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- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- Nos. 90-1341 and 90-1517
- --------
- UNITED STATES DEPARTMENT OF ENERGY,
- PETITIONERS
- 90-1341 v.
- OHIO et al.
-
- OHIO, et al., PETITIONERS
- 90-1517 v.
- UNITED STATES DEPARTMENT OF ENERGY
- on writs of certiorari to the united states court of
- appeals for the sixth circuit
- [April 21, 1992]
-
- Justice Souter delivered the opinion of the Court.
- The question in this case is whether Congress has waived
- the National Government's sovereign immunity from lia-
- bility for civil fines imposed by a State for past violations of
- the Clean Water Act (CWA), 86 Stat. 816, as amended, 33
- U. S. C. 1251, et seq., or the Resource Conservation and
- Recovery Act of 1976 (RCRA), 90 Stat. 2796, as amended,
- 42 U. S. C. 6901 et seq. We hold it has not done so in
- either instance.
- I
- The CWA prohibits the discharge of pollutants into
- navigable waters without a permit. Section 402, codified at
- 33 U. S. C. 1342, gives primary authority to issue such
- permits to the United States Environmental Protection
- Agency (EPA), but allows EPA to authorize a State to
- supplant the federal permit program with one of its own, if
- the state scheme would include, among other features, suffi-
-
- ciently stringent regulatory standards and adequate
- provisions for penalties to enforce them. See generally 33
- U. S. C. 1342(b) (requirements and procedures for EPA
- approval of state water-pollution permit plans); see also 40
- CFR 123.1-123.64 (1991) (detailed requirements for state
- plans). RCRA regulates the disposal of hazardous waste in
- much the same way, with a permit program run by EPA
- but subject to displacement by an adequate state counter-
- part. See generally 42 U. S. C. 6926 (requirements and
- procedures for EPA approval of state hazardous-waste
- disposal permit plans); see also 40 CFR 271.1-271.138
- (1991) (detailed requirements for state plans).
- This case began in 1986 when respondent State of Ohio
- sued petitioner Department of Energy (DOE) in Federal
- District Court for violations of state and federal pollution
- laws, including the CWA and RCRA, in operating its
- uranium-processing plant in Fernald, Ohio. Ohio sought,
- among other forms of relief, both state and federal civil
- penalties for past violations of the CWA and RCRA and of
- state laws enacted to supplant those federal statutes. See,
- e.g., Complaint -64 (seeking penalties for violations of state
- law and of regulations issued pursuant to RCRA); id., -115
- (seeking penalties for violations of state law and of CWA).
- Before the district court ruled on DOE's motion for dismiss-
- al, the parties proposed a consent decree to settle all but
- one substantive claim, and Ohio withdrew all outstanding
- claims for relief except its request for civil penalties for
- DOE's alleged past violations. See Consent Decree Between
- DOE and Ohio, App. 63. By a contemporaneous stipulation,
- DOE and Ohio agreed on the amount of civil penalties DOE
- will owe if it is found liable for them, see Stipulation
- Between DOE and Ohio, id., at 87. The parties thus left for
- determination under the motion to dismiss only the issue
- we consider today: whether Congress has waived the
- National Government's sovereign immunity from liability
- for civil fines imposed for past failure to comply with the
- CWA, RCRA, or state law supplanting the federal regula-
- tion.
- DOE admits that the CWA and RCRA obligate a federal
- polluter, like any other, to obtain permits from EPA or the
- state permitting agency, see Brief for Petitioner 24 (discuss-
- ing CWA); id., at 34-40 (discussing RCRA). DOE also
- concedes that the CWA and RCRA render federal agencies
- liable for fines imposed to induce them to comply with
- injunctions or other judicial orders designed to modify
- behavior prospectively, which we will speak of hereafter as
- ``coercive fines.'' See id., at 19-20, and n. 10; see also n. 14,
- infra. The parties disagree only on whether the CWA and
- RCRA, in either their ``federal-facilities'' or ``citizen-suit''
- sections, waive federal sovereign immunity from liability for
- fines, which we will refer to as ``punitive,'' imposed to
- punish past violations of those statutes or state laws
- supplanting them.
