BOB PEMBERTON, Justice.
The principal issue presented in this appeal, which arises from a mandamus suit brought by a requestor under the Texas Public Information Act (PIA),
As its name suggests, appellant Texas State Board of Veterinary Medical Examiners
Although the disciplinary complaint against Giggleman would ultimately culminate in an agreed formal reprimand and probated license suspension for "unprofessional/dishonorable conduct,"
The dispute arose after the Board, in purported compliance with its rules, wrote Giggleman and gave notice that it had received a "complaint" pertaining to his practice of veterinary medicine, attached a copy of PETA's letter — without the accompanying exhibits — and gave Giggleman 21 days to furnish a narrative response to "the facts and circumstances surrounding the allegations contained in this complaint." See Former 22 Tex. Admin. Code § 575.28(6). Giggleman, through counsel, wrote back asserting that "documents that were a part of the Complaint were not provided" to him, and requested copies of the accompanying exhibits. Treating Giggleman's letter as a request under the PIA, the Board forwarded it to the Attorney General and requested an opinion as to whether the exhibits Giggleman was seeking were shielded from disclosure by Occupations Code section 801.207(b) and PIA section 552.101. See Tex. Occ.Code § 801.207(b) (making Board's investigation records confidential); Tex. Gov't Code §§ 552.101 (excepting from disclosure "information considered to be confidential by law, either constitutional, statutory, or by judicial decision"); .301 (requiring that governmental body request Attorney General's decision when it receives "a written request for information that it wishes to withhold from public disclosure and that it considers to be within one of the exceptions under Subchapter C").
In response to the Attorney General's adverse decision, Giggleman filed suit against the Board in Travis County district court seeking a writ of mandamus to compel the agency to release the exhibits to him. Although Giggleman did not explicitly mention the statute in any of his pleadings in the case, the parties agree that he necessarily invoked section 552.321 of the PIA, which waives sovereign immunity so as to permit a requestor to "file suit for a writ of mandamus compelling a governmental body to make information available for public inspection" if the governmental body refuses to supply information that the requestor contends is public information. See Tex. Gov't Code § 552.321; see also, e.g., Texas Dep't of Pub. Safety v. Gilbreath, 842 S.W.2d 408, 411 (Tex.App.-Austin 1992, no writ) (construing parallel
Giggleman further requested attorney's fees. PIA section 552.323, subsection (a), requires that "the court shall assess costs of litigation and reasonable attorney fees incurred by a plaintiff who substantially prevails" in a mandamus suit under section 552.301, "except that the court may not assess those costs and fees against a governmental body if the court finds that the governmental body acted in reasonable reliance on," inter alia, "a written decision of the attorney general." Tex. Gov't Code § 552.323(a). However, as with his mandamus claim, Giggleman did not explicitly invoke PIA section 552.323(a) as a basis for his attorney's-fees claim. Instead, he cited the UDJA's attorney's-fees provision — "Tex. Civ. Prac. & Rem.Code § 37.009" — and, tracking that statute, "request[ed] that the Court award him costs and reasonable and necessary attorney fees as equitable and just." See Tex. Civ. Prac. & Rem.Code § 37.009 ("In any proceeding under [the UDJA], the court may award costs and reasonable and necessary attorney's fees as are equitable and just.").
Subsequently, the parties filed cross-motions for summary judgment as to Giggleman's mandamus claim; neither motion addressed his pending attorney's-fees claim. In support of his motion, Giggleman argued that the "complaint" the Board's rules required it to provide him included any exhibits or attachments, and that Occupation Code section 801.027(b) was no bar because, contrary to the Attorney General's view, the "investigation record of the board" made confidential by that statute logically could not include the "complaint" that had triggered the investigation. In contrast, while the Board agreed that the exhibits were part of PETA's "complaint," it insisted that section 801.027(b) and the Board's rules gave it discretion to produce only PETA's allegations to Giggleman while withholding the accompanying exhibits. Following a hearing, the district court granted Giggleman's summary-judgment motion and denied the Board's.
Following the summary-judgment hearing, but a few days before the district court had signed the order, the Board had filed a plea to the jurisdiction invoking sovereign immunity as a bar to Giggleman's attorney's-fees claim.
