Case Information
*2 Before WILLIAM PRYOR, Chief Judge, GRANT and TJOFLAT, Circuit Judges.
TJOFLAT, Circuit Judge:
Douglas Fuqua sued Alabama Deputy Fire Marshal Jimmy Collier and several law enforcement officers—Colbert County Sheriff Frank Williamson, Federal Bureau of Alcohol, Tobacco, Firearms and Explosives (“ATF”) Agents Adam Nesmith and Brett Turner, and other unnamed officers—in connection with a fire inspection Collier performed on Fuqua’s nightclub. The District Court dismissed the claims against the law enforcement officers and entered summary judgment for Collier on qualified immunity grounds. Fuqua appeals the judgment dismissing the claims against the ATF Agents and the entry of summary judgment for Collier. We affirm.
I.
A. The facts construed in the light most favorable to Fuqua are as follows. Fuqua owned an unlicensed nightclub in Colbert County, Alabama known as “The Pig.” The Pig had a large assembly area with a bar and an entertainment system, a game room with a gambling table, a kitchen, and a private bedroom that served as Fuqua’s residence. Sheriff Williamson estimated that he received a complaint about The Pig “at least once a week,” usually about overcrowding, loud music and noise, cars blocking the road, illegal alcohol and drug sales, fights, and gun shots.
On September 16, 2015, Sheriff Williamson asked Deputy Collier to conduct an inspection of The Pig for reported problems of “overcrowding.” The two visited The Pig that same day and brought along additional officers from the Sheriff’s Department due to “safety concerns” Collier had about The Pig. Fuqua was elsewhere when they arrived, but came to The Pig shortly after when two men [1] inside called him on the phone. Collier told Fuqua he was with the Alabama Fire Marshal’s Office and that he “need[ed] to do a fire inspection.” He also asked Fuqua to accompany him throughout The Pig as he conducted the inspection. Fuqua did not expressly consent nor expressly refuse, but allowed Collier to conduct the inspection while Fuqua accompanied him. According to Collier, Fuqua was “agreeable” and “polite.”
Collier inspected the large assembly area where he noted several electrical code and fire code violations, then he proceeded to the kitchen where he noticed a shotgun propped up next to a deep fryer, then the game room where he documented still more violations. Finally, Collier came to a locked door which Fuqua told him led to Fuqua’s bedroom. Collier either asked Fuqua to unlock it or told Fuqua “I need to get in there, open the door,” which Fuqua did. Collier wanted to inspect the bedroom because the adjacent game room contained two “extreme hazards”—a 20-pound tank of liquid propane gas and a deep fryer—and he wanted to be sure there was nothing similar in the bedroom. Upon entering the room, Collier saw a second shotgun propped up beside the door.
All in all, Collier recorded nineteen or twenty code violations. He plugged the violations into a program that then generated an official inspection report with a reinspection scheduled for no later than October 5th, 2015. Collier sent a copy of the inspection report to Fuqua by mail.
Collier returned to The Pig for a reinspection on October 21, 2015—the delay having been caused by an illness in Collier’s family. Collier arrived unaccompanied by law enforcement officers this time; his interaction with Fuqua during the first inspection was sufficiently “friendly” that he no longer felt the need for protection. When Collier arrived, he called Fuqua on the phone and Fuqua agreed to drive to The Pig to meet him. When Fuqua arrived, he let Collier into The Pig and Collier inspected the same rooms as last time, including Fuqua’s private bedroom. Collier did not notice any shotguns in The Pig this time, but his reinspection showed that Fuqua had corrected only three of the violations flagged on the first inspection. Accordingly, the inspection report generated by Collier’s program stated that a third inspection would be conducted no later than November 17, 2015.
On November 3, 2015, Deputy Collier, Sheriff Williamson, and agents from various law enforcement agencies [2] —including ATF Agents Nesmith and Turner— convened to discuss The Pig. Collier told the Agents he had observed two shotguns on his first inspection of The Pig and was planning another follow-up inspection within the month. It was agreed that Collier’s follow-up inspection would take place on November 16th—that being a day on which both Collier and the Agents were available—and that Collier would tell Nesmith if he saw any more firearms.
