No. 98-796
In the Supreme Court of the United States
OCTOBER TERM, 1998
UNITED STATES OF AMERICA, PETITIONER
AND
J. DANIEL KIMEL, JR., ET AL.
v.
FLORIDA BOARD OF REGENTS
UNITED STATES OF AMERICA, PETITIONER
AND
WELLINGTON N. DICKSON, A/K/A "DUKE"
v.
FLORIDA DEPARTMENT OF CORRECTIONS
UNITED STATES OF AMERICA, PETITIONER
AND
RODERICK MACPHERSON AND MARVIN NARZ
v.
UNIVERSITY OF MONTEVALLO
ON PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
REPLY BRIEF FOR THE PETITIONER
SETH P. WAXMAN
Solicitor General
Counsel of Record
Department of Justice
Washington, D.C. 20530-0001
(202) 514-2217
In the Supreme Court of the United States
OCTOBER TERM, 1998
No. 98-796
UNITED STATES OF AMERICA, PETITIONER
AND
J. DANIEL KIMEL, JR., ET AL.
v.
FLORIDA BOARD OF REGENTS
UNITED STATES OF AMERICA, PETITIONER
AND
WELLINGTON N. DICKSON, A/K/A "DUKE"
v.
FLORIDA DEPARTMENT OF CORRECTIONS
UNITED STATES OF AMERICA, PETITIONER
AND
RODERICK MACPHERSON AND MARVIN NARZ
v.
UNIVERSITY OF MONTEVALLO
ON PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
REPLY BRIEF FOR THE PETITIONER
1. Respondents, the Florida Board of Regents and the Florida Department
of Corrections, have waived their response to the petitions filed by the
United States and the private parties (No. 98-791) in these cases, and have
conceded that "the decision of the Eleventh Circuit Court of Appeals
conflicts with the holdings of several other circuits with respect to respondents'
Eleventh Amendment challenge to the Age Discrimination in Employment Act."
Letter from Robert A. Butterworth, Attorney General, State of Florida, to
William K. Suter, Clerk, U.S. Supreme Court, at 1 (Dec. 7, 1998).
Respondent University of Montevallo does not deny the existence of circuit
conflicts on each of the questions presented by the petition: whether Congress
clearly expressed its intent to abrogate Eleventh Amendment immunity in
the text of the Age Discrimination in Employment Act of 1967 (ADEA), 29
U.S.C. 621 et seq., and whether Congress possessed the power under Section
5 of the Fourteenth Amendment to effect that abrogation.1 Rather, respondent
University of Montevallo contends (Opp. 15-19) that the seven-circuit split
does not merit this Court's review because the issue "ha[s] not yet
[been] considered in any depth" (id. at 2), and because Congress "should
be allowed the opportunity to repair" the conflict (id. at 19; see
also id. at 11-12). Those arguments are without merit.
First, the circuit conflict on both questions presented is entrenched and
widespread. See Pet. 8-10. In fact, the conflict has grown since the filing
of the government's petition. On December 23, 1998, the Second Circuit joined
the Fifth, Sixth, Seventh, Ninth, and Tenth Circuits (and disagreed with
the Eighth and Eleventh Circuits) in holding both that Congress clearly
expressed its intent to abrogate the States' Eleventh Amendment immunity
in the text of the ADEA and that Section 5 of the Fourteenth Amendment supports
Congress's extension of the ADEA to the States and abrogation of their immunity.
Cooper v. New York State Office of Mental Health, et al., Nos. 97-9433,
97-9543 & 97-9367, 1998 WL 898290.2
The Second Circuit's decision in Cooper, supra, the Eleventh Circuit's decision
in this case, and the rulings of the six other courts of appeals cited in
our petition (Pet. 8-11), moreover, all postdate this Court's decisions
in Seminole Tribe v. Florida, 517 U.S. 44 (1996), and City of Boerne v.
