Federal Circuits, 2nd Cir. (January 18, 1994)
Docket number: 93-7571
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Constitution of the United States (Annotated) - Section 8: Powers of Congress
U.S. Supreme Court - Maine v. Taylor, 477 U.S. 131 (1986)
U.S. Supreme Court - Vance v. Bradley, 440 U.S. 93 (1979)
U.S. Supreme Court - Nixon v. Administrator of General Services, 433 U.S. 425 (1977)
U.S. Supreme Court - New Orleans v. Dukes, 427 U.S. 297 <I>(per curiam)</I> (1976)
U.S. Court of Appeals for the 2nd Cir. - Valley Disposal, Inc., Palisades Landfill and Recycling Corporation; Robert C. Dowdell, Jr., Plaintiffs-Appellants, v. Central Vermont Solid Waste Management District; C.v. Landfill, Inc., Defendants-Appellees., 31 F.3d 89 (2nd Cir. 1994) Inc., Palisades Landfill and Recycling Corporation; Robert C. Dowdell, Jr., Plaintiffs-Appellants, v. Central Vermont Solid Waste Management District; C.v. Landfill, Inc., Defendants-Appellees.
U.S. Court of Appeals for the 1st Cir. - Stephen P. Medeiros, Plaintiff, Appellant, v. Frederick J. Vincent, Interim Director of the Rhode Island Department of Environmental Management, and Atlantic States Marine Fisheries Commission, Defendants, Appellees, and United States of America, Intervenor, Appellee., 431 F.3d 25 (1st Cir. 2005) Plaintiff, Appellant, v. Frederick J. Vincent, Interim Director of the Rhode Island Department of Environmental Management, and Atlantic States Marine Fisheries Commission, Defendants, Appellees, and United States of America, Intervenor, Appellee.
Leon Friedman, New York, NY (Erica Horwitz, Richard Ware Levitt, Nicholas Kaizer, Lefcourt & Dratel, of counsel), for plaintiffs-appellants.
Gregory J. Nolan, Assistant Attorney General, New York, NY (Robert Abrams, Attorney General, Andrea Green, Deputy Solicitor General, Leslie Allan, Assistant Attorney General, of counsel), for defendant-appellee.Before: OAKES, KEARSE and ALTIMARI, Circuit Judges.OAKES, Senior Circuit Judge:I. BACKGROUNDIn July 1990, New York amended its Environmental Conservation Law to prohibit anyone owning or operating or on board a vessel equipped with trawling nets from taking, landing, or possessing lobsters in Long Island Sound. N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2)(c) (McKinney Supp.1993) (the "Amendments"). The Amendments became effective on January 1, 1991.On April 4, 1991, the New York State Trawlers Association, Lauren Ridge, and Duncan Ridge1 (the "Trawlers") brought suit against Thomas C. Jorling, Commissioner of the New York State Department of Environmental Conservation. The Trawlers alleged that the Amendments deprived them of their rights under the Equal Protection and Due Process Clauses of the Fourteenth Amendment to the United States Constitution. The Trawlers also alleged that the Amendments violated the Constitution's Commerce and Bill of Attainder Clauses. To remedy these alleged deprivations, the Trawlers brought suit pursuant to 42 U.S.C. Sec . 1983 (1988 & Supp.1991) seeking temporary and permanent relief enjoining Jorling, as head of the Department of Environmental Conservation (the "DEC"), from enforcing the Amendments.On April 17, 1991, the United States District Court for the Eastern District of New York, Charles P. Sifton, Judge, denied the Trawlers' motion for a preliminary injunction. New York State Trawlers Ass'n v. Jorling, 764 F.Supp. 24 (E.D.N.Y.), aff'd, 940 F.2d 649 (2d Cir.1991). On May 7, 1993, the district court filed a Memorandum and Order granting Jorling's motion for summary judgment and dismissing the complaint. New York State Trawlers Ass'n v. Jorling, No. CV-91-1180 (E.D.N.Y. May 7, 1993) ("Order"). The Trawlers filed a timely notice of appeal on June 7, 1993. We now affirm.II. REGULATION OF LOBSTER FISHERIES IN LONG ISLAND SOUNDSection 13-0329 of New York's Environmental Conservation Law governs the taking of lobsters in New York waters. This section provides for both resident and non-resident permits to take lobsters. Resident and non-resident permits are further classified into commercial and non-commercial