Teper v. MillerTeper v. Miller
Lead Opinion
Officials of the State of Georgia appeal the grant of a preliminary injunction against enforcement of
I.
Doug Teper is a member of the Georgia General Assembly who is contemplating a campaign for federal office; Teper’s co-plaintiffs are potential contributors to his federal campaign. As a member of the General Assembly, Teper is precluded by a provision of the Georgia Ethics in Government Act,
Teper contends that
On January 2,1996, Teper filed a motion in district court requesting a preliminary injunction prohibiting Georgia state officials (“the State”) from enforcing
The sole issue on appeal is whether Teper has a substantial likelihood of success on the merits of his claim that
Preemption doctrine is rooted in the Supremacy Clause and grows from the premise that when state law conflicts or interferes with federal law, state law must give way. See, e.g., CSX Transp., Inc. v. Easterwood,
The Supreme Court has identified three categories of preemption: (1) “express,” where Congress “define[s] explicitly the extent to which its enactments pre-empt state law,” English v. General Elec. Co.,
In order to decide the preemptive effect of FECA on
The Attorney General of Georgia has described the purpose of the statute as follows:
It is clear that the General Assembly intendedO.C.G.A. § 21-5-35 to prevent even the appearance of impropriety by its members or certain state officers in accepting contributions during a period where legislation is pending and there could be a perception that any legislative action could be influenced by the giving of a campaign contribution. This strong statement bythe General Assembly is consistent with its desire that public officials not be influenced, in the performance of their duties by improper “political contributions.” See O.C.G.A. § 16-10-2 (bribery prohibited); see also State v. Agan,269 Ga. 541 [384 S.E.2d 863 ] (1989), cert. denied,494 U.S. 1057 [110 S.Ct. 1526 ,108 L.Ed.2d 765 ] (1990).
Op. Att’y Gen. U95-27. The State similarly describes
Nor does anyone dispute the well established “constitutional power of Congress to regulate federal elections.” Buckley v. Valeo,
FECA was amended in 1974 to include a preemption provision, which states that “[t]he provisions of this Act, and of rules prescribed under this Act, supersede and preempt any provisions of state law with respect to election to Federal office.”
“When Congress ... has included in the enacted legislation a provision explicitly addressing [preemption], and when that provision provides a ‘reliable indicium of congressional intent with respect to state authority, there is no need to infer congressional intent to pre-empt state laws from the substantive provisions’ of the legislation.” Cipollone,
I have no doubt that the purpose of the state law is, as the Attorney General and State assert, to prevent the appearance
In this case, the effect of
The 1974 amendments to FECA created the FEC and “vest[ed] in it primary and substantial responsibility for administering and enforcing the Act,” delegating to the agency “extensive rulemaking and adjudicative powers.” Buckley,
A 1977 FEC regulation specifies that “Federal law supersedes state law concerning ... [l]imitation on contributions and expenditures regarding Federal candidates and political committees.”
Any residual ambiguity as to the FEC’s understanding of the preemptive effect of FECA on the Georgia statute is conclusively resolved by FEC advisory opinions.. The FEC consistently has expressed the opinion that FECA preempts state statutes limiting the time frame during which federal candidates may accept campaign contributions. See Op. FEC 1994-2 (advising that FECA preempts a Minnesota statute, barring lobbyists from contributing to a candidate during a regular session of the state legislature); Op. FEC 1993-25 (advising that FECA preempts a Wisconsin statute restricting the time period during which lobbyists can contribute to candidates); Op. FEC 1992-43 (advising that FECA preempts a Washington statute barring state officials from accepting campaign contributions during legislative sessions). In fact, Teper himself wrote to the FEC in November 1995 requesting an advisory opinion on the constitutionality of
Thus, even if the FECA preemption provision is not sufficiently determinate on its face to preempt
The Supreme Court has instructed, “When Congress, through express delegation or the introduction of an interpretive gap in the statutory structure, has delegated policy-making authority to an administrative agency, the extent of judicial review of the agency’s policy determinations is limited.” Pauley v. BethEnergy Mines, Inc.,
The FEC, in particular, is “precisely the type of agency to which deference should presumptively be afforded.” FEC v. Democratic Senatorial Campaign Comm.,
There is, however, one further twist to Chevron deference: it may not be obvious that this court’s obligation to defer to FEC interpretations of FECA attaches even when those interpretations address the scope of preemption of state law by federal regulation. I recognize that the law may be unsettled in general as to the application of Chev
Fortunately, I need not completely untangle this knotty issue of jurisprudence in order to conclude that the FEC’s interpretation of FECA is entitled to deference in this case. In City of New York v. FCC, a unanimous Court clarified the law sufficiently to settle the issue before us:
It has long been recognized that many of the responsibilities conferred on federal agencies involve a broad grant of authority to reconcile conflicting policies. Where this is true, the Court has cautioned that even in the area of pre-emption, if the agency’s choice to pre-empt “represents a reasonable accommodation of conflicting policies that were committed to the agency’s care by the statute, we should not disturb it unless it appears from the statute or its legislative history that the accommodation is not one that Congress would have sanctioned.”
