rss
0

Exploiting A ‘Dynamic’ Interpretation? The Israeli High Court of Justice Accepts the Legality of Israel’s Quarrying Activities in the Occupied Palestinian Territory

Exploiting A ‘Dynamic’ Interpretation? The Israeli High Court of Justice Accepts the Legality of Israel’s Quarrying Activities in the Occupied Palestinian Territory



 Valentina Azarov is a lecturer in human rights and international law and the chair of the Human Rights Program at the Al-Quds Bard College, Al-Quds University, East Jerusalem, Palestine. Formerly she worked as a legal researcher with Al-Haq, a Palestinian human rights organisation, with consultative UN ECOSOC status, and HaMoked-Centre for the Defense of the Individual, a legal aid human rights group that submits petitions before the Israeli High Court on violations of Palestinian rights in the occupied Palestinian territory. She is also an author for the International Law Observer.


On 26 December 2011, the Israeli High Court of Justice rendered its judgment in the case concerning Israel’s quarrying activities in the occupied Palestinian territory filed by the Israeli human rights organisation Yesh Din, who demanded that Israel terminate its quarrying activities since they violate Israel’s obligation as an Occupying Power to administer the occupied territory for the benefit of the local population (HCJ 2164/09 Yesh Din v The Commander of the Israeli Forces in the West Bank et al. (Unofficial English translation)). The judgment is an important occasion for examining the Court’s practice of applying international law to the manner in which the Israeli authorities’ administer the occupied Palestinian territory. By adopting a dynamic interpretation of the principles of the international law of belligerent occupation, in particular the ‘usufruct rule’ enshrined in Article 55 of the 1907 Hague Regulations, the Court’s ruling construes a right for the Israeli authorities to extensively exploit the natural resources in the Palestinian territory for the benefit of the Israeli private market. Among others, Gross’ Op-Ed on the judgment in the Israeli daily newspaper Haaretz, notes the purposive character of the Court’s argumentation, and the way in which its verdict violates the rules of the international law of belligerent occupation.


On 10 January 2012, Yesh Din submitted a request for a further hearing in the case with a larger panel of judges to examine a set of principled legal questions raised by the judgment. An amicus curiae brief was also presented to the Court by a group of Israeli international law scholars stating that the Court erred in its interpretation of Articles 43 and 55 of the Hague Regulations and concluding that the Court’s analysis is inconsistent with the most fundamental principles of the law of occupation.


Israel started operating quarries in the occupied Palestinian territory in the 1970s, with their production levels growing incrementally since. Today, there are ten quarries, eight of which are in operation. According to the petitioners, the majority of their yielded product (approximately 75%) is transferred for use in the Israeli construction market, whilst in some of these quarries the percentage of output transferred to the Israeli private market reaches 94%. The State claimed that the current level of production makes for about half a percent of the total potential production quota, and noted that Palestinian workers are being employed in the quarries and that royalties are paid to the Civil Administration, the Israeli military government in the occupied Palestinian territory, from the quarries’ operation (paragraph 1 of the judgment).



The PLO-Israel Interim Agreements 1995 and Israel’s quarries in occupied territory


Before considering the petitioners’ arguments, the Court examines the PLO-Israel Interim Agreements 1995 in which the parties agreed to transfer rights over the quarries to the Palestinian Authority (which was created by the Agreements to administer the occupied territory). Whilst noting the political character of these practical arrangements, the Court holds that Israel’s (legal) right to operate quarries was ‘settled’ in the Agreements (Article 31 to the First Addition to Annex 3 (Civil Annex)),



“it seems that the Petitioner may have forgotten that the best interests of the protected population – certainly considering the manner by which such interests have been portrayed in this petition – lie within the responsibility of the Palestinian Authority […] the Interim Agreement stipulates that responsibility over the issue of quarries […] shall be gradually transferred from the Civil Administration to Palestinian hands […] the Israeli and Palestinian parties had seen fit to maintain explicitly the status of quarries operating within Area C, such that it could be determined in the course of future negotiations over the final agreement” (paragraph 6 of the judgment).


The Court effectively makes the issue of Israel’s quarrying activities in the occupied territory a ‘non-justiciable’, political matter, resulting in its dismissal since the Court “shall not involve itself […] in petitions whose dominant aspect consists of considerations of the political-national-security kind” (Ibid). Critically, the Court fails to mention that the responsibilities in question were never actually transferred to the Palestinian Authority. This conclusion thereby disregards the fact that, based on the application of the Agreements, Israel’s quarrying activities in the occupied territory are being undertaken ultra vires (as noted in the Amicus Curiae brief submitted to the Court in a request for a further hearing, following the judgment). Instead, in light of the perceived relevance of the Agreements to the resolution of these questions, it adds,



“The suitable framework for deciding the issue of the future activities of Israeli quarries in the Area is within the framework of diplomatic agreements, wherein the Petitioner would not be an eligible party to bring claims before the State. This is true in particular considering the fact that, as aforementioned, the Petitioner’s arguments were eventually based on an alleged general infringement of Palestinian rights under circumstances in which the Palestinian Authority itself had been a party to a settlement referring to the activities of the Quarries within the Interim Agreements” (Ibid).


This reasoning not only appears to grant the Agreements a quasi-legal character, but it also implies that the (political) Agreements can trump Israel’s international law obligations, effectively affirming Israel’s violation of the law of occupation and allowing for the Israeli authorities extensive exercise of rights in excess of the limits of the law of occupation, in territory where it is not the legitimate sovereign. The Court’s reasoning also contravenes the basic international law rule that holds that a State may not invoke the provisions of its internal law as justification for its failure to fulfill its obligations under international law (enshrined in Article 27 of the 1969 Vienna Convention on the Law of Treaties).


Critically, the Court’s understanding of the status and consequence of the Agreements on the applicable framework of international law also ignores the ultimate purpose of the law of occupation, which guarantees the inviolability of protected persons’ rights by prohibiting the occupied population, and their representatives, from legally waiving their rights. Whilst the relevant provisions of the Fourth Geneva Convention (GCIV) refer to the rights “secured to them by the present Convention”, it remains unclear whether these include the rights provided for in the Hague law of occupation (viz. 1907 Hague Regulations). It is suggested that a functional, contextual interpretation of the law of occupation would presume protection for the ‘usufruct rule’ along with the individual and collective human rights that complement it (i.e. the right to self-determination and Article 25 of the 1966 International Covenant on Economic Social and Cultural Rights), thereby barring any argument concerning their possible waiver by the Palestinian Authority in the context of the Agreements. Admittedly, this is not a clear-cut application of the law, which has been subject to relatively little doctrinal discussion.


A partial understanding of the limits set by the ‘usufruct rule’


The ‘usufruct rule’ is codified in Article 55 of the 1907 Hague Regulations, which reads as follows,



“The occupying State shall be regarded only as administrator and usufructuary of public buildings, real estate, forests, and agricultural estates belonging to the hostile State, and situated in the occupied country. It must safeguard the capital of these properties, and administer them in accordance with the rules of usufruct.”


 It is unquestionably a provision that is in itself unclear and affords very little guidance on either the purpose, use or quantitative limits of exploitation of natural resources by the Occupying Power in the occupied territory. Hence, the rule has been subject to varying interpretations. The view taken by the majority of publicists, and discussed by Arai-Takahashi in his seminal work on the law of occupation, is based on the rule that prohibits the Occupying Power to undertake permanent changes in the occupied territory, which thereby forbids it from either exploiting a mine at a rate more rapid than the previous level of production, or opening mines that were not in use prior to occupation.


A correct interpretation of the rule should be based on a contextual interpretation and an astute understanding of the general principles governing belligerent occupation, particularly the two important limits on the exploitation activities in occupied territory: (i) they must not have permanent effects and (ii) they must not be undertaken to the detriment of the local population. As such, these limitations strictly prohibit the occupier from interfering with the economic activity of the occupied territory with a view to drawing economic benefits for itself (see Antonio Cassese, ‘Powers and Duties of an Occupant in Relation to Land and Natural Resources’ in Emma Playfair ed., International Law and the Administration of Occupied Territories, Clarendon Press, 1992). This was the case with Israel’s exploitation of oil fields in the Sinai Peninsula, which violated Article 55 on the grounds that Israel was exploiting the economic resources of an occupied territory primarily for the purpose of domestic consumption, exceeding the level necessary to meet the expenses of occupation.


Already at the early stages of its analysis, based solely on these three sources – namely, Dinstein, Von Glahn and the Black’s law dictionary – the Court confidently arrives at the conclusion that so long as the property is not excessively damaged, the occupier is permitted to enjoy its products, seemingly even if these are used to cater to the interests of private actors on the Occupying Power’s private market (paragraph 7 of the judgment). At the crux of its analysis, whilst noting that the ‘usufruct rule’ remains “under dispute among scholars” (Ibid), the Court embarks on an examination of the two main legal issues in question: (1) the extent of the exploitation – whether new quarries can be established by the Occupying Power; and (2) the use of the product of exploitation – whether the interests of the local population are being served.


On the first issue, the petitioners claimed that quarrying might be allowed “only on a narrow exception known as ‘the principle of continuity’, to maintain the operation of quarries that existed preceding the occupation, whilst the State argued that such activities are “permitted subject to the principle of reasonableness”, for as long as they are not “damaging to the capital” (paragraph 8). Interestingly, in accepting the State’s arguments, the Court sidesteps the scholarship of Seibel and Dinstein, who hold that the production of minerals is allowed only in existing mines. Instead, the Court bases its conclusion on the work of Zamir on “State Lands in Judea and Samaria [Israel’s name for the West Bank]” – a publication examining the Israel‘s land system in the occupied territory which includes practices of unlawful appropriation of land that is most often allocated for the construction of settlements – where he notes that “there are different opinions as to whether and to what extent said occupier is entitled to develop new mines” (paragraph 8 of the judgment). The Court also cites the American Military Manual, the UK Manual on the Law of Armed Conflict and Canada’s LOAC Manual in affirming that the occupier’s only obligation is to ensure that the natural resources of the occupied territory are not depleted or overused, which is the basis for its conclusion that there is nothing to prevent an Occupying Power from opening new quarries that did not exist preceding the occupation (Ibid).


Having exposed the uncertainty that exists in the interpretation of these provisions, instead of resorting to the widely accepted methods of treaty interpretation (codified in the Vienna Convention on the Law of Treaties), which at the very minimum reflect the object and purpose of the law of occupation, the Court arrives at the conclusion that the position presented by the State is reasonable, without properly questioning its premise. The Court’s conclusion that Israel’s quarrying activities are in line with the ‘usufruct rule’ ignores the fact that the current extent of these activities is bringing about the quarries’ depletion – as officially indicated by the Israeli military government who stated that at the current mining rate the entirety of quarries in Area C would be exhausted in 38 years (paragraph 24 of the Amicus Curiae brief summary). It also ignores the occupier’s obligation “to restore, and ensure, as far as possible, public order and safety”, including the maintenance of normal life in the occupied territory for the benefit of the local population, as per Article 43 of the 1907 Hague Regulations, which requires that the economic activities of the occupied territory be developed on the basis of the will of the local population and for their benefit, as discussed below.


Legal concessions granted to the prolonged occupier


In prelude to its second question concerning the use of the product of exploitation, the Court recalls that due to the “unique circumstances of the Area” and its “prolonged occupation” regard should be had to the “duty to prevent the local economy from collapsing”, which the Court considers to be a facet of the ‘principle of continuity’ (paragraph 8 of the judgment). The Court notes that the application of “the principle of continuity, is a narrow interpretation that is not only unnecessary but might even cause economic stagnation and harm the interests of the Area [Israel’s name for the occupied West Bank]” (Ibid). Mindful of the importance of the “quasi-constitutional framework maxim of the belligerent occupation laws” set out in Article 43 of the 1907 Hague Regulations (Ibid), the Court asserts



“the traditional occupation laws require adjustment to the prolonged duration of the occupation, to the continuity of normal life in the Area and to the sustainability of economic relations between the two authorities – the occupier and the occupied […] This kind of conception supports the adoption of a wide and dynamic view of the duties of the military commander in the Area, which impose upon him, inter alia, the responsibility to ensure the development and growth of the Area in numerous and various fields, including the fields of economic infrastructure and its development” (paragraph 10 of the judgment).


The Court accepts the State’s interpretation of Article 55 as being “reasonable” (Ibid), and claims to conclude on the basis of a gründnorm of the law of occupation enshrined in Article 43 of the 1907 Hague Regulations, that the opening of new quarries in order to maintain relations between Israel and the Palestinian Authority serves the benefit of the local population, since it “does not constitute a depletion of the capital” (paragraph 11 of the judgment). The Court’s understanding of Article 43 ignores the underlying premise of its provisions, which prohibits the occupant from benefiting its own economic, national or social interests, whilst require that its decisions be for the benefit of the local population, and exceptionally for its military needs. As such, the Court’s rationale is based on a disjointed application of the rules of the law of occupation, interpreting Article 55 separately from the limits set by Article 43 – an application of the law that falls short not only of the respective purposes of each of these provisions, but also of the overall object and purpose of the law of occupation, which is the conservation of the fabric of life in the occupied territory.


Whilst the construction of an obligation to ensure the development of the occupied population is a welcomed pronouncement, such actions by the occupier should in all cases cater to the interest of the local population, including their social and economic needs, whilst reinforcing the limits concerning the benefit that the occupier can obtain from its activities in the occupied territory (paragraph 10 of the Amicus Brief summary). This obligation presumes that the occupier is granted only limited discretionary powers to fulfill this obligation, seeing that these are always susceptible to its abuse. In other words, the strengthening of the limitations placed on the occupier’s activities by the law of occupation is the only safeguard against the occupier turning into a political and administrative government in disguise that cannot be expected to genuinely cater to the interests of the local population without taking its own interests into consideration.


On the basis of this “dynamic view” of Article 43, the Court proceeds to accept the legality of the sale of the quarries’ products on the private Israeli market by holding that they contribute to sustaining “relations between the authorities”, i.e. Israel and the Palestinian Authority (paragraph 10 of the judgment). In doing so, the Court construes the economic relations between the authorities, which cater primarily to Israel’s domestic interests and afford no concrete benefit to the Palestinian economy, as a means by which Israel fulfills its obligation to provide for the benefit of the local population. Since the new quarries have already been established and have been operational for a considerable number of years, the Court affirms that their potential closure is bound to cause economic instability in the occupied territory (noting the involvement of Palestinian workers in their operation), which would result in a breach of Israel’s obligations under the law of occupation. Instead, the Court’s judgment states the following,



 “adopting the Petitioner’s strict view might result in the failure of the military commander to perform his duties pursuant to international law. For instance, adopting the stance, according to which under the current circumstances the military commander must cease the operations of the Quarries, might cause harm to existing infrastructures and a shut-down of the industry, which might consequently harm, of all things, the wellbeing of the local population” (paragraph 12 of the judgment).


Interestingly, the Court adopts the position that to remedy an ongoing breach, flowing from the quarries’ current activities, another breach needs to occur. It reaches this conclusion without undertaking a balancing exercise to examine the circumstances of this reality. This logic also seems to justify Israel’s ongoing violation of Article 55 through a broad, concessional interpretation of Article 43 – in other words, whilst exploitation activities exceed the ‘usufruct rule’, they are construed to be for the benefit of the local population and therefore legal. This conclusion ignores an important premise for the application of the law of occupation that assumes the need to respect the will of the local population in the occupied territory so as not to infringe upon their right to self-determination, which can be said to be at least partially suspended while the legitimate sovereign is incapable of exercising effective control and administering the daily life of the occupied territory.


Moreover, the notion of the ‘benefit to the local population’ adopted by the Court clearly includes the benefit of the Israeli settler population in the occupied Palestinian territory by including the use of the quarries’ products for “projects within the Judea and Samaria area” in reference to the cases of Naale and Givat Nili settlements where the Court confirmed that the use of these products in settlements fulfilled the definition of “the benefit of the local population or local needs” (paragraph 12 of the judgment). Thus, the Court’s interpretation of the term “local population”, following its own jurisprudence, includes Israeli settlers, who have been transferred to the occupied territory and maintained there by the Israeli government in clear contravention of international law.[1] Similarly, in a judgment rendered on 6 September 2011, in a case concerning the construction of the Tel-Aviv-Jerusalem train line (the A1 train), the Court upheld a creative interpretation of the notion of ‘the benefit of the local population’ presented by the State – based on an unsubstantiated plan for a train system that would connect Israeli train lines with train lines in the West Bank and Gaza Strip to be constructed in the future – as one of the main arguments for accepting Israel’s requisitioning of private land owned by villages in the occupied territory as being in the interests of the local population (HCJ  281/11 Head of Beit Iksa Village Council v Minister of Defense et al., paragraph 7 (Hebrew)).


The Court’s analysis arrives at the conclusion that the petition should be dismissed. It bases this conclusion on the procedural arguments submitted by the State coupled with an acknowledgement of the current state of affairs created by Israel’s ongoing violations of international law. According to the Court, therefore, it is not only impractical but also counter-intuitive to interfere with the executive power and demand the State’s adherence to what it perceives to be largely unclear, debatable principles of the law of occupation. The Court’s final remarks are presented as follows,



“in light of the common economic interests of both the Israeli and Palestinian parties and the prolonged period of occupation. In that context, it shall be noted that considering the significant delay underlying the petition, in light of the many years during which the Quarries have been operating in their current format and the harm that could be inflicted should the requested remedy be granted, the Petitioner had an especially heavy burden while attempting to establish its arguments. However, it seems to us that the aforementioned array of aspects displays before us a reality that is far more complex than the one presented by the Petitioner and by its strict interpretive stance […] we have found that the State’s revised position in regard to the operation of the Quarries in the Area does not constitute a cause for our intervention therein. The petition is therefore dismissed” (paragraph 13 of the judgment).


The Israeli HCJ and Israel’s administration of Palestinian territory


The interpretation of the ‘usufruct rule’ adopted by the Court effectively dons the Israeli authorities’ exploitation of Palestinian natural resources for benefit of Israel’s private market with a mantle of legality. In doing so, it offers a selective interpretation of the rule by disregarding a fundamental and irreconcilable underlying premise of the law of occupation, which requires that the Occupying Power act in the benefit of the local population. As such, the Quarries judgment recalls the work of Ben-Naftali on the illegality of the territorial regime maintained by Israel in Palestinian territory, which demonstrates that law is implicated in maintaining Israel’s practice of blurring boundaries by unlawfully exercising sovereign rights in territory where it is not a legitimate sovereign by systematically exceeding the limits of the law of occupation.


In exploring the application of international law by the Court, we should not forget the curious context in which the HCJ performs its judicial role; that in which the Israeli government, in particular its Ministry of Foreign Affairs, has consistently rejected the position that Palestinian territory is occupied, whilst the HCJ has applied only the humanitarian provisions of the Geneva Conventions (as opposed to applying the law of belligerent occupation en bloc). As such, the HCJ’s judicial review of the Israeli authorities’ acts has often consisted of so-called ‘dynamic’ interpretations of the law that the Court effectively tailors to the needs of the State. In doing so, whilst the Court appears to be applying international humanitarian law, it is undermining and violating its essential tenets. The Quarries judgment is a case in point for the Court’s practice of deferring to and being an apologist for the executive power. Whilst progressive, innovative interpretations of international law are sometimes necessary and should therefore be welcomed, these must fulfill and be vetted by a set of criteria that includes a guarantee of good faith in the application of the law. The Court’s long-standing practice, in an inherently imbalanced context where the Occupying Power’s national judicial authority receives petitions from the enemy population, arguably affirms its inability to fulfill these criteria.







[1] Namely, Article 49(6) of GCIV. This position has been affirmed by the international community in countless UN resolutions and the 2004 Advisory Opinion of the ICJ on the Separation Wall in the occupied Palestinian territory.



0

Declaration regarding the defeat of Germany and the assumption of supreme authority with respect to Germany by the Governments of the United States of America, the Union of Soviet Socialist Republics, the United Kingdom and the Provisional Government of the French Republic. June 5, 1945

Declaration regarding the defeat of Germany and the assumption of supreme authority with respect to Germany by the Governments of the United States of America, the Union of Soviet Socialist Republics, the United Kingdom and the Provisional Government of the French Republic.
June 5, 1945

The German armed forces on land, at sea and in the air have been completely defeated and have surrendered unconditionally and Germany, which bears responsibility for the war, is no longer capable of resisting the will of the victorious Powers. The unconditional surrender of Germany has thereby been effected, and Germany has become subject to such requirements as may now or hereafter be imposed upon her.
There is no central Government or authority in Germany capable of accepting responsibility for the maintenance of order, the administration of the country and compliance with the requirements of the victorious Powers.
It is in these circumstances necessary, without prejudice to any subsequent decisions that may be taken respecting Germany, to make provision for the cessation of any further hostilities on the part of the German armed forces, for the maintenance of order in Germany and for the administration of the country, and to announce the immediate requirements with which Germany must comply.
The Representatives of the Supreme Commands of the United States of America, the Union of Soviet Socialist Republics, the United Kingdom and the French Republic, hereinafter called the “Allied Representatives,” acting by authority of their respective Governments and in the interests of the United Nations, accordingly make the following Declaration:
The Governments of the United States of America, the Union of Soviet Socialist Republics and the United Kingdom, and the Provisional Government of the French Republic, hereby assume supreme authority with respect to Germany, including all the powers possessed by the German Government, the High Command and any state, municipal, or local government or authority. The assumption, for the purposes stated above, of the said authority and powers does not affect the annexation of Germany.
The Governments of the United States of America, the Union of Soviet Socialist Republics and the United Kingdom, and the Provisional Government of the French Republic, will hereafter determine the boundaries of Germany or any part thereof and the status of Germany or of any area at present being part of German territory.
In virtue of the supreme authority and powers thus assumed by the four Governments, the Allied Representatives announce the following requirements arising from the complete defeat and unconditional surrender of Germany with which Germany must comply:
Germany, and all German military, naval and air authorities and all forces under German control shall immediately cease hostilities in all theatres of war against the forces of the United Nations on land, at sea and in the air.
Article 2
a)    All armed forces of Germany or under German control, wherever they may be situated, including land, air, anti-aircraft and naval forces, the S.S., S.A. and Gestapo, and all other forces of auxiliary organisations equipped with weapons, shall be completely disarmed, handing over their weapons and equipment to local Allied Commanders or to officers designated by the Allied Representatives
b)    The personnel of the formations and units of all the forces referred to in paragraph (a) above shall, at the discretion of the Commander-in-Chief of the Armed Forces of the Allied State concerned, be declared to be prisoners of war, pending further decisions, and shall be subject to such conditions and directions as may be prescribed by the respective Allied Representatives.
c)    All forces referred to in paragraph (a) above, wherever they may be, will remain in their present positions pending instructions from the Allied Representatives.
d)    Evacuation by the said forces of all territories outside the frontiers of Germany as they existed on the 31st December, 1937, will proceed according to instructions to be given by the Allied Representatives.
e)    Detachments of civil police to be armed with small arms only, for the maintenance of order and for guard duties, will be designated by the Allied Representatives.
Article 3
a)    All aircraft of any kind or nationality in Germany or German-occupied or controlled territories or waters, military, naval or civil, other than aircraft in the service of the Allies, will remain on the ground, on the water or aboard ships pending further instructions.
b)    All German or German-controlled aircraft in or over territories or waters not occupied or controlled by Germany will proceed to Germany or to such other place or places as may be specified by the Allied Representatives.
Article 4
a) All German or German-controlled naval vessels, surface and submarine, auxiliary naval craft, and merchant and other shipping, wherever such vessels may be at the time of this Declaration, and all other merchant ships of whatever nationality in German ports, will remain in or proceed immediately to ports and bases as specified by the Allied Representatives. The crews of such vessels will remain on board pending further instructions.
b) All ships and vessels of the United Nations, whether or not title has been transferred as the result of prize court or other proceedings, which are at the disposal of Germany or under German control at the time of this Declaration, will proceed at the dates and to the ports or bases specified by the Allied Representatives.
Article 5
a)    All or any of the following articles in the possession of the German armed forces or under German control or at German disposal will be held intact and in good condition at the disposal of the Allied Representatives, for such purposes and at such times and places as they may prescribe:
i) all arms, ammunition, explosives, military equipment, stores and supplies and other implements of war of all kinds and all other war materials;
(ii)    all naval vessels of all classes, both surface and submarine, auxiliary naval craft and all merchant shipping, whether afloat, under repair or construction, built or building;
(iii)    all aircraft of all kinds, aviation and anti-aircraft equipment and devices;
(iv)    all transportation and communications facilities and equipment, by land, water or air;
(v)    all military installations and establishments, including airfields, seaplane bases, ports and naval bases, storage depots, permanent and temporary land and coast fortifications, fortresses and other fortified areas, together with plans and drawings of all such fortifications, installations and establishments;
(vi)    all factories, plants, shops, research institutions, laboratories, testing stations, technical data, patents, plans, drawings and inventions, designed or intended to produce or to facilitate the production or use of the articles, materials, and facilities referred to in sub-paragraphs (i), (ii), (iii), (iv) and (v) above or otherwise to further the conduct of war.
b)    At the demand of the Allied Representatives the following will be furnished:
(i)    the labour, services and plant required for the maintenance or operation of any of the six categories mentioned in paragraph (a) above; and
(ii)    any information or records that may be required by the Allied Representatives in connection with the same.
c)    At the demand of the Allied Representatives all facilities will be provided for the movement of Allied troops and agencies, their equipment and supplies, on the railways, roads and other land communications or by sea, river or air. All means of transportation will be maintained in good order and repair, and the labour, services and plant necessary therefor will be furnished.
a)    The German authorities will release to the Allied Representatives, in accordance with the procedure to be laid down by them, all prisoners of war at present in their power, belonging to the forces of the United Nations, and will furnish full lists of these persons, indicating the places of their detention in Germany or territory occupied by Germany. Pending the release of such prisoners of war, the German authorities and people will protect them in their persons and property and provide them with adequate food, clothing, shelter, medical attention and money in accordance with their rank or official position.
b)    The German authorities and people will in like manner provide for and release all other nationals of the United Nations who are confined, interned or otherwise under restraint, and all other persons who may be confined, interned or otherwise under restraint for political reasons or as a result of any Nazi action, law or regulation which discriminates on the ground of race, colour, creed or political belief.
c)    The German authorities will, at the demand of the Allied Representatives, hand over control of places of detention to such officers as may be designated for the purpose by the Allied Representatives.
Article 7
The German authorities concerned will furnish to the Allied Representatives:
a)    full information regarding the forces referred to in Article 2 (a), and, in particular, will furnish forthwith all information which the Allied Representatives may require concerning the numbers, locations and dispositions of such forces, whether located inside or outside Germany;
b)    complete and detailed information concerning mines, minefields and other obstacles to movement by land, sea or air, and the safety lanes in connection therewith. All such safety lanes will be kept open and clearly marked; all mines, minefields and other dangerous obstacles will as far as possible be rendered safe, and all aids to navigation will be reinstated. Unarmed German military and civilian personnel with the necessary equipment will be made available and utilized for the above purposes and for the removal of mines, minefields and other obstacles as directed by the Allied Representatives.
Article 8
There shall be no destruction, removal, concealment, transfer or scuttling of, or damage to, any military, naval, air, shipping, port, industrial and other like property and facilities and all records and archives, wherever they may be situated, except as may be directed by the Allied Representatives.
Pending the institution of control by the Allied Representatives over all means of communication, all radio and telecommunication installations and other forms of wire or wireless communications, whether ashore or afloat, under German control, will cease transmission except as directed by the Allied Representatives.
Article 10
The forces, ships, aircraft, military equipment, and other property in Germany or in German control or service or at German disposal, of any other country at war with any of the Allies, will be subject to the provisions of this Declaration and of any proclamations, orders, ordinances or instructions i ssued thereunder.
Article 11
a)    The principal Nazi leaders as specified by the Allied Representatives, and all persons from time to time named or designated by rank, office or employment by the Allied Representatives as being suspected of having committed, ordered or abetted war crimes or analogous offences, will be apprehended and surrendered to the Allied Representatives.
b)    The same will apply in the case of any national of any of the United Nations who is alleged to have committed an offence against his national law, and who may at any time be named or designated by rank, office or employment by the Allied Representatives.
c)    The German authorities and people will comply with any instructions given by the Allied Representatives for the apprehension and surrender of such persons.
Article 12
The Allied Representatives will station forces and civil agencies in any or all parts of Germany as they may determine.
Article 13
a)    In the exercise of the supreme authority with respect to Germany assumed by the Governments of the United States of America, the Union of Soviet Socialist Republics and the United Kingdom, and the Provisional Government of the French Republic, the four Allied Governments will take such steps, including the complete disarmament and demilitarization of Germany, as they deem requisite for future peace and security.
b)    The Allied Representatives will impose on Germany additional political, administrative, economic, financial, military and other requirements arising from the complete defeat of Germany. The Allied Representatives, or persons or agencies duly designated to act on their authority, will issue proclamations, orders, ordinances and instructions for the purpose of laying down such additional requirements, and of giving effect to the other provisions of this Declaration. All German authorities and the German people shall carry out unconditionally the requirements of the Allied Representatives, and shall fully comply with all such proclamations, orders, ordinances and instructions.
Article 14
This Declaration enters into force and effect at the date and hour set forth below. In the event of failure on the part of the German authorities or people promptly and completely to fulfill their obligations hereby or hereafter imposed, the Allied Representatives will take whatever action may be deemed by them to be appropriate under the circumstances.
Article 15
This Declaration is drawn up in the English, Russian, French and German languages. The English, Russian and French are the only authentic texts.

0

Agreement for the Provisional Administration of Venezia June 9, 1945

Agreement for the Provisional Administration of Venezia
June 9, 1945

1.
The portion of the territory of Venezia Giulia west of the line on the attached map which includes Trieste, the railways and roads from there to Austria via Gorizia, Caporetto, and Tarvisio, as well as Pola and anchorages on the west coast of Istria will be under the Command and control of the Supreme Allied Commander
2.
All Naval, Military and air forces west of the line on the attached map will be placed under his command from the moment at which this agreement comes into force. Yugoslav forces in the area must be limited to a detachment of regular troops not exceeding 2000 of all ranks. These troops will be maintained by the Supreme Allied Commander’s administrative services. They will occupy a district selected by the Supreme Allied Commander west of the dividing line and will not be allowed access to the rest of the area.
3.
Using an Allied Military Government, the Supreme Allied Commander will govern the areas west of the line on the attached map, Pola and such other areas on the west coast of Istria as he may deem necessary. A small Yugoslav Mission may be attached to the Headquarters of the Eighth Army as observers. Use will be made of any Yugoslav civil administration which is already set up and which in the view of the Supreme Allied Commander is working satisfactorily. The Allied Military Government will, however, be empowered to use whatever civil authorities they deem best in any particular place and to change administrative personnel at their discretion.
4.
Marshal Tito will withdraw the Yugoslav regular forces now in the portion of Venezia Giulia west of the line on the attached map as well as those in the town and vicinity of Pola by 08 hours GMT, June 12th 1945. Arrangements for the retention of the Yugoslav detachment referred to in paragraph 2 will be worked out between the Supreme Allied Commander and the Yugoslav High Command.
5.
Any irregular forces in this area will, according to the decision of the Supreme Allied Commander in each case, either hand in their arms to the Allied Military authorities and disband, or withdraw from the area.
The Yugoslav Government will return residents of the area whom they have arrested or deported with the exception of persons who possessed Yugoslav nationality in 1939, and make restitution of property they have confiscated or removed.
7.
This agreement in no way prejudices or affects the ultimate disposal of the parts of Venezia Giulia west of the line. Similarly the military occupation and administration by Yugoslavia of the parts of Venezia Giulia east of the line in no way prejudices or affects the ultimate disposal of that area.
Signed at Belgrade, June 9, 1945.
Dr. Ivan Subasic
Minister of Foreign Affairs, Yugoslavia
R. C. Skrine Stevenson
H. B. M. Ambassador
Richard C. Patterson Jr.
U.S. Ambassador

0

Agreement on Control Machinery in Austria July 4, 1945

Agreement on Control Machinery in Austria

July 4, 1945

The Governments of the United States of America, the Union of Soviet Socialist Republics and the United Kingdom of Great Britain and Northern Ireland and the Provisional Government of the French Republic;
in view of the declaration issued at Moscow on the 1st November 1943, in the name of the Governments of the United States of America, the Union of Soviet Socialist Republics and the United Kingdom, whereby the three Governments announced their agreement that Austria should be liberated from German domination, and declared that they wished to see re-established a free and independent Austria; and in view of the subsequent declaration issued at Algiers on 16th November, 1943, by the French Committee of National Liberation, concerning the independence of Austria;
have reached the following agreement with regard to the Allied Control Machinery which will operate in Austria until the establishment of a freely elected Austrian government recognized by the four Powers:
Article 1
The Allied Control Machinery in Austria will consist of an Allied Council, an Executive Committee and staffs appointed by the four Governments concerned, the whole organisation being known as the Allied Commission for Austria.
Article 2
a)    The Allied Council will consist of four Military Commissioners, one appointed by each of the Governments concerned. In addition to being members of the Allied Council, the Military Commissioners will each be in supreme command of the forces of occupation in Austria furnished by his Government.
Supreme authority in Austria will be exercised jointly, in respect of matters affecting Austria as a whole, by the Military Commissioners on instructions from their respective Governments, in their capacity as members of the Allied Council. Subject to this, each Military Commissioner, in his capacity as Commander-in- Chief of the forces of occupation furnished by his Government, will exercise supreme authority in the zone occupied by those forces. Each Commander-in- Chief in his zone of occupation will have attached to him for liaison duties military, naval and air representatives of the other Commanders-in-Chief of forces of occupation in Austria.
b)    The Allied Council will meet at least once in ten days; and it will meet at any time upon request of any one of its members. Decisions of the Allied Council shall be unanimous. The Chairmanship of the Allied Council will be held in rotation by each of its four members.
c) Each Military Commissioner will be assisted by a political adviser who will, when necessary, attend meetings of the Allied Council.
Article 3
The Executive Committee will consist of one high-ranking representative of each of the four Commissioners. Members of the Executive Committee will, when necessary, attend meetings of the Allied Council.
Article 4
a)    The staffs of the Allied Commission in Vienna, appointed by their respective national authorities, will be organised in the following Divisions:
Military; Naval; Air; Economic; Finance; Reparation, Deliveries and Restitution; Internal Affairs; Labour; Legal; Prisoners of War and Displaced Persons; Political; and Transport.
Adjustments in the number and functions of the Divisions may be made in the light of experience.
b)    At the head of each Division there will be four officials, one from each Power. Heads of Divisions will take part in meetings of the Executive Committee at which matters affecting the work of their Divisions are on the agenda.
c)    The staffs of the Divisions may include civilian as well as military personnel. They may also, in special cases, include nationals of other United Nations, appointed in a personal capacity.
Article 5
The Allied Council will
a)    initiate plans and reach decisions of the chief military, political, economic and other questions affecting Austria as a whole, on the basis of instructions received by each Commissioner from his Government;
b)    ensure appropriate uniformity of action in the zones of occupation. Article 6
The Executive Committee, acting on behalf of the Allied Council will
a)    ensure the carrying out of the decisions of the Allied Council through the appropriate Divisions of the Allied Commission referred to in Article 4;
b)    co-ordinate the activities of the Divisions of the Allied Commission, and examine and prepare all questions referred to it by the Allied Council.
Article 7
The Divisions of the Allied Commission will
a)    advise the Allied Council and the Executive Committee;
b)    carry out the decisions of the Allied Council conveyed to them through the Executive Committee.
Article 8
The primary tasks of the Allied Commission for Austria will be
a)    to ensure the enforcement in Austria of the provisions of the Declaration regarding the defeat of Germany signed at Berlin on 5th June, 1945;
b)    to achieve the separation of Austria from Germany;
c)    to secure the establishment, as soon as possible, of a central Austrian administrative machine;
d)    to prepare the way for the establishment of a freely elected Austrian government;
e)    meanwhile to provide for the administration of Austria to be carried on satisfactorily.
Article 9
In the period before the establishment of departments of a central Austrian administration, which period shall be as short as possible, the decisions of the Allied Commission, insofar as they may require action in the respective zones, will be carried out through the occupation authorities. The necessary instructions to those authorities will be given by the respective Military Commissioners, in their capacity as Commanders-in-Chief, on the basis of decisions of the Allied Council.
Article 10
As soon as departments of a central Austrian administration are in a position to operate satisfactorily, they will be directed to assume their respective functions as regards Austria as a whole. In the fulfilment of its tasks, the Allied Commission will thenceforward work through such departments. It will then be the duty of the Divisions of the Allied Commission to control the activities of the respective departments and to communicate to them the decisions of the Allied Council and Executive Committee.
Article 11
a) An Inter-Allied Governing Authority ( Komendatura ) consisting of four Commandants, one from each Power, appointed by their respective
Commissioners, will be established to direct jointly the administration of the City of Vienna. Each of the Commandants will serve in rotation, in the position of Chief Commandant, as head of the Inter-Allied Governing Authority.
b)    A Technical Staff, consisting of personnel of each of the four Powers, will be established under the Inter-Allied Governing Authority, and will be organised for the purpose of supervising and controlling the activities of the organs of the City of Vienna responsible for its municipal services.
c)    The Inter-Allied Governing Authority will operate under the general direction of the Allied Council and will receive orders through the Executive Committee.
Article 12
The necessary liaison with the Governments of other United Nations chiefly interested will be ensured by the appointment by such Governments of military missions (which may include civilian members) to the Allied Council.
Article 13
United Nations’ organizations which may be admitted by the Allied Council to operate in Austria will, in respect to their activities in Austria, be subordinate to the Allied Commission and answerable to it.
Article 14
The nature and extent of the Allied direction and guidance which will be required after the establishment of a freely elected Austrian Government recognised by the four Powers will form the subject of a separate agreement between those Powers.
The above text of the Agreement on Control Machinery in Austria between the Governments of the United States of America, the Union of Soviet Socialist Republics and the United Kingdom and the Provisional Govemment of the French Republic has been prepared and unanimously adopted by the European Advisory Commission at a meeting held on 4th July, 1945.
Representative of the Government of the United States of America on the European Advisory Commission: John G. Winant
Representative of the Government of the Union of Soviet Socialist Republics on the European Advisory Commission: F. T. Gousev
Representative of the Government of the United Kingdom on the European Advisory Commission: Ronald I. Campbell
Representative of the Provisional Government of the French Republic on the European Advisory Commission: R. Massigli

0

Agreement Relating to Prisoners of War and Civilians Liberated by Forces Operating Under Soviet Command and Forces Operating Under United States of America Command February 20, 1945

Agreement Relating to Prisoners of War and Civilians Liberated by Forces Operating Under Soviet Command and Forces Operating Under United States of America Command
February 20, 1945

The Government of the United States of America on the one hand and the Government of the Union of Soviet Socialist Republics on the other hand, wishing to make arrangements for the care and repatriation of United States citizens freed by forces operating under Soviet command and for Soviet citizens freed by forces operating under United States command, have agreed as follows:
Article 1
All Soviet citizens liberated by the forces operating under United States command and all United States citizens liberated by the forces operating under Soviet command will, without delay after their liberation, be separated from enemy prisoners of war and will be maintained separately from them in camps or points of concentration until they have been handed over to the Soviet or United States authorities, as the case may be, at places agreed upon between those authorities.
United States and Soviet military authorities will respectively take the necessary measures for protection of camps, and points of concentration from enemy bombing, artillery fire, etc.
Article 2
The contracting parties shall ensure that their military authorities shall without delay inform the competent authorities of the other party regarding citizens of the other contracting party found by them, and will at the same time take the necessary steps to implement the provisions of this agreement. Soviet and United States repatriation representatives will have the right of immediate access into the camps and points of concentration where their citizens are located and they will have the right to appoint the internal administration and set up the internal discipline and management in accordance with the military procedure and laws of their country.
Facilities will be given for the despatch or transfer of officers of their own nationality to camps or points of concentration where liberated members of the respective forces are located and there are insufficient officers. The outside protection of and access to and from the camps or points of concentration will be established in accordance with the instructions of the military commander in whose zone they are located, and the military commander shall also appoint a commandant, who shall have the final responsibility for the overall administration and discipline of the camp or point concerned.
The removal of camps as well as the transfer from one camp to another of liberated citizens will be effected by agreement with the competent Soviet or United States authorities. The removal of camps and transfer of liberated citizens may, in exceptional circumstances, also be effected without preliminary agreement provided the competent authorities are immediately notified of such removal or transfer with a statement of the reasons. Hostile propaganda directed against the contracting parties or against any of the United Nations will not be permitted.
Article 3
The competent United States and Soviet authorities will supply liberated citizens with adequate food, clothing, housing and medical attention both in camps or at points of concentration and en route, and with transport until they are handed over to the Soviet or United States authorities at places agreed upon between those authorities. The standards of such food, clothing, housing and medical attention shall, subject to the provisions of Article 8, be fixed on a basis for privates, non¬commissioned officers and officers. The basis fixed for civilians shall as far as possible be the same as that fixed for privates.
The contracting parties will not demand compensation for these or other similar services which their authorities may supply respectively to liberated citizens of the other contracting party.
Article 4
Each of the contracting parties shall be at liberty to use in agreement with the other party such of its own means of transport as may be available for the repatriation of its citizens held by the other contracting party. Similarly each of the contracting parties shall be at liberty to use in agreement with the other party its own facilities for the delivery of supplies to its citizens held by the other contracting party.
Article 5
Soviet and United States military authorities shall make such advances on behalf of their respective governments to liberated citizens of the other contracting party as the competent Soviet and United States authorities shall agree upon beforehand.
Advances made in currency of any enemy territory or in currency of their occupation authorities shall not be liable to compensation.
In the case of advances made in currency of liberated non-enemy territory, the Soviet and United States Governments will effect, each for advances made to their citizens necessary settlements with the Governments of the territory concerned, who will be informed of the amount of their currency paid out for this purpose.
Article 6
Ex-prisoners of war and civilians of each of the contracting parties may, until their repatriation, be employed in the management, maintenance and administration of the camps or billets in which they are situated. They may also be employed on a voluntary basis on other work in the vicinity of their camps in furtherance of the common war effort in accordance with agreements to be reached between the competent Soviet and United States authorities. The question of payment and conditions of labour shall be determined by agreement between these authorities. It is understood that liberated members of the respective forces will be employed in accordance with military standards and procedure and under the supervision of their own officers.
Article 7
The contracting parties shall, wherever necessary, use all practicable means to ensure the evacuation to the rear of these liberated citizens. They also undertake to use all practicable means to transport liberated citizens to places to be agreed upon where they can be handed over to the Soviet or United States authorities respectively. The handing over of these liberated citizens shall in no way be delayed or impeded by the requirements of their temporary employment.
Article 8
The contracting parties will give the fullest possible effect to the foregoing provisions of this Agreement, subject only to the limitations in detail and from time to time of operational, supply and transport conditions in the several theatres.
Article 9
This Agreement shall come into force on signature.
Done at the Crimea in duplicate and in the English and Russian languages, both being equally authentic, this eleventh day of February, 1945.
For the Government of the United States of America: John R. Deane, Major General, U.S.A.
For the Government of the Union of Soviet Socialist Republics: Lieutenant General Gryzlov

0

Statutes of the Allied Control Commission in Hungary Moscow, January 20, 1945

Statutes of the Allied Control Commission in Hungary
Moscow, January 20, 1945

1. The functions of the Allied Control Commission in Hungary shall consist of the regulation and control, for the period up to the conclusion of peace, over the exact fulfillment of the armistice terms set forth in the agreement concluded on January 20, 1945, between the governments of the Soviet Union, United Kingdom and the United States of America on the one hand and the Provisional Government of Hungary on the other.
2. The Allied Control Commission shall be headed by a Chairman who shall be the representative of the Soviet armed forces. Attached to him there shall be: a vice- chairman of the Commission; a political adviser; two assistants to the Chairman; a chief of staff of the Commission.
Representatives of the United Kingdom and the United States of America will be included in the composition of the Allied Control Commission.
The Allied Control Commission shall have its own seal.
The seat of the Allied Control Commission shall be Budapest.
3. The Allied Control Commission shall be composed of:
a) a staff
b) a political division
c) an administrative division
d) a military division
e) an air force division
f) a river fleet division
g) an economic division
4. During the first period, i.e. from the moment of the entry into force of the armistice to the end of hostilities against Germany, the Chairman (or Vice- Chairman) shall call meetings and inform the British and American representatives of policy directives (i.e. directives involving matters of general principle) prior to the issuance of such directives to the Hungarian authorities in the name of the Commission, and also take note of such observations as the British or American representatives may desire to make.
5. During this first period, the representatives of the United Kingdom and the United States of America shall have the right:
a) to receive oral and written information from Soviet officials of the Commission on any matters connected with the fulfillment of the armistice agreement.
b) to put forward for the consideration of the Commission proposals of their governments on questions connected with the fulfillment of the armistice agreement.
c) to receive copies of all communications, reports and other documents which may interest the governments of the United Kingdom and the United States of America.
d) to make journeys to the provinces. For this purpose they shall apply to the Vice-Chairman regarding the arrangements to be made.
e) to participate in general conferences or meetings of the chiefs of divisions of the Commission.
f) to communicate through the Chairman of the Commission, the ViceChairman, or the chief of the appropriate division, with the organs of the Hungarian Government.
g) to determine the size and composition of their own delegations.
h) to communicate directly with their respective governments by cipher telegram and by diplomatic mail, for which purpose they shall have the right to receive and despatch diplomatic couriers by air at regular intervals, by agreement with the Allied (Soviet) High Command.
i) to determine the amount of money required from the Hungarian Government for the expenses of their respective staffs and to obtain such funds through the Commission.
6. The Allied Control Commission shall have its representatives in the provinces, districts, ports, and at the most important enterprises for the organization of local control.
7. The Vice-Chairman and assistants to the Chairman of the Allied Control Commission and also the chiefs of divisions shall have the right, through the local military command, to call in specialist-officers for consultation, for making surveys
or for working out special questions which arise during the work of the Allied Control Commission.
8. Liaison with the Hungarian Governmental authorities shall be effected by representatives of the Allied Control Commission not lower than a chief of division of the Commission and in the provinces, districts and ports by the appropriate representatives of the Commission.

0

Agreement concerning an Armistice between the Union of Soviet Socialist Republics, the United Kingdom of Great Britain and Northern Ireland, andtThe United States of America on one hand and Hungary on the other Moscow, January 20, 1945

Agreement concerning an Armistice between the Union of Soviet Socialist Republics, the United Kingdom of Great Britain and Northern Ireland, andtThe United States of America on one hand and Hungary on the other
Moscow, January 20, 1945

The Provisional National Government of Hungary, recognizing the fact of the defeat of Hungary in the war against the Soviet Union, the United Kingdom, the United States of America, and other United Nations, accepts the armistice terms presented by the Governments of the above-mentioned three powers, acting on behalf of all the United Nations which are in a state of war with Hungary.
On the basis of the foregoing the representative of the Allied (Soviet) High Command, Marshal of the Soviet Union K. E. Voroshilov, duly authorized thereto by the Governments of the Soviet Union, the United Kingdom, and the United States of America, acting on behalf of all the United Nations which are at war with Hungary, on the one hand and the representatives of the Provisional National Government of Hungary, Minister of Foreign Affairs Mister Gyongyosi Janos, Minister of Defense Colonel General Voros Janos and State Secretary of the Cabinet of Ministers Mister Balogh Istvan, on the other, holding proper full powers, have signed the following conditions:
1.
(a) Hungary has withdrawn from the war against the Union of Soviet Socialist Republics and other United Nations, including Czechoslovakia, has severed all relations with Germany and has declared war on Germany.
(b) The Government of Hungary undertakes to disarm German armed forces in Hungary and to hand them over as prisoners of war.
The Government of Hungary also undertakes to intern nationals of Germany.
(c) The Government of Hungary undertakes to maintain and make available such land, sea and air forces as may be specified for service under the general direction of the Allied (Soviet) High Command. In this connection Hungary will provide not less than eight infantry divisions with corps troops. These forces must not be used on allied territory except with the prior consent of the allied government concerned.
(d) On the conclusion of hostilities against Germany, the Hungarian armed forces must be demobilized and put on a peace footing under the supervision of the Allied Control Commission. (See Annex to Article I.)
2.
Hungary has accepted the obligation to evacuate all Hungarian troops and officials from the territory of Czechoslovakia, Yugoslavia, and Rumania occupied by her within the limits of the frontiers of Hungary existing on December 31, 1937, and also to repeal all legislative and administrative provisions relating to the annexation or incorporation into Hungary of Czechoslovak, Yugoslav and Rumanian territory.
3.
The Government and High Command of Hungary will ensure to the Soviet and other allied forces facilities for free movement on Hungarian territory in any direction if, in the opinion of the Allied (Soviet) High Command, the military situation requires this, the Government and High Command of Hungary giving such movement every possible assistance with their own means of communication and at their own expense on land, on water and in the air. ( See Annex to Article 3 ) .
4.
The Government of Hungary will immediately release all allied prisoners of war and internees. Pending further instructions the Government of Hungary will at its own expense provide all allied prisoners of war and internees, displaced persons and refugees, including nationals of Czechoslovakia and Yugoslavia, with adequate food, clothing, medical services, and sanitary and hygienic requirements, and also with means of transportation for the return of any such persons to their own country.
5.
The Government of Hungary will immediately release, regardless of citizenship and nationality, all persons held in confinement in connection with their activities in favor of the United Nations or because of their sympathies with the United Nations’ cause or for racial or religious reasons, and will repeal all discriminatory legislation and disabilities arising therefrom.
The Government of Hungary will take all necessary measures to ensure that all displaced persons or refugees within the limits of Hungarian territory, including Jews and stateless persons, are accorded at least the same measure of protection and security as its own nationals.
6.
The Government of Hungary undertakes to return to the Soviet Union, and also to Czechoslovakia and Yugoslavia and to the other United Nations, by the dates specified by the Allied Control Commission, and in complete good order, all valuables and materials removed during the war to Hungary from United Nations’ territory and belonging to state, public or cooperative organizations, enterprises, institutions or individual citizens, such as factory and works equipment, locomotives, rolling stock, tractors, motor vehicles, historic monuments, museum treasures and any other property.
The Government and High Command of Hungary undertake to hand over as booty into the hands of the Allied (Soviet) High Command all German war material located on Hungarian territory, including vessels of the fleet of Germany.
8.
The Government and High Command of Hungary undertake not to permit, without the authorization of the Allied Control Commission, the export or expropriation of any form of property (including valuables and currency) belonging to Germany or her nationals or to persons resident in German territory or in territories occupied by Germany. They will safeguard such property in the manner specified by the Allied Control Commission.
9.
The Government and High Command of Hungary undertake to hand over to the Allied (Soviet) High Command all vessels belonging or having belonged to the United Nations which are located in Hungarian Danubian ports, no matter at whose disposal these vessels may be, for use during the period of the war against Germany by the Allied (Soviet) High Command in the general interests of the Allies, these vessels subsequently to be returned to their owners.
The Government of Hungary will bear full material responsibility for any damage or destruction of the aforementioned property until the moment of its transfer to the Allied (Soviet) High Command.
10.
Hungarian merchant vessels, whether in Hungarian or foreign waters, shall be subject to the operational control of the Allied (Soviet) High Command for use in the general interests of the Allies.
11.
The Government of Hungary will make regular payments in Hungarian currency and provide commodities (fuel, foodstuffs, et cetera), facilities and services as may be required by the Allied (Soviet) High Command for the fulfillment of its functions as well as for the needs of missions and representatives of the allied states connected with the Allied Control Commission.
The Government of Hungary will also assure, in case of need, the use and regulation of the work of industrial and transport enterprises, means of communication, power stations, enterprises and installations of public utility, stores of fuel and other material, in accordance with instructions issued during the armistice by the Allied (Soviet) High Command or the Allied Control Commission. (See Annex to Article 11)
12.
Losses caused to the Soviet Union, Czechoslovakia and Yugoslavia by military operations and by the occupation by Hungary of the territories of these states will be made good by Hungary to the Soviet Union, Czechoslovakia and Yugoslavia, but taking into consideration that Hungary has not only withdrawn from the war against the United Nations but has declared war against Germany, the parties agree that compensation for the indicated losses will be made by Hungary not in full but only in part; namely, to the amount of 300 million American dollars payable over six years in commodities (machine equipment, river craft, grain, livestock, et cetera), the sum to be paid to the Soviet Union to amount to 200 million American dollars and the sum to be paid to Czechoslovakia and Yugoslavia to amount to 100 million American dollars.
Compensation will be paid by Hungary for loss and damage caused by the war to other allied states and their nationals, the amount of compensation to be fixed at a later date. (See Annex to Article 12)
13.
The Government of Hungary undertakes to restore all legal rights and interests of the United Nations and their nationals on Hungarian territory as they existed before the war and also to return their property in complete good order.
14.
Hungary will cooperate in the apprehension and trial, as well as the surrender to the governments concerned, of persons accused of war crimes.
15.
The Government of Hungary undertakes to dissolve immediately all pro-Hitler or other fascist political, military, pare-military and other organizations on Hungarian territory conducting propaganda hostile to the United Nations and not to tolerate the existence of such organizations in future.
16.
The publication, introduction and distribution in Hungary of periodical or non- periodical literature, the presentation of theatrical performances or films, the operation of wireless stations, post, telegraph and telephone services will take place in agreement with the Allied (Soviet) High Command. (See Annex to Article 16)
Hungarian civil administration will be restored in the whole area of Hungary separated by not less than 50-100 kilometres (depending upon conditions of terrain) from the front line, Hungarian administrative bodies undertaking to carry out, in the interests of the reestablishment of peace and security, instructions and orders of the Allied (Soviet) High Command or Allied Control Commission issued by them for the purpose of securing the execution of these armistice terms.
18.
For the whole period of the armistice there will be established in Hungary an Allied Control Commission which will regulate and supervise the execution of the armistice terms under the chairmanship of the representative of the Allied (Soviet) High Command and with the participation of representatives of the United Kingdom and the United States.
During the period between the coming into force of the armistice and the conclusion of hostilities against Germany, the Allied Control Commission will be under the general direction of the Allied (Soviet) High Command. (See Annex to Article 18)
19.
The Vienna Arbitration Award of November 2, 1938 and the Vienna Award of August 30, 1940 are hereby declared to be null and void.
20.
The present terms come into force at the moment of their signing.
Done in Moscow 20 January, 1945, in one copy which will be entrusted to the safekeeping of the Government of the Union of Soviet Socialist Republics, in the Russian, English and Hungarian languages, the Russian and English texts being authentic.
Certified copies of the present agreement, with annexes, will be transmitted by the Government of the Union of Soviet Socialist Republics to each of the other governments on whose behalf the present agreement is being signed.
For the Governments of the Union of Soviet Socialist Republics, the United Kingdom and the United States of America: K. Voroshilov
For the Provisional National Government of Hungary: Gyongyosi Janos, Voros Janos, Balogh Istvan
Annex to Agreement Concerning an Armistice between the Union of Soviet Socialist Republics, the United Kingdom of Great Britain and Northern Ireland, and the United States of America on one hand and Hungary on the other, Signed in Moscow 20 January, 1945.
A. Annex to Article 1
The Hungarian Military Command shall hand over to the Allied (Soviet) High Command within a period fixed by the latter all the information at its disposal regarding the German armed forces and the plans of the German Military Command for the development of military operations against the Union of Soviet Socialist Republics and the other United Nations, and also the charts and maps and all operational documents relating to the military operations of the German armed forces.
The measures provided for in Article I of the Agreement regarding the internment of nationals of Germany now in Hungarian territory do not apply to nationals of that country of Jewish origin.
B. Annex to Article 3
The assistance specified in Article 3 of the Agreement shall be taken to mean that the Government and High Command of Hungary will place at the disposal of the Allied (Soviet) High Command, for use at its discretion during the armistice, in complete good order and with the personnel required for their mainte nance, all Hungarian military, air and river fleet installations and buildings, ports, barracks, warehouses, airfields, means of communication and meteorological stations which might be required for military needs.
C. Annex to Article 11
The Government of Hungary will withdraw and redeem within such time limits and on such terms as the Allied (Soviet) High Command may specify, all holdings in Hungarian territory of currencies issued by the Allied (Soviet) High Command, and will hand over currency so withdrawn free of cost to the allied (Soviet) High Command.
The Government of Hungary will not permit the disposal of external Hungarian assets or the disposal of internal Hungarian assets to foreign governments or foreign nationals without the permission of the Allied (Soviet) High Command or Allied Control Commission.
D. Annex to Article 12
The precise nomenclature and varieties of commodities to be delivered by Hungary to the Soviet Union, Czechoslovakia and Yugoslavia in accordance with Article 12 of the Agreement and also the more precise periods for making these deliveries each year shall be defined in special agreements between the respective governments. These deliveries will be calculated at 1938 prices with an increase of fifteen percent for industrial equipment and ten percent for other goods.
As the basis of calculation for payment of the indemnity foreseen in Article 12 of the Agreement, the American dollar is to be used at its gold parity on the day of signing of the agreement, i.e. thirty-five dollars to one ounce of gold.
In connection with Article 12 it is understood that the Government of Hungary will immediately make available certain food and other supplies required for relief and rehabilitation of the population of those Czechoslovak and Yugoslav territories which have suffered as a result of Hungarian aggression. The quantities of the products to be delivered will be determined by agreement between the three governments and will be considered as part of the reparation by Hungary for the loss and damages sustained by Czechoslovakia and Yugoslavia.
E. Annex to Article 16
The Government of Hungary will ensure that wireless communication, telegraphic and postal correspondence, and correspondence in cipher and by courier, as well as telephonic communication with foreign countries, of embassies, legations and consulates situated in Hungary will be conducted in the manner laid down by the Allied ( Soviet ) High Command.
F. Annex to Article 18
Control over the exact execution of the armistice terms will be entrusted to the Allied Control Commission to be established in conformity with Article 18 of the Armistice Agreement.
The Government of Hungary and its organs shall fulfill all instructions of the Allied Control Commission arising out of the armistice agreement.
The Allied Control Commission will set up special organs or sections, entrusting them respectively with the execution of various functions. In addition, the Allied Control Commission may have its officers in various parts of Hungary.
The Allied Control Commission will have its seat in the city of Budapest.
Moscow, 20 January, 1945.
Protocol to the Armistice Agreement with Hungary
In signing the Armistice Agreement with the Government of Hungary, the Allied Governments signatory thereto have agreed as follows:
1. The term “war material” used in Article 7 shall be deemed to include all material or equipment belonging to, used by, or intended for use by the military or pare- military formations of the enemy or members thereof.
2. The use by the Allied (Soviet) High Command of allied vessels handed over by the Government of Hungary in accordance with Article 9 of the Armistice Agreement and the date of their return to their owners will be the subject of discussion and settlement between the Government of the Soviet Union and the Allied Governments concerned.
Done in Moscow in three copies, each in the Russian and English languages, the Russian and English texts being authentic.
January 20, 1945.
By authority of the Government of the Union of Soviet Socialist Republics: V. Dekanozov
For the Government of the United States of America: W. A. Harriman For the Government of the United Kingdom: John Balfour

0

Berlin (Potsdam) Conference: Protocol of the Proceedings (July 17 – August 2, 1945)

