Cooper v. O'CONNORCooper v. O'CONNOR
Ajppellant, prior to 1934, was president and a director of a trust company and two banking corporations. During the months
Appellees were sued in their individual capacities and not as officers and employees of the United States; and the declaration does not disclose the Office held by each of them. The lower court, however, had power to take judicial notice of appellees’ official capacities, as well as the extent of their authority and the scope of their duties. 1 On this appeal, appellant admits that O’Connor was Comptroller of the Currency of the United States; Baldwin was Receiver of the Commercial National Bank of Washington in the District; Barse was General Counsel for the Division of Insolvent Banks of the Treasury Department, and since February 4, 1936, has been, and now is, General Counsel for the Comptroller of the Currency; Lyons was Deputy Comptroller of the Currency of the United States; Await was Deputy Comptroller of the Currency of the United States; Rover was United States Attorney for the District of Columbia; Goldstein was Assistant United States Attorney for the District of Columbia. Appellant, in his brief, concedes, moreover, that the court may take judicial notice of the official position of appellees and of their duties, except as to appellee Simon. But the brief states that the issue whether judicial notice may be taken of the latter’s official position is unimportant, and it further states as a matter of fact that appellee Simon was a Special Agent of the Bureau of Investigation. Accordingly, we shall assume that this was the case for the purpose of deciding the broader issues primarily argued by appellant.
In view of the history of the case, we are inclined to decide it upon its merits, and for that reason assume, also, that appellant is entitled to contend, as he does on this appeal, that when a public officer acts outside the scope of his authority or acts m a wanton, malicious and unlawful manner and, in either event, injures a private citizen, he is liable in an action for damages. He contends that in the present case all tjie appellees acted in a wanton, malicious and unlawful manner, and that some of them acted outside the scope of their official authority.
It may be argued persuasively that all public officers should be required to answer a declaration such as that of appellant and respond on the merits. But the courts have been unwilling to go so far. The situation is one in which a serious conflict arises between considerations of public policy: One, the protection of the individual citizen against oppressive official action, and the other, the protection of the whole people by protecting their officers against vindictive and retaliatory damage suits, in order to insure their fearless and effective administration of the law. Randall v. Brigham,
7
Wall. 523, 536 et seq.,
There is a general rule that a ministerial officer who acts wrongfully, although in good faith, is nevertheless liable in a civil action and cannot claim the immunity of the sovereign.
2
There is also a general rule that if any officer — ministerial or oth
In substance, the specific acts alleged to have been committed by appellees were as follows: (1) .appearing before a grand jury of the District of Columbia and falsely, maliciously and without probable cause accusing appellant of having committed crimes in violation of the Federal banking laws; thus causing the grand jury to return indictments charging him with the commission of such, crimes; (2) causing appellant, in order to avoid imprisonment, to give bail bond for his appearance; (3) causing a nolle prosequi to be entered of two of the indictments, without the knowledge, consent, or procurement of appellant. The qct last complained of was limited in the declaration to the United States Attorney for the District of Columbia. The alleged act of causing appellant to procure a bail bond in order to avoid imprisonment may be disregarded; it was the act of appellant himself, done in pursuance of rights guaranteed to him by law. The only sense in which appellees could be said to have caused it, is indirectly, through the return of indictments against appellant. This allegation, therefore, stands or falls with the allegations concerning accusations made to the grand jury. As for the remaining allegations we may properly take judicial notice of the official duties of each of the appellees and thus determine whether the acts charged in the declaration fell within the general scope of their authority.
Considering first appellees Rover and Goldstein, it is obvious that all the acts charged came within the scope of their official duties as District Attorney and Assistant District Attorney, respectively (§ 771, R.S. (
We are equally satisfied that the alleged actions of appellees O’Connor, Lyons, Await, Barse and Baldwin were within the scope of authority of each of them. Section 324, R.S., as amended (
Relying upon the presumption that a public officer acts within the authority conferred upon him and in accordance therewith — in the absence of allegation or proof to the contrary 7 — there is no reason to doubt that appellees Lyons, Await and Barse were acting within the authorit}'’ conferred upon them by their superior officers in the present case. Moreover, as to appellee Barse, we take judicial notice of the fact that a general counsel must have knowledge of affairs as wide in scope as those officials whom he serves and that it is customary for such legal advisers to participate actively in such acts of administration, supervision, and control as are necessary for the proper performance of the duties of the Comptroller and his deputies.
It is not necessary — in order that acts may be done within the scope of official authority — that they should be prescribed by statute (United States v. Birdsall,
Appellant next contends, that in any event he is entitled to maintain this action if appellees’ acts were wanton and malicious. His contention might be correct, other necessary factors being present, if it were applied to one not an official, even though the malicious prosecution complained of had been “instituted in the appropriate court, and carried on with every formality known to the law.” White v. Nicholls,
This rule of immunity is recognized in all jurisdictions, to relieve from such liability judges of courts of superior or 'general jurisdiction as distinguished from judges of courts not off record or justices of the peace. Bradley v. Fisher, 13 Wall.
