USCA1 Opinion

UNITED STATES COURT OF APPEALS

UNITED STATES COURT OF APPEALS
FOR THE FIRST CIRCUIT
FOR THE FIRST CIRCUIT
____________________

No. 94-2281

HECTOR GUZMAN-RIVERA, ET AL.,

Plaintiffs, Appellees,

v.

HECTOR RIVERA-CRUZ, ET AL.,

Defendants, Appellants.

____________________

APPEAL FROM THE UNITED STATES DISTRICT COURT

FOR THE DISTRICT OF PUERTO RICO

[Hon. Gilberto Gierbolini, Senior U.S. District Judge]

__________________________

____________________

Before

Boudin, Circuit Judge,

_____________
Bownes, Senior Circuit Judge,
____________________
and Stahl, Circuit Judge.
_____________

____________________

Jose R. Gaztambide, with

___________________

whom Luis A. Plaza

______________

and Elisa Bobo

___________

Lang were on brief for appellants.

____
Victoria A. Ferrer, with whom Alvaro R. Calderon, Jr. and
__________________
________________________
R. Calderon, Jr. Law Offices were on brief for appellees.
____________________________

Alv
___

____________________

May 31, 1995

____________________

BOWNES, Senior Circuit Judge.

BOWNES, Senior Circuit Judge.
_____________________

This

is the second

time that this civil rights action has been before us.

being arrested,

he

did not

convicted, and imprisoned for

a murder that

commit, plaintiff-appellee Hector

Guzman Rivera

(joined

by several

Justice

of

officials

After

family

Puerto Rico

under

defendants failed

42

members) sued

and

U.S.C.

to timely

two

the Secretary

other Justice

1983,

of

Department

alleging

that

reinvestigate the facts

the

of the

murder after his conviction, and that they failed to move for

his release

even after their

investigation had

established

his innocence.

In

Cir.

1994)

Guzman-Rivera v.
_____________

(Guzman I),
________

we

Rivera-Cruz, 29
___________

reversed

F.3d

the district

3 (1st

court's

dismissal of Guzman's suit on statute of limitations grounds.

The

defendants

did

not

assert

absolute

immunity

alternative ground for affirmance, although that

been raised below.

scheduled to

for

begin, the

originally

We

as

defendants filed an

summary judgment

are left

pled

an

defense had

On remand, just six days before trial was

Relief" seeking

grounds.

as

to wonder why

on

"Urgent Motion

absolute immunity

absolute immunity

defense, abandoned

in

the

was

initial

appeal, and then resurrected as an emergency on remand.

The

on

district court nevertheless

denied the motion

the merits, finding genuine issues of material fact as to

the nature of the defendants' post-conviction activities.

We

-22

therefore

waived;

do

it is

not

consider

the sole

the absolute

issue on

appeal.

immunity

From

defense

the facts

presented in this appeal, we find that the defendants are not

entitled to absolute immunity

in

their

however,

conduct

that they

of

are

for any delays or inadequacies

the investigation.

absolutely immune

We

also

find,

for their

post____

investigation

failure

to go

into

court

to seek

Guzman's

release.

I.
__

We

shall assume, as we did in Guzman I, 29 F.3d at

________

5, that the plaintiffs' allegations regarding the defendants'

authority, duties, acts and omissions are true, and that they

are

sufficient to allege a violation of federal rights.

See
___

Buckley v. Fitzsimmons, 113 S. Ct. 2606, 2609 (1993).

_______
___________

Guzman was convicted of

a 1987 murder in Carolina,

Puerto Rico, and sentenced to 119 years' imprisonment on June

27, 1989.

Beginning

Fernandez, repeatedly

on August 21, 1989, his

corresponded

with

or

father, Guzman

met

with

the

defendants:

Hector

Rivera Cruz,

(Puerto Rico's equivalent of

Feliciano

Carreras,

Rights

Division;

and

of Justice

a state attorney general); Luis

Director

Prosecutor's Office and a

the Secretary

of the

Justice

Department's

high-ranking official of the Civil

Carreras'

successor,

Pedro Geronimo

Goyco. Based on his own investigation, which yielded powerful

evidence

that

his

son

was

-33

innocent,

Guzman

Fernandez

requested

that

defendant Luis

reinvestigation of the murder.

Feliciano

Carreras

order a

Carerras referred the matter

to an attorney with the Civil Rights Division, but refused to

do anything more.

After several

Rights

Division

months

finally

Investigators interviewed

conspirators,

innocent.

findings of

innocent.

who

of stonewalling,

investigated

three of

unanimously

Guzman's

the true

stated

the

Civil

case.

murderer's co-

that

Guzman

was

The head of the Civil Rights Division reviewed the

the investigation and concluded

Defendants Pedro

that Guzman was

Geronimo Goyco and Hector Rivera

Cruz refused, however, to move for Guzman's release until the

murderer was captured.

