Flast v. Cohen
Concurring Opinion
concurring.
While I have joined the opinion of the Court, I do not think that the test it lays down is a durable one for the reasons stated by my Brother Harlan. I think, therefore, that it will suffer erosion and in time result in the demise of Frothingham v. Mellon, 262 U. S. 447. It would therefore be the part of wisdom, as I see the problem, to be rid of Frothingham here and now.
I do not view with alarm, as does my Brother Harlan, the consequences of that course. Frothingham, decided in 1923, was in the heyday of substantive due process, when courts were sitting in judgment on the wisdom or reasonableness of legislation. The claim in Frothingham was that a federal regulatory Act dealing with maternity deprived the plaintiff of property without due process of law. When the Court used substantive due process to determine the wisdom or reasonableness of legislation, it was indeed transforming itself into the Council of Revision which was rejected by the Constitutional Convention. It was that judicial attitude, not the theory of standing to sue rejected in Frothingham, that involved “important hazards for the continued effectiveness of the féderal judiciary,” to borrow a phrase from my Brother Harlan. A contrary result in Frothingham in that setting might well have accentuated an ominous trend to judicial supremacy.
But we no longer undertake to exercise that kind of power. Today’s problem is in a different setting.
Most laws passed by Congress do not contain even a ghost of a constitutional question. The “political” decisions, as distinguished from the “justiciable” ones, occupy most of the spectrum of congressional action. The case or controversy requirement comes into play only when the Federal Government does something that affects a person’s life, his liberty, or his property. The wrong may be slight or it may be grievous. Madison in denouncing
The States have experimented with taxpayers’ suits and with only two exceptions
The constitutional guide is “cases” or “controversies” within the meaning of § 2 of Art. Ill of the Constitution. As respects our appellate jurisdiction, Congress may largely fashion it as Congress desires by reason of the express provisions of § 2, Art. III. See Ex parte McCardle, 7 Wall. 506. But where there is judicial power to act, there is judicial power to deal with all the facets of the old issue of standing.
Taxpayers can be vigilant private attorneys general. Their stake in the outcome of litigation may be de mini-mis by financial standards, yet very great when measured by a particular constitutional mandate. My Brother Harlan’s opinion reflects the British, not the American, tradition of constitutionalism. We have a written Constitution; and it is full of “thou shalt nots” directed at Congress and the President as well as at the courts.
There has long been a school of thought here that the less the judiciary does, the better. It is often said that judicial intrusion should be infrequent, since it is “always attended with a serious evil, namely, that the correction of legislative mistakes comes from the outside, and the people thus lose the political experience, and the moral education and stimulus that come from fighting the question out in the ordinary way, and correcting their own errors”; that the effect of a participation by the judiciary in these processes is “to dwarf the political capacity of the people, and to deaden its sense of moral responsibility.” J. Thayer, John Marshall 106, 107 (1901).
The late Edmond Cahn, who opposed that view, stated my philosophy. He emphasized the importance of the role that the federal judiciary was designed to play in guarding basic rights against majoritarian control. He chided the view expressed by my Brother Harlan: “we are entitled to reproach the majoritarian justices of the Supreme Court . . . with straining to be reasonable when they ought to be adamant.” Can the Supreme Court Defend Civil Liberties? in Samuel, ed., Toward a Better America 132, 144 (1968). His description of our constitutional tradition was in these words:
“Be not reasonable with inquisitions, anonymous informers, and secret files that mock American justice. Be not reasonable with punitive denationali-zations, ex post facto deportations, labels of disloyalty, and all the other stratagems for outlawing human beings from the community of mankind. These devices have put us to shame. Exercise the full judicial power of the United States; nullify*111 them, forbid them; and make us proud again.” Id., 144-145.
The judiciary is an indispensable part of the operation of our federal system. With the growing complexities of government it is often the one and only place where effective relief can be obtained. If the judiciary were to become a super-legislative group sitting in judgment on the affairs of people, the situation would be intolerable. But where wrongs to individuals are done by violation of specific guarantees, it is abdication for courts to close their doors.
Marshall wrote in Marbury v. Madison, 1 Cranch 137, 178, that if the judiciary stayed its hand in deference to the legislature, it would give the legislature “a practical and real omnipotence.” My Brother Harlan’s view would do just that, for unless Congress created a procedure through which its legislative creation could be challenged quickly and with ease, the momentum of what it had done would grind the dissenter under.
We have a Constitution designed to keep government out of private domains. But the fences have often been broken down; and Frothingham denied effective machinery to restore them. The Constitution even with the judicial gloss it has acquired plainly is not adequate to protect the individual against the growing bureaucracy in the Legislative and Executive Branches. He faces a formidable opponent in government, even when he is endowed with funds and with courage. The individual is almost certain to be plowed under, unless he has a well-organized active political group to speak for him. The church is one. The press is another. The union is a third. But if a powerful sponsor is lacking, individual liberty withers — in spite of glowing opinions and resounding constitutional phrases.
I would not be niggardly therefore in giving private attorneys general standing to sue. I would certainly not
There need be no inundation of the federal courts if taxpayers’ suits are allowed. There is a wise judicial discretion that usually can distinguish between the frivolous question and the substantial question, between cases ripe for decision and cases that need prior administrative processing, and the like.
Gideon Hausner, after reviewing the severe security measures sometimes needed for Israel’s survival and the vigilance of her courts in maintaining the rights of individuals, recently stated, “When all is said and done, one is inclined to think that a rigid constitutional frame is on the whole preferable even if it serves no better purpose than obstructing and embarrassing an over-active Executive.” Individuals’ Rights in the Courts of Israel, International Lawyers Convention In Israel, 1958, pp. 201, 228 (1959).
That observation is apt here, whatever the transgression and whatever branch of government may be implicated. We have recently reviewed the host of devices
Memorial and Remonstrance against Religious Assessments, 2 Writings of James Madison 186 (Hunt ed. 1901).
The two clear exceptions are municipal taxpayers’ suits in Kansas (see Asendorf v. Common School Dist. No. 102, 175 Kan. 601, 266 P. 2d 309 (1954)) and state taxpayers’ suits in New York (see Schieffelin v. Komfort, 212 N. Y. 520, 106 N. E. 675 (1914); St. Clair v. Yonkers Raceway, 13 N. Y. 2d 72, 242 N. Y. S. 2d 43, 192 N. E. 2d 15 (1963); but see Kuhn v. Curran, 294 N. Y. 207, 61 N. E. 2d 513 (1945)).
