Charles Silberman v. Miami Dade Transit
Opinion
Following several distressing encounters with Miami-Dade Transit bus drivers, Charles Silberman filed a
pro se
action against MDT under Title II of the Americans with Disabilities Act,
The resolution of this case is complicated by a thorny threshold issue (or really, a series of related issues) that we have to address before jumping into the merits. Most prominently, we conclude-and all here seem to agree-that the lone named defendant, MDT, can't be sued under Florida law. Having reached the same conclusion, the district court offered to allow Silberman to amend his complaint to substitute the County in MDT's place, but he declined to do so. Now, though, before us, Silberman does want to substitute the County, and thus effectively to amend his complaint nunc pro tunc . It's a procedural mess.
We hold that because MDT was the wrong party from the get-go, we can't sub in the County on appeal; rather, such a correction could occur only in the district court. Ordinarily, we might be inclined to remand to allow Silberman one more shot, particularly given his pro se status. We conclude, however, that any further amendment of the complaint would be futile, as Silberman didn't-and for reasons we'll explain, can't-otherwise state a claim. Accordingly, we affirm the district court's dismissal.
I
A
Because this case arises at the motion-to-dismiss stage, we accept as true the facts as alleged in Silberman's complaint.
See
Bailey v. Wheeler
,
Silberman's claims stem from several instances in which he attempted to ride MDT buses while accompanied by Oscar. In one encounter, a bus driver "refused to continue on her route while [Silberman] remained on board," causing other passengers to "scream[ ]," "cuss[ ]," and "mock[ ]" him "because of [his] disability." Silberman promptly reported the incident to Marcos Ortega, MDT's ADA officer, and asked him to do what he could "to see this discrimination practice ends." Ortega soon responded that MDT's Office of Civil Rights and Labor Relations had investigated and determined that the driver "clearly failed" to comply with the ADA and "MDT's own internal procedures and training." In concluding his email, Ortega reassured Silberman that the driver would face "appropriate disciplinary action and a comprehensive retraining on all ADA requirements."
Silberman later made two similar complaints to Ortega. In one, Silberman stated that he had "once again" faced discrimination at the hands of an MDT bus driver and asked Ortega to consult the bus's audio and video recordings to get a sense of what happened. Although Silberman's complaint was short on detail, Ortega again acknowledged that the driver had violated the ADA and promised disciplinary action and retraining. Finally, Silberman complained to Ortega that an MDT bus driver had "intentionally passed" him at a bus stop and that the driver had later acknowledged that he did so because of Oscar. Silberman chose to drop this complaint, however, because he couldn't obtain video and audio recordings to corroborate his allegations.
B
Silberman filed a two-count complaint in the Southern District of Florida alleging that he had experienced "indifferent or ... bad faith intentional discrimination" at the hands of MDT bus drivers "numerous times." In Count I, which alleged violations of Title II of the ADA, Silberman faulted MDT's "practices, policies and procedures," and sought compensatory damages, costs, and "any and all other relief that may be necessary and appropriate." Count II raised a nearly identical claim under § 504 of the Rehabilitation Act, coupled with the additional assertion that "MDT receives federal financial assistance" and is thus "a covered entity within the meaning of the RA."
Through the Miami-Dade County Attorney's office, MDT moved to dismiss under Federal Rule of Civil Procedure 12(b)(6) for failure to state a claim. MDT first argued that it is not sui juris and that Silberman's complaint "may be dismissed for this reason alone." Beyond that, MDT contended that, under Florida law, "sovereign immunity irrefutably applies" where, as in this case, "the complaint specifically allege[s] bad faith or willful conduct." Finally, MDT argued that Silberman didn't state a claim for compensatory damages because he didn't "connect the Department" as such-separately from the individual bus drivers-"to the alleged wrong." 1
Adopting the magistrate judge's report and recommendation, the district court held that MDT is not sui juris and dismissed Silberman's complaint without prejudice. Having done so, the court went on to dismiss Silberman's Title II claim with prejudice and his § 504 claim without prejudice. As to the Title II claim, the court "based [its decision] on [MDT's] (and the County's) sovereign immunity." This seems to have been a reference to the magistrate judge's twin determinations (1) that "the Eleventh Amendment bars [Silberman's] ADA claim" because he sought only retrospective monetary relief and (2) that, with respect to the conduct at issue here, Congress hadn't validly abrogated the County's sovereign immunity.
