Lead Opinion
delivered the opinion of the Court.
The Indian Gaming Regulatory Act provides that an Indian tribe may conduct certain gaming activities only in conformance with a valid compact between the tribe and the State in which the gaming activities are located. 102 Stat. 2475, 25 U.S.C. § 2710(d)(1)(C). The Act, passed by Congress under the Indian Commerce Clause, U. S. Const., Art. I, § 8, cl. 3, imposes upon the States a duty to negotiate in good faith with an Indian tribe toward the formation of a compact, § 2710(d)(3)(A), and authorizes a tribe to bring suit in federal court against a State in order to compel performance of that duty, § 2710(d)(7). We hold that notwithstanding Congress’ clear intent to abrogate the States’ sovereign immunity, the Indian Commerce Clause does not grant Congress that power, and therefore § 2710(d)(7) cannot grant jurisdiction over a State that does not consent to be sued. We further hold that the doctrine of Ex parte Young,
Congress passed the Indian Gaming Regulatory Act m 1988 in order to provide a statutory basis for the operation and regulation of gaming by Indian tribes. See 25 U. S. C. §2702. The Act divides gaming on Indian lands into three classes — I, II, and III — and provides a different regulatory scheme for each class. Class III gaming — the type with which we are here concerned — is defined as “all forms of gaming that are not class I gaming or class II gaming,” §2703(8), and includes such things as slot machines, casino games, banking card games, dog racing, and lotteries.
The “paragraph (3)” to which the last prerequisite of § 2710(d)(1) refers is § 2710(d)(3), which describes the permissible scope of a Tribal-State compact, see § 2710(d)(3)(C), and provides that the compact is effective “only when notice of approval by the Secretary [of the Interior] of such compact has been published by the Secretary in the Federal Register,” § 2710(d)(3)(B). More significant for our purposes, however, is that § 2710(d)(3) describes the process by which a State and an Indian tribe begin negotiations toward a Tribal-State compact:
“(A) Any Indian tribe having jurisdiction over the Indian lands upon which a class III gaming activity is being conducted, or is to be conducted, shall request the State in which such lands are located to enter into negotiations for the purpose of entering into a Tribal-State compact governing the conduct of gaming activities. Upon receiving such a request, the State shall negotiate with the Indian tribe in good faith to enter into such a compact.”
The State’s obligation to “negotiate with the Indian tribe in good faith” is made judicially enforceable by §§ 2710(d) (7)(A)(i) and (B)(i):
“(A) The United States district courts shall have jurisdiction over—
“(i) any cause of action initiated by an Indian tribe arising from the failure of a State to enter into negotiations with the Indian tribe for the purpose of entering into a Tribal-State compact under paragraph (3) or to conduct such negotiations in good faith ....
“(B)(i) An Indian tribe may initiate a cause of action described in subparagraph (A)(i) only after the close of the 180-day period beginning on the date on which the*50 Indian tribe requested the State to enter into negotiations under paragraph (3)(A).”
Sections 2710(d)(7)(B)(ii)-(vii) describe an elaborate remedial scheme designed to ensure the formation of a Tribal-State compact. A tribe that brings an action under § 2710(d) (7)(A)(i) must show that no Tribal-State compact has been entered and that the State failed to respond in good faith to the tribe’s request to negotiate; at that point, the burden then shifts to the State to prove that it did in fact negotiate in good faith. § 2710(d)(7)(B)(ii). If the district court concludes that the State has failed to negotiate in good faith toward the formation of a Tribal-State compact, then it “shall order the State and Indian Tribe to conclude such a compact within a 60-day period.” §2710(d)(7)(B)(iii). If no compact has been concluded 60 days after the court’s order, then “the Indian tribe and the State shall each submit to a mediator appointed by the court a proposed compact that represents their last best offer for a compact.” § 2710(d)(7) (B)(iv). The mediator chooses from between the two proposed compacts the one “which best comports with the terms of [the Act] and any other applicable Federal law and with the findings and order of the court,” ibid., and submits it to the State and the Indian tribe, § 2710(d)(7)(B)(v). If the State consents to the proposed compact within 60 days of its submission by the mediator, then the proposed compact is “treated as a Tribal-State compact entered into under paragraph (3).” § 2710(d)(7)(B)(vi). If, however, the State does not consent within that 60-day period, then the Act provides that the mediator “shall notify the Secretary [of the Interior]” and that the Secretary “shall prescribe . .. procedures . . . under which class III gaming may be conducted on the Indian lands over which the Indian tribe has jurisdiction.” § 2710(d)(7)(B)(vii).
The Court of Appeals for the Eleventh Circuit reversed the decision of the District Court, holding that the Eleventh Amendment barred petitioner’s suit against respondents.
Petitioner sought our review of the Eleventh Circuit’s decision,
“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.”
Although the text of the Amendment would appear to restrict only the Article III diversity jurisdiction of the federal courts, “we have understood the Eleventh Amendment to stand not so much for what it says, but for the presupposition ... which it confirms.” Blatchford v. Native Village of Noatak,
II
Petitioner argues that Congress through the Act abrogated the States’ immunity from suit. In order to determine whether Congress has abrogated the States’ sovereign immunity, we ask two questions: first, whether Congress has “unequivocally expresse[d] its intent to abrogate the immunity,” Green v. Mansour,
A
Congress’ intent to abrogate the States’ immunity from suit must be obvious from “a clear legislative statement.” Blatchford, supra, at 786. This rule arises from a recognition of the important role played by the Eleventh Amend
“To temper Congress’ acknowledged powers of abrogation with due concern for the Eleventh Amendment’s role as an essential component of our constitutional structure, we have applied a simple but stringent test: ‘Congress may abrogate the States’ constitutionally secured immunity from suit in federal court only by making its intention unmistakably clear in the language of the statute.’” Id., at 227-228.
See also Welch v. Texas Dept. of Highways and Public Transp.,
Here, we agree with the parties, with the Eleventh Circuit in the decision below,
B
Having concluded that Congress clearly intended to abrogate the States’ sovereign immunity through § 2710(d)(7), we
Petitioner suggests that one consideration weighing in favor of finding the power to abrogate here is that the Act authorizes only prospective injunctive relief rather than retroactive monetary relief. But we have often made it clear that the relief sought by a plaintiff suing a State is irrelevant to the question whether the suit is barred by the Eleventh Amendment. See, e. g., Cory v. White,
Similarly, petitioner argues that the abrogation power is validly exercised here because the Act grants the States a power that they would not otherwise have, viz., some measure of authority over gaming on Indian lands. It is true enough that the Act extends to the States a power withheld from them by the Constitution. See California v. Cabazon Band of Mission Indians,
Thus our inquiry into whether Congress has the power to abrogate unilaterally the States’ immunity from suit is narrowly focused on one question: Was the Act in question passed pursuant to a constitutional provision granting Congress the power to abrogate? See, e. g., Fitzpatrick v. Bitzer,
In only one other case has congressional abrogation of the States’ Eleventh Amendment immunity been upheld. In Pennsylvania v. Union Gas Co.,
In arguing that Congress through the Act abrogated the States’ sovereign immunity, petitioner does not challenge the Eleventh Circuit’s conclusion that the Act was passed pursuant to neither the Fourteenth Amendment nor the Interstate Commerce Clause. Instead, accepting the lower court’s conclusion that the Act was passed pursuant to Congress’ power under the Indian Commerce Clause, petitioner now asks us to consider whether that Clause grants Congress the power to abrogate the States’ sovereign immunity.
Petitioner begins with the plurality decision in Union Gas and contends that “[t]here is no principled basis for finding that congressional power under the Indian Commerce Clause is less than that conferred by the Interstate Commerce Clause.” Brief for Petitioner 17. Noting that the Union Gas plurality found the power to abrogate from the “plenary” character of the grant of authority over interstate commerce, petitioner emphasizes that the Interstate Commerce Clause leaves the States with some power to regulate, see, e. g., West Lynn Creamery, Inc. v. Healy,
Respondents dispute petitioner’s analogy between the Indian Commerce Clause and the Interstate Commerce Clause. They note that we have recognized that “the Interstate Commerce and Indian Commerce Clauses have very differ
Both parties make their arguments from the plurality decision in Union Gas, and we, too, begin there. We think it clear that Justice Brennan’s opinion finds Congress’ power to abrogate under the Interstate Commerce Clause from the States’ cession of their sovereignty when they gave Congress plenary power to regulate interstate commerce. See Union Gas,
Following the rationale of the Union Gas plurality, our inquiry is limited to determining whether the Indian Commerce Clause, like the Interstate Commerce Clause, is a grant of authority to the Federal Government at the expense of the States. The answer to that question is obvious. If anything, the Indian Commerce Clause accomplishes a greater transfer of power from the States to the Federal Government than does the Interstate Commerce Clause. This is clear enough from the fact that the States still exercise some authority over interstate trade but have been divested of virtually all authority over Indian commerce and Indian tribes. Under the rationale of Union Gas, if the States’ partial cession of authority over a particular area includes cession of the immunity from suit, then their virtually total cession of authority over a different area must also include cession of the immunity from suit. See id., at 42 (Scalia, J., joined by Rehnquist, C. J., and O’Connor and Kennedy, JJ., dissenting) (“[I]f the Article I commerce power enables abrogation of state sovereign immunity, so do all the other Article I powers”); see Ponca Tribe of Oklahoma v. Oklahoma,
Respondents argue, however, that we need not conclude that the Indian Commerce Clause grants the power to abrogate the States’ sovereign immunity. Instead, they contend that if we find the rationale of the Union Gas plurality to extend to the Indian Commerce Clause, then “Union Gas should be reconsidered and overruled.” Brief for Respondents 25. Generally, the principle of stare decisis, and the interests that it serves, viz., “the evenhanded, predictable, and consistent development of legal principles, . . . reliance on judicial decisions, and ... the actual and perceived integrity of the judicial process,” Payne v. Tennessee,
The Court in Union Gas reached a result without an expressed rationale agreed upon by a majority of the Court. We have already seen that Justice Brennan’s opinion received the support of only three other Justices. See Union Gas,
The plurality’s rationale also deviated sharply from our established federalism jurisprudence and essentially eviscerated our decision in Hans. See Union Gas, supra, at 36 (“If Hans means only that federal-question suits for money damages against the States cannot be brought in federal court unless Congress clearly says so, it means nothing at all”) (Scalia, J., dissenting). It was well established in 1989 when Union Gas was decided that the Eleventh Amendment stood for the constitutional principle that state sovereign immunity limited the federal courts’ jurisdiction under Article III. The text of the Amendment itself is clear enough on this point: “The Judicial power of the United States shall not be construed to extend to any suit. ...” And our decisions since Hans had been equally clear that the Eleventh Amendment reflects “the fundamental principle of sovereign immunity [that] limits the grant of judicial authority in Art. III,” Pennhurst State School and Hospital v. Halderman,
Never before the decision in Union Gas had we suggested that the bounds of Article III could be expanded by Congress operating pursuant to any constitutional provision other than the Fourteenth Amendment. Indeed, it had seemed fundamental that Congress could not expand the jurisdiction of the federal courts beyond the bounds of Article III. Marbury v. Madison,
The plurality’s extended reliance upon our decision in Fitzpatrick v. Bitzer,
In the five years since it was decided, Union Gas has proved to be a solitary departure from established law. See Puerto Rico Aqueduct and Sewer Authority v. Metcalf & Eddy, Inc.,
The dissent makes no effort to defend the decision in Union Gas, see post, at 100, but nonetheless would find congressional power to abrogate in this case.
“[NJeither the literal sweep of the words of Clause one of § 2 of Article III, nor the absence of restriction in the letter of the Eleventh Amendment, permits the conclusion that in all controversies of the sort described in Clause one, and omitted from the words of the Eleventh Amendment, a State may be sued without her consent. Thus Clause one specifically provides that the judicial Power shall extend ‘to all Cases, in Law and Equity, arising under this Constitution, the Laws of the United States, and Treaties made, or which shall be made, under their Authority.’ But, although a case may arise under the Constitution and laws of the United States, the judicial power does not extend to it if the suit is*68 sought to be prosecuted against a State, without her consent, by one of her own citizens. . . .
“Manifestly, we cannot rest with a mere literal application of the words of §2 of Article III, or assume that the letter of the Eleventh Amendment exhausts the restrictions upon suits against non-consenting States. Behind the words of the constitutional provisions are postulates which limit and control. There is the essential postulate that the controversies, as contemplated, shall be found to be of a justiciable character. There is also the postulate that States of the Union, still possessing attributes of sovereignty, shall be immune from suits, without their consent, save where there has been a ‘surrender of this immunity in the plan of the convention.’” Id., at 321-323 (citations and footnote omitted).
See id., at 329-330; see also Pennhurst,
The dissent, to the contrary, disregards our case law in favor of a theory cobbled together from law review articles and its own version of historical events. The dissent cites not a single decision since Hans (other than Union Gas) that supports its view of state sovereign immunity, instead relying upon the now-discredited decision in Chisholm v. Georgia,
The dissent mischaracterizes the Hans opinion. That decision found its roots not solely in the common law of England, but in the much more fundamental “ ‘jurisprudence in all civilized nations.’” Hans,
Hans — with a much closer vantage point than the dissent — recognized that the decision in Chisholm was contrary to the well-understood meaning of the Constitution. The dissent’s conclusion that the decision in Chisholm was “reasonable,” post, at 106, certainly would have struck the Framers of the Eleventh Amendment as quite odd: That decision created “such a shock of surprise that the Eleventh Amendment was at once proposed and adopted.” Monaco, supra, at 325. The dissent’s lengthy analysis of the text of the Eleventh Amendment is directed at a straw man — we long have recognized that blind reliance upon the text of the Eleventh Amendment is “ ‘to strain the Constitution and the law to a construction never imagined or dreamed of.’ ” Monaco, supra, at 326, quoting Hans, supra, at 15. The text dealt in terms only with the problem presented by the decision in Chisholm; in light of the fact that the federal courts did not
That same consideration causes the dissent’s criticism of the views of Marshall, Madison, and Hamilton to ring hollow. The dissent cites statements made by those three influential Framers, the most natural reading of which would preclude all federal jurisdiction over an unconsenting State.
