Lead Opinion
delivered the opinion of the court:
Decedent, Exavier Lee Jackson, was 16 years old and a resident of Lincoln Developmental Center (a State of Illinois facility) when he died in July 2001. In August 2002, Exavier’s grandmother, plaintiff Mary Louise Jackson, as administratrix of Exavier’s estate, sued two employees of the Center, defendants Aracoli Alverez and Carolyn Go-forth, for negligently causing Exavier’s death. In March 2004, the trial court entered an order dismissing the complaint against both defendants on the grounds of sovereign immunity and public-official immunity. The court also specified that the complaint as to Alverez was dismissed “with prejudice.”
Plaintiff appeals, arguing that the trial court erred by finding that sovereign immunity and public-official immunity bar her claims against Goforth and Alverez.
Because the trial court dismissed the counts against Goforth without prejudice, we lack subject-matter jurisdiction to review the dismissal of those counts. We affirm the court’s dismissal of the counts against Alverez.
I. BACKGROUND
In plaintiffs August 2002 complaint, which contained multiple counts against both Goforth and Alverez, she alleged the following. Exavier was “an inpatient under ‘total supervision’ at the Center, a state mental-health facility.” He had been diagnosed with “profound mental retardation and [i]mpulse[-][c]ontrol [disorder.” The Center had rules requiring employees to keep all personal items locked up and to bring into the facility no greater amount of medication than the employee needed to take during a shift. Goforth and Alverez were supposed to “monitor and document” Exavier’s activity every 15 minutes and keep him in close proximity. On July 21, 2001, in violation of those workplace rules, Goforth brought into the Center more than 100 Darvocet pills in her purse and left the purse unsecured. Go-forth and Alverez failed to check on Exavier every 15 minutes and keep him in close proximity, and, while unsupervised, he got the Darvocet pills from Goforth’s purse and swallowed a lethal amount.
In June 2003, Goforth filed a motion to dismiss the counts against her, pursuant to section 2 — 619(a)(9) of the Code of Civil Procedure (735 ILCS 5/2 — 619(a)(9) (West 2002)), invoking sovereign immunity and public-official immunity. Goforth accompanied the motion with a memorandum of law in support thereof. In October 2003, plaintiff filed her response to that motion and attached her own memorandum of law.
Following a December 2003 hearing, the trial court granted Go-forth’s motion to dismiss. As of that ruling, Alverez had not yet filed an answer or appeared in the case.
On January 6, 2004, plaintiff filed three motions: (1) a motion asking the trial court to reconsider the dismissal of the counts against Goforth or, in the alternative, enter a finding under Supreme Court Rule 304(a) (155 Ill. 2d R. 304(a)), so that she could appeal the dismissal of those counts; (2) a motion for a default judgment against Alverez; and (3) a motion for leave to file an amended complaint, adding allegations of professional negligence against both Goforth and Alverez. In the proposed amended complaint, plaintiff alleged, for the first time, that (1) both Goforth and Alverez were “duly licensed and certified nursing assistant^]” and (2) by failing to properly supervise Exavier, they “failed to exercise that degree of skill and care that ordinarily well qualified and certified nursing assistants possess and exercise under similar circumstances in [the] locality or similar localities in which the *** treatment was rendered.” Plaintiff served a notice of hearing upon Goforth and Alverez, announcing that on February 2, 2004, there would be a hearing on her three pending motions.
On January 30, 2004, Alverez appeared and filed a motion to dismiss based on the same grounds as Goforth. Both Goforth and Alverez filed memoranda opposing the motion to amend the complaint, arguing that (1) plaintiff failed to attach an affidavit in support of the professional-negligence allegations, as required by section 2 — 622 of the Code (735 ILCS 5/2 — 622 (West 2002)); (2) the statute of limitations on plaintiffs claims expired in July 2003 and the proposed new allegations of professional negligence did not relate back to plaintiffs timely filed allegations (see 735 ILCS 5/2 — 616 (West 2002)); and (3) Illinois law does not recognize a cause of action for professional negligence based on supervision.
On February 2, 2004, the trial court held a hearing, which it described in its docket entry for that day as a “[h]earing held on Motion to [rjeconsider.” At the hearing’s conclusion, the court noted that the pleadings Goforth and Alverez had filed on January 30, 2004, had not yet been entered in the court file. Accordingly, the court took the case under advisement so that it could consider those pleadings as well as the arguments of counsel it had just heard. Significantly, the transcript of that hearing reveals that neither the court nor either counsel ever mentioned plaintiffs motion for leave to file an amended complaint.
