Connie REGULI, personally and as next friend of “Daughter” Reguli, a minor child v. Sharon GUFFEE, personally and in her capacity as Referee of Williamson County Juvenile Court; et al.
No. 09-5558.
United States Court of Appeals, Sixth Circuit.
March 31, 2010.
371 Fed. Appx. 590
Lisa M. Carson, Buerger, Moseley & Carson, Franklin, TN, Douglas Earl Dimond, Office of the Tennessee Attorney General, William M. Billips, Ortale, Kelley, Herbert & Crawford, Nashville, TN, for Defendants-Appellants.
BEFORE: GUY, CLAY, and KETHLEDGE, Circuit Judges.
CLAY, Circuit Judge.
Connie Reguli on behalf of herself and as next friend of her daughter, “YKR,” appeals the denial of her claims of constitutional violations under
FACTS
Plaintiffs filed their initial complaint on August 12, 2008, naming Sharon Guffee, Zannie Martin, Michael LaBo, Williamson County, and the State of Tennessee as Defendants. They brought claims of constitutional violations under
On February 19, 2009, 2009 WL 425020, the district court dismissed most of the claims. In the memorandum and order issued that day, the district court granted the Williamson County defendants’ motion for judgment on the pleadings, primarily on the basis of the Rooker-Feldman doctrine. In the same order, the district court granted summary judgment for Defendant LaBo because he was not a state actor. Separately, on March 31, 2009, 2009 WL 910885, the district court granted Schneider and Spann‘s motion to dismiss on the basis of absolute and qualified immunity. All of the state law tort claims were dismissed without prejudice. Plaintiffs filed a timely notice of appeal based on the dismissal of all Defendants, but contest only the constitutional issues.
The facts recounted are those alleged in Plaintiffs’ amended complaint. On April 20, 2008, Reguli‘s 16-year-old daughter, YKR, lied to her mother and went out with a 19-year-old she had met on the internet. YKR returned home after Reguli contact
On June 11, 2008, Spann, an employee with the Department of Child Services (“DCS“), arrived at Reguli‘s home without notice. Reguli was not home. Spann called Reguli who told Spann to leave the property. Spann was aware that Reguli, a family law attorney, had previously challenged DCS‘s interference with a family in another Tennessee county. Spann told Reguli that she knew Reguli would not allow her to talk to Reguli‘s children.
The next day, June 12, 2008, Reguli and YKR appeared before Guffee for the scheduled review date. Schneider, the attorney for DCS, told the referee that DCS needed to interview all of Reguli‘s children and requested an order for Reguli to bring her other two children to the courthouse for an interview. Spann offered a “safety plan” that would allow Reguli to voluntarily remove the children from her home and place them at their grandmother‘s. When Reguli refused, Spann threatened to forcefully remove the children and called a judge to request an emergency removal. The request was denied. DCS asserted that LaBo, the Teen Peace moderator, had removed YKR from the group setting for a one-on-one interview where YKR stated that she had been hit and choked by Reguli. In response, Reguli objected to the continued use of Teen Peace and argued that YKR‘s statement to LaBo was not a “reasonable” grounds for DCS to get involved. Guffee refused to allow Reguli to leave the courthouse until Reguli agreed to bring the children to the courthouse the following morning. Reguli returned the next morning with all three children.
An order from the June 12, 2008 hearing was entered on June 19, 2008. The referee appointed a guardian ad litem for YKR. The referee ordered that all the children be interviewed outside the presence of Reguli and ordered Reguli to submit to an interview with Spann. Following the interviews, no finding of a “risk of harm” was made, but the referee ordered Reguli to cooperate with the DCS investigation. Guffee further placed YKR on in-home detention, ordered her to participate in Y-CAP2, ordered her not to use the computer, ordered Reguli not to allow YKR to use the computer, required participation by YKR in individual counseling, and ordered an assessment by the Family Crisis Intervention Program.
Reguli filed a motion on July 9, 2008 to alter or amend the referee‘s order. The motion wanted to strike the restrictions that supposedly interfered with Reguli‘s right to parent, specifically challenging the ankle bracelet, the parenting assessment, and the Teen Peace requirements. On July 14, 2008, Reguli filed a further objection based on the qualifications of Dr. Kaforey, the doctor assigned to do the parenting assessment. Dr. Kaforey had a Ph.D. in “Sports Studies.” Reguli also objected to the fact that LaBo was not a licensed mental health professional.