Ill
Petitioner argues that we may exercise jurisdiction over its suit to enforce § 2710(d)(3) against the Governor notwithstanding the jurisdictional bar of the Eleventh Amendment. Petitioner notes that since our decision in Ex parte Young,
Here, the “continuing violation of federal law” alleged by petitioner is the Governor’s failure to bring the State into compliance with § 2710(d)(3). But the duty to negotiate imposed upon the State by that statutory provision does not stand alone. Rather, as we have seen, supra, at 49-50, Congress passed § 2710(d)(3) in conjunction with the care
Where Congress has created a remedial scheme for the enforcement of a particular federal right, we have, in suits against federal officers, refused to supplement that scheme with one created by the judiciary. Schweiker v. Chilicky,
Here, Congress intended § 2710(d)(3) to be enforced against the State in an action brought under § 2710(d)(7); the intricate procedures set forth in that provision show that Congress intended therein not only to define, but also to limit significantly, the duty imposed by § 2710(d)(3). For example, where the court finds that the State has failed to negotiate in good faith, the only remedy prescribed is an order directing the-State and the Indian tribe to conclude a compact within 60 days. And if the parties disregard the court’s order and fail to conclude a compact within the 60-day period, the only sanction is that each party then must submit a proposed compact to a mediator who selects the one which best embodies the terms of the Act. Finally, if the State fails to accept the compact selected by the mediator, the only sanction against it is that the mediator shall notify the Secre
Here, of course, we have found that Congress does not have authority under the Constitution to make the State suable in federal court under § 2710(d)(7). Nevertheless, the fact that Congress chose to impose upon the State a liability
r-H <1
The Eleventh Amendment prohibits Congress from making the State of Florida capable of being sued in federal court. The narrow exception to the Eleventh Amendment provided by the Ex parte Young doctrine cannot be used to enforce § 2710(d)(3) because Congress enacted a remedial scheme, § 2710(d)(7), specifically designed for the enforcement of that right. The Eleventh Circuit’s dismissal of petitioner’s suit is hereby affirmed.
It is so ordered.
Notes
Class I gaming “means social games solely for prizes of minimal value or traditional forms of Indian gaming engaged in by individuals as a part of, or in connection with, tribal ceremonies or celebrations,” 25 U. S. C. § 2703(6), and is left by the Act to “the exclusive jurisdiction of the Indian tribes,” § 2710(a)(1).
Class II gaming is more extensively defined to include bingo, games similar to bingo, nonbanking card games not illegal under the laws of the State, and card games actually operated in particular States prior to the passage of the Act. See § 2703(7). Banking card games, electronic games of chance, and slot machines are expressly excluded from the scope of class II gaming. § 2703(B). The Act allows class II gaming where the State “permits such gaming for any purpose by any person, organization or entity,” and the “governing body of the Indian tribe adopts an ordinance or resolution which is approved by the Chairman” of the National Indian Gaming Commission. § 2710(b)(1). Regulation of class II gaming contemplates a federal role, but places primary emphasis on tribal self-regulation. See §§ 2710(c)(8) — (6).
Sections 2710(d)(7)(B)(ii)-(vii) provide in full:.
“(ii) In any action described in subparagraph (A)(i), upon the introduction of evidence by an Indian tribe that—
*51 “(I) a Tribal-State compact has not been entered into under paragraph (3), and
“(II) the State did not respond to the request of the Indian tribe to negotiate such a compact or did not respond to such request in good faith, the burden of proof shall be upon the State to prove that the State has negotiated with the Indian tribe in good faith to conclude a Tribal-State compact governing the conduct of gaming activities.
“(iii) If, in any action described in subparagraph (A)(i), the court finds that the State has failed to negotiate in good faith with the Indian tribe to conclude a Tribal-State compact governing the conduct of gaming activities, the court shall order the State and the Indian Tribe to conclude such a compact within a 60-day period. In determining in such an action whether a State has negotiated in good faith, the court—
“(I) may take into account the public interest, public safety, criminality, financial integrity, and adverse economic impacts on existing gaming activities, and
“(II) shall consider any demand by the State for direct taxation of the Indian tribe or of any Indian lands as evidence that the State has not negotiated in good faith.
“(iv) If a State and an Indian tribe fail to conclude a Tribal-State compact . . . within the 60-day period provided in the order of a court issued under clause (iii), the Indian tribe and the State shall each submit to a mediator appointed by the court a proposed compact that represents their last best offer for a compact. The mediator shall select from the two proposed compacts the one which best comports with the terms of this chapter and any other applicable Federal law and with the findings and order of the court.
“(v) The mediator appointed by the court under clause (iv) shall submit to the State and the Indian tribe the compact selected by the mediator under clause (iv).
“(vi) If a State consents to a proposed compact during the 60-day period beginning on the date on which the proposed compact is submitted by the mediator to the State under clause (v), the proposed compact shall be treated as a Tribal-State compact entered into under paragraph (3).
“(vii) If the State does not consent during the 60-day period described in clause (vi) to a proposed compact submitted by a mediator under clause (v), the mediator shall notify the Secretary and the Secretary shall prescribe, in consultation with the Indian tribe, procedures—
*52 “(I) which are consistent with the proposed compact selected by the mediator under clause (iv), the provisions of this chapter, and the relevant provisions of the laws of the State, and
“(II) under which class III gaming may be conducted on the Indian lands over which the.Indian tribe has jurisdiction.”
The Eleventh Circuit consolidated petitioner’s appeal with an appeal from another suit brought under § 2710(d)(7)(A)(i) by a different Indian tribe. Although the District Court in that ease had granted the defendants’ motions to dismiss, the legal issues presented by the two appeals were virtually identical. See Poarch Band of Creek Indians v. Alabama,
Following its conclusion that petitioner’s suit should be dismissed, the Court of Appeals went on to consider how § 2710(d)(7) would operate in the wake of its decision. The court decided that those provisions of § 2710(d)(7) that were problematic could be severed from the rest of the section, and read the surviving provisions of § 2710(d)(7) to provide an Indian tribe with immediate recourse to the Secretary of the Interior from the dismissal of a suit against a State.
Respondents filed a cross-petition, No. 94-219, challenging only the Eleventh Circuit’s modification of § 2710(d)(7), see n. 4, supra. That petition is still pending.
While the appeal was pending before the Eleventh Circuit, the District Court granted respondents’ earlier filed summary judgment motion, finding that Florida had fulfilled its obligation under the Act to negotiate in good faith. The Eleventh Circuit has stayed its review of that decision pending the disposition of this ease.
E.g., North Carolina v. Temple,
See Ponca Tribe of Oklahoma v. Oklahoma,
Justice Souter, in his dissenting opinion, argues that in order to avoid a constitutional question, we should interpret the Act to provide only a suit against state officials rather than a suit against the State itself. Post, at 182. But in light of the plain text of § 2710(d)(7)(B), we disagree with the dissent’s assertion that the Act can reasonably be read in that way. “We cannot press statutory construction ‘to the point of disingenuous evasion’ even to avoid a constitutional question.” See United States v. Locke,
Respondents also contend that the Act mandates state regulation of Indian gaming and therefore violates the Tenth Amendment by allowing federal officials to avoid political accountability for those actions for which they are in fact responsible. See New York v. United States,
Unless otherwise indicated, all references to the dissent are to the dissenting opinion authored by Justice Souter.
We note here also that the dissent quotes selectively from the Framers’ statements that it references. The dissent cites the following, for instance, as a statement made by Madison: “[T]he Constitution *give[s] a citizen a right to be heard in the federal courts; and if a state should condescend to be a party, this court may take cognizance of it.’ ” Post, at 143 (opinion of Souter, J.). But that statement, perhaps ambiguous when read in isolation, was preceded by the following: “[jjurisdietion in controversies between a state and citizens of another state is much objected to, and perhaps without reason. It is not in the power of individuals to call any state into court. The only operation it can have, is that, if a state should wish to bring a suit against a citizen, it must be brought before the federal courts. It appears to me that this can have no operation but this:” See 3 J. Elliot, Debates on the Federal Constitution 533 (2d ed. 1836).
Although the absence of any discussion dealing with federal-question jurisdiction is therefore unremarkable, what is notably lacking in the Framers’ statements is any mention of Congress’ power to abrogate the States’ immunity. The absence of any discussion of that power is particularly striking in light of the fact that the Framers virtually always were very specific about the exception to state sovereign immunity arising from a State’s consent to suit. See, e. g., The Federalist No. 81, pp. 487-488 (C. Rossiter ed. 1961) (A. Hamilton) (“It is inherent in the nature of sovereignty not to be amenable to the suit of an individual with
This argument wholly disregards other methods of ensuring the States’ compliance with federal law: The Federal Government can bring suit in federal court against a State, see, e. g., United States v. Texas,
Justice Stevens, in his dissenting opinion, makes two points that merit separate response. First, he contends that no distinction may be drawn between state sovereign immunity and the immunity enjoyed by state and federal officials. But even assuming that the latter has no constitutional foundation, the distinction is clear: The Constitution specifically recognizes the States as sovereign entities, while government officials enjoy no such constitutional recognition. Second, Justice Stevens criti-
Justice Stevens understands our opinion to prohibit federal jurisdiction over suits to enforce the bankruptcy, copyright, and antitrust laws against the States. He notes that federal jurisdiction over those statutory schemes is exclusive, and therefore concludes that there is “no remedy” for state violations of those federal statutes. Post, at 78, n. 1.
That conclusion is exaggerated both in its substance and in its significance. First, Justice Stevens’ statement is misleadingly overbroad. We have already seen that several avenues remain open for ensuring state compliance with federal law. See n. 14, supra. Most notably, an individual may obtain injunctive relief under Ex parte Young in order to remedy a state officer’s ongoing violation of federal law. See n. 14, supra. Second, contrary to the implication of Justice Stevens’ conclusion, it has not been widely thought that the federal antitrust, bankruptcy, or copyright statutes abrogated the States’ sovereign immunity. This Court never has awarded relief against a State under any of those statutory schemes; in the decision of this Court that Justice Stevens cites (and somehow labels “incompatible” with our decision here), we specifically reserved the question whether the Eleventh Amendment would allow a suit to enforce the antitrust laws against a State. See Goldfarb v. Virginia State Bar, 421
Contrary to the claims of the dissent, we do not hold that Congress cannot authorize federal jurisdiction under Ex parte Young over a cause of action with a limited remedial scheme. We find only that Congress did not intend that result in the Indian Gaming Regulatory Act. Although one might argue that the text of §2710(d)(7)(A)(i), taken alone, is broad enough to encompass both a suit against a State (under an abrogation theory) and a suit against a state official (under an Ex parte Young theory), subsection (A)(i) of § 2710(d)(7) cannot be read in isolation from subsections (B)(ii)-(vii), which repeatedly refer exclusively to “the State.” See supra, at 56-57. In this regard, § 2710(d)(7) stands in contrast to the statutes cited by the dissent as examples where lower courts have found that Congress implicitly authorized suit under Ex parte Young. Compare 28 U. S. C. § 2254(e) (federal court authorized to issue an “order directed to an appropriate State official”); 42 U. S. C. § 11001 (1988 ed.) (requiring “the Governor” of a State to perform certain actions and holding “the Governor” responsible for nonperformance); 33 U. S. C. § 1365(a) (authorizing a suit against “any person” who is alleged to be in violation of relevant water pollution laws). Similarly the duty imposed by the Act — to “negotiate ... in good faith to enter into” a compact with another sovereign— stands distinct in that it is not of the sort likely to be performed by an individual state executive officer or even a group of officers. Cf. State ex rel. Stephan v. Finney,
We do not here consider, and express no opinion upon, that portion of the decision below that provides a substitute remedy for a tribe bringing suit. See
Dissenting Opinion
dissenting.
This case is about power — the power of the Congress of the United States to create a private federal cause of action against a State, or its Governor, for the violation of a federal right. In Chisholm v. Georgia,
The importance of the majority’s decision to overrule the Court’s holding in Pennsylvania v. Union Gas Co. cannot be overstated. The majority’s opinion does not simply preclude Congress from establishing the rather curious statutory scheme under which Indian tribes may seek the aid of a federal court to secure a State’s good-faith negotiations over gaming regulations. Rather, it prevents Congress from providing a federal forum for a broad range of actions against States, from those sounding in copyright and patent law, to those concerning bankruptcy, environmental law, and the regulation of our vast national economy.
As Justice Souter has convincingly demonstrated, the Court’s contrary conclusion is profoundly misguided. Despite the thoroughness of his analysis, supported by sound reason, history, precedent, and strikingly uniform scholarly commentary, the shocking character of the majority’s affront to a coequal branch of our Government merits additional comment.
I
For the purpose of deciding this case, I can readily assume that Justice Iredell’s dissent in Chisholm v. Georgia, 2 Dall., at 429-450, and the Court’s opinion in Hans v. Louisiana,
In concluding that the federal courts could not entertain Chisholm’s action against the State of Georgia, Justice Ire-dell relied on the text of the Judiciary Act of 1789, not the State’s assertion that Article III did not extend the judicial power to suits against unconsenting States. Justice Iredell argued that, under Article III, federal courts possessed only
Because Justice Iredell believed that the expansive text of Article III did not prevent Congress from imposing this common-law limitation on federal-court jurisdiction, he concluded that judges had no authority to entertain a suit against an unconsenting State.
“[Congress’] direction, I apprehend, we cannot supersede, because it may appear to us not sufficiently extensive. If it be not, we must wait till other remedies are provided by the same authority. From this it is plain that the Legislature did not chuse to leave to our own*80 discretion the path to justice, but has prescribed one of its own. In doing so, it has, I think, wisely, referred us to principles and usages of law already well known, and by their precision calculated to guard against that innovating spirit of Courts of Justice, which the Attorney-General in another case reprobated with so much warmth, and with whose sentiments in that particular, I most cordially join.” Id., at 434 (emphasis added).
