Bullock v. Carter, 405 U.S. 134 (1972)
Bullock v. Carter, 405 U.S. 134 (1972)
Bullock v. Carter, 405 U.S. 134 (1972)
134
92 S.Ct. 849
31 L.Ed.2d 92
Syllabus
Appellees who sought to become candidates for local office in the Texas
Democratic primary election challenged in the District Court the validity
of the Texas statutory scheme which, without write-in or other alternative
provisions, requires payment of fees ranging as high as $8,900. Appellees
claimed that they were unable to pay the required fees and were therefore
barred from running. Under the Texas statute, the party committee
estimates the total cost of the primary and apportions it among candidates
according to its judgment of what is 'just and equitable,' in light of 'the
importance, emolument, and term of office.' The fees for local candidates
tend appreciably to exceed those for statewide candidates. Following a
hearing, the District Court declared the fee system invalid and enjoined its
enforcement. Appellants contend that the filing fees are necessary both to
regulate the primary ballot and to finance elections. Held: The Texas
primary election filing-fee system contravenes the Equal Protection
Clause of the Fourteenth Amendment. Pp. 140149.
(a) Since the Texas statute imposes filing fees of such magnitude that
numerous qualified candidates are precluded from filing, it therefore falls
with unequal weight on candidates and voters according to their ability to
pay the fees, it must be 'closely scrutinized' and can be sustained only if it
is reasonably necessary to accomplish a legitimate state objective and not
merely because it has some rational basis. Pp. 140144.
(b) Although a State has an interest in regulating the number of candidates
on the ballot and eliminating those who are spurious, it cannot attain these
objectives by arbitrary means such as those called for by the Texas statute,
which eliminates legitimate potential candidates, like those involved here,
who cannot afford the filing fees. Pp. 144147.
(c) The apportionment of costs among candidates is not the only means
available to finance primary elections, and the State can identify certain
bodies as political parties entitled to sponsorship if the State itself finances
the primaries, as it does general elections, both of which are important
parts of the democratic process. Pp. 147149.
Carter v. Dies, D.C., 321 F.Supp. 1358, affirmed.
John F. Morehead, Plainview, Tex., and Pat Bailey, Austin, Tex., for
appellants.
A. L. Crouch, Fort Worth, Tex., and Joseph A. Calamia, El Paso, Tex., for
appellees.
Mr. Chief Justice BURGER delivered the opinion of the Court.
Under Texas law, a candidate must pay a filing fee as a condition to having his
name placed on the ballot in a primary election.1 The constitutionality of the
Texas filing-fee system is the subject of this appeal from the judgment of a
three-judge District Court.
After being denied places on the Democratic primary ballots in their respective
counties, these appellees instituted separate actions in the District Court
challenging the validity of the Texas filing-fee system. Their actions were
consolidated, and a three-judge District Court was convened pursuant to 28
U.S.C. 2281 and 2284. Appellee Jenkins was permitted to intervene as a
voter on his claimed desire to vote for Wischkaemper, and appellee Guzman
and others were permitted to intervene as voters desiring to cast their ballots for
Pate. On April 3, 1970, the District Court ordered that Wischkaemper and Pate
be permitted to participate in the primary conducted on May 2, 1970, without
prepayment of filing fees.3 Following a hearing on the merits, the three-judge
court declared the Texas filing-fee scheme unconstitutional and enjoined its
enforcement.4 321 F.Supp. 1358 (N.D.Tex.1970). A direct appeal was taken
under 28 U.S.C. 1253, and we noted probable jurisdiction. Dies v. Carter, 403
U.S. 904, 91 S.Ct. 2208, 29 L.Ed.2d 679.
4
Under the Texas statute, payment of the filing fee is an absolute prerequisite to
a candidate's participation in a primary election. There is no alternative
procedure by which a potential candidate who is unable to pay the fee can get
on the primary ballot by way of petitioning voters,5 and write-in votes are not
permitted in primary elections for public office.6 Any person who is willing
and able to pay the filing fee and who meets the basic eligibility requirements
for holding the office sought can run in a primary.