Flores, 521 U.S. 507 (1997), and constitute binding precedent that will
govern future cases within their respective jurisdictions. Further, the
issues remain pending in two other circuits. Jones v. WMATA, No. 97-7186
(D.C. Cir.) (oral argument heard Sept. 9, 1998); Young v. Pennsylvania House
of Representatives, No. 98-7130 (3d Cir.) (oral argument heard Oct. 27,
1998). It is thus clear that, absent review by this Court, the conflict
will persist and important federal civil rights legislation will operate
quite differently depending upon the State in which an ADEA violation arises.3
Second, respondent University of Montevallo's suggestion (Opp. 11-12, 19)
that the Court should give Congress the opportunity to "repair"
the statute is unpersuasive. That argument begs the question whether there
is any constitutional defect that requires repair. As explained in the petition
(Pet. 13-19), this Court's precedents and the rulings of five (now six)
courts of appeals indicate that Congress has already done all that it constitutionally
needs to do to permit ADEA suits against States to proceed in federal court.
The fact that two courts of appeals have disagreed, see Pet. App. 2a-15a,
42a-56a; Humenansky v. Regents of the Univ. of Minn., 152 F.3d 822, 825
(8th Cir. 1998), is a reason for this Court to grant review and not to await
the possibility of further legislation.
In any event, respondent University of Montevallo cites no pending legislation,
nor are we aware of any, that would affect the issues presented by the petition.
There is no sound basis for permitting a deep circuit conflict concerning
important federal legislation to persist pending a purely hypothetical legislative
response.
2. Respondent University of Montevallo further argues (Opp. 21-22) that
this Court should wait and address the Section 5 issue in a case also presenting
the issue of whether permitting disparate impact claims against the States
under Title VII, 42 U.S.C. 2000e et seq., exceeds Congress's power under
Section 5 of the Fourteenth Amendment. While the resolution of the questions
presented in this case may shed light on the appropriate disposition of
similar issues arising under other statutes (see Pet. 12-13), differences
in the scope and provisions of Title VII and the ADEA would prevent a decision
regarding one statute from controlling any decision regarding the other
statute. It is doubtful whether addressing two such important Section 5
issues in a single case would best promote the thorough and exhaustive consideration
that should attend any adjudication of the constitutionality of an Act of
Congress, which is "the gravest and most delicate duty that this Court
is called upon to perform." Rostker v. Goldberg, 453 U.S. 57, 64 (1981)
(quoting Blodgett v. Holden, 275 U.S. 142, 148 (1927)). In any event, there
is no conflict among the circuits regarding Congress's legislative power
to apply Title VII to the States that would merit this Court's review.
3. Respondent University of Montevallo also suggests (Opp. 19-21) that the
factual particularities of its case do not present an appropriate context
for consideration of the abrogation questions presented. The court of appeals'
ruling, however, broadly foreclosed ADEA suits against the States in federal
court; it made no distinctions based on the facts of the individual cases
or the nature of the claims presented. Furthermore, because the consolidated
cases demonstrate the ADEA's operation in a variety of contexts, they provide
a particularly appropriate vehicle for reviewing the broad question of whether
States may be sued under the ADEA in federal court at all.
* * * * *
For the foregoing reasons, and those stated in the petition, it is respectfully
submitted that the petition for a writ of certiorari should be granted.
If the Court also grants the petition in No. 98-791, the cases should be
consolidated for briefing and for oral argument.
SETH P. WAXMAN
Solicitor General
DECEMBER 1998
APPENDIX
UNITED STATES COURT OF APPEALS
FOR THE SECOND CIRCUIT
Nos. 97-9367, 97-9433, AND 97-9543
RALPH A. COOPER, PLAINTIFF-APPELLEE
v.
NEW YORK STATE OFFICE OF MENTAL HEALTH,
BRYAN F. RUDES AND RICHARD A. LALLIER,
DEFENDANTS-APPELLANTS
JOHN L. METE AND MERRILL J. GOTTLIEB,
INDIVIDUALLY AND ON BEHALF OF ALL OTHER
PERSONS SIMILARLY SITUATED, PLAINTIFFS-APPELLEES
v.