- The United States District Court for the Southern
- District of Ohio held that both statutes waived federal
- sovereign immunity from punitive fines, by both their
- federal-facilities and citizen-suit sections. 689 F. Supp. 760
- (1988). A divided panel of the United States Court of
- Appeals for the Sixth Circuit affirmed in part, holding that
- Congress had waived immunity from punitive fines in the
- CWA's federal-facilities section and RCRA's citizen-suit
- section, but not in RCRA's federal-facilities section. 904 F.
- 2d 1058 (1990). Judge Guy dissented, concluding that
- neither the CWA's federal-facilities section nor RCRA's
- citizen-suit section sufficed to provide the waiver at issue.
- Id., at 1065-1069.
- In No. 90-1341, DOE petitioned for review insofar as the
- Sixth Circuit found any waiver of immunity from punitive
- fines, while in No. 90-1517 Ohio cross-petitioned on the
- holding that RCRA's federal-facilities section failed to effect
- such a waiver. We consolidated the two petitions and
- granted certiorari, 500 U. S. ___ (1991).
- II
- We start with a common rule, with which we presume
- congressional familiarity, see McNary v. Haitian Refugee
- Center, 498 U. S. ___, ___ (1991), that any waiver of the
- National Government's sovereign immunity must be
- unequivocal, see United States v. Mitchell, 445 U. S. 535,
- 538-539 (1980). ``Waivers of immunity must be `construed
- strictly in favor of the sovereign,' McMahon v. United
- States, 342 U. S. 25, 27 (1951), and not `enlarge[d] . . .
- beyond what the language requires.' Eastern Transporta-
- tion Co. v. United States, 272 U. S. 675, 686 (1927).''
- Ruckelshaus v. Sierra Club, 463 U. S. 680, 685-686 (1983).
- By these lights we examine first the two statutes' citizen-
- suit sections, which can be treated together because their
- relevant provisions are similar, then the CWA's federal-
- facilities section, and, finally, the corresponding section of
- RCRA.
- A
-
- So far as it concerns us, the CWA's citizen-suit section
- reads that
-
- ``any citizen may commence a civil action on his own
- behalf -
- (1) against any person (including . . . the United States
- . . .) who is alleged to be in violation of (A) an effluent
- standard or limitation under this chapter or (B) an order
- issued by the Administrator or a State with respect to such
- a standard or limitation . . . .
- . . . . .
- ``The district courts shall have jurisdiction . . . to enforce an
- effluent standard or limitation, or such an order . . . as the
- case may be, and to apply any appropriate civil penalties
- under [33 U. S. C. 1319(d)].'' 33 U. S. C. 1365(a).
-
- The relevant part of the corresponding section of RCRA is
- similar:
-
- ``any person may commence a civil action on his own
- behalf -
- ``(1)(A) against any person (including . . . the United
- States) . . . who is alleged to be in violation of any permit,
- standard, regulation, condition, requirement, prohibition, or
- order which has become effective pursuant to this chap-
- ter . . .
- ``(B) against any person, including the United States . . .
- who has contributed or who is contributing to the past or
- present handling, storage, treatment, transportation, or
- disposal of any solid or hazardous waste which may present
- an imminent and substantial endangerment to health or
- the environment . . . .
- . . . . .
- ``. . . The district court shall have jurisdiction . . . to
- enforce the permit, standard, regulation, condition, require-
- ment, prohibition, or order, referred to in paragraph (1)(A),
- to restrain any person who has contributed or who is
- contributing to the past or present handling, storage, treat-
- ment, transportation, or disposal of any solid or hazardous
- waste referred to in paragraph (1)(B), to order such person
- to take such other action as may be necessary, or both, . . .
- and to apply any appropriate civil penalties under [42
- U. S. C. 6928 (a) and (g)].'' 42 U. S. C. 6972(a).
-
- A State is a ``citizen'' under the CWA and a ``person'' under
- RCRA, and is thus entitled to sue under these provisions.
