Hollingsworth v. Perry
Opinion
*2659 Chief Justice ROBERTS delivered the opinion of the Court.
*697
The public is currently engaged in an active political debate over whether same-sex couples should be allowed to
*698
marry. That question has also given rise to litigation. In this case, petitioners, who oppose same-sex marriage, ask us to decide whether the Equal Protection Clause "prohibits the State of California from defining marriage as the union of a
*699
man and a woman." Pet. for Cert. i. Respondents, same-sex couples who wish to marry, view the issue in somewhat different terms: For them, it is whether California-having previously recognized the right of same-sex couples to marry-may reverse that decision through a referendum.
*700
Federal courts have authority under the Constitution to answer such questions only if necessary to do so in the course of deciding an actual "case" or "controversy." As used in the Constitution, those words do not include every sort of dispute, but only those "historically viewed as capable of resolution through the judicial process."
Flast v. Cohen,
For there to be such a case or controversy, it is not enough that the party invoking the power of the court have a keen interest in the issue. That party must also have "standing," which requires, among other things, that it have suffered a concrete and particularized injury. Because we find that *701 petitioners do not have standing, we have no authority to decide this case on the merits, and neither did the Ninth Circuit.
I
In 2008, the California Supreme Court held that limiting the official designation of marriage to opposite-sex couples violated the equal protection clause of the California Constitution.
In re Marriage Cases,
According to the California Supreme Court, Proposition 8 created a "narrow and limited exception" to the state constitutional rights otherwise guaranteed to same-sex couples.
Id.,
at 388,
Respondents, two same-sex couples who wish to marry, filed suit in federal court, challenging Proposition 8 under the Due Process and Equal Protection Clauses of the Fourteenth Amendment to the Federal Constitution. The complaint named as defendants California's Governor, attorney general, and various other state and local officials responsible for enforcing California's marriage laws. Those officials refused to defend the law, although they have continued to enforce it throughout this litigation. The District Court allowed petitioners-the official proponents of the initiative, see Cal. Elec.Code Ann. § 342 (West 2003)-to intervene to defend it.
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*2659 Chief Justice ROBERTS delivered the opinion of the Court.
*697
The public is currently engaged in an active political debate over whether same-sex couples should be allowed to
*698
marry. That question has also given rise to litigation. In this case, petitioners, who oppose same-sex marriage, ask us to decide whether the Equal Protection Clause "prohibits the State of California from defining marriage as the union of a
*699
man and a woman." Pet. for Cert. i. Respondents, same-sex couples who wish to marry, view the issue in somewhat different terms: For them, it is whether California-having previously recognized the right of same-sex couples to marry-may reverse that decision through a referendum.
*700
Federal courts have authority under the Constitution to answer such questions only if necessary to do so in the course of deciding an actual "case" or "controversy." As used in the Constitution, those words do not include every sort of dispute, but only those "historically viewed as capable of resolution through the judicial process."
Flast v. Cohen,
For there to be such a case or controversy, it is not enough that the party invoking the power of the court have a keen interest in the issue. That party must also have "standing," which requires, among other things, that it have suffered a concrete and particularized injury. Because we find that *701 petitioners do not have standing, we have no authority to decide this case on the merits, and neither did the Ninth Circuit.
I
In 2008, the California Supreme Court held that limiting the official designation of marriage to opposite-sex couples violated the equal protection clause of the California Constitution.
In re Marriage Cases,
According to the California Supreme Court, Proposition 8 created a "narrow and limited exception" to the state constitutional rights otherwise guaranteed to same-sex couples.
Id.,
at 388,
Respondents, two same-sex couples who wish to marry, filed suit in federal court, challenging Proposition 8 under the Due Process and Equal Protection Clauses of the Fourteenth Amendment to the Federal Constitution. The complaint named as defendants California's Governor, attorney general, and various other state and local officials responsible for enforcing California's marriage laws. Those officials refused to defend the law, although they have continued to enforce it throughout this litigation. The District Court allowed petitioners-the official proponents of the initiative, see Cal. Elec.Code Ann. § 342 (West 2003)-to intervene to defend it. After a 12-day bench trial, the District Court declared Proposition 8 unconstitutional, permanently enjoining the California officials named as defendants from enforcing the law, and "directing the official defendants that all persons under their control or supervision" shall not enforce it.
