ORDER ADOPTING REPORT AND RECOMMENDATION
Pending before the Court is Defendant Webb County’s Motion to Dismiss. [Dkt. No. 57]. Also pending is Plaintiffs’ Alternative Motion for Leave to File Amended Complaint. [Dkt. No. 58]. On April 2, 2009, the Magistrate Court issued a Report and Recommendation, recommending that Defendant Webb County’s Motion to Dismiss be granted and that Plaintiffs’ Alternative Motion for Leave to File Amended Complaint be denied. [Dkt. No. 65]. The time for filing objections has passed and no objections have been filed. 1
Pursuant to Federal Rule of Civil Procedure 72(b), the Court has reviewed the Report and Recommendation for clear error.
2
Finding no clear error, the Court adopts the Report and Recommendation in its entirety. Therefore, it is ORDERED that Defendant Webb County’s Motion to Dismiss, [Dkt. No. 57], be GRANTED. Accordingly, Plaintiffs’ state law claims of intentional infliction of emotional distress, defamation, discharge for refusal to commit illegal acts (the
Sabine Pilot
claim), and retaliation for complying with a valid subpoena (under Section 52.051 of the Texas Labor Code) against Defendant Webb County and Defendants Patricia Barrera,
IT IS SO ORDERED.
REPORT AND RECOMMENDATION OF UNITED STATES MAGISTRATE JUDGE
I. Background
Pending before the Court is Defendant Webb County, Texas (“the County”)’s Motion to Dismiss. (Dkt. No. 57). 1 Also pending before the Court is Plaintiffs’ “Alternative Motion for Leave to File Amended Complaint.” (Dkt. No. 58). On September 24, 2008, Plaintiffs filed this lawsuit asserting a 42 U.S.C. Section 1983 claim and other state law claims against Webb County, Ms. Patricia Barrera, who is the elected Webb County Tax Assessor-Collector (“WCTAC”), and three WCTAC office supervisors — Ms. Mary Ethel Novoa, Ms. Rosa Hernandez and Ms. Dora Jimenez. 2 Plaintiffs sued the four individual defendants in both them official and individual (“personal”) capacities.
On February 4, 2009, the County filed its Motion to Dismiss under Federal Rule of Civil Procedure 12(b)(6). (Dkt. No. 57). In its motion, the County asked the Court to dismiss Plaintiffs’ three state common law claims (intentional infliction of emotional distress, defamation, and a Sabine Pilot claim — discharge for refusal to commit illegal acts) and Plaintiffs’ statutory claim under Tex. Lab.Code § 52.051 (retaliation for complying with a subpoena) against the County and the four individuals in their official capacities under the doctrine of governmental immunity. Further, the County moved for the Court to dismiss Plaintiffs’ three state common law claims against the four individual defendants in their personal capacities, pursuant to Section 101.106(e) of the Texas Civil Practice and Remedies Code (“Section 101.106(e)”), a part of the Texas Tort Claims Act.
On February 10, 2009, Plaintiffs filed their response. (Dkt. No. 58). In that response, Plaintiffs only addressed Defendants’ argument under Section 101.106(e), contending that their state law claims were not brought under the Texas Tort Claims Act. Therefore, according to Plaintiffs, Section 101.106(e) is not applicable, and the claims should not be dismissed. Alternatively, Plaintiffs asked the Court for leave to file an amended complaint so that they could allege the state law claims “against the individual Defendants only.” Plaintiffs also asked the Court for leave to amend their complaint in the event the County is not deemed an “employer” under Section 52.051 of the Texas Labor Code to allege a claim against Ms. Barrera in her personal capacity only.
On February 13, 2009, Defendants Rosa Hernandez (“Ms. Hernandez”) and Dora Jimenez (“Ms. Jimenez”) filed their “Joinder on Webb County’s Motion to Dismiss and Reply to Plaintiffs’ Response.” (Dkt. No. 60). In their motion, Ms. Hernandez and Ms. Jimenez joined the County’s motion, requesting that Plaintiffs’ state law claims in their official and personal eapaci
II. Legal Standard
Under Federal Rule of Civil Procedure 12(b)(6), a party may move to dismiss an action for “failure to state a claim upon which relief can be granted.” In evaluating a Rule 12(b)(6) motion, “[t]he complaint must be liberally construed, with all reasonable inferences drawn in the light most favorable to the plaintiff.”
