Lead Opinion
Opinion by Judge TALLMAN; Dissent by Chief Judge KOZINSKI.
Plaintiffs, various Los Angeles County sheriffs deputies, appeal an adverse summary judgment in favor of Sheriff Leroy Baca, the Sheriffs Department, other supervisory officers, and internal affairs investigators. The deputies allege that they were improperly detained at the East Los Angeles Sheriffs Station and later punished through involuntary shift transfers for failing to give non-privileged statements in connection with an internal criminal civil rights investigation of their possible misconduct while on uniformed patrol duty. The deputies alleged § 1983
I
Shortly after 1:30 a.m. on September 5, 2002, Lieutenant Abel Moreno, the Watch Commander on duty at the East Los An-
Sheriffs Department supervisors immediately initiated an internal affairs investigation into victim Flores’s complaint of deputy misconduct. Sergeant Burke went to the hospital and obtained a videotaped statement from complainant Flores. Burke observed obvious physical injuries suffered by Flores. Burke then returned to the station, conferred with his superiors, and informed the deputies who had been at the scene of the search that, at the end of their patrol shift at approximately 6:00 a.m., they should return to the station. They were instructed not to leave work before speaking to internal affairs investigators.
Shortly before 6 a.m., Burke and Moreno informed plaintiff Elizabeth Aguilera that she and the other deputies were now the focus of an internal criminal investigation. The Los Angeles County Sheriffs Department has two separate internal investigation units: the Internal Affairs Bureau (“LAB”), which investigates allegations of an administrative nature and can recommend employee discipline up to and including termination; and the Internal Criminal Investigation Bureau (“ICIB”), which only investigates allegations of a criminal nature for presentation to prosecuting attorneys who can pursue criminal charges against employees.
The deputies, each of whom had served in sworn law enforcement positions for five to twenty years with the Department, were familiar with Sheriffs Department policies and procedures regarding internal criminal investigations. Under the Sheriffs Department’s Manual of Policies and Procedures, officers have an affirmative duty to cooperate during such an investigation. A failure to cooperate can subject a deputy to administrative discipline. The Department’s policies allowed it to require its employees to remain at work beyond their normal shift. When this occurs, the Department compensates its personnel at overtime rates. The deputies had received training on how to manage and process persons suspected of criminal activity.
While the deputies waited at the station to be interviewed, they were told to remain in the report writing room, the basement roll call briefing room, and then the COPS team office, all of which were unlocked. While they were waiting, several supervisors later named as defendants entered the office intermittently to ask if the deputies needed anything to eat or drink. A drinking fountain was available. No one asked the deputies to relinquish their weapons or badges. The deputies were allowed to talk with each other, sleep, make and receive telephone calls, and travel to the bathroom unescorted.
The deputies were never placed under arrest, searched, physically restrained, or otherwise touched or subjected to the use of force. No deputy asked permission to leave the station. While waiting to be interviewed, the deputies completed overtime slips. They later received overtime pay or were otherwise compensated for all time spent at the station after their regular shift had ended.
At approximately 6:30 a.m., the deputies were called to Captain Thomas Angel’s office, the Commanding Officer of the East Los Angeles Station. According to the deputies, Captain Angel announced, in a harsh, accusatory manner, that he knew that one of them had used excessive force
At around 11:30 a.m. or noon, Sergeant Russell Kagy of the ICIB, the lead criminal investigator assigned to the case, began interviewing each deputy sheriff individually. Kagy asked each deputy if he or she would provide a statement, and each declined based on the advice of counsel. No deputy was asked to waive his or her right against having any statement used against him or her in a later criminal proceeding, and no deputy gave either a compelled or voluntary statement at this time. The deputies were advised by Sergeant Kagy that they were not yet formally considered suspects, but at this time they could not be eliminated as suspects either. After each deputy declined to give a statement, Kagy terminated the interview, and the deputies were told they were free to leave the station.
None of the deputies under suspicion could initially be cleared of wrongdoing, and they were each then reassigned from their respective street patrol duties to station duties pending completion of the ongoing investigation into possible criminal violations of the civil rights of Flores. Each deputy attests that the reassignment led to personal hardship.
