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HARRIS v. BOARD OF EDUCATION OF THE CITY OF CHICAGO

United States District Court, N.D. Illinois, Eastern Division.
Nov 2, 2005
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Summary of Memorandum Opinion — Samuel Der-Yeghiayan, District Judge

Factual and Procedural Background

Plaintiff Gayle D. Harris alleges that she worked for Chicago Public Schools (CPS) and was promoted to a permanent payroll clerk position in the late summer of 2002. Beginning in early March 2003, Harris allegedly questioned and objected to certain overpayments she identified. She claims that on March 19, 2003, and on April 1, 2003, she received harassing emails from her supervisor, and that she was harassed by email again after asking about payroll practices. Harris alleges her manager (identified in the complaint as Nancy Slavin) attempted to fire her because the manager believed Harris was "not loyal," and that she was singled out and given the "silent treatment" at work. On June 30, 2004, CPS terminated Harris' employment, citing workforce reductions and budgetary constraints.

Harris filed suit in Illinois state court asserting: Count I — a Section 1983 retaliatory discharge claim; Count II — a state law retaliatory discharge claim; Count III — a claim under the Illinois Whistleblower Protection Act (5 ILCS 395/1); Count IV — intentional infliction of emotional distress; and Count V — Section 1983 due process and equal protection claims. The case was removed to federal court. Defendants moved to dismiss; the court's memorandum opinion resolves that motion.

Legal Issues Presented

  1. Whether the Section 1983 claims against Arne Duncan and Ascencion Juarez should be dismissed for failure to allege their personal involvement in any constitutional deprivation (i.e., whether the complaint improperly relies on respondeat superior or job titles).
  2. Whether the Section 1983 claim against Nancy Slavin should be treated as an individual-capacity claim and, relatedly, whether dismissal is warranted because the complaint does not specify the capacity in which she is sued.
  3. Whether the Section 1983 claim against the Chicago Public Schools (a municipal entity) should be dismissed for failure to allege a municipal policy, practice, or custom sufficient to establish municipal liability under Monell.
  4. Whether the remaining state-law claims should be dismissed after disposition of the federal claims, given removal and the apparent absence of alleged diversity jurisdiction in the notice of removal.

Arguments of the Parties

Defendants' Arguments

  • As to Duncan and Juarez: The complaint fails to allege any personal involvement by these defendants in the alleged constitutional deprivations; liability cannot be premised on their positions or job titles (respondeat superior does not apply to § 1983).
  • As to Slavin: The individual-capacity § 1983 claim against Slavin should be dismissed because Harris did not specify whether Slavin was being sued in her individual or official capacity.
  • As to CPS: The § 1983 claim against the municipal defendant must be dismissed because Harris bases her claim solely on respondeat superior and fails to allege any policy, practice, or custom that caused the alleged constitutional deprivations.
  • Procedurally: With dismissal of federal claims, the court should dismiss the remaining state-law claims (the notice of removal does not allege diversity jurisdiction).

Plaintiff's Arguments (as reflected in the complaint and response)

