LEGAL
SERVICES CORPORATION v. VELAZQUEZ, 531 U.S. 533 (2001)
JUDGES: KENNEDY, J., delivered the opinion of the
Court, in which STEVENS, SOUTER, GINSBURG, and BREYER, JJ., joined. SCALIA, J., filed a dissenting
opinion in which REHNQUIST, C. J., and O'CONNOR and THOMAS, JJ., joined.
JUSTICE KENNEDY delivered the opinion of the Court.
In 1974, Congress enacted the Legal Services
Corporation Act, 88 Stat. 378, 42 U.S.C. § 2996 et seq. The Act establishes the
Legal Services Corporation (LSC) as a District of Columbia nonprofit
corporation. LSC's mission is to distribute funds appropriated by Congress to
eligible local grantee organizations "for the purpose of providing
financial support for legal assistance in noncriminal proceedings or matters to
persons financially unable to afford legal assistance." §2996b(a).
LSC grantees consist of hundreds of local
organizations governed, in the typical case, by local boards of directors. In
many instances the grantees are funded by a combination of LSC funds and other
public or private sources. The grantee organizations hire and supervise lawyers
to provide free legal assistance to indigent clients. Each year LSC
appropriates funds to grantees or recipients that hire and supervise lawyers
for various professional activities, including representation of indigent
clients seeking welfare benefits.
This suit requires us to decide whether one of the
conditions imposed by Congress on the use of LSC funds violates the First
Amendment rights of LSC grantees and their clients. For purposes of our
decision, the restriction, to be quoted in further detail, prohibits legal
representation funded by recipients of LSC moneys if the representation
involves an effort to amend or otherwise challenge existing welfare law. As
interpreted by the LSC and by the Government, the restriction prevents an
attorney from arguing to a court that a state statute conflicts with a federal
statute or that either a state or federal statute by its terms or in its
application is violative of the United States Constitution.
Lawyers employed by New York City LSC grantees,
together with private LSC contributors, LSC indigent clients, and various state
and local public officials whose governments contribute to LSC grantees,
brought suit in the United States District Court for the Southern District of
New York to declare the restriction, among other provisions of the Act,
invalid. The United States Court of Appeals for the Second Circuit approved an
injunction against enforcement of the
provision as an impermissible viewpoint‑based discrimination in violation
of the First Amendment, 164 F.3d 757 (1999). We granted certiorari, and the
parties who commenced the suit in the District Court are here as respondents.
The LSC as petitioner is joined by the Government of the United States, which
had intervened in the District Court. We agree that the restriction violates
the First Amendment, and we affirm the judgment of the Court of Appeals.
I
From the inception of the LSC, Congress has placed
restrictions on its use of funds. For instance, the LSC Act prohibits
recipients from making available LSC funds, program personnel, or equipment to
any political party, to any political campaign, or for use in "advocating
or opposing any ballot measures." 42 U.S.C. § 2996e(d)(4). See §
2996e(d)(3). The Act further proscribes use of funds in most criminal
proceedings and in litigation involving nontherapeutic abortions, secondary
school desegregation, military desertion, or violations of the Selective
Service statute. §§ 2996f(b)(8)‑(10)
(1994 ed. and Supp. III). Fund recipients are barred from bringing class‑action
suits unless express approval is
obtained from LSC. § 2996e(d)(5).
The restrictions at issue were part of a compromise
set of restrictions enacted in the Omnibus Consolidated Rescissions and
Appropriations Act of 1996 (1996 Act), § 504, 110 Stat. 1321‑53, and
continued in each subsequent annual appropriations Act. The relevant portion of
§ 504(a)(16) prohibits funding of any organization
"that initiates legal representation or
participates in any other way, in litigation, lobbying, or rulemaking,
involving an effort to reform a Federal or State welfare system, except that
this paragraph shall not be construed to preclude a recipient from representing
an individual eligible client who is seeking specific relief from a welfare
agency if such relief does not involve an effort to amend or otherwise
challenge existing law in effect on the date of the initiation of the
representation."
The prohibitions apply to all of the activities of an
LSC grantee, including those paid for by non‑LSC funds. §§ 504(d)(1) and
(2). We are concerned with the statutory provision which excludes LSC
representation in cases which "involve an effort to amend or otherwise
challenge existing law in effect on the date of the initiation of the
representation."
In 1997, LSC adopted final regulations clarifying §
504(a)(16). 45 CFR pt. 1639 (1999). LSC interpreted the statutory provision to
allow indigent clients to challenge welfare agency determinations of benefit
ineligibility under interpretations of existing law. For example, an LSC
grantee could represent a welfare claimant who argued that an agency made an
erroneous factual determination or that an agency misread or misapplied a term
contained in an existing welfare statute. According to LSC, a grantee in that
position could argue as well that an agency policy violated existing law. §
1639.4. Under LSC's interpretation, however, grantees could not accept
representations designed to change welfare laws, much less argue against the
constitutionality or statutory validity of those laws. Brief for Petitioner in
No. 99‑603, p. 7. Even in cases where constitutional or statutory
challenges became apparent after representation was well under way, LSC advised
that its attorneys must withdraw. Ibid.
After the instant suit was filed in the District Court
alleging the restrictions on the use of LSC funds violated the First Amendment,
see 985 F. Supp. 323 (1997), the court
denied a preliminary injunction, finding no probability of success on the
merits. Id. at 344.
On appeal, the Court of Appeals for the Second Circuit
affirmed in part and reversed in part. 164 F.3d 757 (1999). As relevant for our
purposes, the court addressed respondents' challenges to the restrictions in §
504(a)(16). It concluded the section specified four categories of prohibited
activities, of which "three appeared to prohibit the type of activity
named regardless of viewpoint, while one might be read to prohibit the activity
only when it seeks reform." Id. at 768. The court upheld the restrictions
on litigation, lobbying, and rulemaking "involving an effort to reform a
Federal or State welfare system," since all three prohibited grantees'
involvement in these activities regardless of the side of the issue. Id. at 768‑769.
The court next considered the exception to §
504(a)(16) that allows representation of "'an individual eligible client
who is seeking specific relief from a welfare agency.'" The court
invalidated, as impermissible viewpoint discrimination, the qualification that
representation could "not involve
an effort to amend or otherwise challenge existing law," because it
"clearly seeks to discourage challenges to the status quo." Id. at
769‑770.