On

June 11,

1990,

Guzman Fernandez

son's plight on Puerto Rico television.

he appealed to

the Governor

told of

Several

of Puerto Rico.

his

days later,

The

Governor

allegedly ordered defendant Geronimo Goyco to release Guzman.

The defendants instructed Guzman's attorneys to file a motion

for a new trial under Rule 192.1 of the Puerto

Criminal Procedure.

The

Rico Rules of

motion was filed on June

15, 1990,

and Guzman was released the same day.

II.
___

Qualified

available

1983.

immunity

is

the

defense

ordinarily

to public officials who are sued under 42 U.S.C.

Absolute

immunity, by contrast,

is reserved for

the

-44

"'special

functions'" of

functions

that would have been

1983 was enacted.

v.

Economou,
________

certain

Buckley, 113
_______

438 U.S.

478,

officials

that

immune at common

resemble

law when

S. Ct. at 2613 (quoting Butz

____

508 (1978)).

In determining

whether a particular act fits within the common-law tradition

of absolute

immunity, the Supreme Court

takes a "functional

approach," Burns v. Reed, 500 U.S. 478, 486 (1991), examining

_____
____

"'the nature of the function

the

actor who performed

performed, not the identity

it.'"

Buckley, 113
_______

of

S. Ct. at 2613

(quoting Forrester v. White, 484 U.S. 219, 229 (1988)).

_________
_____

Under the

that the

functional

defendants were

approach, it

is

immaterial

prosecutors ex officio.
__ _______

Absolute

immunity protects the prosecutor's "'role as advocate for the

State,'" and not

investigative

Imbler
______

his or

officer.'"

her role as

Burns, 500
_____

v. Pachtman, 424 U.S.

________

an "'administrator

U.S. at

or

491 (quoting

409, 430-31, 431 n.33 (1976)).

Prosecutorial

"intimately

criminal

conduct is

associated

process

. .

absolutely

with

the

."

presentation

Buckley,
_______

1017,

113 S.

1019 (1st

the

state's

Ct. at

case

2614; Celia
_____

Cir. 1990)

phase

U.S.

if it

is

of

the

at 430-31

had absolute immunity for the

pursuit of a criminal

of

judicial

Imbler, 424
______

(holding that state prosecutor

initiation and

immune only
____

prosecution, including

at

trial).

See also
___ ____

v. O'Malley,
________

918 F.2d

("a prosecutor

-55

enjoys absolute

immunity from suit

based on

actions taken

pursuant to

his

quasi-judicial function").

We

begin by

conduct into two

post-trial

dividing

phases:

(1) the delay

investigation, including any

investigation itself; and (2)

obtain

the defendants'

Guzman's

release

established his innocence.

in performing

the

the

inadequacies in the

the failure to go to

after

challenged

court to

investigation

As the defendants

had

moved from (1)

to (2),

and as the

their acts

evidence of Guzman's

became increasingly associated

phase of the criminal process.

established, the

release

only

by filing

action,

or by acquiescing in

Looking

characterize

step

the

for

dismiss

from this

for a new

endpoint,

we

might

investigation,

the in-court

his

the criminal

Guzman's own motion

post-trial

(2),

once Guzman's

defendants could obtain

motion to

backwards

(1),

preparatory

with the judicial

To illustrate:

innocence was

trial.

innocence mounted,

exercise

as

of

the

prosecutorial function.

The defendants seem to think that absolute immunity

extends

function.

draw

to all

conduct that

facilitates the

The functional analysis, however,

line

between

preparatory conduct

prosecutorial

requires us to

that

is

merely

administrative or

prosecutorial.

investigative,

For

example,

and that

some,

which is

but not

all,

itself

of

the

prosecutor's preparatory acts in initiating a prosecution and

-66

presenting

the

State's case

are

absolutely

immune.

See
___

Imbler, 424 U.S. at 431

______

absolute

immunity for

n.33; Burns, 500 U.S. at

_____

prosecutor's

492-96 (no

legal advice

to police

that there was probable cause for an arrest); Buckley, 113 S.

_______

Ct.

at

2615-17

conspiracy

to

(no

absolute

manufacture

introduced at grand jury

prosecutor's

immunity

prosecutors'

was

later

proceedings and at trial, or

for a

out-of-court

false evidence

for

statements to

that

the

press).