Finally, the State has failed to construct a compelling argument that the FEC’s interpretation of the preemptive effect of FECA is unreasonable or inconsistent with congres
The district court’s grant of a preliminary injunction is AFFIRMED.
Notes
.The General Assembly session ended after oral argument in this case but before this opinion had issued. Adjournment of the General Assembly session did not render the case moot, however. The Supreme Court has recognized that often in cases challenging rules governing elections there is not sufficient time between the filing of the complaint and the election to obtain judicial resolution of the controversy before the election. Consequently, the Court has allowed such challenges to proceed under the "capable of repetition yet evading review” exception to the mootness doctrine. See Norman v. Reed,
This exception applies under two conditions: "(1) the challenged action was in its duration too short to be fully litigated prior to its cessation or expiration, and (2) there was a reasonable expectation that the same complaining party would be subject to the same action again.” "Weinstein v. Bradford,
. In addition to the winning preemption claim, Teper argued to the district court that enforcement of § 21-5-35 violated the First Amendment and the Equal Protection Clause. The district court did not reach these claims, and they are not before this court on appeal.
. In order to warrant the grant of a preliminary injunction, a plaintiff has the burden of proving four factors: (1) a substantial likelihood of success on the merits; (2) a substantial threat of irreparable injury if the injunction were not granted; (3) that the threatened injury to the
. In Buckley, 424 U.S. I,
. In this case, express preemption via the FECA preemption clause and field preemption are no different in practice. The FECA preemption clause means that FECA occupies the field "with respect to election to federal office."
. Indeed, this is Judge Carnes’s conclusion.
. In response to Buckley, the 1976 amendments to FECA reconstituted the FEC to allow the agency constitutionally to exercise its delegated
. FECA details the procedures FEC must follow in prescribing regulations. The FEC must submit a proposed regulation and an accompanying statement to both the House and the Senate; if neither disapproves the proposed regulation within thirty days, the FEC may issue it.
. This formal opinion was issued in response to an inquiry by another, more persistent, member of the Georgia General' Assembly running for Congress.
. The fact that the multiple FEC advisory opinions interpreting FECA to preempt state regulations of the timing of campaign contributions have been consistent further militates in favor of deference. See, e.g., Wagner Seed Co. v. Bush,
. The Chevron Court articulated this rationale in passages such as this:
Judges are not experts in the field, and are not part of either political branch of the Government. ...
When a challenge to an agency construction of a statutory provision, fairly conceptualized, really centers on the wisdom of the agency’s policy, rather than whether it is a reasonable choice within a gap left open by Congress, the challenge must fail. In such a case, federal judges — who have no constituency — have a duty to respect legitimate policy choices made by those who do. The responsibilities for assessing the wisdom of such policy choices and resolving the struggle between competing views of the public interest are not judicial ones: "Our Constitution vests such responsibilities in the political branches.” TVA v. Hill, [437 U.S. 153 , 195]98 S.Ct. 2279 , 2302 [57 L.Ed.2d 117 ] (1978).
Dissenting Opinion
dissenting:
I dissent and I state my reason succinctly:
First, there is no issue as to whether or not the federal law, FECA, preempts state law. It does so, explicitly. Therefore, what federal law controls, state law may not.
That is not the end of the inquiry. The preemption is coextensive with FECA — no more, no less. So, we should determine how far FECA goes. We may look to legislative history to understand FECA
The conference report on the bill that became the 1974 amendment leaves little room for doubt on this question. The report says:
It is the intent of the conferees that any State law regulating the political activities of State and local officers and employees is not preempted or superseded by the amendments to title 5, United States Code, made by this legislation.