  • Harris suggests it is a "fair inference" that Duncan and Juarez were involved in the budgetary layoffs and thus in the events leading to her termination.
  • As to Slavin, Harris argued that any judicial determination about the capacity in which Slavin was sued was premature.
  • As to CPS, Harris argued that a Board of Education would necessarily adopt some policy to implement budget cut layoffs, implying a policy or practice exists that could support a Monell claim; Harris conceded, however, deficiencies in her pleadings and sought to rely on inferences from the complaint.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Thompson v. Illinois Dep't of Prof'l Regulation, 300 F.3d 750 (7th Cir. 2002) Federal pleading standard: draw reasonable inferences in plaintiff's favor; accept well-pleaded facts as true. Used to state the general Rule 12(b)(6) standard the court applied in evaluating the complaint.
Perkins v. Silverstein, 939 F.2d 463 (7th Cir. 1991) Same federal pleading considerations (construing allegations favorably to plaintiff). Also cited to describe pleading requirements and limitations on conclusory allegations.
Conley v. Gibson, 355 U.S. 41 (1957) Pleadings should not be dismissed unless it appears beyond doubt plaintiff can prove no set of facts entitling relief. Invoked to support the lenient pleading standard applicable at the dismissal stage.
Baker v. Kingsley, 387 F.3d 649 (7th Cir. 2004) Even where allegations provide little detail, dismissal at an early stage is inappropriate if plaintiffs might prove a set of facts entitling relief. Cited to reinforce that lack of detail alone does not justify dismissal at the motion-to-dismiss stage.
Kyle v. Morton High School, 144 F.3d 448 (7th Cir. 1998) Plaintiff must allege the "operative facts" supporting each claim; conclusions are permissible but must give minimal notice. Applied to emphasize that claims need operative facts providing defendants with minimal notice of the claim.
Lucien v. Preiner, 967 F.2d 1166 (7th Cir. 1992) Pleading standards requiring factual allegations supporting claims. Used in the statement of law concerning what a complaint must allege to survive dismissal.
Sanjuan v. American Bd. of Psychiatry and Neurology, Inc., 40 F.3d 247 (7th Cir. 1994) Plaintiff need not plead facts establishing each element; the complaint may state events briefly and receive benefit of imagination. Cited to outline the notice-pleading standard and the permissible scope of generalized allegations.
Higgs v. Carter, 286 F.3d 437 (7th Cir. 2002) Plaintiff may plead conclusions, but they must supply minimal notice. Invoked to explain limits on conclusory pleading and to support requirement of operative facts.
Sanville v. McCaughtry, 266 F.3d 724 (7th Cir. 2001) The doctrine of respondeat superior does not apply to § 1983 actions. Applied to reject any attempt to hold Duncan and Juarez liable merely by virtue of their supervisory positions or titles.
Hildebrandt v. Illinois Dept. of Natural Resources, 347 F.3d 1014 (7th Cir. 2003) Section 1983 imposes personal liability; a supervisor is liable only if he participated directly or knew of and facilitated, approved, condoned, or turned a blind eye to the conduct. Applied to require allegations of personal involvement by Duncan and Juarez and to support dismissal where such allegations were absent.
Alexander v. Sheahan, 1995 WL 573632 (N.D. Ill. 1995) Section 1983 claims cannot be based solely upon defendants' positions and titles rather than personal involvement. Quoted to support the proposition that the complaint cannot rely on titles to establish liability for Duncan and Juarez.
Hill v. Shelander, 924 F.2d 1370 (7th Cir. 1991) Plaintiff must specify whether a § 1983 suit is brought against a defendant in his official or individual capacity. Applied to analyze whether Harris specified the capacity in which Slavin was sued; the court examined the complaint in its entirety to determine intent.
Kolar v. Sangamon County of State of Ill., 756 F.2d 564 (7th Cir. 1985) When capacity is unspecified, courts ordinarily assume a defendant is sued only in his official capacity; plaintiffs should expressly state if they intend to sue in individual capacity. Applied to conclude that, because Harris did not specify capacities and her allegations focus on official duties, Slavin was intended to be sued in her official capacity.
Monell v. Department of Social Services, 436 U.S. 658 (1978) Municipalities cannot be held liable under § 1983 on a respondeat superior theory; liability requires a municipal policy or custom causing the deprivation. Applied to evaluate the § 1983 claim against CPS and to dismiss it for failure to allege any policy, practice, or custom giving rise to constitutional deprivations.
Kujawski v. Board of Comm'rs. of Bartholomew County, Indiana, 183 F.3d 734 (7th Cir. 1999) A municipal entity is liable under § 1983 only if the deprivation was caused by a municipal policy or custom. Relied upon alongside Monell to show that Harris' complaint lacked the necessary allegations to support municipal liability against CPS.
Chortek v. City of Milwaukee, 356 F.3d 740 (7th Cir. 2004) Three bases for municipal liability: (1) an express policy, (2) a widespread practice so permanent it constitutes a custom, or (3) an allegation that a person with final policymaking authority caused the injury. Used to explain the types of allegations required to state a Monell claim; applied to find the complaint lacked any of these allegations regarding CPS.
Williams v. Aztar Indiana Gaming Corp., 351 F.3d 294 (7th Cir. 2003) Principles governing dismissal of state claims when federal claims are dismissed and removal lacks diversity basis. Applied to justify dismissal of the remaining state-law claims following dismissal of the federal § 1983 claims.
Wright v. Associated Ins. Cos. Inc., 29 F.3d 1244 (7th Cir. 1994) Procedural guidance on federal courts' disposition of state-law claims after federal claims are dismissed. Invoked with other authorities to support dismissal of the remaining state claims.
Timm v. Mead Corp., 32 F.3d 273 (7th Cir. 1994) Procedural authority relevant to dismissal of state-law claims after federal claims are resolved. Cited in support of dismissing the state-law claims after the federal claims were dismissed.

