Scott v. HernScott v. Hern
ORDER
The district court also dismissed Scott’s false imprisonment claims against Rundus, and Graybill, although for different reasons. We address each in turn.
Finding Graybill’s certification for short-term commitment objectively reasonable and authorized by state law, the district court granted summary judgment in favor of Graybill. Graybill diagnosed Scott pursuant to court order, and, viewing the evidence in the light most favorable to Scott, his diagnosis was objectively reasonable. See supra Section II.C. Because Graybill’s acts were lawful, the district court properly dismissed the claim of false imprisonment. See Blackman, 759 P.2d at 58 (Colo. Ct. App. 1988).
The district court’s denial of Scott’s motion to amend his false imprisonment claim against Rundus was improvident. See Grossman, 120 F.3d at 1126. In his first complaint, Scott stated a false imprisonment claim against Rundus for actions taken in her official capacity. The district court dismissed the claim as barred by the Colorado Governmental Immunity Act,
Colo. Rev. Stat. § 24-10-106 , because it amounted to an impermissible state common law tort claim against Boulder County. Scott’s second amended complaint alleged that Rundus had acted in her individual capacity when committing the acts constituting false imprisonment. The district court failed to acknowledge that, unlike tort claims made against a public official acting in her official capacity, the Colorado Governmental Immunity Act affords only qualified immunity from liability for claims made against a public official in her individual capacity. See Colo. Rev. Stat. § 24-10-118(2)(a); City of Lakewood v. Brace, 919 P.2d 231, 245-46 (Colo. 1996) (en banc). Specifically, it does not immunize a public employee’s “willful and wanton” conduct.Colo. Rev. Stat. § 24-10-118(2)(a) . In Brace, the Colorado Supreme Court held the determination of whether conduct is “willful or wanton” “is not susceptible to resolution at an early stage in the litigation process before significant discovery has been undertaken unless there are no disputed issues of fact,” and therefore “[a] well pled complaint that an employee acted willfully and wantonly must await determination at trial on the merits.” 919 P.2d at 246. Brace, however, did not distinguish the earlier case of Moody v. Ungerer, 885 P.2d 200, 204-05 (Colo. 1994) (en banc), in which the Colorado Supreme Court found as a matter of law that a complaint failed to adequately allege the defendant’s actions were willful and wanton.In the instant case, Scott’s second amended complaint asserted that Rundus’s improper actions in the prosecution of the civil commitment proceeding were willful and wanton. Given the tension between Brace and Moody as to the propriety of determining the adequacy of allegations of willful and wanton conduct at the motion to dismiss stage, we are reluctant to determine as a matter of law whether the facts alleged in Scott’s complaint support his assertion of willful and wanton conduct. We therefore affirm on an alternative ground. See Griess v. Colorado, 841 F.2d 1042, 1047 (10th Cir. 1988).
State prosecutors are “absolutely immune for their actions in initiating a prosecution.” Stepanek v. Delta County, 940 P.2d 364, 368 (Colo. 1997) (en banc) (citations omitted). In Stepanek, the Colorado Supreme Court held that a county attorney who filed a petition initiating temporary guardianship proceedings was absolutely immune from an action for attorney fees alleging those proceedings were frivolous. See id. at 368-69. As discussed, see supra Section II.B, Rundus’s filing of the petition for evaluation and her investigation of Scott’s case are likewise actions “‘intimately associated’ with the adjudicatory process.” Id. at 368 (quoting Imbler, 424 U.S. at 430). Because Rundus is absolutely immune from a suit arising out of these actions, Scott’s amendment of his false imprisonment claim would have been futile. See Grossman, 120 F.3d at 1126. Thus, although the district court’s reasons for denying his motion to amend were erroneous, we affirm the judgment.