Woodard v. Andrus,
III. Analysis
a. The County’s Motion to Dismiss all of Plaintiffs’ State Law Claims Against the County and the Four Individual Defendants in Their Official Capacities Under Governmental Immunity Should Be Granted.
The County argues that governmental immunity protects it from liability on Plaintiffs’ state law claims for intentional infliction of emotional distress, defamation, discharge for refusal to commit illegal acts (Sabine Pilot claim), and retaliation for complying with a subpoena (under Section 52.051 of the Texas Labor Code). The County further argues that a lawsuit against county employees in their official capacities is the same as a lawsuit against the County; thus, the doctrine of governmental immunity also bars Plaintiffs’ above-stated claims against the individual Defendants in their official capacities. Besides briefly discussing the claim under the Texas Labor Code, Plaintiffs’ response does not address the rest of the County’s arguments under governmental immunity.
Sovereign immunity shields a state from suit unless it expressly consents to being sued.
See Harris County v. Sykes,
Under Texas law, a governmental unit is immune from tort liability unless the Legislature has waived immunity.
See
1.Intentional torts
Plaintiffs have alleged intentional infliction of emotional distress and defamation claims against the County and the four individuals in their official capacities. The Tort Claims Act explicitly states that it does not extend its limited waiver of immunity to claims “arising out of assault, battery, false imprisonment,
or any other intentional tort.”
Tex. Civ. Prac. & Rem. Code § 101.057 (West 2005) (emphasis added);
see also Hohman,
2.Sabine Pilot claim
The County also contends that Plaintiffs’ claims against it (and the County employees in their official capacities) for wrongful discharge under
Sabine Pilot
are also barred by governmental immunity.
4
(Dkt. No. 57 at ¶¶ 4.10-4.11). While a Sabine Pilot claim, which is an exception to the employment-at-will doctrine, allows plaintiffs to sue for retaliatory discharge, this Court cannot find either legislative consent or a statutory exception that would prevent the County from utilizing the doctrine of governmental immunity. Several courts have also concluded that the Texas legislature has not waived the immunity of governmental entities for
Sabine Pilot
claims.
See Rohus v. Parker County,
3.Retaliation for complying with a subpoena
Finally, the County asserts that governmental immunity protects it (and
To waive the State’s sovereign immunity, the Texas Legislature must do so by clear and unambiguous language.
City of LaPorte v. Barfield,
Section 52.051(a) provides that “[a]n employer may not discharge, discipline, or penalize in any manner an employee because the employee complies with a valid subpoena to appear in a civil, criminal, legislative, or administrative proceeding.” Tex. Lab.Code § 52.051(a) (West 2006). However, the term “employer” is not defined in Section 52.051 or in Chapter 52 (Miscellaneous Restrictions) of Title 2 of the Texas Labor Code. Also, there is no general definition of “employer” that applies to all of the chapters in Title 2 of the Texas Labor Code. However, some chapters within Title 2 have a specific definition for “employer” that is only to be utilized for that specific chapter. For example, under Chapter 21 (Employment Discrimination), Section 21.002(8)(D), the definition of employer includes “a county, municipality, state agency, or state instrumentality....” Tex. Lab.Code § 21.002(8)(D) (West 2006). But under Chapter 22 (Employment Discrimination For Participating In Emergency Evacuation), Section 22.001(5) defines employer as “a person who employs one or more employees.” Tex. Lab.Code § 22.001(5) (West 2006). Moreover, Chapter 61 (Payment of Wages), Section 61.001(4) defines an employer as “a person who “(A) employs one or more employees; or (B) acts directly or indirectly in the interests of an employer for compensation....”” Tex. Lab.Code § 61.001(4) (West 2006).
According to well-established principles of statutory construction, every word of a statute is presumed to have been included for a purpose.
Cameron v. Terrell & Garrett, Inc.,
Another example of the Legislature expressly waiving immunity through clear and unambiguous language is found in the Texas Whistleblower Act.
See
Tex. Gov’t Code § 554.0035 (West 2004). That act provides that a public employee claiming that he was terminated from employment after making a good faith report of illegal activities by his employer “may sue the employing state or local governmental entity.”
