Derryen D. CUDJOE, A Minor Child By and Through his Natural Guardians and Next Friends, Barbarette and Derry CUDJOE, Appellants v. DEPARTMENT OF VETERANS AFFAIRS; Anthony J. Principi, Secretary of Veterans Affairs; Roger W. Robert.
No. 04-3003.
United States Court of Appeals, Third Circuit.
Filed Oct. 13, 2005.
Argued May 24, 2005.
426 F.3d 241
City may have an agreement for indemnification with the Judicial District, as Benn asserts. That question was decisively answered by the Supreme Court in Doe, where the Court stated, “[t]he Eleventh Amendment protects the State from the risk of adverse judgments even though the State may be indemnified by a third party.” Doe, 519 U.S. at 431, 117 S.Ct. 900. The Pennsylvania constitution envisions a unified state judicial system, of which the Judicial District is an integral component. From a holistic analysis of the Judicial District‘s relationship with the state, it is undeniable that Pennsylvania is the real party in interest in Benn‘s suit and would be subjected to both indignity and an impermissible risk of legal liability if the suit were allowed to proceed. We agree with the District Court that the Judicial District has Eleventh Amendment immunity which functions as an absolute bar to Benn‘s ADA claim. We therefore will affirm the order granting summary judgment.
Susan D. Bricklin (Argued), Office of United States Attorney, Philadelphia, Pennsylvania, for Appellees, Department of Veterans Affairs and Anthony J. Principi, Secretary of Veterans Affairs.
Edward J. Schwabenland (Argued), Schwabenland & Ryan, P.C., Wayne, Pennsylvania, for Appellee, Roger W. Robert.
Before SCIRICA, Chief Judge, ALITO and ROSENN, Circuit Judges.
OPINION OF THE COURT
SCIRICA, Chief Judge.
At issue is whether the United States has waived sovereign immunity to suits for money damages under certain provisions of the Residential Lead-Based Paint Hazard Reduction Act,
Plaintiff filed suit against the Department of Veterans Affairs and a private landlord for unlawfully failing to disclose lead paint contamination in a leased apartment. Finding no express waiver of sovereign immunity, the District Court dismissed the claims for lack of subject matter jurisdiction. It also declined to exercise supplemental jurisdiction over related causes of action under state law. We will affirm the judgment on waiver of sovereign immunity, but vacate and remand the claims against the landlord for further proceedings.
I.
Plaintiff Derryen Cudjoe filed a complaint, by and through his natural guardians and next friends Barbarette and Derry Cudjoe, alleging the Department of Veterans Affairs and landlord Roger W. Robert violated federal law by failing to disclose information concerning lead contamination when his family leased an apartment in 2000 at 197 East 198th Street, Chester, Pennsylvania.1 Cudjoe asserts federal causes of action under the Residential Lead-Based Paint Hazard Reduction Act and the Toxic Substances Control Act (Count I), as well as common law claims of negligence (Count II), against the Department of Veterans Affairs and Robert. The complaint also includes common law claims of negligent misrepresentation and omission (Count III), and intentional misrepresentation and omission (Count IV), against Robert alone.
After residing in the apartment for several months, Cudjoe, then two years old, tested positive for high concentrations of lead in his blood. The family vacated the apartment. The Bureau of Health of the City of Chester examined the property in November 2000, and found dangerous levels of lead paint and dust throughout the premises. Nevertheless, the complaint was not filed until September 24, 2003.
Robert answered the complaint, counterclaimed that Cudjoe‘s injuries were caused by his parents, and brought cross-claims against the Department of Veterans Affairs for liability, indemnification and/or contribution. Without filing an answer, the Department of Veterans Affairs moved to dismiss the complaint for lack of subject matter jurisdiction under
II.
We have jurisdiction under
III.
