Junior Ray Duckworth, Cross-Appellants v. Gayle Franzen, Cross-Appellees

780 F.2d 645
CourtCourt of Appeals for the Seventh Circuit
DecidedFebruary 5, 1986
Docket85-1010, 85-1053, 85-1084 and 85-1095
StatusPublished
Cited by468 cases

This text of 780 F.2d 645 (Junior Ray Duckworth, Cross-Appellants v. Gayle Franzen, Cross-Appellees) is published on Counsel Stack Legal Research, covering Court of Appeals for the Seventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Junior Ray Duckworth, Cross-Appellants v. Gayle Franzen, Cross-Appellees, 780 F.2d 645 (7th Cir. 1986).

Opinion

POSNER, Circuit Judge.

In November 1979 a bus used to transport prisoners between Illinois prisons caught fire from unknown causes. When the fire broke out, the 35 prisoners in the bus were in handcuffs, with all the prisoners on each side of the aisle being joined together by a chain running through the handcuffs. For reasons of security all exits but the front door of the bus had been sealed and there was a metal screen (like a mesh fence), probably locked (but the record is not clear on this), between the passenger .area and the front door. When the bus filled with dense smoke each group of prisoners tried to rise and make its way to the front exit, but only one prisoner (who had managed to slip out of his handcuffs) succeeded in getting out, and a guard thrust him back into the bus. Eventually guards equipped with gas masks cut through the chains and brought the prisoners out. One prisoner died from the ordeal. Others suffered serious, and in at least one case permanent, lung injury. Twenty-one of the injured prisoners brought suit against three prison officials and three guards under section 1 of the Civil Rights Act of 1871 (now 42 U.S.C. § 1983), charging that by failing to take effective precautions against the consequences of a fire on the bus the defendants had visited cruel and unusual punishment on the plaintiffs in violation of the Eighth Amendment, which has been held applicable to the states under the due process clause of the Fourteenth Amendment. The complaint included a pendent claim against these six defendants for negligence and a diversity claim based on products liability against a seventh defendant, the manufacturer of the bus.

The district judge severed the claim against the bus company, and it remains in the district court, awaiting trial. He dismissed the pendent claim. The civil rights claim was tried to a jury, which awarded damages totaling $561,000 (including punitive damages) against three of the defendants — Franzen, the head of the Illinois prison system at the time of the fire; Wolff, the then warden of Joliet prison, the distribution point for prisoners entering the Illinois prison system and the place where the bus was kept; and Hert, the then director of security at Joliet — but exonerated the three guards who had been in charge of the *649 bus when the fire occurred. Although the judgment is not final in the sense of winding up the entire litigation — for the plaintiffs’ claim against the bus company has yet to be tried — the judge quite properly has certified the judgment for an immediate appeal under Rule 54(b) of the Federal Rules of Civil Procedure. It disposes, with finality in the district court, of the claims against the other defendants, and they should not have to wait until the case against the bus company is concluded to get a definitive determination of their liability.

The three defendants who were found liable argue mainly that the plaintiffs’ suit is barred by the Eleventh Amendment and that in any event no reasonable jury could have found them guilty of inflicting cruel and unusual punishment. The plaintiffs, cross-appealing from the dismissal of the pendent claim, argue that the district judge was wrong to think it barred by the Eleventh Amendment, especially when the judge thought the Eleventh Amendment no bar to the civil rights claim. Several of the plaintiffs also challenge the jury’s award of damages to them, as too low.

The defendants say they were sued in their official capacities, making this a suit against the state. If you believe that a state officer has violated your constitutional rights, you have a choice between suing the officer personally and suing the state. If you go the former route you don’t have to worry about the Eleventh Amendment but do have to worry about various personal defenses, such as good-faith immunity; if you go the latter route you don’t have to worry about personal defenses but may have to worry about the Eleventh Amendment. See Kentucky v. Graham, — U.S. -, 105 S.Ct. 3099, 3105-06, 87 L.Ed.2d 114 (1985). A suit against an official in his official rather than individual capacity is a suit against the state. See id., 105 S.Ct. at 3105; Brandon v. Holt, — U.S.-, 105 S.Ct. 873, 878, 83 L.Ed.2d 878 (1985).

The complaint named Franzen “in his capacity as Director of the Illinois Department of Corrections,” but Wolff and Hert merely as “Former Warden of the Joliet Correctional Center” and “Former Chief of Security” at Joliet, respectively, and the three guards just as “Officers of the Illinois Department of Corrections.” The same designations appear in the part of the complaint that asks for damages. All this might seem to clinch the case for regarding the suit against Franzen, at least, as an official-capacity suit and hence barred by the Eleventh Amendment; for section 1983 did not abrogate the states’ Eleventh Amendment immunity from damage suits, Owen v. Lash, 682 F.2d 648, 654 (7th Cir.1982), and Illinois has not waived that immunity. Although the Eleventh Amendment, read literally, forbids the federal courts to exercise jurisdiction over any suit by a citizen against a state, they may do so if the state consents, Alabama v. Pugh, 438 U.S. 781, 782, 98 S.Ct. 3057, 3058, 57 L.Ed.2d 1114 (1978) (per curiam) —a rare example of the conferral of subject-matter jurisdiction by consent.

Not only suing a defendant in his official capacity, but even just naming the defendant’s office, raises a presumption that he is being sued only in his official capacity. See, e.g., Kolar v. County of Sangamon, 756 F.2d 564, 568-69 (7th Cir.1985); Wolf Lillie v. Sonquist, 699 F.2d 864, 869-70 and n. 12 (7th Cir.1983). It suggests that the plaintiff is really after the employer, which is to say the state or a state agency. But the presumption cannot be conclusive in a system such as the Federal Rules of Civil Procedure create, in which the complaint does not fix the plaintiff’s rights but may be amended at any time to conform to the evidence. See Fed.R.Civ.P. 15(b); Regents of the University of Michigan v. Ewing, — U.S.-, 106 S. Ct. 507, 511 n. 6, 88 L.Ed.2d 523 (1985); Phillips v. Vandygriff, 711 F.2d 1217, 1225 n. 9 (5th Cir.1983). Whatever the plaintiffs may have had in mind when they named Franzen “in his capacity as Director” of the Illinois prison system, the case was tried as a suit against the defendants as individuals. This is shown most dramatically by *650 the fact that the judge, at the defendants’ request, instructed the jury that all of the defendants were being sued as individuals, that they were liable only for their personal acts or omissions to act, and that neither the State of Illinois nor the Illinois Department of Corrections was a defendant.

The defendants do not argue that the form of the complaint misled them.

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Bluebook (online)
780 F.2d 645, Counsel Stack Legal Research, https://law.counselstack.com/opinion/junior-ray-duckworth-cross-appellants-v-gayle-franzen-cross-appellees-ca7-1986.