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42 F.3d 886

Docket No. 93-2238.

Fleming v. Asbill

Fourth Circuit Court of Appeals

Argued Sept. 27, 1994.

Decided Dec. 29, 1994.

Fourth Circuit Court of Appeals · decided 1994-12-29

1 counsel of record

Key passage — most relied on by later courts

“`[a] guardian ad litem must... be able to function without the worry of possible later harassment and intimidation from dissatisfied [parties]. Consequently, a grant of absolute immunity would be appropriate. A failure to grant immunity would hamper the duties of a guardian ad litem in his role as advocate ... in judicial proceedings.'”

quoted by 2 later decisions, including Dalenko v. WAKE COUNTY DEPT. OF HUMAN SERV., William Winchester v. Christy Little

“After participating in the training program of the Guardian ad Litem Program, any person who is appointed to serve as guardian ad litem and serves without compensation is not liable for any civil damages for any personal injury as a result of any act or omission by the person in the discharge of the responsibilities of a guardian ad litem if he acts in good faith and is not guilty of gross negligence.”

quoted by 1 later decision, including Fleming Ex Rel. Fleming v. Asbill

Applies 42 U.S.C. § 1983 (Civil Rights Act of 1871 / Section 1983 (Ku Klux Klan Act))

Relies on Imbler v. Pachtman · Butz v. Economou · Stump v. Sparkman

Good law ✅— No negative treatment on recordhow we know

Opinion by Kenneth Keller Hall · Decided 1994-12-29

How this case has been cited

Cited by 21 later decisions — most recently March 2018

4 federal appellate · 1 district · 8 state decisions

80199420002010decided

Later decisions citing this case, by decade. The current decade is in progress, and our corpus holds fewer opinions from the most recent years, so the latest bars are undercounted — not a real decline.

View the full empirical analysis of this case →

¶1*887ARGUED: Calvin Allison Rouse, North Augusta, SC, for appellant. David Clifford Eckstrom, Nexsen, Pruet, Jacobs & Pollard, Columbia, SC, for appellee Asbill; Robert Charles Brown, Brown & Woods, Columbia, SC, for appellee Duncan. ON BRIEF: Donna M. Seegars, Brown & Woods, Columbia, SC, for appellee Duncan.

¶2Before HALL, MURNAGHAN, and NIEMEYER, Circuit Judges.

¶3Affirmed in part, reversed in part, and remanded by published opinion. Judge HALL wrote the opinion, in which Judge MURNAGHAN and Judge NIEMEYER joined.

¶4OPINION

¶5K.K. HALL, Circuit Judge:

¶6Todd Fleming, through his next friend, his father Kenneth Fleming, appeals an order of the district court dismissing his complaint against his former guardian ad litem and an attorney for his maternal grandparents in a prior child custody battle.

¶7I.

¶8Because the appealed orders are Fed. R.Civ.P. 12 dismissals, our recitation of facts will assume as true the allegations of the complaint.

¶9Todd Fleming (“Todd”) was born July 20, 1979. His mother died when he was eight months old. Todd lived with his father, Kenneth Fleming (“Fleming”) from his mother’s death until the events that triggered this lawsuit.

¶10In 1986, Todd’s grandparents, Brenton and Mattie Hall, filed a petition seeking custody in Lexington County, South Carolina, Family Court. The Halls were represented by attorney John Earl Duncan. Under state rules of procedure, the court appointed Mary Ann Asbill, an attorney, as guardian ad litem for Todd.1 She served in that capacity from July, 1986, until December 7, 1989.

¶11Fleming appeared at a family court hearing on October 30, 1986, at which an oral order was made reaffirming his right to custody. Soon thereafter, he took his son to Nevada, where he had found a job. In just a *888few months, though, he was able to find work in Augusta, Georgia, and he moved back east.

¶12Meanwhile, the Halls, represented by Duncan, had obtained an ex parte order awarding them custody of Todd. Asbill participated in the proceeding. Fleming had no knowledge of this proceeding or order, although Duncan, Asbill, and the Halls knew where he and Todd were.

¶13On February 29, 1988, Asbill filed an ex parte affidavit in the family court, requesting a “pick-up” order that would allow authorities to seize Todd and deliver him to the Halls. The order was issued. No notice was provided to Fleming, though again Asbill knew where he was (else no “pick-up” would have been possible).

¶14The “pick-up” occurred immediately. A South Carolina law enforcement agent went to Westmont Elementary School in Martinez, Georgia, seized eight-year-old Todd, and took him to the Halls in South Carolina. The seizure occurred without so much as a phone call to Fleming.