See, e. g., Clapp v. Town of Jaffrey, 97 N. H. 456, 91 A. 2d 464 (1952); Vibberts v. Hart, 85 R. I. 35, 125 A. 2d 193 (1956); Lien v. Northwestern Engineering Co., 74 S. D. 476, 54 N. W. 2d 472 (1952). (“It is now the settled law of this state that a taxpayer or elector having no special interest may institute an action to protect a public right.” 74 S. D., at 479, 54 N. W. 2d, at 474.)
See, e. g., Crews v. Beattie, 197 S. C. 32, 14 S. E. 2d 351 (1941); Goodland v. Zimmerman, 243 Wis. 459, 10 N. W. 2d 180 (1943) (taxpayer may not enjoin state expenditure of $1.49); contra, Richardson v. Blackburn, 41 Del. Ch. 54, 187 A. 2d 823 (1963); Woodard v. Reily, 244 La. 337, 152 So. 2d 41 (1963).
The estimates of commentators as to how many jurisdictions have specifically upheld taxpayers’ suits range from 32 to 40. See
See, e. g., NAACP v. Alabama, 357 U. S. 449; Pierce v. Society of Sisters, 268 U. S. 510. As the Court said in Barrows v. Jackson, 346 U. S. 249, 255, apart from Article III jurisdictional questions, standing involves a “rule of self-restraint for its own governance” which “this Court has developed” itself. And attempts by Congress to confer standing when it is constitutionally lacking are unavailing. Muskrat v. United States, 219 U. S. 346.
“The general indifference of private individuals to public omissions and encroachments, the fear of expense in unsuccessful and even in successful litigation, and the discretion of the court, have been, and doubtless will continue to be, a sufficient guard to these public officials against too numerous and unreasonable attacks.” Ferry v. Williams, 41 N. J. L. 332, 339 (Sup. Ct. 1879).
Quoted in the Law Times, March 17, 1928, at 242.
These efforts, commencing in 1961, are discussed in S. Rep. No. 85, 90th Cong., 1st Sess., 2-3 (1967), and S. Rep. No. 473, 90th Cong., 1st Sess., 10-15 (1967). The Senate added such a provision to the Higher Education Facilities Act of 1963, but it did not survive conference. S. Rep. No. 85, at 2. A bill, S. 3, to make certain “establishment” questions reviewable has been reported by the Senate in the Ninetieth Congress.
“Tuition grants to parents of students in church schools is considered by the clerics and their helpers to have possibilities. The idea here is that the parent receives the money, carries it down to the school, and gives it to the priest. Since the money pauses a moment with the parent before going to the priest, it is argued that this evades the constitutional prohibition against government money for religion! This is a diaphanous trick which seeks to do indirectly what may not be done directly.
“Another one is the 'authority.’ The state may not grant aid directly to church schools. But how about setting up an authority— like the Turnpike Authority? The state could give the money to the authority which, under one pretext or another, could channel it into the church schools.
“Yet another favorite of those who covet sectarian subsidies is ‘child benefit.’ Government may not aid church schools, but it may aid the children in the schools. The trouble with this argument is that it proves too much. Anything that is done for a school would presumably be of some benefit to the children in it. Government could even build church school classrooms, under this theory, because it would benefit the children to have nice rooms to study in.” 21 Church & State (June 1968), p. 5 (editorial).
Opinion of the Court
delivered the opinion of the Court.
In Frothingham v. Mellon, 262 U. S. 447 (1923), this Court ruled that a federal taxpayer is without standing to challenge the constitutionality of a federal statute. That ruling has stood for 45 years as an impenetrable barrier to suits against Acts of Congress brought by individuals who can assert only the interest of federal taxpayers. In this case, we must decide whether the Frothingham barrier should be lowered when a taxpayer attacks a federal statute on the ground that it violates the Establishment and Free Exercise Clauses of the First Amendment.
Appellants filed suit in the United States District Court for the Southern District of New York to enjoin the allegedly unconstitutional expenditure of federal funds under Titles I and II of the Elementary and Secondary Education Act of 1965, 79 Stat. 27, 20 U. S. C. §§ 241a et seg., 821 et seq. (1964 ed., Supp. II). The complaint alleged that the seven appellants had as a common attribute that “each pay[s] income taxes of the United States,” and it is clear from the complaint that the appellants were resting their standing to maintain the action solely on their status as federal taxpayers.
The gravamen of the appellants’ complaint was that federal funds appropriated under the Act were being used to finance instruction in reading, arithmetic, and other subjects in religious schools, and to purchase textbooks
“that, to the extent consistent with the number of educationally deprived children in the school district of the local educational agency who are enrolled in private elementary and secondary schools, such agency has made provision for including special educational services and arrangements (such as dual enrollment, educational radio and television, and mobile educational services and equipment) in which such children can participate . . . .” 20 U. S. C. §241e (a)(2).
Under § 206 of the Act, 20 U. S. C. § 241f, the Commissioner of Education is given broad powers to supervise a State’s participation in Title I programs and grants. Title II of the Act establishes a program of federal grants for the acquisition of school library resources, textbooks,
“provide assurance that to the extent consistent with law such library resources, textbooks, and other instructional materials will be provided on an equitable basis for the use of children and teachers in private elementary and secondary schools in the State . . . .” 20 U. S. C. § 823 (a)(3)(B).
