2008 Decisions

Opinions of the United

States Court of Appeals

for the Third Circuit

8-4-2008

Schneyder v. Smith

Precedential or Non-Precedential: Precedential

Docket No. 07-1490

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PRECEDENTIAL

UNITED STATES COURT OF APPEALS

FOR THE THIRD CIRCUIT

 

No. 06-4287

No. 07-1490

 

KORVEL ODD,

 v.

THOMAS MALONE;

OFFICE OF DISTRICT ATTORNEY OF PHILADELPHIA,

 Appellants

 

NICOLE SCHNEYDER,

 Appellant

 v.

GINA SMITH, Esquire;

OFFICE OF DISTRICT ATTORNEY OF PHILADELPHIA,
2

 

On Appeal from the United States District Court

for the Eastern District of Pennsylvania

(D.C. Nos. 06-cv-02242/06-cv-04986)

District Judges: Honorable Norma L. Shapiro and Honorable

Jan E. Dubois

 

Argued January 8, 2008

Before: FISHER, HARDIMAN and ALDISERT, Circuit

Judges.

(Filed: August 4, 2008)

Daniel Silverman (Argued)

Silverman & Associates

1429 Walnut Street, Suite 1001

Philadelphia, PA 19102

Attorney for Appellee Odd

Attorney for Appellant Schneyder

Ronald Eisenberg (Argued)

Three South Penn Square

Philadelphia, PA 19107

Attorney for Appellants Thomas Malone 

and Office of District Attorney of Philadelphia

Attorney for Appellees Gina Smith 

and Office of District Attorney of Philadelphia
3

 

OPINION OF THE COURT

 

HARDIMAN, Circuit Judge.

These consolidated appeals concern the scope of

prosecutorial immunity. In both cases, prosecuting attorneys

obtained bench warrants to detain material witnesses whose

testimony was vital to murder prosecutions. Although the

attorneys diligently obtained the warrants, they neglected to

keep the courts informed of the progress of the criminal

proceedings and the custodial status of the witnesses. The

question before us is whether the attorneys are entitled to

absolute prosecutorial immunity for their omissions. 

In No. 07-1490, we decide whether a prosecutor may be

sued under 42 U.S.C. § 1983 for failing to notify the relevant

authorities that the proceedings in which the detained individual

was to testify had been continued for nearly four months. In No.

06-4287, we decide whether a prosecutor may be sued for

failing to notify the relevant authorities that the material witness

remained incarcerated after the case in which he was to testify

had been dismissed.

I.

Because we review the District Courts’ rulings on

Federal Rule of Civil Procedure 12(b)(6) motions to dismiss, our
4

recitation of the facts is limited to those alleged in Plaintiffs’

complaints. Yarris v. County of Delaware, 465 F.3d 129, 134

(3d Cir. 2006). We accept those facts as true and draw all

reasonable inferences in Plaintiffs’ favor. Id.

A. Plaintiff-Appellant Nicole Schneyder (No. 07-1490)

Nicole Schneyder was a reluctant but essential witness in

three attempts by the Commonwealth of Pennsylvania to convict

Michael Overby of first-degree murder. See Commonwealth v.

Overby, 809 A.2d 295, 298-99 (Pa. 2002). In the first two trials,

the court declared Schneyder unavailable and admitted her

sworn statement into evidence. Id. at 299. The second jury

convicted Overby and sentenced him to death, but the

Pennsylvania Supreme Court ordered a new trial, holding that

the handling of Schneyder’s testimony violated Overby’s Sixth

Amendment right to confront the witnesses against him. Id. at

299-300. 

In preparing to prosecute Overby a third time,

Philadelphia Assistant District Attorney (ADA) Gina Smith

obtained a material witness bench warrant for Schneyder’s arrest

from Judge Rayford Means of the Philadelphia County Court of

Common Pleas. After a January 27, 2005 bail hearing,

Schneyder, who was represented by a public defender, was

detained after she failed to post the $300,000 bail set by the

court. At that time, Judge Means directed ADA Smith in open

court, and again in his robing room, to notify him of any delays

in the Overby case, which was assigned to another judge.

Schneyder alleges that Judge Means made clear that he intended
5

to release Schneyder in the event of a continuance, and that

Smith acknowledged this admonition on the record.

On February 2, 2005, the Overby trial was continued until

May 25, 2005. In spite of the court’s directive, Smith failed to

notify Judge Means of the continuance, and Schneyder remained

incarcerated.

Schneyder and various family members repeatedly

telephoned ADA Smith requesting Schneyder’s release, but

Smith took no action. When Schneyder’s father died on

February 28, 2005, her sister hired attorney Paul Conway, who

obtained a court order permitting Schneyder to attend her

father’s March 4, 2005 funeral. After obtaining the order, which

permitted Schneyder to attend only a few minutes of the funeral

in handcuffs, Conway learned that Judge Means had instructed

ADA Smith to notify him if the Overby case was continued.

Conway notified Judge Means of the continuance, and

Schneyder was promptly released on March 21, 2005, 54 days

after she was first detained and 48 days after the Overby case

was continued.

