Lead Opinion
Defendants Edward Griesenauer, Jerry Davis, David London, Kenneth Molloy, Karl Duncan, Theodore Boiler, and Marvin Coval appeal from an order entered in the United States District Court for the Eastern District of Missouri denying their motion to dismiss a civil rights complaint on the ground of absolute immunity. Brown v. Griesenauer, No. 88-0601C(6) (Apr. 9, 1990) (order) {Brown). For reversal, defendants argue that they are entitled to absolute immunity from damages liability for actions undertaken as members of a municipal board of impeachment. For the reasons discussed below, we reverse and remand the case to the district court with directions to dismiss the complaint.
In April 1983 plaintiff James Brown was inaugurated mayor of the City of O’Fallon, Missouri. He began his second term as mayor in April 1985. Defendants were members of the city’s board of aldermen. The board of aldermen has a total of eight members. For reasons that are not apparent from the record, relations between Brown and the board of aldermen deteriorated, and in September 1985 the board of aldermen passed a resolution of censure against Brown. Brown went to state trial court and obtained a temporary restraining order prohibiting the board of aldermen from implementing the resolution of censure. Relations between Brown and the board of aldermen worsened, and in February 1986 the board of aldermen passed a resolution of impeachment against Brown. Pursuant to Mo.Rev.Stat. § 79.240,
Brown then filed an action for review of the impeachment proceedings in state trial court. He alleged that there were numerous procedural improprieties in the impeachment proceedings. The state trial court affirmed the impeachment decision and dissolved the temporary restraining order. After an initial appeal to the state supreme , court, the state supreme court remanded the case to the state court of appeals. The state court of appeals reversed the impeachment decision on the ground that Brown had not been afforded a reasonable opportunity to present evidence of bias on the part of two members of the board of aldermen, ordered Brown returned to office and remanded the case to the state trial court for further proceedings. State ex rel. Brown v. City of O’Fallon,
Brown then filed this 42 U.S.C. § 1983 action against defendants (the seven aider-men who voted against him), in their individual capacities only, for voting to impeach him and sought compensatory and
With respect to the claim of absolute immunity from damages liability, defendants argued that they were entitled to absolute immunity because they acted in a judicial capacity when they sat as a municipal board of impeachment. The district court applied the functional analysis test from Cleavinger v. Saxner,
As a preliminary matter, we hold that we have jurisdiction over this interlocutory appeal under the collateral order doctrine of Cohen v. Beneficial Industrial Loan Corp.,
We review the district court’s denial of absolute immunity de novo. The essential facts necessary to resolve the claim of absolute immunity in the present case are not in dispute, and whether defendants are entitled to absolute immunity from damages liability
For reversal, defendants argue that they acted essentially in a judicial capacity when they sat as a municipal board of impeachment and are therefore entitled to absolute immunity from damages liability. Defendants specifically argue the district court misapplied the political influence factor. They argue that elective status alone does not preclude absolute immunity from dam
In contrast, Brown argues the district court properly applied the Cleavinger-Butz factors. He argues impeachment is an essentially political process in which precedent is not important and in which all the participants are elected politicians and thus are not insulated from political influence. Brown further argues that absolute immunity would not sufficiently increase defendants’ ability to act in a forthright manner to warrant the absence of a remedy for intentional or otherwise inexcusable constitutional violations. He argues defendants did not act in either a judicial or legislative capacity when they sat as a municipal board of impeachment, but instead they acted in an administrative or executive capacity. In other words, Brown characterizes impeachment as a specialized kind of personnel decision, for which government officials enjoy only qualified immunity.
For the reasons discussed below, we hold that defendants are entitled to absolute immunity from damages liability.
