Opinion · Supreme Court of the United States
Ex Parte State of New York, No. 1
256 U.S. 490
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1921-06-01
- Topic
- general
How later courts describe this case
- explaining that courts ought to look beyond the “mere names of the titular parties” to “the essential nature and effect of the proceeding”
- holding that a determination under the Eleventh Amendment requires "that the question is to be determined not by the mere names of the titular parties but by the essential nature and effect of the proceeding, as it appears from the entire record"
- noting that immunity is to be determined “not by the mere names of the titular parties but by the essential nature and effect of the proceeding, as it appears from the entire record”
- holding federal courts may not hear suits against a state brought by their own citizens, “because of the fundamental rule of which the [Eleventh] [A]mendment is but an exemplification”
- holding federal courts may not hear suits against a state brought by their own citizens, “because of the fundamental rule of which the [Eleventh] Amendment is but an exemplification.”
- holding federal courts may not hear suits against a state brought by their own citizens, “because of the fundamental rule of which the 24 [Eleventh] Amendment is but an exemplification.”
- holding federal courts may not hear suits 25 against a state brought by their own citizens, “because of the fundamental rule of which 26 the [Eleventh] Amendment is but an exemplification.”
- discussing state sovereign immunity as “the fundamental rule of which the amendment is but an exemplification' ’
Citator
UpLaw has not yet analyzed Ex Parte State of New York, No. 1. The absence of a flag is not a finding that it is good law.
- Authority status
- pending
- Cited by
- 558 opinions
Headnotes
- Admiralty & Maritime Law — Writs of Prohibition Under § 234 of the Judicial Code, the Supreme Court has power to issue a writ of prohibition to prevent a district court from exceeding its jurisdiction in admiralty, and that power may be exercised in a clear case even though an ultimate remedy exists by appeal. 256 U.S. 490, 496, 503
- Constitutional Law — Eleventh Amendment A State may not be sued without its consent, whether by its own citizens or by citizens of another State; the entire judicial power granted by the Constitution does not embrace authority to entertain a suit brought by private parties against a State without its consent given. 256 U.S. 490, 497
- Admiralty & Maritime Law — Suits Against States Under the Eleventh Amendment The admiralty and maritime jurisdiction is not exempt from the rule that a State may not be sued without its consent; an admiralty suit in personam may not be brought against a State without its consent by an individual, whether a citizen of that State or not. 256 U.S. 490, 497
- Federal Courts & Jurisdiction — Suits Against States — Determination of Party in Interest Whether a suit is a suit against a State is determined not by the names of the titular parties but by the essential nature and effect of the proceeding as it appears from the entire record. 256 U.S. 490, 500
- Federal Courts & Jurisdiction — Suits Against States — Nature and Effect of the Proceeding A suit against defendants who, claiming to act as officers of the State, and under color of an unconstitutional statute, commit acts of wrong and injury to the rights and property of the plaintiff is not, within the meaning of the Eleventh Amendment, an action against the State; but a suit brought against the officers of the State as representing the State's action and liability, so that it makes the State the real party against which the judgment will operate to compel it to make pecuniary satisfaction for a liability, is a suit against the State. 256 U.S. 490, 500–501
- Admiralty & Maritime Law — Impleader Under Admiralty Rule 59 — Suits Against States Proceedings under Admiralty Rule 59 impleading a State officer in his official capacity, where no res belonging to or claimed by the State is attached or brought under the court's jurisdiction, are in personam in nature; and where the decrees sought would affect the officer solely in his official capacity, be satisfied out of State property in his hands, or form the basis for charges upon the State treasury, they are essentially suits against the State beyond the jurisdiction of the district court in admiralty. 256 U.S. 490, 501–502
- Federal Courts & Jurisdiction — Admiralty — State Exemption from Suit It is not inconsistent with the requirement of uniformity in the substantive rules of maritime law to accord to the States, which enjoy the prerogatives of sovereignty to the extent of being exempt from litigation at the suit of individuals in all other judicial tribunals, a like exemption in the courts of admiralty and maritime jurisdiction; such exemption concerns jurisdiction, not liability. 256 U.S. 490, 503
EX PARTE STATE OF NEW YORK, NO. 1,256 U.S. 490(1921)
41 S.Ct. 588
EX PARTE IN THE MATTER OF THE STATE OF NEW YORK ET AL., PETITIONERS.
ON PETITION FOR WRIT OF PROHIBITION AND/OR WRIT OF MANDAMUS.
No. 25, Original.
Argued December 13, 14, 1920.
Decided June 1, 1921.
