James MATTHEWS doing business as Upton Processing, and James Matthews doing business as Newcastle Pack, Appellant (Plaintiff), v. WYOMING DEPARTMENT OF AGRICULTURE, John Orton as Commissioner, Robert E. Fetzner, individually and as Director, and Douglas Krogman, individually and as Inspector, Appellees (Defendants).
No. 85-7
Supreme Court of Wyoming
May 16, 1986
Reassigned to Cardine, J., Feb. 3, 1986.
719 P.2d 216
Steven R. Czoschke of Sheehan, Stevens & Sansonetti, Gillette, for appellees.
Before THOMAS, C.J., and ROSE,** ROONEY,*** BROWN and CARDINE, JJ.
CARDINE, Justice.
James Matthews appeals from a summary judgment order issued by the district court in favor of the Wyoming Department of Agriculture and three of its employees. The district court held that the Wyoming Governmental Claims Act,
FACTS
Appellant Matthews operates a commercial meat processing plant in Upton, Wyoming under a state license which subjects him to regulation by the Wyoming Department of Agriculture. Sections
On November 13, 1984, appellees filed a joint summary judgment motion supported by a memorandum and affidavits. The motion was limited to the action for damages and relied upon
A governmental entity and its public employees while acting within the scope of duties are granted immunity from liability for any tort except as provided by
W.S. 1-39-105 through1-39-112 .
Appellees also discussed
A governmental entity is liable for damages resulting from tortious conduct of law enforcement officers while acting within the scope of their duties.
Appellees argued that they enjoyed governmental immunity because they were public employees of a governmental entity and because none of the exceptions to
** Retired November 1, 1985.
*** Retired November 30, 1985.
IMMUNITY UNDER THE GOVERNMENTAL CLAIMS ACT
Appellant has sued all the appellees, including the department, in their official capacities. A person acting in an official capacity is, by definition, acting within the scope of his duties. Therefore, the exception in
The only exception that could arguably apply is the law enforcement exception,
5. I do not have the power under the Wyoming Statutes dealing with the Act, nor is it my duty under those statutes to hold in custody any person accused of a criminal offense or of a violation of the Act, or to arrest any person charged with committing a crime or a violation of the Act, nor is it one of my duties nor within my authority to maintain public order or to carry a weapon in the performance of my duties under the Act.
6. That the Attorney General or the county and prosecuting attorney where the violation occurred has the responsibility pursuant to Wyoming Statute
§ 35-7-709 to charge persons with violations of the Act and to initiate criminal action under the Act.
Because the department can act only through its employees and because the department‘s liability in this case derives solely from the acts of the three individual appellees, there was no need for the department to submit additional affidavits detailing the law enforcement powers of the department as a whole.1 The only official duties relevant to the department‘s liability in this case are the duties of the three individual appellees which were fully covered by their affidavits.
Once the appellees established their official duties as a matter of fact, they were entitled to summary judgment if, as a matter of law, those duties did not make them law enforcement officers. We recently interpreted the term “law enforcement officers,” for purposes of
It is clear from appellees’ affidavits that they are not charged with traditional peace-keeping duties and are not law enforcement officers. They have no power to maintain public order, to carry a weapon, or to hold or arrest persons accused of violating the act. Criminal enforcement of the act is delegated entirely to either the attorney general or the county or prosecuting attorney where a violation occurs. The law enforcement exception of
CONDUCT BY FETZNER AND KROGMAN OUTSIDE THEIR OFFICIAL DUTIES
In a summary judgment proceeding, the movant has “a definite burden to clearly demonstrate there is no genuine issue of material fact * * *!” Hickey v. Burnett, Wyo., 707 P.2d 741, 744 (1985), quoting Kover v. Hufsmith, Wyo., 496 P.2d 908, 910 (1972).
“A material fact is one which, if proved, would have the effect of establishing or refuting one of the essential elements of the cause of action or defense asserted by the parties.” Colorado National Bank v. Miles, Wyo., 711 P.2d 390, 393 (1985). Until the movant has established that there is no issue of material fact requiring a trial, the non-moving party has no obligation to support his pleadings with affidavits or other evidence. O‘Donnell v. City of Casper, Wyo., 696 P.2d 1278, 1287 (1985).