For Justice Iredell then, it was enough to assume that Article III permitted Congress to impose sovereign immunity as a jurisdictional limitation; he did not proceed to resolve the further question whether the Constitution went so far as to prevent Congress from withdrawing a State’s immunity.
The precise holding in Chisholm is difficult to state ber cause each of the Justices in the majority wrote his own opinion. They seem to have held, however, not that the Judiciary Act of 1789 precluded the defense of sovereign immunity, but that Article III of the Constitution itself required the Supreme Court to entertain original actions
In light of the nature of the disagreement between Justice Iredell and his colleagues, Chisholm’s holding could have been overturned by simply amending the Constitution to restore to Congress the authority to recognize the doctrine. As it was, the plain text of the Eleventh Amendment would seem to go further and to limit the judicial power itself in a certain class of cases. In doing so, however, the Amend
Justice Brennan has persuasively explained that the Eleventh Amendment’s jurisdictional restriction is best understood to apply only to suits premised on diversity jurisdiction, see Atascadero State Hospital v. Scanlon,
The language of Article III certainly gives no indication that such an implicit bar exists. That provision’s text specifically provides for federal-court jurisdiction over all cases arising under federal law. Moreover, as I have explained, Justice Iredell’s dissent argued that it was the Judiciary Act of 1789, not Article III, that prevented the federal courts from entertaining Chisholm’s diversity action against Georgia. Therefore, Justice Iredell’s analysis at least suggests that it was by no means a fixed view at the time of the founding that Article III prevented Congress from rendering States suable in federal court by their own citizens. In sum, little more than speculation justifies the conclusion that the Eleventh Amendment’s express but partial limitation on the scope of Article III reveals that an implicit but more general one was already in place.
II
The majority appears to acknowledge that one cannot deduce from either the text of Article III or the plain terms of
Hans does not hold, however, that the Eleventh Amendment, or any other constitutional provision, precludes federal courts from entertaining actions brought by citizens against their own States in the face of contrary congressional direction. As I have explained before, see Pennsylvania v. Union Gas Co.,
Justice Bradley’s somewhat cryptic opinion for the Court in Hans relied expressly on the reasoning of Justice Iredell’s dissent in Chisholm, which, of course, was premised on the view that the doctrine of state sovereign immunity was a common-law rule that Congress had directed federal courts to respect, not a constitutional immunity that Congress was powerless to displace. For that reason, Justice Bradley explained that the State’s immunity from suit by one of its own
“But besides the presumption that no anomalous and unheard of proceedings or suits were intended to be raised up by the Constitution — anomalous and unheard of when the Constitution was adopted — an additional reason why the jurisdiction claimed for the Circuit Court does not exist, is the language of the act of Congress by which its jurisdiction is conferred. The words are these: ‘The circuit courts of the United States shall have original cognizance, concurrent with the courts of the several States, of all suits of a civil nature at common law or in equity,... arising under the Constitution or laws of the United States, or treaties,’ etc. — ‘Concurrent with the courts of the several States.’ Does not this qualification show that Congress, in legislating to carry the Constitution into effect, did not intend to invest its. courts with any new and strange jurisdictions? The state courts- have no power to entertain suits by individuáis- against a State without its consent.. Then how does the Circuit- Court, having, only concurrent jurisdiction, acquire any such power?' It is true that the same qualification existed in the judiciary act of 1789, which was before the court in Chisholm v. Georgia, and the majority of the court did not think that it was sufficient to limit the jurisdiction of the Circuit Court. Justice Iredell thought differently. In view of the manner in which that decision was received by the country, the adoption of the Eleventh Amendment, the light of history and the reason of the thing, we think we are at liberty to prefer Justice Iredell’s views in this regard.” Hans v. Louisiana,134 U. S., at 18-19 .
Indeed, the very fact that the Court characterized the doctrine of sovereign immunity as a “presumption” confirms its assumption that it could be displaced. The Hans Court’s inquiry into congressional intent would have been wholly inappropriate if it had believed that the doctrine of sovereign immunity was a constitutionally inviolable jurisdictional limitation. Thus, Hans provides no basis for the majority’s conclusion that Congress is powerless to make States suable in cases not mentioned by the text of the Eleventh Amendment. Instead, Hans provides affirmative support for the view that Congress may create federal-court jurisdiction over private causes of action against unconsenting States brought by their own citizens.
It is true that the underlying jurisdictional statute involved in this case, 28 U. S. C. § 1331, does not itself purport to direct federal courts to ignore a State’s sovereign immunity any more than did the underlying jurisdictional statute discussed in Hans, the Judiciary Act of 1875. However, unlike in Hans, in this case Congress has, by virtue of the Indian Gaming Regulatory Act, affirmatively manifested its intention to “invest its courts with” jurisdiction beyond the limits set forth in the general jurisdictional statute.
Given the nature of the cause of action involved in Hans, as well as the terms of the underlying jurisdictional statute, the Court’s decision to apply the common-law doctrine of sovereign immunity in that case clearly should not control the outcome here. The reasons that may support a federal court’s hesitancy to construe a judicially crafted constitutional remedy narrowly out of respect for a State’s sovereignty do not bear on whether Congress may preclude a State’s invocation of such a defense when it expressly establishes a federal remedy for the violation of a federal right.
No one has ever suggested that Congress would be powerless to displace the other common-law immunity doctrines that this Court has recognized as appropriate defenses to certain federal claims such as the judicially fashioned remedy in Bivens v. Six Unknown Fed. Narcotics Agents, 403
Some of our precedents do state that the sovereign immunity doctrine rests on fundamental constitutional “postulates” and partakes of jurisdictional aspects rooted in Article III. See ante, at 67-70. Most notably, that reasoning underlies this Court’s holding in Principality of Monaco v. Mississippi,
Monaco is a most inapt precedent for the majority’s holding today. That case barred a foreign sovereign from suing a State in an equitable state-law action to recover payments due on state bonds. It did not, however, involve a claim based on federal law. Instead, the case concerned a purely state-law question to which the State had interposed a federal defense. Id., at 317. Thus, Monaco reveals little about the power of Congress to create a private federal cause of action to remedy a State’s violation of federal law.
Moreover, although Monaco attributes a quasi-constitutional status to sovereign immunity, even in cases not covered by the Eleventh Amendment’s plain text, that characterization does not constitute precedent for the proposition that Congress is powerless to displace a State’s immu
In this regard, I note that Monaco itself analogized sovereign immunity to the prudential doctrine that “controversies” identified in Article III must be “justiciable” in order to be heard by federal courts. Id., at 329. The justiciability doctrine is a prudential rather than a jurisdictional one, and thus Congress’ clearly expressed intention to create federal jurisdiction over a particular Article III controversy necessarily strips federal courts of the authority to decline jurisdiction on justiciability grounds. See Allen v. Wright,
More generally, it is quite startling to learn that the reasoning of Hans and Monaco (even assuming that it did not undermine the majority’s view) should have a stare decisis effect on the question whether Congress possesses the authority to provide a federal forum for the vindication of a federal right by a citizen against its own State. In light of the Court’s development of a “clear-statement” line of juris
Finally, the particular nature of the federal question involved in Hans renders the majority’s reliance upon its rule even less defensible. Hans deduced its rebuttable presumption in favor of sovereign immunity largely on the basis of its extensive analysis of cases holding that the sovereign could not be forced to make good on its debts via a private suit. See Louisiana v. Jumel,
Because Hans’ claimed federal right did not arise independently of state law, sovereign immunity was relevant to the threshold state-law question of whether a valid contract existed.
“To avoid misapprehension it may be proper to add that, although the obligations of a State rest for their performance upon its honor and good faith, and cannot be made the subject of judicial cognizance unless the State consents to be sued, or comes itself into court; yet where property or rights are enjoyed under a grant or contract made by a State, they cannot wantonly be invaded. Whilst the State cannot be compelled by suit to perform its contracts, any attempt on its part to violate property or rights acquired under its contracts, may be*92 judicially resisted; and any law impairing the obligation of contracts under which such property or rights are held is void and powerless to affect their enjoyment.” Hans v. Louisiana,134 U. S., at 20-21 .
That conclusion casts doubt on the absolutist view that Hans definitively establishes that Article III prohibits federal courts from entertaining federal-question suits brought against States by their own citizens. At the very least, Hans suggests that such suits may be brought to enjoin States from impairing existing contractual obligations.
The view that the rule of Hans is more substantive than jurisdictional comports with Hamilton’s famous discussion of sovereign immunity in The Federalist Papers. Hamilton offered his view that the federal judicial power would not extend to suits against unconsenting States only in the context of his contention that no contract with a State could be enforceable against the State’s desire. He did not argue that a State’s immunity from suit in federal court would be absolute.
“[T]here is no color to pretend that the State governments would, by the adoption of [the plan of convention], be divested of the privilege of paying their own debts in their own way, free from every constraint but that which flows from the obligations of good faith. The contracts between a nation and individuals are only binding on the conscience of the sovereign, and have no pretensions to a compulsive force. They confer no right of action independent of the sovereign will.” The Federalist No. 81, p. 488 (C. Rossiter ed. 1961).
Here, of course, no question of a State’s contractual obligations is presented. The Seminole Tribe’s only claim is that the State of Florida has failed to fulfill a duty to negotiate that federal statutory law alone imposes. Neither the Fed
M HH HH
In reaching my conclusion that the Constitution does not prevent Congress from making the State of Florida suable in federal court for violating one of its statutes, I emphasize that I agree with the majority that in all cases to which the judicial power does not extend — either because they are not within any category defined in Article III or because they are within the category withdrawn from Article III by the Eleventh Amendment — Congress lacks the power to confer jurisdiction on the federal courts. As I have previously insisted: “A statute cannot amend the Constitution.” Pennsylvania v. Union Gas Co.,
It was, therefore, misleading for the Court in Fitzpatrick v. Bitzer,
In confronting the question whether a federal grant of jurisdiction is within the scope of Article III, as limited by the Eleventh Amendment, I see no reason to distinguish among statutes enacted pursuant to the power granted to Congress to regulate commerce among the several States, and with the Indian tribes, Art. I, §8, cl. 3, the power to establish
The Court’s holdings in Fitzpatrick v. Bitzer,
IV
As I noted above, for the purpose of deciding this case, it is not necessary to question the wisdom of the Court’s decision in Hans v. Louisiana. Given the absence of precedent for the Court’s dramatic application of the sovereign immunity doctrine today, it is nevertheless appropriate to identify the questionable heritage of the doctrine and to suggest that there are valid reasons for limiting, or even rejecting that doctrine altogether, rather than expanding it.
Except insofar as it has been incorporated into the text of the Eleventh Amendment, the doctrine is entirely the product of judge-made law. Three features of its English ancestry make it particularly unsuitable for incorporation into the law of this democratic Nation.
First, the assumption that it could be supported by a belief that “the King can do no wrong” has always been absurd; the bloody path trod by English monarchs both before and after they reached the throne demonstrated the fictional character of any such assumption. Even if the fiction had been acceptable in Britain, the recitation in the Declaration of Independence of the wrongs committed by George III made that proposition unacceptable on this side of the Atlantic.
Third, in a society where noble birth can justify preferential treatment, it might have been unseemly to allow a commoner to hale the monarch into court. Justice Wilson explained how foreign such a justification is to this Nation’s principles. See Chisholm v. Georgia,
“That its motive was not to maintain the sovereignty of a State from the degradation supposed to attend a compulsory appearance before the tribunal of the nation, may be inferred from the terms of the amendment. . . . We must ascribe the amendment, then, to some other cause than the dignity of a State. There is no difficulty in finding this cause. Those who were inhibited from commencing a suit against a State, or from prosecuting one which might be commenced before the adoption of the amendment, were persons who might probably be its creditors. There was not much reason to fear that foreign or sister States would be creditors to any considerable amount, and there was reason to retain the juris*97 diction of the Court in those cases, because it might be essential to the preservation of peace.” Ibid,17
Nevertheless, this Court later put forth the interest in preventing “indignity” as the “very object and purpose of the [Eleventh] Amendment.” In re Ayers,
Moreover, I find unsatisfying Justice Holmes’ explanation that “[a] sovereign is exempt from suit, not because of any formal conception or obsolete theory, but on the logical and practical ground that there can be no legal right as against the authority that makes the law on which the right depends.” Kawananakoa v. Polyblank,
“First, it is nothing more than a restatement of the obvious proposition that a citizen may not sue the sovereign unless the sovereign has violated the citizen’s legal rights. It cannot explain application of the immunity defense in cases like Chisholm, in which it is assumed that the plaintiff’s rights have in fact been violated— and those cases are, of course, the only ones in which the immunity defense is needed. Second, Holmes’s statement does not purport to explain why a general grant of jurisdiction to federal courts should not be treated as an adequate expression of the sovereign’s consent to suits against itself as well as to suits against*98 ordinary litigants.” Stevens, Is Justice Irrelevant?, 87 Nw. U. L. Rev. 1121, 1126 (1993).
In sum, as far as its common-law ancestry is concerned, there is no better reason for the rule of sovereign immunity “than that so it was laid down in the time of Henry IV.” Holmes, The Path of the Law, 10 Harv. L. Rev. 457, 469 (1897). That “reason” for the perpetuation of this ancient doctrine certainly cannot justify the majority’s expansion of it.
In this country the sovereignty of the individual States is subordinate both to the citizenry of each State and to the supreme law of the federal sovereign. For that reason, Justice Holmes’ explanation for a rule that allows a State to avoid suit in its own courts does not even speak to the question whether Congress should be able to authorize a federal court to provide a private remedy for a State’s violation of federal law. In my view, neither the majority’s opinion today, nor any earlier opinion by any Member of the Court, has identified any acceptable reason for concluding that the absence of a State’s consent to be sued in federal court should affect the power of Congress to authorize federal courts to remedy violations of federal law by States or their officials in actions not covered by the Eleventh Amendment’s explicit text.