Berlin (Potsdam) Conference
July 17 – August 2, 1945

Protocol of the Proceedings
August 1, 1945
The Berlin Conference of the Three Heads of Government of the U. S. S. R., U. S. A., and U. K., which took place from July 17 to August 2, 1945, came to the following conclusions:
I. Establishment of a Council of Foreign Ministers.
A. The Conference reached the following agreement for the establishment of a Council of Foreign Ministers to do the necessary preparatory work for the peace settlements:
1) There shall be established a Council composed of the Foreign Ministers of the United Kingdom, the Union of Soviet Socialist Republics, China, France, and the United States.
2) (i) The Council shall normally meet in London which shall be the permanent seat of the joint Secretariat which the Council will form. Each of the Foreign Ministers will be accompanied by a high-ranking Deputy, duly authorized to carry on the work of the Council in the absence of his Foreign Ministers, and by a small staff of technical advisers.
(ii) The frst meeting of the Council shall be held in London not later than September 1st 1945. Meetings may be held by common agreement in other capitals as may be agreed from time to time.
3) (i) As its immediate important task, the Council shall be authorized to draw up, with a view to their submission to the United Nations, treaties of peace with Italy, Rumania, Bulgaria, Hungary and Finland, and to propose settlements of territorial questions outstanding on the termination of the war in Europe. The Council shall be utilized for the preparation of a peace settlement for Germany to be accepted by the Government of Germany when a government adequate for the purpose is established.
(ii) For the discharge of each of these tasks the Council will be composed of the Members representing those States which were signatory to the terms of surrender imposed upon the enemy State concerned. For the purposes of the peace settlement for Italy, France shall be regarded as a signatory to the terms of surrender for Italy. Other Members will be invited to participate when matters directly concerning them are under discussion.
(iii) Other matters may from time to time be referred to the Council by agreement between the Member Governments.
4) (i) Whenever the Council is considering a question of direct interest to a State not represented thereon, such State should be invited to send representatives to participate in the discussion and study of that question.
(ii) The Council may adapt its procedure to the particular problems under consideration. In some cases it may hold its own preliminary discussions prior to the participation of other interested States. In other cases, the Council may convoke a formal conference of the State chiefly interested in seeking a solution of the particular problem.”
B. It was agreed that the three Governments should each address an identical invitation to the Governments of China and France to adopt this text and to join in establishing the Council. The text of the approved invitation was as fo llows:
Council of Foreign Ministers Draft for identical invitation to be sent separately by each of the Three Governments to the Governments of China and France.
The Governments of the United Kingdom, the United States and the U. S. S. R. consider it necessary to begin without delay the essential preparatory work upon the peace settlements in Europe. To this end they are agreed that there should be established a Council of the Foreign Ministers of the Five Great Powers to prepare treaties of peace with he European enemy States, for submission to the United Nations. The Council would also be empowered to propose settlements of outstanding territorial questions in Europe and to consider such other matters as member Governments might agree to refer to it.
The text adopted by the Three Governments is as follows:
“In agreement with the Governments of the United States and U. S. S. R., His Majesty’s Government in the United Kingdom and U. S. S. R., the United States Government, the United Kingdom and the Soviet Government extend a cordial invitation to the Government of China (France) to adopt the text quoted above and to join in setting up the Council. His Majesty’s Government, The United States Government, The Soviet Government attach much importance to the participation of the Chinese Government (French Government) in the proposed arrangements and they hope to receive an early and favorable reply to this invitation”
C. It was understood that the establishment of the Council of Foreign Ministers for the specific purposes named in the text would be without prejudice to the agreement of the Crimea Conference that there should be periodical consultation between the Foreign Secretaries of the United States, the Union of Soviet Socialist Republics and the United Kingdom.
D. The Conference also considered the position of the European Advisory Commission in the light of the Agreement to establish the Council of Foreign Ministers. It was noted with satisfaction that the Commission had ably discharged its principal tasks by the recommendations that it had furnished for the terms of surrender for Germany, for the zones of occupation in Germany and Austria and for the inter-Allied control machinery in those countries. It was felt that further work of a detailed character for the coordination of Allied policy for the control of Germany and Austria would in future fall within the competence of the Control
Council at Berlin and the Allied Commission at Vienna. Accordingly it was agreed to recommend that the European Advisory Commission be dissolved.
II. The Principles to Govern the Treatment of Germany in the Initial Control Period
A. Political Principles.
1. In accordance with the Agreement on Control Machinery in Germany, supreme authority in Germany is exercised, on instructions from their respective Governments, by the Commanders-in-Chief of the armed forces of the United States of America, the United Kingdom, the Union of Soviet Socialist Republics, and the French Republic, each in his own zone of occupation, and also jointly, in matters affecting Germany as a whole, in their capacity as members of the Control Council.
2. So far as is practicable, there shall be uniformity of treatment of the German population throughout Germany.
3. The purposes of the occupation of Germany by which the Control Council shall be guided are:
(i) The complete disarmament and demilitarization of Germany and the elimination or control of all German industry that could be used for military production. To these ends:-
(a) All German land, naval and air forces, the SS., SA., SD., and Gestapo, with all their organizations, staffs and institutions, including the General Staff, the Officers’ Corps, Reserve Corps, military schools, war veterans’ organizations and all other military and semi- military organizations, together with all clubs and associations which serve to keep alive the military tradition in Germany, shall be completely and finally abolished in such manner as permanently to prevent the revival or reorganization of German militarism and Nazism;
(b) All arms, ammunition and implements of war and all specialized facilities for their production shall be held at the disposal of the Allies or destroyed. The maintenance and production of all aircraft and all arms. ammunition and implements of war shall be prevented.
(ii) To convince the German people that they have suffered a total military defeat and that they cannot escape responsibility for what they have brought upon themselves, since their own ruthless warfare and the fanatical Nazi resistance have destroyed German economy and made chaos and suffering inevitable.
(iii) To destroy the National Socialist Party and its affiliated and supervised organizations, to dissolve all Nazi institutions, to ensure that they are not revived in any form, and to prevent all Nazi and militarist activity or propaganda.
(iv) To prepare for the eventual reconstruction of German political life on a democratic basis and for eventual peaceful cooperation in international life by Germany.
4. All Nazi laws which provided the basis of the Hitler regime or established discriminations on grounds of race, creed, or political opinion shall be abolished. No such discriminations, whether legal, administrative or otherwise, shall be tolerated.
5. War criminals and those who have participated in planning or carrying out Nazi enterprises involving or resulting in atrocities or war crimes shall be arrested and brought to judgment. Nazi leaders, influential Nazi supporters and high officials of Nazi organizations and institutions and any other persons dangerous to the occupation or its objectives shall be arrested and interned.
6. All members of the Nazi Party who have been more than nominal participants in its activities and all other persons hostile to Allied purposes shall be removed from public and semi-public office, and from positions of responsibility in important private undertakings. Such persons shall be replaced by persons who, by their political and moral qualities, are deemed capable of assisting in developing genuine democratic institutions in Germany.
7. German education shall be so controlled as completely to eliminate Nazi and militarist doctrines and to make possible the successful development of democratic ideas.
8. The judicial system will be reorganized in accordance with the principles of democracy, of justice under law, and of equal rights for all citizens without distinction of race, nationality or religion.
9. The administration in Germany should be directed towards the decentralization of the political structure and the development of local responsibility. To this end:-
(i) local self-government shall be restored throughout Germany on democratic principles and in particular through elective councils as rapidly as is consistent with military security and the purposes of military occupation;
(ii) all democratic political parties with rights of assembly and of public discussion shall be allowed and encouraged throughout Germany;
(iii) representative and elective principles shall be introduced into regional, provincial and state (Land) administration as rapidly as may be justified by the successful application of these principles in local self-government;
(iv) for the time being, no central German Government shall be established. Notwithstanding this, however, certain essential central German administrative departments, headed by State Secretaries, shall be established, particularly in the fields of finance, transport, communications, foreign trade and industry. Such departments will act under the direction of the Control Council.
10. Subject to the necessity for maintaining military security, freedom of speech, press and religion shall be permitted, and religious institutions shall be respected. Subject likewise to the maintenance of military security, the formation of free trade unions shall be permitted.
B. Economic Principles.
11. In order to eliminate Germany’s war potential, the production of arms, ammunition and implements of war as well as all types of aircraft and sea-going ships shall be prohibited and prevented. Production of metals, chemicals, machinery and other items that are directly necessary to a war economy shall be rigidly controlled and restricted to Germany’s approved post-war peacetime needs to meet the objectives stated in Paragraph 15. Productive capacity not needed for permitted production shall be removed in accordance with the reparations plan recommended by the Allied Commission on Reparations and approved by the Governments concerned or if not removed sha ll be destroyed.
12. At the earliest practicable date, the German economy shall be decentralized for the purpose of eliminating the present excessive concentration of economic power as exemplified in particular by cartels, syndicates, trusts and other monopolistic arrangements.
13. In organizing the German Economy, primary emphasis shall be given to the development of agriculture and peaceful domestic industries.
14. During the period of occupation Germany shall be treated as a single economic unit. To this end common policies shall be established in regard to:
a) mining and industrial production and its allocation;
b) agriculture, forestry and fishing;
c) wages, prices and rationing;
d) import and export programs for Germany as a whole;
e) currency and banking, central taxation and customs;
f) reparation and removal of industrial war potential;
g) transportation and communications.
In applying these policies account shall be taken, where appropriate, of varying local conditions.
15. Allied controls shall be imposed upon the German economy but only to the extent necessary:
a) to carry out programs of industrial disarmament, demilitarization, of reparations, and of approved exports and imports.
b) to assure the production and maintenance of goods and services required to meet the needs of the occupying forces and displaced persons in Germany and essential to maintain in Germany average living standards not exceeding the average of the standards of living of European countries. (European countries means all European countries excluding the United Kingdom and the U. S. S. R.).
c) to ensure in the manner determined by the Control Council the equitable distribution of essential commodities between the several zones so as to produce a balanced economy throughout Germany and reduce the need for imports.
d) to control German industry and all economic and financial international transactions including exports and imports, with the aim of preventing Germany from developing a war potential and of achieving the other objectives named herein.
e) to control all German public or private scientific bodies research and experimental institutions, laboratories, et cetera connected with economic activities.
16. In the imposition and maintenance of economic controls established by the Control Council, German administrative machinery shall be created and the German authorities shall be required to the fullest extent practicable to proclaim and assume administration of such controls. Thus it should be brought home to the German people that the responsibility for the administration of such controls and any break-down in these controls will rest with themselves. Any German controls which may run counter to the objectives of occupation will be prohibited.
17. Measures shall be promptly taken:
a) to effect essential repair of transport;
b) to enlarge coal production;
c) to maximize agricultural output; and
d) to erect emergency repair of housing and essential utilities.
18. Appropriate steps shall be taken by the Control Council to exercise control and the power of disposition over German-owned external assets not already under the control of United Nations which have taken part in the war against Germany.
19. Payment of Reparations should leave enough resources to enable the German people to subsist without external assistance. In working out the economic balance of Germany the necessary means must be provided to pay for imports approved by the Control Council in Germany. The proceeds of exports from current production and stocks shall be available in the first place for payment for such imports.
The above clause will not apply to the equipment and products referred to in paragraphs 4 (a) and 4 (b) of the Reparations Agreement.
III. Reparations from Germany.
1. Reparation claims of the U. S. S. R. shall be met by removals from the zone of Germany occupied by the U. S. S. R., and from appropriate German external assets.
2. The U. S. S. R. undertakes to settle the reparation claims of Poland from its own share of reparations.
3. The reparation claims of the United States, the United Kingdom and other countries entitled to reparations shall be met from the Western Zones and from appropriate German external assets.
4. In addition to the reparations to be taken by the U. S. S. R. from its own zone of occupation, the U. S. S. R. shall receive additionally from the Western Zones:
a) 15 per cent of such usable and complete industrial capital equipment, in the first place from the metallurgical, chemical and machine manufacturing industries as is unnecessary for the German peace economy and should be removed from the Western Zones of Germany, in exchange for an equivalent value of food, coal, potash, zinc, timber, clay products, petroleum products, and such other commodities as may be agreed upon.
b) 10 per cent of such industrial capital equipment as is unnecessary for the German peace economy and should be removed from the Western Zones, to be transferred to the Soviet Government on reparations account without payment or exchange of any kind in return.
Removals of equipment as provided in (a) and (b) above shall be made simultaneously.
5. The amount of equipment to be removed from the Western Zones on account of reparations must be determined within six months from now at the latest.
6. Removals of industrial capital equipment shall begin as soon as possible and shall be completed within two years from the determination specified in paragraph 5. The delivery of products covered by 4 (a) above shall begin as soon as possible and shall be made by the U. S. S. R. in agreed installments within five years of the date hereof. The determination of the amount and character of the industrial capital equipment unnecessary for the German peace economy and therefore available for reparation shall be made by the Control Council under policies fixed by the Allied Commission on Reparations, with the participation of France, subject to the final approval of the Zone Commander in the Zone from which the equipment is to be removed.
7. Prior to the fixing of the total amount of equipment subject to removal, advance deliveries shall be made in respect to such equipment as will be determined to he eligible for delivery in accordance with the procedure set forth in the last sentence of paragraph 6.
8. The Soviet Government renounces all claims in respect of reparations to shares of German enterprises which are located in the Western Zones of Germany as well as to German foreign assets in all countries except those specified in paragraph 9 below.
9. The Governments of the U. K. and U. S. A. renounce all claims in respect of reparations to shares of German enterprises which are located in the Eastern Zone of occupation in Germany, as well as to German foreign assets in Bulgaria, Finland, Hungary, Rumania and Eastern Austria.
10. The Soviet Government makes no claims to gold captured by the Allied troops in Germany.
IV. Disposal of the German Navy and Merchant Marine
A. The following principles for the distribution of the German Navy were agreed:
1) The total strength of the German surface navy, excluding ships sunk and those taken over from Allied Nations, but including ships under construction or repair, shall be divided equally among the U. S. S. R., U. K., and U. S. A.
2) Ships under construction or repair mean those ships whose construction or repair may be completed within three to six months, according to the type of ship. Whether such ships under construction or repair shall be completed or repaired shall be determined by the technical commission appointed by the Three Powers and referred to below, subject to the principle that their completion or repair must be achieved within the time limits above provided, without any increase of skilled employment in the German shipyards and without permitting the reopening of any German ship building or connected industries. Completion date means the date when a ship is able to go out on its first trip, or, under peacetime standards, would refer to the customary date of delivery by shipyard to the Government.
3) The larger part of the German submarine fleet shall be sunk. Not more than thirty submarines shall be preserved and divided equally between the U. S. S. R., U. K., and U. S. A. for experimental and technical purposes.
4) All stocks of armament, ammunition and supplies of the German Navy appertaining to the vessels transferred pursuant to paragraphs (1) and (3) hereof shall be handed over to the respective powers receiving such ships.
5) The Three Governments agree to constitute a tripartite naval commission comprising two representatives for each government, accompanied by the requisite staff, to submit agreed recommendations to the Three Governments for the allocation of specific German warships and to handle other detailed matters arising out of the agreement between the Three Governments regarding the German fleet. The Commission will hold its first meeting not later than 15th August, 1945, in Berlin, which shall be its headquarters. Each Delegation on the Commission will have the right on the basis of reciprocity to inspect German warships wherever they may be located.
6) The Three Governments agreed that transfers, including those of ships under construction and repair, shall be completed as soon as possible, but not later than 15th February, 1946. The Commission will submit fortnightly reports, including proposals for the progressive allocation of the vessels when agreed by the Commission.
B. The following principles for the distribution of the German Merchant Marine were agreed:-
1) The German Merchant Marine, surrendered to the Three Powers and wherever located, shall be divided equally among the U. S. S. R., the U. K., and the U. S. A. The actual transfers of the ships to the respective countries shall take place as soon as practicable after the end of the war against Japan. The United Kingdom and the United States will provide out of their shares of the surrendered German merchant ships appropriate amounts for other Allied States whose merchant marines have suffered heavy losses in the common cause against Germany, except that the Soviet Union shall provide out of its share for Poland.
2) The allocation, manning, and operation of these ships during the Japanese War period shall fall under the cognizance and authority of the Combined Shipping Adjustment Board and the United Maritime Authority.
3) While actual transfer of the ships shall be delayed until after the end of the war with Japan, a Tripartite Shipping Commission shall inventory and value all available ships and recommend a specific distribution in accordance with paragraph (1).
4) German inland and coastal ships determined to be necessary to the maintenance of the basic German peace economy by the Allied Control Council of Germany shall not be included in the shipping pool thus divided among the Three Powers.
5) The Three Governments agree to constitute a tripartite merchant marine commission comprising two representatives for each Government, accompanied by the requisite staff, to submit agreed recommendations to the Three Governments for the allocation of specific German merchant ships and to handle other detailed matters arising out of the agreement between the Three Governments regarding the German merchant ships. The Commission will hold its first meeting not later than September 1st, 1945, in Berlin, which shall be its headquarters. Each delegation on the Commission will have the right on the basis of reciprocity to inspect the German merchant ships wherever they may be located.
V. City of Koenigsberg and the Adjacent Area.
The Conference examined a proposal by the Soviet Government to the effect that pending the final determination of territorial questions at the peace settlement, the section of the western frontier of the Union of Soviet Socialist Republics which is adjacent to the Baltic Sea should pass from a point on the eastern shore of the Bay of Danzig to the east, north of Braunsberg-Goldap, to the meeting point of the frontiers of Lithuania, the Polish Republic and East Prussia.
The Conference has agreed in principle to the proposal of the Soviet Government concerning the ultimate transfer to the Soviet Union of the City of Koenigsberg and the area adjacent to it as described above subject to expert examination of the actual frontier.
The President of the United States and the British Prime Minister have declared that they will support the proposal of the Conference at the forthcoming peace settlement.
VI. War Criminals.
The Three Governments have taken note of the discussions which have been proceeding in recent weeks in London between British, United States, Soviet and French representatives with a view to reaching agreement on the methods of trial of those major war criminals whose crimes under the Moscow Declaration of October, 1943 have no particular geographical localization. The Three Governments reaffirm their intention to bring these criminals to swift and sure justice. They hope that the negotiations in London will result in speedy agreement being reached for this purpose, and they regard it as a matter of great importance that the trial of these major criminals should begin at the earliest possible date. The first list of defendants will be published before 1st September.
VII. Austria
The Conference examined a proposal by the Soviet Government on the extension of the authority of the Austrian Provisional Government to all of Austria.
The three governments agreed that they were prepared to examine this question after the entry of the British and American forces into the city of Vienna.
It was agreed that reparations should not be exacted from Austria.
VIII. Poland. A. Declaration.
We have taken note with pleasure of the agreement reached among representative Poles from Poland and abroad which has made possible the formation, in accordance with the decisions reached at the Crimea Conference, of a Polish Provisional Government of National Unity recognized by the Three Powers. The establishment by the British and United States Governments of diplomatic relations with the Poli sh Provisional Government of National Unity has resulted in the withdrawal of their recognition from the former Polish Government in London, which no longer exists.
The British and United States Governments have taken measures to protect the interest of the Polish Provisional Government of National Unity as the recognized government of the Polish State in the property belonging to the Polish State located in their territories and under their control, whatever the form of this property may be. They have further taken measures to prevent alienation to third parties of such property. All proper facilities will be given to the Polish Provisional Government of National Unity for the exercise of the ordinary legal remedies for the recovery of any property belonging to the Polish State which may have been wrongfully alienated.
The Three Powers are anxious to assist the Polish Provisional Government of National Unity in facilitating the return to Poland as soon as practicable of all Poles abroad who wish to go, including members of the Polish Armed Forces and the Merchant Marine. They expect that those Poles who return home shall be accorded personal and property rights on the same basis as all Polish citizens
The Three Powers note that the Polish Provisional Government of National Unity, in accordance with the decisions of the Crimea Conference, has agreed to the holding of free and unfettered elections as soon as possible on the basis of universal suffrage and secret ballot in which all democratic and anti-Nazi parties shall have the right to take part and to put forward candidates, and that representatives of the Allied press shall enjoy full freedom to report to the world upon developments in Poland before and during the elections.
B. Western Frontier of Poland.
In conformity with the agreement on Poland reached at the Crimea Conference the three Heads of Government have sought the opinion of the Polish Provisional Government of National Unity in regard to the accession of territory in the north ‘end west which Poland should receive. The President of the National Council of Poland and members of the Polish Provisional Government of National Unity have been received at the Conference and have fully presented their views. The three Heads of Government reaffirm their opinion that the final delimitation of the western frontier of Poland should await the peace settlement.
The three Heads of Government agree that, pending the final determination of Poland’s western frontier, the former German territories cast of a line running from the Baltic Sea immediately west of Swinamunde, and thence along the Oder River to the confluence of the western Neisse River and along the Western Neisse to the Czechoslovak frontier, including that portion of East Prussia not placed under the administration of the Union of Soviet Socialist Republics in accordance with the understanding reached at this conference and including the area of the former free city of Danzig, shall be under the administration of the Polish State and for such purposes should not be considered as part of the Soviet zone of occupation in Germany.
IX. Conclusion on Peace Treaties and Admission to the United Nations Organization.
The three Governments consider it desirable that the present anomalous position of Italy, Bulgaria, Finland, Hungary and Rumania should be terminated by the conclusion of Peace Treaties. They trust that the other interested Allied Governments will share these views.
For their part the three Governments have included the preparation of a Peace Treaty for Italy as the first among the immediate important tasks to be undertaken by the new Council of Foreign Ministers. Italy was the first of the Axis Powers to break with Germany, to whose defeat she has made a material contribution, and has now joined with the Allies in the struggle against Japan. Italy has freed herself from the Fascist regime and is making good progress towards reestablishment of a democratic government and institutions. The conclusion of such a Peace Treaty with a recognized and democratic Italian Government will make it possible for the three Governments to fulfill their desire to support an application from Italy for membership of the United Nations.
The three Governments have also charged the Council of Foreign Ministers with the task of preparing Peace Treaties for Bulgaria, Finland, Hungary and Rumania. The conclusion of Peace Treaties with recognized democratic governments in these States will also enable the three Governments to support applications from them for membership of the United Nations. The three Governments agree to examine each separately in the near future in the light of the conditions then prevailing, the establishment of diplomatic relations with Finland, Rumania, Bulgaria, and Hungary to the extent possible prior to the conclusion of peace treaties with those countries.
The three Governments have no doubt that in view of the changed conditions resulting from the termination of the war in Europe, representatives of the Allied press will enjoy full freedom to report to the world upon developments in Rumania, Bulgaria, Hungary and Finland.
As regards the admission of other States into the United Nations Organization, Article 4 of the Charter of the United Nations declares that:
1. Membership in the United Nations is open to all other peace-loving States who accept the obligations contained in the present Charter and, in the judgment of the organization, are able and willing to carry out these obligations;
2. The admission of any such State to membership in the United Nations will be effected by a decision of the General Assembly upon the recommendation of the Security Council.
The three Governments, so far as they are concerned, will support applications for membership from those States which have remained neutral during the war and which fulfill the qualifications set out above.
The three Governments feel bound however to make it clear that they for their part would not favour any application for membership put forward by the present Spanish Government, which, having been founded with the support of the Axis Powers, does not, in view of its origins, its nature, its record and its close association with the aggressor States, possess the qualifications necessary to justify such membership.
X. Territorial Trusteeship.
The Conference examined a proposal by the Soviet Government on the question of trusteeship territories as defined in the decision of the Crimea Conference and in the Charter of the United Nations Organization.
After an exchange of views on this question it was decided that the disposition of any former Italian colonial territories was one to be decided in connection with the preparation of a peace treaty for Italy and that the question of Italian colonial territory would be considered by the September Council of Ministers of Foreign Affairs.
XI. Revised Allied Control Commission Procedure in Rumania, Bulgaria, and Hungary.
The three Governments took note that the Soviet Representatives on the Allied Control Commissions in Rumania, Bulgaria, and Hungary, have communicated to their United Kingdom and United States colleagues proposals for improving the work of the Control Commissions, now that hostilities in Europe have ceased.
The three Governments agreed that the revision of the procedures of the Allied Control Commissions in these countries would now be undertaken, taking into account the interests and responsibilities of the three Governments which together presented the terms of armistice to the respective countries, and accepting as a basis, in respect of all three countries, the Soviet Government’s proposals for Hungary as annexed hereto. (Annex I)
XII. Orderly Transfer of German Populations.
The Three Governments, having considered the question in all its aspects, recognize that the transfer to Germany of German populations, or elements thereof, remaining in Poland, Czechoslovakia and Hungary, will have to be undertaken. They agree that any transfers that take place should be effected in an orderly and humane manner.
Since the influx of a large number of Germans into Germany would increase the burden already resting on the occupying authorities, they consider that the Control Council in Germany should in the first instance examine the problem, with special regard to the question of the equitable distribution of these Germans among the several zones of occupation. They are accordingly instructing their respective representatives on the Control Council to report to their Governments as soon as possible the extent to which such persons have already entered Germany from Poland, Czechoslovakia and Hungary, to submit an estimate of the time and rate at which further transfers could be carried out having regard to the present situation in Germany.
The Czechoslovak Government, the Polish Provisional Government and the Control Council in Hungary are at the same time being informed of the above and are being requested meanwhile to suspend further expulsions pending an examination by the Governments concerned of the report from their representatives on the Control Council.
XIII. Oil Equipment in Rumania.
The Conference agreed to set up two bilateral commissions of experts, one to be composed of United Kingdom and Soviet Members and one to be composed of United States and Soviet Members, to investigate the facts and examine the documents, as a basis for the settlement of questions arising from the removal of oil equipment in Rumania. It was further agreed that these experts shall begin their work within ten days, on the spot.
XIV. Iran.
It was agreed that Allied troops should be withdrawn immediately from Tehran, and that further stages of the withdrawal of troops from Iran should be considered at the meeting of the Council of Foreign Ministers to be held in London in September, 1945.
XV. The International Zone of Tangier.
A proposal by the Soviet Government was examined and the following decisions were reached:
Having examined the question of the Zone of Tangier, the three Governments have agreed that this Zone, which includes the City of Tangier and the area adjacent to it, in view of its special strategic importance, shall remain international.
The question of Tangier will be discussed in the near future at a meeting in Paris of representatives of the Governments of the Union of Soviet Socialist Republics, the United States of America, the United Kingdom and France.
XVI. The Black Sea Straits.
The Three Governments recognized that the Convention concluded at Montreux should be revised as failing to meet present-day conditions.
It was agreed that as the next step the matter should be the subject of direct conversations between each of the three Governments and the Turkish Government.
XVII. International Inland Waterways.
The Conference considered a proposal of the U. S. Delegation on this subject and agreed to refer it for consideration to the forthcoming meeting of the Council of Foreign Ministers in London.
XVIII. European Inland Transport Conference.
The British and U. S. Delegations to the Conference informed the Soviet Delegation of the desire of the British and U. S. Governments to reconvene the European Inland Transport Conference and stated that they would welcome assurance that the Soviet Government would participate in the work of the reconvened conference. The Soviet Government agreed that it would participate in this conference.
XIX. Directives to Military Commanders on Allied Control Council for Germany.
The Three Governments agreed that each would send a directive to its representative on the Control Council for Germany informing him of all decisions of the Conference affecting matters within the scope of his duties.
XX. Use of Allied Property for Satellite Reparations or War Trophies .
The proposal (Annex II) presented by the United States Delegation was accepted in principle by the Conference, but the drafting of an agreement on the matter was left to be worked out through diplomatic channels.
XXI. Military Talks.
During the Conference there were meetings between the Chiefs of Staff of the Three Governments on military matters of common interest.
Text of a Letter Transmitted on July 12 to the Representatives of the U. S. and U. K. Governments on the Allied Control Commission in Hungary.
In view of the changed situation in connection with the termination of the war against Germany, the Soviet Government finds it necessary to establish the following order of work for the Allied Control Commission m Hungary.
1. During the period up to the conclusion of peace with Hungary the President (or Vice-President) of the ACC will regularly call conferences with the British and American representatives for the purpose of discussing the most important questions relating to the work of the ACC. The conferences will be called once in 10 days, or more frequently in case of need.
Directives of the ACC on questions or principle will be issued to the Hungarian authorities by the President of the Allied Control Commission after agreement on these directives with the English and American representatives.
2. The British and American representatives in the ACC will take part in general conferences of heads of divisions and delegates of the ACC, convoked by the President of the ACC, which meetings will be regular in nature. The British and American representatives will also participate personally or through their representatives in appropriate instances in mixed commissions created by the President of the ACC for questions connected with the execution by the ACC of its functions
3. Free movement by the American and British representatives in the country will be permitted provided that the ACC is previously informed of the time and route of the journeys.
4. All questions connected with permission for the entrance and exit of members of the staff of the British and American representatives in Hungary will be decided on the spot by the President of the ACC within a time limit of not more than one week.
5. The bringing in and sending out by plane of mail, cargoes and diplomatic couriers will be carried out by the British and American representatives on the ACC under arrangements and within time limits established by the ACC, or in special cases by previous coordination with the President of the ACC.
I consider it necessary to add to the above that in all other points the existing Statutes regarding the ACC in Hungary, which was confirmed on January 20, 1945, shall remain in force in the future.
Use of Allied Property fr Satelite Reparations o War Trophies
1. The burden of reparation and “war trophies” should not fall on Allied nationals.
2. Capital Equipment-We object to the removal of such Allied property as reparations, “war trophies”, or under any other guise. Loss would accrue to Allied nationals as a result of destruction of plants and the consequent loss of markets and trading connections. Seizure of Allied property makes impossible the fulfillment by the satellite of its obligation under the armistice to restore intact the rights and interests of the Allied Nations and their nationals.
The United States looks to the other occupying powers for the return of any equipment already removed and the cessation of removals. Where such equipment will not or cannot be returned, the U. S. will demand of the satellite adequate, effective and prompt compensation to American nationals, and that such compensation have priority equal to that of the reparations payment.
These principles apply to all property wholly or substantially owned by Allied nationals. In the event of removals of property in which the American as well as the entire Allied interest is less than substantial, the U. S. expects adequate, effective, and prompt compensation.
3. Current Production-While the U. S. does not oppose reparation out of current production of Allied investments, the satellite must provide immediate and adequate compensation to the Allied nationals including sufficient foreign exchange or products so that they can recover reasonable foreign currency expenditures and transfer a reasonable return on their investment. Such compensation must also have equal priority with reparations.
We deem it essential that the satellites not conclude treaties, agreements or arrangements which deny to Allied nationals access, on equal terms, to their trade, raw materials and industry; and appropriately- modify any existing arrangements which may have that effect.
Proclamation Defining Terms for Japanese Surrender,
July 26, 1945
1) We-The President of the United States, the President of the National Government of the Republic of China, and the Prime Minister of Great Britain, representing the hundreds of millions of our countrymen, have conferred and agree that Japan shall be given an opportunity to end this war.
2) The prodigious land, sea and air forces of the United States, the British Empire and of China, many times reinforced by their armies and air fleets from the west, are poised to strike the final blows upon Japan. This military power is sustained and inspired by the determination of all the Allied Nations to prosecute the war against Japan until she ceases to resist.
3) The result of the futile and senseless German resistance to the might of the aroused free peoples of the world stands forth in awful clarity as an example to the people of Japan. The might that now converges on Japan is immeasurably greater than that which, when applied to the resisting Nazis, necessarily laid waste to the lands, the industry and the method of life of the whole German people. The full application of our military power, backed by our resolve, All mean the inevitable and complete destruction of the Japanese armed forces and just as inevitably the utter devastation of the Japanese homeland.
4) The time has come for Japan to decide whether she will continue to be controlled by those self-willed militaristic advisers whose unintelligent calculations have brought the Empire of Japan to the threshold of annihilation, or whether she will followthe path of reason.
5) Following are our terms. We will not deviate from them. There are no alternatives. We shall brook no delay.
6) There must be eliminated for all time the authority and influence of those who have deceived and misled the people of Japan into embarking on world conquest, for we insist that a new order of peace security and justice will be impossible until irresponsible militarism is driven from the world.
7) Until such a new order is established and until there is convincing proof that Japan’s war-making power is destroyed, points in Japanese territory to be designated by the Allies shall be occupied to secure the achievement of the basic objectives we are here setting forth.
8) The terms of the Cairo Declaration shall be carried out and Japanese sovereignty shall be limited to the islands of Honshu, Hokkaido, Kyushu, Shikoku and such minor islands as we determine.
9) The Japanese military forces, after being completely disarmed, shall be permitted to return to their homes with the opportunity to lead peaceful and productive lives.
10) We do not intend that the Japanese shall be enslaved as a race or destroyed as a nation, but stern justice shall be meted out to all war criminals, including those who have visited cruelties upon our prisoners. The Japanese Government shall remove all obstacles to the revival and strengthening of democratic tendencies among the Japanese people. Freedom of speech, of religion, and of thought, as well as respect for the fundamental human rights shall be established.
11) Japan shall be permitted to maintain such industries as will sustain her economy and permit the exaction of just reparations in kind, but not those [industries] which would enable her to re-arm for war. To this end, access to, as distinguished from control of, raw materials shall be permitted. Eventual Japanese participation in world trade relations shall be permitted.
12) The occupying forces of the Allies shall be withdrawn from Japan as soon as these objectives have been accomplished and there has been established in accordance with the freely expressed will of the Japanese people a peacefully inclined and responsible government.
13) We call upon the government of Japan to proclaim now the unconditional surrender of all Japanese armed forces, and to provide proper and adequate assurances of their good faith in such action. The alternative for Japan is prompt and utter destruction.

0

Interim measures Requests and the UN Human Rights Treaty Bodies: Canada and the Mugesera Case

Interim measures Requests and the UN Human Rights Treaty Bodies: Canada and the Mugesera Case



Joanna Harrington is a Professor with the Faculty of Law and an Associate Dean with the Faculty of Graduate Studies and Research at the University of Alberta in Canada.


As I write this post, college instructor and former politico Léon Mugesera has, at last, been placed on a plane to Rwanda by Canadian government officials to face charges of inciting genocide stemming from an inflammatory anti-Tutsi speech delivered almost twenty years ago, and which was replayed during the height of the genocide. (Twitter has been used by Rwanda’s Foreign Minister to confirm that Mugesera is en route to Kigali.) For many Canadians – and many Rwandans – the departure of this accused genocidaire will not be mourned, with many saying that he should never have been admitted into Canada in the first place. But the latest round in the Mugesera saga does raise concerns for the domestic significance, and thus impact, of the individual complaints procedure found replicated in each of the UN human rights treaties, as well as the need for greater transparency and detailed guidance from the UN human rights treaty bodies themselves with respect to the issuance of requests for interim measures.


 The Mugesera saga


After Mugesera’s speech in November 1992, Rwandan authorities did seek the equivalent of an arrest warrant, but Mugesera had fled the country, and by mid-1993, he had secured permanent residence for himself and his family in Canada. Two years later, Canada’s Minister of Immigration and Citizenship commenced proceedings to send Mugesera back to Rwanda, having learnt of the allegations against him. Under Canadian law, a permanent resident (but not a citizen) may be deported if it is determined that before or after being granted permanent residency, the individual committed a criminal act or offence. In this case, the speech was the alleged criminal act that was committed (and not disclosed), with the speech said to constitute an act of incitement to murder, hatred and genocide, and a crime against humanity. Several years of legal proceedings then ensued, culminating with a unanimous Supreme Court of Canada decision in 2005, which also reproduces Mugesera’s speech as an appendix for all to read.


The speech, however, is not what is at issue in the latest installment in the Mugesera saga. What is at issue appears to be the issuance of a request for interim measures by the Committee Against Torture, asking Canada to hold off deporting Mugesera while a claim is pending before the Committee that Mugesera will face torture in Rwanda. (I say “appears to be” as many reports simply state that an amorphous “UN” has asked Canada to hold off deporting Mugesera, which does no favours for the UN’s reputation among its critics, while those reports that specify the Committee Against Torture, do not use the interim measures terminology.) 


Obligations under the Torture Convention


Canada has been a “party” (and not simply a “signatory” despite journalistic reports) to the 1984 United Nations Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment since 1987, and it is this treaty which brought into being the 10-person body known as the Committee Against Torture. Canada is also one of 64 states that has voluntarily declared its acceptance of the Committee’s competence to “receive and consider” complaints from persons alleging to be victims of Convention violations, as set out in article 22. It is the choice of these 64 states to opt-in to an international process for individual complaints, and it is this voluntary opt-in that provides the international legal basis for the consideration of claims made by individuals within the jurisdiction of Canada, including non-nationals, alleging violations of the Torture Convention. Many of the cases lodged against Canada (and against other states) typically arise within an extradition or deportation context and involve the absolute prohibition found in article 3 on sending a person to another state “where there are substantial grounds for believing that he would be in danger of being subjected to torture.”


For many years, Canadian officials took heed of this prohibition, and Canada’s treaty obligations, by waiting for the situation in Rwanda to improve so as to ensure that there would be no real or probable risk of torture were Mugesera to be returned. After six years of evaluation, Canada had decided that there was no risk, with one of the recent flurry of decisions relating to this case indicating that on 6 December 2011, Mugesera received an 80-page decision outlining why the Canadian government believed that he would not face significant risks if returned to Rwanda (see para 4). There is also mention in the judgment of Rwanda having provided assurances, but no copies of these assurances appear to be publicly available. The most recent twist in the saga was a communication lodged with the Committee Against Torture, with media reports suggesting that the Committee has issued a request to halt the deportation, although again no copy is made publicly available and no notice is posted on the Committee’s website.


Interim measures requests


States, in their wisdom and at their choice when drafting the Torture Convention, gave the Committee Against Torture the power to establish its own Rules of Procedure (see article 18(2)), and the Committee has indeed adopted extensive Rules of Procedure to govern its proceedings (UN Doc. CAT/C/3/Rev.5). Buried within these rules is Rule 114(1), which provides that the Committee “may transmit to the State party concerned, for its urgent consideration, a request that it take such interim measures as the Committee considers necessary to avoid irreparable damage to the victim or victims of alleged violations.”


While wrapped in the niceties of diplomatic language, a request for interim measures is essentially a request for a stay of proceedings while a matter is pending for consideration before the Committee. As I have argued in the past: “Similar provisions can be found in the procedural rules for many international courts, commissions, and committees, and so it is hardly surprising that the [Committee Against Torture] would recognize the need for such a rule to protect the interests of the parties and to facilitate the proper conduct of the proceedings pendente lite. (J. Harrington, “Punting Terrorists, Assassins and Other Undesirables: Canada, the Human Rights Committee and Requests for Interim Measures of Protection” (2003) 48 McGill LJ 55 at 66.) It’s clearly not good practice to change the situation as between the parties to a dispute, once that dispute has been lodged with the forum that both parties have agreed to use.


Interim measures requests have a protective purpose, to preserve an individual’s life or physical integrity. They are not issued automatically, as a matter of course, (although this was a criticism made against the Committee Against Torture in the past), and many states do abide by interim measures requests in light of their protective purpose and rationale. A quick review of the Committee’s most recent annual suggests that a case has to be made to secure an interim measures request, with only 24 out of 37 requests for interim measures being granted during the most recent reporting period (para. 89). Moreover, as is made plain in Rule 114(3), a state can provide information to rebut the Committee’s request for interim measures, making a convincing case for no request to be issued, or for an interim measures request to be revoked as a result of further information provided to the Committee by the state.


Canada’s response


In the Mugesera case, rather than publicly rebutting whatever grounds underpin the issuance of the yet-to-be-released interim measures request, by using, for example, the material contained in the 80-page decision mentioned in one recent judgment, or by disclosing a copy of Rwanda’s assurances, Canada’s lawyers have opted instead for a form over substance approach. They argue that interim measures requests carry no legal weight and that a treaty ratified by Canada does not have domestic effect unless transformed into domestic law. I call this “form over substance” since it emphasizes the non-binding nature of what takes place within the UN human rights bodies, rather than focusing on whether there is a substantive risk of torture for Mugesera.


It is also a disappointing response, because in the Canadian case touted for the proposition that interim measures requests are not binding for Canada, known as Ahani v. Canada (Attorney General), counsel for the applicant, the Crown and Amnesty International, failed to draw the court’s attention to the turning-point decision of the Human Rights Committee in Piandiong v. Philippines, holding that an indication of interim measures is effectively binding on a state party. For further discussion of Piandiong’s importance, see Gino J. Naldi, “Interim Measures in the UN Human Rights Committee” (2004) 53:2 ICLQ 445-454. The court also failed to consider the view of the Judicial Committee of the Privy Council in Lewis v. Attorney General of Jamaica, (2000), [2001] 2 AC 50, that individuals must be entitled to a stay of proceedings while a petition is pending for consideration before an international human rights body, even when that body is not a court and does not issue judgments, on the grounds of due process. The non-binding of the individual complaints procedure before an international human rights body does not ipso facto make the rules governing that procedure to be non-binding. Otherwise, we could ignore all the procedural rules concerning time limits and replies.


Canada’s response also suggests a lack of nuance in reconciling the domestic with the international, with nuance being necessary to give any of the individual complaints procedures before the various UN human rights treaty bodies any real significance within a state. Canada has also previously stated that it “fully supports the important role mandated to the treaty bodies, such as the Committee Against Torture, and gives careful consideration to the interim measures requests issued by them.” Some indication of that careful consideration would be welcome, rather than resorting to form over substance, particularly since Canada has been warned by the Committee when it previously failed to abide by a previous interim measures request that in voluntarily accepting the Committee’s competence to hear individual complaints, Canada is viewed as having undertaken an obligation to cooperate with the Committee in good faith in applying the procedure (see TPS v. Canada).


Whatever one’s views on the merits of the Mugesera claim, a formalistic disregard for an interim measures request sets a poor example for other states who may wish to follow Canada’s path, notwithstanding a strong substantive case showing a real risk to life or limb for an individual.


Criticism for the treaty bodies


But perhaps this lack of state support for interim measures requests also reveals a need for efforts at the international level, including efforts to tighten the grounds for issuing such requests. At the very least, greater transparency is needed from the human rights treaty bodies in order to judge the information being marshaled in support of an interim measures request. There is, however, the concern that some have used an interim measures application as a last-ditch effort to stall for extra time or as an act of grandstanding to obtain publicity for the cause. Last year, the European Court of Human Rights acknowledged what it called “an alarming rise in the number of requests for interim measures” (having experienced a 4000% increase in interim measures requests for 2006-2010), and expressed concern about the “risk that the small minority of applicants who do face a genuine threat to life and limb in the country of destination will not have their cases examined in time to prevent removal.” The Court has also issued a practice direction indicating that applications for interim measures must be individuated, fully reasoned, accompanied by all relevant documentation, including the domestic court decisions, and sent in good time before the expected date of removal. Similar guidance could be developed and relied upon at the UN level.



0

Falklands colonialism is coming from David Cameron, not Argentina – guardian.co.uk

Falklands colonialism is coming from David Cameron, not Argentina

The Argentinian general Mario Benjamin Menendez ruled as governor during the Falklands conflict. 'Cameron cannot possibly be afraid of a reprise of the 1982 war, which was a death rattle by a totalitarian dictatorship.' Photograph: Str/REUTERS

I laughed heartily as I read the news last night. British prime minister David Cameron accused my birth country, Argentina, of “colonialism” over the Falkland Islands. I originally read about his jibe on an Argentinian news site, and immediately searched for a report in English – I thought this had to be a hilarious “lost in translation” mistake. It wasn’t. Indeed, Cameron warned the British parliament: “What the Argentinians have been saying recently, I would argue, is far more like colonialism because these people want to remain British and the Argentinians want them to do something else.”

With this comment Cameron did a bit of historical “re-arranging the furniture”. He conveniently forgot to mention that the inhabitants of the Falkland Islands were expelled by an act of force in 1833, and the current population descends from the people brought by the British to replace the Argentinian inhabitants. By definition, this is an act of colonialism. Last night the Argentinian vice-president, Amado Boudou, hit back and qualified Cameron’s statements as “a fallacy, a clumsy outburst ignorant of historical realities”.

While I agree with Boudou that Cameron’s outburst is a fallacy, I believe this gauche pronouncement is a warning, and the product of fear. Cameron cannot possibly be afraid of a reprise of the 1982 war, which was a death rattle by a totalitarian dictatorship. However, he does seem to be afraid of the sudden and unexpected common front manifested in the actions undertaken by the member states of Mercosur to impede the entry to their ports of ships that fly the flag of the Falkland Islands.

Mercosur is an economic and political agreement between Argentina, Brazil, Paraguay and Uruguay. Founded in 1991 by the Treaty of Asunción, its purpose is to promote free trade and the fluid movement of goods, people and currency among its member states. Bolivia, Chile, Colombia, Ecuador and Peru have associate member status, and Venezuela signed a membership agreement in 2006. For the past 10 years, Mercosur has been strengthening political co-operation and attempting to present a unified front on international trade and economic negotiations. However, its latest statement about the use of ports is a historical first. And ever since the leaders of Mercosur issued this joint declaration on closing ports, Cameron’s government has been escalating its fearful rhetoric.

Over a week ago Britain’s foreign secretary, William Hague, warned that the UK will resist any joint measures. The Uruguayan ambassador to the UK was summoned to the Foreign and Commonwealth Office for an explanation. Yesterday Hague started a visit to Brazil, where the Mercosur decision is said to have taken a central stage. His meeting with the Brazilian foreign minister, Antonio Patriota, must have been a disappointment, considering that Patriota issued this statement:

“Minister Hague knows that Brazil … supports the sovereignty of Argentina over the Malvinas and we support the United Nations resolution that calls for discussion about the issue with Argentina.”

Out of desperation and in a last attempt to change the outcome of this unusual united South American front, Cameron now warns about threats of colonialism and intervention. However, Cameron’s fear should also be contextualised on the home front. With his government marred by what Simon Hoggart defined as “unemployment figures climbing faster than a pantomime beanstalk”, Cameron must appear decisive on some front – any front. And unsurprisingly, his Falklands Islands bravado seems to have coincided with his crisis of credibility on the European Union. Nothing in Cameron’s outburst is fortuitous. Yesterday, as he posed for a photo op with the Italian prime minister, Mario Monti, he chose the occasion to issue more bombastic statements about the Falklands:

“The reason for holding a national security council – which also discussed other topics – is to discuss that issue, is to make sure nobody is in any doubt that Britain supports that right of self-determination, and we will go on doing so for as long as people in the Falklands want to continue in that way.”

If Mercosur presents a common front, Cameron will summon his European allies. However, despite Cameron’s histrionics, the weight of a South American alliance can never match the strength of the European Union and Nato. While many of us are observing this new form of political co-operation between members of the global south with increasing interest and enthusiasm, we should be afraid of a combined intervention by the UK and the European Union – more specifically their combined military, economic and sociocultural power, which has been used against many countries that defied colonial rule and western domination.

Leaving aside the legality of claims over sovereignty of the islands, Cameron is quick to emphasise his utmost respect for the self-determination of the Falklands inhabitants. His government should perhaps apply the same respect to the right of self-determination of South American nations, along with their wishes to associate and create alliances free from foreign intervention. After all, his government could start leading by example.

• This article was amended at 6pm on 19 January 2012. The word original has been removed from the following sentence in the second paragraph: “He conveniently forgot to mention that the original inhabitants of the Falkland Islands were expelled by an act of force in 1833.”

0

UK and Argentina in new war of words over Falklands – euronews.net

UK and Argentina in new war of words over Falklands

Tensions are again mounting between Argentina and Britain over the Falkland Islands, in the run-up to the 30th anniversary of the brief war the two countries fought over sovereignty.

At a small demonstration outside the British Embassy in Buenos Aires, the Socialist Workers Movement denounced the British Prime Minister David Cameron, who has accused Argentina of being “much more than colonialist” in asserting its claims.

Argentina wants Britain to negotiate sovereignty at the UN; London refuses.

“We urge the government of President Cristina Fernandez to break off relations with Britain. We believe it is a historic moment in which to move forward and prompt the international community to realise that they have to denounce these scandalous statements,” said the protest leader, Vilma Ripoll.

The protest leader called on her government to break off relations with Britain, and seek international backing.

Last month Buenos Aires persuaded other Latin American nations to turn away ships flying the Falklands flag.

The British Foreign Secretary William Hague, citing restrictions imposed on fishing boats, has urged Argentina to stop intimidating the islanders, reiterating their right to self-determination. Almost all 3000 inhabitants are of British descent.

In 1982 Margaret Thatcher sent a military task force to the South Atlantic to remove Argentine forces who had been sent to land on the Falklands by the country’s then military dictatorship.

655 Argentine and 255 British servicemen lost their lives.

Copyright © 2012 euronews

0

BANCO NACIONAL DE CUBA v. CHASE MANHATTAN BANK

BANCO NACIONAL DE CUBA v. CHASE MANHATTAN BANK
505 F.Supp. 412 (1980)

BANCO NACIONAL DE CUBA, Plaintiff, v. CHASE MANHATTAN BANK, Defendant. BANCO PARA EL COMERCIO EXTERIOR DE CUBA, Plaintiff, v. FIRST NATIONAL CITY BANK, Defendant.

Nos. 60 Civ. 4663-CLB, 61 Civ. 0410-CLB.
United States District Court, S. D. New York.
January 4, 1980.

Rabinowitz, Boudin, Standard, Krinsky & Lieberman by Victor Rabinowitz, New York City, for Cuba.
Milbank Tweed Hadley & McCloy by Andrew J. Connick, New York City, for Chase-Manhattan Bank.
Shearman & Sterling by Charles Manuel, New York City, for First Nat’l City Bank.
Davis Polk & Wardwell by James Benkard, James Kerr, New York City, for First Bank of Boston.

 

 

BRIEANT, District Judge.
The first of these actions was filed November 28, 1960 by Banco Nacional de Cuba (hereinafter “Banco Nacional”) against Chase Manhattan Bank (hereinafter “Chase”). The second above entitled action was filed February 1, 1961 by Banco Para el Comercio Exterior de Cuba (hereinafter “Bancec”) against First National City Bank (hereinafter “Citibank”). Both cases arise out of events following and connected with the recent Cuban Revolution and the consequent change in the economic, social and political structure of the Republic of Cuba.
These cases are two out of a larger number of similar cases pending in this Court. By separate orders made on August 7, 1961 by Hon. Sylvester J. Ryan, then Chief Judge of this Court, each of these cases were assigned for all purposes to Hon. Frederick vanPelt Bryan, pursuant to Rule 2 of the Civil Rules of this Court as then in effect. The cases were tried before Judge Bryan, who thereafter departed this life on April 17, 1978.
Following the death of Judge Bryan, these cases were reassigned to me, and the parties have stipulated and agreed through their counsel that the issues may be resolved by the Court based upon all the proceedings and papers before the late Judge Bryan, without the necessity of reopening the trial record, taking additional proof or observing the demeanor of any witnesses.
The Court has subject matter jurisdiction of the respective complaints under 28 U.S.C. § 1332(a)(2). The counterclaims pleaded in each case are conceded to be recoverable only as set-offs to the extent that a plaintiff prevails on its respective complaint.
Although these cases have not been consolidated, they present related issues of fact and law, and the post-trial hearings before me were conducted jointly. Accordingly, and to avoid repetition it seems appropriate that the issues presented be determined in a single decision.

Familiarity is assumed with the stipulated and conceded facts in these cases, which will not be recited except to the extent necessary for an understanding of the issues presented. Familiarity is also assumed with the prior litigation tried before the late Judge Bryan, Banco Nacional de Cuba v. First National City Bank,270 F.Supp. 1004 (S.D.N.Y.1967), rev’d.442 F.2d 530 (2d Cir. 1971), rev’d.406 U.S. 759, 92 S.Ct. 1808, 32 L.Ed.2d 466, reh. denied 409 U.S. 897, 93 S.Ct. 92, 34 L.Ed.2d 155 (1972); on remand478 F.2d 191 (2d Cir. 1973) (hereinafter “Banco I”). Plaintiffs have reserved their right to relitigate on subsequent appeal the legal points determined in the Banco I case, but their counsel concedes that for purposes of proceedings in this district court, those issues are precluded by the plurality opinions of the Supreme Court in 406 U.S. 759, 92 S.Ct. 1808, 32 L.Ed.2d 466 et seq. and the determination on remand in 478 F.2d 191. For additional discussion of these issues, see Banco Nacional de Cuba v. Sabbatino,193 F.Supp. 375 (S.D.N.Y.1961), aff’d.307 F.2d 845 (2d Cir. 1962), rev’d.376 U.S. 398, 84 S.Ct. 923,

[ 505 F.Supp. 419 ]

11 L.Ed.2d 804 (1964); on remand, sub nom. Banco Nacional de Cuba v. Farr,243 F.Supp. 957 and 272 F.Supp. 836 (S.D.N.Y.1965), aff’d.383 F.2d 166 (2d Cir. 1967), cert. denied 390 U.S. 956, 88 S.Ct. 1038, 20 L.Ed.2d 1151, reh. denied 390 U.S. 1037, 88 S.Ct. 1406, 20 L.Ed.2d 298 (1968), and also the legislative history leading to the enactment of the so-called “Hickenlooper” or “Sabbatino” Amendment, now 22 U.S.C. § 2370(e)(2), passed by Congress to frustrate in part the apparent or perceived rule of the Supreme Court in the Sabbatino case.

II
Background
There is much literature concerning the events in Cuba following the overthrow of the Batista Government. Much of this literature is partisan in nature and of no assistance in setting forth the background of events described below. Sufficient it is to state that the effective date of the revolution in Cuba, which began in the Sierra Maestra Mountains in December 1956 is generally agreed to have been January 1, 1959.
Almost immediately after the overthrow of the Batista administration, a national government was established by Castro, Che Guevera and others, which concentrated under one hand all the executive and legislative functions of the Cuban Government. The Castro Government regarded itself as a lawful continuum of the pre-existing government of the Republic of Cuba and built for the most part on pre-existing law and institutions, making substantial but piecemeal changes to effect its revolutionary goals. Following the assumption of power it began a swift sequence of social changes in Cuba’s internal affairs, and in its relationships with foreign powers and the aliens then resident in Cuba.
Almost immediately, new currency control regulations were imposed, and those regulations were gradually tightened. Banco Nacional was restructured internally in the fashion described below, and it became the sole official licensor of all foreign payments and any remissions of profits earned in Cuba by alien owned enterprises. From time to time, amendments to these regulations and changes in the policy under which they were administered, contrived to place continuously greater limitations on international trade with Cuba. Also limited thereby was the transaction of domestic business in Cuba, including banking, and the enjoyment of property, by foreigners.
Following the revolution, many members of the propertied and professional classes in Cuba took refuge in foreign countries; they fled the realm. Cuba began a swift and purposeful transition from an economy in which most of the means of production were owned and controlled by private individuals and firms, both native and alien, to a nation where the economy was more closely controlled by Government, and where the Government directly or indirectly assumed ownership and operation of the means of production. This new Government has been described loosely in the briefs as a “socialist” Government. At least within the classical definition of these words, it was not. In socialism, we are taught that the workers own and control the means of production. In Cuba, after the revolution, the Cuban Government owned and controlled the means of production, to a gradually increasing extent. The resulting internal organization may best be described as “state capitalism.”

By various statutes and decrees, ownership and control of the properties and businesses of those who fled Cuba following the revolution became vested in the Cuban Government. On May 17, 1959 an “agrarian reform law” was enacted, looking towards nationalization and dismemberment of large land holdings in a nation which had previously founded its economy largely on the production of sugar for export. This agrarian reform was administered by an arm of the Cuban Government known as INRA (El Institutio Nacional de Reforma Agraria), which proceeded to act in the nature of a state-owned trading corporation, owning the sugar production facilities and disposing of the export sugar crop.

[ 505 F.Supp. 420 ]

Persons or entities called “interventors” were appointed by the Cuban Government to confiscate and conduct numerous business enterprises owned by absentees, native and foreign.

In November 1959, Banco Nacional de Cuba, the central bank of the Republic of Cuba, was reorganized, and Che Guevera was appointed President of Banco Nacional.
These significant social changes, hereinafter referred to in totality and for simplicity as “the social changes” were accompanied by the usual rhetoric, and by promises, viewed and intended to be viewed by some as threats, that more of the same was to follow shortly. And it did.
Sugar in the world market had been a surplus commodity for many years. Cuban sugar producers had been granted an import quota, politically administered and changed annually, for sugar to be licensed by the United States Government for importation into the American market. In the United States, the price of sugar has traditionally been maintained at a level above the world competitive price, and close to the marginal costs of American beet and cane sugar producers, in order to insure survival of domestic producers. The administration and allotment of the sugar import quotas had been an essential part of American foreign policy for many years in dealing not only with Cuba, but with other sugar producing nations. Adjustments in the sugar quota were treated as diplomatic rewards and punishments for foreign nations producing sugar, based upon their international conduct, their perceived friendliness, and treatment accorded to American nationals.
As a result of rapidly deteriorating foreign relations between the new Cuban Government and the United States, and the abhorrence which nature has for a vacuum, even in diplomacy, the Soviet Union, on February 13, 1960, was able to enter into a barter-type commercial agreement with Cuba by which large quantities of Cuban sugar were permitted to enter Russia and Russian-dominated trading partners where that sugar had not previously been sold. That sugar was to be paid for in merchandise, including, but not limited to armaments produced in the Soviet Union. The United States reacted to this perceived disloyalty or threat to its security by in effect abolishing Cuba’s share of the sugar quota, and preventing entry of Cuban sugar into the United States market. See 74 Stat. 330 (1960), which became a law on July 6, 1960.
On July 6, 1960, as an immediate response to the enactment of the aforementioned statute repealing the Cuban sugar quota, the Cuban Government enacted Law No. 851 providing for the nationalization of the businesses and properties located in Cuba of United States citizens. On August 6, 1960, twenty-six United States owned corporations, branches or businesses were nationalized. Interventors were appointed to run each of these businesses for the Cuban Government, and no compensation was made, then or since, to the American owners. On September 16, 1960, United States banking operations in Cuba operated by Chase, Citibank and others were confiscated in the fashion set forth below in greater detail.
Diplomatic relations between the two countries came to an end; transfer of funds between the United States and Cuba was interdicted in both countries. So it remains today.
III
Organization of Banco Nacional
Banco Nacional was organized by Law No. 13 of December 23, 1948, effective December 30, 1948. Prior to the revolution it was the central bank of Cuba. It had all of the powers of a local commercial bank within the Republic of Cuba, and was engaged in national and international banking. It also exercised the administrative and fiscal powers of government over private banking, much to the same extent that the Federal Reserve System does in the United States, or as the Bank of England or any other central bank, is accustomed to do in the countries allowing private internal or international trade and banking.
[ 505 F.Supp. 421 ]

One-half of the stock of Banco Nacional had been subscribed for and issued to the Government of the Republic of Cuba. Prior to the Cuban Revolution of 1959, the remaining half had been issued to subscribing private banks, which were required to participate. Its president and three out of five directors were appointed by the Republic. The Government shared in the profits of the Bank after the payment of dividends to its shareholders and appropriations to reserves. Banco Nacional had the sole power to issue currency in the Republic of Cuba, such currency being regarded as an obligation of the Cuban state. It set maximum interest rates for private banks, acted as fiscal agent and economic advisor to the Government, and as agent for the Currency Stabilization Fund created simultaneously and by the same Law No. 13 of 1948.

Prior to the Revolution, Banco Nacional had acted as the representative of the Cuban Government in the International Monetary Fund and the International Bank of Reconstruction and Development. It was exempted from taxation, was the sole designated depositary of state funds, had the power to make loans to the Currency Stabilization Fund and possessed detailed powers and corporate purposes to assist the Currency Stabilization Fund in the exercise of the latter’s duty to protect the national currency in international trade. Under Cuban law Banco Nacional had the power to sue and could be sued, and had a specifically authorized capital. Under domestic law it was not liable for any of the duties or obligations of the Cuban Government or any other agency, and its liability was limited to its own capital and assets. That is to say, the Government was not responsible for its debts.
Banco Nacional was given the power to regulate the operations of existing commercial banks and “any other natural or artificial person” habitually engaged in banking. Banks already established prior to 1948 were required to register with Banco Nacional, and upon doing so could continue their business, subject to the regulation of Banco Nacional.
After the Revolution, and particularly by Resolution No. 2 of Law No. 851, dated September 17, 1960, and by Law No. 891 of October 13, 1960, discussed below, Banco Nacional assumed a number of additional governmental functions. There was a studied effort to preserve a continued corporate existence, while reorganizing the central bank to conform it to the new order. Banco Nacional became thereby wholly owned by the Cuban Government as sole shareholder, with all assets and profits vested in or accruing to the Treasury of the Cuban Government. Banco Nacional can be regarded as an essential element or arm of the present Cuban Government, at least at all times on and after September 17, 1960, and perhaps earlier as a result of de facto assumption of absolute control. This status of Banco Nacional as an alter ego of the Republic of Cuba has been confirmed and adjudicated before. Banco I,478 F.2d 191, 193 (2d Cir. 1973).
As a foundation on which further legislation could be based, the Cuban Revolutionary Government enacted the “Fundamental Law,” effective February 7, 1959. Article 24 of this Fundamental Law regulated confiscation of property by the State. In principle, it barred any deprivation of property except by “competent judicial authority, for justified reasons, … and always upon due payment of adequate indemnity.” However, Article 24 contained an exception to this general rule, which was relied on as authority for the numerous expropriations that were to come. This exception authorized the confiscation of property held by the “Tyrant” [Batista, the prior dictator] and any of his collaborators “responsible for the crimes committed against the national economy … or who have enriched themselves illicitly.”

Pursuant to Article 24′s provision for the expropriation of property, Law No. 851 was enacted on July 6, 1960. This conferred full authority upon the President and the Prime Minister of the new government to nationalize, through forced expropriation, property held by United States nationals. The President and the Prime Minister were given

[ 505 F.Supp. 422 ]

the power to appoint persons or agencies necessary to administer the nationalized properties, and the appraisers to determine the value of the properties. Law No. 851 provided for payment to be made, based on the appraised value, for the property expropriated.

Law No. 851 was executed through resolutions, only one of which is relevant here. Resolution No. 2, signed by President Torrado and Prime Minister Castro on September 17, 1960, ordered that all the property of Chase, Citibank and The First National Bank of Boston be nationalized through forced expropriation, and that the President of Banco Nacional administer the assets and the banking businesses of these firms. Further, the resolution declared that the member of the Board of Directors of Banco Nacional who was appointed by the “foreign” banks pursuant to Law No. 13, Article 23 (enacted December 23, 1948) would cease to represent the nationalized banks while on the Board. In accordance with this resolution, the branch banks and the assets in Cuba of Citibank, Chase and The First National Bank of Boston were expropriated.
Law No. 851 and the accompanying Resolution No. 2 were both promulgated for the stated purposes of defense of the national sovereignty and protection of the economic development process of Cuba, and to remove a perceived imperialist threat on the part of the banks. The next step in further nationalization of property was the adoption of Law No. 890 and Law No. 891, which were enacted together on October 13, 1960.
Law No. 890 nationalized the “large industrial and business enterprises [other than banks, but including railroads] which [had] not yet adapted … to the revolutionary reality.”
IV
Nationalization
Law No. 891 of October 13, 1960 was entitled as the “Bank Nationalization Law.” Its preamble noted that the monetary and credit policy forms part of the general economic policy of the Government and performs a fundamental strategic function in the assignment and orientation of the productive resources of the country; that it was essential to change the old banking structure of the nation, and adjust to the new conditions of economic development created as a consequence of the revolutionary process, and that the creation of currency and extension of credit should be public functions, vested exclusively in the State in accord with the requirements of economic planning, and should not be in the hands of private concerns, which operate under the urge of profit and with greater consideration to individual than to collective interests. The preamble adjudged that it was necessary, to achieve the foregoing objectives, to nationalize and expropriate in favor of the State all the national private banking concerns that operate in the nation as a step precedent to the definitive structure of the national banking system.

Law No. 891 by Article I declared the banking function public, to be carried only by the State, through the organs created for that purpose. By Article III of that Law it was ordered that the nationalization and subsequent adjudication to the Cuban State ordered in the preceding Article be effected through Banco Nacional de Cuba as the autonomous body charged with moving the banking function of the State. Banco Nacional was declared to be the legal successor, subrogated in the place and stead of a natural or juridical person engaged as a banker, and it was legislated that upon the “consequent taking over of Banco Nacional de Cuba of the assets and liabilities of the juridical persons or companies affected by this law” they were declared dissolved and extinguished. Article V of the Law provided that the partners or stockholders of the juridical persons or companies dissolved or extinguished were entitled to the right of indemnity resulting from the appropriations ordered, and that payment will be made by liquidating the corporate credits or shares as well as the dividends or profits earned up to the effective date of this Law “according to the system of appraisal selected

[ 505 F.Supp. 423 ]

by the President of the Bank” (Banco Nacional de Cuba) at the close of operations December 31, 1960. Additional provisions are set forth requiring the issuance of bonds for part of the amounts due. The statute provided that Banco Nacional “shall assume liability for the deposits existing in the banks” affected by the Law, and shall “guarantee the owners thereof as to the normal handling of the operations related thereto.”

The Board of Directors and the assembly of stockholders of Banco Nacional were “dissolved” and their functions assumed by the President of the Bank under the advice of a Consultative Council of the highest ranking officials of other specialized banks. The Currency Stabilization Fund, established June 10, 1939 was dissolved and reorganized. By Article XVI, two Canadian banks, Royal Bank of Canada and Bank of Nova Scotia, were exempted from nationalization. These were acquired later.
Law No. 930, adopted February 23, 1961, reorganized Banco Nacional de Cuba further. It purported to continue the independent juridical status and patrimony of the Bank, but also provided that it should exercise the monetary sovereignty of the nation, the monopoly of the power to issue currency.
V
The Claims and Counterclaims
Banco Nacional as plaintiff asserts its claim against Chase in its capacity as successor in interest of other Cuban banking institutions owned by the Cuban Government. On August 19, 1958 Chase had loaned $30,000,000, later reduced by partial payments, to Banco de Desarollo Economeco y Social (hereinafter “Bandes”) and Fonda de Establizascion de la Moneda (hereinafter “Fonda”). The loan was secured by United States obligations. On February 17, 1960, Bandes and Fonda were each dissolved by Law No. 730, enacted on that date, and by statute, Banco Nacional succeeded to their assets and liabilities. On August 17, 1960, a further payment of $5,000,000 was made to Chase by Banco Nacional on account of the Bandes loan, which reduced the amount owed to $10,000,000, the amount due at the time of the nationalization of Chase’s Cuban banking branches. Additionally, Banco Nacional then had on deposit with Chase at its home office, $2,500,000, together with $37,622 accrued interest.
On or about September 19, 1960, after learning of the confiscation of its Cuban branches, Chase sold the remaining collateral which it then held for the Bandes loan for an amount in excess of $17,000,000. After applying the amount so realized to the payment of the outstanding principal and interest on the Bandes loan, Chase was left with a surplus of $7,256,398. Chase was thus indebted to Banco Nacional in that sum, plus the amount of Banco Nacional’s deposit with accrued interest, making a total of $9,794,020. Chase does not dispute that it was indebted to Banco Nacional in that amount. It concedes liability on the complaint, and asserts the four separate counterclaims or set-offs discussed below.
VI
Bancec’s Status
Plaintiff in the second above entitled action, Banco Para el Comercio Exterior de Cuba, referred to by the parties for convenience as “Bancec,” was a Cuban bank established by Law No. 793 of May 4, 1960. As can be seen below, it too is properly regarded as an alter ego of the Cuban Government to the same extent that Banco Nacional has been so found to be, and for substantially the same reasons.
For an understanding of the relevant corporate history of Bancec, we must digress slightly, to describe the claim asserted here in its behalf.

As a result of the Agrarian Reform Act of May 17, 1959, INRA had become the owner of a cargo of animal feed sugar sold by Bancec pursuant to contract for delivery into the United States. The contract was supported by an irrevocable letter of credit in the favor of Bancec, issued in New York

[ 505 F.Supp. 424 ]

on August 18, 1960 by Citibank in the amount of $650,000 U. S. funds payable at sight on readiness to discharge in a U. S. port. On that date, Citibank was operating its branches in Cuba. The “intervention” of its branches and those of Chase, discussed herein, did not take place until September 17, 1960.

On September 15, 1960 Citibank received from Banco Nacional for collection, a sight draft and supporting documents authorizing payment of $193,280.30 for a portion of the sugar actually delivered and discharged at Pascagoula, Mississippi. On September 20, 1960, following intervention, Citibank “paid” the draft to the account of Banco Nacional and purported to set-off the proceeds against the value of its Cuban branches, then in possession of Banco Nacional.
By Law No. 930, dated February 23, 1961, Bancec was dissolved, and Banco Nacional succeeded to all the assets, rights and claims of Bancec “peculiar to the banking business.” No disposition of any other assets or claims of Bancec was made in Law No. 930.
At the time of the enactment of Law No. 930, the claim sued upon herein had the status of a draft upon an irrevocable letter of credit. Such a res or chose in action is regarded as being the sort of asset, right and claim peculiar to the banking business, and accordingly, probably should be regarded as vested in Banco Nacional as of February 23, 1961. In any event, Banco Nacional had previously made claim on Citibank as the collecting agent.
Thereafter, by Law No. 934, promulgated on the same day, the assets and claims of Bancec not peculiar to the banking business were vested in the Ministry of Foreign Trade of the Government of Cuba. This governmental body was authorized to establish entities, in the nature of state trading corporations, under its supervision to conduct foreign trade. This law provided that the Ministry was not to be liable for any obligations these enterprises might undertake. The Ministry of Foreign Trade, by Resolution No. 1, dated March 1, 1961, created Empresa Cubana de Exportaciones (Cuban Enterprise for Exports), which was empowered to conduct all commercial export operations of the nation formerly conducted by Bancec— “remaining subrogated in the rights and obligations of said bank (Bancec) as regards the commercial export activities.” This particular assignment or delegation must be regarded as irrelevant because the sugar, which is the subject of this lawsuit, had already been delivered, and at the time of the Resolution, had become transformed into a debt.
Thereafter, by Resolution No. 102, issued by the Ministry of Foreign Trade on December 29, 1961, Empresa Cubana de Exportaciones was dissolved as of December 31, 1961. On January 1, 1962, the same Ministry issued Resolution No. 1 of that year, creating Empresa Cubana Exportadora de Azucar y sus Derivados, referred to at trial and hereinafter as “Cuba Zucar.” It succeeded to the rights and obligations of Bancec relating to foreign commerce in sugar and its derivatives.

By motion docketed in this litigation on May 2, 1975, plaintiff moved for an order pursuant to Rule 25, F.R.Civ.P., substituting Empresa Cubana Exportadora de Azucar y sus Derivados (Cuba Zucar) as the plaintiff herein. In opposition to that motion defendant argued that despite the provisions of the various laws and resolutions having to do with the devolution of the claim, which Citibank regarded as self-serving, the subsequent agencies could not be insulated from the counter-claims of defendant against the Cuban Government, and that none of the subsequent agencies could take any more or obtain any better title than its predecessors, the Ministry of Foreign Trade of the Republic of Cuba, or Bancec. As background for the May 2, 1975 motion, the parties had previously stipulated that the Republic of Cuba itself should be substituted as a plaintiff, and should serve an amended complaint. A stipulation to that effect was marked “SO ORDERED” on July 6, 1961. This stipulation, docketed July 7, 1961, authorized the “supplemental complaint in the form annexed,” but no such supplemental complaint

[ 505 F.Supp. 425 ]

was apparently annexed or submitted to the Court. No such amended complaint was ever served and filed, and no formal substitution of the Republic of Cuba took place.

By a memorandum decision docketed August 4, 1975, Judge Bryan denied the motion to substitute Cuba Zucar, pointing out that substitution of parties under Rule 25(c), F.R.Civ.P. lies “in the sound discretion of the court.”
VII
Real Party in Interest
These occurrences naturally inject a question of “real party in interest” into the discussion of Bancec’s claim. The Court perceives no significance or validity to any arguments based on that concept. Bancec and its successors in interest are to be equated with the Cuban Government. Bancec was created by the Government to engage in a state function. All of its capital was contributed by the Government, and it had no function to fulfill, except to manage the export of commodities for the account of the Government. Thereafter, the devolution of the claim, however viewed, brings it into the hands of the Ministry, or Banco Nacional, each an alter ego of the Cuban Government. For our purposes we accept the present contention of plaintiff’s counsel that the order of this Court of July 6th permitting, but apparently not requiring, the service of an amended complaint in which the Republic of Cuba itself would appear as a party plaintiff in lieu of Bancec was based on counsel’s erroneous assumption, or an erroneous interpretation of the laws and resolutions providing for the devolution of the assets of Bancec. Assuming this to be true, it is of no moment. The Ministry of Foreign Trade is no different than the Government of which its minister is a member.
Citibank also argues as an alternate theory, that Banco Nacional is the real party in interest here because the draft against the letter of credit was deposited with Banco Nacional as an agent for collection (¶ 7 of Court’s Ex. 1, Stipulation). Banco Nacional made demand on Citibank in New York for payment in dollars and under prevailing local banking practice, would be required to and would, account in Havana to Bancec for the proceeds in Cuban pesos. Citibank argues therefrom in effect, that it honored the draft in favor of Banco Nacional, and instead of remitting the funds to Banco Nacional, set-off its claims against Banco Nacional against the funds which it had become obligated to pay, not Bancec, but Banco Nacional. This analysis, if accepted, would place Bancec in the status of a beneficiary of a promise by Citibank to pay Banco Nacional, and thereby subject it to the defenses and set-offs existing in favor of Citibank against Banco Nacional.
The Court rejects as invalid this alternate theory of set-off as between banks. The relationships here are regulated by § 350-a, et seq. of the New York Negotiable Instruments Law, since repealed effective September 27, 1964, as to transactions occurring after that date, upon adoption of the Uniform Commercial Code. That section provided in relevant part:
“§ 350-a. Bank as agent for collection.
Except as otherwise provided by agreement and except as to subsequent holders of a negotiable instrument payable to bearer or indorsed specially or in blank, where an item is deposited or received for collection, the bank of deposit shall be agent of the depositor for its collection and each subsequent collecting bank shall be sub-agent of the depositor but shall be authorized to follow the instructions of its immediate forwarding bank and any credit given by any such agent or sub-agent bank therefor shall be revocable until such time as the proceeds are received in actual money or an unconditional credit given on the books of another bank, which such agent has requested or accepted. Where any such bank allows any revocable credit for an item to be withdrawn, such agency relation shall nevertheless continue except the banks shall have all the rights of an owner thereof against prior and subsequent parties to the extent of the amount withdrawn.” [Emphasis added]
[ 505 F.Supp. 426 ]

This section, adopted in 1929, was declaratory of prior New York law, at least as to the point under consideration. McBride v. The Farmers Bank of Salem, Ohio, 26 N.Y. 450, 454 (1863) and prior New York cases cited therein, reached this result on reasoning that the collecting bank was not a bona fide holder in due course for value, because antecedent debt is not such a consideration. On this actual point hung the dispute between New York State courts and the Supreme Court following the decision in Swift v. Tyson, 41 U.S. (16 Pet.) 1, 10 L.Ed. 865 (1842) overruled in Erie R. R. v. Tompkins,304 U.S. 64, 58 S.Ct. 817, 82 L.Ed. 1188 (1938). Compare, The Bank of the Metropolis v. The New England Bank, 42 U.S. (1 How.) 234, 11 L.Ed. 115 (1843) permitting set-off by a collecting bank as sought herein. In a pre-Erie case, Carnegie Trust Co. v. First Nat. Bank of the City of New York, 213 N.Y. 301, 304 (1915) the New York Court of Appeals (per Cardozo, J.) assumed, but found it unnecessary to hold, that a collecting bank had the right before it made remittance to apply the collections against its deposit with the plaintiff bank of deposit. The Court suggested that the issue would turn on “the relation between the [collecting] bank and the plaintiff,” which it characterized as “obscure.” The Court noted that if the bank held the drafts for collection only, as trustee or agent for the depositor, “the rules of equitable set-off do not permit a trustee or agent to apply a claim in his own right in cancellation of his liability as a fiduciary,” citing Morris v. Windsor Trust Co., 213 N.Y. 27, 106 N.E. 753 (1914).

Thereafter, in Dakin v. Bayly,290 U.S. 143, 54 S.Ct. 113, 78 L.Ed. 229 (1933), the Supreme Court, in a case involving a Florida statutory scheme similar to § 350, et seq. of the New York NIL, distinguished Bank of the Metropolis, supra, and held that in light of the agency relationship existing between the depositor and forwarding bank, no set-off could be permitted in favor of the collecting bank for lack of mutuality. The Supreme Court held (p. 146 of 290 U.S. 54 S.Ct. at 114) “a defendant sued upon his individual debt may not avail himself for this purpose of a demand against the plaintiff held in a fiduciary capacity.” (Citations omitted).
To the same effect is the holding in Friedman v. Irving Trust Co., 164 Misc. 811, 300 N.Y.S. 51 (Mun.Ct.N.Y.C.1937) applying New York law. There, the Court held:
“The Huguenot Bank [depositary bank] acted only as plaintiff’s collecting agent; the defendant, as subagent. The credit given by defendant to the Huguenot Bank was given after the suspension of the Huguenot Bank…. While the defendant claims it paid the proceeds of these checks to the Huguenot Bank, the actual fact is that the so-called `payment’ was nothing more than a mere accounting item on its books after the suspension of the depositing bank; this so-called `payment’ was neither a payment in currency nor an `unconditional credit’ of a character recognized in law (see sections 350-a, and 350-1, Negotiable Instruments Law) and, if anything, it would appear that what the defendant did do, in effect, was to reduce on its own books an indebtedness due to it from the Huguenot Bank.
* * * * * *
By the express terms of section 350-a of the Negotiable Instruments Law, defendant was the subagent of the plaintiff; the funds in question, upon collection by the defendant, were a trust fund for the benefit of the plaintiff.”
Within § 350-a of the New York NIL, Bancec has never received the proceeds of the sight draft in “actual money.” There is no showing that it ever received an “unconditional credit.” In In re Bank of United States, 243 App.Div. 287, 277 N.Y.S. 96 (1st Dept. 1935) it was held that:

“The term `unconditional credit,’ although frequently recurring, is nowhere defined throughout article 19-A of the Negotiable Instruments Law (section 350, et seq.). That article, commonly known as the Bank Collection Code, in many respects has revolutionized the ancient principles pertaining to the collection of

[ 505 F.Supp. 427 ]

commercial paper by banks. … Construing together all the provisions of that article, the term `unconditional credit’ can only mean a credit which may not be withdrawn, even if it is eventually found that the item for which it is given is not collectible. It imports a credit which is not `revocable’ under section 350-a, nor `provisional’ under section 350-b.”

Recently in Fuller v. Fasig-Tipton Co.,587 F.2d 103, 106 (2d Cir. 1978), the Court of Appeals held that “one dealing with an agent for a disclosed principal may not set-off the agent’s personal indebtedness against amounts due the principal.” The stipulated facts, while showing that the draft was deposited by Banco Nacional for collection, does not state whether the agency relationship was known to Citibank. Probably such knowledge can be inferred from all the facts, but if not, Citibank was aware of the statutory presumption and had no factual knowledge indicating otherwise. Accordingly, Citibank here cannot discharge its obligation to Bancec by setting-off against Bancec the indebtedness to it of Banco Nacional as collecting or depositary bank with respect to the sight draft which is the subject of plaintiff’s claim.
Rather, the Court will look to the realities of the situation, which justify regarding Bancec and its successors in interest the same as Banco Nacional or the Cuban Government for these purposes, in accordance with the rule of Banco I, Sabbatino and Farr, discussed supra, pp. 418-419.
No factual or legal basis is perceived to distinguish between the one Government wholly owned bank, Banco Nacional, on the one hand, and the other Government wholly owned bank, Bancec, on the other hand. The law creating Bancec describes it as “an official, autonomous, credit institution for foreign trade with full juridical capacity and capital of its own.” This view of Bancec is not controlling on the Court. Under all of the relevant circumstances shown in this record, including the Stipulated Facts, it is clear that Bancec lacked an independent existence, and was a mere arm of the Cuban Government, performing a purely governmental function. The control of Bancec was exclusively in the hands of the Government, and Bancec was established solely to further Governmental purposes. Moreover, Bancec was totally dependent on the Government for financing and required to remit all of its profits to the Government.
While analogy to American institutions is of slight value, Bancec’s complete financial dependence on the Cuban Government distinguished its situation from that of the Tennessee Valley Authority (“TVA”), regarded by plaintiff as being analogous to itself. The TVA has far greater financial independence, including the authority to issue bonds to finance its projects, subject only to prior approval of the Secretary of the Treasury, and less direct government control of its management, 16 U.S.C. § 831n-1-n-4. Bancec, in its relationship to the Government, seems closer to the now defunct Reconstruction Finance Corporation (“RFC”) and its subsidiaries, which on numerous occasions were held to be an agent or arm of the United States Government, and shared in the privileges, responsibilities and immunities of that Government. See, e. g., Keifer & Keifer v. RFC,306 U.S. 381, 59 S.Ct. 516, 83 L.Ed. 784 (1939). Of course cases involving American governmental agencies are of slight value as precedent here; at most they support an a fortiori argument.