Fuqua was not at The Pig on November 16, 2015, when Collier arrived to conduct the follow-up inspection, so Collier called him, told him he “needed to reinspect” The Pig, and waited for him to arrive. After about twenty minutes, Fuqua arrived and let Collier into The Pig. As on the last occasion, Collier was not accompanied by law enforcement. Collier observed several outstanding code violations and also noticed the first shotgun was back in its old place beside the deep fryer. Collier again gained access to Fuqua’s bedroom after telling Fuqua to “open the door,” and upon entering Collier saw the second shotgun. Collier took pictures of the shotguns and told Nesmith about them by text message.
Within hours, Nesmith obtained a search warrant for The Pig based in part on Collier’s observation of the shotguns. Nesmith then searched The Pig and found three shotguns, a pistol, and ammunition. Fuqua was arrested and on March 30, 2016 was indicted in the United States District Court for the Northern District of Alabama for being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g)(1). See United States v. Fuqua , 3:16-cr-83-VEH-TMP (N.D. Ala.). Following his indictment, Fuqua moved the district court to suppress the seized firearms and ammunition on the ground that they were the fruit of a poisonous tree: Collier’s warrantless search of The Pig on November 16, 2015 in violation of the Fourth Amendment. The District Court granted his motion and on September 1, 2016, entered an order granting the Government’s motion to dismiss Fuqua’s indictment with prejudice.
B.
On November 13, 2017, Fuqua filed the present lawsuit in the District Court against Collier, Williamson, Nesmith, Turner, and several unnamed sheriff’s deputies and federal agents, in their individual and official capacities. His complaint sought compensatory and punitive damages and injunctive relief against Defendants under 42 U.S.C. § 1983 for conspiring to violate and violating his Fourth Amendment rights when Collier searched The Pig and Fuqua’s private bedroom without a warrant. [3] His complaint sought the same relief under Alabama law for unlawful entry and search, false arrest, and false imprisonment. And his complaint sought additional relief under 42 U.S.C. § 1985(3) for conspiracy to deprive him of equal protection rights.
On December 8, 2017, Sheriff Williamson moved the District Court to dismiss Fuqua’s complaint pursuant to Federal Rule of Civil Procedure 12(b)(1) and (b)(6), arguing that Fuqua’s claims against him were barred by the statute of limitations to the extent they arose from the September search and that he was entitled to qualified immunity and Eleventh Amendment immunity for the federal claims and state-law immunity for the state claims. [4] The District Court agreed and on January 22, 2018, granted Williamson’s motion.
On December 22, 2017, Collier also moved the Court to dismiss Fuqua’s complaint under Rule 12(b)(1) and (b)(6), arguing that Fuqua’s claims against him were barred by the statute of limitations and the Eleventh Amendment. The District Court granted Collier’s motion in part and denied it in part, concluding that the statute of limitations and the Eleventh Amendment barred all but Fuqua’s claims against Collier in his individual capacity arising from the November 16, 2015 search.
On February 27, 2018, the ATF Agents moved the Court to dismiss Fuqua’s complaint pursuant to Rule 12(b)(1), (b)(5), and (b)(6). The Agents argued that Fuqua’s individual-capacity claims should be dismissed because Fuqua failed to serve them with process consistent with Federal Rule of Civil Procedure 4. They also argued that the claims were barred by a combination of the statute of limitations, qualified immunity, absolute immunity, [5] and failure to state a claim. The District Court agreed that the Agents had not been properly served and that, even if they had been, they were entitled to qualified immunity for the individual- capacity claims. The Court accordingly dismissed the claims against the Agents.
On April 18, 2019, Collier moved the Court to enter summary judgment on the claims Fuqua brought against him in his individual capacity, arguing that qualified immunity and state-law immunity [6] barred the claims. As exhibits to his motion, Collier attached materials from Fuqua’s § 922(g)(1) prosecution: the suppression-hearing transcript containing testimony from Collier and Williamson [7] and a copy of the order [8] suppressing the firearms and ammunition seized from The Pig on November 16, 2015. The District Court “decline[d] to consider as facts the findings” set out in the order, but did consider the testimony from Collier and Williamson in the suppression-hearing transcript. The District Court agreed that Collier was entitled to qualified immunity with respect to the federal claims because, assuming Collier violated Fuqua’s Fourth Amendment rights, the violation was not clearly established. As to Fuqua’s remaining state-law claims, the Court concluded that Collier had immunity under Alabama law. Accordingly, the Court granted summary judgment for Collier and entered a final judgment dismissing the case. Fuqua appealed.
