WHEELDIN ET AL. v. WHEELER.
No. 493.
Supreme Court of the United States
June 3, 1963
373 U.S. 647
Argued April 23, 1963.
Alan S. Rosenthal argued the cause for respondent. With him on the brief were Solicitor General Cox, Acting Assistant Attorney General Guilfoyle and Mark R. Joelson.
Petitioner Dawson1 was served with a subpoena to appear before the House Un-American Activities Committee. He alleges that the subpoena was signed in blank by the Committee Chairman and that respondent Wheeler, an investigator for the Committee, filled in Dawson‘s name without authorization of the Committee. We read the complaint, as does the Solicitor General, most favorably to Dawson and conclude that the complaint alleges that no member of the Committee even attempted to delegate the Committee‘s subpoena power to Wheeler. The complaint also alleges thаt Wheeler intended to subject petitioner, when he appeared as a witness before the Committee, to public shame, disgrace, ridicule, stigma, scorn and obloquy, and falsely place upon him the stain of disloyalty without any opportunity of fair defense, to petitioner‘s irreparable injury. The complaint alleges not only the lack of authority of respondent Wheeler to fill in the blank subpoena but also the unconstitutionality of the House Resolution and the Act of Congress,
The District Court denied declaratory and injunctive relief, holding that since Dawson‘s appearance did not seem imminent the case was not ripe for equitable intervention and that the mere apprehension that a federal
We agree with the Court of Appeals in its first opinion (280 F. 2d 293) that on the face of the сomplaint the federal court had jurisdiction. As we stated in Bell v. Hood, 327 U. S. 678, 685, “the right of the petitioners to recover under their complaint will be sustained if the Constitution and laws of the United States are given one construction and will be defeated if they are given another. For this reason the District Court has jurisdiction.” And see Bock v. Perkins, 139 U. S. 628, 630.
But on the undisputed facts, as they appear on argument of the case, no federal cause of action can be made out. Dawson‘s main reliance is on the
Apart from any rights which may arise under the
It is argued that the statute governing the issuance of subpoenas4 not having been complied with, a cause of action for damages “arises” under it within the meaning of
When it comes to suits for damages for abuse of power, federal officials are usually governed by local law. See, e. g., Slocum v. Mayberry, 2 Wheat. 1, 10, 12. Federal law, however, supplies the defense, if the conduct complained of was done pursuant to a federally imposed duty (see, e. g., Mayor v. Cooper, 6 Wall. 247; cf. Tennessee v. Davis, 100 U. S. 257), or immunity from suit. See Barr v. Matteo, supra; Howard v. Lyons, supra. Congress could, of course, provide otherwise, but it has not done so. Over the years Congress has considered the problem of state civil and criminal actions against federal officials many times. See Hart and Wechsler, The Federal Courts and the Federal System, 1147-1150. But no general statutе making federal officers liable for acts committed “under color,” but in violation, of their federal authority has been passed. Congress has provided for removal to a federal court of any state action, civil or criminal, against “[a]ny officer of the United States . . . , or person acting under him, for any act under color of such office . . . .”
No question of pendent jurisdiction as in Hurn v. Oursler, 289 U. S. 238, is presented, for petitioner has not attempted to state a claim under state law.
We hold on the conceded facts that no federal cause of action was stated and that the judgment must be and is
Affirmed.
