Académique Documents
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Syllabus 440 U. S.
3 Because this was a class action qualifying under Fed. Rule Civ. Proc.
23 (b) (2), the class members had never received notice of the complaint,
the original lower court judgment, this Court's decision or its effect on
them. See Eisen v. Carlisle & Jacquelin,417 U. S. 156, 177 n. 14 (1974);
Fed. Rule Civ. Proc. 23 (e). Under Rule 23 (d) (2), however, a court may
require appropriate notice "for the protection of the members of the class
or otherwise for the fair conduct of the action."
Prior to ordering notice, the District Court requested the parties to
submit information with respect to the number of persons in the plaintiff
class, the cost of notifying them, the amounts involved, and other issues
affecting the equities of sending notice. Respondent filed his response to
the court's request but the state officials submitted no response. Respond-
ent indicated that there were approximately 20,000 to 33,500 members in
the plaintiff class. App. 34a. The cost of identifying class members was
stated to be simply the cost of running the department's computer for a
period necessary to cull out the names of the plaintiff class members.
Respondent claimed that there would be no additional cost of notifying
class members because the notice could be included in one of the regular
mailings to the members of the plaintiff class. Petitioner has not disputed
respondent's allegations either below or before this Court.
4 A panel of the Seventh Circuit originally had reversed the District
Court's order requiring notice on the ground that the Eleventh Amend-
OCTOBER TERM, 1978
court reversed the District Court's order for this reason, but
stated that on remand the District Court could order the state
officials to send a "mere explanatory notice to applicants
advising them that there is a state administrative procedure
available if they desire to have the state determine whether
or not they may be eligible for past benefits. A simple re-
turnable notice of appeal form could also be provided." Ibid.
In the court's view, such a notice would not violate the dis-
tinction set forth in Edelman between prospective relief,
which is permitted by the Eleventh Amendment, and retro-
spective relief, which is not:
"The form of notice we envisage would not create a
'liability' against the state. Whether a liability might
result would be a matter for state determination, not the
federal court. No federal judgment against the state
would be created. Such a notice could not be labeled
equitable restitution or be considered an award of damages
against the state. The defendant makes no issue out of
any incidental administrative expense connected with the
preparation or mailing of the notice. It has suggested in
the record that the notice could be included in the regular
monthly mailing. The necessary information comes from
a computer. There is no indication that the administra-
tive expense would be substantial." 563 F. 2d, at 876.
Under the contemplated modified notice procedure, the court
stated, members of the plaintiff class would be given no more
than "they would have gathered by sitting in the courtroom
or by reading and listening to news accounts had the case
attracted any attention." Id., at 877-878.' Three judges dis-
aff'd, 400 U. S. 922 (1970), in which the District Court had ordered
Indiana public assistance officials to send to plaintiff class members a
notice similar to the one at issue here. As the Court of Appeals recog-
nized, the list of summary affirmances overruled in Edelman was not
necessarily intended to be exhaustive. See Jordan v. Trainor, 563 F. 2d,
at 876. However, we prefer to rest our affirmance of the judgment of the
Court of Appeals in this case on our conclusion that it is consistent with
Edelman.
6 As we stated in Edelman:
"[T]hat portion of the District Court's decree which petitioner challenges
on Eleventh Amendment grounds goes much further than [Ex parte
OCTOBER TERM, 1978
Young and the cases that had followed it]. It requires payment of state
funds, not as a necessary consequence of compliance in the future with a
substantive federal-question determination, but as a form of compensation
to those whose applications were processed on the slower time schedule at
a time when petitioner was under no court-imposed obligation to conform
to a different standard. . . . It will to a virtual certainty be paid from
state funds, and not from the pockets of the individual state officials who
were the defendants in the action. It is measured in terms of a monetary
loss resulting from a past breach of a legal duty on the part of the
defendant state officials." 415 U. S., at 668.
QUERN v. JORDAN
' MR. JUSTICE BRENNAN'S opinion concurring in the judgment states that
"Edelman v. Jordan, supra, had held that § 1983 did not override state
immunity, for the reason, as the Court later stated in Fitzpatrick, that
'[t]he Civil Rights Act of 1871, 42 U. S. C. § 1983, had been held in
Monroe v. Pape, 365 U. S. 167, 187-191 (1961), to exclude cities and other
municipal corporations from its ambit; that being the case, it could not
have been intended to include States as parties defendant.'" Post, at 351.
