Lead Opinion
Opinion for the Court filed by Circuit Judge GRIFFITH.
Concurring opinion filed by Circuit Judge TATEL.
Opinion concurring in the judgment filed by Senior Circuit Judge SILBERMAN.
Shelby County, Alabama, prevailed in a challenge to the constitutionality of section 4 of the Voting Rights Act of 1965 (VRA) and now seeks attorneys’ fees from the Government under the Act’s fee-shifting provision. The district court found that Shelby County was not entitled to receive fees because its victory did not advance any of the goals Congress meant to promote by making fees available. We agree.
I
The historical and legal background to this dispute has been set out several times over the history of this case. See Shelby Cnty., Ala. v. Holder, — U.S. -,
A
In the aftermath of the Civil War, the Nation ratified the Thirteenth, Fourteenth, and Fifteenth Amendments to the Constitution in an effort to stamp out the race-based forms of legal oppression that the states had imposed throughout the first century of the Republic. These amendments worked a profound change by sweeping away the most appalling forms of legal subjugation that had defined the preCivil War era. Black Americans now held the sovereign franchise and were entitled to equal treatment under the law. But racial prejudice is not only insidious, it is resilient. The serpent of state-sponsored racism remained in the garden and “the blight of racial discrimination” simply switched its focus to a new battleground and “infected the electoral process” that black citizens had only begun to enter. South Carolina v. Katzenbach,
It was not until the 1950s that Congress began to take action to secure the promise of equal citizenship extended after the Civil War; among, other things, Congress passed three statutes authorizing individual suits to protect voting rights. Katzenbach,
“The historic accomplishments of the Voting Rights Act are undeniable.” Northwest Austin,
B
Shelby County, Alabama, was covered by the section 5 preclearance regime under the formula set out in section 4 of the VRA and challenged the constitutionality of both in a suit filed in district court in the District of Columbia.
After losing in the district court and before us, Shelby County ultimately prevailed when the Supreme Court ruled the coverage formula unconstitutional. Shelby County,
On remand to the district court, Shelby County filed a motion for attorneys’ fees, seeking $2 million in fees and $10,000 in costs. The 1975 amendments to the VRA had introduced a fee-shifting provision at section 14(e) of the Act, which provides:
In any action or proceeding to enforce the voting guarantees of the fourteenth or fifteenth amendment, the court, in its discretion, may allow the prevailing party, other than the United States, a reasonable [attorneys’] fee, reasonable expert fees, and other reasonable litigation expenses as part of the costs.
52 U.S.C. § 10310(e).
Shelby County timely appealed. We have jurisdiction over a final order of the district court under 28 U.S.C. § 1291. As the question in this case is whether the district court correctly applied the proper legal standard to determine whether Shelby County should receive fees, we review the decision de novo. See Conservation Force v. Salazar,
II
We agree with the district court that Shelby County is not entitled to fees.
A
The rules governing this dispute are straightforward. Fee-shifting provisions set out the criteria a court must use to determine whether a party is even eligible for fees. In addition to those statutory criteria, the Supreme Court has also created an additional requirement: A party can only receive fees if it also shows that it is entitled to them, meaning that its victory in court helped advance the rationales that led Congress to create fee-shifting provisions in the first place. Though the entitlement requirement does not appear in the text of any fee-shifting provision, the Supreme Court has enforced it on a number of occasions and both this court and Congress have accepted that a prevailing party must show entitlement to receive a fee award. See Christiansburg Garment Co. v. EEOC,
The Court has also explained that the primary rationale for such fee-shifting provisions — and the only rationale on
The Court first explained this standard in Newman v. Piggie Park Enterprises, Inc.,
Decades ago, we held that the Piggie Park standard also governs claims for attorneys’ fees under the VRA. See Donnell v. United States,
For example, in Christiansburg Garment, an employer was accused of wrongful discrimination in violation of Title VII of the Civil Rights Act of 1964.
