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
224 F.3d 190 (3rd Cir. 2000)
Before: GREENBERG, McKEE and GARTH, Circuit Judges
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)
Attorney for Appellee: John A. Adamczyk (Argued) 114 Smithfield Street Pittsburgh, PA 15222
OPINION FOR THE COURT
GARTH, Circuit Judge.
1. 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 § 5 power to enforce the Fourteenth Amendment.
2. 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’ § 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’ § 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 § 5 power to enforce the Fourteenth Amendment by enacting Title I of the ADA, we will reverse the District Court‘s decision.
I.
3. 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,
4. 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“)
5. 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.
6. Generally, states are immune from suit by private parties in the federal courts. The Eleventh Amendment of the United States Constitution provides:
7. 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.
8.
9. Because the Commonwealth of Pennsylvania‘s Department of Corrections is a part of the executive department of the Commonwealth, see
Waiver
10. 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.”
11. 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
12. 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.
13. 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.”
14. 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.
15. Congress does, however, have the authority to abrogate the States’ Eleventh Amendment immunity under its § 5 power to enforce the Fourteenth Amendment. See
16. Section 1 . . . . No State shall make or enforce any law which shall abridge the privileges or immunities of citizens of the United States; nor shall any State deprive any person of life, liberty, or property, without due process of law; nor deny to any person within its jurisdiction the equal protection of the laws.
17. To be a valid exercise of § 5 power, Congress must “identify conduct transgressing the Fourteenth Amendment‘s substantive provisions, and must tailor its legislative scheme to remedying or preventing such conduct.” Florida Prepaid, 527 U.S. at 639. “Congress’ power under § 5 extends only to `enforc[ing] the provisions of the Fourteenth Amendment.” City of Boerne v. Flores, 521 U.S. 507, 519 (1997). This power extends not only to prohibiting conduct that is itself unconstitutional under the Fourteenth Amendment, but also to conduct that, although not itself unconstitutional, is deemed necessary in order to remedy or prevent unconstitutional conduct. See Kimel, 120 S.Ct. at 644. This § 5 power, designed to serve a remedial and corrective purpose rather than to impose new substantive rights, although broad, is not unlimited. See id. (stating that Congress “`has been given the power “to enforce,” not the power to determine what constitutes a constitutional violation.“‘) (quoting City of Boerne, 521 U.S. at 519).
18. Moreover, because the Fourteenth Amendment provides strictures against the State as distinct from societal or community actions, any exercise of the § 5 power is confined to redressing state action, and private actions are therefore irrelevant in the present context. See e.g., United States v. Morrison, 120 S. Ct. 1740, 1756 (2000) (“recognizing “the time-honored principle that the Fourteenth Amendment, by its very terms, prohibits only state action . . . . `That Amendment erects no shield against merely private conduct, however discriminatory or wrongful.“) (quoting Shelley v. Kraemer, 334 U.S. 1, 13 and n.12 (1948); see also Romer v. Evans, 517 U.S. 620, 628 (1996); Lugar v. Edmondson Oil Co., 457 U.S. 922, 936 (1982); United States v. Harris, 106 U.S. 629, 639 (1883); Virginia v. Rives, 100 U.S. 313, 318 (1879) (“[T]hose provisions of the [F]ourteenth [A]mendment have reference to State action exclusively, and not to any action of private individuals“) (internal quotations omitted)); United States v. Cruikshank, 92 U.S. 542, 554 (1875).
III.
Title I of the ADA
19. In order to determine whether the ADA is properly characterized as a remedial enforcement statute, we first examine its scope. Congress “invoke[d] the sweep of congressional authority, including the power to enforce the [F]ourteenth [A]mendment and to regulate commerce, in order to address the major areas of discrimination faced day-to-day by people with disabilities.”
20. Prohibited discrimination under Title I of the ADA is not limited to purposeful discrimination, but rather extends, for example, to “utilizing standards, criteria, or methods of administration . . . that have the effect of discrimination.”
