KEITH BRENT VEST v. MICHAEL F. EASLEY, North Carolina Attorney
General; SAM F. BOYD, Executive Director North Carolina Parole
Commission; FRANKLIN FREEMAN, Advisor to Governor and Past
Secretary of North Carolina Department of Correction; MACK
JARVIS, Past Secretary of North Carolina Department of
Correction; JOSEPH HAMILTON, Secretary of North Carolina
Department of Correction; JUANITA BAKER, Chairman of North
Carolina Parole Commission; ELBERT BUCK, CHARLES L. MANN, Sr.,
WILLIAM LOWRY, PEGGY STAMEY, Members of the North Carolina
Parole Commission
1. Appeal and Error--appealability--denial of motion for
summary judgment
The denial of a motion for summary judgment was immediately
appealable because it involved an immunity defense.
2. Immunity--Parole Commission and Corrections officials--
miscalculation of parole eligibility
Summary judgment should have been granted on plaintiff's
negligence claims arising from the miscalculation of his parole
eligibility date where the remaining defendants were entitled to
public official immunity. Plaintiff did not allege a waiver; did
not show evidence that defendants' conduct was malicious, corrupt
or outside the scope of their official authority; and failed to
show injury.
3. Civil Rights--§ 1983 claim--miscalculation of parole
eligibility
Summary judgment should have been granted for defendants on
a 42 U.S.C. § 1983 claim arising from the miscalculation of the
parole date of an inmate serving multiple sentences. Neither the
state nor its officials are considered persons within the
meaning of the statute when an action is brought seeking monetary
damages; there is no right to be released before the expiration
of a valid sentence and plaintiff's parole eligibility was re-
calculated; and, although plaintiff's parole was denied, his case
manager twice recommended him for a custody change hearing once
the mistake was realized and there was no evidence of a willful
and knowing violation of plaintiff's rights.
4. Declaratory Judgments--miscalculation of parole eligibility-
-mootness
An action seeking declaratory or injunction relief by a
prison inmate whose parole eligibility date was miscalculated was
moot where plaintiff had become eligible for parole even under
the miscalculation and a declaratory judgment would in no way
affect his parole eligibility status.
No brief for plaintiff-appellant filed.
Michael F. Easley, Attorney General, by Elizabeth F. Parsons,
Assistant Attorney General, for defendant-appellant State.
George B. Currin, amicus curiae.
THOMAS, Judge.
Defendants appeal from a partial denial of summary judgment
granted in favor of plaintiff, Keith Brent Vest, who had brought an
action requesting both damages and a declaratory judgment regarding
his parole eligibility status. For the reasons stated herein, we
reverse in part and dismiss in part.
The facts are as follows: In March 1990, plaintiff was
convicted of assault with a deadly weapon with intent to kill
inflicting serious injury and assault with a deadly weapon
inflicting serious injury. For these two felonious assault
charges, plaintiff received a consolidated twenty-year sentence.
At the same sentencing hearing, plaintiff also received a
consecutive life sentence for the offense of first-degree burglary.
Plaintiff filed a complaint on 24 May 1999, allegingdefendants incorrectly calculated his parole eligibility.
Defendants were sued in both their individual and official
capacities. The North Carolina Parole Commission (Commission) had
originally calculated that plaintiff was eligible for parole on the
assault charges on 11 February 1991. Because of the consecutive
life sentence, the Commission calculated his parole eligibility
date on the total sentences to be 23 June 2006. In June 1998,
however, prior to this action, it was corrected by the Commission
to 8 February 2001. By error, according to the Commission's
calculations, plaintiff was actually considered for parole and had
a hearing on 11 February 1999. Parole was denied.
Plaintiff contends his eligibility date has not been properly
aggregated, or properly reduced through earned gain time and/or
meritorious gain time. In his complaint, plaintiff claims he is
entitled to compensatory damages in excess of $10,000 due to loss
of wages, loss of benefits, loss of status, loss of reputation and
inconvenience all caused by defendants' discrimination, violation
of due process and cruel and unusual punishment. Plaintiff also
requested a declaratory judgment computing and setting his earliest
parole eligibility date, punitive damages, attorney fees and court
costs.
