Marsha HOOKS, Plaintiff-Appellant, v. Stephen R. HOOKS, Bill Hooks,
Charlotte Hooks, Gene Mullins, Don Churchill, Lt. Robbie Webb, Patrolman Bob
Gardner, Donna Wheeler, Susan Dunn, Maxiene Stinnett and Ken Cornett,
Defendants-Appellees. — 771 F.2d 935
1985-03-08 United States Court of Appeals for the Sixth Circuit
771 F.2d 935
Marsha HOOKS,
Plaintiff-Appellant,
v.
Stephen R. HOOKS, Bill Hooks, Charlotte Hooks, Gene Mullins,
Don Churchill, Lt. Robbie Webb, Patrolman Bob
Gardner, Donna Wheeler, Susan Dunn,
Maxiene Stinnett and Ken
Cornett, Defendants-Appellees.
No. 84-5043.
United States Court of Appeals,
Sixth Circuit.
Argued March 8, 1985.
Decided Aug. 23, 1985.
James M. Crain, argued, Knoxville, Tenn., for
plaintiff-appellant.
Frank L. Flynn, Jr., Knoxville, Tenn., for Hooks.
Dennis G. Brewer, Sr., Irving, Tex., Richard Krieg, Linda
Hamilton, Knoxville, Tenn., for Mullins.
Frank Q. Vettori, argued, Knoxville, Tenn., for Webb,
Gardner, Wheeler, Dunn & Stinnett.
William B. Hubbard, Chief Deputy Atty. Gen., Dianne
Stamey, Nashville, Tenn., for Cornett.
Before KENNEDY and WELLFORD, Circuit Judges, and WEICK,
Senior Circuit Judge.
CORNELIA G. KENNEDY, Circuit Judge.
1
This case was brought by the plaintiff, Marsha Hooks, under 42 U.S.C. Sec.
1983, against the defendants, Stephen Hooks, her ex-husband; Bill and Charlotte
Hooks, Stephen's parents; Gene Mullins and Don Churchill, purported to be
friends of Stephen Hooks; Lt. Robbie Webb and Patrolman Bob Garner1
of the Blount County, Tennessee Sheriff's Department; Donna Wheeler, Susan Dunn
and Maxiene Stinnett, civilian employees of the Blount County Sheriff's
Department; and Ken Cornett, an employee of the State of Tennessee Department
of Human Services, alleging that the defendants conspired to and did deprive her
of the custody of her children, Katonya Denise Hooks and Stephen Roy Hooks II,
without due process of law and in violation of the Parental Kidnapping
Prevention Act of 1980 (PKPA), Pub.L. No. 96-611, 94 Stat. 3504 (codified at 28
U.S.C. Sec. 1738A). Joined with her civil rights action is a state law cause of
action to recover debts from defendants Churchill and Mullins.2 She appeals
from the judgment of the District Court, granting defendants' various motions
to dismiss and for summary judgment, and ordering that the case be dismissed.
2
Facts
3
Consideration of the issues raised in this case necessitates a detailed
account of the facts and procedural steps leading to this appeal. Plaintiff and
Stephen Hooks were granted a divorce in Texas on May 29, 1980. Plaintiff was
awarded custody of their two children. In January 1983, she decided to move
from Dallas County, Texas, to Blount County, Tennessee.3
4
She alleges in her complaint that in anticipation of her move to Tennessee,
she approached defendant Churchill regarding liquidation of an interest that
she held in his business, and he agreed to repurchase her interest for $30,000,
to be paid in installments. She alleges that she received certain checks toward
this amount from Churchill prior to her departure from Texas on January 12,
1983, two of which, in the total amount of $850.00, were cashed for her by
defendant Mullins.
5
After having relocated in Tennessee, plaintiff was informed by Mullins that
the checks he had cashed for her had been returned NSF. She paid him $607.00
toward making good the amount, and authorized him to collect a $500.00 debt
owed her by a third party in Texas. She alleges receiving additional checks
from Churchill in Tennessee. Her Tennessee bank informed her that these were
dishonored by the payor bank on the basis of affidavits of forgery executed by
Churchill.
6
In April 1983, Mullins charged plaintiff in Texas with forgery of the
checks he had cashed. He neither threatened her with such action prior to
filing charges, nor informed her after doing so. In May 1983, Charlotte Hooks
came to Tennessee to accompany the children back to Texas for an eight-week
visit with their father and grandparents. In June 1983, indictments were
returned by a Dallas County grand jury charging Marsha Hooks with forgery. At
approximately the same time, she alleges, the Hooks defendants began to cut off
her contact with her children, refusing to allow her to speak to them on the
telephone and returning her letters unopened. She alleges that in July, defendants
told her that the children would not be returned to her. On August 12, 1983,
plaintiff drove to Grand Prairie, Texas, and surreptitiously removed the
children back to Tennessee.
7
After the children were taken, Stephen Hooks alleges that he contacted the
local police, who purportedly informed him that they could only act if there
was some outstanding criminal charge against Marsha Hooks. Stephen alleges that
it was only after receiving this advice that he discovered the forgery warrant
against Marsha, whereupon he contacted the Blount County authorities. On August
17, 1983, while plaintiff was in her automobile with her children, she was
arrested by defendants Webb and Garner. She was taken to the County Jail and
made two court appearances, first executing a waiver of extradition, then
subsequently being permitted to withdraw it. She came in contact with Wheeler,
Dunn and Stinnett during her processing. She was released from custody on her
own recognizance within a few hours of her arrest, but during this interval her
children were turned over to Stephen, who immediately left with them for Texas.
According to the Sheriff's Department defendants, they acted at the direction
of defendant Ken Cornett, with whom Stephen had made contact prior to Marsha's
arrest.
8
Shortly after these events, Mullins filed an affidavit with the District
Attorney of Dallas County stating that restitution had been made by plaintiff
and that he did not wish to prosecute the matter further. On August 25, 1983,
the Dallas County Sheriff's Department notified the Blount County Sheriff's
Department that charges against plaintiff were being dropped, and on August 30
the indictments were dismissed. On September 2, 1983, Stephen filed a motion in
the Texas court requesting that the decree of divorce be modified to give him
custody of the children.
9
On September 7, 1983, plaintiff filed a sworn complaint initiating the
instant suit. On October 5, 1983, defendant Cornett filed a motion to dismiss
under Fed.R.Civ.P. 12(b). On October 6, the Hooks defendants filed a motion for
summary judgment. On October 18, plaintiff filed a memorandum in opposition to
Cornett's motion to dismiss. On October 20, the Blount County Sheriff's
Department defendants filed a motion to dismiss or in the alternative for
summary judgment with supporting affidavits, in which they contend that they
did not conspire with Stephen or pressure Marsha in any way, and were only
following the directions of defendant Cornett in turning the Hooks children
over to Stephen. On October 28, the Hooks defendants filed affidavits in
support of their motion for summary judgment, in which they denied knowing or
having any connection with Mullins and Churchill or conspiring in any way to
obtain custody of the children by unlawful means.
