Lead Opinion
Plaintiff Meredith Coleman filed this civil rights action against Nyal Frantz, the Sheriff of Wells County, Indiana, pursuant to 42 U.S.C. § 1983. The district court granted defendant’s motion for summary judgment.
I
As noted, defendant is the Sheriff of Wells County, Indiana, and he occupied that post at all times relevant to this case. On June 23, 1981, the Wells Circuit Court issued a bench warrant for the arrest of plaintiff, based upon defendant’s affidavit of “probable cause” credited by the county court (p. 8 of first opinion below, R. Item 31;
Plaintiff relies upon the language of the form bench warrant stating that the Sheriff “have [Mr. Coleman’s] body before the Judge of Wells Circuit Court, instanter, then and there to answer the State of Indiana, on the charge of Receiving Stolen Property I.C. 35-43-4-2(b) * * and on Indiana Code § 35-l-8-l(a)
Throughout the 18-day detention plaintiff had access to a telephone, to visitors, and to the Sheriff and his staff. Plaintiff also spoke with an attorney during his first week of detention, but did not retain the attorney as counsel. He was not mistreated nor denied necessary items while incarcerated. See
The June 1983 complaint sought $10,000 compensatory and $10,000 punitive damages, attorney’s fees and costs. The district court granted summary judgment in favor of the defendant on the Section 1983 count after reviewing the pleadings, depositions and other documentary evidence. Simultaneously a pendent state count was dismissed with prejudice but is not involved on appeal. The court held that Sheriff Frantz was shielded from Section 1983 liability by a qualified immunity, and alternatively, that no violation of the United States Constitution took place. Two opinions were issued, the second after considering plaintiff’s response to the motion for summary judgment. Each resulted in summary judgment for the Sheriff and in dismissal of plaintiff’s pendent state claims.
II
The preliminary inquiry in any § 1983 action must
focus on whether the two essential elements to a § 1983 action are present: (1) whether the conduct complained of was committed by a person under color of state law; and (2) whether this conduct deprived a person of rights, privileges, or immunities secured by the Constitution or law of the United States.
Parratt v. Taylor,
Plaintiff first contends on appeal that his detention violated a “nationally recognized right for arrested persons to be brought before a magistrate without unreasonable delay” based upon the Fourth Amendmant’s prohibition of “unreasonable * * * seizures” and the Fourteenth Amendment’s prohibition of deprivation of liberty without due process of law and its equal protection clause. Despite plaintiff’s arguments to the contrary, the issue of an arrestee’s right to a prompt first appearance before a judicial officer is largely one of first impression. The notable lack of authority regarding this important question is apparently explained by structural limitations on the opportunity afforded litigants to raise the issue in federal courts. See Fisher v. Washington Metro. Area Transit Authority,
We hold that the plaintiff’s eighteen-day detention without an appearance before a judge or magistrate was a deprivation of liberty without due process of law. State action which “shocks the conscience” of the court, Rochin v. California,
the consequences of prolonged detention may be more serious than the interference occasioned by arrest. Pretrial confinement may imperil the suspect’s job, interrupt his source of income, and impair his family relationship.
The protracted incarceration of Mr. Coleman with its incident harms is constitutionally impermissible because it is wholly inconsistent with notions of “fundamental fairness” required of criminal prosecutions under the Due Process Clause, see, e.g., California v. Trombetta, — U.S. —,
In Baker v. McCollan,
The analysis utilized in Baker indicates that the duration of the detention and the burden placed on state officials in providing procedural safeguards are highly relevant to a constitutional examination of post-arrest detentions. The detention in Baker spanned three days and could only have been prevented by the institution of significant and burdensome investigative procedures by the defendant sheriff. In the present case, however, the plaintiff was incarcerated for nearly three weeks, in the face of repeated protests of innocence and requests to go to court, before the prosecutor ordered his release. Where first appearances are provided, the requirement that they be timely would place a relatively small burden on law enforcement and judicial officers. In light of the disturbing and unexplained factors before us, Baker supports, if not requires, our conclusion that plaintiff’s 18-day detention was a violation of liberty without due process of law.
