Legal Document

494 U.S. 715 110 S.Ct. 1428 108 L.Ed.2d 701 UNITED STATES DEPARTMENT OF LABOR, Petitioner,v.George R. TRIPLETT et al. COMMITTEE ON LEGAL ETHICS the WEST VIRGINIA STATE BAR, Petitioner v. George Nos. 88-1671, 88-1688. Argued Jan. 16, 1990. Decided March 27, Syllabus The Black Lung Benefits Act of 1972 prohibits attorneys from receiving fees for representing claimants except as approved by petitioner Department Labor. In implementing this provision, promulgated approval procedures which, inter alia, invalidate all contractual fee arrangements. Respondent Triplett (hereinafter respondent), an attorney, violated Department's scheme when he agreed to represent on a contingent-fee basis and collected without required approval. Committee Legal Ethics West Virginia State Bar recommended that be suspended these infractions filed complaint in Supreme Court Appeals enforce sanction. court denied enforcement, ruling was unconstitutional because it effectively necessary access counsel and, alternatively, them procedural safeguards provided Act. Held: 1. Both sides have standing. committee has standing its classic interest government prosecuting agency defending law which prosecution is based, there therefore no need inquire into third-party virtue his claim enforcement against him deprives clients due process right obtain legal representation. See Secretary Maryland Joseph H. Munson Co., 467 947, 954-958, 104 2839, 2845-2848, 81 786. ASARCO Inc. Kadish, 490 605, 109 2037, 696, distinguished. There question such placed at issue here, since least one respondent's received benefits Government seeking recover erroneously paid. Pp. 719-721. 2. limitation does not violate process. 721-727. (a) light Government's obvious legitimate protecting others who may pay fees, entitled heavy presumption constitutionality. must prove made unavailable prospective time Walters National Assn. Radiation Survivors, 473 305, 105 3180, 87 220. "factual record" upon state relied blatantly insufficient meet burden. only nonanecdotal evidence record powerfully suggests whose chances success are high enough attract lawyers difficulty finding them. 721-726. (b) court's alternative holding depriving statutory safeguards, including counsel, disposed conclusion they been deprived their asserted constitutional 726-727. 180 W.Va. 533, 378 S.E.2d 82, reversed remanded. SCALIA, J., delivered opinion Court, Parts I, II-A, III, IV REHNQUIST, C.J., WHITE, BLACKMUN, STEVENS, O'CONNOR, KENNEDY, JJ., joined, Part II-B joined. concurring opinion, post, p. 727. MARSHALL, judgment, II BRENNAN, 728. separate statement, 736. Michael Dreeben, Washington, D.C., petitioners. Jane Moran, Williamson, W.Va., respondents. Justice SCALIA Court. 1 These cases call constitutionality Labor's administration provision acceptance attorney's representation claimants, Department. contends manner restriction violates Due Process Clause Fifth Amendment renders qualified thereby assistance claims. 2 * 1972, 83 Stat. 792, amended, 30 U.S.C. § 901 seq. (1982 ed. Supp. V), provides federal funds those totally disabled pneumoconiosis, respiratory disease commonly caused coal mine employment, eligible survivors. Pittston Coal Group Sebben, 488 105, 108, 414, 417, 102 408 (1988). Labor (Department) awards after adjudication deputy commissioner, review (if requested) administrative judge (ALJ), Review Board, appeals. 20 CFR §§ 725.410, 725.419(a), 725.481 (1989); 932(a) ed., V) (incorporating 33 921(c) ed.)). 3 A claimant represented throughout proceedings 725.362, 725.363(a) (1989), wins contested case employer, insurer, or (in some cases, see 934 ed.)) Disability Trust Fund shall "reasonable fee" claimant's lawyer. 928(a) also incorporates, however, 4 WHITE BLACKMUN join but opinion. Longshore Harbor Workers' Compensation (LHWCA), 44 1438, 928(d) ed.), attorney fee—whether Fund, himself—unless appropriate court. V). regulations agreements 725.365, 802.203(f) will approve if unsuccessful, Director, OWCP Hemingway Transport Inc., BRBS 73, 75 (1974). Once compensation order becomes final, 928(a), apply each tribunal before whom services were performed, 725.366(a) awarded "reasonably commensurate with work done," 725.366(b), taking account "the quality representation, qualifications representative, complexity issues involved, level raised, representative entered proceedings, any other information relevant amount requested." Ibid. 5 respondent) restrictions unapproved fees. He exchange 25% award obtained, initiated disciplinary action respondent infractions. committee, hearing, 6-month suspension, 6 That enforcement. Although had raised contention, occurred Act's payment implemented Department, might thus impermissible premise action. After asking supplemental briefing issue, held implementation "effectively den[ied] counsel," "den[ied] Congress essential vindicate granted Congress." 