Respondent brought suit in Federal District Court in Indiana on
behalf of her deceased son's estate, alleging that her son, while a
prisoner in a federal prison in Indiana, suffered personal injuries
from which he died because petitioner prison officials violated,
inter alia, his Eighth Amendment rights by failing to give
him proper medical attention. Asserting jurisdiction under 28
U.S.C. § 1331(a), respondent claimed compensatory and punitive
damages. The District Court held that the allegations pleaded a
violation of the Eighth Amendment's proscription against cruel and
unusual punishment, thus giving rise to a cause of action for
damages under
Bivens v. Six Unknown Fed. Narcotics Agents,
403 U. S. 388,
under which it was established that victims of a constitutional
violation by a federal official have a right to recover damages
against the official in federal court despite the absence of any
statute conferring such a right. But the court dismissed the
complaint on the ground that, although the decedent could have
maintained the action if he had survived, the damages remedy, as a
matter of federal law, was limited to that provided by Indiana's
survivorship and wrongful death laws, which the court construed as
making the damages available to the decedent's estate insufficient
to meet § 1331(a)'s $10,000 jurisdictional amount requirement.
While otherwise agreeing with the District Court, the Court of
Appeals held that the latter requirement was satisfied because,
whenever a state survivorship statute would abate a
Bivens-type action, the federal common law allows survival
of the action.
Held:
1. A
Bivens remedy is available to respondent even
though the allegations could also support a suit against the United
States under the Federal Tort Claims Act (FTCA). Pp.
446 U. S.
18-23.
(a) Neither of the situations in which a cause of action under
Bivens may be defeated are present here. First, the case
involves no special factors counseling hesitation in the absence of
affirmative action by Congress, petitioners not enjoying such
independent status in our
Page 446 U. S. 15
constitutional scheme as to suggest that judicially created
remedies against them might be inappropriate. Second, there is no
explicit congressional declaration that persons injured by federal
officers' violations of the Eighth Amendment may not recover
damage's from the officers, but must be remitted to another remedy,
equally effective in Congress' view. There is nothing in the FTCA
or its legislative history to show that Congress meant to preempt a
Bivens remedy or to create an equally effective remedy for
constitutional violations. Rather, in the absence of a contrary
expression from Congress, the FTCA's provision creating a cause of
action against the United States for intentional torts committed by
federal law enforcement officers, contemplates that victims of the
kind of intentional wrongdoing alleged in the complaint in this
case shall have an action under the FTCA against the United States
as well as a
Bivens action against the individual
officials alleged to have infringed their constitutional rights.
Pp.
446 U. S.
18-20.
(b) The following factors also support the conclusion that
Congress did not intend to limit respondent to an FTCA action: (i)
the
Bivens remedy, being recoverable against individuals,
is a more effective deterrent than the FTCA remedy against the
United States; (ii) punitive damages may be awarded in a
Bivens suit, but are statutorily prohibited in an FTCA
suit; (iii) a plaintiff cannot opt for a jury trial in an FTCA
action, as he may in a
Bivens suit; and (iv) an action
under the FTCA exists only if the State in which the alleged
misconduct occurred would permit a cause of action for that
misconduct to go forward. Pp.
446 U. S.
20-23.
2. Since
Bivens actions are a creation of federal law,
the question whether respondent's action survived her son's death
is a question of federal law. Only a uniform federal rule of
survivorship will suffice to redress the constitutional deprivation
here alleged and to protect against repetition of such conduct.
Robertson v. Wegmann, 436 U. S. 584
distinguished. Pp.
446 U. S.
23-25.
581 F.2d 669, affirmed.
BRENNAN, J., delivered the opinion of the Court, in which WHITE,
MARSHALL, BLACKMUN, and STEVENS, JJ., joined. POWELL, J., filed an
opinion concurring in the judgment, in which STEWART, J., joined,
post p.
446 U. S. 25.
BURGER, C.J.,
post, p.
446 U. S. 30,
and REHNQUIST, J.,
post, p.
446 U. S. 31,
filed dissenting opinions.
Page 446 U. S. 16
MR. JUSTICE BRENNAN delivered the opinion of the Court.
Respondent brought this suit in the District Court for the
Southern District of Indiana on behalf of the estate of her
deceased son, Joseph Jones, Jr., alleging that he suffered personal
injuries from which he died because the petitioners, federal prison
official, violated his due process, equal protection, and Eighth
Amendment rights. [
Footnote 1]
Asserting jurisdiction under 28 U.S.C. § 1331(a), she claimed
compensatory and punitive damages for the constitutional
violations. Two questions are presented for decision: (1) Is a
remedy available directly under the Constitution, given that
respondent's allegations could also support a suit against the
United States
Page 446 U. S. 17
under the Federal Tort Claims Act? [
Footnote 2] And (2) if so, is survival of the cause of
action governed by federal common law or by state statutes?
I
The District Court held that, under
Estelle v. Gamble,
429 U. S. 97
(1976), the allegations set out in
note 1 supra, pleaded a violation of the Eighth
Amendment's proscription against infliction of cruel and unusual
punishment, [
Footnote 3] giving
rise to a cause of action for damages under
Bivens v. Six
Unknown Fed. Narcotics Agents, 403 U.
S. 388 (1971). The court recognized that the decedent
could have maintained this action if he had survived, but dismissed
the complaint because, in its view, the damages remedy, as a matter
of federal law, was limited to that provided by Indiana's
survivorship and wrongful death laws and, as the court construed
those laws, the damages available to Jones' estate failed to meet
§ 1331(a)'s $10,000 jurisdictional amount requirement. The
Court of Appeals for the Seventh Circuit agreed that an Eighth
Amendment violation was pleaded under
Estelle and that a
cause of action was stated under
Bivens, but reversed the
holding that § 1331(a)'s jurisdictional amount requirement was
not met. [
Footnote 4] Rather,
the Court of Appeals held that
Page 446 U. S. 18
§ 1331(a) was satisfied because,
"whenever the relevant State survival statute would abate a
Bivens-type action brought against defendants whose
conduct results in death, the federal common law allows survival of
the action."
581 F.2d 669, 675 (1978). The court reasoned that the Indiana
law, if applied, would "subvert" "the policy of allowing complete
vindication of constitutional rights" by making it "more
advantageous for a tortfeasor to kill, rather than to injure."
Id. at 674. We granted certiorari. 442 U.S. 940 (1979). We
affirm.
II
Bivens established that the victims of a constitutional
violation by a federal agent have a right to recover damages
against the official in federal court despite the absence of any
statute conferring such a right. Such a cause of action may be
defeated in a particular case, however, in two situations. The
first is when defendants demonstrate "special factors counseling
hesitation in the absence of affirmative action by Congress." 403
U.S. at
403 U. S. 396;
Davis v. Passman, 442 U. S. 228,
442 U. S. 245
(1979). The second is when defendants show that Congress has
provided an alternative remedy which it explicitly declared to be a
substitute for recovery directly
Page 446 U. S. 19
under the Constitution and viewed as equally effective.
Bivens, supra at
403 U. S. 397;
Davis v. Passman, supra at
442 U. S.
245-247.
Neither situation obtains in this case. First, the case involves
no special factors counseling hesitation in the absence of
affirmative action by Congress. Petitioners do not enjoy such
independent status in our constitutional scheme as to suggest that
judicially created remedies against them might be inappropriate.
Davis v. Passman, supra at
442 U. S. 246.
Moreover, even if requiring them to defend respondent's suit might
inhibit their efforts to perform their official duties, the
qualified immunity accorded them under
Butz v. Economou,
438 U. S. 478
(1978), provides adequate protection.
See Davis v. Passman,
supra at
442 U. S.
246.
Second, we have here no explicit congressional declaration that
persons injured by federal officers' violations of the Eighth
Amendment may not recover money damages from the agents, but must
be remitted to another remedy, equally effective in the view of
Congress. Petitioners point to nothing in the Federal Tort Claims
Act (FTCA) or its legislative history to show that Congress meant
to preempt a
Bivens remedy or to create an equally
effective remedy for constitutional violations. [
Footnote 5] FTCA was enacted long before
Bivens was decided, but when Congress amended FTCA in 1974
to create a cause of action against the United States for
intentional torts committed by federal law enforcement officers, 28
U.S.C. § 2680(h), the congressional comments accompanying
Page 446 U. S. 20
that amendment made it crystal clear that Congress views FTCA
and
Bivens as parallel, complementary causes of
action:
"[A]fter the date of enactment of this measure, innocent
individuals who are subjected to raids [like that in
Bivens] will have a cause of action against the individual
Federal agents and the Federal Government. Furthermore, this
provision should be viewed as a
counterpart to the
Bivens case and its progenty [
sic], in that it
waives the defense of sovereign immunity so as to make the
Government independently liable in damages for the same type of
conduct that is alleged to have occurred in
Bivens (and
for which that case imposes liability upon the individual
Government officials involved)."
S.Rep. No. 9588, p. 3 (1973) (emphasis supplied). In the absence
of a contrary expression from Congress, § 2680(h) thus
contemplates that victims of the kind of intentional wrongdoing
alleged in this complaint shall have an action under FTCA against
the United States as well as a
Bivens action against the
individual officials alleged to have infringed their constitutional
rights.
This conclusion is buttressed by the significant fact that
Congress follows the practice of explicitly stating when it means
to make FTCA an exclusive remedy.
See 38 U.S.C. §
4116(a), 42 U.S.C. § 233(a), 42 U.S.C. § 2458a, 10 U.S.C.
§ 1089(a), and 22 U.S.C. § 817(a) (malpractice by certain
Government health personnel); 28 U.S.C. § 2679(b) (operation
of motor vehicles by federal employees); and 42 U.S.C. §
247b(k) (manufacturers of swine flu vaccine). Furthermore, Congress
has not taken action on other bills that would expand the
exclusivity of FTCA.
See, e.g., S. 695, 96th Cong., 1st
Sess. (1979); H.R. 2659, 96th Cong., 1st Sess. (1979); S. 3314,
95th Cong., 2d Sess. (1978).
