Smith v. County of Lenawee

RECOMMENDED FOR FULL-TEXT PUBLICATION

Pursuant to Sixth Circuit Rule 206

File Name: 10a0104p.06

UNITED STATES COURT OF APPEALS

FOR THE SIXTH CIRCUIT

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SUETTA SMITH, as Personal Representative of X

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Plaintiff-Appellee, --

the Estate of Brenda Sue Smith, Deceased,

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No. 09-1703

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v.

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RICHARDSON, JR., Sheriff; PAUL DYE, Sgt.; J. --

COUNTY OF LENAWEE; LAWRENCE

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BERNICE BAKER; ADAM ONDROVICK, Officer; -

CRAIG, Sgt.; WENDY VANDERPOOL, Officer;

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JEFFREY STICKNEY, D.O.,

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Defendants, -

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and

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THOMAS MOORE, Parole Agent, -

Defendant-Appellant. N

Appeal from the United States District Court

for the Eastern District of Michigan at Detroit.

No. 09-10648—David M. Lawson, District Judge.

Argued: March 2, 2010

Decided and Filed: April 13, 2010

Before: MARTIN, ROGERS, and McKEAGUE, Circuit Judges.

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COUNSEL

ARGUED: Kevin R. Himebaugh, OFFICE OF THE MICHIGAN ATTORNEY

GENERAL, Lansing, Michigan, for Appellant. Kenneth David Finegood, KENNETH D.

FINEGOOD, P.L.C., Southfield, Michigan, for Appellee. ON BRIEF: Kevin R.

Himebaugh, OFFICE OF THE MICHIGAN ATTORNEY GENERAL, Lansing, Michigan,

for Appellant. Kenneth David Finegood, KENNETH D. FINEGOOD, P.L.C., Southfield,

Michigan, for Appellee.

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No. 09-1703 Smith v. County of Lenawee, et al. Page 2

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OPINION

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McKEAGUE, Circuit Judge. This appeal comes to us as part of a larger lawsuit filed

against Lenawee County, Michigan and various agents of the Lenawee County Sheriff’s

Department and Michigan Department of Corrections. The Estate of Brenda Smith, through

personal representative Suetta Smith, filed suit after Brenda Smith died while in the custody

of the Lenawee County Sheriff’s Department. The sole issue pending before this panel is

whether defendant Thomas Moore, Parole Agent for the Michigan Department of

Corrections, is entitled to governmental immunity on the state-law gross negligence claim.

Because Moore’s actions were not the proximate cause of Brenda Smith’s death, he is

entitled to governmental immunity. We therefore REVERSE the order of the district court

denying Moore’s motion for summary judgment on the gross negligence claim.

I. Background

The facts surrounding Brenda Smith’s (“Smith”) death reveal that a senseless tragedy

occurred at the Lenawee County jail. Smith was booked at the jail on a parole detainer on

the evening of April 27, 2007. Soon after booking, she began displaying signs of delirium

tremens (“DT”), which is a life-threatening condition caused by acute alcohol withdrawal.

Her symptoms included paranoid behavior, hearing nonexistent noises, and talking with

relatives who were not present. Jail officials recognized Smith’s symptoms as being

attributable to DT and implemented precautions for her protection. Specifically, officials

moved Smith to an observation cell on the night of April 28. After her condition worsened

throughout the night, officers contacted Dr. Jeffrey Stickney, an on-call physician for the jail.

Dr. Stickney advised jail officers to keep Smith safe and to monitor her, but he did not

recommend any further treatment because he believed Smith’s medications provided

adequate treatment for her condition.