Court's Reasoning and Analysis

The court proceeded in three discrete analytical steps after setting out the governing Rule 12(b)(6) pleading standard and related Seventh Circuit authorities.

1) Section 1983 claims against Duncan and Juarez:

- The court recognized that respondeat superior is not a basis for § 1983 liability and that a plaintiff must plead personal involvement by individual defendants. Citing Sanville and Hildebrandt, the court required allegations that the named supervisors either participated directly in the constitutional violation or directed it or knew of and facilitated or condoned it.

- The complaint named Duncan (Chief Executive Officer) and Juarez (Chief Human Resources Officer) and recited their titles, but contained no specific allegations of misconduct by either. The factual allegations in the complaint point to Harris' supervisor/manager, identified as Nancy Slavin, as the actor responsible for the harassment and alleged plot to terminate Harris.

- Harris urged that it was a fair inference Duncan and Juarez were involved in the budget layoffs, but the court found that inference unreasonable in the absence of other facts and that titles alone do not establish personal involvement (citing Alexander). Consequently, the court concluded Harris failed to allege personal involvement by Duncan and Juarez and granted the motion as to the § 1983 claims against them.

2) Individual-capacity § 1983 claim against Slavin:

- Defendants argued that Harris failed to specify whether Slavin was sued in her individual or official capacity. Hill and Kolar require plaintiffs to specify capacity and direct courts to read the complaint in its entirety to determine the intended capacity if unspecified.

- The court reviewed the complaint in total and found the allegations framed Slavin's conduct as part of her official duties and that Harris emphasized abuse of official authority (e.g., alleging action "under color of state law"). The court therefore concluded Harris intended to sue Slavin only in her official capacity.

- Because Harris had not pleaded an individual-capacity claim against Slavin, the court denied the motion to dismiss any individual-capacity claim as moot (there was no such individual-capacity claim to dismiss).

3) Section 1983 claim against CPS (municipal liability):

- The court recited Monell and its progeny (Kujawski, Chortek) explaining that municipal liability requires a causal link between a municipal policy or custom and the alleged constitutional deprivation; municipal liability cannot be premised on respondeat superior.

- The complaint contained no allegations identifying an express policy, a widespread and well-settled practice constituting a custom, or an action by a final policymaker causing Harris' injury. Harris' response suggested it was self-evident that the Board would adopt a policy to effect layoffs, but the court found that to be speculative and insufficient given the lack of factual pleading required to support a Monell claim.

- Accordingly, the court granted defendants' motion to dismiss the § 1983 claim against CPS.

4) Disposition of state-law claims:

- With the federal § 1983 claims resolved in defendants' favor and the notice of removal not asserting diversity jurisdiction, the court deemed dismissal of the remaining state-law claims prudent and dismissed those claims as well, citing authorities addressing federal court disposition of state claims when federal jurisdictional bases are absent or eliminated.

Holding and Implications

Core Ruling: The court granted in part and denied in part defendants' motion to dismiss, as follows.

  • Granted: The Section 1983 claims against Arne Duncan and Ascencion Juarez are dismissed for failure to allege their personal involvement in any constitutional deprivation.
  • Denied as moot: The defendants' request to dismiss an individual-capacity § 1983 claim against Nancy Slavin is denied as moot because, after construing the complaint in its entirety, the court concluded Harris sued Slavin only in her official capacity (no individual-capacity claim existed to dismiss).
  • Granted: The Section 1983 claim against the Chicago Public Schools is dismissed for failure to allege a municipal policy, practice, or custom sufficient to impose Monell liability.
  • Granted: The remaining state-law claims are dismissed in light of the disposition of the federal claims and the absence of an asserted diversity jurisdiction in the notice of removal.