Perry v. Schwarzenegger,
Those officials elected not to appeal the District Court order. When petitioners did, the Ninth Circuit asked them to address "why this appeal should not be dismissed for lack of Article III standing."
Perry v. Schwarzenegger,
Civ. No. 10-16696 (C.A.9, Aug. 16, 2010), p. 2,
"Whether under Article II, Section 8 of the California Constitution, or otherwise under California law, the official proponents of an initiative measure possess either a particularized interest in the initiative's validity or the authority to assert the State's interest in the initiative's validity, which would enable them to defend the constitutionality of the initiative upon its adoption or appeal a judgment invalidating the initiative, when the public *703 officials charged with that duty refuse to do so." Perry v. Schwarzenegger,628 F.3d 1191 , 1193 (2011).
The California Supreme Court agreed to decide the certified question, and answered in the affirmative. Without addressing whether the proponents have a particularized interest of their own in an initiative's validity, the court concluded that "[i]n a postelection challenge to a voter-approved initiative measure, the official proponents of the initiative are authorized under California law to appear and assert the state's interest in the initiative's validity and to appeal a judgment invalidating the measure when the public officials who ordinarily defend the measure or appeal such a judgment decline to do so."
Perry v. Brown,
Relying on that answer, the Ninth Circuit concluded that petitioners had standing under federal law to defend the constitutionality of Proposition 8. California, it reasoned, " 'has standing to defend the constitutionality of its [laws],' " and States have the "prerogative, as independent sovereigns, to decide for themselves who may assert their interests."
Perry v. Brown,
On the merits, the Ninth Circuit affirmed the District Court. The court held
*2661
the Proposition unconstitutional under the rationale of our decision in
Romer v. Evans,
We granted certiorari to review that determination, and directed that the parties also brief and argue "Whether petitioners have standing under Article III, § 2, of the Constitution in this case." 568 U.S. ----,
II
Article III of the Constitution confines the judicial power of federal courts to deciding actual "Cases" or "Controversies." § 2. One essential aspect of this requirement is that any person invoking the power of a federal court must demonstrate standing to do so. This requires the litigant to prove that he has suffered a concrete and particularized injury that is fairly traceable to the challenged conduct, and is likely to be redressed by a favorable judicial decision.
Lujan v. Defenders of Wildlife,
The doctrine of standing, we recently explained, "serves to prevent the judicial process from being used to usurp the powers of the political branches."
Clapper v. Amnesty Int'l USA,
568 U.S. ----, ----,
Most standing cases consider whether a plaintiff has satisfied the requirement when filing suit, but Article III demands that an "actual controversy" persist throughout all stages of litigation.
Already, LLC v. Nike, Inc.,
568 U.S. ----, ----,
Respondents initiated this case in the District Court against the California *2662 officials responsible for enforcing Proposition 8. The parties do not contest that respondents had Article III standing to do so. Each couple expressed a desire to marry and obtain "official sanction" from the State, which was unavailable to them given the declaration in Proposition 8 that "marriage" in California is solely between a man and a woman. App. 59.
After the District Court declared Proposition 8 unconstitutional and enjoined the state officials named as defendants from enforcing it, however, the inquiry under Article III changed. Respondents no longer had any injury to redress-they had won-and the state officials chose not to appeal.
The only individuals who sought to appeal that order were petitioners, who had intervened in the District Court. But the District Court had not ordered them to do or refrain from doing anything. To have standing, a litigant must seek relief for an injury that affects him in a "personal and individual way."
Defenders of Wildlife,
We have repeatedly held that such a "generalized grievance," no matter how sincere, is insufficient to confer standing. A litigant "raising only a generally available grievance about government-claiming only harm to his and every citizen's interest in proper application of the Constitution and laws, and seeking relief that no more directly and tangibly benefits him than it does the public at large-does not state an Article III case or controversy."