permits. N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2).Although traditionally caught with lobster pots, lobsters may also be caught with trawl nets dragged close to or along the bottom. In the past, it was not profitable to trawl specifically for lobsters. Instead, trawlers2 would trawl for finfish. Occasionally, however, a trawlers' net would inadvertently fall close to, or on, the bottom and consequently ensnare some lobsters.Prior to January 1, 1983, New York State permitted trawlers with lobster permits to keep and sell all the lobsters3 they caught while trawling for finfish. Gradually, however, the New York legislature became concerned that lobsters caught by trawls were suffering higher mortality rates than lobsters caught by pots or traps. Eventually, these concerns led the legislature to limit trawlers to 100 lobsters per day. N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2)(c) (McKinney 1984). This limit was set with the hope of discouraging trawling specifically for lobsters while allowing trawlers to keep lobsters that they might inadvertently catch. The legislature later became concerned, however, that this limit failed to discourage directed trawling for lobsters:Contrary to the letter and spirit of the law, some trawl boats are being fitted with equipment designed specifically to take lobsters. The Long Island Sound lobster stocks may be unable to support any significant increase in trawl catches.Scientific studies have shown that trawler activity in key lobster beds can significantly increase mortality and cull (damage) rates among lobsters. This is especially true during molting periods, when lobsters shed their shells to grow and are soft and vulnerable.Memorandum of Senator Lavalle and Assembly Member DiNapoli (undated). Finally, in July of 1990, the legislature amended N.Y.Envtl.Conserv.Law Sec. 13-0329(1) and (2)(c) to prohibit trawlers from taking, landing, or possessing lobsters altogether. The Amendments became effective January 1, 1991. This litigation ensued shortly thereafter.III. DISCUSSIONA. Standard of ReviewWe will affirm a grant of summary judgment only where de novo review of the record and evidence in a light most favorable to the non-moving party reveals that there exists no genuine issue of material fact. Viacom Int'l Inc. v. Icahn, 946 F.2d 998, 1000 (2d Cir.1991), cert. denied, --- U.S. ----, 112 S.Ct. 1244, 117 L.Ed.2d 477 (1992). We note that the existence of a factual dispute alone will not warrant reversal, however. We will reverse a grant of summary judgment only where the dispute is regarding a material fact and is "genuine." See Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 247-48, 106 S.Ct. 2505, 2509-10, 91 L.Ed.2d 202 (1986) ("the mere existence of some alleged factual dispute between the parties will not defeat an otherwise properly supported motion for summary judgment; the requirement is that there be no genuine issue of material fact") (emphasis in original). A dispute concerning a material fact is genuine only "if the evidence is such that a reasonable jury could return a verdict for the nonmoving party." Id. at 248, 106 S.Ct. at 2510; Lang v. Retirement Living Publishing Co., Inc., 949 F.2d 576, 580 (2d Cir.1991).B. Dormant Commerce ClauseThe Trawlers challenge the constitutionality of the Amendments under the so-called "dormant" or "negative" Commerce Clause. Trawlers' Brief at 23-32.The United States Constitution ascribes to Congress the power "[t]o regulate Commerce ... among the several States." U.S. Const. art. I, Sec. 8, cl. 3. Ascription of this power to Congress limits, by negative implication, the power of the States to interfere with interstate commerce. See, e.g., Fort Gratiot Sanitary Landfill, Inc. v. Michigan Dep't of Natural Resources, --- U.S. ----, ----, 112 S.Ct. 2019, 2023, 119 L.Ed.2d 139 (1992). Provided a state does not discriminate against non-residents, however, it may impose incidental burdens on interstate commerce when exercising its police power to promote safety or general welfare. See, e.g., Pike