Lead Opinion
Plaintiff Roger Bott appeals from the district court’s judgment that the Utah Governmental Immunity Act, Utah Code Ann. § 63-30-34(l)(a) & (b), limits to $250,000 his recovery of personal injury damages against defendants Department of Corrections Executive Director Gary DeLand, Utah State Prison Medical Administrator Bien Freestone, and Dean Laney, a nurse practitioner at the prison. Defendants cross-appeal from judgments against Laney for negligence and against DeLand, Freestone, and Laney for their violation of article I, section 9 of the Utah Constitution.
Bott became an inmate at the Utah State Prison on October 5, 1987. After almost two years of incarceration, he began experiencing blurred vision in his right eye. He reported this condition to a prison medical technician, and the technician informed Laney of Bott’s complaint. A few days later, Laney examined Bott’s eyes, determined that his condition was not serious, and placed him on a waiting list to see an optometrist. During the next four weeks, the vision in both of his eyes steadily worsened until he lost all of the vision in his right eye and most of the vision
Bott initiated two actions against defendants. The first was an action against Laney for negligently failing to examine him, notify physicians of his condition, and treat him prior to the onset of malignant hypertension and severe renal failure. The second was an action against DeLand, Freestone, Laney, and Robert F. Powell, who is not part of this appeal. That action alleged a claim for damages under the “unnecessary rigor” clause, article I, section 9 of the Utah Constitution, and under 42 U.S.C. § 1983 for the violation of Bott’s right to be free from cruel and unusual punishments under the Eighth Amendment of the United States Constitution. The district court consolidated these two actions and conducted a jury trial. The jury found that Laney was negligent, causing Bott to suffer $490,000 in damages. The jury also found that Laney, DeLand, and Freestone violated Bott’s rights under article I, section 9 of the Utah Constitution and, as a result, Bott suffered $490,000 in damages.
Bott appeals, making several constitutional and statutory arguments against the application of the statutory cap on damages. Before addressing these arguments, however, we will examine the issues raised by defendants in their cross-appeal. Their first contention is that statutory governmental immunity applies to shield them from Bott’s negligence and state constitutional actions. Their second argument is that article I, section 9 of the state constitution cannot be the basis of an award of monetary damages. We examine each of these issues separately.
I. STATUTORY GOVERNMENTAL IMMUNITY FOR NEGLIGENCE
Defendants contend that under subsections 63-30-4(3) and (4) of the Governmental Immunity Act, they cannot be personally liable to Bott for damages under either the negligence theory or the state constitutional theory unless they acted with fraud or malice. See Maddocks v. Salt Lake City Corp.,
We initially dispose of Bott’s contention that defendants did not preserve the issue of governmental immunity for appeal. As defendants point out, Laney’s first response to the negligence action was to move for dismissal on the basis of governmental immunity. The trial court denied this motion when it ruled that subsections 63-30-4(3) and (4) were unconstitutional. Meanwhile, in the action for damages under the state and federal constitutions, DeLand, Freestone, and Laney pleaded the defense of immunity in their answer to the amended complaint. After the court consolidated the claims, held trial, and received the jury’s verdict, defendants again raised the issue of governmental
A. The Negligence Claim
In arguing that governmental immunity does not shield Laney from the negligence action, Bott asserts that this court should affirm the trial court’s ruling that subsections 63-30-4(8) and (4) are unconstitutional because they violate the open courts clause, article I, section 11, the due process clause, article I, section 7, and the uniform operation of laws clause, article I, section 24 of the Utah Constitution. We have already addressed these arguments in Ross v. Schackel,
In Ross, we held that subsections 63-30-4(3) and (4) do not violate the open courts clause because they did not abrogate a remedy available to prisoners at common law. We find no basis for distinguishing Laney’s position from the position of the prison physician in Ross, and thus we conclude that Bott could not have maintained a negligence action against Laney at common law and that subsections 63-30-4(3) and (4) are constitutional under the open courts clause.
Our analysis of these subsections in Ross under the due process and uniform operation of laws clauses also applies in this case. Laney’s position as a nurse practitioner does not alter either the standards of review or the statutory objectives upon which we based our analysis in Ross, and Bott does not present any arguments that we did not consider in that case. Therefore, we reverse the trial court’s judgment in favor of Bott on the issue of Laney’s negligence.
B. The State Constitutional Claim
Next, we examine whether governmental immunity shields DeLand, Freestone, and Laney from Bott’s action under the “unnecessary rigor” clause of the Utah Constitution, article I, section 9. As with the negligence claim, Bott asserts that subsections 63-30-4(3) and (4) should not be applied because doing so would violate the open courts clause. We agree that these subsections should not be applied, but we do not base our conclusion upon the open courts clause. Quite simply, we decline to apply these subsections because they constitute an unreasonable regulation of Bott’s article I, section 9 right to be free of “unnecessary rigor.”
