George WITTNER, parent and next friend to Decedent, Ian Wittner; Lizbeth Cardenas, parent and next friend to Decedent, Ian Wittner, and as Personal Representative of the Estate of Ian Wittner, Plaintiffs-Appellants/Cross-Appellees, v. BANNER HEALTH, an Arizona nonprofit organization, d/b/a North Colorado Medical Center; Robert George Ruegg, M.D., Susan J. Ponder, R.N., Defendants-Appellees/Cross-Appellants.
Nos. 11-1171, 11-1180
United States Court of Appeals, Tenth Circuit
June 24, 2013
720 F.3d 770
VACATED and REMANDED. This panel retains jurisdiction over any further appeals in this case.
Jordan Factor of Allen & Vellone, P.C., Denver, CO (Daniel P. Gerash and Eric L. Steiner of Gerash & Steiner, Denver, CO, with him on the briefs), for Plaintiffs-Appellants/Cross-Appellees.
Traci L. Van Pelt (Matthew C. Miller and Jennifer L. Ward with her on the briefs) of McConnell Fleischner Houghtaling, LLC, Denver, CO, for Defendants-Appellees/Cross-Appellants.
Before KELLY, SEYMOUR, and TYMKOVICH, Circuit Judges.
Ian Wittner died at the North Colorado Medical Center after being injected with the drug Haldol during a seventy-two-hour involuntary mental health hold. His parents, Lizbeth Cardenas and George Wittner, brought this § 1983 claim against the Medical Center, the doctor, and the nurse involved in their son‘s treatment. They appeal from the district court‘s grant of summary judgment to defendants and its subsequent denial of their
I.
On April 4, 2008, police officers in Greeley, Colorado took Ian Wittner to the North Colorado Medical Center (NCMC) for a mental health evaluation after Ian made threats against his former employer. A physician at NCMC concluded that Ian was likely mentally ill and posed an imminent danger to himself or others and, pursuant to
During the second day of the involuntary hold, Ian had a violent outburst at the nurses’ station. Five or six staff members grabbed Ian and carried him into his room, where they placed him on his bed and began to apply five-point restraints (straps around his wrists, waist, and both ankles). After hearing a nurse describe the situation over the phone, the on-duty psychia-
Ian‘s parents filed suit under
All defendants moved to dismiss under Rule 12(b)(6), contending plaintiffs could not state a § 1983 claim against them because they were not state actors. The district court concluded that defendants were state actors, and the case proceeded to discovery. In their summary judgment motion, defendants did not reprise their state action argument but asserted instead that the individual defendants—Dr. Ruegg and Nurse Ponder—merited qualified immunity, that the Medical Center was not liable because there is no constitutional right to be free from injection of antipsychotic drugs in a violent emergency, and that the Medical Center‘s policies encourage using the least intrusive means of restraint in any event. Plaintiffs responded by arguing that the constitutional right not to be injected with Haldol was so clearly established as to trump qualified immunity, that no emergency existed once Ian Wittner had been fully restrained, and that NCMC‘s policies encourage using involuntary drug administration as a first, not last, resort.
At the hearing, the district court granted defendants’ summary judgment motion from the bench. While the transcript does not illuminate the exact basis for the court‘s ruling, it apparently rejected plaintiffs’ contention that no emergency existed at the time of the injection and agreed with defendants’ characterization of NCMC‘s drug injection policies. The court also accepted the individual defendants’ qualified immunity defense. It dismissed without prejudice plaintiffs’ state law claims for lack of jurisdiction.
Plaintiffs filed a Rule 59(e) motion requesting that the district court amend the judgment to retain supplemental jurisdiction “for the sole purpose of remanding the state law claims to Weld County District Court... [as] Plaintiffs would be unduly prejudiced if this Court‘s decision to decline supplemental jurisdiction over the state law claims... operated to bar the claims from being heard by a state tribunal.”1 Aplt. App. at 54-55. The court denied plaintiffs’ motion, holding there was no basis for remand of an action that had not been removed from state court.
Plaintiffs appeal the grant of summary judgment and the denial of their Rule 59(e) motion. Defendants cross-appeal the denial of their Rule 12(b)(6) motion.
II.
Background and Statutes
A § 1983 claim requires a plaintiff to show both the existence of a federally-protected right and the deprivation of that right by a person acting under color of state law.