Smith’s condition deteriorated further throughout the night of April 29. The Death

Investigation Report describes Smith’s behavior as being “more physical, beating on the

door, screaming, [and] hitting the walls.” Jail officers moved Smith to a padded cell for her

protection. By the next morning, officers noted that Smith had become more settled. Yet

No. 09-1703 Smith v. County of Lenawee, et al. Page 3

the officers also recorded that Smith continued to fall around her cell, crawl, and reach for

objects on the wall. Parole Agent Thomas Moore arrived at the jail at approximately 9:18

that morning to serve Smith a Notice of Parole Violation Charges in preparation to transport

her out of the Lenawee County jail to Washtenaw County. Moore was employed by the

Michigan Department of Corrections, not the Lenawee County Sheriff’s Department, and he

was at the jail for the sole purpose of serving Smith. When Moore arrived, he was notified

by jail officials that Smith was incoherent and unaware of her identity. Moore then observed

Smith in the padded observation cell for a period of minutes. Moore noted that Smith was

moaning loudly with her face down on the bench. After deciding that Smith was unable to

be transported or served, Moore left the jail without taking further action.

The jail’s video recording shows that Brenda Smith’s last movements occurred at

9:19 a.m., which coincided with the time that Moore stated he had observed her. Jail

officials did not check Smith again until 9:50 a.m., at which time an official summoned for

help because Smith was unresponsive. Paramedics arrived within moments and transported

Smith to an area hospital. She died within a short time after arriving at the hospital.

Suetta Smith (“Plaintiff”), Brenda Smith’s sister and personal representative of the

Estate, filed suit against Lenawee County, a number of Sergeants and Officers with the

Lenawee County Sheriff’s Department, on-call physician Dr. Stickney, and Parole Agent

Thomas Moore. The suit contained a federal claim, brought under 42 U.S.C. § 1983 for

violation of Smith’s Eighth and Fourteenth Amendment rights, and a state claim, brought

under Michigan law for gross negligence. In lieu of an answer, Moore filed a motion for

summary judgment under Federal Rule of Civil Procedure 56(b), claiming that he was

entitled to qualified immunity as to the federal claim and governmental immunity as to the

state claim. In response to Moore’s motion, Plaintiff argued that summary judgment was

inappropriate because discovery had not yet commenced and because Moore was the last

person to observe Smith alive. Plaintiff’s attorney filed a Rule 56(f) affidavit to support the

claim that additional discovery was needed. After a hearing on Moore’s motion, the district

court ruled from the bench, granting Moore qualified immunity on the federal § 1983 claim

No. 09-1703 Smith v. County of Lenawee, et al. Page 4

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but denying governmental immunity on the state gross negligence claim. The court

determined that Plaintiff’s Rule 56(f) affidavit was too vague to justify more discovery

on the federal claim. Moore brings this appeal, challenging the denial of governmental

immunity.

II. Jurisdiction

The district court possessed subject matter jurisdiction over Smith’s federal

claims pursuant to 28 U.S.C. § 1331. It had supplemental jurisdiction over the gross

negligence claim, brought under Michigan law, pursuant to 28 U.S.C. §1367(a) because

the gross negligence claim formed part of the same “case or controversy” as the § 1983

claim. We have appellate jurisdiction over final orders of the district court pursuant to

28 U.S.C. § 1291. Plaintiff argues that we lack jurisdiction over the district court’s

denial of governmental immunity on the gross negligence claim because the denial of

governmental immunity under Michigan Compiled Laws (“M.C.L.”) § 691.1407 does

not constitute a “final order.”

Prior to the 2002 Amendments to the Michigan Court Rules, this court held in

Walton that a denial of governmental immunity under M.C.L. § 691.1407 was not a final

appealable order. See Walton v. City of Southfield, 995 F.2d 1331, 1344 (6th Cir. 1993)

(noting that denial of governmental immunity was not an appealable order under

Michigan law because governmental immunity provided immunity from liability, not

immunity from suit). Michigan Court Rule 7.202 was subsequently amended to include

an “order denying governmental immunity” as a final order for the purposes of appellate

review. M.C.R. 7.202(6)(a)(v). In light of this 2002 amendment, we revisited Walton’s

holding in Livermore ex rel. Rohm v. Lubelan, 476 F.3d 397, 408 (6th Cir. 2007), and

1

While we recognize that the only issue pending before this court is the denial of state

governmental immunity, we think it prudent to comment on the district court’s statement that it would

“permit the plaintiff, at the appropriate time when sufficient discovery is conducted, to move under Rule

60(b) for relief” from judgment on the grant of qualified immunity. Our case law unequivocally states that

qualified immunity provides immunity from suit, not just immunity from liability. See, e.g., Jefferson v.