While I am persuaded that there is no justification for permanently enshrining the judge-made law of sovereign immunity, I recognize that federalism concerns — and even the in
V
Fortunately, and somewhat fortuitously, a jurisdictional problem that is unmentioned by the Court may deprive its opinion of precedential significance. The Indian Gaming Regulatory Act establishes a unique set of procedures for resolving the dispute between the Tribe and the State. If each adversary adamantly adheres to its understanding of the law, if the District Court determines that the State’s inflexibility constitutes a failure to negotiate in good faith, and if the State thereafter continues to insist that it is acting within its rights, the maximum sanction that the Court can impose is an order that refers the controversy to a member of the Executive Branch of the Government for resolution. 25 U. S. C. § 2710(d)(7)(B). As the Court of Appeals interpreted the Act, this final disposition is available even though the action against the State and its Governor may not be maintained.
For these reasons, as well as those set forth in Justice Souter’s opinion, I respectfully dissent.
See, e. g., Pennsylvania v. Union Gas Co.,
As federal courts have exclusive jurisdiction over cases arising under these federal laws, the majority’s conclusion that the Eleventh Amend
Because Justice Iredell read the Judiciary Act of 1789 to have incorporated the common law, he did not even conclude that Congress would have to make a clear statement in order to override the common law’s recognition of sovereign immunity.
Actually, he limited his conclusion to the narrower question whether an action of assumpsit would lie against a State, which he distinguished from the more general question whether a State can ever be sued. Chisholm v. Georgia,
In two sentences at the end of his lengthy opinion, Justice Iredell stated that his then-present view was that the Constitution would not permit a “compulsive suit against a State for the recovery of money.” Id., at 449. In light of Justice Iredell’s express statement that the only question before the Court was the propriety of an individual’s action for as-sumpsit against a State, an action which, of course, results in a money judgment, see n. 2, supra, this dicta should not be understood to state the general view that the Constitution bars all suits against unconsenting States. Moreover, even as to the limited question whether the Constitution permits actions for money judgments, Justice Iredell took pains to reserve ultimate judgment. Chisholm v. Georgia,
In this respect, Chisholm v. Georgia should be understood to be of a piece with the debate over judicial power famously joined in Martin v. Hunter’s Lessee,
The contention that Article III withdrew Georgia’s sovereign immunity had special force precisely because Chisholm involved an action premised on the Supreme Court’s original jurisdiction. While Article III leaves it to Congress to establish the lower federal courts, and to make exceptions to the Supreme Court’s appellate jurisdiction, it specifically mandates that there be a Supreme Court and that it shall be vested with original jurisdiction over those actions in which “a State shall be Party.” Art. Ill, § 2. In light of that language, the Chisholm majority’s conclusion that the Supreme Court had a constitutional obligation to take jurisdiction of all suits against States was not implausible.
It should be remembered that at the time of Chisholm, there was a general fear of what Justice Iredell termed the “innovating spirit” of the Federal Judiciary. See, e. g., 3 A. Beveridge, The Life of John Marshall 19-30 (1919) (discussing the consternation that the federal courts’ creation of common-law felonies engendered). Thus, there is good reason to believe that the reaction to Chisholm reflected the popular hostility to the Federal Judiciary more than any desire to restrain the National Legislature.
Of course, even if the Eleventh Amendment applies to federal-question cases brought by a citizen of another State, its express terms pose no bar to a federal court assuming jurisdiction in a federal-question case brought by an in-state plaintiff pursuant to Congress’ express authorization. As that is precisely the posture of the suit before us, and as it was also precisely the posture of the suit at issue in Pennsylvania v. Union Gas, there is no need to decide here whether Congress would be barred from authorizing out-of-state plaintiffs to enforce federal rights against States in federal court. In fact, Justice Brennan left open that question in his dissent in Atascadero State Hospital v. Scanlon,
Under the “plain text” of the Eleventh Amendment, I note that there would appear to be no more basis for the conclusion that States may consent to federal-court jurisdiction in actions brought by out-of-state or foreign citizens than there would be for the view that States should be permitted to consent to the jurisdiction of a federal court in a case that poses no federal question. See, e. g., Owen Equipment & Erection Co. v.
In his dissent in Pennsylvania v. Union Gas Co.,
Congress has the authority to withdraw sovereign immunity in eases not covered by the Eleventh Amendment under all of its various powers. Nothing in Hans is to the contrary. As the passage quoted above demonstrates, Hans merely concluded that Congress, in enacting the Judiciary Act of 1875, did not manifest a desire to withdraw state sovereign immunity with sufficient clarity to overcome the countervailing presumption. Therefore, I rely only on the distinction between a statute that clearly directs federal courts to entertain suits against States, such as the one before us here, and a statute that does not, such as the Judiciary Act of 1875. In light of our repeated application of a clear-statement rule in Eleventh Amendment eases, from Hans onward, I would be surprised to learn that such a distinction is too thin to be acceptable.
Indeed, to the extent the reasoning of Monaco was premised on the ground that a contrary ruling might permit foreign governments and States indirectly to frustrate Congress’ treaty power,
Moreover, they would have most unnecessarily burdened Congress. For example, after deciding that Congress had not made sufficiently explicit its intention to withdraw the state sovereign immunity defense in certain bankruptcy actions, see Hoffman v. Connecticut Dept. of Income Maintenance,
Significantly, Chief Justice Marshall understood the Eleventh Amendment’s bar to have been designed primarily to protect States from being sued for their debts. See Cohens v. Virginia,
Significantly, many of the cases decided after Hans in which this Court has recognized state sovereign immunity involved claims premised on the breach of rights that were rooted in state law. See Ford Motor Co. v. Department of Treasury of Ind.,
It is significant that Justice Souter’s opinion makes it perfectly clear that Justice Ginsburg, Justice Breyer, and he did not consider it necessary to rely on the holding in Union Gas to support their conclu
See Stevens, Is Justice Irrelevant?, 87 Nw. U. L. Rev. 1121, 1124-1125 (1993).
Interestingly, this passage demonstrates that the Court’s application of a common-law sovereign immunity defense in Principality of Monaco v. Mississippi,
Because Hans v. Louisiana,
“It is not necessary that we should enter upon an examination of the reason or the expediency of the rule which exempts a sovereign State from prosecution in a court of justice at the suit of individuals. This is fully discussed by writers on public law. It is enough for us to declare its existence.” Id., at 21.
So it is today.
Dissenting Opinion
with whom Justice Ginsburg and Justice Breyer join, dissenting.
In holding the State of Florida immune to suit under the Indian Gaming Regulatory Act, the Court today holds for the first time since the founding of the Republic that Congress has no authority to subject a State to the jurisdiction of a federal court at the behest of an individual asserting a federal right. Although the Court invokes the Eleventh Amendment as authority for this proposition, the only sense in which that amendment might be claimed as pertinent here was tolerantly phrased by Justice Stevens in his concurring opinion in Pennsylvania v. Union Gas Co.,
The fault I find with the majority today is not in its decision to reexamine Union Gas, for the Court in that case produced no majority for a single rationale supporting congressional authority. Instead, I part company from the Court because I am convinced that its decision is fundamentally mistaken, and for that reason I respectfully dissent.
It is useful to separate three questions: (1) whether the States enjoyed sovereign immunity if sued in their own courts in the period prior to ratification of the National Constitution; (2) if so, whether after ratification the States were entitled to claim some such immunity when sued in a federal court exercising jurisdiction either because the suit was between a State and a nonstate litigant who was not its citizen, or because the issue in the case raised a federal question; and (3) whether any state sovereign immunity recognized in federal court may be abrogated by Congress.
The answer to the first question is not clear, although some of the Framers assumed that States did enjoy immunity in their own courts. The second question was not debated at the time of ratification, except as to citizen-state diversity jurisdiction;
The adoption of the Eleventh Amendment soon changed the result in Chisholm, not by mentioning sovereign immunity, but by eliminating citizen-state diversity jurisdiction over cases with state defendants. I will explain why the
The Court’s answer today to the third question is likewise at odds with the Founders’ view that common law, when it was received into the new American legal system, was always subject to legislative amendment. In ignoring the reasons for this pervasive understanding at the time of the ratification, and in holding that a nontextual common-law rule limits a clear grant of congressional power under Article I, the Court follows a course that has brought it to grief before in our history, and promises to do so again.
Beyond this third question that elicits today’s holding, there is one further issue. To reach the Court’s result, it must not only hold the Hans doctrine to be outside the reach of Congress, but must also displace the doctrine of Ex parte Young,
A
The doctrine of sovereign immunity comprises two distinct rules, which are not always separately recognized. The one rule holds that the King or the Crown, as the font of law, is
The significance of this doctrine in the nascent American law is less clear, however, than its early development and steady endurance in England might suggest. While some colonial governments may have enjoyed some such immunity, Jacobs, supra, at 6-7, the scope (and even the existence) of this governmental immunity in pre-Revolutionary America remains disputed. See Gibbons, The Eleventh Amendment and State Sovereign Immunity: A Reinterpretation, 83 Colum. L. Rev. 1889, 1895-1899 (1983).
The 1787 draft in fact said nothing on the subject, and it was this very silence that occasioned some, though apparently not widespread, dispute among the Framers and others over whether ratification of the Constitution would preclude a State sued in federal court from asserting sovereign immunity as it could have done on any matter of nonfederal law litigated in its own courts. As it has come down to us, the discussion gave no attention to congressional power under the proposed Article I but focused entirely on the limits of the judicial power provided in Article III. And although the jurisdictional bases together constituting the judicial power of the national courts under § 2 of Article III included questions arising under federal law and cases between States
Later in my discussion I will canvass the details of the debate among the Framers and other leaders of the time, see infra, at 142-150; for now it is enough to say that there was no consensus on the issue. See Atascadero State Hospital v. Scanlon,
B
The argument among the Framers and their friends about sovereign immunity in federal citizen-state diversity cases, in any event, was short lived and ended when this Court, in Chisholm v. Georgia, 2 Dall. 419 (1793), chose between the constitutional alternatives of abrogation and recognition of the immunity enjoyed at common law. The 4-to-l majority adopted the reasonable (although not compelled) interpretation that the first of the two Citizen-State Diversity Clauses abrogated for purposes of federal jurisdiction any immunity the States might have enjoyed in their own courts, and Georgia was accordingly held subject to the judicial power in a common-law assumpsit action by a South Carolina citizen suing to collect a debt.
Although Justice Iredell’s dissent in Chisholm seems at times to reserve judgment on what I have called the third question, whether Congress could authorize suits against the States, Chisholm, supra, at 434-435, his argument is largely devoted to stating the position taken by several federalists that state sovereign immunity was cognizable under the Citizen-State Diversity Clauses, not that state immunity was somehow invisibly codified as an independent constitutional defense. As Justice Stevens persuasively explains in greater detail, ante, at 78-81, Justice Iredell’s dissent focused on the construction of the Judiciary Act of 1789, not Article III. See also Orth, The Truth About Justice Ire-dell’s Dissent in Chisholm v. Georgia (1793), 73 N. C. L. Rev. 255 (1994). This would have been an odd focus, had he believed that Congress lacked the constitutional authority to impose liability. Instead, on Justice Iredell’s view, States sued in diversity retained the common-law sovereignty “where no special act of Legislation controuls it, to be in force in each State, as it existed in England, (unaltered by any statute) at the time of the first settlement of the country.” 2 Dall, at 435 (emphasis deleted). While in at least some circumstances States might be held liable to “the authority of the United States,” id., at 436, any such liability
C
The Eleventh Amendment, of course, repudiated Chisholm and clearly divested federal courts of some jurisdiction as to cases against state parties:
“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.”
There are two plausible readings of this provision’s text. Under the first, it simply repeals the Citizen-State Diversity
The history and structure of the Eleventh Amendment convincingly show that it reaches only to suits subject to federal jurisdiction exclusively under the Citizen-State Diversity Clauses.
“[N]o state shall be liable to be made a party defendant, in any of the judicial courts, established, or which shall be established under the authority of the United States, at the suit of any person or persons, whether a citizen or citizens, or a foreigner or foreigners, or of any body politic or corporate, whether within or without the United States.” Gazette of the United States 303 (Feb. 20, 1793).
With its references to suits by citizens as well as non-citizens, the Sedgwick amendment would necessarily have been applied beyond the Diversity Clauses, and for a reason that would have been wholly obvious to the people of the time. Sedgwick sought such a broad amendment because many of the States, including his own, owed debts subject to collection under the Treaty of Paris. Suits to collect such debts would “arise under” that Treaty and thus be subject to federal-question jurisdiction under Article III. Such a suit, indeed, was then already pending against Massachusetts, having been brought in this Court by Christopher Vassal, an erstwhile Bostonian whose move to England on the eve of revolutionary hostilities had presented his former neighbors with the irresistible temptation to confiscate his vacant mansion. 5 Documentary History of the Supreme Court of the United States, 1789-1800, pp. 352-449 (M. Marcus ed. 1994).
It should accordingly come as no surprise that the weightiest commentary following the Amendment’s adoption described it simply as constricting the scope of the Citizen-State Diversity Clauses. In Cohens v. Virginia,
The treatment of the Amendment in Osborn v. Bank of United States,
The good sense of this early construction of the Amendment as affecting the diversity jurisdiction and no more has the further virtue of making sense of this Court’s repeated exercise of appellate jurisdiction in federal-question suits brought against States in their own courts by out-of-staters. Exercising appellate jurisdiction in these cases would have been patent error if the Eleventh Amendment limited federal-question jurisdiction, for the Amendment’s unconditional language (“shall not be construed”) makes no distinction between trial and appellate jurisdiction.
In sum, reading the Eleventh Amendment solely as a limit on citizen-state diversity jurisdiction has the virtue of coherence with this Court’s practice, with the views of John Marshall, with the history of the Amendment’s drafting, and with its allusive language. Today’s majority does not appear to disagree, at least insofar as the constitutional text is concerned; the Court concedes, after all, that “the text of the Amendment would appear to restrict only the Article III diversity jurisdiction of the federal courts.” Ante, at 54.
