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88 Parden v. Terminal Railway, 377 U.S. 184, 190–92 (1964). See also Employees
of the Dep’t of Pub. Health and Welfare v. Department of Pub. Health and Welfare,
411 U.S. 279, 283, 284, 285–86 (1973).
89 Edelman v. Jordan, 415 U.S. 651, 672 (1974).
clear statement rule requiring that congressional intent to subject
States to suit must be clearly expressed. 86
In the 1989 case of Pennsylvania v. Union Gas Co., 87 the
Court—temporarily at least—ended years of uncertainty by holding
expressly that Congress acting pursuant to its Article I powers may
abrogate the Eleventh Amendment immunity of the states, so long
as it does so with sufficient clarity. Twenty five years earlier the
Court had stated that same principle, 88 but only as an alternative
holding, and a later case had set forth a more restrictive rule. 89
The premises of Union Gas were that by consenting to ratification
of the Constitution, with its Commerce Clause and other clauses
empowering Congress and limiting the states, the states had implicitly
authorized Congress to divest them of immunity, that the
Eleventh Amendment was a restraint upon the courts and not
similarly upon Congress, and that the exercises of Congress’ powers
under the Commerce Clause and other clauses would be incomplete
without the ability to authorize damage actions against the
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AMENDMENT 11—SUITS AGAINST STATES 1641
90 517 U.S. 44 (1996) (invalidating a provision of the Indian Gaming Regulatory
Act authorizing an Indian tribe to sue a State in federal court to compel performance
of a duty to negotiate in good faith toward the formation of a compact).
91 517 U.S. at 63.
92 134 U.S. 1 (1890).
93 517 U.S. at 64 (quoting Pennhurst State School & Hosp. v. Halderman, 465
U.S. 89, 97–98 (1984).
94 517 U.S. at 72-73. Justice Souter’s dissent undertook a lengthy refutation of
the majority’s analysis, asserting that the Eleventh Amendment is best understood,
in keeping with its express language, as barring only suits based on diversity of citizenship,
and as having no application to federal question litigation. Moreover, Justice
Souter contended, the state sovereign immunity that the Court mistakenly recognized
in Hans v. Louisiana was a common law concept that ‘‘had no constitutional
status and was subject to congressional abrogation.’’ 517 U.S. at 117. The Constitution
made no provision for wholesale adoption of the common law, but, on the contrary,
was premised on the view that common law rules would always be subject
to legislative alteration. This ‘‘imperative of legislative control grew directly out of
the Framers’ revolutionary idea of popular sovereignty.’’ Id. at 160.
95 College Savings Bank v. Florida Prepaid Postsecondary Educ. Expense Bd.,
527 U.S. 666 (1999) (the Trademark Remedy Clarification Act, an amendment to the
Lanham Act, did not validly abrogate state immunity); Florida Prepaid Postsecondary
Educ. Expense Bd. v. College Savings Bank, 527 U.S. 627 (1999) (amendment
to patent laws abrogating state immunity from infringement suits is invalid);
Kimel v. Florida Bd. of Regents, 528 U.S. 62 (2000) (abrogation of state immunity
in the Age Discrimination in Employment Act is invalid).
96 427 U.S. 445 (1976).
states to enforce congressional enactments. The dissenters denied
each of these strands of the argument, and, while recognizing the
Fourteenth Amendment abrogation power, would have held that
none existed under Article I.
Pennsylvania v. Union Gas lasted less than seven years before
the Court overruled it in Seminole Tribe of Florida v. Florida. 90
Chief Justice Rehnquist, writing for a 5–4 majority, concluded that
there is ‘‘no principled distinction in favor of the States to be drawn
between the Indian Commerce Clause [at issue in Seminole
Tribe] and the Interstate Commerce Clause [relied upon in Union
Gas].’’ 91 In the majority’s view, Union Gas had deviated from a line
of cases tracing back to Hans v. Louisiana 92 that viewed the Eleventh
Amendment as implementing the ‘‘fundamental principle of
sovereign immunity [that] limits the grant of judicial authority in
Article III.’’ 93 Because ‘‘the Eleventh Amendment restricts the judicial
power under Article III, . . . Article I cannot be used to circumvent
the constitutional limitations placed upon federal jurisdiction.’’