Cf.
___

Pfeiffer v. Hartford Fire Ins. Co., 929 F.2d 1484, 1490 (10th
________
______________________

Cir. 1991) ("[A]bsolute

administrative

or

immunity may

investigative

functions are necessary so that

_________

function

citations

as

and

an officer

internal

of

attach even to

activities

when

. .

these

a prosecutor may fulfill his

the

quotation

court.") (emphasis

marks

omitted).

added;

The

prosecutorial nature of an act does not spread backwards like

an inkblot, immunizing everything it touches.

U.S.

at 495 ("Almost

his or

her

direct

activity, could

ultimate

any action by

participation

be said

to be

decision whether

See Burns, 500

___ _____

a prosecutor, including

in

purely

in some

investigative

way related to

to prosecute,

but we

the

have never

indicated that absolute immunity is that expansive.").

We

extend

to

do

the

investigators

have been

not

think

preparatory

of the

imputed to

Civil

that absolute

conduct

in

immunity

this

Rights Division,

the defendants, actively

-77

case.

should

The

whose actions

gathered and

corroborated

functions

evidence

typically

detectives.

"evaluat[es]
___________

of

By

performed

contrast,

evidence

prepares for trial

___________________

(emphasis added).

Guzman's

and

. . .

by

the

innocence.

police

are

officers

and

prosecutor-as-advocate

interview[s]

."

These

witnesses

Buckley, 113 S.
_______

as he
______

Ct. at 2616

It is not the prosecutor's usual office to

uncover evidence in the first instance, before s/he has cause

to

initiate a post-trial

extent

And

to the

that prosecutors do so act, they are not performing a

function "intimately

the

judicial proceeding.

criminal

associated with the

process .

. .

."

judicial phase
________

Imbler,
______

424 U.S.

of

at 430

(emphasis added).

Our functional analysis draws

trial

immunity

absolute

case,

immunity

to

in

which the

prosecutors

upon Buckley, a pre_______

Supreme

who

had

Court

denied

conspired

to

manufacture false evidence before there was probable cause to

arrest

the

investigative

police

suspect.

"When

prosecutor

performs

the

functions normally performed by a detective or

officer, it

is neither

appropriate

nor justifiable

that, for the same

not the other."

marks

act, immunity should protect the

Id. at 2616 (citation and internal quotation

___

omitted).

The

functioning as advocates

investigative"

one and

prosecutors

Buckley
_______

for the state, but

capacity, inasmuch

cause to arrest the

in

as

were

not

in an "entirely

they lacked

probable

suspect or initiate judicial proceedings

-88

during

that

period.

Id.
___

should

consider himself

"A

prosecutor neither

to be,

an

advocate before

probable cause to have anyone arrested."

This

context.

mirrors

It is undisputed

proceeding was

investigation.

the

case

defendants

pending

at

Although

cause

he has

Id.
___

Buckley
_______

in

the

post-trial

on appeal that no post-conviction

the

time of

the

the investigation

to

is, nor

move

to

reopen

civil

rights

ultimately gave

the

criminal

proceedings -- i.e., to resume their role as "advocate[s] for

____

the [Commonwealth]," Imbler, 424 U.S. at 431 n.33 -- this was

______

only

one of

might

several possible

outcomes.

have found nothing at all.

The investigation

Or, it might have exposed

evidence of prosecutorial misconduct, such as the withholding

of

potentially

exculpatory

material,

but

no

conclusive

evidence of Guzman's innocence.

Neither result would require

the

quasi-judicial

defendants

Guzman's

to

case.

defendants

perform

Only with

marry

the benefit of

the investigation

to

the

exercise of

113 S.

Ct. at

See Buckley,
___ _______

(noting

lacked "probable

initiate

judicial

challenged

investigation

proceedings"

conduct).

had

only

during

Accordingly,

an

attenuated

in

hindsight can the

quasi-judicial function.

that prosecutors

function

cause

period

the

2616

. .

. to

of

their

civil

rights

and contingent,

opposed to "intimate[]," association with the judicial

as

phase

of the criminal process.

Imbler, 424 U.S. at 430.

______

-99

We

absolute

note

several other

reasons for

not extending

immunity to any delays or inadequacies in the civil

rights investigation.

First, "the official seeking

absolute

immunity bears the

justified

486.

burden of showing

that such immunity

for the function in question."

Burns, 500 U.S. at

_____

The defendants here have not identified

or common-law support for

conduct

of

contingently

civil

any historical

extending absolute immunity to the

rights

associated

is

with

investigation

that

the

phase

judicial

is

of

only

the

criminal process.

"Absent a tradition of immunity comparable

to the common-law

immunity from malicious

Supreme

immunity

Court

has "not

been

inclined

from liability under

1983."

prosecution," the

to extend

Id.
___

absolute

at 493 (citing

Malley v. Briggs, 475 U.S. 335, 342 (1986)).