Almost every element of a “first appearance” under state statutes or the Federal Rules of Criminal Procedure serves to enforce or give meaning to important individual rights that are either expressly granted in the Constitution or are set forth in Supreme Court precedent. The following is a listing of traditional components of a first appearance (see supra note 1) and the rights enforced by them: (1) inform the suspect of the charge — Sixth Amendment (“the accused shall enjoy the right * * * to be informed of the nature and the cause of the accusation”); (2) inform the defendant of the right to counsel and determine if the defendant is indigent and desires the assistance of appointed counsel — Sixth Amendment (“the accused shall enjoy the right * * * to have the Assistance of Counsel for his defence”); Johnson v. Zerbst,
United States v. Ragan,
This opinion does not attempt to delineate every contour of a constitutional right to a timely first appearance under the Due Process Clause. To do so would be inconsistent with our reliance on Rochin, supra. Our holding today is limited to the extreme circumstances of this case. To specify after what period of time a given detention not accompanied by a first appearance becomes constitutionally infirm, or to outline which of the various elements of a first appearance are minimally necessary to satisfy the due process requirement would amount to inappropriate judicial legislation. In the case before us, none of the procedural protections afforded by a first appearance were ever granted the plaintiff over the course of his nearly three-week incarceration despite his protests of innocence, requests for a court appearance, and ultimate release. But the conclusion that plaintiff suffered a violation of his constitutional rights does not end the inquiry. Under Beard v. O’Neal,
Ill
We affirm the district court judgment because the defendant is entitled to a qualified or good faith immunity. Under the standard set forth in Harlow v. Fitzgerald,
The proper framework for determining the existence and nature of an immunity for defendants from Section 1983 liability was recently reiterated by the Supreme Court in Tower v. Glover, — U.S. —,
Executive officials as a general rule enjoy the protection of a qualified or good faith immunity.
This Court has recognized qualified immunity for public officials acting within the scope of their responsibilities, noting that “principled and conscientious governmental decisionmaking * * * can only be achieved by affording government officials some measure of protection from personal liability arising out of the exercise of their discretion and the performance of required duties.” Crowder v. Lash,
Although the Supreme Court has never expressly decided the type of immunity to be accorded sheriffs, it has recognized the “traditional good-faith immunit[y] enjoyed by * * * sheriffs,” Owen v. City of Independence,
Plaintiff asserts that the qualified immunity is only available to public officials when their acts are “discretionary,” and that in this instance Sheriff Frantz had no discretion in fulfilling his obligation to take plaintiff before the Wells Circuit Court. Therefore, it is claimed that the defendant is entitled to no immunity as to this Section 1983 action. Plaintiff appears to argue that the basis for the public officials’ qualified immunity is the common law ministerial-discretionary distinction. But there is no evidence provided by the plaintiff or discovered by us indicating that the ministerial-discretionary distinction is the common law foundation for Section 1983 immunity.
This Court also considers that as a matter. of public policy, it would be unwise to engage in a case by case determination of Section 1983 immunity based upon the ministerial versus discretionary nature of the particular official act challenged. Not only would such an analysis require repeated judicial applications of the unclear ministerial-discretionary distinction, but more importantly it would do little to forward the purposes of the immunity. Qualified immunity implements “two mutually dependent rationales,” Scheuer,
It does seem reasonable, however, to require that a lower level public official such as a sheriff demonstrate that, based on objective circumstances at the time he acted, his actions were undertaken pursuant to the performance of his duties and within the scope of his authority. See Barker v. Norman,
Defendant sheriff’s alleged violation of Indiana law does not bar his ability to claim a qualified immunity under Davis v. Scherer, — U.S.—,
IY
Under the standard set forth in Harlow v. Fitzgerald, supra, defendant Frantz is shielded from Section 1983 liability for damages so long as his conduct did not violate a clearly established constitutional right of which a reasonable person would have known at the time the challenged conduct took place. Plaintiffs claim that his 18-day detention violates a “nationally recognized” constitutional right is untenable.
