In the
United States Court of Appeals
For the Seventh Circuit
No. 10-2237
JERRY A DKINS, et al.,
Plaintiffs-Appellants,
v.
VIM R ECYCLING, INC., K.C. INDUSTRIES, LLC,
and K ENNETH R. W ILL,
Defendants-Appellees.
Appeal from the United States District Court
for the Northern District of Indiana, South Bend Division.
No. 3:09-cv-00510—Philip P. Simon, Chief Judge.
A RGUED JANUARY 20, 2011—D ECIDED M AY 3, 2011
Before R IPPLE and H AMILTON, Circuit Judges, and
M URPHY, District Judge.
H AMILTON, Circuit Judge. This appeal presents questions
regarding the citizen-suit provisions in the federal Re-
The Honorable G. Patrick Murphy of the Southern District
of Illinois, sitting by designation.
2 No. 10-2237
source Conservation and Recovery Act (RCRA), 42 U.S.C.
§ 6901 et seq., including when a narrower government
enforcement lawsuit may preclude a broader citizen
suit, and how the citizen-suit provisions interact with
the federalism doctrines of Colorado River and Burford
abstention. The district court in this case relied on statu-
tory provisions and the abstention doctrines to dismiss
the plaintiffs’ citizen suit under RCRA. We reverse
and remand to allow the plaintiffs to pursue their
citizen suit.
I. Citizen Suits Under RCRA
We consider here the relationships among three law-
suits: two state court actions filed by a state environ-
mental agency and the federal citizen suit. The details
of those cases will be easier to follow if we first sketch
the relevant statutory provisions. The Resource Con-
servation and Recovery Act, commonly known as RCRA,
enacted a broad range of policies and procedures to
control disposal of solid and hazardous waste in the
United States to protect public health and the environ-
ment. Like other federal environmental laws, RCRA
provides for a complex partnership between federal
and state authorities to develop and enforce regulatory
standards.
Also like other federal environmental laws, RCRA
does not give sole responsibility to federal and state
environmental agencies and assume that they will
enforce the law adequately. RCRA includes provisions
for citizen suits in federal district courts to enforce the
No. 10-2237 3
law. The RCRA citizen-suit provision, 42 U.S.C. § 6972,
lies at the center of this appeal. Subsection (a) provides
the general authority to bring citizen suits and provides
for jurisdiction in the federal district courts. Subsec-
tion (a)(1) provides for two distinct types of citizen suits—
“violation” actions in subsection (a)(1)(A) and “endanger-
ment” actions in subsection (a)(1)(B). The citizen suit in
this appeal combines both violation and endanger-
ment claims. The statute provides in relevant part:
Except as provided in subsection (b) or (c) of this
section, any person may commence a civil action on
his own behalf—
(1)(A) against any person (including (a) the United
States, and (b) any other governmental instru-
mentality or agency, to the extent permitted by the
eleventh amendment to the Constitution) who is
alleged to be in violation of any permit, standard,
regulation, condition, requirement, prohibition, or
order which has become effective pursuant to this
chapter; or
(B) against any person, including the United States
and any other governmental instrumentality or agency,
to the extent permitted by the eleventh amendment
to the Constitution, and including any past or
present generator, past or present transporter, or past
or present owner or operator of a treatment, storage,
or disposal facility, 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
4 No. 10-2237
and substantial endangerment to health or the en-
vironment. . . .
42 U.S.C. § 6972(a)(1).
The specific statutory issues in this case concern the
exceptions in subsection (b), which require plaintiffs in
citizen suits to give notice to the federal Environmental
Protection Agency, the relevant state agency, and the
alleged violator, and which prohibit a citizen suit if
the EPA or the state agency commences and diligently
prosecutes its own action to enforce RCRA. More specifi-
cally, subsection (b) provides with regard to “violation”
claims:
(b) Actions prohibited
(1) No action may be commenced under subsection
(a)(1)(A) of this section—
(A) prior to 60 days after the plaintiff has
given notice of the violation to—
(i) the Administrator;
(ii) the State in which the alleged viola-
tion occurs; and
(iii) to any alleged violator of such
permit, standard, regulation, condition,
requirement, prohibition, or order,
except that such action may be brought immediately
after such notification in the case of an action under
this section respecting a violation of subchapter III of
this chapter; or
No. 10-2237 5
(B) if the Administrator or State has commenced and
is diligently prosecuting a civil or criminal action in
a court of the United States or a State to require com-
pliance with such permit, standard, regulation, condi-
tion, requirement, prohibition, or order.
In any action under subsection (a)(1)(A) of this section
in a court of the United States, any person may inter-
vene as a matter of right.
42 U.S.C. § 6972(b); see also Hallstrom v. Tillamook
County, 493 U.S. 20, 31 (1989) (describing RCRA’s
notice and 60-day delay requirements as “mandatory
conditions precedent to commencing suit under the
RCRA citizen suit provision” and ordering dismissal of
citizen suit that had been filed before waiting period
ran, despite years of litigation resulting in final judg-
ment ordering remediation).
In this case, we must apply these provisions to a
citizen suit that was filed after appropriate notices were
given to the federal EPA, the state environmental agency,
and the alleged violators. The first and simplest issue
is whether the plaintiffs could continue to pursue their
citizen suit in federal court when the state agency filed
a later enforcement action in state court. Our answer is
yes. The second issue is whether the plaintiffs could
file their federal citizen suit after the state agency had
filed a much narrower enforcement action against the
same alleged violators, and after the alleged violators
persuaded the court not to allow the plaintiffs to inter-
vene to broaden that state court enforcement action to
assert the claims they then presented to the federal court.
Our answer is also yes.
6 No. 10-2237
After resolving these statutory issues in favor of the
plaintiffs, we turn to whether the Colorado River or
Burford abstention doctrines justify dismissal or stay of
this citizen suit. Our answer to that question is no, so that
the plaintiffs are entitled to pursue the relief they seek
from the federal district court. The district court may
certainly coordinate its efforts with the state courts, and
may use its sound discretion in doing so, but it must
allow these plaintiffs to proceed with their case in the
forum they have chosen and that Congress has authorized.
II. The Parties, the VIM Site, and the Litigation History
Defendants Kenneth R. Will, K.C. Industries, LLC, and
VIM Recycling, Inc. (collectively “VIM”) operate a solid
waste dump in Elkhart, Indiana. Lead plaintiff William
Adkins and other residents of the area brought this suit
against VIM in federal district court under RCRA and
added various state law claims. VIM’s regulatory
history and the nature of the three enforcement lawsuits
are essential to our disposition of the questions presented.
We begin in late 1999, when the Indiana Department
of Environmental Management (“IDEM”) ordered VIM
to remove several waste piles and to cease outdoor grind-
ing of solid waste at a different location in Goshen, Indi-
ana. Rather than stopping its activities, VIM moved its
operation to nearby Elkhart, a move that would come
to upset many Elkhart residents, including the plain-
tiffs here. By 2004, the Elkhart County Solid Waste Man-
agement District Board had received numerous com-
plaints from families and businesses in VIM’s vicinity.
No. 10-2237 7
When IDEM inspected VIM’s Elkhart operations in
August 2005 and January 2006, it found several ongoing
air pollution and solid waste violations.
In an attempt to remedy some of VIM’s many regulatory
violations, IDEM and VIM entered into an Agreed
Order on January 16, 2007. Among other things, the
Agreed Order required VIM to obtain the required
permits for its activities, to stop taking so-called “C” grade
waste to non-permitted facilities, to stop putting any
unregulated waste on the berm at the VIM site, to
confirm through sampling and analysis that the berm did
not cause a threat to human health and the environment,
to stop putting any waste onto VIM’s “C” grade piles, and
to remove the “C” grade waste by September 2008.1
1
The classification of VIM wastes into different grades was
apparently specific to the VIM site. The differences are critical
to understand the issues in this case regarding the scope of the
different IDEM lawsuits and this citizen suit. As defined by
IDEM, the particular “grades” of waste at the VIM site include
“A” grade waste (trees, brush, recently live wood, and uncon-
taminated lumber, which is ground up and used for mulch), “B”
grade waste (wood scraps containing laminated wood and
plywood collected from area manufacturers that is ground up
to make animal bedding), and “C” grade waste (formerly “B”
grade waste that has degraded and is no longer suitable
for making animal bedding). As near as we can tell, these
designations were first adopted by IDEM and were in-
corporated into its 2007 Agreed Order with VIM (referring
only to “C” grade waste). VIM embraced these designations,
as shown by its quarterly reports to IDEM pursuant to the
(continued...)
8 No. 10-2237
The deadline came and went without compliance.
When IDEM inspected VIM’s Elkhart operation on
October 2, 2008, it found that VIM had not removed the
“C” grade waste as required by the Agreed Order. The
next day, on October 3, 2008, IDEM filed suit in the
Elkhart Circuit Court to enforce the Agreed Order, par-
ticularly with regard to VIM’s failure to remove the “C”
grade waste at the site. (We refer to this 2008 suit as
the first IDEM lawsuit.)
Several Elkhart area residents who would later
become plaintiffs in this federal citizen suit first sought
to intervene in that first IDEM lawsuit. The intervenors
also sought to expand the scope of the complaint in
the first IDEM lawsuit beyond the scope of the Agreed
Order. The intervenors sought injunctive relief that
would have required VIM to cease all operations per-
taining to the illegal disposal of all solid waste at the
VIM site (not just “C” grade waste), and to remediate the
1
(...continued)
Agreed Order. 2008 IDEM Complaint Exs. C-E (referring to “A-
material,” “B-material,” and “C-material”). The federal EPA also
adopted these definitions in its 2009 Administrative Consent
Order regarding VIM’s violations of the Clean Air Act. On
appeal VIM attempts to retreat from these classifications by
arguing that “A,” “B,” and “C” are geographic designations
of various standing waste piles at the VIM site. The record
reflects, however, and VIM concedes, that “A,” “B,” and “C”
refer to different grades of waste as well as to different piles
of waste. For our purposes, the relevant point is that they
refer to different grades of waste.
No. 10-2237 9
facility to its condition before VIM took it over. The
intervenors also sought damages through common law
claims of nuisance, negligence, and trespass. VIM
opposed the intevenors’ motion to the extent that they
raised claims extending beyond the scope of the Agreed
Order. VIM argued that the intervenors’ claims should
be limited to the scope of the first IDEM lawsuit as it
was originally filed. The state court agreed with VIM and
asked VIM to draw up a proposed intervention order
allowing that narrow intervention.
In response to this adverse ruling, the intervenors
voluntarily withdrew all of their claims outside the
scope of the first IDEM lawsuit. They chose instead to
proceed in federal court under the RCRA citizen-suit
provision to seek broader relief. As required by RCRA
section 6972(b), the plaintiffs first sent a Notice of Intent
to File a Complaint under RCRA to VIM, IDEM, and
the EPA. During the required waiting period, neither
the EPA nor IDEM filed a lawsuit (or intervened in or
amended the first IDEM suit) to assert the plaintiffs’
proposed claims against VIM. The plaintiffs then filed
this action in the Northern District of Indiana on Octo-
ber 27, 2009.
