Hamblen v. Ky. Cabinet For Health

• Decision Date: 17 September 2010
• Docket Number: No. 2009-CA-000369-MR.,2009-CA-000369-MR.
• Citation: 322 S.W.3d 511
• Parties: Rocky HAMBLEN, by and through Guardian, Yulonger BYARS, Appellant, v. KENTUCKY CABINET FOR HEALTH AND FAMILY SERVICES; Kentucky Department for Mental Health and Mental Retardation Services; Central State Hospital ICF/MR; John L. Kiesel, M.D.; and T. Richelle Jones, Appellees.
• Court: Kentucky Court of Appeals

322 S.W.3d 511

Rocky HAMBLEN, by and through Guardian, Yulonger BYARS, Appellant,

v.KENTUCKY CABINET FOR HEALTH AND FAMILY SERVICES; Kentucky Department for Mental Health and Mental Retardation Services; Central State Hospital ICF/MR; John L. Kiesel, M.D.; and T. Richelle Jones, Appellees.

No. 2009-CA-000369-MR.

Court of Appeals of Kentucky.

Sept. 17, 2010.

COPYRIGHT MATERIAL OMITTED.

Oliver H. Barber, Jr., Louisville, KY, for appellant.

D. Brent Irvin, Frankfort, KY, for appellees, Kentucky Cabinet for Health and Family Services; Kentucky Department for Mental Health and Mental Retardation Services; Central State Hospital ICF/MR; and T. Richelle Jones.

W. Gregory King, Seth A. Gladstein, Louisville, KY, for appellee, John L. Kiesel, M.D.

Before TAYLOR, Chief Judge; COMBS, Judge; HENRY, ¹ Senior Judge.

OPINION

TAYLOR, Chief Judge:

Rocky Hamblen, by and through his Guardian, Yulonger Byars, brings this appeal from a November 12, 2008, summary judgment of the Jefferson Circuit Court dismissing the complaint in its entirety.

We affirm in part, vacate in part, and remand.

Rocky Hamblen suffers from profound mental retardation and has been a resident of Central State Hospital ICF/MR since 1977. While Hamblen is approximately 61 years old, he has an “adaptive age equivalent of one year and three months” and requires full-time assistance to meet his daily living needs. Complaint at 2. Hamblen also has been diagnosed with the following physical ailments: mild dsyphagia, retinitis pigmentosa, hypothyroidism, osteopenia, chronic hyponatremia, chronic constipation, hepatitis B antigen positive, tardive dyskinesia, and Kienboch's disease (avascular necrosis lunate).

Hamblen, through his guardian, Yulonger Byars, (referred to as appellant) filed a complaint against Kentucky Cabinet for Health and Family Services (Cabinet), Kentucky Department for Mental Health and Mental Retardation Services (Department), Central State Hospital ICF/MR (Central State), John L. Kiesel, M.D., and T. Richelle Jones (collectively referred to as “appellees”). The complaint was filed “to redress injuries sustained by ... Hamblen, during the term of his care, custody and control while a resident at Central State ... and to compel [appellees] to provide proper and appropriate treatment to ... Hamblen.” Complaint at 2. Appellant alleged that Hamblen was subjected to physical abuse, verbal abuse, and neglect by Central State staff. The abuse and neglect resulted in eye bruises, ear bruises, face fractures, head injuries, and lacerations. Appellant claimed that appellees violated sundry duties under Kentucky Revised Statutes (KRS) 202A.191, KRS 202B.050, KRS 202B.060 and 908 Kentucky Administrative Regulations (KAR) 3:010. Appellant sought both monetary damages and prospective injunctive relief.

Appellees answered and subsequently filed a notice of removal to the United States District Court. In support thereof, appellees argued that appellant raised claims for relief under 42 U.S.C. § 1983. The action was removed to the United States District Court. Appellant then filed a motion to remand the action to Jefferson Circuit Court. In the motion, appellant argued that he only raised state law claims and did not raise any claims under 42 U.S.C. § 1983. The United States District Court ordered the action remanded to the Jefferson Circuit Court and concluded that “no claims for relief under [42 U.S.C.] Section 1983 were set out by” appellant.

After remand to the circuit court, appellees filed a motion for summary judgment. In the motion, appellees argued they were immune from suit under both sovereign immunity and governmental immunity. By summary judgment, the circuit court dismissed appellant's complaint in its entirety upon the basis of governmental immunity. This appeal follows.

Appellant contends that the circuit court erred by rendering summary judgment in favor of appellees and dismissing his complaint upon the basis of governmental immunity. Summary judgment is proper where there exists no material issue of fact and movant is entitled to judgment as a matter of law. Kentucky Rules of Civil Procedure 56; Steelvest, Inc. v. Scansteel Service Center, Inc., 807 S.W.2d 476 (Ky.1991). In rendering summary judgment, the circuit court concluded that appellant's claims for monetary damages and for prospective injunctive relief were barred by the doctrine of governmental immunity and specifically held:

Hamblen's Complaint seeks a judgment against the Defendants, an order compelling the Defendants to perform their respective duties according to the applicable statutes and regulations, compensatory

damages for physical and emotion[al] damages sustained by Hamblen and Byars,....