“[A]ny rule or regulation in regard to the remedy which does not, under pretense of modifying or regulating it, take away or impair the right itself, cannot be regarded as beyond the proper province of legislation.” 2 Thomas M. Cooley, Constitutional Limitations 756 (1927). However, the legislature’s “fraud or malice” standard contained in subsections 63-30-4(3) and (4) impairs article I, section 9 rights because it does bar claims that would otherwise be allowed under the standards that we will subsequently discuss. Moreover, governmental immunity cannot apply where a claimant alleges that the state or a state employee violated his constitutional rights. Colman v. Utah State Land Bd.,
II. MONETARY DAMAGES FOR THE VIOLATION OF THE UNNECESSARY RIGOR CLAUSE OF THE UTAH CONSTITUTION
Defendants next contend that article 1, section 9 cannot be the basis for a recovery of damages against them. Article I, section 9 provides:
Excessive bail shall not be required; excessive fines shall not be imposed; nor shall cruel and unusual punishments be inflicted. Persons arrested or imprisoned shall not be treated with unnecessary rig- or.
It has been recognized that the guarantee against cruel and unusual punishment focuses specifically on the methods or conditions of punishment, while the guarantee against unnecessarily rigorous treatment extends both to prisoners and to arrestees and protects them against unnecessary abuse. Sterling v. Cupp,
Article I, section 9 may provide the basis for an award of damages if it is a self-executing provision — which traditionally allows courts to award injunctions and invalidate conflicting statutes — and if it furnishes sufficient authority for remedies of money damages. Courts have developed the concept of self-execution as a means of determining whether a constitutional provision may be enforced without implementing legislation. A constitutional provision is self-executing if it articulates a rule sufficient to give effect to the underlying rights and duties intended by the framers. Davis v. Burke,
Article I, section 9 is a self-executing provision. This provision does more than state general principles; it prohibits specific evils that may be defined and remedied without implementing legislation. Indeed, this court has already defined and enforced this provision without the aid of legislation. See, e.g., Wickham,
Having determined that article I, section 9 is self-executing, we must now determine whether self-executing clauses provide an adequate basis for a recovery of damages. The decisions of other courts on this issue vary widely. While the states are divided, the United States Supreme Court has held that self-executing federal constitutional provisions may be the basis for an award of money damages. In the landmark ruling Bivens v. Six Unknown Federal Narcotics Agents,
that the ruling in Carlson does not “constitu-tionalize” prisoners’ tort actions. Rather, a prisoner may recover damages for inadequate medical care only upon a showing of “deliberate indifference,” as defined by the United States Supreme Court in Estelle,
State courts have taken several different approaches in interpreting state constitutional provisions. Some courts entirely reject attempts to recover damages for the violation of state constitutional rights. Medina,
The only common feature of all of these cases is that they hold that simple negligence is not sufficient justification for a damage claim. But see Widgeon v. Eastern Shore Hosp. Ctr.,
After examining the reasoning of courts that have ruled on the issue of whether self-executing provisions allow awards of money damages, we find those eases allowing awards to be more persuasive. In recognizing a claim for money damages under the
[I]t must ... be recognized that the Bill of Rights is particularly intended to vindicate the interests of the individual in the face of the popular will as expressed in legislative majorities; at the very least, it strikes me as no more appropriate to await express congressional authorization of traditional judicial relief with regard to these legal interests than with respect to interests protected by ... statutes.
Bivens,
Next, we must determine whether self-executing provisions provide a basis for an award of damages against state employees or only from the state. In arguing against a recovery of damages from state employees, defendants assert that courts have never allowed recovery against private individuals without implementing legislation. Defendants point out that “it took an act of Congress in the form of the ‘Klu Klux Klan Act’ of 1871 to provide a tort-like remedy for the violation of a citizen’s rights under the United States Constitution” (citing Monroe v. Paye,
Although we hold that prisoners are entitled to recover damages from prison employees, it does not follow that employees may be held hable for any injury. A prison employee’s “lot is not so unhappy” that he cannot
We hold that a prisoner may not recover damages under article I, section 9 unless he shows that his injury was caused by a prison employee who acted with deliberate indifference or inflicted unnecessary abuse upon him. The deliberate indifference standard protects prisoners from cruel and unusual punishments, and the unnecessary abuse standard protects prisoners from unnecessary rigor. See Utah Const, art. I, § 9. We explore each of these standards separately.