The Court came to effectively the same conclusion in a different context in Independent Federation of Flight Attendants v. Zipes,
B
1
Section 14(e) of the VRA permits district courts to award fees to a party who prevailed in an “action or proceeding to enforce the voting guarantees of the fourteenth or fifteenth amendment.” 52 U.S.C. § 10310(e). To show that it is eligible for fees under the statute, Shelby County must demonstrate that it prevailed in an action to enforce the voting guarantees of the Reconstruction Amendments. The Government concedes that Shelby County is a “prevailing party,” but argues that it is nonetheless not eligible for fees because its lawsuit did not enforce the “voting guarantees” of the Reconstruction Amendments. As it turns out, this is a difficult question. The Government submits that the only “voting guarantees” secured by those amendments are individual voting rights and that Shelby County’s lawsuit was aimed instead at vindicating the structural rights of states and other political jurisdictions. Shelby County insists to the contrary that the Reconstruction Amendments “reflect guarantees to individuals and states alike: to individuals, to be free from discrimination; and to states, to be free from unwarranted regulation.” To settle this dispute we would need to determine what voting rights the Reconstruction Amendments actually guarantee.
However, Shelby County could not win fees even if it were correct about the contours of the Reconstruction Amendments. Section 14(e) serves only to identify those eligible for fees. As we have explained, the prevailing party must also show that it is entitled to fees. See Christiansburg Garment,
As we will explain below, Shelby County is not entitled to attorneys’ fees because its lawsuit did not advance any of the purposes that Congress meant to promote by making fees available. Therefore we do not need to determine whether Shelby County or the Government is correct about what “voting guarantees” are secured by the Reconstruction Amendments. Resolving that question is immaterial to the outcome of this case. And because we need not answer that constitutional question, we will not do so. See, e.g., Elk Grove Unified Sch. Dist. v. Newdow,
2
We agree with the district court that Shelby County is not entitled to fees under Piggie Park. Shelby County’s argument boils down to the proposition that Congress introduced the fee-shifting provision into the VRA in 1975 with the express goal of inducing a private party to bring a lawsuit to neuter the Act’s central tool. But that makes no sense. As we know from numerous statements by the Supreme Court, Congress enacted fee-shifting provisions in civil rights statutes to “secur[e] broad compliance” with those statutes, not to immobilize them. Piggie Park, 390 U.S at 401,
In other words, Shelby County’s lawsuit neither advanced Congress’s purpose nor performed some service Congress needed help to accomplish. It defies common sense and ignores the structure and history of the Act to think otherwise. Therefore we conclude that Shelby County is not entitled to fees under the Piggie Park standard.
Shelby County tries to justify its entitlement to fees by relying on a number of counterarguments. None persuade us. Most importantly, Shelby County points to section 14(b) of the Act, which provides that “[n]o court other than the District Court for the District of Columbia shall have jurisdiction to issue any declaratory judgment ... or any restraining order or temporary or permanent injunction against the execution or enforcement of any provision” of the VRA. 52 U.S.C. § 10310(b). Shelby County argues that section 14(b) created a new cause of action authorizing constitutional challenges to the VRA. Therefore, the argument goes, Congress must have meant to encourage constitutional challenges. If not, it would have had no reason to establish a cause of action allowing private parties to bring such challenges. And if so, Shelby County insists that its success in striking down section 4 advanced Congress’s purposes after all. On this peg Shelby County has hung its hopes.
But it is by no means clear that section 14(b) creates a new cause of action.
The Supreme Court seems to have put this issue to rest in Allen v. State Board of Elections,
Shelby County points to a single sentence in Allen, in which the Court referred to section 14(b) as one of the “Act’s enforcement provisions” and said that a suit of the kind identified in section 14(b) “would involve an attack on the constitutionality of the Act itself.”
