ROBERTSON v. WEGMANN, EXECUTOR, ET AL.
No. 77-178
Supreme Court of the United States
Argued March 21, 1978—Decided May 31, 1978
436 U.S. 584
Malcolm W. Monroe argued the cause for petitioner. With him on the briefs was Eberhard P. Deutsch.
Respondent Edward F. Wegmann argued the cause and filed a brief pro se.*
MR. JUSTICE MARSHALL delivered the opinion of the Court.
In early 1970, Clay L. Shaw filed a civil rights action under
In 1969, Shaw was tried in a Louisiana state court on charges of having participated in a conspiracy to assassinate President John F. Kennedy. He was acquitted by a jury but within days was arrested on charges of having committed perjury in his testimony at the conspiracy trial. Alleging that these prosecutions were undertaken in bad faith, Shaw‘s § 1983 complaint named as defendants the then District Attorney of Orleans Parish, Jim Garrison, and five other persons, including petitioner Willard E. Robertson, who was alleged to have lent financial support to Garrison‘s investigation of Shaw through an organization known as “Truth or Consequences.” On Shaw‘s application, the District Court enjoined prosecution of the perjury action, Shaw v. Garrison, 328 F. Supp. 390 (1971), and the Court of Appeals affirmed, 467 F. 2d 113 (CA5 1972).2
Sincе Shaw had filed an action seeking damages, the parties continued with discovery after the injunction issued. Trial was set for November 1974, but in August 1974 Shaw died. The executor of his estate, respondent Edward F. Wegmann (hereafter respondent), moved to be substituted as plaintiff,
The District Court denied the motion to dismiss. It began its analysis by referring to
“the common law, as modified and changed by the constitution and statutes of the State wherеin the court having jurisdiction of [the] civil cause is held, so far as the same is not inconsistent with the Constitution and laws of the United States.”
The court found the federal civil rights laws to be “deficient in not providing for survival.” Shaw v. Garrison, 391 F. Supp. 1353, 1361 (1975). It then held that, under Louisiana law, an action like Shaw‘s would survive only in favor of a spouse, children, parents, or siblings. Since no person with the requisite relationship to Shaw was alive at the time of his death, his action would have abated had state law been adopted as the federal rule. But the court refused to apply state law, finding it inconsistent with federal law, and in its place created “a federal common law of survival in civil rights actions in favor of the personal representative of the deceased.” Id., at 1368.
On an interlocutory appeal taken pursuant to
We granted certiorari, 434 U. S. 983 (1977), and we now reverse.
II
As both courts below held, and as both parties here have assumed, the decision as to the applicable survivorship rule is governed by
As we noted in Moor v. County of Alameda, and as was recognized by both courts below, one specific area not covered by federal law is that relating to “the survival of civil rights actions under § 1983 upon the death of either the plaintiff or defendant.” 411 U. S., at 702 n. 14.4 State statutes governing the survival of state actions do exist, however. These statutes, which vary widely with regard to both the types of claims that survive and the parties as to whom survivorship is allowed, see W. Prosser, Law of Torts 900-901 (4th ed. 1971), were intended to modify the simple, if harsh, 19th-century common-law rule: “[A]n injured party‘s personal claim was [always] extinguished . . . upon the death of either the injured party himself or the alleged wrongdoer.” Moor v. County of Alameda, supra, at 702 n. 14; see Michigan Central R. Co. v. Vreeland, 227 U. S. 59, 67 (1913). Under § 1988, this state statutory law, modifying the common law,5
III
In resolving questions of inconsistency between state and federal law raised under § 1988, courts must look not only at particular federal statutes and constitutional provisions, but also at “the policies expressed in [them].” Sullivan v. Little Hunting Park, Inc., supra, at 240; see Moor v. County of Alameda, supra, at 703. Of particular importance is whether application of state law “would be inconsistent with the federal policy underlying the cause of action under consideration.” Johnson v. Railway Express Agency, Inc., 421 U. S. 454, 465 (1975). The instant cause of action arises under
Despite the broad sweep of § 1983, we can find nothing in the statute or its underlying policies to indicate that a state law causing abatement of a particular action should invariably be ignored in favor of a rule of absolute survivorship. The
