LATHROP et al. v. DEAL et al.
S17A0196
Supreme Court of Georgia
June 19, 2017
301 Ga. 408
BLACKWELL, Justice.
FINAL COPY
Simply put, the constitutional doctrine of sovereign immunity forbids our courts to entertain a lawsuit against the State without its consent. In Georgia Dept. of Natural Resources v. Center for a Sustainable Coast, 294 Ga. 593, 602 (2) (755 SE2d 184) (2014), we held that the doctrine extends to suits for injunctive relief, and in Olvera v. Univ. System of Ga. Board of Regents, 298 Ga. 425, 428 n.4 (782 SE2d 436) (2016), we held that it likewise extends to suits for declaratory relief. But those decisions involved no constitutional claims, and since Sustainable Coast, we have not had occasion to consider whether the doctrine of sovereign immunity extends to claims for injunctive or declaratory relief that rest upon constitutional grounds. See State of Ga. v. Intl. Keystone Knights of the Ku Klux Klan, 299 Ga. 392, 395 (1) n.11 (788 SE2d 455) (2016). In this case, we are confronted squarely with that question. We hold today that the doctrine of sovereign immunity extends generally to suits
I.
This case began in 2012, not long after the adoption of House Bill 954,1 which concerns medical procedures for the termination of pregnancies. Among other things, House Bill 954 requires a physician in most circumstances to ascertain the “probable gestational age of the unborn child” before performing an abortion,2 see
Eva Lathrop, Carrie Cwiak, and Lisa Haddad are physicians licensed to practice in Georgia. They practice in the fields of obstetrics and gynecology, and as a part of their practice, they sometimes perform abortions. In November 2012, just weeks before House Bill 954 became generally effective,4 they filed a petition in the Superior Court of Fulton County against Governor Nathan Deal and nineteen other state officers in their official capacities.5 In their petition, the plaintiff-physicians alleged that House Bill 954 violates the state Constitution in several respects.6 First, they said, the limitations of the circumstances in
II.
A.
The doctrine of sovereign immunity has been a part of our law for more than 230 years. By the time of the War for American Independence, the doctrine was “imbedded in the common law of England.” Crowder v. Ga. Dept. of State Parks, 228 Ga. 436, 439 (3) (185 SE2d 908) (1971). See also W. Blackstone, 1 Commentaries on the Laws of England at 235-237 (1st ed. 1765). After the war was concluded, Georgia adopted the common law of England as our own,9 see Tift v. Griffin, 5 Ga. 185, 189 (1848), and with it, we adopted the doctrine of sovereign immunity.10 See Crowder, 228 Ga. at 439 (3). See also Gilbert v. Richardson, 264 Ga. 744, 745 (1) (452 SE2d 476) (1994); Hennessy v. Webb, 245 Ga. 329, 329 (264 SE2d 878) (1980). Following its early adoption, the
At common law, the doctrine of sovereign immunity was broad. The State “could not, without its own express consent, be subjected to an action of any kind.” Peeples v. Byrd, 98 Ga. 688, 693-694 (25 SE 677) (1896) (“It is hardly necessary to cite authority for the proposition that a sovereign State is not liable to suit at the instance of a citizen, unless permission to sue has been expressly granted.“). See also Eibel v. Forrester, 194 Ga. 439, 441-442 (22 SE2d 96) (1942) (“Without its consent the State can not be sued at all.“); Roberts v. Barwick, 187 Ga. 691, 694 (1) (1 SE2d 713) (1939) (“[T]he State can not by the courts be required to submit to being sued against its express consent.“); Western Union Tel. Co. v. Western & A. R. Co., 142 Ga. 532, 535 (83 SE 135) (1914) (“[T]he State can not be sued, or subjected to an action of any kind, without special legislative authority.“); Brunswick & A. R. Co. v. State of Ga., 48 Ga. 415, 418 (1873) (“The State cannot, against the will of the Legislature, be compelled to submit its liabilities to its own Courts.“); Printup v. Cherokee R. Co., 45 Ga. 365, 367 (1872) (“[T]he State cannot be made a party to this suit
Even so, notwithstanding the popular, contemporary notion that sovereign immunity is principally about the protection of the public purse, see, e.g., Martin v. Dept. of Public Safety, 257 Ga. 300, 301 (1) (357 SE2d 569) (1987), the doctrine at common law was understood more broadly as a principle derived from the very nature of sovereignty. See Gilbert, 264 Ga. at 749, (4) n.7 (“Historically, governmental or sovereign immunity was justified as a recognition that it was a contradiction of the sovereignty of the king to allow him to be sued as of right in his own courts.“). See also Roberts, 187 Ga. at 694 (1) (“The sovereignty of the State is supreme, and to maintain that sovereignty[,] the supremacy must also be maintained, and to do that the State must never be subjected to suit without its expressed consent.“); Kawananakoa v. Polyblank, 205 U. S. 349, 353 (27 SCt 526, 51 LE 834) (1907) (“A sovereign is exempt from suit, not because of any formal conception or obsolete theory, but on the
Sovereign immunity at common law was broad in another sense too. The doctrine was understood to apply not only when the State was sued eo nomine,11 but also in suits against its departments, agencies, and officers in their official capacities. See, e.g., Cardin v. Riegel Textile Corp., 219 Ga. 695, 697 (2) (135 SE2d 284) (1964) (suit against State Board of Workmen‘s Compensation); Roberts, 187 Ga. at 695 (2) (suit against “Columbus Roberts, not as an individual but as Commissioner of Agriculture“); Southern Mining Co., 105 Ga. at 356 (suit against prison commissioners as “representatives of the State in their official capacity“). The application of the doctrine to bar suits against state officers in their official capacities was unrelenting, even when it was alleged that the officers had acted without legal authority. See, e.g., Ramsey v. Hamilton, 181 Ga. 365, 377 (182 SE 392) (1935) (suit against state officers in their official capacities for allegedly unlawful disbursements and expenditures of public funds). What‘s more, the doctrine of sovereign immunity at common law was broad enough to bar some suits against public officers in their individual capacities, although only to the extent that the State itself could be said to be the real party in interest. See Roberts, 187 Ga. at 695 (2) (“The general rule that is applicable in all cases is that any case, regardless of who are named parties thereto, that could result in a judgment or decree that would in any manner affect or control the property or action of the State, in a manner not prescribed by statute, is a suit against the State and cannot be brought without her consent.” (Citations omitted)). The doctrine sometimes worked to bar suits, for instance, in which the relief sought would tend to impair or affect the property or contractual interests of the State. See, e.g., Linder v. Ponder, 209 Ga. 746, 747-748 (75 SE2d 814) (1953) (suit against Commissioner of Agriculture
The doctrine of sovereign immunity at common law generally was inapplicable, however, in cases in which state officers in their individual capacities were alleged to have acted without legal authority, even if they acted under color of their offices. See Stewart v. Atlanta Beef Co., 93 Ga. 12, 19 (18 SE 981) (1893) (affirming judgment for damages against tax collector in his
[a] suit can not be maintained against the State without its statutory consent. This general rule can not be evaded by making an action nominally one against the servants or agents of a State, when the real claim is against the State itself and it is the party vitally interested. Therefore, generally, where a suit is brought against an officer or agency of the State with relation to some matter in which the defendant represents the State in action and liability, and the State, while not a party to the record, is the real party against which relief is sought, so that a judgment for plaintiff, although nominally against the named defendant as an individual or entity distinct from the State, will operate to control the action of the State or subject it to liability, the suit is in effect one against the State. If, however, the sole relief sought is relief against the State officers, it is maintainable. . . . A suit may be maintained against officers or agents personally, because, while claiming to act officially, they have committed or they threaten to commit wrong or injury to the person or property of plaintiff, either without right and authority or contrary to the statute under which they purport to act.
