University of Texas at El Paso v. HerreraUniversity of Texas at El Paso v. Herrera
delivered the opinion of the Court.
This case under the Family and Medical Leave Act (FMLA) raises two important immunity issues: (1) did Congress validly abrogate Texas’ sovereign immunity under the FMLA’s self-care provision; and if not (2) did the University of Texas at El Paso (UTEP) waive the State’s immunity through a single sentence in its Handbook of Operating Procedures? We hold that UTEP’s immunity was neither validly abrogated nor voluntarily waived, and the court of appeals erred in affirming the trial court’s denial of UTEP’s plea to the jurisdiction.
I. Background
Alfredo Herrera worked for UTEP as a heating, ventilation, and air-conditioning technician. In March 2005 he sustained an on-the-job injury to his left elbow. Herrera took approximately nine months leave and returned to work in January 2006. UTEP terminated Herrera’s employment less than one month later.
Herrera sued UTEP, claiming it fired him for (1) taking personal medical leave under the self-care provision of the FMLA and (2) exercising his First Amendment rights by complaining about unsafe work conditions. UTEP filed a plea to the jurisdiction on the FMLA claim, contending it was barred by sovereign immunity. The trial court denied the plea, and a divided court of appeals affirmed, holding the self-care provision validly abrogated the States’ sovereign immunity. 1
The court of appeals anchored its holding on the United States Supreme Court’s decision in
Nevada Department of Human Resources v. Hibbs,
2
,
which concerned the FMLA’s
family-care
provision related to ill spouses, children or parents. The court of appeals reasoned that the self-care provision, like the family-care provision in
Hibbs,
was intended to advance equal-protection rights and was thus a valid exercise of Congress’s powers under § 5 of the Fourteenth Amendment.
3
The dissenting justice emphasized that “[t]he majority
II. Discussion
A. Does the Self-Care Provision Validly Abrogate State Immunity?
Congress listed five purposes underlying the FMLA:
(1) to balance the demands of the workplace with the needs of families, to promote the stability and economic security of families, and to promote national interests in preserving family integrity;
(2) to entitle employees to take reasonable leave for medical reasons, for the birth or adoption of a child, and for the care of a child, spouse, or parent who has a serious health condition;
(3) to accomplish the purposes described in paragraphs (1) and (2) in a manner that accommodates the legitimate interests of employers;
(4) to accomplish the purposes described in paragraphs (1) and (2) in a manner that, consistent with the Equal Protection Clause of the Fourteenth Amendment, minimizes the potential for employment discrimination on the basis of sex by ensuring generally that leave is available for eligible medical reasons (including maternity-related disability) and for compelling family reasons, on a gender-neutral basis; and
(5)to promote the goal of equal employment opportunity for women and men, pursuant to such clause. 5
To achieve these purposes, the FMLA grants eligible employees 6 up to “12 workweeks of leave during any 12-month period” for various health-related reasons, 7 including an employee’s “serious health condition,” 8 the so-called “self-care” provision at issue in this case. Employees returning from FMLA leave are entitled to be restored to their former position, or to a new position with equivalent benefits, pay, and other terms and conditions of employment. 9
Two threshold issues are undisputed: (1) Herrera is an “eligible employee” under the FMLA; and (2) the Act by its terms applies to state employers like UTEP.