B. Plaintiff-Appellee Korvel Odd (No. 06-4287)

Korvel Odd’s experience was remarkably similar to that

of Nicole Schneyder. Odd was reluctant to testify in the murder

prosecution of Alvin Way, Jr. See Commonwealth v. Way, MC

No. 0403-5118. Odd had witnessed events immediately

preceding the murder, but when subpoenaed to testify at a

preliminary hearing, he failed to appear. Consequently,

Philadelphia ADA Thomas Malone sought a bench warrant for
 A “judge-only warrant” requires that the issuing judge 1

be informed if and when the individual named in the warrant is

arrested.

6

Odd’s arrest. The presiding judge in Way — Judge Marsha

Neifield of the Philadelphia Court of Common Pleas — issued

a “judge-only warrant” pursuant to which Odd was arrested on 1

November 17, 2004. Odd never had a bail hearing before Judge

Neifield, but at ADA Malone’s insistence, a trial commissioner

ordered Odd to remain in custody for Way’s preliminary hearing

on December 7, 2004.

On December 7, 2004, Odd was transported to the

courthouse, but ADA Malone never called him to testify. Judge

Neifield then dismissed the case against Way for lack of

evidence. Because Malone never informed Judge Neifield that

Odd had been arrested, she did not know that he remained

detained and took no action to release him. Consequently, Odd

was returned to prison.

Odd eventually requested assistance from the Defender

Association of Philadelphia, and attorney Glenn Gilman brought

Odd’s plight to Judge Neifield’s attention. “Furious,” Judge

Neifield released Odd after 58 days of incarceration on January

13, 2005, and she “demanded that [Malone] appear before her

to explain why . . . plaintiff had been forced to remain in jail.”

In addition to their case-specific allegations, Schneyder

and Odd further allege that, according to local custom and

practice, the sole responsibility for tracking and monitoring the
 To the extent that Schneyder appeals the dismissal of 2

her state law claims, we affirm the District Court’s dismissal of

those claims. Schneyder mentions the state law claims only in

a footnote in her opening brief, and consequently, we consider

any appeal regarding those claims to be waived. John Wyeth &

Bro. Ltd. v. CIGNA Int’l Corp., 119 F.3d 1070, 1076 n.6 (3d Cir.

1997).

7

status of detained material witnesses falls to the Philadelphia

District Attorney’s Office (DA’s Office) and the individual

ADAs.

C. The District Court Proceedings 

Schneyder and Odd sued the DA’s Office and the ADAs

under 42 U.S.C. § 1983, alleging that they were detained

without probable cause in violation of the Fourth and Fourteenth

Amendments. In Schneyder’s case, the District Court for the

Eastern District of Pennsylvania (DuBois, J.) dismissed the §

1983 claim against ADA Smith and the pendent state law claims

against Smith and the DA’s Office. The District Court held that

Smith was entitled to absolute prosecutorial immunity, and that

the Pennsylvania Tort Claims Act, 42 Pa.C.S. § 8541, barred the

state law claims against the DA’s Office. Schneyder then

withdrew her federal claim against the DA’s Office and filed the

present appeal to challenge the District Court’s immunity

holding.2

In Odd’s case, the District Court for the Eastern District

of Pennsylvania (Shapiro, J.) declined to dismiss the § 1983
8

claims against ADA Malone and the DA’s Office. The District

Court concluded that after Way was dismissed, “Malone was no

longer acting as an advocate of the state.” Malone filed an

interlocutory appeal to challenge the District Court’s holding

that he was not entitled to absolute prosecutorial immunity. See

In re Montgomery County, 215 F.3d 367, 373-74 (3d Cir. 2000).

II.

In light of Schneyder’s voluntary dismissal of her

remaining federal claim against the DA’s Office, we have

jurisdiction to review the District Court’s final order dismissing

all of Schneyder’s claims and granting Smith prosecutorial

immunity. 28 U.S.C. § 1291. We have jurisdiction over

Malone’s interlocutory appeal of the District Court’s denial of

prosecutorial immunity pursuant to the collateral order doctrine.

Montgomery County, 215 F.3d at 373-74; Kulwicki v. Dawson,

969 F.2d 1454, 1459 (3d Cir. 1992) (citing Cohen v. Beneficial

Indus. Loan Corp., 337 U.S. 541 (1949)).

We review de novo the District Court’s Rule 12(b)(6)

dismissal of Schneyder’s complaint based on absolute immunity.

Yarris, 465 F.3d at 134; Kulwicki, 969 F.2d at 1461. Likewise,

our review of the District Court’s denial of Malone’s motion to

dismiss based on prosecutorial immunity is plenary. Giuffre v.

Bissell, 31 F.3d 1241, 1251 (3d Cir. 1994). In both cases, we

apply the same standard as the District Court, accepting as true

the factual allegations in the complaint and drawing all

reasonable inferences in favor of Schneyder and Odd. Yarris,

465 F.3d at 134; Giuffre, 31 F.3d at 1251. We will affirm the

dismissal of Schneyder’s case only if it appears from her
9

complaint that she can prove no set of facts that would entitle

her to relief. Nami v. Fauver, 82 F.3d 63, 65 (3d Cir. 1996).

We will affirm the District Court’s refusal to dismiss Odd’s case

so long as his complaint states a claim upon which relief can be

granted. See FED. R. CIV. P. 12(b)(6).

