We, like the district court, consider only the factual allegations in the complaint and the videos it incorporates. With this limitation, we are compelled to affirm the denial of qualified immunity. In a narrow ruling, we hold that purposefully using a LRAD in a manner capable of causing serious injury to move non-violent protesters to the sidewalks violates the Fourteenth Amendment under clearly established law. At the same time, recognizing that the complaint before us provides only the vantage point of the plaintiffs, we caution that once both sides present evidence-especially about what the officers observed and knew-the defendants may yet be entitled to qualified immunity.
BACKGROUND
I. Factual History
On an interlocutory appeal from the denial of qualified immunity, our jurisdiction is limited to deciding whether, based on facts alleged by the plaintiffs or stipulated to by the parties, "the immunity defense is established as a matter of law." Salim v. Proulx ,
A. LRAD Technology and the NYPD
LRADs are acoustic weapons developed for the U.S. military in the wake of the deadly terrorist attack on the USS Cole in 2000. "If mounted aboard a Navy ship, the device's loudspeaker could be used to 'warn off' boats that came too close. If those warnings are ignored, the device could be used to send out sound at a dangerously high level ... to cause pain/hearing damage to try to repel the attack." First Amended Complaint ("FAC") ¶ 11. This technique, known as "area denial," has been used in both military and crowd control settings.
An LRAD can produce louder sound than a traditional amplification device, such as a megaphone, and can project over much greater distances. To achieve this effect, LRADs concentrate sound into a 30- to 45-degree cone-shaped beam. They also reshape acoustic energy to produce flatter sound waves that (1) reduce dampening as the wave travels and (2) interact with the air to create additional frequencies within the wave. Alex Pasternack, The New Sound of Crowd Control , Motherboard (Dec. 17, 2014), https://motherboard.vice.com/en_us/article/qkve7q/the-new-sound-of-crowd-control (last accessed Mar. 11, 2018). This can produce volumes of up to 146 decibels. For context, the threshold for human discomfort begins between 120 and 140 decibels and the National Institute of Health cautions that hearing loss can result from short exposure to sounds at or above 110 to 120 decibels.
The New York Police Department purchased two Model 3300 LRADs before the
Following the convention, the NYPD used its LRADs sporadically and, then, mainly as loudspeakers. In 2010, the NYPD's Disorder Control Unit tested the Model 3300 at an empty parking lot in the Bronx. Measured from 320 feet away, the spoken voice commands registered at 102 decibels and the area denial mode at 110 decibels. The Department did not take readings within the 320-foot range, which it described as a "potential danger area." A report analyzing the test results observed that, in the "dangerous range (above 120 decibels), this deviсe can cause damage to someone's hearing and may be painful." FAC ¶ 11.
Shortly thereafter, the NYPD purchased the more portable Model 100X, which also has loudspeaker and area denial functions. The 100X's product sheet boasts that it has a maximum volume of 136 decibels at one meter and the manufacturer guidelines caution not to use it within 10 to 20 meters of people. A diagram on the 100X's control panel shows a red beam emanating from the front of the device and instructs: "DO NOT ENTER WITHIN 10 METERS DURING CONTINUOUS OPERATION." Id. ¶ 25.
B. The Protest
On December 3, 2014, a Staten Island grand jury declined to indict the NYPD officer who placed Eric Garner, an unarmed black man, in a fatal chokehold. The next day, protests arose across the nation. In Manhattan, hundreds took to the streets to denounce police brutality. The plaintiffs, many of whom are activists and journalists, participated in and documented the protest. Over the course of the evening and into the pre-dawn hours, the demonstrators marched across the city, escorted by NYPD officers.
Sometime after 1:00 a.m., as the protest crossed through the intersection of 57th Street and Madison Avenue, officers made several arrests. Videos of the scene (which are incorporated into the complaint) show a crowd-cordoned off from the arrests by a chain of officers-gathered in a semicircle to observe. Unable to proceed through the intersection, cars idled in the street as protesters streamed past. Meanwhile, many onlookers inched closer to take photographs only to be waved off by officers or told to "get back." Although some demonstrators demanded that the officers "let [the arrestees] go," none interfered with the arrests. Several plaintiffs reported hearing what sounded like a glass bottle breaking, but it did not appear to strike or injure anyone.
Then, with no warning, NYPD officers discharged pepper spray. Several plaintiffs who had been watching the arrests began to flee. Seconds later the wail of a high-pitched alarm began pulsing though the streets. The defendants had activated the LRAD's area denial function. According tо plaintiffs, they had not been ordered to disperse and no such order is audible on the video.