Appellant sued appellees Fetzner and Krogman in their individual as well as official capacities. He alleged in his complaint that they committed wrongful acts outside the scope of their authority as public employees:
12. The defendant Robert E. Fetzner has falsely, maliciously and without any legal or statutory basis or authority and in excess of and beyond the scope of his employment, accused plaintiff of committing criminal acts.
* * * * * *
14. The defendant Douglas Krogman and Defendant Robert E. Fetzner have subjected the plaintiff James Matthews to a continuing pattern of harassment in plaintiff‘s daily operations and use of plaintiff‘s facilities and further said defendants have unfairly, arbitrarily and capriciously and maliciously applied standards, without any legal or statutory basis or authority, on plaintiff‘s operations and facilities.
The Governmental Claims Act bars suit against governmental employees only to the extent that they act within the scope of their duties. Therefore, appellees Fetzner and Krogman were entitled to summary judgment on the claims against them in their individual capacities only if they could establish that they acted solely within their official duties when they dealt with appellant. But the affidavits filed by Fetzner and Krogman in support of their motion for summary judgment do not establish these material facts.
Appellees can supply the necessary material facts only if testimony from prior hearings in the case could be considered by the court at the summary judgment hearing. The prior testimony was presented at a preliminary injunction hearing and at a hearing on a motion to dismiss. At the preliminary injunction hearing the trial judge made it clear that he viewed appellees’ testimony only in the context of the law of injunctions. He was looking for a risk of irreparable harm, inadequate remedy at law, and probability of success on the merits. And at the hearing on the motion to dismiss the judge correctly interrupted and disregarded appellee Fetzner‘s testimony because a motion to dismiss under Rule 12(b)(6), W.R.C.P. is based on the pleadings. The court accepts the averments in the pleadings as true. Carbon County School District No. 2 v. Wyoming State Hospital, Wyo., 680 P.2d 773 (1984). The judge ignored Fetzner‘s statement that he had acted within the scope of his authority, and he did not permit appellee Krogman to testify at all. The judge stated at the hearing on the motion to dismiss:
This isn‘t a motion for summary judgment. * * * [E]verything that this man says in his complaint must be taken as true in a motion to dismiss. So you have to admit this. You have to admit that they acted arbitrarily and capriciously and were negligent in supervision. * * * I don‘t need any testimony.
Appellees did not file their motion for summary judgment until November 13, 1984, almost four months after the preliminary injunction hearing and two months after the hearing on the motion to dismiss. They never referred to the testimony from those hearings in their summary judgment motion or supporting memorandum. Instead, they stated that
[t]he grounds upon which this motion are based are those as indicated in the attached Affidavits and Memorandum in Support of Motion for Summary Judgment.
They did not rely on the prior testimony which indicated that they acted within the scope of their authority because they thought that they were entitled to summary judgment without making that showing. They erroneously suggested that
[t]he sole issue on which the Motion for Summary Judgment is based is whether the actions of the defendants can be considered actions of a law enforcement officer.
Even if appellees intended to rely upon the testimony from the prior hearings to support their summary judgment motion, they had to present that testimony to the district court in a form that would be admissible at trial.
In Wyoming
[t]he material presented to the trial court as a basis for summary judgment should be as carefully tailored and professionally correct as any evidence which is admissible to the court at the time of trial. Lane Company v. Busch Development, Inc., Wyo., 662 P.2d 419, 426 (1983).
[T]estimony given at a hearing or trial that is prior to the summary judgment hearing * * * may * * * be utilized at the summary judgment hearing, provided the testimony is properly presented at the latter hearing. 6 J. Moore, W. Taggart & J. Wicker, Moore‘s Federal Practice ¶ 56.11[8] at 56-295 (2nd ed. 1985). See also 10A C. Wright, A. Miller & M. Kane, Federal Practice and Procedure: Civil 2d § 2719 at 15-16 (1983); Sturm Jewelry, Inc. v. First National Bank, Franklin, Tex.Civ.App., 593 S.W.2d 813, 815 (1980).
If the prior testimony was not before the district court in admissible form, we cannot consider it in this appeal.