94 Subsequent cases have confirmed this interpretation. 95
Section 5 of the Fourteenth Amendment, of course, is another
matter. Fitzpatrick v. Bitzer, 96 ‘‘based upon a rationale wholly inapplicable
to the Interstate Commerce Clause, viz., that the Fourteenth
Amendment, adopted well after the adoption of the Eleventh
Amendment and the ratification of the Constitution, operated to
alter the pre-existing balance between state and federal power
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1642 AMENDMENT 11—SUITS AGAINST STATES
97 517 U.S. at 65-66.
98 Atascadero State Hosp. v. Scanlon, 473 U.S. 234, 242 (1985) (emphasis supplied).
99 See, particularly, Dellmuth v. Muth, 491 U.S. 223, 230 (1989) (‘‘legislative history
generally will be irrelevant’’), and Hoffman v. Connecticut Dep’t of Income
Maintenance, 492 U.S. 96, 103-04 (1989).
100 Justice Kennedy for the Court in Dellmuth, 491 U.S. at 231, expressly noted
that the statute before the Court did not demonstrate abrogation with unmistakably
clarity because, inter alia, it ‘‘makes no reference whatsoever to either the Eleventh
Amendment or the States’ sovereign immunity.’’ Justice Scalia, one of four concurring
Justices, expressed an ‘‘understanding’’ that the Court’s reasoning would allow
for clearly expressed abrogation of immunity ‘‘without explicit reference to state sovereign
immunity or the Eleventh Amendment.’’ Id. at 233.
101 Atascadero State Hosp. v. Scanlon, 473 U.S. 234, 246 (1985). And see
Dellmuth v. Muth, 491 U.S. 223 (1989).
102 Following Atascadero, in 1986 Congress provided that States were not to be
immune under the Eleventh Amendment from suits under several laws barring discrimination
by recipients of federal financial assistance. Pub. L. No. 99-506, § 1003,
100 Stat. 1845 (1986), 42 U.S.C. § 2000d-7. Following Dellmuth, Congress amended
the statute to insert the explicit language. Pub. L. No. 101-476, § 103, 104 Stat.
1106 (1990), 20 U.S.C. § 1403. See also the Copyright Remedy Clarification Act,
Pub. L. No. 101-553, § 2, 104 Stat. 2749 (1990), 17 U.S.C. § 511 (making States and
state officials liable in damages for copyright violations).
103 Kimel v. Florida Board of Regents, 528 U.S. 62, 74-78 (2000). In Kimel, statutory
language authorized age discrimination suits ‘‘against any employer (including
a public agency),’’ and a ‘‘public agency’’ was defined to include ‘‘the government of
a State or political subdivision thereof.’’ The Court found this language to be suffiachieved
by Article III and the Eleventh Amendment,’’ remains
good law. 97
At the same time as these developments, however, a different
majority secured a victory in circumscribing the manner in which
Congress could express its decision to abrogate state immunity.
Henceforth, and even with respect to statutes that were enacted
prior to promulgation of the judicial rule of construction, ‘‘Congress
may abrogate the States’ constitutionally secured immunity from
suit in federal court only by making its intention unmistakably
clear in the language of the statute’’ itself. 98 This means that no
legislative history will suffice at all. 99 Indeed, at one time a plurality
of the Court was of the apparent view that only if Congress
refers specifically to state sovereign immunity and the Eleventh
Amendment will its language be unmistakably clear. 100 Thus, the
Court held in Atascadero that general language subjecting to suit
in federal court ‘‘any recipient of Federal assistance’’ under the Rehabilitation
Act was deemed insufficient to satisfy this test, not because
of any question about whether States are ‘‘recipients’’ within
the meaning of the provision but because ‘‘given their constitutional
role, the States are not like any other class of recipients of
federal aid.’’ 101 As a result of these rulings, Congress began to utilize
the ‘‘magic words’’ the Court appeared to insist on. 102 More recently,
however, the Court has accepted less precise language. 103
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AMENDMENT 11—SUITS AGAINST STATES 1643
ciently clear evidence of intent to abrogate state sovereign immunity. The relevant
portion of the opinion was written by Justice O’Connor, and joined by Chief Justice
Rehnquist and Justices Stevens, Scalia, Souter, Ginsberg, Breyer and Stevens. But
see Raygor v. Regents of the University of Minnesota, 122 S. Ct. 999 (2002) (federal
supplemental jurisdiction statute which tolls limitations period for state claims during
pendency of federal case not applicable to claim dismissed on the basis of 11th
Amendment immunity) .
