Documente Academic
Documente Profesional
Documente Cultură
ELECTRONICALLY FILED
7/27/2020 11:28 AM
03-CV-2020-900935.00
CIRCUIT COURT OF
MONTGOMERY COUNTY, ALABAMA
GINA J. ISHMAN, CLERK
IN THE CIRCUIT COURT OF MONTGOMERY COUNTY, ALABAMA
Steve Marshall
Attorney General
State of Alabama
Office of the Attorney General
501 Washington Avenue
Montgomery, Alabama 36130
(334) 242-7300
(334) 353-8400 (fax)
Brad.Chynoweth@AlabamaAG.gov
Reid.Harris@AlabamaAG.gov
Table of Contents
Introduction ................................................................................................................................... 1
Facts ............................................................................................................................................... 3
B. State Health Officer Dr. Scott Harris Addresses the COVID-19 Pandemic
Through a Series of Emergency Rules from March 20, 2020 through May
21, 2020. ......................................................................................................................... 5
D. On July 15, 2020, Governor Ivey Issued the Mask Requirement Challenged
in this Lawsuit By Means of Another Emergency Proclamation Under the
EMA Amending the Safer at Home Order. ............................................................... 8
Argument ..................................................................................................................................... 10
A. Governor Ivey and Dr. Harris Acted with Statutory Authority at All Times
in Issuing Orders Related to Controlling the Spread of COVID-19 in
Alabama. ..................................................................................................................... 10
i. Dr. Harris’s Health Orders from March 17, 2020 to May 21, 2020
Were Validly Issued as Emergency Rules Under the APA. ............................ 10
ii. Beginning June 30, 2020, Dr. Harris’s Safer at Home Order
Proceeded as a Recommendation of the State Health Officer to the
Governor for the Prevention of Disease But Was Given the Force of
Law by the Governor Pursuant to the EMA. ................................................... 13
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D. For the Same Reasons Plaintiffs Fail to Allege Governor Ivey or Dr. Harris
Acted Beyond Their Statutory Authority, Plaintiffs Fail to State a Claim
Upon Which Relief Can Be Granted. ....................................................................... 23
E. Plaintiffs’ Claims That Dr. Harris Violated the APA in the Past Are Moot
Because They Seek Only Prospective Relief and the Current Health Order
Is Issued Pursuant to Governor Ivey’s Authority Under the EMA. ..................... 23
Conclusion ................................................................................................................................... 24
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Introduction
A deadly virus, easily transmitted, has required dramatic steps by all fifty state
governments to protect the public health. Since it was first detected in Alabama on March 13,
2020, COVID-19 has threatened to overwhelm the State’s healthcare system with a large number
of patients in need of Intensive Care Unit (“ICU”) capacity. On July 15, 2020, with the State’s
ICU bed capacity at 87%, Governor Ivey issued an emergency proclamation to implement State
Health Officer Dr. Scott Harris’s recommendation that masks or facial coverings be worn under
certain circumstances.
Plaintiffs file suit alleging Governor Ivey and Dr. Harris lacked any statutory authority to
issue a statewide mask mandate. They do not allege that they are injured in any personal way but
state only that they sometimes come within six feet of people in their daily life and might be
required to wear a mask, and that they do not think the requirement is legal. But it is.
Dr. Harris validly issued health orders from March 17, 2020, to June 30, 2020 as emergency
rules under the Alabama Administrative Procedure Act (“APA”) to attempt to slow the spread of
COVID-19, or “flatten the curve,” so the State’s healthcare system would not be overwhelmed.
Because Dr. Harris’s authority to issue emergency rules under the APA was arguably limited to
120 days from the first March 17 order, Governor Ivey gave Dr. Harris’s recommendations the
force of law by emergency proclamation under the Alabama Emergency Management Act of 1955
(“EMA”) beginning on June 30, 2020. Governor Ivey issued the mask requirement Plaintiffs
challenge in this lawsuit under the EMA on July 15, 2020. The EMA provides ample authority for
Governor Ivey to issue a statewide mask requirement to slow the spread of COVID-19. Plaintiffs’
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Legal Standard
Defendants move to dismiss under Rule 12(b)(1) for lack of subject-matter jurisdiction on
the grounds of standing and sovereign immunity and under Rule 12(b)(6) for failure to state a
claim upon which relief can be granted. In ruling on a motion to dismiss under either rule, the
Court must accept the allegations of the complaint as true. Ex parte Ala. Dep’t of Transp., 978 So.
In ruling on a motion to dismiss for lack of subject-matter jurisdiction, a court will not
consider “whether the pleader may ultimately prevail but whether the pleader may possibly
prevail.” Id. Where a state official asserts the court lacks subject-matter jurisdiction under 12(b)(1)
because a plaintiff’s complaint fails to come within any exception to sovereign immunity, “the
party asserting the defense of immunity[] [bears] the burden of demonstrating that [the plaintiff]
can prove no set of facts establishing one of the exceptions to the State’s sovereign immunity.”
Id.; see also Burch v. Birdsong, 181 So. 3d 343, 347-48 (Ala. Civ. App. 2015). “[A] court ruling
on a Rule 12(b)(1) motion to dismiss may consider documents outside the pleadings to assure itself
that it has jurisdiction.” Ex parte Safeway Ins. Co. of Ala., Inc., 990 So. 2d 344, 349 (Ala. 2008)
A Rule 12(b)(6) motion “tests the sufficiency of the pleadings to determine if the plaintiff
has stated a claim upon which relief can be granted, and in ruling on such a motion, the trial court’s
examination is limited to the pleadings.” Pub. Relations Counsel, Inc. v. City of Mobile, 565 So.
