Smith v. StateSmith v. State
The opinion of the court delivered by
This is a
The district court granted defendants’ motion to dismiss. See
We consider two questions: Did the district court err in dismissing (a) the
The answer to both is “no.”
We affirm the district court.
FACTS
Statutory Pretrial Release and the ORCD Bond
Our Order No. 96 (issued January 17, 1995) gives all judicial districts discretion to adopt a pretrial release procedure similar to DCR 3.311. Paragraph 2 of Order No. 96 clearly says that any local rule dealing with pretrial release is “[i]n addition to the current statutory pretrial release system.”
The legislature has addressed pretrial release procedures. Under
Plaintiffs’ Claims
The first amended petition sets forth the factual allegations surrounding the arrest, bail bonds, and release of each plaintiff. The case numbers of the individual criminal cases of plaintiffs are alleged, but the judge handling the particular case is not identified. In seven of the plaintiffs’ bond situations, the district court allegedly set cash or ORCD bonds for varying amounts, although the plaintiffs had requested surety bonds. Requests for surety bonds were denied, either by the judge or because the deputy clerk allegedly refused to contact the judge to make the modification. In one situation, the plaintiff had requested a cash bond, but a surety or ORCD bond was specified. One of the plaintiffs (Hendricks) was released only after the district attorney declined to prosecute. Plaintiffs also complain that DCR 3.311 allows the district court to apply an accused’s cash deposit to other obligations unrelated to the accused’s criminal case. They also contend that an unauthorized administrative fee is charged with ORCD bonds. Plaintiffs assert that the practices allowed under DCR 3.311 and as applied by the defendant judges are not authorized by
The petition is not separated into different counts. All claims are alleged together against all defendants. The petition does not identify the current status of plaintiffs’ criminal cases. It also does not plead that any plaintiffs sought relief regarding their bonds in their criminal cases, either through appeal or by writ of habeas corpus.
Defendants jointly moved to dismiss the petition under
Plaintiffs presented several evidentiary witnesses, including court services personnel, a criminal defense attorney, a legal assistant from the public defender’s office, jail personnel, and three of the plaintiffs. The testimony addressed the operation of the pretrial release program as applied to the three plaintiffs who testified.
The District Court’s Ruling
Judge Hill decided the Third Judicial District was not a legal entity and dismissed all claims against the district, under
In determining that the district court lacked subject matter jurisdiction to grant
(1) The noninterference doctrine, as stated in
Schaeffer v. Schaeffer,
“The general rule is that when a court of competent jurisdiction acquires jurisdiction of the subject matter and of the parties, its jurisdiction continues as to all matters therein involved until the issues are finally disposed of, and no court of co-ordinate jurisdiction should interfere with its action.”
(2) Plaintiffs had other and more appropriate forums in which to seek their remedies,
i.e.,
appellate review of their criminal cases or habeas corpus relief. Judge Hill also referred to
Mounkes v. Conklin,
Judge Hill denied a temporary injunction here, saying: “The intended and unintended results of granting a temporary injunction in this case amount to judicial interference on a massive scale.” Plaintiffs did not brief the temporary injunction issue, and it is abandoned. See
Pope v. Ransdell,
Judge Hill dismissed the KTCA claims, concluding that the actions complained of were discretionary judicial functions and that
DISCUSSION
Our initial inquiry concerns the district court’s dismissal of the
In reviewing defendants’ successful motion to dismiss, we are required to assume that the facts alleged by the plaintiffs are true. We must also decide whether the pleaded facts and inferences state a claim, not only on the theories that were espoused by the plaintiffs, but also on any possible theory we can divine.
Kansans for Fair Taxation, Inc. v. Miller,
Noninterference or Comity Doctrine
Plaintiffs argue that the
Schaeffer
noninterference doctrine,
Schaeffer
involved competing divorce actions, each filed in different counties a few days apart. The comity doctrine has been applied numerous times in the context of competing domestic relations cases. See,
e.g., Perrenoud v. Perrenoud,
We have an interesting question here: Can a district judge prospectively enjoin the other judges in the district from enforcing, in their criminal cases, a local judicial district rule which is alleged to violate federal civil rights?