Left to decide what part of the 1996 Act to strike as
invalid, the court concluded that
congressional intent regarding severability was unclear. It decided to
"invalidate the smallest possible portion of the statute, excising only
the viewpoint‑based proviso rather than the entire exception of which it
is a part." Id. at 773.
Dissenting in part, Judge Jacobs agreed with the
majority except for its holding that the proviso banning challenges to existing
welfare laws effected impermissible viewpoint‑based discrimination. The provision,
in his view, was permissible because it merely defined the scope of services to
be funded. Id. at 773‑778 (opinion concurring in part and dissenting in
part).
LSC filed a petition for certiorari challenging the
Court of Appeals' conclusion that the § 504(a)(16) suits‑for‑benefits
proviso was unconstitutional. We granted certiorari, 529 U.S. 1052 (2000).
II
The United States and LSC rely on Rust v. Sullivan,
500 U.S. 173, 114 L. Ed. 2d 233, 111 S. Ct. 1759 (1991), as support for the LSC program restrictions.
In Rust, Congress established program clinics to provide subsidies for doctors
to advise patients on a variety of family planning topics. Congress did not
consider abortion to be within its family planning objectives, however, and it
forbade doctors employed by the program from discussing abortion with their
patients. Id. at 179‑180. Recipients of funds under Title X of the Public
Health Service Act, §§ 1002, 1008, as added, 84 Stat. 1506, 42 U.S.C. §§ 1508,
300a, 300a‑6, challenged the Act's restriction that provided that none of
the Title X funds appropriated for family planning services could "be used
in programs where abortion is a method of family planning." § 300a‑6.
The recipients argued that the regulations constituted impermissible viewpoint
discrimination favoring an antiabortion position over a proabortion approach in
the sphere of family planning. 500 U.S. at 192. They asserted as well that
Congress had imposed an unconstitutional condition on recipients of federal
funds by requiring them to relinquish their right to engage in abortion
advocacy and counseling in exchange for the subsidy. Id. at 196.
We upheld the law, reasoning that Congress had not
discriminated against viewpoints on abortion, but had "merely chosen to
fund one activity to the exclusion of the other." Id. at 193. The
restrictions were considered necessary "to ensure that the limits of the
federal program [were] observed." Ibid. Title X did not single out a
particular idea for suppression because it was dangerous or disfavored; rather,
Congress prohibited Title X doctors from counseling that was outside the scope
of the project. Id. at 194‑195.
The Court in Rust did not place explicit reliance on
the rationale that the counseling activities of the doctors under Title X
amounted to governmental speech; when interpreting the holding in later cases,
however, we have explained Rust on this understanding. We have said that
viewpoint‑based funding decisions can be sustained in instances in which
the government is itself the speaker, see Board of Regents of Univ. of Wis.
System v. Southworth, 529 U.S. 217, 229, 235, 146 L. Ed. 2d 193, 120 S. Ct.
1346 (2000), or instances, like Rust, in which the government "used
private speakers to transmit
information pertaining to its own program." Rosenberger v. Rector &
Visitors of Univ. of Va., 515 U.S. 819, 833, 132 L. Ed. 2d 700, 115 S. Ct. 2510
(1995). As we said in Rosenberger, "when the government disburses public
funds to private entities to convey a governmental message, it may take
legitimate and appropriate steps to ensure that its message is neither garbled
nor distorted by the grantee." Ibid. The latitude which may exist for
restrictions on speech where the government's own message is being delivered
flows in part from our observation that, "when the government speaks, for
instance to promote its own policies or to advance a particular idea, it is, in
the end, accountable to the electorate and the political process for its
advocacy. If the citizenry objects, newly elected officials later could espouse
some different or contrary position." Board of Regents of Univ. of Wis.
System v. Southworth, supra, at 235.
Neither the latitude for government speech nor its
rationale applies to subsidies for private speech in every instance, however.
As we have pointed out, "it does not follow . . . that viewpoint‑based
restrictions are proper when the [government] does not itself speak or
subsidize transmittal of a message it favors but instead expends funds to
encourage a diversity of views from private speakers." Rosenberger, supra,
at 834.
Although the LSC program differs from the program at
issue in Rosenberger in that its purpose is not to "encourage a diversity
of views," the salient point is that, like the program in Rosenberger, the
LSC program was designed to facilitate private speech, not to promote a
governmental message. Congress funded LSC grantees to provide attorneys to
represent the interests of indigent clients. In the specific context of §
504(a)(16) suits for benefits, an LSC‑funded attorney speaks on the
behalf of the client in a claim against the government for welfare benefits.
The lawyer is not the government's speaker. The attorney defending the decision
to deny benefits will deliver the government's message in the litigation. The
LSC lawyer, however, speaks on the behalf of his or her private, indigent
client. Cf. Polk County v. Dodson, 454 U.S. 312, 321‑322, 70 L. Ed. 2d
509, 102 S. Ct. 445 (1981) (holding that a public defender does not act
"under color of state law" because he "works under canons
of professional responsibility that
mandate his exercise of independent judgment on behalf of the client" and
because there is an "assumption that counsel will be free of state
control").
The Government has designed this program to use the
legal profession and the established Judiciary of the States and the Federal
Government to accomplish its end of assisting welfare claimants in
determination or receipt of their benefits. The advice from the attorney to the
client and the advocacy by the attorney to the courts cannot be classified as
governmental speech even under a generous understanding of the concept. In this
vital respect this suit is distinguishable from Rust.
The private nature of the speech involved here, and the
extent of LSC's regulation of private expression, are indicated further by the
circumstance that the Government seeks to use an existing medium of expression
and to control it, in a class of cases, in ways which distort its usual
functioning. Where the government uses or attempts to regulate a particular
medium, we have been informed by its accepted usage in determining whether a
particular restriction on speech is necessary for the program's purposes and
limitations. In FCC v. League of Women Voters of Cal., 468 U.S. 364, 82 L. Ed.
