Opinion ID: 167080
Heading Depth: 2
Heading Rank: 2

Heading: Reliance on Statute

Text: 14 Defendants claim the district court erred in denying their motion for summary judgment on qualified immunity because Defendants' reliance on Utah Code Ann. §§ 62A-4a-202.1 and -202.2 made their conduct objectively reasonable. A denial of qualified immunity is immediately appealable if the district court's decision turns on an issue of law. Mitchell, 472 U.S. at 530, 105 S.Ct. 2806. When there are no relevant historical facts in dispute, the objective reasonableness of an official's actions is a legal question. Roska I, 328 F.3d at 1251. Here, the district court determined no relevant material facts are in dispute, and the parties do not contest this conclusion. Thus, the district court's denial of summary judgment is properly before this court on interlocutory appeal. We review a district court's denial of summary judgment based on qualified immunity de novo. Perez v. Ellington, 421 F.3d 1128, 1131 (10th Cir.2005). 15 When a defendant raises a claim of qualified immunity, the burden shifts to the plaintiff to show the defendant is not entitled to immunity. Medina v. Cram, 252 F.3d 1124, 1128 (10th Cir.2001). To overcome a qualified immunity defense, a plaintiff must first establish a violation of a constitutional or statutory right and then show that the right was clearly established. Garramone v. Romo, 94 F.3d 1446, 1449 (10th Cir.1996). Plaintiffs have already met this burden. In Roska I, this court held that Defendants' removal of Rusty without a warrant or pre-deprivation hearing deprived Plaintiffs of their clearly established constitutional right to maintain a family relationship. 328 F.3d at 1245-46, 1250. 16 Usually, if the law is clearly established at the time of defendant's conduct, a qualified immunity defense will fail. Harlow v. Fitzgerald, 457 U.S. 800, 818-19, 102 S.Ct. 2727, 73 L.Ed.2d 396 (1982). Nevertheless, if the official pleading the defense claims extraordinary circumstances and can prove that he neither knew nor should have known of the relevant legal standard, the defense should be sustained. Id. at 819, 102 S.Ct. 2727. Reliance on a state statute is one extraordinary circumstance which may render an official's conduct objectively reasonable. Roska I, 328 F.3d at 1251-52. Reliance on a statute does not, however, make an official's conduct per se reasonable. Id. at 1252. Rather, it is one factor which militates in favor of the conclusion that a reasonable official would find that conduct constitutional. Id. (quotation omitted). Relevant factors in determining whether reliance on a statute rendered an official's conduct objectively reasonable include: (1) the degree of specificity with which the statute authorized the conduct; (2) whether the official in fact complied with the statute; (3) whether the statute has fallen into desuetude; and (4) whether the official could have reasonably concluded the statute was constitutional. Id. at 1253. Defendants bear the burden of proving their conduct was objectively reasonable in light of a state statute. Id. at 1251. 17 Utah Code Ann. § 62A-4a-202.1 (1998) 4 authorized DCFS to take a child into protective custody without obtaining a warrant if: (1) a caseworker had substantial cause to believe any of the factors in Utah Code Ann. § 78-3a-301 existed, and (2) the caseworker provided the child's parents or child with services that would eliminate the need for removal, if those services were reasonably available and consistent with the child's safety and welfare. Utah Code Ann. § 62A-4a-202.2 provided for post-deprivation procedures that had to be in place before DCFS could remove a child without a warrant pursuant to Utah Code Ann. § 62A-4a-202.1. The parties agree that these statutory provisions had not fallen into desuetude at the time of Defendants' actions. 18 Further, Defendants could have reasonably concluded the statute was constitutional. When a legislature has enacted a statute, officials are ordinarily entitled to rely on the assumption that the [legislature has] considered the views of legal counsel and concluded that the [statute] is a valid and constitutional exercise of authority. Grossman v. City of Portland, 33 F.3d 1200, 1209 (9th Cir.1994). When a statute authorizes conduct that patently violates the Constitution, however, officials are not entitled to turn a blind eye to its obvious unconstitutionality and then claim immunity based on the statute. Id. 19 The statute in this case was not patently unconstitutional. We recognize that there are some governmental interests which, when weighed against a parent's liberty interest in maintaining a family relationship, justify