These principles extended at common law to suits for relief from the enforcement of laws that were alleged to violate the Constitution. The Court applied the doctrine of sovereign immunity to bar such suits in cases in which state officers were sued in their official capacities or in which the State itself otherwise was the real party in interest. See, e.g., Maddox v. Coogler, 224 Ga. 806, 808-809 (165 SE2d 158) (1968) (suit to enjoin members of state Mineral Leasing Commission from executing leases of state properties pursuant to allegedly unconstitutional statutes); Peters v. Boggs, 217 Ga. 471, 473-475 (2) (123 SE2d 258) (1961) (suit to enjoin allegedly unconstitutional appropriations of public funds for the support of desegregated schools); Ramsey, 181 Ga. at 377 (suit to enjoin disbursement and expenditure of public funds under allegedly unconstitutional appropriations act). In other cases, however, we found that the doctrine posed no bar to suits in which state officers were sued in their
In Dennison Manufacturing Co. v. Wright, 156 Ga. 789 (120 SE 120) (1923), for instance, a Massachusetts manufacturer sued the state comptroller-general, who had collected a license and occupation tax from an agent of the manufacturer in Georgia. Alleging that the tax — which was imposed only upon agents of foreign or nonresident corporations — was an unconstitutional burden upon interstate commerce, the manufacturer sought monetary relief from the comptroller in the amount of the tax that the agent had paid. The comptroller raised sovereign immunity as a bar to the suit, but this Court held that the doctrine did not apply. To begin, we noted that “[w]e do not construe this action as one brought against the defendant in his official capacity, but as an action against him individually for an act which, while done in his official capacity, was wholly without lawful authority, and beyond the scope of his official power.” 156 Ga. at 793. We then explained that the comptroller was individually liable for his collection of an unconstitutional tax under color of his office:
Was the Comptroller-General individually liable to the plaintiffs for the exaction and collection of this occupation tax? We have seen that under the facts of
this case[,] this tax was illegal. . . . Would the Comptroller-General . . . be exempt from liability on the ground that he demanded and collected this tax under such unconstitutional statute? This is the vital question in the case. An unconstitutional statute, though having the form, features, and name of law, is in reality no law. It is wholly void. In legal contemplation it is as inoperative as if it had never been passed. It has been declared that it is a misnomer to call such statute a law. Such a statute confers no authority upon any one, and affords protection to no one. . . .
So the Comptroller-General will not be protected from individual liability under this general tax act, if it in fact imposes an occupation tax upon the plaintiffs, for the reason that such act is unconstitutional so far as the plaintiffs are concerned. As an unconstitutional act confers no authority upon an officer, his acts thereunder are the same as if no statute on the subject existed. He is as much without authority to enforce a tax levy under an unconstitutional statute as he would be to levy and collect such tax in the absence of any statute. This being so . . . the Comptroller-General is individually liable, under the facts stated in the petition of the plaintiffs, for the exaction and collection of this tax from them.
Id. at 796-798 (citations omitted). In the end, we added that, “should there be any recovery against the defendant, the legislature should, and doubtless will,
In Holcombe v. Ga. Milk Producers Confederation, 188 Ga. 358 (3 SE2d 705) (1939), we considered a suit for injunctive relief from the enforcement of an allegedly unconstitutional statute. There, a cooperative association of milk producers brought suit against the members of the state milk-control board, alleging that the Georgia Milk Control Act of 1937 was unconstitutional. Although we ultimately concluded that the statute was constitutional, we held that the suit was not barred by the doctrine of sovereign immunity. Citing Dennison, we noted that the members of the milk-control board were sued “as individuals,” who had acted under color of, but allegedly without, lawful authority. 188 Ga. at 362 (1). As such, we concluded, the suit was not one against the State, and the doctrine of sovereign immunity posed no bar:
That an officer charged with the administration of a law alleged to be unconstitutional is not in so acting an officer of the State, and that a suit to enjoin him cannot be said to be a suit against the State, is illustrated by the nature of an unconstitutional statute in the eyes of the law. . . . An unconstitutional act is not a law; it confers no rights; it imposes no duties; it affords no protection; it creates no office; it is, in legal contemplation, as inoperative as though it had never been passed. Where
an act is attacked as unconstitutional, and it appears that [the] plaintiff is threatened with irreparable injury to his property by reason of the acts of an officer proceeding under and by virtue of such act, the suit against such officer cannot be considered as one against the State, but the court will take jurisdiction of it as a suit against the officer as an individual acting without constitutional authority, and determine the question of the validity of the act. In the present case[,] the State is not a party to the record. No judgment is asked which will take the property of the State, or fasten a lien on it, or interfere with the disposition of funds in its treasury, or compel the State indirectly, by controlling its officers, to affirmatively perform any contract, or to pay any debt, or direct the exercise of any discretion committed to its officers. In view of what has been said, the petition was not subject to the demurrer setting up that the suit was one against the State.
