Smith v. Tillman

958 So. 2d 333, 2006 Ala. LEXIS 321, 2006 WL 3334431
CourtSupreme Court of Alabama
DecidedNovember 17, 2006
Docket1051108
StatusPublished
Cited by2 cases

This text of 958 So. 2d 333 (Smith v. Tillman) is published on Counsel Stack Legal Research, covering Supreme Court of Alabama primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Smith v. Tillman, 958 So. 2d 333, 2006 Ala. LEXIS 321, 2006 WL 3334431 (Ala. 2006).

Opinion

LYONS, Justice.

The plaintiff below, Willie “Omar” Smith, appeals from the Mobile Circuit [335]*335Court’s dismissal of his breach-of-contract action against Jack Tillman, sheriff of Mobile County, based on Tillman’s immunity. We reverse and remand.

I. Facts and Procedural Background

In 2002, Smith, an employee of the Mobile County Sheriffs Department, sued Tillman, in both his individual capacity and his official capacity as sheriff of Mobile County, in the United States District Court for the Southern District of Alabama. The action asserted claims under 42 U.S.C. §§ 1981 and 1983, as well as claims under 42 U.S.C. § 2000e, also known as Title VII of the Civil Rights Act of 1964 (“Title VII”). The case was assigned to a United States Magistrate Judge for mediation, and at mediation a settlement was reached.1 Smith agreed to dismiss his action in exchange for Tillman’s promoting Smith and providing him with certain employment benefits. All parties to the settlement understood that Tillman could not fulfill the conditions of the settlement agreement until October 2003, the beginning of the fiscal year for the sheriffs department. Because a settlement had been reached, the United States District Court entered an order dismissing the action but allowing it to be reinstated within 45 days of its dismissal.

Smith says that in October 2003, more than 45 days after the district court’s dismissal of the action, he first learned that Tillman was in breach of the settlement agreement. Smith joined another action pending against Tillman in the United States District Court for the Southern District of Alabama and sought enforcement of the settlement agreement. Relying on Kokkonen v. Guardian Life Insurance Co. of America, 511 U.S. 375, 381, 114 S.Ct. 1673, 128 L.Ed.2d 391 (1994) (holding that the enforcement of a settlement agreement was more than a continuation of the prior action and requires a separate basis for jurisdiction), the United States District Court dismissed Smith’s claim on the ground that it alleged a breach of contract under state law, for which there was no independent basis for federal jurisdiction.

Smith then sued Tillman, in both his individual and official capacities, in the Mobile Circuit Court, averring a breach of the settlement agreement. Tillman filed a Rule 12(b)(6), Ala. R. Civ. P., motion to dismiss, claiming that as sheriff of Mobile County he was immune from suit in his official and individual capacities. The circuit court granted the motion to dismiss, stating that Smith’s “lawsuit in this case does not fall under any of the five exceptions to the sheriffs sovereign immunity. It is not for this Court to create a sixth exception.” Smith appeals.

II. Standard of Review

The standard of review of .an order granting a motion to dismiss was set out in Nance v. Matthews, 622 So.2d 297, 299 (Ala.1993):

“On appeal, a dismissal is not entitled to a presumption of correctness.... The appropriate standard of review under Rule 12(b)(6) is whether, when the allegations of the complaint are viewed most strongly in the pleader’s favor, it appears that the pleader could prove any set of circumstances that would entitle [the pleader] to relief.... In making this determination, this Court does not consider whether the plaintiff will ultimately prevail, but only whether [the plaintiff] may possibly prevail.... We note that a Rule 12(b)(6) dismissal is [336]*336proper only when it appears beyond doubt that the plaintiff can prove no set of facts in support of the claim that would entitle the plaintiff to relief.”

III. Analysis

The issue before this Court is whether a state official is barred from asserting the defense of sovereign immunity in a state court action seeking to enforce a settlement agreement between private parties in a Title VII action.2 Smith argues that the dismissal was improper for two reasons. First, Smith argues, the settlement agreement arises under Title VII, which abrogates Tillman’s sovereign immunity. In the alternative, Smith argues, Tillman waived any affirmative defense to Smith’s federal action, including sovereign immunity, when he voluntarily entered into a settlement agreement.

Congress authorized civil actions against state officials under Title VII to enforce the substantive provisions of the Fourteenth Amendment to the United States Constitution. See Fitzpatrick v. Bitzer, 427 U.S. 445, 96 S.Ct. 2666, 49 L.Ed.2d 614 (1976). An action against a state or a state official to enforce the Fourteenth Amendment is not subject to the protection from immunity afforded to states by virtue of the Eleventh Amendment. Alabama State Docks Terminal Ry. v. Lyles, 797 So.2d 432, 436 (Ala.2001) (“There are only two conditions under which a state may be made a defendant in a federal court: 1) if the state has consented to be sued, by waiving its immunity or 2) if Congress has expressed a clear and unmistakable intent to make the state subject to suit, pursuant to Congress’s right to enforce the 13th, 14th, and 15th Amendments to the United States Constitution.”). Title VII claims are in that category of actions as to which a state has no immunity. See Idaho v. Coeur d'Alene Tribe of Idaho, 521 U.S. 261, 279, 117 S.Ct. 2028, 138 L.Ed.2d 438 (1997) (describing Fitzpatrick v. Bitzer, supra, as “concluding that Title VII’s authorization of federal-court jurisdiction to award money damages against a state government to individuals subjected to employment discrimination does not violate the Eleventh Amendment since Congress was exercising its § 5 [of the Fourteenth Amendment] remedial powers”).

Smith contends that an action, such as this one, to enforce a settlement agreement in a Title VII action involves a prior waiver of immunity by the state official that cannot be recalled. Citing Klein v. Board of Regents of the University of Wisconsin System, 265 Wis.2d 543, 666 N.W.2d 67 (Ct.App.2003), Smith argues that his claim alleging breach of the settlement agreement arises under Title VII and that Tillman cannot claim sovereign immunity because he abrogated that claim by settling the federal action. In Klein, the Wisconsin court agreed with the reasoning of the United States Court of Appeals for the Seventh Circuit, in EEOC v. Liberty Trucking, 695 F.2d 1038, 1043 (7th Cir.1982), that “because the statutory scheme of Title VII is bottomed on the encouragement of voluntary compliance in the elimination of employment discrimination, enforcement of conciliation and predetermination settlement agreements must be part of the underlying Title VII actions,” thus abrogating a state official’s sovereign-immunity defense. 265 Wis.2d [337]*337at 552, 666 N.W.2d at 71-72 (emphasis added).

Tillman, however, argues that Klein

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Bluebook (online)
958 So. 2d 333, 2006 Ala. LEXIS 321, 2006 WL 3334431, Counsel Stack Legal Research, https://law.counselstack.com/opinion/smith-v-tillman-ala-2006.