PROHIBITION, to restrain proceedings in admiralty in the
District Court. The case is stated in the opinion,post, 494.
This court has not granted writs of prohibition when petitioner possessed another remedy.In re Cooper,143 U.S. 472;Ex parte Gordon,104 U.S. 515;In re New York PortoRico S.S. Co.,155 U.S. 523,531.
The District Court, having general jurisdiction over the subject-matter and over the parties, should be allowed to proceed to decision upon the merits, and if error has been or shall be committed in entertaining the claimants' contention against the charterer in the same suit with the libel against the ship, it may be later corrected on appeal. SeeIn re Fassett,142 U.S. 479,484;Moranv.Sturges,154 U.S. 256,286;Ex parteDetroit River Ferry Co.,104 U.S. 519;Ex parte Hagar,104 U.S. 520;In re Rice,155 U.S. 396;In re HuguleyManufacturing Co.,184 U.S. 297;Alexanderv.Crollott,199 U.S. 580;Ex parte Oklahoma,220 U.S. 191,208,209.
The Superintendent of Public Works is subject to the exercise of admiralty jurisdiction. The District Court unquestionably has control of theres, as both tugs were within the territorial jurisdiction when arrested. They were subject to maritime liens in favor of the libelants. Likewise the Superintendent was within the territorial jurisdiction when its process, issued conformably to Rule 59, was served personally upon him. Moreover, it wasPage 492alleged in the petitions filed by claimants that the Superintendent had and maintained various property under his control and direction within the district. Therefore, the only question is, whether, having such control of the subject-matter, vessels and parties by due and proper exercise of its admiralty process, the District Court might also exercise its admiralty jurisdiction against the Superintendent.
The application of the provisions of Rule 59 to these causes does not change their admiralty characteristics and does not deprive the District Court of jurisdiction. The proceedings became pure actionsin rem, sui generis, distinctly maritime in nature, and we submit that the contrary assertion is neither based on fact nor supported by law.
The Attorney General argues that inasmuch as theresare not now under charter to, or in the possession of, the State, there is no basis in such a claimin personamagainst the State. It should be sufficient reply to say that such argument neglects not only the creation by disaster of ajus in reenforceable in admiralty by processin rem, The John G. Stevens,170 U.S. 113,117, and cases cited; but likewise takes no thought of the liability of the charterer to return the vessel to the owner free from lien.The Barnstable,181 U.S. 464.
These are not, under any consideration, actions at law or in equity falling within the purview of the Eleventh Amendment. Admiralty suits are neither suits at law nor in equity, but are spoken of in contradistinction to both. 3 Story, Constitution, § 1683, original ed. Admiralty actions aresui generis, and are not within the term civil suits, thereby meaning suits of a civil nature at common law or in equity.United Statesv.Bright, Fed. Cas. No. 14,647;Atkinsv.Disintegrating Co., 18 Wall. 272.
The prerequisite in admiralty to the right to resort to a libelin personamis the existence of a cause of action,Page 493maritime in its nature.Workmanv.New York City,179 U.S. 552,573. Further, a libelin personammay be maintained for any cause within the jurisdiction of an admiralty court, wherever a monition can be served upon the libelee or an attachment made of any personal property or credits of his.In re LouisvilleUnderwriters,134 U.S. 488,490.Governor of Georgiav.Madrazo, 1 Pet. 110, andEx parte Madrazo, 7 Pet. 627, distinguished.
The doctrine laid down by this court in the case ofWorkmanv.New York City, supra, is wholly decisive of the issue here, for no distinction in the applicability of the rule there laid down was made between corporations, municipal or sovereign; the National Government alone was excepted therefrom.
These are not suits against the State; and, in any event, the question whether they are belongs to the merits rather than to the jurisdiction.Scullyv.Bird,209 U.S. 481;IllinoisCentral R.R. Co. v.Adams,180 U.S. 28.
The cases in which immunity from process has been heretofore claimed and granted on the ground of sovereignty have no application. They were either — (1) actions brought directly against vessels owned or maintained as the property of a sovereign power and at the time of action possessed by it or maintained under its control, or (2) against vessels in the possession of the National Government or vessels of a friendly foreign sovereign. The principle of immunity to vessels in the possession of the National Government was first declared inTheSiren, 7 Wall. 152, and again inThe Davis, 10 Wall. 15. Both of those cases nevertheless held that the liens in question were capable of enforcement therein because the possession of the Government was not disturbed in so doing. SeeWorkmanv.NewYork City,179 U.S. 552,573.