We characterize Judge Hill’s position as that of an appellate court reviewing decisions made by the Shawnee County district judges. Would not Judge Hill be required to review the eight individual case files to determine how the bad bond procedure was
The Kansas Court of Appeals has jurisdiction “to correct, modify, vacate or reverse
any act, order or judgment of a district court
to assure that any such act, order or judgment is just, legal and free of abuse.” (Emphasis added.)
Plaintiffs cite
Pulliam v. Allen,
Concluding that judicial immunity did not bar prospective injunctive relief, the Pulliam Court said:
“In so concluding, we express no opinion as to the propriety of the injunctive relief awarded in this case. Petitioner did not appeal the award of injunctive relief against her. The Court of Appeals therefore had no opportunity to consider whether respondents had an adequate remedy at law, rendering equitable relief inappropriate, or whether the order itself should have been more narrowly tailored. On the record before us and without the benefit of the Court of Appeals’ assessment, we are unwilling to speculate about these possibilities.”466 U.S. at 542-43 . (Emphasis added.)
Judge Hill did not rely solely upon the noninterference doctrine in dismissing plaintiffs’
“For the most part, injunctive relief against a judge raises concerns different from those addressed by the protection of judges from damages awards. The limitations already imposed by the requirements for obtaining equitable relief against any defendant — a showing of an inadequate remedy at law and of a serious risk of irreparable harm [citation omitted] — severely curtail the risk that judges will be harassed and their independence compromised by the threat of having to defend themselves against suits by disgruntled litigants.”466 U.S. at 537-38 .
“Injunction is an equitable remedy and
its
grant or denial in each case is governed by the principles of equity.’’
U.S.D. No. 503 v. McKinney,
“In considering the right to injunctive relief in a suit under
What legal remedies were available to plaintiffs? In
State v. Ruebke,
The writ of habeas corpus provides a mechanism under which a criminal defendant can seek relief from confinement under an erroneous bond, or even relief while released on bail. See
We acknowledge that neither appellate review nor a writ of habeas corpus would provide the opportunity to seek prospective injunctive relief against enforcement of the DCR 3.311 pretrial release program sought by plaintiffs in their § 1983 claims. Habeas corpus provides only the opportunity to correct bail errors in a specific criminal case, if not already moot. The plaintiffs are no longer confined and their criminal cases appear to be over at this point (although the petition does not show the current status). The urgency of prospective injunctive relief is questionable.
. Typically, a defendant in pretrial confinement with a bond imposed has two immediate options: first, file a motion to reduce or otherwise modify the bond; second, file a writ of habeas corpus. See
Dunnan,
“The bond fixed was indeed high, but the offense was most serious. We find no written motion to reduce bond, and if an oral motion was made, we find no record of it. Also, we find no indication that the defendant filed an application for writ of habeas corpus, an appropriate, efficacious, and always available method forseeking release from unlawful custody. [Citation omitted.] We hasten to say that such an application should not be made until a motion to reduce bond has been heard and ruled upon by the trial court.” 223 Kan. at 430 .
Defendants rely on Mounkes. Plaintiffs’ counsel represented at oral argument that Mounkes is the only plaintiff here who was also a plaintiff in the federal lawsuit. However the record reflects the State’s observation that Dozier and Haynes, plaintiffs here, were also plaintiffs in Mounkes. In Mounkes, defendants sought dismissal of the complaint under Rule 12(b)(1) and (6) of the Federal Rules of Civil Procedure. The description in the opinion of the allegations and relief sought is similar to the § 1983 claims asserted here. In reviewing the complaint Mounkes observed:
“What the plaintiffs do not allege is also important to note. They do not mention whether they ever sought or requested modification of the bonds set. Nor do they say whether they ever challenged the constitutionality of the administrative order and local rule in the original proceedings or in a separate habeas corpus action. Finally, the plaintiffs do not allege the particular status or posture of the different criminal cases.”922 F. Supp. at 1507 .
The Mounkes observations apply here, although the plaintiffs claim they made bond modification requests in their criminal cases, which were denied. The petition here alleges that plaintiffs’ Smith and Dixon requested bond modification. However, there are no allegations that any plaintiff initiated habeas corpus proceedings or ever challenged their bonds as illegal or unconstitutional in their criminal cases. At oral argument in the district court, plaintiffs’ counsel advised Judge Hill of the current disposition (as of November 14, 1996) of a few of the cases. None were on appeal. Smith was on probation and Dixon had entered a plea. None of the plaintiffs were incarcerated.
