The
Supreme Court of the United States
The Supreme Court of the United States (SCOTUS) is the highest court in the federal judiciary of the United States. It has ultimate appellate jurisdiction over all U.S. federal court cases, and over state court cases that involve a point o ...
has interpreted the Case or Controversy Clause of
Article III of the United States Constitution
Article Three of the United States Constitution establishes the judicial branch of the U.S. federal government. Under Article Three, the judicial branch consists of the Supreme Court of the United States, as well as lower courts created by United ...
(found in Art. III, Section 2, Clause 1) as embodying two distinct limitations on exercise of
judicial review
Judicial review is a process under which executive, legislative and administrative actions are subject to review by the judiciary. A court with authority for judicial review may invalidate laws, acts and governmental actions that are incompat ...
: a bar on the issuance of
advisory opinion
An advisory opinion is an opinion issued by a court or a commission like an election commission that does not have the effect of adjudicating a specific legal case, but merely advises on the constitutionality or interpretation of a law. Some cou ...
s, and a requirement that parties must have
standing.
First, the Court has held that the clause identifies the scope of matters which a federal court can and cannot consider as a case (i.e., it distinguishes between lawsuits within and beyond the institutional competence of the federal judiciary), and limits federal
judicial power
The judiciary (also known as the judicial system, judicature, judicial branch, judiciative branch, and court or judiciary system) is the system of courts that adjudication, adjudicates legal disputes/disagreements and interprets, defends, and app ...
only to such lawsuits as the court is competent to hear.
For example, the Court has determined that this clause prohibits the issuance of advisory opinions (in which no actual issue exists but an opinion is sought), and claims where the appellant stands to gain only in a generalized sense (i.e. no more or less than people at large), and allows only the adjudication of claims where (1) the plaintiff has actually and personally suffered injury or harm "in fact", (2) the injury or harm suffered by the plaintiff is fairly traceable to the defendant's actions and (3) the injury or harm would be capable of redress by the court.
As with all parts of the law, there are exceptions. One of the most significant deals with free speech and free expression cases involving the
First Amendment
First or 1st is the ordinal form of the number one (#1).
First or 1st may also refer to:
*World record, specifically the first instance of a particular achievement
Arts and media Music
* 1$T, American rapper, singer-songwriter, DJ, and rec ...
where a party suing over a restriction on freedom of speech issues can argue the unconstitutionality of a statute restricting certain types of speech or expression, even where the restriction might not directly affect them, such as a bookseller or video game dealer may argue that a restriction on some media restricts their customer's ability to choose various works and the restrictions could have a "
chilling effect
In a legal context, a chilling effect is the inhibition or discouragement of the legitimate exercise of natural and legal rights by the threat of legal sanction. A chilling effect may be caused by legal actions such as the passing of a law, the ...
" on some publishers who might not release some works that would be affected by the law. Other than this, generally, there are usually no exceptions to the standing issue at the Federal level.
Secondly, the Court has interpreted the Clause as limiting Congress's ability to confer federal courts jurisdiction. It establishes an outer limit of the types of matters within which Congress may constitutionally confer jurisdiction. Historically, the Court has not interpreted this Clause to limit
Congressional power
Powers of the United States Congress are implemented by the United States Constitution, defined by rulings of the Supreme Court, and by its own efforts and by other factors such as history and custom. It is the chief legislative body of the Unit ...
to ''restrict'' the jurisdiction of the federal courts.
The delicate phrasing of the Clause and the ambiguity of the terms therein has inspired frequent academic debate. Though the Supreme Court has given much attention to the legal issues arising from this provision of the Constitution, many problematic issues remain unresolved. Many critics argue that the
standing
Standing, also referred to as orthostasis, is a position in which the body is held in an ''erect'' ("orthostatic") position and supported only by the feet. Although seemingly static, the body rocks slightly back and forth from the ankle in the s ...
requirements imposed by the Case or Controversy Clause allow judges to push off difficult issues, ponder the merits of a case before parties had fair opportunity to litigate, and walk away from the responsibility of applying laws that judges may find distasteful.