postponing due process. Spielman v. Hildebrand, 873 F.2d 1377, 1385 (10th Cir.1989). The safety and welfare of children is one such governmental interest. Malik v. Arapahoe County Dep't of Soc. Servs., 191 F.3d 1306, 1315 (10th Cir.1999). Although there must be extraordinary circumstances to justify postponing due process, Defendants were entitled to rely on the assumption that the Utah legislature took these requirements into account when drafting the statute. Specifically, the statute required both danger to the child and reasonable efforts to eliminate the need for removal before a child could be placed in protective custody without a warrant. Utah Code Ann. § 62A-4a-202.1. Moreover, the statute required certain post-deprivation procedures to be in place before a child was removed. Utah Code Ann. § 62A-4a-202.2. It was thus reasonable for Defendants to conclude that the statute was a constitutional balancing of the government's interest in protecting children with a parent's constitutional right to maintain a family relationship. See Malachowski v. City of Keene, 787 F.2d 704, 714 (1st Cir.1986) (holding officer could rely on state statute allowing him to take child into custody when, without immediate action, her welfare would be in danger because officer could have reasonably concluded statute was constitutional). Additionally, the child protection statute that existed at the time of Rusty's removal was enacted in 1994 in response to a federal civil rights lawsuit against DCFS and its constitutionality had not been challenged. Therefore, it was reasonable for Defendants to conclude Utah Code Ann. §§ 62A-4a-202.1 and -202.2 were constitutional. 20 Nevertheless, Defendants failed to actually comply with the statute on which they rely. Utah Code Ann. § 62A-4a-202.1(2)(b) provided: 21 If possible, consistent with the child's safety and welfare, before taking a child into protective custody, the [caseworker] shall also determine whether there are services reasonably available to the worker which, if provided to the minor's parent or to the minor, would eliminate the need to remove the minor. . . . In determining whether services are reasonably available, and in making reasonable efforts to provide those services, the child's health, safety, and welfare shall be the worker's paramount concern. 22 This provision was not a mere technicality. Rather, it recognized the important statutory presumption that it is in the best interest and welfare of a child to be raised under the care and supervision of his natural parents. Utah Code Ann. § 62A-4a-201(1). Moreover, it sought to achieve a balancing of the government's interest in protecting children with the constitutional right of parents to conceive and raise their children. Id. 5 23 Defendants concede they did not provide preventive services to the Roskas. They argue, however, that they complied with the statute because they considered preventive services and determined they were not appropriate. Defendants offer several reasons why their failure to provide services was reasonable. 24 Defendants first argue that because Rusty's parents failed to follow through with services in the past, specifically the treatment plan developed at the UCLA Pain Clinic, it was reasonable to believe they would not comply in the future. The record, however, is devoid of any indication that DCFS services were offered to the Roskas in the past. 6 Even if the Roskas failed to follow through with the UCLA treatment plan, it does not necessarily follow that they would therefore reject DCFS services. Although both the UCLA treatment plan and DCFS preventive services are voluntary, failure to comply with DCFS services carries greater consequences because it could result in removal of Rusty from the home and possibly loss of permanent custody. Moreover, Defendants had information from Dr. Gooch that Mrs. Roska was doing a better job of keeping her appointments. This statement undermines Defendants' contention that they reasonably believed Rusty's parents would not comply with DCFS services. 25 Defendants next argue that because the cause of Rusty's ailments was unknown, it would have been difficult to devise appropriate services. Defendants, however, came to this conclusion without talking to Dr. Gooch, Rusty's main treating physician, about his condition. Further, the treatment plan developed for Rusty at the UCLA Pain Clinic had proven effective in the past. Therefore, the record does not support Defendants' argument. 