Opinion ID: 498211
Heading Depth: 2
Heading Rank: 1

Heading: COVERDELL'S CLAIM FOR DAMAGES AGAINST McLAUGHLIN

Text: 15 The district court dismissed Coverdell's claim for damages against McLaughlin on the ground that all McLaughlin's actions were within the scope of her statutory authority, hence she enjoyed absolute quasi-prosecutorial immunity from liability for civil damages. On this appeal, Coverdell argues that the district court erred in ruling that McLaughlin enjoyed absolute immunity. Coverdell contends that McLaughlin enjoyed, at most, qualified immunity, and that a jury should be permitted to decide whether McLaughlin's actions were sufficiently malicious and/or unreasonable to defeat the qualified immunity.
16 The DSHS/McLaughlin motion granted by the district court was styled Motion for Dismissal Based on Failure to State a Claim, Lack of Subject Matter Jurisdiction, Judgment on the Pleadings and/or Summary Judgment. The district court apparently treated the motion as one for dismissal under Fed.R.Civ.P. 12(b)(6). 17 If a party moving for dismissal under Rule 12(b)(6) presents to the court matters outside the pleading and such matters are not excluded by the court, then the motion shall be treated as one for summary judgment and disposed of as provided in Rule 56 .... Fed.R.Civ.P. 12(b). See Fort Vancouver Plywood Co. v. United States, 747 F.2d 547, 552 (9th Cir.1984) (motion to dismiss treated as one for summary judgment where pleadings were accompanied by affidavits). 18 In moving for dismissal, DSHS and McLaughlin presented to the district court a variety of matters outside the pleadings, including McLaughlin's affidavit, the state court's order directing immediate apprehension of Christina, the state court's findings and order for permanent deprivation in an earlier proceeding concerning another child of Coverdell, and other matters. In ruling on defendants' motion, the district court did not exclude such matters. To the contrary, the court relied upon facts set forth in the materials accompanying the motion. 19 In substance, therefore, defendants' motion to dismiss was converted into a motion for summary judgment. Court v. Hall County, 725 F.2d 1170, 1172 (8th Cir.1984) (motion to dismiss was converted into one for summary judgment where it was accompanied by affidavits and district court did not exclude affidavits from its consideration); 10 C. Wright, A. Miller & M. Kane, Federal Practice and Procedure Sec. 2713 at 599-604 (1983). Accordingly, we will treat the district court's ruling as a granting of the DSHS/McLaughlin motion for summary judgment.
20 A grant of summary judgment is reviewed de novo. Darring v. Kincheloe, 783 F.2d 874, 876 (9th Cir.1986). Our review is governed by the same standard used by the trial court under Fed.R.Civ.P. 56(c). Id. We must determine, viewing the evidence in the light most favorable to the nonmoving party, whether there are any genuine issues of material fact and whether the district court correctly applied the relevant substantive law. Ashton v. Cory, 780 F.2d 816, 818 (9th Cir.1986). 21 Coverdell apparently submitted no evidence to rebut the evidence submitted by DSHS and McLaughlin. Coverdell recites numerous alleged facts in her briefs, but these recitations merely repeat unsworn factual allegations contained in her earlier memorandum of authorities and in her unverified Amended and Supplemental Complaint. Such assertions do not constitute evidence in opposition to the evidence presented by DSHS and McLaughlin to support their motion. See Flaherty v. Warehousemen, Garage & Service Station Employees' Local Union No. 334, 574 F.2d 484, 486 n. 2 (9th Cir.1978) (assertions made in complaint, legal memoranda, or oral argument are not evidence and do not create issues of fact). 22 The only fact relied upon by Coverdell on appeal that is supported by the evidence is that McLaughlin, without notice to Coverdell or to her attorney, sought, obtained, and executed a court order directing seizure of the newborn Christina from the hospital. 3 The question before this court, then, is whether the district court correctly applied the relevant substantive law to McLaughlin's conduct in seeking, obtaining, and executing the court order. 23
24 Our recent decision in Meyers v. Contra Costa County Dep't of Social Services, 812 F.2d 1154 (9th Cir.), cert. denied, --- U.S. ----, 108 S.Ct. 98, 98 L.Ed.2d 59 (1987) addressed the issue of immunity for government employees whose duties include the initiation and pursuit of dependency petitions in cases of suspected child abuse or neglect. In Meyers, a CPS worker had been instrumental in the initiation and pursuit of court proceedings during which the court had deprived Meyers of custody over his children. Meyers later sued the CPS worker for damages under 42 U.S.C. Sec. 1983, alleging facts similar to those before the court in this case. Meyers alleged that the CPS worker had engaged in a course of conduct designed to separate Meyers from his children by supervising an investigation and filing verified dependency petitions with the juvenile court ... requesting that the minor children be declared dependents of the juvenile court and removed from the custody of their father. Id. at 1156. 