Document: 415 U.S. 651 94 S.Ct. 1347 39 L.Ed.2d 662 Joel EDELMAN, Director of Illinois Department Public Aid, etc., Petitioner,v.John JORDAN et al. No. 72—1410. Argued Dec. 12, 1973. Decided March 25, 1974. Rehearing Denied May 13, See 416 1000, 2414. Syllabus Respondent brought this class action for injunctive and declaratory relief against the officials administering federal-state programs Aid to Aged, Blind, Disabled (AABD), which are funded equally by State Federal Governments, contending that they were violating federal law denying equal protection laws following state regulations did not comply with time limits within participating States had process make grants respect AABD applications. The District Court a permanent injunction required compliance also ordered release remit benefits wrongfully withheld all persons found eligible who applied therefor between July 1, 1968, date regulations, April 16, 1971, court's preliminary injunction. Appeals affirmed, rejecting officials' contentions Eleventh Amendment barred award retroactive judgment inconsistency provisions could be given only prospective effect. Held: Constitution bars portion Court's decree payment benefits. Pp. 658—678. (a) A suit private parties seeking impose liability payable from public funds in treasury is foreclosed if does consent suit. 662—663. (b) erred holding Ex parte Young, 209 123, 28 441, 52 L.Ed. 714, awarded relief, preclude monetary here on ground it was an 'equitable restitution,' since award, though its face directed official individually, as practical matter satisfied general revenues indistinguishable damages State. Ford Motor Co. v. Treasury, 323 459, 65 347, 89 389, followed. Shapiro Thompson, 394 618, 1322, 22 600; Dept. Health Rehabilitation Services Zarate, 407 918, 92 2462, 32 803; Sterrett Mothers' & Children's Rights Organization, 409 809, 93 68, 34 70; Wyman Bowens, 397 49, 90 813, 25 38, disapproved extent their holdings do comport instant case issue. 663—771. (c) waive immunity bringing respondent's program. Parden Terminal R. Co., 377 184, 84 1207, 12 233, Petty Tennessee-Missouri Bridge Comm'n., 359 275, 79 785, 3 804, distinguished. Nor mere fact participates program partially Government manifest sued courts. 671—674. (d) properly considered defense, assert Court, defense partakes nature jurisdictional bar. supra. 677—678. 472 F.2d 985, 7 Cir., reversed remanded. Robert J. O'Rourke, Chicago, Ill., petitioner. Sheldon Roodman, respondents. Mr. Justice REHNQUIST delivered opinion Court. 1 John Jordan filed complaint United Northern Illinois, individually representative class, two former directors director Cook County comptroller County. alleged these or (AABD) manner inconsistent various Fourteenth Constitution.1 2 one categorical aid administered pursuant Code, Ill.Rev.Stat., c. 23, §§ 3—1 through 3—12 (1973). Under Social Security Act, Governments. 42 U.S.C. 1381—1385.2 Health, Education, Welfare (HEW), administers payments Government, issued prescribing maximum permissible standards Those originally required, at institution suit, eligibility determinations must made 30 days receipt applications aged blind, 45 disabled. For those eligible, assistance check received them applicable period. CFR § 206.10(a)(3).3 During period went into effect, own provided Categorical Assistance Manual Aid.4 Respondent's charged defendants, operating under improperly authorizing commence month application approved including prior months applicant entitled law. defendants processing requirements regulations; specifically, respondent his disability acted almost four months. Such actions violate deny laws. prayer requested specifically 'a enjoining entire plaintiffs withheld.' 4 In 15, 1972, declared 4004 invalid insofar 206.10(a)(3), granted requiring paying applicants. paragraph 5 judgment, 'release applicants 1968 (the regulations) 197(1) Court) determined . ..'5 On appeal Seventh Circuit, contended, inter alia, benefits, effect only, question Act itself. rejected affirmed Weaver, 985 (7 Cir. 1973).6 Because apparent conflict issue decision Second Circuit Rothstein Wyman, 467 226 (1972), cert. denied, 411 921, 1552, 36 315 (1973), we petition certiorari petitioner Edelman, present successor below. 