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- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- No. 94-167
- --------
- KATIA GUTIERREZ DE MARTINEZ, EDUARDO
- MARTINEZ PUCCINI and HENNY MARTINEZ
- DE PAPAIANI, PETITIONERS v. DIRK A.
- LAMAGNO et al.
- on writ of certiorari to the united states court
- of appeals for the fourth circuit
- [June 14, 1995]
-
- Justice Ginsburg delivered the opinion of the Court,
- except as to Part IV.
- When a federal employee is sued for a wrongful or
- negligent act, the Federal Employees Liability Reform
- and Tort Compensation Act of 1988 (commonly known as
- the Westfall Act) empowers the Attorney General to cer-
- tify that the employee -was acting within the scope of
- his office or employment at the time of the incident out
- of which the claim arose . . . .- 28 U. S. C. 2679(d)(1).
- Upon certification, the employee is dismissed from the
- action and the United States is substituted as defendant.
- The case then falls under the governance of the Federal
- Tort Claims Act (FTCA), ch. 753, 60 Stat. 812, 842.
- Generally, such cases unfold much as cases do against
- other employers who concede respondeat superior liabil-
- ity. If, however, an exception to the FTCA shields the
- United States from suit, the plaintiff may be left with-
- out a tort action against any party.
- This case is illustrative. The Attorney General
- certified that an allegedly negligent employee -was
- acting within the scope of his . . . employment- at the
- time of the episode in suit. Once brought into the case
- as a defendant, however, the United States asserted
- immunity, because the incident giving rise to the claim
- occurred abroad and the FTCA excepts -[a]ny claim
- arising in a foreign country.- 28 U. S. C. 2680(k).
- Endeavoring to redeem their lawsuit, plaintiffs (petition-
- ers here) sought court review of the Attorney General's
- scope-of-employment certification, for if the employee
- was acting outside the scope of his employment, the
- plaintiffs' tort action could proceed against him. The
- lower courts held the certification unreviewable. We
- reverse that determination and hold that the scope-of-
- employment certification is reviewable in court.
-
- I
- Shortly before midnight on January 18, 1991, in Barran-
- quilla, Colombia, a car driven by respondent Dirk A. La-
- magno, a special agent of the United States Drug Enforce-
- ment Administration (DEA), collided with petitioners' car.
- Petitioners, who are citizens of Colombia, allege that
- Lamagno was intoxicated and that his passenger, an
- unidentified woman, was not a federal employee.
- Informed that diplomatic immunity shielded Lamagno
- from suit in Colombia, petitioners filed a diversity action
- against him in the United States District Court for the
- Eastern District of Virginia, the district where Lamagno
- resided. Alleging that Lamagno's negligent driving
- caused the accident, petitioners sought compensation for
- physical injuries and property damage. In response, the
- local United States Attorney, acting pursuant to the
- Westfall Act, certified on behalf of the Attorney General
- that Lamagno was acting within the scope of his
- employment at the time of the accident. The certifica-
- tion, as is customary, stated no reasons for the U. S.
- Attorney's scope-of-employment determination.
- In the Westfall Act, Congress instructed:
- -Upon certification by the Attorney General that
- the defendant employee was acting within the scope
- of his office or employment at the time of the
- incident out of which the claim arose, any civil
- action or proceeding commenced upon such claim in
- a United States district court shall be deemed an
- action against the United States under the provi-
- sions of this title and all references thereto, and the
- United States shall be substituted as the party
- defendant.- 2679(d)(1).
- Thus, absent judicial review and court rejection of the
- certification, Lamagno would be released from the
- litigation; furthermore, he could not again be pursued in
- any damages action arising from the -same subject
- matter.- 2679(b)(1). Replacing Lamagno, the United
- States would become sole defendant.
- Ordinarily, scope-of-employment certifications occasion
- no contest. While the certification relieves the employee
- of responsibility, plaintiffs will confront instead a finan-
- cially reliable defendant. But in this case, substitution
- of the United States would cause the demise of the ac-
- tion: petitioners' claims -ar[ose] in a foreign country,-
- FTCA, 28 U. S. C. 2680(k), and thus fell within an ex-
- ception to the FTCA's waiver of the United States' sov-
- ereign immunity. See 2679(d)(4) (upon certification, the
- action -shall proceed in the same manner as any action
- against the United States . . . and shall be subject to
- the limitations and exceptions applicable to those ac-
- tions-). Nor would the immunity of the United States
- allow petitioners to bring Lamagno back into the action.