25 On appeal, this Court affirmed the district court's dismissal of the action, holding that social workers are entitled to absolute immunity in performing quasi-prosecutorial functions connected with the initiation and pursuit of child dependency proceedings. Id. at 1157. We explained that prosecutorial immunity is essential if prosecutors are to be able independently to perform their public duties free from fear that their actions might give rise to civil liability. Id. at 1156. The immunity must be absolute, rather than merely qualified, to permit prosecutors to perform their duties without fear of even the threat of section 1983 litigation. Id. (citing Imbler v. Pachtman, 424 U.S. 409, 424-26, 96 S.Ct. 984, 992-93, 47 L.Ed.2d 128 (1976)). For the same reasons, child services workers must be protected by absolute immunity: 26 Although child services workers do not initiate criminal proceedings, their responsibility for bringing dependency proceedings, and their responsibility to exercise independent judgment in determining when to bring such proceedings, is not very different from the responsibility of a criminal prosecutor. The social worker must make a quick decision based on perhaps incomplete information as to whether to commence investigations and initiate proceedings against parents who may have abused their children. The social worker's independence, like that of a prosecutor, would be compromised were the social worker constantly in fear that a mistake could result in a time-consuming and financially devastating civil suit. We therefore hold that social workers are entitled to absolute immunity in performing quasi-prosecutorial functions connected with the initiation and pursuit of child dependency proceedings. 27 Id. at 1157. Accord Mazor v. Shelton, 637 F.Supp. 330, 334-35 (N.D.Cal.1986). 28 The holding in Meyers is consistent with the holdings of other courts. See, e.g., Kurzawa v. Mueller, 732 F.2d 1456, 1458 (6th Cir.1984) (employees of state department of social services who were instrumental in removing child from plaintiffs' home and in placing child in foster homes enjoyed absolute immunity from liability for damages under section 1983); Mazor, 637 F.Supp. at 334-35 (county social worker who took custody of plaintiff's son and arranged for his temporary placement in reliance on information that plaintiff was incapable of caring for him enjoyed absolute immunity from damages under section 1983) ([T]he role of a social worker in the care of minors is sufficiently analogous to the role of a prosecutor to warrant absolute immunity.); Hennessey v. State of Washington, Dep't of Social and Health Services, 627 F.Supp. 137, 140 (E.D.Wash.1985) (DSHS caseworker who allegedly divulged false and misleading information to county prosecutor, prompting initiation of child dependency proceedings, enjoyed absolute immunity from liability for damages under section 1983); Pepper v. Alexander, 599 F.Supp. 523, 526-27 (D.N.M.1984) (employees of state department of human services who allegedly acted in bad faith in instituting proceeding to deprive plaintiff of parental rights enjoyed absolute immunity from liability for damages under section 1983); Whelehan v. County of Monroe, 558 F.Supp. 1093, 1098 (W.D.N.Y.1983) (agents of county department of social services who, according to plaintiffs, negligently investigated charges of child abuse, instituted groundless court proceeding, and obtained ex parte orders by supplying court with false and misleading information enjoyed absolute immunity from liability for damages under section 1983) ([T]he roles of the employees of the Department are sufficiently like the role of a prosecutor to warrant coverage by absolute immunity....). 29 Coverdell relies principally on Malley v. Briggs, 475 U.S. 335, 106 S.Ct. 1092, 89 L.Ed.2d 271 (1986), for the proposition that McLaughlin enjoys only qualified, rather than absolute, immunity. Coverdell's reliance is misplaced. The issue in Malley was the degree of immunity to be accorded a police officer in an action for damages under section 1983, when the officer allegedly caused plaintiff to be arrested unconstitutionally by presenting a warrant application that failed to establish probable cause. The officer argued that his action in seeking an arrest warrant was analogous to the action of a prosecutor in seeking an indictment. Accordingly, argued the officer, he enjoyed the same absolute immunity that is enjoyed by the prosecutor. 106 S.Ct. at 1096-97. 30 The Court rejected the analogy, explaining that the officer's act in applying for a warrant, while a vital part of the administration of criminal justice, is further removed from the judicial phase of criminal proceedings than the act of a prosecutor in seeking an indictment. Id. at 1097. The Court held that the officer was entitled to qualified, not absolute, immunity. 31 In Meyers, we determined that the functions of a CPS worker in initiating and pursuing child dependency proceedings are analogous to the functions of the prosecutor in initiating and prosecuting criminal cases. Because McLaughlin was performing a prosecutorial function, Malley's analysis concerning a police officer's immunity is inapplicable. 32 The record shows that McLaughlin sought and obtained a court order directing the immediate apprehension of Christina. In so doing, McLaughlin was performing quasi-prosecutorial functions connected with the initiation and pursuit of child dependency proceedings. Meyers, 812 F.2d at 1157. Her actions were not only within the scope of her authority under Washington law, they may well have been required. See Wash.Rev.Code Ann. Secs. 26.44.030-.050 (1986 & Supp.1987) (imposing duties on DSHS to investigate possible occurrences of child abuse or neglect, to report same to law enforcement agency and, where necessary, to refer such report to the court); In re Welfare of Frederiksen, 25 Wash.App. 726, 610 P.2d 371, 375 (1979), review denied, 94 Wash. 2d 1002 (1980) (where mother of newborn girl was incapable of understanding and meeting needs of her children and had already damaged her two older children by neglect and failure to meet their needs, DSHS performed its statutory duty of intervening to protect [the child's] right to conditions of minimal nurture, health and safety when DSHS removed the child from its mother at birth) (emphasis added). 33 Because McLaughlin's actions in seeking and obtaining a court order were within the scope of her statutory authority as a quasi-prosecutor, she is entitled to absolute immunity from civil liability for her quasi-prosecutorial conduct. 34