Four additional factors, each suggesting that the
Bivens remedy is more effective than the FTCA remedy, also
support our conclusion that Congress did not intend to limit
respondent
Page 446 U. S. 21
to an FTCA action. First, the
Bivens remedy, in
addition to compensating victims, serves a deterrent purpose.
See Butz v. Economou, supra at
438 U. S. 505.
[
Footnote 6] Because the
Bivens remedy is recoverable against individuals, it is
more effective deterrent than the FTCA remedy against the United
States. It is almost axiomatic that the threat of damages has a
deterrent effect, [
Footnote 7]
Imbler v. Pachtman, 424 U. S. 409,
424 U. S. 442
(1976) (WHITE, J., concurring in judgment), surely particularly so
when the individual official faces personal financial
liability.
Petitioners argue that FTCA liability is a more effective
deterrent because the individual employees responsible for the
Government's liability would risk loss of employment [
Footnote 8] and because the Government would
be forced to promulgate corrective policies. That argument
suggests, however, that the superiors would not take the same
actions when an employee is found personally liable for violation
of a citizen's constitutional rights. The more reasonable
assumption is that responsible superiors are motivated not only by
concern for the public fisc, but also by concern for the
Government's integrity.
Second, our decisions, although not expressly addressing
Page 446 U. S. 22
and deciding the question, indicate that punitive damages may be
awarded in a
Bivens suit. Punitive damages are "a
particular remedial mechanism normally available in the federal
courts,"
Bivens, 403 U.S. at
403 U. S. 397,
and are especially appropriate to redress the violation by a
Government official of a citizen's constitutional rights. Moreover,
punitive damages are available in "a proper" § 1983 action,
Carey v. Piphus, 435 U. S. 247,
435 U. S. 257,
n. 11 (1978) (punitive damages not awarded because District Court
found defendants "did not act with a malicious intention to deprive
respondents of their rights or to do them other injury"), [
Footnote 9] and
Butz v.
Economou, suggests that the "constitutional design" would be
stood on its head if federal officials did not face at least the
same liability as state officials guilty of the same constitutional
transgression. 438 U.S. at
438 U. S. 504. But punitive damages in an FTCA suit are
statutorily prohibited. 28 U.S.C. § 2674. Thus, FTCA is that
much less effective than a
Bivens action as a deterrent to
unconstitutional acts.
Third, a plaintiff cannot opt for a jury in an FTCA action, 28
U.S.C. § 2402, as he may in a
Bivens suit. [
Footnote 10] Petitioners argue that
this is an irrelevant difference, because juries have been biased
against
Bivens claimants. Reply Brief for Petitioners 7,
and n. 6; Brief for Petitioners 30-31, n. 30. Significantly,
however, they do not assert that judges trying the claims as FTCA
actions would have been more receptive, and
Page 446 U. S. 23
they cannot explain why the plaintiff should not retain the
choice.
Fourth, an action under FTCA exists only if the State in which
the alleged misconduct occurred would permit a cause of action for
that misconduct to go forward. 28 U.S.C. § 1346(b) (United
States liable "in accordance with the law of the place where the
act or omission occurred"). Yet it is obvious that the liability of
federal officials for violations of citizens' constitutional rights
should be governed by uniform rules.
See Part III,
infra. The question whether respondent's action for
violations by federal officials of federal constitutional rights
should be left to the vagaries of the laws of the several States
admits of only a negative answer in the absence of a contrary
congressional resolution.
Plainly FTCA is not a sufficient protector of the citizens'
constitutional rights, and, without a clear congressional mandate,
we cannot hold that Congress relegated respondent exclusively to
the FTCA remedy.
III
Bivens actions are a creation of federal law, and
therefore the question whether respondent's action survived Jones'
death is a question of federal law.
See Burks v. Lasker,
441 U. S. 471,
441 U. S. 476
(1979). Petitioners, however, would have us fashion a federal rule
of survivorship that incorporates the survivorship laws of the
forum State, at least where the state law is not inconsistent with
federal law. Respondent argues, on the other hand, that only a
uniform federal rule of survivorship is compatible with the goal of
deterring federal officials from infringing federal constitutional
rights in the manner alleged in respondent's complaint. We agree
with respondent. Whatever difficulty we might have resolving the
question were the federal involvement less clear, we hold that only
a uniform federal rule of survivorship will suffice to redress the
constitutional deprivation here alleged and to protect against
repetition of such conduct.
Page 446 U. S. 24
In short, we agree with and adopt the reasoning of the Court of
Appeals, 581 F.2d at 67475 (footnote omitted):
"The essentiality of the survival of civil rights claims for
complete vindication of constitutional rights is buttressed by the
need for uniform treatment of those claims, at least when they are
against federal officials. As this very case illustrates,
uniformity cannot be achieved if courts are limited to applicable
state law. Here, the relevant Indiana statute would not permit
survival of the claim, while in
Beard [v. Robinson, 563
F.2d 331 (CA7 1977),] the Illinois statute permitted survival of
the
Bivens action. The liability of federal agents for
violation of constitutional rights should not depend upon where the
violation occurred. . . . In sum, we hold that, whenever the
relevant state survival statute would abate a
Bivens-type
action brought against defendants whose conduct results in death,
the federal common law allows survival of the action."
Robertson v. Wegmann, 436 U. S. 584
(1978), holding that a § 1983 action would abate in accordance
with Louisiana survivorship law, is not to the contrary. There the
plaintiff's death was not caused by the acts of the defendants upon
which the suit was based. [
Footnote 11] Moreover,
Robertson expressly
Page 446 U. S. 25
recognized that, to prevent frustrations of the deterrence goals
of § 1983 (which in part also underlie
Bivens
actions,
see 446 U. S.
supra,) "[a] state official contemplating illegal activity
must always be prepared to face the prospect of a § 1983
action being filed against him." 436 U.S. at
436 U. S. 592.
A federal official contemplating unconstitutional conduct similarly
must be prepared to face the prospect of a
Bivens action.
A uniform rule that claims such as respondent's survive the
decedent's death is essential if we are not to "frustrate in [an]
important way the achievement" of the goals of
Bivens
actions.
Auto Workers v. Hoosier Cardinal Corp.,
383 U. S. 696,
383 U. S. 702
(1966). [
Footnote 12]
Affirmed.
[
Footnote 1]
More specifically, respondent alleged that petitioners, being
fully apprised of the gross inadequacy of medical facilities and
staff at the Federal Correction Center in Terre Haute, Ind., and of
the seriousness of Jones' chronic asthmatic condition, nonetheless
kept him in that facility against the advice of doctors, failed to
give him competent medical attention for some eight hours after he
had an asthmatic attack, administered contraindicated drugs which
made his attack more severe, attempted to use a respirator, known
to be inoperative, which further impeded his breathing, and delayed
for too long a time his transfer to an outside hospital. The
complaint further alleges that Jones' death resulted from these
acts and omissions, that petitioners were deliberately indifferent
to Jones' serious medical needs, and that their indifference was in
part attributable to racial prejudice.
[
Footnote 2]
This question was presented in the petition for certiorari, but
not in either the District Court or the Court of Appeals. However,
respondent does not object to its decision by this Court. Though we
do not normally decide issues not presented below, we are not
precluded from doing so.
E.g., Youakim v. Miller,
425 U. S. 231
(1976). Here, the issue is squarely presented and fully briefed. It
is an important, recurring issue, and is properly raised in another
petition for certiorari being held pending disposition of this
case.
See Loe v. Armistead, 582 F.2d 1291 (CA4 1978),
cert. pending sub nom. Moffitt v. Loe, No. 78-1260. We
conclude that the interests of judicial administration will be
served by addressing the issue on its merits.
[
Footnote 3]
Petitioners do not contest the determination that the
allegations satisfy the standards set out in
Estelle.
[
Footnote 4]
The relevant Indiana law provides that a personal injury claim
does not survive where the acts complained of caused the victim's
death. Ind.Code § 34-1-1-1 (1976). Indiana does provide a
wrongful death cause of action for the personal representative of
one whose death is caused by an alleged wrongful act or omission.
Damages may "includ[e], but [are] not limited to, reasonable
medical, hospital, funeral and burial expenses, and lost earnings."
But if the decedent is not survived by a spouse, dependent child,
or dependent next of kin, then the recovery is limited to expenses
incurred in connection with the death. Ind.Code § 34-1-1-2
(1976).
The District Court read the complaint in this case as stating
claims under both §§ 34-1-1-1 and 34-1-12. Accordingly,
the court assumed that recovery on the claim was limited to
expenses (all of which would be paid by the Federal Government)
only because Jones died without a spouse or any dependents. The
Court of Appeals read the complaint as stating only a survivorship
claim on behalf of Jones under § 34-1-1-1. Thus, it assumed
that the claim would have abated even if Jones had left dependents
or a spouse. 581 F.2d 669, 672, n. 4 (1978). Resolution of this
conflict is irrelevant in light of our holding today.
[
Footnote 5]
To satisfy this test, petitioners need not show that Congress
recited any specific "magic words."
See the dissenting
opinion of THE CHIEF JUSTICE,
post at
446 U. S. 31,
and n. 2. Instead, our inquiry at this step in the analysis is
whether Congress has indicated that it intends the statutory remedy
to replace, rather than to complement, the
Bivens remedy.
Where Congress decides to enact a statutory remedy which it views
as fully adequate only in combination with the
Bivens
remedy,
e.g., 28 U.S.C. § 2680(h), that congressional
decision should be given effect by the courts.
[
Footnote 6]
Title 42 U.S.C. § 1983 serves similar purposes.
See,
e.g., Robertson v. Wegmann, 436 U. S. 584,
436 U. S.
590-591 (1978);
Carey v. Piphus, 435 U.
S. 247,
435 U. S. 256
(1978);
Mitchum v. Foster, 47 U.
S. 225,
47 U. S. 242
(1972);
Monroe v. Pape, 365 U. S. 167,
365 U. S.
172-187 (1961).