536, 544, 85, 93 Two justices dissented, factual majority "woefully inadequate." Id., 549, S.E.2d, 98. 7 issuing invited intervene. did so, supplemented record, petitioned rehearing. petition brief found proffered justifications system, new evidence, unpersuasive. 547, 96. 8 No. 88-1671) 88-1688) certiorari. We petitions. 493 807, 48, 107 17 (1989). A. 9 deal first parties' On petitioners' side, arguing validity based. It preferred charges rest disregard administered Department; cannot sustained themselves unlawful. Since standing, we whether well. Bowsher Synar, 478 714, 721, 106 3181, 3185, 92 583 (1986). B 10 invokes own rights interests, black lung hired him. Respondent's defense proceeding accused violating contravenes claimants' because, prohibiting collection pursuant voluntary failing provide adequate means compensation, unable Ordinarily, course, litigant " 'must assert relief interests third parties.' Valley Forge Christian College Americans United Separation Church & State, 454 464, 474, 752, 759, 70 700 (1982) (quoting Warth Seldin, 422 490, 499, 95 2197, 2205, 45 343 (1975)). This generally so even very same allegedly illegal act affects party. States Payner, 447 727, 731-732, 100 2439, 2443-2444, 65 468 (1980) (criminal defendant "lacks [third-party] under Fourth suppress . documents illegally seized from" banker). When, prevents party entering relationship (typically relationship), entitlement entitlement), exist. 786 (1984) (professional fundraiser given challenge statute limiting commission violation clients' First hire higher fee). lawyer charge lawyer's client falls squarely within principle. Caplin Drysdale, Chartered States, 491 617, 623-624, n. 3, 2646, 2651, 528 (1989).** retained 543, 31, 92, 31; 320, 8, 3189, 220 (1985). 11 Accordingly, find both III 12 supra, upheld attack $10 payable veterans disability death Veterans' Administration. began there, begin noting "carefully considered decision coequal branch our Government" entitled. U.S., 319, S.Ct., 3188. determined administering informal nonadversarial fashion would receive entirety having divide 321-323, 3189-3190. accorded "great weight," id., 326, 3192, challenging make "an extraordinarily strong showing probability error present system—and presence sharply diminish possibility—to warrant denies law." Applying similar analysis conclude upheld. 13 pursues through current regime. regulation designed protect "improvident contracts, families public." Yeiser Dysart, 267 540, 541, 399, 400, 69 L.Ed. 775 (1925) (upholding limitation). When persons than provided, assure fairness carrier, sources depletion leave source compensation. good reason, moreover, defer until final. regime immediately every level, subject recovery event judgment favor impose payor onerous task refund. 14 assumed nevertheless Here, reach latter unless proved what case, viz., contains two component parts: (1) could (2) unavailability attributable small burden, failed bear it. 15 arose during original Appeals, lower heard findings. concerning misconduct, findings regarding effect availability lawyers. program consisted testimony proceeding, five affidavits attached amicus court, statements hearings House Representatives Subcommittee 1985. critical disposition describe detail. 16 As issue—unavailability attorneys—the three lawyers' assessments. One stated "fewer accepting claims," more pro se. 90. According second "few willing claimants." evaluation contained 1985 subcommittee "many colleagues '. unequivocally take cases. .' 542, 91 Hearings Investigation Backlog Cases Relations Education Labor, 99th Cong., 1st Sess., 188 (1985)). (The mention witnesses opposite effect. See, e.g., 45.) do. clear sort anecdotal overcome regularity established 324, 11, 3190, 11. impressions system produced "few" lawyers, attorneys" (whatever means), "many" left field, burden proof, entirely unrebutted. 18 unneeded addition, rebuttal here—affirmative indication supply. Data submitted support rehearing showed 1987 ALJ stage 92% resulting grant denial benefits. statistics conclusive (they do show, example, proportion unrepresented never reached stage), suggest 19 Even demonstrated attorneys, obliged further show cause so. contrary, mainly delay payment. Of claimed shortage (see 723), attributed shortage, part, 90, 91. 