Lead Opinion
In this appeal, we must decide whether an inmate has standing to assert the First Amendment rights of prison guards relative to a prison policy prohibiting its employees from communicating directly with the parole board on behalf of prisoners. Because we find that the prisoner does not have standing, we reverse and remand to the district court for dismissal based on lack of jurisdiction.
I. BACKGROUND
The appellee, Phillip Wayne Harris, filed this pro se action in the United States District Court for the Southern District of Georgia under 42 U.S.C. § 1983.
In his complaint, Harris alleges that he had asked prison employees to write letters on his behalf, but that the DOC policy prevented them from doing so. See Rl-2-4. As the appellants point out, Harris made no claim that there were prison employees who, but for the prison policy, would have written letters on his behalf. Harris, however, now argues that this claim is implied.
The case was assigned to a magistrate judge, and the defendants filed a motion to dismiss, asserting that prison employees do not have a First Amendment right to communicate directly with the parole board regarding the parole of particular inmates. The magistrate judge, treating the motion as one for summary judgment, recommended that the motion be denied. The district court adopted the report and recommendation of the magistrate judge and provided a certificate of immediate review. We have jurisdiction under 28 U.S.C. § 1292(b). After the original panel affirmed the decision of the district court,
II. DISCUSSION
A. The Nature of Standing
The Supreme Court’s jurisprudence on standing has long been the object of spirited criticism from scholars and judges alike. See William A. Fletcher, The Structure of Standing, 98 Yale L.J. 221, 221 (1988). Critics contend that the caselaw lacks coherence and consistency. E.g., Flast v. Cohen,
The concept of standing derives from the principle of separation of powers on which our government is founded. Allen v. Wright,
The Supreme Court has set forth an analytical framework for resolving standing issues that is comprised of both “constitutional” and “prudential” requirements. See Warth,
In addition to these constitutional requirements, the court has fashioned three principles of judicial restraint, which have come to be known as “prudential” considerations. These self-imposed constraints are intended to ensure the proper role of the courts in our tripartite system of government by avoiding judicial resolution of abstract questions that would be more appropriately addressed by other governmental institutions. Warth,
1) whether the plaintiffs complaint falls within the zone of interests protected by the statute or constitutional provision at issue; 2) whether the complaint raises abstract questions amounting to generalized grievances which are more appropriately resolved by the legislative branches; and 3) whether the plaintiff is asserting his or her own legal rights and interests rather than the legal rights and interests of third parties.
Saladin,
B. Third-party Standing
We find that Harris lacks standing in this case under the general principle that a litigant must assert his own legal rights and interests and may not ordinarily rely on the rights and interests of third parties. The prohibition against third-party standing promotes the fundamental purpose of the standing requirement by ensuring that the courts hear only concrete disputes between interested litigants who will frame the issues properly. See Schlesinger v. Reservists Committee to Stop the War,
We have recognized the right of litigants to bring actions on behalf of third parties, provided three important criteria are satisfied: the litigant must have suffered an “injury-in-fact,” thus giving him or her a “sufficiently concrete interest” in the outcome of the issue in dispute; the litigant must have a close relation to the third party; and there must exist some hindrance to the third party’s ability to protect his or her own interests.
Id. at 409-12,
1. Injury in Fact
In order to have third-party standing, a party must first show that he has suffered an actual or threatened injury. Singleton v. Wulff,
We find that Harris has failed to make the requisite showing of a concrete injury in fact. Harris’s complaint alleged only that he had requested that prison employees write recommendation letters on his behalf to the parole board, but that the DOC policy prevented them from doing so. Harris never made any showing that there were specific prison employees who, but for the prison policy, would have written favorable letters on his behalf. Moreover, Harris cannot show that the inability of prison employees to write letters harmed him in any specific, objective manner.
We are mindful, however, of the less stringent standards to which pro se litigants are held. Haines v. Kerner,
A second factor recognized by the Supreme Court as a justification for third-party standing is the existence of a substantial relationship between the litigant and the third party. As the Supreme Court recognized in Singleton, in certain circumstances “the relationship between the litigant and the third party may be such that the former is fully, or very nearly, as effective a proponent of the right as the latter.”
In the instant case, however, Harris makes no claim that he enjoys a substantial relationship with the third parties whose rights he seeks to assert. The relationship between a prison inmate and the prison employees responsible for enforcing his incarceration is not the type of relationship that typically gives rise to third-party standing. In fact, we believe that the adversarial nature of the relationship actually counsels against the grant of third-party standing in this case.
When examining each of these factors, we must keep in mind the fundamental goal of the standing inquiry: ensuring that litigants have a concrete stake in the outcome of the proceedings such that the issues will be framed properly. This goal will be served only when the interests of the litigant and the third party right-holder are properly aligned.