2d 278, 104 S. Ct. 3106 (1984), the Court was instructed by its understanding
of the dynamics of the broadcast industry in holding that prohibitions against
editorializing by public radio networks were an impermissible restriction, even
though the Government enacted the restriction to control the use of public
funds. The First Amendment forbade the Government from using the forum in an
unconventional way to suppress speech inherent in the nature of the medium. See
id. at 396‑397. In Arkansas Ed. Television Comm'n v. Forbes, 523 U.S.
666, 676, 140 L. Ed. 2d 875, 118 S. Ct. 1633 (1998), the dynamics of the
broadcasting system gave station programmers the right to use editorial
judgment to exclude certain speech so that the broadcast message could be more
effective. And in Rosenberger, the fact that student newspapers expressed many
different points of view was an important foundation for the Court's decision
to invalidate viewpoint‑based restrictions. 515 U.S. at 836.
When the government creates a limited forum for
speech, certain restrictions may be necessary to define the limits and purposes
of the program. Perry Ed. Assn. v.
Perry Local Educators' Assn., 460 U.S. 37, 74 L. Ed. 2d 794, 103 S. Ct. 948
(1983); see also Lamb's Chapel v. Center Moriches Union Free School Dist., 508
U.S. 384, 124 L. Ed. 2d 352, 113 S. Ct. 2141 (1993). The same is true when the
government establishes a subsidy for specified ends. Rust v. Sullivan, 500 U.S.
173, 114 L. Ed. 2d 233, 111 S. Ct. 1759 (1991). As this suit involves a
subsidy, limited forum cases such as Perry, Lamb's Chapel and Rosenberger may
not be controlling in a strict sense, yet they do provide some instruction.
Here the program presumes that private, nongovernmental speech is necessary,
and a substantial restriction is placed upon that speech. At oral argument and
in its briefs the LSC advised us that lawyers funded in the Government program
may not undertake representation in suits for benefits if they must advise
clients respecting the questionable validity of a statute which defines benefit
eligibility and the payment structure. The limitation forecloses advice or
legal assistance to question the validity of statutes under the Constitution of
the United States. It extends further, it must be noted, so that state statutes
inconsistent with federal law under the Supremacy Clause may be neither challenged nor questioned.
By providing subsidies to LSC, the Government seeks to
facilitate suits for benefits by using the State and Federal courts and the
independent bar on which those courts depend for the proper performance of
their duties and responsibilities. Restricting LSC attorneys in advising their
clients and in presenting arguments and analyses to the courts distorts the
legal system by altering the traditional role of the attorneys in much the same
way broadcast systems or student publication networks were changed in the
limited forum cases we have cited. Just as government in those cases could not
elect to use a broadcasting network or a college publication structure in a
regime which prohibits speech necessary to the proper functioning of those
systems, see Arkansas Ed. Television Comm'n, supra, and Rosenberger, supra, it
may not design a subsidy to effect this serious and fundamental restriction on
advocacy of attorneys and the functioning of the judiciary.
LSC has advised us, furthermore, that upon determining
a question of statutory validity is present in any anticipated or pending case
or controversy, the LSC‑funded
attorney must cease the representation at once. This is true whether the
validity issue becomes apparent during initial attorney‑client
consultations or in the midst of litigation proceedings. A disturbing example
of the restriction was discussed during oral argument before the Court. It is
well understood that when there are two reasonable constructions for a statute,
yet one raises a constitutional question, the Court should prefer the
interpretation which avoids the constitutional issue. Gomez v. United States, 490
U.S. 858, 864, 104 L. Ed. 2d 923, 109 S. Ct. 2237 (1989); Ashwander v. TVA, 297
U.S. 288, 346‑348, 80 L. Ed. 688, 56 S. Ct. 466 (1936) (Brandeis, J.,
concurring). Yet, as the LSC advised the Court, if, during litigation, a judge
were to ask an LSC attorney whether there was a constitutional concern, the LSC
attorney simply could not answer. Tr. of Oral Arg. 8‑9.
Interpretation of the law and the Constitution is the
primary mission of the judiciary when it acts within the sphere of its
authority to resolve a case or controversy. Marbury v. Madison, 5 U.S. 137, 1
Cranch 137, 177, 2 L. Ed. 60 (1803) ("It is emphatically the province and
the duty of the judicial department to
say what the law is"). An
informed, independent judiciary presumes an informed, independent bar.
Under § 504(a)(16), however, cases
would be presented by LSC attorneys who could not advise the courts of serious
questions of statutory validity. The disability is inconsistent with the
proposition that attorneys should present all the reasonable and well‑grounded
arguments necessary for proper resolution of the case. By seeking to prohibit
the analysis of certain legal issues and to truncate presentation to the
courts, the enactment under review prohibits speech and expression upon which
courts must depend for the proper exercise of the judicial power. Congress
cannot wrest the law from the Constitution which is its source. "Those
then who controvert the principle that the constitution is to be considered, in
court, as a paramount law, are reduced to the necessity of maintaining that
courts must close their eyes on the constitution, and see only the law."
Id. at 178.
The restriction imposed by the statute here threatens
severe impairment of the judicial function. Section 504(a)(16) sifts out cases
presenting constitutional challenges in order to insulate the Government's laws
from judicial inquiry. If the
restriction on speech and legal advice were to stand, the result would be two
tiers of cases. In cases where LSC counsel were attorneys of record, there
would be lingering doubt whether the truncated representation had resulted in
complete analysis of the case, full advice to the client, and proper
presentation to the court. The courts and the public would come to question the
adequacy and fairness of professional representations when the attorney, either
consciously to comply with this statute or unconsciously to continue the
representation despite the statute, avoided all reference to questions of
statutory validity and constitutional authority. A scheme so inconsistent with
accepted separation‑of‑powers principles is an insufficient basis
to sustain or uphold the restriction on speech.
It is no answer to say the restriction on speech is
harmless because, under LSC's interpretation of the Act, its attorneys can
withdraw. This misses the point. The statute is an attempt to draw lines around
the LSC program to exclude from litigation those arguments and theories
Congress finds unacceptable but which by their nature are within the province
of the courts to consider.