In their federal complaint, the plaintiffs sought relief
under both the “violation” and the “endangerment”
provisions of RCRA. 42 U.S.C. §§ 6972(a)(1)(A) and
(a)(1)(B). They also alleged common law claims of nui-
sance, trespass, negligence, negligence per se, and gross
negligence. The detailed factual-basis allegations of the
complaint stretch over 17 pages and 72 paragraphs.
10 No. 10-2237
Many of those allegations recount IDEM’s attempts to
regulate VIM’s operation and thus focus on the “C” grade
waste. Recognizing that those efforts culminated in the
first IDEM lawsuit, the plaintiffs also made allegations
based on the other types of waste at the site, particularly
the “A,” “B,” “C&D” (construction and demolition)
grades, and uncategorized waste. Specifically, the plain-
tiffs alleged:
146. From July 2000 to the present date, Defendants
have handled, transported, stored and processed
“A” waste, “B” waste, “C” waste, C&D waste,
wastewater treatment plant sludge, and other
solid wastes at the VIM site.
147. From July 2000 to the present date, Defendants
have constructed berms with solid waste mate-
rials at the VIM site.
148. From July 2000 to the present date, Plaintiffs
have and continue to experience adverse
health impacts, as well as fear for the safety of
their persons and properties as a direct and
proximate result of VIM’s handling, storage,
transporting and processing of solid waste at
the VIM site.
149. Plaintiffs observe plumes of smoke on a daily
and continuous basis coming from internal and
smoldering combustion of the various waste
piles at the VIM site including the “A”, “B”,
and “C” waste piles, and berms made of solid
waste.
No. 10-2237 11
The plaintiffs took care to differentiate their federal
claims from the claims the state asserted in the first IDEM
lawsuit. They alleged:
164. IDEM’s enforcement action seeks only to
enforce the [Agreed Order or “AO”] of January
16, 2007 which required Defendants to remove
or properly dispose of “C” waste that existed
at the time of entry of the AO by September 30,
2008.
165. IDEM’s enforcement action does not address
“A” or “B” wastes accumulated before or after
entry of the AO or “B” waste that turned to “C”
waste after entry of the AO. Moreover, the AO
does not require removal of berms made of
solid waste, “A” or “B” wastes accumulated
before or after entry of the AO, or “B” wastes
that turned to “C” wastes after entry of the AO.
Thus, the plaintiffs’ RCRA allegations are based in part
on “C” grade waste, but they go beyond the “C” grade
waste to include “A” and “B” waste. See Complaint ¶ 168.
Among other violations, they allege that VIM was con-
solidating, disposing of, and causing combustion of wood
and engineered wood waste (including “A,” “B” and
“C” grade waste), construction and demolition waste,
and “other solid wastes” without cover; was operating a
non-compliant solid waste disposal facility; was “open
dumping” solid wastes at the site; and was “stor[ing],
contain[ing], processing and/or dispos[ing] of solid waste
at the VIM site in a manner that has and continues to:
create a fire hazard, attract vectors, pollute air and water
12 No. 10-2237
resources, and cause other contamination.” The plaintiffs
also alleged that VIM violated several Indiana regula-
tions that can be enforced under RCRA’s “violation”
provision. Pursuant to RCRA’s “endangerment” provision,
the plaintiffs alleged that VIM’s handling, transport,
processing, and disposal of “A,” “B,” and “C” grade
solid waste and the berms of solid waste at the VIM site
presented an imminent and substantial danger to
health and the environment.
In the meantime, IDEM continued to inspect VIM’s
Elkhart operation, finding ongoing violations that culmi-
nated in a second IDEM lawsuit. On December 21, 2009,
after the plaintiffs had served their RCRA notice, had
waited out the requisite delay period, and had already
filed this citizen suit in the federal district court, IDEM
filed its second lawsuit in the Elkhart Superior Court. The
second IDEM lawsuit alleged that, in violation of state
statutes and regulations, VIM had caused or allowed
the open dumping of “B” grade waste on its property
and had stored, contained, processed, or disposed of “B”
grade waste in a manner causing a threat to human
health or the environment. IDEM sought a preliminary
and permanent injunction “requiring VIM to immedi-
ately cease to cause or allow the deposit and/or
dumping of contaminants and solid waste on the Site
or any other unpermitted site,” and requiring VIM to
remove and properly dispose of all “B” grade waste at the
site, to comply with all federal, state, and local laws
in doing so, and to submit written documentation to
IDEM within 45 days that all “B” grade waste had
No. 10-2237 13
been taken to a permitted solid waste management or
processing facility.
Now fighting three separate lawsuits (the two IDEM
suits in state courts and this citizen action in federal
court), VIM moved to dismiss this federal lawsuit. VIM
argued that the district court did not have federal sub-
ject matter jurisdiction under RCRA over the plaintiffs’
“violation” and “endangerment” claims because IDEM
was pursuing the same claims in state court that the
plaintiffs’ raised in this suit. VIM further argued that
the district court should abstain from exercising its juris-
diction based on the abstention doctrines articulated
by the Supreme Court in Burford v. Sun Oil Co., 319 U.S.
315 (1943), and Colorado River Water Conservation Dist. v.
United States, 424 U.S. 800 (1976). The district court
granted VIM’s motion, finding that it lacked jurisdiction
over the RCRA violation claim and that it should abstain
from exercising jurisdiction over all RCRA claims under
Burford and Colorado River. The court then declined to
exercise supplemental jurisdiction over the state law
claims. The plaintiffs have appealed.
III. Statutory Issues Under RCRA
RCRA’s “violation” provision permits any person to
commence a lawsuit against any other person or entity
“who is alleged to be in violation of any permit, standard,
regulation, condition, requirement, prohibition or order
which has become effective pursuant to [RCRA].” 42
U.S.C. § 6972(a)(1)(A). After notice is given, a citizen suit
cannot be commenced “if the Administrator or State has
14 No. 10-2237
commenced and is diligently prosecuting a civil or
criminal action in a court of the United States or a State
to require compliance with such permit, standard, reg-
ulation, condition, requirement, prohibition, or order.” 42
U.S.C. § 6972(b)(1)(B). VIM argues that both the first and
second IDEM lawsuits trigger RCRA’s statutory bar
and prohibit the plaintiffs’ RCRA “violation” claim.
We hold otherwise.2
A. Subject Matter Jurisdiction
The parties and the district court treated the statutory
bar issue as a question of subject matter jurisdiction. This
2
RCRA’s “endangerment” provision contains its own statutory
bar in 42 U.S.C. § 6972(b)(2), and VIM argued to the district
court that the plaintiffs’ “endangerment” claim was barred
under that provision. However, the district court found that
the EPA had not taken any of the action specified in section
6972(b)(2)(B)(i)-(iv) and that those provisions did not apply.
Although the district court found that section 6972(b)(2)(C)(i)
could operate as a bar if the State had commenced its own
RCRA “endangerment” action, the parties failed to address
whether IDEM’s suits could constitute such an action “under”
RCRA. Ultimately, the district court did not reach this
question because it found the that the Colorado River and Burford
abstention doctrines counseled against hearing the plaintiffs’
RCRA “endangerment” claim. Although we hold that the
district court’s decision to abstain was an abuse of discretion,
VIM has not renewed on appeal any argument it may have
that the plaintiffs’ “endangerment” claim was statutorily
preempted under section 6972(b)(2)(B) or (b)(2)(C).
No. 10-2237 15
was incorrect. In a series of recent cases under many
different federal statutes, the Supreme Court has repeat-
edly reminded the lower courts of the narrow scope
of truly jurisdictional rules and the broader category
of ordinary “claims processing rules.” “Jurisdiction”
means nothing more and nothing less than “a court’s
adjudicatory authority.” Reed Elsevier, Inc. v. Muchnick, ___
U.S. ___, ___, 130 S. Ct. 1237, 1243 (2010) (holding that
requirement to register copyright before bringing suit
was not jurisdictional), quoting Kontrick v. Ryan, 540
U.S. 443, 455 (2004) (holding that time limit for creditors
to file objections to discharge in bankruptcy was not
jurisdictional). The jurisdictional category applies only
to “ ‘prescriptions delineating the classes of cases
(subject matter jurisdiction) and the persons (personal
jurisdiction)’ implicating that authority.” Id., quoting
Kontrick, 540 U.S. at 445.
The distinction is vital. Treating a rule as jurisdictional
“alters the normal operation of our adversarial system”
in which courts address the claims and arguments.
Henderson v. Shinseki, ___ U.S. ___, ___, 131 S. Ct. 1197, 1202
(2011) (deadline for filing notice of appeal with Veterans
Court is not jurisdictional). If a rule is genuinely juris-
dictional, a federal court has an obligation to raise and
decide the issue itself even if the parties do not. A juris-
dictional question may be raised at any time, including
for the first time on appeal, causing unfairness to the
parties and wasting the efforts spent on the litigation
to that point. Id. Congress can specify that a particular
claims-processing rule is jurisdictional, but it is clear
that the Supreme Court is not expanding the category
16 No. 10-2237
of jurisdictional rules without explicit indications from
Congress that it intended such drastic results.
The RCRA prohibition on bringing a citizen suit when
the EPA or a state agency “has commenced and is dili-
gently prosecuting” an action to require compliance
with the same permit, standard, or other require-
ment falls into the category of claims-processing rules.
Congress could have made the prohibition expressly
“jurisdictional,” but neither the general federal question
jurisdiction statute, 28 U.S.C. § 1331, nor RCRA’s juris-
dictional grant, 42 U.S.C. § 6972(a), specifies any thresh-
old jurisdictional requirement. RCRA’s limits on
citizen suits appear in separate provisions that do not
“speak in jurisdictional terms or refer in any way to
the jurisdiction of the district courts.” See Zipes v. Trans
World Airlines, Inc., 455 U.S. 385, 394 (1982) (Title VII
requirement for filing charge with EEOC did not limit
jurisdiction); 42 U.S.C. §§ 6972(b)(1), (b)(2). “[W]hen
Congress does not rank a statutory limitation on
coverage as jurisdictional, courts should treat the restric-
tion as nonjurisdictional in character.” Arbaugh v. Y & H
Corp., 546 U.S. 500, 516 (2006) (Title VII requirement for
number of employees is element of a claim but not a
requirement for subject matter jurisdiction).3
3
In Hallstrom v. Tillamook County, 493 U.S. 20, 31 (1989), the
Supreme Court declined to decide whether RCRA’s notice
and 60-day delay requirements for citizen suits are jurisdic-
tional. Under the analysis the Supreme Court has applied
more recently to similar questions, the clear answer is that
they are not.
