Opinion
East Hartford police officer Brian Aselton (decedent) was fatally shot when he unexpectedly encountered a home robbery in progress after having been dispatched to respond to a 911 “check welfare” call. The issue in this appeal is whether the plaintiff, John Aselton, administrator of the decedent’s estate, can state a claim for a violation of substantive due process under the state and federal constitutions against employees of the East Hartford police department who allegedly were responsible for dispatching the decedent to the scene with inadequate and misleading infoimation. The plaintiff appeals from the judgment of the trial court rendering summary judgment in favor of the defendants, East Hartford police chief James Shay and East Hartford police dispatch employees Patricia Learned, William Madore and Deborah Rataic.
The record reflects the following facts, as read in the light most favorable to the plaintiff as the nonmoving party for summary judgment. On January 23, 1999, at approximately 9:13 p.m., Learned, an intake dispatcher with the East Hartford police department, had been engaged in a forty-five minute personal telephone call when a 911 telephone call came in from a complainant, Mark Myers. Learned put her personal call on hold,
“[Learned]: East Hartford Emergency.
“[Myers]: Yes, madam, 454 Main Street.
“[Learned]: Uh hum.
“[Myers]: Apartments—I just heard some loud noise, some groaning and yelling, I don’t know what’s going on—some loud noise from outside—maybe somebody fell down the stairs—there’s somebody yelling and groaning—I don’t know what’s going on.
“[Learned]: What apartment are you in?
“[Myers]: I’m sorry—above Car Quest Auto Parts Store.
“[Learned]: What apartment are you in?
“[Myers]: I’m in [five]—nothing wrong here—but I heard some noise outside.
“[Learned]: Like where outside?
“[Myers]: It seems like in the apartment across— maybe some loud noise, somebody yelling, someone groaning—I have no idea what’s going on here.
“ [Learned]: So you’re not sure exactly what happened and you haven’t gone out to check?
“[Myers]: No I didn’t look. I don’t know what’s going on.
“[Learned]: OK, well, we’ll send somebody out.
“[Myers]: OK.
“[Learned]: Bye.”
While taking the call, which lasted approximately forty-five seconds, Learned typed the following information into the dispatch screen for transfer to radio
At approximately 9:16 p.m., the decedent and fellow police officer Mike Weglarz independently arrived on the scene, checked outside 454 Main Street in East Hartford near Car Quest Auto Parts and found no disturbance. The decedent then contacted the dispatcher, asking whether Myers wished to be seen. Rataic asked out loud whether Myers wanted to be seen, but Learned, who still was engaged in a personal call, did not answer. Madore then instructed Rataic that a complainant prob
Thereafter, internal and independent investigations were conducted into the circumstances leading to the decedent’s death. Shay attempted to pressure an internal affairs investigator into issuing a report that mirrored a preliminary internal report concluding that the 911 call had not been mishandled; however, a report based on a subsequent independent investigation into the incident concluded that, “it is highly likely that the response of the officers that evening would have been different had they had the same pertinent information received by . . . Learned,” meaning that the decedent
The plaintiff subsequently commenced this action against the defendants; see footnote 1 of this opinion; seeking compensatory and punitive damages. The complaint alleged: common-law claims of negligent, reckless and wilful misconduct; violations under article first, §§ 4, 7, 8, 9, 10 and 14 of the Connecticut constitution; and violations under the first, fourth, sixth and fourteenth amendments to the United States constitution, pursuant to 42 U.S.C. § 1983. The defendants thereafter moved for summary judgment on all the claims, and the trial court granted the motion. In its memorandum of decision, the trial court first noted that the plaintiff had conceded, apparently at oral argument, that the exclusivity provision of the Workers’ Compensation Act, General Statutes § 31-284 (a), barred the defendants’ liability for the common-law negligence and recklessness counts. With respect to the claims for wilful misconduct, the court concluded that there was no evidence from which a reasonable person could conclude that any of the defendants had acted with the intent to expose the decedent to deadly force. The trial court also rejected the plaintiffs claims for common-law damages directly under the Connecticut constitution, concluding that such claims were barred by virtue of the Workers’
Finally, the court turned to the plaintiffs federal constitutional claims, first noting that the plaintiff had abandoned all such claims except those alleging a violation of substantive due process. It then determined that the standard set forth by the United States Supreme Court for establishing such a violation is whether the defendants’ conduct “shock[s] the conscience.” In concluding that the plaintiff could not meet this standard, the court reasoned: “[T]here is no genuine factual dispute that the [defendants] never harbored an intent that [the decedent] be injured when he was dispatched to respond to the emergency call. Neither does unwittingly dispatching an officer to a place where he unexpectedly encounters an armed burglar, willing to kill him, shock the conscience. Negligence, recklessness, and even callous indifference by police personnel who dispatched [the decedent] that night are insufficient to create a substantive due process violation . . . .” Accordingly, the trial court rendered summary judgment for the defendants.