C.
On appeal, Fuqua argues the District Court erred in four ways: (1) by considering Collier’s testimony in Fuqua’s criminal case in ruling on Collier’s motion for summary judgment; (2) by finding Collier entitled to qualified immunity; [9] (3) by finding that the ATF Agents were not properly served with process; and (4) by finding that the ATF Agents were entitled to qualified immunity. Fuqua’s brief on appeal, like his arguments in the District Court below, focuses only on the third inspection of The Pig on November 16, 2015. So we likewise confine our analysis to that inspection. See Holland v. Gee , 677 F.3d 1047, 1066 (11th Cir. 2012) (“The law is by now well settled in this Circuit that a legal claim or argument that has not been briefed before the court is deemed abandoned and its merits will not be addressed.” (alterations adopted) (quotation marks omitted)).
After the benefit of oral argument, we conclude that the District Court’s reliance on the suppression-hearing transcript was proper and that it committed no error in finding Collier entitled to qualified immunity. We also affirm the District Court’s decision to dismiss the claims against the ATF Agents. We lack personal jurisdiction over the individual-capacity claims against the Agents because they were improperly served, and the official-capacity claims against them are barred by sovereign immunity.
II.
In ruling on Collier’s motion for summary judgment, the District Court considered the suppression-hearing transcript from Fuqua’s § 922(g)(1) prosecution and particularly the testimonies of Collier and Williamson contained therein. Fuqua argues this was error because a court may only “take judicial notice of what was said and what the judge ruled in another court proceeding.” It may not, according to Fuqua, “take judicial notice of the contents of a public filing for proof of the truth of factual matter asserted in the filing.” We believe Fuqua misframes the issue.
The question is whether sworn testimony from a related judicial proceeding is the type of evidence that courts can consider on a motion for summary judgment. Federal Rule of Civil Procedure 56(c) governs this question. It provides that parties can support or oppose summary judgment motions by citing to materials in the record, including:
depositions, documents, electronically stored information, affidavits or declarations, stipulations (including those made for purposes of the motion only), admissions, interrogatory answers, or other materials[.] Fed. R. Civ. P. 56(c)(1)(A).
We regard testimony in a judicial proceeding as functionally equivalent to
deposition testimony since it is given under oath and with the opportunity for
cross-examination. Accordingly, we hold that such testimony can be considered
on a motion for summary judgment.
Cf. Bozeman v. Orum
,
The District Court therefore committed no error in relying on the testimonies from Fuqua’s criminal case.
III.
We review a district court’s entry of summary judgment
de novo
, viewing all
evidence in the light most favorable to the nonmoving party and resolving
reasonable inferences in his favor.
Al-Rayes v. Willingham
,
Qualified immunity protects government officials “from liability for civil
damages insofar as their conduct does not violate clearly established statutory or
constitutional rights of which a reasonable person would have known.”
Harlow v.
Fitzgerald
,
Qualified immunity protects government officials from money damages for
acts taken while engaged in a discretionary function
[10]
unless the plaintiff shows:
(1) that the facts alleged, construed in the light most favorable to the plaintiff,
establish that the official violated a statutory or constitutional right, and (2) that the
right was “clearly established” at the time of the challenged conduct.
Ashcroft v.
al-Kidd
,
We will not consider a right to be “clearly established” unless its contours
were sufficiently clear that every reasonable officer would have understood that
what he was doing violates that right.
al-Kidd
,
The District Court below skipped over the question whether Collier violated Fuqua’s Fourth Amendment rights and instead decided that, to the extent there was any violation, it was not clearly established. The settled principle that warrantless searches are generally unreasonable did not, in the Court’s view, make this case one controlled by “a broad statement of principle within the Constitution, statute, or case law” because of the administrative nature of the November 16, 2015 fire inspection and the fact that The Pig was a commercial establishment in a “closely regulated” industry.
