Norwood v. Slammons

• Citation: 788 F. Supp. 1020
• Decision Date: 08 May 1991
• Docket Number: Civ. No. 91-5049.
• Parties: Cathy NORWOOD, Plaintiff, v. Lawrence SLAMMONS, et al., Defendants.
• Court: U.S. District Court — Western District of Arkansas

788 F. Supp. 1020

Cathy NORWOOD, Plaintiff, v. Lawrence SLAMMONS, et al., Defendants.

Civ. No. 91-5049.

United States District Court, W.D. Arkansas, Fayetteville Division.

May 8, 1991.

COPYRIGHT MATERIAL OMITTED

N. Doug Norwood, Rogers, Ark., for plaintiff.

MEMORANDUM OPINION

H. FRANKLIN WATERS, Chief Judge.

I. Introduction

Plaintiff, the wife of the attorney who signed the complaint, initiated this action on April 24, 1991, naming the following individuals as defendants: Lawrence Slammons, Director of Public Safety of the University of Arkansas; Don Schumacher, Judicial Affairs Coordinator; Dan Ferritor, Chancellor of the University of Arkansas at Fayetteville; B. Alan Sugg, President of the University of Arkansas system; and the following members of the Board of Trustees of the University of Arkansas system—James Blair, Carl Willock, M.A. Jackson, W. Sykes Harris, Frank Kumparis, Sandra Ledbetter, H.L. Hembree, III, B.R. Lindsey, L.L. Epley, Jr., and F.W. Oldham, Jr. All defendants are named individually and in their official capacities.

Plaintiff alleges that she has been accepted for admission at the University of Arkansas School of Law, Fayetteville, Arkansas, for the fall semester of 1991. In count one of the complaint plaintiff alleges that the defendants have violated and continue to violate the provisions of 20 U.S.C. § 1232g (1990) et seq., in refusing to release certain requested records. The requested records are certain documents related to the investigation of criminal and non-criminal activity committed by or against students and/or employees of the University of Arkansas, including records of the All University Judicial Board. The records specifically requested are in respect to a highly publicized incident involving Arkansas Razorback basketball players and a 34-year-old Springdale woman and include an audio tape of a hearing in which Razorback basketball team members, Todd Day, Elmer Martin, Roosevelt Wallace, and Darrell Hawkins were disciplined by the University for various alleged violations of University rules and/or policy relating to a February 27, 1991, incident in an athletic dormitory involving admitted sexual activity on the part of various males and the woman. Plaintiff alleges that after the hearing in question, Day, Martin, Wallace, and Hawkins signed waivers of their rights under the Family Educational and Rights of Privacy Act (20 U.S.C. § 1232g et seq.) (hereafter "FERPA"), thereby allowing defendant, Sugg, to discuss their punishment with the press and media. Plaintiff alleges that, therefore, the records of the "J Board" hearing are now "public records" under the Arkansas Freedom of Information Act of 1967, as amended, Ark.Code Ann. § 25-19-101 (1987) et seq. In count one plaintiff requests that this court declare that Arkansas' freedom of information (FOI) law governs the release of the records and mandates that the defendants release and disclose the same upon request.

In count two, plaintiff alleges that the defendants' refusal to release the records violates plaintiff's rights under the First, Fifth and Fourteenth Amendments "in that they hinder (plaintiff's) access to information as a citizen and as a future law student." Plaintiff further asserts that defendants' actions violate her rights under FERPA and her rights under the equal protection clause of the Fourteenth Amendment. Plaintiff requests declaratory and monetary relief, as well as attorney's fees.

In count three plaintiff sets forth a claim under the Arkansas FOI laws and prays for declaratory relief and attorney's fees.

In count four, plaintiff seeks injunctive relief directing the defendants to comply with the Arkansas FOI laws. Plaintiff asserts that she has been harmed by her inability to acquire information concerning campus crime and that she has thus been denied equal protection of the laws and equal police protection.

Because counts one and three set forth only claims arising under state law, federal jurisdiction of this cause must exist, if at all, by virtue of the claims set forth in counts two and four. Inasmuch as none of the parties contend that diversity jurisdiction is present under 28 U.S.C. § 1332, only if jurisdiction of these counts exists under 28 U.S.C. §§ 1331 or 1343 may any of plaintiff's claims be addressed by this court.

Because the true jurisdictional basis of plaintiff's complaint is not readily apparent, the court requested, by letter dated April 25, 1991, that plaintiff's attorney brief the issue of federal court jurisdiction by the close of business on May 3, 1991, and notified the defendants that they could, if they chose, do likewise. The briefs have been received and reviewed by this court.