The plaintiff moved for reconsideration of the judgment, claiming, inter alia, that the trial court had failed to consider: (1) the theory of “state created danger” as a basis for liability for a substantive due process violation under the federal constitution, because the defendants’ conduct had increased the risk of harm to the decedent; and (2) his claim against Shay on the basis of supervisory liability. The trial court denied the motion for reconsideration, and this appeal followed.
On appeal, the plaintiff challenges the trial court’s judgment only with respect to the substantive due pro
The defendants respond that the trial court properly rendered summary judgment on the federal due process claims because: (1) it is questionable whether the theory of state created danger remains viable after recent United States Supreme Court decisions requiring conscience shocking conduct, but to the extent that it survives, it does not apply in the law enforcement context; (2) intentional conscience shocking conduct is the proper standard for establishing a violation under the facts of this case; and (3) the trial court did not need to address the supervisory liability claim against Shay because the plaintiff had failed to establish the necessary predicate of an underlying constitutional violation. With regard to the due process claims under the Connecticut constitution, the defendants contend that we need not consider these claims because the plaintiff
Guiding our inquiry as to all of the claims is our well established standard of review of atrial court’s decision granting a motion for summary judgment. “In deciding a motion for summary judgment, the trial court must view the evidence in the light most favorable to the nonmoving party. . . . The party moving for summary judgment has the burden of showing the absence of any genuine issue of material fact and that the party is, therefore, entitled to judgment as a matter of law. ... On appeal, we must determine whether the legal conclusions reached by the trial court are legally and logically correct and whether they find support in the facts set out in the memorandum of decision of the trial court.” (Citation omitted; internal quotation marks omitted.) Cogan v. Chase Manhattan Auto Financial Corp.,
I
We begin with the plaintiffs substantive due process claims under the federal constitution. These claims give rise to three issues. We first must consider whether the theory of state created danger is a viable basis upon which to state such a claim. If so, we must determine whether the requisite culpability for establishing liability is deliberate indifference or intent to harm. If the former, we must consider whether the evidence viewed in the light most favorable to the plaintiff can establish such culpability.
The plaintiffs federal constitutional claims rest on the due process clause of the fourteenth amendment.
A
The state created danger theory on which the plaintiff relies has its genesis in DeShaney v. Winnebago County
The DeShaney court acknowledged the “undeniably tragic” facts of the case; id., 191; but rejected the petitioners’ contention that the respondents’ failure to discharge their duty to protect Joshua was an abuse of governmental power that so “shocks the conscience,” a standard first articulated by the court in Rochin v. California,
The court rejected the petitioners’ position that the case fell within a limited class of “special relationship” cases wherein the court had recognized an affirmative duty to protect. Id., 197-98. It noted that the duty arose in those cases because the person requiring aid was in the custody of the government, such as a prison inmate or an institutionalized person. Id., 199-200. Of particular relevance to this case, the court then went on to explain: “[The] [petitioners concede that the harms Joshua suffered occurred not while he was in the State’s custody, but while he was in the custody of his natural father, who was in no sense a state actor. While the State may have been aware of the dangers that Joshua faced in the free world, it played no part in their creation, nor did it do anything to render him any more vulnerable to them. That the State once took temporary custody of Joshua does not alter the analysis, for when it returned him to his father’s custody, it placed him in no worse position than that in which he would have been had it not acted at all; the State does not become the permanent guarantor of an individual’s safety by having once offered him shelter. Under these circumstances, the State had no constitutional duty to protect Joshua.” Id., 201.
