoms: freedom of individual expression and freedom of association. Freedom of expression guarantees to the individual the opportunity to write a letter to the local newspaper, speak out in a public park, distribute handbills advocating radical reform, or picket an official building to seek redress of grievances. All of these activities are protected by the First Amendment if done in a manner consistent with a narrowly defined concept of public order and safety. See Cox v. Louisiana,
It is impossible to ignore the additional fact that the right to run for office also affects the freedom to associate. In Williams v. Rhodes, supra, the Court used strict review to invalidate an Ohio election system that made it virtually impossible for third parties to secure a place on the ballot. The Court found that the First Amendment protected the freedom to associate by forming and promoting a political party and that that freedom was infringed when the state effectively denied a party access to its electoral machinery. The Cranston charter provision before us also affects associational rights, albeit in a slightly different way. An individual may decide to join or participate in an organization or political party that shares his beliefs. He may even form a new group to forward his ideas. And at some juncture his supporters and fellow party members may decide that he is the ideal person to carry the group’s standard into the electoral fray. To thus restrict the options available to political organization as the Cranston charter provision has done is to limit the effectiveness of association; and the freedom to associate is intimately related with the concept of making expression effective. See Williams v. Rhodes,
Whether the right to run for office is looked at from the point of view of individual expression or associational effectiveness, wide opportunities exist for the individual who seeks public office. The fact of candidacy alone may open previously closed doors of the media. The candidate may be invited to discuss his views on radio talk shows; he may be able to secure equal time on television to elaborate his campaign program; the newspapers may cover his candidacy; he may be invited to debate before various groups that had theretofore never heard of him or his views. In short, the fact of candidacy opens up a variety of communicative possibilities that are not available to even the most diligent of picketers or the most loyal of party followers. A view today, that running for public office is not an interest protected by the First Amendment, seems to us an outlook stemming from an earlier era when public office was the preserve of the professional and the wealthy.
Second, we note that even in the First Amendment area, the Mitchell case may have been drained of its vitality by the development of constitutional doctrine in the past twenty-five years. As the district court pertinently observed,
Interest of the Community
In proceeding to the second stage of active equal protection review, however, we do see some contemporary relevance of the Mitchell decision. National Ass’n of Letter Carriers, supra. In order for the Cranston charter provision to withstand strict scrutiny, the city must show that the exclusion of all government employees from candidacy is necessary to achieve a compelling state interest. Kramer v. Union Free School District,
We do not, however, consider the exclusionary measure taken by Cranston — a flat prohibition on office-seeking of all kinds by all kinds of public employees — as even reasonably necessary to satisfaction of this state interest. Bullock v. Carter,
As to approaches less restrictive than a prophylactic rule, there exists the device of the leave of absence.
The city might also promote its interest in the integrity of the civil service by enforcing, through dismissal, discipline, or criminal prosecution, rules or statutes that treat conflict of interests, bribery, or other forms of official corruption. By thus attacking the problem directly, instead of using a broad prophylactic rule, the city could pursue its objective without unduly burdening the First Amendment rights of its employees and the voting rights of its citizens. Last term in Dunn v. Blumstein, the Supreme Court faced an analogous question when the State of Tennessee asserted that the interest of “ballot box purity” justified its imposition of one year and three month residency requirements before a citizen could vote. Justice Marshall stated, inter alia, that Tennessee had available a number of criminal statutes that could be used to punish voter fraud without unnecessary infringement on the newcomer’s right to vote. Id. at 353-354,
Even if some sort of prophylactic rule is necessary, we cannot say that Cranston has put much effort into tailoring a narrow provision that attempts to match the prohibition with the problem. The charter forbids a Cranston public employee from running for any office, anywhere. The prohibition is not limited to
The third and last area of excessive and overinclusive coverage of the Cranston charter relates not to the type of office sought, but to the type of employee seeking the office. As Justice Douglas pointed out in his dissent in Mitchell,
We also do not find convincing the arguments that after-hours campaigning will drain the energy of the public employee to the extent that he is incapable of performing his job effectively and that inevitable on-the-job campaigning and discussion of his candidacy will disrupt the work of others. Although it is indisputable that the city has a compelling interest in the performance of official work, the exclusion is not well-tailored to effectuate that interest. Pre
Since § 14.09(c) of the Cranston charter is not necessary to further any compelling ’state interest, it cannot be upheld under the equal protection clause. The judgment of the District Court is affirmed insofar as the District Court granted relief against § 14.09(c) of the charter and part 3(c) of Civil Service Rule X.