Defendants answered by claiming sovereign immunity and
alleging they properly calculated the date plaintiff would be
eligible for parole. Plaintiff and defendants all moved for
summary judgment and, on 1 November 1999, the trial judge: 1)dismissed all claims against defendant Easley; 2) dismissed
plaintiff's claims for punitive damages against the remaining
defendants; 3) denied defendants' summary judgment motion as to
state and federal constitutional claims, declaratory judgment
claims and negligence claims; and 4) denied plaintiff's motion for
summary judgment. Defendants appeal the denial of their motion for
summary judgment. Plaintiff assigned error to the dismissals, but
failed to brief them. Accordingly, plaintiff's assignments of
error are not properly before this Court and we do not address
them. N.C.R. App. P. 10(a) (2000).
[1]Before we consider defendants' arguments, we note the
trial court's order would not normally be immediately appealable
because it would be considered interlocutory. State ex rel.
Employment Security Commission v. IATSE Local 574, 114 N.C. App.
662, 663, 442 S.E.2d 339, 340 (1994). A ruling is interlocutory if
it does not determine the issues but directs some further
proceeding preliminary to a final decree. Blackwelder v. Dept. of
Human Resources, 60 N.C. App. 331, 299 S.E.2d 777 (1983).
However, an interlocutory order may be heard in appellate courts if
it affects a substantial right. See N.C. Gen. Stat. § 1-277(a)
(1999). This Court has held that denial of a motion for summary
judgment is immediately appealable if it involves an immunity
defense. Staley v. Lingerfelt, 134 N.C. App. 294, 517 S.E.2d 392,
rev. denied, 351 N.C. 109, 540 S.E.2d 367 (1999). Such a defense
is present in the instant case. [2]By defendants' first assignment of error, they argue the
trial court erred in denying their summary judgment motion because
there were no genuine issues of material fact. More specifically,
defendants argue the following: 1) sovereign immunity protects
defendants in their official capacities against plaintiff's
negligence claims; 2) public official immunity protects defendants
in the claims arising under 42 U.S.C. § 1983; 3) qualified immunity
protects defendants in their individual capacities in claims
arising under 42 U.S.C. § 1983; 4) quasi-judicial immunity protects
defendants Boyd, Baker, Buck, Lowry, Mann and Stamey in their
individual capacities in plaintiff's claims for damages; 5)
plaintiff failed to show malicious conduct; and 6) plaintiff failed
to show injury. We agree.
We note that summary judgment is appropriate if 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) (1999).
Sovereign immunity is a theory or defense established to
protect a sovereign or state as well as its officials and agents
from suit in certain instances. See Herring v. Winston-
Salem\Forsyth County Board of Education, 137 N.C. App. 680, 529
S.E.2d 458, rev. denied, 352 N.C. 673, 545 S.E.2d 423 (2000). The
doctrine applies when the agency or entity is being sued for theperformance of a governmental function. Messick v. Catawba County,
110 N.C. App. 707, 714, 431 S.E.2d 489, 493, disc. review denied,
334 N.C. 621, 435 S.E.2d 336 (1993). It mandates that the state
is immune from suit unless it expressly consents to be sued through
a waiver, evidenced by the purchase of liability insurance or,
unless a statutory waiver of immunity applies. Id. See also
Hargrove v. Billings & Garrett, Inc., 137 N.C. App. 759, 529 S.E.2d
693 (2000); Coastland Corp. v. North Carolina Wildlife Resources
Comm'n, 134 N.C. App. 343, 517 S.E.2d 661 (1999). Sovereign
immunity has several forms, including quasi-judicial and public
official immunity, all deriving from the English feudal theory of
the king can do no wrong. See Epps v. Duke Univ., Inc., 122 N.C.
App. 198, 468 S.E.2d 846, rev. denied, 344 N.C. 436, 476 S.E.2d 115
(1996).
Quasi-judicial immunity is an absolute bar, available for
individuals in actions taken while exercising their judicial
function. Northfield Development Co., Inc. v. City of Burlington,
136 N.C. App. 272, 523 S.E.2d 743 (2000) (citations omitted). In
effect, the rule of judicial immunity extends to those performing
quasi-judicial functions. See Hoke v. Bd. of Medical Examiners of
the State of N.C., 445 F.Supp. 1313, 1314 (W.D.N.C. 1978). Quasi-
judicial 'decisions involve the application of . . . policies to
individual situations rather than the adoption of new policies.'"