Judge Hill did not list failure to show irreparable harm as a reason why equity jurisdiction did not exist. However, if none of the plaintiffs were incarcerated, the obvious question arises, where was the irreparable harm? If the only remaining issues involve damages, then equitable relief was not appropriate.
Generally, federal courts are not to enjoin pending state court criminal proceedings, except in narrow circumstances.
Mounkes,
“Considering the equitable nature of the plaintiffs’ claims, the pending criminal proceedings against them, and the state procedural avenues available to them, the plaintiffs have not demonstrated the extraordinary circumstances necessary for federal equitable intervention.”922 F. Supp. at 1513 .
Judge Hill voiced concern that granting the injunctive relief requested would put him in the position of supervising all pretrial release procedures in the district court of Shawnee County and amount to “judicial interference on a massive scale.” We agree. This concern also weighs heavily against jurisdiction for equitable relief.
We affirm the district court’s dismissal of plaintiffs’
The KTCA
Judge Hill’s order dismissed all damage claims against the judges under
The KTCA makes liability the rule and immunity the exception. The burden is on the State to establish its entitlement to any of the exceptions set forth in
“(a) Subject to the limitations of this act, each governmental entity shall be hable for damages caused by the negligent or wrongful act or omission of any of its employees while acting within the scope of their employment under circumstances where the governmental entity, if a private person, would be hable under the laws of this state.”
The facts, developed from the allegations in plaintiffs’ petition, form an awkward setting for a KTCA claim. We cannot visualize a
Judge Hill concluded that discretionary functions are excluded under the KTCA. Relying on 75-6104(e) and citing
Beck v. Kansas Adult Authority,
“A governmental entity or an employee acting within the scope of the employee’s employment shall not be hable for damages resulting from:
(b) judicial function;
(e) any claim based upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of a governmental entity or employee, whether or not the discretion is abused and regardless of the level of discretion involved.”
We reviewed the 75-6104(b) “judicial function” exception in
Cook v. City of Topeka,
Plaintiffs argue that the discretionary function exception should not apply because the actions of the deputy court clerks in routinely denying bail and pretrial release were ministerial in nature, citing
Cook,
Plaintiffs argue that § 9 of the Kansas Constitution Bill of Rights and
Section 9 of the Kansas Constitution Bill of Rights provides: “All persons shall be bailable by sufficient sureties except for capital offenses, where proof is evident or the presumption great. Excessive bail shall not be required, nor excessive fines imposed, nor cruel or unusual punishment inflicted.” The language “shall be bailable by sufficient sureties” leaves open to discretion at least two key determinations: What amount of bail is sufficient, and what is a sufficient surety?
Plaintiffs agree that judges have discretion in fixing the amount of bail. They also agree that judges have total discretion to impose conditions reasonably necessary to assure appearance and provide for public safety, as set forth in
Plaintiffs’ KTCA claims are conclusory. Most likely, many of the 14 judges named as defendants had no involvement in plaintiffs’ eight criminal cases. When plaintiffs allege they requested surety bonds or that they could have obtained surety bonds, there are no allegations to show that the sureties proposed to be used were “sufficient,” within the meaning of
We have referenced the judicial function exception, 75-6104(b). The term “judicial function” was used by Judge Hill in his dismissal order. In a pre-KTCA case, the Court of Appeals stated the common-law doctrine of judicial immunity as follows: “[Jjudges are immune for damages for acts committed within their judicial jurisdiction.”
Knight v. Neodesha Police Dept.,
We reason that the specific focus of the district court on “judicial function” guides us to the application of
The acts of the defendant judges forming the basis for plaintiffs’ complaints are judicial functions. The State is exempt from liability under
In concluding, we emphasize the language used in paragraph 16 of the example of a pretrial release procedure that was attached to our Administrative Order No. 96. Paragraph 16 states:
“This rule shall not limit or restrict the right of any person to seek or obtain pretrial release under other statutory methods of admitting accused persons to bail or the authority of a judge of the district court to determine bail. The participation of an accused, person in this program shall be on a voluntary basis." (Emphasis added.)
Paragraph 16 means just what it says. Voluntary participation is a key element in Order No. 96. Paragraph 16 of the Third Judicial District’s Rule 3.311 is identical.
Affirmed.