Lead Opinion
delivered the opinion of the Court.
These two appeals present the same issue from slightly different perspectives. Both appeals concern whether the doctrine of sovereign immunity extends to government employees such as those involved in these cases. They differ in that William W. Burden, the appellee in the first appeal, was an employee of Tidewater Community College, part of the Virginia Community College System, and thus, in essence, an employee of the State, while Dennis R. Johnson, the appellee in the second appeal, was an employee of Arlington Cоunty. These appeals give us the opportunity to reexamine the complex law of sovereign immunity as it has evolved in the Commonwealth.
A. Messina
In the first appeal, Frank Messina was injured when he tripped and fell on a stairway located behind the stage of the College Theater on the Frederick Campus of Tidewater Community College. At the time of his injury Messina was an actor in a play being performed at the theater.
Messina first sued the community college. However, that action was nonsuited and an amended motion for judgment was filed against William W. Burden, the college’s superintendent of buildings.
In the amended motion for judgment, Messina made several allegations against Burden including the following:
On or about March 11, 1979, the Defendant, William W. Burden, was the Superintendent of Buildings for the Defendant Tidewater Community College, was its employee, and was acting within the scope of his employment; and as the Superintendent of Buildings it was his duty to maintain and supervise the maintenance of the buildings of the Tidewater Community College. . . .
Burden filed a demurrer in which he contended that the action against him was barred by the doctrine of sovereign immunity. The court sustained the demurrer with lеave to Messina to amend.
Messina filed a second amended motion for judgment. This time Messina was careful not to set forth Burden’s job title. Moreover, in his new pleading, Messina did not allege that Burden was acting within the scope of his employment or that he had supervisory responsibilities. In response, Burden filed a plea of sovereign immunity. The court sustained the plea.
On appeal, Messina contends that the trial court erred in two particulars: first by sustaining the demurrer to the first amended motion for judgment, second by sustaining the plea to the second amended motion for judgment.
B. Armstrong
Leonard Armstrong was injured when he stepped on a defective manhole cover located in a street in Arlington County. Armstrong sued Dennis R. Johnson and, in his motion for judgment, alleged
The trial court sustained the demurrer and the plea of immunity. In a memorandum opinion, the trial court first stated that Arlington County shared the sovereign immunity of the Commonwealth, then reasoned that the county “is not a ‘locаl government agency’ as that term has been used in several of the decisions denying immunity to employees of such agencies.” The trial court also stated that Johnson’s duties were “analogous to the ‘executive officers’ in Lawhorne v. Harlan [
On appeal, Armstrong contends that the trial court made two errors. He says the court erred in holding that Johnson “while acting as Chief ... of Operations . . . was not acting as an employee of a local government agency.” He also says the trial court erred in sustaining Johnson’s demurrer and plea.
II. Discussion
A. Issues Common to Both Appeals
At least two common themes run through both appeals. One theme is that the doctrine of sovereign immunity has been so eroded that it has lost its vitality and should be done away with completely by this Court. The other theme concerns the difficulty in determining which government employees are entitled to immunity.
Contrary to the suggestions of the appellants, the doctrine of sovereign immunity is “alive and well” in Virginia. Though this Court has, over the years, discussed the doctrine in a variety of contexts and refined it for application to constantly shifting facts and circumstances, we have never seen fit to abolish it. Nor does the General Assembly want the doctrine abolished. In 1981, the General Assembly enacted the Virginia Tort Claims Act. Had it so chosen, the legislature could have used that act as a vehicle to abolish sovereign immunity. It did just the contrary. In a 1982 amendment to the Act the General Assembly provided as follows:
[N]or shall any provision of this article ... be so construed as to remove or in any way diminish the sovereign immunity of any county, city, or town in the Commonwealth.
Code § 8.01-195.3 (emphasis added). Thus, the complexity that exists in the law of sovereign immunity cannot be eliminated by the simple expedient of doing away with the doctrine by judicial fiat.
2. Determining Employee Immunity
The more important question raised by the two appeals is under what circumstances an employee of a governmental body is entitled to the protection of sovereign immunity. In order to resolve this question, we must focus upon what the doctrine of sovereign immunity was meant to achieve.
One of the most often repeated explanations for the rule of state immunity from suits in tort is the necessity to protect the public purse. See Hinchey v. Ogden,
More recently, in Hinchey, we rejected the idea that protection of the public purse is or ever was the sole basis of the doctrine. There, we said that while maintenance of public funds is important, another equally important purpose of the rule is the orderly administration of government. In Hinchey, we relied upon 72 Am. Jur. 2d States, Territories, and Dependencies § 99, which described sovereign immunity “as a rule of social policy, which protеcts the state from burdensome interference with the performance of its governmental functions and preserves its control over state funds, property, and instrumentalities.”
