Klein v. University of Kansas Medical CenterKlein v. University of Kansas Medical Center
MEMORANDUM AND ORDER
This employment discrimination and civil rights case is before the court on the following:
(1) Motion to dismiss by defendant Kansas Civil Service Board (the Board) pursuant toFed.R.Civ.P. 12(b)(2) 1 (Doc.. 19);
(2) Motion to dismiss by defendant William M. Jones pursuant toFed. R.Civ.P. 12(b)(2) and (6) (Doc. 22);
(3) Motions to dismiss by defendant the Honorable Franklin R. Theis pursuantto Fed.R.Civ.P. 12(b)(1) (Doe. 27) and pursuant toFed.R.Civ.P. 12(b)(6) (Doc. 77);
(4) Motion to dismiss by defendant Jolene Brauer pursuant toFed.R.Civ.P. 12(b)(2) and (6) (Doc. 50);
(5) Motion for leave to file a second amended complaint by plaintiff Noel M. Klein pursuant toFed.R.Civ.P. 15(a) (Doc. 69); and
(6) Motion to dismiss by defendants University of Kansas Medical Center (the Medical Center), Richard D. Robards, Cliff Rovelto, Elissa Monroe, Linda Davies, Joe Bast, and Scott Ramsey pursuant toFed.R.Civ.P. 12 (Doc. 75).
The court has reviewed all pleadings and is now prepared to rule. For the reasons set forth below, the motions to dismiss by the Board, Jones, Brauer, the Medical Center, Robards, Rovelto, Monroe, Davies, Bast, and Ramsey are granted in part and denied in part; the motion to dismiss by Judge Theis pursuant to
I. Background
The following facts are based upon the allegations in Klein’s first amended complaint (Doc. 5). Klein was a permanent classified employee at the University of Kansas Medical Center, holding the position of photographer. During the time relevant to this lawsuit, he was 56 and 57 years of age. Klein received unsatisfactory evaluations in June and July 1993. He was diagnosed with an ophthalmological problem in both eyes in August 1993. Klein appealed the July 1993 evaluation to an appeal committee pursuant to the Kansas Civil Service Act,
In December 1993, Richard D. Robards, Director of Human Resources at the Medical Center, sent Klein written notification that his employment might be terminated effective January 15, 1994. On January 10, 1994, Klein and his attorney met with Cliff Rovel-to, the Employee/Labor Relations Manager at the Medical Center, to offer reasons against discharge. On January 13, 1994, Ro-bards notified Klein that, based upon Klein’s unsatisfactory evaluations, the Medical Center had decided to terminate his employment effective January 15, 1994. Robards also notified Klein of his right to appeal the decision. That same day, January 13, 1994, Klein notified Medical Center personnel of his decision to retire. He decided to retire because of his erroneous belief, based upon conversations with Medical Center personnel, that dismissal disqualified him for certain benefits. Klein timely filed an appeal with the Kansas Civil Service Board, claiming that his early retirement was involuntary. The Board dismissed the appeal, concluding that its jurisdiction extended only to appeals concerning demotions, dismissals, or suspensions — not retirements. Klein requested and was granted reconsideration; however, the Board affirmed its earlier decision to dismiss the appeal.
Klein then filed a petition for judicial review in the District Court of Shawnee County, Kansas. The case was assigned to the Honorable Franklin R. Theis. On October 25, 1995, Judge Theis rendered his opinion, finding that the Board failed to conduct a proper factual inquiry into whether Klein’s retirement was voluntary. Judge Theis abstained from making a factual finding the Board had not yet undertaken, remanding the case to the Board for that purpose. Judge Theis also noted that the Board had dismissed Klein’s initial appeal without proper notice or an opportunity for a hearing.