[
Footnote 7]
Indeed, underlying the qualified immunity which public officials
enjoy for actions taken in good faith is the fear that exposure to
personal liability would otherwise deter them from acting at all.
See Butz v. Economou, 438 U. S. 478,
438 U. S. 497
(1978);
Scheuer v. Rhodes, 416 U.
S. 232,
416 U. S. 240
(1974).
[
Footnote 8]
Some doubt has been cast on the validity of the assumption that
there exist adequate mechanisms for disciplining federal employees
in such cases.
See Testimony of Griffin B. Bell, Attorney
General of the United States, Joint Hearing on Amendments to the
Federal Tort Claims Act before the Subcommittee on Citizens and
Shareholders Rights and Remedies and the Subcommittee on
Administrative Practice and Procedure of the Senate Committee on
the Judiciary, 95th Cong., 2d Sess., pt. 1, p. 6 (1978).
[
Footnote 9]
Moreover, after
Carey, punitive damages may be the only
significant remedy available in some § 1983 actions where
constitutional rights are maliciously violated but the victim
cannot prove compensable injury.
[
Footnote 10]
Petitioners argue that the availability of punitive damages or a
jury trial under
Bivens is irrelevant, because neither is
a necessary element of a remedial scheme. But that argument
completely misses the mark. The issue is not whether a
Bivens cause of action or any one of its particular
features is essential. Rather, the inquiry is whether Congress has
created what it views as an equally effective remedial scheme.
Otherwise, the two can exist side by side. Moreover, no one
difference need independently render FTCA inadequate. It can fail
to be equally effective on the cumulative basis of more than one
difference.
[
Footnote 11]
Robertson fashioned its holding by reference to 42
U.S.C. § 188, which requires that § 1983 actions be
governed by
"the common law, as modified and changed by the constitution and
statutes of the State wherein the court having jurisdiction of
[the] civil . . . cause is held, so far as the same is not
inconsistent with the Constitution and laws of the United
States."
Section 1988 does not, in terms ,apply to
Bivens
actions, and there are cogent reasons not to apply it to such
actions even by analogy.
Bivens defendants are federal
officials brought into federal court for violating the Federal
Constitution. No state interests are implicated by applying purely
federal law to them. While it makes some sense to allow aspects of
§ 1983 litigation to vary according to the laws of the States
under whose authority § 1983 defendants work, federal
officials have no similar claim to be bound only by the law of the
State in which they happen to work.
Bivens, 403 U.S. at
403 U. S. 409
(Harlan, J., concurring in judgment). Moreover, these petitioners
have the power to transfer prisoners to facilities in any one of
several States which may have different rules governing
survivorship or other aspects of the case, thereby controlling, to
some extent, the law that would apply to their own wrongdoing.
See Robertson, 436 U.S. at
436 U. S.
592-593, and n. 10. Another aspect of the power to
transfer prisoners freely within the federal prison system is that
there is no reason to expect that any given prisoner will have any
ties to the State in which he is incarcerated, and, therefore, the
State will have little interest in having its law applied to that
prisoner. Nevertheless, as to other survivorship questions that may
arise in
Bivens actions, it may be that the federal law
should choose to incorporate state rules as a matter of
convenience. We leave such questions for another day.
[
Footnote 12]
Otherwise, an official could know at the time he decided to act
whether his intended victim's claim would survive.
Cf. Auto
Workers v. Hoosier Cardinal Corp. (whether statute of
limitation will matter cannot be known at time of conduct).
MR. JUSTICE POWELL, with whom MR. JUSTICE STEWART joins,
concurring in the judgment.
Although I join the judgment, I do not agree with much of the
language in the Court's opinion. The Court states the principles
governing
Bivens actions as follows:
"
Bivens established that the victims of a
constitutional
Page 446 U. S. 26
violation . . . have a right to recover damages. . . . Such a
cause of action may be defeated . . . in two situations. The first
is when defendants demonstrate 'special factors counseling
hesitation in the absence of affirmative action by Congress.' . . .
The second is when defendants show that Congress has provided an
alternative remedy which it explicitly declared to be a
substitute for recovery directly under the Constitution
and viewed as equally effective. . . ."
Ante at
446 U. S. 18-19
(emphasis in original). The foregoing statement contains dicta that
go well beyond the prior holdings of this Court.
I
We are concerned here with inferring a right of action for
damages directly from the Constitution. In
Davis v.
Passman, 442 U. S. 228,
442 U. S. 242
(1979), the Court said that persons who have "no [other] effective
means" of redress "must be able to invoke the existing jurisdiction
of the courts for the protection of their justiciable
constitutional rights." The
Davis rule now sets the
boundaries of the "principled discretion" that must be brought to
bear when a court is asked to infer a private cause of action not
specified by the enacting authority.
Id. at
442 U. S. 252
(POWELL, J., dissenting). But the Court's opinion, read literally,
would restrict that discretion dramatically. Today we are told that
a court must entertain a
Bivens suit unless the action is
"defeated" in one of two specified ways.
Bivens recognized that implied remedies may be
unnecessary when Congress has provided "equally effective"
alternative remedies.
Bivens v. Six Unknown Fed. Narcotics
Agents, 403 U. S. 388,
403 U. S. 397
(1971);
see Davis v. Passman, supra at
442 U. S. 248.
The Court now volunteers the view that a defendant cannot defeat a
Bivens action simply by showing that there are adequate
alternative avenues of relief. The defendant also must show that
Congress "explicitly declared [its remedy]
Page 446 U. S. 27
to be a
substitute for recovery directly under the
Constitution and viewed [it] as equally effective."
Ante
at
446 U. S. 18-19
(emphasis in original). These are unnecessarily rigid conditions.
The Court cites no authority, and advances no policy reason --
indeed, no reason at all -- for imposing this threshold burden upon
the defendant in an implied remedy case.
The Court does implicitly acknowledge that Congress possesses
the power to enact adequate alternative remedies that would be
exclusive. Yet today's opinion apparently will permit
Bivens plaintiffs to ignore entirely adequate remedies if
Congress has not clothed them in the prescribed linguistic garb. No
purpose is served by affording plaintiffs a choice of remedies in
these circumstances. Nor is there any precedent for requiring
federal courts to blind themselves to congressional intent
expressed in language other than that which we prescribe.
A defendant also may defeat the
Bivens remedy under
today's decision if "special factors" counsel "hesitation." But the
Court provides no further guidance on this point. The opinion
states simply that no such factors are present in this case. The
Court says that petitioners enjoy no "independent status in our
constitutional scheme" that would make judicially created remedies
inappropriate.
Ante at
446 U. S. 19.
But the implication that official status may be a "special factor"
is withdrawn in the sentence that follows, which concludes that
qualified immunity affords all the protection necessary to ensure
the effective performance of official duties. No other factors
relevant to the purported exception are mentioned.
One is left to wonder whether judicial discretion in this area
will hereafter be confined to the question of alternative remedies,
which is in turn reduced to the single determination that
congressional action does or does not comport with the
specifications prescribed by this Court. Such a drastic curtailment
of discretion would be inconsistent with the Court's longstanding
recognition that Congress is ultimately the appropriate body to
create federal remedies.
See ante at
446 U. S.
19-20;
Page 446 U. S. 28
Bivens v. Six Unknown Fed. Narcotics Agents, supra at
403 U. S. 397.
A plaintiff who seeks his remedy directly under the Constitution
asks the federal courts to perform an essentially legislative task.
In this situation, as Mr. Justice Harlan once said, a court
should
"take into account [a range of policy considerations] at least
as broad as the range of those a legislature would consider with
respect to an express statutory authorization of a traditional
remedy."
Bivens, supra at
403 U. S. 407.
The Court does not explain why this discretion should be limited in
the manner announced today.
The Court's absolute language is all the more puzzling because
it comes in a case where the implied remedy is plainly appropriate
under any measure of discretion. The Federal Tort Claims Act, on
which petitioners rely, simply is not an adequate remedy. [
Footnote 2/1] And there are reasonably
clear indications that Congress did not intend that statute to
displace
Bivens claims.
See ante at
446 U. S. 19-20.
No substantial contrary policy has been identified, and I am aware
of none. I therefore agree that a private damages remedy properly
is inferred from the Constitution in this case. But I do not agree
that
Bivens plaintiffs have a "right" to such a remedy
whenever the defendant fails to show that Congress has "provided an
[equally effective] alternative remedy which it explicitly
Page 446 U. S. 29
declared to be a
substitute. . . ." In my view, the
Court's willingness to infer federal causes of action that cannot
be found in the Constitution or in a statute denigrates the
doctrine of separation of powers and hardly comports with a
rational system of justice.
Cf. Cannon v. University of
Chicago, 441 U. S. 677,
441 U. S.
730-749 (1979) (POWELL, J., dissenting). [
Footnote 2/2]
II
In
446 U. S. the
Court holds that
"'whenever the relevant state survival statute would abate a
Bivens-type action brought against defendants whose
conduct results in death, the federal common law allows survival of
the action.'"
Ante at
446 U. S. 24,
quoting 581 F.2d 669, 675 (CA7 1978). I agree that the relevant
policies require the application of federal common law to allow
survival in this case.
It is not "obvious" to me, however, that "the liability of
federal officials for violations of citizens' constitutional rights
should be governed by uniform rules" in every case.
Ante
at
446 U. S. 23;
see ante at
446 U. S. 23-24.
On the contrary, federal courts routinely refer to state law to
fill the procedural gaps in national remedial schemes. The policy
against invoking the federal common law except where necessary to
the vitality of a federal claim is codified in 42 U.S.C. §
1988, which directs that state law ordinarily will govern those
aspects of § 1983 actions not covered by the "laws of the
United States."
The Court's opinion in this case does stop short of mandating
uniform rules to govern all aspects of
Bivens actions.
Ante at
446 U. S. 24-25,
n. 11. But the Court also says that the preference for state law
embodied in § 1988 is irrelevant to the selection of rules
that will govern actions against federal officers under
Bivens.
Ibid. I see no basis for this view.