The restriction on speech is even more problematic
because in cases where the attorney withdraws from a representation, the client
is unlikely to find other counsel. The explicit premise for providing LSC
attorneys is the necessity to make available representation "to persons
financially unable to afford legal assistance." 42 U.S.C. § 2996(a)(3).
There often will be no alternative source for the client to receive vital
information respecting constitutional and statutory rights bearing upon claimed
benefits. Thus, with respect to the litigation services Congress has funded,
there is no alternative channel for expression of the advocacy Congress seeks
to restrict. This is in stark contrast to Rust. There, a patient could receive the
approved Title X family planning counseling funded by the Government and later
could consult an affiliate or independent organization to receive abortion
counseling. Unlike indigent clients who
seek LSC representation, the patient in Rust was not required to forfeit the
Government‑funded advice when she also received abortion counseling
through alternative channels. Because LSC attorneys must withdraw whenever a
question of a welfare statute's validity arises, an individual could not obtain
joint representation so that the constitutional challenge would be presented by
a non‑LSC attorney, and other, permitted, arguments advanced by LSC
counsel.
Finally, LSC and the Government maintain that §
504(a)(16) is necessary to define the scope and contours of the federal
program, a condition that ensures funds can be spent for those cases most
immediate to congressional concern. In support of this contention, they suggest
the challenged limitation takes into
account the nature of the grantees' activities and provides limited
congressional funds for the provision of simple suits for benefits. In
petitioners' view, the restriction operates neither to maintain the current
welfare system nor insulate it from attack; rather, it helps the current
welfare system function in a more efficient and fair manner by removing from
the program complex challenges to existing welfare laws.
The effect of the restriction, however, is to prohibit
advice or argumentation that existing welfare laws are unconstitutional or
unlawful. Congress cannot recast a condition on funding as a mere definition of
its program in every case, lest the
First Amendment be reduced to a simple semantic exercise. Here, notwithstanding
Congress' purpose to confine and limit its program, the restriction operates to
insulate current welfare laws from constitutional scrutiny and certain other
legal challenges, a condition implicating central First Amendment concerns. In
no lawsuit funded by the Government can the LSC attorney, speaking on behalf of
a private client, challenge existing welfare laws. As a result, arguments by
indigent clients that a welfare statute is unlawful or unconstitutional cannot
be expressed in this Government‑funded program for petitioning the
courts, even though the program was created for litigation involving welfare
benefits, and even though the ordinary course of litigation involves the
expression of theories and postulates on both, or multiple, sides of an issue.
It is fundamental that the First Amendment "was
fashioned to assure unfettered interchange of ideas for the bringing about of
political and social changes desired by the people." New York Times Co. v.
Sullivan, 376 U.S. 254, 269, 11 L. Ed. 2d 686, 84 S. Ct. 710 (1964) (quoting
Roth v. United States, 354 U.S. 476, 484, 1 L. Ed. 2d 1498, 77 S. Ct. 1304
(1957)). There can be little doubt that
the LSC Act funds constitutionally protected expression; and in the context of
this statute there is no programmatic message of the kind recognized in Rust
and which sufficed there to allow the Government to specify the advice deemed
necessary for its legitimate objectives. This serves to distinguish §
504(a)(16) from any of the Title X program restrictions upheld in Rust, and to
place it beyond any congressional funding condition approved in the past by
this Court.
Congress was not required to fund an LSC attorney to
represent indigent clients; and when it did so, it was not required to fund the
whole range of legal representations or relationships. The LSC and the United States, however, in effect ask us to
permit Congress to define the scope of the litigation it funds to exclude
certain vital theories and ideas. The attempted restriction is designed to
insulate the Government's interpretation of the Constitution from judicial
challenge. The Constitution does not permit the Government to confine litigants
and their attorneys in this manner. We must be vigilant when Congress imposes
rules and conditions which in effect insulate its own laws from legitimate judicial challenge. Where
private speech is involved, even Congress' antecedent funding decision cannot
be aimed at the suppression of ideas thought inimical to the Government's own
interest. Regan v. Taxation With Representation of Wash., 461 U.S. 540, 548, 76
L. Ed. 2d 129, 103 S. Ct. 1997 (1983); Speiser v. Randall, 357 U.S. 513, 519, 2
L. Ed. 2d 1460, 78 S. Ct. 1332 (1958).
For the reasons we have set forth, the funding
condition is invalid. The Court of Appeals considered whether the language
restricting LSC attorneys could be severed from the statute so that the
remaining portions would remain operative. It reached the reasoned conclusion
to invalidate the fragment of § 504(a)(16) found contrary to the First
Amendment, leaving the balance of the statute operative and in place. That
determination was not discussed in the briefs of either party or otherwise
contested here, and in the exercise of
our discretion and prudential judgment we decline to address it.
The judgment of the Court of Appeals is
Affirmed.
JUSTICE SCALIA, with whom THE CHIEF JUSTICE, JUSTICE
O'CONNOR, and JUSTICE THOMAS join, dissenting.
Section 504(a)(16) of the Omnibus Consolidated
Rescissions and Appropriations Act of
1996 (Appropriations Act) defines the scope of a federal spending program. It
does not directly regulate speech, and it neither establishes a public forum
nor discriminates on the basis of viewpoint. The Court agrees with all this,
yet applies a novel and unsupportable interpretation of our public‑forum
precedents to declare § 504(a)(16) facially unconstitutional. This holding not
only has no foundation in our jurisprudence; it is flatly contradicted by a
recent decision that is on all fours with the present case. Having found the
limitation upon the spending program unconstitutional, the Court then declines
to consider the question of severability, allowing a judgment to stand that
lets the program go forward under a version of the statute Congress never
enacted. I respectfully dissent from both aspects of the judgment.
I
The Legal Services Corporation Act of 1974 (LSC Act),
42 U.S.C. § 2996 et seq., is a federal subsidy program, the stated purpose of
which is to "provide financial support for legal assistance in noncriminal
proceedings or matters to persons financially unable to afford legal
assistance." § 2996b(a). Congress, recognizing that the program could not
serve its purpose unless it was "kept free from the influence of or use by
it of political pressures," § 2996(5), has from the program's inception tightly regulated the
use of its funds. See ante, at 3. No Legal Services Corporation (LSC) funds may
be used, for example, for "encouraging . . . labor or antilabor
activities," § 2996f(b)(6), for "litigation relating to the
desegregation of any elementary or secondary school or school system," §
2996f(b)(9), or for "litigation which seeks to procure a nontherapeutic
abortion," § 2996f(b)(8). Congress discovered through experience, however,
that these restrictions did not exhaust the politically controversial uses to
which LSC funds could be put.