Also of slight weight are reported cases in American courts decided before January 21, 1977 involving agencies and instrumentalities of foreign countries, most of which have been resolved factually according to the degree of independence of the corporate entity. United States v. Deutsches Kalisyndikak Gesellschaft,31 F.2d 199 (S.D.N.Y. 1929); Coale v. Societe Co-Operative Suisse Des Charbons, Basle,21 F.2d 180 (S.D.N.Y. 1921); Ulen & Co. v. Bank Gospodarstwa Krajowego, 261 App.Div. 1, 24 N.Y.S.2d 201 (1940). Also inapposite are cases in which private corporations were continued to be treated as such, notwithstanding acquisition by government of stock ownership of those corporations. See, e. g., Bank of the United

[ 505 F.Supp. 428 ]

States v. Planters’ Bank of Georgia,22 U.S. 904, 9 Wheat. 904, 6 L.Ed. 244 (1824); Ballaine v. Alaska Northern Ry. Co., 259 F. 183 (9th Cir. 1919); Panama R. Co. v. Curran, 256 F. 768 (5th Cir. 1919).

Cases decided under the Foreign Sovereign Immunities Act of 1976, 28 U.S.C. §§ 1602-11, e. g., Yessenin-Volpin v. Novosti Press Agency,443 F.Supp. 849 (S.D.N.Y.1978); Edlow International Co. v. Nuklerna Elektrarna Krsko,441 F.Supp. 827 (D.D.C.1977), provide support for our conclusion that Bancec is an instrumentality of the Cuban Government for purposes of this case. Bancec is not a mere private corporation, the stock of which is owned by the Cuban Government, but an agency of the Cuban Government in the conduct of the sort of matters which even in a country characterized by private capitalism, tend to be supervised and managed by Government. Where the equities are so strong in favor of the counter-claiming defendants, as they are in this case, the Court should recognize the practicalities of the transactions. Doing justice in the case should not be obfuscated or side-tracked by self-serving recitals in post-revolutionary statutes of the Cuban Government, undoubtedly drawn with litigation of this sort in mind. The Court concludes that Bancec is an alter ego of the Cuban Government.
Chase admits that it is indebted to Banco Nacional in the amount of $9,793,021.70, except to the extent that it is entitled to assert set-offs, in reduction of that amount. Citibank concedes and admits that it is indebted either to the Cuban Government, Bancec, the Ministry of Foreign Trade, Banco Nacional, Empresa Cubana de Exportaciones, or Cuba Zucar in the amount of $193,280.30, as a result of an accepted draft against its letter of credit to Bancec referred to above. This concession also is subject to the right of set-off.
There is also at issue whether these claims are entitled to accrue pre-judgment interest, and that question also applies to the counterclaims. The matter of interest is discussed infra, p. 448.
VIII
Legal Basis for the Counterclaims
The set-offs pleaded here arise generally out of the nationalization of the branch banks of Chase and Citibank in Cuba. On September 16, 1960, Citibank maintained eleven branch offices in Cuba, and Chase had four such branches. The organization and nature of the branches is described in greater detail below. Citibank had been engaged continuously in branch banking in Cuba since 1915 and Chase had been so engaged since 1925.
The first of Chase’s claims arises out of the claimed confiscation on September 17, 1960 of its Cuban branches, said to be in violation of international law. Chase asserts that the Cuban Government was liable to it for the value of such property; and that the Government of Cuba and Banco Nacional as its wholly owned financial instrumentality are indistinguishable entities for purposes of the liability for the seized property. In addition, Banco Nacional took over, assumed control of and enjoyed all of the benefits of the assets and banking branches of Chase in Cuba, giving rise to an alternate theory based on implied contract.
Chase exercised a set-off for what it claims to be the value of the property of its Cuban branches, including good will and going business value so confiscated. It so advised Banco Nacional.
At about the same time, Chase was also acting as trustee for American investors owning leased railroad equipment in possession of two Cuban railroads under what are conceded to have been financing leases. The Cuban Government expropriated the railroads and their rolling stock on October 13, 1960, pursuant to Law No. 890, and has repudiated the obligations of the railroads to Chase as trustee for the equipment trust certificate owners. The resulting damages are claimed to be $4,073,497.00, also asserted here as a set-off.

With respect to all of their claims, Chase and Citibank each recognize that they cannot proceed affirmatively against plaintiffs in this action, or the Government of Cuba,

[ 505 F.Supp. 429 ]

but are at most entitled to a full set-off. See National City Bank v. Republic of China,348 U.S. 356, 75 S.Ct. 423, 99 L.Ed. 389 (1955); 28 U.S.C. § 1607(c).

Chase has pleaded the claims arising out of the loss of its Cuban banking branches separately on alternative theories of liability, and has also asserted separately its counterclaims arising out of the railroad equipment.
Banco Nacional has defended in accordance with what may be characterized as at least five separate theories. These are: (1) Banco Nacional is a separate entity from the Government of Cuba and not liable for the obligations of the Cuban Government for the value of American property in Cuba which was confiscated; (2) Even if the Cuban Government and Banco Nacional are indistinguishable entities, Chase’s claims arising out of the expropriation of the Cuban branches and credits located in Cuba are not actionable here by reason of the doctrine of sovereign immunity; (3) The claims against the Government of Cuba insofar as they concern assets and credits specifically located in Cuba are barred by the Act of State doctrine; (4) The expropriation or nationalization of Chase’s Cuban branches and the seizure of the leased railroad equipment by the Cuban Government were not violations of international law, and did not give rise to a claim against the Cuban Government by Chase for the value of such property; and (5) The claims of Chase in its capacity as trustee for the value of the confiscated railroad property, to which Chase held title as trustee for others, cannot be asserted as a counterclaim or set-off in this lawsuit because they violate the “opposing party doctrine” developed in cases construing Rule 13(b), F.R. Civ.P.
Insofar as the Chase branch banks are concerned, the liability theory asserted by Chase in this litigation has already been validated in the companion Citibank litigation. See, Banco I,270 F.Supp. 1004, 1006, 1010 (S.D.N.Y.1967, on remand,478 F.2d 191, 193-94 (2d Cir. 1973). See also, National City Bank v. Republic of China,348 U.S. 356, 75 S.Ct. 423, 99 L.Ed. 389 (1955). For the reasons stated in Banco I, Chase can set-off the full value of its branches and their assets in this lawsuit, and little purpose will be served in a further or additional analysis of the law concerning that liability. The Court recognizes that plaintiffs, which have briefed the issue comprehensively, seek to relitigate the correctness of Banco I, and they in turn recognize that this Court at trial level is precluded by the prior appellate pronouncements affirming in substantial part the decision of Judge Bryan in Banco I.
Basically that litigation stands for the purpose that Banco Nacional and the Government of Cuba are and were one and the same for all purposes of the litigation of this type of claim; and that in a suit by a foreign sovereign in our courts, the sovereign immunity doctrine does not bar a set-off up to the amount recovered by the foreign sovereign (see National City Bank v. Republic of China, supra, and cases cited in Banco I, 270 F.Supp. at 1006, 1007. Also, Banco I stands for the point that a claim of set-off is not barred under the circumstances of this case by the Act of State doctrine as enunciated in Banco Nacional v. Sabbatino,376 U.S. 398, 84 S.Ct. 923, 11 L.Ed.2d 804 (1964), because the set-off is authorized by the so-called Hickenlooper or Sabbatino Amendment to the Foreign Assistance Act of 1964, 22 U.S.C. § 2370(a)(2), as amended, 79 Stat. 658-59.
It is also a foreclosed issue that the taking of Citibank’s Cuban branches by the Government of Cuba was in violation of international law because (a) Cuba failed to provide compensation for the taking; (b) the taking was a retaliatory measure against the United States citizens because of their Government’s actions with respect to the Cuban sugar quota; and (c) the taking discriminated against American nationals in that Cuban owned, as well as Canadian and French private banks were not acquired by the Cuban State until much later.

In connection with our discussion of Act of State, it must be observed that Chase

[ 505 F.Supp. 430 ]

and Citibank each have a “Bernstein letter” from the Office of the Secretary of State of the United States. Bernstein v. N. V. Nederlandsche,210 F.2d 375 (2d Cir. 1954). The 5-4 decision of the Supreme Court at 406 U.S. 759, 92 S.Ct. 1808, 32 L.Ed.2d 466 (1972) in Banco I must be read to hold that the Act of State doctrine does not bar consideration of Citibank’s off-set up to the amount of Banco Nacional’s claim against Citibank. That conclusion applies with equal vigor to Chase’s offsets here pleaded.

The plurality opinions in Banco I each found a different factor determinative of the question of when and under what circumstances the courts of this country may examine the legality of expropriations within its boundaries by a foreign government of property of American citizens. At least it may be inferred from Banco I that the Bernstein exception to the Act of State doctrine is regarded by Chief Justice Burger and Justices Rehnquist and White as having continued vitality. In the view of Justice Douglas, a foreign sovereign which brings suit in American courts waives its defense of sovereign immunity, and pro tanto waives the Act of State doctrine defense, insofar as concerns counterclaims up to the amount of the claim which the foreign sovereign asserts. This view is apparently codified in 28 U.S.C. § 1607(c). The Foreign Sovereign Immunities Act of 1976 was regarded by the court in Yessenin-Volpin v. Novosti Press Agency,443 F.Supp. 849, 851 (S.D.N.Y.1978) as retrospective, and applicable to cases undecided on January 21, 1977. The Department of State has expressed the same view. See fn. 1 in Yessenin-Volpin, supra. Banco I suggests Justice Powell believes that the doctrine of the Bernstein letter exception implies a violation of the separation of powers, although he agreed that the Act of State doctrine should not apply to the facts of Banco I.
After deciding only the inapplicability of the Act of State doctrine, or alternatively the effectiveness of the Bernstein letter, the Supreme Court remanded Banco I to the Court of Appeals for the second time “for consideration of [Banco Nacional's] alternative bases of attack on the judgment of the district court.” 406 U.S. at 770, 92 S.Ct. at 1814. Thereafter, the Court of Appeals unanimously affirmed the holding of the district court that Citibank was entitled to set-off, against Banco Nacional’s claim, such amount as was due and owing from the Cuban Government as compensation for the seizure of Citibank’s Cuban properties which had devolved into the ownership and control of Banco Nacional [478 F.2d 191 (1973)]. The opinion of Judge Hays in that regard may be held to constitute a holding that Banco Nacional and the Government of Cuba had acted as a single entity in the expropriation of Citibank’s Cuban property and were one and the same for purposes of that litigation. It further held that the expropriations of the Citibank Cuban properties by Cuba and Banco Nacional violated international law, citing Banco Nacional de Cuba v. Sabbatino,307 F.2d 845 (2d Cir. 1962), rev’d. on other grounds,376 U.S. 398, 84 S.Ct. 923, 11 L.Ed.2d 804 (1964) and Banco Nacional de Cuba v. Farr,383 F.2d 166 (2d Cir. 1967), cert. denied 390 U.S. 956, 88 S.Ct. 1038, 20 L.Ed.2d 1151 (1968).
There is no reason why the Court should hold otherwise in the case of Chase’s branches, and this Court regards these issues as having been conclusively decided. We note in passing that the point of Banco I, that a counterclaim by way of set-off, limited to the amount of a foreign state’s principal claim as plaintiff, is not barred by the Act of State doctrine or by sovereign immunity, has been reaffirmed by the majority, concurring and dissenting opinions in Alfred Dunhill of London, Inc. v. Republic of Cuba,425 U.S. 682, 96 S.Ct. 1854, 48 L.Ed.2d 301 (1976).
In sum, it follows from the foregoing that under international law Chase is entitled to compensation for its Cuban branches confiscated. Apart from the stare decisis effect of Banco I available to Chase here, it is to be noted that Professor Lillich in his authoritative work entitled The Valuation of Nationalized Property in International Law (1973), Vol. 2 at p. 121, n. 6, has written:
[ 505 F.Supp. 431 ]

“The Cuban nationalizations `based upon a totally illusory funding system and payable in bonds that were never printed’ so patently violated international law that serious analysis was unnecessary.”

As was also observed by the late Judge Bryan in Banco I (270 F.Supp. 1008-10), the acts of the Cuban Government exhibited the same retaliatory, discriminatory character as the measure condemned as violative of international law by the Court of Appeals in Sabbatino, supra, 307 F.2d at 845, 865.
Banco Nacional denies that compensation is required by international law, and suggests that the principle of compensation is no longer generally recognized. As the Supreme Court noted in Sabbatino, 376 U.S. at 428, 84 S.Ct. at 940, et seq.:

“There are few if any issues in international law today on which opinion seems to be so divided as the limitations on a state’s power to expropriate the property of aliens.26 [26. Compare, e. g., Friedman, Expropriation in International Law 206-211 (1953); Dawson and Weston, "Prompt, Adequate and Effective": A Universal Standard of Compensation? 30 Fordham L.Rev. 727 (1962), with Note from Secretary of State Hull to Mexican Ambassador, August 22, 1938, V Foreign Relations of the United States 685 (1938); Doman, Postwar Nationalization of Foreign Property in Europe, 48 Col.L.Rev. 1125, 1127 (1948). We do not, of course, mean to say that there is no international standard in this area; we conclude only that the matter is not meet for adjudication by domestic tribunals.] There is, of course, authority, in international judicial27 [27. See Oscar Chinn Case, P.C.I.J., ser. A/B, No. 63, at 87 (1934); Chorzow Factory Case, P.C.I.J., ser. A., No. 17, at 46, 47 (1928).] and arbitral28 [28. See, e. g., Norwegian Shipowners' Case (Norway/United States) (Perm.Ct.Arb.) (1922), 1 U.N.Rep. Int'l Arb. Awards 307, 334, 339 (1948), Hague Court Reports, 2d Series, 39, 69, 74 (1932); Marguerite de Joly de Sabla, American and Panamanian General Claims Arbitration 379, 447, 6 U.N.Rep. Int'l Arb. Awards 358, 366 (1955)] decisions, in the expressions of national governments,29 [29. See, e. g., Dispatch from Lord Palmerston to British Envoy at Athens, Aug. 7, 1846, 39 British and Foreign State Papers 1849-1850, 431-432. Note from Secretary of State Hull to Mexican Ambassador, July 21, 1938, V Foreign Relations of the United States 674 (1938); Note to the Cuban Government, July 16, 1960, 43 Dept. State Bull. 171 (1960)] and among commentators30 [30. See, e. g., McNair, The Seizure of Property and Enterprises in Indonesia; 6 Netherlands Int'l L.Rev. 218, 243-253 (1959); Restatement, Foreign Relations Law of the United States (Proposed Official Draft 1962), §§ 190-195.] for the view that a taking is improper under international law if it is not for a public purpose, is discriminatory, or is without provision for prompt, adequate, and effective compensation. However, Communist countries, although they have in fact provided a degree of compensation after diplomatic efforts, commonly recognize no obligation on the part of the taking country.31 [31. See Doman, supra, note 26, at 1143-1158; Fleming, States, Contracts and Progress, 62-63 (1960); Bystricky, Notes on Certain International Legal Problems Relating to Socialist Nationalisation, in International Assn. of Democratic Lawyers, Proceedings of the Commission on Private International Law, Sixth Congress (1956), 15.] Certain representatives of the newly independent and underdeveloped countries have questioned whether rules of state responsibility toward aliens can bind nations that have not consented to them32[32. See Anand, Role of the "New" Asian-African Countries in the Present International Legal Order, 56 Am.J. Int'l L. 383 (1962); Roy, Is the Law of Responsibility of States for Injuries to Aliens a Part of Universal International Law? 55 Am.J. Int'l L. 863 (1961).] and it is argued that the traditionally articulated standards governing expropriation of property reflect `imperialist’ interests and are inappropriate to the circumstances of emergent

[ 505 F.Supp. 432 ]

states.33 [33. See 1957 Yb.U.N. Int'l L.Comm'n (Vol. 1) 155, 158 (statements of Mr. Padilla Nervo (Mexico) and Mr. Pal (India)).]

The disagreement as to relevant international law standards reflects an even more basic divergence between the national interests of capital importing and capital exporting nations and between the social ideologies of those countries that favor state control of a considerable portion of the means of production and those that adhere to a free enterprise system. It is difficult to imagine the courts of this country embarking on adjudication in an area which touches more sensitively the practical and ideological goals of the various members of the community of nations.34 [34. There are, of course, areas of international law in which consensus as to standards is greater and which do not represent a battleground for conflicting ideologies. This decision in no way intimates that the courts of this country are broadly foreclosed from considering questions of international law.]“
As a district court, we are not free to overlook or neglect the interpretation of international law reiterated a hundred times over in the American courts simply because some other nations in public debate and diplomatic correspondence, have expressed a different view. While it is true that there is no international law, except to the extent that civilized nations having commercial intercourse with each other, agree that such law exists, and also agree to what it provides, this Court is bound by precedent and must recognize the precedential decisions of higher American courts unless and until withdrawn, set aside or reversed. These cases uniformly have found themselves to be in agreement with Restatement Second, Foreign Relations Law of the United States, §§ 185, et seq., to the effect that just compensation for a taking of the property of an alien must be made whether the taking in itself is lawful or not, and that such compensation must be adequate in amount, and paid with reasonable promptness.
Plaintiff’s present ingenious argument concerning the measure of damages based on recent history. The argument is that, assuming international law requires payment of compensation for expropriated property, at best, all that is necessary is partial payment for the value of the property taken. This principle is claimed to be derived from an analysis of the history of recent lump-sum settlements which have been arrived at through diplomatic channels as a result of prior expropriations. See generally, R. Lillich and B. Weston, International Claims; Their Settlement by Lump Sum Agreements (1975). In a large number of such matters, as a result of diplomatic exchanges and in an effort to regularize relationships between the expropriating country and the United States or other “capital exporting countries,” the expropriators have paid lump-sum settlements which the nation whose nationals lost their property has apportioned among claimants by its own internal legal procedures. Because this historical practice has been followed so frequently, plaintiffs argue that this is now an expression of the practice of nations, and therefor it represents international law. Professor Richard Lillich of the University of Virginia Law School is the editor of a three volume series entitled “The Valuation of Nationalized Property in International Law,” published in 1972, 1973 and 1975, and herein referred to as Lillich I, Lillich II and Lillich III. He testified before Judge Bryan that the average of such lump-sum settlements ranges from 40 to 60% of the value of outstanding claims, and plaintiffs urge that the Court should extrapolate a rule from this recent experience and practice of nations to allow only 50% of the value of the expropriated property in this case as a set-off.

It must be noted first that the percentage of claims to be recovered is usually not known at the time that the lump-sum settlement is fixed. The lump-sum settlement is the product of diplomatic bargaining, and the allocation of that lump-sum settlement is usually determined by a Commission in the receiving country. The paying country

[ 505 F.Supp. 433 ]

could not care less how the lump-sum settlement is allocated, and indeed, when the lump-sum settlement is agreed to, does not know with any finality what the receiving country will compute to be the total value of the expropriated property. The valuation of the expropriated property is no longer of concern to the paying country, if, indeed, it ever was. The percentage of claims satisfied is therefore fortuitous, and of no significance because it is affected by two unknowns: the relative bargaining power of the parties, and the unpredictible outcome of subsequent administrative proceedings to allocate the lump-sum payment among the recipients. True, it is very rare that 100% is recovered. This is because there would be no advantage to the expropriating nation to agree voluntarily to a lump-sum payment which would discharge all of the claims. Were it willing to do so, its ability to negotiate separately with the claimants or grant them access to its own courts, would probably bring in most of the claims at a lower value.

The trading nations now recognize that the day has passed when the capital exporting countries are willing to go to war to protect the most favored nation treaty rights of their nationals, nor do we now send in the Marines to protect American property. When an international crisis arises as a result of expropriation or some other unfairness practiced on American citizens abroad, the immediate anger soon cools, and the advantages of receiving some payment, however meagre, followed by renewed international trade on a regular basis, are usually perceived as more beneficial than holding out for the full and fair payment of each claim.
That only a small percentage of claims are recovered as a result of lumpsum settlement diplomatic agreements does not allow us to derive a principle of international law from that practice. In our domestic litigation we do not regard the terms of tort or contract damage settlements as establishing a rule of law. Over 90% of the private civil litigation in this country is probably settled by compromise prior to trial. Experience suggests that some plaintiffs get settlements larger than they deserve, and others far less than they are entitled to. We would not look to the percentage settlements in such cases to determine the law of torts or contracts; similarly, lump-sum settlement practice between nations desiring to restore international trade to its level prior to expropriation is an inappropriate source for deriving principles of international law concerning the compensation due for expropriated property. Such settlements are all influenced and distorted by the relative political and economic power of the parties, and their desire to regularize disrupted relationships, factors which are not relevant in attempting to set forth neutral principles of international law.
Before leaving this point it is worthy of note that plaintiffs’ claims in this litigation are also in effect expropriated, since the payment of dollars to Cuba is now prevented just as effectively as the payment of dollars from Cuba. If there were any logic to the rule for which Professor Lillich’s testimony was offered, it would apply equally to reduce plaintiffs’ and defendants’ claims. The Court rejects this contention and adheres to the concept that American citizens in Cuba are and were entitled to full and prompt recompense for their private property seized to be made in funds convertible to dollars. The Court will regard these set-offs as if they had been so converted and paid at the time of the seizure.

American decisional law is reflective of our nation’s public policy. However, the courts are not the only institutions declaring public policy. Of more than passing interest is the declaration of Congress found in the legislative history to the “Rule of Law Amendment,” § 301(d)(4) of Public Law 88-633, 78 Stat. 1013, adopted as an amendment to the Foreign Assistance Act of 1964 and found in 22 U.S.C. § 2370(e)(2), as extended, amended and presently in effect. This enactment is also called the “Hickenlooper Amendment” in memory of the late Senator Bourke Hickenlooper, its author, and is sometimes also referred to in

[ 505 F.Supp. 434 ]

the literature as the “Sabbatino Amendment” because it intended to reverse the presumption in Sabbatino.

As initially passed by the House of Representatives on June 10, 1964, the Foreign Assistance Act of 1964 had no reference to the Rule of Law amendment. It was passed in the Senate and inserted as a result of Conference Committee work. The Committee on Foreign Relations of the United States Senate, by report dated July 10, 1964, states:
“The amendment is intended to reverse in part the recent decision of the Supreme Court in Banco Nacional de Cuba v. Sabbatino [376 U.S. 398, [84 S.Ct. 923, 11 L.Ed.2d 804] (1964)]…. The Act of State doctrine has been applied by U. S. courts to determine that the actions of a foreign sovereign cannot be challenged in private litigation. The Supreme Court extended this doctrine in the Sabbatino decision so as to preclude U. S. courts from inquiring into acts of foreign states, even though these acts have been denounced by the State Department as contrary to international law.”
The Congressional Record references contemporaneous with the adoption of this statute, show expressions of American public policy:
“Certainly the United States should not become an international `thieves’ market.’” Cong.Rec. p. 18937.
At Cong.Rec. p. 18946, August 14, 1964, it is stated:
“January 1, 1959 is the date of the coming to power of the Castro regime in Cuba and the beginning of the greatest series of illegal takings of American property in recent history.”
The Legislative History includes at p. 22849 the remarks of Congressman Adair, in the House debate, explaining to the House why the Conference Committee had concurred in the Hickenlooper Amendment. He said:
“In our conference report we have said that federal and state courts are to be free in cases before them involving acts of foreign states to enforce principles of international law. These principles, as applied by our courts, are to include the requirement for prompt, adequate and effective compensation in cases of expropriation.” (Emphasis added).
Senator Hickenlooper’s own extension of remarks at p. A5157 in the 1964 Appendix to the Congressional Record again use the words “prompt, adequate and effective compensation.” The same Legislative History makes clear that § 620(e)(2), referring to principles of international law, including principles of compensation, refers back to § 620(e)(1), which defines the obligations of international law to include “speedy compensation … in convertible foreign exchange equivalent to the full value” of the property expropriated.
Similarly, the statement of the President on October 17, 1964, when he signed Public Law 88-666, which authorized the Foreign Claims Settlement Commission to determine the amount and validity of claims of United States nationals against the Government of Cuba, noted that “a billion dollars worth of property of United States nationals was expropriated in total disregard for their rights, and that these unlawful seizures violated every standard by which the nations of the free world conduct their affairs.”

In considering the violation of international law found in these cases, and the requirement for just, speedy and adequate compensation in convertible funds, which this Court finds to be international law as interpreted by American courts and the Congress of the United States, we should not become lost in revolutionary rhetoric. This is not a case where all private properties were expropriated at once, both from aliens and citizens, because a nation wished to experiment with socialist economic theory. Even the agrarian land reform plan in Cuba did not expropriate allthe farms. Those which were more productive than a statutory standard were allowed to remain in private ownership and those below a certain size (1,005 acres) were also allowed to remain in private ownership. It is part of the law of nations that aliens of a

[ 505 F.Supp. 435 ]

nation at peace with the host nation who are allowed to enter for the purpose of trade, bringing their goods, capital and lives under the protection of the host country, should not for purposes of such rights, be treated worse thereafter than a national of the host country would be treated.

The Court recognizes that here we are required to apply international law, not local law. See Sabbatino, supra, 307 F.2d at 860-61. And we should avoid identifying as a principle of international law, what is actually only a policy of our nation, and not a principle cherished by other countries, id. at 861. However, the domestic law of eminent domain imposed on the states by the Fourteenth Amendment to the U. S. Constitution, and apparently in effect against the states in principle since the American Revolution without regard to any state constitutional provisions [see Wilkinson v. Leland,27 U.S. 627, 2 Pet. 627, 656, 7 L.Ed. 542 (1829)], is a satisfactory reference point for valuation principles. This is so because the principles it imports are neutral; neutral in the sense that our courts enforce them, even when it is against our own governmental interest to do so. Allowing the banks to recover going concern value at the time and place of the taking is fair, then, in the sense that this is the standard of valuation we live by, even when our own Government must make the payment. Most expositions of international law by American authorities assert that going concern value should be awarded. See, e. g., Restatements (Second) of the Foreign Relations Law of the United States § 188 (1965); McCosker “Book Values in Nationalizations Settlements” quoted in Lillich II at p. 36. The Foreign Claims Settlement Commission decisions have allowed recovery for going concern value, although the statutory basis for valuing claims was required only to be that “most appropriate to the property and equitable to the claimant, including but not limited to (i) fair market value, (ii) book value, (iii) going concern value, or (iv) cost of replacement.” Cuban Claims Act of 1964, 22 U.S.C. § 1643b(a).
IX
Chase’s Counterclaim or Set-off as Equipment Trustee
As noted earlier, Chase, as trustee for the benefit of American and other owners of equipment trust certificates, secured by financing leases of railway equipment seized by the Cuban Government in 1960, interposed counterclaims and set-offs in its capacity as such trustee. As of October 1, 1954, the railway equipment, title to which was vested in Chase as trustee, had been leased to the Cuban Northern Railways Company, and the Cuba Railroad Company. On October 13, 1960 the Cuban Government expropriated these assets. Chase claims the sum of $4,073,497.01.
The late Judge Bryan made an oral ruling on this point. He stated on the record on June 25, 1974 as follows (P. 2):
“As I have previously informed counsel, plaintiff’s motion to dismiss the third and fourth counterclaims have been granted, and principally on the grounds that they are not assertable as counterclaims under Rule 13(b) of the Federal Rules of Civil Procedure and on other grounds which I will make clear when I do a comprehensive opinion covering this whole situation. That is number one.” (Emphasis added).
Thereafter no party asked the Court for the finding required by Rule 54(b), F.R. Civ.P., which would have permitted entry of a final judgment denying all relief on Chase’s claims as Railway Equipment Trustee, thereby making the issue separately appealable. Probably there was no basis for the necessary finding of “no just cause for delay” which would permit entry of such a partial judgment, and thereby balkanize the appeal.

This Court regards the matter as being not free from doubt, and worthy of consideration on an appellate level. But, the assigned judge having expressed himself to the effect that the motions to dismiss “have been granted,” renders unnecessary any independent decision at this time by the writer. The rationale of Judge Bryan’s conclusion as disclosed in his notes, was to the

[ 505 F.Supp. 436 ]

effect that “Chase may not interpose counterclaims asserted in its fiduciary capacity as Railroad Equipment Trustee in an action brought against Chase in its individual corporate capacity.” Judge Bryan regarded Rule 13(b), F.R.Civ.P. as a provision which “does not open the door to counterclaims by one who is not a party to the suit and against whom the plaintiff makes no claim.” His bench notes, previously referred to as a “draft opinion” observe:

“Under Rule 13 a counterclaim may only be asserted against an `opposing party’ in the same action. The parties on each side of the counterclaim must be the same in name and capacity as those on either side of the main claim. A defendant can only assert a counterclaim against a plaintiff who has asserted a claim in that action against that defendant. See, United States v. Timber Access Industries Co., 54 F.R.D. 36, 39-40 (D.Ore.1971) (dismissing a counterclaim which arose out of contracts between a logger and the United States Government in its proprietary role where the Government had sued not in its proprietary role, but as a trustee); Chambers v. Cameron,29 F.Supp. 742 (N.D.Ill.1939) (in suit by trustees for the benefit of the trust, defendant cannot counterclaim against the trustees individually), see also, Tryforos v. Icarian, 49 F.R.D. 1 (N.D.Ill.1970); Twardzik v. Sepauley, 45 F.R.D. 529 (E.D. Pa.1968); United States v. Lacy,116 F.Supp. 15, 21 (N.D.Ala.1953), rev’d, on other grounds,216 F.2d 223 (5th Cir. 1954); Higgins v. Shenango Pottery Co.,99 F.Supp. 522, 524-25 (W.D.Pa.1951). The same restriction applies to the party who advances the counterclaim. He may counterclaim only in the capacity in which the plaintiff has sought to impose liability upon him. See, Durham v. Bunn,85 F.Supp. 530 (E.D.Pa.1949) (action against City tax official for wrongfully arresting plaintiff for non-payment of taxes—official may not counterclaim for recovery of the taxes since defendant was sued as an individual, and is counterclaiming in a representative capacity).”
Judge Bryan referred to Clark on Code Pleading (2nd ed. 1947) at p. 671 as follows:
“Where suit is brought by or against one in a representative capacity, as a trustee, executor, or administrator, the desirability of keeping accounts separate, and of avoiding possible prejudice to the party represented or unfairness or inconvenience to the party bringing suit, is thought to outweigh the policy of allowing the defendants to litigate all controversies in one suit.”
And his notes continue:
“In the case at bar plaintiff Banco Nacional sought relief against Chase in its individual corporate capacity only. No claim was directed against Chase in its separate and independent capacity as Railroad Equipment Trustee. It is as if Chase as individual corporation and Chase as trustee are two separate litigants. Only Chase as a corporation may counterclaim against Banco Nacional because it is only this party who was named and is present in this action.”
Judge Bryan’s notes observed that:

“Chase argues that a trustee has a right to sue on a trust claim without joining his cestuis qui trustent and in so doing sues in his individual rather than in his representative capacity, citing Thompson v. Whitmarsh, 100 N.Y. 35, 2 N.E. 273 (1885); Toronto General Trust Company v. Chicago, Burlington & Quincy Railroad Company, 123 N.Y. 37, 25 N.E. 198 (1890), and other cases for this proposition, maintaining that New York law is applicable because under Fed.R.Civ.P. 17(b) a party’s `capacity’ is governed by local law. The conflicts of law rules governing interpretation of the word `capacity’ in rule 17(b) are inapplicable to the opposing party doctrine of rule 13(b). See Tolson v. Hodge,411 F.2d 123 (4th Cir. 1969). Under Hanna v. Plumer,380 U.S. 460, 85 S.Ct. 1136, 14 L.Ed.2d 8 (1965), federal law governs this issue. From this Chase concludes that it is asserting the third and fourth counterclaims in its individual capacity and therefore it is the party opposing Banco Nacional. I cannot accept this conclusion. The cases cited by

[ 505 F.Supp. 437 ]

[Chase] deal only with capacity for purposes of the right to sue. They are inapplicable to the `opposing party’ doctrine of rule 13, Fed.R.Civ.P.

Some courts make an exception to the opposing party rule where the benefits of any recovery by plaintiff in one capacity (that in which he is suing) will inure to plaintiff in his other capacity (that in which he is the subject of a counterclaim) and it might be thought that the same rule would apply to a defendant asserting the counterclaim where he will benefit personally from a counterclaim he asserts as a fiduciary or the representative.
In Scott v. United States,354 F.2d 292 (Ct.Cl.1965), for example, the court allowed the United States to assert an unrelated counterclaim for a tax penalty against an individual partner in a suit on a contract brought by the partnership. The partnership consisted of only three partners and it was plain that any recovery by the partnership would inure to the benefit of the individual partners. The Court [in Scott] stated:
`The decisions disallowing counter-claims against plaintiffs as individuals in actions commenced by them in a representative capacity … do not require us to continue in the opposite position. Individuals suing as the representative of another or as a fiduciary do not benefit, in any immediate, personal way, from the judgments entered in those suits. But judgments rendered on partnership demands result in an immediate pro rata gain to the individual partners, since they actually own the claim in most senses. Inherent in the notion of ticking off the parties’ debts and obligations to achieve an ultimate balance—the concept underlying the counterclaim rules—is the necessary condition that the parties against whom counterclaims may be lodged have a personal, beneficial interest in the claim declared in the complaint or petition. The rulings disallowing counterclaims against plaintiffs suing in a representative capacity rest on the assumption that such persons do not.’
354 F.2d at 300-01. In Burg v. Horn, 37 F.R.D. 562 (E.D.N.Y.1965), aff’d.,380 F.2d 897 (2d Cir. 1967), the plaintiff, a stockholder and director of a close corporation, sued derivatively the remaining two director-stockholders for breach of fiduciary duty to the corporation. While recognizing the general rule that a stockholder suing derivatively is not subject to personal counterclaims, the court held that a counterclaim against the plaintiff in her personal capacity was proper under the circumstances of the case. In substance, the suit was `to determine the rights of the three individual parties against one another.’ 37 F.R.D. at 563. The derivative form of the suit was less important than the fact that the recovery would have inured to plaintiff’s benefit individually.
However, [here] defendant Chase has no beneficial interest in the third and fourth counterclaims. It holds bare legal title as trustee, nothing more. The beneficial interest in the railroad equipment resides not in Chase but in the individual certificate holders, and it is they and not Chase who are the parties opposed to Banco Nacional in these counterclaims.
Chase will not suffer liability to the certificateholders by failing to collect any sums from Cuba. Section nine of Article VI of the 1954 Trust Agreement provides that the trustee `shall not be answerable for any act or omission to act unless the same shall happen through its own negligence or willful default.’ Although in theory a failure to assert a counterclaim here might have qualified as `negligence’ or `willful default,’ it is apparent at this point that Chase has done all it could under the circumstances to attempt to recover for the bondholders, [as it cannot presently acquire in personam or quasi in rem jurisdiction over the Government of Cuba for purposes of a plenary action in any court now open to it].

[Chase's] contention that principles of equity require that the third and fourth counterclaims be allowed here is equally unpersuasive. National City Bank of N.

[ 505 F.Supp. 438 ]

Y. v. Republic of China,348 U.S. 356, 75 S.Ct. 423, 99 L.Ed. 389 (1955), does not support that position. The Republic of China case merely held that a foreign sovereign who sues in our courts waives immunity on counterclaims [based on the subject matter of a sovereign's suit Id., 364, 75 S.Ct. at 428]. It does not waive rights that any individual litigant in our courts would otherwise have, including the right to object to the assertion against it of a counterclaim in violation of the opposing party doctrine. It simply waives to a limited extent its right to object to a counterclaim on the ground of sovereign immunity.

Having failed to meet the requirements of the opposing party rule or fall within the exceptions to it, Chase maintains that the modern trend is to disregard `such subtle niceties of pleading.’ See Aldens, Inc. v. Packel,524 F.2d 38, 50-51 (3d Cir. 1975), cert. denied, 425 U.S. 943, 96 S.Ct. 1684, 48 L.Ed.2d 187 (1976) (in action by out-of-state retailer against state Attorney General challenging constitutionality of Pennsylvania Goods and Service Installment Sales Act, lower court’s dismissal of counterclaim by Attorney General for declaratory judgment and injunction on ground that cause of action belongs not to the Attorney General but to the Commonwealth was erroneous); Moore-McCormack Lines, Inc. v. McMahon,235 F.2d 142, 144 (2d Cir. 1956) [in petition by shipowner for exoneration from or limitation of liability arising out of the sinking of vessel, wherein administrators of estates of officers who had lost their lives in the sinking, filed claims, shipowner can interpose cross-libels for indemnity on the theory of negligence against the administrators]; 1A Barron & Holtzoff, Federal Practice & Procedure § 398, at 607-08 (Wright ed. 1960); Wright, Federal Courts, 349-50 (2d Ed. 1970). Defendant seeks wholesale abrogation of the opposing party doctrine as a limit on permissive counterclaims under rule 13(b). The cases cited above relate to narrow fact situations not duplicated by the case at bar.
Ultimately, Chase falls back on the argument that unless the third and fourth counterclaims can be asserted in this suit, Cuba will escape liability for those claims because sovereign immunity bars a separate action by Chase or the bondholders against Cuba for the seized railroad equipment. In furtherance of what is considered sound principles of moral responsibility for the expropriation of private property, Chase urges that these counterclaims be made a part of this action. What Chase really questions is the soundness of our rules of law which grant sovereign nations, in some instances, immunity from suit and which here operates to bar an independent action by the certificateholders against the Cuban Government. Whatever the merits of the position may be, it is not open to this court to change a rule established by the Supreme Court long ago. The Schooner Exchange v. McFaddon,11 U.S. 116, 7 Cranch 116, 3 L.Ed. 287 (1812). To hold otherwise would allow Chase to circumvent the sovereign immunity rules by subjecting the Cuban Government to claims by way of setoff which Chase could not assert directly. While we may not approve of the confiscatory action taken by the Cuban Government, this is not a reason to dilute that Government’s rights by expanding the scope of permissive counterclaims.”
Judge Bryan declined to reach the issue presented by Banco Nacional’s contentions that the “counterclaims should be dismissed because, if they state a claim for relief at all, that claim runs against the Republic of Cuba, but not against Banco Nacional.”

Since Judge Bryan did not finally complete his work in this matter, we believe further discussion of the point might be of assistance to the parties and the Court of Appeals. The reform movement in rules of pleading and practice killed off much of the niceties in issues affecting capacity by which the 19th century bar was bemused. Thereby, the issue of what counterclaims or set-offs could be pleaded lost much of its vigor and interest. This is essentially a diversity case, to which New York substantive

[ 505 F.Supp. 439 ]

law should be applicable, and, if outcome determinative, New York adjective law likewise. Guaranty Trust Co. v. York,326 U.S. 99, 65 S.Ct. 1464, 89 L.Ed. 2079 (1945). In most domestic litigation it is of no serious importance if a counterclaim or set-off cannot be asserted, because the party who is prevented by some nicety of pleading or practice rules from asserting his counterclaim or set-off can usually bring a plenary action in his differing capacity, and indeed at least prior to Schaffer v. Heitner,433 U.S. 186, 97 S.Ct. 2569, 53 L.Ed.2d 683 (1977), such a party defendant could, under the rubric of Harris v. Balk,198 U.S. 215, 25 S.Ct. 625, 49 L.Ed. 1023 (1905) attach the plaintiff’s very claim, in the jurisdiction in which plaintiff was litigating, and gain quasi in rem jurisdiction to the extent of that claim, in that district, to support a plenary action. The actions could usually be consolidated for trial, and the whole issue thrashed out together even if pleading niceties prevented a counterclaim or set-off being pleaded because of differing capacities. So the problem seldom arose. Such practical resolution of counterclaims held in a different capacity is not open to Chase in this case because with limitations not here relevant, Banco Nacional is immune, as an instrumentality of the Cuban Government, from suit in this District or in the state courts, except to the extent that a set-off can be pleaded as an affirmative defense. Because of the ready availability of a plenary lawsuit in lieu of the counterclaim which would have been permitted but for the difference in capacity, the likelihood that an issue of mutuality of set-off would be litigated today in this jurisdiction under any other circumstances is remote.

Set-offs are and have historically been favored in New York both by statute and by general principles of equity. See Beecher v. Vogt Manufacturing Co., 227 N.Y. 468, 125 N.E. 831 (1920); Morris v. Windsor Trust Company, 213 N.Y. 27, 106 N.E. 753 (1914). Getlan v. Hofstra University,41 A.D.2d 830, 342 N.Y.S.2d 44 (1973) and § 3019(a) of the New York CPLR. In Beecher, then Judge Cardozo held, in a case where a plaintiff sued in a fiduciary capacity, that any set-off raised by defendant must be a claim against the plaintiff in its same fiduciary capacity, and not against the plaintiff in his individual capacity, stating “[d]ebts, to be applied against each other, must be mutual … to be mutual they must be due to and from the same persons in the same capacity.” Beecher at 473, 125 N.E. 831. This conclusion is in keeping with the well-established rule in New York that an individual or corporation may have two wholly distinct capacities as a fiduciary, and as a personal, or corporate entity in its own right. Leonard v. Pierce, 182 N.Y. 431, 75 N.E. 313 (1905). See also, New York EPTL, § 11-4.1, effective September 1, 1967, but considered to be declaratory of existing law.
The principle limiting the use of set-offs appears to apply under New York law in the converse situation where an individual attempts to employ a personal claim to off-set a claim against him in his fiduciary capacity. Thus, it has been held that a defendant who holds a personal judgment against the plaintiff cannot use that judgment as a set-off if the plaintiff sues defendant in a fiduciary rather than a personal capacity. Morris v. Windsor Trust Co., supra; Weeks v. O’Brien, 25 App.Div. 206, 49 N.Y.S. 344 (1898); Hoschek v. National Surety Co., 139 Misc. 683, 248 N.Y.S. 203 (App. Term 2d Dept. 1930).
If a defendant were permitted to reduce his own personal liability by the use of claims he owned on behalf of a trust, this might lead to a violation of his duties as trustee, particularly if the trustee were in a financial condition where his duty to the beneficiaries of the trust required him to assert the set-off, but upon prevailing it lacked funds in its individual corporate capacity to pay into the trust account the amount set-off. Part of the intellectual underpinning of the rule, if it has any, is that a fiduciary may not use the subject matter of his trust for his own profit, and the further rule that he must keep the trust property separate from his own personal property. See New York EPTL § 11-1.6(a) (effective September 1, 1967, but declaratory of existing New York law).
[ 505 F.Supp. 440 ]

Another issue presented with respect to Chase’s trustee claims is whether the law of New York applies or whether the right to assert a set-off or plead a counterclaim in a diversity case should be controlled by federal procedural rules. Rule 17(b), F.R.Civ.P. requires that the capacity of a person to maintain a suit in a representative or fiduciary capacity must be “determined by the law of the state in which the district court is held.” See Cooper v. American Airlines,149 F.2d 355 (2d Cir. 1945). This suggests that Chase’s right to assert the counterclaim in its capacity as trustee depends on applicable New York law. Probably the law of New York, as indicated above, does not permit a person to assert claims that he holds as a fiduciary as an off-set against claims directed at him in his personal capacity. However, Rules 13(a) and (b), F.R. Civ.P. do not appear on their face to restrict the setting up of a counterclaim or off-set by a defendant simply because the counterclaim or off-set belongs to him in a different capacity. Generally, under the doctrine of Hanna v. Plumer, supra, once the district court determines that it has jurisdiction over the parties, and that the parties have capacity to sue and be sued, the Federal Rules of Civil Procedure should be applied to procedural matters. Tolson v. Hodge,411 F.2d 123 (4th Cir. 1979); Avondale Shipyards, Inc. v. Propulsion Systems, Inc., 53 F.R.D. 341 (E.D.La.1971); G & M Tire Co. Inc. v. Dunlop Tire & Rubber Co., 36 F.R.D. 440 (N.D.Miss.1964). Despite its general language, the facts in Tolson do not involve the assertion by a fiduciary of claims held in such capacity to reduce the fiduciary’s own personal liability to the opposing party. In Tolson plaintiff sued an administratrix who counterclaimed in her fiduciary capacity only. In the case of Chase, there is probably not the same logical relationship between defendant’s claim as trustee against plaintiff and plaintiff’s claim against defendant in its own corporate capacity such as Rule 13(a) would require to be pleaded as a set-off to reduce the trustee’s own personal liability. In this case, defendant’s set-off claims arose out of the same general occurrence as the claims asserted by plaintiff, that is to say, the Cuban Revolution, but the defendant’s set-off claims here to not bear the logical relationship to the plaintiff’s claims such as to make the set-offs compulsory under Rule 13(a). See Harris v. Steinem,571 F.2d 119 (2d Cir. 1978).

Defendant’s arguments for allowing the set-off, stated in terms of “policy considerations” and “substantial justice,” are tempting arguments, but if allowed, may be productive of vast mischief. While we would seek to do justice in the matter, we cannot part from our established procedures and rules in order to do so. It is purely fortuitous that Chase, against which plaintiff has asserted a claim, happens to be the trustee of these two equipment trusts. If the trustee were a different entity, or if Chase did not happen to be indebted to Banco Nacional, no set-off would be available. Presumably, other Cuban equipment trusts held by other American trustees are not so fortunate. If the set-off were permitted in this case, the next logical step is to permit an assignee or person who has purchased a Cuban claim, to assert a set-off. This would bring forth a brisk and undesirable trading in claims against Cuban corporations or the Cuban state, to become available for purposes of set-off, and where will it stop?

When we focus on the question of trustee identity, evolution of the law concerning trusts has left an unclear result. At common law, a trustee held legal title to the trust property in his own name and could sue in his own name for an injury to the trust property. Toronto General Trust Co. v. Chicago, Burlington & Quincy Railroad Co., 123 N.Y. 37, 25 N.E. 198 (1890). A single person acting as trustee of two trusts could not litigate against himself at common law, but would have to resolve any such dispute either by resigning and permitting a successor trustee to litigate, or by resort to equity. In United States Trust Company of New York v. Bingham,301 N.Y. 1, 92 N.E.2d 39 (1950) the lower courts had allowed a trust company to appear in a proceeding for the judicial settlement of

[ 505 F.Supp. 441 ]

fiduciary accounts of its sole trusteeship of the Payne trusts, against which the Estate of one Ledyard, of which the same fiduciary was executor, had a claim for trustee commissions earned by Ledyard during his lifetime, and to litigate that issue against itself. Distinguishing Fisher v. Banta, 66 N.Y. 468 (1876), which held that the administrator of an estate cannot account to himself as executor of a deceased beneficiary of the same estate, the New York Court of Appeals affirmed. In Bingham the Trust Company was represented in its separate capacities by two different attorneys. The dissenting opinion of Judge Desmond states the case simply:

“The simple, unavoidable question here is as to whether the Trust Company, as claimant (for the Ledyard estate) could, alone and to the exclusion of anyone beneficially interested in the Ledyard estate, carry on a litigation against the alleged debtor (the Trust Company itself, as Payne trustee) and get a judgment therein which would conclude the Ledyard estate and its beneficiaries. I do not see how it is possible to give any but a negative answer to that question.
`It is elementary that the same person cannot be both plaintiff and defendant at the same time in the same action. It is incongruous that the same person should direct and conduct both the prosecution and the defense of the same suit, no matter in what capacity he may appear. * * * And the rule has been applied where the same person sues and defends in different capacities.’ (Globe & Rutgers Fire Ins. Co. v. Hines, 273 F. 774, 777 [C.C.A.2d], certiorari denied 257 U.S. 643, 42 S.Ct. 54, 66 L.Ed. 413).”
See also, Trustees, etc. v. Stewart, 27 Barb. 553 (S.Ct. Cayuga Co. 1858).
On the same day that the Court of Appeals decided Bingham, but presumably without foreknowledge, Mr. Justice Eder of the New York Supreme Court, New York County, considered an unusual fact situation in Krooss v. Maue,198 Misc. 397, 97 N.Y.S.2d 415 (1950). In an action concerning real property, Elise Krooss, as executrix of a decedent’s estate, had sued her son John H. Krooss and her son-in-law, Peter H. Maue individually and as representative of another decedent’s estate. Following the death of Elise Krooss, John H. Krooss, one of the co-defendants in his individual capacity, became successor executor and sought to be substituted as plaintiff and to continue the litigation. Justice Eder held as follows:
“The application presents an important question, viz., whether the movant, who is a defendant in this action in his individual capacity, can now continue the action in a representative capacity as successor to his mother against himself and his co-defendant who is his deceased sister’s representative.
* * * * * *
If the application is granted, this, in effect, would permit the movant John H. Krooss to be a plaintiff in a representative capacity, and a defendant in an individual capacity in one and the same case. Such a situation is an anomalous one and, to permit such a procedure, is irregular and may result in prejudice to the rights of other parties, and create confusion. In New Jersey, where a comparable situation was presented—Shippee v. Shippee, 122 N.J.Eq. 570, 195 A. 728, the court took the position that a man cannot, in his individual capacity, sue himself in his capacity as executor. The rule must similarly apply to a converse situation.
In 24 Corpus Juris, § 2043, p. 812, the rule is stated as follows: “The courts do not permit a party to be both plaintiff and defendant in the same action and therefore it is not competent for a personal representative acting in his representative capacity to sue himself in his individual capacity. The rule is not altered by the fact that his co-representative is joined with him as co-plaintiff, but the pleading may be amended by striking out his name as co-plaintiff. On the other hand, a personal representative cannot maintain a suit in his individual capacity against himself in his representative capacity.’ See, also, 34 C.J.S. Executors and Administrators, § 689.
[ 505 F.Supp. 442 ]

This is a logical conclusion and one with which I am in accord and, in consequence, I am unable to see that the same person, by the addition of a designation, can thus overcome the prohibition which otherwise exists. In other words, a person, by acting as executor or trustee, does not thereby become a separate entity like a corporation; he continues to be, and is, the same natural person as he is in his individual capacity.” (Emphasis added).

When Krooss reached the Appellate Division on October 17th of the same year, the order was unanimously reversed, without citation of Bingham. The First Department held by memorandum (100 N.Y.2d 226):
“There is no conflict of interest between appellant in his individual and representative capacities. On the pleadings his position as defendant is identical with plaintiff’s position and the contest is between the Krooss Estate, now represented by appellant as administrator, and respondent Maue. It is proper under the circumstances for appellant to be substituted as plaintiff.”
Later, in Bederman v. Moskowitz, 139 N.Y.2d 352 (Sup.Ct. Kings Co. 1955) the court, citing Krooss, but making no reference whatever to Bingham, held:
“A party may not in his individual capacity sue himself in his representative capacity where his position is inconsistent and hostile with his representative capacity. The court is not unmindful of the case of Krooss v. Maue,198 Misc. 397, 97 N.Y.S.2d 415, which held that the one who is a defendant in an individual capacity cannot continue the action in a representative capacity as successor to another against himself and his co-defendant, which was reversed by the Appellate Division, 277 App.Div. 973, 100 N.Y.S.2d 226. The distinction between the matter on hand and the Krooss case lies in the fact that the latter case, as noted by the Appellate Division, there was no conflict of interest between the defendant in his individual and representative capacities. Such is not the situation here. Accordingly, the motion is denied, with leave to renew at such time when a person other than the plaintiff has qualified as a representative of the estate of the deceased.”
Bederman was an action to recover damages for conversion of jewelry owned by the plaintiff, entrusted to her sister, now deceased, who had been defendant’s wife. Later, in Murphy v. Christoffers,55 Misc.2d 879, 286 N.Y.S.2d 939 (Dist.Ct. Nassau Co. 1968) citing Krooss but not Bingham, a father, as guardian ad litem for an infant plaintiff, was permitted to maintain litigation against his wife and another as co-executors of a decedent who had a claim against the decedent. The Court held that notwithstanding the common law unity of interest which the parents had as guardians and custodians of the infant plaintiff, there was no conflict of interest between the plaintiff, appearing by a guardian ad litem, in a common interest with the guardian’s wife on the one side, against the deceased defendant’s estate of which the guardian’s wife was co-executrix, on the other.
The most that can be derived from the foregoing cases, and the Bingham case, supra, which involved an inter vivos trust instrument, creating an express trust of the same nature as that which Chase accepted for the benefit of the railway equipment investors, is that the New York trustee may well have become an entity separate from himself, so that he can sue himself by separate counsel, and that the rule of Toronto General Trust Co., supra no longer has validity. If this is true, then it may be concluded that Chase as legal title holder could no longer sue in its own name in New York as a matter of capacity to sue, and accordingly it cannot sue plaintiff in that fashion here, nor can it plead the claims to which it holds legal title as trustee as a set-off.
X
The Cuban Branches as an Entity

The Cuban branches were not separately incorporated. By reason of American law, neither Chase nor Citibank could have owned and operated its Cuban branches as

[ 505 F.Supp. 443 ]

subsidiary corporations organized under Cuban or American law. See 12 U.S.C. § 601. Nor could these national banks have placed at risk in Cuba all of their general assets wheresoever located. Id. On the books of the home office the branches were treated collectively as a separate enterprise from the domestic banking operations. The books of account showed the total capital invested in or allocated to the Cuban operations, and a daily balance was struck showing “indebtedness” between the Cuban operation and the bank as a whole, as if the Cuban operation were a separate enterprise. This was in accordance with customary foreign banking operations of American banks.

It was also apparently in compliance with Cuban banking regulations. For example, Exhibit C4 shows that Chase forwarded to Banco Nacional bonds amounting to $1,978,000 to create “capital and reserve” in accordance with Article 105 of Cuban Law No. 13 of December 23, 1948, establishing Banco Nacional, and that this figure was derived as representing 5% of demand deposits in Chase’s Cuban operations as of April 27, 1950. The minutes of the directors of Chase at a meeting held on October 6, 1937, assigned $100,000 to the capital of Chase’s Havana branch.
Similarly, minutes of the board of directors of Citibank on December 31, 1924 show authority to open a branch bank at Havana, “and that this corporation use in connection with its banking business in the Republic of Cuba, an amount of capital not exceeding $100,000.”
Between the commencement of banking in Cuba in 1925, and 1937, Chase had caused its Cuban branch to “borrow” from the main office in New York, those funds, which together with deposits, permitted the Cuban branch to conduct its day to day operations. In effect, the branch in Havana was permitted to “overdraw” its checking account in dollars with the main office, so that the reflection on the books at the main office in New York would be a negative balance in the Havana branch checking account. This appears from the deposition of Michael P. Esposito, Jr., taken April 10, 1974, Exhibit G. This practice continued until the capital loan of 1937, made from the head office to the Cuban branch as “allocated capital” mentioned above. Additional sums were allocated in the 1950′s to other Cuban branches in accordance with resolutions of Chase’s board of directors.
Chase’s Cuban branches always had resident officers, but never had a separate board of directors. These officers were always selected by the board of directors in New York. By resolution of the Bank’s board of directors, branches were established as follows: Havana, January 12, 1925; Vedado, February 1, 1951; Marianao, April 2, 1951; and Amistad, June 1, 1954. Capital at $5,000 each had been assigned to the Vedado, Marianao and Amistad branches from the New York office at about the time they opened. To permit the Bank’s branches in Cuba to have adequate funds for their day to day operations, credit slips were also issued, including a credit slip on April 9, 1951 for $1,978,452.45; another on December 22, 1955 for $50,000; another on December 13, 1956 for $167,000; and one on October 24, 1957 for $1,804,547.55.
We see, therefore, in the case of both banks, that the branches were operated as a separate enterprise for bookkeeping purposes, and treated as a separate “profit center,” making payments to and receiving payments from their head office in New York. Furthermore, prior to confiscation, the Cuban Government and Banco Nacional treated the Cuban branches as distinct entities independent of their head office for purposes of banking regulation and taxation.

Prior to the enactment of Law No. 13 of 1948, which established Banco Nacional, there was little statutory regulation of the banking business in Cuba. The commercial code required maintenance of a minimum legal cash reserve of 25% of deposit liabilities. For purposes of enforcing this code, the only liabilities considered were those of the Cuban branches, not of the entire bank. As noted above, when required to subscribe to Banco Nacional stock in proportion to

[ 505 F.Supp. 444 ]

their shares of the deposits of all banks in Cuba, Chase and Citibank did so solely with reference to deposits in their Cuban branches. Just prior to confiscation, and at all prior times, Banco Nacional had recognized the obligations of the Cuban branches to repay to the head office such items as profits, overdrafts and amounts due with respect to letters of credit which the branches had caused the head office to open in New York in favor of Cuban businesses. Cuba had permitted remission of such amounts to New York along with other similar transactions except that the last two years profits were not remitted because of restrictions placed on foreign exchange.

The bank examination function was performed in Cuba by Banco Nacional. It recognized as valid the bookkeeping records of the banks, including the liability items on the financial statements shown as owed to the home office representing capital and reserves. Taxes imposed by Cuba on profits were related solely to the profits of the Cuban branches. The entire books of account of these national banks were also under the continuous supervision of the bank examiners employed by the Comptroller of the Currency of the United States. See, 12 C.F.R. §§ 4.2, 4.11.
While it is certainly true as a matter of law that “the branch in Havana could no more be indebted to the head office than the branch on Pine Street could be indebted to a branch on Broadway,” (Mr. Rabinowitz, quoted from p. 16 of hearing held before me July 20, 1978), it remains true that the Cuban Government, the banks themselves, and the Controller of the Currency treated the Cuban branches at least for all value-related purposes, as independent banking enterprises. As such, the branches were amenable to sale or disposition, and as it turned out, they were amenable to confiscation without payment, all separately from the home office. The profits or losses of the Cuban branches were included in the consolidated annual reports to shareholders by each bank, except that unremitted profits in 1959 and 1960 were generally carried as unearned income on the balance sheets. For the last two years the profits had not been remitted, solely for lack of foreign exchange remittance permits, although such permits were being routinely granted for ordinary commercial transactions regarded as helpful to the Cuban economy.
From the point of view of economics, the branches of the respective banks, each treated as a single enterprise, should be valued with the same effect as if each were an independent entity, or a subsidiary corporation. In valuation, we must look to the economic realities, which should not be distorted by reference to the legal theory under which the economic entity (branch bank) was conducted or formed.
The concept that the bank branches in Cuba are an independent economic entity has of course no bearing on the theory advanced by Chase that the book entries for the net debt of the branches to the home office form a bases for contending that this debt in effect was taken over, confiscated or assumed by Banco Nacional when the branches were confiscated. The damages to be recovered here by Chase as set-off cannot exceed the value of the asset in place at the time that it was taken, without adjustment for any chilling effect on its value resulting from the taking. This valuation question is discussed further below. Ordinarily, branches of this sort, which have been profitable for all or most of their history and have a going concern value, should be expected to be worth more than the total historic “debt” which they owe to the home office. But the historic amount of any such debt cannot in logic be taken as the value of what was expropriated.
XI
Valuation
Discussion of the valuation of the confiscated branches may begin with Judge Frank’s admonition in Commissioner of Internal Revenue v. Marshall,125 F.2d 943 (2d Cir. 1942), that we need to recognize:

“The eely character of the word `value.’ It is a bewitching word which, for years,

[ 505 F.Supp. 445 ]

has disturbed mental peace and caused numerous useless debates. Perhaps it would be better for the peace of man’s mind if the word were abolished. Reams of good paper and gallons of good ink have been wasted by those who have tried to give a constant and precise meaning. The truth is that it has different meanings in different contexts ….” 125 F.2d at 946.

A threshold question concerns whether the banks are entitled to compensation for the Cuban branches on a going concern basis, rather than merely at the value of the sum of the constituent parts. As a matter of principle it seems clear that the defendants are entitled to assert their set-off by valuation on a going concern basis. This conclusion follows because the Cuban Government expropriated the branches, including the assets, liabilities, customer lists and books and records, and continued to use them as a going banking operation in the name of Banco Nacional, with the same effect as if they had been merged with the domestic banking operations of Banco Nacional. This was done with the intention to run these branches as banks, as part of the national banking system. This is not the case where a going concern is taken over by an expropriating nation simply in order to liquidate it, nor is it the case where a host nation simply orders a particular business or type of business to cease operations. When a business is taken over to be operated as a going concern, the owner becomes entitled to compensation for the value of that business as a going concern. This result could follow on the theory that there was a contract implied in fact that Banco Nacional or the Cuban Government would pay compensation. Contracts implied in fact require the assent of the person to be charged, or conduct from which such assent may be inferred. Grombach Productions, Inc. v. Waring, 293 N.Y. 609, 59 N.E.2d 425 (1944); Miller v. Schloss, 218 N.Y. 400, 113 N.E. 337 (1916). Here, the statute on its face contemplated payment by the issuance of bonds, although such bonds were never issued. It is doubtful that the Cuban Government or Banco Nacional, the parties charged in this case ever intended to fix the value and issue the bonds, or that they may be found to have “agreed” to compensate the banks for any of the branches seized. The statute required valuation by Banco Nacional as of the end of the year, but there is no evidence it ever did so.
However, the defendant banks may also recover on the theory that there was a contract implied in law, or a quasi-contract. A quasi-contract “is not a contract or promise at all. It is an obligation which the law creates, in the absence of any agreement, when and because the acts of the parties or others have placed in the possession of one person money, or its equivalent, under such circumstances that in equity and good conscience he ought not retain it, and which et aequo et bono belongs to another.” Miller v. Schloss, supra, at 407, 113 N.E. 337. In order to recover under this theory, defendants must show that Banco Nacional or the Cuban Government was unjustly enriched at their expense, and that “… the circumstances were such that in equity and good conscience [Banco Nacional or the Cuban Government] should make restitution.” Chase Manhattan Bank, N.A. v. Banque Intra, S.A.,274 F.Supp. 496, 499 (S.D.N.Y. 1967); see also Silberblatt, Inc. v. East Harlem Pilot Block,608 F.2d 28 (2d Cir. 1979). Having taken over these branches and their accounts, deposits and assets, and having thereafter operated the branches as branch banks for its/their own account, Banco Nacional and/or the Cuban Government are bound to make restitution on principles of quasi-contract, in addition to being so obligated under the principles of international law discussed supra, p. 429, et seq.

The applicable value will be that which our own Government would pay to a domestic corporation under our laws of eminent domain. This basic standard of valuation is market value, “what a willing buyer would pay in cash to a willing seller.” United States v. Miller,317 U.S. 369, 374, 63 S.Ct. 276, 280, 87 L.Ed. 336 (1943). That there are no willing buyers around, or that the property taken is not of a sort which is fungible or generally bought and sold, does

[ 505 F.Supp. 446 ]

not detract from the validity of the theory nor prevent its application.

Distinguishable are those cases where only land upon which a business is conducted is taken, and where the business itself does not change ownership from private to public control. Where the owner of a business may remove it to another place, reestablish his business, carrying his good will with him, there will be no compensation for the damage to good will, or for the loss of any other intangible value that accrues when a business establishes itself as a “going concern.” See Banner Milling Co. v. State, 240 N.Y. 533, 540-41, 148 N.E. 668, cert. denied 269 U.S. 582, 46 S.Ct. 107, 70 L.Ed. 423 (1925). The Supreme Court has decided similar cases, where a condemning authority has taken over a business and continued to operate it for its own benefit. In such cases, the business is generally valued as a going concern, including recovery for good will or going concern value. See Kimball Laundry Company v. United States,338 U.S. 1, 8-20, 69 S.Ct. 1434, 1439-1445, 93 L.Ed. 1765 (1949); City of Denver v. Denver Union Water Company,246 U.S. 178, 191-92, 38 S.Ct. 278, 62 L.Ed. 649 (1918); City of Omaha v. Omaha Water Company,218 U.S. 180, 202-03, 30 S.Ct. 615, 619-620, 54 L.Ed. 991 (1910).
Notwithstanding the statutory provisions of the Cuban Claims Act of 1964, 22 U.S.C. § 1643b(a) quoted supra, p. 435, the customary practice of the Foreign Claims Settlement Commission, as explained by Professor Lillich, was generally to refuse recovery for good will, largely because of the problems of proving it. See Lillich I at 100-15. However, with the decision on the claim of First National Bank of Boston, FCSC Ann.Rep. 33 (1969), the Commission reversed this policy. Adjudications by the FCSC in connection with claims regarding the Cuban branches of Chase and Citibank, discussed infra, p. 449, did allow good will to the extent the existence of it could be shown.
A second issue which arises in valuing the Cuban branches is whether and to what extent the Court should take into account conduct of the Government prior to nationalization, which had a threatening or chilling effect on the value of the branches. As noted, the Cuban Revolution produced sweeping economic and social changes, which had a general debilitating effect on the Cuban economy. During this period the level of activity and the value of defendants’ businesses in Cuba declined. This decline can be attributed generally to several causes, including: (i) increased stringency in currency controls which impeded international trade and trade with the United States, areas in which Chase and Citibank had enjoyed a competitive advantage over other banks in Cuba; (ii) the taking over by Interventors, appointed by the Cuban Government, of business properties belonging to Cubans who had fled the realm. These political functionaries naturally elected to do their domestic banking with Banco Nacional instead of Chase or Citibank; (iii) land reform, which eliminated the large private agricultural producers, some of which were American owned, and most of which had need for international banking services; (iv) general economic depression due to decreased tourism, decreased economic activity, hostile actions of the American Congress and State Department; and (v) just plain hard times.

There are numerous authorities to the effect that the prior depressing effect of the threat of nationalization by the nationalizing country are to be disregarded in fixing value of expropriated property. Authorities include the Case Concerning the Factory at Chorzow, P.C.I.J. Ser. A No. 17 at 47; Restatement (Second) of the Foreign Relations Law of the United States § 188 Comment b (1965); Lillich, “The Valuation of Nationalized Property by the Foreign Claims Settlement Commission” in Lillich I, pp. 95 and 97, n. 13; Almota Farmer’s Elevator and Warehouse Company v. United States,409 U.S. 470, 478, 93 S.Ct. 791, 796, 35 L.Ed.2d 1 (1973). The decisions of the Foreign Claims Settlement Commission accept this argument by using earnings figures from the pre-revolutionary period in Cuba. See, e. g., Claim of First National City Bank,proposed Decision No. CU 3835

[ 505 F.Supp. 447 ]

(September 3, 1969). Claim of Intercontinental Hotels Corporation, Decision No. CU-4545 (April 13, 1970).

The Commentary to the Restatement suggests:
“So far as practicable, full value must be determined as of the time of the taking, unaffected by the taking, by other related takings, or by conduct attributable to the taking state and having the effect of depressing the value of the property in anticipation of the taking. This does not require, however, disregard of the effect on market values of the state’s general power to regulate the use of property or the conduct of business operations.” Restatement (Second) of the Foreign Relations Law of the United States, § 188 Comment b (1965).
The argument goes so far as to suggest that this approach to valuation is essential, lest the amount of compensation be left wholly in the power of the nationalizing government.
In opposition, plaintiffs make an argument which expresses reality. Plaintiff’s counsel expresses a very telling analysis (p. 21 of post-trial hearing held July 20, 1978) to the effect that:
“[I]t is possible to pretend that there was no revolution. It is possible to pretend that the sugar quota was still in existence. It was possible to pretend that the casinos were still running in Havana, and that the tourist trade was still running in Havana and to say, well, … in 1957 or 1958 they made a lot of money, so we will project that into an imaginary future. It is possible to do that.”
And, we may add, it is possible to pretend that the propertied and professional classes had not fled the revolution; and that the successful plantations had not been extinguished by agrarian reform. All of these assumptions are possible to make, but they are not justified by reality.
It was not a violation of international law, of which these defendants have standing to complain, for Cuba to engage in agrarian reform. Indeed on its face, the Agrarian Reform Law does provide for compensation, although in fact no compensation was paid to American owners. Nor is it a violation for a nation to readjust its economy and change the methods of organizing its local and international trade. Many of the adverse effects on the value of the branch banks in Cuba did not arise from wrongdoing, or the chilling result of projected takings, as are contemplated by the rule suggested in the Restatement. On the facts of this case, we cannot attribute the entire downturn in the value of the branch banks to any improper chilling effect exerted by the Cuban Government on these banks prior to expropriation.
Investments in foreign countries where the political climate is unstable obviously present higher risks, as foreign investors must realize. It would be a novel theory indeed that holds a foreign nation liable to make compensation to foreigners solely for damage ensuing by reason of basic changes in the social contract, though they be radical changes. The right to effect such changes is an incident of sovereignty. It is apparent that the Cuban Government, or our own Government could take numerous steps which would have been detrimental to a business, without giving rise to any right of compensation on the part of that business. Even under our own Constitution, an outright ban on sale of a manufacturer’s product, such as we experienced during National Prohibition, may be enacted, resulting in ruin to a business, but no right to compensation therefore would be recognized. See, e. g., Mugler v. Kansas,123 U.S. 623, 8 S.Ct. 273, 31 L.Ed. 205 (1887); Samuels v. McCurdy,267 U.S. 188, 45 S.Ct. 264, 69 L.Ed. 568 (1925) and cases therein cited.

Defendants, by asking the Court to disregard totally the depressing effect on their business of the events of 1959-60, seek compensation in part for the business losses they incurred as a result of those events. Defendants are entitled to compensation only if and to the extent that the events which led to those losses were actions of the Cuban Government in violation of international

[ 505 F.Supp. 448 ]

law, typically including confiscation, and the chilling of the value of the asset prior to seizure which occurred when confiscation became a foreseeable certainty. There does not appear to be a legal basis to award compensation to defendants for that portion of their losses in the value of their businesses resulting solely from secular change in Cuba.

It would be inappropriate to project the profits of the Cuban branches prior to 1959 to value the underlying business, and accordingly the valuation must be computed based on circumstances as they existed shortly prior to the time the banks were taken over. Such value will be fixed, however, without regard to the retaliation foreseeable when the Soviet barter agreement was followed by the termination of the Cuban sugar import quota to the United States. Once confiscation of the American banks became foreseeable, they had no market value, and this is shown by the testimony of Citibank’s expert witness, Morris Schapiro (Trial Tr., Jan. 12, 1977, pp. 494-509).
XII
Pre-judgment Interest
Also at issue here is the question of whether the plaintiffs’ claims, and the defendants’ set-offs to the extent allowed, are entitled to accrue pre-judgment interest. Much time has elapsed since the claims arose, and such interest would amount to much more than the principal amount by the time appellate review is complete with respect to the final judgments to be entered herein.
Interest, as damages for the delay in payment of money or other legal obligations, as distinct from contractual interest, is a matter of substantive right, and the law of the place where the cause of action arose, or the law of the place of performance of the contract or duty to pay rather than the law of the forum, determines whether there is a right to such interest and the rate thereof. See Fanning v. Consequa, 17 Johns. 511 (1820) and cases therein cited.
Under Erie principles, whether the plaintiff in this dispute is entitled to pre-judgment interest will be a question of New York law. The debt sued upon is here, the defendants are here, and New York was the place where Chase and Citibank should have credited Banco Nacional with the sums due in these actions.
Section 5001, New York CPLR, which as to claims at law reenacted prior statutory provisions without substantive change, provides that pre-judgment interest shall be recovered “upon a sum awarded because of a breach of performance of a contract, or because of an act or omission depriving or otherwise interfering with title to, or possession or enjoyment of, property.” Historically, in New York the right to pre-judgment interest has not been as absolute as a literal reading of the statute would suggest. Generally pre-judgment interest has been awarded either in the nature of a penalty, or as damages for the withholding of the payment of money, or for the purpose of awarding just compensation, and therefore as a part of the computation of the total damages which would be required to be paid in order to effect a just indemnity. See generally, Van Rensselaer v. Jewett, 2 N.Y. 135, 140 (1849) and Prager v. N. J. Fidelity & Plate Glass Insurance Co., 245 N.Y. 1, 6, 156 N.E. 76 (1927, Cardozo, Ch. J.).