Since Monell overruled Monroe's holding that cities and other municipal
corporations are not "persons" within the meaning of § 1983, MR. JUSTICE
BRENNAN'S opinion argues that the "premise" of Edelman has been
"undercut." Post, at 351. The fallacy of this line of reasoning was aptly
demonstrated last Term by MR. JUSTICE POWELL in his concurring opinion
in Hutto, where he stated: "The language in question from Fitzpatrick
was not essential to the Court's holding in that case. Moreover, this posi-
tion ignores the fact that Edelman rests squarely on the Eleventh Amend-
ment immunity, without adverting in terms to the treatment of the legis-
lative history in Monroe v. Pape . . . ." 437 U. S., at 708-709, n. 6.
In fact, Monroe v. Pape is not even cited in Edelmcn.
8 In Hutto v. Finney there were three separate opinions in addition to
that of the Court. Two opinions expressed the view that the Court had
misapplied the rule laid down in Edelman. 437 U. S., at 704 (POWELL,
J., concurring and dissenting); id., at 710 (REHNQUIST, J., dissenting).
MR. JUSTICE BRENNAN, though joining the opinion of the Court, wrote
separately to suggest that the Coui t's opinions in Monell and Fitzpatrick
v. Bitzer had rendered "the essential premise of our Edelman holding ...
no longer true." 437 U. S., at 703. The Court itself in Hutto, however,
recognized and applied Edelman's distinction between retrospective and
prospective relief.
OCTOBER TERM, 1978
slaves were delivered into the possession of the Governor of Georgia. The
slaves were sold and the proceeds were placed in the state treasury.
Madrazo filed a libel in the Federal District Court, naming the Governor
of Georgia, among others, as a defendant. Restitution was ordered by the
lower courts, but this Court reversed because although the demand for
relief nominally was against the Governor of the State, it was clear that
the action in fact sought relief directly from the state treasury, relief that
was forbidden by the Eleventh Amendment.
"The claim upon the governor, is as a governor; he is sued, not by his
name, but by his title. The demand made upon him, is not made person-
ally, but officially.
"The decree is pronounced not against the person, but the officer, and
appeared to have been pronounced against the successor of the original
defendant; as the appeal bond was executed by a different governor from
him who filed the information. In such a case, where the chief magistrate
of a state is sued, not by his name, but by his style of office, and the
claim made upon him is entirely in his official character, we think the
state itself may be considered as a party on the record. If the state is not
a party, there is no party against whom a decree can be made. No
person in his natural capacity is brought before the Court as defendant.
This not being a proceeding against the thing, but against the person, a
person capable of appearing as a defendant, against whom a decree can be
pronounced, must be a party to the cause before a decree can be regularly
pronounced." Id., at 123-124 (emphasis added).
To similar effect see Kentucky v. Dennison, 24 How., at 97-98, which
reaffirmed these principles of Madrazo and which, as the Court in Monell
emphasized, was "well known to Members of Congress" at the time of the
passage of the 1871 Act. 436 U. S., at 679. To the extent that Davis v.
Gray, 16 Wall. 203 (1873), which did no more than affirm an injunctive
decree against a state official, is inconsistent with the rule applied in Edel-
man, it suffices to say that it was repudiated long before the latter decision.
In Ford Motor Co. v. Department of Treasury, 323 U. S.459 (1945), the
Court stated:
"[W]hen the action is in essence one for the recovery of money 'from the
state, the state is the real, substantial party in interest and is entitled to
invoke its sovereign immunity from suit even though individual officials are
nominal defendants." Id., at 464.
QUERN v. JORDAN
our conclusion that the notice relief awarded here is permissible under the
Eleventh Amendment.
1 In Edelman v. Jordan, 415 U. S., at 687-688, I stated:
"This suit is brought by Illinois citizens against Illinois officials. In that
circumstance, Illinois may not invoke the Eleventh Amendment, since that
Amendment bars only federal court suits against States by citizens of other
States. Rather, the question is whether Illinois may avail itself of the non-
constitutional but ancient doctrine of sovereign immunity as a bar to respond-
ent's claim for retroactive AABD payments. In my view Illinois may not
assert sovereign immunity for the reason I expressed in dissent in Em-
ployees v. Missouri Public Health Dept., 411 U. S. 279, 298 (1973): the
States surrendered that immunity in Hamilton's words, 'in the plan of the
Convention,' that formed the Union, at least insofar as the States granted
Congress specifically enumerated powers. See id., at 319 n. 7; Parden v.