No. 10-2237 17
The plaintiffs in this case have alleged colorable
claims for relief directly under RCRA. Even if those
claims are not successful, whether because of a statutory
bar or for some other reason, they were substantial
enough to give the district court subject matter jurisdic-
tion over the case, including supplemental jurisdiction
over the plaintiffs’ state law claims. See, e.g., Rabé v. United
Air Lines, Inc., ___ F.3d ___, ___, 2011 WL 677946, at *2-3
(7th Cir. Feb. 28, 2011) (reversing dismissal of Title VII
claim for lack of jurisdiction; whether international em-
ployee was covered by statute went to merits rather than
jurisdiction), citing Greater Chicago Combine and Center, Inc.
v. City of Chicago, 431 F.3d 1065, 1070 (7th Cir. 2005) (af-
firming summary judgment on merits of federal constitu-
tional claims that raised substantial federal questions);
Gammon v. GC Services Ltd. Partnership, 27 F.3d 1254, 1256
(7th Cir. 1994) (reversing dismissal for lack of subject
matter jurisdiction where plaintiff alleged substantial
federal claim).
Another factor that supports this treatment of the
RCRA limit on citizen suits is the fact that the limit
is not absolute. It has the potential to ebb and flow de-
pending on whether the government agency is “diligently
prosecuting” an earlier lawsuit. 42 U.S.C. §§ 6972(b)(1)(B),
(b)(2)(B)(i), (b)(2)(C)(i). Subject matter jurisdiction, on
the other hand, is usually thought of in binary terms. It
either exists or it does not. It might disappear because of
a change of circumstances, but it’s hard to fit into the
concept of subject matter jurisdiction the idea that the
ability to pursue the citizen suit could disappear, re-
turn, and disappear again, depending on the govern-
18 No. 10-2237
ment agency’s changing approach to its own enforce-
ment action.
B. The Second IDEM Suit
With subject matter jurisdiction secure, we treat VIM’s
motion as one to dismiss under Rule 12(b)(6) for failure
to state a claim upon which relief can be granted. Our
review of Rule 12(b)(6) motions to dismiss is de novo.
We construe the complaint in the light most favorable
to the plaintiffs, accepting as true all well-pled facts
alleged, taking judicial notice of matters within the
public record, and drawing all reasonable inferences in
the plaintiffs’ favor. See General Electric Capital Corp. v.
Lease Resolution Corp., 128 F.3d 1074, 1080-81 (7th Cir.
1997) (permitting courts to take judicial notice of matters
of public record without converting a Rule 12(b)(6)
motion into a motion for summary judgment).
Under this standard, we turn to VIM’s statutory bar
arguments. Because the issue is so straightforward, we
address first the effect of the second IDEM suit, which
was filed after the plaintiffs filed this RCRA citizen suit.
The district court found that the plaintiffs’ RCRA viola-
tion claim in their earlier citizen suit was barred by
that second IDEM lawsuit under 42 U.S.C. § 6972(b)(1)(B).
That conclusion is contrary to the plain language of
subsection (b)(1)(B).
Subsection (b)(1)(B) says that a citizen’s violation
action may not “be commenced” if the EPA or state
agency “has commenced and is diligently prosecuting
No. 10-2237 19
a civil or criminal action in a court of the United States
or a State. . . .” The statute prohibits only commencement
of a citizen suit, not the continued prosecution of such
an action that has already been filed. It operates to
prohibit commencement of a citizen suit only if the gov-
ernment “has commenced and is diligently prosecuting”
its own action, and not, for example, if the govern-
ment “commences and begins diligently prosecuting.” The
verb tenses make clear that subsection (b)(1)(B) bars a
RCRA citizen suit for a RCRA violation only if the suit
was “commenced” after the government “has com-
menced” a lawsuit, not if the citizen suit was filed first.
This conclusion follows our interpretation of the
identical statutory language for citizen suits under the
Clean Water Act (CWA) in Friends of Milwaukee’s Rivers
v. Milwaukee Metropolitan Sewerage Dist., 382 F.3d 743
(7th Cir. 2004). Like RCRA, the CWA prohibits a citi-
zen from commencing a citizen suit “if the Admin-
istrator or State has commenced and is diligently pros-
ecuting a civil or criminal action in a court of the United
States, or a State . . . .” 33 U.S.C. § 1365(b)(1)(B). In
Friends of Milwaukee’s Rivers we held that a state enforce-
ment action filed mere hours after a CWA citizen suit
was filed did not bar the citizen action. See 382 F.3d at 754-
55. We explained that our holding was dictated by the
“clear and unambiguous language” of the CWA’s preemp-
tion provision. Id.; see also PMC, Inc. v. Sherwin-Williams
Co., 151 F.3d 610, 618-19 (7th Cir. 1998) (defendant’s argu-
ment that Illinois’s preliminary and informal administra-
tive acts were sufficient to bar a later-filed citizen suit
could not override RCRA’s plain statutory text that only
an “action” has the barring effect); Chesapeake Bay Founda-
20 No. 10-2237
tion v. American Recovery Co., 769 F.2d 207, 208-09 (4th
Cir. 1985) (CWA citizen suit filed three hours before
state agency suit was entitled to proceed based on plain
language used in verb tenses). Given the identical
language in RCRA in section § 6972(b)(1)(B) and the
CWA in 33 U.S.C. § 1365(b)(1)(B), we see no reason to
hold otherwise here.
The district court reached its different conclusion
based on River Village West, LLC v. Peoples Gas Light and
Coke Co., 618 F. Supp. 2d 847 (N.D. Ill. 2008). The issue
in that case was whether a citizen suit was precluded
under the Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA) § 113(h), 42
U.S.C. § 9613(h), which expressly limits federal courts’
subject matter jurisdiction to bar legal challenges to a
removal or remedial action by the EPA. The district court
in River Village West relied upon CERCLA section 113(h) to
use a later-filed suit to bar an earlier-filed citizen suit
under RCRA. See 618 F. Supp. 2d at 852-53. CERCLA
section 113(h) uses different language that does not
include the temporal limits found in the RCRA
and CWA on citizen suits. Accordingly, the analysis in
River Village West could not extend to this case without
some showing that CERCLA section 113(h) also applies
here. Neither VIM nor the district court has offered a
theory for doing so. Without approving or disapproving
the analysis in River Village West on its own merits, its
analysis does not support the decision to treat the
second IDEM suit as a bar to this RCRA citizen suit.
The later-filed second IDEM suit does not restrict
the plaintiffs’ ability to pursue this citizen suit.
No. 10-2237 21
C. The First IDEM Suit
We turn next to the effect of the first IDEM suit, which
was filed before the plaintiffs filed their citizen suit. Under
the terms of 42 U.S.C. § 6972(b)(1)(B), the earlier govern-
ment action bars this suit if it was a suit “to require
compliance with such permit, standard, regulation,
condition, requirement, prohibition, or order,” i.e., if it
sought to require compliance with the same require-
ments that the plaintiffs seek to enforce in this suit. If
it was, then the plaintiffs’ citizen suit is barred under
RCRA. If it was not, then RCRA allows the two suits to
proceed simultaneously. Based on a close examination
of the lawsuits, including the state court’s rejection of
the plaintiffs’ efforts to pursue their claims by inter-
vening in the first IDEM suit, we conclude that RCRA
allows the plaintiffs to pursue their claims that are
beyond the scope of the first IDEM suit.
We look to the plaintiffs’ federal complaint and
we take judicial notice of matters within the public record:
specifically, the 2007 Agreed Order between VIM and
IDEM, IDEM’s complaint in its first suit, court documents
associated with the plaintiffs’ intervention in the first
IDEM suit, and documents from the second IDEM suit.4
4
VIM moved that we take judicial notice of the docket
in Attorney General of the State of Indiana and Commissioner,
Indiana Department of Environmental Management v. VIM Recy-
cling, Inc., Cause No. 20D01-0912-CC-00619, currently pending
in the Elkhart Superior Court, and Jerry Adkins, et al. v. KC
Industries, LLC, et al., Cause No. 20D01-1005-CT-00038, cur-
(continued...)
22 No. 10-2237
The first IDEM suit sought enforcement of the
IDEM/VIM Agreed Order, which, in turn, dealt primarily
with dumping, processing, and disposal of “C” grade
waste and waste piles. See AO ¶¶ II(3), (4), (5), (6), (9). In
this case, the plaintiffs allege RCRA violations that are
based in part on VIM’s dumping, processing, and disposal
of “C” grade waste. See Complaint ¶ 168(a)-(e). To the
extent that the plaintiffs’ RCRA claims overlap with the
claims IDEM asserted in its first suit with respect to the
“C” grade waste, the district court found, and we agree,
that they cannot be pursued in this citizen action
because of 42 U.S.C. § 6972(b)(1)(B).
But to the extent that the plaintiffs’ claims do not
overlap with those asserted in the first IDEM suit, the
plaintiffs’ claims are not precluded under 42 U.S.C.
§ 6972(b)(1)(B). The plaintiffs’ RCRA claims in this
federal citizen suit also seek relief for “A” grade waste, “B”
grade waste, and other types of solid waste that were
not expressly addressed by IDEM’s allegations in its
first suit.
VIM argues in this federal suit, and the district court
found, that IDEM’s different grades of waste are not
different at all but fall under the general umbrella of
“solid waste.” Following this logic, VIM would have us
conclude that the first IDEM suit, which addressed only
the “C” grade waste, actually encompassed the other
4
(...continued)
rently pending in the Elkhart Superior Court. Its motion
is granted.
No. 10-2237 23
types of waste as well, and its scope completely over-
laps the violation claims in the plaintiffs’ RCRA citizen
suit.
Three aspects of the record undermine VIM’s argument.
First, when the plaintiffs attempted to intervene in
IDEM’s 2008 lawsuit, VIM successfully objected to their
attempts to broaden the scope of that suit beyond the “C”
grade waste to address the other solid wastes that VIM
was dumping and processing at the Elkhart site. The
state court sustained VIM’s objection and prevented the
plaintiffs from expanding the scope of the case beyond
the allegations of IDEM’s complaint to bring in their
additional claims. If the plaintiffs’ proposed claims had
truly overlapped IDEM’s allegations in their entirety,
VIM’s objection (and the court’s ruling) would have
been moot. Having convinced the state court to limit the
case to IDEM’s narrower “C” grade waste allegations, VIM
cannot be permitted to take the opposite position in
federal court and claim that there is no difference
between the cases. This conclusion applies the familiar
equitable principle of judicial estoppel: a party who
prevails on one ground in a prior proceeding cannot
turn around and deny that ground in a later proceeding.
E.g., Butler v. Village of Round Lake Police Dep’t, 585
F.3d 1020, 1022-23 (7th Cir. 2009); Levinson v. United States,
969 F.2d 260, 264-65 (7th Cir. 1992). VIM is simply trying
to have it both ways. We reject the tactic and conclude
that IDEM’s allegations in its 2008 lawsuit do not seek
to require compliance with “such permit, standard,
regulation, condition, requirement, prohibition or or-
der” that the plaintiffs seek to enforce in their RCRA
citizen suit.
24 No. 10-2237
Second, the plaintiffs’ RCRA allegations in this case
encompass “A” grade waste. “A” grade waste is regulated
as a solid waste under RCRA but is not regulated by
Indiana state law. See 329 Ind. Admin. Code § 11-3-1(7)
(exempting “uncontaminated and untreated natural
growth solid waste” from state solid waste regulations).
