Powers v. Csx Transp., Inc.

• Decision Date: 05 July 2000
• Docket Number: No. CIV.A.99-0326-RV-S.,CIV.A.99-0326-RV-S.
• Citation: 105 F.Supp.2d 1295
• Parties: Oreatha POWERS, etc., Plaintiff, v. CSX TRANSPORTATION, INC., et al., Defendants.
• Court: U.S. District Court — Southern District of Alabama

105 F.Supp.2d 1295

Oreatha POWERS, etc., Plaintiff, v. CSX TRANSPORTATION, INC., et al., Defendants.

No. CIV.A.99-0326-RV-S.

United States District Court, S.D. Alabama, Southern Division.

July 5, 2000.

COPYRIGHT MATERIAL OMITTED

Charles R. Godwin, Atmore, AL, for Plaintiff.

Brian McCarthy, Mobile, AL, for Defendants.

ORDER ON MOTION TO DISMISS

VOLLMER, District Judge.

This matter is before the Court on a Motion to Dismiss filed by defendants Alabama Department of Transportation ("ADOT") and Dykes T. Rushing ("Rushing"). (Doc. 8) The movants have filed a memorandum brief in support of their motion, (Doc. 9), and the plaintiff has filed a principal brief and supplemental brief in opposition. (Docs.13, 15) For the reasons set forth below, the movants' motion to dismiss is granted in part and denied in part.

Terrence Terrell Rogers died early on November 13, 1997, several hours after the vehicle he was driving was struck by a train owned and operated by defendant CSX Transportation, Inc. ("CSX"). Rogers was struck as he attempted to traverse the CSX track at the Martin Luther King, Jr. crossing in Atmore, Alabama.

The plaintiff's original and first amended complaints alleged only state law causes of action against CSX, G.A. Owens and C.M. Cooper (collectively, "the CSX defendants") and the City of Atmore ("the City"). On March 9, 1999, the plaintiff filed a second amended complaint adding ADOT and Rushing as defendants and asserting federal causes of action for the first time. The defendants timely removed to federal court.

The movants are not named as defendants under Counts One and Two of the second amended complaint, which allege negligence and wantonness against the other defendants. The movants, as well as all other defendants, are sued under Counts Three through Eight, which allege as follows:

• Count Three: deprivation of substantive due process, redressed pursuant to 42 U.S.C. § 1983 ("Section 1983");

• Count Four: deprivation of equal protection of the laws, redressed pursuant to Section 1983;

• Count Five: violation of Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d ("Title VI");

• Count Six: violation of the Thirteenth Amendment;

• Count Seven: violation of 42 U.S.C. § 1982 ("Section 1982");

• Count Eight: violation of 42 U.S.C. § 1985 ("Section 1985").

(Doc. 40 at 20-32) Rushing is sued under each count in both his official and individual capacities.

In general, the plaintiff alleges that the defendants, utilizing federal funds, were involved in the installation of automatic gates with flashing lights at grade crossings within the City that predominantly serve white residents while failing to see that similar devices were installed at the Martin Luther King, Jr. crossing, which predominantly serves black residents.

LEGAL DISCUSSION

"A court may dismiss a complaint only if it is clear that no relief could be granted under any set of facts that could be proved consistent with the allegations." Hishon v. King & Spalding, 467 U.S. 69, 73, 104 S.Ct. 2229, 81 L.Ed.2d 59 (1984)(citing Conley v. Gibson, 355 U.S. 41, 45-46, 78 S.Ct. 99, 2 L.Ed.2d 80 (1957)).

A. Claims Against ADOT.

1. Section 1983.

The plaintiff attempts to vindicate Rogers' due process and equal protection rights through the vehicle of Section 1983. ADOT argues that a state is not a "person" that may be sued under Section 1983. Similarly, ADOT argues that it is protected by sovereign immunity under the Eleventh Amendment and that its sovereign immunity has not been abrogated by Congress or waived by the state. (Doc. 8 at 13; Doc. 9 at 2-3) The plaintiff offers no argument to the contrary.

"We hold that neither a State nor its officials acting in their official capacities are `persons' under § 1983." Will v. Michigan Department of State Police, 491 U.S. 58, 71, 109 S.Ct. 2304, 105 L.Ed.2d 45 (1989). "[O]ur holding here ... applies only to States or governmental entities that are considered `arms of the State' for Eleventh Amendment purposes." Id. at 70, 109 S.Ct. 2304.

Similarly, Congress did not abrogate the states' sovereign immunity by enacting Section 1983. Quern v. Jordan, 440 U.S. 332, 340-45, 99 S.Ct. 1139, 59 L.Ed.2d 358 (1979); Edelman v. Jordan, 415 U.S. 651, 94 S.Ct. 1347, 39 L.Ed.2d 662 (1974); accord Robinson v. Georgia Department of Transportation, 966 F.2d 637, 640 (11th Cir.), cert. denied, 506 U.S. 1022, 113 S.Ct. 660, 121 L.Ed.2d 586 (1992).