In Collins v. Harker Heights, supra,
A unanimous Supreme Court affirmed the judgment of the Fifth Circuit Court of Appeals affirming the District Court’s judgment dismissing the action on the ground that the plaintiff had failed to allege a constitutional violation. Id., 117-18, 125. In doing so, the court
The court then noted that “[a] fair reading of [the plaintiffs] complaint does not charge the city with a wilful violation of [her decedent husband’s] rights. [The plaintiff] does not claim that the city or any of its agents deliberately harmed her husband. In fact, she does not even allege that his supervisor instructed him to go into the sewer when the supervisor knew or should have known that there was a significant risk that he would be injured. Instead, she makes the more general allegation that the city deprived him of life and liberty by failing to provide a reasonably safe work environment. Fairly analyzed, her claim advances two theories: that the Federal Constitution imposes a duty on the city to provide its employees with minimal levels of safety and security in the workplace, or that the city’s ‘deliberate indifference’ to [her husband’s] safety was arbitrary government action that must ‘shock the conscience’ of federal judges.” Id., 125-26.
The court rejected both theories. With respect to the first theory, the court noted that, “[n] either the text nor the history of the Due Process Clause supports [the plaintiffs] claim that the governmental employer’s duty to provide its employees with a safe working environment is a substantive component of the Due Process Clause.” Id., 126. The court reiterated its admonition in DeShaney that the government cannot be held hable for failing to take affirmative action to protect individuals from harm from other sources. Id.
Six years after its decision in Collins, the Supreme Court had an opportunity to expound on the state of
In reaching that conclusion, the court first underscored that its prior decisions on this issue “repeatedly [had] emphasized that only the most egregious conduct can be said to be arbitrary in the constitutional sense . . . .” Id., 846. Accordingly, conduct intending to injure without legitimate justification would be the type of arbitrary governmental action that would most clearly meet the “shocks the conscience” standard. Id., 849. The court posited, however, that, “[w]hether the point of the conscience shocking is reached when injuries are produced with culpability falling within the middle range, following from something more than negligence but less than intentional conduct, such as recklessness or gross negligence ... is a matter for closer calls.” (Citation omitted; internal quotation marks omitted.) Id. The court noted that it previously had determined that a cognizable claim could be stated under the standard of “deliberate indifference” in the context of a denial of medical needs when a person is under the care and custody of the government and thereby deprived of the opportunity to provide for his or her own needs. Id., 849-51.
B
Each party asserts a different view of the impact of Collins and Lewis on the plaintiffs claims. The plaintiff asserts that, contrary to the trial court’s decision, the defendants may be held liable under the state created danger theory, and that, under the reasoning of Lewis, deliberate indifference, and not intent to harm, is the requisite state of mind to be applied in this case. Specifically, the plaintiff contends that, because the evidence reflects that the defendants had time to deliberate before the decedent entered the building where he confronted Sostre, according to Lewis, a standard of deliberate indifference sensibly can be applied. The plaintiff points to the fact that approximately nine minutes lapsed between the time Myers called and the police were notified that an officer was down in the building, and he asserts that Learned had plenty of time to probe
In response, the defendants first contend that the plaintiff cannot proceed under the theory of state created danger because courts either have rejected the theory altogether as superseded by Collins and Lewis or have expressed reluctance to apply the theory to law enforcement officials. The defendants next assert that, even if the theory is viable, Collins and Lewis require that the plaintiff prove intent to harm, not deliberate indifference, and, accordingly, his claims must fail. They claim that this case squarely fits within the facts of Collins, wherein the court rejected similar claims of culpability. They also claim that, under Lewis, intent to harm is the requisite state of mind by virtue of the nature of emergency dispatch work, which, by necessity, precludes true deliberation. They point to the one minute and forty-five second period between Myers’ call and the dispatch to the police officers.
