OPINION OF THE COURT
ENGINE MFRS. ASSN. V. SOUTH COAST AIR QUALITYMANAGEMENT DIST.
541 U. S. ____ (2004)
SUPREME COURT OF THE UNITED STATES
NO. 02-1343
ENGINE MANUFACTURERS ASSOCIATION and WESTERN STATES
PETROLEUM ASSOCIA- TION, PETITIONERS
v. SOUTH COAST AIR
QUALITY MANAGEMENT DISTRICT et al.
on writ of certiorari to the united states court of
appeals for the ninth circuit
[April 28, 2004]
Justice Scalia delivered the
opinion of the Court.
Respondent South Coast Air
Quality Management District (District) is a political subdivision
of California responsible for air pollution control in the Los
Angeles metropolitan area and parts of surrounding counties that
make up the South Coast Air Basin. It enacted six Fleet Rules that
generally prohibit the purchase or lease by various public and
private fleet operators of vehicles that do not comply with
stringent emission requirements. The question in this case is
whether these local Fleet Rules escape pre-emption under §209(a) of
the Clean Air Act (CAA), 81 Stat. 502, as renumbered and amended,
42 U. S. C. §7543(a), because they address the purchase of
vehicles, rather than their manufacture or sale.
I
The District is responsible under
state law for developing and implementing a “comprehensive
basinwide air quality management plan” to reduce emission levels
and thereby achieve and maintain “state and federal ambient air
quality standards.” Cal. Health & Safety Code Ann. §40402(e)
(West 1996). Between June and October 2000, the District adopted
six Fleet Rules. The Rules govern operators of fleets of street
sweepers (Rule 1186.1), of passenger cars, light-duty trucks, and
medium-duty vehicles (Rule 1191), of public transit vehicles and
urban buses (Rule 1192), of solid waste collection vehicles (Rule
1193), of airport passenger transportation vehicles, including
shuttles and taxicabs picking up airline passengers (Rule 1194),
and of heavy-duty on-road vehicles (Rule 1196). All six Rules apply
to public operators; three apply to private operators as well
(Rules 1186.1, 1193, and 1194).
The Fleet Rules contain detailed
prescriptions regarding the types of vehicles that fleet operators
must purchase or lease when adding or replacing fleet vehicles.
Four of the Rules (1186.1, 1192, 1193, and 1196) require the
purchase or lease of “alternative-fuel vehicles,”[
Footnote 1] and the other two (1191 and
1194) require the purchase or lease of either “alternative-fueled
vehicles”[
Footnote 2] or
vehicles that meet certain emission specifications established by
the California Air Resources Board (CARB).[
Footnote 3] CARB is a statewide regulatory body that
California law designates as “the air pollution control agency for
all purposes set forth in federal law.” Cal. Health & Safety
Code Ann. §39602 (West 1996). The Rules require operators to keep
records of their purchases and leases and provide access to them
upon request. See,
e.g., Rule 1186.1(g)(1), App. 23.
Violations expose fleet operators to fines and other sanctions. See
Cal. Health & Safety Code Ann. §§42400–42410, 40447.5 (West
1996 and Supp. 2004).
In August 2000, petitioner Engine
Manufacturers Association sued the District and its officials, also
respondents, claiming that the Fleet Rules are pre-empted by §209
of the CAA, which prohibits the adoption or attempted enforcement
of any state or local “standard relating to the control of
emissions from new motor vehicles or new motor vehicle engines.” 42
U. S. C. §7543(a).[
Footnote
4] The District Court granted summary judgment to respondents,
upholding the Rules in their entirety. It held that the Rules were
not “standard[s]” under §209(a) because they regulate only the
purchase of vehicles that are otherwise certified for sale in
California. The District Court recognized that the First and Second
Circuit Courts of Appeals had previously held that CAA §209(a)
pre-empted state laws mandating that a specified percentage of a
manufacturer’s in-state sales be of “zero-emission vehicles.” See
Association of Int’l Automobile Mfrs., Inc. v.
Commissioner, Mass. Dept. of Environmental Protection, 208
F. 3d 1, 6–7 (CA1 2000);
American Automobile Mfrs.
Assn. v.