¶15Todd quickly became distraught. After two days of pleading, he prevailed upon the Halls to take him back to his father, which they did on March 2, 1988.

¶16Fleming’s victory in this first skirmish was short-lived. On April 11, 1988, the Halls personally went to Todd’s elementary school and absconded with him, without notice to Fleming or even to school authorities. After a frantic search for his missing son, Fleming discovered what had happened. Todd would remain in the custody of the Halls for two and one-half years. During one span of eight months, Fleming was permitted no contact with his son at all.

¶17On June 6, 1988, based on what Fleming asserts were Duncan and Asbill’s knowingly contrived allegations of his instability and misconduct, the court awarded the Halls permanent custody. Fleming appealed, and the case was remanded for reconsideration.

¶18Fleming’s case on remand was strengthened by evidence of Todd’s sufferings while in the Halls’ care. A cousin who lived nearby, Brenton Lee Hall, abused Todd physically and sexually. Though Fleming, Todd, and Fleming’s sister Janice Arnold made, between them, no fewer than eight visits and fifteen telephone calls to the Lexington County Department of Social Services to report this abuse, no investigation resulted. Fleming alleges that Asbill intervened at the Department to head off any inquiry.

¶19In August, 1990, the Halls agreed to return Todd to Fleming, and his custody was restored by stipulation. By this time, Fleming had spent over $10,000 on legal fees. He had lost his house, his land, a car, a job, and his life savings. During the battle, he was publicly accused of kidnapping and child abuse, and was threatened with criminal prosecution.

¶20On May 14, 1992, Fleming, for himself and as next Mend of Todd, filed this suit in district court against Asbill, Duncan, the Department of Social Services, the Halls, and Brenton Lee Hall. The claims against Asbill and Duncan are the only ones relevant here. He alleged claims against them for gross negligence, professional malpractice, and deprivation of civil rights under 42 U.S.C. § 1983. In addition, Asbill was charged with breaching her fiduciary duty to her ward. In support of these claims, Fleming asserted that Duncan and Asbill conspired with the Halls and intentionally misrepresented facts to the family court.

¶21Duncan and Asbill moved to dismiss. In separate orders, the district court granted the motions. It held that Asbill was entitled to quasi-judicial immunity as to all claims, and that Duncan, as the Halls’ attorney, owed no duty to Fleming or his son. Moreover, the court ruled that Duncan was not a state actor amenable to suit under § 1983. The claims against the other defendants were dismissed in separate orders.2

¶22Todd appeals.3

¶23*889II.

¶24A.

¶25We begin with the claims against guardian ad litem Asbill. The district court held that Asbill was entitled to quasi-judicial immunity on all claims. A line of Supreme Court cases holds that judges, prosecutors, witnesses, and other actors in the judicial process are immune from § 1983 or Bivens liability for misfeasance of their duties. See Briscoe v. LaHue, 460 U.S. 325, 345-46, 103 S.Ct. 1108, 1121, 75 L.Ed.2d 96 (1983) (witnesses); Butz v. Economou, 438 U.S. 478, 98 S.Ct. 2894, 57 L.Ed.2d 895 (1978) (administrative law judges); Stump v. Sparkman, 435 U.S. 349, 98 S.Ct. 1099, 55 L.Ed.2d 331 (1978) (state judge); Imbler v. Pachtman, 424 U.S. 409, 96 S.Ct. 984, 47 L.Ed.2d 128 (1976) (prosecuting attorney).

¶26There are sound policy reasons to afford immunity to guardians ad litem in custody cases:

A guardian ad litem must ... be able to function without the worry of possible later harassment and intimidation from dissatisfied parents. Consequently, a grant of absolute immunity would be appropriate. A failure to grant immunity would hamper the duties of a guardian ad litem in his role as advocate for the child in judicial proceedings.

¶27Kurzawa v. Mueller, 732 F.2d 1456, 1458 (6th Cir.1984). Cf. Gardner v. Parson, 874 F.2d 131, 145 (3rd Cir.1989) (Kurzawa’s absolute immunity is too sweeping an interpretation of Briscoe; immunity should be available only while the guardian is playing a judicial role).

¶28We need not decide whether Kurzawa or Gardner states the better test, because As-bill is immune from Todd’s § 1983 claim under either. All of the actions complained of occurred within the judicial process; in short, Asbill lied about X to procure order Y. Even if Asbill lied to the judge in open court, she was still acting as the guardian, and is immune from § 1983 liability.4

¶29B.