The Amended Complaint set out the legal framework governing involuntary psychiatric holds in Colorado, and plaintiffs sought to persuade the district court that this statutory scheme makes private mental health facilities and personnel “state actors” when they agree to hold and treat a patient pursuant to state law. Colorado law provides as follows:
When any person appears to have a mental illness and, as a result of such mental illness, appears to be an imminent danger to others or to himself or herself... then a [police officer, doctor, psychologist, and certain other professionals with appropriate training]... upon probable cause and with such assistance as may be required, may take the person into custody, or cause the person to be taken into custody, and placed in a facility designated or approved by [the Colorado Department of Human Services] for a seventy-two-hour treatment and evaluation.
Under Colorado law, medical facilities are not required to admit persons believed to be an imminent danger.
After reciting these Colorado laws, plaintiffs alleged the following facts relevant to the state action inquiry:
- Defendant Banner Health, doing business as NCMC, is an Arizona nonprofit corporation with its principal office address in Greeley, Colorado. Aplt. App. at 15.
- NCMC is a “designated facility” to which Colorado police may take persons thought to be an imminent risk to themselves or others. Id. at 17.
- As a private “designated facility,” NCMC must “consent... to the enforcement of standards set by the executive director [of the state Department of Human Services].” Id. at 17, quoting
Colo. Rev. Stat. § 27-10-105(1)(b) (now codified at§ 27-65-105(1)(b) ). - The executive director of the state Department of Human Services establishes standards for “designated facilities” in consultation with an advisory board that “oversees the designated facilities.” Id.
NCMC “is compensated by the state and/or the City of Greeley” for serving as a “designated facility.” Id. - NCMC is the only “designated facility” the Greeley police department uses for involuntary holds of mentally ill persons. Id. at 17-18.
- NCMC has the authority to determine whether or not to detain a person brought there by the police. Id. at 18.
- On April 4, 2008, Ian Wittner was put in a police car by Greeley police officers and taken to NCMC. Id. at 16.
- An NCMC doctor issued “holding orders” authorizing Ian‘s detention. Id. at 19.
- On April 5, 2008, when Ian started acting aggressively at NCMC, he was injected with Haldol and Ativan by defendant Nurse Ponder at defendant Dr. Ruegg‘s instruction after being put in five-point restraints. Id.
- Defendants Ruegg and Ponder are employees of NCMC. Id.
- The State of Colorado exerts some amount of supervisory control over NCMC by overseeing the administration of medication, requiring NCMC to keep certain records, developing training curricula and evaluations for NCMC staff, and retaining the power to “monitor” medications given at NCMC to detained persons. Id. at 18-19.
Plaintiffs did not contest NCMC‘s status as a private hospital nor the individual defendants’ status as a privately employed doctor and nurse, and there was no dispute regarding the events that led to Ian Wittner‘s involuntary hold at NCMC. Notably, plaintiffs did not name the police officer, the police department, or the admitting physician as defendants.
Plaintiffs’ state action theory, as set out in the complaint, hinges entirely on the state statutory scheme allowing seventy-two-hour involuntary mental health holds and NCMC‘s role thereunder as a “designated facility.” Plaintiffs contend the state of Colorado transformed the medical facility and its health care employees into state actors by assuming the power to authorize the involuntary commitment of mentally ill persons and delegating that power to designated facilities which the state regulates. In so doing, plaintiffs argue, the state assumed the duty to provide constitutionally adequate medical care for the involuntarily committed patient, and NCMC and its employees acted under color of state law when it contracted to perform the state‘s obligation of care.
The district court accepted plaintiffs’ state action argument. Ruling from the bench at the Rule 12(b)(6) motion hearing, the court reasoned that “[t]he fact of the matter is [Ian was] hauled there by the police department. The doctor gets him and treats him apparently because he‘s in custody.” Aple. Supp. App. vol. 1 at 73. “He‘s exercising authority of the State of Colorado.” Id. at 74. “This scheme that Colorado has is a matter of taking somebody, putting them in the hands of a medical provider, all involuntary. That medical provider is exercising an authority given to him by the State of Colorado, not by the plaintiff or the decedent.” Id. at 75.
Standard of Review
We review the district court‘s disposition of a Rule 12(b)(6) motion de novo. Smith v. United States, 561 F.3d 1090, 1098 (10th Cir. 2009). When deciding whether a complaint states a claim that can survive a Rule 12(b)(6) motion, “we accept as true all well-pleaded factual allegations in a complaint and view these allegations in the light most favorable to the plaintiff.” Id.