NEW YORK STATE OFFICE OF MENTAL RETARDATION
AND DEVELOPMENTAL DISABILITIES AND
NEW YORK STATE DEPARTMENT OF
CIVIL SERVICE, DEFENDANTS-APPELLANTS
CLIFFORD DAVIS; BILLIE LEVY, EXECUTRIX OF THE
ESTATE OF NATHAN LEVY, JR.; AND
ROBERT BARD, PLAINTIFFS-APPELLEES
v.
BOARD OF TRUSTEES OF THE UNIVERSITY
OF CONNECTICUT AND THE UNIVERSITY OF
CONNECTICUT, DEFENDANTS-APPELLANTS
Argued Sept. 16, 1998
Decided Dec. 23, 1998
Before: FEINBERG, KEARSE and STRAUB, Circuit Judges.
FEINBERG, Circuit Judge:
Defendants-appellants in two of these three appeals are agencies or officials
of New York State and defendants-appellants in the third appeal are the
University of Connecticut and its Board of Trustees. The appeals are from
two orders of the United States District Court for the Northern District
of New York, one by Frederick J. Scullin, Jr., J., and the other by Neal
P. McCurn, J., and an order of the United States District Court for District
of Connecticut, Alvin W. Thompson, J. All the orders denied defendants'
motions to dismiss the complaints of the various plaintiffs-appellees. These
three appeals present a single legal issue: whether federal courts have
subject matter jurisdiction over claims alleging violations of the Age Discrimination
in Employment Act (ADEA), 29 U.S.C. §§ 621-634 (1994), brought
by individuals against state agencies or officials. In all three cases,
the district courts found that plaintiffs' claims under the ADEA against
the various defendants are not barred by the Eleventh Amendment. For reasons
set forth below, we affirm.
I. Background
In November 1993, plaintiff Ralph A. Cooper, a New York state employee,
brought an action in the Northern District against the New York State Office
of Mental Health (OMH) and Bryan F. Rudes and Richard Lallier, two OMH employees,
alleging that OMH's decision to terminate his employment violated the ADEA.4
In October 1991, plaintiffs John L. Mete and Merrill J. Gottlieb brought
a class action in the Northern District against the New York State Office
of Mental Retardation and Developmental Disabilities (OMRDD) and the New
York State Department of Civil Service alleging, inter alia, that the complete
elimination of the management position held by a defined class of employees,
including plaintiffs, violated the ADEA. In May 1992, Clifford Davis, Nathan
Levy, Jr. and Robert Bard, all faculty members of the University of Connecticut
School of Law, brought an action in the United States District Court for
the District of Connecticut against the Board of Trustees of the University
of Connecticut and the University of Connecticut alleging that salary decisions
made between 1984 and 1990 violated, inter alia, their rights under the
ADEA.
In May 1997, defendant OMH moved to dismiss plaintiff Cooper's complaint
pursuant to Fed. R. Civ. P. 12(b)(1),5 arguing that the Eleventh Amendment
deprived the court of subject matter jurisdiction over ADEA complaints filed
against States and state agencies because state sovereign immunity was not
abrogated by Congress when it extended the coverage of the ADEA to include
state employees. In October 1997, Judge Scullin denied defendant OMH's motion.
In June 1994, defendant OMRDD moved pursuant to Rule 56 for summary judgment
as to all federal causes of action alleged by plaintiffs Mete and Gottlieb.
In December 1996, the district court sua sponte raised the issue of its
jurisdiction over ADEA claims brought against New York State and its agencies.
In November 1997, Judge McCurn denied OMRDD's motion as to the ADEA claims.
6
In September 1996, the Connecticut defendants moved pursuant to Rule 12(b)(1)
to dismiss the ADEA claims of plaintiffs Davis, Levy and Bard, arguing that
the Eleventh Amendment deprived the district court of jurisdiction over
those claims. In September 1997, Judge Thompson denied defendants' motion.