While disclaiming any intent to challenge as unconstitutional all programs under Title I of the Act, the complaint alleges that federal funds have been disbursed under the Act, “with the consent and approval of the [appellees],” and that such funds have been used and will continue to be used to finance “instruction in reading, arithmetic and other subjects and for guidance in religious and sectarian schools” and “the purchase of textbooks and instructional and_ library materials for use in religious and sectarian schools.” Such expenditures of federal tax funds, appellants alleged, violate the First Amendment because “they constitute a law respecting an establishment of religion” and because “they prohibit the free exercise of religion on the part of the [appellants] ... by reason of the fact that they constitute compulsory taxation for religious purposes.” The complaint asked for a declaration that appellees’ actions in approving the expenditure of federal funds for the alleged purposes were not authorized by the Act or, in the alternative, that if appellees’ actions are deemed within the authority and intent of the Act, “the Act is to that extent unconstitutional and void.” The complaint also prayed for an injunction to enjoin appel-
The Government moved to dismiss the complaint on the ground that appellants lacked standing to maintain the action. District Judge Frankel, who considered the motion, recognized that Frothingham v. Mellon, supra, provided “powerful” support for the Government’s position, but he ruled that the standing question was of sufficient substance to warrant the convening of a three-judge court to decide the question. 267 F. Supp. 351 (1967). The three-judge court received briefs and heard arguments limited to the standing question, and the court ruled on the authority of Frothingham that appellants lacked standing. Judge Frankel dissented. 271 F. Supp. 1 (1967). From the dismissal of their complaint on that ground, appellants appealed directly to this Court, 28 U. S. C. § 1253, and we noted probable jurisdiction. 389 U. S. 895 (1967). For reasons explained at length below, we hold that appellants do have standing as federal taxpayers to maintain this action, and the judgment below must be reversed.
I.
We must deal first with the Government’s contention that this Court lacks jurisdiction on direct appeal because a three-judge court was improperly convened below.
The Government’s argument on this question is two-pronged. First, noting that appellants have conceded that the case should be deemed one limited to the practices of the New York City Board of Education, the Government contends that appellants wish only to forbid specific local programs which they find objectionable and not to enjoin the operation of the broad range of programs under the statutory scheme. Only if the latter relief is sought, the Government argues, can a three-judge court properly be convened under 28 U. S. C. § 2282. We cannot accept the Government’s argument in the context of this case. It is true that the appellants’ complaint makes specific reference to the New York City Board of Education’s programs which are funded under the challenged statute, and we can assume that appellants’ proof at trial would focus on those New York City programs. However, we view these allegations of the complaint as imparting specificity and focus to the issues in the lawsuit and not as limiting the impact of the constitutional challenge made in this ease. The injunctive relief sought by appellants is not limited to programs in operation in New York City but extends to any program that would have the unconstitutional features alleged in the complaint. Congress enacted § 2282 “to prevent a single federal judge from being able to paralyze totally the operation of an entire regulatory scheme ... by issuance of a broad injunctive order.” Kennedy v. Mendoza-Martinez, 372 U. S. 144, 154 (1963). If the District Court in this case were to rule for appellants on the merits of their constitutional attack on New York
Secondly, the Government argues that a three-judge court should not have been convened because appellants question not the constitutionality of the Elementary and Secondary Education Act of 1965 but its administration.
Thus, since the three-judge court was properly convened below,
II.
This Court first faced squarely
Although the barrier Frothingham erected against federal taxpayer suits has never been breached, the decision has been the source of some confusion and the object of considerable criticism. The confusion has developed as commentators have tried to determine whether Frothingham establishes a constitutional bar to taxpayer suits or whether the Court was simply imposing a rule of self-restraint which was not constitutionally compelled.
III.
The jurisdiction of federal courts is defined and limited by Article III of the Constitution. In terms relevant to the question for decision in this case, the judicial power of federal courts is constitutionally restricted to “cases” and “controversies.” As is so often the situation in constitutional adjudication, those two words have an iceberg quality, containing beneath their surface simplicity submerged complexities which go to the very heart of our constitutional form of government. Embodied in the
Justiciability is itself a concept of uncertain meaning and scope. Its reach is illustrated by the various grounds upon which questions sought to be adjudicated in federal courts have been held not to be justiciable. Thus, no justiciable controversy is presented when the parties seek adjudication of only a political question,
Part of the difficulty in giving precise meaning and form to the concept of justiciability stems from the un
Additional uncertainty exists in the doctrine of jus-ticiability because that doctrine has become a blend of constitutional requirements and policy considerations. And a policy limitation is “not always clearly distinguished from the constitutional limitation.” Barrows v. Jackson, 346 U. S. 249, 255 (1953). For example, in his concurring opinion in Ashwander v. Tennessee Valley Authority, 297 U. S. 288, 345-348 (1936), Mr. Justice Brandéis listed seven rules developed by this Court “for its own governance” to avoid passing prematurely on constitutional questions. Because the rules operate in “cases confessedly within [the Court’s] jurisdiction,” id., at 346, they find their source in policy, rather than purely constitutional, considerations. However, several of the cases cited by Mr. Justice Brandéis in illustrating the rules of self-governance articulated purely constitutional grounds for decision. See, e. g., Massachusetts v. Mellon, 262 U. S. 447 (1923); Fairchild v. Hughes, 258 U. S. 126 (1922); Chicago & Grand Trunk R. Co. v. Wellman, 143 U. S. 339 (1892). The “many subtle pressures”
Standing is an aspect of justiciability and, as such, the problem of standing is surrounded by the same complexities and vagaries that inhere in justiciability.
Despite the complexities and uncertainties, some meaningful form can be given to the jurisdictional limitations placed on federal court power by the concept of standing. The fundamental aspect of standing is that it focuses on the party seeking to get his complaint before a federal court and not on the issues he wishes to have adjudicated. The “gist of the question of standing” is whether the party seeking relief has “alleged such a personal stake in the outcome of the controversy as to assure that concrete adverseness which sharpens the presentation of issues upon which the court so largely depends for illumination of difficult constitutional questions.” Baker v. Carr, 369 U. S. 186, 204 (1962). In other words, when standing is placed in issue in a case, the question is whether the person whose standing is
When the emphasis in the standing problem is placed on whether the person invoking a federal court’s jurisdiction is a proper party to maintain the action, the weakness of the Government’s argument in this case becomes apparent. The question whether a particular person is a proper party to maintain the action does not, by its own force, raise separation of powers problems related to improper judicial interference in areas committed to other branches of the Federal Government. Such prob
IV.