All of IDEM’s allegations in its first suit against VIM
were brought under Indiana state law. IDEM brought
no claims against VIM under RCRA. IDEM’s first lawsuit
and the plaintiffs’ RCRA citizen suit simply cannot
overlap with respect to “A” grade waste.
Third, it is clear beyond reasonable dispute that IDEM’s
first “C” grade waste lawsuit did not also encompass
VIM’s violations of Indiana law with regard to its treat-
ment and handling of “B” grade waste. Just over a year
after it filed its first lawsuit, IDEM filed its second
lawsuit (discussed above) in which it sought an injunc-
tion to stop VIM from violating Indiana law in its
dumping and processing of “B” grade waste. See 2009
IDEM Complaint ¶ 6(a)-(e). If IDEM’s allegations in its
first lawsuit regarding VIM’s dumping and processing
of “C” grade waste were indeed broad enough to cover
all the solid waste at the site, as VIM now contends,
then IDEM’s second lawsuit would have been unneces-
sary. IDEM itself interprets VIM’s treatment and
handling of “C” grade waste and “B” grade waste as
distinct violations of Indiana’s solid waste regulations.
We too conclude that plaintiffs’ RCRA allegations
about “B” grade waste and “C” grade waste do not over-
lap. For all three of these reasons, we conclude that 42
U.S.C. § 6972(b)(1)(B) does not bar the plaintiffs from
No. 10-2237 25
bringing this citizen suit seeking to enforce RCRA
against VIM with respect to solid wastes other than the
“C” grade wastes.5
Perhaps a more detailed factual record could reveal
that, contrary to our reading of the procedural history
of the various lawsuits against VIM, the different
grades of waste are in fact properly regulated as undiffer-
entiated solid waste. Perhaps, for instance, IDEM’s deci-
sions to file the first lawsuit in 2008 addressing the “C”
grade waste and the second lawsuit in 2009 addressing
the “B” grade waste had nothing to do with the grades
of waste at all but were part of its overall enforcement
strategy. These and other relevant issues may be
properly addressed on remand with more information
5
We are aware of only one other circuit court decision con-
fronting the question whether a government suit addressing
one contaminant at a site bars a RCRA citizen suit addressing
a different contaminant at the same site. In Francisco Sanchez
v. Esso Standard Oil Co., 572 F.3d 1, 12 (1st Cir. 2009), the First
Circuit held that the citizen suit in question was not barred
under section 6972(b)(1)(B) in part because “the two com-
plaints involve different contaminants.” Several other factors
may have influenced the ultimate conclusion in Francisco
Sanchez, including the court’s observation that “[t]he two
complaints also allege distinct violations of [law],” and “the
Commonwealth’s RCRA action expressly implicates [the
defendant] in a different capacity than the instant action.” Id. at
12. The court also found that the government’s suit was in-
tended to protect the public generally, while the citizen suit
dealt “with the potential contamination and clean-up of one
particular property.” Id. at 13.
26 No. 10-2237
than is available from the limited record on a motion to
dismiss for failure to state a claim. Based on the
existing record, however, including VIM’s success in
preventing the plaintiffs from raising their claims as
intervenors in the first IDEM suit, section 6972(b)(1)(B)
does not bar the plaintiffs’ RCRA violation claim in
this citizen suit.
IV. Abstention Doctrines
VIM also persuaded the district court to abstain from
exercising its jurisdiction under the Colorado River and
Burford abstention doctrines. We review the district
court’s decision to abstain under the Colorado River and
Burford doctrines under an abuse of discretion standard.
See International College of Surgeons v. City of Chicago, 153
F.3d 356, 360 (7th Cir. 1998). However, “there is little or
no discretion . . . to abstain in a case that does not meet
traditional abstention requirements, and that determina-
tion is a question of law.” Property & Casualty Insurance
Ltd. v. Central National Ins. Co. of Omaha, 936 F.2d 319,
321 (7th Cir. 1991). That description fits this case. We
find that the district court abused its discretion, and
we reverse.
Federal courts have a “virtually unflagging obligation . . .
to exercise the jurisdiction given them.” Colorado
River, 424 U.S. at 817. This duty to exercise jurisdiction
rests on “the undisputed constitutional principle that
Congress, and not the Judiciary, defines the scope of fed-
eral jurisdiction within the constitutionally permissible
No. 10-2237 27
bounds.” New Orleans Public Serv., Inc. v. Council of City
of New Orleans, 491 U.S. 350, 359 (1989) (emphasis added);
see also Cohens v. Virginia, 19 U.S. 264, 404 (1821) (federal
courts “have no more right to decline the exercise of
jurisdiction which is given, than to usurp that which is
not given”).
Accordingly, a federal court’s ability to abstain from
exercising federal jurisdiction “is the exception, not the
rule,” and can be justified only in exceptional circum-
stances. Ankenbrandt v. Richards, 504 U.S. 689, 705 (1992),
quoting Colorado River, 424 U.S. at 813. As a general
proposition, these exceptional circumstances exist
“where denying a federal forum would clearly serve an
important countervailing interest,” such as “considera-
tions of proper constitutional adjudication,” “regard for
federal-state relations,” or “wise judicial administra-
tion.” Quackenbush v. Allstate Ins. Co., 517 U.S. 706, 716
(1996) (internal quotation marks omitted).
Abstention doctrines are not intended, however, to
alter policy choices that Congress itself considered and
addressed. As the First Circuit recently explained in
rejecting Burford abstention in a RCRA citizen suit, “Ab-
stention is, at its core, a prudential mechanism that
allows federal courts to take note of and weigh significant
and potentially conflicting interests that were not—or
could not have been—foreseen by Congress at the time
that it granted jurisdiction for a given class of cases to
the courts.” Chico Service Station, Inc. v. Sol Puerto Rico
Ltd., 633 F.3d 20, 31 (1st Cir. 2011).
28 No. 10-2237
In section 6972 of RCRA, Congress specified the condi-
tions under which a citizen suit could go forward and
the conditions under which a government enforcement
suit would bar a citizen suit. Those detailed provisions
show that Congress intended to allow a properly filed
citizen suit to go forward when the statutory condi-
tions have been met. In other words, Congress has
already “recognized and addressed the specific clash of
interests at issue” under RCRA, and has already deter-
mined “the situations in which a state or federal
agency’s enforcement efforts will foreclose review of a
citizen suit in federal court.” Chico Service Station, 633
F.3d at 31.
Where a citizen suit has satisfied those conditions
and is not statutorily barred, Congress has expressed
its intent that the citizen suit should proceed. Use of a
judge-made abstention doctrine to refuse to hear the case
can easily amount to “an end run around RCRA” and
is essentially an end-run around congressional will. See
PMC, Inc. v. Sherwin-Williams Co., 151 F.3d 610, 619 (7th
Cir. 1998) (rejecting Burford abstention in RCRA case),
quoted in Chico Service Station, Inc., 633 F.3d at 31 (“To
abstain in situations other than those identified in the
statute thus threatens an ‘end run around RCRA,’ and
would substitute our judgment for that of Congress
about the correct balance between respect for state ad-
ministrative processes and the need for consistent and
timely enforcement of RCRA.”).
Here, the plaintiffs gave the notice required by
section 6972(b)(1)(A) (the “violation” claim) and sec-
No. 10-2237 29
tion 6972(b)(2)(A) (the “endangerment” claim). Their
suit was not barred by government action taken
pursuant to section 6972(b)(1)(B) (the “violation” claim)
or sections 6972(b)(2)(B) and (C) (the “endangerment”
claim). The plaintiffs therefore have met the relevant
conditions set by Congress to have their RCRA claims
heard in federal court. As we explained in PMC, in lan-
guage and reasoning that applies beyond only Burford
abstention: “Congress has specified the conditions under
which the pendency of other proceedings bars suit
under RCRA. . . .” 151 F.3d at 619 (emphasis in original).
The VIM defendants, accordingly, face an unusually
heavy burden to show that abstention is appropriate
under either Colorado River or Burford. As we explain,
they fail to meet it. The district court’s finding other-
wise was an abuse of discretion.
A. Colorado River Abstention
The Colorado River abstention doctrine stems from
Colorado River Water Conservation District v. United
States and permits federal courts to defer to a “concurrent
state proceeding” as a matter of “wise judicial admin-
istration.” 424 U.S. at 818. The doctrine comes into play
when parallel state court and federal court lawsuits are
pending between the same parties. The prudential
doctrine is a matter of judicial economy, but the
Supreme Court cautioned at the birth of this doctrine
that “the circumstances permitting the dismissal of a
federal suit due to the presence of a concurrent state
proceeding for reasons of wise judicial administration
30 No. 10-2237
are considerably more limited than the circumstances
appropriate for [other theories of] abstention.” Id. In the
Colorado River case itself, the Supreme Court held
that a district court properly abstained from deciding
federal water rights questions when the federal govern-
ment itself and the other interested parties were all
parties in comprehensive state court proceedings to
resolve the same questions.
But most relevant to this case, the Supreme Court
began its analysis of the factors relevant to abstention by
examining the relevant federal statute. The statute was
the McCarran Amendment, which gave the consent of
the United States to be a defendant in state court pro-
ceedings over water rights. “The clear federal policy
evinced by that legislation is the avoidance of piece-
meal adjudication of water rights in a river system.”
424 U.S. at 819. The amendment also adopted a policy
that recognized the availability of comprehensive state
court proceedings to resolve water rights within a river
system. Id. The Supreme Court decision creating Colorado
River abstention deferred to those state proceedings in
order to stay consistent with congressional policy. The
Court’s deference to congressional policy was all the
more compelling because both Congress and the Court
were taking the unusual step of requiring the federal
government itself to litigate its claims and defenses in
a state court.
In this case, by contrast, the policy choices by Congress
point in the opposite direction. The RCRA provisions
plainly contemplate and authorize citizen suits going
No. 10-2237 31
forward even if a federal or state agency files a later parallel
action. If we needed to look beyond the statutory
language, we would find in the legislative history a clear
signal from Congress to the courts not to figure out
ways to delay citizen suits to enforce RCRA:
Although the Committee has not prohibited a citizen
from raising claims under state law in a section 7002
action, the Committee expects courts to exercise
their discretion concerning pendent jurisdiction in a
way that will not frustrate or delay the primary goal
of this provision, namely the prompt abatement of
imminent and substantial endangerments.
H.R. Rep. No. 98-198, 1, 98th Cong., 2nd Sess., pt. 1, at 53
(1984), reprinted in 1984 U.S. Code Cong. & Admin. News
5576, 5612.
In addition to conflicting with congressional policy
choices reflected in RCRA itself, the district court’s deci-
sion to abstain here stretched Colorado River abstention
too far. Determining whether Colorado River abstention
should apply requires a district court to make a two-part
inquiry. “First, the court must determine whether the
concurrent state and federal actions are actually parallel.”
Tyrer v. City of South Beloit, 456 F.3d 744, 751 (7th Cir.
2006) (internal quotations omitted). If so, the court must
consider second whether “exceptional circumstances”
justify abstention. VIM’s argument for Colorado River
abstention fail both parts of the test.
