Opinion
Patricia Cordova brought an action in state court against the Los Angeles County Sheriff’s Department and certain others alleging sexual harassment by her coworkers and supervisors. She asserted violations of state law as well as a federal statute, 42 United States Code section 1983, which creates a cause of action for violations, by those wielding state authority, of a person’s civil rights under the federal Constitution. While the action was pending, plaintiff died in a car accident.
California law allows a deceased plaintiff’s estate to maintain an action pending at the plaintiff’s death and to recover any damages, including punitive damages, to which the plaintiff would have been entitled, with one exception: it precludes the estate from obtaining any damages for the
plaintiff’s pain and suffering. (Code Civ. Proc., § 377.34.) Here, plaintiff’s husband, Kim A. Schonert, pursued on behalf of her estate the action his deceased wife had brought in state court. The superior court found section 377.34’s ban against
The Court of Appeal upheld the trial court’s ruling. We disagree.
I. Applicable Statutory Law
A. Survival Actions in California
When, as here, a plaintiff dies while a personal injury action is pending, California allows the action to be maintained by “the decedent’s personal representative or, if none, by the decedent’s successor in interest.” (Code Civ. Proc., § 377.30.) This is commonly called a survival action. By statute, “the damages recoverable are limited to the loss or damage that the decedent sustained or incurred before death, including any penalties or punitive or exemplary damages that the decedent would have been entitled to recover had the decedent lived, and do not include damages for pain, suffering, or disfigurement.” (Code Civ. Proc., § 377.34, italics added (hereafter section 377.34).) This is the state statute at issue here.
Under the common law, by contrast, “all causes of action for
personal torts
abated on the death of either the injured party or the tortfeasor.”
(Sullivan
v.
Delta Air Lines, Inc.
(1997)
A dozen years later, in 1961, the Legislature repealed section 956 of the Civil Code and moved its provisions, with certain amendments, to former section 573 of the Probate Code. (Stats. 1961, ch. 657, § 2, p. 1868;
Sullivan
v.
Delta Air Lines, Inc., supra,
But the study that accompanied the 1961 Law Revision Commission Report, drafted by the Commission’s research consultant, Attorney Leo V. Killion, expressed a contrary view: “ ‘[D]amages should not be awarded for the deceased’s pain and suffering, bodily disfigurement or loss of a member of his body. Such injuries are strictly to the person of the deceased and, in and of themselves, do not lessen the value of his estate and are not of such a transmissible nature that they should be made the basis of legal liability or an award of compensatory damages after the victim’s death. If the deceased were still
The Legislature apparently found Killion’s view persuasive, for it chose not to adopt the recommendation of the 1961 Law Revision Commission to discontinue the statutory ban against recovery of damages for “pain, suffering or disfigurement.” (Stats. 1961, ch. 657, § 2, p. 1868.) But the Legislature did adopt the Commission’s recommendation to allow the estate to recover punitive or exemplary damages. (Ibid.; see 1961 Law Revision Com. Rep., supra, at p. F-11.)
Some 30 years later, in 1992, the Legislature enacted section 377.34, which now governs recovery of damages in survival actions. (Stats. 1992, ch. 178, § 20, p. 892.) The Legislature left intact the ban against an estate’s recovery of damages for the deceased plaintiff’s “pain, suffering, or disfigurement.” (§ 377.34.)
B. Federal Civil Rights Actions
The federal statute at issue here is 42 United States Code section 1983 (hereafter sometimes referred to as the federal civil rights statute or section 1983), one of the Reconstruction-era statutes included in the Civil Rights Act of 1871. It creates a cause of action in favor of “the party injured” against “[ejvery person who, under color of any statute, ordinance, regulation, custom, or usage, of any State . . . , subjects, or causes to be subjected, any . . . person ... to the deprivation of any rights . . . secured by the Constitution and laws . . . .” (42 U.S.C. § 1983.)
“Section 1983 ‘is not itself a source of substantive rights,’ but merely provides ‘a method for vindicating federal rights elsewhere conferred.’ ”
(Albright
v.
Oliver
(1994)
Federal law is silent on the remedies available to those suing for a violation of their civil rights under section 1983. (See
Carey
v.
