Legal Document

478 U.S. 804 106 S.Ct. 3229 92 L.Ed.2d 650 MERRELL DOW PHARMACEUTICALS INC., Petitionerv.Larry James Christopher THOMPSON, et ux., al. No. 85-619. Argued April 28, 1986. Decided July 7, Syllabus Respondent residents of Canada and respondent Scotland filed separate complaints in an Ohio state court against petitioner corporation, the manufacturer distributor drug Bendectin, alleging that children were born with deformities as a result their mothers' ingestion during pregnancy. Damages sought on common-law theories negligence, breach warranty, strict liability, fraud, gross also ground alleged "misbranding" violation Federal Food, Drug, Cosmetic Act (FDCA) represented "rebuttable presumption" negligence "proximate cause" injuries. Petitioner petition for removal actions to District Court, they founded, part, claim "arising under laws United States." After removal, cases consolidated, Court denied respondents' motion remand granted petitioner's dismiss forum non conveniens grounds. The Appeals reversed. Noting FDCA does not create or imply private right action, held causes action did arise federal law therefore improperly removed court. Held: A statute element cause when Congress has determined there should be no private, violation, Constitution, laws, treaties States" within meaning 28 U.S.C. § 1331. Thus, here, determining question jurisdiction by reference "well-pleaded complaint," assuming is violations, Court. assumed congressional determination preclude remedies violations tantamount conclusion claimed insufficiently "substantial" confer federal-question jurisdiction. asserted interest review novelty whether applies sales are sufficient give state-based status jurisdiction-triggering question. Pp. 807-817. 766 F.2d 1005 (CA 6 1985), affirmed. STEVENS, J., delivered opinion which BURGER, C.J., POWELL, REHNQUIST, O'CONNOR, JJ., joined. BRENNAN, dissenting opinion, WHITE, MARSHALL, BLACKMUN, joined, post, p. 818. Frank C. Woodside, III, Cincinnati, Ohio, petitioner. Stanley M. Chesley, respondents. Justice STEVENS 1 presented incorporation standard state-law intended standard, makes one States," 2 * Thompson respondents MacTavishes reside Scotland. They virtually identical petitioner, manufactures distributes Bendectin. Common Pleas Hamilton County, Ohio. Each complaint child was multiple mother's Bendectin In five six counts, recovery substantial damages requested negligence. Count IV, "misbranded" (FDCA), 52 Stat. 1040, amended, 21 301 seq. (1982 ed. Supp. III), because its labeling provide adequate warning use potentially dangerous. Paragraph 26 "in promotion" "constitutes rebuttable presumption negligence." 27 "violation said statutes directly proximately caused injuries suffered" two infants. App. 22, 32. 3 timely from "founded, arising States."1 consolidated. Respondents lacked subject-matter Relying our decision Smith v. Kansas City Title & Trust Co., 255 180, 41 243, 65 L.Ed. 577 (1921), IV remand. It then 4 Sixth Circuit (1985). quoting sentence concluding paragraph recent Franchise Tax Board Construction Laborers Vacation Trust, 463 1, 103 2841, 77 420 (1983),2 noting "that individuals injured Act," it explained: 5 "Federal would, thus, exist only if plaintiffs' relief depended necessarily law. Plaintiffs' referred merely available criterion Merrell Dow negligent. Because jury could find part without finding FDCA, depend upon Consequently, and, therefore, court." F.2d, at 1006. We certiorari, 474 1004, 522, 88 455 (1985), we now affirm. II 7 Article III Constitution gives courts power hear under" statutes.3 That grant power, however, self-executing, until Judiciary 1875 gave general jurisdiction.4 Although constitutional may extend all "an ingredient" Osborn Bank States, 9 Wheat. 738, 823, 204 (1824), have long construed statutory conferring more limited power. Verlinden B.V. Central Nigeria, 461 480, 494-495, 1962, 1971-1972, 76 81 (1983); Romero International Terminal Operating 358 354, 379, 79 468, 483, 368 (1959). 8 Under longstanding interpretation current scheme, "arises must complaint." Board, U.S., 9-10, S.Ct., 2846-2847. defense raises inadequate Louisville Nashville R. Co. Mottley, 211 149, 29 42, 53 126 (1908). Since defendant remove case been brought court, 1441(b), moreover, As true supra, propriety this thus turns falls original "federal question" courts. There "single, precise definition" concept; rather, "the phrase 'arising under' masks welter issues regarding interrelation authority proper management judicial system." Id., 8, 2846. 