In the following two months, Sergeant Kagy conducted a thorough investigation into the events of September 5, 2002. Coordinating with prosecutors from the Los Angeles County District Attorney’s Office and the United States Attorney’s Office for the Central District of California, Kagy communicated and met with approximately two dozen individuals; reviewed Department files and audiotapes; and gathered medical records, 911 communication records, and photographs. In August 2003, Sergeant Kagy submitted the case investigation report to the District Attorney’s Office for its consideration of filing criminal charges.
In September 2003, the District Attorney’s Office requested compelled statements from deputies Aguilera, Ramirez, Carrillo and Arellano. During the process of extracting these compelled statements, none of the deputies were asked to waive his or her constitutional right against having the statement used against him or her in a criminal proceeding. Within days of providing their compelled statements to the investigators, the four deputies were
II
We review a grant of summary judgment de novo. Jones v. Union Pacific R.R. Co.,
Also subject to de novo review is the district court’s grant of qualified immunity. Elder v. Holloway,
III
The deputies argue that their detention at their duty station pending questioning amounted to an impermissible seizure under the Fourth Amendment. We have not, before today, had occasion to address whether and under what circumstances a law enforcement officer is seized under the Fourth Amendment when he is ordered by his supervisor to remain at a designated location for questioning about the officer’s possible official misconduct triggering a criminal investigation. “A seizure of the person within the meaning of the Fourth and Fourteenth Amendments occurs when, taking into account all of the circumstances surrounding the encounter, the police conduct would have communicated to a reasonable person that he was not at liberty to ignore the police presence and go about his business.” Kaupp v. Texas,
The application of the Fourth Amendment to the employment context presents special issues. While “policemen, like teachers and lawyers, are not relegated to a watered-down version of constitutional rights,” Garrity v. New Jersey,
We are mindful that, “[o]rdinarily, when people are at work their freedom to move about has been meaningfully restricted, not by the actions of law enforcement officials, but by the workers’ voluntary obligations to their employers.” INS v. Delgado,
As a preliminary matter, we hold that a law enforcement agency has the authority as an employer to direct its officers to remain on duty and to answer questions from supervisory officers as part of a criminal investigation into the subordinates’ alleged misconduct. See Driebel v. City of Milwaukee,
The first issue, then, is whether the deputies were seized without the existence of probable cause. Since the Fourth Amendment does not protect against the threat of demotions or job loss, the relevant constitutional inquiry is whether a reasonable deputy in the position of the plaintiffs would have feared detention if he had refused to obey the commands of his superior officers. See United States v. Anderson,
In identifying which circumstances are most salient to our analysis of whether a seizure took place, we find instructive the Seventh Circuit’s analysis in Driebel,
The Seventh Circuit emphasized the following factors as critical to its calculus of whether a seizure had taken place: the experience level of the subordinate officer, see id. at 647; whether the treatment was consistent with that allowed by department guidelines or general policy, see id. at 649 n. 16; the occurrence of physical contact or threats of physical restraint, see id. at 646, 647, 649 & n. 16; explicit refusal of permission to depart, see id. at 649 n. 16; isolation of the subordinate officer, see id. at 643, 649 n. 16; permission to use the restroom without accompaniment, see id. at 648, 649 n. 16; the subordinate officer’s being informed that he was the subject of a criminal investigation, see id. at 643; whether the subordinate officer was spoken to “in a menacing or threatening manner,” see id. at 648, 649 n. 16; whether the subordinate officer was under constant surveillance, see id. at 646; whether superior officers denied a request to contact ah attorney or union representative, see id. at 648; the subordinate officer’s ability to retain law enforcement equipment, including weapons and badges, see id. at 643, 648, 649 n. 16; the duration of detention, see id. at 646; and the subordinate officer’s receipt of overtime pay, see id. at 643.