Lewis, 594 F.3d 454, 459 (6th Cir. 2010). To the extent that the district court still considers Moore a party

to discovery on Plaintiff’s section 1983 claim (as opposed to merely a third-party witness) or would allow

Plaintiff to revive her section 1983 claim against Moore via a Rule 60(b) motion, the district court clearly

misunderstands the mandates of qualified immunity.

No. 09-1703 Smith v. County of Lenawee, et al. Page 5

determined that an order granting or denying governmental immunity under M.C.L.

§ 691.1407 now constitutes a final order for the purposes of federal appellate review.

Since the amendment, this court has consistently followed Livermore and has allowed

interlocutory appeals to be taken from orders granting or denying governmental

immunity under M.C.L. § 691.1407. See, e.g., Floyd v. City of Detroit, 518 F.3d 398,

409 (6th Cir. 2008); Marvin v. City of Taylor, 509 F.3d 234, 251 (6th Cir. 2007).

Plaintiff acknowledges Livermore and its progeny, yet she nonetheless argues that

Livermore was incorrectly decided and requests that we overrule that case to the extent

that it allows appeals to be taken from orders granting or denying governmental

immunity. Because the case at bar clearly falls within the bounds of our binding

precedent, we are not at liberty to revisit Livermore as Plaintiff requests.

The district court, however, determined that the case at bar is distinguishable

from our above-listed precedents because those cases all involved appeals on federal and

state claims, while this appeal involves the state claim only. According to the district

court, our precedent in Walton dictates the outcome of this case, which means that this

court does not have jurisdiction to review Moore’s appeal.2 Order of Nov. 3, 2009, at

6. We do not agree with the district court that this case differs substantively from our

binding precedent in Livermore and its progeny. While Livermore involved both a

federal qualified immunity claim and a state governmental immunity claim, nothing in

its analysis limits the holding to cases where an appeal from the denial of governmental

immunity is coupled with an appeal from a denial of qualified immunity. Indeed, the

Livermore court analyzed whether it had jurisdiction over the denial of governmental

immunity under Michigan law separate and independent from its analysis on whether it

had jurisdiction over the denial of qualified immunity. 476 F.3d at 407–08. Livermore’s

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The district court’s Order of November 3, 2009 denied Moore’s request to stay proceedings in

that court pending this appeal. The court reasoned that Moore’s appeal had little likelihood of success on

the merits because this court likely lacked jurisdiction to hear the appeal.

No. 09-1703 Smith v. County of Lenawee, et al. Page 6

holding is therefore binding, which means we have appellate jurisdiction over Moore’s

appeal pursuant to 28 U.S.C. § 1291. Id.3

III. Analysis

We review a district court’s denial of governmental immunity on a motion for

summary judgment de novo. Dominguez v. Corr. Med. Servs., 555 F.3d 543, 549 (6th

Cir. 2009). Summary judgment is appropriate where “the pleadings, the discovery and

disclosure materials on file, and any affidavits show that there is no genuine issue as to

any material fact and that the movant is entitled to judgment as a matter of law.” Id.

(quoting Fed. R. Civ. P. 56(c)). In reviewing the district court’s decision, we view all

facts in a light most favorable to the non-moving party and draw inferences in favor of

the non-movant. Id. We apply Michigan governmental immunity law and federal

procedural law to the issue. Biegas v. Quickway Carriers, Inc., 573 F.3d 365, 374 (6th

Cir. 2009).