The granting of immunity from process to vessels of a friendly foreign sovereign power apparently has its basis in the decision ofThe Exchange, 7 Cranch, 116, in which it wasPage 494held that a public armed vessel in the service of a sovereign at peace with the United States is not within the ordinary jurisdiction of the admiralty court, such privilege being based upon international courtesy. SeeThe Maipo, 252 F. 627;The Roseric, 254 F. 154;The Pampa, 245 F. 137.
Nowhere is it suggested that the courtesy accorded vessels of the National Government or of a friendly foreign power can be extended to include one of the several States of the United States. If it should be thought that such doctrine should be so extended, it would still be inapplicable here, where no possession of theresby the State or by a state officer could be disturbed by these proceedingsin rem;and the vessels were not, at the time of seizure, owned, maintained or possessed by the State. Moreover, a further decisive objection lies in the absence of complete sovereignty in the State of New York. Sovereignty in its essence means supreme political authority.
The State of New York may not impose its local law upon the admiralty jurisdiction.Workmanv.New York City,179 U.S. 552,557;Southern Pacific Co. v.Jensen,244 U.S. 205,215,216;The Lottawanna, 21 Wall. 558. See alsoUnion Fish Co. v.Erickson,248 U.S. 308.
As between the owners and the charterer, liability for damage caused by negligence of the officers and crew under the dominion of the charterer rests with the charterer.
The State must be presumed to have contemplated the system of maritime law under which the charters were made.
Justice commends the unlimited application of the provisions of Admiralty Rule 59.
The Attorney General of the State appeared in all three cases specially in behalf of the State and the People thereof, and of Walsh, and filed a suggestion that the court was without jurisdiction to proceed against Walsh as Superintendent of Public Works for the reason that, as appeared upon the face of the proceedings, they were suits against the State of New York in which the State had not consented to be sued. The District Court denied motions to dismiss the monitions (The Henry Koerber,Jr., 268 F. 561), whereupon the Attorney General, on behalf of the State and the People thereof, and of Walsh as Superintendent and individually, under leave granted, filed in this court a petition for writs of prohibition and mandamus. An order to show cause was issued, to which the District Judge made a return, and upon this and the proceedings in the District Court the matter has been argued.
The record shows that the charters had expired according to their terms, and the tugs were in possession of the claimants, neither the State nor Walsh having any claim upon or interest in them. At no time has anyresbelonging to the State or to Walsh, or in which they claim any interest, been attached or brought under the jurisdiction of the District Court. Nor is any relief asked against Mr. Walsh individually; the proceedings against him being strictly in his capacity as a public officer.
The power to issue writs of prohibition to the district courts when proceeding as courts of admiralty and maritime jurisdiction is specifically conferred upon this court by § 234, Judicial Code (Act of March 3, 1911, c. 231,Page 49736 Stat. 1087, 1156). And the fact that the objection to the jurisdiction of the court below might be raised by an appeal from the final decree is not in all cases a valid objection to the issuance of a prohibition at the outset, where a court of admiralty assumes to take cognizance of matters over which it has no lawful jurisdiction.In re Cooper,143 U.S. 472,495.
That a State may not be sued without its consent is a fundamental rule of jurisprudence having so important a bearing upon the construction of the Constitution of the United States that it has become established by repeated decisions of this court that the entire judicial power granted by the Constitution does not embrace authority to entertain a suit brought by private parties against a State without consent given: not one brought by citizens of another State, or by citizens or subjects of a foreign State, because of the Eleventh Amendment; and not even one brought by its own citizens, because of the fundamental rule of which the Amendment is but an exemplification.Beersv.Arkansas, 20 How. 527, 529;Railroad Co. v.Tennessee,101 U.S. 337,339;Hansv.Louisiana,134 U.S. 1,10-17;NorthCarolinav.Temple,134 U.S. 22,30;Fittsv.McGhee,172 U.S. 516,524;Palmerv.Ohio,248 U.S. 32,34;Duhnev.New Jersey,251 U.S. 311,313.
Nor is the admiralty and maritime jurisdiction exempt from the operation of the rule. It is true the Amendment speaks only of suits in law or equity; but this is because, as was pointed out inHansv.Louisiana, supra, the Amendment was the outcome of a purpose to set aside the effect of the decision of this court inChisholmv.Georgia, 2 Dall. 419, which happened to be a suit at law brought against the State by a citizen of another State, the decision turning upon the construction of that clause of § 2 of Art. III of the Constitution establishing the judicial power in cases in law and equity between a StatePage 498and citizens of another State; from which it naturally came to pass that the language of the Amendment was particularly phrased so as to reverse the construction adopted in that case. InHansv.Louisiana, supra(p. 15), the court demonstrated the impropriety of construing the Amendment so as to leave it open for citizens to sue their own State in the federal courts; and it seems to us equally clear that it cannot with propriety be construed to leave open a suit against a State in the admiralty jurisdiction by individuals, whether its own citizens or not.
