Opinion for the Court filed by Circuit Judge SILBERMAN.
Supplemental Opinion
In the same week that our opinion issued, the Fifth Circuit held that the Eleventh Amendment bars a False Claims Act
qui tam
suit against a state in federal court.
See United States ex rel. Foulds v. Texas Tech University,
The Fifth Circuit reasoned as follows: since the question whether a relator can sue a state under the Act is a cause of action or merits question, and since the question whether a federal court can hear such a suit under the Eleventh Amendment is a jurisdictional one, the latter must be resolved before the former.
See id.
at 286. The principal authority that the Fifth Circuit relied on is
Steel Co. v. Citizens for a Better Environment,
We did not address this
Steel Co.
question in our opinion, we confess, because we did not focus on it. Indeed, New York— whose immunity from suit is at stake— specifically urged us, apparently unlike Texas in
Foulds,
to decide the statutory question first on the ground that noncon-stitutional grounds should be considered before constitutional ones. Admittedly, we ordinarily are obliged to raise jurisdictional questions on our own, so the parties’ litigating tactics would not excuse our oversight. Still, the Eleventh Amendment bar on suits against the states in federal court is not a garden variety jurisdictional issue. Although the Amendment speaks in terms of the limits of the judicial power,
see
U.S. Const. Amend. XI (“The Judicial power of the United States shall not be construed to extend....”), a state can waive its Eleventh Amendment defense and consent to suit in federal court, and the Supreme Court has held that there is no obligation for the Court to raise the issue
sua sponte. See Wisconsin Dep’t of Corrections v. Schacht,
To be sure, the Court has also held that the “Eleventh Amendment defense sufficiently partakes of the nature of a jurisdictional bar so that it need not be raised in the trial court,”
Edelman v. Jordan,
New York’s explicit request that we first decide the statutory question could therefore be seen as a kind of agreement to assert its Eleventh Amendment defense
only
if it loses on the statutory one (a “springing” defense, as it were). As the Supreme Court has recently made clear, “[t]he Eleventh Amendment ... does not automatically destroy original jurisdiction,” but instead “grants the State a legal power to assert a sovereign immunity defense
should it choose to do so.” Schacht,
524 U.S. at -,
But even if we were not so obligated, we think that we are at least permitted to do so. Had New York chosen not to assert its Eleventh Amendment defense below, or even before us, it would not have been precluded from raising it thereafter.
See Calderon,
523 U.S. at - n. 2,
Moreover, the quasi-jurisdictional or “hybrid” status of the Eleventh Amendment,
see Schacht,
524 U.S. at -,
Another difficulty in applying
Steel Co.
here is that classifying the statutory question in an Eleventh Amendment case as a “cause of action” or merits question is, though technically accurate, somewhat misleading. The determination of whether a particular action is properly asserted against a state is also a land of logical prerequisite to the jurisdictional inquiry. The Eleventh Amendment only bars a federal court from hearing a “suit in law or equity, commenced or prosecuted against one of the United States,” and so it would seem perfectly appropriate — -perhaps even necessary — for courts to determine whether there is even such a suit before the court. That kind of inquiry — sometimes classified as “jurisdiction to determine our jurisdiction,”
Nestor v. Hershey,
If the Eleventh Amendment were a statutory provision stripping the federal courts of jurisdiction, the inquiry whether the case before the court was of the kind that the statute forbade would be a fairly routine form of jurisdictional analysis.
3
Ae-
*895
cordingly, in determining whether the Eleventh Amendment bars a particular suit, federal courts must decide a variety of issues that relate to the question whether the suit is actually one brought against the state, and do so before jurisdiction is finally resolved.
See, e.g., Regents of the University of California v. Doe,
Still, it might be thought that the “jurisdiction to determine jurisdiction” concept is not wholly satisfactory because whether states are persons under the False Claims Act is also a cause of action question (which is what the Fifth Circuit emphasized). But even if the cause of action aspect of the statutory question takes it outside the “jurisdiction to determine jurisdiction” doctrine, two additional considerations justify the approach we have taken.
