Hoffman v. Blaski
Hoffman v. Blaski
Opinion of the Court
delivered the opinion of the Court.
To relieve against what was apparently thought to be the harshness of dismissal, under the doctrine of jorum
“§ 1404. Change of venue.
“(a) For the convenience of parties and witnesses, in the interest of justice, a district court may transfer any civil action to any other district or division where it might have been brought.”
The instant cases present the question whether a District Court, in which a civil action has been properly brought, is empowered by § 1404 (a) to transfer the action, on the motion of the defendant, to a district in which the plaintiff did not have a right to bring it.
No. 25, Blaski. — Respondents, Blaski and others, residents of Illinois, brought this patent infringement action in the United States District Court for the Northern District of Texas against one Howell and a Texas corporation controlled by him, alleging that the defendants are residents of, and maintain their only place of business in, the City of Dallas, in the Northern District of Texas, where they are infringing respondents’ patents. After being served with process and filing their answer, the defendants moved, under § 1404 (a), to transfer the action to the United States District Court for the Northern District' of Illinois.
Upon receipt of a certified copy of the pleadings and record, the Illinois District Court assigned the action to Judge Hoffman’s calendar. Respondents promptly moved for an order remanding the action on the ground that the Texas District Court did not have power to make the transfer order and, hence, the Illinois District Court was not thereby vested with jurisdiction of the action.
No. 26, Behimer. — Diversity of citizenship then existing, respondents, Behimer and Roberts, residents of Illinois and New York, respectively, brought this stockholders’ derivative action, as minority stockholders of Utah Oil Refining Corporation, a Utah corporation, on behalf of themselves and others similarly situated, in the United States District Court for the Northern District of Illinois against Standard Oil Company and Standard Oil Foundation, Inc., Indiana corporations but licensed to do and doing business in the Northern District of Illinois, for damages claimed to have been sustained through the alleged illegal acquisition by defendants of the assets of the Utah corporation at an inadequate price.
After being served with process and filing their answer, the defendants moved, under § 1404 (a), to transfer the action to the United States District Court for the District of Utah.
Respondents then filed in the Seventh Circuit a petition for a writ of mandamus directing the District Court to reverse its order. After hearing, the Seventh Circuit, following its decision in Blaski v. Hoffman, supra, granted the writ. 261 F. 2d 467.
To settle the conflict that has arisen among the circuits respecting the proper interpretation and application of § 1404 (a),
Petitioners’ “thesis” and sole claim is that § 1404 (a), being remedial, Ex parte Collett, 337 U. S. 55, 71, should be broadly construed, and, when so construed, the phrase “where it might have been brought” should be held to relate not only to the time of the bringing of the action, but also to the time of the transfer; and that “if at such time the transferee forum has the power to adjudicate the issues of the action, it is a forum in which the action might then have been brought.”
We do not agree. We do not think the § 1404 (a) phrase “where it might have been brought” can be interpreted to mean, as petitioners’ theory would require,
“But we do not see how the conduct of a defendant after suit has been instituted can add to the forums where 'it might have been brought.’ In the normal meaning of words this language of Section 1404 (a) directs the attention of the judge who is considering a transfer to the situation which existed when suit was instituted.”
It is not to be doubted that the transferee courts, like every District Court, had jurisdiction to entertain actions of the character involved, but it is obvious that they did not acquire jurisdiction over these particular actions when they were brought in the transferor courts. The transferee courts could have acquired jurisdiction over these actions only if properly brought in those courts, or if validly transferred thereto under § 1404 (a). Of course, venue, like jurisdiction over the person, may be waived. A defendant, properly served with process by a court having subject matter jurisdiction, waives venue by failing seasonably to assert it, or even simply by making default. Commercial Ins. Co. v. Stone Co., 278 U. S. 177, 179—180; Neirbo Co. v. Bethlehem Shipbuilding Corp., Ltd., 308 U. S. 165. But the power of a District Court under § 1404 (a) to transfer an action to another district is made to depend not upon the wish or waiver of the defendant but, rather, upon whether the transferee district was one
The thesis urged by petitioners would not only do violence to the plain words of § 1404 (a), but would also inject gross discrimination. That thesis, if adopted, would empower a District Court, upon a finding of convenience, to transfer an action to any district desired by the defendants and in which they were willing to waive their statutory defenses as to venue and jurisdiction over their persons, regardless of the fact that such transferee district was not one in which the action “might have been brought” by the plaintiff. Conversely, that thesis would not permit the court, upon motion of the plaintiffs and a like showing of convenience, to transfer the action to the same district, without the consent and waiver of venue and personal jurisdiction defenses by the defendants. Nothing in § 1404 (a), or in its legislative history, suggests such a unilateral objective and we should not, under the guise of interpretation, ascribe to Congress any such discriminatory purpose.