In seeking to dismiss the suits against them, ADAs Smith

and Malone invoke prosecutorial immunity. More than a mere

defense to liability, prosecutorial immunity embodies the “right

not to stand trial,” Montgomery County, 215 F.3d at 373 (citing

Mitchell v. Forsyth, 472 U.S. 511, 525 (1985)), and is properly

raised in a Rule 12(b)(6) motion to dismiss. See, e.g., Kulwicki,

969 F.2d at 1461-62.

A prosecutor bears the “heavy burden” of establishing

entitlement to absolute immunity. Light v. Haws, 472 F.3d 74,

80-81 (3d Cir. 2007) (quoting Forsyth v. Kleindienst, 599 F.2d

1203, 1212 (3d Cir. 1979)). In light of the Supreme Court’s

“quite sparing” recognition of absolute immunity to § 1983

liability, we begin with the presumption that qualified rather

than absolute immunity is appropriate. Carter v. City of

Philadelphia, 181 F.3d 339, 355 (3d Cir. 1999) (citing Burns v

Reed, 500 U.S. 478, 486-87 (1991)).

To overcome this presumption, a prosecutor must show

that he or she was functioning as the state’s advocate when

performing the action(s) in question. Yarris, 465 F.3d at 136.

This inquiry focuses on “the nature of the function performed,

not the identity of the actor who performed it.” Light, 472 F.3d

at 78 (quoting Hughes v. Long, 242 F.3d 121, 125 (3d Cir.

2001)). Under this functional approach, a prosecutor enjoys
10

absolute immunity for actions performed in a judicial or “quasijudicial” capacity. Giuffre, 31 F.3d at 1251 (quoting Imbler v.

Pachtman, 424 U.S. 409, 430 (1976)); Rose v. Bartle, 871 F.2d

331, 346 (3d Cir. 1989). Thus, immunity attaches to actions

“intimately associated with the judicial phases of litigation,” but

not to administrative or investigatory actions unrelated to

initiating and conducting judicial proceedings. Giuffre, 31 F.3d

at 1251 (quoting Imbler, 424 U.S. at 430) (internal quotation

omitted); see also Rose, 871 F.2d at 346 (contrasting the

p r o s e c u t o r’s “ q u a si-ju d icia l” r o le f r o m h i s

“administrative/investigative” role).

Thus, the present appeal requires a “meticulous analysis”

of the ADAs’ actions, Light, 472 F.3d at 79, to determine

whether they were “quasi-judicial” and entitled to absolute

immunity, or “administrative or investigatory” and not so

entitled. Giuffre, 31 F.3d at 1251-52; Rose, 871 F.2d at 346.

The fact-intensive nature of this inquiry requires that we begin

by reviewing the circumstances that the Supreme Court has

interpreted in explaining the contours of prosecutorial immunity.

A. Supreme Court Jurisprudence

The Supreme Court first acknowledged the absolute

immunity of prosecutors to § 1983 suits in Imbler v. Pachtman,

424 U.S. 409, 420 (1976). Finding a common law tradition of

prosecutorial immunity and strong policy considerations that

supported extending immunity to the § 1983 context, id. at 421,

424, the Court defined the scope of prosecutorial immunity with

reference to the facts of the case. Id. at 430.
11

Deputy District Attorney Richard Pachtman successfully

prosecuted Paul Imbler for felony murder. Id. at 412. After

Imbler’s conviction and sentence, Pachtman discovered new

evidence that corroborated Imbler’s alibi and cast doubt on the

credibility of a key prosecution witness. Id. Pachtman informed

the governor of his discovery, id. at 412, and Imbler obtained a

writ of habeas corpus based primarily on the new evidence. Id.

at 414. After his exoneration and release, Imbler sued, alleging

that Pachtman used false testimony and suppressed material

evidence at Imbler’s murder trial. Id. at 415-16.

Accepting these allegations as true, the Supreme Court

affirmed the dismissal of Imbler’s complaint, holding that “in

initiating a prosecution and in presenting the State’s case, the

prosecutor is immune from a civil suit for damages under §

1983.” Id. at 431. The Court left open the question whether

absolute immunity would attach to “those aspects of the

prosecutor’s responsibility that cast him in the role of an

administrator or investigative officer rather than that of

advocate.” Id. at 430-31.

The Court answered this question in Burns v. Reed, 500

U.S. 478, 495-96 (1991). There, police officers suspected Cathy

Burns of shooting her two sons. Id. at 481. Believing that

Burns had multiple personalities, the police asked prosecutor

Reed if they could interrogate Burns under hypnosis. Id. at 482.

Reed approved. Id. Under hypnosis, Burns referred to her sons’

attacker as “Katie,” and also referred to herself by that name.

Id. Once the officers obtained Reed’s assurance that they had

probable cause, they arrested Burns. Id. Shortly thereafter,

Reed appeared at a hearing to obtain a search warrant for
12

Burns’s house during which he misled the judge into believing

that Burns had confessed to shooting her sons. Id. 482-83.

Based on this misconception, the judge issued the warrant. Id.

at 483. Before Burns’s trial began, the judge suppressed

Burns’s statements made under hypnosis. Id. As a result, Reed

dropped the charges, and Burns sued Reed. Id.

Evidencing the fact-based nature of the prosecutorial

immunity inquiry, the Court parsed Reed’s actions into two

categories: (1) appearing as a lawyer for the state in a probable

cause hearing to obtain a search warrant, and (2) providing legal

advice to the police. Id. at 487, 492. As to the former, Reed

enjoyed absolute immunity. Id. at 487. As to the latter,

however, the Court held: “[w]e do not believe . . . that advising

the police in the investigative phase of a criminal case . . .

qualifie[d] [Reed] for absolute immunity.” Id. at 493.