One of the primary purposes of the policy that Harris challenges is to protect the prison guards from any threats, coercion, or retaliation that could result if guards were allowed to communicate directly with the parole board with respect to individual prisoners.
3. Dilution of Third Party’s Ability to Protect Rights
The third criterion cited by the Powers Court for relaxation of the general rule against third-party standing is whether the rights of the third party will be diluted or infringed if the litigant is not allowed to assert those rights on behalf of the third party. This factor is the central consideration in the grant of third party standing; most cases where the Supreme Court has allowed third-party standing can be justified on this basis. See, e.g., Powers,
We can find no impediment to the ability of the prison guards to assert their own First Amendment rights if they wish to do so. As we noted earlier, the only reason we. can fathom for the reluctance of prison guards to challenge the policy is that they like it; the policy protects them from threats, coercion, and possible retaliation from disgruntled prisoners.
III. CONCLUSION
Based on these considerations, we hold that Harris is not the proper party to raise the First Amendment rights of prison employees. Courts have repeatedly emphasized that the key to third-party standing analysis is whether the interests of the litigant and the third party are properly aligned, such that the litigant will adequately and vigorous
In Secretary of State of Maryland v. Joseph H. Munson Co., Inc.,
More importantly, however, the distinguishing factor in Munson — and the factor emphasized by both the majority and Justice Stevens — was the congruence of interests between the professional fundraisers and the charitable organizations. As the majority concluded in its standing analysis, “The activity sought to be protected is at the heart of the ... relationship between Munson and its clients, and Munson’s interests in challenging the statute are completely consistent with the First Amendment interests of the charities it represents.” Id. at 958,
We hold that the district court lacked jurisdiction over Harris’s challenge to the DOC policy. We therefore REVERSE the district court’s denial of summary judgment and REMAND to the district court for dismissal based on lack of. jurisdiction.
Notes
.Harris named as defendants the former Commissioner and Deputy Commissioner of the Georgia Department of Corrections, as well as the Warden of the Georgia State Prison at Reidsville, where Harris was incarcerated.
. The policy is set forth in a DOC memorandum dated September 26, 1988: "Advise all staff members ... that individual employee recommendations to the Parole Board in behalf of inmates must end. It not only violates the principal [sic] of chain of command, but may in fact compromise individual employees.... Strict adherence to this policy is a requirement.” See Rl-7-Ex. 1.
. Harris v. Evans,
. We note at the outset that standing cannot be waived and may be asserted at any stage of litigation. Church of Scientology Flag Serv. Org., Inc. v. City of Clearwater,
. We note that, despite Harris's contention, the present case is not a First Amendment over-breadth challenge, justifying relaxation of the third-party standing prohibition. The Supreme Court has recognized that, in certain cases, the risk that a third party's free speech may be "chilled" by an overbroad statute or ordinance may warrant the grant of standing to a party whose speech is not protected by the First Amendment. E.g., City of Houston v. Hill,
. Although the Powers Court characterized these factors as "criteria” that must be met in order to justify third-party standing, the Court has not always been so clear. In Singleton v. Wulff,
.On several occasions, the Supreme Court has denied standing based on the inconsistent interests between the litigant and the third-party right-holder. See Marc Rohr, Fighting for the Rights of Others: The Troubled Law of Third-Party Standing and Mootness in the Federal Courts, 35 U. Miami L.Rev. 393, 457 (1981) (citing Gilmore v. Utah,
. The September 26, 1988, DOC memorandum states that direct employee communication with the parole board on behalf of prisoners "may in fact compromise individual employees.” Rl-7-Ex. 1. The appellants did not vigorously assert the security interests of the prison employees in the proceedings below because they contended that resolution of this issue was unnecessary. See Defendant's Objections to Magistrate’s Report and Recommendation at 5-7 (Rl-12-5-7). The appellants did, however, directly refute the conclusion that the DOC policy "is not justified by any important security interest.” Id. at 5.
. Even scholars who argue for a liberal interpretation of the rule against third-party standing concede that the doctrine should not be relaxed when commonality of interests is lacking. E.g., Rohr, supra note 7, at 455. "A court should permit third-party standing ... unless it believes that third parties oppose the result sought by the litigant, or that the litigant may not adequately press for a desirable result for third parties.” Id.
. See supra note 7 and accompanying text (discussing principle that courts should deny third-party standing when third parties oppose results sought by litigant).