Notes
. Mancuso also sought relief against enforcement of § 14.09 (f) of the city-charter, which prohibits “making directly or indirectly if a member of the classified service any contribution to the campaign funds of any political organization or candidate for public office or taking any part in the management of any political organization or in the' conduct of any political campaign further than in the exercise of the rights of a citizen to express his opinion and to cast his vote.” This city challenged appellee’s standing to attack subsection (f) since it had neither attempted nor threatened to enforce that section against Mancuso. See Wisconsin State Employees Ass’n v. Wisconsin Natural Resources Bd.,
However, another factor has made it unnecessary for us to decide that difficult issue. At oral argument the city represented to this court that subsection (f) is designed to cover the activities of employees who participate in the campaigns of other people and that only subsection (c) is intended to cover the activities of the candidate employee. While not as authoritative as an official construction of the statute, this clarification has persuaded us that Mancuso should not have been allowed to attack subsection (f). The city’s interpretation is reasonable. It makes sense out of both subsections and renders neither surplusage. The interpretation is bolstered by the existence of another subsection, (e), proscribing the solicitation of funds, which stands in the same posture as (f), i. e., a more specific functional prohibition, which is necessarily embraced, insofar as candidates are concerned, by the flat ban of (c). It seems entirely reasonable to conclude that these narrower controls are not designed for the major offender. In addition, the city’s action in this case, threatening enforcement only of (c), is consistent with this interpretation. These factors, taken together, render Mancuso’s challenge to subsection (f) too speculative for federal judicial resolution at this time.
Appellee also challenged, and the dis- ■ trict court invalidated, the city’s Civil Service Rule X, parts 3(c) and (f) which implement the charter provision. For the reasons just noted, we do not adjudicate the validity of part 3(f). We see no barrier, however, to our consideration of the challenge to both subsection (c) of the charter and part 3(c) of the Rules, although for convenience we refer hereafter only to the charter provision. Since the appellee clearly has a cause of action under 42 U.S.C. § 1983, we need not consider whether he 'also could' have . proceeded under the other provisions he invoked.
. The appellee below attacked the Cranston charter provision on both First Amendment and equal protection grounds. We recognize that some basic issues must be faced under either analysis but choose
. We do not read Judge Campbell’s dissent as denying the existence of a First Amendment right here, or the charter provision’s serious impact on the exercise of that right, and thus appellee’s standing to mount a facial attack. Rather his balancing of the interests of municipality and citizen indicates to us an adjudication of the merits.
. In Wade v. Wilson,
Collins v. Texas,
. See, e. g., Skinner v. Oklahoma,
We note that the Court has recently permitted and upheld a facial attack on the Texas abortion statute based- on due process grounds despite a dissenting member’s objection that the plaintiff may not have had standing to challenge the statute on its face since she may have been, as of the time of the filing of the complaint, within her third trimester as to which the Court permitted regulation even to the point of prohibition. Roe v. Wade,
. Judge Campbell’s suggestion of a standing rule in equal protection cases dependent upon the nature of the attack — i. e., allowing a hard core plaintiff to challenge if his attack is based on underinclusiveness but denying standing generally if his claim is that the prohibition is overinclusive— seems to us, wholly apart from the prudential reasons noted above and the difficulty of apply his formula for overinelusiveness challenges, to be without authority and an unnecessary straitjacketing of the court and the parties. As to the authorities, Grayned, supra, involved an overinelusiveness claim — that the picketing ordinance banned peaceful as well as non-peaeeful, non-labor picketing — raised by an admitted hard core offender.
