Otte v. Kasich
Opinion of the Court
Introduction. In this § 1983 action, three death-penalty inmates challenged Ohio’s execution protocol under the Eighth and Fourteenth Amendments and added a pendent state-law claim alleging that the
At issue today is the state law claim. The district court did not reach the merits of this claim and dismissed it for lack of jurisdiction and failure to state a claim, leaving the plaintiffs free to pursue relief under state law in the state courts. We agree and affirm the dismissal of the claim.
The first reason for not exercising jurisdiction over this state law claim is sovereign immunity. “[A] claim that state officials violated state law in carrying out their official responsibilities is a claim against the [sjtate that is protected by the Eleventh Amendment.” Pennhurst State Sch. & Hosp. v. Halderman,
Nor do any of the exceptions to the states’ sovereign immunity apply here. The states, like the federal government, are free to set their own terms for suing and being sued. To preserve the supremacy of federal law, however, the United States Supreme Court has created two pertinent exceptions to these principles (and without regard to any waiver of immunity) for cases involving state action, most notably by allowing injunction actions against state officials, see Ex Parte Young,
The plaintiffs’ claim for money damages comes with its own limitation — that any such claim must first proceed through the state court of claims. The plaintiffs have filed no such action. All of this requires the dismissal of the case.
Even if all of this were not true,
Background. Plaintiffs Gary Otte, Raymond Tibbetts, and Alva Campbell, Jr., are Ohio death-penalty inmates. Otte. has an execution date set for September 13, 2017. Campbell has an execution date of November 15, 2017. And Tibbetts’s execution is scheduled for February 13,2018.
These appeals are the latest in a series of challenges to Ohio’s lethal injection protocol. Most recently, this court rejected an Eighth Amendment challenge to the current version of the protocol. See In re:
In a separate Fourth Amended Complaint, Campbell raised a similar state law claim as his Forty-Sixth Cause of Action. Relying on the same reasoning that formed the basis of its dismissal of Otte and Tibbetts’s state law claims, the district court dismissed Campbell’s similar claim. In re: Ohio Execution Protocol Litigation, No. 2:11-cv-1016 (S.D. Ohio Aug. 2, 2017). As with Otte and Tibbetts’s case, the court entered final judgment for this claim, and Campbell has filed a timely appeal (No. 17-3834). We consolidated the appeals.
Discussion. Seeking monetary, declaratory, and injunctive relief, the plaintiffs sued Richard Theodore (a pharmacist who will release the lethal injection drugs to the Execution Team) and Execution Team Members 17, 21, 31, and 32 (who are paramedics or EMTs) in their individual capacities. The plaintiffs alleged that the defendants’ participation in their executions would violate the Ohio Corrupt Practices Act. The district court concluded that the plaintiffs’ injunction and declaratory claims were barred by the Eleventh Amendment and that the money-damages claim had to be presented in the first instance to the Ohio Court of Claims.
The district court properly determined that the plaintiffs’ claims for declaratory and injunctive relief were barred by the Eleventh Amendment. That Amendment prohibits suits naming the state or one of its agencies or departments as the defendant, regardless of the nature of the relief sought. Pennhurst,
A federal court’s grant of relief against state officials on the basis of state law, whether prospective or retroactive, does not vindicate the supreme authority of federal law. On the contrary, it is difficult to think of a greater intrusion on state sovereignty than when a federal court instructs state officials on how to conform their conduct to state law. Such a result conflicts directly with the princi-*783 pies of federalism that underlie the Eleventh Amendment. We conclude that Young and Edelman are inapplicable in a suit against state officials on the basis of state law.
See also Ernst v. Rising,
The plaintiffs try to distinguish Penn-hurst on the ground that they are suing the defendants in their individual, not official, capacities. But Pennhurst explained that, when plaintiffs sue state officials for violations of state law, “relief sought nominally against an officer is in fact against the sovereign if the decree would operate against the latter” and when “the state is the real, substantial party in interest.”
The plaintiffs do not contend that the officials committed any wrong against the plaintiffs independent of their implementation of state law. Their requested relief as a practical matter would prohibit the state from carrying out its execution procedures by prohibiting its employees from administering the execution drugs. Where, as here, “the relief sought ... has an impact directly on the [sjtate itself,” the plaintiffs’ lawsuit against the state officers should be treated as a suit against the state. Pennhurst,
Under the plaintiffs’ theory — that the Eleventh Amendment does not apply so long as plaintiffs sue state officials in their individual capacity — “the Eleventh Amendment would have force only in the rare case in which a plaintiff foolishly attempts to sue the [sjtate in its own name” or state officials in their “official” capacity. Pennhurst,
The plaintiffs argue that Pennhurst distinguished between individual and official capacity suits. That is true but not helpful. Pennhurst “distinguished ... cases seeking money damages against the individual officer in tort, and those seeking injunctive relief against the officer in his official capacity.”
