NEW YORK STATE TRAWLERS ASSOCIATION, Lauren Ridge and Duncan
Ridge, Plaintiffs-Appellants,
v.
Thomas C. JORLING, Commissioner, New York State Department
of Environmental Conservation, Defendant-Appellee.
No. 569, Docket 93-7571.
United States Court of Appeals,
Second Circuit.
Argued Nov. 1, 1993.
Decided Jan. 18, 1994.
Leon Friedman, New York, NY (Erica Horwitz, Richard Ware Levitt, Nicholas Kaizer, Lefcourt & Dratel, of counsel), for plaintiffs-appellants.
Gregory J. Nolan, Assistant Attorney General, New York, NY (Robert Abrams, Attorney General, Andrea Green, Deputy Solicitor General, Leslie Allan, Assistant Attorney General, of counsel), for defendant-appellee.
Before: OAKES, KEARSE and ALTIMARI, Circuit Judges.
OAKES, Senior Circuit Judge:
I. BACKGROUND
In July 1990, New York amended its Environmental Conservation Law to prohibit anyone owning or operating or on board a vessel equipped with trawling nets from taking, landing, or possessing lobsters in Long Island Sound. N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2)(c) (McKinney Supp.1993) (the "Amendments"). The Amendments became effective on January 1, 1991.
On April 4, 1991, the New York State Trawlers Association, Lauren Ridge, and Duncan Ridge1 (the "Trawlers") brought suit against Thomas C. Jorling, Commissioner of the New York State Department of Environmental Conservation. The Trawlers alleged that the Amendments deprived them of their rights under the Equal Protection and Due Process Clauses of the Fourteenth Amendment to the United States Constitution. The Trawlers also alleged that the Amendments violated the Constitution's Commerce and Bill of Attainder Clauses. To remedy these alleged deprivations, the Trawlers brought suit pursuant to 42 U.S.C. Sec. 1983 (1988 & Supp.1991) seeking temporary and permanent relief enjoining Jorling, as head of the Department of Environmental Conservation (the "DEC"), from enforcing the Amendments.
On April 17, 1991, the United States District Court for the Eastern District of New York, Charles P. Sifton, Judge, denied the Trawlers' motion for a preliminary injunction. New York State Trawlers Ass'n v. Jorling,
II. REGULATION OF LOBSTER FISHERIES IN LONG ISLAND SOUND
Section 13-0329 of New York's Environmental Conservation Law governs the taking of lobsters in New York waters. This section provides for both resident and non-resident permits to take lobsters. Resident and non-resident permits are further classified into commercial and non-commercial permits. N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2).
Although traditionally caught with lobster pots, lobsters may also be caught with trawl nets dragged close to or along the bottom. In the past, it was not profitable to trawl specifically for lobsters. Instead, trawlers2 would trawl for finfish. Occasionally, however, a trawlers' net would inadvertently fall close to, or on, the bottom and consequently ensnare some lobsters.
Prior to January 1, 1983, New York State permitted trawlers with lobster permits to keep and sell all the lobsters3 they caught while trawling for finfish. Gradually, however, the New York legislature became concerned that lobsters caught by trawls were suffering higher mortality rates than lobsters caught by pots or traps. Eventually, these concerns led the legislature to limit trawlers to 100 lobsters per day. N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2)(c) (McKinney 1984). This limit was set with the hope of discouraging trawling specifically for lobsters while allowing trawlers to keep lobsters that they might inadvertently catch. The legislature later became concerned, however, that this limit failed to discourage directed trawling for lobsters:
Contrary to the letter and spirit of the law, some trawl boats are being fitted with equipment designed specifically to take lobsters. The Long Island Sound lobster stocks may be unable to support any significant increase in trawl catches.
Scientific studies have shown that trawler activity in key lobster beds can significantly increase mortality and cull (damage) rates among lobsters. This is especially true during molting periods, when lobsters shed their shells to grow and are soft and vulnerable.
Memorandum of Senator Lavalle and Assembly Member DiNapoli (undated). Finally, in July of 1990, the legislature amended N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2)(c) to prohibit trawlers from taking, landing, or possessing lobsters altogether. The Amendments became effective January 1, 1991. This litigation ensued shortly thereafter.
III. DISCUSSION
A. Standard of Review
We will affirm a grant of summary judgment only where de novo review of the record and evidence in a light most favorable to the non-moving party reveals that there exists no genuine issue of material fact. Viacom Int'l Inc. v. Icahn,
B. Dormant Commerce Clause
The Trawlers challenge the constitutionality of the Amendments under the so-called "dormant" or "negative" Commerce Clause. Trawlers' Brief at 23-32.