Id. at 363-364 (citations and punctuation omitted).
Another example is Undercofler v. Eastern Air Lines, Inc., 221 Ga. 824 (147 SE2d 436) (1966), a case in which an airline sued the state revenue commissioner and state director of sales and use taxes, who had threatened to assess sales and use taxes for fuel and parts used by the airline in interstate commerce, as well as for food served to passengers outside Georgia on interstate flights. The airline sought injunctive and declaratory relief from the assessment of such taxes, asserting that the applicable statute did not actually impose such
[T]his suit comes within the well established rule that [a] suit may be maintained against officers or agents personally, because, while claiming to act officially, they have committed or they threaten to commit wrong or injury to the person or property of [the] plaintiff, either without right and authority or contrary to the [legal authority] under which they purport to act. Although a defendant may assert that he acted officially and on behalf of the State, a suit of this class is not a suit against the State.
221 Ga. at 829 (1) (citations and punctuation omitted; emphasis added). Numerous other Georgia precedents are consistent with the principles set forth in Dennison and its progeny. See Irwin v. Arrendale, 117 Ga. App. 1, 2-3 (2) (159 SE2d 719) (1967) (citing cases).
B.
The doctrine of sovereign immunity would not persist forever merely as a matter of common law. By the early 1970s, the doctrine was under assault in Georgia, at least as it was applied in tort cases. Our Court had acknowledged long before that sovereign immunity sometimes was a “harsh rule,” but we
[I]f it does not have the approval of the people of the State, there is a definite way, a plain way, and a legal way, whereby it can be changed. This court has always held that the State could expressly consent to be sued. Therefore a simple and brief enactment of the legislature giving this consent is all that is required in order to permit a suit against the State.
Roberts, 187 Ga. at 694 (1). The harshness of the doctrine was especially striking in cases in which it was applied to bar suits in tort to recover monetary damages for injuries to persons and property, and in one such case, the parties asked our Court to recognize the abrogation of the doctrine. When we decided Crowder in 1971, a bare majority of the Court adhered to the view that the abrogation or waiver of the doctrine “is a matter of public policy[,] which addresses itself to the legislative, not the judicial, branch of our State government.” Crowder, 228 Ga. at 440 (3). Three members of the Court dissented and stood ready to declare the doctrine at an end, at least in tort cases. See id. at 441 (Nichols, J., dissenting); id. at 444 (Felton, J., dissenting); id. at 446 (Hawes, J., dissenting). The split decision in Crowder did not put the question to rest, and indeed, three years later, this Court would grant petitions
The General Assembly responded quickly to our decision in Crowder. When it met for its 1973 Session, the General Assembly proposed to amend the Constitution of 1945 to expressly reserve the doctrine of sovereign immunity as a matter of constitutional law. Under the amendment, only the Constitution itself or an act of the General Assembly would waive sovereign immunity, and to provide a means by which the General Assembly might ameliorate the harshness of the doctrine, the amendment authorized the General Assembly to establish a State Court of Claims in which claims against the State for injury or damage could be tried.13 See Ga. L. 1973, p. 1489. In November 1974, the voters of
Georgia ratified the amendment, and at that point, the doctrine of sovereign immunity was a matter of mere common law no more. See
This Court promptly acknowledged the 1974 amendment, noting that it gave “constitutional status” to the doctrine of sovereign immunity. Sheley, 233 Ga. at 488. Importantly, we acknowledged as well that sovereign immunity at common law, as it long had been understood by Georgia courts, and the sovereign immunity reserved by the 1974 amendment were one and the same:
Id. (emphasis added). Consistent with these understandings, after the doctrine of sovereign immunity was given constitutional status, this Court continued to observe the traditional distinction between suits against state officers in their official capacities, which are barred by sovereign immunity, and those against state officers in their individual capacities, which generally are not. See Hennessy v. Webb, 245 Ga. 329, 330 (264 SE2d 878) (1980). And in suits for injunctive and declaratory relief from official acts that were alleged to be unconstitutional, we continued to adhere to Dennison and its progeny. See Chilivis v. Nat. Distributing Co., 239 Ga. 651, 654 (1) (238 SE2d 431) (1977).“Because of the adoption of this constitutional amendment, and it is now effective as a part of our Constitution, we hold that the immunity rule as it has heretofore existed in this state cannot be abrogated or modified by this [C]ourt.”14
The doctrine of sovereign immunity retained its constitutional status in the Constitution of 1983, which provided at its adoption that “[s]overeign immunity extends to the state and all of its departments and agencies.”
1983 omitted any reference to a State Court of Claims. Although it retained the principle that sovereign immunity could be waived by the Constitution itself or an act of the General Assembly, the Constitution of 1983 added that a subsequently enacted statute would waive sovereign immunity only if it “specifically provides that sovereign immunity is hereby waived and the extent of the waiver.”
This Court recognized the Constitution of 1983 as a continuation for the State of the constitutional reservation of the sovereign immunity that had been recognized by the Georgia courts since the Founding, see Toombs County v. O‘Neal, 254 Ga. 390, 391 (1) (330 SE2d 95) (1985), and consistent with that recognition, we continued to adhere to the rule at common law that suits against state officers in their official capacities amount to suits against the State itself and are barred by sovereign immunity. See Price v. Dept. of Transp. of Ga., 257 Ga. 535, 537 (361 SE2d 146) (1987). The waiver provisions newly adopted with the Constitution of 1983, however, proved to be “grist for the litigational mills,” Sentell, Tort Liability, supra, at 408 (II) (D), and the decisional law applying these waiver provisions ultimately would lead to yet another evolution of the constitutional reservation of sovereign immunity. In a series of cases, this Court construed the reservation of sovereign immunity in Article I, Section II, Paragraph IX to extend not only to the State itself, but also to counties, see Toombs County, 254 Ga. at 391 (1), to school districts, see Thigpen v. McDuffie County Bd. of Education, 255 Ga. 59, 59 (335 SE2d 112) (1985) (plurality opinion), and later, to municipalities.16 See Hiers v. City of Barwick, 262 Ga. 129, 131 (2) (414 SE2d 647) (1992). As a result, the immunity of those governments with respect to monetary damages was waived to the extent of their liability insurance. See Sentell, Tort Liability, supra, at 408-411 (discussing decisional law extending sovereign immunity of the State to counties, school districts, and municipalities). In addition, this Court relied on Article I, Section
II, Paragraph IX to hold that the purchase of liability insurance for employees of a state department would waive the sovereign immunity of the department itself, see Martin, 257 Ga. at 303 (2), and we held that the General Assembly was without the authority to reserve sovereign immunity by statute to the extent that a department or agency had purchased liability insurance. See Price, 257 Ga. at 536, n.2.