104 Will v. Michigan Dep’t of State Police, 491 U.S. 58 (1989).
105 Hilton v. South Carolina Pub. Rys. Comm’n, 502 U.S. 197, 206 (1991) (interest
in ‘‘symmetry’’ is outweighed by stare decisis, the FELA action being controlled
by Parden v. Terminal Ry.
106 See, e.g., Larson v. Domestic and Foreign Corp., 337 U.S. 682 (1949), where
the majority and dissenting opinions utilize both federal and Eleventh Amendment
cases in a suit against a federal official. See also Tindal v. Wesley, 167 U.S. 204,
213 (1897), applying to the States the federal rule of United States v. Lee, 106 U.S.
196 (1882).
107 C. WRIGHT, THE LAW OF FEDERAL COURTS § 48 (4th ed. 1983).
108 209 U.S. 123 (1908).
Although acknowledging that the Eleventh Amendment was
not an issue because the § 1983 suit had been pursued in state
court, nonetheless the Court applied its strict rule of construction,
requiring ‘‘unmistakable clarity’’ by Congress in order to subject
States to suit, in holding that States and state officials sued in
their official capacity could not be made defendants in § 1983 actions
in state courts. 104 While the Court is willing to recognize exceptions
to the clear statement rule when the issue involves subjection
of states to suit in state courts, the Court will normally opt
for ‘‘symmetry’’ that treats the states’ liability or immunity the
same in both state and federal courts. 105
Suits Against State Officials
Mitigation of the wrongs possible when the State is immune
from suit has been achieved under the doctrine that sovereign immunity,
either of the States or of the Federal Government, does not
ordinarily prevent a suit against an official to restrain him from
commission of a wrong, even though the government is thereby restrained.
106 The doctrine is built upon a double fiction: that for
purposes of the sovereign’s immunity, a suit against the official is
not a suit against the government, but for the purpose of finding
state action to which the Constitution applies, the official’s conduct
is that of the State. 107 The doctrine preceded but is most
noteworthily associated with the decision in Ex parte Young, 108 a
case truly deserving the overworked adjective, seminal.
Young arose when a state legislature passed a law reducing
railroad rates and providing severe penalties for any railroad that
failed to comply with the law. Plaintiff railroad stockholders
brought an action to enjoin Young, the state attorney general, from
enforcing the law, alleging that it was unconstitutional and that
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1644 AMENDMENT 11—SUITS AGAINST STATES
109 In fact, the statute was eventually held to be constitutional. Minnesota Rate
Cases (Simpson v. Shepard), 230 U.S. 352 (1913).
110 Osborn v. Bank of the United States, 22 U.S. (9 Wheat.) 738 (1824).
111 Governor of Georgia v. Madrazo, 26 U.S. (1 Pet.) 110 (1828).
112 Davis v. Gray, 83 U.S. (16 Wall.) 203 (1872); Board of Liquidation v.
McComb, 92 U.S. 531 (1875); Allen v. Baltimore & Ohio R.R., 114 U.S. 311 (1885);
Rolston v. Missouri Fund Comm’rs, 120 U.S. 390 (1887); Pennoyer v. McConnaughy,
140 U.S. 1 (1891); Reagan v. Farmers’ Loan & Trust Co., 154 U.S. 362 (1894);
Smyth v. Ames, 169 U.S. 466 (1898); Scranton v. Wheeler, 179 U.S. 141 (1900).
113 United States v. Lee, 106 U.S. 196 (1882). See ‘‘Suits Against United States
Officials’’ under Article III. The Court sustained the suit against the federal officers
by only a 5-to-4 vote, the dissent presenting the arguments that were soon to inform
Eleventh Amendment cases.
they would suffer irreparable harm if he were not prevented from
acting. An injunction was granted forbidding Young from acting on
the law, an injunction he violated by bringing an action in state
court against noncomplying railroads; for this action he was adjudged
in contempt. If the Supreme Court had held that the injunction
was not impermissible, because the suit was one against the
State, there would have been no practicable way for the railroads
to attack the statute without placing themselves in great danger.
