The nature of judicial review - The Eleventh Amendment and state sovereign immunity

Learning Outcomes

After reading this article, you will be able to explain the Eleventh Amendment’s restriction on federal court suits against states, identify the scope and exceptions to state sovereign immunity, and apply the rules for when Congress can abrogate immunity. You will also be able to distinguish between suits barred and not barred by the Eleventh Amendment, and recognize how these principles are tested on the MBE.

MBE Syllabus

For MBE, you are required to understand the constitutional limits on federal judicial power over states and the doctrine of state sovereign immunity. This includes:

  • The text and scope of the Eleventh Amendment.
  • The types of suits barred by state sovereign immunity in federal court.
  • The exceptions to Eleventh Amendment immunity.
  • The distinction between suits against states, state officials, and local governments.
  • Congress’s power to abrogate state immunity under the Fourteenth Amendment.

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

  1. Which of the following is generally barred by the Eleventh Amendment?
    1. A private citizen’s suit for damages against a state in federal court.
    2. A suit by the United States against a state in federal court.
    3. A suit by a private citizen against a city in federal court.
    4. A suit by one state against another state in the Supreme Court.
  2. Congress may abrogate state sovereign immunity:
    1. By using its Article I commerce power.
    2. By using its Fourteenth Amendment enforcement power.
    3. By passing any statute it deems necessary.
    4. Only with the state’s consent.
  3. Which of the following is NOT an exception to Eleventh Amendment immunity?
    1. Suits for prospective injunctive relief against state officials.
    2. Suits by the federal government against a state.
    3. Suits for damages against a state by a private citizen in federal court under the commerce clause.
    4. Suits against local governments for damages in federal court.

Introduction

The Eleventh Amendment and the doctrine of state sovereign immunity set important limits on the power of federal courts to hear cases against states. These rules are frequently tested on the MBE and are essential for understanding the boundaries of federal judicial authority and the ways in which individuals can (and cannot) bring claims against states.

The Eleventh Amendment: Text and Purpose

The Eleventh Amendment provides that federal courts may not hear suits by private individuals against a state brought by citizens of another state or by foreign citizens. However, the Supreme Court has interpreted the Amendment to also bar suits by a state’s own citizens. The core idea is that states are generally immune from private suits for damages or retroactive relief in federal court.

Key Term: Eleventh Amendment The constitutional provision that bars most suits by private parties against states in federal court, reflecting the principle of state sovereign immunity.

What Types of Suits Are Barred?

The Eleventh Amendment prohibits federal courts from hearing suits for damages or retroactive relief against a state by private individuals, whether those individuals are citizens of that state or another state. This immunity applies to state agencies and instrumentalities that are considered “arms of the state.”

Key Term: State Sovereign Immunity The doctrine that states cannot be sued by private parties in federal court for damages or retroactive relief without their consent.

Who Is Not Protected?

The Eleventh Amendment does not bar:

  • Suits against local governments (cities, counties, school districts).
  • Suits against state officials for prospective injunctive relief (e.g., to stop ongoing violations of federal law).
  • Suits by the United States or another state against a state.
  • Suits for damages against state officials in their personal capacity (if the damages are not paid from the state treasury).

Key Term: Ex parte Young Doctrine The rule that allows federal courts to grant prospective injunctive relief against state officials to stop ongoing violations of federal law, despite state immunity.

Exceptions to State Immunity

There are several important exceptions to Eleventh Amendment immunity:

  • State Consent: A state may waive its immunity and consent to be sued in federal court, but the waiver must be explicit.
  • Congressional Abrogation: Congress may abrogate state immunity when acting under its enforcement powers of the Fourteenth Amendment, but not under Article I powers (such as the commerce clause).
  • Federal Government Suits: The United States may sue a state in federal court.
  • Suits Against State Officials: Federal courts may order state officials to comply with federal law (prospective relief), but not to pay retroactive damages from the state treasury.

Congress’s Power to Abrogate Immunity

Congress can override state sovereign immunity only when:

  • It acts pursuant to a valid grant of power under Section 5 of the Fourteenth Amendment.
  • The statute clearly expresses Congress’s intent to abrogate immunity.
  • The law is congruent and proportional to remedying actual constitutional violations by the states.

Congress cannot abrogate state immunity using its Article I powers, such as the commerce clause or spending power.

Suits Not Barred by the Eleventh Amendment

  • Suits against local governments for damages in federal court.
  • Suits by the United States or another state against a state.
  • Suits for prospective injunctive relief against state officials (not for damages from the state treasury).

Worked Example 1.1

A private citizen sues State X in federal court, seeking money damages for an alleged violation of federal law. State X moves to dismiss on Eleventh Amendment grounds. Should the court grant the motion?

Answer: Yes. The Eleventh Amendment bars suits by private individuals for damages against a state in federal court unless the state consents or Congress validly abrogates immunity under the Fourteenth Amendment. Here, there is no indication of consent or valid abrogation, so the suit is barred.

Worked Example 1.2

Congress passes a law under the commerce clause allowing private individuals to sue states for damages in federal court for violations of the statute. A plaintiff sues State Y under this law. State Y moves to dismiss, arguing sovereign immunity. What result?

Answer: The court should grant the motion. Congress cannot abrogate state immunity using its Article I powers, including the commerce clause. Only Fourteenth Amendment enforcement power can be used to override state immunity.

Worked Example 1.3

A state employee sues the state in federal court for back pay, alleging a violation of the Equal Protection Clause. The state moves to dismiss. The employee argues that Congress authorized such suits under a federal statute passed to enforce the Fourteenth Amendment. What must the court consider?

Answer: The court must determine whether Congress clearly expressed its intent to abrogate immunity and whether the statute is a valid exercise of Fourteenth Amendment enforcement power. If so, the suit may proceed; otherwise, it is barred.

Exam Warning

The Eleventh Amendment does not protect state officials from being sued for prospective injunctive relief to stop ongoing violations of federal law. However, claims for damages paid from the state treasury remain barred.

Revision Tip

Always distinguish between suits against a state (barred), suits against state officials for prospective relief (allowed), and suits against local governments (not barred).

Key Point Checklist

This article has covered the following key knowledge points:

  • The Eleventh Amendment bars most suits by private parties against states in federal court for damages or retroactive relief.
  • State sovereign immunity extends to state agencies and instrumentalities but not to local governments.
  • Exceptions include state consent, congressional abrogation under the Fourteenth Amendment, and suits by the United States or other states.
  • Congress cannot abrogate state immunity using Article I powers; only Fourteenth Amendment enforcement power applies.
  • Suits for prospective injunctive relief against state officials (Ex parte Young) are not barred.
  • Suits against local governments are not protected by the Eleventh Amendment.

Key Terms and Concepts

  • Eleventh Amendment
  • State Sovereign Immunity
  • Ex parte Young Doctrine
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