The various rules of standing applied by federal courts have not been developed in the abstract. Rather, they have been fashioned with specific reference to the status asserted by the party whose standing is challenged and to the type of question he wishes to have adjudicated. We have noted that, in deciding the question of standing, it is not relevant that the substantive issues in the litigation might be non justiciable. However, our decisions
The nexus demanded of federal taxpayers has two aspects to it. First, the taxpayer must establish a logical link between that status and the type of legislative enactment attacked. Thus, a taxpayer will be a proper party to allege the unconstitutionality only of exercises of congressional power under the taxing and spending clause of Art. I, § 8, of the Constitution. It will not be sufficient to allege an incidental expenditure of tax funds in the administration of an essentially regulatory statute. This requirement is consistent with the limitation imposed upon state-taxpayer standing in federal courts in Doremus v. Board of Education, 342 U. S. 429 (1952). Secondly, the taxpayer must establish a nexus between that status and the precise nature of the constitutional infringement alleged. Under this requirement, the taxpayer must show that the challenged enactment exceeds
The taxpayer-appellants in this case have satisfied both nexuses to support their claim of standing under the test we announce today. Their constitutional challenge is made to an exercise by Congress of its power under Art. I, § 8, to spend for the general welfare, and the challenged program involves a substantial expenditure of federal tax funds.
The allegations of the taxpayer in Frothingham v. Mellon, supra, were quite different from those made in this case, and the result in Frothingham is consistent with the test of taxpayer standing announced today. The taxpayer in Frothingham attacked a federal spending program and she, therefore, established the first nexus
We have noted that the Establishment Clause of the First Amendment does specifically limit the taxing and spending power conferred by Art. I, § 8. Whether the Constitution contains other specific limitations can be determined only in the context of future cases. However, whenever such specific limitations are found, we believe a taxpayer will have a clear stake as a taxpayer in assuring that they are not breached by Congress. Consequently, we hold that a taxpayer will have stand
While we express no view at all on the merits of appellants’ claims in this case,
Reversed.
The complaint alleged that one of the appellants “has children regularly registered in and attending the elementary or secondary grades in the public schools of New York.” However, the District Court did not view that additional allegation as being relevant to the question of standing, and appellants have made no effort to justify their standing on that additional ground.
This issue was not raised in the court below, and the Government argued it for the first time in its brief in this Court. The Government claims the inappropriateness of convening a three-judge court became apparent only as the issues in the case have been clarified by appellants. Because the question now presented goes to our jurisdiction on direct appeal, the lateness of the claim is irrelevant to our consideration of it. United States v. Griffin, 303 U. S. 226, 229 (1938).
The Government also seems to argue that, if any administrative action is suspect, it is the action of state officials and not of ap-pellees. For example, the Government describes federal participation in the challenged programs as “remote.” Brief for Appellees 17. The premise for this argument is apparently that, under 20 U. S. C. § 241e, programs of local educational agencies require only the direct approval of state officials to be eligible for grants. However, appellees are given broad powers of supervision over state participation by 20 U. S. C. § 241f, and it is federal funds administered by appellees that finance the local programs. We cannot characterize such federal participation as “remote.”
An. additional requirement for the convening of a three-judge court is that the constitutional question presented be substantial. See Idlewild Bon Voyage Liquor Corp. v. Epstein, 370 U. S. 713 (1962); Ex parte Poresky, 290 U. S. 30 (1933). The Government does not dispute the substantiality of the constitutional attack made by appellants on the Elementary and Secondary Education Act of 1965. See Flast v. Gardner, 267 F. Supp. 351, 352 (1967).
In at least three cases prior to Frothingham, the Court accepted jurisdiction in taxpayer suits without passing directly on the standing question. Wilson v. Shaw, 204 U. S. 24, 31 (1907); Millard v. Roberts, 202 U. S. 429, 438 (1906); Bradfield v. Roberts, 175 U. S. 291, 295 (1899).
The prevailing view of the commentators is that Frothingham announced only a nonconstitutional rule of self-restraint. See, e. g., Jaffe, Standing to Secure Judicial Review: Private Actions, 75 Harv. L. Rev. 255, 302-303 (1961); Arthur Garfield Hays Civil Liberties Conference: Public Aid to Parochial Schools and Standing to Bring Suit, 12 Buffalo L. Rev. 35, 48-65 (1962); Davis, Standing to Challenge Governmental Action, 39 Minn. L. Rev. 353, 386-391 (1955). But see Hearings on S. 2097 before the Subcommittee on Constitutional Rights of the Senate Judiciary Committee, 89th Cong., 2d Sess., 465, 467-468 (1966) (statement of Prof. William D. Yalente). The last-cited hearings contain the best collection of recent expression of views on this question.
“Although the Court in the latter part of the opinion used language suggesting that it did not find the elements of a justiciable controversy present in the ease, the case in its central aspect turns on application of the judicially formulated [¿. e., nonconstitutional] rules respecting standing.” Hearings on S. 2097, supra, n. 6, at 503 (statement of Prof. Paul G. Kauper).
See, e. g., Hearings on S. 2097, supra, n. 6, at 493 (statement of Prof. Kenneth C. Davis); Note, 69 Yale L. J. 895, 917, and n. 127 (1960).
Judge Frankel’s dissent below also noted that federal courts have learned in recent years to cope effectively with “huge liti-gations” and “redundant actions.” 271 F. Supp., at 17.
See, e. g., Commercial Trust Co. v. Miller, 262 U. S. 51 (1923); Luther v. Borden, 7 How. 1 (1849).
See, e. g., United States v. Fruehauf, 365 U. S. 146 (1961); Muskrat v. United States, 219 U. S. 346 (1911).
See, e. g., California v. San Pablo & T. R. Co., 149 U. S. 308 (1893).
See, e. g., Tileston v. Ullman, 318 U. S. 44 (1943); Frothingham v. Mellon, 262 U. S. 447 (1923).
The rule against advisory opinions was established as early as 1793, see 3 H. Johnston, Correspondence and Public Papers of John Jay 486-489 (1891), and the rule has been adhered to without deviation. See United States v. Fruehauf, 365 U. S. 146, 157 (1961), and cases cited therein.
Poe v. Ullman, 367 U. S. 497, 508 (1961).
Brief for Appellees 7.
The logic of the Government’s argument would compel it to concede that a taxpayer would lack standing even if Congress engaged in such palpably unconstitutional conduct as providing funds for the construction of churches for particular sects. See Flast v. Gardner, 271 F. Supp. 1, 5 (1967) (dissenting opinion of Frankel, J.). The Government professes not to be bothered by such a result because it contends there might be individuals in society other than taxpayers who could invoke federal judicial power to challenge such unconstitutional appropriations. However, if as we conclude there are circumstances under which a taxpayer will be a proper and appropriate party to seek judicial review of federal statutes, the taxpayer’s access to federal courts should not be barred because there might be at large in society a hypothetical plaintiff who might possibly bring such a suit.