Candidates for most district, county, and precinct offices must pay their filing
fee to the county executive committee of the political party conducting the
primary; the committee also determines the amount of the fee. The party
committee must make an estimate of the total cost of the primary and apportion
it among the various candidates 'as in their judgment is just and equitable.'7 The
committee's judgment is to be guided by 'the importance, emolument, and term
of office for which the nomination is to be made.'8 In counties with populations
of one million or more, candidates for offices of two-year terms can be assessed
up to 10% of their aggregate annual salary, and candidates for offices of fouryear terms can be assessed up to 15% of their aggregate annual salary.9 In
smaller counties there are no such percentage limitations.10
The record shows that the fees required of the candidates in this case are far
from exceptional in their magnitude.11 The size of the filing fees is plainly a
natural consequence of a statutory system that places the burden of financing
primary elections on candidates rather than on the governmental unit, and that
imposes a particularly heavy burden on candidates for local office. The filing
fees required of candidates seeking nomination for state offices and offices
involving statewide primaries are more closely regulated by statute and tend to
be appreciably smaller. The filing fees for candidates for State Representative
range from $150 to $600, depending on the population of the county from
which nomination is sought.12 Candidates for State Senator are subject to a
maximum assessment of $1,000.13 Candidates for nominations requiring
statewide primaries, including candidates for Governor and United States
Senator, must pay a filing fee of $1,000 to the chairman of the state executive
committee of the party conducting the primary.14 Candidates for the State
10
11
The initial and direct impact of filing fees is felt by aspirants for office, rather
than voters, and the Court has not heretofore attached such fundamental status
to candidacy as to invoke a rigorous standard of review.19 However, the rights
of voters and the rights of candidates do not lend themselves to neat separation;
laws that affect candidates always have at least some theoretical, correlative
effect on voters. Of course, not every limitation or incidental burden on the
exercise of voting rights is subject to a stringent standard of review. McDonald
v. Board of Election, 394 U.S. 802, 89 S.Ct. 1404, 22 L.Ed.2d 739 (1969).
Texas does not place a condition on the exercise of the right to vote,20 nor does
it quantitatively dilute votes that have been cast.21 Rather, the Texas system
creates barriers to candidate access to the primary ballot, thereby tending to
limit the field of candidates from which voters might choose. The existence of
such barriers does not of itself compel close scrutiny. Compare Jenness v.
Fortson, 403 U.S. 431, 91 S.Ct. 1970, 29 L.Ed.2d 554 (1971)With Williams v.
Rhodes, 393 U.S. 23, 89 S.Ct. 5, 21 L.Ed.2d 24 (1968). In approaching
candidate restrictions, it is essential to examine in a realistic light the extent and
nature of their impact on voters.
12
13
Because the Texas filing-fee scheme has a real and appreciable impact on the
exercise of the franchise, and because this impact is related to the resources of
the voters supporting a particular candidate, we conclude, as in Harper, that the
laws must be 'closely scrutinized' and found reasonably necessary to the
accomplishment of legitimate state objectives in order to pass constitutional
muster.
(2)
14
15
Appellants contend that the filing fees required by the challenged statutes are
necessary both to regulate the ballot in primary elections and to provide a
means for financing such elections.
16
The Court has recognized that a State has a legitimate interest in regulating the
number of candidates on the ballot. Jenness v. Fortson, 403 U.S., at 442, 91
S.Ct., at 1976; Williams v. Rhodes, 393 U.S., at 32, 89 S.Ct. 5, 21 L.Ed.2d 24.
In so doing, the State understandably and properly seeks to prevent the
clogging of its election machinery, avoid voter confusion, and assure that the
winner is the choice of a majority, or at least a strong plurality, of those voting,
without the expense and burden of runoff elections. 22 Although we have no
way of gauging the number of candidates who might enter primaries in Texas if
access to the ballot were unimpeded by the large filing fees in question here,
we are bound to respect the legitimate objectives of the State in avoiding
overcrowded ballots. Moreover, a State has an interest, if not a duty, to protect
the integrity of its political processes from frivolous or fraudulent candidacies.
Jenness v. Fortson, 403 U.S., at 442, 91 S.Ct., at 1976.
17
There is no escape from the conclusion that the imposition of filing fees
ranging as high as $8,900 tends to limit the number of candidates entering the
primaries. However, even under conventional standards of review, a State
cannot achieve its objectives by totally arbitrary means; the criterion for
differing treatment must bear some relevance to the object of the legislation.
Morey v. Doud, 354 U.S. 457, 465, 77 S.Ct. 1344, 1350, 1 L.Ed.2d 1485
(1957); Smith v. Cahoon, 283 U.S. 553, 567, 51 S.Ct. 582, 587, 75 L.Ed. 1264
(1931). To say that the filing-fee requirement tends to limit the ballot to the
more serious candidates is not enough. There may well be some rational
relationship between a candidate's willingness to pay a filing fee and the
seriousness with which he takes his candidacy,23 but the candidates in this case
affirmatively alleged that they were unable, not simply unwilling, to pay the
assessed fees, and there was no contrary evidence. It is uncontested that the
filing fees exclude legitimate as well as frivolous candidates. And even
assuming that every person paying the large fees required by Texas law takes
his own candidacy seriously, that does not make him a 'serious candidate' in the
popular sense. If the Texas fee requirement is intended to regulate the ballot by
weeding out spurious candidates, it is extraordinarily ill-fitted to that goal;24
other means to protect those valid interests are available.