Extending immunity to this activity would eviscerate the rule

that a prosecutor’s administrative and investigatory acts are not

absolutely immune because “[a]lmost any action by a

prosecutor, including his or her direct participation in purely

investigative activity, could be said to be in some way related to

the ultimate decision whether to prosecute.” Id. at 495.

The Court further justified its decision with a review of

the relevant policy considerations, finding no common law

tradition that would have accorded immunity in this situation, no

risk of vexatious litigation if immunity was withheld, and no

adequate check to prevent abuse by prosecutors for “out-ofcourt activities . . . that occur prior to the initiation of a

prosecution.” Id. at 493-96.
13

Following its approach in Reed, the Court in Buckley v.

Fitzsimmons carefully scrutinized prosecutor Fitzsimmons’s

actions in obtaining a murder indictment of Buckley. 509 U.S.

259, 261, 270 (1993). After a third party confessed to the

murder, Buckley sued Fitzsimmons, claiming that Fitzsimmons

fabricated evidence to obtain the indictment and made false

statements about Buckley in a press conference. Id. at 264. The

Court held that Fitzsimmons was not entitled to absolute

immunity for either act. Id. at 275-77. As to the former, the

Court held that at the time Fitzsimmons allegedly fabricated the

evidence, he had no probable cause to arrest Buckley, no

indictment had issued, and no judicial proceedings had begun.

Id. at 275-76. Thus, Fitzsimmons’s actions were purely

investigatory and not entitled to absolute immunity. Id. As to

the latter, the Court noted that at common law, prosecutors were

absolutely immune from defamation liability for in-court

statements but received only qualified immunity for out-of-court

statements. Id. at 277. Accordingly, Fitzsimmons was not

entitled to absolute immunity for his public statements falsely

implicating Buckley. Id.

Finally, in Kalina v. Fletcher, the Court again parsed the

actions of prosecutor Kalina to decide whether she was entitled

to absolute immunity. 522 U.S. 118, 120 (1997). Kalina filed

three documents to initiate a burglary prosecution of Fletcher,

who allegedly stole computer equipment from a school. Id. at

120-21. The first two documents — an information and a

motion for an arrest warrant — were unsworn. Id. at 121. The

third — a “Certification for Determination of Probable Cause”

— was a sworn document containing two false statements. Id.

As Fletcher was arrested and jailed before the charges against
14

him were dismissed, he sued Kalina based on her misstatements

in the Certification, and Kalina asserted absolute immunity. Id.

 The Court held that Kalina’s acts of (1) filing the information

and (2) filing the motion for an arrest warrant were protected by

absolute immunity, id. at 129, but her act of (3) “personally

attesting to the truth of the averment” in the Certification was

non-prosecutorial because it could have been performed by any

competent witness. Id. at 129-30.

It is tempting to derive bright-line rules from the

aforementioned cases. Cf. ERWIN CHEMERINSKY, FEDERAL

JURISDICTION525-26 (4th ed. 2003) (recognizing the uncertainty

surrounding the precise scope of prosecutorial immunity but

suggesting that in-court activities are generally protected while

out-of-court activities, and activities traditionally performed by

the police, are not); see also Buckley, 509 U.S. at 275-76

(indicating that a prosecutor’s post-indictment actions are

generally protected by absolute immunity while pre-indictment

actions are not). To preserve the fact-based nature of the

inquiry, however, the Supreme Court has cautioned against such

categorical reasoning. See, e.g., Imbler, 424 U.S. at 431 n.33

(prosecutorial immunity extends to “actions preliminary to the

initiation of a prosecution and actions apart from the

courtroom,” but “[a]t some point, and with respect to some

decisions, the prosecutor no doubt functions as an administrator”

and loses absolute immunity).

B. Third Circuit Jurisprudence

Following the Supreme Court’s guidance, our

prosecutorial immunity analysis focuses on the unique facts of
15

each case and requires careful dissection of the prosecutor’s

actions. See, e.g., Yarris, 465 F.3d at 136; Kulwicki, 969 F.2d

at 1463. We have rejected bright-line rules that would treat the

timing of the prosecutor’s action (e.g. pre- or post- indictment),

or its location (i.e. in- or out-of-court), as dispositive. See Rose,

871 F.2d at 346; Kulwicki, 969 F.2d at 1463. We have found

these considerations relevant, however, to the extent that they

bear upon the nature of the function the prosecutor is

performing. See, e.g., Yarris, 465 F.3d at 138-39; Kulwicki, 969

F.2d at 1467.

In Yarris, we held that where a prosecutor’s role as

advocate has not yet begun, or where it has concluded, absolute

immunity does not attach. 465 F.3d at 137 (quoting Spurlock v.

