U.S. Court of Appeals for the Eighth Circuit, 1988 Court affirms dismissal of § 1983 complaint by state prisoner against judges and prosecutors, finding absolute immunity and failure to state claims under federal law.

Court affirms dismissal of § 1983 complaint by state prisoner against judges and prosecutors, finding absolute immunity and failure to state claims under federal law.

Leonard Rogers v. Neil J. Bruntrager, Janet Fanetti, Brendan Ryan, Charles D. Kitchin, Philip Kramer, James L. Sanders, Henry Robertson
U.S. Court of Appeals for the Eighth Circuit · Decided March 14, 1988 · McMillian, Fagg, Bowman
841 F.2d 853; 1988 U.S. App. LEXIS 3092; 1988 WL 20442 (Federal Reporter, Second Series)

Outcome: Affirmed for appellee.

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Counsel

Leonard Rogers, pro se., Stuart R. Berkowitz, St. Louis, Mo., for appellees.

Leonard Rogers v. Neil J. Bruntrager, Janet Fanetti, Brendan Ryan, Charles D. Kitchin, Philip Kramer, James L. Sanders, Henry Robertson

What happened

The facts of the case, in plain language.

Rogers was eventually tried and convicted of stealing and was sentenced to ten years imprisonment as a persistent offender.

Rogers sought compensatory and punitive damages and equitable relief.

Rogers's complaint was against three state circuit judges, two assistant prosecutors, a public defender, and a deputy circuit clerk.

Rogers filed three substantially similar complaints; the first was dismissed as legally frivolous, the second dismissed without prejudice.

At the time of the third complaint, a post-conviction relief motion was pending in state court, and Rogers could file a petition for federal habeas relief.

What the court decided

Prisoner Leonard Rogers appealed the dismissal of a federal civil rights lawsuit against state court judges, prosecutors, and a court clerk arising from his criminal conviction. Rogers claimed unlawful prosecution and sentencing and sought damages and injunctive relief. This was his third similar lawsuit; the prior two had also been dismissed. The District Court dismissed the third complaint with prejudice on several grounds. The Eighth Circuit affirmed, holding that judges and prosecutors have absolute immunity from damages suits for acts within their official authority, that a public defender does not act under color of state law in performing traditional defense functions, and that federal courts should not interfere with state criminal proceedings when adequate state and federal remedies remain available, including post-conviction relief and federal habeas corpus.

  1. Judges and prosecutors sued under 42 U.S.C. § 1983 have absolute immunity from claims for damages for acts performed within the scope of their official authority. (*856)
  2. A public defender does not act 'under color of state law' for purposes of 42 U.S.C. § 1983 when performing the traditional functions of defense counsel. (*856)
  3. Clerks of court have absolute immunity from § 1983 claims for damages arising from acts they are specifically required to perform under court order or at a judge's direction. (*856)
  4. Federal courts should not grant equitable relief interfering with state criminal proceedings when state and federal law provide adequate legal remedies and when intervention would needlessly threaten the principle of comity; such relief is premature where post-conviction relief in state court and federal habeas corpus remain available. (*856)
  5. Although a conspiracy allegation against a public defender may be minimally sufficient to establish color of state law for § 1983 purposes, the complaint must allege specific facts suggesting a 'meeting of the minds' among the alleged conspirators. (*856)

How the court reached its decision

The court's reasoning, step by step.

Whether a public defender performing traditional defense functions acts under color of state law for § 1983 purposes, and whether a bare conspiracy allegation suffices to establish such state action. The public defender in this case performed traditional defense functions, taking him outside the scope of § 1983. Rogers did allege conspiracy, which the court acknowledged was minimally sufficient to invoke the color-of-state-law exception, but the complaint was devoid of specific facts suggesting any agreement among the defendants. The claims against the public defender were correctly dismissed for failure to state a claim upon which relief could be granted.

Whether state circuit judges, assistant prosecutors, and a deputy circuit clerk are absolutely immune from § 1983 damages claims for acts performed within their official authority. All acts of the state circuit judges and assistant prosecutors that Rogers alleged were unconstitutional were acts performed within the scope of their official authority; the deputy circuit clerk issued the arrest warrant at the direction of the assistant circuit judge, bringing the clerk within the immunity rule. The § 1983 damages claims against the three state circuit judges, two assistant prosecutors, and deputy circuit clerk were correctly dismissed on absolute immunity grounds.