10
Today’s narrow dispute is whether Congress overreached in exposing
Our federal and state constitutional designs embody the principle of state sovereignty that shields States from private suits in their own courts and in the federal courts. 11 Herrera’s FMLA suit is thus barred by sovereign immunity unless (1) Congress validly abrogates it, or (2) the State voluntarily waives it. As for abrogation, federal legislation can overcome the States’ immunity provided Congress (1) unequivocally expresses its intent to do so, and (2) acts “pursuant to a constitutional provision granting Congress the power to abrogate.” 12 The first part is undeniable in this case; the text explicitly subjects States to FMLA claims, 13 and the Supreme Court has determined as much. 14 The second part is what matters here: did Congress have constitutional authority to abrogate the States’ immunity for purposes of the FMLA’s self-care provision? 15
The principal source for abrogation authority is § 5 of the Fourteenth Amendment: “The Congress shall have power to enforce, by appropriate legislation, the provisions of this article.” 16 As the Supreme Court has explained, “Section 5 grants Congress the power ‘to enforce’ the substantive guarantees of § 1 — among them, equal protection of the laws — by enacting ‘appropriate legislation.’ ” 17
Congress’s § 5 enforcement power is not limitless, however. If federal legislation “reachfes] beyond the scope of § l’s actual guarantees,” it can validly abrogate the States’ immunity only when it is “an appropriate remedy for identified constitutional violations, not ‘an attempt to substantively redefine the States’ legal obligations.’ ” 18
To pass constitutional muster, § 5 legislation must meet the two-part test refined in City of Boerne v. Flores 19 — that is, it must (1) counter identified constitutional injuries by the States and (2) exhibit “congruence and proportionality between the injury to be prevented or remedied and the means adopted to that end.” 20 The first prong decides today’s case, as nothing shows Congress was thinking of gender discrimination by the States when it enacted the self-care provision.
The court of appeals justified its holding by pointing both to the congressional findings noted in
Nevada Department of Human Resources v.
Hibbs
23
and the historical context in which the FMLA was enacted. In
Hibbs,
which concerned the Act’s family-care provision, the Supreme Court held that Congress intended the FMLA to protect a right guaranteed by the Equal Protection Clause, specifically the right to be free from gender discrimination in the workplace.
24
The Court reasoned that Congress had validly exercised its § 5 power to abrogate the States’ immunity with respect to family-care claims because Congress had identified a pattern of gender discrimination on the part of the States.
25
Notably, the Court was careful throughout
Hibbs
to make clear it was deciding the narrow issue of Eleventh Amendment immunity under the family-care provision, nothing else.
26
The court of appeals pointed to
Hibbs
as proof that the Supreme Court already found that “Congress had before it sufficient evidence of gender-based discrimination in the administration of leave benefits to warrant the enactment of prophylactic § 5 legislation.”
27
But all the evidence of unconstitutional State conduct cited in
Hibbs
concerned discrimination rooted in the belief that women are more likely than men to take leave to care for other family members, not themselves.
28
Indeed, the court of appeals recognized that in
Hibbs
there was evidence that the
The court of appeals also examined the historical context in which the FMLA was enacted, 33 concluding that Congress intentionally included the self-care provision to counter the stereotype that women take more advantage of leave policies than men and to provide women with protection from gender discrimination that might result from more-targeted legislation providing special protection only for pregnant women. 34
In sum, the legislative record reveals no intention by Congress to remedy unconstitutional gender discrimination through the self-care provision.
39
Nothing links
We agree with two States’ highest courts,
40
and nine federal circuit courts,
41
In fact, the record indicates two motivations underlying the self-care provision, both unrelated to gender discrimination. First, Congress was trying to alleviate economic burdens borne by employees and their families facing health-related job loss.
44
Second, Congress was trying to curb discrimination against any employee with a “serious health condition,” a term broadly defined to include
any
“illness, injury, impairment, or physical or mental condition”
45
that involves “inpatient care” at a medical facility or “continuing treatment by a health care provider,” not just those health conditions wholly or mostly experienced by women.
46
Nothing in the record connects these two, gender-neutral motivations to unconstitutional workplace
Because the self-care provision was not intended to combat gender bias by the States, and thus does not satisfy City of Boeme’s first prong, we need not reach prong two regarding congruence and proportionality. Summing up: Congress exceeded its § 5 abrogation authority when it subjected the States to private-damages suits under the FMLA’s self-care provision.