Each of these three orders was separately appealed in timely fashion. We
have jurisdiction to review the challenged orders, despite their apparent
lack of finality, because orders denying States' claims of Eleventh Amendment
immunity fall under the collateral order doctrine, which allows immediate
appellate review in certain circumstances of what would otherwise be non-final
decisions. Puerto Rico Aqueduct and Sewer Auth. v. Metcalf & Eddy, Inc.,
506 U.S. 139, 147, 113 S.Ct. 684, 121 L.Ed.2d 605 (1993). In January 1998,
this Court ordered the appeals to be heard in tandem. For the reasons that
follow, we hold that the Eleventh Amendment did not deprive the district
courts of jurisdiction over these ADEA claims because Congress abrogated
the States' sovereign immunity through a valid exercise of its power under
§ 5 of the Fourteenth Amendment.
II. Discussion
A district court's legal conclusion is reviewed by this court de novo. See
Close v. New York, 125 F.3d 31, 35 (2d Cir. 1997) (Rule 12(b)(1) motion);
Frank v. Aaronson, 120 F.3d 10, 14 (2d Cir. 1997) (Rule 56 motion).
The Eleventh Amendment provides the States with a substantial grant of immunity
from suit in federal court. The Amendment states:
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.
In addition to barring suits in federal court against an unconsenting State
by citizens of other States, the Amendment has been interpreted to bar suits
in federal court against an unconsenting State by its own citizens. Hans
v. Louisiana, 134 U.S. 1, 15, 10 S. Ct. 504, 33 L.Ed. 842 (1890). However,
Congress may abrogate the States' sovereign immunity if it (1) provides
"a clear legislative statement" of its intent to abrogate, Seminole
Tribe v. Florida, 517 U.S. 44, 55, 116 S. Ct. 1114, 134 L.Ed.2d 252 (1996),
and (2) legislates pursuant to a valid exercise of its enforcement power
under § 5 of the Fourteenth Amendment. Id. at 59.
In 1974, as more fully set forth below, Congress extended coverage of the
ADEA to include state employees. We join the majority of our sister circuits
in concluding that Congress satisfied both prongs of the Seminole Tribe
test in enacting the 1974 amendments to the ADEA. See Migneault v. Peck,
158 F.3d 1131 (10th Cir. 1998); Coger v. Board of Regents, 154 F.3d 296
(6th Cir. 1998); Scott v. University of Mississippi, 148 F.3d 493 (5th Cir.
1998); Keeton v. University of Nevada Sys., 150 F.3d 1055 (9th Cir. 1998);
Goshtasby v. Board of Trustees, 141 F.3d 761 (7th Cir.1998). But see Humenansky
v. Regents of the Univ. of Minnesota, 152 F.3d 822 (8th Cir. 1998) (holding
that the ADEA does not satisfy either prong of the test); Kimel v. Florida
Bd. of Regents, 139 F.3d 1426 (11th Cir. 1998) (finding that ADEA lacks
unmistakable expression by Congress of intent to abrogate; not reaching
whether it had power to abrogate). The Eleventh Amendment issue has generated
numerous opinions in the other circuits. Under all the circumstances, we
will note our agreement with the other circuits on various issues and respond
at greater length to the arguments of appellants only where we think it
appropriate to do so.7
A. Intent to Abrogate
The appeals before us stem in part from the Supreme Court's decision in
Employees v. Missouri Dept. of Public Health and Welfare, 411 U.S. 279,
93 S. Ct. 1614, 36 L.Ed.2d 251 (1973). In Employees, the Court considered
whether in enacting the Fair Labor Standards Act (FLSA) Congress had abrogated
the States' immunity under the Eleventh Amendment. The Court focused on
the language of the FLSA's enforcement section, 29 U.S.C. § 216(b),
and concluded that the FLSA did not abrogate state sovereign immunity because
Congress did not express such an intent by "clear language." Id.
at 285.8 In response to Employees, in 1974 Congress amended § 216(b),
changing "in any court of competent jurisdiction" to "against
any employer (including a public agency) in any Federal or State court of
competent jurisdiction." FLSA Amendments of 1974, Pub. L. 93-259, sec.
6(d)(1), 88 Stat. 55, 61 (amending 29 U.S.C. § 216(b)).9
In the same legislative package that amended the FLSA in response to Employees,
Congress also included amendments that expanded the scope of the ADEA. See
id. sec. 28. When the ADEA was originally enacted in 1967, it applied only
to private employers. See EEOC v. Elrod, 674 F.2d 601, 604 (7th Cir. 1982).