The amended pleading prompted the Board to file a second plea to the jurisdiction seeking dismissal of any new declaratory claims that the instrument had added. The Board urged that such claims were redundant of Giggleman's PIA mandamus claim and mere vehicles for obtaining attorney's fees. To similar effect, the Board would later file a "Motion for Judgment" urging that an award of UDJA attorney's fees would run afoul of Jackson v. State Office of Administrative Hearings, 351 S.W.3d 290 (Tex.2011).
Ultimately, in advance of a final hearing that the parties had scheduled, the Board produced to Giggleman all of the exhibits that had been the original focus of the parties' dispute. The Board then filed a third plea to the jurisdiction seeking dismissal of Giggleman's suit on grounds of mootness.
The final hearing went forward as scheduled. At the outset of the hearing, the district court denied each of the Board's three pleas to the jurisdiction by written order. It then heard evidence from Giggleman as to the attorney's fees he had incurred. Following the hearing, the court signed a final judgment acknowledging that the Board had "produced to Dr. Giggleman the entire complaint filed against him" and awarding no relief other than attorney's fees in the amount of approximately $33,000 found to have been incurred through time of trial, plus over $70,000 in conditional appellate attorney's fees. The judgment and subsequent findings of fact and conclusions of law elaborated that the award was based alternatively on PIA 552.323(a) — with the district court concluding that Giggleman had "substantially prevailed" on his PIA mandamus claim and that the Board had not reasonably relied on any Attorney General opinions in withholding the exhibits, see Tex. Govt Code § 552.3023(a) — and on UDJA section 37.009, with the court concluding
The Board perfected this appeal.
Texas's common law has long followed, and continues to follow, the "American Rule"-parties to litigation bear their own attorney's fees unless such expenses are specifically made recoverable by statute or contract. See MBM Fin. Corp. v. Woodlands Operating Co., 292 S.W.3d 660, 669 (Tex.2009) (citing Tony Gullo Motors I, L.P. v. Chapa, 212 S.W.3d 299, 310-11 (Tex.2006)). Further, a party can recover attorney's fees from a state agency like the Board only to the extent the Legislature has waived sovereign immunity. See Texas Natural Res. Conservation Comm'n v. IT-Davy, 74 S.W.3d 849, 853-854, 860 (Tex.2002). The district court's judgment — which, again, awarded no relief to Giggleman other than attorney's fees — was predicated on two alternative statutory waivers of sovereign immunity to authorize attorney's-fees awards, PIA section 552.323(a) and UDJA section 37.009. On appeal, the Board brings two issues challenging, respectively, UDJA section 37.009 and PIA section 552.323(a) as potential statutory bases for the award.
We will begin with the Board's second issue, in which it addresses Giggleman's entitlement to attorney's fees under PIA section 552.323(a). While acknowledging that Giggleman asserted a type of claim that could potentially serve as a predicate for an attorney's-fees award under this statute — a mandamus claim under PIA section 552.321, see Tex. Gov't Code § 552.323(a) — the Board disputes whether Giggleman properly pled that theory of recovery. Although Giggleman prayed for attorney's fees, the Board observes, his pleadings purported to rely instead on UDJA section 37.009 and never mentioned the PIA provision. And even if Giggleman sufficiently pled for attorney's fees under PIA section 552.323(a), the Board added, Giggleman did not meet that statute's requirement that he "substantially prevail" on his mandamus claim in order to recover. See id. Alternatively, even if Giggleman "substantially prevailed" on his mandamus claim, the Board insists that he would still be barred from recovering because it reasonably relied on the Attorney General's ruling that it must withhold the exhibits from him. See id.
