SUPREME COURT OF THE UNITED STATES
_________________
No. 18–280
_________________
NEW YORK STATE RIFLE & PISTOL ASSOCIATION,
INC., et al., PETITIONERS
v. CITY OF NEW YORK, NEW
YORK, et al.
on writ of certiorari to the united states
court of appeals for the second circuit
[April 27, 2020]
Justice Alito, with whom Justice Gorsuch
joins, and with whom Justice Thomas joins except for Part IV–B,
dissenting.
By incorrectly dismissing this case as moot, the
Court permits our docket to be manipulated in a way that should not
be countenanced. Twelve years ago in
District of Columbia v.
Heller,
554 U.S.
570 (2008), we held that the Second Amendment protects the
right of ordinary Americans to keep and bear arms. Two years later,
our decision in
McDonald v.
Chicago,
561 U.S.
742 (2010), established that this right is fully applicable to
the States. Since then, the lower courts have decided numerous
cases involving Second Amendment challenges to a variety of
federal, state, and local laws. Most have failed. We have been
asked to review many of these decisions, but until this case, we
denied all such requests.
On January 22, 2019, we granted review to
consider the constitutionality of a New York City ordinance that
burdened the right recognized in
Heller. Among other things,
the ordinance prohibited law-abiding New Yorkers with a license to
keep a handgun in the home (a “premises license”) from taking that
weapon to a firing range outside the City. Instead, premises
licensees wishing to gain or maintain the ability to use their
weapons safely were limited to the seven firing ranges in the City,
all but one of which were largely restricted to members and their
guests.
In the District Court and the Court of Appeals,
the City vigorously and successfully defended the constitutionality
of its ordinance, and the law was upheld based on what we are told
is the framework for reviewing Second Amendment claims that has
been uniformly adopted by the Courts of Appeals.[
1] One might have thought that the City,
having convinced the lower courts that its law was consistent with
Heller, would have been willing to defend its victory in
this Court. But once we granted certiorari, both the City and the
State of New York sprang into action to prevent us from deciding
this case. Although the City had previously insisted that its
ordinance served important public safety purposes, our grant of
review apparently led to an epiphany of sorts, and the City quickly
changed its ordinance. And for good measure the State enacted a law
making the old New York City ordinance illegal.
Thereafter, the City and
amici supporting
its position strove to have this case thrown out without briefing
or argument. The City moved for dismissal “as soon as is reasonably
practicable” on the ground that it had “no legal reason to file a
brief.” Suggestion of Mootness 1. When we refused to jettison the
case at that early stage, the City submitted a brief but
“stress[ed] that [its] true position [was] that it ha[d] no view at
all regarding the constitutional questions presented” and that it
was “offer[ing] a defense of the . . . former rul[e] in
the spirit of something a Court-appointed
amicus curiae
might do.” Brief for Respondents 2.
A prominent brief supporting the City went
further. Five United States Senators, four of whom are members of
the bar of this Court, filed a brief insisting that the case be
dismissed. If the Court did not do so, they intimated, the public
would realize that the Court is “motivated mainly by politics,
rather than by adherence to the law,” and the Court would face the
possibility of legislative reprisal. Brief for Sen. Sheldon
Whitehouse et al. as
Amici Curiae 2–3, 18 (internal
quotation marks omitted).
Regrettably, the Court now dismisses the case as
moot. If the Court were right on the law, I would of course approve
that disposition. Under the Constitution, our authority is limited
to deciding actual cases or controversies, and if this were no
longer a live controversy—that is, if it were now moot—we would be
compelled to dismiss. But if a case is on our docket and we have
jurisdiction, we have an obligation to decide it. As Chief Justice
Marshall wrote for the Court in
Cohens v.
Virginia, 6
Wheat. 264, 404 (1821), “[w]e have no more right to decline the
exercise of jurisdiction which is given, than to usurp that which
is not given.”
Thus, in this case, we must apply the
well-established standards for determining whether a case is moot,
and under those standards, we still have a live case before us. It
is certainly true that the new City ordinance and the new State law
give petitioners
most of what they sought, but that is not
the test for mootness. Instead, “a case ‘becomes moot only when it
is
impossible for a court to grant
any effectual relief
whatever to the prevailing party.’ ”
Chafin v.
Chafin,
568 U.S.
165, 172 (2013) (emphasis added). “ ‘As long as the
parties have a concrete interest,
however small, in the
outcome of the litigation, the case is not moot.’ ”
Ibid. (emphasis added).
Respondents have failed to meet this “heavy
burden.”
Adarand Constructors,
Inc. v.
Slater,
528 U.S.
216, 222 (2000) (
per curiam) (internal quotation
marks omitted). This is so for two reasons. First, the changes in
City and State law do not provide petitioners with all the
injunctive relief they sought. Second, if we reversed on the
merits, the District Court on remand could award damages to remedy
the constitutional violation that petitioners suffered.
I
A
1
New York State has strict laws governing the
possession of firearms. With only a few exceptions, possession
without a license is punishable by imprisonment and a fine.
N. Y. Penal Law Ann. §§60.01(3), 70.15, 265.01–265.04,
265.20(a)(3) (West Cum. Supp. 2020). Local authorities administer
the licensing program, §400.00(3)(a), and in New York City, this is
done by the New York City Police Department’s (NYPD’s) License
Division. See 38 N. Y. C. R. R. §5–01
et seq.
(2020); N. Y. Penal Law Ann. §265.00(10); N. Y. C.
Admin. Code §10–131 (2020).
New York State law contemplates two primary
forms of handgun license—a premises license, which allows the
licensee to keep the registered handgun at a home or business, and
a carry license, which permits the licensee to carry a concealed
handgun outside the home. N. Y. Penal Law Ann. §§400.00(2)(a),
(b), (f ). In this case, only premises licenses are at
issue.