Analysis
Where a litigant seeks to hold a private actor accountable as a state actor for constitutional deprivations, we have applied various analyses and referred to them as the “nexus test,” the “public function test,” the “joint action test,” and the “symbiotic relationship test.” Johnson v. Rodrigues, 293 F.3d 1196, 1202-03 (10th Cir. 2002) (citing Gallagher v. “Neil Young Freedom Concert,” 49 F.3d 1442 (10th Cir. 1995)). The facts alleged here do not establish state action under any of these tests.
1. Nexus Test
One way private actors can become state actors for § 1983 purposes is if the state exercises sufficient “coercive power” over the challenged action. Brentwood Acad. v. Tenn. Secondary Sch. Athletic Ass‘n, 531 U.S. 288, 296 (2001) (citing Blum v. Yaretsky, 457 U.S. 991, 1004 (102 S.Ct. 2777, 73 L.Ed.2d 534 (1982))) (internal quotation marks omitted). We called this type of state action analysis the “nexus” test in Gallagher, 49 F.3d at 1448, while other circuits have called it the “compulsion” test. See, e.g., Lansing v. City of Memphis, 202 F.3d 821, 829 (6th Cir. 2000). The test is derived from Blum, 457 U.S. at 1007-08, in which the Supreme Court held that privately run nursing homes were not state actors when medical staff decided to move Medicaid patients to lower levels of care. Id. The Court held that notwithstanding substantial entanglement with state rules and state funding, the challenged action was not state action because the ultimate clinical decision was made by “the physician, and not the forms [required by the state].” Id. at 1006. Accordingly, cases that follow Blum ask whether the challenged activity “results from the State‘s exercise of coercive power.” Brentwood, 531 U.S. at 296 (internal quotation marks omitted).
We applied this analysis in Pino v. Higgs, 75 F.3d 1461 (10th Cir. 1996), where we held that a privately employed doctor who authorizes a short-term involuntary psychiatric hold at a private hospital pursuant to a state involuntary commitment scheme was not a state actor because the requisite level of coercive power was not present. Id. at 1465-66. The plaintiff in Pino was taken by police to a private hospital, where a privately employed doctor was legally able to certify her for a short-term mental health hold only because of the New Mexico authorizing statute. Id. at 1466. We had no trouble concluding that the actions of the police officers in detaining the plaintiff and taking her to the hospital were “taken under color of state law.” Id. at 1464. But the private hospital and staff members were not transformed into state actors simply because they had acted in ways the law allowed them to. We explained that while the New Mexico statutory scheme enabled the examining doctor to order the plaintiff detained involuntarily, the doctor‘s decision was not “fairly attributable to the state” because the state did not pressure or coerce the doctor into making his deci-
The New Mexico statute at issue in Pino provided that the admitting physician or psychologist “shall evaluate whether reasonable grounds exist to detain the proposed client... and if such reasonable grounds are found, the proposed client shall be detained.” Id. at 1466 (quoting
the state has no authority and cannot require the admitting doctor to examine such a “proposed client” anymore than it could require the examination of any other person who appeared at the emergency room. Thus, Dr. Weiss’ actions in admitting Appellant to Socorro General were those of a private physician not “state action.”
The Colorado statute here lacks the mandatory language of the New Mexico law; it merely says “[i]f the seventy-two-hour treatment and evaluation facility admits the person, it may detain him or her for evaluation and treatment for a period not to exceed seventy-two hours....”
Plaintiffs have offered no relevant facts to distinguish this case from Pino. Although they alleged that state agencies set standards for NCMC, require NCMC to keep certain records, can give training to NCMC staff, and can order retraining, Aplt. App. at 18-19 (citing
2. Public Function Test
But compulsion is not the only route to state action. The “public function” test
Plaintiffs cite to some out-of-circuit district court decisions finding involuntary commitment of the mentally ill to be a public function and thus state action. But this view has been rejected in our circuit. Pino, 75 F.3d at 1467 (rejecting state action “for reasons similar to the reasons discussed in [Spencer and Harvey]....“). Plaintiffs offer no facts regarding the history of mental-health commitment in Colorado to compel a different conclusion here.