412 937, 2776, 37 398 6 cetiorari raised same urged Appeals.7 believe disposition claim, reverse order paid officials.8 historical basis has been oft stated, represents more dramatic examples effort derive meaning document Nation Framers nearly 200 years ago. leading historian tells us: 8 'The right Judiciary summon defendant adjudicate rights liabilities subject deep apprehension active debate adoption Constitution; but existence any such disclaimed many most eminent advocates new largely owing successful dissipation fear power finally adopted.' C. Warren, Supreme History 91 (rev.ed.1973). 9 Despite disclaimers,9 very first entered February Term 1791 Maryland firm Dutch bankers creditors. Vanstophorst Maryland, see Dall. 401 supra, n. 1. subsequent year additional suits other States, caused considerable alarm consternation country. 10 squarely presented August 1792 citizens South Carolina, executors British creditor, Georgia. After year's postponement preparation part Georgia, after argument, rendered 1793, short-lived Chisholm 419. case, liable citizen another foreign country, literally shocked Nation. Sentiment passage constitutional amendment override rapidly gained momentum, five officially announced President Adams. Unchanged then, provides: 11 judicial shall construed extend equity, commenced prosecuted Citizens State, Subjects Foreign State.' While terms bar citizens, consistently held unconsenting immune courts her well Hans Louisiana, 134 504, 33 842 (1890); Duhne New Jersey, 251 311, 40 154, 64 280 (1920); Great Life Insurance Read, 322 47, 873, 88 1121 (1944); 233 (1964); Employees Welfare, 279, 1614, It established even named party action, may nonetheless Amendment. ,S.Ct. 389 (1945), said: 13 '(W)hen essence recovery money state, real, substantial interest invoke sovereign individual nominal defendants.' Id., 464, S.Ct., 350. 14 Thus rule evolved supra; Kennecott Copper Corp. Tax Comm'n, 327 573, 66 745, 862 (1946). 15 while recognizing line cases permitted raise nevertheless concluded statutory have withheld. above-cited cases, when read light landmark 714 (1908), grant equitable restitution. 16 Petitioner concedes no prospectively enjoined petitioner's predecessors failing regulations. argues, however, Young so far permit seeks accrued met absent waiver immunity, therefore improper. 17 watershed enjoin Attorney General Minnesota enforcing statute claimed Constitution. This Civil War Amendments serve sword, rather than merely shield, whom designed protect. But only; conform future conduct office requirement analogous review case. 18 position here, requires amount court should paid, not, stands quite different footing. These will obviously out pocket Edelman. Addressing himself similar situation (C.A.2 1972), Judge McGowan10 observed court: 19 'It pretended come personal resources appellants. Appellees expressly contemplate will, rather, involve expenditures state. 20 thing tell Commissioner he benefit administers. use reparation past. latter would appear us fall afoul basic provision conceived having force.' F.2d, 236—237 (footnotes omitted). 21 We agree McGowan's observations. satisfy inevitably thus resembles closely itself, Young. Appeals, upholding because form restitution' instead damages, capable being tailored way minimize disruptions assistance. judge actually might differently context important principle embodied Amendment.11 23 indicate officer, how practice resemble treasury, long labeled 'equitable' nature. hewed line. Its citation Hagood Southern, 117 52, 608, 29 805 (1886), re Ayers, 123 443, 164, 31 216 (1887), both officers specific performance contract party, demonstrate 24 As areas law, difference type instances day night. totally without State's revenues, penalties railroads provisions. Later authorized probably greater impact treasuries Graham Richardson, 403 365, 1848, 534 (1971), Arizona Pennsylvania welfare prohibited otherwise qualified recipients aliens. Goldberg Kelly, 254, 1011, 287 (1970), York City procedures termination hearing.12 fiscal consequences necessary result decrees officials, shape mandate decrees, likely spend left free pursue previous course conduct. ancillary often inevitable consequence challenges grounds goes much further cited. funds, substantive federal-question determination, compensation whose processed slower schedule court-imposed obligation standard. described aspects virtual certainty pockets action. measured loss resulting past breach legal duty officials. 