Northfield, 136 N.C. App. at 282, 523 S.E.2d at 750. Further, it
has been held that the members of a state parole board performquasi-judicial functions and are immune from suit under section
1983. See Franklin v. Shields, 569 F.2d 784 (4th Cir. 1977), cert.
denied, 435 U.S. 1003, 56 L. Ed. 2d 92 (1978); Pope v. Chew, 521
F.2d 400, 405 (4th Cir. 1975). In the case at bar, six of the
defendants are members or former members of the Commission. We
hold that quasi-judicial immunity extends to them.
Public official immunity, or qualified immunity, on the other
hand, is not an absolute bar, as it has three exceptions. Under
public official immunity, if a public officer lawfully exercises
judgment and discretion, is within the scope of his official
authority, and acts without malice or corruption, he is protected
from liability. Smith v. State, 289 N.C. 303, 331, 222 S.E.2d 412,
430 (1976). However, public officials must be distinguished from
public employees. A public official is one whose position is
created by the N.C. Constitution or the N.C. General Statutes and
exercises some portion of sovereign power and discretion, whereas
public employees perform ministerial duties. Block v. County of
Person, 141 N.C. App. 273, 540 S.E.2d 415 (2000). In the case at
bar, all of the remaining defendants clearly hold discretionary
jobs. The members of the Commission have jobs established by N.C.
Gen. Stat. § 148-57 (1999). N.C. Gen. Stat. § 143B-263 (1999)
establishes a Secretary of the Department of Correction as the head
of the department. We hold defendants are all entitled to public
official immunity.
As to plaintiffs' negligence claims, defendants contendsovereign immunity protects them in their official capacities
against plaintiff's negligence claims. There is no question that
defendants were performing a governmental function. It is well-
established law that with no allegation of waiver in a plaintiff's
complaint, the plaintiff is absolutely barred from suing the state
and its public officials in their official capacities in an action
for negligence. See Messick, 110 N.C. App. at 714, 431 S.E.2d at
493; Meyer v. Walls, 347 N.C. 97, 489 S.E.2d 880 (1997); Epps v.
Duke Univ., Inc., 122 N.C. App. 198, 468 S.E.2d 846 (1996). In the
instant case, plaintiff did not allege a waiver. Plaintiff may
only pierce the defendants' sovereign immunity by showing one of
the three exceptions to public official immunity: 1) the conduct
was malicious; 2) the conduct was corrupt; or 3) the conduct was
outside the scope of official authority. Epps, 122 N.C. App. at
205, 468 S.E.2d at 851-52.
Plaintiff has alleged these immunity exceptions. However,
plaintiff has not shown any evidence that defendants' conduct was
malicious, corrupt or outside the scope of their official
authority. A mere allegation is not sufficient to overcome summary
judgment. See Briley v. Farabow, 348 N.C. 537, 544, 501 S.E.2d
649, 654 (1998); Justus v. Deutsch, 62 N.C. App. 711, 714, 303
S.E.2d 571, 573, rev. denied, 309 N.C. 821, 310 S.E.2d 349 (1983).
Moreover, even sued individually, defendants claim they are still
immune from a claim of mere negligence because plaintiff fails to
show injury. Because we hold defendants are entitled to publicofficial immunity, however, we do not reach this issue.
Consequently, we find summary judgment should have been granted as
to plaintiff's negligence claims and reverse the trial court.
[3]Concerning plaintiff's claims under 42 U.S.C. § 1983,
defendants contend official capacity immunity protects them from a
section 1983 action. Section 1983 authorizes civil actions for the
deprivation of any rights, privileges, or immunities secured by the
U.S. Constitution. 42 U.S.C. § 1983 (2001). However, our Supreme
Court in Corum v. University of North Carolina, held that when an
action under 42 U.S.C. § 1983 is brought seeking monetary damages
against "the State, its agencies, and/or its officials acting in
their official capacities" in state court, neither the state nor
its officials are considered "persons" within the meaning of the
statute. Corum, 330 N.C. 761, 771, 413 S.E.2d 276, 282, reh'g
denied, 331 N.C. 558, 418 S.E.2d 664, cert. denied, 506 U.S. 985,
121 L. Ed. 2d 431 (1992). Because plaintiff sued defendants in
their official capacities, a claim under section 1983 cannot be
made against defendants.
Defendants further contend qualified immunity protects them in
their individual capacities against section 1983 claims.
Governmental officials sued in their individual capacities may be
held liable for money damages under section 1983. Corum, 330 N.C.
at 772, 413 S.E.2d at 283. They may, however, defend by raising
the defense of qualified immunity. Id. Qualified immunity
protects public officials from personal liability for performingofficial, discretionary functions if the conduct does not violate
clearly established statutory or constitutional rights of which a
reasonable person would have known. Moore v. Evans, 124 N.C. App.