On July 22, 2008, the Youth Service Officer (“YSO“) department left a message for Reguli. The next day, Reguli returned the call and spoke with YSO Martin who told Reguli that YKR had been just outside the boundary of her yard for a couple of hours at midnight on July 20, 2008 and that she had also answered a phone call on a cell phone number Martin had called. Both acts were in violation of the previous court order, and YKR was arrested at her home on July 23, 2008. YKR was held without bond, and Reguli was not allowed to visit her before a hearing the next day, July 24, 2008. YKR was represented by a court-appointed attorney at the July 24th hearing, and she pled guilty to all counts. YKR was released to Reguli under in-home detention. On July 25, 2008, Reguli filed a notice of appeal.
At the July 24, 2008 hearing, Guffee denied Reguli‘s motion to alter or amend the court‘s previous order. Guffee ordered Reguli to submit a letter signed by the counselor confirming ongoing counseling by July 31, 2008. On July 31, 2008, Reguli provided a letter by 9:00 am, as instructed. Martin telephoned to say that the letter was insufficient and required Reguli to appear in court on August 4, 2008. No formal written notification was ever provided to Reguli of the August 4, 2008 court date. Reguli appeared two hours late for the hearing. YKR was at work and did not attend the court date. Guffee was unhappy that YKR was not present and ordered Reguli to immediately go and get her, or YKR would face incarceration. Guffee further ordered Reguli‘s removal from the courtroom by a sheriff. Additionally, the referee issued a body attachment on YKR.
Also on August 4, 2008, a petition for violation of a valid court order was initiated by Defendant Bennett against Reguli. The petition alleged that “it was reported” that Reguli was not willing to communicate the whereabouts of YKR, in violation of the July 7, 2008 order. On August 5, 2008, Defendant Rounsavall filed a petition for violation of a valid court order.
On August 11, 2008, Defendant Coffey took YKR‘s sibling, VRR, out of her class at high school to interrogate her about YKR without the consent of Reguli.
On September 9, 2008, Reguli filed a Petition for Writ of habeas corpus on the body attachment order of August 4, 2008. The next day, September 10, 2008, YKR was removed from her place of employment and incarcerated based on the Au
On September 17, 2008, YKR‘s attorney, the guardian ad litem, and the Williamson County Court reached an agreement, without Reguli‘s participation, that continued to restrict the freedom of movement of YKR, restricted her from otherwise legal activities, and compelled mental health intervention.
DISCUSSION
I. Williamson County Defendants
A. Rooker-Feldman Doctrine
Many of the claims against the Williamson County defendants were dismissed on the basis of the Rooker-Feldman doctrine. This Court reviews de novo the district court ruling that the Rooker-Feldman doctrine precluded subject matter jurisdiction. McCormick v. Braverman, 451 F.3d 382, 389 (6th Cir. 2006). A defendant can challenge this Court‘s jurisdiction on its face through a
The Rooker-Feldman doctrine derives its name from two Supreme Court cases that held that a federal court cannot exercise appellate review of a state court decision. Rooker v. Fidelity Trust Co., 263 U.S. 413, 44 S. Ct. 149, 68 L. Ed. 362 (1923); District of Columbia Court of Appeals v. Feldman, 460 U.S. 462, 103 S. Ct. 1303, 75 L. Ed. 2d 206 (1983).
Rooker and Feldman exhibit the limited circumstances in which [the Supreme Court‘s] appellate jurisdiction over state-court judgments,
Exxon Mobil Corp. v. Saudi Basic Indus. Corp., 544 U.S. 280, 291-92, 125 S. Ct. 1517, 161 L. Ed. 2d 454 (2005) (citations and quotations omitted). Rooker-Feldman applies “when a plaintiff asserts before a federal district court that a state court judgment itself was unconstitutional or in violation of federal law.” McCormick, 451 F.3d at 395.
The key inquiry in deciding whether Rooker-Feldman applies is determining the source of the plaintiffs’ alleged injury. “If the source of the injury is the state court decision, then the Rooker-Feldman doctrine would prevent the district court from asserting jurisdiction. If there is some other source of injury, such as a third party‘s actions, then the plaintiff asserts an independent claim.” Id. at 393. The majority of claims against the Williamson County defendants could be read as challenges to state court orders which are barred by the Rooker-Feldman doctrine.