Klein sought reconsideration, arguing that because the Board violated his due process rights, Judge Theis should have awarded back pay and benefits from the date of his involuntary retirement until the date of his
On January 16, 1996, Klein filed this ease in federal court. He directs Counts I-VII toward the Medical Center and the following individual defendants in both their individual and official capacities: Robards, Rovelto, El-issa Monroe (Klein’s immediate supervisor), Linda Davies (Monroe’s immediate supervisor), Joe Bast (appeal Board member), Scott Ramsey (appeal Board member), and Frances Redmond
3
(appeal Board member). In Counts I and II, Klein alleges that these defendants discriminated against him on the basis of his disability in violation of section 504 of the Rehabilitation Act of 1973,
II. Motion to Amend
Klein asks leave of the court, pursuant to
Klein’s proposed second amended complaint is futile because it is frivolous with no basis in law. He cannot satisfy the case or controversy requirement of Article III of the Constitution, which requires him to show that he and the proposed new defendants have adverse legal interests. See
Aetna Life Ins. Co. of Hartford, Conn. v. Haworth,
III. Motions to Dismiss
A. Legal Standards
All defendants seek dismissal of Klein’s complaint pursuant to one or more subsections of
A. Judge Theis’ Motions
In his
The
Rooker-Feldman
doctrine derives from two United States Supreme Court cases:
Rooker v. Fidelity Trust Co., 263 U.S.
413,
is not limited to the decisions from the state’s highest court.... The doctrine precludes federal jurisdiction even when the state court’s decision implicates federal constitutional issues, or when the plaintiff brings his federal action under federal civil rights statutes. Finally, the doctrine applies to attempts not only to review directly a state court decision but also to review indirectly a state court decision when the federal claim is “inextricably intertwined”with the merits of the state court’s decision.
Id. (citations omitted).
Klein responds that the Rooker-Feldman doctrine does not apply because he is not challenging the state court judgment — i.e., what Judge Theis did in the order. Rather, Klein maintains he is challenging what Judge Theis did not address, i.e., what the KJRA’s system of judicial review of agency decisions precluded the judge from addressing. Klein suggests that the “system” prevented Judge Theis from finding that Klein’s lack of notice and a hearing violated due process, from enjoining the Board from violating the due process rights of similarly situated public employees, and from awarding back pay, benefits, and reasonable attorney fees. Klein describes his claim as a constitutional challenge, on due process and equal protection grounds to the KJRA’s entire system of judicial review of agency action.
Even broadly construed, Klein’s complaint does not state such a constitutional challenge to the system of judicial review of agency actions. Count VIII, which Klein directs primarily toward Judge Theis, is predicated upon the judge’s failure to order reinstatement despite finding that the appeals process lacked the requisite due process protection. Klein alleges that Judge Theis “totally abrogated [his] duty to state the law applicable ... thereby denying plaintiff due process of law in violation of
C. Abstention
Defendants Kansas Civil Service Board, William M. Jones and Jolene Brauer argue that, based upon the pending action in the Kansas Court of Appeals, the principles of abstention, comity, federalism, and equity preclude the court from granting injunctive relief against them. Defendants’ argument is not persuasive.
Before reaching the abstention issue, the district court must determine “whether the state and federal proceedings are parallel. Suits are parallel if substantially the same parties litigate substantially the same issues in different forums.” The court should “examine the state proceedings as they actually exist to determine whether they are parallel to the federal proceedings,” resolving any doubt “in favor of exercising federal jurisdiction____”
Allen v. Board of Educ., Unified Sch. Dist. 436,
D. Eleventh Amendment
The Medical Center, Robards, Rovelto, Monroe, Davies, Bast, Ramsey, the Board, Jones, and Brauer argue that the court lacks subject matter jurisdiction because the Eleventh Amendment to the Constitution bars Klein’s complaint. Klein brings his civil
The court need address only Klein’s
1. University of Kansas Medical Center and Kansas Civil Service Board
Eleventh Amendment immunity provides protection for state governmental entities sued in federal court for damages unless the state waives its immunity.
Atascadero State Hosp. v. Scanlon,
Klein has brought federal civil rights claims and state law claims against the Medical Center and the Board seeking monetary, declaratory, and injunctive relief. In an action brought against a public agency, application of the Eleventh Amendment “turns on whether the agency or institution can be characterized as an arm or alter ego of the state.”