Ordinarily the New York courts award pre-judgment interest on money from the time when the money becomes due and payable. Expressed differently, interest is said to be an invariable legal incident of the principal debt only whenever a debtor knows precisely what he is to pay and when he is to pay, but does not. Gray v. Prudential Insurance Co., 46 N.Y.S.2d 850 (Sup.Ct.N.Y.Co.1943), rev’d. on other grounds,267 A.D. 688, 48 N.Y.S.2d 82 (1st Dept. 1944). There is an exception of long standing to the award of pre-judgment interest by way of damages for the detention of a debt. Whenever the law prohibits payment of the principal, interest during the existence of the prohibition is not demandable.

[ 505 F.Supp. 449 ]

See Wheelock v. Tanner, 39 N.Y. 481, 504 (1868); Moscow Fire Insurance Co. v. Heckscher & Gottlieb, 260 A.D. 646, 648, 23 N.Y.S.2d 424 (1st Dept. 1940), aff’d. 285 N.Y. 674, 34 N.E.2d 377 (1941). An analogous New York statute, § 100-b(4) of the Banking Law, provides that a trust company is not required to allow interest upon uninvested funds held by it as a fiduciary where payment of the principal is prohibited under any order, regulation or ruling issued under or pursuant to the Trading With the Enemy Act.

The logical basis for these rules is applicable here. Remittances to Cuba have been, during the relevant time period, prevented by federal law, 31 C.F.R. § 515, and payment by Chase of the ultimate balances found due was impossible at all relevant times. There is no basis for distinguishing between blocking of funds, and judicial obstruction, such as an injunction, both of which prevent payment by a debtor.
Traditionally, in cases of insolvency or bankruptcy, no interest is allowed, unless there are surplus funds available for that purpose. Courts considering the withholding of interest in such a situation have traditionally observed that “delay in the payment of a claim undoubtedly results in injury to the creditor. He does not receive full compensation unless interest is paid to him during the time in which payment of his claim is postponed. But the delay in distribution is the act of the law; it is a necessary incident to the settlement of the estate.” In re Application of Stoddard, 249 N.Y. 139, 163 N.E. 129 (1928). Here, in the instant case, the debts to and from Cuba although due, were at no time payable, and for that reason they should not bear any pre-judgment interest. Indeed, they are not payable now, and may not be payable after the judgment of this Court has been processed through final appellate review.
XIII
Effect of the Determination of Damages by the Foreign Claims Settlement Commission
Citibank argued before Judge Bryan that this Court may, and indeed must, adopt the damage figure certified by the Foreign Claims Settlement Commission to represent Citibank’s loss in Cuba. While this Court believes that the determination of the Foreign Claims Settlement Commission has some evidentiary value, and is admissible and available for consideration by the Court under Rule 803(8)(A) and (C), F.R.Evid., the result is binding neither on this Court nor on plaintiff.
Citibank relies on a general provision in the Act establishing the Foreign Claims Settlement Commission to support this argument. The relevant language, in 22 U.S.C. § 1623(h), is as follows:
“The action of the Commission in allowing or denying any claim under this subchapter shall be final and conclusive on all questions of law and fact and not subject to review by the Secretary of State or any other official, department, agency, or establishment of the United States or by any court by mandamus or otherwise.”
In addition, Citibank relies on 22 U.S.C. § 1623(b), which reads in relevant part as follows:
“Each decision by the Commission pursuant to this subchapter shall … constitute a full and final disposition of the case in which the decision is rendered.”

When read together as a part of the total statutory scheme, as they must be, these provisions are considered merely to prevent judicial tinkering with the total amount of loss certified by the Commission with respect to any claimant. That is to say the Commission’s determination of the amount of a claimant’s loss, made after hearing claimant but without giving the foreign nation an opportunity to be heard or present evidence, is final for purposes of distributing any money ultimately received from a foreign government in lump-sum negotiated diplomatic settlements of the total claims of American nationals for property taken, and/or as a result of our Government having blocked the foreign funds located here. The reason for such a provision is obvious. The lump-sum payment of indemnification

[ 505 F.Supp. 450 ]

will be distributed pro rata among claimants in accordance with the amounts of their claims. Challenge by one claimant to the total dollar amount fixed for his claim would delay distribution of the settlement funds to all claimants, since ordinarily no distribution can be made until the total amount of outstanding claims has been adjudicated by the Foreign Claims Settlement Commission, so the percentage of recovery by all claimants can be determined. See, 95 Cong.Rec. 8854 (1949), which sets forth the Senate debate on 22 U.S.C. § 1623(h) as follows:

“Mr. VORYS. The gentleman in his bill sets up a thing which approximates in some ways judicial procedure. Can the gentleman give this committee one single solitary reason why he wants to deny claimants the right to go to court which this amendment would give him?
Can the gentleman cite one reason?
Mr. RIBICOFF. Yes. The reason, as the gentleman may know, as we discussed it very thoroughly in committee, is that we are setting up here an expeditious handling of claims. We know that if you take these claims and get them involved in continuous court controversy, it will be many, many years before these claims are settled. You have a constitutional prohibition against courts interfering with settlements, and also you would have all these claims interminably tied up in court where one claimant with one appeal could tie up the settlement of 1,500 claims. We believe that three United States Commissioners would administer justice. In the final analysis, the main issue here is the amount involved, and the gentleman from Ohio well knows that any finding of fact based upon contradictory evidence would be conclusive upon a court anyway, and all that could be gained would be someone striking against the Commission and holding up $17,000,000 worth of claims.
* * * * * *
Mr. JENSEN. Do I understand that this Commission has full authority to decide all these claims? In other words, are they a court of last resort?
Mr. RIBICOFF. They are, sir.
Mr. JENSEN. So whatever they decide, the claimants have no recourse to any other court of the land?
Mr. RIBICOFF. That is correct, sir.
* * * * * *
Mr. VORYS. Mr. Chairman, I move to strike out the last word.
Mr. Chairman, if the Committee will look at the majority report, you will see they make a lot of the fact that they are attempting to approximate judicial procedure in dividing up this $17,000,000 that belongs to the United States, among United States claimants. So there is not any question coming up except whether United States nationals have a right to this fund that belongs to the United States. This is the type of question which many of the claimants may not want to submit to the final decision of these three bureaucrats appointed by the Secretary of State.

For 10 long years, since I have been a Member of this House, we have heard a great deal of defense of the administrative agencies and commissions, that they should be given the right to make final decisions, so as to secure rapidity and flexibility. But we wiped that all out with the Logan-Walter law. We said, under the Act of Administrative Procedure, that these various boards and bureaus are going to be subject to review by the courts of the land. A man is not going to have to take the last word of some administrative bureaucrat. He is not going to have to know the right people in the Department. He is not going to be of the right political party or hire the right lawyer. He is going to have a chance to go into court if he disagrees, and an independent judiciary is going to decide what his rights are. But now, in this strange, anomalous thing that is brought here we are going to go back on the Logan-Walter law and say, `Oh, no, no. All other boards, bureaus, and agencies around here must have some kind of court review, but not the State Department.’

[ 505 F.Supp. 451 ]

The fact that such review is possible has had a very beneficial effect on those agencies that exercise quasi-judicial functions. But when it comes to American nationals making a claim against their own Government for money which their Government has collected on their behalf from another country, you say, `Oh, no. Your appeal is to the `guys’ who made the decision.’ These three bureaucrats. `If you do not like it, you can lump it.’

Now, this amendment is simply to strike out that language in this bill and therefore leave it under the appellate procedure which the Congress, after years of debate and discussion and after consultation with all of these agencies, set up under the Administrative Procedure Act, providing for efficient and just court review for an American citizen. I hope the amendment is adopted.”
After this discussion, the views of Senator Ribicoff prevailed.
Reported cases citing the statute go no further than to hold that challenges by claimants who question the amount of the loss certified by the Commission cannot be adjudicated in the district court. Zutich v. Gillilland,254 F.2d 464 (6th Cir. 1958); American and European Agencies, Inc. v. Gillilland,247 F.2d 95 (D.C.Cir.), cert. denied, 355 U.S. 884, 78 S.Ct. 152, 2 L.Ed.2d 114 (1957); Haas v. Humphrey,246 F.2d 682 (D.C.Cir.), cert. denied, 355 U.S. 854, 78 S.Ct. 83, 2 L.Ed.2d 63 (1957); DeVegvar v. Gillilland,228 F.2d 640 (D.C.Cir.1955), cert. denied, 350 U.S. 994, 76 S.Ct. 543, 100 L.Ed. 859 (1956). They do not stand for the proposition that the Foreign Claims Settlement Commission can adjudicate with finality a res inter alios, as Citibank apparently contends.
The Foreign Claims Settlement Commission itself contemplates that claimants may recover all or part of their losses in unrelated judicial proceedings, and such proceedings are not barred by the finality provisions of the Act. For example, in its determination of claims by Chase Manhattan Bank, Nos. 2684 and 2685, the proposed decision of August 4, 1971, No. CU-6294 (altered on a different ground in final decision No. CU-6295 of October 20, 1971), provided that any recovery by Chase in these lawsuits would be deducted from the amount of Chase’s loss as certified by the Commission. The difference of course is that in these lawsuits Chase and Citibank have the chance of recovering in full, whereas claimants before the Foreign Claims Settlement Commission will likely recover only an uncertain percentage.
To hold that the Foreign Claims Settlement Commission’s ex parte determination of the amount of Citibank’s loss in Cuba is binding here against Bancec, or the Cuban Government, would violate a basic principle of our jurisprudence and would represent a denial of due process. Accordingly, it would be inappropriate to apply such a finding as having binding effect in this litigation, and this is so wholly apart from the separate issue of whether an administrative determination ever has res judicata effect. See K. Davis, Administrative Law Treatise, § 18.01, et seq. (1958).
The Court will consider the decision of the Commission, but only as some evidence of the truth of the facts found therein, including the amount of value.
XIV
Computation of Damages of Chase

Chase’s four Cuban branches were treated for bookkeeping purposes and convenience as a single so-called “Havana Branch” and will be referred to herein on occasion as a single branch. Chase has presented two separate theories, separately pleaded as separate counterclaims with respect to the confiscation of its Havana Branch. The first is referred to as the “separate entity” or “contract theory” of damages, and is based on the contention that the Havana Branch should be treated as a separate entity in the nature of a subsidiary corporation, whose relationship with the parent, defendant here, is that of debtor-creditor. Chase claims that the Havana Branch was indebted to its home office

[ 505 F.Supp. 452 ]

at the time of taking in the amount of $5,780,228, and that by virtue of Cuban law, specifically Resolution 2 of September 17, 1960, when plaintiff confiscated the branch, it assumed all the debts of the Havana Branch, foreign and domestic, including its indebtedness to the home office.

The second counterclaim, sometimes referred to as the “single entity” or “conversion theory”, is based on the contention that the Havana Branch and its assets were the property of Chase, and that Banco Nacional and the Government of Cuba converted that property, and defendant therefore is entitled to recover compensation for the conversion in the amount of the value of the assets, including going concern or “good will value” taken. This claim is asserted in the amount of $8,213,204.
For our purposes it matters little whether the claim is posited on the tort theory of conversion; or on the theory of an implied contract with Banco Nacional which received the expropriated property under circumstances which would lead to an agreement implied in law or in fact, or both to pay the fair value thereof, or if the claim be regarded as analogous to an action for reverse condemnation, or a claim under general principles of international law requiring full, fair and prompt payment for expropriated properties of aliens. In all events, one whose property is taken under the circumstances here present is by international law entitled to the full, fair and prompt recompense for all that is taken. Whichever theory of liability is applied leads to that same conclusion. The Court rejects plaintiff’s demand that Chase make an election between or among any theories implicit in the case, or asserted by it at trial. Treating its claim as in the nature of an action for conversion, regarding the branches as a single going business, Chase claims damages of $8,213,204, broken down as follows:
         A. Stated Capital                              $4,000,000
              Less recovery applied against
              capital                                     391,000    $3,609,000
         B. Unremitted profits                                          923,320
         C. Unearned discount                                            29,025
         D. Reserve for Taxes                                           170,448
         E. Contributions to retirement and
             thrift incentive plans                                     129,372
         F. Charged off loans                                           157,343
         G. Banking Houses and real estate
              appreciation over book value                              189,767
         H. Going business value or good will                         2,850,000
         I. Reimbursement to personnel for
              personal property abandoned on
              closing of branches                                       154,929
                                                                     __________
                                              TOTAL                  $8,213,204
                                                                     ==========
Plaintiff would compute the damages under this theory, assuming that they are recoverable, as $3,338,326. We note briefly the damage claimed under Chase’s first counterclaim as an amount due from a separate economic entity, which was indebted to Chase’s home office for various money invested in the branch by the home office, and the net sums owed the home office in other transactions. Under this theory, Chase argues that Banco Nacional assumed the liabilities of the branches, which it did with respect to the domestic liabilities, pursuant to Law No. 851, and that this indebtedness totalled $5,780,228. Damages under the first counterclaim are itemized as follows:
           A. Capital Loan                               $4,000,000
                Less recovery applied against
                capital                                     391,000      $3,609,000
           B. Unremitted profits                                            923,320
           C. Unearned discount                                              29,025
           D. Reserve for Taxes                                             170,448
           E. Contributions to retirement and
                thrift incentive plans                                      129,372
           F. Charged off loans                                             157,343
           G. Overdraft in account with home office                          94,515
           H. Payment of Letters of Credit by home
                office                                                      667,205
                                                                          _________
                                                         TOTAL           $5,780,228
                                                                          =========
As noted previously, plaintiff argues that Cuba did not assume the branches’ external liabilities, and that a branch cannot be indebted legally to its home office, and even if such a debt is legally cognizable, the figures are computed incorrectly, and under plaintiff’s theory, amount to only $370,720.
The financial effect of the first counterclaim differs from the second counterclaim only in that the overdraft, and payments on letters of credit are included, and the going business value and real estate appreciation items are left out. Chase filed separately before the Foreign Claims Settlement Commission for the confiscation of its Cuban branches under claims Nos. CU-2684 and CU-2685, decided together under a single final decision No. CU-6295 dated October 20, 1971. There the Foreign Claims Settlement Commission, when presented with these same two alternate theories of valuation, found that:
“Claimant [Chase] was the owner of the branches in Cuba and … the claim should be predicated upon the ownership of the property taken, and not upon claimant’s character as a creditor of its branches.”
Accordingly, Claim No. CU-2684, based on the creditor or separate entity theory, was denied without further discussion. This Court agrees. The amount of “indebtedness” between the Cuban operation and the home office, with the exception of unremitted profits, which were a set aside fund, not necessary for use of the business and merely awaiting issuance of a currency control permit, is purely a matter of historical fortuity. The value of these accounting balances has no direct or logical relationship to the value of the property, or going business concern, taken, as of the time of the taking. What is significant, and all that was taken, is the value of the business and its assets, and the investment which had been produced as a result of incurring the indebtedness to the home office. Some of these assets had appreciated in value at the time of the taking, while others had diminished in value.
It is clear from the foregoing that Chase’s damages should be based on the value of the taken business and its assets at the time and place of taking, a matter totally unrelated to the historical net indebtedness of the branches to their home office. Accordingly, the Court will consider only the theory of the second counterclaim or single entity theory and will value the branches as a single going business located in Cuba, owned by Chase.
Plaintiff admits that the items for capital, unremitted profits and contributions to retirement and thrift incentive plans are fully justifiable figures. It disputes the validity of all of the other items of damages, and seeks a credit from defendant for additional charges or deductions against capital and/or recoveries.

In our consideration of the separate items, we are reminded that Chase and Citibank are both member banks of the Federal Reserve System and that Citibank is and was then a national bank. Chase

[ 505 F.Supp. 454 ]

was also a national bank from 1925 to 1955, and from 1965 to present. In the interim it was chartered by the State of New York.

It is a federal crime for anyone to make a false entry in any book, report or statement of a national bank or a member bank of the Federal Reserve System with intent to injure or defraud, or with intent to deceive any officer of the bank or the Comptroller of the Currency or a bank examiner. See 18 U.S.C. § 1005. There is a complex, long established, system of federal regulation in the United States whereby bank examiners, under the direction of the Comptroller of the Currency of the United States make surprise audits of banks such as Chase and Citibank, both with respect to their foreign and domestic operations, audit their reports and examine their accounting practices. Drastic remedies are available to the Comptroller in the event of any falsification, or even negligent or inaccurate recordkeeping. These include the power to require that honest entries be made, and specifically the power to require that reserves be established whenever it shall appear that assets are worth less than the value stated per books. Besides the statutory requirement for making reports to the Comptroller under oath and the detailed provisions for audit, with civil and criminal penalties for non-compliance, the Comptroller has the further right and duty to publish his relevant findings. The totality of this statutory scheme has the tendency to assure that the books and records of institutions such as Chase and Citibank reflect current conditions accurately at all times. For state chartered banks, New York has a similar regulatory and bank examining bureaucracy which is generally regarded as at least equally strict and demanding.
Furthermore, Chase and Citibank operations in Cuba, in addition to reporting directly to the Comptroller of the Currency, as a part of the Bank’s overall operations under comprehensive federal regulation in this country, were also subject to the bank examining powers of Banco Nacional, which had the power to require that the books of the Cuban operations be regularly kept in the regular course of business, and maintained in accordance with generally accepted accounting principles consistently applied, so as to give a true result of Cuban operations, for protection of local governmental interests. The books of a national bank or a member bank of the Federal Reserve System present far less opportunity for “creative accounting” than that found in the ordinary domestic business. In view, particularly, of the double regulation present here, the entries may be treated as having evidentiary validity. This is appropriate especially where, as here, the passage of time and the present unavailability of local information in Cuba presented difficulties at the trial. The Court believes that having been regulated by the banking authorities both in the United States and in Cuba, the books and records of the bank may be regarded as correct and reliable, except to the extent actually impeached on the trial. See, F.R.Evid.Rules 803(6) and 803(8). We then turn to a separate discussion of each item:
A. Capital. The books and records support an allocation to the branch of $4,000,000 as capital, inclusive of reserves in the amount of $2,021,547.55. CDX 12, 16 and 17. It is undisputed that Chase recovered in 1969 on certain bonds of the International Bank for Reconstruction and Development. Although these bonds were physically located in Havana in 1960, and were seized by plaintiff or the Cuban Government, the bonds were registered in the name of Chase, and Chase was able to and did recover that credit. Thus the net capital account stands at $3,609,000. Banco Nacional seeks to reduce this figure by the further sum of $761,154, which represents the total of four loans made by the Cuban branches to Cuban companies, which were guaranteed as to payment by parent or related corporations in the United States (the “U.S. Guarantors”). These loans were:
      Obligor
      Guaranty or Collateral

    H. H. Pike Trading Co.               Guaranty of H. H. Pike & Co.
    Remington Rand de Cuba, S.A.         Guaranty of Remington Rand Division
                                           of Sperry Rand Corp.
    General Motors Acceptance Corp.      Guaranty of General Motors
      of South America                     Acceptance Corp.
    Pfizer Corp.                         Guaranty of Chas. Pfizer & Co., Inc.
The parent or guarantor corporations were all solvent in 1960, and present in the United States where they were amenable to civil process, and have remained so throughout the period. Plaintiff argues that these four loans were clearly recoverable by Chase from the U. S. guarantors, and although Chase never collected from them, the loans should not be charged to plaintiff, but Chase should be treated as having received a constructive recovery, which would diminish the amount of its capital account.
This argument is rejected. The statutory scheme by which Banco Nacional or the Republic of Cuba seized all of Chase’s banking operations in Cuba included assumption by Banco Nacional of all deposits and all local banking assets including the claims against these four obligors which were present in Cuba or domiciled there. Banco Nacional, by the seizure, was enabled and entitled to collect against the obligor businesses in Cuba which owed money to the branch or from any interventors or successors in interest owning those businesses. This Court assumes it did so in absence of evidence to the contrary. Chase had no records as to balances owing after September 17, 1960. It did not possess the notes or accounts of the principal obligors after that date. It would be inequitable for plaintiff to prevail here on this contention when it was the seizure of Chase’s property in Cuba which prevented the Bank from access to the necessary instruments and records to assert the claim against the guarantors had it decided to do so, and when Banco Nacional was in a position as Chase’s successor under Cuban law to pursue the Cuban obligors. In addition, no duty is found in law or in equity which requires Chase to look to the guarantors rather than to the convertor of the underlying guaranteed obligations of the Cuban borrowers. I hold and conclude that Chase is not to be charged with constructive recovery of the four guaranteed loans. All contentions to the contrary are rejected.
Plaintiff would also charge Chase with a separate reduction in item A for unrecorded depreciation in the market value of investment of securities held by the branch. It argues that the market value of the branches’ investment portfolio had decreased substantially from book value by the date of nationalization, and this depreciation must be taken into account in the valuation process. It is noteworthy that the regulatory authority in Cuba prior to confiscation did not require any write-down in the investment portfolio, a practice ordinarily insisted upon by those who regulate banks. Determination now of the actual market value of these securities on the date of nationalization is extremely difficult. Like most banks, Chase normally valued its securities at cost, unless there was a regulatory objection to a particular asset, or an indication of a permanent impairment in value, in which case the value would be reduced to a lower figure. As of June 30, 1960, the branch had taken a customary write-down of some of the securities.

Stephen P. Radics, a Certified Public Accountant, testified for plaintiff as an expert based upon his prior service rendered to regulatory authorities in the field of banking and insurance with respect to the valuation of securities. Radics testified to valuations he had made of securities carried on the books of Chase’s Havana branch. Radics seized upon what he perceived as an inconsistency in Chase’s own valuation of some of its securities. As of June 30, 1960

[ 505 F.Supp. 456 ]

the branch had taken a customary write-down in market value of some of its securities, carrying some of them at 80% of value, and others at 93%. Radics concluded that on the basis of the branch’s own valuation of some of its securities, others of like maturity and coupon should likewise be written down in the name of consistency. He testified, for example, that the Social and Economic Development Bonds of the Republic of Cuba, 4%, due 1956-58, payable in dollars, should have been written down by 20% since a similar issue payable in pesos had been so written down by Chase, and under local currency regulations, a resident of Cuba holding such bonds would be required to receive payment exclusively in pesos. He also criticized carrying Cuban electric bonds at cost, because “I assumed that this would be at the approximate same 93% in value as the Tribunal Bonds because they had like maturity and the interest rate was very close.” (Tr. p. 283). He reached the same conclusion as to the Marianao Aqueduct Bonds.

In the witness’s own language, his testimony was “an assumption.” (Tr. p. 284). His testimony continued to make similar assumptions, namely that because some bonds had been written down prior to the confiscation of the branch, other like bonds should have been written down. These assumptions by Radics, made long after the fact, do not, in this Court’s opinion, justify or substantiate the adjustments claimed. His testimony is not entitled to sufficient weight to rebut the inference of regularity, which applies to the books and records of the branch, kept as noted before, in the regular course of business by Chase, under the close supervision of regulatory authorities, both American and Cuban. Based on his assumptions, Radics claimed a write-down of $617,070. This Court regards the necessity for any such write-down as not proven, and speculative at best. To the extent that Cuban bonds were taken over and held by Banco Nacional as a part of the confiscation, there is no reason to believe that the bonds were not paid at face to Banco Nacional in due course of their respective maturities.
Many of these securities were issued by Cuban government entities, and banks were required to purchase them in order to remain eligible for Government deposits. Radics relied on June 30th market values, and submitted no valuations as of the date of the taking. While market values on the date of the taking may well have been lower, in view of deteriorated conditions in Cuba, as noted before, the branch properly valued its securities at cost, absent a permanent impairment in value. No such permanent impairment was shown beyond the branch’s voluntary reduction of certain securities in presumed compliance with regulatory standards, not applied to others, in June of 1960, prior to expropriation. The speculative testimony of Radics that the values recorded on Chase’s books were above the permanent value of the investments is insufficient, and the Court will accept Chase’s valuation of its investments to the extent of finding that there is no impairment of the branch’s capital by reason of any security over valuation.

A further problem is presented with respect to the capital account item. Chase has proved that on the date of the taking there was an “overdraft” in its account with the home office, amounting to $94,515. Such overdrafts were a regular consequence of the bookkeeping procedures between the Cuban offices, consolidated for recordkeeping purposes at the Havana branch, and thereafter posted, as operating results of a separate economic enterprise, to the records of the home office in New York. Between 1925 and 1937 the entire working capital of the Chase Cuban operation was supplied in the form of an overdraft. From time to time since 1937 such overdrafts were cancelled out by assignment and delivery of additional allocated capital to Havana, usually in the form of bonds or other securities, but sometimes by remitting dollars. Not only from an accounting point of view but in economic reality, the creation of this overdraft and prior negative balances had the same effect as the further contribution of capital to the Havana branch. In

[ 505 F.Supp. 457 ]

effect, the head Cuban branch in Havana was permitted to overdraw its checking account in dollars with the main office, so that the reflection on the books of the main office in New York would be a negative balance in the Havana branch checking account. This appears from the deposition of Michael P. Esposito, Jr., taken April 10, 1974, Ex.G. There is no reason why the overdraft amount should not be treated as a part of the capital account, for our purposes indistinguishable therefrom in fact or law.

There is also involved with the capital account the additional sum of $667,205 for payments made after September 17, 1960 by the home office to beneficiaries of some 203 separate international letters of credit lawfully issued by the branch for Cuban enterprises (customers of the branch) payable in dollars in New York. Chase received no reimbursement from the branch or from Banco Nacional. See DX 1 and Agemian Affidavit, docketed May 26, 1961.
The practical effect of these letters of credit transactions may be summarized in one of two ways: (1) these payments may be regarded as additional contributions to capital of the Cuban branches, or additional investment therein; or (2) they may be regarded as countervailing entries to loans made to, or money received or to be received from customers in Cuba by the Cuban branches either before or after September 17, 1960. If the latter analysis is pursued, the Court will infer that Banco Nacional, as the successor in interest of the domestic banking businesses of Chase’s branch, received the monies paid or to be paid by the customer in pesos for these letters of credit. Expressed differently, as a result of the seizure, Banco Nacional became the successor in interest of Chase with respect to the loans extended or promised to the Cuban customers or purchasers of these letters of credit. As a result Banco Nacional became entitled to collect the avails of the customers’ side of the letter of credit transaction in pesos in Cuba, while Chase, in New York was required to and did pay the beneficiary’s side of the transaction in New York in dollars, in the total amount set forth above. Thereby, Banco Nacional became obligated in quasi-contract to pay Chase for having accepted the burdens of these transactions, inasmuch as it had derived the benefit.
While the latter analysis would seem to be justified against the background of ordinary international banking practice, the situation in fact is that had there been no seizure of the branches, when the beneficiaries of the letters of credit were paid in New York in dollars, the amount so paid would have been booked as an addition to the overdraft for the Cuban branch, and carried in that fashion until a currency exchange permit was issued to allow remittance to the home office, or countervailing international transactions resulting in charges to New York and credits to Havana wiped out the overdraft. Overdrafts, as noted, represent part of the capital of the branch. A firm commitment to create an overdraft is no different from one already booked. The Court prefers the first analysis, and believes that these payments should be treated as a part of the capital investment of Chase in the Cuban branches, because Chase had obligated itself in that amount to be added to the overdraft the moment that the letters were issued. By permitting them to be issued, Chase was in effect, by that act alone, contributing capital or placing funds at the disposition of its Cuban operations indefinitely. But, whether treated as part of the capital investment of Chase in the Cuban branches, or alternatively, as a quasi-contractual obligation of Banco Nacional, the sums due on these letters of credit are a proper item for set-off in the case. We note that in the hypothetical valuation of the Cuban branches upon an arm’s length sale to a purchaser intending, as Banco Nacional did here, to carry on the business of the branches, these sums would represent current items to be adjusted in favor of the seller at a closing of the sale, since the purchaser (Banco Nacional) became vested with the right to collect from the customers, while Chase remained liable to pay the beneficiaries.

The Court will add the sum of $94,515 for the overdraft, and the further sum of $667,205

[ 505 F.Supp. 458 ]

for the letters of credit paid to beneficiaries after the taking to the net recovery under Item A for capital, which is accordingly fixed at $4,370,720.

B. Unremitted Profits. Plaintiff does not dispute defendant’s computation for $923,320 in unremitted profits of the Cuban branch. This money would have been remitted to the home office but for want of a currency control permit. Chase had applied for the permit, which at the time of the taking, had neither been granted nor denied.
C. Unearned Discount. This item represents prepaid interest by borrowers which was not earned by the Bank as of the date of the taking, but which would be accrued and earned over the balance of the loans outstanding. Unearned discount, until earned, cannot be considered an asset of the branches. Should any of the loans be prepaid, it would be necessary to refund all or part of the unearned discount. The branch carried this as a reserve item on its own books of account, and when Banco Nacional took over the day-to-day operations of the Chase branches, I infer that it must have granted credit or benefit to any domestic borrowers who prepaid, and that its earnings in the subsequent accounting period were reduced in like amount. Recovery on this item accordingly must be denied, since it is a reserve item for which Banco Nacional, or any purchaser of an ongoing banking concern would be deemed to have paid simply as a part of assuming the business and acquiring the right to the flow of future earnings after the transfer of ownership. This is the sort of accounting item which leads to a closing adjustment in favor of the buyer when a banking enterprise changes hands as a result of an arm’s length sale.
D. Reserve for Taxes. This item represents an accrual of the taxes owed by the branches to Cuba on local earnings for the first eight months of 1960, which would be payable at the end of the year. It is taxes incurred for previous operations, but unpaid, rather than a reserve for taxes not yet accrued. Nor is it a prepayment of future taxes. Chase argues that once the branch was expropriated the money was freed from its status as a reserve, since “the Cuban Government would not pay taxes to itself.” This argument misses the point. The reserve account represented taxes on profits which had already been made. These taxes were owed to the Government for operations through August of 1960, even if they need not be paid until the end of the year. Although the branch may have been in possession of the assets represented by this account on hand in September 1960, this amount was already committed to the tax payment which Chase would have to make at the end of the year. The particular taxes due in the corresponding amount are to be regarded as paid and this sum shall be eliminated from the computation of the assets to be paid for. The same result would follow in negotiation of the theoretical arm’s length sale of the branch to another bank, that is, here again, this item would represent an accounting adjustment in favor of the buyer at a closing.
E. Contribution to Retirement and Thrift Incentive Plans. This account was for money paid to trustees of the plans by the home office on behalf of the branch. Its validity is clear and is conceded.
F. Charged Off Loans. This item represents losses arising from uncollectible loans, so regarded, made by the branch prior to confiscation. Sometimes such charged off loans are collected later, but in effect such an account is a reserve for bad debts, based on the best estimate of the managers of the branches as of the date that the reserve was booked. Like the rest of the accounting entries of this regulated industry, the book entries carry a presumption of regularity, having been made prior to litigation. There is no evidence that these reserves were calculated in any fashion other than properly, or that the charged off loans had any value. For those reasons this item of damage is disallowed. While Banco Nacional succeeded to the ownership of the charged off loans, there is no evidence that it collected any of them, nor if so, what amount of charged off loans was collected. The item is worthless.
[ 505 F.Supp. 459 ]

G. Banking House and Real Estate Appreciation. On its books (DX 12) Chase listed its real estate holdings at a depreciated cost of $110,232. The latest available appraisal of any of the branches was made on March 28, 1960 and applies only to the Havana office (DX 13). This values the premises owned by Chase at $165,090, and the necessary adjustment to bring the book value for that property to market would be $54,858. The Court regards the appraisal, which was made prior to the commencement of any litigation, as valid, and is convinced that the premises did have a value in excess of book value. There is no evidentiary basis to write up any of the other items comprising the banking house and real estate account beyond that shown on the corporate books.

I. Reimbursement of Personnel. It would have been a crime, in Cuba, for any branch employees not to have cooperated fully with their new employer, Banco Nacional, or to have impeded the takeover of the Chase branches in any fashion. In view of the sensitive circumstances surrounding the nationalization, Chase in effect advised, or it is now said, “directed” a number of the branches’ employees both North American and Cuban, to leave Cuba. In their hurried departure, these persons left behind personal property, which they could not bring into the United States, either because of the shortness of time or the inability to obtain permission to export it. Under Law No. 989, all property of persons fleeing from Cuba was confiscated.
Chase paid the sum of $154,929 to its employees, and this represents the reasonable value of the property left behind and confiscated by Cuba. The employees made formal representations to their employer of the items taken and the reasonable value, and did so under conditions having intrinsic indicia of reliability, and conducive to truthful statement. The Court regards these claims as received in the regular course of business of the Bank, and acted upon and paid by the Bank to the employees prior to this litigation. After this litigation was commenced, or in contemplation of claims against the Cuban Government, Chase caused its employees to “assign” all these claims to Chase, and now asserts that it is entitled to include this amount in its recovery. There is a good basis for denying this aspect of the claim. The entitlement to set-off found in Banco I, supra, should not be regarded to embrace counterclaims or set-offs originally belonging to a third party and acquired by a defendant in anticipation of litigation, or after it has been sued by a foreign state, and in order to set-off. To hold otherwise would call up a brisk trade in claims against foreign states, and would in effect nullify the Act of State doctrine, and prevent access by the Government of Cuba to the United States courts against any United States defendant having the willingness and creativity to buy up Cuban claims of others to assert as assignee. This case is not one where Chase went out shopping for claims to assert against plaintiff, but we cannot allow a result here which would permit that to be done in the next case. Here, the assignors of the claims had a special relationship to Chase, and indeed Chase had a moral obligation, and perhaps a legal one [Cohn v. Lionel Corp.,21 N.Y.2d 559, 563, 289 N.Y.S.2d 404, 236 N.E.2d 634 (1968)], to reimburse them for their losses, and did so. However, the Court concludes that this is not a proper item for recovery by way of set-off. The set-off extends to Chase’s property expropriated by Cuba, and not the property of others expropriated, even when such assignments were given to Chase for a proper purpose and for full value paid. This item is disallowed.

H. Going Business Value, or Good Will.In its presentation Chase has used the expression “going business value.” Reference has also been made to the “good will” value of the Chase branches. These words do not necessarily have the same meaning to this Court. The going business value is that price which a knowledgeable purchaser, trading with a seller at arm’s length, neither party under any compulsion and each fully informed, will pay for the right to continue a going business, and to

[ 505 F.Supp. 460 ]

receive the income stream or cash flow which that business will generate for the foreseeable future. Included in that payment, however, is the transfer to the purchaser of those physical assets and capital which are essential in order to continue to operate the business in the manner in which it has been operated. Here, Chase’s financial statement contained items such as unremitted profits, which would have been repatriated had currency control conditions permitted and were not necessary to continued operations. However, most of the balance of Chase’s capital account and physical assets were necessary to be owned by any person or corporation operating the Cuban branches.

Good will, on the other hand, is the pure dollar value of the right to receive the stream of income after the necessary capital has been invested to enable the purchaser to continue in the business. It is the “premium” which the purchaser of a profitable business pays, over and above the value of the tangible components necessary to operation of the business.
Radics testified (Tr. p. 296) that “going business value is something separate and apart from any other measure of value for any business enterprise, including a bank,” and that in the case of the valuation of a bank, “a premium for extraordinary earning power would normally only come into play if the going business value as separately determined, resulted in a greater figure than the net assets of the bank itself.” His nomenclature is appropriate. Radics gave the opinion that such separate determination would not result in a greater figure in the case of Chase, but testified that in all events it would be improper to calculate going business value and add it to the fair market value of the assets. Rather, in valuation he would use the greater of the two figures; that being the value of the bank. Any amount by which the going business value of the bank exceeds the asset value is referred to as a premium.
Radics also contended that the home office had advanced working capital to the branch. The Court assumes that the home office, acting in the regular course of business, placed its capital where it would be most productive, as indeed any business enterprise would do. The record shows that upon providing capital of $4,000,000 and adequate banking premises from which business could be conducted, Chase would have been and was able to produce the stream of earnings. Radics contention that if application to the earnings stream of a price-earnings multiple results in a lower figure than the asset value, there is no premium or good will value, although valid facially, must be based on an analysis considering the minimum necessary capital investment. Here, Chase had excess assets at risk in Cuba. With its stated capital of $4,000,000 and its real estate appreciation, Item G, amounting to $54,858, Chase could operate the Cuban branches. This sum, $4,054,858 is the necessary net capital investment. Any amount by which the going concern value of the enterprise exceeded that sum represents good will, or the premium which the hypothetical arms length purchaser will pay to acquire the stream of earnings.
We consider now the proof as to the value of the stream of earnings.
Charles Agemian, a former Executive Vice President and Comptroller General of Chase had served 43 years with the Bank, and participated in all its acquisitions. He testified as to the going concern value. Agemian arrived at the $2,850,000 figure, Item H, supra, by averaging two estimates for going business value, each reached by different methods. The first method was based on a percentage of deposits, the other on a multiple of earnings. The Court believes that there is no logical basis to add the result of these two methods, and divide by two. Rather, we must test the logic and reason of each method, and determine whether either one leads to an apparently rational result.

Chase also introduced a report prepared in 1974 by Thomas H. Barton and Co., Inc. a management consulting firm (the “Barton Report” DX 15). This Report calculated a going business value premium of $2.5 to $3

[ 505 F.Supp. 461 ]

million dollars for the branches, based on expected deposit and earnings growth. The Report estimated that the branch might have been sold in the fall of 1960 for $7.5 million. Those projections were based on the assumption that “normal business patterns” in Cuba had not been interrupted as of January 1, 1959. The Barton Report did not attempt to assess the impact of the Cuban Revolution on the branches’ value, but valued the branch as if the Revolution and succeeding events had never occurred. Actual figures for 1959 and part of 1960 show that the Barton Report’s “projections” were far removed from the reality of actual deposits of the branches.

The Barton Report made comparisons with banks in other areas to determine a range of price-earnings multiples, profit growth rates, deposit growth rates and other figures in order to calculate the value of Chase’s Cuban branches. Banks in Honduras, the Virgin Islands and other areas were studied. In addition, the Barton Report compared the Cuban branches with banks in Puerto Rico and Panama having many conditions in common with Cuba. The author believed the experience in those countries would give an accurate picture of the probable range of growth of the Cuban branches “Had [they] been allowed to develop without interference.” The validity of all the comparisons undertaken by the Barton Report, including the calculation of a premium for going business value, is extremely questionable because, as noted, it does not allow for circumstances actually existing in Cuba in 1960 unrelated to confiscation.
Agemian, in his calculations, took an annual deposit figure of $45.5 million, representing the average of the past five years of deposits. He multiplied this by 5% to come up with $2.25 million as the going concern value based on a multiple of deposits. The difficulty lies with the use of a five year average. These figures are:
      Average Deposits
      Year             (in millions of dollars)

     1956                       46.2
     1957                       49.1
     1958                       51.8
     1959                       42.6
     1960 (part)                38.0
These figures show that the deposits declined sharply after the Revolution in 1959, and as previously noted, a substantial part of that decline does not result from any violation of international law. A reasonable approach to valuation would select a “normal” current deposit average figure inbetween the 1959-1960 deposits. There is reason to believe that the 1960 deposits reflected the deteriorating conditions, and that prior to the actual taking, the intention to drive out the foreign bankers must have been obvious to a section of the customer public. Those factors which reduced deposits, but which were lawful, had not in 1959 achieved their fullest impact. The Court believes a figure of $40,760,000 represents the weighted average deposits for 1959-1960 of the Bank, and is close to what deposits would have remained if the Cuban Government had been content to make those secular changes short of confiscation which this Court finds to be lawful but adverse in their effect upon the Bank. Using that figure, Agemian’s deposit percentage calculation would have yielded a premium figure of $2,038,000.
Agemian derived the 5% multiple used by averaging the multiples used in four acquisitions by Chase of banks in Staten Island (4.62%); the Clinton section of Manhattan (4.03%); the Virgin Islands (8.13%); and Honduras (5.55%). Agemian took the average of these figures which is about 5.5% and reduced it to 5% to be conservative.

The use in the valuation formula of premium prices paid for branches on Staten Island, New York and in the Clinton section of Manhattan tended to reduce the multiple because New York City generally is fairly saturated with branch banks, and the banking business here is and has been highly competitive. The Virgin Islands location was favored by the availability of the due

[ 505 F.Supp. 462 ]

process provisions of the American Constitution. It is an area of free dollar convertibility, enjoying special tax concessions not available in the continental United States, and is without currency controls. Banking there was not threatened with political problems of the severity present in Cuba after the Revolution. The Honduras bank, selling at a 5.55% multiple, probably reflects a better political and economic environment than that available in Cuba, but not as favorable as Manhattan. Generally, the greater the risk the larger the return demanded by investors, and the more a bank can charge when it lends out its deposits.

The other half of Agemian’s calculations were based on a multiple of average yearly earnings. In the period 1956-1960, Chase’s reported earnings averaged $344,000. Agemian multiplied this sum by 10 to arrive at a going business value of $3,440,000. He averaged this with the $2.25 million figure based on deposits to reach a total of $2.85 million dollars.
This aspect of Agemian’s calculations is subject to the same infirmity, in that it averages in less relevant earnings of pre-revolutionary years. Also, little justification appears in the record to use a multiplier of ten times earnings. Ordinarily, a speculative investment where the likelihood of future success is clouded by ongoing social changes of the sort there present would demand a lower multiplier in an arm’s length transaction, because the purchaser cannot foresee for how long he may have assurance of the stream of earnings which he is purchasing.
Under the facts of this case, the net value of the business assets needed to operate the enterprise exceeds ten times the stream of earnings. In addition, the historical earnings of the branch in 1959 and 1960 may be distorted because of imputed interest, which should have been charged against the profits of the branch, for funds of the home office which were tied up in financing its ordinary transactions because of inability to rediscount with Banco Nacional, and/or because of foreign exchange restrictions. In any event, under Agemian’s own figures, if the stream of earnings were priced at ten times the average earnings for the last five years, the total amount resulting therefrom, $3,440,000, is less than the value of the physical assets necessary to devote to the business of banking in order to receive that stream of earnings. This is totally irrational, and suggests that the method is unworthy of consideration. The Court regards the second half of Agemian’s calculations as entitled to no weight.
Agemian offered a third calculation based on straight capitalization of earnings as confirmation of his $2.85 million figure (Tr. pp. 111-12). That sum, $2.88 million, came from a calculation of average earnings using a multiple of 20. This multiple was derived from the four acquisitions previously mentioned, at Staten Island (16 × E); Clinton (22 × E); Virgin Islands (27 × E); and Honduras (14 × E), described above. Multiplying average earnings by this multiple of 20 gives a figure of $6,880,000 which, rather than a premium to be added to net asset value, is a total figure which includes within it the value of the assets necessary to operation of the business. Agemian therefore deducted a net asset value of four million dollars from the capitalization figure to reach $2.88 million. The $4,000,000 deduction was too low since in addition to the capital and reserves required to sustain its deposits, the Bank would have to use the real estate Item G. The deductible, as noted earlier, should be $4,054,858, leading to a good will value under this method of $2,825,042. The multiplier of 20 seems inappropriately high. The Court can place no weight on this mathematical exercise.

In this valuation issue, the Court must adopt a method of determining going concern value which is justified by the evidence and reasonable under all of the circumstances. Most of the traditional techniques for computing going concern value of a business are inappropriate or unworkable here, or require the Court to assume facts, and consider future expectations present in most market valuation circumstances, but not available in this case. Past earnings of

[ 505 F.Supp. 463 ]

a business are usually a good basis for valuation in the manner used by Agemian, by capitalization of earnings. But the validity of any appraisal based on past earnings requires a demonstrated underlying validity for the future of both elements of such a calculation: the figure used as a multiple, and the average earnings sum itself. Neither can be justified. The invalidity of the past historical earnings prior to 1959 as bearing on future earnings is apparent from the secular change occurring in Cuba beginning with the Revolution.

The branches were a declining business in 1959 and 1960, although the earnings of its Cuban branches are as follows (stated without any adjustment for imputed interest in the last two periods):
      Year
      Average Earnings

     1956                     $171,326.70
     1957                     119,208.02
     1958                     361,973.10
     1959                     492,560.02
     1960 (eight months)      448,388.85
As the court noted in United States v. Brooklyn Union Gas,168 F.2d 391, 396 (2d Cir. 1948):
“Care is taken to reject speculative values. Thus the oversimplification of a capitalization of future earnings of the franchise is not resorted to since it must be based upon too many uncertain premises, such as the continuance of the franchise and of the present return therefrom over an indefinite period in the future.”
We return to the primary readily available measure of the going business value of the Cuban branches, which should be based on a percentage of the deposits, since deposits are the source of earnings of a bank, and probably the most direct indicator of its future earnings. As noted, Agemian used a five year average, but the deposits were trending downward, due to the secular changes in Cuba. It seems that rather than a five year average, an average based solely on the experiences in 1959 and 1960 would have greater weight. Also, Agemian’s multiple of 5% of deposits is a high multiplier for a branch located in Cuba. The late Judge Bryan considered the percentage figure which should be applied to the deposits and set forth the following information in his notes:
“The defendant’s own report, The Barton Report, quotes Arthur Dewing, The Financial Policy of Corporations, at pp. 312-313 as saying that the percentage figure applied to deposits of a bank to figure going concern value ranges from 1% to 5%. Under the circumstances here, I would apply a 3.5% figure. I readily admit that this number is selected quite arbitrarily, but my choice is based, as it must be, on my own assessment of the situation, as it has been presented to me by the parties.”
This Court can find no better way of determining an appropriate multiple for deposits. Judge Bryan’s admittedly arbitrary selection, based as it was upon his familiarity over many years of consideration of the matter, while not binding on the writer, is entitled to some consideration.
Interestingly, Decision No. CU-6295 of the Foreign Claims Settlement Commission, dated October 20, 1971, which fixed the value of Chase’s claims, contains the following finding:
“The Commission … does not approve claimant’s formula for the determination of the `going concern value’ of the branches, but finds that in countries such as Cuba an amount of 3½% of the average deposits during the last five years sufficiently reflects the premium the bank might have received had [Chase] decided to sell the branches or to consolidate them with another bank. Accordingly, 3½% of $45,500,000, the average sum of deposits during the last five years before nationalization, or $1,592,500 will be added to the sum heretofore determined in the Proposed Decision as the loss sustained by [Chase].”

In its proceedings before the Foreign Claims Settlement Commission, Chase had argued for a “going concern value” (actually, “goodwill”) to be added to the value of the tangible assets, and “determined on the basis of one-half the sum of 5% of the average deposits during the last five years

[ 505 F.Supp. 464 ]

plus ten times the average net profits for the last five years.”

This Court finds that reliance on use of any such formula and consideration of the price earnings multiples as applied to Cuban operations after January 1, 1959 would be inappropriate, as it is lacking in probative force. Also, while the decision of the Foreign Claims Settlement Commission is admissible and entitled to some weight [F.R. Evid. Rule 803(8)(C)] this Court cannot agree that pre-1959 deposits have any significant relationship to 1960 valuations.
Applied to a weighted average deposit figure considering only 1959 and 1960, the 3½% computation would produce a premium figure of $1,426,600, which is 3½% of $40,760,000, which should be included in the value of the branches over and above its net asset value. This compares with the sum of $1,592,500 reached by the Foreign Claims Settlement Commission, using a five year deposit average.
This leads to an award of damages to Chase for the taking of its Cuban branches in the amount of $6,904,870, to which amount Chase is entitled as a set-off. This total comprises the following items:
A. Capital, net of adjustments          $4,370,720
B. Unremitted Profits                      923,320
E. Contributions to Retirement and
     Thrift Incentive Plans                129,372
G. Banking Houses and Real Estate
     Appreciation Over Book Value           54,858
H. Premium or Goodwill                   1,426,600
                                         _________
                      TOTAL             $6,904,870
                                         =========
XV
Currency Convertibility
This Court has computed the set-off in dollars, and plaintiff’s claim has been stated in dollars. Plaintiff urges that any judgment granted on the counterclaims should be treated as a judgment in pesos, which must be converted into United States dollars at the time of the granting of such judgment. In this particular litigation, the date of granting of the judgment will be of no practical consequence, since both sides of this litigation foresee several years of appellate review in which new battles will be fought, and old ones renewed. Such conversion is sought pursuant to cases such as Die Deutsche Bank v. Humphrey,272 U.S. 517, 47 S.Ct. 166, 71 L.Ed. 383 (1926) and its progeny, including Conte v. Flota Mercante Del Estado,277 F.2d 664 (2d Cir. 1960) and Island Territory of Curacao v. Solitron Devices,356 F.Supp. 1 (S.D.N.Y.1973).
Cuban pesos are currently without value in the United States, and it is now illegal to convert pesos into dollars. 31 C.F.R. § 515. The customary rule requiring conversion as of the day of judgment was intended to prevent abuse in a situation where a claimant could gain by bringing suit on a claim arising in the foreign country and payable in its currency, in an American court rather than in a foreign court. Conversion into dollars at the date of judgment was supposed to result in a recovery equal to that which would have been obtained in the foreign jurisdiction on the same date. The danger of a kind of forum shopping to seek the jurisdiction which would award the greatest amount of damages is not present here, and to require a conversion on a date not related to reality would create an obvious injustice under the circumstances of this case. As a matter of law, defendant is entitled to a prompt and full compensation, and this notion comprises convertibility. The damages found are based on the official rate of exchange at par prevailing at the time of the confiscation.

Plaintiff also urges that to allow set-offs, in dollars, to defendants on their counterclaims against plaintiff’s recovery in dollars, would enable a circumvention of Cuba’s currency control regulations which prohibit unlicensed conversion of pesos to dollars and the transfer of money from Cuba to the United States. Implicit in the argument is the suggestion that the duty to pay for the confiscated property arises in Cuba and may be discharged in pesos. The identical argument was rejected in Menendez v. Saks & Co.,485 F.2d 1355, 1365 (2d Cir. 1973), rev’d. on other grounds, sub nom., Alfred Dunhill of London, Inc. v. Republic of Cuba,425 U.S. 682, 96 S.Ct. 1854,

[ 505 F.Supp. 465 ]

48 L.Ed.2d 301 (1976), and is rejected here on the same reasoning. See also the opinion of the late Judge Bryan in the Menendez case, reported sub nom. Menendez v. Faber, Coe & Gregg, Inc.,345 F.Supp. 527, 540 (S.D.N.Y.1972). Convertibility free of unreasonably restrictive foreign exchange controls seems also to be implicit in the concept of “prompt, adequate and effective” compensation for the expropriated property of aliens. See § 190, Restatement Second, Foreign Relations Law, and discussion following that section. Here, as the court held in Menendez, fn. 12 at p. 1365 of 485 F.2d, “if the owners had been awarded pesos rather than dollars, in effect they would have recovered nothing.”

XVI
Computation of Damages of Citibank
The factual and legal situation with respect to the damages of Citibank for the taking of its branches differs little from that with respect to Chase’s set-off. Citibank states a single claim representing an aggregate of items. These are:
1. The value of the Cuban branches:

   (a) appraised on a "going concern"
       basis;                              $9,510,000.00
                   OR
   (b) appraised on a "net worth"
       basis                               $5,961,037.00
2. Post-nationalization payment of Cuban
   branch liabilities                      $  809,641.00
3. Claims of employees to which Citibank
   is subrogated as assignee               $   39,491.00
We consider the third item first because it is simple. As Chase did, and for the same reasons, Citibank “directed” its employees to abjure the realm, consequent on nationalization, and they did so. Like the employees of Chase, Citibank’s people abandoned their homes and personal property, which, under Cuban law, became vested in the Cuban Government. Citibank reimbursed these employees in the total amount of $39,491. Such payments were made in the regular course of business, prior to the commencement of litigation, arguably pursuant to the duty which a principal has to indemnify its agent. These payments are confirmed by the regularly kept books and records of Citibank.
This item is disallowed as an item of damages available for purposes of set-off. This result follows solely for the same reasons that payments of an identical nature made by Chase for its employees who fled Cuba following nationalization have been disallowed, see supra, p. 459, et seq.

The second item of damage arose under factual circumstances indistinguishable from those which occurred with respect to Chase, discussed supra, p. 456, et seq.The head office of Citibank confirmed approximately $721,000 in commercial letters of credit for the accounts of customers of the Cuban branches prior to September 16, 1960. Once the credits were confirmed, the head office was obliged to make payments to the beneficiaries of these letters of credit in dollars, and did so. The bookkeeping procedures followed by Citibank were the same as those generally used by Chase. The Cuban Government (Banco Nacional) as the owner of Citibank’s Cuban branch, became the owner of the loans payable, or money paid or to be paid in pesos, by the Cuban Citibank customers at whose request the letters of credit had been issued. This item is clearly a proper set-off for the same reasons that an identical set-off is being allowed with respect to Chase. In addition, the head office paid customers with respect to items forwarded to Cuba for collection, and in respect of money transfers executed at the instance of the Cuban branches, consisting of bills drawn by customers, or correspondent banks of Citibank, on obligors in Cuba. These instruments were in the process of presentation and collection by the Cuban branches at the time of confiscation. The Cuban Government (Banco Nacional) succeeded to the ownership and possession of these instruments after confiscation, and received the benefits of them, while Citibank paid the corresponding amounts due to the customers. On principles of quasi-contract, and for the same reasons generally applicable to the letters of credit, this item is a proper recovery. Together, the items for collection and the payments made to the beneficiaries of the letters of credit

[ 505 F.Supp. 466 ]

are a proper basis for set-off in the total amount of $809,641.

Judge Bryan’s bench notes indicate that Citibank has already recovered towards its set-off the sum of $5,302,032. This recovery includes the following:
U.S. Treasury Bonds in registered form,
  which Citibank reported as stolen and
  obtained reissuance from the U.S.
  Treasury                                 $3,000,000.00
Accrued interest on bonds at time of
  confiscation                                 38,111.00
Set-off recovered in Banco I               12,100,000.00
Private banks set-off                         54,624.00
Miscellaneous home office recoveries         109,297.00
                                          _____________
                               TOTAL      $5,302,032.00
                                          =============
There is also a valid book entry in favor of the Cuban branches (the reverse of an overdraft) due at the time of nationalization from the head office to the Cuban branches in the amount of $762,898.
This leads to a total of $6,065,109.00 already recovered.
This Court has sustained Item 2 of the set-off in the amount of $809,641. Since Citibank can obtain no affirmative recovery in this litigation, in order to set-off fully against the amount of $193,280.30 due Bancec, all that Citibank need show is that its damages from the taking of the branches including good will are at least $5,448,658.30.
In the proceedings which Citibank conducted before the Foreign Claims Settlement Commission a final decision was entered on November 14, 1969 under No. CU-3835. These findings, which are not binding on the Court but which are clearly relevant and have some evidentiary value under Rule 803(8)(a) and (c), F.R.Evid., fixed an aggregate value of Citibank’s eleven Cuban branches on September 17, 1960 at $9,510,000. In this trial, Citibank contended for a higher figure.
The August 23, 1960 statement of Citibank showed the net asset value of the Cuban branches to be $5,961,037.41. To this Citibank sought to add a write-up for the increase of market value over book value of land, building and contents, amounting to $1,700,000.
Based on a review of the entire trial record, the Court is convinced that the books and records of Citibank’s Cuban operations, regulated by authorities both American and Cuban, were, like those of Chase, regularly kept in a manner that was substantially correct and in accordance with law. Those books reflected the operations of the Cuban branches in accordance with generally accepted accounting principles consistently applied. The Court is also certain that there was some significant unrealized appreciation in excess of historical depreciated cost with respect to the real estate. The Court believes also that these branches had a good will value in excess of the total value of the assets necessarily devoted thereto. If Citibank’s damages were to be computed in the same manner and on the same or similar theories of valuation, as the Court has computed the damages for Chase, the total net result of such a mathematical exercise would considerably exceed six million dollars.
On the total record here, it would appear sufficient to make that finding. No useful purpose would be served by an extensive discussion at this time of the minutiae of other adjustments, additions and subtractions urged by both parties. Even if the Foreign Claims Settlement Commission figures are slightly inflated, they are not so far unrelated to reality that if adjusted, a refund on the part of Citibank would be required, once the theory of set-off is accepted in this case.

There are good reasons to avoid adjudicating with precision at this time a sum of money representing the value of Citibank’s branches. The record in this case is of necessity both complex and incomplete. While the parties have waived any objection based thereon, nonetheless it remains true that this Court did not observe the witnesses at the trial and did not hear them testify. Data and information available in Cuba which might be beneficial to either party was not produced, due to difficulties in respect to access. Specifically, the trial record does not include the result of operations through December 30, 1960, which date is said to be the date of valuation and

[ 505 F.Supp. 467 ]

taking under the Cuban statute. Citibank had an operating loss in August 1960; what was the result for September and October? Were the August results decreased by unlawful conduct of the Cuban Government and perceived likelihood of takeover which chilled the value? Or, was the downturn merely the result of social change entirely lawful under principles of international law? Perhaps the operating results of the former Citibank branches after confiscation would answer this point. The Court could infer that these results are favorable to Citibank because the information is in the “control” of plaintiff, and was not produced, but to do so would be unfair and exalt theory over reality in view of the continuing restrictions on commerce with Cuba.

A court ordinarily does not make unnecessary findings of fact or determine prematurely issues which are in dispute but not essential. The last chapter describing the problems which have arisen between the Republic of Cuba, Banco Nacional and Citibank may not have been written. In the ordinary course of the active business of international banking being conducted by Citibank and also by Banco Nacional, it is conceivable that at some indefinite future time the paths of these parties may cross again. In the ordinary course either bank may become possessed of bills, notes, credits or moneys of the other, and be in a position to use “self-help” leading to further litigation. It appears prudent to defer the making of any unnecessary adjudication of the exact value of the taken branches of Citibank for a future day. It is sufficient for purposes of this case to adjudicate that the value of the confiscated branches of Citibank substantially exceeds the sums already recovered, and therefore the set-off pleaded here may be granted in full in favor of Citibank. To go further with the point at this time would be to engage in judicial mouse-milking.
CONCLUSION
The foregoing, to the extent appropriate, may be regarded as findings of fact and conclusions of law. Any party may, within fifteen (15) days, present formal requests for additional findings of fact as to any point not disposed of directly or inferentially by this decision. Two separate final judgments, one in each action, shall be settled on waiver of notice of settlement or on fifteen (15) days notice. While it may be academic to do so, the judgments may provide that enforcement be stayed, without bond and without the necessity of any further or additional application, pending appellate finality.
0

Ballantyne, Davidson, McIntyre v. Canada, Communications Nos. 359/1989 and 385/1989, U.N. Doc. CCPR/C/47/D/359/1989 and 385/1989/Rev.1 (1993)

Distr. RESTRICTED */
CCPR/C/47/D/359/1989 and 385/1989/Rev.1
5 May 1993
ENGLISH
Original: ENGLISH and FRENCH

HUMAN RIGHTS COMMITTEE

Forty-seventh session

VIEWS

Communications Nos. 359/1989 and 385/1989

Submitted by: John Ballantyne and Elizabeth Davidson, and Gordon McIntyre

Alleged victims: The authors

State party: Canada

Date of communications: 10 April and 21 November 1989 (initial submissions)

Documentation references:

Prior decisions

- Special Rapporteur’s rule 91 decisions, transmitted to the State party on 26 May 1989 and 29 January 1990, respectively (not issued in document form)

- CCPR/C/40/D/359/1989 and 385/1989 (Rule 88 decision to join, dated 18 October 1990)

- CCPR/C/41/D/359/1989 and 385/1989 (Decision on admissibility, dated 11 April 1991)

Date of adoption of Views: 31 March 1993

On 31 March 1993, the Human Rights Committee adopted its Views under article 5, paragraph 4, of the Optional Protocol, in respect of communications Nos. 359/1989 and 385/1989. The text of the Views is appended to the present document.

ANNEX *

Views of the Human Rights Committee under article 5, paragraph 4,

of the Optional Protocol to the International Covenant

on Civil and Political Rights

- Forty-seventh session -

concerning

Communications Nos. 359/1989 and 385/1989

Submitted by: John Ballantyne and Elizabeth Davidson, and Gordon McIntyre

Alleged victims: The authors

State party: Canada

Date of communications: 10 April and 21 November 1989 (initial submissions)

The Human Rights Committee, established under article 28 of the International Covenant on Civil and Political Rights,

Meeting on 31 March 1993,

Having concluded its consideration of communication No. 359/1989 submitted to the Human Rights Committee by J. Ballantyne and E. Davidson, and of communication No. 385/1989 submitted by G. McIntyre under the Optional Protocol to the International Covenant on Civil and Political Rights,

Having taken into account all written information made available to it by the authors of the communications, and the State party,

Adopts its Views under article 5, paragraph 4, of the Optional Protocol.

1. The authors of the communications (initial submissions dated 10 April 1989 and 21 November 1989 and subsequent correspondence) are John Ballantyne, Elizabeth Davidson and Gordon McIntyre, Canadian citizens residing in the Province of Quebec. The authors, one a painter, the second a designer and the third an undertaker by profession, have their businesses in Sutton and Huntingdon, Quebec. Their mother tongue is English, as is that of many of their clients. They allege to be victims of violations of articles 2, 19, 26 and 27 of the International Covenant on Civil and Political Rights by the Federal Government of Canada and by the Province of Quebec, because they are forbidden to use English for purposes of advertising, e.g., on commercial signs outside the business premises, or in the name of the firm.

The facts as submitted by the authors:

2.1 The authors of the first communication (No. 359/1989), Mr. Ballantyne and Ms. Davidson, sell clothes and paintings to a predominantly Englishspeaking clientele, and have always used English signs to attract customers.

2.2 The author of the second communication (No. 385/1989), Mr. McIntyre, states that in July 1988, he received notice from the CommissionerEnquirer of the “Commission de protection de la langue française” that following a “checkup” it had been ascertained that he had installed a sign carrying the firm name “Kelly Funeral Home” on the grounds of his establishment, which constituted an infraction of the Charter of the French Language. He was requested to inform the Commissioner within 15 days in writing of measures taken to correct the situation and to prevent the recurrence of a similar incident. The author has since removed his company sign.

2.3 Mr. McIntyre’s business was established over 100 years ago and in the 25 years under his management has always operated without language constraints. Now he is allegedly disadvantaged visàvis French speaking competitors who are allowed to use their mother tongue without restriction. Of the seven funeral homes in the area, his is the only one operated by an Englishspeaking Canadian serving the Englishspeaking community. Out of a total population of 15,600 in the town in question, some 5,600 inhabitants speak English. Bill No. 178, however, prevents him from indicating in his commercial sign in English the service he provides. The author alleges a loss of business and a reduced impact on passersby, who no longer identify his services by an external sign.

2.4 Mr. McIntyre also claims that since he has “taken on the Government” a certain “fear factor” discourages potential clients. It leads to hate calls, threats and ridicule in the press by suggestions that he is a “racist”.

The complaint:

3.1 The authors challenge sections 1, 6 and 10 of Bill No. 178 enacted by the Provincial Government of Quebec on 22 December 1988, with the purpose of modifying Bill No. 101, known as the Charter of the French Language (Charte de la langue française). The ratio legis of Bill No. 178, as stated explicitly by the Quebec legislature, was to override two judgments rendered by the Supreme Court of Canada on 15 December 1988, declaring several sections of the Charter unconstitutional. The official explanatory note preceding the text of the Charter states that only French may be used in public billposting and in commercial advertising outdoors. It stipulates that this rule shall also apply inside means of public transport and certain establishments, including shopping centres. The authors claim to be personally affected by the application of Bill No. 178.

3.2 The authors furthermore claim that the “notwithstanding” clause contained in section 10 of Bill No. 178 overrides the safeguards contained in the Canadian Charter of Human Rights and Freedoms (Canadian Charter) and the Quebec Charter of Human Rights and Freedoms (Quebec Charter). They point out that section 33 of the Canadian Charter, and its counterpart section 52 of the Quebec Charter, allow for the suspension of protection against human rights violations.

3.3 The authors claim that these provisions, whenever applied, violate Canada’s obligations under the Covenant, in particular article 2. Exempting legislation from compliance with the provisions of the Canadian or Quebec Charters of Human Rights and Freedoms effectively denies a remedy to citizens whose rights have been or are being violated by the legislation thus exempted.

Legislative provisions:

4.1 The relevant original provisions of the Charter of the French language (Bill No. 101, S.Q. 1977, C5) have been modified several times. In essence, however, they have remained substantially the same. In 1977, section 58 read as follows:

“Except as may be provided in this Act or the regulations of the Office de la langue française, signs and posters and commercial advertising shall be solely in the official language.”

4.2 The original wording of section 58 was replaced in 1983 by section 1 of the Act to amend the Charter of the French Language (S.Q. 1983, C56) which read:

“58. Public signs and posters and commercial advertising shall be solely in the official language.

“Notwithstanding the foregoing, in the cases and under the conditions or circumstances prescribed by regulation of the Office de la langue française, public signs and posters and commercial advertising may be both in French and another language or solely in another language …”

4.3 The initial language legislation was struck down by the Supreme Court in La Chaussure Brown’s Inc. et al. v. the Attorney General of Quebec (1989) 90 N.R. 84. Following this, section 58 of the Charter was amended by section 1 of Bill No. 178. While certain modifications were made relating to signs and posters inside business premises, the compulsory use of French in signs and posters outside remained.

4.4 Section 58 of the Charter, as modified in 1989 by section 1 of Bill No. 178, now reads:

“58. Public signs and posters and commercial advertising, outside or intended for the public outside, shall be solely in French. Similarly, public signs and posters and commercial advertising shall be solely in French,

“1.Inside commercial centres and their access ways, except inside the establishments located there;

“2.Inside any public means of transport and its access ways;

“3.Inside the establishments of business firms contemplated in section 136;

“4.Inside the establishments of business firms employing fewer than fifty but more than five persons, where such firms share, with two or more other business firms, the use of a trademark, a firm name or an appellation by which they are known to the public.

“The Government may, however, by regulation, prescribe the terms and conditions according to which public signs and posters and public advertising may be both in French and in another language, under the conditions set forth in the second paragraph of section 58.1, inside the establishments of business firms contemplated in subparagraphs 3 and 4 of the second paragraph”.

“The Government may, in such regulation, establish categories of business firms, prescribe terms and conditions which vary according to the category and reinforce the conditions set forth in the second paragraph of section 58.1.”

4.5 Section 6 of Bill No. 178 modified section 68 of the Charter, which now reads:

“68. Except as otherwise provided in this section, only the French version of a firm name may be used in Quebec. A firm name may be accompanied with a version in another language for use outside Quebec. That version may be used together with the French version of the firm name in the inscriptions referred to in section 51, if the products in question are offered both in and outside Quebec”.

“In printed documents, and in the documents contemplated in section 57 if they are both in French and in another language, a version of the French firm name in another language may be used in conjunction with the French firm name”.

“When texts or documents are drawn up in a language other than French, the firm name may appear in the other language without its French version.

“On public signs and posters and in commercial advertising,

“1.A firm name may be accompanied with a version in another language, if they are both in French and in another language;

“2.A firm name may appear solely in its version in another language, if they are solely in a language other than French.”

4.6 Section 10 of Bill No. 178 contains a socalled “notwithstanding” clause, which provides that:

“The provisions of section 58 and of the first paragraph of section 68, brought into effect under sections 1 and 6 respectively of the present Bill, shall operate irrespective of the provisions of section 2, paragraph (b), and section 15 of the Constitutional Act of 1982 … and shall apply notwithstanding articles 3 and 10 of the Charter of Human Rights and Freedoms.”

4.7 Another “notwithstanding” provision is incorporated into section 33 of the Canadian Charter of Human Rights and Freedoms, which reads:

“1. Parliament or the legislature of a province may expressly declare in an act of Parliament or of the legislature, as the case may be, that the Act or a provision thereof shall operate notwithstanding a provision included in section 2 or sections 7 to 15 of this Charter.”2. An Act or a provision of an Act in respect of which a declaration made under this section is in effect shall have such operation as it would have but for the provision of this Charter referred to in the declaration.

“3. A declaration made under subsection (1) shall cease to have effect five years after it comes into force or on such earlier date as may be specified in the declaration.

“4. Parliament or the legislature of a province may reenact a declaration made under subsection (1).

“5. Subsection (3) applies in respect of a reenactment made under subsection (4).”

The State party’s observations:

5.1 The communications were transmitted to the State party under rule 91 of the rules of procedure on 26 May 1989 and 29 January 1990. The deadlines for observations was set for 26 July 1989 and 29 March 1990, respectively. On several occasions, the State party requested an extension of time to make its submission, explaining that it needed more time as the issues involved were factually and legally complex and concerned both federal and provincial areas of legislative competence.

5.2 In its submission of 28 December 1990, the State party objected to the admissibility of the communications under article 5, paragraph 2(b), of the Optional Protocol to the International Covenant on Civil and Political Rights. It argued that domestic remedies had not been exhausted, since the authors had made no attempt to challenge Bill No. 178 and to “seek redress from the Canadian courts or other bodies that may be competent to resolve the issue pursuant to Canadian law”.

5.3 The State party also stated that in at least two legal proceedings before the courts of Quebec, litigants were challenging this legislation. K.N., charged on 30 January 1990 on two counts of contravening the Charter of the French Language, was scheduled to appear before the Court of Quebec on 19 December 1990, when the trial date was to have been set. In another case pending before the Court of Quebec, H.S. was charged in June 1990 on two counts of contravening the Charter by displaying a welcome sign outside his bakery in 35 languages. The respondent was scheduled to appear in court on 28 February 1991.

