William R. HENRY, Plaintiff-Appellant,
Dixie L. Sprouse; William Tommy Vaughn; Stephen Milliner;
Edward Baker; Bessie Mae Marsh; Donald Ray Long; Charles
T. King, Sr.; Jesse L. Waldon, IV; Ernest Gaither;
Michael D. Richard, Sr.; Johnney Lee Foster; David Hayes;
and Ronald J. Harris, Plaintiffs,
v.
METROPOLITAN SEWER DISTRICT; Gordon Garner, Executive
Director, MSD; Mike Crawford, Personally and in his
Official Capacity; Ron Crawford, Personally and in his
Official Capacity; Green & Associates, a Sole
Proprietorship; Mel Green; Bonnie Wright; and Al Beck,
Defendants-Appellees.
No. 89-6521.
United States Court of Appeals,
Sixth Circuit.
Argued Sept. 21, 1990.
Decided Dec. 27, 1990.
Kenneth L. Sales (argued), Segal, Isenburg, Sales, Stewart & Cutler, Louisville, Ky., for plaintiffs-appellants.
Frank G. Simpson, III, Laurence J. Zielke (argued), Michael W. Lowe, and Gerald M. Woodcox, Pedley, Ross, Zielke, Gordinier & Porter, Louisville, Ky., for defendants-appellees.
Before JONES and GUY, Circuit Judges, and PECK, Senior Circuit Judge.
RALPH B. GUY, JR., Circuit Judge.
In this action under 42 U.S.C. Sec. 1983 to redress alleged deprivations of due process, equal protection, and privacy rights, the district court dismissed without prejudice plaintiff William Henry's claim against a Kentucky agency and several of its officers in their official capacities upon finding the claim barred by the eleventh amendment. Additionally, the district court granted summary judgment for the defendants in their individual capacities based upon the doctrine of qualified immunity. On appeal, the plaintiff contends that the district court erred in dismissing the official capacity claim without prejudice instead of remanding it to the state court from which it was removed. The plaintiff further asserts that, in light of the eleventh amendment bar to the official capacity claim, the district court lacked jurisdiction to address the merits of the individual capacity claim. Finally, the plaintiff argues that the district court utilized an improper qualified immunity standard in resolving the various aspects of the individual capacity claim on the merits. We find that the proper method for resolving the official capacity claim under the eleventh amendment should have involved remand instead of dismissal without prejudice. We reject the plaintiff's argument that the district court lacked jurisdiction to address the merits of the individual capacity claim. We further conclude that the district court did not err in applying the doctrine of qualified immunity to support summary judgment for the defendants on the right to privacy, due process, and equal protection components of the individual capacity claim under section 1983.
I.
In May of 1985, defendant Gordon Garner became the executive director of the Louisville and Jefferson County Metropolitan Sewer District (MSD), а Kentucky agency responsible for building and supervising solid waste disposal facilities. See Ky.Rev.Stat.Ann. Secs. 76.010-76.210 (Baldwin 1987). Acting on information that various MSD employees were involved in illicit drug activity, Garner met with Michael Crawford, the MSD personnel director, and Ron Crawford, a member of the MSD legal department. At this meeting, Garner decided to hire a private firm to investigate suspected drug use in the MSD maintenance yard workforce. By August of 1985, Garner had authorized the hiring of defendant Green & Associates, a private investigation firm.
Defendant Mel Green of Green & Associates dispatched two undercover agents, defendants Bonnie Wright and Al Beck, to MSD in September of 1985. Wright and Beck were processed through normal MSD hiring channels, placed on the MSD payroll, assigned to work crews along with various MSD employees, and instructed to socialize with MSD employees during and after work. In a matter of weeks, Wright and Beck began smoking marijuana and drinking regularly with MSD employees. Wright and Beck also bought marijuana from MSD employees and provided them with drugs and alcohol. As Wright and Beck developed information regarding drug use by MSD employees, they relayed this information to Green, who passed it on to Garner, who in turn informed the safety director for the City of Louisville and the Louisville chief of police. The safety director referred Garner to an officer in the Narcotics Division of the Louisville Police Department, and the chief of police offered his cooperation in the investigation. Consequently, Green began furnishing materials to the Louisville Police Department for processing at the Kentucky State Police crime laboratory.
A November 1985 meeting involving Garner, Green, Michael Crawford, and two Louisville police officers resulted in the decision to continue the investigation in order to gather more evidence of drug use by MSD employees. When the investigation ended in January of 1986, MSD instituted disciplinary proceedings against 26 emрloyees, and the Louisville Police Department arrested six employees, including plaintiff Henry. Henry was charged under Kentucky law with trafficking in marijuana but not convicted. Henry was subsequently discharged by MSD, and the sanction was sustained following an arbitration hearing.