Gray v. University of Kan. Medical Ctr.,
Case law has not construed whether the Board is an instrumentality of the state. To make that determination,
[t]he court first examines the degree of autonomy given to the agency as determined by the characterization of the agency by state law and the extent of guidance and control exercised by the state. Second, the court examines the extent of financing the agency receives independent of the state treasury and its ability to provide for its own financing. The governmental entity is immune from suit if the money judgment sought is to be satisfied out of the state treasury.
Watson v. University of Utah Med. Ctr.,
The Kansas Legislature, by enacting the Kansas Tort Claims Act,
The Medical Center and the Board, as state institutions, are immune from a suit for monetary damages in federal court under the Eleventh Amendment. The Eleventh Amendment, however, does not bar plaintiffs suit against a state agency that seeks prospective relief of reinstatement.
Ramirez,
Ramirez
does not control the court’s disposition of plaintiffs claims for injunctive relief under state law against the state entities. In
Pennhurst,
the Supreme Court held that a federal court may not grant relief against a state on the basis of state law.
Although these defendants may not be entitled to Eleventh Amendment immunity in connection with Klein’s
2. Individual Defendants Sued in Official Capacities
The individual defendants contend that they are entitled to Eleventh Amendment immunity on Klein’s claims for monetary and injunctive relief brought against them in their official capacities. In
Pennhurst,
the Supreme Court held that the Eleventh Amendment jurisdictional bar applies to suits seeking monetary damages against state officials.
Klein also seeks prospective injunctive relief against the individual defendants in their official capacities. In
Pennhurst,
the Supreme Court held that a defendant sued in his or her official capacity on a state-law claim for injunctive relief is protected by Eleventh Amendment immunity.
The continuing violation exception to Eleventh Amendment immunity is not without limitations. In
Ex Parte Young,
the Supreme Court noted that the state official must have the power to perform the act required in order to overcome the jurisdictional bar of the Eleventh Amendment.
Ex Parte Young,
3. Individual Defendants Sued in Individual Capacities
Klein also has sued the individual defendants in their individual capacities. “The Eleventh Amendment does not restrict civil damage suits against state officials in their individual capacities.”
DeYoung v. State of Kan.,
IV. Conclusion
The court summarizes its ruling as follows: Klein’s request to file a second amended complaint is denied. Judge Theis is dismissed from this action. All civil rights claims against the Medical Center and the Board are dismissed. All civil rights claims against the remaining individual defendants in their official capacities are dismissed.
IT IS, THEREFORE, BY THE COURT ORDERED that Noel M. Klein’s motion for
IT IS FURTHER ORDERED that the Honorable Franklin R. Theis’
IT IS FURTHER ORDERED that the motion to dismiss by defendant Civil Service Board (Doc. 19) is granted in part and denied in part.
IT IS FURTHER ORDERED that William M. Jones’ motion to dismiss (Doc. 22) is granted in part and denied in part.
IT IS FURTHER ORDERED that Jolene Brauer’s motion to dismiss (Doc. 50) is granted in part and denied in part.
IT IS FURTHER ORDERED that the motion to dismiss by the University of Kansas Medical Center, Richard D. Robards, Cliff Rovelto, Elissa Monroe, Linda Davies, Joe Bast, and Scott Ramsey (Doc. 75) is granted in part and denied in part.
IT IS FURTHER ORDERED that defendant Frances Redmond is dismissed from the ease.
IT IS FURTHER ORDERED that Noel M. Klein’s claims predicated on
The clerk shall mail copies of this order to counsel of record.
IT IS SO ORDERED.
Notes
. Several defendants have filed motions to dismiss pursuant to
. The Kansas Human Rights Commission subsequently issued a finding of probable cause with regard to Klein’s charge of age discrimination, disability discrimination, and retaliation.
. In his proposed second amended complaint, Klein notes that Frances Redmond is deceased. The court will dismiss Redmond from the suit.
. Because the court grants Judge Theis'