- Ohio and its amici argue that by specifying the United
- States as an entity subject to suit and incorporating the
- civil-penalties sections of the CWA and RCRA into their
- respective citizen-suit sections, ``Congress could not avoid
- noticing that its literal language subject[ed] federal entities
- to penalties.'' Brief for Respondent 36; see also, e.g., Brief
- for National Governors' Association, et al. as Amici Curiae
- 14-16. It is undisputed that each civil-penalties provision
- authorizes fines of the punitive sort.
- The effect of incorporating each statute's civil-penalties
- section into its respective citizen-suit section is not, howev-
- er, as clear as Ohio claims. The incorporations must be
- read as encompassing all the terms of the penalty provi-
- sions, including their limitations, see, e.g., Engel v. Daven-
- port, 271 U. S. 33, 38 (1926) (adoption of earlier statute by
- reference ``makes it as much a part of the later act as
- though it had been incorporated at full length''); see also 2B
- N. Singer, Sutherland Statutory Construction 51.08 (5th
- ed. 1992), and significant limitations for present purposes
- result from restricting the applicability of the civil-penalties
- sections to ``persons.'' While both the CWA and RCRA
- define ``person'' to cover States, subdivisions of States,
- municipalities and interstate bodies (and RCRA even
- extends the term to cover governmental corporations),
- neither statute defines ``person'' to include the United
- States. Its omission has to be seen as a pointed one
- when so many other governmental entities are specified, see
- 2A Singer, supra, 47.23, a fact that renders the civil-
- penalties sections inapplicable to the United States.
- Against this reasoning, Ohio argues that the incorporated
- penalty provisions' exclusion of the United States is
- overridden by the National Government's express inclusion
- as a ``person'' by each of the citizen-suit sections. There is,
- of course, a plausibility to the argument. Whether that
- plausibility suffices for the clarity required to waive
- sovereign immunity is, nonetheless, an issue we need not
- decide, for the force of Ohio's argument wanes when we
- look beyond the citizen-suit sections to the full texts of the
- respective statutes.
- What we find elsewhere in each statute are various
- provisions specially defining ``person'' and doing so express-
- ly for purposes of the entire section in which the term
- occurs. Thus, for example, ``[f]or the purpose of this [CWA]
- section,'' 33 U. S. C. 1321(a)(7) defines ``person'' in such a
- way as to exclude the various governmental entities
- included in the general definition of ``person'' in 33
- U. S. C. 1362(5). Again, ``[f]or the purpose of this
- section,'' 1322 (a)(8) defines ``person'' so as to exclude ``an
- individual on board a public vessel'' as well as the govern-
- mental entities falling within the general definition.
- Similarly in RCRA, ``[f]or the purpose of . . . subchapter
- [IX]'' the general definition of ``person'' is expanded to
- include ``the United States Government,'' among other
- entities. 42 U. S. C. 6991(6). Within each statute, then,
- there is a contrast between drafting that merely redefines
- ``person'' when it occurs within a particular clause or
- sentence, and drafting that expressly alters the definition
- for any and all purposes of the entire section in which the
- special definition occurs. Such differences in treatment
- within a given statutory text are reasonably understood to
- reflect differences in meaning intended, see 2A Singer,
- supra, 46.06, and the inference can only be that a special
- definition not described as being for purposes of the
- ``section'' or ``subchapter'' in which it occurs was intended to
- have the more limited application to its own clause or
- sentence alone. Thus, in the instances before us here, the
- inclusion of the United States as a ``person'' must go to the
- clauses subjecting the United States to suit, but no further.
- This textual analysis passes the test of giving effect to all
- the language of the citizen-suit sections. Those sections'
- incorporations of their respective statutes' civil-penalties
- sections will have the effect of authorizing punitive fines
- when a polluter other than the United States is brought to
- court by a citizen, while the sections' explicit authorizations
- for suits against the United States will likewise be effective,
- since those sections concededly authorize coercive sanctions
- against the National Government.
