Wheeldin v. Wheeler
Opinion of the Court
delivered the opinion of the .Court.
Petitioner Dawson
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 complaint 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 Fourth Amendment, which protects a person against unreasonable searches and seizures. Its violation, he contends, occurred when an unauthorized subpoena was served on him. But there was neither a search nor a seizure of him. He was neither arrested nor detained pursuant to any subpoena; nor, so far as the complaint discloses, did he
Apart from any rights which may arise under the Fourth Amendment, .Congress has not created a cause of action for abuse of the subpoena power by a federal officer, at least where the subpoena was never given coercive effect. No claim is made that the Federal Tort Claims Act reaches that far.
It is argued that the statute governing the issuance of subpoenas
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 statute 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 . . . .” 28 U. S. C. § 1442 (a)(1). That state law governs the cause of action alleged is shown- by the fact that removal is possible in a nondiversity case such as this one only because the interpretation of a federal defense makes the case one “arising .under” the Constitution or laws of the United States. See Tennessee v. Davis, supra; Gay v. Ruff, 292 U. S. 25, 34. We conclude, therefore, that it is not for us to fill any hiatus Congress has left in this area.
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.
Petitioner Donald Wheeldin was in the case when we granted certiorari.' But since that time Wheeldin has moved for leave to withdraw his petition, which motion we hereby grant.
By § 1983 Congress made liable in civil suits “every person” who “under color” of any state or territorial law deprives anyone of a right “secured by the Constitution and laws” of the United States. But respondent Wheeler was not acting “under color” (see Screws v. United States, 325 U. S. 91, 108, 111; Monroe v. Pape, 365 U. S. 167, 171-187) of state or territorial law- And even if § 1985 applies to federal officers (compare Screios v. United States, supra, with Collins v. Hardyman, 341 U. S. 651) who conspire with others to commit acts falling within the narrow confines of that statute, no such conspiracy is here involved. See generally 1 Emerson and Haber, Political and Civil Rights in the United States, 79-100; 1961 United States Commission on Civil Rights Report, Book 5, 71-77.
28 U. S. C. § 2680 provides: “The provisions of [the Tort Claims Act] . . . shall not apply to—
“ (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.”
Legislative Reorganization Act of 1946, P. L. 601, c. 753, House Rule XI (1) (q) (2), 60 Stat. 828: “Subpenas may be issued under the signature of the chairman of the committee [on Un-American Activities] or any subcommittee, or by any’ member designated by any such chairman ....”,
The other cases cited are singularly inapposite. Holmberg v. Armbrecht, 327 U. S. 392, was a suit to enforce a liability created by a federal statute, and the question was what remedies the federal courts should apply. Howard v. Lyons, 360 U. S. 593, held in a diversity suit for libel against a federal official that, although state law created the right, the defense of privilege is to be formulated by the federal courts.. Id., 597.
Dissenting Opinion
dissenting.
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 arid 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 respondent, 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 the 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 Fourth Amendment.” I cannot agree with this. As the Court of Appeals correctly apprehended, the gravamen of the complaint is the notion of a tort of malicious abuse of federal process by a federal officer. This to me raises a number of questions. Does the complaint state
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 purpose 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. Wad-leigh, 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 casé, however, liability is sought to be imposed upon the officer who issues the process, and his authority vel non is of the essence.
If so, and if wé assume that this claim is actionable under California law
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 28 U. S. C. § 1331 (a). See also Fielding v. Allen, 181 F. 2d 163. It has been suggested that later decisions, e. g., Puerto Rico v. Russell & Co., 288 U. S. 476; Gully v. First Nat. Bank, 299 U. S. 109, repudiated Smith. London,-“Federal Question” Jurisdiction^A Snare and a Delusion, 57 Mich. L. Rev. 835, 853 (1959). But those decisions are clearly distinguishable as attempts to found federal jurisdiction upon “remote federal premises, or mere federal permission ... , or other merely possible federal defenses.” Hart and Wechsler, The Federal Courts and the Federal System (1953), 769. Smith remains firm authority for the principle that “where federal law has inserted itself into the texture of. state law, a claim founded on the national legislation could be brought into a federal forum” even if the right of action was state-created. Mishkin, The Federal “Question” in the District Courts, 53 Col. L. Rev. 157, 166 (1953). Stated differently, “in the Smith case, the claim under federal law was an essential ingredient of the plaintiff’s case, without which he could assert no right to relief.” Hart and Wechsler, supra, at 766. In
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 federal 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.
I come now to the question whether petitioner Dawson’s cause of action may be deemed created by federal law apart from the Fourth Amendment. It is not claimed that any federal statute in terms confers a remedy in
The Legislative Reorganization Act of 1946, c. 753, § 121 (b), House Rule XI (l)(q)(2), 60 Stat. 828, provides in part: “Subpenas may be issued under the signature of the chairman of the committee [on Un-American Activities] or any subcommittee, or by any member designated by any such chairman . . . If this provision be interpreted to prohibit respondent from issuing the Committee’s subpoenas on his own,
A final approach to the problem of founding federal jurisdiction
Let me make clear that I am not suggesting that this Court enjoys the same 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 language 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 “[restoration 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. the 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.
Petitioner Wheeldin has withdrawn from the case in this Court.
It is not contended that respondent was acting under the orders of a superior officer which he reasonably believed to be lawful or authorized. Compare Gray, Private Wrongs of Public Servants, 47 Cal. L. Rev. 303, 317-318 (1959)Comment, 63 Col. L. Rev. 326, 334 (1963). And of course no issue is involved here of the scope of the immunity of Congressmen themselves from private civil suits. Cf. Tenney v. Brandhove, 341 U. S. 367, 378.