Most of the authority cited by plaintiff as supporting his proposition considers the constitutionality of prolonged pre-trial detentions under the Fourth and Fourteenth Amendments where there allegedly has been no valid determination of probable cause by a judicial officer. See Gerstein v. Pugh,
While Baker, supra, is certainly relevant to this issue, the case lacks specific discussion of a right to a first appearance and therefore does not “clearly establish” such a right.
In summary, as a matter of law, we hold that plaintiffs constitutional right to a “first appearance” before a judicial officer following arrest pursuant to a valid warrant based on a determination of probable cause, setting of bond and notification of charges was not “clearly established” within the meaning the Supreme Court has given that term. See e.g., Procunier v. Navarette,
The district court’s order granting defendant’s motion for summary judgment is affirmed.
Notes
. Most states have statutes that require a prompt appearance of arrested persons before a judicial officer. A few statutes impose a specific time limit within which the arrestee must be produced, but most express a timeliness requirement utilizing terms such as "without unnecessary delay” or "forthwith." See A.L.I., Model Code of Pre-Arraignment Procedure 577-579, Appendix I (1975).
A first appearance takes place after the complaint has been filed and reviewed so that the arrestee is then a formal defendant in a criminal prosecution. Although the elements vary from state to state, the first appearance normally consists of a judge or magistrate (1) ensuring that the person before him is the person named in the complaint; (2) informing the defendant of the charge in the complaint; (3) informing the defendant of the right to remain silent and warning him that anything he says in court or to the police may be used against him at trial; (4) informing the defendant of the right to appointed counsel if he is indigent, determining if the defendant is indigent, and when appropriate at least initiating the process of providing coun
The Indiana "first appearance” should be distinguished from a "preliminary hearing" which involves a hearing before a judge in the accused’s presence, prior to indictment, during which the State is required to produce sufficient evidence to establish probable cause. • See Fed. R.Crim.P. 5.1; Coleman v. Alabama,
. Ind.Code Ann. § 35-l-8-l(a) (Burns 1979) (repealed 1982). Ind.Code § 35-33-7-4 (1982) replaces I.C. § 35-1-8-1 and requires that an arrested person be brought "promptly” before a court. Ind.Code § 35-33-2-2 (1982) currently prescribes the arrest warrant form and instructs the arresting officer to bring the arrestee before the court "without unnecessary delay." Another statute, Ind.Code Ann. § 18-1-11-8 (Burns 1979) (repealed 1982), required city police officers to bring an arrested person before a court, ordinarily within 24 hours of arrest. Plaintiff concedes that said statute does not apply to Sheriff Frantz. See plaintiff's memorandum of law in response to defendant’s motion for summary judgment at p. 5, R. Item 28.