Defenders of Wildlife,
Petitioners argue that the California Constitution and its election laws give them a " 'unique,' 'special,' and 'distinct' role in the initiative process-one 'involving both authority and responsibilities that differ from other supporters of the measure.' " Reply Brief 5 (quoting
Article III standing "is not to be placed in the hands of 'concerned bystanders,' who will use it simply as a 'vehicle for the vindication of value interests.' "
Diamond,
III
A
Without a judicially cognizable interest of their own, petitioners attempt to invoke that of someone else. They assert that even if
they
have no cognizable interest in appealing the
*708
District Court's judgment, the State of California does, and they may assert that interest on the State's behalf. It is, however, a "fundamental restriction on our authority" that "[i]n the ordinary course, a litigant must assert his or her own legal rights and interests, and cannot rest a claim to relief on the legal rights or interests of third parties."
Powers v. Ohio,
In
Diamond v. Charles,
for example, we refused to allow Diamond, a pediatrician engaged in private practice in Illinois, to defend the constitutionality of the State's abortion law. In that case, a group of physicians filed a constitutional challenge to the Illinois statute in federal court. The State initially defended the law, and Diamond, a professed "conscientious object[or] to abortions," intervened to defend it alongside the State.
After the Seventh Circuit affirmed a permanent injunction against enforcing several provisions of the law, the State chose not to pursue an appeal to this Court. But when Diamond did, the state attorney general filed a " 'letter of interest,' " explaining that the State's interest in the proceeding was " 'essentially co-terminous with the position on the issues set forth by [Diamond].' "
B
Petitioners contend that this case is different, because the California Supreme Court has determined that they are "authorized under California law to appear and assert the state's interest" in the validity of Proposition 8.
In
Karcher,
we held that two New Jersey state legislators-Speaker of the General Assembly Alan Karcher and President of the Senate Carmen Orechio-could intervene in a suit against the State to defend the constitutionality of a New Jersey law, after the New Jersey attorney general had declined to do so.
Far from supporting petitioners' standing, however,
Karcher
is compelling precedent against it. The legislators in that case intervened in their official capacities as Speaker and President of the legislature. No one doubts that a State
*710
has a cognizable interest "in the continued enforceability" of its laws that is harmed by a judicial decision declaring a state law unconstitutional.
Maine v. Taylor,
What is significant about
Karcher
is what happened after the Court of Appeals decision in that case. Karcher and Orechio lost their positions as Speaker and President, but nevertheless sought to appeal to this Court. We held that they could not do so. We explained that while they were able to participate in the lawsuit in their official capacities as presiding officers
*2665
of the incumbent legislature, "since they no longer hold those offices, they lack authority to pursue this appeal."
The point of Karcher is not that a State could authorize private parties to represent its interests; Karcher and Orechio were permitted to proceed only because they were state officers, acting in an official capacity. As soon as they lost that capacity, they lost standing. Petitioners here hold no office and have always participated in this litigation solely as private parties.
The cases relied upon by the dissent, see
post,
at 2673 - 2674, provide petitioners no more support. The dissent's primary authorities, in fact, do not discuss standing at all. See
Young v. United States ex rel. Vuitton et Fils S. A.,
*711
The dissent highlights the discretion exercised by special prosecutors appointed by federal courts to pursue contempt charges. See
post,
at 2673 (citing
Young, supra,
at 807,
The dissent's remaining cases, which at least consider standing, are readily distinguishable. See
Vermont Agency of Natural Resources v. United States ex rel. Stevens,
C
Both petitioners and respondents seek support from dicta in
Arizonans for Official English v. Arizona,
Before finding the case mooted by other events, this Court expressed "grave doubts" about the Ninth Circuit's standing analysis.
Petitioners argue that, by virtue of the California Supreme Court's decision, they
are
authorized to act " 'as agents of the people' of California." Brief for Petitioners 15 (quoting
Arizonans for Official English,
And petitioners are plainly not agents of the State-"formal" or otherwise, see post, at 2671. As an initial matter, petitioners' newfound claim of agency is inconsistent with their representations to the District Court. When the proponents sought to intervene in this case, they did not purport to be agents of California. They argued instead that "no other party in this case w[ould] adequately represent their interests as official proponents ." Motion to Intervene in No. 09-2292 (ND Cal.), p. 6 (emphasis added). It was their "unique legal status" as official proponents-not an agency relationship with the people of California-that petitioners claimed "endow[ed] them with a significantly protectable interest" in ensuring that the District Court not "undo[ ] all that they ha[d] done in obtaining ... enactment" of Proposition 8. Id., at 10, 11.