The Court of Appeals characterized petitioners’ suit as follows: “The gravamen of their complaint is that the subpoenas were invalidly, maliciously and mischievously issued and served for the sole purpose of exposing them to public scorn with consequent loss of employment and of esteem. They assert that they have a federal right to protection againt such abuse of federal process; that since the subpoenas were not properly issued appellee in securing their issuance and service has subjected himself to personal liability.” 302 F. 2d 36-37. The Court of Appeals did not, however, decide whether such a “federal right” exists and, if so, whether the complaint sufficiently alleged a denial of it. It sustained the District Court‘s dismissal on the sole ground that the allegedly unlawful acts had been committed by respondent in the line of his duty as a federal officer, and that therefore he was immune from suit by reason of the principles announced in Barr v. Matteo, 360 U. S. 564. In this Court, the Solicitor General of the United States, appearing as counsel for the rеspondent, candidly admits that the Court of Appeals misapplied Barr v. Matteo. In that case we upheld the governmental-officer immunity in respect of “action . . . taken . . . within the outer perimeter of petitioner‘s line of duty.” 360 U. S., at 575. It has never been suggested that the immunity reaches beyond that perimeter, so as to shield a federal officer acting wholly on his own. A federal officer remains liable for acts committed “manifestly or palpably beyond his authority.” Spalding v. Vilas, 161 U. S. 483, 498; see Colpoys v. Gates, 73 App. D. C. 193, 118 F. 2d 16; Kozlowski v. Ferrara, 117 F. Supp. 650; Note, Remedies Against the United States and Its Officials, 70 Harv. L. Rev. 827, 835 (1957). Liberally construed, see Virgin Islands Corp. v. W. A. Taylor & Co., 202 F. 2d 61; 2 Moore, Federal Practice (2d ed. 1948),
I think the proper disposition of this case would be to vacate the Court of Appeals’ judgment, based as it was wholly upon an erroneous ground, and remand thе case to the Court of Appeals for consideration of the questions which that court found unnecessary to decide. I recommend this course because the instant case seems to me to raise novel and important questions which have not been adequately briefed or argued by the parties and which this Court consequently, in its opinion today, treats in a most cursory fashion.
The Court states that “Dawson‘s main reliance is on the
The Court of Appeals described the instant action as one claiming malicious abuse of process. But, as usually defined, that tort “is committed when the actor employs legal process in a manner technically correct, but for a wrongful and malicious рurpose to attain an unjustifiable end . . . .” 1 Harper and James, Torts (1956), § 4.9; see 3 Restatement of Torts § 682; Prosser, Torts (2d ed. 1955), § 100. Put succinctly, the tort is the “perversion” of legal process. Mayer v. Walter, 64 Pa. 283, 286. In the instant case, the process allegedly abused was not judicial, but legislative. I do not, however, consider the distinction material. But cf. Comment, 63 Col. L. Rev. 326, 327, n. 13 (1963). Abuse of administrative process seems to be a recognized aspect of the tort, see 1 Harper and James, supra, § 4.10; 3 Restatement of Torts § 680; National Surety Co. v. Page, 58 F. 2d 145; but cf. Petherbridge v. Bell, 146 Va. 822, 132 S. E. 683, and so does abuse of the judicial subpoena power, Dishaw v. Wadleigh, 15 App. Div. 205, 44 N. Y. Supp. 207. The con-
I should point out that the conventional notion of abuse of process assumes that the wrongdoer is a private person who procures the issuance of valid, authorized legal process, albeit with a wrongful intention and for an unjustifiable end. Comment, 63 Col. L. Rev. 326, 327, n. 13. The tort, thus, does not depend on the validity of the process, which may be “technically correct,” yet still abusive. In the instant case, however, liability is sought to be imposed upon the officer who issues the process, and his authority vel non is of the essence.4 Pertinent here is the settled principle of the accountability, in damages, of the individual governmental officer fоr the consequences of his wrongdoing. See, e. g., Entick v. Carrington, 19 Howell‘s State Trials 1029 (C. P. 1765); Marbury v. Madison, 1 Cranch 137, 163-168; cf. Wolf v. Colorado, 338 U. S. 25, 30-31, n. 1. With respect to federal officers, see, e. g., Little v. Barreme, 2 Cranch 170; Elliott v. Swartwout, 10 Pet. 137; Mitchell v. Harmony, 13 How. 115; Buck v. Colbath, 3 Wall. 334; Bates v. Clark, 95 U. S. 204; Kilbourn v. Thompson, 103 U. S. 168; Belknap v. Schild, 161 U. S. 10, 18; Philadelphia Co. v.