. Four Justices concurred except in a statement by Justice O’Connor that there was no occasion to consider the abstention doctrine; they re
. In Glover, the Court ruled that a state public defender does not enjoy any immunity from Section 1983 liability. The Court based its decision on the fact that no common law immunity existed for public defenders in this country in 1871 (when the predecessor of Section 1983 was enacted) since the first public defender program did not begin here until 1914. Glover, — U.S. at-,
. In light of the fact that there was a statutory duty imposed on the defendant by then I.C. 35-l-8-l(a) to take plaintiff before the Wells Circuit Court apart from any duty created by the warrant, an extension of absolute judicial immunity to the Sheriff in this situation (see Steinpreis v. Shook,
. The Supreme Court elaborated on the common law basis for this immunity in Scheuer,
. Rather, the qualified immunity for public officials is based upon notions of the sovereign immunity doctrine that the "King can do no wrong.” See Scheuer,
. See Owen v. City of Independence,
In Owen, the Court rejected the plaintiffs attempt to base an immunity for municipalities from Section 1983 liability on the ministerial-discretionary distinction, noting that the doctrine was grounded on a “concern for separation of powers" and not upon the principle of sovereign immunity. The Court also observed in a footnote the difficulty courts have experienced in attempting to discern a clear line between "discretionary” and “ministerial” functions (Owen,
. The Fourth Circuit also ruled that the distinction between discretionary and ministerial action is irrelevant to the determination of whether a public official enjoys a qualified immunity from § 1983 liability. See Withers v. Levine,
The practical problems caused by basing an immunity on a formalistic distinction have become apparent with regard to the treatment of public prosecutor immunity. Public prosecutors are granted a qualified immunity when performing administrative or investigatory duties, but an absolute immunity when performing a quasi-judicial role. See Imbler v. Pachtman,
. Uncontested testimony indicated that the Wells Circuit Court would not schedule a court date without some action on the part of the prosecutor and that the court would refuse to see a detainee until a court date was scheduled (Nyal Frantz Deposition pp. 14, 16). The district court noted that the Sheriff had no capacity or legal obligation to schedule court dates or to force the prosecutor’s office to schedule them (
. Although the district court did not expressly rule that the defendant was entitled to a qualified immunity under the objective circumstances standard, there is no need to remand to the district court because in our view defendant has prevailed on this issue as a matter of law.
. As the Fifth Circuit pointed out in Barker v. Norman, supra, circumstances can exist where "an official’s actions may be so far removed from the ordinary course of his duties, so outside even his discretionary authority to act, that the official cannot establish entitlement to a claim of immunity even in the first instance; yet there may be a sufficient nexus between the official’s position and the complained of conduct to satisfy Section 1983’s 'under color of law’ requirement." Barker,
In the present case, had the Indiana statute spelled out the Sheriff's duties more clearly, i.e., requiring him to contact the clerk of the court within 24 hours of arrest to arrange for a first appearance, his failure to fulfill those duties would not be protected by the qualified public official immunity. There objective circumstances would indicate that the Sheriff’s actions were not undertaken pursuant to the performance of his duties and were not within the scope of his authority.
The objective circumstances test allows an official to assert qualified immunity where he reasonably attempts to fulfill his obligation under a statute which commands him to act but which does not specify with particularity how, when, or where the obligation is to be carried out. In this sense, qualified immunity is limited to instances where the official’s duties may be characterized as “discretionary,” consistent with the language of Scheuer, Harlow, and Butz which limits the application of the immunity to situations where officials "are required to exercise their discretion,”
. As we noted in Crowder v. Lash,
. Defendant’s affidavit for the bench warrant showed that plaintiff tried to sell a shotgun stolen from Robert Cole a week previously to informant Mrs. Arnold Watson and the affidavit requested a $20,000 bond (later reduced to $10,-000 by the Wells County Circuit Court). Plaintiffs Exhibit 2. Without deciding whether the plaintiff properly raised the issue below, the affidavit causes us to concur with the district court’s conclusion that the bench warrant in this case was supported by probable cause as found by the local court under the relevant standards. See Illinois v. Gates,
. The dissent asserts that plaintiff possessed a clearly established constitutional right based solely on the language of Baker, supra (Dissent, p. 733). We cannot view the cited language of Baker as accomplishing this feat. In the instances where the Supreme Court and this Court have attempted to ascertain whether a constitutional right is a "clearly established” one, the analysis utilized has required caselaw which clearly and consistently recognized the constitutional right rather than the type of relevant but academic discussion relied upon by the dissent. See Davis v. Scherer, — U.S.—,
Dissenting Opinion
dissenting.
I agree with the majority’s conclusion that a constitutional violation occurs when a presumptively innocent person is incarcerated by the sheriff for 18 days without being taken before a judicial officer for an initial appearance. I cannot accept, however, the majority’s holding that the sheriff cannot be civilly liable for such a serious constitutional violation. Therefore, I respectfully dissent.
