Lavia v. Commonwealth of PA

• Decision Date: 09 May 2000
• Docket Number: No. 99-3863,99-3863
• Citation: 224 F.3d 190
• Parties: (3rd Cir. 2000) JEFFREY D. LAVIA, v. COMMONWEALTH OF PENNSYLVANIA, DEPARTMENT OF CORRECTIONS, STATE CORRECTIONAL INSTITUTION AT GREENE, Appellant Argued:
• Court: U.S. Court of Appeals — Third Circuit

Page 190

224 F.3d 190 (3rd Cir. 2000)

JEFFREY D. LAVIA, v. COMMONWEALTH OF PENNSYLVANIA, DEPARTMENT OF CORRECTIONS, STATE CORRECTIONAL INSTITUTION AT GREENE, Appellant

No. 99-3863

UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT

Argued: May 9, 2000

Filed August 8, 2000

On Appeal from the United States District Court for the Western District of Pennsylvania District Judge: Honorable Donald E. Ziegler (D.C. Civ. No. 99-cv-00445) [Copyrighted Material Omitted]

[Copyrighted Material Omitted]

Attorneys for Appellant: D. Michael Fisher Attorney General John G. Knorr, III (Argued) Chief Deputy Attorney General Chief, Appellate Litigation Section Calvin R. Koons Senior Deputy Attorney General Kemal A. Mericli Senior Deputy Attorney General Office of the Attorney General 15th Floor, Strawberry Square Harrisburg, PA 17120

Attorney for Appellee: John A. Adamczyk (Argued) 114 Smithfield Street Pittsburgh, PA 15222

Before: GREENBERG, McKEE and GARTH, Circuit Judges

OPINION FOR THE COURT

GARTH, Circuit Judge.

We are called upon to decide whether, in enacting Title I of the Americans with Disabilities Act ("ADA"), Congress abrogated the States' Eleventh Amendment sovereign immunity from suit pursuant to a valid exercise of its S 5 power to enforce the Fourteenth Amendment.

In Kimel v. Florida Board of Regents, 120 S. Ct. 631 (2000), the Supreme Court recently held that the Age Discrimination in Employment Act ("ADEA") was not a valid exercise of Congress' S 5 enforcement power and as such did not validly abrogate the States' Eleventh Amendment immunity. In light of Kimel, and based on the terms of the statute and its legislative history, we hold that the ADA is not a valid exercise of Congress' S 5 power and accordingly does not abrogate the States' Eleventh Amendment immunity from suit. To the extent that the District Court sustained Congress' authority to use its S 5 power to enforce the Fourteenth Amendment by enacting Title I of the ADA, we will reverse the District Court's decision.

I.

Lavia's complaint alleges that he began working for the Department of Corrections in March 1991, and was then transferred to the State Correctional Institute at Greene. Pennsylvania. In 1995, Lavia was promoted to Corrections Officer II. In July 1996, Lavia suffered from a seizure and was diagnosed with CNS Vasculitis of the brain. Lavia contends that his condition rendered him "disabled," or that he was perceived as disabled within the meaning of the ADA, 42 U.S.C. SS 12101 et seq. Against the recommendation of his doctor, Lavia returned to work. He alleges that he was then harassed at work because of his disability. Lavia continues to suffer the effects of his medication that, he claims, cause psychotic reactions. Seemingly as a result of these side effects, Lavia engaged in unspecified conduct at work that resulted in disciplinary action by the Department. In May 1997, Lavia was demoted to Corrections Officer I, and then in August of 1997 he was terminated.

Lavia brought an action against the Commonwealth of Pennsylvania, Department of Corrections, State Correctional Institute at Greene (hereinafter "the Commonwealth" or "the State") seeking reinstatement, damages and other relief under the ADA, the Vocational Rehabilitation Act, ("Rehabilitation Act") 29 U.S.C. SS 701 et seq., and the Pennsylvania Human Relations Act ("PHRA"), Pa. Stat. Ann., tit. 43, SS 951 et seq . The Commonwealth moved to dismiss, arguing that it was immune from suit under the Eleventh Amendment. On September 29, 1999, the District Court dismissed Lavia's claim with respect to the PHRA, holding that the Eleventh Amendment bars consideration of state law claims. The District Court, however, declined to dismiss Lavia's federal claims under the ADA and the Rehabilitation Act, holding that in each of those federal acts Congress had validly abrogated the States' Eleventh Amendment immunity.¹

On October 18, 1999, the Commonwealth appealed, challenging only Lavia's claim under the ADA.² Such an order is immediately appealable under the collateral order doctrine of Cohen v. Beneficial Industrial Loan Corp., 337 U.S. 541 (1949); Puerto Rico Aqueduct and Sewer Authority v. Metcalf & Eddy, Inc., 506 U.S. 139 (1993); Acierno v. Cloutier, 40 F.3d 597 (3d Cir. 1994) (en banc). As the issue presented is solely a question of law, this court's review is plenary. See Kimel v. Florida Bd of Regents, 120 S. Ct. 631 (2000).

II.

