Opinion ID: 1202244
Heading Depth: 1
Heading Rank: 3

Heading: Absolute or Qualified Immunity

Text: Appellant concedes that his actions are, at most, cloaked with qualified rather than absolute immunity. This means the type of immunity question is not presented for our review. We find it helpful, however, to discuss the basis for considering appellant's actions for only qualified immunity. In Imbler v. Pachtman, 424 U.S. 409, 96 S.Ct. 984, 47 L.Ed.2d 128 (1976), the United States Supreme Court considered the immunity to be accorded a state prosecuting attorney from a suit for damages under § 1983. The Court concluded that the prosecutor was absolutely immune from a suit based on his initiation and pursuit of a criminal prosecution. Its holding was based on a functional approach which grants absolute immunity where the prosecutor's actions were intimately associated with the judicial phase of the criminal process, and thus were functions to which the reasons for absolute immunity apply with full force. 424 U.S. at 430, 96 S.Ct. at 995. The Court took no position on whether the prosecutor would retain his absolute immunity when exercising administrative or investigative functions. Two years later, in Butz v. Economou, 438 U.S. 478, 98 S.Ct. 2894, 57 L.Ed.2d 895 (1978), the Court considered the scope of personal immunity of Department of Agriculture officials who had allegedly instituted a retaliatory investigation and administrative proceeding against the plaintiff. It held that the executives were entitled only to qualified immunity. In Harlow v. Fitzgerald, 457 U.S. 800, 102 S.Ct. 2727, 73 L.Ed.2d 396 (1982), the Supreme Court distinguished absolute from qualified immunity as follows: Our decisions have recognized immunity defenses of two kinds. For officials whose special functions or constitutional status requires complete protection from suit, we have recognized the defense of absolute immunity. The absolute immunity of legislators, in their legislative functions, and of judges, in their judicial functions, now is well settled. Our decisions also have extended absolute immunity to certain officials of the Executive Branch. These include prosecutors and similar officials, executive officers engaged in adjudicative functions, and the President of the United States. For executive officers in general, however, our cases make plain that qualified immunity represents the norm. Harlow, 457 U.S. at 807, 102 S.Ct. at 2732 (citations omitted). The Court reiterated its adherence to the functional approach to immunity law, noting that although the judicial, prosecutorial, and legislative functions require absolute immunity, its protections have been extended no further than its justification would warrant. 457 U.S. at 810-11, 102 S.Ct. at 2734. Most recently, in Burns v. Reed, ___ U.S. ___ 111 S.Ct. 1934, 114 L.Ed.2d 547 (1991), the Supreme Court clarified the functional approach, as applied to a prosecutor's misconduct. Addressing the question left open in Imbler, the Court held that the prosecutor had absolute immunity for his conduct in appearing at the probable cause hearing, a function intimately associated with the judicial phase of a criminal process, but had only qualified immunity for his act of giving advice to the police, a function not connected with the prosecutor's role in judicial proceedings. Burns, ___ U.S. at ___, 111 S.Ct. at 1943. It must be admitted that several federal circuits have extended absolute immunity to federal and state probation officers for their conduct in preparing presentence reports for use by the trial court. See e.g., Dorman v. Higgins, 821 F.2d 133 (2nd Cir.1987); Spaulding v. Nielsen, 599 F.2d 728 (5th Cir.1979); Freeze v. Griffith, 849 F.2d 172 (5th Cir.1988); Demoran v. Witt, 781 F.2d 155 (9th Cir.1985); Tripati v. U.S.I.N.S., 784 F.2d 345 (10th Cir.1986), cert. denied 484 U.S. 1028, 108 S.Ct. 755, 98 L.Ed.2d 767 (1988) (preparation of pretrial bond report and presentence report); Hughes v. Chesser, 731 F.2d 1489 (11th Cir.1984) (state probation officer); Turner v. Barry, 856 F.2d 1539 (D.C.Cir.1988). However, we must be wary of extending the rule in these cases beyond their facts. Absolute, quasi-judicial immunity was given because the preparation of a presentence report is an integral part of the sentencing process, and in preparing the report the probation officer acts at the direction of the court. Spaulding, 599 F.2d at 729. Where a probation officer exercises the discretionary, executive function of seeking probation revocation, the fifth circuit has held, applying the functional analysis, that no such connection requiring absolute immunity exists. In Galvan v. Garmon, 710 F.2d 214 (5th Cir.1983), cert. denied 466 U.S. 949, 104 S.Ct. 2150, 80 L.Ed.2d 536 (1984), the fifth circuit held that when a probation officer erroneously prepared a motion for revocation of appellant's probation, she was only entitled to qualified immunity. The court distinguished its earlier case of Spaulding v. Nielsen, supra : We find Spaulding not controlling in the case at hand. Whereas in Spaulding the probation officer was acting at the direction of the court during the presentence report process, in the immediate case the probation officer acted at her own initiative and at a different phase of the criminal process less intimately associated with the judiciary. Galvan, at 215. See also Griffin v. Leonard, 821 F.2d 1124 (5th Cir.1987) (holding under facts presented that probation officer was entitled to at least qualified immunity). We note also third circuit decisions, applying the functional approach, which have refused absolute immunity to officers who allegedly acted wrongfully to revoke a plaintiff's parole status. See Harper v. Jeffries, 808 F.2d 281 (3rd Cir. 1986); Wilson v. Rackmill, 878 F.2d 772 (3rd Cir.1989). Even if Mayor did not concede his entitlement to only qualified immunity, the proper, functional analysis of Mayor's alleged conduct would lead us to refuse him absolute immunity. The exercise of his discretionary duties at issue in this case was not so intimately connected with the judicial process to create absolute immunity. If anything, he might receive qualified immunity.