Under Michigan law, government employees are generally immune from tort

liability for injury to a person if the employee’s “conduct does not amount to gross

negligence that is the proximate cause of the injury or damage.” Mich. Comp. Laws

Ann. § 691.1407(2)(c) (West 2009). The statute defines gross negligence as “conduct so

reckless as to demonstrate a substantial lack of concern for whether an injury results.”

Id. at § 691.1407(7)(a). Statutory grants of governmental immunity should be broadly

construed, with exceptions construed narrowly. Hinojosa v. Dep’t of Natural Res., 688

N.W.2d 550, 554 (Mich. Ct. App. 2004). On appeal, Moore does not challenge whether

he acted with gross negligence; rather, he argues that he is entitled to governmental

immunity because his conduct was not the proximate cause of Smith’s death.

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Moore also argues that the district court improperly exercised supplemental jurisdiction over the

gross negligence claim after dismissing the federal claim. He asks this court to “reverse the district court’s

decision to exercise supplemental jurisdiction.” Because Moore did not raise this issue in the district court,

it is not properly before us, and we decline to review it. See United States v. Nintey-Three Firearms, 330

F.3d 414, 424 (6th Cir. 2003) (noting that an argument raised for the first time on appeal will not be

considered unless a plain miscarriage of justice will result). The issue is also not within the limited scope

of our jurisdiction over this interlocutory appeal.

No. 09-1703 Smith v. County of Lenawee, et al. Page 7

The Michigan Supreme Court has stated that, for the purposes of Michigan’s

governmental immunity statute, proximate cause means “the one most immediate,

efficient, and direct cause preceding an injury.” Robinson v. City of Detroit, 613 N.W.2d

307, 317 (Mich. 2000). In using this narrow definition, the court noted that the Michigan

Legislature intentionally used the phrase “the proximate cause” in the statute, rather than

“a proximate cause.” Id. The Robinson court overruled prior Michigan court precedent

to the extent that the prior decisions interpreted “the proximate cause” to mean anything

other than the sole proximate cause. Id. at 318. The court went on to hold that police

officers were entitled to governmental immunity in a case where a passenger in a vehicle

was killed after the vehicle’s driver led police on a high-speed chase. Id. at 313, 319.

According to the Robinson court, no reasonable jury could find that the officers’ pursuit

of the fleeing vehicle was the “one most immediate, efficient, and direct cause of the

plaintiffs’ injuries” because the actions of the driver who led police on the chase were

the most immediate cause of the injuries. Id. at 319.

In an unpublished decision, a Michigan appellate court determined that an

investigating officer’s failure to give an inmate his blood pressure medication was not

the proximate cause of the inmate’s subsequent death. Hartzell v. City of Warren, No.

252458, 2005 WL 1106360 at *16 (Mich. Ct. App. May 10, 2005). The evidence in

Hartzell indicated that the defendant-officer was not the officer responsible for booking

the decedent nor was he the detention officer responsible for the decedent during

confinement. Id. at *15. While the evidence indicated that the officer’s conduct could

have been a cause of the decedent’s death, the officer’s conduct was not the one most

immediate cause of death because other evidence showed that substandard medical care

on the part of the jail’s nurse and physician was the most immediate cause of the death.

Id. at *16.

On the other hand, this court has determined that a nurse was not entitled to

summary judgment on the issue of governmental immunity under Michigan’s immunity

statute where the nurse provided inadequate treatment to an inmate suffering from heat

exhaustion. Dominguez, 555 F.3d at 546–48, 552–53. The inmate in Dominguez had

No. 09-1703 Smith v. County of Lenawee, et al. Page 8

participated in an outdoor weight-training session prior to becoming ill, and his untreated

condition ultimately led to quadriplegia and impaired communication abilities. Id. at

548. In denying the nurse’s motion for summary judgment, this court reasoned that a

reasonable jury could conclude that the nurse’s actions were the proximate cause of the

inmate’s injuries because the inmate’s condition continued to deteriorate after the

exercise session and the inmate repeatedly sought care from the nurse. Id. at 553.