State law imposes an exacting standard for
obtaining a premises license, and the NYPD License Division
subjects applicants to rigorous vetting. Licenses may be issued
only if, among other things, an applicant is “of good moral
character” and “no good cause exists for the denial of the
license.” §§400.00(1)(b), (n); see also App. 95–109 (“Instructions
to Handgun License Applicants”) (capitalization omitted).
New York City residents must submit their
applications in-person at One Police Plaza in Manhattan. An
applicant must pay a fee of $431.50; must provide proof of age,
citizenship, and residence; and must produce an original Social
Security card.
Id., at 95–96, 98. A completed application
must specify the particular handgun that the applicant wishes to
possess and the address for which the license is sought. It must
list all the applicant’s residences and places of employment for
the past five years.
Id., at 99–100, 104–105. An applicant
must answer questions about past arrests, summonses, indictments,
convictions, and civil orders, and must respond to probing
questions about past drug use, subpoenas and testimony,
unsuccessful applications for civil service positions, military
service, mental illness, and physical conditions (such as
“Epilepsy,” “Diabetes,” or “any Nervous Disorder”) that could, in
the judgment of the License Division, interfere with the use of a
handgun.
Id., at 96–97, 101–102. The applicant must explain
where and how he or she will safeguard the handgun when not in use,
and furnish the name and address of a New York State resident who
will take custody of the handgun in the event of the applicant’s
death or disability.
Id., at 104.
And these application requirements are only the
beginning. The submission of an application triggers a
“ ‘rigorous’ ” police investigation “into the applicant’s
mental health history, criminal history, [and] moral character.”
Kachalsky v.
County of Westchester, 701 F.3d 81, 87
(CA2 2012). A licensing officer is required by law to review mental
health records, investigate the truthfulness of the statements in
the application, and forward the applicant’s fingerprints to the
New York State Division of Criminal Justice Services and the
Federal Bureau of Investigation to determine if the applicant has a
criminal record. N. Y. Penal Law Ann. §§400.00(1), (4). Under
City law, grounds for denial include, among other things, any
arrest, indictment, or conviction for a crime or violation (with
the exception of minor traffic violations) in any federal, state,
or local jurisdiction; a dishonorable discharge from the military;
alcoholism, drug use, or mental illness; “a poor driving history”;
failure to pay debts, including child support and taxes; and
untruthfulness in the application. 38 N. Y. C. R. R.
§5–10. The process also includes an in-person interview, during
which the License Division may request additional paperwork. App.
100.
It takes the License Division approximately six
months to process applications, §5–07(a), and during this time, the
applicant cannot lawfully possess a handgun in the home, §5–09.
When the license issues and the applicant wishes to obtain it, he
or she must appear in person at police headquarters for at least
the third time. §5–07(b). At present, we are told, approximately
40,000 City residents (representing about 1.29% of the households
in the City)[
2] have been
issued handgun licenses.
The NYPD may revoke a premises license at any
time, §5–07(d), including for such things as laminating the
license, §5–22(a)(4). And a license expires after three years, so a
licensee who wants to continue to possess a gun in the home after
that time must file a renewal application. §5–28(a).
2
The ordinance that petitioners challenged in
this case was adopted in 2001. Before then, the NYPD issued both
premises licenses and so-called “target licenses,” which allowed
licensees to transport their handguns to specified, preapproved
ranges outside of the City. See App. to Pet. for Cert. 90–92.
Target licenses were eliminated in 2001, and from that time until
the City’s post-certiorari change of heart, premises licensees
could practice with their guns only if: they traveled “directly to
and from an
authorized small arms range/shooting club”;
their guns were unloaded and secured in a locked container; and any
ammunition was “carried separately.” §5–23(a)(3) (in effect prior
to July 21, 2019) (emphasis added);
id., at 88. And—what is
most important for present purposes—the only “authorized” ranges or
clubs were ones “located in New York City.” App. 50, 63. At the
relevant time, there were only seven such ranges in the entire
City: two in Staten Island, two in Queens, one in Brooklyn, one in
Manhattan, and one in the Bronx. See
id., at 92–93. All but
one generally admitted only members and their guests, and the only
range open to the public was closed for a time during the pendency
of the case below.
B
1
In 2013, three individuals and one
organization representing New York gun owners brought suit under
Rev. Stat. §1979, 42 U. S. C. §1983, against the City and
the NYPD License Division, contending that the restrictive premises
license scheme, 38 N. Y. C. R. R. §5–23, violated their
rights under the Second Amendment and other provisions of the
Constitution.
One of the individual petitioners, Romolo
Colantone, has held a New York City firearms license since 1979.
App. 28–29, 51. Colantone currently has a premises license for his
residence and wishes to take his handgun to ranges and competitions
outside the City and to his second home in Hancock, New York. He
refrained from doing so because of the ordinance prohibiting such
travel.
Id., at 32, 53–54. For example, Colantone registered
to participate in the 2012 World Class Steel Northeast Regional
Championship in Old Bridge, New Jersey—about 20 miles from his home
in the City. Plaintiffs’ Memorandum in Support of Cross-Motion for
Summary Judgt. in No. 13–cv–2115 (SDNY), Doc. No. 44 (Plaintiffs’
Memo). But after the hosts of that competition alerted him that his
premises license did not allow him to transport his handgun to New
Jersey—and after Inspector Andrew Lunetta, the commanding officer
of the NYPD License Division, confirmed this—Colantone pulled out
of the competition. App. 32, 49–50, 55.
Plaintiff Efrain Alvarez has had a firearms
license for approximately 30 years, and plaintiff Jose Anthony
Irizarry has been licensed for 15 years. Both men would like to
take their handguns to ranges and competitions outside the City,
but they have not done so because of the same ordinance. See
id., at 29, 32–33. After the hosts of the previously noted
competition in New Jersey advised them that their New York City
premises licenses barred them from taking their handguns outside
the City, they both decided not to attend.
