Benjamin Alston, et al.,
Appellants,
v.
State of New York,
Respondent.
2001 NY Int. 140
Claimant Benjamin Alston and 102 similarly situated
parole officers appeal from an Appellate Division order affirming
the dismissal of their claims against the State for purported
violations of the Fair Labor Standards Act of 1938 (29 USC § 201
et seq. [FLSA]). The dismissal was predicated on the claimants'
failure to file their claims within six months after accrual (see,
Court of Claims Act § 10[4]). The issue before us is whether,
In 1991, claimants brought an FLSA action against the State in Federal court, seeking to recover for overtime allegedly worked during 1989 and 1990. In 1997, the United States District Court for the Northern District of New York dismissed the action based upon Seminole Tribe of Florida v Florida (517 US 44), which held that Congress lacked power under Article I of the Federal Constitution to abrogate the States' Eleventh Amendment sovereign immunity from suits commenced or prosecuted in Federal courts. Claimants appealed to the United States Court of Appeals for the Second Circuit, but the parties agreed to a voluntary dismissal following that court's ruling against other claimants in a similar case.
In 1998, claimants filed this proceeding in the Court
of Claims, asserting the same causes of action previously alleged
in their Federal action. The State moved to dismiss the claims on
the ground that the Court of Claims lacked subject matter
jurisdiction because of claimants' failure to file timely their
claims as required by section 10(4). The Court of Claims granted
the State's motion and dismissed the claims. Relying on Alden v
At common law, the doctrine of sovereign immunity generally shielded a state from suit absent its consent (see, Brown v State of New York, , 89 NY2d 172, 179). In Alden v Maine, the Supreme Court of the United States found that State sovereign immunity is "implicit in the constitutional design" (527 US 706, 730). The Alden Court went on to decree: "In light of history, practice, precedent, and the structure of the Constitution, we hold that the States retain immunity from private suit in their own courts, an immunity beyond the congressional power to abrogate by Article I legislation" (id., at 754). The Court affirmed the dismissal of the plaintiffs' State court FLSA action because Maine had not waived its sovereign immunity with respect to those claims.
Claimants maintain that their case is distinguishable
from Alden because, unlike the State of Maine, New York's waiver
of immunity to suit in its own courts includes FLSA claims brought
against the State (see, Court of Claims Act § 8). Therefore,
In Felder, the Supreme Court held that Wisconsin's
notice of claim statute did not apply to claims brought under 42 USC § 1983 against the City of Milwaukee and certain of its police
officers. The Court noted that because of the supremacy of
Federal law, "where state courts entertain a federally created
cause of action, the 'federal right cannot be defeated by the
forms of local practice'" (Felder,
Felder is distinguishable in at least two crucial respects. First, the Supreme Court did not address the issue of a state's sovereign immunity in that case because, unlike states, municipal corporations, including the city defendant in Felder,
are not entitled to sovereign immunity (see, Will v Michigan Dept.
of State Police, 491 US 58, 70; see also, Alden v Maine,
We conclude that, here, the State has indeed retained its sovereign immunity. Section 8 of the Court of Claims Act, enacted in 1939 (L 1939, ch 860), provides:
"The state hereby waives its immunity from liability and action and hereby assumes liability and consents to have the same determined in accordance with the same rules of law as applied to actions in the supreme court against individuals or corporations, provided the claimant complies with the limitations of this article" (emphasis supplied).
Thus, the State's waiver of sovereign immunity was not absolute, but was conditioned upon a claimant's compliance with the limitations on the waiver, including the relevant filing deadlines. Article 2, section 10 of the Court of Claims Act could not be any clearer in conditioning the waiver of sovereign immunity on compliance with the time limitations for filing claims it sets forth. It states that "[n]o judgment shall be granted in favor of any claimant unless such claimant shall have complied" with the time limitations established in that section (emphasis supplied). This is fully consistent with the legislative history of the statute (see, Stmnt in Support, Bill Jacket, L 1939, ch 860, at 27 ["(t)he waiver of immunity * * * is conditioned * * * upon the claimant's complying with the limitations contained in Article II, which confers jurisdiction upon the Court"]; see also, Davison, Claims Against the State of New York ¶ 19.01, at 152 ["Waiver of the State's Immunity is Conditional."]).
In Yonkers Contr. Co. v Port Auth. Trans-Hudson Corp.
(93 2 375), we explicitly recognized that a waiver of
sovereign immunity can be conditioned upon compliance with a
particular time requirement. In that case, the State not only
consented to suits against the Port Authority of New York and New
Jersey but "also expressly incorporated within the [same] act a
requirement of timely suit as an integral part of its waiver of
sovereign immunity" (id., at 379 [citations omitted]). We
Contrary to claimants' position, the fact that New York has conditioned its waiver of sovereign immunity on the timely filing of claims does not distinguish this case from Alden v Maine. Indeed, nothing in Alden suggests that a waiver of sovereign immunity must be absolute, unconditional and applicable in all situations. Therefore, because claimants failed to file their claims in the Court of Claims within six months after their accrual (see, Court of Claims Act § 10[4]), and did not timely seek relief from the court under Court of Claims Act § 10(6), the State was entitled to dismissal of this claim on sovereign immunity grounds.
Claimants' remaining arguments lack merit.
Accordingly, the order of the Appellate Division should be affirmed, with costs.