3. Joint Action Test
Lacking compulsion or a public function, a private actor can still be transformed into a state actor under the “joint action” test, in which we ask “whether state officials and private parties have acted in concert in effecting a particular deprivation of constitutional rights.” Gallagher, 49 F.3d at 1453. In Gallagher, a state university leased university facilities to a private company to hold a concert on campus. The plaintiffs challenged certain actions taken by concert security guards employed by the company, contending the guards were safeguarding public property. The university had general requirements that security must be provided, but was silent regarding the specific type of security to be provided by lessees. We held that “[t]his silence establishes no more than the University‘s acquiescence in the practices of the parties that leased the [facilities] and is insufficient to establish state action under the joint action test.” Id. at 1455.
Plaintiffs have not alleged that any state officials conspired with or acted jointly in making the decision to medicate Ian Wittner with Haldol. Instead, plaintiffs’ theory of state action seems to be one of acquiescence—that by allowing NCMC to hold Ian, the state should be held responsible for an NCMC doctor‘s decision to medicate him. But “[a]ction taken by private entities with the mere approval or acquiescence of the State is not state action.” American Mfrs. Mut. Ins. Co. v. Sullivan, 526 U.S. 40, 52 (1999). Accordingly, the “joint action” test is not satisfied on the facts alleged here.
4. Symbiotic Relationship/Entwinement
In Gallagher, applying the “symbiotic relationship” test, we said that when “the state ‘has so far insinuated itself into a position of interdependence’ with a private party ‘it must be recognized as a joint participant in the challenged activity.‘” Gallagher, 49 F.3d at 1451 (quoting Burton v. Wilmington Parking Auth., 365 U.S. 715, 725 (1961)).3 Rather
Whether it is called “symbiotic relationship” or “entwinement,” the analysis starts by asking whether and to what extent the state‘s relationship with the private actor goes beyond the “mere private [purchase] of contract services.” Brentwood, 531 U.S. at 299. “Payments under government contracts and the receipt of government grants and tax benefits are insufficient to establish a symbiotic relationship between the government and a private entity.” Gallagher, 49 F.3d at 1453. But a public-private relationship can transcend that of mere client and contractor if the private and public actors have sufficiently commingled their responsibilities.
In Brentwood, the Court held that the Tennessee Secondary Schools Athletic Association (TSSAA) was not a mere private contractor because, inter alia, the state Board of Education supervised the TSSAA, resulting in state involvement with the private actor from the “top down,” and the state public schools constituted the majority membership of the TSSAA, resulting in state involvement with the private actor from the “bottom up.” 531 U.S. at 299-300. The Court also noted that the TSSAA acted more like a representative body for the public schools than an independent services provider.
Unlike mere public buyers of contract services... the schools here obtain membership in the service organization and give up sources of their own income to their collective association. The Association thus exercises the authority of the predominantly public schools to charge for admission to their games; the Association does not receive this money from the schools, but enjoys the schools’ moneymaking capacity as its own.
Plaintiffs urge us to analogize their case to another case with symbiotic relationship features, Milonas v. Williams, 691 F.2d 931, 940 (10th Cir. 1982), in which we held a private school for behaviorally challenged boys to be a state actor under Burton when it collaborated with state school districts, jails, and courts to admit students and accepted a large amount of state funding. Id. But the interdependence between the school and the state in that case went far beyond, both qualitatively and quantitatively, the interdependence between the state and NCMC alleged here. In Milonas,
members of the class were placed at the school involuntarily by juvenile courts and other state agencies.... Detailed contracts were drawn up by the school administrators and agreed to by the many local school districts that placed boys at the school. There was significant state funding of tuition and, in fact, the school itself promoted the availability of public school funding.... There was extensive state regulation of the educational program....
Here, as we have discussed, the state lacks the authority to unilaterally place patients like Ian Wittner at NCMC; it merely authorizes NCMC to accept such patients if NCMC so chooses. Plaintiffs do not contend the state “extensively” participates in patient care, draws up “detailed contracts” for the care of patients, or dictates the medical “program.” Id. at 940. The kind of heavily interdependent relationship present in Milonas and Brentwood has simply not been alleged here and is not supported by the Colorado statutes authorizing involuntary commitments limited to seventy-two hours. At best, “[a]ll of petitioners‘] arguments taken together show no more than that [NCMC] was a heavily regulated, privately owned” facility, which elected to engage in the challenged action in a manner “permissible under state law.... [T]his is not sufficient to connect the State... with respondent‘s action so as to make the latter‘s conduct attributable to the State....” Jackson, 419 U.S. at 358. The symbiotic relationship test is not satisfied.