More to the point, the most basic features of an agency relationship are missing here. Agency requires more than mere authorization to assert a particular interest. "An essential element of agency is the principal's right to control the agent's actions." 1 Restatement (Third) of Agency § 1.01, Comment f (2005) (hereinafter Restatement). Yet petitioners answer to no one; they decide for themselves, with no review, what arguments to make and how to make them. Unlike California's attorney general, they are not elected at regular intervals-or elected at all. See *2667 Cal. Const., Art. V, § 11. No provision provides for their removal. As one amicus explains, "the proponents apparently have an unelected appointment for an unspecified period of time as defenders of the initiative, however and to whatever extent they choose to defend it." Brief for Walter Dellinger 23.
23
*714
"If the relationship between two persons is one of agency ..., the agent owes a fiduciary obligation to the principal." 1 Restatement § 1.01, Comment
e
. But petitioners owe nothing of the sort to the people of California. Unlike California's elected officials, they have taken no oath of office.
E.g.,
Cal. Const., Art. XX, § 3 (prescribing the oath for "all public officers and employees, executive, legislative, and judicial"). As the California Supreme Court explained, petitioners are bound simply by "the same ethical constraints that apply to all other parties in a legal proceeding."
Finally, the California Supreme Court stated that "[t]he question of who should bear responsibility for any attorney fee award ... is
entirely distinct
from the question" before it.
Id.,
at 1161,
Neither the California Supreme Court nor the Ninth Circuit ever described the proponents as agents of the State, and they plainly do not qualify as such.
IV
The dissent eloquently recounts the California Supreme Court's reasons for deciding that state law authorizes petitioners to defend Proposition 8. See post, at 2669 - 2670. We do not "disrespect[ ]" or "disparage[ ]" those reasons. Post, at 2674. Nor do we question California's sovereign right to maintain an initiative process, or the right of initiative *715 proponents to defend their initiatives in California courts, where Article III does not apply. But as the dissent acknowledges, see post, at 2668, standing in federal court is a question of federal law, not state law. And no matter its reasons, the fact that a State thinks a private party should have standing to seek relief for a generalized grievance cannot override our settled law to the contrary.
The Article III requirement that a party invoking the jurisdiction of a federal court seek relief for a personal, particularized injury serves vital interests going to the role of the Judiciary in our system of separated powers. "Refusing to entertain generalized grievances ensures that ... courts exercise power that is judicial in nature,"
Lance,
* * *
*2668 We have never before upheld the standing of a private party to defend the constitutionality of a state statute when state officials have chosen not to. We decline to do so for the first time here.
Because petitioners have not satisfied their burden to demonstrate standing to appeal the judgment of the District Court, the Ninth Circuit was without jurisdiction to consider the appeal. The judgment of the Ninth Circuit is vacated, and the case is remanded with instructions to dismiss the appeal for lack of jurisdiction.
It is so ordered.
Justice KENNEDY, with whom Justice THOMAS, Justice ALITO, and Justice SOTOMAYOR join, dissenting.
The Court's opinion is correct to state, and the Supreme Court of California was careful to acknowledge, that a *716 proponent's standing to defend an initiative in federal court is a question of federal law. Proper resolution of the justiciability question requires, in this case, a threshold determination of state law. The state-law question is how California defines and elaborates the status and authority of an initiative's proponents who seek to intervene in court to defend the initiative after its adoption by the electorate. Those state-law issues have been addressed in a meticulous and unanimous opinion by the Supreme Court of California.
Under California law, a proponent has the authority to appear in court and assert the State's interest in defending an enacted initiative when the public officials charged with that duty refuse to do so. The State deems such an appearance essential to the integrity of its initiative process. Yet the Court today concludes that this state-defined status and this state-conferred right fall short of meeting federal requirements because the proponents cannot point to a formal delegation of authority that tracks the requirements of the Restatement of Agency. But the State Supreme Court's definition of proponents' powers is binding on this Court. And that definition is fully sufficient to establish the standing and adversity that are requisites for justiciability under Article III of the United States Constitution.