In the wake of these decisions, the General Assembly proposed to revise Article I, Section II, Paragraph IX, see Ga. L. 1990, p. 2435, and in November 1990, the voters approved the proposal.17 Effective as of January 1, 1991, this constitutional amendment repealed the provision waiving sovereign immunity to the extent of liability insurance, and it added a provision that, for the first time, expressly authorized the General Assembly to enact a State Tort Claims Act, among other changes. See Curtis v. Bd. of Regents of Univ. System of Ga., 262 Ga. 226, 227 (416 SE2d 510) (1992). See also Sentell, Tort Liability, supra, at 411-412, 415-423 (III). But most important for our purposes, the 1991 amendment carried forward the constitutional reservation of sovereign immunity
at common law as it was understood in Georgia, using the same language as the original Constitution of 1983 to reaffirm that “sovereign immunity extends to the state and all of its departments and agencies.”
C.
In 1995, we decided IBM Corp. v. Evans, 265 Ga. 215 (453 SE2d 706) (1995), and in that split decision, a majority of the Court abandoned the understanding at common law that sovereign immunity bars suits against the State, its departments, and its officers in their official capacities for injunctive relief. The majority acknowledged that earlier cases routinely distinguished between suits against officers in their official capacities (which were barred by sovereign immunity) and those against officers in their individual capacities (which often were not). The majority then cast aside that distinction as a “legal fiction” that had caused confusion, and it announced that “a suit for injunctive relief to restrain an illegal act” was excepted altogether from the bar of
Evans marked a drastic departure from our traditional understanding of sovereign immunity, but it was not long for our jurisprudence. Three years ago, we corrected course in Sustainable Coast and overruled Evans, putting the decisional law back on the track that leads from the common law. See 294 Ga. at 593. In Sustainable Coast, we reaffirmed that the doctrine of sovereign immunity bars suits against the State, its departments and agencies, and its officers in their official capacities for injunctive relief, except to the extent that sovereign immunity is waived by the Constitution itself or the statutory law. See
We followed up Sustainable Coast with our decision in Olvera. In that case, we considered whether the doctrine of sovereign immunity extends to suits for declaratory relief. We began in Olvera with the observation that “[t]he sweep of sovereign immunity under the Georgia Constitution is broad,” 298 Ga. at 426, and we held that, “absent some exception,” it applies to bar suits against the State for declaratory relief. Id. at 427. Just as we had done in Sustainable Coast, we explained that, if such an “exception” were to be found, it must be found in the Constitution itself, see id. at 426 n.1, or in the statutory law. See id. at 426. We then looked to the statutory law under which the plaintiffs brought their suit, but we found no specific waiver of sovereign immunity. See id. at 427-428. We again concluded by noting that aggrieved citizens might properly seek relief against state officers in their individual capacities. See id. at 428.19 Keeping this
III.
The plaintiff-physicians brought this lawsuit against twenty state officers in their official capacities only, seeking injunctive and declaratory relief from official acts that would, they allege, violate various provisions of the Constitution of 1983. But as our precedents make clear, a suit against a state officer in his official capacity amounts to a suit against the State itself, Cameron v. Lang, 274 Ga. 122, 126 (3) (549 SE2d 341) (2001), and the doctrine of sovereign immunity bars suits against the State to which the State has not consented. See Gilbert, 264 Ga. at 745-746 (1). Sovereign immunity extends to suits for injunctive relief, Sustainable Coast, 294 Ga. at 603 (2), and it extends as well to suits for declaratory relief, see Olvera, 298 Ga. at 427. Moreover, as we made clear in Sustainable Coast and its progeny, precisely because the doctrine of sovereign immunity at common law has been constitutionally reserved, the doctrine applies today just as it applied at common law. And at common law, it was understood by the Georgia courts that sovereign immunity would bar a suit against a state officer in his official capacity for injunctive relief against official acts that were alleged to be unconstitutional. See, e.g., Maddox, 224 Ga. at 808-809; Peters, 217 Ga. at 473-475 (2); Ramsey, 181 Ga. at 377.
Therefore, unless the State has consented to this lawsuit, it is barred by the doctrine of sovereign immunity. Consent to suit can only be given by the Constitution itself or by an act of the General Assembly. SJN Properties, LLC v. Fulton County Bd. of Assessors, 296 Ga. 793, 799 (2) (b) (i) (770 SE2d 832) (2015). The parties here point to no statutory law that works a specific waiver of sovereign immunity for suits like this one, and so, the dispositive question is whether the Constitution of 1983 authorizes such a suit. The plaintiff-physicians say that it does. They are incorrect.
A.
