Abril v. Commonwealth of VA

145 F.3d 182
CourtCourt of Appeals for the Fourth Circuit
DecidedMay 21, 1998
Docket97-1072
StatusPublished
Cited by1 cases

This text of 145 F.3d 182 (Abril v. Commonwealth of VA) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Abril v. Commonwealth of VA, 145 F.3d 182 (4th Cir. 1998).

Opinions

Affirmed by published opinion. Senior Judge Phillips wrote the majority opinion, in which Judge Mumaghan joined. Senior Judge Butzner wrote a dissenting opinion.

[184]*184OPINION

PHILLIPS, Senior Circuit Judge:

The question is whether the Eleventh Amendment provides immunity to suit for the Commonwealth of Virginia (“the Commonwealth”) in actions filed against it in federal court by state employees seeking to recover damages for wage and overtime violations . of the Fair Labor Standards Act (“FLSA”), 29 U.S.C. §§ 201-219, as amended. The district court, rejecting contentions that the Commonwealth’s immunity had been constitutionally abrogated by Congress under enforcement powers conferred by Section 5 of the Fourteenth Amendment or, alternatively, had been waived by the Commonwealth, dismissed the action for lack of subject matter jurisdiction. We affirm.

I.

Employees of twenty-one Virginia state prison and mental health facilities1 filed separate actions against the Commonwealth in the United States District Courts for the Eastern and Western Districts of Virginia, alleging violations of the FLSA in various respects affecting their, compensation as state employees.2 On July 10, 1995, the district court denied the Commonwealth’s motion to dismiss the then-consolidated actions on Eleventh Amendment jurisdictional grounds, holding that under Pennsylvania v. Union Gas Co., 491 U.S. 1, 109 S.Ct. 2273, 105 L.Ed.2d 1 (1989), Congress had the power under the Commerce Clause unilaterally to abrogate the states’ Eleventh Amendment immunity to federal FLSA actions and had unequivocally done so by its 1974 amendments to that Act. See 949 F.Supp. 438, 440 (W.D.Va.1996) (reciting procedural history).

Following an unsuccessful effort by the Commonwealth to obtain interlocutory review of that decision, and while the consolidated actions were pending disposition in the district court, the Supreme Court overruled Union Gas, holding in Seminole Tribe of Florida v. Florida, 517 U.S. 44, 116 S.Ct. 1114, 134 L.Ed.2d 252 (1996), that Congress did not have power under Article I of the Constitution unilaterally to abrogate the Eleventh Amendment immunity of noncon-senting states to suits in federal court for the recovery of monetary relief.

The district court then directed the parties to re-brief the issue of Eleventh Amendment immunity in light of Seminole Tribe. Responding, the Commonwealth moved, with supporting briefs, for reconsideration of its motion to dismiss, relying on Seminole Tribe as dispositive of the issue in its favor. The employees, resisting the Commonwealth’s motion, contended that Congress’s express abrogation of the states’ Eleventh Amendment immunity was yet constitutionally valid as an exercise of its enforcement powers under Section 5 of the Fourteenth Amendment. Alternatively, they contended that, in any event, the Commonwealth had waived its immunity by participating in federal regulated activity. And finally, contending that the Commonwealth may have waived its immunity by participating in federal programs that require contractual waivers, they moved for leave to conduct limited discovery respecting that possibility.

Following a hearing on the parties’ cross-motions, the district court ruled in the Commonwealth’s favor on each point, holding that Congress’ attempted abrogation of the Commonwealth’s Eleventh Amendment immunity to FLSA claims for monetary relief was not authorized as an exercise of enforcement powers conferred by Section 5 of the Fourteenth Amendment; that the Commonwealth had not, as a matter of law, waived its immunity by participating in federal regulated activity; and, as a matter of the court’s discretion, that discovery as to possible contractual waivers would not be allowed. Accordingly, the district court dismissed the actions for lack of subject matter jurisdiction.

[185]*185This appeal followed. On it, the employees challenge each of the district court rulings above identified. We take them in turn.

II.

We first consider whether, as the district court held, Congress’s attempted abrogation of the states’ (hence here the Commonwealth’s) Eleventh Amendment immunity to private FLSA damage suits was unconstitutional. Conceding that under Seminole THbe abrogation could not be upheld as an exercise of Article I Commerce Clause powers (the source expressly invoked by Congress), the employees contend that the requisite power can be found in the enforcement provision, Section 5, of the Fourteenth Amendment.3 Specifically, the contention is that abrogation was effective as an exercise of Section 5 power because it served to enforce two rights protected by the Fourteenth Amendment: (1) primarily, the Equal Protection Clause right not to be subjected to invidious discrimination by a state’s unequal treatment of comparably situated classes of persons, here that of private-sector and public-sector employees resulting from Eleventh Amendment immunity, and (2) an alleged First Amendment right of access to the courts as incorporated in the Fourteenth Amendment. See Appellants’ Brief pp. 15, 16.4

Because we think that the employees’ “right of access” contention is essentially subsumed in their equal protection contention (the only unequal treatment relied upon being that respecting access to the federal forum), we consider the abrogation issue as confined to that created by the employees’ equal protection contention. As so confined,5 we review it de novo. See Harter v. Vernon, 101 F.3d 334, 336-37 (4th Cir.1996). Though it is one of first impression in this court, four of our sister circuits have addressed it and each has held, rejecting comparable state-employee contentions, that the attempted abrogation cannot be upheld as an exercise of [186]*186Section 5 power to enforce Equal Protection Clause rights. See Mills v. Maine, 118 F.3d 37, 43-49 (1st Cir.1997); Raper v. Iowa, 115 F.3d 623, 624 (8th Cir.1997); Aaron v. Kansas, 115 F.3d 813, 817 (10th Cir.1997); Wilson-Jones v. Caviness, 99 F.3d 203, 206-11 (6th Cir.1997), amended on other grounds by 107 F.3d 358 (6th Cir.1997); see also Powell v. Florida, 132 F.3d 677, 678 (11th Cir.1998) (per curiam) (semble).6 We now join those circuits in so holding.

Between them, these other courts of appeal have thoroughly canvassed the issue and come to the same conclusion, though by varying depths of analysis and by somewhat different reasoning at a few points.7Because we agree with their common conclusion and with the essentials of them common reasoning to it, we need not attempt a wholesale re-invention of the wheel and will simply summarize the salient points of their common reasoning with which we agree, expanding somewhat at the end-stage of the analysis.

The determination whether in enacting the 1974 amendments to the FLSA Congress validly abrogated the states’ Eleventh Amendment immunity to private FLSA suits in federal court turns on two questions: “whether Congress has ‘unequivocally expresse[d] its intent to abrogate the immunity’ ” and “whether Congress has acted ‘pursuant to a valid exercise of power.’” Seminole Tribe, 116 S.Ct. at 1123, 116 S.Ct. 1114 (quoting Green v.

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Abril v. Commonwealth of Virginia
145 F.3d 182 (Fourth Circuit, 1998)

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Bluebook (online)
145 F.3d 182, Counsel Stack Legal Research, https://law.counselstack.com/opinion/abril-v-commonwealth-of-va-ca4-1998.