Entered for the Court
PATRICK FISHER, Clerk of Court
By:
Keith Nelson
Deputy Clerk
Plaintiff-appellant Kenneth Scott filed suit against individuals who participated in his involuntarily commitment to a mental institution, alleging a dizzying array of violations of
I
Scott is an anti-abortion activist who frequently demonstrated in front of an abortion clinic in Boulder, Colorado, operated by defendant-appellee Dr. Warren Hern. On December 18, 1995, Hern prepared a sworn affidavit with the assistance of defendant-appellee C. Jan Rundus, Assistant Boulder County Attorney, stating that he had “become increasingly concerned with the recent
Rundus filed a petition and Hern’s affidavit with the Boulder County District Court on December 18, 1995. The petition requested the court to order that Scott be taken into custody for a seventy-two-hour treatment and evaluation pursuant to
On December 20, 1995, Idler, acting pursuant to the court’s order, took Scott into custody. Following an initial evaluation at the Boulder Mental Health Facility, Scott was transferred to the Colorado Mental Health Institute (“CMHI”) at Fort Logan, Colorado. Upon admission, Dr. Qwick diagnosed Scott as “[b]ipolar, hypomanic-homicidal” and estimated that he would need to remain in treatment for two to four weeks. (II J. Supp. App. at 518.) The following day,
On the same day he submitted his affidavit to the Boulder County Attorney, Hern sought and obtained a temporary restraining order (“TRO”) from the Gilpin County Court. The TRO prohibited Scott from, inter alia, interfering with Hern and excluded Scott from Hern’s primary residence, Hern’s mountain cabin, and Hern’s clinic. A hearing to determine whether the TRO should be made permanent was set for January 2, 1996. Scott’s attorney entered a written appearance and filed a motion for continuance, but he did not appear on January 2. At the hearing, the court denied the motion for continuance, heard additional
Scott initiated the present action in the United States District Court for the District of Colorado on December 17, 1996. Scott raised numerous federal and state law claims, all of which were dismissed under
II
We first address Scott’s § 1983 claims against Hern, Newell, Rundus, Graybill, Idler, and certain unnamed police officers. In his complaint, Scott alleged that each of these individuals violated his constitutional rights to be free from unreasonable search and seizures, freedom of speech, liberty, equal protection of the laws, and/or due process of the law by their participation in the civil commitment proceedings. He also alleged that Hern, Newell, and Idler deprived him of due process of law in relation to the restraining order proceedings.
A
Holding that Hern and Newell did not act under color of state law, the district court dismissed the § 1983 claims against them under
To state a cause of action under
“First, the deprivation must be caused by the exercise of some right or privilege created by the State or by a rule of conduct imposed by the State or by a person for whom the state is responsible. Second, the private party must have acted together with or . . . obtained significant aid from state officials or engaged in conduct otherwise chargeable to the State.”
Id. (quoting Wyatt v. Cole, 504 U.S. 158, 162 (1992) (internal quotations and citation omitted)).2
Hern’s submission of the affidavit is no different than the actions of the therapist in Pino: He did “nothing more than provide information which” Rundus and the county judge “considered in making their independent judgments.” Id. at 1466. Contrary to Scott’s suggestion, the use of a state procedure does not become state action simply because the person using the procedure is a licensed professional such as a physician. See id. (holding that the private physician who
Finally, we reject Scott’s claim that Hern and Newell violated his constitutional rights by preventing him from participating in the permanent restraining order hearing. This claim fails because Scott’s inability to participate
B
In his proffered second amended complaint, Scott’s § 1983 claim against Rundus alleged the following conduct by her caused the deprivation of his constitutional rights: (1) assisting Hern in the preparation of his affidavit; (2) failing to fully investigate Scott’s mental status, in particular failing to investigate the allegations in Hern’s affidavit in light of the conflict of interest she knew existed between Hern and Scott; (3) relying on medical records she knew or should have known were illegally obtained; and (4) moving to suppress evidence of Scott and Hern’s political conflict.5 The district court denied Scott’s motion to amend his § 1983 claim against Rundus on grounds of absolute immunity. We review determinations of absolute immunity de novo. See Gagan v, Norton, 35 F.3d 1473, 1475 (10th Cir. 1994).