The deliberate indifference standard differentiates between inadvertent misconduct, which does not give rise to liability under article I, section 9, and the “unnecessary and wanton infliction of pain,” which does. Estelle,
On the other hand, a prison physician would be liable under the deliberate indifference standard for choosing an “‘easier and less efficacious treatment’ ” than professional judgment dictates, such as “throwing away the prisoner’s [viable] ear and stitching the stump.” Estelle,
Unlike the deliberate indifference standard, the unnecessary abuse standard has not been widely explored. This standard was pioneered by the Oregon Supreme Court under the unnecessary rigor clause of the Oregon Constitution, article I, section 13. The court, noting that the heart of the unnecessary rigor provision was its ability to embody evolving touchstones of humanity, based this standard upon internationally accepted standards of humane treatment as articulated in the Universal Declaration of Human Rights, the International Covenant of Civil and Political Rights, and the Standard Minimum Rules for the Treatment of Prisoners adopted by the First United Nations Congress on the Prevention of Crime and the Treatment of Offenders in 1955. Sterling,
Having established the applicable standards of liability under article I, section 9, we address defendants’ argument that jury instruction 43 allowed the jury to find liability merely on the basis of a deviation from the accepted standard of care in the medical community, rather than on a finding of “deliberate indifference” or “unnecessary abuse.” In examining the record, we find that jury instruction 43 was intended solely as an instruction on the issue of proximate causation and that the trial court articulated the deliberate indifference and the unnecessary abuse standards in jury instructions 68 and 69. See State v. Johnson,
III. STATUTORY CAP
The final issue is whether the trial court properly interpreted and then applied the statutory cap on damages, Utah Code Ann. § 63-30-34(l)(a) & (b), to limit Bott’s jury award of $490,000 on his constitutional claim to $250,000. At the outset, we observe that these subsections are contained in the Governmental Immunity Act and arguably were not intended by the legislature to cap damages awardable for violations of constitutional rights but were meant only to cap damages recovered under provisions of the Act. However, because none of the parties have briefed or argued that theory, we will assume without deciding that it was the legislative intent that the damage cap apply to all recoveries against a governmental entity for personal injuries.
Bott contends that the trial court misinterpreted subsections 63-30-34(l)(a) and (b) and that as so interpreted and applied, these subsections are unconstitutional under article I, sections 7, 11, 12, and 24, article 5, and article 6, section 26 of the Utah Constitution. Because constitutional issues should not be decided unless they are squarely before the court, 1 Thomas M. Cooley, Constitutional Limitations 388 (1927), we will determine whether the trial court misinterpreted and thus misapplied these subsections before we address the constitutional issues.
A Statutory Construction
Subsections 63-30-34(l)(a) and (b) provide:
(a) ... [I]f a judgment for damages for personal injury against a governmental entity, or an employee whom a governmental entity has a duty to indemnify, exceeds $250,000 for one person in any one occurrence, or $500,000 for two or more persons in any one occurrence, the court shall reduce the judgment to that amount.
(b) A court may not award judgment of more than $250,000 for injury or death to one person regardless of whether or not the ... function giving rise to the injury is characterized as governmental.
The trial court, in examining whether these subsections limit Bott’s recovery, “pre-' sume[d] that the legislature intended that more than one occurrence means two distinct and separate injuries such as the defendant
Bott argues that the trial court erred in interpreting the term “occurrence” as referring to the number of injuries rather than to the number of causes leading to the injury. He asserts that a substantial number of courts, in examining similar statutes, have interpreted “occurrence” as referring to the number of causes of an injury (citing Wiltshire v. Government of Virgin Islands,
Although case law from other courts is persuasive, it is not controlling in our interpretation of subsections 63-30-34(l)(a) and (b), and we must conduct an independent examination of these subsections according to the rules of statutory construction. Under these rules, we must presume that the legislature used each word advisedly, and we give effect to each word according to its commonly accepted meaning. Versluis v. Guaranty Nat’l Cos.,
The commonly accepted meaning of “occurrence” is a happening or an event. Blank’s Law Dictionary 974 (5th ed.); American Heritage Dictionary 475 (2d ed.). Thus we do not interpret the term as referring to the number of injuries sustained by a claimant or the number of causes that contributed to the injuries; we interpret it as referring to the number of causes that inflicted completely separate injuries. For example, a plaintiff who was hit by a state snow plow, rescued by an ambulance, and then injured further when the ambulance was hit by a state dump truck may collect damages for two occurrences. However, a plaintiff may not receive damages for two occurrences after sustaining multiple injuries solely from being hit by a state snow plow or after sustaining one injury from being hit by a state snow plow and a state dump truck at the same time.
