IMELDA C. CANTU, Plaintiff-Appellee, VERSUS WILLIE ROCHA, IN HIS INDIVIDUAL CAPACITY, ET AL., Defendants, WILLIE ROCHA, in his individual capacity GREG SALAZAR, in his individual capacity and PHILIP ETHRIDGE, in his individual capacity Defendants-Appellants.
No. 94-60380 No. 94-60577
UNITED STATES COURT OF APPEALS For the Fifth Circuit
February 28, 1996
Before JOLLY, SMITH, and DeMOSS, Circuit Judges.
Appeal from the United States District Court for the Southern District of Texas
This suit arises out of plaintiff Imelda Cantu‘s allegation that she was sexually assaulted at a party thrown by the University of Texas-Pan-Am‘s criminal justice club. Cantu initiated this civil action against several state actors, based on their alleged mishandling of the assault investigation and other conduct which occurred after the assault. This appeal involves only three of the
I. RELEVANT FACTS
On the evening of December 14 and the early morning hours of December 15, 1990, UT-PA‘s criminal justice club threw a party in three adjacent rooms at the Bahia Mar Resort Hotel on South Padre Island.1 The central room was used for dancing and refreshments. The side rooms were used for rest and bathroom facilities. About twenty students attended the party, which was supervised by
A. The Ethridge Meeting and Subsequent Events
Cantu did not immediately report the incident to law enforcement. She did, however, discuss what happened at the party with fellow students. Several months later, on April 3, 1991, Professor Ethridge was approached by several female students, including Rosa Linda Flores, Veronica Galvan, Yolanda Escobar, Rosalba Ramos and Maria Solis. The women informed Ethridge that Cantu was telling people she had been sexually assaulted at the December party. On April 5, a meeting was held to discuss the allegations. Present were Ethridge, the Dean of Students, an assistant professor in the criminal justice department, Ms. Cantu and several female students, including Rosa Linda Flores, Sylvia Galvan and Cynthia Rodriguez. At that meeting, Flores and Sylvia Galvan, who were both present at the party, related details strongly suggesting that the sexual activity between Cantu and Lopez was consensual. Based on that information, Ethridge suggested that Lopez should be present to give his side of the story. Cantu was offended by Ethridge‘s remark and took it as evidence that Ethridge did not believe her account of the assault. After the April 5 meeting, Cantu alleges, Ethridge embarked on a course of conduct intended to intimidate her, which included the following acts: (1) following her in the hallways; (2) obstructing her passage from a water fountain; (3) showing up in a classroom
Cantu claims that she was injured by Ethridge‘s behavior because she was unable to attend class if he was substituting and had to delay her graduation to avoid taking classes taught by Ethridge. On appeal, Cantu‘s only claim against Ethridge is a state law claim for intentional infliction of emotional distress.
B. The Garza Meeting
On April 10, 1990, Cantu met with Edinburg Chief of Police Raul Garza. Garza claims that he informed Cantu and her mother that they needed to file a complaint with the South Padre Island Police Department, which had jurisdiction over the offense. When Cantu hesitated, Garza suggested that the UT-PA police department be consulted and phoned the chief of the UT-PA police department, Greg Salazar, who joined the meeting. After Cantu, Garza and Salazar discussed the assault, Chief Salazar opined that the UT-PA police department would have concurrent jurisdiction with the South Padre Island Police Department. Both Chief Garza and Chief Salazar understood that Cantu wanted the UT-PA police department to investigate. Cantu does not claim that she made any statement or took any action at that time to dispel that understanding. Cantu
C. The Rocha Investigation
Salazar assigned Rocha to investigate Cantu‘s assault allegation. Shortly thereafter Rocha interviewed three of Cantu‘s friends: Veronica Galvan, Yolanda Escobar and Maria Solis. Veronica Galvan, along with her sister Sylvia Galvan (not interviewed) were present at the party and drove home to Edinburg with Cantu. Veronica Galvan signed an affidavit memorializing the interview. Galvan‘s affidavit states that she observed Cantu and Lopez dancing in a “provocative way” which involved “grabbing his butt and penis.” Later that evening when she and several friends tried to get Cantu out of the bathroom and away from Lopez, Cantu shook her fist at them and told them to leave her alone, which they did. The next morning Cantu looked nervous and began crying on the way home. Cantu stated she was ashamed of what she had done and that she was going to Planned Parenthood to be checked. Later Cantu told Veronica Galvan that she had bruises in her mouth and that she had “slept” with Lopez. Veronica Galvan stated that she did not know whether Cantu was raped or willingly participated.
