Cain v. Darby Borough

7 F.3d 377, 1993 WL 410028
Court of Appeals for the Third Circuit·Decided October 18, 1993·No. No. 91-1897·Published·Cited by 35 cases

Opinions

OPINION OF THE COURT

NYGAARD, Circuit Judge.

The police arrested Diane Cain and charged her with several violations of the Pennsylvania Criminal Code of Crimes and Offenses resulting from her disorderly and assaultive behavior. Before trial, she petitioned to be placed in a program known as Accelerated Rehabilitative Disposition. Under the ARD program, a prosecutor can move the court to place a defendant on probation without trial. If ARD is approved by the court and the defendant satisfactorily completes the probationary period, his or her charges are dismissed. Under a policy of the Delaware County District Attorney’s Office, however, if the police may face civil liability, the District Attorney will not approve ARD unless the petitioner first executes a release-dismissal agreement. Cain, in compliance, executed such an agreement and released all civil rights claims against the police officers who arrested her. Nevertheless, she later sued three municipalities in Delaware County, Pennsylvania, their respective police departments, and a number of individual police officers under 42 U.S.C. § 1983. The gravamen of her complaint was that the police officers used excessive force to arrest her.

The defendants all moved for summary judgment, contending that the release-dismissal agreement provided them an absolute defense. The district court granted the defendants’ summary judgment motion and dismissed the complaint. It opined that the release was a complete bar to Cain’s action because she had signed the release voluntarily and the release was not adverse to the public interest. The court found no genuine issues of material fact and decided these points as a matter of law. Charles Cain, executor of Diane Cain’s estate, appealed and a panel of this Court reversed the summary judgment and remanded the cause for further proceedings.1 On consideration of a petition for rehearing filed by the defendants, the full Court then voted to vacate the panel opinion and rehear the case in banc.

The issue before us is whether the release-dismissal agreement that Diane Cain signed was valid and enforceable. The district court had subject matter jurisdiction pursuant to 28 U.S.C. § 1331. We have appellate jurisdiction pursuant to 28 U.S.C. § 1291. Our review is plenary. Public Interest Research Group, Inc. v. Powell Duffryn Terminals, Inc., 913 F.2d 64 (3d Cir.1990), cert. denied, 498 U.S. 1109, 111 S.Ct. 1018, 112 L.Ed.2d 1100 (1991). Because we find that the agreement is unenforceable as a matter of law, we will reverse and remand the cause for the district court to decide the merits of Cain’s claims.

I.

The leading case in the law of release-dismissal agreements is Town of Newton v. Rumery, 480 U.S. 386, 107 S.Ct. 1187, 94 L.Ed.2d 405 (1987). Bernard Rumery was charged with witness tampering for threatening harm to the complaining witness in a sexual assault case if she testified against Rumery’s friend. Rumery’s attorney threatened a civil suit for false arrest against the town unless the state dropped the charges. After negotiating with the state prosecutor, Rumery’s attorney drafted a release-dismissal agreement by which Rumery released his claims against the town and the state prosecutor dismissed the charges against Rumery.

[380] Rumery discussed the agreement with his attorney for an hour and considered it for three days before he signed it. The witness tampering charges were dropped, but Rum-ery sued the town of Newton anyway under 42 U.S.C. § 1983. The town moved for summary judgment arguing that Rumery’s suit was barred by the release agreement. The district court granted the motion, but on appeal, the Court of Appeals for the First Circuit held that the release was unenforceable because these agreements were per se against public policy.

The Supreme Court reversed, holding that release-dismissal agreements are not per se unenforceable. Rumery, 480 U.S. at 394,107 S.Ct. at 1193. It refused to treat section 1983 differently than any other constitutional or statutory right and concluded that the validity of these agreements is best resolved by reference to traditional common law principles. Id. at 391, 107 S.Ct. at 1191 (citing Pulliam v. Allen, 466 U.S. 622, 104 S.Ct. 1970, 80 L.Ed.2d 566 (1984)). Justice Powell, writing for a majority of five, adopted a case-by-case approach, reasoning that an agreement would be unenforceable “if the interest in its enforcement is outweighed in the circumstances by a public policy harmed by enforcement of the agreement.” Id. 480 U.S. at 392, 107 S.Ct. at 1191.

The central tension the Rumery Court harmonized was between the need, on the one hand, to curb the temptation to “trump up charges in reaction to a defendant’s civil rights claim, suppress evidence of police misconduct, and leave unremedied deprivations of constitutional rights,” while on the other hand, to enforce one’s “considered decision that he would benefit personally from the agreement” giving up his individual right to sue. Id. at 394-95, 107 S.Ct. at 1193 (internal quotation marks omitted). The Court resolved this tension by requiring that release-dismissal agreements be executed voluntarily, free from prosecutorial misconduct and not offensive to the relevant public interest. Id. at 398, 107 S.Ct. at 1195. Under this analysis, the concept of prosecutorial misconduct is embedded in a larger inquiry into whether enforcing the release would advance the public interest. In sum, the majority approved the concept if a defendant seeking to enforce a release-dismissal agreement can prove that the agreement was voluntarily executed and not adverse to the public interest.

With respect to the relevant public interests, Justice Powell, writing only for a plurality of four,2 identified two public interests that could justify a release-dismissal agreement: the interest in protecting officials irom the burdens of defending “marginal” or “frivolous” section 1983 claims and the interest in expeditiously resolving minor criminal charges while allocating the scarce resources of the criminal justice system to the prosecution of more serious charges. Id. at 395-96, 107 S.Ct. at 1193.

II.

A.

Hence, this appeal presents two primary questions: whether Diane Cain’s release agreement was voluntary, and if so, whether it meets the public interest test enunciated in Rumery. We need not decide the first issue because we will simply assume that Cain voluntarily executed the release. Before we consider Rumery’s public interest requirement, however, we must determine whether simply showing that the agreement was voluntary is sufficient to validate it. The Rumery majority specifically left that question open. See id. at 398 n. 10, 107 S.Ct. at 1195 n. 10.

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Cain v. Darby Borough, 7 F.3d 377, 1993 WL 410028 (3d Cir. 1993).

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