6, (lawyer testified yet paid "three four" prevailed); 541-542, 90-91 (testimony congressional delayed 2-3 years); 90 owed $30,000 paid). thought built fee-approval attorneys: "In small, depressed town substantial money individual practitioner. long run, John Maynard Keynes once observed, dead. short offices mortgages children educate." explain why Keynesian imperative cash-on-the-barrelhead eliminated contingent fee, institution seeks shield regulation—which itself yields office funds, mortgage payments, tuition often lengthy litigation completed. answer, contracted compensate contingency resolved. apparent reason render palatable additional inherent procedure At point seemed acknowledge this, asserting whole boils down fact too low: "It us most unwilling inadequate DOL." 545, 94. economic assessment volume, character, self-interested motivation—to wit, portion affidavit abandoned practice. (citing Muth affidavit). face matter, difficult understand how maintain wanted to. requires "reasonable," ed.); interpreted include requirement delay, cf. Hobbs OWCP, 820 F.2d 1528, 1529 (CA9 1987) (applying LHWCA); where dissatisfied remedy appeals, 921(c), V); supra. To establish requisite causality between (alleged) 723) departure many risk nonrecovery loses. 90-91. But noted above, existence country thriving practice demonstrates can compensated for—so comes again And note Board construed governing permit consideration going unpaid. Risden 819, 824 (1980). 21 Finally, conclusory interested attorneys. lawyer, experience prior 1981, said obtaining 6; Tr. 206. Cf. Perhaps so; come close proving dried up supply 22 sum, remotely either retain inability concluding property law. 23 meant described "independent basis" violation, set forth follows: 24 "Congress conferred prescribed (the claims process) guarantee right, part counsel. is, therefore, deny 93. 25 seems adds nothing assertion besides being constitutionally (as earlier assumed), "remedy" Congress. If invoke Clause, denying statute. "independent"—or independent central proposition ability Our disposes Appeals' ground 26 27 reversed, remanded inconsistent 28 ordered. 29 concurring. unquestionably preventing overcharging beneficiaries. may, unreasonable For reasons my dissent 358-372, 3208-3216, (1985), I remain convinced pervasive consult agree 31 With regard colleagues' comments 696 add observation. carefully "whether, standards, nonjusticiable outset plaintiffs lacked sue," 612, 2043; thereafter address whether, circumstances entry state-court concrete injury parties examine justiciability later proceedings. follow 32 Court's judgment. BRENNAN joins II, 34 context action, governs successful claimant, 796, applied. reverse supporting assistance. Ante, 726. Nevertheless, write separately underscore limited nature holding. 35 Before proceeds merits litigation, discusses petitioners respondent). seek 719. am bewildered, discussion claimants. 720-721. presents live controversy, jurisdiction certiorari if, applied requirements, 2048-2049, rule announced recently examination courts lens principles completely irrelevant. extent extended treatment implies otherwise, precedent. 36 ASARCO, sought respondents, curiae argued should dismiss respondents satisfied requirements bringing suit district 620, 2047. held, requirements. Rather, "first invoking authority th[at] case," 624, 2049. 617-618, 2045-2046. 37 well-established "state bound adhere [even though] possess authority, absent exclusive jurisdiction, binding judicial decisions interpretations 2045. then reasoned respondents' determine satisfy logical course leaving intact. 620-621, ,S.Ct., 2047.1 undermine preclusive subsequent normally collateral-estoppel review. 621-622, forced ensure 622, 2048. concluded, dismissing courts. 38 clearly forecloses here satisfies importance raise parties, whereas taxpayers teachers association shown distinct, fairly traceable likely redressed requested relief. general principle exceptions principle, devised limit category (1982). Nothing applicable while not.2 Because invoked then, simply inapplicable Under pronouncement "[t]he ended adverse petitioners, constitutes kind cognizable courts." 618, 2046. nonenforcement directly 39 Turning merits, readily noted, negotiate complex regulatory responsible operator. 538, 539, 88 well documented. Standards 186 (1985) (statement Thomas Makowski) ("Through years, standards gotten rigorous sufficiency needed miner lung. stricter, became confusing, judges well"); 85 Robert T. Winston, Jr.) (describing developing award); Smith Newman, Basics Federal Litigation, W.Va.L.Rev. 763 (1981) (detailing intricate types medical case). 