Dennis v. HigginsDennis v. Higgins
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- Before:
- White
Lead Opinion
delivered the opinion of the Court.
This case presents the question whether suits for violations of the Commerce Clause may be brought under 93 Stat. 1284, as amended,
Petitioner does business as an unincorporated motor carrier with his principal place of business in Ohio. He owns tractors and trailers that are registered in Ohio and operated in several States including Nebraska. On December 17, 1984, he filed a class action in a Nebraska trial court challenging the constitutionality of certain “retaliatory” taxes and fees imposed by the State of Nebraska on motor carriers with vehicles registered in other States and operated in Nebraska.1 In his complaint, petitioner claimed, inter alia, that the taxes and fees constituted an unlawful burden on interstate commerce and that respondents were liable under
After a bench trial based on stipulated facts, the court concluded that the taxes and fees at issue violated the Commerce Clause “because they are imposed only on motor carriers whose vehicles are registered outside the State of Nebraska, while no comparable tax or fee is imposed on carriers whose vehicles are registered in the State of Nebraska.” App. to Pet. for Cert. 29a. It therefore permanently enjoined respondents from “assessing, levying, or collecting” the taxes and fees. Id., at 30a. The court also held that petitioner was entitled to attorney’s fees and expenses under the equitable “common fund” doctrine. The court, however, entered judgment for respondents on the remaining claims, including the
The Supreme Court of Nebraska affirmed the dismissal of petitioner’s
As the Supreme Court of Nebraska recognized, see 234 Neb., at 430, 451 N. W. 2d, at 678, there is a division of authority on the question whether claims for violations of the Commerce Clause may be brought under
A broad construction of
Even more relevant to this case, we have rejected attempts to limit the types of constitutional rights that are encompassed within the phrase “rights, privileges, or immunities.” For example, in Lynch v. Household Finance Corp., 405 U. S. 538 (1972), we refused to limit the phrase to “personal” rights, as opposed to “property” rights.5 We first
Petitioner contends that the Commerce Clause confers “rights, privileges, or immunities” within the meaning of
Last Term, in Golden State Transit Corp. v. Los Angeles, 493 U. S. 103 (1989), we set forth three considerations for determining whether a federal statute confers a “right” within the meaning of
“In deciding whether a federal right has been violated, we have considered [1] whether the provision in questioncreates obligations binding on the governmental unit or rather ‘does no more than express a congressional preference for certain kinds of treatment.’ Pennhurst State School and Hospital v. Halderman, 451 U. S. 1, 19 (1981). [2] The interest the plaintiff asserts must not be ‘too vague and amorphous’ to be ‘beyond the competence of the judiciary to enforce.’ Wright v. Roanoke Redevelopment and Housing Authority, 479 U. S. 418, 431-432 (1987). [3] We have also asked whether the provision in question was ‘intend[ed] to benefit’ the putative plaintiff. Id., at 430; see also id., at 433 (O’Connor, J., dissenting) (citing Cort v. Ash, 422 U. S. 66, 78 (1975).” Id., at 106.
See also Wilder v. Virginia Hospital Assn., 496 U. S. 498, 509 (1990). Respondents do not dispute that the first two considerations weigh in favor of recognition of a right here, but seize upon the third consideration — intent to benefit the plaintiff — arguing that the Commerce Clause does not confer rights within the meaning of
This argument, however, was implicitly rejected in Boston Stock Exchange, supra, at 321, n. 3, where we found that the plaintiffs were arguably within the “zone of interests” protected by the Commerce Clause. Moreover, the Court’s repeated references to “rights” under the Commerce Clause constitute a recognition that the Clause was intended to benefit those who, like petitioner, are engaged in interstate commerce. The “[cjonstitutional protection against burdens on commerce is for [their] benefit . . . .” Morgan v. Virginia, 328 U. S. 373, 376-377 (1946). As Justice Jackson, writing for the Court, eloquently explained:
“Our system, fostered by the Commerce Clause, is that every farmer and every craftsman shall be encouraged to produce by the certainty that he will have freeaccess to every market in the Nation, that no home embargoes will withhold his exports, and no foreign state will by customs duties or regulations exclude them. Likewise, every consumer may look to the free competition from every producing area in the Nation to protect him from exploitation by any. Such was the vision of the Founders; such has been the doctrine of this Court which has given it reality.” H. P. Hood & Sons, Inc. v. Du Mond, 336 U. S. 525, 539 (1949).