In my view Article III does not require California, when deciding who may appear in court to defend an initiative on its behalf, to comply with the Restatement of Agency or with this Court's view of how a State should make its laws or structure its government. The Court's reasoning does not take into account the fundamental principles or the practical dynamics of the initiative system in California, which uses this mechanism to control and to bypass public officials-the same officials who would not defend the initiative, an injury the Court now leaves unremedied. The Court's decision also has implications for the 26 other States that use an initiative or popular referendum system and which, like California, may choose to have initiative proponents stand in for the *717 State when public officials decline to defend an initiative in litigation. See M. Waters, Initiative and Referendum Almanac 12 (2003). In my submission, the Article III requirement for a justiciable case or controversy does not prevent proponents from having their day in court.
These are the premises for this respectful dissent.
As the Court explains, the State of California sustained a concrete injury, sufficient to satisfy the requirements of Article III, when a United States District Court nullified a portion of its State Constitution. See
ante,
at 2664 (citing
*2669
Maine v. Taylor,
As the Court notes, the California Elections Code does not on its face prescribe in express terms the duties or rights of proponents once the initiative becomes law.
Ante,
at 2662. If that were the end of the matter, the Court's analysis would have somewhat more force. But it is not the end of the matter. It is for California, not this Court, to determine whether and to what extent the Elections Code provisions are instructive and relevant in determining the authority of proponents to assert the State's interest in postenactment judicial proceedings. And it is likewise not for this Court to say that a State must determine the substance and meaning of its laws by statute, or by judicial decision, or by a combination of the two. See
Sweezy v. New Hampshire,
*718
This Court, in determining the substance of state law, is "bound by a state court's construction of a state statute."
Wisconsin v. Mitchell,
The reasons the Supreme Court of California gave for its holding have special relevance in the context of determining whether proponents have the authority to seek a federal-court remedy for the State's concrete, substantial, and continuing injury. As a class, official proponents are a small, identifiable group. See Cal. Elec.Code Ann. § 9001(a) (West Cum.Supp. 2013). Because many of their decisions must be unanimous, see §§ 9001(b)(1), 9002(b), they are necessarily few in number. Their identities are public. § 9001(b)(2). Their commitment is substantial. See §§ 9607-9609 (West Cum.Supp. 2013) (obtaining petition signatures); § 9001(c) (monetary fee); §§ 9065(d), 9067, 9069 (West 2003) (drafting arguments for official ballot pamphlet). They know and understand the purpose and operation of the proposed law, an important requisite in defending initiatives on complex matters such as taxation and insurance. Having gone to great lengths to convince voters to enact an initiative, they have a stake in the outcome and the necessary commitment to provide zealous advocacy.
Thus, in California, proponents play a "unique role ... in the initiative process."
*719
The Supreme Court of California explained that its holding was consistent with recent decisions from other States.
Id.,
at 1161-1165,
For these and other reasons, the Supreme Court of California held that the California Elections Code and Article II, § 8, of the California Constitution afford proponents "the
*720
authority ... to assert the state's interest in the validity of the initiative" when State officials decline to do so.
The Court concludes that proponents lack sufficient ties to the state government. It notes that they "are not elected," "answer to no one," and lack " 'a fiduciary obligation' " to the State.
Ante,
at 2673 - 2674 (quoting 1 Restatement (Third) of Agency § 1.01, Comments
e, f
(2005)). But what the Court deems deficiencies in the proponents' connection to the State government, the State Supreme Court saw as essential qualifications to defend the initiative system. The very object of the initiative system is to establish a lawmaking process that does not depend upon state officials. In California, the popular initiative is necessary to implement "the theory that all power of government ultimately resides in the people."
Yet today the Court demands that the State follow the Restatement of Agency. See
ante,
at 2666 - 2667. There are reasons, however, why California might conclude that a conventional agency relationship is inconsistent with the history, design, and purpose of the initiative process. The State may not wish to associate itself with proponents or their views outside of the "extremely narrow and limited" context of this litigation,
*722
Furthermore, it is not clear who the principal in an agency relationship would be. It would make little sense if it were the Governor or attorney general, for that would frustrate the initiative system's purpose of circumventing elected officials who fail or refuse to effect the public will.
