Beentjes v. Placer County Air Pollution

Decision Date04 February 2005
Docket NumberNo. 03-15598.,03-15598.
Citation397 F.3d 775
PartiesJacob W. BEENTJES, Plaintiff-Appellee, v. PLACER COUNTY AIR POLLUTION CONTROL DISTRICT, Defendant-Appellant.
CourtU.S. Court of Appeals — Ninth Circuit

Mathew D. Evans, James B. Carr, Duncan, Ball & Evans, Sacramento, CA, for the appellant.

Roderick P. Bushnell, Bushnell, Caplan & Fielding, LLP, San Francisco, CA, and Linda J. Sloven, Nevada City, CA, for the appellee.

Appeal from the United States District Court for the Eastern District of California; Frank C. Damrell, District Judge, Presiding. D.C. No. CV-00-01423-FCD.

Before: FERGUSON, REINHARDT, and PAEZ, Circuit Judges.

PAEZ, Circuit Judge:

The Placer County Air Pollution Control District ("the District") is charged under state law with the responsibility of enforcing state and national air quality standards within its region. The District is part of the larger state and federal scheme to meet air quality standards under the federal Clean Air Act.

Jacob W. Beentjes ("Beentjes") was a former employee of the District as an air pollution control specialist. This case arose when the District terminated Beentjes after he was diagnosed with a serious pulmonary disease and efforts to accommodate his condition were unsuccessful. Beentjes sued the District alleging that the District's actions violated Title I of the Americans with Disabilities Act. Beentjes sought damages and injunctive relief.

The District ultimately moved for summary judgment on the ground that, as an arm of the state, it was entitled to sovereign immunity under the Eleventh Amendment. The district court, employing the five-factor test that we adopted in Mitchell v. Los Angeles Community College District, 861 F.2d 198, 201 (9th Cir.1988), and reaffirmed in Belanger v. Madera Unified School District, 963 F.2d 248, 250-51 (9th Cir.1992), determined that the District was not entitled to sovereign immunity and denied the motion.

In this interlocutory appeal, the District challenges the district court's ruling on the ground that the court failed to recognize the District's unique status as an enforcement agency under California's implementation plan for the federal Clean Air Act. In failing to do so, the District argues that the court misapplied the Mitchell/Belanger five-factor test. We have jurisdiction over this interlocutory appeal under the "collateral order doctrine," see Savage v. Glendale Union High Sch., 343 F.3d 1036, 1040 (9th Cir.2003), and we affirm. We hold that the District is not an arm of the state and therefore is not entitled to sovereign immunity under the Eleventh Amendment.

I.

In 1992, Jacob W. Beentjes began working at the Placer County Air Pollution Control District as an ex officio employee on loan from Placer County. After being diagnosed with chronic obstructive pulmonary disease in 1997, Beentjes was terminated from his position as an air pollution control specialist. He sought an accommodation under the Americans with Disabilities Act ("ADA"), and was given another position with Placer County. He later quit this position.

Beentjes subsequently filed suit for damages and injunctive relief against the District in the Eastern District of California, alleging that the District discriminated against him on the basis of his disability and that the District failed to reasonably accommodate him, in violation of Title I of the ADA, 42 U.S.C. §§ 12101-12117. As noted above, the District moved for summary judgment on the ground that it was an arm of the state that qualified for Eleventh Amendment sovereign immunity. The court denied the motion. The District then moved for reconsideration of the court's ruling. The court denied the motion for reconsideration, again ruling that the District was not entitled to sovereign immunity. The District filed a timely interlocutory appeal.

We review de novo a district court's ruling on a motion for summary judgment. Holz v. Nenana City Pub. Sch. Dist., 347 F.3d 1176, 1179 (9th Cir.2003). Although the District appeals from the denial of its motion for reconsideration, a ruling that we review for an abuse of discretion, the basis for the ruling was the court's determination that the District was not entitled to sovereign immunity under the Eleventh Amendment, which is a question of law that we review de novo. See Savage, 343 F.3d at 1040.

II.

The Eleventh Amendment of the United States Constitution provides that "[t]he Judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any Foreign State." U.S. CONST. amend. XI. "The ultimate guarantee of the Eleventh Amendment is that nonconsenting States may not be sued by private individuals in federal court." Bd. of Trs. of Univ. of Ala. v. Garrett, 531 U.S. 356, 363, 121 S.Ct. 955, 148 L.Ed.2d 866 (2001).