- A clear and unequivocal waiver of anything more cannot
- be found; a broader waiver may not be inferred, see
- Ruckelshaus, 463 U. S., at 685-686. Ohio's reading is
- therefore to be rejected. See United States v. Nordic Village
- Inc., 503 U. S. ___, ___ (1992) (slip op., at 7).
- B
- The relevant portion of the CWA's federal-facilities
- section provides that
-
- ``[e]ach department, agency, or instrumentality of the
- . . . Federal Government . . . shall be subject to, and
- comply with, all Federal, State, interstate, and local
- requirements, administrative authority, and process and
- sanctions respecting the control and abatement of water
- pollution in the same manner . . . as any nongovernmen-
- tal entity . . . . The preceding sentence shall apply (A) to
- any requirement whether substantive or procedural
- (including any recordkeeping or reporting requirement,
- any requirement respecting permits and any other
- requirement, whatsoever), (B) to the exercise of any
- Federal, State or local administrative authority, and (C)
- to any process and sanction, whether enforced in Federal,
- State, or local courts or in any other manner. . . . [T]he
- United States shall be liable only for those civil penalties
- arising under Federal law or imposed by a State or local
- court to enforce an order or the process of such court.'' 33
- U. S. C. 1323(a).
- Ohio rests its argument for waiver as to punitive fines on
- two propositions: first, that the statute's use of the word
- ``sanction'' must be understood to encompass such fines, see
- Brief for Respondent 26-29; and, second, with respect to the
- fines authorized under a state permit program approved by
- EPA, that they ``aris[e] under Federal law'' despite their
- genesis in state statutes, and are thus within the scope of
- the ``civil penalties'' covered by the congressional waiver.
- Id., at 29-35.
- 1
- Ohio's first proposition is mistaken. As a general matter,
- the meaning of ``sanction'' is spacious enough to cover not
- only what we have called punitive fines, but coercive ones
- as well, and use of the term carries no necessary implica-
- tion that a reference to punitive fines is intended. One of
- the two dictionaries Ohio itself cites reflects this breadth,
- see Black's Law Dictionary 1341 (6th ed. 1990) (defining
- ``sanction'' as a ``[p]enalty or other mechanism of enforce-
- ment used to provide incentives for obedience with the law
- or with rules and regulations. That part of a law which is
- designed to secure enforcement by imposing a penalty for
- its violation or offering a reward for its observance'').
- Ohio's other such source explicitly adopts the coercive sense
- of the term, see Ballentine's Law Dictionary 1137 (3d ed.
- 1969) (defining sanction in part as ``[a] coercive measure'').
-
- Beyond the dictionaries, examples of usage in the coercive
- sense abound. See, e.g., Penfield Co. of Cal. v. SEC, 330 U.
- S. 585, 590 (1947) (fines and imprisonment imposed as
- ``coercive sanctions'' when imposed to compel target ``to do
- what the law made it his duty to do''); Hicks v. Feiock, 485
- U. S. 624, 633-634 n. 6 (1988) (``sanction'' in Penfield was
- civil because it was conditional; contemnor could avoid
- ``sanction'' by agreeing to comply with discovery order); Fed.
- Rule Civ. Proc. 37(b) (describing as ``sanctions'' various
- steps district court may take in response to noncompliance
- with discovery orders, including holding recalcitrant
- deponent in contempt); United States v. Westinghouse Elec.