Whether federal equitable relief was appropriate where the plaintiff retained access to post-conviction relief in state court and the opportunity to file a federal habeas petition. At the time Rogers filed his third complaint, a post-conviction relief motion was pending in state court and a federal habeas corpus petition remained available, providing adequate alternative remedies that made federal equitable intervention both premature and contrary to comity. Dismissal of Rogers's claims for equitable relief was proper because adequate state and federal remedies remained available, rendering federal equitable relief premature.

Key quotes from the opinion

Notable passages from the opinion, in the court's own words.

“Judges and prosecutors have absolute immunity from claims for damages for acts performed within their official authority.”
Absolute immunity for judicial and prosecutorial acts — *856
“Public defenders do not act "under color of state law" for purposes of 42 U.S.C. § 1983 when performing the traditional functions of defense counsel.”
Public defenders' exception to § 1983 liability — *856
“The federal courts should not interfere in state criminal court proceedings when state and federal law provide adequate legal remedies and when intervention needlessly threatens the principle of comity.”
Comity principle limiting federal equitable relief in state criminal matters — *856
“Here, all of the acts of the state circuit judges and the assistant prosecutors that Rogers alleged were unconstitutional were acts performed within the scope of their official authority.”
Defendants' acts within scope of official authority qualifying for absolute immunity — *856

Cases the court relied on

Earlier decisions the court cited as authority for its ruling.

  • Polk County v. Dodson (454 U.S. 312 (1981)) — Supreme Court precedent establishing that public defenders do not act under color of state law for § 1983 purposes when performing the traditional functions of defense counsel, directly controlling the dismissal of claims against the public defender defendant.
  • Stump v. Sparkman (435 U.S. 349 (1978)) — Supreme Court authority establishing judicial immunity from § 1983 damages liability, cited as the foundational precedent for dismissing damages claims against the state circuit judges.
  • Imbler v. Pachtman (424 U.S. 409 (1976)) — Supreme Court authority establishing prosecutorial immunity from § 1983 damages liability, cited as the foundational precedent for dismissing damages claims against the assistant prosecutors.
  • Smith v. Bacon (699 F.2d 434 (8th Cir. 1983)) — Eighth Circuit precedent relied upon for three independent propositions: that state court judges are immune from § 1983 damages, that a conspiracy allegation against a private party requires specific facts showing a meeting of the minds, and that federal courts should not interfere with state criminal proceedings when adequate remedies remain available.
  • McCaw v. Winter (745 F.2d 533 (8th Cir. 1984)) — Eighth Circuit authority confirming that a state court judge and a clerk of court acting at a judge's direction are both absolutely immune from § 1983 damages claims.

Cases that cite this one

122 later published cases cite this decision. The 21 that cite it most often are listed here.

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Full opinion

The complete text of the court's opinion as published.

Opinion

McMILLIAN, Circuit Judge.

Leonard Rogers appeals pro se from a final order entered in the District Court 1 for the Eastern District of Missouri dismissing with prejudice his 42 U.S.C. § 1983 complaint against three state circuit judges, two assistant prosecutors, a public defender, and a deputy circuit clerk. Rogers v. Bruntrager, No. 87-646-C(4) (E.D.Mo. Aug. 14, 1987). For the reasons discussed below, we affirm the order of the district court.

. This litigation has quite a procedural history. The historical facts are not in dispute. In early September 1982 Rogers was arrested by city police for burglary, a misdemeanor; he was subsequently released. The next day an assistant prosecutor filed a complaint against Rogers, charging him with stealing, a felony, and obtained an arrest warrant from a state associate circuit judge. The deputy circuit clerk issued the arrest warrant. Rogers was arrested pursuant to this warrant and was eventually tried and convicted of stealing. He was sentenced to ten years imprisonment as a persistent offender. His conviction was affirmed on appeal. State v. Rogers, 674 S.W.2d 608 (Mo.Ct.App. 1984).

In 1983 Rogers filed his first pro se civil rights complaint against various state and local officials who were involved in the criminal proceeding — three state circuit judges, the prosecutor, the sheriff, the warden of the city jail, and his public defender. He alleged that the arrest warrant was illegal and that his sentence as a persistent offender was unlawful. Rogers claimed that because he was unlawfully prosecuted for the felony of stealing, he was unlawfully sentenced as a persistent offender. He sought compensatory and punitive damages and equitable relief. He was granted leave to proceed in forma pauperis, and the complaint was docketed and process was issued. The district court subsequently determined that the complaint was “legally frivolous,” dismissed the action and directed that process not *855 issue. Rogers v. Ryan, No. N83-95C (E.D.Mo. Aug. 26, 1983) (Regan, J.).