As the plaintiff-physicians correctly note, this Court has said in a number of cases that “[t]he violation by a [government] of a constitutional right of the citizen must by necessary implication raise a cause of action in favor of the citizen against the [government], unless some means of redress other than suit has been afforded by the legislature.” Smith v. Floyd County, 85 Ga. 420, 424 (11 SE 850) (1890). See also Baranan v. Fulton County, 232 Ga. 852, 856 (209 SE2d 188) (1974); Waters v. DeKalb County, 208 Ga. 741, 745 (1) (69 SE2d 274) (1952); State Highway Bd. v. Hall, 193 Ga. 717, 719 (20 SE2d 21) (1942); Harrison v. State Highway Dept., 183 Ga. 290, 299 (188 SE 445) (1936); Tounsel v. State Highway Dept., 180 Ga. 112, 117-118 (178 SE 285) (1935); Millwood v. DeKalb County, 106 Ga. 743, 747-748 (32 SE 577) (1899). But in every one of those cases, we were speaking with reference to a particular constitutional right, the right to just and adequate compensation for private property taken by the government for a public use. See
This Court, however, has rejected the idea that other constitutional provisions imply a right of action against the government that suffices to waive sovereign immunity for suits to vindicate those provisions. See, e.g., Maddox, 224 Ga. at 808-809; Peters, 217 Ga. at 473-475 (2); Ramsey, 181 Ga. at 377. Unlike the Takings Clause, many constitutional guarantees of right do not identify in specific and explicit terms a justiciable remedy for violations of the guarantee, nor are they without meaning in the absence of a right of action against the government itself. The Due Process Clause, for instance, guarantees that “[n]o person shall be deprived of life, liberty, or property except by due process of law,”
That the constitutional guarantees upon which the plaintiff-physicians rely are fundamental ones cannot be reasonably disputed. But in light of our precedents — many of which were decided when sovereign immunity was only a doctrine of the common law — we find no compelling reason to reverse course now and hold that those guarantees imply a right of action against the government sufficient to overcome the constitutional doctrine of sovereign immunity. Indeed, the Due Process Clause has not changed since we decided Bailey. What has changed is the status of sovereign immunity. If the Due Process Clause was not sufficient to overcome sovereign immunity as a matter of common law in Bailey, we do not understand how it could overcome constitutional sovereign immunity today.21 The indisputably important nature of the constitutional guarantees upon which the plaintiff-physicians challenge House Bill 954 does not work a waiver of sovereign immunity.
B.
When we inquire into the meaning of a constitutional provision, we look to its text, and our object is to ascertain “the meaning of the text at the time it was adopted.” Georgia Motor Trucking Assn. v. Dept. of Revenue, 301 Ga. 354, 357 (2) (801 SE2d 9) (2017) (citation and punctuation omitted). See also Smith v. Baptiste, 287 Ga. 23, 32 (2) (694 SE2d 83) (2010) (Nahmias, J., concurring) (“Our task in interpreting the Constitution is to determine the meaning of the language used in that document to the people who adopted it as the controlling law of our State.“). When we look to the constitutional text, we must bear in
[a] constitutional provision must be presumed to have been framed and adopted in the light and understanding of prior and existing laws and with reference to them. Constitutions, like statutes, are properly to be expounded in the light of conditions existing at the time of their adoption.
Clarke, 199 Ga. at 166 (citation omitted).
the conclusion to which the whole country has come, with a concurrence of opinion and unanimity of sentiment, which leaves no room to doubt its correctness is, that the Constitution is the permanent law of the land; and that all legislative acts which impugn its provisions, are not merely voidable, but absolutely void. That the question was between conflicting laws, one of which must give way and the other stand; and the whole point was, whether the Court, who could execute but one of the laws, had a
right to decide whether there was a conflict, and which should yield? That the Judiciary owe a duty to the Constitution above that which they owe to the Legislature, and that when one says one thing and the other a contrary thing, they must obey the Constitution, which is in effect, deciding against the law.
Winter v. Jones, 10 Ga. 190, 194 (1851) (emphasis omitted).
By 1861, the doctrine of judicial review had been employed by Georgia courts for several decades. See Albert B. Saye, A Constitutional History of Georgia at 188-194 (1948). Indeed, we invoked it at the very first session of this Court in 1846, determining that a statutory provision that prohibited the carrying of arms openly was inconsistent with the constitutional guarantee of the right to keep and bear arms, and declaring that the statute was, therefore, void. See Nunn v. State, 1 Ga. 243, 251 (1846). And nationally, of course, the doctrine had received its most famous judicial treatment several decades earlier in Marbury v. Madison, 5 U. S. 137, 177-180 (2 LE 60) (1803):
It is emphatically the province and duty of the judicial department to say what the law is. Those who apply the rule to particular cases, must of necessity expound and interpret that rule. If two laws conflict with each other, the courts must decide on the operation of each.
So if a law be in opposition to the constitution; if both the [statutory] law and the constitution apply to a
particular case, so that the court must either decide that case conformably to the [statutory] law, disregarding the constitution; or conformably to the constitution, disregarding the [statutory] law; the court must determine which of these conflicting rules governs the case. This is of the very essence of judicial duty. If then the courts are to regard the constitution; and the constitution is superior to any ordinary act of the legislature; the constitution, and not such ordinary act, must govern the case to which they both apply.
. . .
[A] law repugnant to the constitution is void; and [the] courts, as well as other departments, are bound by that instrument.
5 U. S. at 177-180. The words of the Judicial Review Clause clearly are a reference to this doctrine of judicial review.
We find no indication that this constitutional reference to judicial review would have been understood in 1861 to imply a right of action against anyone, much less a right of action against the State. It certainly would not have been understood to imply a right of action for declaratory relief, which was a remedy unknown at common law, see Southern R. Co. v. State of Ga., 116 Ga. 276, 278-279 (42 SE 508) (1902), and one that would not be recognized in Georgia until the enactment of the
The early cases do not suggest in any way that judicial review was understood to confer upon the courts a jurisdiction that they otherwise did not have. To the contrary, judicial review was understood in the middle of the Nineteenth Century simply as a rule of necessity to permit the courts to resolve cases within their settled and existing jurisdiction when the proper resolution of those cases required a judicial choice between conflicting rules of decision. As this Court explained in Beall v. Beall, 8 Ga. 210, 219 (1850):
Now, let us suppose, that the Legislature should pass an Act manifestly repugnant to some part of the Constitution, and that the operation and validity of both should come regularly in question, before any Court. The business and design of the judicial power is, to administer justice, according to the law of the land. According to two contradictory rules, justice, in the nature of things, cannot possibly be administered. One of them must, of necessity, give place to the other. Both, according to our supposition, come regularly before the Court, for its decision on their operation and validity. It is the right, and it is the duty, of the Court, to decide upon them. Its decision must be made, for justice must be administered, according to the law of the land. When the question occurs — What is the law
of the land? — it must also decide this question. In what manner is this question to be decided? The answer seems to be a very easy one. The supreme power has given one rule — a subordinate power has given a contradictory rule; the former is the law of the land; as a necessary consequence, the latter is void, and has no operation.
(Citation and emphasis omitted.)