21. Additionally, Title I prohibits the use of standard tests and selection criteria that “screen out or tend to screen out” persons with disabilities.
22. Relationship between ADA provisions and the Equal Protection Clause
23. Having identified the scope of the ADA‘s intended remedial purpose, we look to whether the conduct targeted by the ADA constitutes either a direct violation of the Fourteenth Amendment, or falls within the slightly “broader swath” of conduct that can be regulated in order to prevent violations of the Fourteenth Amendment. See Kimel, 120 S. Ct. at 644 (citing City of Boerne, 521 U.S. at 518). “It is for Congress in the first instance to `determin[e] whether and what legislation is needed to secure the guarantees of the Fourteenth Amendment’ [and Congress‘] . . . conclusions are entitled to much deference.” City of Boerne, 521 U.S. at 536 (quoting Katzenbach v. Morgan, 384 U.S. 641, 651 (1966)). Determining whether conduct violates the Fourteenth Amendment, however, is the responsibility of the judiciary and not of the legislature. See id. As such, Congress’ own characterization of the ADA as an enforcement statute protecting the Fourteenth Amendment is not dispositive on the matter.
24. The Supreme Court explained in City of City of Cleburne v. Cleburne Living Ctr., 473 U.S. 432 (1985), that under the Equal Protection Clause of the Fourteenth Amendment, the mentally disabled are neither a suspect nor a quasi-suspect class. See id. at 442-47; see also, Heller v. Doe, 509 U.S. 312, 321 (1993).9 Thus, legislation affecting their interests need only pass a rational basis test, which is the least demanding scrutiny required by the courts.10 Under rational basis scrutiny, state action will survive as long as it merely furthers a legitimate state interest. That is:
25. [i]f the classification has some reasonable basis, it does not offend the Constitution simply because the classification is not made with mathematical nicety or because in practice it results in some inequality. The problems of government are practical ones and may justify, if they do not require, rough accommodations -- illogical, it may be, and unscientific.
26. Dandridge v. Williams, 397 U.S. 471, 485 (1970) (internal citations and quotations omitted).
27. Kimel instructed, in the context of age discrimination -- which is subject to rational basis scrutiny -- that “States may discriminate on the basis of age without offending the Fourteenth Amendment if the age classification in question is rationally related to a legitimate state interest. . . . In contrast, when a State discriminates on the basis of race or gender [that is, a suspect or quasi-suspect class] we require a tighter fit between the discriminatory means and the legitimate ends they serve.” Kimel, 120 S. Ct. at 646 (citations omitted). Similarly, here in the context of disability discrimination, a State‘s decision to deny employment based upon a consideration of an individual‘s disability as a generalizаtion of their other qualities, abilities, or characteristics will not offend the Equal Protection Clause and its rational basis test, provided that it is rationally related to a legitimate state interest and is not the result of purposeful discrimination. See Washington v. Davis, 426 U.S. 229, 239-40 (1976). As the Supreme Court in Kimel stated, “the [C]onstitution does not preclude reliance on such [age disqualification] generalizations. That age [in Kimel] proves to be an inaccurate proxy in any individual case in irrelevant.” Kimel, 120 S. Ct. at 635.
28. In comparing the protections guaranteed to the disabled under the ADA, see text supra, with those limited protections guaranteed under the rational basis standard of the Fourteenth Amendment, it is clear that the former imposes far greater obligations and responsibilities on the States than does the latter. As such, the ADA cannot be seen as enforcing direct violations of the Fourteenth Amendment. The mere fact, however, that the ADA proscribes more conduct than what is prohibited by the Constitution is not itself fatal. Indeed, the Supreme Court recently stated:
29. Congress’ § 5 power is not confined to the enactment of legislation that merely parrots the precise wording of the Fourteenth Amendment. Rather Congress’ power `to enforce’ the Amendment includes the authority both to remedy and to deter violation of rights guaranteed thereunder by prohibiting a somewhat broader swath of conduct, including that which is not itself forbidden by the Amendment‘s text.