Text
Article III, Section 2, Clause 1 of the Constitution states:
This clause, in addition to setting out the scope of the jurisdiction of the federal judiciary, prohibits courts from issuing
advisory opinion
An advisory opinion is an opinion issued by a court or a commission like an election commission that does not have the effect of adjudicating a specific legal case, but merely advises on the constitutionality or interpretation of a law. Some cou ...
s, or from hearing cases that are either
unripe
Ripening is a process in fruits that causes them to become more palatable. In general, fruit becomes sweeter, less green, and softer as it ripens. Even though the acidity of fruit increases as it ripens, the higher acidity level does not make the ...
, meaning that the controversy has not arisen yet, or
moot
Moot may refer to:
* Mootness, in American law: a point where further proceedings have lost practical significance; whereas in British law: the issue remains debatable
* Moot court, an activity in many law schools where participants take part in s ...
, meaning that the controversy has already been resolved.
History of legal application
The earliest expression by the
United States Supreme Court
The Supreme Court of the United States (SCOTUS) is the highest court in the federal judiciary of the United States. It has ultimate appellate jurisdiction over all U.S. federal court cases, and over state court cases that involve a point o ...
of adherence to this requirement came during the
presidency
A presidency is an administration or the executive, the collective administrative and governmental entity that exists around an office of president of a state or nation. Although often the executive branch of government, and often personified by a ...
of
George Washington
George Washington (February 22, 1732, 1799) was an American military officer, statesman, and Founding Father who served as the first president of the United States from 1789 to 1797. Appointed by the Continental Congress as commander of th ...
. Washington sent a letter to the Court asking for their approval should he choose to seek advice from them from time to time on matters that might not come before the Court in a timely manner. Chief Justice
John Jay
John Jay (December 12, 1745 – May 17, 1829) was an American statesman, patriot, diplomat, abolitionist, signatory of the Treaty of Paris, and a Founding Father of the United States. He served as the second governor of New York and the first ...
wrote in his response that, although the members of the Court had great confidence in the ability of the president to receive appropriate advice from his executive officers, the Court itself was constitutionally bound not to go beyond its role as an arbiter of judicial questions.
The most famous case setting forth the parameters of this requirement is ''
Muskrat v. United States
''Muskrat v. United States'', 219 U.S. 346 (1911),. was a List of landmark court decisions in the United States, landmark United States Supreme Court case in which the Court delineated the authority of United States federal courts to hear certain ...
'', 219 U.S. 346 (1911), in which the Court held that when Congress paid the legal bills for both the
plaintiff
A plaintiff ( Π in legal shorthand) is the party who initiates a lawsuit (also known as an ''action'') before a court. By doing so, the plaintiff seeks a legal remedy. If this search is successful, the court will issue judgment in favor of the p ...
s and the
defendant
In court proceedings, a defendant is a person or object who is the party either accused of committing a crime in criminal prosecution or against whom some type of civil relief is being sought in a civil case.
Terminology varies from one jurisdic ...
(in this case the
U.S. Treasury
The Department of the Treasury (USDT) is the national treasury and finance department of the federal government of the United States, where it serves as an executive department. The department oversees the Bureau of Engraving and Printing and t ...
department, by designation), then there was no real controversy between the parties, and a judgment of the Court would be the equivalent of an advisory opinion.
The boundaries of the "case and controversy" clause are open to dispute. For instance, the Court has held that where the controversy between parties has ceased because of a change in facts, it has no jurisdiction. However, where the case or controversy ceases—or, in legal terms, is "mooted"—after a case is filed, the Court may render a decision in the interest of justice. In ''
Roe v. Wade
''Roe v. Wade'', 410 U.S. 113 (1973),. was a landmark decision of the U.S. Supreme Court in which the Court ruled that the Constitution of the United States conferred the right to have an abortion. The decision struck down many federal and st ...