Maria Solis, who also did not attend the party, signed an affidavit stating that Cantu had confided she was embarrassed about what happened at the party. Sylvia Galvan also confided in Solis. According to Solis, Sylvia Galvan claimed to have seen Cantu performing oral sex on Lopez. Sylvia Galvan told Solis that several women repeatedly tried to get Cantu away from Lopez, but that Cantu would not leave and, with a raised fist, told them to leave her alone.
Cantu alleges that Rocha made statements in these witness interviews with Galvan, Escobar and Solis that impeached her virtue and damaged her reputation. Cantu‘s allegations are supported by affidavits from the three witness-interviewees in which Galvan, Escobar and Solis state that Rocha unnecessarily prolonged the interviews and inappropriately offered his opinion of the case. Veronica Galvan and Escobar stated that Rocha made the following offensive statements: (1) that the incident “did not seem like rape“; (2) that Cantu “had the hots” for Lopez; (3) that there is only so much provocation a person can take; (4) that Cantu, Lopez and another woman were involved in a “love triangle” (illustrated
The UT-PA investigation was eventually dropped when Cantu did not file a formal complaint. Subsequently, university officials reached the conclusion that alleged sexual assault fell outside the jurisdiction of the UT-PA police department. In August 1991, Cantu reported the incident to the South Padre Island Police Department. The grand jury, however, failed to indict and no criminal action has ever been prosecuted.
II. PROCEDURAL HISTORY
Cantu sued initially in state court. Defendants removed and filed motions: (1) for review of their immunity defense; (2) for protection from discovery pending resolution of the immunity issue and (3) for dismissal or summary judgment. Defendants’ motion for protection pending resolution of the immunity issue was granted. Cantu moved for permission to amend her complaint, which was also granted. Defendants filed supplemental motion(s) for dismissal or summary judgment, alleging new grounds. In March 1994, the
After Cantu filed objections, the district court heard argument on the immunity issue and Cantu was again granted permission to amend her petition. In her third amended complaint Cantu alleged causes of action against Rocha and Salazar for invasion of her federal constitutional right to privacy, state law causes of action against Rocha for invasion of privacy and defamation, and a state law cause of action against Ethridge for intentional infliction of emotional distress.
On April 26, 1994, the district court entered an order granting the defendants immunity from damages in their official capacities but denying Rocha, Salazar and Ethridge qualified immunity in their individual capacities.2 Defendants Rocha, Salazar and Ethridge filed a notice of appeal, which was docketed as appeal number 94-60380. On July 14, 1994, the district court entered a second order denying defendants’ motion(s) to dismiss or for summary judgment on grounds other than immunity. Defendants Rocha, Salazar and Ethridge filed a second notice of appeal, which
III. APPELLATE JURISDICTION
As an initial matter, we must address the basis of our jurisdiction over defendants’ appeal. Mosley v. Cozby, 813 F.2d 659, 660 (5th Cir. 1987). Federal courts of appeal have jurisdiction of “appeals from all final decisions of the district courts.”
Johnson concerned three police officers’ appeal from denial of their summary judgment motion seeking qualified immunity from plaintiff‘s claim that they beat the him during an arrest. The officers conceded they were present during the arrest, but denied that they had beaten the plaintiff or been present while others did so. Id. at 2153. The district court denied the motion. Id. at 2154. The Seventh Circuit held that it lacked appellate jurisdiction over the police officers’ “`evidence insufficiency‘” contention that `we didn‘t do it.‘” Id. at 2154. The Supreme Court affirmed. Allowing interlocutory appeal of orders decided by resolution of a factual dispute central to the underlying claim, the Court stated, violates the collateral order doctrine‘s requirement that determination of the interlocutory issue be conceptually distinct from the merits of the underlying case. Id. at 2157. Unlike the present appeal, the defendants in Johnson did not contend that when taking all of the plaintiff‘s factual allegations as true no violation of a clearly established right was shown. To the contrary, it was undisputed that if the ultimate facts showed that the defendants participated in the alleged beating, then the defendants had violated the plaintiff‘s clearly
In Behrens v. Pelletier, No. 94-1244, 1966 WL 71218 (U.S. Feb. 21, 1996), the Supreme Court clarified that Johnson “permits [the defendant] to claim on appeal that all of the conduct which the District Court deemed sufficiently supported for purposes of summary judgment met the Harlow standard of `objective legal reasonableness.‘” Id. at *8. Thus, in Behrens, the district court‘s determination that “material issues of fact remain” did not preclude appellate review. Id. In the wake of Behrens, it is clear that Johnson‘s limitation on appellate review applies only when “what is at issue in the sufficiency determination is nothing more than whether the evidence could support a finding that particular conduct occurred.” Id.