26 Were uphold decree, obligated overrule There taxpayer, had, protest, taxes Indiana, sought refund Indiana collection. taxpayer tax imposed violation term seem money, over allegedly unconstitutional exaction. Yet hesitation taxpayer's reach conclusion 27 expressed view supported Employment 385 355, 87 414 (1966). sue Colorado unemployment protest American National Red Cross, instrumentality States. discussion claim confined sentence opinion: 'With appellants' contention consented forum where plaintiff Principality Monaco Mississippi, 292 313, 54 78 1282 (1934), (1908).' 358, 467. reaffirmed 329, 750. Chief Hughes' vigorous reaffirmation principles think unlikely citing Monaco, intended foreshadow departure adhere today. Three fairly recent judgments involved summarily notwithstanding appealing judgment.13 600 (1969), instance objection orally argued. three-judge retractive unlawfully residence violative protection. 270 F.Supp. 331, 338 (D.C.Conn.1967). affirming refer substantively treat argument. Nor, course, summary dispositions three contain issues parties. therefore, opportunity taken fully explore written opinion. Thompson affirmances precedential value support Equally obviously, treating merits. Since deal question, less constrained stare decisis law.14 Having now consider briefing disapprove our alternative deemed waived relied upon (1964), 804 (1959), dissenting Bright 452 820, 827 (C.A.8 1971). ultimately answer turns distinction Parden, Employees, Both congressional enactment designated included instrumentalities. Similarly, approval, Compact Clause, compact Tennessee Missouri, each compacting 'to contract, sue, name.' turn whether Congress abrogate participation abrogation immunity. threshold authorization includes wholly absent. precluded relying well.15 'constructively consented' agreeing administer Constructive doctrine commonly associated surrender rights, place here. deciding Amendment, find stated 'by express language overwhelming implications text (will) leave room reasonable construction.' Murray Wilson Distilling 213 151, 171, 458, 53 742 (1909). reason retreat statement U.S., 54, 877, (footnote omitted): 35 dealing exemption interference vital field financial administration clear declaration state's intention submit problems creation found.' provides operation system sufficient establish And has, I. Case Borak, 426, 1555, 423 effectuate purpose, never done defendant. implication decided adversely putative surely fail purported provide sanction distribution monies 1384 (now replaced substantially 804), allocations failed law.16 authorize anyone, standing alone, fell short Our Brother MARSHALL argues dissent, held, although itself create cause created 1983, coupled program, issuance HEW require corrective 'fair hearings' matching orders payments, respondent.17 is, true Rosado 397, 442 1983 proper secure States.18 heretofore suggested section officers, Though instituted respondent, remedial power, consistent necessarily limited include 38 urges barred19 raising apparently felt presented, dealt approve resolution, settled sufficiently need trial '(The Indiana) appealed defended argued time, however. declares policy sets forth explicit limitation compelling force arising Court.' 466—467, 352. foregoing reasons decide wrong constitute remanded proceedings 41 So ordered. Reversed 43 DOUGLAS, dissenting. 44 that: 'Every person who, color statute, ordinance, regulation, custom, usage, Territory, subjects, causes subjected, jurisdiction thereof deprivation privileges, immunities secured laws, injured proceeding redress.' 46 enforce 1381—1385, known (AABD program).1 alleges violations Equal Protection Clause Act. Hence haec verba, 'rights' 'secured laws' alleged. ruling occurred, sustained violated. main tendered Amendment.2 47 Once ruled claimant deprive pendent claim. Georgia Pub.Serv. 371 285, 287—288, 83 399, 317. 48 stockholders railroad imposition confiscatory rates interposed defense. saying authority 'who threaten about proceedings, either civil criminal nature, affected act, Constitution, equity action.' 156, 452. say name act 'comes superior stripped character subjected impart him responsibility supreme States.' 159—160, 454. 49 Protections seems governed concerned. thrust argument asks affect 50 Most decisions existing cooperative system, desiring participate, submits 'state plan' approval; once approves plan locked scheme until withdraws,3 King Smith, 392 309, 316, 2128, 2132, 1118 seq. coming beneficiaries claiming deprived rights. Smith children mother cohabitating man pass muster 'parent.' 