Hearings on S. 2097, supra, n. 6, at 498 (statement of Prof. Paul A. Freund).
Lewis, Constitutional Rights and the Misuse of “Standing,” 14 Stan. L. Rev. 433, 453 (1962).
Thus, a general standing limitation imposed by federal courts is that a litigant will ordinarily not be permitted to assert the rights of absent third parties. See, e. g., Heald v. District of Columbia, 259 U. S. 114, 123 (1922); Yazoo & Miss. Valley R. Co. v. Jackson Vinegar Co., 226 U. S. 217 (1912). However, this rule has not been imposed uniformly as a firm constitutional restriction on federal court jurisdiction. See, e. g., Dombrowski v. Pfister, 380 U. S. 479, 486-487 (1965); Barrows v. Jackson, 346 U. S. 249 (1953).
This distinction has not always appeared with clarity in prior cases. See Bickel, Foreword: The Passive Virtues, The Supreme Court, 1960 Term, 75 Harv. L. Rev. 40, 75-76 (1961).
One contemporary commentator advanced such an explanation for the holding in Frothingham, suggesting that the standing rationale was simply a device used by the Court to avoid judicial inquiry into questions of social policy and the political wisdom of Congress. See Finkelstein, Judicial Self-Limitation, 37 Harv. L. Rev. 338, 359-364 (1924).
Almost $1,000,000,000 was appropriated to implement the Elementary and Secondary Education Act in 1965. 79 Stat. 832.
The Memorial and Remonstrance was Madison’s impassioned reaction to a bill introduced in the Virginia General Assembly in 1785 to provide a tax levy to support teachers of the Christian religion. Madison’s eloquent opposition to the levy generated strong support in Virginia, and the Assembly postponed consideration of the proposal until its next session. When the bill was revived, it died in committee and the Assembly instead enacted the famous Virginia Bill for Religious Liberty authored by Thomas Jefferson. The Virginia experience is recounted in S. Cobb, Rise of Religious Liberty in America 490-499 (1902).
Appellants have also alleged that the Elementary and Secondary Education Act of 1965 violates the Free Exercise Clause of the First Amendment. This Court has recognized that the taxing power can be used to infringe the free exercise of religion. Murdock v. Pennsylvania, 319 U. S. 105 (1943). Since we hold that appellants’ Establishment Clause claim is sufficient to establish the nexus between their status and the precise nature of the constitutional infringement alleged, we need not decide whether the Free Exercise claim, standing alone, would be adequate to confer standing in this case. We do note, however, that the challenged tax in Murdock operated upon a particular class of taxpayers. When such exercises of the taxing power are challenged, the proper party emphasis in the federal standing doctrine would require that standing be limited to the taxpayers within the affected class.
In fact, it is impossible to make any such judgment in the present posture of this case. The proceedings in the court below thus far have been devoted solely to the threshold question of standing, and nothing in the record bears upon the merits of the substantive questions presented in the complaint.
Dissenting Opinion
dissenting.
The problems presented by this case are narrow and relatively abstract, but the principles by which they must be resolved involve nothing less than the proper functioning of the federal courts, and so run to the roots of our constitutional system. The nub of my view is that the end result of Frothingham v. Mellon, 262 U. S. 447, was correct, even though, like others,
I.
It is desirable first to restate the basic issues in this case. The question here is not, as it was not in Froth-ingham, whether “a federal taxpayer is without standing to challenge the constitutionality of a federal statute.” Ante, at 85. It could hardly be disputed that federal taxpayers may, as taxpayers, contest the constitutionality of tax obligations imposed severally upon them by federal statute. Such a challenge may be made by way of defense to an action by the United States to recover the amount of a challenged tax debt, see, e. g., Hylton v. United States, 3 Dall. 171; McCray v. United States, 195 U. S. 27; United States v. Butler, 297 U. S. 1; or to a prosecution for willful failure to pay or to report the tax. See, e. g., Marchetti v. United States, 390 U. S. 39. Moreover, such a challenge may provide the basis of an action by a taxpayer to obtain the refund of a previous tax payment. See, e. g., Bailey v. Drexel Furniture Co., 259 U. S. 20.
The lawsuits here and in Frothingham are fundamentally different. They present the question whether federal taxpayers qua taxpayers may, in suits in which they do not contest the validity of their previous or existing tax obligations, challenge the constitutionality of the uses for which Congress has authorized the expenditure of public funds. These differences in the purposes of the cases are reflected in differences in the litigants’ interests. An action brought to contest the validity of tax liabilities assessed to the plaintiff is designed to vindicate interests that are personal and proprietary. The wrongs alleged and the relief sought by such a plaintiff are unmistakably private; only secondarily are his interests representative of those of the general population. I take
The complaint in this case, unlike that in Frothingham, contains no allegation that the contested expenditures will in any fashion affect the amount of these taxpayers’ own existing or foreseeable tax obligations. Even in cases in which such an allegation is made, the suit cannot result in an adjudication either of the plaintiff’s tax liabilities or of the propriety of any particular level of taxation. The relief available to such a plaintiff consists entirely of the vindication of rights held in common by all citizens. It is thus scarcely surprising that few of the state courts that permit such suits require proof either that the challenged expenditure is consequential in amount or that it is likely to affect significantly the plaintiff’s own tax bill; these courts have at least impliedly recognized that such allegations are surplusage, useful only to preserve the form of an obvious fiction.