On appeal, Collier defends the District Court’s conclusion that he is entitled to qualified immunity on two alternative grounds. First, Collier argues the District Court correctly concluded that given the administrative nature of the search, it was not clearly established that he needed Fuqua’s consent to justify the warrantless search. Second, he argues that even if it were clearly established that he needed consent, he would still be entitled to qualified immunity because Fuqua failed to show that he did not have consent to search The Pig or Fuqua’s private bedroom therein.
We do not decide whether the District Court correctly concluded that the
administrative nature of the inspection obviated the need for a warrant or consent
because we believe a reasonable officer in Collier’s position could have believed
he had consent. We affirm the District Court’s conclusion that Collier was entitled
to qualified immunity on that basis.
See Long v. Comm’r of IRS
,
The Fourth Amendment protects “[t]he right of the people to be secure in
their persons, houses, papers, and effects, against unreasonable searches and
seizures.” U.S. Const. amend. IV. The Fourth Amendment’s prohibition on
unreasonable searches and seizures applies to both commercial premises and
private homes.
New York v. Burger
,
Warrantless searches are “
per se
unreasonable under the Fourth
Amendment.”
[11]
Katz v. United States
,
It is “well-settled that one of the specifically established exceptions to the
requirements of both a warrant and probable cause is a search that is conducted
pursuant to consent.”
United States v. Freyre-Lazaro
,
Even when an officer has consent to conduct a search, he violates the Fourth
Amendment if he goes beyond the scope of consent.
See Florida v. Jimeno
, 500
U.S. 248, 251,
Although it is difficult to tell, Fuqua appears to challenge both Collier’s search of The Pig and of Fuqua’s bedroom within The Pig. The first question is whether Collier introduced sufficient evidence for us to conclude that a reasonable officer could have thought his search of The Pig justified by virtue of Collier’s free and voluntary consent. If so, the question becomes whether a reasonable officer could have understood the scope of consent to extend to Fuqua’s bedroom. We answer each question in turn and ultimately answer both in the affirmative. It follows that Collier was entitled to qualified immunity.
A.
The contours of valid consent are fairly well-established when it comes to
searches of private dwellings by law enforcement officers. In that context, we
have been reluctant to “sanction[] entry into the home based upon inferred
consent.”
Gonzalez
,
We have also held that no valid consent exists when an officer gains entry
into the home by a show of force or “official authority.” So, for instance, in
United
States v. Edmondson
,
In a few cases, however, we have found that the totality of the circumstances
supported a finding of voluntary consent to search a private dwelling. In
United
States v. Ramirez-Chilel
,
We also found voluntary consent for officers to search the defendant’s
residence in
United States v. Pineiro
,
Putting all this together, we have a fairly defined picture of when law enforcement officers have effective consent to search private residences for evidence of criminal activity. We know that the mere failure to object to an officer’s entry into the home does not constitute valid consent to the entry, but that some affirmative indication, even if non-verbal, that the officers are welcome to enter may be enough. We also know that an officer cannot procure valid consent by force or intimidation, whether verbal or physical. Finally, we know what factors might tip the determination one way or the other: how many officers are present; whether the officers are armed, whether the arms are visible, and whether they are drawn; whether the agents explain the purpose of the search; and whether the homeowner actively aided the officers in searching his home.
Less clear, though, is how these principles map onto the context of the
present case, which differs from the foregoing cases in at least three significant
respects. First, the officer here is a deputy fire marshal rather than a conventional
law enforcement officer. Second, the purpose of the search—at least facially—was
to uncover violations of the fire code rather than evidence of criminal activity.
And third, the premises searched here were a public establishment that was part of
a highly regulated industry and the private bedroom within that public
establishment. Even if Collier’s conduct would have violated Fuqua’s Fourth
Amendment rights under the principles applicable to law enforcement officers
conducting traditional law enforcement searches of standalone private dwellings,
Fuqua has not directed us to any cases that would put an officer on clear notice that
those principles apply in the same way within the quite different context in which
Collier acted.