Thompson, 330 F.3d 791, 799 (6th Cir. 2003)). During different

stages of Yarris’s case, prosecutors allegedly withheld and

destroyed exculpatory evidence, fabricated a false confession,

and obtained a false statement from a jailhouse informant. Id.

at 136. Because we could not discern from Yarris’s complaint

“whether the fabrication of Yarris’s confession occurred during

the preliminary investigation of an unsolved crime” or “after the

[prosecutors] decided to indict Yarris and had begun working as

the state’s advocates,” we declined to extend absolute immunity

to this act. Id. at 138-39. Similarly, we refused to extend

absolute immunity to the prosecutors’ act of withholding

exculpatory evidence after Yarris’s conviction and sentence

because we had no proof that the prosecutors remained involved

as the state’s advocates in “adversarial post-conviction

proceedings.” Id. at 137. Absent such proof, we concluded, the

prosecutors were “acting merely as . . . custodian[s] of

evidence” and could claim only qualified immunity. Id. at 138.
 We again caution that this is not a bright-line rule. 3

Depending on the circumstances of each case, some preindictment acts — like obtaining, reviewing, and evaluating

evidence in preparation for prosecution — and some post-trial

acts — like post-conviction appeals — may be advocative and

entitle a prosecutor to absolute immunity. Kulwicki, 969 F.2d at

1465; Yarris, 465 F.3d at 137; compare Schrob v. Catterson,

948 F.2d 1402, 1411 (3d Cir. 1991) (“A prosecutor’s alleged

failure to properly investigate before initiating a prosecution is

also conduct within the scope of absolute immunity.”), with

Buckley, 509 U.S. at 276 n.7 (In some situations, in “obtaining,

reviewing, and evaluating” the evidence, “the prosecutor no

doubt functions as an administrator rather than as an officer of

the court.”).

16

By contrast, with respect to the false statement prosecutors

obtained from the jailhouse informant, we held that because

“Yarris had already been charged,” the prosecutors were “acting

as advocates rather than investigators” and were entitled to

absolute immunity. Id. at 139. Although by no means

dispositive, Yarris teaches that the period during which

prosecutors are most likely functioning in a “quasi-judicial”

capacity is the time between indictment and dismissal, acquittal,

or conviction.3

We have also recognized that, presumably by virtue of

their egregiousness, some acts fall wholly outside the

prosecutorial role no matter when or where they are committed.

See Kulwicki, 969 F.2d at 1463 (citing Rose, 871 F.2d at 346).

For example, prosecutors never enjoy absolute immunity for
17

deliberately destroying exculpatory evidence. See Yarris, 465

F.3d at 136-37.

Likewise, some acts are so far removed from the “judicial

phases of litigation” that we do not hesitate to label them

administrative. In several cases, for example, we have

considered the immunity due to prosecutors who mishandled or

improperly withheld property confiscated from criminal

defendants. In Giuffre, we held that where the prosecutor

facilitated the sale of plaintiff’s property, which plaintiff

forfeited as part of an immunity from prosecution agreement, he

performed a strictly administrative function and was not entitled

to absolute immunity. 31 F.3d at 1253. Similarly, in Schrob, we

held that a prosecutor’s “management of and negotiations

concerning return of the [seized] property [was] not directly

related to the judicial process.” 948 F.2d 1402, 1419-20 (3d Cir.

1991). Because the prosecutor was instead “acting in an

administrative role,” we declined to extend absolute immunity.

Id.

Perhaps most pertinent to the instant appeals, in Reitz v.

County of Bucks, we considered the immunity due to a

prosecutor who delayed in returning seized property in violation

of a court order. 125 F.3d 139, 141 (3d Cir. 1997). In Reitz, the

prosecuting authority seized property purportedly belonging to

the defendant who was charged with possessing and delivering

marijuana. Id. The seizure was conducted pursuant to a state

law that authorized the appropriation of property that either

facilitated a criminal act or was obtained with the proceeds of a

criminal act. Id.
18

The defendant’s relatives obtained a court order for the

return of certain property that did not belong to the defendant.

Id. at 141-42. Despite the order, the prosecuting authority failed

to return the property for nearly a year. Id. We held that neither

absolute nor qualified immunity protected the prosecutor from

liability for this delay because “the prosecutor [had] the

obligation to duly comply with a judicial order” and to “avoid

violating the rights of others.” Id. at 147.

III.

With the foregoing principles in mind, we turn to the

merits of the instant appeals.

A. Nicole Schneyder

We address first the more difficult case of Nicole

Schneyder. We begin by carefully defining the act (or rather

omission) that gave rise to Schneyder’s suit. See, e.g., Yarris,

465 F.3d at 136; Kulwicki, 969 F.2d at 1463; Schrob, 948 F.2d

at 1409.

Schneyder acknowledges that ADA Smith was acting in

her prosecutorial capacity when she secured the material witness

warrant for Schneyder’s arrest. See Betts v. Richard, 726 F.2d

79, 81 (2d Cir. 1981); Daniels v. Keiser, 586 F.2d 64, 68 (7th

Cir. 1978). Schneyder alleges, however, that Smith’s failure to

notify Judge Means (per his order and per local custom) that the

Overby case had been continued was an administrative

oversight. Once Smith performed this clerical duty, Schneyder
19

concedes, Smith was free to advocate any position she wanted

with regard to the propriety of Schneyder’s release.

Smith, on the other hand, characterizes her act as failing

“to seek Ms. Schneyder’s release from custody when the Overby

case was continued.” This “act of prosecutorial discretion,”

Smith argues, cannot be carved up into its advocative and

administrative components. As Smith’s counsel contended at

oral argument, even a plainly prosecutorial act like filing a bill

of information involves predicate administrative acts that any

clerk could perform, such as printing and binding the

documents. In other words, the fact that some administrative

acts necessarily accompany nearly all prosecutorial acts should

not strip prosecutors of immunity.