We agree with the plaintiff that the state created danger theory controls this case and that the proper state of mind is deliberate indifference. We nevertheless
As an initial matter, we disagree with the plaintiffs characterization of the trial court’s decision in one significant respect. We disagree that the trial court failed to consider the state created danger theory. It is axiomatic that the due process clause is a limitation on government action, designed to prevent it “from abusing [its] power, or employing it as an instrument of oppression . . . .” (Internal quotation marks omitted.) DeShaney v. Winnebago County, supra,
The defendants, however, contend that the state created danger theory cannot be applied, and, therefore, we begin by considering whether the plaintiff can meet the threshold requirement of attributing the harm to
The defendants suggest, however, that the state created danger theory is inapplicable to the specific context of the present case, namely, where a law enforcement official was injured in the course of his employment. It appears that only a few courts have considered claims of state created danger theory as applied to law enforcement officers, and in all of those cases, the courts have rejected the claims.
We decline herein to adopt the limitation suggested by the defendants for several reasons. First, we hesitate to deny a discrete class of individuals the right to assert a constitutional claim irrespective of the degree of egregiousness of the government’s conduct. Under such an approach, a law enforcement official would be denied relief even if it could be proved that the government acted with actual intent to harm. Second, to the extent that the cases rejecting due process claims under the theory of state created danger in the context of law enforcement suggest a legitimate concern, namely, that the very nature of the work itself—sending police officers to respond to dangerous situations—could give rise to liability, such a concern can be addressed in determining whether the conduct shocks the conscience. See Sacramento v. Lewis, supra,
In light of our conclusion that the plaintiff may proceed under the theory of state created danger, we turn to the question of the requisite level of culpability. The few courts to have considered substantive due process claims involving 911 calls have applied the deliberate indifference standard, rather than intent to harm. See Beltran v. El Paso,
The meaning of deliberate indifference, in the context of state created danger, post Collins and Lewis, sets forth a stringent standard. It has been described as “equivalent to the concept of recklessness utilized in the criminal [context] . . . [requiring] that the [actor] have an actual, subjective appreciation of an excessive risk of serious harm to [the victim’s] health or safety and that [the actor] ‘consciously disregard[ed]’ that risk.” [Citation omitted.] Schieber v. Philadelphia, supra,
Viewing the evidence in the present case in the light most favorable to the plaintiff, as we must; Cogan v. Chase Manhattan Auto Financial Corp., supra,
Although we can surmise from these facts that Learned recognized the possibility that someone may have been injured, she neither knew that someone in fact had been injured, nor did she know the source of that injury. Accordingly, we cannot impute to her the knowledge and, therefore, the conscious disregard of facts that we have learned in hindsight: that someone was in fact injured; that the injury was caused by violent criminals, rather than by accident; that the armed criminals still were present at that location; and that, by dispatching police officers to that site without sufficient information or misinformation as to the facts, those officers were more likely to come in contact with one of those armed criminals. Cf. Beltran v. El Paso, supra,
Similarly, the actions of Madore and Rataic do not indicate that they appreciated and disregarded a serious risk to the decedent’s safety that night. Madore and Rataic merely relayed the facts that Learned had input into the dispatch screen, but never questioned Learned’s coding of the call as high priority. To the extent that they erroneously informed the decedent that Myers wished to be seen, they were not aware of sufficient facts from which we can impute to them the knowledge that by doing so they would be directing the decedent toward a dangerous situation. Compare Monfils v. Taylor,
Finally, turning to the supervisory liability claim against Shay, “a supervisor may be found liable for his deliberate indifference to the rights of others by his failure to act on information indicating unconstitutional acts were occurring or for his gross negligence in failing to supervise his subordinates who commit such wrongful acts, provided that the plaintiff can show an affirmative causal link between the supervisor’s inaction and [the] injury.” Poe v. Leonard,
We are mindful that the defendants’ failure to provide the decedent with complete and accurate information impeded his ability to assess the incident effectively and to avoid the ambush awaiting him. The defendants’ acts and omissions, however, do not meet the stringent standard set forth by the United States Supreme Court. Indeed, the nature of 911 dispatch work strongly counsels against imposing liability except where the conduct is extraordinarily egregious because the job routinely requires dispatching officers into dangerous and even potentially deadly situations. We do not intend to suggest that negligence, whether gross or minimal, should be tolerated when life and limb are at risk. Our law enforcement officials face great enough potential for harm at the hands of violent criminals without saddling
II
We next turn to the plaintiffs claims seeking common-law damages for substantive due process violations under article first, § 8, of the Connecticut constitution.