The 1974 amendments extended the scope of the ADEA by adding the States
and their agencies to the definition of "employer," FLSA Amendments
of 1974, sec. 28(a)(2), 88 Stat. at 74 (amending 29 U.S.C. § 630(b)(2)),
and by adding "employees subject to the civil service laws of a State
government" to the definition of "employee," id. sec. 28(a)(4)
(amending § 630(f)). However, the 1974 amendments did not alter the
ADEA enforcement section, 29 U.S.C. § 626(c).10
The language of unaltered § 626(c) forms the crux of appellants' argument
that Congress, in enacting the 1974 ADEA amendments, did not express an
unequivocal intent to abrogate the State's immunity from suit in federal
court. Appellants point out that § 626(c), which authorizes aggrieved
persons to bring their actions "in any court of competent jurisdiction,"
contains exactly the same enforcement language, see note 5 supra, that the
Supreme Court in Employees held did not evidence a clear intent to abrogate
state sovereign immunity. Employees, 411 U.S. at 284-86. Appellants further
argue that Congress's failure in 1974 to amend the ADEA enforcement provision
to refer explicitly to the States, when it had the opportunity to do so
and the knowledge (based on Employees ) that the then-current enforcement
language was insufficient is particularly significant. Appellants acknowledge
that the addition of States to the definition of "employer" could
be interpreted as an intent to abrogate the Eleventh Amendment, but stress
that we still must find an "unmistakably clear" statement of intent,
Dellmuth v. Muth, 491 U.S. 223, 228, 109 S. Ct. 2397, 105 L.Ed.2d 181 (1989)
for the States' immunity to be deemed abrogated. See also Atascadero State
Hosp. v. Scanlon, 473 U.S. 234, 246, 105 S. Ct. 3142, 87 L.Ed.2d 171 (1985).
Appellants contend that this threshold has not been met.
We disagree. In reaching this conclusion, we join the majority of the other
circuits that have considered the question. See, e.g., Goshtasby, 141 F.3d
at 766 ("'Unless Congress had said in so many words that it was abrogating
the states' sovereign immunity in age discrimination cases-and that degree
of explicitness is not required . . .-it could not have made its desire
to override the states' sovereign immunity clearer.'") (quoting Davidson
v. Board of Governors, 920 F.2d 441, 443 (7th Cir. 1990)); Blanciak v. Allegheny
Ludlum Corp., 77 F.3d 690, 695 (3rd Cir. 1996) ("The [ADEA] simply
leaves no room to dispute whether states and state agencies are included
among the class of potential defendants when sued under the ADEA for their
actions as 'employers.'"); Ramirez v. Puerto Rico Fire Serv., 715 F.2d
694, 701 (1st Cir. 1983) ("[T]he ADEA's express authorization for the
maintenance of suits against state employers comprises adequate evidence
to demonstrate the congressional will that Eleventh Amendment immunity be
abrogated.").
It is true, as appellants emphasize, that the ADEA's enforcement language
is identical to that found insufficient to abrogate immunity under the FLSA
in Employees. Nevertheless, we think that the ADEA is "unmistakably
clear" in its intent to abrogate, thus distinguishing it from the statutes
considered by the Court in Employees and its progeny. For example, the version
of the FLSA under consideration in Employees defined "employers"
to exclude "any State or political subdivision of a state" except
for certain state-run hospitals and schools. 411 U.S. at 282-83. Given congressional
hesitancy to subject the States to the substantive provisions of the FLSA,
the Court concluded that it could not be assumed that Congress intended
to subject the States to the enforcement sections of the FLSA without explicit
guidance in the text of the statute. Id. at 285 ("It is not easy to
infer that Congress . . . desired silently to deprive the States of an immunity.
. . .").
The legislation under consideration in Atascadero and Dellmuth suffered
from similar defects. In Atascadero, the only evidence of abrogation was
the section of the Rehabilitation Act that provides remedies for violations
of that Act "by any recipient of Federal assistance." 29 U.S.C.