- See United States v. Smith, 499 U. S. 160 (1991).
- To keep their action against Lamagno alive, and to
- avoid the fatal consequences of unrecallable substitution
- of the United States as the party defendant, petitioners
- asked the District Court to review the certification.
- Petitioners maintained that Lamagno was acting outside
- the scope of his employment at the time of the accident;
- certification to the contrary, they argued, was groundless
- and untrustworthy. Following Circuit precedent,
- Johnson v. Carter, 983 F. 2d 1316 (CA4) (en banc), cert.
- denied, 510 U. S. ___ (1993), the District Court held the
- certification unreviewable, substituted the United States
- for Lamagno, and dismissed petitioners' suit. App. 7-9.
- In an unadorned order, the Fourth Circuit affirmed. 23
- F. 3d 402 (1994).
- The Circuits divide sharply on this issue. Parting
- from the Fourth Circuit, most of the Courts of Appeals
- have held certification by the Attorney General or her
- delegate amenable to court review. We granted certio-
- rari to resolve the conflict, 513 U. S. ___ (1994), and we
- now reverse the Fourth Circuit's judgment.
-
- II
- A
- We encounter in this case the familiar questions:
- where is the line to be drawn; and who decides.
- Congress has firmly answered the first question. -Scope
- of employment- sets the line. See 2679(b)(1); United
- States v. Smith, 499 U. S. 160 (1991). If Lamagno is
- inside that line, he is not subject to petitioners' suit; if
- he is outside the line, he is personally answerable. The
- sole question, then, is who decides on which side of the
- line the case falls: the local U. S. Attorney, unreview-
- ably or, when that official's decision is contested, the
- court. Congress did not address this precise issue
- unambiguously, if at all. As the division in the lower
- courts and in this Court shows, the Westfall Act is, on
- the -who decides- question we confront, open to diver-
- gent interpretation.
- Two considerations weigh heavily in our analysis, and
- we state them at the outset. First, the Attorney
- General herself urges review, mindful that in cases of
- the kind petitioners present, the incentive of her
- delegate to certify is marked. Second, when a govern-
- ment official's determination of a fact or circum-
- stance-for example, -scope of employment--is disposi-
- tive of a court controversy, federal courts generally do
- not hold the determination unreviewable. Instead,
- federal judges traditionally proceed from the -strong
- presumption that Congress intends judicial review.-
- Bowen v. Michigan Academy of Family Physicians, 476
- U. S. 667, 670 (1986); see id., at 670-673; Abbott
- Laboratories v. Gardner, 387 U. S. 136, 140 (1967).
- Chief Justice Marshall long ago captured the essential
- idea:
- -It would excite some surprise if, in a government of
- laws and of principle, furnished with a department
- whose appropriate duty it is to decide questions of
- right, not only between individuals, but between the
- government and individuals; a ministerial officer
- might, at his discretion, issue this powerful process
- . . . leaving to [the claimant] no remedy, no appeal
- to the laws of his country, if he should believe the
- claim to be unjust. But this anomaly does not exist;
- this imputation cannot be cast on the legislature of
- the United States.- United States v. Nourse, 9 Pet.
- 8, 28-29 (1835).
- Accordingly, we have stated time and again that judicial
- review of executive action -will not be cut off unless
- there is persuasive reason to believe that such was the
- purpose of Congress.- Abbott Laboratories, 387 U. S., at
- 140 (citing cases). No persuasive reason for restricting
- access to judicial review is discernible from the statutory
- fog we confront here.
-
- B
- Congress, when it composed the Westfall Act, legis-
- lated against a backdrop of judicial review. Courts
- routinely reviewed the local U. S. Attorney's scope-of-
- employment certification under the Westfall Act's
- statutory predecessor, the Federal Drivers Act, Pub. L.