After several bursts from the alarm tone, Lieutenant Maguire and Officer Poletto, both members of the Disorder Control Unit, began broadcasting commands. One officer held the briefcase-sized device in front of him while the other trailed
In the days and weeks fоllowing the protest, each plaintiff reported physical injuries. Many claimed that they experienced significant ear pain, prolonged migraines, vertigo, and ringing in the ears. Most sought medical treatment. One plaintiff "had extreme difficulty with his hearing." Id. ¶ 370. His doctor explained that "the pressure of the extreme level of the noise from the LRAD had pushed a bone in his ear inwards, impacting and damaging a nerve in his ear." Id. ¶ 372. His hearing improved after a course of steroidal medication. Several plaintiffs allege that they are now afraid to attend protests, which, for some, has harmed their professional opportunities as journalists.
II. Procedural History
In March 2016, the six plaintiffs sued Lieutenant Maguire and Officer Poletto, as well as then-NYPD Commissioner William Bratton and the City of New York. They asserted claims under
The motion was granted in part and denied in part. The district court found that plaintiffs had adequately pleaded excessive force in violation of the Fourteenth Amendment (as well as the related municipal liability claim) and denied defendants qualified immunity. It also permitted the state-law assault and battery claims to proceed, including the claims against the City under a theory of respondeat superior . The district court dismissed the other claims, including all claims against Commissioner Bratton.
On the Fourteenth Amendment claim, the district court reasoned that "[t]he use of the [Model 100X] as a projector of powerfully amplified sound is no different than other tools in law enforcement's arsenal that have the potential to be used either safely or harmfully," such as stun grenades. Special App. at 16. As to qualified immunity, the district court rejected defendants' argument that amplified noise did not constitute unconstitutional force under existing precedent. "[T]here is much case law discussing the need for careful, vicinity-specific considerations when using tools like distraction devices," thе court explained, and, if the circumstances were as plaintiffs allege, these analogous cases would have informed the officers of the illegality of their actions.
Lieutenant Maguire and Officer Poletto timely filed this interlocutory appeal.
DISCUSSION
I. Appellate Jurisdiction and Standard of Review
The sole issue on appeal is whether defendants are entitled to qualified
"Of course, [by] presenting [their] immunity defense on a Rule 12(b)(6) motion instead of a motion for summary judgment[, the defendants] must accept the more stringent standard applicable to this procedural route." McKenna v. Wright ,
II. Qualified Immunity
Assured of our jurisdiction, we turn to the merits. Section 1983 establishes a private right of action for money damages against state officials, acting "under color" of law, who violate a constitutional or statutory right.
Officers are entitled to qualified immunity "unless a plaintiff pleads facts showing (1) 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 ,
A. Fourteenth Amendment Violation
The right not to be subject to excessive force, perhaps most commonly associated with the Fourth and Eighth Amendments, can also arise under the Fourteenth. See Graham v. Connor ,
While the parties agree that the Fourteenth Amendment establishes a right against excessive force, they disagree about the relevant test. Defendants maintain that the proper inquiry is whether the conduct shocks the conscience. Appellants' Reply Br. at 11. They argue that this standard includes a subjective element-whether the officers behaved "maliciously and sadistically for the very purpose of causing harm." Appellants' Br. at 33 (quoting Tierney v. Davidson ,
Defendants are correct that many cases describe the test for excessive force under the Fourteenth Amendment with the shorthand "shocks the conscience." See, e.g. , Rochin v. California ,
In Johnson v. Glick , this Court identified four illustrative factors for assessing whether conduct, in the words of Rochin , "shocks the conscience."
In 2015 (after the events at issue in this case) the Supreme Court revisited the Fourteenth Amendment standard in Kingsley v. Hendrickson , --- U.S. ----,
The second mental state, and the one at issue in Kingsley , "concerns the defendant's state of mind with respect to whether his use of force was 'excessive.' "
Viewed against the backdrop of this circuit's Fourteenth Amendment jurisprudence, Kingsley offers two important insights. First, the objective standard it announced confirms that the subjective mental state referenced in Glick and some of this Court's other precedents is not a necessary showing. Second, and more significantly, Kingsley used modified terminology to describe the Fourteenth Amendment standard. Although prior excessive force cases spoke of whether the official's conduct "shocks the conscience," Lewis ,
Defendants' first-and principal-argument is based on a misinterpretation of this Court's earlier statement that Kingsley "addressed only the legally requisite state of mind required for a pretrial detainee's excessive force claims." Dancy v. McGinley ,
Moreover, we have not treated the precise factual context at issue in Kingsley -a pretrial detainee claiming excessive force-as a limitation on the Fourteenth Amendment standard announced therein. In our onе case to engage closely with Kingsley , we held that its standard applied not just to excessive force claims, but also to those alleging deliberate indifference toward pretrial detainees. Darnell v. Pineiro,
To begin where Kingsley did, "a pretrial detainee can prevail" by alleging "that the challenged governmental action is not rationally related to a legitimate governmental objective or that it is excessive in relation to that purpose."