In any event, even if Shelby County were right that section 14(b) creates a cause of action — a dubious proposition given the evidence — the County still would not be entitled to fees under the Piggie Park standard. Piggie Park does not ask whether Congress intended to authorize Shelby County’s challenge. The only question under Piggie Park is whether Congress intended to encourage constitutional challenges to the VRA as a way of “securing broad compliance” with the statute, Piggie Park,
Shelby County tries to bolster its argument by explaining all the reasons why Congress might have regarded constitutional challenges to the VRA as socially beneficial. But as we have already said, the Piggie Park standard does not determine fee entitlement based on whether Congress would applaud or condemn an individual litigant. Instead, entitlement under Piggie Park turns on whether Congress intended to use fees to encourage the prevailing party’s litigation as part of a program for ensuring compliance with the Act. Though Shelby County may have vindicated other values, invalidating one of the VRA’s central provisions did not promote compliance with the Act.
Shelby County’s other arguments are no more persuasive. For example, Shelby County insists we must find it entitled to fees because winning this lawsuit enforced the voting guarantees of the Reconstruction Amendments. This argument thoroughly misses the point. Whether Shelby County defended the rights secured in the Reconstruction Amendments is relevant to whether the County is eligible for fees, not whether it is entitled to them. We do not decide whether Shelby County is right about the contours of those Amendments because we do not need to do so. Shelby County did not help secure compliance with the VRA by convincing the Court to strike down the VRA’s signature statutory device. Therefore Shelby County is not entitled to fees under Piggie Park.
Shelby County also points out that “nothing in the legislative history suggests that Congress was disavowing promotion of other types of litigation authorized under the statute.... ” Perhaps, but the legislative history does make clear that Congress intended for courts to award fees under the VRA, pursuant to the Piggie Park standard, when prevailing parties helped secure compliance with the statute. Most notably, the Senate Report explains that Congress was adopting section 14(e) because the Nation “depends heavily on private citizens to enforce” the Act. S.Rep. No. 94-295, at 40 (1975). Shelby County cannot plausibly argue that Congress “depended] heavily on private citizens” to bring constitutional challenges to the coverage formula, especially because the sunset provision empowered even one house of the legislature to invalidate section 4 by refusing to support reauthorization.
Shelby County insists that if it is not entitled to fees, the incentives to bring VRA actions would be distorted. Other jurisdictions seeking to invalidate provisions of the VRA on constitutional grounds in the future would have to bear the costs of litigating those challenges, while facing the prospect, if they lost, of fee liability to private parties that intervened on the Government’s behalf. The distorted incentives of which Shelby County warns seem at best hypothetical. Shelby County has not identified any case in which an intervenordefendant has obtained fees from a plaintiff jurisdiction for helping the Government defend the VRA’s constitutionality, nor have we found such a case ourselves. Thus Shelby County’s fear that future unsuccessful challengers would face the prospect of paying the fees of intervenor-defendants is mere speculation. Moreover, Shelby County does not seem to believe that these distorted incentives would actually materialize. In its reply brief Shelby County maintained that it would not have been liable for fees as to the intervenordefendants in this case had Shelby County lost. But more to the point, even if we accepted Shelby County’s prognostication and overlooked the internal contradictions of its argument, this issue is not relevant to our decision here. We need not decide whether our legal conclusion would actually create unequal litigation incentives or
Shelby County also argues that finding it not entitled to fees would merely constitute punishment because we dislike the results of Shelby County’s success even though “unsympathetic litigants” routinely win fees when they prevail under civil rights statutes. Appellant’s Br. 33-34. As an initial matter, we reject Shelby County’s premise. Our decision in no way rests on any assessment of the social value of Shelby County’s suit. Nor do we find Shelby County not entitled to fees based on the assumption that it brought this suit as an “opponent of individual voting rights.” Id. at 43.