In
Page 446 U. S. 30
Butz v. Economou, 438 U. S. 478,
438 U. S.
498-504, and n. 25 (1978), the Court thought it unseemly
that different rules should govern the liability of federal and
state officers for similar constitutional wrongs. I would not
disturb that understanding today.
[
Footnote 2/1]
The Federal Tort Claims Act is not a federal remedial scheme at
all, but a waiver of sovereign immunity that permits an injured
claimant to recover damages against the United States where a
private person "would be liable to the claimant in accordance with
the law of the place where the act or omission occurred." 28 U.S.C.
§ 1346(b);
see also 28 U.S.C. § 2674. Here, as
in
Bivens itself, a plaintiff denied his constitutional
remedy would be remitted to the vagaries of state law.
See
403 U.S. at
403 U. S.
394-395. The FTCA gives the plaintiff even less than he
would receive under state law in many cases, because the statute is
hedged with protections for the United States. As the Court points
out, the FTCA allows neither jury trial nor punitive damages.
Ante at
446 U. S. 21-22.
And recovery may be barred altogether if the claim arises from a
"discretionary function" or "the execution of a statute or
regulation, whether or not such statute or regulation be valid." 28
U.S.C. § 2680(a).
[
Footnote 2/2]
I do not suggest that courts enjoy the same degree of freedom to
infer causes of action from statutes as from the Constitution.
See Davis v. Passman, 442 U. S. 228,
442 U. S.
241-242 (1979). I do believe, however, that the Court
today has overstepped the bounds of rational judicial
decisionmaking in both contexts.
MR. CHIEF JUSTICE BURGER, dissenting.
Although I would be prepared to join an opinion giving effect to
Bivens v. Six Unknown Fed. Narcotics Agents, 403 U.
S. 388 (1971) -- which I thought wrongly decided -- I
cannot join today's unwarranted expansion of that decision. The
Federal Tort Claims Act provides an adequate remedy for prisoners'
claims of medical mistreatment. For me, that is the end of the
matter.
Under the test enunciated by the Court, the adequacy of the Tort
Claims Act remedy is an irrelevancy. The sole inquiry called for by
the Court's new test is whether "Congress has provided an
alternative remedy which it
explicitly declared to be a
substitute for recovery directly under the Constitution."
Ante at
446 U. S. 18-19
(first emphasis added). [
Footnote
3/1] That test would seem to permit a person whose
constitutional rights have been violated by a state officer to
bring suit under
Bivens even though Congress, in 42 U.S.C.
§ 1983, has already fashioned an equally effective remedy.
Cf. Turpin v. Mailet, 591 F.2d 426 (CA2 1979) (en banc).
After all, there is no "explicit congressional declaration,"
ante at
446 U. S. 19,
that § 1983 was meant to preempt a
Bivens remedy.
Taken to its logical conclusion, the Court's test, coupled with its
holding on survivorship,
ante at
446 U. S. 23,
and n. 11, suggests that the plaintiff in
Robertson v.
Wegmann, 436 U. S. 584
(1978), might have
Page 446 U. S. 31
escaped the impact of that decision by filing a separate
Bivens-type claim. And the Court's test throws into doubt
the decision in
Brown v. GSA, 425 U.
S. 820 (1976), where we held that § 717 Of the
Civil Rights Act Of 1964 provides the exclusive remedy for claims
of discrimination in federal employment. In enacting § 717,
Congress did not say the magic words which the Court now seems to
require. [
Footnote 3/2]
Until today, I had thought that
Bivens was limited to
those circumstances in which a civil rights plaintiff had no other
effective remedy.
See 403 U.S. at
403 U. S. 410
(Harlan, J., concurring in judgment);
Davis v. Passman,
442 U. S. 228,
442 U. S. 245,
and n. 23 (1979). Now it would seem that implication of a
Bivens-type remedy is permissible even though a victim of
unlawful official action may be fully recompensed under an existing
statutory scheme. I have difficulty believing that the Court has
thought through, and intends the natural consequences of, this
novel test; I cannot escape the conclusion that, in future cases,
the Court will be obliged to retreat from the language of today's
decision. [
Footnote 3/3]
[
Footnote 3/1]
The Court pays lipservice to the notion that there must be no
"special factors counseling hesitation in the absence of
affirmative action by Congress."
Ante at
446 U. S. 19.
Its one-sentence discussion of the point, however, plainly shows
that it is unlikely to hesitate unless Congress says that it must.
See opinion of MR. JUSTICE POWELL,
ante at
446 U. S.
27.
[
Footnote 3/2]
In his concurrence in
Bivens, Mr. Justice Harlan
emphasized that judicial implication of a constitutional damages
remedy was required because the Bill of Rights is aimed at
"restraining the Government as an instrument of the popular will."
403 U.S. at
403 U. S. 404.
See generally J. Ely, Democracy and Distrust 73-104
(1980). Under the Harlan view, it would seem irrelevant whether
Congress "meant to preempt a
Bivens remedy."
Ante
at
446 U. S. 19.
Rather, the sole inquiry in every case -- no matter what magic
words Congress had said or failed to say -- would be whether the
alternative remedy gave satisfactory protection to constitutional
interests. I note this point only to show how far the Court today
strays from the principles underlying
Bivens.
[
Footnote 3/3]
In response to this dissent, the Court's opinion tells us that
it is merely "giv[ing] effect" to what Congress intended.
See
ante at
446 U. S. 19, n.
5. Presumably, this is a reference to the legislative history of
the 1974 amendment to the FTCA, in which Congress, according to the
Court, "made it crystal clear that . . . FTCA and
Bivens
[were] parallel, complementary causes of action."
Ante at
446 U. S. 20.
But as MR. JUSTICE REHNQUIST observes, the legislative history is
far from clear.
See post at
446 U. S. 33, n.
2. In any event, if the Court is correct in its reading of that
history, then it is not really implying a cause of action under the
Constitution; rather, it is simply construing a statute. If so,
almost all of the Court's opinion is dicta.
MR. JUSTICE REHNQUIST, dissenting.
The Court today adopts a formalistic procedural approach for
inferring private damages remedies from constitutional
Page 446 U. S. 32
provisions that, in my view, still further highlights the wrong
turn this Court took in
Bivens v. Six Unknown Fed. Narcotics
Agents, 403 U. S. 388
(1971). Although ordinarily this Court should exercise judicial
restraint in attempting to attain a wise accommodation between
liberty and order under the Constitution, to dispose of this case
as if
Bivens were rightly decided would, in the words of
Mr. Justice Frankfurter, be to start with an "unreality."
Kovacs v. Cooper, 336 U. S. 77,
336 U. S. 89
(1949) (concurring opinion).
Bivens is a decision "by a
closely divided court, unsupported by the confirmation of time,"
and, as a result of its weak precedential and doctrinal foundation,
it cannot be viewed as a check on "the living process of striking a
wise balance between liberty and order as new cases come here for
adjudication."
Cf. 336 U.S. at
336 U. S. 89;
B. & W. Taxicab Co. v. B. & Y. Taxicab Co.,
276 U. S. 518,
276 U. S.
532-533 (1928) (Holmes, J., dissenting);
Hudgens v.
NLRB, 424 U. S. 507
(1976),
overruling Food Employees v. Logan Valley Plaza,
391 U. S. 308
(1968). [
Footnote 4/1]
The Court concludes that Congress intended a
Bivens
action under the Eighth Amendment to exist concurrently with
actions under the Federal Tort Claims Act (FTCA) because Congress
did not indicate that it meant the FTCA "to preempt a
Bivens remedy or to create an equally effective
Page 446 U. S. 33
remedy for constitutional violations,"
ante at
446 U. S. 19,
nor are there any "
special factors counseling [judicial]
hesitation.'" Ante at 446 U. S. 18.
[Footnote 4/2] The Court's opinion
otherwise lacks even an arguably principled basis for deciding in
what circumstances an inferred constitutional damages remedy is
appropriate, and for defining the contours of such a remedy. And
its "practical" conclusion is all the more anomalous in that
Congress, in 1974, amended the FTCA to permit private damages
recoveries for intentional torts committed by federal law
enforcement officers, thereby enabling persons injured by such
officers' violations of their federal constitutional rights in many
cases to obtain redress for their injuries. [Footnote 4/3]
Page 446 U. S. 34
In my view, it is "an exercise of power that the Constitution
does not give us" for this Court to infer a private civil damages
remedy from the Eighth Amendment or any other constitutional
provision.
Bivens, 403 U.S. at
403 U. S. 428
(Black, J., dissenting). The creation of such remedies is a task
that is more appropriately viewed as falling within the legislative
sphere of authority.
Ibid.
I
Prior to
Bivens, this Court, in
Bell v. Hood,
327 U. S. 678
(1946), held that an individual who brought suit against federal
agents for an alleged violation of his constitutional rights had,
in a strictly procedural sense, stated a claim that "arises" under
the Constitution and must be entertained by federal courts.
Id. at
327 U. S.
681-682. The Court did not, however, hold that the
Constitution confers a substantive right to damages in this
context. Rather, it merely decided that the proper disposition of
the suit was a ruling on the merits, not dismissal for want of
jurisdiction. [
Footnote 4/4]
Page 446 U. S. 35
Despite the lack of a textual constitutional foundation or any
precedential or other historical support,
Bivens inferred
a constitutional damages remedy from the Fourth Amendment,
authorizing a party whose constitutional rights had been infringed
by a federal officer to recover damages from that officer.
Davis v. Passman, 442 U. S. 228
(1979), subsequently held that such a remedy could also be inferred
from the Due Process Clause of the Fifth Amendment. And the Court
today further adds to the growing list of Amendments from which a
civil damages remedy may be inferred. In so doing, the Court
appears to be fashioning for itself a legislative role resembling
that once thought to be the domain of Congress, when the latter
created a damages remedy for individuals whose constitutional
rights had been violated by state officials, 42 U.S.C. § 1983,
and separately conferred jurisdiction on federal courts to hear
such actions, 28 U.S.C. § 1343.
See Chapman v. Houston
Welfare Rights Organization, 441 U. S. 600
(1979).