30. Kimel, 120 S. Ct. at 644 (citing City of Boerne, 521 U.S. at 518) (emphasis added). As such, “[l]egislation which deters or remedies constitutional violations can fall within the sweep of Congress’ enforcement power even if in the process it prohibits conduct which is not itself unconstitutional.” City of Boerne, 521 U.S. at 518. This § 5 power, however, must still enforce a constitutional violation and cannot “`decreе the substance of the Fourteenth Amendment‘s restrictions on the States.“’ Kimel, 120 S. Ct. at 644 (quoting City of Boerne, 521 U.S. at 519).
31. Recognizing that “the line between measures that remedy or prevent unconstitutional actions and measures that make a substantive change in the governing law is not easy to discern,” the Supreme Court has held that “Congress must have wide latitude in determining where it lies.” City of Boerne, 521 U.S. at 520. Nevertheless, in order to constitute a valid exercise of § 5 power, the Supreme Court still requires “a congruence and proportionality between the injury to be prevented or remedied and the means adopted to that end.” Id. Indeed, several Supreme Court decisions have recently held that Congress has exceeded the latitude of its § 5 powers. See e.g., City of Boerne v. Flores, 521 U.S. 507 (1997); Florida Prepaid Postsecondary Ed. Expense Bd. v. College Sav. Bank, 527 U.S. 627 (1998); United States v. Morrison, 120 S. Ct. 1740 (2000).
32. For example, in City of Boerne v. Flores, 521 U.S. 507 (1997), the Supreme Court held that the Religious Freedom Restoration Act (“RFRA“) was “so out оf proportion to a supposed remedial or preventive object that it [could not] be understood as responsive to or designed to prevent unconstitutional behavior” because there was only “anecdotal evidence” and no finding of a “widespread pattern of religious discrimination in this country.” Id. at 531-32. As such, Congress exceeded its § 5 enforcement power in enacting the RFRA.
33. Similarly, in Florida Prepaid Postsecondary Ed. Expense Bd. v. College Sav. Bank, 527 U.S. 627 (1998), the Supreme Court held that in enacting the Patent Remedy Act, Congress had exceeded its § 5 powers, noting that Congress had “identified no pattern of patent infringement by the States, let alone a pattern of constitutional violations.” Id at 640. Indeed, rather than trying to remedy unconstitutional conduct by the states, the Court determined that Congress’ true objective was to “provide a uniform remedy .. . and to place States on the same footing as private parties under that regime.” Id at 647-48.11
34. In United States v. Morrison, 120 S. Ct. 1740 (2000), the Supreme Court held that the civil remedy provision of the Violence Against Women Act, (“VAWA“),
35. As we have previously discussed, of special significance here, the Supreme Court held that Congress did not validly abrogate the States’ Eleventh Amendment immunity in enacting the ADEA because its substantive provisions imposed burdens on state and local governments that were “disproportionate to any unconstitutional conduct that conceivably could be targeted by the Act.” Kimel, 120 S. Ct. at 645. Even acknowledging that “[d]ifficult and intractable problems often require powerful remedies” and that it has “never held that § 5 precludes Congress from enacting reasonably prophylactic legislation,” the Supreme Court nevertheless concluded that the ADEA was not “reasonably prophylactic legislation” but rather a redefinition of the States’ substantive obligations with respect to the aged. Id. at 648. The Supreme Court explained that the ADEA, “through its broad restriction on the use of age as a discriminating fаctor, prohibits substantially more state employment decisions and practices than would likely be held unconstitutional under the applicable equal protection, rational basis standard.” Id. at 647. Moreover, even with the ADEA‘s defenses and exceptions to liability making its prohibitions less than absolute, it still remained “a far cry from the rational basis standard,” and as such did more than merely enforce direct violations of the Fourteenth Amendment. Id.