10
On November 7, 1983, the District Court filed its memorandum and order
granting defendants' motions to dismiss and for summary judgment. In his
memorandum, the District Judge stated that plaintiff's first cause of action
alleged false arrest, and held that since she was arrested pursuant to a valid
warrant, the Blount County Sheriff's Department defendants were entitled to
good faith immunity from suit. He held that while Cornett would also be
entitled to such immunity, the complaint failed to state a claim against
Cornett since it did not allege any unlawful action by him (presumably because
he did not participate in the arrest). The civil rights count was dismissed as
to the Hooks defendants, Mullins and Churchill, since the court held that it did
not appear that they were acting under color of state law. The state law claim
against Mullins (seeking to recover that portion of the $500 debt allegedly
collected by him, above the amount necessary to make restitution on the
$850.00) was dismissed since it did not equal or exceed the jurisdictional
amount. The claim to recover the amount allegedly owed to Marsha by Churchill
was dismissed for lack of in personam jurisdiction.4
11
On the same day, November 7, plaintiff filed a memorandum with supporting
affidavit in opposition to the motions to dismiss and for summary judgment of
the Hooks and Blount County Sheriff's Department defendants.5 In her
affidavit, she alleged various facts establishing a link between Mullins and
Churchill and the Hooks defendants; that at the time of her arrest, before she
was taken to the County Jail, she asked if she could make arrangements for the
care of her children, and was told by Lt. Webb, " 'No, they're going back
to Texas with their father,' or words to that effect;" and that while at
the jail she was treated in a derogatory manner and induced to sign the waiver
of extradition by defendant Wheeler's promise that if plaintiff did so, her
children would be returned to her, and that after so consenting, she was told
by Wheeler that the children were on their way to Texas and plaintiff would
never see them again. She also stated that subsequent to the filing of her
complaint, she represented herself at a hearing in state court in Texas on
Stephen's motion to amend the decree of custody, pursuant to which among other
things the children were returned to her pending the outcome of an
investigation of their home life.
12
On November 16, 1983, plaintiff filed a motion for rehearing with the
District Court, pointing out to the court that her civil rights claim was based
on the deprivation of the custody of her children, not on false arrest. She
contended that private persons conspiring with state actors to effect a
deprivation of civil rights do act under color of state law; that the claim
against Mullins could be joined with the civil rights claim against him under
Fed.R.Civ.P. 18; and that the court erred in dismissing her claim against
Churchill, arguing that knowingly mailing a bad check into another state did
establish the minimum contacts with that state necessary to create in personam
jurisdiction.
13
The Blount County Sheriff's Department defendants filed a memorandum in
opposition to the motion to rehear, arguing primarily that "[t]he officers
attempted to turn the children over to the Tennessee Department of Human
Services who would not take them and who advised the officers to turn the
children over to their natural father. They were left with no alternative and
due to the emergency situation took this action." Defendant Cornett also
filed a response to the motion for rehearing, contending that he was entitled
to good faith immunity, and further that since plaintiff did not specifically
dispute the court's finding that she failed to state a claim against Cornett in
the motion to rehear, the motion should be denied as to him. The Hooks
defendants also responded to the motion, contending that the PKPA was
inapplicable to the case since it pertained to jurisdiction in interstate
custody disputes and the plaintiff's allegations did not involve a change of
custody. They also relied on their "uncontradicted" assertion that
they had nothing to do with the filing of criminal charges against the
plaintiff and did not even know Mullins and Churchill.
14
On December 20, 1983, the District Court denied plaintiff's motion to
rehear in a two-line order. It concluded that "[t]he question involved was
one of domestic relations and this Federal Court is not a domestic relations
court." Plaintiff filed her notice of appeal on January 6, 1984.
15
At some date after the filing of this appeal not apparent from the record,
counsel for the Hooks defendants filed suit in the District Court, requesting
that the court accord full faith and credit to the judgment entered by the
Texas state court following plaintiff's pro se appearance noted above,
directing that she dismiss with prejudice her federal court case, and enjoin
her from further prosecuting of her appeal. On April 6, 1984, the District
Court dismissed plaintiffs' (defendants herein) complaint for injunctive
relief, concluding that it lacked the authority to enjoin the Court of Appeals
from hearing appeals of its decisions.
16
On May 3, 1984, the Hooks appellees filed a motion to dismiss with this
Court on the same basis asserted above. On November 9, another panel of this
Court issued an order directing appellant to show cause why this appeal should
not be dismissed for mootness. Following her response, the motions panel
referred appellees' motion to dismiss to the hearing panel for consideration.
17
Discussion
18
We consider the issues raised in this case as follows. First, we address
whether plaintiff's complaint states a cause of action under Sec. 1983.
Concluding that it does, we consider whether, presuming a conspiracy to exist,
the Hooks defendants, Mullins and Churchill acted under color of state law.
Concluding that they would be state actors for the purposes of Sec. 1983 if
participants in a conspiracy with the Tennessee defendants to deprive plaintiff
of the custody of her children, we consider whether, as a matter of law, an
issue of fact exists as to whether any or all of the Texas defendants were
members of such a conspiracy. Since we conclude that Churchill could not be a
member of such a conspiracy, we then address whether there is in personam
jurisdiction over Churchill in Tennessee for purposes of plaintiff's breach of
contract claim. We then consider whether the allegations in plaintiff's
untimely affidavit in opposition to defendants' motion to dismiss or for
summary judgment should be considered by this Court. Finally, we address the
full faith and credit issue raised by appellees' motion to dismiss this appeal.
19
I. CAUSE OF ACTION
20
It is well-settled that parents have a liberty interest in the custody of
their children. Santosky v. Kramer, 455 U.S. 745, 753, 102 S.Ct. 1388, 1394, 71
L.Ed.2d 599 (1982); Stanley v. Illinois, 405 U.S. 645, 651, 92 S.Ct. 1208, 1212, 31 L.Ed.2d
551 (1972); Lossman v. Pekarske, 707 F.2d 288, 290 (7th
Cir.1983); Ruffalo v. Civiletti, 702 F.2d 710, 714-15
(8th Cir.1983); Ellis v. Hamilton, 669 F.2d 510, 512 (7th Cir.), cert. denied, 459
U.S. 1069, 103 S.Ct. 488, 74 L.Ed.2d 631 (1982); Duchesne v. Sugarman, 566 F.2d 817, 824-25 (2d Cir.1977); Elam v.
Montgomery County, 573 F.Supp. 797, 802 (S.D. Ohio 1983); see also Huynh Thi
Anh v. Levi, 586 F.2d 625, 632 (6th
Cir.1978). Hence, any deprivation of that interest by the state must be
accomplished by procedures meeting the requirements of due process.
21
In the civil rights count of her complaint, plaintiff alleged that she
"has been falsely arrested, has been humilitated [sic] and embarrassed,
has been compelled to incur legal and other expenses to secure her freedom; has
incurred medical expenses as a direct and proximate result of the Defendants'
actions; has been wrongfully deprived of the custody of her children, and has
incurred great pain, suffering and mental anguish ..." (emphasis added).
