Bobby MCCURDY, Appellant,
v.
Kirk DODD, Badge No. 1762 Individually and as a police officer for the Philadelphia Police Department; Christopher DiPasquale, Badge No. 4971 Individually and as a police officer for the Philadelphia Police Department; John Mouzon, Badge No. 5293 Individually and as a police officer for the Philadelphia Police Department; Dave Thomas, Badge No. 1762 Individually and as a police officer for the Philadelphia Police Department; Scott Wallace, Badge No. 3434 Individually and as a police officer for the Philadelphia Police Department; City of Philadelphia, Appellees.
City of Harrisburg; City of Pittsburgh; City of Newark; City of Camden, Amici-Appellees.
No. 02-2708.
United States Court of Appeals, Third Circuit.
Argued July 23, 2003.
Filed December 17, 2003.
Richard A. McDaniel (argued), Philadelphia, PA, for Appellant.
Jane L. Istvan (argued), City of Philadelphia, Law Department, Philadelphia, PA, for Appellees Kirk Dodd, John Mouzon, Dave Thomas, Scott Wallace and the City of Philadelphia.
Richard G. Tuttle (argued), Kolansky, Tuttle, & Rocco, Philadelphia, PA, for Appellee Christopher DiPasquale.
Sarah E. Ricks, Rutgers University School of Law, Camden, NJ, for Amici-Appellees.
Before ALITO, FUENTES, and BECKER, Circuit Judges.
OPINION OF THE COURT
FUENTES, Circuit Judge.
This controversy arises out of the tragic and fatal shooting of Donta Dawson ("Dawson" or the "decedent") in an encounter with officers of the Philadelphia Police Department. Dawson's biological father, Bobby McCurdy ("McCurdy"), appeals the grant of summary judgment in favor of the defendants as to McCurdy's sole remaining claim from an action brought pursuant to 42 U.S.C. § 1983. McCurdy invoked the Due Process Clause of the Fourteenth Amendment and asserted that defendants had violated his parental liberty interest in the companionship of his independent adult son.
The District Court granted summary judgment on the ground that McCurdy was precluded from bringing his § 1983 action after he had entered into an agreement with Dawson's mother to share the proceeds from her settlement of a prior civil action against the same defendants here. We find, however, that there is a controlling, threshold issue whiсh obviates the need to address preclusion: that is, whether McCurdy has adequately asserted the violation of a cognizable constitutional right. Because the Due Process Clause does not protect the interest of a parent in the companionship of his or her independent adult child, we will affirm the judgment of the District Court.
I.
A.
On the night of October 1, 1998, Donta Dawson was sitting alone in a parked car, with the engine running, on 12th Street near Glenwood Avenue in Philadelphia. The headlights and interior lights were on, and the radio was audible. Philadelphia Police officers Kirk Dodd and Christopher DiPasquale spotted Dawson's vehicle and pullеd up alongside it. Officer Dodd inquired why Dawson was parked on the street and whether he needed any assistance. According to the officers, Dawson looked at them and then looked away without responding.
Officer Dodd exited the patrol car and approached Dawson on the driver's side of the car. He asked Dawson again whether he needed help. Dawson looked at Officer Dodd, shrugged his shoulders, and turned away. The encounter rapidly escalated from there. The officers demanded that Dawson raise his hands, at times yelling obscenities to emphasize their point. Dawson did not respond. Officer DiPasquale drew his weapon and positioned himself by the hood of the patrol car.
While holding down Dawson's left arm, officer Dodd reached in and removed the key from the ignition. He then drew his weapon and pointed it directly at Dawson. Repeated demands to show his hands were met with Dawson's silence. Officer Dodd then attempted to pull Dawson's left arm up without success. As he retreated, he told officer DiPasquale that Dawson had a gun.
After further demands that he raise his hands, Dawson finally began to move his left arm. Officer DiPasquale then fired his weapon, fatally shooting Dawson in the head. A subsequent investigation revealed that Dawson was unarmed.
Although the familial relationships between the decedent and his parents are important to this case, the factual record is disturbingly incomplete in material respects.1 Dawson was the son of Cynthia Dawson and Bobby McCurdy. McCurdy and Cynthia Dawson apparently never married. It also appears as if Ms. Dawson raised her son as a single mother. McCurdy did not provide any meaningful financial support to the decedent.2 The defendants' assertion that McCurdy never listed his son as a dependent on his income tax returns was not contested. It is unclear whether McCurdy ever resided with his biological son and whether he performed any parental duties during Dawson's youth.