10 This much, clear. "vast majority" come covered Holmes' statement " 'suit arises creates action.' 8-9, 2846, American Well Works Layne Bowler 241 257, 260, 36 585, 586, 60 987 (1916). vast majority those action. 11 have, noted "where vindication turned some construction law." 9, 2846.5 Our actual holding demonstrates read caution; central issue Employee Retirement Income Security 1974, 1001 but nevertheless concluded lacking. 12 pose first kind; do allege any asserted.6 poses what Frankfurter called "litigation-provoking problem," Textile Workers Lincoln Mills, 353 448, 470, 912, 928, 972 (1957) (dissenting opinion)—the presence state-created 13 undertaking inquiry into lie nonfederal is, course, appropriate begin referring understanding consistently emphasized that, exploring outer reaches 1331, determinations about require sensitive judgments intent, system. "If history judiciary legislation teaches us anything, duty reject treating such wooden set self-sufficient words. . broadly phrased, continuously light produced it, demands reason coherence, dictates sound policy emerged Act's function provision mosaic legislation." 483. forcefully reiterated need prudence restraint jurisdictional inquiry: "We always interpreted Skelly Oil [Co. Phillips Petroleum 339 667, 673, 70 876, 879, 94 1194 (1950) ] 'the since March 3, 1875' eye practicality necessity." 20, 2852. 14 case, both parties agree Appeals' violations. For purposes decision, assume correct FDCA. comes us, settled framework evaluating lies, combination following factors present: (1) plaintiffs class whose special benefit passed; (2) indicia legislative intent reveal purpose action; (3) would further underlying scheme; (4) subject traditionally relegated law.7 short, intend remedy enacted. 15 reviewed type these factors. so surprising. development exists proceeded last years, inception significant change approach silence remedies.8 16 character not, diminish importance. Indeed, very reasons modern implied doctrine—the "increased complexity increased volume litigation," well desirability careful scrutiny intent," Merrill Lynch, Pierce, Fenner Smith, Inc. Curran, 456 353, 377, 102 1825, 1838, 72 182 (1982) (footnote omitted)—are precisely kind considerations inform concern "practicality necessity" advised 1331 17 significance necessary assumption cannot overstated. ultimate import conclusion, repeatedly emphasized, flout statute.9 think similarly flout, least undermine, conclude might exercise solely law, rather than law.10 18 advances three arguments support position even face preclusion statute, 19 First, contends represents straightforward application "it appears substantial, disputed well-pleaded claims." 13, 2848. purport disturb long-settled mere automatically jurisdiction.11 before stressed Cardozo's emphasis principled, pragmatic distinctions: 'What needed something common-sense accommodation judgment kaleidoscopic situations characterizes treatment causation selective process picks out web lays other ones aside.' 20-21, 2852 (quoting Gully First National Bank, 299 109, 117-118, 57 96, 99-100, (1936)). 20 Far creating automatic test, candidly recognized area uncertain Given remedies, tort adjudication serve fully consistent relied heavily simply jurisdiction.12 Second, powerful seeing given uniform interpretations, best way insuring uniformity. addition remedy, characterization implications To extent arguing threat order stability regime, arguing, able enforce FDCA-based aspect jurisdiction, pre-empts state-court over dispute.13 Petitioner's uniformity interpretation, considerably mitigated fact district kinds retains action.14 22 Finally, argues whatever rule, circumstances justify case. emphasizes unclear Scotland; having answer novel relating extraterritorial Act. argument. believe particular depends issue. based frivolous insubstantial question, system," ill served rule made existence court's case-by-case appraisal tort. nor question.15 23 24 25 ordered. whom BLACKMUN join, dissenting. 