They could have disobeyed it and alleged its unconstitutionality in
the enforcement proceedings, but if they were wrong about the
statute’s validity the penalties would have been devastating. 109 In
the modern context, the effectuation of federal constitutional rights
against state action often depends upon the imposition of affirmative
obligations through injunctions, and this relief would be impossible
if such an injunction were in effect a suit against a State.
In deciding Young, the Court was confronted with inconsistent
lines of cases, including numerous precedents for permitting suits
against state officers. Chief Justice Marshall had begun the process
in Osborn by holding that suit was barred only when the State was
formally named a party, 110 although he was presently required to
modify that decision and preclude suit when an official, the governor
of a State, was sued in his official capacity. 111 Relying on
Osborn and reading Madrazo narrowly, the Court, seeming to treat
the barrier to suit as common-law sovereign immunity, held in a
series of cases that an official of a State could be sued to prevent
him from executing a state law in conflict with the Constitution or
a law of the United States, and the fact that the officer may be acting
on behalf of the State or in response to a statutory obligation
of the State does not make the suit one against the State. 112 Soon,
however, the Court began developing a more expansive concept of
the Eleventh Amendment and sovereign immunity, beginning with
the first case in which the sovereign immunity of the United States
was claimed and rejected 113 and the Hans v. Louisiana decision
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AMENDMENT 11—SUITS AGAINST STATES 1645
114 134 U.S. 1 (1890).
115 See Gibbons, The Eleventh Amendment and State Sovereign Immunity: A Reinterpretation,
83 COLUM. L. REV. 1889, 1968–2003 (1983); Orth, The Interpretation
of the Eleventh Amendment, 1798–1908: A Case Study of Judicial Power, 1983 U.
ILL. L. REV. 423.
116 107 U.S. 711 (1882).
117 ‘‘The relief asked will require the officers against whom the process is issued
to act contrary to the positive orders of the supreme political power of the State,
whose creatures they are, and to which they are ultimately responsible in law for
what they do. They must use the public money in the treasury and under their official
control in one way, when the supreme power has directed them to use it in another,
and they must raise more money by taxation when the same power has declared
that it shall not be done.’’ 107 U.S. at 721. See also Christian v. Atlantic &
N.C. R.R., 133 U.S. 233 (1890).
118 123 U.S. 443 (1887).
119 123 U.S. at 500-01, 502.
120 Ayers was a suit by plaintiffs seeking to enjoin state officials from bringing
suit under an allegedly unconstitutional statute purporting to overturn a contract
between the State and the bondholders to receive the bond coupons for tax payments.
The Court asserted that the State’s contracts impliedly contained the State’s
immunity from suit, so that express withdrawal of a supposed consent to be sued
was not a violation of the contract; but, in any event, inasmuch as any violation of
the assumed contract was an act of the State, to which the officials were not parties,
their actions as individuals in bringing suit did not breach the contract. 123 U.S.
at 503, 505-06. The rationale had been asserted by a four-Justice concurrence in
Antoni v. Greenhow, 107 U.S. 769, 783 (1882). See also Cunningham v. Macon &
Brunswick R.R., 109 U.S. 446 (1883); Hagood v. Southern, 117 U.S. 52 (1886); North
reading broadly the effect of the adoption of the Eleventh Amendment.
114
The two leading cases, as were many cases of this period, were
suits attempting to prevent Southern States from defaulting on
bonds. 115 In Louisiana v. Jumel, 116 a Louisiana citizen sought to
compel the state treasurer to apply a sinking fund that had been
created under the earlier constitution for the payment of the bonds
after a subsequent constitution had abolished this provision for retiring
the bonds. The proceeding was held to be a suit against the
State. 117 Then, In re Ayers 118 purported to supply a rationale for
the cases permitting the issuance of mandamus or injunctive relief
against state officers in a way that would have severely curtailed
federal judicial power. Suit against a state officer was not barred
when his action, aside from any official authority claimed as its
justification, was a wrong simply as an individual act, such as a
trespass, but if the act of the officer did not constitute an individual
wrong and was something that only a State, through its officers,
could do, the suit was in actuality a suit against the State and
was barred. 119 That is, the unconstitutional nature of the state
statute under which the officer acted stripped him of the State’s
shield against suit, but it did not itself constitute a private cause
of action. For that, one must be able to point to an independent violation
of a common law right. 120
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1646 AMENDMENT 11—SUITS AGAINST STATES
Carolina v. Temple, 134 U.S. 22 (1890); In re Tyler, 149 U.S. 164 (1893); Baltzer
v. North Carolina, 161 U.S. 240 (1896); Fitts v. McGhee, 172 U.S. 516 (1899); Smith
v. Reeves, 178 U.S. 436 (1900).