The scope of appellate review of a summary judgment is to examine the judgment * * * in the same light as the district court, using the same material and information as did the district court. Dudley v. East Ridge Development Company, Wyo., 694 P.2d 113, 115 (1985) (quoting Lane Company v. Busch Development, Inc., supra).
Even if a court accurately recalls prior testimony, it would be unfair to allow summary judgment based on that testimony unless it is submitted with the summary judgment motion in admissible form, i.e., transcribed and authenticated. The party opposing summary judgment should have notice of the materials before the court so that he can prepare his defense to the motion. See Nation v. Nation, Wyo., 715 P.2d 198 (1986). Materials in the court‘s files, and affidavits, depositions and exhibits attached to the summary judgment motion fulfill this requirement. The only exception to the notice requirement involves oral testimony at the summary judgment hearing itself which most courts permit even though it can result in surprise to the non-moving party. 10A C. Wright, A. Miller & M. Kane, Federal Practice and Procedure: Civil 2d § 2723 at 62 (1983). Unlike testimony from prior hearings, the judge hears the summary judgment testimony with summary judgment standards in mind and can take notes on what he finds relevant.
We hold that in a summary judgment proceeding, a court may consider testimony from prior hearings only if that
It is possible, despite the affidavits which were the only materials properly before the court, that Fetzner and Krogman acted outside the scope of their duties. In that case, the governmental immunity defense of
RESPONSE TO OPINION CONCURRING IN PART AND DISSENTING IN PART
It is stated in Justice Rooney‘s concurring and dissenting opinion that we hold appellees Fetzner and Krogman are “liable individually because there is no averment that they were acting in their official capacities.” Our opinion does not hold them “liable” but merely states that they are not entitled to summary judgment in their favor upon the record before the court. We recognize that in all probability there will be a new motion for summary judgment containing the necessary allegations. But we do not see that as a waste of judicial time and expense. It would be a sorry state of affairs if a court could grant summary judgment without any evidentiary basis simply because it thought that the motion could ultimately be supported by evidence. No rule provides for that kind of procedure.
Summary judgment is affirmed as to all appellees in their official capacities but reversed as to appellees Fetzner and Krogman in their individual capacities.
THOMAS, Chief Justice, concurring in part and dissenting in part.
I am in accord with that portion of the majority opinion which affirms the summary judgment entered in favor of the State and its officers. There is an additional reason for affirming that summary judgment. The complaint does not allege that Matthews ever filed a claim against the State as required by
I cannot agree, however, with the aspect of the majority opinion which reverses the summary judgment entered in favor of Krogman and Fetzner in their individual capacities. I join Justice Rooney in his opinion, and I also submit some additional observations.
In material part Matthews’ complaint alleges that:
3. On or about February 6, 1984, defendant Douglas Krogman inspected the premises known as Upton Processing.
4. Pursuant to instructions from, and at the direction of and under the supervi-
sion of defendant Robert E. Fetzner, defendant Douglas Krogman tagged the kill floor portions of the plaintiff‘s premises as rejected.
5. On or about February 7, 1984, the said tag was removed and the plaintiff continued meat processing operations.
6. On or about February 8, 1984, defendant Douglas Krogman inspected the said premises.
7. Pursuant to instructions from defendant Robert E. Fetzner, the defendant Douglas Krogman tagged the cooler and kill chute portion of the said premises as rejected and imposed a restriction of 14 carcasses in the cooler.
8. On or about February 29, 1984, the said tag was removed and plaintiff continued operations.
9. On or about February 29, 1984, pursuant to the instructions of defendant Robert E. Fetzner, defendant Douglas Krogman lifted the restriction of 14 carcasses to 16 carcasses.
10. Since February 9, 1984, the defendant Douglas Krogman, by and through and pursuant to the instructions of defendant Robert E. Fetzner, has arbitrarily inspected the premises and subjected the plaintiff to unreasonable and excessive standards of sanitation and has imposed an arbitrary and illegal restriction on the number of carcasses in the plaintiff‘s cooler.
11. The defendant Douglas Krogman, by and through the action of defendant Robert E. Fetzner, has ordered plaintiff to remove property not on his premises and belonging to other persons.