2d 78, 81 (Ala. 1990). A complaint may be dismissed for failure to state a claim “when it appears
beyond a doubt that the plaintiff can prove no set of facts entitling him to relief.” Seals v. City of
Alternatively, to the extent the Court considers matters outside the pleadings and this
requires the Court to consider Defendants’ motion as a motion for summary judgment under Rule
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56, Defendants move for summary judgment. A motion for summary judgment is to be granted
when no genuine issue of material fact exists and the moving party is entitled to a judgment as a
matter of law. Ala. R. Civ. P. 56(c)(3). A party moving for a summary judgment must make a
prima facie showing that there is no genuine issue as to any material fact and that they are entitled
to judgment as a matter of law. Shows v. Mayfield Oil Co., Inc., 743 So. 2d 465, 466 (Ala. 1999).
If the movant makes this showing, the burden then shifts to the nonmovant to rebut the movant’s
prima facie showing by “substantial evidence.” Id. “Substantial evidence is evidence of such
weight and quality that fair-minded persons in the exercise of impartial judgment can reasonably
infer the existence of the fact sought to be proved.” West v. Founders Life Assurance Co. of Fla.,
Facts
A. The COVID-19 Pandemic, Social Distancing, and Facial Coverings.
In December 2019, a new (or novel) human coronavirus type emerged in China. (Exhibit
14, Scott Harris Affidavit ¶ 1.) The virus, which causes the disease now known as Coronavirus
Disease 2019 (COVID-19), spread quickly around the world. (Id.) The World Health Organization
(“WHO”) declared the outbreak a Public Health Emergency of International Concern on January
30, 2020. (Id.) On March 11, 2020, the WHO declared that the outbreak can be described as a
pandemic. (Id.)
epidemic potential, a threat to the health and welfare of the public, or otherwise of public health
importance, and added COVID-19 to the list of notifiable diseases classified as immediate or
extremely urgent and requiring report to the County or State Health Department within four hours
of presumptive diagnosis. (Exhibit 14, Harris Aff. ¶ 2; Exhibit 1.) On March 13, 2020, President
Donald Trump declared that the COVID-19 outbreak in the United States constitutes a national
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emergency. (Id. ¶ 3.) Also, on March 13, 2020, COVID-19 was detected in Alabama. (Id. ¶ 4) The
same day, Governor Kay Ivey issued a proclamation declaring a state of emergency for the State
Throughout this epidemic, State Health Officer Dr. Scott Harris has been in contact with
health care experts and professionals throughout the state and in other states, monitoring the spread
of the disease, its effects on patients, and its effects on the health care system. (Exhibit 14, Harris
Aff. ¶ 12.) When COVID-19 spreads rapidly, a deluge of cases can cause great strain on the health
care system, particularly ICU capacity. (Id. ¶ 13.) These results have been documented in other
countries and in the United States. (Id.) It is therefore necessary to take appropriate action to slow
the spread of the disease in order to prevent a spike of cases that could overwhelm the health care
system. (Id.)
While there were only 6 reported cases of COVID-19 on March 13, 2020, as of July 15,
2020, when the mask requirement challenged in this lawsuit was adopted, there were 58,225 cases
of COVID-19 in Alabama and 1,183 deaths attributed to COVID-19. (Exhibit 14, Harris Aff. ¶ 5.)
On July 15, 2020, there were also 7,378 hospitalizations of individuals due to COVID-19 in
Alabama, including 941 individuals in an Intensive Care Unit (“ICU”). (Id.) When the July 15
mask requirement was adopted, data from the prior week showed that 87% of the State’s ICU beds
were full. (Id.) As of July 24, 2020, the number of reported cases of COVID-19 in the State was
74,365, the number of deaths 1,395, and the number of COVID-19 patients currently hospitalized
According to the Centers for Disease Control and Prevention (“CDC”), the virus that
causes COVID-19 is thought to spread mainly from person to person, between people who are in
close contact with one another or through respiratory droplets produced when an infected person
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coughs or sneezes. (Exhibit 14, Harris Aff. ¶ 14.) The same organization reports that a person who
is non-symptomatic may be able to spread the disease and that the virus causing COVID-19
Additionally, according to the CDC, covering mouths and noses with filtering materials,
such as a mask or face covering, can help reduce transmission of COVID-19 infections. (Exhibit
14, Harris Aff. ¶15.) An individual wearing a face covering serves two purposes: personal
protection against inhalation of harmful pathogens and particulates, and source control to prevent
exposing others to infectious microbes that may be expelled during respiration. (Id.)
settings where social distancing cannot be consistently maintained. (Exhibit 14, Harris Aff. ¶ 16.)
Social distancing involves physically distancing oneself from others by at least six feet in order to
reduce the risk of spreading droplets from the mouth or nose of one person to another, thus
reducing the risk of transmission of COVID-19. (Id.) As a result, the July 15 order requires wearing
a mask or other facial covering only within six feet of a person from another household in certain
specified places where groups of people are gathered. (Id.; Exhibit 13, Order § 2.)
B. State Health Officer Dr. Scott Harris Addresses the COVID-19 Pandemic Through a
Series of Emergency Rules from March 20, 2020 through May 21, 2020.
On March 19, 2020, Dr. Harris issued an order, and then an amended version of that order
on March 20, 2020, of statewide application suspending certain public gatherings. (Exhibit 14,
Harris. Aff. ¶ 7; Exhibit 3.) The March 20, 2020 order was issued as an emergency rule and was
filed with the Legislative Services Agency. (Id.) On March 21, 2020, the Office of the Alabama
Attorney General issued a Guidance Document for Law Enforcement communicating its
understanding of the legal basis for the State Health Officer’s authority to issue emergency rules
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Dr. Harris issued amended versions of the March 20, 2020 order on March 27, April 3,
April 28, May 8, and May 21, 2020. (Exhibit 14, Harris Aff. ¶ 8; Exhibits 5-8, 10.) When Dr.