5.4 The State party further submitted that Quebec law provides the possibility for the authors to test the constitutional validity or application of Bill No. 178 through the use of an application for a declaratory judgment and referred to national jurisprudence in which certain provisions of the Charter of the French Language were declared to be of no force or effect.

5.5 The State party also pointed to the availability of the Federal Court Challenges Programme, which alleviates the financial hardship associated with the conduct of such litigation and states that the legal issues raised would be within the scope of the programme and the authors could, therefore, seek funding from the programme for the purpose of contesting the restrictions imposed by the provincial law.

Exhaustion of domestic remedies:

6.1 With respect to the requirement of exhaustion of domestic remedies, the authors maintain that following the enactment of Bill No. 178 there are no effective remedies which they could pursue. They refer to the relevant judgments of the Superior Court to the District of Montreal, the Appeal Court and the Supreme Court of Canada.

6.2 In particular, the authors of the first communication claim that because Bill 178 applies in spite of Canadian human rights laws and because the notwithstanding clauses of the Canadian and Quebec Charters, when invoked, suspend human rights as guaranteed, inter alia, by international human rights norms, they are denied an effective remedy within the meaning of article 2, paragraph 3, of the Covenant.

6.3 With regard to steps taken to assert their rights, the authors refer to numerous letters addressed to various provincial and federal authorities by individuals and lobby groups with no effect. As to judicial remedies, the authors explain that the Supreme Court’s decision in La Chaussure Brown’s et al., which supports their plea, has no effect in view of the subsequent Quebec legislation which makes any further challenge of section 1 of Bill No. 178 futile.

6.4 As to the possibility of initiating proceedings for a declaratory judgment, the authors contend that the very existence of the “notwithstanding” clause renders Bill No. 178 immune to challenge.

6.5 Mr. McIntyre states that he has written to the Prime Minister of Canada, the leaders of the Opposition, members of the Senate of Canada and the premiers of all provinces, only to receive a number of replies that express various forms of support and indicate that Bill No. 178 indeed violates the right to freedom of expression andruns contrary to both the Canadian and Quebec Charters of Human Rights. As a member of the Chateauguay Valley English Speaking People’s Association, he helped to organize a demonstration in Ottawa and to circulate a petition, which gathered some 10,000 signatures and was subsequently sent to the SecretaryGeneral of the United Nations.

6.6 In a case submitted by other complainants, the Superior Court held, on 28 December 1984, that section 58 of the Charter of the French Language, in so far as it prescribed that public signs and posters and commercial advertising shall be solely in French, was inoperative from 1 February 1984.

6.7 The Court of Appeal upheld the judgment and allowed an appeal declaring Section 68 of the Charter, in so far as it prescribed that only the French version of a firm name is to be used, to be inoperative from 1 January 1986 by reason of the Quebec Charter of Human Rights and Freedoms and from 17 April 1982 by reason of the Canadian Charter of Rights and Freedoms.

6.8 The authors argue that both the Quebec and federal courts have thoroughly considered the implications of the challenged provisions and that they have found them in violation of relevant constitutional provisions. The authors stress that while recognizing that there are reasonable limits to the exercise of human rights, the courts have held that the prohibition of the use of any other language than French in commercial signs was neither an appropriate nor a justifiable remedy against threats to the French culture. In particular, they found that the obligation to use only French on commercial signs and in advertising violated the right of freedom of expression and constituted discrimination based on language.

6.9 The authors argue that the Supreme Court’s judgment in the La Chaussure Brown’s et al. case directly applies to their situation. Bill No. 178, however, overrides the Court’s judgment and operates notwithstanding section 2(b) (freedom of expression) and section 15 (equality) of the Canadian Charter. The authors contend that it would be futile to go to the courts in view of the certain application of the “notwithstanding” clauses of the Canadian or Quebec Charters.

6.10 In addition, the authors complain that the Federal Government of Canada has not used its constitutional authority under section 90 of the Constitution Act, 1867, to disallow or set aside a Bill of a provincial government allowing fundamental human rights to be disregarded.

The Committee’s decision to join consideration of the communications and to declare them admissible:

7.1 Pursuant to rule 88, paragraph 2, of its rules of procedure, the Committee joined consideration of the two communications at its fortieth session in October 1990.

7.2 During its forty-first session in April 1991, the Committee considered the admissibility of the communications. It disagreed with the State party’s contention that there were still effective remedies available to the authors in the circumstances of their cases. In this context, it noted that in spite of repeated legislative changes protecting the visage linguistique of Quebec, and despite the fact that some of the relevant statutory provisions had been declared unconstitutional successively by the Superior, Appeal and Supreme Courts, the only effect of this had been the replacement of these provisions by ones that are the same in substance as those they replaced, but reinforced by the “notwithstanding” clause of Section 10 of Bill 178.

7.3 As to the State party’s contention that Bill 178 can be and is being challenged before the Quebec courts, the Committee noted that the issues raised in the cases before the local courts were not the same as those before the Committee and thus could not bear upon whether the authors of the communications still had remedies to pursue. The Committee further noted that the “notwithstanding” clause, which is not applicable to the provision(s) at issue in the proceedings referred to by the State party, remained applicable to Section 58 of Bill 178, the provision at issue in the communications before the Committee. It therefore concluded that no effective remedy was available to the authors in respect of their claim.

7.4 On 11 April 1991, therefore, the Committee declared the communications admissible.

The State party’s request for a review of admissibility and submission on the merits; authors’ comments thereon:

8.1 In a submission dated 6 March 1992, the Federal Government requests the Committee to review its decision on admissibility. It notes that the number of litigants who contest the validity of Bill 178 has grown, and that hearings before the Court of Quebec on the issue were held on 14 January 1992. The proceedings continue, and lawyers for the provincial government were scheduled to present Quebec’s point of view on 23 and 24 March 1992.

8.2 The State party contends that Quebec’s Code of Civil Procedure entitles the authors of the communications to apply for a declaratory judgment that Bill 178 is invalid and adds that this option would be open to them regardless of whether criminal charges had been instituted against them or not. It argues that consistent with the well-established principle that effective domestic remedies must be exhausted before the jurisdiction of an international body is engaged, Canadian courts should have an opportunity to rule on the validity of Bill 178, before the issue is considered by the Human Rights Committee.

8.3 The State party further argues that the “notwithstanding” clause in Section 33 of the Canadian Charter of Rights and Freedoms is compatible with Canada’s obligations under the Covenant, in particular with article 4 and with the obligation, under article 2, to provide its citizens with judicial remedies. It explains that, firstly, extraordinary conditions limit the use of Section 33. Secondly, Section 33 is said to reflect a balance between the roles of elected representatives and courts in interpreting rights: “A system in which the judiciary is given full and final say on all issues of rights adversely impacts on a key tenet of democracy – that is, participation of citizens in a forum of elected and publicly accountable legislatures on questions of social and political justice … The ‘notwithstanding’ clause provides a limited legislative counterweight in a system which otherwise gives judges final say over rights issues”.

8.4 Lastly, the Government affirms that the existence of Section 33 per se is not contrary to article 4 of the Covenant, and that the invocation of Section 33 does not necessarily amount to an impermissible derogation under the Covenant: “Canada’s obligation is to ensure that Section 33 is never invoked in circumstances which are contrary to international law. The Supreme Court of Canada has itself stated that ‘Canada’s international human rights obligations should [govern] … the interpretation of the content of the rights guaranteed by the Charter’.” Thus, a legislative override could never be invoked to permit acts clearly prohibited by international law. Accordingly, the legislative override in Section 33 is said to be compatible with the Covenant.

8.5 In another submission, made through the Federal Government of Canada, the provincial government of Quebec contends that the communications under review do not reveal a breach of articles 2, 19, 26 or 27 by Quebec. As regards article 27, Quebec asserts that historical developments since 1763 amply bear out the need for French speakers to seek protection of their language and culture. Even if it were concluded that the dominant position of English speakers in Canada did not prevent the authors from invoking article 27 of the Covenants, its travaux préparatoires indicate that its aim was rather to protect specific linguistic rights, in particular in the spheres of education, justice, public administration and cultural and religious institutions:

“Accordingly, this article may not be invoked in support of the complainants’ claims because, even if it applied to them, the right to commercial advertising and the right to use the business names they wish to include in the advertising do not come within its scope, ratione materiae. Consequently, the claims … are incompatible with the provisions of the Covenant”.

8.6 In respect of the authors’ claims under article 26, the Government of Quebec points out that Sections 58 and 68 of the Charter of the French Language, as amended by Sections 1 and 6 of Bill 178, are general measures applicable to commercial advertising which lay down the same requirements and obligations for all tradesmen, regardless of their language. They treat equally all people who seek to advertise in Quebec. The authors of the communications have provided no evidence to show that they were treated differently from other tradesmen, or that the turnover of their businesses declined as a result of the adoption and application of Bill 178.

8.7 The Government of Quebec points out that in the linguistic sphere, the notion of de facto equality precludes purely formal equality and makes it necessary to accord different treatment in order to arrive at a result that restores the balance between different situations. It contends that the Charter of the French Language, as amended by Bill 178, “is a measured legislative response to the particular circumstances of Quebec’s society, for which, in the North American context and in the face of the domination of the English language and the ensuing cultural, socio-economic and political pressures, ‘francification’ (‘Frenchification’) is still in an exposed position”.

8.8 The requirements of Sections 58 and 68 of Bill 178 are said to be deliberately limited to the sphere of external public and commercial advertising, because it is there that the symbolic value of the language as a means of collective identification is strongest and contributes most to preserving the cultural identity of French speakers: “the linguistic image communicated by advertising is an important factor that contributes to shaping habits and behaviour which perpetuate or influence the use of a language”. Quebec concludes on this point that Bill 178 strikes a delicate balance between two linguistic communities, one of which is in a dominant demographic position both nationally and on the continent as a whole. This aim is said to be reasonable and compatible with article 26 of the Covenant.

8.9 In respect of the authors’ claim under article 19, the Government of Quebec submits that the alleged violation does not come, ratione materiae, within the scope of application of article 19. In its opinion, “freedom of expression as referred to by the Covenant primarily concerns political,cultural and artistic expression and does not extend to the area of commercial advertising. Thus there are no grounds in article 19 of the Covenant for the allegations made by the authors …” Quebec adds that the historical background and the fact that the evolution of linguistic relations in Canadaconstitutes a political compromise do not justify the conclusion that the requirement to carry out external commercial advertising in a certain way amounts to a violation of article 19:

“Even if this were not the case, freedom of expression in commercial advertising requires lesser protection than that afforded to the expression of political ideas, and the Government must be allowed a large measure of discretion to achieve its objectives”.

8.10 The Government of Quebec concludes that the right to commercial outdoor advertising in a language of the authors’ choice “is not protected by any of the provisions of the Covenant and, even if such a right was implicitly provided for therein, the Charter of the French Language, as amended by Bill 178, in terms of any possible infringement of such a right, is reasonable and designed to achieve objectives compatible with the Covenant.” In any event, the Charter of the French Language, as amended by Bill 178, may provide Quebec with a means of preserving its specific linguistic character and give French speakers a feeling of linguistic security.

9.1 In their comments on the above submissions, the authors of communication 359/1989 deny the existence of effective domestic remedies. They contend that “simply put, the ‘notwithstanding’ clause automatically renders all domestic remedies exhausted because there is no recourse available to plead human rights violations.” They note that the defence arguments in the cases currently pending before the Quebec courts are not based on Sections 2(b) and 15 of the Canadian Charter or Sections 3 and 10 of the Quebec Charter, which guarantee freedom of expression and protection against discrimination based on language. In the La Chaussure Brown’s et al. judgment, the Supreme Court struck down basically the same legislation as a violation of the aforementioned guarantees. Because of the “notwithstanding” clause in Section 10 of Bill 178, the authors argue, they are precluded from even asking the Court to consider whether the law runs counter to the Charter guarantees of freedom of expression and protection against discrimination.

9.2 The authors contend that the same logic applies to the Government’s suggestion that they seek a declaratory judgment: “Indeed the La Chaussure Brown’s et al. decision has already … decided that the law violates human rights. The point is … that Bill 178 operates ‘notwithstanding’ the Charters, so that the Court could not consider such a question on its merits.” In this context, the authors further point out that under Canadian law, they are unable to invoke the provisions of the Covenant before the domestic courts.

9.3 The authors reject the Federal Government’s arguments on the application and limitations on Section 33 of the Canadian Charter as devoid of any basis in reality. They argue that any attempt to minimize the impact or emphasize the difficulty in applying the “notwithstanding” clause must fail when one considers the ease with which Quebec was able to implement the “Loi concernant la Loi Constitutionnelle de 1982″, and the effects this has had in terms of curtailing the protection afforded by the Canadian Charter. Furthermore, the speed with which Bill 178 was enacted – one week after the Supreme Court’s decision in La Chaussure Brown’s et al. – belies the contention that the “notwithstanding” clause is subject to extraordinary limitations or is only applied in rare circumstances.

9.4 The authors dismiss the argument that the “notwithstanding” clause strikes a “delicate balance” between the power of the legislative authorities and the judiciary. They affirm that Section 1 of the Canadian Charter already provides such a balance by subjecting human rights to such reasonable limits prescribed by law which are justified in a free and democratic society. Section 9(1) of the Quebec Charter contains limitations to the same effect. In the authors’ opinion, there is no justification, political expediency apart, for the presence of the “notwithstanding” clauses.

9.5 Finally, the authors reject the affirmation that the “notwithstanding” clauses are compatible with Canada’s international human rights obligations. Thus, the overriding provision of Bill No. 178 can be maintained only because of the existence of these clauses. The authors submit that Canada has failed to take all necessary steps to comply with its obligations under the Covenant and the Optional Protocol.

9.6 In a further comment, counsel to Mr. McIntyre reiterates that Bill No. 178 violates fundamental rights protected by the Covenant. He argues that while Quebec has pointed to figures which show a slow decline in the use of French across Canada, it omitted to point out that, in Quebec, French has been gaining ground on English and the English community is in decline. Furthermore, while Quebec has portrayed the 1982 constitutional amendments as an attack on the French language, it can on the contrary be argued that Section 23 of the amended Charter of Rights and Freedoms has been particularly effective in assisting the francophone population outside Quebec.

9.7 Counsel to Mr. McIntyre dismisses Quebec’s view that the English minority is particularly well-treated as “highly tendentious”. On the contrary, he argues, this minority has been subjected to “systematic discouragement” since 1970, a conclusion endorsed by the Supreme Court of Canada in the case of Quebec Association of Protestant School Boards v. A.G. Qué. (1984). Furthermore, although French minorities in the rest of Canada have often been treated unfairly in the past, this situation is now improving. As a result, counsel denies that historical or legal arguments would justify the restrictions imposed by Bill No. 178 in the light of articles 19, 26 or 27 of the Covenant.

9.8 Counsel contends that in respect of the causal connection between the language of outdoor commercial advertising and the perceived threat to the survival of French, Quebec merely tries to reargue its unsuccessful defence in the case of La Chaussure Brown’s et al. He reiterates that there is no connection between the contested legislative provisions and any rational defence or protection of the French language.

9.9 Counsel asserts that in respect of the alleged violation of the right to freedom of expression, there is no reason to exclude commercial expression from protection. Any distinction between commercial and non-commercial expression would be difficult to operate, and, moreover, the notion of freedom of expression has been interpreted in a broad and liberal manner by the Supreme Court of Canada in recent years.

9.10 Finally, in respect of Section 33 of the Canadian Charter, counsel contends that since the rights to freedom of expression and protection from discrimination are protected under the Covenant, Section 33 cannot be used as a tool which would render these rights inoperative: “Section 33, while not invalid ab initio, is inoperative with regard to these rights which Canada is under an international obligation to uphold”.

Review of admissibility:

10.1 The Committee has taken note of the parties’ comments, made subsequent to the decision on admissibility, in respect of the admissibility and the merits of the communications. It takes the opportunity to explain its admissibility findings.

10.2 The State party has contended that as the issue of the validity of Bill No. 178 is before the Quebec courts and the authors may apply for a declaratory judgment that the Bill is invalid, the communications remain inadmissible. The Committee notes that the State party has not replied to the argumentation set out in its decision on admissibility, as reflected in paragraphs 7.2 and 7.3 above. From the State party’s submission, it further appears that the cases pending before the courts of Quebec concern the offence provisions of Bill 178 and not the “notwithstanding” clause in Section 10 thereof, nor Section 33 of the Canadian Charter and Section 52 of the Quebec Charter. This clause remains applicable to Section 58 of the Charter of the French Language, as amended by Section 1 of Bill 178. Any challenge of Section 58 based on alleged violations of fundamental freedoms is therefore bound to fail.

10.3 It remains to be determined whether a declaratory judgment declaring Bill No. 178 invalid would provide the authors with an effective remedy. The Committee notes that such a judgment would still leave the Charter of the French Language operativeand intact, and enable the Quebec legislature to override any such judgment by replacing the provisions struck down by others substantially the same and by invoking the “notwithstanding” clause of the Quebec Charter. On the basis of precedent, and in the light of the legislative history of Bill 178, such a course of action is not merely hypothetical. The net result, a continued ban on languages other than French in outdoor advertising, would remain the same. Furthermore, a declaratory judgment would not pronounce on the compatibility, with international obligations assumed by Canada, of the “notwithstanding” clauses cited above.

10.4 The Committee has further reconsidered, eo volonte, whether all the authors are properly to be considered victims within the meaning of article 1 of the Optional Protocol. In that context, it has noted that Mr. Ballantyne and Ms. Davidson have not received warning notices from the Commissioner-Enquirer of the “Commission de protection de la langue française” nor been subjected to any penalty. However, it is the position of the Committee that where an individual is in a category of persons whose activities are, by virtue of the relevant legislation, regarded as contrary to law, they may have a claim as “victims” within the meaning of article 1 of the Optional Protocol.

10.5 In the light of the above, the Committee sees no reason to review its decision on admissibility of 11 April 1991.

Consideration of the merits:

11.1 On the merits, three major issues are before the Committee:

(a) whether Sec.58 of the Charter of the French Language, as amended by Bill 178, Sec.1, violates any right that the authors might have by virtue of article 27;

(b) whether Sec.58 of the Charter of the French Language, as amended by Bill 178, Sec.1, violates the authors’ right to freedom of expression; and

(c) whether the same provision is compatible with the authors’ right to equality before the law.

11.2 As to article 27, the Committee observes that this provision refers to minorities in States; this refers, as do all references to the “State” or to “States” in the provisions of the Covenant, to ratifying States. Further, article 50 of the Covenant provides that its provisions extend to all parts of Federal States without any limitations or exceptions. Accordingly, the minorities referred to in article 27 are minorities withinsuch a State, and not minorities within any province. A group may constitute a majority in a province but still be a minority in a State and thus be entitled to the benefits of article 27. English speaking citizens of Canada cannot be considered a linguistic minority. The authors therefore have no claim under article 27 of the Covenant.

11.3 Under article 19 of the Covenant, everyone shall have the right to freedom of expression; this right may be subjected to restrictions, conditions for which are set out in article 19, paragraph 3. The Government of Quebec has asserted that commercial activity such as outdoor advertising does not fall within the ambit of article 19. The Committee does not share this opinion. Article 19, paragraph 2, must be interpreted as encompassing every form of subjective ideas and opinions capable of transmission to others, which are compatible with article 20 of the Covenant, of news and information, of commercial expression and advertising, of works of art, etc.; it should not be confined to means of political, cultural or artistic expression. In the Committee’s opinion, the commercial element in an expression taking the form of outdoor advertising cannot have the effect of removing this expression from the scope of protected freedom. The Committee does not agree either that any of the above forms of expression can be subjected to varying degrees of limitation, with the result that some forms of expression may suffer broader restrictions than others.

11.4 Any restriction of the freedom of expression must cumulatively meet the following conditions: it must be provided for by law, it must address one of the aims enumerated in paragraph 3(a) and (b) of article 19, and must be necessary to achieve the legitimate purpose. While the restrictions on outdoor advertising are indeed provided for by law, the issue to be addressed is whether they are necessary for the respect of the rights of others. The rights of others could only be the rights of the francophone minority within Canada under article 27. This is the right to use their own language, which is not jeopardized by the freedom of others to advertise in other than the French language. Nor does the Committee have reason to believe that public order would be jeopardized by commercial advertising outdoors in a language other than French. The Committee notes that the State party does not seek to defend Bill 178 on these grounds. Any constraints under paragraphs 3(a) and 3(b) of article 19 would in any event have to be shown to be necessary. The Committee believes that it is not necessary, in order to protect the vulnerable position in Canada of the francophone group, to prohibit commercial advertising in English. This protection may be achieved in other ways that do not preclude the freedom of expression, in a language of their choice, of those engaged in such fields as trade. For example, the law could have required that advertising be in both French and English. A State may choose one or more official languages, but it may not exclude, outside the spheres of public life, the freedom to express oneself in a language of one’s choice. The Committee accordingly concludes that there has been a violation of article 19, paragraph 2.

11.5 The authors have claimed a violation of their right, under article 26, to equality before the law; the Government of Quebec has contended that Sections 1 and 6 of Bill 178 are general measures applicable to all those engaged in trade, regardless of their language. The Committee notes that Sections 1 and 6 of Bill 178 operate to prohibit the use of commercial advertising outdoors in other than the French language. This prohibition applies to French speakers as well as English speakers, so that a French speaking person wishing to advertise in English, in order to reach those of his or her clientele who are English speaking, may not do so. Accordingly, the Committee finds that the authors have not been discriminated against on the ground of their language, and concludes that there has been no violation of article 26 of the Covenant.

12. The Human Rights Committee, acting under article 5, paragraph 4, of the Optional Protocol to the International Covenant on Civil and Political Rights, is of the view that the facts before it reveal a violation of article 19, paragraph 2, of the Covenant.

13. The Committee calls upon the State party to remedy the violation of article 19 of the Covenant by an appropriate amendment to the law.

14. The Committee would wish to receive information, within six months, on any relevant measures taken by the State party in connection with the Committee’s Views.

[Done in English, French and Spanish, the English and French texts being the original versions.]

APPENDIX

Individual opinions under rule 94, paragraph 3, of the Human Rights Committee’s rules of procedure, concerning the Committee’s Views on Communications Nos. 359/1989 (Ballantyne/Davidson v. Canada) and 385/1989 (McIntyre v. Canada)

A. Individual opinion by Mr. Waleed Sadi (dissenting)

I respectfully dissent from the Committee’s decision and submit that it would have been appropriate to review the Committee’s earlier decision on admissibility, on the basis of non-exhaustion of domestic remedies. My reasons are the following:

I am persuaded by the State party’s contention that it would be open to the authors, under the Quebec Code of Civil Procedure, to apply for a declaratory judgment holding Bill 178 and the “notwithstanding” clause in Section 10 thereof to be invalid. Article 5, paragraph 2(b), of the Optional Protocol requires the authors of communications to exhaust available domestic remedies; the Committee should not have proceeded with the examination of the merits of the cases in view of the availability of the domestic remedy in question.

In my opinion, the authors have not been able to refute the State party’s contention that a declaratory judgment would not only be an available but also an effective remedy. The Canadian judicial system should have the opportunity to pronounce upon the constitutionality of Bill 178 and its controversial “notwithstanding” clause before the Committee proceeds with a finding on the merits of the communications. The Committee’s decision to adopt Views under article 5, paragraph 4, of the Optional Protocol, and to find a violation of article 19 of the Covenant has no precedent and is not, in my opinion, in accordance with the provisions of article 5, paragraph 2(b), of the Protocol. I thus register my disagreement with the Committee’s opinion that recourse to the Canadian courts, including the Supreme Court of Canada, would be futile and therefore not required for purposes of the Optional Protocol.

W. Sadi

[Done in English, French and Spanish, the English text being the original version.]

B. Individual opinion by Mr. Birame Ndiaye (dissenting)

In accordance with article 27 of the Covenant, in those States in which ethnic, religious or linguistic minorities exist, persons belonging to such minorities shall not be denied the right, in community with the other members of their group, to enjoy their own culture, to profess and practise their own religion, or to use their own language. Through this provision, the Covenant categorically recognizes (“persons … shall not be denied”), for every individual belonging to these three categories of minority, certain rights, namely, the right, in community with the other members of their group, to enjoy their own culture, to profess and practise their own religion and to use their own language.

These rights are recognized in respect of individuals for their own sake, but also and above all for the survival of the minority as an entity. Indeed, the existence of minorities such as those defined in article 27 cannot be imagined after the disappearance of the single element which constitutes them, namely, their ethnic character, religion or, lastly, language. The rationale of article 27 is the preservation of the three minorities referred to, and not the protection of the rights enunciated therein, merely for the sake of protection.

In the cases submitted to the Committee [Ballantyne/Davidson (359/1989) and McIntyre (385/1989)], Quebec considered that “historical developments since 1763 amply bear out the need for French-speakers to seek protection of their language and culture”. Thus, the goal pursued by the Charter of the French Language, as amended by Bill 178, is the very same as that aimed at by article 27 of the Covenant, to which effect must be given, if necessary by restricting freedom of expression on the basis of article 19, paragraph 3. Under this provision “The exercise of the rights provided for in paragraph 2 of this article carries with it special duties and responsibilities. It may therefore be subject to certain restrictions, but these shall only be such as are provided by law and are necessary:

(a)For respect of the rights or reputations of others;

(b)For the protection of national security or of public order (ordre public), or of public health or morals”.

The limitations embodied in article 19, paragraph 3(a) and (b), are applicable to the situation of the French-speaking minority in Canada. And as this country has maintained, albeit with too narrow a conception of freedom of expression, “the Charter of the French Language, as amended …., may provide Quebec with a means of preserving its specific linguistic character and give French-speakers a feeling of linguistic security”. This is reasonable and is geared to ends compatible with the Covenant, namely, article 27.

Unfortunately, the Human Rights Committee has not endorsed the State party’s view and has not agreed to integrate the requirements of implementation of article 27 in its decision. For the Committee, there is no linguistic problem in Canada or, if it does exist, it is not so important as to merit the treatment which the authorities of that country have chosen to extend to it. I can only disassociate myself from its conclusions.

B. Ndiaye

[Done in English, French and Spanish, the French text being the original version.]


C. Individual opinion by Mr. Kurt Herndl (dissenting/concurring)

I agree with the Committee’s Views that the facts of the McIntyre case disclose a violation of article 19 of the Covenant. As to the communication of Mr. Ballantyne and Ms. Davidson, I believe that a question remains whether they are indeed “victims” within the meaning of article 1 of the Optional Protocol.

With respect to the Committee’s rationale in paragraph 11.2 of its Views, the communications in my opinion do not raise issues under article 27 of the Covenant. The question as to whether the authors can or cannot be considered as belonging to a “minority” in the sense of article 27 would seem to be moot in as much as the rights that the authors invoke are not “minority rights” as such, but rather rights pertaining to the principle of freedom of expression, as protected by article 19 of the Covenant, which obviously must be taken to include commercial advertising. On this account, as the Committee rightly states in paragraphs 11.3 and 11.4 of its Views, there has been violation of a provision of the Covenant, i.e. article 19.

K. Herndl

[Done in English, French and Spanish, the English text being the original version.]


D. Individual opinion by Mr. Bertil Wennergren (concurring)

I concur with the Committee’s findings in paragraph 11.2 of the Views that the authors have no claim under article 27 of the Covenant, but I do so because a prohibition to use any other language than French for commercial outdoor advertising in Quebec does not infringe on any of the rights protected under article 27. It is, under the circumstances, of no relevance, whether English speaking persons in Quebec are entitled to the protection of article 27 or not. I feel, however, that I should add that in my opinion, the issue of what constitutes a minority in a State must be decided on a case by case basis, due regard being given to the particular circumstances of each case.

B. Wennergren

[Done in English, French and Spanish, the English text being the original version.]


E. Individual opinion by Mrs. Elizabeth Evatt, cosigned by Messrs. Nisuke Ando, Marco Tulio Bruni Celli and Vojin Dimitrijevic (concurring and elaborating)

It may be correct to conclude that the authors are not members of a linguistic minority whose right to use their own language in community with the other members of their group have been violated by the Quebec laws in question. This conclusion can be supported by reference to the general application of those laws – they apply to all languages other than French – and to their specific purpose – which attracts the protection of article 19.

My difficulty with the decision is that it interprets the term “minorities” in article 27 solely on the basis of the number of members of the group in question in the State party. The reasoning is that because English speaking Canadians are not a numerical minority in Canada they cannot be a minority for the purposes of article 27.

I do not agree, however, that persons are necessarily excluded from the protection of article 27 where their group is an ethnic, linguistic or cultural minority in an autonomous province of a State, but is not clearly a numerical minority in the State itself, taken as a whole entity. The criteria for determining what is a minority in a State ( in the sense of article 27) has not yet been considered by the Committee, and does not need to be foreclosed by a decision in the present matter, which can in any event be determined on other grounds. The history of the protection of minorities in international law shows that the question of definition has been difficult and controversial and that many different criteria have been proposed. For example, it has been argued that factors other than strictly numerical ones need to be taken into account. Alternatively, article 50, which envisages the application of the Covenant to “parts of federal States” could affect the interpretation of article 27.

To take a narrow view of the meaning of minorities in article 27 could have the result that a State party would have no obligation under the Covenant to ensure that a minority in an autonomous province had the protection of article 27 where it was not clear that the group in question was a minority in the State considered as a whole entity. These questions do not need to be finally resolved in the present matter and are better deferred until the proper context arises.

E. Evatt

N. Ando

M.T. Bruni Celli

V. Dimitrijevic

[Done in English, French and Spanish, the English text being the original version.]

footnotes

*/ Made public by decision of the Human Rights Committee.

*/ Five concurring and dissenting opinions, signed by eight Committee members, are appended to the present document.

0

Baker v. Carr, 369 U.S. 186 (1962)

U.S. Supreme Court

Baker v. Carr, 369 U.S. 186 (1962)

Baker v. Carr

No. 6

Argued April 19-20, 1961

Set for reargument May 1, 1961

Reargued October 9, 1961

Decided March 26, 1962

369 U.S. 186

APPEAL FROM THE UNITED STATES DISTRICT COURT

FOR THE MIDDLE DISTRICT OF TENNESSEE

 

Syllabus

Appellants are persons allegedly qualified to vote for members of the General Assembly of Tennessee representing the counties in which they reside. They brought suit in a Federal District Court in Tennessee under 42 U.S.C. §§ 1983 and 1988, on behalf of themselves and others similarly situated, to redress the alleged deprivation of their federal constitutional rights by legislation classifying voters with respect to representation in the General Assembly. They alleged that, by means of a 1901 statute of Tennessee arbitrarily and capriciously apportioning the seats in the General Assembly among the State’s 95 counties, and a failure to reapportion them subsequently notwithstanding substantial growth and redistribution of the State’s population, they suffer a “debasement of their votes,” and were thereby denied the equal protection of the laws guaranteed them by the Fourteenth Amendment. They sought, inter alia, a declaratory judgment that the 1901 statute is unconstitutional and an injunction restraining certain state officers from conducting any further elections under it. The District Court dismissed the complaint on the grounds that it lacked jurisdiction of the subject matter and that no claim was stated upon which relief could be granted.

Held:

1. The District Court had jurisdiction of the subject matter of the federal constitutional claim asserted in the complaint. Pp. 369 U. S. 198-204.

2. Appellants had standing to maintain this suit. Pp. 369 U. S. 204-208.

3. The complaint’s allegations of a denial of equal protection presented a justiciable constitutional cause of action upon which appellants are entitled to a trial and a decision. Pp. 369 U. S. 208-37.

179 F.Supp. 824, reversed and cause remanded

Page 369 U. S. 187

MR. JUSTICE BRENNAN delivered the opinion of the Court.

This civil action was brought under 42 U.S.C. §§ 1983 and 1988 to redress the alleged deprivation of federal constitutional rights. The complaint, alleging that, by means of a 1901 statute of Tennessee apportioning the members of the General Assembly among the State’s 95 counties, [Footnote 1] “these plaintiffs and others similarly situated,

Page 369 U. S. 188

are denied the equal protection of the laws accorded them by the Fourteenth Amendment to the Constitution of the United States by virtue of the debasement of their votes,” was dismissed by a three-judge court convened under 28 U.S.C. § 2281 in the Middle District of Tennessee. [Footnote 2] The court held that it lacked jurisdiction of the subject matter and also that no claim was stated upon which relief could be granted. 179 F.Supp. 824. We noted probable jurisdiction of the appeal. 364 U.S. 898. [Footnote 3] We hold that the dismissal was error, and remand the cause to the District Court for trial and further proceedings consistent with this opinion.

The General Assembly of Tennessee consists of the Senate, with 33 members, and the House of Representatives, with 99 members. The Tennessee Constitution provides in Art. II as follows:

“Sec. 3. Legislative authority — Term of office. — The Legislative authority of this State shall be vested in a General Assembly, which shall consist of a Senate and House of Representatives, both dependent on the people; who shall hold their offices for two years from the day of the general election.”

“Sec. 4. Census. — An enumeration of the qualified voters, and an apportionment of the Representatives in the General Assembly, shall be made in the year one thousand eight hundred and seventy-one and within every subsequent term of ten years.”

“Sec. 5. Apportionment of representatives. — The number of Representatives shall, at the several

Page 369 U. S. 189

periods of making the enumeration, be apportioned among the several counties or districts, according to the number of qualified voters in each, and shall not exceed seventy-five; until the population of the State shall be one million and a half, and shall never exceed ninety-nine; Provided, that any county having two-thirds of the ratio shall be entitled to one member.”

“Sec. 6. Apportionment of senators. — The number of Senators shall, at the several periods of making the enumeration, be apportioned among the several counties or districts according to the number of qualified electors in each, and shall not exceed one-third the number of representatives. In apportioning the Senators among the different counties, the fraction that may be lost by any county or counties in the apportionment of members to the House of Representatives shall be made up to such county or counties in the Senate, as near as may be practicable. When a district is composed of two or more counties, they shall be adjoining, and no county shall be divided in forming a district.”

Thus, Tennessee’s standard for allocating legislative representation among her counties is the total number of qualified voters resident in the respective counties, subject only to minor qualifications. [Footnote 4] Decennial reapportionment

Page 369 U. S. 190

in compliance with the constitutional scheme was effected by the General Assembly each decade from 1871 to 1901. The 1871 apportionment [Footnote 5] was preceded by an 1870 statute requiring an enumeration. [Footnote 6] The 1881 apportionment involved three statutes, the first authorizing an enumeration, the second enlarging the Senate from 25 to

Page 369 U. S. 191

33 members and the House from 75 to 99 members, and the third apportioning the membership of both Houses. [Footnote 7] In 1891, there were both an enumeration and an apportionment. [Footnote 8] In 1901, the General Assembly abandoned separate enumeration in favor of reliance upon the Federal Census, and passed the Apportionment Act here in controversy. [Footnote 9] In the more than 60 years since that action, all proposals in both Houses of the General Assembly for reapportionment have failed to pass. [Footnote 10]

Page 369 U. S. 192

Between 1901 and 1961, Tennessee has experienced substantial growth and redistribution of her population. In 1901, the population was 2,020,616, of whom 487,380 were eligible to vote. [Footnote 11] The 1960 Federal Census reports the State’s population at 3,567,089, of whom 2,092,891 are eligible to vote. [Footnote 12] The relative standings of the counties in terms of qualified voters have changed significantly. It is primarily the continued application of the 1901 Apportionment Act to this shifted and enlarged voting population which gives rise to the present controversy.

Indeed, the complaint alleges that the 1901 statute, even as of the time of its passage,

“made no apportionment of Representatives and Senators in accordance with the constitutional formula . . . , but instead arbitrarily and capriciously apportioned representatives in the Senate and House without reference . . . to any logical or reasonable formula whatever. [Footnote 13]“

It is further alleged

Page 369 U. S. 193

that, “because of the population changes since 1900, and the failure of the Legislature to reapportion itself since 1901,” the 1901 statute became “unconstitutional and obsolete.” Appellants also argue that, because of the composition of the legislature effected by the 1901 Apportionment Act, redress in the form of a state constitutional amendment to change the entire mechanism for reapportioning, or any other change short of that, is difficult or impossible. [Footnote 14] The complaint concludes that

“these plaintiffs

Page 369 U. S. 194

and others similarly situated, are denied the equal protection of the laws accorded them by the Fourteenth Amendment to the Constitution of the United States by virtue of the debasement of their votes. [Footnote 15]“

They seek a

Page 369 U. S. 195

declaration that the 1901 statute is unconstitutional and an injunction restraining the appellees from acting to conduct any further elections under it. They also pray that, unless and until the General Assembly enacts a valid reapportionment, the District Court should either decree a reapportionment by mathematical application of the Tennessee constitutional formulae to the most recent Federal Census figures, or direct the appellees to conduct legislative elections, primary and general, at large. They also pray for such other and further relief as may be appropriate.

I

THE DISTRICT COURT’s OPINION AND ORDER OF DISMISSAL

Because we deal with this case on appeal from an order of dismissal granted on appellees’ motions, precise identification

Page 369 U. S. 196

of the issues presently confronting us demands clear exposition of the grounds upon which the District Court rested in dismissing the case. The dismissal order recited that the court sustained the appellees’ grounds “(1) that the Court lacks jurisdiction of the subject matter, and (2) that the complaint fails to state a claim upon which relief can be granted. . . .”

In the setting of a case such as this, the recited grounds embrace two possible reasons for dismissal:

First: That the facts and injury alleged, the legal bases invoked as creating the rights and duties relied upon, and the relief sought, fail to come within that language of Article III of the Constitution and of the jurisdictional statutes which define those matters concerning which United States District Courts are empowered to act;

Second: That, although the matter is cognizable and facts are alleged which establish infringement of appellants’ rights as a result of state legislative action departing from a federal constitutional standard, the court will not proceed because the matter is considered unsuited to judicial inquiry or adjustment.

We treat the first ground of dismissal as “lack of jurisdiction of the subject matter.” The second we consider to result in a failure to state a justiciable cause of action.

The District Court’s dismissal order recited that it was issued in conformity with the court’s per curiam opinion. The opinion reveals that the court rested its dismissal upon lack of subject matter jurisdiction and lack of a justiciable cause of action without attempting to distinguish between these grounds. After noting that the plaintiffs challenged the existing legislative apportionment in Tennessee under the Due Process and Equal Protection Clauses, and summarizing the supporting allegations and the relief requested, the court stated that

“The action is presently before the Court upon the defendants’ motion to dismiss predicated upon three

Page 369 U. S. 197

grounds: first, that the Court lacks jurisdiction of the subject matter; second, that the complaints fail to state a claim upon which relief can be granted, and third, that indispensable party defendants are not before the Court.”

179 F.Supp. at 826.

The court proceeded to explain its action as turning on the case’s presenting a “question of the distribution of political strength for legislative purposes.” For,

“From a review of [numerous Supreme Court] . . . decisions, there can be no doubt that the federal rule, as enunciated and applied by the Supreme Court, is that the federal courts, whether from a lack of jurisdiction or from the inappropriateness of the subject matter for judicial consideration, will not intervene in cases of this type to compel legislative reapportionment.”

179 F.Supp. at 826. The court went on to express doubts as to the feasibility of the various possible remedies sought by the plaintiffs. 179 F.Supp. at 827-828. Then it made clear that its dismissal reflected a view not of doubt that violation of constitutional rights was alleged, but of a court’s impotence to correct that violation:

“With the plaintiffs’ argument that the legislature of Tennessee is guilty of a clear violation of the state constitution and of the rights of the plaintiffs the Court entirely agrees. It also agrees that the evil is a serious one which should be corrected without further delay. But even so, the remedy in this situation clearly does not lie with the courts. It has long been recognized and is accepted doctrine that there are indeed some rights guaranteed by the Constitution for the violation of which the courts cannot give redress.”

179 F.Supp. at 828.

In light of the District Court’s treatment of the case, we hold today only (a) that the court possessed jurisdiction of the subject matter; (b) that a justiciable cause of

Page 369 U. S. 198

action is stated upon which appellants would be entitled to appropriate relief, and (c) because appellees raise the issue before this Court, that the appellants have standing to challenge the Tennessee apportionment statutes. [Footnote 16] Beyond noting that we have no cause at this stage to doubt the District Court will be able to fashion relief if violations of constitutional rights are found, it is improper now to consider what remedy would be most appropriate if appellants prevail at the trial.

II

JURISDICTION OF THE SUBJECT MATTER

The District Court was uncertain whether our cases withholding federal judicial relief rested upon a lack of federal jurisdiction or upon the inappropriateness of the subject matter for judicial consideration — what we have designated “nonjusticiability.” The distinction between the two grounds is significant. In the instance of nonjusticiability, consideration of the cause is not wholly and immediately foreclosed; rather, the Court’s inquiry necessarily proceeds to the point of deciding whether the duty asserted can be judicially identified and its breach judicially determined, and whether protection for the right asserted can be judicially molded. In the instance of lack of jurisdiction, the cause either does not “arise under” the Federal Constitution, laws or treaties (or fall within one of the other enumerated categories of Art. III, § 2); or is not a “case or controversy” within the meaning of that section; or the cause is not one described by any jurisdictional statute. Our conclusion, see pp. 369 U. S. 208-237 infra, that this cause presents no nonjusticiable “political question” settles the only possible doubt that it is a case or controversy. Under the present heading of “Jurisdiction

Page 369 U. S. 199

of the Subject Matter,” we hold only that the matter set forth in the complaint does arise under the Constitution, and is within 28 U.S.C. § 1343.

Article III, 2, of the Federal Constitution provides that

“The judicial Power shall extend to all Cases, in Law and Equity, arising under this Constitution, the Laws of the United States, and Treaties made, or which shall be made, under their Authority. . . .”

It is clear that the cause of action is one which “arises under” the Federal Constitution. The complaint alleges that the 1901 statute effects an apportionment that deprives the appellants of the equal protection of the laws in violation of the Fourteenth Amendment. Dismissal of the complaint upon the ground of lack of jurisdiction of the subject matter would, therefore, be justified only if that claim were “so attenuated and unsubstantial as to be absolutely devoid of merit,” Newburyport Water Co. v. Newburyport, 193 U. S. 561, 193 U. S. 579, or “frivolous,” Bell v. Hood, 327 U. S. 678, 327 U. S. 683. [Footnote 17] That the claim is unsubstantial must be “very plain.” Hart v. Keith Vaudeville Exchange, 262 U. S. 271, 262 U. S. 274. Since the District Court obviously and correctly did not deem the asserted federal constitutional claim unsubstantial and frivolous, it should not have dismissed the complaint for want of jurisdiction of the subject matter. And, of course, no further consideration of the merits of the claim is relevant to a determination of the court’s jurisdiction of the subject matter. We said in an earlier voting case from Tennessee:

“It is obvious . . . that the court, in dismissing for want of jurisdiction, was controlled by what it deemed to be the want of merit in the averments which were made in the complaint as to the violation of the Federal right. But as the very nature of the controversy was Federal, and, therefore,

Page 369 U. S. 200

jurisdiction existed, whilst the opinion of the court as to the want of merit in the cause of action might have furnished ground for dismissing for that reason, it afforded no sufficient ground for deciding that the action was not one arising under the Constitution and laws of the United States.”

Swafford v. Templeton, 185 U. S. 487, 185 U. S. 493.

“For it is well settled that the failure to state a proper cause of action calls for a judgment on the merits, and not for a dismissal for want of jurisdiction.”

Bell v. Hood, 327 U. S. 678, 327 U. S. 682. See also Binderup v. Pathe Exchange, 263 U. S. 291, 263 U. S. 305-308.

Since the complaint plainly sets forth a case arising under the Constitution, the subject matter is within the federal judicial power defined in Art. III, § 2, and so within the power of Congress to assign to the jurisdiction of the District Courts. Congress has exercised that power in 28 U.S.C. § 1343(3):

“The district courts shall have original jurisdiction of any civil action authorized by law [Footnote 18] to be commenced by any person . . . [t]o redress the deprivation, under color of any State law, statute, ordinance, regulation, custom or usage, of any right, privilege or immunity secured by the Constitution of the United States. . . . [Footnote 19] “

Page 369 U. S. 201

An unbroken line of our precedents sustains the federal courts’ jurisdiction of the subject matter of federal constitutional claims of this nature. The first cases involved the redistricting of States for the purpose of electing Representatives to the Federal Congress. When the Ohio Supreme Court sustained Ohio legislation against an attack for repugnancy to Art. I, § 4, of the Federal Constitution, we affirmed on the merits and expressly refused to dismiss for want of jurisdiction “In view . . . of the subject matter of the controversy and the Federal characteristics which inhere in it. . . .” Ohio ex rel. Davis v. Hildebrant, 241 U. S. 565, 241 U. S. 570. When the Minnesota Supreme Court affirmed the dismissal of a suit to enjoin the Secretary of State of Minnesota from acting under Minnesota redistricting legislation, we reviewed the constitutional merits of the legislation and reversed the State Supreme Court. Smiley v. Holm, 285 U. S. 355. And see companion cases from the New York Court of Appeals and the Missouri Supreme Court, Koenig v. Flynn, 285 U. S. 375; Carroll v. Becker, 285 U. S. 380. When a three-judge District Court, exercising jurisdiction under the predecessor of 28 U.S.C. § 1343(3), permanently enjoined officers of the State of Mississippi from conducting an election of Representatives under a Mississippi redistricting act, we reviewed the federal questions on the merits and reversed the District Court. Wood v. Broom, 287 U. S. 1, reversing 1 F.Supp. 134. A similar decree of a District Court, exercising jurisdiction under the same statute concerning a Kentucky redistricting act was

Page 369 U. S. 202

reviewed and the decree reversed. Mahan v. Hume, 287 U.S. 575, reversing 1 F.Supp. 142. [Footnote 20]

The appellees refer to Colegrove v. Green, 328 U. S. 549, as authority that the District Court lacked jurisdiction of the subject matter. Appellees misconceive the holding of that case. The holding was precisely contrary to their reading of it. Seven members of the Court participated in the decision. Unlike many other cases in this field which have assumed without discussion that there was jurisdiction, all three opinions filed in Colegrove discussed the question. Two of the opinions expressing the views of four of the Justices, a majority, flatly held that there was jurisdiction of the subject matter. MR. JUSTICE BLACK, joined by MR. JUSTICE DOUGLAS and Mr. Justice Murphy, stated: “It is my judgment that the District Court had jurisdiction . . . ,” citing the predecessor of 28 U.S.C. § 1343(3), and Bell v. Hood, supra. 328 U.S. at 328 U. S. 568. Mr. Justice Rutledge, writing separately, expressed agreement with this conclusion. 328 U.S. at 328 U. S. 564-565, n. 2. Indeed, it is even questionable that the opinion of MR. JUSTICE FRANKFURTER, joined by Justices Reed and Burton, doubted jurisdiction of the subject matter. Such doubt would have been inconsistent with the professed willingness to turn the decision on either the majority or concurring views in Wood v. Broom, supra. 328 U.S. at 328 U. S. 551.

Several subsequent cases similar to Colegrove have been decided by the Court in summary per curiam statements. None was dismissed for want of jurisdiction of the subject matter. Cook v. Fortson, 329 U. S. 675; Turman v.

Page 369 U. S. 203

Duckworth, ibid.; Colegrove v. Barrett, 330 U.S. 804; [Footnote 21] Tedesco v. Board of Supervisors, 339 U.S. 940; Remmey v. Smith, 342 U.S. 916; Cox v. Peters, 342 U.S. 936; Anderson v. Jordan, 343 U.S. 912; Kidd v. McCanless, 352 U.S. 920; Radford v. Gary, 352 U.S. 991; Hartsfield v. Sloan, 357 U.S. 916; Matthews v. Handley, 361 U. S. 127. [Footnote 22]

Two cases decided with opinions after Colegrove likewise plainly imply that the subject matter of this suit is within District Court jurisdiction. In MacDougall v. Green, 335 U. S. 281, the District Court dismissed for want of jurisdiction, which had been invoked under 28 U.S.C. § 1343(3), a suit to enjoin enforcement of the requirement that nominees for statewide elections be supported by a petition signed by a minimum number of persons from at least 50 of the State’s 102 counties. This Court’s disagreement with that action is clear, since the Court affirmed the judgment after a review of the merits and concluded that the particular claim there was without merit. In South v. Peters, 339 U. S. 276, we affirmed the dismissal of an attack on the Georgia “county unit” system but founded our action on a ground that plainly would not have been reached if the lower court lacked jurisdiction of the subject matter, which allegedly existed under 28 U.S.C. § 1343(3). The express words of our holding were that

“Federal courts consistently refuse to exercise their equity powers in cases posing

Page 369 U. S. 204

political issues arising from a state’s geographical distribution of electoral strength among its political subdivisions.”

339 U.S. at 339 U. S. 277.

We hold that the District Court has jurisdiction of the subject matter of the federal constitutional claim asserted in the complaint.

III

STANDING.

A federal court cannot

“pronounce any statute, either of a State or of the United States, void, because irreconcilable with the Constitution, except as it is called upon to adjudge the legal rights of litigants in actual controversies.”

Liverpool Steamship Co. v. Commissioners of Emigration, 113 U. S. 33, 113 U. S. 39. Have the appellants alleged such a personal stake in the outcome of the controversy as to assure that concrete adverseness which sharpens the presentation of issues upon which the court so largely depends for illumination of difficult constitutional questions? This is the gist of the question of standing. It is, of course, a question of federal law.

The complaint was filed by residents of Davidson, Hamilton, Knox, Montgomery, and Shelby Counties. Each is a person allegedly qualified to vote for members of the General Assembly representing his county. [Footnote 23] These appellants sued

“on their own behalf and on behalf of all qualified voters of their respective counties, and further, on behalf of all voters of the State of Tennessee who

Page 369 U. S. 205

are similarly situated. . . . [Footnote 24]“

The appellees are the Tennessee Secretary of State, Attorney General, Coordinator of Elections, and members of the State Board of Elections; the members of the State Board are sued in their own right and also as representatives of the County Election Commissioners whom they appoint. [Footnote 25]

Page 369 U. S. 206

We hold that the appellants do have standing to maintain this suit. Our decisions plainly support this conclusion. Many of the cases have assumed, rather than articulated, the premise in deciding the merits of similar claims. [Footnote 26] And Colegrove v. Green, supra, squarely held that voters who allege facts showing disadvantage to themselves as individuals have standing to sue. [Footnote 27] A number

Page 369 U. S. 207

of cases decided after Colegrove recognized the standing of the voters there involved to bring those actions. [Footnote 28]

These appellants seek relief in order to protect or vindicate an interest of their own, and of those similarly situated. Their constitutional claim is, in substance, that the 1901 statute constitutes arbitrary and capricious state action, offensive to the Fourteenth Amendment in its irrational disregard of the standard of apportionment prescribed by the State’s Constitution or of any standard, effecting a gross disproportion of representation to voting population. The injury which appellants assert is that this classification disfavors the voters in the counties in which they reside, placing them in a position of constitutionally unjustifiable inequality vis-a-vis voters

Page 369 U. S. 208

in irrationally favored counties. A citizen’s right to a vote free of arbitrary impairment by state action has been judicially recognized as a right secured by the Constitution when such impairment resulted from dilution by a false tally, cf. United States v. Classic, 313 U. S. 299; or by a refusal to count votes from arbitrarily selected precincts, cf. United States v. Mosley, 238 U. S. 383, or by a stuffing of the ballot box, cf. Ex parte Siebold, 100 U. S. 371; United States v. Saylor, 322 U. S. 385.

It would not be necessary to decide whether appellants’ allegations of impairment of their votes by the 1901 apportionment will ultimately entitle them to any relief in order to hold that they have standing to seek it. If such impairment does produce a legally cognizable injury, they are among those who have sustained it. They are asserting “a plain, direct and adequate interest in maintaining the effectiveness of their votes,” Coleman v. Miller, 307 U.S. at 307 U. S. 438, not merely a claim of “the right, possessed by every citizen, to require that the Government be administered according to law. . . .” Fairchild v. Hughes, 258 U. S. 126, 258 U. S. 129; compare Leser v. Garnett, 258 U. S. 130. They are entitled to a hearing and to the District Court’s decision on their claims.

“The very essence of civil liberty certainly consists in the right of every individual to claim the protection of the laws, whenever he receives an injury.”

Marbury v. Madison, 1 Cranch 137, 5 U. S. 163.

IV

JUSTICIABILITY

In holding that the subject matter of this suit was not justiciable, the District Court relied on Colegrove v. Green, supra, and subsequent per curiam cases. [Footnote 29] The

Page 369 U. S. 209

court stated:

“From a review of these decisions, there can be no doubt that the federal rule . . . is that the federal courts . . . will not intervene in cases of this type to compel legislative reapportionment.”

179 F.Supp. at 826. We understand the District Court to have read the cited cases as compelling the conclusion that, since the appellants sought to have a legislative apportionment held unconstitutional, their suit presented a “political question,” and was therefore nonjusticiable. We hold that this challenge to an apportionment presents no nonjusticiable “political question.” The cited cases do not hold the contrary.

Of course, the mere fact that the suit seeks protection of a political right does not mean it presents a political question. Such an objection “is little more than a play upon words.” Nixon v. Herndon, 273 U. S. 536, 273 U. S. 540. Rather, it is argued that apportionment cases, whatever the actual wording of the complaint, can involve no federal constitutional right except one resting on the guaranty of a republican form of government, [Footnote 30] and that complaints based on that clause have been held to present political questions which are nonjusticiable.

We hold that the claim pleaded here neither rests upon nor implicates the Guaranty Clause, and that its justiciability is therefore not foreclosed by our decisions of cases involving that clause. The District Court misinterpreted Colegrove v. Green and other decisions of this Court on which it relied. Appellants’ claim that they are being denied equal protection is justiciable, and if

Page 369 U. S. 210

“discrimination is sufficiently shown, the right to relief under the equal protection clause is not diminished by the fact that the discrimination relates to political rights.”

Snowdell v. Hughes, 321 U. S. 1, 321 U. S. 11. To show why we reject the argument based on the Guaranty Clause, we must examine the authorities under it. But because there appears to be some uncertainty as to why those cases did present political questions, and specifically as to whether this apportionment case is like those cases, we deem it necessary first to consider the contours of the “political question” doctrine.

Our discussion, even at the price of extending this opinion, requires review of a number of political question cases, in order to expose the attributes of the doctrine — attributes which, in various settings, diverge, combine, appear, and disappear in seeming disorderliness. Since that review is undertaken solely to demonstrate that neither singly nor collectively do these cases support a conclusion that this apportionment case is nonjusticiable, we, of course, do not explore their implications in other contexts. That review reveals that, in the Guaranty Clause cases and in the other “political question” cases, it is the relationship between the judiciary and the coordinate branches of the Federal Government, and not the federal judiciary’s relationship to the States, which gives rise to the “political question.” We have said that,

“In determining whether a question falls within [the political question] category, the appropriateness under our system of government of attributing finality to the action of the political departments and also the lack of satisfactory criteria for a judicial determination are dominant considerations.”

Coleman v. Miller, 307 U. S. 433, 307 U. S. 454-455. The nonjusticiability of a political question is primarily a function of the separation of powers. Much confusion results from the capacity of the “political question” label to obscure the need for

Page 369 U. S. 211

case-by-case inquiry. Deciding whether a matter has in any measure been committed by the Constitution to another branch of government, or whether the action of that branch exceeds whatever authority has been committed, is itself a delicate exercise in constitutional interpretation, and is a responsibility of this Court as ultimate interpreter of the Constitution. To demonstrate this requires no less than to analyze representative cases and to infer from them the analytical threads that make up the political question doctrine. We shall then show that none of those threads catches this case.

Foreign relations: there are sweeping statements to the effect that all questions touching foreign relations are political questions. [Footnote 31] Not only does resolution of such issues frequently turn on standards that defy judicial application, or involve the exercise of a discretion demonstrably committed to the executive or legislature, [Footnote 32] but many such questions uniquely demand single-voiced statement of the Government’s views. [Footnote 33] Yet it is error to suppose that every case or controversy which touches foreign relations lies beyond judicial cognizance. Our cases in this field seem invariably to show a discriminating analysis of the particular question posed, in terms of the history of its management by the political branches, of its susceptibility to judicial handling in the light of its nature and posture in the specific case, and of the possible consequences

Page 369 U. S. 212

of judicial action. For example, though a court will not ordinarily inquire whether a treaty has been terminated, since on that question, “governmental action . . . must be regarded as of controlling importance,” if there has been no conclusive “governmental action,” then a court can construe a treaty, and may find it provides the answer. Compare Terlinden v. Ames, 184 U. S. 270, 184 U. S. 285, with 21 U. S. New Haven, 8 Wheat. 464, 21 U. S. 492-495. [Footnote 34] Though a court will not undertake to construe a treaty in a manner inconsistent with a subsequent federal statute, no similar hesitancy obtains if the asserted clash is with state law. Compare Whitney v. Robertson, 124 U. S. 190, with Kolovrat v. Oregon, 366 U. S. 187.

While recognition of foreign governments so strongly defies judicial treatment that, without executive recognition, a foreign state has been called “a republic of whose existence we know nothing,” [Footnote 35] and the judiciary ordinarily follows the executive as to which nation has sovereignty over disputed territory, [Footnote 36] once sovereignty over an area is politically determined and declared, courts may examine the resulting status and decide independently whether a statute applies to that area. [Footnote 37] Similarly, recognition of belligerency abroad is an executive responsibility, but if the executive proclamations fall short of an explicit answer, a court may construe them seeking, for example, to determine whether the situation is such that statutes designed to assure American neutrality have

Page 369 U. S. 213

become operative. The Three Friends, 166 U. S. 1, 166 U. S. 63, 166 U. S. 66. Still again, though it is the executive that determines a person’s status as representative of a foreign government, Ex parte Hitz, 111 U. S. 766, the executive’s statements will be construed where necessary to determine the court’s jurisdiction, In re Baiz, 135 U. S. 403. Similar judicial action in the absence of a recognizedly authoritative executive declaration occurs in cases involving the immunity from seizure of vessels owned by friendly foreign governments. Compare Ex parte Peru, 318 U. S. 578, with Mexico v. Hoffman, 324 U. S. 30, 324 U. S. 34-35.

Dates of duration of hostilities: though it has been stated broadly that “the power which declared the necessity is the power to declare its cessation, and what the cessation requires,” Commercial Trust Co. v. Miller, 262 U. S. 51, 262 U. S. 57, here too analysis reveals isolable reasons for the presence of political questions, underlying this Court’s refusal to review the political departments’ determination of when or whether a war has ended. Dominant is the need for finality in the political determination, for emergency’s nature demands “[a] prompt and unhesitating obedience,” Martin v. Mott, 12 Wheat. 19, 25 U. S. 30 (calling up of militia). Moreover,

“the cessation of hostilities does not necessarily end the war power. It was stated in Hamilton v. Kentucky Distilleries & W. Co., 251 U. S. 146, 251 U. S. 161, that the war power includes the power ‘to remedy the evils which have arisen from its rise and progress,’ and continues during that emergency. Stewart v. Kahn, 11 Wall. 493, 78 U. S. 507.”

Fleming v. Mohawk Wrecking Co., 331 U. S. 111, 331 U. S. 116. But deference rests on reason, not habit. [Footnote 38] The question in a particular case may not seriously implicate considerations of finality — e.g., a public program of importance

Page 369 U. S. 214

(rent control), yet not central to the emergency effort. [Footnote 39] Further, clearly definable criteria for decision may be available. In such case, the political question barrier falls away:

“[A] Court is not at liberty to shut its eyes to an obvious mistake, when the validity of the law depends upon the truth of what is declared. . . . [It can] inquire whether the exigency still existed upon which the continued operation of the law depended.”

Chastleton Corp. v. Sinclair, 264 U. S. 543, 264 U. S. 547-548. [Footnote 40] Compare Woods v. Miller Co., 333 U. S. 138. On the other hand, even in private litigation which directly implicates no feature of separation of powers, lack of judicially discoverable standards and the drive for evenhanded application may impel reference to the political departments’ determination of dates of hostilities’ beginning and ending. The Protector, 12 Wall. 700.

Validity of enactments: in Coleman v. Miller, supra, this Court held that the questions of how long a proposed amendment to the Federal Constitution remained open to ratification, and what effect a prior rejection had on a subsequent ratification, were committed to congressional resolution and involved criteria of decision that necessarily escaped the judicial grasp. [Footnote 41] Similar considerations apply to the enacting process: “[t]he respect due to coequal and independent departments,” and the need for finality and certainty about the status of a statute contribute to judicial reluctance to inquire whether, as passed, it complied with all requisite formalities. Field v. Clark, 143 U. S. 649, 143 U. S. 672, 143 U. S. 676-677; see Leser v. Garnett, 258 U. S. 130, 258 U. S. 137. But it is not true that courts will never delve

Page 369 U. S. 215

into a legislature’s records upon such a quest: if the enrolled statute lacks an effective date, a court will not hesitate to seek it in the legislative journals in order to preserve the enactment. Gardner v. The Collector, 6 Wall. 499. The political question doctrine, a tool for maintenance of governmental order, will not be so applied as to promote only disorder.

The status of Indian tribes: this Court’s deference to the political departments in determining whether Indians are recognized as a tribe, while it reflects familiar attributes of political questions, [Footnote 42] United States v. Holliday, 3 Wall. 407, 70 U. S. 419, also has a unique element in that

“the relation of the Indians to the United States is marked by peculiar and cardinal distinctions which exist no where else. . . . [The Indians are] domestic dependent nations . . . in a state of pupilage. Their relation to the United States resembles that of a ward to his guardian.”

The Cherokee Nation v. Georgia, 5 Pet. 1, 30 U. S. 16, 30 U. S. 17. [Footnote 43] Yet here, too, there is no blanket rule. While

Page 369 U. S. 216

“‘It is for [Congress] . . and not for the courts, to determine when the true interests of the Indian require his release from [the] condition of tutelage,’ . . . it is not meant by this that Congress may bring a community or body of people within the range of this power by arbitrarily calling them an Indian tribe. . . .”

United States v. Sandoval, 231 U. S. 28, 231 U. S. 46. Able to discern what is “distinctly Indian,” ibid., the courts will strike down

Page 369 U. S. 217

any heedless extension of that label. They will not stand impotent before an obvious instance of a manifestly unauthorized exercise of power.

It is apparent that several formulations which vary slightly according to the settings in which the questions arise may describe a political question, although each has one or more elements which identify it as essentially a function of the separation of powers. Prominent on the surface of any case held to involve a political question is found a textually demonstrable constitutional commitment of the issue to a coordinate political department; or a lack of judicially discoverable and manageable standards for resolving it; or the impossibility of deciding without an initial policy determination of a kind clearly for non judicial discretion; or the impossibility of a court’s undertaking independent resolution without expressing lack of the respect due coordinate branches of government; or an unusual need for unquestioning adherence to a political decision already made; or the potentiality of embarrassment from multifarious pronouncements by various departments on one question.

Unless one of these formulations is inextricable from the case at bar, there should be no dismissal for nonjusticiability on the ground of a political question’s presence. The doctrine of which we treat is one of “political questions,” not one of “political cases.” The courts cannot reject as “no law suit” a bona fide controversy as to whether some action denominated “political” exceeds constitutional authority. The cases we have reviewed show the necessity for discriminating inquiry into the precise facts and posture of the particular case, and the impossibility of resolution by any semantic cataloguing.

But it is argued that this case shares the characteristics of decisions that constitute a category not yet considered, cases concerning the Constitution’s guaranty, in Art. IV,

Page 369 U. S. 218

§ 4, of a republican form of government. A conclusion as to whether the case at bar does present a political question cannot be confidently reached until we have considered those cases with special care. We shall discover that Guaranty Clause claims involve those elements which define a “political question,” and, for that reason and no other, they are nonjusticiable. In particular, we shall discover that the nonjusticiability of such claims has nothing to do with their touching upon matters of state governmental organization.

Republican form of government: Luther v. Borden, 7 How. 1, though in form simply an action for damages for trespass was, as Daniel Webster said in opening the argument for the defense, “an unusual case.” [Footnote 44] The defendants, admitting an otherwise tortious breaking and entering, sought to justify their action on the ground that they were agents of the established lawful government of Rhode Island, which State was then under martial law to defend itself from active insurrection; that the plaintiff was engaged in that insurrection, and that they entered under orders to arrest the plaintiff. The case arose “out of the unfortunate political differences which agitated the people of Rhode Island in 1841 and 1842,” 7 How. at 48 U. S. 34, and which had resulted in a situation wherein two groups laid competing claims to recognition as the lawful government. [Footnote 45] The plaintiff’s right to

Page 369 U. S. 219

recover depended upon which of the two groups was entitled to such recognition; but the lower court’s refusal to receive evidence or hear argument on that issue, its charge to the jury that the earlier established or “charter” government was lawful, and the verdict for the defendants were affirmed upon appeal to this Court.

Chief Justice Taney’s opinion for the Court reasoned as follows: (1) If a court were to hold the defendants’ acts unjustified because the charter government had no legal existence during the period in question, it would follow that all of that government’s actions — laws enacted, taxes collected, salaries paid, accounts settled, sentences passed — were of no effect, and that “the officers who carried their decisions into operation [were] answerable as trespassers, if not in some cases as criminals.” [Footnote 46] There was, of course, no room for application of any doctrine of de facto status to uphold prior acts of an officer not authorized de jure, for such would have defeated the plaintiff’s very action. A decision for the plaintiff would inevitably have produced some significant measure of chaos, a consequence to be avoided if it could be done without abnegation of the judicial duty to uphold the Constitution.

(2) No state court had recognized as a judicial responsibility settlement of the issue of the locus of state governmental authority. Indeed, the courts of Rhode Island had in several cases held that “it rested with the political power to decide whether the charter government had been displaced or not,” and that that department had acknowledged no change.

Page 369 U. S. 220

(3) Since “[t]he question relates, altogether, to the constitution and laws of [the] . . . State,” the courts of the United States had to follow the state courts’ decisions unless there was a federal constitutional ground for overturning them. [Footnote 47]

(4) No provision of the Constitution could be or had been invoked for this purpose except Art. IV, § 4, the Guaranty Clause. Having already noted the absence of standards whereby the choice between governments could be made by a court acting independently, Chief Justice Taney now found further textual and practical reasons for concluding that, if any department of the United States was empowered by the Guaranty Clause to resolve the issue, it was not the judiciary:

“Under this article of the Constitution, it rests with Congress to decide what government is the established one in a State. For, as the United States guarantee to each State a republican government, Congress must necessarily decide what government is established in the State before it can determine whether it is republican or not. And when the senators and representatives of a State are admitted into the councils of the Union, the authority of the government under which they are appointed, as well as its republican character, is recognized by the proper constitutional authority. And its decision is binding on every other department of the government, and could not be questioned in a judicial tribunal. It is true that the contest in this case did not last long enough to bring the matter to this issue, and . . . Congress was not called upon to decide the controversy. Yet the right to decide is placed there, and not in the courts. “

Page 369 U. S. 221

“So, too, as relates to the clause in the above-mentioned article of the Constitution, providing for cases of domestic violence. It rested with Congress, too, to determine upon the means proper to be adopted to fulfill this guarantee. . . . [B]y the act of February 28, 1795, [Congress] provided, that,”

“in case of an insurrection in any State against the government thereof, it shall be lawful for the President of the United States, on application of the legislature of such State or of the executive (when the legislature cannot be convened), to call forth such number of the militia of any other State or States, as may be applied for, as he may judge sufficient to suppress such insurrection.”

“By this act, the power of deciding whether the exigency had arisen upon which the government of the United States is bound to interfere is given to the President. . . .”

“After the President has acted and called out the militia, is a Circuit Court of the United States authorized to inquire whether his decision was right? . . . If the judicial power extends so far, the guarantee contained in the Constitution of the United States is a guarantee of anarchy, and not of order.”

“It is true that, in this case, the militia were not called out by the President. But, upon the application of the governor under the charter government, the President recognized him as the executive power of the State and took measures to call out the militia to support his authority if it should be found necessary for the general government to interfere. . . . [C]ertainly no court of the United States, with a knowledge of this decision, would have been justified in recognizing the opposing party as the lawful government. . . .

Page 369 U. S. 222

In the case of foreign nations, the government acknowledged by the President is always recognized in the courts of justice. . . .”

7 How. at 48 U. S. 42-44.

Clearly, several factors were thought by the Court in Luther to make the question there “political”: the commitment to the other branches of the decision as to which is the lawful state government; the unambiguous action by the President in recognizing the charter government as the lawful authority; the need for finality in the executive’s decision, and the lack of criteria by which a court could determine which form of government was republican. [Footnote 48]

Page 369 U. S. 223

But the only significance that Luther could have for our immediate purposes is in its holding that the Guaranty Clause is not a repository of judicially manageable standards which a court could utilize independently in order to identify a State’s lawful government. The Court has since refused to resort to the Guaranty Clause — which alone had been invoked for the purpose as the source of a constitutional standard for invalidating state action. See Taylor & Marshall v. Beckham (No. 1), 178 U. S. 548 (claim that Kentucky’s resolution of contested gubernatorial election deprived voters of republican government held nonjusticiable); Pacific States Tel. Co. v. Oregon, 223 U. S. 118 (claim that initiative and referendum negated republican government held nonjusticiable); Kiernan v. Portland, 223 U. S. 151 (claim that municipal charter amendment per municipal initiative and referendum negated republican government held nonjusticiable);

Page 369 U. S. 224

Marshall v. Dye, 231 U. S. 250 (claim that Indiana’s constitutional amendment procedure negated republican government held nonjusticiable); O’Neill v. Leamer, 239 U. S. 244 (claim that delegation to court of power to form drainage districts negated republican government held “futile”); Ohio ex rel. Davis v. Hildebrant, 241 U. S. 565 (claim that invalidation of state reapportionment statute per referendum negates republican government held nonjusticiable); [Footnote 49] Mountain Timber Co. v. Washington, 243 U. S. 219 (claim that workmen’s compensation violates republican government held nonjusticiable); Ohio ex rel. Bryant v. Akron Metropolitan Park District, 281 U. S. 74 (claim that rule requiring invalidation of statute by all but one justice of state court negated republican government held nonjusticiable); Highland Farms Dairy v. Agnew, 300 U. S. 608 (claim that delegation to agency of power to control milk prices violated republican government rejected).