In granting the Blount County Sheriff's Department defendants' motion to
dismiss or for summary judgment, the District Court concluded that plaintiff
failed to state a claim under Sec. 1983 for false arrest. On appeal, she argues
that the court's ruling was erroneous, as "the thrust of the conspiracy
alleged in the Complaint was not the arrest of Plaintiff, but the removal of
her children."
22
It is hardly apparent from the language quoted above that the
"thrust" of plaintiff's complaint was that she was deprived of the
custody of her children without due process. Her counsel has further confused
the issue by suggesting that her civil rights cause of action is predicated
upon the PKPA. Appellees are correct in contending that plaintiff fails to
state a cause of action under the PKPA, since that statute pertains to
interstate jurisdictional disputes involving conflicting custody decrees,6 and
the acts of the Tennessee defendants neither failed to enforce nor modified the
Texas decree. Nor does plaintiff state a claim for false arrest, and we affirm
the District Court's dismissal of any such claim. However, plaintiff's
complaint does allege wrongful deprivation of the physical custody of her
children without due process, as her counsel endeavored to clarify in his
memorandum in opposition to defendants' motion to dismiss or for summary
judgment, memorandum in support of motion for rehearing, and before this Court.
Hence, it states a cause of action under Sec. 1983.
23
The District Court apparently recognized that the gravamen of plaintiff's
complaint was deprivation of custody, since it denied her motion for rehearing
on the ground that "[t]he question involved was one of domestic relations
and this Federal Court is not a domestic relations court." We understand
this statement to indicate that the District Court was relying upon the
domestic relations exception to federal diversity jurisdiction. Traditionally,
the federal courts have declined to accept jurisdiction over parent-child, domestic
relations or custody disputes and in adoption matters subject to state law and
state court disposition. See, e.g., DiRuggiero v. Rodgers, 743 F.2d 1009, 1018-19 (3rd Cir.1984); Zak v.
Pilla, 698 F.2d 800, 801 (6th Cir.1982) (per curiam);
Huynh Thi Anh, 586 F.2d at 632-33. However, the prudential concerns underlying
such abstention are completely absent in the instant case. While plaintiff's
claim arises out of a custody dispute, adjudication of the alleged civil rights
violation to the extent it seeks damages does not require the court to exercise
jurisdiction over or resolve any of those state law matters within the scope of
the domestic relations exception. See Elam, 573 F.Supp. at 801; see also
DiRuggiero, 743 F.2d at 1020 (domestic relations exception does not apply to
state law tort claim of child abduction). We conclude that the District Court
erred in its reliance on the domestic relations exception in refusing to
consider the merits of her claim that she suffered damages by being deprived of
the physical custody of her children without due process.
24
The Tennessee defendants contend that they were acting in an emergency
situation in turning the children over to their father, Stephen, after
plaintiff's arrest, and hence should be entitled to good faith immunity from
suit.
25
"[A]s a matter of constitutional law, the initial removal of the
children without parental consent or a prior court order was permissible [in an
emergency]. Cf. Ewing v. Mytinger & Casselberry, Inc., 339 U.S. 594, 599, 70 S.Ct. 870 , 94 L.Ed. 1088
(1950). However, in those "extra-ordinary situations" where
deprivation of a protected interest is permitted without prior process, the
constitutional requirements of notice and an opportunity to be heard are not
eliminated, but merely postponed. Boddie v. Connecticut, 401 U.S. 371, 379, 91 S.Ct. 780 , 28 L.Ed.2d 113
(1971).
26
Duchesne, 566 F.2d at 826 (emphasis in original); accord Lossman, 707 F.2d
at 292; Ruffalo, 702 F.2d at 715.
27
Here the children were turned over to Stephen by the Tennessee defendants
allegedly with the knowledge that they would immediately be taken to Texas and
thus out of the jurisdiction of Tennessee, effectively eliminating the
opportunity for plaintiff to receive a post-deprivation hearing. Cf. Ellis,
supra. The Tennessee defendants do not contend that they made any effort to
request or direct Stephen to remain in Tennessee until a hearing could be held.7
Plaintiff alleges that their actions were part of a conspiracy with Stephen
Hooks to wrongfully deprive her of physical custody of her children. Whether
any or all of the Tennessee defendants were acting in good faith is an issue of
fact properly resolved at trial. Elam, 573 F.Supp. at 805; see also Downs v.
Sawtelle, 574 F.2d 1, 16 & n.
19 (1st Cir.), cert. denied, 439 U.S. 910, 99 S.Ct. 278, 58 L.Ed.2d 255 (1978).
28
II. STATE ACTION
29
Without citation to any authority, the District Court, in its memorandum
accompanying its order dismissing plaintiff's case, held that it did not appear
that the Texas defendants were acting under color of state law. It is true that
an allegation of misuse or abuse of a valid statute does not state a cause of
action under Sec. 1983, but challenges only private action. See Lugar v.
Edmondson Oil Co., 457 U.S. 922, 941, 102
S.Ct. 2744, 2755, 73 L.Ed.2d 482 (1982). If plaintiff's claim in this case had
been for false arrest, as the District Court initially understood, its holding
might have been sustainable under this rationale.
30
As stated above, however, such was not the claim asserted by the plaintiff.
Private persons jointly engaged with state officials in a deprivation of civil
rights are acting under color of law for purposes of Sec. 1983. Lugar, 457 U.S.
at 941, 102 S.Ct. at 2755; Dennis v. Sparks, 449 U.S. 24, 101 S.Ct. 183, 66 L.Ed.2d 185 (1980);
Adickes v. Kress & Co., 398 U.S. 144, 150-52, 90
S.Ct. 1598, 1604-06, 26 L.Ed.2d 142 (1970); see, e.g., Cooper v. Molko, 512
F.Supp. 563 (N.D.Cal.1981) (members of religious group stated cause of action
under Sec. 1983 against parents, deprogrammers and police, based on allegation
that police knowingly allowed abduction of plaintiff by deprogrammers as part
of conspiracy among defendants). If any or all of the Tennessee defendants
deprived the plaintiff of the custody of her children without due process,
liability under Sec. 1983 could extend to Stephen Hooks as well, Lugar, 457
U.S. at 942, 102 S.Ct. at 2756 (private party initiating attachment procedure
under state law later successfully challenged as unconstitutional acts under
color of state law and is liable for participating in deprivation), although at
trial he would not necessarily be foreclosed from asserting an affirmative
defense of good faith, id. at 942 n. 23, 102 S.Ct. aty 2756 n. 23. As to the
other Texas defendants, whether they are also liable depends on whether they
were participants in the alleged conspiracy.