Skinner and Baird, moreover, reveal the problems of practicality of the proposal. Many cases involve both under- and overinelusiveness claims. Concern for mere judicial efficiency, not to mention fairness to the parties (including the affected government) would dictate adjudication of all of an individual’s claims at once. This case is an example. Although we find overinelusiveness problems regarding the integrity rationale — the ban covering many whose candidacy would pose no danger to the system’s honesty— wo see the charter provision as under-inclusive in relation to the efficiency rationale — not covering many other outside activities which could also drain employee energy and distract co-workers. Were the appellee to be limited to an underinclusive complaint, the municipality would be deprived of its strongest defense, its compelling interest in the integrity of its civil service. Moreover, had appellee known that he was to be so limited, he might have been able to show that others working for the city, but designated by Civil Service Bule XV as being in the unclassified service — such as independent real estate appraisers, engineers, management consultants, and even political appointees — exercised discretionary functions and possessed confidential information, and hence presented risks of abuse of power similar to those posed by the employees subject to the ban. We do not see the gain in so circumscribing a plaintiff, a defendant, or, for that matter, a court.
. It is not entirely clear whether the allegation of any infringement of a fundamental interest triggers strict review or whether the infringement must be substantial before the statute requires more than a “reasonableness” review. Compare Bullock v. Carter,
. According to latest census figures, there are approximately 2,700,000 federal employees and 9,900,000 employees of state and local government, excluding personnel of the armed forces. U.S. Bureau of the Census, Statistical Abstract of the United States 221 (1971).
. We do not know if the number of potential candidates excluded by the Cranston charter provision would be as large as the number excluded by the filing fees required by a statute like that considered in Bulloch. The Court there found that the fees were so large that many candidates would be effectively precluded from access to the ballot.
. The dissent, although not denying that the candidacy ban here effects a substfmtial contraction of the potential candidacy pool and thus of voter choice, focuses upon the lack of an “invidious economic” burden, such as that in Bulloch, in finding strict scrutiny inapplicable. Although the Court in Bulloch considered the economic impact as one of the two factors triggering strict scrutiny in that case, it did not say, and we do not believe that it could have meant, that only economic restrictions with a substantial effect upon voter choice demand rigorous review. In Williams v. Rhodes, supra, the Supreme Court found that state statutes restricting minority party access to the ballot heavily burdened the right to vote and thus required strict equal protection review. We note that other courts have held that durational residency, Mogk v. City of Detroit,
. In Williams v. Rhodes, supra, the Court held that First Amendment rights were “fundamental” for purposes of equal protection review. See also Police Department of Chicago v. Mosley,
As noted above, the Supreme Court in Bullock stated that only candidate restrictions with substantial impact on voters would receive the strict review appropriate for legislation which affects the right to vote. We need not decide whether a similar threshold determination is required with regard to an individual’s right to run for office, since we find that the provision here at issue imposes a severe hurdle to appellee’s candidacy and hence to his exercise of his First Amendment rights. As noted above, it does not merely present the would-be candidate with minor requirements before being entitled to a place on the ballot; it forces the public employee to make an all-or-nothing choice between his job and his candidacy.
. While independent candidates may often be unsuccessful in partisan elections, we take judicial notice of the fact that local elections are often nonpartisan in nature, and that even in partisan contests, independent candidates do occasionally win.
. Thus we cannot concur with the court in Johnson v. State Civil Service Dept.,
. The appellant refers to Snowden v. Hughes,
. See Gray v. City of Toledo,
. Cf. Schneider v. State,
. The following practices are prohibited by section 14.09 of the city charter:
“ (b) wilfully or corruptly making any false statement, certificate, mark, grade, rating or report to any examination or test held or certification or appointment made under the provisions of this chapter or in any manner committing or attempting to commit any fraud preventing the impartial execution of such provisions or the rules and regulations established thereunder.