It is therefore difficult to see how any of § 1983‘s policies would be undermined if Shaw‘s action were to abate. The goal of compensating those injured by a deprivation of rights provides no basis for requiring compensation of one who is merely suing as the executor of the deceased‘s estate.9 And, given that most Louisiana actions survive the plaintiff‘s death, the fact that a particular action might abate surely would not adversely affect § 1983‘s role in preventing official illegality, at least in situations in which there is no claim that the illegality caused the plaintiff‘s death. A state official contemplating illegal activity must always be prepared to face the prospect of a § 1983 action being filed against him. In light of this prospect, even an officiаl aware of the intricacies of Louisiana survivorship law would hardly be influenced in his behavior by its provisions.10
Our holding today is a narrow one, limited to situations in which no claim is made that state law generally is inhospitable to survival of § 1983 actions and in which the particular application of state survivorship law, while it may cause abatement of the action, has no independent adverse effect on the policies underlying § 1983. A different situation might well be presented, as the District Court noted, if state law “did not provide for survival of any tort actions,” 391 F. Supp., at 1363, or if it significantly restricted the types of actions that survive. Cf. Carey v. Piphus, 435 U. S., at 258 (failure of common law to “recognize an analogous cause of action” is not sufficient reason to deny compensation to § 1983 plaintiff). We intimate no view, moreover, about whether abatement based on state law could be allowed in a situation in which deprivation of federal rights caused death. See supra, at 592, and n. 10; cf. Brazier v. Cherry, 293 F. 2d 401 (CA5 1961) (deceased allegedly beaten to death by policemen; state survival law applied in favor of his widow and estate).
Here it is agreed that Shaw‘s death was not caused by the deprivation of rights for which he sued under § 1983, and Louisiana law provides for the survival of most tort actions. Respondent‘s only complaint about Louisiana law is that it would cause Shaw‘s action to abate. We conclude that the
Reversed.
MR. JUSTICE BLACKMUN, with whom MR. JUSTICE BRENNAN and MR. JUSTICE WHITE join, dissenting.
It is disturbing to see the Court, in this decision, although almost apologetically self-described as “a narrow one,” ante, at 594, cut back on what is acknowledged, ante, at 590, to be the “broad sweep” of
I do not read the emphasis of § 1988, as the Court does, ante, at 585 and 593-594, n. 11, to the effect that the Federal District Court “was required to adopt” the Louisiana statute, and was free to look to federal common law only as a secondary matter. It seems to me that this places the cart before the horse. Section 1988 requires the utilization of federal law (“shall be exercised and enforced in conformity with the laws of the United States“). It authorizes resort to the state statute only if the federal laws “are not adapted to the object” of “proteсtion of all persons in the United States in their civil rights, and for their vindication” or are “deficient in the provisions necessary to furnish suitable remedies and punish offenses against law.” Even then, state statutes are an alternative source of law only if “not inconsistent with the Constitution and laws of the United States.” Surely, federal law is the rule and not the exception.
Accepting this as the proper starting point, it necessarily follows, it seems to me, that the judgment of the Court of Appeals must be affirmed, not reversed. To be sure, survivorship of a civil rights action under § 1983 upon the death of either party is not specifically covered by the federal statute. But that does not mean that “the laws of the United States” are not “suitable” or are “not adapted to the object” or are “deficient in the provisions necessary.” The federal law and
First. In Sullivan v. Little Hunting Park, Inc., 396 U. S. 229 (1969), a case that concerned the availability of compensatory damages for a violation of
“[A]s we read § 1988, . . . both federal and state rules on damages may be utilized, whichever better serves the policies expressed in the federal statutes. . . . The rule of damages, whether drawn from federal or state sources, is a federal rule responsive to the need whenever a federal right is impaired.” 396 U. S., at 240 (emphasis added).