We adopt the reasoning articulated in Driebel. Applying these factors to the detention of the deputies in the case at bar, we hold that they were not seized within the meaning of the Fourth Amendment. Each deputy had at least five years of experience and testified to his or her familiarity with the Department’s policies and state criminal law. The deputies were
While the deputies waited to be interviewed, the Department did not employ standard procedures for detaining criminal suspects at the station, such as searching them, booking them, and inventorying their possessions. The deputies must have been aware that, without probable cause, no superior officer was permitted to use force or any show of authority to prevent them from departing the station if they so chose. While the deputies obviously understood that any violation of the order not to leave work might breach administrative rules and could result in their discipline as employees, we do not think that prospect is sufficient to classify this situation as a criminal seizure.
The Department did not create a coercive environment in which to detain the deputies. The deputies were not transported to the station against their will. They were not held in a cell, but rather in unlocked rooms with intermittent supervision. The Department did not refuse any deputy’s request to depart (though no one asked to leave). Supervisors repeatedly asked the deputies if they wanted food or drink and allowed them to travel to the restroom and water fountain unaccompanied. The deputies were not prevented from phoning their attorney or union representative for legal or contractual advice and remained in possession of their Department-issued equipment, including weapons and badges. The deputies were never touched or threatened with physical restraint. They were not isolated from one another or prohibited from speaking with one another. After the deputies were questioned and declined to provide an unprotected statement, they were immediately allowed to leave the station. All were paid overtime. In short, the deputies were not treated like criminal suspects, and they should have known — given their training, years on the force, and familiarity with Department procedures and protocol— that, if they chose to leave the station in defiance of their supervisors’ orders, they might have been subject to administrative discipline but could not have been forcibly detained absent full physical arrest.
Admittedly, some factors militate toward finding that a seizure took place. In particular, the deputies were informed that they were under criminal investigation. In addition, Captain Angel, the highest ranking officer at the station, conveyed in a “harsh, accusatory tone” his belief that one of the deputies had assaulted Flores, he insinuated that the others were covering it up, and he further warned that one or more of them would go to prison and lose their jobs if they were involved in such behavior. While the message may have been delivered in a harsh tone of voice to convince his subordinates that the Captain meant what he said in the hopes of piercing the “blue shield” of silence he thought he was facing, we are not prepared to believe that trained deputy sheriffs would nonetheless have been confused as to their legal and contractual rights under the circumstances. We believe that a reasonable deputy in the plaintiffs’ position would have understood that he was ordered to report and remain at the station until interviewed by ICIB investigators, and that he would likely suffer criminal civil rights prosecution and administrative discipline if the evidence revealed his involvement in the assault of Flores. However, these
We decline to hold that the deputies were seized by their supervisors’ orders, which were issued in accordance with Department policies, to cooperate with a necessary internal criminal investigation. To hold otherwise would equate to a pronouncement that a law enforcement agency cannot, even under negotiated provisions of a labor agreement or the agency’s general policies to preserve public confidence and the integrity of its personnel in the discharge of their public safety responsibilities, order its employees to cooperate in an investigation of possible officer misconduct by standing by at their duty station after the end of their watch. We do not intend to, and will not, act as a super-personnel board to micromanage the employment actions of law enforcement professionals. “Law enforcement agencies are entitled to deference, within reason, in the execution of policies and administrative practices that are designed to preserve and maintain security, confidentiality, internal order, and esprit de corps among their employees.” Driebel,
IV
The deputies contend they were deprived of their Fifth Amendment right (made applicable to the states by the Fourteenth Amendment) against self-incrimination. The deputies argue that supervisors violated this right by forcing them to choose between giving a voluntary, non-immunized statement that could be used against them in subsequent criminal or administrative proceedings and retaining their current job assignments and work shifts. The deputies’ argument is unavailing.