Generally, states are immune from suit by private parties in the federal courts. The Eleventh Amendment of the United States Constitution provides:

The 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. Although this case involves a suit brought by a citizen against his own state, the Eleventh Amendment has long been interpreted to prohibit such suits as well. See, e.g. Kimel, 120 S. Ct. at 640 ("[F]or over a century now, we have made clear that the Constitution does not provide for federal jurisdiction over suits against non-consenting States." (citing e.g., College Sav. Bank v. Florida Prepaid Postsecondary Ed. Expense Bd., 527 U.S. 666, 669 (1999); Seminole Tribe v. Florida, 517 U.S. 44, 54 (1996)); Hans v. Louisiana, 134 U.S. 1, 13 (1890) ("It is inherent in the nature of sovereignty not to be amenable to the suit of an individual without its consent."). Moreover, the type of relief sought is irrelevant to the question of Eleventh Amendment immunity. See Seminole Tribe , 517 U.S. at 58.

Because the Commonwealth of Pennsylvania's Department of Corrections is a part of the executive department of the Commonwealth, see Pa. Stat. Ann., tit. 71 S 61, it shares in the Commonwealth's Eleventh Amendment immunity. Such immunity, however, may be lost in one of two ways: (1) if the Commonwealth waived its immunity; or (2) if Congress abrogated the States' immunity pursuant to a valid exercise of its power. See College Sav. Bank, 527 U.S. at 670; Atascadero State Hosp. v. Scanlon, 473 U.S. 234, 240-41 (1985).

Waiver

A state may waive its Eleventh Amendment immunity and thus subject itself to suit by private parties in federal court. See College Sav. Bank, 527 U.S. at 670. In this case, the Commonwealth did not waive its Eleventh Amendment immunity. First, Pennsylvania's constitution states that "[s]uits may be brought against the Commonwealth in such manner, in such courts and in such cases as the Legislature may by law direct." Pa. Const. Art. 1, S 11 (emphasis added). The Pennsylvania legislature has, by statute, expressly declined to waive its Eleventh Amendment immunity. See Pa. Stat. Ann., tit. 42 S 8521(b) ("Nothing contained in this subchapter [on actions against Commonwealth parties in civil actions and proceedings] shall be construed to waive the immunity of the Commonwealth from suit in Federal courts guaranteed by the Eleventh Amendment to the Constitution of the United States.").

The only argument Lavia presents that the Commonwealth has waived its immunity is based on a December 17, 1997, Management Directive published by the Governor's Office in which compliance with the ADA and the Rehabilitation Act are stated as objectives.³ This Management Directive however, cannot be held to constitute a waiver of the Commonwealth's immunity. First, it is not a waiver made by the legislature -- as required by Pennsylvania's Constitution. Second, the Management Directive itself limits enforcement "in accordance with applicable federal or state acts or regulations." The applicable state laws do not indicate that the Commonwealth has waived its Eleventh Amendment immunity. Thus, the Commonwealth has not lost its Eleventh Amendment immunity by virtue of waiver.

Congressional Abrogation

The second means by which the States' Eleventh Amendment immunity may be lost is by valid congressional abrogation. See College Sav. Bank, 527 U.S. at 670. There is a "simple but stringent test" to determine whether Congress has abrogated state immunity under the Eleventh Amendment. Dellmuth v. Muth, 491 U.S. 223, 228 (1989). In this two-part test, a court must first consider "whether Congress has `unequivocally expresse[d] its intent to abrogate the immunity;' and second, whether Congress has acted `pursuant to a valid exercise of power"' in abrogating state immunity. Seminole Tribe, 517 U.S. at 55 (quoting Green v. Mansour, 474 U.S. 64, 68 (1985)); see also Kimel, 120 S. Ct. at 634-35; Atascadero, 473 U.S. at 242.

With respect to the ADA, Congress has unequivocally fulfilled the first requirement by expressly stating its intent to abrogate the states' Eleventh Amendment immunity. Section 12202 of the ADA provides that "[a] State shall not be immune under the [E]leventh [A]mendment to the Constitution of the United States from an action in Federal or State court of competent jurisdiction for a violation of this chapter." 42 U.S.C. S 12202.⁴ Therefore, the only remaining question is whether, in attempting to abrogate the States' immunity for purposes of ADA litigation, Congress has acted within the proper exercise of its power.

Although Congress has the authority to enact legislation under its Article I powers, including its power under the Commerce Clause, such authority does not permit Congress to nullify the States' Eleventh Amendment immunity. See Seminole Tribe, 517 U.S. at 47; see also Kimel, 120 S. Ct. at 643; College Sav. Bank, 527 U.S. at 672; Alden v. Maine, 527 U.S. 706, 713-14 (1999). As such, if the ADA were based solely on Congress' Article I powers, Lavia would not be able to sue the Commonwealth of Pennsylvania in federal court.

Congress does, however, have the authority to abrogate the States' Eleventh Amendment immunity under its S 5 power to enforce the Fourteenth Amendment. See U.S. CONST. amend. XIV, S 5; Kimel, 120 S. Ct. at...