A. Federal Immunity - § 1983 Claims Against Rocha and Salazar
Applying these principles, we conclude that the Court has appellate jurisdiction to review the district court‘s denial of defendant Rocha and Salazar‘s summary judgment motion seeking qualified immunity from Cantu‘s federal law claims under
B. State Law Immunity - Claims Against Rocha and Ethridge Based on Texas Law
Defendants Rocha and Ethridge also appeal the district court‘s denial of qualified immunity under state law from Cantu‘s state law claims for invasion of privacy (Rocha), defamation (Rocha) and intentional infliction of emotional distress (Ethridge). Whether an order is an appealable “final decision” for purposes of
In Texas, qualified immunity encompasses an immunity from suit. Therefore, under Sorey, orders premised on the denial of qualified immunity under Texas state law are appealable in federal court to the same extent as district court orders premised on the denial of federal law immunity. The issue then becomes whether the district court‘s denial of Rocha and Ethridge‘s summary judgment motions on the issue of immunity “turned on an issue of law,” as required by Mitchell and Johnson.
The district court‘s order only generally denies Rocha‘s assertion of immunity, and does not explicitly address Rocha‘s entitlement to immunity from suit on Cantu‘s state law defamation and invasion of privacy claims, which are based on Rocha‘s statements to Cantu‘s friends in the course of the investigation. The summary judgment record nonetheless demonstrates that there is no material fact dispute about what Rocha said or did during the interviews. Thus, resolution of Rocha‘s entitlement to state law immunity may be decided by applying well-established principles of Texas law to the facts, which are given for the purposes of appeal. For that reason, the district court‘s decision may be considered “final” for purposes of
As to Ethridge, the district court concluded that he was not entitled to immunity because the acts alleged by Cantu, harassment and intimidation, could not be considered acts authorized by his employer, the University. In other words, taking the plaintiff‘s allegations as true, the district court held that Ethridge was not entitled to immunity under Texas “official immunity” law. The district court‘s order therefore turned on an issue of law.
Although Ethridge squarely denies the conduct alleged by Cantu, his qualified immunity defense does not present the sort of “evidence sufficiency” point held not to be appealable in Johnson. The district court essentially assumed the truth of Cantu‘s allegations, thereby assuming the disputed factual issue in her favor. (In this connection it is important to understand that it is not the district court‘s assumption of the disputed factual issue that Ethridge appeals; indeed, under Johnson, he could not interlocutorily appeal such a ruling. Johnson, 115 S. Ct. at 2158.)) The district court then applied the controlling principles of Texas qualified immunity law -- whether the acts complained of were within the scope of the defendant official‘s authority -- to determine the issue of immunity.
In this case, review of Ethridge‘s assertion on appeal would not require this court to decide, on the basis of a limited record, a disputed factual issue that may well be resolved at trial, i.e.,
The District Court‘s July 14 Order - Appeal Number 94-60577
The two orders on appeal are not clearly referenced to the defendants’ multiple motions for dismissal or summary judgment. Nonetheless, it is obvious from the record that the district court intended to delineate immunity issues, which are addressed in the order appealed by docket number 94-60380, from other grounds for dismissal or summary judgment, which are addressed in the order appealed by docket number 94-60577. Any discussion of the subject defendants’ entitlement to summary judgment on the basis of immunity in the district court‘s July 14 order is duplicative to its analysis on April 26.
The Supreme Court has been reluctant to endorse the exercise of pendant appellate jurisdiction over rulings that, while being related to the denial of qualified immunity, are not themselves independently appealable prior to judgment. See Swint v. Chambers County Comm‘n, 115 S. Ct. 1203, 1212 (1995) (finding exercise of pendant appellate jurisdiction improper where review of the county‘s summary judgment motion was neither “inextricably intertwined” with nor “necessary to ensure meaningful review” of the district court‘s denial of qualified immunity). Defendants do
IV. QUALIFIED IMMUNITY
Having successfully negotiated the path mandated by Mitchell, Johnson and Sorey, we proceed to review the district court‘s denial of Rocha, Salazar and Ethridge‘s motions for summary judgment on the basis of qualified immunity de novo, using familiar standards. Harper v. Harris County, 21 F.3d 597, 600 (5th Cir. 1994).