Just as the Court has consistently held that a challenge to state action based on the Guaranty Clause presents no justiciable question, so has it held, and for the same reasons, that challenges to congressional action on the ground of inconsistency with that clause present no justiciable question. In Georgia v. Stanton, 6 Wall. 50, the State sought by an original bill to enjoin execution of the Reconstruction Acts, claiming that it already possessed “A republican State, in every political, legal, constitutional, and juridical sense,” and that enforcement of the new Acts,

“[i]nstead of keeping the guaranty against a forcible overthrow of its government by foreign invaders or domestic insurgents, . . . is destroying that very government by force. [Footnote 50]“

Congress had clearly refused to

Page 369 U. S. 225

recognize the republican character of the government of the suing State. [Footnote 51] It seemed to the Court that the only constitutional claim that could be presented was under the Guaranty Clause, and Congress having determined that the effects of the recent hostilities required extraordinary measures to restore governments of a republican form, this Court refused to interfere with Congress’ action at the behest of a claimant relying on that very guaranty. [Footnote 52]

In only a few other cases has the Court considered Art. IV, § 4, in relation to congressional action. It has refused to pass on a claim relying on the Guaranty Clause to establish that Congress lacked power to allow the States to employ the referendum in passing on legislation redistricting for congressional seats. Ohio ex rel. Davis v. Hildebrant, supra. And it has pointed out that Congress is not required to establish republican government in the territories before they become States, and before they have attained a sufficient population to warrant a

Page 369 U. S. 226

popularly elected legislature. Downes v. Bidwell, 182 U. S. 244, 182 U. S. 278-279 (dictum). [Footnote 53]

We come, finally, to the ultimate inquiry whether our precedents as to what constitutes a nonjusticiable “political question” bring the case before us under the umbrella of that doctrine. A natural beginning is to note whether any of the common characteristics which we have been able to identify and label descriptively are present. We find none: the question here is the consistency of state action with the Federal Constitution. We have no question decided, or to be decided, by a political branch of government coequal with this Court. Nor do we risk embarrassment of our government abroad, or grave disturbance at home [Footnote 54] if we take issue with Tennessee as to the constitutionality of her action here challenged. Nor need the appellants, in order to succeed in this action, ask the Court to enter upon policy determinations for which judicially manageable standards are lacking. Judicial standards under the Equal Protection Clause are well developed and familiar, and it has been open to courts since the enactment of the Fourteenth Amendment to determine, if, on the particular facts, they must, that a discrimination reflects no policy, but simply arbitrary and capricious action.

This case does, in one sense, involve the allocation of political power within a State, and the appellants

Page 369 U. S. 227

might conceivably have added a claim under the Guaranty Clause. Of course, as we have seen, any reliance on that clause would be futile. But because any reliance on the Guaranty Clause could not have succeeded, it does not follow that appellants may not be heard on the equal protection claim which, in fact, they tender. True, it must be clear that the Fourteenth Amendment claim is not so enmeshed with those political question elements which render Guaranty Clause claims nonjusticiable as actually to present a political question itself. But we have found that not to be the case here.

In this connection, special attention is due Pacific States Tel. Co. v. Oregon, 223 U. S. 118. In that case, a corporation tax statute enacted by the initiative was attacked ostensibly on three grounds: (1) due process; (2) equal protection, and (3) the Guaranty Clause. But it was clear that the first two grounds were invoked solely in aid of the contention that the tax was invalid by reason of its passage:

“The defendant company does not contend here that it could not have been required to pay a license tax. It does not assert that it was denied an opportunity to be heard as to the amount for which it was taxed, or that there was anything inhering in the tax or involved intrinsically in the law which violated any of its constitutional rights. If such questions had been raised, they would have been justiciable, and therefore would have required the calling into operation of judicial power. Instead, however, of doing any of these things, the attack on the statute here made is of a wholly different character. Its essentially political nature is at once made manifest by understanding that the assault which the contention here advanced makes it [sic] not on the tax as a tax, but on the State as a State. It is addressed to the

Page 369 U. S. 228

framework and political character of the government by which the statute levying the tax was passed. It is the government, the political entity, which (reducing the case to its essence) is called to the bar of this court not for the purpose of testing judicially some exercise of power assailed, on the ground that its exertion has injuriously affected the rights of an individual because of repugnancy to some constitutional limitation, but to demand of the State that it establish its right to exist as a State, republican in form.”

223 U.S. at 223 U. S. 150-151.

The due process and equal protection claims were held nonjusticiable in Pacific States not because they happened to be joined with a Guaranty Clause claim, or because they sought to place before the Court a subject matter which might conceivably have been dealt with through the Guaranty Clause, but because the Court believed that they were invoked merely in verbal aid of the resolution of issues which, in its view, entailed political questions. Pacific States may be compared with cases such as Mountain Timber Co. v. Washington, 243 U. S. 219, wherein the Court refused to consider whether a workmen’s compensation act violated the Guaranty Clause but considered at length, and rejected, due process and equal protection arguments advanced against it, and O’Neill v. Leamer, 239 U. S. 244, wherein the Court refused to consider whether Nebraska’s delegation of power to form drainage districts violated the Guaranty Clause, but went on to consider and reject the contention that the action against which an injunction was sought was not a taking for a public purpose.

We conclude, then, that the nonjusticiability of claims resting on the Guaranty Clause, which arises from their embodiment of questions that were thought “political,” can have no bearing upon the justiciability of the equal protection claim presented in this case. Finally, we

Page 369 U. S. 229

emphasize that it is the involvement in Guaranty Clause claims of the elements thought to define “political questions,” and no other feature, which could render them nonjusticiable. Specifically, we have said that such claims are not held nonjusticiable because they touch matters of state governmental organization. Brief examination of a few cases demonstrates this.

When challenges to state action respecting matters of “the administration of the affairs of the State and the officers through whom they are conducted” [Footnote 55] have rested on claims of constitutional deprivation which are amenable to judicial correction, this Court has acted upon its view of the merits of the claim. For example, in Boyd v. Nebraska ex rel. Thayer, 143 U. S. 135, we reversed the Nebraska Supreme Court’s decision that Nebraska’s Governor was not a citizen of the United States or of the State, and therefore could not continue in office. In Kennard v. Louisiana ex rel. Morgan, 92 U. S. 480, and Foster v. Kansas ex rel. Johnston, 112 U. S. 201, we considered whether persons had been removed from public office by procedures consistent with the Fourteenth Amendment’s due process guaranty, and held on the merits that they had. And only last Term, in Gomillion v. Lightfoot, 364 U. S. 339, we applied the Fifteenth Amendment to strike down a redrafting of municipal boundaries which effected a discriminatory impairment of voting rights, in the face of what a majority of the Court of Appeals thought to be a sweeping commitment to state legislatures of the power to draw and redraw such boundaries. [Footnote 56]

Gomillion was brought by a Negro who had been a resident of the City of Tuskegee, Alabama, until the municipal boundaries were so recast by the State Legislature

Page 369 U. S. 230

as to exclude practically all Negroes. The plaintiff claimed deprivation of the right to vote in municipal elections. The District Court’s dismissal for want of jurisdiction and failure to state a claim upon which relief could be granted was affirmed by the Court of Appeals. This Court unanimously reversed. This Court’s answer to the argument that States enjoyed unrestricted control over municipal boundaries was:

“Legislative control of municipalities, no less than other state power, lies within the scope of relevant limitations imposed by the United States Constitution. . . . The opposite conclusion, urged upon us by respondents, would sanction the achievement by a State of any impairment of voting rights whatever so long as it was cloaked in the garb of the realignment of political subdivisions. ‘It is inconceivable that guaranties embedded in the Constitution of the United States may thus be manipulated out of existence.’”

364 U.S. at 364 U. S. 344-345.

To a second argument, that Colegrove v. Green, supra, was a barrier to hearing the merits of the case, the Court responded that Gomillion was lifted “out of the so-called political’ arena and into the conventional sphere of constitutional litigation” because here was discriminatory treatment of a racial minority violating the Fifteenth Amendment.

“A statute which is alleged to have worked unconstitutional deprivations of petitioners’ rights is not immune to attack simply because the mechanism employed by the legislature is a redefinition of municipal boundaries. . . . While in form this is merely an act redefining metes and bounds, if the allegations are established, the inescapable human effect of this essay in geometry and geography is to despoil colored citizens, and only colored citizens, of

Page 369 U. S. 231

their theretofore enjoyed voting rights. That was not Colegrove v. Green.

“When a State exercises power wholly within the domain of state interest, it is insulated from federal judicial review. But such insulation is not carried over when state power is used as an instrument for circumventing a federally protected right.”

364 U.S. at 364 U. S. 347. [Footnote 57]

We have not overlooked such cases as In re Sawyer, 124 U. S. 200, and Walton v. House of Representatives, 265 U. S. 487, which held that federal equity power could not be exercised to enjoin a state proceeding to remove a public officer. But these decisions explicitly reflect only a traditional limit upon equity jurisdiction, and not upon federal courts’ power to inquire into matters of state governmental organization. This is clear not only from the opinions in those cases, but also from White v. Berry, 171 U. S. 366, which, relying on Sawyer, withheld federal equity from staying removal of a federal officer. Wilson v. North Carolina, 169 U. S. 586, simply dismissed an appeal from an unsuccessful suit to upset a State’s removal procedure, on the ground that the constitutional claim presented — that a jury trial was necessary if the removal procedure was to comport with due process requirements — was frivolous. Finally, in Taylor and Marshall v. Beckham (No. 1), 178 U. S. 548, where losing candidates attacked the constitutionality of Kentucky’s resolution of a contested gubernatorial election, the Court refused to consider the merits of a claim posited upon

Page 369 U. S. 232

the Guaranty Clause, holding it presented a political question, but also held on the merits that the ousted candidates had suffered no deprivation of property without due process of law. [Footnote 58]

Since, as has been established, the equal protection claim tendered in this case does not require decision of any political question, and since the presence of a matter affecting state government does not render the case nonjusticiable, it seems appropriate to examine again the reasoning by which the District Court reached its conclusion that the case was nonjusticiable.

We have already noted that the District Court’s holding that the subject matter of this complaint was nonjusticiable relied upon Colegrove v. Green, supra, and later cases. Some of those concerned the choice of members of a state legislature, as in this case; others, like Colegrove itself and earlier precedents, Smiley v. Holm, 285 U. S. 355, Koenig v. Flynn, 285 U. S. 375, and Carroll v. Becker, 285 U. S. 380, concerned the choice of Representatives in the Federal Congress. Smiley, Koenig and Carroll settled the issue in favor of justiciability of questions of congressional redistricting. The Court followed these precedents in Colegrove, although over the dissent of three of the seven Justices who participated in that decision. On the issue of justiciability, all four Justices comprising a majority relied upon Smiley v. Holm, but, in two opinions, one for three Justices, 328 U.S. at 328 U. S. 566, 328 U. S. 568, and a separate one by Mr. Justice Rutledge, 328 U.S. at 328 U. S. 564. The argument that congressional redistricting problems presented a “political question” the resolution of which was confided to Congress might have been rested upon Art. I, § 4, Art. I, § 5, Art. I, § 2, and Amendment

Page 369 U. S. 233

XIV, § 2. Mr. Justice Rutledge said:

“But for the ruling in Smiley v. Holm, 285 U. S. 355, I should have supposed that the provisions of the Constitution, Art. I,§ 4, that ‘The Times, Places and Manner of holding Elections for . . . Representatives, shall be prescribed in each State by the Legislature thereof; but the Congress may at any time by Law make or alter such Regulations . . .’; Art. I, § 2 [but see Amendment XIV, § 2], vesting in Congress the duty of apportionment of representatives among the several states ‘according to their respective Numbers,’ and Art. I, § 5, making each House the sole judge of the qualifications of its own members, would remove the issues in this case from justiciable cognizance. But, in my judgment, the Smiley case rules squarely to the contrary, save only in the matter of degree. . . . Assuming that that decision is to stand, I think . . . that its effect is to rule that this Court has power to afford relief in a case of this type as against the objection that the issues are not justiciable.”

328 U.S. at 328 U. S. 564-565. Accordingly, Mr. Justice Rutledge joined in the conclusion that the case as justiciable, although he held that the dismissal of the complaint should be affirmed. His view was that

“The shortness of the time remaining [before forthcoming elections] makes it doubtful whether action could, or would, be taken in time to secure for petitioners the effective relief they seek. . . . I think, therefore, the case is one in which the Court may properly, and should, decline to exercise its jurisdiction. Accordingly, the judgment should be affirmed, and I join in that disposition of the cause.”

328 U.S. at 328 U. S. 565-566. [Footnote 59]

Page 369 U. S. 234

Article I, § § 2, 4, and 5, and Amendment XIV, § 2, relate only to congressional elections, and obviously do not govern apportionment of state legislatures. However, our decisions in favor of justiciability even in light of those provisions plainly afford no support for the District Court’s conclusion that the subject matter of this controversy presents a political question. Indeed, the refusal to award relief in Colegrove resulted only from the controlling view of a want of equity. Nor is anything contrary to be found in those per curiams that came after Colegrove. This Court dismissed the appeals in Cook v. Fortson and Turman v. Duckworth, 329 U. S. 675, as moot. MacDougall v. Green, 335 U. S. 281, held only that, in that case, equity would not act to void the State’s requirement that there be at least a minimum of support for nominees

Page 369 U. S. 235

for statewide office, over at least a minimal area of the State. Problems of timing were critical in Remmey v. Smith, 342 U.S. 916, dismissing for want bf a substantial federal question a three-judge court’s dismissal of the suit as prematurely brought, 102 F.Supp. 708, and in Hartsfield v. Sloan, 357 U.S. 916, denying mandamus sought to compel the convening of a three-judge court — movants urged the Court to advance consideration of their case,

“[i]nasmuch as the mere lapse of time before this case can be reached in the normal course of . . . business may defeat the cause, and inasmuch as the time problem is due to the inherent nature of the case. . . .”

South v. Peters, 339 U. S. 276, like Colegrove, appears to be a refusal to exercise equity’s powers; see the statement of the holding quoted, supra, p. 369 U. S. 203. And Cox v. Peters, 342 U.S. 936, dismissed for want of a substantial federal question the appeal from the state court’s holding that their primary elections implicated no “state action.” See 208 Ga. 498, 67 S.E.2d 579. But compare Terry v. Adams, 345 U. S. 461.

Tedesco v. Board of Supervisors, 339 U.S. 940, indicates solely that no substantial federal question was raised by a state court’s refusal to upset the districting of city council seats, especially as it was urged that there was a rational justification for the challenged districting. See 43 So.2d 514. Similarly, in Anderson v. Jordan, 343 U.S. 912, it was certain only that the state court had refused to issue a discretionary writ, original mandamus in the Supreme Court. That had been denied without opinion, and, of course, it was urged here that an adequate state ground barred this Court’s review. And in Kidd v. McCanless, 200 Tenn. 273, 292 S.W.2d 40, the Supreme Court of Tennessee held that it could not invalidate the very statute at issue in the case at bar, but its holding rested on its state law of remedies, i.e., the state view of

Page 369 U. S. 236

de facto officers, [Footnote 60] and not on any view that the norm for legislative apportionment in Tennessee is not numbers of qualified voters resident in the several counties. Of course, this Court was there precluded by the adequate state ground, and, in dismissing the appeal, 352 U.S. 920, we cited Anderson, supra, as well as Colegrove. Nor does the Tennessee court’s decision in that case bear upon this, for, just as in Smith v. Holm, 220 Minn. 486, 19 N.W.2d 914, and Magraw v. Donovan, 163 F.Supp. 184, 177 F.Supp. 803, a state court’s inability to grant relief does not bar a federal court’s assuming jurisdiction to inquire into alleged deprivation of federal constitutional rights. Problems of relief also controlled in Radford v. Gary, 352 U.S. 991, affirming the District Court’s refusal to mandamus the Governor to call a session of the legislature, to mandamus the legislature then to apportion, and if they did not comply, to mandamus the State Supreme Court to do so. And Matthews v. Handley, 361 U. S. 127, affirmed a refusal to strike down the State’s gross income tax statute — urged on the ground that the legislature was malapportioned — that had rested on the adequacy of available state legal remedies for suits involving that tax, including challenges to its constitutionality. Lastly, Colegrove v. Barrett, 330 U.S. 804, in which Mr. Justice Rutledge concurred in this Court’s refusal to note the appeal from a dismissal for want of equity, is sufficiently explained by his statement in Cook v. Fortson, supra:

“The discretionary exercise or nonexercise of equitable or declaratory judgment jurisdiction . . . in one case is not precedent in another case

Page 369 U. S. 237

where the facts differ.”

329 U.S. at 329 U. S. 678, n. 8. (Citations omitted.)

We conclude that the complaint’s allegations of a denial of equal protection present a justiciable constitutional cause of action upon which appellants are entitled to a trial and a decision. The right asserted is within the reach of judicial protection under the Fourteenth Amendment.

The judgment of the District Court is reversed, and the cause is remanded for further proceedings consistent with this opinion.

Reversed and remanded.

MR. JUSTICE WHITAKER did not participate in the decision of this case.

[Footnote 1]

Public Acts of Tennessee, c. 122 (1901), now Tenn.Code Ann. §§ 3-101 to 3-107. The full text of the 1901 Act as amended appears in an Appendix to this opinion, post, p. 369 U. S. 237

[Footnote 2]

The three-judge court was convened pursuant to the order of a single district judge, who, after he had reviewed certain decisions of this Court and found them distinguishable in features “that may ultimately prove to be significant,” held that the complaint was not so obviously without merit that he would be justified in refusing to convene a three-judge court. 175 F.Supp. 649, 652.

[Footnote 3]

We heard argument first at the 1960 Term and again at this Term, when the case was set over for reargument. 366 U.S. 907.

[Footnote 4]

A county having less than, but at least two-thirds of, the population required to choose a Representative is allocated one Representative. See also Tenn.Const., Art. II, § 6. A common and much more substantial departure from the “number of voters” or “total population” standard is the guaranty of at least one seat to each county. See, e.g., Kansas Const., Art. 2, § 2; N.J.Const., Art. 4, § 3, � 1.

While the Tennessee Constitution speaks of the number of “qualified voters,” the exhibits attached to the complaint use figures based on the number of persons 21 years of age and over. This basis seems to have been employed by the General Assembly in apportioning legislative seats from the outset. The 1870 statute providing for the first enumeration, Acts of 1870 (1st Sess.), c. 107, directed the courts of the several counties to select a Commissioner to enumerate

“all the male inhabitants of their respective counties, who are twenty-one years of age and upward, who shall be resident citizens of their counties on the first day of January, 1871. . . .”

Reports compiled in the several counties on this basis were submitted to the General Assembly by the Secretary of State and were used in the first apportionment. Appendix to Tenn.S.J., 1871, 41-43. Yet such figures would not reflect the numbers of persons qualified to exercise the franchise under the then-governing qualifications: (a) citizenship; (b) residence in the State 12 months, and in the county 6 months; (c) payment of poll taxes for the preceding year unless entitled to exemption. Acts of 1870 (2d Sess.), c. 10. (These qualifications continued at least until after 1901. See Shan.Tenn.Code Ann., §§ 1167, 1220 (1896; supp. 1904).) Still, when the General Assembly directed the Secretary of State to do all he could to obtain complete reports from the counties, the Resolution spoke broadly of “the impossibility of . . . [redistricting] without the census returns of the voting population from each county. . . .” Tenn.S.J., 1871, 46 47, 96. The figures also showed a correlation with Federal Census figures for 1870. The Census reported 259,016 male citizens 21 and upward in Tennessee. Ninth Census of the United States, 1870, Statistics of the Population 635 (1872). The Tennessee Secretary of State’s Report, with 15 counties not reported, gave a figure of 237,431. Using the numbers of actual votes in the last gubernatorial election for those 15 counties, the Secretary arrived at a total of 250,025. Appendix to Tenn.S.J., 1871, 41-43. This and subsequent history indicate continued reference to Census figures, and finally, in 1901, abandonment of a state enumeration in favor of the use of Census figures. See notes 7 8 9 infra. See also Williams, Legislative Apportionment in Tennessee, 20 Tenn.L.Rev. 235, 236, n. 6. It would therefore appear that, unless there is a contrary showing at the trial, appellants’ current figures, taken from the United States Census Reports, are apposite.

[Footnote 5]

Acts of 1871 (1st Sess.), c. 146.

[Footnote 6]

Act of 1870 (1st Sess.), c. 107.

[Footnote 7]

The statute authorizing the enumeration was Acts of 1881 (1st Sess.), c. 124. The enumeration commissioners in the counties were allowed

“access to the U.S. Census Reports of the enumeration of 1880, on file in the offices of the County Court Clerks of the State, and a reference to said reports by said commissioners shall be legitimate as an auxiliary in the enumeration required. . .”

Ibid., § 4.

The United States Census reported 330,305 male citizens 21 and upward in Tennessee. The Tenth Census of the United States, 1880, Compendium 596 (1883). The Tennessee Secretary of State’s Report gave a figure of 343,817, Tenn.H.J. (1st Extra.Sess.), 1881, 12-14 (1882).

The General Assembly was enlarged in accordance with the constitutional mandate, since the State’s population had passed 1,500,000. Acts of 1881 (1st Extra.Sess.), c. 5, and see, id., S.J.Res. No. III; see also Tenth Census of the United States, 1880, Statistics of the Population 77 (1881). The statute apportioning the General Assembly was Acts of 1881 (1st Extra.Sess.), c. 6.

[Footnote 8]

Acts of 1891, c. 22; Acts of 1891 (Extra.Sess.), c. 10. Reference to United States Census figures was allowed just as in 1881, see supra, n 7. The United States Census reported 402,476 males 21 and over in Tennessee. The Eleventh Census of the United States, 1890, Population (Part I) 781 (1895). The Tennessee Secretary of State’s Report gave a figure of 399,575. 1 Tenn.S.J., 1891, 473 474.

[Footnote 9]

Acts of 1901, S.J.Res. No. 35; Acts of 1901, c. 122. The Joint Resolution said:

“The Federal census of 1900 has been very recently taken, and, by reference to said Federal census, an accurate enumeration of the qualified voters of the respective counties of the State of Tennessee can be ascertained, and thereby save the expense of an actual enumeration. . . .”

[Footnote 10]

For the history of legislative apportionment in Tennessee, including attempts made since 1901, see Tenn.S.J., 1959, 909-930; and “A Documented Survey of Legislative Apportionment in Tennessee, 1870-1957,” which is attached as exhibit 2 to the intervening complaint of Mayor West of Nashville, both prepared by the Tennessee State Historian, Dr. Robert H. White. Examples of preliminary steps are: in 1911, the Senate called upon the Redistricting Committee to make an enumeration of qualified voters and to use the Federal Census of 1910 as the basis. Acts of 1911, S.J.Res. No. 60, p. 315. Similarly, in 1961, the Senate called for appointment of a select committee to make an enumeration of qualified voters. Acts of 1961, S.J.Res. No. 47. In 1955, the Senate called for a study of reapportionment. Tenn.S.J., 1955, 224; but see id. at 1403. Similarly, in 1961, the House directed the State Legislative Council to study methods of reapportionment. Acts of 1961, H.J.Res. No. 65.

[Footnote 11]

Twelfth Census of the United States, 1900, Population (Part 1) 39 (1901); (Part 2) 202 (1902).

[Footnote 12]

United States Census of Population:1960, General Population Characteristics — Tennessee, Table 16 (1961).

[Footnote 13]

In the words of one of the intervening complaints, the apportionment was “wholly arbitrary, . . . and, indeed, based upon no lawfully pertinent factor whatever.”

[Footnote 14]

The appellants claim that no General Assembly constituted according to the 1901 Act will submit reapportionment proposals either to the people or to a Constitutional Convention. There is no provision for popular initiative in Tennessee. Amendments proposed in the Senate or House must first be approved by a majority of all members of each House and again by two-thirds of the members in the General Assembly next chosen. The proposals are then submitted to the people at the next general election in which a Governor is to be chosen. Alternatively, the legislature may submit to the people at any general election the question of calling a convention to consider specified proposals. Such as are adopted at a convention do not, however, become effective unless approved by a majority of the qualified voters voting separately on each proposed change or amendment at an election fixed by the convention. Conventions shall not be held oftener than once in six years. Tenn.Const., Art. XI, § 3. Acts of 1951, C. 130, § 3, and Acts of 1957, G. 340, § 3, provided that delegates to the 1953 and 1959 conventions were to be chosen from the counties and floterial districts just as are members of the State House of Representatives. The General Assembly’s call for a 1953 Constitutional Convention originally contained a provision “relating to the appointment [sic] of representatives and senators,” but this was excised. Tenn.H.J., 1951, 784. A Resolution introduced at the 1959 Constitutional Convention and reported unfavorably by the Rules Committee of the Convention was as follows:

“By Mr. Chambliss (of Hamilton County), Resolution No. 12 — Relative to Convention considering reapportionment, which is as follows: “

“WHEREAS, there is a rumor that this Limited Convention has been called for the purpose of postponing for six years a Convention that would make a decision as to reapportionment; and WHEREAS there is pending in the United States Courts in Tennessee a suit under which parties are seeking, through decree, to compel reapportionment; and”

“WHEREAS it is said that this Limited Convention, which was called for limited consideration, is yet a Constitutional Convention within the language of the Constitution as to Constitutional Conventions, forbidding frequent Conventions in the last sentence of Article Eleven, Section 3, second paragraph, more often than each six years, to-wit: “

“‘No such Convention shall be held oftener than once in six years.’”

“NOW, THEREFORE, BE IT RESOLVED, That it is the consensus of opinion of the members of this Convention that, since this is a Limited Convention, as hereinbefore set forth, another Convention could be had if it did not deal with the matters submitted to this Limited Convention.”

“BE IT FURTHER RESOLVED That it is the consensus of opinion of this Convention that a Convention should be called by the General Assembly for the purpose of considering reapportionment in order that a possibility of Court enforcement being forced on the Sovereign State of Tennessee by the Courts of the National Government may be avoided.”

“BE IT FURTHER RESOLVED That this Convention be adjourned for two years to meet again at the same time set forth in the statute providing for this Convention, and that it is the consensus of opinion of this body that it is within the power of the next General Assembly of Tennessee to broaden the powers of this Convention and to authorize and empower this Convention to consider a proper amendment to the Constitution that will provide, when submitted to the electorate, a method of reapportionment.”

Tenn.Constitutional Convention of 1959, The Journal and Debates, 35, 278.

[Footnote 15]

It is clear that appellants’ federal constitutional claims rest exclusively on alleged violation of the Fourteenth Amendment. Their primary claim is that the 1901 statute violates the Equal Protection Clause of that amendment. There are allegations invoking the Due Process Clause, but, from the argument and the exhibits, it appears that the Due Process Clause argument is directed at certain tax statutes. Insofar as the claim involves the validity of those statutes under the Due Process Clause, we find it unnecessary to decide its merits. And if the allegations regarding the tax statutes are designed as the framework for proofs as to the effects of the allegedly discriminatory apportionment, we need not rely upon them to support our holding that the complaint states a federal constitutional claim of violation of the Equal Protection Clause. Whether, when the issue to be decided is one of the constitutional adequacy of this particular apportionment, taxation arguments and exhibits as now presented add anything, or whether they could add anything however presented, is for the District Court in the first instance to decide.

The complaint, in addition to the claims under the Federal Constitution, also alleges rights, and the General Assembly’s duties, under the Tennessee Constitution. Since we hold that appellants have — if it develops at trial that the facts support the allegations — a cognizable federal constitutional cause of action resting in no degree on rights guaranteed or putatively guaranteed by the Tennessee Constitution, we do not consider, let alone enforce, rights under a State Constitution which go further than the protections of the Fourteenth Amendment. Lastly, we need not assess the legal significance, in reaching our conclusion, of the statements of the complaint that the apportionment effected today under the 1901 Act is “contrary to the philosophy of government in the United States and all Anglo-Saxon jurisprudence. . . .”

[Footnote 16]

We need not reach the question of indispensable parties, because the District Court has not yet decided it.

[Footnote 17]

The accuracy of calling even such dismissals “jurisdictional” was questioned in Bell v. Hood. See 327 U.S. at 327 U. S. 683.

[Footnote 18]

42 U.S.C. § 1983 provides:

“Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress.”

[Footnote 19]

This Court has frequently sustained District Court jurisdiction under 28 U.S.C. § 1343(3) or its predecessors to entertain suits to redress deprivations of rights secured against state infringement by the Equal Protection and Due Process Clauses of the Fourteenth Amendment. Douglas v. Jeannette, 319 U. S. 157; Stefanelli v. Minard, 342 U. S. 117; cf. Nixon v. Herndon, 273 U. S. 536; Nixon v. Condon, 286 U. S. 73; Snowden v. Hughes, 321 U. S. 1; Smith v. Allwright, 321 U. S. 649; Monroe v. Pape, 365 U. S. 167; Egan v. Aurora, 365 U. S. 514.

[Footnote 20]

Since that case was not brought to the Court until after the election had been held, the Court cited not only Wood v. Broom, but also directed dismissal for mootness, citing Brownlow v. Schwartz, 261 U. S. 216.

[Footnote 21]

Compare Boeing Aircraft Co. v. King County, 330 U.S. 803 (“the appeal is dismissed for want of jurisdiction”). See Coleman v. Miller, 307 U. S. 433, 307 U. S. 440.

[Footnote 22]

Matthews did affirm a judgment that may be read as a dismissal for want of jurisdiction, 179 F.Supp. 470. However, the motion to affirm also rested on the ground of failure to state a claim upon which relief could be granted. Cf. text following, on MacDougall v. Green. And see text infra, p. 369 U. S. 236.

[Footnote 23]

The Mayor of Nashville suing “on behalf of himself and all residents of the City of Nashville, Davidson County, . . .” and the Cities of Chattanooga (Hamilton County) and Knoxville (Knox County), each suing on behalf of its residents, were permitted to intervene as parties plaintiff. Since they press the same claims as do the initial plaintiffs, we find it unnecessary to decide whether the intervenors would have standing to maintain this action in their asserted representative capacities.

[Footnote 24]

The complaint also contains an averment that the appellants sue “on their own behalf and on behalf of all other voters in the State of Tennessee.” (Emphasis added.) This may be read to assert a claim that voters in counties allegedly over-represented in the General Assembly also have standing to complain. But it is not necessary to decide that question in this case.

[Footnote 25]

The duties of the respective appellees are alleged to be as follows:

“Defendant, Joe C. Carr, is the duly elected, qualified and acting Secretary of State of the State of Tennessee, with his office in Nashville in said State, and, as such, he is charged with the duty of furnishing blanks, envelopes and information slips to the County Election Commissioners, certifying the results of elections and maintaining the records thereof, and he is further ex officio charged, together with the Governor and the Attorney General, with the duty of examining the election returns received from the County Election Commissioners and declaring the election results, by the applicable provisions of the Tennessee Code Annotated, and by Chapter 164 of the Acts of 1949, inter alia.”

“Defendant, George F. McCanless, is the duly appointed and acting Attorney General of the State of Tennessee, with his office in Nashville in said State, and is charged with the duty of advising the officers of the State upon the law, and is made by Section 23-1107 of the Tennessee Code Annotated a necessary party defendant in any declaratory judgment action where the constitutionality of statutes of the State of Tennessee is attacked, and he is ex officio charged, together with the Governor and the Secretary of State, with the duty of declaring the election results, under Section 2-140 of the Tennessee Code Annotated.”

“Defendant, Jerry McDonald, is the duly appointed Coordinator of Elections in the State of Tennessee, with his office in Nashville, Tennessee, and, as such official, is charged with the duties set forth in the public law enacted by the 1959 General Assembly of Tennessee creating said office.”

“Defendants, Dr. Sam Coward, James Alexander, and Hubert Brooks are the duly appointed and qualified members constituting the State Board of Elections, and as such they are charged with the duty of appointing the Election Commissioners for all the counties of the State of Tennessee, the organization and supervision of the biennial elections as provided by the Statutes of Tennessee, Chapter 9 of Title 2 of the Tennessee Code Annotated, Sections 2-901, et seq.

“That this action is brought against the aforenamed defendants in their representative capacities, and that said Election Commissioners are sued also as representatives of all of the County Election Commissioners in the State of Tennessee, such persons being so numerous as to make it impracticable to bring them all before the court; that there is a common question of law involved, namely, the constitutionality of Tennessee laws set forth in the Tennessee Code Annotated, Section 3-101 through Section 3-109, inclusive; that common relief is sought against all members of said Election Commissions in their official capacities, it being the duties of the aforesaid County Election Commissioners, within their respective jurisdictions, to appoint the judges of elections, to maintain the registry of qualified voters of said County, certify the results of elections held in said County to the defendants State Board of Elections and Secretary of State, and of preparing ballots and taking other steps to prepare for and hold elections in said Counties by virtue of Sections 2-1201 et seq. of Tennessee Code Annotated, and Section 2-301 et seq. of Tennessee Code Annotated, and Chapter 164 of the Acts of 1949, inter alia.”

The question whether the named defendants are sufficient parties remains open for consideration on remand.

[Footnote 26]

Smiley v. Holm, supra, at 285 U. S. 361 (“citizen, elector and taxpayer’ of the State”); Koenig v. Flynn, supra, at 285 U. S. 379 (“`citizens and voters’ of the State”); Wood v. Broom, supra, at 4 (“citizen of Mississippi, a qualified elector under its laws, and also qualified to be a candidate for election as representative in Congress”); cf. Carroll v. Becker, supra, (candidate for office).

[Footnote 27]

Mr. Justice Rutledge was of the view that any question of standing was settled in Smiley v. Holm, supra; MR. JUSTICE BLACK stated “that appellants had standing to sue, since the facts alleged show that they have been injured as individuals.” He relied on Coleman v Miller, 307 U. S. 433, 307 U. S. 438, 307 U. S. 467. @See 328 U. S. 328 U.S. 564, 328 U. S. 568.

Commentators have suggested that the following statement in MR. JUSTICE FRANKFURTER s opinion might imply a view that appellants there had no standing:

“This is not an action to recover for damage because of the discriminatory exclusion of a plaintiff from rights enjoyed by other citizens. The basis for the suit is not a private wrong, but a wrong suffered by Illinois as a polity.”

328 U.S. at 328 U. S. 552. See Jaffe, Standing to Secure Judicial Review: Public Actions, 74 Harv.L.Rev. 1265, 1298 (1961); Lewis, Legislative Apportionment and the Federal Courts, 71 Harv.L.Rev. 1057, 1081-1083 (1958). But since the opinion goes on to consider the merits, it seems that this statement was not intended to intimate any view that the plaintiffs in that action lacked standing. Nor do the cases cited immediately after the above quotation deal with standing. See especially Lane v. Wilson, 307 U. S. 268, 307 U. S. 272-273.

[Footnote 28]

MacDougall v. Green, supra, at 335 U. S. 282 (“the Progressive Party,’ its nominees for United States Senator, Presidential Electors, and State offices, and several Illinois voters”); South v. Peters, supra, at 339 U. S. 277 (“residents of the most populous county in the State”); Radford v. Gary, 145 F.Supp. 541, 542 (“citizen of Oklahoma and resident and voter in the most populous county”); Matthews v. Handley, supra, (“citizen of the State”); see also Hawke v. Smith (No. 1), 253 U. S. 221; Leser v. Garnett, 258 U. S. 130; Coleman v. Miller, 307 U. S. 433, 307 U. S. 437-446.

[Footnote 29]

Cook v. Fortson, 329 U. S. 675; Turman v. Duckworth, ibid.; Colegrove v. Barrett, 330 U.S. 804; MacDougall v. Green, 335 U. S. 281; South v. Peters, 339 U. S. 276; Remmey v. Smith, 342 U.S. 916; Anderson v. Jordan, 343 U.S. 912; Kidd v. McCanless, 352 U.S. 920; Radford v. Cary, 352 U.S. 991.

[Footnote 30]

“The United States shall guarantee to every State in this Union a Republican Form of Government, and shall protect each of them against Invasion, and on Application of the Legislature, or of the Executive (when the Legislature cannot be convened) against domestic Violence.”

U.S.Const., Art. IV, 4.

[Footnote 31]

E.g.,

“The conduct of the foreign relations of our Government is committed by the Constitution to the Executive and Legislative — ‘the political’ — Departments of the Government, and the propriety of what may be done in the exercise of this political power is not subject to judicial inquiry or decision.”

Oetjen v. Central Leather Co., 246 U. S. 297, 246 U. S. 302.

[Footnote 32]

See Doe v. Braden, 16 How. 635, 57 U. S. 657; Taylor v. Morton, 23 Fed.Cas., No. 13,799 (C.C.D.Mass.) (Mr. Justice Curtis), affirmed, 2 Black 481.

[Footnote 33]

See Doe v. Braden, 16 How. 635, 57 U. S. 657.

[Footnote 34]

And see Clark v. Allen, 331 U. S. 503.

[Footnote 35]

United States v. Klintock, 5 Wheat. 144, 18 U. S. 149, See also United States v. Palmer, 3 Wheat. 610, 16 U. S. 634-635.

[Footnote 36]

Foster & Elam v. Neilson, 2 Pet. 253, 27 U. S. 307, and see 38 U. S. Suffolk Insurance Co., 13 Pet. 415, 38 U. S. 420.

[Footnote 37]

Vermilya-Brown Co. v. Connell, 335 U. S. 377, 335 U. S. 380; De Lima v. Bidwell, 182 U. S. 1, 182 U. S. 180-200.

[Footnote 38]

See, e.g., Home Building & Loan Assn. v. Blaisdell, 290 U. S. 398, 290 U. S. 426.

[Footnote 39]

Contrast Martin v. Mott, supra.

[Footnote 40]

But cf. Dakota Central Tel. Co. v. South Dakota, 250 U. S. 163, 250 U. S. 184, 250 U. S. 187.

[Footnote 41]

Cf. Dillon v. Gloss, 256 U. S. 368. See also United States v. Sprague, 282 U. S. 716, 282 U. S. 732.

[Footnote 42]

See also Fellows v. Blacksmith, 19 How. 366, 60 U. S. 372; United States v. Old Settlers, 148 U. S. 427, 148 U. S. 466, and compare 57 U. S. Braden, 16 How. 635, 57 U. S. 657.

[Footnote 43]

This case, so frequently cited for the broad proposition that the status of an Indian tribe is a matter for the political departments, is, in fact, a noteworthy example of the limited and precise impact of a political question. The Cherokees brought an original suit in this Court to enjoin Georgia’s assertion of jurisdiction over Cherokee territory and abolition of Cherokee government and laws. Unquestionably the case lay at the vortex of most fiery political embroilment. See 1 Warren, The Supreme Court in United States History (Rev. ed.), 729-779. But in spite of some broader language in separate opinions, all that the Court held was that it possessed no original jurisdiction over the suit, for the Cherokees could in no view be considered either a State of this Union or a “foreign state.” Chief Justice Marshall treated the question as one of de novo interpretation of words in the Constitution. The Chief Justice did say that “The acts of our government plainly recognize the Cherokee nation as a state, and the courts are bound by those acts,” but here he referred to their existence “as a state, as a distinct political society, separated from others. . . .” From there he went to “A question of much more difficulty. . . . Do the Cherokees constitute a foreign state in the sense of the constitution?” Id. at 30 U. S. 16. Thus, while the Court referred to “the political” for the decision whether the tribe was an entity, a separate polity, it held that whether being an entity the tribe had such status as to be entitled to sue originally was a judicially soluble issue: criteria were discoverable in relevant phrases of the Constitution and in the common understanding of the times. As to this issue, the Court was not hampered by problems of the management of unusual evidence or of possible interference with a congressional program. Moreover, Chief Justice Marshall’s dictum that “It savours too much of the exercise of political power to be within the proper province of the judicial department,” id. at 30 U. S. 20, was not addressed to the issue of the Cherokees’ status to sue, but rather to the breadth of the claim asserted and the impropriety of the relief sought. Compare 73 U. S. Stanton, 6 Wall. 50, 73 U. S. 77. The Chief Justice made clear that, if the issue of the Cherokees’ rights arose in a customary legal context, “a proper case with proper parties,” it would be justiciable. Thus, when the same dispute produced a case properly brought, in which the right asserted was one of protection under federal treaties and laws from conflicting state law, and the relief sought was the voiding of a conviction under that state law, the Court did void the conviction. Worcester v. Georgia, 6 Pet. 515. There, the fact that the tribe was a separate polity served as a datum contributing to the result, and despite the consequences in a heated federal-state controversy and the opposition of the other branches of the National Government, the judicial power acted to reverse the State Supreme Court. An example of similar isolation of a political question in the decision of a case is Luther v. Borden, 7 How. 1, see infra.

[Footnote 44]

7 How. at 29. And see 11 The Writings and Speeches of Daniel Webster 217 (1903).

[Footnote 45]

See Mowry, The Dorr War (1901), and its exhaustive bibliography. And for an account of circumstances surrounding the decision here, see 2 Warren, The Supreme Court in United States History (Rev. ed.), 185-195.

Dorr himself, head of one of the two groups and held in a Rhode Island jail under a conviction for treason, had earlier sought a decision from the Supreme Court that his was the lawful government. His application for original habeas corpus in the Supreme Court was denied because the federal courts then lacked authority to issue habeas for a prisoner held under a state court sentence. Ex parte Dorr, 3 How. 103.

[Footnote 46]

7 How. at 48 U. S. 39.

[Footnote 47]

Id. at 48 U. S. 39, 48 U. S. 40.

[Footnote 48]

Even though the Court wrote of unrestrained legislative and executive authority under this Guaranty, thus making its enforcement a political question, the Court plainly implied that the political question barrier was no absolute:

“Unquestionably a military government, established as the permanent government of the State, would not be a republican government, and it would be the duty of Congress to overthrow it.”

7 How. at 48 U. S. 45. Of course, it does not necessarily follow that, if Congress did not act, the Court would. For while the judiciary might be able to decide the limits of the meaning of “republican form,” and thus the factor of lack of criteria might fall away, there would remain other possible barriers to decision because of primary commitment to another branch, which would have to be considered in the particular fact setting presented.

That was not the only occasion on which this Court indicated that lack of criteria does not obliterate the Guaranty’s extreme limits:

“The guaranty is of a republican form of government. No particular government is designated as republican, neither is the exact form to be guaranteed in any manner especially designated. Here, as in other parts of the instrument, we are compelled to resort elsewhere to ascertain what was intended.”

“The guaranty necessarily implies a duty on the part of the States themselves to provide such a government. All the States had governments when the Constitution was adopted. In all, the people participated to some extent, through their representatives elected in the manner specially provided. These governments the Constitution did not change. They were accepted precisely as they were, and it is, therefore, to be presumed that they were such as it was the duty of the States to provide. Thus, we have unmistakable evidence of what was republican in form within the meaning of that term as employed in the Constitution.”

Minor v. Happersett, 21 Wall. 162, 88 U. S. 175-176. There, the question was whether a government republican in form could deny the vote to women.

In re Duncan, 139 U. S. 449, upheld a murder conviction against a claim that the relevant codes had been invalidly enacted. The Court there said:

“By the Constitution, a republican form of government is guaranteed to every State in the Union, and the distinguishing feature of that form is the right of the people to choose their own officers for governmental administration, and pass their own laws in virtue of the legislative power reposed in representative bodies, whose legitimate acts may be said to be those of the people themselves; but, while the people are thus the source of political power, their governments, National and State, have been limited by written constitutions, and they have themselves thereby set bounds to their own power, as against the sudden impulses of mere majorities.”

139 U.S. at 139 U. S. 461. But the Court did not find any of these fundamental principles violated.

[Footnote 49]

But cf. Hawke v. Smith (No. 1), 253 U. S. 221; National Prohibition Cases, 253 U. S. 350.

[Footnote 50]

6 Wall. at 65-66 [argument of counsel -- omitted].

[Footnote 51]

The First Reconstruction Act opened:

“Whereas no legal State governments . . . now exists [sic] in the rebel States of . . . Georgia [and] Mississippi . . . , and whereas it is necessary that peace and good order should be enforced in said States until loyal and republican State governments can be legally established . . .”

14 Stat. 428. And see 15 Stat. 2, 14.

[Footnote 52]

In Mississippi v. Johnson, 4 Wall. 475, the State sought to enjoin the President from executing the Acts, alleging that his role was purely ministerial. The Court held that the duties were in no sense ministerial, and that, although the State sought to compel inaction, rather than action, the absolute lack of precedent for any such distinction left the case one in which “general principles . . . forbid judicial interference with the exercise of Executive discretion.” 4 Wall. at 71 U. S. 499. See also Mississippi v. Stanton, 154 U.S. 554, and see 2 Warren, The Supreme Court in United States History (Rev. ed.), 463.

For another instance of congressional action challenged as transgressing the Guaranty Clause, See The Collector v. Day, 11 Wall. 113, 78 U. S. 125-126, overruled, Graves v. O’Keefe, 306 U. S. 466.

[Footnote 53]

On the other hand, the implication of the Guaranty Clause in a case concerning congressional action does not always preclude judicial action. It has been held that the clause gives Congress no power to impose restrictions upon a State’s admission which would undercut the constitutional mandate that the States be on an equal footing. Coyle v. Smith, 221 U. S. 559. And in Texas v. White, 7 Wall. 700, although Congress had determined that the State’s government was not republican in form, the State’s standing to bring an original action in this Court was sustained.

[Footnote 54]

See infra, p. 369 U. S. 235, considering Kidd v. McCanless, 352 U.S. 920.

[Footnote 55]

Boyd v. Nebraska ex rel. Thayer, 143 U. S. 135, 143 U. S. 183 (Field, J., dissenting).

[Footnote 56]

Gomillion v. Lightfoot, 270 F.2d 594, relying upon, inter alia, Hunter v. Pittsburgh, 207 U. S. 161.

[Footnote 57]

The Court’s opinion was joined by MR. JUSTICE DOUGLAS, noting his adherence to the dissents in Colegrove and South v. Peters, supra, and the judgment was concurred in by MR. JUSTICE WHITTAKER, who wrote that the decision should rest on the Equal Protection Clause, rather than on the Fifteenth Amendment, since there had been not solely a denial of the vote (if there had been that, at all), but also a “fencing out” of a racial group.

[Footnote 58]

No holding to the contrary is to be found in Cave v. Newell, 246 U.S. 650, dismissing a writ of error to the Supreme Court of Missouri 272 Mo. 653, 199 S.W. 1014; or in Snowden v. Hughes, 321 U. S. 1.

[Footnote 59]

The ground of Mr. Justice Rutledge’s vote to affirm is further explained in his footnote 3, 328 U.S. at 328 U. S. 566:

“”The power of a court of equity to act is a discretionary one. . . . Where a federal court of equity is asked to interfere with the enforcement of state laws, it should do so only to prevent irreparable injury which is clear and imminent.’” American Federation of Labor v. Watson, 327 U. S. 582, 327 U. S. 593 and cases cited.”

No constitutional questions, including the question whether voters have a judicially enforceable constitutional right to vote at elections of congressmen from districts of equal population, were decided in Colegrove. Six of the participating Justices reached the questions, but divided three to three on their merits. Mr. Justice Rutledge believed that it was not necessary to decide them. He said:

“There is [an alternative to constitutional decision] in this case. And I think the gravity of the constitutional questions raised so great, together with the possibilities for collision [with the political departments of the Government], that the admonition [against avoidable constitutional decision] is appropriate to be followed here. Other reasons support this view, including the fact that, in my opinion, the basic ruling and less important ones in Smiley v. Holm, supra, would otherwise be brought into question.”

328 U.S. at 328 U. S. 564-565. He also joined with his brethren who shared his view that the issues were justiciable in considering that Wood v. Broom, 287 U. S. 1, decided no constitutional questions, but

“the Court disposed of the cause on the ground that the 1929 Reapportionment Act, 46 Stat. 21, did not carry forward the requirements of the 1911 Act, 37 Stat. 13, and declined to decide whether there was equity in the bill.”

328 U.S. at 328 U. S. 565; see also id. at 328 U. S. 573. We agree with this view of Wood v. Broom.

[Footnote 60]

See also Buford v. State Board of Elections, 206 Tenn. 480, 334 S.W.2d 726; State ex rel. Sanborn v. Davidson County Board of Election Comm’rs, No. 36,391 Tenn.Sup.Ct., Oct. 9, 1954 (unreported); 8 Vand.L.Rev. 501 (1955).

|369 U.S. 186app|

APPENDIX TO OPINION OF THE COURT

The Tennessee Code Annotated provides for representation in the General Assembly as follows:

“3-101. Composition — Counties electing one representative each. — The general assembly of the state of Tennessee shall be composed of thirty-three (33) senators and ninety-nine (99) representatives, to be apportioned among the qualified voters of the state as follows: Until the next enumeration and apportionment of voters each of the following counties shall elect one (1) representative, to wit: Bedford, Blount, Cannon, Carroll, Chester, Cocke Claiborne, Coffee, Crockett, DeKalb, Dickson, Dyer, Fayette, Franklin, Giles, Greene, Hardeman, Hardin, Henry, Hickman, Hawkins, Haywood, Jackson, Lake, Lauderdale, Lawrence, Lincoln, Marion, Marshall, Maury, Monroe, Montgomery, Moore, McMinn, McNairy, Obion, Overton, Putnam, Roane, Robertson, Rutherford, Sevier, Smith, Stewart, Sullivan, Sumner, Tipton Warren, Washington, White, Weakley, Williamson

Page 369 U. S. 238

and Wilson. [Acts 1881 (E.S.), ch. 5, § 1; 1881 (E.S.), ch. 6, § 1; 1901, ch. 122, § 2; 1907, ch. 178, §§ 1, 2; 1915, ch. 145; Shan., § 123; Acts 1919, ch. 147, § 1, 2; 1925 Private, ch. 472, § 1; Code 1932, § 140; Acts 1935, ch. 150, § 1; 1941, ch. 58, § 1; 1945, ch. 68, § 1; C. Supp. 1950, § 140.]“

“3-102. Counties electing two representatives each. — The following counties shall elect two (2) representatives each, to-wit: Gibson and Madison. [Acts 1901, ch. 122, § 3; Shan., § 124; mod.Code 1932, § 141.]“

“3-103. Counties electing three representatives each. — The following counties shall elect three (3) representatives each, to-wit: Knox and Hamilton. [Acts 1901, ch. 122, § 4; Shan., § 125; Code 1932, § 142.]“

“3-104. Davidson County. — Davidson county shall elect six (6) representatives. [Acts 1901, ch. 122, § 5; Shan., § 126; Code 1932, § 143.]“

“3-105. Shelby county. — Shelby county shall elect eight (8) representatives. Said county shall consist of eight (8) representative districts, numbered one (1) through eight (8), each district coextensive with the county, with one (1) representative to be elected from each district. [Acts 1901, ch. 122, § 6; Shan., § 126a1; Code 1932, § 144; Acts 1957, ch. 220, § 1; 1959, ch. 213, § 1.]“

“3-106. Joint representatives. — The following counties jointly, shall elect one representative, as follows, to-wit: “

“First district — Johnson and Carter.”

“Second district — Sullivan and Hawkins.”

“Third district — Washington, Greene and Unicoi.”

“Fourth district — Jefferson and Hamblen.”

“Fifth district — Hancock and Grainer.”

“Sixth district — Scott, Campbell, and Union.”

“Seventh district — Anderson and Morgan.”

“Eighth district — Knox and Loudon. “

Page 369 U. S. 239

“Ninth district — Polk and Bradley.”

“Tenth district — Meigs and Rhea.”

“Eleventh district Cumberland, Bledsoe, Saquatchie, Van Buren and Grundy.”

“Twelfth district — Fentress, Pickett, Overton, Clay and Putnam.”

“Fourteenth district — Sumner, Trousdale and Macon.”

“Fifteenth district — Davidson and Wilson.”

“Seventeenth district — Giles, Lewis, Maury and Wayne.”

“Eighteenth district — Williamson, Cheatham and Robertson.”

“Nineteenth district — Montgomery and Houston.”

“Twentieth district — Humphreys and Perry.”

“Twenty-first district — Benton and Decatur.”

“Twenty-second district — Henry, Weakley and Carroll.”

“Twenty-third district — Madison and Henderson.”

“Twenty-sixth district — Tipton and Lauderdale. [Acts 1901, ch. 122, § 7; 1907, ch. 178, §§ 1, 2; 1915, ch. 145, §§ 1, 2; Shan., § 127; Acts 1919, ch. 147, § 1; 1925 Private, ch. 472, § 2; Code 1932, § 145; Acts 1933, ch. 167, 1; 1935, ch. 150, § 2; 1941, ch. 58, § 2; 1945, ch. 68, § 2; C. Supp. 1950, § 145; Acts 1957, ch. 220, § 2.]“

“3-107. State senatorial districts. — Until the next enumeration and apportionment of voters, the following counties shall comprise the senatorial districts, to-wit: “

“First district — Johnson, Carter, Unicoi, Greene, and Washington.”

“Second district — Sullivan and Hawkins.”

“Third district — Hancock, Morgan, Grainer, Claiborne, Union, Campbell, and Scott.”

“Fourth district — Cocke, Hamblen, Jefferson, Sevier, and Blount.”

“Fifth district — Knox.”

“Sixth district — Knox, Loudon, Anderson, and Roane

Page 369 U. S. 240

“Seventh district — McMinn, Bradley, Monroe, and Polk.”

“Eighth district — Hamilton.”

“Ninth district — Rhea, Meigs, Bledsoe, Sequatchie, Van Buren, White, and Cumberland.”

“Tenth district — Fentress, Pickett, Clay, Overton, Putnam, and Jackson.”

“Eleventh district — Marion, Franklin, Grundy and Warren.”

“Twelfth district — Rutherford, Cannon, and DeKalb.”

“Thirteenth district — Wilson and Smith.”

“Fourteenth district — Sumner, Trousdale and Macon.”

“Fifteenth district — Montgomery and Robertson.”

“Sixteenth district — Davidson.”

“Seventeenth district — Davidson.”

“Eighteenth district — Bedford, Coffee and Moore.”

“Nineteenth district — Lincoln and Marshall.”

“Twentieth district — Maury, Perry and Lewis.”

“Twenty-first district — Hickman, Williamson and Cheatham.”

“Twenty-second district — Giles, Lawrence and Wayne.”

“Twenty-third district — Dickson, Humphreys, Houston and Stewart.”

“Twenty-fourth district — Henry and Carroll.”

“Twenty-fifth district — Madison, Henderson and Chester.”

“Twenty-sixth district — Hardeman, McNairy, Hardin, Decatur and Benton.”

“Twenty-seventh district — Gibson.”

“Twenty-eighth district — Lake, Obion and Weakley.”

“Twenty-ninth district — Dyer, Lauderdale and Crockett.”

“Thirtieth district — Tipton and Shelby.”

“Thirty-first district — Haywood and Fayette.”

“Thirty-second district — Shelby

Page 369 U. S. 241

“Thirty-third district — Shelby. [Acts 1901, ch. 122, § 1; 1907, ch. 3, § 1; Shan., § 128; Code 1932, § 146; Acts 1945, ch. 11, § 1; C. Supp. 1950, § 146.]“

Today’s apportionment statute is as enacted in 1901, with minor changes. For example:

(1) In 1957, Shelby County was raised from 7 1/2 to 8 representatives. Acts of 1957, C. 220. See also Acts of 1959, c. 213. The 1957 Act, § 2, abolished the Twenty-seventh Joint Representative District, which had included Shelby and Fayette Counties.

(2) In 1907, Marion County was given a whole House seat instead of sharing a joint seat with Franklin County. Acts of 1907, c. 178. Acts of 1915, c. 145, repealed that change, restoring the status quo ante. And that reversal was itself reversed, Acts of 1919, c. 147.

(3) James County was in 1901 one of five counties in the Seventh State Senate District and one of the three in the Ninth House District. It appears that James County no longer exists, but we are not advised when or how it was dissolved.

(4) In 1945, Anderson and Roane Counties were shifted to the Sixth State Senate District from the Seventh, and Monroe and Polk Counties were shifted to the Seventh from the Sixth. Acts of 1945, c. 11.

MR. JUSTICE DOUGLAS, concurring.

While I join the opinion of the Court and, like the Court, do not reach the merits, a word of explanation is necessary. [Footnote 2/1] I put to one side the problems of “political”

Page 369 U. S. 242

questions involving the distribution of power between this Court, the Congress, and the Chief Executive. We have here a phase of the recurring problem of the relation of the federal courts to state agencies. More particularly, the question is the extent to which a State may weight one person’s vote more heavily than it does another’s.

So far as voting rights are concerned, there are large gaps in the Constitution. Yet the right to vote is inherent in the republican form of government envisaged by Article IV, Section 4 of the Constitution. The House — and now the Senate — are chosen by the people. The time, manner, and place of elections of Senators and Representatives are left to the States (Article I, Section 4, Clause 1; Amendment XVII) subject to the regulatory power of Congress. A “republican form” of government is guaranteed each State by Article IV, Section 4, and each is likewise promised protection against invasion. [Footnote 2/2] Ibid.

Page 369 U. S. 243

That the States may specify the qualifications for voters is implicit in Article I, Section 2, Clause 1, which provides that the House of Representatives shall be chosen by the

Page 369 U. S. 244

people and that

“the Electors (voters) in each State shall have the Qualifications requisite for Electors (voters) of the most numerous Branch of the State Legislature.”

The same provision, contained in the Seventeenth Amendment, governs the election of Senators. Within limits, those qualifications may be fixed by state law. See Lassiter v. Northampton Election Board, 360 U. S. 45, 360 U. S. 50-51. Yet, as stated in Ex parte Yarbrough, 110 U. S. 651, 110 U. S. 663-664, those who vote for members of Congress do not “owe their right to vote to the State law in any sense which makes the exercise of the right to depend exclusively on the law of the State.” The power of Congress to prescribe the qualifications for voters, and thus override state law, is not in issue here. It is, however, clear that, by reason of the commands of the Constitution, there are several qualifications that a State may not require.

Race, color, or previous condition of servitude is an impermissible standard by reason of the Fifteenth Amendment, and that alone is sufficient to explain Gomillion v. Lightfoot, 364 U. S. 339. See Taper, Gomillion versus Lightfoot (1962), pp.12-17.

Sex is another impermissible standard by reason of the Nineteenth Amendment.

There is a third barrier to a State’s freedom in prescribing qualifications of voters, and that is the Equal Protection Clause of the Fourteenth Amendment, the provision invoked here. And so the question is, may a State weight the vote of one county or one district more heavily than it weights the vote in another?

The traditional test under the Equal Protection Clause has been whether a State has made “an invidious discrimination,” as it does when it selects “a particular race or nationality for oppressive treatment.” See Skinner v. Oklahoma, 316 U. S. 535, 316 U. S. 541. Universal equality is not

Page 369 U. S. 245

the test; there is room for weighting. As we stated in Williamson v. Lee Optical Co., 348 U. S. 483, 348 U. S. 489, “The prohibition of the Equal Protection Clause goes no further than the invidious discrimination.”

I agree with my Brother CLARK that, if the allegations in the complaint can be sustained, a case for relief is established. We are told that a single vote in Moore County, Tennessee, is worth 19 votes in Hamilton County, that one vote in Stewart or in Chester County is worth nearly eight times a single vote in Shelby or Knox County. The opportunity to prove that an “invidious discrimination” exists should therefore be given the appellants.

It is said that any decision in cases of this kind is beyond the competence of courts. Some make the same point as regards the problem of equal protection in cases involving racial segregation. Yet the legality of claims and conduct is a traditional subject for judicial determination. Adjudication is often perplexing and complicated. An example of the extreme complexity of the task can be seen in a decree apportioning water among the several States. Nebraska v. Wyoming, 325 U. S. 589, 325 U. S. 665. The constitutional guide is often vague, as the decisions under the Due Process and Commerce Clauses show. The problem under the Equal Protection Clause is no more intricate. See Lewis, Legislative Apportionment and the Federal Courts, 71 Harv.L.Rev. 1057, 1083-1084.

There are, of course, some questions beyond judicial competence. Where the performance of a “duty” is left to the discretion and good judgment of an executive officer, the judiciary will not compel the exercise of his discretion one way or the other (Kentucky v. Dennison, 24 How. 66, 65 U. S. 109), for to do so would be to take over the office. Cf. Federal Communications Comm’n. v. Broadcasting Co., 309 U. S. 134, 309 U. S. 145.

Page 369 U. S. 246

Where the Constitution assigns a particular function wholly and indivisibly [Footnote 2/3] to another department, the federal judiciary does not intervene. Oetjen v. Central Leather Co., 246 U. S. 297, 246 U. S. 302. None of those cases is relevant here.

Page 369 U. S. 247

There is no doubt that the federal courts have jurisdiction of controversies concerning voting rights. The Civil Rights Act gives them authority to redress the deprivation “under color of any State law” of any “right, privilege or immunity secured by the Constitution of the United States or by any Act of Congress providing for equal rights of citizens. . . .” 28 U.S.C. § 1343(3). And 28 U.S.C. § 1343(4) gives the federal courts authority to award damages or issue an injunction to redress the violation of “any Act of Congress providing for the protection of civil rights, including the right to vote.” (Italics added.) The element of state action covers a wide range. For, as stated in United States v. Classic, 313 U. S. 299, 313 U. S. 326:

“Misuse of power, possessed by virtue of state law and made possible only because the wrongdoer is clothed with the authority of state law, is action taken ‘under color of’ state law.”

And see Monroe v. Pape, 365 U. S. 167.

The right to vote in both federal and state elections was protected by the judiciary long before that right received the explicit protection it is now accorded by § 1343(4). Discrimination against a voter on account of race has been penalized (Ex parte Yarbrough, 110 U. S. 651) or struck down. Nixon v. Herndon, 273 U. S. 536; Smith v. Allwright, 321 U. S. 649; Terry v. Adams, 345 U. S. 461. Fraudulent acts that dilute the votes of some

Page 369 U. S. 248

have long been held to be within judicial cognizance. Ex parte Siebold, 100 U. S. 371. The “right to have one’s vote counted” whatever his race or nationality or creed was held in United States v. Mosley, 238 U. S. 383, 238 U. S. 386, to be “as open to protection by Congress as the right to put a ballot in a box.” See also United States v. Classic, supra, 313 U. S. 324-325; United States v. Saylor, 322 U. S. 385.

Chief Justice Holt stated in Ashby v. White, 2 Ld.Raym. 938, 956 (a suit in which damages were awarded against election officials for not accepting the plaintiff’s vote, 3 Ld.Raym. 320) that:

“To allow this action will make publick officers more careful to observe the constitution of cities and boroughs, and not to be so partial as they commonly are in all elections, which is indeed a great and growing mischief, and tends to the prejudice of the peace of the nation.”

The same prophylactic effect will be produced here, as entrenched political regimes make other relief as illusory in this case as a petition to Parliament in Ashby v. White would have been. [Footnote 2/4]

Page 369 U. S. 249

Intrusion of the Federal Government into the election machinery of the States has taken numerous forms — investigations (Hannah v. Larche, 363 U. S. 420); criminal proceedings (Ex parte Siebold, supra; Ex parte Yarbrough, supra; United States v. Mosley, supra; United States v. Classic, supra); collection of penalties (Smith v. Allwright, supra); suits for declaratory relief and for an injunction (Terry v. Adams, supra); suits by the United States under the Civil Rights Act to enjoin discriminatory practices. United States v. Raines, 362 U. S. 17.

As stated by Judge McLaughlin in Dyer v. Kazuhisa Abe, 138 F.Supp. 220, 236 (an apportionment case in Hawaii which was reversed and dismissed as moot, 256 F.2d 728):

“The whole thrust of today’s legal climate is to end unconstitutional discrimination. It is ludicrous to preclude judicial relief when a mainspring of representative government is impaired. Legislators have no immunity from the Constitution. The legislatures of our land should be made as responsive to the Constitution of the United States as are the citizens who elect the legislators.”

With the exceptions of Colegrove v. Green, 328 U. S. 549; MacDougall v. Green, 335 U. S. 281; South v. Peters, 339 U. S. 276, and the decisions they spawned, the Court has never thought that protection of voting rights

Page 369 U. S. 250

was beyond judicial cognizance. Today’s treatment of those cases removes the only impediment to judicial cognizance of the claims stated in the present complaint.

The justiciability of the present claims being established, any relief accorded can be fashioned in the light of well known principles of equity. [Footnote 2/5]

Page 369 U. S. 251

[Footnote 2/1]

I feel strongly that many of the cases cited by the Court and involving so-called “political” questions were wrongly decided.

In joining the opinion, I do not approve those decisions, but only construe the Court’s opinion in this case as stating an accurate historical account of what the prior cases have held.

[Footnote 2/2]

The statements in Luther v. Borden, 7 How. 1, 48 U. S. 42, that this guaranty is enforceable only by Congress or the Chief Executive is not maintainable. Of course, the Chief Executive, not the Court, determines how a State will be protected against invasion. Of course, each House of Congress, not the Court, is “the Judge of the Elections, Returns, and Qualifications of its own Members.” Article I, Section 5, Clause 1. But the abdication of all judicial functions respecting voting rights (7 How. at 48 U. S. 41), however justified by the peculiarities of the charter form of government in Rhode Island at the time of Dorr’s Rebellion, states no general principle. It indeed is contrary to the cases discussed in the body of this opinion — the modern decisions of the Court that give the full panoply of judicial protection to voting rights. Today we would not say with Chief Justice Taney that it is no part of the judicial function to protect the right to vote of those “to whom it is denied by the written and established constitution and laws of the State.” Ibid.

Moreover, the Court’s refusal to examine the legality of the regime of martial law which had been laid upon Rhode Island (id. at 48 U. S. 45-46) is indefensible, as Mr. Justice Woodbury maintained in his dissent. Id. at 48 U. S. 59 et seq. Today we would ask with him:

“. . . who could hold for a moment, when the writ of habeas corpus cannot be suspended by the legislature itself, either in the general government or most of the States, without an express constitutional permission, that all other writs and laws could be suspended, and martial law substituted for them over the whole State or country, without any express constitutional license to that effect, in any emergency?”

Id. at 48 U. S. 67.

Justice Woodbury went on to say:

“It would be alarming enough to sanction here an unlimited power, exercised either by legislatures, or the executive, or courts, when all our governments are themselves governments of limitations and checks, and of fixed and known laws, and the people a race above all others jealous of encroachments by those in power. And it is far better that those persons should be without the protection of the ordinary laws of the land who disregard them in an emergency, and should look to a grateful country for indemnity and pardon, than to allow, beforehand, the whole frame of jurisprudence to be overturned, and every thing placed at the mercy of the bayonet.”

“No tribunal or department in our system of governments ever can be lawfully authorized to dispense with the laws, like some of the tyrannical Stuarts, or to repeal, or abolish, or suspend the whole body of them; or, in other words, appoint an unrestrained military dictator at the head of armed men.”

“Whatever stretches of such power may be ventured on in great crises, they cannot be upheld by the laws, as they prostrate the laws and ride triumphant over and beyond them, however the Assembly of Rhode Island, under the exigency, may have hastily supposed that such a measure in this instance was constitutional. It is but a branch of the omnipotence claimed by Parliament to pass bills of attainder, belonging to the same dangerous and arbitrary family with martial law.”

Id. at 48 U. S. 69-70.

What he wrote was later to become the tradition, as expressed by Chief Justice Hughes in Sterling v. Constantin, 287 U. S. 378, 287 U. S. 401:

“What are the allowable limits of military discretion, and whether or not they have been overstepped in a particular case, are judicial questions.”

[Footnote 2/3]

The category of the “political” question is, in my view, narrower than the decided cases indicate.

“Even the English courts have held that a resolution of one House of Parliament does not change the law (Stockdale v. Hansard (1839), 9 A. & E. 1, and Bowles v. Bank of England (No. 2) [1913] 1 Ch. 57), and these decisions imply that the House of Commons, acting alone, does not constitute the ‘Parliament’ recognised by the English courts.”

103 Sol.Jour. 995, 996. The Court in Bowles v. Bank of England, [1913] 1 Ch. 57, 84-85, stated:

“By the statute 1 W. & M., usually known as the Bill of Rights, it was finally settled that there could be no taxation in this country except under authority of an Act of Parliament. The Bill of Rights still remains unrepealed, and no practice or custom, however prolonged, or however acquiesced in on the part of the subject, can be relied on by the Crown as justifying any infringement of its provisions. It follows that, with regard to the powers of the Crown to levy taxation, no resolution, either of the Committee for Ways and Means or of the House itself, has any legal effect whatever. Such resolutions are necessitated by a parliamentary procedure adopted with a view to the protection of the subject against the hasty imposition of taxes, and it would be strange to find them relied on as justifying the Crown in levying a tax before such tax is actually imposed by Act of Parliament.”

In The Pocket Veto Case, 279 U. S. 655, the Court undertook a review of the veto provisions of the Constitution and concluded that the measure in litigation had not become a law. Cf. Coleman v. Miller, 307 U. S. 433.

Georgia v. Stanton, 6 Wall. 50, involved the application of the Reconstruction Acts to Georgia — laws which destroyed by force the internal regime of that State. Yet the Court refused to take jurisdiction. That question was no more “political” than a host of others we have entertained. See, e.g., Pennsylvania v. West Virginia, 262 U. S. 553; Youngstown Sheet & Tube Co. v. Sawyer, 343 U. S. 579; Alabama v. Texas, 347 U. S. 272.

Today would this Court hold nonjusticiable or “political” a suit to enjoin a Governor who, like Fidel Castro, takes everything into his own hands and suspends all election laws?

Georgia v. Stanton, supra, expresses a philosophy at war with Ex parte Milligan, 4 Wall. 2, and Duncan v. Kahanamoku, 327 U. S. 304. The dominance of the civilian authority has been expressed from the beginning. See Wise v. Withers, 3 Cranch 331, 7 U. S. 337; Sterling v. Constantin, supra, note 2.

[Footnote 2/4]

We are told by the National Institute of Municipal Law Officers in an amicus brief:

“Regardless of the fact that, in the last two decades, the United States has become a predominantly urban country where well over two-thirds of the population now lives in cities or suburbs, political representation in the majority of state legislatures is 50 or more years behind the times. Apportionments made when the greater part of the population was located in rural communities are still determining and undermining our elections.”

“As a consequence, the municipality of 1960 is forced to function in a horse and buggy environment where there is little political recognition of the heavy demands of an urban population. These demands will become even greater by 1970, when some 150 million people will be living in urban areas.”

