Legal Document

416 U.S. 232 94 Supreme Court Reporter 1683 40 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 90 Sarah SCHEUER, Administratrix, etc., Petitioner,v.James RHODES et al. Arthur KRAUSE, Administrator of the Estate Allison Krause, al., Petitioners, versus James Nos. 72—914, 72—1318. Argued Dec. 4, 1973. Decided April 17, 1974. Syllabus personal representatives estates students who were killed on campus a state-controlled university, brought these damages actions under 42 Code KF62 § 1983 against Governor, Adjutant General Ohio National Guard, various other Guard officers and enlisted members, university president, charging that those officials, acting color state law, 'intentionally, recklessly, willfully wantonly' caused an unnecessary deployment ordered members to perform allegedly illegal acts resulting in students' deaths. The District dismissed complaints for lack jurisdiction without filing any answer evidence than Governor's proclamations brief affidavits his assistant, holding respondents being sued their official capacities therefore effect State barred by Eleventh Amendment. Appeals affirmed ground alternative common-law doctrine executive immunity was absolute action respondent officials. Held: 1. Amendment does not some circumstances bar charged with depriving person federal right acted prematurely hence erroneously dismissing as it did affording petitioners opportunity subsequent proof establish claims. Pp. 235—238. 2. branch government is but qualified varying degree, depending upon scope discretion responsibilities particular office existing at time challenged taken. 238—249. 471 Federal Reporter, 2nd 430, reversed remanded. Michael E. Geltner, New York City, Scheuer. Steven Atlantic Sindell, Cleveland, Ohio, Krause others. R. Brooke Alloway, Charles Brown, Columbus, respondents. Mr. Chief Justice BURGER delivered opinion Court. 1 We granted certiorari1 cases resolve whether correctly civil damage actions, 1983, were, matter Constitution and, alternatively, officials immune from liability alleged complaints. These arise out same period disorder Kent University during May 1970 which before us, another context, Gilligan Morgan, 413 1, 93 2440, 37 407 (1973). 2 In three died episode seek General, named unnamed president University. both allege cause Civil Rights Act 1871, 17 Statutes-at-Large 13, now 1983. Petitioner Scheuer also alleges law theory pendent jurisdiction. Petitioners Miller make similar claim, asserting basis diversity citizenship.2 3 over subject although form individuals, substance effect, thus Court, agreeing suit legal one are here. 430 (1972). confronted narrow threshold question properly hold dismissal inappropriate this stage litigation accordingly reverse judgments remand further proceedings. intimate no view merits allegations since there us stage. 4 * identical thrust essentially same. essence, defendants have manner, resulted death plaintiffs' decedents. Both taken 'under law' deprived decedents lives rights due process law. Fairly read, each defendants, undertaking such either outside respective or, if within scope, arbitrary grossly abusing lawful powers office. 5 only pertinent documentation3 court addition two issued Governor. first proclamation duty protect violence arising wildcat strikes trucking industry; recited account conditions prevailing time. want early stage, held, we noted earlier, representative Ohio. primary presented stated ground, precluding plaintiffs claim. 6 When reviews sufficiency complaint, reception affidavit or admissions, its task necessarily limited one. issue plaintiff will ultimately prevail claimant entitled offer support Indeed may appear face pleadings recovery very remote unlikely test. Moreover, well established that, passing motion dismiss, failure action, complaint should be construed favorably pleader. 7 'In appraising follow, course, accepted rule claim unless appears beyond doubt can prove set facts would entitle him relief.' Conley Gibson, 355 41, 45—46, 78 99, 102, 80 (1957) (footnote omitted). 8 See Gardner Toilet Goods Assn., 387 167, 172, 87 1526, 1529, 18 704 (1967). II 9 provides: 'The Judicial power shall extend equity, commenced prosecuted Citizens . ..' It bars suits when party fact. Edelman Jordan, 415 651, 1347, 39 662 (1974); Poindexter Greenhow, 114 270, 287, 903, 912, 29 L.Ed. 185 (1885); Cunningham Macon & Brunswick Co., 109 446, 292, 27 992 (1883). Its applicability 'is determined mere names titular parties essential nature proceeding, entire record.' Ex parte York, 256 490, 500, 41 588, 590, 65 1057 (1921). 10 However, Young, 209 123, 28 441, 52 714 (1908), has been settled provides shield he had Young teaches officer manner violative Constitution, 11 'comes into conflict superior authority case stripped character subjected consequences individual conduct. impart responsibility supreme States.' Id., 159—160, S.Ct., 454. (Emphasis supplied.) 