18
party primaries, and point out that a candidate can gain a place on the ballot in
the general election without payment of fees by submitting a proper application
accompanied by a voter petition.25 Apart from the fact that the primary election
may be more crucial than the general election in certain parts of Texas,26 we
can hardly accept as reasonable an alternative that requires candidates and
voters to abandon their party affiliations in order to avoid the burdens of the
filing fees imposed by state law. Appellants have not demonstrated that their
present filing-fee scheme is a necessary or reasonable tool for regulating the
ballot.
19
In addition to the State's purported interest in regulating the ballot, the filing
fees serve to relieve the State treasury of the cost of conducting the primary
elections, and this is a legitimate state objective; in this limited sense it cannot
be said that the fee system lacks a rational basis.27 But under the standard of
review we consider applicable to this case, there must be a showing of
necessity. Appellants strenuously urge that apportioning the cost among the
candidates is the only feasible means for financing the primaries. They argue
that if the State must finance the primaries, it will have to determine which
political bodies are 'parties' so as to be entitled to state sponsorship for their
nominating process, and that this will result in new claims of discrimination.
Appellants seem to overlook the fact that a similar distinction is presently
embodied in Texas law since only those political parties whose gubernatorial
candidate received 200,000 or more votes in the last preceding general election
are required to conduct primary elections.28 Moreover, the Court has recently
upheld the validity of a state law distinguishing between political parties on the
basis of success in prior election. Jenness v. Fortson, supra. We are not
persuaded that Texas would be faced with an impossible task in distinguishing
between political parties for the purpose of financing primaries.
20
We also reject the theory that since the candidates are availing themselves of
the primary machinery, it is appropriate that they pay that share of the cost that
they have occasioned. The force of this argument is diluted by the fact that
candidates for offices requiring statewide primaries are generally assessed at a
lower rate than candidates for local office, although the statewide primaries
undoubtedly involve a greater expense.29 More importantly, the costs do not
arise because candidates decide to enter a primary or because the parties decide
to conduct one, but because the State has, as a matter of legislative choice,
directed that party primaries be held. The Stae has presumably chosen this
course more to benefit the voters than the candidates.
21
Appellants seem to place reliance on the self-evident fact that if the State must
assume the cost, the voters, as taxpayers, will ultimately be burdened with the
expense of the primaries. But it it far too late to make out a case that the party
primary is such a lesser part of the democratic process that its cost must be
shifted away from the taxpayers generally. The financial burden for general
elections is carried by all taxpayers and appellants have not demonstrated a
valid basis for distinguishing between these two legitimate costs of the
democratic process. It seems appropriate that a primary system designed to give
the voters some influence at the nominating stage should spread the cost
among all of the voters in an attempt to distribute the influence without regard
to wealth. Viewing the myriad governmental functions supported from general
revenues, it is difficult to single out any of a higher order than the conduct of
elections at all levels to bring forth those persons desired by their fellow
citizens to govern. Without making light of the State's interest in husbanding its
revenues, we fail to see such an element of necessity in the State's present
means of financing primaries as to justify the resulting incursion on the
prerogatives of voters.
(3)
22
23
Since the State has failed to establish the requisite justification for this filingfee system, we hold that it results in a denial of equal protection of the laws. It
must be emphasized that nothing herein is intended to cast doubt on the validity
of reasonable candidate filing fees or licensing fees in other contexts. By
requiring candidates to shoulder the costs of conducting primary elections
through filing fees and by providing no reasonable alternative means of access
to the ballot, the State of Texas has erected a system that utilizes the criterion of
ability to pay as a condition to being on the ballot, thus excluding some
candidates otherwise qualified and denying an undetermined number of voters
the opportunity to vote for candidates of their choice. These salient features of
the Texas system are critical to our determination of constitutional invalidity.
24
Affirmed.
25
Mr. Justice POWELL and Mr. Justice REHNQUIST took no part in the
consideration or decision of this case.
See Arts. 13.07a, 13.08, 13.08a, 13.15, and 13.16 of the Texas Election Code
Ann., V.A.T.S. (Supp.19701971)
Carter also failed to have his application notarized and to have it accompanied
by a statutory loyalty affidavit. Since appellees Pate and Wischkaemper were in
all respects eligible to be candidates in the primary except for their failure to
pay the filing fees, Carter's participation in this appeal is superfluous and we
need not decide whether the additional defects in his application deprive him of
standing to attack the constitutionality of the filing-fee system.
3
The order provided that their ultimate liability for the fees would depend on the
outcome of this action. Preliminary relief was not granted to Carter because of
his noncompliance with requisites for candidacy unrelated to the challenged
filing fees. See n. 2, supra.
