JAMES E. PRICE, Plaintiff-Appellee v. LARRY DAVIS
AND B. DEWITT CREECY, Defendant-Appellants
No. COA98-591
(Filed 16 March 1999)
1. Appeal and Error--appealability--interlocutory order--
sovereign immunity
An interlocutory order denying defendant's motion for
summary judgment was immediately appealable to the extent the
appeal is based on the affirmative defense of governmental or
sovereign immunity.
2. Governmental Immunity; Prisons and Prisoners--inmate--
damages claim--prison officials--sovereign immunity
Sovereign immunity barred an inmate's claim for damages
against defendant prison officials in their official capacities
based upon their confiscation of alleged contraband items from
the inmate upon his arrival at the prison and their refusal to
permit the inmate to receive legal texts from an outside visitor
since defendants were performing governmental functions for
sovereign immunity purposes, and the record does not indicate
that immunity has been waived through consent or the purchase of
liability insurance. Furthermore, the prison officials were
immune from a suit in their official capacities for damages under
42 U.S.C. § 1983.
3. Public Officers and Employees--prison officials--inmate's
claim--qualified immunity
The doctrine of qualified immunity shielded prison officials
from an inmate's claim for damages against them in their
individual capacities based upon their allegedly unconstitutional
confiscation of contraband (solid-barrel ball point pens,
highlighters, and a padlock) when the inmate arrived at the
prison and their refusal to permit the inmate to receive legal
texts from an outside visitor where the officials acted in
accordance with the Division of Prisons Policy Manual and the
prison's operating procedures manual.
4. Public Officers and Employees--prison officials--individual
liability--public official immunity
Defendant prison officials are protected by public official
immunity from individual liability on plaintiff inmate's claim
for alleged violations of state statutes and prison regulations
arising from the confiscation of contraband when he arrived at
the prison and refusal to permit him to receive legal texts from
an outside visitor where plaintiff failed to show that the
defendants' conduct was malicious, corrupt, or outside the scope
of their official authority. Appeal by defendants from order entered 6 March 1998 by
Judge Cy A. Grant, Sr., in Northampton County Superior Court.
Heard in the Court of Appeals 11 January 1998.
James E. Price, pro se, for plaintiff-appellee.
Attorney General Michael F. Easley, by Assistant Attorney
General William McBlief, for defendant-appellants.
MARTIN, Judge.
Plaintiff, an inmate confined in the custody of the North
Carolina Department of Correction, filed this action on 12 May
1995 seeking compensatory and punitive damages for alleged
deprivations of his statutory and constitutional rights. In his
complaint, plaintiff alleged that on 23 March 1995, he was
transferred from Harnett Correctional Center to Odom Correctional
Center. Upon his arrival at Odom, plaintiff alleged that
defendant Creecy, a correctional sergeant, confiscated twenty-six
solid-barrel ball point pens, nine highlighters, and a padlock
from plaintiff, in violation of G.S. § 148-11, prison policy, and
plaintiff's due process rights. Plaintiff also alleged that on 8
April 1995, defendant Davis, the assistant superintendent at
Odom, refused to permit plaintiff to receive various legal texts
which had been brought to him by a visitor, in violation of G.S.
§ 148-11, prison policy, and plaintiff's constitutional right tomeaningful access to the courts.
Defendants filed an answer, admitting the confiscation of
contraband materials from plaintiff, denying the other material
allegations of the complaint, and asserting affirmative defenses,
including sovereign and governmental immunity, and qualified immunity. Defendants thereafter moved for summary judgment. The
motion was supported by affidavits of defendants Davis and
Creecy, in which they averred the contraband items were
confiscated from plaintiff according to written Odom Standard
Operating Procedures and that replacement see-through pens were
offered to plaintiff but refused by him. They also averred that
plaintiff's personal lock was considered a security risk and a
replacement combination lock was issued to him. The confiscated
materials were secured in the Odom mailroom and, according to
defendant Davis, were forwarded to the Columbus Correctional
Center upon plaintiff's subsequent transfer to that facility. In
addition, defendant Davis asserted that Division of Prisons
(DOP) Policy and Odom Standard Operating Procedures permit
medium security inmates such as plaintiff to receive publications
only directly from the publisher. Copies of the applicable DOP
Policy Manual and Odom Standard Operating Procedures, as well as
correspondence directed to plaintiff and various other documents,
were attached to the affidavits. Plaintiff asserted the
confiscated items were permitted according to the terms of an
Inmate Booklet, dated April 1997, issued by the Department of
Correction.
On 6 March 1998, the trial court entered an order in which
it determined that a genuine issue of material fact existed as to
whether a prisoner may rely upon the Department of Correction
'Inmate Booklet' and that defendants were not entitled to
summary judgment. Defendants appeal from the denial of their
motion for summary judgment.
_________________
I.