Cudjoe‘s contention that the United States has waived sovereign immunity to private suits claiming money damages for failure to disclose lead-paint contamination draws on separate provisions in the Toxic Substances Control Act and the Residential Lead-Based Paint Hazard Reduction Act.2 Specifically, he claims the waiver of sovereign immunity with respect to lead paint in
We reproduce and summarize the provisions at issue. The waiver of sovereign immunity with respect to lead paint in the Toxic Substances Control Act states in part that:
Each department, agency, and instrumentality of executive, legislative, and judicial branches of the Federal Government (1) having jurisdiction over any property or facility, or (2) engaged in any activity resulting, or which may result, in a lead-based paint hazard, and each officer, agent, or employee thereof, shall be subject to, and comply with, all Federal, State, interstate, and local requirements, both substantive and procedural (including any requirement for certification, licensing, recordkeeping, or reporting or any provisions for injunctive relief and such sanctions as may be imposed by a court to enforce such relief) respecting lead-based paint, lead-based paint activities, and lead-based paint hazards in the same manner, and to the same extent as any nongovernmental entity is subject to such requirements, including the payment of reasonable service charges. The Federal, State, interstate, and local substantive and procedural requirements referred to in this subsection include, but are not limited to, all administrative orders and all civil and administrative penalties and fines regardless of whether such penalties or fines are punitive or coercive in nature, or whether imposed for isolated, intermittent or continuing violations. The United States hereby expressly waives any immunity otherwise applica-ble
to the United States with respect to any such substantive or procedural requirement (including, but not limited to, any injunctive relief, administrative order, or civil or administrative penalty or fine referred to in the preceding sentence, or reasonable service charge). The reasonable service charges referred to in this section include, but are not limited to, fees or charges assessed for certification and licensing, as well as any other nondiscriminatory charges that are assessed in connection with a Federal, State, interstate, or local lead-based paint, lead-based paint activities, or lead-based paint hazard activities program.
The Residential Lead-Based Paint Hazard Reduction Act is a disclosure statute requiring a seller or lessor of residential target housing (1) to provide the purchaser or lessee with a lead hazard information pamphlet (as described in
(1) Monetary penalty
Any person who knowingly violates the provisions of this section shall be subject to civil money penalties in accordance with the provisions of section 3545 of this title.
(2) Action by Secretary
The Secretary [of Housing and Urban Development] is authorized to take such lawful action as may be necessary to enjoin any violation of this section.
(3) Civil liability
Any person who knowingly violates the provisions of this section shall be jointly and severally liable to the purchaser or lessee in an amount equal to 3 times the amount of damages incurred by such individual.
(4) Costs
In any civil action brought for damages pursuant to paragraph (3) the appropriate court may award court costs to the party commencing such action, together with reasonable attorney fees and any expert witness fees, if that party prevails.
(5) Prohibited act
It shall be a prohibited act under section 409 of the Toxic Substances Control Act [
15 U.S.C. § 2689 ] for any person to fail or refuse to comply with a provision of this section or with any rule or order issued under this section. For purposes of enforcing this section under the Toxic Substances Control Act [15 U.S.C. § 2601 et seq. ] the penalty for each violation applicable under section 15 of that Act [15 U.S.C. § 2615 ] shall not be more than $10,000.
The crux of Cudjoe‘s appeal is that § 4852d(b)(3)‘s private suit for money damages constitutes a “substantive and procedural requirement” to which the United States has waived immunity under
A.
A waiver of sovereign immunity must be express and unambiguous in order to confer federal courts with subject matter jurisdiction. United States v. Bein, 214 F.3d 408, 412 (3d Cir.2000); see also United States v. U.S. Fid. & Guar. Co., 309 U.S. 506, 514 (1940) (“Consent alone gives jurisdiction to adjudge against a sovereign. Absent that consent, the attempted exercise of judicial power is void.“). A waiver “must be unequivocally expressed in statutory text ... and will not be implied.” Lane v. Pena, 518 U.S. 187, 192, 116 S.Ct. 2092, 135 L.Ed.2d 486 (1996). With respect to its scope, any waiver of sovereign immunity must be strictly construed in favor of the sovereign. Orff v. United States, 545 U.S. 596, 601-02, 125 S.Ct. 2606, 2610, 162 L.Ed.2d 544 (2005). “The terms of [the] waiver define the extent of the court‘s jurisdiction.” United States v. Mottaz, 476 U.S. 834, 841, 106 S.Ct. 2224, 90 L.Ed.2d 841 (1986).