From these several sources it is apparent that the doctrine of sovereign immunity serves a multitude of purposes including but not limited to protecting the public purse, providing for smooth operation of government, eliminating public inconvenience and danger that might spring from officials being fearful to act, assuring that citizens will be willing to take public jobs, and preventing citizens from improperly influencing the conduct of governmental affairs through the threat or use of vexatious litigation. Given the several purposes of the doctrine, it follows that in order to fulfil! those purposes the protection afforded by the doctrine cannot be limited solely to the sovereign. Unless the protection of the doctrine extends to some of the people who help run the government, the majority of the purposes for the doctrine will remain unaddressed. For example, limiting protection to the State itself does nothing to insure that officials will act without fear. If every government employee is subject to suit, the State could become as hamstrung in its operations as if it were subject to direct suit. The reason for this is plain: the State can act only through individuals. See Sayers v. Bullar,
At least twice in the past, we have acknowledged the importance of affording immunity to certain government employees. In one case we approached the question on the basis of policy:
It would be an unwise policy to permit agents and employees of the State to be sued in their personal capacity for acts done by them at the express direction of the State, unless they depart from that direction.
There is very little debate regarding the extension of the doctrine to those who operate at the highest levels of the three branches of government. Governors, judges, members of state and local legislative bodies, and other high level governmental officials have genеrally been accorded absolute immunity. W. Prosser, Handbook of the Law of Torts § 132 at 987-988 (4th ed. 1971). General agreement breaks down, however, the farther one moves away from the highest levels of government. Nevertheless, on a case-by-case basis, this Court has extended immunity to other governmental officials of lesser rank.
In Sayre v. The Northwestern Turnpike Road,
In Lawhorne v. Harlan,
Deciding which government employees are entitled to immunity requires line-drawing. Yet, given the continued vitality of the doctrine, the Court must engage in this difficult task. Yet, by keeping the policies that underlie the rule firmly fixed in our analysis, by distilling general principles from our prior decisions, and by examining the facts and circumstances of each case this task can be simplified.
B. Analysis of Messina and Armstrong
Messina and Armstrong do not involve officials at the very highest levels of government who have generally been accorded absolutе immunity. Thus, to decide the question of immunity in these appeals, we must make a close examination of the facts and circumstances.
1. Messina
In Messina, the trial court did not err in sustaining the demurrer to the first amended motion for judgment. In that pleading, Messina pleaded himself out of court. Messina alleged that the college was part of the Community College System, that Burden was employed by the college, that Burden was the “Superintendent of Buildings,” that Burden had the “duty to maintain and supervise the maintenance of the buildings” at the college, and that Burden “was acting within the scope of his employmеnt.” It is clear from the first amended motion for judgment that Burden was a supervisory employee of the State of Virginia who was operating within the scope oí- his employment in doing or failing to do the act of simple negligence complained of by Messina; as such he
In support of his second assignment of error, Messina relies heavily upon Short v. Griffitts, 220 Va. 53,
2. Armstrong
In support of his first assignment of error, Armstrong argues that Johnson was a county employee rather than an employee of the Commonwealth as the trial court found, and hence, that he was not eligible to claim sovereign immunity. He relies upon a passing comment in James v. Jane,
Armstrong construes that comment and similar language in Short v. Griffitts, 220 Va. 53, 55,
Given our analysis of this appeal, it was unnecessary to attempt to turn Johnson into a quasi-state employee in order for him to be entitled to the protection of sovereign immunity. It would place an unnecessary strain on the English language and on the creative genius of attorneys to require transformation of an employee of a local immune body into a state employee in order to entitle him to immunity. The more workable rule is the one here announced: If an individual works for an immune governmental entity then, in a proper case, that individual will be eligible for the protection afforded by the doctrine.
In his second assignment of error, Armstrong contends that even if Johnson is a person who can secure, in a proper case, the benefits of sovereign immunity, that immunity should be withheld in the instant case because Johnson fails to meet the test set forth in James v. Jane. James involved suits against doctors at the University of Virginia Medical School. At trial, plaintiff alleged that he was injured as the result of negligent acts on the part of the doctors in performing a myelogram. All of the doctors were full-time faculty members of the University of Virginia Medical School. They were required to teach, to do research, and to take care of patients. They were all fully licensed physicians. They all рleaded sovereign immunity. The trial court held that they were immune. We reversed. In our view, the doctors were essentially independent contractors as far as their relationship with their pa
In James we developed a test to determine entitlement to immunity. Among thе factors to be considered are the following:
1. the nature of the function performed by the employee;
2. the extent of the state’s interest and involvement in the function;
3. the degree of control and direction exercised by the state over the employee; and
4. whether the act complained of involved the use of judgment and discretion.