What is more, Shelby County misapprehends the cases on which this argument relies. The “unsympathetic” litigants Shelby County identifies won fee awards when they helped to enforce the statute in question, irrespective of whether the legal theory or practical effect of that suit was universally appealing. Some observers may be surprised, puzzled, or even upset when, pursuant to a fee-shifting provision, a court awards fees to a Caucasian man in a VRA suit, see Maloney v. City of Marietta,
In the same vein, Shelby County argues that we should be guided here by the analysis that persuaded the court to grant fees in Lawrence v. Bowsher,
Finally, Shelby County argues that the approach we have taken to understanding section 14(e) is in error. Shelby County accepts that the Supreme Court has several times, in Piggie Park, Christiansburg Garment, and Zipes, discussed and relied on the purposes Congress intended to advance through fee awards. And Shelby County admits that in those cases the Court explained that prevailing parties are entitled to fees when their lawsuits advanced one or another purpose that Congress planned to advance by enacting the fee-shifting provision. Shelby County even acknowledges that we have adopted the Biggie Bark standard to govern fee entitlement under section 14(e). See Donnell,
C
Even though Shelby County has based its argument for fees entirely on Biggie Bark, the district court considered whether Shelby County might also be entitled to fees under the Christiansburg Garment standard, which would allow a fee award only if the Government’s defense of the coverage formula’s constitutionality was frivolous or without foundation. See Shelby County,
Ill
For the foregoing reasons, we affirm the district court’s denial of Shelby County’s application for attorneys’ fees.
Notes
. The Voting Rights Act was originally codified in Title 42 of the United States Code. Section 14(e) was first codified as 42 U.S.C. § 1973 l (e). On September 1, 2014, the Office of the Law Revision Counsel recodified the VRA and other provisions related to voting and elections into a new Title 52. See Editorial Reclassification, Office of the Law Revision Counsel, http://uscode.house.gov/ editorialreclassification/t52/index.html (last visited Sept. 1, 2015). We will cite to the current version of the Code.
. In both Christiansburg Garment and Zipes, the Court went on to conclude that the prevailing plaintiffs were not entitled to fees under the alternative frivolous litigation standard.
. Attorney General Katzenbach was one of the principal drafters of the VRA. See Dougherty Cnty., Ga., Bd. of Ed. v. White,
. The Fifth and Ninth Circuits have also referred to section 14(b) solely as a venue provision. See Brown v. City of Shreveport,
. Shelby County also insists that the Supreme Court understood section 14(b) to create a cause of action when it mentioned in Katzenbach v. Morgan that "[pjursuant to [section] 14(b),” the parties challenging the VRA's constitutionality in that case had "commenced [the] proceeding in the District Court for the District of Columbia.”
. Section 14(e) was originally codified as 42 U.S.C. § 1973 1(e), but was later recodified with the Voting Rights Act as a whole into Title 52.
Concurrence Opinion
concurring:
Although I agree with Judge Griffith that Shelby County is not entitled to recover attorneys’ fees, I find nothing at all “difficult” about the question whether the County is even eligible for fees under section 14(e) of the Voting Rights Act. See Op. at 1181. Resolving this case on that threshold issue, moreover, would not require us “to decide more ... [than] necessary,” id. at 1181-82 (internal quotation marks omitted) — or, for that matter, any new question of law.
Anyone wishing to discover what “voting guarantees” the Fourteenth and Fifteenth Amendments protect must begin with the Amendments’ text. Section One of the Fifteenth Amendment provides that the “right of citizens of the United States to vote shall not be denied or abridged by the United States or by any State on account of race, color, or previous condition of servitude.” Section One of the Fourteenth Amendment declares, among other things, that “[n]o State shall ... deny to any person within its jurisdiction the equal protection of the laws.”
Obviously, neither of these provisions includes any guarantee of state autonomy over voting. By its plain terms, the Fifteenth Amendment enshrines only one “voting guarantee,” i.e., the “right of citizens of the United States to vote” free from discrimination based on “race, color, or previous condition of servitude.” Furthermore, and contrary to Shelby County’s claim that the Amendment protects “state autonomy over voting,” Appellant’s Reply Br. 14, the Amendment’s prohibition against discrimination is expressly directed at the states. And although the Fourteenth Amendment says nothing about “voting guarantees” — indeed, as adopted, the Amendment did not even protect the right to vote — the Supreme Court has subsequently interpreted the Amendment’s Equal Protection Clause as “guaranteeing] the opportunity for equal participation by all voters.” Reynolds v. Sims,
Shelby County cites nothing to support its argument that the two enforcement clauses somehow also protect state autonomy, and for good reason. Added to the Constitution in the wake of this nation’s bloody civil war to “take away all possibility of oppression by law because of race or color,” Ex parte Virginia,
The Supreme Court has long recognized this proposition. In Ex parte Virginia, decided just years after the Fifteenth Amendment’s ratification, the Court declared that the Reconstruction Amendments “were intended to be, what they really are, limitations of the power of the States and enlargements of the power of Congress.”