Two suits are parallel for Colorado River purposes when
“substantially the same parties are contemporaneously
32 No. 10-2237
litigating substantially the same issues.” Id. at 752 (internal
quotation omitted). Precisely formal symmetry is unneces-
sary. A court should examine “whether the suits involve
the same parties, arise out of the same facts and raise
similar factual and legal issues.” Id. In essence, the ques-
tion is whether there is a “substantial likelihood that
the state litigation will dispose of all claims presented
in the federal case.” Clark v. Lacy, 376 F.3d 682, 686 (7th
Cir. 2004) (internal quotation omitted). “Any doubt
regarding the parallel nature of the [state] suit should be
resolved in favor of exercising jurisdiction.” AAR Inter-
national, Inc v. Nimelias Enterprises S.A., 250 F.3d 510,
520 (7th Cir. 2001).
The plaintiffs contend in their RCRA § 6972(a)(1)(A)
“violation” claim that VIM’s dumping and processing
of “A” grade, “B” grade, and “C” grade waste violated
federal and state laws. They also brought an “endanger-
ment” claim under RCRA § 6972(a)(1)(B). Neither of
these claims, as we have explained above, is barred by
the statutory restrictions in RCRA. Meanwhile, IDEM’s
first and second lawsuits allege that VIM’s dumping
and processing of “C” grade and “B” grade waste, respec-
tively, violate Indiana law.
The first and second IDEM suits are not parallel to
this citizen suit for purposes of Colorado River abstention.
First, and most simply, the parties are different. The
plaintiff in the IDEM suits is the state agency; the plain-
tiffs here are citizens who say they are directly affected
by defendants’ violations. In an ideal world, of course,
one would expect IDEM to represent the interests of
No. 10-2237 33
these citizen-plaintiffs, and we recognize a general align-
ment of their interests even here. But Congress enacted
the citizen-suit provisions of RCRA and other environ-
mental laws because the world is not ideal, because
government agencies face many demands on their re-
sources, because administrations and policy priorities
change, and because regulatory agencies are subject to
the phenomenon known as “agency capture.” See gener-
ally, Rachel E. Barkow, Insulating Agencies: Avoiding Cap-
ture Through Institutional Design, 89 Tex. L. Rev. 15, 21-24
(2010) (summarizing agency-capture phenomenon and
collecting sources); Nicholas Bagley and Richard L.
Revesz, Centralized Oversight of the Regulatory State, 106
Colum. L. Rev. 1260, 1284-85 (2006) (reviewing agency-
capture literature). Under RCRA, therefore, despite a
significant congruence of interests, we cannot treat IDEM
and these plaintiffs as if they were the same party.6
6
Our dissenting colleague points out correctly that Colorado
River abstention does not require precise identity of parties.
Post at 54, citing Clark v. Lacy, 376 F.3d 682, 686 (7th
Cir. 2004). But Clark and the case it followed, Caminiti & Iatarola,
Ltd. v. Behnke Warehousing, Inc., 962 F.2d 698, 700-01 (7th Cir.
1992), each applied Colorado River abstention where one case
was being pursued by a corporation and the parallel suit by
one or more shareholders of the same corporation, for the
benefit of the corporation. The interests of the different plain-
tiffs were therefore more closely aligned than those of IDEM
and these plaintiffs in this case. To focus on the different
interests here, it is worth recalling that when Indiana created
the agency, the legislature deliberately chose to call it not the
(continued...)
34 No. 10-2237
Second, the claims in these cases are different. The
plaintiffs are correct that their claims based on VIM’s
dumping and processing of “A” grade waste cannot be
addressed in the IDEM suits under state law because
Indiana law exempts “A” grade waste from regulation.
See 329 Ind. Admin. Code § 11-3-1(7).
Third, VIM conceded at oral argument that the federal
courts have exclusive jurisdiction over the plaintiffs’
“endangerment” claim.7 Our precedent holds that “where
6
(...continued)
Department of Environmental Protection but the Department
of Environmental Management. Also, the cited cases both arose
under state law, and Congress had not contemplated and
approved the pursuit of similar cases by both the government
agency and citizen-plaintiffs, as Congress did in enacting
RCRA’s citizen-suit provisions.
7
The majority of courts that have examined whether jurisdic-
tion over RCRA citizen suits is exclusively federal have con-
cluded that it is. See Blue Legs v. United States Bureau of Indian
Affairs, 867 F.2d 1094, 1098 (8th Cir. 1989) (stating that federal
courts have exclusive jurisdiction over RCRA citizen suits);
Interfaith Community Organization Inc. v. PPG Indus., Inc., 702
F. Supp. 2d 295, 307 (D.N.J. 2010) (same); Remington v. Mathson,
2010 WL 1233803, at *8-9 (N.D. Cal. Mar. 26, 2010) (same);
City of Waukegan v. Arshed, 2009 WL 458621, at *1, 3 (N.D. Ill.
Feb. 23, 2009) (“Indeed, although not entirely a settled matter,
most courts have held that RCRA actions are exclusively
federal”); Marrero Hernandez v. Esso Standard Oil Co.,
597 F. Supp. 2d 272, 282 (D. P. R. 2009) K-7 Enters., L.P. v.
Jester, 562 F. Supp. 2d 819, 827 (E.D. Tex. 2007); White &
(continued...)
No. 10-2237 35
a plaintiff’s nonfrivolous claim invokes the exclusive
jurisdiction of federal courts, the Colorado River stay is not
appropriate.” See Medema v. Medema Builders, Inc., 854
F.2d 210, 215 (7th Cir. 1988); see also Chico Service Station,
633 F.3d at 31 (noting cases holding that federal courts
have exclusive jurisdiction over RCRA suits and ex-
plaining “we are leery of abstaining where litigants may
be unable to press their federal claims in a state fo-
rum”). Thus, neither IDEM’s first nor second suit—suits
that were brought in Indiana state courts exclusively
under Indiana state law—could fully dispose of either
of the plaintiffs’ RCRA claims. This is true regardless of
the facts that VIM is a defendant in both actions, that the
plaintiffs’ interests are generally aligned with IDEM’s
interests, and that both suits generally deal with VIM’s
treatment of “solid waste” at the same facility. The plain-
tiffs’ RCRA claims could not be fully “parallel” with
either of IDEM’s suits for purposes of the district court’s
abstention under the Colorado River doctrine. The district
court’s finding otherwise was an abuse of discretion.
Even if the suits were parallel, VIM’s abstention argu-
ment also fails at the second step of the Colorado River
analysis: whether “exceptional circumstances” justify
7
(...continued)
Brewer Trucking, Inc. v. Donley, 952 F. Supp. 1306, 1312 (C.D.
Ill. 1997); but see Davis v. Sun Oil Co., 148 F.3d 606, 611-12 (6th
Cir. 1998) (comparing jurisdictional language in RCRA to
Title VII jurisdictional language analyzed by the Supreme
Court in Yellow Freight System, Inc. v. Donnelly, 494 U.S. 820, 823
(1990), and holding that federal courts do not have exclusive
jurisdiction over RCRA citizen suits).
36 No. 10-2237
abstention. See Tyrer, 456 F.3d at 751. The court’s task
“is not to find some substantial reason for the exercise
of federal jurisdiction by the district court; rather, the
task is to ascertain whether there exist ‘exceptional’
circumstances, the ‘clearest of justifications,’ that can
suffice under Colorado River to justify the surrender of that
jurisdiction.” Moses H. Cone Memorial Hosp. v. Mercury
Construction Corp., 460 U.S. 1, 25-26 (1983) (emphasis in
original). In our circuit, “the court must consider a
number of non-exclusive factors that might demonstrate
the existence of exceptional circumstances.” Clark, 376
F.3d at 685 (internal quotations omitted). Those factors
include:
1) whether the state has assumed jurisdiction over
property; 2) the inconvenience of the federal forum;
3) the desirability of avoiding piecemeal litigation;
4) the order in which jurisdiction was obtained by
the concurrent forums; 5) the source of governing
law, state or federal; 6) the adequacy of state-court
action to protect the federal plaintiff’s rights; 7) the
relative progress of state and federal proceedings;
8) the presence or absence of concurrent jurisdiction;
9) the availability of removal; and 10) the vexatious
or contrived nature of the federal claim.
Tyrer, 456 F.3d at 754 (citation omitted); see also Moses H.
Cone Memorial Hosp., 460 U.S. at 23-27; Colorado River,
424 U.S. at 818-19. These factors are not meant to be a
“mechanical checklist,” but require careful balancing by
the federal district court. See Moses H. Cone Memorial
Hosp., 460 U.S. at 16. “The weight to be given to any one
No. 10-2237 37
factor may vary greatly from case to case, depending on
the particular setting of the case,” but in any case, the
evaluation must be made “with the balance heavily
weighted in favor of the exercise of jurisdiction.” Id.
The district court found there was “a very real threat
of piecemeal litigation,” which would duplicate the
amount of judicial resources needed to resolve the
dispute and present the possibility of inconsistent re-
sults. For reasons previously stated, we believe that
the district court put too much weight on this factor in
the context of a RCRA suit. The text of section 6972
shows that Congress envisioned, embraced, and expressly
permitted parallel (i.e., “piecemeal”) litigation when the
citizen suit has satisfied RCRA’s statutory conditions.
Congress determined, in the context of a RCRA citizen
suit, that judicial efficiency simply is not the para-
mount concern. The statute permits citizen and govern-
ment lawsuits to be prosecuted simultaneously, so long
as the citizen-plaintiffs have complied with the notice
and prior filing requirements in the statute. Because
Congress was not troubled by “piecemeal litigation” and
the potential for inconsistent outcomes, the factor is not
an extraordinary circumstance required for Colorado
River abstention.
Our dissenting colleague points out correctly that
RCRA gives states a vital role in managing environmental
problems to protect the health and safety of their resi-
dents. Post at 56-57. But when we look at RCRA as a
whole, we see that Congress also chose not to place
absolute faith in state and federal agencies. It provided
38 No. 10-2237
for citizen suits to enable affected citizens to push for
vigorous law enforcement even when government
agencies are more inclined to compromise or go slowly.
The plaintiffs in this case are doing nothing more
than exercising the rights that Congress gave them to
protect their own health and safety.
Our dissenting colleague also asserts that we have not
identified a federal interest that would be impaired if this
federal action is stayed pending outcome of the state
actions. Post at 60. With respect, we do not believe
that plaintiffs were required to do so, especially at the
early stage of their federal lawsuit, which was not
stayed but actually dismissed. Congress authorized this
action to be filed when the federal and state agencies
chose not to respond with their own actions within
the prescribed waiting period. That failure to respond
is reason enough, under RCRA, to allow the federal
action to proceed and to give these plaintiffs the oppor-
tunity to act for themselves. We think it unlikely that
these plaintiffs want to waste their time and energy on
truly unnecessary litigation. If they can be satisfied in
the future that IDEM is in fact protecting their interests
adequately, they may choose to drop this lawsuit.