Respondents attempt to analogize the Commerce Clause to the Supremacy Clause, Brief for Respondents 17-18, which we have held does not by itself confer any “rights, privileges, or immunities” within the meaning of
Respondents also argue that the protection from interference with trade conferred by the Commerce Clause cannot be a “right” because it is subject to qualification or elimination by Congress. Brief for Respondents 21. That argument proves too much, however, because federal statutory rights may also be altered or eliminated by Congress. Until Congress does so, such rights operate as “a guarantee of freedom for private conduct that the State may not abridge.”
Ill
We conclude that the Supreme Court of Nebraska erred in holding that petitioner’s Commerce Clause claim could not be brought under
It is so ordered.
Notes
The taxes and fees at issue were imposed pursuant to
Compare Kraft v. Jacka, 872 F. 2d 862, 869 (CA9 1989); J & J Anderson, Inc. v. Erie, 767 F. 2d 1469, 1476-1477 (CA10 1985); and Consolidated Freightways Corp. of Delaware v. Kassel, 730 F. 2d 1139 (CA8), cert. denied, 469 U. S. 834 (1984), with Continental Illinois Corp. v. Lewis, 838 F. 2d 457, 458 (CA11 1988), vacated on other grounds, 494 U. S. 472 (1990); Martin-Marietta Corp. v. Bendix Corp., 690 F. 2d 558, 562 (CA6 1982); and Kennecott Corp. v. Smith, 637 F. 2d 181, 186, n. 5 (CA3 1980). See also Private Truck Council of America, Inc. v. Quinn, 476 U. S. 1129 (1986) (White, J., joined by Brennan and O’Connor, JJ., dissenting from denial of certiorari) (noting conflict of authority).
“Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, 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.”
The dissent contends that the legislative history of
“My next proposition is historical, and one simply in aid and support of the truth of the first [i. e., that “Congress is bound to execute, by legislation, every provision of the Constitution, even those provisions not specially named as to be so enforced”]. It is that the United States always has assumed to enforce, as against the States, and also persons, every one of the provisions of the Constitution. Most of the provisions of the Constitution which restrain and directly relate to the States, such as those in tenth section of first article, that ‘no State shall make a treaty,’ ‘grant letters of marque,’ ‘coin money,’ ‘emit bills of credit,’ &c., relate to the divisions of the political powers of the State and General Governments. They do not relate directly to the rights of persons within the States and as between the States and such persons therein. These prohibitions upon the political powers of the States are all of such nature that they can be, and even have been, when the occasion arose, enforced by the courts of the United States declaring void all State acts of encroachment on Federal powers. Thus, and thus sufficiently, has the United States ‘enforced’ these provisions of the Constitution. But there are some that are not of this class. These are where the court secures the rights or the liabilities of persons within the States, as between such persons and the States.
“These three are: first, that as to fugitives from justice; second, that as to fugitives from service, (or slaves;) third, that declaring that the ‘citizens of each State shall be entitled to all the privileges and immunities of citizens in the several States.’
“And, sir, every one of these — the only provisions where it was deemed that legislation was required to enforce the constitutional provisions — the only three where the rights or liabilities of persons in the States, as between these persons and the States, are directly provided for, Congress has by legislation affirmatively interfered to protect or to subject such persons. ” Cong. Globe, at App. 69-70 (emphasis added to reflect omissions in dissent).
It should first be noted that Shellabarger was not in the above quotation addressing the part of the 1871 statute that became
It becomes clear that fully quoted and properly read, Shellabarger’s remarks do not in any way aid the dissent. The dissent’s attempt to characterize Shellabarger’s argument for expansive federal power to enact crimi nal legislation as support for a narrow construction of
In any event, even if the dissent’s cut-and-paste history could be read to provide some support for its formalistic distinction between power-allocating and rights-conferring provisions of the Constitution, it plainly does not constitute a “a clearly expressed legislative intent contrary to the plain language of [
The statute at issue in Lynch was the jurisdictional counterpart to
See, e. g., CTS Corp. v. Dynamics Corp. of America, 481 U. S. 69, 87 (1987); Hughes v. Oklahoma, 441 U. S. 322, 326 (1979); Great Atlantic & Pacific Tea Co. v. Cottrell, 424 U. S. 366, 370-371 (1976); Cooley v. Board of Wardens of Port of Philadelphia, 12 How. 299, 318 (1852). These cases are distinguishable from cases involving assertions that state regulations of commerce directly conflict with federal regulations enacted under the authority of the Commerce Clause. An example of the latter is Gibbons v. Ogden, 9 Wheat. 1 (1824), in which the Court struck down a New York statute to the extent that it excluded federally licensed boats from operating in New York waters.