The United States Constitution ascribes to Congress the power "[t]o regulate Commerce ... among the several States." U.S. Const. art. I, Sec. 8, cl. 3. Ascription of this power to Congress limits, by negative implication, the power of the States to interfere with interstate commerce. See, e.g., Fort Gratiot Sanitary Landfill, Inc. v. Michigan Dep't of Natural Resources, --- U.S. ----, ----,
Although Envtl.Conserv.Law Sec. 13-0239 differentiates between New York residents and non-residents for the purpose of issuing lobster permits, its prohibition of the possession or taking of lobsters by trawlers applies equally to resident and non-resident trawlers. In addition, nothing in Envtl.Conserv.Law Sec. 13-0329 requires non-resident trawlers to violate the law of another jurisdiction. Further, the Amendments neither advance protectionist interests nor shift burdens from New York to other states. We conclude that the statute regulates evenhandedly.4 We therefore determine first whether the regulation is reasonably related to a legitimate state end and second whether the burden on interstate commerce imposed by the regulation outweighs the state's interest in enforcing the regulation. The Supreme Court in Pike put it this way:
Where the statute regulates evenhandedly to effectuate a legitimate local public interest, and its effects on interstate commerce are only incidental, it will be upheld unless the burden imposed on such commerce is clearly excessive in relation to the putative local benefits.
Pike,
The regulations at issue in this case are rationally related to advancing a legitimate state interest. The protection of the environment and conservation of natural resources--including marine resources are areas of "legitimate local concern." Id. at 471,
A reasonable factfinder could not find that the Amendments impose substantial or significant burdens on interstate commerce. The Trawlers argue that, under the Amendments, Connecticut trawlers with non-resident permits will be required to travel greater distances. Trawlers' Brief at 23-32. The Trawlers, however, fail to point to any evidence of actual hardship to Connecticut trawlers. Instead, the Trawlers rely on the affidavit of Connecticut fisherman Thomas MacGregor that presented hypothetical situations in which a Connecticut trawler might be burdened by the Amendments. MacGregor did not assert that he actually catches lobsters in Connecticut waters from which he cannot return directly to his home port without crossing New York waters. Indeed, there is no evidence that any Connecticut trawler actually catches lobsters in Connecticut waters that would require the trawler to cross New York waters in order to return directly to his or her home port. See MacGregor Aff. of Sept. 28, 1992, Joint Appendix at 524.
Furthermore, it appears that if any burdens are imposed on Connecticut trawlers, they are similar to burdens that already exist under different aspects of Section 13-0329. Prior to the Amendments, for example, a Connecticut trawler was required to obtain a permit to fish for lobsters in New York waters. Presumably, a Connecticut trawler without a permit would have been subject to the same burden that the Trawlers argue a Connecticut trawler will now be subject to. Although Connecticut trawlers could ameliorate this burden in part by applying for a permit to take lobsters from New York waters, they could not avoid the burden completely. For example, although Connecticut trawlers could obtain a permit, the number of lobsters they could take or possess under the permit was limited to 100. Thus, a Connecticut trawler who possessed more than 100 lobsters would also be required to skirt New York waters.
In addition, a reasonable factfinder could not have found that whatever incidental burdens exist were "clearly excessive" in relation to the local benefits. Even studies relied upon by the Trawlers showed that there is a significant difference between mortality rates amongst lobsters caught by trawl nets and lobsters caught by pots. The disparity between mortality rates is even greater during the molting season, when lobsters shed their shells. Given the small, if not non-existent, incidental burdens on interstate commerce and the significant local benefits, a reasonable factfinder could not have found that incidental burdens on interstate commerce were "clearly excessive" in relation to, or otherwise outweighed, the benefits of discouraging directed trawling for lobsters.
C. Other Constitutional Challenges
The Trawlers also challenge the Amendments as unconstitutional under the Equal Protection Clause, the Due Process Clause, and the Bill of Attainder Clause. Under each of these clauses, the Trawlers essentially argue that the Amendments do no more than favor one in-state economic group--the pot fishermen--over another--the trawl fishermen. We will address this argument with respect to each clause.
1. Equal Protection Challenge
The Trawlers argue that the Amendments discriminate against trawlers, depriving them of their right to equal protection of the laws. They support this argument with citation to United States Dep't of Agric. v. Moreno,
The creation of economic classifications by legislation is ordinarily entitled to substantial deference. As the Supreme Court has written, "[s]tates are accorded wide latitude in the regulation of their local economies under the police powers and rational distinctions may be made with substantially less than mathematical exactitude." Dukes,
As we have said, there is no doubt that the protection of the lobster fishery in the Long Island Sound is a legitimate state interest. The interest of a state in regulating the taking of its fish and wildlife resources has been long established. See, e.g., New York ex rel. Kennedy v. Becker,
The Trawlers rely on United States Dep't of Agric. v. Moreno to argue that New York may not enact legislation that simply promotes one economic interest or group over another. Moreno, however, is inapposite to this case. Moreno involved a regulation that denied food stamps to households containing unrelated members on the basis that the classification was "wholly without any rational basis." Moreno,
The Trawlers also rely on Smith v. Cahoon. Although this case is closer to the mark in that it found arbitrary an economic distinction between transporters of some food products and those of others, Cahoon, like Moreno, is not controlling. To analogize Cahoon to this case, the Trawlers must state "the policy justification offered for the law [at issue here]--environmental protection--is simply not plausible." Trawlers' Brief at 38. They argue that the ban on their possession of lobsters does not advance the goal of insuring that trawls shall not injure the resource because "the nets will continue to be used in the same manner as they have always been used and in the same places in the Sound." Id. The New York Legislature, however, may have thought otherwise. As Judge Sifton pointed out, the legislature was concerned with some trawler fishermen directing their efforts at catching lobster. Indeed, affidavits to this effect were submitted in support of summary judgment. See Joint Appendix at 30 (omitted in published opinion except to say that "the legislature eliminates incentives to seek out lobsters deliberately and encourages commercial fisherman [sic] to take steps to avoid the time-consuming process of returning lobsters caught to the ocean floor unharmed." Trawlers,
2. Due Process
The Trawlers argue that the Amendments deprive them of a property interest in trawling for lobsters without due process of law, a substantive due process argument. The Trawlers also argue that the Amendments subject them to impermissible pejorative presumptions. These deprivations, the Trawlers argue, violate the Due Process Clause of the Fourteenth Amendment. Trawlers' Brief at 43-47.