12 like Sterling Constantin, 287 378, 53 190, 77 375 (1932), involved courts' injunctive power, not, here, monetary damages. While clear aid seeking public treasury, supra; Kennecott Copper Corporation Tax Comm'n, 327 573, 66 745, 862 (1946); Ford Motor company Dept. Treasury, 323 459, 347, 89 389 (1945); Great Northern Life Insurance Read, 322 47, 64 873, 88 1121 (1944), permissible remedy notwithstanding fact they Myers Anderson, 238 368, 35 932, 59 1349 (1915). generally Monroe Pape, 365 81 473, 492 (1961); Moor County Alameda, 411 693, 1785, 36 596 situations effective redress infringement constitutional relief might another. 13 Analyzing light precedents, see demonstrate impose what claim—but yet proof—was deprivation Whatever able allegations, claims, complaints, given favorable reading required Rules Procedure, Consequently, erred III 14 relied existence 'executive immunity' sustaining If member comprehensive all performed duty, correct; if, hand, rather limited, revealed evidence. concept springs root considerations generated sovereign immunity. latter doctrine—that 'King do wrong'—did liability, common soon recognized necessity permitting functions free threat liability.4 This apparently rested, genesis, mutually dependent rationales:5 (1) injustice, particularly absence bad faith, subjecting required, obligations position, exercise discretion; (2) danger deter willingness execute decisiveness judgment good. 15 country, development product provision legislative judicial processes. grants Members Houses Congress respect speech, debate, vote, report, done session. Article I, 6. Gravel States, 408 606, 92 2614, 33 583 (1972); Brewster, 501, 2531, 507 Kilbourn Thompson, 103 168, 26 377 (1881). intended secure Legislative Branch Government freedom encroachment secured England Bill 1689 carried original Colonies.6 Johnson, 383 169, 182, 86 749, 756, 681 (1966), Harlan noted: 16 'There little instigation criminal charges critical disfavored legislators forum chief fear prompting long struggle parliamentary privilege context American system separation powers, predominate Speech Debate Clause.' Immunity branches—long creature law—remained committed See, e.g., Spalding Vilas, 161 483, 498—499, 631, 637, 780 (1896). Although general immunity, mutations underlying rationale undergone application positions matters immediate concern important note, even outset, policy consideration seems pervade analysis: interest requires decisions enforce laws protection public. Jackson expressed proposition succinctly, stating 'it tort govern.' Dalehite 346 15, 57, 73 956, 979, 97 1427 (1953) (dissenting opinion). Public governors, mayors police, judges, fail needed act implement made fully faithfully duties offices.7 Implicit idea qualified—for acts, recognition err. assumes goes assume better risk error possible injury decide all. Barr Matteo, 360 564, 572—573, 79 1335, 1340, 1434 (1959), observed, somewhat parallel defamation actions: badge emolument exalted office, expression designed functioning government.' U.S., 637. 19 For present purposes need determine determined, governing specific State, senior subordinate personnel State's university. qualified, absolute, related affidavits, trial record. Final resolution must take government, neither inquiries write clean slate. hardly argued, late date, statute. supra, Douglas, writing held section meant 'to give rights, privileges immunities official's abuse position.' 476. Through statutes, provisions Fourteenth carry represent capacity, accordance misuse it.' 171—172, 20 Since statute included "(m)isuse possessed virtue because wrongdoer clothed law," id., 184, 482 (quoting Classic, 313 299, 326, 61 1031, 1043, 85 1368 (1941)), class, could totally exempt, terms. Indeed, indicated history indicates Soon after Warren Pierson Ray, 386 547, 1213, 288 (1967), 'legislative record (of 1983) gives indication abolish wholesale immunities,' 554, 1218. previously 1871 create 'in field where traditionally act.' Tenney Brandhove, 341 367, 379, 71 783, 789, 95 1019 (1951). Noting '(t)he arrest say proceedings taproots Parliamentary struggles Sixteenth Seventeenth Centuries,' 372, 786, concluded highly improbable 'Congress—itself staunch advocate freedom—would impinge tradition so grounded reason covert inclusion language .' 376, 788. 21 fashion, examined contained 'proof allegation,' 553, 1217, judge 'played role arrests convictions adjudge guilty came court,' ibid., 'immunity judges role,' 1218, specifically. A judge's 22 'errors corrected appeal, unsatisfied litigants hound malice corruption. Imposing burden contribute principled fearless decision-making intimidation.' Ibid. 23 available segment most frequently intimately day-to-day contacts citizenry hence, exposed rise claims local police officer. Warren, speaking 24 'did defend believed good faith ministers solely using ('white only') waiting room. Rather, claimed attempted (they arrested them) purpose preventing violence. They testified, contradiction ministers, crowd gathered imminent likely. jury testimony disbelieved found reasonably constitutional, then verdict follow though (without probable and) unconstitutional.' 557, 1219. 