But Congress and RCRA have given that choice to plain-
tiffs, not to the federal courts. Until the plaintiffs make
that choice, they are entitled to push for more vigorous
enforcement of the laws designed to protect their health,
safety, and property. When this case finally addresses
the merits, and if the IDEM actions have been resolved by
then, the federal court will be entitled to insist that plain-
tiffs show how the resolution of those cases was not
No. 10-2237 39
sufficient. But plaintiffs need not make such a showing
at this early stage of the federal litigation.
Remember, too, that in this case, before the plaintiffs
filed their federal suit under RCRA, they attempted to
intervene in IDEM’s first suit to bring their claims. Based
on VIM’s objection, they were rebuffed. In other words,
but for VIM’s objection, there would be no piecemeal
litigation. Much of the substance of plaintiffs’ RCRA
claims would have been encompassed in IDEM’s first
suit, as would the “B” waste claims in IDEM’s second
suit, for that matter. Having successfully blocked the
plaintiffs’ attempt to bring all of these claims in IDEM’s
first suit, VIM should not now be able to object to
having to defend itself simultaneously against claims by
the state and the citizen-plaintiffs. As we said above, VIM
cannot have it both ways. We give no weight to this
factor of the Colorado River analysis in the context of a
RCRA citizen suit, particularly one in which the defen-
dants succeeded in thwarting the plaintiffs’ efforts to
bring their claims in the first action.
The district court also found that the state court was
fully capable of providing an adequate remedy and that
the plaintiffs’ RCRA claims were really state law claims
dressed as RCRA claims: “While superficially it may
appear that federal law governs the outcome of plaintiff’s
RCRA claims, that is not really the situation.” Particularly
with regard to the “A” grade waste and the plaintiffs’
RCRA “endangerment” claim, each of these proposi-
tions is incorrect. Again, IDEM has not brought claims
under federal law in either of its suits, and “A” grade
40 No. 10-2237
waste is regulated only under federal law. There is no
reason to expect that state courts hearing IDEM’s first
and second suits will be able to provide any remedy at
all with regard to the “A” grade waste. Nor will the
state courts be able to take action under RCRA’s “endan-
germent” provision. VIM concedes that jurisdiction for
a claim brought under that RCRA provision lies ex-
clusively in federal court. These are not extraordinary
circumstances that might warrant abstention.8
The district court’s use of Colorado River abstention in
this case was unprecedented. VIM, the district court, and
our dissenting colleague have not identified any case
in any court, apart from the district court’s decision in
this case, in which a RCRA citizen suit that complied
with the statutory requirements was nevertheless stayed
or dismissed under Colorado River. Given Congress’s clear
expression of its intent to permit parallel, simultaneous
litigation in RCRA cases, many other courts hearing
this issue under RCRA or under the CWA, with its identi-
8
VIM argues that if the state courts order full remediation of
the “C” grade and “B” grade waste as a result of IDEM’s
pending lawsuits, then the plaintiffs’ “endangerment” claims
will disappear because any endangerment posed by the waste
at the site will have been cured. This speculation—that the
plaintiffs’ claims might become moot at some point in the
future if the state courts provide a sufficient remedy for prob-
lems at the VIM facility—is not helpful in the Colorado River
analysis. The point is that, at least at this stage of the case, we
cannot assume that either of the plaintiffs’ RCRA claims can
be adequately remedied by the state court.
No. 10-2237 41
cal statutory language, have declined to abstain under
Colorado River. See, e.g., Snellback Properties, L.L.C. v. Aetna
Development Corp., 2009 WL 1606945, at *2 (N.D. Ill. June 9,
2009) (Colorado River abstention not appropriate for
RCRA claims); Spillane v. Commonwealth Edison Co., 291 F.
Supp. 2d 728, 735 (N.D. Ill. 2003) (same); Long Island
Soundkeeper Fund, Inc. v. New York City Dep't of Environ-
mental Protection, 27 F. Supp. 2d 380, 385 (E.D.N.Y. 1998)
(Colorado River abstention improper for CWA citizen suit;
a stay “would effectively rewrite the citizen suit provision
of the CWA”); Mutual Life Ins. Co. of New York v. Mobil
Corp., 1998 WL 160820, at *5 (N.D.N.Y. Mar. 31, 1998)
(rejecting Colorado River abstention for RCRA and CWA
claims); Pirgim Public Interest Lobby v. Dow Chemical Co.,
1996 WL 903838, at *5-7 (E.D. Mich. Feb. 16, 1996) (rejecting
Colorado River abstention under CWA where citizen-
plaintiffs complied with statute and “citizen input is
specifically contemplated and provided for under the
Clean Water Act”).
The cases VIM has cited are inapposite. One, from the
Fifth Circuit, stands for the uncontroversial proposition
that a RCRA citizen suit that is not statutorily preempted
must satisfy the case-or-controversy requirements of
Article III of the Constitution. Environmental Conservation
Org. v. City of Dallas, 529 F.3d 519, 526 (5th Cir. 2008)
(mootness inquiry is appropriate in a citizen suit
brought under the CWA). VIM also looks to our ruling in
Friends of Milwaukee’s Rivers in which we remanded for
further development of the defendants’ arguments that
the plaintiff’s suit was barred by res judicata. See 382 F. 3d
at 765. Neither of these cases assists VIM. We do not
42 No. 10-2237
suggest, of course, that once a citizen suit has cleared
RCRA’s statutory hurdles it is immune from all other
constitutional and preclusive doctrines, such as standing,
mootness, and claim or issue preclusion. None of these
hurdles are problems here. The district court abused
its discretion by invoking Colorado River abstention to
decline to hear this citizen suit under RCRA where the
plaintiffs have met the statutory requirements set by
Congress.9
B. Burford Abstention
The district court also held that abstention was appro-
priate under the Burford abstention doctrine, stemming
from Burford v. Sun Oil Co., 319 U.S. 315, 317-18 (1943),
which involved a federal court challenge to the validity
9
When abstention is appropriate under Colorado River, our
circuit has a strong preference for a stay rather than a
dismissal of the federal suit. As we explained in Lumen Con-
struction, Inc. v. Brant Construction Co., 780 F.2d 691, 698 (7th
Cir. 1986): “A dismissal, even without prejudice, creates a
risk that the federal plaintiff will be time-barred from re-
instating his federal suit if the state proceeding does not
result in a final decision on the merits.” A stay permits the
court to retain jurisdiction and “has the additional advantage
of bringing the case back before the same federal judge if a
determination is needed as to the preclusive effects of the
state judgment or decisions.” Id. On this point, all members
of the panel agree that it was an abuse of discretion to
dismiss the case under Colorado River, though Judge Ripple
would affirm a stay, if the district court had only stayed the case.
No. 10-2237 43
of a Texas Railroad Commission order granting a permit
to drill oil wells. Texas had established a comprehensive
regulatory regime for the oil and gas industries that was
administered by the Commission. See id. at 320-25.
The state had also created a thorough, particularized
system of judicial review where Commission orders could
be appealed to state courts in only one particular county.
See id. at 325-27. The Burford Court recognized Texas’s
interest in a unified gas and oil policy due to the signifi-
cance of those industries in the state’s economy. See id. at
320. Because Texas had routed all Commission cases
through the state court in one county, that court had
become specially equipped to handle those cases. The
Supreme Court found that parallel federal court jurisdic-
tion would interfere with a specially designed state
regulatory scheme. See id. at 332-34.
Later cases refined the doctrine to two narrow situa-
tions in which federal courts may abstain under Burford.
First, a federal court may choose to abstain when it is
faced with “difficult questions of state law” that implicate
significant state policies. See New Orleans Public Serv.,
Inc. v. Council of City of New Orleans, 491 U.S. 350, 361 (1989)
(“NOPSI”); Colorado River, 424 U.S. at 814 (discussing
Burford abstention). (The district court here correctly
determined that this type of abstention did not apply, and
VIM does not challenge this conclusion.) Second, absten-
tion also may be appropriate when concurrent federal
jurisdiction would “be disruptive of state efforts to estab-
lish a coherent policy with respect to a matter of substan-
tial public concern.” NOPSI, 491 U.S. at 361, quoting
Colorado River, 424 U.S. at 814. In other words, federal
44 No. 10-2237
courts may abstain when principles of federalism
warrant deference to a state’s regulatory regime. The
district court found that this second basis for Burford
abstention was appropriate because Indiana has acted
to achieve its own environmental goals by designing a
regulatory regime to develop, control and preserve the
environment on a statewide basis, and that the plaintiffs’
suit would require the district court to second-guess
IDEM’s application of Indiana law. We disagree with the
district court’s conclusion.
Our cases teach that for this second basis of Burford
abstention to apply, the mere existence of a statewide
regulatory regime is not sufficient. The state must “offer
some forum in which claims may be litigated,” and this
forum must “stand in a special relationship of technical
oversight or concentrated review to the evaluation of
those claims.” Property & Casualty Insurance Ltd., 936 F.2d
at 323. In other words, judicial review by state courts
with specialized expertise is a prerequisite to Burford ab-
stention. See International College of Surgeons, 153 F.3d at
364 (Burford abstention was not appropriate because
any court of general jurisdiction could review final admin-
istrative decisions); Nelson v. Murphy, 44 F.3d 497, 501
(7th Cir. 1995) (because Illinois did not seek to impose
a uniform policy regarding the treatment of mentally ill
persons confined in its mental facilities and instead
divided responsibility among its criminal courts state-
wide, Burford abstention did not apply).
Suits brought under Indiana’s environmental laws are
heard in courts of general jurisdiction throughout the
No. 10-2237 45
state. See Ind. Code § 13-30-1-9. Unlike the specialized
state court that heard appeals from the Texas Railroad
Commission decisions in Burford, Indiana courts of
general jurisdiction do not “stand in a special relation-
ship of technical oversight or concentrated review” to
evaluate environmental claims. See Property & Casualty
Insurance Ltd., 936 F.2d at 323.1 0 Conceding that Indiana
courts of general jurisdiction are not “specialized courts,”
VIM nonetheless contends that the Indiana system for
handling solid waste claims qualifies as a “special pro-
ceeding” warranting Burford abstention. VIM points out
that a court may appoint a special master with expertise
in environmental actions, Ind. Code § 13-30-1-10, and
that the statute provides for specific relief in these types
of suits, Ind. Code § 13-30-1-11. But Burford itself speaks
to this argument. It teaches that judicial review must,
by state legislative design, be concentrated in a few
particular courts for its narrow abstention doctrine to be
applicable.11 See 319 U.S. at 326-27. The Indiana courts of
10
As we explain below, decisions by a state administrative
agency regarding the grant or denial of a permit may be
different, see, e.g., Ind. Code § 13-15-6-1 (directing appeals
from a permit decision by the IDEM Commissioner to the
Office of Environmental Adjudication), but this is not a permit
case.
11
In at least one of our prior decisions we used the phrases
“specialized forum” and “specialized proceeding” interchange-
ably, see, e.g., Property and Casualty Insurance Ltd., 936 F.2d at
323. However, our meaning was clear. Where a “large body of
(continued...)
46 No. 10-2237
general jurisdiction do not satisfy this essential condition
of Burford abstention. The mere existence of a state reg-
ulatory regime, even one providing an option for
special masters and specific relief, does not permit fed-
eral courts to abstain. See NOPSI, 491 U.S. at 362.