Id., at 32–33.
For the same reason, Alvarez also did not participate in the
International Defensive Pistol Association Postal Matches in
Simsbury, Connecticut.
Ibid. All three individual
petitioners aver that they regularly traveled outside the City to
ranges and championships before learning of the restriction imposed
by §5–23.
Id., at 32–33.
Petitioners’ amended complaint maintained that
the Second Amendment requires “
unrestricted access to gun
ranges and shooting events in order to practice and perfect safe
gun handling skills.”
Id., at 36 (emphasis added). The
complaint asserts that practice is necessary for “the safe and
responsible use of firearms for . . . self-defense, and
the defense of one’s home.”
Id., at 33. And a New York City
ordinance backs this up, providing that a licensee “should endeavor
to engage in periodic handgun practice at an authorized small arms
range/shooting club.” §5–22(a)(14). According to the complaint, the
City, by limiting licensees like petitioners to the seven ranges in
the City, imposed a serious burden on the exercise of their Second
Amendment right. App. 36.
The amended complaint’s prayer for relief sought
an injunction against enforcement of the travel restriction, as
well as attorney’s fees, costs of suit, declaratory relief
. . . and “
[a]ny such further relief as the [c]ourt
deems just and proper.”
Id., at 47–48 (emphasis
added).
2
The City vigorously defended its law. The
ordinance did not impinge on petitioners’ Second Amendment right,
the City told the lower courts, and even if it did, the law
survived heightened scrutiny. That was so, the City maintained,
because the travel restrictions were “necessary to protect the
public safety insofar as the transport of firearms outside the home
potentially endangers the public.” City of New York’s Memorandum in
Support of Cross-Motion for Summary Judgt. & Opposition to
Plaintiffs’ Motion for Preliminary Injunction in No. 13–cv–2115,
Doc. No. 36, p. 10.
To support this assertion, the City relied on
the declaration of Inspector Lunetta, which attempted to explain
why the restrictions were “necessary to address . . .
public safety concerns.” App. 76. Lunetta justified the law in
three ways. First, he maintained that the restriction on
out-of-city transport promoted public safety by causing “premises
license holders [to] bring their firearms into the public domain
less frequently.”
Id., at 78; see also
id., at
77.
Second, he claimed that the transport
restriction helped to prevent the gun violence that might occur if
a licensee became involved in an altercation while on the way to an
out-of-city range or competition. Lunetta asserted that licensees
are “as susceptible as anyone else” to “stress-inducing
circumstances” that can lead to violence.
Ibid.
Finally, he claimed that the travel restriction
made it simpler for a patrol officer to check whether the holder of
a premises license who is found in possession of a gun outside the
home is really headed for a range or is simply using that as a
pretext for carrying a gun.
Id., at 78–79. He declared that
“there were several reported cases where [holders of premises or
target licenses] were charged with criminal possession of a weapon
when found with their firearms while not en route to a range.”
Id., at 89. He cited five cases,
id., at 88–89, but
not one of the opinions indicates that the licensee claimed to be
headed to a range or competition outside the City.[
3]
The District Court denied petitioners’ motions
for preliminary injunction and summary judgment and granted the
City’s cross-motion for summary judgment. 86 F. Supp. 3d 249,
261–263 (2015). The District Court deemed any burden on
petitioners’ Second Amendment right “minimal or, at most, modest.”
Id., at 260. And the court credited the City’s public safety
rationale, citing the Lunetta declaration approvingly and
discussing the importance of the travel restrictions in limiting
the movement of licensees with their handguns. See
id., at
262.
The Second Circuit affirmed. The panel derided
the ordinance’s burdens on petitioners’ Second Amendment right as
“trivial” and expressly credited Lunetta’s explanation of the
public safety purposes served by the travel restriction. 883 F.3d
45, 63–64 (2018).
When petitioners filed a petition for
certiorari, the City opposed review, contending, among other
things, that the travel restriction promoted public safety, as
demonstrated by Lunetta’s declaration (which the City cited six
times). Brief in Opposition 9, 21–23. We nevertheless granted
review on January 22, 2019, and this, as noted, apparently led the
City to reconsider whether the travel restriction was actually
needed for public safety purposes.
C
On April 12, the NYPD published a proposed
amendment to the travel restriction that was admittedly spurred at
least in part by our grant of review. See Motion to Hold Briefing
Schedule in Abeyance in No. 18–280, p. 3. Under this
amendment, holders of premises licenses would be allowed to take
their guns to ranges, competitions, and second homes outside the
City provided that the licensees traveled “directly” between their
residences and the permitted destinations. After a period of notice
and comment, the proposed amendment was adopted on June 21 and took
effect on July 21. Suggestion of Mootness 5–6.
Our grant of certiorari also prompted action by
New York State. With the support of the City, Tr. of Oral Arg. 46,
the Legislature enacted a new law abrogating any local law, rule,
or regulation that prevented the holder of a premises license from
transporting a licensed handgun “directly to or from” an authorized
range, competition, or second home. N. Y. Penal Law Ann.
§400.00(6) (as in effect July 16, 2019).
Shortly after the new State law took effect, the
City filed a Suggestion of Mootness, asking us to vacate the
decision below and to remand with instructions to dismiss. The City
urged us to rule on this matter expeditiously so that it would not
be required to file a brief defending its prior law. Suggestion of
Mootness 1. When we refused to vacate at that stage, the City
protested that briefing the merits “require[d] the City to do what
Article III’s case-or-controversy requirement is designed to avoid:
engage in litigation regarding the constitutionality of a law that
no longer exists” and that the City would not reenact. Brief for
Respondents 1
. When the case was argued, counsel for the
City was asked whether the repeal of the travel restriction had
made the City any less safe, and his unequivocal answer was no. Tr.
of Oral Arg. 52.