When viewed from Smith’s suggested level of generality,

her act might reasonably be characterized as an out-of-court

“effort to control the presentation of [a] witness’ testimony,” an

act the Supreme Court viewed as advocative on the facts of at

least one case. See Imbler, 424 U.S. at 431 n.32. In Imbler,

prosecutor Pachtman asked the police to refrain from

questioning his primary identification witness about an unrelated

bad-check charge until the witness testified against Imbler. Id.

at 411, 431 n.32. Imbler claimed this request was “investigative

activity because it was a direction to police officers engaged in

the investigation of a crime.” Id. at 431 n.32. The Court

disagreed and concluded that Pachtman was performing “a task

fairly within his function as an advocate.” Id.

We do not believe this parenthetical conclusion was

intended as a categorical rule. As we noted previously, the
20

Supreme Court has repeatedly instructed that immunity

determinations cannot be made without reference to the unique

facts of each case, and we find the facts of Schneyder’s case

distinguishable.

Here, ADA Smith’s act occurred during a prolonged and

clearly delimited period of judicial inactivity, whereas

Pachtman’s request that the police refrain from questioning his

witness occurred “during a courtroom recess” from the trial in

which the witness was to testify. Id. Pachtman’s efforts to

control the presentation of his witness’s testimony were thus

more “intimately associated with the judicial phase of the

criminal process” than Smith’s. Id. at 430. In addition, Smith

disobeyed the explicit instructions of the court when she failed

to notify Judge Means that the proceedings in which Schneyder

was to testify had been delayed, whereas Pachtman was under

no court-imposed obligation to permit the police to question his

witness. As a result, Pachtman’s act involved more discretion

than Smith’s. Thus, even if we viewed Smith’s act at her

suggested level of generality (which, as we explain below,

would be inappropriate), we would find her act less worthy of

absolute immunity than Pachtman’s.

The foregoing discussion is largely academic because for

the distinction between advocative and administrative acts to be

useful, we must narrowly define the act at issue. After all,

“[a]lmost any action by a prosecutor, including his or her direct

participation in purely investigative activity, could be said to be

in some way related to the ultimate decision whether to

prosecute.” Burns, 500 U.S. at 495. Similarly, almost any

action by a prosecutor, including the dispatch of purely
 In her briefs, Schneyder characterizes Smith’s act as, 4

inter alia, failing to: “notify authorities that plaintiff . . .

remained in custody,” “notify authorities that [Smith] ha[d] a

material witness in custody,” “notify authorities that plaintiff

would no longer be needed as a witness,” and “notify the

authorities that the underlying criminal case had been continued

and that plaintiff would not be needed as a witness for another

four months.”

 In her brief, Smith characterizes her act as, inter alia,

5

neglecting to: “secure Ms. Schneyder’s immediate release from

custody,” “seek Ms. Schneyder’s release from custody,”

“petition[] for the withdrawal of [the material witness] warrant,”

and “advocat[e] for the release of [a] witness[].”

21

administrative tasks, can be said to be in some way related to

more central prosecutorial functions. See Guzman-Rivera v.

Rivera-Cruz, 55 F.3d 26, 29 (1st Cir. 1995) (“The prosecutorial

nature of an act does not spread backwards like an inkblot,

immunizing everything it touches.”). It was Smith’s burden to

establish her entitlement to absolute immunity, Light, 472 F.3d

at 80-81, and in light of our preference for a “meticulous

analysis” of the prosecutor’s actions, id. at 79, we believe

Schneyder’s characterization of Smith’s act is more appropriate.

Indeed, we find that the distinction between informing the court

about the status of a detained witness (Schneyder’s

characterization ) and affirmatively seeking that witness’s 4

release (Smith’s characterization ) is a principled one. 5
 We leave to the District Court on remand the question 6

whether Smith is entitled to qualified immunity. See Imbler,

424 U.S. at 430-31; Carter, 181 F.3d at 356.

22

Having adopted Schneyder’s characterization, it follows

that Smith is not entitled to absolute prosecutorial immunity.6

We find that Smith’s obligation to inform Judge Means that

Overby had been continued — and that Schneyder remained

incarcerated — was primarily administrative, especially in light

of Judge Means’s explicit order that he be advised of any delay

in the Overby proceedings. Smith’s duty to advise Judge Means

of these facts required no advocacy on her part.

Our case law bolsters this conclusion. In Yarris, for

example, we considered the timing of the prosecutor’s actions

to be relevant in determining their nature, observing that preindictment and post-conviction actions are more likely

administrative than advocative. See Yarris, 465 F.3d at 137.

Here, although an indictment had issued, the Overby trial had

been continued from February 2, 2005, to May 25, 2005, a

period of nearly four months. Smith’s failure to act occurred

during this period of judicial inactivity. Although the Overby

trial was not finally terminated, it was suspended for a clearly

delimited period of time, casting serious doubt on Smith’s

claims that her actions during this period remained “intimately

associated with the judicial phase” of the litigation. Imbler, 424

U.S. at 430.