A
In adding to the number of Amendments from which causes of
actions may be inferred, the Court does not provide any guidance
for deciding when a constitutional provision permits an inference
that an individual may recover damages and when it does not. For
example, the Eighth Amendment, from which the Court infers a cause
of action today, also provides that "[e]xcessive bail shall not be
required, nor excessive fines imposed. . . ." If a cause of action
be inferred for violations of these and other constitutional rights
-- such as the Seventh Amendment right to a jury trial, the Sixth
Amendment right to a speedy trial, and the Fifth Amendment
privilege against compulsory self-incrimination -- I think there is
an ever-increasing likelihood that the attention of
Page 446 U. S. 36
federal Courts will be diverted from needs that in this
policymaking context might well be considered to be more pressing.
As observed by Mr Justice Black at the time this Court "inferred" a
cause of action under only the Fourth Amendment:
"My fellow Justices on this Court and our brethren throughout
the federal judiciary know only too well the time-consuming task of
conscientiously poring over hundreds of thousands of pages of
factual allegations of misconduct by police, judicial, and
corrections officials. Of course, there are instances of legitimate
grievances, but legislators might well desire to devote judicial
resources to other problems of a more serious nature."
403 U.S. at
403 U. S. 428
(dissenting opinion). Because the judgments that must be made here
involve many "competing policies, goals, and priorities" that are
not well suited for evaluation by the Judicial Branch, in my
view
"[t]he task of evaluating the pros and cons of creating judicial
remedies for particular wrongs is a matter for Congress and the
legislatures of the States."
Id. at
403 U. S.
429.
B
It is clear under Art. III of the Constitution that Congress has
broad authority to establish priorities for the allocation of
judicial resources in defining the jurisdiction of federal courts.
Ex parte
McCardle, 7 Wall. 506 (1869);
Sheldon v.
Sill, 8 How. 441 (1850). Congress thus may prevent
the federal courts from deciding cases that it believes would be an
unwarranted expenditure of judicial time or would impair the
ability of federal courts to dispose of matters that Congress
considers to be more important. In reviewing Congress' judgment in
this area, "[w]e are not at liberty to inquire into the motives of
the legislature. We can only examine into its power under the
Constitution. . . ."
Ex parte McCardle,
Page 446 U. S. 37
supra at
74 U. S. 514.
As stated by Mr. Justice Chase in
Turner v.
Bank of North America, 4 Dall. 8,
4
U. S. 10, n. (1799):
"The notion has frequently been entertained that the federal
Courts derive their judicial power immediately from the
constitution; but the political truth is that the disposal of the
judicial power (except in a few specified instances) belongs to
congress. If congress has given the power to this Court, we posess
[
sic] it, not otherwise; and if congress has not given the
power to us, or to any other Court, it still remains at the
legislative disposal. Besides, congress is not bound, and it would,
perhaps, be inexpedient, to enlarge the jurisdiction of federal
Courts, to every subject, in every form, which the constitution
might warrant."
See also Sheldon v. Sill, supra at
49 U. S.
449.
While it is analytically correct to view the question of
jurisdiction as distinct from that of the appropriate relief to be
granted,
see Davis v. Passman, supra at
442 U. S.
239-240, n. 18, congressional authority here may all too
easily be undermined when the judiciary, under the guise of
exercising its authority to fashion appropriate relief, creates
expansive damages remedies that have not been authorized by
Congress. Just as there are some tasks that Congress may not impose
on an Art. III court,
Gordon v. United
States, 2 Wall. 561 (1865);
United
States v. Klein, 13 Wall. 128 (1872), there are
others that an Art. III court may not simply seize for itself
without congressional authorization. This concern is initially
reflected in the notion that federal courts do not have the
authority to act as general courts of common law absent
congressional authorization.
In
Wheeldin v. Wheeler, 373 U.
S. 647,
373 U. S. 651
(1963), the Court observed that,
"[a]s respects the creation by the federal courts of common law
rights, it is perhaps needless to state that we are not in the
free-wheeling days antedating
Erie R. Co. v. Tompkins,
304 U. S.
64 [1938]."
Erie expressly rejected the
Page 446 U. S. 38
view, previously adopted in
Swift v. Tyson,
16 Pet. 1 (1842), that federal courts may declare rules of general
common law in civil fields. And it has long been established that
federal courts lack the authority to create a common law of crimes.
United States v. Hudson &
Goodwin, 7 Cranch 32 (1812).
Hudson &
Goodwin rested on the notion that:
"The powers of the general Government are made up of concessions
from the several states -- whatever is not expressly given to the
former, the latter expressly reserve. The judicial power of the
United States is a constituent part of those concessions that power
is to be exercised by Courts organized for the purpose, and brought
into existence by an effort of the legislative power of the Union.
Of all the Courts which the United States may, under their general
powers, constitute, one only, the Supreme Court, possesses
jurisdiction derived immediately from the constitution, and of
which the legislative power cannot deprive it. All other Courts
created by the general Government possess no jurisdiction but what
is given them by the power that creates them, and can be vested
with none but what the power ceded to the general Government will
authorize them to confer."
Id. at
11 U. S. 33.
Thus, the Court in
Hudson concluded:
"It is not necessary to inquire whether the general Government,
in any and what extent, possesses the power of conferring on its
Courts a jurisdiction in cases similar to the present; it is enough
that such jurisdiction has not been conferred by any legislative
act, if it does not result to those Courts as a consequence of
their creation."
Ibid. In my view, the authority of federal courts to
fashion remedies based on the "common law" of damages for
constitutional violations likewise falls within the legislative
domain, and does not exist where not conferred by Congress.
Page 446 U. S. 39
The determination by federal courts of the scope of such a
remedy involves the creation of a body of common law analogous to
that repudiated in
Erie and
Hudson & Goodwin.
This determination raises such questions as the types of damages
recoverable, the injuries compensable, the degree of intent
required for recovery, and the extent to which official immunity
will be available as a defense. And the creation of such a remedy
by federal courts has the effect of diverting judicial resources
from areas that Congress has explicitly provided for by statute. It
thereby may impair the ability of federal courts to comply with
judicial priorities established by Congress.
Congress' general grant of jurisdiction to federal courts under
28 U.S.C. § 1331 does not permit those courts to create a
remedy for the award of damages whenever an individual's
constitutional rights have been violated. While § 1331 grants
federal courts jurisdiction to hear cases that arise under the
Constitution, it makes no provision whatsoever for the award of
such damages, nor, as noted above, is there any precedential or
other historical support for such a remedy prior to
Bivens. [
Footnote 4/5]
Page 446 U. S. 40
By contrast, it is obvious that, when Congress has wished to
authorize federal courts to grant damages relief, it has known how
to do so, and has done so expressly. For example, in 41 U.S.C.
§ 1983, Congress explicitly provided for federal courts to
award damages against state officials who violate an individual's
constitutional rights. [
Footnote
4/6] With respect to federal officials, however, it has never
provided for these types of damages awards. [
Footnote 4/7] Rather, it chose a different route in 1974
by eliminating
Page 446 U. S. 41
the immunity of federal officials under the FTCA.
See
446 U.S.
14fn4/2|>n. 2,
supra.
Congress has also created numerous express causes of actions for
damages in other areas.
See, e.g., Fair Labor Standards
Act, 29 U.S.C. § 216(b); Civil Rights Act of 1968, 42 U.S.C.
§ 3612(c); Federal Employers' Liability Act, 45 U.S.C.
§§ 51-60. While the injuries for which such damages have
been authorized may seem less important than violations of
constitutional rights by federal officials, Congress has
nonetheless said that it wants federal courts to hear the former,
and has not similarly spoken with respect to the latter.
In my view, absent a clear indication from Congress, federal
courts lack the authority to grant damages relief for
constitutional violations. Although Congress surely may direct
federal courts to grant relief in
Bivens-type actions, it
is enough that it has not done so. As stated by this Court in
Wheeldin v. Wheeler, 373 U.S. at
373 U. S. 652,
which declined to create an implied cause of action for federal
officials' abuse of their statutory authority to issue
subpoenas:
"Over the years, Congress has considered the problem of state
civil and criminal actions against federal officials many times. .
. But no general statute making federal officers liable for acts
committed 'under color,' but in violation, of their federal
authority has been passed. . . . 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'
Page 446 U. S. 42
the Constitution or laws of the United States. . . . [I]t is not
for us to fill any
hiatus Congress has left in this
area."
Because Congress also has never provided for a
Bivens-type damages award, I think the appropriate course
is for federal courts to dismiss such actions for failure to state
a claim upon which relief can be granted. Congress did not even
grant to federal courts a general jurisdiction to entertain cases
arising under the Constitution until 1875. Act of Mar. 3, 1875,
§ 1, 18 Stat. 470. It thus would seem that the most reasonable
explanation for Congress' failure explicitly to provide for damages
in
Bivens actions is that Congress intended to leave this
responsibility to state courts in the application of their common
law, or, to put it conversely, to preclude federal courts from
granting such relief.
The authority of federal courts "to adjust their remedies so as
to grant the necessary relief,"
Bell v. Hood, 327 U.S. at
684;
Bivens, 403 U.S. at
403 U. S. 392;
Davis v. Passman, 442 U.S. at
442 U. S. 245,
does not suggest a contrary conclusion. While federal courts have
historically had broad authority to fashion equitable remedies,
[
Footnote 4/8] it does not follow
that, absent congressional authorization, they may also grant
damages awards for constitutional violations that would
traditionally be regarded as remedies at law. The broad power of
federal courts to grant equitable relief for constitutional
violations has long been established. As this Court observed in
Swann v. Charlotte-Mecklenburg Board of Education,
402 U. S. 1,
402 U. S. 15
(1971):
"Once a right and a violation have been shown, the scope
Page 446 U. S. 43
of a district court's equitable powers to remedy past wrongs is
broad, for breadth and flexibility are inherent in equitable
remedies."