Based on the above case law, we are convinced that Moore’s conduct in this case

comes closer to those cases where the defendant’s actions were not the proximate cause

of the injury. While the details of Smith’s death are tragic, the facts indicate that Smith

was in the custody of Lenawee County jail officials in the hours leading up to her death.

The facts also indicate that Moore was a Parole Agent for the Michigan Department of

Corrections, not an employee or agent of the Lenawee County Sheriff’s Department.

Further, the facts show that Smith had been experiencing DT symptoms for close to

forty-eight hours prior to Moore’s arrival at the jail, that a physician had been notified

of Smith’s condition, that jail officials were told to monitor Smith, and that Moore was

present at the jail for a matter of minutes only. In addition, Plaintiff’s own brief

acknowledges that Lenawee County jail officials failed to check Smith until forty

minutes after Moore left the jail, though they had previously recorded her movements

every ten to fifteen minutes. Applying these facts to Michigan’s narrow definition of

proximate cause for the purposes of governmental immunity, we cannot say that a

genuine issue of material fact exists as to whether Moore’s failure to intercede was the

proximate cause of Smith’s death, as opposed to merely a proximate cause.

And the facts in Dominguez, where we found an issue of fact on causation, are

distinguishable from this case. Unlike in that case, Smith was not in Moore’s custody

and Moore was not responsible for her care at the time of her death. Thus, that case does

not control the outcome here. Further, while the Michigan appellate court’s reasoning

in Hartzell provides persuasive authority only, we find its factual similarities instructive.

As in that case, other actors had more direct control over Smith’s care and well being

than Moore did in this case. We find persuasive that court’s holding that the actions of

No. 09-1703 Smith v. County of Lenawee, et al. Page 9

the investigating officer were not the proximate cause of the inmate’s death because

other actors’ breach of the standard of care was the one most immediate cause of death.

See Hartzell, 2005 WL 1106360 at *16.

Plaintiff cites two cases which she claims support her argument that a genuine

issue of fact exists as to whether Moore’s actions were the proximate cause of Smith’s

death. In the first case, Thompson v. Rochester Cmty. Schs., No. 269738, 2006 WL

3040137 (Mich. Ct. App. Oct. 26, 2006), a Michigan appellate court denied

governmental immunity to a group of school employees in a case where a student

collapsed in the school cafeteria and ultimately died. None of the school officials in that

case attempted to resuscitate the student after she collapsed. Id. at *1. However, the

facts in Thompson are distinguishable from the case at bar because unlike the defendants

in Thompson, Moore is not an employee of the Lenawee County Sheriff’s Department

and he was not responsible for Smith’s care at the time of her death. Plaintiff also cites

Philpott v. City of Portgage, No. 4:05-CV-70, 2006 WL 2385316 (W.D. Mich. Aug. 17,

2006), to support her position. In that case, the district court denied governmental

immunity to a police officer where the plaintiff claimed that tight handcuffs had caused

nerve injury. Id. at *7. The court determined that even though the officer did not

personally handcuff the plaintiff, he could have adjusted the cuffs after hearing the

plaintiff complain about the tightness. Id. The facts in Philpott are again distinguishable

from the case at bar because unlike the officer in that case, Moore was not directly

involved in Smith’s care at the time of her death. In short, neither of these cases

persuades us that a reasonable jury could find that Moore’s actions were the proximate

cause of Smith’s death. Based on Moore’s limited role, his conduct does not constitute

“the one most immediate, efficient, and direct cause preceding [the] injury.” Robinson,

613 N.W.2d at 317. He is therefore entitled to governmental immunity under M.C.L.

§ 691.1407.

No. 09-1703 Smith v. County of Lenawee, et al. Page 10

IV. Conclusion

For the foregoing reasons, we REVERSE the district court’s denial of

governmental immunity and REMAND with instructions for the district court to enter

summary judgment in favor of Moore.