121 Ayers ‘‘would seem to be decisive of the Young litigation.’’ C. WRIGHT, THE
LAW OF FEDERAL COURTS § 48 at 288 (4th ed. 1983). The Young Court purported
to distinguish and to preserve Ayers but on grounds that either were irrelevant to
Ayers or that had been rejected in the earlier case. Ex parte Young, 209 U.S. 123,
151, 167 (1908). Similarly, in a later case, the Court continued to distinguish
Ayers but on grounds that did not in fact distinguish it from the case before the
Court, in which it permitted a suit against a state revenue commissioner to enjoin
him from collecting allegedly unconstitutional taxes. Georgia R.R. & Banking Co. v.
Redwine, 342 U.S. 299 (1952).
122 Ex parte Young, 209 U.S. 123, 159–60 (1908). The opinion did not address
the issue of how an officer ‘‘stripped of his official . . . character’’ could violate the
Constitution, inasmuch as the Constitution restricts only ‘‘state action,’’ but the double
fiction has been expounded numerous times since. Thus, for example, it is well
settled that an action unauthorized by state law is state action for purposes of the
Fourteenth Amendment. Home Tel. & Tel. Co. v. City of Los Angeles, 227 U.S. 278
(1913). The contrary premise of Barney v. City of New York, 193 U.S. 430 (1904),
though eviscerated by Home Tel. & Tel. was not expressly disavowed until United
States v. Raines, 362 U.S. 17, 25–26 (1960).
123 Ex parte Young, 209 U.S. 123, 173–74 (1908). In the process of limiting application
of Young, a Court majority has recently referred to ‘‘the Young fiction.’’
Idaho v. Coeur d’Alene Tribe, 521 U.S. 261, 281 (1997).
124 E.g., Ray v. Atlantic Richfield Co., 435 U.S. 151, 156 n.6 (1978) (rejecting request
of state officials being sued to restrain enforcement of state statute as preempted
by federal law that Young be overruled); Florida Dep’t of State v. Treasure
Salvors, 458 U.S. 670, 685 (1982).
Although Ayers was in all relevant points on all fours with
Young, 121 the Young Court held that the injunction had properly
issued against the state attorney general, even though the State
was in effect restrained as well. ‘‘The act to be enforced is alleged
to be unconstitutional, and, if it be so, the use of the name of the
state to enforce an unconstitutional act to the injury of the complainants
is a proceeding without the authority of, and one which
does not affect, the state in its sovereign or governmental capacity.
It is simply an illegal act upon the part of a state official, in attempting
by the use of the name of the state to enforce a legislative
enactment which is void, because unconstitutional. If the act which
the state Attorney General seeks to enforce be a violation of the
federal Constitution, the officer in proceeding under such enactment
comes into conflict with the superior authority of that Constitution,
and he is in that case stripped of his official or representative
character and is subject in his person to the consequences of
his individual conduct.’’ 122 Justice Harlan was the only dissenter,
arguing that in law and fact the suit was one only against the
State and that the suit against the individual was a mere ‘‘fiction.’’
123
The ‘‘fiction’’ remains a mainstay of our jurisprudence. 124 It accounts
for a great deal of the litigation brought by individuals to
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AMENDMENT 11—SUITS AGAINST STATES 1647
125 See, e.g., Home Tel. & Tel. Co. v. City of Los Angeles, 227 U.S. 278 (1913);
Truax v. Raich, 239 U.S. 33 (1915); Cavanaugh v. Looney, 248 U.S. 453 (1919); Terrace
v. Thompson, 263 U.S. 197 (1923); Hygrade Provision Co. v. Sherman, 266 U.S.