In several of the cases in which the rule ■of immunity has been applied the rationalization used has been that the particular defendant was a judicial officer, 15 or was engaged in a judicial determination, 16 or was so closely associated with the judicial process as to make necessary his protection from harassment in order to protect the judicial process. 17 It must be. admitted that this rationalization does not apply with equal force to the appellees, other than Rover and Goldstein. Even police, detectives and investigators — the group into which Simon falls — are generally not trained for participation in judicial determinations ; and are sometimes apt to become oppressive in administration of their duties, unless kept under close restraint by prosecutors and judges. In the case of the other appellees, it can be persuasively argued that even though their assistance was necessary for successful prosecution, it was possible for the Attorney General or the United States District Attorney to appoint them special assistants for the purpose, as was done in the case of Yaselli v. Goff, supra; thus avoiding an undue extension of a rule which may come to be a dangerous limitation upon the rights of a free people.
But whatever these considerations may indicate as to the wisdom of legislative limitation, the rule as now declared in many cases has been applied, not only to officials judicial and quasi-judicial, but to executive officers generally, such as the Postmaster General, 18 the Secretary 19 and Assistant Secretary of the Treasury, 20 Members of the United States Parole Board, the Parole Executive, the Warden of a Federal penitentiary, the Director of the Bureau of Prisons, 21 the Commissioners of the District of Columbia, 22 the Chairman of the Tariff Commission, 23 a building inspector, 24 the United States Commissioner of Indian Affairs, 25 and the Chief of Record and Pension Office of the War Department. 26
The reason now given for the rule is simply one of public policy. “Otherwise
Appellant seeks to avoid the effect of this widespread extension of the rule by pointing out that in some of the cases the rule of immunity — as applied to executive officers — was limited to hveads of departments. Spalding v. Vilas, supra; Mellon v.Brewer, supra. During recent years, however, a trend is definitely observable extending the application of the rule to minor executive officers. 27 It -is obvious that the effect' of this trend is to cut down proportionately the scope of the general rule which makes officials liable for tortious injuries and which denies to them the immunity of the sovereign. It-may be argued that if this trend is allowed to prevail, it will too greatly imperil the rights of the individual citizen. Just as it is the “hard-boiled 'top-sergeant” who — in his interpretation of the orders of the high command— makes life miserable for the private in the rear rank, so it is the comparable minor official who — in civil life — is largely responsible for, long-existing impressions in the minds of private citizens concerning “the insolence of office.”
On the other hand, to hold that only the heads of departments should be immune from liability under the rule would defeat its-'purpose. • We-know'that heads of the Federal departments do not themselves engage in such activities as are here involved. Their administrative duties make such participation impossible. There must be, necessarily, delegation of authority for such purposes. When the act done occurs in the course of official duty of the person duly appointed and required to act, it is the official action of the department; and the same reason for immunity applies as if it had been performed by the superior officer himself. De Arnaud v. Ainsworth, supra, at pages 177, 181; United States to Use of Parravicino v. Brunswick, supra. To hold otherwise would disrupt the government’s work in every department. “Its head can intelligently act only through subordinates.” Farr v. Valentine,
Therefore, we conclude that as the acts of appellees were performed in the discharge of their official duties, the motives with which those duties were performed are immaterial, and appellant’s contention must fail.
The question next arises whether appellant can maintain his action against appellees by joining them and alleging that they engaged in a conspiracy. Accusingappellees jointly, or by way of a count in conspiracy, gives appellant’s case no more virtue than if he had proceeded against each appellee singly. The reason for the rule of immunity applies equally in one case as in the other. The essence of conspiracy is an agreement — together with an overt act — to do an unlawful act, or a lawful act in an unlawful manner. We have seen that
We have given careful consideration to appellant’s other assignments and find them to be without merit.
Affirmed.
Notes
See Keyser v. Hitz,
Tracy v. Swartwout,
See, also, Overmyer v. Barnett,
Kendall v. Stokes,
Standard Nut Margarine Co. v. Mellon,
Confiscation Cases,
Norris v. United States,
United States v. Birdsall,
§ 5390, R.S. as amended, 18 U.S.O.A. §251.
Instructions to National Bank Receivers (1924) 79.
Dinsman v. Wilkes,
Leong Yau v. Carden,
Anderson v. Rohrer, D.C.S.D.Fla.,
3 Bl.Comm. *326.
Bradley v. Fisher,
Yaselli v. Goff, supra note 13 (special assistant to the Attorney General); Smith v. Parman,
Sidener v. Russell,
Spalding v. Vilas,
Mellon v. Brewer,
Standard Nut Margarine Co. v. Mellon,
Lang v. Wood,
Brown v. Rudolph,
Smith v. O’Brien,
White v. Brinkman,
Farr v. Valentine,
De Arnaud v. Ainsworth,
Nalle v. Oyster,
Yaselli v. Goff, supra note 13; United States to Use of Parravicino v. Brunswick; 63 App.D.Cl 65, 68,
Cummings and McFarland, Federal Justice (1937) 80: “Not only were there no records but the government provided neither an office nor clerical assistanee. As far back as December 1791, ‘Atforney General Randolph, through President Washington, without success had urged Congress to provide a clerk. President Madison, when it became evident that résidence at Washington had greatly increased the Attorney General’s labor, in 1816 .urged that he be supplied with ‘the usual appurtenances to a public office.’ A bill to provide offices and a clerk came to the Senate floor,, on January 10, 1817.’’
Id. at p. 81: “Thirty years had passed since the federal government was first organized. Now, Congress provided offices in the Treasury and a clerk at $1,-000 a year, with an additional small contingent fund of $500 for such essentials as stationery, fuel, and ‘a boy to attend, the menial dirties.’ ”