In a series of cases involving the Fifth Amendment rights of public employees, the Supreme Court has made dear that public employees cannot be compelled to choose between providing unprotected incriminating testimony or losing their jobs. See Uniformed Sanitation Men Ass’n v. Comm’r of Sanitation,
The Court was careful, however, to preserve the right of a public employer to appropriately question an employee about matters relating to the employee’s possible misconduct while on duty. In Gardner, the Court noted that the constitutional violation arose not when a public employee was compelled to answer job-related questions, but when that employee was required to waive his privilege against self-incrimination while answering his employer’s legitimate job-related questions. See
We hold that the supervisors did not violate the deputies’ Fifth Amendment rights when they were questioned about possible misconduct, given that the deputies were not compelled to answer the investigator’s questions or to waive their immunity from self-incrimination. Indeed, it appears that the deputies were never even asked to waive their immunity.
The deputies’ Fifth Amendment claim also fails because the deputies were never charged with a crime, and no incriminating use of their statements has ever been made. In Chavez,
V
The deputies argue that the district court erred in concluding that the supervisors’ conduct did not violate the deputies’ Fourteenth Amendment substantive due process rights. In our view, the Sheriffs Department had a legitimate need to determine whether an officer or officers had engaged in criminal behavior under color of office and, until that criminal investigation was resolved, it had a duty to protect the public from the potential for further assaults by the unknown deputy potentially responsible by reassigning all of those involved in the incident to station duty. Even assuming that the deputies were assigned to less favorable shifts and given “degrading” employment positions, we agree with the district court that the reassignment did not transform the questioning into a coercive police investigation under Cooper v. Dupnik,
VI
The district court disregarded police reports of Sergeant Kagjfs internal investigation, which documented the allegations against the deputies, on the basis that they constituted inadmissible hearsay and were not sufficiently reliable to qualify for the business records exception. See Fed.R.Evid. 803(6). The deputies contend on appeal that they offered the reports for the non-hearsay purpose of proving the supervisors’ knowledge of exculpatory facts clearing the deputies of the alleged misconduct on a date much earlier than that on which their former field duties were restored. However, even if the district court erred in failing to consider the reports, we find any error harmless since, even considering the information in the reports, the deputies’ Fifth Amendment and Fourteenth Amendment claims fail as a matter of law.
VII
Because we find that the supervisors did not violate the deputies’ Fourth, Fifth, or Fourteenth Amendment rights, we affirm the district court’s grant of summary judgment in favor of all defendants. Since no violation of any constitutional right occurred, we need not reach the claim against the County under Monell v. Department of Social Services,
AFFIRMED.
Notes
. 42 U.S.C. § 1983 provides, in relevant part: Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State ..., subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress.
. Certain deputies allege that their temporary positions afforded decreased opportunity for earning overtime. However, according to the collective bargaining agreement negotiated between the Department and the deputies’ bargaining representative (the Association for Los Angeles Deputy Sheriffs), deputies who are being investigated internally are not necessarily entitled to overtime assignments sub-slantially related to the matters under inquiry. We read this agreement to mean that deputies being investigated for unlawfully assaulting a member of the public may not be entitled to overtime work assignments in the field involving unsupervised interactions with the public in case the complaint is later sustained by the results of the internal investigation.
. The dissent chastises us for our "selective reading” of Baird, Muegge, and Driebel, because in those cases the officers were either specifically told that their interviews were voluntary, Baird,
. A superior law enforcement officer may briefly stop and question a subordinate officer
. Our colleague in dissent maintains that there is a factual dispute as to whether the officers were compelled to make incriminating statements. If compelled, on the one hand, the officers automatically would be entitled to immunity for any incriminating statements they made. Minnesota v. Murphy,
However, as the Supreme Court emphasized in Gardner, the Constitution is offended not when an officer is compelled to answer job-related questions, but only when the officer is required to waive his privilege against self incrimination while answering legitimate job-related questions.