In so confining my discussion, I mean to intimate no view on the questions whether the complaint states a violation of the Fourth Amendment and whether, if so, a remedy in damages is available. On the latter question, compare Wiley v. Sinkler, 179 U. S. 58; Swafford v. Templeton, 185 U. S. 487; and Bell v. Hood, 327 U. S. 678, 684, with Bell v. Hood, 71 F. Supp. 813; and Johnston v. Earle, 245 F. 2d 793. These questions, too, should be determined in the first instance by the courts below. See Bell v. Hood, 327 U. S. 678.
The question of authority is, of course, distinct from that of immunity from civil suit. Even an unauthorized act may be within the scope of the immunity, so long as it is within the “outer perimeter” of the officer’s “line of duty.” Barr v. Matteo, supra, at 575. That, however, is a matter of defense. Whether respondent’s issuance of. the subpoena to petitioner Dawson was authorized by law would seem to be an element of the tort framed in the complaint.
The acts complained of as establishing the cause of action all took place, apparently, in California, and petitioner, and respondent are both residents of California; thus, the tort law of California would seem to be the appropriate referent. Neither the parties nor the courts below have canvassed the possibly relevant California authorities and I have made no independent investigation of the question. But consider § 3281 of the California Civil Code: “Every person who suffers detriment from the unlawful act or omission of another, may recover from the person in fault a compensation therefor in money, which is called damages.” Cf. Bell v. Hood, 71 F. Supp. 813, 817; Toscano v. Olesen, 189 F. Supp. 118; but cf. Foote, Tort Remedies for Police Violations of Individual Rights, 39 Minn. L. Rev. 493, 502-503 (1955).
The Solicitor General agrees that the Fourth Amendment claim in the complaint conferred federal court, jurisdiction to dispose of it
In Smith, the investment powers of the Trust Company were subject to federal law governing the issuance of federal securities. Thus, substantially the only question in the case was the validity vel non of the issuance under federal law. Here, besides the question of respondent’s authority vel non to issue the subpoena, there are questions, e. g., malice, which might be thought to be rooted in the common law of- abuse of process.
No claim here is made of a conspiracy to deny petitioner the equal protection of the laws. It. S. § 1980 Third, 42 U. S. C. § 1985 (3). Nor is this an action for breach of a United States marshal’s bond, 28 U. S. C. § 544; in an earlier phase of the instant litigation, the complaint was dismissed as against a United States marshal and a sheriff as frivolous. 280 F. 2d 293 (per curiam). The Federal Tort Claims Act, 28 U. S. C. §§ 2671-2680, has nothing to do with the present case, since the Act imposes liability on the United States and does not pertain to the question of individual federal officers’ personal tort liability. The Act excludes abuse of process and other intentional torts. See §2680 (h).
I do not reach the question, which was not decided below or discussed in the opinion of the Court today, whether the Committee may delegate the power to issue subpoenas to members of its staff; petitioner Dawson contends that no such delegation was here .attempted, see p. 654, supra.
Arguably, the. validity of the subpoena could not be challenged m a criminal prosecution based on refusal to testify before the Committee, but presumably it could be challenged- in a prosecution- for willful default of subpoena. See R. S. § 102, as amended, 2 U. S. C. § 192; McPhaul v. United States, 364 U. S. 372.
If Rule XI (1) (q) (2) were interpreted to create an implied right of action in favor of petitioner, his claim would be one arising under federal law within the meaning of 28 U. S. C. § 1331 (a), since the rule was enacted as part of an Act of Congress. It seems to me to make no difference that the instant complaint cites not the Legislative Reorganization Act, but rather H. Res. 6, 85th Cong., 1st Sess., wherein the provisions of the Act were adopted in haec verba as rules of the 85th Congress. See 103 Cong. Rec. 47 (1957).
E. g., Southern Express Co. v. Byers, 240 U. S. 612; Sola Elec. Co. v. Jefferson Elec. Co., 317 U. S. 173; Clearfield Trust Co. v. United States, 318 U. S. 363, 367; United States v. County of Allegheny, 322 U. S. 174, 183; Holmberg v. Armbrecht, 327 U. S. 392, 395; United States v. Fullard-Leo, 331 U. S. 256, 269-270; Rea v. United States, 350 U. S. 214; Textile Workers v. Lincoln Mills, 353 U. S. 448, 457; Howard v. Lyons, 360 U. S. 593, 597; International Assn. of Machinists v. Central Airlines, 372 U. S. 682, 691, 693, n. 17; O’Brien v. Western Union Tel. Co., 113 F. 2d 539; Kaufman v. Western Union Tel. Co., 224 F. 2d 723, 728; Kardon v. National Gypsum Co., 73 F. Supp. 798; see Hart, The Relations Between State and Federal Law, 54 Col. L. Rev. 489, 530-535 (1954); Bell v. Hood, 327 U. S. 678, 684.
Thus, it is unsettled whether the state courts have jurisdiction. to entertain an action to enjoin a federal officer acting under color of federal law, Hart and Wechsler, supra, at 388-391, so that denial
In Romero v. International Terminal Operating Co., 358 U. S. 354, a majority of the Court held that claims under the general maritime law, which is a body of federal decisional law, did not arise under federal law for the purposes of § 1331 (a). But the Court based its decision on considerations peculiar to the maritime law and did not purport to resolve the broader question whether claims under federal common law are within § 1331 (a). See 358 U. S., at 395 (separate opinion).
Reference
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