“The National Institute of Municipal Law Officers has for many years recognized the widespread complaint that, by far the greatest preponderance of state representatives and senators are from rural areas which, in the main, fail to become vitally interested in the increasing difficulties now facing urban administrators.”

“Since World War II, the explosion in city and suburban population has created intense local problems in education, transportation, and housing. Adequate handling of these problems has not been possible to a large extent, due chiefly to the political weakness of municipalities. This situation is directly attributable to considerable underrepresentation of cities in the legislatures of most states.”

Amicus brief, pp. 2-3.

[Footnote 2/5]

The recent ruling by the Iowa Supreme Court that a legislature, though elected under an unfair apportionment scheme, is nonetheless a legislature empowered to act (Cedar Rapids v. Cox, 252 Iowa 948, 964, 108 N.W.2d 253, 262-263; cf. Kidd v. McCanless, 200 Tenn. 273, 292 S.W.2d 40) is plainly correct.

There need be no fear of a more disastrous collision between federal and state agencies here than where a federal court enjoins gerrymandering based on racial lines. See Gomillion v. Lightfoot, supra.

The District Court need not undertake a complete reapportionment. It might possibly achieve the goal of substantial equality merely by directing respondent to eliminate the egregious injustices. Or its conclusion that reapportionment should be made may, in itself, stimulate legislative action. That was the result in Asbury Park Press v. Woolley, 33 N.J. 1, 161 A.2d 705, where the state court ruled it had jurisdiction:

“If, by reason of passage of time and changing conditions, the reapportionment statute no longer serves its original purpose of securing to the voter the full constitutional value of his franchise, and the legislative branch fails to take appropriate restorative action, the doors of the courts must be open to him. The lawmaking body cannot, by inaction, alter the constitutional system under which it has its own existence.”

33 N.J. at 14, 161 A.2d at 711. The court withheld its decision on the merits in order that the legislature might have an opportunity to consider adoption of a reapportionment act. For the sequel see Application of Lamb, 67 N.J.Super. 39, 46-47, 169 A.2d 822, 825-826.

Reapportionment was also the result in Magraw v. Donovan, 159 F.Supp. 901, where a federal three-judge District Court took jurisdiction, saying, 163 F.Supp. 184, 187:

“Here it is the unmistakable duty of the State Legislature to reapportion itself periodically in accordance with recent population changes. . . . Early in January, 1959, the 61st Session of the Minnesota Legislature will convene, all of the members of which will be newly elected on November 4th of this year. The facts which have been presented to us will be available to them. It is not to be presumed that the Legislature will refuse to take such action as is necessary to comply with its duty under the State Constitution. We defer decision on all the issues presented (including that of the power of this Court to grant relief) in order to afford the Legislature full opportunity to ‘heed the constitutional mandate to redistrict.’”

See 177 F.Supp. 803, where the case was dismissed as moot, the State Legislature having acted.

MR. JUSTICE CLARK, concurring.

One emerging from the rash of opinions with their accompanying clashing of views may well find himself suffering a mental blindness. The Court holds that the appellants have alleged a cause of action. However, it refuses to award relief here — although the facts are undisputed — and fails to give the District Court any guidance whatever. One dissenting opinion, bursting with words that go through so much and conclude with so little, contemns the majority action as “a massive repudiation of the experience of our whole past.” Another describes the complaint as merely asserting conclusory allegations that Tennessee’s apportionment is “incorrect,” “arbitrary,” “obsolete,” and “unconstitutional.” I believe it can be shown that this case is distinguishable from earlier cases dealing with the distribution of political power by a State, that a patent violation of the Equal Protection Clause of the United States Constitution has been shown, and that an appropriate remedy may be formulated.

I

I take the law of the case from MacDougall v. Green, 335 U. S. 281 (1948), which involved an attack under the Equal Protection Clause upon an Illinois election statute. The Court decided that case on its merits without hindrance from the “political question” doctrine. Although the statute under attack was upheld, it is clear

Page 369 U. S. 252

that the Court based its decision upon the determination that the statute represented a rational state policy. It stated:

“It would be strange indeed, and doctrinaire, for this Court, applying such broad constitutional concepts as due process and equal protection of the laws, to deny a State the power to assure a proper diffusion of political initiative as between its thinly populated counties and those having concentrated masses, in view of the fact that the latter have practical opportunities for exerting their political weight at the polls not available to the former.

Id. at 335 U. S. 284. (Emphasis supplied.)

The other cases upon which my Brethren dwell are all distinguishable or inapposite. The widely heralded case of Colegrove v. Green, 328 U. S. 549 (1946), was one not only in which the Court was bobtailed, but in which there was no majority opinion. Indeed, even the “political question point” in MR. JUSTICE FRANKFURTER’s opinion was no more than an alternative ground. [Footnote 3/1] Moreover, the appellants did not present an equal protection argument. [Footnote 3/2] While it has served as a Mother Hubbard to most of the subsequent cases, I feel it was in that respect ill-cast, and, for all of these reasons, put it to one side. [Footnote 3/3] Likewise,

Page 369 U. S. 253

I do not consider the Guaranty Clause cases based on Art. I, 4, of the Constitution, because it is not invoked here and it involves different criteria, as the Court’s opinion indicates. Cases resting on various other considerations not present here, such as Radford v. Gary, 352 U.S. 991 (1957) (lack of equity); Kidd v. McCanless, 352 U.S. 920 (1956) (adequate state grounds supporting the state judgment); Anderson v. Jordan, 343 U.S. 912 (1952) (adequate state grounds); Remmey v. Smith, 342 U.S. 916 (1952) (failure to exhaust state procedures), are, of course, not controlling. Finally, the Georgia county unit system cases, such as South v. Peters, 339 U. S. 276 (1950), reflect the viewpoint of MacDougall, i.e., to refrain from intervening where there is some rational policy behind the State’s system. [Footnote 3/4]

II

The controlling facts cannot be disputed. It appears from the record that 37% of the voters of Tennessee elect 20 of the 33 Senators, while 40% of the voters elect 63 of the 99 members of the House. But this might not, on its face, be an “invidious discrimination,” Williamson v. Lee Optical of Oklahoma, 348 U. S. 483, 348 U. S. 489 (1955), for a “statutory discrimination will not be set aside if any state of facts reasonably may be conceived to justify it.” McGowan v. Maryland, 366 U. S. 420, 366 U. S. 426 (1961).

It is true that the apportionment policy incorporated in Tennessee’s Constitution, i.e., statewide numerical equality of representation with certain minor qualifications, [Footnote 3/5] is a rational one. On a county-by-county comparison

Page 369 U. S. 254

a districting plan based thereon naturally will have disparities in representation due to the qualifications. But this, to my mind, does not raise constitutional problems, for the overall policy is reasonable. However, the root of the trouble is not in Tennessee’s Constitution, for admittedly its policy has not been followed. The discrimination lies in the action of Tennessee’s Assembly in allocating legislative seats to counties or districts created by it. Try as one may, Tennessee’s apportionment just cannot be made to fit the pattern cut by its Constitution. This was the finding of the District Court. The policy of the Constitution referred to by the dissenters, therefore, is of no relevance here. We must examine what the Assembly has done. [Footnote 3/6] The frequency and magnitude of the inequalities in the present districting admit of no policy whatever. An examination of Table I accompanying this opinion, post, p. 369 U. S. 262, conclusively reveals that the apportionment picture in Tennessee is a topsy-turvical of gigantic proportions. This is not to say that some of the disparity cannot be explained, but, when the entire table is examined — comparing the voting strength of counties of like population as well as contrasting that of the smaller with the larger counties — it leaves but one conclusion, namely that Tennessee’s apportionment is a crazy quilt without rational basis. At the risk of being accused of picking out a few of the horribles I shall allude to a series of examples that are taken from Table I.

As is admitted, there is a wide disparity of voting strength between the large and small counties. Some

Page 369 U. S. 255

samples are: Moore County has a total representation of two [Footnote 3/7] with a population (2,340) of only one-eleventh of Rutherford County (25,316) with the same representation; Decatur County (5,563) has the same representation as Carter (23,303) though the latter has four times the population; likewise, Loudon County (13,264), Houston (3,084), and Anderson County (33,990) have the same representation, i.e., 1.25 each. But it is said that, in this illustration all of the underrepresented counties contain municipalities of over 10,000 population, and they therefore should be included under the “urban” classification, rationalizing this disparity as an attempt to effect a rural-urban political balance. But in so doing, one is caught up in the backlash of his own bull whip, for many counties have municipalities with a population exceeding 10,000, yet the same invidious discrimination is present. For example:

County Population Representation

Carter. . . . . . . . . . . . . . 23,303 1.10

Maury . . . . . . . . . . . . . . 24,556 2.25

Washington. . . . . . . . . . . . 36,967 1.93

Madison . . . . . . . . . . . . . 37,245 3.50

Page 369 U. S. 256

Likewise, counties with no municipality of over 10,000 suffer a similar discrimination:

County Population Representation

Grundy. . . . . . . . . . . . . . 6,540 O.95

Chester . . . . . . . . . . . . . 6,391 2.00

Cumberland. . . . . . . . . . . . 9,593 O.63

Crockett. . . . . . . . . . . . . 9,676 2.00

Loudon. . . . . . . . . . . . . . 13,264 1.25

Fayette. . . . . . . . . . . . . . 13,577 2.50

This could not be an effort to attain political balance between rural and urban populations. Since discrimination is present among counties of like population, the plan is neither consistent nor rational. It discriminates horizontally creating gross disparities between rural areas themselves as well as between urban areas themselves, [Footnote 3/8] still maintaining the wide vertical disparity already pointed out between rural and urban.

It is also insisted that the representation formula used above (see n. 7) is “patently deficient” because “it eliminates from consideration the relative voting power of the counties that are joined together in a single election district.” This is a strange claim coming from those who rely on the proposition that “the voice of every voter” need not have “approximate equality.” Indeed, representative government, as they say, is not necessarily one of “bare numbers.” The use of floterial districts in our political system is not ordinarily based on the theory that the floterial representative is splintered among the counties of his district per relative population. His function is to represent the whole district. However, I shall meet the charge on its own ground and by use of its “adjusted

Page 369 U. S. 257

total representation’” formula show that the present apportionment is loco. For example, compare some “urban” areas of like population, using the HARLAN formula:

County Population Representation

Washington. . . . . . . . . . . . 36,967 2.65

Madison . . . . . . . . . . . . . 37,245 4.87

Carter. . . . . . . . . . . . . . 23,303 1.48

Greene. . . . . . . . . . . . . . 23,649 2.05

Maury . . . . . . . . . . . . . . 24,556 3.81

Coffee. . . . . . . . . . . . . . 13,406 2.32

Hamblen . . . . . . . . . . . . . 14,090 1.07

And now, using the same formula, compare some so-called “rural” areas of like population:

County Population Representation

Moore . . . . . . . . . . . . . . 2,340 1.23

Pickett . . . . . . . . . . . . . 2,565 .22

Stewart . . . . . . . . . . . . . 5,238 1.60

Cheatham. . . . . . . . . . . . . 5,263 .74

Chester . . . . . . . . . . . . . 6,391 1.36

Grundy. . . . . . . . . . . . . . 6,540 .69

Smith . . . . . . . . . . . . . . 8,731 2.04

Unicoi. . . . . . . . . . . . . . 8,787 .40

And for counties with similar representation but with gross differences in population, take:

County Population Representation

Sullivan. . . . . . . . . . . . . 55,712 4.07

Maury . . . . . . . . . . . . . . 24,556 3.81

Blount. . . . . . . . . . . . . . 30,353 2.12

Coffee. . . . . . . . . . . . . . 13,406 2.32

These cannot be “distorted effects,” for here the same formula proposed by the dissenters is used and the result is even “a crazier” quilt.

Page 369 U. S. 258

The truth is that — although this case has been here for two years and has had over six hours’ argument (three times the ordinary case) and has been most carefully considered over and over again by us in Conference and individually — no one, not even the State nor the dissenters, has come up with any rational basis for Tennessee’s apportionment statute.

No one — except the dissenters advocating the HARLAN “adjusted total representation’” formula — contends that mathematical equality among voters is required by the Equal Protection Clause. But certainly there must be some rational design to a State’s districting. The discrimination here does not fit any pattern — as I have said, it is but a crazy quilt. My Brother HARLAN contends that other proposed apportionment plans contain disparities. Instead of chasing those rabbits, he should first pause long enough to meet appellants’ proof of discrimination by showing that, in fact, the present plan follows a rational policy. Not being able to do this, he merely counters with such generalities as “classic legislative judgment,” no “significant discrepancy,” and “de minimis departures.” I submit that even a casual glance at the present apportionment picture shows these conclusions to be entirely fanciful. If present representation has a policy at all, it is to maintain the status quo of invidious discrimination at any cost. Like the District Court, I conclude that appellants have met the burden of showing “Tennessee is guilty of a clear violation of the state constitution and of the [federal] rights of the plaintiffs. . . .”

III

Although I find the Tennessee apportionment statute offends the Equal Protection Clause, I would not consider intervention by this Court into so delicate a field if there were any other relief available to the people of Tennessee. But the majority of the people of Tennessee have no

Page 369 U. S. 259

“practical opportunities for exerting their political weight at the polls” to correct the existing “invidious discrimination.” Tennessee has no initiative and referendum. I have searched diligently for other “practical opportunities” present under the law. I find none other than through the federal courts. The majority of the voters have been caught up in a legislative strait jacket. Tennessee has an “informed, civically militant electorate” and “an aroused popular conscience,” but it does not sear “the conscience of the people’s representatives.” This is because the legislative policy has riveted the present seats in the Assembly to their respective constituencies, and by the votes of their incumbents a reapportionment of any kind is prevented. The people have been rebuffed at the hands of the Assembly; they have tried the constitutional convention route, but since the call must originate in the Assembly it, too, has been fruitless. They have tried Tennessee courts with the same result, [Footnote 3/9] and Governors have fought the tide only to flounder. It is said that there is recourse in Congress, and perhaps that may be, but, from a practical standpoint, this is without substance. To date, Congress has never undertaken such a task in any State. We therefore must conclude that the people of Tennessee are stymied, and, without judicial intervention, will be saddled with the present discrimination in the affairs of their state government.

IV

Finally, we must consider if there are any appropriate modes of effective judicial relief. The federal courts are, of course, not forums for political debate, nor should they

Page 369 U. S. 260

resolve themselves into state constitutional conventions or legislative assemblies. Nor should their jurisdiction be exercised in the hope that such a declaration as is made today may have the direct effect of bringing on legislative action and relieving the courts of the problem of fashioning relief. To my mind, this would be nothing less than blackjacking the Assembly into reapportioning the State. If judicial competence were lacking to fashion an effective decree, I would dismiss this appeal. However, like the Solicitor General of the United States, I see no such difficulty in the position of this case. One plan might be to start with the existing assembly districts, consolidate some of them, and award the seats thus released to those counties suffering the most egregious discrimination. Other possibilities are present, and might be more effective. But the plan here suggested would at least release the strangle hold now on the Assembly and permit it to redistrict itself.

In this regard, the appellants have proposed a plan based on the rationale of statewide equal representation. Not believing that numerical equality of representation throughout a State is constitutionally required, I would not apply such a standard, albeit a permissive one. Nevertheless, the dissenters attack it by the application of the HARLAN “adjusted total representation’” formula. The result is that some isolated inequalities are shown, but this, in itself, does not make the proposed plan irrational, or place it in the “crazy quilt” category. Such inequalities, as the dissenters point out in attempting to support the present apportionment as rational, are explainable. Moreover, there is no requirement that any plan have mathematical exactness in its application. Only where, as here, the total picture reveals incommensurables of both magnitude and frequency can it be said that there is present an invidious discrimination.

Page 369 U. S. 261

In view of the detailed study that the Court has given this problem, it is unfortunate that a decision is not reached on the merits. The majority appears to hold, at least sub silentio, that an invidious discrimination is present, but it remands to the three-judge court for it to make what is certain to be that formal determination. It is true that Tennessee has not filed a formal answer. However, it has filed voluminous papers and made extended arguments supporting its position. At no time has it been able to contradict the appellants’ factual claims; it has offered no rational explanation for the present apportionment; indeed, it has indicated that there are none known to it. As I have emphasized, the case proceeded to the point before the three-judge court that it was able to find an invidious discrimination factually present, and the State has not contested that holding here. In view of all this background, I doubt if anything more can be offered or will be gained by the State on remand, other than time. Nevertheless, not being able to muster a court to dispose of the case on the merits, I concur in the opinion of the majority and acquiesce in the decision to remand. However, in fairness, I do think that Tennessee is entitled to have my idea of what it faces on the record before us, and the trial court some light as to how it might proceed.

As John Rutledge (later Chief Justice) said 175 years ago in the course of the Constitutional Convention, a chief function of the Court is to secure the national rights. [Footnote 3/10] Its decision today supports the proposition for which our forebears fought and many died, namely that, to be fully conformable to the principle of right, the form of government must be representative. [Footnote 3/11] That is the keystone upon which our government was founded

Page 369 U. S. 262

and lacking which no republic can survive. It is well for this Court to practice self-restraint and discipline in constitutional adjudication, but never in its history have those principles received sanction where the national rights of so many have been so clearly infringed for so long a time. National respect for the courts is more enhanced through the forthright enforcement of those rights, rather than by rendering them nugatory through the interposition of subterfuges. In my view, the ultimate decision today is in the greatest tradition of this Court.

TABLE I

bwm:

Present to Proposed to

Present total tal repre- tal represen-

representation sentation tation (appel-

using using J. lants’ plan),

1950 voting J. Clark’s Harlan’s using J. Har-

County population formula formula lan’s formula

Van Buren. . . . . 2,039 .63 .23 .11

Moore. . . . . . . 2,340 2.00 1.23 .18

Pickett. . . . . . 2,565 .70 .22 .24

Sequatchie. . . . 2,904 .63 .33 .19

Meigs. . . . . . . 3,039 .93 .48 .17

Houston. . . . . . 3,084 1.25 .46 .24

Trousdale. . . . . 3,351 1.33 .43 .12

Lewis. . . . . . . 3,413 1.25 .39 .25

Perry. . . . . . . 3,711 1.50 .71 .40

Bledsoe. . . . . . 4,198 .63 .49 .24

Clay . . . . . . . 4,528 .70 .40 .42

Union. . . . . . . 4,600 .76 .37 .45

Hancock. . . . . . 4,710 .93 .62 .49

Stewart. . . . . . 5,238 1.75 1.60 .41

Cheatham . . . . . 5,263 1.33 .72 .20

Cannon . . . . . . 5,341 2.00 1.43 .52

Decatur. . . . . . 5,563 1.10 .79 .52

Lake . . . . . . . 6,252 2.00 1.44 .41

Chester. . . . . . 6,391 2.00 1.36 .19

Grundy . . . . . . 6,540 .95 .69 .43

Humphreys. . . . . 6,588 1.25 1.39 .72

Johnson. . . . . . 6,649 1.10 .42 .43

Page 369 U. S. 263

Jackson. . . . . . 6,719 1.50 1.43 .63

De Kalb. . . . . . 6,984 2.00 1.56 .68

Benton . . . . . . 7,023 1.10 1.01 .66

Fentress . . . . . 7,057 .70 .62 .64

Grainer. . . . . . 7, 125 .93 .94 .65

Wayne. . . . . . . 7, 176 1.25 .69 .76

Polk . . . . . . . 7,330 1.25 .68 .73

Hickman. . . . . . 7,598 2.00 1.85 .80

Macon. . . . . . . 7,974 1.33 1.01 .61

Morgan . . . . . . 8,308 .93 .59 .75

Scott. . . . . . . 8,417 .76 .68 .62

Smith. . . . . . . 8,731 2.50 2.04 .67

Unicoi . . . . . . 8,787 .93 .40 .63

Rhea . . . . . . . 8,937 .93 1.42 .21

White. . . . . . . 9,244 1.43 1.69 .90

Overton. . . . . . 9,474 1.70 1.83 .89

Harding. . . . . . 9,577 1.60 1.61 .93

Cumberland . . . . 9,593 .63 1.10 .87

Crockett . . . . . 9,676 2.00 1.66 .63

Henderson. . . . . 10,199 1.50 .78 .96

Marion . . . . . . 10,998 1.75 1.73 .72

Marshall . . . . . 11,288 2.50 2.28 .84

Dickson. . . . . . 11,294 1.75 2.29 1.23

Jefferson. . . . . 11,359 1.10 .87 1.03

McNairy. . . . . . 11,601 1.60 1.74 1.13

Cocke. . . . . . . 12,572 1.60 1.46 .89

Sevier . . . . . . 12,793 1.60 1.47 .69

Claiborne. . . . . 12,799 1.43 1.61 .34

Monroe . . . . . . 12,884 1.75 1.68 1.30

Loudon . . . . . . 13,264 1.25 .28 .52

Warren . . . . . . 13,337 1.75 1.89 1.68

Coffee . . . . . . 13,406 2.00 2.32 1.68

Hardeman . . . . . 13,565 1.60 1.86 1.11

Fayette. . . . . . 13,577 2.50 2.48 1.11

Haywood. . . . . . 13,934 2.50 2.52 1.69

Williamson . . . . 14,064 2.33 2.96 1.71

Page 369 U. S. 264

Hamblen. . . . . . 14,090 1.10 1.07 1.67

Franklin . . . . . 14,297 1.75 1.95 1.73

Lauderdale . . . . 14,413 2.50 2.45 1.73

Bedford. . . . . . 14,732 2.00 1.45 1.74

Lincoln. . . . . . 15,092 2.50 2.72 1.77

Henry. . . . . . . 15,465 2.83 2.76 1.73

Lawrence . . . . . 15,847 2.00 2.22 1.81

Giles. . . . . . . 15,935 2.25 2.54 1.81

Tipton . . . . . . 15,944 3.00 1.68 1.13

Robertson. . . . . 16,456 2.83 2.62 1.85

Wilson . . . . . . 16,459 3.00 3.03 1.21

Carroll. . . . . . 16,472 2.83 2.88 1.82

Hawkins. . . . . . 16,900 3.00 1.93 1.82

Putnam . . . . . . 17,071 1.70 2.50 1.86

Campbell . . . . . 17,477 .76 1.40 1.94

Roane. . . . . . . 17,639 1.75 1.26 1.30

Weakley. . . . . . 18,007 2.33 2.63 1.85

Bradley. . . . . . 18,273 1.25 1.67 1.92

McMinn . . . . . . 18,347 1.75 1.97 1.92

Obion. . . . . . . 18,434 2.00 2.30 1.94

Dyer . . . . . . . 20,062 2.00 2.36 2.32

Sumner . . . . . . 20,143 2.33 3.56 2.54

Carter . . . . . . 23,303 1.10 1.48 2.55

Greene . . . . . . 23,649 1.93 2.05 2.68

Maury. . . . . . . 24,556 2.25 3.81 2.85

Rutherford . . . . 25,316 2.00 3.02 2.39

Montgomery . . . . 26,284 3.00 3.73 3.06

Gibson . . . . . . 29,832 5.00 5.00 2.86

Blount . . . . . . 30,353 1.60 2.12 2.19

Anderson . . . . . 33,990 1.25 1.30 3.62

Washington . . . . 36,967 1.93 2.65 3.45

Madison. . . . . . 37,245 3.50 4.87 3.69

Sullivan . . . . . 55,712 3.00 4.07 5.57

Hamilton . . . . . 131,971 6.00 6.00 15.09

Knox . . . . . . . 140,559 7.25 8.96 15.21

Davidson . . . . . 211,930 12.50 12.93 21.57

Shelby . . . . . . 312,345 15.50 16.85 31.59

Page 369 U. S. 265

ewm:

[Footnote 3/1]

The opinion stated at 551 that the Court “could also dispose of this case on the authority of Wood v. Broom [287 U.S. 1 (1932)].” Wood v. Broom involved only the interpretation of a congressional reapportionment Act.

[Footnote 3/2]

Similarly, the Equal Protection Clause was not invoked in Tedesco v. Board of Supervisors, 339 U.S. 940 (1950).

[Footnote 3/3]

I do not read the later case of Colegrove v. Barrett, 330 U.S. 804 (1947), as having rejected the equal protection argument adopted here. That was merely a dismissal of an appeal where the equal protection point was mentioned along with attacks under three other constitutional provisions, two congressional Acts, and three state constitutional provisions.

[Footnote 3/4]

Georgia based its election system on a consistent combination of political units and population, giving six unit votes to the eight most populous counties, four unit votes to the 30 counties next in population, and two unit votes to each of the remaining counties.

[Footnote 3/5]

See Part I of the Appendix to MR. JUSTICE HARLAN’s dissent, post, p. 369 U. S. 341.

[Footnote 3/6]

It is suggested that the districting is not unconstitutional since it was established by a statute that was constitutional when passed some 60 years ago. But many Assembly Sessions since that time have deliberately refused to change the original act, and, in any event, “[a] statute [constitutionally] valid when enacted may become invalid by change in the conditions to which it is applied.” Nashville, C. & St.L. R. Co. v. Walters, 294 U. S. 405, 294 U. S. 415 (1935).

[Footnote 3/7]

“Total representation” indicates the combined representation in the State Senate (33 members) and the State House of Representatives (99 members) in the Assembly of Tennessee. Assuming a county has one representative, it is credited in this calculation with 1/99. Likewise, if the same county has one-third of a senate seat, it is credited with another 1/99, and thus such a county, in our calculation, would have a “total representation” of two; if a county has one representative and one-sixth of a senate seat, it is credited with 1.5/99, or 1.50. It is this last figure that I use here in an effort to make the comparisons clear. The 1950, rather than the 1960 census of voting population, is used to avoid the charge that use of 1960 tabulations might not have allowed sufficient time for the State to act. However, the 1960 picture is even more irrational than the 1950 one.

[Footnote 3/8]

Of course, this was not the case in the Georgia county unit system, South v. Peters, supra, or the Illinois initiative plan, MacDougall v. Green, supra, where recognized political units having independent significance were given minimum political weight.

[Footnote 3/9]

It is interesting to note that state judges often rest their decisions on the ground that this Court has precluded adjudication of the federal claim. See, e.g., Scholle v. Secretary of State, 360 Mich. 1, 104 N.W.2d 63 (1960).

[Footnote 3/10]

1 Farrand, The Records of the Federal Convention of 1787, 124.

[Footnote 3/11]

Kant, Perpetual Peace.

MR. JUSTICE STEWART, concurring.

The separate writings of my dissenting and concurring Brothers stray so far from the subject of today’s decision as to convey, I think, a distressingly inaccurate impression of what the Court decides. For that reason, I think it appropriate, in joining the opinion of the Court, to emphasize in a few words what the opinion does and does not say.

The Court today decides three things, and no more:

“(a) that the court possessed jurisdiction of the subject matter; (b) that a justiciable cause of action is stated upon which appellants would be entitled to appropriate relief, and (c). . . that the appellants have standing to challenge the Tennessee apportionment statutes.”

Ante, pp. 369 U. S. 197-198.

The complaint in this case asserts that Tennessee’s system of apportionment is utterly arbitrary — without any possible justification in rationality. The District Court did not reach the merits of that claim, and this Court quite properly expresses no view on the subject. Contrary to the suggestion of my Brother HARLAN, the Court does not say or imply that “state legislatures must be so structured as to reflect with approximate equality the voice of every voter.” Post, p. 369 U. S. 332. The Court does not say or imply that there is anything in the Federal Constitution

“to prevent a State, acting not irrationally, from choosing any electoral legislative structure it thinks best suited to the interests, temper, and customs of its people.”

Post p. 369 U. S. 334. And, contrary to the suggestion of my Brother DOUGLAS, the Court most assuredly does not decide the question, “may a State weight the vote of one county or one district more heavily than it weights the vote in another?” Ante, p. 369 U. S. 244.

In MacDougall v. Green, 335 U. S. 281, the Court held that the Equal Protection Clause does not

“deny a State the power to assure a proper diffusion of political initiative

Page 369 U. S. 266

as between its thinly populated counties and those having concentrated masses, in view of the fact that the latter have practical opportunities for exerting their political weight at the polls not available to the former.”

335 U.S. at 335 U. S. 284. In case after case arising under the Equal Protection Clause, the Court has said what it said again only last Term — that

“the Fourteenth Amendment permits the States a wide scope of discretion in enacting laws which affect some groups of citizens differently than others.”

McGowan v. Maryland, 366 U. S. 420, 366 U. S. 425. In case after case arising under that Clause, we have also said that “the burden of establishing the unconstitutionality of a statute rests on him who assails it.” Metropolitan Casualty Ins. Co. v. Brownell, 294 U. S. 580, 294 U. S. 584.

Today’s decision does not turn its back on these settled precedents. I repeat, the Court today decides only: (1) that the District Court possessed jurisdiction of the subject matter; (2) that the complaint presents a justiciable controversy; (3) that the appellants have standing. My Brother CLARK has made a convincing prima facie showing that Tennessee’s system of apportionment is, in fact, utterly arbitrary — without any possible justification in rationality. My Brother HARLAN has, with imagination and ingenuity, hypothesized possibly rational bases for Tennessee’s system. But the merits of this case are not before us now. The defendants have not yet had an opportunity to be heard in defense of the State’s system of apportionment; indeed, they have not yet even filed an answer to the complaint. As in other cases, the proper place for the trial is in the trial court, not here.

MR. JUSTICE FRANKFURTER, whom MR. JUSTICE HARLAN joins, dissenting.

The Court today reverses a uniform course of decision established by a dozen cases, including one by which the very claim now sustained was unanimously rejected

Page 369 U. S. 267

only five years ago. The impressive body of rulings thus cast aside reflected the equally uniform course of our political history regarding the relationship between population and legislative representation — a wholly different matter from denial of the franchise to individuals because of race, color, religion or sex. Such a massive repudiation of the experience of our whole past in asserting destructively novel judicial power demands a detailed analysis of the role of this Court in our constitutional scheme. Disregard of inherent limits in the effective exercise of the Court’s “judicial Power” not only presages the futility of judicial intervention in the essentially political conflict of forces by which the relation between population and representation has time out of mind been, and now is, determined. It may well impair the Court’s position as the ultimate organ of “the supreme Law of the Land” in that vast range of legal problems, often strongly entangled in popular feeling, on which this Court must pronounce. The Court’s authority — possessed of neither the purse nor the sword — ultimately rests on sustained public confidence in its moral sanction. Such feeling must be nourished by the Court’s complete detachment, in fact and in appearance, from political entanglements and by abstention from injecting itself into the clash of political forces in political settlements.

A hypothetical claim resting on abstract assumptions is now for the first time made the basis for affording illusory relief for a particular evil even though it foreshadows deeper and more pervasive difficulties in consequence. The claim is hypothetical, and the assumptions are abstract, because the Court does not vouchsafe the lower courts — state and federal — guidelines for formulating specific, definite, wholly unprecedented remedies for the inevitable litigations that today’s umbrageous disposition is bound to stimulate in connection with politically motivated reapportionments in so many States. In

Page 369 U. S. 268

such a setting, to promulgate jurisdiction in the abstract is meaningless. It is as devoid of reality as “a brooding omnipresence in the sky,” for it conveys no intimation what relief, if any, a District Court is capable of affording that would not invite legislatures to play ducks and drakes with the judiciary. For this Court to direct the District Court to enforce a claim to which the Court has over the years consistently found itself required to deny legal enforcement and, at the same time, to find it necessary to withhold any guidance to the lower court how to enforce this turnabout, new legal claim, manifests an odd — indeed an esoteric — conception of judicial propriety. One of the Court’s supporting opinions, as elucidated by commentary, unwittingly affords a disheartening preview of the mathematical quagmire (apart from divers judicially inappropriate and elusive determinants) into which this Court today catapults the lower courts of the country without so much as adumbrating the basis for a legal calculus as a means of extrication. Even assuming the indispensable intellectual disinterestedness on the part of judges in such matters, they do not have accepted legal standards or criteria or even reliable analogies to draw upon for making judicial judgments. To charge courts with the task of accommodating the incommensurable factors of policy that underlie these mathematical puzzles is to attribute, however flatteringly, omnicompetence to judges. The Framers of the Constitution persistently rejected a proposal that embodied this assumption, and Thomas Jefferson never entertained it.

Recent legislation, creating a district appropriately described as “an atrocity of ingenuity,” is not unique. Considering the gross inequality among legislative electoral units within almost every State, the Court naturally shrinks from asserting that, in districting, at least substantial equality is a constitutional requirement enforceable

Page 369 U. S. 269

by courts. * Room continues to be allowed for weighting. This, of course, implies that geography, economics, urban-rural conflict, and all the other non-legal factors which have throughout our history entered into political districting are to some extent not to be ruled out in the undefined vista now opened up by review in the federal courts of state reapportionments. To some extent — aye, there’s the rub. In effect, today’s decision empowers the courts of the country to devise what should constitute the proper composition of the legislatures of the fifty States. If state courts should for one reason or another find themselves unable to discharge this task, the duty of doing so is put on the federal courts or on this Court, if State views do not satisfy this Court’s notion of what is proper districting.

We were soothingly told at the bar of this Court that we need not worry about the kind of remedy a court could effectively fashion once the abstract constitutional right to have courts pass on a statewide system of electoral districting is recognized as a matter of judicial rhetoric, because legislatures would heed the Court’s admonition. This is not only a euphoric hope. It implies a sorry

Page 369 U. S. 270

confession of judicial impotence in place of a frank acknowledgment that there is not under our Constitution a judicial remedy for every political mischief, for every undesirable exercise of legislative power. The Framers, carefully and with deliberate forethought, refused so to enthrone the judiciary. In this situation, as in others of like nature, appeal for relief does not belong here. Appeal must be to an informed, civically militant electorate. In a democratic society like ours, relief must come through an aroused popular conscience that sears the conscience of the people’s representatives. In any event, there is nothing judicially more unseemly nor more self-defeating than for this Court to make in terrorem pronouncements, to indulge in merely empty rhetoric, sounding a word of promise to the ear sure to be disappointing to the hope.

This is the latest in the series of cases in which the Equal Protection and Due Process Clauses of the Fourteenth Amendment have been invoked in federal courts as restrictions upon the power of the States to allocate electoral weight among the voting populations of their various geographical subdivisions. [Footnote 4/1] The present action, which

Page 369 U. S. 271

comes here on appeal from an order of a statutory three-judge District Court dismissing amended complaints seeking declaratory and injunctive relief, challenges the provisions of Tenn.Code Ann., 1955, §§ 3-101 to 3-109, which apportion state representative and senatorial seats among Tennessee’s ninety-five counties.

The original plaintiffs, citizens and qualified voters entitled to vote for members of the Tennessee Legislature in the several counties in which they respectively reside, bring this action in their own behalf and “on behalf of all other voters in the State of Tennessee,” or, as they alternatively assert,

“on behalf of all qualified voters of their respective counties, and further, on behalf of all voters of the State of Tennessee who are similarly situated.”

The cities of Knoxville and Chattanooga, and the Mayor of Nashville — on his own behalf as a qualified voter and, pursuant to an authorizing resolution by the Nashville City Council, as a representative of all the city’s residents — were permitted to intervene as parties plaintiff. [Footnote 4/2] The defendants are executive officials charged with statutory duties in connection with state elections. [Footnote 4/3]

Page 369 U. S. 272

The original plaintiffs’ amended complaint avers, in substance, the following. [Footnote 4/4] The Constitution of the State of Tennessee declares that “elections shall be free and equal,” provides that no qualifications other than age, citizenship and specified residence requirements shall be attached to the right of suffrage, and prohibits denying to any person the suffrage to which he is entitled except upon conviction of an infamous crime. Art. I, § 5; Art. IV, § 1. It requires an enumeration of qualified voters within every term of ten years after 1871 and an apportionment of representatives and senators among the several counties or districts according to the number of qualified voters in each [Footnote 4/5] at the time of each decennial

Page 369 U. S. 273

enumeration. Art. II, §§ 4, 5, 6. Notwithstanding these provisions, the State Legislature has not reapportioned itself since 1901. The Reapportionment Act of that year, Tenn.Acts 1901, c. 122, now Tenn.Code Ann., 1955, §§ 3-101 to 3-109, [Footnote 4/6] was unconstitutional when enacted, because not preceded by the required enumeration of qualified voters and because it allocated legislative seats arbitrarily, unequally and discriminatorily, as measured by the 1900 federal census. Moreover, irrespective of the question of its validity in 1901, it is asserted that the Act became “unconstitutional and obsolete” in 1911 by virtue of the decennial reapportionment requirement of the Tennessee Constitution. Continuing a “purposeful and systematic plan to discriminate against a geographical class of persons,” recent Tennessee Legislatures have failed, as did their predecessors, to enact reapportionment legislation, although a number of bills providing for reapportionment have been introduced. Because of population shifts since 1901, the apportionment fixed by the Act of that year and still in effect is not proportionate to population, denies to the counties in which the plaintiffs

Page 369 U. S. 274

live an additional number of representatives to which they are entitled, and renders plaintiffs’ votes “not as effective as the votes of the voters residing in other senatorial and representative districts. . . .” Plaintiffs

“suffer a debasement of their votes by virtue of the incorrect, arbitrary, obsolete and unconstitutional apportionment of the General Assembly . . . ,”

and the totality of the malapportionment’s effect — which permits a minority of about thirty-seven percent of the voting population of the State to control twenty of the thirty-three members of Tennessee’s Senate, and a minority of forty percent of the voting population to control sixty-three of the ninety-nine members of the House — results in “a distortion of the constitutional system” established by the Federal and State Constitutions, prevents the General Assembly “from being a body representative of the people of the State of Tennessee, . . .” and is “contrary to the basic principle of representative government . . . ,” and “contrary to the philosophy of government in the United States and all Anglo-Saxon jurisprudence. . . .”

Exhibits appended to the complaint purport to demonstrate the extent of the inequalities of which plaintiffs complain. Based upon “approximate voting population,” [Footnote 4/7] these set forth figures showing that the State

Page 369 U. S. 275

Senator from Tennessee’s most populous senatorial district represents five and two-tenths times the number of voters represented by the Senator from the least populous district, while the corresponding ratio for most and least populous House districts is more than eighteen to one. The General Assembly thus apportioned has discriminated against the underrepresented counties and in favor of the overrepresented counties in the collection and distribution of various taxes and tax revenues, notably in the distribution of school and highway improvement funds, [Footnote 4/8] this discrimination being “made possible and effective” by the Legislature’s failure to reapportion itself. Plaintiffs conclude that election of the State Legislature pursuant to the apportionment fixed by the 1901 Act violates the Tennessee Constitution and deprives them of due process of law and of the equal protection of the laws guaranteed by the Fourteenth Amendment. Their prayer below was for a declaratory judgment striking down the Act, an injunction restraining defendants from any acts necessary to the holding of elections in the districts prescribed by Tenn.Code Ann., 1955, §§ 3-101 to 3-109, until such time as the legislature is reapportioned “according to the

Page 369 U. S. 276

Constitution of the State of Tennessee,” and an order directing defendants to declare the next primary and general elections for members of the Tennessee Legislature on an at-large basis — the thirty-three senatorial candidates and the ninety-nine representative candidates receiving the highest number of votes to be declared elected. [Footnote 4/9]

Motions to dismiss for want of jurisdiction of the subject matter and for failure to state a claim were made and granted, 179 F.Supp. 824, the District Court relying upon this Court’s series of decisions beginning with Colegrove v. Green, 328 U. S. 549, rehearing denied, 329 U.S. 825, motion for reargument before the full bench denied, 329 U.S. 828. The original and intervening plaintiffs bring the case here on appeal. 364 U.S. 898. In this Court they have altered their request for relief, suggesting a “step-by-step approach.” The first step is a remand to the District Court with directions to vacate the order dismissing the complaint and to enter an order retaining jurisdiction, providing “the necessary spur to legislative action. . . .” If this proves insufficient, appellants will ask the “additional spur” of an injunction prohibiting elections under the 1901 Act or a declaration of the Act’s unconstitutionality, or both. Finally, all other means failing, the District Court is invited by the plaintiffs, greatly daring, to order an election at large or redistrict the State itself or through a master. The Solicitor General of the United States, who has filed a brief amicus and argued in favor of reversal, asks the Court on this appeal to hold only that the District Court has “jurisdiction,” and may properly exercise it to entertain the plaintiffs’ claims on the merits. This would leave to that court after remand the questions of the challenged statute’s

Page 369 U. S. 277

constitutionality and of some undefined, unadumbrated relief in the event a constitutional violation is found. After an argument at the last Term, the case was set down for reargument, 366 U.S. 907, and heard this Term.

I

In sustaining appellants’ claim, based on the Fourteenth Amendment, that the District Court may entertain this suit, this Court’s uniform course of decision over the years is overruled or disregarded. Explicitly it begins with Colegrove v. Green, supra, decided in 1946, but its roots run deep in the Court’s historic adjudicatory process.

Colegrove held that a federal court should not entertain an action for declaratory and injunctive relief to adjudicate the constitutionality, under the Equal Protection Clause and other federal constitutional and statutory provisions, of a state statute establishing the respective districts for the State’s election of Representatives to the Congress. Two opinions were written by the four Justices who composed the majority of the seven sitting members of the Court. Both opinions joining in the result in Colegrove v. Green agreed that considerations were controlling which dictated denial of jurisdiction, though not in the strict sense of want of power. While the two opinions show a divergence of view regarding some of these considerations, there are important points of concurrence. Both opinions demonstrate a predominant concern, first, with avoiding federal judicial involvement in matters traditionally left to legislative policy making; second, with respect to the difficulty — in view of the nature of the problems of apportionment and its history in this country — of drawing on or devising judicial standards for judgment, as opposed to legislative determinations, of the part which mere numerical equality among voters should play as a criterion for the allocation of

Page 369 U. S. 278

political power; and, third, with problems of finding appropriate modes of relief — particularly, the problem of resolving the essentially political issue of the relative merits of at-large elections and elections held in districts of unequal population.

The broad applicability of these considerations — summarized in the loose shorthand phrase, “political question” — in cases involving a State’s apportionment of voting power among its numerous localities has led the Court, since 1946, to recognize their controlling effect in a variety of situations. (In all these cases, decision was by a full Court.) The “political question” principle as applied in Colegrove has found wide application commensurate with its function as “one of the rules basic to the federal system and this Court’s appropriate place within that structure.” Rescue Army v. Municipal Court, 331 U. S. 549, 331 U. S. 570. In Colegrove v. Barrett, 330 U.S. 804, litigants brought suit in a Federal District Court challenging as offensive to the Equal Protection Clause Illinois’ state legislative apportionment laws. They pointed to state constitutional provisions requiring decennial reapportionment and allocation of seats in proportion to population, alleged a failure to reapportion for more than forty-five years — during which time extensive population shifts had rendered the legislative districts grossly unequal — and sought declaratory and injunctive relief with respect to all elections to be held thereafter. After the complaint was dismissed by the District Court, this Court dismissed an appeal for want of a substantial federal question. A similar District Court decision was affirmed here in Radford v. Gary, 352 U.S. 991. And cf. Remmey v. Smith, 342 U.S. 916. In Tedesco v. Board of Supervisors, 339 U.S. 940, the Court declined to hear, for want of a substantial federal question, the claim that the division of a municipality into voting districts of unequal population for the selection for councilmen fell

Page 369 U. S. 279

afoul of the Fourteenth Amendment, and in Cox v. Peters, 342 U.S. 936, rehearing denied, 343 U.S. 921, it found no substantial federal question raised by a state court’s dismissal of a claim for damages for “devaluation” of plaintiff’s vote by application of Georgia’s county unit system in a primary election for the Democratic gubernatorial candidate. The same Georgia system was subsequently attacked in a complaint for declaratory judgment and an injunction; the federal district judge declined to take the requisite steps for the convening of a statutory three-judge court, and this Court, in Hartsfield v. Sloan, 357 U.S. 916, denied a motion for leave to file a petition for a writ of mandamus to compel the district judge to act. In MacDougall v. Green, 335 U. S. 281, 335 U. S. 283, the Court noted that “[t]o assume that political power is a function exclusively of numbers is to disregard the practicalities of government,” and, citing the Colegrove cases, declined to find in “such broad constitutional concepts as due process and equal protection of the laws,” id. at 335 U. S. 284, a warrant for federal judicial invalidation of an Illinois statute requiring as a condition for the formation of a new political party the securing of at least two hundred signatures from each of fifty counties. And in South v. Peters, 339 U. S. 276, another suit attacking Georgia’s county unit law, it affirmed a District Court dismissal, saying:

“Federal courts consistently refuse to exercise their equity powers in cases posing political issues arising from a state’s geographical distribution of electoral strength among its political subdivisions.”

Id. at 339 U. S. 277.

Of course, it is important to recognize particular, relevant diversities among comprehensively similar situations. Appellants seek to distinguish several of this Court’s prior decisions on one or another ground — Colegrove v.

Page 369 U. S. 280

Green on the ground that federal, not state, legislative apportionment was involved; Remmey v. Smith on the ground that state judicial remedies had not been tried; Radford v. Gary on the ground that Oklahoma has the initiative, whereas Tennessee does not. It would only darken counsel to discuss the relevance and significance of each of these assertedly distinguishing factors here and in the context of this entire line of cases. Suffice it that they do not serve to distinguish Colegrove v. Barrett, supra, which is on all fours with the present case, or to distinguish Kidd v. McCanless, 352 U.S. 920, in which the full Court without dissent, only five years ago, dismissed, on authority of Colegrove v. Green and Anderson v. Jordan, 343 U.S. 912, an appeal from the Supreme Court of Tennessee in which a precisely similar attack was made upon the very statute now challenged. If the weight and momentum of an unvarying course of carefully considered decisions are to be respected, appellants’ claims are foreclosed not only by precedents governing the exact facts of the present case, but are themselves supported by authority the more persuasive in that it gives effect to the Colegrove principle in distinctly varying circumstances in which state arrangements allocating relative degrees of political influence among geographic groups of voters were challenged under the Fourteenth Amendment.

II

The Colegrove doctrine, in the form in which repeated decisions have settled it, was not an innovation. It represents long judicial thought and experience. From its earliest opinions, this Court has consistently recognized a class of controversies which do not lend themselves to judicial standards and judicial remedies. To classify the various instances as “political questions” is, rather, a form

Page 369 U. S. 281

of stating this conclusion than revealing of analysis. [Footnote 4/10] Some of the cases so labelled have no relevance here. But from others emerge unifying considerations that are compelling.

1. The cases concerning war or foreign affairs, for example, are usually explained by the necessity of the country’s speaking with one voice in such matters. While this concern alone undoubtedly accounts for many of the decisions, [Footnote 4/11] others do not fit the pattern. It would hardly embarrass the conduct of war were this Court to determine, in connection with private transactions between litigants, the date upon which war is to be deemed terminated. But the Court has refused to do so. See, e.g., 79 U. S. 12 Wall. 700; Brown v. Hiatts, 15 Wall. 177; Adger v. Alston, 15 Wall. 555; Williams v. Bruffy, 96 U. S. 176, 96 U. S. 192-193. It does not suffice to explain such cases as Ludecke v. Watkins, 335 U. S. 160 — deferring to political determination the question of the duration of war for purposes of the Presidential power to deport alien enemies — that judicial intrusion would seriously

Page 369 U. S. 282

impede the President’s power effectively to protect the country’s interests in time of war. Of course, this is true; but the precise issue presented is the duration of the time of war which demands the power. Cf. 25 U. S. Mott, 12 Wheat.19; Lamar v. Browne, 92 U. S. 187, 92 U. S. 193; Hamilton v. Kentucky Distilleries & Warehouse Co., 251 U. S. 146; Kahn v. Anderson, 255 U. S. 1. And even for the purpose of determining the extent of congressional regulatory power over the tribes and dependent communities of Indians, it is ordinarily for Congress, not the Court, to determine whether or not a particular Indian group retains the characteristics constitutionally requisite to confer the power. [Footnote 4/12] E.g., 70 U. S. Holliday, 3 Wall. 407; Tiger v. Western Investment Co., 221 U. S. 286; United States v. Sandoval, 231 U. S. 28. A controlling factor in such cases is that, decision respecting these kinds of complex matters of policy being traditionally committed not to courts but to the political agencies of government for determination by criteria of political expediency, there exists no standard ascertainable by settled judicial experience or process by reference to which a political decision affecting the question at issue between the parties can be judged. Where the question arises in the course of a litigation involving primarily the adjudication of other issues between the litigants, the Court accepts as a basis for adjudication the political departments’ decision of it. But where its determination is the sole function to be served by the exercise of the judicial power, the Court will not entertain the action. See Chicago & Southern Air Lines, Inc., v. Waterman S.S. Corp.,

Page 369 U. S. 283

333 U. S. 103. The dominant consideration is “the lack of satisfactory criteria for a judicial determination. . . .” Mr. Chief Justice Hughes, for the Court, in Coleman v. Miller, 307 U. S. 433, 307 U. S. 454-455. Compare 45 U. S. Rogers, 4 How. 567, 45 U. S. 572, with 31 U. S. Georgia, 6 Pet. 515. [Footnote 4/13]

This may be, like so many questions of law, a matter of degree. Questions have arisen under the Constitution to which adjudication gives answer although the criteria for decision are less than unwavering bright lines. Often, in these cases, illumination was found in the federal structures established by, or the underlying presuppositions of, the Constitution. With respect to such questions, the Court has recognized that, concerning a particular power of Congress put in issue, “. . . effective restraints on its exercise must proceed from political, rather than from judicial processes.” Wickard v. Filburn, 317 U. S. 111, 317 U. S. 120. It is also true that, even regarding the duration of war and the status of Indian tribes, referred to above as subjects ordinarily committed exclusively to the nonjudicial branches, the Court has suggested that some limitations exist upon the range within which the decisions of those branches will be permitted to go unreviewed. See United States v. Sandoval, supra, at 231 U. S. 46; cf. Chastleton Corp. v. Sinclair, 264 U. S. 543. But this is merely to acknowledge that particular circumstances may differ so greatly in degree as to differ thereby in kind, and that, although within a certain range of cases on a continuum, no standard of distinction can be found to tell between them, other cases will fall above or below the range. The doctrine of political questions, like any other, is not to

Page 369 U. S. 284

be applied beyond the limits of its own logic, with all the quiddities and abstract disharmonies it may manifest. See the disposition of contentions based on logically distorting views of Colegrove v. Green and Hunter v. Pittsburgh, 207 U. S. 161, in Gomillion v. Lightfoot, 364 U. S. 339.

2. The Court has been particularly unwilling to intervene in matters concerning the structure and organization of the political institutions of the States. The abstention from judicial entry into such areas has been greater even than that which marks the Court’s ordinary approach to issues of state power challenged under broad federal guarantees.

“We should be very reluctant to decide that we had jurisdiction in such a case, and thus in an action of this nature to supervise and review the political administration of a state government by its own officials and through its own courts. The jurisdiction of this court would only exist in case there had been . . . such a plain and substantial departure from the fundamental principles upon which our government is based that it could with truth and propriety be said that, if the judgment were suffered to remain, the party aggrieved would be deprived of his life, liberty or property in violation of the provisions of the Federal Constitution.”

Wilson v. North Carolina, 169 U. S. 586, 169 U. S. 596. See Taylor and Marshall v. Beckham (No. 1), 178 U. S. 548; Walton v. House of Representatives, 265 U. S. 487; Snowden v. Hughes, 321 U. S. 1. Cf. In re Sawyer, 124 U. S. 200, 124 U. S. 220-221.

Where, however, state law has made particular federal questions determinative of relations within the structure of state government, not in challenge of it, the Court has resolved such narrow, legally defined questions in proper proceedings. See Boyd v. Nebraska ex rel. Thayer, 143 U. S. 135. In such instances, there is no conflict between state policy and the exercise of federal judicial

Page 369 U. S. 285

power. This distinction explains the decisions in Smiley v. Holm, 285 U. S. 355; Koenig v. Flynn, 285 U. S. 375, and Carroll v. Becker, 285 U. S. 380, in which the Court released state constitutional provisions prescribing local lawmaking procedures from misconceived restriction of superior federal requirements. Adjudication of the federal claim involved in those cases was not one demanding the accommodation of conflicting interests for which no readily accessible judicial standards could be found. See McPherson v. Blacker, 146 U. S. 1, in which, in a case coming here on writ of error from the judgment of a state court which had entertained it on the merits, the Court treated as justiciable the claim that a State could not constitutionally select its presidential electors by districts, but held that Art. II, § 1, cl. 2, of the Constitution left the mode of choosing electors in the absolute discretion of the States. Cf. Pope v. Williams, 193 U. S. 621; Breedlove v. Suttles, 302 U. S. 277. To read with literalness the abstracted jurisdictional discussion in the McPherson opinion reveals the danger of conceptions of “justiciability” derived from talk, and not from the effective decision in a case. In probing beneath the surface of cases in which the Court has declined to interfere with the actions of political organs of government, of decisive significance is whether, in each situation, the ultimate decision has been to intervene or not to intervene. Compare the reliance in South v. Peters, 339 U. S. 276, on MacDougall v. Green, 335 U. S. 281, and the “jurisdictional” form of the opinion in Wilson v. North Carolina, 169 U. S. 586, 169 U. S. 596, supra.

3. The cases involving Negro disfranchisement are no exception to the principle of avoiding federal judicial intervention into matters of state government in the absence of an explicit and clear constitutional imperative. For here the controlling command of Supreme Law is plain and unequivocal. An end of discrimination against

Page 369 U. S. 286

the Negro was the compelling motive of the Civil War Amendments. The Fifteenth expresses this in terms, and it is no less true of the Equal Protecting Clause of the Fourteenth. Slaughter-House Cases, 16 Wall. 36, 83 U. S. 67-72; Strauder v. West Virginia, 100 U. S. 303, 100 U. S. 306-307; Nixon v. Herndon, 273 U. S. 536, 273 U. S. 541. Thus, the Court, in cases involving discrimination against the Negro’s right to vote, has recognized not only the action at law for damages, [Footnote 4/14] but, in appropriate circumstances, the extraordinary remedy of declaratory or injunctive relief. [Footnote 4/15] Schnell v. Davis, 336 U.S. 933; Terry v. Adams, 345 U. S. 461. [Footnote 4/16] Injunctions in these cases, it should be noted, would not have restrained statewide general elections. Compare Giles v. Harris, 189 U. S. 475.

4. The Court has refused to exercise its jurisdiction to pass on “abstract questions of political power, of sovereignty, of government.” Massachusetts v. Mellon, 262 U. S. 447, 262 U. S. 485. See Texas v. Interstate Commerce Commission, 258 U. S. 158, 258 U. S. 162; New Jersey v. Sargent, 269 U. S. 328, 269 U. S. 337. The “political question” doctrine, in this aspect, reflects the policies underlying the requirement of “standing”: that the litigant who would challenge official

Page 369 U. S. 287

action must claim infringement of an interest particular and personal to himself, as distinguished from a cause of dissatisfaction with the general frame and functioning of government — a complaint that the political institutions are awry. See Stearns v. Wood, 236 U. S. 75; Fairchild v. Hughes, 258 U. S. 126; United Public Workers v. Mitchell, 330 U. S. 75, 330 U. S. 89-91. What renders cases of this kind nonjusticiable is not necessarily the nature of the parties to them, for the Court has resolved other issues between similar parties; [Footnote 4/17] nor is it the nature of the legal question involved, for the same type of question has been adjudicated when presented in other forms of controversy. [Footnote 4/18] The crux of the matter is that courts are not fit instruments of decision where what is essentially at stake is the composition of those large contests of policy traditionally fought out in nonjudicial forums, by which governments and the actions of governments are made and unmade. See Texas v. White, 7 Wall. 700; White v. Hart, 13 Wall. 646; Phillips v. Payne, 92 U. S. 130; Marsh v. Burroughs, 1 Woods 463, 471-472 (Bradley, Circuit Justice); cf. Wilson v. Shaw, 204 U. S. 24; but see Coyle v. Smith, 221 U. S. 559. Thus, where the Cherokee Nation sought by an original motion to restrain the State of Georgia from the enforcement of laws which assimilated Cherokee territory to the State’s counties, abrogated Cherokee law, and abolished Cherokee government, the Court held that such a claim was not judicially cognizable. Cherokee Nation v. Georgia, 5 Pet. 1. [Footnote 4/19] And in Georgia

Page 369 U. S. 288

v. Stanton, 6 Wall. 73 U. S. 50, the Court dismissed for want of jurisdiction a bill by the State of Georgia seeking to enjoin enforcement of the Reconstruction Acts on the ground that the command by military districts which they established extinguished existing state government and replaced it with a form of government unauthorized by the Constitution: [Footnote 4/20]

“That these matters, both as stated in the body of the bill and in the prayers for relief, call for the judgment of the court upon political questions, and upon rights not of persons or property, but of a political character, will hardly be denied. For the rights for the protection of which our authority is invoked are the rights of sovereignty, of political jurisdiction, of government, of corporate existence as a State, with all its constitutional powers and privileges. No case of private rights or private property infringed, or in danger of actual or threatened infringement, is presented by the bill, in a judicial form, for the judgment of the court.”

Id. at 73 U. S. 77. [Footnote 4/21]

Page 369 U. S. 289

5. The influence of these converging considerations — the caution not to undertake decision where standards meet for judicial judgment are lacking, the reluctance to interfere with matters of state government in the absence of an unquestionable and effectively enforceable mandate, the unwillingness to make courts arbiters of the broad issues of political organization historically committed to other institutions and for whose adjustment the judicial process is ill-adapted — has been decisive of the settled line of cases, reaching back more than a century, which holds that Art. IV, § 4, of the Constitution, guaranteeing to the States “a Republican Form of Government,” [Footnote 4/22] is not enforceable through the courts. E.g., O’Neill v. Leamer, 239 U. S. 244; Mountain Timber Co. v. Washington, 243 U. S. 219; Cochran v. Board of Education, 281 U. S. 370; Highland Farms Dairy, Inc., v. Anew, 300 U. S. 608. [Footnote 4/23] Claims resting on this specific

Page 369 U. S. 290

guarantee of the Constitution have been held nonjusticiable which challenged state distribution of powers between the legislative and judicial branches, Ohio ex rel. Bryant v. Akron Metropolitan Park District, 281 U. S. 74, state delegation of power to municipalities, Kiernan v. Portland, Oregon, 223 U. S. 151, state adoption of the referendum as a legislative institution, Ohio ex rel. Davis v. Hildebrant, 241 U. S. 565, 241 U. S. 569, and state restriction upon the power of state constitutional amendment, Marshall v. Dye, 231 U. S. 250, 231 U. S. 256-257. The subject was fully considered in Pacific States Telephone & Telegraph Co. v. Oregon, 223 U. S. 118, in which the Court dismissed for want of jurisdiction a writ of error attacking a state license tax statute enacted by the initiative, on the claim that this mode of legislation was inconsistent with a Republican Form of Government and violated the Equal Protection Clause and other federal guarantees. After noting

“. . . the ruinous destruction of legislative authority in matters purely political which would necessarily be occasioned by giving sanction

Page 369 U. S. 291

to the doctrine which underlies and would be necessarily involved in sustaining the propositions contended for, [Footnote 4/24]“

the Court said:

“. . . [The] essentially political nature [of this claim] is at once made manifest by understanding that the assault which the contention here advanced makes it [sic] not on the tax as a tax, but on the State as a State. It is addressed to the framework and political character of the government by which the statute levying the tax was passed. It is the government, the political entity, which (reducing the case to its essence) is called to the bar of this court not for the purpose of testing judicially some exercise of power assailed, on the ground that its exertion

Page 369 U. S. 292

has injuriously affected the rights of an individual because of repugnancy to some constitutional limitation, but to demand of the State that it establish its right to exist as a State, republican in form.”

Id. at 223 U. S. 150-151.

The starting point of the doctrine applied in these cases is, of course, Luther v. Borden, 7 How. 1. The case arose out of the Dorr Rebellion in Rhode Island in 1841-1842. Rhode Island, at the time of the separation from England, had not adopted a new constitution, but had continued, in its existence as an independent State, under its original royal Charter, with certain statutory alterations. This frame of government provided no means for amendment of the fundamental law; the right of suffrage was to be prescribed by legislation, which limited it to freeholders. In the 1830′s, largely because of the growth of towns in which there developed a propertied class whose means were not represented by freehold estates, dissatisfaction arose with the suffrage qualifications of the charter government. In addition, population shifts had caused a dated apportionment of seats in the lower house to yield substantial numerical inequality of political influence, even among qualified voters. The towns felt themselves underrepresented, and agitation began for electoral reform. When the charter government failed to respond, popular meetings of those who favored the broader suffrage were held and delegates elected to a convention which met and drafted a state constitution. This constitution provided for universal manhood suffrage (with certain qualifications), and it was to be adopted by vote of the people at elections at which a similarly expansive franchise obtained. This new scheme of government was ratified at the polls and declared effective by the convention, but the government elected and organized under it, with Dorr at its head, never came to power. The

Page 369 U. S. 293

charter government denied the validity of the convention, the constitution and its government and, after an insignificant skirmish, routed Dorr and his followers. It meanwhile provided for the calling of its own convention, which drafted a constitution that went peacefully into effect in 1843. [Footnote 4/25]

Luther v. Borden was a trespass action brought by one of Dorr’s supporters in a United States Circuit Court to recover damages for the breaking and entering of his house. The defendants justified under military orders pursuant to martial law declared by the charter government, and plaintiff, by his reply, joined issue on the legality of the charter government subsequent to the adoption of the Dorr constitution. Evidence offered by the plaintiff tending to establish that the Dorr government was the rightful government of Rhode Island was rejected by the Circuit Court; the court charged the jury that the charter government was lawful, and, on a verdict for defendants, plaintiff brought a writ of error to this Court.

The Court, through Mr. Chief Justice Taney, affirmed. After noting that the issue of the charter government’s legality had been resolved in that government’s favor by the state courts of Rhode Island — that the state courts, deeming the matter a political one unfit for judicial determination, had declined to entertain attacks upon the existence and authority of the charter government — the Chief Justice held that the courts of the United States must follow those of the State in this regard. Id. at 48 U. S. 39-40. It was recognized that the compulsion to follow

Page 369 U. S. 294

state law would not apply in a federal court in the face of a superior command found in the Federal Constitution, ibid., but no such command was found. The Constitution, the Court said — referring to the Guarantee Clause of the Fourth Article –

“. . . as far as it has provided for an emergency of this kind, and authorized the general government to interfere in the domestic concerns of a State, has treated the subject as political in its nature, and placed the power in the hands of that department.”

Id. at 48 U. S. 42.

“Under this article of the Constitution, it rests with Congress to decide what government is the established one in a State. For, as the United States guarantee to each State a republican government, Congress must necessarily decide what government is established in the State before it can determine whether it is republican or not. And when the senators and representatives of a State are admitted into the councils of the Union, the authority of the government under which they are appointed, as well as its republican character, is recognized by the proper constitutional authority. And its decision is binding on every other department of the government, and could not be questioned in a judicial tribunal. It is true that the contest in this case did not last long enough to bring the matter to this issue, and as no senators or representatives were elected under the authority of the government of which Mr. Dorr was the head, Congress was not called upon to decide the controversy. Yet the right to decide is placed there, and not in the courts.”

Ibid. [Footnote 4/26]

Page 369 U. S. 295

In determining this issue nonjusticiable, the Court was sensitive to the same considerations to which its later decisions have given the varied applications already discussed. It adverted to the delicacy of judicial intervention into the very structure of government. [Footnote 4/27] It acknowledged that tradition had long entrusted questions of this nature to nonjudicial processes, [Footnote 4/28] and that judicial processes were unsuited to their decision. [Footnote 4/29] The absence of guiding standards for judgment was critical, for the question whether the Dorr constitution had been rightfully adopted depended, in part, upon the extent of the franchise to be recognized — the very point of contention over which rebellion had been fought.

“. . . [I]f the Circuit Court had entered upon this inquiry, by what rule could it have determined the qualification of voters upon the adoption or rejection of the proposed constitution, unless there was some previous law of the State to guide it? It is the province of a court to expound the law, not to make it. And certainly it is no part of the judicial functions of any court of the United States to prescribe the qualification of voters in a State, giving the right to those to whom it is denied by the written and established constitution and laws of the State, or taking it away from those to whom it is given; nor has it the right to determine what political privileges

Page 369 U. S. 296

the citizens of a State are entitled to, unless there is an established constitution or law to govern its decision.”

Id. at 48 U. S. 41.

Mr. Justice Woodbury (who dissented with respect to the effect of martial law) agreed with the Court regarding the inappropriateness of judicial inquiry into the issues:

“But, fortunately for our freedom from political excitements in judicial duties, this court can never with propriety be called on officially to be the umpire in questions merely political. The adjustment of these questions belongs to the people and their political representatives, either in the State or general government. These questions relate to matters not to be settled on strict legal principles. They are adjusted rather by inclination — or prejudice or compromise, often. Some of them succeed or are defeated even by public policy alone, or mere naked power, rather than intrinsic right. . . .”

“Another evil, alarming and little foreseen, involved in regarding these as questions for the final arbitrament of judges would be that, in such an event. all political privileges and rights would, in a dispute among the people, depend on our decision finally. . . . [D]isputed points in making constitutions, depending often, as before shown, on policy, inclination, popular resolves, and popular will, . . . if the people, in the distribution of powers under the constitution, should ever think of making judges supreme arbiters in political controversies, when not selected by nor, frequently, amenable to them, nor at liberty to follow such various considerations in their judgments as belong to mere political questions, they will dethrone themselves and lose one of their own invaluable birthrights; building up in this way — slowly, but surely — a new sovereign power in the

Page 369 U. S. 297

republic, in most respects irresponsible and unchangeable for life, and one more dangerous, in theory at least, than the worst elective oligarchy in the worst of times. . . .”

Id. at 48 U. S. 51-53. [Footnote 4/30]

III

The present case involves all of the elements that have made the Guarantee Clause cases nonjusticiable. It is, in effect, a Guarantee Clause claim masquerading under a different label. But it cannot make the case more fit for judicial action that appellants invoke the Fourteenth Amendment, rather than Art. IV, § 4, where, in fact, the gist of their complaint is the same — unless it can be found that the Fourteenth Amendment speaks with greater particularity to their situation. We have been admonished to avoid “the tyranny of labels.” Snyder v. Massachusetts, 291 U. S. 97, 291 U. S. 114. Art. IV, § 4, is not committed by express constitutional terms to Congress. It is the nature of the controversies arising under it, nothing else, which has made it judicially unenforceable. Of course, if a controversy falls within judicial power, it depends “on how he [the plaintiff] casts his action,” Pan American Petroleum Corp. v. Superior Court, 366 U. S. 656, 366 U. S. 662, whether he brings himself within a jurisdictional statute. But where judicial competence is wanting, it cannot be created by invoking one clause of the Constitution rather than another. When what was essentially a Guarantee Clause claim was sought to be laid, as well, under the Equal Protection Clause in Pacific States Telephone & Telegraph Co. v. Oregon, supra, the Court had no difficulty in “dispelling

Page 369 U. S. 298

any mere confusion resulting from forms of expression and considering the substance of things. . . .” 223 U.S. at 223 U. S. 140.

Here, appellants attack “the State as a State,” precisely as it was perceived to be attacked in the Pacific States case, id. at 223 U. S. 150. Their complaint is that the basis of representation of the Tennessee Legislature hurts them. They assert that “a minority now rules in Tennessee,” that the apportionment statute results in a “distortion of the constitutional system,” that the General Assembly is no longer “a body representative of the people of the State of Tennessee,” all “contrary to the basic principle of representative government. . . .” Accepting appellants’ own formulation of the issue, one can know this handsaw from a hawk. Such a claim would be nonjusticiable not merely under Art. IT, § 4, but under any clause of the Constitution, by virtue of the very fact that a federal court is not a forum for political debate. Massachusetts v. Mellon, supra.

But appellants, of course, do not rest on this claim simpliciter. In invoking the Equal Protection Clause, they assert that the distortion of representative government complained of is produced by systematic discrimination against them, by way of “a debasement of their votes. . . .” Does this characterization, with due regard for the facts from which it is derived, add anything to appellants’ case? [Footnote 4/31]

At first blush, this charge of discrimination based on legislative underrepresentation is given the appearance of

Page 369 U. S. 299

a more private, less impersonal, claim than the assertion that the frame of government is askew. Appellants appear as representatives of a class that is prejudiced as a class, in contradistinction to the polity in its entirety. However, the discrimination relied on is the deprivation of what appellants conceive to be their proportionate share of political influence. This, of course, is the practical effect of any allocation of power within the institutions of government. Hardly any distribution of political authority that could be assailed as rendering government nonrepublican would fail similarly to operate to the prejudice of some groups, and to the advantage of others, within the body politic. It would be ingenuous not to see, or consciously blind to deny, that the real battle over the initiative and referendum, or over a delegation of power to local, rather than statewide authority, is the battle between forces whose influence is disparate among the various organs of government to whom power may be given. No shift of power but works a corresponding shift in political influence among the groups composing a society.

What, then, is this question of legislative apportionment? Appellants invoke the right to vote and to have their votes counted. [Footnote 4/32] But they are permitted to vote, and their votes are counted. They go to the polls, they cast their ballots, they send their representatives to the state

Page 369 U. S. 300

councils. Their complaint is simply that the representatives are not sufficiently numerous or powerful — in short, that Tennessee has adopted a basis of representation with which they are dissatisfied. Talk of “debasement” or “dilution” is circular talk. One cannot speak of “debasement” or “dilution” of the value of a vote until there is first defined a standard of reference as to what a vote should be worth. What is actually asked of the Court in this case is to choose among competing bases of representation — ultimately, really, among competing theories of political philosophy — in order to establish an appropriate frame of government for the State of Tennessee, and thereby for all the States of the Union.

In such a matter, abstract analogies which ignore the facts of history deal in unrealities; they betray reason. This is not a case in which a State has, through a device however oblique and sophisticated, denied Negroes or Jews or redheaded persons a vote, or given them only a third or a sixth of a vote. That was Gomillion v. Lightfoot, 364 U. S. 339. What Tennessee illustrates is an old and still widespread method of representation — representation by local geographical division, only in part respective of population — in preference to others, others, forsooth, more appealing. Appellants contest this choice, and seek to make this Court the arbiter of the disagreement. They would make the Equal Protection Clause the charter of adjudication, asserting that the equality which it guarantees comports, if not the assurance of equal weight to every voter’s vote, at least the basic conception that representation ought to be proportionate to population, a standard by reference to which the reasonableness of apportionment plans may be judged.