Accordingly, in 1996 Congress added new restrictions
to the LSC Act and strengthened existing restrictions. Among the new
restrictions is the one at issue here. Section 504(a)(16) of the Appropriations
Act, 110 Stat. 1321‑55 to 1321‑56, withholds LSC funds from every
entity that "participates in any . . . way . . . in litigation, lobbying,
or rulemaking . . . involving an effort to reform a Federal or State welfare
system." It thus bans LSC‑funded
entities from participating on either side of litigation involving such
statutes, from participating in rulemaking relating to the implementation of
such legislation, and from lobbying Congress itself regarding any proposed
changes to such legislation. See 45 CFR § 1639.3 (2000).
The restrictions relating to rulemaking and lobbying
are superfluous; they duplicate general prohibitions on the use of LSC funds
for those activities found elsewhere in the Appropriations Act. See §§
504(a)(2), (3), (4). The restriction on litigation, however, is unique, and it
contains a proviso specifying what the restriction does not cover. Funding
recipients may "represent an individual eligible client who is seeking
specific relief from a welfare agency if such relief does not involve an effort
to amend or otherwise challenge existing law in effect on the date of the
initiation of the representation." The LSC declares in its brief, and
respondents do not deny, that under these provisions the LSC can sponsor
neither challenges to nor defenses of existing welfare reform law, Brief for
Petitioner in No. 99‑603, p. 29. The litigation ban is symmetrical:
Litigants challenging the covered statutes or
regulations do not receive LSC funding,
and neither do litigants defending those laws against challenge.
If a suit for benefits raises a claim outside the
scope of the LSC program, the LSC‑funded lawyer may not participate in
the suit. As the Court explains, if LSC‑funded lawyers anticipate that a
forbidden claim will arise in a prospective client's suit, they "may not
undertake [the] representation," ante, at 9. Likewise, if a forbidden
claim arises unexpectedly at trial, "LSC‑funded attorneys must cease
the representation at once," ante, at 10. See also Brief for Petitioner in
No. 99‑603, at 7, n. 4 (if the issue arises at trial, "the lawyer
should discontinue the representation 'consistent with the applicable rules of
professional responsibility'"). The lawyers may, however, and indeed must
explain to the client why they cannot represent him. See 164 F.3d 757, 765 (CA2
1999). They are also free to express their views of the legality of the welfare
law to the client, and they may refer the client to another attorney who can
accept the representation, ibid. See
985 F. Supp. 323, 335‑336 (EDNY 1997).
II
The LSC Act is a federal subsidy program, not a federal regulatory program,
and "there is a basic difference between [the two]." Maher v. Roe,
432 U.S. 464, 475, 53 L. Ed. 2d 484, 97 S. Ct. 2376 (1977). Regulations directly
restrict speech; subsidies do not. Subsidies, it is true, may indirectly
abridge speech, but only if the funding scheme is "'manipulated' to have a
'coercive effect'" on those who do not hold the subsidized position.
National Endowment for Arts v. Finley, 524 U.S. 569, 587, 141 L. Ed. 2d 500,
118 S. Ct. 2168 (1998) (quoting Arkansas Writers' Project, Inc. v. Ragland, 481
U.S. 221, 237, 95 L. Ed. 2d 209, 107 S. Ct. 1722 (1987) (SCALIA, J.,
dissenting)). Proving unconstitutional coercion is difficult enough when the
spending program has universal coverage and excludes only certain speech ‑‑
such as a tax exemption scheme excluding lobbying expenses. The Court has found
such programs unconstitutional only when the exclusion was "aimed at the
suppression of dangerous ideas." Speiser v. Randall, 357 U.S. 513, 519, 2
L. Ed. 2d 1460, 78 S. Ct. 1332 (1958) (internal quotation marks omitted); see
also Regan v. Taxation With Representation of Wash., 461 U.S. 540, 550, 76 L.
Ed. 2d 129, 103 S. Ct. 1997 (1983). Proving the requisite coercion is harder
still when a spending program is not universal but limited, providing benefits
to a restricted number of recipients, see Rust v. Sullivan, 500 U.S. 173, 194‑195,
114 L. Ed. 2d 233, 111 S. Ct. 1759 (1991). The Court has found such selective
spending unconstitutionally coercive only once, when the government created a
public forum with the spending program but then discriminated in distributing
funding within the forum on the basis of viewpoint. See Rosenberger v. Rector
and Visitors of Univ. of Va., 515 U.S. 819, 829‑830, 132 L. Ed. 2d 700,
115 S. Ct. 2510 (1995). When the limited spending program does not create a
public forum, proving coercion is virtually impossible, because simply denying
a subsidy "does not 'coerce' belief," Lyng v. Automobile Workers, 485
U.S. 360, 369, 99 L. Ed. 2d 380, 108 S. Ct. 1184 (1988), and because the
criterion of unconstitutionality is whether denial of the subsidy threatens
"to drive certain ideas or viewpoints from the marketplace," National
Endowment for Arts v. Finley, supra, at 587 (internal quotation marks omitted).
Absent such a threat, "the Government may allocate . . . funding according
to criteria that would be impermissible were direct regulation of speech or a
criminal penalty at stake. " 524 U.S. at 587‑588.
In Rust v. Sullivan, supra, the Court applied these
principles to a statutory scheme that is in all relevant respects
indistinguishable from § 504(a)(16). The statute in Rust authorized grants for
the provision of family planning services, but provided that "none of the
funds . . . shall be used in programs where abortion is a method of family planning." Id. at 178. Valid
regulations implementing the statute required funding recipients to refer
pregnant clients "for appropriate prenatal . . . services by furnishing a
list of available providers that promote the welfare of mother and unborn
child," but forbade them to refer a pregnant woman specifically to an abortion provider, even upon request.