We rejected arguments parallel to VIM’s in PMC Inc. v.
Sherwin Williams Co., 151 F.3d at 619. VIM makes no real
effort to distinguish our reasoning in that case, in which
we found that where a plaintiff’s RCRA claim had satis-
fied the statutory requirements set by Congress, Burford
abstention would be “an end run around RCRA.” The
First Circuit recently agreed with this reasoning and
reversed a district court’s Burford abstention in a RCRA
citizen suit. See Chico Service Station Inc., 633 F.3d at 31-34;
see also Boyes v. Shell Oil Products Co., 199 F.3d 1260, 1270
(11th Cir. 2000) (finding that district court’s abstention
from exercising its jurisdiction to hear RCRA under
Burford and primary jurisdiction doctrines was improper
because RCRA preempted state law). The majority of
district courts addressing Burford abstention in this
context have also refused to abstain. See, e.g., Interfaith
Community Org., 702 F. Supp. 2d at 307-10 (rejecting Burford
and Colorado River abstention); K-7 Enterprises, 562 F. Supp.
2d at 826-28 (rejecting Burford abstention); College Park
Holdings, LLC v. Racetrac Petroleum, Inc., 239 F. Supp. 2d
11
(...continued)
courts” could provide judicial review, there is no specialized
forum or proceeding that offers the essential technical oversight
needed for Burford abstention to apply. See id.
No. 10-2237 47
1322, 1326-29 (N.D. Ga. 2002) (rejecting abstention
under Burford and primary jurisdiction doctrine); White
& Brewer Trucking, 952 F. Supp. at 1311-14 (rejecting
Burford abstention); Craig Lyle Ltd. P’ship v. Land O’Lakes,
Inc., 877 F. Supp. 476, 483-84 (D. Minn. 1995) (rejecting
abstention under Burford and the primary jurisdiction
doctrine).
VIM relies on one case from the Sixth Circuit in which
Burford abstention was upheld in a RCRA citizen suit, but
that case and several others like it are easily distinguish-
able. They all amounted to improper collateral attacks
on permitting decisions for which there were other chan-
nels for judicial review. In Coalition For Health Concern
v. LWD, Inc., 60 F.3d 1188, 1195 (6th Cir. 1995), the Sixth
Circuit found that the district court should have
abstained from hearing a RCRA citizen suit that chal-
lenged the hazardous waste permits that were issued
under Kentucky’s regulatory system. See id. at 1195; see
also Palumbo v. Waste Technologies Indus., 989 F.2d 156, 159-
60 (4th Cir. 1993) (Burford abstention warranted in a
RCRA citizen suit brought under section 6972(a)(1)(B)
against the operators of an incinerator; suit was a
collateral attack on operating permits issued to the inciner-
ator by the state of Ohio); Ada-Cascade Watch Co. v. Cascade
Resource Recovery Inc., 720 F.2d 897, 903-06 (6th Cir. 1983)
(Burford abstention appropriate in plaintiffs’ challenge to
Michigan’s decision to issue permit to hazardous waste
facility, where state had developed a complex and system-
atic permit review process and state law centralized
challenges to that process in a specific court); Sugarloaf
Citizens Ass’n v. Montgomery County, 33 F.3d 52, 1994 WL
48 No. 10-2237
447442, at *6 (4th Cir. 1994) (unpublished decision) (plain-
tiffs’ RCRA claims were a collateral attack on permitting
decision by state environmental agency; abstention
under Burford was warranted to avoid interference
in complex statutory scheme); see also 42 U.S.C.
§ 6972(b)(2)(D) (prohibiting use of § 6972 (a)(1)(B) to
challenge permitting decisions). In other words, the
plaintiffs were acting contrary to the states’ respective
decisions to issue the permits in question, not in concert
with those decisions.1 2 It is unsurprising that, in that
limited context, the Sixth and Fourth Circuits would
conclude that those collateral attacks would “be disrup-
tive of state efforts to establish a coherent policy,” NOPSI,
491 U.S. at 361, and that in that context, very different
from the one here, Burford abstention could play a role.
Here, however, the plaintiffs’ citizen suit is not a collat-
eral attack on any permitting or other regulatory decision
by the State of Indiana. The plaintiffs’ suit is structured
to complement and enhance IDEM’s efforts, as citizen
suits brought under RCRA should. See H.R. Rep. No.
98-198, pt. I, at 53 (1983), reprinted in 1984 U.S.C.C.A.N.
5576, 5612 (in the course of amending RCRA to broaden
its citizen suit authority, noting that citizen suits “comple-
ment, rather than conflict with” agency enforcement of
12
Additionally, Ohio and Michigan each used an administrative
procedure that directed the review of permitting decisions to
one state agency or commission—the specialized forum or
proceeding necessary to support Burford abstention. See
Palumbo, 989 F.2d at 159 (Ohio); Ada-Cascade Watch Co., 720
F.2d at 905 (Michigan).
No. 10-2237 49
the law); see also Gwaltney of Smithfield, Ltd. v. Chesapeake
Bay Foundation, Inc., 484 U.S. 49, 60 (1987) (a “citizen suit
is meant to supplement rather than to supplant govern-
mental action”). Allowing the plaintiffs to bring their
citizen suit under RCRA in federal court will not disrupt
IDEM’s comprehensive regulatory efforts. To the con-
trary, exercise of federal jurisdiction in these circum-
stances will further federal and state environmental
policy goals without any real risk of disruption of regula-
tory efforts by the concerned governmental agencies. The
district court’s decision to abstain from exercising its
jurisdiction under Burford was an abuse of discretion.
Finally, we recognize that the busy district court’s
decision to abstain in this case was based on a healthy
respect for state courts and a desire to avoid duplicating
or interfering with their efforts. For the reasons we have
explained, we believe the congressional policy choices
reflected in the RCRA citizen-suit provisions remove
the abstention options from the district court’s toolbox.
The district court retains other tools for working
smoothly with the state courts. There is no reason the
federal and state judges cannot confer with one another
and coordinate their management of the related cases,
including discovery. Federal district judges often need
to make such efforts to coordinate with state trial judges
when dealing with the complexities of multidistrict
litigation under 28 U.S.C. § 1407 and when dealing with
complex discovery and other coordination problems.
If IDEM should achieve comprehensive relief in its
state court lawsuits, the federal judge will be entitled to
50 No. 10-2237
press the citizen-plaintiffs as to what more they hope to
accomplish in this suit. We emphasize, however, that
the federal court in this case has a duty to press forward
here. Congress has extended to these plaintiffs the right
to pursue relief in a federal district court. The plaintiffs
are not required to rely exclusively on the state agency
in lawsuits in which they may only watch from the side-
lines. The goal of RCRA is “the prompt abatement of
imminent and substantial endangerments,” and the
district court has a duty not to allow progress toward
that goal to be derailed or slowed because of possible
delays in state proceedings. See Blue Legs, 867 F.2d at
1098, quoting H.R. Rep. No. 98-198, 1, reprinted in 1984
U.S.C.C.A.N. 5576, 5612.
V. Conclusion
The plaintiffs’ RCRA citizen suit should go forward,
except as to the violation claims concerning “C” grade
waste that were part of the first IDEM lawsuit against
defendant VIM. In all other respects, the plaintiffs met
the statutory requirements of RCRA. Because the plain-
tiffs satisfied the statutory requirements for bringing
their citizen suit, abstention doctrines should not have
been used to block the plaintiffs from pursuing the
avenues that Congress gave them in RCRA. The district
court’s judgment dismissing the case is R EVERSED and
the action is R EMANDED for further proceedings.
No. 10-2237 51
R IPPLE, Circuit Judge, concurring in part and dissenting
in part. I join the majority opinion on several issues, but
I cannot agree with the majority’s discussion and conclu-
sion regarding abstention under Colorado River Water
Conservation District v. United States, 424 U.S. 800 (1976).
I therefore must respectfully dissent.
A.
I concur with my colleagues on several issues. I agree
that the statutory bar against citizen suits in RCRA is not
jurisdictional. The majority opinion also correctly holds
that the statutory bar does not apply to Count II of the
plaintiffs’ complaint, seeking relief under the “endanger-
ment” provision of RCRA, 42 U.S.C. § 6972(a)(1)(B).
Regarding the plaintiffs’ claim under the “violations”
provision of RCRA, 42 U.S.C. § 6972(a)(1)(A), I concur
that the first state action, filed by IDEM in October 2008,
does not completely bar this claim. That the focus of the
first IDEM suit is narrower than the action that the plain-
tiffs sought to bring is evident from the plaintiffs’ denial
by the state court to intervene and from IDEM’s filing of
a second suit. The second IDEM suit, as the majority
concludes, was filed too late to constitute a bar to the
plaintiffs’ federal suit.
I also agree with the majority’s candid admission that
the precise contours of the IDEM suits are difficult to
ascertain. More importantly, the exact contours of the
relief that might be granted in the IDEM suits are difficult
to predict. Finally, I concur that the district court abused
52 No. 10-2237
its discretion in finding abstention under the Burford v.
Sun Oil Co., 319 U.S. 315 (1943), doctrine appropriate.
B.
Where I part company from my colleagues is with
respect to their application of the Colorado River absten-
tion doctrine. Even here, my disagreement is not total.
Nevertheless, I view the position taken by my colleagues
to be an overly rigid one, which, under the circumstances
of this case, produces a result contrary to the overall
intent of RCRA and a procedural straitjacket for district
courts in future cases.
The starting point must be the applicable standard of
review. It is clearly established that the applicable
standard of review for our scrutiny of a district court’s
decision to invoke the Colorado River abstention doctrine
is abuse of discretion. Prop. & Cas. Ins. Ltd. v. Cent. Nat’l
Ins. Co. of Omaha, 936 F.2d 319, 321 (7th Cir. 1991); see also
Will v. Calvert Fire Ins. Co., 437 U.S. 655, 664 (1978). Ad-
mittedly, given this standard’s rhetorical cast, it is inher-
ently vague and therefore susceptible to application
with different degrees of vigor. However, at bottom, it
simply requires that appellate courts allow district courts
a significant amount of discretion to choose among
the options that we might expect a reasonable trial jurist
to consider in the situation at hand. United States v.
Depoister, 116 F.3d 292, 294 (7th Cir. 1997).
That said, there can be no doubt that abstention must
be invoked with great care and circumspection because
No. 10-2237 53
it constitutes an abnegation of the authority given the
federal courts by statute. See Colorado River, 424 U.S. at 813.
This hortatory principle is helpful and, indeed, essential,
to our understanding of the abstention doctrine. That
said, the principle does not become a working rule of
decision until we focus on the relationship between the
particular statutory cause of action and the particular
abstention doctrine at issue. See New Orleans Pub. Serv.,
Inc. v. Council of the City of New Orleans, 491 U.S. 350, 359-
60 (1989).
This task is especially crucial, and nuanced, when the
abstention doctrine at issue is the Colorado River doctrine.