§ 794(a). Since the States are recipients of federal funding under
the statute, they technically fall within the group authorized to be sued
under that section. However, the statute nowhere specifically identifies
the States as the type of "recipient" intended to be subject to
suit. In light of the paucity of statutory evidence of intent, the Court
explained that "[a] general authorization for suit in federal court
is not . . . sufficient to abrogate the Eleventh Amendment." Atascadero,
473 U.S. at 246.
In Dellmuth, the Court concluded that the Education of the Handicapped Act
(EHA) did not contain sufficiently explicit language to overcome the presumption
against abrogation of immunity. However, the principal textual argument
in that case for abrogation was based only upon a "general authorization"
for judicial review of administrative decisions in § 1415(e)(2) of
the EHA and upon what the Court characterized as "frequent" references
to the States in the statute. 491 U.S. at 231-32. Without an explicit creation
of a private right of action for damages, the Court concluded that it could
not be said with sufficient certainty that Congress had intended to allow
private damage actions against the States in abrogation of their sovereign
immunity. Id.
The amended ADEA is quite different from the statutes involved in those
cases. Unlike the situation in Employees, the ADEA does not explicitly exclude
most state employees from coverage. Instead, the ADEA explicitly includes
the States and their employees within its scope by naming the States-without
any limitation-in the definition of "employer," 29 U.S.C. §
630(b), and naming state employees within the definition of "employee,"
id. § 630(f). Nor, as in the statute at issue in Atascadero, are the
States subject to liability only by implication. Instead, because the States
are explicitly named as an "employer," they fall within the core
group of potential defendants in ADEA actions. Finally, unlike the situation
in Dellmuth, the judicial review provisions of the statute are not limited
to appellate review of state administrative decisions. Instead, the ADEA
has a private enforcement section that allows aggrieved persons to sue for
damages, such as back pay. See 29 U.S.C. § 626(c). While it is true
that § 626(c) is phrased in general terms-"any person aggrieved"
may sue in "any court of competent jurisdiction"-the combination
of the amendments to "employer" and "employee" and the
availability of private damage actions makes it clear that States are intended
to be subject to liability under § 626(c). The fact that the States
are not named again in the enforcement section does not make ambiguous otherwise
clear statements of intent to abrogate. Indeed, § 626(c) does not use
the term "employer" at all; by this omission, should we conclude
that Congress did not state clearly its intent to subject any employer,
public or private, to the enforcement provision of the Act? Surely such
a conclusion would be an absurdity.11
Nothing in the ADEA or the cases cited by appellants suggests that §
626(c) is to be read in a vacuum, requiring a restatement of congressional
intent to apply the ADEA to the States. See Seminole, 517 U.S. at 56-57
(looking to references to the States in numerous sections of the statute
in finding clear statement of intent to abrogate). The language of the FLSA
enforcement provision was found insufficient to abrogate in light of the
statute as a whole; the hesitancy of Congress to subject the States to the
FLSA led to doubt as to whether Congress intended to subject the States
to the enforcement powers of the federal courts. The ADEA as a whole, however,
offers no evidence of hesitancy on the part of Congress.12 In light of the
explicit statements that States fall within the Act's purview, Congress
was "unmistakably clear" in expressing its intent to abrogate
state sovereign immunity. Cf. Dellmuth, 491 U.S. at 233 (Scalia, J., concurring)
(pointing out that by clearly subjecting States to suit for monetary damages,
Congress could abrogate sovereign immunity "without explicit[ly] refer[ing]
to state sovereign immunity or the Eleventh Amendment.")
Finally, we note that we are equally unpersuaded by appellants' argument
that the cross-reference between the FLSA enforcement provisions and the
ADEA enforcement provisions creates ambiguity as to Congress's intent to
abrogate state sovereign immunity. See 29 U.S.C. § 626(b) (cross-referencing
§ 216).13 We have already found that Congress provided a "clear
legislative statement," Seminole, 517 U.S. at 55, of its intent to
abrogate. The cross-reference to the FLSA enforcement provision that states
that an action "may be maintained against any employer (including a
public agency) in any Federal or State court of competent jurisdiction,"
29 U.S.C. § 216(b) further supports that finding. See generally, Scott,
148 F.3d at 500. We believe that this cross-reference to § 216(b) makes
clear Congress's intent to subject the States to suit in federal court.