“[S]tate attorneys and agency officials who perform functions analogous to those of a prosecutor in initiating and pursuing civil and administrative enforcement proceedings” are “absolutely immune from suit under section 1983
The question is whether, applying this functional analysis, the allegedly improper actions by Rundus were “intimately associated” with the civil commitment proceedings. Imbler, 424 U.S. at 430. Rundus’s alleged failure to
C
In his
This Court reviews “the presence or absence of qualified immunity de novo.” Pino, 75 F.3d at 1467. “When a defendant pleads qualified immunity, the plaintiff has the heavy burden of establishing: (1) that the defendant‘s actions violated a federal constitutional or statutory right; and (2) that the right violated was clearly established at the time of the defendant‘s actions.” Greene v. Barrett, 174 F.3d 1136, 1142 (10th Cir. 1999) (citing Horstkoetter v. Department of Pub. Safety, 159 F.3d 1265, 1277-78 (10th Cir. 1998)).
The Due Process Clause prohibits a state from involuntarily committing an individual unless he is a danger to himself or others. See O‘Connor v. Donaldson, 422 U.S. 563, 575 (1975) (“[T]here is . . . no constitutional basis for confining [mentally ill] persons involuntarily if they are dangerous to no one and can live safely in freedom.“). Consequently, we have held that a state official is not entitled to qualified immunity if “there is a genuine issue of material fact
Viewing the evidence in the light most favorable to Scott, Graybill‘s diagnosis and certifications were objectively reasonable. Graybill possessed the following information at the time he determined that Scott was gravely disabled and represented a danger to himself and others : the Hern affidavit describing in detail Scott‘s threatening behavior; an evaluation conducted by mental health professionals at Boulder Mental Health Center immediately following Scott‘s detainment finding interrupted speech, tangential thinking, loose associations, and an intimidating stance towards the interviewer; medical records demonstrating a history of mental illness; Dr. Qwick‘s diagnosis of Scott as “[b]ipolar, hypomanic-homicidal” (II Joint Supp. App. at 518); Dr. Levy‘s tentative diagnosis of bipolar illness and hypomania, which also noted that more data was necessary to determine if Scott was dangerous; and his personal observations. We find that a reasonable person exercising professional judgment
Contrary to Scott‘s suggestion, Dr. Levy‘s diagnosis, though tentative, is consistent with Graybill‘s. Similarly, evidence that Scott was permitted to retain sharp objects and receive visitors with limited supervision during his time at CMHI and that Graybill subsequently found Scott no longer posed a danger to himself or others has no relevance to the objective reasonableness of his initial determination and therefore fails to create a genuine issue of material fact.
D
We next address Scott‘s appeal from the district court‘s denial of his motion to amend his
Both of the district court‘s conclusions are correct. A plaintiff must allege factual causation—i.e. “but for” causation—in order to state a claim under
E
Scott‘s final
We review for abuse of discretion a district court‘s dismissal for failure to effect service. See Espinoza v. United States, 52 F.3d 838, 840 (10th Cir. 1995). In Espinoza, we delineated the inquiry a district court should make before dismissing a claim pursuant to
The preliminary inquiry to be made under
Rule 4(m) is whether the plaintiff has shown good cause for the failure to timely effect service. . . . If good cause is shown, the plaintiff is entitled to a mandatory extension of time. If the plaintiff fails to show good cause, the district court must still consider whether a permissive extension of time may be warranted. At that point the district courtmay in its discretion either dismiss the case without prejudice or extend the time for service.