The plaintiffs demur. Hafer v. Melo,
The plaintiffs claim that several- circuit court cases lead to a different conclusion. But none is on point. Some deal with violations of federal law. See Spruytte v. Walters,
The plaintiffs’ separate request for monetary relief under state law does not fix these problems or otherwise allow the action to proceed. When faced with a claim of immunity to a supplemental state claim, a federal court must look to the appropriate state law to ascertain the nature of the immunity. Cullinan v. Abramson,
The plaintiffs counter that some of the defendants are not entitled to immunity under Ohio law because they do not qualify as state employees. While the plaintiffs acknowledge that defendants Theodore and Execution Team Member 17 are state employees, they maintain that Team Members 21, 31, and 32 do not have the same status. Not so. Under Ohio Revised Code § 109.36(A)(1)(b), a “person that, at the time a cause of action against the person ... arises, is rendering medical .,. services pursuant to a personal ser
The plaintiffs also invoke the general proposition that a state cannot hinder a federal court’s jurisdiction over a cause of action that otherwise restricts jurisdiction to a specialized state court. See Marshall v. Marshall,
Last but not least, we are free to affirm the district court’s decision on alternative grounds. Much of what we have said so far explains why it makes little sense for ■ the federal courts to entertain this state law claim concerning a core matter of state law. Section 1367 permits federal courts to entertain jurisdiction over pendent state law claims. But it does not require them to do so, least of all after the core federal claim already has been rejected on the merits. See
For these reasons, we affirm the dismissal of the plaintiffs’ state law claim without prejudice, permitting them to refile the claim in state court.
Concurring Opinion
concurring.
I concur in full in the per curiam opinion, but write separately to make one point.
Williams v. Kentucky,
A core feature of sovereignty is the state’s authority to decide when and where it can be sued, Alden v. Maine,
Pennhurst, it’s true, did not address today’s setting: an individual capacity money damages action. But I see no reason why the rationale of the decision does not apply equally, if not more forcefully, to a state law money damages action against a state employee. The essential insight of the decision is that federal courts do not have authority to command the States to follow their own laws.
When a federal court enjoins a state official from doing his job, Pennhurst says that the State is the real party in interest because the lawsuit will prevent the state employees from performing their official duties. The same principle applies when a federal court tells a state official that he owes damages under state law for doing his job. Doctrines that turn on “individual capacity” and “official capacity” make sense in the context of actions designed to require the States and their employees to comply with federal law. See, e.g., Kentucky v. Graham,
A state official who violates the United States Constitution, Ex parte Young says, is not acting on behalf of the State because States cannot authorize unconstitutional action.
Accordingly, when a plaintiff alleges that a state official has violated state law, there’s no reason to assume (as we do when a plaintiff alleges that a state official has violated federal law) that an “individual capacity” suit is one against the official in his person rather than one against the State. As in Pennhurst, then, so too here:
This straightforward approach leads to a straightforward rule and exception. The rule: If the plaintiff sues a state official under state law in federal court for actions taken within the scope of his authority, sovereign immunity bars the lawsuit regardless of whether the action seeks monetary or injunctive or declaratory relief. The exception: If the plaintiff sues the official for actions beyond the official’s authority, the State’s sovereign immunity does not apply. The rule, not the exception, applies here.
Reference
- Full Case Name
- In RE: OHIO EXECUTION PROTOCOL LITIGATION. Gary Otte; Raymond Tibbetts; And Alva Campbell, Jr., Plaintiffs-Appellants, v. John Kasich, Governor, State of Ohio; Gary C. Mohr, Director, ODRC; Donald Morgan, Warden, Southern Ohio Correctional Facility; Anonymous Execution Team Members 1-50, C/O Southern Ohio Correctional Facility; Warden, Franklin Medical Center; Stephen Gray, Chief Counsel, ODRC; Charlotte Jenkins; Warden, Ohio State Penitentiary; Richard Theodore, Pharmacist, C/O ODRC; Edwin C. Voorhies, Jr., Managing Director of Operations, ODRC, Defendants-Appellees
- Cited By
- 27 cases
- Status
- Unpublished