v. Bruce Church, Inc., 397 U.S. 137, 142, 90 S.Ct. 844, 847, 25 L.Ed.2d 174 (1970); Laurence Tribe, American Constitutional Law (2d ed. 1988) Secs. 6-3 to 6-5, 408 ("State regulation affecting interstate commerce will be upheld if (a) the regulation is rationally related to a legitimate state end, and (b) the regulatory burden imposed on interstate commerce, and any discrimination against it, are outweighed by the state interest in enforcing the regulation.") (citations omitted).Although Envtl.Conserv.Law Sec. 13-0239 differentiates between New York residents and non-residents for the purpose of issuing lobster permits, its prohibition of the possession or taking of lobsters by trawlers applies equally to resident and non-resident trawlers. In addition, nothing in Envtl.Conserv.Law Sec. 13-0329 requires non-resident trawlers to violate the law of another jurisdiction. Further, the Amendments neither advance protectionist interests nor shift burdens from New York to other states. We conclude that the statute regulates evenhandedly.4 We therefore determine first whether the regulation is reasonably related to a legitimate state end and second whether the burden on interstate commerce imposed by the regulation outweighs the state's interest in enforcing the regulation. The Supreme Court in Pike put it this way:Where the statute regulates evenhandedly to effectuate a legitimate local public interest, and its effects on interstate commerce are only incidental, it will be upheld unless the burden imposed on such commerce is clearly excessive in relation to the putative local benefits.Pike, 397 U.S. at 142, 90 S.Ct. at 847. Summary judgment is appropriate where no reasonable factfinder could find that the statute's "incidental burdens on interstate commerce" are "clearly excessive in relation to the local benefits." The "incidental burdens" are the burdens on interstate commerce that exceed the burdens on intrastate commerce. Minnesota v. Clover Leaf Creamery Co., 449 U.S. 456, 471-72, 101 S.Ct. 715, 727-28, 66 L.Ed.2d 659 (1981).The regulations at issue in this case are rationally related to advancing a legitimate state interest. The protection of the environment and conservation of natural resources--including marine resources are areas of "legitimate local concern." Id. at 471, 101 S.Ct. at 727. See Maine v. Taylor, 477 U.S. 131, 140, 106 S.Ct. 2440, 2448, 91 L.Ed.2d 110 (1986) (upholding facially discriminatory Maine statute prohibiting the importation of out-of-state baitfish); Southview Assocs., Ltd. v. Bongartz, 980 F.2d 84, 107-109 (2d Cir.1992), cert. denied, --- U.S. ----, 113 S.Ct. 1586, 123 L.Ed.2d 153 (1993). As Judge Sifton pointed out, the rationality of the legislation may be supported by ample evidence indicating that the mortality rate to lobsters--particularly to the younger ones--from trawling is greater than that occurring to lobsters in the pot fishery. Trawlers, 764 F.Supp. at 27. Even the study most favorable to the plaintiffs indicated that during certain months of the year, the damage and mortality rates of lobsters caught by trawl--particularly in so-called "directed" trawling operations--are significantly higher than the rates of those caught by trap. Order at 9. We are reminded, as was Judge Sifton, that "the judiciary may not sit as a superlegislature to judge the wisdom ... of legislative policy determinations." City of New Orleans v. Dukes, 427 U.S. 297, 303, 96 S.Ct. 2513, 2516, 49 L.Ed.2d 511 (1976).A reasonable factfinder could not find that the Amendments impose substantial or significant burdens on interstate commerce. The Trawlers argue that, under the Amendments, Connecticut trawlers with non-resident permits will be required to travel greater distances. Trawlers' Brief at 23-32. The Trawlers, however, fail to point to any evidence of actual hardship to Connecticut trawlers. Instead, the Trawlers rely on the affidavit of Connecticut fisherman Thomas MacGregor that presented hypothetical situations in which a Connecticut trawler might be burdened by the Amendments. MacGregor