The district court concluded that Silberman's § 504 claim survived the Eleventh Amendment, harking back to the magistrate judge's determination that "Congress ha[d] explicitly conditioned the acceptance of federal funding on a state's waiver of sovereign immunity" with respect to § 504 liability. Even so, the magistrate judge concluded-and the district court agreed-that, as originally pleaded, Silberman's claim for compensatory damages under § 504 failed on the merits because he hadn't alleged "intentional discrimination or gross indifference" on the part of any MDT "officials" other than the line-level bus drivers.
The district court gave Silberman more than three weeks "to amend the Complaint to substitute the County as the proper Defendant" and "to include more specific allegations as to intentional or deliberate discrimination from a[n] MDT official to support [a claim for] compensatory damages." Silberman did neither, but instead filed a motion for reconsideration. Although Silberman devoted his motion primarily to responding to the district court's sovereign-immunity analysis, two footnotes are important for our purposes. First, he expressly "agreed with MDT" that it is not sui juris . See Pl.'s Mot. Recons. at 2 n.2 (stating that "under Miami Dade County Code section 2-145, MDT does not have the capacity to sue or be sued"). Second, he acknowledged that the district court had given him leave to amend his complaint "to include more specific allegations as to intentional or deliberate discrimination from a[n] MDT 'official,' " but said that he "w[ould] not amend the Complaint" toward that end "because a[n] MDT 'official' did not intentionally or deliberately discriminate" against him. Id. n.3.
The amendment deadline thus came and went, and true to his word, Silberman didn't update his complaint to strengthen his factual allegations. Nor did he amend his complaint to name the County-either in place of or in addition to MDT-as a defendant. The district court thereafter denied Silberman's motion for reconsideration and ordered the case closed. This appeal followed.
II
A
We first address Silberman's decision to name MDT, rather than the County, as the sole defendant in this case. Under Federal Rule of Civil Procedure 17(b)(3), a party's "[c]apacity to sue or be sued is determined ... by the law of the state where the court is located." Again, the district court held that MDT is not sui juris under Florida law and, on that basis, dismissed Silberman's complaint without prejudice.
Silberman doesn't contend on appeal that the district court erred in doing so. To the contrary, he continues to acknowledge-as he did in his response to MDT's motion to dismiss-that MDT doesn't have the capacity to sue or be sued separately from the County. 2 As already explained, Silberman declined the district court's invitation to substitute the County, but he now asks us, for the first time on appeal, to make the switch under Federal Rule of Appellate Procedure 43.
Substitution of parties under Rule 43 is often a routine matter-when, say, during the pendency of the appeal, a party to the district court proceeding dies or a new individual assumes the Office of Attorney General. Our authority to substitute parties in other situations, though, is more limited. We've explained that although Rule 43(b) "does allow substitution for reasons other than death, the rule is based on Fed. R. Civ. P. 25, which has been interpreted to apply
only when the case originally had the correct parties.
"
Glickstein v. Sun Bank/Miami, N.A.
,
Because (for reasons already explained) MDT is not suable under Florida law, it couldn't have been the "correct party" at any point in this litigation. Glickstein , therefore, compels us to reject Silberman's thirteenth-hour request to name the County in MDT's place.
B
Because we can't substitute the County for MDT on appeal, we're faced with a complaint that seeks to obtain a judgment against an entity that can't be sued. Where does that leave us?
Confronted with a nearly identical
sui juris
problem in
Woldeab v. Dekalb County Board of Education
, we called this sort of error-naming a defendant that "is not a legal entity capable of being sued"-a "complaint[ ] deficiency" that runs to a plaintiff's ability to state a claim.
Our cases make clear that "a [
pro se
] plaintiff must be given at least one chance to amend the complaint before the district court dismisses the action with prejudice"-at least, that is, where "a more carefully drafted complaint might state a claim."
cf. also
Woldeab
,
We needn't decide whether an extra dose of grace was called for here, because
Bank
goes on to clarify that amendment is
not
warranted (1) "where [the plaintiff] has indicated that he does not wish to amend his complaint," or (2) "if a more carefully drafted complaint could not state a claim."