Implications: The direct effects are the dismissal of the federal § 1983 claims against Duncan, Juarez, and CPS, and the dismissal of the remaining state-law claims; the court's disposition rests on pleaded facts (or their absence) rather than establishing new legal doctrine. The opinion does not purport to announce a novel rule of law beyond applying existing Seventh Circuit and Supreme Court authority (e.g., Monell, Hill/Kolar, Sanville/Hildebrandt) to the facts as pleaded.

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MEMORANDUM OPINION

SAMUEL DER-YEGHIAYAN, District Judge

This matter is before the court on Defendants' motion to dismiss. For the reasons stated below, we grant the motion in part and deny the motion in part as moot.

BACKGROUND

Plaintiff Gayle D. Harris ("Harris") alleges that she worked for the Chicago Public Schools ("CPS") and that she was promoted to a permanent position as a payroll clerk in the late summer 2002. Harris claims that in early March 2003, she started to ask questions regarding individuals that she thought were overpaid by the CPS and she stated that she objected to the overpayments. Harris claims that on March 19, 2003, she received a "harassing email" from her supervisor. (Compl. Par. 12). Harris alleges that on April 1, 2003, she was "further harassed further [sic] via email." (Compl. Par. 12). According to Harris she subsequently asked her supervisor about certain payroll practices and thereafter Harris was "again harassed via email." (Compl. Par. 13). Harris claims that afterwards she "was informed" that her manager was attempting to fire her because the "manager felt that [Harris] was not loyal." (Compl. 14). Harris further claims that, around this time, she expressed her disapproval of a variety of other conduct by the various employees working for the CPS. Harris claims that she was singled out because of her complaints about the conduct of the CPS employees and was given the "silent treatment" at work. (Compl. Par. 16). On June 30, 2004, the CPS terminated Harris' employment, indicating that the reason for the termination was that workers needed to be laid off in order to reduce the workforce and meet budgetary constraints. Harris brought the instant action in Illinois state court and includes in her complaint a claim alleging a retaliatory discharge in violation of 42 U.S.C. § 1983 ("Section 1983") (Count I), a state law retaliatory discharge claim (Count II), a claim brought pursuant to the Illinois Whistleblower Protection Act, Act, 5 ILCS 395/1, (Count III), an intentional of infliction of emotional distress claim (Count IV), and a Section 1983 due process and equal protection claim (Count V). This action was subsequently removed to federal court.

LEGAL STANDARD

In ruling on a motion to dismiss, brought pursuant to Federal Rule of Civil Procedure 12(b)(6) the court must draw all reasonable inferences that favor the plaintiff, construe the allegations of the complaint in the light most favorable to the plaintiff, and accept as true all well-pleaded facts and allegations in the complaint. Thompson v. Illinois Dep't of Prof'l Regulation, 300 F.3d 750, 753 (7th Cir. 2002); Perkins v. Silverstein, 939 F.2d 463, 466 (7th Cir. 1991). The allegations of a complaint should not be dismissed for a failure to state a claim "unless it appears beyond doubt that the plaintiff can prove no set of facts in support of his claim which would entitle him to relief." Conley v. Gibson, 355 U.S. 41, 45-46 (1957); See also Baker v. Kingsley, 387 F.3d 649, 664 (7th Cir. 2004) (stating that although the "plaintiffs' allegations provide[d] little detail . . . [the court could not] say at [that] early stage in the litigation that plaintiffs [could] prove no set of facts in support of their claim that would entitle them to relief"). Nonetheless, in order to withstand a motion to dismiss, a complaint must allege the "operative facts" upon which each claim is based. Kyle v. Morton High School, 144 F.3d 448, 454-55 (7th Cir. 1998); Lucien v. Preiner, 967 F.2d 1166, 1168 (7th Cir. 1992). Under current federal notice pleading standard a plaintiff need not "plead facts that, if true, establish each element of a `cause of action. . . .'" See Sanjuan v. American Bd. of Psychiatry and Neurology, Inc., 40 F.3d 247, 251 (7th Cir. 1994) (stating that "[a]t this stage the plaintiff receives the benefit of imagination, so long as the hypotheses are consistent with the complaint" and that "[m]atching facts against legal elements comes later."). The plaintiff need not allege all of the facts involved in the claim and can plead conclusions. Higgs v. Carter, 286 F.3d 437, 439 (7th Cir. 2002); Kyle, 144 F.3d at 455. However, any conclusions pled must "provide the defendant with at least minimal notice of the claim," Id., and the plaintiff cannot satisfy federal pleading requirements merely "by attaching bare legal conclusions to narrated facts which fail to outline the bases of [his] claims." Perkins, 939 F.2d at 466-67. The Seventh Circuit has explained that "[o]ne pleads a `claim for relief' by briefly describing the events." Sanjuan, 40 F.3d at 251.