We agree with the Seventh Circuit that:
“If when a suit is commenced, plaintiff has a right to sue in that district, independently of the wishes of defendant, it is a district 'where [the action] might have been brought.’ If he does not have that right, independently of the wishes of defendant, it is not a district 'where it might have been brought,’ and it is immaterial that the defendant subsequently [makes himself subject, by consent, waiver of venue and personal jurisdiction defenses or otherwise, to the jurisdiction of some other forum].” 260 F. 2d, at 321 and 261 E. 2d, at 469.
Inasmuch as the respondents (plaintiffs) did not have a right to bring these actions in the respective transferee districts, it follows that the judgments of the Court of Appeals were correct and must be
, , Affirmed.
See the Reviser’s Notes following 28 U. S. C. § 1404.
The asserted basis of the motion was that trial of the action in the Illinois District Court would be more convenient to the parties and witnesses and in the interest of justice because several actions involving the validity of these patents were then pending in that court, and that pretrial and discovery steps taken in those actions had developed a substantial amount of evidence that would be relevant and useful in this action.
See 28 U. S. C. § 1400 (b), quoted in note 10, infra.
See Rule 4 (f) of the Fed. Rules Civ. Proc., quoted in note 11, infra.
The motion asserted, and the court found, that trial of the action in the district of Utah would be more convenient to the parties and witnesses for the reason's, among others, that all of the officers and directors, and a majority of the minority stockholders, of the Utah corporation reside in that district; that the books and records of the corporation are located in that district; that the substantive law
As part of their motion, defendants stated that, in the event of the transfer of the action as requested, they would waive all objections to the venue of the Utah court and enter appearances in the action in that court.
See 28 U. S. C. § 1391 (c), quoted in note 10, infra.
See Rule 4 (f) of the Fed. Rules Civ. Proc., quoted in note 11, infra.
The decisions of the circuits are in great conflict and confusion. The Second Circuit has held one way on a plaintiff’s motion and the other on a defendant’s motion. Compare Foster-Milburn Co. v. Knight, 181 F. 2d 949, 952-953, with Anthony v. Kaufman, 193 F. 2d 85, and Torres v. Walsh, 221 F. 2d 319. The Fifth Circuit, too, has held both ways. Compare Blackmar v. Guerre, 190 F. 2d
That order did not purport to determine the jurisdiction of the transferee court and therefore did not preclude Judge Hoffman of power to determine his own jurisdiction, nor did it preclude the power of the Seventh Circuit to review his action. Fettig Canning Co. v. Steckler, 188 F. 2d 715 (C. A. 7th Cir.); Wilson v. Kansas City Southern R. Co., 101 F. Supp. 56 (D. C. W. D. Mo.); United States v. Reid, 104 F. Supp. 260, 266 (D. C. E. D. Ark.). Several reasons why principles of res judicata do not apply may be stated in a few sentences. The orders of the Texas and Illinois District Courts on the respective motions to transfer and to remand, like the orders of the Fifth and Seventh Circuits on the respective petitions for mandamus, were (1) interlocutory, (2) not upon the merits, and (3) were entered in the same case by courts of coordinate jurisdiction. Here the sole basis of the right of the Fifth Circuit to entertain the petition for a writ of mandamus was to protect its appellate jurisdiction,
Venue over patent infringement actions is prescribed by 28 U. S. C. § 1400 (b), which provides:
“(b) Any civil action for patent infringement may be brought in the judicial district where the defendant resides, or where the defendant has committed acts of infringement and has a regular and established place of business.”
See Stonite Prod. Co. v. Melvin Lloyd Co., 315 U. S. 561; Fourco Glass Co. v. Transmirra Products Corp., 353 U. S. 222.