- Corp., 648 F. 2d 642, 649 (CA9 1981) (discussing ``sanc-
- tions,'' imposed pursuant to Fed. Rule Civ. Proc. 37(b),
- consisting of fine for each day litigant remained in non-
- compliance with District Court's discovery order); Latrobe
- Steel Co. v. United Steelworkers of America, Local 1537, 545
- F. 2d 1336, 1344 (CA3 1976) (``Coercive sanctions . . . look
- to the future and are designed to aid the plaintiff by
- bringing a defiant party into compliance with the court
- order or by assuring that a potentially contumacious party
- adheres to an injunction by setting forth in advance the
- penalties the court will impose if the party deviates from
- the path of obedience''); Vincent v. Preiser, 175 W.Va. 797,
- 803, 338 S.E. 2d 398, 403 (1985) (discussing contempt
- ``sanctions'' imposed ``to compel compliance with a court
- order''); Maltaman v. State Bar of Cal., 43 Cal. 3d 924, 936,
- 741 P. 2d 185, 189-190 (1987) (describing as ``sanctions''
- daily fine imposed on party until it complied with order
- directing it to transfer certain property); Labor Relations
- Comm'n v. Fall River Educators' Assn., 382 Mass. 465,
- 475-476, 416 N.E. 2d 1340, 1347 (1981) (affirming propriety
- of imposition of ``coercive contempt sanction''); Cal. Civ.
- Proc. Code Ann. 2023(b)(4) (West Supp. 1992) (authoriz-
- ing, in response to litigant's failure to obey discovery order,
- ``terminating sanction[s],'' including ``contempt sanction[s]''
- and orders staying further proceedings by recalcitrant
- litigant). Cf. 42 U. S. C. 6992e(a) (waiving federal
- medical-waste disposal facilities' sovereign immunity from
- various requirements, including such ``sanctions as may be
- imposed by a court to enforce [injunctive] relief''); id., 6961
- (using same language to waive other federal facilities'
- immunity from RCRA provisions). Thus, resort to a
- ``sanction'' carries no necessary implication of the punitive
- as against the coercive.
- The term's context, of course, may supply a clarity that
- the term lacks in isolation, see, e.g., Shell Oil Co. v. Iowa
- Dept. of Revenue, 488 U. S. 19, 26 (1988). It tends to do so
- here, but once again the clarity so found cuts against Ohio's
- position. The word ``sanction'' appears twice in 1323(a),
- each time within the phrase ``process and sanction[s].'' The
- first sentence subjects government agencies to ``process and
- sanctions,'' while the second explains that the government's
- corresponding liability extends to ``any process and sanction,
- whether enforced in Federal, State, or local courts or in any
- other manner.''
- Three features of this context are significant. The first is
- the separate statutory recognition of three manifestations
- of governmental power to which the United States is
- subjected: substantive and procedural requirements;
- administrative authority; and ``process and sanctions,''
- whether ``enforced'' in courts or otherwise. Substantive
- requirements are thus distinguished from judicial process,
- even though each might require the same conduct, as when
- a statute requires and a court orders a polluter to refrain
- from discharging without a permit. The second noteworthy
- feature is the conjunction of ``sanction[s]'' not with the
- substantive ``requirements,'' but with ``process,'' in each of
- the two instances in which ``sanction'' appears. ``Process''
- normally refers to the procedure and mechanics of adjudica-
- tion and the enforcement of decrees or orders that the
- adjudicatory process finally provides. The third feature to
- note is the statute's reference to ``process and sanctions'' as
- ``enforced'' in courts or otherwise. Whereas we commonly
- understand that ``requirements'' may be enforced either by
- backward-looking penalties for past violations or by the
- ``process'' of forward-looking orders enjoining future viola-
- tions, such forward-looking orders themselves are character-
- istically given teeth by equity's traditional coercive sanc-
- tions for contempt: fines and bodily commitment imposed
- pending compliance or agreement to comply. The very fact,
- then, that the text speaks of sanctions in the context of
- enforcing "process" as distinct from substantive "require-
- ments" is a good reason to infer that Congress was using
- ``sanction'' in its coercive sense, to the exclusion of punitive
- fines.
- 2
- The last relevant passage of 1323(a), which provides
- that ``the United States shall be liable only for those civil
- penalties arising under Federal law or imposed by a State
- or local court to enforce an order or the process of such
- court,'' is not to the contrary. While this proviso is unlike
- the preceding text in that it speaks of ``civil penalties,'' not
- ``sanctions,'' it is obviously phrased to clarify or limit the
- waiver preceding it. Here our concern is with its clarifying
- function (leaving its limiting effect until later), and it must
- be said that as a clarifier the proviso speaks with an
- uncertain voice. To be sure, the second modifier of ``civil
- penalties'' at least makes it plain that the term (like
- ``sanction,'' to which it relates) must include a coercive
- penalty, since such penalties are exemplified by those
- ``imposed by a state or local court to enforce an order or the
- process of such court.'' To this extent, then, the proviso
- serves to confirm the reading we reached above.