Harris issued each of these orders, the State Committee of Public Health was not in session.
(Exhibit 14, Harris Aff. ¶ 9.) However, after each order that Dr. Harris issued, the Committee
ratified the emergency rules or orders that he had issued at its next monthly meeting. (Id.)
Dr. Harris’s orders were based on his judgment as a medical doctor and as the State Health
Officer about what would protect the public health and better enable Alabama’s health care system
to treat COVID-19 patients and reduce the total number of COVID-19 infections, hospitalizations,
and deaths. (Exhibit 14, Harris Aff. ¶ 17.) The orders at various times restricted the size of public
gatherings, required certain businesses to be closed to the public, and closed Alabama public
schools for in-person instruction for the remainder of the 2019-2020 school year. (See generally
C. Beginning June 30, 2020, Dr. Harris’s Recommendations Were Issued as Emergency
Proclamations by Governor Ivey Pursuant to the Alabama Emergency Management
Act (“EMA”).
Beginning on June 30, 2020, Governor Ivey issued Dr. Harris’s amended health order (the
“Safer at Home Order”) as an incorporation to an emergency proclamation using her powers under
the Emergency Management Act. (Exhibit 14, Harris Aff. ¶ 10; Exhibit 11.) Governor Ivey’s June
A. Findings. For the following reasons, I find it necessary to extend the statewide
“Safer at Home” health order through an exercise of my powers under the
Emergency Management Act.
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a. COVID-19 remains a serious public health threat. The best information available
confirms that COVID-19 is a highly contagious virus that can cause serious
illness and death. It can be especially serious or deadly for people over 65 years
of age or people with underlying health conditions. Experts predict that it could
take many months to develop an effective vaccine or treatment.
b. At the same time, the initial measures states took to respond to COVID-19 are
not sustainable over the long run. Widescale business closures and stay-at-home
orders carry significant costs. They impede business investment and expansion.
They reduce tax revenues that fund vital public services. And most importantly,
they prevent working people from supporting their families. In many ways,
public health can suffer as the economy suffers.
2. Extending the Safer at Home act likely requires action by me under the
Emergency Management Act to comply with state-law procedures governing
emergencies.
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Act (beginning that day) to adopt emergency rules to mitigate the spread of
COVID-19.
d. At the same time, the uncertainties of the COVID-19 pandemic will require
COVID-19-related rulemaking to be done on an emergency, ad hoc basis for
longer than the 120-day emergency period contemplated by the Administrative
Procedure Act. The Governor’s powers under the Emergency Management Act
allow the flexibility to undertake such rulemaking for as long as a declared state
public health emergency is in effect.
(See Exhibit 11 § I.) The June 30 proclamation incorporates the Safer at Home Order and
“promulgate[s] that order as an order, rule, or regulation under the applicable provisions of the
Emergency Management Act. See, e.g., Ala. Code §§ 31-9-6(1) & 31-9-13.” (Id. § I.B.) The
proclamation states that the order is enforceable by the law-enforcing authorities of the state
Because the June 30 and following July 15 orders were not issued as emergency rules by
Dr. Harris, but were rather issued by Governor Ivey under the EMA, they were not subsequently
presented to the State Committee of Public Health for ratification. (Exhibit 14, Harris Aff. ¶ 10.)
D. On July 15, 2020, Governor Ivey Issued the Mask Requirement Challenged in this
Lawsuit By Means of Another Emergency Proclamation Under the EMA Amending
the Safer at Home Order.
On July 15, 2020, with 87% of the State’s ICU beds full, Governor Ivey issued another
emergency proclamation amending the Safer at Home order to require facial coverings to be worn
on a statewide basis. (Exhibit 14, Harris Aff. ¶ 5; Exhibit 13.) The proclamation states:
Effective July 16, 2020 at 5:00 P.M., each person shall wear a mask or other facial
covering that covers his or nostrils and mouth at all times when within six feet of a
person from another household in any of the following places: an indoor space open
to the general public, a vehicle operated by a transportation service, or an outdoor
public space where ten or more people are gathered.
(Exhibit 13, Order § 2.) The requirement is subject to numerous exceptions, including an
exemption for any person six years of age or younger or any person with a medical condition or
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disability that prevents him or her from wearing a facial covering. (Id. § 2.a.(i), (ii).) There are also
exemptions for those engaged in voting or when it is necessary to come within six feet of a person
from another household in order to provide or obtain access to religious worship. (Id. § 2.d.) The
Safer at Home Order currently in effect is set to expire July 31, 2020 unless extended, rescinded,
The July 15 proclamation incorporates Dr. Harris’s recommendation and judgment about
what will protect the public health and better enable Alabama’s health care system to treat COVID-
19 patients and reduce the total number of COVID-19 infections, hospitalizations, and deaths.
(Exhibit 14, Harris Aff. ¶ 17.) In particular, the CDC recommends wearing a mask or facial
covering in settings where social distancing, i.e. six feet or more of physical distance, cannot be
consistently maintained. (Id. ¶¶ 15-16.) According to the CDC, covering mouths and noses with
filtering materials, such as a mask or face covering, can help reduce transmission of COVID-19
infections by protecting against inhalation of harmful pathogens and particulates and preventing
Nine days after Governor Ivey’s mask order was issued—and seven days before it expires
unless renewed—Plaintiffs filed suit. Their allegations as to how the mask requirement personally
11. The Plaintiffs are directly affected by the Proclamation and Order, as they are
located within the boundaries of the State of Alabama and, during times,
interface with the public at distances of less than six feet.