In response to his arrest and discharge, the plaintiff filed suit in the Jefferson County Circuit Court alleging violations of both federal and state law. The defendants removed the action, and the plaintiff (along with various former co-workers) then filed an amended complaint against Garner, Michael Crawford, and Ron Crawford in their official and individual capacities, as well аs the MSD, Green & Associates, Mel Green, Wright, and Beck. The four-count amended complaint set forth federal claims under 42 U.S.C. Sec. 1983 and the Racketeer Influenced and Corrupt Organizations Act (RICO), 18 U.S.C. Secs. 1961-1968, in addition to state claims for abuse of process and failure to comply with the Kentucky Open Records Act, Ky.Rev.Stat.Ann. Secs. 61.870--61.884 (Baldwin 1989).1
The defendants moved for dismissal or, alternatively, summary judgment in September of 1988, and the district court issued a memorandum opinion and order in November of 1989 granting the motion. The district court held that the section 1983 and RICO claims against the MSD and its officers in their official capacities were barrеd by the eleventh amendment. The district court further ruled that qualified immunity insulated the defendants from liability in their individual capacities with respect to the right to privacy, due process, and equal protection components of the section 1983 claim. Finding no basis for liability under RICO, the court granted summary judgment for all of the defendants on that claim. Finally, the district court "remand[ed] to the State Court the pendent state claim of abuse of process."2 This appeal followed.
The plaintiff has abandoned his RICO claim on appeal, and has focused his argument upon the district court's disposition of the section 1983 claim. With regard to the official capacity claim under section 1983, the plaintiff does not challenge the district court's determination that the eleventh amendment bars such a claim. Instead, the plaintiff asserts that the district court should have remanded the official capacity claim rather than dismissing it without prejudice. The plaintiff's second contention addresses the district court's subject matter jurisdiction: the plaintiff insists that the eleventh amendment bar rendered removal improvident, and therefore divested the district court of jurisdiction to address the merits of the section 1983 claim against the defendants in their individual capacities. The plaintiff's final argumеnt, which presumes that the district court had jurisdiction to consider the section 1983 individual capacity claim, is directed at the district court's application of qualified immunity to grant summary judgment in favor of the defendants.3 We shall consider these three arguments seriatim.II.
The eleventh amendment provides that:
The Judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of Any Foreign State.
Despite the textual reference to suits brought against a state by "Citizens of another State," the Supreme Court "long ago held that the [Eleventh] Amendment bars suits against a State by citizens of that same State as well." Papasan v. Allain,
In Edelman v. Jordan,
The Supreme Court's decision in Alabama v. Pugh,
A. Dismissal Without Prejudice in Lieu of Remand
In Gwinn Area Community Schools v. State of Michigan,
"Having concluded that the federal [district] court was barred by the Eleventh Amendment from entertaining the claims against the state defendants based on alleged violations of the state constitution," we considered "the proper disposition of those claims." See id. We offered the following observations in this regard:
The choices are dismissal without prejudice and remand to the state circuit court from which this case was removed. After due consideration we have determined that the proper course is to direct the district court to remand these claims to the state court. In doing so we adopt the procedure most often followed when only pendent state claims remain in removed cases which originally had both federal and state claims.
Id. (emphasis added). The official capacity defendants, including the MSD, argue that Gwinn is distinguishable from this case in that Gwinn involved pendent state claims whereas federal section 1983 claims are involved here. We find this distinction insignificant.
In both Gwinn and this case, the eleventh amendment precluded resolution on the merits of the claims at issue. Thus, the nature of the impediment that left some claims unresolved in Gwinn and in this case is identical. The Supreme Court has emphatically stated that "neither pendent jurisdiction nor any other basis of jurisdiction may override the Eleventh Amendment." Pennhurst II,
B. Jurisdiction Over Individual Capacity Claims
Before addressing the merits of the plaintiff's section 1983 claim against the defendants in their individual capacities, the district court tersely stated that the eleventh amendment presents no bar to consideration of the individual capacity claim. This proposition is expressly confirmed by the Supreme Court's unanimous decision in Scheuer v. Rhodes,
As the Supreme Court has repeatedly indicated, the atypical jurisdictional bar of the eleventh amendment concerns individual claims, not entire cases. See, e.g., Pennhurst II,
The plaintiff, citing McKay v. Boyd Construction Co.,
McKay's suit was removed from the state court upon motion by Boyd pursuant to 28 U.S.C. Sec. 1441. This section only authorizes the removal of actions that are within the original jurisdiction of the district court. Because a state agency is a defendant, the eleventh amendment bars the exercise of federal jurisdiction here. Accordingly, the action must be remanded to the state сourt where it was originally filed.