442, state-federal reduce standard relevant material every increase increased meet lawful demand beneficiary, there levy founds. Whether weeks skipped precisely same. 51 payments. Rehabilitative 803, sole us4 That lower White voting note probable jurisdiction. 70, questions5 violated spite incursion Amendment.6 600, withheld;7 point, argument.8 Gaither Sterrett, 346 1095, 1099, affirmed,9 1070, 688, 660, '(T)his defendants' regarding correct, great number district void, void judgments.' view; opposed 226, harmony 55 What asked minor compared Griffin School Board, 218, 1226, 256. entry putting end segregated school system. 'the may, prevent racial discrimination, Supervisors exercise theirs adequate reopen, operate, maintain discrimination Prince Edward like operated counties Virginia.' 1234. protected State; reply cited Lincoln Luning, 133 529, 363, 766, 579, 748, 862, proposition 'actions county can maintained vindicate federally guaranteed rights.' 56 distinguished 'county' 'state' purposes constitutionally exercising denial avail. 57 Counties diversity citizenship. Bullard Cisco, 290 179, 177, 254; Moor Alameda, 693, 718—719, 1785, 1800, 596. 1251(a) gives original exclusive of: '(1) All controversies states. .' Milwaukee, 406 91, 98, 1385, 1390, 712. But, 1251(b)(3). Ibid. Yet, agencies carrying educational policies Griffin, 58 asserts offenses, expend treasury. unable entering injunctions compensatory awards remedy willful defaults obligations undertaken joined venture.10 59 said concerned, entertain speak 'jurisdiction'; withholds 'judicial power' ..' If power,' 'jurisdiction' prefers concept, exercised 'any equity' then overruled. none eager take step. Where join project, realistic conclude agreed assume legislation. nothing suggest treats distinction. common sense role play adjudication, complete effective joint 60 always unanimous concluding Alabama some injuries suffered interstate railroad, carrier Employers' Liability saying: 61 'Our simply Alabama, began approximately FELA, Act,' 192, 1213. added: 62 accord Nation's federalism. recognized leaves sphere exclusively enters activities subjects regulation corporation.' 196, 1215. 63 concluded, just '(left) own.' supports finding waiver, exhibited ordering Today's forbids court-ordered recognizes, necessitates overruling several decisions. background continued hardly ignorance possibility participate precedent viewed judgments. I affirm Appeals. BRENNAN, 67 circumstance, Rather, avail nonconstitutional ancient my dissent 298, 1625, (1973): surrendered Hamilton's words, 'in Convention,' formed Union, least enumerated powers. id., 319 7, 1635; (1964). Congressional enact part, 1381—1385 801—804 (1970 ed., Supp. II)), Art. I, 8, cl. powers remain 'because surrender, exists voluntary waiver,' 300, 1626, occasion inquire voluntarily precedents 68 69 MARSHALL, BLACKMUN joins, 70 Act's programs, (AADB) fundamentally Unlike Fair Labor Standards last Term's engage certain regulated activities, often-unwilling agencies. Instead, induce offering exchange assumption requirements. crucial: leads me whatever benefits.1 71 contacts years, frequently 'scheme federalism.' See, e.g., 2133, (1968); Jefferson Hackney, 535, 542, 1724, 1729, 285 (1972). phrase captures unique characteristics serves emphasize States' one. give up freedom operate needy fit, bind themselves explained 316—317, 2133 (citations 72 'States desire advantage available (or aged, blind disabled) AFDC AABD) approval Secretary (HEW). rules promulgated HEW.' 73 elected expended thereby 1382(a)(8) 'such furnished promptness individuals.' Townsend Swank, 404 282, 286, 502, 505, 448 strictly individuals,' exclude standards. decision, ante, 659—660 emphasizes 'reasonable promptness' detailed adding content it. 74 obligations. recognize, points out, failure cutoff funding HEW. Former II)). 75 clearly authorizes redress deprivations 'laws' already noncompliance 420—423, 1221—1223, Harlan, writing examined legislative history 'not slightest indication' prohibit 422, 1223. 76 full panoply traditional remedies suits. indication intent restrict courts' '(u)nless inescapable inference, restricts scope applied.' Porter Warner Holding 328 395, 398, 1086, 1089, 1332 'When entrusts enforcement prohibitions contained regulatory enactment, cognizant historic purposes.' Mitchell DeMario Jewelry, 361 288, 291—292, 80 332, 335, (1960). 