Some aspects of the familial relationships, however, are undisputed. In the years before his death, Dawson had minimal contact with his father because McCurdy had been incarcerated since 1996. At the time of the shooting, Dawson was nineteen years old. App. at 11. There is no dispute that Dawson was an independent adult, single and without any children of his own.
B.
Prior to the District Court's summary judgment disposition, there were a number of other proceedings that relate to the present appeal. Approximately six months after Dawson's fatal encounter with the police, Cynthia Dawson, on her own behalf аnd as administratrix of her son's estate, filed a civil action in state court against the City of Philadelphia and several officers of the Philadelphia Police Department, including officers Dodd and DiPasquale. She asserted six causes of action. The first three alleged violations of Dawson's civil rights. The fifth and sixth causes of action, also on behalf of Dawson, were brought pursuant to the Pennsylvania survival and wrongful death statutes, respectively. See 42 Pa. Cons.Stat. Ann. §§ 8301, 8302. Her fourth cause of action, however, asserted the violation of her own constitutional rights for the loss of companionship of her son. At the outset, McCurdy was not a party to this action.
The defendants removed Ms. Dawson's action to federal court. Upon the filing of answers, the defendants settled the matter for a total of $712,500. On July 28, 1999, Ms. Dawson executed an agreement, releasing the defendants from all claims arising out of the death of her son. Ms. Dawson then filed a petition for leave to settle the action and requested an order approving her proposed distribution of the settlement proceeds.3 The District Court granted Ms. Dawson's petition in part, permitted the settlement of the action and the payment of attorneys' fees and costs, but denied her request to determine an appropriate distribution of the settlement proceeds. The denial of the distribution plan was entered without prejudice to the filing of an application in state court for approval of the plan.
Ms. Dawson filed a petition for approval of the distribution plan in state court in August 1999. In her petition and supporting memorandum, Ms. Dawson contended that McCurdy had forfeited any right or interest in the settlement proceeds because, among other things, he failed to perform any parental functions or to provide any financial support. Shortly thereafter, McCurdy filed an unsigned objection to Ms. Dawson's petition and a similarly unsigned memorandum of law in support of his objections.
While the distribution of the settlement proceeds was pending, McCurdy filed his own separate action in state court, which commenced the proceedings at issue in this appeal. McCurdy's complaint, filed on October 26, 1999, was substantially similar to Ms. Dawson's complaint. The first three causes of action alleged violations of Dawson's civil rights. His fourth cause of action was almost identical to Ms. Dawson's, except that it asserted a violation of McCurdy's own constitutional rights for the loss of companionship of his son.
The defendants removed McCurdy's action to the District Court оn November 18, 1999 and promptly filed motions to dismiss. The District Court granted the motions to dismiss the first three causes of action. The Court held that Ms. Dawson, as administratrix of her son's estate, was the only proper party to bring claims on behalf of the decedent. See McCurdy v. Dodd, No. 99-CV-5742,
Meanwhile, the Court of Common Pleas of Philadelphia, Orphan's Court Division, scheduled a hearing with regard to Ms. Dawson's petition to approve her distribution plan. After the hearing, Ms. Dawson and McCurdy agreed to settle their dispute as to the proper allocation of the settlement proceeds arising out of Ms. Dawson's civil action. Therefore, on July 11, 2000, the court entered a decree аpproving a modified distribution plan reflecting the agreement reached between Dawson's parents. Specifically, Ms. Dawson was awarded $256,000 for her individual constitutional claim. The balance of the proceeds, derived from Ms. Dawson's wrongful death claim, was allocated to Dawson's estate, which both parents were entitled to share in equal portions pursuant to statute. Thus, McCurdy and Ms. Dawson were awarded $123,154 each. Consistent with the decree, McCurdy then executed an agreement with Ms. Dawson, releasing her and the estate from all claims arising out of Dawson's death.