31
III. CONSPIRACY
32
A civil conspiracy is an agreement between two or more persons to injure
another by unlawful action. Express agreement among all the conspirators is not
necessary to find the existence of a civil conspiracy. Each conspirator need
not have known all of the details of the illegal plan or all of the
participants involved. All that must be shown is that there was a single plan,
that the alleged coconspirator shared in the general conspiratorial objective,
and that an overt act was committed in furtherance of the conspiracy that
caused injury to the complainant. See Hobson v. Wilson, 737 F.2d 1, 51-52 (D.C.Cir.1984), cert. denied,
--- U.S. ----, 105 S.Ct. 1843, 85 L.Ed.2d 142 (1985); Hampton v. Hanrahan, 600 F.2d 600, 620-21 (7th Cir.1979), cert. denied
in part, granted in part and rev'd on other grounds, 446 U.S. 754, 100 S.Ct. 1987, 64 L.Ed.2d 670
(1980).
33
Applying these principles to the instant case, and assuming for the time
being all of plaintiff's allegations to be true, there are no facts or
inferences therefrom to support her civil rights claim against Mullins and
Churchill, or Charlotte and Bill Hooks. In her complaint, she alleged
34
that Defendants Mullins and Churchill were induced to take these actions so
that Defendants Hooks could theeafter [sic] lure her into Texas, cause her
arrest, and either obtain judicial custody of the children while she was under
arrest and facing trial on felony charges, or in the alternative to extort
Plaintiff's agreement to a change of custody in return for dismissing these
groundless charges.
35
8. After the plot of the Defendants Hooks, Churchill and Mullins was
frustrated by her recovery of possession of the Children, the Defendant Stephen
Roy Hooks came to Maryville, Tennessee on August 17, 1983 and enlisted the
assistance of the Defendants Webb, Gardner, Wheeler, Stinnett, Cornett and
Dunn, or some of them, in his plot to unlawfully gain possession of the
Children. All actions thereafter taken by said Defendants were taken with the
knowledge that their principal and motivating purpose was to permit the
Defendant Stephen Hooks to obtain possession of these children. [emphasis
added]
36
Plaintiff's only civil rights cause of action is for the deprivation of the
custody of her children in Tennessee without due process. In effect, plaintiff
alleges the existence of two separate conspiracies, the first of which was
short-circuited by her surreptitious removal of the children from their
grandparents' home in Texas back to Tennessee, and the second of which
commenced when Stephen contacted the Tennessee defendants. At the time Mullins
and Churchill allegedly acted in furtherance of the conspiracy, there was no
way that they could have anticipated the chain of events that would be
triggered by plaintiff's surreptitious removal of the children from Texas back
to Tennessee. Cf. Windsor v. The Tennessean, 719 F.2d 155, 161-62 (6th Cir.1983), cert. denied,
--- U.S. ----, 105 S.Ct. 105, 108, 83 L.Ed.2d 50 (1984). Thus, the actions of
Mullins and Churchill were not part of a single plan to unlawfully deprive
plaintiff of the custody of her children in Tennessee. As to Charlotte and Bill
Hooks, plaintiff simply does not allege that they were participants in or even
knew of "[Stephen's] plot to unlawfully gain possession of the Children."
Nor does she allege facts that would tend to show that they participated in the
conspiracy charged.8 Hence, we conclude that summary judgment was properly
granted in favor of these defendants.
37
IV. JURISDICTION
38
Since we have concluded that Mullins and Churchill are entitled to summary
judgment on plaintiff's civil rights claim against them, pendent jurisdiction
does not exist over her state law claims against them. See United Mine Workers
v. Gibbs, 383 U.S. 715, 726, 86
S.Ct. 1130, 1139, 16 L.Ed.2d 218 (1966) ("[I]f the federal claims are
dismissed before trial, ... the state claims should be dismissed as well."
(footnote omitted)). Plaintiff does not argue that in the absence of pendent jurisdiction
her claim against Mullins should not be dismissed, and the District Court did
not err in so ordering. However, she does contend that the District Court erred
in dismissing her claim against Churchill, reasoning that when a person
knowingly sends a bad check into another state, the drawer has caused an effect
in the state of the drawee sufficient to establish the minimum contacts
necessary to support the exercise of in personam jurisdiction.9
39
Plaintiff has alleged no contacts on the part of Churchill with the state
of Tennessee other than the fact that he agreed in Texas to purchase her
interest in his Texas business in anticipation of her moving to Tennessee,
repudiated certain checks sent to Tennessee in satisfaction of that obligation,
and breached his agreement to pay. "If the question is whether an
individual's contract with an out-of-state party alone can automatically
establish minimum contacts in the other party's home forum, we believe the
answer clearly is that it cannot." Burger King Corp. v. Rudzewicz, ---
U.S. ----, ----, 105 S.Ct. 2174, 2185, 85 L.Ed.2d 528 (1985); cf. Huskey v.
Huskey, 366 F.Supp. 186 (E.D.Tenn.1972) (insufficient contacts to exercise
personal jurisdiction over father in Tennessee where son alleged breach of contract
entered into between father and son in Indiana for father to pay son's expenses
to attend college in Tennessee). We conclude that the District Court was
correct in dismissing plaintiff's state law claim against Churchill on
jurisdictional grounds.
40
V. PLAINTIFF'S AFFIDAVIT
41
The District Court never addressed whether, upon a proper understanding of
plaintiff's civil rights claim, summary judgment should be granted defendants
because there was no disputed issue of fact on which plaintiff might be entitled
to recover. However, this Court may examine the record and affirm the District
Court on other grounds if we determine that there exists no material
controversy regarding matters of fact or law. See, e.g., Oyler v. National
Guard Association, 743 F.2d 545, 555 (7th
Cir.1984); Bernard v. City of Palo Alto, 699 F.2d 1023, 1024-25 n. 1 (9th Cir.1983) (per
curiam); Hoffa v. Fitzsimmons, 673 F.2d 1345, 1361-62
(D.C.Cir.1982).
42
Fed.R.Civ.P. 56(e) requires that a party opposing a motion for summary
judgment "may not rest upon the mere allegations or denials of his
pleadings, but his response, by affidavits or as otherwise provided in this
rule, must set forth specific facts showing that there is a genuine issue for
trial." Thus, "summary judgment was proper where the facts alleged in
the complaint were directly contravened in the affidavits supporting the
defendants' motion for summary judgment, and where the plaintiff's version of
the facts was not presented in any deposition, affidavit, or other document on
file, except the pleadings." Smith v. Hudson, 600 F.2d 60, 65 (6th Cir.1979) (citing R.E.
Cruise, Inc. v. Bruggeman, 508 F.2d 415 (6th
Cir.1975) (per curiam)), cert. denied, 444 U.S. 986, 100 S.Ct. 495, 62 L.Ed.2d
415 (1979).