12. The defendant Robert E. Fetzner has falsely, maliciously and without any legal or statutory basis or authority and in excess of and beyond the scope of his employment, accused plaintiff of committing criminal acts.
13. The defendant Robert E. Fetzner has stated he would take away the plaintiff‘s license to do business in the State of Wyoming.
14. The defendant Douglas Krogman and Defendant Robert E. Fetzner have subjected the plaintiff James Matthews to a continuing pattern of harassment in plaintiff‘s daily operations and use of plaintiff‘s facilities and further said defendants have unfairly, arbitrarily and capriciously and maliciously applied standards, without any legal or statutory basis or authority, on plaintiff‘s operations and facilities.
15. The aforementioned actions of defendant Douglas Krogman and defendant Robert E. Fetzner are arbitrary, capricious and malicious, and are without any legal or statutory basis or authority, and plaintiff is entitled to punitive damages.
The answer of the defendants encompasses the following affirmative defenses:
1. The defendants as an affirmative defense would state that the action against the defendants is prohibited by the Wyoming Constitution, Article 1, Section 8, based upon the Doctrine of Sovereign Immunity.
2. That the action against the defendants is barred by the Wyoming Governmental Claims Act and that the actions of the defendants fail to fall within any of the statutory exceptions to said act.
3. That the individually named defendants at all times relevant hereto were acting within the scope of their employment and pursuant to statutory authority, and are therefore immune from liability.
These pleadings structure an issue of fact as to whether Fetzner and Krogman acted within the scope of their employment.
There were three hearings which have a bearing upon this issue. First there was a hearing on an application for a preliminary injunction at which the court took testimony and at which exhibits were introduced. This was followed by a hearing on defendant‘s motion to dismiss. Finally the court held a hearing on the motion for summary judgment. In arguing the motion to dismiss, Matthews’ attorney substantially conceded that Krogman and Fetzner were at all times relevant to the complaint acting within the scope of their employment. He
Because the scope of the matter had been limited in this way the argument on the motion for summary judgment was addressed to the proposition that Fetzner and Krogman were not law enforcement officers. The supporting documents were tailored to support this proposition. The affidavits which are found by the majority to be insufficient to justify summary judgment for Fetzner and Krogman read as follows. Fetzner‘s affidavit says:
2. That pursuant to statutory authority and the rules and regulations of the State Board of Agriculture, I am empowered and directed to carry out certain provisions of the Wyoming Wholesome Meat Act in conjunction with the Federal Meat Inspection Act.
3. My duties require me to be involved in the license issuing process, the inspection program for licensed meat premises within the State of Wyoming, and to take certain action only pursuant to statutory authority against any operation not in compliance with the statutes and the rules and regulations of the State Board of Agriculture.
Krogman‘s affidavit recites:
2. That pursuant to statutory authority and the rules and regulations of the State Board of Agriculture, I am empowered and directed to carry out the provisions of the Wyoming Wholesome Meat Act in conjunction with the Federal Meat Inspection Act.
3. My duties require me to be involved in the license issuing process, the inspection program for licensed meat premises within the State of Wyoming, and to take action pursuant to statutory authority against any operation not in compliance with the statutes and the rules and regulations of the State Board of Agriculture.
These affidavits can be read fairly to say in substance, “In the course of my official duties I was authorized to do the things I am alleged to have done.” This is a sufficient statement of fact by affidavit to refute the conclusory allegations of Matthews’ complaint that these individuals acted outside the scope of their employment or without authority. The burden then shifted to the plaintiff to submit affidavits demonstrating in which particulars these individuals exceeded their authority. Matthews failed to do this, and a summary judgment for these defendants was proper.
* * * When a motion for summary judgment is made and supported as provided in this rule, an adverse party may not rest upon the mere allegations or denials of his pleading, but * * * must set forth specific facts showing that there is a genuine issue for trial. Rule 56(e), W.R.C.P.