The Judicial Review Clause is merely a constitutional recognition of the inherent authority of a court to resolve conflicts between the Constitution itself and the statutory law, when the resolution of such conflicts is essential to the decision of a case already properly before the court. See Walter McElreath, A Treatise on the Constitution of Georgia § 1137 (1912) (noting that courts may be “called upon, in a proper case, to pass upon the constitutionality of a law” (emphasis added)). Sovereign immunity, on the other hand — like various other rules of jurisdiction and justiciability — is concerned with the extent to which a case properly may come before a court at all. It is no more an impediment to judicial review than the other doctrines and rules that sometimes preclude decisions on the merits, including the limits of subject-matter and personal jurisdiction; exhaustion of administrative remedies requirements; the rule against advisory opinions; the doctrines of standing, ripeness, and mootness;
C.
Finally, the plaintiff-physicians make a structural argument of sorts, proceeding from the premise that, if sovereign immunity bars suits like this one, the courts will be left powerless to safeguard (prospectively, at least) the constitutional rights of citizens. If that were the case, they say, the Executive and Legislative branches effectively would be set above the Judicial branch. And that state of affairs, they conclude, would be inconsistent with the essential and fundamental structure of our constitutional government, most especially the constitutional separation of powers, see
In the first place, there are a number of ways in which an aggrieved citizen may pursue claims directly against state departments, agencies, and officers in their official capacities for relief from official acts alleged to be unconstitutional or otherwise unlawful, notwithstanding the broad sweep of sovereign immunity. The most prominent of these is a suit under the
Moreover, as we have explained at some length, the doctrine of sovereign immunity usually poses no bar to suits in which state officers are sued in their individual capacities for official acts that are alleged to be unconstitutional. That was the general rule at common law, as well illustrated by decisions like Dennison, 156 Ga. at 796-798, Holcombe, 188 Ga. at 363-364, and Undercofler, 221 Ga. at 829 (1), among others. Inasmuch as
To this point, the plaintiff-physicians worry that, even if sovereign immunity is no bar to suits against state officers, official immunity commonly is a bar to such suits. The defendant-state officers agree, urging that the doctrine of official immunity ordinarily would bar a suit against state officers in their individual capacities for official acts involving an element of discretion, including their enforcement of laws alleged to be unconstitutional.24 As to retrospective relief — monetary damages and other relief for wrongs already done and injuries already sustained — they are, generally speaking, right. But the plaintiff-physicians did not seek retrospective relief, and here, we are concerned instead with prospective relief — relief from the threat of wrongful acts and injuries yet to come — especially in the form of injunctions and declaratory judgments. As we explain below, official immunity generally is no
Like sovereign immunity, the doctrine of official immunity is one that has been recognized in Georgia for many years. As it did throughout the United States, the doctrine developed in Georgia through decisional law, at least in the beginning. See Gilbert, 264 Ga. at 752 (6) (explaining origins of official immunity in Georgia). See also Merrow v. Hawkins, 266 Ga. 390, 392 (2) n.4 (467 SE2d 336) (1996) (noting that official immunity “developed primarily through case law“). As the doctrine traditionally was understood by Georgia courts, it provided that, “[i]n matters of ministerial duty[,] [public officers] may even be liable for nonfeasance as well as misfeasance, for mistakes and neglects[,] but in matters of judgment and discretion[,] they are liable only if they act wilfully, corruptly, or maliciously.” Price v. Owen, 67 Ga. App. 58, 60-
As a general rule the failure of a public officer to comply with the laws governing and regulating his powers and duties usually subjects such officer to a civil action for damages. It is a well-established principle that a public officer who fails to perform purely ministerial duties required by law is subject to an action for damages by one who is injured by his omission. However, it is equally well established that where an officer is invested with discretion and is empowered to exercise his judgment in matters brought before him . . . he is usually given immunity from liability to persons who may be injured as the result of an erroneous decision; provided the acts complained of are done within the scope of the officer‘s authority, and without wilfulness, malice, or corruption.
(Citations and punctuation omitted). See also Partain v. Maddox, 131 Ga. App. 778, 781-782 (206 SE2d 618) (1974) (discussing Gormley).
In developing the doctrine, the courts saw it as a practical one, essential to the encouragement of good government. As our Court of Appeals put it in Price, if an honest mistake would expose a public officer to personal financial ruin, it “would . . . be difficult to get responsible men to fill public office.” 67 Ga. App. at 60 (citations and punctuation omitted). There also was a concern that, if public officers were too exposed to liability for monetary damages, they might be too timid in exercising their lawful discretion for the public good, and their official decisions might become compromised, quite understandably, by
Given the purpose of the doctrine as a matter of decisional law, it is unsurprising that it appears to have been limited to cases in which a public officer was sued in his individual capacity for monetary damages or other retrospective relief. As this Court explained in Koehler v. Massell, 229 Ga. 359, 366-367 (191 SE2d 830) (1972), a case involving a suit against the mayor and aldermen of Atlanta in their individual capacities for allegedly making an unlawful use of municipal funds and their amenability to injunctive and monetary relief, a claim against a public officer personally for prospective injunctive relief is of an entirely different character from a claim against him personally for monetary damages:
That a taxpayer, for himself and others, may sue in equity . . . for an injunction to restrain the officers of a municipal corporation from contracting an
indebtedness in excess of the constitutional limit, has been held repeatedly. We need not cite cases. They are familiar to all. But where a debt has been created notwithstanding the limitation, may the city officials who by their official acts have knowingly and wrongfully brought about such result be held personally liable for the amount of such debt[?] . . . While a violation of the Constitution in the respect in question is to be condemned, and the courts should interfere to prevent such violation whenever called upon to do so, yet we are not prepared to adopt the suggestion that an action for damages may be resorted to, as affording a proper means of redress, where a violation has been accomplished. . . . There is a vast difference between a proceeding to restrain the officers of a municipality from appropriating more of its funds to a particular purpose than could be legally done, and an action at law brought by a citizen and taxpayer of the municipality, for its use, to recover from such officers a large sum of money . . . .