Id.
Furthermore, the act provides that “[sovereign immunity is waived and abolished to the extent of liability for the relief allowed under this chapter for a violation of this chapter.”
Id.; see also Texas Dept. of Human Servs. v. Okoli,
b. The County’s Motion to Dismiss Plaintiffs’ State Law (Tort) Claims Against the Four Individual Defendants in Their Personal Capacities Under Section 101.106(e) Should Be Granted.
Pursuant to Section 101.106(e), the County asks the Court to dismiss Plaintiffs’
Sabine Pilot
claims, defamation claims, and intentional infliction of emotional distress claims that were brought against the four individual defendants in their personal capacities. (Dkt. No. 57 at ¶ 6.01). Section 101.106(e) provides: “[i]f a suit is filed under this chapter against both a governmental unit and any of its employees, the employees shall immediately be dismissed on the filing of a motion by the governmental unit.” Tex. Civ. Prac. & Rem.Code § 101.106(e). However, Plain
Today, Plaintiffs argument is unfounded.
7
In
Mission Consol. Indep. Sch. Dist. v. Garcia,
the Texas Supreme Court held that all tort theories (including intentional torts) alleged against a governmental entity, whether it is sued alone or together with its employees, are assumed to be brought under the Tort Claims Act for purposes of Section 101.106.
8
c. Plaintiffs’ Alternative Motion for Leave to File Amended Complaint Should Be Denied.
Should the County’s motion to dismiss the individual defendants in their personal capacities be granted under Section 101.106(e), Plaintiffs move to file an amended complaint pleading their claims of intentional infliction of emotional distress, defamation, and discharge for refusal to commit illegal acts against the individual defendants only. (Dkt. No. 58 at ¶ 12). The Court construes Plaintiffs’ argument to be that the Erie doctrine and/or Rule 15 of the Federal Rules of Civil Procedure should allow them to circumvent Section 101.106(e).
Additionally, Plaintiffs asked the Court for leave to amend their complaint in the event the County is not deemed an “employer” under Section 52.051 of the Texas Labor Code to allege a claim against Ms. Barrera in her personal capacity only. (Dkt. No. 58 at ¶ 31).
1. Plaintiffs’ argument under the Erie doctrine
Plaintiffs contend that Section 101.106 of the Texas Civil Practice and Remedies Code does not apply in this fed
For cases involving an applicable federal rule, the Supreme Court has refined the
Erie
doctrine, holding that the federal rule will generally apply where it directly collides with state law.
See Walker v. Armco Steel Corp.,
Here, Plaintiffs argue that Section 101.106 conflicts with Federal Rule of Civil Procedure 15(a) and (c) by prohibiting Plaintiffs from amending their pleadings. (Dkt. No. 58 at § 21). However, while the election of remedies provision of Section 101.106 impacts a plaintiffs ability to amend his complaint, Section 101.106 represents a substantive policy of the state and does not directly conflict with Rule 15.
9
Specifically, “[t]he function of Rule 15(a), which provides generally for the amendment of pleadings, is to enable a party to assert matters that were overlooked or were unknown at the time he interpreted the original complaint or answer.” 6 Charles Alan Wright, Arthur R. Miller
&
Mary Kay Kane, Federal Practice and Procedure § 1473 (2d ed. 1990). Furthermore, Rule 15(e) is based on the premise that once litigation has begun, a party should not be barred by the statute of limitations from later amending his pleadings to assert claims or defenses that arise out of the same conduct, transaction, or occurrence as set forth in the original pleadings.
See id.
at § 1496-97. In contrast, Section 101.106 is aimed at reducing the resources that the government and its employees must use in defending similar suits and alternative theories of recovery.
See Garcia,
To determine whether Section 101.106(e) should be applied in this case, the Court must take into account the twin aims of the
Eñe
doctrine: (1) discouragement of forum-shopping and (2) avoidance of inequitable administration of the laws.
See Hanna,
The second aim of Eñe looks to whether denial of the state provision in federal court would result in disparate treatment between those parties suing in state court and those suing in federal court on the same cause of action. Id. at 1047-48. If Section 101.106(e) was found not to apply in federal court, the result would be that governmental employees sued in their personal capacities would be subject to dismissal in state court upon the proper motion, but not in federal court. Thus, in order to curb forum-shopping and avoid inequitable administration of the laws, the election of remedies provisions in Section 101.106 should not be barred under the Eñe doctrine.