A. Federal § 1983 Right To Privacy Claims - Rocha and Salazar
Federal immunity law shields state officials from personal liability under federal law for civil damages as long as their conduct could reasonably have been thought consistent with the rights they are alleged to have violated. Anderson v. Creighton, 107 S. Ct. 3034, 3039 (1987); Harlow v. Fitzgerald, 102 S. Ct. 2727, 2738 (1982) (whether an official is entitled to qualified
Section 1983 provides a cause of action for state deprivation of the rights and privileges secured by federal law. Cantu‘s third amended complaint alleges that Rocha violated her constitutional right to privacy in violation of
The right to privacy consists of two inter-related strands; one protects an individual‘s interest in avoiding disclosure of personal matters (the confidentiality strand) and the other protects an individual‘s interest in making certain personal decisions free of government interference (the autonomy strand). Fadjo v. Coon, 633 F.2d 1172, 1175 (5th Cir. 1981). In the context of government disclosure of personal matters, an individual‘s right to privacy is violated if: (1) the person had a legitimate expectation of privacy; and (2) that privacy interest outweighs the public need for disclosure. Fadjo v. Coon, 633 F.2d 1172, 1175-76 (5th Cir. 1981) (discussing the balancing test required to evaluate privacy right claims).
1. Rocha‘s Remarks in the Witness Interviews
Cantu claims that Rocha‘s statements to the three witnesses violated the confidentiality branch of her right to privacy. The district court, denying defendants’ motion for qualified immunity, relied exclusively on this ground, holding that Rocha‘s comments were “so patently offensive and useless to his investigation that a reasonable officer would have known that he or she was violating Plaintiff‘s clearly established right of privacy.” Engaging the balancing test, the district court noted that the alleged statements served no legitimate state interest because they were made “gratuitously and could not have aided in apprehending the person who allegedly perpetrated the assault.”
There is no invasion of privacy when the material disclosed was already known to the recipient. Cinel, 15 F.3d at 1343. Law enforcement must be allowed considerable latitude to explore the veracity of a complainant, as well as the identity of the alleged perpetrator, and to explore reasonable inferences raised by what
Cantu also asserted a
2. Extra-jurisdictional Character of the Investigation
Cantu also claims that the extra-jurisdictional character of the investigation violated her right to privacy. Cantu cites no authority for the proposition that there is a clearly established constitutional right to be free from an investigation conducted in the absence of jurisdiction. Cantu maintains, however, that she did not authorize the investigation, presumably attempting to invoke the “autonomy,” or personal decision prong of the privacy right. Privacy rights may well be implicated in a case involving an investigation conducted without jurisdiction and over the objection of a complainant whose veracity and credibility is not in issue. That is not the case here. Both Chief Raul Garza of the Edinburg police department and Chief Salazar were under the impression that Cantu wanted the assault investigated. Cantu voluntarily gave Chief Salazar the Planned Parenthood report as well as information about the alleged assault. We conclude that the investigation was not in violation of a clearly established privacy right. Moreover, even if we were to assume, arguendo, that Cantu had alleged violation of a clearly established right, Rocha and Salazar would still be entitled to immunity because the officers had an objectively reasonable basis for assuming jurisdiction.
South Padre Island, where Cantu says she was assaulted, is located in Cameron County. The UT-PA main campus is located in Hidalgo County. UT-PA has a marine laboratory in Cameron County and the University of Texas maintains a campus in Brownsville, which is also in Cameron County. Within an officer‘s primary jurisdiction, the officer is “vested with all the powers, privileges, and immunities of peace officers,” which include the power to arrest individuals for violation of state law and the power to enforce traffic laws.
3. Pseudonym Procedure
Cantu alleges that Salazar and Rocha‘s failure to utilize the pseudonym procedure specified in
B. State Law Claims - Rocha
Under Texas law, “[g]overnment officials are entitled to immunity from suit arising from performance of their (1) discretionary duties in (2) good faith as long as they are (3) acting within the scope of their authority.” City of Lancaster v. Chambers, 883 S.W.2d 650, 653 (Tex. 1994). Rocha was performing a discretionary function within the scope of his authority for immunity purposes. See id. at 654 (citing Wyse v. Department of Public Safety, 733 S.W.2d 224, 227 (Tex. App.-- Waco 1986, writ ref‘d n.r.e.) for the proposition that the investigatory duties of police officers are discretionary) and id. at 658 (an official is acting within the scope of granted authority for immunity purposes when discharging duties generally assigned to that official, even though the official may be acting unlawfully). An official acts in “good faith” if any reasonably prudent officer could have believed that the conduct was consistent with the plaintiff‘s rights. Id. at 656-57. Thus, Texas’ law of qualified or official immunity is substantially the same as federal immunity law. Id. at 656. There
Cantu‘s third amended petition alleges two state law claims against Rocha, invasion of privacy and defamation.