Additional facts alleged in Schneyder’s complaint further

support our conclusion that Smith’s omission was not “quasi-
23

judicial.” First, Schneyder alleges that Judge Means twice

instructed Smith to notify him if the Overby case was continued

so that he could release Schneyder. We can imagine few

circumstances under which we would consider the act of

disobeying a court order or directive to be advocative, and we

are loath to grant a prosecutor absolute immunity for such

disobedience. See Reitz, 125 F.3d at 147; White by Swafford v.

Gerbitz, 860 F.2d 661, 665 n.4 (6th Cir. 1988). But see Webster

v. Gibson, 913 F.2d 510, 513-14 (8th Cir. 1990); Ybarra v.

Reno, 723 F.2d 675, 679 (9th Cir. 1984) (prosecutor’s

dereliction of a duty that “arise[s] from his role as an officer of

the court . . . cannot be construed as only administrative or

investigative”).

Second, Schneyder alleges that it was the custom and

practice in Philadelphia County to assign sole responsibility for

tracking and monitoring detained witnesses to the District

Attorney’s Office and to individual prosecutors. This custom is

consistent with federal criminal practice:

Supervising Detention Pending Trial. (1) In

general. To eliminate unnecessary detention, the

court must supervise the detention within the

district . . . of any persons held as material

witnesses. (2) Reports. An attorney for the

government must report biweekly to the court,

listing each material witness held in custody for

more than 10 days pending indictment,

arraignment, or trial. For each material witness

listed in the report, an attorney for the government

must state why the witness should not be released
 The second part of the provision, of course, is plainly 7

advocative, requiring prosecutors who wish to keep witnesses

detained to “state why the witness[es] should not be released.”

Here, as discussed, Schneyder does not contend that Smith was

obligated to undertake this sort of advocacy. She argues only

that Smith was obligated to inform Judge Means that Overby

had been continued.

24

with or without a deposition being taken under

Rule 15(a).

FED. R. CRIM. P. 46(h). This rule, like Judge Means’s order,

obligates the prosecutor to keep the court informed of the status

of detained material witnesses. The gist of the provision — the

biweekly reporting requirement — is plainly administrative.

The prosecutor is required to “list” all detained witnesses, not to

advocate any particular action with regard to those witnesses.7

Moreover, Rule 46(h), which is intended to “eliminate

unnecessary detention,” suggests that 10 days is the upper limit

for holding material witnesses without notice to the court and a

written justification for “why the witness should not be

released.” Here, Smith was held for over 50 days without notice

to the court or a justification of any kind from Smith.

In short, it is a judicial function — the function of the

courts — not a prosecutorial function, to determine whom to

incarcerate and for what length of time. On the particular facts

of this case, we conclude that once Overby was continued,
 Odd also faults Malone for “failing to take any steps to 8

have plaintiff released from custody” and neglecting to “take the

necessary steps to put into motion the process to release

plaintiff.” The record shows that the only step necessary to

effectuate Odd’s release was for Malone to notify Judge

Neifield of his incarceration. As we explain, this step required

no advocacy on Malone’s part.

25

Smith’s failure to notify the court about Schneyder’s custodial

status was an administrative oversight. Accordingly, we hold

that Smith was not entitled to absolute prosecutorial immunity.

B. Korvel Odd

We turn now to the easier case of Korvel Odd. As with

Nicole Schneyder, we begin by defining the act in question.

See, e.g., Yarris, 465 F.3d at 136; Kulwicki, 969 F.2d at 1463;

Schrob, 948 F.2d at 1409. According to Odd, ADA Malone

failed to notify the relevant authorities that Odd remained

incarcerated despite the dismissal of the Way case in which Odd

was to testify. Malone, by contrast, characterizes his act as 8

“omitting to see to the release” of Odd after the Way prosecution

was dismissed. For the reasons discussed previously, we accept

Odd’s characterization of Malone’s act.

Odd’s case presents a relatively clear example of a

situation in which the prosecutor’s role as an advocate for the

state had concluded. Yarris, 465 F.3d at 137; see also Ybarra v.

Reno, 723 F.2d 675, 679 (9th Cir. 1984) (“In acting either to

preserve or release evidence, the primary [immunity]
26

consideration, viewed objectively, is whether the prosecutor

needs the evidence to prosecute.”) (emphasis added). Whereas

the case in which Schneyder was to testify was merely

continued, the case in which Odd was to testify was dismissed.

As the Court of Appeals for the Second Circuit has

stated:

Keeping a person in state custody after the

termination of all charges against him has nothing

to do with conducting a prosecution for the state.

Since the handling of a prisoner after the

complete conclusion of all criminal charges is not

a prosecutorial task but rather an administrative

one, the district attorney defendants are entitled

only to the protection of qualified immunity for

any involvement in [plaintiff’s] seemingly

delayed transfer back into federal custody after

the final dismissal of the state charges against

him.

Pinaud v. County of Suffolk, 52 F.3d 1139, 1151 (2d Cir. 1995)

(emphasis in original). Because we agree with the Second

Circuit’s reasoning, it necessarily follows that keeping a thirdparty witness in state custody after the termination of the

proceeding in which he was to testify has nothing to do with

conducting a prosecution for the state. See Gerbitz, 860 F.2d at

665 n.4 (stating in dicta that neither absolute nor qualified

immunity would protect a prosecutor who “failed to act timely

in securing [a material witness’s] release after being ordered by

the court” to do so). Instead, this is an administrative oversight
27

by the prosecutor that does not warrant absolute immunity. See

Imbler, 424 U.S. at 430-31.