Cahill, 152 F. 3d 196, 200 (CA2
1998).[
Footnote 5] It did not
express disagreement with these rulings, but distinguished them as
involving a restriction on vehicle sales rather than vehicle
purchases: “Where a state regulation does not compel manufacturers
to meet a new emissions limit, but rather affects the purchase of
vehicles, as the Fleet Rules do, that regulation is not a
standard.” 158 F. Supp. 2d 1107, 1118 (CD Cal. 2001).
The Ninth Circuit affirmed on the reasoning of
the District Court. 309 F. 3d 550 (2002). We granted
certiorari.
539 U.
S. 914 (2003).
II
Section 209(a) of the CAA
states:
“No State or any political subdivision thereof
shall adopt or attempt to enforce any standard relating to the
control of emissions from new motor vehicles or new motor vehicle
engines subject to this part. No State shall require certification,
inspection, or any other approval relating to the control of
emissions … as condition precedent to the initial retail sale,
titling (if any), or registration of such motor vehicle, motor
vehicle engine, or equipment.” 42 U. S. C. §7543(a).
The District Court’s determination that this
express pre-emption provision did not invalidate the Fleet Rules
hinged on its interpretation of the word “standard” to include only
regulations that compel manufacturers to meet specified emission
limits. This interpretation of “standard” in turn caused the court
to draw a distinction between purchase restrictions (not
pre-empted) and sale restrictions (pre-empted). Neither the
manufacturer-specific interpretation of “standard” nor the
resulting distinction between purchase and sale restrictions finds
support in the text of §209(a) or the structure of the CAA.
“Statutory construction must begin with the
language employed by Congress and the assumption that the ordinary
meaning of that language accurately expresses the legislative
purpose.”
Park ’N Fly, Inc. v.
Dollar Park & Fly,
Inc., 469
U. S. 189, 194 (1985). Today, as in 1967 when §209(a) became
law, “standard” is defined as that which “is established by
authority, custom, or general consent, as a model or example;
criterion; test.” Webster’s Second New International Dictionary
2455 (1945). The criteria referred to in §209(a) relate to the
emission characteristics of a vehicle or engine. To meet them the
vehicle or engine must not emit more than a certain amount of a
given pollutant, must be equipped with a certain type of
pollution-control device, or must have some other design feature
related to the control of emissions. This interpretation is
consistent with the use of “standard” throughout Title II of the
CAA (which governs emissions from moving sources) to denote
requirements such as numerical emission levels with which vehicles
or engines must comply,
e.g., 42 U. S. C.
§7521(a)(1)(B)(ii), or emission-control technology with which they
must be equipped,
e.g., §7521(a)(6).
Respondents, like the courts below, engraft
onto this meaning of “standard” a limiting component, defining it
as only “[a]
production mandat[e] that require[s]
manufacturers to ensure that the vehicles they produce
have particular emissions characteristics, whether individually or
in the aggregate.” Brief for Respondent South Coast Air Quality
Management District 13 (emphases added). This confuses standards
with the means of enforcing standards. Manufacturers (or
purchasers) can be made responsible for ensuring that vehicles
comply with emission standards, but the standards
themselves are separate from those enforcement techniques. While
standards target vehicles or engines, standard-enforcement efforts
that are proscribed by §209 can be directed to manufacturers or
purchasers.
The distinction between “standards,” on the
one hand, and methods of standard enforcement, on the other, is
borne out in the provisions immediately following §202. These
separate provisions enforce the emission criteria—
i.e.,
the §202 standards. Section 203 prohibits manufacturers from
selling any new motor vehicle that is not covered by a “certificate
of conformity.” 42 U. S. C. §7522(a). Section 206 enables
manufacturers to obtain such a certificate by demonstrating to the
EPA that their vehicles or engines conform to the §202 standards.
§7525. Sections 204 and 205 subject manufacturers, dealers, and
others who violate the CAA to fines imposed in civil or
administrative enforcement actions. §§7523–7524. By defining
“standard” as a “production mandate directed toward manufacturers,”
respondents lump together §202 and these other distinct statutory
provisions, acknowledging a standard to be such only when it is
combined with a mandate that prevents manufacturers from selling
non-complying vehicles.