And if the Court's concern is that the proponents are unaccountable, that fear is neither well founded nor sufficient to overcome *2672 the contrary judgment of the State Supreme Court. It must be remembered that both elected officials and initiative proponents receive their authority to speak for the State of California directly from the people. The Court apparently believes that elected officials are acceptable "agents" of the State, see ante, at 2664 - 2665, but they are no more subject to ongoing supervision of their principal- i.e., the people of the State-than are initiative proponents. At most, a Governor or attorney general can be recalled or voted out of office in a subsequent election, but proponents, too, can have their authority terminated or their initiative overridden by a subsequent ballot measure. Finally, proponents and their attorneys, like all other litigants and counsel who appear before a federal court, are subject to duties of candor, decorum, and respect for the tribunal and co-parties alike, all of which guard against the possibility that initiative proponents will somehow fall short of the appropriate standards for federal litigation. *723 B
Contrary to the Court's suggestion, this Court's precedents do not indicate that a formal agency relationship is necessary. In
Karcher v. May,
Arizonans for Official English v. Arizona,
Both the Court of Appeals and the Supreme Court of California were mindful of these precedents and sought to comply with them. The state court, noting the importance of
Arizonans for Official English,
expressed its understanding that
*2673
"the high court's doubts as to the official initiative proponents' standing in that case were based, at least in substantial part, on the fact that the court was not aware of any 'Arizona law appointing initiative sponsors as agents of the people of Arizona to defend ... the constitutionality of initiatives made law of the State.' "
The Court of Appeals, too, was mindful of this requirement.
Perry v. Brown,
The Court's approach in this case is also in tension with other cases in which the Court has permitted individuals to assert claims on behalf of the government or others. For instance, Federal Rule of Criminal Procedure 42(a)(2) allows a court to appoint a private attorney to investigate and prosecute potential instances of criminal contempt. Under the Rule, this special prosecutor is not the agent of the appointing judge; indeed, the prosecutor's "determination of which persons should be targets of the investigation, what methods of investigation should be used, what information will be sought as evidence," whom to charge, and other "decisions ... critical to the conduct of a prosecution, are all made outside the supervision of the court."
Young v. United States ex rel. Vuitton et Fils S. A.,
There is much irony in the Court's approach to justiciability in this case. A prime purpose of justiciability is to ensure vigorous advocacy, yet the Court insists upon litigation conducted by state officials whose preference is to lose the case. The doctrine is meant to ensure that courts are responsible and constrained in their power, but the Court's opinion today means that a single district court can make a decision with far-reaching effects that cannot be reviewed. And rather than honor the principle that justiciability exists to allow disputes of public policy to be resolved by the political process rather than the courts, see,
e.g.,
Allen v. Wright,
The Court's opinion disrespects and disparages both the political process in California and the well-stated opinion of *727 the California Supreme Court in this case. The California Supreme Court, not this Court, expresses concern for vigorous representation; the California Supreme Court, not this Court, recognizes the necessity to avoid conflicts of interest; the California Supreme Court, not this Court, comprehends the real interest at stake in this litigation and identifies the most proper party to defend that interest. The California Supreme Court's opinion reflects a better understanding of the dynamics and principles of Article III than does this Court's opinion.
Of course, the Court must be cautious before entering a realm of controversy where the legal community and society at large are still formulating ideas and approaches to a most difficult subject. But it is shortsighted to misconstrue principles of justiciability to avoid that subject. As the California Supreme Court recognized, "the question before us involves a fundamental procedural issue that may arise with respect to
any
initiative measure, without regard to its subject matter."
In the end, what the Court fails to grasp or accept is the basic premise of the initiative process. And it is this. The essence of democracy is that the right to make law rests in the people and flows to the government, not the other way around. Freedom resides first in the people without need of a grant from government. The California initiative process embodies these principles and has done so for over a century. "Through the structure of its government, and the character of those who exercise government authority, a State defines
*728
itself as sovereign."
Gregory v. Ashcroft,
133 S. Ct. 2652 (Hollingsworth v. Perry) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.