(Citations and punctuation omitted.) This understanding is consistent with the understanding in American law generally that the personal immunities of public officers typically do not extend to prospective relief. See 63C AmJur2d Public Officers and Employees § 379 (“Immunity from damages does not ordinarily bar equitable relief.“). See also Wood v. Strickland, 420 U. S. 308, 314 (II) n.6 (95 SCt 992, 43 LE2d 214) (1975) (qualified immunity under
Official immunity, however, did not survive forever simply as a doctrine of decisional law. Following the original adoption of the
Commentators observed other worrisome trends with respect to official immunity in the tort decisions that followed the adoption of the
Against this background, when the General Assembly in 1990 proposed to revise
Except as specifically provided by the General Assembly in a State Tort Claims Act, all officers and employees of the state or its departments and agencies may be subject to suit and may be liable for injuries and damages caused by the negligent performance of, or negligent failure to perform, their ministerial functions and may be liable for injuries and damages if they act with actual malice or with actual intent to cause injury in the performance of their official functions. Except as provided in this subparagraph, officers and employees of the state or its departments and agencies shall not be
subject to suit or liability, and no judgment shall be entered against them, for the performance or nonperformance of their official functions. The provisions of this subparagraph shall not be waived.
This noteworthy textual characteristic of
To this point, the plaintiff-physicians worry that, even if sovereign immunity is no bar to suits against state officers, official immunity commonly is a bar to such suits. The defendant-state officers agree, urging that the doctrine of official immunity ordinarily would bar a suit against state officers in their individual capacities for official acts involving an element of discretion, including their enforcement of laws alleged to be unconstitutional.24 As to retrospective relief — monetary damages and other relief for wrongs already done and injuries already sustained — they are, generally speaking, right. But the plaintiff-physicians did not seek retrospective relief, and here, we are concerned instead with prospective relief — relief from the threat of wrongful acts and injuries yet to come — especially in the form of injunctions and declaratory judgments. As we explain below, official immunity generally is no
Like sovereign immunity, the doctrine of official immunity is one that has been recognized in Georgia for many years. As it did throughout the United States, the doctrine developed in Georgia through decisional law, at least in the beginning. See Gilbert, 264 Ga. at 752 (6) (explaining origins of official immunity in Georgia). See also Merrow v. Hawkins, 266 Ga. 390, 392 (2) n.4 (467 SE2d 336) (1996) (noting that official immunity “developed primarily through case law“). As the doctrine traditionally was understood by Georgia courts, it provided that, “[i]n matters of ministerial duty[,] [public officers] may even be liable for nonfeasance as well as misfeasance, for mistakes and neglects[,] but in matters of judgment and discretion[,] they are liable only if they act wilfully, corruptly, or maliciously.” Price v. Owen, 67 Ga. App. 58, 60-
As a general rule the failure of a public officer to comply with the laws governing and regulating his powers and duties usually subjects such officer to a civil action for damages. It is a well-established principle that a public officer who fails to perform purely ministerial duties required by law is subject to an action for damages by one who is injured by his omission. However, it is equally well established that where an officer is invested with discretion and is empowered to exercise his judgment in matters brought before him . . . he is usually given immunity from liability to persons who may be injured as the result of an erroneous decision; provided the acts complained of are done within the scope of the officer‘s authority, and without wilfulness, malice, or corruption.
(Citations and punctuation omitted). See also Partain v. Maddox, 131 Ga. App. 778, 781-782 (206 SE2d 618) (1974) (discussing Gormley).
In developing the doctrine, the courts saw it as a practical one, essential to the encouragement of good government. As our Court of Appeals put it in Price, if an honest mistake would expose a public officer to personal financial ruin, it “would . . . be difficult to get responsible men to fill public office.” 67 Ga. App. at 60 (citations and punctuation omitted). There also was a concern that, if public officers were too exposed to liability for monetary damages, they might be too timid in exercising their lawful discretion for the public good, and their official decisions might become compromised, quite understandably, by
Given the purpose of the doctrine as a matter of decisional law, it is unsurprising that it appears to have been limited to cases in which a public officer was sued in his individual capacity for monetary damages or other retrospective relief. As this Court explained in Koehler v. Massell, 229 Ga. 359, 366-367 (191 SE2d 830) (1972), a case involving a suit against the mayor and aldermen of Atlanta in their individual capacities for allegedly making an unlawful use of municipal funds and their amenability to injunctive and monetary relief, a claim against a public officer personally for prospective injunctive relief is of an entirely different character from a claim against him personally for monetary damages:
That a taxpayer, for himself and others, may sue in equity . . . for an injunction to restrain the officers of a municipal corporation from contracting an
indebtedness in excess of the constitutional limit, has been held repeatedly. We need not cite cases. They are familiar to all. But where a debt has been created notwithstanding the limitation, may the city officials who by their official acts have knowingly and wrongfully brought about such result be held personally liable for the amount of such debt[?] . . . While a violation of the Constitution in the respect in question is to be condemned, and the courts should interfere to prevent such violation whenever called upon to do so, yet we are not prepared to adopt the suggestion that an action for damages may be resorted to, as affording a proper means of redress, where a violation has been accomplished. . . . There is a vast difference between a proceeding to restrain the officers of a municipality from appropriating more of its funds to a particular purpose than could be legally done, and an action at law brought by a citizen and taxpayer of the municipality, for its use, to recover from such officers a large sum of money . . . .
(Citations and punctuation omitted.) This understanding is consistent with the understanding in American law generally that the personal immunities of public officers typically do not extend to prospective relief. See 63C AmJur2d Public Officers and Employees § 379 (“Immunity from damages does not ordinarily bar equitable relief.“). See also Wood v. Strickland, 420 U. S. 308, 314 (II) n.6 (95 SCt 992, 43 LE2d 214) (1975) (qualified immunity under
Official immunity, however, did not survive forever simply as a doctrine of decisional law. Following the original adoption of the
Commentators observed other worrisome trends with respect to official immunity in the tort decisions that followed the adoption of the
Against this background, when the General Assembly in 1990 proposed to revise
Except as specifically provided by the General Assembly in a State Tort Claims Act, all officers and employees of the state or its departments and agencies may be subject to suit and may be liable for injuries and damages caused by the negligent performance of, or negligent failure to perform, their ministerial functions and may be liable for injuries and damages if they act with actual malice or with actual intent to cause injury in the performance of their official functions. Except as provided in this subparagraph, officers and employees of the state or its departments and agencies shall not be
subject to suit or liability, and no judgment shall be entered against them, for the performance or nonperformance of their official functions. The provisions of this subparagraph shall not be waived.