25 'common never unqualified immunity,' 555, 'the country (is that) peace someone liable false simply innocence suspect later proved,' ibid.; went observe 'policeman's lot unhappy choose between dereliction cause, mulcted does.' defense imprisonment, them 1983.' evaluates conduct relating guideline 'good cause.' higher branch, however, inquiry far more complex range choices—whether formulation policy, legislation, budgets, decisions—is virtually infinite. officers, broad often swiftly firmly deferred futile constitute virtual abdication Like rely traditional sources factual information act.8 condition exists, obvious prompt reliance supplied plainly contemplate use force arises, decision invoke military viewed suspicion skepticism involves temporary suspension our cherished elected civilian leaders, expression, assembly, association. Decisions likely atmosphere confusion, ambiguity, moving events when, degree disorder, consensus appropriate remedy. short, options principal subordinates consider broader subtle less responsibility, comparably broad. suit, articulated supra: 'To sure, occasions head department protected doubtless sweeping functions. But post, duties, wider discretion, entails. title sought respond entrusted—the relation complained 'matters control supervision,' 498, 637—which provide guide delineating clothes suits.' 573—574, 1340—1341. suggest variation appeared based. reasonable grounds belief formed circumstances, coupled good-faith belief, affords course Holmes spoke this, stating: 30 'No expert spot called justify court, sole command best knowledge. That position captain ship. great weight determination judged merely event.' Moyer Peabody, 212 78, 85, 235, 237, 410 (1909). (Citations omitted.) 31 Under criteria developed precedents drained meaning governor high quality unchangeable edict, overriding conflicting property unreviewable through 397, 195. Sterling, Hughes put terms: 32 'If extreme deemed taken, manifest fiat land; restrictions impotent phrases, futility disclose simple transferring legislation Governor exercised him, control, assertion necessity. conclusion obviously untenable. There avenue escape paramount Constitution. substantial showing exertion overridden private proceeding directed individuals transgression.' 397—398, means contrary result. specifically nor implied 'that always review accountability violations unlawful personnel, way 11—12, 2446 (Footnote Laird Tatum, 16, 2318, 2326—2327, 154 Duncan Kahanamoku, 304, 688 (1946). IV 34 cases, posture, occasion definitive exploration nor, record, permit foregoing principles answers filed copies Rhodes assistant. took notice 'mob existed University.' afforded contest assumed conclusion. courts finding dispositive judicially noticed. readily grant declaration emergency conclusive. supra. documents pleading placed Ohio; permitted holders proclaiming cope declared. Similarly, place directly lesser obedience orders superiors. Further proceedings, summary required. complaining heard dismiss complaint. evaluation whatever petitioners' proof. resolved. remanded consistent opinion. 38 ordered. DOUGLAS part cases. 919, 3056, 1040 states citizen Pennsylvania expressly invokes 1332. York. refer 1332, clearly App. Number 72—1318, Page 85. Fed.Rule Civ.Proc. 8(a)(1). case, assistant affidavits. seem basically change venue event, contribution jurisdictional questions. struggle, 1689: 'That Freedom Speech, Debates Proceedings Parliament, ought impeached questioned Place Parliament,' W. M., Sess. 2, chapter Stockdale Hansard, Ad. 113—114, 112 Eng.Rep. 1112, 1155—1156 (Q.B.1839). English experience, guided drafters 'Speech Debate' Clause. 372—375, 786—788, (1951); 177—178, 181, 753—754, 755 (1966); regard Holdsworth notes: certainly Edward III's reign, litigant go behind order civilly criminally jurisdiction.' Holdsworth, History Law 235 (1927). modern owes much elaboration restatement Coke sixteenth seventeenth centuries. 234 seq. Floyd Barker, Co.Rep. 23, 1305 (K.B.1607). Crown nature. Officers insulated King own. insulation gradually eroded. Statute Westminster Edw. (1275) (repealed); II, (1285) (repealed). especially times Tudors Stuarts, slow; see, Protection Act, Jac. (1609) With accession William Mary, saw Jaffe termed 'a remarkable significant extension' Ashby White, Bro.P.C. 62, 417 (H.L.1704), reversing Mod. 45, 808 (Q.B.1703). Jaffe, Suits Against Governments Officers: Sovereign Immunity, Harv.L.Rev. (1963); Dicey, 193—194 (10th ed. 1959) (footnotes Gatteo, (1959). Good-faith performance discretionary remained, seems, defense. Damage Actions, 209, 216 (1963). 493, 635, Harv.L.Rev., 223. Frankfurter 373, 786: reflection political already States. Three Constitutions adopted privilege.' Coffin Coffin, Mass. (1808). 202, example, emphasized 'are God King' 'would tend scandal subversion justice. And sincere, continual calumniations Co.Rep., 25, Eng.Rep., 1307. Yaselli Goff, 396, 399 (CA2 1926), aff'd per curiam, 275 503, 48 155, 72 395 exercising Executive Department, keeping limits authority, apprehension motives may, time, become seriously cripple proper administration affairs entrusted restraint.' discussing cf. Randall Brigham, Wall. 523, 535, 285 (1869), Bradley Fisher, 335, 646 (1872), Yates Lansing, Johns, 282 (N.Y.1810), similarity controlling high-echelon judges: 'We convenience demand functions, apply large extent communications heads Departments engaged discharge imposed interests people require accorded acts.'

Classification Label: 7