2, provides shall "all Cases, Law Equity, Laws Treaties made, Authority." great breadth whenever "ingredient" suggesting involves "potential questions," 471, (Frankfurter, dissenting); see Osborn, 824; Martin Hunter's Lessee, 304, 97 (1816); Pacific Railroad Removal 115 1113, 319 (1885); 492-493, 1970-1971, (1983). provides, language parrots "of civil suggests full permissible (an inference supported contemporary evidence, n. Forrester, Nature Question," Tulane L.Rev. 362, 374-376 (1942); Shapiro, Jurisdiction Discretion, N.Y.U.L.Rev. 543, 568 (1985)), narrowly counterpart. See B.V., 1971-1972; Nonetheless, close relation limitations justified consideration review. Ibid. I limitation today inconsistent Therefore, respectfully dissent. While described adage "[a] suit action," (1916), firmly though plaintiff created. Wright, Courts 17, pp. 95-96 (4th 1983) (hereinafter Wright); Redish, Jurisdiction: Tensions Allocation Judicial Power 64-71 (1980) Redish). stated Judge Friendly "[t]he path-breaking opinion" (1921). T.B. Harms Eliscu, 827 (CA2 1964). shareholder corporation enjoin investing corporate funds bonds issued Farm Loan Missouri imposed fiduciary invest authorized valid argued unconstitutional, purchase authority. wholly created, case: "The where bill colorable, rests reasonable foundation, [the granting jurisdiction]." 199, 245. 30 continuing vitality beyond challenge. cited approvingly numerous occasions, reaffirmed several times—most recently just Terms ago unanimous Reserve Atlanta, 256 350, 357, 499, 500, 983 (1921); Bell Hood, 327 678, 685, 66 773, 777, 90 939 (1946); Association Westinghouse Salaried Employees Electric Corp., 348 437, 450, 18, 75 489, 495, 99 510 (1955) (plurality opinion); Machinists Airlines, Inc., 372 682, 696, 83 956, 964, 67 (1963); Duke Carolina Environmental Study Group, 438 59, 70, 98 2620, 2628, 595 (1978). Ashwander TVA, 297 288, 356, 56 466, 487, 80 688 (1936) (separate McReynolds, J.); 928 Wheeldin Wheeler, 373 647, 659, 1441, 1449, 605 (1963) (BRENNAN, dissenting). Cf. 112, 97, ("To bring [§ 1331], immunity created States element, essential one, plaintiff's action"). Moreover, Friendly's authoritative 827, widely followed lower See, e.g., Hanes Corp. Millard, 174 U.S.App.D.C. 253, 263, 531 595, (1976); Mungin Florida East Coast 416 1169, 1176-1177 (CA5 1969); Ivy Broadcasting Tel. 391 486, 492 1968); Warrington Sewer Tracy, 771, 772 (CA3 1972) (per curiam ); New York Abrams Citibank, N.A., 537 F.Supp. 1192, 1196 (SDNY 1982); Kravitz Homeowners Warranty 542 317, (ED Pa.1982). also, Stone Webster Engineering Ilsley, 690 323 Cavallo, 662 1082 (CA4 1981); Mountain Fuel Supply Johnson 586 1375 (CA10 1978), cert. denied, 441 952, 2182, 1058 (1979); Garrett Time-D.C., 502 627 (CA9 1974), 421 913, 95 1569, 43 778 (1975); Sweeney Abramovitz, 449 213 (Conn.1978). Furthermore, principle endorsed most commentators well. Redish 67, 69; Institute, Division Between State 178 (1969) ALI); Wright 96; P. Bator, Mishkin, D. H. Wechsler, Hart Wechsler's System 889 (2d ed., 1973); "Question" Courts, Colum.L.Rev. 157, 166 (1953); Revision Code, Contemp. Prob. 216, 225 (1948).1 31 my mind, fourth forth Board. pleaded constituted §§ 201 502(f)(2) (j) "directly caused" 21-22 (Thompson complaint), 31-32 (MacTavish complaint). established per se entitled them recover more. No basis negligent connection claim. pleaded, then, "right depend[ed] 244; 2856 (there "necessarily depends" resolution question).2 although disputes liability concedes violated "colorable, foundation." 245.3 Of make concession prevail accepted value. However, independent examination substantiates neither meritless. complaint, advertising fails facts material respect consequences article relates. ." 321(n). Obviously, possibility pregnancy produce malformed material. principal govern branding drugs sold foreign countries. certainly immediately obvious argument correct. "discloses FDCA]," raised 32 apparently disagree except, conclusion. According (and, presumably, fortiori Congress' express), assuming—only similar assumption—that FDCA,4 holds claim: 33 statute. 'rebuttable presumption' 'proximate cause' Ante, 812 (footnotes omitted). 34 nowhere explains Yet hardly self-evident. Why chose mean want adjudicate imposes violating law? Clearly, affect unless withholds withholding examine decisions withhold done. A. 35 early days Republic, content leave task interpreting applying instance courts; short-lived exception,5 inferior 1875. 1875, ch. 137, 470. found add known. importance, necessity throughout whole subjects purview constitution." Wheat., 347-348 (Story, J.) (emphasis original). Comment, Preemption, Jurisdiction, Well-Pleaded Complaint Rule, 51 U.Chi.L.Rev. 634, 636 (1984) Comment); Currie, 160 (3d 1982) Currie). Concededly, exclusive another, absolute obtained while perfect achieved, experience indicates availability done much advance goal. This, fact, Institute's Courts. ALI 164-168. addition, provided specializes likely apply correctly. constitute basic grist tribunals, acquired considerable expertness 164-165. By contrast, apparent form small business [state] courts." 