Winters v. Taylor
Opinion of the Court
ORDER
Brent Winters sued John Taylor, a federal public defender, for making slanderous statements about Winters during the course of a tax fraud prosecution. The district court dismissed Winters’s claim on the ground that Taylor, a federal employee acting within the scope of his authority, was entitled to sovereign immunity. Rather than appeal that dismissal, Winters filed a second action against Taylor based on the same allegedly slanderous statements. The district court again dismissed Winters’s suit based on the grounds of sovereign immunity and issue preclusion. This time, Winters appealed, but because we conclude that the district court’s judgment in Winters’s first action precludes this second action, we affirm.
BACKGROUND
In April 2006, the United States charged Winters, Ken Tylman, and Debra Hills with filing a fraudulent tax return and conspiracy to defraud the IRS. The district court appointed Taylor, a federal public defender, to represent Tylman. At the end of a meeting between Taylor and Tyl-man at the federal courthouse in Urbana, Illinois, Taylor allegedly shouted that Winters and his co-defendants were “all guilty” and “all fuckin’ liars.” Taylor’s statements were within earshot of Hills and other bystanders in the courthouse hallway.
Based on Taylor’s statements, Winters filed a complaint of slander in Illinois state court, naming Taylor and the Office of the Federal Public Defender as defendants. The defendants removed the case to federal court under 28 U.S.C. § 1442(a) based on the federal defense of sovereign immunity. The district court agreed that the defendants were entitled to sovereign immunity because, based on the allegations in Winters’s complaint, Taylor “made the statements in the scope of his federal authority” while representing Tylman. Having concluded that Winters’s claim was barred by sovereign immunity, the court dismissed Winters’s complaint “for lack of jurisdiction.”
Winters did not appeal the district court’s dismissal of his first action. Instead, he returned to Illinois state court and filed a second action based on the same statements. Winters’s second complaint named only Taylor as a defendant and, in addition to a slander count, contained a count of negligent infliction of emotional distress. Taylor again removed the case to federal court, citing the federal defenses of claim preclusion, issue preclusion, and sovereign immunity. The district court dismissed Winters’s slander claim on the ground of issue preclusion, since the court had decided that exact claim in favor of Taylor in the first action. As for Winters’s emotional distress claim, the court held that this claim was barred by sovereign immunity, since Winters’s suit against “a federal officer in his official capacity [was] tantamount to a suit against the United States.”
Winters appeals, arguing that the district court should have remanded the case to state court for lack of subject matter jurisdiction. In the alternative, Winters argues that the court erred in recognizing Taylor’s sovereign immunity defense without conducting an evidentiary hearing on whether Taylor’s statements were within the scope of his federal employment.
ANALYSIS
Beginning with Winters’s jurisdictional challenge, Winters argues that re
On the merits of Taylor’s sovereign immunity defense, in Winters’s first slander action, the district court held that Taylor was entitled to sovereign immunity because he “made the statements in the scope of his federal authority” as a public defender. Then, in this action, the court concluded that Winters’s slander claim was barred by the doctrine of issue preclusion. The issue of Taylor’s sovereign immunity defense against Winters’s claim was “actually litigated” and “essential” to the final judgment in the first action. H-D Mich., Inc. v. Top Quality Serv., Inc., 496 F.3d 755, 760 (7th Cir. 2007) (providing the elements of an issue preclusion, or “collateral estoppel,” defense).
For the first time on appeal, Winters cites the Westfall Act, 28 U.S.C. § 2679, to illustrate why Taylor was not entitled to sovereign immunity against Winters’s claims. The Act gives a federal employee immunity against a tort suit arising out of acts committed in the scope of his employment, provided that the employee follows a few, simple procedures. First, the employee must promptly deliver the pleadings in the suit to the Attorney General (“AG”) or his designee. 28 U.S.C. § 2679(c)(1). Then, if the AG certifies that the employee “was acting within the scope of his office or employment” when he committed the alleged tort, the United States “shall be substituted as the party defendant,” and the employee is off the hook. Id. § 2679(d)(1). Even if the AG refuses to issue a scope-of-employment certification, the employee may petition the district court to certify that he was acting within the scope of his employment and substitute the United States as the party defendant. Id. § 2679(d)(3).