. The dissent believes that the only constitutionally permissible rule is one that would require public employers to expressly inform employees that "any statements they give can’t be used against them in criminal proceedings” before taking disciplinary action against the employee for refusing to speak. Dissent at 1177-78. This rule, it retorts, would be "easy as pie” to administer and no legitimate argument exists against such an approach. Dissent at 1179. Indeed, the dis
Despite the facial appeal of the rule that the dissent would like us to apply with twenty-twenty hindsight, the contours of permissible public employer conduct have been articulated by the Supreme Court. It is well established that a police supervisor may not compel a subordinate to waive his privilege against self-incrimination. Gardner,
No matter how appealing such a variation on Supreme Court precedent may be, the rule is not required by Gardner. Significantly, the dissent continually glosses over critical facts. Although it notes that Miranda warnings have “become part of our national culture,” Dickerson v. United States,
. The dissent bemoans this dicta statement because the Supreme Court has rejected the notion that actions short of firing a public employee cannot form the basis of a viable Fifth Amendment claim. See Rutan v. Republican Party of Ill.,
. Agreeing on this holding were Chief Justice Rehnquist and Justices Thomas, O'Connor, Scalia, Souter, and Breyer. See id. at 763, 773,
. The dissent makes too much of our citation to Chavez v. Martinez,
Dissenting Opinion
dissenting for the most part:
When a law enforcement agency suspects one of its employees of criminal
Whether the employer is wearing one hat or the other (or both) is often unclear, which can put the employee in a precarious situation by forcing him to choose between disobeying an order from his employer and giving up the constitutional privilege against self-incrimination. In such situations, the employer must not play on this ambiguity to the disadvantage of the employee; rather, it must clarify whether it is questioning the employee in its capacity as an employer or as a law enforcer. Where the employer fails to do this, the employee is entitled to act on the assumption that he is dealing with a law enforcement agency, if a reasonable person in his position would have so believed. Plaintiffs here easily meet this standard, and so they are entitled to bring their case before a jury; this is precisely the kind of conflict that a group of citizens drawn from the community is in the best position to resolve.
1. Arrest Without Probable Cause
Plaintiffs here presented a triable issue of fact on their claim that they were arrested without probable cause because a jury could find, on the evidence presented, that reasonable people in plaintiffs’ position would have believed they were placed under arrest and not merely asked to work overtime. As the majority admits with commendable candor, there is evidence that “militate[s] toward finding that a seizure took place.” Maj. op. at 1170. After all, plaintiffs were told they were under criminal investigation, and they were interviewed by the Internal Criminal Investigation Bureau (ICIB), which investigates only criminal allegations against employees. Id. at 1165. Moreover, plaintiffs’ superior, Captain Angel, speaking in a “harsh, accusatory manner,” told them that he knew one of them had used excessive force on Flores, that the others were covering up and that one or more of them would go to prison and lose their jobs unless they gave statements. Id.
The majority relies on three cases in support of its finding that plaintiffs were not detained, but cites them only selectively. Id. at 1168. United States v. Baird,
Our case is materially different from Baird, Muegge and Driebel. Plaintiffs weren’t told they were free to leave, and they weren’t told they didn’t have to answer questions. Cf. Muegge,
I don’t share the majority’s worry that letting this case go to trial would undermine the employer’s authority to insist that employees remain on duty past their shifts to answer questions. See maj. op. at 1171. An employer can exercise that right without difficulty if he makes it clear that the employees are not under arrest and he avoids the kind of accusations Captain Angel hurled at plaintiffs here. But where the employer brings in criminal investigators, yells at the employees, accuses them of crimes, threatens them with criminal punishment and does not make it clear that they’re not under arrest, a reasonable jury could find that the employees were seized.
If plaintiffs were arrested, the seizure was unconstitutional because the police had no probable cause. Dunaway v. New York,
Nor were defendants entitled to qualified immunity because the law on unconstitutional seizures was “clearly established” at the time of the incident. Saucier v. Katz,
2. Retaliation
Plaintiffs claim that defendants retaliated against them for failing to provide statements about the Flores incident for about a year — until defendants explicitly ordered them to provide such statements. According to plaintiffs, only at that point could they be sure that their statements could not be used against them in criminal proceedings and so they reasonably remained silent to preserve their constitutional privilege against self-incrimination. If defendants had really wanted those statements, they could easily have ordered plaintiffs to provide them at any time following the incident, and thereby have removed all doubt as to whether the statements could be used to prosecute plaintiffs. Instead, defendants played cat and mouse with plaintiffs for 12 months, forcing plaintiffs to guess whether any statements they gave could be used to prosecute them. In other words, defendants put economic pressure on plaintiffs to give up their Fifth Amendment rights — or so a jury could reasonably find on this record. I would therefore remand on this issue as well, and allow it to go to trial.