Among the authorities to which we are referred is Mr. Justice Story, who, in his commentaries on the Constitution (1st ed., § 1683; 5th ed., § 1689), stated that it had been doubted whether the Amendment extended to cases of admiralty and maritime jurisdiction where the proceeding wasin remand notinpersonam;and whose doubt was supported by a declaration proceeding from Mr. Justice Washington at the circuit,UnitedStatesv.Bright(1809), Brightly, N.P. 19, 25, Note; 24 Fed. Cas. 1232, 1236, No. 14,647; 3 Hall's L.J. 197, 225. But the doubt was based upon considerations that were set aside in the reasoning adopted by this court inHansv.Louisiana. InGovernor of Georgiav.Madrazo, 1 Pet. 110, 124, the question whether the Eleventh Amendment extended to proceedings in admiralty was alluded to, but found unnecessary to be decided, because, if it did not, the case was for the original jurisdiction of this court and not of the district court in which it was brought; and it was held, further, that the decree could not be sustained as a proceedingin rem, because the thing was not in possession of the district court. Subsequently, inExparte Madrazzo, 7 Pet. 627, 632, an application was made to this court to entertain a suit in admiralty against the State of Georgia, and it was held that as there was no property in the custody of the court of admiralty, or brought within its jurisdiction and in the possession of any private person,Page 499the case was not one for the exercise of the admiralty jurisdiction; and that, being a mere personal suit against a State to recover proceeds in its possession, it could not be entertained, since "no private person has a right to commence an original suit in this court against a State."Atkinsv.Disintegrating Co., 18 Wall. 272, 300,et seq., andIn reLouisville Underwriters,134 U.S. 488, are aside from the point, since they relate merely to a question of statutory construction: whether the provision of § 11 of the Judiciary Act of 1789 (1 Stat. 79, c. 20; reenacted in § 739 of the Revised Statutes, and in § 1 of Act of March 3, 1875, c. 137,18 Stat. 470), to the effect that no civil suit should be brought against a person by original process in any district other than that of which he was an inhabitant or in which he should be found, applied to suitsin personamin admiralty so as to prevent the court from acquiring jurisdiction over a corporation through attachment of its goods or property in a district other than that of its residence (in the former case), or by service of process upon its appointed agent (in the latter).
Much reliance is placed uponWorkmanv.New York City,179 U.S. 552. But that dealt with a question of the substantive law of admiralty, not the power to exercise jurisdiction over the person of defendant; and in the opinion the court was careful to distinguish between the immunity from jurisdiction attributable to a sovereign upon grounds of policy, and immunity from liability in a particular case. Thus (p. 566): "The contention is, although the corporationhad general capacity to stand injudgment, and was thereforesubject to the processof a court of admiralty, nevertheless the admiralty court would afford no redress against the city for the tort complained of, because under the local law," etc. "But the maritime law affords no justification for this contention, and no example is found in such law, where one who issubject to suit and amenable toprocessis allowed to escape liabilityPage 500for the commission of a maritime tort, upon the theory relied upon."
We repeat, the immunity of a State from suitin personamin the admiralty brought by a private person without its consent, is clear.
As to what is to be deemed a suit against a State, the early suggestion that the inhibition might be confined to those in which the State was a party to the record (Osbornv.UnitedStates Bank, 9 Wheat. 738, 846, 850, 857) has long since been abandoned, and it is now established that the question is to be determined not by the mere names of the titular parties but by the essential nature and effect of the proceeding, as it appears from the entire record.Louisianav.Jumel,107 U.S. 711,719,720,723,727-728;Hagoodv.Southern,117 U.S. 52,67,et seq.; In re Ayers,123 U.S. 443,487-492;Pennoyerv.McConnaughy,140 U.S. 1,10,et seq.; Smithv.Reeves,178 U.S. 436,438-440;Murrayv.Wilson Distilling Co.,213 U.S. 151,168-170;Lankfordv.Platte Iron Works Co.,235 U.S. 461,469.