Thus, ADOT is entitled to summary judgment on the plaintiff's Section 1983 claims if it is an "arm of the state." The Eleventh Circuit recently held that claims against the director of ADOT in his official capacity "are, in effect, claims against the State of Alabama" such that the Eleventh Amendment barred the suit. Harbert International, Inc. v. James, 157 F.3d 1271, 1278 (11th Cir.1998); see also Taylor v. State, 95 F.Supp.2d 1297, 1310 (M.D.Ala. 2000) (extending Eleventh Amendment immunity to ADOT); Wright v. Butts, 953 F.Supp. 1352, 1358 (M.D.Ala.1996)(same). Cf. Robinson v. Georgia Department of Transportation, 966 F.2d at 640 (Georgia DOT is an arm of the state for purposes of the Eleventh Amendment).

Because neither Harbert, Taylor nor Wright applied the Eleventh Circuit's factor analysis for assessing "arm-of-the-state" status, the Court does so below. The Court proceeds without the benefit of briefing from either the plaintiff or ADOT¹ and does so only to the extent necessary to satisfy itself that Harbert, Taylor and Wright reached an appropriate conclusion.

"Whether [ADOT] is an arm of the state protected by the Eleventh Amendment `turns on its function and character as determined by state law.' ... Factors that bear on this determination include the definition of `state' and `political subdivision,' the state's degree of control over the entity, and the fiscal autonomy of the entity." Fouche v. Jekyll Island—State Park Authority, 713 F.2d 1518, 1520 (11th Cir.1983)(quoting Sessions v. Rusk State Hospital, 648 F.2d 1066, 1069 (5th Cir. 1981)). A fourth factor, sometimes subsumed within the "fiscal autonomy" factor, is "who is responsible for judgments against the entity." Tuveson v. Florida Governor's Council on Indian Affairs, Inc., 734 F.2d 730, 732 (11th Cir.1984).

a. "State" versus "political subdivision." The Court first determines whether state law defines these terms and, if so, in which category the entity fits. Robinson, 966 F.2d at 639. Absent such a definition, legislative or judicial descriptions of the entity as a "state agency" indicate the entity is not a political subdivision of the state. Id.; Tuveson, 734 F.2d at 733; United Carolina Bank v. Board of Regents, 665 F.2d 553, 557 (5th Cir.1982)(former Fifth Circuit case). The state's extension of state-law sovereign immunity to the entity is also significant. Id. at 558.

The Court is aware of no definition of the term "State" in the Alabama Constitution or elsewhere that expressly includes ADOT or its predecessor, the State Highway Department. However, the Alabama Supreme Court has held that ADOT "is clearly a state agency." Ex parte Alabama Department of Transportation, 2000 WL 218295 at 4 (Ala. Feb.25, 2000). Furthermore the Alabama Constitution provides that "the State of Alabama shall never be made a defendant in any court of law or equity," Ala. Const. Art. I, § 14, and the Alabama Supreme Court has held that ADOT partakes of the state's sovereign immunity. Ex parte Alabama Department of Transportation, 2000 WL 218295 at 4.² b. State's degree of control. Relevant considerations include such things as the selection and status of directors and employees, reporting requirements, and controls on contracts and land usage.

Gubernatorial appointment of high officials indicates state control. Harden v. Adams, 760 F.2d 1158, 1163 (11th Cir.), cert. denied, 474 U.S. 1007, 106 S.Ct. 530, 88 L.Ed.2d 462 (1985); Fouche, 713 F.2d at 1520; United Carolina Bank, 665 F.2d at 557-58. The chief executive officer of ADOT is the director, who is appointed by, and who serves at the pleasure of, the governor. Ala.Code § 23-1-21. ADOT's chief engineer is appointed by the director but is subject to approval by the governor and the State Board of Registration for Engineers and Land Surveyors. Id. § 23-1-22. ADOT's chief counsel and assistant counsel are appointed by the director but are subject to approval by the state attorney general. Id. §§ 23-1-25, -26.

Placing the entity's employees within the state employee retirement system indicates state control. Fouche, 713 F.2d at 1520. ADOT employees, including counsel, fall within the state merit system. Ala.Code §§ 23-1-26, -28, -33, -36.

The existence of reporting requirements to the state indicates state control. Harden, 760 F.2d at 1163 (annual report to the legislature). ADOT is required to submit an annual report to the governor. Ala. Code § 23-1-35.

That contracts are deemed to be with the state indicates state control, as does a requirement of state authorization. Fouche, 713 F.2d at 1521. All contracts for road or bridge construction, repair or maintenance "shall be made in the name of the State of Alabama." Ala.Code § 23-1-54.³ The governor must approve all such contracts. Id. §§ 23-1-54, -55.

That real property is owned by the state or held for its use indicates state control. United Carolina Bank, 665 F.2d at 558. ADOT's listed powers do not include the power to hold, acquire or dispose of realty. Ala.Code § 23-1-40. Although ADOT possesses the power of eminent domain, id. § 23-1-45, the state is the party plaintiff in condemnation proceedings. See id. § 23-1-30(4); State v. Gray, 723 So.2d 1275 (Ala.Civ.App.1998).

c. Fiscal autonomy. Whether the entity's budget is submitted to the state for approval, and whether and to what extent the entity can raise funds on its own, are key considerations. Robinson, 966 F.2d at 640; Harden, 760 F.2d at 1164; Fouche, 713 F.2d at 1520; United Carolina Bank, 665 F.2d at 558.

The Court...