36. The ADEA‘s legislative history, although revealing evidence of “substantial age discrimination in the private sector,” failed to identify “any pattern of age discrimination by the States, much less any discrimination whatsoever that rose to the level of constitutional violations.” Id. at 649 (emphasis added). Private sector discrimination, however, is “beside the point” in a § 5 analysis which considers only state conduct. See id. Importantly, thе Court explained, “Congress’ failure to uncover any significant pattern of unconstitutional discrimination [by the States] confirms that Congress had no reason to believe that broad prophylactic legislation was necessary in this field.” Id. at 650.12 Therefore, the Supreme Court held that in enacting the ADEA, Congress did not abrogate the States’ Eleventh Amendment immunity pursuant to a valid exercise of its § 5 enforcement powers.
IV.
37. Prior to the Kimel decision, but after the decisions in College Sav. Bank v. Florida Prepaid Postsecondary Ed. Expense Bd., 527 U.S. 666 (1998), Florida Prepaid Postsecondary Ed. Expense Bd. v. College Sav. Bank, 527 U.S. 627 (1998) City of Boerne v. Flores, 521 U.S. 507 (1999) and Seminole Tribe v. Florida, 517 U.S. 44 (1996), several circuits had held that Congress validly abrogated the States’ Eleventh Amendment immunity in enacting Title I of the ADA.13 Serious doubts as to the viability of these decisions has been cast by the Supreme Court‘s recent decision in Kimel, 120 S. Ct. 631 (2000), to which we have previously referred.
38. Those cases emphasized the deference the courts should give to express Congressional findings of pervasive discrimination against the disabled and the ADA‘s stated remedial purpose. See, e.g., Martin v. Kansas, 190 F.3d 1120 (10th Cir. 1999); Coolbaugh v. Louisiana, 136 F.3d 430 (5th Cir. 1998) (quoting
39. The Second Circuit‘s decision in Muller v. Costello, 187 F.3d 298 (2d Cir. 1999), for example, specifically references the “hundreds of hours [Congress spent] in hearings determining the scope of the problem and the best manner to address it;” the fact that the ADA was designed to “combat . . . irrational discrimination against persons with disabilities;” and Congress’ finding that “individuals with disabilities are a discrete and insular minority” in concluding that the ADA was a “a proportionate and congruent response to the discrimination that Congress sought to prohibit.” Id. at 308-09.14 In siding with the other circuits which have so held, the Second Circuit explained that the ADA was an extension of the Rehabilitation Act, applying remedies based upon the anti-employment discrimination provisions of Title VII of the Civil Rights Act of 1964. Interestingly, unlike the Supreme Court‘s analysis in Kimel which focused on the lack of evidence of unconstitutional state discrimination, none of these earlier circuit court cases address the lack of widespread unconstitutional conduct by the states themselves. Instead, they refer only to pervasive societal discrimination in general.
40. Since the Supreme Court decided Kimel, only a few courts have again dealt with whether the ADA is a valid exercise of Congress’ § 5 enforcement powers.15 The Second Circuit applied, without explanation or analysis, its pre-Kimel decision in Muller v. Costello, 187 F.3d 298 (2nd Cir. 1999). See Kilcullen v. New York State Dep‘t of Labor, 205 F.3d 77 (2d Cir. 2000).16 Similarly, in Davis v. Utah State Tax Comm‘n, 96 F. Supp. 2d 1271 (D. Utah 2000), the District of Utah held that, bound by the Tenth Circuit pre-Kimel precedent of Martin v. Kansas, 190 F.3d 1120 (10th Cir. 1999), it was obliged to conclude that the States were not entitled to Eleventh Amendment immunity with respect to suits brought under Title I of the ADA. Davis explained, however, that even if it were not bound by Martin, even in light of Kimel its own independent review would nevertheless yield the same conclusion. See id (citing primarily to Judge Wood‘s dissent in Erickson, 207 F.3d at 953, discussed in text infra.).