43
The Blount County Sheriff's Department defendants contend that plaintiff's
affidavit in opposition to defendants' motions for summary judgment should not
be considered by this Court because it was not timely filed.10 First, we note
that since plaintiff's complaint was verified, to the extent that the
allegations therein are based on personal knowledge, it satisfies the
requirements of Rule 56(e) as an opposing affidavit. Lew v. Kona Hospital, 754 F.2d 1420, 1423 (9th Cir.1985); Enquip, Inc.
v. Smith-McDonald Corp., 655 F.2d 115, 119 (7th
Cir.1981); Barker v. Norman, 651 F.2d 1107, 1114-15
(5th Cir. Unit A 1981); Sames v. Gable, 100 F.R.D. 749, 750-51 (E.D.Pa.1983).
More to the point, we conclude that plaintiff's affidavit and the allegations
contained therein are properly before this Court.
44
While it is within the discretion of the district courts whether to
consider affidavits submitted in an untimely fashion, see Mas Marques v.
Digital Equipment Corp., 637 F.2d 24, 29-30 (1st
Cir.1980); DeLong Corp. v. Raymond International, Inc., 622 F.2d 1135, 1139-40 & n. 5 (3d Cir.1980);
Sames, 100 F.R.D. at 751, the court below never gave any indication that it was
declining to consider plaintiff's affidavit on rehearing because it was
untimely or for any other reason. At oral argument, plaintiff's counsel
explained that he delayed filing his memorandum and supporting affidavit in
response to defendants' motions for summary judgment because he was waiting for
all of the various defendants to file their answers and motions, and in
anticipation of a pretrial conference scheduled for a date not apparent in the
record but beyond the date on which the District Court entered its order of
dismissal and counsel filed his memorandum and affidavit. Further, although the
Hooks defendants filed their summary judgment motion on October 6, 1983, they
did not file their supporting affidavits until October 28, ten days before
plaintiff filed her affidavit in opposition. Until the supporting affidavits
were filed, plaintiff would not know what facts she needed to controvert. Given
that plaintiff's affidavit "was sufficient to alert the court to the
presence of an issue of material fact," Enquip, 655 F.2d at 119, and
counsel offered a plausible explanation for its untimeliness and filed a timely
motion for reconsideration, we are obliged in this instance to consider
plaintiff's affidavit. See Rhoades v. Penfold, 694 F.2d 1043, 1049 (5th Cir.1983); Barker, 651
F.2d at 1128-29; cf. Foy v. Norfolk & Western Railway Co., 377 F.2d 243,
246-47 (4th Cir.1967).
45
In reviewing the District Court's disposition of defendants' motions for
summary judgment,11 we must consider the allegations contained in
plaintiff's affidavit together with those in her sworn complaint and reasonable
inferences therefrom in the light most favorable to her. Hudson, 600 F.2d at 63
(citing cases). Applying this test, we cannot say that there is no set of facts
that plaintiff may prove pursuant to which any or all of the defendants, apart
from Charlotte and Bill Hooks, Mullins and Churchill, could be found liable as
participants in a conspiracy to deprive her of the custody of her children
without due process. While her claim is most tenuous respecting Maxiene Stinnett,
after careful consideration we have concluded that summary judgment in her
favor is not appropriate at this time. Plaintiff has alleged that Stinnett
refused to allow plaintiff to make a telephone call as part of the
conspirator's plot to unlawfully turn possession of the children over to
Stephen. It remains for plaintiff to prove the truth of these allegations,
which Stinnett denied in her affidavit, and that defendant so acted in
furtherance of the alleged conspiracy.12
46
VI. DEFENDANTS' MOTION TO DISMISS
47
We have already recounted the procedural history of this case, including
the filing of the Hooks defendants' motion to dismiss plaintiff's appeal. This
motion is based on an order entered in the District Court of Dallas County,
Texas, 330th Judicial District, in a case captioned In re: The Interest of:
Katonya Denise Hooks and Stephen Roy Hooks, II, No. 80-2498 (Feb. 3, 1984). It
is headed, "Amended Temporary Orders," and states that on October 11,
1983, a hearing was held on the application of Stephen Hooks for Temporary
(Custody) Orders, at which Marsha Hooks appeared pro se. The court's order
provided, as pertinent to this case:
48
The Court, having considered the pleadings, the evidence, and the arguments
presented, the Court finds, that:
49
The Court has jurisdiction over the parties in the subject matter of this
suit and all necessary prerequisites of the law have been legally satisfied.
The Court finds that the parties have agreed in open court to the following
Orders for the safety and welfare of the children and that these Orders are in
the best interests of the children:
50
....
51
(7) There is now pending in the United States District Court for the
Eastern District of Tennessee Northern Division, Docket No. 3-83-540, styled
Marsha Hooks vs. Stephen Roy Hooks, Bill Hooks, Charlotte Hooks, Gene Mullins,
Don Churchill, Lt. Robbie Webb, Patrolman, Bob Gardner, Donna Wheeler, Susan
Dunn, Maxiene Stinnett, and Ken Cornett. Said case is to be dismissed with
prejudice on or before November 15, 1983, and not to be refiled against Stephen
Roy Hooks, Bill Hooks, Charlotte Hooks, Gene Mullins, and Don Churchill.
52
The movants contend that this Court must accord full faith and credit to
the above order of the District Court for Dallas County, Texas, and dismiss
plaintiff's appeal. Plaintiff responds that her federal case was never
discussed at the October 11 state court hearing and that she never agreed to
dismiss her claim, that the state court order is void because the court lacked
subject matter jurisdiction, and that full faith and credit should not be
accorded the order as a matter of policy, because it would defeat the objective
of Congress in enacting the PKPA. We address each of plaintiff's arguments in
turn.
53
A. Res Judicata Effect of Order Under Texas Law
54
The judgments of state courts are afforded the same preclusive effect in
the federal courts to which they would be entitled in the courts of the state
in which they were entered. 28 U.S.C. Sec. 1738. "Thus, if a state court
judgment is subject to collateral attack in the state that rendered it, the
judgment may be collaterally attacked in federal court." Fehlhaber v.
Fehlhaber, 681 F.2d 1015, 1020 (5th
Cir. Unit B 1982) (footnote omitted), cert. denied, --- U.S. ----, 104 S.Ct.
79, 78 L.Ed.2d 90 (1983). To resolve this issue, we must undertake a two-step
inquiry. First, we must determine whether the type of order in question would
have preclusive effect under Texas law. Since we resolve that question in the
affirmative, we must then consider whether the arguments asserted by plaintiff
would be a valid basis for collateral attack in another Texas proceeding.
55
The order specifically recites that it was agreed to by the parties in open
court. Under Texas law, "an agreed judgment is accorded the same degree of
finality and binding force as a final judgment rendered at the conclusion of an
adversary proceeding." McCray v. McCray, 584 S.W.2d 279, 281 (Tex.1979)
(citing Pollard v. Steffens, 161 Tex. 594, 343 S.W.2d 234, 239 (1961); see Ex
Parte Gorena, 595 S.W.2d 841, 844 (Tex.1979); Hill v. Hill, 599 S.W.2d 691, 692
(Tex.Civ.App.1980); Sawyer v. Smith, 552 S.W.2d 936, 940 (Tex.Civ.App.1977);
Black v. Wilemon, 539 S.W.2d 203, 204 (Tex.Civ.App.1976); Ranger Insurance Co.
v. Rogers, 530 S.W.2d 162, 166-67 (Tex.Civ.App.1975); Sun Life Assurance Co. v.