2. Plaintiffs’ argument under Rule 15
Should the County’s motion to dismiss the individual defendants in their personal capacities be granted, Plaintiffs move to file an amended complaint against the individual defendants only, pleading their claims of intentional infliction of emotional distress, defamation, and discharge for refusal to commit illegal acts. (Dkt. No. 57 at ¶ 12). Federal Rule of Civil Procedure 15(a)(2) provides that leave to amend should be freely given by the court when justice so requires. “A district court must possess a ‘substantial reason’ to deny a request for leave to amend.”
Smith v. EMC Corp.,
The Court finds that Defendants would be unduly prejudiced if Plaintiffs were granted leave to amend their complaint to pursue their causes of action against the individual defendants in their personal capacities only. Plaintiffs argue that even if they are not allowed to amend their complaint, their civil rights claims brought under Section 1983 will remain pending and will substantially involve the same conduct as the state law claims. (Dkt. No. 58 at ¶ 25). Thus, Plaintiffs contend that dismissal of Plaintiffs’ state law claims against the employees will in no way result in undue prejudice because Defendants would still have to conduct the same discovery in an effort to defend against Plaintiffs’ Section 1983 claims. (See id.). However, while Plaintiffs’ state law claims may involve issues similar to those presented in the Section 1983 claims, the fact remains that the individual Defendants would still be burdened by the exposure resulting from the additional theories of liability should Plaintiffs be allowed to pursue their state law claims, which are now prohibited as a result of Section 101.106(e).
Further, this Court has a “substantial reason” to deny Plaintiffs’ request for leave to amend against the employees in their personal capacities. As stated above, Section 101.106 is aimed at reducing the resources that the government and its employees must use in defending similar suits and alternative theories of recovery.
See Garcia,
Moreover, other district courts have refused to allow plaintiffs to amend then-pleadings under Rule 15 so as to circumvent the election of remedies provision of Section 101.106(e). For example, in a case out of the Western District of Texas, the court acknowledged that a plaintiffs initial decision regarding what parties to sue under the Tort Claims Act constituted an irrevocable election of remedies.
Flores v. Sanchez,
Similarly, another federal court in a case from the Northern District of Texas reasoned that a plaintiff may not avoid the force of Section 101.106 by amending its complaint to remove allegations made against the employee defendants in then-official capacities.
Davray, Inc. v. Midlothian,
In both Flores and Midlothian, the courts prohibited plaintiffs from amending their complaints in an attempt to evade the consequences of Section 101.106, citing substantive policy reasons supporting their decisions. This Court agrees with the reasoning found in these decisions. As such, because the Court finds that granting Plaintiffs’ request for leave to amend in order to pursue their state law claims against the individual employees in their personal capacities would cause the individual Defendants to be unduly prejudiced and would severely undermine the state of Texas’ substantive policy, the Court recommends that Plaintiffs’ alternative request for leave to amend their complaint under Federal Rule of Civil Procedure 15(a)(2) be DENIED.
3. Plaintiffs’ additional request to amend their complaint
Finally, Plaintiffs asked the Court for leave to amend their complaint in the event the County is not deemed an “employer” under Section 52.051 of the Texas Labor Code to allege a claim against Ms. Barrera in her personal capacity only. Only Plaintiff Julissa Guajardo asserts a claim under Section 52.051 of the Texas Labor Code. (Dkt. No. 12 at ¶¶ 193-194). On January 28, 2009, Plaintiffs dismissed their claims under Section 52.051 of the Texas Labor Code against Ms. Novoa, Ms. Hernandez, and Ms. Jimenez only. (Dkt. No. 50 at ¶ 10). In its motion, the County sought dismissal only for the Sabine Pilot claims, the defamation claims, and the intentional infliction of emotional distress claims that Plaintiffs brought against the individual Defendants in their personal capacities under Section 101.106(e). (Dkt. No. 57 at ¶ 6.10) Neither the County nor Ms. Barrera has moved under any theory or provision asking this Court to dismiss this claim against Ms. Barrera in her personal capacity. Therefore, Plaintiffs’ request should be DENIED as MOOT.