77 particular, am firmly convinced restitution Benefits 'are entitlement receive them.' 262, 1017, (1970). Retroactive secures important, essential insure 400, 1090. No effectively deter strong temptation cut budgets circumventing stringent drastic sanction, proved unwilling employ compel strict 1225 (Douglas, J., concurring). Moreover, operates prospectively; deters flagrant discover Absent everything gain lose individuals. idle speculation experience. example, knowingly strength invalidity majority deems unworthy discussion. Ante, 8. Without retroactive-payment remedy, indeed faced spectre perhaps calculatingly, defying depriving thought giving 995 (CA7 1972). Like cannot possibly result. indicia gleaned confirm Availability implicit hearing' requirement, 1382(a)(4), challenge retroactively event fair hearing challenge, 205.10(a)(18), obvious intent. order, 205.10(b)(2), (b)(3). lightly disregard recognition agency Congress. Griggs Duke Power 424, 433—434, 849, 854 855, 158 (1971). chose eyes wide open. Drawn lure knowledge go recover denied. Any doubts score removed order. avoid that, virtue knowing quarrel inferred. essentially contractual agreement subjecting agreement. 81 Of nominally ordinarily (1908). open objections,2 objections agrees enforceable persuasive reliance 'congressional 672. true, irrelevant 'literally' successfully knocks down strawman set up, comes grips undeniable 1983. questioned grounds. 82 My emphasized concurring opinion, reasonably evidencing forum. '(T)he engaged hospitals schools 1966 amendments. To choice ceasing services 'consenting' suffices, believe, 296, 1624. reasoning 'governmental' 'proprietary' functions government. 284—285, 1617—1618. recognizes meaningful, reluctant hold acting capacity—i.e., performing functions. hand, launching profitmaking enterprise, own,' 1215, easily found. conducting function, capacity. subordinated sovereignty conditions expenditure funds. again 'leaves similarly readily 85 Indeed, lesson drawn Commission joining 'called interpret unilateral consensual agreement' Congress, 788, agreement, accepting attached.' 281—282, 790. Although sue-and-be-sued clause means certain, surrounding 280, 789, especially interpretation keep living performs high 788. 86 approach controlling recognized, 792 (Frankfurter, dissenting), undoubtedly insist condition 'complete truncated justice,' authorities, respectfully dissent. complying applications, refusal allow months, allowing claims situated, asserted 1331 1343(3) (4). briefed before Hagans Lavine, 528, 1372, 577 (1974), 'wholly insubstantial,' correct Effective January 1974, 801—805 II). Title 206.10(a)(3) (1973) pertinent part: '(a) '(3) promptly State-established excess '(i) (for blind) .; '(ii) disabled). informed agency's covers check, notification change medical assistance, mailed recipient. When disabled receipt. They occurred mailing period; Oct. 1973, became days. addition, 206.10(a)(6) (1972) '(6) Entitlement begin specified plan, (i) later '4004.1 'Except (disability) days, ineligible notice '8255. Initial Awards 'Initial grants, reinstatements, types resumptions. Form FO—550 signed except (under case). Grants 'A accepted previously unless meets (exceptions case).' Paragraph provided: 'That EDWARD T. WEAVER, Director, agents, Departments employees, concert them, hereby 1972 (sic) (should '1971'), follows: thirty application, beginning thirtieth applicant's effective; '(b)(i) December 31, 1970, forty-five forty-fifth 1971 sixty sixtieth effective. 'These currently receiving eight explanatory letter, letter plaintiffs' attorney. income Article III Code. 'For presently AABD: certified (return requested), attorney, sent address person, informing concise understandable withheld, contacting address, letter. '(b) actual forfeited file closed. Persons forfeit provision.' 'Within attorney method effectuating 5, Decree. disputes steps outlined WEAVER fulfill Decree resolved 19, author stayed paragraphs judgment. 1301, 15. (as punitive damages. upheld 997—999. Citing Chevron Oil Huson, 97, 349, 296 contends refusing only. Brief 37, incorporating arguments Pet. Cert. 18—22. too late.' 995. on, '(e)ven timely meritless.' Noting tests Huson determining retroactivity nonretroactively litigants (have decided) impression resolution foreshadowed .,' 106, test, 'federal aware mandatory standards.' 996. contention. Contents. disabled, must— '(8) individuals wishing so, HEW, 1302, 3, initiation periods. renews limitations unlawful abuse rule-making authority. 