Id. at 180. We rejected a First Amendment free‑speech challenge to the
funding scheme, explaining that "the Government can, without violating the
Constitution, selectively fund a program to encourage certain activities it
believes to be in the public interest, without at the same time funding an
alternative program which seeks to deal with the problem another way." Id.
at 193. This was not, we said, the type
of "discrimination on the basis of viewpoint" that triggers strict
scrutiny, ibid., because the "'decision not to subsidize the exercise of a
fundamental right does not infringe the right,'" ibid. (quoting Regan v.
Taxation With Representation of Wash., supra, at 549).
The same is true here. The LSC Act, like the scheme in
Rust, see 500 U.S. at 200, does not create a public forum. Far from encouraging
a diversity of views, it has always, as the Court accurately states,
"placed restrictions on its use of funds," ante, at 3. Nor does §
504(a)(16) discriminate on the basis of viewpoint, since it funds neither
challenges to nor defenses of existing welfare law. The provision simply declines
to subsidize a certain class of litigation, and under Rust that decision
"does not infringe the right" to bring such litigation. Cf. Ortwein
v. Schwab, 410 U.S. 656, 658‑660, 35 L. Ed. 2d 572, 93 S. Ct. 1172, and
n. 5 (1973) (per curiam) (government not required by First Amendment or Due
Process Clause to waive filing fee for welfare benefits litigation). The
Court's repeated claims that § 504(a)(16) "restricts" and
"prohibits" speech, see,
e.g., ante, at 10, 11, and "insulates" laws from judicial review,
see, e.g., ante, at 13, are simply baseless. No litigant who, in the absence of
LSC funding, would bring a suit challenging existing welfare law is deterred
from doing so by § 504(a)(16). Rust thus controls these cases and compels the
conclusion that § 504(a)(16) is constitutional.
The Court contends that Rust is different because the
program at issue subsidized government speech, while the LSC funds private
speech. See ante, at 7‑8. This is so unpersuasive it hardly needs
response. If the private doctors' confidential advice to their patients at
issue in Rust constituted "government speech," it is hard to imagine
what subsidized speech would not be government speech. Moreover, the majority's
contention that the subsidized speech in these cases is not government speech
because the lawyers have a professional obligation to represent the interests
of their clients founders on the reality that the doctors in Rust had a
professional obligation to serve the interests of their patients, see 500 U.S.
at 214 (Blackmun, J., dissenting) ("ethical responsibilities of the medical profession") ‑‑
which at the time of Rust we had held to be highly relevant to the permissible
scope of federal regulation, see Thornburgh v. American College of
Obstetricians and Gynecologists, 476 U.S. 747, 763, 90 L. Ed. 2d 779, 106 S.
Ct. 2169 (1986) ("professional responsibilities" of physicians),
overruled in part on other grounds, Planned Parenthood of Southeastern Pa. v.
Casey, 505 U.S. 833, 120 L. Ed. 2d
674, 112 S. Ct. 2791 (1992). Even respondents agree that "the true speaker
in Rust was not the government, but a doctor." Brief for Respondents 19,
n. 17.
The Court further asserts that these cases are
different from Rust because the welfare funding restriction "seeks to use
an existing medium of expression and to control it . . . in ways which distort
its usual functioning," ante, at 8. This is wrong on both the facts and
the law. It is wrong on the law because there is utterly no precedent for the novel and facially
implausible proposition that the First Amendment has anything to do with
government funding that ‑‑ though it does not actually abridge
anyone's speech ‑‑ "distorts an existing medium of
expression." None of the three cases cited by the Court mentions such
an odd principle. In Rosenberger v.
Rector and Visitors of Univ. of Va., the point critical to the Court's analysis
was not, as the Court would have it, that it is part of the "usual
functioning" of student newspapers to "express many different points
of view," ante, at 9 (it surely is not), but rather that the spending
program itself had been created "to encourage a diversity of views from
private speakers," 515 U.S. at 834. What could not be distorted was the
public forum that the spending program had created. As for Arkansas Ed.
Television Comm'n v. Forbes, 523 U.S. 666, 140 L. Ed. 2d 875, 118 S. Ct. 1633
(1998), that case discussed the nature of television broadcasting, not to
determine whether government regulation would alter its "usual functioning"
and thus violate the First Amendment (no government regulation was even at
issue in the case), but rather to determine whether state‑owned
television is a "public forum" under our First Amendment
jurisprudence. Id. at 673‑674. And finally, the passage the Court cites
from FCC v. League of Women Voters of Cal., 468 U.S. 364, 396‑397, 82 L.
Ed. 2d 278, 104 S. Ct. 3106 (1984), says nothing whatever about
"using the forum [of public radio]
in an unconventional way to suppress speech inherent in the nature of the medium,"
ante, at 8‑9. It discusses why the Government's asserted interest in
"preventing [public radio] stations from becoming a privileged outlet for
the political and ideological opinions of station owners and managers,"
468 U.S. at 396 (internal quotation marks omitted), was insubstantial and thus
could not justify the statute's restriction on editorializing. Even worse for
the Court, after invalidating the restriction on this conventional First
Amendment ground, League of Women Voters goes on to say that "of
course," the restriction on editorializing "would plainly be
valid" if "Congress were to adopt a revised version of [the statute]
that permitted [public radio] stations to establish 'affiliate' organizations
which could then use the station's facilities to editorialize with nonfederal
funds." Id. at 400. But of course that is the case here. Regulations
permit funding recipients to establish affiliate organizations to conduct
litigation and other activities that fall outside the scope of the LSC program.
See 45 CFR pt. 1610 (2000). Far from
supporting the Court's nondistortion analysis, League of Women Voters dooms the
Court's case.