Based on these events, the defendants in McCurdy's action filed motions in the District Court for summary judgment. Among other things, the defendants argued that McCurdy's acceptance of his statutory share of the estate proceeds and his settlement of the dispute with Ms. Dawson precluded his constitutional claim in the District Court action. In addition, the defendants contended that McCurdy lacked standing to bring his fourth cause of action because there was no recognized constitutional right of parents to the companionship of their independent adult children. The District Court agreed that McCurdy's constitutional claim was precluded. It held that "Plaintiff [] accepted part of the funds attributed to the Wrongful Death Action, and executed a release. The claims Plaintiff pursues in the instant action for `familial companionship' are the same as the claims brought by Ms. Dawson.... Therefore, in partaking of those funds, Plaintiff's instant claims have been satisfied, and must be dismissed." McCurdy v. Dodd, No. 99-CV-5742,
II.
The District Court had jurisdiction over the underlying action pursuant to 28 U.S.C. §§ 1331 and 1343. We have jurisdiction to review the final order of the District Court pursuant to 28 U.S.C. § 1291. Our review of a grant of summary judgment is plenary. See Curley v. Klem,
III.
A.
In his sole remaining claim, McCurdy alleges that, as a parent, he has a liberty interest protected by the Due Process Clause of the Fourteenth Amendment in the companionship of his son. According to McCurdy, when officer DiPasquale shot and killed Dawson, the defendants violated his parental rights. He seeks to hold the defendants liable for this purported violation pursuant to 42 U.S.C. §§ 1983 and 1988.
Section 1983, enacted as part of the Civil Rights Act of 1871, establishes "a federal remedy against a person who, acting under color of state law, deprives another оf constitutional rights." City of Newport v. Fact Concerts, Inc.,
Although we are mindful of the broad remedial purposes of § 1983, we must also recognize that, in § 1983 cases grounded on alleged parental liberty interests, we are venturing into the murky area of unenumerated constitutional rights. See Troxel v. Granville,
This threshold inquiry requires us to identify the alleged due process right at issue carefully and precisely. See id. at 721,
It is by now well-settled that the Due Process Clause protects certain narrowly defined fundamental rights of parents in their relationships with their children. There are substantive and procedural components to parental liberty interests. In Troxel, the Supreme Court addressed the constitutionality of a Washington state statute which permitted "any person" to petition a court for visitation rights "at any time," when such visitation would "serve the best interest of the child."
The plurality in Troxel relied on a line of cases which recognized the due process right of parents to make critical decisions about the upbringing of their children. See id. at 65,
In Bailey, we also recognized a "cognizable liberty interest in preserving the life and physical safety of [a minor child] ... a right that logically extends from [a parent's] recognized liberty interest in the custody of his children and the maintenance and integrity of the family."
Some cases involving due process rights of parents have a procedural component as well. In Stanley v. Illinois, the Supreme Court invalidated an Illinois statute which presumptively treated unwed fathers as unfit parents, without an individualized hearing.
In addition to these guideposts, we also note that the Due Process Clause does not condemn every conceivable state action that affects a fundamental right in any way. In Daniels v. Williams, the Supreme Court made it clear that the "Due Process Clause is simply not implicated by a negligent act of an official causing unintended loss of or injury to life, liberty, or property."
B.
With these guiding principles in mind, we turn to the specific due process right which McCurdy asserts here. He claims that, as a father, he has a protected liberty interest in the companionship, care, and affection of his independent adult son. Defined as such, there are a number of problems immediately apparent with McCurdy's purported due process right. First, the Supreme Court has never considered whether parental liberty interests extend to the companionship of independent adult children.5 As we noted above, the Court's parental liberty cases have exclusively dealt with the right to make critical child-rearing decisions concerning the care, custody, and control of minors. See Troxel,
Third, we note that the Courts of Appeals are divided on the issue of whether the Due Process Clause protects a parent's right to the companionship of his or her adult son. McCurdy correctly observes that the Courts of Appeals for the Seventh and Tenth Circuits have recognized the parental liberty interest he asserts here. See Bell v. City of Milwaukee,
Given the guideposts to which we must pay strict adherence, we believe that, for several reasons, a broad expansion of due process protections to encompass McCurdy's proposed definition is unwarranted in this case. First, we return once more to the parental liberty interest as defined by the Supreme Court. That interest concerns the right of parents to make critical child-rearing decisions concerning the carе, custody, and control of minors. Troxel,
When children grow up, their dependence on their parents for guidance, socialization, and support gradually diminishes. At the same time, the strength and importance of the emotional bonds between them and their parents usually decrease. Concededly, the bond between a parent and child when the child is an adult usually bears some resemblance to the same bond when the child was a minor. But, as a long line of Supreme Court cases attests, the differences between the two stages of the relаtionship are sufficiently marked to warrant sharply different constitutional treatment.