II
The Court vacates the judgment of the Court of
Appeals,
apparently on the ground that this case is now
moot. (Other than mootness, no other basis for vacating comes to
mind, and therefore I proceed on that assumption.) And if that is
the reason for what the Court has done, the Court is wrong. This
case is not moot.
Article III, §2 of the Constitution limits the
jurisdiction of the federal courts to “Cases” and “Controversies,”
and as a result, we may not “ ‘decide questions that cannot
affect the rights of litigants in the case before [us].’ ”
Chafin, 568 U. S., at 172. Nor may we advise
“ ‘what the law would be upon a hypothetical state of
facts.’ ”
Ibid. This means that the dispute between the
parties in a case must remain alive until its ultimate disposition.
If a live controversy ceases to exist—
i.e., if a case
becomes moot—then we have no jurisdiction to proceed. But in order
for this to happen, a case must really be dead, and as noted, that
occurs only “ ‘when it is impossible for a court to grant any
effectual relief whatever to the prevailing party.’ ”
Ibid. (quoting
Knox v.
Service
Employees,
567
U.S. 298, 307 (2012)). “ ‘[A]s long as the parties have a
concrete interest, however small, in the outcome of the litigation,
the case is not moot.’ ”
Chafin, 568 U. S., at 172
(quoting
Knox, 567 U. S., at 307–308)
. Thus, to
establish mootness, a “demanding standard” must be met.
Mission
Product Holdings,
Inc. v.
Tempnology,
LLC,
587 U. S. ___, ___ (2019) (slip op., at 6).
We have been particularly wary of attempts by
parties to manufacture mootness in order to evade review. See
Knox, 567 U. S., at 307; accord,
Northeastern Fla.
Chapter,
Associated Gen. Contractors of America v.
Jacksonville,
508 U.S.
656, 661 (1993). And it is black-letter law that we have a
“virtually unflagging” obligation to exercise our jurisdiction.
Colorado River Water Conservation Dist. v.
United
States,
424 U.S.
800, 817 (1976).
In this case, the amended City ordinance and the
new State law gave petitioners most of what they sought in their
complaint, but the new laws did not give them complete relief. It
is entirely possible for them to obtain more relief, and therefore
this case is not moot. This is so for the following reasons.
A
First, this case is not moot because the
amended City ordinance and new State law do not give petitioners
all the
prospective relief they seek. Petitioners asserted
in their complaint that the Second Amendment guarantees them, as
holders of premises licenses, “unrestricted access” to ranges,
competitions, and second homes outside of New York City, App. 36,
and the new laws do not give them that.[
4]
The new City ordinance has limitations that
petitioners claim are unconstitutional, namely, that a trip outside
the City must be “direc[t]” and travel within the City must be
“continuous and uninterrupted.” 38 N. Y. C. R. R.
§§5–23(a)(3), (a)(7). Exactly what these restrictions mean is not
clear from the face of the rule, and the City has done little to
clarify their reach. At argument, counsel told us that the new rule
allows “bathroom breaks,” “coffee stops,” and any other “reasonably
necessary stops in the course of travel.” Tr. of Oral Arg. 36, 64.
But the meaning of a “reasonably necessary” stop is hardly clear.
What about a stop to buy groceries just before coming home? Or a
stop to pick up a friend who also wants to practice at a range
outside the City? Or a quick visit to a sick relative or friend who
lives near a range? The City does not know the answer to such
questions. See,
e.g.,
id., at 65–66.
Based on all this, we are left with no clear
idea where the City draws the line, and the situation is further
complicated by the overlay of State law. The new State law appears
to prevent the City from penalizing any “direc[t]” trip to a range
or competition outside the City, but the State law does not define
that limitation. The petitioners wanted to enter competitions in
upstate New York more than a five hour drive from the City. Could
they stop along the way? And if so, for how long? The State has not
explained its understanding of this limitation, and in any event,
prosecutorial decisions in New York are generally made by the
State’s 67 elected district attorneys. See
Haggerty v.
Himelein, 221 App. Div. 2d 138, 144–145, 644 N.Y.S.2d
934, 940 (1996). The bottom line is that petitioners, who sought
“unrestricted access” to out-of-city ranges and competitions, are
still subject to restrictions of undetermined meaning.
These restrictions may not seem very important,
but that is beside the point for purposes of mootness. Nor does it
matter whether, in the end, those restrictions would be found to
violate the Second Amendment. All that matters for present purposes
is that the City still withholds from petitioners something that
they have claimed from the beginning is their constitutional right.
It follows that the case is not moot. It is as simple as that.
The situation here resembles that in
Knox,
567 U.S.
298. The issue in that case was whether a public sector union
had provided nonmembers the sort of notice that our case law
required before they could be forced to pay a fee to subsidize
certain union activities. We granted certiorari to review the Ninth
Circuit’s holding that the notice that the union had provided was
sufficient, but before we could decide the case, the union sent out
a new notice and moved to dismiss the case as moot. The employees
objected that the new notice was inadequate, and we refused to
dismiss. In so doing, we did not opine on the adequacy of the new
notice but simply held that the case was not moot because “there
[was] still a live controversy as to the adequacy” of the notice.
Id., at 307. Although the new notice might have given the
nonmembers most of what they sought, they still possessed “ ‘a
concrete interest, however small, in the outcome of the
litigation.’ ”
Id., at 307–308. And that was
enough.
The situation here is essentially the same.
Petitioners got most, but not all, of the prospective relief they
wanted, and that means that the case is not dead.
B
The case is not moot for a separate and
independent reason: If this Court were to hold, as petitioners
request and as I believe we should, that 38 N. Y. C. R.
R. §5–23 violated petitioners’ Second Amendment right, the District
Court on remand could (and probably should) award damages. See
Mission Product Holdings, 587 U. S., at ___.
Petitioners brought their claims under 42 U. S. C. §1983,
which permits the recovery of damages. See
Monell v.