35, 48, 476 S.E.2d 415, 425 (quoting Corum v. University of North
Carolina, 330 N.C. 761, 772-73, 413 S.E.2d 276, 284 (1992)). We
note there is no right for a convicted person to be released before
the expiration of a valid sentence. See Goble v. Bounds, 281 N.C.
307, 188 S.E.2d 347 (1972); Greenholtz v. Nebraska Penal Inmates,
442 U.S. 1, 60 L. Ed. 2d 668 (1979). Plaintiff claims defendants
knowingly and wrongfully continued to use paper paroles, which
required an inmate serving multiple sentences to be paroled to the
second sentence before being treated as having begun service of the
second sentence for parole eligibility purposes. Pursuant to
Robbins v. Freeman, 127 N.C. App. 162, 487 S.E.2d 771 (1997), aff'd
per curiam, 347 N.C. 664, 496 S.E.2d 375 (1998), the Commission
discontinued the use of paper paroles. The effect was to aggregate
consecutive sentences imposed at the same sentencing hearing as one
sentence for the purpose of determining parole eligibility. See
N.C. Gen. Stat. § 15A-1354(b) (1999). However, plaintiff alleges
his rights were violated as early as 1993. Yet, Robbins was not
decided until 1997. After Robbins, defendants re-calculated
plaintiff's parole eligibility. Thus, defendants did not violate
any clearly established rights of plaintiff's.
Plaintiff further argues his rights were violated by
defendants' refusing custody promotion due to erroneouscalculation. However, once the mistake regarding plaintiff's
parole hearing was realized, Charnita McNeill, plaintiff's case
manager, immediately recommended plaintiff twice for a custody
change hearing. Although plaintiff's parole was denied, plaintiff
has shown no evidence of defendants' willful and knowing violation
of his rights. Consequently, we find summary judgment should have
been granted as to plaintiff's section 1983 claims.
We thus hold there is no basis for compensatory damages
against defendants. Sovereign immunity, the wording of the
complaint and lack of evidence combine to defeat those claims.
Summary judgment should have been granted in favor of defendants on
all such issues and we therefore reverse the trial court as to the
constitutional and negligence claims. The question remaining is
whether plaintiff has standing to require the court to issue a
declaratory judgment.
[4]By defendants' second assignment of error, they argue
plaintiff is not entitled to injunctive or declaratory relief. We
agree.
A plaintiff is entitled to injunctive relief when there is no
adequate remedy at law and irreparable harm will result if the
injunction is not granted. Asheville Mall, Inc. v. Sam Wyche
Sports World, Inc., 97 N.C. App. 133, 387 S.E.2d 70 (1990). In the
instant case, it appears plaintiff is arguing that his parole
eligibility actually began in 1995 and the life sentence should
have been reduced from twenty years to five years, with good timecutting the twenty years in half and then gain time cutting in half
the remaining ten years. It further appears plaintiff actually has
had one full parole hearing and at least two custody change
hearings, all of which were denied. However, since filing the
suit, plaintiff has become technically eligible for parole even
under the Commission's computation as of February 2001.
Consequently, the imminent query is whether the issue is now moot
as to a declaratory judgment.
"A case is 'moot' when a determination is sought on a matter
which, when rendered, cannot have any practical effect on the
existing controversy." Roberts v. Madison County Realtors Assn.,
344 N.C. 394, 398-99, 474 S.E.2d 783, 787 (1996). A declaratory
judgment issued at the present time by the trial court would not in
any way affect plaintiff's parole eligibility status. We note this
is not a class action. Under the circumstances of this plaintiff,
a ruling for or against a declaratory judgment would not affect
this plaintiff's controversy. Thus, although it may have been
appropriate for the trial court to have ruled upon the declaratory
judgment at the time of the commencement of this action, the issue
is now non-justiciable and, as such, must be dismissed as moot.
See Shella v. Moon, 125 N.C. App. 607, 609, 481 S.E.2d 363, 364
(1997).
In conclusion, we reverse the trial court's denial of
defendants' summary judgment motion and dismiss plaintiff's motion
for declaratory judgment for the reasons stated herein. REVERSED IN PART, DISMISSED IN PART.
Judges MARTIN and BIGGS concur.
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