This rule has been followed with respect to summary judgments in Wyoming for more than 20 years. Vipont Mining Company v. Uranium Research and Development Company, Wyo., 376 P.2d 868 (1962); Matter of Estate of Wilson, Wyo., 399 P.2d 1008 (1965). These affidavits, when read in the light of the conclusory complaint (which charges Krogman with acting pursuant to the instructions of Fetzner) and the answer, are sufficient to support the summary judgment in the absence of counter-affidavits from Matthews.
Furthermore, if I found it to be necessary in order to dispose of this case I would
Certainly Sturm Jewelry, Inc. v. First National Bank, Franklin, supra, is distinguishable. That case was decided pursuant to a procedural rule which “provides that no oral testimony shall be received at the hearing on a motion for summary judgment” together with a ruling of the state supreme court that, consequently, testimony from a prior hearing could be considered only where it was properly transcribed and certified before the court when the summary judgment motion was heard. Wyoming does not have such a provision in its rule, and in fact the trial court has discretion to permit oral testimony at the summary judgment hearing. Dudley v. East Ridge Development Company, supra. In Wright & Miller, Federal Practice & Procedure: Civil § 2723, the authors note that the practice of taking oral testimony at a summary judgment hearing should be exercised “sparingly and with great care,” lest the hearing become a preliminary trial or lest surprise and disadvantage result. “[W]hen testimony taken at an earlier stage in the case is sought to be used, there is little danger of the hearing turning into a ‘preliminary trial,’ and therefore it should be more freely permitted once the testimony has been properly introduced.” Id. Certainly in this instance the former testimony could not have been any surprise to Matthews.
I would hold that the prior testimony could be relied upon by the court to settle any apparent issue of facts for purposes of summary judgment even though the trial court did not specifically articulate his reliance. There is no question that we can uphold the trial court‘s action for any correct reason appearing from the record. Litzenberger v. Merge, Wyo., 698 P.2d 1152 (1985); Hurst v. State, supra.
Finally the exhibits that were introduced at the prior hearing were properly before the court as part of the record at the time the summary judgment motion was heard. Defendants’ Exhibit A, “Wyoming Wholesome Meat Act of 1969 and Regulations; Wyoming Inedible Meat Rendering and Processing Act of 1969 and Regulations,” (1980), and United States Department of Agriculture “Layout Guide for Small Meat Plants,” Table 2., provide the trial court and this court with sufficient information to permit a decision that the factual allegations of the complaint that Fetzner and Krogman had acted outside the scope of
ROONEY, Justice, concurring in part and dissenting in part, with whom THOMAS, Chief Justice, joins.
I concur with that part of the majority opinion which affirms the summary judgment against the Wyoming department of agriculture and appellee John Orton and that part of such opinion which recognizes that appellees Fetzner and Krogman are not law enforcement officers so as to be within the
I agree with the majority opinion in that we review the propriety of a trial court‘s action on a summary judgment from the same standpoint as did the trial court. Rompf v. John Q. Hammons Hotels, Inc., Wyo., 685 P.2d 25 (1984); Schepps v. Howe, Wyo., 665 P.2d 504 (1983); Lane Company v. Busch Development, Inc., supra. In doing so, I do not agree with the majority opinion that the affidavits before the trial court failed to reflect appellees were acting solely within their official duties when they dealt with appellant.
It seems strange to hold that the action is barred against appellees for actions taken by them in their official capacities and then hold that they are liable individually because there is no averment that they
were acting in their official capacities. Part of the lawsuit is a claim against appellees for action in their official capacities. As recognized in the majority opinion, “A person acting in an official capacity is, by definition, acting within the scope of his duties.” The majority opinion acknowledges the official duty status of appellees in upholding the summary judgment against appellees insofar as the action is against them in their official capacities. The appellant recognizes the same in his complaint, and the same is inherent in appellees’ affidavits wherein they contend their actions to have been clothed with immunity since they were not within the exception to such as law enforcement officers.
District judges should not be expected to close their eyes to reason. The district judge did not do so in this instance.
Upon return of this case to the district court, the new motion for a summary judgment will contain the averment of action within the scope of their official duties, and the summary judgment will follow. Such is a waste of judicial time and expense.
I believe the fact that the action was within the scope of appellees’ duties was adequately expressed in that before the trial court when it acted on the motion for summary judgment. That required in
I would affirm in all respects.