The plaintiff has not recognized, nor has he applied the six Geisler factors, with the exception of his discus
Moreover, to the extent that the plaintiff has analyzed the issue, he has provided us with nothing more than a case that stands for the general proposition that we may recognize broader protections under the state constitution, cases in which we specifically declined to recognize more expansive due process rights under our constitution and arguments as to why the workers’ compensation scheme would not preclude our recognition of such rights. Therefore, even if we were inclined to consider his claim, he has offered us no case law or other authoritative support weighing in favor of his proposition that we should recognize more expansive state constitutional rights than those afforded under the federal constitution. See State v. Gibbs,
The judgment is affirmed.
In this opinion the other justices concurred.
Notes
Also named as defendants were the town of East Hartford (town), John Doe No. 1, Alex Sostre, Nancy Forty, Erika Vilchel and Jose Gonzalez. Before discovery was initiated, the trial court dismissed the claims against the town. That ruling is not at issue in this appeal, and Sostre, Forty, Vilchel and Gonzalez are not parties to this appeal. Although the motion for summary judgment was granted as to the defendant John Doe 1 also, absent any identification as to this individual, references in this opinion to the defendants are to Shay, Learned, Madore and Rataic.
Rataic issued the following communication: “On a check welfare at 454 Main Street, Apartment 5—454 Main Street, Apartment 5, complainant Mark Ryers reports he heard a loud noise and someone yelling. He has no idea what it’s about and is not willing to go look. ” It appears that Rataic mistakenly referred to Myers as Ryers because his named was misspelled in the 911 telephone monitor. Although it is not entirely clear from the record what the “check welfare” classification specifically indicates, police officers interviewed as part of an investigation into the circumstances leading to the decedent’s death inferred from the substance of the dispatch that it was a noise complaint.
Our opinion in State v. Sostre,
The plaintiff appealed from the judgment of the trial court to the Appellate Court, and we thereafter transferred the appeal to this court pursuant to General Statutes § 51-199 (c) and Practice Book § 65-1.
The federal due process clause provides in relevant part: “[N]or shall any State deprive any person of life, liberty or property, without due process of law . . . .” U.S. Const., amend. XIV, § 1.
The United States Supreme Court previously had considered the issue of governmental liability for third party actions in Martinez v. California,
Most courts have construed the special relationship exception narrowly to require that the government actually have taken custody of, or imposed restraint on, the victim. See, e.g., Sargi v. Board of Education,
In the following cases, the circuit courts indicated that they had recognized both the special relationship and state created danger theories following DeShaney: Velez-Diaz v. Vega-Irizarry,
In support of this contention, the plaintiff submitted transcripts of other 911 calls taken by Learned in which, when she was not distracted by a personal telephone call on hold, as in the present case, she spent considerably more time on the emergency calls and asked more probing questions to clarify the circumstances prompting the calls.
Although one Circuit Court of Appeals adopted the position advocated by the defendants in this case, concluding that the theory no longer was viable because it had been superseded by the “shocks the conscience” standard under Collins and Lewis, see Waddell v. Hemerson,
We note that the circuit courts have not adopted a uniform test for determining whether a plaintiff prevails on a state created danger theory of liability. Compare, e.g., Schroder v. Fort Thomas,
In only one of these cases did the court expressly reject the theory of state created danger as applied to law enforcement officials as a matter of law; see Pahler v. Wilkes-Barre, 207 F. Sup. 2d 341, 351 (M.D. Pa. 2001), aff'd,
We, therefore, reject the defendants’ contention that claims by public employees are barred absent a showing of an intent to harm. See also, e.g., Uhlrig v. Harder,
The due process clause under article first, § 8, of the Connecticut constitution essentially mirrors the federal constitution and provides in relevant part: “No person shall be . . . deprived of life, liberty or property without due process of law . . . .”