New
York City Dept. of Social Servs.,
436 U.S.
658, 695–701 (1978). And while the amended complaint does not
expressly seek damages, it is enough that it requests “[a]ny other
such further relief as the [c]ourt deems just and proper.” App. 48.
Under modern pleading standards, that suffices.
The Federal Rules of Civil Procedure provide
that a “final judgment should grant the relief to which each party
is entitled,
even if the party has not demanded that relief in
its pleadings.” Rule 54(c) (emphasis added); see also 10 C.
Wright, A. Miller, & M. Kane, Federal Practice & Procedure
§§2662, 2664 (4th ed. 2014) (Wright & Miller).[
5] Courts have refused to award relief
outside the pleadings only when that would somehow prejudice the
defendant, such as when the defendant did not have an opportunity
to contest the basis for that relief. See
Albemarle Paper
Co. v.
Moody,
422 U.S.
405, 424 (1975);
United States v.
Marin, 651 F.2d
24, 30 (CA1 1981); 10 Wright & Miller §2664. Otherwise, “a
party should experience little difficulty in securing a remedy
other than that demanded in the pleadings as long as the party
shows a right to it.”
Id., §2662, p. 168. Here, that
could include damages.
1
At a minimum, if petitioners succeeded on
their challenge to the travel restrictions, they would be eligible
for nominal damages. When a plaintiff ’s constitutional rights
have been violated, nominal damages may be awarded without proof of
any additional injury. See
Carey v.
Piphus,
435 U.S.
247 (1978);
Memphis Community School Dist. v.
Stachura,
477 U.S.
299 (1986). Nominal damages are “the appropriate means of
vindicating rights whose deprivation has not caused actual,
provable injury.”
Id., at 308, n. 11 (internal
quotation marks omitted); see also
Carey, 435 U. S., at
266. And they are particularly important in vindicating
constitutional interests. See
Riverside v.
Rivera,
477 U.S.
561, 574 (1986) (plurality opinion). Consequently, courts
routinely award nominal damages for constitutional violations. See,
e.g.,
Stoedter v.
Gates, 704 Fed. Appx. 748,
762 (CA10 2017) ( Fourth Amendment);
Klein v.
Laguna
Beach, 810 F.3d 693, 697 (CA9 2016) (free speech);
Project
Vote/Voting for America,
Inc. v.
Dickerson, 444
Fed. Appx. 660, 661 (CA4 2011) (
per curiam) (free
speech);
Price v.
Charlotte,
93 F.3d 1241,
1257 (CA4 1996) (equal protection). And it is widely recognized
that a claim for nominal damages precludes mootness. See 13C C.
Wright, A. Miller, & E. Cooper, Federal Practice and Procedure
§3533.3, n. 47 (3d ed. Supp. 2019) (collecting cases); see
also,
e.g.,
Central Radio Co. v.
Norfolk, 811
F.3d 625, 631–632 (CA4 2016);
Morgan v.
Plano Independent
School Dist., 589 F.3d 740, 748, n. 32 (CA5 2009);
Bernhardt v.
County of Los Angeles,
279 F.3d 862, 872 (CA9 2002);
Amato v.
Saratoga
Springs,
170 F.3d 311, 317 (CA2 1999) (Sand, J., joined by Sotomayor,
J.);
Committee for First Amendment v.
Campbell, 962
F.2d 1517, 1526–1527 (CA10 1992);
Henson v.
Honor
Committee of U. Va., 719 F.2d 69, 72, n. 5 (CA4
1983).[
6]
2
It is even possible that one or more of the
petitioners may be eligible for compensatory damages. To get such
relief, they would of course be required to show that they suffered
an “actual injury.” See
Carey, 435 U. S., at 266; D.
Dobbs & C. Roberts, Law of Remedies §7.4(1), p. 660 (3d
ed. 2018). But petitioners may be able to make such a showing. As
discussed above, the failure to include in their complaint specific
factual allegations of actual injury would not preclude such
recovery.[
7] See Fed. Rule Civ.
Proc. 54(c). Nor were petitioners obligated to provide information
supporting actual injury in opposing the City’s motion for summary
judgment.
If we were to reverse the judgment below and
hold the City’s old rule unconstitutional, it would be appropriate
to remand the case for proceedings on the question of remedies. We
have frequently done this when we reverse a judgment that was
entered against the plaintiff on liability grounds. See,
e.g.,
Mission Product Holdings, 587 U. S., at
___, ___ (deeming case live due to claim for damages, reversing
judgment against petitioner, and remanding for further
proceedings);
Parents Involved in Community Schools v.
Seattle School Dist. No. 1,
551 U.S.
701, 720, 748 (2007) (holding case live due in part to damages
claim in complaint, reversing judgment against petitioners, and
remanding for further proceedings);
Firefighters v.
Stotts,
467 U.S.
561, 583 (1984) (holding case live due to damages caused by
lower court injunction and reversing);
Powell v.
McCormack,
395 U.S.
486, 493, 550 (1969) (remanding for award of unpaid
congressional salary); cf.,
e.g.,
Richmond v.
J.
A. Croson Co.,
488 U.S.
469, 478, n. 1 (1989) (holding that expiration of
challenged ordinance did not moot dispute over whether defendant’s
action was “unlawful and thus entitle[d] appellee to damages”).
With this is mind, the possibility of actual
damages cannot be ruled out. One or more of the petitioners could
seek compensation for out-of-pocket expenses, such as membership
fees at in-city ranges. The current record shows that at least one
of the petitioners is a member of a range in the City. App. 93–94.
In addition, a petitioner may be entitled to compensation for
expenses incurred in registering for out-of-city competitions from
which he was compelled to withdraw. The record shows that one
petitioner signed up for such a competition but had to pull out as
a result of the City ordinance.