165. result, comparatively skilled correctly divine enacting legislation.6 ibid.; 71; Currie 160; Comment 636; Hornstein, Federalism, "Arising Under" Courts: Heirarchical Analysis, Ind.L.J. 563, 564-565 (1981). 37 These explain why like Smith—i.e., creature federal—"arise passes shape behavior; expresses entities conform norm imprecise degree, inevitably specifically permit. interpret realized. above, enhance likelihood applied uniformly. words, involving questions behavior intended. 38 making claim, places context will operate behavior: force conduct interpretations adjudicating matter individual liable officer who arrives his door execute wearing uniform; he cares sanction being imposed—and again future failed comply incorrectly implicates concerns led same "created" follows B 39 remaining decided alters analysis inappropriate doctrine" shows (whether expressly inference) actionable. 811. legislation,' litigation,' intent.' (1982)). 40 Court's holding. relative expertise ----, strongly favor recognizing And, litigation appropriately considered reasoned limiting reach day yet arrived trim thinks too broad.7 leaves third reason: ----. subscribe proposition consider But examined either reaching presumed taken withdraw but, indeed, contrary intent. 42 enforcement scheme typical other, broad regulatory schemes. Primary responsibility overseeing implementation conferred specialized administrative agency, here Food Drug Administration (FDA).8 FDA wide-ranging arsenal weapons combat including obtain ex parte seizure goods Act, 334, initiate proceedings 332, request Attorney criminal violators, 333. generally J. O'Reilly, Administration, chs. 6-10 (1979 Supp.1985). Significantly, authority; final courts, 332(a), 333, 334(a)(1). initial interpretive delegated expert body deference, carry mandate belongs Chevron U.S.A. Natural Resources Defense Council, 467 837, 843, 104 2778, 2781, 694 ("The constructions clear intent"). structured express seems strange "flout[s]" "undermine[s]" ante, 812. pre-empted, entirely kept inasmuch provisions quite clearly preference violation. 44 enforcement. If so, pre-empted. pre-empt FDCA's relying enforcement, foreclose remedy. Both reflect strong desire utilize odds recognize hold adjudicated 45 requires inferring "bad" illogical. rely instead public reflects obtaining accurate coordinated scheme. Passenger Corporation Assn. Passengers, 414 453, 462-465, 690, 695-697, 646 (1974); Holloway Bristol-Myers 158 207, 218-220, 485 986, 997-999 (1973); Stewart Sunstein, Public Programs Private Rights, Harv.L.Rev. 1193, 1208-1209 (1982). closely related giving strengthens 36-37. "is between citizens state." 36. place founded 1441(b) provides: "(b) Any removable regard citizenship residence parties. none properly joined defendants citizen brought." 'Under hear, originally establishes law.' 1006 2856). Art. Authority ."). Mar. currently codified, frequently upheld shareholder's purchasing land banks issuance unconstitutional. stated: provision." effect view, expressed vigorous dissent, formulation often noted. 2846 ("[I]t test useful describing courts' jurisdiction"); 1964) (Friendly, ("It realized Mr. formula inclusion exclusion intended"). sustained theory advanced. Healy Sea Gull Specialty 237 479, 658, 59 1056 (1915) ("[T]he master appeal to"); Fair Kohler Die 228 25, 410, 411, 716 (1913) party brings decide upon"). Mottaz, 476 834, 850, 2224, 2233, 841 (1986). California Sierra Club, 451 287, 293, 101 1775, 1778, 68 (1981); Cannon University Chicago, 677, 689-709, 1946, 1953-1964, 560 Cort Ash, 422 66, 78, 2080, 2087, (1975). ("In 1975 unanimously modify includes Middlesex County Sewerage Clammers Assn., 453 2615, 2629, 69 435 (1981) (STEVENS, concurring part) 1975, cut back simple fashioning four-factor denial case"). Daily Fund, Fox, 464 523, 535-536, 831, 838-839, 78 645 focus enacted question"); 2622 key Legislature"); Texas Industries, Radcliff Materials, 630, 639, 2061, 2066, 500 ("Our focus, implication Congress"); 1779 action"); Northwest Transport Workers, 77, 91, 1571, 1580, 750 remedy"); Transamerica Mortgage Advisors, Lewis, 444 11, 15, 100 242, 245, 62 146 (1979) implication, basically construction"); Touche Ross Redington, 442 560, 568, 2479, 2485, 61 82 construction"). When free "supplement" "meaningless." Mobil Higginbotham, 436 618, 625, 2010, 2015, 581 (1978) (When "does speak 'supplement' thoroughly becomes meaningless"). 