Clyce, 512 F.Supp. 430, 433 (N.D.Tex.1980).
56
As a general rule, nonfinal orders or judgments are not entitled to full
faith and credit. Aiello v. City of Wilmington, 470 F.Supp. 414, 419
(D.Del.1979), aff'd, 623 F.2d 845 (3d
Cir.1980). See generally 18 C. Wright, A. Miller & E. Cooper, Federal
Practice and Procedure: Jurisdiction Sec. 4432 (1981) [hereinafter cited as
Wright]. For this reason, custody decrees in general, and the "Amended
Temporary Orders" at issue in particular, present difficult problems in
the application of full faith and credit principles. Insofar as a custody
decree is modifiable in the rendering state, full faith and credit would not
prevent it from being modified in some other forum state as well. Flood v.
Braaten, 727 F.2d 303, 308-09 (3d
Cir.1984). "Thus, full faith and credit cannot readily be applied to
custody decrees because federal courts may only enforce final state decrees
that are no longer subject to modification, and the general rule is that such
decrees are not subject to full faith and credit." McDougald v. Jenson,
596 F.Supp. 680, 685 (N.D.Fla.1984).
57
In this case, however, we conclude that the portion of the state court
order providing for dismissal of plaintiff's case is entitled to full faith and
credit. First, we note that finality for the full faith and credit purposes is
not equivalent to finality for the purposes of appeal. Aiello, 470 F.Supp. at
419 (citing cases). See generally 18 Wright, supra, at Secs. 4432, 4434.
Plaintiff's purported agreement to dismiss her federal suit is divisible from the
ultimate disposition by the court of the question of custody, and in a
practical and logical sense is final. Second, Texas law accords the same
preclusive effect to agreed interlocutory judgments that it does to agreed
final judgments. Gregory v. White, 604 S.W.2d 402, 403-04 (Tex.Civ.App.1980),
cert. denied, 452 U.S. 939, 101 S.Ct. 308, 69 L.Ed.2d 953 (1981).
58
Consequently, we must address whether plaintiff would be entitled under
Texas law to collaterally attack the order in a separate proceeding. She
asserts two possible grounds for collateral attack. The first, that she never
agreed to the portion of the order directing dismissal of her federal case, is
addressed and rejected below. The second, that the order was void for lack of
subject matter jurisdiction, is considered in the section following.
59
Although an agreed judgment is accorded the same finality under Texas law
as a final judgment rendered at the conclusion of an adversary proceeding, it
must be interpreted as a contract to which the rules governing contract
interpretation apply. McCray, 584 S.W.2d at 281; Browning v. Holloway, 620
S.W.2d 611, 614-15 (Tex.Civ.App.1981); Black, 539 S.W.2d at 204; accord Echols
v. Nimmo, 586 F.Supp. 467, 469 (W.D.Mich.1984). A valid consent judgment cannot
be rendered by a court absent the agreement of all parties thereto, Grasso v.
Ellis, 608 S.W.2d 347, 349 (Tex.Civ.App.1980); Gregory, 604 S.W.2d at 403;
Sawyer, 552 S.W.2d at 939, and must strictly conform to the agreed upon terms,
Grasso, 608 S.W.2d at 349; Sun Life, 512 F.Supp. at 433. "However, if a
party to the cause wishes to contend that he did not in fact agree to the
judgment, he must do so by a direct attack upon the judgment and cannot do so
in a collateral proceeding." Sawyer, 552 S.W.2d at 939-40 (emphasis
added).B. Subject Matter Jurisdiction
60
A judgment may be subject to collateral attack on the ground that the
rendering court lacked jurisdiction or capacity to act as a court. Ranger
Insurance, 530 S.W.2d at 167; H.C. Price Co. v. Compass Insurance Co., 483
F.Supp. 171, 174 n. 3 (N.D.Tex.1980). It is well-settled, however, that full
faith and credit extends to state court determinations of subject matter
jurisdiction over a controversy, as well as the merits of the controversy
itself. See Durfee v. Duke, 375 U.S. 106, 84 S.Ct.
242, 11 L.Ed.2d 186 (1963); Nagle v. Ringling Bros. and Barnum & Bailey
Combined Shows, Inc., 386 F.Supp. 349, 358 (S.D.Tex.1974). "Both Texas and
federal authorities recognize that only void judgments as opposed to voidable
judgments may be collaterally attacked, and that only judgments which show a
jurisdictional defect on the face of the record are classified as void
judgments." Little v. Celebrezze, 259 F.Supp. 9, 11 (N.D.Tex.1966).
61
The distinction between void and voidable judgments was elaborated in
Lubben v. Selective Service System Local Board No. 27, 453 F.2d 645 (1st Cir.1972):
62
A void judgment is to be distinguished from an erroneous one, in that the
latter is subject only to direct attack. A void judgment is one which, from its
inception, was a complete nullity and without legal effect. In the interest of
finality, the concept of void judgments is narrowly construed. While absence of
subject matter jurisdiction may make a judgment void, such total want of
jurisdiction must be distinguished from an error in the exercise of
jurisdiction. A court has the power to determine its own jurisdiction, and an
error in that determination will not render the judgment void. Only in the rare
instance of a clear usurpation of power will a judgment be rendered void.
63
453 F.2d at 649 (footnotes omitted); accord Coleman v. Court of Appeals,
Division No. 2, 550 F.Supp. 681, 684 (W.D.Okla.1980); Hobbs v. United States
Office of Personnel, 485 F.Supp. 456, 458 (M.D.Fla.1980).
64
Plaintiff's argument is that the Dallas County court lacked subject matter
jurisdiction13 under the terms of the PKPA and Uniform Child Custody
Jurisdiction Act (UCCJA), Tex.Fam.Code Secs. 11.51-11.75, which became
effective September 1, 1983, the day before Stephen filed his petition with the
court to amend the orders of custody. She contends that by virtue of these
statutes, Tennessee had become the "home state" of the children.14 As
adopted by Texas, Sec. 11.53(d) of the UCCJA provides: "Except on written
agreement of all the parties, a court may not exercise its continuing
jurisdiction to modify custody if the child and the party with custody have
established another home state unless the action to modify was filed before the
new home state was acquired." See Heartfield v. Heartfield, 749 F.2d 1138, 1141-42 (5th Cir.1985).15
Hence, she concludes, the court acted without subject matter jurisdiction and
the order in question is void and subject to collateral attack.
65
While the Dallas County court may have erred in determining that it
retained continuing jurisdiction to modify custody pursuant to Stephen's
petition, applying the principles enunciated above, this error would merely
render the order in question voidable, but not void. The court certainly had
potential jurisdiction over the dispute.