35 The record also reveals that McLaughlin, pursuant to the court order, obtained custody of Christina and removed her from the hospital. McLaughlin's execution of the order was not a quasi-prosecutorial function connected with the pursuit of the dependency proceeding. Execution of a court order is not an act analogous to any that a prosecutor would normally perform; it is not, in any sense, advocatory. Cf. Ashelman v. Pope, 793 F.2d 1072, 1076 (9th Cir.1986) (absolute immunity applies when prosecutor acts as an advocate in initiating and presenting state's case). Accordingly, McLaughlin is not protected by quasi-prosecutorial immunity for her action in obtaining custody of Christina at the hospital. 36 We have never fully addressed the question of immunity for persons executing court orders. In Fayle v. Stapley, 607 F.2d 858 (9th Cir.1979), we cited cases from the Third Circuit and from the Northern District of Alabama in ruling that certain government officers were immune from civil rights liability for actions authorized by a state court order. Id. at 862 & n. 4. In two other cases, we stated that quasi-judicial immunity protects those who execute court orders from liability in civil rights actions, but in each case the statement was dictum. See Gregory v. Thompson, 500 F.2d 59, 65 n. 6 (9th Cir.1974) (dictum); Gillibeau v. City of Richmond, 417 F.2d 426, 429 (9th Cir.1969) (dictum); see also Haldane v. Chagnon, 345 F.2d 601, 604 (9th Cir.1965) (bailiff who acted at direction of judge in signing petition alleging bailiff's belief that appellant was in need of medical care enjoyed quasi-judicial immunity from liability for damages in civil rights action; in so acting, bailiff was a part of the body of the court itself), disapproved on other grounds, Dennis v. Sparks, 449 U.S. 24, 101 S.Ct. 183, 66 L.Ed.2d 185 (1980). 37 Other circuits, however, have held that persons who faithfully execute valid court orders are absolutely immune from liability for damages in civil rights actions challenging conduct authorized by the order. See, e.g., Henry v. Farmer City State Bank, 808 F.2d 1228, 1238-39 (7th Cir.1986) (sheriff who acted pursuant to official court order enjoyed quasi-judicial absolute immunity from liability for damages under section 1983); Tymiak v. Omodt, 676 F.2d 306, 308 (8th Cir.1982) (same); Slotnick v. Garfinkle, 632 F.2d 163, 166 (1st Cir.1980) (Judicial immunity extends as well to those who carry out the orders of judges.); Kermit Constr. Corp. v. Banco Credito y Ahorro Ponceno, 547 F.2d 1, 3 (1st Cir.1976) (receiver who faithfully and carefully executes a court order shares the judge's absolute immunity); see also Waits v. McGowan, 516 F.2d 203, 206-07 (3d Cir.1975) (person directly involved in the judicial process may be covered by judicial immunity where he is performing a ministerial function at judge's direction); cases cited in id. at 206-07 n. 6. 38 The rationale for immunizing persons who execute court orders is apparent. Such persons are themselves integral parts of the judicial process. Briscoe v. LaHue, 460 U.S. 325, 335, 103 S.Ct. 1108, 1116, 75 L.Ed.2d 96 (1983). The fearless and unhesitating execution of court orders is essential if the court's authority and ability to function are to remain uncompromised. As the First Circuit has explained with respect to a receiver who acted pursuant to court directives: 39 To deny him this [absolute] immunity would seriously encroach on the judicial immunity already recognized by the Supreme Court.... It would make the receiver a lightning rod for harassing litigation aimed at judicial orders. In addition to the unfairness of sparing the judge who gives an order while punishing the receiver who obeys it, a fear of bringing down litigation on the receiver might color a court's judgment in some cases.... 40 Kermit Constr. Corp., 547 F.2d at 3. 41 The same concerns dictate that a CPS worker be accorded absolute quasi-judicial immunity from liability for damages stemming from the worker's apprehension of a child pursuant to a valid court order. The parent of the apprehended child is not left remediless--he or she may always attack the court's order directly or on appeal. But to permit the CPS worker to become a lightning rod for harassing litigation aimed at judicial orders would seriously imperil the effectiveness of state child protection schemes. 42 Coverdell had an opportunity to challenge the court's order directing that Christina be apprehended and placed in temporary shelter care. That order became final long ago and is not at issue on this appeal. Coverdell has neither alleged nor shown that in executing the order, McLaughlin exceeded its scope or acted improperly in any other way. Coverdell's complaint, at bottom, is that McLaughlin apprehended Christina without notice shortly after the child's birth, while mother and child were still recuperating at the hospital. McLaughlin's act, however, was plainly authorized by the court's order, which expressly directed the immediate apprehension of the child from the hospital. Accordingly, McLaughlin enjoys absolute quasi-judicial immunity for executing that order. 43