The distinction Kingsley drew was not between pretrial detainees and non-detainees. Instead, it was between claims brought under the Eighth Amendment's Cruel and Unusual Punishment Clause and those brought under the Fourteenth Amendment's Due Process Clause.
Defendants offer no principled justifications to buttress such an implausible standard, nor could they. Their argument is contrary to this Court's entire body of non-detainee cases, which have long applied the standard announced in Glick , a pretrial detainee case. See, e.g. , Newburgh ,
Shifting gears, defendants contend that Kingsley did not formally overrule the "shocks the conscience" standard. That may be true, but we think it is beside the point. This is because defendants' focus on phrasing reflects an overly formalistic view of Fourteenth Amendment law. To repeat, the central inquiry has always been whether the government action was rationally related to a legitimate government objective. Lewis ,
As the Supreme Court has observed, "the measure of what is conscience shocking is no calibrated yard stick"; it merely "point[s] the way."
Turning to the fourth Glick factor, whether the force was applied "maliciously and sadistically for the very purpose of causing harm,"
Applying Kingsley 's analysis to the allegations at hand, we conclude that the plaintiffs' complaint states a Fourteenth Amendment violation. First, consider the need for force. Under plaintiffs' account, which we must accept as true, the security threat posed by the protest was low. The video footage confirms that the demonstrators were non-violent and there was a robust police presence monitoring the crowd. Although someone may have thrown a glass bottle, this appears to have been an isolated and victimless incident. None of the onlookers filming and photographing the arrests interfered and additional officers were on scene to keeр protesters at bay. The most significant problem confronting law enforcement appears to have been traffic disruption caused by protesters walking in the street. However, while mixing cars and pedestrians might have presented a hazard, this is the sort of public safety risk common to large public demonstrations, not necessarily an imminent threat warranting a significant use of force. In short, on the facts alleged, the "severity of the security problem" was minimal and the "threat reasonably perceived by the officers" was negligible. Kingsley ,
In addition, there is no indication that plaintiffs were "actively resisting."
Turning to proportionality, the disparity between the threat posed by the protest and the degree of force is stark. The Department's 2010 reрort describes the purpose of an earlier LRAD model's area denial function as "send[ing] out sound at a dangerously high level [to cause] attackers to turn away, or at least, to cause pain/hearing damage to try to repel [an] attack." App. at 85 (emphases added). The control panel on the Model 100X that was used here warned operators in capital letters that entering within 10 meters of the device during operation was dangerous. See FAC ¶ 25. The device's product sheet likewise listed the LRAD's maximum volume as 136 decibels at one meter, well above the 120 decibels threshold where pain begins and just short of the 140 decibels at which the report advised that "[s]hort term exposure can cause permanent damage." App. at 86. Exposure to this dangerous volume (which we must assume from the pleadings) is a severe consequence for blocking traffic.
The injuries alleged by the plaintiffs (another Kingsley consideration, see
Kingsley also asks whether the officers tried to "temper or to limit the amount of force."
Pulling these threads together, plaintiffs' allegations indicate that the officers' use of the LRAD's area denial function was disproportionate to the limited security risk posed by the non-violent protest and caused substantial physical injuries. Or, stated somewhat differently, the defendants' use of a device capable of causing pain and hearing loss was an "exercise of power without any reasonable justification in the service of a legitimate government objective." Lewis ,
B. Clearly Established Law
The remaining question is whether the constitutional right at issue was "clearly established at the time of the challenged conduct."
We begin with the delicate task of defining the right at issue. In doing so, we must be mindful that, on the one hand, "[c]haracterizing the right too narrowly to the facts of the case might permit government actors to escape personal liability." Newburgh ,
Here, defendants' frame the question as "whether the officers violated the Fourteenth Amendment by using the LRAD 100X to aid in moving protesters to the sidewalks after the protest became obstructive and potentially violent." Appellants' Br. at 28. This framing puts not one but two thumbs on the scale in favor of defendants. First, it focuses on the officers' professed objective-moving protesters onto the sidewalk-while ignoring the degree of force that the officers allegedly used. Second, it recasts the protest as "violent," a characterization that, based on plaintiffs' allegations and the scene captured in the videos, is at best arguable. See, e.g. , id. at 34 (describing a "large crowd of hostile demonstrators-who greatly outnumbered and had surrounded the officers, were becoming violent, and were obstructing traffic"). Perhaps this is an inference that a factfinder might ultimately make, but at this stage we must draw all inferences in favor of the plaintiffs, not the defendants.