Plaintiffs rely on Brentwood in urging us to reject these discrete “tests” in favor of a more fact specific inquiry. The Supreme Court emphasized in Brentwood that “no one fact can function as a necessary condition across the board for finding state action; nor is any set of circumstances absolutely sufficient—” 531 U.S. at 295. But we have long adhered to that very principle. In Gallagher, we recognized the need to take a “flexible approach to the state action doctrine... [which considers] the facts of each case.” 49 F.3d at 1447. And while Brentwood supports finding or rejecting state action when it would be pragmatic or normative to do so, which might sometimes require abandoning a rigid test, 531 U.S. at 304, Brentwood did not radically revise state action doctrine or call into question any of the “tests” we discussed in Gallagher. In fact, Brentwood reviewed those tests approvingly, simply replacing the word “test” with terms like “criteria,” “set[s] of circumstances,” and “kinds of facts.” See id. at 303 (” ‘Coercion’ and ‘encouragement’ are like ‘entwinement’ in referring to kinds of facts that can justify characterizing an ostensibly private action as public instead.“). Because Brentwood did not disturb any of the “tests” (or “criteria“) we identified in Gallagher, we see no reason to abandon them. Nor does a more fact specific inquiry help plaintiffs, given the striking similarities between this case and Pino, 75 F.3d 1461.
Plaintiffs proffer their own three tests, which are all inaccurate or inapplicable statements of law. They first claim that “when a state assumes the power to deprive its citizens of fundamental constitutional rights, the state may not, merely by delegating the exercise of such power to a nominally private entity, divest its citizens of the means to vindicate those rights.” Aplt. Third Br. at 39. Plaintiffs rely for this position on West v. Atkins, 487 U.S. 42 (1988), which held that private physicians who contracted to work in state prisons could be subjected to § 1983 liability for Eighth Amendment violations. Plaintiffs make much of the fact that West did not mention the “public function,” “compulsion,” “joint action,” or “symbiotic relationship” tests by name, but that is immaterial. See Brentwood, 531 U.S. at 303. West is at its core a public function case. See id. at 295 (citing West as a case involving “a public function—“).
Plaintiffs also argue that “[w]hen a state by statute assumes certain affirmative obligations and then delegates the fulfillment of those responsibilities to a private entity, the entity acts under color of state law.” Aplt. Third Br. at 44. Neither premise embedded in this argument is supported here. First, we are not convinced that Colorado assumed the statutory “affirmative obligation” plaintiffs suggest: the duty to provide mental health care to everyone in the state. Id. The statute plaintiffs rely on to locate this putative obligation is
Finally, plaintiffs are incorrect that in the absence of a § 1983 claim they will have been “divest[ed]... of the means to vindicate [their] rights.” Aplt. Third Br. at 39. They can still rely on state tort law, which has no qualified immunity bar to surmount and may therefore be more favorable to plaintiffs than a § 1983 claim. See Corr. Servs. Corp. v. Malesko, 534 U.S. 61, 72-73 (2001) (explaining, in Bivens context, that state tort theories may be more plaintiff-friendly than constitutional torts).
Ultimately, none of plaintiffs’ alternative state action theories convinces us to deviate from the path marked by Pino. We conclude plaintiffs failed to state a claim that defendants were state actors. Because we hold that the district court erred
III.
Plaintiffs also contend the district court abused its discretion when it denied their Rule 59(e) motion to amend the judgment to preserve jurisdiction over their state law tort claims and to remand them to state court. Ysais v. Richardson, 603 F.3d 1175, 1180 (10th Cir. 2010) (stating standard of review). We are not persuaded.
This case was originally filed in federal court seeking federal question jurisdiction over the § 1983 claim, and supplemental jurisdiction over the state claims pursuant to
Plaintiffs make a fairness argument here, fearing their state law claims have expired under state limitations statutes. Their concern, however, is obviated by
IV.
Accordingly, we VACATE the district court‘s summary judgment order of March 22, 2011, REVERSE the court‘s order of September 29, 2009 denying defendants’ Rule 12(b)6 motion, AFFIRM the court‘s denial of plaintiff‘s Rule 59(e) motion, and REMAND to the district court with instructions to enter judgment for defendant in accordance with this opinion.
SEYMOUR
CIRCUIT JUDGE