The Court's "nondistortion" principle is
also wrong on the facts, since there is no basis for believing that § 504(a)(16),
by causing "cases [to] be presented by LSC attorneys who cannot advise the
courts of serious questions of statutory validity," ante, at 11, will
distort the operation of the courts. It may well be that the bar of §
504(a)(16) will cause LSC‑funded attorneys to decline or to withdraw from
cases that involve statutory validity. But that means at most that fewer
statutory challenges to welfare laws will be presented to the courts because of
the unavailability of free legal services for that purpose. So what? The same
result would ensue from excluding LSC‑funded lawyers from welfare
litigation entirely. It is not the mandated, nondistortable function of the
courts to inquire into all "serious questions of statutory validity"
in all cases. Courts must consider only those questions of statutory validity
that are presented by litigants, and if the Government chooses not to subsidize
the presentation of some such questions, that in no way "distorts"
the courts' role. It is remarkable that
a Court that has so studiously avoided deciding whether Congress could entirely
eliminate federal jurisdiction over certain matters, see, e.g., Webster v. Doe,
486 U.S. 592, 603, 100 L. Ed. 2d 632,
108 S. Ct. 2047 (1988); Bowen v. Michigan Academy of Family Physicians, 476
U.S. 667, 681, n. 12, 90 L. Ed. 2d 623, 106 S. Ct. 2133 (1986), would be so
eager to hold the much lesser step of declining to subsidize the litigation
unconstitutional under the First Amendment.
Nor will the judicial opinions produced by LSC cases
systematically distort the interpretation of welfare laws. Judicial decisions
do not stand as binding "precedent" for points that were not raised,
not argued, and hence not analyzed. See, e.g., United States v. Verdugo‑Urquidez,
494 U.S. 259, 272, 108 L. Ed. 2d 222, 110 S. Ct. 1056 (1990); Hagans v. Lavine,
415 U.S. 528, 533, n. 5, 39 L. Ed. 2d 577, 94 S. Ct. 1372 (1974); United States
v. L. A. Tucker Truck Lines, Inc., 344 U.S. 33, 37‑38, 97 L. Ed. 54, 73
S. Ct. 67 (1952); United States v. More, 7 U.S. 159, 3 Cranch 159, 172, 2 L.
Ed. 397 (1805) (Marshall, C. J.). The statutory validity that courts assume in
LSC cases will remain open for full determination in later cases.
Finally, the Court is troubled "because in cases where the attorney withdraws
from a representation, the client is unlikely to find other counsel."
Ante, at 12. That is surely irrelevant, since it leaves the welfare recipient
in no worse condition than he would have been in had the LSC program never been
enacted. Respondents properly concede that even if welfare claimants cannot
obtain a lawyer anywhere else, the Government is not required to provide one.
Brief for Respondents 16; accord, Goldberg v. Kelly, 397 U.S. 254, 270, 25 L.
Ed. 2d 287, 90 S. Ct. 1011 (1970) (government not required to provide counsel
at hearing regarding termination of welfare benefits). It is hard to see how
providing free legal services to some welfare claimants (those whose claims do
not challenge the applicable statutes) while not providing it to others is
beyond the range of legitimate legislative choice. Rust rejected a similar
argument:
"Petitioners contend, however, that most Title X
clients are effectively precluded by
indigency and poverty from seeing a health‑care provider who will provide
abortion‑related services. But once again, even these Title X clients are
in no worse position than if Congress had never enacted Title X. The financial constraints that
restrict an indigent woman's ability to enjoy the full range of constitutionally
protected freedom of choice are the product not of governmental restrictions on
access to abortion, but rather of her indigency." 500 U.S. at 203
(internal quotation marks omitted).
The only conceivable argument that can be made for
distinguishing Rust is that there even patients who wished to receive abortion
counseling could receive the nonabortion services that the Government‑funded
clinic offered, whereas here some potential LSC clients who wish to receive
representation on a benefits claim that does not challenge the statutes will be
unable to do so because their cases raise a reform claim that an LSC lawyer may
not present. This difference, of course, is required by the same ethical canons
that the Court elsewhere does not wish to distort. Rather than sponsor
"truncated representation," ante, at 11, Congress chose to subsidize
only those cases in which the attorneys it subsidized could work freely. See,
e.g., 42 U.S.C. § 2996(6) ("Attorneys providing legal assistance must have
full freedom to protect the best
interests of their clients"). And it is impossible to see how this
difference from Rust has any bearing upon the First Amendment question, which,
to repeat, is whether the funding scheme is "'manipulated' to have a
'coercive effect'" on those who do not hold the subsidized position.
National Endowment for Arts v. Finley, 524 U.S. at 587 (quoting Arkansas
Writers' Project, Inc. v. Ragland, 481 U.S. at 237 (SCALIA, J., dissenting)).
It could be claimed to have such an effect if the client in a case ineligible
for LSC representation could eliminate the ineligibility by waiving the claim
that the statute is invalid; but he
cannot. No conceivable coercive effect exists.
This has been a very long discussion to make a point
that is embarrassingly simple: The LSC subsidy neither prevents anyone from
speaking nor coerces anyone to change speech, and is indistinguishable in all
relevant respects from the subsidy upheld in Rust v. Sullivan, supra. There is
no legitimate basis for declaring § 504(a)(16) facially unconstitutional.
III
Even were I to accept the Court's First Amendment
analysis, I could not join its decision to conclude this litigation without
reaching the issue of severability. That issue, although decided by the Second
Circuit, was not included within the question on which certiorari was granted,
and, as the Court points out, was not briefed or argued here. I nonetheless
think it an abuse of discretion to ignore it.
The Court has said that "we may consider
questions outside the scope of the limited order [granting certiorari] when
resolution of those questions is necessary for the proper disposition of the
case." Piper Aircraft Co. v. Reyno, 454 U.S. 235, 246‑247, n. 12, 70
L. Ed. 2d 419, 102 S. Ct. 252 (1981). I
think it necessary to a "proper disposition" here because the statute
concocted by the Court of Appeals bears little resemblance to what Congress
enacted, funding without restriction welfare‑benefits litigation that
Congress funded only under the limitations of § 504(a)(16). Although no party
briefed severability in Denver Area Ed. Telecommunications Consortium, Inc. v.
FCC, 518 U.S. 727, 135 L. Ed. 2d 888, 116 S. Ct. 2374 (1996), the Justices
finding partial unconstitutionality considered it necessary to address the
issue. Id. at 767 (plurality opinion) ("We must ask whether § 10(a) is severable"); accord, New
York v. United States, 505 U.S. 144, 186, 120 L. Ed. 2d 120, 112 S. Ct. 2408
(1992). I think we have that same obligation here. Moreover, by exercising our
"discretion" to leave the severability question open, we fail to
resolve the basic, real‑world dispute at issue: whether LSC attorneys may
represent welfare claimants who challenge the applicable welfare laws. Indeed,
we leave the LSC program subject to even a greater uncertainty than the one we
purport to have eliminated, since other circuits may conclude (as I do) that if
the limitation upon welfare representation is unconstitutional, LSC attorneys
cannot engage in welfare litigation at all.