The Supreme Court has held that "the reference to actions `against one of the United States' encompasses not only actions in which a State is actually named as the defendant, but also certain actions against state agents and state instrumentalities." Regents of the Univ. of Cal. v. Doe, 519 U.S. 425, 429, 117 S.Ct. 900, 137 L.Ed.2d 55 (1997); see also Holz, 347 F.3d at 1180. The Court, however, has "consistently refused to construe the Amendment to afford protection to political subdivisions such as counties and municipalities, even though such entities exercise a slice of state power." Lake Country Estates, Inc. v. Tahoe Reg'l Planning Agency, 440 U.S. 391, 401, 99 S.Ct. 1171, 59 L.Ed.2d 401 (1979) (internal quotation marks and citations omitted).

The decision to extend sovereign immunity to a public entity turns on whether the entity "is to be treated as an arm of the State partaking of the State's Eleventh Amendment immunity, or is instead to be treated as a municipal corporation or other political subdivision to which the Eleventh Amendment does not extend." Mt. Healthy City Sch. Dist. Bd. of Educ. v. Doyle, 429 U.S. 274, 280, 97 S.Ct. 568, 50 L.Ed.2d 471 (1977). In the Ninth Circuit, we employ a five-factor test to determine whether an entity is an arm of the state:

[1] whether a money judgment would be satisfied out of state funds, [2] whether the entity performs central governmental functions, [3] whether the entity may sue or be sued, [4] whether the entity has the power to take property in its own name or only the name of the state, and [5] the corporate status of the entity.

Belanger, 963 F.2d at 250-51 (quoting Mitchell, 861 F.2d at 201) (hereinafter "Mitchell test").1 "We must examine these factors in light of the way California law treats the governmental agency." Id. at 251.

A. State Funds

The first prong of the Mitchell test — whether a money judgment would be satisfied out of state funds — is the predominant factor. Id. This factor is given additional weight because "the impetus of the Eleventh Amendment is the prevention of federal-court judgments that must be paid out of a state's treasury...." Savage, 343 F.3d at 1041. Here, a review of the applicable state law and the funding scheme for air pollution control districts leads us to conclude that the State is not responsible for paying a money judgment against the District.

First, as a "local public entity" under California law, the District, and not the State, must pay money judgments against it. California Health & Safety Code § 40707 provides that all claims for money damages against air pollution control districts are governed by Parts 3 and 4 of Division 3.6 of the California Government Code, §§ 900-962, which pertain to claims and actions against public entities. In turn, the definitional provisions of Part 3 of Division 3.6 of the Government Code (1) define a "local public entity" to include a "district," (2) distinguish a "local public entity" from "the State," and (3) specify that the "State" is responsible for paying money judgments against the State. Cal. Gov't Code § 900.4 (providing that a "local public entity" includes "a county, city, district, public authority, public agency, and any other political subdivision or public corporation in the State, but does not include the State") (emphasis added); id. § 900.6 (defining "State" as "the State and any office, officer, department, division, bureau, board, commission or agency of the State claims against which are paid by warrants drawn by the Controller") (emphasis added). Taken together, these provisions establish that under California law, local public entities, including air pollution control districts, are responsible for paying their own money judgments.

This conclusion is bolstered by additional provisions of the Government Code pertaining to the payment of judgments against local public entities. See id. § 970 ("`Local public entity' includes a county, city, district, public authority, public agency, and any other political subdivision or public corporation in the state, but does not include... the state or any office, officer, department, division, bureau, board, commission or agency of the state claims against which are paid by warrants drawn by the Controller.") (emphasis added); id. § 970.2 (providing that "[a] local public entity shall pay any judgment in the manner provided in this article" and giving a judgment creditor the right to obtain a writ of mandate to compel a local public entity to pay a judgment against it).

Although the District does not dispute that it must pay a judgment obtained against it, the District emphasizes that it has two million dollars in liability insurance coverage that would suffice to satisfy a judgment in this case. However, "it is the entity's potential legal liability, rather than its ability or inability to require a third party to reimburse it, or to discharge the liability in the first instance, that is relevant." Regents of the Univ. of Cal., 519...

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