That a standard is a standard even when not
enforced through manufacturer-directed regulation can be seen in
Congress’s use of the term in another portion of the CAA. As the
District Court recognized, CAA §246 (in conjunction with its
accompanying provisions) requires state-adopted and federally
approved “restrictions on the purchase of fleet vehicles
to
meet clean-air standards.” 158 F. Supp. 2d, at 1118
(emphasis added); see also 42 U. S. C. §§7581–7590.
(Respondents do not defend the District’s Fleet Rules as authorized
by this provision; the Rules do not comply with all of the
requirements that it contains.) Clearly, Congress contemplated the
enforcement of emission standards through purchase
requirements.[
Footnote 6]
Respondents contend that their
qualified meaning of “standard” is necessary to prevent §209(a)
from pre-empting “far too much” by “encompass[ing] a broad range of
state-level clean-air initiatives” such as voluntary incentive
programs. Brief for Respondent South Coast Air Quality Management
District 29;
id., at 29–30. But it is hard to see why
limitation to mandates on manufacturers is necessary for this
purpose; limitation to mandates on manufacturers and purchasers, or
to mandates on
anyone, would have the same salvific
effect. We need not resolve application of §209(a) to voluntary
incentive programs in this case, since all the Fleet Rules are
mandates.
In addition to having no basis in
the text of the statute, treating sales restrictions and purchase
restrictions differently for pre-emption purposes would make no
sense. The manufacturer’s right to sell federally approved vehicles
is meaningless in the absence of a purchaser’s right to buy them.
It is true that the Fleet Rules at issue here cover only certain
purchasers and certain federally certified vehicles, and thus do
not eliminate all demand for covered vehicles. But if one State or
political subdivision may enact such rules, then so may any other;
and the end result would undo Congress’s carefully calibrated
regulatory scheme.
A command, accompanied by sanctions, that
certain purchasers may buy only vehicles with particular emission
characteristics is as much an “attempt to enforce” a “standard” as
a command, accompanied by sanctions, that a certain percentage of a
manufacturer’s sales volume must consist of such vehicles. We
decline to read into §209(a) a purchase/sale distinction that is
not to be found in the text of §209(a) or the structure of the
CAA.
III
The dissent expresses many areas
of disagreement with our interpretation, but this should not
obscure its agreement with our answer to the question “whether
these local Fleet Rules escape pre-emption … because they address
the purchase of vehicles, rather than their manufacture or sale.”
Supra, at 1. The dissent joins us in answering “no.” See
post, at 5. It reaches a different outcome in the case
because (1) it feels free to read into the unconditional words of
the statute a requirement for the courts to determine which
purchase restrictions
in fact coerce manufacture and which
do not; and (2) because it believes that Fleet Rules containing a
“commercial availability” proviso do not coerce manufacture.
As to the first point: The language of §209(a)
is categorical. It is (as we have discussed) impossible to find in
it an exception for standards imposed through purchase restrictions
rather than directly upon manufacturers; it is even more inventive
to discover an exception for only that
subcategory of
standards-imposed-through-purchase-restrictions that does not
coerce manufacture. But even if one accepts that invention, one
cannot conclude that these “provisos” save the day. For if a
vehicle of the mandated type
were commercially available,
thus eliminating application of the proviso, the need to sell
vehicles to persons governed by the Rule would effectively coerce
manufacturers into meeting the artificially created demand. To say,
as the dissent does, that this would be merely the consequence of
“market demand and free competition,”
post, at 5, is
fanciful. The demand is a demand, not generated by the market but
compelled by the Rules, which in turn effectively compels
production. To think that the Rules are invalid until such time as
one manufacturer makes a compliant vehicle available, whereupon
they become binding, seems to us quite bizarre.
The dissent objects to our interpretive
method, which neither invokes the “presumption against pre-emption”
to determine the
scope of pre-emption nor delves into
legislative history.
Post, at 2. Application of those
methods, on which not all Members of this Court agree, demonstrably
makes no difference to resolution of the principal question, which
the dissent (after applying them) answers the same as we. As for
the additional question that the dissent reaches, we think the same
is true: The textual obstacles to the strained interpretation that
would validate the Rules by reason of the “commercial availability”
provisos are insurmountable—principally, the categorical words of
§209(a). The dissent contends that giving these words their natural
meaning of barring implementation of standards at the purchase and
sale stage renders superfluous the second sentence of §209(a),
which provides: “No State shall require certification, inspection,
or any other approval relating to the control of emissions from any
new motor vehicle or new motor vehicle engine as condition
precedent to the initial retail sale, titling (if any), or
registration of such motor vehicle, motor vehicle engine, or
equipment.” 42 U. S. C. §7543(a). We think it not superfluous,
since it makes clear that the term “attempt to enforce” in the
first sentence is not limited to the actual imposition of penalties
for violation, but includes steps preliminary to that action.