Terminal R. Co., 377 U. S.184 (1964). Congressional authority to enact
the Social Security Act, of which AABD is a part, former 42 U. S. C.
§§ 1381-1385 (now replaced by similar provisions in 42 U. S. C. §§ 801-804
OCTOBER TERM, 1978
I
It is deeply disturbing, however, that the Court should
engage in today's gratuitous departure from customary judi-
cial practice and reach out to decide an issue unnecessary to
its holding. The Court today correctly rules that the explan-
atory notice approved by the Court of Appeals below is
"properly viewed as ancillary to . . . prospective relief."
Ante, at 349. This is sufficient to sustain the Court's holding
that such notice is not barred by the Eleventh Amendment.
But the Court goes on to conclude, in what is patently dicta,
that a State is not a "person" for purposes of 42 U. S. C.
§ 1983, Rev. Stat. § 1979.2
This conclusion is significant because, only three Terms ago,
Fitzpatrick v. Bitzer, 427 U. S.445 (1976), held that "Con-
gress may, in determining what is 'appropriate legislation' for
the purpose of enforcing the provisions of the Fourteenth
Amendment, provide for private suits against States or state
officials which are constitutionally impermissible in other
contexts." Id., at 456. If a State were a "person" for pur-
poses of § 1983, therefore, its immunity under the Eleventh
"Every person who, under color of any statute, ordinance, regulation, cus-
tom, or usage, of any State or Territory, subjects, or causes to be subjected,
any citizen of the United States or other person within the jurisdiction
thereof to the deprivation of any rights, privileges, or immunities secured
by the Constitution and laws, shall be liable to the party injured in an
action at law, suit in equity, or other proper proceeding for redress."
QUERN v. JORDAN
Aldridge v. Turlington, Civ. Act. No. TCA-78-830 (ND Fla., Nov. 17,
1978).
OCTOBER TERM, 1978
phrases it, whether the Members of this Court were then aware
of Monell, ante, at 340 n. 9, but rather whether they had be-
fore them briefs and arguments detailing the implications of
Monell for the question of whether a State is a "person" for
purposes of § 1983, it is not anomalous that the Court's
opinion in Pugh failed to address or consider this issue.
The Court's reliance on Pugh is particularly significant
because the question whether a State is a "person" for pur-
poses of § 1983 is neither briefed nor argued by the parties in
the instant case. Indeed, petitioner states flatly that "the
en bane decision of the Seventh Circuit does not rest upon a
conclusion that the term 'person' for purposes of § 1983 in-
cludes sovereign states, as opposed to state officials, within its
ambit. That issue is not the issue before this Court on Peti-
tioner's Writ for Certiorari." Reply Brief for Petitioner 14.
Respondent concurs, stating that "it is unnecessary in this
case to confront directly the far-reaching question of whether
Congress intended in § 1983 to provide for relief directly
against States, as it did against municipalities." Brief for
Respondent 55 n. 37.
Thus, the Court today decides a question of major signifi-
cance without ever having had the assistance of a considered
presentation of the issue, either in briefs or in arguments.
The result is pure judicial fiat.
II
This fiat is particularly disturbing because it is most likely
incorrect. Section 1983 was originally enacted as § 1 of the
Civil Rights Act of 1871. The Act was enacted for the
purpose of enforcing the provisions of the Fourteenth Amend-
ment.? That Amendment exemplifies the "vast transforma-
tion" worked on the structure of federalism in this Nation by
the Civil War. Mitchum v. Foster,407 U. S. 225, 242 (1972).
court's order." Brief in Opposition in Alabama v. Pugh, 0. T. 1977, No.
77-1107, pp. 9-10.
9See n. 3, supra.