Nor are taxpayers’ interests in the expenditure of public funds differentiated from those of the general public by any special rights retained by them in their tax payments. The simple fact is that no such rights can sensibly be said to exist. Taxes are ordinarily levied by the United States without limitations of purpose; absent such a limitation, payments received by the Treasury in satisfaction of tax obligations lawfully created become part of the Government’s general funds. The national legislature is required by the Constitution to
Surely it is plain that the rights and interests of taxpayers who contest the constitutionality of public expenditures are markedly different from those of “Hohfel-dian” plaintiffs,
It does not, however, follow that suits brought by non-Hohfeldian plaintiffs are excluded by the “case or controversy” clause of Article III of the Constitution from the jurisdiction of the federal courts. This and other federal courts have repeatedly held that individual litigants, acting as private attorneys-general, may have standing as “representatives of the public interest.” Scripps-Howard Radio v. Comm’n, 316 U. S. 4, 14. See also Commission v. Sanders Radio Station, 309 U. S. 470, 477; Associated Industries v. Ickes, 134 F. 2d 694; Reade v. Ewing, 205 F. 2d 630; Scenic Hudson Preservation Conf. v. FPC, 354 F. 2d 608; Office of Communication of United Church of Christ v. FCC, 123 U. S. App. D. C. 328, 359 F. 2d 994. Compare Oklahoma v. Civil Service Comm’n, 330 U. S. 127, 137-139. And see, on actions qui tam, Marvin v. Trout, 199 U. S. 212, 225; United States ex rel. Marcus v. Hess, 317 U. S. 537, 546. The various lines of authority are by no means free of difficulty, and certain of the cases may be explicable as involving a personal, if remote, economic interest, but I think that it is, nonetheless, clear that non-Hohfeldian plaintiffs as such are not constitutionally excluded from the federal courts. The problem ultimately presented by this case is, in my view, therefore to determine in what circumstances, consonant with the character and proper functioning of the federal courts, such suits should be permitted.
As I understand it, the Court’s position is that it is unnecessary to decide in what circumstances public actions should be permitted, for it is possible to identify situations in which taxpayers who contest the constitutionality of federal expenditures assert “personal” rights and interests, identical in principle to those asserted by Hohfeldian plaintiffs. This position, if supportable, would of course avoid many of the difficulties of this case; indeed, if the Court is correct, its extended exploration of the subtleties of Article III is entirely unnecessary. But, for reasons that follow, I believe that the Court’s position is untenable.
The Court’s analysis consists principally of the observation that the requirements of standing are met if a taxpayer has the “requisite personal stake in the outcome” of his suit. Ante, at 101. This does not, of course, resolve the standing problem; it merely restates it. The Court implements this standard with the declaration that taxpayers will be “deemed” to have the necessary personal interest if their suits satisfy two criteria: first, the challenged expenditure must form part of a federal spending program, and not merely be “incidental” to a regulatory program; and second, the constitutional provision under which the plaintiff claims must be a “specific limitation” upon Congress’ spending powers. The difficulties with these criteria are many and severe, but it is enough for the moment to emphasize that they are not in any sense a measurement of any plaintiff’s interest in the outcome of any suit. As even a cursory examination of
It is surely clear that a plaintiff’s interest in the outcome of a suit in which he challenges the constitutionality of a federal expenditure is not made greater or smaller by the unconnected fact that the expenditure is, or is not, “incidental” to an “essentially regulatory” program.
Presumably the Court does not believe that regulatory programs are necessarily less destructive of First Amendment fights, or that regulatory programs are necessarily less prodigal of public funds than are grants-in-aid, for both these general propositions are demonstrably false. The Court’s disregard of regulatory expenditures is not even a logical consequence of its apparent assumption that taxpayer-plaintiffs assert essentially monetary interests, for it surely cannot matter to a taxpayer qua taxpayer whether an unconstitutional expenditure is used to hire the services of regulatory personnel or is distributed among private and local governmental agencies as grants-in-aid. His interest as taxpayer arises, if at all, from the fact of an unlawful expenditure, and not as a consequence of the expenditure’s form. Apparently the Court has repudiated the emphasis in Frothingham upon the amount of the plaintiff’s tax bill, only to substitute an equally irrelevant emphasis upon the form of the challenged expenditure.
The Court’s second criterion is similarly unrelated to its standard for the determination of standing. The intensity of a plaintiff’s interest in a suit is not measured, even obliquely, by the fact that the constitutional provision under which he claims is, or is not, a “specific limitation” upon Congress’ spending powers. Thus, among the claims in Frothingham was the assertion that the Maternity Act, 42 Stat. 224, deprived the petitioner of property without due process of law. The Court has evidently concluded that this claim did not confer standing because the Due Process Clause of the Fifth Amendment is not a specific limitation upon the spending
The absence of any connection between the Court’s standard for the determination of standing and its criteria for the satisfaction of that standard is not merely a logical ellipsis. Instead, it follows quite relentlessly from the fact that, despite the Court’s apparent belief, the plaintiffs in this and similar suits are non-Hohfeldian, and it is very nearly impossible to measure sensibly any differences in the intensity of their personal interests in their suits. The Court has thus been compelled simply to postulate situations in which such taxpayer-plaintiffs will be “deemed” to have the requisite “personal stake and interest.” Ante, at 101. The logical inadequacies of the Court’s criteria are thus a reflection of the deficiencies of its entire position. These deficiencies will, however, appear more plainly from an examination of the Court’s treatment of the Establishment Clause.
The difficulties with this position are several. First, we have recently been reminded that the historical purposes of the religious clauses of the First Amendment are significantly more obscure and complex than this Court has heretofore acknowledged.
Even if it is assumed that such distinctions may properly be drawn, it does not follow that federal taxpayers hold any “personal constitutional right” such that they may each contest the validity under the Establishment Clause of all federal expenditures. The difficulty, with which the Court never comes to grips, is that taxpayers’ suits under the Establishment Clause are not in these circumstances meaningfully different from other public actions. If this case involved a tax specifically designed for the support of religion, as was the Virginia tax opposed by Madison in his Memorial and Remonstrance,
III.
It seems to me clear that public actions, whatever the constitutional provisions on which they are premised, may involve important hazards for the continued effectiveness of the federal judiciary. Although I believe such actions to be within the jurisdiction conferred upon the federal courts by Article III of the Constitution, there surely can be little doubt that they strain the judicial function and press to the limit judicial authority. There is every reason to fear that unrestricted public actions might well alter the allocation of authority among the three branches of the Federal Government. It is not, I submit, enough to say that the present members of the Court would not seize these opportunities for abuse, for such actions would, even without conscious abuse, go far toward the final transformation of this Court into the Council of Revision which, despite Madison’s support, was rejected by the Constitutional Convention.