See al-Kidd
,
Were this a case involving the unmistakable indicia of a consentless search,
we might be compelled to say that Fuqua’s rights against the inspection were
clearly established notwithstanding the lack of any on-point cases in the
administrative-searches context.
See Perez
,
At most, the facts viewed in the light most favorable to Fuqua support a
finding that Collier gained admission by a claim of right rather than a request for
admission—a finding which would cast doubt on the legality of Collier’s
inspection.
See Amos v. United States
,
We conclude, therefore, that a reasonable officer in Collier’s position could have believed he had Fuqua’s effective consent to enter The Pig to conduct an inspection. This entitles Collier to qualified immunity for his search of the public section of The Pig.
B.
Having established that Collier was entitled to qualified immunity for his search of The Pig’s public areas, the question becomes whether he was also entitled to immunity for his search of Fuqua’s private bedroom inside The Pig. We conclude that he was, since a reasonable officer could have believed that the general consent to search The Pig included consent to inspect the bedroom.
Collier inspected The Pig three times over the course of three months and
each inspection included Fuqua’s private bedroom. When Fuqua let Collier into
The Pig after he told Fuqua he “needed to reinspect” The Pig for a third time,
therefore, he could have reasonably believed not only that Fuqua was allowing him
to inspect The Pig’s public areas, but also that he was permitting him to inspect
Fuqua’s bedroom as on previous occasions. And while the “sacrosanct” nature of
the home in the Fourth Amendment context may well counsel against construing
consent to enter a public establishment to include consent to enter a private
dwelling therein,
Moore
,
We therefore conclude that Collier was entitled to qualified immunity for his search of Fuqua’s bedroom.
IV.
When a district court dismisses a plaintiff’s complaint for insufficient
service of process, we apply a
de novo
standard of review to the law and a clear
error standard to any findings of fact.
Albra v. Advan, Inc.
,
Proper service of process is a jurisdictional prerequisite.
Pardazi v. Cullman
Med. Ctr.
,
The District Court below dismissed all the claims against the ATF Agents without prejudice because it found the return receipts did not bear the required addressee signatures. But the ATF Agents had argued in their motion to dismiss only that Fuqua’s “individual capacity claims are barred due to insufficient service of process.” They never challenged service in relation to Fuqua’s official-capacity claims. Because they consented to personal jurisdiction over the latter, the District Court should not have concluded that “all claims against [the Agents] are due to be dismissed” based on improper service of process. But we agree that the District Court did not abuse its discretion in dismissing the individual-capacity claims on this basis.
To serve a United States officer, a plaintiff must also serve the United States.
Fed. R. Civ. P. 4(i)(2)–(3). Serving the United States requires, among other things,
sending “a copy of the summons and of the complaint” to the United States
Attorney General by registered or certified mail. Fed. R. Civ. P. 4(i)(1).
[12]
Certified mail is “[m]ail for which the sender requests proof of delivery in the form
of a receipt signed by the addressee.”
Certified Mail
, Black’s Law Dictionary
(11th ed. 2019);
see also Republic of Sudan v. Harrison
,
Fuqua sent Attorney General Jeff Sessions a copy of the summons and complaint by certified mail, but the District Court, after examining the return receipt “at enhanced magnification,” found that it was unsigned. We have reviewed the copy of the return receipt in the record and we see no trace of a signature. The District Court therefore did not abuse its discretion in finding that Fuqua failed to serve the Attorney General as required by Rule 4(i)(1).
Although that deficiency alone renders service inadequate, the District Court also correctly found that Fuqua failed to properly serve the Agents themselves. Certified mail was a proper vehicle for serving the Agents in this case since Rule 4(i) allows service of United States officers in their individual capacities in accordance with the law of the forum state, and since Alabama law allows service by certified mail. Ala. R. Civ. P. 4(i)(2)(A) (“When the plaintiff files a written request with the clerk for service by certified mail, service of process shall be made by that method.”). The District Court found, however, that the return receipts “appear not to be signed by the [Agents] themselves, but by the mail room of the ATF Huntsville Satellite Office.” After reviewing the return receipts, which indeed appear to have been signed by “Mail Room,” we agree that Fuqua did not serve the Agents through certified mail.