12. Plaintiff Munza is a retired sheriff’s deputy and interfaces with the general
public in his normal daily life, oftentimes within six feet of another individual.
13. Plaintiff Lewis is a retired sheriff’s deputy and interfaces with the general public
in his normal daily life, oftentimes within six feet of another individual.
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14. Plaintiff Mathis is a real estate agent who interfaces with the general public in
her personal and professional life, oftentimes within six feet of another
individual.
15. All other individuals currently located in Alabama are similarly situated and
affected by said Proclamation and Order.
(Compl. ¶¶11-16.) Plaintiffs seek an ex parte Temporary Restraining Order (“TRO”) as well as a
Argument
Plaintiffs’ claim is that Dr. Harris lacked statutory authority to issue emergency health
orders under the Administrative Procedure Act (“APA”) and Governor Ivey lacked statutory
authority to mandate the wearing of masks under the EMA. Although Plaintiffs’ fail to allege
standing or to plead any claim that would fall under an exception to Defendants’ sovereign
immunity, Defendants begin their argument by explaining the statutory authority for their actions
as that is the sole basis of Plaintiffs’ Complaint. Plaintiffs seek only prospective relief, and
therefore could only challenge Governor Ivey’s issuance of the July 15 mask order currently in
effect under the EMA. Nevertheless, Defendants will set out the statutory basis for Dr. Harris’s
A. Governor Ivey and Dr. Harris Acted with Statutory Authority at All Times in Issuing
Orders Related to Controlling the Spread of COVID-19 in Alabama.
i. Dr. Harris’s Health Orders from March 17, 2020 to May 21, 2020 Were
Validly Issued as Emergency Rules Under the APA.
The State Health Officer possesses statutory authority to issue emergency rules that have
the force and effect of law under the APA. The Alabama Code gives the Alabama Department of
Public Health the authority to make rules that have the force of law:
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...
(6) To adopt and promulgate rules and regulations providing proper methods and
details for administering the health and quarantine laws of the state, which rules
and regulations shall have the force and effect of law and shall be executed and
enforced by the same courts, bodies, officials, agents and employees as in the case
of health laws, and a quorum, as provided for by the constitution of the Medical
Association of the State of Alabama, shall be competent to act.
Ala. Code § 22-2-2(6) (emphasis added). The knowing violation of a rule or regulation issued by
While § 22-2-2(6) references the powers of the State Board of Health, the State Health
Officer can exercise these powers when the State Board of Health is not in session. “[E]xcept when
the State Board of Health is in actual session assembled,” the State Committee of Public Health
possesses “all the prerogatives and powers and duties heretofore prescribed by law for the State
Board of Health and shall act for said board.” Ala. Code § 22-2-5; see also Ala. Code § 22-2-6
(“When the State Board of Health is not in session, the State Committee of Public Health shall act
for said board and have and discharge all the prerogatives and duties of said board, including the
adoption and promulgation of rules and regulations.”). “When the State Committee of Public
Health is not in session, the State Health Officer, as executive officer of the Department of Public
Health, shall act for said committee and shall have and discharge all the prerogatives and duties of
Dr. Harris was acting in this capacity as State Health Officer when the State Committee of
Public Health was not in session when he issued his emergency rules. (Exhibit 14, Harris Aff. ¶
9.) The Alabama Administrative Code provides that “[i]f the State Health Officer finds that there
is an immediate danger to the public health, safety or welfare which requires the adoption of a rule
with less than 35 days’ notice . . . and so states in writing his reasons for that finding, the State
Health Officer may proceed without prior notice or hearing, or any abbreviated notice and hearing
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that he finds practical, and adopt an emergency rule.” Ala. Admin. Code § 420-1-2-.07(e); see also
Ala. Code §§ 41-22-5(b) (authorizing state agencies to issue emergency rules if there is an
This does not mean that the State Health Officer’s authority to adopt emergency rules when
the Committee is not in session is unchecked. When the State Health Officer exercises authority
otherwise possessed by the Committee when they are not in session, “[h]e shall report his actions
to the committee at its next meeting after such action is taken, and such action of the State Health
Officer shall then be subject to confirmation or modification by the committee.” Ala. Code § 22-
2-8. Dr. Harris in fact reported each emergency order issued at the Committee’s next monthly
meeting, and after each report the Committee ratified the emergency orders adopted by Dr. Harris.
The Supreme Court of Alabama has expressly held that the rulemaking authority granted
to the State Department of Health in § 22-2-2(6) was a valid delegation of power by the Legislature.
See Parke v. Bradley, 86 So. 28, 30-31 (Ala. 1920); see also id. at 31 (stating “the implied
limitation against the delegation of the lawmaking power was never intended to prevent
Legislatures from authorizing their own appointed agencies to make such minor rules and
regulations as are necessary or appropriate for the administration and enforcement of the general
laws of the state.”). And the Alabama Court of Criminal Appeals has upheld convictions for
violations of rules and regulations issued under § 22-2-2(6). See Congo v. State, 409 So. 2d 475,
478-79 (Ala. Crim. App. 1981); see also id. at 478 (“The rules and regulations adopted by the
Board [of Health] have the force and effect of law, Ala. Code s 22-2-2(6) (1975), and are properly
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Under the APA, ordinary rulemaking requires a proposed rule to be submitted for public
notice and comment in the Alabama Administrative Monthly at least 35 days prior to adoption of
the rule. See Ala. Code § 41-22-5(a). However, the APA authorizes administrative agencies to
issue emergency rules “if an agency finds that an immediate danger to the public health, safety, or
welfare requires adoption of a rule upon fewer than 35 days’ notice . . . .” Ala. Code § 41-22-
5(b)(1). As stated above, the State Health Officer possesses the authority to issue emergency rules.