Thus, regardless of which of the two plausible readings one adopts, the further point to note here is that there is no possible argument that the Eleventh Amendment, by its terms, deprives federal courts of jurisdiction over all citizen law
II
The obvious place to look elsewhere, of course, is Hans v. Louisiana,
A
The Louisiana plaintiff in Hans held bonds issued by that State, which, like virtually all of the Southern States, had issued them in substantial amounts during the Reconstruction era to finance public improvements aimed at stimulating
Hans sued the State in federal court, asserting that the State’s default amounted to an impairment of the obligation of its contracts in violation of the Contract Clause. This Court affirmed the dismissal of the suit, despite the fact that the case fell within the federal court’s “arising under,” or federal-question, jurisdiction. Justice Bradley’s opinion did not purport to hold that the terms either of Article III or of the Eleventh Amendment barred the suit, but that the ancient doctrine of sovereign immunity that had inspired adoption of the Eleventh Amendment applied to cases beyond the Amendment’s scope and otherwise within the federal-question jurisdiction. Indeed, Bradley explicitly admitted that “[i]t is true, the amendment does so read [as to permit Hans’s suit], and if there were no other reason or ground for abating his suit, it might be maintainable.” Hans,
Hans thus addressed the issue implicated (though not directly raised) in the preratification debate about the Citizen-State Diversity Clauses and implicitly settled by Chisholm: whether state sovereign immunity was cognizable by federal
Taking Hans only as far as its holding, its vulnerability is apparent. The Court rested its opinion on avoiding the supposed anomaly of recognizing jurisdiction to entertain a citizen’s federal-question suit, but not one brought by a non-citizen. See Hans, supra, at 10-11. There was, however, no such anomaly at all. As already explained, federal-question eases are not touched by the Eleventh Amendment, which leaves a State open to federal-question suits by citizens and noncitizens alike. If Hans had been from Massachusetts the Eleventh Amendment would not have barred his action against Louisiana.
Although there was thus no anomaly to be cured by Hans, the case certainly created its own anomaly in leaving federal courts entirely without jurisdiction to enforce paramount federal law at the behest of a citizen against a State that broke it. It destroyed the congruence of the judicial power under Article III with the substantive guarantees of the Constitution, and with the provisions of statutes passed by Congress in the exercise of its power under Article I: when a State injured an individual in violation of federal law no federal forum could provide direct relief. Absent an alternative process to vindicate federal law (see Part IV, infra) John Marshall saw just what the consequences of this anomaly would be in the early Republic, and he took that consequence as good evidence that the Framers could never have intended such a scheme.
*120 “Different States may entertain different opinions on the true construction of the constitutional powers of congress. We know that, at one time, the assumption of the debts contracted by the several States, during the war of our Revolution, was deemed unconstitutional by some of them. . . . States may legislate in conformity to their opinions, and may enforce those opinions by penalties. It would be hazarding too much to assert that the judicatures of the States will be exempt from the prejudices by which the legislatures and people are influenced, and will constitute perfectly impartial tribunals. In many States the judges are dependent for office and for salary on the will of the legislature. The constitution of the United States furnishes no security against the universal adoption of this principle. When we observe the importance which that constitution attaches to the independence of judges, we are the less inclined to suppose that it can have intended to leave these constitutional questions to tribunals where this independence may not exist.” Cohens v. Virginia,6 Wheat., at 386-387 .
And yet that is just what Hans threatened to do.
How such a result could have been threatened on the basis of a principle not so much as mentioned in the Constitution is difficult to understand. But history provides the explanation. As I have already said, Hans was one episode in a long story of debt repudiation by the States of the former Confederacy after the end of Reconstruction. The turning point in the States’ favor came with the Compromise of 1877, when the Republican Party agreed effectively to end Reconstruction and to withdraw federal troops from the South in return for Southern acquiescence in the decision of the Electoral Commission that awarded the disputed 1876 presidential election to Rutherford B. Hayes. See J. Orth, Judicial Power of the United States: The Eleventh Amendment in American History 53-57 (1987); Gibbons, supra, at 1978-
B
The majority does not dispute the point that Hans v. Louisiana,
The “rationale” which the majority seeks to invoke is, I think, more nearly stated in its quotation from Principality of Monaco v. Mississippi, 292 U. S. 313, 321-323 (1934). There, the Court said that “we cannot rest with a mere literal application of the words of § 2 of Article III, or assume that the letter of the Eleventh Amendment exhausts the restrictions upon suits against non-consenting States.” Id., at 322.
The majority, however, would read the “rationale” of Hans and its line of subsequent cases as answering the further question whether the “postulate” of sovereign immunity that “limit[s] and controls]” the exercise of Article III jurisdiction, Monaco, supra, at 322, is constitutional in stature and therefore unalterable by Congress. It is true that there are statements in the cases that point toward just this conclusion. See, e. g., Pennhurst State School and Hospital v. Halderman,
The most damning evidence for the Court’s theory that Hans rests on a broad rationale of immunity unalterable by Congress, however, is the Court’s proven tendency to disregard the post-Hans dicta in cases where that dicta would have mattered.
*127 “As it was not the Eleventh Amendment by its terms which justified the result in Hans, it is not the Tenth Amendment by its terms that prohibits congressional action which sets a mandatory ceiling on the wages of all state employees. Both Amendments are simply examples of the understanding of those who drafted and ratified the Constitution that the States were sovereign in many respects, and that although their legislative authority could be superseded by Congress in many areas where Congress was competent to act, Congress was nonetheless not free to deal with a State as if it were just another individual or business enterprise subject to regulation.” Id., at 556-557 (dissenting opinion).
Hans itself recognized that an “observation [in a prior case that] was unnecessary to the decision, and in that sense extra judicial . . . ought not to outweigh” present reasoning that points to a different conclusion.
III
Three critical errors in Hans weigh against constitutional-izing its holding as the majority does today. The first we have already seen: the Hans Court misread the Eleventh Amendment, see supra, at 118-123. It also misunderstood the conditions under which common-law doctrines were received or rejected at the time of the founding, and it fundamentally mistook the very nature of sovereignty in the young Republic that was supposed to entail a State’s immunity to federal-question jurisdiction in a federal court. While I would not, as a matter of stare decisis, overrule Hans today, an understanding of its failings on these points will show how the Court today simply compounds already serious error in taking Hans the further step of investing its rule with constitutional inviolability against the considered judgment of Congress to abrogate it.
A
There is and could be no dispute that the doctrine of sovereign immunity that Hans purported to apply had its origins in the “familiar doctrine of the common law,” The Siren,
This fact of the doctrine’s common-law status in the period covering the founding and the later adoption of the Eleventh Amendment should have raised a warning flag to the Hans Court and it should do the same for the Court today. For although the Court has persistently assumed that the common law’s presence in the minds of the early Framers must
1
This American reluctance to import English common law wholesale into the New World is traceable to the early colonial period. One scholar of that time has written that “[t]he
It is true that, with the development, of colonial society and the increasing sophistication of the colonial bar, English common law gained increasing acceptance in colonial practice. See id., at 7-8; Hall, The Common Law: An Account of its Reception in the United States, 4 Vand. L. Rev. 791,
“the whole body of the common law . . . was not transplanted, but only so much as was applicable to the colonists in their new relations and conditions. Much of the common law related to matters which were purely local, which existed under the English political organization, or was based upon the triple relation of king, lords and commons, or those peculiar social conditions, habits and customs which have no counterpart in the New World. Such portions of the common law, not being applicable to the new conditions of the colonists, were never recog-nised as part of their jurisprudence.” Dale, The Adoption of the Common Law by the American Colonies, 30 Am. L. Reg. 553, 554 (1882).31
The result was that “the increasing influx of common-law principles by no means obliterated the indigenous systems which had developed during the colonial era and that there existed important differences in law in action on the two sides of the Atlantic.” Hall, supra, at 797.
The consequence of this anti-English hostility and awareness of changed circumstances was that the independent States continued the colonists’ practice of adopting only so much of the common law as they thought applicable to their local conditions.
2
While the States had limited their reception of English common law to principles appropriate to American conditions, the 1787 draft Constitution contained no provision for adopting the common law at all. This omission stood in sharp contrast to the state constitutions then extant, virtually all of which contained explicit provisions dealing with common-law reception. See n. 56, infra. Since the experience in the States set the stage for thinking at the national level, see generally G. Wood, Creation of the American Republic, 1776-1787, p. 467 (1969) (Wood), this failure to address the notion of common-law reception could not have been inadvertent. Instead, the Framers chose to recognize only particular common-law concepts, such as the writ of ha-
Records of the ratification debates support Marshall’s understanding that everyone had to know that the new Constitution would not draw the common law in its train. Anti-federalists like George Mason went so far as to object that
The Framers also recognized that the diverse development of the common law in the several States made a general federal reception impossible. “The common law was not the same in any two of the Colonies,” Madison observed; “in some the modifications were materially and extensively different.” Report on the Virginia Resolutions, House of Delegates, Session of 1799-1800, Concerning Alien and Sedition Laws, in 6 Writings of James Madison 373 (G. Hunt ed. 1906)
Finally, the Framers’ aversion to a general federal reception of the common law is evident from the Federalists’ re
Madison made this assumption absolutely clear during the subsequent debates over the Alien and Sedition Acts, which raised the issue of whether the Framers intended to recognize a general federal jurisdiction to try common-law crimes. Rejecting the idea of any federal reception, Madison insisted that
“the consequence of admitting the common law as the law of the United States, on the authority of the individual States, is as obvious as it would be fatal. As this law relates to every subject of legislation, and would be paramount to the Constitutions and laws of the States, the admission of it would overwhelm the residuary sovereignty of the States, and by one constructive operation new model the whole political fabric of the country.” Alien and Sedition Laws 381.
See also 1 Goebel, Oliver Wendell Holmes Devise History of the Supreme Court of the United States, at 651-655 (discuss
“[i]t is . . . distressing to reflect that it ever should have been made a question, whether the Constitution, on the whole face of which is seen so much labor to enumerate and define the several objects of Federal power, could intend to introduce in the lump, in an indirect manner, and by a forced construction of a few phrases, the vast and multifarious jurisdiction involved in the common law — a law filling so many ample volumes; a law overspreading the entire field of legislation; and a law that would sap the foundation of the Constitution as a system of limited and specified powers.” Alien and Sedition Laws 382.
B
Given the refusal to entertain any wholesale reception of common law, given the failure of the new Constitution to make any provision for adoption of common law as such, and given the protests already quoted that no general reception had occurred, the Hans Court and the Court today cannot reasonably argue that something like the old immunity doctrine somehow slipped in as a tacit but enforceable background principle. But see ante, at 72. The evidence is even more specific, however, that there was no pervasive understanding that sovereign immunity had limited federal-question jurisdiction.
1
As I have already noted briefly, see supra, at 105-106, the Framers and their contemporaries did not agree about the
"It is inherent in the nature of sovereignty, not to be amenable to the suit of an individual without its consent. This is the general sense and the general practice of mankind; and the exemption, as one of the attributes of sovereignty, is now enjoyed by the government of every state in the Union. Unless therefore, there is a surrender of this immunity in the plan of the convention, it will remain with the states, and the danger intimated must be merely ideal.” The Federalist No. 81, pp. 548-549 (J. Cooke ed. 1961).
See generally Fletcher, A Historical Interpretation of the Eleventh Amendment: A Narrow Construction of an Affirmative Grant of Jurisdiction Rather than a Prohibition Against Jurisdiction, 35 Stan. L. Rev. 1033,1045-1054 (1983) (discussing the adoption of the Citizen-State Diversity Clauses); Gibbons,
As I have already said, the immediate context of Hamilton’s discussion in Federalist No. 81 has nothing to do with federal-question cases. It addresses a suggestion “that an assignment of the public securities of one state to the citizens of another, would enable them to prosecute that state in the federal courts for the amount of those securities.” The Federalist No. 81, at 548. Hamilton is plainly talking about a
The general statement on sovereign immunity emphasized by the majority then follows, along with a reference back to The Federalist No. 32. The Federalist No. 81, at 548. What Hamilton draws from that prior paper, however, is not a general conclusion about state sovereignty but a particular point about state contracts:
“A recurrence to the principles there established will satisfy us, that there is no colour to pretend that the state governments, would by the adoption of that plan, be divested of the privilege of paying their own debts in their own way, free from every constraint but that which flows from the obligations of good faith. The contracts between a nation and individuals are only binding on the conscience of the sovereign, and have no pretensions to a compulsive force. They confer no right of action independent of the sovereign will.” Id., at 549.
The most that can be inferred from this is, as noted above, that in diversity cases applying state contract law the immunity that a State would have enjoyed in its own courts is carried into the federal court. When, therefore, the Hans Court relied in part upon Hamilton’s statement, see
Hamilton says that a State is “not... amenable to the suit of an individual without its consent.... [ujnless ... there is a surrender of this immunity in the plan of the convention.” The Federalist No. 81, at 548-549 (emphasis deleted). He
“[A]s the plan of the Convention aims only at a partial Union or consolidation, the State Governments would clearly retain all the rights of sovereignty which they before had and which were not by that act exclusively delegated to the United States. This exclusive delegation or rather this alienation of State sovereignty would only exist in three cases; where the Constitution in express terms granted an exclusive authority to the Union; where it granted in one instance an authority to the Union and in another prohibited the States from exercising the like authority; and where it granted an authority to the Union, to which a similar authority in the States would be absolutely and totally contradictory and repugnant. I use these terms to distinguish this last case from another which might appear to resemble it; but which would in fact be essentially different; I mean where the exercise of a concurrent jurisdiction might be productive of occasional interferences in the policy of any branch of administration, but would not imply any direct contradiction or repugnancy in point of constitutional authority.” Id., at 200 (emphasis in original).
As an instance of the last case, in which exercising concurrent jurisdiction may produce interferences in “policy,” Hamilton gives the example of concurrent power to tax the same subjects:
“It is indeed possible that a tax might be laid on a particular article by a State which might render it inexpedient that thus a further tax should be laid on the same article*147 by the Union; but it would not imply a constitutional inability to impose a further tax. The quantity of the imposition, the expediency or inexpediency of an increase on either side, would be mutually questions of prudence; but there would be involved no direct contradiction of power. The particular policy of the national and of the State systems of finance might now and then not exactly coincide, and might require reciprocal for-bearances. It is not however a mere possibility of inconvenience in the exercise of powers, but an immediate constitutional repugnancy, that can by implication alienate and extinguish a pre-existing right of sovereignty.” Id., at 202 (emphasis in original).