As the court advised the parties, the court requested briefs on this issue because a federal trial or appellate court has the obligation and indeed the duty to carefully consider, even sua sponte, whether the pleadings filed justify the exercise of federal jurisdiction over the cause submitted. If the court determines, at any time or at any stage of the proceedings, that federal jurisdiction is lacking, the court is obligated to remand to state court actions improperly removed to federal court or to dismiss actions improperly filed in federal court originally. See Florida Power & Light Co. v. Lorion, 470 U.S. 729, 105 S.Ct. 1598, 84 L.Ed.2d 643 (1985) (circuit courts on appeal may decide sua sponte the presence of federal jurisdiction). See also Fort v. Ralston Purina Co., 452 F.Supp. 241 (E.D.Tenn.1978); Van Horn v. Western Electric Co., 424 F.Supp. 920 (E.D.Mich.1977); Fischer v. Holiday Inn of Rhinelander, Inc., 375 F.Supp. 1351 (W.D.Wis.1973); Sexton v. Allday, 221 F.Supp. 169 (E.D.Ark.1963).

The reason for the rule is obvious. If a federal court were to devote its time and resources to a cause over which it lacked jurisdiction all actions taken by the court would be futile, void ab initio, and a complete nullity. Not only does this waste the resources of the federal judiciary, but also renders nugatory all efforts, time, and money expended by the litigants and their attorneys. Any party may contest federal jurisdiction at any time, even the party invoking the court's power in the first instance and even after judgment is rendered against that party. See American Fire & Casualty Co. v. Finn, 341 U.S. 6, 71 S.Ct. 534, 95 L.Ed. 702 (1951). Even a non-party witness can challenge the court's lack of federal jurisdiction in response to orders of a federal court. See United States Catholic Conference v. Abortion Rights Mobilization, Inc., 487 U.S. 72, 108 S.Ct. 2268, 101 L.Ed.2d 69 (1988).

What this means to a layman is that the plaintiff, Cathy Norwood, could conceivably file an action in this court, litigate the issues raised at great expense of time and money for all of the parties, perhaps lose, and then argue that this court lacked jurisdiction of the subject matter in the first place, thereby enabling her to file the identical case in state court and relitigate the entire case all over again. Or, conversely, plaintiff could prevail in this case and defendants could then argue that this court lacked jurisdiction initially, forcing the plaintiff to relitigate the whole case anew in state court. Obviously, in order to avoid such an enormous waste of judicial, legal, and financial resources, this court must assure itself that federal jurisdiction is present before it proceeds with this matter any further. Otherwise this court would potentially be wasting the time of the litigants and the lawyers, as well as the public's money.

II. Discussion

Plaintiff alleges that the jurisdiction of this court is invoked pursuant to 28 U.S.C. § 1331 "in that Count(s) 2 and 4 are filed under 42 U.S.C. § 1983, and count 1 seeks a declaratory judgment on a federal statute." Initially, the court would point out that the jurisdictional statute for actions alleging violations of 42 U.S.C. § 1983 is 28 U.S.C. § 1343 rather than § 1331, which is the general federal question jurisdictional statute. The court will first examine the adequacy of the jurisdictional bases of count one under § 1331.

(a) Count One

The pertinent allegations of count one are that the University of Arkansas and its officials are subject to the provisions of Arkansas' FOI laws; that Day, Martin, Wallace, and Hawkins waived their rights under FERPA; that the records sought by plaintiff are "public records" under the Arkansas FOI laws; that the defendants have based their refusal to release the records on the provisions of the federal FERPA statutory scheme; that the defendants violated the Arkansas FOI laws; and that FERPA does not authorize defendants' refusal to comply with the FOI act.

These allegations implicate what has become known as the "well-pleaded complaint" rule. See 13B C. Wright, A. Miller and E. Cooper, Federal Practice and Procedure, § 3566, pp. 82-106. This rule requires that the "federal question" must appear on the face of the complaint. See, for historical perspective, Gold-Washing & Water Co. v. Keyes, 96 U.S. 199, 24 L.Ed. 656 (1878). As Messrs. Wright, Miller and Cooper explain, there are three implications to the rule:

First, it bars invoking jurisdiction on the basis of an answer raising a federal defense. ...

Second, the well-pleaded complaint rule bars plaintiff from invoking original federal jurisdiction by anticipating in the complaint a defense that the defendant will raise....

* * * * * *

The final aspect of the ... rule is that plaintiff cannot win admission to federal court by allegations to support his own case that are not required by nice pleading rules.

Wright, Miller & Cooper, id. at pp. 83-87.

Application of the well-pleaded complaint rule shows clearly that count one of plaintiff's complaint does not "arise under" federal law. Plaintiff seeks to have the records released under Arkansas' FOI act. Plaintiff "anticipates" that defendants will raise the provisions of FERPA as a...