66
If a court having potential jurisdiction renders a judgment when the
potential jurisdiction has not been activated, and the defect is apparent from
the face of the judgment, then the judgment is void and subject to either
direct or collateral attack. Fulton v. Finch, 162 Tex. 351, 346 S.W.2d 823 (1961).
If ... the court having potential jurisdiction renders a judgment regular on
its face that contains recitations stating that potential jurisdiction has been
activated, ... then the judgment is voidable, not void, and may be set aside
only by a direct attack. Akers v. Simpson, 445 S.W.2d 957 (Tex.1969). The
latter result is because a court of potential jurisdiction has the power to
determine whether its jurisdiction has been activated, and the recitations
making that determination are immune from attack in a collateral proceeding.
67
Waldron v. Waldron, 614 S.W.2d 648, 650 (Tex.Civ.App.1981); see also
Cavazos v. Hancock, 686 S.W.2d 284, 286-87 (Tex.App.1985). "An error in
interpreting a statutory grant of jurisdiction is not ... equivalent to acting with
total want of jurisdiction and does not render the judgment a complete
nullity." Jones v. Giles, 741 F.2d 245, 248 (9th
Cir.1984); see also Coleman, 550 F.Supp. at 685. We conclude that under Texas
law, the portion of the order in question directing dismissal by plaintiff of
the instant case is entitled to preclusive effect and not subject to collateral
attack.
68
C. Policy-Based Exceptions to the Operation of Sec. 1738
69
In exceptional cases, certain courts have held that full faith and credit
will not be accorded state court judgments regular on their face, where to do
so would defeat a vital and overriding federal interest. See, e.g., Red Fox v.
Red Fox, 564 F.2d 361, 365 n. 3
(9th Cir.1977); American Mannex Corp. v. Rozands, 462 F.2d 688, 690 (5th Cir.), cert. denied, 409
U.S. 1040, 93 S.Ct. 524, 34 L.Ed.2d 489 (1972); 18 Wright, supra, Sec. 4469, at
662-63. Plaintiff contends that if full faith and credit is given to the Dallas
County state court order in this instance, it would be tantamount to permitting
a kidnapper to obtain ransom for the return of her abducted children, and would
defeat the specific purpose of Congress in passing the PKPA to deter interstate
abductions and other unilateral removals of children undertaken to obtain
custody and visitation awards. See note 6 supra.
70
We are not insensitive to plaintiff's argument. Nevertheless, we do not
feel that a judicially created exception to the operation of Sec. 1738 is
appropriate in this situation.
71
We find the PKPA inapposite. As we have stated, plaintiff's cause of action
is not grounded in that statute, but in the Due Process Clause of the
Fourteenth Amendment. As far as this Court is aware, plaintiff has not
attempted to avoid the assertion of jurisdiction by the State of Texas by
filing a petition for custody in Tennessee. Federal jurisdiction under the
PKPA, i.e., a federal interest, does not arise until the courts of two
different states have entered conflicting custody decrees. See Heartfield, 749
F.2d at 1143.
72
As far as the federal interest in protection of civil rights, the Supreme
Court has held that full faith and credit principles apply with equal force in
Sec. 1983 as in other causes of action brought in the federal courts. Allen v.
McCurry, 449 U.S. 90, 101 S.Ct.
411, 66 L.Ed.2d 308 (1980); Migra v. Warren City School District Board of
Education, 465 U.S. 75, 104 S.Ct.
892, 79 L.Ed.2d 56 (1984).
73
Finally, counsel has emphasized that for economic reasons plaintiff was
forced to appear at the October 11 hearing in the Dallas County court without
representation. The Supreme Court has held that the Constitution does not
require the appointment of counsel for indigent parents in every parental
status termination proceeding. Lassiter v. Department of Social Services, 452 U.S. 18, 101 S.Ct. 2153, 68 L.Ed.2d 640
(1981). In light of Lassiter, we do not regard the fact that plaintiff was
unrepresented at the state court hearing as a sufficient basis upon which to
create an exception to the requirement that we give full faith and credit to
the state court order in question.
74
Disposition of Plaintiff's Claim on Remand
75
Although we have held that the order in question is entitled to full faith
and credit and not subject to collateral attack, this holding is relevant only
to the Hooks defendants, Mullins and Churchill, as the order only directs
dismissal of plaintiff's federal case against these defendants. Therefore, we
must remand to the District Court for further proceedings. On remand, the court
is directed to allow plaintiff a reasonable time within which to initiate a
review of the contested portion of the Dallas County court's order in the state
courts in Texas.16 If such a proceeding is initiated, the District Court should
hold her claim against Stephen Hooks in abeyance pending resolution of her
challenge to the validity of the order in question. Should the plaintiff choose
not to initiate such a proceeding, or fail to do so within the time specified by
the District Court, the Court is directed to dismiss her claim against Stephen
Hooks and proceed on her claims against the Blount County Sheriff's Department
defendants and defendant Cornett. The portions of the District Court order
dismissing the claims against defendants Charlotte and Bill Hooks, Mullins and
Churchill are affirmed.
76
IT IS SO ORDERED.
77
WELLFORD, Circuit Judge, concurring.
78
I concur in the result reached by the majority, but write separately to
express my doubt about the necessity of any discussion regarding personal
jurisdiction over defendant Churchill. Because we hold that there is no federal
claim against Churchill, I would hold we lack subject matter jurisdiction over
plaintiff's state claim against him. The rule of Strawbridge v. Curtiss, 7 U.S.
(3 Cranch) 267, 2 L.Ed. 435 (1806), requiring complete diversity, precludes
application of diversity jurisdiction. See C. Wright, Law of Federal Courts 95
(3d ed. 1976). Moreover, I doubt seriously that the state claim against Churchill
and the federal claim against the Tennessee defendants can be said to arise
from a 'common nucleus of operative fact' so as to support any form of
"pendent party" jurisdiction, see Wright, supra at 76, assuming that
such a theory would be applied in this circuit.
1 Mistakenly spelled
"Gardner" in plaintiff's complaint.
2 Two additional
counts in her original complaint requested the issuance of a writ of habeas
corpus to regain custody of her children, and an order directing Stephen Hooks
to pay past due child support and to transfer title to an automobile, pursuant
to Marsha and Stephen's Texas Decree of Divorce. These matters were apparently
resolved to the parties' satisfaction in state court proceedings in Texas
during the pendency of this case, and she does not appeal from the dismissal of
these claims.
3 It is not
contended that she was barred from doing so by the terms of the Texas custody
decree.
4 Churchill had not
to that point and has never filed an answer or made an appearance in this case.
5 The time stamps
indicate that the court's memorandum and order was filed 11:00 a.m., and the
plaintiff's memorandum and affidavit 2:30 p.m.
6 The PKPA provides,
in pertinent part: "The appropriate authorities of every State shall
enforce according to its terms, and shall not modify except as provided in
subsection (f) of this section, any child custody determination made
consistently with the provisions of this section by a court of another
States." 28 U.S.C. Sec. 1738A(a). While plaintiff is correct in identifying
the broad objective of the Act as prevention of parental kidnapping in custody
disputes, this purpose was accomplished by establishing uniform jurisdictional
rules to discourage non-custodial parents from removing their children to
another forum in hopes of obtaining a favorable custody decree, see, e.g.,
Peterson v. Peterson, 464 A.2d 202 (Me.1983), not by creating a private federal
civil rights cause of action.