The Board's attack on the sufficiency of Giggleman's pleadings as to attorney's fees is without merit. PIA section 522.323 makes an award of attorney's fees mandatory — i.e., automatic — if the plaintiff "substantially prevails," unless the Board obtains a finding that it reasonably relied on an Attorney General opinion or other law:
Id. § 552.323(a)(1) (emphasis added). Thus, to the extent that Giggleman ultimately "substantially prevailed" so as to be entitled to a mandatory award absent a finding of reasonable reliance, how Giggleman asked for the attorney's fees is irrelevant. See RDG P'ship v. Long, 350 S.W.3d 262, 277 (Tex.App.-San Antonio 2011, no pet.) ("If a party pleads facts
However, while Giggleman may have sufficiently pled an attorney's-fees claim under PIA section 552.323(a), we agree with the Board that he did not meet that statute's requirement of "substantially prevailing" on his PIA mandamus claim. As this Court has previously observed, PIA 552.323(a)'s "substantially prevail" requirement incorporates the concept of a "prevailing party," and thus must be construed in line with the Texas Supreme Court's recent jurisprudence, derived from federal jurisprudence, addressing prevailing-party requirements for recovering attorney's fees. See Dallas Morning News, Inc. v. City of Arlington, No. 03-10-00192-CV, 2011 WL 182886, at *2-4 (Tex. App.-Austin 2011, no pet.) (construing PIA section 552.323(a) in accordance with Intercontinental Group P'ship v. KB Home Lone Star L.P., 295 S.W.3d 650, 653-54 (Tex.2009) and federal antecedents, principally Buckhannon Bd. & Care Home, Inc. v. West Va. Dep't of Health & Human Res., 532 U.S. 598, 121 S.Ct. 1835, 149 L.Ed.2d 855 (2001)); see also Gattis v. Duty, 349 S.W.3d 193, 201-02 (Tex.App.-Austin 2011, no pet.) (applying the same analysis when construing parallel "substantially prevail" language in attorney's-fees provision of Texas Open Meetings Act).
Applying these principles to the record here, we observe that the district court's final judgment did not award Giggleman any relief on his mandamus claim. In fact, Giggleman's mandamus claim was rendered moot before final judgment when the Board had eventually produced the disputed exhibits to him, obviating any justiciable controversy regarding his entitlement to the writ. See Speer v. Presbyterian Children's Home and Serv. Agency, 847 S.W.2d 227, 229 (Tex.1993) (dismissing case as moot, including pending claim for attorney's fees, because the action sought to be enjoined had been accomplished and "suitable coercive relief" became impossible); Gattis, 349 S.W.3d at 202 (holding that pending attorney's-fees claims did not preserve live controversy because the claim on which it was predicated was rendered moot); see also Buckhannon, 532 U.S. at 605-06, 121 S.Ct. 1835 (plaintiff does not "prevail" through a defendant's voluntary change in conduct that moots the controversy). But the evident basis for the district court's conclusion that Giggleman had nonetheless "substantially prevailed" is that the Board did not produce the exhibits until after the court had already granted him summary judgment on his mandamus claim. Consequently, we must examine the district court's summary-judgment order to determine if it makes any difference in our analysis.
The summary-judgment order granted Giggleman the following relief:
While perhaps boding well for Giggleman's future prospects in seeking mandamus relief, we cannot agree that the order in itself constituted his "substantially prevailing" on that claim. Even if the order could be said to award relief on "the merits" of his mandamus claim, it effected no material change in the parties' legal relationship. See Intercontinental, 295 S.W.3d at 655 (quoting Farrar, 506 U.S. at 111-12, 113 S.Ct. 566). This is so because the order is not an "enforceable judgment,"
In contending otherwise, Giggleman refers us to authorities recognizing that a pending attorney's-fees claim may in some instances remain live and justiciable even while the predicate claims for relief have been rendered moot. See, e.g., Allstate Ins. Co. v. Hallman, 159 S.W.3d 640, 642-43 (Tex.2005); Camarena v. Texas Emp't Comm'n, 754 S.W.2d 149, 151 (Tex.1988); see also Griffin v. Birkman, 266 S.W.3d 189, 194 (Tex.App.-Austin 2008, pet. denied) (rejecting motion to dismiss appeal for mootness because dispute over attorney's fees remained pending). To the extent this can occur, it is a function of attorney's-fees statutes that do not impose a prevailing-party requirement, such as UDJA section 37.009. See Tex. Civ. Prac. & Rem.Code § 37.009 ("In any proceeding under [UDJA], the court may award costs and reasonable and necessary attorney's fees as are equitable and just."); Hallman, 159 S.W.3d at 642-43; Camarena, 754 S.W.2d at 151; Griffin, 266 S.W.3d at 194. Because an attorney's-fees claimant need not "prevail" in order to recover under such statutes, a pending fees claim may conceivably preserve a live controversy even where the cause of action is otherwise rendered moot. See Gattis, 349 S.W.3d at 201-02 (comparing Government Code section 551.142(b) of Open Meetings Act, which allows attorney's fees for party who "substantially prevails," with section 37.009 of Civil Practice and Remedies Code, which does not). But Giggleman's attorney's-fees claim under PIA section 552.323(a) had no such effect because it became impossible for him to satisfy that statute's "substantially prevail" requirement once his mandamus claim became moot. See id. (similarly concluding that party's attorney's-fees claim under Open Meetings Act was rendered moot when underlying claim became moot and party could no longer "substantially prevail"). To the contrary, his attorney's-fees claim under PIA section 552.323(a) likewise became moot. See id.