22—28. Specifically, 'establishment arbitrary (forty-five) maximums determination taking consideration efficient 23. contention, 'these requirements, binding appropriate promptness." debates Constitutional Convention disclose prevailing ratification writings Examples views assembled Hughes: '. Madison, Virginia Convention, answering purpose conferring Union suitably adjudication otherwise. Madison next states, ever arise; subject. conceive controversy decided, courts, consent, made.' Elliot's Debates, 533. 'Marshall, view. Replying admissibility Marshall 'He objects, place, Suppose, says he, cast; she bound decision? commonwealth Virginia, judiciary unjust? necessary; and, decide, acquiesce.' 557. 'Hamilton, Federalist, 81, emphatic immunity: inherent amenable consent. mankind; exemption, attributes sovereignty, enjoyed government Union. Unless, convention, danger intimated ideal. circumstances produce alienation discussed considering article taxation repeated recurrence pretend governments divested privilege debts way, constraint flows good faith. contracts nation conscience sovereign, pretensions compulsive force. confer independent will. what owe? How recoveries enforced? evident waging war contracting ascribe implication, destruction preexisting governments, altogether forced unwarrantable." 323—325, 749, (1934) Columbia sitting designation Circuit. DOUGLAS '(m)ost Post, 680—681. applies '(w)hether same.' 682. neglects definable allocation used pursues periods delays invariably mean continuing McGowan 235 (CA2 1972): second arguably furthered fundamental goal legislation—the satisfaction ascertained needs impoverished persons. ensure equitably met; prompt end. by, become remedial; coincidence becomes clear.' 256 import. seen Griffin's 766 (1890), occupy 596 executed commands able long-established generally 15—18. Decisions include: 803 aff'g 347 1004 (S.D.Fla.1971); unreported (ND Ind.1972) remand Carpenter 405 971, 1199, 246 (1972); Gaddis 304 717 (S.D.N.Y.1969) (order CCH Poverty Law Rep. 10,506 (1968—1971 Transfer Binder)), aff'd per curiam sub nom. words Brandeis: 'State usually wise policy, matters right. error serious concern, correction involving practically impossible, overruled earlier bows lessons experience better reasoning, error, fruitful physical sciences, function.' Burnet Coronado Gas 393, 406—408, 447, 815 (1932) (dissenting opinion) traditionally broad fashion upheld. places principal (1946), law; indicated 292, 335. neither official, purport availability bill 91st H.R. 16311, 407(a), denied House Representatives. Family Senate Committee Finance, Cong., 2d Sess., C169—170 (Comm. Print 1970). 205.10(b)(2) (3) provide: participation. items: '(2) Payments carry decisions, hearing, others directly accordance Federally aided order.' above 'effective review' restoration law.' 994—995 determinative presented. herein, 420, 1222, legislating 'closed avenue program.' concerned compatibility decreased amendments cost-of-living increases. resolve Harlan stated: 'New using according chooses, providing violates follows, York's incompatible 402(a)(23), petitioners schedules, develop conforming time. 'We lodged off closed (1968), implicitly plans curtail Alabama's 'substitute father' statute. advert problem, unarticulated premise choices assuming cost families substitute fathers pay requirements.' 420—421, 1222. 'tantamount conditioned forfeiture irrespective sought, (since) remains constant.' 42—43. language, 'afford revise or, choose (not program), restraining statute,' 421—422, indicates remedy. 17—20. regard based abolished common-law appears argue maintained. 31—36. permits relinquished Chandler Dix, 194 590, 591—592, 767, 1129 (1904). Aid. Government. 303, 304, 306, 1201—1204, 1206, 1351—1355, 1381—1385. Judicial speaking Brennan, 186, 1209, 233: 'Although federal-court 842; 280; Ins. 51, 875, 1121; Fitts McGhee, 172 516, 524, 269, 272, 535. 1282.' states provide. At brought, 1382(a) .. '(5) (A) methods individuals; '(13) standards, objectives subchapter, plan.' Nearly identical 802(a) Handbook, Administration, pt. IV, 2200(b)(3), 2300(b)(5); 206.10(a)(3). adopted 30-day (Ill. Categ. 4004.1) contrasted HEW's 60-day period, 2200, exposes merits controversy. D.C., 1004. following: 'Whether perform acts discretion agency.' 717. challenged statement. 331. 5. Part V explicitly below treasury—the procedure issue, unnecessary correctly officer rationale noted Thus, advanced amicus exist waived,

Category: 1