Id., at 32, 55. Petitioners
could also seek compensation for any intangible but nevertheless
real and personal injuries that they suffered due to their
inability to attend shooting competitions, to practice at
out-of-city ranges, or to take their licensed handguns to second
homes. Noneconomic damages such as loss of enjoyment are available
in §1983 litigation. See
Stachura, 477 U. S., at
306–307;
Carey, 435 U. S., at 260–264; Dobbs, Law of
Remedies §7.4(1), at 660, §8.1(4), at 676; cf. 4 F. Harper, F.
James, & O. Gray, Torts §25.10A (3d ed. 2007) (surveying loss
of enjoyment awards). Among other things, depriving a licensee of
the opportunity to obtain the benefits of competing and perhaps
obtaining recognition at a well-known competition may cause a real
loss. Lower courts have affirmed awards of compensatory damages for
similar kinds of injuries resulting from constitutional violations.
See Dobbs, Law of Remedies, at 660.[
8] Petitioners could introduce evidence on remand to show
such loss.
For purposes of determining whether this case is
moot, the question is not whether petitioners would actually
succeed in obtaining such damages or whether their loss was
substantial. If there is a possibility of obtaining damages in any
amount, the case is not moot.
3
One final point about damages must be
addressed. We have warned in dicta that a claim of damages,
“asserted solely to avoid otherwise certain mootness, [bears] close
inspection.”
Arizonans for Official English v.
Arizona,
520 U.S.
43, 71 (1997). But if, after close inspection, we conclude that
the stringent test for mootness is not met, we have no authority to
dismiss on that ground.
Nothing in
Arizonans for Official English
suggests otherwise. In that case, the plaintiff, who was an
employee of the State of Arizona when she filed her complaint, sued
the State under §1983, claiming that a state constitutional
amendment declaring English the official language of the State
unconstitutionally prevented her from using Spanish to perform her
job. Her requests for declaratory and injunctive relief became moot
when she left state employment for the private sector, and we held
that her request for nominal damages from the State did not save
her case from mootness since a State may not be sued under §1983.
520 U. S., at 67–69, 71. The situation here is different
because nothing blocks an award of nominal damages from a
city.[
9]
C
Relief would be particularly appropriate here
because the City’s litigation strategy caused petitioners to incur
what are surely very substantial attorney’s fees in challenging the
constitutionality of a City ordinance that the City went to great
lengths to defend.[
10] Of
course, a claim for attorney’s fees is not alone sufficient to
preserve a live controversy.
Lewis v.
Continental Bank
Corp.,
494
U.S. 472, 480 (1990). But where a live controversy remains, a
defendant who would otherwise be liable for attorney’s fees should
not be able to wiggle out on the basis of a spurious claim of
mootness.
If a §1983 plaintiff achieves
any success on
the merits, even an award of nominal damages, the plaintiff is
a prevailing party and is eligible for attorney’s fees under 42
U. S. C. §1988. See
Buckhannon Board & Care
Home,
Inc. v.
West Virginia Dept. of Health and Human
Resources,
532 U.S.
598, 603 (2001). For this reason, were the Court to exercise
jurisdiction in this case and rule for petitioners, they would be
eligible for attorney’s fees. See
Farrar v.
Hobby,
506 U.S.
103, 109 (1992).
On the other hand, dismissing the case as moot
means that petitioners are stuck with the attorney’s fees they
incurred in challenging a rule that the City ultimately
abandoned—and which it now admits was not needed for public safety.
That is so because “[a] defendant’s voluntary change in conduct,
although perhaps accomplishing what the plaintiff sought to achieve
by the lawsuit, lacks the necessary
judicial
imprimatur on the change.”
Buckhannon, 532 U. S., at 605.
Section 1988 attorney’s fees are an important
component of civil rights enforcement. See
id., at 635–638
(Ginsburg, J., dissenting). The prospect of an award of attorney’s
fees ensures that “private attorneys general” can enforce the civil
rights laws through civil litigation, even if they “ ‘cannot
afford legal counsel.’ ”
Id., at 635–636.
Here, the City fought petitioners tooth and nail
in the District Court and the Court of Appeals, insisting that its
old ordinance served important public safety purposes. When
petitioners sought review in this Court, the City opposed
certiorari on the same ground. But once we granted review, the City
essentially attempted to impose a unilateral settlement that
deprived petitioners of attorney’s fees. And those fees would
likely be substantial. They would reflect five years of intensive
litigation—everything from the drafting of the complaint, through
multiple rounds of District Court motion practice, to appellate
review, and proceedings in this Court.
III
The
per curiam provides no sound reason
for holding that this case is moot. The
per curiam states
that the City’s current rule gave petitioners “the precise relief
[they] requested” in their prayer for relief,
ante, at 1,
but that is not so. Petitioners’ prayer for relief asks the court
to enjoin 38 N. Y. C. R. R. §5–23 insofar as it
“prohibit[s]” travel outside the City to ranges, competitions, and
second homes. App. 48. The new rule’s conditions unmistakably
continue to prohibit some travel outside the City to those
destinations. For this reason, petitioners have not obtained the
“unrestricted access” that, they have always maintained, the Second
Amendment guarantees.
Id., at 36. The
per curiam
implies that the current rule, as interpreted at oral argument by
counsel for the City, gives petitioners everything that they now
seek,
ante, at 1, but that also is not true. Petitioners
still claim the right to “unrestricted access” and counsel’s
off-the-cuff concessions do not give them that.[
11]
The
per curiam’s main argument appears to
go as follows: Petitioners’ original claim was a challenge to New
York’s old rule; this claim is now moot due to the repeal of that
rule; and what the petitioners are now asserting is a new claim,
namely, that New York’s current rule is also unconstitutional.
This argument also misrepresents the nature of
the claim asserted in petitioners’ complaint. What petitioners
claimed in their complaint and still claim is that they are
entitled to “unrestricted access” to out-of-city ranges and
competitions. App
. 36. The City’s replacement of one law
denying unrestricted access with another that also denies that
access did not change the nature of petitioners’ claim or render it
moot.
