Thompson v. Freeman
Opinion of the Court
The Secretary of Health and Human Services (HHS) appeals from a permanent injunction directing the Missouri Department of Social Services to process applications to the state for Aid to Families with Dependent Children (AFDC) within forty-five days, as required by 45 C.F.R. § 206.-10(a)(3)(i) (1980), and ordering the Secretary to respond within fifteen days to any applicant who complains of future instances of delay by the state agency. We vacate the injunction and remand the case to the district court for further proceedings.
I. Background.
Plaintiffs Mabel L. Thompson, Vennestine Groves, Shirley R. Grimmitt, Deborah Gittens, Linda Denise Price, and Birder Gray initiated this action in federal district court on July 25, 1975, to compel the Missouri Department of Social Services
Nearly three years later, on December 19, 1979, the district court entered an order holding the Missouri Department of Social
convene an across-the-table conference to determine whether this Court should seek the views of the Secretary of the Department of Health and Welfare as either a party or as an amicus to assist it in designing an appropriate remedy * * *. [Id. at 1178.]
During the conference, the district court indicated its preference to join the Department of Health and Human Services
(d) Form and Scope of Injunction or Restraining Order. Every order granting an injunction * * * is binding only upon the parties to the action, their officers, agents, servants, employees, and attorneys, and upon those persons in active concert or participation with them who receive actual notice of the order by personal service or otherwise. [Emphasis added.]
Accordingly, the district court issued its “Final Judgment, Order and Decree” on May 2,1980. Thompson v. Freeman, No. 75 CV 494-W-B-l (W.D.Mo. May 2, 1980) (unreported order). Paragraph 3 of the judgment permanently enjoined Missouri officials from failing to process applications for AFDC benefits within forty-five days of the date of application. Paragraph 4 further directed the state authorities to presume eligible and issue benefits to any applicant whose application was not processed within the forty-five day time requirement. Additionally, the court formulated a procedure for AFDC applicants to seek relief if, in the future, they believe that state officials are not complying with the provisions of the court’s order. According to this procedure, as set forth in paragraph 11 of the order,
II. Discussion.
On appeal, HHS contends that the district court lacked authority to enjoin the federal agency in paragraph 11 of the court’s final order.
In Regal Knitwear Co. v. NLRB, 324 U.S. 9, 65 S.Ct. 478, 89 L.Ed. 661 (1944), the Supreme Court explained that the power of a court to bind a nonparty to the provisions of an injunctive order derives
from the common-law doctrine that a decree of injunction not only binds the parties defendant but also those identified with them in interest, in “privity” with them, represented by them or subject to their control. In essence * * * defendants may not nullify a decree by carrying out prohibited acts through aiders and abettors, although they were not parties to the original proceeding. [Id. at 14, 65 S.Ct. at 481.]
Accordingly, a nonparty may be enjoined under Rule 65(d) only when its interests closely “identify with” those of the defendant, when the nonparty and defendant stand in “privity,” or when the defendant “represents” or “controls” the nonparty. See Chase National Bank v. City of Norwalk, 291 U.S. 431, 436-37, 54 S.Ct. 475, 477-478, 78 L.Ed. 894 (1934); Kean v. Hurley, 179 F.2d 888, 890 (8th Cir. 1950). Whether a defendant may evade an injunctive order through the actions of a nonparty “ordinarily presents a question of fact requiring examination of the circumstances of each case as it arises.” Crane Boom Life Guard Co. v. Saf-T-Boom Corp., 362 F.2d 317, 322 (8th Cir. 1966).
The circumstances of this case clearly demonstrate that the district court erred in enjoining HHS under the provisions of Rule 65(d). The gravamen of this controversy concerns Missouri’s alleged failure to comply with federal regulations. For this reason, Missouri’s interests do not coincide with those of HHS. Like the plaintiffs in this action, HHS seeks Missouri’s full compliance with federal standards. Similarly, HHS does not stand in privity with the state agency, nor does Missouri “represent” or “control” the federal agency, because HHS oversees the state’s implementation of
Missouri argues, however, that the district court properly included HHS within the scope of the injunction because the responsibility to monitor the state’s compliance with the forty-five day time limit rests by law within HHS. It contends that in light of the length of this litigation, which began in July of 1975, and similar litigation on Missouri’s compliance with AFDC time requirements in Like v. Carter,
Although we recognize HHS’s past ineffectiveness in securing Missouri’s compliance with AFDC regulations, this ineffectiveness does not alone amount to “active concert or participation with” the state agency within the meaning of Rule 65(d). As previously pointed out, a nonparty may be enjoined under Rule 65(d) only when its relationship to an enjoined party rises to the level of identity in interests, privity, or representation or control. That relationship does not exist between Missouri and HHS.