Emergency rules “shall become effectively immediately, unless otherwise stated in the rule, upon
the filing of the rule and a copy of the written statement of the reasons therefor with the Legislative
Services Agency, Legal Division, and the secretary of the agency.” Id. The first page of each
emergency rule issued by Dr. Harris reflects that it was stamped as received and certified as an
emergency rule with the Legislative Services Agency. (See Exhibits 3-8, 10.)
An emergency rule may be effective for no more than 120 days, and the APA prevents an
agency from adopting “the same or a substantially similar emergency rule within one calendar year
from its first adoption unless the agency clearly establishes it could not reasonably be foreseen
during the initial 120-day period that such emergency would continue or would likely reoccur
during the next nine months.” Ala. Code § 41-22-5(b)(2). As expressly acknowledged in Governor
Ivey’s June 30 emergency proclamation, Dr. Harris’s emergency rulemaking power under the APA
was arguably set to expire on July 15, 2020—120 days from the March 17 and March 20
ii. Beginning June 30, 2020, Dr. Harris’s Safer at Home Order Proceeded as a
Recommendation of the State Health Officer to the Governor for the
Prevention of Disease But Was Given the Force of Law by the Governor
Pursuant to the EMA.
Although Dr. Harris’s emergency rulemaking powers arguably expired July 15, the State
Health Officer possesses statutory authority to “keep himself informed in regard to all diseases
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which may be in danger of invading the state and, as far as authorized by law, take prompt
measures to prevent such invasions . . . and submit to the Governor and Legislature such
recommendations as he deems proper to control such outbreaks.” Ala. Code § 22-2-8 (emphasis
added). As Governor Ivey’s June 30, 2020 proclamation expressly states, she adopted Dr. Harris’s
order, rule, or regulation under the EMA. (Exhibit 11 § I.B.) The current mask requirement
challenged in this lawsuit was issued on July 15 by another emergency proclamation of Governor
Ivey under the EMA further amending the Safer at Home Order. (Exhibit 13.) Contrary to
Plaintiff’s threadbare assertion, (Compl. ¶ 43), Governor Ivey possesses statutory authority under
the EMA to issue the statewide mask mandate to prevent the spread of COVID-19.
Under the EMA, the Governor may declare a state of emergency by issuing a proclamation
with findings that a “public health emergency has occurred or is reasonably anticipated in the
immediate future within this state and that the safety and welfare of the inhabitants of this state
require an invocation of” gubernatorial emergency powers. Ala. Code § 31-9-8(a). A state public
health emergency includes “[a]n occurrence or imminent threat of an illness or health condition
exposure to an infectious or toxic agent that poses a significant risk of substantial future harm to a
large number of people in the affected population.” Ala. Code §§ 31-9-3(4)(a)(2), -3(4)(b)(3). The
definition of “state of emergency” also includes an “epidemic” that causes both “extreme peril to
the safety of persons and property within the state” and conditions that “by reason of their
magnitude, are or are likely to be beyond the control of the services, personnel, equipment, and
facilities of any single county, city and county, or city.” Ala. Code § 31-9-3(5).
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Governor Ivey’s initial declaration of a state of emergency on March 13, 2020, satisfied
these conditions for a state of emergency, noting “the State Health Officer has reported the
appearance of the 2019 novel coronavirus known as COVID-19 in the State of Alabama,” and
that “the appearance of COVID-19 in the State indicates the potential of widespread exposure to
an infectious agent that poses significant risk of substantial harm to a large number of people.”
(See Exhibit 2 at 1.) Governor Ivey further stated, “I find that COVID-19 cases could overwhelm
the health care facilities and personnel of this State and undermine their ability to deliver patient
care in the traditional, normal, and customary manner . . . .” (Id.) Because a state of emergency
under the EMA lasts 60 days “unless the Governor extends the emergency by proclamation,” Ala.
Code § 31-9-8(a), Governor Ivey extended the March 13 state of emergency on May 8, 2020, and
When the Governor declares a state of emergency, she acquires substantial powers. See
Ala. Code §§ 31-9-6, -8. Plaintiffs do not allege Governor Ivey had no basis to declare a state of
emergency in response to COVID-19, but rather allege “there is no statutory authority that can be
construed to empower the Governor to mandate the wearing of a mask under any circumstances.”
Compl. ¶ 43. But there is ample statutory for this requirement under the plain meaning of the EMA.
See Ex parte Ankrom, 152 So. 3d 397, 409 (Ala. 2013) (“In ascertaining the legislature’s intent in
enacting a statute, this Court will first attempt to assign plain meaning to the language used by the
legislature.”). In addition, the EMA provides that its provisions “shall be construed liberally in
The Governor possesses statutory authority to require a statewide mask mandate under the
(1) To make, amend, and rescind the necessary orders, rules, and regulations to
carry out the provisions of this article within the limits of the authority conferred
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upon him or her in this article, with due consideration of the plans of the federal
government.
(3) In accordance with such plan and program for the emergency management of
this state, to ascertain the requirements of the state . . . for food or clothing or other
necessities of life in the event of disaster or emergency and to plan for and procure
supplies, medicines, materials, and equipment for the purposes set forth in this
article.
(4) To make, amend, and rescind the necessary orders, rules, and regulations
looking to the direction or control of . . . the conduct of civilians and the movement
or cessation of movement of pedestrians and vehicular traffic, public meetings or
gatherings . . . .
(12) To take such action and give such directions to state and local law-enforcement
officers and agencies as may be reasonable and necessary for the purpose of
securing compliance with the provisions of this article and with the orders, rules,
and regulations made pursuant thereto.