The record before us on this matter is limited to Scott‘s complaint, which was filed on December 17, 1996, and the district court docket sheet. From the docket sheet, we discern that on March 18, 1997, 120 days after Scott filed his complaint, the district court issued an order to show cause why his action should not be dismissed as to Jane and John Does. Scott filed two responses to this order. The next docket entry concerning the matter is the district court‘s June 23, 1998, order to dismiss without prejudice. Based on this limited record, it appears the district court made a preliminary inquiry into whether Scott had good cause for the failure to effect service. The record is wholly insufficient, however, to permit us to review the district court‘s implicit finding that Scott failed to show good cause because we have no way of knowing the grounds for cause asserted by Scott below. Where the record is insufficient to permit review we must affirm. See Deines v. Vermeer Mfg. Co., 969 F.2d 977, 979-80 (10th Cir. 1992); cf. Figueroa v. Rivera, 147 F.3d 77, 83 (1st Cir. 1998) (holding, in the alternative, that dismissal was proper pursuant to
III
In addition to his
A
The district court dismissed Scott‘s outrageous conduct claim against Hern, Graybill, and Rundus based on its conclusion that, even if all of the facts alleged in the complaint were true, as a matter of law the defendants’ conduct failed to rise to the required level of outrageousness under Colorado law.8
B
Asserting that the First Amendment right to petition protects anyone who invokes the aid of the government through an established judicial process such as civil commitment proceedings, the district court granted Hern summary judgment on Scott‘s claims of abuse of process and false imprisonment. In reaching that conclusion, the court relied on the Noerr-Pennington doctrine, which provides immunity from antitrust liability for petitions to the courts, provided those petitions are objectively reasonable. See Professional Real Estate Investors, Inc. v. Columbia Pictures Indus., Inc., 508 U.S. 49, 60-61 (1993).
Seen through the lens of Cardtoons, the issue before us is whether tort liability for abuse of process or false imprisonment would infringe or chill Hern‘s First Amendment right to petition the courts for redress of grievances. As the District of Columbia Circuit has stated, “it is hard to see any reason why, as an abstract matter, . . . common law torts . . . might not in some of their applications
We need not delineate the precise limits the Petition Clause places on tort liability, however, because in the instant case, as in Whelan, “there does not appear to be even a potential for collision between the common law tort[s at issue] and the First Amendment.” Whelan, 48 F.3d at 1254. In Protect Our Mountain Environment, Inc. v. District Court, 677 P.2d 1361, 1364-70 (Colo. 1984) (en banc), the Colorado Supreme Court squarely addressed the question of whether
when, as here, a plaintiff sues another for alleged misuse or abuse of the administrative or judicial processes of government, and the defendant files a motion to dismiss by reason of the constitutional right to petition, the plaintiff must make a sufficient showing to permit the court to reasonably conclude that the defendant‘s petitioning activities were not immunized from liability under the First Amendment because: (1) the defendant‘s administrative or judicial claims were devoid of reasonable factual support, or, if so supportable, lacked any cognizable basis in law for their assertion; and (2) the primary purpose of the defendant‘s petitioning activity was to harass the plaintiff or to effectuate some other improper objective; and (3) the defendant‘s petitioning activity had the capacity to adversely affect a legal interest of the plaintiff.
Scott has failed to make a sufficient showing that Hern‘s affidavit in support of the petition for seventy-two-hour treatment and evaluation was devoid of factual support or lacked any cognizable basis in law. As discussed, see supra Section III.A, even if all of the information Scott alleges Hern knew or should have known was false was redacted from the affidavit, the affidavit nonetheless would provide a reasonable factual basis for seeking Scott‘s involuntary
With respect to the second tort claim at issue, “[f]alse imprisonment is an unlawful restraint upon a person‘s freedom of locomotion, or the right to come and go when or where one may choose.” Blackman v. Rifkin, 759 P.2d 54, 58 (Colo. Ct. App. 1988) (citing McDonald v. Lakewood Country Club, 461 P.2d 437 (Colo. 1969)). The Colorado courts have not addressed the question of whether and to what extent the tort of false imprisonment conflicts with the First Amendment right to petition when applied to situations in which the restraint on freedom is the proximate result of petitioning activity. However, the requirement that the restraint be unlawful precludes liability for false imprisonment when the restraint is the result of a judicial order for temporary treatment and evaluation based on an objectively reasonable petition and affidavit and issued in accordance with due process.
C
The district court also dismissed Scott‘s false imprisonment claims against Rundus, and Graybill, although for different reasons. We address each in turn.
Finding Graybill‘s certification for short-term commitment objectively reasonable and authorized by state law, the district court granted summary judgment in favor of Graybill. Graybill diagnosed Scott pursuant to court order, and, viewing the evidence in the light most favorable to Scott, his diagnosis was objectively reasonable. See supra Section II.C. Because Graybill‘s acts were lawful, the district court properly dismissed the claim of false imprisonment. See Blackman, 759 P.2d at 58 (Colo. Ct. App. 1988).