The Amendments do not deprive trawlers of a property interest. Persons engaged in an industry affecting the public interest may be subject to state regulation, including licensing schemes. One's interest in a license may be a property interest cognizable by the Due Process Clause of the Constitution, even after the demise of "Allgeyer-Lochner-Adair-Coppage constitutional doctrine" as explicated in Lincoln Fed. Labor Union No. 19129 v. Northwestern Iron and Metal Co.,
Constitutional cognizance of a property interest in a vocational license requires states to administer licensing schemes fairly. That is, a state may not arbitrarily deny a person a permit to take lobsters nor may it capriciously revoke a person's permit to take lobsters. Lebbos,
We also reject the Trawlers' second due process challenge--that the Amendments impose an unconstitutional irrebuttable presumption upon the owners and operators of trawlers. The Supreme Court has recognized that irrebuttable presumptions imposed on people to deprive them of fundamental constitutional rights are "disfavored under the Due Process Clauses of the Fifth and Fourteenth Amendments." Vlandis v. Kline,
A person shall not be issued a permit to take or land lobsters in New York state if said person had a license or permit to take or land lobsters in another state which has been suspended or revoked for an illegal act which is also an illegal act in New York state until such suspension or revocation has been terminated.
This provision creates a presumption that attaches to a particular person.6 The Amendments, by contrast, reflect a legislative judgment concerning appropriate methods for the taking of lobsters.
3. Bill of Attainder
Finally, the Trawlers argue that the Amendments violate the Constitution's prohibition on bills of attainder. Trawlers' Brief at 40-43. That prohibition provides, "No State shall ... pass any Bill of Attainder." U.S. Const. art. I, Sec. 10, cl. 1; see generally McMullen v. United States,
A bill of attainder is "a law that legislatively determines guilt and inflicts punishment upon an identifiable individual without provision of the protections of a judicial trial." Nixon v. Administrator of Gen. Servs.,
The Amendments do not impose punishment under any of these tests. Under the traditional test, statutes imposing " 'punishment traditionally judged to be prohibited by the Bill of Attainder Clause,' including death, imprisonment, banishment, punitive confiscation of property by the sovereign and, in more recent times, laws 'barring designated individuals or groups from participation in specified employments or vocations' " have been held to violate the prohibitions on Bills of Attainder. McMullen,
IV. CONCLUSION
In closing, we are reminded of the words of F. Scott Fitzgerald. In the final passages of The Great Gatsby, Nick sits on the beach looking out over the Long Island Sound. While contemplating the Sound, Nick reflects upon the "fresh, green breast of the new world" as it must have appeared to its first explorers. Not long ago, it would indeed have seemed that the Sound "year by year recedes before us." Increasingly, however, New York is recognizing its interest in protecting the rich natural resources of the Sound. The Amendments to N.Y.Envtl.Conserv.Law Sec. 13-0329 are rationally related to that interest. Perhaps, "one fine morning--".
Judgment affirmed.
Notes
Plaintiff Thomas MacGregor later joined the action by amendment of the complaint dated Aug. 11, 1992
A trawler is, for purposes of the statute, "a person holding a commercial permit who is a person operating or owning or on board a dragger or any vessel used to operate any net defined as a trawl in section 13-0341 of this title" N.Y.Envtl.Conserv.Law Sec. 13-0329(1). A trawl is defined as "a net which is towed or dragged through the water column, capturing fish by straining the water, but shall not include a seine which is used to encircle fish." N.Y.Envtl.Conserv.Law Sec. 13-0341 (McKinney 1984)
Within legal limits as to size of the lobsters and the condition of their shells. See N.Y.Envtl.Conserv.Law Sec. 13-0329(5) (McKinney 1984 & Supp.1993)
We note that the Trawlers' reliance on Atlantic Prince Ltd. v. Jorling,
Also, and again as discussed above, the Amendments do not bar trawlers from fishing for other fish or even from fishing for lobsters with pots or traps so long as they do so from vessels with no trawls
Whether this presumption is unconstitutional is, of course, another question with respect to which we express no opinion