An analogy to our property seizure cases is illustrative.

We have concluded that where a court determined that seized

property was not related to the criminal defendant’s drug

activities, the prosecutor’s delay in returning that property in

violation of the court’s order was “incomprehensible,” so the

prosecutor was not entitled to absolute immunity. Reitz, 125

F.3d at 147. Here, when Judge Neifield dismissed the Way case,

Odd’s testimony, like the property in Reitz, was no longer

relevant to an ongoing prosecution. Nevertheless, in derogation

of the terms of the “judge-only” warrant, ADA Malone failed to

inform Judge Neifield that Odd was detained. If a prosecutor is

not entitled to absolute immunity for improperly retaining a

chattel, a fortiori he is not entitled to absolute immunity for

improperly retaining a person.

The fact that the Way prosecution was terminated is also

critical because it undermines Malone’s suggestion that he

would have had to engage in advocacy to secure Odd’s release.

Indeed, once Judge Neifield discovered that Odd remained

incarcerated, she was “furious” and immediately released him

without hearing any “advocacy” from anyone. The only act

necessary to secure Odd’s release was notifying Judge Neifield

that he remained in jail. Malone’s failure to perform this simple

administrative act caused Odd’s unnecessary detention.

In short, the principal distinction between this case and

Nicole Schneyder’s is that here, the case in which Odd was to

testify was terminated instead of continued. As we have
28

explained, this distinction cuts in Odd’s favor. Accordingly,

having concluded that ADA Smith was not entitled to absolute

prosecutorial immunity, we readily conclude that ADA Malone

was not entitled to absolute prosecutorial immunity.

IV.

In addition to the administrative nature of the

prosecutors’ actions, we note that the policy considerations

underlying prosecutorial immunity counsel against recognizing

absolute immunity in these cases.

To decide whether to extend absolute immunity under

§ 1983, the Supreme Court considers whether: (1) there is a

common law tradition of according immunity in similar

situations; (2) denying immunity would subject the prosecutor

to the chilling influence of vexatious lawsuits; and (3) there

exist adequate checks on prosecutorial abuse other than

individual suits against the prosecutor. See Imbler, 424 U.S. at

421-29; Burns, 500 U.S. at 492-96; Kulwicki, 969 F.2d at 1463.

Here, neither the District Court nor the parties identify a

common law tradition of extending absolute immunity to a

prosecutor for failing to notify the court of the status of a

detained witness. Indeed, as Justice White observed, “[t]here

was no absolute immunity at common law for prosecutors other

than absolute immunity from suits for malicious prosecution and

defamation.” Imbler, 424 U.S. at 441 (White, J., concurring).

Plaintiffs’ complaints cannot be fairly analogized to either of

these actions because Plaintiffs were neither prosecuted nor

defamed. Both were unindicted third-party witnesses.
29

Second, it is unlikely that denying absolute immunity in

these cases would interfere with the prosecutors’ independent

decisionmaking by exposing them to vexatious litigation.

Accepting Plaintiffs’ allegations as true, as we must, the ADAs

had no decisions to make. ADA Smith was required by court

order (and perhaps by local custom) to notify Judge Means that

Overby was continued, and ADA Malone was required by the

judge-only warrant (and perhaps by local custom) to notify

Judge Neifield that Odd had been detained. After the

prosecutors performed these ministerial tasks, it was the judges’

decision whether to release Plaintiffs.

We also note that these cases differ significantly from

most cases involving prosecutorial immunity. Here, unindicted

third-party witnesses, not criminal defendants, are suing the

ADAs. Although one can imagine the flood of litigation that

would ensue if every defendant who thought he had been

wronged by a prosecutor could sue, a similar result is not likely

to follow from permitting detained witnesses to sue prosecutors.

Furthermore, denying the ADAs absolute immunity does not

mean they are without protection from vexatious suits. Indeed,

they may still be entitled to qualified immunity if their actions

were objectively reasonable in light of the constitutional rights

affected. Carter, 181 F.3d at 356.

Finally, we observe that by virtue of their status as thirdparty witnesses, Plaintiffs are not entitled to the protections

available to criminal defendants, including the appellate process.

Indeed, the failure of the ADAs to notify anyone of Plaintiffs’

status assured that not even the warrant-issuing judges would

review the propriety of their continued detention, thus short-
30

circuiting the “crucible of the judicial process.” Burns, 500 U.S.

at 496. These policy considerations further support our holding

that neither Smith nor Malone is entitled to absolute immunity.

V.

In sum, we conclude that both Smith and Malone failed

to perform a fundamentally administrative task, viz., notifying

the warrant-issuing judges that Schneyder and Odd remained

incarcerated after it was clear that their testimony would not be

needed for quite some time, if ever. We also find that the

policies underlying the recognition of prosecutorial immunity do

not apply with the same force in these cases because the

aggrieved persons are unindicted third-party witnesses rather

than criminal defendants.

For the foregoing reasons, we hold that both Schneyder

and Odd have stated § 1983 claims against ADAs Smith and

Malone. Accordingly, we reverse the District Court’s dismissal

of Schneyder’s claim against Smith, affirm the District Court’s

denial of Malone’s motion to dismiss Odd’s claim, and remand

both matters for further proceedings consistent with this

opinion.