S.Conf.Rep. No. 93-1237, 93d Cong., 2d Sess., reprinted in 1974 U.S.Code Cong. & Ad.News 5587, 5618, 5669. Furthermore, right before the conference report was agreed to by the Senate, a colloquy took place between Senator Stevens and Senator Cannon that covers this very point. Senator Cannon was Chairman of the Committee of Rules and Administration, from which the bill was reported, senior conferee on the part of the Senate, and manager of the bill on the Senate floor, so his remarks must be given special weight in determining what Congress meant to say. Mr. Cannon stated that “any State law regulating the political activity of State or local officers or employees is not preempted [or] ... superseded.” 120 Cong.Rec. 34386 (Oct. 8, 1974). “It [would be] ... up to the State to determine the extent to which they may participate in Federal elections.[.]” Ibid, (remarks of Senator Stevens).
Reeder,
When a law says that one may avail oneself of a right — as FECA says a federal candidate may solicit and receive campaign funds — that law does not forbid the candidate from voluntarily surrendering that right.
It happens all the time.
Georgia law, itself, circumscribes participation in charitable fund raising activities. See
But I think that a judge may not. Fund raising would violate a canon applicable specifically to the office. See Georgia Code of Judicial Conduct, Canon 5(B)(2). The judge has accepted a position of trust. By doing so, he or she has relinquished the right to solicit funds, though all the rest may do so. So you see, the fleas, do indeed, come with the dog.
The above does not implicate preemption. It illustrates proper construction of statutes in apparent tension but fully compatible.
The same principles of construction may be employed where preemption of one rule is clear. Our Bill of Rights trumps all aces. No provision of law is more preemptive.
For example, free expression is protected by the First Amendment; there may be no state law to the contrary. Indeed, in spite of some strong disapproval of states (and many of their citizens), some conduct deemed free expression embodied in rather bizarre entertainment is not subject to state regulation. See Barnes v. Glen Theatre, Inc.,
At the same time, the sale and consumption of beverage alcohol is peculiarly subject to state regulation. When the Eighteenth Amendment’s “war on whiskey” ended with the Twenty-first Amendment, control of alcohol was given to the states.
The upshot of this is that, while Georgia may not prohibit scantily clad terpsichorean performers from performing (it’s protected expression), Georgia can absolutely prohibit the sale of alcohol at places where dancers dance. See New York State Liquor Authority v. Bellanca,
In the ease before us, I see no indication that Georgia has undertaken to regulate candidates for federal office qua candidates. The state undertakes — -validly, I believe — to regulate its legislators qua legislators. If appellee Teper feels that he has unwisely encumbered himself by becoming a legislator, he holds the key to his release in his own pocket.
I have undertaken to be deferential to the conclusions of the Federal Election Campaign Commission that its power trumps this state law, but I remain convinced that its interpretation is flawed. I really doubt that the reach of FECA is more preemptive than the First Amendment.
I would reverse.
. Today, our panel’s judgment does, in effect, release appellee Teper from restraint of Georgia law. While I disagree, I realize that this judgment ought to be mandated right away. I should not be the instrument of delay while engaging in lengthy opinion writing. [NOTE; This was written and submitted while the Georgia legislature was still in session.]
. Briefs have argued, correctly, that we need not look to the legislative history of this Act to determine preemption vel non. That is correct, but the extent of the reach of FECA, and, therefore, just what it preempts, is not so clear.
Our majority finds comfort, in footnote 7 to the opinion, in noting that, long after the passage of FECA and its 1974 amendment, the Commission submitted its proposed regulation to Congress and was not allowed to promulgate it prior to the expiration of thirty days. Noting that Congress did not disapprove the proposed regulation, our majority believes that this suggests a congres
We have a long line of cases, however, which hold that once a bill has become an Act, the interpretation of it is for the Third Branch. Post hoc expressions by legislators — what then-Judge Scalia called “subsequent legislative history’’ — is of no weight. See Gott v. Walters,
Concurrence Opinion
concurring:
I concur in the Court’s holding that
The discussion in Judge Kravitch’s opinion about the deference that might be due the Commission’s regulations and advisory opinions if there were any ambiguity in FECA’s preemption language is, in my view, unnecessary to proper decision of this appeal, because there is no ambiguity in the statutory language. Accordingly, while I agree that FECA preempts
. The legislative history discussed in Judge Hill’s dissenting opinion does not cast such doubt. Although a Senate conference report does state, "It is the intent of the conferees that any State law regulating the political activities of State and local officers and employees is not preempted or superseded by the amendments to [the FECA],” S.Conf.Rep. No. 1237, 93d Cong., 2d Sess. (1974), reprinted in 1974 U.S.C.C.A.N. 5618, 5669, it is clear that this statement was aimed at preserving the so-called "little Hatch acts” of the states, not at permitting direct regulation of the activities of federal candidates. See Weber v. Heaney,