"The inquiry into whether a statute is severable
is essentially an inquiry into legislative intent." Minnesota v. Mille
Lacs Band of Chippewa Indians, 526 U.S. 172, 191, 143 L. Ed. 2d 270, 119 S. Ct.
1187 (1999). If Congress "would not have enacted those provisions which
are within its power, independently of that which is not," then courts
must strike the provisions as a piece. Alaska Airlines, Inc. v. Brock, 480 U.S.
678, 684, 94 L. Ed. 2d 661, 107 S. Ct. 1476 (1987) (internal quotation marks
omitted). One determines what Congress would have done by examining what it did. Perhaps the most that can be said
on the subject is contained in a passage written by Chief Justice Shaw of the
Supreme Judicial Court of Massachusetts that we have often quoted:
"If [a statute's provisions] are so mutually
connected with and dependent on each other, as conditions, considerations or
compensations for each other, as to warrant a belief that the legislature
intended them as a whole, and that, if all could not be carried into effect,
the legislature would not pass the residue independently, and some parts are
unconstitutional, all the provisions which as thus dependent, conditional or
connected, must fall with them." Warren v. Mayor and Aldermen of
Charlestown, 68 Mass. 84, 99 (1854).
It is clear to me that the LSC Act's funding of
welfare benefits suits and its prohibition on suits challenging or defending
the validity of existing law are "conditions, considerations [and] compensations for each other" that
cannot be severed. Congress through the LSC Act intended "to provide high
quality legal assistance to those who would be otherwise unable to afford
adequate legal counsel," 42 U.S.C. § 2996 (2), but only if the program
could at the same time "be kept free from the influence of or use by it of
political pressures," § 2996(5). More than a dozen times in § 504(a)
Congress made the decision that certain activities could not be funded at all
without crippling the LSC program with
political pressures. See, e.g., § 504(a)(1) (reapportionment litigation); §
504(a)(4) (local, state, and federal lobbying); § 504(a)(7) (class action
lawsuits); § 504(a)(12) (training programs for, inter alia, boycotts,
picketing, and demonstrations); § 504(a)(14) (litigation with respect to
abortion). The severability question here is, essentially, whether, without the
restriction that the Court today invalidates, the permission for conducting
welfare litigation would have been accorded. As far as appears from the best
evidence (which is the structure of the statute), I think the answer must be
no.
We have in some cases stated that when an
"excepting proviso is found unconstitutional the substantive provisions
which it qualifies cannot stand," for "to hold otherwise would be to
extend the scope of the law . . . so as to embrace [situations] which the legislature
passing the statute had, by its very
terms, expressly excluded." Frost v. Corporation Comm'n of Okla., 278 U.S.
515, 525, 73 L. Ed. 483, 49 S. Ct. 235 (1929); see also Davis v. Wallace, 257
U.S. 478, 484, 66 L. Ed. 325, 42 S. Ct. 164 (1922) ("Where an excepting
provision in a statute is found unconstitutional, courts very generally hold
that this does not work an enlargement of the scope or operation of other
provisions with which that provision was enacted, and which it was intended to
qualify or restrain"). I frankly doubt whether this approach has been
followed consistently enough to be called the "general" rule, but if
there were ever an instance in which it is appropriate it is here. To strike
the restriction on welfare benefits suits is to void § 504(a)(16) altogether.
Subsection (a)(16) prohibits involvement in three types of activities with
respect to welfare reform: lobbying, rulemaking, and litigation. But the
proscriptions against using LSC funds to participate in welfare lobbying and rulemaking
are superfluous, since as described above subsections (a)(2), (a)(3), and
(a)(4) of § 504 withhold LSC funds from those activities generally. What is
unique about subsection (a)(16) ‑‑ the only thing it achieves ‑‑ is its limit on litigation. To remove that
limit is to repeal subsection (a)(16) altogether, and thus to eliminate a
significant quid pro quo of the legislative compromise. We have no authority to
"rewrite [the] statute and give it an effect altogether different"
from what Congress agreed to. Railroad Retirement Bd. v. Alton R. Co., 295 U.S.
330, 362, 79 L. Ed. 1468, 55 S. Ct. 758 (1935) (quoted in Carter v. Carter Coal
Co., 298 U.S. 238, 313, 80 L. Ed. 1160, 56 S. Ct. 8551 (1936)).
* * *
It is illuminating to speculate how these cases would
have been decided if Congress had enacted § 504(a)(16) without its proviso
(prescribing only the general ban against "litigation, lobbying, or
rulemaking, involving an effort to reform a Federal or State welfare
system"), and if the positions of the parties before us here were
reversed. If the LSC‑funded lawyers were here arguing that the statute
permitted representation of individual welfare claimants who did not challenge
existing law, I venture to say that the Court would endorse their argument ‑‑
perhaps with stirring language about the importance of aid to welfare
applicants and the Court's unwillingness to presume without clear indication
that Congress would want to eliminate
it. And I have little doubt that in that context the Court would find its
current First Amendment musings as
unpersuasive as I find them today.
Today's decision is quite simply inexplicable on the basis of our prior law. The only difference between Rust and the present case is that the former involved "distortion" of (that is to say, refusal to subsidize) the normal work of doctors, and the latter involves "distortion" of (that is to say, refusal to subsidize) the normal work of lawyers. The Court's decision displays not only an improper special solicitude for our own profession; it also displays, I think, the very fondness for "reform through the courts" ‑‑ the making of innumerable social judgments through judge‑pronounced constitutional imperatives ‑‑ that prompted Congress to restrict publicly funded litigation of this sort. The Court says today, through an unprecedented (and indeed previously rejected) interpretation of the First Amendment, that we will not allow this restriction ‑‑ and then, to add insult to injury, permits to stand a judgment that awards the general litigation funding that the statute does not contain. I respectfully dissent.