- The role of the first modifier is problematical, however.
- On the one hand, it tugs toward a more expansive reading
- of ``civil penalties.'' If by using the phrase ``civil penalties
- arising under federal law'' Congress meant nothing more
- than coercive fines arising under federal law, it would have
- been simpler to describe all such penalties as imposed to
- enforce an order or process, whether of a local, state, or
- federal court. Thus, the first modifier suggests that the
- civil penalties arising under federal law may indeed include
- the punitive along with the coercive. Nevertheless, a
- reading expansive enough to reflect a waiver as to punitive
- fines would raise a new and troublesome question about the
- source of legal authority to impose such a fine. As far as
- federal law is concerned, the only available source of
- authority to impose punitive fines is the civil-penalties
- section, 1319(d). But, as we have already seen, that
- section does not authorize liability against the United
- States, since it applies only against ``persons,'' from whom
- the United States is excluded.
- Ohio urges us to find a source of authority good against
- the United States by reading ``arising under federal law'' to
- include penalties prescribed by state statutes approved by
- EPA and supplanting the CWA. Ohio argues for treating a
- state statute as providing penalties ``arising under federal
- law'' by stressing the complementary relationship between
- the relevant state and federal statutes and the role of such
- state statutes in accomplishing the purpose of the CWA.
- This purpose, as Ohio states it, is ``to encourage compliance
- with comprehensive, federally approved water pollution
- programs while shielding federal agencies from unautho-
- rized penalties.'' Brief for Respondent 34-35. Ohio asserts
- that ``federal facility compliance . . . cannot be . . . accom-
- plished without the [punitive] penalty deterrent.'' Id., at
- 35.
- The case for such pessimism is not, however, self-evident.
- To be sure, an agency of the Government may break the
- law where it might have complied voluntarily if it had faced
- the prospect of punitive fines for past violations. But to say
- that its ``compliance cannot be . . . accomplished'' without
- such fines is to assume that without sanctions for past
- conduct a federal polluter can never be brought into future
- compliance, that an agency of the National Government
- would defy an injunction backed by coercive fines and even
- a threat of personal commitment. The position seems also
- to ignore the fact that once such fines start running they
- can be every dollar as onerous as their punitive counter-
- parts; it could be a very expensive mistake to plan on
- ignoring the law indefinitely on the assumption that
- contumacy would be cheap.
- Nor does the complementary relationship between state
- and federal law support Ohio's claim that state-law fines
- thereby ``arise under federal law.'' Plain language aside,
- the far more compelling interpretative case rests on the
- best-known statutory use of the phrase ``arising under
- federal law,'' appearing in the grant of federal-question
- jurisdiction to the courts of the United States. See 28
- U. S. C. 1331. There, we have read the phrase ``arising
- under'' federal law to exclude cases in which the plaintiff
- relies on state law, even when the State's exercise of power
- in the particular circumstances is expressly permitted by
- federal law. See, e.g., Gully v. First National Bank in
- Meridian, 299 U. S. 109, 116 (1936) (suit over state taxation
- of nationally chartered bank does not arise under federal
- law even though such taxation would not be possible
- without federal approval); International Bridge Co. v. New
- York, 254 U. S. 126, 133 (1920) (congressional approval of
- construction of bridge by state-chartered company does not
- make federal law the source of right to build bridge).
- Congress' use of the same language in 1323(a) indicates a
- likely adoption of our prior interpretation of that language.