(1) To enforce all laws, rules, and regulations relating to emergency management
and to assume direct operational control of all emergency management forces and
helpers in the state.
(5) To perform and exercise such other functions, powers and duties as are
necessary to promote and secure the safety and protection of the civilian population.
(6) To employ such measures and give such directions to the state or local boards
of health as may be reasonably necessary for the purpose of securing compliance
with the provisions of this article or with the findings or recommendations of such
boards of health by reason of conditions arising from enemy attack or threat of
enemy attack or otherwise.
compliance” with “the findings or recommendations” of the State Health Officer, § 31-9-8(6), and
is “necessary . . . to carry out the provisions of this article . . . with due considerations of the plans
of the federal government,” § 31-9-6(1), because it is intended to prevent the spread of COVID-
19 and implements the federal government’s (CDC) recommendation that facemasks be worn
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when socially distancing cannot be consistently maintained. The facemask requirement also falls
under the Governor’s authority to conserve hospital capacity by slowing the rate of infection and
thus preserve “equipment” and “other necessities of life.” Ala. Code § 31-9-6(3). It is also a
“necessary order[]” that “look[s] to the direction or control of . . . the conduct of civilians and . . .
public meetings or gatherings . . . .,” Ala. Code § 31-9-6(4), by requiring citizens to wear facemasks
under certain circumstances. And the facemask order is no broader than “necessary” because it
requires facemasks to be worn only when within six feet of another person from another household
and when in certain enumerated locations, and it includes exemptions for young children and those
In sum, the July 15 mask requirement falls within the plain meaning of numerous
emergency powers granted to Governor Ivey during a state of emergency. If there is any doubt as
to the applicability of these provisions to the mask requirement, the EMA expressly states the
provisions “shall be construed liberally in order to effectuate its purpose.” Ala. Code § 31-9-23.
When applying such a statute liberally, “all reasonable doubts must be resolved in favor of” the
Governor. See Riley v. Perkins, 213 So. 2d 796, 798 (Ala. 1968). The July 15 mask requirement is
thus an order, rule, or regulation “promulgated by the Governor” and has “the full force and effect
of law when a copy thereof is filed in the office of the Secretary of State” and is punishable as a
B. Because Plaintiff Can Prove No Set of Facts Establishing One of the Exceptions to the
State’s Sovereign Immunity Applies, the Court Lacks Subject-Matter Jurisdiction
Over Plaintiff’s Claims.
Article I, Section 14 of the Alabama Constitution of 1901 provides that “[t]he State of
Alabama shall never be made a defendant in any court of law or equity.” Ala. Const. Art. I, sec.
14. “Under § 14, the State and its agencies are absolutely immune from suit.” Lyons v. River Road
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Constr., Inc., 858 So. 2d 257, 261 (Ala. 2003). “Sovereign immunity is a jurisdictional bar that
deprives a court of subject-matter jurisdiction.” Ex parte Ala. Dep’t of Mental Health & Mental
“Section 14 prohibits actions against state officers in their official capacities when those
actions are, in effect, actions against the State.” Haley v. Barbour Cty., 885 So. 2d 783, 788 (Ala.
2004). In determining whether an action against a state officer is, in fact, one against the State, a
court must consider such factors as the nature of the action and the relief sought. Id. There are
exceptions to § 14 immunity “applicable only to actions brought against State officials and not to
actions brought against the State or its agencies.” Ex parte Wilcox Cty. Bd. of Educ., 218 So. 3d
774, 778 (Ala. 2016) (“Wilcox I”).1 The six exceptions to sovereign immunity are as follows:
There are six general categories of actions that do not come within
the prohibition of § 14: (1) actions brought to compel State officials
to perform their legal duties; (2) actions brought to enjoin State
officials from enforcing an unconstitutional law; (3) actions to
compel State officials to perform ministerial acts; (4) actions
brought against State officials under the Declaratory Judgments Act,
Ala.Code 1975, § 6–6–220 et seq., seeking construction of a statute
and its application in a given situation; (5) valid inverse
condemnation actions brought against State officials in their
representative capacity; and (6) actions for injunction or damages
brought against State officials in their representative capacity and
individually where it was alleged that they had acted fraudulently,
in bad faith, beyond their authority, or in a mistaken interpretation
of law. See Drummond Co. v. Alabama Dep't of Transp., 937 So.2d
56, 58 (Ala.2006) (quoting Ex parte Carter, 395 So.2d 65, 68
(Ala.1980)).
Ex parte Ala. Dep’t of Fin., 991 So. 2d 1254, 1256-57 (Ala. 2008). The six categories of actions
not barred by § 14 “are sometimes referred to as ‘exceptions’ to § 14; however, in actuality these
1
Defendants cite two separate cases involving the same state entity, and will designate the earlier
case as Wilcox I and the later as Wilcox II. See Ex parte Wilcox Cty. Bd. of Educ., 279 So. 3d 1135
(Ala. 2018) (“Wilcox II”).
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actions are simply not considered to be actions ‘against the State’ for § 14 purposes.” Ex parte
Moulton, 116 So. 3d 1119, 1132 (Ala. 2013) (internal quotation and citation omitted).
It follows that if Plaintiffs’ alleged injuries and the relief they seek do not fall under one of
these six exceptions, then their claims are barred by sovereign immunity. See Moulton, 116 So. 3d
at 1133 (“If [the plaintiff’s] claim for injunctive relief is to survive the bar of State immunity, we
must determine whether that claim falls within one of the recognized ‘exceptions’ to State
immunity set forth above.”); Bd. of Sch. Comm’rs of Mobile Cty. v. Weaver, 99 So. 3d 1210, 1221
(Ala. 2012) (“Because the plaintiffs have failed to demonstrate that this action falls within one of
immunity [from claims for injunctive relief] in his official capacity as a State officer.”).