- 87-258, 1, 75 Stat. 539 (previously codified as 28
- U. S. C. 2679(d) (1982 ed.)). Similar to the Westfall
- Act but narrower in scope, the Drivers Act made the
- FTCA the exclusive remedy for motor vehicle accidents
- involving federal employees acting within the scope of
- their employment. 75 Stat. 539 (previously codified at
- 28 U. S. C. 2679(b) (1982 ed.)). The Drivers Act, like
- the Westfall Act, had a certification scheme, though it
- applied only to cases brought in state court. Once the
- Attorney General or her delegate certified that the
- defendant driver was acting within the scope of employ-
- ment, the case was removed to federal court and the
- United States was substituted as defendant. But the
- removal and substitution were subject to the federal
- court's control; a court determination that the driver was
- acting outside the scope of his employment would restore
- the case to its original status. See, e.g., McGowan v.
- Williams, 623 F. 2d 1239, 1242 (CA7 1980); Seiden v.
- United States, 537 F. 2d 867, 870 (CA6 1976); Levin v.
- Taylor, 464 F. 2d 770, 771 (CADC 1972).
- When Congress wrote the Westfall Act, which covers
- federal employees generally and not just federal drivers,
- the legislators had one purpose firmly in mind. That
- purpose surely was not to make the Attorney General's
- delegate the final arbiter of -scope-of-employment-
- contests. Instead, Congress sought to override Westfall
- v. Erwin, 484 U. S. 292 (1988). In Westfall, we held
- that, to gain immunity from suit for a common law tort,
- a federal employee would have to show (1) that he was
- acting within the scope of his employment, and (2) that
- he was performing a discretionary function. Id., at 299.
- Congress reacted quickly to delete the -discretionary
- function- requirement, finding it an unwarranted judicial
- imposition, one that had -created an immediate crisis
- involving the prospect of personal liability and the
- threat of protracted personal tort litigation for the entire
- Federal workforce.- 2(a)(5), 102 Stat. 4563.
- The Westfall Act trained on this objective: to -return
- Federal employees to the status they held prior to the
- Westfall decision.- H. R. Rep. No. 100-700, p. 4 (1988).
- Congress was notably concerned with the significance of
- the scope-of-employment inquiry-that is, it wanted the
- employee's personal immunity to turn on that question
- alone. See 2(b), 102 Stat. 4564 (purpose of Westfall
- Act is to -protect Federal employees from personal
- liability for common law torts committed within the
- scope of their employment-). But nothing tied to the
- purpose of the legislation shows that Congress meant
- the Westfall Act to commit the critical -scope-of-employ-
- ment- inquiry to the unreviewable judgment of the
- Attorney General or her delegate, and thus to alter
- fundamentally the answer to the -who decides- question.
-
- C
- Construction of the Westfall Act as Lamagno urges-to
- deny to federal courts authority to review the Attorney
- General's scope-of-employment certification-would oblige
- us to attribute to Congress two highly anomalous
- commands. Not only would we have to accept that
- Congress, by its silence, authorized the Attorney
- General's delegate to make determinations of the kind
- at issue without any judicial check. At least equally
- perplexing, the proposed reading would cast Article III
- judges in the role of petty functionaries, persons re-
- quired to enter as a court judgment an executive officer's
- decision, but stripped of capacity to evaluate indepen-
- dently whether the executive's decision is correct.
-
- 1
- In the typical case, by certifying that an employee was
- acting within the scope of his employment, the Attorney
- General enables the tort plaintiff to maintain a claim for
- relief under the FTCA, a claim against the financially
- reliable United States. In such a case, the United
- States, by certifying, is acting against its financial
- interest, exposing itself to liability as would any other
- employer at common law who admits that an employee
- acted within the scope of his employment. See Restate-
- ment (Second) of Agency 219 (1958).
- The situation alters radically, however, in the unusual
- case-like the one before us-that involves an exception
- to the FTCA. When the United States retains immun-
- ity from suit, certification disarms plaintiffs. They may
- not proceed against the United States, nor may they
- pursue the employee shielded by the certification.
- Smith, 499 U. S., at 166-167. In such a case, the
- certification surely does not qualify as a declaration
- against the Government's interest: it does not expose the
- United States to liability, and it shields a federal
- employee from liability.