Id. To the extent that McKay forecloses consideration of claims unaffected by the eleventh amendment in favor of remand pursuant to 28 U.S.C. Sec. 1447(c), we reject its analysis as fundamentally incompatible with Pugh and Pennhurst II. Section 1447(c) states that "if the district court lacks subject matter jurisdiction, the case shall be remanded." Here, the section 1983 individual capacity claim was properly before the district court for consideration as a matter of federal question jurisdiction notwithstanding the eleventh amendment bar to resolution of the official capacity claim on the merits. Cf. Pennhurst II,
III.
The doctrine of qualified immunity affords protection against individual liability for civil damages to officials "insofar as their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known." Harlow v. Fitzgerald,
In Whalen v. Roe,
The cases sometimes characterized as protecting "privaсy" have in fact involved at least two different kinds of interests. One is the individual interest in avoiding disclosure of personal matters, and another is the interest in independence in making certain kinds of important decisions.
Id. at 598-600,
We considered a constitutional claim in Gordon v. Warren Consolidated Board of Education,
[I]t should be noted that the undercover investigation here was apparently prompted by the school officials' wholly legitimate concern about the possible illegal drug activity at Cousino High School. Plaintiffs do not allege that the undercover agent engaged in any conduct other than the investigation of illegal drug activity. Moreover, the investigation terminated shortly after the undercover officer failed to discover any evidence of drug trafficking at the school.
Gordon,
Based on Gordon, which antedated the investigation in this case by two years, the defendants could have concluded only that their undercover operation would not infringe any of their employees' privacy rights. In fact, the MSD investigation at issue here, unlike the operation in Gordon, uncovered evidence of pervasive drug use. Additionally, the evidence offered by plaintiff Henry suggests a much less compelling argument of pretextual inquiry aimed at a specific group than did the facts adduced in Gordon. In sum, we find that the district court properly applied the doctrine of qualified immunity to grant summary judgment for the defendants in their individual capacities on the right to privacy claim. The entry of summary judgment, therefore, is AFFIRMED.
B. Due Process
Although the pleadings in this case offer no insight into the nature of the plaintiff's due process theory,5 the plaintiff's briefs and his proposed second amended complaint (which the district court apparently refused to accept) suggest that malicious prosecution forms the basis for the claim. As early as March of 1985, we suggested that malicious prosecution mаy rise to constitutional dimension if it is "so egregious as to violate substantive due process." See Vasquez v. City of Hamtramck,
We subsequently filled out and formally approved the substantive due process claim for malicious prosecution in McMaster v. Cabinet for Human Resources,
C. Equal Protection
"To state a claim under the Equal Protection Clause, a Sec. 1983 plaintiff must allege that a state actor intentionally discriminated against the plaintiff because of membership in a protected class." Johnson v. Morel,
Here, the potential discovery of purportedly pervasive drug use provided an adequate basis for conducting the clandestine operation at MSD. Cf. Gordon,
AFFIRMED IN PART, REVERSED IN PART, AND REMANDED.
NATHANIEL R. JONES, Circuit Judge, concurring.
The majority's analysis of Henry's Sec. 1983 claims against the MSD and its officials in their official capacities suggests that those claims are barred by the eleventh amendment. Both plaintiff Henry and defendants do not challenge the district court's finding that these official capacity claims are so barred and Henry urges this court to remand this case tо state court. I believe that the MSD--a statutorily created "public body corporate"--is subject to suit in federal court under Sec. 1983 as a municipal corporation under the Supreme Court's decision in Monell v. New York City Dep't of Social Services,
Notes
The Kentucky Open Records Act claim apparently was resolved outside the judicial process. The district court's memorandum opinion and order disposing of the case make no mention of the claim, and the parties likewise have not addressed the claim on аppeal
Neither the plaintiff nor the defendants have commented on the district court's decision to remand the abuse of process claim, which seemingly involves plaintiffs other than Henry. The district court's action in this respect is authorized by Carnegie-Mellon University v. Cohill,
The entry of summary judgment encompassed the section 1983 claim against defendants Green, Wright, and Beck of Green & Associates, as well as the individual capacity claim against the MSD officials. Although Green, Wright, and Beck are private individuals rather than state officials, the Supreme Court has clearly stated in Dennis v. Sparks,
[T]o act "under color of" state law for Sec. 1983 purposes does not require that the defendant be an officer of the State. It is enough that he is a willful participant in joint action with the State or its agents. Private persons, jointly engaged with state officials in the challenged actiоn, are acting "under color" of law for purposes of Sec. 1983 actions.
Because the eleventh amendment presents a jurisdictional bar to the section 1983 claim against the MSD and its officers in their official capacities, we cannot reach the defendants' alternative argument that Will v. Michigan Department of State Police,
Our review of the complaint indicates that the plaintiff here, as in Coogan v. City of Wixom,