Consequently, in Armstrong, in applying the James test, the first question is whether Johnson works for an immune body. Since Johnson works for Arlington County and since counties share the tort immunity of the Commonwealth, Mann v. County Board,
III. Conclusion
For all the foregoing reasons, we hold that there was no error in the judgments appealed from. Therefore, the judgments in both appeals will be affirmed.
Affirmed.
Notes
The facts concerning the nature of Burden’s work were contained primarily in the first аmended motion for judgment to which the trial court sustained a demurrer with leave to amend. Though the plea followed the second amended motion for judgment, it is obvious from the trial court’s final order that it relied upon both motions for judgment in determining Burden’s status. Messina interposed no objection to this procedure. Indeed in his brief he refers to both pleadings. Thus, the trial court did not err in considering allegations contained in the first amended motion for judgment.
Concurrence Opinion
concurring.
I concur in the result, and I have decided to join in the majority opinion in the hope that it will contribute to uniformity in the application of the law of sovereign immunity in this Commonwealth. I must add, however, that I have a somewhat different view of what the law ought to be.
The complexity the majority finds in the case law results mainly from historical confusion over the differences between the doctrine of sovereign immunity and the doctrine of public-servant immunity (sometimes imprecisely labeled “official immunity”). The confusion stems, I believe, from undue reliance upon the truism that government can act only through the acts of its employees.
The two doctrines are akin but different in concept and effect. Thе doctrine of sovereign immunity, rooted originálly in the tenuous theory that the King of England could do no wrong, finds its most legitimate justification in the right of government to protect its assets, owned in common by the people at large, and to promote the welfare and safety of the body politic by assuring orderly administration of governmental functions.
On the other hand, the primary purpose of the doctrine of public-servant immunity, while related to those underlying the doctrine of sovereign immunity, is to encourage citizens, including those of modest means, to enter government service and, once employed, to carry out their assigned missions responsibly without fear of personal liability for accidental injuries resulting from acts or omissions committed in the exercise of their discretionary powers. Public-servant immunity does not attach merely because the level of government for which the employee works enjoys sovereign immunity.
Having in mind the public-policy purposes of the doctrines of sovereign immunity and public-servant immunity, I favor the following rules:
(1) Absent express waiver, the Commonwealth, counties of the Commonwealth, cities chartered by the Commonwealth, and towns incorporated by the Commonwealth are immune from suit arising out of a tort committed in the discharge of a lawful public function.
(2) Departments, agencies, and other public bodies created by any level of government and authorized to exercise a lawful power of that government enjoy the same immunity.
(3) Chief executive officers and legislators at every level of government, and judicial officers, such as judges, magistrates, and commissioners in chancery, are immune from liability for damages arising out of unintentional torts committed within the scope of their employment.
(4) All other employees of every level of government or of a lawful creature of government are immune from liability from damages arising out of unintentional torts committed in the performance of a judgmental or discretionary duty within the scope of their employment, without regard to whether the misfeasance or nonfeasance is simple or gross.
I would not go so far. Doubtless, such a legislative package would simplify the body of the law for the benefit of legitimate claimants. But it would inevitably tend to curtail an employee’s incentive to perform his duties faithfully, invite frivolous and vexatious litigation, and disrupt the orderly administration of governmental functions, all at the expense of the people.
Dissenting Opinion
dissenting.
The majority opinion has attempted to lay down a rule of sovereign immunity which reconciles our prior decisions. In my view, the attempt fails because the decisions cannot be reconciled. The result is that the tent of sovereign immunity is now to be stretched to protect from liability far more negligent individuals than ever before.
In Kellam v. School Board,
Twice we have followed Crabbe and held that employees of exempt employers were liable for their own acts of negligence. James v. Jane,
The majority opinion in James repeated the language of Short that in our decisions “[w]e make a distinction between the Sovereign Commonwealth of Virginia and its employees, and a governmental agency, created by the Commоnwealth, and its employees.” I do not consider that the use of that language was casual or inadvertent.
In Banks v. Sellers,
In the present cases, the majority finds each defendant to be a supervisory employee exercising discretion in his work.
STEPHENSON, J., joins in this dissent.
I agree that the General Assembly has demonstrated an intent to retain sovereign immunity but I fail to perceive any legislative intent that such immunity be extended beyond any limits heretofоre established.
The majority contends that the trial court determined the nature of Burden’s work from the allegations of the first amended motion for judgment, to which a demurrer previously had been sustained. Because Messina did not object to this procedure, the court finds the action to be proper.