The Court‘s present reading of § 1988 seems to me to be hyperlogical and sadly out of line with the precept set forth in that quoted material. The statute was intended to give courts flexibility to shape their procedures and remedies in accord with the underlying policies of the Civil Rights Acts, choosing whichever rule ”better serves” those policies (emphasis added). I do not understand the Court to deny a federal court‘s authority under § 1988 to reject state law when to apply it seriously undermines substantial federal concerns. But I do not accept the Court‘s apparent conclusion that, absent such an extreme inconsistency, § 1988 restricts courts to state law on matters of procedure and remedy. That conclusion too often would interfere with the efficient redress of constitutional rights.
Second. The Court‘s reading of § 1988 cannot easily be squared with its treatment of the problems of immunity and damages under the Civil Rights Acts. Only this Term, in
Similarly, in constructing immunities under § 1983, the Court has consistently relied on federal common-law rules. As Carey v. Piphus recognizes, id., at 258 n. 13, in attributing immunity to prosecutors, Imbler v. Pachtman, 424 U. S. 409, 417-419 (1976); to judges, Pierson v. Ray, 386 U. S. 547, 554-555 (1967); and to other officials, matters on which the language of § 1983 is silent, we have not felt bound by the tort immunities recognized in the particular forum State and, only after finding an “inconsistency” with federal standards, then considered a uniform federal rule. Instead, the immunities have been fashioned in light of historic common-law concerns and the policies of the Civil Rights Acts.1
Third. A flexible reading of § 1988, permitting resort to a federal rule of survival because it “better serves” the policies of the Civil Rights Acts, would be consistent with the methodology employed in the other major choice-of-law provision in the federal structure, namely, the Rules of Decision Act.
Just as the Rules of Decision Act cases disregard state law where there is conflict with federal policy, even though no explicit conflict with the terms of a federal statute, so, too, state remedial and procedural law must be disregarded under § 1988 where that law fails to give adequate expression to important federal concerns. See Sullivan v. Little Hunting Park, Inc., supra. The opponents of the 1866 Act were distinctly aware that thе legislation that became § 1988 would
“I might go on and in this manner illustrate the practical working of this extraordinary measure. . . . [T]he authors of this bill feared, very properly too, that the system of laws heretofore administered in the Federal courts might fail to supply any precedent to guide the courts in the enforcement of the strange provisions of this bill, and not to be thwarted by this difficulty, they confer upon the courts the power of judicial legislаtion, the power to make such other laws as they may think necessary. Such is the practical effect of the last clause of the third section [of § 1988] . . . .
“That is to say, the Federal courts may, in such cases, make such rules and apply such law as they please, and call it common law” (emphasis in original). Cong. Globe, 39th Cong., 1st Sess., 1271 (1866).
Fourth. Section 1983‘s critical concerns are compensation of the victims of unconstitutional action, and deterrence of like misconduct in the future. Any crabbed rule of survivorship obviously interferes directly with the second critical interest and may well interfere with the first.
The unsuitability of Louisiana‘s law is shown by the very case at hand. It will happen not infrequently that a decedent‘s only survivor or survivors are nonrelatives or collateral relatives who do not fit within the four named classes of Louisiana statutory survivors. Though the Court surmises, ante, at 591-592, that “surely few persons are not survived” by a spouse, children, parents, or siblings, any lawyer who has had experience in estate planning or in probating estates knows that that situation is frequently encountered. The Louisiana survivorship rule applies no matter how malicious or ill-intentioned a defendant‘s action was. In this case, as
The Louisiana rule requiring abatement appears to apply even where the death was intentional and caused, say, by a beating delivered by a defendant. The Court does not deny this result, merely declaiming, ante, at 594, that in such a case it might reconsider the applicability of the Louisiana survivorship statute. But the Court does not explain how either certainty or federalism is served by such a variegated application of the Louisiana statute, nor how an abatement rule would be workable when made to depend on a fact of causation often requiring an entire trial to prove.