On March 15, 2004, the trial court entered a written order providing as follows:
“1. That the prior ruling of this court to dismiss the causes of action against [Goforth] will stand.
2. That the cause of action previously filed herein against [Alverez] is hereby dismissed with prejudice on the basis of public[-] official immunity and sovereign immunity.
3. Therefore, there is no just reason to delay enforcement of the [o]rder herein or appeal of these [o]rders pursuant to Supreme Court Rule 304(a).”
The court’s order did not address plaintiffs motion for leave to file an amended complaint.
This appeal followed.
II. ANALYSIS
A. Appellate Jurisdiction
This court has a duty to assess our subject-matter jurisdiction, regardless of whether the parties question it. In re Marriage of Betts,
Although the trial court dismissed the counts against Goforth, an order dismissing counts against a defendant is not final for purposes of appeal unless the order states that the litigation against that defendant is ended and the plaintiff may not replead. See Smith v. Central Illinois Regional Airport,
In its March 15, 2004, order, the trial court entered a Rule 304(a) finding and dismissed the counts against Alverez “with prejudice.” Because “with prejudice” meant that the court would not allow plaintiff to replead against Alverez (see O’Hara v. State Farm Mutual Automobile Insurance Co.,
B. Sovereign Immunity
1. Formal Designation of Defendants Not Dispositive
Sovereign immunity is a common-law doctrine that bars lawsuits against the government unless the government consents to be sued. City of Shelbyville v. Shelbyville Restorium, Inc.,
As a practical matter, the state acts only through its employees. Therefore, a judgment against an employee in his or her individual capacity could effectively coerce the state and frustrate the purpose of sovereign immunity, which is to prevent litigants from controlling the government. See Shelbyville Restorium,
In Robb v. Sutton,
“[W]e believe that where, as here, there are (1) no allegations that an agent or employee of the [s]tate acted beyond the scope of his authority through wrongful acts [(scope of authority)]; (2) the duty alleged to have been breached was not owed to the public generally independent of the fact of [s]tate employment [(source of duty)]; and (3) where the complained-of actions involve matters ordinarily within that employee’s normal and official functions of the [s]tate, then the cause of action is only nominally against the employee. As such, the claim involves actions which may be attributed to the [s]tate.”
The Supreme Court of Illinois has adopted these three criteria (Jinkins v. Lee,
2. Sovereign-Immunity Criteria
a. Scope of Authority
Plaintiff argues that Alverez committed her wrongful acts or omissions outside the scope of her authority as a state employee because she willfully and wantonly violated the Center’s rules. We disagree.
Obviously, no state employee has authority to commit a tort. Hopkins v. Clemson Agricultural College of South Carolina,
Because sovereign immunity presupposes the possibility of a legal wrong by a state employee (Larson v. Domestic & Foreign Commerce Corp.,
In her original complaint, plaintiff alleged that it was Alverez’s job to supervise Exavier. We must take that allegation to be true. See Albers v. Breen,
Moreover, because the complained-of actions involve matters ordinarily within Alverez’s duties as a state employee, the third criterion for sovereign immunity also exists. See Robb,
b. Source of Duty
Plaintiff next argues that sovereign immunity does not attach to Alverez because the source of Alverez’s duty to Exavier was her status as a mental-health worker, not her status as a state employee. We disagree.
Sovereign immunity does not automatically attach as a result of a defendant’s state employment. When a state employee is charged with breaching a duty imposed on her independently of her state employment, sovereign immunity will not attach, and a negligence claim may be maintained against her. Jinkins,
Resolving all reasonable inferences in plaintiffs favor (see In re Chicago Flood Litigation,
Accordingly, because all three criteria for sovereign immunity exist, we conclude that the trial court did not err by dismissing Mary Louise’s original complaint against Alverez on the ground of sovereign immunity.
c. Plaintiffs Motion To File an Amended Complaint
The dissent addresses sovereign immunity by looking to plaintiffs proposed amended complaint. Specifically, it concludes that plaintiff sufficiently alleged that Alverez, as a certified nursing assistant, owed Exavier a duty arising from a set of standards independent of her employment at the Center. We limited our sovereign-immunity analysis to plaintiff’s original complaint because, as discussed below, she abandoned her motion for leave to file an amended complaint.