DISCUSSION

1. Section 1983 Claims Against Duncan and Juarez

Defendants argue that the complaint fails to allege any personal involvement by Defendant Arne Duncan ("Duncan") or Defendant Ascencion Juarez ("Juarez") in the alleged constitutional deprivations. The Seventh Circuit has made it clear that "[t]he doctrine of respondeat superior does not apply to § 1983 actions. . . ." Sanville v. McCaughtry, 266 F.3d 724, 740 (7th Cir. 2001). Thus, an individual cannot be held liable under Section 1983 in his individual capacity unless he "participated directly in the constitutional violation." Hildebrandt v. Illinois Dept. of Natural Resources, 347 F.3d 1014, 1039 (7th Cir. 2003) (stating that "Section 1983 creates a cause of action based on personal liability and predicated upon fault; thus, liability does not attach unless the individual defendant caused or participated in a constitutional deprivation"). For a supervisor to be held liable under Section 1983 for acting in his supervisory role, a plaintiff must show that the supervisor directed the constitutional deprivation or that it occurred with his "knowledge and consent." Id. (indicating that a plaintiff must show that the supervisor knew "about the conduct and facilitate[d] it, approve[d] it, condone[d] it, or turn[ed] a blind eye").

In the instant action, the complaint provides that Duncan is the Chief Executive Officer of the CPS and that Juarez is the Chief Human Resources Officer of the CPS. (Compl. Par. 2). However, there are not any specific allegations in the complaint of misconduct on the part of Duncan or Juarez. In fact, other than the initial reference in the complaint to Duncan and Juarez and the mention of their job titles, they are not mentioned at all in the complaint. Harris specifically alleges in the complaint that her "supervisor" harassed her, (Compl. Par. 12), but Harris identifies her supervisor as Defendant Nancy Slavin ("Slavin"). (Compl. Par. 2). Harris also alleges that she was told that her "manager" was trying to get her fired, (Compl. Par. 14), but Harris also refers to Slavin as her manager. (Compl. Par. 4, 7).

Harris, recognizing the lack of allegations concerning personal involvement by Duncan and Juarez, argues that it is "certainly a fair inference" that Duncan and Juarez were involved in the budget layoffs. (Ans. 5). However, such an inference in the absence of other evidence is not reasonable. Harris cannot attribute personal involvement in the alleged constitutional violations to Duncan and Juarez simply because of their titles. See Alexander v. Sheahan, 1995 WL 573632, at *1 (N.D. Ill. 1995) (stating that the plaintiff's Section 1983 claim was improperly based upon the defendants' "positions and titles and not from any personal involvement in the incidents in question" and that "[t]here must be individual participation and involvement by the defendants"). In addition, even if the court inferred that Duncan and Juarez took some role in the layoff process, there are no allegations upon which one could reasonably infer that Duncan and Juarez were doing anything other than performing their jobs lawfully during the layoff process. Harris has not alleged that Duncan or Juarez in any way took part in the alleged plot to unlawfully terminate Harris' employment. The allegations of wrongdoing in the complaint point solely toward Slavin. Since Harris has not alleged any personal involvement on the part of Duncan or Juarez in the alleged constitutional deprivations, we grant Defendants' motion for summary judgment on the Section 1983 claims brought against Duncan and Juarez.