General venue over actions against corporations is prescribed by 28 U. S. C. § 1391 (c), which provides:
“(c) A corporation may be sued in any judicial district in which it is incorporated or licensed to do business or is doing business, and such judicial district shall be regarded as the residence of such corporation for venue purposes.”
General provisions respecting service of the process of federal courts are prescribed by Rule 4 (f) of the Fed. Rules Civ. Proc., which provides:
“(f) Territorial limits of effective service.
“All process other than a subpoena may be served anywhere within the territorial limits of the state in which the district court is held and, when a statute of the United States so provides, beyond*342 the territorial limits of that state. A subpoena may be served within the territorial limits provided in Rule 45.”
A similar view was expressed in Paramount Pictures, Inc., v. Rodney, 186 F. 2d 111 (C. A. 3d Cir.). The court there thought that the § 1404 (a) phrase “might have been brought” means “could now be brought.” Id., at 114.
Concurring Opinion
concurring in No. 25.
Two Courts of Appeals disagreed about the meaning of a federal law, as conscientious federal courts sometimes do. From the point of view of efficient judicial administration the resulting history of this litigation is no subject for applause. But, as the Court points out, no claim was made here that the decision of the Fifth Circuit precluded Judge Hoffman or the Seventh Circuit from remanding the case, and on the merits of that question I agree with the Court that principles of res judicata were inapplicable. In any event, the conflict between the Circuits is now resolved, and what happened here will not happen again.
Dissenting Opinion
dissenting.
My special disagreement with the Court in this case concerns a matter of judicial administration arising out of the fact that after the question on the merits had been considered by the Court of Appeals for the Fifth Circuit, the same question between the same parties was later independently again adjudicated by the Court of Appeals for the Seventh Circuit. I cannot join the Court’s approval of the right of the Seventh Circuit to make such a re-examination. It is true that in its opinion in this case and No. 26, Sullivan v. Behimer, decided today, the Court settles the question over which the two Courts of Appeals disagreed, so that it should not recur. This is not, however, an isolated case. A general principle of judicial administration in the federal courts is at stake. In addition, while the Court today settles one problem arising in the application of § 1404 (a), other questions involving that section may readily give rise to conflicting
Plaintiffs brought this action for patent infringement in the United States District Court for the Northern District of Texas. Defendants moved pursuant to 28 U. S. C. § 1404 (a) to have it transferred to the Northern District of Illinois. Finding transfer to be “for the convenience of parties and witnesses, in the interest of justice,” the Texas District Court granted the motion and transferred the action to Illinois. Plaintiffs sought a writ of mandamus in the Court of Appeals for the Fifth Circuit to require the Texas District Court to set aside the transfer. In plaintiffs' view the Northern District of Illinois was not a place where the action “might have been brought,” and thus the Texas District Court had no power to transfer the action there under § 1404 (a). The Fifth Circuit fully examined the merits of this claim and rejected it, holding that in the circumstances before the court the Northern District of Illinois was a jurisdiction where the action “might have been brought.” Leave to file a mandamus petition was therefore denied, and the action was duly transferred. 245 F. 2d 737.
Upon the assignment of the action to the calendar of the United States District Court for the Northern District of Illinois, plaintiffs moved that court to disregard the explicit decision of another District Court in the same case, sustained by the appropriate Court of
The Court of Appeals for the Seventh Circuit has thus refused to permit an Illinois District Court to entertain an action transferred to it with the approval, after full consideration of the problem involved, of the Court of Appeals for the Fifth Circuit. The Seventh Circuit considered no evidence not before the Fifth Circuit in so deciding. It considered precisely the same issue and reached a contrary legal conclusion. This was after explicit prior adjudication of the question at the same level of the federal system in the same case and between the same parties. Because the question involved is the transferability of the action, the consequence of the Seventh Circuit’s disregard of the Fifth Circuit’s prior decision is not only that a question once decided has been reopened, with all the wasted motion, delay and
This is the judicial conduct the Court now approves. The Court does not suggest that the Court of Appeals for the Fifth Circuit was powerless, was without jurisdiction, to review, as it did, the question of the applicability of § 1404 (a) to this case. The occasion for the Fifth Circuit's review by way of mandamus may have been, as the Court suggests, “to protect its appellate jurisdiction,” but there can be no question that the Fifth Circuit undertook to and did resolve on its merits the controversy between the parties regarding the meaning of § 1404 (a). Yet the Court decides that the review in the Fifth Circuit was so much wasted motion, properly ignored by the Court of Appeals for the Seventh Circuit in arriving at a contrary result. The case is treated just as if the Fifth Circuit had never considered the questions involved in it. I am at a loss to appreciate why all the considerations bearing on the good administration of justice which underlie the' technical doctrine of res judicata did not apply here to require the Court of Appeals for the Seventh Circuit to defer to the previous decision. “Public policy dictates that there be an end of litigation; that those who have contested an issue shall be bound by the result of the contest, and that matters once tried shall be considered forever settled as between the parties. We see no reason why this doctrine should not apply in every case where one voluntarily appears, presents his case and is fully heard, and why he should not, in the absence of fraud, be thereafter concluded by the judgment of the tribunal to which he has submitted his cause.” Baldwin v. Traveling Men’s Assn., 283 U. S. 522, 525-526. One would suppose that these considerations would be