In her brief, Alverez succinctly describes the history of plaintiffs motion for leave to file an amended complaint as follows:
“Though [plaintiff] filed a motion for leave to file an amended complaint in the circuit court, the motion was never ruled on ***, so the amended complaint was never filed and never became the operative complaint. [Plaintiff] never argued that the motion should be granted at the February 2, 2004[,] hearing; instead, she merely argued that the claims against Goforth in the original complaint should not have been dismissed and that the claims in the original complaint againfst] Alverez should not be dismissed. *** And, on appeal, [plaintiff] herself relies on the original complaint as the operative complaint in her statement of facts. *** [Plaintiff] does not argue on appeal that her motion for leave to amend should have been granted by the circuit court. *** Nor could she make such an argument because she abandoned the motion by filing a notice of appeal before ensuring that the motion was ruled on by the circuit court.”
In her reply brief, plaintiff does not dispute Alverez’s description of the proceedings regarding her motion for leave to file an amended complaint. Moreover, the record supports that description.
In Prather v. McGrady,
“The party filing a motion has the responsibility to bring it to the trial court’s attention. [Citation.] Unless a motion is brought to the attention of the trial judge and the judge is requested to rule on it, the motion is not effectively made. [Citation.] Unless it appears otherwise, where no ruling appears to have been made on a motion, the presumption is that the motion was waived or abandoned.”
See also Muirfield Village-Vernon Hills, LLC v. K. Reinke, Jr., & Co.,
Based on this record, the only conclusion that reasonably can be drawn is that plaintiff abandoned her motion for leave to file an amended complaint. If this court were to reverse (as the dissents suggests) on the basis that plaintiffs proposed amended complaint might be sufficient to state a cause of action, we would be doing so based upon an argument the trial court never heard. Over 15 years ago, in In re Marriage of Harper,
III. CONCLUSION
For the reasons stated, we dismiss the appeal from the trial court’s dismissal of the counts against Goforth and affirm that court’s dismissal of the counts against Alverez.
Appeal dismissed in part and affirmed in part.
TURNER, J., concurs.
Concurrence Opinion
concurring in part and dissenting in part:
I concur with that portion of the majority opinion dealing with defendant Goforth and agree that appeal must be dismissed as being taken from a nonfinal order.
I disagree with the majority as to defendant Alverez. Plaintiffs counsel filed a motion for leave to file a first-amended complaint with regard to defendant Alverez and noticed it for hearing at the same time as the motion to reconsider. The trial court never specifically ruled on this motion, despite the inclusion of the motion in the notice of hearing. The court effectively ruled on the motion, however, by dismissing the counts against Alverez “with prejudice.” See Gouge v. Central Illinois Public Service Co.,
We should remand this case with instructions to grant plaintiffs motion for leave to an amended complaint. Dismissing the counts against Alverez with prejudice, without specifically addressing the pending motion to amend, was an abuse of discretion and a miscarriage of justice. See Cantrell v. Wendling,
Citing Jinkins,
The supreme court identified the non sequitur in that reasoning. The question was not whether the state employment provided the occasion for the defendants to incur a duty to Jinkins. The question was where the duty ultimately came from: the job or an independent source. Did the duty come from the job alone or from some set of standards outside the job? Jinkins,
For three related reasons, the supreme court concluded that the defendants’ duty in Jinkins came from a source independent of their state employment. First, they made a clinical decision that Jinkins did not qualify for involuntary commitment, and the standards for such a decision came not from their state employment but from their profession. Jinkins,
In the proposed amended complaint, plaintiff alleges that Alverez was a certified nursing assistant and that by failing to properly supervise Exavier, Alverez “failed to exercise that degree of skill and care that ordinarily well qualified and certified nursing assistants possess and exercise under similar circumstances in [the] locality or similar localities in which the *** treatment was rendered.” That allegation suggests that the professional standards of a certified nurse’s aide have something to say about proper supervision of patients.
On the one hand, in her proposed amended complaint, plaintiff refers to Alverez’s violation of workplace rules, as if to suggest that the duty Alverez breached was defined by her job at the Center. On the other hand, plaintiff refers to the “degree of skill and care that ordinarily well qualified and certified nursing assistants possess” and Alverez’s failure to exercise that skill and care. From that allegation, it would be reasonable to infer that certified nursing assistants have a set of professional standards external to their jobs and the duty that Alverez breached derived not merely from her job but also from that set of professional standards. See 77 Ill. Adm. Code § 390.680(b) (Conway Greene CD-ROM March 2002) (developmental disabilities aides must be registered on the nurse aide registry and must complete a developmental disabilities aide training program within 120 days after being hired); 77 Ill. Adm. Code § 395.310(f)(3) (Conway Greene CD-ROM March 2002) (required contents of developmental disabilities aide training program, including “[i]njury[-]prevention techniques”).
I, therefore, dissent from the majority’s decision to affirm that portion of the judgment ordering that the dismissal of the counts against Alverez be with prejudice. I would remand with directions to grant the motion for leave to file an amended complaint.
