The Evolution and Expansion of Eleventh Amendment Immunity: Legal Implications for Public Institutions of Higher Education Krista Michele Mooney
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Florida State University Libraries Electronic Theses, Treatises and Dissertations The Graduate School 2005 The Evolution and Expansion of Eleventh Amendment Immunity: Legal Implications for Public Institutions of Higher Education Krista Michele Mooney Follow this and additional works at the FSU Digital Library. For more information, please contact [email protected] THE FLORIDA STATE UNIVERSITY COLLEGE OF EDUCATION THE EVOLUTION AND EXPANSION OF ELEVENTH AMENDMENT IMMUNITY: LEGAL IMPLICATIONS FOR PUBLIC INSTITUTIONS OF HIGHER EDUCATION By KRISTA MICHELE MOONEY A Dissertation submitted to the Department of Educational Leadership and Policy Studies in partial fulfillment of the requirements for the degree of Doctor of Philosophy Semester Approved Fall Semester, 2005 Copyright © 2005 Krista Michele Mooney All Rights Reserved The members of the committee approved the dissertation of Krista Michele Mooney defended on October 7, 2005. ______________________________ Joseph C. Beckham Professor Directing Dissertation ______________________________ Michael J. Mondello Outside Committee Member ______________________________ Dale W. Lick Committee Member ______________________________ Robert A. Schwartz Committee Member Approved: ____________________________________________________________________________ Joseph C. Beckham, Interim Chair, Department of Educational Leadership and Policy Studies The Office of Graduate Studies has verified and approved the above named committee members. ii For my mother and father: my sounding boards, my cheerleaders, my best friends. Without their unconditional love, boundless support, and relentless encouragement, fulfillment of this personal goal (like so many others) would not have been possible. iii ACKNOWLEDGEMENTS Throughout this endeavor, I have been extremely fortunate to be surrounded by an unbelievably gifted group of professors, classmates, and colleagues. It is with much delight that I recognize that these hardworking relationships have also evolved into very real friendships, and it is with much sincerity that I extend long overdue gratitude to those individuals for their valuable backing and collaboration during my tenure as a doctoral student at The Florida State University. Admittedly, with an undercurrent of “where do I even begin” in my doing so, I thank and acknowledge the most remarkable mentor and major professor that any graduate student could hope for, Dr. Joseph Beckham. His confidence in my abilities and enthusiasm for my research served as motivation to persevere, even when the obstacles seemed insurmountable. Without his legal expertise, persistent support, and unparalleled patience, this dream certainly would not have become reality. I would also like to take this opportunity to acknowledge and thank the remaining members of my committee, Dr. Dale Lick, Dr. Michael Mondello, and Dr. Robert Schwartz. Their enthusiastic guidance, critical thinking ability, and keen eye for detail have made invaluable contributions to this effort. The appreciation and respect I have, for all of the members of my dissertation committee, is immeasurable. Sincere thanks are also due to my close, personal friends who stood by me while I fought to reach this goal. Their ability to champion this effort, even as it severely curtailed our quality time together, is just one of the countless qualities that make them so special to me. Further, I would be remiss not to thank all of my cronies in the Board of Governors’ Office, who have not only put up with me during this time, but also provided much-needed encouragement too many times to mention. Finally, and most importantly, I would like to thank my family. My father, Dr. Dennis Mooney and my mother, Mrs. Mary Mooney, have provided a foundation, unlike any other, from iv which to reach up and grab this star. They have instilled in me this insatiable drive to succeed, and continue to serve as personal and intellectual inspiration as I explore my long list of life goals. My love and admiration for them is infinite, and I credit them, completely, with bestowing upon me all the tools necessary to tackle the road ahead, wherever it may lead. v TABLE OF CONTENTS List of Tables ...................................................................................................... viii Abstract ...................................................................................................... ix 1. INTRODUCTION .......................................................................................... 1 Purpose of the Research.............................................................................. 3 Significance of the Research....................................................................... 4 Scope and Limitations................................................................................. 5 2. REVIEW OF RELATED LITERATURE...................................................... 6 Eleventh Amendment Generally................................................................. 7 Arm of the State Doctrine........................................................................... 17 The Courts and Higher Education............................................................... 20 Eleventh Amendment Immunity as Applied to Public Institutions of Higher Education................................................ 21 3. METHODOLOGY AND PROCEDURES..................................................... 23 Conceptual Framework............................................................................... 24 Method of Analysis..................................................................................... 29 4. ELEVENTH AMENDMENT IMMUNITY: CASE LAW ANALYSIS........ 34 Historic Origins and Foundations ............................................................... 35 The Jay Court Era (1789-1795) ........................................................... 37 The Ellsworth Court Era (1796-1800) .................................................. 37 The Marshall Court Era (1801-1835) ................................................... 41 The Taney Court Era (1836-1864)........................................................ 46 The Chase Court Era (1864-1873)........................................................ 49 The Waite Court Era (1874-1888) ........................................................ 51 vi Transitional Evolution ................................................................................ 59 The Fuller Court Era (1888-1910) ........................................................ 59 The White Court Era (1910-1921)........................................................ 78 The Hughes Court Era (1930-1941) ..................................................... 83 The Stone Court Era (1941-1946)......................................................... 89 The Vinson Court Era (1946-1953) ...................................................... 93 The Warren Court Era (1953-1969)...................................................... 95 Contemporary Federalism and State Sovereignty....................................... 100 The Burger Court Era (1969-1986)....................................................... 100 The Rehnquist Court Era (1986-2005) ................................................. 129 5. ELEVENTH AMENDMENT IMMUNITY: ARM OF THE STATE ANALYSIS .............................................................................................. 173 Arm of the State Analysis Generally .......................................................... 174 Arm of the State Analysis Specific to Higher Education Case Law........... 179 6. SUMMARY AND CONCLUSIONS ............................................................. 184 Summary of Methodology and Procedures................................................. 184 Conclusions ................................................................................................ 188 Recommendations for Further Study.......................................................... 196 APPENDIX A ...................................................................................................... 198 BIBLIOGRAPHY ............................................................................................... 212 BIOGRAPHICAL SKETCH ............................................................................... 225 vii LIST OF TABLES Table 1: Range of Factors Utilized in Arm of the State Analyses...................... 221 Table 2: Arm of the State Tests in the U.S. Circuit Courts of Appeals .............. 223 viii ABSTRACT The purpose of this study was to explore the evolution of Eleventh Amendment immunity and the resulting implications for public institutions of higher education. Despite the relatively simple language of the Amendment, its interpretation has not been clear, consistent, or textual. This area of law has enormous implications for entities and individuals within education, as each contraction or expansion of the scope of the immunity defense has a direct impact on public higher education. In most cases, state universities are considered “arms of the state,” which affords them an extension of the state’s immunity protection. The study explored the importance of this tenuous relationship. This study served to enhance understanding and advance knowledge in this constantly evolving area of federal jurisprudence, through an investigation of the evolution of Eleventh Amendment jurisprudence and the arm of the state doctrine. The primary basis for conducting this research was an historical-legal approach and reasoning