See, e. g., Black’s Law Dictionary 1324 (6th ed. 1990) (defining “right” as “[a] legally enforceable claim of one person against another, that the other shall do a given act, or shall not do a given act”) (citing Restatement of Property § 1 (1936)). That the right at issue here is an implied right under the Commerce Clause does not diminish its status as a “right, privi lege, or immunity” under § 1983. Indeed, we have already rejected a distinction between express and implied rights under § 1983 in the statutory context. “The violation of a federal right that has been found to be implicit in a statute’s language and structure is as much a ‘direct violation’ of a right as is the violation of a right that is clearly set forth in the text of the statute.” Golden State Transit Corp. v. Los Angeles, 493 U. S. 103, 112 (1989).
An additional reason why claims under the Supremacy Clause, unlike those under the Commerce Clause, should be excluded from the coverage of § 1983 is that if they were included, the “and laws” provision in § 1983 would be superfluous. See Golden State, 493 U. S., at 107, n. 4.
In arguing that the Commerce Clause does not secure any rights, privileges, or immunities within the meaning of § 1983, the dissent relies upon Carter v. Greenhow, 114 U. S. 317 (1885). See post, at 457-458. This Court, however, has already given that decision a narrow reading, stating that the ease “held as a matter of pleading that the particular cause of action set up in the plaintiff’s pleading was in contract and was not to redress deprivation of the ‘right secured to him by that clause of the Constitution’ [the contract clause], to which he had ‘chosen not to resort.’” Chapman v. Houston Welfare Rights Organization, 441 U. S. 600, 613, n. 29 (1979); see also Hague v. Committee for Industrial Organization, 307 U. S. 496, 527 (1939) (opinion of Stone, J.).
Dissenting Opinion
with whom The Chief Justice joins, dissenting.
In Golden State Transit Corp. v. Los Angeles, 493 U. S. 103, 114 (1989), I dissented from the Court’s determination that
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The majority must acknowledge, under even Golden State, that not all violations of federal law give rise to a
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The Golden State test, arguably necessary in assessing whether any of the hundreds of statutory provisions that confer express obligations upon the States secure rights within the meaning of
The Commerce Clause, found at Art. I, §8, cl. 3, of the Constitution, is a grant of power to Congress. It states simply that “[t]he Congress shall have Power . . . To regulate commerce . . . among the several States.” By its own terms as well as its design, as interpreted by this Court, the Commerce Clause is a structural provision allocating authority between federal and state sovereignties. It does not purport to secure rights. The history leading to the drafting and ratification of the Constitution confirms these premises.
The lack of a national power over commerce during the Articles of Confederation led to ongoing disputes among the States, and the prospect of a descent toward even more intense commercial animosity was one of the principal arguments in favor of the Constitution. See, e. g., The Federalist No. 7, pp. 62-63 (C. Rossiter ed. 1961) (A. Hamilton); id., No. 11, pp. 89-90 (A. Hamilton); id., No. 22, pp. 143-145 (A. Hamilton); id., No. 42, pp. 267-269 (J. Madison); id., No. 53, p. 333 (J. Madison).
“The sole purpose for which Virginia initiated the movement which ultimately produced the Constitution was ‘to take into consideration the trade of the United States; to examine the relative situations and trade of the said States; to consider how far a uniform system in their commercial regulations may be necessary to their common interest and their permanent harmony.’” H. P. Hood & Sons, Inc. v. Du Mond, 336 U. S. 525, 533 (1949) (citation omitted).
The Framers intended the Commerce Clause as a way to preserve economic union and to suppress interstate rivalry. The Clause assigned prerogatives to the general government, not personal rights to those who engaged in commerce. See, e. g., id., at 533-535; Baldwin v. G. A. F. Seelig, Inc., 294 U. S. 511, 523 (1935); Collins, Economic Union as a Constitutional Value, 63 N. Y. U. L. Rev. 43, 51-56 (1988).
Those same sponsors of
“Most of the provisions of the Constitution which restrain and directly relate to the States, such as those in tenth section of first article, that ‘no State shall make a treaty,’ ‘grant letters of marque,’ ‘coin money,’ ‘emit bills of credit,’ &c., relate to the divisions of the political powers of the State and General Governments. They do not relate directly to the rights of persons within the States and as between the States and such persons therein. These prohibitions upon the political powers of the States are all of such nature that they can be, and even have been, when the occasion arose, enforced by the courts of the United States declaring void all State acts of encroachment on Federal powers. Thus, and thus sufficiently, has the United States ‘enforced’ these provisions of the Constitution. But there are some that are not of this class. These are where the court secures the rights or the liabilities of persons within the States, as between such persons and the States.