This noteworthy textual characteristic of
First, although the text of Article I, Section II, Paragraph IX (d) does not unambiguously incorporate all of the preexisting decisional law on official
may be subject to suit and may be liable for injuries and damages caused by the negligent performance of, or negligent failure to perform, their ministerial functions and may be liable for injuries
and damages if they act with actual malice or with actual intent to cause injury in the performance of their official functions.
Other contextual clues suggest that the second sentence of Article I, Section II, Paragraph IX (d) is about suits for retrospective relief. The second sentence uses the term “liability” alongside “suit.” A “liability” often refers to
The General Assembly also recognizes that the proper functioning of state government requires that state officers and employees be free to act and to make decisions, in good faith, without fear of thereby exposing themselves to lawsuits and without fear of the loss of their personal assets. Consequently, it is declared to be the public policy of this state that state officers and employees shall not be subject to lawsuit or liability arising from the performance or nonperformance of their official duties or functions.
Ga. L. 1992, p. 1883, § 1 (enacting
Read in its proper context, Article I, Section II, Paragraph IX (d) is most reasonably understood to be about suits and liabilities for retrospective relief, mostly monetary damages in tort cases. To read it otherwise, one would have to assign different meanings to the same words in consecutive sentences of that provision; one would have to ignore all of the historical context and conclude that the 1991 amendment really was not mostly about tort cases; and one would have to understand the 1991 amendment to have swept away decades of case law that permitted suits against public officers in their individual capacities for injunctive and declaratory relief from the threat of official acts that would violate the Constitution, even without any mention of injunctions and declaratory judgments in the text of the amendment. Finally, we should add, the defendant-state officers have not cited a single case in which this Court, our Court of Appeals, or any other court has applied the doctrine of official immunity (or a doctrine like it) to bar a suit for injunctive or declaratory relief. We conclude that Article I, Section II, Paragraph IX (d) concerns suits and
IV.
The constitutional doctrine of sovereign immunity bars any suit against the State to which it has not given its consent, including suits against state departments, agencies, and officers in their official capacities, and including
Judgment affirmed. Hines, C. J., Melton, P. J., Benham, Nahmias, Boggs, JJ., and Judge Penny Haas Freesemann and Judge Ann B. Harris concur. Hunstein, J., concurs in Divisions I, II, III (A), III (C), IV and in the judgment. Peterson and Grant, JJ., disqualified.
Decided June 19, 2017.
Sovereign immunity; constitutional question. Fulton Superior Court. Before Judge Adams.
Garland, Samuel & Loeb, Donald F. Samuel; Alexa Kolbi-Molinas, Susan T. Camp, for appellants.
Bondurant Mixson & Elmore, Ronan P. Doherty, Manoj S. Varghese, Michael R. Baumrind, amici curiae.
Notes
Ga. L. 1973, p. 1489.The General Assembly is hereby authorized to create and establish a State Court of Claims with jurisdiction to try and dispose of cases involving claims for injury or damage, except the taking of private property for public purposes, against the State of Georgia, its agencies or political subdivisions, as the General Assembly may provide by law. Notwithstanding any
other provision of this Constitution, the General Assembly may provide for exclusive jurisdiction over such cases in the State Court of Claims, provide for trial of such cases without a jury, and prescribe the place and manner in which such cases may be brought and tried. The Supreme Court and the Court of Appeals shall have original jurisdiction to try and correct errors of law from such State Court of Claims according to the method of appeal to said courts now provided for or as may hereafter be provided by law. Nothing contained herein shall constitute a waiver of the immunity of the State from suit, but such sovereign immunity is expressly reserved except to the extent of any waiver of immunity provided in this Constitution and such waiver or qualification of immunity as is now or may hereafter be provided by act of the General Assembly.
Ga. L. 1982, p. 2546.Sovereign immunity extends to the state and all of its departments and agencies. However, the defense of sovereign immunity is waived as to any action ex contractu for the breach of any written contract now existing or hereafter entered into by the state or its departments and agencies. Also the defense of sovereign immunity is waived as to those actions for the recovery of damages for any claim against the state or any of its departments and agencies for which liability insurance protection for such claims has been provided but only to the extent of any liability insurance provided. Moreover, the sovereign immunity of the state or any of its departments and agencies may hereafter be waived further by Act of the General Assembly which specifically provides that sovereign immunity is hereby waived and the extent of the waiver. No waiver of sovereign immunity shall be construed as a waiver of any immunity provided to the state or its departments and agencies by the United States Constitution. The provisions of this paragraph shall not have the effect of permitting the state or any of its departments or agencies to interpose the defense of sovereign immunity as to any action against the state or any of its departments or agencies filed prior to January 1, 1983, if such defense could not have been interposed on December 31, 1982.
(a) The General Assembly may waive the state‘s sovereign immunity from suit by enacting a State Tort Claims Act, in which the General Assembly may provide by law for procedures for the making, handling, and disposition of actions or claims against the state and its departments, agencies, officers, and employees, upon such terms and subject to such conditions and limitations as the General Assembly may provide.
(b) The General Assembly may also provide by law for the processing and disposition of claims against the state which do not exceed such maximum amount as provided therein.
(c) The state‘s defense of sovereign immunity is hereby waived as to any action ex contractu for the breach of any written contract now existing or hereafter entered into by the state or its departments and agencies.
. . .
(e) Except as specifically provided in this Paragraph, sovereign immunity extends to the state and all of its departments and agencies. The sovereign immunity of the state
and its departments and agencies can only be waived by an Act of the General Assembly which specifically provides that sovereign immunity is thereby waived and the extent of such waiver. (f) No waiver of sovereign immunity under this Paragraph shall be construed as a waiver of any immunity provided to the state or its departments, agencies, officers, or employees by the United States Constitution.
Restatement (Second) of Torts § 895B, comment (a).[M]ost [state] constitutions have a provision prohibiting the taking of property for public purposes without just compensation. These provisions have usually been held to be self-executing and to constitute a consent to suit, so that even though the legislature has failed to establish any procedure for litigating the claims, resort to the courts is held to be open for a “taking,” or in many States, a damaging of private property for a public purpose within the terms of the constitution.