My disagreement with the majority proceeds along four lines:
a. First, I believe there is genuine doubt as to whether plaintiffs were under compulsion to give a statement, and thus whether any statements they gave could
Significantly, Captain Angel mentioned that plaintiffs could go to prison if they did not make statements; disobeying an employer’s order can result only in job discipline, never criminal punishment. By including the risk of prison as one of the consequences of not speaking, Captain Angel was clearly doing something other than giving a command to a subordinate. Had some of the plaintiffs given statements, and had they been used against them in criminal proceedings, the prosecution would doubtless have claimed that plaintiffs waived their privilege against self-incrimination because Captain Angel’s statement was not a command. I can’t say for sure that such an argument would have failed.
Whether a person faces compulsion is a question of fact, see United States v. Ryan,
This factual dispute is material because, whether plaintiffs faced government compulsion determines whether they had immunity, which in turn determines whether they could be punished for refusing to make self-incriminating statements. Public employees automatically have immunity when they are compelled to make self-incriminating statetnents during criminal investigations related to their official duties. See Minnesota v. Murphy,
b. Second, I would hold that if the government doesn’t expressly inform public employees that any statements they give can’t be used against them in criminal proceedings, it may not punish them for refusing to speak. This strikes me as the only constitutionally permissible rule. It is also the only just rule, and police officers are entitled to be treated justly and with dignity, no less than anyone else.
The Second, Seventh and Federal Circuits have the better approach: The government must tell public employees that they have immunity before it can constitutionally punish them for refusing to make self-incriminating statements. See Weston v. U.S. Dep’t of Hous. & Urban Dev.,
We treat immunity as a substitute for the Fifth Amendment privilege against self-incrimination because immunity “leaves the witness and the [government] in substantially the same position as if the witness had claimed his privilege.” Kasti-gar v. United States,
But even when it is clear that the employee has been given an order, the employee may not know that this gives him automatic immunity. Automatic immunity only leaves a public employee “in substantially the same position as if the [employee] had claimed his privilege,” Kastigar,
We can’t expect public employees who are pressured to give a statement to know that they have immunity. I, for example, had no idea, even though I have been a government employee involved in law-related activities for almost three decades. The employer is in complete control of these situations, and it would be easy as pie for supervisors to inform employees that they have been ordered to speak and therefore have immunity. I can see no legitimate argument against this simple and easily administered rule, which would avoid the kind of mess we have here.
c. Third, the majority’s reliance on Chavez v. Martinez,
d. Fourth, contrary to Supreme Court precedent, the majority would only find unconstitutional retaliation for actions taken against public employees that are the “equivalent to losing one’s job.” Maj. op. at 1173. The Court has rejected the argument that “only those employment decisions that are the substantial equivalent of a dismissal violate a public employee’s [constitutional rights].” Rutan v. Republican Party of III.,
Defendants are not entitled to qualified immunity on plaintiffs’ Fifth Amendment claims, because it was “clearly established,” Saucier,
* ‡ *
I dissent from Parts III, IV, VI and VII. I join Part V because defendants didn’t violate plaintiffs’ substantive due process rights.
. State courts — including California where these events took place — have also adopted this position. See, e.g., Eshelman v. Blubaum,
. Because I would hold that plaintiffs could establish a Fifth Amendment violation, the district court's exclusion of Sergeant Kagy's ICIB report wasn’t harmless error. Rather, the district court abused its discretion in excluding the report because plaintiffs offered it for the non-hearsay purpose of proving the police department knew that plaintiffs hadn't harmed Flores months before plaintiffs were returned to their pre-investigatory duty assignments. See Standard Oil Co. of Cal. v. Moore,