The first embarrassment Hamilton’s discussion creates for the majority turns on the fact that the power to regulate commerce with Indian tribes has been interpreted as making “Indian relations . . . the exclusive province of federal law.” County of Oneida v. Oneida Indian Nation of N. Y,
Quite apart, however, from its application to this particular Act of Congress exercising the Indian commerce power, Hamilton’s sovereignty discussion quoted above places the Court in an embarrassing dilemma. Hamilton posited four categories: congressional legislation on (a) subjects committed expressly and exclusively to Congress, (b) subjects over which state authority is expressly negated, (c) subjects over which concurrent authority would be impossible (as “contradictory and repugnant”), and (d) subjects over which concurrent authority is not only possible, but its exercise by both is limited only by considerations of policy (as when one taxing authority is politically deterred from adding too much to the exaction the other authority is already making). But what of those situations involving concurrent powers, like the power over interstate commerce, see, e. g., Cooley v. Board of Wardens of Port of Philadelphia ex rel. Soc. for Relief of Distressed Pilots,
In sum, either the majority reads Hamilton as I do, to say nothing about sovereignty or immunity in such a case, or it will have to read him to say something about it that bars any state immunity claim. That is the dilemma of the majority’s reliance on Hamilton’s The Federalist No. 81, with its reference to No. 32. Either way, he is no authority for the Court’s position.
Thus, the Court’s attempt to convert isolated statements by the Framers into answers to questions not before them is fundamentally misguided.
2
We said in Blatchford v. Native Village of Noatak,
As a matter of political theory, this federal arrangement of dual delegated sovereign powers truly was a more revolutionary turn than the late war had been. See, e. g., U S. Term Limits, Inc. v. Thornton,
Under such a scheme, Alexander Hamilton explained, “[i]t does not follow . .. that each of the portions of powers delegated to [the national or state government] is not sovereign with regard to its proper objects.” Hamilton, Opinion on the Constitutionality of an Act to Establish a Bank, in 8 Papers of Alexander Hamilton 98 (Syrett ed. 1965) (emphasis in original).
Given this metamorphosis of the idea of sovereignty in the years leading up to 1789, the question whether the old immunity doctrine might have been received as something suitable for the new world of federal-question jurisdiction is a crucial one.
“This [traditional] explanation [of sovereign immunity] adequately supports the conclusion that no sovereign may be sued in its own courts without its consent, but it affords no support for a claim of immunity in another sovereign’s courts. Such a claim necessarily implicates the power and authority of a second sovereign; its source must be found either in an agreement, express or implied, between the two sovereigns, or in the voluntary decision of the second to respect the dignity of the first as a matter of comity.”
Cf. United States v. Texas,
State immunity to federal-question jurisdiction would, moreover, have run up against the common understanding of the practical necessity for the new federal relationship. According to Madison, the “multiplicity,” “mutability,” and “injustice” of then-extant state laws were prime factors requiring the formation of a new government. 1 Farrand 318-319 (remarks of J. Madison).
Given the Framers’ general concern with curbing abuses by state governments, it would be amazing if the scheme of delegated powers embodied in the Constitution had left the National Government powerless to render the States judicially accountable for violations of federal rights. And of course the Framers did not understand the scheme to leave
This sketch of the logic and objectives of the new federal order is confirmed by what we have previously seen of the preratification debate on state sovereign immunity, which in turn becomes entirely intelligible both in what it addressed and what it ignored. It is understandable that reasonable minds differed on the applicability of the immunity doctrine in suits that made it to federal court only under the original Diversity Clauses, for their features were not wholly novel. While they were, of course, in the courts of the new and, for some purposes, paramount National Government, the law that they implicated was largely the old common law (and in any case was not federal law). It was not foolish, therefore,
C
The considerations expressed so far, based on text, Chisholm, caution in common-law reception, and sovereignty theory, have pointed both to the mistakes inherent in Hans and, even more strongly, to the error of today’s holding. Although for reasons of stare decisis I would not today disturb the century-old precedent, I surely would not extend its error by placing the common-law immunity it mistakenly recognized beyond the power of Congress to abrogate. In doing just that, however, today’s decision declaring state sovereign immunity itself immune from abrogation in federal-question cases is open to a further set of objections peculiar to itself. For today’s decision stands condemned alike by the Framers’ abhorrence of any notion that such common-law rules as might be received into the new legal systems would be beyond the legislative power to alter or repeal, and by its resonance with this Court’s previous essays in constitutionalizing common-law rules at the expense of legislative authority.
1
I have already pointed out how the views of the Framers reflected the caution of state constitutionalists and legislators over reception of common-law rules, a caution that the Framers exalted to the point of vigorous resistance to any idea that English common-law rules might be imported wholesale through the new Constitution. The state politicians also took pains to guarantee that once a common-law rule had been received, it would always be subject to legislative alteration, and again the state experience was reflected in the Framers’ thought. Indeed, the Framers’ very insist
The imperative of legislative control grew directly out of the Framers’ revolutionary idea of popular sovereignty. According to one historian, “[sjhared ideas about the sovereignty of the people and the accountability of government to the people resulted at an early date in a new understanding of the role of legislation in the legal system. . . . Whereas a constitution had been seen in the colonial period as a body of vague and unidentifiable precedents and principles of common law origin that imposed ambiguous restrictions on the power of men to make or change law, after independence it came to be seen as a written charter by which the people delegated powers to various institutions of government and imposed limitations on the exercise of those powers. . . . [T]he power to modify or even entirely to repeal the common law ... now fell explicitly within the jurisdiction of the legislature.” W. Nelson, Americanization of the Common Law 90 (1975).
Virtually every state reception provision, be it constitutional or statutory, explicitly provided that the common law was subject to alteration by statute. See Wood 299-300; Jones 99. The New Jersey Constitution of 1776, for instance, provided that “the common law of England, as well as so much of the statute law, as have been heretofore prac-tised in this Colony, shall still remain in force, until they shall
History confirms the wisdom of Madison’s abhorrence of constitutionalizing common-law rules to place them beyond the reach of congressional amendment. The Framers feared judicial power over substantive policy and the ossification of law that would result from transforming common law into constitutional law, and their fears have been borne out every time the Court has ignored Madison’s counsel on subjects that we generally group under economic and social policy. It is, in fact, remarkable that as we near the end of this
It was the defining characteristic of the Lochner era, and its characteristic vice, that the Court treated the common-law background (in those days, common-law property rights and contractual autonomy) as paramount, while regarding congressional legislation to abrogate the common law on these economic matters as constitutionally suspect. See, e. g., Adkins v. Childrens Hospital of D. C.,
The majority today, indeed, seems to be going Lochner one better. When the Court has previously constrained the express Article I powers by resort to common-law or background principles, it has done so at least in an ostensible effort to give content to some other written provision of the Constitution, like the Due Process Clause, the very object of
I know of only one other occasion on which the Court has spoken of extending its reach so far as to declare that the plain text of the Constitution is subordinate to judicially discoverable principles untethered to any written provision. Justice Chase once took such a position almost 200 years ago:
“There are certain vital principles in our free Republican governments, which will determine and over-rule an apparent and flagrant abuse of legislative power. . . . An act of the Legislature (for I cannot call it a law) contrary to the great first principles of the social compact, cannot be considered a rightful exercise of legislative authority.” Calder v. Bull,3 Dall. 386 , 388 (1798) (emphasis deleted).
This position was no less in conflict with American constitutionalism in 1798 than it is today, being inconsistent with the Framers’ view of the Constitution as fundamental law. Justice Iredell understood this, and dissented (again) in an opinion that still answers the position that “vital” or “background” principles, without more, may be used to confine a clear constitutional provision:
“[S]ome speculative jurists have held, that a legislative act against natural justice must, in itself, be void; but I*168 cannot think that, under such a government, any Court of Justice would possess a power to declare it so. . . .
“. . . [I]t has been the policy of the American states, . . . and of the people of the United States ... to define with precision the objects of the legislative power, and to restrain its exercise within marked and settled boundaries. If any act of Congress, or of the Legislature of a state, violates those constitutional provisions, it is unquestionably void. ... If, on the other hand, the Legislature of the Union, or the Legislature of any member of the Union, shall pass a law, within the general scope of their constitutional power, the Court cannot pronounce it to be void, merely because it is, in their judgment, contrary to the principles of natural justice. The ideas of natural justice are regulated by no fixed standard: the ablest and the purest men have differed upon the subject; and all that the Court could properly say, in such an event, would be, that the Legislature (possessed of an equal right of opinion) had passed an act which, in the opinion of the judges, was inconsistent with the abstract principles of natural justice.” Id., at 398-399 (emphasis deleted) (opinion dissenting in part).
Later jurisprudence vindicated Justice Iredell’s view, and the idea that “first principles” or concepts of “natural justice” might take precedence over the Constitution or other positive law “all but disappeared in American discourse.” J. Ely, Democracy and Distrust 52 (1980). It should take more than references to “background principle^],” ante, at 72, and “implicit limitation^],” Welch,
The Court s holding that the States Hans immunity may not be abrogated by Congress leads to the final question in this case, whether federal-question jurisdiction exists to order prospective relief enforcing IGRA against a state officer, respondent Chiles, who is said to be authorized to take the action required by the federal law. Just as with the issue about authority to order the State as such, this question is entirely jurisdictional, and we need not consider here whether petitioner Seminole Tribe would have a meritorious argument for relief, or how much practical relief the requested order (to bargain in good faith) would actually provide to the Tribe. Nor, of course, does the issue turn in any way on one’s views about the scope of the Eleventh Amendment or Hans and its doctrine, for we ask whether the state officer is subject to jurisdiction only on the assumption that action directly against the State is barred. The answer to this question is an easy yes, the officer is subject to suit under the rule in Ex parte Young,
A
In Ex parte Young, this Court held that a federal court has jurisdiction in a suit against a state officer to enjoin official actions violating federal law, even though the State itself may be immune. Under Young, “a federal court, consistent with the Eleventh Amendment, may enjoin state officials to conform their future conduct to the requirements of federal law.” Quern v. Jordan,
The fact, without more, that such suits may have a significant impact on state governments does not count under Young. Milliken, for example, was a suit, under the authority of Young, brought against Michigan’s Governor, Attorney General, Board of Education, Superintendent of Public In
It should be no cause for surprise that Young itself appeared when it did in the national law. It followed as a matter of course after the Hans Court’s broad recognition of immunity in federal-question cases, simply because “[Remedies designed to end a continuing violation of federal law are necessary to vindicate the federal interest in assuring the supremacy of that law.” Green v. Mansour,
If Young may be seen as merely the natural consequence of Hans, it is equally unsurprising as an event in the longer history of sovereign immunity doctrine, for the rule we speak of under the name of Young is so far inherent in the jurisdictional limitation imposed by sovereign immunity as to have been recognized since the Middle Ages. For that
B
This history teaches that it was only a matter of course that once the National Constitution had provided the opportunity for some recognition of state sovereign immunity, the necessity revealed through six centuries or more of history would show up in suits against state officers, just as Hans would later open the door to Ex parte Young itself. Once, then, the Eleventh Amendment was understood to forbid suit
“It early became clear that a suit against an officer was not forbidden simply because it raised a question as to the legality of his action as an agent of government or because it required him, as in mandamus, to perform an official duty. These as we know had been well established before the eleventh amendment as not necessarily requiring consent. To be sure the renewed emphasis on immunity given by the eleventh amendment might conceivably have been taken so to extend the doctrine as to exclude suits against state officers even in cases where the English tradition would have allowed them. There was a running battle as to where the line would be drawn. The amendment was appealed to as an argument for generous immunity. But there was the vastly powerful counterpressure for the enforcement of constitutional limits on the states. The upshot . . . was to confine the amendment’s prohibition more or less to the occasion which gave it birth, to wit, the enforcement of contracts and to most (though not all) suits involving the title and disposition of a state’s real and personal property.” Id,., at 20-21.
The earliest cases, United States v. Peters,
This simple rule for recognizing sovereign immunity without gutting substantial rights was temporarily muddled in Louisiana v. Jumel,
Ex parte Young restored the old simplicity by complementing In re Ayers with the principle that state officers never have authority to violate the Constitution or federal law, so that any illegal action is stripped of state character and rendered an illegal individual act. Suits against these officials are consequently barred by neither the Eleventh Amendment nor Hans immunity. The officer’s action “is simply an illegal act upon the part of a state official in at
The decision in Ex parte Young, and the historic doctrine it embodies, thus plays a foundational role in American constitutionalism, and while the doctrine is sometimes called a “fiction,” the long history of its felt necessity shows it to be something much more estimable, as we may see by considering the facts of the case. “Young was really and truly about to damage the interest of plaintiffs. Whether what he was about to do amounted to a legal injury depended on the authority of his employer, the state. If the state could constitutionally authorize the act then the loss suffered by plaintiffs was not a wrong for which the law provided a remedy.... If the state could not constitutionally authorize the act then Young was not acting by its authority.” Orth, Judicial Power of the United States, at 133. The doctrine we call Ex parte Young is nothing short of “indispensable to the establishment of constitutional government and the rule of law.” C. Wright, Law of Federal Courts 292 (4th ed. 1983). See also Chemerinsky, Federal Jurisdiction, at 393.
A rule of such lineage, engendered by such necessity, should not be easily displaced, if indeed it is displaceable at all, for it marks the frontier of the enforceability of federal law against sometimes competing state policies. We have in fact never before inferred a congressional intent to eliminate this time-honored practice of enforcing federal law. That, of course, does not mean that the intent may never be inferred, and where, as here, the underlying right is one of statutory rather than constitutional dimension, I do not in theory reject the Court’s assumption that Congress may bar enforcement by suit even against a state official. But because in practice, in the real world of congressional legislation, such
C
There is no question that by its own terms Young’s indispensable rule authorizes the exercise of federal jurisdiction over respondent Chiles. Since this case does not, of course, involve retrospective relief, Edelman’s limit is irrelevant, and there is no other jurisdictional limitation. Obviously, for jurisdictional purposes it makes no difference in principle whether the injunction orders an official not to act, as in Young, or requires the official to take some positive step, as in Milliken or Quern. Nothing, then, in this case renders Young unsuitable as a jurisdictional basis for determining on the merits whether petitioner is entitled to an order against a state official under general equitable doctrine. The Court does not say otherwise, and yet it refuses to apply Young. There is no adequate reason for its refusal.