This interpretation is supported by the meaning of the statute as a whole, which aids us by referring to awards of damages in several contexts. For example, subsection 63-30-34(l)(b) states that not more than $250,000 may be awarded “for injury or death to one person.” Because this phrase contemplates a $250,000 cap for injury or death without regard to the number of causes, we cannot interpret the term “occurrence” as allowing a separate $250,000 cap for each contributing cause or for alternative causes of injury or death.
Likewise, we cannot interpret the term as allowing a separate $250,000 cap for each injury. Subsection 63-30-34(l)(a) states that a judgment may not exceed “$250,000 for one person in any one occurrence, or $500,000 for two or more persons in any one occurrence.” This phrase contemplates that although more than two people may each receive an injury from the same cause, the maximum that they may collectively receive is $500,000. Clearly, the legislature did not intend to award a maximum of $250,000 for each injury. Thus, we find in examining the statute as a whole that the legislature intended to bar a claimant from collecting more than $250,000 unless the claimant received separate injuries from clearly separate causes, and this amount may not be increased by the number of causes contributing to a single injury, the duration of the cause of the injury, or the number of injuries resulting from one particular cause.
Bott argues that even if we reject his argument that the term “occurrence” re
Finally, Bott argues that the statutory cap should not apply because DeLand is no longer employed by the Department of Corrections and defendants did not show that they are employees “whom a governmental entity has a duty to indemnify” as required by subsection 63 — 30—34(1)(a). We find these arguments to be meritless. All the defendants were employed by the Department of Corrections at the time the relevant events occurred, and the State of Utah is statutorily obligated to pay the judgments entered against them. Therefore, we conclude that the trial court properly interpreted subsections 63-30-34(l)(a) and (b).
B. Constitutional Validity
Next, we examine the constitutionality of subsections 63-30-34(l)(a) and (b) as applied in this ease. We have already held that these subsections are constitutional under article I, sections 7, 10, 11, and 24 of the Utah Constitution as applied to judgments for injuries resulting from a governmental entity’s failure to maintain safe road conditions. McCorvey v. Utah State Dep’t of Transp.,
Although “[l]awful incarceration brings about the necessary withdrawal or limitation of many privileges and rights,” Price v. Johnston,
Although defendants hardly addressed either the interests promoted by the subsections or the constitutionality of these subsections, we recognize that they were designed to preserve the government’s ability to render critical government services by protecting the public treasury from unreasonable depletion. See Blue Cross & Blue Shield v. State,
Next, we examine whether subsections 63-30-34(l)(a) and (b) unreasonably impair the right of prisoners to recover for the violation of their article I, section 9 rights. Imposing a statutory cap on damages is a crippling regulation of prisoners’ right to recover under article I, section 9, see Wright,
IV. CONCLUSION
In sum, we hold that subsections 63-30-4(3) and (4) of the Utah Code, which provide that government employees cannot be hable for injuries in the absence of fraud or malice, are constitutional as applied to a prisoner’s negligence claims against prison employees. We also conclude that the state constitutional provision against unnecessarily rigorous treatment of prisoners, article I, section 9, provides a basis for an award of monetary damages if a prisoner proves that a prison employee was deliberately indifferent to his medical needs or subjected him to clearly excessive or deficient and unjustified treatment. Finally, we hold that the statutory cap on damages is an unreasonable regulation of Bott’s article I, section 9 rights.
The judgment below is reversed, and the case is remanded to the trial court to enter amended judgments against defendants on plaintiffs constitutional claim without regard to the statutory cap on damages.
Notes
. Bott stipulated that to avoid double recovery, he was entitled to only one judgment of $490,000.
. Some scholars trace the philosophical underpinnings of cruel and unusual punishment clauses to the Old Testament, which described the Judeo-Christian law as embodying the concept of " ‘[e]ye for eye, tooth for tooth.’ ” Arthur B. Berger, Wilson v. Seiter: An Unsatisfying Attempt at Resolving the Imbroglio of Eighth Amendment Prisoners' Rights Standards, 1992 Utah L.Rev. 565, 567 (quoting Exodus 21:24 (King James)). This concept of proportionality and fixed punishment also appeared in the writings of Aristotle and in Anglo-Saxon, Germanic, and Norse law. Id. at 567.
Concurrence Opinion
concurring and dissenting:
I concur in the judgment and in the majority opinion with one exception. One of plaintiffs actions against Dean Laney, the nurse practitioner at the prison, was based on a claim of negligence. In my view, that claim was not barred by the doctrine of official immunity for the reasons set out in my dissenting opinion in Ross v. Schackel,