On a motion to dismiss, “the party asserting the defense of immunity[] b[ears] the burden
of demonstrating that [Plaintiff] can prove no set of facts establishing one of the exceptions to the
State’s sovereign immunity.” Ex parte Ala. Dep’t of Transp., 978 So. 2d at 21. Defendants can
i. The Plaintiffs Claims for Injunctive Relief Against Defendants in their Official
Capacities Are Barred by Sovereign Immunity Because They Do Not Fall
Within the Exception for Actions Beyond the State Officials’ Authority Since
Defendants Acted Within Their Statutory Authority.
Plaintiff’s Complaint clearly alleges Defendants lacked any legal authority to issue a
statewide mask requirement. Compl. ¶¶ 19-43; see also id. ¶ 43 (“However, there is no statutory
authority that can be construed to empower the Governor to mandate the wearing of a mask under
any circumstances.”). Based on the facts alleged by Plaintiffs, their claims seek to fall under the
sixth exception to sovereign immunity stated above. See Ex parte Ala. Dep’t of Fin., 991 So. 2d at
1257. This sixth exception was reformulated in Moulton and stated as follows: “(6)(a) actions for
injunction brought against State officials in their representative capacity where it is alleged that
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they had acted fraudulently, in bad faith, beyond their authority, or in a mistaken interpretation of
law.” Ex parte Moulton, 116 So. 3d at 1141 (emphasis added). But Plaintiffs can prove no set of
facts that would show this exception to sovereign immunity applies. See Ex parte Ala. Dep’t of
As discussed in Section A above, Governor Ivey and Dr. Harris had authority under
Alabama law to issue health orders, including the mask requirement. Thus, Plaintiffs can prove no
set of facts that would show Defendants acted beyond their authority or under a mistaken
interpretation of law in issuing emergency rules or proclamations as is required to come under the
sixth exception to sovereign immunity. See Cooper v. Ziegler, 193 So. 3d 722, 731-32 (Ala. 2015)
(stating “the circuit court had a duty to dismiss the Zieglers’ claim for injunctive relief insofar as
the Zieglers failed to demonstrate that [the State official] acted fraudulently, in bad faith, beyond
his authority, or under a mistaken interpretation of law . . . beyond such a showing, the Zieglers
failed to meet the requirements for injunctive relief so as to bypass § 14 immunity.”); Wilcox I,
218 So. 3d at 779 (“When a plaintiff seeks to enjoin conduct that he or she has not alleged is
fraudulent, in bad faith, beyond a State official’s authority, or done in a mistaken interpretation of
law, the plaintiff fails to invoke the sixth ‘exception’ to sovereign immunity, and the defendant
As to Dr. Harris, Plaintiffs’ allegations that he violated the APA concern conduct that
occurred from March 17, 2020 to June 30, 2020, when Dr. Harris’s health orders ceased to be
issued as emergency rules under the APA. Since Plaintiffs challenge purely past conduct by Dr.
Harris and do not seek to enjoin him from any alleged ongoing violation of law, Dr. Harris is
entitled to sovereign immunity for the additional reason that purely past conduct does not fall under
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any exception to immunity. Thus, Defendants are entitled to sovereign immunity and the Court
Plaintiffs seek declaratory and injunctive relief prohibiting the enforcement of the mask
requirement. Yet, they have sued the Alabama Department of Public Health separately as a
defendant. The exceptions to sovereign immunity for declaratory and injunctive relief suits against
public officials allegedly acting without legal authority do not apply to suits against State agencies.
See Ex parte Ala. Dep’t of Fin., 991 So. 2d 1254, 1257 (Ala. 2008) (stating that exceptions “to
sovereign immunity apply only to actions brought against State officials; they do not apply to
actions against the State or against State agencies.”); Ala. Dep’t of Transp. v. Harbert Intern., Inc.,
990 So. 2d 831, 841 (Ala. 2008), abrogated in part on other grounds by Ex parte Moulton, 116
So. 3d 1119, 1141 (Ala. 2013) (“The purpose of the so-called ‘exception’ to § 14 allowing
declaratory-judgment actions is to give direction to State officers. Consistent with the other
‘exceptions’ to § 14 immunity, we hold that only State officers named in their official capacity—
Plaintiffs’ claims against the Alabama Department of Public Health are thus absolutely
barred by sovereign immunity. See Ala. Dept. of Public Health v. Noland Health Servs., Inc., 267
So. 3d 873, 875 (Ala. Civ. App. 2018) (holding declaratory judgment suit naming Alabama
Department of Public Health as sole defendant was subject to no exception to sovereign immunity
and absolutely barred). The claims against the Alabama Department of Public Health must be
C. Plaintiffs Lack Standing Because They Fail to Plead Any Concrete or Particular
Injury Caused by the Mask Requirement.
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In the Complaint, Plaintiffs claim that they are “directly affected” by the Governor’s mask
requirement because they live in Alabama and, “during times,” they “interface with the public at
distances of less than six feet.” Doc. 2 ¶11. Plaintiffs do not allege that they have been subject to
enforcement of the mask requirement, or that they will be subject to enforcement of the mask
requirement, or that anything at all has happened to them as a result of the mask requirement.
Indeed, Plaintiffs have not even alleged that they have ever been forced to comply with the mask
requirement. Simply put, Plaintiffs’ conclusory allegation that they are “directly affected” by the
“Standing . . . turns on whether the party has been injured in fact and whether the injury is
to a legally protected right.” State v. Prop. at 2018 Rainbow Drive known as Oasis, 740 So. 2d
1025, 1027 (Ala. 1999) (internal citation omitted). “[W]ere a court to make a binding judgment on
an underlying issue in spite of absence of injury, it would be exceeding the scope of its authority[.]”