In addition, we are hesitant to extend the Due Process Clause to cover official actions that were not deliberately directed at the parent-child relationship, in disregard of the Supreme Court's admonition in Daniels,
In closing, we recognize that our attempt to clarify the contours of due process protections may raise some ambiguities of its own. In most cases, the point at which a child legally becomes an adult may be established by the presumed state age of majority. See 23 Pa. Cons.Stat. Ann. § 5101(b) ("Except where otherwise provided or prescribed by law, an individual 18 years of age and older shall be deemed an adult and may sue and be sued as such"). Nevertheless, adulthood is often a fact-specific inquiry heavily dependent on the unique context of each situation. For this reason, all of the states in our Circuit recognize the more fluid concept of "emancipation," as well as adulthood. See Geiger v. Rouse,
For these reasons, we hold that the fundamental guarantees of the Due Process Clause do not extend to a parent's interest in the companionship of his independent adult child. In the vast majority of cases, adulthood may be established by reference to the presumed state age of majority; in some (probably rare) cases, the presumption of adulthood may be rebutted by clear and convincing evidence of lack of emаncipation. Having found the record utterly bare of factual evidence that would support Dawson's lack of emancipation, we hold that McCurdy has failed to satisfy the threshold requirement of asserting the violation of a recognized constitutional right. In light of our decision today, we find it unnecessary to reach the issue of preclusion based on McCurdy's settlement with Cynthia Dawson and on his acceptance of his statutory share of Dawson's estate. Accordingly, we believe it was unnecessary for the District Court to address the issue as well.9
IV.
For the reasons set forth above, we affirm the judgment of the District Court.
Notes:
Notes
According to defеndants, these gaps in the factual record are directly attributable to McCurdy's failure to respond to their Requests for Admission, served on two separate occasionsSee Brief of Appellees Kirk Dodd, John Mouzon, Dave Thomas, Scott Wallace and the City of Philadelphia, at 7 n. 1. Because of McCurdy's failure to do so, the defendants contend that the factual assertions in the Requests should be deemed admitted. See id. (citing McNeil v. AT & T Universal Card,
At oral argument, we gave McCurdy's counsel ample opportunity to bring to our attention specific facts relating to the nature of the father-son relationship, but he was unable to provide any information that would dispute the defendants' contention that McCurdy failed to play a substantial role in raising Dawson. Counsel stated on the record that McCurdy once sent a nominal sum of money to Dawson, which McCurdy received from the settlement of a civil action that he brought while incarcerated. No verification of this one-time payment, or any other indications that McCurdy was a substantial father figure to Dawson, аppears in the appellate record
Ms. Dawson's proposal called for the following distribution of proceeds: $450,000 to Ms. Dawson, individually, for the violation of her constitutional rights; $23,412 to Ms. Dawson as sole beneficiary of the wrongful death action; $23,412 to the estate of Donta Dawson in settlement of the survival claim; $213,750 in attorneys' fees; and $1,925 in costs
The cities of Newark, Camden, Harrisburg and Pittsburgh have filed a joint amicus brief urging us to do the same
On two occasions, the Court granted review in cases where the issue might have arisen, but subsequently dismissed certiorari as improvidently grantedSee Espinoza v. O'Dell,
In fact, in two decisions afterBailey, we were presented with the issue but declined to rule upon it. See Schieber v. City of Philadelphia,
We recognize, however, that a number of district courts in our Circuit have misinterpreted Bailey to mean that parental liberty interests in fact extend to the companionship of independent adult children. See, e.g., Estate of Cooper By and Through Cooper v. Leamer,
The loss of a family member is almost always catastrophic to the survivors. It serves no purpose to minimize the sense of loss here. However, "even an interest of great importance may not always be entitled to constitutional protection."Burgos,
For instance, the factual background inGeiger presents an interesting dilemma. In that case, the court heard relevant and credible evidence that the child, although over the age of eighteen, was "totally dependent upon her parents as a result of her moderately severe cerebral palsy," severe depression, and lack of means of employment.
Judge Alito concurs in the judgment for essentially the reasons given by the District Court