No clear statement of intent to displace the doctrine of Ex parte Young occurs in IGRA, and the Court is instead
1
The Court cites Schweiker v. Chilicky,
Chilicky’s remoteness from the point of this case is, however, apparent from its facts. In Chilicky, Congress had addressed the problem of erroneous denials of certain government benefits by creating a scheme of appeals and awards that would make a successful claimant whole for all benefits wrongly denied. The question was whether this Court should create a further remedy on the model of Bivens v. Six Unknown Fed. Narcotics Agents,
The Bivens issue in Chilicky (and in Meyer) is different from the Young issue here in every significant respect. Young is not an example of a novel rule that a proponent has a burden to justify affirmatively on policy grounds in every context in which it might arguably be recognized; it is a general principle of federal equity jurisdiction that has been recognized throughout our history and for centuries before our own history began. Young does not provide retrospective monetary relief but allows prospective enforcement of federal law that is entitled to prevail under the Supremacy Clause. It requires not money payments from a government employee’s personal pocket, but lawful conduct by a public employee acting in his official capacity. Young would not function here to provide a merely supplementary regime of compensation to deter illegal action, but the sole jurisdictional basis for an Article III court’s enforcement of a clear federal statutory obligation, without which a congressional act would be rendered a nullity in a federal court. One cannot intelligibly generalize from Chilicky’s standards for imposing the burden to justify a supplementary scheme of tort law to the displacement of Young’s traditional and indispensable jurisdictional basis for ensuring official compliance with federal law when a State itself is immune from suit.
2
Next, the Court suggests that it may be justified in displacing Young because Young would allow litigants to ignore the “intricate procedures” of IGRA in favor of a menu of streamlined equity rules from which any litigant could order as he saw fit. But there is no basis in law for this suggestion, and the strongest authority to reject it. Young did not establish a new cause of action and it does not impose any particular procedural regime in the suits it permits. It stands, instead, for a jurisdictional rule by which paramount
If, indeed, the Court were correct in assuming that Congress may not regulate the procedure of a suit jurisdiction-ally dependent on Young, the consequences would be revolutionary, for example, in habeas law. It is well established that when a habeas corpus petitioner sues a state official alleging detention in violation of federal law and seeking the prospective remedy of release from custody, it is the doctrine identified in Ex parte Young that allows the petitioner to evade the jurisdictional bar of the Eleventh Amendment (or, more properly, the Hans doctrine). See Young,
This, of course, tionale for rejecting the Court’s contrary assumption is that Congress has just as much authority to regulate suits when jurisdiction depends on Young as it has to regulate when Young is out of the jurisdictional picture. If Young does not preclude Congress from requiring state exhaustion in habeas cases (and it clearly does not), then Young does not bar the application of IGRA’s procedures when effective relief is sought by suing a state officer.
3
The Court’s third strand of reasoning for displacing Ex parte Young'is a supposed inference that Congress so in
IGRA’s jurisdictional provision reads as though it had been drafted with the specific intent to apply to officer liability under Young. It provides that “[t]he United States district courts shall have jurisdiction over . . . any cause of action . . . arising from the failure of a State to enter into negotiations ... or to conduct such negotiations in good faith.” 25 U. S. C. § 2710(d)(7)(A)(i) (emphasis added). This language does not limit the possible defendants to States and is quite literally consistent with the possibility that a tribe could sue an appropriate state official for a State’s failure to negotiate.
But even if the jurisdictional provision had spoken narrowly of an action against the State itself (as it subsequently speaks in terms of the State’s obligation), that would be no indication that Congress had rejected the application of Young. An order requiring a “State” to comply with federal
It may be that even the Court agrees, for it falls back to the position, see ante, at 75, n. 17, that only a State, not a state officer, can enter into a compact. This is true but wholly beside the point. The issue is whether negotiation should take place as required by IGRA and an officer (indeed, only an officer) can negotiate. In fact, the only case cited by the Court, State ex rel. Stephan v. Finney,
Finally, one must judge the Court’s purported inference by stepping back to ask why Congress could possibly have intended to jeopardize the enforcement of the statute by excluding application of Young’s traditional jurisdictional rule, when that rule would make the difference between success or failure in the federal court if state sovereign immunity was recognized. Why would Congress have wanted to go for broke on the issue of state immunity in the event the State pleaded immunity as a jurisdictional bar? Why would Congress not have wanted IGRA to be enforced by means of
D
There is, finally, a response to the Court’s rejection of Young that ought to go without saying. Our longstanding practice is to read ambiguous statutes to avoid constitutional infirmity, Edward J. DeBartolo Corp. v. Florida Gulf Coast Building & Constr. Trades Council,
V
Absent the application of Ex parte Young, I would, of course, follow Union Gas in recognizing congressional power under Article I to abrogate Hans immunity. Since the reasons for this position, as explained in Parts II — III, supra, tend to unsettle Hans as well as support Union Gas, I should add a word about my reasons for continuing to accept Hans’s holding as a matter of stare decisis.
In being ready to hold that the relationship may still be altered, not by the Court but by Congress, I would tread the course laid out elsewhere in our cases. The Court has repeatedly stated its assumption that insofar as the relative positions of States and Nation may be affected consistently with the Tenth Amendment,
When judging legislation passed under unmistakable Article I powers, no further restriction could be required. Nor does the Court explain why more could be demanded. In the past, we have assumed that a plain-statement requirement is sufficient to protect the States from undue federal encroachments upon their traditional immunity from suit. See, e. g., Welch v. Texas Dept. of Highways & Public Transp.,
There is an even more fundamental “clear statement” principle, however, that the Court abandons today. John Marshall recognized it over a century and a half ago in the very context of state sovereign immunity in federal-question cases:
*185 “The jurisdiction of the court, then, being extended by the letter of the constitution to all cases arising under it, or under the laws of the United States, it follows that those who would withdraw any case of this description from that jurisdiction, must sustain the exemption they claim on the spirit and true meaning of the constitution, which spirit and true meaning must be so apparent as to overrule the words which its framers have employed.” Cohens v. Virginia,6 Wheat., at 379-380 .
Because neither text, precedent, nor history supports the majority’s abdication of our responsibility to exercise the jurisdiction entrusted to us in Article III, I would reverse the judgment of the Court of Appeals.
The two Citizen-State Diversity Clauses provide as follows: “The judicial Power shall extend ... to Controversies . . . between a State and Citizens of another State;... and between a State, or the Citizens thereof, and foreign States, Citizens or Subjects.” U. S. Const., Art. Ill, §2. In his opinion in Union Gas, Justice Stevens referred to these Clauses as the “citizen-state” and “alien-state” Clauses, respectively, Pennsylvania v. Union Gas Co.,
The first of these notions rests on the ancient maxim that “the Eing can do no wrong.” See, e. g., 1W. Blackstone, Commentaries *244. Professor Jaffe has argued this expression “originally meant precisely the contrary to what it later came to mean,” that is, “ ‘it meant that the king must not, was not allowed, not entitled, to do wrong.’” Jaffe,
The text reads that “[t]he Judicial Power shall extend to all Cases, in Law and Equity, arising under this Constitution, the Laws of the United States, and Treaties made, or which shall be made, under their Authority; — to all Cases affecting Ambassadors, other public Ministers and Consuls; — to all Cases of admiralty and maritime Jurisdiction; — to Controversies to which the United States shall be a Party; — to Controversies between two or more States; — between a State and Citizens of another State; — between Citizens of different States, — between Citizens of the same State claiming Lands under Grants of different States, and between a State, or the Citizens thereof, and foreign States, Citizens or Subjects.”
The one statement I have found on the subject of States’ immunity in federal-question eases was an opinion that immunity would not be applicable in these cases: James Wilson, in the Pennsylvania ratification debate, stated that the federal-question clause would require States to make good on pre-Revolutionary debt owed to English merchants (the enforcement of which was promised in the Treaty of 1783) and thereby “show the world that we make the faith of treaties a constitutional part of the character of the United States; that we secure its performance no longer nominally, for the judges of the United States will be enabled to carry it into effect, let the legislatures of the different states do what they may.” 2 J. Elliot, Debates on the Federal Constitution 490 (2d ed. 1836) (Elliot’s Debates).
This lengthy discussion of the history of the Constitution’s ratification, the Court’s opinion in Chisholm v. Georgia,
Monaco’s ipse dixit that Chisholm created a “shock of surprise” does not make it so. This Court’s opinions frequently make assertions of historical fact, but those assertions are not authoritative as to history in the same way that our interpretations of laws are authoritative as to them. In Tucker v. Alexandroff,
Moreover, in this case, there is ample evidence contradicting the “shock of surprise” thesis. Contrary to Monaco’s suggestion, the Eleventh Amendment was not “at once proposed and adopted.” Congress was in session when Chisholm was decided, and a constitutional amendment in response was proposed two days later, but Congress never acted on it, and in fact it was not until two years after Chisholm was handed down that
See also
Of course, even if Justice Iredell had concluded that state sovereign immunity was not subject to abrogation, it would be inappropriate to assume (as it appears the Court does today, and Hans v. Louisiana,
The great weight of scholarly commentary agrees. See, e. g., Jackson, The Supreme Court, the Eleventh Amendment, and State Sovereign Immunity, 98 Yale L. J. 1 (1988); Amar, Of Sovereignty and Federalism, 96 Yale L. J. 1425 (1987); Fletcher, A Historical Interpretation of the Eleventh Amendment: A Narrow Construction of an Affirmative Grant of Jurisdiction Rather than a Prohibition Against Jurisdiction, 35 Stan. L. Rev. 1033 (1983); Gibbons, The Eleventh Amendment and State Sovereign Immunity: A Reinterpretation, 83 Colum. L. Rev. 1889 (1983); Field, The Eleventh Amendment and Other Sovereign Immunity Doctrines: Congressional Imposition of Suit Upon the States, 126 U. Pa. L. Rev. 1203 (1978). While a minority has adopted the second view set out above, see, e. g., Marshall, Fighting the Words of the Eleventh Amendment, 102 Harv. L. Rev. 1342 (1989); Massey, State Sovereignty and the Tenth and Eleventh Amendments, 56 U. Chi. L. Rev. 61 (1989), and others have criticized the diversity theory, see, e. g., Marshall, The Diversity Theory of the Eleventh Amendment: A Critical Evaluation, 102 Harv. L. Rev. 1372 (1989), I have discovered no commentator affirmatively advocating the position taken by the Court today. As one scholar has observed, the literature is “remarkably consistent in its evaluation of the historical evidence and text of the amendment as not supporting a broad rule of constitutional immunity for states.” Jackson, supra, at 44, n. 179.
Vassall initiated a suit against Massachusetts, invoking the original jurisdiction of the Supreme Court. Although the marshal for the district of Massachusetts served a subpoena on Governor John Hancock and Attor
We have generally rejected Eleventh Amendment challenges to our appellate jurisdiction on the specious ground that an appeal is not a “suit” for purposes of the Amendment. See, e. g., McKesson Corf. v. Division of Alcoholic Beverages and Tobacco, Fla. Dept. of Business Regulation,
See also Pennsylvania v. Union Gas Co.,
The Court does suggest that the drafters of the Eleventh Amendment may not have had federal-question jurisdiction in mind, in the apparent belief that this somehow supports its reading. Ante, at 69-70. The possibility, however, that those who drafted the Eleventh Amendment intended to deal “only with the problem presented by the decision in Chisholm” would demonstrate, if any demonstration beyond the clear language of the Eleventh Amendment were necessary, that the Eleventh Amendment was not intended to address the broader issue of federal-question suits brought by citizens.
Moreover, the Court’s point is built on a faulty foundation. The Court is simply incorrect in asserting that “the federal courts did not have federal-question jurisdiction at the time the Amendment was passed.” Ibid. Article III, of course, provided for such jurisdiction, and early Congresses exercised their authority pursuant to Article III to confer jurisdiction on the federal courts to resolve various matters of federal law. E. g., Act of Apr. 10,1790, §5,1 Stat. Ill; Act of Feb. 21,1793, §6,1 Stat. 322; Act of Mar. 23, 1792, §§ 2, 3, 1 Stat. 244; see also Osborn v. Bank of United States,
The majority chides me that the “lengthy analysis of the text of the Eleventh Amendment is directed at a straw man,” ante, at 69. But plain text is the Man of Steel in a confrontation with “background principiéis]” and “ ‘postulates which limit and control,’ ” ante, at 68, 72. An argument rooted in the text of a constitutional provision may not be guaranteed of carrying the day, but insubstantiality is not its failing. See, e. g., Monaghan, Our Perfect Constitution, 56 N. Y. U. L. Rev. 353, 383-384 (1981) (“For the purposes of legal reasoning, the binding quality of the constitutional text is itself incapable of and not in need of further demonstration”); cf. Bourjaily v. United States,
Professor Jackson has noted the “remarkabl[e] eonsistenfcy]” of the scholarship on this point, Jackson, 98 Yale L. J., at 44, n. 179. See also n. 8, supra.
Indeed, as Justice Stevens suggests, there is language in Hans suggesting that the Court was really construing the Judiciary Act of 1875 rather than the Constitution. See ante, at 84-87.
See Gibbons,
Today’s majority condemns my attention to Hans’s historical circumstances as “a disservice to the Court’s traditional method of adjudication.” Ante, at 69. The point, however, is not that historical circumstance may undermine an otherwise defensible decision; on the contrary, it is just because Hans is so utterly indefensible on the merits of its legal analysis
See also Georgia Railroad & Banking Co. v. Redwine,
See also Union Gas,
There are good reasons not to take many of these statements too seriously. Some are plainly exaggerated; for example, the suggestion in Great Northern Life Ins. Co. v. Read,
See also Georgia Railroad & Banking Co. v. Redwine, supra, at 304; Fitts v. McGhee, supra, at 524-525.