B. Does UTEP’s Personnel Handbook Waive the State’s Immunity?
Herrera alternatively argues that even if Congress did not abrogate the State’s immunity, UTEP clearly and unambiguously waived it through its Handbook of Operating Procedures, which states “[a]n eligible employee may also bring a civil action against an employer for violations [of the FMLA].” We disagree.
UTEP’s policy manual certainly mentions employees’ FMLA rights, noting that the FMLA makes it unlawful to discharge or discriminate against someone for involvement in proceedings under the Act. The handbook also includes the “may also bring a civil action” sentence, which Herrera says plainly permits FMLA claims.
This cursory language does not remotely constitute voluntary consent to suit, much less “clear and unambiguous” consent. 48 Putting aside the issue of whether UTEP (as opposed to the Legislature) can waive its immunity by declaration in a handbook, 49 UTEP’s manual actually reveals nothing about an intent to waive immunity. 50 The handbook states that employees may sue for violations of the FMLA, but makes no attempt to expand the universe of actionable violations by explicitly waiving immunity that UTEP otherwise enjoys. Indeed, it is impossible to grasp how fleeting language in a policy manual can “clearly and unambiguously” waive immunity when far more overt declarations in statutes enacted by the Legislature fall short. 51
The State of Texas cannot be sued under the FMLA’s self-care provision. As for abrogation, nothing in the legislative record suggests that gender bias by the States was the constitutional evil underlying the self-care provision. Congress’s power under the Fourteenth Amendment to overcome the States’ immunity is limited, and its attempt to do so here was an unconstitutional exercise of its § 5 power. As for waiver, a stray line in UTEP’s policy manual that employees may “bring a civil action against an employer” is insufficient to waive state immunity. The trial court erroneously denied UTEP’s plea to the jurisdiction. We reverse the court of appeals’ judgment and dismiss Herrera’s FMLA claim for lack of subject-matter jurisdiction.
Notes
.
.
.
. Id. at 592 (Carr, J., dissenting). Justice Carr's dissent on a material question of law gives us jurisdiction over this interlocutory appeal. Tex. Gov't Code § 22.225(c).
. 29 U.S.C. § 2601 (b)( 1) — (5).
. Id. § 2611(2)(A).
. Id. § 2612(a)(1). The FMLA guarantees leave to eligible employees for the following reasons:
(A) Because of the birth of a son or daughter of the employee and in order to care for such son or daughter.
(B) Because of the placement of a son or daughter with the employee for adoption or foster care.
(C) In order to care for the spouse, or a son, daughter, or parent, of the employee, if such spouse, son, daughter, or parent has a serious health condition.
(D)Because of a serious health condition that makes the employee unable to perform the functions of the position of such employee.
Id. After this case was filed, Congress added subsection (E), allowing leave for exigencies arising from a family member’s active duty in the Armed Forces.
. Id. § 2612(a)(1)(D).
. Id. § 2614(a)(1).
. Id. §§ 2611(4)(A)(iii), 203(x). The Act confers a private right of action "to recover [] damages or equitable relief ... against any employer (including a public agency) in any Federal or State court of competent jurisdiction. ...” Id. § 2617(a)(2).
.
See Alden v. Maine,
.
Seminole Tribe of Fla. v. Florida,
. 29 U.S.C. § 2617(a)(2) (enabling employees to seek damages “against any employer (including a public agency) in any Federal or State court of competent jurisdiction”); id. §§ 2611(4)(A)(iii), 203(x) (defining "public agency” to include both "the government of a State or political subdivision thereof” and "any agency of ... a State, or a political subdivision of a State”).
.
Hibbs,
. See id.
. U.S. Const, amend. XIV, § 5.
.
Hibbs,
.
Id.
at 728,
.
.
Hibbs,
.
. Id. at 584.
.
.
Id.
at 728,
.
Id.
at 735,
.
Nelson v. Univ. of Tex. at Dallas,
.
.
Touvell v. Ohio Dep’t of Mental Retardation & Developmental Disabilities,
.