Piphus
(1978)
II. Principles Governing Application of State Law in Federal Civil Rights Actions
A. Federal Preemption of State Law in a Federal Civil Rights Action Brought in State Court
Plaintiffs often bring federal civil rights actions under 42 United States Code section 1983 in state court rather than in federal court. Because section 1983 does not comprehensively dictate the procedures and remedies applicable to actions brought under it, a state court ordinarily applies state law in adjudicating those actions. The supremacy clause of the federal Constitution, however, prohibits a state court from applying state law that is inconsistent with federal law.
(Felder
v.
Casey
(1988)
In Felder v. Casey, the issue before the high court was whether a Wisconsin court could enforce the state’s “notice of claim” statute in a federal section 1983 action the plaintiff had brought in state court against the City of Milwaukee and certain of its police officers for an allegedly unjustified use of force by police officers during his arrest. Wisconsin law required a plaintiff suing a government entity or its agents to give written notice to the intended defendants within 120 days of the claimed injury. Because of the plaintiff’s failure to do so, the defendants moved to dismiss the case. The state trial court, however, refused to apply the state’s notice of claim requirement to the plaintiff’s federal civil rights causes of action, a decision upheld by the United States Supreme Court. (Felder v. Casey, supra, 487 U.S. at pp. 134-138 [108 S.Ct. at pp. 2304-2308].)
In finding Wisconsin’s notice of claim statute inapplicable to federal section 1983 actions, the United States Supreme Court observed that “the notice requirement burdens the exercise of the federal right by forcing civil
rights victims who seek redress in state courts to comply with a requirement that is entirely absent from civil rights litigation in federal courts.”
(Felder
v.
Casey, supra,
The high court went on to say: “Just as federal courts are constitutionally obligated to apply state law to state claims, [citation], so too the Supremacy Clause imposes on state courts a constitutional duty ‘to proceed in such manner that all the substantial rights of the parties under controlling federal law [are] protected.’ ”
(Felder
v.
Casey, supra,
The court held that in dismissing the state officials’ appeal, the Idaho Supreme Court had simply applied “a neutral state Rule regarding the administration of the state courts.”
(Johnson
v.
Fankell, supra,
The high court added: “If petitioners’ claim to qualified immunity is meritorious, there is no suggestion that the application of the Idaho rules of procedure will produce a final result different from what a federal ruling would produce. Petitioners were able to argue their immunity from suit claim to the trial court, just as they would to a federal court. And the claim will be reviewable by the Idaho Supreme Court after the trial court enters a final judgment, thus providing the petitioners with a further chance to urge their immunity. Consequently, the postponement of the appeal until after final judgment will not affect the ultimate outcome of the case.”
(Johnson
v.
Fankell, supra,
From these preemption decisions by the United States Supreme Court, we distill the following: Neutral state procedural rules of court administration not affecting the ultimate outcome of the controversy are not preempted by federal law. (See
Johnson
v.
Fankell, supra,
Accordingly, to decide in this case whether federal law preempts California’s statutory ban against an estate’s recovery of damages for the deceased plaintiff’s pain and suffering, we must first ascertain what survival rule a federal court sitting in California would apply in a federal section 1983 action.
B. Federal Court Adoption of State Law in Federal Civil Rights Action Brought in Federal Court
When a plaintiff dies during pendency of a civil rights case in
federal court,
there is no federal law on whether the lawsuit survives the plaintiff’s death or, if it does, what damages the personal representative of the plaintiff’s estate can recover in the survival action.
(Robertson
v.
Wegmann
As the United States Supreme Court explained in
Robertson
v.
Wegmann, supra,
Robertson
involved a question of inconsistency between state and federal law in a federal section 1983 action brought in federal court. The plaintiff, Clay L. Shaw, sued then New Orleans District Attorney Jim Garrison and others who had assisted in Garrison’s unsuccessful prosecution of Shaw for conspiring to assassinate President John F. Kennedy. Shaw alleged that the defendants’ actions violated his constitutional rights. Four years later, before trial, Shaw died and the executor of his estate maintained the lawsuit. The defendants moved for dismissal. They cited a Louisiana survival statute providing for abatement of an action other than one for damage to property upon the death of a plaintiff who, like Shaw, is not survived by a spouse, children, parents, or siblings. The federal district court denied the motion; it found Louisiana law to be inconsistent with federal law and therefore refused to apply it.
(Robertson
v.