“These three are: first, that as to fugitives from Justice; second, that as to fugitives from service, (or slaves;) third, that declaring that the ‘citizens of each State shall be entitled to all the privileges and immunities of citizens in the several States.’” Cong. Globe, 42d Cong., 1st Sess., App. 69-70 (1871) (hereinafter Cong. Globe) (referring to Art. IV, § 2, of the Constitution as securing rights of persons).
This passage confirms Representative Shellabarger’s view that all but three provisions of the Constitution as first enacted allocate power rather than secure the rights of persons “as between such persons and the States,” and that the power-allocating provisions had not been “enforced” by legislation, but instead could be asserted as grounds for invalidating state action. Ibid.1 To those original provisions which
Statements of other supporters of the 1871 Act provide further evidence that Congress did not consider the Commerce Clause to secure the rights of persons within the meaning of
Not only did the 42d Congress understand the difference between rights-securing and power-allocating provisions of the Constitution, but this Court’s decisions of more than 100 years support the distinction. All previous cases in which this Court has determined (or assumed) that a constitutional violation gives rise to a
In our only previous case discussing a
The Contracts Clause of Art. I, § 10, provides that “[n]o State shall. . . pass any . . . Law impairing the Obligation of Contracts.” At least such language would provide some support for an argument that the Contracts Clause prohibits States from “doing what is inconsistent with civil liberty.”
At best, all that can be said is that the Commerce Clause grants Congress the power to regulate interstate commerce; from this grant of power, the Court has implied a limitation upon the power of a State to regulate interstate commerce; and in turn, courts provide a person injured by taxation that exceeds the limits of the Commerce Clause the “right to have a judicial determination, declaring the nullity of the attempt to” levy a discriminatory tax. Carter, supra, at 322. I find it ironic that Carter draws a distinction of nearly the same character as Golden State, between provisions which directly secure rights and those which do so “only as an incident” of their purpose. Golden State, 493 U. S., at 109. Yet, the majority finds that the Commerce Clause was “intended to benefit the putative plaintiff,” Golden State, supra, at 108, while Carter held that the Contracts Clause only provides incidental benefits.
In Lynch v. Household Finance Corp., 405 U. S. 538 (1972), we rejected an attempt to limit
The majority rejects the weight of historical evidence in favor of scattered statements in‘our cases that refer to a “right” to engage in interstate commerce. Ante, at 448. None of these cases, however, hold that the Commerce Clause secures a personal right. Instead, they interpret the Commerce Clause as allocating power among sovereigns. See Crutcher v. Kentucky, 141 U. S. 47, 57 (1891) (regulation of interstate commerce “not within the province of state legislation, but within that of national legislation”); Western Union Telegraph Co. v. Kansas ex rel. Coleman, 216 U. S. 1, 21 (1910) (same). If the majority chooses to rely upon such statements, far removed from the issue at hand, I would remind it that this Court, in a much closer context, has established that a case in which the plaintiff relies upon the dormant Commerce Clause “may be one arising under the Constitution, within the meaning of that term, as used in other statutes, but it is not one brought on account of the deprivation of a right, privilege or immunity secured by the Constitution.” Bowman v. Chicago & Northwestern R. Co., 115 U. S. 611, 615-616 (1885).2 The statements upon which the majority relies are weak support for its conclusion.