There is no doubt that the state agencies are entitled to governmental immunity. Yanero v. Davis, 65 S.W.3d 510, 519 (Ky.2001). Therefore, Hamblen's [sic] and Byars's [sic] claims for compensatory damages against them must fail. Hamblen's Complaint names the two remaining Defendants, Dr. Kiesel and Jones in their official capacities as medical director and director, respectively. When an officer or employee is sued in his/her representative capacity, such as here, the officer's or employee's actions are entitled to the same immunity as the agency is entitled. Id. at 522. Thus, Dr. Kiesel and Jones enjoy the same protection of governmental immunity as their agency employers. Hamblen's [sic] and Byars's [sic] claims for compensatory damages against them must fail.

The same is true of Hamblen's [sic] and Byars's [sic] claims for prospective injunctive relief. The doctrine of sovereign immunity precludes maintaining any suit against the state without the state's express consent or express waiver of that immunity. Yanero v. Davis, 65 S.W.3d 510 (Ky.2001). The Commonwealth has not waived its immunity in this instance. The claims for prospective injunctive relief must fail.

Resolution of this appeal is not dependent upon disputed factual issues but rather centers upon a question of law-whether the circuit court erred by determining that appellant's claims for monetary damages and for prospective injunctive relief were barred by governmental immunity. To answer this question, we examine the law of immunity as it pertains to appellant's claims.

In this Commonwealth, our Supreme Court has recognized that governmental immunity shields a state agency from civil liability when performing a governmental function. Yanero v. Davis, 65 S.W.3d 510 (Ky.2001); Autry v. W. Ky. Univ., 219 S.W.3d 713 (Ky.2007). This governmental immunity generally operates as a complete bar to claims for both monetary damages and injunctive relief.

Appellant claims entitlement to both monetary damages and prospective injunctive relief based upon appellees' violation of sundry state laws (KRS 202A.191, KRS 202B.050, KRS 202B.060, and 908 KAR 3:010). Appellees are divided into two categories-state agencies and individuals sued in their official capacities. ² As state agencies or officials sued in their official capacities, each would be entitled to governmental immunity if performing a governmental function as opposed to a proprietary function. ³ Yanero, 65 S.W.3d 510. A governmental function is generally a function that is integral to state government. Bd. of Trs. of Ky. Ret. Sys. v. Com., Bd. of Claims, 251 S.W.3d 334 (Ky.App.2008). Thus, appellees would be clothed with governmental immunity if performing a governmental as opposed to a proprietary function.

From the record, it is apparent that appellees were performing the functions of administering programs for individuals with mental illnesses and providing services for the treatment of mentally impaired individuals. KRS 12.020; KRS 194A.010; KRS 194A.030. These functions were undoubtedly vital functions carried out under the direct auspices of state government and were functions integral to state government. Indeed, the Department, the Cabinet, and Central State are funded by the state. See Autry v. W. Ky. Univ., 219 S.W.3d 713 (Ky.2007). As appellees were clearly performing governmental functions, we, thus, conclude that appellees are entitled to assert the defense of governmental immunity. Appellant, however, maintains that an exception to the defense of immunity permits his claim for prospective injunctive relief against appellees to proceed and cites to the Ex parte Young exception.

The Ex parte Young exception is a limited exception to the immunity defense. This exception was first expressed over a century ago in the United States Supreme Court case of Ex parte Young, 209 U.S. 123, 28 S.Ct. 441, 52 L.Ed. 714 (1908), and has since enjoyed wide-spread contemporary acceptance. ⁴ The Kentucky Supreme Court has also approvingly recognized the Ex parte Young exception. See Bd. of Trs. of the Univ. of Ky. v. Hayse, 782 S.W.2d 609 (Ky.1989) ( overruled on other grounds by Yanero v. Davis, 65 S.W.3d 510 (Ky.2001)).

Under the Ex parte Young exception to immunity, a court may grant prospective injunctive relief against a state officer to compel compliance with federal law. Frew ex rel. Frew v. Hawkins, 540 U.S. 431, 124 S.Ct. 899, 157 L.Ed.2d 855 (2004). It is said that immunity does not bar such an action because a state officer could not be given authority to violate federal law so that the suit is not against the state authority itself. Ex parte Young, 209 U.S. 123, 28 S.Ct. 441; Am. Bank and Trust Co. of Opelousas v. Dent, 982 F.2d 917 (5th Cir.1993). The Ex parte Young exception is recognized as a necessary legal fiction utilized to maintain the supremacy of federal law. ⁵ Pennhurst State School & Hosp. v. Halderman, 465 U.S. 89, 104 S.Ct. 900, 79 L.Ed.2d 67 (1984); Idaho v. Coeur d'Alene Tribe of Idaho, 521 U.S. 261, 117 S.Ct. 2028, 138 L.Ed.2d 438 (1997); Cent. Va. Cmty. Coll. v. Katz, 546 U.S. 356, 126 S.Ct. 990, 163 L.Ed.2d 945 (2006).

To trigger the Ex parte Young exception, a party must name a state officer and must seek prospective...