41. The most penetrating analysis, however, has been made by the Seventh Circuit in Erickson v. Board of Governors, 207 F.3d 945 (7th Cir. 2000), and in Stevens v. Illinois Dep‘t of Transportation, 210 F.3d 732 (7th Cir. 2000).17 The Seventh Circuit correctly noted that the ADA, like the ADEA and the RFRA, imposes upon the States far greater restrictions and obligations than does the rational basis standard of the Fourteenth Amendment by, for example, targeting an employer‘s “rational consideration of disabilities.” Erickson, 207 F.3d at 949. Indeed, the Seventh Circuit went so far as to declare that “[b]ecause the ADA requires accommodation, forbids practices with disparate impact, and disregards the employer‘s intent, it is harder than the ADEA to characterize as a remedial measure” which is not as broad in its prohibitions. Id. at 951.
42. We, like the Seventh Circuit, and in light of Kimel, emphasize the absence of any evidence in the legislative history or in Congress’ findings of pervasive violations of the Fourteenth Amendment by the States with respect to the disabled, to justify a prophylactic remedial enforcement measure that would abrogate the States’ Eleventh Amendment immunity. In emphasizing the lack of evidence of unconstitutional state discrimination against the disabled, we note that virtually every state in the country has enacted its own legislation prohibiting discrimination against the disabled in employment,18 and some have even enacted statutes advancing the explicit policy of encouraging employment of the disabled in state government positions.19 Nor, as the Seventh Circuit concluded in Stevens v. Illinois Dep‘t of Transp., 207 F.3d 732 (7th Cir. 2000), is there any evidence “in the legislative record that those States which do not have [statutes encouraging employment of the disabled] are engaged in widespread discrimination against the disabled.” Id. at 740.
43. We, along with the Seventh Circuit, acknowledge that at times States may falter in their efforts to eliminate discrimination against the disabled in employment. Nevertheless, we agree that the broad sweep of the ADA is out of proportion to the discrimination to be remedied.
44. Without more detailed findings concerning a nationwide pattern of arbitrary and illegitimate discrimination against the disabled by the States, the ADA cannot be viewed as a proportional and congruous response to the problem of state-perpetrated discrimination against the disabled. While the ADA‘s gоal of eliminating discrimination may be a laudable aim for federal legislation, it is not one which serves the purpose of enforcing the protections provided by the Fourteenth Amendment.
45. Id. (citing City of Boerne, 521 U.S. at 519). Inasmuch as Congress is only authorized to exercise its § 5 power to remedy constitutional violations when it is the States themselves engaged in unconstitutional conduct and not private members of society and the community, and because there is no evidence of state violations, we hold that Congress did not validly abrogate the States’ Eleventh Amendment immunity in enacting the ADA.
46. In challenging such a conclusion, Lavia references the Governors’ Committee Reports which indicate that existing state laws have failed to adequately protect the disabled against discrimination. See Appellee‘s Supplemental Brief at 5 (citing
47. The only contrary arguments that have been generates thus far in published courts of appeals decisions after Kimel, appear in the dissent in Erickson, 207 F.3d at 953.21 Among other arguments set forth in the Erickson dissent, authored by Judge Wood, are: that a more stringent standard of review (“careful scrutiny“) rather than a rational basis test should be utilized; that the disabled are to be distinguished from the aged; that the ADA incorporates a proportionality test required by the Constitution; and that state action may be implied from the states’ involvement in many areas in which the disabled have faced discrimination. See id. Although those arguments are forceful and interesting, we are not persuaded that they call for a result different from the one we have reached.
48. Despite the latitude to be given to Congress, we are of the opinion that in enacting the ADA, Congress exceeded its § 5 enforcement power. Without any evidence of widespread discrimination against thе disabled by the States, Congress attempted, by modeling the ADA after the civil rights laws dealing with race and sex discrimination, to expand and standardize the substantive protections guaranteed to the disabled. See
V.
49. Kimel‘s teachings, and the recent trend in Supreme Court jurisprudеnce with respect to § 5 power, impels us to reverse the District Court‘s decision with respect to Title I of the ADA and hold that Congress did not abrogate the States’ Eleventh Amendment immunity pursuant to a valid exercise of its § 5 enforcement power. We will remand this case to the District Court for further proceedings to address Lavia‘s claim under the Rehabilitation Act.22 See note 2 supra.