Wegmann, supra,
The United States Supreme Court reversed. It observed that when “resolving questions of inconsistency between state and federal law raised under § 1988, courts must look not only at particular federal statutes and constitutional provisions,” but also at their underlying policies.
(Robertson
v.
Wegmann, supra,
“No claim is made here that Louisiana’s survivorship laws are in general inconsistent with these policies, and indeed most Louisiana actions survive the plaintiff’s death. [Citations.] Moreover, certain types of actions that would abate automatically on the plaintiff’s death in many States—for example, actions for defamation and malicious prosecution—would apparently survive in Louisiana. In actions other than those for damage to property however, Louisiana does not allow the deceased’s personal representative to be substituted as plaintiff; rather, the action survives only in favor of a spouse, children, parents, or siblings. [Citations.] But surely few persons are not survived by one of these close relatives, and in any event no contention is made here that Louisiana’s decision to restrict certain survivorship rights in this manner is an unreasonable one.
“It is therefore difficult to see how any of § 1983’s policies would be undermined if Shaw’s action were to abate. The goal of compensating those injured by a deprivation
“It is true that § 1983 provides ‘a uniquely federal remedy against incursions under the claimed authority of state law upon rights secured by the Constitution and laws of the Nation.’ [Citation.] That a federal remedy should be available, however, does not mean that a § 1983 plaintiff (or his representative) must be allowed to continue an action in disregard of the state law to which § 1988 refers us. A state statute cannot be considered ‘inconsistent’ with federal law merely because the statute causes the plaintiff to lose the litigation. If success of the § 1983 action were the only benchmark, there would be no reason at all to look to state law, for the appropriate rule would then always be the one favoring the plaintiff, and its source would be essentially irrelevant. But § 1988 quite clearly instructs us to refer to state statutes; it does not say that state law is to be accepted or rejected based solely on which side is advantaged thereby.”
(Robertson
v.
Wegmann, supra,
The United States Supreme Court described its holding in
Robertson
as “a narrow one, limited to situations in which no claim is made that state law generally is inhospitable to survival of § 1983 actions and in which the particular application of state survivorship law, while it may cause abatement of the action, has. no independent adverse effect on the policies
underlying § 1983.”
(Robertson
v.
Wegmann, supra,
To summarize, upon the death of a plaintiff who has a federal section 1983 action pending in a federal court, that court must apply the survival law of the forum state unless the state law is “inhospitable” to federal law when considered in light of the factors the United States Supreme Court has set forth in
Robertson
v.
Wegmann, supra,
in. Application of California Survival Law in Federal Civil Rights Actions
A. Actions Brought in Federal Court
As the United States Supreme Court has explained, “one specific area not covered by federal [civil rights] law is that
In California, “a cause of action for or against a person is not lost by reason of the person’s death” (Code Civ. Proc. § 377.20) and no “pending action . . . abatefs] by the death of a party . . .”
(id.,
§ 377.21). In a
survival action by the deceased plaintiff’s estate, the damages recoverable expressly exclude “damages for pain, suffering, or disfigurement.” (§ 377.34.) They do, however, include all “loss or damage that the decedent sustained or incurred before death, including any penalties or punitive or exemplary damages.”
(Ibid.)
Thus, under California’s survival law, an estate can recover not only the deceased plaintiff’s lost wages, medical expenses, and any other pecuniary losses incurred before death, but also punitive or exemplary damages. This state statutory provision applicable to every survival action when applied, as here, in a federal civil rights action is consistent with the dual policies of federal civil rights statute; “compensation of persons injured by deprivation of federal rights and prevention of abuses of power by those acting under color
of
state law.”
(Robertson
v.
Wegmann, supra,
In not allowing the estate to recover damages for the deceased plaintiff’s pain and suffering, our law does not undermine the federal civil rights law’s goal of “compensation of persons injured by deprivation of federal rights”
(Robertson
v.
Wegmann, supra,
By specifically providing for punitive or exemplary damages, our state law seeks to deter future wrongful behavior of the kind complained of and is thus consistent with the goal of the federal civil rights law to prevent “abuses of power by those acting under color of state law.”
(Robertson
v.