Rogers promptly filed a second pro se civil rights complaint, which was substantially similar to the first complaint, against one of the assistant prosecutors who had been a defendant in the first complaint and another public defender. The district court held that claims against the assistant prosecutor were barred by prosecutorial immunity and that the complaint failed to allege state action against the public defender. The district court dismissed the complaint without prejudice, but denied Rogers leave to amend the complaint on the grounds that he had failed to assert any additional material facts in the motion to amend. This court summarily affirmed the order of the district court. Rogers v. Bruntrager, 680 F.Supp. 876 (E.D.Mo.) (Filippine, J.), aff'd, 738 F.2d 444 (8th Cir.), cert. denied, 469 U.S. 861, 105 S.Ct. 171, 83 L.Ed.2d 106 (1984).

Undaunted, Rogers filed a third pro se civil rights complaint against the same three state circuit judges, the same assistant prosecutors, one deputy circuit clerk, and the public defender who handled his state appeal. This third complaint was substantially similar to the first and second complaints. Understandably frustrated by Rogers’s repetitious filing of essentially the same complaint, the district court dismissed the complaint with prejudice against all defendants on several grounds, including immunity, failure to state a claim, statute of limitations, and res judicata, and directed Rogers “not to refile this claim again as to any of these defendants.” Rogers v. Bruntrager, No. 87-646-C(4), slip op. at 2-3 (E.D.Mo. Aug. 14, 1987) (Cahill, J.). This appeal followed.

The substance of this complaint, which is Rogers’s third complaint, has already been reviewed and dismissed not once, but twice. Each complaint alleged substantially the same claims against essentially the same defendants, that is, the state and local officials who were involved in Rogers’s state criminal trial and appeal. The first dismissal, which was based upon the finding that the complaint was “legally frivolous,” was presumably a dismissal pursuant to 28 U.S. C. § 1916(d). Although dismissal on that ground may have been incorrect, given the very liberal standard of review applicable to pro se prisoner complaints, see, e.g., Smith v. Bacon, 699 F.2d 434, 436 (8th Cir. 1983) (per curiam) (pro se prisoner complaint may be dismissed if “frivolous or malicious” pursuant to 28 U.S.C. § 1916(d)), the dismissal was not appealed and Rogers did not file an amended complaint.

The second complaint was dismissed expressly without prejudice, but leave to amend the complaint was denied. One could argue that this somewhat unusual combination of orders was in effect a disposition on the merits and thus subject to res judicata principles. See 6 C. Wright & A. Miller, Federal Practice and Procedure § 1357, at 611-17 (1969) (dismissals under Fed.R.Civ.P. 12(b)(6)). However, under these circumstances, application of res judi-cata or claim preclusion principles would be somewhat problematical. Id. at 615 (noting that dismissal followed by invocation of res judicata may be “particularly harsh”; possible problems with adequate notice to the plaintiff; suggesting better practice to convert motion to dismiss into motion for summary judgment). Instead, we reach the merits of the appeal and discuss briefly the reasons why we think the district court correctly dismissed Rogers's third complaint with prejudice. 2

*856 The claims against the public defender were correctly dismissed for failure to state a claim upon which relief could be granted. Public defenders do not act “under color of state law” for purposes of 42 U.S.C. § 1983 when performing the traditional functions of defense counsel. See Polk County v. Dodson, 454 U.S. 312, 319-25, 102 S.Ct. 445, 450-53, 70 L.Ed.2d 509 (1981). To the extent that Rogers’s complaint can be read to allege a conspiracy between the public defender and the other defendants, the public defender can be regarded as having acted under color of state law. See, e.g., Smith v. Bacon, 699 F.2d at 436. , Rogers’s bare allegation of conspiracy was minimally sufficient, but the complaint completely failed to allege any specific facts “suggesting such a ‘meeting of the minds.’ ” White v. Walsh, 649 F.2d 560, 561-62 (8th Cir. 1981); see McClain v. Kitchen, 659 F.2d 870, 872 (8th Cir. 1981) (per curiam).