¶30Todd’s common-law claims against Asbill present more difficulty. The district court cited a South Carolina case that says, “A guardian ad litem is a representative of the court appointed to assist it in protecting the interests of an incompetent person.” Shainwald v. Shainwald, 302 S.C. 453, 395 S.E.2d 441 (Ct.App.1990). The court then simply applied the same Briscoe analysis and reached the same conclusion.

¶31South Carolina common law is to the contrary. A long string of cases makes it clear that a guardian ad litem is liable to his ward for negligent performance of his duties.

“If in consequence of the culpable omission or neglect of the guardian ad litem the interests of the infant are sacrificed, the guardian may be punished for his neglect as well as made to respond to the infant for the damage sustained.”

¶32Simpson v. Doggett, 159 S.C. 294, 156 S.E. 771, 773 (1930) (quoting 31 Corpus Juris 1141); McIver v. Thompson, 117 S.C. 175, 108 S.E. 411, 416 (1921); Cagle v. Schaefer, 115 S.C. 35, 104 S.E. 321, 322 (1920). These three cases have continued to be cited with approval over the years. E.g, Cumbie v. Cumbie, 245 S.C. 107, 139 S.E.2d 477, 480 (1964) (criticizing guardian ad litem’s performance and reminding him of his “duties, liabilities and responsibilities”); Clarendon Holding Co. v. Witherspoon, 258 S.C. 296, 188 S.E.2d 480, 483 (1972) (quoting Simpson *890at length and describing the guardian/ward relationship as “fiduciary”)-5

¶33Asbill says that none of these cases involved a custody dispute, and that is true enough, but there is no indication in any of them that the rule is subject to exceptions. In fact, in 1988, when the South Carolina legislature created a system of lay guardians ad litem to serve without compensation in child abuse and neglect cases, it granted the volunteers immunity only for simple negligence:

After participating in the training program of the Guardian ad Litem Program, any person who is appointed to serve as guardian ad litem and serves without compensation is not liable for any civil damages for any personal injury as a result of any act or omission by the person in the discharge of the responsibilities of a guardian ad litem if he acts in good faith and is not guilty of gross negligence.

¶34S.C.Code Ann. § 20-7-127. Fleming argues that if a lay volunteer can be liable for gross negligence, then surely a paid professional like Asbill ought to be. This argument is logical and persuasive. If guardians ad litem were already afforded absolute quasi-judicial immunity in South Carolina, the limitation of liability in § 20-7-127 would have been a vain act.6

¶35We conclude, then, that South Carolina yet adheres to the Simpson-Mclver-Cagle line of cases, and a paid guardian ad litem must answer to his ward if his negligent acts cause the ward damage. We therefore reverse the dismissal of Todd’s common-law claims against Asbill.

¶36III.

¶37A.

¶38The Flemings’ scattershot common-law claims against Duncan basically amount to a claim of malicious prosecution.7 Though South Carolina recognizes this tort where the prior “prosecution” was a civil suit, the proper defendant is the party that brought the prior suit, i.e. the Halls. The lawyer for that party is ordinarily not liable. Gaar v. North Myrtle Beach Realty Co., 287 S.C. 525, 339 S.E.2d 887, 889-90 (Ct.App.1986). So long as an attorney acts in his client’s interests, and not for personal or malicious reasons, he is immune from suit to an opposing party.

¶39There is nothing in the complaint from which one could conclude that Duncan did anything with a personal or malicious motive to cause harm to Todd. He may well have zealously pursued the malicious aims of the Halls, but that is not enough to satisfy Gaar.

¶40B.

¶41Duncan is also plainly not liable under § 1983. Private lawyers do not act “under color of state law” merely by making use of the state’s court system. See Dennis v. Sparks, 449 U.S. 24, 28, 101 S.Ct. 183, 186, 66 L.Ed.2d 185 (1980).

¶42IV.

¶43We are mindful that today we have applied a rule of state law that is contrary to the trend in other jurisdictions and of debatable wisdom, especially in the charged circumstances of a child custody battle. On the other hand, it is our duty in a diversity case to apply state law as we find it. South Carolina ease law, hoary though most of it is, plainly and unequivocally states that a guardian ad litem is liable for damages he negligently causes his ward. Only six years ago, South Carolina’s legislature passed a statute *891that implicitly recognizes the vitality of this longstanding rule.

¶44The dismissal of Todd’s common-law claims against Asbill is reversed, and the ease is remanded for further proceedings. In all other respects, the judgments of the district court are affirmed.

¶45AFFIRMED IN PART, REVERSED IN PART, AND REMANDED.

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