III
So, if Silberman had sued the right defendant, would he have stated a claim for compensatory damages under either Title II of the ADA or § 504 of the Rehabilitation Act? For the following reasons, we hold that he wouldn't (and couldn't) have done so-and, therefore, that amendment would have been futile, and, therefore, that the district court's dismissal is due to be affirmed.
A
We begin with some stage-setting. Under Title II, "no qualified individual with a disability shall, by reason of such disability, be excluded from participation in or be denied the benefits of the services, programs, or activities of a public entity, or be subjected to discrimination by any such entity."
To state a claim under either Title II or § 504, a plaintiff must establish "(1) that he is a qualified individual with a disability; (2) that he was either excluded from participation in or denied the benefits of a public entity's services, programs, or activities, or was otherwise discriminated against by the public entity; and (3) that the exclusion, denial of benefit, or discrimination was by reason of the plaintiff's disability."
Bircoll v. Miami-Dade Cty.
,
"Deliberate indifference," we have said, is an "exacting standard."
J.S
,
With the proper legal standard in mind, we will first address Silberman's § 504 claim, which the district court rejected on the merits, and then turn to his Title II claim, which the district court found barred by the Eleventh Amendment.
B
The parties don't dispute that MDT receives federal funding and is therefore subject to § 504. They do dispute, though, whether Silberman has identified an "official" within the meaning of Liese . As already explained, Silberman does not allege that Ortega or any other managerial employee discriminated against him. (And with good reason, as the record makes clear that Ortega responded to, and at least seems to have addressed, Silberman's complaints. See supra at 1128-29.) Instead, Silberman maintains that the bus drivers themselves are Liese -qualifying "officials." 7
We have little difficulty concluding that MDT bus drivers are not qualifying "officials." With all due respect, they simply aren't high enough up the org chart to permit a reasonable inference that, through their actions, they speak for MDT as a whole. To be clear, it's not enough that one be an "official" in the abstract-which is to say, potentially any employee.
Liese
,
To be sure, an "official" needn't be so high up the chain of command that she is "authorized to set an entity's policy."
Liese
,
Silberman insists that MDT bus drivers are "officials" because they enjoy "complete discretion at a key decision point" in the "administration of MDT's public transportation services"-as evidenced by their ability to deny Silberman's point-of-service request to travel with Oscar. Silberman's argument fails for two reasons. First, it reads the "key decision point" language (which comes from
Liese
) out of context. The relevant question is not whether the drivers had "complete discretion" to make the initial decision to deny Silberman services, but rather whether they had discretion at a "key decision point
in the administrative process
"-which they plainly didn't.
Liese
,
One final point: It's no answer to say that we can't conclude that MDT bus drivers are not "officials" at the motion-to-dismiss stage. Although the
Liese
inquiry is "necessarily" "fact-based,"
J.S.
,
* * *
For the foregoing reasons, we hold that the district court correctly concluded that Silberman hasn't stated-and couldn't state-a claim for compensatory damages under § 504 of the Rehabilitation Act.
C
Which brings us, at last, to Silberman's Title II claim-what's left of it, anyway. Having rejected Silberman's § 504 claim on the merits, the district court (in adopting the magistrate judge's R&R) declined to reach Silberman's Title II claim on the ground that the "Eleventh Amendment immunity bars" it. In doing so, the district court apparently assumed that the County (and by extension, MDT) is entitled to sovereign immunity in the first place. It's a dubious assumption.
"Under the traditional Eleventh Amendment paradigm, states are extended immunity, counties and similar municipal corporations are not, and entities that share characteristics of both require a case-by-case analysis."
U.S. ex rel. Lesinski v. S. Fla. Water Mgmt. Dist.
,
Despite our misgivings about the district court's sovereign-immunity analysis, we needn't remand for a redo. We can affirm where the district court reaches the correct result but for the wrong reasons.
See
Clements v. LSI Title Agency, Inc.
,
Just so here. Because sovereign immunity can be waived, our precedent allows us to "bypass" the threshold question whether an entity is entitled to sovereign immunity where it only "conditional[ly] assert[s]" the defense.