Presumably the Court recognizes at least certain of these hazards, else it would not have troubled to impose limitations upon the situations in which, and purposes for which, such suits may be brought. Nonetheless, the limitations adopted by the Court are, as I have endeavored to indicate, wholly untenable. This is the more unfortunate because there is available a resolution of this problem that entirely satisfies the demands of the principle of separation of powers. This Court has previously held that individual litigants have standing to represent the public interest, despite their lack of economic or other personal interests, if Congress has appropriately authorized such suits. See especially Oklahoma v. Civil Service Comm’n, 330 U. S. 127, 137-139. Compare Perkins v. Lukem Steel Co., 310 U. S. 113, 125-127. I would adhere to that principle.
Such a rule could readily be applied to this case. Although various efforts have been made in Congress to authorize public actions to contest the validity of federal expenditures in aid of religiously affiliated schools and other institutions, no such authorization has yet been given.
This- does not mean that we would, under such a rule, be enabled to avoid our constitutional responsibilities, or that we would confine to limbo the First Amendment or any other constitutional command. The question here is not, despite the Court’s unarticulated premise, whether the religious clauses of the First Amendment are hereafter to be enforced by the federal courts; the issue is simply whether plaintiffs of an additional category, heretofore excluded from those courts, are to be permitted to maintain suits. The recent history of this Court is replete with illustrations, including even one announced today (supra, at n. 12), that questions involving the religious clauses will not, if federal taxpayers are prevented from contesting federal expenditures, be left “unacknowledged, unresolved, and undecided.”
Accordingly, for the reasons contained in this opinion, I would affirm the judgment, of the District Court.
See, e. g., Davis, Standing to Challenge Governmental Action, 39 Minn. L. Rev. 353; L. Jaffe, Judicial Control of Administrative Action 483-495 (1965).
In particular, I agree, essentially for the reasons stated by the Court, that we do not lack jurisdiction under 28 U. S. C. § 1253 to consider the judgment of the three-judge District Court.
I put aside, for the moment, the suggestion that a taxpayer’s rights under the Establishment Clause are more “personal” than they are under any other constitutional provision.
See generally Comment, Taxpayers’ Suits: A Survey and Summary, 69 Yale L. J. 895, 905-906.
The phrase is Professor Jaffe’s, adopted, of course, from W. Hoh-feld, Fundamental Legal Conceptions (1923). I have heTe employed the phrases “Hohfeldian” and “non-Hohfeldian” plaintiffs to mark the distinction between the personal and proprietary interests of the traditional plaintiff, and the representative and public interests of the plaintiff in a public action. I am aware that we are confronted here by a spectrum of interests of varying intensities, but the distinction is sufficiently accurate, and convenient, to warrant its use at least for purposes of discussion.
Cf. Associated Industries v. Ickes, 134 F. 2d 694, 704; Reade v. Ewing, 205 F. 2d 630, 632.
L. Jaffe, Judicial Control of Administrative Action 483 (1965).
1 agree that implicit in this question is the belief that the federal courts may decline to accept for adjudication cases or questions that, although otherwise within the perimeter of their constitutional jurisdiction, are appropriately thought to be unsuitable at
I must note at the outset that I cannot determine with any certainty the Court’s intentions with regard to this first criterion. Its use of Doremus v. Board of Education, 342 U. S. 429, as an analogue perhaps suggests that it intends to exclude only those cases in which there are virtually no public expenditures. See, e. g., Howard v. City of Boulder, 132 Colo. 401, 290 P. 2d 237. On the other hand, the Court also emphasizes that the contested programs may not be “essentially regulatory” programs, and that the statute challenged here “involves a substantial expenditure of federal tax funds.” Ante, at 102, 103 (emphasis added). Presumably this means that the Court’s standing doctrine also excludes any program in which the expenditures are “insubstantial” or which cannot be characterized as a "spending” program.
I am aware that the attack upon the second program would presumably be premised, at least in large part, upon the Free Exercise Clause, and that the Court does not today hold that that clause is within its standing doctrine. I cannot, however, see any meaningful distinction for these purposes, even under the Court’s reasoning, between the two religious clauses.
It should be emphasized that the Court finds it unnecessary to examine the history of the Due Process Clause to determine whether it was intended as a “specific limitation” upon Congress’ spending and taxing powers. Nor does the Court pause to examine the purposes of the Tenth Amendment, another of the premises of the constitutional claims in Frothingham. But see Gibbons v. Ogden, 9 Wheat. 1, 199; Veazie Bank v. Fenno, 8 Wall. 533, 541; United States v. Butler, 297 U. S. 1. And compare Everson v. Board of Education, 330 U. S. 1, 6.
The Court does make one reference to the availability vel non of other plaintiffs. It indicates that where a federal statute is directed at a specified class, “the proper party emphasis in the federal standing doctrine would require that standing be limited to the taxpayers within the affected class.” Ante, at 104, n. 25. Assuming arguendo the existence of such a federal “best-plaintiff” rule, it is difficult to see why this rule would not altogether exclude taxpayers as plaintiffs under the Establishment Clause, since there plainly may be litigants under the Clause with the personal rights and interests of Hohfeldian plaintiffs. See, e. g., Board of Education v. Allen, decided today, post, p. 236.
See, in particular, M. Howe, The Garden and the Wilderness 1-31 (1965); C. Antieau, A. Downey & E. Roberts, Freedom from Federal Establishment (1964). Not all members of the Court have of course ignored the complexities of the clause’s history. See especially McCollum v. Board of Education, 333 U. S. 203, 238 (dissenting opinion of Reed, J.).
Antieau, Downey & Roberts, supra, at 142. See also Howe, supra, at 10-12.
See, in particular, Antieau, Downey & Roberts, supra, at 126-128, 144-146, 207-208. And see 1 Annals of Cong. 730-731. It has elsewhere been observed, I think properly, that “to treat [Madison’s Remonstrance] as authoritatively incorporated in the Hirst Amendment is to take grotesque liberties with the simple legislative process, and even more with the complex and diffuse process of ratification of an Amendment by three-fourths of the states.” Brown, Quis Custodiet Ipsos Custodes? — The School-Prayer Cases, 1963 Sup. Ct. Rev. 1, 8.
I will of course grant that claims under, for example, the Tenth Amendment may present “generalized grievances about the conduct of government or the allocation of power in the Federal System.” Ante, at 106. I will also grant that it would be well if
The bill was intended to establish “a provision for teachers of the Christian religion.” It and the Memorial and Remonstrance are reprinted in Everson v. Board of Education, supra, at 63-74.