The fact that the issue involved is the propriety of a transfer of the action only makes the case for deference to the previous decision of a coordinate court in the same litigation that much stronger. The course of judicial action now approved by the Court allows transfer over a persisting objection only when concurred in by two sets of courts: those in the place where the case begins, and those in the place to which transfer is ordered. Not only does the place of trial thus remain unsettled for an unnecessarily long time to accommodate double judicial consideration, but, as this case shows, the result of a disagreement between the courts involved is that the litigation cannot go forward at all unless this Court resolves the matter. Surely a seemly system of judicial remedies, especially appellate judicial remedies, regarding controverted transfer provisions of the United States Code should encourage, not discourage, quick settlement of questions of transfer and should preclude two Courts of Appeals from creating, through their disagreement in the same case, an impasse to the litigation which only this Court can remove. Section 1404 (a) was meant to serve the ends of “convenience” and “justice” in the trial of actions. It perverts those ends to permit a question arising under § 1404 (a), as here, to be litigated, in turn, before a District Court and Court of Appeals in one Circuit, and a District Court and Court of Appeals in another Circuit, one thousand miles distant, thereby delaying trial for a year and a half, only to have the result of all that preliminary litigation be that trial may not go forward at all until this Court shall settle the question of where it shall go forward, after at least another year’s delay.
We are not vouchsafed claims of reason or of the due administration of justice that require the duplication of
[This opinion applies only to No. 25, Hoffman v. Blaski. For opinion of Mr. Justice Frankfurter, joined by Mr. Justice Harlan and Mr. Justice Brennan, in No. 26, Sullivan v. Behimer, see post, p. 351.]
Dissenting Opinion
whom Mr. Justice Harlan and Mr. Justice Brennan join, dissenting.
The problem in this ease is of important concern to the effective administration of justice in the federal courts. At issue is the scope of 28 U. S. C. § 1404 (a), providing for the transfer of litigation from one Federal District Court to another. The main federal venue statutes necessarily deal with classes of cases, • without regard to the occasional situation in which a normally appropriate venue may operate vexatiously. Section 1404 (a) was devised to avoid needless hardship and even miscarriage of justice by empowering district judges to recognize special circumstances calling for special relief. It provides that an action, although begun in a place falling within the normally applicable venue rubric may be sent by the District Court to go forward in another district much more appropriate when judged by the criteria of judicial justice.
The terms of § 1404 (a) are as follows:
“For the convenience of parties and witnesses, in the interest of justice, a district court may transfer any civil action to any other district or division where it might have been brought.”
The part of § 1404 (a) the meaning of which is at issue here is its last phrase, “any other district or division where it [the action] might have been brought.” The significance of this phrase is this: even though a place be found to be an overwhelmingly more appropriate forum from the standpoint of “convenience” and “justice,” the litigation may not be sent to go forward there unless it is a
One would have to be singularly unmindful of the treachery and versatility of our language to deny that as a mere matter of English the words '“where it might have been brought” may carry more than one meaning. For example, under Rule 3 of the Federal Rules of Civil Procedure, civil actions are “commenced” by filing a complaint with the court. As a matter of English there is no reason why “commenced” so used should not be thought to be synonymous with “brought” as used in § 1404 (a), so that an action “might have been brought” in any district where a complaint might have been filed, or perhaps only in districts with jurisdiction over the subject matter of the litigation. As a matter of English alone, the phrase might just as well be thought to refer either to those places where the defendant “might have been” served with process, or to those places where the action “might have been brought” in light of the applicable venue provision, for those provisions speak generally of where actions “may be brought.” Or the phrase may be thought as a matter of English alone to refer to those places where the action “might have been brought” in light of the applicable statute of limitations, or other provisions preventing a court from reaching the merits of the litigation. On the face of its words alone, the phrase may refer to any one of these considerations, i. e., venue, amenability to service, or period of limitations, to all of them or to none of them, or to others as well.