Texas law does permit the names of independent candidates to appear on the
official ballot in the general election if a proper application containing a voter
petition is submitted. The number of eigible voters required to sign the petition
varies from 1% to 5% depending on the office sought. For district, county, and
precinct offices, candidates must obtain the signatures of 5% of the eligible
voters with a ceiling of 500 signatures. No person may sign the application of
more than one person for the same office, and no person who has voted in a
primary may sign the application of a candidate for an office for which a
nomination was made at such primary. Art. 13.50, Tex.Election Code Ann.
(1967).
No fees are assessed against candidates in general elections.
Ibid.
10
11
12
Population of County
Filing Fee
$150
$600
$300
$500
It is not clear from the face of the statute why candidates from counties having
populations between 650,000 and 900,000 must pay more than candidates from
counties of larger sizes.
An additional provision requires that candidates for State Representative from
districts encompassing either eight or nine counties must pay $25 per county as
a filing fee. Art. 13.08a, Tex.Election Code Ann. (Supp.19701971).
13
Population of County
Filing Fee
Filing Fee
$ 1
$ 5
$ 10
$ 50
$ 75
$100
15
16
Appellants ask the Court to reconsider the scope of Smith v. Allwright, 321
U.S. 649, 64 S.Ct. 757, 88 L.Ed 987 (1944), in which the Court held that the
action of the Democratic Party of Texas in excluding Negroes from
participation in party primaries constituted 'state action.' See also Terry v.
Adams, 345 U.S. 461, 73 S.Ct. 809, 97 L.Ed. 1152 (1953); cf. Nixon v.
Condon, 286 U.S. 73, 52 S.Ct. 484, 76 L.Ed. 984 (1932). Appellants contend
that not every aspect of a party primary election must be considered 'state
action' cognizable under the Fourteenth Amendment. But we are here
concerned with the constitutionality of a state law rather than action by a
political party and thus have no occasion to consider the scope of the holding in
Smith v. Allwright, supra.
17
The Texas Legislature has enacted a 'contingent, temporary law' modifying the
filing-fee requirement involved in this case. C. 11, H.B. 5, 62d Leg., 1st Called
Sess. (1971). The new provisions allow persons unable to pay the filing fees to
have their names placed on the ballot in primary elections if they submit a
petition
'signed by qualified voters eligible to vote for the office for which the candidate
is running, equal in number to at least 10 percent of the entire vote cast for that
party's candidate for governor in the last preceding general election in the
See Dandridge v. Williams, 397 U.S. 471, 485, 90 S.Ct. 1153, 1161, 25
L.Ed.2d 491 (1970); McGowan v. Maryland, 366 U.S. 420, 425426, 81 S.Ct.
1101, 11041105, 6 L.Ed.2d 393 (1961).
19
Cf. Turner v. Fouche, 396 U.S. 346. 362, 90 S.Ct. 532, 541, 24 L.Ed.2d 567
(1970); Snowden v. Hughes, 321 U.S. 1, 64 S.Ct. 397, 88 L.Ed 497 (1944).
20
See Harper v. Virginia Board of Elections, 383 U.S. 663, 86 S.Ct. 1079, 16
L.Ed.2d 169 (1966); Kramer v. Union Free School Dist. No. 15, 395 U.S. 621,
89 S.Ct. 1886, 23 L.Ed.2d 583 (1969); Cipriano v. City of Houma, 395 U.S.
701, 89 S.Ct. 1897, 23 L.Ed.2d 647 (1969).
21
See Reynolds v. Sims, 377 U.S. 533, 562, 84 S.Ct. 1362, 1381, 12 L.Ed.2d 506
(1964); Wesberry v. Sanders, 376 U.S. 1, 84 S.Ct. 526, 11 L.Ed.2d 481 (1964).
22
23
24
25
Appellants stae that Texas requires only the signatures of 1% of the eligible
voters. Although this is true for offices voted for statewide, the candidates for
local offices in this case would have had to obtain the signatures of 5% of the
eligible voters up to a maximum of 500 signatures. Moreover, only those
persons not voting in the primary would have been eligible to sign a nominating
petition. See n. 5, supra.
26
See Carter v. Dies, 321 F.Supp. 1358, 1363 (N.D.Tex.1970) (Thornberry, J.,
concurring).
27
Cf. Harper v. Virginia Board of Elections, 383 U.S., at 674, 86 S.Ct., at 1085
(Black, J., dissenting).
28
29
This would be a different case if the fees approximated the cost of processing a
candidate's application for a place on the ballot, a cost resulting from the
candidate's decision to enter a primary. The term filing fee has long been
thought to cover the cost of filing, that is, the cost of placing a particular
document on the public record.