1 have equal difficulty with the argument that the religious clauses of the First Amendment creaté a “personal constitutional right,” held by all citizens, such that any citizen may, under those clauses, contest the constitutionality of federal expenditures. The essence of the argument would presumably be that freedom from establishment is a right that inheres in every citizen, thus any citizen should be permitted to challenge any measure that conceivably involves establishment. Certain provisions of the Constitution, so the argument would run, create the basic structure of our society and of its government, and accordingly should be enforceable at the demand of every individual. Unlike the position taken today by the Court, such a doctrine of standing would at least be internally consistent, but it would also threaten the proper functioning both of the federal courts and of the principle of separation of powers. The Establishment Clause is, after all, only one of many provisions of the Constitution that might be characterized in this fashion. Certain of these provisions, e. g., the Ninth and Tenth Amendments, would _ provide the basis for cases that, absent a standing question, could not readily be excluded from the federal courts as involving political questions, or as otherwise unsuitable for adjudication under the principles formulated for these purposes by the Court. Compare United Public Workers v. Mitchell, 330 U. S. 75, 94-96; Griswold v. Connecticut, 381 U. S. 479. Indeed, it might even be urged that the Ninth and Tenth Amendments, since they are largely confirmatory of rights created elsewhere in the Constitution, were intended to declare the standing of individual citizens to contest the validity of governmental activities. It may, of course, also be argued that these amendments are merely “tub[s] for the whale,” 1 W. Crosskey, Politics and the Constitution 688 (1953); but lacking such an argument, any doctrine of standing premised upon the generality or relative importance of a constitutional command would, I think, very substantially increase the number of sitúa-
See 1 M. Farrand, The Records of the Federal Convention of 1787, at 21, 97-98, 108-110, 138-140 (1911); 2 Farrand, id., at 73-80.
The Federalist No. 80 (Hamilton).
My premise is, as I have suggested, that non-Hohfeldian plaintiffs as such are not excluded by Article III from the jurisdiction of the federal courts. The problem is therefore to determine in what situations their suits should be permitted, and not whether a “statute constitutionally could authorize a person who shows no ease or controversy to call on the courts ...” Scripps-Howard Radio v. Comm’n, 316 U. S. 4, 21 (dissenting opinion). I do not, of course, suggest that Congress’ power to authorize suits by
1 am aware that there is a second category of cases in which the Court has entertained claims by non-Hohfeldian plaintiffs: suits brought by state or local taxpayers in state courts to vindicate federal constitutional claims. A certain anomaly may be thought to have resulted from the Court’s consideration of such cases while it has refused similar suits brought by federal taxpayers in the federal courts. This anomaly, if such it is, will presumably continue even under the standing doctrine announced today, since we are not told that the standing rules will hereafter be identical for the two classes of taxpayers. Although these questions are not now before the Court, I think it appropriate to note that one possible solution would be to hold that standing to raise federal questions is itself a federal question. See Freund, in E. Cahn, Supreme Court and Supreme Law 35 (1954). This would demand partial reconsideration of, for example, Doremus v. Board of Education, 342 U. S. 429. Cf. United States v. Raines, 362 U. S. 17, 23, n. 3; Cramp v. Board of Public Instruction, 368 U. S. 278, 282; Baker v. Carr, 369 U. S. 186, 204.
This- question was, however, extensively discussed in the course of the debates upon the Elementary and Secondary Education Act of 1965, 79 Stat. 27. See, e. g., Ill Cong. Ree. 5973, 6132, 7316-7318.
Concurring Opinion
concurring.
I join the judgment and opinion of the Court, which I understand to hold only that a federal taxpayer has standing to assert that a specific expenditure of federal funds violates the Establishment Clause of the First Amendment. Because that clause plainly prohibits taxing and spending in aid of religion, every taxpayer can claim a personal constitutional right not to be taxed for the support of a religious institution. The present case is thus readily distinguishable from Frothingham v. Mellon, 262 U. S. 447, where the taxpayer did not rely on an explicit constitutional prohibition but instead questioned the scope of the powers delegated to the national legislature by Article I of the Constitution.
As the Court notes, “one of the specific evils feared by those who drafted the Establishment Clause and fought for its adoption was that the taxing and spending power would be used to favor one religion over another or to support religion in general.” Ante, at 103. Today’s decision no more than recognizes that the appellants have a clear stake as taxpayers in assuring that they not be compelled to contribute even “three pence ... of [their] property for the support of any one establishment.” Ihid. In concluding that the appellants therefore have standing to sue, we do not undermine the salutary principle, established by Frothingham and reaffirmed today, that a taxpayer may not “employ a federal court as a forum in which to air his generalized grievances about the conduct of government or the allocation of power in the Federal System.” Ante, at 106.
Concurring Opinion
concurring.
I would confine the ruling in this case to the proposition that a taxpayer may maintain a suit to challenge the validity of a federal expenditure on the ground that the expenditure violates the Establishment Clause. As the Court’s opinion recites, there is enough in the constitutional history of the Establishment Clause to support the thesis that this Clause includes a specific prohibition upon the use of the power to tax to support an establishment of religion.
I agree that Frothingham does not foreclose today’s result. I agree that the congressional powers to tax and spend are limited by the prohibition upon Congress to enact laws “respecting an establishment of religion.” This thesis, slender as its basis is, provides a direct “nexus,” as the Court puts it, between the use and collection of taxes and the congressional action here. Because of this unique “nexus,” in my judgment, it is not far-fetched to recognize that a taxpayer has a special claim to status as a litigant in a case raising the “establishment” issue. This special claim is enough, I think, to permit us to allow the suit, coupled, as it is, with the interest which the taxpayer and all other citizens have in the church-state issue. In terms of the structure and basic philosophy of our constitutional government, it would be difficult to point to any issue that has a more intimate, pervasive, and fundamental impact upon the life of the taxpayer — and upon the life of all citizens.
Perhaps the vital interest of a citizen in the establishment issue, without reference to his taxpayer’s status,
On the other hand, the urgent necessities of this case and the precarious opening through which we find our way to confront it, do not demand that we open the door to a general assault upon exercises of the spending power. The status of taxpayer should not be accepted as a launching pad for an attack upon any target other than legislation affecting the Establishment Clause. See concurring opinion of Stewart, J., ante, p. 114.
See ante, at 104, n. 24.
Reference
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