______
______

Second,

functioning as

to

the extent

that

officials of the Civil

the

defendants were

Rights Division, they

were not acting purely as advocates for the Commonwealth, but

partly to vindicate Guzman's civil rights.

of the

own

civil rights

mixed functions.

their

conduct

from

The mixed purpose

investigation reflects the

This

the

factor

judicial

also tends

phase

of

defendants'

to separate

the

criminal

process.

Third,

had

the

defendants

been

civil

rights

officials only, it seems unlikely that they would be entitled

to

absolute

immunity for

the

-1010

investigation

itself.

The

defendants should

conduct

merely

Prosecutor's

police

they

absolute immunity for

happen

also

to

the same

direct

the

Cf. Burns, 500 U.S. at 495 (finding it

___ _____

allow prosecutors

to

be absolutely

immune

liability for giving advice to the police, but to allow

officers only

advice");

under

because

Office.

"incongruous to

from

not enjoy

qualified immunity

Buckley, 113 S. Ct.

_______

the guidance

of

allegedly 'fabricated'

for following

at 2617 n.6

the prosecutors,

testimony .

. .

the

("If the police,

had solicited

they

would not

the

be

entitled to anything more than qualified immunity."); Houston

_______

v. Partee,
______

978 F.2d

who, acting

362, 367 (7th

solely as

are

"not entitled

defendant police

(prosecutors

investigators, acquired and

exculpatory evidence after their

ended,

Cir. 1992)

to

withheld

role in the prosecution had

any

officers"), cert.
_____

more immunity

than

denied, 113 S.
______

the

Ct. 1647

(1993).

Finally, although every denial of absolute immunity

potentially exposes prosecutors to additional litigation, our

analysis

cannot be

driven

by "a

generalized concern

interference with an official's duties

. . . ."

U.S.

designed to

at 494.

"Absolute

immunity is

Burns,
_____

with

500

free the

judicial process
_________________

associated

with

from

the

harassment

and

Id.
___

is

litigation."

"actions

that are

connected with

judicial

proceedings,

not

for

-1111

It

intimidation

reserved

the prosecutor's

every

for

role in

litigation-inducing

conduct."

Id.
___

immunity is

We think

that

the defense

of

sufficient to protect prosecutors

defendants,

conduct

post-conviction,

qualified

who, like the

civil

rights

investigation.

III.
____

These

defendants'

case

considerations

failure to

at the

close of

do

move for

not

apply

the dismissal

the investigation.

to

the

of Guzman's

Guzman

does not
___

allege that the defendants withheld exculpatory evidence from

him,

thereby delaying his own

Houston,
_______

claim was

978 F.2d

at 365

motion for a

(denying absolute

based squarely on failure

evidence to the

defense).

In

new trial.

See
___

immunity where

to disclose exculpatory

effect, the plaintiffs'

sole

post-investigation claim is that

the defendants failed to go

to court as prosecutors to undo Guzman's conviction.

Even if it were

the evidence,

decision

shown that the defendants reviewed

found Guzman innocent, and

withal not to dismiss his criminal case lies at the

heart of the prosecutorial function.

431

n.33 (noting

advocate

did nothing, their

for

the

that

the duties

State

dismiss an indictment

See Imbler, 424 U.S. at

___ ______

of

include the

a prosecutor

decision

against particular

to prosecute or not falls

an

whether

to

defendants).

Harrington v. Almy, 977 F.2d 37, 42 n.3 (1st

__________
____

decision

as

Cf.
___

Cir. 1992) (the

within "the precise zone

of decision-making the Supreme Court has placed at the center

-1212

of the immunity doctrine").

dismiss

the

27,

complements the initial

prosecutor's absolute

settled.

After all, the decision

decision to

immunity for

For the reasons cited in

dismissal decisions

fit

not to

prosecute, and

the latter

is well

Imbler, 424 U.S. at 424______

within the

same tradition

of

common law immunity as

to

absolute

plaintiff

charging decisions; both are entitled

immunity under

would

simply

1983.

recast

Otherwise, a

suit

for

1983

malicious

prosecution as one for failure to dismiss.

Although

hold

that the

damages

the alleged omission is reprehensible, we

defendants are

liability for

absolutely immune

their

from civil

post-investigation failure

to

move for Guzman's release.

IV.
___

Because

defendants are

conduct

of

the

court's

order

the

undisputed

not entitled

civil

show

that

to absolute immunity

rights

denying the

facts

investigation,

defendants'

the

for their

the district

motion for

summary

judgment is affirmed.
________

The case is remanded

________

consistent with this opinion.

-1313

for proceedings