IV. Recommendation
For the foregoing reasons, the Court recommends that the state law claims of intentional infliction of emotional distress, defamation, discharge for refusal to commit illegal acts (the Sabine Pilot claim), and retaliation for complying with a valid subpoena (under Section 52.051). alleged against the County and Defendants Ms. Barrera, Ms. Novoa, Ms. Hernandez, and Ms. Jimenez in their official capacities be DISMISSED. Further, the Court recommends that the state claims of intentional infliction of emotional distress, defamation, and discharge for refusal to commit illegal acts (the Sabine Pilot claim) against Defendants Ms. Barrera, Ms. Novoa, Ms. Hernandez, and Ms. Jimenez in their individual capacities be DISMISSED. Therefore, it is recommended that the County’s Motion to Dismiss (Dkt. No. 57) be GRANTED. Finally, it is recommended that Plaintiffs’ “Alternative Motion for Leave to File Amended Complaint” (Dkt. No. 58) be DENIED IN ITS ENTIRETY.
Within ten (10) days after receipt of the magistrate judge’s report, any party may serve and file written objections to the findings and recommendations of the magistrate judge. 28 U.S.C.A. § 636(b)(1)(C).
A party’s failure to file written objections to the findings, conclusions and recommendations contained in this report within ten days after service shall bar that party from
de novo
review by the district judge of those findings, conclusions and recommendations and, except upon grounds of plain error, from attacking on appeal the unobje'cted-to proposed factual findings and legal conclusions accepted
SIGNED this 2nd day of April, 2009, at Laredo Texas.
Notes
. Federal Rule of Civil Procedure 72(b) provides that, "[w]ithin 10 days after being served with a copy of the recommended disposition, a party may serve and file specific written objections to the proposed findings and recommendations.” Fed.R.CivP. 72(b). Because the Magistrate Court issued the Report and Recommendation on April 2, 2009, any objections were due on April 16, 2009.
. As noted by the Fifth Circuit, ”[t]he advisory committee’s note to Rule 72(b) states that, ‘[w]hen no timely objection is filed, the [district] court need only satisfy itself that there is no clear error on the face of the record in order to accept the recommendation.’"
Douglass
v.
United Servs. Auto. Ass’n,
. This matter was referred to the undersigned to conduct pretrial proceedings in accordance with 28 U.S.C. § 636.
. Plaintiffs’ First Amended Complaint was filed on October 13, 2008. (Dkt. No. 12).
. "In order for immunity to be waived under the Act, the claim must arise under one of the three specific areas of liability for which immunity is waived, and the claim must not fall under one of the exceptions from waiver.”
Morgan v. City of Alvin,
. A
Sabine Pilot
claim arises under common law when a person is discharged for refusing to commit an illegal act.
See Sabine Pilot Service, Inc. v. Hauck,
. Only Plaintiff Julissa Guajardo asserts a claim under Section 52.051 of the Texas Labor Code. (Dkt. No. 12 at ¶¶ 193-194).
. On January 28, 2009, Plaintiffs dismissed their claims under Section 52.051 of the Texas Labor Code against Ms. Novoa, Ms. Hernandez, and Ms. Jimenez. (Dkt. No. 50 at ¶ 10).
. However, the Court acknowledges that, before
Mission Consol. Indep. Sch. Dist. v. Garcia,
. In determining questions of state law, "federal courts look to final decisions of the highest court of the state.”
Transcon. Gas Pipe Line Corp. v. Transp. Ins. Co., Ltd.,
. Texas has a rule of civil procedure governing amendment of pleadings. See Tex.R. Civ. P. 63. Federal Rule of Civil Procedure 15 would clearly govern in the event of a conflict with that rule. Here, however, Federal Rule of Civil Procedure 15 is not broad enough to control the election of remedies issue governed by Section 101.106 of the Texas Civil Practices and Remedies Code.
. Had there been a direct conflict between Federal Rule of Civil Procedure 15 and Section 101.106, the Court would have had to analyze this conflict under
Hanna.
Under the
Hanna
analysis, the Court would have had to determine whether the federal rule was within the scope of the Rules Enabling Act, and if so, within a constitutional grant of power.
Hanna,