The district court‘s denial of Scott‘s motion to amend his false imprisonment claim against Rundus was improvident. See Grossman, 120 F.3d at 1126. In his first complaint, Scott stated a false imprisonment claim against Rundus for actions taken in her official capacity. The district court dismissed the claim as barred by the Colorado Governmental Immunity Act,
In the instant case, Scott‘s second amended complaint asserted that Rundus‘s improper actions in the prosecution of the civil commitment proceeding were willful and wanton. Given the tension between Brace and Moody as to the propriety of determining the adequacy of allegations of willful and wanton conduct at the motion to dismiss stage, we are reluctant to determine as a matter of law whether the facts alleged in Scott‘s complaint support his assertion of
State prosecutors are “absolutely immune for their actions in initiating a prosecution.” Stepanek v. Delta County, 940 P.2d 364, 368 (Colo. 1997) (en banc) (citations omitted). In Stepanek, the Colorado Supreme Court held that a county attorney who filed a petition initiating temporary guardianship proceedings was absolutely immune from an action for attorney fees alleging those proceedings were frivolous. See id. at 368-69. As discussed, see supra Section II.B, Rundus‘s filing of the petition for evaluation and her investigation of Scott‘s case are likewise actions “‘intimately associated’ with the adjudicatory process.” Id. at 368 (quoting Imbler, 424 U.S. at 430). Because Rundus is absolutely immune from a suit arising out of these actions, Scott‘s amendment of his false imprisonment claim would have been futile. See Grossman, 120 F.3d at 1126. Thus, although the district court‘s reasons for denying his motion to amend were erroneous, we affirm the judgment.
D
Scott‘s final state law claim alleged that Newell and Hern “conspired to unreasonably intrude upon [his] private affairs . . . by unlawfully procuring and using his confidential medical records without his consent in a manner which would be highly offensive to a reasonable person.” (Appellant‘s App. at 95.) The
The Colorado Supreme Court has recognized, generally, a tort claim for invasion of privacy, see Rugg, 476 P.2d at 755, and has specifically recognized a “tort claim for invasion of privacy in the nature of unreasonable publicity given to one‘s private life,” Ozer v. Borquez, 940 P.2d 371, 377 (Colo. 1997) (en banc). As the district court properly noted, one element of such a claim is publication. See id. Rather than arguing that he properly alleged publication, Scott argues that he is proceeding under an alternative form of invasion of privacy—intrusion upon the seclusion of another. This form of invasion of privacy “does not depend upon any publicity given to the person whose interest is invaded or to his affairs.” Restatement (Second) of Torts § 652(B) cmt. a.
Even assuming the Colorado Supreme Court would recognize a claim for invasion of privacy in the nature of unreasonable intrusion upon the seclusion of another, see Borquez, 940 P.2d at 377 (acknowledging that while other states have adopted that tort, Colorado had not yet done so); see also Doe v. High- Tech Inst., Inc., 972 P.2d 1060, 1065 (Colo. Ct. App. 1998) (recognizing that tort as formulated in Restatement (Second) of Torts § 652B), we nonetheless find the allegations in Scott‘s complaint insufficient to survive a
Once again exercising our authority to “affirm a district court decision on any grounds for which there is a record sufficient to permit conclusions of law, even grounds not relied upon by the district court ,” Griess, 841 F.2d at 1047 (internal quotations and citation omitted), we conclude that Scott‘s complaint fails to allege any facts tending to show a meeting of the minds between Hern and Newell for the purpose of obtaining Scott‘s confidential medical records without his consent. Although Scott need not allege an express agreement, he must at the very least allege “a course of conduct and other circumstantial evidence . . . [providing] some indicia of agreement in an unlawful means or end.” Schneider v. Midtown Motor Co., 854 P.2d 1322, 1326 (Colo. 1992) (internal quotations and citation omitted). Scott does allege that unnamed police officers gave Scott‘s medical records to “Hern and/or his agent defendant Newell.” (Appellant‘s App.
IV
Appellant‘s motion to strike appellee‘s response briefs is DENIED. The judgment of the district court is AFFIRMED.