26 Finally, Defendants claim that allegations of Rusty's parents contributing to or facilitating his illness made it unlikely that preventive services would be successful. They argue that if Mrs. Roska was suffering from MSBP, she may have incentive to prove Rusty really was sick when confronted with allegations that she was causing his illness. Three prior investigations into allegations of MSBP, by DCFS, Primary Children's Medical Center, and Dr. Bursch, however, revealed that the charges could not be substantiated. DCFS therefore should have made services available to prevent the need for immediate removal and then, if the Roskas rejected or failed to comply with them, or if DCFS's further supervision revealed evidence of MSBP, DCFS could have removed Rusty at that time. 27 In addition to the explanations offered by Defendants, the dissent argues it was reasonable to remove Rusty without providing preventive services because of the serious nature of the alleged abuse. The dissent notes that MSBP is `one of the more dangerous forms of abuse' with a `substantial risk of morbidity and even mortality.' The dissent's suggestion that Rusty's health and safety were in immediate danger because of possible MSBP, however, is belied by our previous opinion in this case. This court previously held that no emergency circumstances existed to justify removal without due process because Rusty's health and safety were not in immediate danger. Roska I, 328 F.3d at 1250 (emphasis added). 7 28 There may be circumstances in which a child is in such immediate danger that preventive services are not appropriate. The statute allowed for that possibility by stressing that in determining whether services are reasonably available, the child's health, safety, and welfare are of paramount concern. Utah Code Ann. § 62A-4a-202.1(2)(b); see also Utah Code Ann. § 62A-4a-202(1)(a). In this case, however, Rusty's health and safety were not in immediate danger. Moreover, Defendants had information from Dr. Gooch suggesting that removal might harm Rusty more than keeping him at home. In light of these circumstances, Defendants' failure to provide the Roskas with preventive services to eliminate the need for removal was not reasonable. Therefore, Defendants did not comply with the statute. 29 The dissent argues that in concluding Defendants' actions were not reasonable, we have disregarded reports from school employees and the concerns of three other physicians, and instead relied almost exclusively on Dr. Gooch's statement that removal would harm Rusty. While the statements of Dr. Joseph, Dr. Evans, and Dr. Bursch are relevant to our determination of the reasonableness of Defendants' actions, they are not as compelling as the dissent suggests. Unlike Dr. Gooch, these physicians were not in regular contact with Rusty and two of them had not treated Rusty in at least six months. Moreover, these physicians merely suspected MSBP and their suspicions had not been confirmed after substantial efforts on the part of DCFS, Primary Children's Medical Center, and Dr. Bursch. In fact, Dr. Bursch, an expert in MSBP, could not document any behavior that led to the conclusion that MSBP was being committed after watching the Roskas very closely during the time they spent at the UCLA Pain Clinic. Therefore, in addition to contacting these physicians, Defendants should have discussed Rusty's condition and the possibility of preventive services with the person most likely to know about his current health, his main treating physician. 8 Although Defendants should have talked to Dr. Gooch before they made the decision to remove Rusty, at the very least they should have done so when they had Dr. Gooch on the telephone at the Roskas' home. 9 30 The dissent disregards Dr. Gooch's opinion that removal could harm Rusty based on its unsupported suggestion that Dr. Gooch was being manipulated by Mrs. Roska. The dissent notes that the objective [of a parent with MSBP] is to retain a doctor that will buy-in to the facade. Because Dr. Gooch disagreed with removal, the dissent suggests she must have bought into Mrs. Roska's facade. The dissent's approach of discounting the opinion of any doctor who does not support removal when MSBP is alleged, however, would render removal per se reasonable in all case involving allegations of MSBP. DCFS could use its suspicions of MSBP, even unsubstantiated ones as in this case, to ignore the opinion of any doctor who believed removal may harm the child and instead rely only on the opinions of doctors who support DCFS's decision to remove. Such a rule would result in increased violations of parental rights and, more importantly, increased harm to children from the psychological and emotional trauma of removal in cases where it is unnecessary. 