Fuqua responds that the ATF Agents never proved that the mail room was
not authorized to accept service on their behalf. Delivery to an authorized agent is
another permissible method of service. Fed. R. Civ. P. 4(e)(2)(C);
see also
Ala. R.
Civ. P. 4(i)(2)(C). But Fuqua, not the Agents, bore the burden to prove whether
the mail room was an authorized agent.
Aetna Bus. Credit, Inc. v. Universal Decor
& Interior Design, Inc.
,
Fuqua argues that these service deficiencies should be excused because
“there has been substantial compliance with Rule 4” and because “the Government
[was] given actual notice of the suit and has suffered no prejudice.” While we
have sometimes excused minor service defects when they have neither prejudiced
the defendant nor deprived him of notice,
see Sanderford v. Prudential Ins. Co. of
Am.
,
Although the District Court found that it lacked jurisdiction due to the
foregoing service defects, it nonetheless went on to discuss a second reason why
Fuqua’s individual-capacity claims would be dismissed—because the Agents had
qualified immunity. Because jurisdiction depends on sufficient service of process,
the Court was without jurisdiction to determine whether the Agents were entitled
to qualified immunity.
See Pardazi
,
V.
Returning to Fuqua’s official-capacity claims, we conclude that these claims
are barred by a different jurisdictional defect: sovereign immunity.
FDIC v.
Meyer
,
Fuqua has no authorization to sue. He pleaded two § 1983 claims and a
§ 1985(3) claim. Because § 1983 does not apply to federal officers, the District
Court construed his § 1983 claims to be
Bivens
claims. But there is no such thing
as an official-capacity
Bivens
claim.
Farmer v. Perrill
,
SO ORDERED.
Notes
[1] The record is silent as to who these two men were.
[2] The agencies included the ATF, the drug task force of the Colbert County Sheriff’s Department, and the State Bureau of Investigation. The Colbert County District Attorney and police chiefs for Muscle Shoals, Sheffield, and Tuscumbia were also present at the meeting.
[3] We note that 42 U.S.C. § 1983 does not provide a viable cause of action against the
ATF Agents since they are federal officers and therefore were not “acting under color of state
law.”
See Bivens v. Six Unknown Named Agents of Fed. Bureau of Narcotics
,
[4] Williamson’s claim of state-law immunity was based on Article I, § 14 of the Alabama Constitution.
[5] The ATF Agents argued that Fuqua’s state-law claims should be reconstrued as claims under the Federal Tort Claims Act and that they had absolute immunity under the Act.
[6] Collier’s state-law immunity defense arose from Article I, § 14 of the Alabama Constitution and Alabama Code §§ 6–5–338.
[7] Fuqua’s counsel cross-examined Collier and Williamson at the suppression hearing.
[8] To be precise, the exhibit was a copy of a report and recommendation the magistrate judge submitted to the District Court and that the Court adopted in its order granting Fuqua’s motion to suppress.
[9] Fuqua does not argue the District Court erred in finding Collier immune from the state-
law claims by virtue of Alabama law and has therefore abandoned the issue on appeal.
See Fed.
Sav. & Loan Ins. Corp. v. Haralson
,
[10] Fuqua’s brief on appeal states in a conclusory manner that “Defendant Collier never
acted within his discretionary authority,” but since Fuqua never raised this issue in the District
Court, we will not consider it for the first time on appeal.
See Access Now, Inc. v. Sw. Airlines
Co.
,
[11] Although this general rule applies in both the criminal and administrative contexts,
Barlow’s, Inc.
,
[12] To serve the United States, a plaintiff must: (A) (i) deliver a copy of the summons and of the complaint to the United States attorney for the district where the action is brought–or to an assistant United States attorney or clerical employee whom the United States attorney designates in a writing filed with the court clerk–or (ii) send a copy of each by registered or certified mail to the civil process clerk at the United States attorney’s office; (B) send a copy of each by registered or certified mail to the Attorney General of the United States at Washington, D.C.; and (C) if the action challenges an order of a nonparty agency or officer of the United States, send a copy of each by registered or certified mail to the agency or officer. Fed. R. Civ. P. 4(i)(1).