Defining the Fourteenth Amendment right according to the "particular circumstances" requires attention to the precipitating events, the government interest at issue, the degree of force used, and the reasonably anticipated consequences of the government action. To illustrate, consider the Supreme Court's analysis in Plumhoff . The Court began with the context, a "lengthy, high-speed pursuit" that "posed a danger both to the officers involved and to any civilians who happened to be nearby."
Preliminarily, we address whether this conduct alleges a Fourteenth Amendment
The most significant difference between the Kingsley factors applied above and Glick is, of course, the latter's inquiry into "whether force was applied in a good faith effort to maintain or restore discipline or maliciously and sadistically for the very purpose of causing harm." Glick ,
The remaining question is whether the right was clearly established. Would reasonable officers have known that subjecting non-violent protesters to pain and serious injury simply to move them onto the sidewalks violated the Fourteenth Amendment? Defendants insist that the circumstances before them were too dissimilar from then-existing precedents to provide this notice. They raise two principal arguments. Neither withstands scrutiny.
First, the defendants deny that it was clearly established in December 2014 that using force in a crowd control context violates due process. In their view, because this Court has not applied "substantive due process principles to crowd control," the officers lacked notice that the right against excessive force applies to non-violent protesters. Appellants' Br. аt 37. But that is like saying police officers who run over people crossing the street illegally can claim immunity simply because we have never addressed a Fourteenth Amendment claim involving jaywalkers. This would convert the fair notice requirement into a presumption against the existence of basic constitutional rights. Qualified immunity doctrine is not so stingy. In fact, we rebuffed a nearly identical argument in Newburgh . There, a teacher who brutally assaulted a student insisted that he was entitled to qualified immunity because the right to be free from excessive force had not been "applied to the educational setting."
Were this not enough, a wealth of cases inform government officials that protesters enjoy robust constitutional protections. "[O]ur constitutional command of
To be sure, government officials may stop or disperse a protest when faced with an "immediate threat to public safety, peace, or order," including "interference with traffic upon the public streets." Parmley ,
In spite of this precedent, defendants, drawing on distinguishable out-of-circuit authority, would have us believe that courts gеnerally conclude that "use of force in a crowd control context [does] not violate substantive due process." Appellants' Br. at 37 n.12. Hardly. Our sister circuits and district courts in this Circuit have routinely applied excessive force principles to crowd control situations. See, e.g. , Nelson v. City of Davis ,
In Parmley we refused to condone officers' assault on protesters who distributed flyers on a public highway. See
We have also warned officers against gratuitously employing "pain compliance techniques," such as bending protesters' wrists, thumbs, and fingers backwards.
Both Parmley and Amnesty America gave the defendants fair warning that the prohibition on excessive force applies to protesters. This is true even though both those cases arose under the Fourth Amendment. See Poe v. Leonard ,
Shifting attention from the protesters to the technology at issue, defendants' second argument is that, at the time of the events, the Fourteenth Amendment did not apply to LRADs. This argument has two parts: First, defendants contend that the officers cannot be liable because no decision from this Court or the Supreme Court "held or clearly foreshadowed that it would be unconstitutional to use an acoustic device under any circumstances," much less "under circumstances like those faced by the officers." Appellants' Br. at 19, 36-37 (emphasis omitted). Second, defendants insist that, because LRADs "function[ ] solely by sound," which is not an "instrument[ ] of force," a reasonable officer would not think that the Fourteenth Amendment applied. Id. at 23; see also id. at 35. We disagree on both fronts.
Defendants' first argument echoes a common refrain in qualified immunity cases-"pointing to the absence of prior case law concerning the precise weapon, method, or technology employed by the police." Terebesi ,
As to whether LRADs are instruments of force, defendants go astray by focusing on the mode of delivery rather than the physical effect. Under this Court's precedent, a deviсe that has "incapacitating and painful effects" when used on a person is considered an instrument of force. Tracy v. Freshwater ,
In Terebesi , to add just one more example, we followed the same approach. There, the officers urged that they were immune because no precedent established that the right against excessive force applied to stun grenades.