Concurrence Opinion
specially:
I concur and join the opinion for the court. I write separately to note one additional factor'in support of our decision that Harris has failed to satisfy the final prong (relating to any hinderance to the third party’s ability to protect the right) of the exception to the general rule against third-party standing. While there may be amongst Harris’ allegations some implicit suggestion that prison employees’ fear of ádverse personnel action hinders their assertion of the right, such possibility, even if not remote, is mitigated by the fact that the Parole Board itself has both an interest, a duty and ample means to obtain all the information that would be of assistance in their decision-making process. Thus, I she no realistic risk that useful information is overlooked, or anybody’s right to provide such information is infringed.
dissenting, in which HATCHETT, Circuit Judge, and CLARK, Senior Circuit Judge, join:
I agree with the majority opinion as it outlines the law of standing. I disagree, however, with the majority’s application of the law to the facts of this case. The central purpose of the standing requirement, as expressed by the majority, is “to ensure that the parties before the court have a concrete interest in the outcome of the proceedings such that they can be expected to frame the issues properly.” Majority opinion at 1125. In my view, Harris’s strong interest in having recommendations made to the parole board on his behalf ensures that he would properly frame this issue and vigorously advocate the First Amendment rights of the prison employees.
To have standing, a litigant must satisfy both the requirements of Article III of the Constitution which mandates that a case or controversy be presented, and prudential
I.
The majority determines that Harris has not alleged injury-in-fact. I disagree. Harris’s complaint states: “I have asked employees that know me to write letters to the parole Board for me, but they say that they are ordered not to write any such letters and could face termination if they do so.” As the majority recognizes, we are required to construe Harris’s complaint in his favor for two distinct reasons. In “ruling on a motion to dismiss for want of standing, both the trial and reviewing courts must accept as true all material allegations of the complaint, and must construe the complaint in favor of the complaining party.” Warth v. Seldin,
II.
I also disagree with the conclusion of the majority that Harris lacks a sufficiently close relationship to the prison employees to be granted third-party standing. The requirement of a close relationship between the parties is designed to ensure that the litigant “is fully, or very nearly, as effective a proponent of the right” as the third party. Singleton v. Wulff,
Contrary to the contention of the majority that Harris does not claim that he enjoys a substantial relationship with the prison employees, Harris’s complaint states that the policy, “is ridiculous because those who work with us daily, supervise us, etc., are the ones that KNOW the person I am. If those who KNOW us aren’t permitted to write letters in our behalf then who else knows us and could do so? ” Harris asserts a relationship with prison employees that is arguably closer than others in which third-party standing has been granted. See Powers v. Ohio,
The majority determines that Harris, because he is a prison inmate, necessarily has an adversarial relationship with prison employees. The basis for the majority’s conclusion is unclear. The only evidence in the record that reflects the relationship between inmates and prison employees is the assertion in Harris’s complaint, quoted above, that Harris had a close relationship with the prison employees.
III.
The third factor to be considered in deciding whether to grant third-party standing is whether there is some hindrance to the third party’s ability to protect his or her own interests. Harris’s complaint also demonstrates that there might exist impediments to the prison employees’ ability to litigate their own claim. The employees approached by Harris about writing letters on his behalf responded that if they wrote such letters they could be terminated. The fear of adverse job action is a barrier to litigating this claim. Additionally, the Court noted in Powers that practical considerations such as “the small financial stake involved and the economic burdens of litigation,” present considerable barriers to litigation because there may be “little incentive to set in motion the arduous process needed to vindicate” the right.
Harris has alleged facts sufficient to satisfy all of the constitutional and prudential standing requirements. Accordingly, I would hold that the district court had jurisdiction to consider the claim on the merits.
. I do not address the issue of whether Harris should be entitled to the less stringent standing requirements sometimes afforded those asserting First Amendment claims, as I conclude that even under the stricter standard Harris has standing.
. Further, to the extent that Harris’s complaint is not clear with respect to this allegation, a remand for factual finding would determine whether there are prison employees that want to write letters on Harris's behalf. In this case, because standing was not raised by the parties below, fact-finding was not conducted. As the Supreme Court has noted, “it is within the trial court's power to allow or to require the plaintiff to supply, by amendment to the complaint or by affidavits, further particularized allegations of fact deemed supportive of plaintiff's standing." Warth v. Seldin,
. The appellants, in contending that Harris should not be granted standing, do not argue that the inmate-prison employee relationship was adversarial. Further, assuming that the majority would admit that' an employee could desire to write a letter on Harris's behalf, it is unclear why this relationship would be categorized as adversarial in this context. To the extent that the majority believes that an adversarial relationship exists, because there is no evidence in the record to support such a conclusion, the proper solution would be to remand this case so that evidence could be presented on this issue.
. The majority reasons that perhaps the prison employees have not challenged the policy because they support it, further speculating that the employees view the policy as protecting them from disgruntled prisoners. This seems unlikely .in view of the fact that the prison employees already indirectly .communicate with the parole board through documents such as performance and work reports, program involvement and disciplinary reports forwarded to the board when the inmate is considered for parole. The current policy only forbids direct communication. If the employees could be subject to such hostility from inmates as a result of direct communication, they