1. Invasion of Privacy
Although Texas law makes several types of conduct actionable as an invasion of privacy, see Moore v. Big Picture Co., 828 F.2d 270, 272 (5th Cir. 1987), Cantu‘s third amended complaint alleges only that Rocha‘s remarks placed her in a false light before the public. Texas has soundly rejected the false light tort as being duplicative of existing causes of action which provide more procedural safeguards. Cain v. Hearst Corp., 878 S.W.2d 577, 578 (Tex. 1994) (“[W]e have never embraced nor recognized . . . the false light tort. We decline to do so today.“). Cantu‘s brief therefore attempts to turn her false light claim into one for public disclosure of private matters, which is actionable when publication would be highly offensive to a reasonable person and
2. Defamation
An oral statement published to a third person is slanderous under Texas law when it is (1) defamatory, (2) false, (3) refers to an ascertainable person and (4) is not protected by any privilege. Reeves v. Western Co. of N. Am., 867 S.W.2d 385, 393 (Tex. App.-- San Antonio 1993, writ denied). Cantu claims that Rocha‘s comment to the witnesses that “he was going to interview” Cantu and that “if he felt she was lying to him he was going to arrest her” was slanderous per se because it falsely and unambiguously imputed criminal conduct to Cantu. See Reeves, 867 S.W.2d at 395-96 (statement that unambiguously and falsely imputes criminal conduct to plaintiff is slanderous per se). Rocha‘s entitlement to immunity from suit on Cantu‘s defamation claim depends on an analysis of
C. State Law Claims - Ethridge
Ethridge argues that, as a matter of law, Cantu has not alleged acts that constitute the tort of intentional infliction of emotional distress under Texas law, irrespective of whether his acts were authorized by UT-PA. Ethridge essentially argues that the district court‘s denial of qualified immunity on grounds that the alleged conduct was not in the scope of his authority is in error. The threshold question, which was not addressed, is whether, under the facts as alleged, Ethridge committed such a tort at all. This question is a purely legal one, and we consequently have appellate jurisdiction to consider it in the context of a qualified immunity appeal under any reasonable reading of Johnson.
It is clear to us that Cantu‘s allegations against Ethridge do not amount to a tort under Texas law, and, consequently, we hold that, as a matter of law, Ethridge is entitled to qualified immunity. To prevail on a claim of intentional infliction of emotional distress under Texas law, the plaintiff must establish the following four elements: (1) that the defendant acted intentionally or recklessly; (2) that the conduct was `extreme and outrageous‘; (3) that the actions of the defendant caused the plaintiff emotional distress; and (4) that the emotional distress suffered by the plaintiff was severe. Dean v. Ford Motor Credit Co., 885 F.2d 300, 306 (5th Cir. 1989) (quoting Tidelands Auto. Club v. Walters, 699 S.W.2d 939 (Tex. App.-- Beaumont 1985, writ ref‘d n.r.e.)).
Liability [for outrageous conduct] has been found only where the conduct has been so outrageous in character, and so extreme in degree, as to go beyond all possible bounds of decency, and to be regarded as atrocious, and utterly intolerable in a civilized community . . . . Generally, the case is one in which a recitation of the facts to an average member of the community would lead him to exclaim, “Outrageous.”
Cantu‘s proffered evidence is that Ethridge embarked on a course of conduct intended to intimidate her, which included the following acts: (1) following her in the hallways; (2) obstructing her passage from a water fountain; (3) showing up in a classroom and positioning himself where Cantu usually sat so that she could not avoid encountering him and (4) repeatedly going in and out of a room where she was taking a make-up exam, which affected her performance. Assuming its veracity, and that the jury fully believed every word of it, this evidence simply could not, as a matter of law, be construed by reasonable jurors as proof of conduct that is “beyond all possible bounds of decency, . . . atrocious, and utterly intolerable in a civilized community . . . .” We therefore hold that Ethridge was entitled to state official immunity from Cantu‘s state law claim of intentional infliction of emotional distress claim.
CONCLUSION
Defendants Rocha and Salazar are entitled to qualified immunity from Cantu‘s federal law claims because Cantu failed to alleged violation of a clearly established federal right. Rocha is also entitled to qualified immunity from Cantu‘s state law claims for invasion of privacy and defamation because Rocha acted in good faith and within the scope of his authority, as defined by the Texas Supreme Court in City of Lancaster. Ethridge is also entitled to qualified immunity from Cantu‘s state law claim of
Accordingly, the appeal under case number 94-60577, and defendant Ethridge‘s appeal from the denial of summary judgment, is DISMISSED. The district court‘s order in 94-60380 is REVERSED and judgment is RENDERED in favor of defendants Rocha, Salazar and Ethridge, dismissing the complaint against them on grounds that each of them is entitled to qualified immunity from suit on