McClendon v. Ga. Dep't of Cmty. Health
,
* * *
It's clear that Silberman hasn't stated a claim for compensatory damages. What's more-and critical for futility purposes-the record makes clear that Silberman
can't
state such a claim. He conceded that no one other than MDT bus drivers discriminated against him. And as we have held, the bus drivers aren't "officials" for § 504 or Title II purposes, as they must be to support a compensatory-damages claim. We therefore conclude that remand to allow Silberman to substitute the County for MDT as the proper defendant would be futile because here, unlike in
Woldeab
, "a more carefully drafted complaint could not
state a claim."
IV
In sum, we affirm the district court's decision to dismiss Silberman's complaint on the ground that MDT is not sui juris under Florida law. Moreover, we hold that under Federal Rule of Appellate Procedure 43 we cannot substitute the County in place of MDT on appeal. Rather, substitution would be available only if Silberman were to amend his complaint before the district court. Remand to allow Silberman to do so, however, would be futile, because Silberman cannot otherwise state a claim for compensatory damages under either § 504 or Title II.
AFFIRMED.
MDT separately moved to dismiss Silberman's claims for equitable relief. The district court dismissed those claims, and they aren't relevant for purposes of this appeal.
District courts in our circuit have uniformly reached the same conclusion-as to both MDT and other Miami-Dade County departments-after examining their organic ordinances.
See
Wellons v. Miami-Dade Cty.
, No. 13-20574-CIV,
Other courts have similarly held that substitution under Rule 43(b) is appropriate only where some intervening event occurs after the district court's judgment that affects a party's ability to litigate.
See, e.g.
,
AngioDynamics, Inc. v. Biolitec, Inc.
,
We recognize that there is a division of authority with respect to whether a claim against a non-
sui juris
entity presents a true "case[ ]" or "controvers[y]" within the meaning of Article III. Some courts take the view that "[t]he question of a litigant's capacity or right to sue or be sued generally does not affect the subject matter jurisdiction of the district court."
Summers v. Interstate Tractor & Equipment Co.
,
We should note that Silberman-despite proceeding pro se -appeared to grasp the nuanced implications of his failure to substitute the County as the proper defendant before the district court. In his response to MDT's motion to dismiss, Silberman asserted that his failure to name the County "should not be grounds [for] granting [MDT's] Motion to Dismiss with prejudice," and instead asked the court to dismiss without prejudice, or alternatively, to "add Miami-Dade County as a Defendant sua sponte ." Pl.'s Resp. to Def.'s Mot. Dismiss at 5. Silberman got what he asked for, and yet declined to add the County to his complaint. The record doesn't reveal why.
In an effort to escape
Liese
's "official" requirement, Silberman has made two distinct but related-and late-breaking-arguments. First, he suggested for the first time at oral argument that because
Liese
arose under Title III of the ADA, rather than Title II, "official"-ness is inapposite here. But we have clearly employed the
Liese
standard in the Title II context.
See
J.S.
,
While there may be some inconsistency between Silberman's current position and his statement in his motion for reconsideration that "a[n] MDT 'official' did not intentionally or deliberately discriminate" against him, we will assume-perhaps generously-that what he meant there was that he was not subject to discrimination at the hands of anyone other than MDT bus drivers .
Because we find that we needn't address the sovereign-immunity issue, we can bracket the United States' contention, which it presses as amicus curiae, that the district court's decision "rests on a premature and incorrect analysis of Congress's power to abrogate States' Eleventh Amendment sovereign immunity," specifically as it applies to the question whether Congress validly abrogated sovereign immunity in enacting Title II as applied to the conduct at issue here. Br. of United States at 8, 17.
A bit of housekeeping: Even if the district court erred in dismissing Silberman's Title II claim with prejudice on Eleventh Amendment grounds, it correctly dismissed the complaint as a whole without prejudice. And because further amendment would be futile, we needn't vacate the district court's decision with instructions to dismiss the Title II claim without prejudice instead.
Reference
- Full Case Name
- Charles SILBERMAN, Plaintiff-Appellant, v. MIAMI DADE TRANSIT, Defendant - Appellee.
- Cited By
- 239 cases
- Status
- Published