31 The dissent appears to discredit the relevance of Dr. Gooch's opinion because it was rendered only after Mrs. Roska was told Rusty would be removed from the home. The responsibility for the timing of Dr. Gooch's opinion, however, rests squarely on the shoulders of Defendants. Although it is unclear whether Morrison spoke to Dr. Gooch or merely exchanged voice mail messages before deciding on removal, 10 at no time prior to arriving at the Roskas' home did Morrison indicate to Dr. Gooch that there was an emergency or that removal of Rusty was under consideration. Thinking she would be able to sit down with Morrison in a week at their scheduled appointment to fully discuss Rusty's condition and treatment, Dr. Gooch had no reason to express her concerns regarding removal because she had no idea removal was a possibility. Because Morrison failed to elicit the opinion of Rusty's main treating physician when she first called her on the telephone, Defendants cannot rely on the timing of Dr. Gooch's opinion to justify their actions. 32 Defendants also argue that the shelter hearing ruling shows their actions were in compliance with the statute and reasonable. At the shelter hearing, the juvenile court found that an emergency situation existed at the time of removal and concluded that DCFS's failure to provide preventive services was thus reasonable. The juvenile court proceeding, however, does not inform our reasonableness analysis for two compelling reasons. First, the juvenile court noted in its ruling from the bench that it relied on Utah Code Ann. § 78-3a-306(14), which allows a judge to order continued removal of a child regardless of any error in the initial removal or a party's failure to comply with the procedural provisions of Utah child protection statutes. Second, the juvenile court did not consider any evidence at the shelter hearing regarding Dr. Gooch's opinion that removal could harm Rusty. Rusty's parents submitted a letter from Dr. Gooch explaining her opinion, but the judge did not consider it because it was not a sworn statement. Moreover, although Morrison testified at the shelter hearing, she failed to mention the telephone call from Dr. Gooch that Sneddon received before removing Rusty. 11 The next day at a hearing on a motion for a temporary restraining order, the juvenile court received a sworn affidavit from Dr. Gooch explaining her opposition to removal. After considering this evidence, the juvenile court returned Rusty to his parents' custody with DCFS supervision. Because the juvenile court did not consider all the information at the shelter hearing that Defendants had when they removed Rusty, the juvenile court's ruling is not dispositive. 12 33 Finally, the dissent notes that after Rusty's removal and return home, he made substantial progress within several months, such that by January 2000, he was walking, attending school, eating, and gaining weight. Rusty's improvement after removal, however, is not relevant to our determination of whether Defendants' actions were reasonable in light of the information they possessed at the time of removal. In any event, as the dissent acknowledges, Rusty's improvement occurred with substantial supervision and services provided by DCFS. Rusty's progress, at home with DCFS supervision, undermines Defendants' contention that it was reasonable to believe the Roskas would not cooperate with DCFS and services would be difficult to devise and unsuccessful. 13 34 Applying the factors this court articulated in Roska I, Defendants could have reasonably concluded Utah Code Ann. §§ 62A-4a-202.1 and -202.2 were constitutional and had not fallen into desuetude. Defendants, however, failed to actually comply with the statute upon which they purportedly relied. While only one of the Roska I factors weighs against concluding Defendants' actions were objectively reasonable, it is an important factor and, in this case, it is dispositive. Mimics, Inc. v. Village of Angel Fire, 394 F.3d 836, 847 (10th Cir.2005) (denying qualified immunity based on reliance on a statute when official did not comply with statute). What made Defendants' belief in the constitutionality of the statute reasonable was the statute's balancing of the government's interest in protecting children with a parent's constitutional right to maintain a family relationship. Nevertheless, by failing to offer or provide preventive services that were reasonably available when faced with the opinion of the main treating physician that removal might harm Rusty more than allowing him to remain in the home, Defendants failed to properly consider and balance the parents' interest. In light of the balancing required by the statute and the Constitution, this failure was objectively unreasonable. Defendants are therefore not entitled to qualified immunity.