297, 1781 engraft how salutary, provide"). dissenting) (defining degree forefront collateral, peripheral remote"); 115, 98, ("Not every emerging proof suit"); id., 118, ("If follow ascent far enough, countless claims can discovered source operative limits itself circumambient restrictions bounds pursuit, formulated distinction controversies possible. lost maze put compass by"). Several suggested understood evaluation nature stake. (1985); 96 1983); Cohen, Broken Compass: Requirement Case Arise "Directly" Law, U.Pa.L.Rev. 890, 916 (1967). 320 Pa.1982) (Pollak, ("I identify compelling embracing Pennsylvania elements rescission dealt court; lesser-included Pennsylvania's competent Magnuson-Moss relevant F.T.C. regulations, Supreme Court"). Focusing interest, perceived "irreconcilable" conflict Moore Chesapeake 291 205, 54 402, 755 (1934), see, (1980), difference results seen manifestations differences constitutionality important 201, 245 controversy validity act drawn issue"). Moore, fundamentally 216-217, 406-407 (" 'The fell familiar category servant. defined common except modified legislation. present touched single point save left State' ") Minneapolis, St. S.S.M.R. Popplar, 369, 372, 609, 610, 1000 (1915)). importance highlighted despite usual reliability Holmes inclusionary principle, sometimes formally overwhelming predominance issues. Shulthis McDougal, 561, 569-570, 704, 706-707, 1205 (1912) ("A takes origin necessarily, alone, really substantially dispute respecting validity, depends. especially rights States. establish title western arise, titles traceable laws"); Shoshone Mining Rutter, 177 505, 507, 726, 727, 864 (1900) ("We pointed former clauses, real estate (at newer States) virtue laws"). Longshoremen Davis, 380, 391, 1904, 1912, 389 (1986) ("[O]ur Garmon [359 236, 775 (1959) pre-emption defining boundaries rested [National Labor Relations Act] Relations] area"). 214-215, 405-406 ("Questions employees intrastate commerce scope Safety Appliance Acts are, defines engaged commerce, regarded cognizable absence diversity citizenship"). 12, 2848, heard. pre-emption, ultimately view because, role FDCA-related count, strictly claims. (noting FDCA"). erroneous. count relationship ordinary principles pendent Mine Gibbs, 383 715, 86 1130, 218 (1966). stated, possible error corrected. Some conflicts (1934). Greene, Hybrid 289, (1969). Kentucky's Employer Liability responsible contributory risk injury resulted safety employees. due defendant's failure Act; terms had violated. dismissed response risk, rule. Instead, "a [not] citizenship." 405-406. reconciled views turning stake." 814, explains, statute," less action." 12. sense, asserting reconcile "nature" Moore. believe, many seemingly reached test. ad hoc infinitely malleable: become enough jurisdiction? What guide "important" not? Why, instance, direct (under mandatory appellate jurisdiction) inadequate? Would different claim? sufficiently vague general, "reconciled." inevitable—and undesirable—result footnote issue, believes "ill served" rejects difficulty suffices 817. ways. My own accord irreconcilable. 67; Nutshell 109 1981). trouble me greatly, "sport" time innocuous desuetude. Unlike never borne little fruit leading Professor after comparing enunciated 67. text, preferred Smith. Supra, survived time; presently moribund, well-established ought overruled. notes, erred presents independently relief. Whether claims, asserted. If, consideration, join additional meeting 817, 15. states 2856. context, another stating colorable foundation. manner applied, used concept concerning Hagans Lavine, 415 528, 536-537, 1372, 1378-1379, 776, (1946). bears emphasizing Rather, "[f]or FDCA." 810. decides concession. same. analysis, persuaded Such seek briefly Midnight Judges 4, (1801), repealed 1802, 132. Another belief hostile assertions rights. Hierarchial 71. once was, Institute reported 1969 difficult avoid sympathetically understandingly 166. event, rationale expression One argue erroneous insure experienced observer attest, "Supreme docket pressures, narrow facts, debilitating possibilities delay, deferring grounds job." 160. realistically, "doing job" adequately protected. Cohens Virginia, 264, 404, 257 (1821) (Marshall, C.J.) take not; equally true, should. decline given, usurp given"). exceptions Chief Marshall's famous dictum comity federalism. Younger Harris, 401 37, 91 746, 669 (1971); Burford Sun 315, 63 1098, 87 1424 (1943). illegitimate, determine thought Trade Commission (as opposed labeling) foods, drugs, cosmetics. 52-55.

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