The particular problem in the present case has been a relatively commonplace one in the application of § 1404 (a), and it demonstrates the failure of the words of the section, considered merely as words, to define with precision those places where an action “might have been brought.” The problem here is this. Action was brought by plaintiff in district A, a proper venue under the applicable venue statute. Defendant objected and moved for transfer to district B, submitting that in the interests of “convenience” and “justice” to all concerned the action should go forward there instead of in district A. District B, however, is one in which, had the complaint been
We would all agree that B would be a place where the action “might have been brought" if it were a place of statutory venue, if the defendant had always been amenable to process there, and if B had no other special characteristics whereby the defendant could prevent consideration there of the merits of the cause of action. Almost every statute has a core of indisputable application, and this statute plainly applies to permit transfer to a place where there could never have been any objection to the maintenance of the action. But is it clear, as the Court would have it, that, as a mere matter of English, because potential objections peculiar to the forum would have been present in B, it is not to be deemed a place where the action “might have been brought,” although defendant not only might but is prepared to waive, as he effectively may, such objections?
With regard to the particular problem in this case, which has arisen most often, a majority of the District Courts which have considered the problem have ruled against the Court’s “plain” meaning of the statute. At least seven District Courts have ruled that, because of the defendant’s consent to have the action go forward there, a district is one where the action “might have been brought,” even though it is a place where the defendant might either have objected to the venue, or avoided process, or both had the action been brought there originally.
The experience in the Courts of Appeals is also revealing. Of the six cases where defendants have moved for transfer, in only two has it been held that the defendant’s consent to the transfer is not relevant in determining whether the place to which transfer is proposed is a place where the action “might have been brought,” and these are the two decisions of the Seventh Circuit now before us. Blaski v. Hoffman, 260 F. 2d 317 (C. A. 7th Cir. 1958); Behimer v. Sullivan, 261 F. 2d 467 (C. A. 7th Cir. 1958).
Surely, the Court creates its own verbal prison in holding that “the plain words” of § 1404 (a) dictate that transfer may not be made in this case although transfer concededly was in the interest of “convenience” and “justice.” Moreover, the Court, while finding the statutory words “plain,” decides the case by applying, not the statutory language, but a formula of words found nowhere in the statute, namely, whether plaintiffs had “a right to bring these actions in the respective transferee districts.” This is the Court’s language, not that of Congress. Although it is of course a grammatically plausible interpretation of the phrase “where it might have been brought,” it has been, I submit, established that it is not
This case, then, cannot be decided, and is not decided, by the short way of a mechanical application of Congress’ words to the situation. Indeed, it would be extraordinary if a case which could be so decided were deemed worthy of this Court’s attention twelve years after the applicable statute was enacted. To conclude, as the Court does, that the transferee court is inexorably designated by the inherent force of the words “where it might have been brought” is to state a conclusion that conceals the process by which the meaning is, as a matter of choice, extracted from the words.