"'The essence of equity jurisdiction has been the power of the
Chancellor to do equity and to mould each decree to the necessities
of the particular case. Flexibility, rather than rigidity, has
distinguished it. The qualities of mercy and practicality have made
equity the instrument for nice adjustment and reconciliation
between the public interest and private needs, as well as between
competing private claims.'
Hecht Co. v. Bowles,
321 U. S.
321,
321 U. S. 329-330 (1944),
cited in
Brown [v. Board of Education, 349 U. S.
294,
349 U. S. 300 (1955)]."
Thus, for example, in
Ex parte Young, 209 U.
S. 123 (1908), it was held that a federal court may
enjoin a state officer from enforcing penalties and remedies
provided by an unconstitutional statute.
See also, e.g.,
22 U. S. United
States Bank, 9 Wheat. 738,
22 U. S.
838-846,
22 U. S. 859
(1824).
No similar authority of federal courts to award damages for
violations of constitutional rights had ever been recognized prior
to
Bivens. [
Footnote 4/9]
And no statutory grant by Congress supports the exercise of such
authority by federal courts. The Rules of Decision Act, for
example, provides that
"[t]he laws of the several states, except where the Constitution
or treaties of the United States or Acts of Congress otherwise
require or provide, shall be regarded as rules of decision in civil
actions in the courts of the United States, in cases where they
apply."
28 U.S.C. § 1652. And the All Writs Act authorizes this
Court and lower federal courts to "issue all writs necessary or
appropriate in aid of their respective jurisdictions and agreeable
to the usages and principles of law." 28 U.S.C. § 1651.
Neither these statutes, nor 28 U.S.C. § 1331, authorizes
federal
Page 446 U. S. 44
courts to create a body of common law damages remedies for
constitutional violations or any other legal wrong. And as
previously discussed, federal courts do not have the authority to
act as general courts of common law, absent authorization by
Congress.
In light of the absence of any congressional authorization or
historical support, I do not think the equitable authority of
federal courts to grant "the necessary relief" provides a
foundation for inferring a body of common law damages remedies from
various constitutional provisions. I believe my conclusion here is
further supported by an examination of the difficulties that arise
in attempting to delimit the contours of the damages remedy that
the Court has held should be available when an individual's
constitutional rights are violated.
II
The Court concludes, as noted above, that respondent may recover
damages as a result of an inferred remedy under the Eighth
Amendment because
"nothing in the Federal Tort Claims Act (FTCA) or its
legislative history . . . show[s] that Congress meant to preempt a
Bivens remedy or to create an equally effective remedy for
constitutional violations,"
ante at
446 U. S. 19,
nor are there any "
special factors counseling [judicial]
hesitation.'" Ante at 446 U. S. 18.
After observing that Congress did not explicitly state in the FTCA
or its legislative history that the FTCA was intended to provide
such a remedy, the Court points to "[f]our additional factors" that
suggest a "Bivens remedy is more effective than the FTCA
remedy" in attempting to ascertain congressional intention here.
Ante at 446 U. S. 20.
The first is that the Bivens remedy is recoverable against
individuals, whereas the FTCA remedy is against the United States,
and thus the Bivens remedy more effectively serves the
deterrent purpose articulated in Bivens.
The Court not only fails to explain why the
Bivens
remedy is effective in the promotion of deterrence, but also does
not provide any reason for believing that other sanctions on
federal
Page 446 U. S. 45
employees -- such as a threat of deductions in pay, reprimand,
suspension, or firing -- will be ineffective in promoting the
desired level of deterrence, or that Congress did not consider the
marginal increase in deterrence here to be outweighed by other
considerations.
See, e.g., Bell, Proposed Amendments to
the Federal Tort Claims Act, 16 Harv.J. on Leg.1, 13 (1979). And
while it may be generally true that the extent to which a sanction
is imposed directly on a wrongdoer will have an impact on the
effectiveness of a deterrent remedy, [
Footnote 4/10] there are also a number of other factors
that must be taken into account -- such as the amount of damages
necessary to offset the benefits of the objectionable conduct, the
risk that the wrongdoer might escape liability, the clarity with
which the objectionable conduct is defined, and the perceptions of
the individual who is a potential wrongdoer. In a
Bivens
action, however, there is no relationship whatsoever between the
damages awarded and the benefits from infringing the individual's
rights because the damages award focuses
Page 446 U. S. 46
solely on the loss to the plaintiff. The damages in such an
action do not take into account the risk that the wrongdoer will
escape liability altogether. In addition, it is often not clear
what conduct violates the Constitution,
see, e.g., Owen v. City
of Independence, 445 U. S. 622
(1980); [
Footnote 4/11]
California v. Minjares, 443 U. S. 916,
917-919 (1979) (REHNQUIST, J., dissenting from denial of stay). In
many cases, the uncertainty as to what constitutes a constitutional
violation will impair the deterrent impact of a
Bivens
remedy. [
Footnote 4/12] Finally,
the perceptions of the potential wrongdoer as to the above
considerations may also detract from the deterrent effect of a
Bivens action. The Court makes no attempt to assess these
factors or to examine them in relation to an FTCA action. In my
view, its assertion that the
Bivens remedy is a more
effective deterrent than the FTCA remedy, and that this is a reason
for concluding that Congress intended
Bivens actions to
exist concurrently with FTCA actions, remains an unsupported
assertion. [
Footnote 4/13]
Page 446 U. S. 47
In addition, there are important policy considerations at stake
here that Congress may decide outweigh the interest in deterrence
promoted by personal liability of federal officials. Indeed, the
fear of personal liability may "dampen the ardor of all but the
most resolute, or the most irresponsible, in the unflinching
discharge of their duties."
Gregoire v. Biddle, 177 F.2d
579, 581 (CA2 1949) (L. Hand). And, as one commentator has
observed:
"Despite the small odds an employee will actually be held liable
in a civil suit, morale within the federal services has suffered as
employees have been dragged through drawn-out lawsuits, many of
which are frivolous."
Bell, 16 Harv.J. on Leg.,
supra at 6.
The Court next argues that Congress did not intend the FTCA to
displace the
Bivens remedy because it did not provide for
punitive damages in the FTCA. As the Court observes, we have not
"expressly address[ed] and decid[ed] the question" whether punitive
damages may be awarded in a
Bivens suit.
Ante at
446 U. S. 21-22.
And despite the Court's assertion to the contrary, we have also not
done so with respect to § 1983 actions. In
Carey v.
Piphus, 435 U. S. 247,
435 U. S. 257,
n. 11 (1978), this Court explicitly stated that "we imply no
approval or disapproval of any of [the] cases" that have awarded
punitive damages in § 1983 actions. Because this Court has
never reached the question whether punitive damages may be awarded
in either a
Bivens or § 1983 action, I think serious
doubts arise as to the Court's claim that an FTCA action is not as
effective as a
Bivens action because the FTCA does not
permit punitive damages awards. Indeed, this Court in
Carey also stated that,
"[t]o the extent that Congress intended that [damages] awards
under § 1983 should deter the deprivation of constitutional
rights, there is no evidence that it meant to establish a deterrent
more formidable than that inherent in the award of compensatory
damages."
435 U.S. at
435 U. S.
256-257.
Even if punitive damages were appropriate in a
Bivens
action, such damages are typically determined by reference
Page 446 U. S. 48
to factors such as the character of the wrong, the amount
necessary to "punish" the defendant, etc., and the jury has a great
deal of discretion in deciding both whether such damages should be
awarded and the amount of the punitive award.
See, e.g.,
C. McCormick, Law of Damages § 85 (1935). The determination
whether this or some other remedy -- such as a fixed fine, a threat
of being reprimanded, suspended, or fired, or simply compensatory
damages -- provides the desired level of deterrence is one for
Congress. This Court should defer to Congress even when Congress
has not explicitly stated that its remedy is a substitute for a
Bivens action.
The third factor relied on by the Court to support its
conclusion that Congress did not intend the FTCA to serve as a
substitute for a
Bivens action is that a plaintiff cannot
opt for a jury in a FTCA action, while he can in a
Bivens
suit. The Court, however, offers no reason why a judge is
preferable to a jury, or vice versa, in this context. Rather, the
Court merely notes that petitioners cannot explain why plaintiffs
should not retain the choice between a judge and jury.
Ante at
446 U. S. 23,
and n. 9. I do not think the fact that Congress failed to specify
that the FTCA was a substitute for a
Bivens action
supports the conclusion that Congress viewed the plaintiff's
ability to choose between a judge and a jury as a reason for
retaining a
Bivens action in addition to an action under
the FTCA.
Finally, I do not think it is obvious, as the Curt states, that
liability of federal officials for violations of constitutional
rights should be governed by uniform rules absent an explicit
statement by Congress indicating a contrary intention. The
importance of federalism in our constitutional system has been
recognized both by this Court,
see, e.g, Younger v.
Harris, 401 U. S. 37
(1971), and by Congress,
see, e.g., 42 U.S.C. § 1988,
and in accommodating the values of federalism with other
constitutional principles and congressional statutes, this Court
has often deferred to state rules.
See, e.g., 436 U.
S. S. 49� v. Wegmann,
436 U.
S. 584 (1978); Johnson v. Railway Express Agency,
Inc.,
421 U. S. 454
(1975). As observed by MR. JUSTICE POWELL, "federal courts
routinely refer to state law to fill the procedural gaps in
national remedial schemes." Ante@ at
446 U. S. 29
(opinion concurring in judgment). [
Footnote 4/14] Indeed, the Rules of Decision Act would
seem ordinarily to require it. 28 U.S.C. § 1652.
Once we get past the level of a high-school civics text, it is
simply not self-evident to merely assert that here we have a
federal cause of action for violations of federal rights by federal
officials, and thus the question whether reference to state
procedure is appropriate "admits of only a negative answer in the
absence of a contrary congressional resolution."
Ante at
446 U. S. 23.
The Court articulates no solid basis for concluding that there is
any interest in uniformity that should generally be viewed as
significant. Although the Court identifies "deterrence" as an
objective of a
Bivens action, a § 1983 action, which
is also a creation of federal law, has been recognized by this
Court as having a similar objective in the promotion of deterrence.