40 More significantly, highly adversarial. Attorneys operator actively oppose levels system. faces prospect paying significant awards, defend Hearings, Martin Sheinman). acknowledged Survivors (NARS), participation 'inevitably give[s] adversary cast.' 325, 3191 Wolff McDonnell, 418 570, 94 2963, 2981, 41 935 (1974)). qualitatively different Administration "is function degree informality solicitude claimant." NARS, 311, 3184. By specifically providing reasonable ed.)), crucial complex, adversarial 321, 3189 (Congress intended managed avoid attorneys). An unsophisticated desperately ill miner, unfamiliar concepts practices, severe disadvantage expert operators professional own. operates undoubtedly 42 Act, grounds assistance.3 today, way precludes future founded developed record. 43 emphasize observation structure 725-726. (Benefits contingency). identified absence premiums offset loss dearth adequately factors, appeals violative "reasonable" 725. alleges attorneys' allow challenged. allegations sparse concerns able suspicion stem suspicions justify striking duly enacted Government." concur today Appeals. Separate statement BRENNAN. 46 prudent resolve MARSHALL explains, ante, 728-732, arising Article III's core still inquires 'rest parties,' 720 (citations omitted), inquiry heretofore characterized "prudential" courts.1 "third-party claim" exception 'closely related person litigant's position claim.' n., quoting 500, 12, 2206, (1975). suggesting traditional standing" reformulated straight-forward substantive law: asserted, her stake status "private general" behalf stake. 47 suggestion coherent explanation now perceived confusing area doctrine.2 suggested recharacterization, ultimately persuasive, seem depart understanding,3 neither briefed nor here. requisites doctrine satisfied, 720-721, decide distinguish recharacterization.4 ** disagree MARSHALL's view inappropriate. 729-732. Whether particular "closely claim," Thus, fully entertain disputes qualify controversies questionable power, granting create destroy causes Haitian Refugee Center Gracey, 257 U.S.App.D.C. 367, 381-382, 809 794, 808-809, (1987). longstanding precedent ascertaining 954, 2845, (1984); Barrows Jackson, 346 249, 73 1031, 97 1586 (1953). possibility vacating dismissal, "clear effect" "would whenever adjudicate law, judgments parties." 2047, "a proper exercise authority. unacceptable paradox confirm lack interfere State's sovereign power rendered authority." 621, 1, option context. undisturbed. Indeed, deserved treatment, presumably distinguished (1984), ground, involved (again, below) parties. 2845-48. Notably, instead "which obviated inquiry." 623, 2, 2048, Contrary assertion, declining enable "to action." precluded result precisely requires. "right [a] (1975) (emphasis added), distinct claim—any action—exists all. "Third-party exactly expect name—a party's existing claim. cites predate ASARCO. novel actually supports applicability stated: "[T]he although lacking prudential rules brought court." 381, 808, (1987) Revere Massachusetts General Hospital, 463 239, 103 2979, 77 605 (1983)). Monaghan, Third Party Standing, 84 Colum.L.Rev. 277, 292 (1984). foreclose, application respondent, sense already allowed issued final issues. permits 'unnecessary issues,' assures "concrete presented." 955, 2846 Raines, 362 17, 22, 80 519, 523, 524 (1960)) (footnote omitted). resolution "unnecessary" favor. Revere, 243, 2982; 729-730. Moreover, concern controversy presented" direct, specific, review, [and that] met." surprised paucity facts about writ granted, aware presented indirectly implicated evident late intervention development extensive And, importantly, entire evaluated properly. place, dismissed improvidently soon oral argument manifestly insufficiency Fletcher, Structure 98 Yale L.J. 221, 243-247 (1988); 277 correctly notes that, observed similarity action" inquiry. 501, ("In instances [where litigants parties], found, effect, plaintiff"). itself, "rule self-governance exceptions." 509, 2210. Such language turn prudence exercising rather content also, 956, 2846, ("[T]here situations competing considerations outweigh rationale relaxed prudential-standing present"); Craig Boren, 429 190, 193, 451, 455, 50 397 (1976) ("[O]ur settled limitations jus tertii salutary 'rule self-restraint' "). natural consequence adopting approach—that aside presuming matter challenge—was expressly rejected (1983). explained "Supreme Judicial 2982. assuming approach ought sua sponte litigate challenge. indeed unsuccessfully below question. briefs argument.

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