- But that is not all. The impetus to certify becomes
- overwhelming in a case like this one, as the Attorney
- General, in siding with petitioners, no doubt compre-
- hends. If the local U. S. Attorney, to whom the Attor-
- ney General has delegated responsibility, refuses
- certification, the employee can make a federal case of
- the matter by alleging a wrongful failure to certify. See
- 2679(d)(3). The federal employee's claim is one the
- U. S. Attorney has no incentive to oppose for the very
- reason the dissent suggests, see post, at 11-12: win or
- lose, the United States retains its immunity; hence, were
- the United States to litigate -scope of employment-
- against its own employee-thereby consuming the local
- U. S. Attorney's precious litigation resources-it would
- be litigating solely for the benefit of the plaintiff.
- Inevitably, the U. S. Attorney will feel a strong tug to
- certify, even when the merits are cloudy, and thereby
- -do a favor,- id., at 12, both for the employee and for
- the United States as well, at a cost borne solely, and
- perhaps quite unfairly, by the plaintiff.
- The argument for unreviewability in such an instance
- runs up against a mainstay of our system of govern-
- ment. Madison spoke precisely to the point in The
- Federalist No. 10:
- -No man is allowed to be a judge in his own
- cause, because his interest would certainly bias his
- judgment, and, not improbably, corrupt his integrity.
- With equal, nay with greater reason, a body of men
- are unfit to be both judges and parties at the same
- time . . . .- The Federalist No. 10, p. 79 (C.
- Rossiter ed. 1961) (J. Madison).
- See In re Murchison, 349 U. S. 133, 136 (1955) (Black,
- J.) (-[O]ur system of law has always endeavored to
- prevent even the probability of unfairness. To this end
- no man can be a judge in his own case and no man is
- permitted to try cases where he has an interest in the
- outcome.-); Spencer v. Lapsley, 20 How. 264, 266 (1858)
- (recognizing statute accords with this maxim); see also
- Publius Syrus, Moral Sayings 51 (D. Lyman transl.
- 1856) (-No one should be judge in his own cause.-);
- B. Pascal, Thoughts, Letters and Opuscules 182 (O.
- Wight transl. 1859) (-It is not permitted to the most
- equitable of men to be a judge in his own cause.-); 1 W.
- Blackstone, Commentaries *91 (-[I]t is unreasonable that
- any man should determine his own quarrel.-).
- In sum, under Lamagno's reading of the congressional
- product at issue, whenever the case falls within an
- exception to the FTCA, the Attorney General sits as an
- unreviewable -judge in her own cause-; she can block
- petitioners' way to a tort action in court, at no cost to
- the federal treasury, while avoiding litigation in which
- the United States has no incentive to engage, and
- incidentally enhancing the morale-or at least sparing
- the purse-of federal employees. The United States, as
- we have noted, disavows this extraordinary, conspicu-
- ously self-serving interpretation. See supra, at 5, and n.
- 4. Recognizing that a U. S. Attorney, in cases of this
- order, is hardly positioned to act impartially, the
- Attorney General reads the law to allow judicial review.
-
- 2
- If Congress made the Attorney General's delegate sole
- judge, despite the apparent conflict of interest, then
- Congress correspondingly assigned to the federal court
- only rubber-stamp work. Upon certification in a case
- such as this one, the United States would automatically
- become the defendant and, just as automatically, the
- case would be dismissed. The key question presented
- -scope of employment-however contestable in fact,
- would receive no judicial audience. The Court could do
- no more, and no less, than convert the executive's
- scarcely disinterested decision into a court judgment.
- This strange course becomes all the more surreal when
- one adds to the scene the absence of an obligation on
- the part of the Attorney General's delegate to conduct a
- fair proceeding, indeed, any proceeding. She need not
- give the plaintiff an opportunity to speak to the -scope-
- question, or even notice that she is considering the
- question. Nor need she give any explanation for her
- action.
- Congress may be free to establish a compensation
- scheme that operates without court participation. Cf. 21
- U. S. C. 904 (authorizing executive settlement of tort
- claims that -arise in a foreign country in connection
- with the operations of the [DEA] abroad-). But that is
- a matter quite different from instructing a court auto-
- matically to enter a judgment pursuant to a decision the
- court has no authority to evaluate. Cf. United States v.