Town of Cedar Bluff v. Citizens Caring for Children, 904 So. 2d 1253, 1256 (Ala. 2004).
Moreover, under Alabama law, establishing standing “is not as simple as whether a justiciable
controversy exists.” Muhammad v. Ford, 986 So. 2d 1158, 1162 (Ala. 2007). Instead, the
individual Plaintiffs must “demonstrate that [they are] a proper party to invoke judicial resolution
of the dispute” and establish “actual, concrete and particularized injury in fact” to establish
standing under Alabama law. Id. (citing Town of Cedar Bluff, 904 So.2d at 1258–59).
Here, Plaintiffs have alleged no injury to a legally protected right. In fact, they have alleged
no injury at all. Instead, Plaintiffs simply allege that, “during times,” they sometimes come within
six feet of another individual in public. Doc. 2 ¶ 11. Such allegation describes no injury
whatsoever. Plaintiffs’ allegation that “[a]ll other individuals currently located in Alabama” are
“affected” by the mask requirement, Doc. 2 ¶ 15, does not establish standing, either. Under
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Alabama law, Plaintiffs must show that they, particularly, have suffered an injury in fact. See
Muhammad, 986 So. 2d at 1162. Because they have not done so, Plaintiffs’ Complaint is due to be
dismissed.
D. For the Same Reasons Plaintiffs Fail to Allege Governor Ivey or Dr. Harris Acted
Beyond Their Statutory Authority, Plaintiffs Fail to State a Claim Upon Which Relief
Can Be Granted.
The facts Plaintiffs allege, and conceivably hope to prove, are simple and are entitled to
the presumption of truth on a motion to dismiss. See Ex parte Ala. Dep’t of Transp., 978 So. 2d at
21. Governor Ivey has issued an order requiring Plaintiffs to wear masks under certain
circumstances, and Plaintiffs claim she had no authority to do so under State law. Compl. ¶¶ 39-
43. But these claims fail as a matter of law under Rule 12(b)(6) because “it appears beyond a doubt
that the plaintiff can prove no set of facts entitling him to relief.” Seals, 575 So. 2d at 1063.
Governor Ivey does have authority to issue emergency orders that have the force of law for
the reasons stated above in Section A, supra. Governor Ivey has statutory authority under the
provisions of the EMA identified above to require the public to wear masks under certain
circumstances to prevent the spread of COVID-19. Assuming the Court had jurisdiction to rule on
Dr. Harris’s emergency rules issued prior to June 30, 2020, these were validly issued as emergency
rules under § 41-22-5(b) of the APA and had the force of law under § 22-2-2(6). Therefore,
Plaintiffs fail to state a claim that Defendants were acting without any statutory authority under
Alabama law.
E. Plaintiffs’ Claims That Dr. Harris Violated the APA in the Past Are Moot Because
They Seek Only Prospective Relief and the Current Health Order Is Issued Pursuant
to Governor Ivey’s Authority Under the EMA.
Plaintiffs seek only prospective declaratory and injunctive relief preventing Defendants
from enforcing the mask requirement. Yet, Plaintiffs’ allegations that Dr. Harris’s health orders
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violated the APA concern purely past conduct that occurred between March 17, 2020, and ended
June 30, 2020. Dr. Harris’s recommendations beginning on June 30, 2020, are currently
Governor Ivey’s powers under the EMA. Plaintiffs’ claims about Dr. Harris’s past compliance
with the APA are moot, and the Court accordingly lacks subject-matter jurisdiction over them.
“A case is moot when there is no real controversy and it seeks to determine an abstract
question which does not rest on existing facts or rights.” State ex rel. Eagerton v. Corwin, 359 So.
2d 767, 769 (Ala. 1977). A case that is moot lacks justiciability, and so “whether an action is moot
is also a matter of jurisdiction.” Davis v. Ala. Educ. Assoc’n, 92 So. 3d 737, 747 (Ala. 2012). This
Court lacks jurisdiction to give an advisory opinion as to whether Dr. Harris complied with the
APA in the past because the validity of the mask requirement is now a question of Governor Ivey’s
powers under the EMA. “The declaratory judgment statutes do not empower courts to decide moot
have the questions decided for the government of future cases.” Wallace v. Burleson, 361 So. 2d
554, 555 (Ala. 1978) (internal quotation and citation omitted). Since “Alabama courts do not give
opinions in which there is no longer a justiciable controversy,” Arrington v. State ex rel. Parsons,
422 So. 2d 759, 760 (Ala. 1982), the Court lacks subject-matter jurisdiction over Plaintiffs’ APA
Conclusion
For the reasons stated above, Plaintiffs’ Complaint should be dismissed and their motion
Steve Marshall
Attorney General
/s Brad A. Chynoweth
Brad A. Chynoweth (CHY001)
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State of Alabama
Office of the Attorney General
501 Washington Avenue
Montgomery, Alabama 36130
(334) 242-7300
(334) 353-8400 (fax)
Brad.Chynoweth@AlabamaAG.gov
Reid.Harris@AlabamaAG.gov
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CERTIFICATE OF SERVICE
I hereby certify that on July 27, 2020, I electronically filed the foregoing with the Court
via AlaFile which will send notification of such filing to the following:
Seth S. Ashmore
129 East Laurel Street
Scottsboro, AL 35768
(256) 574-2546
sethashmore@gmail.com
/s Brad A. Chynoweth
Counsel for Defendants
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