Consider where acceptance of the argument
adopted by the
per curiam leads. Suppose that a city
council, seeking to suppress a local paper’s opposition to some of
its programs, adopts an ordinance prohibiting the publication of
any editorial without the approval of a city official. Suppose that
a newspaper challenges the constitutionality of this rule, arguing
that the First Amendment confers the unrestricted right to
editorialize without prior approval. If the council then repeals
its ordinance and replaces it with a new one requiring approval
only if the editorial concerns one particular city program, would
that render the pending lawsuit moot and require the paper to
commence a new one?
Or take this example. A State enacts a law
providing that any woman wishing to obtain an abortion must submit
certification from five doctors that the procedure is medically
necessary. After a woman sues, claiming that any requirement of
physician certification is unconstitutional, the State replaces its
old law with a new one requiring certification by three physicians.
Would the court be required to dismiss the woman’s suit? Suppose
the court, following the precedent set by today’s decision, holds
that the case is moot, and suppose that the woman brings a second
case challenging the new law on the same ground. If the State
repeals that law and replaces it with one requiring certification
by two doctors, would the second suit be moot? And what if the
State responds to a third suit by enacting replacement legislation
demanding certification by one doctor?
Mootness doctrine does not require such results.
A challenge to an allegedly unconstitutional law does not become
moot with the enactment of new legislation that reduces but does
not eliminate the injury originally alleged. And that is the
situation here.
The Court cites one case in support of its
holding,
Lewis v.
Continental Bank Corp.,
494 U.S.
472, 482–483 (1990), but that decision is wholly inapposite.
The situation in
Lewis was complicated, but the critical
point for present purposes is that, by the time the case reached
this Court, the enactment of new legislation meant that the
plaintiff no longer had Article III standing to assert its original
claim.
Id., at 478–479. But instead of simply ordering that
the case be dismissed, the Court remanded to give the plaintiff the
opportunity to assert a different claim and, if necessary, to amend
the complaint or “develop the record” to show it had standing to
pursue this new claim.
Id., at 482.
The situation here is entirely different. It is
not disputed that petitioners have standing to contest the City’s
restrictions on trips to out-of-city ranges and competitions, and
as a result of those restrictions, petitioners have suffered and
will continue to suffer injury that is concrete, traceable to
actions taken by the City, and remediable by a court. See
Spokeo,
Inc. v.
Robins, 578 U. S. ___
(2016). They are not asserting a new claim. Their original
claim—that they have the right under the Second Amendment to
unrestricted access to out-of-city ranges and competitions—is
unchanged, and this claim does not require an amendment of the
complaint or any supplementation of the record to support their
allegations of injury.
For these reasons, there is no justification for
holding that this case is moot.
IV
A
Having shown that this case is not moot, I
proceed to the merits of plaintiffs’ claim that the City ordinance
violated the Second Amendment. This is not a close question. The
answer follows directly from
Heller.
In
Heller, we held that a District of
Columbia rule that effectively prevented a law-abiding citizen from
keeping a handgun in the home for purposes of self-defense
constituted a core violation of the Second Amendment. 554
U. S., at 635. We based this decision on the scope of the
right to keep and bear arms as it was understood at the time of the
adoption of the Second Amendment.
Id., at 577–605, 628–629.
We recognized that history supported the constitutionality of some
laws limiting the right to possess a firearm, such as laws banning
firearms from certain sensitive locations and prohibiting
possession by felons and other dangerous individuals. See
id., at 626–627; see also
McDonald, 561 U. S.,
at 787, 904. But history provided no support for laws like the
District’s. See 554 U. S., at 629–634.
For a similar reason, 38 N. Y. C. R.
R. §5–23 also violated the Second Amendment. We deal here with the
same core Second Amendment right, the right to keep a handgun in
the home for self-defense. As the Second Circuit “assume[d],” a
necessary concomitant of this right is the right to take a gun
outside the home for certain purposes. 883 F. 3d, at 58–59.
One of these is to take a gun for maintenance or repair, which City
law allows. See §5–22(a)(16). Another is to take a gun outside the
home in order to transfer ownership lawfully, which the City also
allows. §5–26(j). And still another is to take a gun to a range in
order to gain and maintain the skill necessary to use it
responsibly. As we said in
Heller, “ ‘to bear arms
implies something more than the mere keeping [of arms]; it implies
the learning to handle and use them in a way that makes those who
keep them ready for their efficient use.’ ” 554 U. S., at
617–618 (quoting T. Cooley, Constitutional Law 271 (1880)); see
also
Luis v.
United States, 578 U. S.
___, ___ (2016) (Thomas, J., concurring in judgment) (slip op., at
3) (“The right to keep and bear arms . . . ‘implies a
corresponding right . . . to acquire and maintain
proficiency in their use’ ”);
Ezell v.
Chicago,
651 F.3d 684, 704 (CA7 2011) (“[T]he core right wouldn’t mean much
without the training and practice that make it effective”).
It is true that a lawful gun owner can sometimes
practice at a range using a gun that is owned by and rented at the
range. But the same model gun that the person owns may not be
available at a range, and in any event each individual gun may have
its own characteristics. See Brief for Professors of Second
Amendment Law et al. as
Amici Curiae 10–12; see also
App. 51, 56, 59 (referencing differences across ranges and shooting
competitions).Once it is recognized that the right at issue is a
concomitant of the same right recognized in
Heller, it
became incumbent on the City to justify the restrictions its rule
imposes, but the City has not done so. It points to no evidence of
laws in force around the time of the adoption of the Second
Amendment that prevented gun owners from practicing outside city
limits. The City argues that municipalities restricted the places
within their jurisdiction where a gun could be fired, Brief for
Respondents 18, and it observes that the Second Amendment surely
does not mean that a New York City resident with a premises license
can practice in Central Park or Times Square,
id., at 21.