Specifically, Count I alleges a violation of Plaintiffs’ constitutional right of liberty and privacy based on five acts tak
Plaintiffs rely on a Seventh Circuit decision that is easily distinguishable. See Brokaw v. Weaver, 305 F.3d 660 (7th Cir. 2002). In Brokaw, the plaintiff brought suit against defendants in the child neglect office based on a conspiracy to take away her children. Crucially, Brokaw alleged that “the defendants conspired—prior to any judicial involvement—to cause false child neglect proceedings to be filed.” Id. at 665. The Seventh Circuit specifically held that the plaintiff “is not merely claiming that the decision of the state court was incorrect or that the decision violated her constitutional rights; rather, she is alleging that the people involved in the decision to forcibly remove her from her home and her parents and subject her to the custody of the IDCFS violated her constitutional rights, independently of the state court
The reasoning of Brokaw does apply to other claims brought by the Plaintiffs against some of the Williamson County defendants. Various allegations in the complaint could be read to allege direct violations of Plaintiffs’ supposed constitutional rights, without the formal mechanisms of the court proceedings. These include allegations that defendant Martin deceived Reguli in a phone conversation about the purpose of an August 4, 2008 hearing. Additionally, Plaintiffs allege that defendant Coffey conducted an unlawful search and seizure by removing minor child VRR from her public school class for an interrogation. As discussed below, these allegations fail because they are not constitutional violations, but we are not denied jurisdiction on those claims by the Rooker-Feldman doctrine.
Finally, Plaintiffs argue that even if some of the court rulings are protected by Rooker-Feldman, all court orders entered after Plaintiff filed a state court appeal of the referee‘s decision are invalid. Plaintiffs allege that their appeal stripped the referee of jurisdiction, invalidating her orders. The main order Plaintiffs challenge after the notice of appeal was filed is the body attachment on YKR. The Tennessee Code clearly states that “an appeal does not suspend the order of the juvenile court, nor does it release the child from custody of that court.”
B. Additional Williamson County Defendants
Rooker-Feldman disposes of the majority of claims against the Williamson County defendants. Several miscellaneous allegations in Plaintiffs’ complaint do not fit neatly under this rubric and must be addressed separately. All of these claims were dismissed on Defendants’ motion to
Plaintiffs make several allegations against defendant Martin, a youth services officer of the juvenile court. They allege that Martin “denied due process of the mother” by stating falsely in a phone call the purpose of the August 4th hearing and by presenting evidence “without regard for the due process of the Mother and YKR.” (Amen.Compl.¶74). The phone call from Martin simply does not violate Plaintiffs’ constitutional rights, inasmuch as conveying incorrect information about the purpose of the August 4, 2008 hearing did not rise to the level of a due process violation. Reguli eventually appeared and was given a further opportunity to bring YKR to court. She refused, and at that point, the body attachment on YKR was issued. Therefore, Plaintiffs have not asserted in their complaint how this alleged falsehood by Martin created a constitutional injury.
The second allegation against Martin, presenting evidence before the referee, is shielded by the doctrine of absolute immunity, which covers “testimony or recommendations given in court.” Holloway v. Brush, 220 F.3d 767, 776 (6th Cir. 2000). This principle also covers the alleged conduct of defendants Bennett and Rounsavall. Those two employees had merely filed petitions in court proceedings, core prosecutorial functions and undoubtedly subject to absolute immunity. In Holloway, this Court held that “social workers are absolutely immune only when they are acting in their capacity as legal advocates—initiating court actions or testifying under oath.” Id. at 775. The allegations against Martin involve his testimony under oath, and the allegations against Bennett and Rounsavall involve their initiation of court proceedings.
The final Williamson County defendant is Coffey who entered the school of VRR to investigate the abuse allegations. The claim is not cognizable because the daughter interrogated by Coffey at the school is not a plaintiff in this case. Therefore, Plaintiffs do not have standing to challenge the questioning of this daughter as an illegal search and seizure. On appeal, Plaintiffs argue that “the Mother of a minor child has standing to bring this action as a violation of her (Mother‘s) constitutional right of privacy and her right to parent.” (Pls. Br. at 31). The complaint, however, alleges an illegal search and seizure, and Plaintiffs cannot change their theory on appeal. On the merits, Plaintiffs cite no case law indicating that questioning a daughter in school where allegations of abuse have occurred constitutes a constitutional violation. See Williams v. Pollard, 44 F.3d 433, 435 (6th Cir. 1995) (finding that two and one-half hour interview of minor child without notifying parent “did not violate a federally protected right“).