As our discussion already indicates, the “merits” question is, in the Eleventh Amendment context, inextricably related to the “jurisdictional” question. We noted this relationship in our opinion in explaining why the Eleventh Amendment’s clear statement rule, ordinarily applied to an abrogation inquiry, is relevant in determining whether there is a cause of action against the states. Even if we were to assume that states are defendant persons, and then actually to decide that the Eleventh Amendment applied, we would then have to ask whether, for abrogation purposes, the statute contains a clear statement that states are to be defendants— which is more-or-less the same statutory analysis that we previously undertook. This can be seen in the Fifth Circuit’s opinion, where the court held that the state’s Eleventh Amendment immunity was not abrogated because the Act did not contain the requisite clear statement.
See Foulds,
We think this close relationship between the statutory and “jurisdictional” issues, even putting aside “jurisdiction to determine jurisdiction,” provides an independent ground on which to distinguish
Steel Co.
The relationship between these two issues is quite different from the relationship between an ordinary “cause of action” question and a pure jurisdictional issue such as standing. The Court in
Steel Co.
rejected the contention that merits questions could be decided before constitutional standing questions because the Article III redressability requirement, for example, “has nothing to do with the text of the
*896
statute relied upon” (except with regard to entirely frivolous claims).
Steel Co.,
523 U.S. at - n. 2,
In addition, we do not think our approach even implicates the concerns underlying the Supreme Court’s rejection of “hypothetical jurisdiction” because the statutory question is logically antecedent to the Eleventh Amendment question (even if it were not thought an aspect of “jurisdiction to determine jurisdiction”). We have not chosen to decide a pure (and relatively easier) merits question on the
assumption
that we have jurisdiction — the paradigm of the hypothetical jurisdiction model. When a court decides, as we do, that a statute does not provide for a suit against the states, there is no risk at all that the court is issuing a hypothetical judgment — an advisory opinion by a court whose very power to act is in doubt.
See Steel Co.,
523 U.S. at -,
Perhaps most important, our reasoning is confirmed by several Eleventh Amendment cases in which the Supreme Court itself has decided “cause of action” questions before turning to the Eleventh Amendment.
See, e.g., Hafer,
On the other hand, the Court in
Welch v. Texas Department of Highways and Public Transportation,
Nor do we think, as did the Fifth Circuit,
see Foulds,
We have taken pains to discuss the issue that the Fifth Circuit identified because of its importance. Although the issue is complex, and the case law not altogether clear, we are confident that no authority or principle prohibits our approach. And because it has the significant virtue of avoiding a difficult constitutional question, we think it is also the preferable one.
Notes
. Whether the
Patsy
rule relieves lower courts of the
sua sponte
obligation to raise the Eleventh Amendment issue is a matter of some controversy.
See Coolbaugh v. Louisiana,
. The Fifth Circuit has concluded otherwise, holding that in the removal context, a district
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court must decide subject matter jurisdiction before personal jurisdiction.
See Marathon Oil Co. v. Ruhrgas,
. One analogy is cases involving the Norris-LaGuardia Act's bar on federal courts issuing certain injunctions in labor disputes.
See
29 U.S.C. § 104 (1994) ("No court of the United States shall have jurisdiction to issue any restraining order or temporary or permanent injunction in any case involving or growing out of any labor dispute to prohibit any person or persons participating or interested in such dispute [from doing certain acts].”). Not surprisingly, the Supreme Court has had to interpret that provision, together with the provision defining it,
see id. at §
113 ("A case shall be held to involve or grow out of a labor dispute when the case involves persons who are engaged in the same industry, trade, craft, or occupation....”), to determine whether particular kinds of cases fall within the jurisdictional bar.
See, e.g., Burlington Northern R. Co. v. Brotherhood of Maintenance of Way Employees,
. Of course, we recognize some tension between Amchem and Steel Co., in that a cause of action question is, in a sense, logically antecedent to jurisdiction too: without a cause of action, the question whether a party satisfies jurisdictional requirements would not arise. Yet Steel Co. clearly requires a court to decide jurisdiction first. But the Court did not cast any doubt on Amchem in Steel Co., and we think logical priority, as in Amchem, should control here.
.
Lake Country Estates
went so far as to state that this order of decision was
required. See Lake Country Estates,
. The Ninth Circuit, interestingly enough, had decided the statutory jurisdictional question before turning to the Eleventh Amendment issues.
See Native Village of Noatak v. Hoffman,