For these reasons, we direct the district court to modify its injunction by deleting paragraph 11 from the decree, or if paragraph 11 is not separable from the remainder of the decree, by revising the injunction in a manner deemed appropriate by the court under all of the circumstances of this litigation.
. Plaintiffs originally named as defendants James F. Walsh, Director of the Missouri Department of Social Services, John Zumwalt, Director of the Division of Family Services, and J. Joseph Lewis, Director of the Jackson County Welfare Office. Before the district court issued its final order in this action, however, the parties agreed to substitute David R. Freeman for Walsh, as the present Director of the Missouri Department of Social Services.
. Subsequent to the court’s December 19, 1979 order, the Department of Health and Welfare became the Department of Health and Human Services. Accordingly, this opinion will refer to the Department of Health and Welfare as the Department of Health and Human Services (HHS).
. Rule 65(d) states in pertinent part:
. Paragraph 11 provides:
11. That if any plaintiff or other person or counsel who represents such plaintiff or other person believes that defendants are not complying with the provisions of this Final Judgment, Order and Decree, such person shall, before making or filing any application for this Court to exercise its independent power and jurisdiction to enforce the Final Judgment, Order and Decree, take the following action:
(a) Such plaintiff(s) or other person(s) or their counsel shall prepare and serve on the Regional Commissioner of the Social Security Administration an appropriate written request that HEW or its successor agency take appropriate action to enforce the provisions of this Final Judgment, Order and Decree.
(b) Such request shall state with particularity the circumstances concerning defendants’ alleged noncompliance including exhibits and affidavits of persons with personal knowledge as to the alleged noncompliance. A copy of the request and supporting data shall be forwarded to this Court and to defendants. Noncompliance shall be as defined in 42 U.S.C. § 604(a)(2) and 45 C.F.R. § 201.6(a).
(c) The Regional Commissioner of the Social Security Administration shall, within fifteen (15) days after receipt of a request, reply to such request in writing. Such reply shall state with particularity what action, if any, will be taken by HEW or its successor agency; when such action, if any, will be taken; and the reasons supporting the decision of HEW or its successor agency. A copy of that reply shall be forwarded to the Court and to defendants.
(d) In the event HEW or its successor agency, as a result of the request, takes action deemed appropriate by the complaining party, no further proceedings will be necessary.
(e) In the event that HEW or its successor agency does not reply within the fifteen (15) day period, or replies within the fifteen (15) day period that it intends to take action considered to be inadequate by the complaining party, or subsequently fails to take action deemed to be appropriate by the complaining*1147 party, then in those circumstances, and only in those circumstances, such person may promptly advise the Court in writing and file an appropriate motion, with a copy to defendant, that the Court give appropriate consideration as to whether the Court should issue a rule to show cause and thereafter exercise its independent power and jurisdiction to take appropriate action to enforce this Final Judgment, Order and Decree as the circumstances may require under applicable law.
(f) The Court will consider the motion of the complaining party, the suggestions filed in support of and in opposition to that motion, together with the written request to HEW or its successor agency, and the reply from HEW or its successor agency and thereafter determine what further action, if any, should be taken under the circumstances.
. Although HHS was not a party to this action, it may bring this appeal to contest the district court’s jurisdiction to bind it to the terms of the court’s injunction. See Zenith Radio Corp. v. Hazeltine Research, Inc., 395 U.S. 100, 110, 89 S.Ct. 1562, 1569, 23 L.Ed.2d 129 (1969); Commercial Security Bank v. Walker Bank & Trust Co., 456 F.2d 1352, 1354 (10th Cir. 1972).
. 318 F.Supp. 910 (E.D.Mo. 1970), rev’d, 448 F.2d 798 (8th Cir. 1971), on remand, 353 F.Supp. 405 (E.D.Mo.), aff'd, 486 F.2d 522 (8th Cir. 1973).
. Whatever relief the district court determines to afford plaintiffs on remand, we urge and expect that HHS will voluntarily and diligently assist the Missouri Department of Social Services in achieving substantial compliance with federal law.
Reference
- Full Case Name
- Mabel L. THOMPSON, Vennestine Groves, Shirley R. Grimmett, Deborah Gittens, Linda Denise Price, Birder Gray, Linda J. Hicks, Patsy J. Eason, Linda S. Redhage and Suellen Marie Smith v. David R. FREEMAN, Director of the Missouri Department of Social Services, John Zumwalt, Director of the Division of Family Services and J. Joseph Lewis, Director of the Jackson County Welfare Office, Secretary of the Department of Health and Human Services
- Cited By
- 26 cases
- Status
- Published