II. Department of Children‘s Services Defendants
Defendants Schneider and Spann‘s motion to dismiss was granted by the district court on the basis of absolute and qualified immunity. “Whether a defendant is entitled to absolute or qualified immunity from liability under
Schneider and Spann were employees of the Tennessee Department of Children‘s Services. Agency officials who “perform functions analogous to a prosecutor are entitled to absolute immunity.” Kurzawa v. Mueller, 732 F.2d 1456, 1458 (6th Cir. 1984) (citing Butz v. Economou, 438 U.S. 478, 98 S. Ct. 2894, 57 L. Ed. 2d 895 (1978)). In Kurzawa, the Court granted absolute
Schneider and Spann emphasize that their actions were “intimately involved in the judicial process.” Id.; Rippy v. Hattaway, 270 F.3d 416 (6th Cir. 2001). Undoubtedly, some of the accusations against the DCS employees were based on activities that were “intimately involved in the judicial process.” The complaint asserts that when Reguli failed to sign a safety plan, Spann called a judge to request emergency removal of the Reguli children. The complaint also challenges testimony by the DCS defendants before the referee and refers to an in-court interview with the children at the direction of the referee. These acts are entitled to absolute immunity, as is evident from the case relied on by Plaintiffs, Holloway v. Brush, 220 F.3d 767 (6th Cir. 2000). In Holloway, the Court found that a social worker was not entitled to absolute immunity where her actions were not “testimony or recommendations given in court concerning the children‘s best interests as she saw the matter.” Id. at 776. The vast majority of the allegations against Schneider and Spann, however, deal with actions directly related to the court proceedings for which they should be entitled to absolute immunity.
The district court found that all the allegations against Schneider and Spann were barred by absolute immunity. We believe that several claims are outside the ambit of actions intimately involved in the judicial process. First, Spann appeared at the home of the Mother to “investigate” YKR‘s abuse allegations. Second, both Schneider and Spann threatened removal of the children if Reguli refused to participate in the interview process. These actions, however, are protected by qualified immunity. Plaintiffs cannot “simply identify a clearly established right in the abstract and allege that the defendant has violated it. Instead, the plaintiff must show a substantial correspondence between the conduct in question and prior law allegedly establishing the defendant‘s actions were clearly prohibited.” Hughes v. City of North Olmsted, 93 F.3d 238, 241 (6th Cir. 1996) (citations omitted). Plaintiffs have made no such showing, and it is not clear what constitutional rights Schneider and Spann allegedly violated.
Plaintiffs make an additional argument that the allegations of abuse by YKR, who was adjudged delinquent in part because she lied to her mother, were not sufficiently “reasonable” to trigger DCS involvement. Reguli‘s argument invites us to take the position that a statement by a teenager of abuse is not “reasonable” grounds for starting an investigation merely because the teen has been known to lie about other matters. We do not accept the invitation. The alleged victim made the accusation, and it is preposterous to argue that the agency cannot begin an investigation based on a teenager‘s accusations. DCS undoubtedly had a right to begin an investigation, and this Court has previously granted qualified immunity for much more intrusive actions taken by similar agencies. See, e.g., Williams v. Pollard, 44 F.3d 433, 435 (6th Cir. 1995) (hold
III. Defendant LaBo
Defendant LaBo was granted summary judgment on the constitutional claims because the district court found that he was not a state actor. “We conduct de novo review of decisions granting summary judgment, drawing all reasonable inferences in favor of the nonmoving party.” McQueen v. Beecher Cmty. Schs., 433 F.3d 460, 463 (6th Cir. 2006) (citations and quotations omitted).
LaBo was the director of the Teen Peace program that YKR was required by court order to attend. Plaintiffs argue that since YKR was required to attend Teen Peace based on a court order from the state, and LaBo had responsibilities under the court order to report noncompliance by YKR, LaBo was a state actor. Plaintiffs must satisfy one of three tests to show that LaBo is a state actor: (1) the public function test; (2) the state compulsion test; or (3) the symbiotic relationship or nexus test. See Chapman v. Higbee Co., 319 F.3d 825, 833 (6th Cir. 2003) (en banc). It is unclear on appeal what test or tests Plaintiffs believe they can satisfy. They argue: “Teen Peace existed for the purpose of providing this service to the Court, became an integral part of the Court order, was compelled to report to the Court, and had the power to have children and parents incarcerated for failure to comply with their restrictions.” (Pls. Br. at 34-35). Since we cannot discern under what theory Plaintiffs believe LaBo is a state actor, we review all three tests.