II. Individual Capacity Section 1983 Claim Against Slavin

Defendants argue that the court should dismiss the individual capacity claim against Slavin because Harris has failed to specify that Slavin is being sued in her individual capacity. A plaintiff bringing a Section 1983 claim is required to "specify whether suit is brought against the defendant in his official capacity or in his individual capacity." Hill v. Shelander, 924 F.2d 1370, 1372 (7th Cir. 1991). If the plaintiff fails to specify the capacity in which the defendant is being sued, the court must determine, after reading the complaint "in its entirety," what was intended by the plaintiff. Id. The Seventh Circuit has explained that a court should "ordinarily assume that [a defendant] has been sued in his official capacity and only in that capacity, . . . [and] [i]f a plaintiff intends to sue public officials in their individual capacities or in both their official and individual capacities . . . he should expressly state so in the complaint." Kolar v. Sangamon County of State of Ill., 756 F.2d 564, 568-69 (7th Cir. 1985). In the instant action, Harris did not specify whether she is suing Slavin in her individual capacity, official capacity, or in both capacities. (Compl. 5-8). Harris alleges wrongdoing by Slavin in the performance of her official duties for the CPS. Harris' focus in the complaint is upon Slavin's alleged abuse of her official authority. Harris specifically alleges, for example, that Defendants acted "under color of state law." (Compl. Par. 17). Based on a reading of the complaint in its totality we conclude that Harris intended to sue Slavin solely in her official capacity. Harris complains that such a determination is premature but, as is indicated above, a plaintiff is obligated to plead the capacity in which a defendant is being sued and, in the absence of such a designation, the court must make this determination. Harris chose not to include any designation of the capacity for the claim against Slavin and thus Harris cannot now justly complain when the court makes this determination. Given this determination, there is no need to dismiss an individual capacity claim brought against Slavin as Defendants request because, based on the court's determination, Harris did not bring an individual capacity claim against Slavin to begin with. Therefore, we deny Defendants' motion to dismiss the individual capacity claim against Slavin as moot.

III. Section 1983 Claim against CPS

Defendants argue that the Section 1983 claim against CPS must be dismissed because Harris bases her claims against the CPS solely upon the doctrine of respondeat superior. The doctrine of respondeat superior cannot be utilized to hold local governmental units liable for Section 1983 violations. Monell v. Department of Social Services, 436 U.S. 658, 691 (1978). A municipal governmental unit cannot be held liable under Section 1983 "unless the deprivation of constitutional rights is caused by a municipal policy or custom." Kujawski v. Board of Comm'rs. Of Bartholomew County, Indiana, 183 F.3d 734, 737 (7th Cir. 1999). A claim regarding a local governmental unit's unconstitutional policy, practice, or custom can be based upon: "(1) an express policy that causes a constitutional deprivation when enforced; (2) a widespread practice, that, although unauthorized, is so permanent and well-settled that it constitutes a `custom or usage' with the force of law; or (3) an allegation that a person with final policymaking authority caused the injury." Chortek v. City of Milwaukee, 356 F.3d 740, 748 (7th Cir. 2004).

We agree with Defendants that the complaint is totally devoid of any allegations referring to a practice, custom, or policy of the CPS that would have led to the alleged constitutional deprivations. Neither are there facts alleged in the complaint that would justify an inference that such a practice, custom, or policy was responsible for the alleged constitutional deprivations. Harris' only argument in response to this issue is that "[i]t should go without saying that a Board of Education could not implement budget cut layoffs without adopting some policy that such layoffs should occur." (Ans. 7). Harris grasps at strained inferences and, conceding the deficiencies in her pleadings, argues that certain conclusions are "apparent" from the complaint. (Ans. 8). Harris thus acknowledges that she failed to provide any specific allegations to support a Monell claim and in the absence of such allegations, the court cannot engage on its own in idle speculation regarding what policies or practices might have been involved in the alleged constitutional deprivations. Therefore, we grant Defendants' motion to dismiss the Section 1983 claim against the CPS. In addition, since the remaining claims are state law claims and the notice of removal does not state that there is diversity jurisdiction we deem it prudent to dismiss the remaining state claims. Williams v. Aztar Indiana Gaming Corp., 351 F.3d 294, 300 (7th Cir. 2003); Wright v. Associated Ins. Cos. Inc., 29 F.3d 1244, 1251 (7th Cir. 1994); Timm v. Mead Corp., 32 F.3d 273, 277 (7th Cir. 1994).

CONCLUSION

Based on the foregoing analysis, we grant Defendants' motion to dismiss the Section 1983 claims against Duncan and Juarez. We conclude that Harris did not bring an individual capacity Section 1983 claim against Slavin and thus deny Defendants' motion to dismiss such a claim as moot. We also grant Defendants' motion to dismiss the Section 1983 claim against the CPS. Finally, we dismiss the remaining state law claims.