[1]The order denying defendants' motion for summary
judgment is interlocutory; while, as a general rule, such orders
are not immediately appealable, this Court has repeatedly held
that appeals raising issues of governmental or sovereign immunity
affect a substantial right sufficient to warrant immediate
appellate review.
See,
e.g.,
Dewort v. Polk County, 129 N.C.
App. 789, 501 S.E.2d 379 (1998),
Hedrick v. Rains, 121 N.C. App.
466, 466 S.E.2d 281,
affirmed, 344 N.C. 729, 477 S.E.2d 171
(1996). We allow interlocutory appeals in these situations
because 'the essence of absolute immunity is its possessor's
entitlement not to have to answer for his conduct in a civil
damages action.'
Epps v. Duke University, Inc., 122 N.C. App.
198, 201, 468 S.E.2d 846, 849,
disc. review denied, 344 N.C. 436,
476 S.E.2d 115 (1996) (citing
Herndon v. Barrett, 101 N.C. App.
636, 639, 400 S.E.2d 767, 769 (1991)). Therefore, to the extent
defendants' appeal is based on an affirmative defense of
immunity, this appeal is properly before us.
II.
Summary judgment is appropriate when the pleadings,
depositions, answers to interrogatories, and admissions on file,
together with the affidavits, if any, show that there is no
genuine issue as to any material fact and that any party is
entitled to a judgment as a matter of law. N.C. Gen. Stat. §
1A-1, Rule 56(c) (1997). The movant bears the burden of
establishing that no genuine issue of material fact exists, and can meet the burden by either 1) Proving that an essential
element of the opposing party's claim is nonexistent; or 2)
Showing through discovery that the opposing party cannot produce
evidence sufficient to support an essential element of his claim
nor sufficient to surmount an affirmative defense to his claim.
Messick v. Catawba County, 110 N.C. App. 707, 712, 431 S.E.2d
489, 492-93,
disc. review denied, 334 N.C. 621, 435 S.E.2d 336
(1993).
III.
[2]We first address plaintiff's claims for damages, made
against defendants in their official capacities, alleging
defendants' actions violated the provisions of North Carolina
statutes and prison regulations. As a general rule,
governmental, or sovereign immunity, shields municipalities and
the officers or employees thereof sued in their official
capacities from suits based on torts committed while performing a
governmental function.
Kephart v. Pendergraph, 131 N.C. App.
559, 507 S.E.2d 915, 918 (1998). Provided that the State has not
consented to suit or has waived its immunity through the purchase
of liability insurance, the immunity provided by the doctrine is
absolute and unqualified.
Messick, at 714, 431 S.E.2d at 494.
Moreover, [t]he provision of police services, and the erection
and operation of prisons and jails, have previously been
determined to constitute governmental functions.
Kephart,
supra
(citations omitted) (holding actions of county officials in
maintaining confinement facilities constitute governmental
functions for purposes of applying sovereign immunity);
see also,
Harwood v. Johnson, 326 N.C. 231, 388 S.E.2d 439,
reh'g denied,
326 N.C. 488, 392 S.E.2d 90 (1990).
In confiscating alleged contraband items from plaintiff upon
his arrival at Odom, and in preventing his receipt of
publications from an outside visitor, defendants were acting in
their official State capacities; such actions were, therefore,
governmental functions for purposes of sovereign immunity.
Plaintiff has not alleged, nor does the record indicate, that
immunity has been waived through consent or the purchase of
liability insurance.
See Messick at 714, 431 S.E.2d at 494
(holding summary judgment for defendants proper on basis of
sovereign immunity where defendants were engaged in governmental
functions and where record did not indicate State waiver or
purchase of liability insurance). Thus, sovereign immunity bars
plaintiff's claims for damages made against defendants in their
official capacities.
In addition, we hold defendants to be immune from suit in
their official capacities for any alleged violations of the
United States Constitution under color of state law. 42 U.S.C. §
1983 authorizes such a civil action for deprivation of
constitutional rights, and provides, in pertinent part:
Every person who, under color of any
statute, ordinance, regulation, custom, or
usage, of any State or Territory or the
District of Columbia, subjects, or causes to
be subjected, any citizen of the United
States or other person within the
jurisdiction thereof to the deprivation of
any rights, privileges, or immunities secured
by the Constitution and laws, shall be liable
to the party injured in an action at law,
suit in equity, or other proper proceeding
for redress . . . .
42 U.S.C.A. § 1983 (Cum. Supp. 1998). However, our Supreme Court
has held that the text of § 1983 permits actions against
persons, but that neither a State nor its officials acting in
their official capacity are persons under § 1983 when monetary
damages are sought.
See Corum v. University of North Carolina,
330 N.C. 761, 771, 413 S.E.2d 276, 282-83,
reh'g denied, 331 N.C.
558, 418 S.E.2d 664,
cert. denied, 506 U.S. 985, 121 L.Ed.2d 431
(1992). In
Corum, the Court held that the plaintiff, who was
seeking damages against state employees in their official
capacities, was barred from maintaining the suit; we likewise
hold defendants are immune from suit in their official
capacities.