Next, the district court correctly dismissed the claims for damages against the three state circuit judges, the two assistant prosecutors and the deputy circuit clerk on the grounds of absolute immunity. Judges and prosecutors have absolute immunity from claims for damages for acts performed within their official authority. Stump v. Sparkman, 435 U.S. 349, 98 S.Ct. 1099, 55 L.Ed.2d 331 (1978) (judicial immunity from liability for damages); Im bler v. Pachtman, 424 U.S. 409, 96 S.Ct. 984, 47 L.Ed.2d 128 (1976) (prosecutorial immunity from liability for damages); see, e.g., McCaw v. Winter, 745 F.2d 533, 534 (8th Cir. 1984) (per curiam) (state court judge); Smith v. Bacon, 699 F.2d at 436 (state court judges); Tarter v. Hury, 646 F.2d 1010, 1012-13 (5th Cir. 1981) (state court judges and prosecutors). Clerks of court “have absolute immunity from actions for damages arising from acts they are specifically required to do under court order or at a judge’s direction.” See, e.g., McCaw v. Winter, 745 F.2d at 534; Tarter v. Hury, 646 F.2d at 1013. Here, all of the acts of the state circuit judges and the assistant prosecutors that Rogers alleged were unconstitutional were acts performed within the scope of their official authority. Similarly, the deputy circuit clerk issued the arrest warrant at the direction of the assistant circuit judge.

The district court properly dismissed Rogers’s claims for equitable relief because federal equitable relief would have been inappropriate. 3 “The federal courts should not interfere in state criminal court proceedings when state and federal law provide adequate legal remedies and when intervention needlessly threatens the principle of comity.” Smith v. Bacon, 699 F.2d at 437, citing Bonner v. Circuit Court, 526 F.2d 1331, 1335 (8th Cir. 1975), cert. denied, 424 U.S. 946, 96 S.Ct. 1418, 47 L.Ed.2d 353 (1976); see O’Shea v. Littleton, 414 U.S. 488, 94 S.Ct. 669, 38 L.Ed.2d 674 (1974); Tarter v. Hury, 646 F.2d at 1013. From the record it appears that, at the time this complaint was filed, a post-conviction relief motion was pending in state court. Rogers can also file a petition for federal habeas relief. Because Rogers still has recourse to adequate legal remedies through state and federal habeas corpus proceedings, the granting of federal equitable relief would have been premature. See Smith v. Bacon, 699 F.2d at 437; cf. Tartar v. Hury, 646 F.2d at 1013 (injunction requiring nondiscretionary procedural safeguards held not to constitute federal interference with state criminal process).

Accordingly,, the order of the district court is affirmed.

1

. The Honorable Clyde S. Cahill, United States District Judge for the Eastern District of Missouri.

2

. This 42 U.S.C. § 1983 action is not barred by the applicable statute of limitations. The applicable state statute of limitations is five years. Mo.Ann.Stat. § 516.120(4) (Vernon 1952) (actions "for any other injury to the person or rights of another"); see Wilson v. Garcia, 471 U.S. 261, 276-79, 105 S.Ct. 1938, 1947-49, 85 L.Ed.2d 254 (1985) (statute of limitations for 42 U.S.C. § 1983 actions is the state statute of limitations for personal injury actions); Farmer v. Cook, 782 F.2d 780, 780-81 (8th Cir. 1986) (per curiam) (applying Mo.Ann.Stat. § 516.120(4) in 42 U.S.C. § 1983 action). Rogers’s claims for unlawful arrest and unlawful imprisonment arose at the earliest on September 10, 1982, the date of his arrest for stealing, and the complaint was timely filed on April 10, 1987 (even without allowing for the periods of time the first and second complaints were pending in the district court).

3

. Prosecutors and clerks of court are not immune from claims for equitable relief. See Supreme Court v. Consumers Union, 446 U.S. 719, 736-38, 100 S.Ct. 1967, 1977-78, 64 L.Ed.2d 641 (1980) (prosecutors); Tartar v. Hury, 646.F.2d 1010, 1013 (5th Cir. 1981) (clerks of court). Judges are arguably subject to suit for equitable relief. See Supreme Court v. Consumers Union, 446 U.S. at 734-36, 100 S.Ct. at 1975-1977; Smith v. Bacon, 699 F.2d 434, 437 n. 3 (8th Cir. 1983) (per curiam).

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