Beyond his misplaced reliance on cases like Hallman and Camarena, Giggleman urges that "basic considerations of policy" warrant our holding that he "substantially prevailed" under PIA section 552.323(a).
Because Giggleman did not "substantially prevail" on his PIA mandamus claim as a matter of law, and that claim was rendered moot prior to final judgment, his accompanying claim for attorney's fees under PIA section 552.323(a) was likewise rendered moot. See Gattis, 349 S.W.3d at 202 (holding that pending attorney's-fees claims did not preserve live controversy because failure to obtain affirmative relief precluded attorney's-fees award predicated on requirement that party "substantially prevail"). Consequently, the district court lacked subject-matter jurisdiction to award attorney's fees on that basis. See University of Tex. Med. Branch at Galveston v. Estate of Blackmon, 195 S.W.3d 98, 100-01 (Tex.2006) (per curiam) (mootness deprives courts of subject-matter jurisdiction); Gattis, 349 S.W.3d at 202 (same). We sustain the Board's second issue, and need not reach its contentions regarding reasonable reliance. See Tex.R.App. P. 47.1.
In its first issue, the Board challenges the other asserted statutory basis for the judgment award of attorney's fees, UDJA section 37.009. As previously noted, section 37.009, unlike PIA section 552.323(a), does not impose a prevailing-party requirement for recovery, but merely grants the trial court discretion to "award costs and reasonable and necessary attorney's fees as are equitable and just" incurred in prosecuting a UDJA claim. See Tex. Civ. Prac. & Rem.Code § 37.009. Consequently, a claim for attorney's fees under UDJA section 37.009 could, in theory, survive the mootness of the predicate claim for declaratory relief, as it may be "just and equitable" to award attorney's fees incurred in prosecuting the claim until that time. See Hallman, 159 S.W.3d at 642-43; Camarena, 754 S.W.2d at 151; Griffin, 266 S.W.3d at 194.
But such fees still must be predicated on a claim for declaratory relief "under this chapter," see Tex. Civ. Prac. & Rem.Code § 37.009, and the Board asserts that Giggleman never asserted a claim for attorney's fees under the UDJA, at least before
In MBM, which involved underlying claims for breach of contract, fraud, and declaratory judgment, the supreme court rejected the argument that attorney's fees could be supported by UDJA claims because those claims were "part and parcel" and "duplicative" of the failed breach of contract and fraud claims, holding that "a party cannot use the [UDJA] as a vehicle to obtain otherwise impermissible attorney's fees." See MBM, 292 S.W.3d at 669-70. In Jackson, the supreme court likewise rejected a similar effort to recover attorney's fees under both the PIA and the UDJA in a dispute involving several open-records requests. See Jackson, 351 S.W.3d at 300-01. After first holding that Jackson was not entitled to his attorney's fees under the PIA because, by representing himself, he had not "incurred" those fees as required by the PIA, see id. at 300 (citing Tex. Gov't Code § 552.323(a)), the supreme court then held that Jackson was not entitled to attorney's fees under the UDJA because his claims for declaratory relief were incidental to his central theory of relief arising under the PIA. See id. at 301.