The problem in this case is one of resolving an ambiguity by all the considerations relevant to resolving an ambiguity concerning the conduct of litigation, and more particularly the considerations that are relevant to resolving an ambiguous direction for the fair conduct of litigation in the federal judicial system At the crux of the business, as I see it, is the realization that we are concerned here not with a question of a limitation upon the power of a federal court but with the place in which that court may exercise its power. We are dealing, that is, not with the jurisdiction of the federal courts, which is beyond the power of litigants to confer, but with the locality of a lawsuit, the rules regulating which are designed mainly for the convenience of the litigants. “[T]he locality of-a law suit — the place where judicial authority may be
Applying these considerations to a problem under a different statute but relevant to the present one, namely, whether removal from a state court to a federal court might be had upon the motion of the defendant when the federal court was one where the venue would have been subject to objection, had the action originally been brought there, this Court, speaking unanimously through Mr. Justice Van Devanter, discriminatingly reminded that “[i]t therefore cannot be affirmed broadly that this suit could not have been brought... [in the federal court] but only that it could not have been brought and maintained in that court over a seasonable objection by the company to being sued there.” This analysis has striking application to the present problem under § 1404 (a), and it is also relevant here that the Court sanctioned removal in that case to a federal court with no statutory venue, partly because “there could be no purpose in extending to removals the personal privilege accorded to defendants by [the venue statutes] . . . since removals are had only at the instance of defendants.” General Investment Co. v. Lake Shore R. Co., 260 U. S. 261, 273, 275. See also, to the same effect, Lee v. Chesapeake & Ohio R. Co., 260
In light of the nature of rules governing the place of trial in the federal system, as thus expounded and codified, as distinguished from limitation upon the power of the federal courts to adjudicate, what are the competing considerations here? The transferee court in this case plainly had and has jurisdiction to adjudicate this action with the defendant’s acquiescence. As the defendant, whose privilege it is to object to the place of trial, has moved for transfer, and has acquiesced to going forward with the litigation in the transferee court, it would appear presumptively, unless there are strong considerations otherwise, that there is no impediment to effecting the transfer so long as “convenience” and “justice” dictate that it be made. It does not counsel otherwise that here the plaintiff is to be sent to a venue to which he objects, whereas ordinarily, when the defendant waives his privilege to object to the place of trial, it is to acquiesce in the plaintiff’s choice of forum. This would be a powerful argument if, under § 1404 (a), a transfer were to be made whenever requested by the defendant. Such is not the case, and this bears emphasis. A transfer can be made under § 1404 (a) to a place where the action “might have been brought” only when “convenience” and “justice” so dicate, not whenever the defendant so moves. A legitimate objection by the plaintiff to proceeding in the transferee forum will presumably be reflected in a decision that
On the other hand, the Court’s view restricts transfer, when concededly warranted in the interest of justice, to protect no legitimate interest on the part of the plaintiff. And by making transfer turn on whether the defendant could have been served with process in the transferee district on the day the action was brought, the Court’s view may create difficult problems in ascertaining that fact, especially in the case of non-corporate defendants. These are problems which have no conceivable relation to the proper administration of a provision meant to assure the most convenient and just place for trial.
Nor is it necessary to reach the Court’s result in order to preserve an appropriate meaning for the phrase “where it might have been brought.” I fully agree that the final words of § 1404 (a) are words of limitation upon the scope of the provision. But to hold as I would that a district is one where the action “might have been brought” when the defendant consents to going forward with the litigation there, does not remove the quality of those words as a limitation. The words compel the defendant in effect to waive any objections to going forward in the transferee district which he might have had if the action had been brought there, in order to obtain a transfer. The words therefore insure that transfer will not be a device for doing the plaintiff out of any forum in which to proceed, no matter how inconvenient. The words in any case, plainly limit the plaintiff’s right to seek a transfer when the defendant does not consent to the change of venue. Moreover, the words may serve to prevent transfer to
The relevant legislative history of § 1404 (a) is found in the statement in the Reviser’s Notes, accompanying the 1948 Judicial Code, that § 1404 (a) “was drafted in accordance with the doctrine of forum non conveniens.”