* * * * *
(d) giving, rendering or paying any money, service or other valuable thing for, or account of or in connection with an appointment, promotion or proposed appointment or promotion.”
. See Stack v. Adams,
Dissenting Opinion
(dissenting).
I respectfully dissent from the Court’s opinion.
I am completely unable to see how the plaintiff, a police officer, can be said to have been denied equal protection of the law as against persons not in the classified service of the City of Cranston. The City (as I believe my brothers would concede) had a legitimate interest, even a compelling one, in keeping its law enforcement personnel (at least) out of local politics. Thus, given the nature of his office, he was not improperly treated. That other civil servants holding less sensitive offices may have a stronger case (the point largely relied upon by the court) seems wholly irrelevant to the issue here, which is simply whether or not this plaintiff was denied rights guaranteed to him by the Constitution.
This is not a case of irrational under-inclusiveness — as it would be, for example, had uniformed police been barred from candidacy but detectives allowed to run. See Police Department of Chicago v. Mosley,
But it does not necessarily follow that being placed in a class which may also include persons not identically situated, gives one constitutional cause for complaint. The others’ misfortune may, as here, constitute no conceivable unfairness to the person legitimately classified.
In Collins v. Texas,
Eisenstadt v. Baird,
Thus I would limit the inquiry to whether a civil servant like the plaintiff can constitutionally be barred by law from seeking political office of the type plaintiff has been seeking; and I would hold that he can be so barred, just as judges may appropriately be barred from politics.
Admittedly if the case is analyzed on First Amendment rather than equal protection grounds, there is precedent for an “overbreadth” approach. To the rule that a plaintiff may not assert the rights of others, Raines, above,
In the present case, we deal with several interests, all of importance to the working of free government: the right of a citizen to seek office (and of voters to elect him), and the right of the body politic to control, and to ensure the faithfulness, of those in its employ. I see no constitutional reason to exalt the one over the other, and hence I see no reason to favor overbreadth analysis in this situation. By so doing we judicially establish a priority as to which the Constitution is silent.
For the same reason that I do not favor overbreadth analysis, I question application of the “compelling interest” standard. Bullock v. Carter, above, indi
Here, the compelling standard is immaterial so long as we focus upon plaintiff’s case; even under that test, the City was plainly warranted in restricting the candidacy of police officers. Yet my brothers are assisted by one aspect of the standard when they come to deal with the putative “others” within the class — non-law enforcement officers. They argue that since the challenged legislation can stand only to the extent there is a “compelling interest”, the City must follow the least restrictive alternative when regulating all its civil servants. I would hold, instead, that normal equal protection analysis, based upon determining whether or not the charter provision has a rational basis, should be applied.
I would reverse the decision of the district court and dismiss the complaint.
. I do not say that overinclusion, particularly if coupled with a definition of a simple class which is patently objectionable, may never give rise to an equal protection attack by one otherwise subject to appropriate regulation. Hero, however, we are dealing with a very complex overall class made up of numerous sub-classes of employees each of which has its own unique position. I do not think that judicial analysis in one fell swoop, in a case which .shows no impropriety in plaintiff’s classification, is either necessary or desirable, since it places us in a position of deciding issues which have not been fully aired by interested parties. I believe that a court should resolve constitutional questions only to the extent necessary to deal with the rights of the real litigants before it. I think that this is a particularly unfortunate case in which to resolve the broad issues considered by the majority.
. I do not, moreover, yet concede the validity of such hypothetical complaints. There are many different job categories in the classified service of the City of Cranston; I think a much better record is necessary before we attempt to decide whether or not the broad candidacy restriction is warranted with respect to the many differing positions. The reason for dealing with plaintiff’s, not someone else’s, case is that we are not well informed as to the latter.
. I have not attempted to discuss the many reasons which can be advanced to support the statute in issue. I think it not entirely beside the point that the federal Hatch Act was sustained twenty-five years ago. United Public Workers v. Mitchell,
The difficulty of judicial intervention in this field is suggested in Broadrick v. Oklahoma State Personnel Board,