We reach the same conclusion here. Even though sound waves are a novel method for deploying force, the effect of an LRAD's area denial function is familiar: pain and incapacitation. See Tracy ,
* * *
Our decision regarding the defendants' use of the LRAD is a narrow one. We do not hold that the Fourteenth Amendment bars law enforcement from using LRADs. To the contrary, we are confident that, in appropriate circumstances, following careful study and proper training, LRADs can be a valuable tool for law enforcement. Their usefulness as a long-range communications device is plain. We also think that, under certаin conditions, an LRAD that is properly calibrated might be a lawful means of ordering (or perhaps even compelling) protesters to disperse. We merely hold (1) that, on the allegations before us, which we must accept as true, the plaintiffs have stated a Fourteenth Amendment excessive force claim and (2) that purposefully using the LRAD in a manner capable of causing serious injury to move non-violent protesters to the sidewalks violated law that was clearly established as of 2014.
We are also mindful that the complaint before us is just one side of the story, told from the perspective of the plaintiffs. But courts and juries must assess excessive force claims from "the perspective of a reasonable officer on the scene, including what the officer knew at the time, not with the 20/20 vision of hindsight." Kingsley ,
We can envision various factual showings that would change the calculus. One key variable is the state of unrest at the protest. The evidence may show that the defendants observed a more violent scene than is portrayed in the complaint and incorporated videos. Another key consideration is how the LRAD was used, most notably the volume of the device and its proximity to protesters and passersby. And, third, as Kingsley acknowledges, much hinges on what the defendants knew. Perhaps the defendants had not seen the report on the Model 3300 and lacked knowledge of the LRAD's harmful effects. The complaint alleges that the NYPD "has not properly trained its officers" on LRAD use and acknowledges that Department's use of force protocols "do not account for LRAD use." FAC ¶¶ 98, 412. So perhaps the defendants had received training but reasonably believed that they were not using the device in an unsafe or gratuitous manner. Any one of these non-exhaustive factors could warrant a reappraisal of qualified immunity.
Finally, we emphasize that when viewing the evidence from the perspective of a rеasonable officer a factfinder must afford "ample room for mistaken judgments." Malley v. Briggs ,
Their duty is to restore and maintain lawful order, while not exacerbating disordermore than necessary to do their jobs. They are supposed to act decisively and to show restraint at the same moment, and their decisions have to be made in haste, under pressure, and frequently without the luxury of a second chance.
CONCLUSION
For the foregoing reasons, we AFFIRM the district court's order insofar as it denied defendants qualified immunity for the Fourteenth Amendment claim. This case is REMANDED for further proceedings.
Notes
Additionally, when the Kingsley defendants argued that Lewis supported a subjective intent standard, the Court had an opportunity to distinguish its earlier decision as a case limited to non-detainees. But the Court did no such thing. Instead, it explained why that argument misread Lewis 's holding.
Defendants, moreover, point to no case in our Circuit dealing with non-detainees-before or after Kingsley -that treated proof of subjective intent as a necessary precondition for a successful Fourteenth Amendment excessive force claim. Thus, even if they could convince us that Kingsley should be cabined to pretrial detainees (which they cannot), this would not require us to dismiss an excessive force claim absent an allegation of malice or sadism. Kingsley made explicit what we have long taken for granted: a government actor's use of force violates due process when it is objectively excessive.
Framed in these terms, defendants cannot seriously dispute Kingsley 's logic. After all, their own brief acknowledges that, "[i]t is where officials take injurious action with no apparent government interest that this Court has found their conduct conscience-shocking." Appellant's Br. at 39 (emphasis added).
One might argue that this conclusion is in tension with Dancy 's observation that "Fourth Amendment claims are tied to reasonableness, which is considerably less demanding" than the Due Process Clause.
Defendants' reply brief argues that Fourth Amendment cases "cannot establish the law for Fourteenth Amendment purposes." Appellants' Reply Br. at 22. This argument is inconsistent with the practice of the Supreme Court and this Circuit, both of which cross-pollinate between Fourth, Eighth, and Fourteenth Amendment contexts. See, e.g. , Graham ,
Defendants claim that an LRAD differs from pepper spray because "it includes a highly effective loudspeaker mode that can help avoid the need for measures historically regarded as force." Appellants' Br. at 23. This is effectively an argument that LRAD's are dual-use devices capable of both exerting dangerous force and serving valuable, non-forceful functions. But the same is true of a riot stick, which can both bludgeon and direct traffic. Rather than absolving the riot stick from scrutiny, this dual functionality is all the more reason to focus on the particular action and ensuing effect, not the device itself.