.
Hibbs,
.
See Touvell,
.
See id.
at 402, 405; H.R. Rep. No. 101-28, pt. 1, at 15 (1989) ("Recent studies ... indicate that men and women are out on medical leave approximately equally. Men workers experience an average of 4.9 days of work loss due to illness or injury per year, while women workers experience 5.1 days per year. The evidence also suggests that the incidence of serious medical conditions that would be covered by medical leave under the bill is virtually the same for men and women. Employers will find that women and men will take medical leave with equal frequency.”);
see also Laro v. New Hampshire, 259
F.3d 1, 12 (1st Cir.2001) ("The argument that [the self-care] provision validly abrogates New Hampshire’s Eleventh Amendment immunity founders on this lack of congruence between the personal medical leave provision at issue here and the prevention of gender-based discrimination by states as employers, because Congress has not found the states to have engaged in the specific gender-based discriminatory practices this provision was designed to prevent.”);
Bryant v. Miss. State Univ.,
.
.
Id.
at 584. The court of appeals surmised the self-care provision was enacted to meet a perceived need not addressed by Title VII and the Pregnancy Discrimination Act (PDA).
Id.
at 583. The Pregnancy Discrimination Act of 1978 amended Title VII to prohibit sex discrimination on the basis of pregnancy by amending the definition of the terms “because of sex” or "on the basis of sex" to include pregnancy, childbirth, and related medical conditions.
See
42 U.S.C. § 2000e(k). Under the PDA, women may not be treated different
.Touvell,
.
Touvell,
. Id.
.
See Kazmier v. Widmann,
. In this context, we consult the congressional record to discern whether Congress validly abrogated the States’ immunity.
See Hibbs,
.
Lizzi v. Wash. Metro. Area Transit Auth.,
.
See Loro,
.
Nelson,
. See supra note 32.
. S.Rep. No. 103-3, at 11, 1993 U.S.C.C.A.N. 3, at 13-14 (1993) (“The fundamental rationale for [a personal medical leave] policy is that it is unfair for an employee to be terminated when he or she is struck with a serious illness and is not capable of working. Job loss because of illness has a particularly devastating effect on workers who support themselves and on families where two incomes are necessary to make ends meet or where a single parent heads the household."); H.R.Rep. No. 101-28, pt. 1, at 23 ("The temporary medical leave requirement is intended to provide basic, humane protection to the family unit when it is most in need of help. It will also help reduce the societal cost born[e] by government and private charity.”);
see also Touvell,
In any event, this concern implicates the Commerce Clause rather than § 5 of the Fourteenth Amendment, and Congress cannot abrogate the States’ immunity through the Commerce Clause.
Bd. ofTrs. ofUniv. of Ala. v. Garrett,
. 29 U.S.C. § 2611(11).
.
See, e.g.,
S.Rep. No. 103-3, at 12, 1993 U.S.C.C.A.N. 3, at 14 (citing testimony that a quarter of all cancer survivors face "some form of employment discrimination” and that "such discrimination against qualified employees costs society millions of dollars in lost wages, lost productivity and needless disability payments”); H.R.Rep. No. 101-28, pt. 1, at 23 ("[A] worker who has lost a job due to a serious health condition often faces future discrimination in finding a job which has even more devastating consequences for the worker and his or her family.”);
see also Touvell,
. 29 U.S.C. § 2601(a)(4).
.
See Tooke v. City of Mexia,
.
See Tex. Natural Res. Conservation Comm’n v. IT-Davy,
.
See Tooke,
. Id. (holding that phrases in Texas statutes stating a governmental entity may "sue and be sued” or "plead and be impleaded” were not clear and unambiguous waivers of sovereign immunity within the meaning of Tex. Gov’t Code § 311.034); see also id. at 347-55 ("Appendix” listing Texas statutes containing "sue and be sued” or "plead and be implead-ed” language).