As Winters points out, Taylor never obtained the AG’s certification that his allegedly slanderous statements were -within the scope of his federal employment. Absent such certification, Winters argues, Taylor has no sovereign immunity defense under the Westfall Act.
We think that Winters’s belated citation to the Westfall Act in this appeal reflects some uncertainty as to who exactly Winters was suing at various stages of these proceedings. In the first action, Winters’s complaint named the “Law Firm of Richard H. Parsons [i.e., the Chief Federal Public Defender for the Central District of Illinois], Federal Public Defenders & Rich
Winters’s second complaint — that is, the complaint in this action — named only “John Taylor” as a defendant, which suggests a suit against Taylor individually. As an individual federal employee sued in tort, Taylor should have been able to claim sovereign immunity only after receiving a Westfall scope-of-employment certification. Again, however, the issue of Westfall certification never arose in the proceedings below because the district court assumed that Winters’s second action, like his first action, was against “a federal officer in his official capacity” and therefore “tantamount to a suit against the United States.” This assumption that Winters was suing a federal agency the second time around is questionable, since Winters’s second complaint simply named “John Taylor” as the sole defendant. Nevertheless, we believe that the court’s dismissal of Winters’s second action on the ground of issue preclusion was correct.
In determining that the defendants in the first action were entitled to sovereign immunity, the district court found that Winters’s own allegations established that Taylor “made the statements in the scope of his federal authority” while “representing Tylman” as a public defender. This finding has issue preclusive effect in Winters’s second action because (1) the issue of whether Taylor’s allegedly slanderous statements were within the scope of his federal employment is the same in both actions; (2) the parties actually litigated the issue in the first action; (3) resolution of this issue was essential to the district court’s final judgment dismissing Winters’s first action on sovereign immunity grounds; and (4) Winters was fully represented in the first action. See H-D Mich., 496 F.3d at 760. So the very issue that Winters seeks to litigate here, whether Taylor was acting within the scope of his employment, is precluded by the first action. Since Winters’s claims are barred by issue preclusion, Winters’s observation that Taylor failed to comply with the certification requirements of the Westfall Act is inconsequential. At this point, requiring Taylor to seek a scope-of-employment certification through the Act’s procedures would serve no purpose.
Although the district court relied on issue preclusion only with respect to Winters’s slander claim, we conclude that issue preclusion also bars Winters’s negligent infliction of emotional distress claim. Winters’s emotional distress claim arises out of the same statements as his slander claim, and both claims fail if, as the district court found, Taylor was acting within the scope of his federal authority and therefore entitled to sovereign immunity.
One final matter deserves consideration before barring Winters’s case on the ground of issue preclusion. After concluding in the first action that the defendants were entitled to sovereign immunity, the district court purported to dismiss the case for “lack of jurisdiction.” Ordinarily a dismissal for lack of jurisdiction carries no preclusive effect, except with respect to the jurisdictional ruling itself. Hill v. Potter, 352 F.3d 1142, 1146 (7th Cir. 2003). However, as the district court recognized in this second action, it erred in characterizing its dismissal of the first action as jurisdictional because “sovereign immunity does not diminish a court’s subject-matter jurisdiction.” Blagojevich v. Gates, 519 F.3d 370, 371 (7th Cir. 2008). We have also recognized that, although courts sometimes conflate the concepts of sovereign immunity and subject matter jurisdiction, the availability of a sovereign immunity defense is fully subject to principles of preclusion. See United States v. County of Cook, Ill., 167 F.3d 381, 385, 389-90 (7th Cir. 1999). The district court dismissed Winters’s first action on the ground that Taylor acted within the scope of his employment and was therefore entitled to sovereign immunity. Having litigated that issue in the first action, Winters is precluded from rearguing it here.
Accordingly, we AFFIRM the judgment of the district court.
Reference
- Full Case Name
- Brent Allan WINTERS v. John TAYLOR
- Cited By
- 5 cases
- Status
- Published