In interpreting the scope of a waiver of sovereign immunity, we begin with the plain language of the statute. See New Rock Asset Partners, L.P. v. Preferred Entity Advancements, Inc., 101 F.3d 1492, 1498 (3d Cir.1996). As noted, the plain text of section 2688 of the Toxic Substances Control Act expressly waives sovereign immunity with respect to any federal, state, interstate and local “substantive and procedural requirements” with respect to lead-based paint.
At issue is whether the private right of action for treble money damages under the Residential Lead-Based Paint Hazard Reduction Act is one of the “substantive and procedural requirements” to which the government has waived immunity in
Notably absent from the listed examples of substantive and procedural requirements is any explicit reference to a private right of action for money damages. The only language in
Cudjoe contends nonetheless that because the “substantive and procedural requirements” referred to in
Cudjoe‘s call for a broad reading of the waiver in
B.
Cudjoe bolsters his broad reading of
Title X of Pub.L. 102-550 is divided into five subtitles, of which two are relevant here: subtitle A-Lead-Based Paint Hazard Reduction, which contains the lead-paint disclosure requirement and penalty provisions (
Congress‘s decision to include the waiver of sovereign immunity as an amendment to the Toxic Substances Control Act—a statute which notably provides only for EPA enforcement of fines and penalties and not for money damages—bears emphasis. Cudjoe would have a stronger argument if Congress had decided to place the waiver in subtitle A—which at least contains a provision allowing suits for money damages against private parties. Instead, it chose to place the immunity provision in subtitle B, which does not.5 The placement of the waiver within the statutory scheme and its plain language fall short of meeting the requirement that a waiver be unequivocally expressed in statutory text. Lane, 518 U.S. at 192.
C.
Cudjoe cites the Environmental Protection Agency‘s own interpretation of the
This omission is consistent with our reading of
In sum, neither plain language, statutory structure nor the interpretation in the EPA handbook persuades us that Congress intended, in
IV.
The District Court also dismissed the federal statutory claims and pendant state law claims against the landlord Roger W. Robert. This error appears to have stemmed from confusion over whether Robert was a representative of the Department of Veterans Affairs or a private citizen.
V.
We turn to the matter of standing, an issue briefed by the parties on appeal but not addressed by the District Court because it dismissed all claims for lack of subject matter jurisdiction. The government and Robert contend Cudjoe lacks standing to sue under
The regulations implementing the Residential Lead-Based Paint Hazard Reduction Act define “lessee” as “any entity that enters into an agreement to lease, rent, or sublease target housing, including but not limited to individuals, partnerships, corporations, trusts, government agencies, housing agencies, Indian tribes, and nonprofit organizations.”
We will allow the District Court to address the standing issues in the first instance. On remand, the District Court will make its own determinations regarding Cudjoe‘s standing under the Residential Lead-Based Paint Hazard Reduction Act, and whether he may amend his complaint.
VI.
We will affirm the dismissal of counts I and II against the Department of Veterans Affairs and the Secretary of Veterans Affairs. We will vacate the dismissal of the claims against Roger W. Robert and remand them to the District Court for fur-ther
Notes
As discussed in Section III below, the Disclosure Rule defines “Seller” and “Lessor” to include government agencies. Thus, when a Federal facility or government agency is the Seller or Lessor of target housing as defined in the statute and the rule, the requirements of [42 U.S.C. § 4852d] and the Disclosure Rule apply to such facility or agency.
[42 U.S.C. § 4852d(b)(5)] makes a violation of the Disclosure rule a prohibited act under [15 U.S.C. § 2689] and the facility or agency is then subject to EPA enforcement authority under [15 U.S.C. § 2615]....
The Disclosure Rule contains Federal requirements respecting lead-based paint, lead-based paint activities, and lead-based paint hazards. Therefore, Federal facilities are subject to the Disclosure Rule requirements.
Environmental Protection Agency, Section 1018-Disclosure Rule Enforcement Response Policy 3-4 (1999). The EPA distinguishes between the Disclosure Rule and the Residential Lead-Based Paint Hazard Reduction Act itself. The “Disclosure Rule” as referred to in the EPA handbook, means the regulations for the disclosure of lead-based paint promulgated by EPA and HUD pursuant to the Residential Lead-Based Paint Hazard Reduction Act, published on March 6, 1996, and codified at