- See, e.g., ICC v. Locomotive Engineers, 482 U. S. 270,
- 284-285 (1987) (interpreting statute based on previous
- interpretation of same language in another statute);
- Northcross v. Memphis Bd. of Education, 412 U. S. 427, 428
- (1973) (per curiam) (similarity of language in two statutes
- ``strong indication that [they] should be interpreted pari
- passu''). The probability is enough to answer Ohio's
- argument that ``arising under Federal law'' in 1323(a) is
- broad enough to cover provisions of state statutes approved
- by a federal agency but nevertheless applicable ex proprio
- vigore.
- Since Ohio's argument for treating state-penalty provi-
- sions as arising under federal law thus fails, our reading of
- the last quoted sentence from 1323(a) leaves us with an
- unanswered question and an unresolved tension between
- closely related statutory provisions. The question is still
- what Congress could have meant in using a seemingly
- expansive phrase like ``civil penalties arising under federal
- law.'' Perhaps it used it just in case some later amendment
- might waive the government's immunity from punitive
- sanctions. Perhaps a drafter mistakenly thought that
- liability for such sanctions had somehow been waived
- already. Perhaps someone was careless. The question has
- no satisfactory answer.
- We do, however, have a response satisfactory for sover-
- eign immunity purposes to the tension between a proviso
- suggesting an apparently expansive but uncertain waiver
- and its antecedent text that evinces a narrower waiver with
- greater clarity. For under our rules that tension is resolved
- by the requirement that any statement of waiver be
- unequivocal: as against the clear waiver for coercive fines
- the indication of a waiver as to those that are punitive is
- less certain. The rule of narrow construction therefore
- takes the waiver no further than the coercive variety.
-
-
-
-
- C
- We consider, finally, the federal-facilities section of
- RCRA, which provides, in relevant part, that the National
- Government
- ``shall be subject to, and comply with, all Federal, State,
- interstate, and local requirements, both substantive and
- procedural (including any requirement for permits or
- reporting or any provisions for injunctive relief and such
- sanctions as may be imposed by a court to enforce such
- relief) . . . in the same manner, and to the same extent,
- as any person is subject to such requirements . . . .
- Neither the United States, nor any agent, employee, or
- officer thereof, shall be immune or exempt from any pro-
- cess or sanction of any State or Federal Court with
- respect to the enforcement of any such injunctive relief.''
- 42 U. S. C. 6961.
-
- Ohio and its amici stress the statutory subjection of federal
- facilities to ``all . . . requirements,'' which they would have
- us read as an explicit and unambiguous waiver of federal
- sovereign immunity from punitive fines. We, however,
- agree with the Tenth Circuit that ``all . . . requirements''
- ``can reasonably be interpreted as including substantive
- standards and the means for implementing those standards,
- but excluding punitive measures.'' Mitzelfelt v. Department
- of Air Force, 903 F. 2d 1293, 1295 (CA10 1990).
- We have already observed that substantive requirements
- can be enforced either punitively or coercively, and the
- Tenth Circuit's understanding that Congress intended the
- latter finds strong support in the textual indications of the
- kinds of requirements meant to bind the Government.
- Significantly, all of them refer either to mechanisms
- requiring review for substantive compliance (permit and
- reporting requirements) or to mechanisms for enforcing
- substantive compliance in the future (injunctive relief and
- sanctions to enforce it). In stark contrast, the statute
- makes no mention of any mechanism for penalizing past
- violations, and this absence of any example of punitive fines
- is powerful evidence that Congress had no intent to subject
- the United States to an enforcement mechanism that could
- deplete the federal fisc regardless of a responsible officer's
- willingness and capacity to comply in the future.
- The drafters' silence on the subject of punitive sanctions
- becomes virtually audible after one reads the provision's
- final sentence, waiving immunity ``from any process or
- sanction of any State or Federal Court with respect to the
- enforcement of any such injunctive relief.'' The fact that
- the drafter's only specific reference to an enforcement
- mechanism described ``sanction'' as a coercive means of
- injunctive enforcement bars any inference that a waiver of
- immunity from ``requirements'' somehow unquestionably
- extends to punitive fines that are never so much as men-
- tioned.
- III
- The judgment of the Court of Appeals is reversed, and the
- case is remanded for further proceedings consistent with
- this opinion.
-