See Stroud v. Harrison, 131 N.C. App. 480, 508
S.E.2d 527 (1998).
IV.
[3]We next consider plaintiff's claims asserted against
defendants in their individual capacities. Defendants argue the
doctrine of qualified immunity shields them from plaintiff's
claims. We agree. Under the doctrine of qualified immunity,
'government officials performing discretionary functions
generally are shielded from liability for civil damages insofar
as their conduct does not violate clearly established statutory
or constitutional rights of which a reasonable person would have
known.'
Roberts v. Swain, 126 N.C. App. 712, 718, 487 S.E.2d
760, 765,
disc. review denied, 347 N.C. 270, 493 S.E.2d 746
(1997) (quoting
Harlow v. Fitzgerald, 457 U.S. 800, 818, 73
L.Ed.2d 396, 410 (1982)). Moreover, [r]esolution of whether a
government official is insulated from personal liability by qualified immunity 'turns on the objective legal reasonableness
of the [official's] action . . . assessed in light of the legal
rules that were clearly established at the time it was taken.'
Id. (citations omitted).
We hold that defendants' actions were objectively reasonable
in light of the clearly established legal rules in effect at the
time of the alleged violations of plaintiff's rights, and that
defendants are therefore entitled to qualified immunity.
Plaintiff asserts that defendants unconstitutionally deprived him
of his pens, highlighters, padlock, and legal texts. However,
defendants acted in accord with the discretion afforded them by
provisions contained in the DOP Policy Manual, as well as the
Odom Standard Operating Procedure Manual. Section .0501 of the
DOP manual provides that when an inmate arrives at a prison
facility the general rule is that the inmate may retain certain
personal belongings, but further provides:
the Division of Prisons assumes no
responsibility for replacing any items if
they are damaged, destroyed or lost. The
amount of authorized items may be limited
where necessary to provide for proper
accountability, contraband control, storage
space, sanitary conditions and resident
morale.
DOP Policy 2F.0501.
Moreover, pursuant to Odom Standard Operating Procedures,
inmates are not permitted to retain any type of solid-barrel
writing instrument, including the type of pens and highlighters
which plaintiff sought to retain upon his arrival at Odom, and
such items may be classified as contraband for which confiscation
by prison officials is clearly authorized.
See also N.C. Gen. Stat. § 148-18.1 (1997) (Any item of personal property which a
prisoner in any correctional facility is prohibited from
possessing by State law or which is not authorized by rules
adopted by the Secretary of Correction shall . . . be confiscated
. . .). The evidentiary materials of record also reflect that
it is Odom policy to allow inmates to receive legal texts
directly from publishers only, that plaintiff was offered
replacement writing utensils, and that the confiscated materials
were placed in a mailroom and subsequently forwarded to the
facility to which plaintiff was transferred. Defendants acted
within clearly established legal rules in confiscating and
withholding certain materials from plaintiff, and plaintiff has
failed to meet his burden of showing that defendants did not act
within clearly established law, or that their conduct otherwise
violated plaintiff's rights.
See Hawkins v. State, 117 N.C. App.
615, 453 S.E.2d 233,
review dismissed as improvidently granted,
342 N.C. 188, 463 S.E.2d 79 (1995) (plaintiff bears the burden of
establishing a violation of a clearly established right under
doctrine of qualified immunity).
[4]Moreover, defendants are protected by public official
immunity from individual liability for alleged violations of
State statutes and prison regulations. The essence of the
doctrine of public official immunity is that public officials
engaged in the performance of their governmental duties involving
the exercise of judgment and discretion, and acting within the
scope of their authority, may not be held liable for such
actions, in the absence of malice or corruption.
Barnett v. Karpinos, 119 N.C. App. 719, 729, 460 S.E.2d 208, 213,
disc.
review denied, 342 N.C. 190, 463 S.E.2d 232 (1995) (quoting
Smith
v. State, 289 N.C. 303, 331, 222 S.E.2d 412, 430 (1976)). As
long as the official lawfully exercises his judgment or
discretion, stays within the scope of his official authority, and
does not act with malice or corruption, he is protected from
liability.
Id.
Here, plaintiff has failed to allege or show that defendants
acted maliciously or outside the scope of their authority.
See
Epps at 205, 468 S.E.2d at 851-52 (to maintain individual
capacity suit plaintiff must make initial
prima facie showing
that defendants' conduct is malicious, corrupt, or outside scope
of official authority). Thus, plaintiff is unable to show an
essential element of his claim and summary judgment should have
been granted.
In light of defendants' immunity from suit, any issue of
fact which may exist in this case concerning plaintiff's reliance
upon the Department of Correction Inmate Booklet is not
material. The order denying defendants' motion for summary
judgment is reversed and this case is remanded to the Superior
Court of Northampton County for entry of summary judgment in
favor of defendants.
Reversed and remanded.
Chief Judge EAGLES and Judge McGEE concur.
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