For at least four reasons, we conclude that Giggleman failed to assert a UDJA claim that was not merely redundant of or incidental to his PIA mandamus claim. The first is that any declaratory claim Giggleman could have asserted under the UDJA would be barred by sovereign immunity, all other things being equal, because (1) Giggleman sued only the Board, thereby implicating sovereign immunity, see City of El Paso v. Heinrich, 284 S.W.3d 366, 372-73 (Tex.2009) (explaining that suits under the "ultra-vires" exception to sovereign immunity must be asserted against the relevant governmental official, in his official capacity, not against the state or governmental agencies, who would remain immune), and (2) he did not seek any declaration against the Board that came within the UDJA's limited waiver of immunity, see Texas Dep't of Transp. v. Sefzik, 355 S.W.3d 618, 621-22 (Tex.2011) (emphasizing that UDJA waives state agencies' immunity only as to claims seeking declarations regarding a statute's validity, not for claims merely seeking construction or enforcement of a statute); see also Heinrich, 284 S.W.3d at 370-71 (UDJA does not enlarge a trial court's jurisdiction); Texas Ass'n of Bus., 852 S.W.2d at 444 (UDJA is "merely a procedural device for deciding cases already within a court's jurisdiction rather than a legislative enlargement of a court's power"); Creedmoor-Maha Water Supply Corp. v. Texas Comm'n on Envtl. Quality, 307 S.W.3d 505, 515 (Tex.App.-Austin 2010, no pet.) (same, quoting Heinrich).
Second, as Giggleman acknowledges, some of the declarations he purports to seek concern the proper construction of the Board's rules, as opposed to a statute. That sort of claim falls outside the UDJA altogether. See Tex. Civ. Prac. & Rem. Code § 37.004 ("A person ... whose rights, status, or other legal relations are affected by a statute [or] municipal ordinance... may have determined any question of construction or validity arising under the ... statute [or] ordinance ... and obtain a declaration of rights, status, or other legal relations thereunder") (emphases added). And while section 2001.038 of the Administrative Procedure Act authorizes declaratory claims against state agencies concerning the "validity or applicability" of agency rules, see Tex. Gov't Code § 2001.038; Slay v. Texas Comm'n on Envtl. Quality, 351 S.W.3d 532, 544 (Tex.App.-Austin 2011, pet. denied), that statute, unlike the UDJA, does not authorize attorney's fees. See Tex. Gov't Code § 2001.038; Tex. Civ. Prac. & Rem.Code § 37.004.
Our third reason, related to the first, is that if there is an underlying justiciable controversy regarding construction of statutes that could provide a jurisdictional basis for the UDJA claims Giggleman purports to assert, see Heinrich, 284 S.W.3d at 370-71; Creedmoor-Maha, 307 S.W.3d at 515, it must exist solely by virtue of the waiver of sovereign immunity contained in PIA section 552.321. Consequently, any such UDJA claims would, by definition, be merely incidental to the relief Giggleman could obtain through his PIA mandamus claim — and could not be a basis for UDJA attorney's fees. See Jackson, 351 S.W.3d at 301.
Our fourth and final reason is Giggleman's own asserted rationale for being permitted to recover UDJA attorney's fees. During oral argument, counsel explained that Giggleman was entitled to UDJA attorney's fees because his PIA mandamus claim implicitly or necessarily required the district court to grant declarations construing the pertinent PIA provisions (or Board rules) as a means of determining his right to mandamus relief. But this would be true for every PIA mandamus case — the court must construe some combination of provisions in the PIA or other law that will govern public access to the information at issue. Cf. MBM, 292 S.W.3d at 669 ("If repleading a claim as a declaratory judgment could justify a fees award, attorney's fees would be available to all parties in all cases. That would repeal not only the American Rule but also the limits imposed on fee awards in other statutes."). This is the very use of the UDJA — i.e., as a vehicle for obtaining otherwise impermissible attorney's fees — that the Texas Supreme Court squarely held impermissible in Jackson and MBM. See Jackson, 351 S.W.3d at 301; MBM, 292 S.W.3d at 669.
We reverse the district court's judgment awarding attorney's fees, and render judgment dismissing Giggleman's claims for attorney's fees for want of subject-matter jurisdiction.