See, e.g., Carey v. Piphus, supra, at
435 U. S. 257;
Robertson v. Wegmann, 436 U.S. at
436 U. S. 592;
Imbler v. Pachtman, supra at
424 U. S. 442
(WHITE, J., concurring in judgment). [
Footnote 4/15]
Page 446 U. S. 50
And with respect to such actions, state procedural rules are
generally controlling,
see, e.g., Robertson v. Wegmann,
supra. As observed in
Robertson, supra, at
436 U. S.
593:
"It is true that § 1983 provides 'a uniquely federal remedy
against incursions under the claimed authority of state law upon
rights secured by the Constitution and laws of the Nation.'
Mitchum
v. Foster, [
407 U.S.
225,]
407 U. S. 239. That a
federal remedy should be available, however, does not mean that a
§ 1983 plaintiff (or his representatives) must be allowed to
continue an action in disregard of the state law to which §
1988 refers us. A state statute cannot be considered 'inconsistent'
with federal law merely because the statute causes the plaintiff to
lose the litigation. If success of the § 1983 action were the
only benchmark, there would be no reason at all to look to state
law, for the appropriate rule would then always be the one favoring
the plaintiff, and its source would be essentially irrelevant.
[
Footnote 4/16]"
I think the congressional determination to defer to state
procedural rules in the § 1983 context indicates the weak
foundation upon which the Court's analysis here rests. [
Footnote 4/17]
Page 446 U. S. 51
In my view, the fact that Congress has created a tort remedy
against federal officials at all, as it has done here under the
FTCA, is dispositive. The policy questions at issue in the creation
of any tort remedies, constitutional or otherwise, involve
judgments as to diverse factors that are more appropriately made by
the legislature than by this Court in an attempt to fashion a
constitutional common law. This Court stated in
TVA v.
Hill, 437 U. S. 153,
437 U. S. 194
(1978):
"Our system of government is, after all, a tripartite one, with
each branch having certain defined functions delegated to it by the
Constitution. While '[i]t is emphatically the province and duty of
the judicial department to say what the law is,'
Marbury v.
Madison, 1 Cranch 137,
5 U. S.
177 (1803), it is equally -- and emphatically -- the
exclusive province of the Congress not only to formulate
legislative policies and mandate programs and projects, but also to
establish their relative priority for the Nation. Once Congress,
exercising its delegated powers, has decided the order of
priorities in a given area, it is for the Executive to administer
the laws and for the courts to enforce them when enforcement is
sought."
Here, Congress has provided no indication that it believes sound
policy favors damages awards against federal officials for
violations of constitutional rights.
III
I think the Court acknowledges the legislative nature of the
determinations involved here when it states that such a
Page 446 U. S. 52
remedy may be defeated when "Congress has indicated that it
intends the statutory remedy to replace, rather than to complement,
the
Bivens remedy."
Ante at
446 U. S. 19, n.
5. Here, Congress did not do so, because, in the Court's words:
"In the absence of a contrary expression from Congress, §
2680(h) . . . contemplates that victims of the kind of intentional
wrongdoing alleged in this complaint shall have an action under
FTCA against the United States, as well as a
Bivens action
against the individual officials alleged to have infringed their
constitutional rights."
Ante at
446 U. S. 20.
But under the Court's rationale, if Congress had made clear that it
intended the FTCA to displace judicially inferred remedies under
the Constitution, this Court must defer to that legislative
judgment. [
Footnote 4/18] This
principle was also recognized in
Bivens, wherein the Court
noted that Congress had given no indication that it viewed any
other remedy to be as effective as the damages remedy inferred by
the Court from the Fourth Amendment. 403 U.S. at
403 U. S. 397.
See also Davis v. Passman, 442 U.S. at
442 U. S. 245,
442 U. S.
246-247;
Butz v. Economou, 438 U.
S. 478,
438 U. S. 504
(1978). I agree with the Court that Congress is free to devise
whatever remedy it sees fit to redress violations of constitutional
rights sued upon in Art. III courts, and to have that
Page 446 U. S. 53
remedy altogether displace any private civil damages remedies
that this Court may devise. I disagree, however, that, unless
"special factors" counsel hesitation, Congress must make some
affirmative showing that it intends its action to provide such
redress before this Court will deem Congress' action to be an
adequate substitute for an inferred remedy. [
Footnote 4/19] The requirement of such congressional
action is a formal procedural device that not only serves little
useful purpose, but also subverts the policymaking authority vested
by the Constitution in the Legislative Branch. Its application in
this case, through the Court's attempt to ascertain congressional
intention by examining whether the FTCA or a
Bivens action
is "more effective," in my view demonstrates that the creation of
constitutional damages remedies involves policy considerations that
are more appropriately made by the Legislative, rather than the
Judicial, Branch of our Government.
IV
I think the Court's formalistic procedural approach to this
problem is flawed for one additional reason. As noted above, the
approach adopted by the Court in
Bivens and reaffirmed
today is one that permits Congress to displace this Court in
fashioning a constitutional common law of its choosing merely by
indicating that it intends to do so.
Ante at
446 U. S. 19, n.
5. Otherwise, unless special factors counsel "hesitation," it will
be presumed under the Court's analysis that Congress intended any
remedy it creates to be enforced simultaneously by federal courts
with a
Bivens action. The Court provides no justification
for this canon of divining legislative intention. Presumably, when
Congress creates and defines the limits of a cause of action, it
has taken into account competing considerations and struck what it
considers to be an appropriate balance among them. In my view, it
is wholly at odds with traditional
Page 446 U. S. 54
principles for interpretation of legislative intention and with
the constitutional notion of separation of powers to conclude that,
because Congress failed to indicate that it did not intend the
cause of action and its limitations to be defined otherwise, it
intended for this Court to exercise free rein in fashioning
additional rules for recovery of damages under the guise of an
inferred constitutional damages action.
For the foregoing reasons I dissent, and would reverse the
judgment.
[
Footnote 4/1]
As observed by Mr. Justice Brandeis:
"This Court, while recognizing the soundness of the rule of
stare decisis where appropriate, has not hesitated to
overrule earlier decisions shown, upon fuller consideration, to be
erroneous."
Ashwander v. TVA, 297 U. S. 288,
297 U. S.
352-353 (1936) (concurring opinion).
[
Footnote 4/2]
As suggested by MR. JUSTICE POWELL, this analysis is properly
viewed as dicta in light of other statements in the Court's
opinion.
Ante at
446 U. S. 26,
446 U. S. 28
(opinion concurring in judgment). The Court's opinion entirely
disposes of this case by stating that,
"when Congress amended FTCA in 1974 to create a cause of action
against the United States for intentional torts committed by
federal law enforcement officers, 28 U.S.C. § 2680(h), the
congressional comments accompanying that amendment
made it
crystal clear that Congress views FTCA and
Bivens as
parallel, complementary causes of action. . . ."
Ante at
446 U. S. 19-20
(emphasis added). In light of these comments, the Court
concludes:
"In the absence of a contrary expression from Congress, §
2680(h) thus contemplates that victims of the kind of intentional
wrongdoing alleged in this complaint shall have an action under
FTCA against the United States, as well as a
Bivens action
against the individual officials alleged to have infringed their
constitutional rights."
Ante at
446 U. S.
20.
Although the Court finds these comments conclusive, in my view,
they do not purport to suggest that it is proper for courts to
infer constitutional damages remedies in areas addressed by the
FTCA. Rather, I think it more likely that they reflect Congress'
understanding (albeit erroneous) that
Bivens was a
constitutionally required decision. If I am correct, the comments
comprise merely an effort on the part of the Senate Committee to
avoid what it perceived as a constitutional issue. In any event,
the Report seems to be an uncertain basis for concluding that
Congress supports the inference of a constitutional damages remedy
here or in any other context.
[
Footnote 4/3]
Under the FTCA, if a federal agent's official conduct would
render a private person liable in accordance with "the law of the
place where the act or omission complained of occurred," 28 U.S.C.
§ 2674, recovery may be had against the United States except
as provided in 28 U.S.C. § 2680.
See also
§§ 2672, 2675. And after
Bivens, Congress
amended the FTCA to allow direct recovery against the Government
for certain intentional torts committed by federal officials.
§ 2680(h). As the Court notes, however, punitive damages may
not be assessed against the United States, § 2674, nor may
prejudgment interest be so assessed.
[
Footnote 4/4]
Indeed, on remand, the District Court concluded that plaintiff
had failed to state a federal claim upon which relief could be
granted.
Bell v. Hood, 71 F. Supp.
813 (SD Cal.1947). In dismissing plaintiff's action, the court
observed that
"[p]laintiffs are unable to point to any constitutional
provision or federal statute giving one who has suffered an
unreasonable search and seizure or false imprisonment by federal
officers any Federal right or cause of action to recover damages
from those officers as individuals."
Id. at 817. The District Court's opinion provided the
foundation for many subsequent decisions reaching the same result.
See, e.g., United States v. Faneca, 332 F.2d 872, 875 (CA5
1964),
cert. denied, 380 U.S. 971 (1965);
Johnston v.
Earle, 245 F.2d 793, 796 (CA9 1957);
Koch v.
Zuieback, 194 F.
Supp. 651, 656 (SD Cal.1961),
aff'd, 316 F.2d 1 (CA9
1963);
Garfield v. Palmieri, 193 F.
Supp. 582,
586
(EDNY 1960),
aff'd per curiam, 290 F.2d 821 (CA2),
cert. denied, 368 U.S. 827 (1961).
[
Footnote 4/5]
In his concurrence in
Bivens, Mr. Justice Harlan relied
heavily on decisions of this Court that have inferred private
damages remedies from federal statutes.
See, e.g., 403
U.S. at
403 U. S. 402,
403 U. S.
402-403, n. 4,
403 U. S. 406,
403 U. S. 407,
403 U. S.
410-411. Thus, he states:
"The
Borak case [
J. I. Case Co. v. Borak,
377 U. S.
426 (1964)] is an especially clear example of the
exercise of federal judicial power to accord damages as an
appropriate remedy in the absence of any express statutory
authorization of a federal cause of action. . . . The exercise of
judicial power involved in
Borak simply cannot be
justified in terms of statutory construction, . . . nor did the
Borak Court purport to do so.