The only consideration of the Court not resting on the “plain meaning” of § 1404 (a) is that it would constitute “gross discrimination” to permit transfer to be made with the defendant’s consent and over the plaintiff’s objection to a district to which the plaintiff could not similarly obtain transfer over the defendant’s objection. To speak of such a situation as regards this statute as “discrimination” is a sterile use of the concept. Mutuality is not an empty or abstract doctrine; it summarizes the reality of fair dealing between litigants. Transfer cannot be made under this statute unless it is found to be in the interest of “convenience” and in the interest of “justice.” Whether a party -is in any sense being “discriminated” against through a transfer is certainly relevant to whether the interest of justice is being served. If the interest of justice is being served, as it must be for a transfer to be made, how can it be said that there is “discrimination” in any meaningful sense? Moreover, the transfer provision cannot be viewed in isolation in finding “discrimination.” It, after all, operates to temper only to a slight degree the enormous “discrimination” inherent in our system of litigation, whereby the sole choice of forum, from among those where service is possible and venue unobjectionable,
In summary, then, the “plain meaning” of § 1404 (a) does not conclude the present case against the transfer, for the statute, as applied in this case, is not “plain” in meaning one way or another, but contains ambiguities which must be resolved by considerations relevant to the problem with which the statute deals. Moreover, the most obvious significance for the set of words here in question, considered as self-contained words, is that they have regard for the limitations contained in the regular statutory rules of venue. Those rules, it is beyond dispute, take into account the consent of the defendant to proceed in the forum, even if it is not a forum designated by statute. And the doctrine of forum non conveniens “in accordance with” which § 1404 (a) was drafted, also took into account the defendant’s consent to proceed in another forum to which he was not obligated to submit. Nor can a decision against transfer be rested upon notions of “discrimination” or of unfairness to the plaintiff in wrenching him out of the forum of his choice to go- forward in a place to which he objects. In the proper administration of § 1404 (a), such consequences cannot survive the necessity to find transfer to be in the interests of “convenience” and “justice,” before it can be made. On the other hand, to restrict transfer as the Court does to those very few places where the defendant was originally amenable to process and could have had no objection to the venue is drastically to restrict the number of situations in which § 1404 (a) may serve the interests of justice by relieving the parties from a vexatious forum. And it is to restrict the operation of the section capriciously, for
The essence of this case is to give fair scope to the role of § 1404 (a) in our system of venue regulations, that is, a system whereby litigation may be brought in only a limited number of federal districts, which are chosen generally upon the basis of presumed convenience. Two extremes are possible in the administration of such a system, duly mindful of the fact that in our jurisprudence venue does not touch the power of the court. (1) All venue may be determined solely by rigid rules, which the defendant may invoke and which work for convenience in the generality of cases. In such an extreme situation there would be no means of responding to the special circumstances of particular cases when the rigid venue rules are inappropriate. (2) At the other extreme there may be no rigid venue provisions, but all venue may be determined, upon the defendant’s objection to the plaintiff’s choice of forum, by a finding of fact in each case of what is the most convenient forum from the point of view of the parties and the court. The element of undesirability in the second extreme is that it involves too much preliminary litigation; it is desirable in that it makes venue responsive to actual convenience. The first extreme is undesirable for according too little, in fact nothing, to actual convenience when the case is a special one; it is desirable in that it does away with preliminary litigation.
If anything is plain, from its history and from its words, it is that § 1404 (a) means to afford a balance, a compromise, between these two extremes. It is in this spirit that its provisions must be read. In the ordinary course the regular venue rules are to prevail, with no preliminary litigation to determine the actual convenience. But the
It may be urged in answer to this analysis that if transfer is available as a matter of “convenience” and “justice” in every case in which the defendant consents’ to going forward in the transferee court, § 1404 (a) will entail burdensome preliminary litigation and may, if improperly administered, prove vexatious to plaintiffs. Thus, even arbitrary limitations, such as the Court imposes, may be said to be warranted. In effect this argument against transfer in situations like the present implies distrust in the ability and character of district judges to hold the balance even, that is, to dispose quickly of frivolous contentions and to prevent transfer from proving unduly prejudicial to plaintiffs while according it its proper scope to deal with cases of real inconvenience. “Such apprehension implies a lack of discipline and of disinterestedness on the part of the lower courts, hardly a worthy or wise basis for fashioning rules of procedure. It reflects an attitude against which we were warned by Mr, Justice Holmes, speaking for the whole Court, likewise in regard to a question of procedure: 'Universal distrust creates universal incompe
[This opinion applies on'ly to No. 26, Sullivan v. Behimer. For opinion of Mr. Justice Frankfurter, joined by Mr. Justice Harlan and Mr. Justice Brennan, in No. 25, Hoffman v. Blaski, see ante, p. 345.]