See, e.g., id. at 500 & n. 7; Hurd v. Pittsburgh State University, 109
F.3d 1540, 1544 n. 3 (10th Cir. 1997) ("[T]he enforcement provisions
which the ADEA now references specifically authorize ADEA suits in federal
court.").
B. Section 5 Authority
Appellants also argue that even if Congress intended to abrogate state sovereign
immunity, it did not have the power to do so because the ADEA was not enacted
pursuant to § 5 of the Fourteenth Amendment. Alternatively, appellants
contend that even if Congress enacted the ADEA pursuant to § 5, Congress
exceeded its § 5 authority as defined by the Supreme Court in City
of Boerne v. Flores, - U.S.-, 117 S. Ct. 2157, 138 L.Ed.2d 624 (1997).
Although this circuit has never ruled directly on this issue, in dictum
we have listed the ADEA as an example of a statute enacted pursuant to §
5 of the Fourteenth Amendment. Santiago v. New York State Dep't of Correctional
Servs., 945 F.2d 25, 31 (2d Cir. 1991). We agree with the overwhelming weight
of authority holding that the ADEA was adopted pursuant to § 5 of the
Fourteenth Amendment. See, e.g., Coger, 154 F.3d at 304-05 (6th Cir.); Scott,
148 F.3d at 500-03; Keeton, 150 F.3d at 1057-58 (9th Cir.); Goshtasby, 141
F.3d at 768 (7th Cir.); Hurd v. Pittsburgh State Univ., 109 F.3d 1540, 1544-46
(10th Cir. 1997); Blanciak, 77 F.3d at 695 (3rd Cir.); Ramirez, 715 F.2d
at 700 (1st Cir.).
Appellants make a number of arguments that require only brief response.
They point out that the ADEA does not contain any reference to § 5
of the Fourteenth Amendment in the body of the statute or in the legislative
history of the original act or the 1974 amendments. However, the failure
of Congress to use the words "section 5" or "Fourteenth Amendment"
or "equal protection" is not controlling. EEOC v. Wyoming, 460
U.S. 226, 243 n. 18, 103 S. Ct. 1054, 75 L.Ed.2d 18 (1983). As long as Congress
could have enacted the ADEA pursuant to § 5, Congress need not have
declared its source of power. Fullilove v. Klutznick, 448 U.S. 448, 476-78,
100 S. Ct. 2758, 65 L.Ed.2d 902 (1980); EEOC v. Elrod, 674 F.2d 601, 608-09
(7th Cir. 1982).
Appellants also argue that even if Congress intended to act pursuant to
§ 5 in enacting the 1974 amendments, it lacked the power to do so because
the statute involves neither a fundamental right nor a suspect classification.
We agree with those courts that have held that Congress has the power to
prohibit arbitrary age-based discrimination even though age is not a suspect
classification and no fundamental right is involved. See, e.g., Scott, 148
F.3d at 501; Goshtasby, 141 F.3d at 770 ("The fact that age is not
a suspect classification does not foreclose Congress from enforcing the
Equal Protection Clause through an enactment protecting against arbitrary
and invidious age discrimination.").
Finally, appellants argue that the ADEA is substantive, rather than remedial,
legislation and as such exceeds Congress's power to legislate according
to the standards articulated in City of Boerne. In order to qualify as remedial
legislation under those standards, "[t]here must be a congruence and
proportionality between the injury prevented or remedied and the means adopted
to that end." 117 S. Ct. at 2164. We agree with the majority of our
sister circuits that have considered this issue and hold that the ADEA is
sufficiently limited in scope to pass the City of Boerne test. See Migneault,
158 F.3d at 1136-39 (10th Cir.); Coger, 154 F.3d at 305-07 (6th Cir.); Scott,
148 F.3d at 501-03 (5th Cir.); Goshtasby, 141 F.3d at 771-72 (7th Cir.);
contra Humenansky, 152 F.3d at 827-28 (finding that scope of ADEA exceeds
congressional authority and citing Chief Justice Burger's dissent in EEOC
v. Wyoming, 460 U.S. at 262-63).