If so, and if we assume that this claim is actionable under California law5 (postponing, for the moment, the question whether it may also be actionable under federal law), then it seems to me there are two possible theories for sustaining federal court jurisdiction over it. The first relies upon the principle of pendent jurisdiction drawn from Hurn v. Oursler, 289 U. S. 238. Since the complaint asserts a nonfrivolous claim under the
Whether the instant complaint can be read as adequately claiming pendent jurisdiction would seem a matter best determined in the first instance by the courts below. I cannot accept the Court‘s flat assertion that “petitioner has not attempted to state a claim under state law,” in view of the liberality of pleading practice under the Federal Civil Rules. “A motion to dismiss a complaint, without the aid of anything except the complaint itself, is usually a most undesirable way for a defendant to seek a victory. For, on such a motion, the court must construe the complaint‘s language in a manner most favorable to the plaintiff; and, if that language is at all ambiguous, seldom will it, when thus generously construed,
The second possible theory builds from Smith v. Kansas City Title & Trust Co., 255 U. S. 180. A shareholder sued to enjoin the Trust Company, a Missouri corporation, from investing in certain federal bonds, on the ground that the Act of Congress authorizing their issuance was unconstitutional. It was claimed that under Missouri law an investment in securities the issuance of which had not been authorized by a valid law was ultra vires and enjoinable. The cause of action, thus, was state-created. Nevertheless this Court held that the action was one arising under federal law within the meaning of the predecessor section to
How does the instant complaint fare under this standard? The matter is not free from doubt, but it is arguable, at least, that inherent in a claim to abuse of federаl process by a federal officer are certain propositions drawn from the network of federal statutory and constitutional provisions governing congressional investigations. In other words, implicit in the notion of abuse of process are the principles controlling the proper use of process. Concretely, the instant complaint asserts that respondent‘s use of congressional process was unauthorized and was for an “unjustifiable end,” p. 655, supra; surely the contours of this authority and the classification of justifiable and unjustifiable ends of congressional process are matters of federal law. Thus, just as Smith is a case “where state law incorporates federal standards by reference,” Wechsler, supra, at 225, n. 46, so here a basic element of the common-law tort is the body of federal law authorizing and defining the issuance of federal legislative process. I do not wish, however, to be understood as suggesting that the analogy is perfect.7
I come now to the question whether petitioner Dawson‘s cause of action may be deemed created by federal law apart from the
The Legislative Reorganization Act of 1946, c. 753, § 121 (b), House Rule XI (1)(q)(2),
A final approach to the problem of founding federal jurisdiction11 is by way of the federal common law. Mr. Justice Brandeis’ dictum: “There is no federal general common law,” Erie R. Co. v. Tompkins, 304 U. S. 64, 78, cannot, of course, be taken at its full breadth. “[A]lthough federal judicial power to deal with common-law problems was cut down in the realm of liability or its absence governable by state law, that power remained unimpaired for dealing independently, wherever necessary or appropriate, with essentially federal matters, even though Congress has not acted affirmatively about the specific question.” United States v. Standard Oil Co., 332 U. S. 301, 307. “Were we bereft of the common law, our federal system would be impotent.” D‘Oench, Duhme & Co. v. F. D. I. C., 315 U. S. 447, 470 (concurring opinion). And so in a wide variety of cases the federal courts have assumed to fashion federal common-law
cause of action is recognized, the much-mooted problem remains whether such a cause arises under federal law within the meaning of
Let me make clear that I am not suggesting that this Court enjoys the sаme freedom to create common-law rights of action as do truly common-law courts. But there is a matrix of federal statutory and constitutional principles governing the rights, duties, and immunities
Thus the theories of an implied right of action based on Rule XI (1)(q)(2) and a federal common-law right ultimately coalesce. “It seems monstrous to imply that when Congress as a matter of federal law lays the foundation for a right or condemns any conduct as a wrong, nothing can be done about it by courts without clear warrant in statutory lаnguage and legislative history.” Powell, Use of Common-Law Techniques and Remedies in Statutory Enforcement—A Study in Judicial Behavior, 57 Harv. L. Rev. 900, 902 (1944). Rule XI (1)(q)(2) at least provides the foundation; the superstructure may be derived from the various sources I have canvassed. I should not like to believe that this Court is helpless to inaugurate in the federal courts the salutary “[r]estoration of the doctrine that a government officer is civilly responsible in damages for an exercise of official discretion which is motivated by personal vindictiveness or desire for personal gain.” Hart and Wechsler, supra, at 1230. I do not believe that the matter can properly be remitted entirely to thе state courts. See Foote, supra, note 13, for a trenchant criticism of existing state remedies
I have dealt with the foregoing problems in a deliberately tentative manner. My discussion is intended to be only suggestive, not exhaustive; I am not prepared to offer definitive solutions. But it seems to me that these novel and difficult problems permeate the case and justify our adoption here of the disposition we made in Bell v. Hood of remanding the case for a consideration of them by the courts below in the first instance.
Notes
“(h) Any claim arising out of assault, battery, false imprisonment, false arrest, malicious prosecution, abuse of process, libel, slander, misrepresentation, deceit, or interference with contract rights.” In so confining my discussion, I mean to intimate no view on the questions whether the complaint states a violation of the