Ibid. The sentence is, however, fatal to the
dissent’s interpretation of the statute. It
categorically prohibits “certification, inspection, or any
other approval” as conditions precedent to sale. Why in the world
would it do that if it had no
categorical objection to
standards imposed at the sale stage? Why disable the States from
assuring compliance with requirements that they are authorized to
impose?
The dissent next charges that our
interpretation attributes carelessness to Congress because §246
mandates fleet purchasing restrictions, but does so
without specifying “notwithstanding” §209(a).
Post, at 6.
That addition might have been nice, but hardly seems necessary. It
is obvious, after all, that the principal sales restrictions
against which §209(a) is directed are those requiring compliance
with
state-imposed standards. What §246 mandates are fleet
purchase restrictions under
federal standards designed
precisely for
federally required clean-fuel fleet vehicle
programs—which programs, in turn, must be
federally
approved as meeting detailed
federal specifications.
It is not surprising that a “notwithstanding” §209(a) did not come
to mind. Far from casting doubt upon our interpretation, §246 is
impossible to reconcile with the
dissent’s interpretation.
The fleet purchase standards it mandates must comply strictly with
federal specifications, being neither more lenient nor more
demanding. But what is the use of imposing such a limitation if the
States are entirely free to impose their
own fleet
purchase standards with entirely different specifications?
Finally, the dissent says that we should
“admit” that our opinion pre-empts voluntary incentive programs.
Post, at 7–8. Voluntary programs are not at issue in this
case, and are significantly different from command-and-control
regulation. Suffice it to say that nothing in the present opinion
necessarily
entails pre-emption of voluntary programs. It
is at least arguable that the phrase “adopt or attempt to enforce
any standard” refers only to standards that
are
enforceable—a possibility reinforced by the fact that the
prohibition is imposed only on entities (States and political
subdivisions) that have power to enforce.
IV
The courts below held all six of
the Fleet Rules to be entirely outside the pre-emptive reach of
§209(a) based on reasoning that does not withstand scrutiny. In
light of the principles articulated above, it appears likely that
at least certain aspects of the Fleet Rules are pre-empted. For
example, the District may have attempted to enforce CARB’s ULEV,
SULEV, and ZEV standards when, in Rule 1194, it required 50% of new
passenger-car and medium-duty-vehicle purchases by private
airport-shuttle van operators to “meet ULEV, SULEV, or ZEV emission
standards” after July 1, 2001, and 100% to meet those standards
after July 1, 2002.[
Footnote 7]
See Rules 1194(d)(2)(A)–(B), App. 62.
It does not necessarily follow,
however, that the Fleet Rules are pre-empted
in toto. We
have not addressed a number of issues that may affect the ultimate
disposition of petitioners’ suit, including the scope of
petitioners’ challenge, whether some of the Fleet Rules (or some
applications of them) can be characterized as internal state
purchase decisions (and, if so, whether a different standard for
pre-emption applies), and whether §209(a) pre-empts the Fleet Rules
even as applied beyond the purchase of new vehicles (
e.g.,
to lease arrangements or to the purchase of used vehicles). These
questions were neither passed on below nor presented in the
petition for certiorari. They are best addressed in the first
instance by the lower courts in light of the principles articulated
above.
The judgment is vacated, and the case is
remanded for further proceedings consistent with this opinion.
It is so ordered.
Footnote 1
These Rules define “alternative-fuel
vehicles” in varying ways, but all exclude vehicles that run on
diesel. See Rule 1186.1(c)(2), App. 17 (a vehicle with an engine
that “use[s] compressed or liquefied natural gas, liquefied
petroleum gas (propane), methanol, electricity, or fuel cells.