It makes no sense to me to make even a passing reference, ante, at 592, to behavioral influence. The Court opines that no official aware of the intricacies of Louisiana survivorship law would “be influenced in his behavior by its provisions.” But the defendants in Shaw‘s litigation obviously have been “sweating it out” through the several years of proceedings and litigation in this cаse. One can imagine the relief occasioned when the realization dawned that Shaw‘s death might—just might—abate the action. To that extent, the deterrent against behavior such as that attributed to the defendants in this case surely has been lessened.
As to compensation, it is no answer to intimate, as the Court
Fifth. The Court regards the Louisiana system‘s structuring of survivorship rights as not unreasonable. Ante, at 592. The observation, of course, is a gratuitous one, for as the Court immediately observes, id., at 592 n. 8, it does not resolve the issue that confronts us here. We are not concernеd with the reasonableness of the Louisiana survivorship statute in allocating tort recoveries. We are concerned with its application in the face of a claim of civil rights guaranteed the decedent by federal law. Similarly, the Court‘s observation that the Longshoremen‘s and Harbor Workers’ Compensation Act,
The Court acknowledges, ante, at 590, “the broad sweep of § 1983,” but seeks to justify the application of a rule of nonsurvivorship here because it feels that Louisiana is comparatively generous as to survivorship anyway. This grudging allowance of what the Louisiana statute does not give, just because it gives in part, seems to me to grind adversely against the statute‘s “broad swеep.” Would the Court‘s decision be otherwise if actions for defamation and malicious prosecution in fact did not survive at all in Louisiana? The Court by omission admits, ante, at 591, and n. 6, that that question of survival has not been litigated in Louisiana. See Johnson, Death on the Callais Coach: The Mystery of Louisiana Wrongful Death and Survival Actions, 37 La. L. Rev. 1, 6 n. 23 (1976). Defamation and malicious prosecution actions wholly abate upon the death of the plaintiff in a large number of States, see ante, at 591, and n. 6. Does it make sense to apply a federal rule of survivorship in those States while preserving a different state rule, stingier than the federal rule, in Louisiana?
Sixth. A federal rule of survivorship allows unifоrmity, and counsel immediately know the answer. Litigants identically aggrieved in their federal civil rights, residing in geographically adjacent States, will not have differing results due to the vagaries of state law. Litigants need not engage in uncertain characterization of a § 1983 action in terms of its nearest tort cousin, a questionable procedure to begin with, since the interests protected by tort law and constitutional law may be quite different. Nor will federal rights depend on the arcane intricacies of state survival law—which differs in Louisiana according to whether the right is “strictly personal,”
The policies favoring so-called “absolute” survivorship, viz., survivorship in favor of a decedent‘s nonrelated legatees in the absence of familial legatees, are the simple goals of uniformity, deterrence, and perhaps compensation. A defendant who has violated someone‘s constitutional rights has no legitimate interest in a windfall release upon the death of the victim. A plaintiff‘s interest in certainty, in an equal remedy, and in deterrence supports such an absolute rule. I regard as unanswered the justifications advanced by the District Court and the Court of Appeals: uniformity of decisions and fulfillment of the great purposes of § 1983. 391 F. Supp., at 1359, 1363-1365; 545 F. 2d, at 983.
Seventh. Rejecting Louisiana‘s survivorship limitations does not mean that state procedure and state remedies will cease to serve as important sourсes of civil rights law. State law, for instance, may well be a suitable source of statutes of limitation, since that is a rule for which litigants prudently can plan. Rejecting Louisiana‘s survivorship limitations means only that state rules are subject to some scrutiny for suitability. Here the deterrent purpose of § 1983 is disserved by Louisiana‘s rule of abatement.
It is unfortunate that the Court restricts the reach of § 1983 by today‘s decision construing § 1988. Congress now must act again if the gap in remedy is to be filled.