In similar fashion, McKesson Corp. v. Division of Alcoholic Beverages and Tobacco, Dept. of Business Regulation of Fla., 496 U. S. 18 (1990), in which the majority finds re
Finally, following Golden State, the majority asks whether the provision in question was intended to benefit the putative plaintiff. Ante, at 449. The majority fails to locate in the text or history of the Commerce Clause any such intent, but nevertheless concludes that any argument to the contrary was “implicitly rejected in Boston Stock Exchange [v. State Tax Comm’n, 429 U. S.,] at 321, n. 3, where we found that the plaintiffs were arguably within the ‘zone of interests’ protected by the Commerce Clause.” Ante, at 449. I fail to see how a determination that a particular plaintiff is within the “zone of interests” protected by a provision requires a finding that the provision was intended to benefit that plaintiff, or secures a right for purposes of
The majority’s treatment of the question confuses the concept of standing with that of a cause of action. We have considered these as distinct categories and should continue to do so. See Davis v. Passman, 442 U. S. 228, 239-240, n. 18 (1979). A taxpayer such as petitioner may be arguably within the zone of interests protected by the Commerce Clause. This is not, however, sufficient to demonstrate that the Commerce Clause secures a right of petitioner within the meaning of
I cannot doubt the truth of the statement, ante, at 449-450 (quoting H. P. Hood & Sons, Inc. v. Du Mond, 336 U. S., at 539), that the Commerce Clause benefits individuals and entities engaged in interstate commerce. Nor do I question the importance of our dormant Commerce Clause jurisprudence in guaranteeing a single, national market. Benefits to those engaged in commerce, however, are incidental to the purpose of the Commerce Clause; they are but evidence of its sound application. That the Commerce Clause benefits individual traders or consumers does not satisfy the majority’s test that a provision must have been intended for the benefit of a particular plaintiff; nor do such benefits prove that the provision secures a plaintiff’s constitutional right to engage in any one activity, to receive any direct benefit, or to avoid any specific detriment. Rather, the Commerce Clause “benefits particular parties only as an incident of” its allocation of power between federal and state sovereignties. Golden State, 493 U. S., at 109.
I continue to draw the distinction made .in my Golden State dissent, id., at 113, and would hold that while the dormant Commerce Clause does not secure a right, it gives rise to a legal interest in petitioner against taxation which violates the dormant Commerce Clause. Thus, petitioner can rely upon the unconstitutionality of the tax in defending a collection action brought by the State, or in pursuing state remedies. This ability to invoke the Commerce Clause against a State, however, is not equivalent to finding a secured right under
The Court’s analysis demonstrates the poverty of the “intended to benefit” test in the constitutional context, for it shows that even structural provisions that benefit individuals incidentally come within its purview. The Court’s logic extends far beyond the Commerce Clause, and creates a whole new class of
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Petitioner here does not complain that the State of Nebraska has failed to provide him an adequate forum in which to contest the validity of Nebraska’s tax. Nebraska has done so. The Nebraska courts acknowledged the invalidity of the State’s tax, enjoined its collection, and directed petitioner to file a refund claim for the taxes he had paid to the
In the Civil Rights Attorney’s Fees Awards Act of 1976, Pub. L. 94-559, 90 Stat. 2641, codified at
• The significant economic interests at stake in dormant Commerce Clause cases, as well as the resources available to the typical dormant Commerce Clause plaintiff, make such concerns far removed from the realities of dormant Commerce Clause litigation. The pages of the United States Reports testify to the ability of major corporations and industry associations to commence and maintain dormant Commerce Clause litigation without receiving attorney’s fee awards under
Today’s decision raises far more questions about the proper conduct of challenges to the validity of state taxation than it answers. The Tax Injunction Act,
Today’s opinion gives no hint of
Shellabarger was discussing the power of Congress to enact § 2 of the 1871 Act, and not the scope of § 1, which we know as
The defendant in Bowman had refused to ship the plaintiff’s product, relying upon an Iowa statute that prohibited shipment of intoxicating liquors. The plaintiff apparently argued that Iowa’s statute violated the Commerce Clause and therefore could not excuse the defendant’s failure to perform. The Court‘s opinion was construing the jurisdictional analogue to
In a search for evidence that the Commerce Clause was intended to benefit persons who engage in interstate commerce, the majority quotes Morgan v. Virginia, 328 U. S. 373, 376-377 (1946), as stating that “‘[c]on-stitutional protection against burdens on commerce is for [their] benefit . . . ” Ante, at 449. The majority’s snippet is part of a sentence which, if read in its entirety, does not state, as the quotation would make it seem, that the Commerce Clause was intended to benefit those who engage in interstate commerce. Rather, the entire passage is as follows:
“We think, as the Court of Appeals apparently did, that the appellant is a proper person to challenge the validity of this statute as a burden on commerce. If it is an invalid burden, the conviction under it would fail. The statute affects appellant as well as the transportation company. Constitutional protection against burdens on commerce is for her benefit on a criminal trial for violation of the challenged statute. Hatch v. Reardon, 204 U. S. 152, 160 [(1907)]; Federation of Labor v. McAdory, 325 U. S. 450, 463 [(1945)].” Morgan, supra, at 376-377 (emphasis added; footnote omitted).
Morgan merely held that a criminal defendant had standing to assert the Commerce Clause as a defense to a prosecution under a Virginia law that required segregation by race of passengers on interstate buses, rejecting the State of Virginia’s argument that only the transportation company had standing to challenge the segregation law. 328 U. S., at 376-377.