In order to hold a state officer liable under 42 U.S.C. § 1983, he must in some manner have caused the alleged deprivation of rights. Dommer v. Crawford,
“An official satisfies the personal responsibility requirement of section 1983 if she acts or fails to act with a deliberate or reckless disregard of plaintiff’s constitutional rights, or if the conduct causing the constitutional deprivation occurs at her direction or with her knowledge or consent.”
The majority suggests, although it does not base its holding on this ground, that it was the prosecutor rather than the sheriff who caused the constitutional violation in this case. I disagree. In Dommer, supra,
It was the sheriff and not the prosecutor who held the keys to the jail cell; it was the sheriff who had sole custody of Mr. Coleman. That the prosecutor’s inaction may have also contributed to Mr. Coleman’s prolonged detention does not negate the sheriff’s personal responsibility for the detention. The sheriff must be held accountable for either securing a court appearance for the arrestee or, at some reasonable point, releasing him.
By holding the sheriff personally responsible for the prolonged detention of Mr. Coleman, it does not necessarily follow that any damage award would come out of the sheriff’s own pocket. Under Indiana law, a governmental entity may pay any judgment against a public official arising out of a federal civil rights violation by the official committed within the scope of his employment. Ind.Code § 34-4-16.7-1 (Burns Supp.1984). The governmental entity must also pay all costs and fees incurred by the public employee in defense of the suit. Id. When the sheriff acts within the scope of his employment, as in this case, it seems likely that any damages against him would be paid by the county rather than by the sheriff personally.
The majority holds that the sheriff is protected from liability under the doctrine of qualified immunity. The test for qualified immunity was enunciated by the Supreme Court in Harlow v. Fitzgerald,
“... officials performing discretionary functions generally are shielded from liability for civil damages insofar as their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known.”
Id. at 818,
The recognition of a qualified immunity defense reflects an attempt to balance the importance of a damage remedy to protect citizens’ rights and to deter unconstitutional conduct against the need-to allow public officials a margin of error when exercising their discretion “and the related public interest in encouraging the vigorous exercise of official authority.” Butz v. Economou,
Applying the test for qualified immunity, the majority concludes that the sheriff did not violate a clearly established constitutional right; in my view that finding is untenable. The majority observes that the sheriff’s actions were taken in accord with unofficial custom in the county and that the sheriff’s interpretation of the language of the warrant and Indiana statutes was reasonable. Under Harlow, the validity of the sheriff’s qualified immunity defense depends on whether his conduct violated a
I believe that the reasonable reading of Baker, supra, decided two years prior to Mr. Coleman’s incarceration, leads to the inescapable conclusion that the sheriff violated Mr. Coleman’s clear constitutional right either to be brought before a judicial officer for a first appearance within a reasonably prompt period of time following arrest and confinement or to be released from confinement if such an appearance could not be arranged. It is clear to me that Mr. Coleman’s 18 day detention squarely qualifies under the Supreme Court’s determination that “after the lapse of a certain amount of time” an arrestee will be deemed to have been deprived of liberty without due process of law. Baker, supra,
I cannot subscribe to the implication of the majority opinion that a law enforcement officer could have reasonably believed that holding a person in jail for 18 days without bringing him before a judicial officer for an initial appearance is constitutionally acceptable. The lengthy incarceration of Mr. Coleman, as the majority observes, is completely inconsistent with notions of “fundamental fairness” and “ordered liberty.” The outrageousness of the sheriff’s conduct in this case is exemplified by the fact that, according to the sheriff himself, administrative processing of arrestees normally takes less than one half hour. In addition, the Wells County jail is just over one block from the courthouse, hardly an 18 day trip. Requiring the sheriff to recognize Mr. Coleman’s due process rights under the circumstances of this case “imposes neither an unfair burden upon a person assuming a responsible office ... nor an unwarranted burden in light of the value which civil rights have in our legal system.” Wood v. Strickland,
The Supreme Court recently held that officials sued under § 1983 do not lose their qualified immunity solely because their conduct violates some federal or state statute or regulation unless the statute or regulation provides the basis for the cause of action sued upon. : Davis, supra,
The language of the warrant, substantially following the forms set forth in Ind. Code § 35-1-17-4 (repealed in 1982 and replaced by Ind.Code § 35-33-2-2), required that the sheriff “have [Mr. Coleman’s] body before the Judge of the Wells Circuit Court, instanter, then and there to answer the State of Indiana, on a charge of Receiving Stolen Property____” The warrant directed the sheriff, not the prosecutor or the court, to bring the defendant in person before the court, not merely to call the court or the prosecutor to attempt to arrange a court date. Returning the warrant and filing it with the clerk of court as well as calling the prosecutor to inquire about a court date for an arrestee are separate acts from actually taking the ar
The direction that the defendant be taken before the court “instanter” (the new form of warrant statute, Ind.Code § 35-33-2-2 (1982), uses the language “without unnecessary delay”) may afford the sheriff some limited discretion, but by no reasonable interpretation can it mean 18 days.
