Burnette v. Carothers
192 F.3d 52 (1999)
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Rule of Law:
The Eleventh Amendment grants states sovereign immunity from suits brought by private citizens in federal court under federal environmental statutes, as Congress did not validly abrogate this immunity when enacting these laws under its Article I Commerce Clause power.
Facts:
- Marie G. Burnette and Ralph G. Burnette, Jr. are homeowners residing in the Rye Hill section of Somers, Connecticut.
- A state prison, the Connecticut Correctional Institute (CCI), operated by the Connecticut Department of Corrections, is located near their home.
- Hazardous substances emanated from CCI, polluting the Burnettes' on-site water wells.
- The Burnettes incurred costs in responding to the contamination caused by the release of hazardous substances from the state-operated facility.
Procedural Posture:
- Marie G. Burnette and Ralph G. Burnette, Jr. filed an action against various Connecticut state officers in their official capacities in the U.S. District Court.
- The complaint sought injunctive and monetary relief under the CWA, RCRA, and CERCLA.
- The defendant state officers moved to dismiss the suit for lack of subject matter jurisdiction, arguing it was barred by the Eleventh Amendment.
- The state officers also moved for summary judgment on the CERCLA claim for response costs on the same sovereign immunity grounds.
- The district court dismissed all claims and granted summary judgment for the defendants, holding the state was immune from suit under the Eleventh Amendment.
- The Burnettes (appellants) appealed the district court's decision to the U.S. Court of Appeals for the Second Circuit.
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Issue:
Does the Eleventh Amendment's doctrine of sovereign immunity bar private citizens from suing a state in federal court for monetary and injunctive relief under the citizen suit provisions of the Clean Water Act (CWA) and Resource Conservation and Recovery Act (RCRA), or for recovery of response costs under the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA)?
Opinions:
Majority - Winter, Chief Judge
Yes, the Eleventh Amendment bars the suit. State sovereign immunity prevents unconsenting states from being sued in federal court by their own citizens. Congress may only abrogate this immunity if it (1) unequivocally expresses its intent to do so and (2) acts pursuant to a valid exercise of power, which the Supreme Court in Seminole Tribe v. Florida limited to Section 5 of the Fourteenth Amendment. The citizen suit provisions of the CWA, RCRA, and CERCLA are expressly limited by the Eleventh Amendment, showing Congress did not intend to abrogate immunity. While CERCLA's cost recovery provision does show an intent to abrogate immunity, it was enacted under the Commerce Clause (an Article I power), which is an insufficient constitutional basis to override state sovereign immunity after Seminole Tribe. Furthermore, Connecticut did not waive its immunity, as constructive waiver is no longer a valid doctrine and the mere acceptance of federal funds does not constitute consent to be sued.
Analysis:
This decision reinforces the significant hurdle that the Eleventh Amendment, as interpreted by Seminole Tribe v. Florida, poses for the private enforcement of federal environmental laws against states. It clarifies that citizen suit provisions that explicitly reference the Eleventh Amendment are read as preserving, not abrogating, state immunity. The case solidifies the post-Seminole rule that Congress's Article I powers, such as the Commerce Clause, are insufficient to abrogate state sovereign immunity, effectively limiting private cost-recovery actions against states under CERCLA. This ruling channels environmental disputes against states away from federal courts, potentially leaving citizens with limited avenues for relief unless the state consents to suit or Congress acts under its Fourteenth Amendment authority.