497 (1925); Massachusetts State Grange v. Benton, 272 U.S. 525 (1926); Hawks v.
Hamill, 288 U.S. 52 (1933). See also Graham v. Richardson, 403 U.S. 365 (1971) (enjoining
state welfare officials from denying welfare benefits to otherwise qualified
recipients because they were aliens); Goldberg v. Kelly, 397 U.S. 254 (1970) (enjoining
city welfare officials from following state procedures for termination of benefits);
Milliken v. Bradley, 433 U.S. 267 (1977) (imposing half the costs of mandated compensatory
education programs upon State through order directed to governor and
other officials). On injunctions against governors, see Continental Baking Co. v.
Woodring, 286 U.S. 352 (1932); Sterling v. Constantin, 287 U.S. 378 (1932). Applicable
to suits under this doctrine are principles of judicial restraint, constitutional,
statutory, and prudential, discussed under Article III.
126 E.g., Edelman v. Jordan, 415 U.S. 651, 664–68 (1974); Ray v. Atlantic Richfield
Co., 435 U.S. 151 (1978).
127 E.g., Milliken v. Bradley, 433 U.S. 267 (1977); Edelman v. Jordan, 415 U.S.
651, 664–68 (1974); Quern v. Jordan, 440 U.S. 332, 346–49 (1979).
128 E.g., Pennoyer v. McConnaughy, 140 U.S. 1 (1891); Scully v. Bird, 209 U.S.
481 (1908); Atchison, T. & S. F. Ry. v. O’Connor, 223 U.S. 280 (1912); Greene v.
Louisville & Interurban R.R., 244 U.S. 499 (1977); Louisville & Nashville R.R. v.
Greene, 244 U.S. 522 (1917). Property held by state officials on behalf of the State
under claimed state authority may be recovered in suits against the officials, although
the court may not conclusively resolve the State’s claims against it in such
a suit. South Carolina v. Wesley, 155 U.S. 542 (1895); Tindal v. Wesley, 167 U.S.
204 (1897); Hopkins v. Clemson College, 221 U.S. 636 (1911). See also Florida Dep’t
of State v. Treasure Salvors, 458 U.S. 670 (1982), in which the eight Justices agreeing
the Eleventh Amendment applied divided 4-to-4 over the proper interpretation.
129 E.g., Rolston v. Missouri Fund Comm’rs, 120 U.S. 390 (1887); Atchison, T.
& S. F. Ry. v. O’Connor, 223 U.S. 280 (1912); Johnson v. Lankford, 245 U.S. 541,
545 (1918); Lankford v. Platte Iron Works Co., 235 U.S. 461, 471 (1915); Davis v.
Wallace, 257 U.S. 478, 482–85 (1922); Glenn v. Field Packing Co., 290 U.S. 177, 178
(1933); Lee v. Bickell, 292 U.S. 415, 425 (1934).
130 Typically, the plaintiff would be in federal court under diversity jurisdiction,
cf. Martin v. Lankford, 245 U.S. 547, 551 (1918), perhaps under admiralty jurisdiction,
Florida Dep’t of State v. Treasure Salvors, 458 U.S. 670 (1982), or under federal
question jurisdiction. Verizon Md. Inc. v. Public Serv. Comm’n of Md., 122 S.
Ct. 1753 (2002). In the last instance, federal courts are obligated first to consider
challenge the carrying out of state policies. Thus, suits against
state officers alleging that they are acting pursuant to an unconstitutional
statute are the standard device by which to test the validity
of state legislation in federal courts prior to enforcement and
thus interpretation in the state courts. 125 Similarly, suits to restrain
state officials from taking certain actions in contravention of
federal statutes 126 or to compel the undertaking of affirmative obligations
imposed by the Constitution or federal laws 127 are common.
For years, moreover, the accepted rule was that suits prosecuted
against state officers in federal courts upon grounds that they are
acting in excess of state statutory authority 128 or that they are not
doing something required by state law 129 are not precluded by the
Eleventh Amendment or its emanations of sovereign immunity,
provided only that there are grounds to obtain federal jurisdiction.
130
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