This doctrine, as it has been developed in federal juris-
prudence over the last several decades, is a particularly
flexible tool that is far more susceptible to harmoniza-
tion with substantive statutory schemes than some of
its abstention cousins. Most notably, it does not require,
in its usual application, a total abnegation of federal
jurisdiction. Instead, it simply allows a prudent exercise
of discretion in order to postpone federal judicial action
that might intrusively impair the work of state courts
or result in duplication of effort or even in conflicting
determinations. See Lumen Constr., Inc. v. Brant Constr. Co.,
780 F.2d 691, 698 (7th Cir. 1986).
As I have indicated at the threshold of this opinion,
there is no question that, given the dilatoriness of IDEM
in filing the second suit in state court, the plaintiffs
have the right to file, and to maintain, their federal action.
That is not the issue we must resolve. Rather, we must
determine whether the district court abused its discre-
54 No. 10-2237
tion when it determined that the two state court actions
ought to proceed without a simultaneous proceeding in
federal court.
It is clear that, with respect to at least one aspect of its
determination, the district court did abuse its discretion
because it dismissed the federal suit. Our precedent makes
clear that a stay is the appropriate course of proceeding
when Colorado River abstention is invoked. Lumen Constr.,
Inc., 780 F.2d at 698. But does this misstep necessarily
render the remainder of the district court’s analysis an
abuse of discretion? This inquiry requires a pragmatic
assessment of the circumstances and a careful examina-
tion of the policies that animate the RCRA statute.
The test articulated for the invocation of the Colorado
River doctrine requires parallel litigation and extra-
ordinary circumstances. The district court’s conclusion
that both requirements are present and that abstention
was the better course of proceeding was certainly one
of the reasonable choices open to the district court. Re-
garding parallel litigation, we have never required that
the parties in the case be identical. See Clark v. Lacy, 376
F.3d 682, 686 (7th Cir. 2004). Here, no one has suggested
that the state, in its role as protector of the health and
safety of its citizens, has an interest in any way adverse
to that of the plaintiffs. Just as importantly, all of the
federal and state actions involve the same plot of land,
the same alleged activity and the removal of essentially
the same waste from that land. Exceptional circum-
No. 10-2237 55
stances, which counsel in favor of abstention, also exist.1
Although the plaintiffs have alleged claims under RCRA,
the primary source of law is state law: Indiana’s Solid
Waste Management Plan, enacted pursuant to RCRA. The
state court also first obtained jurisdiction, and at least
one of the state court proceedings, the second suit filed
by IDEM, has progressed relatively further than this
federal case; indeed, the parties in the state case have
submitted an agreed order to the state court.
Additionally, the state proceedings seem adequate to
address all of the plaintiffs’ interests. Neither the parties
nor the majority have identified a federal interest that is
in any way impaired if the federal action is stayed
pending the outcome of the state action. The district court
was entitled to conclude that the concern in RCRA for
prompt attention to endangerments is met by the two
1
As quoted by the majority, factors to consider in determining
extraordinary circumstances include:
1) whether the state has assumed jurisdiction over prop-
erty; 2) the inconvenience of the federal forum; 3) the
desirability of avoiding piecemeal litigation; 4) the order
in which jurisdiction was obtained by the concurrent
forums; 5) the source of governing law, state or federal;
6) the adequacy of state-court action to protect the federal
plaintiff’s rights; 7) the relative progress of state and
federal proceedings; 8) the presence or absence of con-
current jurisdiction; 9) the availability of removal; and
10) the vexatious or contrived nature of the federal claim.
Tyrer v. City of South Beloit, 456 F.3d 744, 754 (7th Cir. 2006)
(citation and quotation marks omitted).
56 No. 10-2237
state court proceedings addressing VIM’s operations. The
plaintiffs claim that the federal suit involves a wider
range of waste, but the contours of the state actions are
not entirely clear. Nor is it apparent that the neat
analytical boxes into which the plaintiffs have categorized
the waste for purposes of identification are, as a matter
of fact, substantially different from the objectives of the
two state suits. How the plaintiffs’ “endangerment” claim
differs substantively from the claims of IDEM in the
state proceedings is also not shown. It simply is not
clear what, if anything, will be left for the federal suit
to undertake if the state prevails, in any substantial way,
in the state actions. Nor is it evident that there will be a
need for any substantial additional remediation after
the state actions have run their course.
The majority opinion emphasizes that it gives no
weight to the threat of piecemeal litigation. In doing so,
the majority focuses solely on that section of the RCRA
statute that provides for a citizen suit when the state
has been nonresponsive or inadequately responsive to
the citizens’ complaint. See 42 U.S.C. § 6972(b). Although
this section no doubt ought to be the primary focus of
our inquiry, in determining the propriety of an absten-
tion decision, it is especially important to read that
section within the context of the entire statutory scheme.
When we read that section in the context of the entire
RCRA statute, two points become especially salient to
our analysis. First, the statutory scheme places great
emphasis on permitting the state government to
manage environmental problems that endanger the
No. 10-2237 57
health and safety of its residents.2 This concern is
especially important when, as here, it is the state that has
developed and implemented the waste disposal plan and
implements it through state law. 3 Second, the situation
before us is hardly typical of a RCRA citizen suit in
which a citizen makes application to the state for relief
and is denied, thus triggering the right to a citizen suit
under RCRA. Here, the state had in fact commenced
one action focused on at least part of the violation and,
albeit after the deadline stated in RCRA, commenced
another action aimed at abating more of the waste of
which the plaintiffs complain. Therefore, the potential
for duplicative proceedings, which could result in confu-
sion and waste is a concern that militates towards
applying abstention.
Our prior precedent and the holdings of sister circuits do
not constrain application of the Colorado River abstention
doctrine in a federal citizen suit under RCRA.4 Courts
2
The stated objectives of RCRA reflect a vision of state-federal
cooperation. See 42 U.S.C. § 6902(a). Specifically, states
would create and implement, under RCRA, comprehensive
plans regulating solid waste. See 42 U.S.C. § 6941.
3
See Indiana’s Solid Waste Management Plan, approved by
the EPA and codified in the Indiana Code in section 13-20
and in Title 328 of the Indiana Administrative Code.
4
The majority opinion cites to five district court decisions
finding abstention under the Colorado River doctrine inapplicable
in a federal suit under RCRA or the Clean Water Act (“CWA”).
(continued...)
58 No. 10-2237
previously have held abstention under the Burford
doctrine inappropriate for federal suits under RCRA. See
Chico Serv. Station, Inc. v. Sol Puerto Rico Ltd., 633 F.3d 20,
31-32 (1st Cir. 2011); PMC, Inc. v. Sherwin-Williams Co., 151
F.3d 610, 619 (7th Cir. 1998). However, abstention under
4
(...continued)
Slip Op. at 41. Three of these opinions found abstention under
the Colorado River doctrine inapplicable because only the federal
case raised environmental claims under RCRA or CWA, and the
state case involved only tort claims. See Snellback Prop., L.L.C. v.
Aetna Dev. Corp., 2009 WL 1606945, at *1 (N.D. Ill. June 9, 2009);
Spillane v. Commonwealth Edison Co., 291 F. Supp. 2d 728, 731
(N.D. Ill. 2003); Mut. Life Ins. Co. of New York v. Mobil Corp., 1998
WL 160820, at *5 (N.D.N.Y. Mar. 31, 1998). In contrast, the
state proceedings in this case deal with violations under Indi-
ana’s Solid Waste Management Plan, similar to the federal
suit. In fact, it is not clear whether the federal claims are
actually substantively different from IDEM’s claims in state
court.
In the remaining two cases, both the state and federal suits
involved environmental claims. In both cases, however, the
state agency failed to file its suit in state court before the
federal case—a point which the district court emphasized. See
Long Island Soundkeeper Fund, Inc. v. New York City Dep’t of
Envtl. Prot., 27 F. Supp. 2d 380, 385 (E.D.N.Y. 1998) (noting that
the state agency “had the opportunity to take the lead in
enforcing the prescribed standards, but declined to do so”);
Pirgim Pub. Interest Lobby v. Dow Chem. Co., 1996 WL 903838, at
*6 (E.D. Mich. Feb. 16, 1996) (finding “the order in which
jurisdiction was obtained is of the greatest importance”).
Here, IDEM filed its first suit prior to the federal suit.
No. 10-2237 59
Burford requires a dismissal, not a stay, of the case. See
Illinois Bell Tel. Co. v. Global NAPs Illinois, Inc., 551 F.3d 587,
595 (7th Cir. 2008). As discussed, the dismissal of this
case is inappropriate because the plaintiffs have met
the statutory requirements to bring a federal suit. Ac-
cordingly, those opinions finding abstention under the
Burford doctrine inappropriate are not relevant for an
examination of whether abstention under the Colorado
River doctrine is appropriate. Those opinions, which
have found Burford abstention inapplicable, do not
address abstention under the Colorado River doctrine. In
fact, they explicitly note that although abstention under
Burford is inapplicable, abstention under other doctrines
might still be appropriate. See Chico, 633 F.3d at 26 n.10
(“Because the district court based its decision solely on
the Burford strain of abstention and [the defendant] has
not argued for abstention under Colorado River in this
appeal, we do not address the applicability of the Colorado
River doctrine here.”); PMC, Inc., 151 F.3d at 619 (noting
that “there may be room for applying the doctrines of
abstention . . . in cases in which a state has a formal
administrative proceeding in progress that the citizens’
suit would disrupt”).
The majority opinion contends that because the
plaintiffs raise an exclusively federal claim—the “endan-
germent” claim under § 6972(a)(1)(B)—abstention is
inappropriate based on Medema v. Medema Builders,
Inc., 854 F.2d 210, 215 (7th Cir. 1988). This court in
Medema, however, made clear that it was not establishing
a categorical rule that Colorado River abstention is forbid-
60 No. 10-2237
den whenever the federal case involves an exclusively
federal claim. Id. (“[W]e do not mean to create a
monolithic rule subject to no exceptions.”). In Medema, we
contemplated that “perhaps in rare circumstances,”
abstention under Colorado River would be appropriate
even for exclusively federal claims. Id. at 212. Unlike
Medema, this case involves a statute that emphasizes
federal-state cooperation; there is an absence of any
showing that the federal cause of action or the rights of
the plaintiffs would be impaired by a stay; and it is not
clear that the remedies sought in the state proceedings
are substantively different from those requested in the
federal case.
What does seem apparent in this case is that simulta-
neous litigation of the actions and simultaneous super-
vision of the remediation process by state and federal
courts will be a recipe for delay, confusion and
wasted judicial resources. These concerns were the
precise motivations in Colorado River,5 and it is not
clear how any of the plaintiffs’ interests are impaired if
the federal case is stayed. Accordingly, I must respect-
fully dissent from removing from the district court’s
5
See Colorado River Water Conservation Dist. v. United States,
424 U.S. 800, 817 (1976) (noting concerns for “wise judicial
administration, giving regard to conservation of judicial
resources and comprehensive disposition of litigation” (cita-
tion and quotation marks omitted)).
No. 10-2237 61
discretion the decision to stay the plaintiffs’ case upon
invoking abstention under the Colorado River doctrine.
5-3-11