Thus examined, the decided cases have fallen into two principal classes, mentioned inPennoyerv.McConnaughy,140 U.S. 1,10: "The first class is where the suit is brought against the officers of the State, as representing the State's action and liability, thus making it, though not a party to the record, the real party against which the judgment will so operate as to compel it to specifically perform its contracts [citing cases]. The other class is where a suit is brought against defendants who, claiming to act as officers of the State, and under the color of an unconstitutional statute, commit acts of wrong and injury to the rights and property of the plaintiff acquired under a contract with the State. Such suit . . . is not, within the meaning of the Eleventh Amendment, an action against the State." The first class, in just reason, is not confined to cases where the suit will operate so as to compelPage 501the State specifically to perform its contracts, but extends to such as will require it to make pecuniary satisfaction for any liability.Smithv.Reeves,178 U.S. 436,439.
As has been shown, the proceedings against which prohibition is here asked have no element of a proceedingin rem, and are in the nature of an actionin personamagainst Mr. Walsh, not individually, but in his capacity as Superintendent of Public Works of the State of New York. The office is established and its duties prescribed by the constitution of the State; Art. 5, § 3. He is "charged with the execution of all laws relating to the repair and navigation of the canals, and also of those relating to the construction and improvement of the canals," with exceptions not material. By c. 264 of the Laws of 1919, effective May 3, the Superintendent is authorized to provide such facilities as in his judgment may be necessary for the towing of boats on the canals of the State, the towing service to be furnished under such rules and regulations as he shall adopt; and for that service he is authorized to impose and collect such fees as in his judgment may seem fair and reasonable; the moneys so collected to be deposited by him in the state treasury. For the carrying into effect of this act the sum of $200,000 was appropriated. Under these provisions of law Mr. Walsh, as Superintendent of Public Works, chartered the tugsHenryKoerber, Jr., andCharlotte, in the name and behalf of the People of the State of New York, for periods beginning May 15 and ending at latest December 15, 1919; and it was under these charters that they were being operated when the disasters occurred upon which the libels are founded and the petitions under Rule 59 are based. The decrees sought would affect Mr. Walsh in his official capacity, and not otherwise. They might be satisfied out of any property of the State of New York in his hands as Superintendent of Public Works, or made a basis for charges upon the treasury of the State underPage 502§ 46 of the Canal Law (Cons. L. 1909, p. 269), which provides that the commissioners of the canal fund may allow claims for moneys paid by the Superintendent of Public Works or other person or officer employed in the care, management, superintendence, and repair of the canals, for a judgment recovered against them or any of them in any action instituted for an act done pursuant to the provisions of the canal law. In either case their effect, whether complete or not, would expend itself upon the People of the State of New York in their public and corporate capacity. Section 47 of the Canal Law provides for an action before the Court of Claims for certain kinds of damages arising from the use or management of the canals; but in terms it is provided that this "shall not extend to claims arising from damages resulting from the navigation of the canals." There is no suggestion that the Superintendent was or is acting under color of an unconstitutional law, or otherwise than in the due course of his duty under the constitution and laws of the State of New York. In the fullest sense, therefore, the proceedings are shown by the entire record to be in their nature and effect suits brought by individuals against the State of New York, and therefore — since no consent has been given — beyond the jurisdiction of the courts of the United States.
There is no substance in the contention that this result enables the State of New York to impose its local law upon the admiralty jurisdiction, to the detriment of the characteristic symmetry and uniformity of the rules of maritime law insisted upon inWorkmanv.New York City,179 U.S. 552,557-560;Southern Pacific Co. v.Jensen,244 U.S. 205,215;UnionFish Co. v.Erickson,248 U.S. 308,313;Knickerbocker IceCo. v.Stewart,253 U.S. 149,160. The symmetry and harmony maintained in those cases consists in the uniform operation and effect of the characteristic principles and rules of the maritime lawPage 503as a body of substantive law operative alike upon all who are subject to the jurisdiction of the admiralty, and binding upon other courts as well.Chelentisv.Luckenbach S.S. Co.,247 U.S. 372,382,384. It is not inconsistent in principle to accord to the States, which enjoy the prerogatives of sovereignty to the extent of being exempt from litigation at the suit of individuals in all other judicial tribunals, a like exemption in the courts of admiralty and maritime jurisdiction.
The want of authority in the District Court to entertain these proceedingsin personamunder Rule 59 (now 56) brought by the claimants against Mr. Walsh as Superintendent of Public Works of the State of New York is so clear, and the fact that the proceedings are in essence suits against the State without its consent is so evident, that instead of permitting them to run their slow course to final decree, with inevitably futile result, the writ of prohibition should be issued as prayed.Ex parteSimons,247 U.S. 231,239;Ex parte Peterson,253 U.S. 300,305.Rule absolute for a writ of prohibition.