Wegmann, supra,
Essentially, the line drawn by the Legislature approximates the pecuniary out-of-pocket losses the deceased plaintiff experienced because of the defendant’s unlawful behavior. These pecuniary losses, such as lost or reduced wages or expenses of medical care, actually reduced the plaintiff’s income or increased the plaintiff’s pecuniary expenses. If uncompensated, these pecuniary losses would reduce the value of the estate below what it would have been in the absence of the defendant’s harmful conduct by reducing the plaintiff’s lifetime income or by increasing the plaintiff’s lifetime expenses. By contrast, when the plaintiff experiences emotional distress, the loss is nonpecuniary. Psychic injury, while it can be psychologically devastating, does not in itself reduce income or increase expenses. 3 Therefore, psychic injury does not reduce the value of the plaintiff’s estate compared to what it would have been in the absence of the injury, and the Legislature’s decision not to allow the estate to recover damages for such injury was reasonable.
The estate contends that in cases of sexual harassment not to allow a deceased plaintiff’s estate to recover for the plaintiff’s pain and suffering is inconsistent with the policies underlying federal civil rights law. It points out that harassment victims frequently lose no wages and may suffer no other recoverable pecuniary loss. Thus, it argues that by denying an estate recovery for a decedent’s emotional distress in a case of sexual harassment, section 377.34 will often result in no monetary recovery at all. Noting that the very essence of the harm suffered by any victim of sexual harassment is an affront to personal dignity, the estate argues that absent
Here, in addition to damages for emotional distress, the estate seeks compensation for the deceased plaintiff’s back wages lost as a result of alleged wrongful termination, a remedy available under California’s survival law. Thus, this is not a case in which application of the California survival rule will eliminate all possible recovery.
With respect to the estate’s argument that in some sexual harassment cases compensation for emotional distress will be the primary component, of compensatory damages, our reading of applicable United States Supreme Court authority, discussed in detail earlier, leads us to conclude that California’s prohibition of pain and suffering damages in this small category of cases does not conflict with federal law. Nothing in
Robertson
suggests to us that by precluding an estate from recovering damages for the deceased plaintiff’s emotional distress, California’s survival law would be inconsistent with the compensation and deterrence policies of the federal civil rights statute even if the damages limitation were to eliminate all recovery in some sexual harassment cases. As the high court said in
Robertson
v.
Wegmann, supra,
For the reasons given above, we conclude that under
Robertson
v.
Wegmann, supra,
B. Actions Brought in State Court
We now consider whether a California court may in a federal section 1983 action apply the damages limitation in our state survival statute, section 377.34, or whether federal law preempts our survival law.
This question is easily resolved. Federal law prohibits a state court from applying its own law in a federal civil rights cause of action only when doing so will “frequently and predictably produce different outcomes in federal civil rights litigation based solely on whether that litigation takes place in state or federal court.”
(Felder
v.
Casey, supra,
Undisputed here is that defendants’ allegedly unlawful conduct under the federal Constitution did not cause plaintiff’s death: She died in a car accident while this case was pending. Her federal civil rights claim is unrelated to her death, and we so limit our holding. 6
All employees have the right to be treated with dignity and to work in an environment free of “severe or pervasive” abuse directed at them because of their gender.
(Harris
v.
Forklift Systems, Inc.
(1993)
The judgment of the Court of Appeal is reversed.
George, C. J., Mosk, J., Baxter, J., Werdegar, J., Chin, J., and Brown, J., concurred.
Notes
A closely related issue was recently before the United States Supreme Court in
Jefferson
v.
City of Tarrant
(1997)
Should the estate prevail in this lawsuit, it will be entitled to attorney fees under 42 United States Code section 1988. Even a small award of compensatory damages in a federal civil rights lawsuit can justify a substantial amount of attorney fees. (See
City of Riverside
v.
Rivera
(1986)
To the extent that a plaintiffs emotional distress resulting from the defendant’s tortious conduct causes consequential pecuniary loss (for example, if the plaintiff cannot work because of psychic injury and thereby loses income, or if the plaintiff incurs expenses of psychiatric counseling), California law allows the plaintiff’s estate recovery for such pecuniary losses.
The controlling authority here,
Robertson
v.
Wegmann, supra,
Our conclusion is consistent with the majority of decisions that have considered this or closely related issues. (See
Pietrowski
v.
Town of Dibble
(10th Cir. 1998)
Therefore, we express no view on whether the preclusion of pain and suffering damages under California’s survival law would be inconsistent with the policies underlying the federal civil rights law in those situations where the asserted constitutional deprivation
caused the death.
(Compare
Garcia
v.
Superior Court
(1996)