Moreover, Ind.Code § 35-l-8-l(a) (Burns 1979) (repealed 1982), required that “when an officer arrests an accused, he shall take the accused before the court issuing the warrant.” The language of this statute buttresses the conclusion that the sheriff had the ultimate responsibility in July 1981 for assuring that the defendant was brought before the court reasonably promptly. This statute was replaced by Ind.Code § 35-33-7-4 (1982), which was actually enacted prior to the detention of Mr. Coleman but did not take effect until 1982. Act of May 5, 1981, P.L. No. 298 § 2, 1981 Ind.Acts 2314, 2317. Section 35-33-7-4 requires that a person arrested pursuant to a valid warrant “be taken promptly for an initial hearing before the court.” (emphasis added). Cf. Ind.Code § 18-1-11-8 (Burns 1979) (repealed 1982) (required city police officers to bring arrested person before a court within 24 hours of arrest, or 48 hours if a Sunday intervened.) Read together, the language of the bench warrant and the relevant Indiana statutes only serves to reinforce the conclusion that the sheriff’s detention of Mr. Coleman for 18 days without bringing him before the court deprived the plaintiff of his clearly established constitutional right to due process.
Thus, because Sheriff Frantz violated Mr. Coleman’s right to due process through an initial judicial hearing, a right clearly established at the time of the violation, I would hold that the district court erred in granting summary judgment in favor of the sheriff. This conclusion, however, does not automatically establish the sheriff’s liability. The Supreme Court in Harlow, supra,
The district court, in granting summary judgment for the defendant on the § 1983 count, also dismissed the plaintiff’s pendent state claims arising out of the sheriff’s detention of Mr. Coleman. Having concluded that the district court erred in its disposition of the § 1983 count, I would direct the district court, on remand, to reconsider its dismissal of the pendant state claims. United Mine Workers v. Gibbs,
For the foregoing reasons, I would reverse the district court’s grant of summary judgment for the defendant and remand the case for further proceedings.
Concurrence Opinion
concurring.
I agree that Sheriff Frantz was, on the particular facts of this case, shielded by qualified immunity. The duty in question is the duty either to take the prisoner before a magistrate or to release him.
I disagree with the majority opinion in that I think that there was a clear duty— reasonably known to the Sheriff — to take Coleman promptly before the court. The only problem with this theory of liability is that the Sheriff apparently did all he could to fulfill this duty, but, without the support of a prosecutor and the acquiescence of a judicial officer, there was nothing he could do.
A much more plausible theory may be based on Frantz’s alternative duty to release the prisoner if he could not be brought before a judicial officer. Here, I disagree with the dissent: there was at the time no sufficiently clear and established duty, known to Frantz, to release the prisoner within 18 days if it was impossible to present him to a judge or magistrate. In light of the court’s decision today, of course, there should no longer be any doubt about this aspect of the duty.