Whatever legislation is appropriate, that is, adapted to carry out the objects the amendments have in view, whatever tends to enforce submission to the prohibitions they contain, and to secure to all persons the enjoyment of perfect equality of civil rights and thé equal protection of the laws against State denial or invasion, if not prohibited, is brought within the domain of congressional power.
Id. at 345-46 (emphasis added). In Fitzpatrick v. Bitzer, the Court, elucidating Congress’s authority to enforce the substantive guarantees of the Fourteenth Amendment, recognized that the Amendment “quite clearly contemplates limitations on [the states’] authority.”
Of course, Congress’s remedial authority under the Fourteenth and Fifteenth Amendments is “not unlimited,” as it “extends only to enforcing the provisions of [those] Amendments].” City of Boerne,
Finally, I agree with Judge Silberman that Shelby County would have been eligible for fees had it prevailed in a suit brought on behalf of voters to vindicate their Fourteenth and Fifteenth Amendment rights to be free from discrimination in voting. But that is not the case the County filed.
Concurrence Opinion
concurring in the judgment:
At oral argument, I asked counsel for the NAACP (originally the intervenor) the following hypothetical. Suppose a new Congress were to pass a version of the Voting Rights Act that was discriminatory to African-American voters. If you sued and prevailed on grounds that the new statute violated both the “right to vote” under the Fifteenth Amendment (which protects against interference by both the states and the United States), as well as the right to vote pursuant to the equal protection clause of the Fourteenth Amendment, see Reynolds v. Sims,
But that dialogue demonstrates two logical flaws in the court’s opinion. The first is that the attorney’s fees provision does not speak to suits to enforce the Voting Rights Act, similar to prior cases dealing with civil rights statutes, but “rather an action or proceeding to enforce the voting guarantees of the Fourteenth and Fifteenth Amendments.” In other words, a suit that challenges the constitutionality of a version of the Voting Rights Act can not be rejected merely because it challenges the Voting Rights Act. Therefore, much of the court’s discussion on this point is irrelevant.
The second logical flaw, similar to the first, which the district court and Judge
I also disagree with the government that Shelby County could not have recovered fees becausé its lawsuit was inherently one on behalf of state autonomy. Actually, the original ease could have been framed as one protecting the rights of individual voters in governed jurisdictions not to be discriminated against under the Fourteenth and Fifteenth Amendments. After all, the Section 5 procedure did limit the ability of voters to expeditiously change various voting practices and insofar as the formula for inclusion of covered jurisdictions was arbitrary, it was discriminatory. (Indeed, Section 2 of the Fourteenth Amendment actually speaks of preventing the right to vote of anyone being in any way “abridged.”
Nevertheless, I concur in the judgment in this case because I agree with Judge Tatel that the original suit was not brought on behalf of the individual voting rights of the citizens of Shelby County. Whether this goes to eligibility or entitlement — the concepts are interrelated in the court’s opinion — it is sufficient to conclude the action was not brought to enforce the voting guarantees of the Fourteenth or Fifteenth Amendment. It is simply not enough to rely, as does Shelby County, on their original argument that the statute was not “appropriate” within the meaning of those amendments, because its claim of inappropriateness — at least originally— was only based on precepts of federalism of the Tenth Amendment, not individual voting guarantees.
. Although a specific remedy is provided. It is not clear whether, and if so, how, it may be implemented by statute; in any event, it was not relied upon by Shelby County.