- Klein, 13 Wall. 128, 146 (1872) (Congress may not -pre-
- scribe rules of decision to the Judicial Department of the
- government in cases pending before it-). We resist
- ascribing to Congress an intention to place courts in this
- untenable position.
-
- III
- We return now, in more detail, to the statutory lan-
- guage, to determine whether it overcomes the presump-
- tion favoring judicial review, the tradition of court
- review of scope certifications, and the anomalies attend-
- ing foreclosure of review.
- The certification, removal, and substitution provisions
- of the Westfall Act, 28 U. S. C. 2679(d)(1)-(3), work
- together to assure that, when scope of employment is in
- controversy, that matter, key to the application of the
- FTCA, may be resolved in federal court. To that end,
- the Act specifically allows employees whose certification
- requests have been denied by the Attorney General, to
- contest the denial in court. 2679(d)(3). If the action
- was initiated by the tort plaintiff in state court, the
- Attorney General, on the defendant-employee's petition,
- is to enter the case and may remove it to the federal
- court so that the scope determination can be made in
- the federal forum. Ibid.
- When the Attorney General has granted certification,
- if the case is already in federal court (as is this case,
- because of the parties' diverse citizenship), the United
- States will be substituted as the party defendant.
- 2679(d)(1). If the case was initiated by the tort plaintiff
- in state court, the Attorney General is to remove it to
- the federal court, where, as in a case that originated in
- the federal forum, the United States will be substituted
- as the party defendant. 2679(d)(2).
- The statute next instructs that the -certification of the
- Attorney General shall conclusively establish scope of
- office or employment for purposes of removal.- Ibid.
- (emphasis added). The meaning of that instruction, in
- the view of petitioners and the Attorney General, is just
- what the emphasized words import. Congress spoke in
- discrete sentences in 2679(d)(2) first of removal, then
- of substitution. Next, Congress made the Attorney
- General's certificate conclusive solely for purposes of
- removal, and notably not for purposes of substitution.
- It follows, petitioners and the Attorney General conclude,
- that the scope-of-employment judgment determinative of
- substitution can and properly should be checked by the
- court, i.e., the Attorney General's scarcely disinterested
- certification on that matter is by statute made the first,
- but not the final word.
- Lamagno's construction does not draw on the -certifi-
- cation . . . shall [be conclusive] . . . for purposes of
- removal- language of 2679(d)(2). Instead, Lamagno
- emphasizes the word -shall- in the statement: -Upon
- certification by the Attorney General . . . any civil action
- or proceeding . . . shall be deemed an action against the
- United States . . . , and the United States shall be
- substituted as the party defendant.- 2679(d)(1) (empha-
- sis added). Any doubt as to the commanding force of
- the word -shall,- Lamagno urges, is dispelled by this
- further feature: the Westfall Act's predecessor, the
- Federal Drivers Act, provided for court review of -scope-
- of-employment- certifications at the tort plaintiff's
- behest. Not only does the Westfall Act fail to provide
- for certification challenges by tort plaintiffs, Lamagno
- underscores, but the Act prominently provides for court
- review of refusals to certify at the behest of defending
- employees. See 2679(d)(3). Congress, in Lamagno's
- view, thus plainly intended the one-sided review, i.e, a
- court check at the call of the defending employee, but no
- check at the tort plaintiff's call.
- We recognize that both sides have tendered plausible
- constructions of a text most interpreters have found far
- from clear. See, e.g., McHugh v. University of Vermont,
- 966 F. 2d 67, 72 (CA2 1992) (-[T]he text of the Westfall
- Act, viewed as a whole, is ambiguous.-); Arbour v.
- Jenkins, 903 F. 2d 416, 421 (CA6 1990) (-[T]he scope
- certification provisions of the Westfall Act as a whole
- . . . [are] ambiguous regarding the reviewability of the
- Attorney General's scope certification.-). Indeed, the
- United States initially took the position that the local
- U. S. Attorney's scope-of-employment certifications are
- conclusive and unreviewable but, on further consider-
- ation, changed its position. See Brief for United States
- 14, n. 4. Because the statute is reasonably susceptible
- to divergent interpretation, we adopt the reading that
- accords with traditional understandings and basic
- principles: that executive determinations generally are
- subject to judicial review and that mechanical judgments
- are not the kind federal courts are set up to render.