See also Warth v. Seldin,
Indeed, The Chief Justice could hardly have been clearer in Fry v. United States,
Indeed, in Nevada v. Hall, supra, at 439, The Chief Justice complained in dissent that the same statements upon which he relies today had been “dismiss[ed]... as dicta.”
In Hoffman, one Member of the four Justice plurality expressly disavowed the plurality’s assumption that Congress could abrogate the States’ immunity by making its intent to do so clear. See
The Court seeks to disparage the common-law roots of the doctrine, and the consequences of those roots which I outline infra, at 132-142 and 159-164, by asserting that Hans “found its roots not solely in the common law of England, but in the much more fundamental ‘ “jurisprudence in all
See, e. g., Hall, The Common Law: An Account of its Reception in the United States, 4 Vand. L. Rev. 791, 796 (1951) (“Whether we emphasize the imitation by the colonists of the practices of English local courts or whether we say the early colonial judges were really applying their own common-sense ideas of justice, the fact remains that there was an incomplete acceptance in America of English legal principles, and this indigenous law which developed in America remained as a significant source of law after the Revolution”).
See also Jones, The Common Law in the United States: English Themes and American Variations, in Political Separation and Legal Continuity 95-98 (H. Jones ed. 1976) (Jones) (acknowledging that a true common-law system had not yet developed in the early colonial period); Stoebuck, Reception of English Common Law in the American Colonies, 10 Wm. & Mary L. Rev. 393, 406-407 (1968) (same).
See, e. g., Reinsch, English Common Law in the Early American Colonies, at 7 (finding that the colonists developed their own “rude, popular, summary” system of justice despite professed adhesion to the common law); C. Hilkey, Legal Development in Colonial Massachusetts, 1630-1686, p. 69 (1967) (emphasizing Biblical and indigenous sources); Radin, The Rivalry of Common-Law and Civil Law Ideas in the American Colonies, in 2 Law: A Century of Progress 404, 407-411 (1937) (emphasizing natural law and Roman law); Goebel, King’s Law and Local Custom in Seventeenth Century New England, 31 Colum. L. Rev. 416 (1931) (finding that the early settlers imported the law and procedure of the borough and manor courts with which they had been familiar in England).
See also Stoebuck, supra, at 411-412 (indicating that the Colonies became significantly more receptive to the common law after 1700, in part because of a British desire to regularize colonial legal systems).
See also Jones 98 (“The selective nature of the reception is evident in any examination of the state of law in the colonies in the years immediately preceding the Revolution”). An example is Trott’s law, adopted by South Carolina in 1712, which declared which English statutes were in force in the Colony. Many laws of England, Trott conceded, were “altogether useless” in South Carolina “by reason of the different way of agriculture and the differing productions of the earth of this Province from that of England”; others were “impracticable” because of differences in institutions. L. Friedman, A History of American Law 90-93 (2d ed. 1985); see also C. Warren, History of the American Bar 122-123 (1911) (quoting North Carolina statute, passed in 1715, providing that the common law would be in force “ ‘so far as shall be compatible with our way of living and trade’ ”).
American hostility to things English was so pronounced for a time that Pennsylvania, New Jersey, and Kentucky proscribed by statute the citation of English decisions in their courts, and the New Hampshire courts promulgated a rule of court to the same effect. See Hall,
See, e. g., Conner v. Shepherd,
See also Jones 123-124 (noting that the common-law institutions of habeas corpus and jury trial were “not merely received as ordinary law,” but rather “received by [specific textual provisions] of the Constitution itself, as part of the supreme law of the land”). Sovereign immunity, of course, was not elevated to constitutional status in this way; such immunity thus stands on the same footing as any other common-law principle which the Framers refused to place beyond the reach of legislative change. That such principles were and are subject to legislative alteration is confirmed by our treatment of other forms of common-law immunities, such as the immunity enjoyed under certain circumstances by public officials. Butz v. Economou,
See, e. g., 2 Elliot’s Debates 400 (Thomas Tredwell, New York Convention) (“[W]e are ignorant whether [federal proceedings] shall be according to the common, civil, the Jewish, or Turkish law ...”).
See also Justice Jay’s Charge to the Grand Jury for the District of New York (Apr. 4, 1790) (observing that at the time the Nation was formed, “[o]ur jurisprudence varied in almost every State, and was accommodated to local, not general convenience — to partial, not national policy”) (quoted in Jay, Origins of Federal Common Law: Part One, 133 U. Pa. L. Rev. 1003, 1056, n. 261 (1985) (Jay I)); United States v. Worrall,
See also Jay II, at 1241-1250 (arguing that Jeffersonian Republicans resisted the idea of a general federal reception of the common law as an incursion on States’ rights); Jay I, at 1111 (same). Given the roots of the Framers’ resistance, the Court’s reception of the English common law into the Constitution itself in the very name of state sovereignty goes beyond the limits of irony.
See 3 Elliot’s Debates 573 (the Constitution would “render valid and effective existing claims” against the States). See also 2 id., at 491 (James Wilson, in the Pennsylvania ratification debate: “When a citizen has a controversy with another state, there ought to be a tribunal where both parties may stand on a just and equal footing”). Wilson, as I noted above, took a similar position in addressing the federal question, or arising under, clause, remarking that the effect of the clause would be to require States to honor pre-Revolutionary debt owed to English merchants, as had been promised in the Treaty of 1783. See n. 4, supra.
The Court accuses me of quoting this statement out of context, ante, at 70, n. 12, but the additional material included by the Court makes no difference. I am conceding that Madison, Hamilton, and Marshall all agreed that Article III did not of its own force abrogate the States’ preexisting common-law immunity, at least with respect to diversity suits. None of the statements offered by the Court, however, purports to deal with federal-question jurisdiction or with the question whether Congress, acting pursuant to its Article I powers, could create a cause of action against a State. As I explain further below, the views of Madison and his
See also Worcester v. Georgia,
Although we have rejected a per se bar to state jurisdiction, it is clear that such jurisdiction remains the exception and not the rule. See New Mexico v. Mescalero Apache Tribe,
See The Federalist No. 82, p. 553 (J. Cooke ed. 1961) (A. Hamilton) (disclaiming any intent to answer all the “questions of intricacy and nicety” arising in a judicial system that must accommodate “the total or partial incorporation of a number of distinct sovereignties”); S. Elkins & E. McKitriek, The Age of Federalism 64 (1993) (suggesting that “[t]he amount of attention and discussion given to the judiciary in the Constitutional Convention was only a fraction of that devoted to the executive and legislative branches,” and that the Framers deliberately left many questions open for later resolution).
Regardless of its other faults, Chief Justice Taney’s opinion in Dred Scott v. Sandford,
Cf., e. g., 1W. Blackstone, Commentaries 49,160-162 (Cooper ed. 1808). This modern notion of sovereignty is traceable to the writings of Jean Bodin in the late 16th century. See J. Bodin, Six Books of the Commonwealth, bk. 2, ch. I, pp. 52-53 (M. Tooley, abr. & transí. 1967) (1576); see also T. Hobbes, Leviathan, Part II, ch. 29, pp. 150-151 (N. Fuller ed. 1952) (1651).
See Wood 530 (noting that James Wilson “[m]ore boldly and fully than anyone else ... developed the argument that would eventually become the basis of all Federalist thinking” about sovereignty); see also The Federalist No. 22, at 146 (A. Hamilton) (acknowledging the People as “that pure original fountain of all legitimate authority”); id., No. 49, at 339 (J. Madison) (“[T]he people are the only legitimate fountain of power”).
See also U. S. Term Limits, Inc. v. Thornton,
See Amar, 96 Yale L. J., at 1434-1435 (“The ultimate American answer [to the British notion that the sovereign was by definition above the law], in part, lay in a radical redefinition of governmental ‘sovereignty.’ Just as a corporation could be delegated limited sovereign privileges by the King-in-Parliament, so governments could be delegated limited powers to govern. Within the limitations of their charters, governments could be sovereign, but that sovereignty could be bounded by the terms of the delegation itself” (footnote omitted)).
See, e. g., Amar, supra, at 1436 (“By thus relocating true sovereignty in the People themselves .. . Americans domesticated government power and decisively repudiated British notions of ‘sovereign’ governmental omnipotence” (footnote omitted)). That this repudiation extended to traditional principles of sovereign immunity is clear from Justice Wilson’s opinion in Chisholm, in which he blasted “the haughty notions of state independence, state sovereignty and state supremacy” as allowing “the state [to] assum[e] a supercilious pre-eminence above the people who have formed it.”
See also Hobbes, supra, at 130 (“The sovereign of a Commonwealth, be it an assembly or one man, is not subject to the civil laws. . . . For he is free that can be free when he will: nor is it possible for any person to be bound to himself, because he that can bind can release; and therefore he that is bound to himself only is not bound”); Bodin, supra, at 28-29 (“One may be subject to laws made by another, but it is impossible to bind oneself in any matter which is the subject of one’s own free exercise of
See also Wood 466 (“[OJnce men grasped, as they increasingly did in the middle [1780’s], that reform of the national government was the best means of remedying the evils caused by the state governments, then the revision of the Articles of Confederation assumed an impetus and an importance that it had not had a few years earlier”).
Cf. Jay I, at 1033-1034 (“English common law might afford clues to the meaning of some terms in the Constitution, but' the absence of any close federal model was recognized even at the Convention”); F. Coker, Commentary, in R. Pound, C. Mcllwain, & R. Nichols, Federalism as a Democratic Process 81-82 (1942).
See, e. g., Prout v. Starr,
The Court’s further assertion, that “Congress itself waited nearly a century before even conferring federal-question jurisdiction on the lower federal courts,” ante, at 71, is simply incorrect. As I have noted, numerous early statutes conferred federal-question jurisdiction on the federal courts operating under the original Judiciary Act in particular kinds of eases, and the Judiciary Act of 1800 provided for general federal-question jurisdiction in the brief period before its repeal in 1801. See n. 12, supra.
Considering the example of Massachusetts, Professor Nelson observes that “the clearest illustration that legislation was coming to rest on the arbitrary power of a majoritarian legislature rather than on its conformity with past law and principle was the ease with which statutes altering common law rights were enacted and repealed in the 1780s in response to changing election results.” Nelson, Americanization of the Common Law, at 91-92.
See also Del. Const., Art. 25 (1776), in 2 Swindler, Sources and Documents of United States Constitutions, at 203 (“The common law of England, as well as so much of the statute law as has been heretofore adopted in practice in this State, shall remain in force, unless they shall be altered by a future law of the legislature; such parts only excepted as are repugnant to the rights and privileges contained in this constitution . . .”); Act of Feb. 25, 1784, in 1 First Laws of the State of Georgia 290 (1981) (declaring “the common laws of England” to be “in full force” “so far as they are not contrary to the constitution, laws and form of government now established in this State”); Mass. Const., Ch. VI, Art. VI (1780), in 5 Swindler, supra, at 108 (“All the laws which have heretofore been adopted, used, and approved in the province, colony, or State of Massachusetts Bay ... shall still remain and be in full force, until altered or repealed by the legislature ...”); Commonwealth v. Churchill,
Connecticut, which did not enact any reception statute or constitutional provision, adopted the common law by judicial decision insofar as it was appropriate for local conditions. See 1 Powell & Rohan, supra, ¶ 52, at 140-141, and n. 77; Hall,
Ift bears emphasis that, in providing for statutory alteration of the common law, the new States were in no way departing from traditional understandings. It is true that the colonial charters had generally rendered colonial legislation void to the extent that it conflicted with English common law, but this principle was simply indicative of the Colonies’ legal
See also 3 Elliot’s Debates 469-470 (Edmund Randolph, Virginia Convention) (arguing that constitutional incorporation of the common law would be “destructive to republican principles”). Indeed, one reason for
See Wood 304, n. 75 (“To Jefferson in 1785 judicial discretion in the administration of justice was still the great evil and codification the great remedy”); G. White, The Marshall Court and Cultural Change, 1815-1835, p. 130 (1991) (“[A]n assumption of the constitutional design was that if Congress exercised [its enumerated] powers through legislation, its laws would supersede any competing ones”).
The Court attempts to sidestep this history by distinguishing sovereign immunity as somehow different from other common-law principles. Ante, at 69. But see Chisholm v. Georgia,
Cf. United States v. Lopez,
The Court accuses me of misrepresenting its argument. Ante, at 75, n. 17. The Court’s claim, as I read it, is not that Congress cannot authorize federal jurisdiction under Ex parte Young over a cause of action with a limited remedial scheme, but rather that remedial limitations on the underlying cause of action do not apply to a claim based on Ex parte Young. Otherwise, the existence of those remedial limitations would provide no reason for the Court to assume that Congress did not intend to permit an action under Young; rather, the limitations would apply regardless of whether the suit was brought against the State or a state officer.
See also Brennan v. Stewart,
Many other federal statutes impose obligations on state officials, the enforcement of which is subject to “intricate provisions” also statutorily provided. See, e. g., Federal Water Pollution Control Act, 33 U. S. C. § 1365(a) (citizen-suit provision to enforce States’ obligations under federal environmental law); Emergency Planning and Community Right-To-Know Act, 42 U. S. C. § 11001 (privately enforceable requirement that States form commissions, appointed by the Governor, to generate plans for addressing hazardous material emergencies).
In order for any person (whether individual or entity) to be a proper defendant under § 2710(d)(7) (and in order for standing to exist, since one of its requirements is redressability), that person, of course, would need to have some connection to the State’s negotiations. See Young,
The scope of the Tenth Amendment’s limitations of congressional power remains a subject of debate. New York v. United States,
See also The Federalist No. 46, at 319 (J. Madison) (explaining that the Federal Government “will partake sufficiently of the spirit [of the States], to be disinclined to invade the rights of the individual States, or the pre