That is certainly true, but that is not the question. Petitioners
do not claim the right to fire weapons in public places
within
the City. Instead, they claim they have a right to practice at
ranges and competitions
outside the City, and neither the
City, the courts below, nor any of the many
amici supporting
the City have shown that municipalities during the founding era
prevented gun owners from taking their guns outside city limits for
practice.
B
If history is not sufficient to show that the
New York City ordinance is unconstitutional, any doubt is dispelled
by the weakness of the City’s showing that its travel restriction
significantly promoted public safety. Although the courts below
claimed to apply heightened scrutiny, there was nothing heightened
about what they did.
As noted, the City relied entirely on the
declaration of Inspector Lunetta, but this declaration provides
little support. See
supra, at 9–10. Some of what Inspector
Lunetta asserted was simply not relevant to the justification for
drawing a distinction between trips to a range in the City and
trips to a range in a neighboring jurisdiction. For example, he
stated that persons holding premises licenses “do not always
transport their firearms in a locked box carrying ammunition
separately, as required by NYPD rules,” but the issue in this case
does not concern the storage of a gun on the way to a range. App.
77–78. Similarly, he declared that “[p]remises license holders have
not demonstrated proper cause to carry a concealed firearm in
public,”
id., at 78, but the question before us is not
whether petitioners have the right to do what they could if they
had carry licenses.
Other statements actually undermine the City’s
public safety rationale. Thus, the fact that prosecutors typically
do not bring even misdemeanor charges against licensees who carry a
weapon in violation of the limitations of their licenses,
ibid., does not suggest that the City regards violations as
presenting a particularly significant threat to public safety.
When all that is irrelevant is brushed aside,
what remains are the three arguments noted earlier. First,
Inspector Lunetta asserted that the travel restrictions discouraged
licensees from taking their guns outside the home, but this is a
strange argument for several reasons. It would make sense only if
it is less convenient or more expensive to practice at a range in
the City, but that contradicts the City’s argument that the seven
ranges in the City provide ample opportunity for practice. And
discouraging trips to a range contradicts the City’s own rule
recommending that licensees practice. Once it is recognized that a
reasonable opportunity to practice is part of the very right
recognized in
Heller, what this justification amounts to is
a repudiation of part of what we held in that decision.
Second, Inspector Lunetta claimed that
prohibiting trips to out-of-city ranges helps prevent a person who
is taking a gun to a range from using it in a fit of rage after an
auto accident or some other altercation that occurs along the way.
And to bolster this argument, Inspector Lunetta asserted that
persons who have met the City’s demanding requirements for
obtaining a premises license are just as likely as anyone else to
use their guns in a fit of rage. App. 77. If that is so, it does
not reflect well on the City’s intensive vetting scheme, see
supra, at 4–6, and in any event, the assertion is dubious on
its face.
More to the point, this argument does not
explain why a person headed for a range outside the City is any
more likely to engage in such conduct than a person whose
destination is a range in the City. There might be
something
to the argument if ranges in the City were closer than those just
outside its borders, but the City never attempted to show that. The
courts below were incurious about the validity of Inspector
Lunetta’s assertion, and given the location of the City’s seven
ranges, the assertion is more than dubious.[
12]
Inspector Lunetta’s final justification for the
travel restrictions was only marginally stronger. It goes like
this. Suppose that a patrol officer stops a premises licensee and
finds that this individual is carrying a gun, and suppose that that
the licensee says he is taking the gun to a range to practice or is
returning from a range. If the range in question is one in the
City, the officer will be better able to check the story than if
the range is outside the officer’s jurisdiction. App. 79–80.
How strong is this argument? The City presumably
has access to records of cases in which licensees were cited for
unauthorized possession of guns outside the home, and it failed to
provide any evidence that holders of target licenses had used their
right to practice at out-of-city ranges as a pretext. And it is
dubious that it would be much harder for an officer to check
whether a licensee was really headed for an out-of-city range as
opposed to one in the City. If a licensee claims to be headed for a
range in the City, the officer can check whether the range is open
and whether the individual appears to be on a route that plausibly
leads to that range. But how much more difficult would it be to do
the same thing if the range is in one of the counties that border
New York City or across the Hudson River in New Jersey? A phone
call would be enough to determine the range’s operating hours, and
the route would still be easy to determine: There are only a few
bridges and tunnels to New Jersey and just a few main thoroughfares
to the neighboring New York counties. A court conducting any form
of serious scrutiny would have demanded that the City provide some
substantiation for this claim, but nothing like that was provided
or demanded.
Would the situation be much different if the
individual claimed to be headed home from a range? Once again, it
would not be difficult for the officer to check whether the range
was or recently had been open. And it is not at all apparent that
determining whether a licensee was on a route to his or her
residence would be any harder if the range at which the licensee
claimed to have practiced was outside the City.
Inspector Lunetta’s declaration stated that
ranges in the City are required to keep a record of everyone who
practices there, and therefore if a person claims to be coming from
a city range, the officer could easily check that story. But the
declaration does not state that ranges in nearby jurisdictions do
not keep similar records.[
13] It should have been easy enough for the City to
check, and a court engaged in any serious form of scrutiny would
have questioned the absence of evidence, but no substantiation was
provided or demanded below.
In sum, the City’s travel restriction burdened
the very right recognized in
Heller. History provides no
support for a restriction of this type. The City’s public safety
arguments were weak on their face, were not substantiated in any
way, and were accepted below with no serious probing. And once we
granted review in this case, the City’s public safety concerns
evaporated.
We are told that the mode of review in this case
is representative of the way
Heller has been treated in the
lower courts. If that is true, there is cause for concern.
* * *
This case is not moot. The City violated
petitioners’ Second Amendment right, and we should so hold. I would
reverse the judgment of the Court of Appeals and remand the case to
the District Court to provide appropriate relief. I therefore
respectfully dissent.