There are two types of immunity from personal liability for damages available to government officials: absolute immunity and qualified immunity. See Owen v. City of Independence,
Legislators are also protected by absolute immunity for actions taken in their legislative capacity. See Lake Country Estates, Inc. v. Tahoe Regional Planning Agency,
It is, however, misleading to analyze immunity only in terms of the identity or status of the official or class of officials, for example, judicial immunity or legislative immunity. The Supreme Court has instead developed “a ‘functional’ approach to immunity law.” Harlow v. Fitzgerald,
Thus, under the functional approach to immunity law, the critical inquiry is in what capacity the defendants were acting at the time of the allegedly unconstitutional or unlawful conduct. In the present case defendants are local legislators. As discussed above, however, defendants’ status as local legislators is not dis-
We think the district court correctly characterized defendants’ actions as essentially judicial or adjudicatory, rather than legislative. As discussed above, immunity analysis focuses on “the nature of the function performed, not the identity of the actor [or actors] who performed it.” Forrester v. White,
This does not conclude our immunity analysis. We must next determine whether the function of the board of aldermen, sitting as a municipal board of impeachment, was a “classic” adjudicatory one so as to justify the protection of absolute immunity as opposed to only qualified immunity.
*438 [T]he Court mentioned the following factors, among others, as characteristic of the judicial process and to be considered in determining absolute as contrasted with qualified immunity: (a) the need to assure that the individual can perform his [or her] functions without harassment or-intimidation; (b) the presence of safeguards that reduce the need for private damages actions as a means of controlling unconstitutional conduct; (c) insulation from political influence; (d) the importance of precedent; (e) the adversary nature of the process; and (f) the correctability of error on appeal.
Cleavinger,
We acknowledge that “the line between absolute immunity and qualified immunity often is not an easy one to perceive and structure.” Cleavinger,
Next, municipal impeachment proceedings in Missouri are subject to extensive procedural safeguards, as set forth in the state administrative procedure act, which reduce the need for a private damages remedy as a means of controlling unconstitutional conduct. Mo.Ann.Stat. ch. 536 (Vernon 1988 & Supp.1992); see State ex rel. Powell v. Wallace,
We also think that precedent is important in impeachment proceedings, particularly on judicial review, because Missouri courts have construed “for cause” for purposes of impeachment to mean “legal cause” which “specifically relates to and affects the administration of the office ... and [is] restricted to something of a substantial nature directly affecting the rights
As noted by the district court, the individual board members are elected officials and to that extent are not insulated from political influence. However, political or electoral pressure alone cannot deprive government officials of absolute immunity or qualified immunity; after all, legislators are the quintessential elected officials and they enjoy absolute immunity for acts taken in a legislative capacity. Similarly, many state judges are elected and nonetheless enjoy absolute immunity for acts taken in a judicial capacity. We think that, at least for purposes of immunity analysis, the insulation-from-politieal-influence factor does not refer to the independence of the government official from the political or electoral process, but instead to the independence of the government official as a decision-maker. We think the individual board members as decision-makers in municipal impeachment proceedings are as independent as administrative law judges or as federal or state judges. Unlike the members of the prison disciplinary committee in Cleavinger who were prison employees and the direct subordinates of the warden who reviewed their disciplinary decisions,
In sum, we hold that defendants acted in a judicial capacity in voting to impeach the mayor and that their function as a board of impeachment was sufficiently comparable to “classic” adjudication so as to justify absolute immunity from personal liability for damages.
Accordingly, we reverse the order of the district court and remand the case to the district court with directions to dismiss the complaint.
Notes
. The City of O’Fallon is a fourth class city. Mo.Rev.Stat. § 79.240 authorizes the impeachment of mayors of fourth class cities and provides in part that "[a]ny elective officer, including the mayor, may in like manner, for cause shown, be removed from office by a two-thirds vote of all members elected to the board of aldermen, independently of the mayor’s approval or recommendation.”
. We note that Brown did not sue defendants in their official capacities for declaratory or in-junctive relief. See Supreme Court v. Consumers Union of United States, Inc.,
. As noted by the Supreme Court in Cleavinger v. Saxner,
Concurrence Opinion
concurring and concurring specially.
I agree with Judge McMillian’s thorough and scholarly analysis of absolute immunity and concur in his opinion. I think, additionally, that Brown’s complaint suffers from a more fundamental defect. He simply does not state a claim for relief that can be granted under 42 U.S.C. § 1983. I recognize that it is frequently more expeditious to reach the question of immunity than to analyze the quality of the claim asserted. Perhaps this is such a case. Here, however, the path followed clearly demonstrates that more due process was given Brown under Missouri law than was required by the Constitution.