7 Although not
directly applicable to the events herein, Title 37, ch. 1, pt. 1, of the Tennessee
Code, the General Provisions pertaining to Juvenile Courts and Proceedings,
provide, in part:
37-1-101.
Construction.--(a) This part shall be construed to effectuate the following
public purposes:
....
(4) To provide a
simple judicial procedure through which this part is executed and enforced and
in which the parties are assured a fair hearing and their constitutional and
other legal rights recognized and enforced;
....
37-1-113. Taking
into custody--Grounds.--(a) A child may be taken into custody:
....
(3) By a
law-enforcement officer, social worker of the department of human services, or
duly authorized officer of the court, if there are reasonable grounds to
believe that the conditions specified in Sec. 37-1-114(a)(2) exist.
....
37-1-114 Detention
or shelter care of child prior to hearing on petition.--(a) A child taken into
custody shall not be detained or placed in shelter care prior to the hearing on
the petition unless there is probable cause to believe that:
....
(2) The child is a
neglected, dependent or abused child, and in either case his detention or
shelter is required because the child ... may abscond or be removed from the
jurisdiction of the court, and ... there is no less drastic alternative to
removal of the child from the custody of his parent ... available which would
reasonably and adequately ... prevent the child's removal from the jurisdiction
of the court pending a hearing.
37-1-115.
Custody--Release to proper party--Warrant for custody.--(a) A person taking a
child into custody shall within a reasonable time:
(1) Release the
child to his parents ... upon their promise to bring the child before the court
when requested by the court....
....
37-1-117.
Investigation and release or commitment--Petition--Hearings.--
....
(c) If a child
alleged to be dependent and neglected is removed from the custody of his parent
... prior to a hearing on the petition, a preliminary hearing shall be held no
later than three (3) days after the child's removal....
8 Although she does
state in her affidavit that she contacted Charlotte Hooks after the children
were taken back to Texas by Stephen, and Charlotte told her "that the
Children would not be returned to her, and that she would never see the
Children again," plaintiff does not specifically allege that the children
were living with their grandparents. Even if it had been alleged, that fact
would not necessarily involve them in the plot to obtain unlawful possession of
the children, rather than in a tortious withholding of the children from her rightful
possession, which is not charged by the plaintiff in this case.
9 The jurisdictional
reach of federal courts sitting in diversity is determined by the law of the
state in which the court is located. Jurisdiction under the Tennessee long-arm
statute goes to the limits of due process. Tenn.Code Ann. Sec. 20-2-214(a)(6)
(1980); Pickens v. Hess, 573 F.2d 380, 385 (6th
Cir.1978).
10 Local Rule 12(b),
Eastern District of Tennessee, allows respondent five days after service of
movant's motion and brief to submit a response, brief, or affidavits. However,
Fed.R.Civ.P. 56(c) requires that a summary judgment motion be served at least
10 days before the time fixed for hearing, and that the adverse party may serve
opposing affidavits prior to the hearing date. See Management Investors v.
United Mine Workers, 610 F.2d 384, 389 &
nn. 12-15 (6th Cir.1979). Plaintiff was entitled to 10 days to respond unless
the time was shortened for cause.
11 The District
Court did not specify with respect to the Blount County Sheriff's Dep't
defendants whether it was granting their motion to dismiss or alternatively
their motion for summary judgment. We have already held that plaintiff's
complaint does state a claim upon which relief can be granted; hence, dismissal
under Rule 12(b)(6) would be error. In its memorandum, however, in discussing
plaintiff's treatment by the defendants at the Blount County Jail, the District
Court gives some indication that it considered defendants' affidavits in
issuing its order. Rule 12(b) provides that "[i]f, on a motion ... to
dismiss for failure of the pleading to state a claim upon which relief can be
granted, matters outside the pleading are presented to and not excluded by the
court, the motion shall be treated as one for summary judgment and disposed of
as provided in Rule 56...." See Hildebrand v. Board of Trustees of
Michigan State Univ., 607 F.2d 705, 709-10
(6th Cir.1979). Therefore, we treat the District Court's order as having
granted the Blount County Sheriff's Dep't defendants' motion under Rule 56.
12 We note that
Stinnett did not deny in her affidavit having contact with the other defendants
during the time that these events were allegedly taking place.
13 She does not
appear to contest that the state court had personal jurisdiction over her by
virtue of her appearance at the hearing. "Where the defendant has appeared
in the original action, ... [d]efense to an adverse judgment on the basis of
the failure of the rendering court to obtain jurisdiction of the person is ...
foreclosed, unless the peculiar law of the state in which the judgment was
rendered would honor such a collateral attack." Hazen Research, Inc. v.
Omega Minerals, Inc., 497 F.2d 151, 153 (5th
Cir.1974). Although the Texas Rules of Civil Procedure allow special
appearances to challenge jurisdiction, failure to follow the specific
requirements of the applicable rule renders every noncomplying appearance a
general one. Abramowitz v. Miller, 649 S.W.2d 339, 342 (Tex.App.1983).
14 The PKPA defines
"home state" as "the State in which, immediately preceding the
time involved, the child lived with his parents, a parent, or a person acting
as parent, for at least six consecutive months.... Periods of temporary absence
of any such persons are counted as part of the six-month ... period." 28
U.S.C. Sec. 1738A(b)(4). Plaintiff moved with her children to Tennessee in
January 1983. The "time involved" would be Sept. 2, 1983, when
Stephen filed his petition with the Texas court. Cf. DiRuggiero, supra. If, as
plaintiff contends, she only sent the children to Texas initially for a visit,
that period would not interrupt the running of the six months under Sec.
1738A(b)(4). However, in her affidavit in support of defendants' motion for
summary judgment, Charlotte Hooks contends that plaintiff called requesting
that defendants take the children permanently, because plaintiff could no
longer handle caring for them. As to the time the children were in Texas
between plaintiff's arrest in Tennessee and the time that they were returned to
her, although we need not resolve this question, we have little doubt that, if
the children were wrongfully taken, this period would not affect the status of
Tennessee as their home state of residence under the PKPA and UCCJA.
15 In her affidavit
accompanying counsel's response to this Court's order to show cause, plaintiff
alleges that she objected to the Texas court's jurisdiction at the outset of
the October 11 hearing, but was told by the judge that her presence gave the
court jurisdiction under Texas law. While the court's ruling may have been
correct as to personal jurisdiction over her, see note 13 supra, it would not
appear to be correct with respect to the court's subject matter jurisdiction.
16 It would appear that she may do so either by direct review or mandamus. See Kollman Stone Industries, Inc. v. Keller, 574 S.W.2d 249, 251 & n. 4 (Tex.Civ.App.1978