To find such a political conception legally enforceable in the broad and unspecific guarantee of equal protection is to rewrite the Constitution. See Luther v. Borden, supra. Certainly “equal protection” is no more secure

Page 369 U. S. 301

a foundation for judicial judgment of the permissibility of varying forms of representative government than is “Republican Form.” Indeed, since “equal protection of the laws” can only mean an equality of persons standing in the same relation to whatever governmental action is challenged, the determination whether treatment is equal presupposes a determination concerning the nature of the relationship. This, with respect to apportionment, means an inquiry into the theoretic base of representation in an acceptably republican state. For a court could not determine the equal protection issue without, in fact, first determining the Republican Form issue, simply because what is reasonable for equal protection purposes will depend upon what frame of government, basically, is allowed. To divorce “equal protection” from “Republican Form” is to talk about half a question.

The notion that representation proportioned to the geographic spread of population is so universally accepted as a necessary element of equality between man and man that it must be taken to be the standard of a political equality preserved by the Fourteenth Amendment — that it is, in appellants’ words “the basic principle of representative government” — is, to put it bluntly, not true. However desirable and however desired by some among the great political thinkers and framers of our government, it has never been generally practiced, today or in the past. It was not the English system, it was not the colonial system, it was not the system chosen for the national government by the Constitution, it was not the system exclusively or even predominantly practiced by the States at the time of adoption of the Fourteenth Amendment, it is not predominantly practiced by the States today. Unless judges, the judges of this Court, are to make their private views of political wisdom the measure of the Constitution — views which, in all honesty, cannot but give the appearance, if not reflect the reality, of

Page 369 U. S. 302

involvement with the business of partisan politics so inescapably a part of apportionment controversies — the Fourteenth Amendment, “itself a historical product,” Jackman v. Rosenbaum Co., 260 U. S. 22, 260 U. S. 31, provides no guide for judicial oversight of the representation problem.

1. Great Britain. Writing in 1958, Professor W. J. M. Mackenzie aptly summarized the British history of the principle of representation proportioned to population:

“‘Equal electoral districts’ formed part of the programme of radical reform in England in the 1830′s, the only part of that programme which has not been realised. [Footnote 4/33]“

Until the late nineteenth century, the sole base of representation (with certain exceptions not now relevant) was the local geographical unit: each county or borough returned its fixed number of members, usually two for the English units, regardless of population. [Footnote 4/34] Prior to the Reform Act of 1832, this system was marked by the almost total disfranchisement of the populous northern industrial centers, which had grown to significant size at the advent of the Industrial Revolution and had not been granted borough representation, and by the existence of the rotten borough, playing its substantial part in the Crown’s struggle for continued control of the Commons. [Footnote 4/35] In 1831, ten southernmost English counties, numbering three and a quarter million people, had two hundred and thirty-five parliamentary representatives, while the six northernmost counties, with more than three and a half million people, had sixty-eight. [Footnote 4/36] It was said that one hundred and eighty persons appointed three hundred and

Page 369 U. S. 303

fifty members in the Commons. [Footnote 4/37] Less than a half century earlier, Madison, in the Federalist, had remarked that half the House was returned by less than six thousand of the eight million people of England and Scotland. [Footnote 4/38]

The Act of 1832, the product of a fierce partisan political struggle and the occasion of charges of gerrymandering not without foundation, [Footnote 4/39] effected eradication of only the most extreme numerical inequalities of the unreformed system. It did not adopt the principle of representation based on population, but merely disfranchised certain among the rotten borough and enfranchised most of the urban centers — still quite without regard to their relative numbers. [Footnote 4/40] In the wake of the Act, there remained substantial electoral inequality: the boroughs of Cornwall were represented sixteen times as weightily, judged by population, as the county’s eastern division; the average ratio of seats to population in ten agricultural counties was four and a half times that in ten manufacturing divisions; Honiton, with about three thousand inhabitants, was equally represented with Liverpool, which had four hundred thousand. [Footnote 4/41] In 1866, apportionment by population began to be advocated generally in the House, but was not made the basis of the redistribution of 1867, although the act of that year did apportion representation more evenly, gauged by the population standard. [Footnote 4/42] Population shifts increased the surviving inequalities; by 1884, the representation ratio

Page 369 U. S. 304

in many small boroughs was more than twenty-two times that of Birmingham or Manchester, forty-to-one disparities could be found elsewhere, and, in sum, in the 1870′s and 1880′s, a fourth of the electorate returned two-thirds of the members of the House. [Footnote 4/43]

The first systematic English attempt to distribute seats by population was the Redistribution Act of 1885. [Footnote 4/44] The statute still left ratios of inequality of as much as seven to one, [Footnote 4/45] which had increased to fifteen to one by 1912. [Footnote 4/46] In 1918, Parliament again responded to “shockingly bad” conditions of inequality, [Footnote 4/47] and to partisan political inspiration, [Footnote 4/48] by redistribution. [Footnote 4/49] In 1944, redistribution was put on a periodic footing by the House of Commons (Redistribution of Seats) Act of that year, [Footnote 4/50] which committed a continuing primary responsibility for reapportioning the Commons to administrative agencies (Boundary Commissions for England, Scotland, Wales and Northern Ireland, respectively). [Footnote 4/51] The Commissions, having regard to certain rules prescribed for their guidance, are to prepare at designated intervals reports for the Home Secretary’s submission to Parliament, along with the draft of an Order in Council to give effect to the

Page 369 U. S. 305

Commissions’ recommendations. The districting rules adopt the basic principle of representation by population, although the principle is significantly modified by directions to respect local geographic boundaries as far as practicable, and by discretion to take account of special geographical conditions, including the size, shape and accessibility of constituencies. Under the original 1944 Act, the rules provided that (subject to the exercise of the discretion respecting special geographical conditions and to regard for the total size of the House of Commons as prescribed by the Act) so far as practicable, the single-member districts should not deviate more than twenty-five percent from the electoral quota (population divided by number of constituencies). However, apparently at the recommendation of the Boundary Commission for England, the twenty-five percent standard was eliminated as too restrictive in 1947, and replaced by the flexible provision that constituencies are to be as near the electoral quota as practicable, a rule which is expressly subordinated both to the consideration of special geographic conditions and to that of preserving local boundaries. [Footnote 4/52] Free of the twenty-five percent rule, the Commissions drew up plans of distribution in which inequalities among the districts run, in ordinary cases, as high as two to one and, in the case of a few extraordinary constituencies, three to one. [Footnote 4/53] The action of the Boundary Commission for England was twice challenged in the courts in 1954 — the claim being that the Commission had violated statutory rules

Page 369 U. S. 306

prescribing the standards for its judgment — and, in both cases, the Judges declined to intervene. In Hammersmith Borough Council v. Boundary Commission for England, [Footnote 4/54] Harman, J., was of opinion that the nature of the controversy and the scheme of the Acts made the matter inappropriate for judicial interference, and in Harper v. Home Secretary, [Footnote 4/55] the Court of Appeal, per Evershed, M.R., quoting Harman, J., with approval, adverting to the wide range of discretion entrusted to the Commission under the Acts, and remarking the delicate character of the parliamentary issues in which it was sought to engage the court, reached the same conclusion. [Footnote 4/56]

The House of Commons (Redistribution of Seats) Act, 1958, [Footnote 4/57] made two further amendments to the law. Responsive to the recommendation of the Boundary Commission for England, [Footnote 4/58] the interval permitted between Commission reports was more than doubled, to a new maximum of fifteen years. [Footnote 4/59] And at the suggestion of the same Commission that

“[i]t would ease the future labours of the Commission and remove much local irritation if Rule 5 [requiring that the electorate of each constituency be as near the electoral quota as practicable] were to be so amended as to allow us to make recommendations preserving the status quo in any area where such a course appeared to be desirable and not inconsistent

Page 369 U. S. 307

with the broad intention of the Rules, [Footnote 4/60]“

the Commissions were directed to consider the inconveniences attendant upon the alteration of constituencies, and the local ties which such alteration might break. The Home Secretary’s view of this amendment was that it worked to erect “a presumption against making changes unless there is a very strong case for them.” [Footnote 4/61]

2. The Colonies and the Union. For the guiding political theorists of the Revolutionary generation, the English system of representation, in its most salient aspects of numerical inequality, was a model to be avoided, not followed. [Footnote 4/62] Nevertheless, the basic English principle of apportioning representatives among the local governmental entities, towns or counties, rather than among units of approximately equal population, had early taken root in the colonies. [Footnote 4/63] In some, as in Massachusetts and Rhode Island, numbers of electors were taken into account, in a rough fashion, by allotting increasing fixed quotas of representatives to several towns or classes of towns graduated by population, but in most of the colonies, delegates were allowed to the local units without respect to numbers. [Footnote 4/64] This resulted in grossly unequal electoral units. [Footnote 4/65] The representation ratio in one North Carolina county was more than eight times that, in another. [Footnote 4/66] Moreover, American rotten boroughs had appeared, [Footnote 4/67] and apportionment was made an instrument first in the political

Page 369 U. S. 308

struggles between the King or the royal governors and the colonial legislatures, [Footnote 4/68] and, later, between the older tidewater regions in the colonies and the growing interior. [Footnote 4/69] Madison, in the Philadelphia Convention, adverted to the “inequality of the Representation in the Legislatures of particular States, . . .” [Footnote 4/70] arguing that it was necessary to confer on Congress the power ultimately to regulate the times, places and manner of selecting Representatives, [Footnote 4/71] in order to forestall the overrepresented counties’ securing themselves a similar overrepresentation in the national councils. The example of South Carolina, where Charleston’s overrepresentation was a continuing bone of contention between the tidewater and the back country, was cited by Madison in the Virginia Convention and by King in the Massachusetts Convention, in support of the same power, and King also spoke of the extreme numerical inequality arising from Connecticut’s town representation system. [Footnote 4/72]

Such inequalities survived the constitutional period. The United States Constitution itself did not largely adopt the principle of numbers. Apportionment of the national legislature among the States was one of the most difficult problems for the Convention; [Footnote 4/73] its solution — involving State representation in the Senate [Footnote 4/74] and the three-fifths compromise in the House [Footnote 4/75] — left neither chamber apportioned proportionately to population.

Page 369 U. S. 309

Within the States, electoral power continued to be allotted to favor the tidewater. [Footnote 4/76] Jefferson, in his Notes on Virginia, recorded the “very unequal” representation there: individual counties differing in population by a ratio of more than seventeen to one elected the same number of representatives, and those nineteen thousand of Virginia’s fifty thousand men who lived between the falls of the rivers and the seacoast returned half the State’s senators and almost half its delegates. [Footnote 4/77] In South Carolina in 1790, the three lower districts, with a white population of less than twenty-nine thousand, elected twenty senators and seventy assembly members; while, in the uplands, more than one hundred and eleven thousand white persons elected seventeen senators and fifty-four assemblymen. [Footnote 4/78]

In the early nineteenth century, the demands of the interior became more insistent. The apportionment quarrel in Virginia was a major factor in precipitating the calling of a constitutional convention in 1829. Bitter animosities racked the convention, threatening the State with disunion. At last, a compromise which gave the three hundred and twenty thousand people of the west thirteen senators, as against the nineteen senators returned by the three hundred sixty-three thousand people of the east, commanded agreement. It was adopted at the polls, but left the western counties so dissatisfied that there were threats of revolt and realignment with the State of Maryland. [Footnote 4/79]

Maryland, however, had her own numerical disproportions. In 1820, one representative vote in Calvert County

Page 369 U. S. 310

was worth five in Frederick County, and almost two hundred thousand people were represented by eighteen members, while fifty thousand others elected twenty. [Footnote 4/80] This was the result of the county representation system of allotment. And, except for Massachusetts, which, after a long struggle, did adopt representation by population at the mid-century, a similar town representation principle continued to prevail in various forms throughout New England, with all its attendant, often gross, inequalities. [Footnote 4/81]

3. The States at the time of ratification of the Fourteenth Amendment, and those later admitted. The several state conventions throughout the first half of the nineteenth century were the scenes of fierce sectional and party strifes respecting the geographic allocation of representation. [Footnote 4/82] Their product was a wide variety of apportionment methods which recognized the element of population in differing ways and degrees. Particularly pertinent to appraisal of the contention that the Fourteenth Amendment embodied a standard limiting the freedom of the States with regard to the principles and bases of local legislative apportionment is an examination of the apportionment provisions of the thirty-three States which ratified the Amendment between 1866 and 1870, at their respective times of ratification. These may be considered in two groups: (A) the ratifying States other than the ten Southern States whose constitutions, at the time of ratification or shortly thereafter, were the work of the Reconstruction Act conventions; [Footnote 4/83] and

Page 369 U. S. 311

(B) the ten Reconstruction-Act States. All thirty-three are significant, because they demonstrate how unfounded is the assumption that the ratifying States could have agreed on a standard apportionment theory or practice, and how baseless the suggestion that, by voting for the Equal Protection Clause, they sought to establish a test mold for apportionment which — if appellants’ argument is sound — struck down sub silentio not a few of their own state constitutional provisions. But the constitutions of the ten Reconstruction Act States have an added importance, for it is scarcely to be thought that the Congress which was so solicitous for the adoption of the Fourteenth Amendment as to make the readmission of the late rebel States to Congress turn on their respective ratifications of it, would have approved constitutions which — again, under appellants’ theory — contemporaneously offended the Amendment.

A. Of the twenty-three ratifying States of the first group, seven or eight had constitutions which demanded or allowed apportionment of both houses on the basis of population, [Footnote 4/84] unqualifiedly or with only qualifications respecting the preservation of local boundaries. [Footnote 4/85] Three

Page 369 U. S. 312

more apportioned on what was essentially a population base, but provided that, in one house, counties having a specified fraction of a ratio — a moiety or two-thirds — should have a representative. [Footnote 4/86] Since each of these three States limited the size of their chambers, the fractional rule could operate — and, at least in Michigan, has, in fact, operated [Footnote 4/87] — to produce substantial numerical inequalities

Page 369 U. S. 313

in favor of the sparsely populated counties. [Footnote 4/88] Iowa favored her small counties by the rule that no more than four counties might be combined in a representative district, [Footnote 4/89] and New York and Kansas compromised population and county representation principles by assuring every county, regardless of the number of its inhabitants, at least one seat in their respective Houses. [Footnote 4/90]

Ohio and Maine recognized the factor of numbers by a different device. The former gave a House representative to each county having half a ratio, two representatives for a ratio and three-quarters, three representatives for three ratios, and a single additional representative for each additional ratio. [Footnote 4/91] The latter, after apportioning among counties on a population base, gave each town of fifteen hundred inhabitants one representative, each town of three thousand, seven hundred and fifty inhabitants two representatives, and so on in increasing intervals to twenty-six thousand, two hundred and fifty inhabitants — towns of that size or larger receiving the maximum permitted number of representatives: seven. [Footnote 4/92] The departure from numerical equality under these systems is apparent: in Maine, assuming the incidence of towns in

Page 369 U. S. 314

all categories, representative ratios would differ by factors of two and a half to one, at a minimum. Similarly, Missouri gave each of its counties, however small, one representative, two representatives for three ratios, three representatives for six ratios, and one additional representative for each three ratios above six. [Footnote 4/93] New Hampshire allotted a representative to each town of one hundred and fifty ratable male polls of voting age and one more representative for each increment of three hundred above that figure; [Footnote 4/94] its Senate was not apportioned by population, but among districts based on the proportion of direct taxes paid. [Footnote 4/95] In Pennsylvania, the basis of apportionment in both houses was taxable inhabitants, and in the House, every county of at least thirty-five hundred taxables had a representative, nor could more than three counties be joined in forming a representative district; while, in the Senate, no city or county could have more than four of the State’s twenty-five to thirty-three senators. [Footnote 4/96]

Finally, four States apportioned at least one House with no regard whatever to population. In Connecticut, [Footnote 4/97] and Vermont [Footnote 4/98] representation in the House was on a town basis; Rhode Island gave one senator to each of its towns or cities, [Footnote 4/99] and New Jersey one to each of its counties. [Footnote 4/100]

Page 369 U. S. 315

Nor, in any of these States, was the other House apportioned on a strict principle of equal numbers: Connecticut gave each of its counties a minimum of two senators [Footnote 4/101] and Vermont, one; [Footnote 4/102] New Jersey assured each county a representative; [Footnote 4/103] and, in Rhode Island, which gave at least one representative to each town or city, no town or city could have more than one-sixth of the total number in the House. [Footnote 4/104]

B. Among the ten late Confederate States affected by the Reconstruction Acts, in only four did it appear that apportionment of both state legislative houses would or might be based strictly on population. [Footnote 4/105] In North Carolina, [Footnote 4/106] South Carolina, [Footnote 4/107] Louisiana, [Footnote 4/108] and Alabama, [Footnote 4/109] each county (in the case of Louisiana, each parish) was assured at least one seat in the lower House irrespective of numbers — a distribution which exhausted, respectively,

Page 369 U. S. 316

on the basis of the number of then-existing counties, three-quarters, one-quarter, two-fifths and three-fifths of the maximum possible number of representatives, before a single seat was available for assignment on a population basis, and, in South Carolina, moreover, the Senate was composed of one member elected from each county, except that Charleston sent two. [Footnote 4/110] In Florida’s House, each county had one seat guaranteed and an additional seat for every thousand registered voters up to a maximum of four representatives, [Footnote 4/111] while Georgia, whose Senate seats were distributed among forty-four single member districts each composed of three contiguous counties, [Footnote 4/112] assigned representation in its House as follows: three seats to each of the six most populous counties, two to each of the thirty-one next most populous, one to each of the remaining ninety-five. [Footnote 4/113] As might be expected, the “one representative per county” minimum pattern has proved incompatible with numerical equality, [Footnote 4/114] and Georgia’s

Page 369 U. S. 317

county-clustering system has produced representative ratio disparities, between the largest and smallest counties, of more than sixty to one. [Footnote 4/115]

C. The constitutions [Footnote 4/116] of the thirteen States which Congress admitted to the Union after the ratification of the Fourteenth Amendment showed a similar pattern. Six of them required or permitted apportionment of both Houses by population, subject only to qualifications concerning local boundaries. [Footnote 4/117] Wyoming, apportioning by population, guaranteed to each of its counties at least one seat in each House, [Footnote 4/118] and Idaho, which prescribed (after the first legislative session) that apportionment should be “as may be provided by law,” gave each county at least one representative. [Footnote 4/119] In Oklahoma, House members were apportioned among counties so as to give one

Page 369 U. S. 318

seat for half a ratio, two for a ratio and three-quarters, and one for each additional ratio up to a maximum of seven representatives per county. [Footnote 4/120] Montana required reapportionment of its House on the basis of periodic enumerations according to ratios to be fixed by law, [Footnote 4/121] but its counties were represented as counties in the Senate, each county having one senator. [Footnote 4/122] Alaska [Footnote 4/123] and Hawaii [Footnote 4/124] each apportioned a number of senators among constitutionally fixed districts; their respective Houses were to be periodically reapportioned by population, subject to a moiety rule in Alaska [Footnote 4/125] and to Hawaii’s guarantee of one representative to each of four constitutionally designated areas. [Footnote 4/126] The Arizona Constitution assigned representation to each county in each house, giving one or two senators and from one to seven representatives to each, and making no provision for reapportionment. [Footnote 4/127]

Page 369 U. S. 319

4. Contemporary apportionment. Detailed recent studies are available to describe the present-day constitutional and statutory status of apportionment in the fifty States. [Footnote 4/128] They demonstrate a decided twentieth-century trend away from population as the exclusive base of representation. Today, only a dozen state constitutions provide for periodic legislative reapportionment of both houses by a substantially unqualified application of the population standard, [Footnote 4/129] and only about a dozen more prescribe such reapportionment for even a single chamber.

“Specific provision for county representation in at least one house of the state legislature has been increasingly adopted since the end of the 19th century. [Footnote 4/130]“

More than twenty States now guarantee each county at least one seat in one of their houses regardless of population, and in nine others county or town units are given equal representation in one legislative branch, whatever the number of each unit’s inhabitants. Of course, numerically considered, “These provisions invariably result in over-representation of the least populated areas.” [Footnote 4/131] And in an effort to curb the political dominance of metropolitan regions, at least ten States now limit the maximum entitlement of any single county (or, in some cases, city)

Page 369 U. S. 320

in one legislative house — another source of substantial numerical disproportion. [Footnote 4/132]

Moreover, it is common knowledge that the legislatures have not kept reapportionment up to date, even where state constitutions in terms require it. [Footnote 4/133] In particular, the pattern of according greater per capita representation to rural, relatively sparsely populated areas — the same pattern which finds expression in various state constitutional provisions, [Footnote 4/134] and which has been given effect in England and elsewhere [Footnote 4/135] — has, in some of the States, been made the law by legislative inaction in the face of

Page 369 U. S. 321

population shifts. [Footnote 4/136] Throughout the country, urban and suburban areas tend to be given higher representation ratios than do rural areas. [Footnote 4/137]

The stark fact is that, if, among the numerous widely varying principles and practices that control state legislative apportionment today, there is any generally prevailing feature, that feature is geographic inequality in relation to the population standard. [Footnote 4/138] Examples could be endlessly multiplied. In New Jersey, counties of

Page 369 U. S. 322

thirty-five thousand and of more than nine hundred and five thousand inhabitants respectively each have a single senator. [Footnote 4/139] Representative districts in Minnesota range from 7,290 inhabitants to 107,246 inhabitants. [Footnote 4/140] Ratios of senatorial representation in California vary as much as two hundred and ninety-seven to one. [Footnote 4/141] In Oklahoma, the range is ten to one for House constituencies and roughly sixteen to one for Senate constituencies. [Footnote 4/142] Colebrook, Connecticut — population 592 — elects two House representatives; Hartford — population 177,397 — also elects two. [Footnote 4/143] The first, third and fifth of these examples are the products of constitutional provisions which subordinate population to regional considerations in apportionment; the second is the result of legislative inaction; the fourth derives from both constitutional and legislative sources. A survey made in 1955, in sum, reveals that less than thirty percent of the population inhabit districts sufficient to elect a House majority in thirteen States and a Senate majority in nineteen States. [Footnote 4/144] These figures show more than individual variations from a generally accepted standard of electoral equality. They show that there is not — as there has never been — a standard by

Page 369 U. S. 323

which the place of equality as a factor in apportionment can be measured.

Manifestly, the Equal Protection Clause supplies no clearer guide for judicial examination of apportionment methods than would the Guarantee Clause itself. Apportionment, by its character, is a subject of extraordinary complexity, involving — even after the fundamental theoretical issues concerning what is to be represented in a representative legislature have been fought out or compromised — considerations of geography, demography, electoral convenience, economic and social cohesions or divergencies among particular local groups, communications, the practical effects of political institutions like the lobby and the city machine, ancient traditions and ties of settled usage, respect for proven incumbents of long experience and senior status, mathematical mechanics, censuses compiling relevant data, and a host of others. [Footnote 4/145]

Page 369 U. S. 324

Legislative responses throughout the country to the reapportionment demands of the 1960 Census have glaringly confirmed that these are not factors that lend themselves to evaluations of a nature that are the staple of judicial determinations or for which judges are equipped to adjudicate by legal training or experience or native wit. And this is the more so true because, in every strand of this complicated, intricate web of values meet the contending forces of partisan politics. [Footnote 4/146] The practical significance of apportionment is that the next election results may differ because of it. Apportionment battles are overwhelmingly party or intra-party contests. [Footnote 4/147] It will add a virulent source of friction and tension in federal-state relations to embroil the federal judiciary in them. [Footnote 4/148]

Page 369 U. S. 325

IV

Appellants, however, contend that the federal courts may provide the standard which the Fourteenth Amendment lacks by reference to the provisions of the constitution of Tennessee. The argument is that, although the same or greater disparities of electoral strength may be suffered to exist immune from federal judicial review in States where they result from apportionment legislation consistent with state constitutions, the Tennessee Legislature may not abridge the rights which, on its face, its own constitution appears to give, without by that act denying equal protection of the laws. It is said that the law of Tennessee, as expressed by the words of its written constitution, has made the basic choice among policies in favor of representation proportioned to population, and that it is no longer open to the State to allot its voting power on other principles.

This reasoning does not bear analysis. Like claims invoking state constitutional requirement have been rejected here, and for good reason. It is settled that whatever federal consequences may derive from a discrimination worked by a state statute must be the same as if the same discrimination were written into the

Page 369 U. S. 326

State’s fundamental law. Nashville, C. & St.L. R. Co. v. Browning, 310 U. S. 362. And see Castillo v. McConnico, 168 U. S. 674; Coulter v. Louisville & N. R. Co., 196 U. S. 599, 196 U. S. 608-609; Owensboro Waterworks Co. v. Owensboro, 200 U. S. 38; Hebert v. Louisiana, 272 U. S. 312, 272 U. S. 316-317; Snowden v. Hughes, 321 U. S. 1, 321 U. S. 11. Appellants complain of a practice which, by their own allegations, has been the law of Tennessee for sixty years. They allege that the Apportionment Act of 1901 created unequal districts when passed, and still maintains unequal districts. They allege that the Legislature has, since 1901, purposefully retained unequal districts. And the Supreme Court of Tennessee has refused to invalidate the law establishing these unequal districts. Kidd v. McCanless, 200 Tenn. 273, 292 S.W.2d 40; appeal dismissed here in 352 U.S. 920. In these circumstances, what was said in the Browning case, supra, at 310 U. S. 369, clearly governs this case:

“. . . Here, according to petitioner’s own claim, all the organs of the state are conforming to a practice, systematic, unbroken for more than forty years, and now questioned for the first time. It would be a narrow conception of jurisprudence to confine the notion of ‘laws’ to what is found written on the statute books, and to disregard the gloss which life has written upon it. Settled state practice cannot supplant constitutional guarantees, but it can establish what is state law. The Equal Protection Clause did not write an empty formalism into the Constitution. Deeply embedded traditional ways of carrying out state policy, such as those of which petitioner complains, are often tougher and truer law than the dead words of the written text. . . . [T]he Equal Protection Clause is not a command of candor. . . . “

Page 369 U. S. 327

Tennessee’s law and its policy respecting apportionment are what 60 years of practice show them to be, not what appellants cull from the unenforced and, according to its own judiciary, unenforceable words of its Constitution. The statute comes here on the same footing, therefore, as would the apportionment laws of New Jersey, California or Connecticut, [Footnote 4/149] and is unaffected by its supposed repugnance to the state constitutional language on which appellants rely. [Footnote 4/150]

In another aspect, however, the Kidd v. McCanless case, supra, introduces a factor peculiar to this litigation, which only emphasizes the duty of declining the exercise of federal judicial jurisdiction. In all of the apportionment cases which have come before the Court, a consideration which has been weighty in determining their nonjusticiability has been the difficulty or impossibility of devising effective judicial remedies in this class of case. An injunction restraining a general election unless the legislature reapportions would paralyze the critical centers of a State’s political system and threaten political dislocation whose consequences are not foreseeable. A declaration devoid

Page 369 U. S. 328

of implied compulsion of injunctive or other relief would be an idle threat. [Footnote 4/151] Surely a Federal District Court could not itself remap the State: the same complexities which impede effective judicial review of apportionment a fortiori make impossible a court’s consideration of these imponderables as an original matter. And the choice of elections at large, as opposed to elections by district, however unequal the districts, is a matter of sweeping political judgment having enormous political implications, the nature and reach of which are certainly beyond the informed understanding of, and capacity for appraisal by, courts.

In Tennessee, moreover, the McCanless case has closed off several among even these unsatisfactory and dangerous modes of relief. That case was a suit in the state courts attacking the 1901 Reapportionment Act and seeking a declaration and an injunction of the Act’s enforcement or, alternatively, a writ of mandamus compelling state election officials to hold the elections at large, or, again alternatively, a decree of the court reapportioning the State. The Chancellor denied all coercive relief, but entertained the suit for the purpose of rendering a declaratory judgment. It was his view that, despite an invalidation of the statute under which the present legislature was elected, that body would continue to possess de facto authority to reapportion, and that, therefore, the maintaining of the suit did not threaten the disruption of the government. The Tennessee Supreme Court agreed that no coercive relief could be granted; in particular, it said, “There is no provision of law for election of our General Assembly by an election at large over the State.” 200 Tenn. at 277, 292 S.W.2d at 42. Thus, a legislature elected at

Page 369 U. S. 329

large would not be the legally constituted legislative authority of the State. The court reversed, however, the Chancellor’s determination to give declaratory relief, holding that the ground of demurrer which asserted that a striking down of the statute would disrupt the orderly process of government should have been sustained:

“(4) It seems obvious, and we therefore hold, that, if the Act of 1901 is to be declared unconstitutional, then the de facto doctrine cannot be applied to maintain the present members of the General Assembly in office. If the Chancellor is correct in holding that this statute has expired by the passage of the decade following its enactment, then, for the same reason, all prior apportionment acts have expired by a like lapse of time, and are nonexistent. Therefore, we would not only not have any existing members of the General Assembly, but we would have no apportionment act whatever under which a new election could be held for the election of members to the General Assembly.”

* * * *”

“The ultimate result of holding this Act unconstitutional by reason of the lapse of time would be to deprive us of the present Legislature and the means of electing a new one and ultimately bring about the destruction of the State itself.”

200 Tenn. at 281-282, 292 S.W.2d at 44.

A federal court enforcing the Federal Constitution is not, to be sure, bound by the remedial doctrines of the state courts. But it must consider as pertinent to the propriety or impropriety of exercising its jurisdiction those state law effects of its decree which it cannot itself control. A federal court cannot provide the authority requisite to make a legislature the proper governing body of the State of Tennessee. And it cannot be doubted that the striking

Page 369 U. S. 330

down of the statute here challenged on equal protection grounds, no less than on grounds of failure to reapportion decennially, would deprive the State of all valid apportionment legislation and — under the ruling in McCanless — deprive the State of an effective law-based legislative branch. Just such considerations, among others here present, were determinative in Luther v. Borden and the Oregon initiative cases. [Footnote 4/152]

Although the District Court had jurisdiction in the very restricted sense of power to determine whether it could adjudicate the claim, the case is of that class of political controversy which, by the nature of its subject, is unfit for federal judicial action. The judgment of the District Court, in dismissing the complaint for failure to state a claim on which relief can be granted, should therefore be affirmed.

* It is worth reminding that the problem of legislative apportionment is not one dividing North and South. Indeed, in the present House of Representatives, for example, Michigan’s congressional districts are far less representative of the numbers of inhabitants, according to the 1960 census, than are Louisiana’s. Michigan’s Sixteenth District, which is 93.1% urban, contains 802,994 persons, and its Twelfth, which is 47.6% urban, contains 177,431 — one-fifth as many persons. Louisiana’s most populous district, the Sixth, is 53.6% urban and contains 536,029 persons, and its least populous, the Eighth, 36.7% urban, contains 263,850 — nearly half. Gross disregard of any assumption that our political system implies even approximation to the notion that individual votes in the various districts within a State should have equal weight is as true, e.g., of California, Illinois, and Ohio as it is of Georgia. See United States Department of Commerce, Census Release, February 24, 1962, CB62-23.

[Footnote 4/1]

See Wood v. Broom, 287 U. S. 1; Colegrove v. Green, 328 U. S. 549, rehearing denied, 329 U.S. 825, motion for reargument before the full bench denied, 329 U.S. 828; Cook v. Fortson, 329 U. S. 675, rehearing denied, 329 U.S. 829; Turman v. Duckworth, 329 U. S. 675, rehearing denied, 329 U.S. 829; Colegrove v. Barrett, 330 U.S. 804; MacDougall v. Green, 335 U. S. 281; South v. Peters, 339 U. S. 276; Tedesco v. Board of Supervisors, 339 U.S. 940; Remmey v. Smith, 342 U.S. 916; Cox v. Peters, 342 U.S. 936, rehearing denied, 343 U.S. 921; Anderson v. Jordan, 343 U.S. 912; Kidd v. McCanless, 352 U.S. 920; Radford v. Gary, 352 U.S. 991; Hartsfield v. Sloan, 357 U.S. 916; Matthews v. Handley, 361 U. S. 127; Perry v. Folsom, 144 F.Supp. 874 (D.C.N.D.Ala.); Magraw v. Donovan, 163 F.Supp. 184 (D.C.D. Minn.); cf. Dyer v. Kazuhisa Abe, 138 F.Supp. 220 (D.C.D. Hawaii). And see Keogh v. Neely, 50 F.2d 685 (C.A. 7th Cir.).

[Footnote 4/2]

Although the motion to intervene by the Mayor of Nashville asserted an interest in the litigation in only a representative capacity, the complaint which he subsequently filed set forth that he was a qualified voter who also sued in his own behalf. The municipalities of Knoxville and Chattanooga purport to represent their residents. Since the claims of the municipal intervenors do not differ materially from those of the parties who sue as individual voters, the Court need not now determine whether the municipalities are proper parties to this proceeding. See, e.g., Stewart v. Kansas City, 239 U. S. 14.

[Footnote 4/3]

The original complaint named as defendants Tennessee’s Secretary of State, Attorney General, Coordinator of Elections, and the three members of the State Board of Elections, seeking to make the Board members representatives of all the State’s County Election Commissioners. The prayer in an intervening complaint by the City of Knoxville, that the Commissioners of Elections of Knox County be added as parties defendant seems not to have been acted on by the court below. Defendants moved to dismiss, inter alia, on the ground of failure to join indispensable parties, and they argue in this Court that only the County Election Commissioners of the ninety-five counties are the effective administrators of Tennessee’s elections laws, and that none of the defendants have substantial duties in connection therewith. The District Court deferred ruling on this ground of the motion. Inasmuch as it involves questions of local law more appropriately decided by judges sitting in Tennessee than by this Court, and since, in any event, the failure to join County Election Commissioners in this action looking to prospective relief could be corrected, if necessary, by amendment of the complaints, the issue does not concern the Court on this appeal.

[Footnote 4/4]

Jurisdiction is predicated upon R.S. § 1979, 42 U.S.C. § 1983, and 28 U.S.C. § 1343(3).

[Footnote 4/5]

However, counties having two-thirds of the ratio required for a Representative are entitled to seat one member in the House, and there are certain geographical restrictions upon the formation of Senate districts. The applicable provisions of Article II of the Tennessee Constitution are:

Sec. 4. Census. — An enumeration of the qualified voters, and an apportionment of the Representatives in the General Assembly, shall be made in the year one thousand eight hundred and seventy-one, and within every subsequent term of ten years.”

Sec. 5. Apportionment of representatives. — The number of Representatives shall, at the several periods of making the enumeration, be apportioned among the several counties or districts, according to the number of qualified voters in each, and shall not exceed seventy-five, until the population of the State shall be one million and a half, and shall never exceed ninety-nine; Provided that any county having two-thirds of the ratio shall be entitled to one member.”

Sec. 6. Apportionment of senators. — The number of Senators shall, at the several periods of making the enumeration, be apportioned among the several counties or districts according to the number of qualified electors in each, and shall not exceed one-third the number of representatives. In apportioning the Senators among the different counties, the fraction that may be lost by any county or counties, in the apportionment of members to the House of Representatives shall be made up to such county or counties in the Senate as near as may be practicable. When a district is composed of two or more counties, they shall be adjoining, and no county shall be divided in forming a district .”

[Footnote 4/6]

It is alleged that certain amendments to the Act of 1901 made only minor modifications of that Act, adjusting the boundaries of individual districts in a manner not material to plaintiffs’ claims.

[Footnote 4/7]

The exhibits do not reveal the source of the population figures which they set forth, but it appears that the figures were taken from the United States Census of Population, 1950, Volume II, Part 42 (Tennessee), Table 41, at 76-91. These census figures represent the total population over twenty-one years of age in each Tennessee county; they do not purport to enumerate “qualified voters” or “qualified electors,” the measure of apportionment prescribed by the Tennessee Constitution. See note 5, supra. To qualify to vote in Tennessee, in addition to fulfilling the age requirement, an individual must be a citizen of the United States, a resident of the State for twelve months and of the county where he offers his vote for six months next preceding the election, and must not be under the disqualification attaching to conviction for certain offenses. Tenn.Code Ann., 1955, §§ 2-201, 2-205. The statistics found in the United States Census of Population, 1950, Volume II, Part 42 (Tennessee), Table 42, at 92-97, suggest that the residence requirement, in particular, may be an unknown variable of considerable significance. Appellants do not suggest a means by which a court, on the basis of the federal census figures, can determine the number of qualified voters in the various Tennessee counties.

[Footnote 4/8]

The “county aid funds” derived from a portion of a state gasoline privilege tax, for example, are distributed among the counties as follows: one-half equally among the ninety-five counties, one-quarter on the basis of area, one-quarter on the basis of population, to be used by county authorities in the building, repairing and improving of county roads and bridges. Tenn.Code Ann., 1955, § 54-403. Appellants urge that this distribution is discriminatory.

[Footnote 4/9]

Plaintiffs also suggested, as an alternative to at-large elections, that the District Court might itself redistrict the State. They did not, however, expressly pray such relief.

[Footnote 4/10]

See Bickel, Foreword: The Passive Virtues, 75 Harv.L.Rev. 40, 45 et seq. (1961).

[Footnote 4/11]

See, e.g., 16 U. S. Palmer, 3 Wheat. 610, 16 U. S. 634, 16 U. S. 635; The Divina Pastora, 4 Wheat. 52; Williams v. Suffolk Ins. Co., 13 Pet. 415; Kennett v. Chambers, 14 How. 38; Doe v. Braden, 16 How. 635; Jones v. United States, 137 U. S. 202; Terlinden v. Ames, 184 U. S. 270; Charlton v. Kelly, 229 U. S. 447; Oetjen v. Central Leather Co., 246 U. S. 297; Ex parte Peru, 318 U. S. 578; Clark v. Allen, 331 U. S. 503. Compare 27 U. S. Neilson, 2 Pet. 253, with 31 U. S. Arredondo, 6 Pet. 691. Of course, judgment concerning the “political” nature of even a controversy affecting the Nation’s foreign affairs is not a simple mechanical matter, and certain of the Court’s decisions have accorded scant weight to the consideration of unity of action in the conduct of external relations. Compare Vermilya-Brown Co. v. Connell, 335 U. S. 377, with United States v. Pink, 315 U. S. 203.

[Footnote 4/12]

Obviously, this is the equivalent of saying that the characteristics are not “constitutionally requisite” in a judicially enforceable sense. The recognition of their necessity as a condition of legislation is left, as is observance of certain other constitutional commands, to the conscience of the nonjudicial organs. Cf. 65 U. S. Dennison, 24 How. 66.

[Footnote 4/13]

Also compare the Coleman case and United States v. Sprague, 282 U. S. 716, with Hawke v. Smith (No. 1), 253 U. S. 221. See the National Prohibition Cases, 253 U. S. 350, and consider the Court’s treatment of the several contentions in Leser v. Garnett, 258 U. S. 130.

[Footnote 4/14]

E.g., Myers v. Anderson, 238 U. S. 368; Nixon v. Condon, 286 U. S. 73; Lane v. Wilson, 307 U. S. 268; Smith v. Allwright, 321 U. S. 649. The action for damages for improperly rejecting an elector’s vote had been given by the English law since the time of Ashby v. White, 1 Brown’s Cases in Parliament 62; 2 Ld.Raym. 938; 3 Ld.Raym. 320, a case which, in its own day, precipitated an intra-parliamentary war of major dimensions. See 6 Hansard, Parliamentary History of England (1810), 225-324, 376-436. Prior to the racial discrimination cases, this Court had recognized the action, by implication, in dictum in Swafford v. Templeton, 185 U. S. 487, and Wiley v. Sinkler, 179 U. S. 58, both respecting federal elections.

[Footnote 4/15]

Cf. Gomillion v. Lightfoot, 364 U. S. 339.

[Footnote 4/16]

By statute, an action for preventive relief is now given the United States in certain voting cases. 71 Stat. 637, 42 U.S.C. § 1971(c), amending R.S. § 2004. See United States v. Raines, 362 U. S. 17; United States v. Thomas, 362 U. S. 58.

[Footnote 4/17]

Compare 37 U. S. Massachusetts, 12 Pet. 657, and cases following, with 73 U. S. Stanton, 6 Wall. 50.

[Footnote 4/18]

Compare 31 U. S. Georgia, 6 Pet. 515, with 30 U. S. Georgia, 5 Pet. 1, 30 U. S. 20, 30 U. S. 28 (Mr. Justice Johnson, concurring), 30 U. S. 51 and 30 U. S. 75 (Mr. Justice Thompson, dissenting).

[Footnote 4/19]

This was an alternative ground of Chief Justice Marshall’s opinion for the Court. Id. at 30 U. S. 20. The question which Marshall reserved as “unnecessary to decide,” ibid., was not the justiciability of the bill in this aspect, but the “more doubtful” question whether that “part of the bill which respects the land occupied by the Indians, and prays the aid of the court to protect their possession,” might be entertained. Ibid. Mr. Justice Johnson, concurring, found the controversy nonjusticiable, and would have put the ruling solely on this ground, id. at 30 U. S. 28, and Mr. Justice Thompson, in dissent, agreed that much of the matter in the bill was not fit for judicial determination. Id. at 30 U. S. 51, 30 U. S. 75.

[Footnote 4/20]

Cf. 71 U. S. Johnson, 4 Wall. 475.

[Footnote 4/21]

Considerations similar to those which determined the Cherokee Nation case and Georgia v. Stanton no doubt explain the celebrated decision in Nabob of the Carnatic v. East India Co., 1 Ves.jun. *371; 2 Ves.jun. *56, rather than any attribution of a portion of British sovereignty, in respect of Indian affairs, to the company. The reluctance of the English Judges to involve themselves in contests of factional political power is of ancient standing. In The Duke of York’s Claim to the Crown, 5 Rotuli Parl. 375, printed in Wambaugh, Cases on Constitutional Law (1915), 1, the role which the Judges were asked to play appears to have been rather that of advocates than of judges, but the answer which they returned to the Lords relied on reasons equally applicable to either role.

[Footnote 4/22]

“The United States shall guarantee to every State in this Union a Republican Form of Government, and shall protect each of them against Invasion, and on Application of the Legislature, or of the Executive (when the Legislature cannot be convened) against domestic Violence.”

[Footnote 4/23]

Cf. the cases holding that the Fourteenth Amendment imposes no such restriction upon the form of a State’s governmental organization as will permit persons affected by government action to complain that, in its organization principles of separation of powers have been violated. E.g., Dreyer v. Illinois, 187 U. S. 71; Soliah v. Heskin, 222 U. S. 522; Houck v. Little River Drainage District, 239 U. S. 254. The same consistent refusal of this Court to find that the Federal Constitution restricts state power to design the structure of state political institutions is reflected in the cases rejecting claims arising out of the States’ creation, alteration, or destruction of local subdivisions or their powers, insofar as these claims are made by the subdivisions themselves, see Laramie County v. Albany County, 92 U. S. 307; Pawhuska v. Pawhuska Oil & Gas Co., 250 U. S. 394; Trenton v. New Jersey, 262 U. S. 182; Risty v. Chicago, R.I. & P. R. Co., 270 U. S. 378, 270 U. S. 389-390; Williams v. Mayor and City Council of Baltimore, 289 U. S. 36, or by the whole body of their residents who share only a general, undifferentiated interest in their preservation. See Hunter v. Pittsburgh, 207 U. S. 161. The policy is also given effect by the denial of “standing” to persons seeking to challenge state action as infringing the interest of some separate unit within the State’s administrative structure — a denial which precludes the arbitrament by federal courts of what are only disputes over the local allocation of government functions and powers. See, e.g., Smith v. Indiana, 191 U. S. 138; Braxton County Court v. West Virginia, 208 U. S. 192; Marshall v. Dye, 231 U. S. 250; Stewart v Kansas City, 239 U. S. 14.

[Footnote 4/24]

223 U.S. at 223 U. S. 141.

“. . . [T]he contention, if held to be sound, would necessarily affect the validity not only of the particular statute which is before us, but of every other statute passed in Oregon since the adoption of the initiative and referendum. And, indeed, the propositions go further than this, since, in their essence, they assert that there is no governmental function, legislative or judicial, in Oregon, because it cannot be assumed, if the proposition be well founded, that there is at one and the same time one and the same government which is republican in form and not of that character.”

Compare 48 U. S. Borden, 7 How. 1, 48 U. S. 38-39:

“. . . For, if this court is authorized to enter upon this inquiry as proposed by the plaintiff, and it should be decided that the charter government had no legal existence during the period of time above mentioned — if it had been annulled by the adoption of the opposing government — then the laws passed by its legislature during that time were nullities, its taxes wrongfully collected, its salaries and compensation to its officers illegally paid, its public accounts improperly settled, and the judgments and sentences of its courts in civil and criminal cases null and void, and the officers who carried their decisions into operation answerable as trespassers, if not, in some cases, as criminals.”

“When the decision of this court might lead to such results, it becomes its duty to examine very carefully its own powers before it undertakes to exercise jurisdiction.”

[Footnote 4/25]

See Bowen, The Recent Contest in Rhode Island (1844); Frieze, A Concise History of the Efforts to Obtain an Extension of Suffrage in Rhode Island; From the Year 1811 to 1842 (2d ed. 1842); Mowry, The Dorr War (1901); Wayland, The Affairs of Rhode Island (2d ed. 1842).

[Footnote 4/26]

The Court reasoned, with respect to the guarantee against domestic violence also contained in Art. IV, § 4, that this, too, was an authority committed solely to Congress; that Congress had empowered the President, not the courts, to enforce it, and that it was inconceivable that the courts should assume a power to make determinations in the premises which might conflict with those of the Executive. It noted further that, in fact, the President had recognized the governor of the charter government as the lawful authority in Rhode Island, although it had been unnecessary to call out the militia in his support.

[Footnote 4/27]

See note 24, supra.

[Footnote 4/28]

Id. at 48 U. S. 39, 48 U. S. 46-47.

[Footnote 4/29]

Id. at 48 U. S. 41-42.

[Footnote 4/30]

In evaluating the Court’s determination not to inquire into the authority of the charter government, it must be remembered that, throughout the country, Dorr “had received the sympathy of the Democratic press. His cause, therefore, became distinctly a party issue.” 2 Warren, The Supreme Court in United States History (Rev. ed.1937), 186.

[Footnote 4/31]

Appellants also allege discrimination in the legislature’s allocation of certain tax burdens and benefits. Whether or not such discrimination would violate the Equal Protection Clause if the tax statutes were challenged in a proper proceeding, see Dane v. Jackson, 256 U. S. 589; cf. Nashville, C. & St.L. R. Co. v. Wallace, 288 U. S. 249, 288 U. S. 268, these recitative allegations do not affect the nature of the controversy which appellants’ complaints present.

[Footnote 4/32]

Appellants would find a “right” to have one’s ballot counted on authority of United States v. Mosley, 238 U. S. 383; United States v. Classic, 313 U. S. 299; United States v. Saylor, 322 U. S. 385. All that these cases hold is that conspiracies to commit certain sharp election practices which, in a federal election, cause ballots not to receive the weight which the law has, in fact, given them, may amount to deprivations of the constitutionally secured right to vote for federal officers. But see United States v. Bathgate, 246 U. S. 220. The cases do not so much as suggest that there exists a constitutional limitation upon the relative weight to which the law might properly entitle respective ballots, even in federal elections.

[Footnote 4/33]

Mackenzie, Free Elections (1958) (hereafter, Mackenzie), 108.

[Footnote 4/34]

Ogg, English Government and Politics (2d ed.1936) (hereafter Ogg), 248-250, 257; Seymour, Electoral Reform in England and Wales (1915) (hereafter, Seymour), 46-47.

[Footnote 4/35]

Ogg 257-259; Seymour 45-52; Carpenter, The Development of American Political Thought (1930) (hereafter, Carpenter), 45-46.

[Footnote 4/36]

Ogg 258.

[Footnote 4/37]

Seymour 51.

[Footnote 4/38]

The Federalist, No. 56 (Wright ed.1961), at 382. Compare Seymour 49. This takes account of the restricted franchise as well as the effect of the local unit apportionment principle.

[Footnote 4/39]

Seymour 52-76.

[Footnote 4/40]

Ogg 264-265; Seymour 318-319.

[Footnote 4/41]

For these and other instances of gross inequality, see Seymour 320-325.

[Footnote 4/42]

Seymour 333-346; Ogg 265.

[Footnote 4/43]

Seymour 349, 490-491.

[Footnote 4/44]

Seymour 489-518.

[Footnote 4/45]

Mackenzie 108; see also Seymour 513-517.

[Footnote 4/46]

Ogg 270.

[Footnote 4/47]

Ogg 253.

[Footnote 4/48]

Ogg 270-271.

[Footnote 4/49]

Ogg 273-274.

[Footnote 4/50]

7 & 8 Geo. VI, c. 41. The 1944 Act was amended by the House Of Commons (Redistribution Of Seats) Act, 1947, 10 & 11 Geo. VI, c. 10, and the two, with other provisions, were consolidated in the House Of Commons (Redistribution Of Seats) Act, 1949, 12 & 13 Geo. VI, c. 66, since amended by the House Of Commons (Redistribution Of Seats) Act, 1958, 6 & 7 Eliz. II, c. 26.

[Footnote 4/51]

See generally Butler, The Redistribution Of Seats, 33 Public Administration 125 (1955).

[Footnote 4/52]

See note 50, supra. However, Commissions are given discretion to depart from the strict application of the local boundary rule to avoid excessive disparities between the electorate of a constituency and the electoral quota, or between the electorate of a constituency and that of neighboring constituencies. For detailed discussion, see Craig, Parliament and Boundary Commissions, [1959] Public Law 23. See also Butler, supra, note 51, at 127.

[Footnote 4/53]

Mackenzie 108, 113.

[Footnote 4/54]

The Times, Dec. 15, 1954, p. 4, cols 3-4.

[Footnote 4/55]

[1955] 1 Ch. 238.

[Footnote 4/56]

The court reserved the question whether a judicial remedy might be found in a case in which it appeared that a Commission had manifestly acted in complete disregard of the Acts.

[Footnote 4/57]

Note 50, supra.

[Footnote 4/58]

First Periodical Report of the Boundary Commission for England [Cmd. 9311] (1954), 4, par.19.

[Footnote 4/59]

Under the 1949 Act, see note 50, supra, the intervals between reports were to be not less than three nor more than seven years, with certain qualifications. The 1958 Act raised the minimum to ten and the maximum to fifteen years.

[Footnote 4/60]

First Periodical Report, supra, note 58, at 4, par. 20.

[Footnote 4/61]

582 H.C.Deb. (5th ser.1957-1958), 30.

[Footnote 4/62]

See The Federalist, No. 56, supra, note 38; Tudor, Life of James Otis (1823), 188-190.

[Footnote 4/63]

Griffith, The Rise and Development of the Gerrymander (1907) (hereafter, Griffith), 23-24.

[Footnote 4/64]

Luce, Legislative Principles (1930) (hereafter, Luce), 336-342.

[Footnote 4/65]

Griffith 25

[Footnote 4/66]

Griffith 15-16, n. 1.

[Footnote 4/67]

Griffith 28.

[Footnote 4/68]

Carpenter 48-49, 54; Griffith 26, 28-29; Luce 339-340.

[Footnote 4/69]

Carpenter 87; Griffith 26-29, 31.

[Footnote 4/70]

II Farrand, Records of the Federal Convention (1911), 241.

[Footnote 4/71]

The power was provided. Art. I, § 4, cl. 1.

[Footnote 4/72]

III Elliot’s Debates (2d ed. 1891), 367; II id. at 50-51.

[Footnote 4/73]

See Madison, in I Farrand, op. cit. supra, note 70, at 321: “The great difficulty lies in the affair of Representation, and if this could be adjusted, all others would be surmountable.”

[Footnote 4/74]

See The Federalist, No. 62 (Wright ed.1961), at 408-409.

[Footnote 4/75]

See The Federalist, No. 54, id. at 369-374.

[Footnote 4/76]

Carpenter 130.

[Footnote 4/77]

Jefferson, Notes on the State of Virginia (Peden ed.1955), 118-119. See also II writings of Thomas Jefferson (Memorial ed.1903), 160-162.

[Footnote 4/78]

Carpenter 139-140.

[Footnote 4/79]

Griffith 102-104

[Footnote 4/80]

Griffith 104-105

[Footnote 4/81]

Luce 343-350. Bowen, supra, note 25, at 17-18, records that, in 1824 Providence County, having three-fifths of Rhode Island’s population, elected only twenty-two of its seventy-two representatives, and that the town of Providence, more than double the size of Newport, had half Newport’s number of representatives.

[Footnote 4/82]

Carpenter 130-137; Luce 364-367; Griffith 116-117.

[Footnote 4/83]

See 14 Stat. 428; 15 Stat. 2, 14, 41.

[Footnote 4/84]

Various indices of population were employed among the States which took account of the factor of numbers. Some counted all inhabitants, e.g., N.J.Const., 1844, Art. IV, § 3; some, only white inhabitants, e.g., Ill.Const., 1848, Art. III, § 8; some, male inhabitants over twenty-one, e.g., Ind.Const., 1851, Art. IV, §§ 4-5; some, qualified voters, e.g., Tenn.Const., 1834, Art. II, §§ 4 to 6; some excluded aliens, e.g., N.Y.Const., 1846, Art. III, §§ 4, 5 (and untaxed persons of color); some excluded untaxed Indians and military personnel, e.g., Neb.Const., 1866-1867, Art. II, § 3. For present purposes, these differences, although not unimportant as revealing fundamental divergences in representation theory, will be disregarded.

[Footnote 4/85]

Ore.Const., 1857, Art. IV, §§ 5, 6, 7; Ill.Const., 1848, Art. III, §§ 8, 9; Ind.Const., 1851, Art. IV, §§ 4, 5, 6; Minn.Const., 1857, Art. IV, § 2; Wis.Const., 1848, Art. IV, §§ 3 to 5; Mass.Const., 1780, Amends. XXI, XXII; Neb.Const., 1866-1867, Art. II, § 3. All of these but Minnesota made provision for periodic reapportionment. Nevada’s Constitution of 1864, Art. XV, § 13, provided that the federal censuses and interim state decennial enumerations should serve as the bases of representation for both houses, but did not expressly require either numerical equality or reapportionment at fixed intervals .

Several of these constitutions contain provisions which forbid splitting counties or which otherwise require recognition of local boundaries. See, e.g., the severe restriction in Ill.Const., 1848, Art. III, § 9. Such provisions will almost inevitably produce numerical inequalities. See, for example, University of Oklahoma, Bureau of Government Research, Legislative Apportionment in Oklahoma (1956), 21-23. However, because their effect in this regard will turn on idiosyncratic local factors, and because other constitutional provisions are a more significant source of inequality, these provisions are here disregarded.

[Footnote 4/86]

Tenn.Const., 1834, Art. II, §§ 4 to 6 (two-thirds of a ratio entitles a county to one representative in the House); W.Va.Const., 1861-1863, Art. IV, §§ 4, 5, 7, 8, 9 (one-half of a ratio entitles a county to one representative in the House); Mich.Const., 1850, Art. IV, §§ 2 to 4 (one-half of a ratio entitles each county thereafter organized to one representative in the House). In Oregon and Iowa, a major-fraction rule applied which gave a House seat not only to counties having a moiety of a single ratio, but to all counties having more than half a ratio in excess of the multiple of a ratio. Ore.Const., 1857, Art. IV, § 6, note 85, supra; Iowa Const., 1857, Art. III, §§ 33, 34, 35, 37, note 89, infra.

[Footnote 4/87]

See Bone, States Attempting to Comply with Reapportionment Requirements, 17 Law & Contemp.Prob. 387, 391 (1952).

[Footnote 4/88]

It also appears, although the section is not altogether clear, that the provisions of West Virginia’s Constitution controlling apportionment of senators would operate in favor of the State’s less populous regions by limiting any single county to a maximum of two senators. W.Va.Const., 1861-1863, Art. IV, § 4.

[Footnote 4/89]

Iowa Const., 1857, Art. III, §§ 33, 34, 35, 37.

[Footnote 4/90]

N.Y.Const., 1846, Art. III, §§ 4, 5 (except Hamilton County); Kan.Const., 1859, Art. 2, § 2; Art. 10. The Kansas provisions require periodic apportionment based on censuses, but do not in terms demand equal districts.

[Footnote 4/91]

Ohio Const., 1851, Art. XI, §§ 1 to 5. See Art. XI, §§ 6 to 9 for Senate apportionment.

[Footnote 4/92]

Me.Const., 1819, Art. IV, Pt. First, §§ 2, 3. See Art. IV, Pt. Second, § 2, for Senate apportionment based on numbers.

[Footnote 4/93]

Mo.Const., 1865, Art. IV, §§ 2, 7, 8. See Art. IV, §§ 4 to 8, for Senate apportionment based on numbers.

[Footnote 4/94]

Towns smaller than one hundred and fifty, if so situated that it was “very inconvenient” to join them to other towns for voting purposes, might be permitted by the legislature to send a representative.

[Footnote 4/95]

N.H.Const., 1792, Pt. Second, §§ IX to XI; Pt. Second, § XXVI.

[Footnote 4/96]

Pa.Const., 1838, as amended, Art. I, §§ 4, 6, 7.

[Footnote 4/97]

Conn.Const., 1818, Art. Third, § 3.

[Footnote 4/98]

Vt.Const., 1793, c. II, § 7.

[Footnote 4/99]

R.I.Const., 1842, Art. VI, § 1.

[Footnote 4/100]

N.J.Const., 1844, Art. IV, § 2, cl. One.

[Footnote 4/101]

Conn.Const., 1818, Amend. II.

[Footnote 4/102]

Vt.Const., 1793, Amend. 23.

[Footnote 4/103]

N.J.Const., 1844, Art. IV, § 3, cl. One

[Footnote 4/104]

R I.Const., 1842, Art. V, § 1.

[Footnote 4/105]

Ark.Const., 1868, Art. V, §§ 8, 9; Va.Const., 1864, Art. IV, § 6 (this constitution was in effect when Virginia ratified the Fourteenth Amendment); Va.Const., 1870, Art. V, § 4 (this was Virginia’s Reconstruction Act convention constitution); Miss.Const., 1868, Art. IV, §§ 33 to 35; Tex.Const., 1868, Art. III, §§ 11, 34. The Virginia Constitutions and Texas’ provisions for apportioning its lower chamber do not, in terms, require equality of numbers, although they call for reapportionment following a census. In Arkansas, the legislature was authorized, but not commanded, to reapportion periodically; it is not clear that equality was required.

[Footnote 4/106]

N.C.Const., 1868, Art. II, §§ 6, 7. See Art. II, § 5, for Senate apportionment based on numbers.

[Footnote 4/107]

S.C.Const., 1868, Art. I, § 34; Art. II, §§ 4 to 6.

[Footnote 4/108]

La.Const., 1868, Tit. II, Arts. 20, 21. See Tit. II, Arts. 28 to 30, for Senate apportionment based on numbers.

[Footnote 4/109]

Ala.Const., 1867, Art. VIII, § 1. See Art. VIII, § 3, for Senate apportionment based on numbers.

[Footnote 4/110]

S.C.Const., 1868, Art. II, § 8.

[Footnote 4/111]

Fla.Const., 1868, Art. XIV, par. 1. See Art. XIV, par. 2, for Senate apportionment.

[Footnote 4/112]

Ga.Const., 1868, Art. III, § 2. The extent of legislative authority to alter these districts is unclear, but it appears that the structure of three contiguous counties for each of forty-four districts is meant to be permanent.

[Footnote 4/113]

Ga.Const., 1868, Art. III, § 3. The extent of legislative authority to alter the apportionment is unclear, but it appears that the three-tiered structure is meant to be permanent.

[Footnote 4/114]

See, e.g., Durfee, Apportionment of Representation in the Legislature: A Study of State Constitutions, 43 Mich.L.Rev. 1091, 1097 (1945); Short, States That Have Not Met Their Constitutional Requirements, 17 Law & Contemp.Prob. 377 (1952); Harvey, Reapportionments of State Legislatures — Legal Requirements, 17 Law & Contemp.Prob. 364, 370 (1952). For an excellent case study of numerical inequalities deriving solely from a “one member per county” minimum provision in Ohio, see Aumann, Rural Ohio Hangs On, 46 Nat.Mun.Rev. 189, 191-192 (1957).

[Footnote 4/115]

Dauer and Kelsay, Unrepresentative States, 44 Nat.Mun.Rev. 571, 574 (1955). (This is the effect of a later Georgia constitutional provision, Ga.Const., 1945, § 2-1501, substantially similar to that of 1868.) The same three-tiered system has subsequently been adopted in Florida, Fla.Const., 1885, Art. VII, §§ 3, 4, where its effects have been inequalities of the order of eighty to one. Dauer and Kelsay, supra, at 575, 587.

[Footnote 4/116]

The constitutions discussed are those under which the new States entered the Union.

[Footnote 4/117]

Colo.Const., 1876, Art. V, §§ 45, 47; N.D.Const., 1889, Art. 2, §§ 29, 35; S.D.Const., 1889, Art. III, § 5; Wash.Const., 1889, Art. II, §§ 3, 6; Utah Const., 1895, Art. IX, §§ 2, 4; N.M.Const., 1911, Art. IV, following § 41. The Colorado and Utah Constitutions provide for reapportionment “according to ratios to be fixed by law” after periodic census and enumeration. In New Mexico, the legislature is authorized, but not commanded, to reapportion periodically. North Dakota does not, in terms, demand equality in House representation; members are to be assigned among the several senatorial districts, which are of equal population.

[Footnote 4/118]

Wyo, Const., 1889, Art. III, Legislative Department, § 3; Art. III, Apportionment, §§ 2, 3.

[Footnote 4/119]

Idaho Const., 1889, Art. III, § 4.

[Footnote 4/120]

Okla.Const., 1907, Art. V, § 10(b) to (j). See Art. V, §§ 9(a), 9(b) for Senate apportionment based on numbers.

[Footnote 4/121]

Mont.Const., 1889, Art. VI, §§ 2, 3

[Footnote 4/122]

Mont.Const., 1889, Art. V, § 4; Art. VI, § 4. The effective provisions are, first, that there shall be no more than one senator from each county, and, second, that no senatorial district shall consist of more than one county.

[Footnote 4/123]

Alaska Const., 1956, Art. VI, § 7; Art. XIV, § 2. The exact boundaries of the districts may be modified to conform to changes in House districts, but their numbers of senators and their approximate perimeters are to be preserved.

[Footnote 4/124]

Hawaii Const., 1950, Art. III, § 2

[Footnote 4/125]

Alaska Const., 1956, Art. VI, §§ 3, 4, 6. The method of equal proportions is used.

[Footnote 4/126]

Hawaii Const., 1950, Art. III, § 4. The method of equal proportions is used, and, for sub-apportionment within the four “basic” areas, a form of moiety rule obtains.

[Footnote 4/127]

Ariz.Const., 1910, Art. IV, Pt. 2, § 1. On the basis of 1910 census figures, this apportionment yielded, for example, a senatorial ratio differential of more than four to one between Mohave and Cochise or between Mohave and Maricopa Counties. II Thirteenth Census of the United States (1910), 71-73.

[Footnote 4/128]

The pertinent state constitutional provisions are set forth in tabular form in XIII Book of the States (1960-1961), 54-58, and Greenfield, Ford and Emery, Legislative Reapportionment: California in National Perspective (University of California, Berkeley, 1959), 81-85. An earlier treatment, now outdated in several respects but still useful, is Durfee, supra, note 114. See discussions in Harvey, supra, note 114; Shull, Political and Partisan Implications of State Legislative Apportionment, 17 Law & Contemp.Prob. 417, 418-421 (1952).

[Footnote 4/129]

Nebraska’s unicameral legislature is included in this count.

[Footnote 4/130]

Greenfield, Ford and Emery, supra, note 128, at 7.

[Footnote 4/131]

Harvey, supra, note 114, at 367. See Tabor, The Gerrymandering of State and Federal Legislative Districts, 16 Md.L.Rev. 277, 282-283 (1956).

[Footnote 4/132]

See, e.g., Mather and Ray, The Iowa Senatorial Districts Can Be Reapportioned — A Possible Plan, 39 Iowa L.Rev. 535, 536-537 (1954).

[Footnote 4/133]

See, e.g., Walter, Reapportionment and Urban Representation, 195 Annals of the American Academy of Political and Social Science 11, 12-13 (1938); Bone, supra, note 87. Legislative inaction and state constitutional provisions rejecting the principle of equal numbers have both contributed to the generally prevailing numerical inequality of representation in this country. Compare Waltersupra, with Baker, One Vote, One Value, 47 Nat.Mun.Rev. 16, 18 (1958).

[Footnote 4/134]

See, e.g., Griffith 116-117; Luce 364-367, 370; Merriam, American Political Ideas (1929), 244-245; Legislation, Apportionment of the New York State Senate, 31 St. John’s L.Rev. 335, 341-342 (1957).

[Footnote 4/135]

In 1947, the Boundary Commission for England,

“. . . impressed by the advantages of accessibility [that large compact urban regions] . . . enjoy over widely scattered rural areas . . . , came to the conclusion that they could conveniently support electorates in excess of the electoral quota, and would, in the majority of cases, prefer to do so, rather than suffer severance of local unity for parliamentary purposes”

– that, “in general, urban constituencies could more conveniently support large electorates than rural constituencies. . . .” Initial Report of the Boundary Commission for England [Cmd. 7260] (1947), 5. See also Mackenzie 110-111; De Grazia, General Theory of Apportionment, 17 Law & Contemp.Prob. 256, 261-262 (1952).

[Footnote 4/136]

See Walter, supra, note 133; Walter, Reapportionment of State Legislative Districts, 37 Ill.L.Rev. 20, 37-38 (1942). The urban-rural conflict is often the core of apportionment controversy. See Durfee, supra, note 114, at 1093-1094; Short, supra, note 114, at 381.

[Footnote 4/137]

Baker, Rural Versus Urban Political Power (1955), 11-19; MacNeil, Urban Representation in State Legislatures, 18 State Government 59 (1945); United States Conference of Mayors, Government Of the People, By the People, For the People (ca.1947).

[Footnote 4/138]

See, in addition to the authorities cited in notes 130, 131, 136 and 137, supra, and 140 to 144, infra (all containing other examples than those remarked in text), Hurst, The Growth of American Law, The Law Makers (1950), 41-42; American Political Science Assn., Committee on American Legislatures, American State Legislatures (Zeller ed.1954), 34-35; Gosnell, Democracy, The Threshold of Freedom (1948), 179-181; Lewis, Legislative Apportionment and the Federal Courts, 71 Harv.L.Rev. 1057, 1059-1064 (1958); Friedman, Reapportionment Myth, 49 Nat.Civ.Rev. 184, 185-186 (1960); 106 Cong.Rec. 14901-14916 (remarks of Senator Clark and supporting materials); H.R.Rep. No. 2533, 85th Cong., 2d Sess. 24; H.R.Doc. No.198, 84th Cong., 1st Sess. 38-40; Hadwiger, Representation in the Missouri General Assembly, 24 Mo.L.Rev. 178, 180-181 (1959); Hamilton, Beardsley and Coats, Legislative Reapportionment in Indiana: Some Observations and a Suggestion, 35 Notre Dame Law. 368-370 (1960); Corter, Pennsylvania Ponders Apportionment, 32 Temple L.Q. 279, 283-288 (1959). Concerning the classical gerrymander, see Griffith, passim; Luce 395-404; Brooks, Political Parties and Electoral Problems (3d ed.1933), 472-481. For foreign examples of numerical disproportion, see Hogan, Election and Representation (1945), 95; Finer, Theory and Practice of Modern Government (Rev. ed.1949), 551-552.

[Footnote 4/139]

Baker, supra, note 137, at 11. Recent New Jersey legislation provides for reapportionment of the State’s lower House by executive action following each United States census subsequent to that of 1960. N.J.Laws 1961, c. 1. The apportionment is to be made on the basis of population, save that each county is assured at least one House seat. In the State’s Senate, however, by constitutional command, each county elects a single senator, regardless of population. N.J.Const., 1947, Art. IV, § II, par. 1.

[Footnote 4/140]

Note, 42 Minn.L.Rev. 617, 618-619 (1958).

[Footnote 4/141]

Greenfield, Ford and Emery, supra, note 128, at 3.

[Footnote 4/142]

University of Oklahoma, Bureau of Government Research, The Apportionment Problem in Oklahoma (1959), 16-29.

[Footnote 4/143]

1 Labor’s Economic Rev. 89, 96 (1956).

[Footnote 4/144]

Dauer and Kelsay, Unrepresentative States, 44 Nat.Mun.Rev. 571, 572, 574 (1955).

[Footnote 4/145]

See the Second Schedule to the House of Commons (Redistribution of Seats) Act, 1949, 12 & 13 Geo. VI, c. 66, as amended by the House of Commons (Redistribution of Seats) Act, 1958, 6 & 7 Eliz. II, c. 26, § 2, and the English experience described in text at notes 50 to 61, supra. See also the Report of the Assembly Interim Committee on Elections and Reapportionment, California Assembly (1951) (hereafter, California Committee Report), 37:

“The geographic — the socioeconomic — the desires of the people — the desires of the elected officeholders — the desires of political parties — all these can and do legitimately operate not only within the framework of the ‘relatively equal in population districts’ factor, but also within the factors of contiguity and compactness. The county and Assembly line legal restrictions operate outside the framework of theoretically ‘equal in population districts.’ All the factors might conceivably have the same weight in one situation; in another, some factors might be considerably more important than others in making the final determination.”

A Virginia legislative committee adverted to

“. . . many difficulties such as natural topographical barriers, divergent business and social interests, lack of communication by rail or highway, and disinclinations of communities to breaking up political ties of long standing, resulting in some cases of districts requesting to remain with populations more than their averages, rather than have their equal representation with the changed conditions.”

Report of the Joint Committee on the Reapportionment of the State into Senatorial and House Districts, Virginia General Assembly, House of Delegates, H. Doc. No. 9 (1922), 1-2. And the Tennessee State Planning Commission, concerning the problem of congressional redistricting in 1950, spoke of a

“tradition [which] relates to the sense of belonging — loyalties to groups and items of common interest with friends and fellow citizens of like circumstance, environment or region.”

Tennessee State Planning Commission, Pub. No. 222, Redistricting for Congress (1950), first page.

[Footnote 4/146]

See, e.g., California Committee Report at 52.

“. . . [T]he reapportionment process is, by its very nature, political. . . . There will be politics in reapportion