See Borak, supra at
377 U. S. 432-434. The
notion of 'implying' a remedy, therefore, as applied to cases like
Borak, can only refer to a process whereby the federal
judiciary exercises a choice among
traditionally available
judicial remedies according to reasons related to the substantive
social policy embodied in an act of positive law."
Id. at
403 U. S.
402-403, n. 4.
In light of this Court's recent decisions in
Touche Ross
& Co. v. Redington, 442 U. S. 560
(1979), and
Transamerica Mortgage Advisors, Inc. v. Lewis,
444 U. S. 11
(1979), it is clear that there is nothing left of the rationale of
Borak. As observed in both those cases, it is obvious
that, "when Congress wished to provide a private damages remedy, it
knew how to do so, and did so expressly."
Touche Ross,
supra, at
442 U. S. 572.
Transamerica, supra, at
444 U. S. 21.
Because the statutes at issue in those cases did not expressly
provide for such a remedy and there was no clear evidence of such a
congressional intention in their legislative history, the Court,
unlike in
Borak, declined to imply a damages remedy for
the statutes' broad language.
Touche Ross and
Transamerica thereby undermine the principal foundation of
Mr. Justice Harlan's concurring opinion in
Bivens. Thus,
in spite of his cursory comment that, for a
Bivens
plaintiff, "it is damages or nothing," 403 U.S. at
403 U. S. 410,
I doubt that Mr. Justice Harlan would today reach the same
conclusion that he did in
Bivens in 1971, especially in
light of his statement that
"[m]y initial view of this case was that the Court of Appeals
was correct in dismissing the complaint, but, for reasons stated in
this opinion, I am now persuaded to the contrary."
Id. at
403 U. S.
398.
[
Footnote 4/6]
Title 42 U.S.C. § 1983 provides:
"Every person who, under color of any statute, ordinance,
regulation, custom, or usage of any State or Territory, subjects,
or causes to be subjected, any citizen of the United States or
other person within the jurisdiction thereof to the deprivation of
any rights, privileges, or immunities secured by the Constitution
and laws, shall be liable to the party injured in an action at law,
suit in equity, or other proper proceeding for redress."
[
Footnote 4/7]
Indeed, in discussing the scope of authority conferred on
federal courts by § 1983, Senator Thurman stated at the time
§ 1983 was adopted:
"[This section's] whole effect is to give the Federal Judiciary
that which now does not belong to it -- a jurisdiction that may be
constitutionally conferred upon it, I grant, but that has never yet
been conferred upon it. It authorizes any person who is deprived of
any right, privilege, or immunity secured to him by the
Constitution of the United States, to bring an action against the
wrongdoer in the Federal courts, and that without any limit
whatsoever as to the amount in controversy."
Cong.Globe, 42d Cong., 1st Sess., App. 216-217 (1871), quoted in
Owen v. City of Independence, 445 U.
S. 622,
445 U. S.
636-637, n. 17 (1980). Since Senator Thurman was a
staunch opponent of § 1983, the latter part of this statement
may be viewed as not unlike the "parade of horribles" frequently
marshaled against a pending measure and not the most reliable
source of legislative history. But the first part of the statement
quite certainly expressed the view entertained by students of
federal jurisdiction until very recently.
[
Footnote 4/8]
Indeed, the principal cases relied on in
Bell, Bivens,
and
Davis for the principle that federal courts have broad
authority to fashion appropriate relief are equitable.
Marbury v.
Madison, 1 Cranch 137 (1803), for example, which is
referred to in those decisions and relied on in
Bell for
the principle that,
"where federally protected rights have been invaded, it has been
the rule from the beginning that courts will be alert to adjust
their remedies so as to grant the necessary relief,"
327 U.S. at
327 U. S. 684,
involved equitable relief by way of mandamus or injunction.
[
Footnote 4/9]
The Just Compensation Clause of the Fifth Amendment is not an
exception here, because the express language of that Clause
requires that "compensation" be paid for any governmental
taking.
[
Footnote 4/10]
It must also be remembered that, along with the greater
deterrent effect resulting from liability imposed directly on the
governmental wrongdoer, there is also strong potential for
distortion of governmental decisionmaking as a result of the threat
of liability. Thus, MR. JUSTICE BRENNAN, in his opinion for the
Court in
Owen v. City of Independence, 445 U.S. at
445 U. S.
655-656, states:
"At the heart of [the] justification for a qualified immunity
for the individual official is the concern that the threat of
personal monetary liability will introduce an unwarranted and
unconscionable consideration into the decisionmaking process, thus
paralyzing the governing official's decisiveness and distorting his
judgment on matters of public policy. The inhibiting effect is
significantly reduced, if not eliminated, however, when the threat
of personal liability is removed."
The fact that Congress in the FTCA has provided for a remedy
against the United States, rather than against federal officials,
thus does not suggest that Congress views a
Bivens remedy
as desirable because of its deterrent effect. Rather, it is at
least equally, if not more, plausible that Congress viewed the
approach in the FTCA to be preferable because of the potential
impact on governmental decisionmaking that might result from the
threat of personal liability.
[
Footnote 4/11]
For example, in
Owen, which relies partially on a
deterrence rationale, 445 U.S. at
445 U. S.
651-652, the conduct causing the alleged injury to
plaintiff had not been held to be a constitutional violation at the
time it was committed. It is thus readily apparent that the
imposition of damages in
Owen had no deterrent impact
whatsoever.
[
Footnote 4/12]
Even where the legal principles are not in flux, the
constitutional standard may be sufficiently general that it is
difficult to predict in advance whether a particular set of facts
amounts to a constitutional violation. For example, as interpreted
by this Court, the Due Process Clause of the Fourteenth Amendment
may be violated by conduct that offends traditional notions of
"fair play and substantial justice,"
Shaffer v. Heitner,
433 U. S. 186,
433 U. S. 207,
433 U. S. 212
(1977), or that "shocks the conscience,"
Rochin v.
California, 342 U. S. 165,
342 U. S. 172
(1952).
[
Footnote 4/13]
Although the Court states that a
Bivens remedy is
recoverable against individuals, it does not state that the damages
paid in a
Bivens action actually come out of the federal
employee's pocket. And even if they did, as explained above, it is
not clear that the award would promote deterrence, or that any
marginal increase in deterrence would outweigh other considerations
that counsel against judicial creation of this type of remedy.
[
Footnote 4/14]
Like a
Bivens action, a § 1983 action is a
creation of federal law, and an exclusively federal right. Congress
in § 1988 nonetheless "quite clearly instructs [federal
courts] to refer to state statutes" when federal law provides no
rule of decision for actions brought under § 1983.
Robertson v. Wegmann, 436 U.S. at
436 U. S. 593.
See also 446 U.S.
14fn4/10|>n. 10,
supra. Although a § 1983
action is against state officers and a
Bivens action is
against federal officers, it does not follow that there is an
obvious interest in application of uniform rules. Indeed, the
controlling authority is to the contrary.
See e.g., Johnson v.
Railway Express Agency, Inc., 421 U.S. at
421 U. S. 462,
and cases cited therein;
infra at
446 U. S.
50.
[
Footnote 4/15]
Robertson reveals that, however one views the
appropriateness of the Court's refusal to apply Indiana
survivorship law in this case, the objective of deterrence does not
mean that application of state law is inappropriate for filling
procedural gaps in
Bivens actions on the ground that the
state rule will result in an unfavorable outcome for the
plaintiff.
[
Footnote 4/16]
The Court states as one justification for its refusal to apply
Indiana survivorship law that here, the suit is against federal
officials, whereas § 1983 actions, which are subject to the
requirements of § 1988, are against state officers.
Ante at
446 U. S. 225,
n. 11. Section 1988, however, applies not only to claims against
state officers under § 1983, but also to suits under
§§ 1981, 1982, and 1985, which do not require state
action. And the Rules of Decision Act applies, by its terms, to
federal causes of action, whether or not against federal officials.
Thus, the asserted interest in uniform rules of procedure in
federal actions against federal officials, absent more, is
unpersuasive, and not justified in light of established
practice.
[
Footnote 4/17]
Any alleged inconsistency with the policies of federal law here
is highly speculative, at best. In order to find even a marginal
influence on behavior as a result of Indiana's survivorship
provisions, one would have to assume not only that federal
officials have both the desire and ability to select as victims
only those persons who would not be survived by any close
relatives, but also that (1) they are aware that, if the victim
dies, survivorship law will preclude recovery, (2) they would
intentionally kill the individual or permit him to die, rather than
violate his constitutional rights to a lesser extent, in order to
avoid liability under
Bivens, and (3) a
Bivens
remedy will have a deterrent impact in these circumstances beyond
that of ordinary criminal sanctions. In addition, one must include
in the evaluation a consideration of competing policies that
Congress may wish to promote.
[
Footnote 4/18]
Thus, although it does not appear that Congress explicitly
stated that § 1983 is intended as the exclusive remedy for
violations of constitutional rights by state officials, it would
clearly be invasion of the legislative province for this Court to
fashion a constitutional damages remedy against state officials
that would exist concurrently with § 1983. As this Court
observed with respect to its creation of a
Bivens
action,
"[t]he presence or absence of congressional authorization for
suits against federal officials is, of course, relevant to the
question whether to infer a right of action for damages for a
particular violation of the Constitution."
Butz v. Economou, 438 U. S. 478,
438 U. S. 503
(1978). Here Congress' action in adopting 42 U.S.C. § 1983
demonstrates that Congress has exercised its judgment in balancing
the relevant policies and in determining the nature and scope of
the damages remedy against state officials who violate an
individual's federal constitutional rights. In light of traditional
notions of separation of powers, its judgment is conclusive.
[
Footnote 4/19]
As MR. JUSTICE POWELL states, the Court did not go this far even
in
Bivens. Ante at
446 U. S. 227
(opinion concurring in judgment).