did not assert that he actually catches lobsters in Connecticut waters from which he cannot return directly to his home port without crossing New York waters. Indeed, there is no evidence that any Connecticut trawler actually catches lobsters in Connecticut waters that would require the trawler to cross New York waters in order to return directly to his or her home port. See MacGregor Aff. of Sept. 28, 1992, Joint Appendix at 524.Furthermore, it appears that if any burdens are imposed on Connecticut trawlers, they are similar to burdens that already exist under different aspects of Section 13-0329. Prior to the Amendments, for example, a Connecticut trawler was required to obtain a permit to fish for lobsters in New York waters. Presumably, a Connecticut trawler without a permit would have been subject to the same burden that the Trawlers argue a Connecticut trawler will now be subject to. Although Connecticut trawlers could ameliorate this burden in part by applying for a permit to take lobsters from New York waters, they could not avoid the burden completely. For example, although Connecticut trawlers could obtain a permit, the number of lobsters they could take or possess under the permit was limited to 100. Thus, a Connecticut trawler who possessed more than 100 lobsters would also be required to skirt New York waters.In addition, a reasonable factfinder could not have found that whatever incidental burdens exist were "clearly excessive" in relation to the local benefits. Even studies relied upon by the Trawlers showed that there is a significant difference between mortality rates amongst lobsters caught by trawl nets and lobsters caught by pots. The disparity between mortality rates is even greater during the molting season, when lobsters shed their shells. Given the small, if not non-existent, incidental burdens on interstate commerce and the significant local benefits, a reasonable factfinder could not have found that incidental burdens on interstate commerce were "clearly excessive" in relation to, or otherwise outweighed, the benefits of discouraging directed trawling for lobsters.C. Other Constitutional ChallengesThe Trawlers also challenge the Amendments as unconstitutional under the Equal Protection Clause, the Due Process Clause, and the Bill of Attainder Clause. Under each of these clauses, the Trawlers essentially argue that the Amendments do no more than favor one in-state economic group--the pot fishermen--over another--the trawl fishermen. We will address this argument with respect to each clause.1. Equal Protection ChallengeThe Trawlers argue that the Amendments discriminate against trawlers, depriving them of their right to equal protection of the laws. They support this argument with citation to United States Dep't of Agric. v. Moreno, 413 U.S. 528, 534, 93 S.Ct. 2821, 2825, 37 L.Ed.2d 782 (1973), and Smith v. Cahoon, 283 U.S. 553, 566-67, 51 S.Ct. 582, 586-87, 75 L.Ed. 1264 (1931).The creation of economic classifications by legislation is ordinarily entitled to substantial deference. As the Supreme Court has written, "[s]tates are accorded wide latitude in the regulation of their local economies under the police powers and rational distinctions may be made with substantially less than mathematical exactitude." Dukes, 427 U.S. at 303, 96 S.Ct. at 2516; see also FCC v. Beach Communications, Inc., --- U.S. ----, ----, 113 S.Ct. 2096, 2102, 124 L.Ed.2d 211 (1993) ("a legislative choice is not subject to courtroom fact-finding and may be based on rational speculation unsupported by evidence or empirical data"); Tribe, supra at Sec. 16-2, 1441 (economic regulation is constitutional so long as the purpose behind the regulation is legitimate). Indeed, such legislation is entitled to "almost the equivalent of a strong presumption of constitutionality." Dieffenbach v. Attorney General of Vermont, 604 F.2d 187, 195 (2d Cir.1979); see also Image Carrier Corp. v. Beame, 567 F.2d 1197, 1202-03 (2d Cir.1977), cert. denied,Try vLex for FREE for 3 days
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