Hybrid-electric and dual-fuel technologies that use diesel fuel are
not considered alternative-fuel technologies for the purposes of
this rule”); Rule 1192(c)(1),
id., at 47 (same definition
as Rule 1186.1 for the most part, but also adds that the vehicle
must “mee[t] the emission requirements of Title 13, Section 1956.1
of the California Code of Regulations”); Rule 1193(c)(1),
id., at 52 (a vehicle that “uses compressed or liquefied
natural gas, liquefied petroleum gas, methanol, electricity, fuel
cells, or other advanced technologies that do not rely on diesel
fuel”); Rule 1196(c)(1),
id., at 66–67 (same definition as
Rule 1193 for the most part, but also adds that the vehicle must be
“certified by the California Air Resources Board”).
Footnote 2
Rule 1191(c)(1),
id., at 24–25,
defines “alternative-fueled vehicle” as a vehicle that “is not
powered by gasoline or diesel fuel and emits hydrocarbon, carbon
monoxide, or nitrogen oxides, on an individual basis at least
equivalent to or lower than a ULEV [acronym described in n. 3,
infra].” Rule 1194(c)(2), App. 59, defines
“alternative-fueled vehicle” as a vehicle that “is not powered by
gasoline or diesel fuel.”
Footnote 3
More specifically, Rules 1191(d), (e)(1),
id., at 27–28, require that these vehicles comply with
CARB’s Low-Emission Vehicle (LEV), Ultra-Low-Emission Vehicle
(ULEV), Super-Ultra-Low-Emission Vehicle (SULEV), or Zero-Emission
Vehicle (ZEV) standards. Rule 1194(d),
id., at 61–63,
requires that the vehicles comply with the ULEV, SULEV, or ZEV
standards. LEV, ULEV, SULEV, and ZEV are acronyms adopted by CARB
as part of a federally approved emission reduction program. This
program establishes five tiers of vehicles based on their emission
characteristics: Transitional Low-Emission Vehicles (TLEVs);
Low-Emission Vehicles (LEVs); Ultra-Low-Emission Vehicles (ULEVs);
Super-Ultra-Low-Emission Vehicles (SULEVs); and Zero-Emission
Vehicles (ZEVs). The tiers are subject to varying emission
limitations for carbon monoxide, formaldehyde, nonmethane organic
gases, oxides of nitrogen, and particulate matter. See Cal. Code
Regs., tit. 13, §§1960.1(e)(3), (g), (h)(2), (p), §1961(a) (2004).
No vehicle may be sold in California unless it meets the TLEV, LEV,
ULEV, SULEV, or ZEV requirements. See Cal. Health & Safety Code
Ann. §§43009, 43016–43017, 43102, 43105, 43150–43156 (West 1996).
Additionally, manufacturers are obligated to meet overall “fleet
average” emission requirements. The fleet average emission
requirements decrease over time, requiring manufacturers to sell
progressively cleaner mixes of vehicles. See Cal. Code Regs., tit.
13, §§1960.1(g)(2), 1961(b) (2004). Manufacturers retain
flexibility to decide how many vehicles in each emission tier to
sell in order to meet the fleet average. See 158 F. Supp. 2d
1107, 1113–1114 (CD Cal. 2001).
Footnote 4
Petitioner Western States Petroleum
Association intervened as a plaintiff. Respondents Coalition for
Clean Air, Inc., Natural Resources Defense Council, Inc.,
Communities for a Better Environment, Inc., Planning and
Conservation League, and Sierra Club intervened as defendants.
Footnote 5
The ZEV requirements at issue in these cases
were virtually identical to those previously promulgated by CARB.
See
Association of Int’l Automobile Mfrs., Inc. v.
Commissioner, Mass. Dept. of Environmental Protection, 208
F. 3d, at 1, 3;
American Automobile Mfrs. Assn. v.
Cahill, 152 F. 3d, at 199.
Footnote 6
The District Court reasoned that “[i]t is not
rational to conclude that the CAA would authorize purchasing
restrictions on the one hand, and prohibit them, as a prohibited
adoption of a ‘standard,’ on the other.” 158 F. Supp. 2d, at
1118. This reasoning is flawed; it is not irrational to view
Congress’s prescription of numerous detailed requirements for such
programs as inconsistent with unconstrained state authority to
enact programs that ignore those requirements.
Footnote 7
For a description of the ULEV, SULEV, and ZEV
standards, see n. 3, supra.
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