Conclusion
We have considered all of appellants' contentions and find them to be without
merit. The orders of the district courts are affirmed.
1 There is no merit to respondent University of Montevallo's contention
(Opp. 14) that the question of Congress's power under Section 5 of the Fourteenth
Amendment to extend the ADEA to the States and thereby abrogate their Eleventh
Amendment immunity is "only indirectly presented" by the government's
petition. See Pet. I, Question 2.
2 The Second Circuit's opinion is reproduced in an appendix to this brief.
3 Respondent University of Montevallo's contention (Opp. 20) that there
is no circuit conflict arising from cases presenting disparate impact claims
is both mistaken and irrelevant. It is mistaken because the Sixth Circuit's
decision in Coger v. Board of Regents, 154 F.3d 296 (1998), petition for
cert. pending, No. 98-821 (filed Nov. 16, 1998), which is one of the decisions
in conflict with the Eleventh Circuit's judgment in this case (see Pet.
9, 10), was based upon a record in which both disparate impact and disparate
treatment claims were raised. See Coger v. Board of Regents, No. 89-2374-GA,
1997 WL 910789, at *1 (W.D. Tenn. Jan. 2, 1997). And it is irrelevant because
the question of disparate treatment under the ADEA, which is also presented
by these cases (Pet. App. 64a, 72a), arises sufficiently often to warrant
this Court's review.
4 We mention Cooper first because we follow the order of the cases in the
caption.
5 Hereafter, the Federal Rules of Civil Procedure will be referred to as
Rule ___.
6 In addition, the November 1997 Memorandum Decision and Order dismissed
plaintiffs' state law claims. Dismissal of those claims is not before us.
7 While the briefs submitted by appellants differ slightly, we will refer
to appellants' arguments without identifying whether one or both States
took each position.
8 At that time, § 216(b) read as follows in relevant part:
Any employer who violates the provisions of section 206 or section 207 of
this title shall be liable to the employee or employees affected. . . .
Action to recover such liability may be maintained in any court of competent
jurisdiction by any one or more employees for and in behalf of himself or
themselves and other employees similarly situated. (emphasis supplied)
9 After amendment, the section provided in relevant part:
Any employer who violates the provisions of section 206 or section 207 of
this title shall be liable to the employee or employees affected. . . .
An action to recover the liability . . . may be maintained against any employer
(including a public agency) in any Federal or State court of competent jurisdiction
by any one or more employees for and in behalf of himself or themselves
and other employees similarly situated. (emphasis supplied)
In addition, "public agency" is defined in 29 U.S.C. § 203(x)
as including "the government of a State or political subdivision thereof
. . . a State, or a political subdivision of a State."
10 Section 626(c) provides, in relevant part:
Any person aggrieved may bring a civil action in any court of competent
jurisdiction for such legal or equitable relief as will effectuate the purposes
of this chapter.
11 In fact, the States admit that they are subject to the private enforcement
section of the ADEA and thus can be ordered by state courts to pay damages
to individuals. They dispute only whether a federal court has jurisdiction
to hear ADEA cases and award such damages.
12 In fact, the AARP as amici point out that Congress has named the States
as "employers" on five separate occasions (in amendments to the
ADEA in 1974, 1986, 1990, 1991 and 1996), expressing a clear intent to subject
the States to liability under the Act in a private suit in federal court.
13 Section 626(b) of the ADEA provides, in relevant part, as follows:
The provisions of this chapter [the ADEA] shall be enforced in accordance
with the powers, remedies, and procedures provided in section[ ] 216 . .
. of this title [29 U.S.C.]. . . .
Section 216(b) of the FLSA now provides, in relevant part, as follows:
Any employer who violates the provisions of section 206 or section 207 of
this title shall be liable to the employee or employees affected. . . .
An action to recover the liability . . . may be maintained against any employer
(including a public agency) in any Federal or State court of competent jurisdiction.
. . .