- Under our reading, the Attorney General's certification
- that a federal employee was acting within the scope of
- his employment-a certification the executive official, in
- cases of the kind at issue, has a compelling interest to
- grant-does not conclusively establish as correct the
- substitution of the United States as defendant in place
- of the employee.
-
- IV
- Treating the Attorney General's certification as conclu-
- sive for purposes of removal but not for purposes of
- substitution, amicus ultimately argues, -raise[s] a
- potentially serious Article III problem.- Brief for
- Michael K. Kellogg as Amicus Curiae 29. If the certifi-
- cation is rejected, because the federal court concludes
- that the employee acted outside the scope of his employ-
- ment, and if the tort plaintiff and the employee
- resubstituted as defendant are not of diverse citizenship,
- amicus urges, then the federal court will be left with a
- case without a federal question to support the court's
- subject matter jurisdiction. This last-pressed argument
- by amicus largely drives the dissent. See post, at 3-6.
- This case itself, we note, presents not even the specter
- of an Article III problem. The case was initially insti-
- tuted in federal court; it was not removed from a state
- court. The parties' diverse citizenship gave petitioners
- an entirely secure basis for filing in federal court.
- In any event, we do not think the Article III problem
- amicus describes is a grave one. There may no longer
- be a federal question once the federal employee is
- resubstituted as defendant, but in the category of cases
- amicus hypothesizes, there was a nonfrivolous federal
- question, certified by the local U. S. Attorney, when the
- case was removed to federal court. At that time, the
- United States was the defendant, and the action was
- thus under the FTCA. Whether the employee was
- acting within the scope of his federal employment is a
- significant federal question-and the Westfall Act was
- designed to assure that this question could be aired in
- a federal forum. See supra, at 12-14. Because a case
- under the Westfall Act thus -raises [a] questio[n] of
- substantive federal law at the very outset,- it -clearly
- `arises under' federal law, as that term is used in Art.
- III.- Verlinden B. V. v. Central Bank of Nigeria, 461
- U. S. 480, 493 (1983).
- In adjudicating the scope-of-federal-employment ques-
- tion -at the very outset,- the court inevitably will con-
- front facts relevant to the alleged misconduct, matters
- that bear on the state tort claims against the employee.
- Cf. Mine Workers v. Gibbs, 383 U. S. 715, 725 (1966)
- (approving exercise of pendent jurisdiction when federal
- and state claims have -a common nucleus of operative
- fact- and would -ordinarily be expected to [be tried] all
- in one judicial proceeding-). -[C]onsiderations of judicial
- economy, convenience and fairness to litigants,- id., at
- 726, make it reasonable and proper for the federal forum
- to proceed beyond the federal question to final judgment
- once it has invested time and resources on the initial
- scope-of-employment contest.
- If, in preserving judicial review of scope-of-employment
- certifications, Congress -approach[ed] the limit- of
- federal court jurisdiction, see post, at 4-and we do not
- believe it did-we find the exercise of federal court
- authority involved here less ominous than the conse-
- quences of declaring certifications of the kind at issue
- uncontestable: The local U. S. Attorney, whose conflict
- of interest is apparent, would be authorized to make
- final and binding decisions insulating both the United
- States and federal employees like Lamagno from liability
- while depriving plaintiffs of potentially meritorious tort
- claims. The Attorney General, having weighed the
- competing considerations, does not read the statute to
- confer on her such extraordinary authority. Nor should
- we assume that Congress meant federal courts to accept
- cases only to stamp them -Dismissed- on an interested
- executive official's unchallengeable representation. The
- statute is fairly construed to allow petitioners to present
- to the District Court their objections to the Attorney
- General's scope-of-employment certification, and we hold
- that construction the more persuasive one.
-
- * * *
- For the reasons stated, the judgment of the United
- States Court of Appeals for the Fourth Circuit is
- reversed, and the case is remanded for proceedings
- consistent with this opinion.
- It is so ordered.
-