Under the public function test, a private party is a state actor if he exercises powers traditionally reserved exclusive
LaBo is also not a state actor under the state compulsion test. “The state compulsion test requires that a state ‘exercise such coercive power or provide such significant encouragement, either overt or covert, that in law the choice of the private actor is deemed to be that of the state.‘” Lansing v. City of Memphis, 202 F.3d 821, 829 (6th Cir. 2000) (quoting Wolotsky v. Huhn, 960 F.2d 1331, 1335 (6th Cir. 1992)). No evidence in the record indicates that LaBo is coerced by the state in his provision of services. Undoubtedly, LaBo was providing a service for the state, but the state did not control his actions in such a manner that it is responsible for his conduct. Plaintiffs have come forward with no evidence about the relationship between LaBo/Teen Peace and the state, the extent to which the state dictates to Teen Peace what services it must provide, the percentage of Teen Peace‘s money that it receives from the state, or any other factor that would indicate the possibility of state coercion. See Wilcher v. City of Akron, 498 F.3d 516, 520 (6th Cir. 2007) (finding that to satisfy the state compulsion test, “a plaintiff must allege and prove that state officials coerced or participated” in a company‘s decision-making).
Finally, LaBo is not a state actor under the nexus test. “Under the nexus test, the action of a private party constitutes state action when there is a sufficiently close nexus between the state and the challenged action of the regulated entity so that the action of the latter may be fairly treated as that of the state itself.” S.H.A.R.K. v. Metro Parks Serving Summit Co., 499 F.3d 553, 565 (6th Cir. 2007) (citation and quotation omitted). The Supreme Court has found state action based on “pervasive entwinement” between a private actor and the state. Brentwood Academy v. Tennessee Secondary Sch. Athletic Ass‘n, 531 U.S. 288, 291, 121 S. Ct. 924, 148 L. Ed. 2d 807 (2001).
In this case, the alleged actions of LaBo were not in any way connected with the state. Most prominently, Plaintiffs allege that LaBo “without jurisdiction or authority took the minor child out of the group setting under which he was ordered to conduct [sic].” (Amen.Compl.¶75). The state had no role in how LaBo conducted his evaluations and certainly was not involved in the decision to take YKR out of the group setting. To support their claim that LaBo was a state actor, Plaintiffs merely assert that “LaBo was appointed by the Court for a specific purpose, therefore he served in an extra-judicial capacity in which he was required to perform specific acts and report directly to the Court. As an extra-judicial personnel, LaBo had a duty to protect the constitutional rights of the litigants.” (Amen.Compl.¶75). Plaintiffs cite no cases to support their proposition that when a private not-for-profit receives cases from the juvenile court, they automatically become a state actor. LaBo‘s actions simply do not have a sufficient nexus to the state. LaBo met with YKR on four occasions. He submitted two reports to the juvenile court. The first recounted YKR‘s allegations of abuse, as mandated by
While not binding authority on this Court, we agree with analysis from the Ninth Circuit in a case alleging constitutional violations by a court-appointed guardian ad litem. Kirtley v. Rainey, 326 F.3d 1088, 1095 (9th Cir. 2003). In considering the “nexus test,” the Court found:
[T]here are significant links between the position of the guardian and the government. As [plaintiff] observes, the guardian is appointed by a state actor, is paid by the state, and is subject to regulation by state law. But there the nexus ends. Where the guardian reports to the court, she reports as an independent investigator. Where the guardian acts as an advocate of the child, she occupies a role distinct from the court before which she advocates.
Id. at 1095. See also Holley v. Deal, 948 F.Supp. 711, 715 (M.D.Tenn.1996) (guardian ad litem is not a state actor where “state exercised no coercive power over [defendant‘s] independent judgment ...“).
We further agree with the Ninth Circuit that “it is conceivable that a more expansive type of guardianship role could satisfy the nexus test.” Kirtley, 326 F.3d at 1095. We can imagine that some court-appointed programs for juveniles could be sufficiently intertwined with state functions that the participants can be found to be state actors. Here, however, the only nexus presented by Plaintiffs is that the juvenile court ordered YKR into the Teen Peace program, and LaBo had reporting requirements back to the juvenile court. Plaintiffs have not cited, and we are not independently aware of, any case where the
CONCLUSION
For the foregoing reasons, the judgment of the district is AFFIRMED.