'', for instance, the Court applied the mootness exception for cases "capable of repetition, yet evading review." Justice
Harry Blackmun
Harry Andrew Blackmun (November 12, 1908 – March 4, 1999) was an American lawyer and jurist who served as an Associate Justice of the Supreme Court of the United States from 1970 to 1994. Appointed by Republican President Richard Nixon, Blac ...
wrote that due to the natural limitation of the human gestation period, issues concerning pregnancy will always come to term before the appellate process is complete. ''
Roe v. Wade
''Roe v. Wade'', 410 U.S. 113 (1973),. was a landmark decision of the U.S. Supreme Court in which the Court ruled that the Constitution of the United States conferred the right to have an abortion. The decision struck down many federal and st ...
'' 410 U.S. 113 (1973). Therefore, the Supreme Court could rule on the constitutionality of an abortion law despite the issue being
moot
Moot may refer to:
* Mootness, in American law: a point where further proceedings have lost practical significance; whereas in British law: the issue remains debatable
* Moot court, an activity in many law schools where participants take part in s ...
at the time of adjudication.
Interpretation
The U.S. Supreme Court observed in ''
DaimlerChrysler Corp. v. Cuno'' (2006): "No principle is more fundamental to the judiciary’s proper role in our system of government than the constitutional limitation of federal-court jurisdiction to actual cases or controversies.” The case-or-controversy requirement of Article III of the constitution requires plaintiffs to establish their standing to sue. Article III standing law is built on separation-of-powers principles. Its purpose is to prevent the judicial process from being used to usurp the powers of the legislative and executive branch of the U.S. federal government. Article III standing requires an injury that is “concrete, particularized and actual or imminent; fairly traceable to the challenged action and redressable by a favorable ruling.”
Generally, the clause is taken to mean that a vague, broad injury is not grounds for a federal lawsuit. Relevant cases:
: ''
Lujan v. Defenders of Wildlife'' ("
personraising 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."), ''
Allen v. Wright'' ("an asserted right to have the Government act in accordance with law is not sufficient, standing alone, to confer jurisdiction on a federal court"), ''
Diamond v. Charles'' (Article III standing "is not to be placed in the hands of ‘concerned bystanders,’ for use as a ‘vehicle for the vindication of value interests.’"), ''
Arizonans for Official English'' ("Nor has this Court ever identified initiative proponents as Article-III-qualified defenders of the measures they advocated."), ''
Karcher v. May
''Karcher v. May'', 484 U.S. 72 (1987), was a school prayer case in which the Supreme Court of the United States held that the former presiding officers of the New Jersey legislature did not have Article III standing (law), standing to appeal a ca ...
'' (Citizens who had standing in their 'public official' roles did not retain standing once they left public office), ''
Hollingsworth v. Perry'' ("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"), and numerous other cases.
The clause does not forbid individual States from granting standing to such parties; it only mandates that federal courts may not do so:
[Hollingsworth v. Perry, 570 U.S. (2013)]
: "The Court does not question
he State's
He or HE may refer to:
Language
* He (pronoun), an English pronoun
* He (kana), the romanization of the Japanese kana へ
* He (letter), the fifth letter of many Semitic alphabets
* He (Cyrillic), a letter of the Cyrillic script called ''He'' in ...
sovereign right to maintain an initiative process, or the right of initiative proponents to defend their initiatives in
tate
Tate is an institution that houses, in a network of four art galleries, the United Kingdom's national collection of British art, and international modern and contemporary art. It is not a government institution, but its main sponsor is the U ...
courts. But standing in federal court is a question of federal law, not state law. 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 this Court’s settled law to the contrary. Article III’s 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 the federal system of separated powers. States cannot alter that role simply by issuing to private parties who otherwise lack standing a ticket to the federal courthouse." (''
Hollingsworth v. Perry'')
References
{{DEFAULTSORT:Case Or Controversy Clause
Article Three of the United States Constitution
Clauses of the United States Constitution
United States civil procedure