See, e. g., Felchlin v. American Smelting & Refining Co., 136 F. Supp. 577 (D. C. S. D. Calif. 1955) (transfer denied on defendant’s motion because plaintiff was an executor not qualified in transferee
See, e. g., Dufek v. Roux Distrib. Co., 125 F. Supp. 716 (D. C. S. D. N. Y. 1954); Barnhart v. Rogers Producing Co., 86 F. Supp. 595 (D. C. N. D. Ohio 1949); Troy v. Poorvu, 132 F. Supp. 864 (D. C. Mass. 1955); United States v. Reid, 104 F. Supp. 260 (D. C. E. D. Ark. 1952); Otto v. Hirl, 89 F. Supp. 72 (D. C. S. D. Iowa 1952); McGee v. Southern Pacific Co., 151 F. Supp. 338 (D. C. S. D. N. Y. 1957); Rogers v. Halford, 107 F. Supp. 295 (D. C. E. D. Wisc. 1952); Herzog v. Central Steel Tube Co., 98 F. Supp. 607 (D. C. S. D. Iowa 1951); Mitchell v. Gundlach, 136 F. Supp. 169 (D. C. Md. 1955); McCarley v. Foster-Milburn Co., 89 F. Supp. 643 (D. C. W. D. N. Y. 1950).
Otto v. Hirl, 89 F. Supp. 72, 74 (D. C. S. D. Iowa 1952).
Cain v. Bowater’s Newfoundland Pulp & Paper Mills, Ltd., 127 F. Supp. 949, 950 (D. C. E. D. Pa. 1954).
Johnson v. Harris, 112 F. Supp. 338, 341 (D. C. E. D. Term. 1953).
Hill v. Upper Mississippi Towing Corp., 141 F. Supp. 692 (D. C. Minn. 1956); McGee v. Southern Pacific Co., 151 F. Supp. 338 (D. C. S. D. N. Y. 1957); Welch v. Esso Shipping Co., 112 F. Supp. 611 (D. C. S. D. N. Y. 1953); Mire v. Esso Shipping Co., 112 F. Supp. 612 (D. C. S. D. N. Y. 1953); Cain v. Bowater’s Newfoundland Pulp & Paper Mills, Ltd., 127 F. Supp. 949 (D. C. E. D. Pa. 1954); Anthony v. RKO Radio Pictures, 103 F. Supp. 56 (D. C. S. D. N. Y. 1951); Blaski v. Howell (D. C. N. D. Ill., March 14, 1958).
General Electric Co. v. Central Transit Warehouse Co., 127 F. Supp. 817 (D. C. W. D. Mo. 1955); Tivoli Realty v. Paramount Pictures, 89 F. Supp. 278 (D. C. Del. 1950); Felchlin v. American Smelting & Refining Co., 136 F. Supp. 577 (D. C. S. D. Calif. 1955). See also Johnson v. Harris, 112 F. Supp. 338 (D. C. E. D. Tenn. 1953) (dictum).
Silbert v. Nu-Car Carriers, 111 F. Supp. 357 (D. C. S. D. N. Y. 1953); Hampton Theaters, Inc., v. Paramount Film Distributing Corp., 90 F. Supp. 645 (D. C. D. C. 1950). See also Arvidson v. Reynolds Metals Co., 107 F. Supp. 51 (D. C. W. D. Wash. 1952) (denying the defendants’ motion to transfer in part because the plaintiff would not have been amenable to process in the transferee court).
Ferguson v. Ford Motor Co., 89 F. Supp. 45 (D. C. S. D. N. Y. 1950); Glasfloss Corp. v. Owens-Corning Fiberglas Corp., 90 F. Supp. 967 (D. C. S. D. N. Y. 1950).
McCarley v. Foster-Milburn Co., 89 F. Supp. 643 (D. C. W. D. N. Y. 1950); Troy v. Poorvu, 132 F. Supp. 864 (D. C. Mass. 1955).
See cases cited in note 1, supra.
See 28 U. S. C. §§ 1391, 1392 (a) and (b), 1393 (a) and (b), 1396-1399, 1400 (b), 1401 and 1403.
See Chief Judge Magruder’s opinion for the Court of Appeals for the First Circuit in In re Josephson, 218 F. 2d 174, 184.
The whole of the statement in the Reviser’s Note dealing with subsection (a) of § 1404 is as follows:
“Subsection (a) was drafted in accordance with the doctrine of forum non conveniens, permitting transfer to a more convenient forum, even though the venue is proper. As an example of the need of such a provision, see Baltimore & Ohio B. Co. v. Kepner, . . . 314 U. S. 44, . . . which was prosecuted under the Federal Employer’s Liability Act in New York, although the accident occurred and the employee resided in Ohio. The new subsection requires the court to determine that the transfer is necessary for convenience of the parties and witnesses, and further, that it is in the interest of justice to do so.”
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