QUERN v. JORDAN
February 25, 1871, less than two months before the enactment
of the Civil Rights Act, Congress provided that "in all acts
hereafter passed . . . the word 'person' may extend and be
applied to bodies politic and corporate . . . unless the context
shows that such words were intended to be used in a more
limited sense." 11 § 2, 16 Stat. 431. Monell, held that
"[s]ince there is nothing in the 'context' of the Civil Rights
Act calling for a restricted interpretation of the word 'person,'
the language of that section should prima facie be construed
to include 'bodies politic' among the entities that could be
sued." 436 U. S., at 689-690, n. 53. Even the Court's opin-
ion today does not dispute the fact that in 1871 the phrase
"bodies politic and corporate" would certainly have referred
to the States. 2 See Heim v. McCall, 239 U. S. 175, 188
(1915); McPherson v. Blacker, 146 U. S. 1, 24 (1892); Poin-
678 (1978), for not requiring an "express statutory waiver of the State's
immunity," ante, at 344 n. 16, before applying to the States the Civil
Rights Attorney's Fees Award Act of 1976, 42 U. S. C. § 1988, was that the
Act had been "enacted to enforce the Fourteenth Amendment." 437 U. S.,
at 698 n. 31.
15 It was common ground, at least after the Fourteenth Amendment,
that Congress could "dea[l] with States and with citizens." Globe 777
(Sen. Frelinghuysen). See id., at 793 (Rep. Poland). Representative
Willard of Vermont, for example, who voted for H. R. 320, opposed the
Sherman amendment, which would have held a municipal corporation
liable for damages to its inhabitants by private persons "'riotously and
tumultuously assembled,' " Monell, supra, at 664, on the grounds that the
Fourteenth Amendment imposed liability directly on the States and not
on such municipal corporations:
"I hold that this duty of protection, if it rests anywhere, rests on the State,
and that if there is to be any liability visited upon anybody for a failure to
perform that duty, such liability should be brought home to the State.
Hence, in my judgment, this section would be liable to very much less
objection, both in regard to its justice and its constitutionality, if it pro-
vided that if in any State the offenses named in this section were com-
mitted, suit might be brought against the State, judgment obtained, and
payment of the judgment might be enforced upon the treasury of the
State." Globe 791.
See id., at 756-757 (Sen. Edmunds).
There was general agreement, however, that just as Congress could not
impose affirmative obligations on municipalities, Monell, supra, at 681
n. 40, so it could not "command a State officer to do any duty whatever,
as such." Globe 795 (Rep. Blair). See id., at 799 (Rep. Farnsworth);
Collector v. Day, 11 Wall. 113 (1871); Kentucky v. Dennison, 24 How.
66 (1861); Prigg v. Pennsylvania, 16 Pet. 539 (1842). Contrary to the
suggestion of the Court, ante, at 341 n. 14, however, the Prigg-Dennison-
Day line of cases, which stands for the principle that "the Federal Gov-
QUERN v. JORDAN
the record. Making a State officer a party does not make the State a
party, although her law may have prompted his action, and the State may
stand behind him as the real party in interest. A State can be made a
party only by shaping the bill expressly with that view, as where individ-
uals or corporations are intended to be put in that relation to the case."
Id., at 220.
For the legislators of the 42d Congress, therefore, an action under § 1983
directed at state officers, regardless of the effect of the suit on the State
itself, would preserve the Eleventh Amendment immunity of States, so
long as States themselves were not named parties. To the extent subse-
quent decisions of this Court have introduced an Eleventh Amendment bar
to such suits when "the action is in essence one for the recovery of money
from the state," Ford Motor Co. v. Department of Treasury, 323 U. S.
459, 464 (1945), this bar would be eliminated by the congressional enact-
ment of § 1983. Since in the instant case neither the State of Illinois nor
the office of the Governor of Illinois are parties "on the record," even a
limited reading of the reach of § 1983 should therefore hold the Eleventh
Amendment inapplicable.
OCTOBER TERM, 1978
"As the States have the power to violate them and not
individuals, we must presume that the legislation pro-
vided for is against the States in their corporate and
legislative capacity or character and those acting under
their laws, and not against the individuals, as such, of the
OCTOBER TERM, 1978
III
The plain words of § 1983, its legislative history and his-
torical context, all evidence that Congress intended States to
be embraced within its remedial cause of action. The Court
today pronounces its conclusion in dicta by avoiding such
evidence. It chooses to hear, in the eloquent and pointed
legislative history of § 1983, only "silence." Such silence is
in fact deafening to those who have ears to listen. But with-
out reason to reach the question, without briefs, without argu-
ment, relying on a precedent that was equally ill-informed
and in any event not controlling, the Court resolutely opines
that a State is not a "person" for purposes of § 1983. The
42d Congress, of course, can no longer pronounce its meaning
with unavoidable clarity. Fitzpatrick, however, cedes to the
OCTOBER TERM, 1978